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Hyperthyroidism in Aging

ABSTRACT

 

Hyperthyroidism in the elderly is a serious clinical condition that is associated with significant morbidity. It may be difficult to diagnose due to the confounding effects of drugs and acute or chronic illnesses on the interpretation of thyroid function tests. In addition, there is a relative paucity of typical hyperadrenergic symptoms in older patients with hyperthyroidism, who instead may present with unexplained weight loss, neurocognitive changes, or cardiovascular effects. Of particular concern is the elevated risk of atrial fibrillation and cardiovascular complications in this age group. There is increasing evidence that even mild (subclinical) hyperthyroidism in the elderly is associated with these risks. Graves’ Disease and toxic multinodular goiter are the most common etiologies of hyperthyroidism in the elderly, although other causes of hyperthyroidism also occur. The use of amiodarone or administration of iodinated contrast agents can also lead to hyperthyroidism, and are commonly prescribed to older patients. Radioiodine or thionamide therapy are typically used to treat hyperthyroidism in older patients. Treatment decisions must be individualized, taking into account projected lifespan, comorbidities, and side effects of therapy.

 

PREVALENCE OF HYPERTHYROIDISM IN AGING

 

Hyperthyroidism is a common disorder (1); a population-based survey (2) conducted over 40 years ago revealed a prevalence in the general UK population of around 2.7% in women (10-fold less in men) and of undiagnosed disease in around 0.5% of women. A more recent population-based survey in the United States revealed a prevalence of hyperthyroidism of 1.3%, with no difference between men and women (3). This prevalence decreases to 0.4% if one excludes patients with known thyroid disease and those taking thyroid hormone preparations, indicating that many cases of hyperthyroidism are due to overtreatment with exogenous thyroid hormone.

 

A number of studies have reported the prevalence of hyperthyroidism specifically in elderly populations. Prevalence rates vary depending on whether patients taking thyroid hormone are included, but most surveys report that approximately 1–3% of subjects over the age of 60-65 years have hyperthyroidism (2-7).  If one excludes patients taking thyroid hormone, prevalence rates of hyperthyroidism appear similar in younger and older populations (3).

CLINICAL CONSEQUENCES OF HYPERTHYROIDISM

 

Classical symptoms and signs of thyrotoxicosis are shown in Table 1 (1).  While some or all of these may be present in elderly subjects with thyrotoxicosis, the clinical picture is often different in this age group (8,9). Problems such as weight loss and depression or agitation may predominate - so-called "apathetic" thyrotoxicosis, a condition in which more typical symptoms and signs reflecting sympathetic activation such as tremor and hyperactivity are absent (10-12). Instead, cardiovascular symptoms and signs often predominate in older patients, including atrial fibrillation. Other findings more common in older patients with hyperthyroidism include fatigue, anorexia, weight loss, apathy, agitation, or cognitive decline (11-14). Particularly in this age group, the diagnosis of thyrotoxicosis should also be considered in the presence of other symptoms and signs considered "non-specific" in nature, such as muscle weakness, persistent vomiting, hypercalcemia, and worsening osteoporosis.

 

Table 1. Symptoms and Signs in Hyperthyroidism

Symptoms

Signs

1. Weight loss

2. Sweating/heat intolerance

3. Nervousness/agitation

4. Tiredness

5. Muscle weakness

6. Palpitation

7. Shortness of breath

8. Tremor

 

 

1.Tremor

2. Hyperactivity

3. Proximal myopathy

4. Sinus tachycardia

5. Atrial fibrillation/atrial dysrhythmias

6. Systolic hypertension

7. Goiter

8. Lid lag/lid retraction

9. Ophthalmopathy*

10. Pretibial myxedema*

11. Thyroid acropachy*

 

* specific for Graves’ Disease

Cardiovascular Complications

 

Cardiovascular complications of thyrotoxicosis are especially common in the elderly and may be a cause of significant morbidity and mortality (1,15). A number of studies have reported increased all-cause and cardiovascular mortality, and increased risks of atrial fibrillation, arterial embolism, acute myocardial infarction, heart failure, venous thromboembolism, and stroke in hyperthyroid patients, compared to euthyroid controls (16-20). Risks are higher in older subjects and in untreated or undertreated groups, with a direct association between the duration of suppressed TSH levels and mortality in both untreated and treated patients (19). Risks decrease with treatment, regardless of treatment modality (21,22). All-cause mortality is also increased in treated hypothyroid patients with suppressed TSH levels, highlighting the importance of avoiding overtreatment.

 

In addition to classical findings of sinus tachycardia and systolic hypertension, it is well recognized that atrial fibrillation complicates thyrotoxicosis in about 15% of cases (23). The incidence of this complication rises with age, so it is observed more frequently in the elderly (24). It has been estimated that atrial fibrillation occurs at least three times more commonly in those with thyrotoxicosis than those without. Development of atrial fibrillation may itself lead to deteriorating cardiac status, especially in the presence of pre-existing heart disease, and it may also be associated with embolic complications, especially cerebral embolism (25). These influences probably contribute significantly to the increased cardiovascular and cerebrovascular mortality described above. Furthermore, the likelihood of spontaneous restoration of sinus rhythm in those with atrial fibrillation complicating thyrotoxicosis lessens with age, probably reflecting the presence of underlying ischemic, hypertensive, or valvular heart disease (26).

In view of these cardiovascular manifestations/complications, the diagnosis of thyrotoxicosis should be suspected in all subjects presenting with atrial fibrillation, worsening heart failure, systolic hypertension, and deteriorating ischemic heart disease. Nonetheless, case-finding studies have shown that thyrotoxicosis accounts for less than 5% of newly diagnosed cases of atrial fibrillation (23).

Bone Metabolism and Hyperthyroidism

 

The other significant consequence of thyrotoxicosis is its effect on bone metabolism. Overt hyperthyroidism is associated with increased bone turnover and reduction in bone mineral density (27). Meta-analysis of available data (28) has shown that this influence is especially marked in estrogen deficient postmenopausal women. While antithyroid treatment results in an improvement in bone mineral density, recovery is incomplete so risks of osteoporosis associated with aging, especially in women, are exacerbated (29). Several large-scale epidemiological studies (16,30) have revealed independent associations between a history of thyrotoxicosis and risk of fracture of the femur.

 DIAGNOSIS OF HYPERTHYROIDISM

 

It is essential that a clinical suspicion of thyrotoxicosis is confirmed or refuted by biochemical testing before further investigation or treatment is contemplated (1). The single most important biochemical test is measurement of serum TSH. If the serum TSH concentration is within the normal range, then a diagnosis of thyrotoxicosis is effectively ruled out. Exceptions to this rule are rare TSH-dependent causes of hyperthyroidism, such as TSH-secreting tumors of the pituitary and syndromes of thyroid hormone resistance, although these diagnoses are more typically associated with a modest rise in TSH (with raised serum thyroid hormones, as opposed to the usual pattern of raised TSH in conjunction with low thyroid hormone levels).

 

Studies of healthy elderly subjects have shown that serum concentrations of thyroxine (T4) and tri-iodothyronine (T3) are unchanged compared with younger age groups (31). Analysis of large U.S. population-based normative data suggest that there is a slight increase in the upper limit of normal TSH levels with aging, but the lower limit of normal TSH levels remains relatively unchanged (32). Therefore, in a healthy older patient, a low or suppressed TSH level suggests hyperthyroidism. On the other hand, "non-thyroidal" illnesses and drug therapies that alter tests of thyroid function are more common with increasing age. These effects typically lead to reduced peripheral conversion of T4 to T3 and reduction in serum T3 concentrations. Serum TSH may be unaffected by illness, although a reduction in TSH is commonly seen, as is a modest elevation in TSH particularly during the recovery phase of illness (33). Therefore, in an acutely or chronically ill older patient, interpretation of a low TSH level must be done with caution, as low serum TSH, especially if below the normal range but nonetheless detectable, often reflects a "non-thyroidal" illness or therapy with a wide variety of drugs (34) (Table 2). A diagnosis of thyrotoxicosis should be confirmed biochemically by measurement of serum free thyroxine (T4) (and in some cases T3 if free T4 is in the high/normal range and T3-toxicosis is therefore suspected).

 

Table 2. Effect of Drugs on Tests of Thyroid Function

Drug

 

Serum T4

 

Serum T3

 

Serum TSH

 

 Dopamine

 

¯, ®

 

 

¯, ®

 

¯

 

Glucocorticoids

 

¯, ®

 

¯, ®

 

¯

 

Estrogens

 

­ total T4

 

­ total T3

 

®

 

Anticonvulsants

 

¯, ®

 

¯, ®

 

®

 

Acetylsalicylic acid

 

­, ®

 

­, ®

 

¯ ®

 

Amiodarone

 

­

 

¯

 

variable

 

Heparin

 

­, ®

 

­, ®

 

¯, ®

 

Fenclofenac

 

¯, ®

 

¯, ®

 

®

 

Anabolic steroids

 

¯ total T4

 

¯ total T3

 

®

 

 

In the majority of cases of thyrotoxicosis, a typical biochemical picture of elevated free T4 and T3 with associated undetectable TSH will be observed. In some cases, a biochemical diagnosis of "T3-toxicosis" is evident, characterized by elevation of serum T3 in the absence of a rise in T4. This is typically observed in mild cases of toxic nodular hyperthyroidism and early in the course of Graves' hyperthyroidism. In some instances, the converse is true in that a rise in T3 is absent despite elevation in free T4 and suppression of TSH in a patient thought clinically to have thyrotoxicosis. This lack of rise in T3 may reflect the presence of another "non-thyroidal" illness, evident upon re-testing once the other morbidity is eliminated.

CAUSES OF THYROTOXICOSIS 

Graves' Disease and Toxic Nodular Hyperthyroidism

 

In iodine replete parts of the world, Graves' disease is the most common endogenous cause of thyrotoxicosis. In the elderly, however, toxic nodular hyperthyroidism becomes an important cause (1,35). In all age groups, toxic nodular hyperthyroidism is more common in areas of the world that are relatively iodine deficient (36). The natural history of goiter is of progression from the presence of diffuse thyroid enlargement to development of one or more nodules and eventual autonomous function of one or more of these nodules resulting in thyrotoxicosis. This natural history is typically long so the elderly patient presenting with thyrotoxicosis often describes the presence of a goiter for many years. A relatively rare cause is the presence of a single toxic adenoma - a benign tumor exhibiting autonomous secretion of thyroid hormones. This diagnosis accounts for less than 2% of cases of thyrotoxicosis occurring in the US (36). Biochemically, the development of autonomous function in a nodular goiter is first evidenced by suppression of serum TSH with normal serum concentrations of thyroid hormones ("subclinical" hyperthyroidism - see below), followed by elevation of serum T3 and free T4.

 

In many cases, the cause of thyrotoxicosis is obvious from the clinical picture (1,35). The diagnosis of Graves' disease may be evident by the presence of diffuse goiter and ophthalmopathy, whereas toxic nodular hyperthyroidism is characterized by the presence of a nodular goiter on examination of the neck. It should be noted, however, that the thyroid might be impalpable in about 30% of cases of Graves' disease or toxic nodular hyperthyroidism. If the cause of thyrotoxicosis is not obvious, further investigation may be warranted. The presence of thyroid autoantibodies (to thyroid peroxidase - TPO and/or thyroglobulin) is suggestive (but not diagnostic of) Graves' disease; TSH receptor antibodies are more specific for the diagnosis. Such antibodies are positive in 90% of Graves’ Disease cases, and are usually negative in cases of toxic nodular hyperthyroidism. If TSH receptor antibodies are positive in the presence of a nodular goiter, both conditions may co-exist. Radioisotope scanning, using technetium-99m or iodine-123, typically shows a diffuse pattern of uptake in Graves' disease, in contrast to the presence of multiple "hot" nodules with surrounding thyroid tissue not demonstrating any uptake in cases of toxic nodular hyperthyroidism (figure 1). Occasionally, a single "hot" nodule, with absent uptake elsewhere in the thyroid is observed. This finding suggests the presence of a toxic nodular adenoma.

Figure 1. Radionuclide imaging of the thyroid illustrating hot nodules in toxic nodular hyperthyroidism (right) which contrasts with a diffuse uptake in Graves' Disease (left)

 Other Causes of Thyrotoxicosis

 

Although Graves' disease and toxic nodular goiter are by far the most common causes of endogenous thyrotoxicosis in older patients, it is important to consider other diagnoses. As in other age groups, the elderly patient may develop transient thyroid hormone excess secondary to a temporary thyroiditis, i.e., destruction of the thyroid with release of pre-formed thyroid hormones (35). Sub-acute thyroiditis should be suspected if the patient complains of sore throat or neck tenderness, typically associated with symptoms of a viral illness or an upper respiratory tract infection. The diagnosis is confirmed by the finding of a raised erythrocyte sedimentation rate (ESR) and absent or very low uptake of iodine-123. This is an important diagnosis to make since antithyroid treatment with antithyroid drugs or radioiodine is inappropriate, because it is ineffective and because the condition resolves spontaneously (usually after a self-limiting period of hypothyroidism).  Silent thyroiditis has a similar clinical course as subacute thyroiditis, but the gland is not tender and there is no increase in ESR.  Both subacute and silent thyroiditis can occur in older patients, although the peak age range for these two conditions is among younger patients (37).

 

Iodine-induced thyroiditis should be considered in patients with a history of iodine ingestion (e.g., in the form of sea weed preparations or over the counter iodine containing compounds, such as expectorants) or after administration of iodine containing radiographic contrast agents (35). The diagnosis can be confirmed by the finding of low iodine uptake. This condition also remits spontaneously and radioiodine therapy is contraindicated. This diagnosis is more common in older patients, who are more likely to receive iodinated contrast agents and to have underlying multinodular goiters that predispose them to iodine-induced thyrotoxicosis.

 

Finally, it should be noted that exogenous thyrotoxicosis due to excessive doses of thyroid hormone in the treatment of hypothyroidism is quite common.  One study indicated that over 40% of older subjects taking thyroid hormone had low TSH levels, indicating excess thyroid hormone doses (38). A second study reported that iatrogenic thyrotoxicosis accounted for about 50% of low TSH events in a large cohort of subjects, with the highest rates in older women (39). A third study reported that thyroid hormone use increased 1.8-fold in the UK from 2001-2009, with decreasing TSH thresholds for initiating treatment. Of concern, 90% of treated subjects remained on L-T4 for > 5 years, and 16% had low or suppressed TSH levels, indicating excessive doses (40). A fourth study reported that thyroid hormone use doubled in the U.S. from 1997-2016, from 4% to 8%, while expenditures for thyroid hormone tripled. Thyroid hormone use was higher in women, older individuals, and non-Hispanic whites (41). These reports clearly indicate that thyroid hormone is being over-prescribed, with high risks of overtreatment and potential clinical consequences, particularly in older subjects who may have underlying cardiac issues or osteoporosis.

 Amiodarone Induced Thyrotoxicosis

 

The diagnosis of thyroid dysfunction should be considered in an elderly patient prescribed the antiarrhythmic agent amiodarone. This drug is widely used in the older age group for control of dysrhythmias, particularly those associated with poor left ventricular function. Amiodarone is an iodine-containing compound that affects the results of tests of thyroid function, even in those who are euthyroid (35,42). Typically, amiodarone, through its effect on peripheral conversion of T4 to T3, results in modest reduction in serum concentrations of T3 (often to below the normal range) and modest elevation in serum T4 (often to above the normal range). TSH is typically slightly elevated early after commencement of treatment and normalizes later in euthyroid patients.  Therefore, beginning 2-3 months after amiodarone is started, the serum TSH level is an accurate indication of thyroid function.

 

Although amiodarone results in overt thyroid dysfunction in 5-10% of cases, it is important not to over-interpret mildly abnormal results of tests of thyroid function. Thyrotoxicosis should only be diagnosed in the presence of significant elevation of free T4, together with elevation in serum T3 and suppression of TSH; sometimes serum T3 is at the upper range of normal rather than elevated, probably because of associated "non-thyroidal" illness in this age group, together with the block of T4 to T3 conversion seen with amiodarone.

 TREATMENT OF THYROTOXICOSIS

 Antithyroid Drugs

 

The thionamides – methimazole (or its precursor drug carbimazole) and propylthiouracil - represent the mainstay of drug treatment of thyrotoxicosis (1,35). These drugs inhibit the oxidation and organification of iodide and hence block the synthesis of T4 and T3 early in their biosynthetic pathway. They represent the most effective and rapid means of reducing circulating thyroid hormone concentrations. They can be used in several ways: short-term in preparation of the patient for definitive treatment with radioiodine or surgery, medium term in the hope of inducing remission in cases of thyrotoxicosis due to Graves' disease, or long-term for control of clinical and biochemical thyroid hormone excess.

 

In many elderly patients, thionamides are used short-term in the preparation for curative treatment. A typical starting dose of methimazole is 20-30 mg per day as a single daily dose. In contrast, propylthiouracil is typically given in divided doses, the equivalent to methimazole 20 mg being 200mg. Doses higher than this are rarely required, since high doses have not been shown to be more effective in terms of restoration of euthyroidism in prospective studies (43,44). Since compliance is better and side effects are less frequent, methimazole or carbimazole are considered the drugs of choice, in preference to propylthiouracil (35). Serum free T4 should be checked 4-6 weeks after beginning therapy and the thionamide dose adjusted accordingly. It is usually possible to render the patient euthyroid (or near euthyroid) after 2-3 months, so they can proceed to curative therapy.

 

Drug side effects are relatively uncommon, but it is essential that all subjects (in whichever age group) be warned (preferably in writing) of the potential risk of agranulocytosis so that they present urgently for a full blood count if they develop a fever or sore throat. Agranulocytosis often, but not always, occurs in the first few weeks after beginning thionamide therapy and is probably more common in those taking higher doses (35). The latter observation represents a relative contraindication to doses of methimazole/carbimazole of greater than 20-30 mg per day; doses higher than this are rarely necessary in the elderly.

 

Other serious side effects can occur, notably antineutrophil cytoplasmic antibody-associated-vasculitis (typically associated with prescription of propylthiouracil), hepatitis, or pancreatitis (35,44), although these are rare. These serious complications, together with agranulocytosis, represent absolute contraindications to further use of thionamides. Less serious side effects such as pruritic rash are more common and can usually be managed conservatively, although sometimes a change in drug therapy from one thionamide to another is required (ATA guidelines).

 ANTITHYROID DRUGS AND GRAVES’ DISEASE

 

In general, remission rates following thionamide therapy in Graves' hyperthyroidism are less than 50%, nonetheless, there is some evidence that the remission rate in Graves’ may be higher in the elderly age group, probably reflecting the presence of milder disease. If the objective is to achieve remission or "cure" of thyrotoxicosis secondary to Graves' disease, then thionamide treatment should be prescribed for a course of not less than 12 or 18 months, since shorter courses are associated with a lower rate of remission (35). Drug doses should be titrated according to serum concentrations of free T4 (serum TSH may remain suppressed for months); the majority of subjects will require a methimazole maintenance dose of 5-10 mg daily once normal fT4 levels are achieved (propylthiouracil 50-100mg daily in divided doses). Larger dose requirements are suggestive of poor compliance. Poor prognostic features for achieving long-term remission (35) (established in younger age groups) include male sex, the presence of a large goiter and biochemically severe disease at diagnosis. Most relapses of Graves' thyrotoxicosis occur 3-6 months after thionamide withdrawal.

 

Although standard recommendations for treating Graves’ disease with thionamides include a 12-18 month course of therapy, recent studies suggest that long term thionamide therapy is safe and efficacious (46,47). This option may be particularly useful in older patients with limited life expectancies, since it leads to more rapid attainment of euthyroidism and lower rates of hypothyroidism than radioactive iodine or surgery (48). Updated guidelines for treating hyperthyroidism now include the option for long-term thionamide therapy (35).

 ANTITHYROID DRUGS AND TOXIC NODULAR HYPERTHYROIDISM

 

Time-limited courses of thionamides virtually never result in remission or cure of thyrotoxicosis secondary to toxic nodular goiter, although some spontaneous fluctuation in the severity of the disease is seen. Thionamides may thus be used short-term (as above) to induce euthyroidism prior to definitive treatment, but a time-limited course should not be prescribed in the hope of inducing cure. Recent studies show that long-term thionamide therapy is safe and efficacious in toxic nodular hyperthyroidism (47,49).  Once biochemical control has been achieved, biochemical monitoring every 3-6 months is desirable.

BETA-ADRENERGIC BLOCKING AGENTS AND OTHER DRUGS AS ADJUNCTIVE THERAPIES

 

Beta adrenergic blockers are useful adjuncts to thionamides in the management of thyrotoxicosis. In cases of thyroiditis or mild cases of hyperthyroidism proceeding to radioiodine, they may be the only additional treatment required. Beta adrenergic blockers act promptly to reduce symptoms and signs of tremor and to improve tachycardia and associated palpitations (35). Such agents should be used cautiously in elderly subjects with heart failure (although a beneficial effect often results because of amelioration of some of the cardiovascular effects of thyroid hormone excess) and in those with asthma or chronic obstructive pulmonary disease. Propranolol has been widely used in thyrotoxic subjects but requires multiple daily dosing; longer acting beta adrenergic blockers such as atenolol (50-100mg daily) may therefore be preferred.

 

Other adjunctive therapies include salicylates for relief of local pain and tenderness in cases of subacute thyroiditis; occasionally glucocorticoids such as prednisolone are required short-term.

Anticoagulation with coumarin derivatives such as warfarin should be considered in elderly subjects with thyrotoxicosis complicated by atrial fibrillation. This is driven by evidence for embolic complications. There have been no controlled trials of the use of anticoagulants in thyrotoxic atrial fibrillation, but overwhelming evidence of their efficacy in other settings argues in favor of their use in this situation (50), unless contraindications exist. Therapy to restore sinus rhythm should be considered but not until the patient has been rendered euthyroid. This therapy may comprise pharmacological cardioversion (with agents such as sotalol) or electrical cardioversion. Restoration of sinus rhythm is more likely in those whose atrial fibrillation is of short duration and in those without underlying heart disease (23), although rates of restoration of sinus rhythm may be relatively low, even with cardiologic intervention (24).

 Radioiodine Therapy

 

Radioiodine (I-131) is a reasonable therapy in elderly hyperthyroid subjects, as it can be administered by mouth in the outpatient setting and is associated with few side effects. Some patients notice sore throat or neck tenderness (reflecting a radiation thyroiditis), but this is usually mild and transient. Its long-term efficacy is well established (35). Reports of potential risks of secondary cancers following radioactive iodine therapy for hyperthyroidism have been inconsistent, but long-term risks appear modest, and are likely to be of less importance in older subjects (51-53). There are few, if any, contraindications to radioiodine therapy apart from inability to comply with local radiation protection regulations. Such compliance may be difficult to achieve in hospital or nursing home residents, those with urinary incontinence, and those with significant mental impairment. In such cases, long-term thionamide therapy is often the best practical option (see above).

 

A relative contraindication to the use of radioiodine in cases of Graves' thyrotoxicosis is the presence of moderate or severe ophthalmopathy. There is a slightly increased risk of development or worsening of pre-existing thyroid eye disease in those treated with radioiodine compared with thionamides or surgery (35). Problematic eye disease is more likely in those with pre-existing ophthalmopathy, in smokers (smoking is an independent risk factor for development of ophthalmopathy in Graves’ disease), and those with severe biochemical disease. In view of evidence (35) that a course of glucocorticoid abolishes any increase in risk of ophthalmopathy in those receiving radioiodine, many experts prescribe a short course of prednisone/prednisolone at the time of therapy. Typical doses of prednisone are 0.4-0.5 mg/kg/day starting 1-3 days following I-131 therapy and continued for one month, with gradual tapering over the next two months. However, recent data suggest that a lower dose of prednisone of 0.2 mg/kg/day for 6 weeks may be equally efficacious (54).

 

In those with severe clinical and biochemical thyrotoxicosis it is desirable to restore euthyroidism before proceeding to radioiodine therapy. This is because of the theoretical risk of inducing "thyroid storm" due to thyroid destruction and release of pre-formed thyroid hormones following radioiodine administration, together with the need to stop thionamide therapy temporarily at the time of treatment. In mild cases (judged both clinically and biochemically), such pre-treatment with thionamides may be unnecessary and radioiodine may be given as initial therapy or after short-term preparation with beta-adrenergic blockers.

 RADIOIOIDINE DOSING

 

Many studies have attempted to define optimal radioiodine doses in the hope of inducing euthyroidism and avoiding iatrogenic hypothyroidism in hyperthyroid patients (35). Studies have examined attempts to titrate doses of radioiodine according to factors such as thyroid size (judged clinically or by imaging), isotope uptake, or isotope turnover in the thyroid. Older literature suggested that cases of toxic nodular hyperthyroidism require larger doses of radioiodine to induce euthyroidism than cases of Graves' disease. It is clear, however, that measures of thyroid size or isotope uptake/turnover generally do not allow effective "dose titration". Furthermore, the dose of radioiodine required to cure toxic nodular hyperthyroidism is not different from that required in Graves' disease in the majority of cases (55). In some subjects with large goiter, higher initial doses or multiple treatments are required.

 

Many large thyroid centers thus avoid attempts at radioiodine "dose titration" and administer empirical doses. Such an approach avoids the necessity for extra hospital visits to document isotope uptake into the gland or the need for other imaging. The dose of radioiodine administered varies between centers, and is determined in part by radiation protection restrictions that vary considerably around the world. Typically, a dose of radioiodine is chosen which can be administered in the outpatient setting and which results in cure of thyrotoxicosis in the majority after a single dose, while not inducing hypothyroidism in all. In iodine-replete parts of the world such as the US and UK, a standard dose of radioiodine is 10-15 mCi or 400-600 MBq. In a UK series (56) a dose of this size resulted in cure of thyrotoxicosis in more than two thirds, at a cost of early hypothyroidism in 50%. Some centers administer larger doses to those with large goiter or to men, in view of evidence of relative radioresistance in these groups. There is also evidence that use of thionamides, especially propylthiouracil, before and/or after radioiodine treatment also induces relative radioresistance and hence the need for repeat dosing or a larger initial dose (35). It has been suggested that large doses should be administered routinely to elderly subjects, particularly those with cardiovascular disease or complications, to be certain of rapid restoration of euthyroidism. This view is reinforced by evidence that effective cure as indicated by the development of hypothyroidism requiring thyroxine replacement therapy is associated with a lessening of vascular mortality (compared with those not rendered hypothyroid) (17) and more likely conversion to sinus rhythm in those with AF associated with hyperthyroidism (24).

 FOLLOW-UP AFTER RADIOIODINE THERAPY

 

Thionamide therapy should be withdrawn 3-7 days before radioiodine (to allow iodine uptake into the thyroid) and should be restarted after a similar period post-treatment if the elderly subject has severe disease, incomplete biochemical control, significant complications (e.g., atrial fibrillation), or has return of symptoms in the short period of thionamide withdrawal before radioiodine therapy. After therapy, clinical and biochemical assessment should be carried out every 4-6 weeks for the first few months so that thionamide doses may be adjusted (according to free T4) and hypothyroidism identified. A transient rise in serum TSH may be seen in the first few months after radioiodine and does not necessarily indicate permanent hypothyroidism, but more marked biochemical or symptomatic hypothyroidism usually indicates the need for life-long T4 therapy. Persistence of biochemical hyperthyroidism 6 months after radioiodine therapy usually indicates the need for re-dosing. Unless small empirical doses are administered, the vast majority of patients with either toxic nodular hyperthyroidism or Graves' disease are rendered euthyroid (off all treatment) or hypothyroid (on T4) with one, two or (uncommonly) three doses (56,57). Occasional cases of apparent resistance to radioiodine treatment are seen.

 

Long-term, patients treated with radioiodine require biochemical follow-up for detection of hypothyroidism. Such follow-up is essential since the incidence of hypothyroidism is significant even many years after radioiodine and eventually up to 90% of those treated in this way become hypothyroid (35). Hypothyroidism rates may be slightly lower in those with toxic nodular hyperthyroidism (56) because of relative sparing of normal thyroid tissue through concentration of isotope in "hot" autonomous nodules.

 Surgical Treatment of Thyrotoxicosis

 

Surgical treatment of thyrotoxicosis is a viable option in selected patients, and if experienced thyroid surgeons are available (35). However, there is a higher risk of complications of anesthetic and surgery in elderly subjects, which limits its utility in this population.

 

If surgery is contemplated, it is essential that clinical and biochemical euthyroidism are restored beforehand. This requires therapy with thionamides, ideally for 2-3 months prior to surgery, sometimes in conjunction with pre-operative preparation with beta-adrenergic blockers or Lugol's iodine (35). Thorough preparation is essential in order to avoid thyroid storm post-operatively, as well as other significant complications of thyroid hormone excess, especially cardiovascular complications.

 

There is on-going debate regarding the most appropriate surgical approach for treatment of thyrotoxicosis. Many large centers advocate total thyroidectomy for Graves' hyperthyroidism, since partial thyroidectomy is associated with significant rates of short - and long-term recurrence (35), while in expert hands surgical complication rates should be similar. Such complications include bleeding into the neck, hypoparathyroidism, and damage to recurrent laryngeal nerves. Hypothyroidism is inevitable after total thyroidectomy (the patient leaves the hospital on T4 therapy) but is also common after partial thyroidectomy. Life-long follow-up (as with cases treated with radioiodine) is essential for detection of hypothyroidism (and recurrence of hyperthyroidism) after partial thyroidectomy.

 

Cases of toxic nodular hyperthyroidism may be treated by thyroid lobectomy or excision of a single hot nodule. Such an approach has the theoretical advantage of avoidance of hypothyroidism, as well as improvement in cosmetic appearance in those with large goiter. It should be noted, however, that reduction in nodule/goiter size is also evident after radioiodine therapy, albeit after several months. Surgery may be considered appropriate if toxic nodular goiter is associated with obstructive symptoms or if there is concern about the presence of co-existent malignancy in the goiter/nodules.

 Treatment of Amiodarone-Induced Thyrotoxicosis (AIT)

 

This condition is difficult to treat and a cause of significant morbidity/mortality in patients with underlying cardiac disease (35,58).  AIT can be diagnosed many months after amiodarone has been discontinued, since it persists in the body for long periods of time.  AIT can be a life-threatening diagnosis, since it worsens arrhythmias and cardiac function in patients who already have compromised cardiovascular systems. 

 

There are two types of AIT. Type 1 AIT occurs in patients with pre-existing thyroid abnormalities such as nontoxic multinodular goiters or subclinical Graves’ Disease. This type is thought to be due to iodine overload, since amiodarone is 37% iodine by weight. Type 2 AIT is a destructive thyroiditis that causes thyrotoxicosis by the release of pre-formed thyroid hormone, which can be prolonged. Some experts report that these two types can be distinguished by measurement of serum interleukin-6 (raised in destructive thyroiditis) or by ultrasonographic definition of thyroid vascularity (35,58). These tests are not, however, routinely available, and it is increasingly recognized that these varieties may co-exist.

 

In general, thionamide therapy should be considered first line treatment of Type 1 AIT. High dose glucocorticoids are considered first-line therapy for Type 2 AIT, although they can have significant side effects in elderly patients. In practice, it can be difficult to distinguish Type 1 from Type 2 AIT, and in severe acute cases, both thionamides and prednisone are sometimes started simultaneously. Type 2 AIT responds more quickly to glucocorticoids than Type 1 AIT responds to methimazole, so a rapid response to therapy is an indirect indicator of Type 2 AIT.  Perchlorate may be a helpful adjunct therapy, although it is not commercially available in the U.S.

 

Withdrawal of amiodarone is often not possible because of the serious nature of underlying dysrhythmias leading to amiodarone treatment, although it should be carefully considered. In any case, the long half-life of the drug (around 50 days) determines that any effect of amiodarone withdrawal is slow. Because of the iodine content of the drug, radioiodine therapy is ineffective because the radioisotope is not taken up into the thyroid. Radioiodine treatment is typically not feasible until at least 6 months after amiodarone withdrawal. Several groups have described surgical treatment of AIT, with a recent report suggesting that patients treated with thyroidectomy had lower 5-year cardiovascular and 10-year all-cause mortality, compared to medically treated AIT patients (59). Restoration of euthyroidism with thionamides is preferable pre-operatively if possible.

 SUBCLINICAL HYPERTHYROIDISM

 

"Subclinical" hyperthyroidism is a biochemical diagnosis characterized by a low serum TSH with normal serum thyroid hormone concentrations. Many of the subjects included in the studies quoted at the beginning of this chapter had subclinical, rather than overt, hyperthyroidism, as subclinical hyperthyroidism is more common than overt disease. There is significant variation in the reported prevalence of subclinical hyperthyroidism in the elderly, with typically quoted prevalence of 0.8 – 2% (35). As with overt hyperthyroidism, prevalence rates are lower if one excludes subjects taking thyroid hormone preparations. The prevalence of endogenous subclinical hyperthyroidism in a population depends on age, gender and iodine intake (3,60,61).

 

The most common cause of suppression of TSH in the general population is exogenous thyroid hormone therapy, typically levothyroxine (LT4). Population surveys (62) have shown that approximately one quarter of those prescribed LT4 long-term display reduction in TSH suggestive of mild over-treatment; (this is deliberate in the relatively small number of patients with a history of thyroid cancer). Since LT4 is prescribed to many patients over 60 years old, this medication is a common cause of subclinical hyperthyroidism. In fact, a recent study showed that over 40% of patients over the age of 64 years treated with levothyroxine had low TSH levels, indicating overtreatment (38).

 

In patients not receiving exogenous thyroid hormone therapy, the differential diagnoses of a low or undetectable TSH includes nonthyroidal illness and medications (see above). Once these have been excluded, nodular goiter is the next most common cause of low serum TSH in this age group. In subjects with a nodular goiter, either detectable clinically or evident on isotope imaging, suppression of serum TSH represents the earliest biochemical marker of thyroid autonomy and onset of hyperthyroidism. Other causes of endogenous subclinical hyperthyroidism in the elderly include Graves’ Disease, subacute thyroiditis, and silent thyroiditis, as in younger patients, although these are less common.

 

The natural history of endogenous subclinical hyperthyroidism is variable, and depends on the underlying cause. Most patients have stable subclinical hyperthyroidism over years, but a sizable minority either progress to overt hyperthyroidism or normalize their thyroid function (35).  A low but detectable TSH probably has less pathophysiological significance than a completely suppressed TSH, in terms of clinical consequences as well as progression rates. In addition, endogenous subclinical hyperthyroidism, for example secondary to nodular goiter, is probably of greater significance than exogenous (due to levothyroxine therapy) since the former is associated with higher serum T3 concentrations.

 

There is little evidence to suggest that subclinical hyperthyroidism is associated with significant symptoms (63), but there is a growing body of evidence that low serum TSH is associated with adverse effects, particularly on heart, bone, and brain, and possibly increased all-cause and cardiovascular mortality.

 

An important study of the Framingham population of the US (64) first revealed a 3-fold increased incidence of atrial fibrillation in subjects aged over 60 with serum TSH of less than 0.1 mU/L, compared with those with normal serum TSH. The likelihood of developing atrial fibrillation was also increased, but less markedly, in those with low but detectable TSH. The group in this survey with low TSH was heterogeneous and included some subjects taking exogenous T4 therapy. Similar findings have been reported in larger population-based studies since this initial observation (35). 

 

Recent studies have also reported that subclinical hyperthyroidism is associated with increased mortality and cardiovascular events in subjects 65 years and older (19,21,65).  A meta-analysis of individual-level data from 52,674 participants pooled from 10 cohort studies concluded that subclinical hyperthyroidism confers a 24% increased risk of overall mortality and 29% increased risk of cardiovascular mortality (66). Some of these studies, including the meta-analysis, have also examined non-fatal cardiovascular events in subclinical hyperthyroidism, with similar increased risks (66-69). Data indicate that subclinical hyperthyroid subjects appear to be at particular risk for the development of heart failure (66,70,71), especially older subjects and those with lower TSH levels.

 

Adverse effects of subclinical hyperthyroidism on bone may occur. A recent meta-analysis of 6 prospective cohorts (5,458 subjects, median age 72 years, 5% with subclinical hyperthyroidism) reported that older subjects with subclinical hyperthyroidism had increased annual rates of bone loss at the femoral neck, especially if the TSH was less than 0.1 mU/L (72).  A second meta-analysis of 13 prospective cohorts (70,298 subjects, median age 64 years, median follow-up 12 years, 3% with subclinical hyperthyroidism) reported that subjects with subclinical hyperthyroidism had increased rates of hip fracture, clinical spine fracture, non-spine fracture, and any fracture (73).  Risks were greatest if the TSH was less than 0.1 mU/L.  There is also evidence for improvement in bone metabolism or BMD after treatment of endogenous subclinical hyperthyroidism (74). Finally, in hypothyroid subjects who were started on LT4 and followed for a mean of 7 years, the number of 6-month periods with low TSH levels increased the risk of hip and major osteoporotic fractures in post-menopausal women, but not in men (75).  This further illustrates the importance of avoiding overtreatment in hypothyroidism.

 

Mood and cognitive function have also been examined in older subjects with subclinical hyperthyroidism (76). A meta-analysis of 11 studies (16,805 subjects, mean age over 70 years, median follow-up 3.5 years) reported an increased risk of dementia in subclinical hyperthyroid subjects (77).  A more recent prospective cohort study (2,558 subjects ages 70-79 years, median follow-up 9 years) reported an increased risk of dementia if the TSH was suppressed, but not if the TSH was low but detectable (78).  Reports on associations between subclinical hyperthyroidism and rates of depression or anxiety have been variable, with some studies indicating no association in older subjects (35,79), while others report increased rates of depressive symptoms in subclinical hyperthyroidism (80).

 

Concerns about effects of mild thyroid hormone excess upon heart and bone, and more recently on cognitive function, have led to a trend towards treatment of this condition. In those taking exogenous thyroid hormone, management is relatively straightforward, namely reduction in prescribed dose and re-checking of serum TSH 6-8 weeks later. For those not taking T4, many experts administer either antithyroid drugs or radioiodine to those with persistent subclinical hyperthyroidism, especially in subjects with atrial fibrillation or other underlying cardiac disease. Prospective trials confirming benefit of such therapy have yet to be performed, but analysis of large datasets indicate that prolonged periods of undertreatment confer increased risks (19,21).  Based on this, consensus guidelines recommend that older subjects and those with AF or other vascular risk factors should be treated (35).

SCREENING FOR HYPERTHYROIDISM IN ELDERLY SUBJECTS

 

Several factors should be considered before a decision is made to institute either population or targeted screening for thyroid disorders in groups such as the elderly. Firstly, screening programs should be instituted only for those conditions in which the benefits of screening outweigh the costs. Whether benefits outweigh the costs depends on accurate quantification of these issues, then a judgment as to whether the costs of screening are justified. Although it is clear that hyperthyroidism is common, there are no data that demonstrate that identified subjects benefit from being diagnosed; it is not sufficient to demonstrate only that such subjects exist. Such benefits and costs should ideally be based upon the results of a randomized controlled trial in an appropriate sample of the relevant population. In considering costs, those incurred by those who do not themselves gain from the screening program should be considered. If, for example, the screening process uses a test such as serum TSH with occasional positives, then some patients may be exposed to investigations which are unnecessary, with accompanying risk and potential morbidity.

 

While overt and subclinical hyperthyroidism are common in older subjects, and while there is evidence for adverse consequences of these diagnoses, the evidence that treatment in a screened population improves morbidity/mortality, and that the risks of such treatment outweigh the costs, is currently inconclusive. There should, nonetheless, be a high index of suspicion for hyperthyroidism in this age group and a low threshold for biochemical testing, especially in those with a previous personal or family history of thyroid disease or those with conditions such as atrial fibrillation that may reflect hyperthyroidism. Care must also be taken to recognize the atypical presentations of hyperthyroidism that occur in this age group, including unexplained weight loss and psychiatric symptoms.

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Androgen Physiology: Receptor and Metabolic Disorders

ABSTRACT

 

Androgens are an important class of C19 steroid hormones that control normal male development and reproductive function. The main circulating androgen is testosterone, which is produced in the Leydig cells of the testis and can also act as a pro-hormone after being metabolized to dihydrotestosterone (DHT) or estradiol (E2). The biological actions of testosterone and DHT are mediated by the androgen receptor, a member of the nuclear receptor superfamily, which in response to hormone regulates gene expression in target tissues. In this chapter the biosynthesis of androgens, receptor structure/function, and the consequences of genetic changes impacting on receptor expression and signaling in disorders of male development are discussed.

 

INTRODUCTION

 

Androgens are important hormones for expression of the male phenotype. They have characteristic roles during male sexual differentiation, but also during development and maintenance of secondary male characteristics and during initiation and maintenance of spermatogenesis (1, 2). The two most important androgens in this respect are testosterone and 5α-dihydrotestosterone [Figure 1].

Figure 1. Structure of testosterone and 5α-dihydrotestosterone and anti-androgens.

While acting through the same androgen receptor, each androgen has its own specific role during male sexual differentiation: testosterone is directly involved in development and differentiation of Wolffian duct derived structures (epididymides, vasa deferentia, seminal vesicles and ejaculatory ducts) [Figure 2A], whereas 5α-dihydrotestosterone, a metabolite of testosterone, is the active ligand in a number of other androgen target tissues, like urogenital sinus and tubercle and their derived structures (prostate gland, scrotum, urethra, penis) [Figure 2B] (3, 4).

Figure 2. Specific actions of testosterone (T) and 5α-dihydrotestosterone (DHT). A) Testosterone is synthesized in the testis under the control of luteinizing hormone (LH) from the pituitary. After entering target cells in the hypothalamus, pituitary, testis, and Wolffian duct, T binds to the androgen receptor (AR) and the T-AR complex binds to specific DNA sequences and regulates gene transcription, which can result in negative feedback regulation of gonadotrophin synthesis and secretion, in initiation and regulation of spermatogenesis, and in differentiation and development of Wolffian ducts. B) T is synthesized in the testis under the control of LH, enters target cells in urogenital sinus, urogenital tubercle, and several other androgen target tissues and is metabolized to DHT by the enzyme 5α-reductase type 2. DHT binds directly to the AR and the DHT-AR complex interacts with specific DNA sequences and regulates gene transcription resulting in differentiation and development of the prostate, the external genitalia, and during puberty several secondary male sex characteristics.

The interaction of both androgens with the androgen receptor is different. Testosterone has a twofold lower affinity than 5α-dihydrotestosterone for the androgen receptor, while the dissociation rate of testosterone from the receptor is five-fold faster than of 5α-dihydrotestosterone (5). However, testosterone can compensate for this "weaker" androgenic potency during sexual differentiation and development of Wolffian duct structures via high local concentrations due to diffusion from the nearby positioned testis. In more distally located structures, like the urogenital sinus and urogenital tubercle the testosterone signal is amplified via conversion to 5α-dihydrotestosterone.

 

ANDROGEN BIOSYNTHESIS

 

Androgens (testosterone and 5α-dihydrotestosterone) belong to the group of steroid hormones. The major circulating androgen is testosterone, which is synthesized from cholesterol in the Leydig cells in the testis. Testosterone production in the fetal human testis starts during the sixth week of pregnancy. Leydig cell differentiation and the initial early testosterone biosynthesis in the fetal testis are independent of luteinizing hormone (LH) (6-8). During testis development production of testosterone comes under the control of LH which is produced by the pituitary gland. Synthesis and release of LH is under control of the hypothalamus through gonadotropin-releasing hormone (GnRH) and inhibited by testosterone via a negative feedback mechanism [Figure 2A] (9).The biosynthetic conversion of cholesterol to testosterone involves several discrete steps, of which the first one includes the transfer of cholesterol from the outer to the inner mitochondrial membrane by the steroidogenic acute regulatory protein (Star) and the subsequent side chain cleavage of cholesterol by the enzyme P450scc (10). This conversion, resulting in the synthesis of pregnenolone, is the rate-limiting step in testosterone biosynthesis. Subsequent steps require several enzymes including, 3β-hydroxysteroid dehydrogenase, 17α-hydroxylase/C17-20-lyase and 17β-hydroxysteroid dehydrogenase type 3 [Figure 3] (11).

Figure 3. Biosynthetic pathways for testosterone and DHT synthesis. The classic pathway show testosterone synthesized from cholesterol with further metabolism to DHT. The alternative or “backdoor” pathway shows DHT production without going through testosterone. Note only some of the enzymes are shown for clarity.

METABOLISM OF TESTOSTERONE TO 5α-DIHYDRO-TESTOSTERONE

 

Metabolism of testosterone to 5α-dihydrotestosterone occurs through the classical pathway [Figure 3] and is essential for initiation of the differentiation and development of the urogenital sinus into the prostate [Figure 2B]. Differentiation of male external genitalia (penis, scrotum and urethra) also strongly depends on the conversion of testosterone to 5α-dihydrotestosterone in the urogenital tubercle, labioscrotal swellings, and urogenital folds (1). In recent research there has been considerable interest in the alternative or ‘backdoor’ pathway of DHT production (12 and references therein). This pathway has been found to have a significant role in the normal masculinization of the male fetus (see 13) and abnormal virilization of the female fetus in cases of congenital adrenal hyperplasia resulting from mutations in the enzyme P450 oxidoreductase (14).

 

The irreversible conversion of testosterone to 5α-dihydrotestosterone is catalyzed by the microsomal enzyme 5α-reductase type 2 (SRD5A2) and is NADPH dependent [Figure 4] (15). The cDNA of the gene for 5α-reductase type 2 codes for a protein of 254 amino acid residues with a predicted molecular mass of 28,398 Dalton (16, 17).

Figure 4. Metabolism of testosterone to DHT by the enzyme 5α-reductase type 2 (SDR5A2).

The NH2-terminal part of the protein contains a subdomain proposed to be involved in testosterone binding, while the COOH-terminal region is involved in NADPH-binding (3). The enzyme 5α-reductase type 2 belongs to the 5α-reductase family which is composed of 3 subfamilies with a total of 5 members (18). There are three isozymes: type 1, type 2 and the more recently discovered type 3, which has a role in the conversion of polyprenols to dolichols (important step in protein N-glycosylation) (19, 20). The other members are the proteins glycoprotein synaptic 2 (GPSN2) and glycoprotein synaptic 2 like (GPNS2L) and are most likely involved in double bond reduction during fatty acid elongation (21).

 

ANDROGEN ACTION

 

The Androgen Receptor and the Nuclear Receptor Family

 

Actions of androgens are mediated by the androgen receptor (NR3C4; Nuclear Receptor subfamily 3, group C, gene 4). This ligand-dependent transcription factor belongs to the superfamily of 48 known human nuclear receptors (22). This family includes receptors for steroid hormones, thyroid hormones, all-trans and 9-cis retinoic acid, 1,25 dihydroxy-vitamin D, ecdysone and activators of peroxisome proliferation (23-25). An increasing number of nuclear proteins have been identified with a protein structure homologous with that of nuclear receptors, but without a known ligand. These so-called "orphan" receptors form an important subfamily of transcription factors acting either in the absence of any ligand or with yet unknown endogenous ligands (26). Comparative structural and functional analysis of nuclear hormone receptors has revealed a common structural organization in 4 different functional domains: a NH2-Terminal Domain, a DNA-Binding Domain, a Hinge Region and a Ligand Binding Domain [Figure 5].

Figure 5. Steroid hormone receptor family. Sequence homologies between the human androgen receptor (hAR), human progesterone receptor (hPR), human glucocorticoid receptor (hGR), human mineralocorticoid receptor (hMR), and the human estrogen receptor alpha (hERα) and beta (hERβ).

The current model for androgen action involves a multi-step mechanism as depicted in Figure 6. Upon entry of testosterone into the androgen target cell, binding occurs to the androgen receptor either directly or after its conversion to 5α-dihydrotestosterone. Binding to the receptor is followed by dissociation of chaperone protein complexes (e.g., heat shock proteins) in the cytoplasm, simultaneously accompanied by a conformational change of the receptor protein resulting in a transformation and a translocation to the nucleus. The complex of chaperone and chaperone-associated proteins is collectively called the ‘foldosome’ and has functions beyond the classical role in the cytosol. The foldosome can for instance affect nuclear translocation and target gene expression (27, 28). Upon binding in the nucleus to specific DNA-sequences the receptor dimerizes with a second molecule and the homodimer entity recruits further additional proteins (e.g., coactivators, general transcription factors, RNA-polymerase II) via specific interaction motifs (29). This finally results in transcriptional activation or suppression of specific androgen responsive genes (30).

 

Figure 6. Simplified model of androgen action in an androgen target cell. The androgen receptor (AR) binds testosterone or its active metabolite DHT. After disassociation of heat shock proteins (hsp) the receptor enters the nucleus via an intrinsic nuclear localization signal and binds as a homodimer to specific DNA elements present as enhances upstream of androgen target genes. The next step is recruitment of coactivators, which form the communication bridge between the receptor and several components of the transcription machinery. The direct and indirect binding of the androgen receptor with several components of the transcription machinery (e.g., RNA polymerase II (RNA Pol II), general transcription factors (GTFs)) are key events in nuclear signaling. This communication triggers subsequent mRNA synthesis and consequently protein synthesis resulting in androgen responses. A non-genomic pathway involving the AR via cross-talk with the Src/Raf-1Erk-2 pathway is also known.

Interestingly androgen signaling via the androgen receptor can also occur in a non-genomic, rapid and sex-nonspecific way by crosstalk with the Scr, Raf-1, Erk-2 pathway [Figure 6] (31, 32). The classical androgen receptor is also involved in androgen-mediated induction of Xenopus oocyte maturation via the (MAPK)-signaling cascade in a transcription independent way (33, 34).

 

Cloning and Structural Organization of the Androgen Receptor Gene

 

Since cloning of the human androgen receptor cDNA our insights into the mechanism of androgen action have increased tremendously. Only one androgen receptor cDNA has been identified and cloned, despite the two different ligands (35-38). The concept of two hormones and one receptor to explain the different actions of androgens has been generally accepted and, according to the information available from the human genome project, it is very unlikely that additional genes exist coding for a functional nuclear receptor with androgen receptor-like properties (25).

 

The androgen receptor gene is located on the X-chromosome at Xq11.2 -12.  The gene spans 186,587 kilobases (kb) in total and codes for a protein with a molecular mass of approximately 110 kDa [Figure 7] (39, 40). The gene consists of 8 coding exons and the structural organization of the coding exons is essentially identical to those of the genes coding for the other steroid hormone receptors (e.g., exon/intron boundaries are highly conserved) and is characterized by unusually long 5’- and 3’-UTRs [Figure 7] (36, 41-43, 47). As a result of differential splicing in the 3' - untranslated region two androgen receptor mRNA species (of around 7.5 and 10 kb, respectively) have been identified in several human tissues and cell lines (36): only the larger transcript is seen in rodent tissues (36, 43, 47). There is no structural indication in the androgen receptor mRNA for any preferential use of either of the two transcripts or transcript specific functions, but it can be speculated that tissue-specific factors may determine which transcript is present in which androgen target tissue. In the human prostate and in genital skin fibroblasts the 10 kb size mRNA is predominantly expressed (43). It may also be significant that a number of micro-RNAs have been identified and validated that target the 3’-UTR that are likely to contribute to the regulation of receptor levels (44-46) [Figure 7].

Figure 7. Human androgen receptor gene was mapped to the long arm of the X chromosome. The human androgen receptor gene consists of coding exons and unusually long 5’- and 3’ UTRs. These have been shown to be important for transcriptional regulation (binding sites for both positive and negative regulatory factors) in the case of the 5’UTR. The 3’UTR region of the mRNA is targeted by a number of microRNAs (miRNAs). The androgen receptor has been shown to downregulate its own mRNA through response elements located in the 5’UTR and exon 2.

Regulation and Expression of the Androgen Receptor Gene

 

The promoter for the androgen receptor gene lacks TATA and CCAAT elements and transcription is driven primarily by the Zn-finger transcription factor Sp1. Sp1 binds to GC-boxes upstream of the transcription start site (-46 to -41 bps) and within the 5’UTR (+429 to +442) (47-52) [Figure 7]. In addition, the promoter and the region spanning the 5’-UTR and exon 1 contains a CpG island that demonstrates tissue-selective methylation patterns (53) and to be associated with loss of AR expression in prostate cancer (54).

 

Transcription of the receptor gene is under both positive and negative regulation (55, 58). Recent studies have focused on the auto-down regulation of the receptor mRNA in prostate cells. Balk and co-workers (56) identified, using chromatin immunoprecipitation (ChIP), binding sites for ligand bound androgen receptor within the second intron and a second negative androgen response elements has been characterized in the 5’UTR (+611 bp) of the human receptor gene (57). Unravelling the molecular mechanism(s) for androgen-dependent down regulation, including possible synergy between the identified elements, in different cell types and tissues is an active area of research (58).

 

In addition to regulation by hormone, recent work has also highlighted the importance of the balance between positive (Sp1) and negative (Purα) transcription factors binding to the 5’UTR of the human gene in determining the expression of receptor mRNA in different prostate cancer cell models (52 and references therein).

 

Androgen Receptor Polymorphisms

 

The androgen receptor DNA-binding and ligand-binding domains have a high homology with the corresponding domains of the other members of the steroid receptor subfamily (59) [Figure 5].

 

There is a remarkably low homology between the androgen receptor NH2-terminal domain and that of the other steroid receptors [Figure 5, see above] (60-65). A poly-glutamine stretch, encoded by a polymorphic (CAG)nCAA - repeat is present in the NH2-terminal domain (66). The length of the repeat has been used for identification of X-chromosomes for carrier detection in pedigree analyses (67, 68). Variation in length (9 - 38 glutamine residues) is observed in the normal population and has been suggested to be associated with a very mild modulation of androgen receptor activity (69). This assumption is based on in vitro experiments after transient transfection of androgen receptor cDNA's containing (CAG)nCAA - repeats of different lengths (70, 71). In translating this finding to the in vivo situation, it can be envisaged that either shorter or longer repeat lengths can result in a relevant biologic effect during life. This concept has been explored in epidemiological studies of men with prostate cancer or infertility. With respect to prostate cancer, a clear picture has not emerged, and controversy persists. In several studies, shortening of the (CAG)nCAA repeat length in exon 1 of the androgen receptor gene was found to correlate with an earlier age of onset of prostate cancer, and a higher tumor grade and aggressiveness (72-74). However, in other epidemiological studies in prostate cancer patients these associations were not confirmed (75, 76).

 

In several investigations in male infertile patients an association was found between a longer (CAG)nCAA repeat and the risk of defective spermatogenesis (77-79). This suggests that a less active androgen receptor, due to a moderate expanded repeat length, may be a factor in the etiology of male infertility.

 

The (CAG)nCAA - repeat in exon 1 of the androgen receptor gene is expanded in patients with spinal and bulbar muscular atrophy (SBMA) and varies between 38 and 75 repeat units (69, 80, 81). Spinal and bulbar muscular atrophy is characterized by progressive muscle weakness and atrophy and is associated with nuclear accumulation of androgen receptor protein with the expanded polyglutamine stretch in motor neurons. Clinical symptoms usually manifest in the third to fifth decade and result from severe depletion of lower motor nuclei in the spinal cord and brainstem (69, 82, 83). SBMA patients frequently exhibit endocrinological abnormalities including testicular atrophy, infertility, gynecomastia, and elevated LH, FSH and estradiol levels. Sex differentiation proceeds normally, and characteristics of mild androgen insensitivity appear later in life.

 

The neurotoxicity of the polyglutamine androgen receptor may involve generation of NH2-terminal truncation fragments, as such peptides occur in SBMA patients, but several other mechanisms have also been suggested for the molecular basis of SBMA (84, 85). Therapeutic approaches in SBMA are focusing on reducing nuclear localized mutant androgen receptor via enhanced mutant androgen receptor degradation or by disrupting the interaction with androgen receptor coregulators (86, 87). In a phase 3 clinical trial it was shown that the use of leuprorelin, a synthetic neuropeptide with an inhibitory action on LH secretion and consequently on testicular testosterone synthesis, is associated with improved swallowing function in SBMA patients, suggesting that interference by a pharmacon in testosterone-mediated AR aggregation can be a potential therapy in SBMA patients (88). The selective action of dutasteride (a 5α-reductase inhibitor) in motor neurons, by reducing significantly the formation of the active androgen 5α-dihydrotestosterone, resulted in a slowdown of the progression of SBMA and illustrated that active androgen depleting therapies can be promising in the treatment of SBMA (89).

 

In general patients with an expanded CAG repeat are expected to have a low incidence of prostate cancer. However, a rare case has been reported in which a high stage prostate cancer has been detected in a SBMA patient, which responded to a maximal androgen blockade therapy (90).

 

An important step in the receptor-mediated mechanism of action of androgens involves the NH2-terminal domain interacting with the COOH-terminal ligand binding domain (N/C interaction). (See details below under ‘Androgen Receptor Functional Domain Structure’). This N/C interaction is also a prerequisite for androgen receptor aggregation and toxicity in SBMA. Interference of the N/C interaction by selective androgen receptor modulators ameliorates aggregation and toxicity (91).

 

The androgen receptor is a substrate for numerous post-translational modifications (see below) and phosphorylation of serine 516 has been associated with cleavage of the receptor and cytotoxicity (92). In contrast, phosphorylation of serines 215 and 793, by Akt kinase, was found to prevent nuclear translocation and receptor transactivation (93). Interestingly, methylation on arginine residues 210, 212, 787, 789 enhanced cytotoxicity and the authors proposed that this was as a consequence of mutual antagonism of phosphorylation (serines 215, 792) and arginine methylation (94). Similarly, prevention of SUMOylation rescues the SBMA phenotype in a mouse model by enhancing receptor-dependent transcriptional activity (95).

 

The isoflavone genistein, which is derived from soy, is a potential therapeutic agent in SBMA, because this androgen receptor modulator can effectively disrupt the interaction between the co-regulator ARA70 and the androgen receptor and promotes the degradation of the mutant receptor in neuronal cells. (96). Similarly, targeting molecular chaperone complexes with small molecule modulators (e.g., 17-AAG, YM-1) has been shown to reduce neurotoxicity and enhance receptor-dependent degradation (reviewed in 81).

 

Several therapeutic approaches have been investigated at different levels in the androgen receptor signaling pathway and aggregation process, in SBMA mouse models. However, translating these results to the human situation in SBMA patients has its limitations and is far from a complete cure of SBMA patients (97, 98).

 

ANDROGEN RECEPTOR AMINO ACID NUMBERING

 

The current sequence of the androgen receptor cDNA and the amino acid numbering of the corresponding protein is based on the NCBI reference sequence NM_000044.3. This is different from the original numbering scheme used over the past 20 years that was based on Gen-Bank mRNA sequence M20132.1 (36).

 

In order to correctly identify mutations previously published, the following changes should be kept in mind: the variable polyglutamine tract length is two longer (23 instead of 21), whereas the variable polyglycine tract length is one shorter (23 instead of 24) for NM_000044.3 versus M20132.1, respectively. Consequently, the androgen receptor protein of the new reference sequence is one amino acid longer, that is, 920 residues, leading to a +2 shift in amino acid numbering between residues 78 and 449 and to a +1 shift between residues 472 and 919 compared with the previously used standard reference sequence. The +1 shift involves all the amino acid residues in the DNA-binding domain (DBD) and ligand-binding domain (LBD). The new reference numbering is further explained and illustrated in Figure 8 and will be used throughout the text.

Figure 8. Reference numbering of the androgen receptor (AR) of protein. The numbering of the amino acid residues is according to National Center for Biotechnology Information (NCBI) reference sequence number NM_000044.3, which refers to a gene size of 187,246 nucleotides and an AR protein of 920 amino acid residues with a polyglutamine tract of 23 and a polyglycine tract of 23 (110). Amino acid numbering +2 between 78 and 449; Amino acid numbering +1 between 472 and 919. In addition, a number of splice variants of the AR have been identified in prostate cancer cell lines and patient samples. These splice variants lack most or all of the LBD but retain a functional DBD and NTD with unique C-terminal sequences derived from cryptic exons (CE) (e.g., AR-v7).

ANDROGEN RECEPTOR: FUNCTIONAL DOMAIN STRUCTURE

 

The NH2-terminal Domain

 

The androgen receptor NH2-terminal domain (NTD) harbors the major transcription activation functions and several structural subdomains. The NTD of the androgen receptor, as that of the other steroid receptors, can be considered as an intrinsically disordered protein domain, existing as an ensemble of conformers. It has a structure between a fully unfolded state and a structured folded conformation: this molten-globule-like conformation has the propensity to form helical structures, despite its structurally plasticity (99-102). Within its 539 amino acids, two independent activation domains have been identified: activation function 1 (AF-1) (located between residues 103 and 372) that is essential for transcriptional activity of full-length androgen receptor, and activation function 5 (AF-5) (located between residues 362-486) that is required for transactivity of a constitutively active androgen receptor, which lacks its LBD (103). Evidence is available now that the AF-5 region in the receptor NH2-terminal domain interacts with a glutamine rich domain in p160 cofactors like SRC-1 and TIF2/GRIP1 and not with their LxxLL-like protein interacting motifs (104-107).

 

Recent years have seen further structural and functional insights into the intrinsically disordered NTD. Key discoveries include the high-resolution mapping of helical regions within the AF1 domain (108) that were in very good agreement with previous predictions (109); and the identification of a helical segment involving the WHTLF motif responsible for TFIIF binding (110). Also of note are helical regions mapping to the poly-Q and adjacent leucine stretch (111) and the sequence immediately preceding the DBD (112). Collectively, these studies emphasize the presence of helical regions within the NTD and its propensity to adopt a more helical structure underpinning function.

 

Another function of the androgen receptor NH2-terminal domain is its binding to the COOH-terminal LBD (N/C interaction) (113, 114). The NH2-terminal regions required for the binding of the LBD have been mapped to two essential units: the first 36 amino acids and residues 372-495 (115).

 

The hormone dependent interaction of the NH2-terminal domain with the ligand binding domain can play a role in stabilization of the androgen receptor dimer complex and in stabilization of the ligand receptor complex by slowing the rate of ligand dissociation and decreasing receptor degradation (116, 117). Agonists like T and DHT, but not antagonists like hydroxyflutamide or bicalutamide induce the N/C interaction in full length receptor. In a FRET (fluorescence resonance energy transfer) study it was clearly shown that the androgen receptor N/C interaction is rapidly initiated in the cytoplasm after hormone binding as an intramolecular interaction and is followed by an intermolecular N/C interaction in the nucleus, contributing to receptor dimerization (118). The N/C interaction occurs preferentially in the mobile androgen receptor, where it protects the coactivator binding groove for ultimately unfavorable protein-protein interactions. Specifically bound to DNA, the N/C interaction is lost allowing cofactor binding (119). Several mutations in the ligand binding domain, detected in patients with the syndrome of androgen insensitivity, negatively affect the interaction of the NH2-terminal domain with the ligand binding domain, while androgen binding was impaired, indicating the importance of this interaction (120).

 

In addition to the role of the NH2-terminal domain in protein-protein interactions it has also been reported to modulate DNA binding, leading to a lower apparent binding affinity for both selective and non-selective response elements (see also below) (121). These findings suggest a further role of the NH2-terminal domain, in interdomain interactions and allosteric regulation of receptor activity.

 

The DNA-binding Domain

 

The DNA-binding domain is the best conserved among the members of the receptor superfamily [Figure 5]. It is characterized by a high content of basic amino acids and by nine conserved cysteine residues [Figure 9A]. Detailed structural information has been published on the crystal structure of the DNA-binding domain of the glucocorticoid receptor complexed with DNA (122). 3D-information is also available for the androgen receptor-DNA interaction on an artificial DNA response element (123) [Figure 9B]. The folding of the DBD is similar to that reported for the glucocorticoid and estrogen receptor DBDs.

Figure 9. Structure of the DNA binding domain of the androgen receptor. A) The protein structure is represented in the one letter code. The domain consists of two zinc cluster modules, which are stabilized by the coordination binding of a zinc atom (red dot) by 4 cysteine residues (yellow). The first zinc cluster contains the P-box (proximal box) of which three residues determine androgen response element recognition. The second zinc cluster contains the D-box (distal box) in which amino acids are located that are involved in protein-protein interactions with a second receptor molecule in the homodimer complex. B) Structure of the AR-DBD bound to DNA (Pdb 1R41). C) Consensus androgen receptor response element.

Briefly, the DNA-binding domain has a compact, globular structure in which three substructures can be distinguished: two zinc clusters and a more loosely structured carboxy terminal extension (CTE) (124). Both zinc substructures contain centrally one zinc atom which interacts via coordination bonds with four cysteine residues [Figure 9].

 

The two zinc coordination centers are both C-terminally flanked by an α-helix (122, 123). The two zinc clusters are structurally and functionally different and are encoded by two different exons [see Figures 7 and 8]. The α-helix of the most N-terminal located zinc cluster interacts directly with nucleotides of the hormone response element in the major groove of the DNA. Three amino acid residues at the N-terminus of this α-helix are responsible for the specific recognition of the DNA-sequence of the responsive element [Figure 9A]. These three amino acid residues, the so-called P(proximal)-box [Gly; Ser; Val;] are identical in the androgen, progesterone, glucocorticoid and mineralocorticoid receptors, and differ from the residues at homologous positions in the estradiol receptor. It is not surprising therefore, that the androgen, progesterone, glucocorticoid and mineralocorticoid receptors can recognize the same response element. The receptor DNA binding domain requires a CTE of minimally four residues (amino acids 626 – TLGA – 629) for proper binding to an ARE (androgen response element) with an inverted repeat of high affinity ARE-half sites and a CTE of at least twelve residues (amino acids 626 – TLGARKLKKLGN – 637) for binding to an ARE with one high and one low affinity half site (125). For the hormone and tissue-specific responses of the different receptors additional determinants are needed. Important in this respect are DNA-sequences flanking the hormone response element, receptor interactions with other proteins and receptor concentrations. The second zinc cluster motif is involved in protein-protein interactions such as receptor dimerization via the so-called D(distal)-box [Figure 9A and B] (122, 123).

 

DNA Response Elements for the Androgen Receptor

 

In vitro the androgen receptor binds to 15 bp palindromic sequences [Figure 9C]. These non-selective elements are also recognized and bound by the glucocorticoid, mineralocorticoid and progesterone receptors. In contrast, androgen response elements demonstrate selectivity for the receptor. In an animal model, termed Specificity-affecting androgen receptor Knock-in or SPARKI, where the androgen receptor-DBD has been replaced by that of the glucocorticoid receptor-DBD, binding to selective AREs is disrupted (126). These mice have a reproductive phenotype, with male reproductive tissues having reduced weight and size and the animals showing reduced fertility. Interestingly the SPARKI males also demonstrated differential gene expression with the Rhox5 mRNA significantly reduced which correlated with a role for a selective ARE, necessary for receptor-dependent transcription of this gene (126).

 

More recently a number of genome-wide studies, using chromatin immunoprecipitation (ChIP), have increased our knowledge of androgen-regulated genes and have demonstrated a significant variability in DNA response element architecture, with imperfect palindromic sequences and half-sites identified as potential receptor binding sites (30, 127-131). These studies have also highlighted the enrichment of pioneering factors, such as FOXA1 and GATA2 in close proximity to receptor binding sites (30, 127-131).

 

The Hinge Region

 

Between the DNA-binding domain and the ligand binding domain is located a non-conserved hinge region, which is also variable in size in different steroid receptors [Figure 5]. The hinge region can be considered as a flexible linker between the ligand binding domain and the rest of the receptor molecule. The hinge region is important for nuclear localization and contains a bipartite nuclear localization signal. Co-repressor binding can also occur via the hinge region (125). In some nuclear receptors, including the androgen receptor, acetylation can occur in the hinge region at a highly conserved consensus site [KLLKK] [Figure 11, see below] (132, 133).

 

The Ligand Binding Domain

 

Finally, the second-best conserved region is the hormone binding domain. This domain is encoded by approximately 250 amino acid residues in the C-terminal end of the molecule [Figure 5, see above] (37, 60-63, 134). The crystal structure of the human androgen receptor ligand binding in complex with the synthetic ligand methyltrienolone (R1881) and 5α-dihydrotestosterone, respectively, have been determined [Figure 10A and B] (135, 136).

Figure 10. Structure of the ligand binding domain of the human androgen receptor. A) The crystal structure of the LBD with DHT bound (pdb 1137). Specific amino acid- hormone interactions are illustrated in the right-hand panel. B) The LBD structure with the synthetic agonist R1881 and a coactivator peptide with an FxxLF motif bound to AF2 region (pink oval) (pdb 1XOW). C) Structure of the LBD showing the location of the BF3 pocket (blue oval) with triiodothyroacetic acid/TRIAC bound (pdb 2PKL).

The 3-dimensional structure has the typical nuclear receptor ligand binding domain fold (59). Interestingly the ligand binding pocket consists of 18 amino acid residues interacting more or less directly with the bound ligand, with a relatively small number of specific hydrogen-bonds and hydrophobic interactions determining hormone-selectivity [Figure 10A] (135). The ligand binding pocket is somewhat flexible and can accommodate ligands with different structures. The structural data are being used in designing optimized selective androgen receptor modulators (SARMs) (137, 138). Several AR mutations found in prostate tumors have been investigated functionally, including T878S, T878A, H875T, V716M, W742C, and L702H as a single mutation or in combination with T878A. Similar to T878A these AR mutations have a broadened ligand specificity and are activated by different low affinity ligands like estradiol, progesterone, glucocorticoids and different partial and full antagonists (139-146).

 

Crystallographic data on the ligand binding domain complexed with agonist predict 11 helices (no helix 2) with two anti-parallel β-sheets arranged in a so-called helical sandwich pattern. In the agonist-bound conformation the carboxy-terminal helix 12 is positioned in an orientation allowing a closure of the ligand binding pocket. Upon hormone binding the fold of the ligand binding domain results in a globular structure with an interaction surface for binding of interacting proteins like co-activators (AF2) [Figure 10B]. In this way the androgen receptor selectively recruits a number of proteins and can communicate with other partners of the transcription initiation complex. Crystallization studies of wild type androgen receptor ligand binding domain with antagonists have not been reported so far. However, the structural consequences of surface modulatory compounds on the receptor LBD crystals complexed with DHT are promising for future developments of new androgen receptor modulators including a new type of androgen receptor antagonists (147).

 

The androgen receptor can use different transactivation domains (AF1 and AF5, respectively, in the NH2-terminal domain and AF2 in the COOH-terminal domain) depending on the "form" of the receptor protein [Figure 8, see above] (103). The AF2 function in the ligand binding domain is strongly dependent on the presence of nuclear receptor coactivators. In vivo experiments favor a ligand-dependent functional interaction between the AF-2 region in the ligand-binding domain with the NH2-terminal domain (113, 115). In fact, the AF2 surface demonstrates a preference for more bulky hydrophobic amino acids over the LxxLL motif and the structural basis for this has been described (148-150). Thus, the receptor NTD FxxLF motif [Figure 10B] is more effective at forming a charge clamp with Glu898 and Lys721 and burying the phenylalanine residues into the AF2 pocket, whereas peptides containing the sequence LxxLL make weaker and fewer contacts with the LBD.

 

Interestingly, a previously unknown regulatory surface cleft, named BF-3, has been identified in the receptor LBD (147) [Figure 10C]. BF-3 comprises of Ile-673, Phe-674, Pro-724, Gly-725, Asn-728, Phe-827, Glu-830, Asn-834, Glu-838 and Arg-841. The androgen receptor transcriptional activity and co-activator binding can be decreased by binding of thyroid hormones triiodothyronine (T3) and TRIAC and three non-steroidal anti-inflammatory drugs to the BF-3 pocket. In addition, several mutations of the amino acid residues of BF-3 have been found in subjects with either androgen insensitivity syndrome (AIS, loss of function mutation) or in prostate cancer (gain of function mutation) (151). Mutational analyses have shown the requirement of several of these amino acid residues for receptor-dependent transcriptional activity. However, these analyses have been performed only in the presence of DHT (147). The influence of each of these residues in the presence of T3, TRIAC or other nonsteroidal anti-inflammatory drugs is therefore unknown.

 

A long-standing question in the field concerning dimerization of the AR-LBD has recently been resolved with new crystallographic studies (152, 153). The work from the Estébanez-Perpiñá group identified sequences in helix 5 as novel dimerization interface. Significantly, a number of point mutations associated with androgen insensitivity or prostate cancer map to this region emphasizing its functional importance for AR signaling (152).

 

Androgen Receptor Splice Variants Lacking the LBD

 

Deletions in the ligand binding domain abolish hormone binding completely (154). Deletions in the N-terminal domain and DNA-binding domain do not affect hormone binding. Deletion of the ligand binding domain leads to a constitutively active androgen receptor protein with trans-activation capacity comparable to the full-length androgen receptor (154). Thus, it appears that the hormone binding domain acts as a repressor of the trans-activation function in the absence of hormone. This regulatory function of the androgen receptor ligand binding domain in the absence of hormone, is not unique for the androgen receptor and has been reported also for the glucocorticoid receptor (155).

 

The generation of NH2-terminal splice variants involves the use of cryptic exons (AR-v1and -v7) or exon skipping (AR-v12) [Figure 8] (156). Androgen receptor variants have been shown to regulate similar patterns of gene expression to the full-length hormone-bound receptor (157). However, intriguingly there are a growing number of studies reporting unique sets of genes expressed by AR-v7 (157, 158), both expected and variant-specific target genes for AR-v12 (159) or differential regulation of classical androgen receptor-target genes (160). Importantly, these constitutively active splice variants have been identified in prostate cancer cell-lines, xenographs and prostate cancer patients undergoing androgen ablation therapy (157-159, 161-163).

 

Structural Insights from a DNA-bound Complex of Full-length Androgen Receptor

 

A major development in our understanding of AR mechanism of action has been the recent description of the structure of the full-length receptor bound to DNA and co-regulatory proteins (SRC-3 and p300) (164). The structures of the receptor alone or in a transcriptional active complex were solved by cryo-EM at resolution of 12 to 20 Å and reveal several interesting features. Particularly striking is the folding of the NTD of each monomer into a ‘life buoy ring’ surround the LBD-DBD dimer, creating a platform for SRC-3 and p300 binding, as well as N/C interaction and contacts between the NTDs (164). In contrast to a similar structure of the estrogen receptor α (165), only one molecule of SRC-3 is bound to the AR and the conformation of each NTD is proposed to be different based on visualizing antibodies recognizing the very N-terminus and AF1 regions resulting in an asymmetric appearance. This could have implications for protein-protein interactions and transcriptional regulation: for, example does the conformation of the NTDs change depending on the nature of the DNA binding site? It was also of note that the binding of p300 was enhanced in the presence of SRC-3, suggesting the latter stabilized the binding of the former. However, it is worth noting that previous biochemical studies demonstrated folding of the AR-AF1, using a chemical chaperone (TMAO) or an SRC-1 polypeptide, similarly enhanced subsequent co-regulatory protein binding (166) supporting a model of induced folding of AF1 and assembly of transcription complexes.

 

ANDROGEN RECEPTOR POSTTRANSLATIONAL MODIFICATIONS

 

Methylation, Acetylation, Ubiquitination and SUMOylation

 

The androgen receptor protein can be extensively covalently modified either by methylation, acetylation, ubiquitination, SUMOylation or phosphorylation [Figure 11] (132, 133, 167-171).

Figure 11. Post-translational modifications of the human androgen receptor. AC, acetylation of lysine residues (631, 633, and 634); CH3, methylation of lysine (633); P, phosphorylation of serines (16, 83, 96, 215, 258, 310, 426, 516, 651, and 792); SUMO-1, sumoylation on lysines (388 and 521); Ub, ubiquitination of lysines (846 and 848).

All these reactions are reversible and consequently enzymes that mediate dephosphorylation, deacetylation, deubiquitination, demethylation and de-SUMOylation are also potential regulators of androgen receptor activity. A total of 23 sites in the androgen receptor protein have been identified undergoing direct modification (170). These posttranslational modifications can contribute significantly to androgen receptor structure, activity and stability. It has been shown for instance that the histone methyltransferase SET9 is able to methylate the receptor in the hinge region at the Lysine residues 631 and 633 resulting in enhancement of transcriptional activity of the receptor (172, 173). The same Lysine residues together with Lysine 634 can be acetylated and the acetylation-deficient mutants have a decreased transcriptional activity, while the acetylation-mimetic mutations showed an enhanced transcriptional activity (132, 174). Recently, phosphorylation of serine 83 was observed to result in recruitment of the histone acetyltransferase p300, acetylation of the receptor and enhanced receptor stabilization and transcriptional activity (175).

 

Conversely, disruption of acetylation, through mutating the lysine residues or knock-down of p300 resulted in receptor ubiquitination and degradation. This study elegantly demonstrates how different post-translational modifications of the androgen receptor can work in concert to regulate receptor expression and activity. RNF6 dependent ubiquitination of Lysine residues 846 and 848 in the receptor protein results in recruitment of the coregulator ARA54 by the androgen receptor and directly determines promoter selectivity and specificity of the receptor (176).

 

SUMOylation of the androgen receptor occurs at two sites Lysine residues 388 and 521, but SUMOylation only at Lysine 388 results in a significant reduction of transcriptional activity (177). However, recent, whole genome analysis revealed that SUMOylation regulated both receptor recruitment to DNA and target gene selection (178). Significantly, the physiological importance of SUMOylation has been demonstrated in a knock-in mouse model, ARKI, where the SUMOylation sites were mutated to arginine (179). Male animals developed normally but were found to be infertile due to defects in epididymal sperm maturation. Crucially, In the ARKI animals the AR-dependent transcriptional activity was impaired in the epididymis and there was an absence of receptor SUMOylation linking this PTM to normal male reproduction and fertility (179).

 

Phosphorylation

 

The androgen receptor can be phosphorylated at serine, threonine and tyrosine residues (170, 171, 180, 181). Immediately after translation the androgen receptor becomes phosphorylated resulting in the appearance of two isoforms separable by SDS-polyacrylamide gel electrophoresis (182). The non-phosphorylated faster migrating 110 kDa isoform is converted into a 112 kDa phospho-isoform. Mutational analysis of serine 83 or serine 96 in the androgen receptor NH2-terminal domain abolishes this up-shift indicating that phosphorylation of these serine residues likely contributes to the phosphorylation of the 112 kDa androgen receptor isoform (70, 183). Phosphorylation of Serine 83 by CDK9 stabilizes androgen receptor chromatin binding, mediates transcriptional activity and can influence prostate cancer cell growth (184, 185). This serine residue is also phosphorylated after stimulation of Plexin-B1 resulting in nuclear translocation of the receptor protein (186). Three other androgen receptor phosphorylation sites have been identified using mutational analysis and trypsin-digestion of 32P-labelled androgen receptor followed by HPLC analysis and Edman degradation (183, 187, 188). These include the serine residues at position 516, 651, and 663. Ser-516 phosphorylation by MAP kinase is linked to altering the nuclear cytoplasmic shuttling and to the EGF-induced increase in androgen receptor transcriptional activity (189). Furthermore, androgen receptor intranuclear localization and transcriptional activity has been correlated with phosphorylation of serine 310 by CDK1, demonstrating a role for phosphorylation in regulating the receptor in a cell-cycle-dependent manner (181, 190). Transcription factor TFIIH also phosphorylates the receptor at Ser516 and is an essential partner in the cyclic recruitment of the transcription machinery (191). Substitution of serine 651 reduced androgen receptor activity by up to 30%. Furthermore, dephosphorylation of receptor phosphorylated at serine 651 by protein phosphatase 1 (PP1) can modulate androgen receptor translocation to the nucleus (192). More recently, PP1α has been shown to bind to the receptor-LBD and prevent ubiquitination and receptor degradation (193). Several other sites have been identified in the NH2-terminal domain at positions S16, S215, S258, S310, and S426 (180, 194-196). The function of phosphorylation of these sites is in the majority of the cases unknown or controversial. Two additional sites (S579 and S792) have been identified and characterized in the DNA-binding and ligand binding domains, respectively (189, 197). Phosphorylation of serine 579 by PKC kinase alters the nuclear cytoplasmic shuttling and elimination of phosphorylation at serine 579 eliminates EGF-induced transcriptional activation (189).

 

Besides the basal phosphorylation resulting in the 110-112 kDa doublet, addition of androgen induces another shift and the generation of a 110-112-114 kDa androgen receptor triplet (70). This triplet is the result of both an addition and a redistribution of phosphorylated sites, however, it is unknown which exact residues are involved (198). Interestingly, mutations that inactivate androgen receptor function, such as mutations resulting in loss of DNA binding or transactivation, inhibit the formation of the 114 kDa isoform. This suggests that part of the androgen - induced phosphorylation occurs during or after androgen receptor transcription regulation (70).

 

Functional phosphorylation at three tyrosine residues has also been demonstrated and extensively studied. The androgen receptor tyrosine residue 536 is highly phosphorylated. This phosphorylation is induced by EGF via activation of Src tyrosine kinase and may be important for prostate cancer cell growth under androgen-depleted conditions (199, 200). Activation of Cdc42-associated tyrosine kinase Ack1 can result in phosphorylation of tyrosine residues 269 and 365 enhancing androgen receptor transcriptional function and promoting androgen independent prostate cell growth (200, 201) and disrupting phosphorylation primarily of tyrosine 269 results in impaired nuclear localization (202). Recently it was reported that threonine phosphorylation of the receptor can also occur. Aurora A induces androgen receptor transactivation activity by phosphorylation of Threonine residue 284 (203).

 

In conclusion, phosphorylation of the androgen receptor can occur at serine, threonine and tyrosine residues by specific kinases and can be directly or indirectly linked to activation upon hormone binding, altering of nuclear cytoplasmic shuttling, modulation of DNA binding and transcriptional activity (168, 170, 181, 199, 204). Furthermore, phosphorylation of the androgen receptor can play an essential role in the hormone-independent activation of the androgen receptor by protein kinases in the MAPK and AKT (protein kinase B) signaling pathways, activated either through HER-2/neu or growth factors (205, 206).

 

ANTI-ANDROGENS AND SELECTIVE ANDROGEN RECEPTOR MODULATORS

 

Androgen receptor antagonists are compounds that interfere in some way in the biological effects of androgens and are frequently used in the treatment of androgen-based pathologies. The steroidal anti-androgens, cyproterone acetate (CPA) and RU38486 (RU486; mifepristone), have partial agonistic and antagonistic actions. Interestingly both compounds also display partial progestational and glucocorticoid actions and are therefore not considered to be pure anti-androgens. The non-steroidal anti-androgens hydroxyflutamide, nilutamide and bicalutamide [see Figure 1] are pure antiandrogens (207-209). Recent developments have led to the generation and marketing of second-generation non-steroidal antiandrogens, such as enzalutamide (formerly called MDV3100) [Figure 1], which have been reported to be more effective at blocking receptor nuclear translocation and activity (210). Recently, two new anti-androgens apalutamide and darolutamide have received FDA approval for treatment of non-metastatic castrate resistant prostate cancer (see 211, 212). However, resistance to enzalutamide has now also been identified as a result of an Phe876Leu point mutation in the LBD (213) and the expression of NH2-terminal domain splice variants (163) in CRPC, emphasizing the need for continued research and development of strategies to switch off androgen receptor signaling.

 

Mechanism of Action of Antiandrogens

 

In contrast to the full antagonists hydroxyflutamide and bicalutamide, CPA and RU486 can partially activate the androgen receptor with respect to transcription activation (214). With a limited proteolytic protection assay, it was demonstrated that binding of androgens by the androgen receptor results in two consecutive conformational changes of the receptor molecule. Initially, a fragment of 35 kDa, spanning the complete ligand binding domain and part of the hinge region, is protected from digestion by the ligand. After prolonged incubation times with the ligand a second conformational change occurs resulting in protection of a smaller fragment of 29 kDa (214, 215). In the presence of several anti-androgens (e.g., cyproterone acetate, hydroxyflutamide and bicalutamide) only the 35 kDa fragment is protected from proteolytic digestion, and no smaller fragments are detectable upon longer incubations. Obviously, the 35 kDa fragment can be associated with an inactive conformation, whereas the second conformational change, only inducible by agonists and considered as the necessary step for transcription activation, is lacking upon binding of anti-androgens.

 

During treatment of advanced prostate cancers, resistance develops to several of the above-mentioned anti-androgens, mostly due to mutations rendering the receptor protein less sensitive to anti-androgens. Promising results were reported for a newly developed second generation of antiandrogens for castration resistant prostate cancer (CRPC): ASC-J19, enzalutamide (MDV3100), apalutamide (ARN-509), AZD 3514, Compound30 and VPC-3033. (87, 210, 216-220). Characteristics of this new generation of anti-androgens are androgen displacement, inhibition of receptor- mediated transcription and enhancement of androgen receptor degradation. Clinical applications in prostate cancer were reported for enzalutamide (221-223). However, resistance to enzalutamide and apalutamide has been reported in prostate cancer due to a mutation at residue Phe877Leu (213, 224). Interestingly this mutation is located in a residue next to the LNCaP prostate cancer cell line mutation Thr878Ala (139, 225), supporting the view that this region in the ligand binding domain of the androgen receptor is very susceptible to mutagenesis in prostate cancer, which may lead to the tumor becoming resistant to hormone-based therapies.

 

Selective Androgen Receptor Modulation (SARMs)

 

Androgen signaling via the androgen receptor can occur in a non-genomic, rapid and sex-nonspecific way by crosstalk with the Scr, Raf-1, Erk-2 pathway [Figure 6, see above] (31, 32, 226). The anti-apoptotic action via the androgen receptor in bone cells (osteocytes, osteoblasts), and also in HeLa cells, could be induced by androgens and estrogens and inhibited by antiandrogens as well as anti-estrogens. The anti-apoptotic action appeared to be dissociated from the genomic action of the androgen receptor. The progesterone-induced oocyte maturation in Xenopus laevis also appears to be mediated in a non-genomic way by androgens and the androgen receptor via activating the MAPK pathway after the rapid conversion of progesterone to androstenedione and testosterone (33). These findings stimulated the development of new compounds (SARMs) which can selectively activate the androgen receptor either in a non-genomic pathway or in a genotropic transcriptional activation pathway. The term SARM (= Selective Androgen Receptor Modulator) was introduced in 1999 in analogy of the term SERM (Selective Estrogen Receptor Modulator) (227). A SARM can be defined as a molecule that targets the androgen receptor, and elicits a biological response, in a tissue-specific way. In a sense, anti-androgens (molecules that specifically target the androgen receptor pathway resulting in inhibition of the biological effects of androgens) can be considered as a special subtype of SARMs. Extensive overviews of current clinical trials with newly developed SARMs by several different pharmaceutical companies have been presented (228-230).

 

The structural basis for SARM binding and activity has been reviewed (138). Based on the conformational changes of the androgen receptor ligand binding domain induced by androgens or anti-androgens, it can be concluded that the different transcriptional activities displayed by either full agonists (testosterone, 5α-dihydrotestosterone, methyltrienolone), partial agonists (RU486 and CPA) or full antagonists (hydroxyflutamide, bicalutamide, enzalutamide) are the result of recruitment of a different repertoire of co-regulators (coactivators or corepressors) as a consequence of these conformational changes. The differential recruitment of co-regulators can be considered as a special form of ligand-selective modulation of the androgen receptor ligand binding domain and can also be applied in a broader sense to the tissue selective modulation of androgen action, where levels of co-activators and co-repressors may ultimately determine the final activity (229-232).

 

TISSUE-SPECIFIC ANDROGEN RECEPTOR MEDIATED ACTIONS IN MOUSE MODELS

 

Genetic mouse models in which the androgen receptor gene has been inactivated (so-called ARKO [androgen receptor knock-out] mouse models) are valuable tools to understand in detail the role of receptor-mediated pathways in male and female reproductive functions. For this purpose several different mouse models have been developed for studying androgen receptor mediated tissue-specific action in almost all known androgen target tissues, although the application of the mouse findings to the human situation has its limitation (233-238). Furthermore, the development of a mouse model for imaging of luciferase activity under control of endogenous androgen receptor activity has contributed to a further elucidation of tissue-specific receptor action (239).

 

ANDROGEN RECEPTOR DISORDERS

 

There is growing evidence for the involvement of the androgen receptor in the gender biases seen in a wide range of pathological conditions, from cancers of non-reproductive tissues (i.e., bladder, liver) (see 240, 241) to cardiovascular and metabolic disease (see 242-244). However, in this review we will focus on receptor mutations leading to defects of male development and fertility.

 

Androgen Insensitivity Syndrome

 

It has been known for quite some time that defects in male sexual differentiation in 46, XY individuals have an X-linked pattern of inheritance. It was Reifenstein who reported in 1947 on families with severe hypospadias, infertility, and gynecomastia (245). The end-organ resistance to androgens has been designated as androgen insensitivity syndrome (AIS) and is distinct from other XY disorders of sex development (XY, DSD; formerly named male pseudohermaphroditism) like 17β-hydroxy-steroid dehydrogenase type 3 deficiency or 5α-reductase type 2 deficiency (3, 246-248). It is generally accepted that defects in the androgen receptor gene can prevent the normal development of both internal and external male structures in 46, XY individuals and information on the molecular structure of the human androgen receptor gene has facilitated the study of molecular defects associated with androgen insensitivity. Due to the X-linked character of the syndrome, only 46, XY individuals are affected, while in female carriers only sporadic reports are available on delayed menarche (249). Naturally occurring mutations in the androgen receptor gene are an interesting source for the investigation of receptor structure-function relationships. In addition, the variation in clinical phenotypes provides the opportunity to correlate a mutation in the androgen receptor structure with the impairment of a specific physiological function.

 

Clinical Features of the Complete Androgen Insensitivity Syndrome (CAIS)

 

The main phenotypic characteristics of individuals with the complete androgen insensitivity syndrome (CAIS) are: female external genitalia, a short, blind ending vagina, absence of Wolffian duct derived structures like epididymides, vasa deferentia, and seminal vesicles, the absence of a prostate, the absence of pubic and axillary hair and the development of gynecomastia (250, 251). Müllerian duct derived structures are usually absent because anti-Mullerian hormone action is normal due to the presence of both testes in the abdomen or in the inguinal canals. Usually, testosterone levels are within the normal range (10 - 40 nmol/L) or elevated, while elevated luteinizing hormone (LH) levels (> 10 IU/L) are also found indicating androgen resistance at the hypothalamic-pituitary level. The high testosterone levels are also substrate for aromatase activity, resulting in substantial amounts of estrogens, which are responsible for further feminization in CAIS individuals.

 

Clinical Features of the Partial Androgen Insensitivity Syndrome (PAIS)

 

In the partial androgen insensitivity syndrome (PAIS) several phenotypes ranging from individuals with predominantly a female appearance (e.g., external female genitalia and pubic hair at puberty, or with mild clitoromegaly, and some fusion of the labia) to persons with ambiguous genitalia or individuals with a predominantly male phenotype (also called Reifenstein syndrome) (250, 251). Patients from this latter group can present with a micropenis, perineal hypospadias, and cryptorchidism. In the group of PAIS individuals, Wolffian duct derived structures can be partially to fully developed, depending on the biochemical phenotype of the androgen receptor mutation. At puberty, elevated luteinizing hormone, testosterone, and estradiol levels are observed, but in general, the degree of feminization is less as compared to individuals with CAIS. Individuals with mild symptoms of undervirilization (mild androgen insensitivity syndrome) and infertility have been described as well. Phenotypic variation between individuals in different families has been described for several mutations (251-254). However, in cases of CAIS no phenotypic variation has been described within one single family, in contrast to families with individuals with PAIS (255).

 

Genetics of Androgen Insensitivity Syndrome (AIS)

 

Since the cloning of the androgen receptor cDNA in 1988 and the subsequent elucidation of the genomic organization of the androgen receptor gene, molecular diagnostic tools have been available for the molecular analysis of the androgen receptor gene in individuals with AIS. In addition to endocrinology data, such as levels of testosterone, luteinizing hormone, androstenedione, and 5α-dihydrotestosterone, which can vary widely in AIS individuals, the most reliable approach is the sequencing of each individual androgen receptor exon and the flanking intron sequences. In general, AIS can be routinely analyzed and separated from entirely different syndromes presenting with similar phenotypes including testicular enzyme deficiencies, 5α-reductase type 2 deficiency, and Leydig cell hypoplasia due to inactivating luteinizing hormone receptor mutations. Furthermore, in pedigree analysis intragenic polymorphisms like the highly polymorphic (CAG)nCAA repeat encoding a poly-glutamine stretch, the polymorphic GGN repeat encoding a poly-glycine stretch, the HindIII polymorphism [Figure 8, see above] (39) and the StuI polymorphism (256), can be used as X-chromosomal markers (67, 257, 258). Extensive general information can be obtained at the internet site, www.genecards.org for the androgen receptor gene (NR3C4) and on the 233 identified single nucleotide polymorphisms (SNP’s).

 

Mutations in the Androgen Receptor Gene

 

In the androgen receptor gene, 4 different types of mutations have been detected in 46, XY individuals with AIS: single point mutations resulting in amino acid substitutions or premature stop codons, nucleotide insertions or deletions most often leading to a frame shift and premature termination, complete or partial gene deletions (>10 nucleotides), and intronic mutations in either splice donor or splice acceptor sites which affect the splicing of androgen receptor RNA (151). In general, in 70% of the cases, androgen receptor gene mutations are transmitted in an X-linked recessive manner, but in 30% the mutations arise de novo. When de novo mutations occur after the zygotic stage, they result in somatic mosaicisms (259). The most recent update on androgen receptor gene mutations is available at http://www.mcgill.ca/androgendb/ (151).

 

MUTATIONS IN THE NH2-TERMINAL DOMAIN

 

Mutations in the NH2-terminal domain (exon 1 of the gene) do not occur frequently and the vast majority of the mutations result directly in a stop codon or in premature termination due to frameshifts caused by nucleotide insertions or deletions. Mutations in 103 different codons have been reported in the NH2-terminal domain, which is approximately 18 % of all codons in exon 1 (http://androgendb.mcgill.ca/ ) (151, 260-264).

 

An interesting mutation is described in the fourth nucleotide, which results in a decreased translational efficiency of the androgen receptor mRNA in an individual with PAIS (265). Three other missense mutations were reported in combination with mosaicism or with a mutation in another region of the gene. In a family with PAIS associated with severe hypospadias, the length of the androgen receptor NH2-terminal poly-glutamine repeat has been reported to be shortened to only 12 glutamine residues (266). The shortened glutamine stretch as such is not the cause for the androgen resistance, but it seems to increase the thermolability of the androgen receptor in combination with a point mutation in exon 5 (Y764C) in the ligand binding domain. This point mutation causes rapid dissociation of hormone, but no thermolability. These data support a functional interaction of the two separated regions in the androgen receptor and indicates further that the defect becomes critical in only some of the androgen target tissues because of the partial character of the androgen resistance found in this family (266).

 

MUTATIONS IN THE DNA-BINDING DOMAIN  

 

In general, mutations in the DNA binding domain (e.g., single nucleotide substitutions) result in a normal hormone-binding protein, which is defective in DNA-binding/dimerization and consequently in transcription activation. In total, 71 different mutations have been reported in 38 different codons in the DNA-binding domain, which is approximately 43% of all codons in exons 2 and 3 (http://androgendb.mcgill.ca/ ) (151, 260, 264, 267, 268). Thirty-four mutations were observed in the first zinc cluster and thirty-two in the second zinc cluster. Since the 3D structure of the DNA-binding domain of several nuclear receptors have been published earlier than that of the androgen receptor DNA-binding domain, the consequence of several mutations in the androgen receptor DNA-binding domain have been predicted initially on basis of the structure of the glucocorticoid receptor DNA-binding domain (122, 123).This is illustrated in two studies in which 3D-modelling of the mutated DNA binding domain of the androgen receptor predicts the functional activity of mutant receptors (269, 270). A mutation (G578R) in the so-called P-box [Figure 9, see above], which is involved in androgen response element recognition, was found in a PAIS individual. This mutation differentially affects transactivation of several natural and synthetic promoters, suggesting that androgen target genes may be differentially affected by this mutation (271). An interesting observation was made with respect to the second zinc cluster in which either one of two adjacent arginine residues (Arg608 & Arg609) were found to be mutated in PAIS individuals who developed breast cancer [Figure 9, see above] (272, 273). It is speculated that a decrease in androgen action within the breast cells could account for the development of male breast cancer by the loss of a protective effect of androgens. However, the same mutations in several other PAIS individuals did not result in breast cancer development.

 

The mutation Ala597Thr in the second zinc cluster in the so-called D-box resulted in abolishment of dimerization in a PAIS individual [Figure 9, see above] (274). A similar mutation at an identical position in the second zinc cluster of the glucocorticoid receptor DNA-binding domain has been created to discriminate between dimerization/DNA binding of the glucocorticoid receptor and protein-protein interactions with other transcription factors such as the AP-1 transcription complex (275). It appeared that the dimerization mutant did not affect the cross-talk with other transcription factors. In this way, a tissue-specific response can be influenced by a single amino acid change and if this is also true for the mutant androgen receptor then the partial phenotype can be explained. Interestingly a Ser580Arg, also located in the D-box can cause significantly different phenotypes ranging from under-virilization to a normal male phenotype (276).

 

MUTATIONS IN THE HINGE REGION  

 

In the so-called hinge region, located between amino acid residues 623 and 671 [Figure 8, see above], only nine mutations have been reported. The relatively low number of mutations in the hinge region (only in 18 % of all codons) indicates that this region might be very flexible and that some variation in composition and length of this region is not detrimental for androgen receptor function (http://www.mcgill.ca/androgendb/) (151).  Four amino acid substitutions within the hinge region have been described that resulted in CAIS, four in PAIS and one in MAIS (http://www.mcgill.ca/androgendb/ (151). The Ile665Asn substitution on the border of the hinge region and ligand-binding domain, resulted in a decreased hormone binding (277).

 

MUTATIONS IN THE LIGAND-BINDING DOMAIN  

 

It can be expected that mutations in the ligand binding domain might affect different functional aspects (e.g., loss of ligand binding, changes in ligand binding affinity and specificity, changes in co-activator receptor interactions, changes in receptor stability and thermolability). A large number of mutations (283 different mutations in 164 codons, which is in 66 % of all codons of the ligand binding domain) in the ligand binding domain have been reported in all 5 exons in individuals with either CAIS, PAIS or MAIS (http://androgendb.mcgill.ca/ ) (151, 260, 265, 278-286). Most mutations are located in exons 4 (62 mutations), 5 (77 mutations) and 7 (54 mutations). Interestingly mutations are found in 13 of the 18 amino acid residues considered to interact with the ligand directly (120). For some mutations (in total 25, distributed over the whole ligand binding domain) either a complete (CAIS) as well as a partial (PAIS) phenotype (13 cases) or a CAIS and a PAIS and a mild (MAIS) phenotype (4 cases) or a PAIS and a MAIS phenotype (8 cases) has been described, indicating that phenotype does not always match with genotype. In the AF-2 core region (894-EMMAEIIS-901) of the androgen receptor ligand-binding domain a relatively low number of mutations have been reported [see Figure 10 for location of AF-2]. At positions methionine 895 (deletion), Met896, Ala897, Glu898 and Ile899 (all substitutions) have been described in individuals with the complete syndrome (287, 288). It can be speculated that in this part of helix 12 mutations in the androgen receptor ligand-binding domain are very deleterious for androgen receptor function as well as those in helix 5 and in the β-turn, wherein almost every amino acid residue has been found to be mutated in AIS individuals (http://androgendb.mcgill.ca/ ) (151). Functional analysis of an androgen receptor mutation, Gln903Lys in helix 12, in an individual with partial androgen insensitivity, indicated that this residue is important for modulation of NH2/COOH terminal interaction and TIF-2 activation (289). Interestingly a mutation, Phe827Leu, found in a PAIS patient, displayed an unexpected increased N/C interaction and TIF2 coactivation (290). An explanation for the phenotype of the patient could be that the receptor mutant recruits a different repertoire of co-activators absent in genital tissues. Alternatively, an altered conformation of the ligand binding domain may enhance preferential recruitment of co-repressors.

 

Several reports have established the pathogenic nature of androgen receptor mutations found in AIS individuals with different functional assays (260, 289-292). In order to optimize molecular diagnosis an extensive functional analysis of receptor mutations is desired. For counselling strategies and for future outcome predictions a correct functional diagnosis is very important as well as for prognosis on the risks of gonadal malignancy (293). A combination of different functional analyses, designed to test androgen receptor mutations at different stages in receptor functioning (e.g., hormone binding, transcriptional activation, cofactor binding, translocation to the nucleus and nuclear dynamics) will provide a more accurate prediction of androgen receptor action and will help to establish a more exact phenotypic characterization.

 

DELETIONS AND DUPLICATIONS OF THE ANDROGEN RECEPTOR GENE  

 

Only a few cases (8 different deletions in 15 different patients) have been reported on partial or complete androgen receptor gene deletions, indicating the relatively low frequency of this type of androgen receptor defect (http://androgendb.mcgill.ca/) (151, 294). All cases reported are found in CAIS individuals, with the exception of two cases, one in which an exon 4 deletion was found in a person with azoospermia (295) and another one in which a large intron 2 deletion of at least 6 kb was reported involving a branch point site, which resulted in a partial exon 3 skipping during the splicing process (294).

 

Deletion of either exon 3 or exon 4 occur both in-frame and result in a non-functional protein lacking either the second zinc cluster or the hinge region and the NH2-terminal part of the ligand-binding domain [see Figure 7 for genomic organization of the androgen receptor gene]. In case of an exon 3 deletion, an intact and functional ligand-binding domain is present [Figure 7]. So far, functionally significant mutations in the androgen receptor promoter region or in the 5'- and 3'- untranslated regions of the gene have not been reported.

 

SPLICE SITE MUTATIONS AFFECTING ANDROGEN RECEPTOR RNA SPLICING  

 

A special group of interesting, but rare, mutations are the splice donor and splice acceptor site mutations in the androgen receptor gene in AIS individuals (http://androgendb.mcgill.ca/ ) (151). For all splice donor sites in the gene, the consensus splice donor site sequence GTAAG/A is present. The twelve reported mutations in donor splice sites are all substitutions either at position +1 (G  A or G  T), position +2 (T  C), position +3 (A  T), position + 4 (AT) or position + 5 (G  A) and result in defective splicing with the consequence of one or more exons spliced out, or the use of a cryptic splice donor site within the preceding exon (264, 296-301). In 11 of the reported cases, the phenotype is complete androgen insensitivity. In one case, an insertion of one nucleotide (T) at position + 4 in the splice donor site of intron 6 has been reported, resulting in a partial androgen insensitive phenotype (300). Only 5 mutations have been reported in splice acceptor sites, which all affect the splicing of the androgen receptor RNA. Interestingly, a substitution at position -11 (T G) has been found in the pyrimidine-rich region of the splice acceptor site of intron 2, resulting in the activation of a cryptic splice acceptor site at position -70/-69 and consequently in the insertion of 69 nucleotides (corresponding to 23 additional amino acid residues) in the mRNA between exons 2 and 3 (302). The corresponding protein is defective in DNA-binding because the insertion has occurred between the first and second zinc cluster. In another CAIS patient a splice junction mutation at the intron2/exon3 splice acceptor site resulted in the utilization of the same cryptic splice acceptor site and also in the insertion of 69 bp in the mRNA, predicting the insertion of 23 amino acid residues in frame between the two zinc clusters (303).

 

Androgen Receptor Gene Mutations in Cancers

 

Mutations in the androgen receptor gene have also been reported to be associated with prostate cancers, breast cancers, larynx cancers, liver cancers and testicular cancers (http://androgendb.mcgill.ca/ ) (151).

 

ANDROGEN METABOLISM DISORDERS

 

The metabolism of testosterone to 5α-dihydrotestosterone by the enzyme 5α-reductase type 2 (SRD5A2) is essential for the initiation of the differentiation and development of the urogenital sinus into the prostate. The differentiation of the male external genitalia (penis, scrotum and urethra) also strongly depends on the conversion of testosterone to 5α-dihydrotestosterone in the urogenital tubercle, labioscrotal swellings and urogenital folds, respectively [Figure 2B, see above] (3, 4). Interestingly in the SPARKI mouse expression of Srd5α2 gene is significantly impaired in the epididymis and the androgen-regulation of the gene was demonstrated to involve three selective AREs (304). 

 

Clinical Features of the Syndrome of 5α-reductase Type 2 Deficiency

 

46, XY individuals with impairment of 5α-reductase type 2 have normally virilized Wolffian duct derived structures, with seminal vesicles (although small seminal vesicles have been reported as well), with vasa deferentia, epididymides and ejaculatory ducts and no Mullerian duct derived structures (3, 305, 306). However, differentiation of the urogenital sinus and genital tubercle is not observed, resulting in absence of the prostate and in ambiguous or in female external genitalia at birth (3, 305, 306). Affected 46, XY individuals are therefore often raised as girls. At puberty all affected individuals show some or a severe degree of virilization often resulting in deepening of the voice, an increased muscle mass, growth of the penis, scrotal development, testicular descent and sometimes leading to a gender change (3, 307).

 

Gynecomastia in adulthood does not occur. The additional virilization may result from the action of testosterone because testosterone is available at high levels during puberty. In addition, some testosterone may be converted to 5α-dihydrotestosterone by some residual 5α-reductase activity and by the action of 5α-reductase type 1, which is expressed in non-genital skin, pubic skin, liver and certain brain regions. In the affected 46, XY individuals a typical female pubic hair pattern develops, while the facial and body hair amount is absent or reduced (4). This last observation points to a role for 5α-reductase type 2 in the normal development of this type of body hair. Male pattern baldness has never been observed. 5α-reductase type 2 deficient patients are usually infertile due to the absence or underdevelopment of the prostate and seminal vesicles, in addition to oligospermia or azoospermia due to maldescent of the testes. However, paternity has been reported in some cases, either by intrauterine insemination or after in vitro fertilization in combination with intracytoplasmic sperm injection (3, 305, 308-310). 46, XX female carriers have normal fertility, decreased body hair and delayed menarche, normal sebum production but no history of acne (3, 305). This suggests a role of 5α-reductase type 2 enzyme in females in the physiology and pathophysiology of body hair growth, menarche and follicular development (305).

 

Molecular Basis for the Syndrome of 5α-Reductase Type 2 Deficiency

 

A reflection of defective or absence 5α-reductase type 2 enzyme activity can be obtained in patients’ serum and urine samples by measuring testosterone levels (elevated), 5α-dihydrotestosterone levels (decreased) and by measuring the ratio of testosterone/5α-dihydrotestosterone (increased after hCG stimulation) (3). Furthermore, in cultured genital skin fibroblasts (if available) the conversion of testosterone to 5α-dihydrotestosterone can be assessed and is an option for establishing a defective enzyme. In broken cell preparations at pH 5.5, the type 2 isozyme activity is measured more specifically and can be compared with a preparation from a normal person (3).

 

Genetic analysis of 5α-reductase type 2 deficiency has become possible since the cloning of the cDNA (17). The gene is located on chromosome 2 at locus 2p23. The enzyme is encoded by 5 exons and the most reliable approach to detect gene mutations is the sequencing of each individual exon and the flanking intron sequences [Figure 12]. A relatively large number of loss of function mutations in the type 2 steroid 5α-reductase has been identified in 46XY individuals with this rare autosomal recessive disorder of sex development (46XY, DSD).

 

Interestingly worldwide 87 different mutations have been detected in the 5α-reductase type 2 gene in patients with the syndrome of 5α-reductase type 2 deficiency in several different ethnic groups [Figure 12] (3, 4, 285, 305-307, 311-339). Identical mutations have been reported in different ethnic groups and some of them can be considered to be due to a founder effect and some to have occurred de novo (340-342). The mutations were found in all five exons of the gene, although the majority of the mutations are reported in exons 1 and 4 [Figure 12].

 

The mutations comprise of 57 amino acid substitutions (65.5%), one complete gene deletion (3, 306), one complete exon 1 deletion (16), one substitution at stop codon 255 resulting in a Serine residue (336), ten small deletions resulting in either a premature stop codon or in an in-frame amino acid residue deletion, four small insertions (335), nine nonsense mutations and four splice site mutations, resulting in aberrant splicing [Figure 12]. The majority of the reported patients are homozygous for one of the mutations. A smaller number of patients appeared to be compound heterozygous, while a small group of patients are heterozygous (331, 340, 341).

 

In general male carriers of a single mutant allele have normal fertility as is the case for female carriers. The largest investigated kindreds were found in the Dominican Republic, in Turkey and in New Guinea (3, 305, 333). In all three kindreds the high incidence can be directly related to a founder affect in geographical isolated populations with a high degree of inbreeding. For other cases also a large incidence of proven consanguinity is reported (3, 305).

 

In prostate cancer de novo mutations in the 5α-reductase type 2 have been reported, resulting in increased 5α-reductase activity (317, 333, 343, 344).  This finding indicates a role for increased 5α-dihydrotestosterone levels in the prostate, during prostate cancer progression in a subset of patients. The V89L mutant significantly reduced SRD5A2 enzymatic activity by almost 30% (316, 342, 343). The rare allele frequency of the V89L variant is 22%, 23,5%, and 46,1% for African Americans, Caucasians, and Asians, respectively, paralleling a substantial racial/ethnic variation in prostate cancer risk, indicating that this polymorphism might be implicated in prostate cancer carcinogenesis (343-346).

 

CONCLUSIONS-KEY POINTS

 

Androgenic steroids are important for normal development and function of male reproductive tissues and for anabolic actions in muscle and bone. The multiple actions of the main circulating androgen testosterone and the more potent metabolite DHT are mediated by a single intracellular receptor protein, the androgen receptor. The hormone-bound receptor acts primarily to differentially regulate gene expression in target tissues and its encoding gene is located on the X chromosome, making it a single-copy gene in males. Thus, genetic changes affecting expression or structure/function of the receptor protein will lead to a range of diseases associated with loss or impaired androgen signaling, including disruption of male development, infertility or a late onset neurodegenerative disease (SBMA). Furthermore, altered expression and genetic changes in the receptor are also key drivers in progression of prostate cancer to a therapy-resistant stage.

 

Since the first cloning of the androgen receptor cDNA, over thirty years ago, considerable progress has been made in our understanding of receptor structure and function. Advances include: the availability of 3D-structures of the isolated LBD with different ligands bound and the isolated DBD; structural characterization of the intrinsically disordered NH2-terminal domain; first glimpse of the structure of full-length AR transcriptional complex on DNA; the identification of a plethora of co-regulatory proteins binding to the ligand- and NH2-terminal domains; identification of gene regulatory pathways in target cells; and a better understanding of the impact of genetic changes affecting receptor structure/function. Future research will likely focus on the mechanisms determining cell/tissue-selective expression and function of the androgen receptor in both normal and pathophysiological conditions and a more complete structural descriptions of the full-length receptor bound to different DNA response elements and co-regulatory proteins.

 

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Treatment of Diabetes mellitus in Children and Adolescents

ABSTRACT

The incidence of Type 1 Diabetes continues to increase around the world. Advances in technology of insulin delivery systems including closed loop and continuous glucose monitoring are improving the possibilities of maintaining desirable glucose control. Type 2 Diabetes is increasing in the adolescent age groups across the world, in certain populations especially including Native Americans, Pacific Islanders, Hispanics, African Americans, and South East Asians. For Type 2 Diabetes, the pharmacological armamentarium has markedly increased by the addition of GLP-1 agonists, DPP4 antagonists, and SGLT2 inhibitors, each of which has improved metabolic control and cardiovascular outcomes. To date, these newer modalities are being tested in adolescents with T2DM but several are not yet officially approved for this age group. Diabetic Ketoacidosis (DKA) remains the initial presentation of some 30%-40% of pediatric patients, and DKA remains the leading cause of death, sometimes associated with Cerebral Edema; complications are also very high in children/adolescents presenting with Hyperglycemia/Hyperosmolar syndrome in the context of a T2DM clinical picture. Appropriate treatment in medical centers with trained personnel and modern laboratory facilities has markedly reduced the mortality and morbidity associated with DKA and Hyperglycemic-Hyperosmolar Syndrome.

 

DIABETIC KETOACIDOSIS

 

Pathophysiology

 

Diabetic ketoacidosis (DKA) is a life-threatening metabolic decompensation considered to be a medical emergency and caused by a combination of insulin deficiency and the action of counter-regulatory hormones(1). The biochemical, metabolic and acid-base abnormalities that occur have been extensively documented at a physiologic level and to some extent at a molecular level (2-4).  Briefly, deficiency of insulin prevents the entry of glucose into insulin-sensitive cells in tissues such as liver, muscle, and fat and its appropriate metabolism. Sensing intra-cellular glucopenia, the organism responds by increased secretion of the 4 counter-regulatory hormones, glucagon, cortisol, growth hormone, and catecholamines. Acting synergistically, these hormones increase glucose production via glycogen breakdown and gluconeogenesis, induce lipolysis and ketogenesis and result in hyperglycemia, osmotic polyuria, dehydration, increased thirst, and acidosis from the accumulation of ketoacids, principally β-hydroxybutyrate, (B-OHB) which exceed buffering capacity, as well as lactic acidosis from the ensuing dehydration and limited tissue perfusion. Hence, the symptoms and signs are polyuria, polydipsia, dehydration, tachycardia, deep sighing respiration (Kussmaul breathing), and the smell of acetone on the breath, and abdominal pain and nausea imitating an acute abdominal condition; paradoxically, despite dehydration, blood pressure may be normal or elevated reflecting the effects of catecholamines (Table 1). These manifestations develop over hours or days, in contrast to hypoglycemia which can occur suddenly. In cases of new diabetes, weight loss, increased appetite, and nocturia, or enuresis in previously toilet-trained child, are almost universally present if a careful history is elicited. Left untreated, clouding of consciousness due decreased cerebral oxygen perfusion, acidosis, and neural biochemical changes lead to coma and eventually death. Absolute insulin deficiency occurs most often at onset of evolving T1DM, but it may also occur after deliberate or inadvertent omission of insulin in a child or adolescent responsible for their own care, or with kinking or obstruction of tubing in insulin pumps. Relative insulin deficiency occurs with major physiological stressors such as sepsis, infection, or severe trauma that result in profound increased secretion of the counter-regulatory hormones which overwhelm the actions of insulin. Recurrent episodes of DKA are almost the result of psycho-social mal-adjustment. These concepts are summarized in figure 1.

 

TABLE 1. Clinical and Biochemical Manifestations of Diabetic Ketoacidosis

Clinical

Biochemical

Dehydration

Hyperglycemia (11-50mmol/l)

Rapid, deep, sighing (Kussmaul respiration)

Variable degrees of acidosis (PH<7.3; HCO3 <15meq/l)

Nausea, vomiting, and abdominal pain mimicking an acute abdomen

Ketosis-serum BOHB (>3mmol/l)

Progressive obtundation and loss of consciousness

Elevation of BUN and Creatinine

Increased leukocyte count with left shift

Fever only when infection is present

Non-specific elevation of serum amylase

Figure 1. Pathophysiology of diabetic ketoacidosis(7). Copyright © 2006 American Diabetes Association. From Diabetes Care, Vol. 29, 2006:1150-1159. Reprinted with permission of The American Diabetes Association

Criteria for Defining DKA

 

The criteria for a diagnosis of DKA are hyperglycemia with glucose ≥200mg/dl (≥11mmol/l), pH ≤7.30 or bicarbonate (HCO3) ≤15mmol/l, and ketonuria or B-OHB ≥2.0mmol/l. Severity of DKA is defined by the degree of acidosis; mild=pH 7.20-7.30, HCO3 10-15mmol/l; moderate=pH 7.1-7.2, HCO3 5-10mmol/l; severe =pH<7.1, HCO3<5 mmol/l. Hyperglycemia usually ranges between 200-1000mg/dl (16.6-50.5mmol/l);values >1000mg/dl should raise the possibility of hyperosmolar hyperglycemia, separately discussed below. The reported frequency of DKA varies from about 13% to 80% in various countries and is generally higher in less developed countries; it is inversely related to socio-economic development, level of education of the family, and to the incidence of diabetes mellitus in the location. In the United States, about 30-40% of newly diagnosed patients with DM present in DKA, reflecting delay in establishing the diagnosis of diabetes in a child, particularly in children <5years of age (8-11).

 

Table 2 illustrates the average losses of fluids and electrolytes in diabetic ketoacidosis and maintenance requirements in normal children adapted from references (4, 7, 9).

 

TABLE 2.  Fluid and Electrolyte Losses and Maintenance Requirements in DKA

 

Average (range) losses

24-hour maintenance requirements

Water

70 mL/kg (30-100)

≤10 kg: 100 mL/kg/24hrs

11-20 kg: 1000 mL+ 50 mL/kg/24 hr for each kg from 11-20

>20 kg: 1500 mL+ 20 mL/kg/24 hr for each kg >20

Sodium

6 mmol/kg (5-13)

2-4 mmol/kg

Potassium

5 mmol/kg (3-6)

2-3 mmol/kg

Chloride

4 mmol/kg (3-9)

2-3 mmol/kg

Phosphate

1 mmol/kg (0.5-2.5)

1-2 mmol/kg

 

Principles of Treatment  

 

The principles of treatment enunciated here are based on those of the International Society for Pediatric and Adolescent Diabetes, the American Diabetes Association, and the Pediatric Endocrine Societies of Europe and the USA (4, 7, 11).

 

Mild cases of DKA such as might occur in a patient using an insulin pump in which the tubing has become obstructed, or mild upper respiratory or mild abdominal infection without significant vomiting or diarrhea in an educated patient and strong family support might be managed via telephone instructions. When fluids are tolerated, 3-4 ounces of clear fluids (approximately 100ml) can be offered hourly. In addition, rapid acting insulin 0.1-0.2U/kg is given every 2-4 hours, glucose levels are checked via home meters and urinary ketones are checked via strips. Resolution of hyperglycemia and ketonuria, and tolerance to oral fluid intake indicates successful management and return to customary regimens including pump settings and/or subcutaneous basal-bolus insulin regimens.

 

For new onset patients, those that cannot tolerate oral fluid intake, and those with moderate to severe DKA, we recommend admission to a unit with capabilities similar to those of an ICU, possessing written guidelines on management, physicians and nursing staff trained in the management of DKA, bedside glucose and blood gas monitoring, vital sign monitoring (pulse, blood pressure, respiration), and laboratory back-up of acid-base and electrolyte status. A thorough physical examination including level of consciousness should determine the overall clinical status, degree of dehydration, and consider the need to evaluate for infection. Supplemental oxygen may be provided via mask or nasal cannula, and a gastric tube passed if the patient is vomiting. Urine output should be measured via bag collection and catheterization avoided if possible.  A blood sample should be obtained for measurement of glucose, electrolytes, β-OHB, acid-base status, hematocrit, and complete blood count; blood cultures and imaging studies should be considered in cases of suspected sepsis as the precipitating cause and appropriate antibiotics given. A modest increase in WBC with neutrophil predominance may reflect an acute phase response rather than sepsis; even if an acute abdominal condition is suspected, surgery should be deferred until several hours of resuscitation with fluids and electrolytes has occurred. Access for IV infusion should be established; this or preferably a separate IV site can serve as source of blood sampling.

 

The initial resuscitation consists of intravenous saline bolus infusion at 10-20 ml/kg over 1-2 hours depending on the degree of dehydration. Clinical assessment of dehydration is based on physical findings such as heart rate, blood pressure, speed of capillary refill, tissue turgor, and dry coated tongue and is generally rated as 5% (mild),10% (moderate) or greater than 10% (severe). Urine output is not a reliable sign as it usually continues due to the osmotic diuresis of hyperglycemia; diminished urine output may reflect evolving renal failure. Clinical judgment of degree of dehydration is notoriously inaccurate and can result in over or under estimation; hematocrit or a very recent weight may aid in assessment of the degree of dehydration so as to more accurately guide the amount and composition of fluids to be infused and in turn reduce the risk of the occurrence of cerebral edema (12, 13). Hence initial estimates of dehydration and osmolality of plasma based on glucose and electrolyte status, as well as acid base resolution, require re-assessment as treatment progresses. The initial resuscitation period with normal (0.9%) sodium chloride solution provides an opportunity to elicit a careful history and formulate the plan of management focused on provision of fluid, electrolytes, insulin, and monitoring to anticipate and correct complications.

 

FLUID

 

The amount of fluid to be administered is based on the estimated degree of dehydration, e.g., 5% of body weight in Kg, plus daily maintenance (see table 2) evenly infused over 24-36 hours, subtracting the fluid administered as resuscitation. For example, a 30kg child with estimated dehydration of 5% would require 1500 ml for deficit plus 1700 ml for daily maintenance, yields a total of 3200 ml (table2); subtracting the 20ml/kg bolus of normal 0.9% saline from this total (600ml), leaves 2600 ml, or approximately 100 ml/hour over the initial 24 hours with adjustments made according to response. The total daily fluid infused should rarely exceed 1.5-2.0 times daily maintenance.

 

COMPOSITION OF FLUID

 

Sodium Chloride

 

Normal isotonic saline is the initial crystalloid of choice to be given over the initial 4-6 hours. This fluid is hypotonic relative to the osmolality of the patient’s plasma which can be calculated as 2(Na meq/dl + K meq/dl) plus glucose in mmol, or mg/dl divided by 18. Assuming a Na of 140meq, K 4.0meq and glucose of 450 mg/dl, the osmolality is 284+25 = 309 mosm. Normal (0.9%) saline has an osmolality of 286meq/l; the difference between the osmolality of the infused saline and patient’s plasma becomes greater as the glucose concentration in plasma rises. But it is important to note that the infusate remains hypotonic relative to plasma as long as the hyperglycemia persists; decline in plasma osmolality must be carefully monitored to avoid rapid osmotic shifts that facilitate entry of water to the intracellular /intracerebral compartment. After the first 4-6 hours, 0.5-0.75 N saline plus added potassium(K) as the phosphate, acetate or chloride maintains an osmolality of the infusate close to that of the patient’s plasma. Because of the concerns regarding use of chloride in worsening acidosis, some have recommended the use of lactated Ringers solution or sodium acetate in lieu of normal saline (7).

 

Potassium

 

During acidosis K moves from the intra cellular to the extracellular compartment and considerable K is then lost in urine. As a result, total body K stores are almost always depleted and with correction of acidosis, K returns to the intracellular compartment resulting in hypokalemia, which may precipitate cardiac arrhythmia. Hyperkalemia is less common and may reflect impaired renal function. Hence, after initial resuscitation, as soon as urine output is documented, K should be added to the infusate at a concentration of 20-40 meq/l. The potassium may be in the form of potassium chloride, but this adds to the hyperchloremia which may result in persistent hyperchloremic acidosis. Hence, some recommend that the K may be administered, at least in part, as the acetate or phosphate, which may have additional benefit as described below. Total amounts of potassium replacement should not exceed 0.5mm/kg/hour. Potassium replacement should continue throughout the period of IV therapy to assist in the repletion of potassium stores. This may not be fully accomplished during IV therapy and continues when oral intake is resumed. The measurement of K concentration is an essential component of biochemical monitoring as described below; additional rapid monitoring of K concentration in plasma is in the evaluation of the EKG which may show high peaked T waves with hyperkalemia and low amplitude of T waves, T wave inversion, prolonged PR interval and prominent U waves with hypokalemia. 

 

Phosphate

 

As with potassium, phosphate stores are depleted in ketoacidosis and further losses occur with ongoing diuresis during treatment and the effects of insulin in promoting intracellular entry. Severe hypophosphatemia (<1mg/dl) may be associated with depletion of ATP and the resultant deleterious effects on any energy requiring processes, including muscle function, CNS disturbances, hemolysis, and rhabdomyolysis. In addition, phosphate participates in the regulation of the oxygen dissociation curve, so depletion impairs oxygen release to tissues and further exacerbates acidosis by promoting lactate accumulation. On the other hand, infusing phosphate is associated with hypocalcemia and limited trials have not shown consistent beneficial effects in the treatment of DKA. An advantage however, is its cautious use in limiting hyperchloremia and hence acidosis by providing some of the potassium requirement as phosphate rather than chloride, alternating KCl with KPO4 and monitoring calcium concentration to avoid or treat hypocalcemia. We use this approach in our practice recommendations.

 

INSULIN THERAPY

 

Fluid therapy alone incompletely corrects many of the biochemical features of DKA, but full resolution of DKA requires insulin to switch off ketogenesis, restore acid-base balance, and resume anabolic processes. For moderate to severe acidosis, we recommend a starting dose of insulin(regular) at 0.1 U/Kg/hour, infused intravenously until acidosis is curtailed; insulin should be continued even if the blood glucose concentration has declined to ~300mg/dl or less and additional glucose provided as 5%-10% solution to maintain glucose at ~300mg/dl. Temporarily switching off the insulin infusion may result in rebound or persistence of acidosis, as insulin is essential to curtail keto-acid production and enable metabolism of keto-acids to bicarbonate. It is permissible to reduce the insulin dose to 0.05U/Kg/hr if there is difficulty in maintaining glucose at ~300mg/dl, even with additional glucose infusion, but insulin infusion should not stop until acidosis is resolved and pH is 7.3 or higher. In those admitted with mild acidosis, or those who administered basal insulin prior to admission, the starting dose of insulin should be 0.05U/Kg/hr, in order to avoid too rapid decline in the glucose concentration. Monitoring of blood glucose decline may require upward adjustment of the insulin dose if glucose is not declining at least 50 mg/dl/hour. An intravenous insulin bolus of insulin is not recommended to be given at the start of therapy and may not be effective as acidosis promotes dissociation of hormone binding to its cognate receptor. Where venous access is not possible, IM or SQ fast acting insulin (aspart or lispro) may be given at a starting dose of 0.2-0.3U/Kg and doses of 0.1-0.2 U/kg repeated 1-2 hours apart depending on response in terms of decline in glucose and correction of acidosis.

 

BICARBONATE THERAPY

 

In controlled trials in adults, bicarbonate therapy has not been effective in shortening the time of acidosis; bicarbonate actually may cause harm. Harm may occur because HCO3- combines with the H+ to form H2CO3 which dissociates to H2O and CO2.Whereas HCO3- does not cross the blood-brain barrier, CO2 diffuses readily across the blood-brain barrier and may exacerbate acidosis. In addition, large doses of bicarbonate may induce alkalosis and promote hypokalemia. Although controlled trials have not been performed in children, observational outcomes in pediatric studies show resolution of acidosis with provision of fluids and insulin; bicarbonate therapy is not recommended in published guideline (4, 7, 12). In severe acidosis, with pH <7.0, myocardial contractility may be impaired and here bicarbonate may be helpful. In these circumstances, bicarbonate may be infused at 1-2mmol/Kg over 60 minutes and acid -base status reassessed thereafter. Bicarbonate therapy may be useful in treatment of severe hyperkalemia. Bicarbonate must not be given as a bolus in treating DKA.

 

An example of the losses and management of DKA in a child with weight 30kg (Surface area 1M2) are shown in Tables 3 and 4.

 

TABLE 3. Fluid and Electrolyte losses Based on Assumed 7% Dehydration in a Child with Diabetic Ketoacidosis*

Fluid and electrolyte

Approximate accumulated losses with 7% dehydration

Approximate requirements for maintenance (36hrs)

Approximate working total

Water (mL)

2100

2550

4650

Sodium (mEq)

180

180

360

Potassium (mEq)

120

90

210

Chloride (mEq)

120

90

210

Phosphate (mEq)

30

45

75

*Weight 30 kg; surface area 1 M2; See tables 2 and 3, references (4, 7, 12) and text for source of losses of water and electrolytes       

 

TABLE 4. Replacement Therapy for a Child with Assumed 7% Dehydration and DKA

Duration

Fluid composition/amount

 

Sodium (mEq)

 

Chloride (mEq)

 

Potassium (mEq)

Phosphate (mEq)

 

Hour 0-2:

500 mL N. SALINE (0.9%NaCl)

75

 

75

 

0

0

Hour 2-6:

150mL/hr

INSULIN

0.1 U/kg/hr

600mL N. SALINE

+ 40mEq KCl/L

 

90

115

25

0

Hour 6-12:

150mL/hr

INSULIN

0.1 U/kg/hr

900ML 0.5N. SALINE +40mEq  KCl/L

 

~70

105

35

0

Subtotal: initial 12 hr

2000ML

 

235

295

60

0

Next 24 hr:

100mL/hr

INSULIN

0.1 U/kg/hr

2400 mL 0.5N SALINE

1STLITER ADD KPO4 40mEq

2ndLITER ADD KCl    20 mEq

3rdLITER ADD KPO4 20 mEq

 

75

 

75

 

30

 

75

 

95

 

30

 

40

 

20

 

8

 

40

 

0

 

8

Total 36 hr:

4400 ml

415

495

128

48

*Weight 30 kg; surface area 1 M2; In this formulation, calculated fluid deficit has been corrected by about 12 hours and basal requirement over the ensuing 24 hours; total fluid over the 36 hours has not exceeded 2 times daily maintenance. Total sodium infused only modestly exceeds the calculated deficit, but total chloride excess is considerable and may be associated with persistent (hyperchloremic) acidosis. Potassium and phosphate repletion is incomplete and continues after transition to oral intake of nutrition and subcutaneous insulin therapy. This example is for illustrative purposes only; the actual amount and composition of infused fluids is dictated by the biochemical responses monitored and recorded during therapy. Detailed discussion of electrolyte replacement can be found in references (12) and (13).

 

MONITORING

 

A flow sheet to record clinical and biochemical progress is an essential component of therapy. Actual real-time monitoring of vital signs should be complemented by hourly recordings. Initial chemical laboratory tests must include blood glucose, serum electrolytes with emphasis on sodium, chloride, and potassium, as well as phosphate, calcium, pH, pCO2, HCO3, base excess, BUN and creatinine as indices of renal function and β-hydroxybutyrate(B-OHB) as a measure of ketosis. Measurement of urine output, urine glucose and ketones also must be recorded. The urine ketone measurement uses the sodium nitroprusside reaction which measures aceto-acetic acid and weakly acetone, but not B-OHB, the predominant ketone in blood. Hence, the major contributor to ketoacidosis is not reflected in the urinary ketone measurement. Bedside blood glucose, electrolyte, and acid base, and ketone meters are very useful but must be verified by periodic formal laboratory measurements. Initially, hourly measurement of glucose, electrolytes, and acid base status are recommended for the first 4 hours and 2-4 hourly thereafter depending on indices of improvement and resolution of acidosis, defined as pH≥7.3 or bicarbonate ≥15 mm/l. At this time transition to oral intake and discontinuation of IV therapy can be undertaken; absence of ketonuria should not be a criterion as this may continue for some time due to conversion of B-OHB to aceto-acetate as ketosis resolves. After the first day, once daily measurement of electrolytes, acid base and renal function should be performed until restoration of normal function is confirmed.

 

TRANSITION TO ORAL INTAKE

 

Oral intake may be begun when clinical recovery has occurred even if the acid base status and ketonuria have not completely resolved. Oral sips of clear liquids precede the introduction of oral fluids to gradually supplant the IV provision and total daily fluid restricted to no more than 1.5 times calculated daily maintenance. The first dose of regular or fast acting insulin is given subcutaneously approximately 1-2 hours before discontinuing the IV insulin to allow for absorption. For patients on a basal-bolus insulin regimen, the first dose of basal insulin may be administered in the evening while the IV insulin is maintained till the morning and then discontinued.

 

Mortality and Morbidity of DKA

 

Mortality of DKA has declined markedly in the past 2 decades largely due to greater referral of patients to specialized centers (5, 6, 14). Cerebral edema (CE) is responsible for the majority of deaths and survivors of CE may have severe or mild residual impairment of CNS function including memory impairment (15-17). Several other causes of mortality and morbidity occur, but each is individually rare and include venous and arterial CNS thromboses, pulmonary embolus, rhabdomyolysis, pancreatitis, ARDS, and infections such as rhino-cerebral mucormycosis and other rare entities. These rarer complications are more fully described in prior reviews (4, 7, 16).

 

CEREBRAL EDEMA

 

Cerebral edema is the most feared complication of DKA occurring either early (cerebral ischemia/reperfusion injury) or later during the course of therapy; mechanisms have not been clearly defined and whether the composition of IV fluids and their rate of administration contribute to or may prevent this complication is hotly debated (12-19). New onset, younger age and indices of severity have been associated with greater risk of this complication (20). Symptoms and signs include severe headache and development of bradycardia and hypertension as evidence of raised intracranial pressure, restlessness and irritability, localizing neurological features such as nystagmus and incontinence or polyuria without glucosuria as indicators of evolving diabetes insipidus, as well as evidence of papilledema.  Clinical diagnosis based on bedside evaluation of neurological state as shown below has been proposed (16). In this formulation, one diagnostic criterion, two major criteria, or one major and two minor criteria have a sensitivity of 92% and a false positive rate of only 4% (16).  Signs that occur before treatment should not be included in the diagnosis of cerebral edema. Diagnostic criteria include abnormal motor or verbal response to pain; decorticate or decerebrate posture; cranial nerve palsy (especially III, IV, and VI), and abnormal neurogenic respiratory pattern such as grunting, or Cheyne-Stokes respiration. Major criteria include altered mentation/fluctuating level of consciousness; sustained heart rate deceleration (decrease more than 20 beats per minute) not attributable to improved intravascular volume or sleep state; and age-inappropriate incontinence with a rise in serum sodium indicative of loss of free water(diabetes insipidus).Minor criteria include vomiting, headache; lethargy or not easily arousable; diastolic BP >90 mm Hg; young age( <5 years) (16). The mechanisms responsible for the development of cerebral edema in DKA appear to be both osmotic (12-14, 18, 20) and vasogenic (21, 22), and the timing of appearance as early or late in the course of treatment may depend in part on the major contribution of the mechanism involved. Treatment should begin with reduction in the rate of fluid administration, elevating the head of the bed, administration of mannitol, 0.5-1 g/kg IV over 10-15 minutes, and repeating the dose of mannitol if there is no initial response in 30 minutes to 2 hours. Hypertonic saline (3%), at a dose 2.5-5 mL/kg over 10-15 minutes, may be used as an alternative to mannitol, especially if there is no initial response to mannitol. After these measures have begun, imaging of the CNS should be arranged to identify intracranial pathology such as thrombosis and treat as appropriate.

 

Caveats

 

  1. Ketone bodies measured in urine grossly underestimate the degree of ketosis, because the common method uses sodium nitroprusside which reacts strongly with aceto-acetate, weakly with acetone, and not at all with βOHB. Yet the actual amount of βOHB may be 5 times or more than aceto-acetate, especially in the presence of acidosis. As acidosis is corrected and more of the βOHB is converted to aceto-acetate, it appears as if the ketosis is getting worse, when in fact acidosis and clinical parameters are improving. Measurements of βOHB via bedside meters or formal laboratory methods are better means to monitor “ketone” status.
  2. After commencing treatment, acidosis may appear to worsen initially for 3 reasons (4). First, dilution of the total bicarbonate in the expanding fluid volume lowers the apparent bicarbonate concentration because the HCO3 is expressed as mmol/L, and while the total mmols may not have changed, they are distributed in a greater volume. Second, with initially rapid rehydration, accumulated lactic acid enters into the circulation. Third, the βOHB acid is excreted in urine after it is converted to Na Butyrate; the Na derives from NaHCO3, leaving bicarbonate which combines with H+ to yield CO2 and H2O and permits loss of the CO2 in respiration. In these processes, bicarbonate (HCO3) and Na are lost, further depleting the bicarbonate content of plasma. With rehydration and insulin, which together curtail ketogenesis, acid base balance gradually returns to normal (4).
  3. The use of phosphate as potassium phosphate or acetate rather than KCl, may reduce the large amount of chloride used and hence reduce hyperchloremic acidosis, as well as improving oxygen dissociation to enable lactate to be converted to pyruvate. However, this is not accepted by all authorities and some claim no additional benefit from using phosphate. In addition, the use of phosphate may result in hypocalcemia. However, with severe phosphate depletion, the use of phosphate is indicated and likely to be beneficial.

 

Recurring Episodes of DKA

 

A small subset of patients experience repeat episodes of DKA, and with each episode the prognosis for short-term and long-term outcome worsens. Recent data confirm that the majority of such recurrences reflect psycho-social maladjustments that require careful attention via medical and social support to avoid disastrous consequences (5, 6).

 

HYPERGLYCEMIA HYPEROSMOLAR SYNDROME (HHS)

 

The hyperglycemia-hyperosmolar syndrome (HHS) is characterized by blood glucose concentrations >600mg/dl (>33.3 mmol/l), serum hyper-osmolality ≥330mmol/l, and minor acidosis and ketosis; serum bicarbonate remains >15meq/l and urinary “ketones” (aceto-acetate) are usually negative or only trace positive on testing urine via dipstick (7, 21, 22). Hospital admissions for HHS are increasing in incidence, have high morbidity, and though classically considered to occur in obese patients with T2DM it may occur in T1DM as frequently as in T2DM (23). Although there are similarities to diabetic keto-acidosis, the fundamental difference is a greater degree of dehydration and less acidosis, so that treatment should focus on fluid and electrolyte replacement, and less on provision of insulin; indeed, insulin should be withheld initially to prevent a too rapid fall in serum glucose and lowering of serum osmolality which might result in fluid shifts into the cerebral compartment and cerebral edema (CE). However, CE is rarer in HHS than in DKA. The degree of insulin deficiency and the magnitude of counter-regulatory response appear to be less severe, so that the symptoms and signs of DKA are absent or less pronounced; abdominal pain and Kussmaul respiration are absent, and vomiting is less severe. These milder features also lead to greater time in evolution, greater degrees of dehydration and electrolyte losses resulting from the polyuria, and are often compounded by intake of highly glucose-enriched carbonated soft drinks consumed due to thirst. Glucose concentrations commonly exceed 1000mg/dl, dehydration may be as much as twice that occurring in DKA and may be difficult to estimate due to co-existing obesity and hypertonicity which retains fluid in the intra-vascular compartment. Persistence of the polyuria due to the persistence of glucose concentrations exceeding renal threshold of ~200mg/dl during treatment, requires careful monitoring of clinical status and fluid replacement to avoid dehydration and vascular collapse. The risk of thrombosis is greater in HHS than in DKA, possibly as a result of osmotic disruption of endothelial cells, with release of thromboplastins facilitating coagulation.

 

Treatment should assume dehydration of 10%-15% and initially isotonic (normal) saline should be provided at 20ml/kg bolus infusions to restore fluid deficits and maintain vascular volume with assessment of serum chemistries every 1-2 hours; subsequently, 0.5-0.75 N saline, with added potassium and phosphate should be infused to replace calculated losses over 24-48 hours, guided by laboratory chemistry every 2-4 hours and ongoing clinical monitoring performed in an ICU or equivalent setting. The aim should be to control the decline in blood glucose to 100 mg/dl per hour; if glucose is not declining at a rate of at least 50 mg/dl, or ketosis is more than mild, insulin at a rate of only 0.025-0.05U/kg/hour may be used with caution and careful clinical and laboratory monitoring. Potassium, phosphate and magnesium losses may be considerable; potassium should be infused at 40meq/l added to each liter of saline, with balanced mixtures of potassium chloride and potassium phosphate, the latter to replete phosphate depletion which may predispose to rhabdomyolysis and hemolytic anemia. As in DKA, use of bicarbonate is not recommended. Magnesium also may be severely depleted in HHS and predispose to hypocalcemia; the recommended doses of magnesium replacement are 25-50mg/kg/dose given every 4-6 hours at a maximum infusion rate of 150mg/min(2gm/hr.) for 3-4 doses. In addition to cerebral edema, thrombosis, and rhabdomyolysis, malignant hyperthermia is reported as a complication. Monitoring for these complications is based in part on clinical anticipation e.g., hyperthermia, and supplemented by appropriate biochemical testing e.g., serum creatinine kinase for rhabdomyolysis. Some patients have features that combine DKA and HHS that reflect the degree of insulin deficiency; clinical acumen, earlier use of insulin, and careful monitoring of the patient’s vital signs and chemistries guide treatment, especially the earlier use of insulin in appropriate doses. This syndrome of HHS in adolescents and young adults was classically considered a feature of T2DM (24), an entity that is increasing at an annual rate of 4.8% in the obese population of the USA (25). Hence, the frequency of HHS as a presenting feature is also likely to increase, so that physicians caring for these patients in an ICU or equivalent setting must be alert to the differences in management with the greater focus on fluid and electrolyte replacement in HHS rather than the use of insulin as in DKA.  

 

Table 5. Monitoring of Patients with HHS in the ICU (1)

A.    Continuous cardiac, respiratory and blood pressure monitoring

B.    Hourly glucose and clinical assessment

C.    2-4hourly assessment of fluid balance(input/output); serum electrolytes, BUN, creatinine, CPK (creatine-phospho-kinase)

D.    4-6 hourly Calcium, phosphate, magnesium

E.    Be alert to complications-thrombosis, rhabdomyolysis, hyperpyrexia, cerebral edema.

 

ROUTINE MANAGEMENT OF DIABETES

 

The goals of treating diabetes mellitus in children are to maintain metabolism as near to normal by the appropriate provision of insulin, maintaining nutrition by meeting caloric requirements and balanced composition of food choices within the cultural preferences of the family, and to balance both insulin and nutrition with recommended exercise and activity to allow normal growth and development. In order to prevent diabetes related complications, especially long-term microvascular disease, glycemic control is crucial.  This optimal diabetes regimen requires intensive management by patients and their families along with a multidisciplinary approach with psychosocial support.  Glycemic control is assessed by periodic measurement of hemoglobin A1C levels.

 

Table 6. The American Diabetes Association Guidelines for the Target Glucose and HbA1C Levels (26)

A1C

<7%

Pre-prandial plasma glucose

90-130 mg/dl

Overnight plasma glucose

70-180 mg/dl

 

TYPE 1 DIABETES

 

Insulin Therapy

 

The management of diabetes can be cumbersome.  In caring for children and adolescents with Type 1 diabetes, providers must take into account unique factors such as a child’s pubertal stage and growth, ability to provide self-care, supervision of care, school environment, and neurological vulnerability of hypoglycemia in young children. 

 

However, it is crucial to normalize glucose levels in order to prevent long-term consequences of diabetes especially from microvasculopathies, leading to neuropathy, renal failure, and blindness. In 1993, The Diabetes Control and Complications Trial (DCCT) reported results demonstrating that the intensive therapy of T1DM reduces the risk of development and progression of microvascular complications. Furthermore, these benefits outweighed the increased risk of hypoglycemia that accompanied intensive diabetes therapy (27). Thereafter, The Epidemiology of Diabetes Interventions and Complications (EDIC) study assessed whether these benefits persisted after the end of DCCT. The findings of this study provide further support for the DCCT recommendation that most adolescents with T1D receive intensive therapy aimed at achieving glycemic control as close to normal as possible to reduce the risk of microvascular complications (28). This goal is not easily achieved even with a multi-dose insulin regimen of basal and short acting insulin that attempt to mimic normal patterns (Figure 2).

 

Figure 2. Normal Glucose and Insulin Profiles

This pattern is difficult to achieve because the perfect alignment of glucose and insulin in the normal person depends on a complex interaction of neural, hormonal, and nutritional signals that are absent in type 1 DM. Moreover, the “first pass” of endogenous insulin is via the portal vein to the liver, whereas SQ insulin injections first reach the liver via the systemic circulation. Hence the common problem of post-prandial hyperglycemia due to delay in the action of insulin during and immediately after a meal, and rebound hypoglycemia sometime after the meal. The following describes the insulin regimens recommended as standard of care attempting to reproduce the normal situation.

 

Figure 3. Time Course of Rapid and Long-Acting Insulin

 

Insulin Glargine and Detemir provide day-long basal insulin without significant peaks of action. In some children, however, Glargine may not be fully effective for a whole 24 hours and for this reason is usually given at night. This synthetic insulin cannot be safety mixed with other insulins in the same syringe due to pH incompatibilities. Throughout the day, short acting insulin preparations such as Insulin Aspart, Lispro, and Glulisine are given to normalize blood glucose levels and cover calories consumed during meals and as possible snacks. As 3 meals are eaten by most on a daily basis, short acting insulins should be given at least 3 times daily to prevent excessive hyperglycemic excursions.

 

Prepubertal children typically require a total daily insulin dose of ~ 0.7 -1 U/kg/day whereas pubertal children may require total daily insulin doses up to 1.2-1.5 U/kg/day; greater than 2.0 U/kg/day suggest extreme insulin resistance or non-compliance (29).  Of the total daily insulin dose, 40-60% should be given as basal insulin. The actual dose depends upon the level of glycemia and the quantity of calories and carbohydrates consumed. A fast-acting insulin bolus is given to cover meals, calculated from an estimation of the carbohydrate content in grams and an individual factor (insulin to carbohydrate ratio) relating insulin dosage to the amount of carbohydrate to be consumed. When using carbohydrate counting, the ‘500-rule’ can be used to obtain an initial carbohydrate ratio by dividing 500 by the total daily insulin dose.(29) The range is from 1 unit per 10-50 grams.  In addition to the meal bolus, the difference between the blood glucose recorded immediately before the meal and the target glucose concentration (120 mg/dl for older children; 150 mg/dl for younger children) is used to calculate a correction bolus, based on a theoretical Insulin Sensitivity Factor or ISF. This may range from 1 unit for 10- 200 mg/dl blood glucose depending upon age and body size. The ‘1800-rule’ can be used to obtain an initial ISF by dividing 1800 by the total daily insulin dose.

 

Table 7. Types of Insulin Preparations and Action Profiles (30)

Insulin

Onset

Peak

Duration

Insulin lispro

(rapid acting)

15-30 mins

0.5-2 hrs

2-5 hrs

Insulin aspart

(rapid acting)

15 mins

1-3 hrs

3-5 hrs

Insulin glulisine

(rapid acting)

12-30 mins

1.5 hrs

5-6 hrs

Fiasp

(ultra-rapid acting)

5 mins

0.5 hrs

3-5 hrs

Regular

(short acting)

0.5-1 hrs

2-4 hrs

5-8 hrs

NPH

(medium acting)

2-4 hrs

4-10 hrs

8-16 hrs

Insulin glargine

(long acting)

2-4 hrs

None

24 hrs

Insulin detemir

(long acting)

1-2 hrs

6-12 hrs

20-24 hrs

Insulin degludec

(ultra-long acting)

0.5-1.5 hrs

none

42 hrs

Insulin glargine U300

(ultra-long acting)

6 hrs

none

24-36 hrs

 

The intermittent, short acting insulin given as a bolus should be injected 15 minutes before the meal in order to have its full effect when glucose rises during and after the meal. For infants and toddlers, these short acting insulin doses may be given after the meal if food consumption has been found to be unpredictable. In addition to the 3 meals, additional amounts of short acting insulin may be taken to cover snacks, and to reduce blood glucose concentration as appropriate at bedtime. An insulin "pen" is a convenient way of carrying multiple doses in a single dispenser but this pen device does not reduce the burden of multiple insulin injections.  Super long-acting insulin preparations e.g. Degludec or super-fast acting insulin e.g. FIAsp(Ultra-Fast acting insulin Aspart) are available and may have advantages in specific situations. In particular, a super-fast acting insulin would allow more rapid equilibration between the systemic and portal circulations, so offering advantages to prevent excessive rise in glucose after a meal and avoiding later development of post-prandial hypoglycemia (31, 32).  The half-life of insulin degludec exceeds the dosing interval resulting in a very low peak:trough ratio at steady state.

 

An alternative and better method of insulin delivery is the use of continuous subcutaneous insulin infusion (CSII) through use of an insulin pump. In this case, only short acting insulin e.g., lispro, glulisine), aspart, or FiAsp is taken as a continuous basal infusion and multiple boluses of insulin are given as above. The newer generation of CSII pumps automatically calculate meal and/or correction boluses based on input insulin-to carbohydrate ratios and insulin sensitivity factors plus estimates of the amount of carbohydrate consumed. The infusion site is best changed every 2 days to avoid skin infections. The advantages of CSII when used correctly are that insulin is delivered only as needed, and not in an anticipatory fashion as with long-acting insulin. Insulin boluses are also delivered only as needed, nutritional intake may be more liberal, glycemic excursions both as hyperglycemic and hypoglycemic episodes can be reduced, and the system is convenient and portable. Patients receiving insulin via CSII and their parents have generally reported improved treatment satisfaction. The one disadvantage of CSII is that since only short acting insulin is used (effects of rapid acting insulins are dissipated within 3 hours), any blockage in the tubing or pump failure can lead to rapid onset of hyperglycemia, accumulation of serum ketones, and an uncontrolled diabetic state. Thus, patients and their care-givers must be educated on treatment of hyperglycemia with an insulin pen or syringe in case of suspected pump malfunction which can be a common cause of DKA. 

 

With advanced technology, insulin therapy is becoming more physiologic. Continuous subcutaneous insulin infusion (CSII) therapy is transforming care of T1DM while continuous glucose monitoring (CGM) of interstitial fluid has become widely available and increasingly used in the US. Without continuous glucose monitoring, manual adjustment of insulin doses in response to changes in blood glucose are based only upon intermittent blood glucose testing and corrections.  Moreover, as previously mentioned, insulin injections or infusions are given subcutaneously and initially enter the systemic circulation, whereas endogenous insulin is secreted into the portal vein and act directly and immediately on the liver.

 

Currently, we are entering a new era of diabetes care for children, with the adoption of closed loop systems (33). All systems in development rely on glucose measurements via CGM transmitted to an insulin delivery system (pump) which uses a computerized algorithm to adjust insulin infusion based on upper and lower limits and the rate of change in increase or decrease of glucose values (34-36).  Modified versions of the closed-loop system that are semi-automated are FDA approved for use in children.  Semi-automated closed-loop systems, also known as hybrid closed loop systems, are characterized by the combination of automated insulin delivery via an algorithm for basal requirement and user-initiated insulin delivery for meals.  A setting to suspend insulin delivery when glucose is low or rapidly downward trending can be utilized to avoid hypoglycemia. To improve ease of mobility, a tubeless insulin pump that can be operated by a third party through a wireless receiver is available and useful for very young children with control exercised by a parent.    

 

Bi-hormonal systems (insulin and glucagon) can rapidly alter high or low glucose values and be used with safety during normal activity and exercise (37, 38).This system has not yet been approved for commercial use. However, the next decade should see application of these tools to an increasing number of patients with T1DM.

 

The clinical management for patients with T1DM is based on adequate insulin replacement matched to food intake and modified by exercise. Insulin is required throughout the whole day to prevent development of a starvation state and ketosis i.e., the basal insulin requirement.

 

Recurrent hypoglycemia represents a mismatch between insulin provided and caloric expenditure, which occurs as a result of not covering the basal amount or a bolus with appropriate food intake, malabsorption of food e.g., celiac disease, or exercise without adjustment in the insulin dose or omission of additional calories before or after the exercise. unexplained episodes of hypoglycemia require re-evaluation of the insulin regimen, exclusion of concurrent conditions such as acute illness with diminished food intake, and testing for celiac disease, hypothyroidism, and Addison’s disease. 

 

In special circumstances where adherence to recommended regimens is not being followed due to various psycho-social limitations, a twice daily regimen of pre-mixed insulin (NPH/Reg70/30) may be prescribed, though it is known not to be ideal. In developing countries with limited resources to treat diabetes, this twice daily dosing regimen of NPH and regular continues to be vital to avoid DKA but is associated with less optimal glycemic control. 

 

Glucose Monitoring

 

Patients on insulin regimens are encouraged to check glucose levels prior to meals and snacks, at bedtime, prior to exercise, and when they suspect low blood glucose.  This typically amounts to 4-6 glucose levels per day.  Blood glucose monitoring allows patients and families to evaluate their individual response to therapy, assess whether achieving glycemic targets, and help guide treatment decisions.

 

Continuous glucose monitors and intermittently scanned monitors measures interstitial glucose which correlates well with plasma glucose.  Time in range is defined as percentage of the day with blood glucose levels between 70 and 180 mg/dL.  A time in range target of more than 70% is recommended (39).  Time in range is becoming a key glycemic metric, in addition to glycosylated hemoglobin (HbA1c) (39).  A correlation between improved HbA1c levels and fewer diabetes complications has been demonstrated (40).  Percent time in range provides real-time insights into glycemic variability and frequency of hypoglycemia and hyperglycemia. Time in range also correlates with complications of diabetes and HbA1c values and is being used to compare diabetes technology (40).

 

Nutrition

 

The goal of nutrition is to support normal growth and development, improve diabetes outcomes, and reduce cardiovascular risk factors.  Dietary recommendations should be based on healthy eating principles appropriate for all children and their families. Typically, distribution of energy sources recommended is 50-55% carbohydrates, <35% fat, and 15-20% protein (41).  Regular meals are recommended.  A commonly prescribed meal plan consists of 20% of calories at breakfast, 30% at lunch and 30% at dinner with 2 snacks of 10% each one of which is at bedtime to avoid nocturnal hypoglycemia. In the basal-bolus insulin regimen, insulin doses are matched to the amount of carbohydrates consumed during each meal. 

 

Protein and fat are not typically accounted for in the meal time insulin dose calculation though this issue is controversial and some authorities recommend that these protein-fat derived calories must be included. The predominant effect of dietary fats and protein is late postprandial hyperglycemia. Bolus corrections for insulin pump use when eating fatty meals have been devised and recommended (42-44).  Studies have found that lower glycemic index diets improved glycemic control compared to traditional higher glycemic index diets (45, 46).  Low glycemic index foods include whole-grain breads, pasta, temperate fruits, and dairy products

 

Dietary advice should be given in the context of cultural, ethnic and family traditions to be successful. Continuous nutritional education regarding a healthy diet and carbohydrate counting is recommended. Food labeling requirements have simplified the process, as many foods are clearly labeled with the amount of carbohydrate grams per serving. Additionally, apps, such as Calorie King, provide information on carbohydrate content of foods provided by many large restaurants.

 

Exercise

 

Establishing and maintaining an active lifestyle should be the goal for all children. Increased physical activity is associated with better glucose utilization and increased insulin sensitivity leading to lower insulin requirements. However, blood glucose levels can be difficult to regulate during these intervals of exercise. Hypoglycemia is common during exercise and can possibly last up to 24 hours afterwards, due to increased insulin sensitivity (47). This increases the risk of nocturnal hypoglycemia. Factors during exercise frequently associated with hypoglycemia are excessive insulin dosing prior to exercise, prolonged duration, and higher intensity aerobic exercise (47).

 

To reduce the risk of hypoglycemia during prolonged exercise, reductions in bolus and basal insulin are typically needed. In children using CSII pumps, simply suspending or reducing the basal infusion rate can markedly reduce the risk of hypoglycemia during exercise. If insulin doses prior to exercise are not reduced, a snack of 1-1.5 grams of carbohydrates per kilogram is recommended (47). Meals with high carbohydrate content should be consumed shortly after exercise. As the effects of exercise can be prolonged, blood glucose should be measured before bed and a decrease in basal insulin (either long acting or overnight basal) should be considered after exercise later in the day. 

 

Any exercise should be avoided if blood glucose prior to exercise are high (>250 mg/dl) and associated with ketonuria. Exercise during such insulinopenic states is dangerous owing to the effects of uninhibited counterregulatory hormones and may precipitate diabetic ketoacidosis. 

 

Sick Day Management

 

Children with intercurrent illnesses such as fever or vomiting, should be closely monitored for the development of hyperglycemia and ketonuria. On sick days, blood glucose levels should be checked every 2-3 hours when not tolerating food and urine should be checked for the presence of ketones with every void. Correction doses with rapid-acting insulin should be given approximately every 3 hours. Persistent vomiting and/or ketonuria are signs of diabetic ketoacidosis; patients with such signs and symptoms should be evaluated in an emergency department immediately. 

 

Adequate fluid intake is crucial to preventing dehydration and accumulation of ketones. For blood glucose >200 mg/dl, rehydration with sugar free fluids is recommended. Sugar containing fluids such as flat soda or diluted juice may be necessary to maintain normoglycemia if blood glucose is <140 mg/dl. 

 

Management of Co-Morbid Conditions

 

Besides insulin replacement therapy for T1DM, co-existing hypertension and dyslipidemia should be aggressively treated; it is important to use age-appropriate references for determining the presence of hypertension and upper levels of acceptable lipid values of LDL and triglycerides. 

 

Increased urinary protein excretion is the earliest clinical finding of diabetic nephropathy. Measurement of the urine albumin-to-creatinine ratio in an untimed urinary sample is the preferred screening strategy for moderately increased albuminuria in all patients with diabetes and should be repeated yearly. Screening for increased urinary albumin excretion can be deferred for five years after the onset of disease in patients with type 1 diabetes because increased albumin excretion is uncommon before this time; screening should begin at diagnosis in patients with type 2 diabetes because many have had diabetes for several years before diagnosis. Abnormal results should be confirmed by repeat testing before establishing a diagnosis because of the large number of false positives that can occur. The normal ratio of microalbumin to creatinine is less than 30 mg/g.  Thus, a persistently elevated ratio of 30-300 mg/g signifies microalbuminuria. Microalbuminuria and/or hypertension should be a call for use of angiotensin converting enzyme (ACE) inhibitors to minimize progression to chronic glomerulosclerotic damage. ACE inhibitors may induce angio-edema and can produce a troublesome dry cough.

 

Poorly controlled diabetes induces an increase in VLDL and triglyceride levels, when acute or chronic, pancreatitis may be induced. Diet reduced in animal fat and administration of fibrates (e.g., gemfibrozil or fenofibrate) may be used to combat hypertriglyceridemia. Co- existing Hashimoto's thyroiditis should be periodically sought through thyroid autoantibody analyses, and hypothyroidism when identified by elevated TSH levels, treated by thyroid hormone replacement. Celiac disease also should be regularly checked via titers of tissue transglutaminase antibody titers, and treated via gluten exclusion when diagnosis is confirmed by endoscopically obtained biopsy specimens. Addison's disease and atrophic gastritis/pernicious anemia should always be considered in patients with T1DM, especially with unexplained frequent episode of hypoglycemia, and if found, treated accordingly.

 

TYPE 2 DIABETES

 

The increased incidence of T2DM is attributed to the increase in obesity worldwide. Approximately 3700 youths are diagnosed with T2DM every year in the US (25) and it is estimated that the number of youths with T2DM will almost quadruple from 22,820 in 2010 to be approximately 85,000 adolescents with T2DM by 2050 (48). Similar rates of increases in youths with T2DM are reported from the UK, India, China and Japan (48). The child with T2DM as part of the insulin resistance syndrome (IRS) should be aggressively treated to prevent the burgeoning complications of the condition. The development of complications associated with T2DM is accelerated in youth, with reported rates of 6% with renal failure within 5 years of diagnosis, and 2.3% end stage renal disease by 10 years.  

 

Initial education for T2DM should focus on dietary and lifestyle modifications and this education should continue to be reinforced with the goal being to decrease insulin resistance. The approaches should include an exercise program such as walking or swimming for 30-40 minutes most days of the week, since at the level of the muscle, exercise provokes glucose entry into muscle without the involvement of insulin. Sedentary time including homework, computer and phone related activities, and video games should be assessed and established for appropriateness in each family setting. Caloric restriction, particularly of carbohydrates, is the key to reducing weight, a task that has proven resistant to success in many instances.  Elimination of sugar containing sodas and juices has been shown to result in significant weight loss (49). Barriers include older age at diagnosis, difference in socioeconomic status, and poor diet within the household (50). Also, clinicians should understand the health beliefs and behaviors of the family and community and take into account cultural food preferences and the use of food during celebrations and cultural festivals in order to collaborate with the family on diabetes management.  

 

The use of metformin as first-line therapy is based on its glucose-lowering efficacy, safety profile, weight neutrality, and reasonable cost. In most countries, metformin is currently approved for use in children. Metformin is approved for the treatment of T2DM in children, but is also the drug of choice for insulin resistance syndrome, also known as metabolic syndrome (IRS) and impaired glucose tolerance because of its property in improving insulin sensitivity. Monotherapy with metformin was associated with durable glycemic control in approximately half of children and adolescents with T2DM (51). Some suggest that it is the gastro- intestinal side effects of the drug that accounts for much of its beneficial effects. However, the drug is effective in T2DM even without weight loss, an action attributed to reduced hepatic glucose output.

 

The guidelines from the ADA and EASD indicate that any FDA-approved second agent can be used in combination with metformin to improve glycemic control, whereas the American Association of Clinical Endocrinologists recommends either incretin-based therapy or sodium glucose transporter 2 (SGLT2) inhibition agents (52). Sulfonylureas are approved for use in adolescents in some countries; these agents bind to receptors on the K+/ATP channel complex resulting in insulin secretion. The PPAR-γ agonists are effective at insulin sensitization but are less useful in supporting weight loss. Further, they promote salt retention and a tendency for edema. A new class of drugs which inhibit the sodium co-transporter 2 (SGLT2) resulting in glycosuria at a lower blood glucose threshold than normal have become available, though not currently approved for use in children (canagliflozin, dapagliflozin, empagliflozin). Use of SGLT2 inhibitors has been associated with an increase in fungal infections of the genital areas and missed symptoms of evolving keto-acidosis.

 

Two drug classes were developed that target the incretin system and increase endogenous insulin secretion: glucagon-like peptide (GLP)-1 receptor agonists and dipeptidyl peptidase-4 (DPP-4) inhibitors. GLP-1 receptor agonists (e.g., liraglutide and exenatide) resist degradation by DPP-4 resulting in increased circulating levels of the administered drug (53). DDP-4 inhibitors (e.g., sitagliptin, vildagliptin and saxagliptin) reduce endogenous GLP-1 degradation, thereby maintaining circulating levels of GLP-1 with biological effect. Both these classes of drugs improve glycemic control with a low incidence of hypoglycemia because of their glucose-dependent mechanism of action. In addition to their effects on improving insulin secretion, these drugs lower glucagon and delay gastric emptying, and potentiate weight loss, in part through decreased appetite.

 

Whereas the glucagon like peptide one (GLP-1) analogue exenatide given by subcutaneous injection will lower blood glucose levels and complement metformin in provoking weight loss, it should be reserved for more severely diabetic adults and teenagers who have become unresponsive to diet and exercise programs.  Some formulations of GLP-1 analogues can be given once weekly.  In 2019, liraglutide was approved for adjunct use to improve glycemic control in pediatric patients 10 years and older with T2DM. (54, 55) Sitagliptin blocks the dipeptidyl peptidase-4 (DPP-4) enzyme preventing it from inactivating GLP-1, thus prolonging the action of GLP-1 once induced by a meal. Whereas the latter agent is in general weight neutral, it can be of adjunctive help in lowering hyperglycemic excursions. When these additional agents also fail to maintain near normoglycemia, then insulin should be given instead of the secretagogues.

 

Table 8. Glucose Management for Adult Patients with Type 2 Diabetes (52)

IRS/IGT

 

 

Diabetes

Mild

 

 

 

 

 

 

 

 

 

 

 

 

Severe

Step 1: Dietary and lifestyle education- 3-5% weight loss; 150 min/week exercise

Step 2: Addition of metformin- Maximum daily dose of 2000 mg

Step 3: Addition of second antihyperglycemic drug

 

Pioglitazone

DPP4 inhibitor

GLP-1 agonist

SGLT2

inhibitor

Sulfonylurea

HbA1C

¯

¯

¯

¯

¯

Weight

 

--

¯

¯

 

Hypoglycemia

--

--

--

--

 

Major CV events

--

--

¯

¯

-

Heart failure

 

*

--

¯

-

Step 4: Addition of insulin

Basal insulin with or without prandial insulin

*Saxagliptin is a DPP4 inhibitor associated with heart failure. Other DPP4 inhibitors have not been shown to cause heart failure. Whereas studies of these agents are under investigation, only a GLP-1 agonist is currently approved by the FDA for use in children and adolescents

 

One of the main goals of therapy in IRS/T2DM should be to achieve an ideal body mass index (kg/m2) for age and gender. This is not readily achievable with lifestyle modification and medical therapy in many subjects; bariatric surgery is emerging as a successful and durable treatment in adults and adolescents with IRS, obesity, and their associated complications (56-58). In adults the ADA recommends bariatric surgery in those with BMI of 30 kg/m2 or greater and poorly controlled DM (59). Bariatric surgery is an effective treatment for severe obesity that results in the improvement or remission of many obesity-related comorbid conditions, as well as sustained weight loss and improvement in quality of life. Mortality owing to cardiovascular diseases, diabetes, and respiratory conditions is reduced after bariatric surgery (60). A prospective follow up studies of bariatric surgery in adolescents with severe obesity showed a substantial and durable weight reduction and cardio-metabolic benefits (57, 58). Changes in glucoregulatory hormones produced by the gastrointestinal tract, bile acid metabolism, and GI tract nutrient sensing and glucose utilization are proposed mechanism for improvement in glycemic control after bariatric surgery (61). Currently, bariatric surgery is considered only in children with BMI ≥ 40 kg/m2 with comorbidities or BMI ≥ 50 kg/m2regardless of comorbidities (62, 63). Indications in adults are much less stringent; adults with BMI ≥ 35 kg/m2 with comorbidities are candidates for these procedures. Updated recommendations for adolescents provide more aggressive recommendations similar to those for adults (64). Bariatric surgery is now safe, with mortality comparable to common elective general surgical operations. Level 1 evidence show that bariatric surgery provides superior short-term and long-term weight loss and improvement of T2DM compared with conventional medical therapy. However, patients require life-long follow up and monitoring for nutritional deficiencies and abdominal issues, and to date, results in adolescents are relatively short term.  Pediatric patients who are being considered for bariatric surgery should be evaluated by a multidisciplinary team dedicated to providing long-term follow- up care postoperatively. In addition, selection criteria often exclude the population most in need of this proven procedure.

 

Treatment of Associated Comorbidities

 

The typical dyslipidemia associated with IRS and T2DM should be treated by reduced intake of animal fat and a fibrate such as gemfibrozil or fenofibrate. Where there is an increased level of triglycerides, restriction of animal fats and simple sugars should be recommended. However, those patients who have prominent elevations in LDL-cholesterol should be treated with a statin. The mixed use of a statin and a fibrate should be undertaken cautiously since the risks of muscle necrosis (rhabdomyolysis) with renal failure has been. In patients taking a statin gemfibrozil should not be used and fenofibrate is the fibrate of choice as the risk of myositis is less. Hypertension and microalbuminuria, when present, should be aggressively treated, preferably with angiotensin converting enzyme inhibitors (ACE) and angiotensin receptor blockers (ARBs), at least initially. 

 

Oral contraceptive agents are often prescribed in IRS when there is evidence of hyper-androgenization, where they may counteract the effects of androgens. However, oral contraceptives also increase the level of hormonal binding globulins, including sex hormone binding globulin that binds testosterone, thereby lowering the level of free and bio-available testosterone. Estrogen containing therapies in a prepubertal patient increases the risk of premature closure of the epiphyses and hence risks loss of adult height; they also promote thrombosis and mitigate against weight loss.

 

TREATMENT OF MONOGENIC FORMS OF DIABETES

 

Monogenic forms of diabetes constitute a heterogeneous group of disorders classified according to clinical features that suggest possible type 1 diabetes, type 2 diabetes, and neonatal diabetes, all in the absence of markers of autoimmunity such as circulating antibodies to various islet antigens. The genes responsible for these forms share a role in the formation or function of the pancreatic β-cell, limiting normal insulin secretion that depending on severity, and under certain conditions, results in clinical diabetes. Increasingly, it is being recognized that there is a continuum in the spectrum of these disorders such that the severity of the genetic defect responsible for insulin secretion or action determines the clinical pattern (65-68). This is perhaps best exemplified in the genetic defects of the ATP-regulated potassium channel (KATP) involving the ABCC8 gene coding for the sufonylurea receptor SUR1, and KCNJ11 coding for the subunits of Kir, the inward rectifying potassium channel itself. Severe activating mutations in these genes maintain the KATP in an open state and result in permanent neonatal diabetes, sometimes associated with developmental delay and epilepsy (DEND). Progressively less severe functional mutations may result in transient neonatal diabetes, or in a form of maturity onset diabetes of youth (MODY), or in T2DM.These activating mutations typically respond to sulfonylurea therapy, high dose for the severe mutations and lower doses for the less severe mutations, inducing endogenous insulin secretion mediated in part by GLP-1, and improved metabolic control superior to that obtained by exogenous insulin injection. Similar considerations apply to transcription factors such as hepatocyte nuclear factor1α (HNF1A) and hepatocyte nuclear factor 4α (HNF4A), respectively responsible for MODY3 and MODY1, which may respond to oral sulfonylurea drugs, avoiding the need for injected insulin, at least initially. Heterozygous inactivating mutations in the glucokinase gene responsible for MODY2 delay insulin secretion and result in a mild diabetes that is not associated with an increased risk of macrovascular or microvascular complications, so that treatment with exogenous insulin or other drug therapies is not indicated (69). Hence, knowledge of the genetic mutation drives therapy, permits more precise genetic counselling, and may indicate prognosis. In an era of precision medicine and progressive decline in the cost of sequencing, genetic testing should be considered in those with a strong family history of diabetes, early onset diabetes, and in children or adolescents who present with features suggestive of T1DM, are negative for islet auto-antibodies, and have residual c-peptide secretion as determined by measurement or reflected in persistently low insulin requirements extending beyond 1 year after diagnosis. These concepts are discussed in greater detail in several recent publications (65-69).      

 

Maturity Onset Diabetes of Youth (MODY)

 

The term MODY refers to Maturity Onset Diabetes of Youth, a term coined by Fajans and Tattersall for a mild type of diabetes with autosomal dominant inheritance and varying degrees of impaired insulin secretion (70). The molecular basis for these entities was discovered initially to be due to transcription factors or the enzyme glucokinase responsible for phosphorylating glucose to enable its metabolism to yield ATP; numbering followed the timing of discovery of the genetic-molecular basis (70). There are now 14 entities considered to be MODY as listed in the table in our chapter on the “Etiology and Pathogenesis of Diabetes Mellitus in Children and Adolescents” in Endotext. Of the original 6 “classical” MODY entities, MODY3 (HNF1A mutation), MOY2 (GCK (glucokinase) mutation) and MODY1 (HNF4A mutation) constitute about 85% of all MODY cases (65-68). With rare exceptions, these patients present as milder types of diabetes before age 30-35 years, with a positive family history involving at least 2-3 generations, and negative for islet cell antibodies; a daily dose of insulin less than 0.5U/Kg /day after 1 year of diagnosis should raise suspicion for MODY. MODY affects both sexes and is found in all races, with a prevalence of ~2%-4% of patients diagnosed with diabetes ≤ 30 years (71, 72). The majority are misdiagnosed as type1 or type 2 diabetes and incorrectly and unnecessarily treated with insulin or ineffective drugs such as metformin. MODY 2 affects about 1:1000 people and in females may be noted for the first time during oral glucose tolerance testing in pregnancy, again resulting in inappropriate classification and treatment (73). Biomarkers such as the urinary C-peptide to creatinine ratio (≥0.2nmol/mmol), and negative islet cell antibodies (GAD and IA2) should lead to molecular genetic testing (72). Using this approach, the minimum prevalence of monogenic diabetes was found to be 3.6% of patients diagnosed ≤30years of age with diabetes (72). In a study screening for MODY in all antibody negative children with diabetes in a national population-based registry in Norway, the prevalence of MODY was found to be 6.5%, and in a study from Japan, 11/89 children with insulin requiring diabetes but negative for islet cell antibodies were found to have monogenic forms of diabetes involving mutations in INS, the insulin gene, and in HNF1A or HNF4A (74, 75). Mutations in HNF4A may be associated with large size at birth and neonatal hypoglycemia with hyperinsulinemia that resolves spontaneously, only later becoming manifest as diabetes. Family history is helpful but not essential; de novo mutations occur.

 

In summary, there should be a high index of suspicion for MODY in milder forms of diabetes and in those children who are islet cell negative; using biomarkers followed by molecular diagnostics, the yield becomes quite high for discovering a form of MODY. As the cost of molecular diagnostics declines, and newer algorithms to apply these tools to differentiate apparent type1 from monogenic forms of diabetes are being developed (76, 77), it is becoming apparent that some of these mutations also contribute to the genetics of apparent type 2 diabetes (78, 79). For MODY3 and MODY1, oral sufonylurea medication (Glipizide) is likely to be effective inducing endogenous insulin secretion; MODY2 does not require treatment. Genetic counselling should inform patients of the 50% likelihood of each of their offspring having MODY, so that inappropriate diagnosis and treatment is avoided. In addition, the prognosis for vascular complications is improved especially in MODY2, though not absolute in MODY3. MODY12 (ABCC8) and MODY13 (KCNJ11) are also responsive to oral sufonylurea medication, but may require careful upward titration. For the remaining forms of MODY, insulin is likely to be necessary to control diabetes. In particular, these less frequent forms of MODY may have involvement of other organ systems, e.g., kidney cysts and dysfunction in MODY5(HNF1B), gastrointestinal involvement in MODY8 (CEL), exocrine pancreatic disturbances in MODY4 (PDX-1), blood abnormalities in MODY11(BLK), as well as other abnormalities (see references (65-68) for details). Thus, establishing a diagnosis for a form of MODY has several important consequences. First, it guides treatment, obviating the need for insulin with its costs and discomforts in several forms of MODY, as well as anticipation for possible associated abnormalities. Second, it permits a more accurate prediction of the course and prognosis for complications, e.g., MODY2, which in turn has ramifications on the cost and ability to obtain life insurance policy, or the choice of occupations which may be restricted to a person with T1DM. Third, it permits precise genetic counselling for risk of occurrence in offspring, and targeted molecular screening for the existence of the mutation in suspected family members.    

 

NEONATAL DIABETES MELLITUS 

 

Figure 4. Causes of Neonatal Diabetes

Neonatal diabetes mellitus (NDM) is defined as diabetes occurring in the first 6 months of life; for some authorities, the window extends to 9 months of age, but several of the mutations may manifest only later (65, 80, 81). For convenience, NDM is classified into 3 categories; transient NDM which constitutes about 45%, permanent NDM also constituting about 45%, and NDM associated with various other syndromic features, about 10% (Figure 4).

 

Transient Neonatal Diabetes

 

The transient forms are characterized by a period of remission during which glucose tolerance is normal, but diabetes usually recurs later in life. Of these transient forms, about 2/3rd involve methylation abnormalities in chromosome 6q24 which lead to malfunction of imprinted genes PLAGL, also known as ZAC, and HYMAI that arise by the mechanisms listed in the Figure. These infants display small size at birth due to inadequate in utero secretion of insulin, a major regulator of anabolic growth; there is rapid catch-up growth when insulin is provided by sub-cutaneous injection or via pump therapy with insulin diluted 1:10 so that 1 ml contains 10 U rather than the standard 100U/ml. Hyperglycemia and glucosuria are present but may be missed if not sought. Rare variants of these methylation defects may have initial hypoglycemia and devolve into hyperglycemia. Most are sporadic, but duplication of paternal chromosome 6 leads to dominant transmission (see figure). Of the remaining 1/3rd of TNDM, the majority harbor mutations in the KATP genes ABCC8 and KCNJ11 which respond to therapy via oral hypoglycemic agents such as glipizide; dosage requires titration to individual responsiveness. Approximately 5% of transient cases involve mutation in the insulin gene INS, the β-cell glucose transporter SLCA2A, or other genes as listed in Figure 4.

 

Permanent Neonatal Diabetes

 

Permanent NDM primarily involves 3 genes; severe mutations in KCNJ11 or ABCC8, and the insulin gene INS. Because the KATP channel and its’ genes are also expressed in the CNS, severe mutations also may affect neural function and development. Developmental delay, Epilepsy, and Neonatal Diabetes constitute the DEND syndrome, with associated physical and neuropsychological features; early treatment with oral sulfonylurea medication benefits neuropsychological function and timing of treatment influences outcome, i.e., the earlier the better (82-84). There is debate whether treatment with oral sulfonylurea should be started before confirmation of the genetic defect, but we recommend that it not be started, as the transition to oral agents with concomitant reduction in the injected insulin dose, essential to control the severe hyperglycemia and sometimes associated with DKA, is potentially dangerous and the dose of sufonylurea needed is much higher than that used in adults with T2DM. If successful, transition to oral therapy is associated with remarkable improvement of metabolic control due to stimulation of endogenous insulin secretion and neuropsychological improvement; it is also easier and less traumatic to the patient than insulin injection (80). We therefore recommend that such transitions be performed in a hospital setting according to a published protocol (85). When insulin therapy is used, either in mutations of the KATP channel or where it must be in mutations of INS which do not respond to sulfonylurea, using continuous subcutaneous infusion via a pump and diluted insulin, appears to be the best option (86).

 

Neonatal Diabetes and Associated Syndromes

 

About 10% of cases of NDM are associated with a spectrum of syndromic disorders; the more common ones are listed in the figure 4 and greater details can be found in the references (65-68, 77, 80, 81).  In all forms of neonatal diabetes, children are born small for gestational age; the smaller the child, the more severe the defect in insulin synthesis, secretion or action is likely to be. The associated abnormalities provide clinical clues, and it was the clinical associations that often defined the syndrome, before the genetic mutation was known. Next generation sequencing with a panel specifically designed for NDM can provide a rapid diagnosis and guide therapy, predict associated abnormalities, and infer possible interventions before some of the classical features have evolved (77, 81). Indeed, this is the approach now recommended, i.e., non-selective genetic testing in any case of neonatal diabetes. In addition, exome sequencing of unusual cases not covered by the panel may uncover new entities, as recently described for a form of autoimmunity associated with NDM that is responsive to a CTL4 mimetic (87). For most of the syndromic forms, insulin is the required therapy to control diabetes; an exception may be thiamine responsive megaloblastic anemia and diabetes which is due to mutation in the thiamine transporter SLCA29 and initially responsive to thiamine replacement (77, 80).

 

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Etiology and Pathogenesis of Diabetes Mellitus in Children and Adolescents

ABSTRACT

 

In this chapter, we review the etiology and pathogenesis of Type 1 diabetes mellitus (T1DM), with particular emphasis on the most common immune mediated form. Whereas Type 2 diabetes (T2DM) appears to be an increasing price paid for worldwide societal affluence, there is also evidence worldwide of a rising tide of T1DM. The increase in understanding of the pathogenesis of T1DM has made it possible to consider interventions to slow the autoimmune disease process in an attempt to delay or even prevent the onset or slow the progression of hyperglycemia. Although the prevention of T1DM is still at the stage of research trials, the trials are often mentioned in the lay press.  Current investigations will determine if antigen-based therapies can in fact abrogate ongoing autoimmunity via immuno-stimulation and ultimately prevent diabetes in humans without the risks of general immunosuppression.  We also review the etiology and pathogenesis of T2DM and monogenic forms of diabetes that may be confused with T1DM or T2DM. 

 

INTRODUCTION

 

Diabetes Mellitus (DM) is a syndrome of disturbed metabolism involving carbohydrate, protein, and fat which results from the degree of insulin deficiency (absolute or relative) and tissue sensitivity to its actions. The combination(s) of insulin deficiency and sensitivity to its actions bring about distinct clinical phenotypes with varying severity of disturbed metabolism, most conveniently monitored by the degree of hyperglycemia. Absolute insulin deficiency (Type 1 DM) occurs with autoimmune destruction of insulin secreting β-cells (Type 1A DM) and other congenital (genetic defects in the formation or function of the endocrine pancreas), or acquired (relapsing pancreatitis and pancreatectomy) conditions. Absolute deficiency of insulin action also can occur in the total absence of insulin receptors, a rare event. Relative insulin deficiency occurs with genetic or acquired defects in insulin synthesis or secretion that are inadequate to overcome the resistance caused by fewer functioning insulin receptors, or resistance to insulin action induced by stress, drugs, and most commonly obesity (Type 2 DM).The acute clinical manifestations are those related to hyperglycemia which exceeds renal threshold to result in polyuria, increased thirst, dehydration, electrolyte disturbances, weight loss, and metabolic decompensation, in extreme degree known as diabetic ketoacidosis and non-ketotic hyperosmolar coma. The chronic complications include macrovascular (CAD, CVD, amputations) and microvascular (retinopathy, nephropathy, neuropathy) lesions.  Both the acute and chronic complications are inversely related to the degree of metabolic control achieved.  These brief introductory comments form the basis for the etiology, pathogenesis, classification and diagnosis of diabetes mellitus.

 

Classification and Diagnosis of Diabetes

 

The American Diabetes Association Standards of Medical Care for Diabetes 2021(1) proposes the following classification (Table 1).

 

Table 1. Classification of Diabetes

Type 1 Diabetes owing to autoimmune destruction of insulin secreting β-cells leading to insulin deficiency

Type 2 Diabetes owing to inadequate insulin secretion that cannot overcome the existing degree of insulin resistance

Gestational diabetes (diabetes diagnosed in the second or third trimester of pregnancy that is not clearly overt diabetes)

Diabetes owing to other causes

- Monogenetic diabetes syndromes (neonatal diabetes, maturity-onset diabetes of the young [MODY])

- Disease of the exocrine pancreas (cystic fibrosis, pancreatitis, pancreatectomy)

- Medication induced (glucocorticoids, treatment of HIV/AIDS, immunosuppressants, chemotherapeutic agents)

 

Criteria for the Diagnosis of Diabetes Mellitus

 

The Expert Committee on the Diagnosis and Classification of Diabetes Mellitus recommends the following criteria for diagnosing DM (1).  Two replicate fasting glucose levels that exceed 126 mg/dl (>7 mmol/L) is consistent with diabetes even in the absence of symptoms. Normal fasting blood glucose levels of 100 mg/dl or above are considered impaired fasting glucose (IFG). Persons with IFG levels (FPG= 100-125 mg/dl (5.66.9 mmol/l) and/or with impaired glucose tolerance test (IGT) (2hour post-load glucose 140-199 mg/dl (78.8 mmol/L-11.1 mmol/L) are at risk of diabetes and should be observed periodically to detect hyperglycemic progression. Replicate, two-hour glycemic responses >200 mg/dl (>11.1 mmol/L) after a standard oral glucose tolerance test also indicate diabetes. This stage is often reached before the fasting glucose levels rise in T2DM and post-prandial hyperglycemia may precede fasting hyperglycemia by months to years. The reliance on only fasting glucose levels is generally more useful for identification of impending T1D but not for T2D.

 

The ADA now recommends that measurement of HbA1c levels can be used in clinical practice for the diagnosis of diabetes, since the onset is seldom so acute that it will not be reflected in elevated HbA1c levels Table 2 (1).

 

Table 2. The American Diabetes Association Diagnostic Guidelines (1,2)

Stage

Latent

Impaired glucose tolerance

Diabetes

Diagnostic criteria

Presence of 2 or more autoantibodies

AND

Normal glucose levels

Fasting plasma glucose: 100-125 mg/dl

OR

2hour plasma glucose during OGTT*: 140-199 mg/dl

OR

HbA1C+: 5.7-6.4%

Fasting plasma glucose: ≥126 mg/dL

OR

2hour plasma glucose during OGTT*: ≥200 mg/dl

OR

Random plasma glucose: ≥200 mg/dl with symptoms of polyuria, and weight loss.

OR

HbA1C+ ≥6.5%.

*The OGTT should be performed as described by the World Health Organization (1.75 gm/kg up to 75 gm, using a glucose load containing anhydrous glucose dissolved in water).

 

ETIOLOGIC CLASSIFICATION

 

Type 1 Diabetes Mellitus

 

Type 1 diabetes mellitus (T1DM) comprises several diseases of the pancreatic ß cells which lead to an absolute insulin deficiency. This is usually considered to be the result of an autoimmune destruction of the pancreatic ß cells (type 1A). Some patients with T1DM with no evidence of ß cell autoimmunity have underlying defects in insulin secretion often from inherited defects in pancreatic ß cell glucose sensing and from other genetic or acquired diseases.

 

Type 2 Diabetes Mellitus

 

Type 2 diabetes mellitus (T2DM) is by far the more common type of diabetes and is characterized by insulin resistance resulting from defects in the action of insulin on its target tissues (muscle, liver, and fat), but complicated by varying and usually progressive failure of beta cells’ insulin secretary capacity. Most patients with T2DM in the US and Europe are overweight or obese, however in India and China, most T2DM patients have a lean body mass index (BMI), albeit with increased visceral and hepatic fat.

 

Monogenic Diabetes

 

Monogenic forms of diabetes are characterized by impaired secretion of insulin from pancreatic β cells caused by a single gene mutation. These forms comprise a genetically heterogenous group of diabetes including, maturity onset diabetes of the young (MODY), permanent or transient neonatal diabetes, and mitochondrial diabetes. MODY is the most common form of monogenic diabetes, with autosomal dominant transmission of one of several genes encoding a primary defect in insulin secretion.

 

TYPE 1 DIABETES MELLITUS

 

Epidemiology of Type 1 Diabetes

 

T1DM is one of the most common chronic diseases of childhood and is classified as an autoimmune disease. Most common autoimmune disorders predominantly affect females, but, T1DM equally affects males and females with a slight male predominance in younger children. This and other inconsistencies have raised questions as to whether T1DM is a “pure” auto-immune disease or whether the auto-immune component is a marker of a separate primary trigger (3,4).  We discuss these issues later in this chapter. 

 

The incidence and prevalence of T1DM vary by age, season, geographic location, and within different racial and ethnic groups. Of cases diagnosed before the age of 20, however, two peaks of T1DM presentation are observed; one between 5 and 7 years of age, and the other during puberty at the mid-teens (5). However, first presentation of T1DM actually is as common in adulthood as it is in childhood and is characterized by a milder course in adults; the term LADA, (Latent, Auto-immune, Diabetes of Adults) is used to describe this entity. A seasonal variation in the incidence of T1DM is also observed; the majority of new cases of T1DM are diagnosed mostly in autumn and winter (6).  Findings from large T1DM registry studies such as the World Health Organization Multinational Project for Childhood Diabetes, known as the DIAMOND Project, EURODIAB   and others monitor incidence and other epidemiological markers.

 

The World Health Organization Multinational Project for Childhood Diabetes, known as the DIAMOND Project (in 50 countries), EURODIAB (in Europe), and SEARCH for Diabetes in Youth (in the USA) were established to address the implications of diabetes in youth and describe the incidence of T1DM. Wide variations in incidence of T1DM exist throughout the world, lowest in China and Venezuela (0.1 per 100,000 per year) and highest in Finland and Sardinia (50-60 per 100,000 per year) (7). A multicenter study focusing on identifying the prevalence and incidence of diabetes by type, age, gender, and ethnicity found a 1.8% annual increase in the prevalence of T1DM among American youth from 2002-2003 to 2011-2012, whereas T2DM had increased 4.8% annually from 2002-2003 to 2011-2012 (Table 3) (8).  The greatest increase was seen in youth of minority racial/ethnic groups (8).  Similar rates of increase in T2DM in teens are reported from the UK, India, China and Japan.

 

Table 3. Incidence of T1DM in the USA (per 100,000/year)

 

Age Group

 

0-4 yr

5-9 yr

10-14 yr

15-19 yr

Non-Hispanic White

18.6

28.1

32.9

15.1

African American

9.7

16.2

19.2

11.1

Hispanic American

9.1

15.7

17.6

12.1

American Indian

4.1

5.5

7.1

4.8

Asian and Pacific Islander American

6.1

8.0

8.3

6.8

All

14.3

22.1

25.9

33.1

 

Although, there is a wide variance in the incidence and prevalence of diabetes throughout the world, the number of youths who are being diagnosed with T1DM has been growing at an annual rate of about 3 percent (9) and a similar increased annual rate was also observed among U.S. youth (10). This rising incidence of T1DM in children across the world in a short period of time clearly cannot be explained by genetic factors. Analytical epidemiological studies suggest that environmental risk factors, operating early in life, might be contributing to the increasing trend in incidence of T1DM (11,12).

 

On the basis of estimates for the number of people with diabetes in 2014, the cost of health care of diabetes in the US is estimated to be $105 billion per annum and the direct annual cost of diabetes in the world is $825 billion (13). However studies indicate that many more diabetic adults diagnosed as having T2DM phenotype actually have T1DM  as defined by the presence of antibodies to islet cell components (14,15); the term LADA, Latent Autoimmune Diabetes of Adults, is often used to describe this group (16).

 

Natural History of Type 1 Diabetes 

 

After immune activation in the setting of genetic susceptibility, the disease progresses through pre-symptomatic stages identified by presence of autoantibodies and impaired glucose intolerance, arising from further loss of β-cell function and ultimately resulting in clinical diabetes. (Figure 1)

Figure 1. Type 1 diabetes disease progression (17)

Pancreatic ß cells secrete insulin and are found in the islets of Langerhans. These islets are specialized groups of a few hundred to a few thousand endocrine cells that are anatomically and functionally discrete from pancreatic exocrine tissue, the primary function of which is to secrete pancreatic enzymes into the duodenum. Normal subjects have about one million islets, which in total weigh only 1-2 grams and constitute less than 1% of the mass of the pancreas. Furthermore, islets are composed of various types of cells that are interconnected as a regulatory network to regulate the disposition of nutrients and their utilization for energy use and tissue growth and repair. At least 70% are ß cells localized in the core of the islets, surrounded by α-cells that secrete glucagon, δ-cells that secrete somatostatin, and PP cells that secrete pancreatic polypeptide. All the cells communicate with each other through their extracellular spaces and through gap junctions; communication is further modulated by a rich network of sympathetic and para sympathetic innervation.

 

Insulin, a peptide hormone composed of 51 amino acids is synthesized, packaged and secreted in pancreatic ß cells. Insulin is synthesized as preproinsulin in the ribosomes of rough endoplasmic reticulum. The preproinsulin is then cleaved to proinsulin that is transported to the Golgi apparatus where it is packaged into secretory granules. Most of the proinsulin is cleaved into equimolar amounts of insulin and connecting (or C)-peptide in the secretory granules. Because the C-peptide sequence differs from that of insulin, and because, unlike insulin, it is not extracted by the liver, it is possible to estimate β-cell insulin secretion by measuring C-peptide, even in the presence of insulin antibodies resulting from insulin replacement therapy that impair the ability to measure insulin directly. Similarly, because C-peptide is an index of endogenous insulin secretion, and because C-peptide is not extracted by the liver, the ratio of C-peptide: insulin should exceed 1; when it is less than 1, implying a high insulin value, exogenous insulin may have been used. This has diagnostic and forensic utility in diagnosing causes of hypoglycemia.

 

Glucose is a major regulator of insulin secretion (Figure 2). When extracellular fluid glucose concentrations rise after a meal, glucose is taken up by the ß cells via glucose transporters, GLUT2 and GLUT1. Glucose is then phosphorylated into glucose-6-phosphate by islet specific glucokinase and metabolized, thereby increasing cellular ATP concentrations. The rise in ATP raises the resting ratio of ATP:ADP, that closes ATP dependent potassium channels (K-ATP) in the β-cell membrane, resulting in accumulation of intracellular potassium, causing membrane depolarization and influx of calcium via a voltage gated calcium channel. The rise in intracellular free calcium in ß-cells promotes margination of the secretory granules, their fusion with the cell membrane, and release of cell contents which include insulin into the extracellular space. An immediately releasable pool of insulin granules adjacent to the plasma membrane is responsible for an acute (first phase) insulin response; with ongoing stimulation, a pool of granules in the interior of the cell is mobilized and released as the “second phase” response. Amino acids also stimulate insulin release by a similar mechanism that involves the enzyme glutamate dehydrogenase which enables metabolism and ATP production by certain amino acids. Defects in the genes regulating these processes may result in diabetes if the K-ATP channel is prevented from closing normally (activating mutations) or syndromes of hyperinsulinemic hypoglycemia if the K-ATP channel is prevented from opening (inactivating mutations).  These aspects are discussed in greater detail in the section on Monogenic forms of diabetes (see below).

Figure 2. Insulin secretion by Pancreatic β cells. In the stimulated state, glucose is transported into the β cell by the GLUT2 transporter which undergoes phosphorylation by glucokinase and glucose is then metabolized. This results in an increase in the ATP/ADP ratio and initiation of a cascade of events that is characterized by closure of the K-ATP channel, decreased flux of potassium across the membrane, membrane depolarization, and calcium influx. This cascade ultimately results in insulin release from storage granules. The K-ATP channel shown is composed of four small subunits, Kir6.2, that surround a central pore and four larger regulatory subunits constituting SUR1. In the resting state, the potassium channel is open, modulated by the ratio of ATP to ADP. Leucine also stimulates insulin secretion by allosterically activating GDH and by increasing the oxidation of glutamate; this then increases the ATPADP ratio leading to the cascade of events beginning with closure of the KATP channel.
MCT-1: Monocarboxylate transporter-1, SCHAD: Short chain 3-hydroxyacyl-CoA dehydrogenase, SUR1: Sulfonylurea receptor 1, Kir 6.2: Potassium Inward Rectifying Channel 6.2, UCP-2: Uncoupling protein 2, HNF4α: Hepatocyte Nuclear Factor 4α, HNF1 α: Hepatocyte Nuclear Factor 4α, K+: Potassium, ATP: Adenosine Triphosphate, GDH: Glutamate Dehydrogenase, GLUT-2: Glucose Transporter 2

Metabolic Derangements of Type 1 Diabetes

 

As the pancreatic ß cell mass declines in an islet cell antibody (ICA) positive person, the first metabolic abnormality discernable is a decline in the first phase of insulin release (FPIR) to an IVGTT (18). The insulin level after a 3-4 minute infusion of glucose at 0.5Gms/kg rises abruptly in normal children at about 8 years of age, perhaps coincident with the onset of adrenarche (19). In the relatives and children from the general population with positive ICA, a decline in the FPIR is a strong predictive marker of evolving diabetes (19-21).

 

Subsequently, in evolving T1DM there is a rise in the fasting glucose level followed by an inability to keep the two-hour, post-OGTT glucose level below 200mg/dl (11.1mM). Transient insulin resistance also occurs in untreated T1DM and is due to raised levels of free fatty acids (FFAs) from uncontrolled lipolysis (22), as well as decreased levels of hepatic glucokinase and insulin regulated GLUT 4 glucose transporters in adipocytes which contribute to  the onset of symptomatic diabetes (23-25). Prolonged hyperglycemia itself likely impairs the ability to secrete insulin and when insulin replacement therapy begins, there is usually some recovery in the patient's ability to secrete insulin (the "honeymoon" period). However, within months to years, this partial recovery in endogenous insulin secretion ultimately fails. If it does not fail after 2 years, another form of diabetes, such as MODY should be suspected. Initially, the glucagon secreting cells within the pancreatic islets remain relatively preserved, resulting in excessive secretion of glucagon relative to insulin after protein meals (26). These elevated glucagon levels exacerbate the effects of the insulin deficiency, and promote lipolysis and ketogenesis, effects that can be partially reversed by an infusion of somatostatin (27). As the mass of islet cells decline, there is also loss of amylin, an islet cell hormone that down-regulates glucagon secretion. Thus, an analogue of amylin (pramlintide- marketed under the trade name Symlin) can be used as adjunctive therapy with insulin replacement. In time, with continued loss of islets, glucagon deficiency develops in established long standing T1DM, rendering patients more susceptible to insulin-induced hypoglycemia (26,28).  

 

Insulin is the hormone of "feasting", promoting utilization and deposition of ingested nutrients into body stores, as well as having multiple anabolic effects in many tissues. Progressive insulin deficiency thus induces a starvation like state, associated with excessive hepatic and renal gluconeogenesis, decreased peripheral utilization of glucose, hyperglycemia with resultant glycosuria, loss of water and sodium salts, and proteolysis in muscle liberating amino acids such as alanine and glutamine as substrates for gluconeogenesis (29-31). Uncontrolled lipolysis leads to the rapid mobilization of fatty acids from adipose tissue and the increased delivery of fatty acids to the liver leading to the increased synthesis of triglycerides and secretion of very low-density lipoprotein (VLDL).

 

With severe insulin deficiency the fatty acids delivered to the liver are metabolized to yield beta hydroxybutyric and aceto-acetic acids (ketone bodies) and contribute to keto-acidosis. Ketoacidosis is a life-threatening metabolic decompensation that is characterized by hyperglycemia, dehydration, metabolic acidosis and ketosis, all the result of the effects of severe insulin deficiency as well as the counter-regulatory stress hormones, cortisol, growth hormone, catecholamines and glucagon. Specifically, hepatic glucokinase levels fall with insulinopenia, synthesis of hepatic triglyceride and glycogen levels decline, malonyl CoA falls and thereby carnitine palmitoyl transferase-I levels rise promoting the transport of fatty acyl-CoA into mitochondria with the formation of acetyl-CoA (32-34).  In the liver, acetyl-CoA is converted into ß-hydroxybutyrate and acetoacetate in a proportion that depends upon the prevailing redox state, which provide an additional fuel substrates for muscle and brain (31,35,36). Lipoprotein lipases are also inactivated, leading to reduced hydrolysis of triglycerides that, if severe, may turn the serum milky with increased VLDL characteristic of the type 4 lipemic phenotype (37-39).

 

Genetic Susceptibility to Type 1 Diabetes

 

Individuals with autoimmune T1DM have inherited a number of quantitative trait loci (QTL) that encode protective and predisposing alleles which have exceeded the net genetic threshold required to predispose them to the disease (40). However, this genetic threshold (penetrance) is dependent in turn on chance interactions with greater predisposing than protective environmental forces. The multiple genetic influences in T1DM comprise a major effect from DR/DQ genotypes of the HLA complex (some 50% of the genetic effect), coupled to several other QTLs with minor influences (Table 4). All of the latter QTLs are not obligatory genetic elements themselves since they are of minor-influence, but they collectively interact to create additive influences on the genetic threshold. Siblings of a diabetic patient develop T1DM at about 15-fold greater frequency than persons in the general population (prevalence 1:250-300), vs. a value of 15. The HLA predisposition to T1DM is encoded by cis- and trans complementation DQA1*/DQB1* heterodimers which have an arginine at residue 52 of the A chain and a neutral amino acid (DQB1*0302, *0201) rather than a charged aspartic acid at residue 57 of the B chain (DQB1*0602/3 and DQB1*0301) (40), as modified by DRB1*04 subtypes (*0401 and *0405 are susceptible and *0403 and 6 are resistant types) (41) in the HLA genotype. Further, HLA-DP alleles have also been implicated, even though they are at a considerable recombination frequency away from the closely linked DR/DQ loci (42). Other genes involved include the variable number of tandem repeat (VNTR) alleles 5' to the insulin (INS) gene on chromosome 11p15, where the protective class III alleles (>200 repeats) are associated with increased expression of insulin in the thymus, leading to a more efficient eradication of insulin autoreactive T cells than class I alleles (26-63 repeats) that confer susceptibility to develop diabetes (43,44). There are also CTLA-4 gene polymorphisms on chromosome 2q that are associated with T1DM. CTLA-4 is an induced accessory molecule that is expressed on activated T cells. CTLA-4 interacts with B7.2 expressed by antigen presenting cells (APC), signaling apoptosis of T cells that become activated as part of an immune response, thereby confining the immune response. The non-obese diabetic (NOD) mouse, a model for autoimmune diabetes, has an enlarged lymphoid mass because of resistance of their T cells to undergo apoptosis, as do CTLA-4 knockout mice, which readily develop lymphocytic organ infiltrates like NOD mice. These genes thus collectively affect the general ability to be tolerant to "self" antigens. Another susceptibility locus, (the IDDM 4) in the genomic interval on chromosome 11q13harbors the high affinity IgE Fc receptor gene that has been linked to atopy and asthma, which are characterized byTh2 responses that may protect individuals against the development of anti- islet Th1 responses, and thereby protect against T1DM. There are other genomic intervals associated with or linked to T1DM that have been putatively mapped, but these mostly lack plausible candidate genes in the DNA region, and pathogenic mechanisms for them cannot yet be offered. The NOD mouse however has been subjected to extensive genetic mapping studies, in the hopes that genomic intervals harboring susceptibility or protective genes which are syntenic to humans will be discovered, thus hastening the identification of equivalent defective genes.

 

Table 4. Genotypes of the HLA Complex Associated with Diabetes Mellitus

Locus

Chromosome

Candidate Genes/Microsatellites

References

IDDM1

6p21.3*

HLA-DQ/DR

(45,46)

IDDM2

11p15*

INS VNTR

(47,48)

IDDM3

15q26

D15s107

(49)

IDDM4

11q13

MDU1, ZFM1, RT6, FADD/MORT1, LRP5

(50,51)

IDDM5

6q24-27

ESR, MnSOD

(52)

IDDM6

18q12-q21

D18s487, D18s64, JK (Kidd locus)

(53)

IDDM7

2q31

D2s152, IL-1, NEUROD, GALNT3

(54)

IDDM8

6q25-27

D6s264, D6s446, D6s281

(52)

IDDM9

3q21-25

D3s1303

(55)

IDDM10

10p11-q11

D10s193, D10s208, D10s588

(56)

IDDM11

14q24.3-q31

D14s67

(57)

IDDM12

2q33*

CTLA-4, CD28

(58)

IDDM13

2q34

D2s137, D2s164, IGFBP2, IGFBP5

(59)

IDDM14

?

NCBI# 3413

 

IDDM15

6q21

D6s283, D6s434, D6s1580

(52)

IDDM16

?

NCBI# 3415

 

IDDM17

10q25

D10s1750- D10s1773

(60)

2p12

EIF2AK3

 

(61)

5p11-q13

 

 

(62)

16p

 

D16s405- D16s207

(62)

16q22-q24

 

D16s515- D16s520

(55)

1q42

 

D1s1617

(63)

Xp11

 

DXS1068

(64)

 

In summary, T1DM is a complex, multifactorial disease involving genetic predisposition and an environmental triggering event, of which viral causes have been proposed. Although more than 50 loci have been identified, genes involved in immune regulation including HLA subtypes, VNTR in insulin itself, CTLA4, PTPN22, AIRE, and IL2R remain most prominent (65,66). The HLA association, especially class II, remains the strongest predictor of T1DM risk. The heterozygous DR3/DR4 genotype carries the highest genetic risk for T1DM in non-Hispanic whites (45-70).  In conclusion, insulin expressing islets from recent-onset T1D subjects show overexpression of interferon stimulated genes (ISGs), with an expression pattern similar to that seen in islets infected with virus or exposed to IFN-γ/interleukin-1β or IFN-α.

 

Autoantigens and Autoantibodies in Type 1 Diabetes

 

The Doniach group in London, first reported islet cell autoantibodies in patients with autoimmune polyglandular syndromes (APSs) (71), especially in those with APS type-1 (APS-1) (72), even though such patients did not often develop diabetes. Lendrum and colleagues, having failed to find serological evidence for an autoimmune basis for chronic pancreatitis, did succeed in finding Islet Cell Antibodies (ICA) detectable by indirect immunofluorescence in patients with T1DM. Islet cell surface reactive autoantibodies and autoreactive peripheral blood T cells were also reported (73,74). Over the years that followed, the presence of ICA in US patients was confirmed but with distinctly lower frequencies of ICA among African American diabetic patients (75). Insulin autoantibodies (IAA) were discovered in patients with T1DM before their first dose of insulin replacement had been received (76). The presence of IAA together with ICA identified a group of non-diabetic relatives of probands with T1DM, that were at high risk for T1DM themselves (77). Insulin itself is not an ICA antigen that can be detected by the indirect immunofluorescent technique. Subsequently, much of the antigenic nature of the ICA reactivity has become clearer. It was recognized that many patients with "stiff" man syndrome who were prone to develop diabetes, also had ICA and autoantibodies to glutamic acid decarboxylase (GAD65). These GAD autoantibodies penetrated the blood brain barrier. High concentrations of GAD in the cerebellum reduce brain levels of the inhibitory neurotransmitter gamma aminobutyric acid (GABA), thereby causing the appearance of temporal lobe epilepsy, depressed cognition, muscle spasms, cerebellar incoordination and motor dysfunctions. That GAD65 was the antigen that accounted for the 64 KDa islet cell protein previously discovered by Baekkeskov to react with autoantibodies in T1DM, was later confirmed by the same investigator (78). Antibodies to recombinant GAD65 and GAD67 in T1DM patients were soon reported (79). The autoantibodies reacted to the antigens by conformational rather than linear epitopes, and thus with native rather than denatured antigens. Therefore, they were best detected by liquid phase assays such as radioimmunoassay, rather than by an ELISA technique. In stiff-man syndrome, the predominant GAD autoantibodies reacted with linear epitopes. It became known that besides islet cell 64 KDa sized proteins, autoantibodies in the sera of T1DM patients also precipitated islet cell proteins of 50, 40 and 37 KDa as well (80).

 

The next islet cell antigen discovered was one of the two-dozen tyrosine phosphatases expressed in islet cells, insulinoma antigen-2 (IA-2) (81). This antigen shared structural homologies with the ICA-512 antigen (82). A second tyrosine phosphatase named IA-2ß was discovered next (83). These additional tyrosine phosphatase antigens allowed for the matching of the islet cell proteins previously identifiable only by their molecular weights. Thus, GAD65 and its tryptic fragment explained the 64 and 50 KDa proteins, while tryptic fragments of IA-2 and IA- 2ß were identical with the 40 KDa and the 37 KDa islet precipitable proteins respectively (84). The tyrosine phosphatases are a family of transmembrane enzymes of which only these two are expressed by the pancreatic islets and react with T1DM autoantibodies. The reactivity is almost exclusively with the internal domains of these molecules, suggesting that they arise as a consequence of islet cell damage from autoimmunity. Antibodies to IA-2 cross-react with those of IA-2ß in about 50% of the patient sera. Some unusual patient sera however react exclusively with IA-2ß. The question of why only these two members of the tyrosine phosphatase family are targets of islet cell autoimmunity has been answered by the finding that they are relatively resistant to proteolytic enzymatic digestion, and once released from islet cells after their lysis, are insoluble and thus become better antigens for auto-immunization, than those that remain soluble and are more rapidly digested (85).

 

Recently, another antigen of 38KDa size (GLIMA) was added to the islet cell group, albeit only a minority of patient's sera reacts to it (86). Still more islet cell autoantigens are likely to be discovered. The detection of islet cell autoantibodies is useful for differentiating T1DM from diabetes of other causes, and can be used to predict onset of diabetes months to years before onset of the clinical disease (20,21,87,88) in non-diabetic relatives of probands with T1DM.  Importantly, the clinical onset of the disease is often long preceded by the appearance of autoantibodies reactive to islet cells (ICA) (88) and to insulin (77), as independent age-related variables in predicting a diabetic outcome (89). Islet cell autoantibodies (ICA) also show a strong tendency to disappear after diabetes onset when all ß cells are destroyed (90,91).

 

Studies in mice demonstrated a critical role of autoantibodies to GAD65 in the induction of autoimmune diabetes in NOD mice. In humans, the German BABY-DIAB study and the Finnish TRIGR study showed that islet autoantibodies which are mostly IgG class can be transferred through the placenta from islet antibody-positive mothers to their offspring (92,93). Most of the antibodies, however, disappeared from the circulation of the infant within the first year of life, indicating that they represent maternal antibodies and unlikely that they are markers of fetal induction of B-cell autoimmunity (93). In the German BABY-DIAB study, it was demonstrated that 729 offspring of mothers with T1DM had significantly lower risk of developing multiple islet autoantibodies (5 year risk 1.3%) and diabetes (8-year risk 1.1%) when they were GAD or IA-2 positive, than offspring who were islet autoantibody negative at birth (94). These findings suggest that fetal exposure to islet autoantibodies may protect from future diabetes. Furthermore, the German BABY-DIAB study finding is consistent with the overall decreased risk of development of diabetes in offspring of mother with T1DM compared with that of offspring of fathers with T1DM and nondiabetic mothers (95).

 

The timing of the appearance of the autoantibodies seems to be important. It was found that progression to multiple islet autoantibodies was fastest in children who were antibody positive by age 2 years and that progression to diabetes was inversely related to the age of first positivity for multiple autoantibodies (96).

 

The presence of multiple autoantibodies strikingly increases the risk of diabetes, whereas one of the above autoantibodies in the absence of all of the others when tested for, denotes only a modestly increased risk (20,21). This suggests that antigenic epitope spreading is involved in a sustained or accelerated autoimmune attack (72) (97). Besides autoimmunity to islet cell autoantigens, patients with T1DM are subject to other autoimmunities. Thus T1DM is a component part of the autoimmune polyglandular syndromes, commonly in APS-2  (Diabetes Mellitus, Addison Disease, Hypothyroidism) and with less frequency in APS-1(AIRE gene mutations) (72). Accordingly, patients with T1DM have high rates of thyroid autoimmunity, especially if they are females (98) (99), and are at increased risk for Addison's disease (99), atrophic gastritis (100), pernicious anemia (98), celiac disease (101), and vitiligo (102).

 

Table 5. Autoantibody Targets in Type 1 Diabetes

glutamic acid decarboxylase 65

Islet cells

Insulin

Zinc Transporter 8

 

Antigen Specific Cellular Immunity in Type1 Diabetes

 

Autoreactive T cells that develop in impending T1DM, localize to the pancreatic islets where they become a component part of the evolving insulitis lesions. Thus, circulating autoreactive T cells are relatively sparse in impending T1DM. Nevertheless, antigen specific T cells are identifiable through prolonged in-vitro cultures in the presence of purified or recombinant islet cell autoantigens such as GAD (103) (104) and IA-2 (105). In fact, autoreactivity to a large number of autoantigens have been reported in both human and murine diabetes (106). T cell proliferative responses to insulin and GAD65, and more generally to islet extracts, have been repeatedly reported in both patients with T1DM (107,108) and NOD mice. However, both in humans and NOD mice, reports of spontaneous proliferative responses have been difficult to reproduce and validate, probably because of the relative paucity of autoreactive T cells in peripheral blood samples, and the ready contamination of recombinant "test" antigens by lymphotoxin or lipopolysaccharide (LPS), that by itself, can produce proliferative responses even when present in trace amounts. Furthermore, significant T cell responses to insulin, proinsulin or GAD65 antigen were reported, in some normal controls as well as in T1DM patients (109-111). Numerous laboratories have reported T cell reactivity in diabetic patients against GAD65 and IA-2 and their peptides with variable results (105,107,112-117). However, in established diabetes, the loss of the majority of ß cell mass resulting in associated loss of GAD65 and other ß cell antigens, in turn leads to the inactivation of T cells due to the loss of the peptide antigens that were driving the response. Thus, antigenic/epitopic spreading is an undesirable phenomenon associated with progression in autoimmune diseases like T1DM to a clinically significant outcome.

 

Pathogenesis of Type 1 Diabetes

 

The availability of Biobreeding (BB) rats and nonobese diabetic (NOD) mice, the rodent models of T1DM, has greatly enhanced our understanding of the possible pathogenic mechanisms involved (Fig. 3). Recently, it has become possible to compare these findings with findings in human islets, obtained from post mortem specimens of the pancreas through the network of Pancreatic Organ Donors (nPOD) and from patients with recent onset DM via endoscopic pancreatic biopsy (DiViD study, Norway) (86,118,119). In addition, epidemiological studies aimed at the prediction and prevention of T1DM permit a picture of the natural history to emerge. The process of destruction of β-cells is chronic in nature, often beginning during infancy and continuing over the many months or years that follow. At the time of clinical diagnosis of T1DM, about +80% of the β- cells have been destroyed, the islets are infiltrated with chronic inflammatory mononuclear cells (insulitis), including CD8+ cytotoxic T cells. Once islet cell autoimmunity has begun, progression to islet cell destruction is quite variable, with some patients rapidly progressing to clinical diabetes, while others remain in a non-progressive state.

Figure 3. The pathogenesis of islet cell destruction. Islet cell proteins are presented by antigen presenting cells (APCs) to naïve Th0 type CD4+ T cells in association with MHC class II molecules. Interleukin (IL)-12 is thus secreted by APCs that promotes the differentiation of Th0 cells to Th1 type cells. Th1 cells secrete IL-2 and IFN-γ that further stimulate CD8+ cytotoxic T cells or macrophages to release free radicals (super-oxides) or perforin/granzymes, leading to ß cell apoptosis or death. CD8+ cytotoxic T cells further mediate ß cell death by Fas mediated mechanisms. Interleukin (IL)-4, on the other hand, secreted mainly by natural killer T (NKT) cells drives Th0 cell to Th2 pathway leading to benign insulitis.

Diabetes risk and time to diabetes in relatives of patients directly correlates with the number of different autoantibodies present. The pathogenesis of T1DM has been extensively studied, but the exact mechanism involved in the initiation and progression of β-cell destruction is still unclear. The presentation of beta cell-specific autoantigens by antigen- presenting cells (APC) [macrophages or dendritic cells (DC)] to CD4+ helper T cells in association with MHC class II molecules is considered to be the first step in the initiation of the disease process. Macrophages secrete interleukin (IL)-12, stimulating CD4 + T cells to secrete interferon (IFN)-γ and IL-2. IFN-γ stimulates other resting macrophages to release other cytokines such as IL-1β, tumor necrosis factor (TNF-α) and free radicals, which are toxic to pancreatic β-cells. During this process, cytokines induce the migration of β-cell autoantigen specific CD8+ cytotoxic T cells. On recognizing specific autoantigen on ß cells in association with class I molecules, these CD8+ cytotoxic T cells cause ß cell damage by releasing perforin and granzyme and by Fas-mediated apoptosis of the beta cells. Continued destruction of beta cells eventually results in the clinical onset of diabetes.

 

Recently, these concepts derived from studies in the rodent models have been challenged as having the same pathologic process that occur in humans. Analysis of variations in histopathology observed from these organ donors provide mechanistic differences related to etiological agents and serve an important function in terms of identifying the heterogeneity of T1D (120). The findings are not always consistent with those of the rodent models. For example, the dense infiltration of islets by T-cells is evident in the pancreas of those who succumb to DKA at onset, but more chronic cases show a patchy distribution of destroyed and functioning islets containing beta cells with insulin suggesting a defect in secretion rather than synthesis. In the DiViD (Diabetes Virus Detection) study, expression of inflammatory markers, predominance of Class I antigens (rather than expression of Class 2 antigens) in islets, and actual viral isolations suggest a more acute process. Taken together, the studies suggest that T1DM may be a heterogeneous group of conditions in which auto-immunity may be a consequence or companion rather than the initiating mechanism. These findings begin to explain why prediction of developing T1DM in those from affected families considered at risk has become quite accurate, whereas prevention or reversal of DM by immune intervention or modulation has failed repeatedly (3,4,121).

 

The Indian uctive Event in Type 1 Diabetes

 

Various mechanisms have been proposed:

 

MOLECULAR MIMCRY

 

In antigenic molecular mimicry, cross-reactive immune responses occur due to significant structural homologies shared by molecules encoded by dissimilar genes.

 

The incidence of T1DM has increased over the last three to four decades in Europe, and the clinical disease exhibits preferential seasonal onset (122). These observations emphasize the role of environmental factors in the disease process. It has long been suggested that T1DM in humans is caused by viral infections (123-125). However, despite a vast increase in the information regarding the various genetic factors controlling the disease, little is known about the role of the putative environmental factors that might provide a more direct approach to therapy (8). Specifically, allegations that childhood vaccines could be causal have not been upheld by more extensive controlled studies.

 

The disease pathogenesis may involve multiple factors including the genetics of the host, strain of the virus, activation status of the autoreactive T cells, upregulation of pancreatic MHC class I antigens, molecular mimicry between viral and ß cell epitopes and direct islet cell destruction by viral cytolysis. Viruses, as one of the environmental factors affecting the induction of T1DM, may act as triggering agents of autoimmunity or as primary injurious agents, which directly damage pancreatic ß cells. Immune responses against a determinant shared by host cells and a virus could cause a tissue-specific immune response by generation of cytotoxic cross-reactive effector lymphocytes or antibodies that recognize self-proteins located on the target cells.

Monoclonal antibodies against viruses have been observed to be capable of cross-reacting with host determinants (126).

 

Several studies in humans also point to viruses as triggers of the disease (127). Coxsackie B4 virus and rubella virus have been linked with T1DM. In a few instances, Coxsackie B4 virus has even been directly isolated from pancreatic tissues of individuals with acute T1DM. Inoculation of this virus into mice, in one report, produced diabetes (128). The possibility that viruses might cause some cases of T1DM by infecting and destroying pancreatic ß-cells has received considerable attention. However, it is difficult to demonstrate in-vivo that viruses replicate in human ß-cells and/or produce diabetes in man. An in-vitro system was therefore developed to determine whether viruses are capable of destroying human β-cells in culture (129,130). By this method, it was clearly shown that several common human viruses, including mumps virus (131), Coxsackie B3 virus(132), Coxsackie B4 virus (128), reovirus type 3 (133), could infect human ß-cells. In addition, by radioimmunoassay, it was shown that the infection markedly decreased the insulin content of the ß-cells.

 

A strong correlation was found between the CMV genome in the immunocytes and the islet cell autoantibodies in the sera from diabetic patients (134). About 15% of newly diagnosed autoimmune T1DM patients have been reported to have persistent CMV infections.

Furthermore, it has been proposed that a molecular mimicry between protein 2C (p2C) of Coxsackie virus B4 and the autoantigen GAD65 may play a role in pathogenesis of T1DM. Kaufman et al (135) and Vreugdenhil et al (125), showed that the amino acid sequence of p2C shares a striking homology with a sequence in GAD65 (PEVKEK) and is highly conserved in Coxsackie virus B4 isolates as well as in different viruses of the subgroup of Coxsackie B-like viruses. These are the most prevalent enteroviruses and therefore the exposure to the mimicry motif should be a frequent event throughout the life. Furthermore, they suggested that molecular mimicry might be limited to the HLA-DR3 subpopulation of the T1D patients.

 

Although numerous sequence similarities between viral proteins and ß-cell autoantigens are plausible, the relationship between Coxsackie virus infection and GAD65 autoimmunity has received the most attention.

 

Glutamate Decarboxylase (GAD)

 

The finding by Kauffman et al (135), of a striking sequence homology of 18 amino acid peptide between human GAD65 and the Coxsackie virus p2-C protein, enhanced the evidence of a specific molecular mimicry model involving GAD. In addition, this specific region of GAD65 contains a T cell epitope involved in the GAD cellular autoimmunity in humans with immune mediated diseases (103)  and this region is an early target of the cellular immunity in NOD mice (136,137). GAD catalyzes the formation of the inhibitory neurotransmitter γ-amino butyric acid (GABA) from glutamine (104). Two forms of GAD exist (GAD65 and GAD67). GAD65 is the predominant form within the human pancreatic islet cells, while GAD67 predominates in mouse islets. Within the islets, GAD is predominantly observed within the ß-cells, while its roles in the inhibition of somatostatin and glucagon secretion and in the regulation of proinsulin synthesis and insulin secretion, have also been suggested (138).

 

Another study further supports a link between Coxsackie virus and T1DM, associating IgM antibodies to Coxsackie B virus as a marker of recent exposure to the virus in newly diagnosed IMD patients and age/sex-matched controls (139). In that report, humoral immunity to Coxsackie virus and GAD appeared to cluster, even in people without diabetes. A series of overlapping synthetic GAD65 peptides were used to study the most reactive T cell determinants in individuals at increased risk for T1DM, i.e., autoantibody positive, first degree relatives of T1DM patients. Elevated in vitro T cell responses were observed to GAD65 peptides (amino acids 247-266 and 260-279) in newly diagnosed T1DM patients and autoantibody positive at- risk individuals (140). The sequence of this region of GAD65 (amino acids 250-273) is significantly similar to the p2-C protein of Coxsackie B virus (123). However, not all published reports have demonstrated a linkage between immunity to GAD and Coxsackie virus. For example, one study identified a non-Coxsackie-homologous region of GAD65 as a predominant cellular immune epitope while studying the polyclonal human T cell responses (115).

 

Insulinoma Antigen Two (IA-2)

 

Tyrosine phosphatase IA-2 is another molecular target of pancreatic islet autoimmunity in T1DM. In one recent study, the epitope spanning 805-820 amino acid elicited maximum T-cell responses in all at-risk relatives, out of a total of 68 overlapping, synthetic peptides encompassing the intracytoplasmic domain of IA-2 (141). This epitope was found to have 56% identity and 100% similarity over 9 amino acids with a sequence in VP7, a major immunogenic protein of human rotavirus. This dominant epitope also has 75-45% identity and 88-64% similarity over 8-14 amino acids to sequences in Dengue, cytomegalovirus, measles, hepatitis C and canine distemper viruses and the bacterium Haemophilus influenzae.

 

Furthermore, three other IA-2 epitope peptides have 71-100% similarity over 7-12 amino acid stretch to herpes, rhino-, hanta- and flavi-viruses. Two others have 80-82% similarity with dietary proteins of milk, wheat and bean proteins. These molecular mimicries could lead to triggering or exacerbation of ß-cell autoimmunity.

 

SUPERANTIGENS

 

Besides molecular mimicry, retroviral expression of superantigens (Sags) may be able to activate clonal expansion of autoreactive T cell clones. Superantigens have been implicated in the pathogenesis of the various autoimmune diseases (142,143). Originally described as minor-lymphocyte stimulating antigens, retroviral Sags expressed by B cells interact with the development of T helper cells of both Th1 and Th2 subtypes in mice. A study in patients with T1DM demonstrated that two thirds of IAA positive sera also reacted with p73 (144). Conrad et al (145)  isolated a novel mouse mammary tumor virus-related human endogenous retrovirus (HERV), in patients suffering from acute onset T1DM. He termed them the HERV IDDMK1,2 22 subtype. They further showed that the N-terminal moiety of the envelope (env) gene encoded an MHC class II-dependent superantigen. He proposed that expression of this Sag, induced extra-pancreatically and by professional antigen-presenting cells, could lead to ß-cell destruction via the systemic activation of autoreactive T cells. He further reported the selective expansion of Vß7+ T cells in the islet cell infiltrates from two patients with recent onset IMD was associated with extensive junctional diversity of Vß7+ T cell clones. These investigators demonstrated that islet cell membrane preparations preferentially expanded Vß7+ T cells from non-diabetic peripheral blood mononuclear cells (146). However, other investigators were unable to confirm T1DM specificity of the IDDMK1,2 22, since it was equally recoverable as viremia from controls as well as patients (147). Furthermore, both patients and controls made antibodies to env proteins.

 

In order to establish molecular mimicry as a mechanism responsible for the autoimmune diseases it is important to identify the precise epitope that initiates the putative cross-reactive immune response. Additional complexity that has come to various animal studies is that of

epitope spreading (148). An increasing array of autoantigens or autoantigenic peptides reactive with autoantibodies develop over time. Both intramolecular and intermolecular epitope spreading has been described in NOD mice (136,149). These studies demonstrated that T- cell responses in NOD mice expand in vivo against a defined group of islet cell antigens in an orderly sequential manner. These responses in the young NOD mice first show a strong reactivity to GAD enzyme and not to other islet cell antigens. Furthermore, the initial response to GAD is first limited to one region of the protein only. Gradually, this response spreads intramolecularly to involve other regions of the protein. Eventually, after the destructive islet cell inflammation (insulitis) as a result of autoimmunity to ß-cells, the T-cell responses spread intermolecularly to involve other islet cell proteins (e.g., heat shock protein 60, carboxypeptidase H and insulin) as well (150). This epitope spreading makes it difficult to predict which putative cross-reactions, if any, are important in terms of disease induction, and which do not give rise to autoimmune pathology, particularly in humans who are exposed to many infections.

 

Deficiencies in immunoregulation in Type 1 Diabetes

 

There is both evidence for and speculation about defective central and peripheral mechanisms of immunoregulation in the autoimmune form of T1DM. Deletion of autoreactive T cells in the thymus, is one mechanism for the induction of tolerance to self-antigens (central deletion). This may involve diminished expression of insulin in the thymus of susceptible individuals due to the presence of class I VNTR alleles 5' to the insulin gene as already discussed. Others have suggested that it is the ineffective antigenic binding of the T1DM-prone HLA-DQ or -DR that promotes islet cell autoimmunity, since this permits autoreactive T cells to escape thymic ablation and pass into circulation.

 

In addition to clonal T cell deletion and anergy in thymus, peripheral regulatory T (Treg) cells are essential for the down regulation of T cell responses to both foreign and self-antigens, and for the prevention of autoimmunity. Various studies have identified defects in the peripheral Treg cells in T1DM patients (151,152) as well as in NOD mice affecting both NKT cells (153,154) as well as CD4+CD25+ suppressor T cells (155). Since these Treg cells are not absent in either species, ways to stimulate them should be actively sought to provide novel therapies for the future. The possibility of future therapeutic use of Treg cells in human autoimmune diseases lies heavily on basic studies that are designed to elucidate the mechanisms of induction and function of these cells. Therapy with immunomodulatory compounds that specifically target endogenous pools of Treg cells can be envisioned (156). This approach requires a more detailed investigation into the intracellular and extracellular events that regulate the differentiation and expansion of these cells in-vivo.

 

Of great interest has been the emergence of immune mediated T1DM in patients treated with checkpoint inhibitors for various cancers (157).  Unlocking the immune response via drugs that block the molecules programmed death (PD1) or its ligand, PDL1, as well as CTL4, may result in immunotoxicity with emergence of autoimmunity affecting various organs, including endocrine tissues such as the thyroid, adrenal and pancreas causing a form of T1DM (158). Indeed, autoimmunity has been called the “Achilles’ Heel” of immunotherapy, with increasing reports of its association with T1DM (159).

 

Environmental Factors in Type 1 Diabetes

 

Besides the familial predispositions, much evidence points to a major role of environmental factors in the disease pathogenesis. More than 60% of identical twins affected by T1DM are discordant for the disease and most of the non-diabetic twins lack islet cell autoantibodies. Over the past 3 decades, the disease frequency is on a steep rise in Western countries that cannot be explained by the accumulation of the susceptible genes. Africans, who dominate the tropics, and Chinese, both have low frequencies of the susceptible genes and low incidence rates of T1DM (75), except where there has been a high rate of Caucasian genetic admixture.

 

More persuasively, migrants from countries with low hygiene and low incidence rates of T1DM to countries with high hygiene and high incidence become as susceptible as the natives within a generation (160). Animals reared in sterile environments have early onsets and increased frequencies of diabetes while those infected with a variety of micro-organisms and parasites become protected (161-165). The hygiene hypothesis was proposed.  A strong causal relationship between prevailing level of community hygiene, especially with respect to drinking water and the dramatic increase in the incidence of autoimmune diseases such as T1DM in the modern world, has been referred to as the hygiene hypothesis.

 

ROLE OF DIET

 

Despite persuasive epidemiological evidence for environmental factors that precipitate T1DM in genetically susceptible individuals, their identity remains elusive. This may be due to long period between exposure and the onset of hyperglycemia, the complex genetics of the disease, and the likely multiple insults of perhaps different derivation involved in the initiation of the insulitis and subsequent ß cell destruction. Dietary habits such as consumption of dairy products and early weaning of infants, and dietary toxins such as nitrates and nitrites have been associated with this autoimmune disease (166,167).

 

Close correlations between per capita consumption of unfermented milk proteins and the incidence of diabetes between countries(168-170) and within a country have been reported (171). The claimed negative association between diabetes incidence and a high frequency and long duration of breast-feeding is more controversial (166) and has not been confirmed by reports from Germany (172) and the United States. Several studies have found associations between the consumption of foods rich in nitrates (or nitrites), which is reduced to nitrite in the gut, and the occurrence of T1DM (173,174). The active species is believed to be N-Nitroso compounds that can be formed from the reaction of nitrite with amines (175). Most recently, the gut microbiome and its modulation by dietary factors, has been implicated in the causality of T1DM (176).

 

The incidence of T1DM varies worldwide according to dietary patterns. In-depth exploration of dietary risk factors during pregnancy and early neonatal life is warranted to confirm whether and to what extent diet cooperates with genetic susceptibility in the early onset of T1DM.

 

Screening Methods for Type 1 Diabetes

 

T1DM is by far the most common chronic metabolic disease of childhood and adolescence and its prevalence and incidence has been increasing worldwide (96). This increase of incidence is the highest among the children under 5 years of age (177). Prevention of T1DM would constitute a major advance in the lives of pre-diabetic individuals and significantly relieve a major current and predicted burden on both the individual and the health care system. Identifying individuals at risk developing the disease and the prevention of the disease progression are two important steps before the onset of disease. The presence of islet autoantibodies, as well as the genetic predisposition with specific HLA haplotypes are known risk factors associated with the development of diabetes. Most studies have been carried out on first-degree relatives of T1DM patients who have 15-fold increased risk of the developing diabetes in comparison to the general population. However, more than 90% of all patients developing T1DM do not have an affected family member. Therefore, it is crucial to establish a standardized screening method which will efficiently identify individuals at high risk in a general population. School children between 5-18 years of age were screened to evaluate the predictive value of autoantibodies over a period of 6-12 years (178). This study indicated that the risk of developing T1DM when ICA is detected in the absence of other autoantibodies is low, whereas with more than one autoantibody (either GAD65A, IAA, IA-2A or IA-2ßA) the risk of developing T1DM in a general population is high. Similar findings were also reported in other studies (179-181). These results support the value of multiple autoantibodies as good predictive markers for T1DM not only in first degree relatives but also in the generalpopulation.  Consequently, the American Diabetes Association now considers the presence of 2 or more autoantibodies as form of early presymptomatic diabetes (182).

 

Prevention Trials in Type 1 Diabetes

 

The elucidation of the natural history of pre-diabetes has allowed for the characterization of those individuals at greatest risk for developing autoimmune T1DM, through the use of genetic, immunologic and metabolic markers. This predictive ability has become possible in both high- risk relatives and the general population as mentioned above. The subclinical autoimmune destruction of ß-cells in the pancreas may last from a few months to several years. This pre- diabetic period has allowed investigators to test prevention strategies, which mainly have focused in modulation of autoimmune process (183). A number of studies initiated with general immunosuppressive agents, such as cyclosporin-A, azathioprine and prednisone in patients with new clinical onset T1DM, positive results in that insulin free remission rates were increased and endogenous insulin (C-peptide) reserves were improved (121). However, despite continued immunotherapy with the attendant risks of renal damage and lymphomas at higher doses, relapses proved to be the rule and such treatments were abandoned. Cyclosporin given at a prediabetic phase of the disease delayed but did not prevent diabetes (184,185).

 

With the observation that nicotinamide prevents pancreatic ß cell destruction from streptozotocin by raising otherwise depleted levels of islet cell NAD as a result of superoxide induced DNA breaks and repair, the vitamin was subjected to a large European and Canadian trial called The European Nicotinamide Diabetes Intervention Trial (ENDIT). However, nicotinamide failed to prevent progression to diabetes (186). In addition, a  study in Germany (DENIS)   was completed without any effect of nicotinamide on prevention of T1DM.(187).More recent studies have used Anti CD21(Rituximab), Anti CD3, Anti CTLA-4, oral insulin,GAD65 peptides, and infusions of Treg cells  with early encouraging results in preserving insulin secretion, but without durable effects (188). These results in humans were often based on animal studies in NOD mice (189-191). In stark contrast to these encouraging studies in NOD mice, where a variety of interventions induce long lasting remissions, none of the studies in humans has so far yielded long-lasting remissions in humans (183,188).

 

Table 6. Prevention Trials (121)

Study and Phase

Drug

Age

Eligibility

Ref

TRIGR

Cow’s milk hydrolysate

0-7 days

First Degree relatives, High-risk HLA

(192)

BABY DIET

Gluten-free diet

Younger than 3 months

Relatives, high risk HLA DR, DQ

(193)

TrialNet NIP

Docosahexaenoic acid

>24 weeks gestation- newborn

Relatives, HLA DR3 or DR4

(194)

TrialNet Teplizumab

Teplizumab

8-45 years

At least 2 confirmed autoantibodies and abnormal glucose tolerance

 (195,196)

DIAPREV-IT

GAD-alum

4-18 years

Islet autoantibody positive

(197)

TrialNet Oral Insulin, Phase III

Human insulin

1-45 years

Relatives, 2+islet antibodies including to insulin

(198)

INIT I/II,

 

Intranasal insulin

4-30 years

Relatives, 2+islet antibodies, HLA not DR2, DQ6

(199)

Pre-Point, Phase I/II

Human insulin

1.5-7 years

First degree relatives,

>50% risk of T1DM

(200)

FINDIA

Insulin-free whey- based formula

Infants

General population, high-risk HLA DQ

(201)

Teplizumab

Teplizumab

</=18 years of age

Relatives

(202)

Golimumab

Golimumab

6 to 21 years

Newly diagnosed T1DM

(203)

 

TYPE 2 DIABETES MELLITUS

 

As the US passed into the 21st century, the epidemic of obesity and T2DM continues unabated, affecting more younger adults and children than in the past.  They will spend longer periods of their life with the disease. Perhaps in part under pressure of commercial interests, we as a nation have learned to eat too fast, too much, and the wrong foods.  However, the problem of obesity and its consequences is pervasive globally, affecting developing as well as economically developed countries.  For those with the energy conserving "thrifty" genes of insulin resistance syndrome (IRS), this excess of food and especially of the insulin provoking carbohydrates, leads to obesity, an IRS phenotype and T2DM. Nearly half of the new cases of diabetes in teens can be termed T2DM (204).  Currently, in some US states where there are large numbers of ethnic groups prone to IRS and T2DM (Hispanics, American Indians, Asian Indians, African Americans), the number of children with T2DM is beginning to rival if not surpass the number with T1DM. It is estimated that 1 in 3 people born in the US in the year of 2000 will develop T2DM sometime in their lifetime (205).

 

The increased incidence of T2DM is attributed to the increase in obesity worldwide. Approximately 3700 youths are diagnosed with T2DM every year in the US (206) and it is estimated that the number of youth with T2DM will almost quadruple from 22,820 in 2010 to  approximately 85,000 adolescents with T2DM by 2050 (10). Similar rates of increased in youths with T2DM are reported from the UK, India, China and Japan (10).

 

Pathophysiology of Type 2 Diabetes

 

T2DM is characterized by insulin resistance in peripheral tissues (muscle, fat, and liver) with progressive β cell failure, ,especially manifest with defective insulin secretion in response to a glucose stimulus, increased glucose production by the liver, and no markers of pancreatic autoimmunity (207). The progressive decline in β cell function is more rapid in youths at 20-30% decline per year versus 7-11% decline per year in adults, even with aggressive medical therapy.

 

Table 7. Pathophysiologic Factors

Obesity/Insulin resistance (IR)

See IRS

Intrauterine environment

Epidemiological studies have shown a strong association between poor intrauterine growth and the subsequent development of the Metabolic Syndrome. It was suggested that the effects of poor nutrition in early life impair the development of pancreas and resulting permanent changes in glucose- insulin metabolism (208).

Gestational diabetes

Studies in Pima Indian women showed significant increased risk of developing T2DM in offspring of women with diabetes during pregnancy compared to non-diabetic mothers (209).

Ethnicity

There is a significant increase risk in certain ethnic/race groups (205).

Gender and puberty

Puberty is a state of IR brought about by the increased secretion of GH during this process. There is a 30%-50% decrease in insulin sensitivity and compensatory increase in insulin secretion. Those that have an inherent defect in insulin secretion and inadequate response to the resistance develop DM. The mean age at diagnosis of T2DM in children is 13.5 years, corresponding to the time of peak adolescent growth and development.

Girls are 1.5-3 times more likely than boys to develop T2D as children or adolescents (270).

Family History

Between 74-100% of children with T2DM have a first or second-degree relative with T2DM. The lifetime risk is 40% if one parent is affected and 70% if both parents are affected (210).

Genetics

Genome-wide studies led the discovery of single- nucleotide polymorphisms (SNPs) at several loci regulating insulin secretion.  To date, more than 30 diabetes-related SNPS (diabetoSNPs) have been identified (211).

Several genes have been found to be associated with T2D;

1.     1) Peroxisome Proliferator-Activated Receptor-γ2 (PPAR-γ2) Gene: An important regulator of lipid and glucose homeostasis. Missense mutation Pro12Ala in PPAR-γ2 is associated with decreased risk for T2DM.

2.     2) Kir6.2 Gene (KCNJ11): The missense mutationGlu23Lys in the Kir6.2 gene has been associated with increased risk of T2DM.

3.     3) MODY genes (HNF4α and HNF1β)

4.     4) Transcription Factor 7-like (TCF7L2) Gene: A product of HMG box containing transcription factors that play role in the glucose homeostasis. Specific polymorphisms in the TCF7L2 gene increase the risk of progression from IGT toT2DM.

5.     5) Calpain-10 Gene: Calpains are Ca+2 dependent cysteine proteases and play a role in regulating insulin secretion and action.

 

 

The natural history of progression to T2DM is that a person with IRS begins to decompensate, with a fall in the disposition index (the amount of insulin produced for the degree of insulin resistance). Subsequently levels of blood glucose rise after feeding; elevations in fasting blood glucose levels occur later. At this early stage, diet, exercise and insulin sensitizers are indicated.

 

INSULIN RESISTANCE SYNDROME (IRS)

 

This syndrome complex is centered upon genetic predispositions to insulin resistance and the hyperinsulinemia that results from it. This medical state is also named syndrome X and the metabolic syndrome, however the descriptive term insulin resistance syndrome (IRS) is the one increasingly used in the literature (207,212). In IRS, there are poorly understood genetic lesions that lead to insulin resistance from early life if not during embryogenesis. In many affected families, the disease occurrences suggest a dominant mode of transmission. In rare families, mutations affecting insulin receptors, or peroxisome proliferators-gamma (PPAR- gamma) expression may be the cause of it (213). IRS is the association of insulin and leptin resistance with obesity (typically with increased visceral fat), functional adrenal hyper-androgenism, functional ovarian hyperandrogenism, hypersecretion of pituitary LH, dyslipidemia, hypertension, and features of hyperinsulinemia such as late reactive hypoglycemia and acanthosis nigricans. When the compensation by increased insulin secretion fails, glucose intolerance and T2DM result.

 

Natural History of Insulin Resistance Syndrome

 

Several studies indicate that many children and adults with T2DM were born small for gestational age. This suggests that the insulin resistant state existed in-utero since it is insulin rather than pituitary growth hormone that is the principal growth-promoting hormone of the unborn child, and decreased insulin action might be anticipated to impair embryonic growth. After birth, premature pubarche resulting from excessive adrenal androgens such as dihydroepiandrosterone (DHEA) may occur, even before obesity has appeared. Thus, it has been proposed by some that obesity may be the result of insulin resistance, and not its cause. Excessive DHEA may be seen best after ACTH injection leading to a clinical suspicion that the 3ß hydroxysteroid dehydrogenase enzyme is underactive. Obesity can begin from infancy but often dates from about 8 years of age when physiological pubarche occurs. Early onset obesity raises the possibility of a genetic satiety causation such as the Prader-Willi Syndrome or deficiency of MC4R. Acanthosis nigricans resulting from increased keratinocytes in certain areas of skin is thought to result from insulin stimulation of insulin-like growth factor 1 (IGF-1) receptors and often manifests during puberty Menarche may be delayed in age at onset or menses may be missed after menarche, or else there can be dysfunctional bleeding resulting from anovulatory cycles.

 

Hirsutism often becomes bothersome during adolescence, as may male pattern hair thinning, persistent acne and development of polycystic ovaries. An increase in very low-density lipoprotein (VLDL) secretion by the liver is observed with increasing age, associated with diminished, atherogenesis protective, high density lipoprotein cholesterol (HDL-C), a dyslipidemic profile that promotes early and progressive onset of atherosclerosis, predisposing to coronary heart disease (CHD), stroke, and peripheral vascular diseases in later life. The latter problems are compounded by the appearance of hypertension and type-2 diabetes. The glucose intolerance that precedes type-2 diabetes often first involves post-prandial glucose levels or the two-hour time point of the OGTT as discussed above, but later induces a rise in fasting glucose (impaired fasting glucose) levels as well. The mechanism is thought to be ß cell exhaustion or more likely a glucosamine and lipid mediated islet cell toxicity. Once this stage is reached, damage to the islets can become irreversible, resulting in the dual problems of insulin resistance and insulinopenia, both of which need to be addressed in therapeutic strategies.  In children and adolescents, the progression of impaired insulin secretion and its complications including the appearance of albuminuria, exhibits a faster tempo than that of adults presenting later in life. Hence, these adolescents may more rapidly progress to requiring insulin therapy.

 

Table 8. Clinical features of IRS. Adapted from refs (210,213,214).

Clinical Features

 

Infancy

Family history of obesity and T2DM, SGA, LGA

Gestational Diabetes

Childhood/Adolescence

Acanthosis nigricans Premature adrenarche, Obesity, Pseudoacromegaly, Striae, Skin tags, Amenorrhea

Adulthood

Tall Stature, Pseudoacromegaly Fatty liver, Focal glomerulosclerosis

Hirsutism, Ovarian hyperandrogenism, PCOS

Endothelial dysfunction, Atherosclerosis, Increased carotid wall thickness, Stroke CHD

Glucose intolerance, T2DM

 

Table 9. Laboratory Features of IRS

↓IGFBP-1, ↓SHBG, ↑free testosterone

↓CBG, ↑free cortisol

↑VLDL, ↑TG, ↓HDL, ↑ small dense LDL

Increased PAI-1, CRP, fibrinogen

Adhesion molecules and uric acid

Decrease first phase insulin response

Increased decompensated insulin resistance

Postprandial hyperglycemia

Fasting hyperglycemia

Diabetes

 

Underlying Mechanisms of Insulin Resistance

 

OBESITY

 

Affected patients commonly show polyphagia, and may have voracious appetites that are characteristically resistant to dietary advice. When leptin deficiency was discovered in Ob/Ob mice and leptin receptor deficiency discovered in Db/Db mice, the adipocyte became to be appreciated as an endocrine cell rather than one that was an inert repository of triglycerides. However, the promise of a breakthrough in the understanding of human obesity was quickly dissipated when such lesions proved to be rare in humans. Obese patients with their greater degrees of adiposity also have the highest levels of leptin as expected, however these high levels do not reduce the appetites of IRS patients (215). Thus, such patients are also leptin resistant. Early trials of leptin therapy have not affected weight loss. However, patients with lipodystrophy who have leptin deficiency develop insulin resistance, hyper-insulinemia, dyslipidemia and T2DM, all of which respond dramatically to leptin given as therapy (216,217).   Deficiencies in other appetite suppressing hormones such as resistin have more recently been implicated but not yet shown to have therapeutic relevance. Hyperinsulinemia itself is a compounding variable, in that excessive carbohydrate containing diets stimulate the highest levels of insulin and the greatest degrees of adiposity. Therapies such as metformin that improve insulin sensitivity when combined with a diet restricted in low amounts of simple carbohydrates and exercise, can dramatically lower weight in children with IRS when they adhere to therapeutic guidelines. However, failure to adhere to instructions is a common problem in adolescents (218,219).

 

HYPERANDROGENISM

 

It is uncertain as to the degree to which the pituitary abnormality of increased LH secretion leads to the androgenic excess or vice versa. Probably, both are responses to the insulin resistance and hyperinsulinemia of IRS by mechanisms that have yet to be clearly understood. Androgens of ovarian origins usually predominate over those of the adrenal gland, albeit both are often found to be elevated. Sex hormone binding globulins in the circulation are often low, resulting in increased free androgens with their increased bio-availability (220). This is often seen with testosterone, which can be raised or normal in hirsute girls whereas increased free testosterone levels are common.

 

Interestingly, we hold that there is a clinical overlap between Cushing's syndrome and IRS (221). Both tend to have visceral (central) obesity and striae suggestive of glucocorticoid excess. However, whereas the patient with Cushing's syndrome has high levels of serum cortisol, the patient with IRS has low normal levels, albeit both have increased levels of urinary free cortisol. Again, the explanation may lie in the low levels of corticosteroid binding globulins found in IRS where circulating cortisol is disproportionately free. Some investigators have suggested that there is an impaired conversion of cortisol to the metabolically inactive cortisone in IRS. Further, the child with Cushing's syndrome is invariably growth retarded in contrast to the child with IRS whose linear growth tends to be excessive. In IRS and obesity, the GH levels during stimulation tests are suppressed implying a diagnosis of GH deficiency which likely is not the case as these children tend to be tall. IGFBP levels in serum are depressed, resulting in an excessive free IGF-1 level, albeit the total IGF-1 concentration is usually normal. The pseudo-acromegaly observed in severely affected children with IRS may be occurring via this mechanism. In addition, high concentrations of insulin interact with the IGF-I receptor, thereby promoting growth (222).

 

ACANTHOSIS NIGRICANS

 

Stimulation of the IGF-1 receptors of skin keratinocytes by high levels of circulating insulin is thought to explain their hyperplasia and excessive laying down of keratin in the skin of the neck, axillae, elbows and knees, skin creases and indeed most areas of skin (223). In addition, excessive free IGF-1 may have the same effect, albeit the greater the degree of insulin resistance, the higher the insulin levels, the more striking the acanthosis nigricans. Increased bioavailability of IGF-1 (high IGF-1 and low IGFBP-1) are directly correlated with the severity of acanthosis nigricans

 

GLUCOSE INTOLERANCE AND T2DM

 

Children and young adults affected by IRS are often hyperinsulinemic. In such persons, stimulation of insulin secretion by carbohydrates alone or with protein can induce an excessive but delayed rise in insulin secretion, reflected in an early excessive rise in glucose, followed by an excessive fall in glucose levels 3-5 hours afterwards, of sufficient severity to provoke symptoms of hypoglycemia. As the ability to secrete insulin declines, impaired glucose intolerance appears first. Later in the evolution of T2DM, the 2-hour criteria for diabetes during OGTT become apparent, followed later by impaired fasting hyperglycemia and finally by fasting hyperglycemia that meets the criteria for the diagnosis of diabetes. An HbA1c level can be used to screen diabetes as recommended by the American Diabetes Association.

 

Table 10. Criteria for Increased Risk of Diabetes (1)

Fasting plasma glucose

100 – 125 mg/dl

2-hour plasma glucose after OGTT

140 – 199 mg/dl

HbA1C

5.7 – 6.4%

 

NON-ALCOHOLIC STEATOHEPATITIS (NASH)

 

It is also known as fatty liver or hepatic steatosis. The incidence of fatty liver among obese children was 2.6% in one study (224), and hyperinsulinemia was found to be the major contributor for its’ development (225). A number of factors may play a role in the development of fatty liver including, induction of cytochrome P4502E1 during obesity, which is capable of generating free radicals, while the high level of dietary intake of polyunsaturated fatty acids or low intake of nutritional antioxidants contributes to the oxidative stress. Fatty liver alone appears to be a relatively benign disease, and can be reversible. However, it may progress over years to hepatic cirrhosis, liver failure, or hepatocellular carcinoma. The onset of disease is usually insidious. Laboratory evaluation indicates mild to moderate elevation of serum aminotransferases in most children and serum alanine aminotransferase (ALT) levels had been shown a useful screening for fatty liver in obese children (226). The ratio of aspartate aminotransferase (AST) to ALT is usually less than 1, but this ratio increases as fibrosis advances. Serum aminotransferases, alkaline phosphatase and gamma glutamyl transferase (GGT) levels are proposed surrogate markers of fatty liver (227,228).

 

RENAL INVOLVEMENT

 

A form of focal glomerulosclerosis (often with IgA deposition) appears to be associated with IRS, leading to microalbuminuria. Hypertension becomes increasingly common through adolescence and beyond. The mechanisms responsible have not been elucidated.

 

INFLAMMATION

 

IRS and T2DM have increased markers of inflammation. This takes the form of increased levels of C-reactive protein, raised erythrocyte sedimentation rates (ESR) and increased cytokine (TNF-α) levels.  Obese patients also have abnormalities of thyroid function suggestive of primary thyroid deficiency with modestly elevated TSH but normal or slightly elevated fT4 and fT3.These abnormalities resolve with weight loss and have therefore been interpreted as representing an adaptive response to obesity i.e., by raising TSH and free T3, caloric expenditure would increase (229-231). Obese patients are thus often unnecessarily treated for hypothyroidism they do not have. They may however develop true hypothyroidism on the basis of associated Hashimoto's disease.

 

ATYPICAL DIABETES

 

Genetic Defects of ß-cell Function (Monogenic Diabetes)

 

Monogenic forms of diabetes are characterized by impaired secretion of insulin from pancreatic β cells caused by a single gene mutation. These forms comprise a genetically heterogenous group of diabetes including, maturity onset diabetes of the young (MODY), permanent or transient neonatal diabetes (NDM), and mitochondrial diabetes. MODY is the most common form of monogenic diabetes, with autosomal dominant transmission of a gene encoding a primary defect in insulin secretion (232-235).

 

Approximately 1 to 2 % of diabetes in Europe is MODY (236). The clinical characteristics of these patients are heterogeneous, and not reliable in predicting the underlying pathogenesis (237,238). It is often misdiagnosed as T1DM or T2DM. Several genetic abnormalities have been found that account for the disorder. Some members of an affected family may have the genetic defect but not develop the diabetes phenotype. Whether this is due to modifying genes or environmental factors is unclear. MODY differs from the classical immunological T1DM in several ways. With MODY, a dominant family history of diabetes (if known) is always present.  However, de novo mutations can occur.  Hyperglycemia is mostly mild with a minimal tendency to ketosis before the age of 25 years, the insulin secretion in response to oral (OGTT) or intravenous (IVGTT) glucose administration is modestly decreased, and evidence of islet cell autoimmunity is absent. It is estimated that more than 80% of patients with monogenic diabetes are either not diagnosed or are misclassified as type 1 or type 2 DM (239).

 

The underlying genetic defects of the many MODY subtypes have been identified, as indicated below (Table 11). To date, fourteen genetic forms of MODY are recognized. MODY resulting from defects in the glucokinase gene (GCK) and hepatocyte nuclear factor-1-alpha (HNF-1α) are the most common types seen during childhood (MODY-2) and post puberty (MODY-3), respectively.  MODY Types 2 and 3 together constitute 80% of all cases of MODY syndromes.

 

MODY 2 is the most common form of MODY with a prevalence of about 1:1000 people. It is caused by a dominant heterozygous inactivating mutation in glucokinase, the enzyme that phosphorylates glucose to permit its oxidation to ATP and hence insulin release. Insulin is released but at higher glucose concentration-the curve is right shifted but otherwise normal. Thus, fasting glucose is in the range of ~95-110 mg/dl and may remain above 140 mg/dl at 2 hours post prandial but returns to normal thereafter. HbA1c is in the range of 5.8-7.6% and generally remains in the low- mid 6% range. Patients are rarely symptomatic and may be discovered by chance when a blood glucose is obtained. Treatment is not necessary except during pregnancy in some cases; there is a very low prevalence of micro-macrovascular disease even after almost 50 years of follow-up. Young women are often discovered to have mid hyperglycemia when tested during pregnancy and erroneously labeled as having gestational diabetes. The non-affected fetus of an affected Mother may have some macrosomia in utero-the result of extra insulin secretion by the fetus in response to the maternal hyperglycemia (240).

 

MODY3 is the next most common form of MODY caused by a heterozygous mutation in HNF-1α, necessary for normal insulin secretion. Onset is usually in the teen years and glucose is in the mid-200s with mild to moderate symptoms. Patients may respond to sulfonylurea drugs initially, but later may go on to insulin dependence and more severe hyperglycemia. As with other MODY forms, a family history of diabetes is often obtained, with a diagnosis of T2DM common for older patients and T1DM in younger patients. Confirmation of the diagnosis by molecular testing is essential for recommending treatment and family counseling (241).

 

Defects in four pancreatic ß cell-specific transcription factor genes, HNF-1β (MODY5), HNF-(MODY1), pancreatic and duodenal homeobox 1 gene (PDX1) [previously termed insulin promoter factor-1 (IPF-1)] (MODY4) and neurogenic differentiation 1 gene (NeuroD1) and BETA2 (MODY6) are responsible for others. In contrast to MODY-2, patients with heterozygous mutations in the HNF1A, HNF4A, or HNF1B and more rarely in PDX1 or NEUROD1 have progressive deterioration in glucose tolerance and are at risk for developing complications of diabetes (242).

 

More recently, mutations in the tumor suppressor protein KLF-11 (MODY7), the carboxyl ester lipase CEL (MODY8), the transcription factor, paired box gene 4, PAX-4 (MODY9), the insulin gene, INS (MODY10), and tyrosine kinase, B-lymphocyte specific gene, BLK (MODY11) have been described.  MODY 12 and MODY 13 are due to mutations in the ABCC8 and KCNJ11 genes, respectively. Mutations in these 2 genes also have been reported in neonatal diabetes.  They are very rare and represent fewer than 1% of all MODY cases.

 

Table 11. Classification of MODY

MODY Type

Gene

Gene Loci

Incidence

Age at Diagnosis

Primary Defect

Associated Features

Severity of   Diabetes

Ref

1

HNF-4α 20q

Rare

Postpubertal

Transcription gene defects in ß-cells lead to impaired metabolic signaling of insulin secretion.

-

Severe

(242)

2

Glucokinase

7p

10-60%

Childhood

impairment of ß-cells sensitivity to glucose and; defect in hepatic glycogenesis

Reduced birth weight

Mild

(243)

3

HNF-1α

12q

20-60%

Postpubertal

Similar to MODY1

Renal glucosuria

Severe

(242-246)

4

PDX1 (IPF-1)13q

Rare

Early adulthood

Defects in transcription factors during embryogenesis lead to abnormal ß-cell development and function

-

Mild

(247)

5

HNF-1β 17cen- q21.3

Unknown

Postpubertal

Similar to MODY 1 and 3

Glomerulocystic kidney disease, female genital malformations, Hyperuricemia, abnormal liver function tests

Mild

(248)

6

NeuroD1/BETA2

2q32

Rare

Early adulthood

Defect in this gene causes abnormal development of ß cell and function

-

Unknown

(249)

7

KLF11  

2p25

Very Rare

Early adulthood

Reduced glucose sensitivity of the beta cell

Phenotype similar to T2D

Unknown

(250)

8

CEL      

9q34

Very Rare

 

<20 years

Impaired endocrine and exocrine pancreatic function

Exocrine pancreatic dysfunction

Unknown

(251)

9

PAX4   

7q32

Very Rare

<20 years

Impaired gene transcription in pancreatic beta cells on apoptosis and proliferation

-

DKA is possible

(252,253)

10

INS      

11p15.5

Very Rare

<20 years

Defect in this gene may result the loss of beta cell mass through apoptosis

-

Unknown

(254)

11

BLK      

8p23

Very Rare

<20 years

decreases insulin synthesis and secretion in response to glucose by up- regulating transcription factors

Higher incidence in obese individuals

Unknown

(255)

12

ABCC8 

11p15.1

< 1%

<35 years

Inactivating mutations cause impaired secretion mild mode

 

 

(255)

 

13

KCNJ11

11p15.1

<1%

 

 

 

 

 

14

APPL1  

3p14.3

<1%

 

adapter protein, phosphotyrosine interacting with pH domain and leucine zipper

 

 

(256,257)

 

Neonatal Diabetes

 

Neonatal diabetes is a rare disorder with an incidence of 1:100,000-1:200,000 live births (232,258).  It presents in first 6 months of life and its’ severity depends on the underlying mutation in that it is either transient or permanent. Almost 50% of cases with neonatal diabetes are permanent (PND) while the remainder are “transient” (TNDM) in that they remit, but may reappear and become apparent later in life or at times of stress. Heterozygous activating mutations in KCNJ11 and ABCC8 —which encode the Kir6.2 and SUR1 subunits, respectively, of the ATP-sensitive potassium channel, are the most common causes of PND. Missense mutations in the INS gene are also identified in patients with PND and they may have an autosomal dominant or recessive inheritance pattern (232,254,258). Genetic diagnosis is important since the KCNJ11 and ABCC8 mutations respond to treatment by sulfonylureas, possibly without need for additional insulin therapy because these drugs can close the β cell potassium channel by an ATP-independent route (259). It is increasingly apparent that the same mutations can become manifest for the first time well beyond infancy and diagnosed as T2DM or rarely T1DM. Severe mutations in the KATP genes, especially KCNJ11 also may present with a neurological component in a syndrome known as DEND (Developmental delay, Epilepsy, Neonatal Diabetes); early diagnosis and treatment with sulfonylurea drugs is reported to ameliorate the neurological manifestations as the KATP channels are expressed in the brain. The major form of   transient neonatal diabetes results from anomalies of the imprinted region on chromosome 6q24,but mutations in KCNJ11 or ABCC8 can also cause TNDM (232).  Various rare forms of syndromic disease which include NDM are described; early diagnosis may diminish or delay the hitherto described natural history and consequences (258).

 

Mitochondrial Diabetes

 

Point mutations in mitochondrial m.3243A→G cause another form of diabetes with an insulin secretory defect that is commonly associated with neuro-sensory hearing impairment and a strict maternal mode of inheritance (260). In addition, genetic abnormalities that result in the inability to convert pro-insulin to insulin (261), or the production of mutant insulin molecules (262), are other examples of specific genetic defects in ß cell function which are rare causes of diabetes.

 

Chronic Illnesses

 

Hemochromatosis is a progressively more common recognized cause of diabetes with aging, and does not present in a pediatric age group. However repeated blood transfusions for conditions such as thalassemia major can lead to diabetes associated with hemosiderosis.

Many patients with cystic fibrosis develop a form of T1DM often during their teenage years which may require insulin replacement and is labeled “cystic fibrosis related diabetes (CFRD)” (263).  Most CF patients now live long enough for this to have become a more common problem with impact on overall well-being and severity of symptoms ascribed to CF and partially responsive to insulin therapy. DKA is rare in CFRD, perhaps because of the concurrent effects on the α-cell secreting glucagon as well as the β-cell secreting insulin. Patients with Gitelman’s syndrome develop diabetes which resolves when they are adequately replaced with magnesium, excessively lost through the kidneys in this syndrome. Gitelman syndrome is a recessively inherited genetic entity, but the presentation of DM is usually not until later midlife (264).

 

Genetic Defects in Insulin Action

 

There are a series of rare genetic abnormalities in the insulin receptor, or in the signal transduction events which follow insulin docking to its receptor resulting in diabetes. The recessive DNA breakage disease (Bloom’s syndrome) is associated with mild diabetes due to severe insulin resistance, with very high levels of circulating insulin and insulin like growth factor one (IGF-1). Progeria and lipodystrophy are other such causes (232). In the latter case, the absolute deficiency of leptin leads to uncontrolled lipolysis resulting in severe insulin resistance, which is partially reversible by leptin administration (232)/

 

Endocrinopathies Associated with Hyperglycemia

 

Several hormones, such as epinephrine, glucagon, cortisol, and growth hormone, antagonize the action of insulin. Whereas release of these hormones constitutes the protective counter regulatory response to hypoglycemia, primary over secretion of these hormones can result in glucose intolerance or overt diabetes.

 

  • Cushing's syndrome, due to pituitary and ACTH secreting adenomas or adrenal hyperplastic disease or to exogenous glucocorticoid administration, can lead to diabetes (265). Steroid-induced diabetes is most often seen when there is pre- existing insulin resistance or a defect in insulin synthesis/secretion unmasked by the inability to increase insulin secretion to overcome the resistance to its actions induced by glucocorticoids.
  • Acromegaly is associated with overt diabetes in 10 to 15% of cases, and impaired glucose tolerance in a further 50% (266,267). In acromegaly, there is marked insulin resistance and hyperinsulinemic responses; DM occurs only when the hyperinsulinemic response cannot match the requirement to overcome the degree of resistance.
  • Pheochromocytomas are associated with both inhibition of insulin secretion and an increase in hepatic glucose output (268). These changes lead to impaired glucose tolerance, the severity of which is directly related to the magnitude of catecholamine production (269). When seen in children, these are usually a component of the Von Hippel-Lindau syndrome, MEN2, and NF1.
  • Glucagon-secreting tumors (glucagonoma) are associated with an unusual constellation of clinical features, including skin rash, weight loss, anemia, and thromboembolic problems. Approximately 80% of these patients have either impaired glucose tolerance or diabetes (270).
  • Somatostatin-secreting tumors (somatostatinomas) are typically associated with the triad of diabetes mellitus, cholelithiasis, and diarrhea with steatorrhea (271).
  • Although thyroxine is not a counter regulatory hormone, hyperthyroidism can interfere with glucose metabolism. It is associated with both increased sensitivity of pancreatic ß cells to glucose, resulting in increased insulin secretion, and antagonism to the peripheral action of insulin. The latter effect usually predominates, leading to impaired glucose tolerance in some untreated patients (272).

 

Drug- or Chemical-induced Diabetes 

 

A large number of drugs can impair glucose tolerance; they may act by decreasing insulin secretion, increasing hepatic glucose production, and/or by causing resistance to the action of insulin (273). Included in this list are several classes of antihypertensive drugs, such as beta blockers (274), protease inhibitors used for the treatment of HIV infection (275), and tacrolimus and cyclosporine used primarily to prevent transplant rejection (276,277). Drugs of the serotonin re-uptake inhibitor (SSRIs) class can lead to obesity, impaired glucose intolerance and T2DM, especially if individuals were already insulin resistant before they started such medications.

 

There is a common association between obesity, insulin resistance, hypertension, and dyslipidemia, which has been called syndrome X or the metabolic syndrome (207,212,278,279). The administration of a thiazide diuretic or a ß-blocker to such patients can exacerbate the insulin resistance and may bring on hyperglycemia (274). In comparison, angiotensin-converting enzyme (ACE) inhibitors and alpha-adrenergic antagonists (such as doxazosin) may improve insulin sensitivity. Because the former also protect against renal disease, they are the drugs of choice for diabetic patients with hypertension.

 

Viral Infections

 

Certain viruses e.g., Coxsackie B4, have been implicated to cause diabetes, either through direct ß cell destruction or possibly by inducing autoimmune damage. The direct proof of this however remains tenuous. Chronic hepatitis C virus infection is associated with an increased incidence of diabetes, but it remains uncertain as yet if there is a cause-and-effect relationship.

 

Uncommon Forms of Immune-Mediated Diabetes

 

Several uncommon forms of immune-mediated diabetes have been identified.

 

  • The stiff-man syndrome is an autoimmune disorder of the central nervous system, which is characterized by progressive muscle stiffness, rigidity, and spasms involving the axial muscles, with impairment of ambulation (280). Patients characteristically have high titers of glutamic acid decarboxylase (GAD65) autoantibodies and diabetes occurs in at least one-third of cases. Graves’ disease is also common in the syndrome. Presentation is usually in early
  • Anti-insulin receptor antibodies can bind to insulin receptors and either act as an agonist, leading to hypoglycemia, or block the binding of insulin and cause diabetes (281). This so-called type B insulin resistance is more common in females who show other signs of autoimmunity including systemic lupus erythematosus (SLE). However one study found that almost 10% of young patients with insulin resistance in the absence of autoimmune stigmata were also positive for insulin receptor autoantibodies (282).

 

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Sexual Dysfunction in Diabetes

ABSTRACT

 

Diabetes is an increasingly prevalent problem that has been associated very strongly with sexual problems in both men and women.  Diabetes has numerous end organ effects and also exerts a substantial psychological toll which may predispose diabetic people to sexual problems.  Erectile Dysfunction (ED) is common in men with diabetes; these men tend to present with more severe and refractory ED compared to non-diabetic peers.  While ED is the best-established diabetes-related sexual dysfunction, ejaculatory and sexual desires issues may also occur in men with diabetes.  Women with diabetes are also at risk for sexual dysfunction.  Sexual health inquiry is an important aspect of diabetes care. Importantly, lifestyle change and close management of diabetes has been associated with improvements in sexual function.

INTRODUCTION

Diabetes mellitus (DM) may lead to disruption of normal sexual function in both men and women via diabetic-induced end organ damage and psychological stress.  There is a strong association between diabetes and erectile dysfunction (ED) in men; ED is the best studied sexual dysfunction but the sexual health ramifications of diabetes extend well beyond erectile pathophysiology. In the Endotext chapter on Male Endocrinology “Medical and Surgical Therapy of Erectile Dysfunction”, Shindel, et al review the pathophysiology, work-up, and treatments for erectile dysfunction of any cause. In this chapter, we will focus specifically on sexual dysfunction in people with diabetes, with particular emphasis on practical information for clinicians.

 

EPIDEMIOLOGY

 

Sexual dysfunction is a common problem that is particularly prevalent in men and women with diabetes.  The presence of sexual dysfunction in type I diabetes has been associated with markedly lower quality of life and psychological distress (1). While, the incidence of sexual problems increases with age (particularly in men but also in women), this is driven primarily by comorbid conditions associated with aging. Examples include smoking, heart disease, high blood pressure, high cholesterol, and diabetes (2). The prevalence of ED in men with diabetes is approximately three and a half times higher than in the general population (3,4). ED may also be the presenting symptom for DM and may predict later neurologic sequelae (5).

 

PATHOGENESIS

 

The pathophysiology of ED in DM is multifactorial, consisting of both vascular, hormonal, and neurologic insults (6). Diabetic neuropathy may impair autonomic and somatic nerve processes essential for erections. Diabetes is also associated with impaired relaxation of cavernosal smooth muscle due to endothelial-derived nitric oxide induced by  glycosylation products (7-8).  A variety of serum markers (e.g., E-selectin, Interleukin-10, reactive oxygen species) have been linked to diabetes-related ED. The clinical utility of these remains ambiguous but they may have future utility as biomarkers for incipient ED pending further study (9).

 

New evidence has suggested that men with diabetes may also be at increased risk of low serum testosterone levels (10,11). The etiology of low T in diabetic men remains unclear but may be secondary to a decline in the levels of pituitary hormones responsible for stimulating testicular production of testosterone (12). Low levels of testosterone may lead to a decline in sexual desire and, directly or indirectly, to ED (13).

 

Men with diabetes should be screened for the presence of low testosterone by checking serum total testosterone. Sex hormone binding globulin and albumin may also be tested to permit assessment for free and bioavailable testosterone (14). The clinical utility of free and bioavailable testosterone remains controversial. The most recent guidelines on testosterone issued by the American Urological Association do not recommend use of free or bioavailable testosterone in clinical decision making (10). The most recent Endocrine Society Guideline states that free/bioavailable testosterone may be worth assessing (via equilibrium dialysis or an accurate estimator) in men with symptoms and low-normal total testosterone (14).

 

Testing for hypogonadism should be performed in the morning hours (between 8 and 11 AM) when serum testosterone is highest (14). The appropriate assay and biochemical cut-off values for “low” testosterone are controversial; generally speaking, symptoms of hypogonadism are progressively more common in men with total testosterone levels less than 320 ng/dL and free testosterone levels lower than 64 pg/mL (15). When assessing a patient with a single report of low testosterone, providers should consider confirmatory testing to include repeat testosterone as well as pituitary hormones (FSH, LH, and prolactin) to rule out central causes of hypogonadism (10,14). Only those patients with biochemically low testosterone AND symptoms potentially referable to hypogonadism (decreased libido, ED, fatigue, decreased bone mineral density, depressed mood, etc.) in which alternative etiologies for symptoms are not readily apparent should be considered for treatment (14).  

 

TREATMENT OF ED WITH PHOSPHODIESTERASE TYPE 5 INHIBITORS (PDE5I)

 

The treatment of ED in general was revolutionized by the introduction of the PDE5 inhibitor (PDE5I) class of medications. The first of PDE5I to obtain United States Food and Drug Administration (FDA) approval was of sildenafil (Viagra®), followed by vardenafil (Levitra®/Staxyn®), tadalafil (Cialis®), and avanafil (Stendra®).

 

All PDE5I are dependent on function of the NO/cGMP pathway. Sexual stimulation provokes the release of nitric oxide (NO) from cavernous nerves and endothelial cells. NO leads to activation of guanylate cyclase, which catalyzes the transformation of GTP to cyclic guanosine monophosphate (cGMP). By a variety of downstream mechanisms, cGMP triggers decreased intracellular calcium with subsequent relaxation of actin/myosin cross bridges and penile smooth muscle relaxation. cGMP is deactivated by conversion to 5 prime guanosine monophosphate, a process mediated by phosphodiesterase type 5 (PDE5)- the predominant functional PDE type found in the penis (16). 

 

PDE5I block the inactivation of cGMP, leading to persistently elevated levels of cGMP and continued smooth muscle relaxation(16). Since the release of NO is mediated by both neuronal and endothelial Nitric Oxide Synthase (NOS), neuropathy and endothelial disease (as may occur with diabetes) blunts the efficacy of PDE5I. This is confirmed clinically as men with diabetes have a poorer response overall to PDE5I than men with ED of other etiologies.

 

A prospective, multi-center, randomized, controlled, double-blinded (RCDB) trial of vardenafil in men with diabetes was carried out by Goldstein, et al (17). The study consisted of 430 men with chronic ED, a hemoglobin A1c (HbA1c) of <12%, and no other serious confounding causes of ED (e.g., radical pelvic surgery, spinal cord injury, etc.). Additionally, patients were excluded if they had unstable coronary disease or other contraindications to PDE5I use. The patients were evaluated using the erectile function (EF) domain of the 15 item International Index of Erectile Function (IIEF), 2 diary questions regarding the patient’s ability to penetrate (SEP2) and have successful intercourse (SEP3), and a global assessment question (GAQ) about whether or not the treatment had improved their erections. There were statistically and clinically significant improvements in all of the evaluated endpoints, with most of the improvements demonstrating a dose-relation. With 20 mg of vardenafil, the EF score was 19 (out of a total possible of 25) and 54% of men were able to complete intercourse, with an overall responder rate (as measured by the GAQ) of 72%. The effect was attenuated in patients with severe underlying ED but improvement remained significant. There was no correlation noted between different strata of HgA1c levels. The drug was well-tolerated with few patients discontinuing the study due to adverse side-effects.

 

A similar RCDB trial of tadalafil in men with diabetes was performed by Saenz de Tejada, et al (18). A total of 191 patients completed this study; evaluated parameters were very similar to the vardenafil study above. Exclusion criteria were also similar to the vardenafil study, except that patient with hypertension and hypercholesterolemia were also excluded in the tadalafil study. As in the vardenafil study, statistically and clinically significant improvements were noted in all of the evaluated parameters for men using tadalafil, regardless of severity of underlying DM or level of HgA1c, with an overall responder rate (as assessed by GAQ) of 64% by those using 20 mg. The drug was also well-tolerated with few discontinuations.

 

A unique study from Denmark attempted to assess the “real-life” use of sildenafil in men with diabetes and ED in terms of how many patients wanted to try an agent, how many were eligible to do so, and how efficacious the medicine was (19).  Examining a population of 326 men seen in an outpatient diabetes clinic, 192 (59%) self-reported ED and 187 of these were over 40 years old. Of these 187 patients, 79 (42%) were excluded because of medical or pharmacologic contraindications to sildenafil use. A further 63 patients either declined to participate in the study or did not respond. This left 45 patients for the study (23% of those patients with self-reported ED). Of these, 10 dropped out due to lack of sexual partner and 2 others without recorded reason. Sixty-one percent of the remaining patients self-titrated to a maximum dose of 100 mg. Of the 33 patients remaining, 36% noted consistent improvement, 27% noted variable improvement, and 36% felt they had no improvement; overall, 54% felt that the medicine had met their expectations. Essentially, just 18 of 187 (9.6%) men over age 40 with DM and ED felt that the medicine met their expectations. This real-world experience should inform conversations regarding PDE5i efficacy in men with DM and ED.

 

In 2008 the US Food and Drug Administration (FDA) approved low-dose (2.5-5 mg) tadalafil as a daily treatment for ED.  Hatzichristou et al. enrolled 298 men with diabetes (89% type 2) and ED in a RCDB lasting 12 weeks and assessed clinical response using the sexual encounter profile questions 2 and 3.  At baseline 38%, 42%, and 32% of men reported the ability to attain an erection sufficient for vaginal penetration (SEP2) in the placebo, 2.5 mg, and 5 mg groups, respectively. The percentages of men in the same groups able to maintain erection until the completion of satisfactory intercourse (SEP3) were 20%, 20% and 16%, respectively. At the completion of the study, men treated with either the 2.5 mg or 5 mg dose of tadalafil manifested greater improvements in SEP 2 (increase from baseline of 5%, 20%, and 29%) and SEP3 (28%, 46%, 41%).  The lower success rate in the 5 mg group was likely accounted for by relatively worse diabetic disease at baseline in that group. Patients treated with tadalafil reported improvements in erection (based on IIEF scores) irrespective of baseline IIEF scores. Patients were significantly more likely to prefer tadalafil treatment compared to placebo (20).

 

In addition to daily dosing as an alternative to on-demand dosing for PDE5I, there has been great interest in recent years in the use of PDE5I not just as a therapy to produce erections but as a means to halt or even reverse the penile tissue damage that leads to ED. Studies in animals with a form of experimentally induced diabetes most similar to diabetes mellitus type 1 have demonstrated enhancement of erectile function and preservation of penile tissue health when treated with either vardenafil or SK-3530 (a novel PDE5I that has not yet been approved for routine in humans) (21,22).  A preliminary study of routine dose sildenafil vs. placebo for 4 weeks in 292 men with type 2 diabetes and ED revealed some improvements in blood tests used to measure oxidative stress in men treated with sildenafil. Unfortunately, there were some differences between the placebo and sildenafil group at baseline and there were no significant erectile function differences after the 4-week course of daily treatment was completed (23). Another study in 20 men with type 2 diabetes but no ED indicated that treatment with sildenafil 25 mg three times a day led to improved vascular function and a decline in blood markers for various types of inflammation and oxidative stress.  The ultimate clinical relevance of these findings is unclear (24). 

 

These encouraging preliminary results will require further assessment before the routine use of PDE5I for reversal of tissue damage can be recommended routinely. A degree of caution is required since, despite a series of encouraging pre-clinical animal studies, routine dose PDE5I for the management of ED related to pelvic surgery has not been proven beneficial for recovery of spontaneous erection responses (25,26).

 

TREATMENT OF ED WITH OTHER MODALITIES

 

Direct administration of vasodilators to the erectile tissue of the penis is a well-established modality for management of ED dating back more than three decades. Commonly used agents include papaverine, phentolamine, and prostaglandin E-1 (PgE1) (27). These agents are often used as combinations (e.g., bimix or trimix) to reduce the adverse effects of each specific agent. 

 

Only PgE-1 has received formal FDA approval for management of ED. Intracavernosal PgE1 injection therapy in men with diabetes and ED was evaluated in a large, multicenter trial by Heaton, et al (28). Over 300 men entered the trial; 83% completed the titration period and proceeding to home use. Of those patients using the medication at home, 79% required 30 micrograms/dose or less, and 72% remained satisfied with the initial dose during the follow-up period (6 months). There were 2 instances of priapism (sustained erection of greater than 4 hours unaccompanied by sexual stimuli) neither of which required intervention, 1 patient developed a penile nodule, and 24% of patients reported penile pain with injection; the pain led to patient drop-out in 5% of the treatment group. A smaller, more recent study with longer follow-up (10 years) found that men with diabetes and ED using penile injections tended to shift towards decreased frequency of use but preferred stronger agents (mixtures of alprostadil with papaverine and/or phentolamine), with men with type 1 diabetes and ED stabilizing their doses within 5 years and men with type 2 diabetes and ED stabilizing within 9-10 years (29).

 

Prostaglandin may also be administered via an intraurethral route; the Medicated Urethral Suppository for Erections (MUSE®) is a urethral prostaglandin suppository.  This treatment has FDA approval and has been used with some success by men with ED.  Side effects include urethral burning, pain, and irritation of the sexual partner’s mucous membranes (30).

 

In patients for whom injection or intraurethral therapy does not work vacuum erection devices (VED) may be useful. There is a paucity of data specifically evaluating the use of VED in men with diabetes and ED but the drop-out rate for patients is generally quite high, even for patients who are able to achieve a rigid erection with the device. One subset analysis found that despite a good response (i.e., firm erection) using VED, only 50% of those couples found the treatment to be satisfactory. This may be due to difficult operating the device and/or a feeling that it is a cumbersome interruption of sexual activity.  Possible local side effects include petechiae (small red dots from broken capillaries), a feeling of having a cold penis, and abnormal sensation of ejaculation (31). Many men also report that their erectile rigidity is sub-optimal with the VED.

 

PENILE PROSTHETICS

 

Penile prostheses are an excellent option for diabetic men with ED refractory to medical management and/or those who cannot tolerate medical management of ED. Prosthesis surgery is irreversible in that the corporal tissue is permanently altered; if the prosthesis is removed without replacement complete ED will almost certainly result. While a variety of exotic materials, flaps, and grafts have been used in the past, most contemporary prostheses are either hollow silicone cylinders that are inflated with saline via pump action or semi-rigid rods (32,33). Of all modalities for management of ED, prostheses have the highest satisfaction rates, with 2 large studies demonstrating greater than 95% satisfaction (34,35). While this high rate of satisfaction is encouraging it must be understood that the population of men who are motivated enough to undergo surgery for erectile function may not be representative of the larger population of ED patients.

 

Although some studies suggest that elevated HbA1c levels may predict a higher rate of infections in men with diabetes having penile prosthesis surgery, more recent studies refute this (36). A large study from Wilson, et al demonstrated that neither diabetic status nor preoperative HgA1c were risk factors for prosthesis infection. A more recent study confirmed that elevated HbA1c is not a risk factor for infection; however, short-term poor glucose control (defined as morning fast glucose levels >200 ng/ml) was associated with more complications (37,38).

 

EXPERIMENTAL THERAPIES FOR ED

 

Low-intensity shock wave therapy (LiESWT) has attracted great interest over the past decade as a novel treatment modality for ED. A number of randomized controlled studies in the general ED population have suggested modest but significant short-term benefit with minimal to no side effect profile (39). 

 

A pooled analysis from 5 double-blind, sham-controlled trials of LiESWT reported on 61 men with diabetes and ED responsive to PDE5I and another 48 men with diabetes and ED NOT responsive to PDe5I. Clinically significant improvements in erectile function were noted in 80%, 77%, and 66% of the PDe5I responsive treated patients at 1-, 6-, and 12-months post therapy.  Importantly, over half (55%) of treated men who had been non-responders to PDE5I were able to achieve erection sufficient for penetration with PDE5I post-treatment (40).

 

These encouraging data merit further research, preferably in a dedicated study of men with diabetes-related ED.  Despite encouraging preliminary data this therapy remains experimental and is currently not recommended outside a clinical trial setting conducted at no or minimal cost to patients (26).

 

TREATMENT OF LOW TESTOSTERONE LEVELS

 

Although there is some controversy over what constitutes a true "low" testosterone level and the best way to measure it, some studies have indicated that men with low levels of testosterone and symptoms consistent with low testosterone (e.g., decreased libido, decreased energy, depression, anxiety, fatigue, weight gain) may benefit from testosterone replacement therapy. The general efficacy of testosterone in improving sexual function (particularly sexual desire and response to PDE5I in cases of initial failure to respond) in appropriately selected patients has been established (41). In addition to improving sexual symptoms in these men, testosterone supplementation may have beneficial effects with respect to lean body mass and insulin sensitivity in diabetic men with hypogonadism (42,43).  A recent small RCDB indicated that 40 weeks of testosterone supplementation did not produce a significant improvement in either sexual desire or erectile dysfunction for obese men with type 2 diabetes (44). A more nuanced finding in a larger population suggested that the testosterone supplementation provides benefit for men with sexual dysfunction and severe testosterone deficiency (defined here as less than 8 nmol/L, approximately 230 ng/dL) who are treated such that trough levels approach 15 nmol/L (approximately 432 ng/dL) (45).

 

A number of different testosterone formulations are available, including intramuscular injections, transdermal creams/gels, buccal tablets, and subcutaneous depots (see the Male Reproduction Section of Endotext for a complete discussion of testosterone replacement therapy). 

 

EJACULATORY DYSFUNCTION

 

Men with diabetes may have sexual disorders other than erectile dysfunction. Examples include diminished sexual desire, lack of ejaculation with sexual climax (anejaculation or retrograde ejaculation), and premature ejaculation. Successful antegrade ejaculation depends on the coordination of three neurologic events: seminal emission, bladder neck closure, and contraction of the muscles of the pelvic floor (e.g., bulbocavernosus, ischiocavernous, etc.) (46). In diabetes, derangements of the nerves controlling closure of the connection between the bladder and urethra may disrupt normal ejaculation. In this situation ejaculate is deposited in the innermost portion of the urethra but the connection between the bladder and urethra does not close. Since the bladder neck is open, some or all of the ejaculate may leak backwards into the bladder during the muscle contractions that normally expel the semen from the penis. In the most severe cases there may be total lack of seminal emission. Either of these conditions will impact fertility.  It may also be a source of psychological disturbance to the man; indeed, some men report that they are not able to fully enjoy orgasm in the absence of ejaculation. 

 

From a fertility standpoint, sperm may be retrieved from post-ejaculate urine and then used for artificial insemination. Alternative strategies to overcome retrograde ejaculation generally focus on attempts to help the bladder neck close.  A variety of pharmacologic agents have also been used, including anticholinergics, antihistamines, and alpha-adrenergics (47,48).  Evidence for efficacy of these interventions in management of retrograde/anejaculation is scant.

 

FEMALE SEXUAL DYSFUNCTION

 

Our understanding of the medical and physiological aspects of female sexual function is poor relative to our understanding of men's sexual physiology and function. It is recognized that diabetes can be detrimental to female sexuality in a multifactorial manner, including both psychologic and physiologic dimensions (49,50).

 

In much of the published literature “Female Sexual Dysfunction” is treated as unitary diagnosis in and of itself.  It is more appropriate to consider that this overarching term encompasses several specific (and overlapping) concerns related to sexual function.

 

The International Society for the Study of Women’s Sexual Health describes: (51)

 

  • Hypoactive Sexual Desire Disorder (HSDD, decreased interest in sex and/or receptivity to sexual initiation by a partner)
  • Female Sexual Arousal Disorder, which can be sub-divided into Female Cognitive Arousal Disorder (difficulty with maintaining mental/emotional arousal responses) and Female Genital Arousal Disorder (difficulty with maintaining genital arousal responses).
  • Persistent Genital Arousal Disorder (unwanted and intrusive feelings of genital arousal)
  • Female Orgasm Disorder (compromise of orgasm frequency or intensity).

 

There are similarities between the molecular processes that mediate both male and female genital engorgement with arousal although the tissue effects of course differ (e.g., vasocongestion of erectile tissues leads to penile erection in men and vaginal engorgement/transudate in women) (52). Caruso et al (53) undertook a RCDB trial of 100 mg sildenafil in type 1 diabetic women with sexual dysfunction. Of the 28 women who completed the trial, significant improvement was seen in both subjective and objective parameters. Subjectively, arousal, orgasm, and dyspareunia were all improved in those taking sildenafil in comparison to baseline and those taking placebo. Color Doppler ultrasonography was performed on the clitoral arteries, revealing an increase in blood flow in these women. The clinical utility of ultrasonography in the evaluation of women with sexual dysfunction is unclear; these results should be interpreted with caution.

 

THE IMPORTANCE OF MANAGING LIFESTYLE FACTORS IN TREATING SEXUAL PROBLEMS IN DIABETES

 

As with most aspects of diabetes care, routine exercise, careful monitoring of glucose levels, and usage of appropriate therapies to prevent hyperglycemia are key to preventing progression of diabetes-induced sexual problems. Weight management and dietary prudence are also critical in the management of diabetes. There is evidence to suggest weight loss may reverse erectile dysfunction in some men. In a study of 65 obese men with ED and the Metabolic Syndrome (MetS, obesity with at abnormalities of blood pressure, abnormal glucose level/diabetes, and abnormal cholesterol levels), eating a "Mediterranean diet" (emphasizing fresh fruit and vegetables) for two years led to normalization of erectile function (as determined by an International Index of Erectile function score greater than 22) in 13 of 35 men compared to 2 of 30 men in the group that did not have dietary manipulation (54). 

 

A similar study in women with sexual dysfunction and MetS showed a significant improvement in mean sexual function (mean increase on the Female Sexual Function Index from 19.7 to 26.1 in the treatment group vs. no change from baseline in the control group). Also noted in both of these studies were improvements in serum insulin and glucose level in men and women who consumed a “Mediterranean” diet (55). A multi-center randomized controlled trial of intensive lifestyle intervention in obese women with type 2 diabetes confirmed that women who had the intervention were: 1) more likely to remain sexually active at one year (83% versus 64% for the intervention versus control group, respectively), 2) improve specific domains of sexual function, and 3) to obtain composite scores on the Female Sexual Function Index that were consistent with low risk for sexual dysfunction (28% of intervention patients versus 11% of controls) (56).

 

CONCLUSION

 

Sexual dysfunctions are common in people with diabetes and may arise from a variety of vascular, neurologic, and hormonal derangements. In terms of managing ED, PDE5I are the first-line agents of choice although the failure rate is higher when compared to men with non-diabetic ED.  Second and third line options may be considered should PDE5I fail. Sexual problems related to diabetes extend beyond ED to include sexual desire and ejaculatory dysfunction in men and a variety of sexual concerns in women. In addition to therapy specifically tailored to sexual concerns, management of underlying diabetic condition may markedly improve sexual quality of life in people with diabetes.

 

SUMMARY

 

  • The cause of ED in men with diabetes is multifactorial, including neuropathy, vasculopathy, and endocrinopathy
  • Men with diabetes should be routinely screened for the presence of low testosterone

 

  • Non-ED sexual dysfunctions are common in people with diabetes

 

  • Medical therapies for ED in men with diabetes are not as successful as in men with ED of other etiologies

 

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Neuroendocrine Control of Body Energy Homeostasis

ABSTRACT

 

The brain integrates the response to a variety of signals of energy need and availability to match food intake with energy expenditure, thereby maintaining body weight stability. Early work with rodent models with disrupted energy balance (generally obesity) identified many hypothalamic genes and signaling pathways that impact energy homeostasis. More recent studies have identified hindbrain circuits that interact with peripheral metabolic signals and hypothalamic circuits to impact energy balance. Feeding, signals of energy utilization, and hormonal signals of energy stores (such as leptin) modulate gene expression and neurotransmission in specialized circuits within the hypothalamus and brainstem to control food intake.  While many of these circuits also control energy expenditure, the effects on body weight that arise from alterations in energy expenditure are generally more modest than the effects of produced by changes in feeding.  Although most of the mechanistic work that defined the systems that control energy balance utilized rodent models, these systems have human orthologs whose disruption produces phenotypes comparable to those observed in rodents, confirming their conserved function.

 

INTRODUCTION

 

Historically, obesity was thought to represent a disorder of voluntary behaviors, (albeit exacerbated by the ready availability of food and the reduced need for energy expenditure afforded by modern societies); many continue to hold this belief even today.  In reality, we now understand that food intake and body weight represent biologically controlled homeostatic variables, much like blood pressure. This understanding flows from the discovery of spontaneously occurring single gene mutations that promote obesity independently of environmental alterations, along with the more recent description of human genetic variants that influence weight gain. Furthermore, research building upon these genetic observations has identified many of the biological systems that mediate the control of energy homeostasis, most of which reside in or converge on the central nervous system (CNS).

 

Changes in body weight reflect an alteration of energy balance, where energy intake (calories from eating or drinking) and energy expenditure (either as locomotor activity, basal metabolism, or thermogenesis) become unequal. For instance, food intake in excess of energy expenditure promotes the accretion of excess weight. Adipose tissue represents the major repository for ingested energy that exceeds immediate needs (1) and excess adipose tissue represents the hallmark of obesity.

 

The energy density of adipose tissue is nearly 10-fold greater than muscle (protein) or liver (glycogen) (2).  The ability to store energy in adipose tissue protects against environmental vicissitudes that might result in starvation, fetal wastage, and the inability to provide sufficient breast milk to the young. Therefore, evolution has likely selected for genetic variants that favor energy storage and conservation. The existence of environments in which excess calories are readily available with minimum or no effort occurred very recently in human evolution, while the human genetic blueprint evolved under the opposite circumstance. Thus, the modern obesity epidemic may represent, at least in part, a physiologic mismatch between the evolutionary pressures that bias toward energy storage and the modern, nutrient- and calorie-rich environment.

 

The brain plays a central role in maintaining energy balance. CNS circuits continuously assess and integrate peripheral metabolic, endocrine and neuronal signals, and modulate both behaviors and peripheral metabolism to respond to acute and chronic needs (3). The brain modifies energy intake and expenditure to match energy demands on an ongoing homeostatic basis, establishing a metabolic “set-point”.

 

A BRIEF HISTORICAL PERSPECTIVE ON THE MECHANISMS THAT CONTROL ENERGY BALANCE

 

Role for the Hypothalamus 

 

The description of Frölich syndrome (hyperphagic obesity and hypogonadism in patients with pituitary tumors) initially suggested that the pituitary gland might control energy balance (4). Others noted that pituitary tumors often impinge on the overlying hypothalamus, however, and suggested that the hypothalamus might represent the main modulator of feeding. Indeed, experiments by Hetherington and Ranson in 1940 demonstrated that lesions of the ventral medial portion of the hypothalamus increased feeding and promoted weight gain in rats, while lesions in the lateral hypothalamus led to decreased feeding and weight loss (5). In addition to demonstrating the importance of the hypothalamus to energy balance, these findings also led Eliot Stellar to suggest the concept of a “satiety center” situated in the ventral medial portion of the hypothalamus and a “hunger center” located in the lateral hypothalamus (6).

 

This two-center model also fits with the notion that two behavioral systems govern feeding: the incentive and reward value system that modulates the wanting and liking of food, and the satiety system that promotes meal termination (associated with the sensation of “fullness”). While these systems are physiologically and anatomically integrated, simplicity often dictates their description and study as distinct entities. We now understand that the meal-terminating systems in the brainstem as well as the brain reward circuits work in conjunction with the hypothalamus to mediate the overall control of food intake and energy homeostasis. Furthermore, recent studies have demonstrated greater anatomic heterogeneity in the hypothalamic systems that control energy balance than suggested by the simple two-center model, as well as revealing finer functional complexity- with distinct subsets of neurons in the hypothalamus controlling individual aspects of food intake and energy expenditure.

 

Genetic Models of Obesity Prove the Lipostatic Model of Energy Balance

 

Animals (including humans) maintain remarkably constant adipose triglyceride stores (7), suggesting that the brain and periphery must communicate to coordinate feeding and energy expenditure so as to maintain this balance. Around the same time that lesioning studies demonstrated the importance of the hypothalamus for the control of energy balance (5, 8), Kennedy proposed the lipostatic hypothesis of hunger: that an inhibitory factor produced by white adipose tissue in proportion to fat mass suppresses eating and body weight gain (9). He further suggested that lesions of the ventral medial hypothalamus increase food intake because of the removal of the site of action of the inhibitory signal from the fat.

 

A strain of mice displaying dramatic hyperphagia and obesity from the time of weaning arose spontaneously at the Jackson Laboratory in 1949-50; the autosomal recessive allele conveying this phenotype was designated obese (ob) (10). Sixteen years later, a phenotypically similar mouse was identified (11). The diabetic state of these latter animals (studied on the diabetes-prone coisogenic KsJ background) distinguished them from ob/ob mice (which had been studied on the relatively diabetes-resistant B6 background), leading to the diabetes (db) designation for the new mutation.

 

Seeking the molecular predicates of the lipostatic system posited by Kennedy (9) and Hervey (12), Douglas Coleman at Jackson Labs performed parabiosis studies coupling the circulation of ob/ob mice to either wild-type or db/db mice (13). While ob/ob mice became lean when joined to a wild type, they died of starvation when joined to a db/db mouse. These findings led Coleman to hypothesize the deficiency of a blood-borne body weight-regulating factor in ob/ob mice and the unresponsiveness of db/db mice to this factor. Specifically, he suggested that the ob locus produced the secreted factor while the db locus encoded its receptor (13,14). In 1994, the Friedman group at Rockefeller University positionally cloned the gene mutated in ob/ob mice and demonstrated that it encoded a secreted factor (which they termed “leptin”) produced primarily by adipocytes (15). Exogenous leptin rescued the phenotype of ob/ob (now, Lepob/ob) mice, and decreased feeding and body weight in wild-type animals.  Soon thereafter, several groups cloned the leptin receptor (LepR) and demonstrated the disruption of the crucial “long” LepR isoform (LepRb) in db/db(Leprdb/db) mice (16–19). 

 

The identification of leptin thus demonstrated the essential veracity of the lipostatic hypothesis. Interestingly, subsequent work has revealed a more complicated biology for leptin (whose absence sends a stronger signal than its excess (see below)), as well as suggesting the existence of additional factors that may contribute to the lipostatic control of food intake and energy balance.

 

THE HYPOTHALAMUS AND THE HYPOTHALAMIC MELANOCORTIN SYSTEM

 

The hypothalamus coordinates a host of homeostatic systems (e.g., sodium and water balance, reproduction, body temperature) in addition to energy balance. Given its need to coordinate these various functions, the hypothalamus must sense a broad array of nutrients, metabolites, hormones, and other factors (20). Of the many distinct nuclei (collections of neuronal cells) in the hypothalamus, the arcuate nucleus (ARC) plays a unique role in sensing peripheral signals. The ARC lies at the base of the hypothalamus adjacent to the median eminence (ME), a circumventricular organ that lies outside the blood brain barrier to permit direct sampling of the blood (20). 

 

Importantly, the initial lesions of the ventral medial hypothalamus reported by Hetheringon and Ranson included the ARC, as well as the ventromedial hypothalamic nucleus (VMH), the dorsomedial hypothalamic nucleus (DMH), and the periventricular hypothalamic nucleus (PVH).  Lesions of the VMH nucleus alone failed to recapitulate the hyperphagic obesity caused by the larger (original) ventral medial lesions (21), suggesting important potential roles in the control of energy balance for one or more of these other hypothalamic nuclei. 

 

The Arcuate Nucleus

 

Its proximity to the ME, together with its projections to deeper hypothalamic areas involved in the control of feeding (e.g., the DMH, PVH and the lateral hypothalamic area (LHA)), suggest that the ARC serves to sense humoral signals and convey this information to downstream structures to modulate homeostatic systems (Figure 1). Indeed, the core of the CNS melanocortin system, which integrates peripheral signals of energy balance and modulates feeding and energy expenditure, lies in the ARC (22).

Figure 1. The hypothalamic melanocortin system. ARC POMC neurons produce aMSH and other POMC-derived peptides that act on downstream MC4R-expressing cells, such as PVH MC4R cells that play crucial roles in the suppression of food intake. ARC AgRP neurons (which also contain the inhibitory neurotransmitters NPY and GABA) release AgRP to antagonize MC4R signaling (increasing food intake) and also inhibit other PVH neurons to increase food intake and decrease energy expenditure. Signals of energy surfeit (including leptin) promote POMC neuron action; serotonin (5HT) also promotes POMC neuron action via 5HTR2c on these cells. In contrast, leptin inhibits AgRP cells, while orexigenic ghrelin also activates them. Not only does leptin act directly on these cells, but leptin action on unidentified LepRb/GABA neurons represents a major modulator of the melanocortin system.

Ay  Reveals the Role for the CNS Melanocortin System in Energy Balance  

 

In 1902, French geneticist L. Cuenot described the obese Yellow (Ay/a) mouse. Also termed ‘lethal yellow’ because homozygotes for Ay die before birth, Ay was bred by mouse fanciers in Europe beginning in the 1800s, and was notable for the dominant inheritance of a striking yellow coat, along with obesity proportional to the intensity of the yellowness of its coat (23). In 1960, another spontaneous mutation at the agouti locus arose in the Jackson Laboratory colony- viable yellow (Avy) (24). Expression of the wild-type agouti gene (a) normally occurs intermittently in the hair follicle, generating alternate yellow and black pigment bands of the resulting hair, producing the agouti coat color (25). The original Ay mutation represents a deletion within the gene encoding the RNA-binding protein Raly (Raly), which fuses the constitutively active Raly promoter to the agouti gene, resulting in constitutive ectopic overexpression of agouti in all somatic (including brain) cells (26).  Avy also results from ectopic overexpression of agouti- due to the insertion of a retrovirus-like repetitive intracisternal A particle (IAP) into a noncoding exon of agouti (27).

 

The agouti locus encodes agouti signaling protein (ASP), a peptide with high affinity for melanocortin receptors. The yellow coat color of the Ay/a mouse results from continuous overexpression of ASP in the skin, which blocks alpha-melanocyte-stimulating hormone (α-MSH) signaling at melanocortin-1 receptors (MC1R) in the hair follicle (25,28). Since α-MSH activates melanocytes to initiate the synthesis of eumelanin (black pigment) instead of phaeomelanin (yellow pigment), antagonism of α-MSH/MC1R signaling by ASP elicits a yellow coat color.

 

The brain also contains a melanocortin system, and this CNS melanocortin system controls energy balance (22).  ICV administration of α-MSH or other melanocortin agonists decreases food intake and body weight (29).  Overexpression of ASP in the Ay/a brain antagonizes the anorectic action of α-MSH signaling and blunts the activity of brain melanocortin receptors, thus causing hyperphagia.

 

Melanocortin Peptides and Receptors

 

The post-translational modification and cleavage of the proopiomelanocortin (POMC) precursor peptide produces several melanocortin peptides, including adrenocorticotrophic hormone (ACTH), α-MSH (more prominent in rodents), ß-MSH (more prominent in humans) and γ-MSH; POMC processing also produces the opioid peptide, ß-endorphin (22). Within the CNS, the major population of POMC-producing cells resides in the ARC (a smaller population of brainstem POMC neurons may produce low levels of POMC and plays unclear roles in brain melanocortin signaling) (22).  CNS melanocortin peptides act via the melanocortin-3 and -4 receptors (MC3R and MC4R) on target neurons. The ARC also contains neurons that produce agouti-related protein (AgRP, an antagonist/inverse agonist for MC3R and MC4R), along with the inhibitory neurotransmitters neuropeptide Y (NPY) and gamma amino butyric acid (GABA) (30),(31). Thus, the core of the CNS melanocortin system comprises anorexigenic (appetite–suppressing) ARC POMC neurons, opposing orexigenic (hunger-inducing) ARC AgRP neurons, and MC3R and MC4R-containing target neurons throughout the CNS (22) (Figure 1).

 

ARC POMC Neurons 

 

Signals of positive energy balance, such as leptin, tend to activate POMC neurons and increase their Pomcexpression (32). Artificially activating ARC POMC neurons decreases food intake (33,34). While ARC POMC neurons also contain the neuropeptide CART (and a few POMC neurons contain various amino acidergic transmitters) (35,36), most data suggest that melanocortin peptide action mediates the majority of the POMC neurons’ ability to suppress food intake and increase energy expenditure (37). The ablation of ARC Pomc expression promotes hyperphagic obesity similar to that of Ay mice (34),(38).  The first evidence for a human melanocortin obesity syndrome resulted from the astute recognition of a rare agouti-mouse–like syndrome in two families, resulting from null mutations in the POMC gene (39–41).  These patients have ACTH insufficiency, red hair, and obesity, resulting from the lack of ACTH peptide in the serum and a lack of melanocortin peptides in skin and brain, respectively. This obesity syndrome demonstrated that the CNS melanocortin circuitry subserves energy homeostasis in humans as it does in the mouse. 

 

The predictable, monogenetic heritability of the hyperphagic and obese phenotype caused by Ay, ob, and dbdemonstrates the genetic underpinnings of feeding control and overall energy balance. The subsequent finding that the orthologs of rodent obesity genes control body weight in humans confirms that biologic/genetic factors control feeding and the predisposition to obesity in humans, as well as in rodents (42).

 

ARC AgRP Neurons 

 

Fasting and signals indicating negative energy balance activate ARC AgRP neurons, while signals of positive energy balance (e.g., leptin) inhibit these cells. ARC AgRP neuron activation promotes feeding and decreases energy expenditure, while neuronal ablation results in lethal anorexia, consistent with the strong orexigenic nature of these cells (43,44). AgRP acts as an inverse agonist at MC3/4R, decreasing receptor activity and thus promoting positive energy balance by increasing food intake and decreasing energy expenditure (25). While the ablation of Agrp and/or Npy in ARC AgRP neurons minimally affects energy balance in wild-type animals, it attenuates the obesity of leptin-deficient animals (45). In contrast, blockade of GABA release from these neurons, via the cre recombinase-mediated deletion of the vesicular GABA transporter (vGat), results in leanness and interferes with the response to food restriction, suggesting that these neurons (and especially GABA release therefrom) are crucial for promoting food intake, especially in response to signals of negative energy balance (46). Importantly, the ARC contains additional populations of (non-AgRP-containing) GABA neurons that may mediate orexigenic signals in a manner similar to AgRP cells (47).

 

Downstream Targets of the ARC Melanocortin System 

 

Melanocortin-mediated stimulation of MC3/4R decreases food intake and increases energy expenditure to promote negative energy balance in animals and humans (48–50). Mice null for Mc4r display substantial hyperphagia and increased adiposity/body weight, and also display increased linear growth, as is characteristic of Ay/a mice (51). Mc3r-null mice display a more modest energy balance phenotype than Mc4r-null mice, with only modestly increased adipose mass, decreased lean mass, reduced fast-induced refeeding (52,53), elevated basal and fasting-induced corticosterone (53), and defects in circadian rhythms and meal entrainment (54).  Thus, MC4R represents the major melanocortin receptor that mediates the control of food intake and body weight.  Regions that contain large populations of MC3R- and MC4R-expressing neurons include the PVH, LHA, DMH, VMH, and ARC (the VMH and ARC contain MC3R only) (55).

 

While a syndrome resulting from MC3R mutations in humans has not yet been definitively identified, MC4R clearly plays an important role in the control of body weight in humans, as well. Heterozygous frameshift mutations in the human MC4R locus associate with physical findings virtually identical to those reported for the mouse (51), with increased adipose mass, increased linear growth and lean mass, hyperinsulinemia greater than that seen in matched obese control subjects, and severe hyperphagia. MC4R haploinsufficient adults also exhibit reduced sympathetic tone and mild hypotension (56).  MC4R haploinsufficiency in humans represents the most common monogenic cause of severe obesity, accounting for up to 5% of cases (57–59).

 

Site-specific deletion studies have demonstrated a crucial role for MC4R in the PVH for the control of food intake and energy balance (60,61).  While AgRP neurons project to and inhibit ARC POMC neurons via direct GABA action (62), this projection appears to play little role in the promotion of feeding by AgRP neurons (63). Rather, AgRP neurons most strongly increase feeding via their projections to the PVH (LHA projections also participate)(64).  Thus, the PVH plays crucial roles in the control of feeding by POMC and AgRP neurons. 

 

Interestingly, while AgRP neuron activation promotes feeding most strongly via the PVH, AgRP neuron inhibition decreases food intake at a distinct site: detailed studies of animals ablated for AgRP neurons demonstrate that the withdrawal of GABAergic inhibition from cells in the brainstem parabrachial nucleus (PBN) mediate this affect (65)(See below for additional details).

 

Paraventricular Nucleus of the Hypothalamus (PVH)

 

The PVH represents a major output nucleus for the hypothalamus, from which integrated information is transmitted to effector systems, such as the pituitary gland, the autonomic system, and behavioral control circuits (66,67). The identification of small deletions or translocations at the human Single-minded-1 (SIM1) locus on chromosome 6 in three young obese patients suggested a crucial role for the PVH in energy balance in humans (68). SIM1 encodes a transcription factor that is expressed throughout the PVH and is required for the development of the PVH (68). While homozygous deletion of Sim1 is embryonic lethal in mice, animals heterozygous for Sim1 are normal until 4 weeks of age, when they develop hyperphagic obesity (69). These mice display reduced numbers of neuronal nuclei in the PVH with a proportional decrease in overall size of the PVH. Presumably, the decreased number of PVH neurons in Sim1haploinsufficiency diminishes anorexic “tone” from the PVH, leading to hyperphagia and obesity in mice as well as in rare human patients with SIM1 mutations.

 

As with other hypothalamic nuclei, the PVH contains a constellation of diverse neuronal subtypes. Identifying the PVH subpopulations that mediate effects on food intake and energy expenditure represent a crucial research direction. Unsurprisingly, PVH MC4R neurons potently suppress food intake (60,61,70). Interestingly, however, PVH-projecting ARC AgRP neurons regulate cells that lack MC4R (in addition to regulating MC4R neurons), suggesting the existence of additional PVH populations that play roles in the control of energy balance (71). Nos1-expressing PVH cells represent one important subset of appetite-regulating non-MC4R PVH cells (72).  Other important non-MC4R PVH neurons include prodynorphin (Pdyn)-expressing cells (71). 

 

Prominent populations of PVH neurons include those that contain hormones/neuropeptides, including oxytocin (OXT),corticotropin releasing hormone (CRH), and thyrotropin releasing hormone (TRH), arginine vasopressin (AVP), and oxytocin (OXT) (61,64,70,73).These peptides also control other endocrine and CNS functions: TRH and CRH stimulate the thyroid and adrenal axes, respectively; AVP contributes to fluid balance; and OXT regulates uterine function and social interactions (74–78).  While these peptidergic PVH neurons do not contain MC4R, the injection of OXT into the hindbrain promotes satiation (64). Genetic data from mice argue against an important role of OXT or OXT neurons in energy balance, however. Not only do Oxt-null animals display no alteration in feeding or energy balance, but neither the activation nor the ablation of PVH OXT neurons in adult animals alters food intake (72,79).  Furthermore, all of these peptide-containing PVH populations are only weakly anorexigenic in mice, and OXT, AVP, and CRH neurons do not mediate melanocortin responses (61).  Thus, peptidergic PVH neurons play little role in the control of feeding, at least in mice, while distinct Mc4r-, Nos1-, and Pdyn-containing PVH neurons (along with potentially other PVH neuron types that will be important to identify) play crucial roles in the control of feeding and energy balance. Interestingly, a recent GWAS analysis identified a polymorphism near the human anaplastic lymphoma kinase (ALK) locus that correlates with thinness. Decreased expression of this gene reduces adiposity in a variety of animal models and Alk expression in the PVH appears to mediate its effects on body weight (80).  Identifying the cell type(s) that mediate the effects of Alk on body weight will be very informative.

 

Dorsomedial Nucleus of the Hypothalamus (DMH)

 

The DMH has long been implicated in energy balance regulation, as well as in the modulation of body temperature, arousal and circadian rhythms of locomotor activity (81). This nucleus receives direct input from the ARC and also contains LepRb-expressing neurons (82,84). While the exact molecular phenotype(s) of energy balance-regulating DMH cells remain poorly defined, recent studies have suggested that the LepRb-containing cells in this region play crucial roles for maintaining energy balance (85).  Indeed, the viral-mediated disruption of DMH LepRb in adult mice augments food intake and promotes obesity (86).  Furthermore, subpopulations of GABAergic DMH neurons play important roles in the leptin-mediated control of ARC POMC and AgRP cells (and thus, food intake) (85,87,88).  TrkB-containing DMH neurons also contribute to the control of homeostatic feeding behavior (89). Thus, while details continue to emerge, the DMH plays crucial roles in leptin action, the control of the hypothalamic melanocortin system, food intake, and overall energy balance. 

 

Ventromedial Nucleus of the Hypothalamus (VMH)

 

The VMH contains neurons that express LepRb, MC3R and other receptors involved in body weight regulation. Neurons in the dorsomedial portion of the VMH (dmVMH) express the transcription factor, steroidogenic factor 1 (Sf1; Nr5a1) (90). Although Sf1-deficient mice were first described in 1994, their early death due to adrenal insufficiency initially prevented the study of these mice in adulthood. Later, adrenal transplantation enabled the long-term survival of these mice, permitting the detection of late-onset obesity in Sf1-deficient mice (91), consistent with a role for the VMH in the control of energy balance. The obesity of Sf1-null mice results largely from decreased energy expenditure, however (91). Furthermore, Sf1-cre-mediated ablation of LepRb doesn’t alter food intake, but rather decreases energy expenditure (thereby accentuating obesity in high-fat diet-fed animals) (92). Many Sf1-containing VMH neurons contain the neuropeptide PACAP (the product of the Adcyap gene), which contributes to the control of energy expenditure (93). Thus, Sf1-mediated manipulation of the dorsomedial VMH has revealed a crucial role for this region in overall energy balance, albeit by the modulation of energy expenditure, rather than food intake.  Indeed, the dmVMH is generally thought to serve as an autonomic control center that modulates a variety of parameters driven by the sympathetic nervous system (SNS). In addition to controlling energy expenditure, the dmVMH also plays important roles in nutrient mobilization (as during the response to hypoglycemia) (94–97).

 

Lateral Hypothalamic Area (LHA)

 

While a network of systems that suppress food intake (albeit in a manner antagonized by AgRP neurons) reside in the ARC, DMH, and PVH, the LHA is often thought of as a region that promotes feeding. Well-known LHA neuronal subtypes include two distinct sets of excitatory neurons that receive input from leptin and melanocortins and contribute to the control of feeding and energy balance.  One population contains the neuropeptide melanin concentrating hormone (MCH; not related to POMC or any of its derivative peptides) (98). First studied in mammals because of the increased expression of Mch mRNA in Lepob/ob and fasted mice, administration of MCH increases food intake and body weight gain and decreases energy expenditure(98). Furthermore, animals null for Mch (or its receptor) are lean (99). The MCH receptor localizes to the primary cilium, and some of the effects of ciliopathies on adiposity may be conveyed by effects on this receptor (see discussion of ciliopathies below).

 

A distinct set of LHA neurons contain the neuropeptide, hypocretin (HCRT; also known as orexin) (100,101). Based upon early acute pharmacologic studies, HCRT was originally conceived of as an orexigen, since HCRT stimulates food intake when injected centrally during the light cycle. Consistently, fasting increases Hcrt mRNA expression and activates HCRT neurons (101). Subsequent work has revealed that animals null for HCRT or its receptors become mildly obese without observable alterations in food intake, however (102). Furthermore, mice (and dogs and humans) null for Hcrt or lacking HCRT neurons exhibit narcolepsy and increased body weight and adiposity (103). Thus, rather than having a primary role in the control of feeding, HCRT neurons promote alertness and activity, and most of the effect of Hcrt mutation on energy balance results from decreased physical activity and energy expenditure, while HCRT administration promotes activity (and food intake) during the resting phase of the diurnal cycle.

 

The LHA also contains LepRb neurons that control HCRT neurons; these contain neurotensin and lie intermingled with the HCRT cells (104-107). Ablation of LepRb from these LHA cells prevents the normal regulation of HCRT neurons and results in decreased locomotor activity and energy expenditure. Both LHA LepRb neurons and HCRT cells project to the ventral tegmental area (VTA), which contains a large number of dopaminergic neurons that represent the core of the mesolimbic reward system (see below for further discussion of reward pathways). Thus, while lesioning studies suggest that the integrity of the LHA is required for motivation and normal feeding behavior, most data suggest that it plays little role in the normal modulation of food intake.    

 

PERIPHERAL SIGNALS THAT MODULATE ENERGY BALANCE VIA THE HYPOTHALAMUS

 

Homeostatic regulation of energy balance requires the brain to maintain appropriate energy levels by monitoring peripheral signals of energy status and metabolism to modulate food intake and a variety of autonomic and neuroendocrine determinants of energy utilization. This requires the ability to sense circulating signals of metabolic status.

 

Leptin

 

The discovery of leptin revealed the existence of an endocrine system that senses and modulates adipose stores. Disruption of leptin signaling results in hyperphagia and obesity, and leptin administration to leptin-deficient Lepob/obmice (but not LepRb-null Leprdb/db animals), reduces food intake and adiposity, sparing lean tissue (108–110). While the role for leptin in the control of appetite and adiposity initially dominated the thinking about its biology, it has become clear that the effects of elevated leptin are not as dramatic as those of low leptin. Indeed, diet-induced obese rodents and humans remain obese despite exhibiting high circulating concentrations of leptin, commensurate with their high levels of leptin-producing adipose tissue (111,112). In contrast to the Lepob/ob mice, where leptin administration results in remarkable reversal of the obesity phenotype, increasing leptin to supraphysiologic levels in normal animals only modestly and briefly blunts food intake and body weight. Likewise, supraphysiological doses of leptin promote only modest effects on body weight in obese and non-obese humans(113). Thus, the absence of leptin conveys a more powerful signal than does its excess.

 

Lepob/ob mice (and their leptin-deficient human counterparts) display additional phenotypes, including impaired growth and gonadal axis function, diminished immune function, infertility, and decreased activity and energy expenditure - all of which are reversed by leptin treatment (114,115). The lack of leptin also promotes increased hepatic glucose production, and leptin treatment suppresses hyperglycemia in several models of insulinopenic diabetes (116,117). Lipodystrophic people and transgenic animals that similarly lack adipose tissue exhibit leanness and low leptin levels, as well as hyperphagia, insulin resistance, diabetes and other endocrine and metabolic abnormalities that are not corrected by caloric restriction (109,110,118). Leptin replacement therapy to correct low leptin concentrations represents an important treatment for lipodystrophy syndromes in humans, decreasing their hunger and improving their endocrine and metabolic abnormalities (119).

 

This constellation of phenotypes resulting from low leptin mirrors the physiologic response to starvation and leptin treatment attenuates many of these consequences of very low adiposity (115). Thus, normal leptin concentrations signal the repletion of energy (fat) stores to mitigate hunger and enable energy expenditure, while low leptin indicates the dearth of adipose reserves and promotes food-seeking and the conservation of remaining fat by reducing energy expenditure.

 

THE NEUROBIOLOGY OF LEPTIN   

 

The similar phenotypes of Lepob/ob and Leprdb/db mice (along with the inability of leptin to alter physiology in Leprdb/dbmice) indicates that leptin action on LepRb-expressing cells must mediate its effects. Consistent with its behavioral effects (e.g., on feeding) and its effects on the neuroendocrine and autonomic systems, most LepRb-expressing cells lie in the brain (83,84). Similarly, ablation of LepRb in the CNS promotes hyperphagia, neuroendocrine failure, and obesity (120). Some cells outside of the CNS might express LepRb, but the physiologic role for leptin action on these non-CNS cells remains unclear.

 

Within the brain, the majority of LepRb-expressing neurons reside within the hypothalamus and brainstem, consistent with the known roles for these structures in the control of feeding, endocrine and autonomic function (83,84,121). Pan-hypothalamic ablation of LepRb promotes a phenotype very similar in quality and magnitude to that of Leprdb/dbanimals (122). Furthermore, ablation of LepRb from broadly-distributed hypothalamic vGat- or Nos1-expressing neurons promotes dramatic hyperphagia and obesity (123,124). Smaller, more circumscribed sets of hypothalamic LepRb neurons have also been implicated in body weight control as well. Within the ARC, early developmental removal of LepRb specifically in POMC and AgRP neurons modestly increases feeding and adiposity (125,126). Interestingly, removal of LepRb from AgRP neurons in adult animals results in robust hyperphagia, obesity and diabetes, suggesting that developmental processes can largely compensate for the early lack of direct leptin action on AgRP neurons (127). Ablation of LepRb in the Sf1-expressing VMH blunts the increase in energy expenditure that accompanies increased adiposity, and deletion of LepRb in the LHA diminishes motor activity and promotes obesity (92,106,128). LepRb neurons in the ventral premammillary nucleus (PMv) play roles in reproduction (129). Importantly, functions for many additional groups of LepRb cells in the hypothalamus (especially in the DMH) have yet to be determined.  Currently, LepRb neurons in the ARC and DMH are thought to play the most important roles in the control of feeding and energy balance by leptin.

 

THE MOLECULAR BIOLOGY OF LEPTIN   

 

Alternative splicing of the Lepr transcript produces multiple isoforms of the receptor: LepRa, -b, -c, -d, etc (Figure 2). The Leprdb mutation mouse results from a splicing defect that causes the LepRa-specific exon to be inserted into the mRNA that encodes LepRb, preventing translation of the LepRb-specific coding sequences and producing LepRa in place of LepRb (16–18). Because the Leprdb/db mouse synthesizes all leptin receptor isoforms except LepRb, LepRb must be crucial for the control of energy homeostasis (130). Indeed, restoration of LepRb on a background null for all other LepR isoforms restores energy balance (19). 

Figure 2. LepR isoforms and signaling. LepRa (Ra) represents the mostly highly expressed short form of LepR; LepRb (Rb) is the long form. Exon 17 contains half of a Jak docking site (BOX1) common to Ra, Rb and Rc, while exon 18b contains additional motifs required for full Jak2 binding (BOX2) and STAT3 signaling (31,33). Circulating leptin binding protein consists of extracellular domain that has been cleaved from the cell surface, along with the LepRe splice variant that lacks a transmembrane domain. Humans do not generate the splice variant, so that all LepRe is produced by cell surface cleavage, presumably by membrane associated metalloproteases (33). LepRa, -c, -d and the other so-called “short” isoforms contain the same first 17 exons as LepRb, but diverge within the intracellular domain. LepRb is the only isoform that mediates classical Jak-STAT signaling, as this isoform alone contains the motifs required to interact with Jak2 and to bind STAT proteins for downstream signaling (Figure 1) (34). While the function of LepRb is clear, the functions of the short isoforms are not, although they have been speculated to function in leptin transport into the brain and/or a source of cleaved, circulating extracellular LepR (which, along with LepRe comprises the major circulating leptin-binding protein) (35).

LepRb, like other type 1 cytokine receptors, activates a JAK family tyrosine kinase (JAK2) to initiate signaling (130). Subsequently, tyrosine phosphorylated residues on LepRb recruit STAT proteins, which are then phosphorylated by JAK2 to promote their trafficking to the nucleus. In the nucleus, STATs bind DNA and modulate gene expression. STAT3 mediates the majority of leptin action, since disruption of the binding site for STAT3 on LepRb causes a severe obesity phenotype in mice that is similar to the obesity syndrome of Leprdb/db mice (131). Similarly, disruption of Stat3in the forebrain or in LepRb-expressing neurons results in obesity in mice (132,133). While the brain-wide disruption of the genes encoding both isoforms of STAT5 (STAT5a and STAT5b) causes mild late-onset obesity, the disruption of Stat5a/b specifically in LepRb neurons produces no detectable phenotype, suggesting that STAT5 signaling is not required for leptin action in vivo (134–136). STAT5 represents a major mediator of GM-CSF signaling, however, and mice null for GM-CSFR in the brain are obese, suggesting that the role for STAT5 in energy balance may be linked to the action of GM-CSF or other cytokines different than leptin (135).

 

Insulin

 

Like leptin, insulin circulates in proportion to fat mass, and alters neuropeptide expression in the hypothalamus via receptors located in the ARC, PVH, and DMH (137). ICV insulin has been reported to decrease food intake in rats and mice. Furthermore, mice deleted for insulin receptor (Insr) throughout the CNS display a modest late-onset obesity (more prominent in females), and are more susceptible to diet-induced obesity than wild-type mice (138). In addition, insulin acts centrally to decrease hepatic glucose output, in part via the inhibition of AgRP neurons (139,140).

 

The insulin receptor (INSR), a tyrosine kinase, recruits and tyrosine phosphorylates insulin receptor substrates (IRS proteins; IRS-1, -2, -3, -4) which engage downstream signals, including the phosphatidylinositol 3-kinase (PI3-kinase) pathway. Deletion of Irs1 interferes primarily with peripheral insulin action and the growth axis, Irs3 is rodent-specific and adipocyte-restricted, and the deletion of Irs4 minimally alters energy balance (141).  In contrast, deletion of Irs2causes insulin-deficient diabetes (due to islet failure) and obesity. Restoration of Irs2 in the islets of Irs2-null mice or brain-specific ablation of Irs2 results in normoglycemic obesity, consistent with a role for brain IRS2 signaling in energy balance (142). While leptin modulates the IRS-protein/PI3-kinase pathway and the deletion of Irs2 from LepRb-expressing neurons promotes obesity (albeit a milder form of obesity than observed in animals deleted for Irs2throughout the brain), deletion of Irs2 does not interfere with leptin action, suggesting that IRS2 may primarily play a role in brain insulin action (143).

 

A variety of subunits and downstream effectors of the PI3-kinase signaling pathway have also been deleted in several neuronal populations in mice (144). These produce phenotypes generally consistent with the notion that PI3-kinase is important for the proper function of the POMC and AgRP neurons that modulate energy balance- at least in part by controlling the firing of these important neurons.

 

Modulators of Insulin and Leptin Signaling

 

Many of the molecular signaling pathways that inhibit insulin and leptin action overlap. Protein tyrosine phosphatase-1B (PTP1B, a.k.a., PTPN1) dephosphorylates cognate tyrosine kinases (including those associated with INSR and LepRb) to terminate signaling (145,146). In addition to exhibiting increased insulin sensitivity, mice lacking Ptpn1 are lean compared to controls and exhibit resistance to weight gain on a high-fat diet, suggesting increased leptin action in these animals. Indeed, animals null for Ptpn1 throughout the brain (or specifically in LepRb or POMC neurons) demonstrate increased leanness and enhanced leptin action (147,148). In addition to PTP1B, the tyrosine phosphatase, TCPTP, which directly dephosphorylates STAT3, contributes to the attenuation of LepRb signaling. Furthermore, obesity and elevated leptin increase the expression of Ptpn2 (which encodes TCPTP), and the deletion of neuronal Ptpn2 decreases body weight, increases leptin sensitivity, and blunts weight gain in DIO animals (149). Moreover, the combined deletion of Ptpn1 and Ptpn2 in the brain augments leanness and further attenuates weight gain in DIO mice (149).

 

Suppressors of Cytokine Signaling (SOCS proteins, e.g., SOCS1 and SOCS3) bind to activated cytokine receptor/Jak2 kinase complexes (including the LepRb/Jak2 complex) to mediate their inhibition and degradation (150). SOCS proteins may also inhibit INSR and other related tyrosine kinases. Leptin signaling via STAT3 promotes Socs3expression in hypothalamic LepRb neurons; SOCS3 protein binds to phosphorylated Tyr985 of LepRb to attenuate LepRb signaling (151). The leanness of mice containing a substitution mutation of LepRb Tyr985 and the similar phenotype of mice lacking Socs3 in the brain or in LepRb neurons highlight the importance of these mechanisms of feedback inhibition for the control of energy balance (152,153). While LepRb Tyr985 also mediates the recruitment of the tyrosine phosphatase SHP2 (aka, PTPN11), data from cultured cells suggest that SHP2 mediates ERK pathway signaling by LepRb, and disruption of Ptpn11 in the brain, in LepRb neurons, or in POMC neurons, promotes obesity (130) (Figure 3).

Figure 3. Signaling by and inhibition of LepRb and InsR. LepRb, which exists as a preformed homodimer in complex with the Jak2 tyrosine kinase, recruits and phosphorylates (pY) STAT3 via phosphorylated pY1138 to control many aspects of energy balance. InsR, which also exists as a preformed dimer, but has intrinsic tyrosine kinase activity, autophosphorylates the juxtamembrane Tyr960 to recruit the insulin receptor substrate (IRS) proteins IRS1-IRS4. IRS-proteins strongly activate the phosphatidylinositol 3-kinase (PI3K), which play roles in the brain control of energy balance and glucose homeostasis. Leptin also activates PI3K, albeit much more weakly than InsR, and by undefined mechansims. Both LepRb and InsR activate the ERK pathway. The adapter protein, SH2B1 also enhances signaling by both receptors. In addition to decreasing food intake and increasing energy expenditure, LepRb-mediated STAT3 signaling promotes the expression of SOCS3, which acts as a feedback inhibitor of LepRb and InsR signaling. A variety of tyrosine phosphatases also inhibit the activity of both receptors.

SH2B1 binds to activated Jak2, as well as to INSR, TrkB, and a few other receptor tyrosine kinase complexes to increase their activity and mediate aspects of downstream signaling (154). Sh2b1-null mice display a complex phenotype that includes obesity; brain-specific absence of Sh2b1 also promotes obesity in mice (155,156). Thus, SH2B1 signaling in the brain is required for energy balance, perhaps due to its requirement for correct signaling by multiple receptors involved in energy homeostasis. Furthermore, the phenotype of several human patients with morbid obesity, developmental delay, and behavioral disorders are associated with chromosomal deletions (16p11.2) or coding variants involving SH2B1 (157). Indeed, GWAS studies have suggested a role for common variants in SH2B1in human obesity (59).  While the deletion of Sh2b1 from LepRb neurons in mice promotes obesity, this effect may be independent of leptin action (158), suggesting that SH2B1 impacts energy balance via its actions on other growth factor receptors.

 

Potential Roles for Other Adipokines and Anorexigenic Signals

 

Several lines of evidence suggest the existence of peripherally-derived anorexigenic signals in addition to leptin and insulin.  First, because continuous administration of high levels of exogenous leptin in wild-type animals only slightly and transiently decreases feeding, while wild-type animals starve themselves to death during parabiosis to Leprdb/dbanimals (13,108,113,159), , there likely exists an additional hormonal signal that suppresses food intake (albeit one that requires leptin for its action).  Additionally, the forced overfeeding of animals results in multi-day anorexia even in the absence of increased leptin concentrations (160).  Although it is not clear that this second anorectic signal derives from adipose tissue, fat produces many signaling molecules in addition to leptin, some of which, like leptin, are cytokines (adipose-derived cytokines, or “adipokines”).  While the adipokines adiponectin and resistin can alter feeding when injected into the brain (161,162), neither can suppress food intake to the extent observed in parabiosed or overfed animals.  Thus, additional anorexigenic signals remain to be discovered.

 

The Orexigenic Ghrelin System

 

The diurnal release of ghrelin, which derives from the stomach, coincides with the initiation of meals and decreases over the course of each meal (163).  Acutely administered ghrelin causes animals and humans to consume larger meals than normal, while chronic ghrelin administration results in obesity in rodents (164–167). As would be expected, most obese humans have low levels of circulating ghrelin, whereas levels are elevated in patients with anorexia nervosa (168). 

 

The growth hormone secretagogue receptor (GHSR) serves as the receptor for the acylated (active) form of ghrelin (which is acylated (octanoylated) by ghrelin O-acyl transferase (GOAT) in the cells that synthesize it) (169).  Ingested fatty acids are required for ghrelin acylation, so that active ghrelin only increases prior to meals in animals that have fed over the prior 24 hours.

 

ARC AgRP neurons express high levels of GHSR, and ghrelin activates these cells.  Indeed, ghrelin action on AgRP neurons mediates the majority of the anorectic response to ghrelin (170,171).  Consistent with the modest baseline phenotypes of mice null for the individual neurotransmitters employed by AgRP/NPY neurons, mice null for ghrelin, GHSR, or GOAT beginning early in embryogenesis exhibit no detectable alterations in baseline energy balance, and only modest defects in refeeding (172), presumably due to compensatory processes that alter the function of AgRP neurons during development. Apart from its actions on neurons in the ARC, ghrelin administration into other areas of the brain (i.e. PVN, LHA, ventral tegmental area (VTA), dorsal vagal complex) can also stimulate positive energy balance (173–176).

 

THE HINDBRAIN CONTROL OF FEEDING

 

Most consider the hypothalamus to play a dominant role in the long-term control of food intake.  Indeed, leptin, the hormonal signal of long-term energy stores, mediates its largest effects on food intake and energy balance via the hypothalamus (122,177).  In contrast, hindbrain circuits respond robustly to signals of gut status (including stretch, nutrients, and toxins/irritants) to control meal termination and thus meal size. 

 

Humoral signals from the gut act on the hindbrain area postrema (AP), which lies outside the blood-brain barrier at the base of the fourth ventricle in the caudal medulla.  Other gut signals are conveyed to the hindbrain via afferent vagal fibers (whose soma lie in the nodose ganglion) (Figure 4).  These signals converge on the nucleus tractus solitarius(NTS) and promote meal termination (178,179).  Interference with components of this system (e.g., vagotomy) increases meal size, although compensatory changes in meal frequency (presumably directed by the hypothalamus) often dictate that food intake and energy balance remain constant over the long-term (180). Outputs from the AP and NTS include the dorsal motor nucleus of the vagus (DMV), which sends parasympathetic signals to the gut to alter motility.  Projections to more rostral regions, including the PBN and hypothalamic sites (including the PVH and DMH) also play roles in the suppression of food intake.

Figure 4. Emerging circuitry of gut-brain pathways that control food intake. A variety of signals converge on the hindbrain to suppress food intake. This includes a variety of gut peptides and the stress/inflammation signal, GDF15, as well as vagal sensory neurons whose soma reside in the nodose ganglion. Stretch-sensing vagal afferents that express GLP1R and/or OXTR suppress feeding via the NTS (although their particular cell targets in the NTS remain to be defined). In contrast, nutrient-sensing vagal neurons (including those that express GPR65, VIP, and/or SST) do not appear to control feeding; their precise function remains undefined. Many populations of AP/NTS neurons promote the aversive suppression of food intake by projecting onto CGRP-expressing cells of the PBN. Other neurons of the NTS (including those that express CALCR and LepRb) suppress food intake without promoting aversive effects, at least in part by activating a poorly-defined set of non-CGRP neurons in the PBN.

A number of observations suggest potential roles for hindbrain centers in the control of long-term energy balance, however, including the expression of LepRb and GHSR in the AP and NTS (83,84,181–184).  Indeed, leptin modulates the physiology of hindbrain neurons and knockdown of NTS LepRb expression modestly increases food intake and body weight, especially in high fat diet (HFD)-fed rats (181,185–189).  Furthermore, ablation of prolactin releasing hormone (PRLH, a.k.a., PRRP) increases feeding and body weight, and the NTS-specific re-expression of PRLH on a Prlh-null background restores normal feeding and energy balance (190).  More recently, the silencing of several NTS cell types has been shown to increase food intake and cause obesity.  Thus, the normal function of NTS systems contributes to the long-term control of energy balance.  Furthermore, many appetite-suppressing medications (including agonists for gut peptide receptors) mediate their effects by activating hindbrain systems (191–194). 

 

The Nodose Ganglion and Vagal Sensory Neurons

 

Gut-innervating vagal sensory neurons in the nodose ganglion consist of mechanosensory cells that increase activity in relation to increasing gastric volume and distinct chemosensory neurons that respond to the chemical characteristics of nutrients in the gut. Both mechanosensing and chemosensing vagal neurons innervate the entire gastrointestinal tract (195,196). Recent studies have interrogated the vagal sensory neurons of the nodose ganglion, revealing markers for gut-innervating mechanosensory cells (which sense stretch and pressure; these cells express the receptors for GLP1 (GLP1R) and OXT (OXTR)) and for chemosensory neurons (which sense nutrients in the gut; these cells express GPR65, vasoactive intestinal peptide (VIP), and somatostatin (SST)) (197,199).  Interestingly, the activation of mechanosensory cells suppresses feeding, while chemosensory cell activation does not.  Thus, the mechanosensory and chemosensory vagal cells must innervate distinct downstream CNS targets, at least in part.  The appetite-suppressing functions of several hormones and neuropeptides (including gut-derived cholecystokinin (CCK)) may result from their actions on vagal neurons (200,201). While CNS OXT neurons (in the PVH) do not appear to participate the in the control of feeding, the response of vagal mechanosensory neurons to exogenous OXTR agonists might mediate the appetite-suppressing effects of these agents (202).

 

Role for the Area Postrema in Nausea and Aversive Responses

 

Because AP capillaries lack tight junctions, the AP lies outside the blood-brain barrier and directly senses circulating nutrients and hormones.  While the molecular characterization of AP neurons remains in its infancy, the AP contains a variety of receptors (GLP1R, GFRAL, and CALCR) that respond to appetite-suppressing hormones (203–206).  Notably, ligands for each of these receptors promote aversive responses (e.g., nausea), for which the AP is well-known (207–209).  Indeed, the action of autoantibodies directed to aquaporin-4 (AQP4, which is expressed around the AP) during neuromyelitis optica spectrum disorders results in AP syndrome- characterized by unremitting nausea and vomiting (and sometimes hiccups) (210–212).  Neurons from the AP project into the brain, including to the NTS, DMV, and PBN.

 

The Nucleus Tractus Solitarius and Parabrachial Nucleus

 

The NTS, which lies adjacent to the AP, receives gastrointestinal input from vagal sensory neurons and from the AP.  The NTS also receives taste information via the geniculate ganglion (213), although the NTS systems that integrate taste signals with information from the gut have yet to be defined.  NTS neurons also express a variety of receptors that contribute to the control of food intake (e.g., LepRb and CALCR), and thus presumably sense a variety of circulating appetite-regulating signals.  Furthermore, NTS LepRb and CALCR neurons contribute to the physiologic control of food intake (185,214,215). Interestingly, while at least some AP and NTS neurons mediate the aversive suppression of food intake (i.e., cause nausea and/or vomiting, as well as decreasing appetite), the NTS LepRb and CALCR neurons suppress food intake without promoting such aversive responses (214,215). 

 

Thus, distinct NTS systems mediate the aversive and non-aversive suppression of food intake.  Indeed, it makes teleological sense that the consumption of nutrients should promote reward (to encourage the subsequent ingestion of a particular food type), rather than terminating ingestion in an aversive manner and discouraging the future consumption of the food.  Consistently, the activation of certain vagal pathways can promote a rewarding response, even while suppressing feeding (198,199). 

 

Many AP/NTS neurons that mediate the aversive suppression of food intake directly innervate calcitonin gene-related protein (CGRP)-expressing PBN neurons.  Indeed, PBN CGRP neurons mediate the aversive responses to a variety of agents associated with gut irritation, including some chemotherapy drugs (216).  PBN CGRP cells also appear to participate in the emotional response to a variety of fear-inducing stimuli (217).  The activation of PBN CGRP cells suppresses food intake under a variety of conditions; indeed, the withdrawal of inhibitory tone from these cells mediates the lethal anorexia associated with the ablation of ARC AgRP neurons (65). 

 

Interestingly, however, the inactivation of PBN CGRP cells minimally impacts food intake and does not alter energy balance (218); thus other neural systems must mediate the long-term control of feeding and energy balance by brainstem systems.  Hence, the systems that mediate the aversive suppression of food intake may suppress long-term feeding less effectively than non-aversive systems, at least under normal physiologic conditions.  The PBN must also contain non-aversive systems for the suppression of food intake, since neither NTS CALCR cells nor PVH MC4R neurons innervate PBN CGRP cells (but rather innervate a distinct region of the PBN) and both promote the non-aversive suppression of food intake via the PBN (214).

 

Gastrointestinal Hormones that Modulate Feeding

 

CHOLECYSTOKININ

 

Secreted from neuroendocrine secretory cells (L-cells) lining the intestinal lumen in response to nutrients, cholecystokinin (CCK) represents the canonical gut-derived satiety signal. It is an acutely acting signal with a very short half-life (219). Early studies showed that exogenous CCK administered just prior to a meal reduces food intake in rats. In the last thirty years these results have been repeated and extended in numerous labs, demonstrating that the anorectic effects of CCK can be translated to virtually all species, including humans (220–222). CCK induces a transitory sensation of satiety, secretion of pancreatic enzymes and gallbladder contraction. CCK-A receptors are located on vagal afferents of the stomach and the liver and transduce signals via the vagal nerve to satiety centers in the brainstem, eliciting a brief reduction in food intake (for a review, see(Bray 2000) (223)). While CCK decreases meal size and duration, compensatory increases in meal frequency prevent CCK from producing long term effects on total food intake or body weight. Indeed, deletion of Cckar in mice does not cause obesity (224).

 

THE INCRETINS

 

Glucagon like peptide-1 (GLP-1) functions as an incretin (enhancer of insulin secretion) (225). GLP-1 can also modulate satiety: ICV GLP-1 (or GLP1R agonists) potently suppresses food intake in rats and mice, while the GLP1R antagonist, exendin (9-37), increases short-term food intake. Body weight and food intake are unaffected by ablation of GLP-1R, however, suggesting that (like CCK and CCKAR) this system primarily modulates short-term satiation, rather than long-term energy balance, under normal physiologic circumstances (226).  Despite this lack of a physiological role for GLP-1 or GLP-1R in the long-term control of food intake, chronic treatment with GLP-1R agonists serves to suppress food intake and promote weight loss (227). 

 

The suppression of food intake by GLP-1R agonist pharmacotherapy requires GLP-1R expression on glutamatergic neurons of the CNS (194).  Furthermore, caudal brainstem processing suffices to suppress food intake and gastric emptying by peripherally applied GLP-1R agonists (228).  Thus, the crucial GLP-1R-expressing neurons that mediate the anorectic effects of GLP-1R agonist pharmacotherapy may reside in the AP and/or NTS.

 

Given that brain GLP-1R mediates the appetite-suppressing effects of exogenous GLP-1R agonists and that the NTS GLP-1 neurons represent the sole source of GLP-1 in the CNS (229), these NTS GLP-1 cells have been the subject of a great deal of interest.  Interestingly, however, while NTS GLP-1 cells represent a subset of the NTS LepRb cells that contribute to the control of feeding, the ablation of NTS GLP-1 fails to alter energy balance or the ability of NTS LepRb neurons to suppress feeding (215). Consistently, extending the half-life of endogenous GLP-1 by inhibiting dipeptidylpetidase-4 (DPP4) fails to alter food intake, although it amplifies the incretin effect of endogenous GLP-1. Thus, neither endogenous NTS GLP-1 nor its CNS targets contribute meaningfully to the suppression of food intake, despite the prominent pharmacologic effects of GLP-1R agonists on these parameters.

 

Intestinal glucose-dependent insulinotropic polypeptide (GIP, formerly gastric inhibitory polypeptide) is secreted from K-cells in the duodenum and proximal jejunum in response to food intake (230,231) and acts as an incretin, increasing glucose-dependent insulin release from pancreatic β-cells and contributing to postprandial plasma glucose normalization. The incretin function of GIP may be mediated either directly via pancreatic GIP receptor (GIPR) activation (232) or via the activation of non-ganglionic cholinergic neurons that innervate the islets, presumably as part of an enteric-neuronal-pancreatic pathway (233). The impact of GIP on central appetite regulation is controversial, however (234,235). Indeed, while the combination of GIPR and GLP1R agonism in a single peptide appears to enhance weight loss over a GLP1R agonist alone, GIPR ligands poorly modulate food intake on their own.  Furthermore, there remains some debate about whether GIPR antagonism (rather than agonism) accentuates the effects of GLP1R agonists on food intake (236).

 

GROWTH DIFFERENTION FACTOR-15

 

While not a gut-derived peptide, growth differentiation factor 15 (GDF15) acts via the brainstem to modulate nutrient intake. GDF15 is secreted by a large number of tissues in response to cellular stressors. Circulating concentrations of GDF15 express increase in disease states, such as prostate cancer, infection, and cardiovascular disease, and this has been associated with anorexia and cancer cachexia (237). Furthermore, a variety of clinical and genetic data suggest roles for high circulating levels of GDF15 in the nausea and vomiting associated with hyperemesis gravidarum during the second trimester of pregnancy (238,239).  Mice with transgenic over-expression of GDF15 are leaner and are protected from diet induced obesity, and the injection of GDF15 causes hypophagia and weight loss in rodents (240,241).

 

Unlike GDF15, which has broad tissue expression, expression of the receptor for GDF15 (GFRAL) is restricted to the AP and NTS in adults. Intact signaling through the hindbrain is required for GDF15-mediated weight loss, as ablation of the AP and NTS or deletion of GFRAL abolishes hypophagia and weight loss in GDF15-treated mice (205,242,243).  While GDF15 produces a strong conditioned taste aversion, the downstream neural circuits by which GDF15/GFRAL activation modulates feeding behavior have yet to be elucidated. While GFRAL-null mice are protected from weight loss in response to infections, tumors, and chemotherapy, they display little (if any) alteration in body weight under normal physiologic conditions (204).  Thus, GDF15 appears to link strong physiologic stressors (e.g., infection, pregnancy, cancer, and cardiovascular dysfunction) to the aversive suppression of food intake, rather than contributing to the normal control of food intake and energy balance.

 

PEPTIDE YY

 

Peptide YY (PYY), which is released from the L cells of the distal digestive tract, belongs to the pancreatic polypeptide family (including pancreatic polypeptide (PP) and NPY) and has been proposed to serve as a satiety signal (244–246). The circulation contains two forms of the peptide: PYY1-36 and PYY3-36; the latter represents the main circulating form of PYY in postprandial human plasma and is able to cross the blood-brain-barrier by non-saturable mechanisms (247,248). Both forms of PYY bind to the Y2 isoform of the NPY receptor (NPY2R) (249). While the reported effects of PYY3-36 on food intake in rodents and humans initially generated some controversy (250), recent studies support the notion that NPY2R agonists can promote a strongly aversive suppression of food intake in many species (251,252).  The role for endogenous PYY in food intake remains unclear, however, and although the AP/NTS represent presumptive sites that mediate the suppression of food intake by NPY2R agonists, this has yet to be definitively established.

 

[Please refer to ENDOTEXT chapter Endocrinology of the Gut and the Regulation of Body Weight and Metabolism byAndrea Pucci and Rachel L Batterham, for additional information]

 

AMYLIN

 

Pancreatic b-cells co-secrete the peptide, amylin, with insulin during meals. Amylin inhibits gastric emptying and systemic and central administration causes a dose-dependent reduction of meal size (253–256). Amylin binds to the amylin receptor- CALCR in complex with a receptor activity modifying protein (RAMP) (257). The amylin-responsive neurons of the AP/NTS have yet to be definitively identified, but may lie in the AP and/or NTS.  Interestingly, combination treatment with amylin plus leptin elicits a greater inhibition of food intake and body weight loss in obese rats than predicted by the sum of monotherapy conditions. Peripheral administration of amylin restores leptin sensitivity in rats, crucial in the treatment of leptin resistance in obesity (258), suggesting the potential therapeutic utility of combining hindbrain- and hypothalamus-acting compounds.

 

Interactions Between Forebrain and Brainstem Systems that Control Food Intake

 

Communication between the systems that sense the gut and those that sense energy stores is crucial to control satiety appropriately for feeding state and physiologic requirements. Thus, the forebrain and hindbrain must communicate to appropriately control feeding.  Indeed, hypothalamic systems impact brainstem feeding circuits: AgRP neurons tonically inhibit PBN CGRP cells, while PVH projections to distinct (non-CGRP) PBN cells suppress feeding (61,65,70,71).  Similarly, the ingestion of nutrients activates a gut-vagus-NTS pathway that inhibits the activity of AgRP neurons (199), and projections from the NTS to the PVH can blunt food intake (259).  A great deal more research in this area will be required to fully understand the integration of these circuits, however.

 

OTHER SIGNALS THAT MAY MODULATE FOOD INTAKE

 

Nutrient Signaling

 

While their effects are not as strong as those of many hormones or neural circuits, all three groups of nutrients (carbohydrates, lipids, and proteins) have been implicated in the control of feeding.  Mayer proposed the “glucostatic hypothesis” in the 1950s, suggesting that decreases in glucose utilization stimulated eating and increases in glucose utilization halted eating (260,261). Indeed, intrahypothalamic glucose administration decreases food intake and inhibits hepatic glucose production (262). The response to decreased glucose or the blockade of glycolysis, which increases food intake and hepatic glucose production, is much stronger than the response to increased glucose, however.  Furthermore, most glucose-sensing neurons are modulated within the normal to low range of glucose concentrations, rather than by elevated glucose.  Also, the sensor of cellular energy deficits, AMPK, has also been proposed to play a role in CNS glucose sensing (263,264), but this cellular pathway is likely to be engaged mainly by severe energy deficits in the CNS.  Hence, the brain glucose- and energy-sensing systems may be mainly involved in defending against large swings in blood glucose (e.g., defending against hypoglycemia) rather than serving as a primary controller of food intake and energy balance. 

 

While the hypothalamic sensing of long-chain fatty acids has also been suggested to suppress food intake in response to increased availability of fatty acids in states of nutrient surfeit (265,266), the physiologic relevance of such a system remains unclear. The uptake of esterified lipids into the CNS is modest and circulating fatty acids actually increase during fasting. The systems that import fatty acyl-CoAs into mitochondria and the control of overall mitochondrial function in hypothalamic cells that control food intake and metabolism represent important determinants of energy balance, however.

 

Low protein diets dramatically increase food intake, and the peripheral or intra-CNS infusion of amino acids (especially the branched-chain amino acid leucine) robustly decreases food intake (267,268). While the neural pathways underlying these effects have yet to be completely elucidated, brainstem systems likely contribute, at least in part.  Additionally, the mechanistic target of rapamycin (mTOR)-mediated cellular amino acid sensing system is required for the operation of the CNS systems that mediate protein appetite (269).  In addition to its role in neurotransmission, glutamate acts on its receptor in the GI tract both mediate taste-sensation and to serve as a gut-derived signal to also the vagal input to the CNS (270). In one study, intra-luminal glutamate infusion resulted in reduced body weight without altering food intake (271).

 

Inflammation

 

Inflammatory signals are proposed to mediate several distinct metabolic responses. Strong acute inflammatory stimuli (including those associated with systemic infection, cancer, etc.) decrease appetite and increase energy expenditure, promoting cachexia (GDF15 may mediate a portion of this effect). Conversely, obesity is associated with increased low-grade inflammation that appears limited to particular tissues, such as adipose tissue (272). This low-grade “metabolic inflammation” is associated with insulin resistance and obesity. A variety of animal models have been employed to explore the interaction of inflammatory signals and energy balance/metabolism.

 

SYSTEMIC INFLAMMATION

 

Systemic immune signaling promotes negative energy balance. Lipopolysaccharide (LPS) administration, which produces some of the metabolic consequences of bacterial infection, blunts appetite; the mechanism of this hypophagia overlaps with the systems that control energy balance, as the LPS-induced anorexia requires the melanocortin system (273). Consistent with the induction of negative energy balance by systemic inflammation, alterations that blunt inflammation generally blunt inflammatory anorexia. While not altering baseline energy balance in chow-fed animals, deletion of IL-1b converting enzyme (ICE, which is essential for IL-1b activity), prevents LPS-induced anorexia in mice (274). GDF15, acting via AP GFRAL neurons, may also contribute to the LPS-mediated suppression of food intake.

 

The inflammatory system may also contribute to the control of energy balance under normal physiology, as well: adiposity is increased in Il6 null and Gmcsf null mice, and in mice with impaired macrophage function due to the targeted deletion of Mac-1 or LFA-1 (or their receptor, ICAM-1)(275). Conversely, mice with constitutively increased IL-1 receptor signaling induced by targeted deletion of the endogenous IL-1 receptor antagonist, Il1ra, display reduced body mass compared to wild-type littermates (276).

 

METABOLIC INFLAMMATION

 

Obesity is associated with increased production of a number of cytokines (including TNF alpha) in adipose tissue, resulting primarily from the activation of adipose tissue macrophages and other immune cells (275,279). Manipulations that decrease adipose tissue inflammation ameliorate the metabolic dysfunction associated with obesity. While interference with generalized macrophage function may increase adiposity, interventions that alter their pro-inflammatory (versus anti-inflammatory) nature increase leanness and improve metabolic function (280,281).

 

Some data also suggest that inflammation-associated hypothalamic processes may contribute to obesity. High fat feeding results in the activation of hypothalamic microglia (the resident immune cells of the brain) and astrocytes (282,283). Some have postulated that these activated microglia secrete proinflammatory cytokines to disrupt the control of food intake, promoting obesity. Debate continues regarding whether this gliosis provokes or attenuates obesity, however. The ER stress in adipose tissue and the hypothalamus, potentially a consequence of metabolic inflammation, has also been reported in obesity (284). Genetic or pharmacologic interference with ER stress ameliorates obesity and insulin resistance in rodent models.

 

ENERGY BALANCE AND MOTIVATION

 

The homeostatic regulation of energy balance powerfully defends against body weight excursions below the lower limits of adiposity (9), and but often fails to prevent weight gain in our world of abundance of highly palatable, high energy foods. Non-metabolic factors that contribute to overeating and obesity include food palatability, availability, sensory-specific satiety, energy density of food, consumption rate, stress, social environment and energy output/exercise (285,286). Palatability and pleasantness of food represent powerful determinants in regulating motivation to eat.

 

Reward Circuitry and Neurotransmitters

 

DOPAMINE AND THE BRAIN REWARD SYSTEM

 

The neural circuits that comprise the reward pathways encompass wide-ranging brain regions, including the hypothalamus, the nucleus acumbens in the basal forebrain, the midbrain ventral tegmental area (VTA), the amygdala and the thalamus (274). The LHA connects the hypothalamus to the broader reward system through projections to the VTA, where dopaminergic cell bodies lie. From there, the mesolimbic pathways (dopaminergic projections between the VTA and the nucleus acumbens) mediate reward-based feeding (287–289).

 

Dopamine (DA) potently augments the drive to obtain a rewarding stimulus and is required to drive feeding behavior. DA-deficient mice nurse normally until 2 weeks of age, but thereafter fail to thrive due an inability to wean themselves onto solid food unless supplemented with the DA precursor, L-DOPA, suggesting that DA is required for normal ingestive behavior (as well as activity) (290). While the specific mechanisms through which dopaminergic signaling regulates motivated feeding behavior are not yet clear, connections between the LHA and the mesolimbic system as well as integration with the leptin and melanocortin systems appear to contribute.

 

SEROTONIN RECEPTOR 2c

 

Serotonin (5-hydroxytrypamine, 5-HT), which derives from stress-modulated neurons in the midbrain raphe nuclei, acts via 5-HT receptor 2c (HTR2c) to decrease food intake and body weight, and deletion of Htr2c produces hyperphagic obesity that is accentuated by high fat diet. Within the hypothalamus, ARC, PVN, LHA, and anterior hypothalamic nucleus (AH) neurons contain Htr2c (291). A subset of ARC POMC neurons express Htr2c, and the Pomccre-mediated reactivation of a null Htr2c allele in these cells attenuates the food intake and obesity in the Htr2cnull mice (292,293). Htr2c cells in the midbrain VTA and in the hindbrain NTS may also contribute to the control of feeding by HTR2c.  The effect of HTR2c activation may vary by brain region, but, in aggregate, Htr2c mutant mice confirm the important role for this receptor in energy balance. HTR2c agonists promote weight loss, and several have been approved for the treatment of obesity.

 

ENERGY EXPENDITURE AS A DETERMINANT OF ADIPOSITY

 

With few exceptions, most of the systems that dramatically alter energy balance act primarily via the control of feeding; isolated alterations in energy expenditure promote more modest changes in energy balance because increases in energy expenditure and negative energy balance promote a compensatory increase in feeding. Similarly, decreased energy expenditure will cause the accumulation of adipose mass, which tends to restrain feeding. For instance, interference with normal VMH function (discussed above) decreases diet-induced energy expenditure and promotes increased adiposity only when animals are provided high caloric density diets (91,92).

 

The tendency for energy intake to match changes in energy expenditure is exemplified by several animal models in which alterations in energy expenditure do not lead to large changes in adiposity. Uncoupling protein 1 (UCP1, which is found primarily in brown and beige adipose tissue (BAT)) allows dissipation of the electrochemical gradient across the inner mitochondrial membrane, releasing energy as heat (294). Ablation of BAT in mice expressing diphtheria toxin A driven from the UCP1 promoter or congenital deletion of Ucp1 fails to alter adiposity at thermoneutrality, although adiposity increases slightly relative to controls in animals raised at temperatures colder than thermoneutrality, since these animals fail to substantially increase energy expenditure in response to the cold challenge (295). Similarly, the phenotype of mice null for the beta-adrenergic receptor beta 3-AR is not as severe as predicted: fat mass in male mice is only slightly increased, even in animals consuming a high-energy diet under non-thermoneutral conditions (296). Also, “beta-less” mice, with a global targeted deletion of all three beta-adrenergic receptor isoforms, have only slightly increased body fat on high fat diet under non-thermoneutral conditions (296).

 

[Please refer to ENDOTEXT chapter titled The Role of Non-exercise Activity Thermogenesis in Human Obesity byChristian von Loeffelholz and Andreas Birkenfeld and Control of Energy Expenditure in Humans by Klaas R Westerterp for additional complementary information on energy expenditure]

 

LESSONS FROM HUMAN OBESITY SYNDROMES

 

While much of our understanding of the genetics and signaling pathways involved in the central control of energy balance and development of obesity has been derived from rodent models, there exist rare cases of human obesity syndromes due to genetic mutations that shed light on the pathogenesis of obesity development. Many of these mutations corroborate the evidence from animal studies. In addition, with the advent of next generation sequencing and the ability to delve deeply into the human genome, genome wide association studies (GWAS) have also begun to reveal gene variants that may contribute or predispose to obesity.

 

Monogenic Obesity Syndromes

 

MC4R

 

Approximately 4% of morbid human obesity (BMI > 40 kg/m2) results from mutations in MC4R (297–299). Preserved lean mass and increased stature are also evident in humans with MC4R deficiency syndrome, as in rodent models (57). Most obesity associated with MC4R mutations has been attributed to heterozygosity at the MC4R locus (58). Patients who are homozygous for a null MC4R mutation develop severe childhood obesity (57), while heterozygous family members are overweight. This suggests a codominant inheritance pattern in which the gene product of these mutations impair the function of the normal gene product. Genome-wide association studies (GWAS) have revealed common non-coding polymorphisms within the MC4R locus that are associated with increased adiposity (59). Treatment options for patients with MC4R mutations remain limited, although recent studies have suggested that the newly developed MC4R agonist setmelanotide can produce modest weight loss in patients with MC4R variants that encode receptor with decreased (rather than absent) function, as well as those with POMC mutations (300,301).

 

LEPTIN DEFICIENCY INCLUDING LIPODYSTROPHY

 

Genetic leptin deficiency in humans is very rare, but (as in rodents) elicits a severe obesity phenotype: A rare, recessively inherited LEP mutation was discovered in two children who are members of a highly consanguineous Pakistani family (302). This frameshift mutation introduces a premature stop codon that truncates the leptin protein. While rare, additional leptin-deficient individuals (all of whom are severely obese) have been identified. Daily subcutaneous administration of recombinant leptin dramatically and selectively reduces body fat to normal levels in these individuals (303). A few humans homozygous for leptin receptor mutations have also been identified; these individuals present a severe obese phenotype similar to those lacking leptin, although – as anticipated - they are not responsive to exogenous leptin (304). It is important to note that mice (305) and humans (306) heterozygous for null mutations of either LEPR or LEP are more obese than controls. It is thus possible that individuals heterozygous for functionally null mutations of these and other genes encoding molecular components of the various signaling pathways regulating energy homeostasis discussed in this review constitute a significant proportion of the very obese. Additionally, heterozygosity for several of these mutations would be expected to produce even greater levels of obesity. The increasing use of exome sequencing in evaluating instances of severe obesity will lead to the detection of more instances of obesity caused by such oligogenic mechanisms.

 

Lipodystrophy represents another clinical syndrome associated with leptin deficiency. Lipodystrophy encompasses a heterogenous group of disorders that range from inherited monogenic gene disruptions to acquired disorders due to treatment with medications such as highly active retroviral therapy for HIV. In generalized lipodystrophy, patients develop loss of subcutaneous fat tissue which results in leptin deficiency, hyperphagia, severe insulin resistance and diabetes, and visceral obesity. When leptin deficiency can be demonstrated, treatment with recombinant leptin significantly improves hyperphagia, body weight and diabetes severity (307).

 

CILIOPATHIES

 

A subset of mutations causing defects in primary cilia promote obesity syndromes (308,309). The primary cilium is found on most cells; while structurally related to motile cilia (such as flagella), the primary cilium is immotile and does not participate in propulsion. The primary cilium plays a crucial sensory role in cells, including cell-specific sensing, such as olfaction in sensory epithelium, photoreception in retinal cells, mechanical transduction in kidney cells, and signaling via a variety of cell surface receptors, including many GPCRs. A broad group of disease-causing human mutations are now known to result from mutations in genes affecting ciliary functions (the “ciliopathies”). The clinical presentation of these diseases variably includes anosmia, retinal degeneration, kidney malformations, and a variety of developmental and neural defects, many of which are idiosyncratic to the particular gene that is mutated. A number of these mutations produce obesity in addition to the other phenotypes noted above, both in mice and humans. Included in these obesity-causing ciliopathies are Bardet-Biedel Syndrome (BBS), McKusic-Kaufman Syndrome, Alström Syndrome, and Joubert Syndrome. Altered trafficking of MC4R and/or MCH receptor may play roles in the obesity of those with ciliopathies.

 

POMC AND PROHORMONE CONVERTASE 1 DEFICIENCIES

 

Mutations resulting in complete absence of the POMC gene product cause secondary adrenal insufficiency due to lack of ACTH; however, once glucocorticoid replacement therapy is started, children with these mutations invariably develop obesity due to hyperphagia. In patients of Caucasian ancestry, there is also a characteristic phenotype of red hair and pale skin, although this is not found in patients from other genetic backgrounds. Some POMC mutations affect specific melanocortin peptide products, and those that specifically alter α-MSH result in severe early-onset obesity (39,40).

 

The prohormone POMC is cleaved by prohormone convertase 1 (PC1). Human PC1 deficiency caused by missense and splice site mutations in the PC1 gene also results in a disorder characterized by obesity and hypocortisolemia as well as hypogonadism (310).  Other monogenetic obesity syndromes in mice and humans likely result from alterations in melanocortin signaling, including those due to alterations in other components of the peptide processing system, including carboxypeptidase E (CPE) (311).

 

BRAIN-DERIVED NEUROTROPHIS FACTOR (BDNF/TrkB) SIGNALING

 

BDNF, a member of the neurotrophin family, is widely expressed in the nervous system during development, as well as being expressed within several brain regions important for energy homeostasis in adults (312). BDNF acts via its receptor, TrkB, to control a variety of basic neural processes, including proliferation, survival, and plasticity. Given its many important roles in the CNS, alterations in BDNF (or its receptor, TrkB) would be predicted to interfere with multiple processes. Indeed, humans haploinsufficient for BDNF display impaired cognitive function and hyperactivity, in addition to hyperphagic obesity (313,314). Mutations in NTRK2 (which encodes TrkB) produce similar hyperphagia and obesity, along with impaired cognitive function and nociception, in rare human patients (315). Interestingly, a coding polymorphism in BDNF (Val66Met) is associated both with obesity and with binge eating disorders in humans (316), consistent with the role for BDNF/TrkB signaling in energy balance, and suggesting a broader role for this system in the genetic determination of adiposity in humans. Indeed, alteration of TrkB and/or BDNF function in the hypothalamus of mice promotes obesity (317,318). Furthermore, polymorphisms in BDNF are associated with risk for obesity in human GWAS studies (59).

 

PRADER-WILLI SYNDROME (PWS)

 

PWS presents in infancy with low birth weight, hypotonia and poor feeding, followed by a progressive transition to hyperphagia and obesity starting after age 2 or 3 years. Additional features include short stature (correctible with growth hormone therapy), central hypogonadism, characteristic behaviors (especially around feeding), and often cognitive impairment (319,320). Most instances result from a 5-7 Mb deletion of an imprinted region (PWS region) on the paternal chromosome 15 (15q11-q13) and are non-recurrent. Within this deletion lie a number of genetic elements, including the genes encoding MAGEL2 and NECDIN, which are thought to be involved in neural development and function, and a complex non-coding locus. Non protein -coding genes in this interval include a transcribed non-coding gene (SNURF-SNRPN) that encodes a multitude of C/D box small nucleolar (sno-) RNA genes, including SNORD116. The RNA products of these SNORD genes are thought to be involved in RNA editing, perhaps of specific mRNA species.

 

A small number of individuals with PWS phenotypes associated with microdeletions of the implicated region on chromosome 15 have reduced the number of candidate genes for this syndrome (319). These patients have demonstrated obesity, developmental delay, hypogonadism, and all major features of PWS. The minimum critical deletion region contains only non-coding genes, including the SNORD116 gene cluster, IPW, and SNORD109A. The Snord116 locus has been deleted from mouse models, which display a growth defect and behavioral abnormalities, including a relative hyperphagia that develops after weaning, but which is balanced by increased energy expenditure (321). Thus, the effects of SNORD116 likely contribute to PWS, but may not account for all of the phenotypes.

 

The functions of Necdin and Magel2 have also been examined in genetically targeted mouse models. Magel2-/- mice display early growth retardation with a mild increase in adiposity, and Necdin-/- mice display early postnatal respiratory failure along with a subset of PWS-associated behaviors (322–324). Thus, the full PWS likely results from the combined effects of multiple genes; several genes within the PWS region also likely contribute to the maximal obesity phenotype. It is not yet clear how each of the loci within the PWS alter neurophysiology and/or which neurons they might specifically affect to alter energy balance. Understanding the molecular physiology of PWS is likely to identify novel genes in the control of energy homeostasis in non-syndromic obesities.

 

[Please refer to the chapter titled The Genetics of Obesity in Humans by Sadaf Farooqi and Stephen O'Rahilly, for additional information on genetic forms of obesity.

 

CONCLUSION

 

This chapter provides an overview of the complex neural and metabolic pathways that determine energy intake and expenditure. Distinct areas of the brain receive and interpret hormonal and neuronal messages from the periphery and other brain regions to integrate regulatory changes that maintain energy balance. These changes require a finely tuned balance of synaptic neurotransmitters, hormonal feedback loops and neuropeptide expression. The identification of the molecules encoding these messages using human studies and animal models has expedited the discovery of the crucial signaling and homeostatic pathways that govern these mechanisms. Their existence provides definitive refutation of vitalist/psychological notions that have permeated the field of energy intake and metabolism, and provides the heuristic, reductionist framework in which ongoing research on these questions should be conducted. It is likely that major genes and their modifiers, as well as allelic variants of a larger number of genes with lesser individual impact, will eventually account for both qualitative and quantitative aspects of the critical phenotypes in rodents and humans.

 

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Exercise Treatment of Obesity

ABSTRACT

 

Surveillance data from the general US population indicate a continued increase in the prevalence of overweight and obesity that is consistent with weight gain trends observed globally among industrialized countries. Physical inactivity and obesity are closely linked conditions and they account for a large burden of chronic disease and impaired function. The underlying agent in the etiology of obesity is a long-term positive energy balance; however, the pathways determining the rate and extent of weight gain due to a positive energy are complex. Engaging in regular, moderate-intensity physical activity for at least 150 min/week can help maintain energy balance and prevent excessive weight gain; however, this minimum requirement may not be sufficient for reversing already-existing obesity and chronic disease. In fact, physical activity closer to 300 min/week may be necessary for successful weight loss and weight loss maintenance. Regimented exercise programs alone may not be the most effective treatment for people with obesity, however. Rather, lifestyle changes that increase total daily energy expenditure need to be accompanied by dietary counseling for reducing daily caloric intake. Also, accumulating the necessary exercise and lifestyle physical activity in intermittent bouts, rather than one long continuous bout, can improve adherence and the success of weight loss regimens. It is also important for both clinicians and patients to understand that a simple solution to obesity treatment does not exist due to the constellation of underlying mechanisms that drive energy balance. Indeed, physiological, behavioral, environmental, and genetic factors play both independent and interrelated roles that contribute to the complex etiology of obesity.  Research from numerous scientific disciplines has shaped our understanding of obesity. While the relative contributions of insufficient energy expenditure versus excessive energy intake to obesity development continue to be debated, there is general agreement that exercise is a key element for both prevention and treatment. Future research should focus on the prevention of excess weight gain over the life course. In addition to the behavioral and intervention studies of the past several decades, an understanding of the regulatory processes governing energy intake, energy storage, and energy expenditure and how the reinstatement of exercise can correct the disruption of neural pathways is vital to the future of obesity research. Finally, public health science needs to link with public health practice to better enable the translation of this knowledge into policies that can alter the environment in a way that promotes an active lifestyle for all.

 

INTRODUCTION

 

Surveillance data from the general US population indicate a continued increase in the prevalence of overweight and obesity that is consistent with weight gain trends observed globally among industrialized countries (1-3). Myriad environmental, behavioral, physiological, and genetic factors contribute to the development of human obesity. However, the common underlying feature leading to these conditions is a positive energy balance. Attenuated metabolic responses to environmental exposures combined with predisposing factors and overall low energy expenditure may contribute to this positive energy balance. Although exercise is most effective in the prevention of obesity (4, 5), it can also contribute to weight loss and to weight maintenance over the long-term. Numerous intervention studies have evaluated the role of exercise training of various modes and intensities on the reduction of body weight and adiposity (6), and there is little doubt about the established benefits of increasing physical activity to the attainment and the maintenance of healthy body weight throughout the life span. Moreover, since exercise itself improves metabolic, respiratory, and cardiovascular function independent of weight loss (6), it has special significance for people with obesity who are at increased risk for obesity-related chronic conditions. In this chapter, we will describe the importance of exercise for the prevention and treatment of obesity, as well as to the prevention of weight regain following weight-loss therapy. In addition, this chapter will address the contributions of the built environment to the onset and possible reversal of obesity at the population level.

 

THE ETIOLOGY OF OBESITY

 

Inactivity and obesity are closely linked conditions accounting for a large burden of chronic disease and impaired function. Over the past several decades, ever-decreasing levels of daily energy expenditure, along with a ready supply of calorie-dense foods, have resulted in a marked disruption to energy regulatory systems, which are still genetically programmed for the subsistence efficiency of our late-Paleolithic ancestors (7, 8). As stated previously, the underlying agent in the etiology of obesity is a long-term positive energy balance. However, the relative importance of excess energy intake over low energy expenditure to this imbalance is controversial. Ultimately, the pathways determining the rate and extent of a positive energy balance with weight gain are complex, and the unique and combined contributions of heredity, physiology, and behavior, to the development of obesity are not understood completely—especially since the influence of any one of these primary factors is usually modified by a constellation of other secondary factors endemic to our current obesogenic environment (Figure 1).

Figure 1. Public health model illustrating the multifactorial model etiology of obesity. The traditional public health of disease transmission applied to obesity etiology. In this model, the impact of the agent (positive energy balance) can be modified by a number of host (specific to the individual) and environment (specific to collective behaviors or conditions) factors. In addition, a variety of vehicles/vectors are responsible for transmitting the causal agent.

 

The 2018 Physical Activity Guidelines for Americans, 2nd Edition (6), along with the 2020 World Health Organization (WHO) Physical Activity and Sedentary Behavior Guidelines (9) recommend for all adults 150-300 min/week of moderate-intensity physical activity (e.g., brisk walking) or 75-150 min/week of vigorous-intensity activity for the prevention of excessive weight gain, cardiovascular and metabolic diseases, and functional decline. These recommendations also include muscle strengthening exercises on two days/week. Although specific recommendations pertaining to sedentary behavior have not been made thus far, the evidence linking extended sedentary time to morbidity and all-cause mortality is growing (6). Indeed, both the 2018 Guidelines for Americans and the WHO Guidelines stress that everyone should "move more and sit less" (6) and "every move counts" (9). Importantly, current guidelines now stress the joint association between physical activity and sedentary time. For example, the health impact of sedentary behavior (particularly television viewing) becomes especially detrimental when combined with low levels of physical activity (6, 10). People can compensate for large amounts of sedentary time during the day (i.e., 8–14 h) by increasing their physical activity to achieve at least 30 min of accumulated moderate-intensity activity throughout the day. However, the more sedentary one is, the more accumulated activity is necessary to compensate (Figure 2).

Figure 2. The joint effects of physical activity on health and function. The red zone is harmful, while the green zone is healthful, suggesting that the more sedentary one is, the more accumulated physical activity they need to compensate.

The Role of Exercise in Weight Loss and Weight Maintenance

 

Population physical activity guidelines may be more effective for health promotion and the primary prevention of chronic disease risk factors than they are for the reversal of already established chronic conditions. Although increasing physical activity and reducing sedentary time has demonstrated benefits to improved health and function, even among people with chronic disease or with disabilities (6, 9), it is important to note that the minimum recommendation of 150 min/week of moderate-intensity physical activity, may not be sufficient to reverse these chronic conditions. Indeed, the treatment or reversal of some established conditions may require a dose of physical activity closer to 300 min/week. This may be especially true for the reversal of obesity and for weight loss maintenance. Although population- and laboratory-based data are limited, it appears that about 45–60 min/day of moderate-intensity activity is necessary to transition from overweight to normal weight, and ≥ 60 min/day may be necessary to transition from obesity (11-14), at least for a large part of the population with overweight and obesity who spend considerable time sitting throughout the day. In addition, there is substantial individual heterogeneity regarding a person's weight loss responsiveness to an exercise regimen, and this responsiveness may vary by age, sex, degree of obesity, adipose tissue distribution, and even adipocyte size (15-17). Thus, the benefits of increased physical activity to cardiovascular and metabolic health notwithstanding, its effectiveness per se for substantial weight loss and in the reversal of obesity may be less so.

 

Weight loss of 1–2 pounds (0.5–1 kg) per week is generally recognized as safe and effective (18). Weight loss at this recommended rate, however, would require a negative energy balance of ~ 500–1000 kcal/day over an extended period of time. Such an energy deficit is difficult to achieve by lowering energy intake (dieting) alone. More importantly, such drastic decreases in caloric intake could result in nutritional deficiencies and the loss of lean mass, thereby lowering the metabolic rate (19). Also, adherence to such a degree of caloric restriction is difficult to maintain over long periods of time and, therefore, increases the likelihood of relapse and compensatory weight re-gain.

 

On the other hand, whether exercise alone (without coincident caloric restriction) significantly alters body weight in people with obesity is debatable. Assuming that 60 min/day of moderate-intensity activity is necessary for meaningful weight loss for people with obesity, a man would need to perform 68–136 min/day of moderate-intensity walking (7.9 kcal/min), and a woman may have to perform 72–145 min/day of the same activity (6.4 kcal/min) to achieve 500-1000 kcal/day deficit necessary for a weight loss of 1–2 pounds (0.5–1 kg)/week (20). Further, although this walking pace (3.5 mph or 3.8 METs) may be comfortable for most people, sustaining it for over 60 min on 7 days/week may not be feasible for people with obesity. Indeed, it may be quite difficult for people with obesity to perform the volume (i.e., intensity, frequency and duration) of exercise necessary for meaningful weight loss in the absence of caloric restriction. Therefore, most evidence currently indicates that both exercise and caloric restriction are necessary components of a successful weight loss program.

 

People who are successful in losing substantial amounts of body weight through diet alone often quickly regain it. Weight regain is often seen following exercise-, medication-, and even surgery-induced weight loss, indicating that adaptations to a negative energy balance contribute to the obesity epidemic. Laboratory findings report that the level of daily energy expenditure necessary to prevent the re-gain of body weight following obesity is also quite high relative to the modern-day lifestyle (17). This challenge may be the result of changes in body composition or the body's overall adaptive energy expenditure and metabolic response to exercise that limits weight loss to activity alone (8, 21) (Figure 3). The 2003 consensus statement from the International Association for the Study of Obesity (14) recommended 60–90 min/day of moderate-intensity activity or about 35 min/day of vigorous activity for successful weight maintenance following the reversal of obesity, which, again, exceeds the upper threshold of current physical activity recommendations (6, 9).

Figure 3. Changes in Total energy expenditure ADJ, resting metabolic rate ADJ, and activity energy (CPM/d), (right, Pontzer (8), with permission are consistent with the findings shown in the schematic of exercise impact on body weight demonstrating a new equilibrium after an initial weight loss (left (21)), with permission

In sum, caloric restriction without exercise may result in a loss of lean mass along with adipose tissue, thereby resulting in a drop in the metabolic rate and setting the stage for weight re-gain. The amount of daily exercise that is necessary to achieve a healthy weight loss without caloric restriction may not be feasible over time for people with obesity, thus again resulting in relapse. Most research now supports the conclusion that exercise combined with caloric restriction increases the net caloric deficit induced by a weight loss program and markedly attenuates the loss of both fat-free and total body mass (19). Finally, as is the case through the period of dynamic weight loss, those who combine caloric restriction with exercise are more successful in maintaining that weight loss over time, compared with those relying on either diet or exercise alone.

 

THE ROLE OF RESISTANCE TRAINING FOR WEIGHT LOSS AND MAINTENANCE

 

Both aerobic and resistance exercise will preserve lean tissue during the period of dynamic weight loss, and this is primarily a function of the volume of exercise performed over the weight-loss period (i.e., dose-response). Resistance training is especially effective at preserving lean body mass during dynamic weight loss, although the amount of protein in the diet may impact this effectiveness (22). A program that combines caloric restriction with both aerobic and resistance training generally leads to greater weight loss and improved overall health, compared to a program combining caloric restriction with only aerobic exercise (11, 13). Of note is that the benefits of strength training to health and function can be independent of weight loss. For example, one 5-month study in older men and women with obesity that used both caloric restriction and resistance training led to reduced abdominal obesity, reduced hypertension, and improved metabolic syndrome without any changes in body weight (23). This is likely due to the increase in lean mass with resistance training, as well as the resulting quantitative and qualitative improvements in vascular and muscle function. Another study of older adults with obesity combined caloric restriction with one of three other exercise interventions: 1) aerobic exercise alone; 2) resistance training alone and 3) aerobic exercise and resistance training. Total body weight loss was similar across the three different exercise groups. However, the greatest improvements in measures of physical function were observed in the combined aerobic exercise with resistance training group (24). Thus, the benefits of resistance training extend beyond fat loss to include improved metabolic and physical function—and this may be especially so for older people.

 

THE ROLE OF TOTAL DAILY ACTIVITY IN WEIGHT MAINTENANCE

 

Evidence suggests that total daily accumulated energy expenditure is the strongest predictor of weight loss in people with obesity (25-27). Therefore, an alternative to the typical recommendation of large continuous bouts of exercise may be intermittent exercise, which can result in a similar weight loss but with improved adherence over the long-term. Also, the integration of increased physical activity as part of an overall lifestyle change (e.g., more walking and stair climbing as part of the daily routine) may be as successful in promoting weight loss as is a structured exercise program. Given the high degree of negative energy balance required for weight loss, however, high levels of lifestyle activity combined with caloric restriction are now prescribed for both initial and long-term weight loss for people with overweight and obesity.

 

The Physical Activity Level (PAL) has become a method of expressing total daily energy expenditure (TEE) in multiples of the resting metabolic rate (RMR: PAL = TEE/RMR), and thus far, few studies have examined its relation to weight regulation at the population level. Data from men in the Aerobics Center Longitudinal Study cohort indicate that a daily PAL >1.60 METs·24 h-1 (i.e., an average daily TEE 60% above RMR) is optimal for preventing meaningful weight gain (~ 0.82–0.91 kg·y-1 (13)) through middle-age (4). Moreover, increasing daily activity from the low PAL category (<1.46 METs·24 h-1) to the moderate (1.46–1.60 METs·24 h-1) or high (>1.60 METs·24 h-1) categories resulted in a slight weight loss over time in this cohort (Figure 4).

Figure 4. Predicted weight change over time by PAL change category among men in the Aerobic Center Longitudinal Study (ACLS) cohort. PAL=average daily physical activity level expressed as the ratio of total energy expenditure to the resting metabolic rate (TEE/RMR). Models adjusted for age, sex, height, baseline weight, and smoking. DiPietro, et al. Int J Obesity. 28:1541-1547,2004 (4)

The most useful strategy for accomplishing this average level of daily physical activity is exchanging passive or very low intensity activities (i.e., those involving sitting) for moderate-intensity activities that have energy requirements of about 3–6 METs. Moderate-intensity activities may have a substantially greater impact on the PAL than vigorous activities since vigorous activity is usually performed for very short periods of time and then can be compensated for by reduced volitional activity throughout the remainder of the day (28). Therefore, the best way to increase the average daily PAL from sedentary (1.5 METs·24 h-1) to active (>1.6 METs·24 h-1) is to add about 45–60 minutes of moderate-intensity activity to the daily routine. As described above, using either a continuous or intermittent exercise routine is equally effective in increasing overall TEE.

 

THE IMPACT OF WEARABLE DEVICES

 

In 2014, 10% of adult Americans over the age of 18 years reported owning an activity tracking device, and by 2016, the Worldwide Survey of Fitness Trends identified wearable technology as the most popular growing fitness trend, estimating the market to be around $6 billion (29). This survey was recently updated, reporting that wearable technology remained the number one trend for 2020, and the market reached an estimated $95 billion (30). Most large technology companies have incorporated activity monitoring technology into cellular phones, while larger corporations, including Apple and Google, have continued to expand their product lines to feature new models of watches, wristbands and other clothing devices with activity tracking capabilities. The most popular and affordable devices remain somewhat restricted to measuring step count and distance traveled.

 

New products are constantly in development given the high demand. Even though technological advancements have reportedly improved these devices, debate among product engineers, research scientists and others involved in this industry regarding their accuracy still persists. Data indicate that these devices are less consistent with the measurement of overall activity duration, energy expenditure, and sleep quality, so they may require further testing and more advanced algorithms before being used in research (31). Advanced devices are in development that are capable of measuring biometric signs, such as stress, strain, impact forces, in addition to metabolic parameters (e.g., glucose and lactic acid) and the tracking of physical activity (32).

 

Despite some limitations, such devices are quite useful in helping people to monitor their own daily caloric intake, energy expenditure, sleep patterns, and overall health profile. These devices may also serve to increase motivation among those starting an exercise program because they can help to set goals and provide immediate feedback, although whether or not this is so for long-term weight loss programs is questionable (32). Ideally, such devices can sync with the electronic health record (EHR), thereby allowing health care providers a chance to objectively monitor a patient's lifestyle behaviors.

 

PERSONAL AND ONLINE TRAINING

 

Personal training has remained in the top 10 fitness trends reported since 2006, and popularity has increased as online training has become more accessible (30), especially during the strict quarantine policies imposed during the COVID-19 pandemic in 2020. It is reasonable to suspect that there will be a continued use of online training programs in 2021 and beyond. Unfortunately, like wearable devices, training fees and internet access may be luxuries not available to low-income households, and although some communities have facilities that provide free web access to the public (e.g., public libraries), they may not be feasible locations for virtual exercise training. Thus, virtual exercise solutions that consider the financial limitations of current fitness trends are needed.

 

PROMOTING AN ACTIVE LIFESTYLE THROUGH THE BUILT ENVIRONMENT

 

There are few surveillance data on physical activity patterns over many years in representative populations that use consistent methods of data collection. Data from consumer groups and national monitoring and surveillance systems among persons living in the United States generally show a stable pattern of both leisure time and sport activity (33)but a decrease in work-related activity starting in the 1950s (34). These types of data are useful at the ecologic level in order to describe lifestyle trends among the population and to provide background data for community-based interventions that eventually affect public policy. Environmental interventions that promote change in risk conditions at the community level have a greater public health impact than attempting to change risk factors at the individual level. Environmental strategies more directly related to promoting an active lifestyle involve altering the built environment in which people spend much of their time—the community, the workplace, and the school.

 

A report from the Transportation Research Board (TRB) and the Institute of Medicien (IOM) outlines a number of recommendations pertaining to physical activity and the built environment (35). These recommendations state the primary need for multidisciplinary and inter-agency research (particularly longitudinal research and "natural experiments") linking specific aspects of the built environment with different types of physical activity. Ecological studies that can geocode physical activity and health data from surveillance systems such as the Behavioral Risk Factor Surveillance System (BRFSS) or from the National Health and Nutrition Examination Survey (NHANES) could provide useful information on the environment and the specific locations where low activity and/or high prevalence of overweight is occurring. Similarly, statistical tools such as Geographical Information Systems (GIS) can provide more detailed information on the built environment (land use, sidewalks, green space) to link with surveillance data on physical activity patterns and various health indicators like obesity within a community. These data are also quite useful in tracking how changes to the environment affect changes in behavior and in subsequent health outcomes.

 

The Health Impact Statement historically has been used in environmental risk assessment to inform the public of the health consequences of various actions (e.g., the building of a new manufacturing plant in the community) and generally, they are effective at involving inter-agency action and public consensus. Since available evidence suggests that the built environment plays a major facilitating role in promoting an active lifestyle, urban planners, local zoning officials, those responsible for the construction of residences, developments, and supporting transportation systems, and members of the community must work together in the design of more activity-friendly environments.

 

SUMMARY

 

Most research to date suggests that exercise is more effective in the prevention of overweight and obesity than it is in its reversal. Weight loss programs that combine exercise with caloric restriction can maximize the net caloric deficit while reducing the loss of fat-free mass. Adding resistance training to aerobic exercise will enhance muscle quantity and quality, thereby providing health benefits independent of weight loss. Accumulating the necessary exercise and lifestyle physical activity in intermittent bouts, rather than one long continuous bout, can improve adherence and the success of weight loss and maintenance regimens.

 

uture research should focus on the prevention of excess weight gain over the life course. In addition to the behavioral and intervention studies of the past several decades, an understanding of the regulatory processes governing energy intake, energy storage, and energy expenditure and how the reinstatement of exercise can correct the disruption of neural pathways is vital to the future of obesity research. Molecular and clinical studies that can identify candidate genes and other biomarkers of energy regulation responding to exercise should link with large epidemiologic studies to determine the relations among these biological markers, physical activity patterns and long-term weight gain among various populations. Controlled intervention trials should continue to test the dose-response relation between physical activity duration (min/week), volume (kcal/week), and/or intensity and various functional endpoints as rigorously as do pharmacological trials. Finally, public health science needs to link with public health practice to better enable the translation of this knowledge into policies that can alter the environment in a way that promotes an active lifestyle for all.

 

ACKNOWLEDGMENTS

 

This work was supported in part by grants from the National Institutes of Health, National Heart Lung and Blood Institute (HL135089 to and TS and NSS).

 

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Hyperglycemic Crises: Diabetic Ketoacidosis And Hyperglycemic Hyperosmolar State

ABSTRACT

Diabetic ketoacidosis (DKA) and hyperglycemic hyperosmolar state (HHS) are acute metabolic complications of diabetes mellitus that can occur in patients with both type 1 and 2 diabetes mellitus. Timely diagnosis, comprehensive clinical and biochemical evaluation, and effective management is key to the successful resolution of DKA and HHS. Critical components of the hyperglycemic crises’ management include coordinating fluid resuscitation, insulin therapy, and electrolyte replacement along with the continuous patient monitoring using available laboratory tools to predict the resolution of the hyperglycemic crisis. Understanding and prompt awareness of potential special situations such as DKA or HHS presentation in the comatose state, possibility of mixed acid-base disorders obscuring the diagnosis of DKA, and risk of brain edema during therapy are important to reduce the risks of complications without affecting recovery from hyperglycemic crisis. Identification of factors that precipitated DKA or HHS during the index hospitalization should help prevent subsequent episode of hyperglycemic crisis.

INTRODUCTION

Diabetic ketoacidosis (DKA) and hyperosmolar hyperglycemic state (HHS) represent two extremes in the spectrum of decompensated diabetes. DKA and HHS remain important causes of morbidity and mortality among diabetic patients despite well-developed diagnostic criteria and treatment protocols (1). The annual incidence of DKA from population-based studies in 1980s was estimated to range from 4 to 8 episodes per 1,000 patient admissions with diabetes (2); the annualized incidence remains stable based on the 2017 national inpatient sample analysis (3). Overall, the incidence of DKA admissions in the US continues to increase, accounting  for about 140,000 hospitalizations in 2009 (Figure 1 a), 168,000 hospitalizations in 2014 (4,5), and most recently 220,340 admissions in 2017 (3) with similar trends observed in England (6) and Finland (7). The 2014 DKA hospitalization rates were the highest in persons aged <45 years (44.3 per 1,000) and lowest in persons aged ≥65 years (<2.0 per 1,000) (5); the age-related admission patterns remained the same in the 2017 analyses (3). The rate of hospital admissions for HHS is lower than of DKA and is less than 1% of all diabetic-related admissions (8,9). About 2/3 of adults presenting to the emergency department or admitted with DKA have a past history of type 1 diabetes (T1D), while almost 90% of the HHS patients have a known diagnosis of type 2 diabetes (T2D) (5). In 2014, there were reported 207,000 emergency department visits with a diagnosis of hyperglycemic crisis (10). Decompensated diabetes imposes a heavy burden in terms of economics and patient outcomes. DKA is responsible for more than 500,000 hospital days per year at an estimated annual direct medical expense and indirect cost of 2.4 billion USD in 1997 (CDC) (11). The cost of inpatient DKA care in the US has increased to 5.1 billion USD in 2014, corresponding to approximate charges related to DKA care varying between 20-26 thousand USD per admission (12,13) and continued to increase in 2017 when DKA admissions costed healthcare about 6.76 billion USD, corresponding to about 31 thousand USD per each admission (3). The mortality rate for DKA and hyperglycemic crises has been falling over the years (Figure 1b) (4) with estimates of fatality remaining under 1% for DKA (3); mortality can reach up to 20% in HHS (14). In 2010, among adults aged 20 years or older, hyperglycemic crisis caused 2,361 deaths (15). There was a decline in mortality from 2000 to 2014 across all age groups and both sexes with largest absolute decrease among persons aged ≥75 years (5). The mortality rate of HHS is higher, reaching 10-20% depending on associated comorbidities and severity of the initial presentation compared with DKA (14,16,17) and is highest in those with DKA+HHS (18). Severe dehydration, older age, and the presence of comorbid conditions in patients with HHS account for the higher mortality in these patients (17). Recent analyses suggested that patients who are black, female, and/or having Medicaid insurance had the highest risk of being admitted with DKA (3). 

Figure 1. Hyperglycemic Crises. A) Incidence of DKA 1980-2009 B) Crude and Age-Adjusted Death Rates for Hyperglycemic Crises as Underlying Cause per 100,000 Diabetic Population, United States, 1980–2009 C) Age-Adjusted DKA hospitalization rate per 1,000 persons with diabetes and in-hospital case-fatality rate, United States, 2000–2014 (5).

DEFINITIONS

DKA consists of the biochemical triad of hyperglycemia, ketonemia, and high anion gap metabolic acidosis (19) (Figure 2). The terms “hyperglycemic hyperosmolar nonketotic state” and “hyperglycemic hyperosmolar nonketotic coma” have been replaced with the term “hyperglycemic hyperosmolar state” (HHS) to highlight that 1) the hyperglycemic hyperosmolar state may consist of moderate to variable degrees of clinical ketosis detected by nitroprusside method, and 2) alterations in consciousness may often be present without coma.

 Figure 2. The triad of DKA (hyperglycemia, acidemia, and ketonemia) and other conditions with which the individual components are associated. From Kitabchi and Wall (19).

Both DKA and HHS are characterized by hyperglycemia and absolute or relative insulinopenia. Clinically, they differ by the severity of dehydration, ketosis, and metabolic acidosis (17).

DKA most often occurs in patients with T1D. It also occurs in T2D under conditions of extreme stress, such as serious infection, trauma, cardiovascular or other emergencies, and, less often, as a presenting manifestation of T2D, a disorder called ketosis-prone T2D (16). Similarly, whereas HHS occurs most commonly in T2D, it can be seen in T1D in conjunction with DKA. Presentations with overlapping DKA and HHS accounted for 27% of admissions for hyperglycemic crises based on one report (18).

PATHOGENESIS

The underlying defects in DKA and HHS are 1) reduced net effective action of circulating insulin as a result of decreased insulin secretion (DKA) or ineffective action of insulin in HHS (20-22), 2) elevated levels of counter regulatory hormones: glucagon (23,24), catecholamines (23,25), cortisol (23), and growth hormone (26,27), resulting in increased hepatic glucose production and impaired glucose utilization in peripheral tissues, and 3) dehydration and electrolyte abnormalities, mainly due to osmotic diuresis caused by glycosuria (28) (Figure 3). Diabetic ketoacidosis is also characterized by increased gluconeogenesis, lipolysis, ketogenesis, and decreased glycolysis (16).

Diabetic Ketoacidosis

In DKA, there is a severe alteration of carbohydrate, protein, and lipid metabolism (8). In general, the body is shifted into a major catabolic state with breakdown of glycogen stores, hydrolysis of triglycerides from adipose tissues, and mobilization of amino acids from muscle (16). The released triglycerides and amino acids from the peripheral tissues become substrates for the production of glucose and ketone bodies by the liver (29). Hyperglycemia and ketone bodies production play central roles in developing this metabolic decompensation (30). 

HYPERGLYCEMIA

The hyperglycemia in DKA is the result of three events: (a) increased gluconeogenesis; (b) increased glycogenolysis, and (c) decreased glucose utilization by liver, muscle, and fat. Insulinopenia and elevated cortisol levels also lead to a shift from protein synthesis to proteolysis with resultant increase in production of amino acids (alanine and glutamine), which further serve as substrates for gluconeogenesis (8,31). Furthermore, muscle glycogen is catabolized to lactic acid via glycogenolysis. The lactic acid is transported to the liver in the Cori cycle where it serves as a carbon skeleton for gluconeogenesis (32). Increased levels of glucagon, catecholamines, and cortisol with concurrent insulinopenia stimulate gluconeogenic enzymes, especially phosphoenol pyruvate carboxykinase (PEPCK) (26,33). Decreased glucose utilization is further exaggerated by increased levels of circulating catecholamines and FFA (34).

KETOGENESIS

Excess catecholamines coupled with insulinopenia promote triglyceride breakdown (lipolysis) to free fatty acids (FFA) and glycerol in adipose tissue. The latter provides a carbon skeleton for gluconeogenesis, while the former serves as a substrate for the formation of ketone bodies (35,36). The key regulatory site for fatty acid oxidation is known to be carnitine palmitoyl transferase 1(CPT1) which is inhibited by malonyl CoA in the normal non-fasted state but the increased ratio of glucagon and other counter regulatory hormones to insulin disinhibit fatty acid oxidation and incoming fatty acids from fat tissue can be converted to ketone bodies (37,38). Increased production of ketone bodies (β-hydroxybutyrate and acetoacetate) leads to ketonemia (39). Ketonemia is further maintained by the reduced liver clearance of ketone bodies in DKA. Extracellular and intracellular buffers neutralize hydrogen ions produced during hydrolysis of ketoacids. When overwhelming ketoacid production exceeds buffering capacity, a high anion gap metabolic acidosis develops. Studies in diabetic and pancreatectomized patients have demonstrated the cardinal role of hyperglucagonemia and insulinopenia in the genesis of DKA (40). In the absence of stressful situations, such as intravascular volume depletion or intercurrent illness, ketosis is usually mild (16,41).

Elevated levels of pro-inflammatory cytokines and lipid peroxidation markers, as well as procoagulant factors such as plasminogen activator inhibitor-1 (PAI-1) and C-reactive protein (CRP) have been demonstrated in DKA. The levels of these factors return to normal after insulin therapy and correction of hyperglycemia (42). This inflammatory and procoagulant state may explain the well-known association between hyperglycemic crisis and thrombotic state (43,44).

Hyperglycemic Hyperosmolar State

While DKA is a state of near absolute insulinopenia, there is sufficient amount of insulin present in HHS to prevent lipolysis and ketogenesis but not adequate to cause glucose utilization (as it takes 1/10 as much insulin to suppress lipolysis as it does to stimulate glucose utilization) (33,34). In addition, in HHS there is a smaller increase in counter regulatory hormones (20,45).

Figure 3. Pathogenesis of DKA and HHS: stress, infection, or insufficient insulin. FFA, free fatty acid. Adapted from Kitabchi et al. (1).

PRECEPITATING FACTORS

The two most common precipitating factors in the development of DKA or HHS are inadequate insulin therapy (whether omitted or insufficient insulin regimen) or the presence of infection (46,47). Other provoking factors include myocardial infarction, cerebrovascular accidents, pulmonary embolism, pancreatitis, alcohol and illicit drug use (Figure 4). In addition, numerous underlying medical illness and medications that cause the release of counter regulatory hormones and/or compromise the access to water can result in severe volume depletion and HHS (46). Drugs such as corticosteroids, thiazide diuretics, sympathomimetic agents (e.g., dobutamine and terbutaline), and second generation antipsychotic agents may precipitate DKA or HHS (17). Most recently, two new classes of medications have emerged as triggers for DKA. Sodium-glucose cotransporter 2 (SGLT-2) inhibitors (canagliflozin, dapagliflozin, and empagliflozin) that are used for diabetes treatment have been implicated in the development of DKA in patients with both T1D and T2D (48). Though the absolute risk of DKA in patients treated with SGLT-2 inhibitors is small, this class of medications raises DKA risk by 2-4-fold in patients withT2D and its incidence can be up to 5% in patients with T1D (49,50). Also, anti-cancer medications that belong to classes of immune checkpoint inhibitors such as Ipilimumab, Nivolumab, Pembrolizumab, can cause new-onset diabetes mellitus in up to 1% of the patients receiving immune checkpoint inhibitors with about half of these patients presenting with DKA as the initial presentation of diabetes, particularly in those individuals who may have underlying beta-cell autoimmunity  (51,52) (53-56). In young patients with T1D, insulin omission due to fear of hypoglycemia or weight gain, the stress of chronic disease, and eating disorders, may contribute in 20% of recurrent DKA (57). Cocaine use also is associated with recurrent DKA (58,59). Mechanical problems with continuous subcutaneous insulin infusion (CSII) devices can precipitate DKA (60); however, with an improvement in technology and better education of patients, the incidence of DKA have been declining in insulin pump users (61). There are also case reports of patients with DKA as the primary manifestation of acromegaly (62-64).

Increasing numbers of DKA cases have been reported in patients with Type 2 DM. Available evidence shows that almost 50 % of newly diagnosed adult African American and Hispanic patients with DKA have T2D (65). These ketosis-prone type 2 diabetic patients develop sudden-onset impairment in insulin secretion and action, resulting in profound insulinopenia (66). Clinical and metabolic features of these patients include high rates of obesity, a strong family history of diabetes, a measurable pancreatic insulin reserve, and a low prevalence of autoimmune markers of β-cell destruction (67-69). Aggressive management with insulin improves β-cell function, leading to discontinuance of insulin therapy within a few months of follow-up and 40 % of these patients remain non-insulin dependent for 10 years after the initial episode of DKA (68). The etiology of acute transient failure of β-cells leading to DKA in these patients is not known, however, the suggested mechanisms include glucotoxicity, lipotoxicity, and genetic predisposition (70,71).  A genetic disease, glucose-6-phosphate dehydrogenase deficiency, has been also linked with ketosis-prone diabetes (72). In a most recent review of factors that can precipitate DKA, the authors emphasized that clinicians should consider factors such as socioeconomic disadvantage, adolescent age, female sex, prior DKA, and psychiatric comorbidities as potential DKA triggers in patients with T1D (50). Further, in US adults with T1D, HbA1c ³ 9% was associated with 12-fold higher incidence of DKA (73). Finally, with recent accumulation of knowledge of health hazards related to the COVID-19 pandemic, there is early evidence that COVID-19 infection can trigger DKA in patients with diabetes who otherwise may not have risk factors to develop ketoacidosis (74). Particular attention should be provided to those DKA patients who are COVID-19-positive on admission as early evidence demonstrated a 6-fold increase in mortality in this group of patients compared with those admitted with DKA without COVID-19 (75).

With growing use of SGLT-2 inhibitors, it is worth elucidating potential risk factors that can mediate heightened DKA risk in patients with diabetes. It is now clear that T1D is an independent DKA risk factor regardless of whether other clinical circumstances known to trigger ketoacidosis are present or not. In people with T2D, low-carbohydrate diet, excessive ETOH intake, presence of autoimmunity, and/or exposure to stress situations such as infection, surgery, trauma, dehydration are now identified as DKA risk factors in those treated with SGLT-2 inhibitors (50,76). 

 

Figure 4. Common precipitating factors in DKA. Data are % of all cases except Nyenwe et al where new onset disease was not included in the percentage and complete data on these items were not given; therefore, the total is less than 100%. Adapted with modification from reference 1.

CLINICAL FEATURES 

Symptoms and Signs

DKA usually evolves rapidly within a few hours of the precipitating event(s). On the other hand, development of HHS is insidious and may occur over days to weeks (16). The common clinical presentation of DKA and HHS is due to hyperglycemia and include polyuria, polyphagia, polydipsia, weight loss, weakness, and physical signs of intravascular volume depletion, such as dry buccal mucosa, sunken eye balls, poor skin turgor, tachycardia, hypotension and shock in severe cases. Of note, patients with euglycemic DKA including those treated with SGLT-2 inhibitors, may have less polydipsia and polyuria and may rather initially present with non-specific symptoms such as fatigue and malaise (77,78). Kussmaul respiration, acetone breath, nausea, vomiting, and abdominal pain may also occur primarily in DKA and are due to ketosis and acidosis. Abdominal pain, which correlates with the severity of acidosis (79), may be severe enough to be confused with acute abdomen in 50-75% of cases (80). Therefore, in the presence of acidosis, DKA as an etiology of abdominal pain should be considered. Patients usually have normal body temperature or mild hypothermia regardless of presence of infection (81). Therefore, a careful search for a source of infection should be performed even in the absence of fever. Neurological status in patients with DKA may vary from full alertness to a profound lethargy and coma, However, mental status changes in DKA are less frequent than HHS. The relationship of depressed consciousness and severity of hyperosmolality or DKA causes has been controversial (82,83). Some studies suggested that pH is the cause of mental status changes (84); while, others concluded that osmolality (85) is responsible for the comatose state. More recently, it has been proposed that consciousness level in adolescents with DKA was related to the severity of acidosis (pH) and not to a blood glucose levels (86).  In our earlier studies of patients with DKA using low dose versus high dose insulin therapy, we evaluated the initial biochemical values of 48 patients with stupor/coma versus non comatose patients (87). Our study showed that glucose, bicarbonate, BUN and osmolality, and not pH were significantly different between non-comatose and comatose patients. Furthermore, in 3 separate studies in which 123 cases of DKA were evaluated, serum osmolality was also the most important determinant of mental status changes (19). However, in our recent retrospective study, it was shown that acidosis was independently associated with altered sensorium, but hyperosmolarity and serum “ketone” levels were not (88) (Figure 5). In that study, a combination of acidosis and hyperosmolarity at presentation may identify a subset of patients with severe DKA (7% in this study) who may benefit from more aggressive treatment and monitoring. Identifying this group of patients, who are at a higher risk for poorer prognosis, may be helpful in triaging them, thus further improving the outcome (88). Furthermore, according to one study, ICU-admitted patients with DKA are less ill, and have lower disease severity scores, mortality, and shorter length of ICU and hospital stay, than non-DKA patients. Disease severity scores are not, but precipitating cause is, predictive of prolonged hospital stays in patients with DKA (89).

Figure 5. Admission clinical and biochemical profile in comatose vs non-comatose patients with DKA (88).

In patients with HHS, neurological symptoms include clouding of sensorium which can progress to mental obtundation and coma (90). Occasionally, patients with HHS may present with focal neurological deficits and seizures (91,92). Most of the patients with HHS and an effective serum osmolality of >320 mOsm/kg are obtunded or comatose; on the other hand, the altered mental status rarely exists in patients with serum osmolality of <320 mOsm/kg (8). Therefore, severe alteration in the level of consciousness in patients with serum osmolality of <320 mOsm/kg requires evaluation for other causes including CVA and other catastrophic events like myocardial and bowel infarctions.

LABORATORY ABNORMALITIES AND DIAGNOSIS OF HYPERGLYCEMIC CRISES

The initial laboratory evaluation of patients with suspected DKA or HHS should include determination of plasma glucose, blood urea nitrogen, serum creatinine, serum ketones, electrolytes (with calculated anion gap), osmolality, urinalysis, urine ketones by dipstick, arterial blood gases, and complete blood count with differential. An electrocardiogram, blood, urine or sputum cultures and chest X-ray should also be performed, if indicated. HbA1c may be useful in differentiating chronic hyperglycemia of uncontrolled diabetes from acute metabolic decompensation in a previously well-controlled diabetic patient (17). Figure 6 summarizes the biochemical criteria for DKA and HHS and electrolyte deficits in these two conditions. It also provides a simple method for calculating anion gap and serum osmolality.

Figure 6. Diagnostic Criteria and Typical Total Body Deficits of Water and Electrolytes in Diabetic Ketoacidosis (DKA) and Hyperglycemic Hyperosmolar Syndrome (HHS)

DKA can be classified as mild, moderate, or severe based on the severity of metabolic acidosis and the presence of altered mental status (17). Over 30% of patients have features of both DKA and HHS (16) with most recent evidence confirming that about 1 out of 4 patients will have both conditions at the time of presentation with hyperglycemic crisis (18). Patients with HHS typically have pH >7.30, bicarbonate level >20 mEq/L, and negative ketone bodies in plasma and urine. However, some of them may have ketonemia. Several studies on serum osmolarity and mental alteration have established a positive linear relationship between osmolarity, pH, and mental obtundation (87).  Therefore, the occurrence of coma in the absence of definitive elevation of serum osmolality requires immediate consideration of other causes of mental status change. The levels of β-hydroxybutyrate (β-OHB) of ≥3.8mmol/L measured by a specific assay were shown to be highly sensitive and specific for DKA diagnosis (93). In patients with chronic kidney disease stage 4-5, the diagnosis of DKA could be challenging due to the presence of concomitant underlying chronic metabolic acidosis or mixed acid-base disorders. An anion gap of >20 mEq/L usually supports the diagnosis of DKA in these patients (94). Based on the 2009 American Diabetes Association publication, “euglycemic DKA” is characterized by metabolic acidosis, increased total body ketone concentration and blood glucose levels ≤250 mg/dL and is thought to occur in up to approximately 10% of patients with DKA and mostly associated with conditions associated with low glycogen reserves and/or increased rates of glucosuria such as pregnancy, liver disorders, and alcohol consumption (1). Since approval in 2013 of SGLT-2 inhibitors for therapy of T2D, multiple reports emerged demonstrating that the use of these medications can result in “euglycemic” DKA (48,78,95). Therefore, DKA must be excluded if high anion gap metabolic acidosis is present in a diabetic patient treated with SGLT-2 inhibitors irrespective if hyperglycemia is present or not. On the other hand, an SGLT-2 inhibitor can be also associated with hyperglycemic DKA in individuals who have sufficient glycogen storage to maintain hyperglycemia even in the setting of enhanced glucosuria (49,96).

The major cause of water deficit in DKA and HHS is glucose-mediated osmotic diuresis, which leads to loss of water in excess of electrolytes (97). Despite the excessive water loss, the admission serum sodium tends to be low. Because serum glucose in the presence of insulinopenia of DKA and HHS cannot penetrate to cells, in hyperglycemic crises, glucose becomes osmotically effective and causes water shifts from intracellular space to the extra cellular space resulting in dilution of sodium concentration – dilutional or hyperosmolar hyponatremia. Initially it has been thought that true sodium concentration (millimolar) can be obtained by multiplying excess glucose above 100 mg/dL by 1.6 /100 (98).  It is, however, accepted now that true or corrected serum sodium concentration in patients experiencing hyperglycemic crisis should be calculated by adding 2.4 mmol/L to the measured serum sodium concentration for every 100 mg/dL incremental rise in serum glucose concentration above serum glucose concentration of 100 mg/dL (99). If the corrected sodium level remains low, hypertriglyceridemia (secondary to uncontrolled diabetes) should be also suspected. In this condition the plasma becomes milky and lipemia retinalis may be visible in physical examination (100). Osmotic diuresis and ketonuria also promote a total body sodium deficit via urinary losses, although concurrent conditions, such as diarrhea and vomiting, can further contribute to sodium losses. Total body sodium loss can result in contraction of extracellular fluid volume and signs of intravascular volume depletion. Serum potassium may be elevated on arrival due to insulin deficiency, volume depletion and a shift of potassium from intracellular to extra cellular compartments in response to acidosis (101). However, total body potassium deficit is usually present from urinary potassium losses due to osmotic diuresis and ketone excretion. More frequently, the initial serum potassium level is normal or low which is a danger sign. Initiation of insulin therapy, which leads to the transfer of potassium into cells, may cause fatal hypokalemia if potassium is not replaced early.  Phosphate depletion in DKA is universal but on admission, like the potassium, it may be low, normal or high (102).

The differences and similarities in the admission biochemical data in patients with DKA or HHS are shown in Figure 7.

Figure 7. Biochemical data in patients with HHS and DKA (1).

Leukocytosis is a common finding in patients with DKA or HHS, but leukocytosis greater than 25,000 /μL suggests ongoing infection requiring further work up (103). The exact etiology of this non-specific leukocytosis is not known. One study also showed nonspecific leukocytosis in subjects with hypoglycemia induced by insulin injection and suggested that this phenomenon may be due to the increased levels of catecholamines, cortisol, and proinflammatory cytokines such as TNF-α during acute stress (104). Hypertriglyceridemia may be present in HHS  (105) and is almost always seen in DKA (79).  Hyperamylasemia, which correlates with pH and serum osmolality and elevated level of lipase, may occur in 16 - 25% of patients with DKA (106). The origin of amylase in DKA is usually non-pancreatic tissue such as the parotid gland (107).

Pitfalls of Laboratory Tests and Diagnostic Considerations for Interpreting Acid Based Status in DKA

False positive values for lipase may be seen if plasma glycerol levels are very high due to rapid breakdown of adipose tissue triglycerides (glycerol is the product measured in most assays for plasma lipase). Therefore, elevated pancreatic enzymes may not be reliable for the diagnosis of pancreatitis in the DKA setting. Other pitfalls include artificial elevation of serum creatinine due to interference from ketone bodies when a colorimetric method is used (108). Most of the laboratory tests for ketone bodies use the nitroprusside method, which detects acetoacetate, but not β-hydroxybutyrate (β-OHB). Additionally, since β-OHB is converted to acetoacetate during treatment (109), the serum ketone test may remain positive for a prolonged period suggesting erroneously that ketonemia is deteriorating; therefore, the follow up measurement of ketones during the treatment by nitroprusside method is not recommended (16). Newer glucose meters have the capability to measure β-OHB, which overcomes this problem (110,111). Furthermore drugs that have sulfhydryl groups can interact with the reagent in the nitroprusside reaction, giving a false positive result (112). Particularly important in this regard is captopril, an angiotensin converting enzyme inhibitor prescribed for the treatment of hypertension and diabetic nephropathy. Therefore, for the diagnosis of DKA, clinical judgment and consideration of other biochemical data are required to interpret the value of positive nitroprusside reactions in patients on captopril. Most laboratories can now measure β-OHB levels.

The classical presentation of acid-base disorders in DKA consists of increased anion gap metabolic acidosis where the relation of plasma anion gap change and bicarbonate change (Δ-Δ, ratio of AG change over change in bicarbonate) equals to 1 due to parallel reduction in plasma bicarbonate with the addition of ketoacids into the extravascular fluid space. With frequent additional bicarbonate losses in urine in the form of ketoanions during DKA, the initiation of intravenous volume resuscitation with chloride-containing solutions can further lower plasma bicarbonate and unmask non-anion gap metabolic acidosis when Δ-Δ becomes less than 1 due to changes in plasma bicarbonate that exceed the expected changes in AG. Respiratory compensation will accompany metabolic acidosis with reduction in PCO2 in arterial blood gas. The expected changes in PCO2 can be calculated using Winter’s formula: PCO2 (mmHg) = 1.5 (Bicarbonate) + 8 ± 2 (113). Therefore, inappropriately high or low levels of PCO2, determined by ABG will suggest the presence of a mixed acid-based disorder. For example, DKA patients with concomitant fever or sepsis may have additional respiratory alkalosis manifesting by lower-than-expected PCO2. In contrast, a higher than calculated PCO2 level signifies additional respiratory acidosis and can be seen in patients with underlying chronic lung disease.  Vomiting is a common clinical manifestation in DKA and leads to a loss of hydrogen ions in gastric content and the development of metabolic alkalosis. Patients with DKA and vomiting may have relatively normal plasma bicarbonate levels and close to normal pH. However, AG will remain elevated and be an important clue for DKA. In addition, Δ-Δ ratio will be over 2 suggesting that there is less than expected reduction in bicarbonate as compared with increase in AG and confirm the presence of a mixed acid-base disorder (combination of metabolic acidosis and metabolic alkalosis). We recommend measurement of β-OHB in instances when a mixed acid-base disorder is present in patients with hyperglycemic crisis and DKA is suspected. 

DIFFERENTIAL DIAGNOSIS

Patients may present with metabolic conditions resembling DKA or HHS. For example, in alcoholic ketoacidosis (AKA), total ketone bodies are much greater than in DKA with a higher β-OHB to acetoacetate ratio of 7:1 versus a ratio of 3:1 in DKA (8). The AKA patients seldom present with hyperglycemia (114). It is also possible that patients with a low food intake may present with mild ketoacidosis (starvation ketosis); however, serum bicarbonate concentration of less than 18 or hyperglycemia will be rarely present. Additionally, DKA has to be distinguished from other causes of high anion gap metabolic acidosis including lactic acidosis, advanced chronic renal failure, as well as ingestion of drugs such as salicylate, methanol, and ethylene glycol. Isopropyl alcohol, which is commonly available as rubbing alcohol, can cause considerable ketosis and high serum osmolar gap without metabolic acidosis. Moreover, there is a tendency to hypoglycemia rather than hyperglycemia with isopropyl alcohol injection (115,116). Finally, patients with diabetes insipidus presenting with severe polyuria and dehydration, who are subsequently treated with free water in a form of intravenous dextrose water, can have hyperglycemia- a clinical picture that can be confused with HHS (117) (Figure 8).

Figure 8. Laboratory evaluation of metabolic causes of acidosis and coma (16).

TREATMENT OF DKA

The goals of therapy in patients with hyperglycemic crises include: 1) improvement of circulatory volume and tissue perfusion, 2) gradual reduction of serum glucose and osmolality, 3) correction of electrolyte imbalance, and 4) identification and prompt treatment of co-morbid precipitating causes (8). It must be emphasized that successful treatment of DKA and HHS requires frequent monitoring of patients regarding the above goals by clinical and laboratory parameters. Suggested approaches for the management of patients with DKA and HHS are illustrated in Figures 9 and 10.

Fluid Therapy

DKA and HHS are volume-depleted states with total body water deficit of approximately 6 L in DKA and 9 L in HHS (16,118,119). Therefore, the initial fluid therapy is directed toward expansion of intravascular volume and securing adequate urine flow. The initial fluid of choice is isotonic saline at the rate of 15–20 ml /kg body weight per hour or 1–1.5 L during the first hour. The choice of fluid for further repletion depends on the hydration status, serum electrolyte levels, and urinary output. In patients who are hypernatremic or eunatremic, 0.45% NaCl infused at 4–14 ml/kg/hour is appropriate, and 0.9% NaCl at a similar rate is preferred in patients with hyponatremia. The goal is to replace half of the estimated water and sodium deficit over a period of 12-24 hours [161]. In patients with hypotension, aggressive fluid therapy with isotonic saline should continue until blood pressure is stabilized. The administration of insulin without fluid replacement in such patients may further aggravate hypotension (16).  Furthermore, the use of hydrating fluid in the first hour of therapy before insulin administration provides time to obtain serum potassium value before insulin administration, prevents possible deterioration of hypotensive patients with the use of insulin without adequate hydration, and decreases serum osmolality (17). Hydration alone may also reduce the level of counter-regulatory hormones and hyperglycemia (28). Intravascular volume expansion reduces serum blood glucose, BUN, and potassium levels without significant changes in pH or HCO3.The mechanism for lowering glucose is believed to be due to osmotic diuresis and modulation of counter-regulatory hormone release (23,120). We recommend avoiding too rapid correction of hyperglycemia (which may be associated with cerebral edema especially in children) and also inhibiting hypoglycemia (23,120). In HHS, the reduction in insulin infusion rate and/or use of D5 ½ NS should be started when blood glucose reaches 300 mg/dL, because overzealous use of hypotonic fluids has been associated with the development of cerebral edema (121). In one recent review, authors suggested gradual reduction in osmolality not exceeding 3 mOsm/kg H2O per hour and a fall of serum sodium at a rate of less than 0.5 mmol/L per hour in order to prevent significant osmotic shifts of water to intracellular compartment during the management of hyperglycemic crises (122). It should be emphasized that urinary losses of water and electrolytes are also need to be considered.

Insulin Therapy

The cornerstone of DKA and HHS therapy is insulin in physiologic doses. Insulin should only be started after serum potassium value is > 3.3 mmol/L (8). In DKA, we recommend using intravenous (IV) bolus of regular insulin (0.1 u/kg body weight) followed by a continuous infusion of regular insulin at the dose of 0.1u/kg/hr. The insulin infusion rate in HHS should be lower as major pathophysiological process in these patients is severe dehydration. The optimal rate of glucose reduction is between 50-70 mg/hr. If desirable glucose reduction is not achieved in the first hour, an additional insulin bolus at 0.1 u/kg can be given. As mentioned earlier, when plasma glucose reaches 200-250 mg/dL in DKA or 300 in HHS, insulin rate should be decreased to 0.05 U/kg/hr, followed, as indicated, by the change in hydration fluid to D5 ½ NS. The rate of insulin infusion should be adjusted to maintain blood glucose between 150-200 mg/dL in DKA until it is resolved, and 250-300 mg/dL in HHS until mental obtundation and hyperosmolar state are corrected. 

A study that investigated the optimum route of insulin therapy in DKA demonstrated that the time for resolution of DKA was identical in patients who received regular insulin via intravenous, intramuscular, or subcutaneous routes (123). However, patients who received intravenous insulin showed a more rapid decline in blood glucose and ketone bodies in the first 2 hours of treatment. Patients who received intravenous insulin attained an immediate pharmacologic level of insulin concentration. Thus, it was established that an intravenous loading dose of insulin would be beneficial regardless of the subsequent route of insulin administration during treatment. A follow up study demonstrated that a priming or loading dose given as one half by IV route and another half by intramuscular route was as effective as one dose given intravenously in lowering the level of ketone bodies in the first hour (124). A bolus or priming dose of insulin has been used in a number of studies. The need of such a method, when using intravenous infusion of insulin, is not clear, as there is no prospective randomized study to establish efficacy of bolus or priming dose before infusion of insulin. However, our study in children demonstrated the effectiveness of intravenous injection of insulin without a bolus dose (125). Therefore, it would appear that if intravenous insulin is used, priming or bolus dose insulin might not be necessary. 

Several clinical studies have shown the potency and cost effectiveness of subcutaneous rapid-acting insulin analogs (lispro or aspart) in the management of patients with uncomplicated mild to moderate DKA (126,127). The patients received subcutaneous rapid-acting insulin doses of 0.2 U/kg initially, followed by 0.1 U/kg every 1 hour or an initial dose of 0.3 U/kg followed by 0.2 U/kg every 2 hours until blood glucose was < 250 mg/dL. Then the insulin dose was decreased by half to 0.05, or 0.1 U/kg respectively, and administered every 1 or 2 hours until resolution of DKA. There were no differences in length of hospital stay, total amount of insulin needed for resolution of hyperglycemia or ketoacidosis, or in the incidence of hypoglycemia among treatment groups.  The use of insulin analogs allowed treatment of DKA in general wards or the emergency department and so reduced cost of hospitalization by 30% without any significant changes in hypoglycemic events (126). Similar results have been reported recently in pediatric patients with DKA (128). The administration of continuous IV infusion of regular insulin is the preferred route because of its short half-life and easy titration and the delayed onset of action and prolonged half-life of subcutaneous regular insulin. It is important to point out that the IV use of fast-acting insulin analogs is not recommended for patients with severe DKA or HHS, as there are no studies to support their use. Again, these agents may not be effective in patients with severe fluid depletion since they are given subcutaneously.

Potassium Therapy

Although total-body potassium is depleted (129,130), mild to moderate hyperkalemia frequently seen in patients with DKA is due to acidosis and insulinopenia. Insulin therapy, correction of acidosis, and volume expansion decrease serum potassium concentrations. To prevent hypokalemia, potassium replacement is initiated after serum levels fall below 5.3 mmol/L in patients with adequate urine output (50 ml/h). Adding 20–30 mmol potassium to each liter of infused fluid is sufficient to maintain a serum potassium concentration within the normal range of 4–5 mmol/L (8). Patients with DKA who had severe vomiting or had been on diuretics may present with significant hypokalemia. In such cases, potassium replacement should begin with fluid therapy, and insulin treatment should be postponed until potassium concentration becomes > 3.3 mmol/L in order to prevent arrhythmias and respiratory muscle weakness (131).

Figure 9. Protocol for the management of adult patients with DKA. Adapted from (94).

Bicarbonate Therapy

The use of bicarbonate in treatment of DKA remains controversial. In patients with pH >7.0, insulin therapy inhibits lipolysis and also corrects ketoacidosis without use of bicarbonate. Bicarbonate therapy has been associated with some adverse effects, such as hypokalemia (132), decreased tissue oxygen uptake and cerebral edema (133,134) and delay in the resolution of ketosis (135).  However, patients with severe DKA (low bicarbonate <10 mEq/L, or Pco2 < 12) may experience deterioration of pH if not treated with bicarbonate. A prospective randomized study in patients with pH between 6.9 and 7.1 showed that bicarbonate therapy had no risk or benefit in DKA (136). Therefore, in patients with pH between 6.9 and 7.0, it may be beneficial to give 50 mmol of bicarbonate in 200 ml of sterile water with 10 mmol KCL over two hours to maintain the pH at > 7.0 (8,137,138). Considering the adverse effects of severe acidosis such as impaired myocardial contractility, adult patients with pH < 6.9 should be given 100 mmol sodium bicarbonate in 400 ml sterile water (an isotonic solution) with 20 mmol KCl administered at a rate of 200 ml/h for two hours until the venous pH becomes greater than 7.0. Venous pH should be assessed every 2 hours until the pH rises to 7.0; treatment can be repeated every 2 hours if necessary.

Phosphate Therapy

There is no evidence that phosphate therapy is necessary in treatment for better outcome of DKA (139-142).  However, in patients with potential complications of hypophosphatemia, including cardiac and skeletal muscle weakness, the use of phosphate may be considered (143). Phosphate administration may result in hypocalcemia when used in high dose (139,142).

TREATMENT OF HHS

A similar therapeutic approach can be also recommended for treatment of HHS, but no bicarbonate therapy is needed for HHS, and changing to glucose-containing fluid is done when blood glucose reaches 300 mg/dL.

Figure 10. Protocol for the management of adult patients with HHS.

Severe hyperosmolarity and dehydration associated with insulin resistance and presence of detectable plasma insulin level are the hallmarks of HHS pathophysiology. The main emphasis in the management of HHS is effective volume repletion and normalization of serum osmolality (14). There are no randomized controlled studies that evaluated safe and effective strategies in the treatment of HHS (121). It is important to start HHS therapy with the infusion of normal saline and monitor corrected serum sodium in order to determine appropriate timing of the change to hypotonic fluids. Insulin substitution approach should be very conservative as it is expected that insulin resistance will improve with rehydration. We recommend against rapid decreases in serum glucose and correction of serum sodium in order to avoid untoward effects of shifts in osmolarity on brain volume. This notion should particularly apply in the management of HHS in elderly and patients with multiple medical problems in whom it may not be clear how long these subjects experienced severe hyperglycemia prior to the admission to the hospital.

RESOLUTION OF DKA AND HHS

During follow up, blood should be drawn every 2-4 h for determination of serum electrolytes, glucose, blood urea nitrogen, creatinine, osmolality, and venous pH. After the initial arterial pH is drawn, venous pH can be used to assess the acid/base status. An equivalent arterial pH value is calculated by adding 0.03 to the venous pH value (144). The resolution of DKA is reached when the blood glucose is < 200 mg/dl, serum bicarbonate is ³15 mEq/L, pH is >7.30 and anion gap is ≤12 mEq/L (17). HHS is resolved when serum osmolality is < 320 mOsm/kg with a gradual recovery to mental alertness. The latter may take twice as long as to achieve blood glucose control. Ketonemia typically takes longer to clear than hyperglycemia.

The proposed ADA criteria for DKA resolution include serum glucose level <200 mg/dL and two of the following: serum bicarbonate level ³15 mEq/L, pH >7.3, and anion gap ≤12 mEq/L (1). Therefore, the treatment goal of DKA is to improve hyperglycemia and to stop ketosis with subsequent resolution of acidosis. In this regard, it is important to distinguish ketosis and acidosis, as the two terms are not always synonymous in DKA. Ketoacid production in DKA results in reduction in plasma bicarbonate (HCO3-) levels due to neutralization of hydrogen ion produced during dissociation of ketoacids in the extravascular fluid space. Concomitantly, ketoacid anion is added into extravascular space resulting in anion gap (AG) increase. The change in HCO3- concentration (Δ HCO3-/normal serum HCO3- – observed serum HCO3-) usually corresponds to equal changes in serum anion gap (Δ AG/observed AG – normal AG, both corrected for decreases and increases in plasma albumin concentration). Therefore, the ratio of AG excess to HCO3- deficit (delta-delta, or Δ-Δ) is close to 1 (143,145,146). In most patients with DKA bicarbonate deficit exceeds the addition of ketoanions, even though Δ-Δ ratio remains close to 1 (147). This is observed due to several reasons. First, hyperglycemia-induced osmotic diuresis leads to excretion of large amounts of sodium and potassium ions that is accompanied by the excretion of ketoanions. Ultimately, the amount of excreted ketoanions depends on degree of kidney function preservation with the largest amount of ketoanion loss in patients with relatively preserved glomerular filtration rate (145). Each ketoanion can be converted back to HCO3- during resolution of DKA and, therefore, ketoanion loss results in the loss of HCO3-. Additionally, extravascular fluid space contraction during DKA, leads to elevation of plasma HCO3-. Therefore, intravenous administration of sodium and chloride-containing fluids leads to further HCO3- reduction and hyperchloremic metabolic acidosis (143,145). This is an important point as persistent decrease in plasma HCO3- concentration should not be interpreted as a sign of continuous DKA if ketosis and hyperglycemia are resolving. Although not evaluated in prospective studies, measurement of serial levels of blood beta-hydroxybutyrate (β-OHB) can be useful adjunct to monitor the resolution of DKA (148). The expected fall in β-OHB with the adequate insulin dosing is 1mmol/L/hr; a lower decrease in blood β-OHB may suggest inadequate insulin provision.

Once DKA has resolved, patients who are able to eat can be started on a multiple dose insulin regimen with long-acting insulin and short/rapid acting insulin given before meals as needed to control plasma glucose. Intravenous insulin infusion should be continued for 2 hours after giving the subcutaneous insulin to maintain adequate plasma insulin levels. Immediate discontinuation of intravenous insulin may lead to hyperglycemia or recurrence of ketoacidosis. If the patient is unable to eat, it is preferable to continue the intravenous insulin infusion and fluid replacement. Patients with known diabetes may be given insulin at the dose they were receiving before the onset of hyperglycemic crises. In patients with new onset diabetes, a multi-dose insulin regimen should be started at a dose of 0.5-0.8 U/kg per day, including regular or rapid-acting and basal insulin until an optimal dose is established (17).

COMPLICATIONS

The most common complications of DKA and HHS include hypoglycemia and hypokalemia due to overzealous treatment with insulin and bicarbonate (hypokalemia), but these complications occur infrequently with current low dose insulin regimens. Nevertheless, in a recent retrospective study, both severe hypokalemia defined as K £ 2.5 mEq/L and severe hypoglycemia < 40 mg/dL were significantly and independently associated with increased risk of mortality in patients admitted to the tertiary care center for treatment of hypoglycemic crisis (18). During the recovery phase of DKA, patients commonly develop a short-lived hyperchloremic non-anion gap acidosis, which usually has few clinical consequences (149). Hyperchloremic acidosis is caused by the loss of large amounts of ketoanions, which are usually metabolized to bicarbonate during the evolution of DKA, and excess infusion of chloride containing fluids during treatment (150).

Cerebral edema, a frequently fatal complication of DKA, occurs in 0.7–1.0% of children, particularly those with newly diagnosed diabetes (120). It may also occur in patients with known diabetes and in very young adults usually under 20 years of age (151,152). Cerebral edema has also been reported in patients with HHS, with some cases of mortality (90). Clinically, cerebral edema is characterized by deterioration in the level of consciousness, lethargy, decreased arousal, and headache. Headache is the earliest clinical manifestation of cerebral edema. This is followed by altered level of consciousness and lethargy. Neurological deterioration may lead to seizures, incontinence, pupillary changes, bradycardia, and respiratory arrest. It may be so rapid in onset due to brain stem herniation that no papilledema is found. If deteriorating clinical symptoms occur, the mortality rate may become higher than 70%, with only 7–14% of patients recovering without permanent neurological deficit. Mannitol infusion and mechanical ventilation are used to combat cerebral edema. The cause of cerebral edema is not known with certainty. It may result from osmotically driven movement of water into the central nervous system when plasma osmolality declines too rapidly during treatment of DKA or HHS. As glucose concentration improves following insulin infusion and administration of the intravenous fluids, serum osmotic gradient previously contributed by hyperglycemia reduces which limits water shifts from the intracellular compartment. However, hyperglycemia treatment is associated with “recovery” in serum sodium that restores water transfer between extracellular and intracellular compartments and prevents water accumulation in cells (99). In cases when the serum glucose concentration improves to a greater extent than the serum sodium concentration rises, serum effective osmolality will decrease and may precipitate brain edema (153,154). Although the osmotically mediated mechanism seems most plausible, one study using magnetic resonance imaging (MRI) showed that cerebral edema was due to increased cerebral perfusion (135). Another postulated mechanism for cerebral edema in patients with DKA involves the cell membrane Na+/H+ exchangers, which are activated in DKA. The high H+ level allows more influx of Na+ thus increasing more influx of water to the cell with consequent edema (155). β-hydroxybutyrate and acetoacetate may also play a role in the pathogenesis of cerebral edema. These ketone bodies have been shown to affect vascular integrity and permeability, leading to edema formation (156). In summary, reasonable precautionary measures to decrease the risk of cerebral edema in high-risk patients include 1) avoidance of overenthusiastic hydration and rapid reduction of plasma osmolality and 2) close hemodynamic monitoring (157). Based on the recent reports, particular care should be offered to patients with end stage renal disease as these individuals are more likely to die, to have higher rates of hypoglycemia, or to be volume overloaded when admitted to the hospital with DKA (158).  

Hypoxemia and rarely non-cardiogenic pulmonary edema may complicate the treatment of DKA [242]. Hypoxemia may be related to the reduction in colloid osmotic pressure that leads to accumulation of water in lungs and decreased lung compliance. The pathogenesis of pulmonary edema may be similar to that of cerebral edema suggesting that the sequestration of fluid in the tissues may be more widespread than is thought. Thrombotic conditions and disseminated intravascular coagulation may contribute to the morbidity and mortality of hyperglycemic emergencies (159-161). Prophylactic use of heparin, if there is no gastrointestinal hemorrhage, should be considered.

PREVENTION

About one in five patients with T1D admitted for DKA will be readmitted for DKA within 30 days (162). Several studies suggested that the omission of insulin is one of the most common precipitating factors of DKA, sometimes because patients are socio-economically underprivileged, and may not have access to or afford medical care (163-165). In addition, they may have a propensity to use illicit drugs such as cocaine, which has been associated with recurrent DKA (58), or live in areas with higher food deprivation risk (166). Therefore, it is important to continuously re-assess socio-economic status of patients who had at least one episode of DKA. The most recent data demonstrating a significant increase in DKA hospitalization rates in diabetic persons aged 45 years and younger (10) suggests that this group of patients may require particular attention to understand why they are more vulnerable than others to develop hyperglycemic crisis. Education of the patient about sick day management is very vital to prevent DKA, and should include information on when to contact the health care provider, blood glucose goals, use of insulin, and initiation of appropriate nutrition during illness and should be reviewed with patients periodically. Patients must be advised to continue insulin and to seek professional advice early in the course of the illness. COVID-19-positive patients with diabetes outside of the hospital environment should be particularly vigilant in point-of-care monitoring of home blood glucose and/or β-OHB until the resolution of infection. Close follow up is very important, as it has been shown that three-monthly visits to the endocrine clinic will reduce the number of ER admission for DKA (167). Close observation, early detection of symptoms and appropriate medical care would be helpful in preventing HHS in the elderly.

A study in adolescents with T1D suggests that some of the risk factors for DKA include higher HbA1c, uninsured children, and psychological problems (168). In other studies, education of primary care providers and school personnel in identifying the signs and symptoms of DKA has been shown to be effective in decreasing the incidence of DKA at the onset of diabetes (169). In another study outcome data of 556 patients with diabetes under continuing care over a 7-year period were examined. The hospitalization rates for DKA and amputation were decreased by 69 % due to continuing care and education (170). There is early evidence that use of continuous glucose monitoring (CGM) can decrease DKA incidence (171,172). Contrary to the initial observations connecting DKA episodes with insulin pump malfunction, the newer pumps are associated with reduced DKA risk without or with concomitant CGM application in T1D youth (173). Given the increased DKA risks associated with HbA1c ³ 9% in patients with T1D, all efforts should be applied to understand and potentially address reasons for poor chronic glycemic control as this may prevent DKA admission. Considering DKA and HHS as potentially fatal and economically burdensome complications of diabetes, every effort for diminishing the possible risk factors is worthwhile.  

SGLT-2 inhibitor-induced DKA in patients with T2D is a potentially avoidable condition in light of accumulating knowledge of potential triggers prompting the development of this hyperglycemic emergency (174). A recent international consensus statement on the DKA risk management in patients with T1D treated with SGLT-2 inhibitors (76) can be effectively applied to the care of patients with T2D as well. Avoidance or temporary discontinuation of SGLT-2 inhibitors in clinical situations that independently increase risk of intravascular volume depletion and/or development of ketosis-prone conditions listed in the Figure 11 can mitigate the DKA risk. The DEEARAILS pneumonic can help recalling these clinical situations.  

Figure 11. Precipitating factors for DKA in patients taking SGLT2 inhibitors. LADA= latent autoimmune diabetes in adults

 

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Primary Hyperparathyroidism

ABSTRACT

Primary hyperparathyroidism (PHPT) is characterized by hypercalcemia and elevated or inappropriately normal parathyroid hormone (PTH) levels. PHPT results from excessive secretion of PTH from one or more of the parathyroid glands. The clinical presentation of PHPT has evolved since the 1970’s with the advent of the routine measurement of serum calcium at that time. Classical PHPT, with its associated severe hypercalcemia, osteitis fibrosa cystica, nephrolithiasis, and neuropsychological symptoms, once common is now infrequent. Today most patients are asymptomatic and have mild hypercalcemia, but may have evidence of subclinical skeletal and renal sequelae such as osteoporosis and hypercalciuria as well as vertebral fractures and nephrolithiasis both of which may be asymptomatic. Parathyroidectomy is the only curative treatment for PHPT and is recommended in patients with symptoms and those with asymptomatic disease who have evidence of end-organ sequelae. Parathyroidectomy results in an increase in BMD and a reduction in nephrolithiasis.

 

INTRODUCTION

Primary hyperparathyroidism (PHPT) is characterized by hypercalcemia and elevated or inappropriately normal parathyroid hormone (PTH) levels. The disorder today bears few similarities to the severe condition described by Fuller Albright and others as a “disease of stones, bones, and groans” in the 1930s (1-3).  The skeletal hallmark of PHPT was osteitis fibrosa cystica, radiographically characterized by brown tumors of the long bones, subperiosteal bone resorption, distal tapering of the clavicles and phalanges, and “salt-and-pepper” erosions of the skull (4). Nephrocalcinosis and nephrolithiasis were present in the majority of patients, and neuromuscular dysfunction with muscle weakness was also common. With the advent of the automated serum chemistry autoanalyzer in the 1970s, the diagnosis of PHPT was increasingly recognized, leading to a four- to five-fold increase in incidence (5-7). Classic symptomatology, concomitantly, became much less frequent. In the United States and elsewhere in the developed world, symptomatic PHPT is now the exception and more than three fourths of patients having no symptoms attributable to their disease, making PHPT a disease that has “evolved” from its classic presentation (Table 1) (8). Symptomatic nephrolithiasis is still observed, although much less frequently than in the past. Now, radiologically evident bone disease is rare, but subclinical skeletal involvement can be readily detected by bone densitometry (9). This chapter describes the modern presentation, diagnosis and management of PHPT.

 

Table 1. Changing Clinical Profile of Primary Hyperparathyroidism

 

Cope (1930-1965)

Heath et al (1965-1974)

Mallette et al (1965-1972)

Silverberg et al (1984-2009)

Nephrolithiasis (%)

57

51

37

17

Skeletal disease (%)

23

10

14

1.4

Hypercalciuria (%)

NR

36

40

39

Asymptomatic (%)

0.6

18

22

80

NR= not reported

 

RISK FACTORS, PATHOLOGY, AND ANATOMICAL LOCATION         

PHPT results from excessive secretion of PTH from one or more of the parathyroid glands. The underlying cause of sporadic PHPT is unknown in most cases. While external neck radiation and lithium therapy are risk factors for the development of sporadic PHPT, most patients do not report these exposures (10-12). Chronically low calcium intake and higher body weight have also been recently described to be risk factors (13,14). The genetic pathogenesis of sporadic PHPT is unclear in most patients but genes regulating the cell cycle are thought to be important given the clonal nature of sporadic parathyroid adenomas.

 

By far the most common pathological finding in patients with PHPT is a solitary parathyroid adenoma, occurring in 80% of patients (15). In 2-4% of patients, PHPT is due to multiple adenomas (16). In approximately 15% of patients, all four parathyroid glands are involved (15,17). Parathyroid carcinoma accounts for <1% of all cases of PHPT(18). The etiology of four-gland parathyroid hyperplasia is multifactorial. There are no clinical features that definitively differentiate single versus multiglandular disease, but risk factors include inherited genetic syndromes such as multiple endocrine neoplasia (MEN) type 1 or type 2a and lithium exposure (17).

 

Parathyroid adenomas can be found in many unexpected anatomic locations. Parathyroid tissue embryonal migration patterns account for a plethora of possible sites of ectopic parathyroid adenomas. The most common atypical locations are within the thyroid gland, the superior mediastinum, and within the thymus (19). Occasionally, adenomas are identified in the retroesophageal space, the pharynx, the lateral neck, and even in the alimentary submucosa of the esophagus (20-22). On histologic examination, most parathyroid adenomas are encapsulated and are composed of parathyroid chief cells. Adenomas containing mainly oxyphilic or oncocytic cells are rare, but can give rise to clinical PHPT (23). Very rarely, PHPT may be due to parathyromatosis. This refers to an uncommon condition in which benign hyperfunctioning parathyroid tissue is scattered throughout the neck and/or in the superior mediastinum (see Unusual Presentations) (24).

 

EPIDEMIOLOGY

The incidence of PHPT has changed dramatically over the last half century (5,6,25,26). Before the advent of the multichannel autoanalyzer in the early 1970s, Heath et al reported an incidence of 7.8 cases per 100,000 persons in Rochester, Minnesota (5). With the introduction of routine calcium measurements in the mid-1970s, this rate rose dramatically to 51.1 cases per 100,000 in the same community. After prevalent cases were diagnosed, the incidence declined to approximately 27 per 100,000 persons per year in the United States until 1998, at which time another sharp increase was noted (25,27,28). This second peak has been attributed to the introduction of osteoporosis screening guidelines and targeted testing in those with osteoporosis (28). Recent works shows the incidence of PHPT increases with age and is higher in women and African-Americans than in men and other racial groups, respectively (29).

 

Greater appreciation of the catabolic potential of PTH in postmenopausal women with osteoporosis has led to measurement of PTH even in subjects who do not have hypercalcemia. This trend has led to the emergence of a new entity, normocalcemic PHPT or NPHPT(30). This condition is characterized by normal serum calcium, elevated PTH, and exclusion of known causes of secondary hyperparathyroidism. The incidence of NPHPT is unknown, but recent studies suggest a prevalence ranging from 0.2-3.1% (31,32).

 

DIAGNOSIS AND DIFFERENTIAL DIAGNOSIS

The diagnosis of PHPT is made when hypercalcemia and elevated PTH levels are present.

PTH levels that are inappropriately normal are also consistent with the diagnosis. The other major cause of hypercalcemia, malignancy, is readily discriminated from PHPT by a suppressed PTH level. Further, both the clinical presentation and biochemical profile of PHPT and hypercalcemia of malignancy help distinguish them. Patients with hypercalcemia of malignancy typically have severe and symptomatic hypercalcemia and advanced cancers that are clinically obvious. On the other hand, in PHPT most patients are asymptomatic and the serum calcium level is typically mildly elevated (within 1 mg/dl of the upper limit of normal). Extremely rarely, a patient with malignancy will be shown to have elevated PTH levels resulting from ectopic secretion of native PTH from the tumor itself (33). Much more commonly, the malignancy is associated with the secretion of parathyroid hormone–related protein (PTHrP), a molecule that does not cross-react in intact PTH assay (discussed below). Finally, it is possible that a malignancy is present in association with PHPT. When the PTH level is elevated in someone with a malignancy, this is more likely to be the case than a true ectopic PTH syndrome.

 

While ninety percent of patients with hypercalcemia have either PHPT or malignancy, the differential diagnosis of hypercalcemia includes a number of other etiologies such as vitamin D intoxication, granulomatous disease, and others (33).  With the exception of lithium and thiazide use and familial hypocalciuric hypercalcemia (FHH), virtually all other causes of hypercalcemia are associated with suppressed levels of PTH. If lithium and/or thiazides can be safely withdrawn, serum calcium and PTH levels that continue to be elevated 3-6 months later, confirm the diagnosis of PHPT. FHH, on the other hand, is differentiated from PHPT by family history, typically (but not always) low urinary calcium excretion, and mutations in the calcium sensing receptor (CASR) or more recently associated GNA11 and AP2S1 genes (34-36). In addition, virtual complete genetic penetrance leads to its clinical appearance typically before the age of 30. It is extremely unusual for FHH to present without an antecedent history after the age of 50.

 

To distinguish PTH-mediated from non-PTH mediated causes of hypercalcemia, PTH should be measured with an intact immunoradiometric (IRMA) or immunochemiluminometric (ICMA) assay, which readily discriminates between PHPT and hypercalcemia of malignancy. In PHPT, PTH concentrations are usually frankly elevated, but most often within 2 times the upper limit of normal. A minority may have PTH levels in the normal range, typically in the upper range of normal. In PHPT, such values, although within the normal range, are clearly abnormal in a hypercalcemic setting. Several factors affect the PTH level in those with and without PHPT, including age, vitamin D levels, and renal function. Because PTH levels normally rise with age, the broad normal range (typically 10-65 pg/mL) reflects values for the entire population. In the younger individual (< 45 years), one expects a narrower and lower normal range (10-45 pg/mL). Occasionally, the PTH level as measured will be as low as 20-30 pg/mL. Such unusual examples require a more careful consideration of other causes of hypercalcemia, but such individuals will usually be shown to have PHPT because hypercalcemia that is not PTH-mediated suppresses the PTH concentration to levels that are either undetectable or at the lower limits of the reference range. Souberbielle et al (37) have illustrated that the normal range is dependent on whether or not the reference population is or is not vitamin D deficient. When vitamin D–deficient individuals were excluded, the upper limit of the PTH reference interval decreased. Patients with PHPT and vitamin D deficiency have a “heightened” PTH levels compared to those who are vitamin D sufficient (38).

 

On the other hand, renal dysfunction tends to elevate PTH levels via a number of mechanisms, including reduced clearance and degradation of PTH. Indeed, patients with PHPT and severe renal dysfunction (glomerular filtration rate < 30ml/min), may also have higher PTH levels compared to those with better renal function (39). In addition, the “intact” IRMA for PTH overestimates the concentration of biologically active PTH, particularly in renal failure. In 1998, Lepage et al (40) demonstrated a large non-(1–84) PTH fragment that comigrated with a large aminoterminally truncated fragment (PTH[7–84]) and showed substantial cross-reactivity in commercially available IRMAs. This large, inactive moiety constituted as much as 50% of immunoreactivity by IRMA for PTH in individuals with chronic renal failure (41). Recognition of this molecule led to the development of a new IRMA using affinity-purified polyclonal antibodies to PTH (39–84) and to the extreme N-terminal amino acid regions, PTH (1–4) (42,43). This “whole PTH” or third generation assay detects only the full-length PTH molecule, PTH (1–84). This assay has clear utility in uremic patients, but in PHPT, both assays are equally useful (40,44-46). Using the third-generation assay for PTH (1-84), a second molecular form of PTH(1-84) that is immunologically intact at both extremes has been identified. This molecule reacts only poorly in second-generation PTH assays. It represents less than 10% of the immunoreactivity in normal individuals and up to 15% in renal failure patients. In a limited number of patients with a severe form of PHPT or with parathyroid cancer, it may be over-expressed (47).

 

PHPT can be discriminated from secondary and tertiary hyperparathyroidism by its different biochemical profile. Secondary hyperparathyroidism is associated with an appropriate elevation in PTH in response to a hypocalcemic provocation and either a frankly low or normal serum calcium level. Secondary hyperparathyroidism is often due to vitamin D deficiency. Other causes include malabsorption, kidney disease, or hypercalciuria. Infrequently, patients with secondary hyperparathyroidism may become hypercalcemic, and will ultimately be found to have PHPT, when the underlying condition (for example, vitamin D deficiency) is corrected (48). In these cases, the hypercalcemia of PHPT was ‘masked’ by the co-existing condition. On the other hand, tertiary hyperparathyroidism describes a condition in which prolonged, severe secondary hyperparathyroidism (as in end-stage renal disease) evolves into a hypercalcemic state due to the development of autonomous functioning of one or more of the hyperplastic parathyroid glands. This can be observed in patients on dialysis or after renal transplant. Tertiary hyperparathyroidism is usually obvious from the history.

 

Normocalcemic primary hyperparathyroidism (NPHPT) describes a condition characterized by normal serum albumin-corrected calcium levels and ionized calcium values with an elevated PTH level. This condition can only be diagnosed when all known causes of secondary hyperparathyroidism have been excluded. Patients with NPHPT typically are diagnosed when PTH is measured in the course of an evaluation for low bone mass. NPHPT may represent the earliest manifestations of PHPT, a “forme fruste” of the disease. Several reports have appeared describing these individuals, with some patients progressing to overt hypercalcemia while under observation (30,32,49,50).

 

Although the term “normocalcemic PHPT” has been in use for decades, there has been considerable controversy concerning the accuracy of this designation. In many cases, the increases in PTH levels were attributable to the limitations of available assay technology. The older midmolecule radioimmunoassay for PTH, previously in common use, measured hormone fragments in addition to the intact molecule. Spuriously elevated PTH levels, particularly in those with renal insufficiency in whom clearance of hormone fragments is impaired, were seen. Alternative explanations for hyperparathyroidism with NPHPT have been discovered, including medications, hypercalciuria, renal insufficiency, and certain forms of liver and gastrointestinal disease. In recent years, it has become clear that many patients designated as having NPHPT were vitamin D deficient. Vitamin D deficiency with coexisting PHPT can give the semblance of normal calcium levels when in fact they would have been hypercalcemic if the vitamin D levels were normal. Since a possible view of NPHPT is a condition fostered by an element of vitamin D resistance, it is important to ensure vitamin D sufficiency. While the Institute of Medicine states that normal levels of vitamin D, as measured by 25-hydroxyvitamin D, are 20 ng/ml, it did not address conditions of abnormal mineral metabolism, such as PHPT. In particular, in NPHPT, we and others recommend that levels of 25-hydorxyvitamin D be raised, if necessary, to > 30 ng/mL for at least 3 months in order to rule out an element of vitamin D insufficiency in this population. Biochemical profiles for the various causes of hypercalcemia and hyperparathyroidism are shown in Table 2.

 

Table 2. Biochemical Profiles for Various Causes of Hypercalcemia and Hyperparathyroidism

Cause

Serum Calcium

        PTH

Urine Calcium

Primary Hyperparathyroidism

Elevated

Elevated or Inappropriately Normal

High or High Normal

Hypercalcemia of Malignancy and non-PTH Mediated Hypercalcemia

Elevated

Suppressed

Typically High*

Secondary Hyperparathyroidism

Normal or Low

Elevated

Low in vitamin D deficiency, malabsorption, chronic renal failure,

High in Idiopathic Hypercalciuria

Tertiary Hyperparathyroidism

Elevated

Elevated

Low before transplant

FHH

Elevated

Typically High Normal or Elevated

Typically Low

Normocalcemic Primary Hyperparathyroidism

Normal

High

<350 mg/24 hours (30)

*may vary by cause

 

OTHER BIOCHEMICAL FEATURES

In PHPT, serum phosphorus tends to be in the lower range of normal, but frank hypophosphatemia is present in less than one fourth of patients. Hypophosphatemia, when present, is due to the phosphaturic actions of PTH. Average total urinary calcium excretion is at the upper end of the normal range, with about 40% of all patients experiencing hypercalciuria. Serum 25-hydroxyvitamin D levels tend to be in the lower end of the normal range. Although mean values of 1,25-dihydroxyvitamin D are in the high-normal range, approximately one third of patients have frankly elevated levels of 1,25-dihydroxyvitamin D (51). This pattern is a result of the actions of PTH to increase expression of the 1-alpha hydroxylase that converts 25-hydroxyvitamin D to 1,25-dihydroxyvitamin D.  A typical biochemical profile is shown in Table 3.

 

Table 3. Biochemical Profile in Primary Hyperparathyroidism (n = 137)

 

Patients (Mean ± SEM)

Normal Range

Serum calcium

10.7 ± 0.1 mg/dL

8.2-10.2 mg/dL

Serum phosphorus

2.8 ± 0.1 mg/dL

2.5-1.5 mg/dL

Total alkaline phosphatase

114 ± 5 IU/L

<100 IU/L

Serum magnesium

2.0 ± 0.1 mg/dL

1.8-2.4 mg/dL

PTH (IRMA)

119 ± 7 pg/mL

10-65 pg/mL

25(OH)D

19 ± 1 ng/mL

30-80 ng/mL

1,25(OH)2D

54 ± 2 pg/mL

15-60 pg/mL

Urinary calcium

240 ± 11 mg/g creatinine

 

Urine DPD

17.6 ± 1.3 nmol/mmol creatinine

<14.6 nmol/mmol creatinine

Urine PYD

46.8 ± 2.7 nmol/mmol creatinine

<51.8 nmol/mmol creatinine

DPD, Deoxypyridinoline; PTH (IRMA), parathyroid hormone (immunoradiometric assay); PYD, pyridinoline.

 

CLINICAL PRESENTATION

PHPT typically occurs in individuals in their middle years, with a peak incidence between ages 50 and 60 years. However, the condition can occur at any age. Women are affected more frequently than men, in a ratio of approximately 3-4:1. Several different presentations of PHPT are possible and were originally described successively in time (2,30,52). The classical symptomatic presentation was described first; later, asymptomatic PHPT emerged due to biochemical screening, and most recently the normocalcemic variant was discovered as described above. However, these three forms of PHPT contemporaneously exist today. Which presentation predominates depends upon population- and geographic-specific screening practices. It is also postulated that vitamin D deficiency may affect clinical presentation. Vitamin D deficiency heightens PTH elevations and this can worsen the hyperparathyroid process (53). In regions of the world and populations where biochemical screening is not routine and incidentally where vitamin D deficiency is endemic, symptomatic PHPT is the most common form and PHPT will appear to be uncommon because it is only discovered when symptomatic (54-64).  In areas and populations where screening is routine, asymptomatic PHPT will predominate and the incidence of PHPT is higher (52,65).

 

This chapter focuses on asymptomatic PHPT, as it is the predominant form in the United States and in most of the developed world. At the time of diagnosis, most patients with PHPT do not exhibit classic symptoms or signs associated with disease. Clinically overt kidney stones and fractures are rare (66). Constitutional complaints such as weakness, easy fatigability, depression, and intellectual weariness are seen with some regularity (see later discussion) (67). The physical examination is generally unremarkable. Band keratopathy, a hallmark of classic PHPT, occurs because of deposition of calcium phosphate crystals in the cornea, but is virtually never seen grossly. Even by slit-lamp examination, this finding is rare. The neck shows no masses. The neuromuscular system is normal. The sections below provide a detailed description of the multi-systemic manifestations of PHPT.

 

Diseases associated epidemiologically with PHPT have included hypertension (68-70), peptic ulcer disease, gout, or pseudogout (71,72). More recently celiac disease has been associated with PHPT (73). Some concomitant disorders such as hypertension are commonly seen, but it is not established that any of these associated disorders are etiologically linked to the disease.

 

The Skeleton 

The classic radiologic bone disease of PHPT, osteitis fibrosa cystica, is rarely seen today in the United States. Most series place the incidence of osteitis fibrosa cystica at less than 2% of patients with PHPT. The absence of classic radiographic features (salt-and-pepper skull, tapering of the distal third of the clavicle, subperiosteal bone resorption of the phalanges, brown tumors) does not mean that the skeleton is not affected. With more sensitive techniques, it has become clear that skeletal involvement in the hyperparathyroid process is actually quite common. This section reviews the profile of the skeleton in PHPT as it is reflected in assays for bone markers, bone densitometry, bone histomorphometry, and new skeletal imaging techniques.

 

BONE TURNOVER MARKERS

PTH stimulates both bone resorption and bone formation. Markers of bone turnover, which reflect those dynamics, provide clues to the extent of skeletal involvement in PHPT (74).

 

Bone Formation Markers

Osteoblast products, including bone-specific alkaline phosphatase activity, osteocalcin, and serum amino-terminal propeptide of type I collagen (P1NP), reflect bone formation (74). In PHPT, alkaline phosphatase levels, the most widely clinically available marker, can be mildly elevated, but in many patients, total alkaline phosphatase values are within normal limits (75,76). In a small study from our group (77), bone-specific alkaline phosphatase activity correlated with PTH levels and BMD at the lumbar spine and femoral neck. Osteocalcin is also generally increased in patients with PHPT (77-79). Sclerostin is an important regulator of bone formation. Patients with PHPT  have low sclerostin levels, suggesting PTH down regulates sclerostin (80). As expected the bone formation marker, serum amino-terminal propeptide of type I collagen (P1NP), is negatively associated with sclerostin in PHPT (81). In a small series of 27 patients followed for up to a year post-PTX, circulating sclerostin increases shortly after post-surgery but return to the age reference range within 10 days (82).

 

Bone Resorption Markers

Markers of bone resorption include the osteoclast product, tartrate-resistant acid phosphatase (TRAP), and collagen breakdown products such as hydroxyproline, hydroxypyridinium cross-links of collagen, and N- and C-telopeptides of type 1 collagen (NTX and CTX) (74). Urinary hydroxyproline, once the only available marker of bone resorption, no longer offers sufficient sensitivity or specificity to make it useful. Although urinary hydroxyproline was frankly elevated in patients with osteitis fibrosa cystica, in mild asymptomatic PHPT it is generally normal. Hydroxypyridinium cross-links of collagen, pyridinoline (PYD), and deoxypyridinoline (DPD), on the other hand, are often elevated in PHPT. They return to normal after parathyroidectomy (83). DPD and PYD both correlate positively with PTH concentrations. Studies of NTX, CTX and TRAP are limited, although levels of the latter have been shown to be elevated (48). Thus, sensitive assays of bone formation and bone resorption are both elevated in mild PHPT.

 

Longitudinal Bone Turnover Marker Studies

Studies of bone turnover markers in the longitudinal follow-up of patients with PHPT indicate a reduction in these markers following parathyroidectomy. Information from our group (83,84), Guo et al (85), and Tanaka et al (86) all report declining levels of bone markers following surgery. The kinetics of change in bone resorption versus bone formation following parathyroidectomy provide insight into skeletal recovery. We have found that markers of bone resorption decline rapidly following successful parathyroidectomy, whereas indices of bone formation follow a more gradual decrease (83). Urinary PYD and DPD decreased significantly as early as 2 weeks following parathyroid surgery, preceding reductions in alkaline phosphatase. Similar data were reported from Tanaka et al (86), who demonstrated a difference in time course  between changes in NTX (reflecting bone resorption) and osteocalcin (reflecting bone formation) following parathyroidectomy, and Minisola et al (87), who reported a drop in bone resorptive markers and no significant change in alkaline phosphatase or osteocalcin. The persistence of elevated bone formation markers coupled with rapid declines in bone resorption markers indicate a shift in the coupling between bone formation and bone resorption toward an accrual of bone mineral postoperatively. More recent data indicate that levels of preoperative markers of bone turnover (formation and resorption) are positively associated with the extent of bone accrual after parathyroidectomy, though some of the patients included in this study had more severe PHPT than is typically seen in the United States today (88).

 

BONE DENSITOMETRY

The advent of bone mineral densitometry as a major diagnostic tool for osteoporosis occurred at a time when the clinical profile of PHPT was changing from a symptomatic to an asymptomatic disease. This fortuitous timing allowed questions about skeletal involvement in PHPT to be addressed when specific gross radiologic features of PHPT had all but disappeared. Observations of skeletal health in PHPT made by bone densitometry have established the importance of this technology in the evaluation of all patients with PHPT. The Consensus Development Conference on Asymptomatic Primary Hyperparathyroidism in 1990 implicitly acknowledged this point when bone mineral densitometry was included as a separate criterion for clinical decision making (89). Since that time, bone densitometry has become an indispensable component of both evaluating the patient and establishing clinical guidelines for management and monitoring.

 

The known physiologic proclivity of PTH to be catabolic at sites of cortical bone make a cortical site essential to any complete densitometric study of PHPT. By convention, the distal third of the radius is the site used. The early densitometric studies in PHPT also showed another physiologic property of PTH, namely, to preserve bone at cancellous sites. The lumbar spine is an important site to measure not only because it is predominantly cancellous bone, but also because postmenopausal women are at risk for cancellous bone loss. In PHPT, bone density at the distal third of the radius is diminished (90,91) while at the lumbar spine it is only minimally reduced (Figure 1). The hip region, containing relatively equal amounts of cortical and cancellous elements, shows bone density intermediate between the cortical and cancellous sites. The results support not only the notion that PTH is catabolic for cortical bone but also the view that PTH is generally protective against bone loss in cancellous bone (92-94). In postmenopausal women, the same pattern was observed (91). Postmenopausal women with PHPT, therefore, show a reversal of the pattern typically associated with postmenopausal bone loss. Rather than preferential loss of cancellous bone at the lumbar spine, the cortical site of the distal radius is more often affected in postmenopausal women with PHPT.

Figure 1. The pattern of bone loss in primary hyperparathyroidism. A typical pattern of bone loss is seen in asymptomatic patients with primary hyperparathyroidism. The lumbar spine is relatively well preserved while the distal radius (1/3 site) is preferentially affected. (Reprinted with permission from Silverberg SJ, Shane E, DeLaCruz L, et al. Skeletal disease in primary hyperparathyroidism. J Bone Mineral Res 1989;4:283-291).

The bone density profile in which there is relative preservation of skeletal mass at the vertebrae and reduction at the more cortical distal radius is not always seen in PHPT. Although this pattern is evident in the vast majority of patients, small groups of patients show evidence of vertebral osteopenia at the time of presentation. In our natural-history study, approximately 15% of patients had a lumbar spine Z score of less than –1.5 at the time of diagnosis (95). Only half of these patients were postmenopausal women, so not all vertebral bone loss could be attributed entirely to estrogen deficiency. These patients are of interest with regard to changes in bone density following parathyroidectomy and are discussed in further detail later. The extent of vertebral bone involvement will vary as a function of disease severity. In the typical mild form of the disease, the pattern described earlier is seen. When PHPT is more advanced, there will be more generalized involvement, with involvement of the lumbar bone. When PHPT is severe or more symptomatic, all bones can be extensively involved. Vitamin D deficiency in mild asymptomatic PHPT seems to have minimal effect on BMD with only slightly reduced BMD at the 1/3 radius in those with low vitamin D (96,97).

 

BONE HISTOMORPHOMETRY 

Analyses of percutaneous bone biopsies from patients with PHPT have provided direct information that could only be indirectly surmised by bone densitometry and by bone markers. Both static and dynamic parameters present a picture of cortical thinning, maintenance of cancellous bone volume, and a very dynamic process associated with high turnover and accelerated bone remodeling. Cortical thinning, inferred by bone mineral densitometry, is clearly documented in a quantitative manner by iliac crest bone biopsy (98,99). Van Doorn et al (100) demonstrated a positive correlation between PTH levels and cortical porosity. These findings are consistent with the known effect of PTH to be catabolic at endocortical surfaces of bone. Osteoclasts are thought to erode more deeply along the corticomedullary junction under the influence of PTH.

 

Histomorphometric studies have also contributed information about cancellous bone  in PHPT (100). Again, as suggested by bone densitometry, cancellous bone volume is well preserved in PHPT. This is seen as well among postmenopausal women with PHPT. Several studies have shown that cancellous bone is actually increased in PHPT as compared to normal subjects (101,102). When cancellous bone volume is compared among age- and sex-matched subjects with PHPT or postmenopausal osteoporosis, a dramatic difference is evident. Whereas postmenopausal women with osteoporosis have reduced cancellous bone volume, women with PHPT have higher cancellous bone volume (101). The region(s) of bone loss in PHPT is (are) directed toward the cortical bone compartment, with good maintenance of cancellous bone volume unless the PHPT is unusually active.

 

In PHPT, age-related bone loss appears to be mitigated. In a study of 27 patients with PHPT (10 men and 17 women), static parameters of bone turnover (osteoid surface, osteoid volume, and eroded surface) were increased, as expected, in patients relative to control subjects (103). However, in control subjects, trabecular number varied inversely with age, whereas trabecular separation increased with advancing age. These observations are expected concomitants of aging. In marked contrast, in the patients with PHPT, no such age dependency was seen. There was no relationship between trabecular number or separation and age in PHPT, suggesting that the actual plates and their connections were being maintained over time more effectively than one would have expected by aging per se. Thus, PHPT seems to retard the normal age-related processes associated with trabecular loss.

 

In PHPT, indices of trabecular connectivity are greater than expected, whereas indices of disconnectivity are decreased. When three matched groups of postmenopausal women were assessed (a normal group, a group with postmenopausal osteoporosis, and a group with PHPT), women with PHPT were shown to have trabeculae with less evidence of disconnectivity compared with normal, despite increased levels of bone turnover (102,103). Thus, cancellous bone is preserved in PHPT through the maintenance of well-connected trabecular plates. To determine the mechanism of cancellous bone preservation in PHPT, static and dynamic histomorphometric indices were compared between normal and hyperparathyroid postmenopausal women. In normal postmenopausal women, there is an imbalance in bone formation and resorption, which favors excess bone resorption. In postmenopausal women with PHPT, on the other hand, the adjusted apposition rate is increased. Bone formation, thus favored, may explain the efficacy of PTH at cancellous sites in patients with osteoporosis (92,104-106). Assessment of bone remodeling variables in patients with PHPT shows increases in the active bone-formation period (101) (Table 4). The increased bone formation rate and total formation period may explain the preservation of cancellous bone seen in this disease.

 

Table 4. Wall Width and Remodeling Variables in PHPT and Control Groups (Mean ± SEM)

Variable

PHPT (n = 19)

Control (n = 34)

P

Wall width (μm)

40.26 ± 0.36

34.58 ± 0.45

<.0001

Eroded perimeter (%)

9.00 ± 0.86

4.76 ± 0.39

<.0001

Osteoid perimeter (%)

26.84 ± 2.79

15.04 ± 1.09

<.0001

Osteoid width (μm)

13.39 ± 0.54

9.92 ± 0.36

<.0001

Single-labeled perimeter (%)

11.56 ± 1.63

4.47 ± 0.48

<.0001

Double-labeled perimeter (%)

10.41 ± 1.28

4.45 ± 0.65

<.0001

Mineralizing perimeter (%)

16.19 ± 1.75

6.68 ± 0.83

<.0001

Mineralizing perimeter/osteoid perimeter (%)

63.0 ± 5.0

44.04 ± 4.0

<.01

Mineral apposition rate (μm/day)

0.63 ± 0.03

0.63 ± 0.02

NS

Bone formation rate (μm 2/μm/day)

0.10 ± 0.01

0.042 ± 0.006

<.0001

Adjusted apposition rate (μm/day)

0.40 ± 0.04

0.29 ± 0.03

<.015

Activation frequency/yr

0.95 ± 0.12

0.45 ± 0.06

<.0002

Mineralization lag time (days)

44.0 ± 6.5

57.0 ± 8.9

NS

Osteoid maturation time (days)

22.5 ± 1.8

16.6 ± 0.9

<.003

Total formation period (days)

129.2 ± 21.0

208.8 ± 32.5

NS

Active formation period (days)

67.8 ± 5.1

57.3 ± 2.3

<.05

Resorption period (days)

48.4 ± 7.3

84.8 ± 25.0

NS

Remodeling period (days)

172.5 ± 25.2

299.9 ± 55.1

NS

NS, Not significant; PHPT, primary hyperparathyroidism. Modified from Dempster DW, Parisien M, Silverberg SJ, et al: On the mechanism of cancellous bone preservation in postmenopausal women with mild primary hyperparathyroidism, J Clin Endocrinol Metab. 1999; 84:1562-1566.

 

More recently, further analysis of trabecular microarchitecture has taken advantage of newer technologies that have largely been confirmatory. In a three-dimensional analysis of transiliac bone biopsies using microCT technology, a highly significant correlation was observed with the conventional histomorphometry described earlier (107). In comparison to age-matched control subjects without PHPT, postmenopausal women with PHPT had higher bone volume (BV/TV), higher bone surface area (BS/TV), higher connectivity density (Conn.D), and lower trabecular separation (Tb.Sp.). There were also less marked age-related declines in BV/TV and Conn.D as compared to controls, with no decline in BS/TV. Using the technique of backscattered electron imaging (qBEI) to evaluate trabecular BMD distribution (BMDD) in iliac crest bone biopsies, Roschger et al (108) showed reduced average mineralization density and an increase in the heterogeneity of the degree of mineralization, consistent with reduced mean age of bone tissue. Studies of collagen maturity using Fourier Transform Infrared Spectroscopy provide further support for these observations (109). Bone strength, therefore, in PHPT has to take into account a number of factors related to skeletal properties of bone besides BMD (110).

 

NEW IMAGING TECHNIQUES

Newer non-invasive skeletal imaging technologies offer new insight into the skeletal manifestations of PHPT beyond observations made by DXA and radiography. The trabecular bone score or TBS provides an indirect assessment of trabecular microstructure from the DXA image. In those without PHPT, it has been shown to predicts fracture independently of BMD (111). In PHPT, TBS reveals trabecular microstructural deterioration at the spine, despite preserved BMD by DXA at this site (112). High resolution peripheral quantitative CT (HRpQCT) is a technology that noninvasively and directly measures skeletal microstructure at the distal radius and tibia. Utilizing this technology, studies in patients with PHPT indicate not only cortical thinning, but additionally trabecular deficits at the radius and tibia (Figure 2) (113-115). At the radius, trabeculae were fewer, thinner, more widely and heterogeneously spaced.  At the tibia, trabeculae were more heterogeneously spaced (116). These deficits led to reduced stiffness when images were analyzed using microfinite element analysis, a technique that integrates structural and denisitometric information from the HRpQCT image into an estimated of mechanical competence. These recent findings, pointing to abnormalities in the trabecular compartment of bone, help to account for the increased risk of vertebral fractures (see below) observed in PHPT that had remained unexplained prior to the advent of such technologies (117-120). The difference in microskeletal abnormalities between the iliac crest bone biopsy data and HRpQCT may well reflect site-specific sampling differences.

Figure 2. High-resolution peripheral quantitative CT images of the radius in a patient with primary hyperparathyroidism (PHPT; left) and a normal control (right). Trabecular deterioration is evident in PHPT. Image from Stein EM, Silva BC, Boutroy S, et al. Primary hyperparathyroidism is associated with abnormal cortical and trabecular microstructure and reduced bone stiffness in postmenopausal women. J Bone Miner Res 2012

FRACTURES

Fractures were a common clinical event in classic PHPT. In modern PHPT, one would anticipate, based on the BMD patterns observed with DXA, an increased risk of peripheral fractures, but a reduction in vertebral fractures. While not all studies are consistent and much of the data is retrospective and/or cross-sectional, the majority of studies suggest an increased risk for vertebral fractures in patients with PHPT (117-123). Moreover, recent data indicates that many vertebral fractures are in fact clinically silent (118,124). The paradox of increased vertebral fracture risk despite preserved lumbar spine BMD in PHPT had remained unclear until the advent of TBS and HRpQCT, which clearly document trabecular deficits in addition to previously recognized cortical skeletal deterioration. Using the Danish National Patient registry and a nested case-control design, Ejlsmark-Svensson et al. recently showed that vertebral fractures in patients with PHPT occur at a higher BMD than in patients without PHPT, again pointing to the importance of other elements of bone quality in PHPT (125). In one recent study, among asymptomatic PHPT patients, only those who met surgical guidelines showed a higher incidence of vertebral fractures compared with controls (118).

 

The risk for hip fracture is not clearly increased in PHPT. In a study that focused on hip fracture, a population-based prospective analysis (mean of 17 years’ duration; 23,341 person years) showed women with PHPT in Sweden not to be at increased risk (126). The Mayo Clinic experience with PHPT and risk of fracture reviewed 407 cases of PHPT recognized during the 28-year period between 1965 and 1992 (117). Fracture risk was assessed by comparing fractures at a number of sites with numbers of fractures expected based on gender and age from the general population. The clinical presentation of these patients with PHPT was typical of the mild form of the disease, with the serum calcium being only modestly elevated at 10.9 ± 0.6 mg/dL. The data from this retrospective epidemiologic study indicate that overall fracture risk was significantly increased at many sites such as the vertebral spine, the distal forearm, the ribs, and the pelvis. There was no increase in hip fractures. One might expect to see an increased incidence of distal forearm fractures as seen in the May study, because the hyperparathyroid process tends to lead to a reduction of cortical bone (distal forearm) in preference to cancellous bone (vertebral spine). Unfortunately, there were no densitometric data provided in this study, so one could not relate bone density to fracture incidence.

 

The impact of PHPT on fracture incidence appears complex and may be site-specific. This relationship is likely influenced by site-specific changes in areal bone density, bone size, and microstructure. Excess PTH would induce cortical thinning due to endosteal bone resorption but would also increase periosteal apposition, thus increasing bone diameter. Decreased areal bone density would increase fracture risk, while increased bone diameter and preserved microstructure at certain sites, might protect against fractures. Prospective studies are needed to elucidate the site-specific risk of fracture in PHPT.

 

Nephrolithiasis and Renal Function

In the past, classic clinical descriptions of PHPT emphasized kidney stones as a principal complication of the disease (127). The cause of nephrolithiasis in PHPT is probably multifactorial. An increase in the amount of calcium filtered at the glomerulus resulting from hypercalcemia may lead to hypercalciuria despite the physiologic actions of PTH to facilitate calcium reabsorption. A component of absorptive hypercalciuria exists in this disorder. The enhanced intestinal calcium absorption is likely a result of increased production of 1,25-dihydroxyvitamin d, a consequence of PTH’s action to increase the synthesis of this active metabolite (128) (129). Indeed, urinary calcium excretion is correlated with 1,25-dihydroxyvitamin d levels (129,130). The skeleton provides yet another possible source for the increased levels of calcium in the glomerular filtrate. Hyperparathyroid bone resorption might contribute to hypercalciuria, and subsequently to nephrolithiasis, even though there is no convincing evidence to support this hypothesis (131). Finally, alteration in local urinary factors, such as a reduction in inhibitor activity or an increase in stone-promoting factors, may predispose some patients with PHPT to nephrolithiasis (131,132). It remains unclear whether the urine of patients with hyperparathyroid stone disease is different in this regard from that of other stone formers.

 

Studies in the 1970s and 1980s documented a higher incidence of renal stone disease than do reports of more recent experience.  Although the incidence of symptomatic nephrolithiasis today is much less common than it was in classical PHPT, kidney stones remain the most common manifestation of symptomatic PHPT (see Table 1). Estimates suggest symptomatic kidney stones in 15% to 20% of all patients (133). Screening for asymptomatic nephrolithiasis, indicates that the prevalence is actually much higher and this is now recommended in the most recent set of guidelines on the management of asymptomatic primary hyperparathyroidism (134-138).

 

The etiology of why stones develop in some but not others with PHPT has been postulated since the 1930s, but is still not well understood.  In the 1930s, it was generally accepted that bone and stone disease did not coexist in the same patient with classic PHPT (2,139). Albright and Reifenstein (139) theorized that a low dietary calcium intake led to bone disease, whereas adequate or high dietary calcium levels caused stone disease. Dent et al (140), who provided convincing evidence against this construct, proposed the existence of two forms of circulating PTH, one causing renal stones and the other causing bone disease. A host of mechanisms, including differences in dietary calcium, calcium absorption, forms of circulating PTH, and levels of 1,25-dihydroxyvitamin d, were proposed to account for the clinical distinction between bone and stone disease in PHPT (131,140). Today, there is no clear evidence for two distinct subtypes of PHPT or that the process affecting the skeleton and kidneys occur in different subsets of patients (127). Cortical bone demineralization is as common and as extensive in those with and without nephrolithiasis (127,131).

 

Although more recent work has suggested that 1,25-dihydroxyvitamin d plays an etiologic role in the development of nephrolithiasis in PHPT, not all studies are consistent with this premise (127,131,132,138,141). Other investigations have shown risk factors for nephrolithiasis include younger age and male sex, whereas degree of hypercalcemia and hypercalciuria, PTH levels and other urinary factors have less consistently been associated (38,135,136,138,141-143). Hypomagnesuria has recently been associated with silent kidney stones in PHPT (144).

 

Other renal manifestations of PHPT include hypercalciuria, which is seen in approximately 40% of patients, and nephrocalcinosis. The frequency of nephrocalcinosis is unknown, but it appears to be relatively uncommon today (135). Though there were clear reports of renal impairment in early descriptions of PHPT, the prevalence of renal dysfunction (estimated glomerular filtration rate (eGFR) <60 ml/min) today in patients with mild PHPT is low with recent studies suggesting rates of 15–17% (39,145,146). Neither the severity of PHPT nor having a history of nephrolithiasis were risk factors for reduced eGFR in a 2014 study in those with mild PHPT; instead, traditional risk factors, such as age, hypertension, use of antihypertensive medication, and fasting glucose levels were associated with poorer kidney function (145). Longitudinal data is reassuring in this regard, as renal function remains stable in PHPT over long periods of follow-up (52,147).  

 

Other Organ Involvement

CARDIOVASCULAR SYSTEM

Interest in the effect of PHPT on cardiovascular function is rooted in pathophysiologic observations of the hypercalcemic state. Hypercalcemia has been associated with increases in blood pressure, left ventricular hypertrophy, heart muscle hypercontractility, and arrhythmias (148,149). Furthermore, evidence of calcium deposition has been documented in the form of calcifications in the myocardium, heart valves, and coronary arteries. The association of overt cardiovascular symptomatology with modern-day PHPT is unclear because of inconsistencies between studies. An explanation for the inconsistent results reported in the literature on the cardiovascular manifestations of PHPT relates to the fact that the clinical profile of the disease has changed. As a result, the cohorts that have been studied have varied greatly in the severity of their underlying disease. This is particularly true in terms of the serum calcium and parathyroid hormone concentrations, with data from cohorts with marked hypercalcemia and hyperparathyroidism showing the most cardiovascular involvement. Because it is thought that both calcium and PTH can independently affect the cardiovascular system, such variability among cohorts can give rise to inconsistent results. Recent studies have focused on not only cardiovascular mortality, but also hypertension, coronary artery disease (CAD), valve calcification, left ventricular hypertrophy (LVH), carotid disease, and vascular stiffness.

 

Cardiovascular Mortality

There is little doubt that in very active PHPT, cardiovascular mortality is increased (150-153). Of some interest are the postoperative observations in which the higher cardiovascular mortality rate persists for years after cure (154). These observations differ markedly from those in which asymptomatic PHPT has been studied. Although limited, the studies have not shown any increase in mortality (155,156). The Mayo Clinic studies help to bring these observations together. In the mildly hypercalcemic individuals, overall and cardiovascular mortality was reduced, but in those whose serum calcium was in the highest quartile, cardiovascular mortality was increased (156). The idea that the more common asymptomatic form of PHPT is not associated with increased mortality is supported by data from Nilsson et al (157) and by other studies (158,159) in which more recently enrolled subjects had better survival than those who entered earlier and presumably had more active disease.

 

Hypertension

Hypertension, a common feature of PHPT when it is part of a MEN syndrome with pheochromocytoma or hyperaldosteronism, has also been reported as more prevalent in sporadic, asymptomatic PHPT than in appropriately matched control groups. The mechanism of this association is unknown, and the condition does not clearly remit following cure of the hyperparathyroid state (68,70,160-163).

 

Coronary Artery Disease (CAD) and Valve Calcification

Both calcium and PTH have independently been shown to be associated with coronary heart disease (164,165). Aside from autopsy studies such as those of Roberts and Waller (166), in which coronary atherosclerosis was seen in patients with marked hypercalcemia (16.8 to 27.4 mg/dL), the more recent literature has been controversial. When CAD is present in PHPT, it is most likely due to traditional risk factors rather than the disease itself (159,167,168). Some studies have actually shown that in mild PHPT, there is better exercise tolerance as determined by the electrocardiogram (169). Valve calcification, which is present in severe PHPT, has been shown to be more extensive (greater valve area) when present in those with mild PHPT versus controls (149,170,171), and is associated with increased PTH levels but it is not reversible with parathyroidectomy (171).

 

Left Ventricular Hypertrophy

Left ventricular hypertrophy (LVH) is a strong predictor of cardiovascular disease and mortality (172,173). LVH has been associated with PHPT in many, but not all, studies (174). A 2015 meta-analysis indicated that parathyroidectomy is associated with a decline in left ventricular mass and that higher levels of PTH pre-operatively predict a greater cardiovascular benefit. However, dissociating disease severity from study design (RCTs included individuals with lower levels of calcium and PTH than those included in observational studies) was not possible (175).

 

Vascular Function

Conflicting data exist regarding whether intima media thickness is increased in PHPT (176-180). Multiple studies have reported increased vascular stiffness, sometimes associated with PTH levels, in mild PHPT, but its reversibility with parathyroidectomy is inconsistent (180-183). Given conflicting data, most experts do not consider cardiovascular disease to be an indication for parathyroidectomy (137).

 

NEUROLOGICAL, PSYCHOLOGICAL, AND COGNITIVE FEATURES 

Descriptions of classical PHPT do indeed indicate neuropsychological features (2,184). The extent to which these features remain a part of the modern picture of PHPT as well as the exact mechanisms underlying them is unclear. Perhaps the most common complaints have been those of weakness and easy fatigability (67). Classic PHPT was formerly associated with a distinct neuromuscular syndrome characterized by type II muscle cell atrophy (185). Originally described by Vicale in 1949 (186), the syndrome consisted of easy fatigability, symmetric proximal muscle weakness, and muscle atrophy. Both the clinical and electromyographic features of this disorder were reversible after parathyroid surgery (187,188). In the milder, less symptomatic form of the disease that is common today, this disorder is rarely seen (189). In a group of 42 patients with mild disease, none had complaints consistent with the classic neuromuscular dysfunction described previously. Although more than half of all patients expressed nonspecific complaints of paresthesias and muscle cramps, electromyographic studies did not confirm the picture of past observations.

 

The “psychic groans” described by early observers of patients with classic PHPT remain a source of controversy today. Patients with PHPT often report some degree of behavioral and/or psychiatric symptomatology. A retrospective inquiry of patients with more severe disease showed a 23% incidence of psychiatric symptomatology (n = 441) (190). A number of studies suggest, however, that even ‘mild PHPT’ (serum calcium <12 mg/dl) is associated with non-specific symptoms such as depression, anxiety, fatigue, decreased quality of life (QOL), sleep disturbance, and cognitive dysfunction. Many, but not all, observational studies have indicated these features improve after parathyroidectomy (191). Three RCTs have investigated the reversibility of reduced QOL and psychiatric symptoms (192-194). Despite being of similar design and using similar assessment tools, all three randomized controlled trials came to different conclusions; one randomized controlled trial suggested parathyroidectomy prevents worsening of QOL and improves psychiatric symptoms (193); another randomized controlled trial indicated no benefit; and the third randomized controlled trial demonstrated improvement in QOL (192,194). One randomized controlled trial investigated changes in cognition after parathyroidectomy, but its small size precluded definitive conclusions being drawn (195).

 

While less well studied, some, but not all, studies have demonstrated reduced memory or impairment in other cognitive domains (195-201). It is unclear if cognition improves after parathyroidectomy because results of studies in which longitudinal control groups are compared to those undergoing parathyroidectomy are inconsistent (197,199,202-204). Recent work has turned to the potential mechanisms that contribute to cognitive dysfunction in PHPT. Our latest studies have addressed this issue. We hypothesized that cerebrovascular dysfunction (i.e., vascular stiffness) might underlie cognitive changes in patients with PHPT. While PTH correlated with cerebrovascular function as measured by transcranial Doppler, there was no consistent association between cerebrovascular function and cognitive performance (205). In a separate study, we utilized functional magnetic resonance imaging to assess if cerebral activation was altered by PHPT. Functional magnetic resonance imaging, or fMRI, is a non-invasive tool that maps brain function based on changes in blood flow (206). We found that PHPT was associated with differences in task-related neural activation patterns but no difference in cognitive performance. This may indicate compensation to maintain the same cognitive function, but there was no clear improvement in neural activation after parathyroidectomy (206). At present, most experts do not recognize cognitive or psychiatric symptoms as a sole indication for parathyroidectomy. Reasons for this include the failure to clearly demonstrate reversibility in randomized controlled trials, the inability to predict which patients might improve and a lack of a clear mechanism (137).

 

GASTROINTESTINAL MANIFESTATIONS  

Primary hyperparathyroidism has long been considered associated with an increased incidence of peptic ulcer disease. Most recent studies suggest that the incidence of peptic ulcer disease in PHPT is approximately 10%, a figure similar to its percentage in the general population. An increased incidence of peptic ulcer disease is seen in patients with PHPT resulting from MEN1, in which approximately 40% of patients have clinically apparent gastrinomas (Zollinger-Ellison syndrome). In those patients, PHPT is associated with increased clinical severity of gastrinoma, and treatment of the associated PHPT has been reported to benefit patients with Zollinger-Ellison syndrome (207,208). Despite this, current recommendations (Consensus Conference Guidelines for Therapy of MEN1) state that the coexistence of Zollinger-Ellison syndrome does not represent sufficient indication for parathyroidectomy, because medical therapy is so successful (208).

 

Although hypercalcemia can underlie pancreatitis, most large series have not reported an increased incidence of pancreatitis in patients with PHPT with serum calcium levels less than 12 mg/dL. The Mayo Clinic experience from 1950 to 1975 showed that only 1.5% of those with PHPT exhibited coexisting pancreatitis, and alternative explanations for pancreatitis were found for several patients. Regarding pancreatitis in pregnancy in patients with PHPT, these conditions may coexist, but there is no evidence for a causal relationship between the disorders (209).

 

OTHER SYSTEMIC INVOLVEMENT

Many organ systems were affected by the hyperparathyroid state in the past. Anemia, band keratopathy, and loose teeth are no longer part of the clinical syndrome of PHPT. Gout and pseudogout are seen infrequently, and their etiologic relationship to PHPT is not clear.

 

Unusual Presentations

NEONATAL PRIMARY HYPERPARATHYROIDISM

Neonatal PHPT is a rare form of the disorder caused by homozygous inactivation of the calcium-sensing receptor (210). When present in a heterozygous form, it is a benign hypercalcemic state known as familial hypercalciuric hypercalcemia (FHH). However, in the homozygous neonatal form, hypercalcemia is severe and the outcome is fatal unless recognized early. The treatment of choice is early subtotal parathyroidectomy to remove the majority of hyperplastic parathyroid tissue.

 

PRIMARY HYPERPARATHYROISM IN PREGNANCY

Primary hyperparathyroidism in pregnancy is primarily of concern for its potential effect on the fetus and neonate (211,212). Potential complications of PHPT in pregnancy include spontaneous abortion, low birth weight, supravalvular aortic stenosis, and neonatal tetany. The last condition is a result of fetal parathyroid gland suppression by high levels of maternal calcium, which readily crosses the placenta during pregnancy. These infants, accustomed to hypercalcemia in utero, have functional hypoparathyroidism after birth, and can develop hypocalcemia and tetany in the first few days of life. Today, with most patients (pregnant or not) presenting with a mild form of PHPT, an individualized approach to the management of the pregnant patient with PHPT is advised. A recent retrospective study suggested that PHPT did not increase the risk of abortion, birth weight, length, or Apgar score (213). Thus, many of those with mild disease can be followed safely, with successful neonatal outcomes without surgery. However, parathyroidectomy during the second trimester remains the traditional recommendation for this condition.

 

ACUTE PRIMARY HYPERPARATHYROIDISM

Acute PHPT is known variously as parathyroid crisis, parathyroid poisoning, parathyroid intoxication, and parathyroid storm. Acute PHPT describes an episode of life-threatening hypercalcemia of sudden onset in a patient with PHPT (214,215). Clinical manifestations of acute PHPT are mainly those associated with severe hypercalcemia. Nephrocalcinosis or nephrolithiasis is frequently seen. Radiologic evidence of subperiosteal bone resorption is also commonly present. Laboratory evaluation is remarkable not only for very high serum calcium levels but also for extremely high levels in PTH to approximately 20 times normal (215). In this way, acute PHPT resembles, in biochemical terms, parathyroid carcinoma. A history of persistent mild hypercalcemia has been reported in 25% of patients. However, given the rarity of this condition, the risk of developing acute PHPT in a patient with mild asymptomatic PHPT is very low. Intercurrent medical illness with immobilization may precipitate acute PHPT. Early diagnosis, with aggressive medical management followed by surgical cure, is essential for a successful outcome. The initial impression of patients who present in this manner, without an antecedent history of hypercalcemia, is often mistaken for malignancy. However, the parathyroid hormone level usually quickly clarifies the diagnosis to PHPT in most situations.

 

PARATHYROID CANCER

An indolent yet potentially fatal disease, parathyroid carcinoma accounts for less than 0.5% of cases of PHPT. In contrast to patients with PHPT due to benign parathyroid pathology, patients with parathyroid carcinoma typically have marked elevations in serum calcium and PHT. The cause of the disease is unknown, and no clear risk factors have been identified except for hereditary syndromes. There is no evidence to support the malignant degeneration of previously benign parathyroid adenomas (216). Parathyroid carcinoma has been reported particularly in hyperparathyroidism-jaw tumor (HPT-JT) syndrome (217-221), a rare autosomal disorder in which as many as 15% of patients will have malignant parathyroid disease. Because cystic changes are common, this disorder has also been referred to as cystic parathyroid adenomatosis (222). In HPT-JT, ossifying fibromas of the maxilla and mandible are seen in 30% of cases. Less commonly, kidney lesions, including cysts, polycystic disease, hamartomas, or Wilms’tumors, can be present (223). Parathyroid carcinoma has also been reported in familial isolated hyperparathyroidism (218,224). Parathyroid carcinoma, as defined pathologically, has been reported in MEN1 syndrome and with somatic MEN1 mutations (225-227). However, recurrent parathyroid disease in MEN1 may mimic but might not actually be a result of malignancy. Only one case of parathyroid carcinoma has been reported in the MEN2A syndrome (228).

 

Loss of the retinoblastoma tumor suppressor gene was formerly considered a marker for parathyroid cancer (229), but more recent studies do not unequivocally support this impression (230). Work by Shattuck et al (231,232) has provided new insights into the molecular pathogenesis of parathyroid cancer. Parathyroid carcinomas from 10 of 15 patients with sporadic parathyroid cancer carried a mutation in the HRPT2 gene. The HRPT2 gene encodes for the parafibromin protein that was shown to be mutated in a substantial number of patients with parathyroid cancer. Marcocci et al (216) have reviewed this topic, pointing out a potential role for parafibromin in parathyroid cancer. In three of 15 patients with parathyroid cancer, Shattuck et al (231) showed that the mutation was in the germline. The presence of the mutation in the germline suggests that this disease might be related in some way to the HPT-JT syndrome, in which this gene has been implicated (231). In addition, there is an increased risk of parathyroid cancer in the HPT-JT syndrome. In fact, certain clinical features in patients with a germline mutation and in their relatives are indicative of the HPT-JT syndrome or phenotypic variants (220,223,224).

 

Manifestations of hypercalcemia are the primary effects of parathyroid cancer. The disease tends not to have a bulk tumor effect, spreading slowly in the neck. Metastatic disease is a late finding, with lung (40%), liver (10%), and lymph node (30%) involvement seen most commonly. The clinical profile of parathyroid cancer differs from that of benign PHPT in several important ways (216). First, no female predominance is seen among patients with carcinoma. Second, elevations in serum calcium and PTH are far greater. Consequently, the hyperparathyroid disease tends to be much more severe, with the classic targets of PTH excess involved in most cases. Nephrolithiasis or nephrocalcinosis is seen in up to 60% of patients; overt radiologic evidence of skeletal involvement is seen in 35% to 90% of patients. A palpable neck mass, distinctly unusual in benign PHPT, has been reported in 30% to 76% of patients with parathyroid cancer (233). Grossly, malignant glands are large, often exceeding 12 g. They tend to be adherent to adjacent structures. Microscopically, thick, fibrous bands divide the trabecular arrangement of the tumor cells. Capsular and blood vessel invasion is common by these cells, which often contain mitotic figures (233). Treatment is reviewed below.

 

Parathyromatosis

Originally reported in 1975, fewer than one-hundred cases of parathyromatosis have been described in the literature (234,235).  The condition is characterized histologically by small collections or nodules of parathyroid cells embedded within surrounding soft tissue outside the parathyroid gland capsule margins (24,236). Parathyromatosis may rarely be embryologic in origin or, more often, is secondary to tissue seeding during parathyroid surgery or fine needle aspiration (24,234,237).  The majority of cases have been described in those who have undergone parathyroid surgery for secondary hyperparathyroidism associated with end-stage renal disease (24,235). While clinically and biochemically similar to primary hyperparathyroidism, parathyromatosis is associated with recurrent or persistentdisease (24). The diagnosis is typically made at the time of surgery, although pre-operative imaging has been reported to be diagnostically helpful (238,239). Management is challenging and complete cure is uncommon. Treatment involves complete surgical excision of all parathyromatosis nodules and/or parathyroid tissue (24,240). Intra-operative parathyroid hormone level monitoring and pathologic review of frozen sections at the time of surgery may be helpful to increase surgical success. Successful accounts of medical therapy with calcimimetics and bisphosphonates have been reported (24,235).

 

EVALUATION

The diagnosis of PHPT is confirmed by demonstrating an elevated or inappropriately normal PTH level in the face of hypercalcemia. Further biochemical assessment should include serum phosphorus, alkaline phosphatase activity, vitamin D metabolites, albumin, and creatinine. A morning 2-hour or 24-hour urine collection should be obtained for calcium and creatinine. A urinary bone resorption marker such as serum CTX or urinary N-telopeptide can be helpful. Bone densitometry is performed in all patients. It is important to obtain densitometry at three sites: the lumbar spine, the hip, and the distal third of the radius. Because of the differing amounts of cortical and cancellous bone at the three sites and the different effects of PTH on cortical and cancellous bone, measurement at all three sites gives the most accurate clinical assessment of skeletal involvement in PHPT. Bone biopsy is not routinely obtained in the evaluation of PHPT, but is essential in research. In the most recent guidelines, spinal imaging is recommended to assess for clinically silent vertebral fractures (137). This can be vertebral X-rays, vertebral fracture assessment or TBS score, the latter two obtained by the DXA image. While symptomatic kidney stones are present in 15% to 20% of patients by history, the finding that many more have clinically silent nephrolithiasis has led to the recommendation to obtain renal ultrasound, CT, or abdominal x-ray to assess for either nephrolithiasis or nephrocalcinosis. 

 

NATURAL HISTORY

Since the early 1990s, new knowledge of the natural history of PHPT with or without surgery has been very helpful in guiding decisions regarding surgery in patients with asymptomatic PHPT. The authors and their colleagues have conducted the longest prospective observational trial (52,241). This project began in 1984 in an effort to define the natural history of asymptomatic PHPT. The study included detailed analyses of pathophysiologic, densitometric, histomorphometric, and other skeletal features of PHPT (52,241). Much of the information gleaned from that study has been summarized already in this chapter. The 15-year follow-up to this study constitutes the longest natural-history study of this disorder (241).

 

Recommendations for surgery or observation were made based on the 1990 set of National Institutes of Health guidelines, but both groups included patients who did or did not meet surgical guidelines. This is because some patients opted for surgery even if they did not meet the guidelines, whereas others opted for a conservative approach even if they did meet guidelines for surgery. As will be described in the following sections, this imperfect design was followed by three studies that were truly randomized but were of much shorter duration. The results with regard to natural history from all studies are remarkably concordant.

 

Natural History with Surgery

Successful parathyroidectomy results in permanent normalization of the serum calcium and PTH levels. Postoperatively, there is  a marked improvement in BMD at all sites (lumbar spine, femoral neck, and distal one-third radius) amounting to gains greater than 10% (52) (Figure 3), The improvement is most rapid at the lumbar spine, followed by gains at the hip regions and the distal 1/3 radius during the 15-year follow-up (241). The improvements were seen in those who met and did not meet surgical criteria at study entry, confirming the salutary effect of parathyroidectomy in this regard on all patients.

Figure 3. Improvement in bone density after parathyroid surgery. Data shown are the cumulative percentage changes from baseline over 15 years of follow-up in patients who underwent parathyroidectomy.

Natural History Without Surgery

In subjects who did not undergo parathyroid surgery, serum calcium remained stable for about 12 years, with a tendency for the serum calcium level to rise in years 13 to 15 (241). Other biochemical indices such as PTH, vitamin D metabolites, and urinary calcium did not change for the entire 15 years of follow-up in the group as a whole. Bone density at all three sites remained stable for the first 8 to 10 years. However, after this period of stability, declining cortical BMD was seen at the hip and more dramatically at the distal one-third radius site. Although the numbers became limiting after 10 years of follow-up, it is noteworthy that a small majority of the subjects lost more than 10% of their BMD during the 15 years of observation. Even though this decline was observed in the majority of subjects, only 37% of subjects met one or more guidelines for surgery after the 15 years of follow-up.

 

Randomized Studies of the Natural History of Asymptomatic Primary Hyperparathyroidism

The long natural history study of asymptomatic PHPT has added much to our knowledge about this disease throughout time. Subsequent randomized trials confirm the observational data, but are limited by their shorter duration. In 2004, Rao et al (242) reported on 53 subjects, assigned either to parathyroid surgery (n = 25) or to no surgery (n = 28). The follow-up lasted for at least 2 years. There was a significant effect of parathyroidectomy on BMD at the hip and femoral neck but not the spine or forearm. Bollerslev et al (192) reported in 2007 the interim results of their randomized trial of parathyroidectomy versus no surgery. This study from three Scandinavian countries was larger, with 191 patients who were randomized to medical observation or to surgery. After surgery, biochemical indices normalized and BMD increased. In the group that did not undergo parathyroid surgery, BMD did not change. Also, in 2007, Ambrogini et al (194) reported the results of their randomized controlled trial of parathyroidectomy versus observation. Surgery was associated with a significant increase in BMD of the lumbar spine and hip after 1 year.

 

Whether fracture risk decreases after parathyroidectomy is not clear. The study by Bollerslev reported on vertebral fracture risk reduction at 5 years after initial treatment allocation. That study indicated that successful parathyroidectomy versus observation was associated with a reduction in vertebral fracture risk that was of borderline statistical significance (243).

 

GUIDELINES FOR PARATHYROIDECTOMY

Parathyroidectomy remains the only currently available option to cure PHPT. As the disease profile has changed, questions have arisen concerning the advisability of surgery in asymptomatic patients. If asymptomatic patients have a benign natural history, the surgical alternative is not an attractive one. On the other hand, asymptomatic patients may display levels of hypercalcemia or hypercalciuria that cause concern for the future. Similarly, bone-mass measurements can be frankly low. In an effort to address such issues, there have been four consensus development conferences (in 1991, 2002, 2008, and 2013) on the management of asymptomatic PHPT (89,137,244-247). The most recent guidelines that emerged from the 2013 conference are helpful to the clinician faced with the asymptomatic hyperparathyroid patient: All symptomatic patients are advised to undergo parathyroidectomy. Surgery is advised in asymptomatic patients with (1) serum calcium greater than 1 mg/dL higher than the upper limit of normal; (2) renal guidelines: reduction in creatinine clearance to less than 60 mL/min; urinary calcium excretion >400 mg/24 h with increased stone risk; or presence of nephrolithiasis or nephrocalcinosis on renal imaging; (3) skeletal guidelines: reduced bone density T-score < –2.5 at any site; or vertebral compression fracture on an imaging study; and (4) age younger than 50 years. The most recent guidelines are shown in Table 5. A noteworthy change in the guidelines reflects the fact that asymptomatic kidney stones and vertebral compression fractures are now considered as indications for parathyroidectomy.

 

Table 5. Comparison of New and Old Guidelines for Surgery in Asymptomatic Primary Hyperparathyroidism

 

 

1990 NIH Consensus Conference

2002 NIH Workshop

2008 International Workshop

2013 International Workshop

Serum calcium

1-1.6 mg/dL elevation

1.0 mg/dL elevation

1.0 mg/dL elevation

1.0 mg/dL elevation

Renal

24-h urine calcium >400 mg
Creatinine Cl reduced by 30%

24-h urine calcium >400 mg
Creatinine Cl reduced by 30%

No 24-h urine
Creatinine clearance: <60 mL/min

24-h urine for FHH/stone risk
U Ca >400 mg/day
Creatinine clearance: <60 mL/min
Calcification on renal imaging

Bone

Z-score < −2.0 in forearm

T-score < −2.5 at any site

T-score < −2.5
Fragility fracture

T-score < −2.5
Vertebral fracture on imaging

Age

<50

<50

<50

<50

FHH, Familial hypercalciuric hypercalcemia. Columns 3 and 4 modified from Bilezikian JP, Brandi ML, Eastell R, et al: Guidelines for the management of asymptomatic primary hyperparathyroidism: summary statement from the Fourth International Workshop, J Clin Endocrinol Metab. 2014; 99:3561-3569

 

A number of points were discussed that did not lead to specific recommendations, including the issues of the neurocognitive and cardiovascular aspects of PHPT. The workshop panel also acknowledged a potential role of vitamin D deficiency in fueling processes associated with abnormal parathyroid glandular activity. Finally, the panel also reaffirmed the entity of normocalcemic PHPT, but noted that there are insufficient data to provide evidence-based guidelines for management.

 

SURGERY

A large percentage of those patients who meet the surgical guidelines listed in Table 5 are asymptomatic. Some asymptomatic patients who meet surgical guidelines elect not to have surgery for varying reasons including personal choice, intercurrent medical conditions, and previous unsuccessful parathyroid surgery. Conversely, there are patients who meet none of the NIH guidelines for parathyroidectomy but opt for surgery nevertheless. Physician and patient input remain important factors in the decision regarding parathyroid surgery.

 

Preoperative Localization of Hyperfunctioning Parathyroid Tissue

A number of imaging tests have been developed and have been applied singly or in combination to address the challenge of preoperative localization. The rationale for locating abnormal parathyroid tissue before surgery is that the glands can be notoriously unpredictable in their location. Although most parathyroid adenomas are identified in regions proximate to their embryologically intended position (the four poles of the thyroid gland), many are not. In such situations, previous surgical experience and skill are needed to locate the ectopic parathyroid gland. In such hands, 95% of abnormal parathyroid glands will be discovered and removed at the time of initial parathyroid surgery. However, in the patient with previous neck surgery, even expert parathyroid surgeons do not generally achieve such high success rates. Preoperative localization of the abnormal parathyroid tissue can be extremely helpful under these circumstances. Preoperative imaging is also necessary for any patient who will undergo parathyroidectomy using a minimally invasive approach. Imaging studies should not be used for the diagnosis of PHPT because the sensitivity and specificity of various imaging modalities varies with some having false-positive rates as high as 25% (248).

 

NONINVASIVE IMAGING

Noninvasive parathyroid imaging studies include technetium (Tc)-99m sestamibi scintigraphy, ultrasound, computed tomography (CT) scanning, magnetic resonance imaging (MRI), and positron emission tomography (PET) scanning. Tc-99m sestamibi is generally regarded to be the most sensitive and specific imaging modality, especially when it is combined with single-photon emission CT (SPECT). For the single parathyroid adenoma, sensitivity has ranged from 80% to 100%, with a 5% to 10% false-positive rate. On the other hand, sestamibi scintigraphy and the other localization tests have a relatively poor record in the context of multiglandular disease (249). The success of ultrasonography is highly operator dependent (250). In centers where there is great expertise, this noninvasive approach is most attractive. Abnormalities identified by ultrasound as possible parathyroid tissue may prove to be a thyroid nodule or lymph node, which underscores the importance of the skill and experience of the ultrasonographer. Rapid spiral thin-slice CT scanning of the neck and mediastinum with evaluation of axial, coronal, and sagittal views can add much to the search for elusive parathyroid tissue, albeit with attendant higher radiation exposure (251). Four-dimensional (4D) CT has emerged as a promising method and consists of multiphase CT acquired at non-contrast, contrast-enhanced, arterial and delayed phases. In a recent study, 4D CT was superior compared with sestamibi SPECT/CT (252). MRI can also identify abnormal parathyroid tissue, but it is time consuming and expensive. It is also less sensitive than the other noninvasive modalities. It can nonetheless be useful when the search with these other noninvasive approaches has been unsuccessful. PET with or without simultaneous CT scan (PET/CT) can be used, but like MRI, it is expensive and does not have the kind of experiential basis that make it attractive. There are also specificity issues because FDG, the scanning agent, accumulates in the thyroid, making differentiation between parathyroid adenoma and thyroid nodules difficult. Recently, 18F-fluorocholine (FCH) positron emission tomography (PET) has been employed for the detection of parathyroid adenomas.

 

INVASIVE IMAGING 

Parathyroid Fine-Needle Aspiration

Fine-needle aspiration (FNA) of a parathyroid gland, identified by any of the aforementioned modalities, can be performed and the aspirate analyzed for PTH. This technique is not recommended for routine de novo cases.(253) A theoretical concern with this approach is the possibility that parathyroid cells could be deposited outside the parathyroid gland in the course of the aspiration. Autoseeding of parathyroid tissue would be an unwanted consequence of this procedure if it were to occur.

 

Arteriography and Selective Venous Sampling for Parathyroid Hormone

In situations where the gland has not been identified by any of the techniques described, the combination of arteriography and selective venous sampling can provide both anatomic and functional localization of abnormal parathyroid tissue. This approach, however, is costly and requires an experienced interventional radiologist. It is also performed in only a few centers in the United States. This approach is reserved for those individuals who have undergone previous unsuccessful parathyroid surgery in whom all other localization techniques have failed (254).

 

Surgical Approach

In the hands of an expert parathyroid surgeon, parathyroidectomy is a successful with infrequent complications. A standard surgical approach is the four-gland parathyroid exploration under general or local anesthesia, with or without preoperative localization. This approach has been reported to lead to surgical cure in more than 95% of cases (255). Several alternative approaches have emerged that focus on the single gland and not the total four-gland neck exploration that was routinely used in the past. Unilateral approaches are appealing for a disease in which most often only a single gland is involved. These procedures include a unilateral operation in which the gland on the same side that harbors the adenoma is ascertained to be normal. Because multiple parathyroid adenomas are unusual, a normal parathyroid gland is considered by some to be sufficient evidence for single-gland disease. Another limited surgical approach that has emerged in many centers as the approach of choice is the minimally invasive parathyroidectomy (MIP) (256,257). Preoperative parathyroid imaging is necessary, and the procedure is directed only to the site where the abnormal parathyroid gland has been visualized (258). Preoperative blood is obtained for comparison of the PTH concentration with an intraoperative sample(s) obtained after removal of the “abnormal” parathyroid gland. The availability of a rapid PTH assay in or near the operating room is necessary for this procedure. If the ten-minute post-excision PTH level falls by more than 50% compared to baseline, and into the normal range, the gland that has been removed is considered to be the sole source of overactive parathyroid tissue, and the operation is terminated. If the PTH level does not fall by more than 50%, into the normal range, the operation is extended to a more traditional one in a search for other overactive parathyroid tissue. There is a risk (albeit small) that the minimally invasive procedure may miss other overactive gland(s) that are suppressed in the presence of a dominant gland. The MIP procedure seems to be as successful, in the range of 95% to 98%, as more standard approaches (259,260). According to a recent meta-analysis that included more than 12,000 patients, MIP was associated with similar rates of success, disease recurrence, persistence, overall failure, and reoperation (261). The operative time was significantly shorter, with a lower overall complication rate for MIP compared to bilateral neck exploration. In Europe, MIP is being performed with an endoscopic camera, but this does not offer any advantage other than a smaller incision (262,263). Yet another variation on this theme is the use of preoperative sestamibi scanning with an intraoperative gamma probe to help locate enlarged parathyroid glands.

 

Immediate Postoperative Course

After surgery, biochemical indices return rapidly to normal (52,264). Serum calcium and PTH levels normalize, and urinary calcium excretion falls by as much as 50%. Serum calcium levels no longer fall rapidly into the hypocalcemic range, a situation characteristic of an earlier time when PHPT was a symptomatic disease with overt skeletal involvement. The acute reversal of PHPT was associated with a robust deposition of calcium into the skeleton at a pace that could not be compensated for by supplemental calcium. Thus, postoperative hypocalcemia was routine and was sometimes a serious short-term complication (“hungry bone syndrome”). Occasionally, postoperative hypocalcemia still occurs, especially if preoperative bone turnover markers are markedly elevated or there is concomitant vitamin D deficiency. More typically, however, the early postoperative course is not complicated by symptomatic hypocalcemia.

 

After successful parathyroid surgery, biochemical indices of the disease return to normal and BMD improves, as mentioned. The capacity of the skeleton to restore itself is seen dramatically in young patients with severe PHPT. Kulak et al (265) reported two patients with osteitis fibrosa cystica who experienced increases in bone density that ranged from 260% to 430% in a period of 3 to 4 years following surgery. Tritos and Hartzband (266) and DiGregorio (267) have made similar observations.

 

MEDICAL MANAGEMENT

Patients who do not meet any surgical guidelines are often followed without intervention. The most recent guidelines for management of asymptomatic PHPT restated the position that it is reasonable to pursue a nonsurgical course of management for those who do not meet criteria for surgery, at least for a period of years. In those patients who are not going to have parathyroid surgery, the Workshop (137) suggested a set of monitoring steps that are summarized in Table 6. This includes annual measurements of the serum calcium concentration, a calculated creatinine clearance, and regular monitoring of BMD.

 

Table 6. Comparison of New and Old Management Guidelines for Patients with Asymptomatic Primary Hyperparathyroidism Who Do Not Undergo Parathyroid Surgery

 

Measurement

Older Guidelines

Newer Guidelines

Serum calcium

Semiannually

Annually

24-h urinary calcium

Annually

Not recommended

Creatinine clearance

Annually

Not recommended

Serum creatinine

Annually

Annually

Bone density

Annually

Annually or biannually

Abdominal x-ray

Annually

Not recommended

From Bilezikian JP, Brandi ML, Eastell R, et al: Guidelines for the management of asymptomatic primary hyperparathyroidism: summary statement from the Fourth International Workshop, J Clin Endocrinol Metab. 2014; 99:3561-3569.

 

Ideal medical therapy of PHPT would provide the equivalent to a medical parathyroidectomy. Such an agent would normalize serum calcium and PTH levels as well as urinary calcium excretion, increase BMD and lower fracture risk, and reduce the risk of kidney stones. Unfortunately, no currently available single drug meets all these criteria. The following medications can achieve some of these goals and might be considered in patients not having surgery in whom it is desirable to lower serum or urinary calcium levels or increase BMD.

 

General Measures

Patients should be instructed to remain well hydrated and to avoid, if possible, medications that can increase serum calcium (e.g.  thiazide diuretics). Prolonged immobilization, which can raise the serum calcium concentration further and induce hypercalciuria, should also be avoided.

 

DIET AND SUPPLEMENTS

Dietary management of PHPT has long been an area of controversy. Many patients are advised to limit their dietary calcium intake because of the hypercalcemia. However, it is well known that low dietary calcium can lead to increased PTH levels in normal individuals (268-270). In patients with PHPT, even though the abnormal PTH tissue is not as sensitive to slight perturbations in the circulating calcium concentration, it is still possible that PTH levels will rise when dietary calcium is tightly restricted. Conversely, diets enriched in calcium could suppress PTH levels in PHPT, as shown by Insogna et al (271). Dietary calcium could also be variably influenced by ambient levels of 1,25-dihydroxyvitamin d. In patients with normal levels of 1,25-dihydroxyvitamin d, Locker et al (272) noted no difference in urinary calcium excretion between those on high (1000 mg/day) and low (500 mg/day) calcium intake diets. On the other hand, in those with elevated levels of 1,25-dihydroxyvitamin d, high calcium diets were associated with worsening hypercalciuria. This observation suggests that dietary calcium intake in patients can be liberalized to 1000 mg/day if 1,25-dihydroxyvitamin d levels are not increased but should be more tightly controlled if 1,25-dihydroxyvitamin d levels are elevated. Although calcium supplements are not specifically recommended in those with PHPT and osteoporosis, small doses do not seem to exacerbate hypercalcemia or hypercalciuria if the diet is deficient (273).  Most experts recommend that patients with PHPT who are going to be followed without surgery have an intake of calcium that is consistent with nutritional guidelines for a normal population. 

 

Recent guidelines recommend maintaining 25-hydroxyvitamin D to levels of 21–30 ng/ml with conservative doses of vitamin D (600–1000 IU daily) based on data showing that vitamin D repletion lowers PTH levels (274). Higher levels of vitamin D might be beneficial. A 2014 RCT of cholecalciferol (2,800 IU daily versus placebo) indicated that treatment increased 25-hydroxyvitamin d levels from 20 ng/ml to 37.8 ng/ml, lowered levels of PTH, and increased lumbar spine BMD without having a deleterious effect on serum or urinary calcium levels (275).

 

PHARMACEUTICALS

Phosphate

Oral phosphate can lower the serum calcium by up to 1 mg/dL (276,277). A complex interplay of mechanisms leads to this moderating effect of oral phosphate. First, calcium absorption falls in the presence of intestinal phosphorus. Second, concomitant increases in serum phosphorus will tend to reduce circulating 1,25-dihydroxyvitamin d levels. Third, phosphate can be an antiresorptive agent. Finally, increased serum phosphorus reciprocally lowers serum calcium. Problems with oral phosphate include limited gastrointestinal tolerance, possible further increase in PTH levels, and the possibility of soft-tissue calcifications after long-term use. It is essentially not used any longer in the management of PHPT.

 

Estrogens and Selective Estrogen-Receptor Modulators

The earliest studies on the use of estrogen replacement therapy in PHPT date back to the early 1970s. A 0.5 to 1.0 mg/dL reduction in total serum calcium levels in postmenopausal women with PHPT who received estrogen was seen along with a lowering of urinary calcium (278,279). Most studies indicated no change in PTH (279-281). A randomized controlled trial of conjugated estrogen (0.625 mg daily plus medroxyprogesterone 5 mg daily) versus placebo indicated that hormone-replacement therapy effectively increases BMD at all skeletal sites in patients with PHPT, with the greatest increases at the lumbar spine (281). This randomized controlled trials, however, did not confirm the calcium-lowering effect of earlier uncontrolled studies (274). In view of concerns expressed about chronic estrogen use in the Women’s Health Study, estrogen use is not often recommended for medical management of hyperparathyroidism.

 

Raloxifene, a selective estrogen-receptor modulator, has been studied in PHPT, but the data are sparse. In a short-term (8-week) trial of 18 postmenopausal women, raloxifene (60 mg/day) was associated with a statistically significant although small (0.5 mg/dL) reduction in the serum calcium concentration and in markers of bone turnover (282). No long-term data or data on bone density are available.

 

Bisphosphonates and Denosumab

Bisphosphonates are conceptually attractive in PHPT because they are antiresorptive agents with an overall effect of reducing bone turnover. Although they do not affect PTH secretion directly, bisphosphonates could reduce serum and urinary calcium levels. Early studies with the first-generation bisphosphonates were disappointing. Etidronate has no effect (283). Clodronate use was associated in several studies with a reduction in serum and urinary calcium (284), but the effect was transient.

 

Alendronate has been studied most extensively in PHPT. Studies by Rossini et al (285) and Hassani et al (286) were followed by those of Chow et al (287), Parker et al (288), and Kahn et al (289). These studies were all characterized by a randomized, controlled design. Typically, BMD of the lumbar spine and hip regions increases along with reductions in bone turnover markers (Figure 4). Except for the study of Chow et al (287), serum calcium was unchanged. These results suggest that bisphosphonates may be useful in patients with low bone density in whom parathyroid surgery is not to be performed. One small study suggests that denosumab increases BMD in women with PHPT to a greater extent than patients without PHPT but with osteoporosis (290).

Figure 4. The effect of alendronate on bone mineral density in primary hyperparathyroidism. With alendronate, bone mineral density increases significantly after 1 year, while the placebo group shows no change until it is crossed over to alendronate in year 2. (Modified from reference Khan AA, Bilezikian JP, Kung AWC, et al: Alendronate in primary hyperparathyroidism: a double-blind, randomized, placebo-controlled trial. J Clin Endocrinol Metab 2004;89:3319-3325).

Inhibition of Parathyroid Hormone

The most specific pharmacologic approach to PHPT is to inhibit the synthesis and secretion of PTH from the parathyroid glands, such as those that act on the parathyroid cell calcium-sensing receptor. This G protein–coupled receptor recognizes calcium as its cognate ligand (291-293). When activated by increased extracellular calcium, the calcium-sensing receptor signals the cell via a G protein–transducing pathway to raise the intracellular calcium concentration, which inhibits PTH secretion. Molecules that mimic the effect of extracellular calcium by altering the affinity of calcium for the receptor could activate this receptor and inhibit parathyroid cell function. The phenylalkylamine (R)-N(3-methoxy-a-phenylethyl)-3-(2-chlorophenyl)-1-propylamine (R-568) is one such calcimimetic compound. R-568 was found to increase cytoplasmic calcium and to reduce PTH secretion in vitro, as well as in normal postmenopausal women (294,295). This drug was also shown to inhibit PTH secretion in postmenopausal women with PHPT (296). A second-generation ligand, cinacalcet, has been the subject of more extensive investigations in PHPT and is now approved for the treatment of severe hypercalcemia in PHPT when surgery cannot be pursued. Studies conducted by the authors and their colleagues (297-299) indicate that this drug can reduce the serum calcium concentration to normal in PHPT, but despite normalization of the serum calcium concentration, PTH levels do not return to normal; they do fall by 35% to 50% after administration of the drug. Urinary calcium excretion does not change; serum phosphorus levels increase but are maintained in the lower range of normal; and 1,25-dihydroxyvitamin D levels do not change. The average BMD does not change, even after 5 years of administration of cinacalcet (300). Marcocci et al (299) have shown that cinacalcet is effective in subjects with intractable PHPT. Silverberg et al (301) have shown that cinacalcet reduces calcium levels effectively in inoperable parathyroid carcinoma.

 

Hydrochlorothiazide

Though avoiding agents that exacerbate hypercalcemia is generally recommended in patients with PHPT, a recent study has recently reexamined the role of thiazides in patients with PHPT. This retrospective analysis of 72 patients suggested that thiazides might not increase serum levels of calcium in PHPT as they can do in normal individuals. Hydrochlorothiazide (12.5–50 mg daily for 3.1 years on average) was associated with a decrease in urinary calcium excretion but no change in serum levels of calcium (302). Smaller and cross-sectional studies have suggested similar results, although it is unclear if hydrochlorothiazide reduces the risk of nephrolithiasis (303,304). Given the heterogeneity of doses used, and the absence of larger, (preferably) randomized trial data, recommending thiazide use routinely in PHPT is premature. However, thiazides could be considered in those who refuse surgery or are poor surgical candidates but at high risk of nephrolithiasis in whom the benefit is thought to outweigh the risk as long as serum levels of calcium are monitored regularly.

 

TREATMENT OF PARATHYROID CANCER

Surgery is the only effective therapy currently available for parathyroid cancer. The greatest chance for cure occurs with the first operation. After the disease recurs, cure is unlikely, although the disease may smolder for many years thereafter. The tumor is not radiosensitive, although there are isolated reports of tumor regression with localized radiation therapy. Traditional chemotherapeutic agents have not been useful. When metastasis occurs, isolated removal is an option, especially if only one or two nodules are found in the lung. Such isolated metastasectomies are never curative but they can lead to prolonged remissions, sometimes lasting for several years. Similarly, local debulking of tumor tissue in the neck can be palliative, although malignant tissue is invariably left behind.

 

Chemotherapy has had a very limited role in this disease. Bradwell and Harvey (305) have attempted an immunotherapeutic approach by injecting a patient who had severe hypercalcemia resulting from parathyroid cancer with antibodies raised to their own circulating PTH. Coincident with a rise in antibody titer to PTH, previously refractory hypercalcemia fell impressively. A more recent report (306) provided evidence of the antitumor effect in a single case of PTH immunization in metastatic parathyroid cancer.

 

Attention has been focused instead on control of hypercalcemia. Intravenous bisphosphonates have been used to treat severe hypercalcemia. Although efficacious in the short term, they do not provide an approach that allows long-term outpatient normalization of serum calcium levels. Denosumab has more recently been reported to treat resistant hypercalcemia in patients with parathyroid carcinoma (307,308).

 

The calcimimetic agents offer a newer approach. Our group (309) reported on a single patient treated with the calcimimetic, R-568; despite widely metastatic disease, the patient showed serum calcium levels that were maintained within a range that allowed him to return to normal functioning for nearly 2 years. A wider experience by Silverberg et al (301) showed that cinacalcet is useful in the management of parathyroid cancer. The U.S. Food and Drug Administration approved this calcimimetic for the treatment of hypercalcemia in patients with parathyroid cancer. Use of this agent in parathyroid cancer led to improvement in serum calcium levels and a decrease in symptoms of nausea, vomiting, and mental lethargy, which are common concomitants of marked hypercalcemia. There are no data on the effect of cinacalcet on tumor growth in parathyroid cancer. Similarly, there are no data on the use of a combination of cinacalcet and bisphosphonates in parathyroid cancer, the former used to decrease PTH secretion from the cancer, and the latter used to decrease release of calcium from the skeleton. Cinacalcet offers an option for control of intractable hypercalcemia when surgical removal of cancerous tissue is no longer an option.

 

SUMMARY

This chapter has presented a comprehensive summary of the modern-day presentation of PHPT. Typically, an asymptomatic disorder in countries that are economically more developed, the disorder’s presentation has raised issues regarding the extent to which such patients may nevertheless show subclinical target organ involvement, who should be recommended for parathyroid surgery, who can be safely followed without surgical intervention, as well as questions regarding the role of medical therapy. Questions about the natural history and pathophysiology of the disorder continue to be of great interest. Inasmuch as this disorder continues to evolve, it is clear that additional careful studies are required continually to gain new insights into this disease.

 

ACKNOWLEDGEMENTS

This work was supported in part by National Institutes of Health grants NIDDK 32333, DK084986, RR 00645, and R21DK104105. With permission, this chapter is adapted from:

Walker MD, Bilezikian JP. Primary hyperparathyroidism. IN: Endocrinology, 8th edition (Jameson JL, Robertson P, eds) Saunders, Elsevier (in press), 2021.

 

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Physiology of the Hypothalamic-Pituitary-Thyroid Axis

ABSTRACT

 

The activity of the thyroid gland is predominantly regulated by the concentration of the pituitary glycoprotein hormone, thyroid-stimulating hormone (TSH). In the absence of the pituitary or of thyrotroph function, hypothyroidism ensues. Thus, regulation of thyroid function in normal individuals is to a large extent determined by the factors which regulate the synthesis and secretion of TSH. Those factors are reviewed in this chapter and consist principally of thyrotropin-releasing hormone (TRH) and the feedback effects of circulating thyroid hormones at the hypothalamic and pituitary levels. The consequence of the dynamic interplay of these two dominant influences on TSH secretion, the positive effect of TRH on the one hand and the negative effects of thyroid hormones on the other, results in a remarkably stable morning concentration of TSH in the circulation and consequently little alteration in the level of circulating thyroid hormones from day to day and year to year. This regulation is so carefully maintained that an abnormal serum TSH in most patients is believed to indicate the presence of a disorder of thyroid gland function. The utility of TSH measurements has been recognized and its use has remarkably increased due to the development of immunometric methodologies for its accurate quantitation in serum, although the criteria to define a “normal range” still remain a matter of controversy. This chapter is organized into two general sections. The first portion reviews basic studies of TSH synthesis, post-translational modification, and release. The second deals with physiological studies in humans which serve as the background for the diagnostic use of TSH measurements and reviews the results of TSH assays in pathophysiological disorders.

 

The Regulation of Thyroid-Stimulating Hormone synthesis and

secretion: Molecular Biology and Biochemistry

The TSH Molecule

 

TSH is a heterodimer consisting of an alpha and a beta subunit that are tightly, but non-covalently, bound (1,2). While the molecular weight of the deduced amino-acid sequence of the mature alpha and beta subunits in combination is approximately 28,000 Da, additional carbohydrate (15% by weight) results in a significantly higher molecular weight estimate based on sizing by polyacrylamide gel electrophoresis. The alpha subunit (glycoprotein hormones, alpha polypeptide) is common to TSH, follicle-stimulating hormone (FSH), luteinizing hormone (LH), and chorionic gonadotropin (CG). The beta subunit confers specificity to the molecule since it interacts with the TSH receptor (TSH-R) expressed on the basolateral membrane of thyroid follicular cells, and is rate-limiting in the formation of the mature heterodimeric protein. However, the free beta subunit is inactive and requires noncovalent combination with the alpha subunit to express hormonal bioactivity. The linear sequence of the human alpha subunit consists of 92 amino acids including 10 cystine residues that form a total 5 bonds through disulfide linkage. The human TSH beta (hTSH beta) subunit contains 118 amino-acids, as predicted by complementary DNA sequences, but hTSH beta isolated from the pituitary gland has an apoprotein core of 112 amino-acids, due to carboxyl-terminal truncation during purification.

 

The production rate (PR) of human TSH is normally between 50 and 200 mU/day and increases markedly (up to >4000 mU/day) in primary hypothyroidism; the metabolic clearance rate (MCR) of the hormone is about 25 ml/min/m2 in euthyroidism, while significantly higher in hyperthyroidism and lower in hypothyroidism (3). The PR of free alpha subunit is about 100 µg/day, increases increase approximately two-fold in primary hypothyroidism and in post-menopausal women, and decreases (about to one half) in hyperthyroidism (4). The PR of free TSH beta subunit is too low to be calculated in all hyperthyroid and in most euthyroid subjects, while is 25-30 ug/day in primary hypothyroidism (4). The MCR of the free subunits is 2-3 times faster than that of TSH, being about 68 ml/min/m2 for alpha and 48 ml/min/m2 for the beta subunit (4). The half-life of circulating TSH ranges from 50 to 80 minutes (4).

 

The gene coding for the alpha subunit (CGA) is located on chromosome 6 and the thyroid stimulating hormone subunit beta (TSHB)  gene on chromosome 1 (5). The structure of CGA gene has been determined in several animal species (6,7). The genes of each species are approximately of the same size and similarly organized in four exons and three introns. The human gene is 9.4 kilobases (kb) in length, with three introns measuring 6.4 kb, 1.7 kb and 0.4 kb, respectively. The TSHB gene has been isolated in mouse (7), rat (8), and humans (9,10), among other species. In contrast to the CGA gene, the organization of the TSHB gene is somewhat variable between the different species. The rat and the human genes are organized in three exons, while the mouse gene contains two additional 5'-untranslated exons. The first exon is untranslated, the leader peptide and the first 34 amino-acids are encoded by the second exon, while the third exon represents the remaining coding region and 3'-untranslated sequences. A single transcription start has been identified in the hTSHB gene, while the rat and the mouse genes contain two starting sites separated by approximately 40 base pairs (bp); transcription begins predominantly from the downstream site, which corresponds to the location of the human transcriptional start. A schematic representation of the TSHB gene is shown in Figure 1.

Figure 1. Thyrotropin β (TSHB) gene structure. Some mutations of the gene found in patients with congenital central hypothyroidism are also depicted (modified from McDermott et al. (11) and Baquedano et al. (12)).

 

The pre-translational regulation of TSH synthesis and secretion is a complex process, detailed in the next paragraphs. The formation of mature TSH involves several post-translational steps including the excision of signal peptides from both subunits and co-translational glycosylation with high mannose oligosaccharides (13,14). As the glycoproteins are successively transferred from the rough endoplasmic reticulum to the Golgi apparatus, the trimming of mannose and further addition of fucose, galactose and sialic acid occurs (15). The alpha subunit has two and the beta subunit has one asparagine (N)-linked oligosaccharide(s) showing a typical biantennary structure fully sulfated in bovine and half-sulfated in human TSH (2). The primary intracellular role of these glycosylation events may be to allow proper folding of the alpha and beta subunits permitting their heterodimerization and also preventing intracellular degradation (16,15). On the basis of crystallographic studies on hCG and other glycoprotein hormones, a homology model of the tridimensional structure of TSH has been proposed (17). This model (Fig. 2) predicts for both the alpha and the beta subunit the presence of two beta-hairpin loops (L1 and L3) on one side of a central "cystine knot" (pair of cysteine molecules) formed by three disulfide bonds, and a long loop (L2) on the other side. Both alpha and beta chains have functionally important domains involved in TSH-R binding and activation (Fig. 2) (18). Of particular relevance is the so-called “seat belt” region of the beta chain comprised between the 10th (C86) and the 12th (C105) cysteine residue (Fig. 2 and Fig. 3). The name “seat belt” derives from the conformational structure of the beta chain determined by the disulfide bridge (C39/C125) toward the C-terminal tail of the beta subunit that wraps the alpha subunit like a “seat belt” (Fig. 3), and stabilizes the heterodimerization of TSH (2,18).

Figure 2. Schematic drawing of human TSH, based on a molecular homology model built on the template of a hCG model (17). The α-subunit is shown as checkered, and the β-subunit as a solid line. The two hairpin loops in each subunit are marked L1, L3; each subunit has also a long loop (L2), which extends from the opposite site of the central cystine knot. The functionally important α-subunit domains are boxed. Important domains of the β-subunit are marked directly within the line drawing (crossed line, beaded line and dashed line). Reproduced from Grossmann et al. (2) with permission, where further details can be found.

Figure 3. Structural model of TSH based on the FSH x-ray structure, which is the best available structural template for TSH. The boxed residue numbers represent cysteines residues, which form stabilizing disulfide bridges (yellow): 5 in α-subunit (red orange), and 6 in the β-subunit (magenta). The disulfide bridge (C39/C125) toward the C-terminal tail of the α-subunit of TSH that wraps around the β-subunit like a “seat belt” stabilizes the heterodimerization of TSH as well as that of FSH, LH, and HCG. (Reproduced from Kleinau et al. (18) with permission)

 

Proper TSH glycosylation is also necessary to attain normal bioactivity (19), a process which requires the interaction of the neuropeptide thyrotropin-releasing hormone (TRH) (Fig. 4), with its receptor on thyrotroph cells (20-22). The requirement for TRH in this process is illustrated by the fact that in patients with central hypothyroidism due to hypothalamic-pituitary dysfunction, normal or even slightly elevated levels of TSH are detected by radioimmunoassay, but biologically subpotent forms are found in the circulation together with reduced levels of free T4 (23-25). Chronic TRH administration to such patients normalizes the glycosylation process enhancing both its TSH-R binding affinity as well as its capacity to activate adenyl cyclase. This, in turn, can normalize thyroid function in such patients (26). On the other hand, enhanced TSH bioactivity is invariably found in sera from patients with thyroid hormone resistance (27). Moreover, variations of TSH bioactivity (mostly related to different TSH glycosylation) have been observed in normal subjects during the nocturnal TSH surge, in normal fetuses during the last trimester of pregnancy, in primary hypothyroidism, in patients with TSH-secreting pituitary adenomas, and in non-thyroidal illnesses (27,28). Glycosylation of the molecule can also influence the rapidity of clearance of TSH from the circulation. Taken together, these findings have led to a new concept of a qualitative regulation of TSH secretion, mainly achieved through both the transcriptional and post-transcriptional mechanisms involving not only TSH glycosylation (29), but also thyrocyte physiology and thyroid disorders (30).

Figure 4. Structure of TRH

 

Specific amino-acid sequences in the common alpha and beta subunits are critical for the heterodimerization, secretion and bioactivity of mature TSH. These sequences include highly conserved segments which are essential for TSH-R binding and biological activity (see Refs (2,18) for an extensive review). The peptide sequence 27CAGYC31 (cysteine-alanine-glycine-tyrosine-cysteine) is highly conserved in the beta subunit of TSH, LH, hCG, as well as FSH, and is thought to be important in heterodimerization with the alpha subunit (31,32). Several inherited TSHB gene mutations are responsible for isolated familial central hypothyroidism and are listed in Table 1 and depicted in Fig. 1. The most frequent mutation is a homozygous single-base deletion in codon 105 that results in a substitution of cysteine 105 by valine and an additional 8 amino acid nonhomologous peptide extension on the mutant protein (C105V, 114X). The mutation destroys a disulfide bond essential for normal protein conformation and bioactivity and leads to an unstable heterodimer (33-38,11,39,40,12,41,42).

 

Table 1. Mutations in the Beta Subunit Gene Responsible for Congenital Isolated Central Hypothyroidism

Mutation of TSHB

Consequence of mutation on TSH heterodimer formation

G29R (31)

Prevents dimer formation modifying the CAGYC region

E12X (33)

Truncated TSH beta subunit unable to associate with alpha chain

C105V, 114X (41)

Destruction of a disulfide bond, non-homologous carboxyterminus. Change of amino acid sequence in the “seat belt” region leads to unstable heterodimer

Q49X (37)

Truncated TSH beta subunit forming a bio-inactive heterodimer with the alpha chain

IVS2+5A (39)

Base substitution at intron 2 (position +5) with shift of the translational start point to an out of frame position of exon 3 resulting in a truncated transcript

C85R (43)

T to C transition at codon 85 of exon 3 resulting in a change of cysteine to arginine, preventing the formation of a functional heterodimer with the alpha subunit

C162GA (12)

G to A change at the 5’ donor splice site of exon/intron 2 transition causing a (CGACGG) polymorphism, which although per se silent, disrupts the 5’ consensus sequence critical for splicing and causes complete skipping of exon 2

C88Y (12)

323G>A transition resulting in a C88Y change. This cysteine residue is conserved among all pituitary and placental glycoprotein hormone-beta subunits and the loss alters the conformation and intracellular degradation

 

The understanding of the relationship between molecular structure and biological activity of TSH recently allowed the synthesis of TSH variants designed by site-directed mutagenesis with either antagonist (43) or superagonist (44) activity that potentially offer novel therapeutic alternatives. More recently, newly chemically modified compounds with low molecular-weight and able to antagonize the TSH receptor have been reported (45,46). These drugs may possess agonist or antagonist properties. Indeed, a non peptidic antagonist, therefore devoid of intrinsic immunogenicity, might be very useful in the treatment of Graves’ disease and other forms of hyperthyroidism, such as TSH-secreting pituitary adenomas, Graves’ orbitopathy, and activating mutations of the TSH receptor (47,48).

 

Other Thyrotropic Hormones

 

A second thyrotropic hormone formed by a heterodimer of two distinct glycoprotein subunits (glycoprotein hormone alpha 2-subunit - GPA2 and glycoprotein hormone beta 5-subunit - GPB5) has been identified in the human pituitary and called thyrostimulin (49-53). Thyrostimulin has a sequence similarity of 29% with the alpha and 43% with the beta subunit and is able to activate the TSH-R (54,18). Although it has been hypothesized that it could account for the residual stimulation of thyroid gland observed in patients with central hypothyroidism (55), its physiological role is still unknown. The GPA2/GPB5 heterodimer is localized in extrapituitary tissues such as the eye, testis, bone, and ovary (54,56,57), while the anterior pituitary expresses almost exclusively GPA2 (54). In the rat ovary, thyrostimulin activates the TSH-R expressed in granulosa cells suggesting a potential paracrine activity (56).

 

Regulation of TSH Synthesis and Secretion        

 

The major regulators of TSH production are represented by the inhibitory effects of thyroid hormone (58) and by the stimulatory action of TRH. As shown in Fig. 5, T3 acts via binding to the nuclear thyroid hormone receptor β2 isoform present in thyrotrophs, and T4 mainly acts via its intra-pituitary or intra-hypothalamic conversion to T3, although a direct negative effect of T4 independent from local T3 generation on TSHB gene expression has been documented (59). Both thyroid hormones directly regulate the synthesis and release of TSH at the pituitary level and indirectly affect TSH synthesis via their effects on TRH and other neuropeptides. TRH is the major positive regulator of hTSHB gene expression and mainly acts by activating the phosphatidylinositol-protein kinase C pathway. Other hormones/factors are also implicated in the complex regulation of TSHB gene expression, as detailed below.

Figure 5. Basic elements in the regulation of thyroid function. TRH is a necessary tonic stimulus to TSH synthesis and release. TRH synthesis is regulated directly by thyroid hormones. T4 is the predominant secretory product of the thyroid gland, with peripheral deiodination of T4 to T3 in the liver and kidney supplying roughly 80% of the circulating T3. Both circulating T3 and T4 directly inhibit TSH synthesis and release independently, T4 after conversion to T3.  SRIH, somatostatin

 

EFFECTS OF THYROID HORMONE ON TSH SYNTHESIS

 

In animal models, thyroid hormone administration is followed by a marked decrease of both alpha and TSHB subunit mRNA expression (60,61), but TSHB is suppressed more rapidly and more completely than the alpha subunit. In humans with primary hypothyroidism a paradoxical increase of serum TSH concentration has been observed shortly after beginning thyroid hormone replacement therapy, followed later by TSH suppression (62). The precise mechanism for this phenomenon has not been fully elucidated: it could be due to a generalized defect in protein synthesis as a consequence of hypothyroidism, or to the presence of a still unrecognized stimulatory thyroid hormone cis-acting element (see below). Thyroid hormone regulation of TSHB subunit transcription is complex and, at least in the rat and mouse, involves control of gene transcription at both start sites of the gene (Fig. 6) (62-69). Studies of the human, rat and mouse TSHB genes have demonstrated that they contain DNA hexamer half sites with strong similarity to the T3 response elements (TREs) found in genes which are positively regulated by thyroid hormone (70-72). The sequences in the TSHB gene are shown in Fig. 6 and their similarity to the typical hexamer binding sites in positively regulated genes and in the rat CGA gene is demonstrated by comparison to the TRE sequences from positively regulated genes (73). In keeping with this concept, T3 exerts similar negative activity on rat GH3 cells transfected with plasmids constructs containing the putative negative TRE of the rat TSHB gene or containing a half-site motif of the consensus positive TRE (74,75,73,69,76). The conserved TRE-like sequences are the best candidate sites in the TSHB gene to which the T3 receptor (TR) binds. The subsequent binding of T3 to TR-DNA complexes suppresses transcription of both the CGA and TSHB genes (77,66,73,69). The inhibitory effect of thyroid hormone is observed with all alpha and beta isoforms of TR, but TR-beta2 (a TR isoform with pituitary and central nervous system-restricted expression) is affected most substantially (78). This in vitro observation is in keeping with a series of in vivo data obtained in transgenic and knockout mice with generalized or pituitary-selective expression of mutated TR isoform genes. Knockout mice for TR-alpha 1 develop only minor abnormalities in circulating T4 and TSH concentration (79), while mice lacking both beta1 and beta2 isoforms (beta-null) develop increased serum T4 and TSH level, but retain partial TSH suppression by T3 administration (80,81). Mice selectively lacking the TR-beta2 isoform develop hormonal abnormalities similar to TR-beta-null animals, indicating a key role of TR-beta2 as a mediator of T3-dependent negative regulation (82). On the other hand, the residual T3-dependent TSH suppression observed in mice lacking TR-beta isoforms suggests that TR-alpha 1 may partially substitute for TR-beta in mediating T3 suppression: accordingly, mice lacking all (alpha and beta) TR isoforms develop dramatic increases in circulating T4 and TSH concentration, indicating that a complete expression of all TR isoforms is required for normal regulation of the hypothalamic-pituitary thyroid axis (83-85). Further studies have been carried out with models of mice expressing selectively at the pituitary (83,86) and hypothalamic (87) level different combinations of double homozygous or combined heterozygous deletions of both TR-alpha and TR-beta genes. These studies confirmed the key role of TR-beta integrity both at the pituitary and hypothalamic level for the inhibition of TSHB and TRH gene expression. TR-alpha however, may partially substitute for TR-beta in mediating a partial thyroid hormone dependent TSH suppression.

 

Figure 6. DNA sequences of the putative TREs in the rat, mouse, and human TSHB gene promoters. A comparison of the proximal promoter regions of the rat, mouse, and human TSHB genes is shown. The straight arrows denote TRE consensus half-sites identified by functional and TR binding assays. The first exons (relative to the downstream promoter for the rat and mouse genes) are shaded, and the bent arrows denote the sites of transcription initiation.  Note a nine-nucleotide deletion in the human gene relative to the rodent genes indicated by the triangle just 5' of the transcriptional start site. (Reproduced from Chin et al. (69) with permission.)

 

The negative transcription conferred by TSH beta TRE sequences is retained even if they are transferred to a different gene or placed in a different position within a heterologous gene (88,89,73,90). This suggests that the negative transcriptional response to thyroid hormone is intrinsic to this TRE structure. In contrast with positive TREs, little is known about the mechanism of T3-dependent negative regulation of genes like TSHB. The data discussed above clearly show the crucial role of the TR-beta in the negative regulation of TSH synthesis. Like for positive TREs, it has been recently established that TR binding to DNA is required for negative gene regulation (91). Early experiments suggested that unliganded TR homodimers stimulate the expression of TSH beta (an effect that is a mirror image of the silencing effect on positive TREs), but the methodology employed was not adequate to study the low level of basal TSHB transcriptional activity. The use of CV1 cell lines containing the TSH beta CAT (chloramphenicol acetyltransferase) reporter allowed a more accurate study of the molecular mechanisms involved in the liganded TR suppression (92). In this experimental system, TSHB gene suppression was dependent on the amounts of T3 and TR, but unliganded TR did not stimulate TSH beta activity, suggesting that TR itself is not an activator. Moreover, recruiting of co-activators and co-repressors were shown to be not necessarily essential, but are required for full suppression of the TSHBa gene (92).

 

In contrast to the potentiating activity exerted on stimulatory TREs, retinoid X receptors (RXR) either unliganded or in combination with retinoic acid (RA) block thyroid hormone-mediated inhibition of the TSHB gene, possibly through competition with the TR-T3 complex binding to DNA (93,76,94,92). However, RA is also able to suppress TSHB gene expression when bound to RAR and RXR interacting with response elements separate from negative TREs (95,96). Taken together, these findings imply that distinct mechanisms are involved in thyroid hormone dependent inhibition and stimulation of TSH synthesis (97,98). Indirect support for this concept derives from the identification of patients with selective pituitary thyroid hormone resistance carrying TR mutations associated with normal or enhanced function on stimulatory TREs in peripheral tissues, but defective function on inhibitory TREs of the TSHB and TRH genes (99).  

 

Another peculiar feature of the negative TSH beta TRE is that its 5' portion (Fig. 6) displays high homology with the consensus sequence of binding sites for c-Jun and c-Fos, which heterodimerize to form the transcription factor called AP-1. This makes the negative TSH beta TRE a "composite element" able to bind both thyroid hormone receptors and AP-1 (100,101,90,99). Since AP-1 antagonizes the inhibition exerted by thyroid hormone in vitro, it may act as a modulator of TRH-dependent regulation of the TSHB gene in vivo (90). The role of other important TSHB gene activity modulators (such as Pit-1 and its splice variants) will be discussed later. Other abnormalities of the mechanisms involved in the negative feed-back on TSH by thyroid hormones could be involved in rare pathological conditions of difficult identification and diagnosis.

 

Since unliganded TR does not behave as an activator of the TSHB gene, other mechanisms are involved in the increase in TSH production observed in hypothyroidism. In the hypothyroid rat TSH production is increased 15 to 20-fold over that in the euthyroid state. This can be attributed to the stimulatory effects of TRH (see below) unopposed by the negative effects of T3; moreover, besides the transcription rate per cell, there is a 3 to 4 fold increase in the absolute number of thyrotrophs in the hypothyroid pituitary (102). Electron microscopic studies have shown near total depletion of secretory granules in the thyrotrophs of hypothyroid animals, a change that is reversed soon after administration of thyroid hormone (103).

 

THYROID HORMONE EFFECTS ON RELEASE OF TSH

 

The acute administration of T3 to the hypothyroid rat causes a rapid and marked decrease in the level of serum TSH (58,104) (Fig. 7). This decrease occurs prior to the decrease in pituitary alpha and beta-TSH mRNAs (104,61,105). During the period that circulating TSH is falling, pituitary TSH content remains unchanged or increases slightly (106). The suppression of TSH release is rapid, beginning within 15 minutes of intravenous T3 injection, but is preceded by the appearance of T3 in pituitary nuclei (106). In the experimental setting in the rat, as the bolus of injected T3 is cleared and the plasma T3 level falls, nuclear T3 decreases followed shortly by a rapid increase in plasma TSH. Both the chronological and quantitative relationships between receptor bound T3 and TSH release are preserved over this time (106).

 

Figure 7. Time course of specific pituitary nuclear T3 binding and changes in plasma TSH in hypothyroid rats after a single intravenous injection of 70 ng T3 per 100 g of body weight.  Since the maximal capacity of thyroid hormone binding in pituitary nuclear proteins is about 1 ng T3/mg DNA, the peak nuclear T3 content of 0.44 ng T3/mg corresponds to 44% saturation.  The plasma level falls to about 55% of its initial basal level by 90 minutes after T3 injection demonstrating that there is both a chronological and a quantitative correlation between nuclear T3 receptor saturation and suppression of TSH release. (From Silva and Larsen (107) with permission).

 

The mechanism for this effect of T3 is unknown. As discussed before, suppression of basal TSH release is difficult to study in vitro. Accordingly, the T3 induced blockade of TRH-induced TSH release has been used as a model for this event. This T3 effect is inhibited by blockers of either protein or mRNA synthesis (108,109). The effect is not specific for TRH since T3 will also block the TSH release induced by calcium ionophores, phorbol ester, or potassium (110,111). Furthermore, T3 will also block the TRH-induced increase in intracellular calcium which precedes TSH release (112). Thus, T3 inhibits TSH secretion regardless of what agent is used to initiate that process.

 

T4 can cause an equally rapid suppression of TSH via its intrapituitary conversion to T3 (104) (Fig. 5). This T4 to T3 conversion process is catalyzed by the deiodinase type 2.  An effect of T4 per se can be demonstrated if its conversion to T3 is blocked by a general deiodinase inhibitor such as iopanoic acid (113,104). In this case, the T4 in the cell rises to concentrations sufficient to occupy a significant number of receptor sites even though its intrinsic binding affinity for the receptor is only 1/10 compared to T3. A similar effect can be achieved by rapid displacement of T4 from its binding proteins by flavonoids (114). It seems likely, however, that under physiological circumstances the feedback effects of T4 on TSH secretion and synthesis can be accounted for by its intracellular conversion to T3.

 

The effect of suppressive doses of T3, T4 and triiodothyroacetic acid on serum TSH has been evaluated in humans by ultrasensitive TSH assays (115). TSH suppression was shown to be a complex, biphasic, nonlinear process, with three temporally distinct phases: phase 1, a rapid TSH suppression, starting after 1 h and lasting for 10-20 h; phase 2, slower suppression, starting between 10 and 20 h and lasting for 6-8 weeks; and phase 3, with stable low TSH level (<0.01 mU/L). This pattern of thyroid hormone suppression of TSH is reproducible and independent of the basal thyroid status or the thyroid hormone analog used.

 

Based on the analyses of the sources of nuclear T3 in the rat pituitary, one would predict that approximately half of the feedback suppression of TSH release in the euthyroid state can be attributed to the T3 derived directly from plasma; the remainder accounted for by the nuclear receptor bound T3 derived from intrapituitary T4 to T3 conversion (104). Various physiological studies in both rats and humans confirm this concept in that a decrease in either T4 or T3 leads to an increase in TSH. The effect of T4 is best illustrated in the iodine deficient rat model (Fig. 8). 

Figure 8. Serum T3, T4, and TSH concentrations (mean ± SD) in rats receiving a low iodine diet (LID), with or without potassium iodide (KI) supplementation in the drinking water. (From Riesco et al. (116) with permission)

 

In this paradigm, rats are placed on a low iodine diet and serum T3, T4, and TSH quantitated at frequent times thereafter (116). Even though serum T3 concentrations remain constant, there is a marked increase in TSH as the serum T4 falls. In humans, severe iodine deficiency produces similar effects (117). The most familiar example of the independent role of circulating T4 in suppression of TSH is found in patients in the early phases of primary hypothyroidism in whom serum T4 is slightly reduced, serum T3 is normal or even increased into the high normal range, but serum TSH is elevated (118,119) (Table 2).

 

Table 2 . Serum concentration of total thyroid hormones and TSH in patients with primary hypothyroidism of increasing severity

 

 

 

TSH (mU/L)

Group*

T4 ug/dl

T3 ng/dl

Basal

After 200 ug TRH

Control

7.1±0.9

115±31

1.3±0.5

11±4.6

1

6-9

119±40

5.3±2.3

39±15

2

4-6

103±20

13±10

92±50

3

2-4

101±35

63±56

196±120

4

<2

43±28

149±144

343±326

Results are mean ± SD.  *Patients were categorized according to the severity of thyroid disease based on serum total T4 concentrations. (Adapted from Bigos et al. (118) with permission)

 

THE ROLE OF THYROTROPIN RELEASING HORMONE (TRH) IN TSH SECRETION

 

TRH is critical for the synthesis and secretion of TSH either in the presence or absence of thyroid hormones. Destruction of the parvo-cellular region of the rat hypothalamus, which synthesizes the TRH relevant for TSH regulation, causes hypothyroidism (120,121). Hypothalamic TRH synthesis is in turn regulated by thyroid hormones and thus TRH synthesis and release are an integral part of the feedback loop regulating thyroid status (see Fig. 5). TRH also interacts with thyroid hormone at the thyrotroph raising the set-point for thyroid hormone inhibition of TSH release (120). The data supporting these general concepts are reviewed in subsequent sections.

 

Control of Thyrotroph-Specific TRH Synthesis  

 

TRH is synthesized as a large pre-pro-TRH protein in the hypothalamus and in several tissues, such as the brain, the beta cells of the pancreas, the C cells of the thyroid gland, the myocardium, reproductive organs including the prostate and testis, in the spinal cord, and in the anterior pituitary (122,123,120,124-127). Recent investigations employing sophisticated techniques such as fast atom bombardment mass spectrometry and gas phase sequence analysis showed that most TRH immunoreactivity found in extrahypothalamic tissues is actually accounted by TRH-immunoreactive peptides displaying different substitutions of the amino-acid histidine of authentic TRH, which could be active in autocrine/paracrine networks involving also extrapituitary TSH secretion (127). On the other hand, pituitary TSH production is dependent only on TRH synthesized in specific areas of the paraventricular nucleus (PVN) (Fig. 9), located at the dorsal limits of the third ventricle (128). In particular, TRH neurons are almost exclusively found in the parvicellular part of the PVN and, while TRH-synthesizing neurons are found in all parvicellular subdivisions of the PVN, hypophysiotropic TRH neurons are located exclusively in the periventricular and medial subdivisions (Fig. 9).

Figure 9. Distribution of TRH-synthesizing neurons in the PVN. Low power micrographs (A–C) illustrate the TRH neurons at three rostrocaudal levels of the PVN. Schematic drawings (D–F) illustrate the subdivisions of the PVN where hypophysiotropic TRH neurons are localized (gray). AP, anterior parvocellular subdivision; DP, dorsal parvocellular subdivision; LP, lateral parvocellular subdivision; MN, magnocellular part of PVN; MP, medial parvocellular subdivision, PV, periventricular parvocellular subdivision; III, third ventricle. (From Fekete & Lechan (128) with permission)

 

Hypophysiotropic TRH neurons project their axons to the median eminence, where TRH is released and drained to the anterior pituitary through the long portal veins (128). Although paracrine and autocrine activity has been recently described for TRH secreted in the anterior pituitary (129), the physiological relevance of pituitary TRH is unknown. The human pre-pro-TRH molecule is a protein of 29 kDa containing 6 progenitor sequences for TRH (130-132). These six peptides consist of a Gln-His-Pro-Gly peptide preceded and followed by Lys-Arg or Arg-Arg di-peptides. The basic di-peptides are the cleavage sites for release of the tetra-peptide progenitor sequence. The glycine residue is the source of the terminal amide for the proline residue of TRH (Fig. 4). In addition to the pro-TRH peptides which are released from the pre-pro TRH molecule, intervening non-TRH peptides which have potential physiological function are co-released (133). In particular, the prepro-TRH fragment 160-169, also known as hST10, TRH-enhancing peptide, and Ps4 (134,135) is able to stimulate TSHB gene expression and to enhance the TRH-induced release of TSH and prolactin (PRL) from the pituitary (136,137,134,138Ps4). Ps4 high affinity receptors have been shown within several extrapituitary neural tissues and other endocrine systems (mainly in the pancreas and the male reproductive system), and targeted pre-pro TRH gene disruption results in hyperglycemia besides the expected hypothyroidism (134). Another pre-proTRH peptide (fragment 178-199) (139,140). appears to be a modulator of ACTH secretion, although the physiological relevance of this phenomenon is unknown. The prepro-TRH processing is mostly mediated by the prohormone convertases PC1 and PC2, and takes place during axonal transport after removal of the signal peptide (138). Subsequent cleavages occur as the peptides move down the axon toward the nerve terminal, from which TRH is released into the hypothalamic-pituitary portal plexus (120,121).

 

Thyroid hormones exert strong negative regulation on TRH synthesis at the hypothalamic level (141-145). Increases in TRH mRNA levels occur during primary or central hypothyroidism and implantation of a small crystal of T3 adjacent to the PVN results in a decrease in TRH mRNA (143). This regulation is observed in vivo exclusively in the parvo-cellular division of the PVN (142,143) (whose neurons contain the functional TR isoforms alpha1, beta2 and beta1 (146)), while in tissues outside the central nervous system expressing the TRH gene, negative regulation by thyroid hormone is absent (147). TR beta2 is the key isoform responsible for T3-mediated feedback regulation by hypophysiotropic TRH neurons (148). Targeted disruption of TR beta2 expression results in increased TRH mRNA expression in the PVN, similar to that found in hypothyroidism. In contrast to the anterior pituitary, where ablation of TR beta2 or the entire TR beta allele produces only partial TH resistance (80,81), the lack of TR beta is associated with a complete resistance of the modulation of TRH synthesis exerted by severe hypo- or hyperthyroidism (148).

 

The physiological source of the T3 causing downregulation of TRH mRNA in the hypothalamus is the subject of ongoing investigations. Somewhat surprisingly, the PVN does not contain the type 2 5' iodothyronine deiodinase (D2) which is thought to be the source of at least 80% of the intracellular T3 in the central nervous system (104,149). However, studies with T3 containing mini-pumps implanted into thyroidectomized rats indicate that, for normalization of circulating TSH and hypothalamic pre-pro-TRH mRNA, T3 concentrations about twice normal have to be maintained in rat plasma (144). Thus, for both systems (TRH and TSH), feedback regulation requires a source of T3 in addition to that provided by the ambient levels of this hormone. While this T3 seems likely to be produced locally from T4, the main anatomical location of such a process has been identified only more recently in the specialized ependymal cells called tanycytes lining the floor and the infralateral wall of the third ventricle between the rostral and caudal poles of the median eminence and the infundibular recess (150,128). Tanycytes are one of the major sources of D2, with D2 mRNA expressed in the cell bodies, in the processes, and in their end feet (128). Originally believed to only serve as part of the blood-brain barrier, tanycytes have complex functions including an active role in endocrine regulation. In particular, T3 locally produced by tanycytes from circulating T4 represents the primary source of T3 involved in the feed-back regulation of hypophysiotropic neurons, unable to express D2 (128). The anatomical location of tanycytes places them in a strategic position to extract T4 from the bloodstream or from cerebrospinal fluid after T4 has traversed the choroid plexus (Fig. 10). Despite their lipophilic nature, the transport of thyroid hormone into the cells require an active processes involving a long list of transporters (151). Two transporter families have been shown to be important in the transport of thyroid hormones in the brain: the monocarboxylate transporter (MCT8)(152) and the organic anion transporting polypeptide (OATP1C1)(153). Several lines of evidence support an important role of MCT8, a member of the MTC family in central nervous system thyroid hormone transport expressed primarily in neurons and in tanycytes. Data from both MCT8 KO mice and from humans with MCT8 mutations indicate that lack of functional MCT8 result in hypothyroid TRH neurons, in spite of high circulating T3 concentration, suggesting that MCT8 is necessary for physiological feed-back regulation (128).

 

Figure 10. Schematic illustration of the feedback system regulating the hypothalamic-pituitary-thyroid axis. Thyroid hormones exert negative feedback effect at the level of hypothalamic TRH neurons and of pituitary gland. The central feedback effect of thyroid hormones depends on the circulating T4 levels. In the hypothalamus, T4 is converted to T3 by D2 in tanycytes. By volume transmission, T3 secreted from tanycytes reaches the hypophysiotropic TRH neurons, where T3 inhibits the proTRH gene expression via TR-β2 receptors. The set point of the feedback regulation can be altered by two mechanisms: (i) regulation of D2 activity in tanycytes may alter the hypothalamic T3 availability independently from the peripheral T4 concentration. (ii) Neuronal afferents can alter the PCREB concentration in the hypophysiotropic TRH neurons that can change the set point of feedback regulation through competition of PCREB and thyroid hormone receptors for the multifunctional binding site (Site 4) of the TRH promoter. ARC, hypothalamic arcuate nucleus; C1-3, C1-3 adrenergic area of the brainstem; CSF, cerebrospinal fluid; DMN, hypothalamic dorsomedial nucleus; ME, median eminence; NTS, nucleus tractus solitarius; PVN, hypothalamic paraventricular nucleus; py, pyramidal tract; sp5, spinal trigeminal tract. (From Fekete & Lechan (128) with permission)

 

The synthesis of TRH is under complex transcriptional control sharing several mechanisms, besides the negative regulation by thyroid hormone, with the TSHB gene. The human TRH gene (Fig. 11) is located on chromosome 3 (3q13.3q21) (154); the 5' flanking sequence of the TRH gene has potential glucocorticoid and cyclic AMP response elements (GRE and CRE) (130). There are also potential negative TREs located in this portion of the gene which offer regulatory sites for thyroid hormone control of TRH gene transcription. The thyroid hormone negative regulatory elements of the TRH gene are localized in its 5' flanking element (-242 to +54 bp). Four sequences within this region exhibit a high degree of homology with the consensus sequences for TRE half-sites (AGGTCA) and two of them also show homology with elements implicated in negative regulation by thyroid hormone of the TSHB gene (147). In the absence of thyroid hormone, proTRH gene expression as well as prohormone convertase enzymes (PC1/3 and PC2) are increased in the PVN, while the content of TRH in the median eminence is decreased due to increased secretion of the mature hormone in the portal circulation (128). In contrast, hyperthyroidism is associated with decreased proTRH-mRNA in the PVN (128). The negative feed-back of thyroid hormones is exerted directly on hypophysiotropic TRH neurons of the PVN which express all thyroid hormone receptor isoforms. The recent availability of transgenic mice lacking either TRH, TR-beta isoforms, or both provided evidence for a pivotal role of TRH in the physiological TH feed-back on the hypothalamic pituitary-thyroid (HPT) axis (155). Double TSH and TR-beta knockout mice had reduced TH and TSH levels associated with low TSH content in pituitary thyrotrophs and both serum TSH and pituitary TSH content was increased by chronic exogenous TRH administration (156). Thus, the TRH neuron appears to be required for both TSH and TH synthesis and is the predominant locus of control of the HPT axis (155).  However, studies carried out with different animal models of congenital hypothyroidism show that the thyrotrophs exhibit hyperplasia and hypertrophy along with increased TSH mRNA expression not only in the athyreotic Pax8-/- mice, but also in TRHR1-/- Pax8-/- double-knockout mice, which miss a functional thyroid gland and the TRH receptor at the pituitary level, suggesting that the stimulation of thyrotroph proliferation and TSH synthesis is rather a direct consequence of the continue here athyroidism of the animals (157). Further studies are therefore required to determine the relative contributions of TRH and TH for bioactive pituitary TSH release.

 

As shown in Fig. 11, the TRH gene promoter contains potential binding sites for cAMP response element (CRE) binding protein (CREB), and both human and rat TRH genes are positively regulated by cAMP (147). One of the potential CREs of TRH promoter is a sequence that has overlapping TRE/CRE bases –53 to –60 bp (TGACCTCA) (147). There is evidence for competitive interactions of TR beta1 and CREB at the overlapping TRE/CRE in the TRH promoter (147). Constructs of the TRH promoter with mutations in this overlapping site prevent both the inhibition by the TR-T3 complex and the basal activation in the presence of unliganded TR, underlining the relative importance of the TRE/CRE site in relation to the other TREs in the TRH promoter (147).

Figure 11. Genomic and promoter structure of the TRH gene. The murine, rat and human TRH genes are composed of three exons and two introns (A). The coding sequence for the precursor protein is present on exons 2 and 3. As depicted, the TRH promoter region precedes the transcription start site in exon 1. The proximal 250-bp sequences of the human, mouse and rat promoters are similar and share the indicated transcription factor binding sites. The location of the CREB binding site (Site 4) and sequences in human (H), mouse (M) and rat (R) are shown. (B, C) Hypothesized schematic representation of the interaction between PCREB and the thyroid hormone receptor at Site 4. (B) Illustrates that in the presence of abundant PCREB, there may be less availability for binding of the thyroid hormone receptor/T3 complex, hence, an increase in TRH gene transcription. When PCREB concentrations fall as shown in (C), increased binding of the thyroid hormone receptor/T3 complex reduces TRH gene transcription (From Fekete & Lechan (128) with permission)

 

A glucocorticoid-responsive element (GRE) is also present in the TRH gene promoter (130). and the glucocorticoid receptor has been identified on TRH neurons of the PVN (158). The role of corticosteroids in TRH gene expression is unclear, since both inhibitory and stimulatory effects have been reported (159,160). The direct effect of glucocorticoids on TRH gene expression is generally stimulatory in vitro, but in vivo this activity may be overridden by the complex neuroendocrine reactions following glucocorticoid excess or deficiency (159).

 

TRH INTERACTION WITH PITUITARY THYROTROPHS AND WITH THYROID HORMONE

 

Although TRH (either maternal or embryonic) is not required for the normal development of fetal pituitary thyrotrophs, and TRH-deficient mice are not hypothyroid at birth, TRH is required later for the postnatal maintenance of the normal thyrotroph function (161). TRH exerts its activity binding to a specific receptor in the plasma membrane of the thyrotroph to induce the release of TSH and to stimulate TSH synthesis. The TRH receptor of several animal species (including humans) has been cloned and has been identified as a G-protein-coupled receptor with seven highly conserved transmembrane domains (162-165). Biallelic inactivating mutations in the 5’-part of the TRH receptor gene are one of the molecular causes for central congenital hypothyroidism (166-169). TRH-receptor number and mRNA are increased by glucocorticoids and decreased by thyroid hormone, as well as by TRH itself (170,171). The second messenger for induction of the thyrotroph response to TRH is intracellular Ca2+ ([Ca2+]i) (172-174). TRH was previously believed to act also through stimulation of the adenyl cyclase-cAMP pathway (120), but this mechanism has not been confirmed by studies carried out with recombinant TRH-receptor transfected in different cell systems (175). TRH activates a complex [Ca2+]i response pattern dependent upon both agonist concentration and cell context. The first phase of the TRH response is an acute increase of [Ca2+]i within the thyrotrophs via release from internal stores. This is the consequence of increased inositol triphosphate concentrations from hydrolysis of phosphatidyl inositol (PI) in the cell membrane (176,173,177,178). The hydrolysis of PI is mediated by G protein activation of phospholipase C and also generates diacylglycerol, which in turn activates intracellular protein kinase C (PKC). Stimulation of extracellular calcium influx through verapamil-sensitive channels is also observed after TRH stimulation (172,179). Both TRH and increased [Ca2+]i stimulate intracellular calcium efflux, which helps in terminating the agonist activity (177,179,180). In transfection systems in which the TSHB gene promoter has been linked to a reporter gene, both the calcium ionophore ionomycin and phorbol esters (a protein kinase C activator) stimulate TSH gene transcription, confirming the key role of these second messengers in mediating TRH activity (66). Both increased [Ca2+]i and PKC appear to be independently operative in normal thyrotrophs (181).

 

The molecular mechanism(s) underlying the stimulation of TSHB gene expression by TRH have been partially elucidated. In GH3 cells transfected with hTSHB promoter constructs, two distinct regions of the human TSHB gene responding positively to stimulation by TRH were identified between -130 and +37 bp of the gene (182-184) (Fig. 12) The 3'-region corresponds to eight bp of the first exon; the 5'-region ranged between -128 to -60 bp of the 5'-flanking region (182,183).

Figure 12. The 5’ flanking sequence of the human preproTRH gene between –192 and +58 bp. Four potential thyroid response element (TRE, boxed) and two potential CREB binding elements (CRE, underlined) are shown. One sequence (from –60 to –53 bp) consists of overlapping TRE/CRE sites (bold). (Modified from Wilber & Xu (147))

 

INACTIVATION OF TRH

 

TRH is rapidly inactivated within the central nervous system by a cell-surface peptidase called TRH-degrading ectoenzyme (TRH-DE) (185). TRH-DE is very specific, since there is no other ectopeptidase known capable of degrading TRH and TRH is the only known substrate of this unique enzyme (185). TRH-DE has been purified to homogeneity and cDNA encoding rat TRH-DE has been cloned. In rodents, pituitary TRH-DE mRNA and enzymatic activity are stringently positively regulated by thyroid hormones, and reduced by estrogens (185). This suggests that TRH-DE may act as a regulatory element modulating pituitary TSH secretion. The expression of TRH-DE in the brain is high and displays a distinct distribution pattern, but it is not influenced by peripheral hormones, supporting the concept that brain TRH-DE may act as a terminator of TRH signals (185).

OTHER FACTORS INVOLVED IN THE REGULATION OF TSH/TRH SYNTHESIS AND SECRETION

A number of other substances, including ubiquitous and pituitary or thyrotroph-specific transcription factors, hormones, neuropeptides and cytokines influence TSH synthesis and secretion of TRH (Table 3, Fig. 11&13).

 

Table 3. Predominant Effects of Various Agents on TSH Secretion

STIMULATORY

INHIBITORY

Thyrotropin-releasing hormone (TRH)

Thyroid hormones and analogues

Prostaglandins (?)

Dopamine

Alpha-adrenergic agonists (? Via TRH)

Somatostatin

Opioids (humans)

Gastrin

Arginine-vasopressin (AVP)

Opioids (rat)

Glucagon-like peptide 1 (GLP-1)

Glucocorticoids (in vivo)

Galanin

Serotonin

Leptin

Cholecystokinin (CCK)

Glucocorticoids (in vitro)

Gastrin-releasing peptide (GRP)

 

Vasopressin (AVP)

 

Neuropeptide Y (NPY)

 

Interleukin 1 beta and 6

 

Tumor necrosis factor alpha

 

Role of Pit-1 and its Splicing Variants in the Regulation of TSHB Gene Expression

Sequence analysis of the hTSHB promoter reveals three areas with high (75-80%) homology to the consensus sequence for the pituitary-specific transcription factor Pit-1 (182,183,186,184). These areas are localized between -128 and -58 bp of the 5'-flanking region. Selective mutation analysis revealed that the integrity of these areas was needed for the stimulatory effect of either TRH or forskolin (187). Expression of an inactive mutant of Pit-1 decreases TRH stimulation of hTSHB (183) and transfection of Pit-1 in cell lines lacking this factor restores cAMP induction of the hTSHB gene (186). Taken together, these results strongly support an important role of Pit-1 in the regulation of hTSHB gene expression. Phosphorylation markedly increases the stimulatory activity of Pit-1 in TSHB gene expression (187), and TRH stimulates transient phosphorylation of Pit-1 in GH3 pituitary cells (188).

 

Further support for a role of Pit-1 in the regulation of TSHB gene expression derives from animal models (dwarf mice) and from clinical syndromes of combined pituitary hormone deficiency (CPHD) (189,167). Snell and Jackson dwarf mice lack a functioning Pit-1 protein due to a point mutation and a gross structural rearrangement in the Pit-1 gene, respectively (190). Both species show low serum concentration of GH, prolactin and TSH associated with the loss of somato-, lacto- and thyrotropic pituitary cells. Several Pit-1 point mutations and a deletion of the entire coding sequence have been described in patients with CPHD: the effects on TSH secretion differ with the localization of the mutation, but generally result in central hypothyroidism (191-194,94,189,195,196). Finally, the important role of Pit-1 in the control of TSH synthesis and secretion has been documented by the finding that circulating Pit-1 antibodies are associated with combined GH, prolactin, and TSH deficiency, the so called “anti-PIT-1 antibody syndrome” (197-200).

 

Although important, the role of Pit-1 for cell-specific expression of TSHB is not as clear as with the GH and PRL genes (201,184). Attention has been focused on thyrotropin-specific transcription factors, including Pit-1 splicing variants. Of those, a variant called Pit-1T (containing a 14 amino-acid insertion in the transactivation domain) is found only in thyrotropic cells expressing TSHB and it increases TSHB promoter activity when transfected in non-thyrotropic cells expressing wild type Pit-1 (202,203). These results suggest that the combination of both Pit-1 and Pit-1T may have a synergistic stimulatory effect on TSHB promoter activity (204).

Other Transcription Factors Involved in TSHB Gene Expression

 

As stated above, the transcription factor AP-1 may be involved in modulating regulation of TSHB gene expression mediated by thyroid hormone (Fig. 13). Accordingly, a potential AP-1 binding site is present between -1 to +6 bp of the TSHB gene (184), and the integrity of this site is required for maximal stimulation of  the hTSHB gene (205). Haugen et al. (206) described a new 50 kd thyrotroph-specific protein whose binding together with Pit-1 is needed for optimal basal expression of the mouse TSHB gene; this factor was subsequently identified as the transcription factor GATA-2 (207). GATA-2 stimulates the mouse TSHB promoter synergistically with Pit-1 and is needed for optimal TSHB gene basal activity. Another pituitary-specific protein (P-Lim), which binds and activates the common glycoprotein hormone alpha subunit promoter, also synergizes with Pit-1 in the transcriptional activation of the TSHB gene in mice (208). Moreover, characterization of the dwarfed Ames (df) mouse led to the cloning of the paired-like homeodomain factor Prop-1 (Prophet of Pit-1) (209). PROP-1 is necessary for Pit1 expression. Biallelic mutations in the human PROP-1 gene have been identified as a further cause of CPHD phenotype affecting somatotropes, lactotropes, and thyrotropes (210,189,167,211).

 

Figure 13. The regulatory region of human TSHB gene (see text for details)

 

cAMP

 

An increase in intracellular cAMP stimulates expression of both the common CGA and TSHB subunit genes (182). In contrast to the TRH gene, this action of cAMP is probably not mediated through direct binding of CREB to a CRE sequence, but by promoting Pit-1 phosphorylation with subsequent activation of the TSHB promoter  (183,186).

Steroid Hormones

 

Steroid hormones including corticosteroids, estrogen and testosterone modulate TSHB gene expression. Dexamethasone in pharmacological doses decreases serum TSH concentrations in normal subjects (212), in patients (213), and rats (214) with TSH-secreting pituitary adenomas, but does not significantly change TSH subunit mRNA levels (214). This suggests that glucocorticoids may act on TSH biosynthesis at a translational or post-translational level. Furthermore, as discussed before for the TRH gene, several other neuroendocrine mechanisms may participate in vivo in the modulation of TSH synthesis and secretion by glucocorticoids. In keeping with this concept, it has been shown in humans that enhanced hypothalamic somatostatinergic and dopaminergic inhibitory activities are involved in the glucocorticoid-dependent blunting of the TSH response to TRH (215).

 

Estrogens and testosterone have limited direct effects on TSH synthesis and secretion in humans. Estrogens mildy reduce mRNA levels coding for the alpha and beta TSH subunits in hypothyroid rats (216), perhaps interacting with the same response elements involved in thyroid hormone regulation. Testosterone has similar effects, at least in part explained by its peripheral conversion to estrogen (217).

Other Hormones, Neuropeptides and Cytokines

 

Somatostatin, the major physiological inhibitor of GH secretion, is also an inhibitor of TSH secretion in rats and humans (218-220). The physiological relevance of this inhibition is suggested by studies carried out with antibodies to somatostatin whose administration in rats increases serum TSH in basal conditions and after TRH or cold-exposure (212). Indirect evidence for a physiological role of somatostatin in the regulation of TSH secretion has been obtained in humans by the demonstration that stimulation of the endogenous somatostatin tone by oral glucose inhibits TSH response to TRH (221). The TSH-inhibiting activity of somatostatin is an acute phenomenon, while long-term treatment with somatostatin analogues does not cause hypothyroidism in man (222,223), presumably because the effects of the initial decrease in serum thyroid hormone concentration overrides the inhibitory effects of somatostatin. Somatostatin binds to five distinct types of receptors expressed in the anterior pituitary and brain and differing in binding specificities, molecular weight, and linkage to adenylyl cyclase (224). Binding of somatostatin to its receptor causes activation of Gi proteins which in turn inhibit adenylyl cyclase. Somatostatin also induces cellular hyperpolarization via modulation of voltage-dependent potassium channels (225). This mechanism is cAMP-independent and leads to a fall of [Ca2+]i by reducing extracellular calcium influx (226).

 

In animal models, TSH secretion is affected by other hypothalamic hormones: in particular, corticotropin-releasing hormone (CRH) stimulates TSH secretion in chickens (227) through an interaction with CRH-receptor-2 (228), and melanin-concentrating hormone (MCH) suppresses in vivo and in vitro TSH release in rats (229).

 

Neurotransmitters are important direct and indirect modulators in TSH synthesis and secretion. A complex network of neurotransmitter neurons terminates on cells bodies of hypophysiotropic neurons and several neurotransmitters (such as dopamine) are directly released into hypophysial portal blood exerting direct effects on anterior pituitary cells. Furthermore, many dopaminergic, serotoninergic, histaminergic, catecolaminergic, opioidergic, and GABAergic systems project from other hypothalamic/brain regions to the hypophysiotropic neurons involved in TSH regulation. These projections are important for a normal TSH circadian rhythm, response to stress, and cold exposure, while basal TSH secretion is mainly regulated by intrinsic hypothalamic activity (230-232). Despite the difficulty to precisely identify the relative contributions of different neurotransmitter systems in the regulation of TSH secretion, the role of some of them (particularly dopamine and catecholamines) has been rather well defined.

 

Dopamine, acting via the DA2 class of dopamine receptors, inhibits TSH synthesis and release; similarly, to somatostatin, this activity is exerted through a decrease in adenylate cyclase (233-235). Dopamine also inhibits mRNA coding for alpha and TSHB subunits and gene transcription in cultured rat anterior pituitary cells (77). In contrast, with its inhibitory activity at the thyrotroph level, dopamine at the hypothalamic levels stimulates both TRH and somatostatin release (236,237), with an opposite effect on TSH secretion.

 

In contrast to dopamine, adrenergic activation positively regulates TSH secretion. Central stimulation of alpha-adrenergic pathways increases TSH release in rats, presumably through stimulation of TRH secretion. Furthermore, alpha1 adrenergic agonists also enhance TSH release from pituitary cells in vitro by mechanisms which are independent of those activated by TRH (238,239,236,237). It is thought that alpha-adrenergic activity on thyrotrophs is linked to adenylate cyclase activation since agents increasing intracellular cyclic AMP in these cells can increase TSH release (240-242).

 

Opioids inhibit TSH secretion in rats and this action is blocked by the antagonist naloxone (243), while in humans they appear to exert a stimulatory effect, especially on the nocturnal TSH surge (244,232).  Several other neuropeptides may affect TSH secretion in vivo or in vitro. Cholecystokinin (CCK) (245), gastrin-releasing peptide (GRP) (246), and neuropeptide Y (NPY) (247) exert inhibitory effects, while arginine-vasopressin (AVP) (248), glucagon-like peptide-1 (GLP-1) (249), galanin (250), and leptin (251,252) stimulate TSH secretion. Although the precise physiological role of these peptides remains to be clarified, it has been recently suggested that they may be important in connecting nutrition status and thyroid function (253), as discussed in more detail later.

 

Cytokines have recently been demonstrated to have important effects on TRH or TSH release. Both interleukin 1 beta (IL-1 beta) and tumor necrosis factor alpha (cachectin) inhibit TSH basal release (254-257), while no inhibition is observed on TSH response to TRH (258), and this effect is independent of thyroid hormone uptake or receptor occupancy. At the same time, IL-1 beta stimulates the release of corticotropin-releasing hormone and activates the hypothalamic-pituitary-adrenal axis (259). Interleukin-1 beta is produced in rat thyrotrophs, and this production is markedly increased by bacterial lipopolysaccharide (260,261). It could thus reduce TSH secretion by either autocrine or paracrine mechanisms. The IL-1 beta-dependent cytokine interleukin 6 (IL-6) exerts similar inhibitory effects on TSH secretion. Both IL-1 beta and IL-6 acutely inhibit TSH release from the thyrotrophs, while IL-1 beta (but not IL-6) also decreases hypothalamic TRH mRNA and gene expression (262,146,263). Both IL-1 beta and IL-6 stimulate 5’-deiodinase activity in cultured pituitary cells (264), suggesting that increased intrapituitary T4T3 conversion may be involved in the inhibitory activity on TSH production. IL-6 is produced by the folliculo-stellate cells of the anterior pituitary (265,266), and, like IL-1 beta may regulate TSH release in a paracrine fashion (263,259). As discussed later, increased concentrations of circulating pro-inflammatory cytokines are involved in the alterations of hypothalamic-pituitary-thyroid axis observed in non-thyroidal illnesses.

 

SIRT1, a NAD-dependent deacetylase, has been proven to be important for TSH secretion by thyrotrophic cells by the SITR1-phosphatidylinositol-4-phosphate 5-kinase-gamma pathway (267).

 

In summary, an intricate set of relationships within and outside the central nervous system controls the TRH-producing neurons in the medial basal hypothalamus. Alterations in any of these mechanisms can influence TRH and consequently TSH release (Fig 13 and 14). The relative importance in human physiology of these neural pathways, which have been directly studied only in animal models, is unknown.

Figure 14. Schematic representation of the main factors interacting in the regulation of TSH synthesis and secretion (DA: dopamine; SS: somatostatin; α-AD: α adrenergic pathways). Red arrows: stimulation; blue blunted arrows: inhibition

 

SHORT AND ULTRA SHORT-LOOP FEEDBACK CONTROL OF TSH SECRETION

 

In additional to the classic negative feed-back of thyroid hormone on TSH and TRH secretion detailed in the above paragraphs, evidence is accumulating that pituitary TSH is able to inhibit TRH secretion at the hypothalamic level (short feedback) and TSH secretion at the pituitary level (ultra-short feedback) (268). Early observations of inhibition of TSH secretion by injection of pituitary extracts have been recently corroborated by the demonstration of TSH receptor expression (together with other pituitary hormone receptors) in the hypothalamus (269,270) and in the folliculo-stellate cells of the adenohypophysis (271). The precise physiological role of short and ultra-short feedback in controlling TRH/TSH secretion remains to be elucidated. It may be speculated that they concur in the fine tuning of the homeostatic control and in the generation of the pulsatility of TSH secretion. The possibility that thyroid-stimulating autoantibodies present in Graves’ disease recognize hypothalamic and pituitary TSH receptors has also been suggested to explain suppressed serum TSH levels in some euthyroid Graves’ patients (268).

Summary of the Main Steps Involved in the Hypothalamic-Pituitary-Thyroid (HPT) Axis

 

An attempt to summarize the main steps involved in the feedback regulation of the HPT axis is illustrated in Fig 14 (128). Thyroid hormones inhibit the effects of TRH on TSH release without interfering with TRH binding to its receptors, but exerting complex negative transcriptional and post-transcriptional activities on TSH synthesis and secretion discussed above. Several factors other than thyroid hormones are involved in the fine regulation of HPT axis as depicted in Fig. 13 and described in more detail in the following paragraphs.

 

PHYSIOLOGICAL REGULATION OF TSH SECRETION IN HUMANS

 

A number of experimental paradigms have been used to mimic clinical situations that affect the hypothalamic-pituitary thyroid axis in man. However, with the exception of the studies of thyroid status and iodine deficiency, such perturbations have limited application to humans due to differences in the more subtle aspects of TSH regulation between species. For example, starvation is a severe stress and markedly reduces TSH secretion in rats, but only marginally in humans. Cold stress increases TSH release in adult rats by alpha-adrenergic stimulation, while this phenomenon is usually not observed in the adult human. Thus, it is more relevant to evaluate the consequences of various pathophysiological influences on TSH concentrations in humans rather than to extrapolate from results in experimental animals. This approach has the disadvantage that, in many cases, the precise mechanism responsible for the alteration in TSH secretion cannot be identified. This deficit is offset by the enhanced relevance of the human studies for understanding clinical pathophysiology.

 

Table 4.  Common Polymorphisms Related to Serum Thyroid Hormones and TSH Variation (270)

Gene

Polymorphism

Effect on serum

 

 

TSH

T4

T4/T3

T3

rT3

T3/rT3

TSHR

rs10149689 A/G*

­

=

=

=

=

=

 

rs12050077 AG

­

=

=

=

=

=

DIO1

D1a-C/T

=

 

 

¯

­

¯

 

D1b-A/G

=

 

 

­

¯

 

 

rs2235544 C/A

=

 

 

­

¯

­

DIO2

D2-ORFa-Asp3

=

­1

=

=

=

=

 

Thr92Ala

=

=

=

=

=

=2

 

rs225014 C/T

=

=

=

=

=

=3

THRB

TRHB-in9 A/G

(­)

=

=

=

=

=

PDE8B

rs4704397 A/G

­

=

=

=

=

=

* Alleles associated with the specified trait are reported in bold; 1 Only in young subjects;

2 Influence L-T4 dose needed to normalize serum TSH in hypothyroid patients; 3 Influence psychological well-being of hypothyroid patients on L-T4 therapy

 

Normal Physiology

 

The concentration of TSH can now be measured with exquisite sensitivity using immunometric techniques (see below). In euthyroid humans, this concentration ranges from 0.4-0.5 to 4.0-5.0 mU/L. This normal range is to some extent method-dependent in that the various assays use reference preparations of slightly varying biological potency. The glycosylation of circulating TSH is different from that of standard TSH, thus preventing the calculation of a precise molar equivalent for TSH concentrations (272,273). Recently, a narrower range (0.5-2.5 mU/L) has been proposed in order to exclude subjects with minimal thyroid dysfunction, particularly subclinical hypothyroidism (274), but the issue is still controversial (275). Moreover, data form large epidemiological studies mostly carried out in iodine sufficient countries like the USA, suggest that age together with racial/ethnic factors may significantly affect the respective “normal” TSH range, with higher levels for older Caucasian subjects (276,277). These data differ from the findings previously reported in selected small series of healthy elderly subjects (278) suggesting an age-associated trend to lower serum TSH concentrations (see below). The reason(s) for such discrepancies are still not understood. Independently from the “true” normal range of serum TSH, there is substantial evidence that this is genetically controlled, the heritability being estimated between 40-65% (279).  As reported in Table 4, polymorphisms of several genes encoding potentially involved in the control of HPT axis show a significant association with serum TSH concentrations (280) and PDE8B, a gene encoding a high-affinity phosphodiesterase catalyzing the hydrolysis and inactivation of cAMP, has been shown by genome-wide association study to be one of the most important (281).

 

The free alpha subunit is also detectable in serum with a normal range of 1 to 5 µg/L, but free TSHB is not detectable (4,282). Both the intact TSH molecule and the alpha subunit increase in response to TRH. The alpha subunit is also increased in post-menopausal women; thus, the level of gonadal steroid production needs to be taken into account in evaluating alpha subunit concentrations in women. In most patients with hyperthyroidism due to TSH-producing thyrotroph tumors, there is an elevation in the ratio of the alpha subunit to total TSH (4,16,283,182,184). In the presence of normal gonadotropins, this ratio is calculated by assuming a molecular weight for TSH of 28,000 and of 13,600 Da for the alpha subunit. The approximate specific activity of TSH is 0.2 mU/mg. To calculate the molar ratio of alpha subunit to TSH, the concentration of the alpha subunit (in ug/L) is divided by the TSH concentration (in mU/L) and this result multiplied by 10. The normal ratio is <1.0 and it is usually elevated in patients with TSH-producing pituitary tumors but it is normal in patients with thyroid hormone resistance unless they are post-menopausal (284).

 

The volume of distribution of TSH in humans is slightly larger than the plasma volume, the half-life is about 1 hour, and the daily TSH turnover between 40 and 150 mU/day (283). Patients with primary hypothyroidism have serum TSH concentrations greater than 5 and up to several hundred mU/L (118). In patients with hyperthyroidism due to Graves' disease or autonomous thyroid nodules, TSH is suppressed with levels which are inversely proportional to the severity and duration of the hyperthyroidism, down to levels as low as <0.004 mU/L (285-287).

 

TSH secretion in humans is pulsatile (288-290). The pulse frequency is slightly less than 2 hours and the amplitude approximately 0.6 mU/L. The TSH pulse is significantly synchronized with PRL pulsatility: this phenomenon is independent of TRH and suggests the existence of unidentified underlying pulse generator(s) for both hormones (291). The frequency and amplitude of pulsations increases during the evening reaching a peak at sleep onset, thus accounting for the circadian variation in basal serum TSH levels (292,293). The maximal serum TSH is reached between 21:00 and 02:00 hours and the difference between the afternoon nadir and peak TSH concentrations is 1 to 3 mU/L. Sleep prevents the further rise in TSH as reflected in the presence of increases in TSH to 5-10 mU/ml during sleep deprivation (294,295). The circadian variation of TSH secretion is probably the consequence of a varying dopaminergic tone modulating the pulsatile TSH stimulation by TRH (296). Interestingly, TSH molecules secreted during the night are less bioactive and differently glycosylated than those circulating in the same individual during the day, thus explaining why thyroid hormone levels do not rise after the nocturnal TSH surge (296). There is convincing evidence seasonal change in basal TSH (297), but there are no gender-related differences in either the amplitude or frequency of the TSH pulses (290). The diurnal rhythmicity of serum TSH concentration is maintained in mild hyper- and hypothyroidism, but it is abolished in severe short-term primary hypothyroidism, suggesting that the complete lack of negative feedback to the hypothalamus or pituitary or both may override the central influences on TSH secretion (298).

 

TSH in Pathophysiological States

 

NUTRITION

 

In the rat, starvation causes a marked decrease in serum TSH and thyroid hormones.  While there is an impairment of T4 to T3 conversion in the rat liver due to a decrease in both thiol co-factor and later in the Type 1 deiodinase (302-304), the decrease in serum T3 in the fasted rat is primarily due to the decrease in T4 secretion consequent to TSH deficiency (304,305). In humans, starvation and moderate to severe illness are also associated with a decrease in basal serum TSH, pulse amplitude and nocturnal peak (306-310). In the acutely-fasted man, serum TSH falls only slightly and TRH responsiveness is maintained, although blunted (311,312). This suggests that the thyrotroph remains responsive during short-term fasting and that the decrease in TSH is likely due to changes secondary to decreased TRH release. There is evidence to support this in animal studies, showing reduced TRH gene expression in fasted rats (313,314). Administration of anti-somatostatin antibodies prevents the starvation induced serum TSH falls in rats, suggesting a role for hypothalamic somatostatinergic pathways (315). However, fasting-induced changes in dopaminergic tone do not seem to be sufficient to explain the TSH changes (315,309).

 

Recent studies provide compelling evidence that the starvation-induced fall in leptin levels (Fig. 15) plays a major role in the decreased TSH and TSH secretion of fasted animals and, possibly, humans (251,316,317). This concept stems from the observation that administration of leptin prevents the starvation-induced fall of hypothalamic TRH (318). The mechanisms involved in this phenomenon include decreased direct stimulation by leptin of TRH production by neurons of the PVN (251,319), as well as indirect effects on distinct leptin-responsive neuroendocrine circuits communicating with TRH neurons (318,320). The direct stimulatory effects of leptin on TRH production are mediated by binding to leptin receptors, followed by STAT3 activation and subsequent binding to the TRH promoter (321,322). One of the latter circuits has been identified in the melanocortin pathway, a major target of leptin action. This pathway involves 2 ligands expressed in distinct populations of arcuate nucleus neurons in the hypothalamus [the alpha-MSH and the Agouti receptor protein (AgRP)] and the melanocortin 4 receptor (MC4R) on which these ligands converge, but exert antagonistic effects (stimulation by alpha-MSH; inhibition by AgRP). Leptin activates MC4R by increasing the agonist alpha-MSH and by decreasing the antagonist AgRP and this activation is crucial for the anorexic effect of leptin. The specific involvement of the melanocortin pathway in TRH secretion is suggested by the presence of alpha-MSH in nerve terminals innervating hypothalamic TRH neurons in rat (128) and human (323) brains and by the ability of alpha-MSH to stimulate and of AgRP to inhibit hypothalamus-pituitary thyroid axis both in vitro and in vivo (319). The activities of alpha-MSH and AgRP on the thyroid axis are fully mediated by MCR4, as shown by experiments carried out in MCR4 knock out mice (324). Fasting may inhibit the hypothalamic-pituitary-thyroid axis also via the orexigenic peptide NPY, which inhibits TRH synthesis by activation of Y1 and Y5 receptors in hypophysiotropic neurons of the hypothalamic paraventricular nucleus (325). At least two distinct populations of NPY neurons innervate hypophysiotropic TRH neurons (326), suggesting that NPY is indeed an important regulator of the hypothalamic-pituitary-thyroid axis.

 

A further contributing cause to the decreased TSH release in fasting may be an abrupt increase in the free fraction of T4 due to the inhibition of hormone binding by free fatty acids (327). This would cause an increase in pituitary T4 and, hence, in pituitary nuclear T3. Fasting causes a decrease in the amplitude of TSH pulses, not in their frequency (328).

 

Ingestion of food results in an acute decline of the serum TSH concentration: this is the consequence of meal composition, rather than stomach distension (329). Long-term overfeeding is associated to a transient increase of serum T3 concentration and a sustained increased response of TSH to TRH (330).

 

Taken together, the above data provide compelling evidence that the hypothalamic-pituitary-thyroid axis is tightly related to the mechanisms involved in weight control. In keeping with this concept, several epidemiological studies suggest that small differences in thyroid function may be important for the body mass index and the occurrence of obesity in the general population (331-334).

 

ILLNESS

 

The changes in circulating TSH which occur during fasting are more exaggerated during illness. In moderately ill patients, serum TSH may be slightly reduced but the serum free T4 does not fall and is often mildly increased (327,335-337). However, if the illness is severe and/or prolonged, serum TSH will decrease and both serum T4 (and of course T3) decrease during the course of the illness. This may be due to a decreased pulse amplitude and nocturnal TSH secretion (338-341). Since such changes are short-lived, they do not usually cause symptomatic hypothyroidism. They are often associated with an impaired TSH release after TRH (306). However, the illness-induced reductions in serum T4 and T3 will often be followed by a rebound increase in serum TSH as the patient improves. This may lead to a transient serum TSH elevation in association with the still subnormal levels of circulating thyroid hormones and thus be mistaken for primary hypothyroidism (342). On occasion, a transient TSH elevation occurs while the patient is still ill. The pathophysiology of this apparent resistance of the thyroid gland to TSH is not clear (343), although this phenomenon could be the consequence of reduced TSH bioactivity, possibly a consequence of abnormal sialylation (344). The transient nature of these changes is reflected in normalization of the pituitary-thyroid axis after complete recovery. It is currently not clearly established whether the above abnormalities in hypothalamic-pituitary-thyroid axis during critical illness reflect an adaptation of the organism to illness or instead a potentially harmful condition leading to hypothyroidism at the tissue level (345,346).

 

NEUROPSYCHIATRIC DISORDERS

 

Certain neuropsychiatric disorders may also be associated with alterations in TSH secretion.  In patients with anorexia nervosa or depressive illness, serum TSH may be reduced and/or TRH-induced TSH release blunted (347). Such patients often have decreases in the nocturnal rise in TSH secretion (293). The etiology of these changes is not known although it has been speculated that they are a consequence of abnormal TRH secretion (348,349). The latter is supported by observations that TRH concentrations in cerebrospinal fluid of some depressed patients are elevated (350,351). There may be a parallel in such patients between increases in TRH and ACTH secretion (352). The increased serum T4 and TSH levels sometimes found at the time of admission to psychiatric units is in agreement with this concept (353,349).

 

MECHANISMS INVOLVED IN THE HYPOTHALAMIC-PITUITARY-THYROID AXIS SUPPRESSION IN NON-THYROIDAL ILLNESSES    

 

The precise mechanism(s) underlying the suppression of the hypothalamic-pituitary-thyroid axis in severe illnesses are only partially known. Evidence for a direct involvement of TRH-producing neurons in humans has been recently provided by the demonstration of low levels of TRH mRNA in the PVN of patients who died of non-thyroidal disease (354). Alterations in neuroendocrine pathways including opioidergic, dopaminergic and somatostatinergic activity have been suggested, but in acutely ill patients the major role appears to be played by glucocorticoids (355) (See below for a more detailed discussion). Activation of pro-inflammatory cytokine pathways is another mechanism potentially involved in the suppression of TSH secretion in nonthyroidal illness. As discussed earlier, IL-1 beta, TNF-alpha and IL-6 exert in vivo and in vitro a marked inhibitory activity on TRH-TSH synthesis/secretion. High levels of pro-inflammatory cytokines (particularly IL-6 and TNF-alpha) have been described in sera of patients with non-thyroidal illnesses (356,357,262,358,359). Serum cytokine concentration is directly correlated with the severity of the underlying disease and to the extent of TSH and thyroid hormone abnormalities observed in these patients. Furthermore, cytokines also affect thyroid hormone secretion, transport and metabolism providing all the characteristics to be considered important mediators of thyroid hormone abnormalities observed in non-thyroidal illness (360-362).

 

EFFECTS OF HORMONES AND NEUROPEPTIDES

Dopamine and Dopamine Agonists  

 

Dopamine and dopamine agonists inhibit TSH release by mechanisms discussed earlier.  Dopamine infusion can overcome the effects of thyroid hormone deficiency in the severely ill patient, suppressing the normally elevated TSH of the patient with primary hypothyroidism nearly into the normal range (235,363). Dopamine causes a reduction of the amplitude of TSH pulsatile release, but not in its frequency (328). However, chronic administration of dopamine agonists, for example in the treatment of prolactinomas, does not lead to central hypothyroidism despite the fact that there is marked decrease in the size of the pituitary tumor and inhibition of prolactin secretion.

 

Glucocorticoids  

 

The acute administration of pharmacological quantities of glucocorticoids will transiently suppress TSH (364-366). The mechanisms responsible for this effect may act both at the hypothalamic and pituitary level, as discussed above. Direct evidence of suppressed TRH synthesis was provided by an autopsy study showing reduced hypothalamic TRH mRNA expression in subjects treated with corticosteroids before death (367). TSH secretion recovers and T4 production rates are generally not impaired. In Cushing's syndrome, TSH may be normal or suppressed and, in general, there is a decrease in serum T3 concentrations relative to those of T4 (366). High levels of glucocorticoids inhibit basal TSH secretion slightly and may influence the circadian variation in serum TSH (222). Perhaps as a reflection of this, a modest serum TSH elevation may be present in patients with Addison's disease (368,369). TSH normalizes with glucocorticoid therapy alone if primary hypothyroidism is not also present. Similar to patients treated with long-acting somatostatin analogs, patients receiving long-term glucocorticoid therapy do not have a sustained reduction of serum TSH nor does hypothyroidism develop, because of the predominant effect of reduced thyroid hormone secretion in stimulating TSH secretion (370).

Gonadal Steroids

 

Aside from the well described effects of estrogen on the concentration of thyroxine-binding globulin (TBG), estrogen and testosterone have only minor influences on thyroid economy. In contrast with the mild inhibitory activity on alpha and beta TSH  subunits expression described in rats(216), in humans TSH release after TRH is enhanced by estradiol treatment perhaps because estrogens increase TRH receptor number (371,372). Treatment with the testosterone analog, fluoxymesterone, causes a significant decrease in the TSH response to TRH in hypogonadal men (373), possibly due to an increase in T4 to T3 conversion by androgen (374). This and the small estrogen effect may account for the lower TSH response to TRH in men than in women although there is no difference in basal TSH levels between the sexes. This is one of the few instances where there is not a close correlation between basal TSH levels and the response to TRH (see below).

 

Growth Hormone (GH) 

 

The possibility that central hypothyroidism could be induced by GH replacement in GH-deficient children was raised in early studies (375,376). However, these patients received human pituitary GH which in some cases was contaminated with TSH, perhaps inducing TSH antibodies. Nonetheless, in a cohort of children treated with recombinant hGH (rhGH) and affected with either idiopathic isolated GHD or MPHD, it was demonstrated that in the former the decrease in serum FT4 levels was not of clinical relevance, while in the latter a clear state of central hypothyroidism was seen in more than a half of the children (377). Concerning adults with GHD treated with rhGH, contradictory results have been reported. One study showed no significant changes in TSH concentrations during rhGH therapy of adults with GH deficiency (378). Later on, in two studies, thyroid function was evaluated in a large cohort of patients with adult or childhood onset of severe GHD. In 47% and 36% of euthyroid subjects, independently from rhGH dose, serum FT4 clearly fell into the hypothyroid range and some of these patients reported symptoms of hypothyroidism (375,376). Such results underline that, in adults as well as in children with organic GHD, rhGH therapy unmasks a state of central hypothyroidism, hidden by the condition of GHD itself.

 

In conclusion, GH does cause an increase in serum free T3, a decrease in free T4, and an increase in the T3 to T4 ratio in both T4-treated and T4 untreated patients. This suggests that the GH-induced increase in IGF-I stimulates T4 to T3 conversion. In keeping with this concept, IGF-I administration in healthy subjects is followed by a fall in serum TSH concentration (379).

 

Catecholamines  

 

Different from the rat, there is scanty evidence of an adrenergic control of TSH secretion in humans. Acute infusions of alpha or beta adrenergic blocking agents or agonists for short periods of time do not affect basal TSH (380,381), although a small stimulatory activity for endogenous adrenergic pathways is suggested by other studies (382,383). Furthermore, there is no effect of chronic propranolol administration on TSH secretion even though there may be modest inhibition of peripheral T4 to T3 conversion if amounts in excess of 160 mg/day are given (384). Evidence of a tonic inhibition of TSH secretion mediated by endogenous catecholamines has been obtained in women during the early follicular phase of the menstrual cycle (385).

 

The Response of TSH to TRH in Humans and the Role of Immunometric TSH Assays

 

More than 4 decades ago, application of ultrasensitive TSH measurements to the evaluation of patients with thyroid disease has undergone a revolutionary change.  This is due to the widespread application of the immunometric TSH assay. This assay uses monoclonal antibodies which bind one epitope of TSH and do not interfere with the binding of a second monoclonal or polyclonal antibody to a second epitope. The principle of the test is that TSH serves as the link between an immobilized antibody binding TSH at one epitope and a labelled (radioactive, chemiluminescent or other tag) monoclonal directed against a second portion of the molecule. This approach has improved both sensitivity and specificity by several orders of magnitude. Technical modifications have led to successive "generations" of TSH assays with progressively greater sensitivities (218,316). The first generation TSH assay was the standard radioimmunoassay which generally has lower detection limits of 1-2 mU/L. The "second" generation (first generation immunometric) assay improved the sensitivity to 0.1-0.2 mU/L and “third" generation assays further improved the sensitivity to approximately 0.005 mU/L.  From a technical point-of-view, the American Thyroid Association recommendations are that third generation assays should be able to quantitate TSH in the 0.010 to 0.020 mU/L range on an interassay basis with a coefficient of variation of 20% or less (386). As assay sensitivity has improved, the reference range has not changed, remaining between approximately 0.5 and 5.0 mU/L in most laboratories.  However, the TSH concentrations in the sera of patients with severe thyrotoxicosis secondary to Graves' disease have been lower with each successive improvement in the TSH assays: using a fourth-generation assay, the serum TSH is <0.004 mU/L in patients with severe hyperthyroidism (287,387).

 

The primary consequence of the availability of (ultra)sensitive TSH assays is to allow the substitution of a basal TSH measurement for the TRH test in patients suspected of thyrotoxicosis (388,285,389,286,287). Nonetheless, it is appropriate to review the results of TRH tests from the point-of-view of understanding thyroid pathophysiology, particularly in patients with hyperthyroidism or autonomous thyroid function. In healthy individuals, bolus i.v. injection of TRH is promptly followed by a rise of serum TSH concentration peaking after 20 to 30 minutes. The magnitude of the TSH peak is proportional to the logarithm of TRH doses between 6.25 up to ³400 ug, is significantly higher in women than in men, and declines with age (390,391). The individual TSH response to TRH is very variable and declines after repeated TRH administrations at short time intervals (391). In the presence of normal TSH bioactivity and adequate thyroid functional reserve, serum T3 and T4 also increase 120-180 minutes after TRH injection (391). There is a tight correlation between the basal TSH and the magnitude of the TRH-induced peak TSH (Fig. 12) Using a normal basal TSH range of 0.5 to 5 mU/L, the TRH response 15 to 20 minutes after 500 ug TRH (intravenously) ranges between 2 and 30 mU/L. The lower responses are found in patients with lower (but still normal) basal TSH levels (287). These results are quite consistent with older studies using radioimmunoassays (392). When the TSH response to TRH of all patients (hypo-, hyper- and euthyroid) is analyzed in terms of a "fold" response, the highest response (approximately 20-fold) occurs at a basal TSH of 0.5 mU/L and falls to less than 5 at either markedly subnormal or markedly elevated basal serum TSH concentrations (Fig. 16) (287). Thus, a low response can have two explanations.  The low response in patients with hyperthyroidism and a reduced basal TSH is due to refractoriness to TRH or depletion of pituitary TSH as a consequence of chronic thyroid hormone excess. In patients with primary hypothyroidism, the low fold-response reflects only the lack of sufficient pituitary TSH to achieve the necessary increment over the elevated basal TSH.

Figure 16. Relationship between basal and absolute (TRH stimulated-basal TSH) TRH-stimulated TSH response in 1061 ambulatory patients with an intact hypothalamic-pituitary (H-P) axis compared with that in untreated and T4-treated patients with central hypothyroidism. (From Spencer et al. (287) with permission)

 

Although, as stated before, the clinical relevance of the TRH test is presently limited, there are still some conditions in which the test may still be useful. These include subclinical primary hypothyroidism, central hypothyroidism (25), the syndromes of inappropriate TSH secretion (393) and non-thyroidal illnesses.

 

In patients with normal serum thyroid hormone concentrations and borderline TSH, an exaggerated TSH response to TRH not followed by an adequate increase in serum thyroid hormone levels may confirm the presence of subtle primary hypothyroidism (391).

 

An abnormal relationship between the basal TSH and the TRH-response is found in patients with central hypothyroidism. Here the fold TSH response to TRH is lower than normal (371,23,287). Again, however, TRH testing does not add substantially to the evaluation of such patients in that the diagnosis of central hypothyroidism is established by finding a normal or slightly elevated basal TSH in the presence of a significantly reduced free T4 concentration. While statistically (287) lower and sometimes delayed increments in TSH release after TRH infusion are found in patients with pituitary as opposed to hypothalamic hypothyroidism, the overlap in the TSH increments found in patients with these two conditions is sufficiently large (371,23,24,394), so that other diagnostic technologies, such as MRI, must be used to provide definitive localization of the lesion in patients with central hypothyroidism. It should be recalled that the TRH test may be useful in the diagnosis and follow-up of several pituitary disorders, but the discussion of this point is beyond the purpose of this chapter.

 

The TRH test still provides fundamental information in the differential diagnosis of hyperthyroidism due to TSH-secreting adenomas from syndromes with non-neoplastic TSH hypersecretion due to pituitary selective or generalized thyroid hormone resistance. In all the above conditions, increased or “inappropriately normal” serum TSH concentrations are observed in the presence of elevated circulating thyroid hormone levels. However, in most (>90%) of TSH-secreting adenomas serum TSH does not increase after TRH, while TRH responsiveness is observed in >95% of patients with nontumoral inappropriate TSH secretion (283,213,391).

 

Perhaps of most interest pathophysiologically is the response to TRH in patients with non-thyroidal illness and either normal or low free T4 indices (Fig. 12). Results from these patients fit within the normal distribution in terms of the relationship between basal TSH (whether suppressed or elevated) and the fold-response to TRH.  Thus the information provided by a TRH infusion test adds little to that obtained from an accurate basal TSH measurement (395). With respect to the evaluation of sick patients, while basal TSH values are on average higher than in patients with thyrotoxicosis, there is still some overlap between these groups (396,337,287,397). This indicates that even with second or third generation TSH assays, it may not be possible to establish that thyrotoxicosis is present based on a serum TSH measurement in a population which includes severely ill patients.

 

CLINICAL APPLICATION OF TSH MEASUREMENTS AND SUMMARY

 

Table 5 lists conditions in which basal TSH values may be altered as practical examples of the pathophysiology of the hypothalamic-pituitary thyroid axis.

 

Table 5. Conditions which May be Associated with Abnormal Serum TSH Concentrations

 

Expected TSH (mU/L)

Thyroid

Status

FT4

TSH reduced

 

 

 

1. Hyperthyroidism

<0.1

­

­, T3

2. “Euthyroid” Graves’ disease

0.2-0.5

N (­)

N(T3­)

3. Autonomous nodules

0.2-0.5

N (­)

N(T3­)

4. Excess thyroid hormone treatment

0.1-0.5

N,­

N,­

5.   Other forms of subclinical hyperthyroidism (including thyroiditis variants)

0.1-0.5

N,­

N,­

6. Illness with or without dopamine

0.1-5.0

N

­, N,¯

7. First trimester pregnancy

0.2-0.5

N (­)

N (­)

8. Hyperemesis gravidarum

0.2-0.5

N (­)

­(N)

9. Hydatidiform mole

0.1-0.4

­

­

10. Acute psychosis or depression (rare)

0.4-10

N

N (­)

11. Elderly (small fraction)

0.2-0.5

N

N

12. Cushing’s syndrome and glucocorticoids excess (inconsistent)

0.1-0.5

N

N

13. Retinoid X receptor-selective ligands

0.01-0.2

¯

¯

14. Various forms of central hypothyroidism

<0.1-0.4

¯

¯

15.  15. Congenital TSH deficiency

    a) Pit-1 mutations

    b) PROP1 mutations

    c) Mutations of TSHB gene in CAGYC region

    d) Skipping of TSHB gene exon 2

    e) Inactivating mutation of TRH receptor gene

 

0

0

0

 

0

1-2   ¯  ¯

 

 

 

¯

¯

¯

 

¯

 

¯

¯

¯

 

¯

 

TSH Elevated

 

 

 

1. Primary hypothyroidism

6-500

¯

¯

2. Resistance to TSH

 

6->100

 

N,¯

 

N,¯

3. Recovery from severe illness

5-30

N

N,¯

4. Iodine deficiency

6-150

N,¯

¯

5. Thyroid hormone resistance

1-15

N (¯,­)

­

6. Thyrotroph tumor

3-30

­

­

7. Central (“tertiary”) hypothyroidism

1-19

¯

¯

8. Psychiatric illness (especially bipolar disorders)

0.4-10

N

N

9. Test artifacts (endogenous anti-mouse gamma-globulin antibodies as well as “macroTSH”)

10-500

N

N

10.  10. Addison’s disease

 

5-30

 

N

 

N

 

 

Clinical Situations Associated with Subnormal TSH Values

 

The most common cause of a reduced TSH in a non-hospitalized patient is thyroid hormone excess. This may be due to endogenous hyperthyroidism or excess exogenous thyroid hormone. The degree of suppression of basal TSH is in proportion to the degree and duration of the thyroid hormone excess. The reduced TSH is the pathophysiological manifestation of the activation of the negative feedback loop.

 

While a low TSH in the presence of elevated thyroid hormones is logical, it results from multiple causes. Prolonged excessive thyroid hormone levels cause physiological "atrophy" of the thyroid stimulatory limb of the hypothalamic-pituitary thyroid axis. Thus, TRH synthesis is reduced, TRH mRNA in the PVN is absent, TRH receptors in the thyrotroph may be reduced, and the concentration of TSH beta and alpha subunits and both mRNAs in the thyrotroph are virtually undetectable. Therefore, it is not surprising that several months are usually required for the re-establishment of TSH secretion after the relief of thyrotoxicosis. This is especially observed in patients with Graves' disease after surgery or radioactive iodine, in whom TSH remains suppressed despite a rapid return to a euthyroid or even hypothyroid functional status (398,399).  Since TRH infusion will not increase TSH release in this situation, it is clear that the thyrotroph is transiently dysfunctional (400). A similar phenomenon occurs after excess thyroid hormone treatment is terminated, and after the transient hyperthyroidism associated with subacute or some variants of autoimmune thyroiditis, though the period of suppression is shorter under the latter circumstances (401). This cause of reduced circulating thyroid hormones and reduced or normal TSH should be distinguishable from central hypothyroidism by the history.

 

Severe illness is a common cause of TSH suppression although it is not often confused with thyrotoxicosis. Quantitation of thyroid hormones will generally resolve the issue (327). Patients receiving high-dose glucocorticoids acutely may also have suppressed TSH values although chronic glucocorticoid therapy does not cause sufficient TSH suppression to produce hypothalamic-pituitary hypothyroidism (see above).

 

Exogenous dopamine suppresses TSH release. Infusion of 5-7.5 mg/kg/min to normal volunteers causes an approximately 50% reduction in the concentrations of TSH and consequent small decreases in serum T4 and T3 concentrations (363). In critically ill patients, this effect of dopamine can be superimposed on the suppressive effects of acute illness on thyroid function, reducing T4 production to even lower levels (357). Dopamine is sufficiently potent to suppress TSH to normal levels in sick patients with primary hypothyroidism (363). This needs to be kept in mind when evaluating severely ill patients for this condition. Dopamine antagonists such as metoclopramide or domperidone cause a small increase in TSH in humans. However, somewhat surprisingly, patients receiving the dopamine agonist bromergocryptine do not become hypothyroid. Although L-dopa causes a statistically significant reduction in the TSH response to TRH, patients receiving this drug also remain euthyroid (370).

 

Studies in animals have suggested that pharmacological amounts of retinoids may decrease serum TSH concentration (see also paragraph “Effect of Thyroid Hormone on TSH Secretion”) (402,96). Severe central hypothyroidism associated with very low serum TSH concentration has been reported in patients with cutaneous T-cell lymphoma treated with high-dose bexarotene, a retinoid X receptor-selective ligand able to suppress TSH secretion (403).

 

hCG may function as a thyroid stimulator. During pregnancy, hCG stimulates the thyroid gland of the mother resulting in the typical transient decrease of the TSH levels during the first trimester (0.2 - 0.4 mU/L). Pathologic hCG secretion can result in frank, often mild, hyperthyroidism in patients with choriocarcinomas or molar pregnancies (404).

 

Patients with acute psychosis or depression and those with agitated psychoses may have high thyroid hormone levels and suppressed or elevated TSH values.  The etiology of the alterations in TSH are not known. Those receiving lithium for bipolar illness may also have elevated TSH values due to impairment of thyroid hormone release. Patients with underlying autoimmune thyroid disease or multi-nodular goiter are especially susceptible (405). A small fraction of elderly patients, particularly males, have subnormal TSH levels with normal serum thyroid hormone concentrations. It is likely that this reflects mild thyrotoxicosis if it is found to be reduced on repeated determinations.

 

Congenital central hypothyroidism with low serum TSH may result from mutations affecting TSHB gene or the Pit-1 gene (see paragraphs “The Thyroid-Stimulating Hormone Molecule”,  “Role of Pit-1 and its splicing variants in the regulation of TSHB gene expression” and “Other Transcription Factors Involved in TSHB Gene Expression”.

 

 

Causes of an Elevated TSH

 

Primary hypothyroidism is the most common cause of an elevated serum TSH. The serum free T4 is low normal or reduced in such patients but the serum free T3 values remain normal until the level of thyroid function has markedly deteriorated (118). Another common cause of an elevated TSH in an iodine-sufficient environment is the transient elevation which occurs during the recovery phase after severe illness (342,343). In such patients a "reawakening" of the hypothalamic-pituitary-thyroid axis occurs pari passu with the improvement in their clinical state. In general, such patients do not have underlying thyroid dysfunction. Iodine deficiency is not a cause of elevated TSH in Central and North America but may be in certain areas of Western Europe, South America, Africa and Asia.

 

The remainder of the conditions associated with an elevated TSH are extremely rare. Inherited (autosomal recessive) forms of partial (euthyroid hyperthyrotropinemia) or complete (congenital hypothyroidism) TSH resistance have been described associated with inactivating biallelic point mutations of the TSH receptor gene (406,407). Interestingly, inherited dominant forms of partial TSH resistance have also been described in the absence of TSH receptor gene mutations (408,409). The underlying molecular defect(s) remain(s) to be elucidated in such cases. More frequently, in a patient who has an elevated serum FT4, the presence of TSH at normal or increased levels should lead to a search for either resistance to thyroid hormone or a thyrotroph tumor. Hypothalamic-pituitary dysfunction may be associated with normal or even modest increases in TSH and are explained by the lack of normal TSH glycosylation in the TRH-deficient patient. The diagnosis is generally made by finding a serum free T4 index which is reduced to a greater extent than expected from the coincident serum TSH. Psychiatric illness may be associated with either elevated or suppressed TSH levels, but the abnormal values are not usually in the range normally associated with symptomatic thyroid dysfunction. The effect of glucocorticoids to suppress TSH secretion has already been mentioned. This is of relevance in patients with Addison's disease in whom TSH may be slightly elevated in the absence of primary thyroid disease.

 

Lastly, while most of the artifacts have been eliminated from the immunometric TSH assays, there remains the theoretical possibility of an elevated value due to the presence of endogenous anti-mouse gamma globulin antibodies (410,411). These heterophilic antibodies, like TSH, can complex the two TSH antibodies resulting in artificially elevated serum TSH assay results in euthyroid patients. Such artifacts can usually be identified by finding non-linear results upon assay of serial dilutions of the suspect serum with that from patients with a suppressed TSH. Moreover, the possible presence of “macro TSH” should be investigated in patients with high levels of TSH, normal circulating free thyroid hormones and absence of clinical signs and symptoms of hypothyroidism (410,411). Macro TSH is a large molecular-sized TSH that is mostly a complex of TSH and IgG. Precipitation of the serum with PEG and measurement of TSH in the supernatant is mandatory to confirm the presence of macro TSH, a procedure that is similar to that documenting the presence of macro PRL (412-415).

 

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