A Phase I/IIa Double-Blind, Randomized, Placebo-controlled Dose-Finding Study to Evaluate the Safety and Immunogenicity of AERAS-456 in HIV-Negative Adults With and Without Latent Tuberculosis Infection
Phase: PHASE1
Conditions: Latent Tuberculosis Bacteriology and Histology Unknown, Latent Tuberculosis
Sponsor: Aeras

 
 
Page 1 of 74 
 
 
AERAS-456 
 
Protocol C-035-456  
 
CONFIDENTIAL 
10/May/2013; Final Version 2.0 
 
  
 
 
A Phase I/IIa Double-Blind, Randomized, Placebo-Controlled, Dose-Finding Study 
to Evaluate the Safety and Immunogenicity of AERAS-456 in HIV-negative Adults 
with and without Latent Tuberculosis Infection 
 
 
Investigational Product:  
 
AERAS-456 
 
Aeras Protocol Number:  
 
C-035-456 
 
 
 
 
 
Sponsor: 
Aeras    
1405 Research Boulevard 
Rockville, Maryland 20850 USA 
Phone: 001-301-547-2900  
Fax: 
001-301-547-2901 
 
Sponsor's Authorized Representative: 
Ann Ginsberg, MD, PhD 
Vice President, Scientific Affairs, and 
Acting Chief Medical Officer 
 
 
 
 
 
 
 
Principal Investigator Agreement: 
I, the undersigned, have reviewed this protocol and agree to conduct this protocol in accordance 
with Good Clinical Practices (ICH-GCP), the ethical principles set forth in the Declaration of 
Helsinki, and with local regulatory requirements.   
 
 
 
Signature 
 
 
 
 
 
 
 
Date 
 
 
Printed Name  

 
 
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AERAS-456 
 
Protocol C-035-456  
 
CONFIDENTIAL 
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 TABLE OF CONTENTS 
 
LIST OF ABBREVIATIONS ...................................................................................................... 5 
STUDY ABSTRACT .................................................................................................................... 7 
1 
INTRODUCTION........................................................................................................... 12 
1.1 
Background ............................................................................................................. 12 
1.2 
Description of AERAS-456 .................................................................................... 12 
1.2.1 
H56 Antigen .............................................................................................. 12 
1.2.2 
IC31 Adjuvant ........................................................................................... 12 
1.3 
Nonclinical Experience with AERAS-456 .............................................................. 13 
1.4 
Clinical Experience with AERAS-456 .................................................................... 13 
1.5 
Clinical Experience with Vaccines Related to AERAS-456 ................................... 13 
1.6 
Rationale for Study .................................................................................................. 14 
2 
STUDY OBJECTIVES AND DESIGN ......................................................................... 17 
2.1 
Objectives ................................................................................................................ 17 
2.2 
Design ...................................................................................................................... 17 
3 
STUDY PROCEDURES ................................................................................................ 18 
3.1 
Schedule of Subject Evaluations ............................................................................. 18 
3.2 
Subject Selection ..................................................................................................... 20 
3.2.1 
Recruitment and Informed Consent .......................................................... 20 
3.2.2 
Screening................................................................................................... 21 
3.2.3 
Inclusion Criteria ...................................................................................... 21 
3.2.4 
Exclusion Criteria ..................................................................................... 22 
3.2.5 
Screening Clinical Assessments and Laboratory Tests ............................ 23 
3.3 
Study Entry and Randomization ............................................................................. 23 
3.4 
Blinding ................................................................................................................... 24 
3.4.1 
Unblinding for Clinical Emergencies ....................................................... 25 
3.4.2 
Unblinding for Safety Analysis by SMC .................................................. 25 
3.4.3 
Unblinding for Preliminary Data Review ................................................. 25 
3.5 
Study Vaccine Administration ................................................................................ 25 
3.6 
Study Evaluations .................................................................................................... 26 
3.6.1 
Immunology Laboratory Evaluations ....................................................... 26 
3.6.2 
Safety Evaluations .................................................................................... 28 
3.6.2.1 
Pre-vaccination and Post-Vaccination Monitoring of 
Subjects .................................................................................... 28 
3.6.2.2 
Clinical Assessments and Laboratory Tests ............................. 28 
3.6.2.3 
Adverse Events......................................................................... 28 
3.6.2.4 
Concomitant Medications ........................................................ 29 
3.6.3 
Subject Follow-up and Contact ................................................................. 29 
3.6.4 
Loss to Follow-up ..................................................................................... 30 

 
 
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4 
STUDY VACCINES ....................................................................................................... 30 
4.1 
Supplies ................................................................................................................... 30 
4.2 
Accountability ......................................................................................................... 30 
4.3 
Receipt and Storage ................................................................................................. 31 
4.4 
Vaccine Preparation ................................................................................................ 31 
4.5 
Disposal of Unused Supplies ................................................................................... 31 
5 
SAFETY ........................................................................................................................... 32 
5.1 
Responsibilities for Ensuring the Safety of Trial Subjects ..................................... 32 
5.1.1 
Principal Investigator ................................................................................ 32 
5.1.2 
Study Sponsor ........................................................................................... 32 
5.1.3 
Local Medical Monitor ............................................................................. 32 
5.1.4 
Global Medical Monitor ........................................................................... 32 
5.1.5 
Safety Monitoring Committee .................................................................. 33 
5.1.6 
Institutional Review Boards and Ethics Committees................................ 33 
5.1.7 
National Regulatory Authority ................................................................. 33 
5.2 
Safety Surveillance during the Study ...................................................................... 33 
5.3 
Definition of Adverse Event ................................................................................... 33 
5.4 
Assessing Severity ................................................................................................... 34 
5.5 
Assessing Causal Relationship (Relatedness) ......................................................... 35 
5.6 
Definition of Adverse Reaction ............................................................................... 37 
5.7 
Solicited Adverse Events and Injection Site Reactions .......................................... 37 
5.8 
Assessing "Seriousness" and Serious Adverse Events ............................................ 38 
5.9 
Assessing Expectedness .......................................................................................... 38 
5.10 Definition of Suspected Unexpected Serious Adverse Reaction (SUSAR) ............ 38 
5.11 Reporting of Serious Adverse Events ..................................................................... 39 
5.12 Other Events Requiring Immediate Reporting ........................................................ 40 
5.13 Adverse Event Treatment, Follow-up, and Outcome .............................................. 40 
5.14 Follow-up of Subjects Who Become Pregnant ....................................................... 41 
5.15 Subject Diary and Daily Temperature Monitoring ................................................. 41 
6 
PAUSING AND STOPPING RULES ........................................................................... 42 
6.1 
Rules for Discontinuing Study Injections in an Individual Subject ........................ 42 
6.2 
Safety Pausing Rules ............................................................................................... 43 
6.3 
Safety Stopping Rules ............................................................................................. 43 
7 
STATISTICAL CONSIDERATIONS .......................................................................... 44 
7.1 
Subject Populations ................................................................................................. 44 
7.2 
Demographics and Protocol Compliance ................................................................ 44 
7.3 
Efficacy Analyses .................................................................................................... 44 
7.4 
Immunogenicity and Other Immunology Analyses ................................................ 44 
7.4.1 
Required Immunology Analyses............................................................... 45 
7.4.1.1 
PBMC ICS Assay ..................................................................... 45 
7.4.1.2 
IFN-γ ELISPOT ....................................................................... 45 
7.4.1.3 
QuantiFERON-TB Gold Test .................................................. 45 
7.4.2 
Exploratory Assays ................................................................................... 45 

 
 
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7.4.2.1 
12 Hour Whole Blood ICS Assay ............................................ 45 
7.4.2.2 
RNA Analysis .......................................................................... 46 
7.4.2.3 
Antibody ELISA ...................................................................... 46 
7.4.2.4 
BioVacSafe Project .................................................................. 46 
7.5 
Safety Analyses ....................................................................................................... 46 
7.5.1 
Adverse Events ......................................................................................... 46 
7.5.2 
Clinical Laboratory and Vital Sign Parameters ........................................ 47 
7.6 
Sample Size Considerations .................................................................................... 47 
7.7 
Plan for Statistical Summaries and Analyses .......................................................... 47 
7.7.1 
Preliminary Data Reviews ........................................................................ 47 
7.7.2 
Final Study Report .................................................................................... 48 
7.8 
Computer Methods .................................................................................................. 48 
8 
DATA COLLECTION, MONITORING, AND RECORD RETENTION................ 48 
9 
HUMAN SUBJECTS ...................................................................................................... 49 
9.1 
Ethics and Regulatory Considerations .................................................................... 49 
9.2 
Institutional Review Board or Independent Ethics Committee ............................... 49 
9.3 
Informed Consent .................................................................................................... 50 
10 
STUDY COMPLETION ................................................................................................ 51 
11 
PUBLICATIONS ............................................................................................................ 51 
12 
CHANGES IN THE PROTOCOL ................................................................................ 51 
12.1 Changes from Version 1.0 to Version 2.0 (Amendment 1; 10/May/2013) ............. 51 
13 
REFERENCES ................................................................................................................ 55 
APPENDIX A 
Detailed Description of Study Visits ...................................................... 58 
APPENDIX B 
Sample Subject Diary and Instructions ................................................ 65 
APPENDIX C 
Reporting Schemes for SAEs, Immediately Reportable 
Events, and SUSARs ............................................................................... 68 
APPENDIX D 
Toxicity Table .......................................................................................... 70 
APPENDIX E 
BioVacSafe Project ................................................................................. 73 
 

 
 
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LIST OF ABBREVIATIONS 
 
βhCG  
beta human chorionic gonadotropin 
µmol  
micromole(s) 
Ag 
 
antigen  
AE 
 
adverse event(s) 
ALP 
 
alkaline phosphatase 
ALT 
 
alanine aminotransferase 
AST   
aspartate aminotransferase 
BCG  
Bacillus Calmette-Guérin 
BUN  
blood urea nitrogen 
CBC  
complete blood count 
CFR 
 
Code of Federal Regulations (US) 
CIOMS 
Council for International Organizations of Medical Sciences 
CRF 
 
case report form(s) 
CTA  
Clinical Trials Application 
dL 
 
deciliter 
EDC  
electronic data capture 
ELISA  
enzyme-linked immunosorbent assay 
ELISpot 
enzyme-linked immunospot 
FDA  
United States Food and Drug Administration 
g 
 
gram 
GCP  
good clinical practices 
GMP  
good manufacturing practices 
HIV 
 
human immunodeficiency virus 
ICH 
International Conference on Harmonization of Technical Requirements for 
Registration of Pharmaceuticals for Human Use 
ICS 
intracellular cytokine staining 
ID 
identification 
IEC 
 
Independent Ethics Committee 
IFN-γ  
interferon gamma 
IM 
 
intramuscular 
IND 
 
Investigational New Drug Application 
INR 
 
international normalized ratio 
IRB 
 
Institutional Review Board 
IUD 
 
intrauterine device 
IV 
 
intravenous 
IWRS  
Interactive web response system 
kDa 
 
kilodalton 
L 
 
liter 
LDH  
lactate dehydrogenase 
LFT 
 
liver function test 
LLN 
 
lower limit of normal 
LTBI  
latent tuberculosis infection 

 
 
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MAF  
medical assessment form 
MedDRA 
Medical Dictionary for Regulatory Activities 
mEq 
 
milliequivalent 
mg 
 
milligram 
mL 
 
milliliter(s) 
mm 
 
millimeter(s) 
mmol  
millimole(s) 
nmol  
nanomole(s) 
Mtb 
 
Mycobacterium tuberculosis  
PBMC  
peripheral blood mononuclear cell(s) 
PI 
 
principal investigator 
PPD 
 
purified protein derivative 
PRBC  
packed red blood cells 
PT 
 
preferred term  
QFT 
 
QuantiFERON®-TB test 
RNA  
ribonucleic acid 
SAE 
 
serious adverse event(s) 
SAER  
serious adverse event report 
SFU 
 
spot-forming unit 
SMC  
Safety Monitoring Committee 
SOC  
system organ class 
SOP 
 
standard operating procedure 
SSI 
 
Statens Serum Institut 
SUSAR 
suspected unexpected serious adverse reaction(s) 
TB 
 
tuberculosis 
TST 
 
tuberculin skin test 
UK 
 
United Kingdom 
ULN  
upper limit of normal 
US 
 
United States 
WBC  
white blood cell 
WHO  
World Health Organization 
 

 
 
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AERAS-456 
 
Protocol C-035-456  
 
CONFIDENTIAL 
10/May/2013; Final Version 2.0 
 
  
STUDY ABSTRACT 
 
TITLE: 
A Phase I/IIa Double-Blind, Randomized, Placebo-Controlled, Dose-Finding Study to Evaluate 
the Safety and Immunogenicity of AERAS-456 in HIV-negative Adults with and without Latent 
Tuberculosis Infection  
 
RATIONALE: 
Bacillus Calmette-Guerin (BCG) is currently the only licensed vaccine for the prevention of 
tuberculosis (TB).  There is currently no licensed vaccine for the prevention of TB disease in 
individuals with latent Mycobacterium tuberculosis (Mtb) infection (LTBI).  AERAS-456 is 
being developed to prevent TB disease in individuals with and without LTBI.  AERAS-456 has 
two components: H56, a recombinant fusion protein of the Mtb antigens Ag85B, ESAT-6, and 
Rv2660c; and IC31, an oligonucleotide-based adjuvant designed to elicit a cell-mediated 
immune response.  AERAS-456 is proposed to protect against TB disease by inducing or 
boosting existing CD4 responses against Mtb antigens expressed during both active disease 
(Ag85B and ESAT-6) and latency (Rv2660c).  AERAS-456 has been demonstrated to be 
immunogenic and protective before and after TB exposure in mouse and non-human primate 
models. 
 
Study C-035-456 is the second study in humans and will evaluate safety and immunogenicity of 
AERAS-456 in adults with and without LTBI.  The first in humans study of AERAS-456 (C-
032-456) is a Phase I open-label study in 25 adults (17 with LTBI, 8 without LTBI) conducted at 
1 site in South Africa.  Eight LTBI(-) subjects have received 3 doses of intramuscular (IM) 
injections of 15/500 (15 µg H56/500 nmol IC31 KLK) AERAS-456 on Study Days 0, 56, and 
112, and have completed 6 months follow up after last vaccination.  Eight and 9 LTBI(+) 
subjects have completed 3 vaccinations with 15/500 and 50/500, respectively, of AERAS-456 on 
Study Days 0, 56, and 112.  All 17 LTBI(+) subjects have been followed up for at least 28 days 
after the last vaccination.  No safety issues judged to be vaccine-related have been identified in 
this study.  The last subject visit of Study C-032-456 is scheduled for December 2012. 
 
For the purposes of study C-035-456, LTBI will be diagnosed based on a positive QuantiFERON 
TB Gold test (QFT) at screening.  Subjects will not receive a screening tuberculin skin test 
(TST), due to post-vaccination reactions at TST sites observed in previous clinical trials of other 
vaccines similar to AERAS-456, as well as the potentially confounding effects of the TST on 
baseline measurements of immune response to Mtb antigens. 
 
This study is designed to select an optimal dose regimen of AERAS-456 for further clinical 
development.  The optimal dose regimen will be selected based on safety and immunogenicity in 
an initial cohort of LTBI(-) subjects and expanded to LTBI(+) subjects.  Dose selection for the 
initial cohort is based on preclinical study results and preliminary safety data from the ongoing 
Phase I study C-032-456.  The rationale for conducting initial dose finding in LTBI(-) subjects is 
based on clinical experience from prior H1 studies (H1 is a recombinant fusion protein of the 
Mtb antigens Ag85B and ESAT-6, formulated in IC31 adjuvant).  In these studies, the variability 

 
 
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AERAS-456 
 
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in baseline immunogenicity parameters was greater among LTBI(+) subjects compared to 
LTBI(-) subjects, making differences between vaccine-induced cellular responses easier to 
distinguish in the LTBI(-) population.  Furthermore, cellular immune responses as measured by 
ELISpot were comparable between the LTBI(+) and LTBI(-) subjects for the same H1 dosage.   
 
Previous BCG vaccination is a criterion for study entry for all subjects.  AERAS-456 is being 
developed for use in countries with a high incidence of Mtb, many of which administer universal 
BCG at birth.  Subjects with HIV co-infection or TB disease will be excluded from Study C-035-
456; however, they may be included in future studies. 
 
The lack of understanding of host defense mechanisms against Mtb infection and the lack of 
immune correlates of protection to TB vaccines are hampering the development of novel TB 
vaccines.  There is an urgent need for clear immunological markers to predict and evaluate the 
immunogenicity and efficacy of these vaccines and to optimize vaccine regimens.  In order to 
assess the immune responses to vaccination, Aeras will utilize two assays.  The qualified 
ELISpot assay allows for very sensitive detection of the number of cells secreting the Th1 
cytokine, IFN-γ, in response to vaccination.  In addition, the ICS assay will be used to further 
assess the quality of the immune response.  While the assay is not as sensitive as the ELISpot, it 
has the added benefit of examining multiple T cell functions (IFN-γ, IL-2, TNF-α, IL-17, 
CD107a, and CD154) and associating those functions with T cell phenotypes (CD3, CD4, CD8, 
and memory), resulting in a much more robust assessment of the immune responses generated by 
vaccination.  These assays will allow for the assessment of the magnitude and quality of the 
immune responses to vaccination and also increase the likelihood that an immune correlate may 
be identified in future efficacy trials. 
 
Due to the present lack of a biomarker for protection or surrogate marker for risk of TB disease, 
TB vaccine Phase IIb efficacy studies are tremendously costly and time consuming.  For this 
reason there is a need to carefully select which vaccines are chosen to proceed to Phase IIb.  
Recent evidence suggests that the BCG vaccine is able to prevent Mtb infection as detected by 
the gamma interferon release assay (IGRA) (Eisenhut et al 2009).  Thus the ability to further 
prevent infection with Mtb could be a positive selection criterion for a novel TB vaccine.  
Studies using prevention of TB infection as a biological outcome can be done with a much lower 
number of study participants and shorter study duration than prevention of TB disease efficacy 
studies.  In line with this thinking, a prevention of Mtb infection study using QFT is currently in 
planning, and AERAS-456 is one of the vaccine candidates being considered for inclusion in the 
trial.  One issue specific to the AERAS-456 vaccine is that it contains the Mtb antigen ESAT-6, 
which is an IFN-γ inducer in the QFT assay used for diagnosis of Mtb infection.  This may 
potentially cause false positive QFT responses.  Data from human TB vaccine studies so far 
show that QFT responses wane relatively quickly after vaccination with an ESAT-6 containing 
vaccine.  Thus data suggests that this issue may very well be overcome (van Dissel et al 2011).  
However, more data are needed on the kinetics of QFT responses after AERAS-456 vaccination.  
QFT responses will therefore be measured at baseline, at 2 time points during the study, and at 
the end of the study in LTBI (-) subjects. 
 

 
 
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The reasons for conducting clinical trials of AERAS-456 in South Africa (and other sub-Saharan 
African countries) are as follows: 1) this vaccine is intended for licensing in South Africa and 
other sub-Saharan African countries.  2) South Africa has a very high rate of LTBI, particularly 
in the Western Cape Province, 50% overall, but up to 80% in the third decade of life (Wood et al, 
2010).  3) Since the rate of LTBI and indeed active tuberculosis is so high, the utility of INH 
prophylaxis that has been found effective in low prevalence areas is not feasible in South Africa, 
and this has been so recognized in WHO recommendations (WHO, 1974).  Thus, a vaccine that 
prevents reactivation from latency would have a significant positive impact on public health of 
South Africa.  4) The University of Cape Town and other organizations in the Republic are 
preeminent in the field of tuberculosis vaccinology.  5) The simultaneous presence of a high rate 
of LTBI, a high incidence of active TB, an unmet medical need, and a sophisticated research 
infrastructure make this clinical research study especially appropriate for South Africa. 
 
OBJECTIVES: 
Primary Objective 
The primary objective of this study is to evaluate the safety profile of multiple dosage levels and 
dosing regimens of AERAS-456 administered to HIV-negative, BCG-vaccinated adults with and 
without LTBI and with no history or evidence of TB disease. 
 
Secondary Objectives 
The secondary objectives of this study are: 
• To evaluate the immunogenicity of multiple dosage levels and dosing regimens of AERAS-
456 administered to HIV-negative, BCG-vaccinated adults with and without LTBI and with 
no history or evidence of TB disease. 
 
• To select a dosage of AERAS-456 for testing of dose regimens. 
 
• To evaluate kinetics of QFT responses following AERAS-456 vaccination in HIV-negative, 
BCG-vaccinated adults without LTBI and with no history or evidence of TB disease. 
 
DESIGN: 
This is a Phase I/IIa, double-blind, randomized, placebo-controlled, dose- and regimen-finding 
study in healthy adults with and without LTBI, who are BCG-vaccinated, HIV negative, and 
have no history or evidence of TB disease.  The investigational product is AERAS-456 at 3 dose 
levels: 5, 15, and 50 µg of H56 antigen with 500 nmol IC31.  The vaccine is administered by IM 
injection.  The study will be conducted at sites in one or more countries in sub-Saharan Africa, 
including South Africa.  
 
A total of 98 subjects will be enrolled in 2 phases into 4 groups based on LTBI status.  The initial 
phase will be a dose ranging study of a 2-dose regimen at 3 dosage levels in LTBI(-) subjects, to 
select a dosage for the second phase.  In the second phase, the study will be expanded to evaluate 
both 2-dose and 3-dose regimens and to include LTBI(+) subjects.  In the first phase, 50 LTBI(-) 
subjects will be enrolled in Group 1 and randomized at a ratio of 3:3:3:1 to receive 2 doses of 
5/500, 15/500, or 50/500 of AERAS-456, or placebo  given at Study Days 0 and 56 (Table 0-1).   
 

 
 
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One dose level of AERAS-456 will be selected by the sponsor and SSI for the second phase of 
the study, based on analysis of unblinded safety and immunogenicity data through 28 days after 
the second dose in the first phase, in conjunction with safety and immunogenicity data from 
study C-032-456.  The criteria for dose-selection will be specified in a statistical analysis plan to 
be finalized prior to the unblinded review.  The selected dose, in conjunction with the unblinded 
safety and immunogenicity data, will be submitted to the SMC for review.  In the second phase, 
48 subjects will be enrolled concurrently into Group 2 (LTBI[-]) and into Groups 3 and 4 
(LTBI[+], Table 0-2).  In each of Groups 2 and 4, 16 subjects will be randomized at a ratio of 3:1 
to receive 3 doses of AERAS-456 or placebo given at Study Days 0, 56, and 112.  In Group 3, 16 
subjects will be randomized at a ratio of 3:1 to receive 2 doses of AERAS-456 or placebo given 
at Study Days 0 and 56.  
 
All subjects will stay on the study for 292 days after receiving the first vaccination.  The subjects 
in Groups 1 and 3 will be followed up for 236 days after the second vaccination and subjects in 
Groups 2 and 4 will be followed up for 180 days after the third vaccination.  The sample size for 
each study cohort was selected because it was judged to be adequate for preliminary safety and 
immunogenicity evaluations for a Phase I/IIa study rather than for statistical reasons.  Given 12 
and 15 subjects in individual AERAS-456 dosing groups, the study will have an 80% probability 
of detecting at least 1 specified event which occurs at a rate of 12.5% and 10.0%, respectively.  If 
no such events are observed among 12 and 15 subjects receiving active study vaccine, an 
approximation to the upper one-sided 95% confidence bound on the rate of occurrence for that 
event would be 22% and 18%, respectively. 
 
Table 0-1 
Group 1 Treatment/Dose Assignments 
  
Table 0-2  Groups 2, 3, and 4 Treatment/Dose Assignments 
 
ANALYSIS OF IMMUNOLOGY: 
The immunogenicity of AERAS-456 in this study will be evaluated by PBMC ICS and IFN-γ 
ELISpot assays. 
 
Assessment of immune response by PBMC ICS will be based on the percentage of cytokine 
producing CD4+ and CD8+ T cells in response to stimulation with H56 protein antigen and 1 of 
Group 
QFT 
Status 
Number of Doses 
Treatment Assignment 
 
Total 
H56 µg/IC31 nmol 
 
Placebo 
5/500 
15/500 
50/500 
1 
- 
2 (Days 0, 56) 
15 
15 
15 
5 
50 
Group 
QFT 
Status 
Number of Doses 
Treatment Assignment 
 
N 
 AERAS-456   
(Dose Level TBD) 
Placebo 
2 
- 
 3 (Days 0, 56, 112) 
12 
4 
16 
3 
+ 
2 (Days 0, 56) 
12 
4 
16 
4 
+ 
 3 (Days 0, 56, 112) 
12 
4 
16 
Total 
36 
12 
48 

 
 
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3 antigenic peptide pools (Ag85B, ESAT-6, and Rv2660c) derived from and representing the 
entire amino acid sequences of the mycobacterial antigens Ag85B, ESAT-6 and Rv2660c, 
respectively.  Median DMSO-subtracted cytokine responses and associated 95% confidence 
intervals (CIs) will be used to summarize the percentage of antigen-specific CD4 and CD8 T cell 
responses by study group and treatment assignment at all available time points.  Summaries of T 
cell response will be presented by T cell type (CD4 and CD8), by stimulation antigen(s), and by 
cytokine profile.  Summaries will include immune response at all available pre- and post-
vaccination immunology time points. 
 
Assessment of immune response by ELISpot will be based on the number of IFN-γ spot-forming 
units (SFU) per 106 PBMC in response to stimulation with H56 antigen or 1 of 3 antigenic 
peptide pools (Ag85B, ESAT-6, and Rv2660c) derived from and representing the entire amino 
acid sequences of the mycobacterial antigens Ag85B, ESAT-6, and Rv2660c, respectively.  
Geometric mean and associated 95% CIs will be used to summarize the number of IFN-γ SFU 
per 106 PBMC by study group and treatment assignment at all available time points.  Summaries 
of the number of IFN-γ SFU per 106 PBMC will be presented by stimulation antigen(s) and will 
include immune response at all available pre- and post-vaccination immunology time points. 
 
ANALYSIS OF SAFETY: 
The safety profile will be described by study group and treatment assignment.  The primary 
variable for evaluation of the safety profile will be the number and percentage of all unsolicited 
and solicited adverse events recorded post Day 0 vaccination.  Additional summaries will also be 
presented based on type of adverse events (solicited or unsolicited) and reporting period of 
adverse events following each study vaccination.   
 
The number (percentage) of subjects with adverse events will be summarized by MedDRA 
system organ class and preferred term.  Additional summaries will present the number 
(percentage) of subjects with adverse events by severity and by relationship to study vaccine; 
each subject will be counted once per preferred term at the greatest severity or most related state 
recorded for that term. 
   
Listings will be provided for all subjects with serious adverse events. 
 
Exploratory assessment of adverse events in relation to the degree of QFT positivity at study 
entry may also be performed. 

 
 
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1 
INTRODUCTION 
1.1 
Background 
Tuberculosis (TB) remains a major global health challenge.  The available live tuberculosis 
vaccine, bacillus Calmette-Guérin (BCG), provides incomplete protection against pulmonary 
tuberculosis.  For unknown reasons, a BCG revaccination or “booster” does not provide much 
additional protection.  Although effective chemotherapy for drug-sensitive TB is available, 
inadequate diagnosis and treatment, plus approximately 450,000 cases of multiple drug-resistant 
TB, result in continued morbidity and death.  A more effective booster vaccine would have a 
positive effect on the health of many people worldwide, and would be a crucial tool for 
controlling and ultimately eliminating TB as a global public health problem. 
 
1.2 
Description of AERAS-456 
H56:IC31 (designated as AERAS-456 for Aeras-sponsored clinical development) contains a 
fusion protein (referred to as H56 antigen, or H56) of 3 mycobacterial antigens (the early 
secreted antigens Ag85B and ESAT-6, and the latency antigen Rv2660c) formulated in the Th1-
stimulating IC31 adjuvant. 
 
1.2.1 
H56 Antigen 
M. tuberculosis (Mtb) is the causative agent of tuberculosis.  The H56 antigen is a fusion protein 
created from 3 Mtb antigens: antigen 85B (Ag85B), ESAT-6, and Rv2660c.  Ag85B is also 
referred to as α-antigen and is a 30-kDa mycolyl transferase protein (Wiker et al, 1992; Belisle et 
al, 1997).  Ag85B has been previously demonstrated in the guinea pig tuberculosis test system to 
induce a substantial protective immunity against aerosol challenge with the highly virulent 
Erdman strain of Mtb (Horwitz et al, 2000).  ESAT-6 is a member of a secreted family of 
proteins that are virulence factors mediating the entry of mycobacteria into cells.  ESAT-6 is well 
recognized in TB patients (Ravn et al, 1999; Ulrichs et al, 1998), cattle infected with M. bovis 
(Pollock and Anderson, 1997), and different strains of Mycobacterium tuberculosis (Mtb)-
infected mice (Brandt et al, 1996).  In mice vaccinated with an ESAT-6 subunit vaccine, strong 
ESAT-6-specific T-cell responses were seen that resulted in protective immunity to Mtb 
challenge at the same level as that provided by BCG (Brandt et al, 2000).  The late stage antigen 
Rv2660c is expressed at a higher level as Mtb adapts to latency.  In vitro, expression of Rv2660c 
has been found to be between 80 and 300 fold increased in nutrient starved cultures (Rustad et al, 
2009; Betts et al 2002; Muttucumaru et al, 2004).  Rv2660c is selectively recognized by latently 
infected individuals as compared to individuals with active pulmonary TB (Govender et al, 
2010). 
 
1.2.2 
IC31 Adjuvant 
IC31 is a 2-component adjuvant comprised of an oligodeoxynucleotide ODN1a and a 
polypeptide KLK.  The first component, ODN1a contains alternating sequences of the unusual 
bases inosine and cytidine: oligo-d(IC)13.  This motif is similar to CpG motifs that act as T-cell 
adjuvants (Kochenderfer, 2006).  The second component KLK is a synthetic cationic 

 
 
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antimicrobial peptide composed of lysine (K) and leucine (L) in the sequence KLKLLLLLKLK.  
KLK is thought to enhance peptide specific immune responses by increasing uptake of the 
complexed antigen into antigen presenting cells.  The negatively charged ODN1a and the 
positively charged KLK complex electrostatically.  When IC31 is combined with H56, the 
adjuvant further complexes with the antigen to form AERAS-456. 
 
The 2 components of IC31 may be combined in various ratios but a 25:1 molar ratio KLK to 
ODN1a is the ratio used for AERAS-456.  Since the ratio of ODN1a and KLK is constant in 
AERAS-456, adjuvant amounts will be expressed in this document only as nmol of KLK for ease 
of presentation. 
 
1.3 
Nonclinical Experience with AERAS-456 
H56:IC31 was immunogenic and protective in mouse and non-human primate animal models.  
The mycobacterial loads in the lungs of H56:IC31 vaccinated mice were significantly lower than 
those of mice vaccinated with BCG 12 to 24 weeks after challenge.  The H56 antigen also 
protected against TB when given to mice post-exposure to Mtb (Aagaard et al, 2011).  AERAS-
456 as a boost to BCG vaccination delayed and reduced clinical disease in cynomolgus 
macaques challenged with Mtb (Lin et al 2012).  No significant adverse reactions of an 
immunological nature were seen in animals vaccinated up to 8 times with H56:IC31.  There was 
no evidence of a broader toxic effect of H56:IC31 administered to rabbits in a more intensive 
regimen than anticipated in the clinical program.  All non-clinical information supports the 
suitability of H56:IC31 as a safe, immunogenic, and possibly effective vaccination to augment 
the immunity induced by a previous BCG vaccination and/or Mtb infection.  
 
1.4 
Clinical Experience with AERAS-456 
The first in human study of AERAS-456, C-032-456, is a Phase I open-label study in 25 adults 
(17 with LTBI, 8 without LTBI) conducted at 1 site in South Africa.  Eight LTBI(-) subjects 
have received 3 doses of intramuscular (IM) injections of 15/500 (15 µg H56/500 nmol IC31 
KLK) AERAS-456 on Study Days 0, 56, and 112, and have completed 6 months follow up after 
last vaccination.  Eight and 9 LTBI(+) subjects have completed 3 vaccinations with 15/500 and 
50/500, respectively, of AERAS-456 on Study days 0, 56, and 112.  All 17 LTBI(+) subjects 
have been followed up for at least 28 days after the last vaccination.  No serious adverse events 
judged to be vaccine-related have been identified in this study.  The last subject visit of Study C-
032-456 is scheduled for December 2012. 
 
1.5 
Clinical Experience with Vaccines Related to AERAS-456 
The Hybrid-1 (H1) vaccine, a vaccine closely related to AERAS-456, consists of the HYB-01 
fusion protein of the Mtb antigens ESAT-6 and antigen 85B in combination with IC31, the same 
adjuvant used in AERAS-456.  Three Phase I clinical trials have been completed by Statens 
Serum Institut: THYB-01, THYB-02, and THYB-03.  These studies represent a combined 
population of 95 healthy, HIV(-) adults, of whom 80 received any dose of H1.  Table 1-1 shows 
the dose matrix of the 3 studies.  All 3 studies were open label and non-randomized. No serious 
adverse events were reported in these 3 studies.  The expected local and systemic reactions 

 
 
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include Grade 1-2 stiffness and pain at the site of injection, headache, and influenza like 
symptoms such as fatigue, fever, and cough. 
 
Table 1-1 Dose matrix of Studies THYB-01, THYB-02 and THYB-03 
 
Trial # 
Treatment Assignment 
 
N 
  50 µg  Antigen 
Alone 
50 µg Antigen 
100 nmol IC31 
50 µg Antigen 
500 nmol IC31 
THYB-01 
12 
12 
12 
36 
THYB-02 
 
 
20 
20 
THYB-03 
12 
 
27 
39 
Total 
24 
12 
59 
95 
 
1.6 
Rationale for Study 
BCG is currently the only licensed vaccine for the prevention of TB.  There is currently no 
licensed vaccine for the prevention of TB disease in individuals with latent Mtb infection 
(LTBI).  AERAS-456 is being developed to prevent TB disease in individuals with and without 
LTBI.  AERAS-456 has 2 components: H56, a recombinant fusion protein of the Mtb antigens 
Ag85B, ESAT-6, and Rv2660c; and IC31, a novel oligonucleotide-based adjuvant designed to 
elicit a cell-mediated immune response.  AERAS-456 is proposed to protect either against Mtb 
infection or against TB disease by boosting existing CD4 responses against Mtb antigens 
expressed by BCG (Ag85B) and by Mtb during both active disease (Ag85B and ESAT-6) and 
latency (Rv2660c).  AERAS-456 has been demonstrated to be immunogenic and protective 
before and after TB exposure in mouse and non-human primate models (Aagaard et al 2011; Lin 
et al 2012). 
 
Study C-035-456 is the second study of AERAS-456 to evaluate safety and immunogenicity in 
adults and will include subjects with and without LTBI.  Dose selection for study C-035-456 is 
based on preclinical study results and preliminary safety data of the ongoing study C-032-456 
(see Section 1.4 for further details of C-032-456).  The selected highest dose of 50 µg AERAS-
456 is below that administered in the toxicology study, and is the same as that shown to be 
protective against Mtb challenge in non-human primates.  The 50 µg dose thus seems to be 
efficacious and non-toxic.  The selected lowest dose of 5 µg AERAS-456 was protective against 
Mtb challenge in the mouse model.  A 3-dose series is standard for many primary immunizing 
regimens, and is what was studied in the C-032-456 trial.  Vaccination at intervals of 56 days is 
based on clinical data from AERAS-404 (which contains a fusion protein of Ag85B and TB10.4 
with IC31 as adjuvant; Aeras unpublished data) and SSI H1 (van Dissel et al 2010; van Dissel et 
al 2011).  Both vaccines elicited antigen-specific T cell responses when administered 56 days 
apart.  The proposed study (C-035-456) will evaluate whether or not the magnitude and duration 
of immune responses are similar for 2 vs. 3 doses of AERAS-456.  A 2-dose regimen has 
significant advantages in terms of delivery in the field, compliance with regimen completion, and 
cost.  Preclinical studies also indicate that higher doses of AERAS-456 may inhibit immune 
responses and reduce protective efficacy.  All subjects in Study C-035-456 will receive 500 nmol 
of the adjuvant IC31 based on results of clinical studies of AERAS-404 and H1. 
 

 
 
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For the purpose of C-035-456, LTBI will be diagnosed based on a positive QuantiFERON TB 
Gold test (QFT) at screening.  Subjects will not receive a screening tuberculin skin test (TST), 
due to post-vaccination reactions at TST sites observed in previous clinical trials of other 
vaccines similar to AERAS-456, as well as the potentially confounding effects of the TST on 
baseline measurements of immune response to Mtb antigens. 
 
This study is designed to select an optimal dose regimen of AERAS-456 for further clinical 
development.  The optimal dose regimen will be selected based on safety and immunogenicity in 
an initial cohort of LTBI(-) subjects and expanded to LTBI(+) subjects.  Dose selection for the 
initial cohort is based on preclinical study results and preliminary safety data from the ongoing 
Phase I study C-032-456.  The rationale for conducting initial dose finding in LTBI(-) subjects is 
based on clinical data from prior H1 studies, in which the variability in baseline immunogenicity 
parameters was greater among LTBI(+) subjects compared to LTBI(-) subjects, making 
differences between vaccine-induced cellular responses easier to distinguish in the LTBI(-) 
population.  Furthermore, cellular immune responses as measured by ELISpot were comparable 
between the LTBI(+) and LTBI(-) subjects for the same H1 dosage (van Dissel et al, 2010; van 
Dissel et al, 2011). 
 
Previous BCG vaccination is a criterion for study entry for all subjects.  AERAS-456 is being 
developed for use in countries with a high incidence of Mtb, many of which administer universal 
BCG at birth.  Subjects with HIV co-infection or TB disease will be excluded from Study C-035-
456; however, they may be included in future studies. 
 
The lack of understanding of host defense mechanisms against Mtb infection and the lack of 
immune correlates of protection to TB vaccines are hampering the development of novel TB 
vaccines.  There is an urgent need for clear immunological markers to predict and evaluate the 
immunogenicity and efficacy of these vaccines and to optimize vaccine regimens.  Despite the 
lack of correlates, there are some clues that will help in the development of a vaccine for 
TB.  Th1 responses appear to be very important for controlling infection, particularly IFN-γ and 
TNF.  T cells are known to play an important role in controlling tuberculosis.  Perhaps the 
greatest evidence for this in human populations is with HIV/TB coinfection.  It is well-known 
that HIV infection greatly increases the risk of TB reactivation and infection.  Prevalence of TB 
is directly correlated with the loss of CD4+ T cells in HIV-infected patients (Feller et al 
2009).  Studies have described the development of an animal model to mimic HIV/TB 
coinfection.  In this model, cynomolgus macaques latently infected with TB are challenged with 
the highly pathogenic SIVmac251.  TB reactivation in this model was shown to be correlated 
with peripheral T cell loss (Matilla et al 2011).  In addition, loss of CD4+ T cells has been shown 
to result in increased tuberculosis-related mortality (Havlir et al 1999).  Various CD4+ T cell 
effector subtypes have been identified, including those making only IL-2 or IFN-γ, as well as 
multifunctional cells expressing IL-2, IFN-γ, and TNF-α.  The presence of these multifunctional 
cells has been associated with protection against some pathogens (Darrah et al 2007).  
Furthermore, multifunctional cells have been found at high frequency in tuberculosis patients 
(Winkler et al 2005) as well as in people in high incidence areas (Scriba et al 2008).  In addition 
to CD4+ T cells, CD8+ T cells also play a critical role in the control of TB.  Chen et al. 
demonstrated that depletion of CD8+ T cells in BCG-vaccinated macaques resulted in the loss of 

 
 
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control of TB infection (Chen et al 2009).  Together the data clearly indicate that T cells are 
required for controlling infection and suggest that T cell immunity may also play an important 
role in preventing disease.  In order to assess the immune responses to vaccination, Aeras will 
utilize two assays.  The qualified ELISpot assay allows for very sensitive detection of the 
number of cells secreting the Th1 cytokine, IFN-γ, in response to vaccination.  In addition, the 
ICS assay will be used to further assess the quality of the immune response.  While the assay is 
not as sensitive as the ELISpot, it has the added benefit of examining multiple T cell functions 
(IFN-γ, IL-2, TNF-α, IL-17, CD107a, and CD154) and associating those functions with T cell 
phenotypes (CD3, CD4, CD8, and memory), resulting in a much more robust assessment of the 
immune responses generated by vaccination.  These assays will allow for the assessment of the 
magnitude and quality of the immune responses to vaccination and also increase the likelihood 
that an immune correlate may be identified in future efficacy trials. 
 
Due to the present lack of a biomarker for protection or surrogate marker for risk of TB disease, 
TB vaccine Phase IIb efficacy studies are tremendously costly and time consuming.  For this 
reason there is a need to carefully select which vaccines are chosen to proceed to Phase IIb.  
Recent evidence suggests that the BCG vaccine is able to prevent Mtb infection as detected by 
the gamma interferon release assay (IGRA) (Eisenhut et al 2009).  Thus the ability to further 
prevent infection with Mtb could be a positive selection criterion for a novel TB vaccine.  
Studies using prevention of TB infection as a biological outcome can be done with a much lower 
number of study participants and shorter study duration than prevention of TB disease efficacy 
studies.  In line with this thinking, a prevention of Mtb infection study using QFT is currently in 
planning, and AERAS-456 is one of the vaccine candidates being considered for inclusion in the 
trial.  One issue specific to the AERAS-456 vaccine is that it contains the Mtb antigen ESAT-6, 
which is an IFN-γ inducer in the QFT assay used for diagnosis of Mtb infection.  This may 
potentially cause false positive QFT responses.  Data from human TB vaccine studies so far 
show that QFT responses wane relatively quickly after vaccination with an ESAT-6 containing 
vaccine.  Thus data suggests that this issue may very well be overcome (van Dissel et al 2011).  
However, more data are needed on the kinetics of QFT responses after AERAS-456 vaccination.  
QFT responses will therefore be measured at baseline, at 2 time points during the study, and at 
the end of the study in LTBI (-) subjects. 
 
The reasons for conducting clinical trials of AERAS-456 in South Africa (and other sub-Saharan 
African countries) are as follows: 1) this vaccine is intended for licensing in South Africa and 
other sub-Saharan African countries.  2) South Africa has a very high rate of LTBI, particularly 
in the Western Cape Province, 50% overall, but up to 80% in the third decade of life (Wood et al, 
2010).  3) Since the rate of LTBI and indeed active tuberculosis is so high, the utility of INH 
prophylaxis that has been found effective in low prevalence areas is not feasible in South Africa, 
and this has been so recognized in WHO recommendations (WHO, 1974).  Thus, a vaccine that 
prevents reactivation from latency would have a significant positive impact on public health of 
South Africa.  4) The University of Cape Town and other organizations in the Republic are 
preeminent in the field of tuberculosis vaccinology.  5) The simultaneous presence of a high rate 
of LTBI, a high incidence of active TB, an unmet medical need, and a sophisticated research 
infrastructure make this clinical research study especially appropriate for South Africa. 
 

 
 
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2 
STUDY OBJECTIVES AND DESIGN 
2.1 
Objectives 
Primary Objective 
The primary objective of this study is to evaluate the safety profile of multiple dosage levels and 
dosing regimens of AERAS-456 administered to HIV-negative, BCG-vaccinated adults with and 
without LTBI and with no history or evidence of TB disease. 
 
Secondary Objectives 
The secondary objectives of this study are: 
• To evaluate the immunogenicity of multiple dosage levels and dosing regimens of AERAS-
456 administered to HIV-negative, BCG-vaccinated adults with and without LTBI and with 
no history or evidence of TB disease. 
 
• To select a dosage of AERAS-456 for testing of dose regimens. 
 
• To evaluate kinetics of QFT responses following AERAS-456 vaccination in HIV-negative, 
BCG-vaccinated adults without LTBI and with no history or evidence of TB disease. 
 
2.2 
Design 
This is a Phase I/IIa, double-blind, randomized, placebo-controlled, dose- and regimen-finding 
study in healthy adults with and without LTBI, who are BCG-vaccinated, HIV-negative, and 
have no history or evidence of TB disease.  The investigational product is AERAS-456 at 3 dose 
levels: 5, 15, and 50 µg of H56 antigen with 500 nmol of IC31.  The vaccine is administered by 
IM injection.  The study will be conducted at sites in one or more countries in sub-Saharan 
Africa, including South Africa.   
 
A total of 98 subjects will be enrolled in 2 phases into 4 groups based on LTBI status.  The initial 
phase will be a dose ranging study of a 2-dose regimen at 3 dosage levels in LTBI(-) subjects, to 
select a dosage for the second phase.  In the second phase, the study will be expanded to evaluate 
both 2-dose and 3-dose regimens and to include LTBI(+) subjects.  In the first phase, 50 LTBI(-) 
subjects will be enrolled in Group 1 and randomized at a ratio of 3:3:3:1 to receive 2 doses of 
5/500, 15/500, or 50/500 of AERAS-456, or placebo given at Study Days 0 and 56 (Table 2-1).   
 
One dose level of AERAS-456 will be selected by the sponsor and SSI for the second phase of 
the study, based on analysis of unblinded safety and immunogenicity data through 28 days after 
the second dose in the first phase, in conjunction with safety and immunogenicity data from 
study C-032-456.  The criteria for dose-selection will be specified in a statistical analysis plan to 
be finalized prior to the unblinded review.  The selected dose, in conjunction with the unblinded 
safety and immunogenicity data, will be submitted to the SMC for review.  In the second phase, 
48 subjects will be enrolled concurrently into Group 2 (LTBI[-]) and into Groups 3 and 4 
(LTBI[+]; Table 2-2).  In each of Groups 2 and 4, 16 subjects will be randomized at a ratio of 3:1 
to receive 3 doses of AERAS-456 or placebo given at Study Days 0, 56, and 112.  In Group 3, 16 

 
 
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subjects will be randomized at a ratio of 3:1 to receive 2 doses of AERAS-456 or placebo given 
at Study Days 0 and 56.   
 
All subjects will stay on the study for 292 days after receiving the first vaccination.  The subjects 
in Groups 1 and 3 will be followed up for 236 days after the second vaccination and subjects in 
Groups 2 and 4 will be followed up for 180 days after the third vaccination.  The sample size for 
each study cohort was selected because it was judged to be adequate for preliminary safety and 
immunogenicity evaluations for a Phase I/IIa study rather than for statistical reasons.  Given 12 
and 15 subjects in individual AERAS-456 dosing groups, the study will have an 80% probability 
of detecting at least 1 specified event which occurs at a rate of 12.5% and 10.0%, respectively.  If 
no such events are observed among 12 and 15 subjects receiving active study vaccine, an 
approximation to the upper one-sided 95% confidence bound on the rate of occurrence for that 
event would be 22% and 18%, respectively. 
   
Table 2-1 
Group 1 Treatment/Dose Assignments 
 
Table 2-2 
Groups 2, 3, and 4 Treatment/Dose Assignments 
  
3 
STUDY PROCEDURES 
3.1 
Schedule of Subject Evaluations 
A Summary Schedule of Evaluations depicting all visit-specific procedures is provided in Table 
3-1 (Groups 1 and 3) and Table 3-2 (Groups 2 and 4).  See Appendix A for a more detailed 
description of the evaluations. 
 
Table 3-1 
Summary Schedule of Subject Evaluations for Groups 1 and 3 
Evaluation 
 Screen 
Study Days 
 
0 
3 
7 
14 
28 
56 
59 
63 
70 
84  146g 
 
292 
  
Written informed consent 
x 
 
 
 
 
 
 
 
 
 
 
 
 
Urine illicit drug screen 
x 
 
 
 
 
 
 
 
 
 
 
 
 
QFT  
x 
 
 
 
 
 
 
 
 
xf 
 
xf 
x  
 
Group 
 
QFT 
Status 
 
Number of Doses 
Treatment Assignment 
 
Total 
H56 µg/IC31 nmol 
 
Placebo 
5/500 
15/500 
50/500 
1 
- 
2 (Days 0, 56) 
15 
15 
15 
5 
50 
 
Group 
 
QFT 
Status 
 
Number of Doses 
Treatment Assignment 
 
N 
 AERAS-456   
(Dose Level TBD) 
 
Placebo 
2 
- 
 3 (Days 0, 56, 112) 
12 
4 
16 
3 
+ 
2 (Days 0, 56) 
12 
4 
16 
4 
+ 
 3 (Days 0, 56, 112) 
12 
4 
16 
Total 
36 
12 
48 

 
 
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Evaluation 
 Screen 
Study Days 
 
0 
3 
7 
14 
28 
56 
59 
63 
70 
84  146g 
 
292 
  
Medical history 
x 
 
 
 
 
 
 
 
 
 
 
 
x  
Physical examination 
x 
 
 
 
 
 
x 
 
 
 
 
  
x  
Hepatitis B, C; HIV-1 
x 
 
 
 
 
 
 
 
 
 
 
 
 
Vaccine eligibility 
verification 
 
x 
 
 
 
 
x 
 
 
 
 
  
 
 
Study vaccination 
 
X 
 
 
 
 
X 
 
 
 
 
  
 
Urine βhCG 
x 
x 
 
 
 
 
x 
 
 
 
 
  
 
Vital signs 
x 
x 
 
 
 
 
x 
 
 
 
 
  
 
Urinalysis  
x 
x 
 
x 
 
 
x 
 
x 
 
 
  
 
Serum chemistrya 
x 
x 
 
x 
 
 
x 
 
x 
 
 
  
 
CBC with differentialb 
x 
x 
 
x 
 
 
x 
 
x 
 
 
 
 
PBMC ICS 
 
x 
 
 
x 
 
x 
 
 
x 
 
   
x 
Whole blood ICSc 
 
x 
 
 
x 
 
x 
 
 
x 
 
 
x 
PBMC ELISpot  
 
x 
 
 
x 
 
x 
 
 
x 
 
   
x  
Antibody ELISA 
 
x 
 
 
 
 
x 
 
 
 
x 
   
 
RNA analysis 
 
x 
x 
 
 
 
 
x 
x 
x 
 
 
 
BioVacSafe 
 
x 
x 
 
 
 
 
x 
 
 
 
 
 
PBMC exploratorye 
 
x 
 
 
x 
 
x 
 
 
x 
 
   
x 
Distribute diary cards 
 
x 
 
 
 
 
x 
 
 
 
 
  
 
Review/collect diary cards 
 
 
x 
x 
 
 
 
x 
x 
 
 
  
 
Solicited adverse events 
 
x  
x 
x 
x 
x 
x 
x 
x 
x 
x 
   
 
Unsolicited adverse events 
 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
    
  
Serious adverse events  
 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x  
Examination of injection 
site(s) 
 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
  
 
Blood volume (mL)d 
26 
50 
6 
14 
23 
0 
44 
6 
17 
31 
7 
5 
28 
Cumulative blood (mL)d 
26 
76 
82 
96 
119 
119 
163 
169 
186 
217 
224 
229 
257 
aSerum chemistry includes: alanine aminotransferase (ALT), aspartate aminotransferase (AST), total bilirubin, 
alkaline phosphatase (ALP), and creatinine. 
bCBC with differential includes: hemoglobin, hematocrit, white blood cell count, absolute lymphocyte count, 
absolute neutrophil count, platelet count 
cSamples for whole blood ICS will be collected only at those sites capable of performing the analyses 
dBlood volumes are approximate 
eSATVI site only 
fQFT at Study Days 70 and 146 for subjects in Group 1 only 
gStudy Day 146 evaluations may be conducted by phone call for Group 3 
 
Table 3-2 Summary Schedule of Subject Evaluations for Groups 2 and 4 
Evaluation 
Screen 
Study Days 
0 
3 
7 
14 28 
56 59 
63 
70 84 112 115 119 126 140 210g 292 
Written informed consent 
x 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Urine illicit drug screen 
x 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
QFT  
x 
 
 
 
 
 
 
 
 
 
 
 
 
 
xf 
 
xf 
x 
Medical history 
x 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
x 
Physical examination 
x 
 
 
 
 
 
x 
 
 
 
 
x 
 
 
 
 
 
x  

 
 
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Evaluation 
Screen 
Study Days 
0 
3 
7 
14 28 
56 59 
63 
70 84 112 115 119 126 140 210g 292 
Hepatitis B, C;  
HIV-1 
x 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Vaccine eligibility 
verification 
 
x 
 
 
 
 
x 
 
 
 
 
x 
 
 
 
 
 
 
Study Vaccination 
 
X 
 
 
 
 
X 
 
 
 
 
X 
 
 
 
 
 
 
Urine βhCG 
x 
x 
 
 
 
 
x 
 
 
 
 
x 
 
 
 
 
 
 
Vital signs 
x 
x 
 
 
 
 
x 
 
 
 
 
x 
 
 
 
 
 
 
Urinalysis  
x 
x 
 
x 
 
 
x 
 
x 
 
 
x 
  
x 
 
 
 
 
Serum chemistrya 
x 
x 
 
x 
 
 
x 
 
x 
 
 
x 
 
x 
 
 
 
 
CBC with  differentialb 
x 
x 
 
x 
 
 
x 
 
x 
 
 
x 
 
x 
 
 
 
 
PBMC ICS 
 
x 
 
 
x 
 
x 
 
 
x 
 
x 
 
 
x 
 
 
x 
Whole blood ICS 
 
x 
 
 
x 
 
x 
 
 
x 
 
x 
 
 
x 
 
 
x 
PBMC ELISpot  
 
x 
 
 
x 
 
x 
 
 
x 
 
x 
 
 
x 
 
 
x 
Antibody ELISA 
 
x 
 
 
 
 
x 
 
 
 
 
x 
 
 
 
x 
 
 
RNA analysis 
 
x 
x 
 
 
 
 
x 
 
 
 
 
x 
x 
x 
 
 
 
BioVacSafe 
 
x 
x 
 
 
 
 
x 
 
 
 
 
x 
 
 
 
 
 
PBMC exploratory 
 
x 
 
 
x 
 
x 
 
 
x 
 
x 
 
 
x 
 
 
x 
Distribute diary cards 
 
x 
 
 
 
 
x 
 
 
 
 
x 
 
 
 
 
 
 
Review/collect  
diary cards 
 
 
x 
x 
 
 
 
x 
x 
 
 
 
x 
x 
 
 
 
 
Solicited adverse events 
 
x  
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
 
 
Unsolicited adverse 
events 
 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
  
  
Serious adverse events  
 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x  
x 
Examination of injection 
site(s) 
 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
x 
 
 
Blood Volume (mL)d 
26 
50 
6 
14 
23 
0 
44 
6 
14 
23 
0 
44 
6 
17 
31 
7 
5 
28 
Cumulative Blood (mL) d 
26 
76 
82 
96 119 119 163 169 183 206 206 250 256 273 304 311 316 344 
aSerum chemistry includes: ALT, AST, total bilirubin, ALP,  and creatinine. 
bCBC with differential includes: hemoglobin, hematocrit, white blood cell count, absolute lymphocyte count, 
absolute neutrophil count, platelet count. 
cSamples for whole blood ICS will be collected only at those sites capable of performing the analyses 
dBlood volumes are approximate 
eSATVI site only 
fQFT at Study Days 126 and 210 for subjects in Group 2 only 
gStudy Day 210 evaluations may be conducted by phone call for Group 4 
 
3.2 
Subject Selection 
3.2.1 
Recruitment and Informed Consent 
Various methods of recruitment may be used such as advertising, referrals, or solicitation of 
subjects previously known to the clinical site.  Interested subjects will be invited to participate in 
the informed consent process.  Informed consent will be obtained by the use of a written consent 
form approved by the Institutional Review Board (IRB) or Independent Ethics Committee (IEC) 
and signed and dated by the subject at the time of consent.  Potential subjects will be interviewed 
to ensure that the subjects meet all entry criteria relating to history.  The clinical investigator or 
designee will conduct the consent discussion on an individual basis with each subject and will 
allow adequate time for all questions to be addressed.  Written informed consent will be obtained 

 
 
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prior to conducting any study-related procedures.  A copy of the signed consent form shall be 
given to the subject prior to Study Day 0. 
 
3.2.2 
Screening 
After informed consent is obtained, subjects will be screened to assess eligibility for the study.  
For identification purposes each subject will be assigned a unique 12-digit subject number by an 
interactive web response system (IWRS) that consists of the last two digits of the Aeras product 
number (56), the last two digits of the protocol number (35), a 2-digit site number assigned by 
Aeras, followed by a 5-digit number sequentially assigned by the system.  (For example, if the 
clinical site number is 99, the first subject to be screened for protocol C-035-456 would receive 
the number 563599-00001, where all except “-00001” were pre-assigned by Aeras.)  This subject 
number will be used throughout the study.  
 
Throughout the study, all screening activities will be captured and maintained in the IWRS.  
Abnormal results and findings resulting in ineligibility will be discussed with the subject, who 
will be referred for follow-up care with their healthcare provider if necessary. 
 
Eligibility for entry into the study will be based on the inclusion and exclusion criteria described 
below.  The investigator must document confirmation of eligibility prior to study entry. 
 
3.2.3 
Inclusion Criteria 
Subjects must meet all of the following criteria prior to Study Day 0 vaccination: 
1. Has completed the written informed consent process prior to the start of screening 
evaluations. 
2. Is male or female. 
3. Is age 18 through 50 years at the time of randomization. 
4. Received BCG vaccination at least 5 years prior to randomization, documented through 
medical history or presence of a scar. 
5. Females: Ability to avoid pregnancy during the trial: Women physically capable of 
pregnancy (not sterilized and still menstruating or within 1 year of the last menses if 
menopausal) in sexual relationships with men must avoid pregnancy with an acceptable 
method of avoiding pregnancy from 28 days prior to administration of the study vaccine 
through the end of the study.  Acceptable methods of avoiding pregnancy include a sterile 
sexual partner, sexual abstinence (not engaging in sexual intercourse), hormonal 
contraceptives (oral, injection, transdermal patch, or implant), vaginal ring, intrauterine 
device (IUD), the use of a condom or a diaphragm combined with spermicide. 
6. Has general good health, confirmed by medical history and physical examination at 
screening. 
7. Is able and willing to complete the full follow-up period of 292 days as required by the 
protocol. 
8. Agrees to avoid elective surgery for the full duration of the study. 

 
 
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9.  [Groups 1 and 2] Does not have LTBI, determined by a negative QFT at screening 
or 
[Groups 3 and 4] Has LTBI, determined by a positive QFT at screening. 
 
3.2.4 
Exclusion Criteria 
Subjects must meet none of the following criteria prior to Study Day 0 vaccination: 
1. Acute illness at the time of randomization. 
2. Oral temperature ≥37.5°C at the time of randomization. 
3. Abnormal laboratory values (per local laboratory parameters) from blood collected within 21 
days prior to Study Day 0 vaccination as follows: 
• hemoglobin, hematocrit, platelet count, absolute neutrophil count, or absolute 
lymphocyte count below lower limit of normal (LLN). 
• white blood cell count above upper limit of normal (ULN) or below LLN.  
• ALT, AST, total bilirubin, ALP, creatinine, above ULN. 
4. Abnormal urinalysis that, in the opinion of the investigator, indicates systemic or local 
disease. 
5. History or evidence of tuberculosis disease, including but not limited to pulmonary 
tuberculosis, pleural tuberculosis, lymph node tuberculosis or tuberculosis meningitis. 
6. Received a TST within 21 days prior to a scheduled study vaccination. 
7. Received investigational Mtb vaccine at any time prior to Study Day 0. 
8. History or evidence of autoimmune disease. 
9. History or laboratory evidence of HIV-1 infection at screening. 
10. Positive test for hepatitis B surface antigen or hepatitis C antibody at screening. 
11. Used immunosuppressive medication (other than inhaled or topical immunosuppressants) 
within 21 days prior to Study Day 0. 
12. Received immunoglobulin or blood products within 21 days prior to Study Day 0. 
13. Received any investigational product within 21 days prior to Study Day 0, or plans to 
participate in any other study involving administration of investigational product during the 
study period. 
14. Inability to discontinue current chronic prescription medications, except contraceptives, 
inhaled or topical immunosuppressants, or nutritional supplements, during the study period. 
15. Documented history of allergic reaction or hypersensitivity to any component of the study 
vaccine. 
16. All female subjects:  currently pregnant or lactating/nursing; or positive serum pregnancy test 
during screening; or positive urine pregnancy test on the day of any study vaccination. 
17. History or evidence of any systemic disease or any acute or chronic illness that, in the 
opinion of the investigator, may compromise the safety of the subject in the study or interfere 
with the evaluation of the safety or immunogenicity of the vaccine. 
18. History of dermatologic disease or skin features that, in the opinion of the investigator, may 
interfere with the assessment of injection site reactions.  
19. History or evidence of any medical, psychiatric, occupational, or substance abuse problems 
that, in the opinion of the investigator, will make it unlikely that the subject will comply with 
the protocol.  
 

 
 
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Note: A subject who fails to meet eligibility criteria because of self-limiting conditions expected 
to improve within the allowable window period (e.g., febrile illness) can return for repeat 
screening or, for vaccination subsequent to Study Day 0, have study vaccine administration 
deferred at the discretion of principal investigator.  
 
3.2.5 
Screening Clinical Assessments and Laboratory Tests 
Unless noted otherwise, the window period within which all screening evaluations must be 
completed, and the results reviewed by the investigator to confirm eligibility of subjects, is 21 
days prior to Study Day 0.   
 
Subjects will provide a detailed medical history and subjects will undergo a physical 
examination.  The assessment will include the determination of any surgeries or medically 
significant procedures planned to occur during the entire study period.  Demographic 
characteristics (date of birth, gender, and race) will also be collected.  Any new abnormal 
findings will be discussed with the subject and referral will be made for follow-up care if 
necessary. 
 
Screening laboratory tests (urinalysis, urine drug screen [opiates, cocaine, amphetamines], QFT, 
HIV serology, chemistry and hematology panels) will be performed during the screening 
process.  Results from these laboratory tests will serve as study-entry baseline values.  Abnormal 
results and findings that make the subject ineligible will be discussed with the subject and the 
subject will be referred for follow-up care with their healthcare provider if necessary.  All 
screening laboratory specimens will be processed according to laboratory SOPs available from 
the clinical laboratory(ies) designated for the study.  Information about the laboratory(ies), 
including instructions for performing and interpreting QFT instructions  will be maintained in the 
investigator’s study binder. 
 
For females of child-bearing potential, repeat urine βhCG must be performed on specimens 
obtained within 24 hours prior to study entry on Study Day 0. 
 
3.3 
Study Entry and Randomization 
Subjects will be enrolled into a study group sequentially based on timing of completion of 
screening and LTBI status.  Within study group, subjects will be randomized to receive either 
AERAS-456 or placebo based on a randomly-generated sequence of subject identification 
numbers on a randomization schedule, via an IWRS.  
 
Within Group 1, a total of 50 LTBI(-) subjects will be randomized in a 3:3:3:1 ratio to receive a 
2-dose regimen at 3 dosage levels of AERAS-456 (5/500, 15/500, or 50/500) or placebo given 56 
days apart.  The dosage of AERAS-456 to be administered in Groups 2, 3, and 4 will be selected 
based on the results from Study Group 1.  A total of 48 subjects will be enrolled concurrently 
into Group 2 (LTBI[-] subjects) and into Groups 3 and 4 (LTBI[+] subjects).  LTBI(-)  subjects 
will be assigned to Group 2 and will be randomized in a 3:1 ratio to receive a 3-dose regimen of 
AERAS-456 at the selected dose level or placebo given 56 days apart.  Within Group 3 and 
Group 4, LTBI(+) subjects will be randomized in a 3:1 ratio to receive 2 doses of AERAS-456 at 

 
 
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the selected dose level or placebo given 56 days apart (Group 3), or in a 3:1 ratio to receive 3 
doses of AERAS-456 at the selected dose level or placebo given 56 days apart (Group 4).    
 
In order to maintain the blind of the study team, the randomization schedule will be prepared by 
an unblinded statistician who will not be involved with the study conduct.  The day on which a 
subject is randomized is Study Day 0.  If a subject does not meet all study entry and vaccination 
eligibility criteria, entry or randomization of the subject should not occur on that day.  If the 
situation permits, subjects may be reconsidered for entry or randomization at a later date, e.g., 
pending resolution of an acute illness or after a repeated clinical laboratory evaluation result is 
shown to be within normal limits, within the allowed time frame for complete screening 
evaluations.    
 
A summary of the randomization procedure is as follows: 
• Subject arrives in clinic for Study Day 0 visit. 
o Subjects must be present in the clinic at the time of randomization. 
o Pre-vaccination study procedures performed. 
• Investigator reconfirms that subject meets all eligibility criteria for randomization and 
that the subject can receive study vaccine as soon as possible after randomization. 
o Some ineligible subjects may be reconsidered for randomization at a later date, 
e.g., pending resolution of an acute illness or after a repeated clinical laboratory 
evaluation result is shown to be within normal limits within the allowed time 
frame for complete screening evaluations. 
• Investigator or designee (as assigned in the IWRS requirements specification document) 
randomizes the subject using the IWRS. 
• Study vaccine manager accesses the IWRS to determine the randomization assignment 
for the subject, then prepares the appropriate study vaccine according to the IWRS 
treatment assigned to the subject and per the study Vaccine Management Manual 
prepared by the sponsor 
• Study vaccine manager transfers the prepared unit-dose syringe to the designated study 
team member in the clinic for administration to the subject. 
 
If a randomized subject withdraws consent or is removed from the study , that subject will not be 
replaced.  
 
3.4 
Blinding 
The study is double blinded.  At Aeras, the investigational product manager (and/or designee) 
will be the only unblinded person(/s) during the blinded periods of the study in order to manage 
study vaccine inventory.  The other unblinded persons on the study are the study vaccine 
manager (and designee, if appointed) and the study monitor(s).  All unblinded persons must not 
reveal individual subject treatment regimen assignments to any other member of the study team.   
 
The study vaccine manager (and designee) must be a designated study team member who is not 
an employee of Aeras and who will have no other clinical or regulatory responsibilities 
associated with the conduct of the study during the entire study period.  Unblinded study 

 
 
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personnel must not participate in the evaluation of adverse events.  A Delegation of Authority 
Log will be maintained by the site and will identify the individual(s) authorized to function as the 
study vaccine manager, i.e., individuals with access to study blinding information.   
 
Access to unblinded treatment assignment via the IWRS during the study will be provided only 
to the study vaccine manager (and designee), the study monitor, and the Aeras investigational 
product manager.  Unblinded randomization list reports generated by the IWRS as well as all 
pharmacy source documents and dose preparation records that can link a subject identification 
number with a treatment assignment must remain secure (e.g., in the pharmacy with access 
limited to only unblinded persons) until notification from Aeras that the study has been 
unblinded. 
 
Labels accompanying the syringes of prepared vaccine doses will not indicate which vaccine is 
in the syringe.  Identical syringes and needles will be used for preparation and administration of 
each vaccine.  Prior to transferring the prepared unit-dose syringe of study vaccine to the 
designated study team member in the clinic, the study vaccine manager will mask the syringe 
with a translucent colored label, in order to maintain the study blind by obscuring slight 
differences in color and opacity between active and placebo formulations, providing sufficient 
visibility of the volume of the syringe contents to guide correct dosing.  
 
3.4.1 
Unblinding for Clinical Emergencies 
If there is an urgent clinical requirement to know a subject’s treatment assignment, the principal 
investigator will request the urgent unblinding of a subject’s treatment (directly or via the 
unblinded pharmacist) by following the “unblinding by site form call flow” process in the IWRS.  
The designated study management team will be notified of the unblinding immediately via the 
IWRS system alert.  It is recommended that the principal investigator consults with the study 
medical team prior to unblinding of a subject.  However, in urgent circumstances at the principal 
investigator’s discretion, the site can proceed with the unblinding of a subject without prior 
consultation with the study team. 
 
3.4.2 
Unblinding for Safety Analysis by SMC 
Unblinded safety data may be reviewed by the SMC and the independent statistician responsible 
for preparing these analyses according to the SMC charter as described in the Section 5.1.5. 
 
3.4.3 
Unblinding for Preliminary Data Review 
A preliminary unblinded review of ICS immune response and safety data will be conducted 
following completion of the Study Day 84 visit for Group 1 as described in Section 7.7.1.     
 
3.5 
Study Vaccine Administration 
On Study Day 0, subjects must receive their dose of study vaccine as soon as possible after 
randomization.  If vaccination will not occur on the stated vaccination day the principal 
investigator or designee must notify the sponsor within 72 hours after deferral of vaccination and 
reschedule the subject to return to the clinic at another time.  On Study Day 56 and/or Study Day 

 
 
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112, all subjects randomized who have not met any of the criteria for discontinuation of study 
injections (see Section 6.1) will receive a second and/or a third dose of study vaccine.  In case of 
short term, reversible conditions, such as acute febrile or respiratory illness, the second and/or 
third dose of study vaccine should be deferred until the subject has recovered; the allowable 
window period for deferral of the second and/or third dose is 3 days.  
 
The study vaccine manager will send the study vaccine to the clinic as a unit-dose syringe, which 
will be identified with the subject identification number, subject’s initials, date and time of dose 
preparation, and the volume prepared.  The syringe will contain 0.5 mL of the study vaccine.  A 
medically qualified study team member must be present in the clinic at the time of all study 
vaccine administrations.   
 
Before administering the injection, the study team member in the clinic who will be 
administering the vaccine must inspect the syringe and vaccine volume, checking that the syringe 
is identified with the correct subject identification number and initials and checking the date and 
time the dose was prepared.  The vaccine manager must deliver the syringe to the clinic so that 
vaccine can be administered within 2 hours of being prepared.  If circumstances result in a delay 
of administration beyond the allotted time, an explanation must be entered into the source 
documents and the expired syringe must be returned to the study vaccine manager, who will 
prepare a replacement syringe.   
 
The study vaccine will be administered intramuscularly into the deltoid area using standard 
aseptic technique, and alternating arms for each vaccination.  Administration of the study 
vaccine (including date, time and which arm was injected) must be documented in the subject’s 
study records by the study team member who administered the vaccine.  
 
3.6 
 Study Evaluations 
3.6.1 
Immunology Laboratory Evaluations 
A summary of immunologic assays to be performed on blood specimens is shown in Table 3-3.  
Listed blood volumes are estimates.  Blood will be collected for all assays.  Required assays will 
be performed on available specimens from all listed subjects and time points.  Exploratory assays 
may be performed on specimens from certain subjects and time points.  Blood will also be 
collected for immunokinetics analysis and for participation in the BioVacSafe consortium 
(www.biovacsafe.eu) – an international collaboration between industry and academia aimed at 
developing cutting edge tools to speed up and improve the testing and monitoring of vaccine 
safety, both before and after release to the market (see Appendix E for further details).   
 
Staff at the clinical research site will refer to the most current version of the Specimen 
Management Manual (provided under separate cover) for further instructions and additional 
information on specimen collection and processing for immunology assays. 
 

 
 
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Table 3-3 
Summary of Immunology Specimens and Assays 
 
Assay 
 
Priority 
 
Purpose of Assay 
 
Location 
Study Days 
Blood Volume 
per time (Total) 
Groups 
1 and 3 
Groups 
2 and 4 
Groups 
1 and 3 
Groups 
2 and 4 
13-color PBMC 
ICS Assay 
Required 
Determine cellular immune 
response to study vaccine 
Aeras 
Maryland, 
USA 
0, 14, 56 
70, 292 
0, 14, 56, 
70, 112, 
126, 292 
5 mL 
(25 mL) 
5 mL 
(35 mL) 
IFN-γ PBMC 
ELISpot 
 
Required 
Determine cellular immune 
response to study vaccine 
Aeras 
Maryland, 
USA 
0, 14, 56 
70, 292 
0, 14, 56, 
70, 112, 
126, 292 
5 mL 
(25 mL) 
5 mL 
(35 mL) 
Antigen-specific 
IgG (ELISA) 
Exploratory 
Determine humoral immune 
response to study vaccine 
Aeras 
Maryland, 
USA 
 0, 56, 84 
 
0, 56, 
112, 140 
7 mL 
(21 mL) 
7 mL 
(28 mL) 
Whole blood ICS 
Assaya 
Exploratory 
Determine cellular immune 
response to study vaccine 
SATVI 
South Africa 
0, 14, 56 
70, 292 
0, 14, 56, 
70, 112, 
126, 292 
5 mL 
(25 mL) 
5 mL 
(35 mL) 
RNA analysis 
(transcriptional 
profiling) 
Exploratory 
To perform a multivariate 
analysis of the innate 
immune responses 
following vaccination in 
order to identify early gene 
signatures that can predict 
immune responses 
To be 
determined 
0, 3, 59, 
63, 70   
0, 3, 59, 
115, 119, 
126 
3 mL 
(15 mL ) 
3 mL 
(18 mL) 
BioVacSafe 
Project 
Exploratory 
To perform a multivariate 
analysis  in order to identify 
new biomarkers  useful to 
identify warning signs that a 
candidate vaccine may be 
reactogenic 
Max Planck 
Institute for 
Infection 
Biology, 
Berlin, 
Germany 
0, 3, 59   
0, 3, 59, 
115 
3 mL 
(9 mL) 
3 mL 
(12 mL) 
PBMCb 
Exploratory 
Future validation/ 
exploratory 
SATVI 
South Africa 
0, 14, 56, 
70, 292 
0, 14, 56, 
70, 112, 
126, 292 
8 mL 
(40 mL) 
8 mL 
(56 mL) 
a. 
Samples for whole blood ICS will be collected only at at those sites capable of performing the analyses 
b. Samples to be collected at SATVI site only 
 
The co-primary immunology endpoints will be ICS and ELISpot.  A 13-color ICS assay using 
frozen PBMC will be performed at Aeras’ immunology laboratory, where the reagents, 
equipment, and training of personnel have all been standardized to provide consistent results.  
The IFN-γ ELISpot assay using frozen PBMC will also be conducted at Aeras’ immunology 
laboratory using a qualified assay.  Conducting both the ICS and IFN-γ ELISpot assays in the 
same laboratory using the same material will reduce the assay variability for this multi-site study, 
particularly when determining the correlation between the 2 assays.  Currently there are no 
laboratories in South Africa that have a highly standardized, qualified, and controlled multi-
parameter flow cytometry assay or IFN-γ ELISpot assay conducted by trained operators.  This is, 
in part, why the consortium of Aeras, the US HIV Vaccine Trials Network (HVTN), and the US 
National Institutes of Health (NIH) are currently considering building a new Immunology 
Central Endpoint Laboratory in Cape Town, which will be staffed with local expertise. 
 

 
 
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3.6.2 
Safety Evaluations 
3.6.2.1 Pre-vaccination and Post-Vaccination Monitoring of Subjects 
Subjects will have vital signs (pulse, respiratory rate, temperature, and blood pressure) taken 
prior to each study vaccination.  Subjects will remain in the clinic under close observation for at 
least 60 minutes after receiving study vaccine.  As with any vaccine, allergic reactions to dose 
administration are possible.  Therefore, appropriate drugs and medical equipment to treat acute 
anaphylactic reactions must be immediately available and a medically qualified study team 
member trained to recognize and treat anaphylaxis must be present in the clinic during the entire 
vaccination procedure and post-vaccination monitoring period. 
 
3.6.2.2 Clinical Assessments and Laboratory Tests 
Subjects will have their vital signs measured before each study vaccination and 60 minutes after 
each vaccination on Study Days 0, 56 and/or 112.  An assessment of the sites of injection and 
axilla(e) will be performed during each scheduled clinic visit and any adverse events will be 
recorded on the AE case report form (CRF).  Female must have a negative urine pregnancy test 
on Days 0, 56 and/or 112 before each vaccination.  All laboratory samples will be processed 
according to SOPs provided by the local clinical laboratory.  Subjects will be retested for QFT 
on Study Days 70 and 146 for Group 1, Study Days 126 and 210 for Group 2 , and on the last 
clinic visit at Study Day 292 for Groups 1 through 4.  
 
Clinical assessments and laboratory tests results obtained on the study must be reviewed by the 
investigator (or a designee who is a medically qualified study team member) within 72 hours of 
receiving the results to determine if abnormalities exist, with the exception of urine βhCG on 
vaccination days, the results of which must be reviewed and confirmed to be negative before 
administration of study vaccine.   
 
Abnormal Clinical Assessments and Laboratory Tests 
Laboratory abnormalities that have increased in toxicity grade from Study Day 0 will be graded 
as adverse events according to a pre-specified toxicity table (see Appendix D for toxicity grading 
scales), except for visually interpreted urine dipstick findings, which will be graded according to 
the clinical judgment of the principal investigator (PI) or designee.  Abnormal laboratory tests 
must be repeated promptly to demonstrate resolution.  Additional laboratory tests may be 
performed if the investigator deems them to be necessary to fully evaluate an adverse event.  In 
the event that the investigator elects to order non-protocol-specified laboratory tests, the 
investigator must record the rationale for the tests and a determination of clinical significance of 
the result in the source documents.  The investigator must keep the local medical monitor 
informed of adverse events of clinical significance.   
 
Abnormal results and findings will be discussed with the subject, and the subject will be referred 
for follow-up with their healthcare provider if necessary. 
 
3.6.2.3 Adverse Events 
The collection periods for adverse events are: 

 
 
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Solicited adverse events: 
28 days after each study vaccination 
Unsolicited adverse events: 28 days after each study vaccination  
Serious adverse events: 
Entire study period (i.e., 292 days after first study vaccination) 
 
Solicited adverse events to be collected include the following: 
Local: 
injection site pain, injection site erythema, injection site swelling 
Systemic: fatigue, myalgia, arthralgia, pyrexia, chills, nausea 
 
Adverse events will be followed to resolution (see Section 5.3). 
 
3.6.2.4 Concomitant Medications 
The collection of information on concomitant medications used by subjects following 
vaccination will coincide with the collection period of adverse events.  The collection period for 
concomitant medications associated with the treatment of adverse events will be 28 days 
following each vaccination.  The collection period for concomitant medications associated with 
the treatment of serious adverse events (SAE) will be Study Days 0–292. 
 
Concomitant medication includes prescription and non-prescription drugs or other treatments, 
and any vaccines other than the study vaccines.  The name of the medication, treatment start and 
stop dates (or ‘ongoing’), route of administration, and indication must be recorded on the 
Concomitant Medications case report form (CRF).  The indication recorded on the Concomitant 
Medications CRF must correspond to a medical term/diagnosis recorded on the adverse event 
(AE) CRF, or to a pre-existing condition noted in the subject’s medical history, or be noted as 
prophylaxis, e.g., dietary supplement. 
 
3.6.3 
Subject Follow-up and Contact 
All subjects who receive study vaccine will be followed according to the protocol unless consent 
is withdrawn.   
 
Subjects will be instructed to contact a study team member to report new diagnoses or new or 
worsening adverse events and to come to the study clinic if medical attention is needed, provided 
the urgency of the situation permits.  For emergencies and other unscheduled visits to a medical 
facility other than the study clinic, medical records will, to the extent possible, be obtained by the 
investigator.  All sites will have study staff available for consultation by study participants for 
any health concerns that they may have.   
 
During each clinic visit, subjects will be reminded to notify a study team member of the 
following:   
• 
The occurrence of AEs and SAEs during the respective reporting periods  
• 
Receipt of any concomitant medications during the applicable reporting period 
• 
Plans to move or if contact information changes  
• 
If subject has decided to withdraw from the study 
• 
Change in general health status  

 
 
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• 
Any other change in status that may affect the subject’s participation (e.g., plan to participate 
in another investigational study) 
 
All deviations from protocol procedures, evaluations, and/or visits must be categorized and 
documented as they occur.  Each deviation must be documented on a Protocol Deviation Form.  
When possible, missed visits and procedures must be rescheduled and performed at the nearest 
possible time point to the original schedule. 
 
3.6.4 
Loss to Follow-up 
If the site’s study team members are unable to establish contact with a subject who misses a 
scheduled study visit, the clinical site must make every possible effort to re-establish contact and 
document such efforts.  If contact is re-established, then the subject will resume participation in 
the study. 
 
If contact with the subject cannot be re-established by the subject’s calculated Study Day 292 
visit date, then a determination of “lost to follow-up” can be made. 
 
4 
STUDY VACCINES 
4.1 
Supplies 
Study vaccine manager will be provided with adequate quantities of AERAS-456 and placebo.  
The product will be manufactured and shipped by Statens Serum Institut (SSI) located in 
Copenhagen, Denmark, in accordance with good manufacturing practices (GMP).  
 
AERAS-456 vaccine will be supplied as 3 fixed-dose combinations of H56 and IC31.  A 
description of the contents of the vials follows: 
• AERAS-456 5/500:  0.8 mL containing 5 µg/0.5 mL H56 antigen and 500 nmol/0.5 mL IC31 
adjuvant.  The liquid material may appear as a greyish/colorless solution 
• AERAS-456 15/500:  0.8 mL containing 15 µg/0.5 mL H56 antigen and 500 nmol/0.5 mL 
IC31 adjuvant.  The liquid material may appear as a greyish/colorless solution. 
• AERAS-456 50/500:  0.8 mL containing 50 µg/0.5 mL H56 antigen and 500 nmol/0.5 mL 
IC31 adjuvant.  The liquid material may appear as a greyish/colorless solution. 
 
Placebo will be supplied in vials containing 0.8 mL sterile buffer consisting of 10 mM Tris and  
169 mM NaCl at pH 7.4.  The buffer solution for placebo is colorless and similar to the buffer 
solution in which AERAS-456 is formulated.  The buffers are isotonic.  
  
Both AERAS-456 and placebo will be stored and prepared for administration as described in the 
Vaccine Management Manual, provided under separate cover. 
 
4.2 
Accountability 
The study vaccine manager is required to maintain accurate study vaccine accountability records.  
Instructions and required forms to be completed and kept for accountability will be provided to 

 
 
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the study vaccine manager.  If the study vaccine manager wishes to use site-specific 
accountability forms, these must be reviewed and approved in advance by Aeras.  Upon 
completion of the study, all study vaccine management records will be copied and returned to 
Aeras or its designee.  The originals must be maintained at the clinical site with the rest of the 
study records. 
 
4.3 
Receipt and Storage 
Upon receipt of study vaccine supplies, the study vaccine manager must immediately inspect all 
vials for damage.  AERAS-456 and placebo will be shipped with a continuous temperature-
monitoring device.  Any damage or discrepancies from the packing list must be documented and 
promptly discussed with Aeras and the study monitor to determine the appropriate action.  
 
Both AERAS-456 and placebo must be stored at between +2°C and +8°C in a secured location 
with no access for unauthorized personnel.   
 
Complete storage instructions will be provided in the study Vaccine Management Manual. 
 
4.4 
Vaccine Preparation 
Preparation of the study vaccine for injection should not begin before a subject is confirmed 
eligible on Study Day 0 and re-confirmed eligible on Study Day 56 and, if applicable, on Study 
Day 112.  The study vaccine manager will follow the detailed instructions provided in the study 
Vaccine Management Manual to prepare the dose of AERAS-456 vaccine or placebo.  Aseptic 
technique must be utilized.  
 
Preparation of the vaccine including date and time must be documented in the study vaccine 
management records by the study vaccine manager who prepares the doses.  
 
Request for preparation of the second vaccination on Study Day 56, and, for subjects in Groups 2 
and 4, the third vaccination on Study Day 112 will be made by the investigator in a similar 
fashion as on Study Day 0.  The study vaccine manager will prepare the appropriate study 
vaccine according to the treatment assignment indicated for that subject identification number 
per the randomization schedule.  
 
4.5 
Disposal of Unused Supplies 
Upon completion of the study, Aeras must provide authorization for any unused study vaccine 
and supplies to be disposed of according to the facility’s SOPs.  Any disposing of study vaccine 
conducted at the clinical site will be documented in the study file. 
 

 
 
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5 
SAFETY 
5.1 
Responsibilities for Ensuring the Safety of Trial Subjects 
The national regulatory authority, the vaccine sponsor (Aeras), the institution through which the 
research is performed and all members of the principal investigator’s clinical team share 
responsibility for ensuring that participants in this trial are exposed to the least possible risk of 
adverse events that may result from participation in this protocol.  
 
5.1.1 
Principal Investigator 
The principal investigator has a personal responsibility to closely monitor trial subjects and an 
inherent authority to take whatever measures necessary to ensure their safety.  The principal 
investigator has the authority to terminate, suspend or require changes to a clinical trial for safety 
concerns and may delay an individual’s study vaccine administration or pause study vaccine 
administration in the whole trial if the investigator has some suspicion that the study vaccine 
might place a subject at significant risk.  The principal investigator determines severity and 
causality with respect to the study vaccine for each adverse event.  The principal investigator is 
blinded in this study, in which case the study vaccine may consist of a placebo, or the 
investigational product.  
 
5.1.2 
Study Sponsor 
The sponsor (Aeras) also has an institutional responsibility to ensure subject safety.  This 
responsibility is vested in two medical monitors (one local medical monitor and one global 
medical monitor) and an independent safety monitoring committee (SMC).   
 
5.1.3 Local Medical Monitor 
The local medical monitor is the sponsor’s representative and is a licensed physician or surgeon 
in their country of residence.  The local medical monitor reviews the safety of the product for 
protocols in a specific region and, in conjunction with the sponsor, determines expectedness of 
the adverse event.  The local medical monitor may make a sponsor’s assessment of severity and 
causality for adverse events that may upgrade the degree of severity and causality determined by 
the principal investigator.  The local medical monitor, like the principal investigator, is blinded 
for this study. 
 
5.1.4 
Global Medical Monitor 
The purpose of the Global Medical Monitor (GMM) is to authorize SUSAR (suspected 
unexpected serious adverse reaction) reporting to regulatory agencies without unblinding the 
sponsor, protocol team or the clinical sites.  Aeras retains a GMM through the contract research 
organization PPD, Inc., located in Cambridge, UK.  The GMM reviews and unblinds all SUSAR 
reports and, if he or she deems it necessary may review and unblind selected SAE reports.  The 
GMM may contact study sites directly if additional information is needed for assessment of the 
SUSAR.  For all SUSARS the GMM will make available to sponsor and the clinical trial sites a 
completed blinded CIOMS II so that the sites and sponsor may remain blinded. 
 

 
 
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5.1.5 
Safety Monitoring Committee 
If study vaccine administration is paused (see safety pausing rules in Section 6.2) by the 
principal investigator, the local medical monitor, or the global medical monitor, an SMC will be 
convened.  The SMC composition is described in an SMC charter.  The voting members cannot 
be directly involved with the conduct of the study.  Voting members cannot be employees of 
Aeras.  Additional subject area experts may be present to provide expertise if requested by the 
SMC.  The SMC may review an individual SAE or it may choose to review adverse events, 
serious adverse events, solicited adverse events, and laboratory and vital signs data.  Only the 
SMC and the independent statistician responsible for preparing these analyses would be 
unblinded during these reviews.  All procedures associated with this review, including 
objectives, data handling, and elements to be included for review will be documented in SMC 
minutes.  
 
Based on its review and the protocol stopping rules (Section 6) the SMC will make 
recommendations in the SMC minutes to Aeras regarding further conduct of the study and 
further administration of study vaccine.  The conclusions of the SMC will be communicated to 
the investigators and the Institutional Review Boards/Ethics Committees and the national 
regulatory authority.  The sponsor agrees to abide by the decision of its SMC and any directives 
issued by the national regulatory authority, the Institutional Review Board or Ethics Committee.   
 
5.1.6 
Institutional Review Boards and Ethics Committees 
The Institutional Review Board or Ethics Committee has institutional responsibility for the safety 
of research subjects.  The Institutional Review Board or Ethics Committee has the authority to 
terminate, suspend or require changes to a clinical trial.   
 
5.1.7 
National Regulatory Authority 
Since the national regulatory authority (such as the Medicines Control Council) receives all 
expedited safety reports it also has the authority to terminate, suspend or require changes to a 
clinical trial.   
 
5.2 
Safety Surveillance during the Study 
Subjects will be monitored and safety data collected by way of clinical interviews and 
examinations, evaluations of daily diaries conducted by study team members, and through 
reports of laboratory evaluations.  Time points and the specific data collected for each of these 
evaluations are described in Section 3 and the protocol appendices.  
 
The SMC will review safety data on an as needed basis.  
 
5.3 
Definition of Adverse Event 
An adverse event (AE) is defined as any unfavorable or unintended sign, symptom, disease, 
syndrome, abnormal laboratory finding, or concurrent illness that emerges or worsens relative to 

 
 
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the subject’s pretreatment baseline, whether or not it is considered to be related to the medicinal 
product. 
 
All conditions that exist prior to administration of the study vaccine (pre-existing conditions) 
will be recorded in the subject’s medical history to establish baseline.  Day-to-day fluctuations in 
pre-existing conditions that do not represent a clinically significant change in the subject’s status 
will not necessarily be reported as adverse events. 
 
Any adverse change from the subject’s baseline condition (determined from screening 
evaluations conducted to confirm study eligibility) that occurs following the administration of 
the study vaccine will be considered an adverse event.  This includes the occurrence of a new 
adverse event or the worsening of a baseline condition, whether or not considered related to the 
study vaccine.  Intermittent conditions such as headaches may be present on Study Day 0 but 
may represent an adverse event if the intensity or duration of the event is worse than usual 
following receipt of study vaccine.  Adverse events include but are not limited to: adverse 
changes from baseline that represent increases in toxicity grade according to the Toxicity Table 
(see protocol appendices), adverse changes in the general condition of the subject, signs and 
symptoms noted by the subject, concomitant disease with onset or increased severity after study 
vaccine administration, and changes in laboratory safety parameters occurring after study 
vaccine administration.   
 
The reporting period for all adverse events is specified in Section 3.  Adverse events will be 
reported on the Adverse Event CRF using a recognized medical term or diagnosis that accurately 
reflects the event.  Adverse event evaluations will be reviewed by the principal investigator or by 
a designated medically qualified practitioner.  Adverse event CRF pages are to be completed by 
members of the study team designated in writing by the principal investigator.  The onset and 
resolution dates of the event and action taken in response to the event will be documented.  All 
adverse events must be followed until resolution is demonstrated.  The resolution date will be 
recorded on the CRF as the last date on which the subject experienced the adverse event.  If an 
adverse event resolution date is uncertain the principal investigator should estimate the 
completion date based on medical judgment and interview of the subject.  Approximate dates of 
resolution from interviews may be taken as adverse event resolution dates.  Some examples of 
estimation of adverse event resolution are:  1) an asymptomatic laboratory abnormality on one 
visit that has not been followed-up between visits but has resolved by the next visit may be 
assumed to have resolved by the midpoint of the intervisit interval; 2) A resolved adverse event 
that was treated may be assumed to have been resolved by the end of treatment.  Adverse events 
that are still present at the end of the trial should be recorded as ongoing.  Information recorded 
on the CRF must be substantiated in the source documents.  If an adverse event evolves into a 
condition that becomes “serious,” it will be designated as serious on the Adverse Event CRF and 
a Supplemental SAE Report (SAER) form will be completed.   
 
5.4 
Assessing Severity 
The safety concepts of “severity” and “seriousness” are distinct concepts (see Section 5.8).  
Severity refers to a degree of clinical manifestation.  “Seriousness” refers to defined outcomes 

 
 
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from an adverse event.  A severe adverse event is not always serious and a serious adverse event 
is not always severe.  
 
For all adverse events, the investigator (or designee, who is a healthcare professional; is someone 
the investigator deems qualified to review adverse event information, to provide a medical 
evaluation of the event, and to classify the event based upon medical judgment and the severity 
categories described below) is responsible for assessing the severity of the event and the causal 
relationship of the event to the study vaccine. 
 
The severity of all adverse events, including clinical findings and abnormal laboratory values, 
will be classified as one of the following grades:  
1. Mild  
2. Moderate  
3. Severe   
 
A Toxicity Table is provided in the protocol appendices for the assessment of severity of 
specified adverse events.  The Toxicity Table Adverse Event Grades do not correlate directly 
with the classical severity grades of mild, moderate and severe.  FOR THE PURPOSES OF 
RECORDING EVENTS ON THE CRF, Toxicity Table Grade 1 events will be considered mild 
in severity, Toxicity Table Grade 2 events will be considered moderate in severity, and both 
Toxicity Table Grade 3 and 4 events will be considered as severe.  In the Toxicity Table certain 
local reactions such as erythema (redness) and swelling are graded according to size.  Laboratory 
values are graded according to level of deviation from the normal range.   
 
For adverse events not listed in the Toxicity Table determination of severity requires some level 
of interpretation as outlined below.  The degree of incapacity caused by the adverse event and 
the level of medical intervention required for treatment may be helpful in assessing the overall 
severity of the adverse event.  
For example: 
• 
“Mild” events are generally regarded as noticeable but have no impact on normal activities; 
they may or may not require over-the-counter treatment managed by the subject.   
• 
“Moderate” events generally have some impact on an individual’s normal activities and may 
require general symptomatic medical intervention by a healthcare professional or by the 
subject.   
• 
“Severe” adverse events may be incapacitating, leading to suspension of normal daily 
activities, and would generally require more immediate medical evaluation and intervention 
by a healthcare professional.   
 
A change in severity of an adverse event will not be recorded as a new adverse event.  Only the 
highest severity level that occurs during the entire period of the adverse event will be recorded 
on the CRF with the onset and resolution dates encompassing the entire duration of the event.   
 
5.5 
Assessing Causal Relationship (Relatedness) 
For all adverse events, the investigator and the sponsor (the local medical monitor) will 
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whether AERAS-456 or placebo was administered.  A number of factors will be considered in 
making this assessment, including:  1) the temporal relationship of the event to the 
administration of the study vaccine 2) whether an alternative etiology has been identified and 3) 
biological plausibility.  The investigator will use the following guidelines to assess the causal 
relationship of an adverse event to study vaccine:   
 
• 
Not Related to study vaccine (i.e., there is no evidence of a causal relationship; another 
etiology is known to have caused the adverse event.  The alternative etiology should be 
documented in the subject’s study record). 
• 
Unlikely Related to study vaccine (i.e., there is less than a reasonable possibility that the 
adverse event was caused by study vaccine). 
• 
Possible relationship to study vaccine (i.e., there is a reasonable possibility that the adverse 
event was caused by study vaccine.  There must be a plausible mechanism for the event to be 
related to study vaccine.  The evidence is inadequate to accept or reject, or favors rejection 
of, a causal relationship; an association exists between the event and the study vaccine but 
there may also be an alternative etiology, such as characteristics of the subject’s clinical 
status or underlying condition).   
• 
Probable relationship to study vaccine (i.e., it is likely that the adverse event was caused by 
administration of the study vaccine.  The evidence favors acceptance of a causal relationship; 
an association exists between the event and receipt of the study vaccine and there is a 
plausible mechanism for the event to be related to the study vaccine, and an alternative 
etiology is not apparent). 
• 
Definite relationship to study vaccine (i.e., the study vaccine is known to be the cause of the 
adverse event.  The evidence establishes a causal relationship; an association exists between 
the event and receipt of the study vaccine and there is a plausible mechanism for the event to 
be related to the study vaccine, and causes other than the study vaccine have been ruled out).  
 
The principal investigator and the local medical monitor both determine causality.  It is expected 
that communication and consultation may occur in the assessment of the causality of adverse 
events.  The greatest degree of causal relationship (definite > probable > possible > unlikely 
related > not related) determined by either the investigator or local medical monitor after their 
discussions will determine the ultimate classification of the adverse event.  Definite, probable 
and possible are considered to be related.  Not related and unlikely related are considered to be 
unrelated. 
 
Every effort should be made by the investigator to determine the existence of any pre-existing 
conditions (e.g., headache on Study Day 0 with onset prior to study vaccination) that must be 
taken into consideration when assessing causal relationship of an adverse event.  Pre-existing 
conditions should be recorded in the CRF as baseline history and substantiated by appropriate 
source documentation.  Intermittent conditions such as headaches may not be present on Study 
Day 0 but may represent an adverse event if the intensity or duration of the event is worse than 
usual following study vaccine. 
 

 
 
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5.6 
Definition of Adverse Reaction 
An adverse reaction is an adverse event judged to be related to study vaccine (see Section 5.3 for 
adverse event definition). 
 
Related adverse events (adverse reactions) are defined as those judged by the investigator or 
local medical monitor to be possibly, probably, or definitely related to study vaccine.  
 
5.7 
Solicited Adverse Events and Injection Site Reactions 
Solicited adverse events are events the subject is specifically asked about.  These adverse events 
are commonly observed soon after receipt of vaccines.  For this study, solicited adverse events to 
be collected include:  
Local: 
injection site pain, injection site erythema, injection site swelling 
Systemic: fatigue, myalgia, arthralgia, pyrexia, chills, nausea 
 
Solicited adverse events of local injection site reactions will be considered causally related to 
study vaccine (adverse reaction). 
 
The reporting period during which solicited adverse events will be evaluated is specified in 
Section 3.  The solicited adverse event reporting period begins with the day of vaccination.  All 
subjects will be provided a diary card to record temperature and information regarding 
occurrences of these specific events for the first 7 days of the solicited adverse event reporting 
period (see further details in Section 5.15).    
 
Adverse events and solicited adverse events including assessment of local injection site reactions 
will be assessed by the investigator for severity, causal relationship to the study vaccine, possible 
etiologies, and whether the event meets criteria as a serious adverse event (and therefore requires 
immediate notification to the medical monitor).   
 
Presence of ulceration and/or scarring at the site of injection and axillary lymphadenopathy of 
the injection arm(s) in adults and adolescents are considered to be adverse events that are 
causally related to the study vaccine and are of special interest, but do not constitute solicited 
adverse events.  Site of injection ulceration (including presence of drainage) and axillary 
lymphadenopathy will be actively evaluated during each clinic visit through the end of the study.  
These events will be recorded on the Adverse Event CRF. 
 
In the event that the clinical presentation meets the definition of a serious adverse event, an 
SAER form must be completed and the event reported per protocol instructions.  
  

 
 
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5.8 
Assessing "Seriousness" and Serious Adverse Events 
Seriousness refers to the outcome of an adverse event.  Seriousness is determined by both the 
principal investigator and the local medical monitor.  If either principal investigator or local 
medical monitor determines an event to be serious, it will be classified as such.  If any of the 
following outcomes are present then the adverse event is serious: 
 
• 
It results in death (i.e., the AE caused or led to the fatality).  Serious does not describe an 
event which hypothetically might have caused death if it were more severe. 
• 
It was immediately life-threatening (i.e., the AE placed the subject at immediate risk of 
dying.  It does not refer to an event which hypothetically may have led to death if it were 
more severe).  
• 
It required inpatient hospitalization or prolonged hospitalization beyond the expected length 
of stay.  Hospitalizations for scheduled treatments and elective medical/surgical procedures 
related to a pre-existing condition that did not increase in severity or frequency following 
receipt of study vaccine, are not serious by this criterion.  Hospitalization is defined as a 
hospital admission or an emergency room visit for a period greater than 24 hours.  
• 
It resulted in a persistent or significant disability/incapacity (i.e., substantial reduction of the 
subject’s ability to carry out activities of daily living). 
• 
It resulted in a congenital anomaly or birth defect (i.e., an adverse finding in a child or 
fetus of a subject exposed to the study vaccine prior to conception or during pregnancy). 
• 
Other medically important conditions that may not result in death, threaten life or require 
hospitalization (i.e., the AE does not meet any of the above serious criteria) may be 
considered a serious adverse event when, based on appropriate medical judgment, they may 
jeopardize the subject and require medical or surgical intervention to prevent one of the 
serious outcomes listed in these criteria (e.g., allergic bronchospasm requiring intensive 
treatment in an emergency room or at home; blood dyscrasias or convulsions that do not 
result in hospitalization, or the development of drug dependency or drug abuse). 
 
A serious adverse event is an adverse event meeting the outcome criteria for seriousness 
regardless of relationship to an administered medicinal product. 
 
5.9 
Assessing Expectedness 
Expected adverse events are adverse events consistent with the applicable product information 
provided by the sponsor (the investigator’s brochure for an investigational product).  The 
sponsor, in conjunction with the local medical monitor, determines expectedness.  If the 
assessment is that the adverse event is expected no further action is required.  If assessment is 
that the adverse event is unexpected, then the event may represent a SUSAR (see Sections 5.10 
and 5.11). 
 
5.10 
Definition of Suspected Unexpected Serious Adverse Reaction (SUSAR) 
When an adverse event is judged to be related to an investigational product, such as AERAS-
456, and also is judged to be serious and unexpected, it is a SUSAR (suspected unexpected 
serious adverse reaction) and is subject to expedited reporting. 
 

 
 
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5.11 
Reporting of Serious Adverse Events 
Serious adverse events, which include SUSARs, are reported to the sponsor, SSI, and to the 
World Wide Safety Center (administered by PPD, Inc.) for the entire study period (see 
protocol appendices).  SUSARs are reported even after the trial is over, if the sponsor, local 
medical monitor or principal investigator becomes aware of them.  The site will be provided 
with specific reporting procedures including the Adverse Event CRF and any supplemental 
reporting forms to be used.  Serious adverse events will be reported on the Adverse Event CRF 
using a recognized medical term or diagnosis that accurately reflects the event.   
 
Serious adverse events will be assessed by the investigator and the local medical monitor 
according to their roles (as described in Sections 5.1.1 and 5.1.3) for severity, causal relationship 
to the study vaccine, and expectedness.  The onset and resolution dates of the event and the 
action taken in response to the event will be documented.  If the event has not resolved by the 
final study visit, it will be documented as “ongoing” on the CRF, however, follow-up of the SAE 
must continue until SAE is resolved (or stabilization of the chronic conditions).  Information 
recorded on the CRF must be substantiated in the source documents. 
 
The SAE Report form completed for that event must be faxed by the principal investigator 
or his/her designee, within 1 business day of the clinical site becoming aware of the event, to 
the local medical monitor and to the World-Wide Safety Center at PPD.  The AE CRF 
should be completed with all information known at the time; the Supplemental SAE Report 
(paper form) should be completed and both forms faxed (even if all information concerning 
the event is not yet known) within 1 business day of awareness of the event.    
 
Fatal or life-threatening serious adverse events that the investigator suspects are related to 
the study vaccine should be telephoned to the local medical monitor immediately upon the 
investigator’s awareness of the event.  If the local medical monitor is required by the 
protocol or chooses to suspend enrollment s/he shall immediately create a written 
memorandum for record to the study file and telephonically notify the sponsor of this act. 
 
Contact information for all safety personnel are contained in the Team Contact List which 
will be stored on site in the Site Regulatory Binder and maintained by the study sponsor.   
 
Investigators must not wait to collect additional information to fully document the event before 
notifying the local medical monitor and World Wide Safety Center of a serious adverse event.  
The initial notification should include the following (at minimum):  
 
• 
Protocol number and name and contact number of the investigator 
• 
Subject ID number (and initials and date of birth, if available) 
• 
Date subject received study vaccine     
• 
Serious adverse event(s) and date of event onset 
• 
Current status of subject  
 
Aeras has authorized the PPD World Wide Safety Center to execute its responsibilities for safety 
report submission to the appropriate regulatory authorities within specific time periods of being 
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therefore, it is important that the investigator submits additional information requested as soon as 
it becomes available.   
 
Aeras will notify the SMC of all SUSARs within 3 working days of becoming aware of an event 
and will provide all follow-up information in a timely manner. 
 
5.12 
Other Events Requiring Immediate Reporting 
The investigator must report the following events by faxing the appropriate form to the local 
medical monitor within 1 business day of becoming aware of the event:   
• 
Withdrawal of consent during the study (Immediately Reportable Event Form) 
• 
Emergency unblinding (Immediately Reportable Event Form) 
• 
Protocol violation affecting the safety of a subject or involving the vaccination process 
(Immediately Reportable Event Form) 
• 
Adverse event thought to be an allergic reaction to the study vaccine (Immediately 
Reportable Event Form, unless event meets SAE criteria)  
• 
Any event that, in the opinion of the investigator, precludes further administration of the 
study vaccine (Immediately Reportable Event Form, unless meets SAE criteria)  
• 
Pregnancy (Immediately Reportable Event Form, and Pregnancy Notification Form) 
 
5.13 
Adverse Event Treatment, Follow-up, and Outcome 
Treatment of any adverse events will be determined by the investigator using his/her best 
medical judgment and according to current clinical practice guidelines.  All applied measures as 
well as follow-up will be recorded in the appropriate source documents and CRF.   
 
Adverse events will be considered resolved when the condition returns to normal or returns to 
the subject’s baseline status as established on Study Day 0, or when the condition has stabilized 
with the expectation that it will remain chronic. 
 
The investigator will continue follow-up on adverse events, including laboratory abnormalities 
and solicited adverse events, until the event has resolved, is otherwise satisfactorily explained, or 
the subject completes the study.  
 
Follow-up for serious adverse events must continue until resolution and the outcome reported to 
Aeras, even if this extends beyond the serious adverse event reporting period (i.e., after the final 
study visit).  For analysis purposes, the outcome for serious adverse events will be determined on 
the final study visit. 
 
Outcome of all adverse events will be classified as one of the following: 
• 
Resolved  
• 
Resolved with sequelae 
• 
Ongoing 
• 
Death 
 

 
 
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If at any time after completion of the serious adverse event reporting period (the final study visit) 
the investigator becomes aware of a serious adverse event that is suspected by the investigator to 
be related to the study vaccine, the event must be reported to Aeras. 
 
5.14 
Follow-up of Subjects Who Become Pregnant 
If a subject becomes pregnant during the study, she should be encouraged to continue in the 
study for safety follow-up.  Follow-up should continue for pregnancy outcome including 
premature terminations, and data are to be included in the safety reports.  
 
The investigator must notify the local medical monitor of the pregnancy immediately (even if 
already known to have resulted in spontaneous or elective abortion) by faxing the Pregnancy 
Notification Form to the medical monitor and PPD World Wide Safety Center.  At a minimum, 
the estimated date of conception, the estimated due date, and the date the subject received the 
study vaccine should be provided.   
 
If a subject becomes pregnant, she will not have any interventions done as normally mandated by 
the protocol.  The subject will undergo all other evaluations according to the Summary 
Schedule(s) of Evaluations.      
 
The health status of the mother and child, the date of delivery, and the child’s sex, birth weight 
and multiparity should be reported to the safety monitor after delivery, using a Pregnancy 
Notification Form.  If delivery occurs before the final study visit, the subject should continue to 
be followed for SAEs through the final study visit unless withdrawal of consent has occurred.  If 
delivery occurs after the final study visit, the investigator should attempt to maintain contact with 
the subject to obtain information after delivery.       
 
Pregnancy will not be recorded as an adverse event.  However, pregnancy outcomes will be 
recorded in the World Wide Safety Database.  If the pregnancy results in a miscarriage or a 
planned termination, the event (spontaneous abortion or elective abortion) will be reported as an 
adverse event or serious adverse event per the investigator's judgment (e.g., if it was a medically 
important or life-threatening event that meets the definition of a serious adverse event).  
 
A congenital anomaly or birth defect (i.e., an adverse finding in a child or fetus of a subject 
exposed to the study vaccine before conception or during pregnancy) must be reported as a 
serious adverse event. 
 
If it is determined after completion of the study that a subject became pregnant during the study, 
the subject should notify the investigator.  The pregnancy must be reported to the local medical 
monitor and PPD World Wide Safety Center and the status of the mother and child after delivery 
will be obtained and reported, when possible.     
 
5.15 
Subject Diary and Daily Temperature Monitoring 
Subjects will receive, and be instructed in, the operation of a daily adverse event diary and a 
digital thermometer to be used during the specified post-vaccination diary period after vaccine 

 
 
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administration.  The daily adverse event diary is a tool to help aid the PI and/or designee to 
engage in a conversation with the subject about any AEs that may have occurred between visits.  
During scheduled visits through the specified diary period after study vaccine administration the 
daily diary will be collected and reviewed by the principal investigator (or designee) at which 
time any clinical details required for complete understanding of the information recorded will be 
obtained.  Diaries not brought to the scheduled visit should be obtained before adverse event 
assessment can be performed and events discussed with the PI and/or designee.  Lost diaries will 
be reconstructed as possible on a new diary booklet by the subject from memory on the closest 
clinic visit and labeled as a 'reconstructed diary.'  Adverse events obtained from the diary, as 
determined by the PI or designee, will be recorded and completely assessed on case report forms. 
 
Any entry recorded by the subject on the diary card that differs from the opinion of the 
investigator’s evaluation of the event (e.g., the severity level of an event is changed after 
interviewing the subject) must be explained by notation in source documentation.   
 
In circumstances where subject illiteracy is a factor, study sites can choose to have a study staff 
member verbally administer the question on the diary card to obtain this data.  
 
6 
PAUSING AND STOPPING RULES 
These rules govern the pausing and stopping of study vaccine administration at any time during 
the study such as between doses for an individual, between individuals within a single dose 
group, and between dose groups. 
 
6.1 
Rules for Discontinuing Study Injections in an Individual Subject 
Administration of additional study injections will be discontinued for an individual subject if 
he/she has any of the following: 
 
• A laboratory parameter change which meets Grade 3 or Grade 4 severity, as defined in the 
protocol toxicity table, AND is judged to be possibly, probably, or definitely related to study 
injection 
• Fever (oral temperature ≥102.1˚F/39˚C) within 1 week following study injection which is 
associated with constitutional symptoms (myalgia, arthralgia, fatigue, headache, anorexia, 
hives, chills) AND is judged to be possibly, probably, or definitely related to study injection 
• Injection site reactogenicity that involves Grade 3 or Grade 4 induration, erythema, or 
tenderness as defined in the protocol toxicity table 
• Development of active tuberculosis 
• Development of autoimmune disease or immunosuppression 
• Receipt of investigational drug therapy or investigational vaccine (other than study injections 
received as part of this study) 
• Missed study injection 
• Any event that in the opinion of the principal investigator precludes administration of any 
further study injections 
• Pregnancy 

 
 
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6.2 
Safety Pausing Rules 
The principal investigator and/or local medical monitor will pause administration of study 
vaccine in the trial if: 
1. It is determined that a suspected unexpected serious adverse reaction (SUSAR) occurred 
OR  
2. It is determined that a serious adverse event OR a severe (toxicity Grade 3 or 4) adverse 
event (except for visually interpreted urine dipstick findings) OR an adverse event pattern of 
concern occurred AND is judged to be POSSIBLY, PROBABLY or DEFINITELY related to 
study vaccine  
 
If the principal investigator and/or local medical monitor pauses administration of study vaccine 
in the study, he or she will record this in a memorandum to the study file and, within 24 hours, 
notify Aeras who will then convene the SMC.  If additional clinical information becomes 
available that reduces the principal investigator’s assessment of causality, severity or toxicity 
grade such that study pausing is no longer required, then the principal investigator, with the 
agreement of the local medical monitor, may resume study vaccine administration, record this in 
a memorandum to the study file, and notify the sponsor within 24 hours. 
 
Since the global medical monitor is unblinded and reviews data from all Aeras trials, he or she 
may become aware of an adverse event pattern of concern not appreciated by the principal 
investigator or local medical monitor.  If the global medical monitor independently determines 
that an adverse event pattern of concern that is judged to be POSSIBLY, PROBABLY or 
DEFINITELY related to study vaccine has occurred, the global medical monitor will pause 
administration of study vaccine in the trial, record the study pause in a memorandum to the study 
file, and notify, within 24 hours, the local medical monitor, principal investigator and sponsor 
who will convene the SMC.  
 
6.3 
Safety Stopping Rules 
The rules for stopping further enrollment and study vaccine administration by the SMC are 
below: 
• 
Death in any subject unless the SMC determines it is UNRELATED to AERAS-456 
• 
An anaphylactic reaction to AERAS-456 in any subject 
• 
A severe (Toxicity Grade 3 or 4) or serious adverse event (except for Grade 3 local injection 
site reactions and visually interpreted urine dipstick findings) unless the SMC determines it is 
UNRELATED to AERAS-456 
• 
A potentially life-threatening adverse event event unless the SMC determines it is 
UNRELATED to AERAS-456 
• 
A pattern of significant symptoms, physical findings or laboratory abnormalities (adverse 
events) that, although individually minor, collectively represent a safety concern in the 
opinion of the investigator or the medical monitor and are judged by the SMC to be 
DEFINITELY, PROBABLY or POSSIBLY related to AERAS-456 
 

 
 
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The SMC may recommend resumption of enrollment if it judges that changes to the study 
protocol will eliminate or greatly reduce the safety risks specified in the stopping rules.   
 
If a decision to resume study enrollment and study vaccine administration is made the SMC will 
record their judgment in a memorandum to the study file and notify Aeras, within 24 hours.  The 
SMC memorandum will be forwarded to the medical monitors and principal investigators.  The 
clinical site will be allowed to resume activities upon receipt of written notification from Aeras.   
 
7 
STATISTICAL CONSIDERATIONS 
The planned statistical analyses for this study are outlined below.  A detailed statistical analysis 
plan will be created and finalized prior to database lock and preparation of preliminary unblinded 
review, and for preparation of the final study report (see Section 7.7). 
 
7.1 
Subject Populations 
The safety population will consist of all subjects who received at least one dose of study vaccine.  
 
7.2 
Demographics and Protocol Compliance 
Demographic parameters (age, gender, and race) and other baseline characteristics will be 
summarized by treatment group for all subjects in the safety population. 
 
As subject enrollment to each treatment group will be conducted based on timing of completion 
of study eligibility requirements, any imbalance in baseline characteristics between study groups 
will also be examined.  
 
Listings of subjects who missed any dose of study vaccine and of subjects with protocol 
deviations (to be defined in the statistical analysis plan) will be provided. 
 
7.3 
Efficacy Analyses 
There will be no efficacy analyses performed in this study.  
 
7.4 
Immunogenicity and Other Immunology Analyses 
All immunogenicity analyses will be based on subjects who received at least one dose of study 
vaccine.  Immunogenicity will be summarized for all time points as collected and as available.  
No imputation for missing data will be performed.  Data will be transformed as appropriate prior 
to analysis.   
 
Additional analyses may be performed based on subjects who complete all scheduled 
vaccinations, on LTBI status, and the magnitude of QFT positivity at study screening.  
 

 
 
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7.4.1 
Required Immunology Analyses 
The primary variables of interest for assessment of immune response to vaccine will be the 
percentage of CD4+ and CD8+ T cells that produce any of selected Th-1 and Th-2 cytokines.  
The immunogenicity of AERAS-456 in this study will be evaluated by PBMC ICS and IFN-γ 
ELISpot.  Due to the exploratory nature of immunogenicity endpoints, the primary evaluation 
will be based on descriptive summaries and no formal hypothesis testing will be performed. 
 
7.4.1.1 PBMC ICS Assay 
Assessment of immune response by PBMC ICS will be based on the percentage of cytokine 
producing CD4+ and CD8+ T cells in response to stimulation with H56 protein antigen and 1 of 
3 antigenic peptide pools (Ag85B, ESAT-6, and Rv2660c) derived from and representing the 
entire amino acid sequences of the mycobacterial antigens Ag85B, ESAT-6 and Rv2660c, 
respectively.  ICS parameters will include cytokines such as IFN-γ, IL-2 and TNF-α, and may 
include other cytokines to identify T cells of specific functionality (such as IL-17).  Additional 
cell surface markers, cytokines, or functional markers may also be analyzed.  Median DMSO-
subtracted cytokine responses and associated 95% confidence intervals (CIs) or other descriptive 
statistics as appropriate will be used to summarize the percentage of antigen-specific CD4 and 
CD8 T cell responses by study group and treatment assignment at all available time points.  
Summaries of T cell response will be presented by T cell type (CD4 and CD8), by stimulation 
antigen(s), and by cytokine profile.  Summaries will include immune response at all available 
pre- and post-vaccination immunology time points.  Exploratory assessment of antigen specific 
CD4+ and CD8+ T cell responses within the LTBI(+) groups (i.e., Groups 3 and 4) in relation to 
the magnitude of QFT positivity at study screening may also be performed. 
 
7.4.1.2 IFN-γ ELISPOT 
Assessment of immune response by ELISpot will be based on the number of IFN-γ spot-forming 
units (SFU) per 106 PBMC in response to stimulation with H56 antigen or 1 of 3 antigenic 
peptide pools (Ag85B, ESAT-6, and Rv2660c) derived from and representing the entire amino 
acid sequences of the mycobacterial antigens Ag85B, ESAT-6, and Rv2660c, respectively.  
Geometric mean and associated 95% CIs will be used to summarize the number of IFN-γ SFU 
per 106 PBMC by study group and treatment assignment at all available time points.  Summaries 
of the number of IFN-γ SFU per 106 PBMC will be presented by stimulation antigen(s) and will 
include immune response at all available pre- and post-vaccination immunology time points. 
 
7.4.1.3 QuantiFERON-TB Gold Test 
Results for the QuantiFERON-TB Gold test at each available time point will be summarized 
using subject count (percentage) summaries and descriptive statistics. 
 
7.4.2 
Exploratory Assays 
7.4.2.1 12 Hour Whole Blood ICS Assay 
Assessment of immune response by 12 hour whole blood ICS will be based on the percentage of 
cytokine producing CD4 and CD8 T cells in response to stimulation with H56 protein antigen 

 
 
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and 1 of 3 antigenic peptide pools (Ag85B, ESAT-6, and Rv2660c) derived from and 
representing the entire amino acid sequences of the mycobacterial antigens Ag85B, ESAT-6 and 
Rv2660c, respectively.  Median DMSO-subtracted cytokine responses and associated 95% CIs 
will be used to summarize the percentage of antigen-specific CD4+ and CD8+ T cell responses 
by study group at all available time points.  Summaries of T cell response will be presented by T 
cell type (CD4 and CD8), by stimulation antigen(s), and by cytokine profile.  Summaries will 
include immune response at all available pre- and post-vaccination immunology time points. 
 
7.4.2.2 RNA Analysis 
As an exploratory endpoint for examining RNA gene expression signatures, RNA expression 
will be performed.  RNA will be isolated from whole blood.  Signatures of gene expression 
changes after vaccination may be determined using computational systems biology tools.  
 
7.4.2.3 Antibody ELISA 
Geometric mean titers for antibody ELISA to Ag85B, ESAT-6, and Rv2660c and associated 
95% CIs will be summarized at all pre- and post-vaccination immunology time points through 
Study Day 292. 
 
7.4.2.4 BioVacSafe Project 
Details of the analysis for the BioVacSafe Project are in Appendix E. 
 
7.5 
Safety Analyses 
Safety analyses will be performed using the safety population as defined in Section 7.1.  Count 
(percentage) summaries will be presented by study group for all subjects in the safety population. 
 
7.5.1 
Adverse Events 
The safety profile of AERAS-456 will be described by study group and treatment assignment.  
The primary variable for evaluation of the safety profile will be the number and percentage of 
unsolicited and solicited adverse events recorded at all available post-vaccination time points.  
For all presentations of adverse events, additional summaries based on reporting period of 
adverse events following each study vaccination may also be presented.  
 
The number (percentage) of subjects with adverse events will be summarized by MedDRA 
system organ class (SOC) and preferred term (PT).  Additional summaries will present the 
number (percentage) of subjects with adverse events by severity and by relationship to study 
vaccine; each subject will be counted once per preferred term at the greatest severity or most 
related state recorded for that term. 
 
Separate summaries of the number (percentage) of subjects with solicited adverse events will 
also be presented.  Solicited adverse events will also be summarized by severity and relationship 
to study vaccine; each subject will be counted once per preferred term at the greatest severity or 
most related state recorded for that term. 

 
 
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In addition, dose-safety curves may be produced to examine the proportion of subjects who 
experience adverse events by study group and treatment assignment.  
 
Serious adverse events will be recorded through the final study visit for all subjects.  Listings 
will be provided for subjects with serious adverse events. 
 
Listings will be provided for subjects who have discontinued prematurely due to an adverse 
event. 
 
The number (percentage) of subjects with post-vaccination clinical laboratory values or vital sign 
values recorded as newly abnormal following study vaccination and meeting toxicity mild 
criteria (Grade 1) or above as specified in the Toxicity Table (Appendix D) will be tabulated at 
each post-vaccination time point and overall.  Clinical laboratory and vital sign abnormalities 
will also be reported as adverse events and will be included in the summary of adverse events. 
 
Exploratory assessment of adverse events in relation to the degree of QFT positivity at study 
entry may also be performed. 
 
7.5.2 
Clinical Laboratory and Vital Sign Parameters 
For each clinical laboratory parameter and vital sign parameter specified in the protocol, 
summary statistics for continuous parameters may be presented by study group for all pre- and 
post-vaccination assessments and for change from pre-vaccination to post-vaccination 
assessments. 
 
7.6 
Sample Size Considerations 
The sample size for this study was selected as adequate for a review of the safety profile of 
AERAS-456 in HIV-negative adults with and without LTBI, rather than for statistical reasons.  
Given 12 and 15 subjects in individual AERAS-456 dosing groups, the study will have an 80% 
probability of detecting at least 1 specified event which occurs at a rate of 12.5% and 10.0%, 
respectively.  If no such events are observed among 12 and 15 subjects receiving active study 
vaccine, an approximation to the upper one-sided 95% confidence bound on the rate of 
occurrence for that event would be 22% and 18%, respectively.  
 
7.7 
Plan for Statistical Summaries and Analyses 
7.7.1 
Preliminary Data Reviews 
A preliminary unblinded review of ICS immune response and safety data, in conjunction with 
safety and immunogenicity data from study C-032-456, will be conducted by the sponsor 
following completion of Study Day 84 visit for all subjects in Group 1.  The database will be 
locked through Study Day 84 and the study will be unblinded by treatment group for the 
preparation of this review.  The purpose of this review is to obtain preliminary immunogenicity 
and safety data for use in the decision-making process regarding vaccine dose level to be 
employed in the second phase of this study.  The criteria for dose-selection will be specified in a 

 
 
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statistical analysis plan to be finalized prior to the unblinded review.  This review will include 
adverse events and serious adverse events through Study Day 84, and ICS and ELISpot immune 
response data, through Study Day 84 for Group 1.  The selected dose, in conjunction with the 
unblinded safety and immunogenicity data, will be submitted to the SMC for review.  Study 
procedures and monitoring practices will not change following this preliminary review.  No 
study stopping rules will be stipulated.  Statistical summaries for this preliminary analysis will be 
prepared by a statistician who is not the study statistician and who is not involved in the study 
conduct.  Data identified for inclusion in the safety summaries will be cleaned prior to statistical 
analysis.  Personnel at the research site and at the immunology laboratory will remain blinded to 
all study results and to treatment assignments until after the Study Day 292 data have been 
collected, reviewed and queries resolved.   
 
7.7.2 
Final Study Report 
The final study report will include all available safety data, immunogenicity data, clinical 
assessments, and concomitant medications through the final study visit for all Groups.  The 
database will be locked prior to preparation of the final study report when all of the above data 
have been entered, reviewed, and all queries related to the data have been addressed.   
 
Modifications or additions to the analyses described above will be included in the relevant 
statistical analysis plan(s).  Any decisions to deviate from the planned analyses described in the 
protocol and in the statistical analysis plan will be described in detail in the final study report. 
 
7.8 
Computer Methods 
Statistical analyses will be performed using SAS® version 9.1 or later under a Windows 
operating system. 
 
8 
DATA COLLECTION, MONITORING, AND RECORD RETENTION 
For the purpose of monitoring and auditing the study, source documentation will consist of 
existing medical records and/or study records developed and maintained by the investigator.  
Any source document templates provided by Aeras or its designee will serve as supplements to 
the subject’s study record.  
 
Data recorded on source documents will be transcribed onto case report forms (CRFs) provided 
by Aeras or entered using electronic case report forms (eCRFs) using an Electronic Data Capture 
(EDC) system provided and approved by Aeras.  Completed, original CRFs will be retrieved by 
Aeras or its designee and a copy of each completed CRF will be retained at the clinical site as 
part of the study records.   
 
The study will be monitored regularly by Aeras or its designee throughout the study period.  For 
studies of unapproved investigational products, all study records (source documents, signed 
informed consent forms, copies of CRFs, IRB/IEC correspondence and approval letters, study 
vaccine management records) will be kept secured for a minimum of 2 years following the 
marketing of the investigational product or for 2 years after the discontinuation of the IND (or 

 
 
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CTA, etc.).  The investigator will ensure that study records are not disposed of or removed from 
the clinical site without prior notification and approval from Aeras or its designee. 
 
9 
HUMAN SUBJECTS 
9.1 
Ethics and Regulatory Considerations 
The study will be conducted according to the ethical principles set forth in the Declaration of 
Helsinki, ICH-GCP, Protection of Human Subjects (21 CFR 50), Institutional Review Boards 
(21 CFR 56), Obligations of Clinical Investigators (21 CFR 312), and local regulatory 
requirements.  
 
The protocol and informed consent form will be reviewed and approved by the IRB or IEC of 
each participating clinical site prior to any protocol-specified procedures being conducted.  The 
investigator will inform the IRB/IEC as to the progress of the study on a regular basis, or at 
minimum, once a year.  Aeras will also have an independent IRB review and approval of the 
protocol and informed consent form. 
 
Written informed consent will be obtained from each subject prior to any protocol-specified 
procedures being conducted.   
 
To maintain confidentiality, subject identification numbers will be used to identify the subject’s 
laboratory specimens, source documents, CRF, study reports, etc.  All study records will be 
maintained in a secured location.  Clinical information will not be released without written 
permission from the subject except as necessary for monitoring or auditing of the study by Aeras 
or its designee or applicable regulatory authorities. 
 
9.2 
Institutional Review Board or Independent Ethics Committee 
All the documents the IRB/IEC may need to fulfill its responsibilities, such as the protocol, 
protocol amendments, information concerning subject recruitment, payment or compensation 
procedures, etc., will be submitted to the IRB/IEC by the investigator.  The IRB’s/IEC’s written, 
unconditional approval of the study protocol and the informed consent form will be in the 
possession of the investigator/clinical site staff prior to the conduct of any protocol-specified 
procedures.  
 
Modifications to the protocol may not be implemented without prior written IRB/IEC approval 
except when necessary to eliminate immediate hazards to the subjects or when the modification 
involves only logistical or administrative aspects of the study.  Such logistical or administrative 
modifications will be submitted to the IRB/IEC in writing by the investigator, and a copy of the 
correspondence to verify the submission will be maintained.   
 
The investigator must inform the IRB/IEC of modifications to the informed consent form or any 
other documents previously submitted for review/approval, of any new information that may 
adversely affect the safety of the subjects or the conduct of the study, provide an annual update 
and/or request for re-approval, and advise the IRB/IEC when the study has been completed.  

 
 
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Any documents or forms to be provided to the subject (e.g., information cards, form letters from 
the investigator), and all forms of study advertising (flyers, brochures, print advertisements, radio 
or television scripts, etc.) must be approved by Aeras or its designee prior to the clinical site 
submitting them to the IRB/IEC.  Approval from the IRB/IEC must be obtained prior to 
providing the documents or forms to the subject. 
 
9.3 
Informed Consent 
The principles of informed consent in the current edition of the Declaration of Helsinki and ICH-
GCP/21 CFR 50.25 should be implemented prior to any protocol-specified procedures being 
conducted.  Informed consent will be documented in writing on a consent form approved by the 
IRB/IEC. 
 
All relevant information should be provided in both oral and written form in a way that is 
understandable to the subject.  Ample time and opportunity must be given for the subject to 
inquire about details of the study.  The written consent document will embody the elements of 
informed consent as described in the Declaration of Helsinki and will also comply with local 
regulations.    
 
The investigator or the investigator’s qualified designee will explain the nature of the study and 
inform the subject that participation is voluntary and that the subject can leave the study at any 
time, without penalty or loss of benefits to which they are otherwise entitled.  The subject must 
be informed about the study’s purpose including why the subject was selected to participate, 
study goals, expected benefits and risks, potential risks, and that some potential risks are 
unforeseeable.  The subject must be provided with a description of the procedures and the 
estimated duration of time required for participation in the study, as well as alternative 
interventions or courses of treatment, if applicable.    
 
The subject must receive an explanation as to whether any compensation and any medical 
treatments are available if injury occurs and, if so, what they are, where further information may 
be obtained, and who to contact in the event of a study-related injury.  Subjects must be told who 
to contact for answers to any questions related to the study.  The extent of the confidentiality of 
subject records must be defined and the subject must be informed that applicable data protection 
legislation applies. 
 
The subject must be informed that the monitor(s), auditor(s), IRB/IEC members, and the 
applicable regulatory authorities will be granted direct access to the subject’s original study 
medical records for verification of protocol-specified procedures and/or data, without violating 
the confidentiality of the subject to the extent permitted by the applicable laws and regulations.  
The subject must be informed that his/her signature on the informed consent form indicates that 
he/she has decided to participate in the study, having read and discussed the information 
presented.  
 

 
 
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Modifications made by the investigator to an informed consent form template provided to the 
investigator by Aeras or its designee will be reviewed and approved by Aeras or its designee 
prior to being submitted to the IRB/IEC.   
 
The original, signed informed consent form for each subject will be maintained by the 
investigator as part of the subject’s study records.  A copy of the signed informed consent form 
will be provided to each subject. 
 
10 
STUDY COMPLETION 
At the discretion of Aeras, all materials and supplies provided to the investigator will be returned 
or disposed of in compliance with local regulatory requirements upon authorization from Aeras, 
upon study completion.  The investigator or designated clinical site staff will notify the IRB/IEC 
when the study has been completed. 
 
11 
PUBLICATIONS 
The final study report will be made available to the principal investigator and SSI for purposes of 
publications.  The principal investigator, SSI personnel, and study staff must send all 
manuscripts, abstracts, and presentations using data from this study to Aeras for review prior to 
their submission.  Aeras and SSI reserve the right to delete any part or parts of such materials 
deemed to be confidential or proprietary. 
 
No data from the clinical trial may be published, presented or communicated, except to 
regulatory authorities, prior to the release of the study report, unless approved by Statens Serum 
Institut in writing.  
 
12 
CHANGES IN THE PROTOCOL 
The protocol may not be modified without written approval from Aeras.  All changes to the 
protocol must be submitted to the IRB/IEC and must be approved by the IRB/IEC prior to their 
implementation.  
 
12.1 
Changes from Version 1.0 to Version 2.0 (Amendment 1; 10/May/2013) 
 
Section Number 
(Title) 
Version 1.0 
Version 2.0 
Title page 
Change/rationale:  The name of the sponsor’s authorized representative was changed. 
Robert Walker, MD 
Vice President, Clinical Development 
Ann Ginsberg, MD, PhD 
Vice President, Scientific Affairs, and 
Acting  Chief Medical Officer 
Study Abstract 
Change/rationale:  The study abstract was updated to reflect the changes described 
below. 
Section 1.6 
(Rationale for 
Study) 
Change/rationale:  Text was added to this section to describe the rationale for 
measuring QFT at multiple time points during the study. 
Not present 
Due to the present lack of a biomarker for 

 
 
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Section Number 
(Title) 
Version 1.0 
Version 2.0 
protection or surrogate marker for risk of 
TB disease, TB vaccine Phase IIb efficacy 
studies are tremendously costly and time 
consuming.  For this reason there is a need 
to carefully select which vaccines are 
chosen to proceed to Phase IIb.  Recent 
evidence suggests that the BCG vaccine is 
able to prevent Mtb infection as detected 
by the gamma interferon release assay 
(IGRA) (Eisenhut et al 2009).  Thus the 
ability to further prevent infection with 
Mtb could be a positive selection criterion 
for a novel TB vaccine.  Studies using 
prevention of TB infection as a biological 
outcome can be done with a much lower 
number of study participants and shorter 
study duration than prevention of TB 
disease efficacy studies.  In line with this 
thinking, a prevention of Mtb infection 
study using QFT is currently in planning, 
and AERAS-456 is one of the vaccine 
candidates being considered for inclusion 
in the trial.  One issue specific to the 
AERAS-456 vaccine is that it contains the 
Mtb antigen ESAT-6, which is an IFN-γ 
inducer in the QFT assay used for 
diagnosis of Mtb infection.  This may 
potentially cause false positive QFT 
responses.  Data from human TB vaccine 
studies so far show that QFT responses 
wane relatively quickly after vaccination 
with an ESAT-6 containing vaccine.  Thus 
data suggests that this issue may very well 
be overcome (van Dissel et al 2011).  
However, more data are needed on the 
kinetics of QFT responses after AERAS-
456 vaccination.  QFT responses will 
therefore be measured at baseline, at 2 
time points during the study, and at the end 
of the study in LTBI (-) subjects. 
Section 2.1 
(Objectives) 
Change/rationale:  A new secondary objective was added regarding evaluation of the 
kinetics of QFT responses. 
Not present 
• To evaluate kinetics of QFT responses 
following AERAS-456 vaccination in 
HIV-negative, BCG-vaccinated adults 
without LTBI and with no history or 
evidence of TB disease. 

 
 
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Section Number 
(Title) 
Version 1.0 
Version 2.0 
Section 3.1 
(Schedule of 
Subject 
Evaluations) 
Change/rationale:  In order to determine the degree to which AERAS-456 vaccination 
influences QFT response, additional measurements of QFT were added at Study Days 70 
and 146 for Group 1, and at Study Days 126 and 210 for Group 2.  In addition, a footnote 
was added to Table 3-1 to indicate that the evaluations for Study Day 146 for Group 3 
and Study Day 210 for Group 4 may be conducted by phone call. 
Section 3.2.2 
(Screening) 
Section 3.3 
(Study Entry and 
Randomization) 
Section 3.4 
(Blinding) 
Section 3.4.1 
(Unblinding for 
Clinical 
Emergencies) 
Change/rationale:  This section was revised to reflect that an IWRS will be used. 
Section 3.2.4 
(Exclusion 
Criteria) 
Change/rationale:  Exclusion criterion #2 was revised to change ‘axillary temperature’ 
to ‘oral temperature’ 
2. Axillary temperature ≥37.5°C at the 
time of randomization. 
2. Oral temperature ≥37.5°C at the time of 
randomization. 
Section 3.6.2.2 
(Clinical 
Assessments and 
Laboratory Tests) 
Change/rationale:  This section was revised to reflect the addition of QFT 
measurements, and that visits at Study Day 146 (Group 3) and Study Day 210 (Group 4) 
may be conducted by phone call, as described for Section 3.1. 
Section 7.7.1 
(Preliminary Data 
Reviews) 
Change/rationale:  This section was revised to reflect changes to parameters that will be 
reviewed through Study Day 84 for subjects in Group 1. 
A preliminary unblinded review of ICS 
immune response and safety data, in 
conjunction with safety and 
immunogenicity data from study C-032-
456, will be conducted by the sponsor 
following completion of Study Day 84 
visit for Group 1.  The database will be 
locked and the study will be unblinded by 
treatment group for the preparation of this 
review.  The purpose of this review is to 
obtain preliminary immunogenicity and 
safety data for use in the decision-making 
process regarding vaccine dose level to be 
employed in the second phase of this 
study.  The criteria for dose-selection will 
be specified in a statistical analysis plan to 
be finalized prior to the unblinded review.  
This review will include all safety data, 
ICS immune response data, clinical 
assessments, and concomitant medications 
through Study Day 84.  The selected dose, 
in conjunction with the unblinded safety 
and immunogenicity data, will be 
submitted to the SMC for review.  Study 
procedures and monitoring practices will 
not change following this preliminary 
A preliminary unblinded review of ICS 
immune response and safety data, in 
conjunction with safety and 
immunogenicity data from study C-032-
456, will be conducted by the sponsor 
following completion of Study Day 84 
visit for all subjects in Group 1.  The 
database will be locked through Study Day 
84 and the study will be unblinded by 
treatment group for the preparation of this 
review.  The purpose of this review is to 
obtain preliminary immunogenicity and 
safety data for use in the decision-making 
process regarding vaccine dose level to be 
employed in the second phase of this 
study.  The criteria for dose-selection will 
be specified in a statistical analysis plan to 
be finalized prior to the unblinded review.  
This review will include adverse events 
and serious adverse events through Study 
Day 84, and ICS and ELISpot immune 
response data, through Study Day 84 for 
Group 1.  The selected dose, in 
conjunction with the unblinded safety and 
immunogenicity data, will be submitted to 
the SMC for review.  Study procedures 

 
 
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Section Number 
(Title) 
Version 1.0 
Version 2.0 
review.  No decision cut points or stopping 
rules will be stipulated.  No formal 
hypothesis testing will be performed.....   
and monitoring practices will not change 
following this preliminary review.  No 
study stopping rules will be stipulated..... 
Appendix A 
(Detailed 
Description of 
Study Visits) 
Change/rationale:  This section was revised to reflect the addition of QFT 
measurements as described for Section 3.1. 
 
 

 
 
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13 
REFERENCES 
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Belisle JT, Vissa VD, et al.  Role of the major antigen of Mycobacterium tuberculosis in cell 
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Betts JC, Lukey PT, Robb LC, McAdam RA, Duncan K.  Evaluation of a nutrient starvation 
model of Mycobacterium tuberculosis persistence by gene and protein expression profiling.  Mol 
Microbiol.  2002;43:717-731. 
Brandt L, Oettinger T, Holm A, Andersen P.  Key epitopes on the ESAT-6 antigen recognized in 
mice during the recall of protective immunity to Mycobacterium tuberculosis.  J Immunol.  
1996;157:3527-3533. 
Brandt L, Elhay M, Rosenkrands I, Lindblad E, Andersen P.  ESAT-6 subunit vaccination 
against Mycobacterium tuberculosis.  Infect Immun.  2000;68:791-795. 
Chen CY, Huang D,  Wang RC, et al.  A critical role for CD8 T cells in a nonhuman primate 
model of tuberculosis.  PLoS Pathog.  2009;5(4):e1000392.  
Darrah PA, Patel DT, De Luca PM, et al.  Multifunctional TH1 cells define a correlate of 
vaccine-mediated protection against Leishmania major.  Nat Med.  2007;13:843-850. 
Eisenhut M, Paranjothy S, Abubakar I, et al. BCG vaccination reduces risk of infection with 
Mycobacterium tuberculosis as detected by gamma interferon release assay.  Vaccine.  
2009;27(44):6116-20. 
Feller L, Wood NH, Chikte UM, Khammissa RA, Meyerov R, Lemmer J.  Tuberculosis part 3: 
HIV-tuberculosis co-infection.  SADJ  2009;64(8):352-4. 
Govender L, Abel B, Hughes EJ, et al.  Higher human CD4  T cell response to novel 
Mycobacterium tuberculosis latency associated antigens Rv2660 and Rv2659 in latent infection 
compared with tuberculosis disease.  Vaccine.  2010;29:51-57. 
Havlir D, Barnes PF.  Tuberculosis in Patients with Human Immunodeficiency Virus Infection.  
N Engl J Med.  1999;340:367-373. 
Horwitz MA, Harth G, et al.  Recombinant bacillus calmette-guerin (BCG) vaccines expressing 
the Mycobacterium tuberculosis 30-kDa major secretory protein induce greater protective 
immunity against tuberculosis than conventional BCG vaccines in a highly susceptible animal 
model.  Proc Natl Acad Sci USA.  2000;97(25):13853-8. 

 
 
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Lin PL, Dietrich J, Tan E, et al.  The multistage vaccine H56 boosts the effects of BCG to protect 
cynomolgus macaques against active tuberculosis and reactivation of latent Mycobacterium 
tuberculosis infection.  J Clin Invest.  2012;122:303-314. 
Mattila JT, Diedrich CR, Lin PL, Phuah J, Flynn JL.  Simian immunodeficiency virus-induced 
changes in T cell cytokine responses in cynomolgus macaques with latent Mycobacterium 
tuberculosis infection are associated with timing of reactivation.  J Immunol.  2011;186(6):3527-
37. 
Muttucumaru DG, Roberts G, Hinds J, Stabler RA, Parish T.  Gene expression profile of 
Mycobacterium tuberculosis in a non-replicating state.  Tuberc (Edinburgh, Scotland).  
2004;84:239-246. 
Pollock JM, Andersen P.  Predominant recognition of the ESAT-6 protein in the first phase of 
infection with Mycobacterium bovis in cattle.  Infect Immun.  1997;65:2587-2592 
Ravn P, Demissie A, Eguale T, et al.  Human T cell responses to the ESAT-6 antigen from 
Mycobacterium tuberculosis.  J Infect Dis.  1999;179:637-645. 
Rustad TR, Sherrid AM, Minch KJ, Sherman DR.  Hypoxia:  a window into Mycobacterium 
tuberculosis latency.  Cell Microbiol.  2009;11:1151-1159 
Scriba TJ, Kalsdorf B, Abrahams DA, et al.  Distinct, specific IL-17- and IL-22-producing CD4+ 
T cell subsets contribute to the human anti-mycobacterial immune response.  J Immunol.  
2008;180:1962-1970. 
Ulrichs T, Munk ME, Mollenkopf H, et al.  Differential T cell responses to Mycobacterium 
tuberculosis ESAT-6 in tuberculosis patients and healthy donors.  Eur J Immunol.  
1998;28:3949-3958. 
van Dissel JT, Arend SM, Prins C, et al.  Ag85B-ESAT-6 adjuvanted with IC31 promotes strong 
and long-lived Mycobacterium tuberculosis specific T cell responses in naive human volunteers.  
Vaccine.  2010;28:3571-3581. 
van Dissel JT, Soonawala D, Joosten SA, et al.  Ag85B-ESAT-6 adjuvanted with IC31(R) 
promotes strong and long-lived Mycobacterium tuberculosis specific T cell responses in 
volunteers with previous BCG vaccination or tuberculosis infection.  Vaccine.  2011;29:2100-
2109. 
WHO Expert Committee on Tuberculosis, Ninth Report.  1974.  p.22, available at 
http://whqlibdoc.who.int/trs/WHO_TRS_552.pdf. 
Wiker HG, Nagai S, et al.  A family of cross-reacting proteins secreted by Mycobacterium 
tuberculosis.  Scand J Immunol.  1992;36(2):307-19. 

 
 
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Winkler S, Necek M, Winkler H, et al.  Increased specific T cell cytokine responses in patients 
with active pulmonary tuberculosis from Central Africa.  Microbes Infect.  2005;7:1161-1169. 
Wood R, Liang H, Wu H, et al.  Changing prevalence of TB infection with increasing age in high 
TB burden townships in South Africa.  Int J Tuberc Lung Dis.  2010;14(4):406-412 

 
 
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APPENDIX A 
Detailed Description of Study Visits 
 
Screening    
Unless otherwise noted, all screening evaluations must be completed within 21 days prior to 
Study Day 0.  More than one clinic visit may be required to complete the screening process.  The 
screening process will include: 
1. Written informed consent  
2. Assignment of screening number 
3. Medical history (confirm methods of contraception for females) 
4. Physical examination including vital signs (blood pressure, pulse, and temperature), height, and 
weight 
5. Blood collection for: 
• 
Hepatitis B & C 
• 
HIV-1 
• 
QuantiFERON®-TB Gold In Tube (process per package insert) 
• 
Serum chemistry: includes ALT, AST, total bilirubin, ALP, and creatinine 
• 
Hematology: includes hemoglobin, hematocrit, white blood cell count, absolute lymphocyte 
count, absolute neutrophil count, and platelet count 
6. Urine collection for: 
• 
Urine β-hCG (pregnancy test) for all females of child-bearing potential 
• 
Illicit drug screen 
• 
Urinalysis: includes dipstick, microscopic analysis, and urine hemosiderin 
7. Confirmation that study entry eligibility criteria are met 
 
Study Day 0 
Pre-vaccination: 
1. Confirm absence of acute illness and significant symptomatic infection 
2. Update medical history including use of medications 
3. Examine planned SD0 injection site  
4. Vital signs: 
• 
Blood pressure 
• 
Pulse 
• 
Oral temperature, must be < 37.5°C 
5. Blood collection for (refer to Aeras Specimen Management Manual): 
• 
Serum chemistry: includes ALT, AST, total bilirubin, ALP, and creatinine 
• 
Hematology: includes hemoglobin, hematocrit, white blood cell count, absolute lymphocyte 
count, absolute neutrophil count, and platelet count 
• 
Whole blood for 12 hour ICS assay 
• 
PBMC for ICS and ELISpot assay 
• 
PBMC for future validation/exploratory 
• 
Serum for antibody ELISA 
• 
Whole blood for RNA analysis and BioVacSafe assay 
6. Urine collection for: 
• 
Urinalysis: includes dipstick, microscopic analysis, and urine hemosiderin 
7. Confirm continued eligibility for vaccination including negative β-hCG (urine pregnancy test) for 
all females of child-bearing potential (must be done within 24 hours prior to vaccination) 
8. Assign subject ID number (randomize) 

 
 
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9. Complete Vaccine Request Form; send to study vaccine manager for preparation of study vaccine 
 
Vaccination: 
10. Inspect syringe and vaccine volume, confirm subject identification number, check subject initials, 
date and time of dose preparation  
11. Administer study vaccine into deltoid area by intramuscular (IM) injection.  Record date and time 
of vaccination and which arm was vaccinated 
 
Post-vaccination: 
12. Monitor subject for acute adverse events for at least 60 minutes after vaccination 
13. Obtain 30±5 minutes and 60±10 minutes post-immunization vital signs (blood pressure, pulse, 
oral temperature) 
14. Examine site of SD0 injection 60±10 minutes post-immunization 
15. Record any adverse events, including solicited and serious adverse events (including concomitant 
medications) reported 
16. Distribute and review diary card and diary card instructions with subject 
 
  
Study Day 3 (Study Day 0 visit date + 3 days) 
1. Review/collect diary card entries for completeness and accuracy 
2. Record any adverse events including solicited and serious adverse events occurring since 
previous evaluation; record any concomitant medications taken associated with treatment of the 
adverse event  
3. Examine site of SD0 injection 
4. Blood collection for RNA analysis and BioVacSafe assay 
 
Study Day 7 
Allowable window for clinic visit is 7 ±1 day from Study Day 0 visit date. 
1. Review/collect diary card entries for completeness and accuracy 
2. Record any adverse events including solicited and serious adverse events occurring since 
previous evaluation; record any concomitant medications taken associated with treatment of the 
adverse event 
3. Examine site of SD0 injection 
4. Urine collection for urinalysis, including dipstick, microscopic analysis, and urine hemosiderin  
5. Blood collection for:  
• 
Serum chemistry: includes ALT, AST, total bilirubin, ALP, and creatinine 
• 
Hematology: includes hemoglobin, hematocrit, white blood cell count, absolute lymphocyte 
count, absolute neutrophil count, and platelet count 
 
 
Study Day 14 
Allowable window for clinic visit is 14 ±3 days from Study Day 0 visit date. 
1. Record any adverse events including solicited and serious adverse events occurring since 
previous evaluation; record any concomitant medications taken associated with treatment of the 
adverse event 
2. Examine site of SD0 injection 
3. Blood collection for:  
• 
Whole blood for 12 hour ICS assay 
• 
PBMC for ICS assay and ELISpot assay 

 
 
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• 
PBMC for future validation/exploratory 
 
Study Day 28   
Allowable window for clinic visit is 28 ±3 days from Study Day 0 visit date.  
1. Record any adverse events including solicited and serious adverse events occurring since 
previous evaluation; record any concomitant medications taken associated with treatment of the 
adverse event 
2. Examine site of SD0 injection 
 
Study Day 56  
Allowable window for clinic visit is 56 ±3 days from Study Day 0 visit date.  
Pre-vaccination: 
1. Confirm continued eligibility for vaccination including negative β-hCG (urine pregnancy test) for 
all females of child-bearing potential (must be done within 24 hours prior to vaccination) 
2. Physical examination 
3. Examine planned SD56 injection site 
4. Vital signs: 
• 
Blood pressure 
• 
Pulse 
• 
Oral temperature, must be < 37.5°C 
5. Blood collection for (refer to Aeras Specimen Management Manual): 
• 
Serum chemistry: includes ALT, AST, total bilirubin, ALP, and creatinine 
• 
Hematology: includes hemoglobin, hematocrit, white blood cell count, absolute lymphocyte 
count, absolute neutrophil count, and platelet count 
• 
Whole blood for 12 hour ICS assay 
• 
PBMC for ICS assay and ELISpot assay 
• 
PBMC for future validation/exploratory 
• 
Serum for antibody ELISA 
6. Urine collection for: 
• 
Urinalysis: includes dipstick, microscopic analysis, and urine hemosiderin 
7. Complete Vaccine Request Form; send to study vaccine manager for preparation of study vaccine 
 
Vaccination: 
8. Inspect syringe and vaccine volume, confirm subject identification number, check subject initials, 
date and time of dose preparation  
9. Administer study vaccine into deltoid area by intramuscular (IM) injection.  Record date and time 
of vaccination and which arm was vaccinated 
 
Post-vaccination: 
10. Monitor subject for acute adverse events for at least 60 minutes after vaccination 
11. Obtain 30±5 minutes and 60±10 minutes post-immunization vital signs (blood pressure, pulse, 
oral temperature) 
12. Examine site of SD56 injection 60±10 minutes post-immunization 
13. Record any adverse events, including solicited and serious adverse events (including concomitant 
medications) reported 
14. Distribute and review diary card and diary card instructions with subject 
 
 

 
 
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Study Day 59 (Study Day 56 visit date + 3 days) 
1. Review/collect diary card entries for completeness and accuracy 
2. Record any adverse events including solicited and serious adverse events occurring since 
previous evaluation; record any concomitant medications taken associated with treatment of the 
adverse event  
3. Examine site of SD56  injection 
4. Blood collection for RNA analysis and BioVacSafe assay 
 
 
Study Day 63 
Allowable window for clinic visit is 7 ±1 day from Study Day 56 visit date. 
1. Review/collect diary card entries for completeness and accuracy 
2. Record any adverse events including solicited and serious adverse events occurring since 
previous evaluation; record any concomitant medications taken associated with treatment of the 
adverse event 
3. Examine site of SD56 injection 
4. Urine collection for urinalysis, including dipstick, microscopic analysis, and urine hemosiderin  
5. Blood collection for:  
• 
Serum chemistry: includes ALT, AST, total bilirubin, ALP, and creatinine 
• 
Hematology: includes hemoglobin, hematocrit, white blood cell count, absolute lymphocyte 
count, absolute neutrophil count, and platelet count 
• 
[Groups 1 and 3 only] RNA analysis 
  
 
Study Day 70 
Allowable window for clinic visit is 14 ±3 days from Study Day 56 visit date. 
1. Record any adverse events including solicited and serious adverse events occurring since 
previous evaluation; record any concomitant medications taken associated with treatment of the 
adverse event 
2. Examine site of SD56 injection 
3. Blood collection for:  
• 
Whole blood for 12 hour ICS assay 
• 
PBMC for ICS assay and ELISpot assay 
• 
PBMC for future validation/exploratory 
• 
[Group 1 only] QuantiFERON®-TB Gold In Tube (process per package insert) 
• 
[Groups 1 and 3 only] RNA analysis 
 
 
Study Day 84   
Allowable window for clinic visit is 28 ±3 days from Study Day 56 visit date.  
1. Record any adverse events including solicited and serious adverse events occurring since 
previous evaluation; record any concomitant medications taken associated with treatment of the 
adverse event 
2. Examine site of SD56 injection 
3. [Groups 1 and 3 only] Blood collection for (refer to Aeras Specimen Management Manual): 
• 
Serum for antibody ELISA 

 
 
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Study Day 112 for Groups 2 and 4 only 
Allowable window for clinic visit is 56 ±3 days from Study Day 56 visit date.  
Pre-vaccination: 
1. Confirm continued eligibility for vaccination including negative β-hCG (urine pregnancy test) for 
all females of child-bearing potential (must be done within 24 hours prior to vaccination) 
2. Physical examination 
3. Examine planned SD112 injection site 
4. Vital signs: 
• 
Blood pressure 
• 
Pulse 
• 
Oral temperature, must be < 37.5°C 
5. Blood collection for (refer to Aeras Specimen Management Manual): 
• 
Serum chemistry: includes ALT, AST, total bilirubin, ALP, and creatinine 
• 
Hematology: includes hemoglobin, hematocrit, white blood cell count, absolute lymphocyte 
count, absolute neutrophil count, and platelet count 
• 
Whole blood for 12 hour ICS assay 
• 
PBMC for ICS assay and ELISpot assay 
• 
PBMC for future validation/exploratory 
• 
Serum for antibody ELISA 
6. Urine collection for: 
• 
Urinalysis: includes dipstick, microscopic analysis, and urine hemosiderin 
7. Complete Vaccine Request Form; send to study vaccine manager for preparation of study vaccine 
 
Vaccination: 
8. Inspect syringe and vaccine volume, confirm subject identification number, check subject initials, 
date and time of dose preparation  
9. Administer study vaccine into deltoid area by intramuscular (IM) injection.  Record date and time 
of vaccination and which arm was vaccinated 
 
Post-vaccination: 
10. Monitor subject for acute adverse events for at least 60 minutes after vaccination 
11. Obtain 30±5 minutes and 60±10 minutes post-immunization vital signs (blood pressure, pulse, 
oral temperature) 
12. Examine site of SD112 injection 60±10 minutes post-immunization 
13. Record any adverse events, including solicited and serious adverse events (including concomitant 
medications) reported 
14. Distribute and review diary card and diary card instructions with subject 
 

 
 
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Study Day 115 for Groups 2 and 4 only (Study Day 112 visit date + 3 days) 
1. Review/collect diary card entries for completeness and accuracy 
2. Record any adverse events including solicited and serious adverse events occurring since 
previous evaluations; record any concomitant medications taken associated with treatment of the 
adverse event 
3. Examine site of SD112 injection 
4. Whole blood for RNA analysis and BioVacSafe assay 
 
Study Day 119 for Groups 2 and 4 only 
Allowable window for clinic visit is 7 ±1 day from Study Day 112 visit date. 
1. Review/collect diary card entries for completeness and accuracy 
2. Record any adverse events including solicited and serious adverse events occurring since 
previous evaluation; record any concomitant medications taken associated with treatment of the 
adverse event 
3. Examine site of SD112 injection 
4. Urine collection for urinalysis, including dipstick, microscopic analysis, and urine hemosiderin  
5. Blood collection for:  
• 
Serum chemistry: includes ALT, AST, total bilirubin, ALP, and creatinine 
• 
Hematology: includes hemoglobin, hematocrit, white blood cell count, absolute lymphocyte 
count, absolute neutrophil count, and platelet count 
• 
RNA analysis 
 
 
Study Day 126 for Groups 2 and 4 only 
Allowable window for clinic visit is 14 ±3 days from Study Day 112 visit date. 
1. Record any adverse events including solicited and serious adverse events occurring since 
previous evaluation; record any concomitant medications taken associated with treatment of the 
adverse event 
2. Examine site of SD112 injection 
3. Blood collection for:  
• 
Whole blood for 12 hour ICS assay 
• 
PBMC for ICS assay and ELISpot assay 
• 
PBMC for future validation/exploratory 
• 
[Group 2 only] QuantiFERON®-TB Gold In Tube (process per package insert) 
• 
RNA analysis 
 
 
Study Day 140 for Groups 2 and 4 only 
Allowable window for clinic visit is 28 ±3 days from Study Day 112 visit date.  
1. Record any adverse events including solicited and serious adverse events occurring since 
previous evaluation; record any concomitant medications taken associated with treatment of the 
adverse event 
2. Examine site of SD112 injection 
3. Blood collection for:  
• 
Serum for antibody ELISA 

 
 
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Study Day 146 for Groups 1 and 3 only 
Allowable window for clinic visit is 90 ±5 days from Study Day 56 visit date.  
Evaluations may be conducted by phone call for Group 3 
1. Record any serious adverse events occurring since previous evaluation; record any concomitant 
medications taken associated with treatment of the serious adverse event 
2. Blood collection for: 
• 
[Group 1 only] QuantiFERON®-TB Gold In Tube (process per package insert) 
 
 
Study Day 210 for Groups 2 and 4 only 
Allowable window for clinic visit is 210 ±14 days from Study Day 0 visit date.  
Evaluations may be conducted by phone call for Group 4 
1. Record any serious adverse events occurring since previous evaluation; record any concomitant 
medications taken associated with treatment of the serious adverse event 
2. Blood collection for: 
• 
[Group 2 only] QuantiFERON®-TB Gold In Tube (process per package insert) 
 
 
Study Day 292 (End of Study) 
Allowable window for clinic visit is 292 ±14 days from Study Day 0 visit date.  
1. Review medical history 
2. Review physical examination 
3. Record any serious adverse events occurring since previous evaluation; record any concomitant 
medications taken associated with treatment of the serious adverse event 
4. Blood collection for: 
• 
QuantiFERON®-TB Gold In Tube (process per package insert) 
• 
Whole blood for 12 hour ICS assay 
• 
PBMC for ICS assay and ELISpot assay 
• 
PBMC for future validation/exploratory 
 

 
 
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APPENDIX B 
Sample Subject Diary and Instructions 
 
Daily Diary 
Aeras Protocol C-035-456 for Investigational TB Vaccine 
 
General Instructions to Subjects for Completing Your Daily Diaries 
 
1. Use a pen to complete the diary.   
 
2. The first day for completing the diary will be the day you receive a vaccination.  All the Study Days 
and dates you should be completing the diary until your next clinic visit have already been 
filled in for you. 
 
3. You will need to take your temperature every day, and report on the specific symptoms that 
are listed on your daily diary.  Do not skip any of the specific symptoms.  If you did not have 
the symptom, check “No” on the diary for that day. 
 
4. The time of day that you take your temperature and evaluate your symptoms should be about 
the same time each day.  You may find it helpful to use “just before bedtime” as your time to 
do this, but choose a time that will be convenient for you.  If you are concerned that you may 
have a fever, you may take your temperature more often than once daily.  Please report the 
highest temperature that you record on any day when multiple temperatures are taken.   
  
5. Use the section at the back of each diary page to describe any medications you may have 
taken to treat the listed symptom(s) that day, or use it to record any other symptoms that you 
may have had that day.   
 
6. You will need to take your completed diaries with you to the clinic on your next scheduled 
visit.   
 
7. At the clinic, a study team member will review with you the entries you have made in each of 
your daily diaries.  You may be asked questions so that the study team member in the clinic 
understands any notes you may have recorded.   
 
8. You will then be asked to sign the diary card to confirm that it is accurate and that it has been 
reviewed with you.   
 

 
 
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Subject ID: __ __ __ __ __ __ - __ __ __ __ __  Initials:  __  __  __    
 
STUDY DAY _______    Date: ____________ 
 
Return your completed diary on your next scheduled clinic visit:  ____________________________ 
 
    (date of your next scheduled clinic visit ) 
My temperature today was _____ . ___ °C 
Symptoms 
Check the one that describes the worst a symptom was today 
Did you have pain at the 
injection site? 
   □  No           
   □  Yes, but it did not interfere with my usual daily activities 
   □  Yes, and it interfered with my usual daily activities 
   □  Yes, and it prevented me from doing my usual daily activities 
Did you have redness at the 
injection site? 
   □  No            
   □  Yes, and the redness measured  _____ . ___ cm at the widest point 
Did you have swelling at the 
injection site? 
   □  No            
   □  Yes, and the swelling measured  _____ . ___ cm at the widest point 
Did you have fatigue 
(feeling tired)? 
   □  No            
   □  Yes, but it did not interfere with my usual daily activities 
   □  Yes, and it interfered with my usual daily activities 
   □  Yes, and it prevented me from doing my usual daily activities 
Did you have myalgia 
(muscle aches)? 
   □  No            
   □  Yes, but it did not interfere with my usual daily activities 
   □  Yes, and it interfered with my usual daily activities 
   □  Yes, and it prevented me from doing my usual daily activities 
Did you have arthralgia 
(joint aches)? 
   □  No            
   □  Yes, but it did not interfere with my usual daily activities 
   □  Yes, and it interfered with my usual daily activities 
   □  Yes, and it prevented me from doing my usual daily activities 
Did you have chills? 
   □  No            
   □  Yes, but it did not interfere with my usual daily activities 
   □  Yes, and it interfered with my usual daily activities 
   □  Yes, and it prevented me from doing my usual daily activities 
Did you have nausea? 
   □  No            
   □  Yes, but it did not interfere with my usual daily activities 
   □  Yes, and it interfered with my usual daily activities 
   □  Yes, and it prevented me from doing my usual daily activities 
 
Subject’s signature: ______________________________________________   Date: ____________________ 
 
Clinic staff’s signature: ___________________________________________   Date: ____________________ 

 
 
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(back side) 
 
Additional Notes: 
(Describe any medications you took or treatments you got for the symptoms listed on the front page, or describe any 
other symptoms you had that are not listed on the front page.) 
 
___________________________________________________________________________ 
___________________________________________________________________________ 
___________________________________________________________________________ 
___________________________________________________________________________ 
___________________________________________________________________________ 
___________________________________________________________________________ 
___________________________________________________________________________ 
___________________________________________________________________________ 
___________________________________________________________________________ 
___________________________________________________________________________ 
___________________________________________________________________________ 
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___________________________________________________________________________ 
___________________________________________________________________________ 
___________________________________________________________________________ 
___________________________________________________________________________ 
___________________________________________________________________________ 
___________________________________________________________________________ 
___________________________________________________________________________ 
 
 
 

 
 
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APPENDIX C 
Reporting Schemes for SAEs, Immediately Reportable Events, 
and SUSARs 
 
Reporting Scheme for SAEs and Immediately Reportable Events (IREs) 
 
 
 
 

 
 
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Reporting Scheme for SUSARs 
 
 

 
 
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APPENDIX D 
Toxicity Table 
Note: From final US FDA guidance: Toxicity Grading Scale for Healthy Adult and Adolescent Subjects Enrolled in Preventive Vaccine Clinical 
Trials (September 2007); laboratory values are in conventional and SI units.  The laboratory values provided in the tables serve as guidelines 
and are dependent upon institutional normal parameters.  Institutional normal reference ranges should be provided to demonstrate that they are 
appropriate. 
 
Local Site of 
Injection Symptoms 
Mild (Grade 1) 
Moderate (Grade 2) 
Severe (Grade 3) 
Potentially Life 
Threatening (Grade 4) 
Pain 
Does not interfere 
with activity 
Repeated use of  
non-narcotic pain reliever > 
24 hours or interferes with 
activity 
Any use of narcotic pain 
reliever or prevents daily 
activity 
ER visit or hospitalization 
Tenderness 
Mild discomfort to 
touch 
Discomfort with movement 
Significant discomfort at 
rest 
ER visit or hospitalization 
Erythema/Redness * 
2.5 - 5 cm 
5.1 - 10 cm 
>10 cm 
Necrosis (ulceration) or 
exfoliative dermatitis 
Induration/Swelling ** 
2.5 - 5 cm and does 
not interfere with 
activity 
5.1 - 10 cm or interferes with 
activity 
>10 cm or prevents daily 
activity 
Necrosis (ulceration) 
* In addition to grading the local reaction at the greatest single diameter, the measurement should be recorded as a continuous variable. 
** Induration/Swelling should be evaluated and graded using the functional scale as well as the actual measurement.  
 
Vital Signs* 
Mild (Grade 1) 
Moderate (Grade 2) 
Severe (Grade 3) 
Potentially Life 
Threatening (Grade 4) 
Fever** 
38.0 – 38.4°C 
100.4 – 101.1°F 
38.5 - 38.9°C 
101.2 - 102.0°F 
39.0 - 40°C 
102.1 - 104°F 
>40°C 
>104°F 
Tachycardia – beats per 
minute 
101 – 115 
116 – 130 
>130 
ER visit or hospitalization for 
arrhythmia 
Bradycardia – beats per 
minute 
50 – 54 
45 –  49 
<45 
ER visit or hospitalization for 
arrhythmia 
Hypertension (systolic) 
– mm Hg 
141 – 150 
151 – 155 
>155 
ER visit or hospitalization for 
malignant hypertension 
Hypertension (diastolic) 
– mm Hg 
91 – 95 
96 – 100 
>100 
ER visit or hospitalization for 
malignant hypertension 
Hypotension (systolic) – 
mm Hg 
85 - 89 
80 – 84 
<80 
ER visit or hospitalization for 
hypotensive shock 
Respiratory rate – 
breaths per minute 
17 – 20 
21 – 25 
>25 
Intubation 
* Subject should be at rest for all vital sign measurements.  ** Oral temperature; no recent hot or cold beverages or smoking.  
 
Systemic (General) 
Mild (Grade 1) 
Moderate (Grade 2) 
Severe (Grade 3) 
Potentially Life 
Threatening (Grade 4) 
Nausea/vomiting 
No interference 
with activity or  
1 - 2 episodes/24 
hours 
Some interference with 
activity or  >2 episodes/24 
hours 
Prevents daily activity, 
requires outpatient IV 
hydration 
ER visit or hospitalization for 
hypotensive shock 
Diarrhea 
2 - 3 loose stools or 
< 400 grams/ 24 
hours 
4 - 5 stools or 400 - 800 
grams/24 hours 
6 or more watery stools or 
> 800 grams/24 hours or 
requires outpatient IV 
hydration 
ER visit or hospitalization for 
hypotensive shock 
Headache 
No interference 
with activity 
Repeated use of non-narcotic  
pain reliever > 24 hours or 
some interference with 
activity  
Significant; any use of 
narcotic pain reliever or 
prevents daily activity  
ER visit or hospitalization 
Fatigue 
No interference 
with activity 
Some interference with 
activity 
Significant; prevents daily 
activity 
ER visit or hospitalization 
Myalgia 
No interference 
with activity 
Some interference with 
activity 
Significant; prevents daily 
activity 
ER visit or hospitalization 

 
 
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CONFIDENTIAL 
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Systemic (General) 
Mild (Grade 1) 
Moderate (Grade 2) 
Severe (Grade 3) 
Potentially Life 
Threatening (Grade 4) 
Illness or clinical 
adverse event (as defined 
according to applicable 
regulations) 
No interference 
with activity 
Some interference with 
activity not requiring medical 
intervention 
Prevents daily activity and 
requires medical 
intervention 
ER visit or hospitalization 
 
 
Serum 
Mild (Grade 1) 
Moderate (Grade 2) 
Severe (Grade 3) 
Potentially Life 
Threatening (Grade 4) 
Sodium – hyponatremia 
mEq/L or mmol/L: 
 
132 – 134 
 
130 – 131 
 
125 – 129 
 
<125 
Sodium – hypernatremia 
mEq/L or mmol/L: 
 
144 – 145 
 
146 – 147 
 
148 – 150 
 
>150 
Potassium – hyperkalemia 
mEq/L or mmol/L: 
 
5.1 – 5.2 
 
5.3 – 5.4 
 
5.5 – 5.6 
 
>5.6 
Potassium – hypokalemia 
mEq/L or mmol/L: 
 
3.5 – 3.6 
 
3.3 – 3.4 
 
3.1 – 3.2 
 
<3.1 
Glucose – hypoglycemia 
mg/dL: 
mmol/L: 
 
65 – 69 
3.6 – 3.8 
 
55 – 64 
3.0 – 3.5 
 
45 – 54 
2.5 – 2.9 
 
<45 
<2.5 
Glucose – hyperglycemia 
Fasting -  mg/dL: 
mmol/L: 
Random – mg/dL: 
mmol/L: 
 
100 – 110 
5.5 – 6.0 
110 - 125 
6.1 – 6.8 
 
111 – 125 
6.1 – 6.8 
126 - 200 
6.9 – 11.0 
 
>125 
>6.8 
>200 
>11.0 
Insulin requirement or 
hyperosmolar coma 
 
Blood urea nitrogen (BUN) 
– mg/dL: 
mmol/L: 
 
23 – 26 
8.3 – 9.5 
 
27 – 31 
9.6 – 11.2 
 
>31 
>11.2 
Requires dialysis 
Creatinine – elevated 
mg/dL: 
umol/L: 
 
1.5 – 1.7 
121 - 145 
 
1.8 – 2.0 
146 – 170 
 
2.1 – 2.5 
171 – 208 
 
>2.5 or requires dialysis 
>208 or requires dialysis 
Calcium – hypocalcemia 
mg/dL: 
mmol/L: 
 
8.0 – 8.4 
2.00 – 2.10 
 
7.5 – 7.9 
1.87 – 1.99 
 
7.0 – 7.4 
1.75 – 1.86 
 
<7.0 
<1.75 
Calcium – hypercalcemia 
mg/dL: 
mmol/L: 
 
10.5 – 11.0 
2.63 – 2.76 
 
11.1 – 11.5 
2.77 – 2.88 
 
11.6 – 12.0 
2.89 – 3.00 
 
>12.0 
>3.00 
Magnesium – hypomagnesemia 
mg/dL: 
mmol/L: 
 
1.3 – 1.5 
0.52 – 0.62 
 
1.1 – 1.2 
0.43 – 0.51 
 
0.9 – 1.0 
0.37 – 0.42 
 
<0.9 
<0.37 
Phosphorus – hypophosphatemia 
mg/dL: 
mmol/L: 
 
2.3 – 2.5 
0.73 – 0.80 
 
2.0 – 2.2 
0.63 – 0.72 
 
1.6 – 1.9 
0.51 – 0.62 
 
<1.6 
<0.51 
Albumin – hypoalbuminemia 
g/dL: 
g/L: 
 
2.8 – 3.1 
28 – 31 
 
2.5 – 2.7 
25 – 27 
 
<2.5 
<25 
 
---- 
---- 
Total protein – hypoproteinemia 
g/dL: 
g/L: 
 
5.5 – 6.0 
55 – 60 
 
5.0 – 5.4 
50 – 54 
 
<5.0 
<50 
 
---- 
---- 
Alkaline phosphatase (ALP) 
– increased 
1.1 – 2.0 x ULN 
2.1 – 3.0 x ULN 
3.1 – 10 x ULN 
>10 x ULN 
Liver Function Tests (LFT): 
AST, ALT – increased 
1.1 – 2.5 x ULN 
2.6 – 5.0 x ULN 
5.1 – 10 x ULN 
>10 x ULN 
Lactate dehydrogenase 
(LDH),  
– increased 
1.1 – 2.5 x ULN 
2.6 – 5.0 x ULN 
5.1 – 10 x ULN 
>10 x ULN 
Bilirubin (with any increase 
in LFT) - increased 
1.1 – 1.25 x ULN 
1.26 – 1.5 x ULN 
1.51 – 1.75 x ULN 
>1.75 x ULN 
Bilirubin (with normal LFT) 
- increased 
1.1 – 1.5 x ULN 
1.6 – 2.0 x ULN 
2.1 – 3.0 – x ULN 
>3.0 x ULN 
Cholesterol – increased 
mg/dL: 
mmol/L: 
 
201 - 210 
6.0 – 6.3 
 
211 – 225 
6.4 – 6.7 
 
>226 
>6.7 
 
---- 
---- 

 
 
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Protocol C-035-456  
 
CONFIDENTIAL 
10/May/2013; Final Version 2.0 
 
  
Serum 
Mild (Grade 1) 
Moderate (Grade 2) 
Severe (Grade 3) 
Potentially Life 
Threatening (Grade 4) 
Pancreatic enzymes: 
amylase, lipase  – increased 
1.1 – 1.5 x ULN 
1.6 – 2.0 x ULN 
2.1 – 5.0 x ULN 
>5.0 x ULN 
ULN (upper limit of normal) dependent on normal reference ranges per institutional parameters.  
 
 
Hematology 
Mild (Grade 1) 
Moderate (Grade 2) 
Severe (Grade 3) 
Potentially Life 
Threatening (Grade 4) 
Hemoglobin (Female) – 
g/dL: 
g/L: 
 
11.0 – 12.0 
110 – 120 
 
9.5 – 10.9 
95 – 109 
 
8.0 – 9.4 
80 – 94 
 
<8.0 
<80 
Hemoglobin (Male) –  
g/dL: 
g/L: 
 
12.5 – 13.5 
125 – 135 
 
10.5 – 12.4 
105 - 124 
 
8.5 – 10.4 
85 – 104 
 
<8.5 
<85 
WBC – increased 
cells/mm3: 
cells x 109/L: 
 
10,800 – 15,000 
10.8 – 15.0 
 
15,001 – 20,000 
15.1 – 20.0 
 
20,001 – 25,000 
20.1 – 25.0 
 
>25,000 
>25.0 
WBC – decreased 
 cells/mm3: 
cells x 109/L: 
 
2,500 – 3,500 
2.5 – 3.5 
 
1,500 – 2,499 
1.5 – 2.4 
 
1,000 – 1,499 
1.0 – 1.4 
 
<1,000 
<1.0 
Lymphocytes – decreased 
cells/mm3: 
cells x 109/L: 
 
750 – 1,000 
0.8 – 1.0 
 
500 – 749 
0.5 – 0.7 
 
250 – 499 
0.3 – 0.4 
 
<250 
<0.3 
Neutrophils – decreased 
cells/mm3: 
cells x 109/L: 
 
1,500 – 2,000 
1.5 – 2.0 
 
1,000 – 1,499 
1.0 – 1.4 
 
500 – 999 
0.5 – 0.9 
 
<500 
<0.5 
Eosinophils – increased 
cells/mm3: 
cells x 109/L: 
 
650 – 1,500 
0.7 – 1.4 
 
1,501 – 5,000 
1.5 – 5.0 
 
>5,000 
>5.0 
Hypereosinophilic 
Platelets – decreased 
cells/mm3: 
cells x 109/L: 
 
125,000 – 140,000 
125 – 140 
 
100,000 – 124,000 
100 – 124 
 
25,000 – 99,000 
25 – 99 
 
<25,000 
<25 
Prothrombin time (PT) – 
increased 
>1.0 – 1.10 x 
ULN** 
1.11 – 1.20 x ULN 
1.21 – 1.25 x ULN 
>1.25 x ULN 
Partial thromboplastin 
time (PTT) – increased  
>1.0 – 1.2 x ULN 
1.21 – 1.4 x ULN 
1.41 – 1.5 x ULN 
>1.5 x ULN 
Fibrinogen – increased 
mg/dL: 
g/L: 
 
400 – 500 
4.00 – 5.00 
 
501 – 600 
5.01 – 6.00 
 
>600 
>6.00 
 
---- 
---- 
Fibrinogen – decreased 
mg/dL: 
g/L: 
 
150 - 200 
1.50 – 2.00 
 
125 – 149 
1.25 – 1.49 
 
100 - 124 
1.00 – 1.24 
<1.0 or associated with gross 
bleeding or disseminated 
intravascular coagulation 
(DIC) 
ULN (upper limit of normal) dependent on normal reference ranges per institutional parameters.  
  
 
Urine  
Mild (Grade 1) 
Moderate (Grade 2) 
Severe (Grade 3) 
Potentially Life 
Threatening (Grade 4) 
Protein 
Trace 
1+ 
2+ 
Hospitalization or dialysis 
Glucose 
Trace 
1+ 
2+ 
Hospitalization for 
hyperglycemia 
Blood (microscopic) 
– red blood cells per 
high power field 
(rbc/hpf) 
1+ 
or 
1 – 10 rbc/hpf 
2+ 
or 
11 – 50 rbc/hpf 
3+ or 4+ 
or 
>50 rbc/hpf and/or gross 
blood 
Hospitalization or packed red 
blood cells (PRBC) 
transfusion 
Hemosiderin 
Not applicable 
Positive 
Not applicable 
Not applicable 
 

 
 
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Protocol C-035-456  
 
CONFIDENTIAL 
10/May/2013; Final Version 2.0 
 
  
APPENDIX E 
BioVacSafe Project 
 
BioVacSafe Consortium 
Background 
Vaccines are widely acknowledged to be one of the most efficient and cost-effective ways to 
combat infectious diseases in both developed and developing countries.  With billions of doses 
of vaccines administered globally every year, vaccine safety remains a top priority for 
pharmaceutical companies, regulators and the public.  To develop cutting edge tools to accelerate 
and improve the testing and monitoring of vaccine safety before and after commercial release, a 
consortium, “Biomarkers for Enhanced Vaccines Immunosafety (BioVacSafe)” was established 
in March 2012 (www.biovacsafe.eu).  The BioVacSafe Consortium consists of three of Europe’s 
leading vaccine producing companies (Novartis, GSK, and Sanofi Pasteur), selected major 
academic institutions, and small and medium-sized enterprises (SMEs) including Statens Serum 
Institut (SSI).  SSI’s participation in the Consortium will focus on human clinical vaccine safety, 
animal models of vaccine safety, and transcriptomic and cytokine/chemokine profiling of blood 
samples provided from clinical trials. 
 
Rationale for Including C-035-456 in the BioVacSafe Project 
Some vaccines are thought to trigger innate inflammatory responses to induce antigen-specific 
adaptive immunity, but excessive inflammation may lead to serious inflammatory complications.  
A lack of reliable biomarkers predicting severe inflammation has halted development of several 
exploratory vaccines, and led to the withdrawal of some licensed vaccines, some of which were 
associated with inflammatory complications, albeit at low frequency.  Specific objectives of the 
BioVacSafe project include the characterization of early inflammation induced by vaccines and 
the identification and validation of biomarkers of early inflammation and allergic responses.  
AERAS-456, which contains both novel antigens and a novel adjuvant, is early in clinical 
development.  Study C-035-456 is the second study in humans, and the assessment of safety is 
the primary objective.  By incorporating samples from the C-035-456 study into the BioVacSafe 
project, biomarkers correlated to standard clinical readouts and to inflammatory markers 
assessed in natural infections could be identified and potentially used in future studies to predict 
acceptable safety for this and other experimental vaccines. 
 
Types of Assays and Analyses to be Performed 
Whole blood samples harvested in a stabilizing reagent, such as PAXgene tubes for storage and 
transport, will be transferred to the Max Planck Institute for Infection Biology (MPIIB) in Berlin 
for RNA isolation and transcriptional profiling in the institute’s Microarray Core Facility.  
Transcriptome data will be analyzed using a combination of classical gene expression expanded 
with pathway and functional association analyses, including Gene Ontology (GO) analysis, 
KEGG pathway, and STRING functional network analysis.  A new bioinformatics approach 
developed at MPIIB, using intra-individual expression correlations, will be incorporated within 
the limitations of sample numbers.  Time course data points from the clinical trials and animal 
models will be analyzed for the same subject and cumulative integration of intra-host profiles.  
Transcriptome data have been successfully applied in previous studies at MPIIB in infectious 
disease and vaccine trial monitoring (Maertzdorf et al 2011; Weiner et al 2012)  

 
 
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Sample Identification and Handling 
Because the planned analyses will compare baseline (day 0) with post-vaccination time points to 
assess changes in expression patterns, subject identifier codes (not names) and study visit dates 
will be linked with the samples.  The confidentiality of records that could identify subjects will 
be protected at all times in accordance with the Declaration of Helsinki and the convention of the 
Council of Europe on Human Rights and Biomedicine, the ICH-GCP guidelines, and applicable 
national guidelines.    
 
SSI will be responsible for the samples committed to the BioVacSafe project and will receive, 
log, monitor, and store samples according to SSI’s established sample management system at 
their facilities in Copenhagen, Denmark.  SSI will also be responsible for shipping samples to the 
testing and analysis site at MPIIB in Berlin, Germany.  
 
Subjects must provide written informed consent in order for their blood samples to be sent to and 
tested by the BioVacSafe Consortium.  Consent for BioVacSafe assays is not required for 
participation in study C-035-456. 
 
References 
Maertzdorf J, Ota M, Repsilber D, et al.  Functional correlations of pathogenesis-driven gene 
expression signatures in tuberculosis.  PLoS One.  2011;6:e26938. 
 
Weiner J 3rd, Parida SK, Maertzdorf J, et al.  Biomarkers of inflammation, immunosuppression 
and stress with active disease are revealed by metabolomic profiling of tuberculosis patients.  
PLoS One. 2012;7:e40221.  
 
http://www.biovacsafe.eu/