B Cell Targeted Induction to Improve Outcomes in Pediatric Lung Transplantation (CTOTC-08)
Phase: PHASE2
Conditions: Lung Transplant
Sponsor: National Institute of Allergy and Infectious Diseases (NIAID)

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CLINICAL TRIALS IN ORGAN TRANSPLANTATION IN CHILDREN 
CTOTC-08 
B Cell Targeted Induction to Improve Outcomes in Pediatric Lung Transplantation 
Short Title:  B Cell Induction in Pediatric Lung Transplantation 
4.0 / July 16, 2018 
NIAID Funding Mechanism:  
 
The National Institute of Allergy and Infectious Diseases (NIAID) 
NIAID Funding Mechanism:  
 
U01 AI077810-06 
IND Sponsor/Number:  
 
 
NIAID-DAIT/IND Number 121403 
Study Drug Manufacturer/Provider: 
Genentech, Incorporated 
PRINCIPAL INVESTIGATOR 
Stuart Sweet, MD, PhD 
Washington University 
School of Medicine 
Department of Pediatrics 
Campus Box 8116 
St. Louis, MO  63110 
Phone:  314-454-4131 
E-mail:  sweet@wustl.edu  
PROTOCOL CHAIR 
Lara Danziger-Isakov, MD, MPH 
Cincinnati Children’s Hospital Medical Center 
Division of Infectious Diseases 
ML 7017 
Cincinnati, OH  45229 
Phone:  513-636-9109 
E-mail:  Lara.Danziger-Isakov@cchmc.org  
 
MEDICAL MONITOR 
Jonah Odim, MD, PhD 
Division of Allergy, Immunology, and 
Transplantation 
National Institute of Allergy and 
Infectious Diseases 
5601 Fishers Lane, Room 6B28 
MSC 9828 
Rockville, MD  20852 
Phone:  240-627-3540 
E-mail:   odimj@niaid.nih.gov  
BIOSTATISTICIAN 
Karen Kesler, PhD 
Rho Federal Systems 
6330 Quadrangle Drive 
Chapel Hill, NC  27517 
Phone:  919-595-6244 
E-mail:   
kkesler@rhoworld.com  
PROJECT MANAGER 
Nikki Williams 
Division of Allergy, Immunology, and 
Transplantation 
National Institute of Allergy and Infectious 
Diseases 
5601 Fishers Lane, Room 6B39 
MSC 9828 
Rockville, MD  20852 
Phone:  240-627-3537 
E-mail: nmwilliams@niaid.nih.gov  
REGULATORY OFFICER 
Julia Goldstein, MD 
Office of Regulatory Affairs 
Division of Allergy, Immunology, and 
Transplantation 
National Institute of Allergy and 
Infectious Diseases 
5601 Fishers Lane, Room 7B29 
MSC 9828 
Rockville, MD  20852 
Phone:  240-627-3509 
E-mail: goldsteinj@niaid.nih.gov  
Confidentiality Statement 
The information contained within this document is not to be disclosed in any way without the prior permission of the Protocol Chair, or the Division of 
Allergy, Immunology and Transplantation, National Institute of Allergy and Infectious Diseases of the National Institutes of Health. 
 
 

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INVESTIGATOR SIGNATURE PAGE 
Protocol: 
CTOTC-08 
 
Version/Date:  
 4.0/July 16, 2018 
Title:   
  B cell Targeted Induction to Improve Outcomes in Pediatric Lung Transplantation 
Study Sponsor:  The National Institute of Allergy and Infectious Diseases (NIAID) 
INSTRUCTIONS: The site Principal Investigator should print, sign, and date at the indicated location 
below.  A copy should be kept for your records and the original signature page sent. After signature, 
please return the original of this form by surface mail to:  
DAIT REGULATORY MANAGEMENT CENTER 
Pharmaceutical Product Development 
3900 Paramount Parkway 
Morrisville, NC  27560 
 
I confirm that I have read the above protocol in the latest version.  I understand it, and I will work 
according to the principles of Good Clinical Practice (GCP) as described in the United States Code of 
Federal Regulations (CFR) – 45 CFR part 46 and 21 CFR parts 50, 56, and 312, and in the International 
Conference on Harmonization (ICH) document Guidance for Industry: E6 Good Clinical Practice: 
Consolidated Guidance dated April 1996.  Further, I will conduct the study in keeping with local legal 
and regulatory requirements. 
As the site Principal Investigator, I agree to carry out the study by the criteria written in the protocol 
and understand that no changes can be made to this protocol without the written permission of the 
IRB and NIAID. 
 
 
____________________________________     
Site Principal Investigator  (Print) 
 
 
 
____________________________________                                      _________________ 
Site Principal Investigator (Signature)                                                          Date 

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Protocol Synopsis 
Title 
B cell Targeted Induction to Improve Outcomes in Pediatric Lung Transplantation 
Clinical Phase 
Phase 2 
Number of Sites 
7 US Sites 
IND Sponsor/Number 
NIAID/IND Number 121403 
Primary Study Objective 
To determine whether rituximab induction along with standard of care immunosuppression will 
improve outcomes following pediatric lung transplantation. 
Secondary Study 
Objectives 
1. To determine the effects of rituximab induction on post-transplant immunity in pediatric lung 
transplant recipients. 
2. To assess the safety and tolerability of rituximab. 
3. To assess the feasibility of a phone based intervention to decrease tacrolimus trough level 
variability. 
Study Design/Treatment 
Description 
Phase 2, prospective, multi-center, double-blind, randomized, placebo-controlled clinical trial in which 
50 primary pediatric lung transplant recipients will be randomized (1:1) to receive either induction 
therapy with anti-CD20 mAb (375 mg/m2) IV or placebo (IV day 0 and day 12 post-transplant) plus 
standard of care immunosuppression (thymoglobulin induction, tacrolimus or generic equivalent, 
MMF or generic equivalent, and steroids).   
Primary Endpoint(s) 
The primary endpoint will be the earliest time to any of the following events during the follow-up 
period: 
Chronic Allograft Dysfunction 
Listed for Retransplant  
Death 
Secondary Clinical 
Endpoints 
 
Post-transplant outcomes including:  
1. Incidence of chronic allograft dysfunction, listing for retransplantation and death during the 
follow-up period, which will be a minimum of 12 months post-transplant; 
2. Incidence of Primary Graft Dysfunction; 
3. Incidence of Grade A Acute Rejection during the follow-up period, which will be a minimum 
of 12 months post-transplant; 
4. Incidence of Antibody Mediated Rejection during the follow-up period, which will be a 
minimum of 12 months post-transplant; 
5. Incidence of tacrolimus variability threshold during the follow-up period, which will be a 
minimum of 12 months post-transplant;   
6. Percentage of participants meeting tacrolimus variability threshold who complete tacrolimus 
variability intervention;   
7. Magnitude of change in standard deviation of tacrolimus levels following intervention. 
Post-transplant safety outcomes including: 
1. Incidence and severity of infection episodes; 

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2. Serious adverse events related to rituximab. 
Secondary Mechanistic 
Endpoints 
1. Incidence and kinetics of DSA and autoantibodies, specifically Collagen V (ColV) and k-alpha-1 
tubulin (kα1T); 
2. Frequency, kinetics, phenotype and function of peripheral B cells;  
3. Frequency, kinetics and cytokine profiles of allo- and auto reactive T cells; 
4. Incidence and quantity of B cells and B cell proximity to other cells in the graft tissue. 
Accrual Objective 
50 randomized pediatric lung transplant recipients 
Study Duration 
4.5 years (3.5 year accrual + 1-4.5 year follow-up period) 
All participants will be followed for a minimum of 1 year post-transplant.  Participants will continue 
follow up visits (up to 4.5 years post-transplant) until the last participant completes 1 year of follow-
up. 
Enrollment Inclusion 
Criteria 
1. Subject and/or parent/guardian must be able to understand and provide  
informed consent; 
2. Less than or equal to 21 years of age; 
3. Candidate for primary lung transplant (listed for lung transplant);  
4. Female and male subjects with reproductive potential must agree to use FDA approved methods of 
control for 12-months after completion of treatment; 
5. Adequate bone marrow function based on the following criteria: 
a.  ANC > 1000mm3 
b. Platelets > 100,000/mm3 
c. 
Hemoglobin > 7 gm/dL 
d. AST or ALT <2x Upper Limit of Normal unless related to primary disease 
Enrollment Exclusion 
Criteria 
1. Inability or unwillingness of a participant to give written informed consent or  
comply with study protocol; 
2. Multi-organ transplant; 
3. Previous treatment with rituximab (Rituxan®); 
 
4. History of severe allergic anaphylactic reactions to humanized or murine  
monoclonal antibodies; 
5. History of severe reaction to previous therapy with IVIG; 
6. History of Burkholderia cenocepacia; 
7. History of anti-CD20 therapy; 
8. Persistent hypogammaglobulinemia (IgG < lower level of normal for age based on local laboratory 
ranges or 400 gm/dL for >2 months) and/or  
IVIG replacement therapy; 
9. Positive blood culture, sepsis or other disease process with hemodynamic instability at time of 
enrollment; 
10. Any history of serologic positivity to HIV, HBsAg, HBcAb and HCV Ab; 
11. History of malignancy less than 2 years in remission of malignancy (any history  

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of adequately treated in-situ cervical carcinoma, or adequately treated basal or squamous cell 
carcinoma of the skin will be permitted); 
12. Any condition, including psychiatric disorders, that in the opinion of the  
investigator would interfere with the subject’s ability to comply with study requirements; 
13. Participation in another investigational trial within 4 weeks of enrollment; 
14. Currently lactating or plans to become pregnant during the timeframe of the study follow-up 
period; 
15. Past or current medical problems or findings from physical examination or laboratory testing that 
are not listed above, which, in the opinion of the investigator, may pose additional risks from 
participation in the study, may interfere with the participant’s ability to comply with study 
requirements or that may impact the quality or interpretation of the data obtained from the 
study. 
Randomization Inclusion 
Criteria 
1. Serum IgG immunoglobulin level greater than lower level of normal for age based on local 
laboratory ranges or 400 mg/dL within 90 days prior to randomization; 
2. Female subjects of childbearing potential must have a negative pregnancy test      
within 48 hours of transplant; 
3. Negative for Hepatitis B infection (if at time of transplant, subject does not exhibit effective 
immunization, the subject should be re-tested). 
Randomization Exclusion 
Criteria 
1. Use of an induction agent other than Thymoglobulin®; 
2. Renal insufficiency requiring hemodialysis or ultrafiltration; 
3. Inability to obtain intravenous access; 
4. Positive blood culture, sepsis or other disease process with hemodynamic   
instability at time of transplant; 
5. Use of investigational agent(s) within 5 half-lives of the investigational drug or 4 weeks, 
whichever is longer; 
6. Receipt of a MMR vaccine within 30 days prior to randomization; 
7. Any condition that, in the opinion of the investigator, would interfere with the subject’s ability to 
comply with study requirements. 
Study Stopping Rules 
Satisfaction of any of the following stopping rules in study subjects at any time of follow-up in the 
treatment arms will trigger an ad hoc DSMB Safety Review:  
• 
Any occurrence of confirmed PML. 
• 
Incidence of death of 30% or more subjects. 
• 
Incidence of at least mild acute rejection of 35% or more. 
• 
Incidence of humoral rejection of 25% or more. 
• 
Incidence of primary graft dysfunction of 50% or more. 
• 
Incidence of PTLD of 5% or more. 
• 
Incidence of infections of any type requiring hospitalization of 40% or more. 
Individual Subject Stopping 
Rules 
Individuals who meet any of the criteria listed below will not receive the second dose of rituximab. 
1.  Serious adverse event casually related to the rituximab infusion; 

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2. Acute pulmonary infectious process with evidence of graft dysfunction; 
3. Positive blood culture, sepsis or other disease process with hemodynamic instability; 
4. Renal insufficiency requiring hemodialysis or ultrafiltration; 
5. Inability to obtain intravenous access; 
6. Use of an investigational drug after the first dose of placebo or rituximab; 
7. Any other event which in the opinion of the principal investigator may pose additional risk to the 
participant. 
 
 
 

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Study Contacts: Participating Centers 
 
SITE PRINCIPAL INVESTIGATOR 
Carol Conrad, MD 
Lucile Packard Children’s Hospital 
Stanford University 
700 Welch Road, Suite 301 
Phone:  650-497-8791 
Email:  cconrad@stanford.edu  
 
SITE PRINCIPAL INVESTIGATOR 
Joshua Blatter, MD 
St. Louis Children’s Hospital 
Washington University 
660 South Euclid, Box 8116 
St. Louis, MO  63110 
Phone:  314-454-2694 
Email:  blatter_j@kids.wustl.edu   
 
SITE   PRINCIPAL INVESTIGATOR 
Samuel Goldfarb, MD 
Children’s Hospital of Philadelphia 
3501 Civic Center Boulevard 
Philadelphia, PA  19104 
Phone:  215-590-0388 
Email:  Goldfarb@email.chop.edu  
 
SITE PRINCIPAL INVESTIGATOR 
Don Hayes, MD 
Nationwide Children’s Hospital 
700 Children’s Drive 
Columbus, OH  43205 
Phone:  614-722-4818 
Email:  Don.Hayes@nationwidechildrens.org  
 
SITE PRINCIPAL INVESTIGATOR 
Ernestina Melicoff-Portillo, MD 
Texas Children’s Hospital 
6621 Fannin Street 
CCC 1040.0 
Houston, TX  77030 
Phone:  832-822-3300 
Email:  portillo@bcm.edu   
SITE PRINCIPAL INVESTIGATOR 
Gary Visner, MD 
Boston Children’s Hospital 
Harvard University 
300 Longwood Avenue 
Boston, MA  02115 
Phone:  617-730-0843 
Email:  
Gary.Visner@childrens.harvard.edu 
SITE PRINCIPAL INVESTIGATOR 
Marc Schecter, MD 
Cincinnati Children’s Hospital Medical Center 
3333 Burnet Avenue 
MC 2021 
Cincinnati, OH  45229 
Phone:  513-636-0776 
Email:  marc.schecter@cchmc.org  
 
 

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Study Contacts: Core Laboratories  
 
 
 
LABORATORY INVESTIGATOR 
Michael Donovan, MD, PhD 
The Mt. Sinai School of Medicine 
Ricanati Miller Transplant Institute 
Annenberg Building 
1 Gustave L. Levey Place 2366B, Box 1198 
New York, NY  10029 
Phone:  212-241-6710 
Email:  michael.donovan@mssm.edu   
 
CORE PATHOLOGIST 
Carol Farver, MD 
Cleveland Clinic Foundation 
9500 Euclid Avenue 
Cleveland, OH  44195 
Phone:  216-445-7695 
Email:  farverc@ccf.org  
 
LABORATORY INVESTIGATOR 
Peter Heeger, MD 
The Mt. Sinai School of Medicine 
Ricanati Miller Transplant Institute 
Annenberg Building 
1 Gustave L. Levey Place 236B, Box 1243 
New York, NY  10029 
Phone:  212-241-6324 
Email:  peter.heeger@mssm.edu  
 
LABORATORY INVESTIGATOR 
Thalachallour Mohanakumar, PhD 
Norton Thoracic Institute 
St. Joseph’s Hospital and Medical Center 
124 W. Thomas Road, Suite 105 
Phoenix, AZ  85013 
Phone:  602-406-8347 
Email:  tm.kumar@dignityhealth.org  
  
LABORATORY INVESTIGATOR 
Ignacio Sanz, MD 
Emory University 
615 Michael Street, Room 241 
Atlanta, GA  30322 
Phone:  404-712-2945 
Email:  Ignacio.sanz@emory.edu  
 
LABORATORY INVESTIGATOR 
Gregory Storch, MD 
Washington University 
660 South Euclid Avenue, Box 8116 
St. Louis, MO  63110 
Phone:  314-454-6079 
Email:  storch@kids.wustl.edu  
CORE PATHOLOGIST 
Frances White, MD 
Washington University 
660 South Euclid Avenue, Box 8118 
St. Louis, MO  63110 
Phone:  314-362-0147 
Email:  fwhite@wustl.edu 
 
 

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Table of Contents 
Glossary of Abbreviations ......................................................................................................................................... 12 
Study Definitions Page ............................................................................................................................................. 16 
1. 
Study Hypothesis/Objectives ............................................................................................................................ 18 
1.1. 
Hypothesis ................................................................................................................................................ 18 
1.2. 
Primary Objective ..................................................................................................................................... 18 
1.3. 
Secondary Objectives ................................................................................................................................ 18 
2. 
Background and Rationale ................................................................................................................................ 19 
2.1. 
Background and Scientific Rationale.......................................................................................................... 19 
2.2. 
Rationale for Selection of Investigational Product ..................................................................................... 21 
2.3. 
Preclinical Experience ............................................................................................................................... 23 
2.4. 
Clinical Studies .......................................................................................................................................... 24 
3. 
Study Design..................................................................................................................................................... 28 
3.1. 
Description of Study Design ...................................................................................................................... 28 
3.2. 
Primary Endpoints..................................................................................................................................... 29 
3.3. 
Secondary Endpoints ................................................................................................................................ 29 
3.4. 
Mechanistic Endpoints .............................................................................................................................. 29 
3.5. 
Stratification, Randomization, and Blinding/Masking ................................................................................ 29 
4. 
Selection of Participants and Clinical Sites ........................................................................................................ 31 
4.1. 
Rationale for Study Population .................................................................................................................. 31 
4.2. 
Enrollment Inclusion Criteria ..................................................................................................................... 31 
4.3. 
Enrollment Exclusion Criteria .................................................................................................................... 31 
4.4. 
Randomization Inclusion Criteria ............................................................................................................... 32 
4.5. 
Randomization Exclusion Criteria .............................................................................................................. 32 
4.6. 
Selection of Clinical Sites ........................................................................................................................... 32 
5. 
Known and Potential Risks and Benefits to Participants .................................................................................... 33 
5.1. 
Risks of rituximab (Rituxan®) ..................................................................................................................... 33 
5.2. 
Risks of Immunosuppression Medications ................................................................................................. 35 
5.3. 
Risks of Study Procedures ......................................................................................................................... 36 
5.4. 
Potential Benefits ..................................................................................................................................... 37 
6. 
Investigational Agent ........................................................................................................................................ 38 
6.1. 
Rituximab (Rituxan®)................................................................................................................................. 38 

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6.2. 
Infusion Supervision (Rituximab and Rituximab Placebo)........................................................................... 40 
6.3. 
Drug Accountability .................................................................................................................................. 41 
6.4. 
Toxicity Prevention and Management ....................................................................................................... 41 
6.5. 
Modification or Premature Discontinuation of Investigational Agent ........................................................ 41 
7. 
Other Medications............................................................................................................................................ 43 
7.1. 
Immunosuppression Medications ............................................................................................................. 43 
7.2. 
Viral Prophylaxis and Therapy ................................................................................................................... 44 
7.3. 
Prohibited Medications ............................................................................................................................. 44 
7.4. 
Treatment for Hypogammaglobulinemia................................................................................................... 45 
7.5. 
Diagnosis and Treatment of Rejection ....................................................................................................... 45 
8. 
Study Procedures ............................................................................................................................................. 49 
8.1. 
Enrollment ................................................................................................................................................ 49 
8.2. 
Screening/Baseline Visit ............................................................................................................................ 49 
8.3. 
Randomization .......................................................................................................................................... 49 
8.4. 
Study Assessments .................................................................................................................................... 49 
8.5. 
Unscheduled Visits .................................................................................................................................... 51 
8.6. 
Visit Windows ........................................................................................................................................... 51 
8.7. 
Study Treatment Assignment Procedures.................................................................................................. 52 
9. 
Mechanistic Assays ........................................................................................................................................... 53 
9.1. 
Humoral Laboratory Core.......................................................................................................................... 53 
9.2. 
Markers of Graft Injury Core Laboratory ................................................................................................... 54 
9.3. 
Molecular Immunology Studies ................................................................................................................. 54 
9.4. 
Cellular Immunology Studies ..................................................................................................................... 55 
9.5. 
Immunohistochemistry ............................................................................................................................. 58 
9.6. 
Microbiology and Viral Detection Core ...................................................................................................... 58 
10. 
Biospecimen Storage and Future Use ............................................................................................................ 60 
11. 
Criteria for Participant and Study Completion and Premature Study Termination ......................................... 61 
11.1. 
Participant Completion ......................................................................................................................... 61 
11.2. 
Participant Stopping Rules and Withdrawal Criteria .............................................................................. 61 
11.3. 
Participant Replacement ....................................................................................................................... 61 
11.4. 
Follow-up after Early Study Withdrawal ................................................................................................ 61 
12. 
Safety Monitoring and Reporting .................................................................................................................. 62 

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12.1  Overview .................................................................................................................................................. 62 
12.2  Definitions ................................................................................................................................................ 62 
12.3  Grading and Attribution of Adverse Events ............................................................................................... 63 
12.4  Collection and Recording of Adverse Events ............................................................................................. 65 
12.5  Reporting of Serious Adverse Events and Adverse Events ......................................................................... 65 
12.6 
 Pregnancy Reporting ............................................................................................................................... 67 
12.7  Reporting of Other Safety Information ..................................................................................................... 67 
12.8  Review of Safety Information ................................................................................................................... 67 
13. 
Statistical Considerations and Analytical Plan................................................................................................ 72 
13.1 
Overview .................................................................................................................................................. 72 
13.2 
Endpoints and Safety Outcomes................................................................................................................ 72 
13.3 
Measures to Minimize Bias ....................................................................................................................... 72 
13.4 
Analysis Plan ............................................................................................................................................. 72 
13.5 
Interim Analyses ....................................................................................................................................... 76 
13.6 
Sample Size Considerations ....................................................................................................................... 76 
14. 
Identification and Access to Source Data ...................................................................................................... 78 
14.1. 
Source Data .......................................................................................................................................... 78 
14.2. 
Access to Source Data ........................................................................................................................... 78 
15. 
Protocol Deviations ...................................................................................................................................... 79 
15.1. 
Protocol Deviation Definitions ............................................................................................................... 79 
15.2. 
Reporting and Managing Protocol Deviations ........................................................................................ 79 
16. 
Ethical Considerations and Compliance with Good Clinical Practice .............................................................. 80 
16.1. 
Statement of Compliance ...................................................................................................................... 80 
16.2. 
Informed Consent Process .................................................................................................................... 80 
16.3. 
Privacy and Confidentiality .................................................................................................................... 80 
17. 
Publication Policy ......................................................................................................................................... 81 
18. 
References.................................................................................................................................................... 82 
APPENDICES 
Appendix 1:  Schedule of Events 
Appendix 2:  Schedule of Events (Donor) 

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Glossary of Abbreviations 
Abs 
Antibodies 
Ags 
Antigens 
ACR  
Acute Cellular Rejection 
AE 
Adverse Event 
AEC 
Airway Epithelial Cells 
AIB 
Autoimmune B cells 
ALT 
Alanine Aminotransferase 
AMR  
Antibody Mediated Rejection 
ANC 
Absolute Neutrophil Count 
APC 
Antigen Presenting Cell 
AST 
Aspartate Aminotransferase 
BAL 
Bronchoalveolar Lavage 
BOS 
Bronchiolitis Obliterans Syndrome 
cc 
Cubic Centimeters 
CBC  
Complete Blood Count 
CDC 
Center for Disease Control 
cDNA 
Complementary DNA 
CF 
Cystic Fibrosis 
CFR 
Code of Federal Regulations 
CMV 
Cytomegalovirus 
CNI 
Calcineurin Inhibitor 
CoIV 
Type V Collagen 
CRF 
Case Report Form 
CT 
Computed Tomography 
CTCAE 
Common Terminology Criteria for Adverse Events 
CTOT 
Clinical Trials in Organ Transplantation 
CTOT-02 
B-Cell Depletion by Anti-CD20 (Rituximab) in Renal Allograft Recipients Who 
Develop Early de Novo Anti-HLA Alloantibodies Will Result in Inhibition of 
Alloantiody Production and Attenuation of Chronic Humoral Rejection 
(NCT00307125) 
CTOT-11 
Prevention of Cardiac Allograft Vasculopathy Using Rituximab (Rituxan®) 
Therapy in Cardiac Tranpslantation (NCT01278745) 

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CTOT-C 
Clinical Trials in Organ Transplantation in Children 
CTOTC-03 
Viral Triggers of Alloimmunity and Autoimmunity in Pediatric Lung 
Transplantation (NCT00891865) 
CXR 
Chest X-Ray 
DAIT 
Division of Allergy, Immunology, and Transplantation 
dL 
Deciliters 
DLBCL 
Diffuse Large B cell Lymphoma 
DSA 
Donor Specific Antibody 
DSMB 
Data Safety Monitoring Board 
eCRF 
Electronic Case Report Form 
EBV 
Epstein Barr Virus 
eCRF 
Electronic Case Report Form 
ELISA 
Enzyme-Linked Immunosorbent Assay 
FDA 
Food and Drug Administration 
GCP 
Good Clinical Practice 
gm 
Gram 
H&E 
Hematoxylin and Eosin Stain 
HACA 
Human Anti-Chimeric Antibody 
HBcAb 
Hepatitis B Antibody 
HBsAg 
Hepatitis B Surface Antigen 
HBV 
Hepatitis B Virus 
hCOV 
Human Coronavirus 
HCV 
Hepatitis C Virus 
HIV 
Human Immunodeficiency Virus 
HLA 
Human Leukocyte Antigen 
hMPV 
Human Metapneumovirus 
ICH 
International Conference on Harmonization 
ICU 
Intensive Care Unit 
IFNg 
Interferon Gamma 
IL-1B 
Interleukin-1 beta 
IL-10 
Interleukin-10 
IL-17 
Interleukin-17 
IND 
Investigational New Drug 

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IPLTC 
International Pediatric Lung Transplant Collaborative 
IRB 
Institutional Review Board 
ISHLT 
The International Society for Heart & Lung Transplantation 
ISMMS 
Icahn School of Medicine at Mount Sinai 
ITN  
Immune Tolerance Network 
ITT 
Intent to Treat 
IVIG 
Intraveneous Immunoglobulin 
JC 
John Cunningham (Virus) 
Kα1T 
K-A1-Tubulin 
kD 
Kilo Dalton 
Kg 
Kilogram 
LTx 
Lung Transplanation 
LTxR 
Lung Transplant Recipients 
mg 
Milligram 
mH 
Minor Antigenic 
µL 
Microliter 
mm 
Millimeter 
MMF 
Mycophenolate Mofetil  
MMR 
Measles Mumps and Rubella 
MOP 
Manual of Procedures 
ng  
Nanogram 
NG 
Nasogastric 
NHL 
Non-Hodgkin Lymphoma 
NIAID 
National Institute of Allergy and Infectious Diseases 
nM 
Nanomolar 
NP 
Nasopharyngeal 
OAD 
Obliterative Airway Disease 
OB 
Obliterative Bronchilitis 
PCR 
Polymerase Chain Reaction 
PDT 
Protocol Development Team 
PFT  
Pulmonary Function Test 
PGD 
Primary Graft Dysfunction 
pg 
picogram 

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PI 
[Site] Principal Investigator 
PML 
Progressive Multifocal Leukoencephalopathy 
PO 
Per Oral 
PP 
Per Patient 
PRA 
Panel Reactive Antibody 
PTLD 
Post-Transplant Lymphoproliferative Disorder 
RA 
Rheumatoid Arthritis 
rATG 
rabbit Anti-thymocyte Globulin 
RESTARRT 
Research Study of ATG and Rituximab in Renal Transplantation (NCT01318915) 
RSV 
Respiratory Syncytial Virus 
RVI  
Respiratory Viral Infection 
SAE 
Serious Adverse Event 
SACCC 
Statistical and Clinical Coordinating Center 
SAP 
Statistical Analysis Plan 
SAR 
Suspected Adverse Reaction 
SD 
Standard Deviation 
SLE 
Systemic Lupus Erythematosis  
SOP 
Standard Operating Procedure 
SUSAR 
Serious Unexpected Suspected Adverse Reaction 
TBBx 
Transbronchial Biopsy 
TLR 
Toll-like Receptors 
Treg 
Regulatory T-Cells 
TVI 
Tacrolimus Variability Intervention 
TVT 
Tacrolimus Variability Threshold 
UNOS 
United Network for Organ Sharing 
 

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Study Definitions Page 
Abnormal Histology 
Abnormal histology will be defined as one or more of the following:   
• 
Neutrophilic capillaritis or septal margination; 
• 
high grade (³A3) or persistent /recurrent acute rejection; 
• 
acute lung injury/diffuse alveolar damage; 
• 
high grade (B2R) or persistent low grade (B1R) lymphocytic bronchitis 
obliterative bronchiolitis; 
• 
arteritis in the absence of acute rejection or other finding not explained 
by clinical circumstances (i.e. infectious causes thoroughly excluded). 
Acute Cellular Rejection 
Acute rejection, Grade A, will be defined based on pathology specimens 
obtained from transbronchial biopsy according to the working formulation for 
the revision of the classification of pulmonary allograft rejection in 2007.103 
Antibody Mediated 
Rejection 
Antibody Mediated Rejection (AMR) will be defined based on the Revision of the 
1996 Working Formulation for the Standardization of Nomenclature in the 
Diagnosis of Lung Rejection and the Pathology of pulmonary antibody mediated 
rejection and the 2012 update from the Pathology Council of the ISHLT.103,104 
AMR will be diagnosed based on the presence of one or more of the following: 
• 
Donor Specific Antibody (DSA) or autoantibody; 
• 
Abnormal Histology; 
• 
Graft Dysfunction. 
Anonymized 
A sample that was previously identifiable, has had all identifiers removed and 
can no longer be linked back to the subject or the subject’s medical record by 
any means. 
Chronic Allograft 
Dysfunction 
Chronic allograft dysfunction will be diagnosed locally based on ISHLT criteria for 
BOS or histologic evidence of oblitereans bronchilitis.103, 105 Local sites will rule 
out acute rejection, acute infection and airway stenosis or narrowing prior to 
diagnosing chronic allograft dysfunction. 
Donor Specific 
Antibodies or 
Autoantibodies 
Circulating antibody to HLA or other antigens expressed on donor endothelial 
cells. 
Inadequate Weight Gain 
Drop between 5-10 percentile points 
Infectious Events 
Infectious events will be defined using published criteria from the ISHLT.106  The 
2010 guidelines on defining infections in cardiothoracic transplantation provide 
classification of bacterial, fungal and viral pulmonary infections in lung transplant 
recipients.   
Lost to Follow-Up 
The CTOTC-08 subject may be considered “lost to follow up” after the subject 
misses a minimum of 3 consecutive study visits, and the site personnel has made 
a number of unsuccessful phone contacts.  The decision to early terminate the 
subject will be the decision of the site PI, all attempts to establish contact with 
the subject will be documented in the study files. 

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Tacrolimus Variability 
Intervention 
A series of calls with the participant, parent(s)/guardian(s) and specifically 
trained call center personnel to address barriers to adherence, using a 
manualized intervention.   
Tacrolimus Variabililty 
Threshold  
SD of 2.0 or more (outpatient tacrolimus trough levels) or an undetectable 
tacrolimus trough level.  
Primary Graft 
Dysfunction 
PGD is defined according to the recent summary statement from the ISHLT and 
will be graded from 0 to 3 based on radiographic changes and the ratio of 
PaO2/FiO2.107 
Retransplantation 
Listed for a second lung transplant 
Protocol Mandated 
Procedures 
Any procedure performed solely for the purpose of this research study (not site-
specific standard of care) 
Randomized 
A subject who met all eligibility criteria (inclusion and exclusion); met with the 
study investigator or designee to discuss the study purpose, requirements (i.e., 
time requirements, schedule of events, etc.), discussed all risks and benefits, and 
signed the informed consent document. 
Study Termination 
The subject will no longer be seen for any study related procedure; including 
clinical assessments, local laboratory assessments, study therapy, core 
mechanistic studies.  No data will be submitted on any subject as of the date of 
termination.   
Study Therapy 
The investigational agent and all protocol required therapies include the 
following; Rituximab (Rituxan®) or Rituximab Placebo, Standard of Care 
Immunosuppression (Thymoglobulin® (induction), Tacrolimus, Mycophenolate 
Mofetil and corticosteroids). 
 
 
 
 
 
 
 
 
 

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1. Study Hypothesis/Objectives 
1.1. Hypothesis 
Rituximab induction along with standard of care immunosuppression will improve outcomes following pediatric lung 
transplantation by reducing the development of antibodies reactive to donor mismatched HLA (DSA) and to lung 
expressed self-antigens and by limiting T-cell autoimmunity and alloimmunity without compromising patient safety. 
1.2. Primary Objective 
To determine whether rituximab induction along with standard of care immunosuppression will improve outcomes 
following pediatric lung transplantation. 
1.3. Secondary Objectives 
1. To determine the effects of rituximab induction on post-transplant immunity in pediatric lung transplant 
recipients. 
2. To assess the safety and tolerability of rituximab. 
3. To assess the feasibility of a phone based intervention to decrease tacrolimus trough level variability. 

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2. Background and Rationale  
2.1. Background and Scientific Rationale 
Outcomes after pediatric lung  
Pediatric lung transplantation is an accepted treatment for end-stage lung disease. Despite advancements in 
recipient selection, surgical techniques, prophylaxis against infection and development of new immunosuppressive 
regimens, annual reports from the International Society for Heart and Lung Transplantation (ISHLT) indicate no 
statistical improvement in long term outcome or survival for pediatric lung transplant recipients1. Further, data from 
the United Network for Organ Sharing (UNOS) supports that while survival has improved marginally, improvements 
in short-term survival account for this difference2. In addition, outcomes in both pediatric and adult lung 
transplantation are significantly worse than outcomes following transplantation of other solid organs. Despite 
increasing use of T-cell depleting induction therapies, 5-year survival has not been significantly impacted1. Five year 
survival has only increased incrementally from 51% to 53% in the most recent report.  
Bronchiolitis obliterans syndrome and morbidity/mortality  
BOS is the primary and most significant cause of long term morbidity and mortality after human lung transplantation 
(LTx) and reports from two large centers have shown the prevalence of BOS is 60% to 80% in 5 years post LTx in 
adults 3-6. The most recent statistics show 14% of pediatric patients develop bronchiolitis obliterans syndrome (BOS) 
within the first year after transplantation, which is unchanged from 5 years ago1,7. The incidence of BOS within 4 
years of transplant ranges from 31% in infants < 1 year at transplant to 54% in children > 12 at transplant and up to 
80% between 5 and 10 years in adults 1,7-9. Between 25 and 40% of lung transplant recipients will die directly or 
indirectly from BOS 1,3. While retransplantation for late lung allograft failure is feasible, limited organ availability can 
preclude rapid retransplantation and, more importantly, the survival after a second pediatric lung transplant is 
significantly worse than the primary transplantation particularly if performed within one year of the primary 
transplant 10-13. 
Immunologic basis for bronchiolitis obliterans syndrome 
BOS is a fibroproliferative process leading to obliteration of tubular structures in the organ 9,14. Putative etiologies of 
BOS include acute rejection, infection, reperfusion injury, drug toxicity, and lung denervation. However, the bulk of 
evidence suggests BOS is caused by an immunological injury to pulmonary epithelial and endothelial cells 15. Current 
understanding, derived from animal models of skin, heart, islet, tracheal and more recently, heterotopic lung 
transplant rejection, are that allograft injury, including many forms of chronic allograft injury, are T cell dependent16. 
Together this body of literature indicates both naïve and memory T cells, either directly recognizing donor allogeneic 
MHC or indirectly recognizing donor derived allogeneic (and or minor antigenic, mH) peptides expressed in the 
context of recipient MHC are central mediators of allograft injury16-18. Increasing experimental evidence further 
indicates that transplantation-associated inflammation can bypass self-tolerance mechanisms resulting in expansion 
of autoreactive T (and B cells) that contribute to allograft injury19-22. T cells reactive to heart-expressed cardiac 
myosin (CM) participate in murine heart transplant rejection and T cells reactive to lung-expressed type V collagen 
(ColV) mediate lung transplant injury.  In addition to the antigen specificity, the frequency of responding CD4 and 
CD8 T cells and their induced effector functions (including cytokine profiles and cytotoxic potential) contribute to the 
pathogenicity of the transplant-induced immune response23,24. 

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While a pathogenic role for alloreactive and autoreactive T cells mediating human lung allograft injury including BOS 
is implied from animal studies, there is less direct evidence to support this contention from human lung transplant 
recipients.  As one example, Wilkes, Burlingham and colleagues showed that ColV specific, IL-17 producing T cells are 
specifically detectable prior to the clinical recognition of BOS in adult lung transplant recipients.25 Further, 
Mohanakumar showed expansion of both ColV-specific and donor-specific HLA class II IFNg- producing T cells and IL-
17- producing T cells in adult lung transplant recipients with BOS.26-28 Data from the CTOTC-03 study include the 
most comprehensive analysis of T cell immunity in children ever reported.  Preliminary findings reveal donor 
reactive T cells, as well as kα1T-reactive T cells, are detectable in a significant minority of children prior to and 
following lung transplantation.  
It is essential to note that T cells function optimally in the context of interactions with other immune cells, including 
B cells.  T-B interactions are bidirectional.  T cell expressed CD154 interactions with B cell expressed CD40, along 
with T cell derived cytokines, provide helper signals for B cells to undergo an isotype switch (e.g. from IgM to IgG). 
The resultant antibodies to mismatched donor-MHC and or autoantigen are key contributors to acute and chronic 
allograft injury16.  Work from Mohanakumar and colleagues showed that antibodies to kα1T and ColV are strongly 
associated with lung transplant injury in adults29,30.   
Antibodies to MHC as well as autoantibodies can cause obliterative airway disease in mice.31  As one example, 
Mohanakumar et al demonstrated that administration of anti-HLA in the absence of T cells could cause obliterative 
airway disease (OAD) in a transgenic murine model 32. Recently his group has also shown that antibodies to kα1T 
when given intraperitoneally following syngeneic lung transplantations in a murine model of orthotopic left lung 
transplantation can result in OAD (abstract presented at ISHLT, Prague, 2012). Potential mechanisms of antibody 
mediated injury at the effector site, largely derived from studies in animals, include complement mediated injury, 
macrophage/NK cell mediated injury via FcR binding, and direct stimulation of the target cell by the antibody.   
Vascular rejection and development of anti-HLA antibodies were associated with chronic allograft rejection in 
humans 33,34. Mohanakumar and colleagues showed anti-HLA is associated with development of BOS after LTx in 
adults 5 . Based on the findings of shed donor HLA in the lungs following LTx35, it is likely that donor HLA are 
processed and presented to T helper cells engaged in indirect recognition, production of cytokines and  secretion of 
allo-Ab 36-38. Mohanakumar’s studies demonstrated T-cells from LTx recipients (LTxR) with BOS can recognize donor 
HLA-I & II peptides 36,39,40. Moreover, this work showed anti-HLA can activate human airway epithelial cells (AEC) 
resulting in growth factor production which play an important role in BOS 41.  
Independent of antibody production, B cells are also found within the lung at sites of inflammation/rejection and 
were shown to be associated with the late development of BOS.  Intriguingly, while mice administered anti-MHC 
developed OAD associated with an increased number of lung infiltrating B cells (2.3±0.6x106 vs. 0.9±0.4x106cells, 
p<0.05), mice lacking B cells did not develop OAD following administration of anti-MHC antibodies.31,42  Testing 
whether B cell depletion prevents B cell infiltrates in the lung and thereby limits BOS in children is one goal of the 
proposed work. 
B cells also process and present donor antigen with appropriate costimulatory signals to T cells, raising the intriguing 
hypothesis that B cell depletion could prevent T cell activation by removing a key antigen presenting cell (APC) in 
cellular immune responses.  Experiments performed in mice43,44 as well as in primates45,46 support this hypothesis, as 
the absence or depletion of B cells prevented chronic heart allograft injury and the development of OAD in a murine 

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model42 associated with diminished T cell activation.  These experimental studies provide important rationale for our 
proposed work in children with lung transplants, in which we will test the clinical and mechanistic impact of B cell 
depletion on outcome and T cell alloimmunity respectively.   
While the above discussion focuses on the pathogenic role of T-cells and B cells, both T-cells and B cells can function 
as regulatory/suppressor cells to control pathogenic immunity.  Regulatory T-cells (Treg) have many phenotypes 
with the principal one being CD4+CD25+Foxp3+.  These regulatory cells exert control over other T cells through 
multiple mechanisms including CTLA4 induced inhibition of APCs, secretion of immunomodulatory cytokines (TGFb, 
IL-10) and adenosine metabolism via CD39. Regulatory, IL-10 producing B cells have also recently been described in 
animals47-50, and potentially in humans. 51-55 Regulatory B cells may directly inhibit pathogenic T cells but additionally 
have been reported to function in part by inducing/propagating Treg.  Intriguing evidence from animal models and 
from spontaneously tolerant human kidney transplant recipients suggest that B cells are required for tolerance 
induction and that B cell depletion can occasionally precipitate rejection, potentially by removing Breg (and as a 
consequence Treg).50,52,56 
B cell depletion with rituximab in pediatrics and transplanation 
Rituximab is a chimeric mouse/human monoclonal antibody approved as early as 1997 for use in Non-Hodgkin’s 
Lymphoma, Chronic Lymphocytic Leukemia, Rheumatoid Arthritis (RA) in combination with methotrexate in adult 
patients with moderately-to severely-active RA who have inadequate response to one or more TNF antagonist 
therapies, Wegener’s Granulomatosis and Microscopic Polyangiitis in combination with glucocorticoids.  Rituximab 
targets CD20, a cell surface expressed protein found immature, transitional, mature and memory B cells but is 
absent on antibody producing plasma cells.  While its exact mechanism of action is not fully understood, multiple 
studies in adults with autoimmune diseases such as Systemic Lupus Erythematosis (SLE) or RA showed that rituximab 
markedly depletes CD19+HLA-DR+ 57 and memory CD19+CD27+ B cells.58  Switched memory B cells (CD27+IgD-) are 
relatively spared compared to CD27-IgD+ naïve B cells and CD27+IgD+ unswitched B cells.58 Further in RA patients, 
responders to rituximab therapy showed a significant decrease in CD19+CD27+ memory B cells compared to non-
responders indicating that response may be impacted by the subset of B cells affected.57 One important 
consequence of rituximab-induced B cell depletion is that the host B cell repertoire repopulates over the ensuing 3-6 
months.  This reconstitution process appears to recapitulate B cell ontogeny, where immature B cells undergo 
negative selection on stromal cells in the bone marrow and emerge with a transitional phenotype into the 
periphery.59  Transitional B cells, characterized by expression of CD38hiCD24hiIgD+CD27-CD10+/-,60 require survival 
signals provided by the cytokines BAFF and APRIL and are key intermediaries in the development of the mature B 
cell repertoire.  Evidence suggests that the transitional B cell population contains Breg and that transitional B cells 
are subject to mechanisms of self-tolerance in the periphery. 
2.2. Rationale for Selection of Investigational Product 
Rituximab is a chimeric mouse/human monoclonal antibody approved as early as 1997 for use in Non-Hodgkin’s 
Lymphoma, Chronic Lymphocytic Leukemia, Rheumatoid Arthritis (RA) in combination with methotrexate in adult 
patients with moderately-to severely-active RA who have inadequate response to one or more TNF antagonist 
therapies, Wegener’s Granulomatosis and Microscopic Polyangiitis in combination with glucocorticoids. Rituximab 
targets CD20, a cell surface expressed protein found immature, transitional, mature and memory B cells but is 
absent on antibody producing plasma cells. While its exact mechanism of action is not fully understood, multiple 
studies in adults with autoimmune diseases such as Systemic Lupus Erythematosis (SLE) or RA showed that rituximab 
markedly depletes CD19+HLA-DR+ 57 and memory CD19+CD27+ B cells.58 Switched memory B cells (CD27+IgD-) are 

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relatively spared compared to CD27-IgD+ naïve B cells and CD27+IgD+ unswitched B cells.58 Further in RA patients, 
responders to rituximab therapy showed a significant decrease in CD19+CD27+ memory B cells compared to non-
responders indicating that response may be impacted by the subset of B cells affected.57 One important 
consequence of rituximab-induced B cell depletion is that the host B cell repertoire repopulates over the ensuing 3-6 
months. This reconstitution process appears to recapitulate B cell ontogeny, where immature B cells undergo 
negative selection on stromal cells in the bone marrow and emerge with a transitional phenotype into the 
periphery.59 Transitional B cells, characterized by expression of CD38hiCD24hiIgD+CD27-CD10+/-,60 require survival 
signals provided by the cytokines BAFF and APRIL and are key intermediaries in the development of the mature B 
cell repertoire.  Evidence suggests that the transitional B cell population contains B reg and that transitional B cells 
are subject to mechanisms of self-tolerance in the periphery. 
Rituximab has been safely used in pediatric patients 
In pediatrics, rituximab is safe when used for multiple indications including B-cell leukemia/lymphoma, relapsing 
minimal change disease and focal segmental glomerulosclerosis, calcineurin-dependent nephrotic syndrome and 
progressive IgA nephropathy.61 Treatment of post-transplant lymphoproliferative disease in solid organ transplant 
recipients with rituximab appears both promising and safe.62  Further, rituximab has been reported in limited 
numbers of pediatric lung transplant recipients for treatment of PTLD, AMR and capillaritis.63,64 Several protocols for 
hematopoietic stem cell transplant report safely using rituximab as adjunctive therapy to T-cell depleting induction; 
this is similar to the proposed intervention arm but in a novel population, pediatric lung transplant recipients. The 
safety of rituximab in pediatric transplantation is underscored by a recent review of 42 pediatric children’s hospitals 
indicating that 30% of pediatric rituximab use is in pediatric transplant recipients.65 
Rituximab has been used with some efficacy in transplant recipients to remove pre-existing antibodies.  
In adult transplantation, trials evaluating rituximab as induction in sensitized kidney recipients, unsensitized kidney 
(RESTARRT) and heart recipients (CTOT-11) are ongoing.  Induction with rituximab was successfully reported in a 
double-blind, placebo controlled study of adult kidney transplant recipients in Sweden without an increased 
incidence of post-transplant infection.63  In pediatric renal transplantation, Chaudhuri and colleagues reported the 
resolution of post-transplant nephrotic syndrome recurrence (mediated by autoantibody to nephrin proteins) with 
rituximab.64 Additionally, 4 weekly doses of rituximab was successfully used in trials as a treatment in combination 
with thymoglobulin and steroids for acute kidney rejection with B-cell infiltrates in pediatric recipients.65 No 
increased risk of infection was observed. Furthermore, pediatric and adult kidney recipients who develop early post-
transplant anti-HLA antibodies were randomized to receive 2 (adults) or 4 (children) doses of rituximab or placebo to 
assess for differences in chronic allograft function (CTOT-02).  Data from kidney transplantation suggests that at 
least 2 doses are needed to achieve effective B-cell clearance. 69,70  
Use in adult pre-transplant desensitization and adult lung transplantation antibody therapy 
While isolated B-cell depleting induction (without T-cell directed induction) was found to be inadequate with 
increased risk of acute T-cell mediated cellular rejection in one study,71 B-cell depletion with rituximab in multiple 
adult studies has been shown to improve outcomes when used as part of ABOi desensitization protocols prior to 
kidney transplantation.72,73 Rituximab has been employed successfully in adult lung transplantation for the same 
indication in case reports.74,75  Furthermore, in adult lung transplant recipients found to have DSA and self-antigens 
(Ka1T and colV) rituximab was used as part of an antibody depleting regimen.  Patients who cleared either DSA or 
self-directed antibodies were less likely to progress to BOS than patients with persistent antibody.76,77   However, 

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only a subset of subjects cleared either DSA or auto-antibodies with the intervention suggesting that prevention of 
antibody development from the time of transplantation may be a more effective approach to BOS prevention. 
Hypothesis and Dosing rationale 
Taken together these studies suggest that rituximab can effectively deplete subsets of circulating B-cells and reduce 
antibody formation without significantly increasing infectious risk. Moreover its successful use in autoimmune 
disease suggests that, following reconstitution of the B-cell compartment, autoimmunity may not return.  We 
hypothesize that, due to the injury associated with donor death and the transplant procedure, the early post-
transplant period is critical for the development of adaptive immunity (both cellular and humoral).  Therefore 
depletion of the B-cell population during this period will reduce or eliminate the development of adaptive humoral 
responses to donor antigens and exposed cryptic lung self-proteins and add to the reduction in cellular immunity by 
reducing the pool of B-cells available to serve as APCs.  
We considered other potential interventions to affect antibody mediated pathology including intravenous 
immunoglobulin or bortezomib (which depletes plasma cells); however, rituximab was chosen due to the 
established safety profile in pediatric transplant patients coupled with the greatest potential biological impact (i.e. 
prevention of antibody development via depletion of specific B-cell subsets as opposed to strategies directed at 
antibody removal).    
Thus our primary hypothesis is that induction with rituximab (in combination with Thymoglobulin) will improve 
outcomes following pediatric lung transplantation through a decrease in antibody development post-transplant.   
The regimen of 375mg/m2 was chosen based on manufacturer labeling for current indications, safety profile and 
historical pediatric experience with rituximab.  In light of the information from prior studies using a single dose of 
rituximab a second dose is scheduled at day 12 post-transplant consistent with the study design of the adult heart 
transplant study (CTOT-11). We will assess the level of B cell reduction in the first 8 participants using flow 
cytometry to ensure B cell reduction in this patient population is equivalent to B cell reduction obtained in other 
studies.   
2.3. Preclinical Experience 
In the murine model for OAD previously 
established in the Mohanakumar lab, non-
complement fixing MHC class I Abs were 
administered intra-tracheally to wild type mice 
and complement factor C3 knock out (C3KO) 
mice. Both groups developed OAD as evidenced 
by increase in cellular infiltration and fibrosis 
around the vessels and bronchioles (Figure 1).  
This was associated with development of T-
helper (Th)-17 type immune responses to ColV 
and Kα1T and up-regulation of profibrotic 
cytokines and growth factors.  This indicates 
complement activation is not necessary in the 
pathogenesis of chronic rejection following lung 
transplantation. 
 
Figure 1: OAD lesions upon ligation with non-complement fixing Abs in murine 
alloimmune OAD model 

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2.4. Clinical Studies 
The funded and ongoing CTOTC-03 trial is a prospective, 
observational study to evaluate the impact of respiratory viral 
infections on the development of allo-and autoreactivity in 
pediatric lung transplant recipients.  The team has laboratory 
results on 36 patients thus far. 
While positive class I (3%) or class II (0%) DSA pre-transplant were 
rare, significant numbers developed class I and class II DSA within 
3 months post-transplant (Figure 2).    
Autoantibodies to ColV and kα1T were detectable prior to transplant in 33% and 44% of subjects, respectively. Post-
transplant, de novo DSA and autoantibodies to both self-antigens occurred frequently, with kα1T most common.  
Correlations between antibodies and outcomes have not been assessed to date.  
These results indicate both allo- and autoantibodies develop frequently and early following pediatric lung 
transplantation supporting our contention that induction therapy targeting B cells will be required to prevent and or 
eliminate these antibodies. 
We analyzed recipient T cells for reactivity to donor antigens (when donor 
tissue was available) and to ColV and kα1T as putative autoantigens.  We 
observed 9/26 (35%), 2/36 (6%) and 21/36 (58%) of the recipients exhibited 
significant frequencies of IFNg producing cells to donor and/or autoantigens 
(ColV and Kα1T) posttransplant, respectively.   
To expand upon these techniques to test for IL-17 production (IL-17 has been 
associated with BOS in recent adult transplant recipients25) with limited 
available cells from pediatric patients we developed a 2 color IFNg/IL-17 ELISPOT assay (Figure 3).   
CTOTC-03 tested for respiratory viral infections as a potential trigger for immune activation. We evaluated 
prospective serial nasopharyngeal (NP) and bronchoalveolar lavage (BAL) specimens and interrogated by respiratory 
multiplex PCR (Luminex xTAG) that identifies 17 viruses.  
Preliminary epidemiologic data revealed 23 of 31 (74%) of subjects had at least one positive viral specimen. The 
median time to virus-positive specimens was 65 days post-transplant (range 1-599). Rhino/enterovirus was 
recovered most frequently (40 episodes) compared to coronavirus (3), hMPV (1), influenza (2), RSV (2), adenovirus 
(1), parainfluenza (1). Rhino/enterovirus occurred throughout the year but the other viruses were detected in the 
winter/spring months. Along with previous infectious diseases epidemiology, we have the capacity to monitor for 
and respond to changes in the rates of infectious episodes in our patient population. 
 
 
 
 
0
20
40
60
80
100
Pre-Transplant
de novo Post-
transplant
Percent
Percent +antibodies from those at risk 
DSA I
DSA II
ka1T
ColV
Figure 3:  2 color IFNg/IL-17 ELISPOT assay 
Figure 2:  Percent + antibodies from those at risk 

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Development of Abs to HLA following Lung Transplant and its impact on the development of BOS: 
 Since 2006, the Washington University adult lung program and the 
Mohanakumar lab instituted serial analysis for development of Abs to 
donor mismatched HLA during the post-transplant period. All adult LTxR 
had negative donor cross-matches. Of 116 patients serially analyzed, 65 
developed DSA (56%), with 52 in the first 90 days, again supporting our 
contention that early intervention will be required to prevent induction.  
To test the hypothesis that antibodies contribute to late graft injury, the 
Mohanakumar group used IVIG (500 mg/kg x 6 monthly doses) and 
rituximab (375 mg/m2 x 1 dose) for desensitization. Of the 44 patients 
treated, 27 (61%) cleared the DSA, and 17 (39%) had persistent DSA. An 
additional 17 patients were treated with IVIG alone and 11 (65%) cleared 
the DSA.  More importantly, patient and graft survival was significantly better in successfully desensitized patients 
(Figure 4) providing strong correlative evidence that DSA participate in the development of allograft injury.78   
A critical role for Abs to self-Ags in the pathogenesis of BOS:  
Among adult LTxR who developed 
DSA (n=57) and subsequently 
cleared DSA following Ab directed 
therapy (n=34), 9 patients 
nonetheless developed BOS.  We 
detected persistence of Abs to self-
Ags, ColV and kα1T in most of these 
individuals, strongly implicating 
pathogenic roles for Abs to self-Ags. 
As shown in Figure 5, the LTxR who 
cleared both Abs to HLA and self-Ags 
demonstrated improved freedom from BOS in comparison to patients that cleared only DSA but not Abs to self Ags.  
Taken together, these preliminary results strongly support our hypothesis that Abs to self–Ags play a critical role in 
the pathogenesis of BOS and our proposed study will assess both the impact of intervention and further determine 
significance and mechanisms of antibodies to self-antigens.  
Successful post-transplant desensitization of Abs to self-Ags in adult LTxR:  
To determine whether a post-transplant desensitization regimen for DSA with rituximab and IVIG has an impact on 
the Abs to self-Ags, we analyzed 123 LTxR who developed DSA.  Forty-five LTxR had Abs to kα1T and 31 had Abs to 
ColV prior to desensitization. Following treatment 46.7% of the kα1T+ and 48.4% of the ColV+ became negative and 
another 25% demonstrated a significant decrease. This study demonstrates that rituximab-based desensitization of 
Abs to self-Ags is feasible. 
 
Figure 4: Improved survival following 
clearance of DSA. 
 
Figure 5: Increased incidence of BOS in DSA cleared LTx patients following Ab  
directed treatment when Abs to self-Ags persist 

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Correlation between antibodies to self-Ags and pro-inflammatory milieu 
persists with continued Abs to self-Ags even after DSA clears: To determine 
the mechanisms by which Abs against HLA and self-Ags may contribute to the 
pathogenesis of BOS, were performed serum cytokine analysis using 25-plex 
Luminex assay. We analyzed sera from three groups of patients: group I DSA 
and Abs to self-Ags present (prior to therapy), group II cleared DSA but Abs to 
self-Ags persisted and group III cleared both DSA and Abs to self-Ags. 
Results presented in Figure 6 demonstrate that group I patients who had 
both DSA and Abs to self-Ag (n= 23) as well as group II that cleared DSA but 
persisted Abs to self-Ag (n=9) had high levels of pro-inflammatory cytokines. 
In contrast, group III cleared DSA and Abs to self-Ags (n=25) and did not 
develop BOS had decreased levels of pro-inflammatory cytokines (namely IL-
1β (3.2 fold decrease), IL-17 (3.0), and IFN-γ (2.3)) and increased IL-10 (3.7 
fold, p<0.01 for all) within 6 months. These results support persistent 
immune responses to self-Ags can lead to a pro-inflammatory milieu that can                                                               
facilitate the development of BOS.   
Increased frequency of B cell with autoimmune phenotype in BOS:  
Data from mouse models and humans with autoimmune diseases suggest an 
important role for a specific subset of B cells in the pathogenesis of 
autoimmune diseases79-81.  These B cells express CD11c, produce 
autoantibodies and can be induced to proliferate in response to TLR stimuli.  
To determine whether this subpopulation of B cells is increased in adult LTxR 
with BOS we determined the frequency of the autoimmune B cells (AIB) with 
phenotype of CD19+, CD11c+ B220+ in peripheral blood of LTxR with BOS and 
Abs to self-Ags. Results presented in Figure 7 demonstrate a five-fold increase 
in the AIB (9.6±2.8% of B cells) over normal (1.6±0.7% of B cells). To determine 
whether those B cells are present in the lung allografts, BAL cells were 
characterized. Results demonstrate that the BOS(+) LTxR who had Abs to self-
Ag demonstrate a 3.5 fold increase over BOS(-) LTxR (9.3±2.1% vs. 2.8±1.2% of B cells, n=6). It is of interest that 
BOS(+) anti self-Ag(-) LTxR showed similarly low frequency of AIB as in BOS(-) LTxR (data not shown). These results 
strongly favor our contention that AIB may play a role in immune responses to self-Ags and development of BOS, 
which will be tested in the mechanistic study. 
Circulating B cells in BOS(+) LTxR augment the frequency of self-Ag specific Th17 cells: 
To determine the role of B cells to activate self-Ag specific T cells , T cells isolated from 
BOS(+) self-Ab(+) or BOS(-) self Ab(-) LTxR were cultured with sub-optimal concentrations 
of kα1T or ColV (100ng/ml) with or without B cells. At the end of 2 weeks, the frequency of 
Th17 cells was analyzed by ELISPOT.   
 
Figure 6: Increased Pro-inflammatory 
cytokines in LTx patients with persistent DSA 
and Abs to self-Ags correlated with BOS. 
 
 
Figure 7: Increased frequency of AIB in 
PBMC and BAL. 
PBMC                       BAL 
 
Figure 8: Frequency of Ag specific 
Th17 cells increases in the 
presence of B cells. 
0
20
40
60
80
100
120
KAT
Collagen V
SPM
B+
B-

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Results in Figure 8 demonstrate that in the presence of B cells there was a significant increase in the frequency of 
Th17 cells specific for kα1T and ColV when compared without B cells. BOS(-) self-Ab(-) LTxR or cells from normal 
volunteers failed to respond.  
BOS(+) LTxR with significant increase in pro-inflammatory environment even without Abs to HLA, ColV and kα1T:  
Sera from LTxR with BOS but neither DSA nor Abs to self-Ags (ColV, Kα1T) were analyzed for serum cytokines using 
Luminex. LTxR who developed BOS (24%, 12/51) but did not develop Abs to HLA or ColV and kα1T had elevated 
levels of IL-17 (8.2), IFN-γ (3.7) and decreased levels of IL-10 (2.9) suggesting that induction of Th17 immune 
responses may play a role even in the absence of humoral responses to HLA, ColV and kα1T.  

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3. Study Design 
3.1. Description of Study Design  
This is a phase 2, prospective, multi-center, double-blind, randomized, placebo-controlled clinical trial in which 50 
primary pediatric lung transplant recipients will be randomized (1:1) to receive either induction therapy with anti-
CD20 mAb (375 mg/m2) IV or placebo (IV day 0 and day 12 post-transplant) plus standard of care 
immunosuppression (thymoglobulin induction, tacrolimus or equivalent, MMF or equivalent, and steroids).  The 
study will randomize 50 primary pediatric lung transplant recipients from seven participating centers. Subjects will 
be screened, consented, and enrolled while on the UNOS waitlist. When the recipient has received the transplant 
and is deemed hemodynamically stable, randomization will occur.     
Figure 9: Study Design 
 
While on UNOS Waitlist: 
Enrollment criteria met and subject is enrolled.           
N=50           
Randomized    
1:1
Placebo Induction Therapy 
Plus Standard of Care 
Immunosuppression 
N=25 
Rituximab Induction Therapy      
Plus Standard of Care 
Immunosuppression 
N=25 
Primary Endpoint at 12 months post-transplant                                   
Randomization criteria 
met within 12h of 
returning to the ICU 
following transplant?
Yes 
No 
Terminated 
Transplant occurs and subject is considered stable 
enough to safely tolerate rituximab infusion.             
Baseline mechanistic samples collected                  

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3.2. Primary Endpoints 
The primary endpoint is the earliest time to any of the following events during the follow-up period: 
• 
Chronic Allograft Dysfunction 
• 
Listed for Retransplant  
• 
Death 
3.3. Secondary Endpoints 
The following secondary clinical endpoints will be assessed: 
1. Post-transplant outcomes including:  
a) Incidence of chronic allograft dysfunction, relisting and death during the follow-up period, which will be a 
minimum of 12 months post-transplant; 
b) Incidence of Primary Graft Dysfunction; 
c) Incidence of Grade A Acute Rejection during the follow up period, which will be a minimum of 12 months 
post-transplant; 
d) Incidence of Antibody Mediated Rejection during the follow up period, which will be a minimum of 12 
months post-transplant; 
e) Incidence of tacrolimus variability threshold during the follow up period, which will be a minimum of 12 
months post-transplant;   
f) Percentage of participants meeting tacrolimus variability threshold who complete tacrolimus variability 
intervention;   
g) Magnitude of change in standard deviation of tacrolimus levels following intervention. 
2. Post-transplant safety outcomes including: 
a) Incidence and severity of infection episodes;  See previous comment in the synopsis above 
b) Serious adverse events related to rituximab. 
3.4. Mechanistic Endpoints 
The following mechanistic endpoints will be assessed: 
1. Incidence and kinetics of DSA and autoantibodies, specifically Collagen V (ColV) and k-alpha-1 tubulin (kα1T); 
2. Frequency, kinetics, phenotype and function of peripheral B cells;  
3. Frequency, kinetics and cytokine profiles of allo- and auto reactive T cells; 
4. Incidence and quantity of B cells and B cell proximity to other cells in the graft tissue. 
3.5. Stratification, Randomization, and Blinding/Masking 
This is a double-blinded study; therefore, medication assignments will be blinded to the study participants as well as 
to the site clinical personnel.  Only the site research pharmacist will have access to the unblinded randomization 
schedule for that site.  In the event the subject undergoes a life-threatening reaction, then study subject and 
treating physician will be unblinded to the treatment assignment.  In the event the subject undergoes repeat severe 
infusion or hypersensitivity reactions, despite appropriate treatment, then study subject and treating physician will 
be unblinded to the treatment assignment.   IND safety reports will be reported to the FDA, DSMB, and IRBs in an 
unblinded fashion. 

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Randomization treatment assignments will be developed by the SACCC statisticians and stored on the SACCC server.  
The SACCC will maintain a central web-based randomization system.  Once the subject is determined to be eligible 
based on the criteria, the site personnel will be provided the appropriate treatment assignment. 
3.5.1 
Procedure for Unblinding/Unmasking 
Unblinding must be approved by the study Medical Monitor unless an immediate life threatening condition 
has developed and the Medical Monitor is not accessible.  The site investigator will notify the protocol 
chair(s) and the study Statistical and Clinical Coordinating Center team of the unblinding event on the next 
business day. The emergency unblinding will also be reported to the Data and Safety Monitoring Board 
(DSMB). 
A full account of the event will be recorded on the Study Treatment Unblinding eCRF, including the date and 
time of the unblinding, the reason for the decision to unblind, and the name of the individual who made the 
decision and the names of the Medical Monitor and others who were notified. The reasons for unblinding of 
a participant’s treatment will be included in the final study report. 
Unblinding the study due to an approved interim analysis, final analysis, or study termination will require 
written approval from NIAID. 

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4. Selection of Participants and Clinical Sites 
4.1. Rationale for Study Population 
Although early outcomes in pediatric transplantation have improved in the past 2 decades, conditional survival 
beyond the early post-transplant period has not improved significantly, due primarily to the development of chronic 
allograft dysfunction.  This is particularly evident for pediatric lung transplant recipients.  In recent years, 
accumulating evidence has implicated antibodies as an important contributor to chronic allograft dysfunction.  
These include antibodies to donor histocompatibility antigens or cryptic self-antigens exposed during organ 
transplantation or subsequent graft injury.  The mechanistic connection between antibody development and chronic 
allograft dysfunction in lung transplantation has yet to be determined.  Moreover, effective therapies for prevention 
and management of pathologic antibodies for chronic allograft dysfunction have yet to be developed.   
This study and the associated mechanistic studies will dissect the role B cells play in this process, including direct 
antibody mediated effects and indirect effects on cellular alloimmune and autoimmune response.   
4.2. Enrollment Inclusion Criteria 
Individuals who meet all of the following criteria are eligible for enrollment as study participants:  
1. Subject and/or parent guardian must be able to understand and provide informed consent; 
2. Less than or equal to 21 years of age; 
3. Candidate for a primary lung transplant (listed for lung transplant); 
4. Adequate bone marrow function based on the following criteria: 
a. ANC:  >1000mm3 
b. Platelets:  >100,000/mm3 
c. Hemoglobin:  >7 gm/dL 
d. AST or ALT< 2x Upper Limit of Normal unless related to primary disease 
5. Female and male subjects with reproductive potential must agree to use FDA approved methods of birth control 
for 12-months after completion of treatment. 
4.3. Enrollment Exclusion Criteria 
Individuals who meet any of these criteria are not eligible for enrollment as study participants:  
1. Inability or unwillingness of a participant to give written informed consent or comply with study protocol; 
2. Multi-organ transplant; 
3. Previous treatment with rituximab (Rituxan®); 
 
4. History of severe allergic anaphylactic reactions to humanized or murine monoclonal antibodies; 
5. History of severe reaction to previous therapy with IVIG; 
6. History of Burkholderia cenocepacia; 
7. History of anti-CD20 therapy; 
8. Persistent hypogammaglobulinemia (IgG < lower level of normal for age based on local laboratory ranges or 400 
gm/dL for >2 months) and/or IVIG replacement therapy; 
9. Positive blood culture, sepsis or other disease process with hemodynamic instability at time of enrollment; 

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10. Any history of serologic positivity to HIV, HBsAg, HBcAb and HCV Ab; 
11. History of malignancy less than 2 years in remission of malignancy (any history of adequately treated in-situ cervical 
carcinoma, or adequately treated basal or squamous cell carcinoma of the skin will be permitted); 
12. Any condition, including psychiatric disorders, that in the opinion of the investigator would interfere with the subject’s 
ability to comply with study requirements; 
13. Participation in another investigational trial within 4 weeks of enrollment; 
14. Currently lactating or plans to become pregnant during the timeframe of the study follow-up period; 
15. Past or current medical problems or findings from physical examination or laboratory testing that are not listed 
above, which, in the opinion of the investigator, may pose additional risks from participation in the study, may 
interfere with the participant’s ability to comply with study requirements or that may impact the quality or 
interpretation of the data obtained from the study. 
4.4. Randomization Inclusion Criteria 
Individuals who meet all of the following criteria are eligible for randomization:  
1. Serum IgG immunoglobulin level greater than lower level of normal for age based on local laboratory ranges or 400 
gm/dL within 90 days prior to randomization; 
2. Female subjects of childbearing potential must have a negative pregnancy test within 48 hours of transplant; 
3. Negative for Hepatitis B infection (if at time of transplant, participant does not exhibit effective immunization, the 
participant should be re-tested). 
4.5. Randomization Exclusion Criteria 
Individuals who meet any of these criteria are not eligible for randomization: 
1. Use of an induction agent other than Thymoglobulin®; 
2. Renal insufficiency requiring hemodialysis or ultrafiltration; 
3. Inability to obtain intravenous access; 
4. Positive blood culture, sepsis or other disease process with hemodynamic instability at time of transplant; 
5. Use of investigational agent(s) within 5 half-lives of the investigational drug or 4 weeks, whichever is longer; 
6. Receipt of a MMR vaccine within 30 days prior to randomization; 
7. Any condition that, in the opinion of the investigator, would interfere with the subject’s ability to comply with study 
requirements. 
4.6. Selection of Clinical Sites 
The target population for this study consists of pediatric lung transplant recipients.  Subjects will be enrolled at sites 
throughout the United States.  The sites participating in the study have performed the majority of pediatric lung 
transplants annually in the United States.  The target population therefore is a fair representation of the pediatric 
lung population.   
 
 

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5. Known and Potential Risks and Benefits to Participants 
5.1. Risks of rituximab (Rituxan®) 
No dose-limiting effects were observed in Phase I/II studies.  Reported adverse events including fever, chills, 
headache, nausea, vomiting, rhinitis, asthenia, and hypotension, occurred primarily during rituximab infusions and 
typically responded to an interruption of the infusion and resumption at a slower rate.   
Fatal Infusion Reactions:  Severe and fatal cardiopulmonary events, including angioedema, hypoxia, pulmonary 
infiltrates, acute respiratory distress syndrome, myocardial infarction, and cardiogenic shock, have been reported.  
These severe reactions typically occurred during the first infusion with time to onset of 30-120 minutes. 
Cardiac Events:  Patients with preexisting cardiac conditions, including arrhythmia and angina, have had recurrences 
of these cardiac events during rituximab infusions. 
Tumor Lysis Syndrome:  Tumor lysis syndrome, some with fatal outcome, has been reported and is characterized in 
patients with a high number of circulating malignant cells (≥25,000 ul) by rapid reduction in tumor volume, renal 
insufficiency, hyperkalemia, hypocalcemia, hyperuricemia, and hyperphosphatemia. 
Renal Events:  Rituximab has been associated with severe renal toxicity including acute renal failure requiring 
dialysis, and in some cases has led to death.  Renal toxicity has occurred in patients with high numbers of circulating 
malignant cells (≥25,000/mm2) or high tumor burden who experience tumor lysis syndrome and in patients 
administered concomitant cisplatin. 
 Mucocutaneous Reactions:  Severe bullous skin reactions, including fatal cases of toxic epidermal necrolysis and 
paraneoplastic pemphigus, have been reported in patients treated with rituximab.  The onset of reaction has varied 
from 1 to 13 weeks following rituximab exposure. 
Nervous System:   
a. Posterior reversible encephalopathy syndrome (PRES)/Reversible Posterior Leukoencephalopathy Syndrome 
(RPLS):  Cases of posterior reversible encephalopathy syndrome (PRES)/reversible posterior leukoencephalopathy 
syndrome (RPLS) have been reported. Signs and symptoms include visual disturbance, headache, seizures and 
altered mental status, with or without associated hypertension. A diagnosis of PRES/RPLS requires confirmation by 
brain imaging. The reported cases had recognized risk factors for PRES/RPLS, including hypertension, 
immunosuppressive therapy and/or other concomitant therapies. 
 
b. Progressive multifocal leukoencephalopathy (PML):  PML is a rare disease caused by the reactivation of latent JC 
virus in the brain.  Immunosuppression allows reactivation of the JC virus which causes demyelination and 
destruction of oligodendrocytes resulting in death or severe disability.  Rare cases of PML, some resulting in death, 
have been reported in patients with hematologic malignancies who have received rituximab.  The majority of 
these patients had received rituximab in combination with chemotherapy or as part of a hematopoietic stem cell 
transplant.  Cases of PML resulting in death have also been reported following the use of rituximab for the 
treatment of autoimmune diseases. The reported cases had multiple risk factors for PML, including the underlying 
disease and long-term immunosuppressive therapy or chemotherapy.  Most cases of PML were diagnosed within 
12 months of their last infusion of rituximab.  

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Physicians should consider PML in any patient presenting with new onset neurologic manifestations. Consultation 
with a neurologist, brain MRI, and lumbar puncture should be considered as clinically indicated.  In patients who 
develop PML, rituximab should be discontinued and reductions or discontinuation of any concomitant 
chemotherapy or immunosuppressive therapy should be considered. 
Hematologic Events:  In clinical trials, Grade 3 and 4 cytopenias were reported in 48% of patients treated with 
rituximab; these include: lymphopenia (40%), neutropenia (6%), leukopenia (4%), anemia (3%), and 
thrombocytopenia (2%).  The median duration of lymphopenia was 14 days (range, 1 to 588 days) and of 
neutropenia was 13 days (range, 2 to 116 days).  A single occurrence of transient aplastic anemia (pure red cell 
aplasia) and two occurrences of hemolytic anemia following Rituximab therapy were reported.  
In addition, there have been a limited number of postmarketing reports of prolonged pancytopenia, marrow 
hypoplasia, and late onset neutropenia.  
Infectious Events:  Rituxan® induced B cell depletion in 70% to 80% of patients with NHL and was associated with 
decreased serum immunoglobulins in a minority of patients; the lymphopenia lasted a median of 14 days (range, 1-
588 days).  Infectious events occurred in 31% of patients: 19% of patients had bacterial infections, 10% had viral 
infections, 1% had fungal infections, and 6% were unknown infections.  Serious infectious events (Grade 3 or 4), 
including sepsis, occurred in 2% of patients. 
Hepatitis B Reactivation:  Hepatitis B virus (HBV) reactivation with fulminant hepatitis, hepatic failure, and death 
has been reported in some patients with hematologic malignancies treated with rituximab.  The majority of patients 
received rituximab in combination with chemotherapy.  The median time to the diagnosis of hepatitis was 
approximately four months after the initiation of rituximab and approximately one month after the last dose. 
Participants with pre-existing Hepatitis B infection will not be eligible to participate in this study. 
Other Serious Viral Infections:  The following additional serious viral infections, either new, reactivated or 
exacerbated, have been identified in clinical studies or postmarketing reports. The majority of patients received 
Rituxan® in combination with chemotherapy or as part of a hematopoietic stem cell transplant. These viral infections 
included JC virus (progressive multifocal leukoencephalopathy [PML]), cytomegalovirus, herpes simplex virus, 
parvovirus B19, varicella zoster virus, West Nile virus, and hepatitis C. In some cases, the viral infections occurred up 
to one year following discontinuation of Rituxan® and have resulted in death. 
Bowel Obstruction and Perforation:  Abdominal pain, bowel obstruction and perforation, in some cases leading to 
death, were observed in patients receiving Rituxan® in combination with chemotherapy for DLBCL. In post-
marketing reports, which include both patients with low-grade or follicular NHL and DLBCL, the mean time to onset 
of symptoms was 6 days (range 1−77) in patients with documented gastro-intestinal perforation. Complaints of 
abdominal pain, especially early in the course of treatment, should prompt a thorough diagnostic evaluation and 
appropriate treatment. 
Immunogenicity:  Patients may develop a human anti-chimeric antibody (HACA) response with rituximab treatment.  
The clinical significance of this is unclear. 
Pregnancy:  B cell lymphocytopenia generally lasting less than 6 months can occur in infants exposed to rituximab in 
utero. 

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Immunization:  Response rates may be reduced with non-live vaccines. 
Additional Safety Signals:  The following serious adverse events have been reported to occur in patients following 
completion of rituximab infusions: arthritis, disorders of blood vessels (vasculitis, serum sickness and lupus-like 
syndrome), eye disorders (uveitis and optic neuritis), lung disorders including pleuritis and scarring of the lung 
(bronchiolitis obliterans), that may result in fatal outcomes, and fatal cardiac failure. 
See the rituximab Investigator Brochure for additional details regarding safety experience with rituximab. 
5.2. Risks of Immunosuppression Medications 
The safety and effectiveness of immunosuppression medications in pediatric patients is not established in controlled 
trials. However, the dose, efficacy and adverse event profile are not thought to be different from adults based on 
studies in the literature.  
5.2.1 
Thymoglobulin® [Anti-thymocyte globulin (rabbit)] 
Risks associated with Thymoglobulin® include immune-mediated reactions, infections, reactivation of infection, 
malaise, dizziness, sepsis, thrombocytopenia, leukopenia, and increased incidence of malignancies, including 
lymphoma or post-transplant lymphoproliferative disease (PTLD). Occasional reactions are observed at the infusion 
site including pain, swelling and erythema. 
The majority of pediatric lung transplant centers reporting to the International Society of Heart and Lung 
Transplantation (ISHLT) registry use antibody based induction immunosuppressive therapy. 
5.2.2 
CellCept® (Mycophenolate mofetil-MMF) 
CellCept® (Mycophenolate mofetil - MMF) is approved (in combination with cyclosporine and corticosteroids) as an 
immunosuppressive agent for renal, cardiac, and hepatic solid organ transplantation. Adverse events reported in > 
30% of renal, cardiac or liver transplant patients receiving MMF were pain, fever, headache, asthenia, anemia, 
leukopenia, thrombocytopenia, leukocytosis, urinary tract infection, hypertension, hypotension, peripheral edema,  
hypercholesteremia, hypokalemia, hyperglycemia, increased creatinine and BUN, cough, hypomagnesaemia, 
diarrhea, constipation, nausea, vomiting, respiratory infection, dyspnea, lung disorder, pleural effusion, tremor and 
insomnia.  
 
There is an increased risk of developing lymphomas and other malignancies, particularly of the skin. 
Lymphoproliferative disease or lymphoma developed in 0.4% to 1% of patients receiving MMF 1 - 1.5 mg BID. Severe 
neutropenia developed in up to 2% of renal transplant recipients receiving MMF 1.5 mg BID. MMF can cause fetal 
harm when administered to a pregnant woman. Cases of progressive multifocal leukoencephalopathy (PML), 
sometimes fatal, and pure red cell aplasia have been reported in patients treated with MMF. Gastrointestinal 
bleeding (requiring hospitalization) has been observed in approximately 3% of renal, in 1.7% of cardiac, and in 5.4% 
of hepatic transplant patients treated with MMF 1.5 g BID.  
 
Use of CellCept® during pregnancy is associated with an increased risk of first trimester pregnancy loss and an 
increased risk of congenital malformations, especially external ear and other facial abnormalities including cleft lip 
and palate, and anomalies of the distal limbs, heart, esophagus, and kidney.   
 
Females of reproductive potential will receive contraceptive counseling and use acceptable birth control during the 
study, and for 6 weeks after stopping CellCept®, unless the participant chooses abstinence (she chooses to avoid 
heterosexual intercourse completely).   

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For those females using CellCept® at any time during pregnancy and those becoming pregnant within 6 weeks of 
discontinuing therapy, the investigator or healthcare practitioner should report the pregnancy to the 
Mycophenolate Pregnancy Registry.  The investigator or healthcare practitioner should strongly encourage the 
patient to enroll in the pregnancy registry. 
 
Risks and benefits of CellCept® should be discussed with the patient.  When appropriate, consider alternative 
immunosuppressants with less potential for embryofetal toxicity.  In certain situations, the patient and her 
healthcare practitioner may decide that the maternal benefits outweigh the risks to the fetus.  If this drug is used 
during pregnancy, or if the patient becomes pregnant while taking this drug, the patient should be apprised of the 
potential hazard to the fetus. 
 
Additional information about MMF can be found in the package insert. 
 
5.2.2 
Prograf® (Tacrolimus) 
Side effects of Prograf® (Tacrolimus) include hypertension, glucose intolerance, peripheral neuropathy, renal 
insufficiency, abnormal liver function studies, seizures, nausea, vomiting, confusion, hypomagnesaemia, 
tremulousness, neurotoxicity, posterior reversible encephalopathy syndrome (PRES), progressive multifocal 
leukoencephalopathy (PML), interstitial lung disease, BK nephropathy, and increased risk of secondary malignancies. 
Additional information about Tacrolimus can be found in the package insert. 
5.3. Risks of Study Procedures  
5.3.1 
Risk of Blood Draw (Venipuncture) 
 
The amount of blood that may be drawn from pediatric subjects for research purposes will not exceed 3cc/kg per 
day or 7cc/kg per six week period.  All blood samples for the mechanistic study will be obtained at the time of 
scheduled blood draws, so there will be minimal additional risk associated with obtaining the study samples.  
The subject may experience some discomfort at the site of the needle entry, bruising, swelling, redness, fainting, or 
local infection. The additional amount of blood could contribute to the development of anemia.  The subject’s 
clinical condition will be taken into consideration to determine whether research blood tests can be performed. 
5.3.2. Risk of Bronchoalveolar Lavage and Bronchoscopy 
Bronchoalveolar lavage (BAL) will be obtained during standard of care bronchoscopies according to IPLTC guidelines.  
The risks associated with BAL collected for this study are no different than routine management. 
5.3.3. Risk of Tacrolimus Standard Deviation Threshold 
Non-adherence may be identified during the intervention.  If non-adherence is identified, this may negatively affect 
the participant’s candidacy for a second transplant.   
The initial call for the intervention will be facilitated by the site coordinator at the transplant center.  During this call 
the team at ICMMS will ask the participant or parent/guardian to provide contact information to the team at ICMMS 
for future calls.  Any PHI shared with ISMMS may be disclosed. 
 
 

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5.4. Potential Benefits 
Receipt of the study treatment (rituximab) may reduce the participant’s risk of antibody-related complications from 
lung transplant.  Participants may benefit by having their health status closely followed.  In the future, other people 
may benefit from this study because the information learned from this study may influence future care of transplant 
patients.   

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6. Investigational Agent  
6.1. Rituximab (Rituxan®) 
Rituximab is a is a genetically engineered, chimeric, murine/human monoclonal antibody directed against the CD20 
antigen found on the surface of normal and malignant pre-B and mature B cells.  The antibody is an IgG1 κ 
immunoglobulin containing murine light-and heavy-chain variable region sequences and human constant region 
sequences.  Rituximab is composed of two heavy chains of 451 amino acids and two light chains of 213 amino acids 
(based on cDNA analaysis) and has an approximate molecular mass of 145 kD.  Rituximab has a binding affinity for 
the CD20 antigen of ~8.0 nM. 
6.1.1. Rituximab (Rituxan®) 
6.1.1.1. Formulation, Packaging, and Labeling 
Rituximab® is a sterile, clear, colorless, preservative-free liquid concentrate for intravenous (IV) 
administration. Rituximab is supplied at a concentration of 10 mg/mL in either 100 mg (10 mL) or 
500 mg (50 mL) single-use vials. The products are formulated for intravenous administration in 9.0 
mg/mL sodium chloride, 7.35 mg/mL sodium citrate dihydrate, 0.7 mg/mL polysorbate 80, and 
Sterile Water for Injection. The pH is adjusted to 6.5.   
The vials provided to the pharmacy will have occluded, study-specific investigational agent labels. 
6.1.1.2. Dosage and Preparation 
Rituximab will be given as an intravenous infusion.   
2 Doses: 375 mg/m2 on Day 0 (within 12 hours of return to ICU following transplant) and Day 12 (+/- 
2 days). 
Rituximab should be prepared using appropriate aseptic techniques. Withdraw the necessary 
amount of Rituximab or Rituximab Placebo and dilute to a final concentration of 1 to 4 mg/mL into 
an infusion bag containing either 0.9% Sodium Chloride, USP, or 5% Dextrose in Water, USP.  Gently 
invert the bag to mix the solution. Discard any unused portion left in the vial. Parenteral drug 
products should be inspected visually for particulate matter and discoloration prior to 
administration.  
Rituximab or Rituximab Placebo should be given as a slow intravenous infusion.  It should not be 
administered as an intravenous push or bolus.  Do not infuse rituximab concomitantly with another 
IV solution or other IV medications.  Rituximab infusions should be made through a dedicated line.  
Participants will be premedicated using:  
• 
Tylenol® (Acetaminophen), 15 mg/kg (to a maximum of 1 gram) should be administered (by 
mouth, enteral or rectal administration) 30 to 60 minutes prior to the start of an infusion; 
and  
• 
Benadryl® (Diphenhydramine) by mouth 30-60 minutes prior to the start of an infusion as 
described in Table 1 or by IV 1 mg/kg (to a maximum of 50 mg) 30 minutes prior to the start 
of an infusion.  

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Age (years) 
Diphenhydramine Oral Dose (mg) 
2-6 
6.25 
6-<12 
12.5 
12+ 
25 
Table 1:  Diphenhydramine Pre-medication Dose 
Premedication may attenuate infusion-related events. Since transient hypotension may occur during 
rituximab infusion, consideration should be given to withholding anti-hypertensive medications 12 
hours prior to rituximab infusion. 
6.1.1.3. Administration Guidelines 
First infusion (Day 0):  Rituximab should be administered within 12 hours of returning from the ICU 
following transplant, based on hemodynamic stability.  Rituximab should be administered 
intravenously through a dedicated line at an initial rate of 0.5 mg/kg/hr (to a maximum rate of 50 
mg/hr) for the first hour.   
If hypersensitivity or infusion-related events do not occur, the infusion rate will be escalated by 0.5 
mg/kg/hr every 30 minutes, to a maximum rate of 400 mg/hr.   
If a hypersensitivity or infusion-related reaction event develops, the infusion rate should be 
temporarily slowed or interrupted.  The infusion can continue at one-half the previous rate upon 
improvement of patient symptoms.  
Subsequent Infusion (Day 12 +/- 2 days):  
A second dose of rituximab will be administered to subjects considered stable enough to receive the 
infusion. 
Individual Subject Stopping Rules: 
Individuals who meet any of the criteria listed below will not receive the second dose of rituximab. 
1. Serious adverse event causally related to the rituximab infusion; 
2. Acute pulmonary infectious process with evidence of graft dysfunction; 
3. Positive blood culture, sepsis or other disease process with hemodynamic instability; 
4. Renal insufficiency requiring hemodialysis or ultrafiltration; 
5. Inability to obtain intraveneous access; 
6. Use of an investigational drug after the first dose of placebo or rituximab; 
7. Any other event which in the opinion of the principal investigator may pose additional risk to the 
participant.  
If the first infusion was well tolerated, the subsequent infusion may be administered intraveneously 
through a dedicated line at an initial rate of 1.0 mg/kg/hr (to a maximum rate of 100 mg/h) for the 

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first hour.   If hypersensitivity or infusion-related events do not occur, the infusion rate will be 
escalated by 1.0 mg/kg/hr (maximum rate of 100 mg increase per hour) every 30 minutes, to a 
maximum rate of 400 mg/hr.  If hypersensitivity or infusion-related event develops, the infusion 
should be temporarily slowed or interrupted.  The infusion can continue at one half the previous 
rate upon improvement of patient symptoms. 
If hypersensitivity or infusion-related events occurred during the first infusion, the subsequent 
infusion should be administered in the same manner as the first infusion.  
6.1.2. Rituximab Placebo 
6.1.2.1. Formulation, Packaging, and Labeling 
Rituximab placebo is a sterile, clear, colorless, preservative-free liquid concentrate for intravenous 
(IV) administration. Rituximab is supplied at a concentration of 10 mg/mL in either 100 mg (10 mL) 
or 500 mg (50 mL) single-use vials. The product is formulated for intravenous administration in 9.0 
mg/mL sodium chloride, 7.35 mg/mL sodium citrate dihydrate, 0.7 mg/mL polysorbate 80, and 
Sterile Water for Injection. The pH is adjusted to 6.5.  The vials provided to the pharmacy will have 
occluded, study-specific investigational agent labels. 
6.1.2.2. Dosage, Preparation, and Administration 
Rituxmab placebo will be administered according to the guidelines for rituximab outlined in section 
6.1.1.2. 
6.2. Infusion Supervision (Rituximab and Rituximab Placebo) 
Rituximab and rituximab placebo should be administered in a hospital environment where full resuscitation facilities 
are immediately available.  Rituximab and rituximab placebo may be administered on an outpatient basis however 
patients may be hospitalized for observation at the discretion of the investigator.   
The infusion will be supervised by the clinical staff (i.e., clinical nurse, physician) at the participating institutions.  A 
history of each infusion and any adverse side effects will be recorded and reported to the SACCC using the 
appropriate case report forms. 
Vital signs (temperature, blood pressure, pulse, and respiratory rate) and standard laboratory testing (CBC, basic 
metabolic panel) will be obtained prior to the start of each rituximab or rituximab placebo infusion.  The local 
investigator will determine whether to hold the infusion due to lab abnormalities.  Vital signs will be monitored 
every 15 minutes for the first hour of the infusion, every hour until the end of the infusion, and every hour 
thereafter for a total of 3 hours after the infusion.  The IV line should remain in place for at least 1 hour following 
the infusion to enable the administration of drugs, if necessary.  Additional vital signs may be obtained as clinically 
indicated.  Fluid resuscitation will be provided as needed for changes in vital signs suggesting hydration would be 
beneficial. 
 
 

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6.3. Drug Accountability 
Under Title 21 of the Code of Federal Regulations (21CFR §312.62) the investigator will maintain adequate records of 
the disposition of the investigational agent, including the date and quantity of the drug received, to whom the drug 
was dispensed (participant-by-participant accounting), and a detailed accounting of any drug accidentally or 
deliberately destroyed. 
Records for receipt, storage, use, and disposition will be maintained by the study site.  A drug-dispensing log will be 
kept current for each participant.  This log will contain the identification of each participant and the date and 
quantity of drug dispensed. 
All records regarding the disposition of the investigational product will be available for inspection. 
Any unused study drug (unopened or within expiration date) may be returned to the manufacturer at the end of the 
study. 
6.4. Toxicity Prevention and Management 
Patients enrolled in this study will be evaluated clinically and with standard laboratory tests before and during their 
participation in this study.  Safety evaluations will consist of medical interviews, recording of adverse events, 
physical examinations, blood pressure, and laboratory measurements.  Subjects will be evaluated for adverse 
events, serious adverse events, and adverse events requiring study drug interruption or discontinuation at each 
study visit for the duration of their participation in the study.   
6.5. Modification or Premature Discontinuation of Investigational Agent 
Rituximab (Rituxan®) and Rituximab Placebo may be modified or prematurely discontinued for any participant for any of 
the following reasons: 
v 
General Infusion-Related Reactions.  If an infusion-related reaction develops, the infusion rate should be temporarily 
reduced or interrupted.  The infusion may be continued at one-half the previous rate upon improvement of the 
patient’s symptoms. 
v 
Life-Threatening Reaction.  In the event of a life-threatening reaction, the infusion should be discontinued and the 
patient should receive medical treatment.  Patients who experience a life-threatening reaction will not receive 
additional Rituximab/Placebo, and will remain in the study, and be included in the ITT analysis. The study treatment 
assignment will be unblinded to the site personnel and the study participant. (Protocol section 3.5.1) 
v 
Severe Infusion Reaction.  The infusion should be interrupted for severe reactions, and supportive care measures 
should be instituted as medically indicated (e.g., IV fluids, vasopressors, oxygen, bronchodilators, diphenhydramine, 
and acetaminophen). The infusion should not be restarted until all the symptoms have disappeared.  On the 
restarting of the infusion, the rate should be half of that which precipitated the reaction. Patients who experience 
repeat severe infusion reactions, despite appropriate treatment, will not receive additional Rituximab/Placebo, and 
will remain in the study, and be included in the ITT analysis.  The study treatment assignment will be unblinded to the 
site personnel and the study participant. (Protocol section 3.5.1) 
v 
Hypersensitivity Reactions.  Hypersensitivity reactions (non-IgE-mediated reactions) may respond to adjustments in 
the infusion rate and in medical management.  The infusion should be interrupted for severe hypersensitivity 
reactions and can be resumed at a 50% reduction in rate (e.g., from 100 mg/hr to 50 mg/hr) when symptoms have 
completely resolved.  Treatment of these symptoms with diphenhydramine and acetaminophen (or their equivalents) 
is recommended; additional treatment with bronchodilators or IV saline may be indicated.  In most cases, patients 
who have experienced non-life-threatening hypersensitivity reactions have been able to complete the full course of 

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therapy.  Medications for the treatment of hypersensitivity reactions (e.g., epinephrine, antihistamines, and 
corticosteroids) should be available for immediate use in the event of a reaction during administration.  Patients who 
experience repeat hypersensitivity reactions, despite appropriate treatment, will not receive additional 
Rituximab/Placebo, and will remain in the study, and be included in the ITT analysis.  The study treatment assignment 
will be unblinded to the site personnel and the study participant. (Protocol section 3.5.1) 
v 
Cardiovascular.  Infusions should be discontinued in the event of serious or life-threatening cardiac arrhythmias.  
Patients who develop clinically significant arrhythmias should undergo cardiac monitoring during and after 
subsequent infusions.  Patients should be monitored throughout the infusion and the immediate post-infusion 
period. 

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7. Other Medications 
7.1. Immunosuppression Medications 
7.1.1. Protocol-mandated 
  
 
7.1.1.1 Thymoglobulin® [Anti-thymocyte Globulin (Rabbit)] 
All subjects will receive Thymoglobulin® induction therapy.  Thymoglobulin® will be 
administered for 5 days as an intravenous infusion at a dose of 1.5 mg/kg/day beginning on 
the day of transplant.   
7.1.1.2 Tacrolimus (Prograf®) 
Tacrolimus (Prograf®), or generic equivalent, will be administered to attain target trough levels outlined 
in Table 3. Suggested dosing is outlined in Table 2. 
Timepoint 
Tacrolimus Dose 
Post-operatively (by 72 hours following 
transplant operation) * 
0.01-0.04 mg/kg/day IV continuous infusion OR 
0.06-0.1 mg/kg/day (maximum 5 mg per dose) via NG 
or G-tube divided into 2 equal doses OR 
0.08 mg/kg/day sublingual divided into 2 equal doses 
Once taking PO 
0.1-0.3 mg/kg/day PO divided into 2 equal doses 
*Dosing may be adjusted to every 8 hours in infants and young children if therapeutic levels are hard to 
achieve (due to rapid metabolism of the drug in this age group). 
Table 2:  Tacrolimus Dose 
Dosing may be adjusted for underlying medical conditions and/or interactions with other medications.   
Target whole blood tacrolimus concentrations are as follows: 
Timepoint 
Target Trough Level After Transplant 
First 2 Weeks Post-Transplant 
10-20 ng/mL 
Week 2-1-year Post-transplant 
10-15 ng/mL 
After 1 Year 
6-10 ng/mL 
The above given recommendations for therapeutic drug monitoring of tacrolimus may not be 
suitable for infants secondary to the different pharmacokinetics in infants.   
Table 3:  Tacrolimus Trough Levels 
 
 

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7.1.1.3. Mycophenolate Mofetil 
Mycophenolate Mofetil (CellCept®), or generic equivalent, will be administered at an initial pediatric 
dose of 600-700 mg/m2 twice daily.  The dose may be modified to an initial dose of 800-900 mg/m2 
twice daily for cystic fibrosis subjects at puberty and above. Initial adult dosing is 1000-1500 mg twice 
daily.  
Mycophenolate Mofetil (CellCept®), or generic equivalent, dosing will be adjusted based on clinical 
complications.  Dosing outside of the target dose range will not be considered a protocol deviation. 
7.1.1.4.  Steroids 
Methylprednisolone/Prednisone will be administered according to each center’s standard practice. After 
the first negative biopsy, prednisone will be tapered, according to each center’s protocol, to reach a 
target dose of 0.1- 0.2 mg/kg/day by one year post-transplant. 
7.2. Viral Prophylaxis and Therapy 
Participating sites will follow IPLTC guidelines for viral prophylaxis and treatment. 
7.2.1. Respiratory Syncytial Virus  
Subjects less than 2 years of age will receive palivizumab per the local standard of care.  Respiratory 
Syncytial Virus will be treated with ribavirin per the local center standard of care. 
7.2.2. Cytomegalovirus 
Sero Positive Donor and/or Recipient (D+/R+, D+/R-, D-/R+) will receive ganciclovir/valganciclovir 
prophylaxis, per the local standard of care, for a minimum of 6 months following transplantation.   
7.2.3. Fungal  
All subjects will receive fungal prophylaxis post-transplant according to local center standard of care.  Fungal 
therapies will be determined by the local standard of care. 
7.2.4. Vaccination 
Efficacy and/or safety of immunization during periods of B cell depletion have not been adequately studied.  
It is recommended that a patient’s vaccination record and possible requirements be reviewed. Per the 
investigator’s discretion, the patient may have any required vaccination/booster administered at least 
4 weeks prior to the initiation of study treatment.  Review of the patient’s immunization status for the 
following vaccinations is recommended:  tetanus; diptheria; influenza; pneumoccocal polysaccharide; 
Varicella; measles, mumps and rubella (MMR); and hepatitis B.  Patients who are considered to be at high 
risk for hepatitis B virus (HBV) infection and for whom the investigator has determined that immunization is 
indicated should complete the entire HBV vaccine series at least 4 weeks prior to participation in the study.   
All participants eligible for randomization will be encouraged to receive the influenza vaccine per Center for 
Disease Control guidelines. 
7.3. Prohibited Medications 
The following is a list of prohibited medications: 
• 
Induction agent, other than Thymoglobulin®; 
• 
Other investigational agents; 
• 
Rituximab (Rituxan®), except for treatment of PTLD or treatment of AMR as described in section 7.4.2; 

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• 
IVIG, except for treatment of post-transplant hypogammaglobulinemia or humoral rejection as described in 
sections 7.4 and 7.5.2. 
7.4. Treatment for Hypogammaglobulinemia 
Intraveneous immune globulin will be administered at 400-500 mg/kg every four weeks to patients who develop 
hypogammaglobulinemia (IgG less than lower level of normal for age based on local laboratory ranges or 400 mg/dL) 
following transplant.  For subjects with severe hypogammaglobulinemia (IgG less than 200 mg/dL), an IV loading 
dose of 1 gram/kg will be administered.  The maintenance IV dose of 400-500 mg/dL at four week intervals will be 
titrated to response.  IgG trough levels will be measured prior to an infusion.   
7.5. Diagnosis and Treatment of Rejection 
Rejection will be defined according to the current ISHLT working formulation of pulmonary allograft rejection.  Each 
transbronchial biopsy (TBBx) will be evaluated at the local center and all therapeutic decisions will be based on the 
local pathologist’s findings.   
7.5.1. Acute Cellular Rejection 
Acute Cellular Rejection will be graded based on ISHLT guidelines103 described in Table 4. 
ACR Grade 
ACR Classification 
A0 
None 
A1 
Minimal 
A2 
Mild 
A3 
Moderate 
A4 
Severe 
Table 4:  Grading for Acute Cellular Rejection 
Acute Cellular Rejection (Grade A2 or greater) will be treated based on IPLTC guidelines described in Table 5. 
Table 5:  Treatment for Acute Cellular Rejection 
Initial Treatment  
Methylprednisolone 10-20 mg/kg/day (max = 1 g/day) for 3 to 4 days AND 
return to maintenance steroid dosing  
Repeat biopsy in 2-4 weeks depending on histology and/or clinical status (treatment success = ≤ A2) 
Persistent/Recurrent acute 
rejection* 
Antibody-mediated rejection should be excluded  
If same or lower ACR grade (i.e. A3 to A2):  
Repeat high dose (IV) steroid protocol outlined in initial treatment. 
 
If worsening lung function and/or ACR grade, severe ACR (Grade A4) or 
failure of two courses of steroids:  
Rabbit (rATG):  1.5 mg/kg/day,(max 150 mg/day) for 10-14 days   
Alternatives for refractory 
ACR  
One or more of the following may be used: 
1. Campath 1H (Alemtuzumab)   
2. Total lymphoid irradiation  
3. Photopheresis  
4. Methotrexate  
5. Rapamycin  
 

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7.5.2. Antibody Mediated Rejection 
Antibody Medicated Rejection (AMR) will be graded locally as shown in Table 5. 
 
DSA1 or 
Autoantibody 
Abnormal 
Histology2 
Graft Dysfunction3 
I: Latent humoral response   
X 
 
 
II: Subclinical humoral rejection  
X 
X 
 
III: Humoral rejection    
X 
X 
X 
1 Circulating antibody to HLA or other antigens expressed in lung tissue.  
2 Including neutrophilic capillaritis or septal margination,high grade (³A3) or persistent / recurrent acute rejection, acute lung injury/diffuse 
alveolar damage, high grade (B2R) or persistent low grade (B1R) lymphocytic bronchitis, obliterative bronchiolitis, arteritis in the absence of 
acute rejection or other finding not explained by clinical circumstances (i.e. infectious causes thoroughly excluded) 
3 Unexplained (i.e. infectious causes thoroughly excluded) persistent  (> 1 week) change in respiratory status manifested by two MAJOR OR 
one MAJOR plus one or more MINOR criteria listed below: 
MAJOR CRITERIA:    
I. 
Increase in resting respiratory rate ³ 10% 
II. 
Decrease in resting SaO2 ³ 4% 
III. 
Persistent drop in FEV1 of ³ 10% 
MINOR CRITERIA:   
I. 
Daily repetitive cough 
II. 
Auscultatory findings 
III. 
Inadequate weight gain defined as a drop between 5-10 percentile points 
IV. 
CXR or CT changes 
Table 5:  Antibody Mediated Rejection Diagnostic Grading 
Study participants will be screened for donor specific antibodies (DSA) monthly for the first 3 months 
following transplantation and then every 3 months if negative.  C4d immunohistochemistry will be 
performed on all TBBx.  AMR will be treated as described below. 
I: Latent humoral 
response  
  
No treatment, consider monitoring DSA more frequently 
II: Subclinical humoral 
rejection  
1. Administer methylprednisolone 10-20 mg/kg/day (max = 1 g/day) for 3 to 4 days AND 
return to maintenance steroid dosing. 
2. Follow-up TBBx performed 2-4 weeks following completion of therapy.  The local 
investigator may consider open lung biopsy if graft dysfunction is present. 
3. If subclinical humoral rejection persists on the follow up biopsy, plasmapheresis will be 
performed. 
III: Humoral rejection    1. Pulse steroids (10 mg/kg) day 1-3. 
2. Plasmapheresis x 5 days without IgG replacement. 
3. Bortezomib (1.3 mg/M2) on days 1, 4, 8, & 11 (given after plasmapheresis) with IgG 
replacement after last dose of Bortezomib. 
4. Rituximab (375 mg/m2) weekly weeks 1-4 for patients >1 month post-transplant. 
 
Table 6:  Treatment for Antibody Mediated Rejection 

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Subjects will be monitored for clinical improvement following treatment of AMR.  Sites will consider repeat 
PRA for DSA at 1, 4 and 8 weeks post intervention and/or repeat biopsy for persistent symptoms.  
7.5.3.  Chronic Allograft Dysfunction 
Chronic allograft dysfunction is defined as BOS, Grade 0p and above, or histologic evidence of oblitereans 
bronchilitis. 103, 105For participants old enough to perform spirometry, BOS will be diagnosed locally based on 
the 2001 ISHLT diagnostic criteria shown in Table 7.  Local sites will rule out acute rejection, acute infection 
and airway stenosis or narrowing prior to diagnosing BOS.  Spirometry will be supervised by a trained 
technologist at each site.   
 
BOS Grade 
Classification 
0 
FEV1 > 90% of baseline and FEF25-75 > 75% of baseline 
0p 
FEV1 81 to 90% of baseline and/or FEF25-75 < 75% of baseline 
1 
FEV1 > 66-80% of baseline  
2 
FEV1 > 51-65% of baseline  
3 
FEV1 > 50% or less of baseline  
Table 7:  Classification of BOS 
 
For participants unable to perform a pulmonary function test, BOS will not be determined.  Obliterative 
bronchiolitis (OB) will be used as the outcome in this population.  OB will be identified by histology 
according to the ISHLT report.  
Biopsy to evaluate for OB will also be obtained from participants with unexplained air trapping on high 
resolution expiratory CT images or ventilation perfusion scanning and participants with unexplained 
obstructive changes on infant PFTs.   
Chronic allograft dysfunction will be evaluated and treated as described in Table 8. 
 
 
 
 
 
 
BOS Grade 0p 
1. Reassess for contribution of reflux and/or infection and treat as 
appropriate.    
2. Perform bronchoscopy and transbronchial biopsy.   
3. If no OB on transbronchial biopsy consider open lung biopsy if 
rapidly progressive and monitor study participant closely. 
BOS progressing 
to Grade1 
despite above 
interactions 
1. Reassess for ongoing contribution of reflux and/or infection and 
treat as appropriate.  
2. Re-biopsy (transbronchial or open lung biopsy).  
3. Pulse with steroids (Methylprednisolone 10 mg/kg/day x 3 days) 
and use cytolytic therapy (Thymoglobulin®) in patients with 
lymphocytic inflammation in active OB lesions.  
Evidence of OB 
on biopsy 
Pulse with steroids and use cytolytic therapy (Thymoglobulin®; dosing 
as above) in patients with lymphocytic inflammation in active OB 
lesions. 
Table 8:  Evaluation and Treatment for Chronic Allograft Dysfunction 

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Subjects will be re-evaluated every 3 months following the diagnosis of chronic allograft dysfunction.  If BOS 
grade progresses the local PI may consider:  
• 
Photopheresis 
• 
Changing sirolimus to methotrexate (5-15 mg/M2 PO/IM weekly) for study participants who are not 
candidates for photopheresis. 
• 
Re-transplant evaluation if consistent with local center guidelines. 
7.5.4. Primary Graft Dysfunction 
Primary Graft Dysfunction (PGD) will be evaluated at 4 time points as defined by the ISHLT Working Group 
on Primary Lung Graft Dysfunction.107The ISHLT grading scheme for primary graft dysfunction (PGD) 
described in Table 9 is based on the P/F ratio and chest X-ray.   
Grade 
PaO2/FiO2 
Radiographic infiltrates consistent with 
pulmonary edema 
0 
>300 
Absent 
1 
>300 
Present  
2 
200-300 
Present 
3 
<200 
Present 
Table 9:  ISHLT Recommendations for Grading of Primary Graft Dysfunction (PGD) Severity 
If multiple blood gas values are available, the worst P/F ratio will be used for the purposes of this grading 
scheme. 
The following caveats to the grading scheme will be used.   
• 
Absence of infiltrates on chest radiograph is Grade 0, even if PaO2/FiO2 ratio < 300.  
• 
If the subject is on nasal cannula for oxygen of FiO2 < 0.3, the subject is graded as 0 or 1, based on 
chest radiograph.   
• 
Any subject on extracorporeal oxygenation is Grade 3.   
• 
Any subject mechanically ventilated with FiO2 > 0.5 on nitric oxide beyond 48 hours from the time of 
transplant is Grade 3.   

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8. Study Procedures 
8.1. Enrollment 
This research study will be explained in lay terms to each potential research participant.  As the part of the informed 
consent process outlined in CFR Title 21 Part 50, the investigator or physician listed on the Investigator of Record (FDA 
1572) will conduct a face-to-face meeting with the study candidate to review all required elements of informed consent.  
The potential study participant and/or parent/guardian will sign an informed consent form before undergoing any 
screening study procedures. Age of assent will be determined locally.  Once the informed consent process is complete, the 
participant is considered enrolled in the study. All enrolled participants will be assigned a unique participant number and 
their disposition must be accounted for at the end of the study. 
8.2. Screening/Baseline Visit 
At the time of listing, potential participants will be entered on a site specific screening log.  Age at listing, diagnosis and 
reason the patient was not enrolled into the study, if applicable, will be captured on the screening log.  If the patient 
and/or parent(s)/guardian(s) are in agreement to participate in the study then the informed consent document should be 
obtained while the participant is on the wait list.    
During the screening period study personnel will review the subject’s medical record for previous and current medical 
history, perform a physical examination, and record the subject’s demographic information (age, gender, and race).  Blood 
specimens will be obtained for screening and mechanistic studies as specified in Appendix 1.  Pre-transplant blood may be 
collected up to 60 days prior to transplant surgery. Blood must be recollected every 60 days until the transplant occurs. 
The baseline visit will occur at the time of transplant.  During the baseline visit, donor demographics (age, gender, 
and race), cause of death, HLA, Blood Type, serum creatinine, cytomegalovirus (CMV), Epstein - Barr virus (EBV), 
Hepatitis B, Hepatitis C, and HIV information will be collected.  
8.3. Randomization 
Eligibility for randomization will be confirmed.  Hematology (CBC with differential and platelet count) and serum 
chemistries will be obtained within 2 weeks of randomization.   
Randomization will occur within 12 hours after returning to the ICU following transplant. 
Randomization will only occur if there are still spaces available at the time of transplantation.  If the targeted accrual has 
been reached at the time of transplantation the participant will be excluded from further procedures and randomization.   
8.4. Study Assessments  
Subjects enrolled in this study will be followed for a minimum of 12 months post-transplant.   Follow up visits will 
continue as detailed in Appendix 1 until the last participant completes 12 months of follow up (up to 54 months).  
Subjects may have blood and BAL samples collected at the following timepoints post-transplant: 
• 
Transplant/Randomization-Day 0  
• 
Day:  12 
• 
Weeks:  4-6 
• 
Months:  2, 3, 6, 9, 12, 18 and 24  
 

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Clinical safety will be monitored through routine physical examinations and appropriate laboratory assessments. During 
this period participants will have repeated clinical/laboratory evaluations, as specified in the Schedule of Events (Appendix 
1, Schedule of Events- Recipient).  
Assessments for the development of adverse events, serious adverse events, infections, rejections, death, PTLD, relisted 
for transplant or re-transplantation and hospitalizations will be completed at each study visit.  All events will be reported 
using a designated electronic case report form (eCRF). 
Chronic allograft dysfunction, relisting for transplant and death data will be collected up to 54 months post-transplant.   
Protocol Biopsies 
Transbronchial biopsies will be performed routinely as part of standard of care.  The histologic evaluations from 
routine biopsies at day 12, week 4-6, month 3, month 6, month 12, month 18, and at the time of a symptomatic 
episode will be evaluated by the local pathologist and interpretations recorded on electronic case report forms 
(eCRFs).    
Tacrolimus Standard Deviation Marker 
Variability of tacrolimus will be monitored continuously starting 3 months post-transplant, using the calculation of the 
degree of fluctuation of tacrolimus blood levels over time, described by the standard deviation (SD) of tacrolimus levels.82 
All outpatient levels obtained at least 3 months post-transplant will be used.  In order to ensure the validity of tacrolimus 
trough levels, clinical sites will agree on quality control measures for obtaining trough levels.  A rolling SD will be calculated 
for every patient using 1-year of tacrolimus levels (at least 3 trough levels).  A SD of 2.0 or more (Shemesh et al. manuscript 
in preparation), an undetectable level or the absence of a tacrolimus trough level for 3 months will trigger a phone call 
among the site coordinator, the participant, parent(s)/guardian(s) and trained personnel at ISMMS to address barriers to 
adherence.   
Individuals who meet the criteria listed below will not participate in the phone calls for the tacrolimus 
standard deviation marker:  
1. Inpatient status  
2. Any condition that, in the opinion of the investigator, may impact the quality or interpretation of the data 
obtained from the intervention. 
The frequency of the calls is described in the table below.   
Timepoint 
(following SD of 2.0 or more or undetectable level) 
Call Frequency 
Month 1 
Weekly 
Month 2 
Monthly 
Month 3-Month 24 
Every other month 
Table 10:  Tacrolimus Standard Deviation Marker Call Schedule 
 
Per the center clinician’s discretion, calls may be escalated to 2 times per week for up to 1 month at any time during 
the intervention. 

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After one month, calls may revert to a weekly schedule for the following reasons: 
o Participant discloses continuing non-adherence during the call; 
o The most recent trough level is “undetectable”; 
o The parent/guardian and/or team are concerned about ongoing non-adherence; 
o A deterioration in medical outcomes as determined by the Center that is not explained by 
physiological factors; 
o Per the clinical discretion of the call center staff member (i.e., the call center and parents/guardians 
are working on a remedy to an identified barrier). 
The team at the call center will determine when the participant will return to the schema outlined in Table 10. 
With the consent of the participant, information obtained during the intervention will be shared with the participant’s 
parent(s)/guardian(s) and clinical team. 
Neurological Assessment 
All participants who receive at least 1 dose of Rituximab (Rituxan®) or placebo will undergo a screening neurological 
exam at the time points specified in Appendix 1. Subjects who have objective findings will be evaluated by their local 
Neurology consult service. 
8.5. Unscheduled Visits  
“Unscheduled” visits will occur if a participant develops symptoms of a respiratory viral infection (RVI) or a bronchoscopy 
is performed for suspicion of rejection or infection.  Nasopharyngeal swab and blood specimens will be obtained at the 
time of an “unscheduled” visit.  BAL will also be collected if specimens are obtained during a bronchoscopy for diagnostic 
purposes. 
8.6. Visit Windows 
Study visits should take place within the time limits specified below: the designated visit windows (i.e. +/- n days) for 
each scheduled visit are also indicated on the Table of Events. 
Visit No. 
Visit 
Visit Window 
00 
Baseline 
Pre-transplant blood may be collected up to 60 days prior to transplant 
surgery. Blood must be recollected every 60 days. 
01 
Transplant 
Infusion within 12 hours of returning to the ICU following transplant 
Labs within 72 hours of transplant 
02 
Day 12 
+/-2 days 
03 
Week 4-Week 6 
+6/- 7 days  
04-05 
Month 2-Month 3  
+/- 7 days 
06-07 
Month 6-Month 9 
+/- 14 days 
08-10 
Month 12-Month 24  
+/- 30 days 
Table 11:  Visit Windows 

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8.7. Study Treatment Assignment Procedures 
8.7.1. Randomization Procedures 
Randomization treatment assignments will be developed by the SACCC statisticians and stored on the SACCC 
server.  The SACCC will maintain a central web-based randomization system.  Once the subject is determined 
to be eligible, the site personnel will enter the information in the web-based system, which will then 
generate an automatic email and/or faxed communication to the site staff indicating successful 
randomization.  Only the research pharmacist will receive a communication identifying the treatment 
assignment. 
8.7.2. Blinding 
This is a double-blinded study; therefore, medication assignments will be blinded to the study participants as 
well as to the site clinical personnel.  Only the site research pharmacist will have access to the unblinded 
randomization schedule for that site.  In the event that the subject undergoes a life-threatening infusion 
reaction, then the study subject and the treating physician will be unblinded to treatment assignment.  
Safety events that do not occur during an infusion of the study drug, but that in the opinion of the 
investigator cannot be adequately treated without knowledge of the group assignment can also be cause for 
unblinding.   
IND safety reports will be reported to the FDA, DSMB, and IRBs in an unblinded fashion. 
8.7.3. Unblinding Authorization 
Emergency unblinding of a participant for safety purposes is to be handled through the site Investigators, the 
medical monitor, and the site pharmacist.  Whenever possible the medical monitor should be notified prior 
to and involved in the decision to unblind.  In all cases, including when the medical monitor is not notified 
prior to the decision to unblind, prompt notification and reporting is required.  Except in the case of a life 
threatening infusion reaction, a request to unblind a study subject should be based on the belief that 
knowledge of the treatment assignment is necessary in order to treat the patient appropriately.  In the case 
of a life-threatening infusion reaction every effort should be made to contact the medical monitor prior to 
the unblinding, however ultimately the site Investigator must act in the study subject’s best interest.  
8.7.4. Reporting Unblinding Events 
Any unblinding event will require a full report on the Study Treatment Unblinding eCRF.  The information 
captured on the eCRF will include 1) a brief description of the medical events which led to the decision to 
unblind, 2) whether the NIAID medical monitor was notified 3) the date and time of unblinding, and 4) the 
reason for unblinding the subject.  If the unblinding occurred in a situation other than the infusion of the 
study drug, the eCRF should include how knowledge of the treatment assignment was expected to influence 
therapeutic decisions.  All unblinding information will be reported to the DSMB and will be included in the 
final study report to the FDA. 
During site visits, the site monitor must verify that the medical monitor of the trial was notified and that a 
written account (described above) was completed.    

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9. Mechanistic Assays 
Biological specimens obtained for this study will be used for development of future assays or validation of current 
assays to evaluate the biological response after lung transplantation. The assays described in this section and their 
clinical correlation will constitute the focus of this protocol and are described in detail below. 
9.1. Humoral Laboratory Core 
The Humoral Core Laboratory is located at the Washington University in St. Louis, MO (PI: Thalachallour 
Mohanakumar, MD) 
9.1.1. Antibodies to Mismatched Donor HLA 
We will measure serum anti-HLA antibodies using standardized reagents and protocols developed within the 
CTOTC/CTOT consortium.85 Dr. Mohanakumar’s laboratory will function as the core lab for this work and has 
been an integral participant in the cross validation studies performed by the consortium.  Serum will be 
screened by Luminex panel of reactive antibodies (PRA) and if positive, tested for reactivity to single antigen 
beads.  We will also perform flow crossmatch testing using donor cells as targets.  This latter approach is 
important because it will permit us to assess whether there are donor reactive antibodies that are 
undetected by the flow bead panels.  Such antibodies may react to HLA molecules which may be under 
represented in the beads (e.g. some of the HLA C alleles, or DP, DQ alleles) or may react with non-HLA 
antigens.  As part of the mechanistic analysis, we will determine whether donor specific antibodies (DSA) are 
complement fixing using complement dependent lymphocytotoxicity assay against the donor cells86   We will 
perform analyses/correlations with outcome using any alloantibody, donor specific alloantibody and either 
class I reactivity or class II reactivity as test variables.  All assays are standard in the Mohanakumar lab and 
have been adapted to conform with CTOT/CTOTC mechanistic studies procedures.  For initial evaluation, a 
test will be considered positive with >5% reactivity present.  This variable can also be evaluated as a 
continuous variable as described in the statistical consideration below. 87-89 
9.1.2. Autoantibodies 
For detection of antibodies to lung associated self-antigens the team will test for reactivity to well-defined 
autoantigens using ELISA methods which have been standardized in Mohanakumar’s lab.  Detected 
antibodies will be analyzed for their titer and immunoglobulin isotype. 90 Pre and post-transplant sera 
collected longitudinally will also be tested and titers determined. Development of antibodies and the 
amount of antibodies to K α1 tubulin, Collagen V and Collagen I will be determined.  Collagens II, III and IV 
and cardiac myosin will be included in the panel as controls.  Antigens will be obtained commercially or 
produced in house (kα1T). The Mohanakumar lab has cloned the human K-alpha 1 tubulin gene with a N-
terminal histidine tag under the control of lac Z promoter. The protein is overexpressed in E coli by induction 
with IPTG and purified using metal affinity chromatography. The purified recombinant protein is passed 
through a polymyxin column to remove the contaminating endotoxins and the preparations used for the 
assays are free of detectable endotoxin by Limulus Amoebocyte Lysate assay.91 This antigen has been used 
to detect autoantibodies and autoreactive T-cells in the CTOTC-03 trial.  Polyclonal and monoclonal 
antibodies against the human kα1T have already been raised and are available for this study as controls. The 
titers of anti-kα1T and anti-ColV specific antibodies present in the normal subjects will be used to determine 
the cutoff values to determine positivity in the lung transplant recipients defined as weak positive (one 
standard deviation above the mean from normal subjects) and strong positive (>2 standards above the 
mean) responses. Sera obtained before transplantation will be used to determine the baseline titers of these 

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antibodies in the lung transplant recipients. The isotype specificity and isotype switching in these recipients 
will also be characterized in an ELISA using specific secondary antibodies that recognize IgM, IgG1, IgG2, 
IgG3 and IgG4. Therefore, all of the antibodies when detected will be defined for their complement fixing 
ability by C3d binding assay as well as by determining the Ig isotypes (IgG1,2,3 ,4 and IgM) using ELISA 
method.    
9.2. Markers of Graft Injury Core Laboratory 
The Core Laboratory is located at the Washington University in St. Louis, MO (PI: Thalachallour Mohanakumar, 
MD) 
A portion of the serum aliquoted for humoral studies and supernatant from the bronchoalveolar lavage specimen 
will be used to perform cytokine, chemokine, and growth factors analysis studies. 
9.2.1. Cytokines, Chemokines and Growth Factors 
In an effort to determine mechanisms through which autoantibodies could injure the allograft, in-vitro 
assays will be used to test whether sera or isolated IgG that contains reactivity to either ColV or kα1T 
activates airway epithelial cells in culture.  These assays have been developed in the Mohanakumar lab and 
have been published.92 Primary airway epithelial cells isolated from the donor tracheas which are currently 
available in Mohanakumar’s lab or commercially available human bronchial epithelial cells (ATCC and 
Cambrex Inc.) and human small airway epithelial cells (Cambrex Inc.) will be used to study the signaling 
mediated by the antibodies to Kα1T and ColV. Epithelial cells (1X106) will be exposed to various dilutions of 
the patient sera (or IgG) with and without anti-epithelial and collagen specific antibodies for 1 hr, 4 hrs and 
24 hrs at 37 C. Up regulation of genes including TCF-5, HSP-27, HSP-90, c-Myc, NF-kB, VEGF, HB-EGF and 
TGF-b have been demonstrated upon incubation of airway epithelial cells (AECs) with serum from kα1T 
Ab(+)BOS(+) adult patients.30 Production of cytokines, chemokines, and growth factors in the epithelial cells 
exposed to patient sera will be quantitated by Luminex. Expression and activation levels of the signaling 
intermediates c-Myc, PI3 kinase, paxillin, src, and FAK will also be quantitated in these cells by western blot 
analysis.  Expression of adhesion molecules (ICAM, VCAM, selectins) on the cell surface will be measured by 
flow cytometry. If we find that the autoantibody containing serum specifically induces epithelial cell 
activation and one or more assays, we will isolate the autoreactive fraction of the IgG using (for example) 
kα1T conjugated beads and repeat the assays. 
9.3. Molecular Immunology Studies 
The Molecular Immunology Core Laboratory is located at the Mount Sinai School of Medicine in New York, NY (PI: 
Peter Heeger, MD). 
RNA obtained from peripheral blood collection in PAXgene RNA tubes (PreAnalytiX, a Qiagen/BD Company) will be 
used for both mRNA Profiling/Gene Expression (PI: Peter Heeger, MD) and IgG VDJ Region studies (PI: Ignacio Sanz, 
MD).  The Molecular Core Laboratory will isolate the RNA and aliquot a portion for both studies.  
9.3.1. Gene Expression Profiles, mRNA Profiling in Blood and the Bronchoalveolar Lavage 
RNA will be stored at the Heeger laboratory and used for gene expression studies (RNA, miRNA).  We will 
assess the transcriptional profile associated with rituximab based immunosuppression using array 
technology.   

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9.3.2. RNA Sequencing for IgG VDJ Regions 
VH repertoire analysis will be performed using 454-based deep sequencing approaches well established in 
Dr. Ignacio Sanz laboratory (Figure 9).  Briefly, 454 sequencing of all VH families will be performed using well 
validated primers in order to obtain unbiased representation of the B cell repertoire.  Despite the lack of 
upfront fractionation of B cell subsets, memory repertoires can be reasonably deduced by the use of IgG-
specific primers to analyze post-germinal center isotype switched cells.  Up to 1 million reads per sample 
with an average length of 400 nucleotides (enough to span the entire VDJ rearrangement) will be obtained 
in a typical experiment.  Sequences will be filtered using locally developed algorithms to eliminate non-Ig, 
artifactual and hybrid sequences.  Approximately 75% of valid sequences will be collected and analyzed for 
clonal identity using identical CDR3 length (with a conservation of at least 70% sequence identity) in the 
context of identical VH, D and JH gene usage.  Clonally related sequences will be analyzed using IgG Tree93 (a 
collaboration between Dr. Sanz and Dr. Ramit Mehr (Bar-Ilan University) to establish genealogical trees 
indicative of antigen selected hypermutation.  All sequences (whether clonally related or not) will be 
analyzed for their germline VH origin and their mutational divergence from the germline.  Repertoire 
diversity and clonal relationships at a single time point and between longitudinal time points will be 
interrogated and expressed using different computational visualization tools. 
Figure 9: B cell Repertoire Analysis 
 
 
9.4. Cellular Immunology Studies  
The Cellular Immunology Core Laboratory is located at the Mount Sinai School of Medicine in New York, NY (PI: 
Peter Heeger, MD). 
Peripheral blood mononuclear cells will be isolated from blood collected in Cyto-Chex® BCT tubes (Streck). Streck 
Cell PreservativeTM maintains cellular antigen expression, including cluster of differentiation (CD) markers and cell 

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morphology of biological samples for analysis by flow cytometry.  In addition, the study will collect bronchoalveolar 
lavage specimen in a Streck Cell Preservative 10ml screw cap vial for B Cell Phenotyping analysis.  Cell integrity is 
maintained at room temperature for up to 7 days in the cell preservative. 
9.4.1. Peripheral Blood B cell Phenotyping 
Peripheral blood phenotyping will be performed using standardized panels of antibodies (8 color).  The efficacy of 
Rituxan® on peripheral blood CD20 positive B-cells will be assessed using flow cytometry in samples obtained at 
visit 03 (4-6 weeks post-transplant). The B cell phenotypes to be analyzed and a representative flow cytometry 
plot illustrating the proposed approach is included as Table 12 and Figure 10. 
Table 12: B-cell phenotypes 
B cell Subset 
Surface Phenotype 
Transitional 
T1-T2 
IgD+CD27- MTG+CD24hi CD38hi 
T3 
IgD+CD27- MTG+CD24int CD38int 
Naïve 
IgD+CD27- MTG-CD24int CD38int 
Memory 
Unswitched 
IgD+ CD27+ 
Switched 
Resting 
IgD-CD27+CD21+CD95-CD24+ 
Activated 
IgD-CD27+CD21-CD95+CD24- 
Switched CD27- memory (DN) 
IgD-CD27-CD21+CD95- 
Antibody secreting cells 
Plasmablasts 
IgD-CD27++CD38++CD19+ 
Autoimmune phenotype 
 
CD19+, CD11c+ CD220+ 
 
Figure 10: B cell phenotypes flow cytometry 
 
 
B cell phenotyping will be performed along with analyses of T cells and APCs (see below).  The team will quantify 
total B cells, naïve and memory B cells, plasma cells, transitional cells, B cells with an active “autoimmune” 
phenotype and Breg using the panels depicted in Table 7.52 ,94, 95 Kinetic analysis will be performed for each patient 
and differences between the treatment group and the control group will be determined.  
Antigen specificity analyses will focus on autoantigenic B cells reactive to ColV and Ka1T.  Fluorescent labeled 
pentamers of kα1T using the recombinant kα1T produced in our lab will be used to identify the number of B cells 
specific for kα1T and their correlation with circulating Abs to kα1T and other self-Ags (ColV) will be analyzed.   

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9.4.2. B-cell Phenotyping in Bronchoalveolar Lavage 
Cell surface markers of BAL samples will be analyzed for B cell subsets as outlined in Table 12 above, 
including quantifying the numbers of transitional B cells and those with an autoimmune phenotype (CD19, 
CD11c and CD220). The effect of B cell depletion on induction of immune response to self-Ags will be 
determined by monitoring the number and frequency of B cells and Abs to HLA (Luminex) and self-antigens 
(ELISA). We expect that the depletion of B cells by rituximab will result in a decrease in the frequency of 
CD19+CD11c+CD220+ B cells. Further, this decline will correlate to a decrease in Abs to HLA as well as Abs to 
self-Ags. Additionally, based on preliminary data, we expect that BOS+ pediatric lung recipients will have an 
increase in these CD19+CD11c+CD220+ B cells. 
9.4.3. Peripheral Blood T-Cell Phenotyping 
T-cell phenotyping will be performed by flow cytometry simultaneously with the B cell phenotyping outlined 
above and using validated panels for multicolor flow (Table 13), to assess CD4 and CD8 T-cell subsets and 
thymic emigrants. 
 
Table 13: Example of flow phenotyping for CD4 T-cells 
T-Cell Subset 
Surface Phenotype 
Naïve 
CD4+ CD45RO+ CD27+ 
Central Memory 
CD4+ CD45RA+ CD27+ 
Effector Memory 
CD4+ CD45RO+ CD27- 
Tregs 
CD3+ CD20- CD4+ CD25+ CD127L  
Naïve recent thymic emigrants 
CD3+ CD20- CD4+ CD8- CCR7+ CD45RA+ CD31+ 
Recent thymic emigrant Treg 
CD3+ CD20- CD4+ CD8- CD45RA+ CD31+ FoxP3+ 
9.4.4. T-Cell function by ELISPOT 
Peripheral blood mononuclear cells (PBMC) and plasma will be isolated from whole blood collected in a Sodium 
Heparin Vacutainer Tube.  The PBMCs will be used to perform T-Cell Function assays (PI: Peter Heeger, MD) and the 
plasma will be shipped to the Washington University in St. Louis (PI: Thalachallour Mohanakumar, MD) and used for 
humoral immunology assays.   
For T-cell autoreactivity, PBMCs collected longitudinally immediately prior to transplant, and then post-
transplantation and will be tested for their reactivity against self-antigens collagen V, Kα1Tand col IV as control. (All 
of these proteins are available as reported above and are endotoxin free).  Because cellular immunity to 
autoantigens is anticipated to be relatively low frequency, we will use the highly sensitive cytokine ELISPOT as an 
initial approach for detection and enumeration of frequency of cells secreting specific cytokines following 
stimulation with various self-antigens described above.  We have the ability to perform 2 color IFNg/IL17 ELISPOT 
assays for autoantigen reactivity, which will permit us to maximize our ability to obtain information from small 
amounts of blood (Figure 3 above). We will assess cellular alloreactivity by cytokine ELISPOT and if sufficient cells 
are available, by CSFE dilution and intracellular cytokine staining. 
Donor B cell lines (primary expansion using CD40L transfected fibroblasts and IL-4 as described (and unmatched 3P 
control lines) will be made under GLP conditions in the Heeger lab.17 IFNγ ELISPOT assays will be the primary 
readout.  Assays for 2 different cytokines will be performed as part of the mechanistic study.  Again, we will study 
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cytokines.  Aliquots of samples will be stored in sufficient cells for potential future testing against additional 
autoantigens. 
9.5. Immunohistochemistry 
The Immunohistochemistry Core Laboratory is located at the Mount Sinai School of Medicine (PI: Michael J. 
Donovan, MD). 
M Donovan, MD, PhD, ISMMS is an innovator in systems pathology in which he has developed computer assisted 
approaches for morphometric and multicolor image analysis of IF stained tissues.  Using these published methods 
multicolor IF staining for B cells (CD20), T-cells (CD4, CD8), Treg (CD4, foxp3), and macrophages (CD68) will be 
performed on representative histology slides.  Computer assisted image analysis will be used to determine the 
numbers of each cell type within the area being studied and to assess correlations among cell subsets. Examples 
demonstrating feasibility are shown in Figure 11. 
 
 
 
 
 
 
 
 
Results will be correlated with the graded score of the biopsy, the presence or absence of AMR features (capillaritis, 
C4d capillary loop staining) and outcome, including effects of treatment for acute rejection and the long term 
development of BOS. 
9.6. Microbiology and Viral Detection Core 
The Microbiology and Viral Detection Core Laboratory is located at the Washington University in St. Louis, MO (PI: 
Gregory Storch, MD). 
9.6.1. Viral Detection by PCR in Bronchoalveolar Lavage (BAL) and Nasopharyngeal Swabs (NP) 
Bronchoalveolar Lavage (BAL) samples will be obtained during scheduled surveillance or unscheduled 
symptomatic bronchoscopies.  Nasopharyngeal swab (NP) samples will be collected during scheduled 
surveillance and at symptomatic episodes that do not clinically require bronchoscopy.  With all 
bronchoscopies, samples for bacterial, fungal, and viral testing will be taken even if infection was not initially 
suspected.  Mycobacterial testing will be performed if indicated. After processing for immediate clinical 
testing by conventional methods at local clinical sites with immediate reporting of infectious episodes, the 
remainder of the samples will be stored at -70oC and batch shipped to the Microbiology and Viral Detection 
Core Laboratory. If we find that the batched analysis by this highly sensitive method detects potentially 
   
   
 
Figure 11: Detection of B cell infiltrates in paraffin embedded transbronchial biopsy samples from the CTOTC-03 trial.  
Representative 2 color IF staining for CD20 (red) and CD8 (green) showing A) rare T or B cells in an ISHLT grade A0B0 
biopsy, B) diffuse T and B cell infiltration near an airway in an ISHLT grade A0B1C biopsy with bronchiolitis obliterans, and 
C) prominent B cell infiltrate adjacent to a vessel in an ISHLT grade A2B1 biopsy from a patient who later developed 
bronchiolitis obliterans 
A 
B 
C 

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treatable infection that are not detected by the individual clinical sites (which did not occur to date in 
CTOTC-03), we will adjust the design so that it is performed in real time so as to provide the clinically 
relevant information to the sites for therapeutic intervention. 
9.6.2. Viral Detection in Whole Blood by Quantitative PCR 
CMV has been epidemiologically linked to acute and chronic rejection including initial data from our 
research team showing an increased risk of early mortality in children with CMV viremia.97EBV, associated 
with post-transplant lymphoproliferative disease (PTLD), has also been identified as a potential co-factor for 
outcome. Due to known inter-laboratory variability in quantitative measurements of CMV and EBV viral 
load,98,99  whole blood will be collected and sent to the Microbiology and Viral Detection Core.   
Whole blood will be stored for potential evaluation of additional interacting viruses to include HHV-6.  

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10.  Biospecimen Storage and Future Use 
Biological specimens obtained under this protocol may be used in future assays to reevaluate biological responses as 
additional research tests are developed over time. These specimens will be collected at time points already 
scheduled for the core mechanistic studies outlined in the Schedule of Events (Appendices 1 and 2), in order to allow 
specimens to be stored for use in new assays that have yet to be optimized or conceived, or assays performed by 
other CTOT-C  members for cross-validation studies.  Appropriate informed consent will be obtained for both the 
collection and storing of samples.  The specimens from these evaluations may be stored beyond the funding period. 
During the funding period, samples will be identifiable, which means samples will be coded with a subject ID number 
that could be directly linked to the subject and the subject’s medical record. When the funding period is over, 
samples will be anonymized, which means a sample that was previously identifiable, has had all identifiers removed 
and can no longer be linked back to the subject or the subject’s medical record by any means. 
Study participants will be informed that they may be approached about additional clinical evaluations or studies that 
have received the full approval of the NIAID as new evaluations are identified.  If additional evaluations are 
determined to be desirable, this protocol (and other appropriate study documents, e.g., the informed consent and 
the statistical analysis plan) will be amended and submitted to the appropriate regulatory authorities, ethics 
committees, and IRBs for approval.  Each participant’s signature will be obtained on the revised informed consent 
form before additional evaluations are performed.  The specimens from these evaluations may be stored up to the 
end of the grant— approximately 5 years, or longer if the grant is extended. 
 

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11.Criteria for Participant and Study Completion and Premature Study Termination 
11.1. Participant Completion 
All participants will be followed for a minimum of12 months and up to 54 months after transplantation.     
11.2. Participant Stopping Rules and Withdrawal Criteria 
Participants may be prematurely terminated from the study for the following reasons: 
1. The participant elects to withdraw consent from all future study activities, including follow-up. 
2. The participant is “lost to follow-up” (i.e., no further follow-up is possible because attempts to reestablish 
contact with the participant have failed).  
3. The participant dies.  
4. The Investigator no longer believes participation is in the best interest of the participant. 
5. The study is stopped by the site, the sponsor (NIAID), or the Food and Drug Administration. 
11.3. Participant Replacement 
Participants who withdraw or are withdrawn will not be replaced if they have received at least one dose of 
rituximab. 
11.4. Follow-up after Early Study Withdrawal 
Participants who receive at least one dose of rituximab will follow the schedule of events-Appendix 1. 

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12.Safety Monitoring and Reporting 
12.1 Overview 
This section defines the types of safety data that will be collected under this protocol and outlines the procedures 
for appropriately collecting, grading, recording, and reporting those data. Adverse events that are classified as 
serious according to the definition of health authorities must be reported promptly (per Section 12.5, Reporting of 
Serious Adverse Events and Adverse Events) to DAIT/NIAID.  Appropriate notifications will also be made to site 
principal investigators, Institutional Review Boards (IRBs) and health authorities.  
Information in this section complies with ICH Guideline E2A: Clinical Safety Data Management: Definitions and 
Standards for Expedited Reporting, ICH Guideline E-6: Guideline for Good Clinical Practice, 21CFR Parts 312 and 320, 
and applies the standards set forth in the National Cancer Institute (NCI), Common Terminology Criteria for Adverse 
Events (CTCAE), Version 4.0: http://ctep.cancer.gov/reporting/ctc.html. 
12.2 Definitions 
12.2.1 Adverse Event (AE) 
Any untoward or unfavorable medical occurrence associated with the subject’s participation in the research, 
whether or not considered related to the subject’s participation in the research (modified from the 
definition of adverse events in the 1996 International Conference on Harmonization E-6 Guidelines for Good 
Clinical Practice) (from OHRP "Guidance on Reviewing and Reporting Unanticipated Problems Involving Risks 
to Subjects or Others and Adverse Events (1/15/07)" 
http://www.hhs.gov/ohrp/policy/advevntguid.html#Q2)  
For this study, an adverse event will include any untoward or unfavorable medical occurrence associated 
with:   
• 
Study therapy regimen: Rituximab or Rituximab Placebo 
• 
Study mandated procedures:  
o Bronchoscopy:  Any AE occurring within 24 hours after a study related bronchoscopy. 
o Blood Draw:  Any AE occurring within 24 hours after a study related blood draw. 
12.2.1.1 Suspected Adverse Reaction (SAR)  
Any adverse event for which there is a reasonable possibility that the investigational drug [or 
investigational study therapy regimen] caused the adverse event. For the purposes of safety 
reporting, ‘reasonable possibility’ means there is evidence to suggest a causal relationship between 
the drug and the adverse event. A suspected adverse reaction implies a lesser degree of certainty 
about causality than adverse reaction, which means any adverse event caused by a drug (21 CFR 
312.32(a)). 
12.2.2 Unexpected Adverse Event  
An adverse event or suspected adverse reaction is considered “unexpected” if it is not listed in the 
Investigator Brochure or package insert or is not listed at the specificity, severity or rate of occurrence that 
has been observed; or is not consistent with the risk information described in the general investigational 
plan or elsewhere in the IND. 

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“Unexpected” also refers to adverse events or suspected adverse reactions that are mentioned in the 
Investigator Brochure or package insert as occurring with a class of drugs or as anticipated from the 
pharmacological properties of the drug, but are not specifically mentioned as occurring with the particular 
drug under investigation (21 CFR 312.32(a)] 
12.2.3 Serious Adverse Event (SAE) 
An adverse event or suspected adverse reaction is considered “serious” if, in the view of either the 
investigator or DAIT/NIAID, it results in any of the following outcomes (21 CFR 312.32(a)): 
1. Death. 
2. A life-threatening event: An AE or SAR is considered “life-threatening” if, in the view of either the 
investigator or DAIT/NIAID, its occurrence places the subject at immediate risk of death. It does not 
include an AE or SAR that, had it occurred in a more severe form, might have caused death.  
3. Inpatient hospitalization or prolongation of existing hospitalization. 
4. Persistent or significant incapacity or substantial disruption of the ability to conduct normal life 
functions. 
5. Congenital anomaly or birth defect.  
6. Important medical events that may not result in death, be life threatening, or require hospitalization 
may be considered serious when, based upon appropriate medical judgment, they may jeopardize the 
subject and may require medical or surgical intervention to prevent one of the outcomes listed above. 
The NIAID medical monitor will review each SAE and assess the relationship of the event to the study 
procedure.  Events meeting serious criteria that occur outside of these parameters should also be reported if 
the investigator deems a possible association with a protocol mandated procedure.  Elective hospitalizations 
or hospital admissions for the purpose of conduct of protocol mandated procedures are not to be reported 
as an SAE unless hospitalization is prolonged due to complications. 
12.3 Grading and Attribution of Adverse Events 
12.3.1 Grading Criteria 
The study site will grade the severity of adverse events experienced by the study subjects according to the 
criteria set forth in the National Cancer Institute’s Common Terminology Criteria for Adverse Events (CTCAE) 
version 4.   This document (referred to herein as the NCI-CTCAE manual) provides a common language to 
describe levels of severity, to analyze and interpret data, and to articulate the clinical significance of all 
adverse events. The NCI-CTCAE has been reviewed by the Protocol Chair and Principal Investigator and has 
been deemed appropriate for the subject population to be studied in this protocol.  
 
 

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Adverse events will be graded on a scale from 1 to 5 according to the following standards in the NCI-CTCAE 
manual: 
Grade 1 = mild adverse event. 
Grade 2 = moderate adverse event. 
Grade 3 = severe and undesirable adverse event. 
Grade 4 = life-threatening or disabling adverse event. 
 
Grade 5 = death. 
Events grade 1 and 2 will not be collected.  Events grade 3 or higher will be recorded on the appropriate AE 
electronic case report form except for hematologic cytopenias.  Only hematologic cytopenias meeting 
serious criteria outlined in 12.2.3 and occurring from the time of first rituximab infusion to 6 weeks following 
the last rituximab infusion will be collected and reported to the sponsor.  Outside of this period, 
hematologic cytopenias meeting grade 3 and higher will be collected and reported to the sponsor.   
For grading an abnormal value or result of a clinical or laboratory evaluation (including, but not limited to, a 
radiograph, an ultrasound, an electrocardiogram etc.), a treatment-emergent adverse event is defined as an 
increase in grade from baseline or from the last post-baseline value that doesn’t meet grading criteria. 
Changes in grade from screening to baseline will also be recorded as adverse events, but are not treatment-
emergent. If a specific event or result from a given clinical or laboratory evaluation is not included in the 
NCI-CTCAE manual, then an abnormal result would be considered an adverse event if changes in therapy or 
monitoring are implemented as a result of the event/result. 
12.3.2 Attribution Definitions 
The relationship, or attribution, of an adverse event to the study therapy regimen or study procedure(s) will 
initially be determined by the site investigator and recorded on the appropriate AE/SAE eCRF.  Final 
determination of attribution for safety reporting will be determined by DAIT/NIAID.  The relationship of an 
adverse event to study therapy regimen or procedures will be determined using the descriptors and 
definitions provided in Table 14.  
For additional information and a printable version of the NCI-CTCAE manual, consult the NCI-CTCAE web 
site: http://ctep.cancer.gov/reporting/ctc.html. 
       
Table 14:  Attribution of Adverse Events 
Code 
Descriptor 
Relationship (to primary investigational product 
and/or other concurrent mandated study therapy or 
study procedure) 
UNRELATED CATEGORY 
1 
Unrelated 
The adverse event is clearly not related:  there is 
insufficient evidence to suggest a causal relationship. 
RELATED CATEGORIES 
2 
Possible 
The adverse event has a reasonable possibility to be 
related; there is evidence to suggest a causal 
relationship. 
3 
Definite 
The adverse event is clearly related. 
 

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12.4 Collection and Recording of Adverse Events 
12.4.1 Collection Period 
Adverse events will be collected from the time of enrollment until a subject completes study participation or 
until 30 days after he/she prematurely withdraws (without withdrawing consent) or is withdrawn from the 
study. 
12.4.2 Collecting Adverse Events 
Adverse events (including SAEs) may be discovered through any of these methods: 
• 
Observing the subject. 
• 
Interviewing the subject [e.g., using a checklist, structured questioning, diary, etc.]. 
• 
Receiving an unsolicited complaint from the subject. 
• 
In addition, an abnormal value or result from a clinical or laboratory evaluation can also indicate an 
adverse event, as defined in Section 12.3, Grading and Attribution of Adverse Events. 
 12.4.3 Recording Adverse Events 
Throughout the study, the investigator will record adverse events and serious adverse events as described 
previously (Section 12.2, Definitions) on the appropriate AE/SAE eCRF regardless of the relationship to study 
therapy regimen or study procedure. 
Once recorded, an AE/SAE will be followed until it resolves with or without sequelae, or until the end of 
study participation, or until 30 days after the subject prematurely withdraws (without withdrawing 
consent)/or is withdrawn from the study, whichever occurs first. 
12.5 Reporting of Serious Adverse Events and Adverse Events 
12.5.1 Reporting of Serious Adverse Events to Sponsor  
This section describes the responsibilities of the site investigator to report serious adverse events to the 
sponsor via the SACCC eCRF.  Timely reporting of adverse events is required by 21 CFR and ICH E6 guidelines.  
Site investigators will report all serious adverse events (see Section 12.2.3, Serious Adverse Event), 
regardless of relationship or expectedness within 24 hours of discovering the event. 
For serious adverse events, all requested information on the AE/SAE eCRF will be provided.  However, 
unavailable details of the event will not delay submission of the known information.  As additional details 
become available, the AE/SAE eCRF will be updated and submitted. 
12.5.2 Reporting to Health Authority 
After an adverse event requiring 24 hour reporting (per Section 12.5.1, Reporting of Serious Adverse Events 
to Sponsor) is submitted by the site investigator and assessed by DAIT/NIAID, there are two options for 
DAIT/NIAID to report the adverse event to the appropriate health authorities: 
 
 

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12.5.2.1 Annual Reporting 
DAIT/NIAID will include in the annual study report to health authorities all adverse events classified 
as: 
o Serious, expected, suspected adverse reactions (see Section 12.2.1.1, Suspected Adverse 
Reaction, and Section 12.2.2, Unexpected Adverse Event). 
o Serious and not a suspected adverse reaction (see Section 12.2.2, Suspected Adverse Reaction). 
o Pregnancies. 
Note that all adverse events (not just those requiring 24-hour reporting) will be reported in the 
Annual IND Report. 
12.5.2.2 Expedited Safety Reporting  
This option, with 2 possible categories, applies if the adverse event is classified as one of the 
following: 
Category 1:  Serious and unexpected suspected adverse reaction [SUSAR] (see Section 12.2.1.1, 
Suspected Adverse Reaction and Section 12.2, Unexpected Adverse Event and 21 CFR 312.32(c)(1)i).  
The sponsor shall report any suspected adverse reaction that is both serious and 
unexpected.  The sponsor shall report an adverse event as a suspected adverse reaction 
only if there is evidence to suggest a causal relationship between the study drug and the 
adverse event, such as: 
1. A single occurrence of an event that is uncommon and known to be strongly 
associated with drug exposure (e.g., angioedema, hepatic injury, or Stevens-Johnson 
Syndrome); 
2. One or more occurrences of an event that is not commonly associated with drug 
exposure, but is otherwise uncommon in the population exposed to the drug (e.g., 
tendon rupture); 
3. An aggregate analysis of specific events observed in a clinical trial (such as known 
consequences of the underlying disease or condition under investigation or other 
events that commonly occur in the study population independent of drug therapy) 
that indicates those events occur more frequently in the drug treatment group than 
in a concurrent or historical control group. 
 
Category 2: Any findings from studies that suggests a significant human risk  
 
The sponsor shall report any findings from other epidemiological studies, analyses of 
adverse events within the current study or pooled analysis across clinical studies or animal 
or in vitro testing (e.g. mutagenicity, teratogenicity, carcinogenicity) that suggest a 
significant risk in humans exposed to the drug that would result in a safety-related change in 
the protocol, informed consent, investigator brochure or package insert or other aspects of 
the overall conduct of the study.   
DAIT/NIAID shall notify the FDA and all participating investigators of expedited Safety Reports within 15 
calendar days; unexpected fatal or immediately life-threatening suspected adverse reaction(s) shall be 
reported as soon as possible or within 7 calendar days.  

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12.5.3 Reporting of Adverse Events to IRBs/IECs 
All investigators shall report adverse events, including expedited reports, in a timely fashion to their 
respective IRBs/IECs in accordance with applicable regulations and guidelines. All Safety Reports to the 
FDA shall be distributed by DAIT/NIAID or designee to all participating institutions for site IRB/IEC 
submission. 
12.6 Pregnancy Reporting 
The investigator shall be informed immediately of any pregnancy in a study subject or a partner of a study subject. A 
pregnant subject shall be instructed to stop taking study medication.   The investigator shall counsel the subject and 
discuss the risks of continuing with the pregnancy and the possible effects on the fetus. Monitoring of the pregnant 
subject shall continue until the conclusion of the pregnancy.    
The investigator shall report to the SACCC all pregnancies within 1 business day of becoming aware of the event 
using the Pregnancy eCRF.  All pregnancies identified during the study shall be followed to conclusion and the 
outcome of each must be reported.  The Pregnancy eCRF shall be updated and submitted to SACCC when details 
about the outcome are available.  When possible, similar information shall be obtained for a pregnancy occurring in 
a partner of a study subject. 
Information requested about the delivery shall include: 
o 
Gestational age at delivery 
o 
Birth weight, length, and head circumference 
o 
Gender 
o 
Appearance, pulse, grimace, activity, and respiration (APGAR) score at 1 minute, 5 minutes, and 24 
hours after birth, if available 
o 
Any abnormalities. 
All pregnancy complications that result in a congenital abnormality, birth defect, miscarriage, and medically 
indicated abortion - an SAE shall be submitted to the SACCC using the SAE reporting procedures described 
above.   
12.7 Reporting of Other Safety Information 
An investigator shall promptly notify the site IRB as well as the SACCC when an “unanticipated problem 
involving risks to subjects or others” is identified, which is not otherwise reportable as an adverse event. 
12.8 Review of Safety Information 
12.8.1 Medical Monitor Review 
The DAIT/NIAID Medical Monitor shall receive monthly reports from the SACCC compiling new and 
accumulating information on AEs, SAEs, and pregnancies recorded by the study site(s) on appropriate eCRFs. 
In addition, the Medical Monitor shall review and make decisions on the disposition of the SAE and 
pregnancy reports received by the SACCC (See Sections 12.5.1, Reporting of Serious Adverse Events to 
Sponsor, and 12.6, Pregnancy Reporting).   
 
 

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12.8.2 DSMB Review  
12.8.2.1 Planned DSMB Reviews  
The Data and Safety Monitoring Board (DSMB) shall review safety data at least yearly during 
planned DSMB Data Review Meetings. Data for the planned safety reviews will include, at a 
minimum, a listing of all reported AEs and SAEs.   
The DSMB will be informed of an Expedited Safety Report in a timely manner.   
12.8.2.2 Ad hoc DSMB Reviews  
In addition to the pre-scheduled data reviews and planned safety monitoring, the DSMB may be 
called upon for ad hoc reviews. The DSMB will review any event that potentially impacts safety at 
the request of the study principal investigator or DAIT/NIAID. In addition, satisfaction of any of the 
following stopping rules in study subjects at any time of follow-up in the treatment arms will trigger 
an ad hoc DSMB Safety Review:  
o 
Any occurrence of confirmed PML. 
o 
Incidence of death of 30% or more subjects. 
o 
Incidence of at least mild acute rejection of 35% or more. 
o 
Incidence of humoral rejection of 25% or more. 
o 
Incidence of primary graft dysfunction of 50% or more. 
o 
Incidence of PTLD of 5% or more. 
o 
Incidence of infections of any type requiring hospitalization of 40% or more. 
The thresholds for stopping rules involving subject-level incidence rates have been formulated 
based on an analysis of adverse events in the CTOTC-03 (NCT00891865) observational study of 
subjects who are similar to those in the control arm of this study. They will be evaluated routinely by 
the SACCC with the occurrence of any of the triggering events throughout follow-up of subjects 
within either randomized treatment arm. They will be implemented by comparing the exact lower 
95% confidence limit on the currently observed subject-level incidence rate to the threshold rate 
described for that event in the stopping rule. If the lower confidence limit is greater than the 
threshold, the stopping rule will be considered to have been met and the Medical Monitor, DSMB 
and study PI will be notified. 
Following are tables illustrating, for each stopping rule, the minimum numbers of subjects with the 
respective event that would meet the stopping rule for selected numbers of subjects within either 
randomized treatment arm:  
 
 

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Table 15:  Minimum Numbers of Subjects with the Event in Either Randomized Treatment Arm that meet the Stopping 
Rule for Death with a Threshold of Concern of 30%  
 
 
 
 
 
 
 
Table 16:  Minimum Numbers of Subjects with the Event in Either Randomized Treatment Arm that meet the Stopping 
Rule for Mild Acute Rejection with a Threshold of Concern of 35% 
 
 
 
 
 
 
 
 
Table 17:  Minimum Numbers of Subjects with the Event in Either Randomized Treatment Arm that meet the Stopping 
Rule for Humoral Rejection with a Threshold of Concern of 25% 
 
 
 
 
 
 
 
Number of Subjects 
with Event 
Number of 
Randomized Subjects 
Cumulative 
Incidence Rate 
Lower 95% 
Confidence Limit 
4 
4 
100.00 
47.29 
5 
6 
83.33 
41.82 
6 
8 
75.00 
40.03 
6 
10 
60.00 
30.35 
7 
12 
58.33 
31.52 
8 
14 
57.14 
32.50 
9 
16 
56.25 
33.34 
10 
18 
55.56 
34.06 
10 
20 
50.00 
30.20 
11 
22 
50.00 
31.13 
Number of Subjects 
with Event 
Number of Randomized 
Subjects 
Cumulative 
Incidence Rate 
Lower 95% 
Confidence Limit 
4 
4 
100.00 
47.29 
5 
6 
83.33 
41.82 
6 
8 
75.00 
40.03 
7 
10 
70.00 
39.34 
8 
12 
66.67 
39.09 
9 
14 
64.29 
39.04 
10 
16 
62.50 
39.10 
11 
18 
61.11 
39.22 
11 
20 
55.00 
34.69 
12 
22 
54.55 
35.25 
Number of Subjects 
with Event 
Number of Randomized 
Subjects 
Cumulative 
Incidence Rate 
Lower 95% 
Confidence Limit 
4 
4 
100.00 
47.29 
4 
6 
66.67 
27.13 
5 
8 
62.50 
28.92 
6 
10 
60.00 
30.35 
7 
12 
58.33 
31.52 
7 
14 
50.00 
26.36 
8 
16 
50.00 
27.86 
9 
18 
50.00 
29.12 
9 
20 
45.00 
25.87 
10 
22 
45.45 
27.13 

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Table 18:  Minimum Numbers of Subjects with the Event in Either Randomized Treatment Arm that meet the Stopping 
Rule for Primary Graft Dysfunction with a Threshold of Concern of 50% 
 
 
 
 
 
 
 
 
Table 19:  Minimum Numbers of Subjects with the Event in Either Randomized Treatment Arm that meet the Stopping 
Rule for PTLD with a Threshold of Concern of 5% 
 
 
 
 
 
 
 
 
 
 
Number of Subjects 
with Event 
Number of Randomized 
Subjects 
Cumulative 
Incidence Rate 
Lower 95% 
Confidence Limit 
5 
4 
100.00 
54.93 
6 
6 
100.00 
60.70 
7 
8 
87.50 
52.93 
9 
10 
90.00 
60.58 
10 
12 
83.33 
56.19 
11 
14 
78.57 
53.43 
12 
16 
75.00 
51.56 
13 
18 
72.22 
50.22 
15 
20 
75.00 
54.44 
16 
22 
72.73 
53.15 
Number of Subjects 
with Event 
Number of Randomized 
Subjects 
Cumulative 
Incidence Rate 
Lower 95% 
Confidence Limit 
2 
4 
50.00 
9.76 
2 
6 
33.33 
6.28 
3 
8 
37.50 
11.11 
3 
10 
30.00 
8.73 
3 
12 
25.00 
7.19 
3 
14 
21.43 
6.11 
3 
16 
18.75 
5.31 
4 
18 
22.22 
7.97 
4 
20 
20.00 
7.14 
4 
22 
18.18 
6.46 

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Table 20:  Minimum Numbers of Subjects with the Event in Either Randomized Treatment Arm that meet the Stopping 
Rule for Infection Requiring Hospitalization with a Threshold of Concern of 40% 
o 
 
 
 
 
 
 
 
 
After review of the data, the DSMB will make recommendations regarding study conduct and/or 
continuation. 
12.8.2.2.1 Temporary Suspension of enrollment and drug dosing for ad hoc DSMB Safety 
Review  
A temporary halt in enrollment, randomization and administration of rituximab/rituximab 
placebo will be implemented if an ad hoc DSMB safety review is required.  In the event a 
study participant has already received the first dose of rituximab/rituximab placebo, every 
attempt will be made to expedite review such that a prompt decision can be made 
regarding the appropriate management for these subjects. 
Number of Subjects 
with Event 
Number of Randomized 
Subjects 
Cumulative 
Incidence Rate 
Lower 95% 
Confidence Limit 
4 
4 
100.00 
47.29 
5 
6 
83.33 
41.82 
6 
8 
75.00 
40.03 
8 
10 
80.00 
49.31 
9 
12 
75.00 
47.27 
10 
14 
71.43 
46.00 
11 
16 
68.75 
45.17 
12 
18 
66.67 
44.60 
13 
20 
65.00 
44.20 
14 
22 
63.64 
43.91 

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13.Statistical Considerations and Analytical Plan 
13.1 
Overview  
In this randomized controlled clinical trial, we will compare primary pediatric lung transplant recipients given 
rituximab induction therapy plus standard immmunosuppression to subjects given a placebo induction therapy plus 
standard immmunosuppression and assess whether rituximab induction therapy improves outcomes in this 
population. 
13.2 
Endpoints and Safety Outcomes  
The primary endpoint will be the earliest time to any of the following events during the follow up period: Chronic 
Allograft Dysfunction, listing for retransplantation, and death.  
The following secondary clinical endpoints will be assessed during the post-transplant follow-up period, which will 
be a minimum of 12 months:   
• 
incidence of chronic allograft dysfunction, listing for retransplant or death,  
• 
incidence of Primary Graft Dysfunction,   
• 
incidence of Grade A Acute Rejection,  
• 
incidence of Antibody Mediated Rejection,  
• 
incidence of TVT,   
• 
percentage of participants identified to participate completing the TVI,  
• 
and magnitude of change in standard deviation of tacrolimus levels following intervention. 
The following secondary clinical post-transplant safety outcomes will be assessed: incidence and severity of infection 
episodes, and serious adverse events related to rituximab. 
The following mechanistic endpoints will be assessed:  incidence and kinetics of DSA and auto-antibodies, 
specifically Collagen V (ColV) and k-alpha-1 tubulin (kα1T); frequency, kinetics, phenotype and function of peripheral 
B cells; frequency, kinetics and cytokine profiles of allo- and auto reactive T cells; the incidence and quantity of B 
cells and B cell proximity to other cells in the graft tissue. 
13.3 
Measures to Minimize Bias  
Study treatments will be randomly assigned to eligible subjects and the treatment assignment of each subject will be 
double-blinded. In addition, the central laboratories that perform the mechanistic assays will be blinded to both the 
treatment assignment and clinical status of all study subjects. 
13.4 
Analysis Plan 
The overall focus of our statistical analysis of the clinical portion of the study will be on the estimation of hazard 
ratios (HR) and risk ratios (RR) and their two-sided 90% confidence intervals comparing the rituximab and placebo 
groups on each endpoint of the study. Focusing on estimates and confidence intervals will allow us to assess the 
range potential efficacies as best we can within the limitations imposed by studying such a rare pediatric population.  
Further detail describing the analysis plan will be contained in a Statistical Analysis Plan (SAP) that will be maintained 
by the SACCC and updated as necessary. 

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13.4.1 Analysis Populations 
Intent-to-Treat (ITT) Sample. All randomized subjects who receive at least a portion of the initial 
rituximab/placebo infusion will constitute the ITT sample.  This sample will be used for evaluation of the 
primary and secondary clinical endpoints. Subjects will be analyzed in the group to which they were 
randomized, regardless of compliance with the protocol or withdrawal from the study. 
Per-Protocol (PP) Sample. Subjects from the ITT sample who complete the full induction protocol, with 
complete administration of the prescribed dose at both the initial and subsequent infusions, will make up 
the PP sample. This sample will capture subjects who both tolerate rituximab well and recover as expected 
from their transplant. 
Safety Sample.  All subjects from the ITT sample will constitute the safety sample. 
13.4.2 Primary Analysis of Primary Endpoints /Outcomes 
We will use competing-risks Cox proportional hazards models to compare treatment groups on the time to 
endpoint, right-censored at the end of the two-year follow-up period or at time of loss to follow-up. This 
model, as opposed to a time-to-first-event model, will allow us to estimate a separate hazard function for 
each type of outcome as well as the overall outcome, and thus assess whether the effect of rituximab is the 
same for all outcome types100. Our focus will be on the estimates of these hazard ratios (HR) and their two-
sided 90% confidence intervals, with HR < 1 indicating rituximab efficacy. We will assess whether HR is 
constant throughout follow-up, or if the effect of rituximab is confined to early or late portions of the study 
periods through the use of time-dependent covariates.  Model diagnostics will include assessment of the 
proportional hazards assumption and of each observation for influence on model parameters. The model 
will be run on both the ITT and PP populations, as events allow. 
 
13.4.3 Supportive Analyses of the Primary Endpoints  
We will also model the time-to-first-event model within the Kaplan-Meier framework for the primary 
outcome, as needed, given the likelihood of little to no events for one or more of the 3 outcomes. 
Secondary analyses will model each component of the outcome separately with the other components as 
risk factors, as allowed by the number of events and the sample size.  
 
 

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13.4.4 Analyses of Secondary Endpoints and Safety Outcomes 
All secondary endpoint analyses will use the ITT sample and will be assessed during the post-transplant 
follow-up period, which will be a minimum of 12 months. 
Separately for each of the secondary incidence endpoints, we will compare the rituximab and control groups 
on the proportion of patients in each group with at least one episode of the endpoint by estimating the 
relative risk of the endpoint with its two-sided 90% confidence interval. The absolute risk difference with 
90% confidence interval will also be estimated. These methods assume no, or very low rates of, death and 
re-transplant in the study period. However, if meaningful numbers of subjects have these outcomes, the risk 
ratio for each incidence endpoint can be estimated through a Cox proportional hazards model with the 
incidence endpoint as the outcome and right-censoring at death, re-transplant, or other loss to follow-up, 
following the modeling process described above for the primary endpoint. 
Among subjects who are identified as qualifying for and agreeing to participate in the TVI, we will compare 
the rituximab and control groups on change in standard deviation of tacrolimus levels following the TVI 
(described in sections 5.3.3 and 8.4) using an analysis of covariance (ANCOVA) model, in which the standard 
deviation of tacrolimus levels following intervention is the outcome, and study group and pre-intervention 
standard deviation of tacrolimus levels are the predictors. The group effect with its 90% confidence interval 
will be estimated. 
For safety outcomes, we will analyze each type of infection separately (bacterial, fungal, or viral, including 
RVI, CMV, and EBV), as well as for all types of infections combined. We will first determine the incidence of 
bacterial, fungal and viral infections in the rituximab and control groups. ‘Incidence rate’ will be the number 
of infections per patient-month, and we will focus on the estimates and associated 90% confidence intervals 
for the ratio of such rates (RR), where RR > 1.0 indicates greater infection rates for rituximab. Of course, 
infection events are biologically related within patient, thus, relative to perfect independence of events, 
greater proportions of patients will experience more episodes of the same type of infection and greater 
proportions of patients will experience no episodes. Accordingly, a Poisson regression models offset for 
months of follow-up and adjusted for overdispersion will be used to compare groups on the rate of each 
type of infection and any infection.  
Serious adverse events related to rituximab will be reported by their incidence rate per patient and per 
infusion with 90% confidence intervals.  Adverse events will be summarized by treatment group, with 90% 
confidence intervals. 
13.4.5 Analyses of Exploratory Endpoints 
We will correlate pre and/or post-transplant serum reactivity to each autoantigen and to donor HLA with 
our primary endpoint to prospectively and independently test the hypothesis that autoantibodies can be 
used as predictors of incipient injury. We will also correlate the presence of serum antibodies with positive 
C4d staining of the graft tissue (to be collected as part of the clinical component of the study).  
To test the hypothesis that rituximab prevents induction of de novo autoantibodies and or DSA, we will 
compare titers of autoantibodies (or DSA) between the rituximab and control groups. Development of 
antibodies to either DSA or self-antigens or both and the kinetics of antibody development (time course 
following transplantation) will be correlated with clinical evidence of AMR and BOS as determined in the 

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clinical part of study described above and the ISHLT criterion. While the absolute numbers of patients in 
each group with preexisting autoantibodies or DSA is anticipated to be small (thus limiting power) we will 
compare and report pre vs post-transplant titers in each case to determine if rituximab impacts preexisting 
antibody.  
The results will be analyzed for development of PGD, development of DSA, diagnosis of AMR and BOS. In 
addition we will also determine any correlation which may exist between the strength of antibodies 
detected for DSA, HLA and each antibody to self-antigens either alone or cumulatively and clinical outcomes 
such as PGD, AMR and BOS.  
We will analyze DSA and each type of antibody separately. The DSA and autoantibody data will consist of 
binary (positive/negative) or ordinal (negative/weak positive/strong positive) responses measured 
repeatedly at scheduled and unequally-spaced intervals. With these features of the data and at this sample 
size, it may not be feasible to obtain estimates of treatment effect at each time-point using a single 
statistical model with rituximab and time main effects and their interaction as covariates. Therefore we will 
describe the treatment effect over the course of the follow-up period.  
 
The hazard ratio for the association between development of antibodies and clinical outcomes (the 
endpoint and its components, and the secondary incidence endpoints) will be estimated with its 90% 
confidence interval using a Cox proportional hazard model with presence or absence of antibodies as time-
dependent repeated measures covariates, stratified by treatment group. We will model the association of 
each antibody on each outcome separately and in combination.  
We will also estimate odds ratios with 90% confidence intervals for the associations between each of the 
various serum antibodies and C4d staining of the graft tissue. We will estimate these odds ratios at each 
time point between each pair of antibodies and each antibody and C4d result, both cross-sectional, and 
cumulative, in which case we would treat any subject with a current or prior positive result as positive for 
that particular antibody. 
 
 

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13.4.6 Descriptive Analyses  
Selected subject baseline clinical and demographic characteristics, as well as use of concomitant 
medications and study subject disposition will be summarized using standard descriptive statistics for 
continuous and categorical variables.  
13.5 
Interim Analyses  
No interim analyses are planned. However, as described in section 12.8.2., the DAIT Transplant DSMB will 
periodically review safety data in open and/or closed sessions. 
13.6 
Sample Size Considerations  
Planning this study indicates a sample-size analysis that is congruent with our focus on estimates and confidence 
intervals. Accordingly, simulated study data using a Weibull distribution with parameters chosen to match our 
expectation that the outcome rate in the control group will be 74% at one year and 53% at two years, with hazard 
ratios of 0.40 and 0.33. For the purposes of the study only large group differences are clinically relevant, and 
therefore this effect size is reasonable.  
Sample-sizes between N = 25 + 25 and N = 30+ 30 are feasible, as argued elsewhere. We also looked at N = 35 + 35, 
but acknowledge this probably not obtainable.  
5000 individual trials were run for each combination of total sample size (N = 50, 60, 70) and true hazard ratio (0.40, 
0.33). Each trial’s dataset was analyzed using a standard Cox proportional hazards model and the estimated log (HR) 
and its standard error were obtained. Using the criteria given in Table 21, each trial’s estimate and upper confidence 
limit was rated as being “excellent,” “good,” “fair,” or “lacking” in supporting the rituximab efficacy. The obtained 
proportions are given in Table 22. 
Table 21: Criteria for Estimating Upper Confidence Limit 
Evidence for 
Efficacy  
Estimated Hazard 
Ratio  
Upper 90% 
Confidence Limit  
“Excellent”  
<0.55  
<0.85  
“Good”  
<0.60  
0.85 – 1.10  
“Fair”  
<0.70  
1.10 – 1.20  
“Lacking”  
Any  
>1.20  
 
Table 22: Upper 90% Confidence Limits by HR and Sample Size 
Sample Sizes 
25+25 
30+30 
35+35 
True Hazard Ratio 
0.04 
0.33 
0.04 
0.33 
0.04 
0.33 
Evidence for Efficacy 
 
 
 
 
 
“Excellent” 
0.39 
0.50 
0.46 
0.59 
0.51 
0.64 
“Good” 
0.22 
0.21 
0.23 
0.21 
0.24 
0.20 
“Fair” 
0.07 
0.06 
0.06 
0.05 
0.06 
0.04 
“Lacking” 
0.33 
0.24 
0.25 
0.16 
0.19 
0.12 
 

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In addition, although the primary analysis is based on a Cox regression model, a simple power and sample size 
assessment using the less efficient log-rank test indicates that 25 subjects in each group will provide greater than 
80% power to detect a HR of 0.45 for the treatment effect using a one-sided test at the 0.05 level of significance. 

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14.Identification and Access to Source Data 
14.1. Source Data 
Source documents and source data are considered to be the original documentation where subject information, 
visits consultations, examinations and other information are recorded.   Documentation of source data is necessary 
for the reconstruction, evaluation and validation of clinical findings, observations and other activities during a 
clinical trial.  
14.2. Access to Source Data 
The site investigators and site staff will make all source data available to the DAIT/NIAID, as well as to relevant 
health authorities.  Authorized representatives as noted above are bound to maintain the strict confidentiality of 
medical and research information that may be linked to identified individuals. 

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15.Protocol Deviations 
15.1. Protocol Deviation Definitions 
Protocol Deviation – The investigators and site staff will conduct the study in accordance to the protocol; no 
deviations from the protocol are permitted.  Any change, divergence, or departure from the study design or 
procedures constitutes a protocol deviation.  As a result of any deviation, corrective actions will be developed by the 
site and implemented promptly. 
 
Major Protocol Deviation (Protocol Violation) - A Protocol Violation is a deviation from the IRB approved protocol 
that may affect the subject's rights, safety, or well-being and/or the completeness, accuracy and reliability of the 
study data.  In addition, protocol violations include willful or knowing breaches of human subject protection 
regulations, or policies, any action that is inconsistent with the NIH Human Research Protection Program’s research, 
medical, and ethical principles, and a serious or continuing noncompliance with federal, state, local or institutional 
human subject protection regulations, policies, or procedures.  
 
Non-Major Protocol Deviation - A non-major protocol deviation is any change, divergence, or departure from the 
study design or procedures of a research protocol that does not have a major impact on the subject's rights, safety 
or well-being, or the completeness, accuracy and reliability of the study data. 
15.2. Reporting and Managing Protocol Deviations 
The study site principal investigator has the responsibility to identify, document and report protocol deviations.  
However, protocol deviations may also be identified during site monitoring visits or during other forms of study 
conduct review.  
Deviations that impact the ability to assess study outcomes will be collected for this study.  Upon determination that 
a protocol deviation has occurred, the study staff will notify the SACCC by completing a Protocol Deviation eCRF.  
NIAID, the study PI and DSMB will review deviations on a regular basis.  The site will be responsible for reporting 
deviations to the local IRB according to site-specific guidelines.    

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16.Ethical Considerations and Compliance with Good Clinical Practice 
16.1. Statement of Compliance 
This clinical study will be conducted using good clinical practice (GCP), as delineated in Guidance for Industry: E6 
Good Clinical Practice Consolidated Guidance, and according to the criteria specified in this study protocol.  Before 
study initiation, the protocol and the informed consent documents will be reviewed and approved by the IRB.  Any 
amendments to the protocol or to the consent materials will also be approved by the IRB before they are 
implemented. 
16.2. Informed Consent Process 
The consent process will provide information about the study to a prospective participant and will allow adequate 
time for review and discussion prior to his/her decision.  The principal investigator or designee listed on the FDA 
1572 will review the consent and answer questions.  The prospective participant will be told that being in the trial is 
voluntary and that he or she may withdraw from the study at any time, for any reason.  All participants (or their 
legally acceptable representative) will read, sign, and date a consent form before undergoing any study procedures.  
Consent materials will be presented in participants’ primary language. A copy of the signed consent form will be 
given to the participant. 
The consent process will be ongoing.  The consent form will be revised when important new safety information is 
available, the protocol is amended, and/or new information becomes available that may affect participation in the 
study.  
16.3. Privacy and Confidentiality 
A participant’s privacy and confidentiality will be respected throughout the study.  Each participant will be assigned 
a unique identification number and these numbers rather than names will be used to collect, store, and report 
participant information.  Site personnel will not transmit documents containing personal health identifiers (PHI) to 
the study sponsor or their representatives. 

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17.Publication Policy 
The CTOT-C policy on the publication of study results will apply to this trial. 

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18.  References 
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16. Wood KJ, Goto R. Mechanisms of rejection: current perspectives. Transplantation;93:1-10. 
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31. Fukami N, Ramachandran S, Saini D, et al. Antibodies to MHC class I induce autoimmunity: role in the 
pathogenesis of chronic rejection. J Immunol 2009;182:309-18. 

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32. Maruyama T, Jaramillo A, Narayanan K, Higuchi T, Mohanakumar T. Induction of obliterative airway disease by 
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35. Rizzo M, Sundaresan S, Lynch J, et al. Increased concentration of soluble human leukocyte antigen class I levels in 
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36. SivaSai KS, Smith MA, Poindexter NJ, et al. Indirect recognition of donor HLA class I peptides in lung transplant 
recipients with bronchiolitis obliterans syndrome. Transplantation 1999;67:1094-8. 
37. Reznik SI, Jaramillo A, Zhang L, Patterson GA, Cooper JD, Mohanakumar T. Anti-HLA antibody binding to hla class 
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38. Reznik SI, Jaramillo A, Sayegh M, Patterson GA, Mohanakumar T. Sensitization against donor mismatched HLA 
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40. Reznik SI, Jaramillo A, SivaSai KS, et al. Indirect allorecognition of mismatched donor HLA class II peptides in lung 
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41. Jaramillo A, Smith, C.R., Maruyama, T., Zhang, L., Patterson, G.A., Mohanakumar, T. Anti-HLA class I antibody 
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42. Fukami N, Ramachandran S, Takenaka M, Weber J, Subramanian V, Mohanakumar T. An Obligatory Role for Lung 
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43. Parsons RF, Yu M, Vivek K, et al. Murine Islet Allograft Tolerance Upon Blockade of the B-Lymphocyte Stimulator, 
BLyS/BAFF. Transplantation 2012;93:676-85. 
44. Redfield RR, 3rd, Rodriguez E, Parsons R, et al. Essential role for B cells in transplantation tolerance. Curr Opin 
Immunol;23:685-91. 
45. Mohiuddin MM, Corcoran PC, Singh AK, et al. B cell Depletion Extends the Survival of GTKO.hCD46Tg Pig Heart 
Xenografts in Baboons for up to 8 Months. Am J Transplant;12:763-71. 
46. Liu C, Noorchashm H, Sutter JA, et al. B lymphocyte-directed immunotherapy promotes long-term islet allograft 
survival in nonhuman primates. Nat Med 2007;13:1295-8. 

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47. Horikawa M, Minard-Colin V, Matsushita T, Tedder TF. Regulatory B cell production of IL-10 inhibits lymphoma 
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48. Watanabe R, Ishiura N, Nakashima H, et al. Regulatory B cells (B10 cells) have a suppressive role in murine lupus: 
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49. Yanaba K, Bouaziz JD, Haas KM, Poe JC, Fujimoto M, Tedder TF. A regulatory B cell subset with a unique 
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50. Ding Q, Yeung M, Camirand G, et al. Regulatory B cells are identified by expression of TIM-1 and can be induced 
through TIM-1 ligation to promote tolerance in mice. J Clin Invest;121:3645-56. 
51. Newell KA, Phippard D, Turka LA. Regulatory cells and cell signatures in clinical transplantation tolerance. Curr 
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52. Newell KA, Asare A, Kirk AD, et al. Identification of a B cell signature associated with renal transplant tolerance in 
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53. Hernandez-Fuentes MP, Lechler RI. A 'biomarker signature' for tolerance in transplantation. Nat Rev 
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54. Sagoo P, Perucha E, Sawitzki B, et al. Development of a cross-platform biomarker signature to detect renal 
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55. Brouard S, Mansfield E, Braud C, et al. Identification of a peripheral blood transcriptional biomarker panel 
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56. DiLillo DJ, Horikawa M, Tedder TF. B-lymphocyte effector functions in health and disease. Immunol Res;49:281-
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57. Nakou M, Katsikas G, Sidiropoulos P, et al. Rituximab therapy reduces activated B cells in both the peripheral 
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58. Rehnberg M, Amu S, Tarkowski A, Bokarewa MI, Brisslert M. Short- and long-term effects of anti-CD20 treatment 
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59. Abulayha AM, Tabal SA, Shawesh EI, et al. Depletion of peripheral blood B cells with Rituximab and phenotype 
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61. Accessed February 27, 2012, at clinicaltrials.gov. 
62. Gupta S, Fricker FJ, Gonzalez-Peralta RP, Slayton WB, Schuler PM, Dharnidharka VR. Post-transplant 
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63.  Gross TG, Orjuela, MA, Perkins, SL, et al. Low -Dose Chemotherapy and Rituximab for Posttransplant 
Lymphoproliferative Disease (PTLD):  A Children's Oncology Group Report.  Am J Tranplant 2012;12:3069-75. 
64.  Astor, TL, Galantowicz, M, Phillips, A, Palafox, J, Baker, P. Pulmonary Capillaritis as a Manifestiation of Acute 
Humoral Allograft Rejection Following Infant Lung Transplanation.  Am J Transplant 2009;9: 409-412. 
65. Kavcic, M, Fisher, BT, Seif, AE, Li, Y, Huang, YS, Walker, D, Aplenc R.  Leveraging Administrative Data to Monitor 
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66. Tyden G, Genberg H, Tollemar J, et al. A randomized, doubleblind, placebo-controlled, study of single-dose 
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67. Chaudhuri A, Kambham N, Sutherland S, et al. Rituximab treatment for recurrence of nephrotic syndrome in a 
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68. Zarkhin V, Li L, Kambham N, Sigdel T, Salvatierra O, Sarwal MM. A randomized, prospective trial of rituximab for 
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70. Kamburova EG, Koenen HJPM, Borgman KJE, ten Berge IJ, Joosten I, Hilbrands LB. A Single Dose of Rituximab  
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71. Clatworthy M, Watson CJE, Plotne, G, Bardsley V, et al. B-Cell-Depleting Induction Therapy and Acute Cellular 
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74. Banner NR, Rose ML, Cummins D, et al.  Management of an ABO-Incompatible Lung Transplant. Am J Transplant 
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77. Hachem RR, Yusen RD, Meyers BF, Aloush AA, Mohanakumar T, Patterson GA, Trulock EP.  Anti-human 
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81. Hao Y, O'Neill P, Naradikian MS, Scholz JL, Cancro MP. A B cell subset uniquely responsive to innate stimuli 
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82. Shemesh E, Shneider BL, Savitzky JK, et al. Medication adherence in pediatric and adolescent liver transplant 
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83. Venkat VL, Nick TG, Wang Y, Bucuvalas JC. An objective measure to identify pediatric liver transplant recipients 
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85. Reed EF, Rao P, Zhang Z, et al. Comprehensive Assessment and Standardization of Solid Phase Multiplex-Bead 
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86. Thammanichanond D, Athimang W, Paisooksantivatana K, et al. Cytotoxic flow cytometric crossmatch in renal 
transplantation: a single assay to simultaneously detect antibody binding and cytotoxicity. Transplant Proc;44:62-5. 
87. Costa AN, Scolari MP, Iannelli S, et al. The presence of posttransplant HLA-specific IgG antibodies detected by 
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88. Fuller TC, Phelan D, Gebel HM, Rodey GE. Antigenic specificity of antibody reactive in the antiglobulin-
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89. Sundaresan S, Mohanakumar T, Smith MA, et al. HLA-A locus mismatches and development of antibodies to HLA 
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1998;65:648-53. 
90. Wahrmann M, Exner M, Schillinger M, et al. Pivotal role of complement-fixing HLA alloantibodies in presensitized 
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91. Tiriveedhi V, Angaswamy N, Weber J, Mohanakumar T. Lipid raft facilitated ligation of K-alpha1-tubulin by 
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transplantation. Biochem Biophys Res Commun;399:251-5. 

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92. Tiriveedhi V, Gelman AE, Mohanakumar T. HIF-1alpha signaling by airway epithelial cell K-alpha1-tubulin: role in 
fibrosis and chronic rejection of human lung allografts. Cell Immunol;273:59-66. 
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populations in multidimensional flow cytometry data. Cytometry B Clin Cytom;78 Suppl 1:S69-82. 
96. Lund FE. Cytokine-producing B lymphocytes-key regulators of immunity. Curr Opin Immunol 2008;20:332-8. 
97. Danziger-Isakov LA, Delamorena M, Hayashi RJ, et al. Cytomegalovirus viremia associated with death or 
retransplantation in pediatric lung transplant recipients. Transplantation 2003;75:1538-43. 
98. Preiksaitis JK, Pang XL, Fox JD, Fenton J, Miller G, Caliendo A. Intger-Laboratory Compison of Cytmegalovirus 
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99. Preiksaitis JK, Pang XL, Fox JD, Fenton J, Miller G, Caliendo A. Inter-Laboratory Comparison of Epstein-Barr Virus 
(EBV) Viral Load (VL) Assays. Am J Transplant 2007;7:500. 
100. Therneau TM, Grambsch PM. Modeling Survival Data: Extending the Cox Model. New York: Springer-Verlag; 
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101. White IR, Royston P. Imputing missing covariate values for the Cox model. Stat Med 2009;28:1982-98. 
102. Little R. Modeling the drop-out mechanisms in repeated-measures studies. JASA 1995;90:1112-21. 
103. Stewart S, Fishbein MC, Snell GI, et al. Revision of the 1996 working formulation for the standardization of 
nomenclature in the diagnosis of lung rejection. J Heart Lung Transplant 2007;26:1229-42. 
104.  Berry G, Burke M, Andersen C, et al. Pathology of Pulmonary Antibody-Mediated Rejection:  2012 Update from 
the Pathology Council of the ISHLT. Heart and Lung Transplantation 2013;32:14-21. 
105. Estenne M, Maurer JR, Boehler A, et al. Bronchiolitis obliterans syndrome 2001: an update of the diagnostic 
criteria. J Heart Lung Transplant 2002;21:297-310. 
106. Husain S, Mooney ML, Danziger-Isakov L, et al. A 2010 working formulation for the standardization of 
definitions of infections in cardiothoracic transplant recipients. J Heart Lung Transplant;30:361-74. 
107. Christie JD, Carby M, Bag R, Corris P, Hertz M, Weill D. Report of the ISHLT Working Group on Primary Lung 
Graft Dysfunction part II: definition. A consensus statement of the International Society for Heart and Lung 
Transplantation. J Heart Lung Transplant 2005;24:1454-9.

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Appendix 1.  Schedule of Events (Recipient) 
Transplant Study Day 
 
-1 
0 
12 
 
 
 
 
 
 
 
 
 
Unscheduled 
Visit 
within 3 
months of 
transplant5  
Unscheduled 
Visit 
greater than    
3 months 
from 
transplant5  
Transplant Study 
Week 
 
 
 
 
4-6 
 
 
 
 
 
 
 
 
Transplant Study 
Month 
 
 
 
 
 
2 
3 
6 
9 
12 
186 
246 
25-546 
Visit Number 
 
001 
012 
023 
03 
04 
05 
06 
074 
08 
09 
10 
 
Informed Consent, 
Screening 
Original retained, copy provided to study participant 
X 
 
 
 
 
 
 
 
 
 
 
 
 
 
Assessment of Eligibility 
Criteria 
Enrollment and Randomization Inclusion/Exclusion Criteria 
X 
X 
 
 
 
 
 
 
 
 
 
 
 
 
Demographics 
Date of birth, Race, Ethnicity and Gender 
X 
 
 
 
 
 
 
 
 
 
 
 
 
 
Medical and Respiratory 
History 
Body Systems 
X 
 
 
 
 
 
 
 
 
 
 
 
 
 
Physical Exam  
Height, weight, temperature, blood pressure, pulse, heart rate, screening neurological 
assessment 
 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
 
X 
X 
Pulmonary Function 
Test 
Age Restrictions (collect if performed as standard of care) 
X 
 
X 
X 
X 
X 
X 
X 
X 
X 
X 
 
X 
X 
Imaging 
Chest X-Ray, Chest CT, Perfusion Scan (collect if performed as standard of care) 
 
 
X 
X 
X 
X 
X 
X 
X 
X 
X 
 
X 
X 
Medications 
Concomitant, Immunosuppressive and Prophylactic Medications 
→ 
→ 
→ 
→ 
→ 
→ 
→ 
→ 
→ 
→ 
→ 
 
→ 
→ 
Assessments of Events 
AE/SAE, PGD, Infection, Rejection, Hospitalization, PTLD, or Re-transplant 
→ 
→ 
→ 
→ 
→ 
→ 
→ 
→ 
→ 
→ 
→ 
 
→ 
→ 
Assessment of Endpoint 
Events 
Chronic Allograft Dysfunction, Death, Re-Listed 
→ 
→ 
→ 
→ 
→ 
→ 
→ 
→ 
→ 
→ 
→ 
→ 
→ 
→ 
Blood Type/HLA Typing 
A, B, O, Rh factor, Class I (A, B, C), Class II (DR, DP, DQ) if available 
X 
 
 
 
 
 
 
 
 
 
 
 
 
 
Panel Reactive Antibody 
Current 
X 
 
 
 
 
 
 
 
 
 
 
 
 
 
PRA  
Highest PRA or cPRA (within 12 weeks of transplant) 
 
X 
 
 
 
 
 
 
 
 
 
 
 
 
Crossmatch 
T cell and B cell 
 
X 
 
 
 
 
 
 
 
 
 
 
 
 
Pregnancy Test 
Serum or Urine (within 48 hours of transplant) 
 
X 
 
X 
 
X 
X 
X 
X 
X 
 
 
 
 
Hematology Panel 
CBC (including differential and platelets) 
 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
 
X 
X 
Trough Levels 
Tacrolimus (all tacrolimus trough levels collected as SOC will be collected after 3 
months post-transplant) 
 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
 
X 
X 
Chemistry Panel 
Glucose, BUN, creatinine, uric acid, total bilirubin, alkaline phosphatase, LDH, total protein, 
SGOT (AST), SGPT (ALT), calcium 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
 
X 
X 
CMV/EBV 
Only collect if performed as standard of care, serology collected at baseline and viral 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
 
X 
X 

CTOT-C 
Confidential 
Page 90 of 92 
B Cell Induction in Pediatric Lung Transplantation                         
Version 4.0-July 16, 2018 
 
 
Transplant Study Day 
 
-1 
0 
12 
 
 
 
 
 
 
 
 
 
Unscheduled 
Visit 
within 3 
months of 
transplant5  
Unscheduled 
Visit 
greater than    
3 months 
from 
transplant5  
Transplant Study 
Week 
 
 
 
 
4-6 
 
 
 
 
 
 
 
 
Transplant Study 
Month 
 
 
 
 
 
2 
3 
6 
9 
12 
186 
246 
25-546 
Visit Number 
 
001 
012 
023 
03 
04 
05 
06 
074 
08 
09 
10 
 
load at post-transplant visits 
Serology 
HIV, HBsAg, HBcAb, HCV Ab (within 12 months of transplant) 
X 
 
 
 
 
 
 
 
 
 
 
 
 
 
Immunoglobulin Levels 
IgG 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
 
X 
X 
Pathology 
Local Biopsy Histology Scoring (ISHLT), including c1q fixation and C4d 
 
 
X 
X 
 
X 
X 
X 
X 
X 
 
 
X 
X 
Rituximab or Placebo  (375 mg/kg) 
 
X 
X 
 
 
 
 
 
 
 
 
 
 
 
 
HUMORAL ANTIBODY CORE – WUSTL (PI: THALACHALLOUR MOHANAKUMAR) 
Serum- Anti-HLA Ab, Non-HLA Ab, Crossmatch Testing 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
 
X 
X 
Serum- Autoantibodies  
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
 
X 
X 
 
MARKERS OF GRAFT INJURY CORE – WUSTL (PI: THALACHALLOUR MOHANAKUMAR) 
Serum- Cytokine/Chemokine/GF 
 
 
 
X 
 
X 
X 
X 
X 
X 
X 
 
X 
X 
Bronchoalveolar Lavage (BAL) – Supernatant for Cytokine Analysis 
 
X 
X 
X 
 
X 
X 
X 
X 
X 
 
 
X 
X 
MOLECULAR IMMUNOLOGY CORE – ISMMS (PI: PETER HEEGER) 
Blood-mRNA Profiling, Gene Exp. 
 
 
 
X 
 
X 
X 
X 
X 
X 
X 
 
 
 
Bronchoalveolar Lavage – Pellet for Gene Expression Profiles 
 
X 
X 
X 
 
X 
X 
X 
X 
X 
 
 
X 
X 
RNA Sequencing for IgG VDJ Regions (I. Sanz, Emory) 
 
 
 
 
 
 
X 
X 
X 
X 
 
 
 
 
 
CELLULAR IMMUNOLOGY CORE – ISMMS (PI: PETER HEEGER) 
Blood- T and B Cell Phenotyping  (Flow Cytometry) 
X 
 
 
X 
 
X 
X 
 
X 
X 
 
 
 
X 
Bronchoalveolar Lavage –in Cell Preservative: Phenotyping B Cells 
 
X 
X 
X 
 
X 
X 
X 
X 
X 
 
 
X 
X 
T Cell Function (ELISPOT) and Plasma to Archive 
X 
 
 
 
 
 
X 
 
X 
X 
 
 
 
X 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
IMMUNOHISTOCHEMISTRY CORE –ISMMS (PI: MICHAEL DONOVAN) 
Immunohistochemistry: CD4, FoxP3, CD20 and CD8, CD20 and CD68: (5 unstained slides:  Minimum of 3 slides 
prepared with 2 sections each representative of more than one tissue section) 
 
 
X 
X 
 
X 
X 
X 
X 
X 
 
 
X 
X 
 
VIRAL DETECTION CORE –WUSTL (PI: GREGORY STORCH) 
Bronchoalveolar Lavage – Whole specimen for Viral Detection 
 
X 
X 
X 
 
X 
X 
X 
X 
X 
 
 
X 
X 
Nasal Swab-Viral PCR 
 
X 
X 
X 
 
X 
X 
X 
X 
X 
 
 
X 
X 
Whole Blood Quantitative Viral Studies (CMV/EBV) 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
 
X 
X 

CTOT-C 
Confidential 
Page 91 of 92 
B Cell Induction in Pediatric Lung Transplantation                         
Version 4.0-July 16, 2018 
 
 
Transplant Study Day 
 
-1 
0 
12 
 
 
 
 
 
 
 
 
 
Unscheduled 
Visit 
within 3 
months of 
transplant5  
Unscheduled 
Visit 
greater than    
3 months 
from 
transplant5  
Transplant Study 
Week 
 
 
 
 
4-6 
 
 
 
 
 
 
 
 
Transplant Study 
Month 
 
 
 
 
 
2 
3 
6 
9 
12 
186 
246 
25-546 
Visit Number 
 
001 
012 
023 
03 
04 
05 
06 
074 
08 
09 
10 
 
 
BIOSPECIMEN REPOSITORY – ISMMS (PI: PETER HEEGER) 
Blood to Archive 
X 
 
 
 
 
 
 
 
 
 
 
 
 
 
1. 
Visit 00: Samples may be collected up to 60 days prior to transplant surgery. 
2. 
Visit 01: Samples may be collected up to 72 hours following transplant. 
3. 
Visit 02: Samples may be collected 1-2 weeks after transplant. 
4. 
Visit 07: The month 9 visit will occur if the subject is seen as part of the local standard of care at this timepoint. 
5. 
Unscheduled Visits:  BAL obtained if performed by the clinical site for diagnostic purposes.  For visits occurring greater than 3 months blood will be collected if visit is conducted at the transplant center. 
6. 
All subjects will complete 12 months of follow-up. A sub-set of subjects will also complete Month 18 – Month 54 visits. 

CTOT-C 
Confidential 
Page 92 of 92 
B Cell Induction in Pediatric Lung Transplantation                         
Version 4.0-July 16, 2018 
 
 
Appendix 2.  Schedule of Events (Donor) 
Transplant Study Day 
 
-1 
0 
12 
 
 
 
 
 
 
 
 
Unscheduled 
Visit 
within 3 
months of 
transplant 
Unscheduled 
Visit 
greater than    
3 months from 
transplant 
Transplant Study Week 
 
 
 
 
4-6 
8 
12 
 
 
 
 
 
Transplant Study Month 
 
 
 
 
 
2 
3 
6 
9 
12 
18 
24 
Visit Number 
 
00 
01 
02 
03 
04 
05 
06 
07 
08 
09 
10 
GENERAL ASSESSMENTS 
Demographics 
Age, Race, Ethnicity, Gender 
 
X 
 
 
 
 
 
 
 
 
 
 
 
Donor Information  
Cause of Death 
 
X 
 
 
 
 
 
 
 
 
 
 
 
LOCAL LABORATORY ASSESSMENTS 
Blood Type  
A, B, O, Rh 
 
X 
 
 
 
 
 
 
 
 
 
 
 
HLA Typing 
I (A, B, C), II (DR, DP, DQ) 
 
X 
 
 
 
 
 
 
 
 
 
 
 
Viral Panel 
CMV IgG, EBV IgG, HBsAg, HBcAb, HCV Ab, HIV 
 
X 
 
 
 
 
 
 
 
 
 
 
 
MECHANISTIC ASSAYS – ISMMS (PI: PETER HEEGER) 
T Cell Function (ELISPOT) 
Blood or Spleen 
 
X 
 
 
 
 
 
 
 
 
 
 
 
Blood to Archive 
Biospecimen Repository-ISMMS 
 
X