Pilot Study of Mature Dendritic Cell Vaccination for Resected Hypermutated Colorectal Cancer
Phase: PHASE1
Conditions: Colorectal Cancer
Sponsor: University of Pennsylvania

NCT03730948

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Schema 
 
Screening/Enrollment 
 
 
Pre-treatment Visit (≤ 14 days) 
 
 
Apheresis #1 (~Day -7) 
 
 
CTX 300 mg/mg2 IV [Day -3 (+/- 1 day)] 
 
 
Day 1: DC Vaccine #1 (Priming Vaccine)  
 
 
DC Vaccine #2 and DC Vaccine #3 (Booster Vaccines) (~q6 weeks) 
 
 
Apheresis #2 (7-14 days after last DC Vaccine) 
 
 
End of Study Treatment Visit 
(30 days +/- 7 days post- last DC vaccine) 
 
 
Post-DC Vaccine Surveillance (every 3 months +/- 2 weeks) 
 
 
 End of Study Visit (12 months +/- 2 weeks post DC Vaccine #1) 
 
 
 
 
 
 
 
 

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TABLE OF CONTENTS 
 
1.0 
BACKGROUND AND RATIONALE ......................................................................................... 5 
1.1 
Overview ................................................................................................................................ 5 
1.2 
Colorectal Cancer (CRC) Statistics ........................................................................................ 5 
1.3 
Colorectal Cancer (CRC) Genetics ........................................................................................ 5 
1.4 
Cancer Neoantigens ............................................................................................................... 7 
1.5 
Adjuvant Treatment for CRC: Current Standard ................................................................... 7 
1.6 
Dendritic Cells ....................................................................................................................... 8 
1.7 
Regulatory T cells .................................................................................................................. 8 
1.8 
Organoid Cultures .................................................................................................................. 8 
1.9 
Study Rationale ...................................................................................................................... 9 
1.10 Study Design .......................................................................................................................... 9 
2.0 
OBJECTIVES ................................................................................................................................ 9 
2.1 
Primary Objective .................................................................................................................. 9 
2.2 
Secondary Objective .............................................................................................................. 9 
2.3 
Exploratory Objectives........................................................................................................... 9 
3.0 
ELIGIBILITY CRITERIA ......................................................................................................... 10 
3.1 
Inclusion Criteria .................................................................................................................. 10 
3.2 
Exclusion Criteria ................................................................................................................ 10 
4.0 
REGISTRATION ........................................................................................................................ 11 
5.0 
SUBJECT RECRUITMENT AND SCREENING .................................................................... 11 
6.0 
CONCOMITANT THERAPY .................................................................................................... 12 
7.0 
INVESTIGATIONAL PRODUCTS .......................................................................................... 12 
7.1 
Dendritic Cell Vaccines (mDC3/8 vaccine with and without influenza) ............................. 12 
7.1.1 Agent Description ..................................................................................................... 12 
7.1.2 Mechanism of Action ............................................................................................... 13 
7.1.3 Pharmacodynamics/Kinetics ..................................................................................... 13 
7.1.4 Formulation .............................................................................................................. 13 
7.1.5 Availability ............................................................................................................... 13 
7.1.6 Preparation ................................................................................................................ 13 
7.1.7 Packaging and Labeling ............................................................................................ 13 
7.1.8 Administration .......................................................................................................... 13 
7.1.9 Potential Toxicities ................................................................................................... 14 
7.1.10 Return or Destruction of Study Drug ........................................................................ 14 
7.2 
Cyclophosphamide ............................................................................................................... 14 
7.2.1 Agent Description ..................................................................................................... 14 
7.2.2 Receipt and Storage .................................................................................................. 14 
7.2.3 Premedication ........................................................................................................... 14 
7.2.4 Administration .......................................................................................................... 14 
7.2.5 Potential Toxicities ................................................................................................... 15 
8.0 
STUDY PROCEDURES ............................................................................................................. 15 
8.1 
Dendritic Cell (mDC3/8) Preparation .................................................................................. 15 

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8.2 
Treg Depletion ..................................................................................................................... 15 
8.3 
Administration of Dendritic Cell Vaccines (mDC3/8 vaccines with and without 
influenza) ............................................................................................................................. 15 
8.4 
Immune Monitoring ............................................................................................................. 16 
8.4.1 Flow Cytometry / p-HLA multimer Staining ........................................................... 16 
8.4.2 Cytotoxicity Assays .................................................................................................. 16 
8.4.3 TCR Sequencing ....................................................................................................... 17 
8.5 
Post-DC Vaccine Surveillance ............................................................................................. 17 
9.0 
POTENTIAL TOXICITY AND DOSE MODIFICATIONS ................................................... 17 
9.1 
Dose Limiting Toxicity (DLT) ............................................................................................. 17 
10.0 
STUDY CALENDAR .................................................................................................................. 19 
11.0 
EARLY WITHDRAWAL OF SUBJECTS ............................................................................... 22 
12.0 
SAFETY AND ADVERSE EVENTS ......................................................................................... 23 
12.1 Definitions ............................................................................................................................ 23 
12.2 Recording of Adverse Events ............................................................................................... 25 
12.3 Reporting of Serious Adverse Events .................................................................................. 26 
12.3.1 Investigator Reporting: Local Regulatory Review Committees ............................... 27 
12.4 Pregnancies .......................................................................................................................... 27 
12.5 Protocol Exceptions/Deviations ........................................................................................... 27 
12.6 Medical Monitoring ............................................................................................................. 28 
12.7 Study Stopping Rules ........................................................................................................... 28 
13.0 
STATISTICAL CONSIDERATIONS ....................................................................................... 28 
14.0 
DATA HANDLING AND RECORDKEEPING ....................................................................... 30 
14.1 Confidentiality ..................................................................................................................... 30 
14.2 Source Documents ............................................................................................................... 30 
14.3 Case Report Forms ............................................................................................................... 30 
14.4 Records Retention ................................................................................................................ 30 
15.0 
STUDY MONITORING, AUDITING, AND INSPECTING ................................................... 31 
15.1 Study Monitoring Plan ......................................................................................................... 31 
15.2 Auditing and Inspecting ....................................................................................................... 31 
16.0 
ETHICAL CONSIDERATIONS ................................................................................................ 31 
17.0 
STUDY FINANCES..................................................................................................................... 32 
17.1 Funding Source .................................................................................................................... 32 
17.2 Conflict of Interest ............................................................................................................... 32 
17.3 Subject Stipends or Payments .............................................................................................. 32 
18.0 
PUBLICATION PLAN ............................................................................................................... 32 
19.0 
REFERENCES ............................................................................................................................. 33 
 
 
 

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1.0 BACKGROUND AND RATIONALE 
1.1 
Overview 
Immunotherapy with checkpoint inhibitors is now widely accepted as an effective therapeutic 
approach that offers, in some instances, durable complete remission for patients with various types 
of cancer such as melanoma, lung, and bladder cancer[1]. One unifying theme is the high mutational 
burden present in tumors analyzed from responding patients providing evidence that the immune 
system is capable of recognizing genomic alterations (such as missense mutations)[1]. Emerging 
evidence confirms the activity of checkpoint inhibitors in patients with hypermutated GI 
malignancies such as MSI-H colorectal cancer (CRC)[2]. This present study aims to elicit T cell 
immunity to unique tumor encoded neoantigens using a dendritic cell (DC) vaccine platform for 
the purposes of identifying the genomic alterations that serve as target neoantigens in patients with 
CRC. The hope is this information will allow investigators to better design the next generation of 
personalized immunotherapies which are specific for each patient’s cancer.    
 
1.2 
Colorectal Cancer (CRC) Statistics   
CRC continues to be a leading cause of death in North America and worldwide. In 2018, the 
estimated number of new cases of CRC in the US is 140,250. The estimated number of deaths due 
to CRC in the US is 50,630 total (27,390 males and 23,240 females)[3]. The lifetime risk of 
developing invasive colorectal cancer in the US is approximately 4.5% (1/22 individuals). CRC is 
the fourth leading cause of death due to cancer among all age groups.  In the tri-state area 
(Pennsylvania, New Jersey, Delaware), it is estimated that 3920 deaths due to CRC will occur in 
2018[3]. Recent reports suggest that the incidence of CRC is rising in younger adults less than 50 
years of age[4, 5].  
 
1.3 
Colorectal Cancer (CRC) Genetics 
The molecular basis of CRC was initially outlined in 1990 by Fearon and Vogelstein[6]. A 
multistep model of genetic alterations including the accumulation of key driver mutations (such as 
KRAS) and loss of various tumor suppressor genes (such as p53) defined a conceptual framework 
to delineate the origins and evolution of CRC. The original multihit model has been refined and 
extended to include inherited susceptibility factors, environmental influences and tumor-host 
interactions, including the role of the immune system[7]. Recent advances now provide compelling 
evidence linking genetic instability with high mutational burden and recognition by the host 
immune system which is able to mediate tumor elimination under certain conditions. Despite the 
fact that most sporadic CRCs have a low mutational burden (1-2 mutations/Mb), it is now 
appreciated that a distinct subgroup of patients, including individuals with a familial cancer 
predisposition, have hyper-mutated CRC frequently associated with mismatch repair (MMR) 
deficiency[8].  
 
The original 1990 model of multistep tumorigenesis defined the clonal nature of adenoma 
transformation to malignancy followed by metastasis but did not outline the complexities of 
intratumor heterogeneity as revealed by next generation sequencing methodologies. Data from The 
Cancer Genome Atlas (TCGA) and related efforts have defined the 4 major consensus molecular 
subtypes (CMS) of colorectal cancer as shown below[9]: 
 

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It is now well established that ~15% of CRCs (CMS1) are hypermutated (>10 mutations/Mb) and 
associated with inherited cancer syndromes (most often, Lynch syndrome), CpG island methylator 
phenotype, and microsatellite instability. Interestingly, the CMS1 molecular subgroup of patients 
is responsive to checkpoint inhibitor therapy. In 2017, both anti-PD-1 agents, pembrolizumab and 
nivolumab,  received regulatory approval as monotherapy for treatment of relapsed/refractory MSI-
H CRC that progressed after treatment with 5-FU based chemotherapy[10]. The remaining 3 
molecular subtypes [(CMS2, canonical) (CMS3, metabolic) and (CMS4, mesenchymal)] are 
typically low mutational burden (1-2 mutations/Mb) malignancies and are not responsive to 
checkpoint inhibition with either an anti-PD-1 agent or anti-CTLA-4 antibody.  
 
CMS1 type CRCs are seen in both sporadic cases of CRC as well as in association with hereditary 
CRC predisposition syndromes.  The most common inherited CRC syndrome is Lynch syndrome 
which accounts for 3% of all CRC and is characterized by a germline mutation in one of the four 
DNA mismatch repair genes including MSH2, MLH1, MSH6, and PMS2, or in EPCAM, which can 
lead to epigenetic silencing of MSH2[8]. Current guidelines recommend universal testing of 
primary CRC specimens for MMR deficiency in all patients [11, 12]. Congenital mismatch repair 
deficiency (CMMRD) is a rare syndrome with inherited mutation in both alleles of a given MMR 
gene resulting in cancer predisposition at a younger age and increased risk for CMS1 type CRCs.  
Finally, a distinct familial syndrome is polymerase proofreading associated polyposis (PPAP) 
which is a rare autosomal dominant syndrome involving a mutation in POLE or POLD1 and is 
characterized by ultra-hypermutated cancers (>100 mutations/Mb)[13].   
 
Despite many CMS1 type CRCs being related to hereditary syndromes, the majority of CMS1 type 
CRCs are sporadic, with microsatellite instability (MSI) resulting from CpG island methylation of 
a DNA mismatch repair gene – typically, MLH1 – with loss of expression resulting in DNA 
mismatch repair deficiency. Approximately 12% of CRC patients exhibit a sporadic MSI-H 
phenotype resulting in the accumulation of mutations most notably at repetitive DNA sequences 
known as satellites[8]. By employing routine (standard of care) IHC methods to assess for MMR 
loss (MLH1/MSH2/MSH6/PMS2) in conjunction with molecular microsatellite testing, we are now 
able to universally screen all CRC patients in order to identify hypermutated CRC genomes.     

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1.4 
Cancer Neoantigens 
In 2005, Galon and colleagues published a landmark report describing the immune landscape 
within primary CRCs and concluded that the presence of infiltrating memory CD8+ T cells 
correlated with improved overall survival [14]. A follow up report with different patient cohorts 
confirmed this finding one year later and advanced the concept that the type, density and location 
of CD8+ T cells (Immunoscore) in the primary tumor was a superior predictor of outcome 
compared to the widely accepted TNM classification [15]. Moreover, it further supported the notion 
that a type-1 biased (Th1) immune response correlated with improved outcomes. Despite this 
important finding, it has been difficult to translate this finding into new personalized therapeutic 
approaches for CRC, in part, because few target antigens are well defined. However, new universal 
testing methods to detect mismatch repair deficiency (by IHC) and the related microsatellite 
instability (by PCR) can easily identify both somatic MMR deficient/MSI-H CRC as well as 
familial cancer syndromes (such as Lynch Syndrome). Characterization of mutational burden using 
NGS platforms have collectively simplified our ability to find target neoantigens in CRCs and thus, 
have opened the door to new therapeutic strategies[12].  
 
Somatic gene mutations within cancer cells may be translated into peptides that are processed and 
presented on the surface of tumor cells. These mutated peptides can serve as foreign epitopes, or 
neoantigens, that may be recognized by the host immune system [16]. Neoantigen-specific T cell 
responses have been well documented in patients for whom immune checkpoint blockade therapy 
has been successful. Recent studies - including our own published work in melanoma - have 
demonstrated neoantigen-specific T cell responses can be elicited in cancer patients and 
interestingly, administration of anti-PD-1 antibody after neoantigen vaccination can result in 
complete melanoma regression with durable remissions [17-19]. Adoptive transfer of neoantigen-
specific T cell products can also result in tumor regression in patients with melanoma as well as 
various GI cancers as published in case reports [16]. Thus, targeting cancer neoantigens has proven 
to be feasible and in certain instances, clinically effective based on durable tumor regression. Based 
on new scientific advances related to immuno-oncology and unmet medical need for improved 
adjuvant therapy, there appears to be strong rationale to investigate hypermutated CRC as a new 
disease indication for neoantigen directed immunotherapy[10].  
 
1.5 
Adjuvant Treatment for CRC: Current Standard  
A role for adjuvant treatment of high risk, surgically resected stage III CRC was established in 
1990 with the publication of a randomized controlled clinical trial with 5-fluorouracil (5-FU) and 
levamisole [20]. The NIH consensus panel supported the routine use of adjuvant chemotherapy for 
patients with stage III resected CRC but not stage II resected disease[21]. It was later shown that 
5-fluorouracil/leucovorin was superior to 5-fluorouracil/levamisole and this was adopted as the 
standard of care by the mid-1990’s [21] . 
 
The Multicenter International Study of Oxaliplatin/5-FU/Leucovorin in the Adjuvant Treatment of 
Colon Cancer (MOSAIC) [22] was a landmark trial which provided clear evidence in support of 
adding oxaliplatin to 5-FU/Leucovorin for stage III resected CRC with a hazard ratio for recurrence, 
0.77; P=0.002. A second trial (NSABP C-07)[23] provided confirmation for the superiority of 
oxaliplatin/5-FU/Leucovorin (FOLFOX) over 5-FU/Leucovorin; however, high rates of 
neurotoxicity and diarrhea/dehydration related to oxaliplatin remain a concern.  Recent non-
inferiority analysis of multiple trials presented at ASCO 2017 meeting Plenary session (LBA1) 
reviewed data from >13,000 patients and concluded that 3 months of adjuvant chemotherapy is 
sufficient for the specific subset of patients with low risk stage III disease (T3N1) and decreases 
the risk of neurotoxicity without necessarily compromising efficacy.  It is important to note that 

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only 20% of stage III CRC patients receive benefit from adjuvant chemotherapy and thus, new 
treatment options are needed. 
 
Data from multiple randomized clinical trials evaluating the use of adjuvant chemotherapy, 
including FOLFOX, fail to convincingly show benefit for patients with stage II resected CRC.  
However, for high risk stage II patients such as those with T4 lesions, perforation or obstruction at 
presentation, poorly differentiated histology, lymphovascular invasion, perineural invasion or 
fewer than 12 lymph nodes examined during surgery, chemotherapy may be considered.  An 
important exception to this is the MSI-H or MMR deficient stage II CRC patients.  In this particular 
group, regardless of other high risk features, there is no established benefit to adjuvant 
chemotherapy and in fact, literature suggests that 5-FU adjuvant therapy may indeed be detrimental 
in this subgroup[24, 25]. 
 
1.6 
Dendritic Cells 
Antigen presentation to T cells in the context of class I and II major histocompatibility molecules 
is critical for priming neoantigen-specific CD8+ and CD4+ T cell responses, respectively. Antigen 
presentation is mediated by antigen presenting cells which include dendritic cells, B cells and 
macrophages. Dendritic cells (DC) are the most potent antigen presenting cells given their ability 
to express high levels of costimulatory molecules and secrete Th1 polarizing cytokines (e.g. IL-12) 
that are essential for the generation of cytotoxic T cell responses[24]. A variety of technical 
advances involving the isolation of human DC as well as an improved understanding of DC biology 
have led investigators to study autologous DC as adjuvant for peptide vaccination in cancer. 
Various clinical studies have demonstrated the safety and tolerability of DC immunization and 
serious adverse events related to DC vaccination are rare [26]. 
 
1.7 
Regulatory T cells  
Recent advances in immunology confirm the presence of a small population of circulating 
CD4+CD25+ T cells known as regulatory T cells (Treg) that function to suppress T cell immunity 
toward pathogens and cancer. In healthy adults, approximately 5% of peripheral blood CD4+ T 
cells are Treg based on co-expression of CD25 and the transcription factor FoxP3. Several 
randomized trials have confirmed that vaccines administered along with cyclophosphamide have 
enhanced immunogenicity. Low dose cyclophosphamide, which may be administered orally or 
intravenously, is an effective strategy to eliminate Treg in patients prior to vaccination [27]. 
 
1.8 
Organoid Cultures 
As part of participation on a separate tissue acquisition trial, subjects will have fresh tissue from 
both benign colonic mucosa as well as from the resected colon cancer, collected at the time of 
routine care surgery and transported to the labs of Dr. Anil Rustgi and Dr. Chris Lengner for 
organoid culture establishment.  Collection of tumor tissue samples will occur prior to participation 
on this interventional trial. 
 
For establishment of organoids from benign colonic tissue, healthy colonic epithelium will be 
mechanically fragmented and separated from underlying submucosal tissues, and subsequently 
intestinal crypts will be isolated as previously described [29].  Once isolated these crypts will be 
plated and grown in a mixture of Matrigel and Wnt-containing cell culture media.  For 
establishment of organoids from neoplastic tissue, the tumor will first be mechanically fragmented 
and then chemically dissociated from surrounding tumor stroma.  Further mechanical dissociation 
will be performed through a combination of pipetting and vortexing, and cells will be plated and 

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grown in a mixture of Matrigel and Wnt-free cell culture media as previously described [30]  After 
growth of organoid cultures from both benign and neoplastic tissue is established, these organoids 
will be passaged as needed, and will be cryopreserved to allow for future experimental use 
including morphologic and biochemical viability assays in the presence of subject’s post-DC 
vaccination T-cells. 
 
1.9 
Study Rationale 
Recent advances provide compelling evidence that the immune system plays a significant role in 
controlling cancer. Breakthrough treatments such as immune checkpoint inhibitors and CAR T 
cells demonstrate new therapeutic strategies which can translate into durable disease control rates, 
responses and even complete remissions in patients with advanced malignancies. For patients with 
stage II, MMR deficient CRC, no accepted adjuvant regimen exists.  Although recurrence rates are 
low in this population, the development of therapies to further improve upon outcomes hold appeal.  
Patients with hypermutated CRC defined by the CMS1 subgroup represent a unique opportunity to 
evaluate personalized cancer vaccines which have been shown in melanoma to elicit tumor-specific 
T cells and mediate complete regression of metastatic disease after administration of anti-PD-1 
antibody in select cases [17, 18]. Moreover, personalized cancer vaccines are safe and well 
tolerated[17, 18, 19]. 
 
1.10 Study Design 
This is a pilot study to assess the safety and tolerability, as well as the immune response rate, of 
mDC3/8 vaccine in patients with colorectal cancer. The duration of a subject’s participation in this 
study will be approximately 12 months from receipt of the first mDC3/8 vaccine infusion. 
Approximately 12 subjects will be enrolled in this study. 
 
Additional secondary/exploratory objectives are described below. 
2.0 OBJECTIVES 
2.1 
Primary Objective  
1. To assess the immune response rate to DC vaccination in subjects with hypermutated CRC. 
2. To determine the safety of DC vaccination in subjects with surgically resected hypermutated 
CRC.  
 
2.2 
Secondary Objective  
1. To determine the percentage of CD8+ cells in the primary tumor tissue.  
 
2.3 
Exploratory Objectives 
1. To evaluate tumor and immune biomarkers and their association with treatment outcomes.  
2. To isolate and characterize TIL from metastatic tumors that relapse after study vaccine 
treatment.  

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3.0 ELIGIBILITY CRITERIA 
Patients must fulfill the following eligibility requirements: 
 
3.1 
Inclusion Criteria 
1. Pathologically-confirmed stage I and II hypermutated colorectal cancer (CRC).  
Hypermutated CRC is defined by one of the following categories:  
a. Microsatellite instability – high (MSI-H) by PCR.  MSI-H is defined as two or more of 
the five markers for microsatellite instability being positive.  These markers are: BAT25, 
BAT26, D2S123, D5S346 and D17S250. 
b. Mismatch repair deficient (MMRd) as defined by loss of expression of MMR protein(s) 
(MLH1, MSH2, MSH6, and/or PMS2) on MMR immunohistochemistry (IHC), which 
includes hereditary syndromes such as Lynch syndrome and congenital mismatch repair 
deficiency (CMMRD) as well as CRCs with somatic MMRd. 
c. Those arising in patients with polymerase proofreading associated polyposis (PPAP) 
with inherited mutations in either POLE or POLD1. [Hypermutated malignancies 
including CRC typically harbor >10 mutations/Mb].   
2. Surgically resected disease 
3. Male or female patients age ≥ 18 years 
4. ECOG performance status 0-1 
5. Required initial laboratory values (performed within 14 days prior to eligibility confirmation 
by physician-investigator):  
a. WBC >3 THO/µL 
b. Hg ≥ 9.0 gm/dl 
c. Platelets >75 THO/µL 
d. Serum Total Bilirubin ≤ 2.0 mg/dl; unless the subject has known or suspected Gilbert’s 
syndrome for which ≤ 3 mg/dl is permitted.   
e. Serum Creatinine < 2.0 mg/dl 
6. Subjects of reproductive potential must agree to use a medically accepted birth control 
method during the trial and for at least two months following the trial.  Please see Section 5.0 
for additional details.  
7. Provide written informed consent. 
 
3.2 
Exclusion Criteria 
1. Prior malignancy within 3 years that, in opinion of the physician-investigator, would put 
subject at additional risk 
2. Pregnant or nursing (lactating) women 
3. Concurrent treatment with systemic immunosuppressants including corticosteroids (e.g 
prednisone), calcineurin inhibitors (e.g tacrolimus, cyclosporine), antiproliferative agents (e.g 
mycophenolate mofetil, azathioprine) within 2 weeks of eligibility confirmation by physician-
investigator. Local (inhaled or topical) steroids or replacement dose prednisone (≤10 mg 
daily) are permitted.  
4. Known allergy to eggs 
5. Any uncontrolled intercurrent illness or active ongoing infection that, in the opinion of the 
physician-investigator, would put the subject at additional risk 
 
 
 

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4.0 REGISTRATION 
Assignment of subject numbers will occur at consent and will be in ascending order (16218-01, 16218-02, 
etc).  No numbers will be omitted.  This subject identification number will be used as the primary identifier 
for that subject throughout his/her participation in the trial.  Once assigned, the Subject Number must not 
be reused for any other subject and the Subject Number for that individual must not be changed, even if the 
subject is re-screened. 
 
At the time a subject consents to participate in this study, a Consent Notification Form should be completed.  
When eligibility of the subject is confirmed by a physician-investigator, an Enrollment Notification should 
be completed.  Both completed forms should be emailed in real-time to:  
 
Protocol Monitor and Sponsor Project Manager 
Center for Cellular Immunotherapies (CCI) 
 
Once subject eligibility has been confirmed by a physician-investigator, apheresis collection and the 
manufacturing of the study vaccine may commence. 
5.0 SUBJECT RECRUITMENT AND SCREENING 
Approximately 12 evaluable subjects will be enrolled in this study.  All subjects who receive at least one 
Dendritic Cell Vaccine at the minimum acceptable dose for infusion will be considered evaluable for 
primary endpoint analysis.   Subjects who fail apheresis or who do not receive a vaccine infusion for any 
other reasons will not be considered evaluable and will be replaced. 
 
Subjects will be identified through the clinical practices of the investigator or sub-investigators and through 
referrals from outside hospitals and physicians.  The study will be posted on clinicaltrials.gov, and 
publicized via University of Pennsylvania or Abramson Cancer Center press releases. No direct-to-patient 
advertising will be performed. 
 
Female subjects of reproductive potential (women who have reached menarche or women who have not 
been post-menopausal for at least 24 consecutive months, i.e., who have had menses within the preceding 
24 months, or have not undergone a sterilization procedure [hysterectomy or bilateral oophorectomy]) must 
have negative pregnancy test performed at the time of enrollment and within 30 days of the subject’s 1st 
DC vaccine (Day 1). 
 
Subjects must agree not to participate in a conception process while participating in this study (e.g., active 
attempt to become pregnant or to impregnate, sperm donation, in vitro fertilization). Additionally, if 
participating in sexual activity that could lead to pregnancy, the study subject must agree to use at least one 
reliable method of contraception during their participation in the study. 
 
Acceptable birth control includes one of the following methods: 
• 
Total abstinence (no sexual relations) 
• 
Female sterilization- surgical removal of both ovaries (woman's reproductive system that stores 
and releases eggs for fertilization and produces female sex hormones), or tubal ligation (having 
your “tubes tied”) at least six weeks prior to signing this consent.  
• 
Male sterilization (i.e. vasectomy) 
• 
Condoms (male or female) with or without a spermicidal agent 
• 
Diaphragm or cervical cap with spermicide 

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Minimum acceptable dose for infusion is 1.00 x 106 DC per peptide.  Two doses 
will be administered approximately 6 weeks apart. 
 
Please see Section 8.3 for additional details. 
 
7.1.9 Potential Toxicities 
Please refer to the Investigator Brochure for toxicity information. 
 
7.1.10 Return or Destruction of Study Drug 
The investigational product may need to be returned to the manufacturing facility for a 
variety of reasons, including but not limited to: 1) Mislabeled product; 2) Condition of 
subject prohibits infusion/injection, and 3) Subject refuses infusion. Any unused product 
will be returned to CVPF for freezing by CVPF personnel.  Final disposition of the 
investigational product must be documented appropriately.  
 
7.2 
Cyclophosphamide 
7.2.1 Agent Description 
Cyclophosphamide is an FDA-approved chemotherapeutic agent. Cyclophosphamide is 
considered an investigational agent on this protocol since it is not used in accordance with 
its approved labeling. However, while administered for research purposes as part of this 
study, it will be prepared and infused in accordance with the FDA approved package insert.  
Full details on its mechanisms of action and toxicity profile can be found in the package 
insert. 
 
7.2.2 Receipt and Storage 
Commercial cyclophosphamide will be obtained through the site-designated research 
pharmacy for research purposes.  It will be stored according to the manufacturing 
instructions in the approved package insert.  
 
7.2.3 Premedication 
All subjects receiving cyclophosphamide may be premedicated with an anti-emetic.  The 
choice of premedication will be left to discretion of the treating physician. 
Cyclophosphamide is associated with moderate to high emetic potential, and antiemetics 
are recommended to prevent nausea and vomiting. Combining NK1R antagonist (e.g. 
aprepitant or fosaprepitant) with 5-HT3 receptor antagonist (e.g. ondansetron) is 
recommended, but may be modified per investigator discretion and institutional standards. 
Glucocorticoids (e.g. dexamethasone) should be avoided as these agents may affect vaccine 
efficacy.  
 
7.2.4 Administration 
A single dose of 300 mg/m2 cyclophosphamide will be administered via intravenous 
infusion 3 days (+/- 1 day) prior to the first DC Vaccine.   
 

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7.2.5 Potential Toxicities 
Please refer to the cyclophosphamide package insert for toxicity information.  The package 
insert describes the risks of cyclophosphamide when given as part of routine care.  We 
expect similar side effects when administered as part of this study.  
8.0 STUDY PROCEDURES 
8.1 
Dendritic Cell (mDC3/8) Preparation  
After eligibility has been confirmed by a physician-investigator, subjects will undergo a large 
volume apheresis procedure (approximately 15-20 L volume) at the HUP Apheresis Unit according 
to standard procedures for autologous transplantation, to allow for a target of 1-2x1010 mononuclear 
cells to be collected. The actual volume apheresis procedure to be performed will be at the 
discretion of the physician-investigator in consultation with transfusion medicine. Apheresis may 
occur any time after physician-investigator confirmation of eligibility but must occur at least 7 days 
prior to the anticipated vaccination. The apheresis product will be transported to the CVPF 
manufacturing facility and manufactured in accordance with the current mDC3/8 Investigator’s 
Brochure.  
 
If the initial apheresis collection does not yield an adequate number of cells required for 
manufacturing all required DC Vaccines, the second study apheresis procedure (performed after 
last DC Vaccine) may be moved up to an earlier study timepoint to allow for required 
manufacturing. An approximate 15 liter volume procedure will be performed, and the product 
processed as indicated in the Investigator’s Brochure.   
 
Cells remaining after manufacturing is complete may be banked for research purposes.  
 
8.2 
Treg Depletion  
Subjects will return to the Hospital of the University of Pennsylvania to receive a single dose of IV 
Cyclophosphamide (300 mg/m2) -3 days (+/- 1 day) prior to DC Vaccine #1, in order to deplete 
circulating Treg cells prior to priming vaccination. Subjects may receive premedication at the 
discretion of the treating physician. Only a single dose of cyclophosphamide is given to each 
subject during the initial treatment phase prior to DC Vaccine #l.   
 
8.3 
Administration of Dendritic Cell Vaccines (mDC3/8 vaccines with and 
without influenza)  
A total of 3 DC vaccines will be administered over a ~12-week period with priming DC Vaccine 
#1 administered on Day 1, followed by booster DC Vaccine #2 and DC Vaccine #3 administered 
~6 weeks apart. Vaccines cannot be administered until all toxicities ≥ grade 2 have resolved to 
baseline.  All infusions will take place at the Hospital of the University of Pennsylvania by a 
licensed Registered Nurse.  
 
Each DC vaccine is administered by intravenous infusion through either a peripheral venous line 
or a central venous line. A macrodrip intravenous tubing will be used to infuse DC vaccine by 
gravity (i.e. no infusion pump will be used), therefore each infusion will take less than 15 minutes. 
All subjects will have vital signs (including temperature, respiration rate, pulse, blood pressure, 
oxygen saturation) assessed prior to each infusion. After the first infusion, subjects will be observed 
for 2 hours post-infusion, with vital signs assessed every 30 minutes (+/- 5 minutes) from the end 

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of the infusion. After each subsequent infusion, subjects will be observed for 30 minutes after the 
end of the infusion, with vital signs assessed at 30 minutes (+/- 5 minutes) post-infusion. If subjects 
develop temperature greater than 38ºC, acetaminophen 650mg PO should be given and the PI 
notified the same day. After the required observation period is complete, subjects may be 
discharged to home from the treatment area. 
 
Administration of the DC vaccine may be delayed for a number of reasons, including toxicity, 
investigator discretion, etc. Treatment delays of up to 21 days will be allowed. If administration of 
the next planned dose is delayed greater than 21 days, the subject will discontinue the study vaccine 
and will not be eligible to receive additional treatment on this protocol. Treatment delays should 
be to be kept to a minimum and every effort is to be made to maintain a planned schedule.  
 
8.4 
Immune Monitoring  
Research blood samples for immune monitoring will be collected in accordance with the Study 
Calendar in Section 10.0.  This testing requires five 10mL green top tubes (BD vacutainer sodium 
heparin tube) for a total of ~50 ml of blood. These blood samples will be used for immunologic 
monitoring studies (e.g. IFN-y ELIspot, peptide-HLA (p-HLA) multimer staining and cytotoxicity 
assays). The blood samples will be transported to Dr. Carreno’s laboratory (SPE 8-309, bays 305B-
307B).  
 
Subjects will undergo an additional large-volume apheresis procedure (approximately 15 liter 
volume) ~7-14 days after their last DC Vaccine to collect lymphocytes for functional laboratory 
assays, to determine immunity against neoantigen peptides and TCR sequencing.  Note: As per 
Section 8.1 above, this apheresis collection may be moved up to an earlier study time point if 
deemed necessary for manufacturing purposes.  
 
This additional apheresis procedure will be performed at the HUP Apheresis Unit according to 
standard procedures. These cells will then be transported to Dr. Carreno’s laboratory for processing, 
storage, and exploratory analysis. 
 
8.4.1 Flow Cytometry / p-HLA multimer Staining  
Assessment of cellular immune activity may occur via the application of flow cytometry. 
Flow cytometric assays will include an examination of the influence of immunotherapy on 
the ability of subject T cells to exhibit phenotypic markers associated with cytolytic 
potential (e.g. IFN-y, IL-2, TNF-alpha, Granzyme B) after short-term stimulation by 
mutated peptide and p-HLA multimer staining.  PBMC responses against a pool of known 
antigenic Cytomegalovirus, Epstein Barr Virus and Influenza epitopes will be evaluated in 
order to track general cellular immune competence during the study. 
 
8.4.2 Cytotoxicity Assays  
The cytolytic activity of neoantigen-specific T cells will be assessed by chromium release 
cytotoxicity assays. Target cells are co-cultured in the presence of CD8+ T cells isolated 
from vaccinated subjects. Cytotoxicity will be measured of Cr release from lysed target 
cells. When available, HLA class I matched tumor cell lines will be used as the target cell 
population. 
 

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8.4.3 TCR Sequencing 
TCR sequencing will be performed as previously described. Briefly, single-cell sorting will 
be performed on tetramer-positive cells identified from apheresis collection 7-14 days 
following last DC Vaccine. RT-PCR will be performed to provide template DNA for PCR-
based TCR gene amplification. PCR products with then be gel purified and sequenced. The 
functionality of TCR sequences will then be confirmed by cloning into an expression vector 
for transduction of human T cells for in vitro assays.    
 
8.5 
Post-DC Vaccine Surveillance 
Following the End of Study Treatment visit, subjects will continue to be followed for safety and 
the collection of immune monitoring samples for up to 1 year post-DC Vaccine #1. The first Post-
DC Vaccine Surveillance Visit will occur approximately 6 months after DC Vaccine #1.  
  
During Post-DC Vaccine Surveillance, only protocol‐defined adverse events (PDAEs) will be 
collected and reported. This includes any adverse events that are ongoing at the End of Treatment 
Visit as well as any adverse events determined to be at least possibly related to the investigational 
product (See Section 12.1).  
 
Blood samples will continue to be collected for immune monitoring analysis every 3 months as per 
the Study Calendar in Section 10.0.  Tissue samples obtained as part of standard of care procedures 
may also be used for research analysis.  
 
Subjects will not be formally followed for response, however if the subject experiences documented 
disease recurrence during Post-DC Vaccine Surveillance, this data will be collected for research 
purposes.   
 
In the event that a subject cannot return to the University of Pennsylvania for follow-up visits, the 
subject’s local provider may also be asked to provide information from the subject’s medical record 
and assist in the collection of protocol-required immune monitoring blood samples, which will be 
sent to the University of Pennsylvania Carreno Lab.  
9.0 POTENTIAL TOXICITY AND DOSE MODIFICATIONS 
All adverse events should be recorded and reported as per protocol Section 12.  Any toxicities of grade 2 
or higher, regardless of attribution/expectedness, should be reported immediately to the Principal 
Investigator.  Additional vaccines cannot be administered until all toxicities ≥ grade 2 have resolved to 
baseline.  
 
9.1 
Dose Limiting Toxicity (DLT)  
Is defined as any of the below events determined to be at least possibly related to the dendritic cell 
vaccines (mDC3/8 vaccine): 
• 
Any Grade 3 or greater hematological and non-hematological toxicities 
• 
Any Grade 3 or greater allergic reaction 
• 
Any Grade 3 or greater autoimmunity that involves vital organ (heart, kidneys, brain, 
eye, liver, colon or adrenal gland) 
 

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If a subject experiences a DLT, they will be discontinued from additional study treatment. Subjects 
discontinued from study treatment due to a DLT will continue to be followed per the Study 
Calendar in Section 10.0 until the End of Study visit and for adverse events per Section 12.1.   
Dose-limiting toxicities will be confirmed by the Sponsor Medical Director.  The Medical Director 
will also assess the impact of dose-limiting toxicities on subsequent enrollment/treatment activity.   
 
Please refer to Section 12.7 for study stopping rules. 
 

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l.     Tests/procedures used to evaluate the subject’s eligibility to participate must be performed prior to physician-investigator confirmation of eligibility and within 
28 days prior to physician-investigator confirmation of eligibility unless otherwise specified. Tests/procedures performed screening/enrollment which also fall 
within the 14 day window required for Pre-Treatment evaluations may be used to fulfill this additional study requirement and do not need to be repeated unless 
clinically indicated.

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11.0 EARLY WITHDRAWAL OF SUBJECTS 
Subjects who enroll but who do not receive the DC Vaccine #1 will be prematurely discontinued from the 
study, including all study procedures/follow-up activities (with the exception of monitoring of ongoing 
adverse events felt to be related to research procedures), and will be replaced.  Reasons for premature study 
discontinuation prior to receipt of the DC Vaccine #1 may include, but are not limited to the following: 
• The judgment of the principal investigator that the subject is too ill to continue if this occurs 
prior to the vaccine dose.  
• Technical difficulties are encountered in the manufacturing process that preclude generation of 
a vaccine dose that meets all Quality Control criteria.  
• If a subject develops a condition that precludes treatment after enrollment but before 
administration of the vaccine dose. This will be done at the judgment of the PI, and could 
include for example, disease recurrence requiring alternative treatment, or a serious adverse 
event. 
• Subject withdraws consent 
• Termination of the study 
 
Subjects who receive DC Vaccine #1 may be discontinued from receiving additional study 
treatment/primary follow-up for any of the following reasons: 
• 
Subject withdraws consent.  
• 
The PI decides to discontinue the study treatment (i.e. for non-compliance with the protocol or 
disease recurrence requiring urgent therapeutic intervention). 
• 
Subjects who develop DLT (as defined in Section 9.1). 
• 
Subjects who develop an allergic reaction to the dendritic cell vaccine (mDC3/8 vaccines). 
• 
Pregnancy 
• 
Termination of the study 
 
All subjects who complete/prematurely discontinue from the study after receipt of at least one DC vaccine 
infusion will be asked  to complete an End of Study Treatment visit no sooner than 30 days after their last 
mDC3/8 Vaccine. Following the End of Study Treatment visit, subjects will continue to be followed for 
safety and the collection of immune monitoring samples for up to 1 year post-DC Vaccine #1. The first 
Post-DC Vaccine Surveillance Visit will occur approximately 6 months after DC Vaccine #1. Immune 
monitoring samples will continue to be collected every 3 months during Post-DC Vaccine Surveillance 
Visit until the End of Study Visit.  
 
 
Subjects may be discontinued from  Post-DC Vaccine Surveillance Follow-up for the following reasons: 
• 
Subject withdraws consent 
• 
Death 
• 
Investigator Discretion- Subjects will be asked to complete an End of Study Visit.  
• 
Termination of the study 
• 
Completion of Post-DC Vaccine Surveillance (12 months post-DC Vaccine #1)- Subjects will 
be asked to complete an End of Study Visit.  
 

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12.0 SAFETY AND ADVERSE EVENTS 
12.1 Definitions 
Adverse Event 
An adverse event (AE) is any untoward medical occurrence associated with the use of a drug in 
humans, whether or not considered drug related.  Intercurrent illnesses or injuries should be 
regarded as adverse events. 
 
Serious Adverse Event 
Adverse events are classified as serious or non-serious.  A serious adverse event is any AE or 
PDAE that is:  
• 
fatal 
• 
life-threatening 
• 
requires or prolongs hospital stay  
• 
leads to a persistent or significant disability or incapacity or substantial disruption of the 
ability to conduct normal life functions 
• 
a congenital anomaly or birth defect 
• 
an important medical event 
 
Note that hospitalizations that meet the following criteria should not be reported as serious adverse 
events: 
• 
Routine treatment or monitoring of the studied indication, not associated with any 
deterioration in condition, such as preplanned study visits and preplanned hospitalizations 
for study procedures or treatment administration 
• 
Elective or pre-planned treatment for a pre-existing condition that is unrelated to the 
indication under study and has not worsened since signing the informed consent 
• 
Social reasons and respite care in the absence of any deterioration in the subject’s general 
condition 
 
Note: Treatment on an emergency outpatient basis that does not result in hospital admission and 
involves an event not fulfilling any of the definitions of a SAE given above is not a serious adverse 
event.   
 
Important medical events are those that may not be immediately life threatening, but are clearly of 
major clinical significance.  They may jeopardize the subject, and may require intervention to 
prevent one of the other serious outcomes noted above.  For example, drug overdose or abuse, a 
seizure that did not result-in patient hospitalization, or intensive treatment of bronchospasm in an 
emergency department would typically be considered serious. 
 
All adverse events that do not meet any of the criteria for serious should be regarded as non-serious 
adverse events. 
 
Unanticipated Adverse Device Effect (UADE) 
Unanticipated adverse device effect means any serious adverse effect on health or safety or any 
life-threatening problem or death caused by, or associated with, a device, if that effect, problem, or 
death was not previously identified in nature, severity, or degree of incidence in the investigational 
plan or application (including a supplementary plan or application), or any other unanticipated 
serious problem associated with a device that relates to the rights, safety, or welfare of subjects. 

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Unexpected Adverse Events 
An adverse event is considered unexpected if the event, and the severity (grade) and/or frequency 
of the event, is not described in the investigator brochure or protocol.  Please refer to the 
investigator brochure for additional detail related to severity and/or frequency of a particular event. 
 
Related Adverse Events 
An adverse event is considered related to participation in the research if there is a reasonable 
possibility that an event was caused by an investigational product, intervention, or research-
required procedures.  For the purposes of this study, "reasonable possibility" means there is 
evidence to suggest a causal relationship.  The relationship of the event to the study will be 
classified as possibly related, probably related, and definitely related. 
• 
Possibly Related: There is some evidence to suggest a causal relationship; however, other 
factors may have contributed to the event. 
• 
Probably Related: There is evidence to suggest a causal relationship, and the influence of 
other factors is unlikely. 
• 
Definitely Related: There is clear evidence to suggest a causal relationship, and other 
possible contributing factors can be ruled out. 
 
Protocol defined adverse events (PDAEs)  
During Post-DC Vaccine Surveillance, only protocol‐defined adverse events (PDAEs) will be 
collected and reported. Protocol-defined adverse events that are determined to be serious as defined 
above will be considered protocol-defined serious adverse events (PDSAEs) and also require 
expedited reporting to the Sponsor per Section 12.3.  
 
The PDAEs are as follows:  
• 
Any adverse events ongoing at the End of Study Treatment. These events must be 
followed until resolution or End of Study.  
• 
Any adverse events determined to be possibly related to the investigational product.  
 
Adverse Event Reporting Period 
For this study, collection of AEs will begin at the time of the first apheresis procedure (Apheresis 
#1) and continue until subject discontinuation or the End of Study Visit. 
 
Preexisting Condition/General Physical Examination Findings 
A preexisting condition is one that is present at the start of the Adverse Event Reporting Period. 
All clinically significant abnormalities should be recorded as a preexisting condition on the medical 
history eCRF.  During the course of the study, a preexisting condition should be recorded as an 
adverse event if the frequency, intensity, or the character of the condition worsens.  Preexisting 
conditions that improve should also be recorded appropriately. 
 
Abnormal Laboratory Values 
A clinical laboratory abnormality should be documented as an adverse event if any one of the 
following conditions is met: 
• 
The laboratory abnormality is not otherwise refuted by a  repeat  test  to  confirm the 
abnormality 
• 
The abnormality suggests a disease and/or organ toxicity 
• 
The abnormality is of a degree that requires active management; e.g. change of dose, 
discontinuation of the drug, more frequent follow-up assessments, further diagnostic 

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investigation, etc. 
 
Laboratory abnormalities that meet the criteria for Adverse Events should be followed until they 
have returned to normal or an adequate explanation of the abnormality is found. When an abnormal 
laboratory or test result corresponds to a sign/symptom of an already reported adverse event, it is 
not necessary to separately record the lab/test result as an additional event. Laboratory 
abnormalities that do not meet the definition of an adverse event, should not be reported as adverse 
events. Whenever possible, a diagnosis, rather than a symptom should be provided (i.e. anemia 
instead of low hemoglobin).   
 
12.2 Recording of Adverse Events 
Safety will be assessed by monitoring and recording potential adverse effects of the treatment using 
the Common Terminology Criteria for Adverse Events (CTCAE) version 5.0 at each study visit.If 
CTCAE grading does not exist for an adverse event, the severity of mild, moderate, severe, life-
threatening, and death, corresponding to Grades 1-5, will be used whenever possible. 
 
Subjects will be monitored through interval medical history evaluations, physical examinations, and 
clinical laboratory assessments as per the Study Calendar (Section 10).  Adverse events will be 
collected continuously throughout the subject’s participation; using testing/examinations, non-
directive questioning (e.g. review of systems), subject self-reporting, etc.  Information on all adverse 
events should be recorded in the source documentation.  Information on all adverse events should 
be recorded in the source documentation.  All clearly related signs, symptoms, and abnormal 
diagnostic procedure results should be recorded in the source document, though should be grouped 
under one diagnosis. To the extent possible, adverse events should be recorded as a diagnosis and 
symptoms used to make the diagnosis recorded within the diagnosis event.  Do not list symptoms 
separately if a diagnosis can be assigned. The safety team may require events be reported separately 
if they occur as SAEs (or in the context of a SAE) even if they can also be considered a constituent 
of another AE. 
 
All adverse events occurring during the adverse event reporting period (defined in Section 12.1 
above) must be recorded.  If there are no adverse events identified during a study visit occurring 
after the AE reporting period commences, physician-investigator confirmation of the absence of 
adverse should be documented. 
 
Adverse events that are ongoing at the time the subject enters the Post-DC Vaccine Surveilliance 
phase of the study will continue to be followed until: a) the adverse event resolves; b) the subject 
discontinues participation (i.e. End of Study); or c) there is a change in the adverse event that would 
normally require the event be captured as a new event (i.e. change in attribution). Please refer to 
the CRF Completion Guidelines (CCG) for specific instructions on data entry. 
 
As much as possible, each adverse event should be evaluated to determine the following 
information: 
1. The severity grade (CTCAE Grade 1-5) 
2. Duration 
3. Its relationship to the study treatment (as defined in Section 12.1)  
4. Expectedness to study treatment(as defined in Section 12.1) 
5. Action taken with respect to study or investigational treatment 
6. Whether medication or therapy was administered   
7. Whether it is serious (as defined in Section 12.3) 
 

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Physician-investigator assessment of whether an adverse event is serious (as defined by Section 
12.1) must occur within 24 hours from the date of knowledge of the adverse event, in order to meet 
SAE reporting requirements as described in Section 12.3.  Additional assessment of non-serious 
adverse events, including grade and relationship to study treatment, should occur within 7 days 
from the date of knowledge of the adverse event or from the date of the study visit where the 
absence of adverse events was confirmed.  Accelerated timelines for adverse event assessments 
and reporting may be requested in the event of emergent safety concerns and/or to address time-
sensitive requests from the FDA. 
 
All adverse events should be treated appropriately. If a concomitant medication or non-drug therapy 
is given, this action should be recorded.  Once an adverse event is detected, it should be followed 
until its resolution or until it is judged to be permanent, and assessment should be made at each 
visit (or more frequently, if necessary) of any changes in severity, the suspected relationship to the 
study treatment, the interventions required to treat it, and the outcome.   
 
Adverse events that occur concurrently with the progression of malignancy but that are not related 
to disease progression (i.e. deep vein thrombosis or hemoptysis) will be reported as an adverse 
event as described above.  Progression of malignancy resulting in death should be reported as a 
serious adverse event.  
 
Serious adverse events that are still ongoing at the end of the adverse event reporting period must 
be followed to determine the final outcome.  Any serious adverse event that occurs after the adverse 
event reporting period and is considered to be possibly related to the study treatment or study 
participation, should be recorded and reported. 
 
12.3 Reporting of Serious Adverse Events 
Every SAE, UADE, and PDSAE (during post-DC vaccine surveillance), regardless of suspected 
causality, occurring during the adverse event reporting period defined in Section 12.1 must be 
reported to the Sponsor Team within 24 hours of learning of its occurrence. The original SAE 
notification may take place by email to meet the 24 hour reporting window.   
 
Within 3 business days of initial knowledge of the event, the investigator must submit a complete 
SAE form to the Sponsor along with any other diagnostic information that will assist the 
understanding of the event.  The Investigator will keep a copy of this SAE Form on file at the study 
site.   
 
New or follow-up information on SAEs/UADEs/PDSAEs should be promptly reported as updates 
become available. 
 
At a minimum follow-up SAE Forms should be submitted: 
• 
Within 1 week of ICU admission or any life-threatening event  
• 
Within 2 weeks of hospital discharge 
 
Follow-up information should be submitted as an amendment to the initial SAE form, and should 
include both the follow-up number and report date.  The follow-up information should describe 
whether the event has resolved or continues, if there are any changes in assessment, if and how it 
was treated, and whether the subject continued or withdrew from study participation.    
  
Report serious adverse events to: 
 

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Attention: Clinical Safety Manager or designee 
Center for Cellular Immunotherapies 
University of Pennsylvania 
 
At the time of the initial notification, the following information should be provided: 
• 
Study identifier 
• 
Subject number 
• 
A description of the event 
• 
Date of onset 
• 
Current subject status 
• 
Whether study treatment was 
discontinued 
• 
The reason the event is classified as 
serious 
• 
Investigator assessment of the 
association between the event and study 
treatment 
• 
Expectedness relative to investigational 
product(s) 
 
12.3.1 Investigator Reporting: Local Regulatory Review Committees 
Report events to local regulatory review committees per institutional policy. 
 
 
12.4 Pregnancies 
To ensure subject safety, each pregnancy occurring while the subject is on study treatment must be 
reported to protocol sponsor within 24 hours of learning of its occurrence. The pregnancy should 
be followed up to determine outcome, including spontaneous or voluntary termination, details of 
the birth, and the presence or absence of any birth defects, congenital abnormalities, or maternal 
and/or newborn complications.  If a pregnancy occurs on study, this will be reported as an SAE 
using an SAE Report Form. 
 
Pregnancy outcomes must be collected for the female partners of any males who took study 
treatment in this study. Consent to report information regarding these pregnancy outcomes should 
be obtained from the mother. 
 
12.5 Protocol Exceptions/Deviations 
Exception: 
A one time, intentional action or process that departs from the IRB-approved study protocol, 
intended for one occurrence. If the action disrupts the study progress, such that the study design or 
outcome (endpoints) may be compromised, or the action compromises the safety and welfare of 
study subjects, advance documented approval from the Regulatory Sponsor and local regulatory 
review committees per institutional guidelines is required. Approval from the Regulatory Sponsor 
must be received prior to submission to local regulatory review committees for approval. 
 
Deviation: 
A one time, unintentional action or process that departs from the approved study protocol, 
involving one incident and identified retrospectively, after the event occurred. If the impact on 
the protocol disrupts the study design, may affect the outcome (endpoints) or compromises the 
safety and welfare of the subjects, the deviation must be reported to the Regulatory Sponsor within 
10 business days of PI knowledge, and to local regulatory review committees per institutional 

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guidelines. Acknowledgement from the Regulatory Sponsor must be received prior to submission 
to local regulatory review committees.   
 
Other deviations should be appropriately documented per site policies/procedures (such as a subject 
missing a visit is not an issue unless a critical/important treatment or procedure was missed and 
must have been done at that specific time).  
 
Include the following information on the Sponsor supplied exception/deviation form:  protocol 
number, subject study number, comprehensive description of the exception/deviation from the 
protocol, rationale, and corrective and preventative action plan (deviations only).  Ensure all 
completed exception/deviation forms are signed by the Principal Investigator (or physician sub-
investigator) and submitted to the Sponsor Project Manager for review.    
 
Attention: Sponsor Project Manager 
Center for Cellular Immunotherapies (CCI) 
University of Pennsylvania 
 
Once approval of the exception request or acknowledgement of the deviation has been granted by 
the Regulatory Sponsor, the exception or deviation will be submitted to all applicable committees 
for review and approval/acknowledgement per institutional guidelines.  
 
12.6 Medical Monitoring 
It is the responsibility of the Principal Investigator to oversee the safety of the study at the clinical 
site.  This safety monitoring will include careful assessment and appropriate reporting of adverse 
events as noted above.  Medical monitoring will include a regular assessment of the number and 
type of serious adverse events. 
 
12.7 Study Stopping Rules 
This trial will be paused if the following events occur, pending further discussion with the Sponsor 
Medical Director, IRB and FDA: 
• 
Any death that may be related to the investigational products. 
• 
DLT is observed in 2 out of the first 2 subjects, 3 out of the first 4 subjects, 4 out of the 
first 7, 5 out of the first 10 and 6 at any time  
 
The above statistical stopping rule was developed such as the rule will be triggered if the lower 
limit of the two-sided 90% confidence interval of the event rate exceeding 20%. Under this rule, 
we would stop the study early with a probability of 1.6%, 8.8%, and 23.8% if the true event rate is 
10%, 20%, and 30%, respectively. These probabilities were calculated from a simulation study. 
 
The study may be discontinued at any time by the IRB, the Sponsor, the FDA, or other government 
agencies as part of their duties to ensure that research subjects are protected. 
13.0 STATISTICAL CONSIDERATIONS 
Approximately 12 evaluable subjects will be enrolled in this study.  All subjects who receive at least one 
Dendritic Cell Vaccine at the minimum acceptable dose for infusion will be considered evaluable for 
primary endpoint analysis.  Subjects who fail apheresis or who do not receive vaccine due to other reasons 
will not be considered evaluable and will be replaced. The sample size is determined based on availability 
of the funding.  Early stopping rules will be implemented as described in Section 12.7. 

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The primary end point of the study is to determine the post-vaccine immune response based on measuring 
increased numbers of peptide-specific CD8+ T cells as calculated by the flow cytometric-based intracellular 
cytokine or tetramer staining15. For each peptide, the intracellular cytokine and tetramer assays are 
performed on blood samples obtained at the indicated time points. Data are presented as the absolute 
number or percentage of CD8+ T cells positive for IFN-y, IL-2, TNF-alpha and granzyme B secretion when 
stimulated with peptide or tetramer binding based on gating variables set using the iMASC reagent kit 
(Beckman Coulter). The lower limit of detection (LLD) is 0.03% per 100,000 cells for flow cytometric 
assays. For the analysis, a negative control peptide or tetramer (e.g. HIV gag peptide) will be used to 
normalize each assay. Each sample is incubated or stained with control peptide or tetramer and the number 
of positive CD8+ T cells are subtracted from each experimental point. The mean and SD at baseline are 
obtained for each subject. Based on our prior experience, the expected analytical CV (standard 
deviation/mean) is 10%. A positive intracellular cytokine or tetramer response is defined as an increase 
greater than 3SD above the baseline value. For each peptide, the proportions of CD8+ T cell responses 
(positive or negative) and the associated 90% exact confidence intervals (CI) will be reported for each time 
point. With 12 subjects, the width of the 90% exact CI will be no more than 25% away from the observed 
proportions.  
 
The primary endpoint will also include evaluating the safety and tolerability of the mature dendritic cell 
vaccine using proportions and exact 90% confidence intervals. Safety data from all subjects will be 
analyzed together regardless of the actual infusion dose received.   
Adverse events will be tabulated by grades and body system. The frequency of grade 3 and 4 AEs will be 
summarized separately. With 12 evaluable subjects, the half-width of the exact 90% confidence interval 
(CI) will be no more than 26%. The probability of observing at least one DLT will be 72%, 93%, and 99% 
if the true DLT rate is 10%, 20%, and 30%, respectively. 
 
For the secondary objective, the percentage of CD8+ T-cell responses are expected to be approximately 
Gaussian on the original or a transformed scale (e.g., log transformation).  Linear mixed models will be 
used to describe the change in counts by time, dose and the time by dose interaction and pattern over time 
will be examined graphically.  Dose is treated as a fixed effect as the doses to be administered cover the 
range about which conclusions will be drawn.  We will explore whether Time should be treated as a random 
effect, as the time points represent a sample from an ongoing process.  In addition, clustered logistic 
regression will be used to model the probability of tetramer positivity versus negativity by time, dose and 
time by dose interaction.  These models are intended to be descriptive, and no preliminary data exist which 
estimate longitudinal trends, so no power calculation is attempted. 
 
For the exploratory aim, the association between treatment outcomes and tumor/immune biomarkers will 
be examined by t-test. The treatment outcomes are binary variables including immune response rate as 
measured by dextrameter/tetramer assay as described previously and any grade 3 or higher AEs. Tumor 
and immune biomarkers are primarily continuous variables. Due to exploratory nature of the analyses, no 
adjustment of multiple testing will be performed. 
 
Additional correlative assays will be performed (Cr51 release); however, these data will be not be used to 
determine the primary end point but may be used as surrogate assays to evaluate the functionality of 
neoantigen peptide-specific CD8+ T cells. These assays will be performed using CD8+ T cells from baseline 
and post-vaccination blood samples.  A positive Cr51 assay is defined as an increase in specific lysis > 15% 
above background at effector:target ratio of 5:1.  

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CONFIDENTIAL 
This protocol is the property of the University of Pennsylvania.  Do not disclose or use except as authorized in writing by the study sponsor. 
14.0 DATA HANDLING AND RECORDKEEPING 
14.1 Confidentiality 
Information about study subjects will be kept confidential and managed according to the 
requirements of the Health Insurance Portability and Accountability Act of 1996 (HIPAA).  Those 
regulations require a signed subject authorization informing the subject of the following: 
• 
What protected health information (PHI) will be collected from subjects in this study 
• 
Who will have access to that information and why 
• 
Who will use or disclose that information 
• 
The rights of a research subject to revoke their authorization for use of their PHI. 
 
In the event that a subject revokes authorization to collect or use PHI, the investigator and Sponsor, 
by regulation, retain the ability to use all information collected prior to the revocation of subject 
authorization.  For subjects that have revoked authorization to collect or use PHI, attempts should 
be made to obtain permission to collect at least vital status (i.e. that the subject is alive) at the end 
of their scheduled study period. 
 
14.2 Source Documents 
Source data is all information, original records of clinical findings, observations, or other activities 
in a clinical trial necessary for the reconstruction and evaluation of the trial.  Source data are 
contained in source documents. Examples of these original documents, and data records include:  
hospital  records,  clinical  and  office  charts,  laboratory notes,  memoranda,  subjects’ diaries or 
evaluation checklists, pharmacy dispensing records, recorded data from automated instruments, 
copies or transcriptions certified after verification as being accurate and complete, microfiches, 
photographic negatives, microfilm or magnetic media, x-rays, subject files, and records kept at the 
pharmacy, at the laboratories, and at medico-technical departments involved in the clinical trial. 
 
The investigator must maintain source documents for each subject in the study, consisting of case 
and visit notes (hospital or clinical medical records) containing demographic and medical 
information, laboratory data, and the results of any other tests or assessments. All information 
recorded on the eCRFs must be traceable to source documents in the subject’s file. The investigator 
must also keep the original signed informed consent form, and a signed copy must be given to the 
subject. 
 
14.3 Case Report Forms 
The study case report form (CRF) is the primary data collection instrument for the study. All 
data requested on the CRF must be recorded. All entries will be entered into an electronic 
data capture system (EDC). The Principal Investigator is responsible for assuring that the data 
entered into eCRF is complete, accurate, and that entry and updates are performed in a timely 
manner.  
 
14.4 Records Retention 
It is the Investigator’s responsibility to retain study essential documents for at least 2 years after 
the last approval of a marketing application in their country and until there are no pending or 
contemplated marketing applications in their country or at least 2 years have elapsed since the 
formal discontinuation of clinical development of the investigational product.  These documents 
may be retained for a longer period if required.   

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CONFIDENTIAL 
This protocol is the property of the University of Pennsylvania.  Do not disclose or use except as authorized in writing by the study sponsor. 
15.0 STUDY MONITORING, AUDITING, AND INSPECTING 
15.1 Study Monitoring Plan 
This study will be monitored according to the Sponsor Data and Safety Monitoring Plan.  
 
Interim Monitoring Visits will be conducted during the course of the study. The Monitors will 
assure that submitted data are accurate and in agreement with source documentation; verify that 
investigational products are properly stored and accounted for; verify that subject consent for study 
participation has been properly obtained and documented; confirm that research subjects entered 
into the study meet inclusion and exclusion criteria; and assure that all essential documentation 
required by Good Clinical Practices (GCP) guidelines are appropriately filed.  At the end of the 
study, Monitors will conduct a close-out visit and will advise on storage of study records and 
disposition of unused investigational products. 
 
The investigator will allocate adequate time for such monitoring activities.  The Investigator will 
also ensure that the monitor or other compliance reviewer is given access to all the above noted 
study-related documents and study related facilities (e.g. pharmacy, diagnostic laboratory, etc.), 
and has adequate space to conduct the monitoring visit. 
 
15.2 Auditing and Inspecting 
The investigator will permit study-related monitoring, audits, and inspections by the IRB, the 
Sponsor, government regulatory bodies, and University compliance groups. The investigator will 
ensure the capability for inspections of applicable study-related facilities (e.g. pharmacy, diagnostic 
laboratory, etc.). 
 
Participation as an investigator in this study implies acceptance of potential inspection by 
government regulatory authorities and applicable University compliance offices. 
 
The Principal Investigator must notify the Sponsor in real-time if an audit/inspection notification 
is received. 
16.0 ETHICAL CONSIDERATIONS 
This study is to be conducted according to US and international standards of Good Clinical Practice (FDA 
Title 21 part 312 and International Conference on Harmonization guidelines), applicable government 
regulations and Institutional research policies and procedures. 
 
This protocol and any amendments will be submitted to a properly constituted independent Institutional 
Review  Board  (IRB),  in  agreement  with  local  legal  prescriptions,  for  formal approval of the study 
conduct.  The decision of the IRB concerning the conduct of the study will be made in writing to the 
investigator and a copy of this decision will be provided to the sponsor before commencement of this study.   
 
All subjects for this study will be provided a consent form describing this study and providing sufficient 
information for subjects to make an informed decision about their participation in this study. This consent 
form will be submitted with the protocol for review and approval by the IRB for the study.   The formal 
consent of a subject, using the IRB-approved consent form, must be obtained before that subject is 
submitted to any study procedure. 
 
The protocol is listed on clinicaltrials.gov. 

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CONFIDENTIAL 
This protocol is the property of the University of Pennsylvania.  Do not disclose or use except as authorized in writing by the study sponsor. 
17.0 STUDY FINANCES 
17.1 Funding Source 
This study will be funded by the Parker Institute for Cancer Immunotherapy and the National 
Institutes of Health (NIH). 
 
17.2 Conflict of Interest 
All University of Pennsylvania Investigators will follow the University of Pennsylvania Policy on 
Conflicts of Interest Related to Research.  
 
17.3 Subject Stipends or Payments 
There is no subject stipend/payment for participation in this protocol.   
18.0 PUBLICATION PLAN 
Publication of the results of this trial will be governed by University of Pennsylvania policies. Neither the 
complete nor any part of the results of the study carried out under this protocol will be published or passed 
on to any third party without the consent of the Sponsor.  Any investigator involved with this study is 
obligated to provide the Sponsor with complete test results and all data derived from the study. 
 
 
 
 

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CONFIDENTIAL 
This protocol is the property of the University of Pennsylvania.  Do not disclose or use except as authorized in writing by the study sponsor. 
19.0 REFERENCES 
 
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