PI: Lu, Lenette Title: Antibody Mediated Mechanisms of Immune Modulation in Tuberculosis

Received: 06/10/2016 FOA: PA16-191 Council: 01/2017

Competition ID: FORMS-D FOA Title: MENTORED CLINICAL SCIENTIST RESEARCH CAREER 

DEVELOPMENT AWARD (PARENT K08)

1 K08 AI130357-01 Dual: HL Accession Number: 3944298

IPF: 4907701 Organization: MASSACHUSETTS GENERAL HOSPITAL

Former Number: Department:

IRG/SRG: MID-B AIDS: N Expedited: N

Subtotal Direct Costs 

(excludes consortium F&A) 

Year 1:

Year 2:

Year 3:

Year 4:

Year 5:

Animals: N 

Humans: Y 

Clinical Trial: N

Current HS Code: 30 

HESC: N

New Investigator: N

Early Stage Investigator: N

Senior/Key Personnel: Organization: Role Category:

Lenette Lu MASSACHUSETTS GENERAL 

HOSPITAL 

PD/PI 

SARAH FORTUNE M.D. Harvard School of Public Health Other Professional-Mentor

GALIT ALTER MASSACHUSETTS GENERAL 

HOSPITAL 

Other Professional-Co-Mentor

Facundo Batista Massachusetts General Hospital Other (Specify)-Advisory Committee

Douglas Hayden Ph.D MASSACHUSETTS GENERAL 

HOSPITAL 

Other (Specify)-Collaborator

Akiko Iwasaki Yale University School of Medicine Other (Specify)-Advisory Committee

Falk Nimmerjahn Friedrich-Alexander University ErlangenNurenbergOther (Specify)-Advisory Committee

Blanca Restrepo Ph.D The University of Texas Other (Specify)-Collaborator

Eric Rubin Harvard School of Public Health Other (Specify)-Advisory Committee

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OMB Number: 4040-0001

Expiration Date: 06/30/2016

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date:

2016-06-10T09:57:43.000-04:00

APPLICATION FOR FEDERAL ASSISTANCE

SF 424 (R&R)

3. DATE RECEIVED BY STATE State Application Identifier

1. TYPE OF SUBMISSION* 4.a. Federal Identifier

❍ Pre-application ❍ Application ● Changed/Corrected

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b. Agency Routing Number

2. DATE SUBMITTED Application Identifier c. Previous Grants.gov Tracking Number

GRANT12188275

5. APPLICANT INFORMATION Organizational DUNS*: 

Legal Name*: THE GENERAL HOSPITAL CORP DBA MASSACHUSETTS GENERAL HOSPITAL

Department: Medicine

Division: Infectious Diseases

Street1*:

Street2:

City*:

County:

State*:

Province:

Country*:

ZIP / Postal Code*:

Person to be contacted on matters involving this application

Prefix: First Name*: Tristienne Middle Name: Last Name*: McCarthy Suffix: 

Position/Title: Senior Grant Administrator

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6. EMPLOYER IDENTIFICATION NUMBER (EIN) or (TIN)*

7. TYPE OF APPLICANT* M: Nonprofit with 501C3 IRS Status (Other than Institution of Higher

Education)

Other (Specify):

Small Business Organization Type ❍ Women Owned ❍ Socially and Economically Disadvantaged

8. TYPE OF APPLICATION* If Revision, mark appropriate box(es).

● New ❍ Resubmission ❍ A. Increase Award ❍ B. Decrease Award ❍ C. Increase Duration

❍ Renewal ❍ Continuation ❍ Revision ❍ D. Decrease Duration ❍ E. Other (specify) :

Is this application being submitted to other agencies?* ❍Yes ●No What other Agencies?

9. NAME OF FEDERAL AGENCY*

National Institutes of Health

10. CATALOG OF FEDERAL DOMESTIC ASSISTANCE NUMBER

TITLE:

11. DESCRIPTIVE TITLE OF APPLICANT'S PROJECT*

Antibody Mediated Mechanisms of Immune Modulation in Tuberculosis

12. PROPOSED PROJECT

Start Date* Ending Date*

04/01/2017 03/31/2022

13. CONGRESSIONAL DISTRICTS OF APPLICANT

MA-008
Contact PD/PI: Lu, Lenette L.

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date:

2016-06-10T09:57:43.000-04:00

SF 424 (R&R) APPLICATION FOR FEDERAL ASSISTANCE Page 2

14. PROJECT DIRECTOR/PRINCIPAL INVESTIGATOR CONTACT INFORMATION

Prefix: First Name*: Lenette Middle Name: L. Last Name*: Lu Suffix: 

Position/Title: Assistant in Medicine/Instructor

Organization Name*: MASSACHUSETTS GENERAL HOSPITAL

Department:

Division: Infectious Diseases

Street1*:

Street2:

City*:

County:

State*:

Province:

Country*: USA: UNITED STATES

ZIP / Postal Code*: 02114-2696

Phone Number*: 216-650-1307 Fax Number: Email*: LLU0@mgh.harvard.edu

15. ESTIMATED PROJECT FUNDING

a. Total Federal Funds Requested* $

b. Total Non-Federal Funds* $0.00

c. Total Federal & Non-Federal Funds* $

d. Estimated Program Income* $0.00

16. IS APPLICATION SUBJECT TO REVIEW BY STATE

EXECUTIVE ORDER 12372 PROCESS?*

a. YES ❍ THIS PREAPPLICATION/APPLICATION WAS MADE

AVAILABLE TO THE STATE EXECUTIVE ORDER 12372

PROCESS FOR REVIEW ON:

DATE:

b. NO ● PROGRAM IS NOT COVERED BY E.O. 12372; OR

❍ PROGRAM HAS NOT BEEN SELECTED BY STATE FOR

REVIEW

17. By signing this application, I certify (1) to the statements contained in the list of certifications* and (2) that the statements herein

are true, complete and accurate to the best of my knowledge. I also provide the required assurances * and agree to comply with

any resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to

criminal, civil, or administrative penalties. (U.S. Code, Title 18, Section 1001)

● I agree*

* The list of certifications and assurances, or an Internet site where you may obtain this list, is contained in the announcement or agency specific instructions.

18. SFLLL or OTHER EXPLANATORY DOCUMENTATION File Name: 

19. AUTHORIZED REPRESENTATIVE

Prefix: First Name*: Harry Middle Name: W. Last Name*: Orf Suffix: Ph.D

Position/Title*: Senior Vice President of Research

Organization Name*: MASSACHUSETTS GENERAL HOSPITAL

Department:

Division:

Street1*:

Street2:

City*:

County:

State*:

Province:

Country*:

ZIP / Postal Code*:

Phone Number*: Fax Number: Email*: 

Signature of Authorized Representative*

Tristienne McCarthy

Date Signed*

06/10/2016

20. PRE-APPLICATION File Name: Mime Type:

21. COVER LETTER ATTACHMENT File Name:FINAL_cover_letter.pdf Mime Type: application/pdf
424 R&R and PHS-398 Specific

Table Of Contents Page Numbers

SF 424 R&R Cover Page----------------------------------------------------------------------------------------- 1

 Table of Contents------------------------------------------------------------------------- 3

Performance Sites--------------------------------------------------------------------------------------------- 4

Research & Related Other Project Information------------------------------------------------------------------ 5

 Project Summary/Abstract(Description)----------------------------------------------------- 6

 Project Narrative------------------------------------------------------------------------- 7

 Bibliography & References Cited----------------------------------------------------------- 8

 Facilities & Other Resources-------------------------------------------------------------- 14

 Equipment--------------------------------------------------------------------------------- 17

Research & Related Senior/Key Person-------------------------------------------------------------------------- 18

Research & Related Budget Year - 1---------------------------------------------------------------------------- 70

Research & Related Budget Year - 2---------------------------------------------------------------------------- 73

Research & Related Budget Year - 3---------------------------------------------------------------------------- 76

Research & Related Budget Year - 4---------------------------------------------------------------------------- 79

Research & Related Budget Year - 5---------------------------------------------------------------------------- 82

Budget Justification------------------------------------------------------------------------------------------ 85

Research & Related Cumulative Budget-------------------------------------------------------------------------- 87

PHS398 Cover Page Supplement---------------------------------------------------------------------------------- 88

PHS 398 Career Development Award------------------------------------------------------------------------------ 90

 Candidate Information and Goals for Career Development------------------------------------ 92

 Specific Aims----------------------------------------------------------------------------- 94

 Research Strategy------------------------------------------------------------------------- 95

 Training in the Responsible Conduct of Research------------------------------------------- 104

 Plans and Statements of Mentor and Co-Mentor(s)------------------------------------------- 105

 Letters of Support from Collaborators,Contributors, and Consultants----------------------- 109

 Description of Institutional Environment-------------------------------------------------- 115

 Institutional Commitment to Candidate's Research Career Development----------------------- 116

 Protection of Human Subjects-------------------------------------------------------------- 117

 Inclusion of Women and Minorities--------------------------------------------------------- 119

 PHS Inclusion Enrollment Report----------------------------------------------------------- 120

 Inclusion of Children--------------------------------------------------------------------- 121

 Resource Sharing-------------------------------------------------------------------------- 122

 Authentication of Key Biological and/or Chemical Resources-------------------------------- 123

Contact PD/PI: Lu, Lenette L.

Table of Contents Page 3
Contact PD/PI: Lu, Lenette L.

OMB Number: 4040-0010

Expiration Date: 06/30/2016

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191. Received Date:

2016-06-10T09:57:43.000-04:00

Project/Performance Site Location(s)

Project/Performance Site Primary Location ❍ I am submitting an application as an individual, and not on behalf of

a company, state, local or tribal government, academia, or other type of

organization.

Organization Name: THE GENERAL HOSPITAL CORP DBA

MASSACHUSETTS GENERAL HOSPITAL

Duns Number:

Street1*:

Street2:

City*:

County:

State*:

Province:

Country*:

Zip / Postal Code*:

Project/Performance Site Congressional District*: MA-008

Project/Performance Site Location 1 ❍ I am submitting an application as an individual, and not on behalf of

a company, state, local or tribal government, academia, or other type of

organization.

Organization Name: Harvard School of Public Health

DUNS Number:

Street1*:

Street2:

City*:

County:

State*:

Province:

Country*:

Zip / Postal Code*:

Project/Performance Site Congressional District*: MA-007

File Name Mime Type

Additional Location(s)

 Page 4
Contact PD/PI: Lu, Lenette L.

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191. Received Date:

2016-06-10T09:57:43.000-04:00

OMB Number: 4040-0001

Expiration Date: 06/30/2016

RESEARCH & RELATED Other Project Information

1. Are Human Subjects Involved?* ● Yes ❍ No

1.a. If YES to Human Subjects

 Is the Project Exempt from Federal regulations? ❍ Yes ● No

If YES, check appropriate exemption number: 1 2 3 4 5 6

If NO, is the IRB review Pending? ● Yes ❍ No

IRB Approval Date:

Human Subject Assurance Number

2. Are Vertebrate Animals Used?* ❍ Yes ● No

2.a. If YES to Vertebrate Animals

Is the IACUC review Pending? ❍ Yes ❍ No

IACUC Approval Date:

Animal Welfare Assurance Number

3. Is proprietary/privileged information included in the application?* ❍ Yes ● No

4.a. Does this project have an actual or potential impact - positive or negative - on the environment?* ❍ Yes ● No

4.b. If yes, please explain:

4.c. If this project has an actual or potential impact on the environment, has an exemption been authorized or an

environmental assessment (EA) or environmental impact statement (EIS) been performed?

❍ Yes ❍ No

4.d. If yes, please explain:

5. Is the research performance site designated, or eligible to be designated, as a historic place?* ❍ Yes ● No

5.a. If yes, please explain:

6. Does this project involve activities outside the United States or partnership with international

collaborators?*

❍ Yes ● No

6.a. If yes, identify countries:

6.b. Optional Explanation:

Filename

7. Project Summary/Abstract* FINAL_Project_Summary.pdf Mime Type: application/pdf

8. Project Narrative* 06072016_FINAL_Project_Narrative.pdf Mime Type: application/pdf

9. Bibliography & References Cited 06102016_Bibliography.pdf Mime Type: application/pdf

10.Facilities & Other Resources FINAL_Facilities_and_Resources.pdfMime Type: application/pdf

11.Equipment FINAL_Equipment.pdf Mime Type: application/pdf

 Page 5
Project Summary/Abstract

This proposal presents a five year research career development program focused on the study of antibody 

mediated immune modulation in tuberculosis to expand the breadth and depth of understanding the role of 

humoral immunity in this disease. The candidate is currently an Instructor of Medicine at Harvard Medical 

School in the Division of Infectious Diseases at the Massachusetts General Hospital. The outlined proposal 

builds on the candidate’s previous research and clinical experience in host pathogen interactions by integrating

two new domains of expertise represented by her mentor team of Drs Sarah Fortune and Galit Alter at the 

Harvard School of Public Health and the Ragon Institute of MGH, MIT and Harvard: tuberculosis and antibody 

mediated mechanisms of innate immune effector functions. The proposed experiments and didactic work will 

position the candidate with a unique set of cross disciplinary skills that will enable her transition to 

independence as a physician scientist in antibody mediated host pathogen interactions in tuberculosis.

One third of the world’s population carries the burden of tuberculosis (TB). Efforts to reduce this burden have 

been hindered by the lack effective diagnostics and a protective vaccine underpinned by gaps in the

understanding of the immune response in TB disease. While cellular immunity is important, the antibody (Ab)

or humoral landscape is poorly understood. Ab function is determined by the combination of antigen specificity 

via the Fab and ability to recruit functional responses via the Fc domain. Ab Fc mediated recruitment of cellular

responses is a promising underexplored potential for immune control. The foundation for this proposal is based 

on preliminary studies evaluating differences in antibody profiles from a systems serological approach in a 

cohort of individuals with latent and active TB that suggest a potential protective role for antibodies in TB 

disease. How exactly antibodies might function in this context and its physiological relevance are questions 

that this proposal begins to address. More specifically, the aims of this proposal are 1: Define the antigen 

specificity of functional M. tuberculosis (Mtb) specific antibodies, 2: Dissect the role for Fc/FcR mediated 

intracellular Mtb restriction and 3: Identify the macrophage effector mechanisms through which Ab restrict 

intracellular Mtb. The scientific objective of this proposal is to begin to define the Ab Fab and Fc features with

the capacity to mediate effector function against intracellular Mtb with the vision of targeted transition into an 

appropriate animal model to generate hypotheses that inform the direction and design of subsequent human 

studies to expand the repertoire for immune correlates/diagnostics and rational vaccine design.

Contact PD/PI: Lu, Lenette L.

Project Summary/Abstract Page 6
Project Narrative

One third of the world’s population carries the burden of tuberculosis. Efforts to reduce this burden have been 

hindered by the lack effective diagnostics and a protective vaccine underpinned by gaps in the understanding 

of the immune response in tuberculosis disease. The proposed research will explore the role of humoral 

immunity in tuberculosis disease with the vision that antibody features may be harnessed to expand the 

repertoire for immune correlates, diagnostics and rational vaccine design.

Contact PD/PI: Lu, Lenette L.

Project Narrative Page 7
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113 Lamkanfi, M. et al. Glyburide inhibits the Cryopyrin/Nalp3 inflammasome. J Cell Biol 187, 61-70, 

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115 Watson, R. O., Manzanillo, P. S. & Cox, J. S. Extracellular M. tuberculosis DNA targets bacteria for 

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References Cited Page 13
Facilities and Resources 

The proposed projects will be conducted at the Ragon Institute of MGH, MIT and Harvard and also the Harvard 

School of Public Health. 

Ragon Institute of MGH, MIT and Harvard 

Laboratory: The Ragon Institute of MGH, MIT and Harvard in Kendall Square, Cambridge, MA and the Section 

of Retroviral Therapeutics in the Partners Research Building, Cambridge, MA, together encompass more than 

80,000 square feet of research and office space. Facilities include BL2+ containment tissue culture rooms with 

adequate laminar flow hood space along with standard tissue culture equipment including incubators, freezers, 

centrifuges, automated cell counters and computer access within the tissue culture room. The laboratory is 

specifically designed to allow the biosafety containment necessary for work with HIV positive specimens and 

cultivation of virus stocks at the BL2+ safety level. There is a clean room for PCR adjacent to the tissue culture 

room and bench space in the open lab available for molecular biology and protein work. Dr Lu has a dedicated 

tissue culture hood for use on this project, along with shared space in the open benches in addition to 

adequate space in incubators, refrigerators, -20 freezers, cold and warm room, and dedicated -80 degree 

and liquid nitrogen storage space. 

Animal: Not applicable 

Computer/Office space: Full computer support for Dr Lu is available; currently she has dedicated access to a 

Macintosh laptop outfitted with both a solid state hard drive for high speed processing of applications and an 

additional spinning hard drive with a terabyte of data storage availability. She has access to the Partners 

Health Care Systems Network with associated secure email service, and access to all Partners and Harvard 

electronic library and research resources. In addition, the Dr Lu has the necessary software for data analysis 

including FloJo, GraphPad, MatLab, Microsoft Office, R, Stata, Cell Profiler and Endnote. The laboratory has 

additional computing resources including a Partners networked computer within the BL2+ lab space for 

protocol access. Dr Lu has a shared office and dedicated desk as well as a phone. There is open access to fax 

and photocopy services, along with administrative assistance. 

Core resources: Dr Lu has access to the core facilities including the flow cytometry core with 3 LSR2 flow 

cytometers and a Fortessa 5 laser cytometer in addition to cell sorting with the BD FACSAria High speed 

sorter. Additional core resources include an AutoMACS for cell separation, BioRad Bioplex 3D, Biacore, an 

AMNIS Imagestream, and CYTOF in addition to a fluorescence microscopy core. Additional equipment 

includes multiple PCR platforms including the Roche LightCycler (2) and Fluidigm. Sequencing, virus 

cultivation and primer synthesis are all available through the core. Illumina NextSeq system is also available. 

Technical support in flow cytometry and imaging is available to the Dr Lu through the core. 

Biosafety Level 3 Facility: Dr Fortune is a Director of the Ragon Institute TB Program. The Ragon Institute 

BSL-3 laboratory is run as a core facility. This is a 2240 square foot state-of-the-art BSL-3 facility, with 

dedicated adjacent bench and BSL-2 space, as well as flexible office space. The BSL3 facility includes six 

biosafety cabinets for tissue culture, an enclosed Aria FACS instrument for live cell sorting, a dedicated 

microscopy room for live cell imaging with a NIKON TiPFFS3 Perfect Focus System Inverted Microscope for 

time lapse imaging, and a vivarium for conventional and BLT humanized mouse models. The microscope 

NIKON TiPFFS3 Perfect Focus System Inverted Microscope is for time lapse imaging. 

Safety: The safety of the BL-2 and BL-3 laboratories is managed by a dedicated biosafety officer. All 

experiments conducted in the BSL3 facility at the Ragon Institute of MGH, MIT and Harvard is per institutional 

protocols approved by the Partners Institutional Biosafety Committee. All work is in compliance with local 

(Cambridge), state and federal regulations, as well as the NIH Guidelines for Research Involving Recombinant 

or Synthetic Nucleic Acid Molecules and the CDC Biosafety in Microbiological and Biomedical Laboratories 

guidance document. All personnel have training covering bloodborne pathogens and biosafety, and will be 

required to demonstrate competency in BSL3 laboratory work before receiving approval for unescorted 

access. All BSL3 personnel will also be required to be medically cleared by the Partners occupational 

medicine department prior to being allowed to access the BSL3 laboratories. 

Contact PD/PI: Lu, Lenette L.

Facilities & Other Resources Page 14
Harvard School of Public Health 

Laboratory: Dr Fortune shares ~2,000 square feet of BL-2 space in the Harvard School of Public Health with 

one other investigator and a BL-3 containment facility with three other investigators. The Fortune lab has the 

following pieces of major equipment: an Illumina MiSeq, a Applied Precision Instruments Deltavision High 

Precision Live Cell Imaging System, a chemostat, PCR machines, a Nanodrop, a BioRad Gel Doc, -80 degree 

C freezers, -20 degree C freezers, tissue and bacterial culture facilities. In addition, the laboratory shares 

access to an ABI Real-Time PCR system, Miltenyi Biotec flow cytometer, fluoresence-activated cell sorter, 

Agilent bioanalyzer, a fluorescent/luminescent plate reader, high performance liquid chromatography systems, 

electron microscope-scanning and transmission, confocal microscopy, autoclaving and dish washing facilities. . 

Dr Lu has a dedicated bench space in addition to adequate space in tissue culture hood, incubators, 

refrigerators, -20 freezers, cold and warm room, and dedicated -80 degree and liquid nitrogen storage space. 

Animal: Not applicable 

Computer/Office space: Full computer support for Dr Lu is available; currently she has dedicated access to a 

PC desktop outfitted with both a solid state hard drive for high speed processing of applications including 

image processing and an additional spinning hard drive with a terabyte of data storage availability. She has 

access to the Harvard Medical School Network with associated image storage and processing services, and 

access to all Partners and Harvard electronic library and research resources. In addition, Dr Lu has the 

necessary software for data analysis including FloJo, GraphPad, MatLab, Microsoft Office, R, Stata, Cell 

Profiler and Endnote. Dr Lu has a dedicated desk. There is open access to fax and photocopy services, along 

with administrative assistance. 

Biosafety Level 3 Facility: The BL-3 is a ~1200 square foot facility that is currently used by four investigators 

for work on M. tuberculosis. The facility is divided into four procedure rooms, an equipment room, an animal 

holding room and an office (with computer and internet access). The facility is maintained under negative 

pressure by dedicated exhaust fans with redundancy to compensate for failure of one or both fans. The 

laboratory processes like HVAC system, vacuum line, gas lines etc are exclusive to the suite. The regular 

power is backed by a generator to supply emergency power. All functions are integrated into the schools 

operation department’s mainframe and are under continuous monitoring both locally and remotely. All systems 

undergo annual checks and certifications. All maintenance work is done by trained and dedicated 

tradesmen/engineers in the Operation’s department. 

Security: The laboratory area is physically secured at three tier system. To enter the school you need ID 

(issued by university). To enter the floor you need swipe access on your ID (Granted by PI). To enter BL3 suite 

you need swipe access on your ID card (issued by Laboratory director/manager). 

Safety: The safety of the BL-2 and BL-3 laboratories is managed by a full time, dedicated biosafety officer. All 

protocols are approved by the Committee on Microbiologic Safety (University’s IBC) and work in the facility is 

overseen by a committee of users and by the BL-3 manager. All investigators undergo intensive training and 

testing before starting work. The training includes knowledge of pathogen/s, risk assessment, risk mitigation, 

PPEs, biosafety, good laboratory practices, evacuation, spill control and clean up, incident reporting and health 

monitoring. All new hires are registered into an occupational health program. This requires initial and annual 

screenings (health and specifically skin test for TB). The laboratory manager/director has more than 10 years 

experience of working and managing BL2 and BL3 laboratories. Most users including manager have post 

graduate degrees in microbiology and are active members of ASM and or ABSA. 

Additional resources 

-Microarray cores are available at a variety of Harvard associated facilities with associated support services: 

Harvard Partners Center for Genetics and Genomics/ Partners HealthCare Center for Personalized Genetic 

Medicine Microarray Facility, Microarray Core Facility at Dana Farber Cancer Center. 

-Statistical support is available at Massachusetts General Biostatistics Core supported by Harvard Catalyst. 

Contact PD/PI: Lu, Lenette L.

Facilities & Other Resources Page 15
-High throughput imaging facilities are available at the Department of Systems Biology at Harvard Medical 

School, the Physical Property Measure System (PPMS) for the Laboratory of Systems Pharmacology with both 

live and fixed cell Operetta High-Content Imaging Systems. 

-CellProfiler image analysis platform and support is available at the Broad Institute at MIT. 

Contact PD/PI: Lu, Lenette L.

Facilities & Other Resources Page 16
Equipment 

Ragon Institute of MGH, MIT and Harvard 

Equipment available include Laminar Flow Hoods (80), Fume Hood (6), Inverted Microscopes (13), 

Microcentrifuge (10) ABI 3130xl Automated Sequencer, BD FACS Calibur Flow Cytometer, BD LSR 2 Flow 

Cytometer (3), BD FACSAria High Speed Cell Sorter, BD Fortessa 5 laser flow cytometer, C.T.L ELISPOT 

reader, SUNRISE TECKAN– p24 reader (2) Nucleocounters (7), LN2 Storage Freezers (16), AMNIS 

Imagestream, CYTOF, Perkin Elmer Thermal Cycler (4), Tissue Culture Incubators (100), Sequencing Power 

Pack and Gel Apparatus, TopCount Beta Plate Reader (1), Beckman Centrifuges (12) Beckman Table top 

Ultracentrifuge (1), Thermo floor ultracentrifuges (3), -80oC Freezers (30), AID ELISpot Reader System, 

Stratagene Mx3000P qPCR machine (2) BioSource Luminex platform, MJ Research PTC-200 PCR Machine 

(3), LUMINEX- BIOPLEX200 system, BioRad BioPlex 3D system, ZEISS LSM510 Microscope, ZEISS MIRAX 

MIDI Slide Scanner, ZEISS AXIO OBSERVER Microscope, ZEISS A1 Microscope, TissueFAXS Slide 

Scanning Microscope, Leica RM2205 cryostat, Dako Slide hybridizer, GS Junior, Qiaxtractor, Agilent 

Bionanalyzer 2100, Viia7, Roche LightCycler 96 well, Roche LightCycler 384 well, Nanodrop 8000, Applied 

Biosystems 9800, Fluidigm. 

The Ragon BSL3 facility contains an enclosed Aria FACS instrument for live cell sorting and a NIKON TiPFFS3 

Perfect Focus System Inverted Microscope with Cellasic fluidic system for live cell imaging, 8 biosafety hoods, 

CO2 incubators, 37 oC incubators and shakers, centrifuges, microscopes, stomachers, 2 autoclaves, an 

aerobiology suite with aerosol machine for mice infection, refrigerators, -80 0C freezers and a cryostat. The 

BSCs are certified biannually and rest of the equipment is certified annually. All equipment is backed by 

emergency power. There is written SOP for each equipment use and maintenance. The maintenance is 

performed after decontamination of the equipment. 

Harvard School of Public Health 

Dr. Sarah Fortune has access to the following: The BSL-2 laboratory is equipped with a fume hood, 7 biosafety 

hoods, CO2 incubators, a 4 oC cold room, a –20 °C freezer room, a 37 °C warm room, refrigerated centrifuges, 

incubators and shakers for bacterial cultures, microscopes, electrophoretic equipment, thermocyclers, 

hybridization oven, UV multilinker, spectrophotometer, vacufuge, sonicator, polytron, gel and 

chemiluminescence documentation system, automated microarray hybridization station, microarray scanner 

and real-time PCR machine. In addition, the laboratory has an Illumina MiSeq, a Applied Precision Instruments 

Deltavision High Precision Live Cell Imaging System, a chemostat, a Nanodrop, an ABI Real- Time PCR 

system, Miltenyi Biotec flow cytometer, fluoresence-activated cell sorter, Agilent bioanalyzer, a 

fluorescent/luminescent plate reader, high performance liquid chromatography systems, electron microscopescanning and transmission, confocal microscopy, autoclaving and dish washing facilities. 

The Harvard School of Public Health BSL-3 facility contains 6 biosafety hoods, CO2 incubators, 37 oC warm 

room and shakers, centrifuges, microscopes, stomachers, 2 autoclaves, an aerobiology suite with aerosol 

machine for mice infection, refrigerators, -80 0C freezers and a cryostat. The BSCs are certified biannually and 

rest of the equipment is certified annually. All equipment is backed by emergency power. There is written SOP 

for each equipment use and maintenance. The maintenance is performed after decontamination of the 

equipment. 

Additional resources include: 

-Microarray cores are available at a variety of Harvard associated facilities with associated support services: 

Harvard Partners Center for Genetics and Genomics/ Partners HealthCare Center for Personalized Genetic 

Medicine Microarray Facility, Microarray Core Facility at Dana Farber Cancer Center. 

-Statistical support is available at Massachusetts General Biostatistics Core supported by Harvard Catalyst. 

-High throughput imaging facilities are available at the Department of Systems Biology at Harvard Medical 

School, the Physical Property Measure System (PPMS) for the Laboratory of Systems Pharmacology with both 

live and fixed cell Operetta High-Content Imaging Systems. 

-CellProfiler image analysis platform and support is available at the Broad Institute at MIT. 

Contact PD/PI: Lu, Lenette L.

Equipment Page 17
Contact PD/PI: Lu, Lenette L.

OMB Number: 4040-0001

Expiration Date: 06/30/2016

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date:

2016-06-10T09:57:43.000-04:00

RESEARCH & RELATED Senior/Key Person Profile (Expanded)

PROFILE - Project Director/Principal Investigator

Prefix:  First Name*: Lenette Middle Name L. Last Name*: Lu Suffix: 

Position/Title*: Assistant in Medicine/Instructor

Organization Name*: MASSACHUSETTS GENERAL HOSPITAL

Department:

Division: Infectious Diseases

Street1*:

Street2:

City*:

County:

State*:

Province:

Country*:

Zip / Postal Code*:

Phone

Number*: 

Fax Number:  E-Mail*: 

Credential, e.g., agency login: 

Project Role*:  PD/PI Other Project Role Category: 

Degree Type:  MD, PhD Degree Year: 

File Name Mime Type

Attach Biographical Sketch*: FINAL_Lenette_Lu_Biosketch.pdf application/pdf

Attach Current & Pending Support:

 Page 18
Contact PD/PI: Lu, Lenette L.

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date:

2016-06-10T09:57:43.000-04:00

PROFILE - Senior/Key Person

Prefix:  First Name*: SARAH Middle Name  Last Name*: FORTUNE Suffix: M.D.

Position/Title*: Assistant Professor

Organization Name*: Harvard School of Public Health

Department: IMMUNOLOGY & INFECTIOUS DISEAS

Division:

Street1*:

Street2:

City*:

County:

State*:

Province:

Country*:

Zip / Postal Code*:

Phone Number*:  Fax Number:  E-Mail*: 

Credential, e.g., agency login: 

Project Role*:  Other Professional Other Project Role Category: Mentor

Degree Type:  MD Degree Year: 

File Name Mime Type

Attach Biographical Sketch*: FINAL_Sarah_Fortune_Biosketch.pdf application/pdf

Attach Current & Pending Support: FINAL_Fortune_Support.pdf application/pdf

PROFILE - Senior/Key Person

Prefix:  First Name*: GALIT Middle Name  Last Name*: ALTER Suffix: 

Position/Title*: Associate Professor of Medicine

Organization Name*: MASSACHUSETTS GENERAL HOSPITAL

Department: Ragon Institute of MGH, MIT &

Division:

Street1*:

Street2:

City*:

County:

State*:

Province:

Country*:

Zip / Postal Code*:

Phone

Number*: 

Fax Number:  E-Mail*: 

Credential, e.g., agency login: 

Project Role*:  Other Professional Other Project Role Category: Co-Mentor

Degree Type:  PHD,BSC Degree Year: 

File Name Mime Type

Attach Biographical Sketch*: FINAL_Galit_Alter_Biosketch.pdf application/pdf

Attach Current & Pending Support: FINAL_Alter_Support.pdf application/pdf

 Page 19
Contact PD/PI: Lu, Lenette L.

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date:

2016-06-10T09:57:43.000-04:00

PROFILE - Senior/Key Person

Prefix:  First Name*: Facundo Middle Name  Last Name*: Batista Suffix: 

Position/Title*: Associate Director

Organization Name*: Massachusetts General Hospital

Department: Ragon Institute of MGH, MIT &

Division:

Street1*:

Street2:

City*:

County:

State*:

Province:

Country*:

Zip / Postal Code*:

Phone Number*:  Fax Number:  E-Mail*: 

Credential, e.g., agency login: 

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File Name Mime Type

Attach Biographical Sketch*: 06072016_Batista_Biosketch_LL_.pdf application/pdf

Attach Current & Pending Support:

PROFILE - Senior/Key Person

Prefix:  First Name*: Douglas Middle Name  Last Name*: Hayden Suffix: Ph.D

Position/Title*: Assistant Professor of Medicine

Organization Name*: MASSACHUSETTS GENERAL HOSPITAL

Department: MGH Biostatistics Center

Division:

Street1*:

Street2:

City*:

County:

State*:

Province:

Country*:

Zip / Postal Code*:

Phone Number*:  Fax Number:  E-Mail*: 

Credential, e.g., agency login: 

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Contact PD/PI: Lu, Lenette L.

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date:

2016-06-10T09:57:43.000-04:00

PROFILE - Senior/Key Person

Prefix:  First Name*: Akiko Middle Name  Last Name*: Iwasaki Suffix: 

Position/Title*: Professor

Organization Name*: Yale University School of Medicine

Department:

Division:

Street1*:

Street2:

City*:

County:

State*:

Province:

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Zip / Postal Code*:

Phone Number*:  Fax Number:  E-Mail*: 

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Degree Type:  PHD Degree Year: 

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Attach Biographical Sketch*: 06072016_FINAL_Akiko_Iwasaki_Biosketch.pdf application/pdf

Attach Current & Pending Support:

PROFILE - Senior/Key Person

Prefix:  First Name*: Falk Middle Name  Last Name*: Nimmerjahn Suffix: 

Position/Title*: Professor of Immunology and Genetics

Organization Name*: Friedrich-Alexander University Erlangen-Nurenberg

Department: Biology

Division:

Street1*:

Street2:

City*:

County:

State*:

Province:

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Zip / Postal Code*:

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Contact PD/PI: Lu, Lenette L.

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date:

2016-06-10T09:57:43.000-04:00

PROFILE - Senior/Key Person

Prefix:  First Name*: Blanca Middle Name  Last Name*: Restrepo Suffix: Ph.D

Position/Title*: Associate Professor

Organization Name*: The University of Texas

Department: School of Public Health

Division:

Street1*:

Street2:

City*:

County:

State*:

Province:

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Zip / Postal Code*:

Phone Number*:  Fax Number:  E-Mail*: 

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Degree Type:  Degree Year: 

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Attach Biographical Sketch*: Final_Blanca_Restrepo_Biosketch.pdf aplication/pdf

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PROFILE - Senior/Key Person

Prefix:  First Name*: Eric Middle Name  Last Name*: Rubin Suffix: 

Position/Title*: Professor of Immunology and Infectious Diseas

Organization Name*: Harvard School of Public Health

Department:

Division:

Street1*:

Street2:

City*:

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Province:

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Zip / Postal Code*:

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Number*: 

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 Page 22
Contact PD/PI: Lu, Lenette L.

OMB No. 0925-0001 and 0925-0002 (Rev. 10/15 Approved Through 10/31/2018)

BIOGRAPHICAL SKETCH

Provide the follow ing information for the Senior/key personnel and other significant contributors.

Follow this format for each person. DO NOT EXCEED FIVE PAGES.

NAME: Lu, Lenette

eRA COMMONS USER NAME (credential, e.g., agency login): 

POSITION TITLE: Assistant in Medicine/Instructor

EDUCATION/TRAINING (Begin with baccalaureate or other initial professional education, such as nursing,

include postdoctoral training and residency training if applicable.)

INSTITUTION AND LOCATION DEGREE

(if applicable)

Completion

Date 

MM/YYYY

FIELD OF

STUDY

Swarthmore College, Swarthmore, Pennsylvania BA 05/2002 Biology and

Asian Studies

Case Western Reserve University School of Medicine,

Cleveland, Ohio MD 06/2010 Medicine

Case Western Reserve University School of Medicine,

Cleveland, Ohio PHD 06/2010 MolecularVirology

New York Presbyterian-Weill Cornell, New York, New York Resident 06/2013 Internal

Medicine

Massachusetts General Hospital and Brigham and

Women's Hospital, Boston, Massachusetts Fellow 07/2015

Infectious

Disease clinical

fellowship

A. Personal Statement

My research is focused on host-pathogen interactions, more specifically the role of humoral immunity in

tuberculosis infection. My initial work as a postdoctoral fellow characterized divergent humoral profiles in

patients with different disease states that hint at a protective role for antibodies. However, the

mechanisms of action within macrophages for bacterial restriction and other innate immune cells remain

to be elucidated. My overall research goal is to define and dissect the effector cellular pathways and

immune repertoire of antibody Fc mediated protection with the vision that robust Fc features may be

harnessed to expand the repertoire for immune correlates for critically needed improved diagnostics and

next generation vaccine design to address the global burden of tuberculosis disease.

1. Lu LL, Chung AW, Rosebrock TR, Yu W, Ghebremichael M, Schoen MK, Mahan AE, Draghi M, Sips

M, Kumar M, Tedesco J, Robinson H, Tkachenko E, Freedberg KJ, Tafesse F, Martin C,

Lauffenburger D, Day C, Restrepo B, Fortune S, Alter G. Unique functional antibody profiles in

active and latent tuberculosis infection. Keystone Symposia: Tuberculosis Co-Morbidities and

Immunopathogenesis; 2016; Keystone, CO.

B. Positions and Honors

Positions and Employment

2010 - 2011 Intern, New York Presbyterian-Weill Cornell, New York, NY

2011 - 2013 Resident, New York Presbyterian- Weill Cornell, New York, NY

2013 - 2015 Clinical and Research Fellow, Massachusetts General Hospital and Brigham and

Women's Hospital, Boston

2014 - Postdoctoral Research Fellow, Harvard School of Public Health, Boston, MA

2015 - Teachers Assistant- Medical Microbiology, graduate student section leader, Harvard

University Extension School, Cambridge, MA

Biosketches Page 23
2015 - Assistant in Medicine/Instructor, Massachusetts General Hospital/Harvard Medical School,

Boston, MA

Other Experience and Professional Memberships

2006 - 2007 Associate Member, American Society of Virology

2008 - Associate Member, American College of Physicians

2013 - Member in training, Infectious Disease Society of America

2013 - Member, Massachusetts Medical Society

2014 - Trainee Member, American Association of Immunologists

Honors

2000 Nomination, Sigma Xi

2002 High Honors in Honors Program, Swarthmore College

2008 AAAS/Science Program for Excellence in Science, Case Western Reserve University

School of Medicine

2008 ShowCASE Grand Prize Poster Award, Case Western Reserve University School of

Medicine

C. Contribution to Science

1. Cell cycle regulation of DNA replication in Saccharomyces cerevisiae

My undergraduate research under the mentorship of Elizabeth Vallen in the Biology Honors Program

focused on cell cycle regulation in Saccharomyces cerevisiae, specifically protein-protein interactions

of Sid2p, a protein required for DNA replication. Cyclin-dependent kinase inhibitors are important in the

maintenance of genome integrity and frequently mutated in human cancers. In a screen for genes that

interact with the cyclin dependent kinase inhibitor Sic1, the novel gene SID2 was identified. I helped

characterize its essential functions in DNA replication and repair, specifically using field inversion gel

electrophoresis to look for replication forks and bubbles in mutant strains. To assess protein-protein

interactions that might elucidate mechanism, I used the yeast two hybrid system to conduct a screen

looking for novel interacting partners from a library and to address specific hypotheses predicted from

Saccharomyces pombe homologs. I found that although SID2 is an ortholog of more functionally

characterized S. pombe genes, the specific mechanisms underlying its role in DNA replication may

diverge.

a. Jacobson MD, Muñoz CX, Knox KS, Williams BE, Lu LL, Cross FR, Vallen EA. Mutations in SID2,

a novel gene in Saccharomyces cerevisiae, cause synthetic lethality with sic1 deletion and may

cause a defect during S phase. Genetics. 2001 Sep;159(1):17-33. PubMed PMID: 11560884;

PubMed Central PMCID: PMC1461789.

2. dsRNA Signaling in Innate Immunity and Viral Inhibition

My graduate work under the mentorship of Ganes Sen focused on host pathogen interactions in the

setting of virus infection and innate immune responses. dsRNA is a molecular pattern associated viral

infections that activate transcription factors such as interferon regulatory factor 3 (IRF3) to mediate

the expression of interferon stimulated genes that can prevent viral replication. To dissect the complex

regulation of IRF3, I constructed a cell survival assay to identify both activators and inhibitors of

signaling and found that V proteins encoded by select RNA Paramyxoviridae viruses could inhibit IRF3

activation. The mechanism underlying this phenomenon I elucidated to involve V proteins acting as

alternative substrates for the IRF3 kinases inhibitor of κ B kinase epsilon (IKKe) and TANK binding

kinase (TBK1). I extended this approach to the DNA viruses cytomegalovirus and murine

gammaherpesvirus 68 and identified additional novel open reading frames that could inhibit IRF3

activation in a distinctly different manner. This work argues for dynamic host-pathogen relationships in

the evolutionary arms race of molecular interactions that lie central to the pathogenesis of disease and

Contact PD/PI: Lu, Lenette L.

Biosketches Page 24
ultimately, prevention and cure.

a. Lu LL, Puri M, Horvath CM, Sen GC. Select paramyxoviral V proteins inhibit IRF3 activation by

acting as alternative substrates for inhibitor of kappaB kinase epsilon (IKKe)/TBK1. J Biol Chem.

2008 May 23;283(21):14269-76. PubMed PMID: 18362155; PubMed Central PMCID:

PMC2386944.

3. Clinical infectious disease

My clinical training in infectious diseases has led to several publications on clinical presentation,

diagnosis and management of infections.

a. Lu LL, Weil AW, Wiederhold N, Sutton DA, Chesnut L, Lindner J, Fan H, Tingpej B, El-Khoury J,

Kwon DS. Probable case of Cephalotheca foveolata bloodstream infection. JMM Case Reports.

2015 January 08;

b. Lu L, Milner D. Diagnostic Pathology: Infectious Diseases. 1st ed. Philadelphia, PA: Elsevier;

2015. Anaplasmosis and Ehrlichiosis; p.II-1-2.

c. Lu L, Milner D. Diagnostic Pathology: Infectious Diseases. Philadelphia, PA: Elsevier; 2015.

Babesiosis; p.IV-1-22.

d. Pecora N, Lu L. Diagnostic Pathology: Infectious Diseases. Philadelphia, PA: Elsevier; 2015.

Primary Gram-Negative Respiratory Pathogen Infections; p.II-2-40.

D. Research Support

Ongoing Research Support

MULTIDISCIPLINARY AIDS TRAINING PROGRAM

Role: TA

2T32AI007387, NIH Kuritzkes, Daniel (PI) 08/01/90-01/07/20

Contact PD/PI: Lu, Lenette L.

Biosketches Page 25
BIOGRAPHICAL SKETCH 

Provide the following information for the Senior/key personnel and other significant contributors. 

Follow this format for each person. DO NOT EXCEED FIVE PAGES.

NAME: Sarah M. Fortune

eRA COMMONS USER NAME (credential, e.g., agency login): 

POSITION TITLE: Professor of Immunology and Infectious Diseases, Harvard School of Public Health

EDUCATION/TRAINING (Begin with baccalaureate or other initial professional education, such as nursing, 

include postdoctoral training and residency training if applicable. Add/delete rows as necessary.)

INSTITUTION AND LOCATION 

DEGREE 

(if 

applicable) 

Completion 

Date 

MM/YYYY 

FIELD OF STUDY 

Yale University 

Columbia University College of Physicians & 

Surgeons 

Brigham & Women’s Hospital, Dept. of Medicine 

Massachusetts General Hospital & Brigham 

Women’s Hospital, Division of Infectious Diseases 

BS 

MD 

1990 

1996 

2000 

2001 

Biology 

Medicine 

Internship/Residency 

Clinical Fellowship 

A. Personal Statement. My laboratory focuses on the molecular basis of population heterogeneity in 

Mycobacterium tuberculosis (Mtb) and the extent to which differences between mycobacterial cells contribute 

to differences in disease and treatment outcomes. We use high density whole genome sequencing, RNAseq 

and quantitative live cell imaging to define the molecular mechanisms by which Mtb generates diversity and 

how this diversity enables the bacterium to survive subsequent selective forces including antibiotics and 

immune selection. My work engages a broad network of collaborators including experts in technologies to 

assess single cell behavior at MIT and MGH, experts in sequencing methodologies at the Broad Institute and 

experts in human immunology at the Ragon Institute, where I am the Director of the TB Program. Lenette’s 

K08 proposal provides a unique perspective that complements and builds on my current approaches to define 

the mechanisms underlying heterogeneity in tuberculosis disease and treatment outcomes. 

B. Positions and Honors. 

Positions and Employment

1990 – 1991 Researcher, Memorial Sloan Kettering Cancer Center, Laboratory of Dr. Robert DeLotto, 

New York City NY, USA 

1991 – 1993 Researcher, Columbia University College of Physicians & Surgeons, Laboratory of Dr. Seth 

Lederman, New York City NY, USA 

1996 –1997 Researcher, Wellcome Trust Clinical Research Unit, Ho Chi Minh City, Vietnam 

2001 – 2006 Research Associate, Harvard School of Public Health, Boston, MA, USA 

2006 – 2012 Assistant Professor of Immunology and Infectious Diseases, Harvard School of Public 

Health, Boston, MA, USA 

2011 – Present Associate Member, Broad Institute 

2011 – Present Associate Member, Ragon Institute; Director of the Ragon Institute TB Program 

2012 – 2015 Associate Professor of Immunology and Infectious Diseases, Harvard T.H. Chan School of 

Public Health, Boston, MA, USA 

2015 – Present Professor of Immunology and Infectious Diseases, Harvard T.H. Chan School of Public 

Health, Boston, MA, USA 

Honors

1989 Yale Community Service Award 

1990 Phi Beta Kappa 

1993 Howard Hughes Medical Student Research Fellowship 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 26
1994 Howard Hughes Medical Student Fellowship for Return to Medical Studies 

1996 Alpha Omega Alpha 

2001 Harvard Medical School Teaching Award for Residents in Internal Medicine 

2004 The Maxwell Finland Award, Massachusetts Infectious Disease Society 

2007 Howard Hughes Medical Institute Early Career Award 

2007 New Innovator Award from the National Institutes of Health 

2010 PopTech Science and Public Leadership Fellow 

2010 Doris Duke Clinical Scientist Development Award 

2012 Burroughs Wellcome Foundation Investigator in the Pathogenesis of Infectious Diseases 

2012 Melvin J. and Geraldine L. Glimcher Associate Professorship of Biological Sciences 

2013 Alice B. Hamilton Award, Harvard School of Public Health 

2013 Diane Taylor Lecturer in Microbiology, University of Alberta 

C. Contribution to Science

Mechanisms and consequences of genetic variation in Mycobacterium tuberculosis. In many 

infections, pathogens genetically diversify to escape clearance by the immune system or antibiotics. Mtb was 

predicted to have limited capacity for genetic diversification during infection because it replicates so slowly in 

vivo. However, Mtb rapidly acquires de novo mutations leading to multidrug resistance. My laboratory has 

elucidated both the dynamics and mechanisms of mutation in vivo working in both the nonhuman primate 

model developed by Dr. JoAnne Flynn, in human transmission chains and at the molecular level. We have 

shown that Mtb acquires genetic diversity in a time as opposed to replication dependent fashion. To 

understand these findings, we have sought to define the molecular determinants of both time and replication 

dependent mutation Mtb. 

1. Ford CB, Lin PL, Chase MR, Shah RR, Iartchouk O, Galagan JE, Ioerger TR, Mohaideen N, Sacchettini J, 

Lipsitch M, Flynn JL and Fortune SM. Use of whole genome sequencing to estimate the mutation rate of 

Mycobacterium tuberculosis during latent infection. Nature Genetics. 2011 May; 43(5):482-6. Epub 2011 

Apr 24. PMCID: PMC3101871. 

2. Ford CB, Shah RR, Kato-Maeda M, Gagneux S, Murray MB, Cohen T, Johnston JC, Gardy J, Lipsitch M, 

Fortune SM. Mycobacterium tuberculosis mutation rate estimates from different lineages predict 

substantial differences in the emergence of drug resistant tuberculosis. Nature Genetics, Epub 2013 Jun, 

PMCID: PMC3777616. 

3. Rock JR*, Lang UF*, Chase MR, Ford CB, Gerrick ER, Gawande R, Coscolla M, Gagneux S, Fortune SM*, 

Lamers MH* (*co-first, co-corresponding authors). Replication fidelity in Mtb is mediated by an ancestral 

prokaryotic proofreader. Nature Genetics, 2015 Apr 20. doi: 10.1038/ng.3269. PubMed PMID: 25894501. 

PMCID: PMC4449270. 

Mechanisms and consequences of phenotypic variation in Mtb. In eukaryotes, there are multiple 

epigenetic mechanisms by which heritable phenotypic diversity is maintained. It is unclear how prokaryotes 

create and maintain phenotypic diversity except through genetic mechanisms. My laboratory has elucidated 

the mechanisms and biologic relevance of both epigenetically regulated variation and high frequency variation 

created through asymmetric growth and division of the mycobacterial cell. Our data suggest that there are 

multiple mechanisms by which bacterial cells phenotypically diversify, creating phenotypically distinct 

subpopulations of different sizes and stabilities and with different sensitivities to drug. 

1. Aldridge BB, Fernandez-Suarez M, Heller D, Ambravaneswaran V, Irimia D, Toner M, Fortune SM. 

Asymmetry and aging of mycobacterial cells leads to variable growth rates and antibiotic susceptibility, 

Science, 2012 Jan 6;335(6064):100-4. Epub 2011 Dec 15. PMCID: PMC3397429. 

2. Shell SS, Prestwich EG, Baek SH, Shah RR, Sassetti CM, Dedon PC and Fortune SM. DNA methylation 

regulates gene expression and enhances hypoxic survival of Mycobacterium tuberculosis. PLoS Pathogens, 

2013, Jul;9(7):e1003419. PMCID: PMC3701705. 

3. Shell SS, Wang J, Lapierre P, Mir M, Chase MR, Pyle MM, Gawande R, Ahmad R, Sarracino DA, Ioerger 

TR, Fortune SM, Derbyshire KM, Wade JT, Gray TA. Leaderless Transcripts and Small Proteins Are 

Common Features of the Mycobacterial Translational Landscape. PLoS Genetics. 2015 Nov 

4;11(11):e1005641. doi: 10.1371/journal.pgen.1005641. eCollection 2015 Nov. PMCID: PMC4633059

Within host variability in TB infection outcome: uncommon events predict clinical disease. A third of 

the world’s population is infected with Mtb yet only 10% of these individuals will develop clinical disease. Here 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 27
we sought to define determinants of the variable outcome of Mtb infection in the nonhuman primate model, the 

only animal model that recapitulates the variability of human TB. In collaboration with Dr. JoAnne Flynn, who 

developed the macaque model, we showed that infection is highly geographic. We demonstrated that each 

lesion arises from a single bacterium and follow the same early course with the same extent of bacterial 

growth. After the onset of adaptive immunity, however, differences emerge. In all animals, most lesions are 

actually fully resolved. In animals that develop active TB, one site of infection progresses despite the fact that 

the host response is broadly able to control infection at other sites in the same animal. These findings imply 

that disease progression is an uncommon event and that we need to understand this rare event to understand 

how to protect against disease. 

1. Lin PL, Ford CB, Coleman MT, Myers AJ, Gawande R, Ioerger T, Sacchettini J, Fortune SM*, Flynn JL* (cocorresponding authors). Sterilization of granulomas is common in both active and latent tuberculosis despite 

extensive within-host variability in bacterial killing. Nature Medicine, 2014, Jan;20(1):75-9. PMCID: 

PMC3947310. 

2. Gideon HP, Phuah JY, Myers AJ, Bryson BD, Rodgers MA, Coleman MT, Maiello P, Rutledge T, Marino S, 

Fortune S, Kirschner DE, Lin PL, Flynn JL. Variability in tuberculosis granuloma T cell responses exists, but 

a balance of pro- and anti-inflammatory cytokines is associated with sterilization. PLoS Pathogens. 2015 Jan 

22;11(1):e1004603. doi: 10.1371/journal.ppat.1004603. eCollection 2015 Jan. PMCID: PMC4303275. 

Alternative paradigm for the role of the ESX1 secretion system in virulence: Many lines of evidence point 

to the central importance of a specialized secretion system, called ESX1, in mycobacterial virulence. It has 

emerged repeatedly as the critical determinant of Mtb’s ability to survive in vivo. However, we do not 

understand its function. It has been widely speculated that ESX1 functions to secrete a pore-forming toxin. 

We have analyzed ESX1 function through a genetic and proteomic approaches, demonstrating that ESX1 

secretory function per se is not required for virulence. Rather, we find that ESX1 has a homeostatic role in cell 

wall integrity and that mutants that perturb ESX1’s cell wall function are attenuated for virulence, leading to an 

alternative paradigm for the role of ESX1 in virulence. 

1. Fortune SM, Jaeger A, Sarracino DA, Chase MR, Sassetti CM, Sherman DR, Bloom BR and Rubin EJ. 

Mutually-dependent secretion of proteins required for mycobacterial virulence. Proc Natl Acad Sci U S A, 

2005 Jul 26;102(30):10676-81. PMCID: PMC1176248. 

2. Garces A, Atmakuri K, Chase MR, Woodworth JS, Krastins B, Rothchild AC, Ramsdell TL, Lopez MF, 

Behar SM, Sarracino DA, Fortune SM. EspA acts as a critical mediator of ESX1-dependent virulence in 

Mycobacterium tuberculosis by affecting bacterial cell wall integrity. PLoS Pathogens. 2010 Jun 24; 

6(6):e1000957. PMCID: PMC2891827. 

3. Wirth SE, Krywy JA, Aldridge B, Fortune SM, Fernandez-Suarez M, Gray TA, Derbyshire SM. Polar 

assembly and scaffolding of the virulence associated ESX-1 secretory apparatus in mycobacteria, Mol 

Micro, 2012 Feb;83(3):654-64. PMCID: PMC3277861. 

4. Ramsdell TL*, Huppert LA*, Sysoeva TA, Fortune SM*, Burton BM* (*co-first, co-corresponding authors). 

Linked Domain, Architectures Allow for Specialization of Function in the FtsK/SpoIIIE ATPases of ESX 

Secretion Systems. J Mol Biol. 2014 Jun 27. pii: S0022-2836(14)00306-4. doi: 10.1016/j.jmb.2014.06.013. 

PMCID: PMC4277743.

Translating bench science into new tools. The tools that we need to stop the TB epidemic are deceptively 

simple--drugs that shorten treatment, cheap and rapid diagnostics and a vaccine that blocks transmission. I 

have undertaken research collaborations specifically towards these goals including collaborations to develop a 

human-challenge model of TB, to build high-resolution molecular tools for the nonhuman primate low-dose 

challenge model being developed for TB vaccine testing and to develop a point-of-care diagnostic for TB. 

1. Liong M, Fernandez-Suarez M, Issadore D, Min C, Tassa C, Reiner T, Fortune SM, Toner M, Lee H, 

Weissleder R. Specific pathogen detection using bioorthogonal chemistry and diagnostic magnetic 

resonance. Bioconjug Chem. 2011 Dec 21;22(12):2390-4. doi: 10.1021/bc200490r. Epub 2011 Nov 7. 

PubMed PMID: 22043803; PubMed Central PMCID: PMC3263317 

2. Liong M, Hoang AN, Chung J, Gural N, Ford CB, Min C, Shah RR, Ahmad R, Fernandez-Suarez M, 

Fortune SM, Toner M, Lee H, Weissleder R. Magnetic barcode assay for genetic detection of pathogens. 

Nature Communications, 2013 Apr 23: 41752. PMCID: PMC3635151. 

3. Ma S, Bryson BD, Sun C, Fortune SM, Lu C. RNA Extraction from a Mycobacterium under Ultrahigh 

Electric Field Intensity in a Microfluidic Device. Anal Chem. 2016 May 17;88(10):5053-7. doi: 

10.1021/acs.analchem.6b00381. Epub 2016 Apr 27. PMCID: PMC4872636 [Available on 2017-04-15] 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 28
 URL to complete bibliography: 

http://www.ncbi.nlm.nih.gov/sites/myncbi/1zWMixfTHHl5z/bibliography/49099123/public/?sort=date&directi

on=ascending. 

D. Research Support 

Ongoing Research Support

 

 

 

 

 

R01 AI097191-04 (Derbyshire, K.) 05/15/12-04/30/17 

NIH 

A Community Mycobacterial Systems Resource 

The major goal of this project is to study the phenotypes of Mycobacterium smegmatis mutants. 

Role: Subcontract Principal Investigator 

No Award No. (Walker, B.) 07/01/15-06/30/17 

Ragon Institute of MGH, MIT, and Harvard 

Engineering a model of transmitted M. tuberculosis 

We propose to develop a droplet based system to reproducibly capture individual Mtb cells delivery as an 

inocula in nonhuman primate (NHP) infections. 

Role: Subcontract Principal Investigator 

 

 

 

 

U19 AI107774-03 (Rubin, E.) 07/02/13-06/30/18 

NIH/NIAID 

Decoding the roles of critical genes of unknown function in M. tuberculosis 

The major goal of this project is to experimentally define the roles of genes. We will concentrate on a 

particularly important class: those that are required for the optimal growth of M. tuberculosis. 

Role: Co-Investigator 

 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 29
 

U19 AI109755-02 (Murray, M.) 03/01/14-02/28/19 

NIH/NIAID 

CETR: Discovery and validation of drug resistance mutations 

The goal of this project is to identify and validate which of the resistance-associated mutations are causally 

connected to either high-level drug resistance or an increased risk of developing resistance. 

Role: Subcontract Principal Investigator 

 

R01 AI111871-02 (Lin, P.) 03/01/14-02/28/19 

NIH/NIAID 

HIV-TB Co-infection: Tracking TB emergence after asymptomatic (latent) infection 

The goal of this project is to use new molecular tools in the nonhuman primate model of tuberculosis to 

establish infection dynamics in the presence and absence of SIV infection. 

Role: Subcontract Principal Investigator 

P30 AI060354-12 (Walker, B.) 08/01/14-07/31/19 

NIH/NIAID 

HU CFAR (Center for AIDS Research) 

Harvard University Center for AIDS Research: Core B Developmental Core 

The goal of this Core is to promote HIV/AIDS research activities at Harvard University. 

Role: Subcontract Principal Investigator 

R01 AI114674-01 (Fortune, S. and Flynn, J.) 07/01/15-12/31/19 

NIH/NIAID 

The Consequences of Reinfection with M. tuberculosis 

The Fortune lab will be responsible for the proposed studies to generate tagged libraries of various M. 

tuberculosis strains as proposed in Aims 1 and 3. 

Role: Principal Investigator 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 30
BIOGRAPHICAL SKETCH 

Provide the following information for the Senior/key personnel and other significant contributors. 

Follow this format for each person. DO NOT EXCEED FIVE PAGES.

NAME: Alter, Galit

eRA COMMONS USER NAME (credential, e.g., agency login): 

POSITION TITLE: Associate Professor in Medicine

EDUCATION/TRAINING (Begin with baccalaureate or other initial professional education, such as nursing, 

include postdoctoral training and residency training if applicable. Add/delete rows as necessary.)

INSTITUTION AND LOCATION 

DEGREE 

(if 

applicable) 

Completion 

Date 

MM/YYYY 

FIELD OF STUDY 

McGill University, Montreal, Canada BSc 05/1999 Microbiology and 

Immunology

McGill University, Montreal, Canada PhD 05/2003 Experimental Medicine 

Research Fellow, Massachusetts General Hospital Postdoctorate02/2007 Partners AIDS Research 

Center

A. Personal Statement 

Galit Alter received her PhD in experimental medicine from McGill University, and is currently an Associate 

Professor in Medicine at Harvard Medical School and a faculty member at the Ragon Institute of MGH, MIT, 

and Harvard. Over the past 8 years her research has focused on understanding the role of the innate immune 

response to chronic viral infections, with a focus on defining the role of Natural Killer cells in antiviral control. 

Recently, these studies focused on defining the mechanism by which these innate immune effector cells may 

be harnessed through vaccination or immunotherapeutic strategies. Her current research interests lie at the 

intersection of the innate immune response and the adaptive humoral immune response, defining the role of 

innate immune recruiting antibodies in providing specificity to kill virally infected cells. In this capacity, Dr. Alter 

has developed a suite of antibody profiling assays that gain a deeper appreciation of the correlates of humoral 

immune activity. Most recently, Dr. Alter’s team adapted the antibody screening technologies to screen for 

potential antibody correlates of protective immunity against Mycobacterium tuberculosis, demonstrating for the 

first time the presence of highly divergent Fc-effector profiles among latently infected compared to actively 

infected subjects. Thus, linked to antigen-specific B cell profiling efforts, Dr. Alter’s laboratory seeks to 

contribute to define the potential role of functional antibodies in the control/clearance of Mtb with the goal of 

developing more effective diagnostics, therapeutics as well as provide insights for the design of next 

generation Mtb vaccines. Thus, Dr Alter is uniquely suited as a co-mentor in Dr. Lu’s K08 application. 

B. Positions and Honors 

Positions

2007-2008 Instructor in Medicine, Harvard University, Boston, MA. 

2008-2012 Assistant Professor in Medicine, Harvard Medical School, Boston, MA. 

2012-present Associate Professor in Medicine, Harvard Medical School, MA 

Fellowships 

2005 Fellowship Award - MGH fellowship for Medical Discovery 

2005 Fellowship Scholar Award - Harvard Medical School Center for AIDS Research 

2006 K99/R00 Path to Independence, NIH. 

Awards

2007 Merck Young Scientist Award, Philadelphia, PA. 

2009 Duke Young Scientist CFAR Award 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 31
2012 Krane Award, MGH 

2012 MGH Scholars Award, MGH 

C. Contribution to Science 

1. Defining a role for NK cells in HIV control: Dr. Alter’s early post-doctoral studies focused on the role of 

innate immune cells in the control of HIV infection, and pointed to a critical role of NK cells in HIV specific 

control in the setting of protective KIR/HLA genotypes. Furthermore, these studies led to the elucidation of NK 

cell driven footprints along the HIV genome, highlighting the direct antiviral effect that these innate immune 

killer cells. 

a. Alter G, Martin MP, Teigen N, Carr WH, Suscovich TJ, Schneidewind A, Streeck H, Waring M, Meier 

A, Brander C, Lifson JD, Allen TM, Carrington M, Altfeld M. Differential natural killer cell-mediated 

inhibition of HIV-1 replication based on distinct KIR/HLA subtypes. J Exp Med. 2007 Nov 

26;204(12):3027-36. PMCID: PMC2118524 

b. Luteijn R, Sciaranghella G, van Lunzen J, Nolting A, Dugast AS, Ghebremichael MS, Altfeld M, Alter 

G. Early viral replication in lymph nodes provides HIV with a means by which to escape NK-cellmediated control. Eur J Immunol. 2011 Sep;41(9):2729-40. doi: 10.1002/eji.201040886. Epub 2011 

Aug 12. PMID: 21630248 

c. Alter G, Heckerman D, Schneidewind A, Fadda L, Kadie CM, Carlson JM, Oniangue-Ndza C, Martin 

M, Li B, Khakoo SI, Carrington M, Allen TM, Altfeld M. HIV-1 adaptation to NK-cell-mediated immune 

pressure. Nature. 2011 Aug 3;476(7358):96-100. doi: 10.1038/nature10237. PMCID: PMC3194000 

d. Sips M, Sciaranghella G, Diefenbach T, Dugast AS, Berger CT, Liu Q, Kwon D, Ghebremichael M, 

Estes JD, Carrington M, Martin JN, Deeks SG, Hunt PW, Alter G. Altered distribution of mucosal NK 

cells during HIV infection. Mucosal Immunol. 2011 Oct 12. doi: 10.1038/mi.2011.40. PMCID: 

PMC3740353 

e. Pelak K, Need AC, Fellay J, Shianna KV, Feng S, Urban TJ, Ge D, De Luca A, Martinez-Picado J, 

Wolinsky SM, Martinson JJ, Jamieson BD, Bream JH, Martin MP, Borrow P, Letvin NL, McMichael 

AJ, Haynes BF, Telenti A, Carrington M, Goldstein DB, Alter G; on behalf of NIAID Center for 

HIV/AIDS Vaccine Immunology (CHAVI). Copy Number Variation of KIR Genes Influences HIV-1 

Control. PLoS Biol. 2011 Nov;9(11):e1001208. Epub 2011 Nov 29. PMCID: PMC3226550 

2. Delineating the evolution of functional antibodies against HIV: While a lucky subset of HIV-infected 

individuals benefit from the direct antiviral activity of NK cells, through the expression of particular NK cell 

receptor genotypes, strategies to harness the antiviral activity of NK cells more broadly could enhance antiviral 

control of HIV at a global level. As NK cells express Fc-receptors, the next phase of Dr. Alter’s research 

focused on exploring the role of antibody dependent cellular cytotoxicity (ADCC) in providing specificity to NK 

cells to kill HIV infected cells, which enabled her to develop a unique set of expertise and a novel area of 

research in the setting of non-neutralizing antibody biology. 

a. Liu Q, Sun Y, Rihn S, Nolting A, Tsoukas PN, Jost S, Cohen K, Walker B, Alter G. Matrix 

Metalloprotease inhibitors restore impaired NK cell mediated Antibody dependent cellular cytotoxicity 

in human immunodeficiency virus-1 infection. J Virol. 2009 Jun 24. PMCID: PMC2738177 

b. Dugast AS, Tonelli A, Berger CT, Ackerman ME, Sciaranghella G, Liu Q, Sips M, Toth I, PiechockaTrocha A, Ghebremichael M, Alter G. Decreased Fc receptor expression on innate immune cells is 

associated with impaired antibody-mediated cellular phagocytic activity in chronically HIV-1 infected 

individuals. Virology. 2011 Jul 5;415(2):160-7. Epub 2011 May 12. PMCID: PMC3112178 

c. Dugast AS, Stamatatos L, Suscovich TJ, Licht AF, Mikell I, Ackerman ME, Streeck H, Klasse PJ, 

Moore JP, Alter G Independent evolution of Fc- and Fab-mediated HIV-1-specific antiviral antibody 

activity begins during acute infection. European Journal of Immunology. 2014 Oct;44 (10):2925-37 

3. Defining the profile of protective antibodies against HIV: Beyond ADCC, antibodies are able to recruit a 

wider array of antiviral functions. Thus in an effort to gain a broader appreciation for the full spectrum of 

antiviral functions of antibodies, Dr. Alter has developed a comprehensive platform of high throughput assays 

that interrogate the functional profile of antibodies against any antigen of interest. In these studies, Dr. Alter 

was able to identify a novel correlate of protection against infection in the first moderately protective HIV 

vaccine trial, RV144, as well as apply these methodologies to non-human primate vaccine and protection 

studies. 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 32
a. Ackerman ME, Dugast AS, McAndrew EG, Tsoukas S, Licht AF, Irvine DJ, Alter G. Enhanced 

phagocytic activity of HIV-specific antibodies correlates with natural production of immunoglobulins 

with skewed affinity for FcγR2a and FcγR2b. J Virol. 2013 Mar 6. PMCID: PMC3648186 

b. Barouch DH, Stephenson KE, Borducchi EN, Smith K, Stanley K, McNally AG, Liu J, Abbink P, 

Maxfield LF, Seaman MS, Dugast AS, Alter G, Ferguson M, Li W, Earl PL, Moss B, Giorgi EE, 

Szinger JJ, Eller LA, Billings EA, Rao M, Tovanabutra S, Sanders-Buell E, Weijtens M, Pau MG, 

Schuitemaker H, Robb ML, Kim JH, Korber BT, Michael NL. Protective efficacy of global HIV-1 

mosaic vaccine against heterologous SHIV challenges in rhesus monkeys. Cell. 2013 October 24. 

155(3):531-9. 

c. Chung AW, Ghebremichael M, Robinson H, Brown E, Choi I, Lane S, Dugast AS, Schoen MK, 

Rolland M, Suscovich TJ, Mahan AE, Liao L, Streeck H, Andrews C, Rerks-Ngarm S, Nitayaphan S, 

de Souza MS, Kaewkungwal J, Pitisuttithum P, Francis D, Michael NL, Kim JH, Bailey-Kellogg C, 

Ackerman ME, Alter G (2014) Polyfunctional Fc-effector profiles mediated by IgG subclass selection 

distinguish RV144 and VAX003 vaccines. Sci Transl Med 6: 228-238. 

d. Dugast AS, Chan Y, Hoffner M, Licht A, Nkolola J, Li H, Streeck H, Suscovich TJ, Ghebremichael M, 

Ackerman ME, Barouch DH, Alter G (2014) Lack of Protection following Passive Transfer of 

Polyclonal Highly Functional Low-Dose Non-Neutralizing Antibodies. PLoS One 9: e97229. 

4. Exploring antibody glycosylation as a means to control antiviral antibody activity: Beyond subclass 

variation, alterations in antibody glycosylation within the Fc-region results in a rapid change in the affinity of the 

antibody for Fc-receptors and therefore altered Fc-effector functions. Along these lines, Dr. Alter developed a 

high throughput method to interrogate these alterations on antigen-specific antibodies and performed the first 

studies to define the role of altered antibody glycosylation in natural HIV control. 

a. Ackerman ME, Crispin M, Yu X, Baruah K, Boesch AW, Harvey DJ, Dugast AS, Heizen EL, Ercan A, 

Choi I, Streeck H, Nigrovic PA, Bailey-Kellogg C, Scanlan C, Alter G. Natural variation in Fc 

glycosylation of HIV-specific antibodies impacts antiviral activity. J Clin Invest. 3013 Apr 8 doi:pii: 

65708. 10.1172/JCI65708. PMCID: PMC3637034 

b. Mahan AE, Tedesco J, Dionne K, Baruah K, Cheng HD, De Jager PL, Barouch DH, Suscovich T, 

Ackerman M, Crispin M, Alter G. A method for high-throughput, sensitive analysis of IgG Fc and Fab 

glycosylation by capillary electrophoresis. J Immunol Methods. 2015 Feb;417:34-44. doi: 

10.1016/j.jim.2014.12.004. Epub 2014 Dec 15. PMID: 25523925 

c. Mahan AE, Jennewein MF, Suscovich T, Dionne K, Tedesco J, Chung AW, Streeck H, Pau M, 

Schuitemaker H, Francis D, Fast P, Laufer D, Walker BD, Baden L, Barouch DH, Alter G. AntigenSpecific Antibody Glycosylation Is Regulated via Vaccination. PLoS Pathog. 2016 Mar. PMID: 

26982805

5. Developing next generation monoclonal therapeutic strategies for HIV “cure”: The cancer monoclonal 

therapeutics field has explored the role of improving antibody Fc-effector functions extensively to improve 

treatment outcomes. Thus Dr. Alter’s most recent work aims to harness the antiviral power of the Fc-region of 

antibodies to gain more efficient control of HIV and drive reservoir eradication. 

a. Chung AW, Robinson H, Crispin M, Gorny MK, Bailey-Kellog C, Ackerman ME, Burton DR, Scanlan 

C, Zolla-Pazner S, Alter G Identification of antibody glycosylation structures that predict monoclonal 

antibody Fc-effector function. AIDS. 2014 Aug 26. 

b. Euler Z, Alter G. Exploring the Potential of Monoclonal Antibody Therapeutics for HIV-1 Eradication. 

AIDS Res Hum Retroviruses. 2015 Jan;31(1):13-24. PMID: 25385703 

Complete list of published work in MyBibliography: 

http://www.ncbi.nlm.nih.gov/myncbi/browse/collection/41145215/?sort=date&direction=ascending

D. Research Support 

Ongoing Research Support 

5 P30 AI060354-11 (Head of CFAR Core Immunology Core) 08/01/2014-07/31/2019 

NIH/NIAID 

Harvard Medical School Center for AIDS Research 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 33
The major goals of this project are to 1) to consolidate and expand existing collaborations among the members 

of two existing, highly successful HMS-affiliated CFARs and 2) to promote new interactions and research 

initiatives capable of more effectively addressing key AIDS research questions. Dr. Alter will serve as the Head 

of the CFAR Immunology Core at MGH. 

R01 AI102660-03 (Alter) 07/01/12-06/30/16 

NIH 

Tuning Fc-effector functions of HIV-specific antibodies 

This proposal aims to define the mechanim(s) regulating antibody glycosylation in B cells. These studies may 

identify new strategies to specifically tune B cell responses during vaccination to induce antibodies with 

specific antiviral activity. 

 

 

 

 

 

1 R21 AI110165-01 (Alter) 12/01/2013-11/30/2018 

NIH 

Killing the Reservoir with Antibodies 

The goal of this award if to develop a monoclonal therapeutic approach, using Fc-enhanced antibodies, to kill 

reactivated latently infected cells. 

 

2R01AI080289-06A1 (Alter) 09/01/2014 – 08/31/2019 

NIH/NIAID 

Demystifying the antiviral activity of the IgG3+ antibody response 

The goal of this project is to explore and define the specificity/functionality of IgG3+ B cell responses and the 

mechanism, by which the immune system programs such potent antiviral humoral immunity. 

 

 

 

 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 34
Completed Research Support 

2U19 A166345 (Lauer) 08/01/2010-07/31/2015 

NIH 

Immune Control and Evasion during Acute HIV Infection – Project 2 

This project aims to determine the role of NK cells in acute HCV infection, providing new potential therapeutic 

avenues to enhance the activity of particular NK cell populations to drive HCV clearance. 

Project Leader 

R01 AI080289 (Alter) 04/01/2009-03/31/2015 

NIH/NIAID 

Cytolytic Antibodies, Bridging the Gap Between Innate and Adaptive Immune Responses 

This grant aims to define the role and mechanism of antibody mediated cellular cytotoxicity in the natural 

control of HIV-1 infection. 

 

 

5 P30 AI060354-10 (Walker) 08/01/2009-07/31/2014 

NIH/NIAID 

Harvard Medical School Center for AIDS Research 

The major goals of this project are to 1) to consolidate and expand existing collaborations among the members 

of two existing, highly successful HMS-affiliated CFARs and 2) to promote new interactions and research 

initiatives capable of more effectively addressing key AIDS research questions. Dr. Alter will serve as the Head 

of the CFAR Immunology Core at MGH. 

NIH R01 AI 90867-04 (Pillai) 07/01/2010-05/31/2014 

Inducing Neutralizing antibodies to HIV by inhibiting SIAE 

This project aims to examine assays for humoral responses and assays for neutralizing antibodies in 

immunized Siae mutant mice and in Siae knockdown humanized mice. 

R01 AI080289 Supplement (Alter) 09/01/2010-03/31/2014 

NIH/NIAID 

Cytolytic Antibodies, Bridging the gap between innate & adaptive immune responses 

This project is geared towards defining whether a combined FcR/Lectin microarray can provide a highthroughput, cost-effective alternative to readout the innate immune recruiting properties of antibodies. 

1R56 AI095078-01 (Alter) 09/20/2011-08/31/2012 

NIH/NIAID 

The Innate Immune Signals on B Cells that Induce ADCC Antibodies 

In this proposal we intend to dissect the innate immune danger signals, elicited by pattern recognition 

receptors, on B cells that drive the induction of innate immune recruiting antibodies, such as those that mediate 

ADCC, that may be critical for antiviral control of HIV infection. 

R01 AI090866-02 (Sundberg) 07/01/2010-6/30/2012 

NIH/University of Maryland 

Molecular Basis of ADCC-mediated HIV Protection 

This project aims to examine ADCC functional assays on patient samples as well as recombinant antibodies. 

The assays include NK cell degranulation assays and Antibody dependent cellular viral inhibition assays. 

3R01 AI080289-02S1 (Alter) 05/24/2010-04/30/2012 

NIH/NIAID 

Cytolytic Antibodies, Bridging the Gap Between Innate and Adaptive Immune Responses 

This project is geared towards defining the potential role of innate immune recruiting antibodies in providing 

sterilizing protection in the peripheral circulation or mucosa of highly exposed men who resist HIV infection 

despite persistent exposure to virus. 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 35
OMB No. 0925-0001 and 0925-0002 (Rev. 10/15 Approved Through 10/31/2018) 

BIOGRAPHICAL SKETCH 

Provide the following information for the Senior/key personnel and other significant contributors. 

Follow this format for each person. DO NOT EXCEED FIVE PAGES.

NAME: BATISTA, Facundo

eRA COMMONS USER NAME (credential, e.g., agency login):

POSITION TITLE: Associate Director of the Ragon Institute; Professor, Harvard Medical School 

EDUCATION/TRAINING (Begin with baccalaureate or other initial professional education, such as nursing, 

include postdoctoral training and residency training if applicable. Add/delete rows as necessary.)

INSTITUTION AND LOCATION 

DEGREE 

(if 

applicable) 

Completion 

Date 

MM/YYYY 

FIELD OF STUDY 

University of Buenos Aires, Argentina BSc 1989–1991 Biology 

International School of Advance Studies, Italy MSc 1992–1993 Biology 

International School of Advance Studies, Italy PhD 1993–1995 Biology 

International Centre for Genetic Engineering and 

Biotechnology, Italy 

Postdoctoral 

Fellow 1995–1996 Immunology 

MRC Molecular Biology Laboratory, Cambridge 

University, UK 

Senior 

Postdoctoral 

EMBO Fellow

1996–2002 Immunology 

A. Personal Statement 

Vaccination is an important tool in the medical armamentarium and relies on the in vivo production of effective 

antibodies by B cells. The effectiveness of antibodies is known to depend on the affinity of the B cell receptor 

for its cognate antigen. My long-term research interests have been the study of B cell activation, including the 

role of Toll-like receptors in antigen presentation. In the work accomplished in the Lymphocyte Interaction 

Laboratory, I have sought to address fundamental questions concerning the molecular and cellular events 

underlying B cell activation using a range of techniques including cutting-edge imaging, genetic dissections 

and in vivo methodology. These techniques and approaches will complement Lenette Lu’s K08 proposal 

specifically in terms of imaging and cell biology.

B. Positions and Honors 

Positions 

2002-present Honorary Professor Immunology University College London 

2013-2015 Professor Medicine Imperial College London 

2014-present 

2016-present 

2016-present 

Honorary Professor 

Professor 

Professor 

Immunology 

Microbiology & 

Immunobiology 

Medicine 

Kings College London 

Harvard Medical School 

Harvard Medical School 

2002–2016 Group Leader, Lymphocyte Interaction Laboratory, Cancer Research UK, London Research Institute, UK 

1996–2001 Senior Postdoctoral Fellow, MRC Laboratory of Molecular Biology, Cambridge University, UK 

1992–1995 PhD Student, International Centre for Genetic Engineering and Biotechnology, Italy 

1989–1991 Undergraduate Research Student, University of Buenos Aires, Argentina 

Honors 

Fellow of the Academy of Medical Sciences (2013) 

EMBO Member (2009) 

The Royal Society Wolfson Research Merit Award (2009) 

EMBO Young Investigator Award (2004) 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 36
Arthritis Research Campaign, Project Grant (1999) 

EMBO Long Term Postdoctoral Fellowship (1996–1997) 

Cancer Research Institute Fellowship (1995) 

UNIDO-International Centre for Genetic Engineering and Biotechnology Fellowship (1993–1995) 

Ministero degli Affari Esteri of Italy Fellowship (1991–92) 

University of Buenos Aires, Undergraduate Research Fellowship (1989–91) 

C. Contribution to Science 

1. Investigating B cell activation in vivo 

B cell activation occurs in SLOs, including lymph nodes and the spleen, locations where the architecture 

maximizes the probability of a lymphocyte to encounter its cognate antigen. However, the exact location of 

these interactions within the SLOs was unknown. In vivo investigations were needed to probe the highly 

dynamic nature of these immune interactions, contrasting with the previous investigations using 

immunohistochemistry and electron microscopy. Using fluorescent particles or bacteria we observed that after 

administration, antigen localized in the subcapsular sinus (SCS) of the periphery of the draining lymph node. 

Moreover, using multiple approaches including adoptive transfer, immunohistochemistry and multi-photon 

microscopy (MPM) we visualized the dynamic distribution of B cells to find that that antigen-specific B cells 

accumulate and are retained in close-proximity to CD169+ macrophages in the SCS (Fig 1). During this time 

cognate B cells acquire antigen and within 24 hours become activated and migrate to the B—T cell boundary 

to present antigen to T cells. Furthermore, the SCS macrophages were shown by us in collaboration with 

Vincenzo Cerundolo in Oxford to be implicated in initiating innate immune responses, specifically in natural 

killer T cells (NKT), where the SCS macrophages appear to internalize and present lipid antigen to the NKT 

cells. To facilitate our in vivo work, we developed an innovative strategy involving direct conjugation of antigen 

with various immuno-stimulatory ligands. This approach not only revealed a role for iNKT cells and B-cell 

intrinsic TLR9 in providing assistance for B cell activation, but also has enormous potential clinical significance 

in terms of designing vaccination strategies and generating monoclonal antibodies (Patent Application WO 

PCT/GB2009/001111). The approach attracted external investment and the formation of the spinout company 

BliNK Therapeutics Ltd. 

In vivo investigations into the effects of infection on the immune system revealed that the architecture of the 

lymph node, critical in bringing antigen and B cells together, is altered on primary infection. We found that the 

SCS macrophage layer being temporarily disrupted, leading to a reduction in immune responses against 

subsequent challenge until such time as the lymph node architecture is restored. These results may go some 

way towards providing a mechanism for the increased susceptibility to secondary pathogens that is often seen 

in clinical practice. 

(a) Barral, P., Eckl-Dorna, J., Harwood, N. E. et al 2008. B cell receptor-mediated uptake of CD1d-restricted antigen 

augments antibody responses by recruiting invariant NKT cell help in vivo. Proceedings of the National Academy 

of Sciences. 

(b) Eckl-Dorna, J. & Batista, F. D. 2009. BCR-mediated uptake of antigen linked to TLR9 ligand stimulates B-cell 

proliferation and antigen-specific plasma cell formation. Blood. 

(c) Barral, P., Polzella, P., Bruckbauer, A. et al 2010. CD169(+) macrophages present lipid antigens to mediate early 

activation of iNKT cells in lymph nodes. Nat. Immunol. 

(d) Gaya, M., Castello, A., Montaner, B. et al 2015. Inflammation-induced disruption of SCS macrophages impairs B 

cell responses to secondary infection. Science, 347, 667-672. 

2. Investigating B cell activation at the molecular level and understanding the underlying 

molecular mechanisms 

It was particularly satisfying that we had managed to confirm in vivo that B cells do indeed recognize antigen 

on the surface of presenting cells, especially given the long-term commitment to developing tools to investigate 

this mode of B cell activation at a molecular resolution. We have also established the importance of the context 

in which antigen is presented to B cells by identifying and characterizing a role for integrins in lowering the 

threshold for B cell activation. We have detected a novel cellular response involving a global reorganization of 

the cytoskeleton such that the B cell spreads across the antigen-presenting surface, providing a mechanistic 

basis for affinity discrimination by B cells. We were the first to report the rapid formation of numerous BCR 

antigen microclusters, which are sites of active signaling and drive the propagation of B cell spreading. We 

also revealed an essential role for the B cell coreceptor CD19 in mediating B cell activation, offering an elegant 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 37
explanation for the immunodeficiency that has been reported both in CD19-deficient mice and in human 

patients with mutations in CD19. 

(a) Carrasco, Y. R. and F. D. Batista (2006). B cell recognition of membrane-bound antigen: an exquisite way of 

sensing ligands. Curr. Opin. Immunol. 18: 286-291 

(b) Fleire, S. J., et al. (2006). B cell ligand discrimination through a spreading and contraction response. Science. 

312: 738-741. 

(c) Arana, E., et al. (2008). Activation of the small GTPase Rac2 via the B cell receptor regulates B cell adhesion and 

immunological-synapse formation. Immunity. 28: 88-99. 

(d) Depoil, D., et al. (2008). CD19 is essential for B cell activation by promoting B cell receptor-antigen microcluster 

formation in response to membrane-bound ligand. Nat. Immunol. 9: 63-72. 

Our observations proved pivotal in establishing the importance of cytoskeleton reorganization during B cell 

activation. We developed single particle tracking methods, which showed that the actin cytoskeleton restricts 

BCR diffusion and signaling, suggesting a role for the cytoskeleton in tonic signaling, B cell survival and 

activation. Additionally, we found that the microtubule network and its associated motor protein, dynein, 

participate in the gathering of antigen that is required for presentation to T cells and therefore maximal B cell 

activation. We also found that accumulated antigen is maintained in a polarized distribution leading to 

asymmetric segregation of antigen during B cell division, which may have implications in B cell fate 

determination. 

(a) Weber, M., et al. (2008). Phospholipase C-gamma2 and Vav cooperate within signaling microclusters to 

propagate B cell spreading in response to membrane-bound antigen. J. Exp. Med. 205: 853-868. 

(b) Treanor, B., et al. (2010). The membrane skeleton controls diffusion dynamics and signaling through the B cell 

receptor. Immunity. 32: 187-199. 

(c) Treanor, B., et al. (2011). Dynamic cortical actin remodeling by ERM proteins controls BCR microcluster 

organization and integrity. J. Exp. Med. 208: 1055-1068. 

(d) Schnyder, T., et al. (2011). B cell receptor-mediated antigen gathering requires ubiquitin ligase Cbl and adaptors 

Grb2 and Dok-3 to recruit dynein to the signaling microcluster. Immunity. 34: 905-918. 

Effective production of antibodies requires effective signaling via the B cell receptor. Much of our work has 

been aimed at increasing our understanding of the mechanisms and downstream molecular pathways 

following BCR triggering. In 2010 we identified a role for an ezrin-defined actin network in restricting BCR 

diffusion and signaling in the resting B cell membrane. This work showed that CD19 was essential for 

mediating BCR signaling in response to cytoskeleton disruption also led us to also study the role of inhibitory 

co-receptors in restraining B cell signaling using a combination of high resolution imaging and more classical 

biochemistry methods. We initially characterized the diffusion dynamics of CD22 in the membrane of resting 

and activated B cells by single particle tracking, observing how this molecule co-operates with the cortical 

cytoskeleton to restrain BCR signaling. Brownian simulations and ex vivo experiments indicated that both the 

nanoscale organization fast diffusion of CD22 enabled a global BCR surveillance at the plasma membrane 

which contributed to its inhibitory function. 

Our investigation into BCR co-receptor molecules such as CD19 have also led us to examine the effects of 

other receptors involved in BCR signaling on immune responses at both the molecular and cellular levels. Mice 

deficient in the Wiskott-Aldrich Syndrome Interacting Protein (WIP) exhibited multiple B cell defects including 

chemotaxis, survival, and differentiation, leading to diminished antibody production. Additionally, several 

receptors, namely the BCR, BAFFR, CXCR4, CXCR5, CD40, and TLR4, were impaired in promoting CD19 coreceptor activation and subsequent PI3 kinase (PI3K) signaling in the absence of WIP. The underlying 

mechanism was due to a distortion in the actin and tetraspanin networks that led to altered CD19 cell-surface 

dynamics. The small Rho GTPase Cdc42, is known to interact with Wiskott-Aldrich syndrome (WAS) protein, 

and is an important regulator of actin remodeling. Genetic ablation of Cdc42 exclusively in the B cell lineage, 

rendered mice being unable to mount antibody responses, so much so that they did not form germinal centers 

or generate plasma cells upon either viral infection or immunization. This was caused by multiple and profound 

B cell abnormalities, highlighting Cdc42 as key regulator of B cell physiology. 

(a) Treanor, B., et al. (2010). The membrane skeleton controls diffusion dynamics and signaling through the 

B cell receptor. Immunity. 32: 187-199. 

(b) Gasparrini, F., et al. (2015). "Nanoscale organization and dynamics of the siglec CD22 cooperate with the 

cytoskeleton in restraining BCR signalling." EMBO J. [Epub ahead of print] 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 38
(c) Burbage, M., et al. (2015). Cdc42 is a key regulator of B cell differentiation and is required for antiviral 

humoral immunity. J. Exp. Med. 212: 53-72. 

(d) Keppler, S. J., et al. (2015). "Wiskott-Aldrich Syndrome Interacting Protein Deficiency Uncovers the Role 

of the Co-receptor CD19 as a Generic Hub for PI3 Kinase Signaling in B Cells." Immunity 43(4): 660-673. 

Publications 

A list of publications can be found at: 

https://www.crick.ac.uk/research/a-z-researchers/researchers-a-c/facundo-d-batista/publications/

D. Research Support 

Current: 

 

 

UM1 AI100663 Batista (PI) 2014-2015 

NIH/The Scripps Research Institute (CHAVI-ID) Administrative Supplement 

Center for HIV/AIDS Vaccine Immunology and Immunogen Discovery. The overall mission of the CHAVI-ID is 

to define immunogens and immunization regimens that induce HIV cross-protective B cell and CD4+ T cell 

responses in preclinical models and thereby guide product development strategies for a preventive human 

AIDS vaccine. This supplement is aimed at developing in vitro strategies to evaluate GP120 as immunogen and 

my responsibilities were the scientific direction and general overseeing of the project. 

Role: PI 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 39
OMB No. 0925-0001 and 0925-0002 (Rev. 10/15 Approved Through 10/31/2018) 

BIOGRAPHICAL SKETCH 

Provide the following information for the Senior/key personnel and other significant contributors. 

Follow this format for each person. DO NOT EXCEED FIVE PAGES.

NAME: Douglas Hayden, PhD

eRA COMMONS USER NAME (credential, e.g., agency login): 

POSITION TITLE: Assistant Professor of Medicine Harvard Medical School

EDUCATION/TRAINING (Begin with baccalaureate or other initial professional education, such as nursing, 

include postdoctoral training and residency training if applicable. Add/delete rows as necessary.)

INSTITUTION AND LOCATION 

DEGREE 

(if 

applicable) 

Completion 

Date 

MM/YYYY 

FIELD OF STUDY 

University of Massachusetts, Boston, MA BA 06/1983 Mathematics 

Boston University, Boston, MA MA 06/1986 Mathematics 

Boston University, Boston, MA PhD 06/2012 Mathematics 

A. Personal Statement 

I am a biostatistician with training in pure mathematics and twenty-seven years of professional experience in 

clinical research, including seven years as a research mathematician in the biomedical technology industry, 

sixteen years as a master’s level statistician at the Massachusetts General Hospital Biostatistics Center. I was 

the statistician for the NHLBI ARDS Network Clinical Coordinating Center and for the Computational Analysis 

and Modeling Core of the NIGMS Inflammation and Host Response to Injury Glue Grant. I spent ten years on 

both projects as well as providing statistical support for sixteen years for the MGH General Clinical Research 

Center (now Harvard Catalyst). I was lead statistician on the ARDS Network Lower Tidal Volume Trial and the 

Fluid and Catheter Treatment Trial performing the statistical analysis for the papers reporting the final study 

results. I also pioneered the use of software algorithms for monthly computer generated patient by patient ontarget reports based on daily ventilator settings and physiologic parameters to provide the clinical sites with 

nearly real time feedback to improve study protocol compliance. I have co-authored over 70 clinical papers and 

first authored original methodology papers in causal inference and genomics. I currently serve as the 

biostatistician on a U01, P50, and P01 grant and continue as a biostatistician for the Harvard CTSA grant. 

My experience in experimental design, statistical analysis, and close collaboration with physician-scientists will 

add additional strength to Lenette Lu’s study. In particular, I have provided statistical support for studies of 

sepsis, inflammation, and genomics and understand the analytic challenges associated with high dimensional 

datasets. 

1. Xiao W, Mindrinos MN, Seok J, Cuschieri J, Cuenca AG, Gao H, Hayden DL, Hennessy L, Moore EE, Minei 

JP, Bankey PE, Johnson JL, Sperry J, Nathens AB, Billiar TR, West MA, Brownstein BH, Mason PH, Baker 

HV, Finnerty CC, Jeschke MG, López MC, Klein MB, Gamelli RL, Gibran NS, Arnoldo B, Xu W, Zhang Y, 

Calvano SE, McDonald-Smith GP, Schoenfeld DA, Storey JD, Cobb JP, Warren HS, Moldawer LL, Herndon 

DN, Lowry SF, Maier RV, Davis RW, Tompkins RG. A genomic storm in critically injured humans. J Exp Med. 

2011 Dec 19; 208(13):2581-90. PMID: 22110166; PMCID: PMC3244029. 

2. Cobb JP, Hayden DL, Schoenfeld DA. Novel diagnostics for sepsis: a decade of promise for gene 

expression profiling. Crit Care Med. 2011 Nov; 39(11):2579-81. PMID: 22005238. 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 40
3. Warren HS, Fitting C, Hoff E, Adib-Conquy M, Beasley-Topliffe L, Tesini B, Liang X, Valentine C, Hellman J, 

Hayden D, Cavaillon JM. Resilience to bacterial infection: difference between species could be due to proteins 

in serum. J Infect Dis. 2010 Jan 15; 201(2):223-32. PMID: 20001600; PMCID: PMC2798011. 

4. Hayden D, Lazar P, Schoenfeld D. Assessing statistical significance in microarray experiments using the 

distance between microarrays. PLoS One. 2009; 4(6):e5838. PMID: 19529777; PMCID: PMC2691999. 

B. Positions and Honors 

Positions and Employment

1986-1987 Math Teacher, Winthrop High School, Boston, MA 

1989-1995 Mathematician, Oculon Corporation, Boston, MA 

1995-current Biostatistician, Massachusetts General Hospital, Boston, MA 

2008-current Consulting Statistician, Harvard University, Boston, MA 

2012-current Lecturer, Harvard Medical School, Boston, MA 

2013-current Assistant Professor, Harvard Medical School, Boston, MA 

Honors

2010 Poster of Distinction, MGH Clinical Research Day, Boston, MA 

2010 Partners in Excellence Award 

C. Contribution to Science 

1. Conduct of Clinical Research: I have a published methodology paper on the use of counterfactuals for the 

analysis of secondary outcomes in survivors in randomized clinical trials. Despite random allocation to 

treatment, survivors in randomized clinical trials are not necessarily balanced on potential confounders due 

to differential probability of mortality on the two treatments. Baseline covariates can be used to rebalance 

surviving patients by weighting by the estimated probability of survival on the un-assigned treatment. 

a) Hayden D, Pauler DK, Schoenfeld D. An estimator for treatment comparisons among survivors in 

randomized trials. Biometrics. 2005; 61(1):305-10. PMID: 15737107 

b) Hayden D, Lazar P, Schoenfeld D, Inflammation and the Host Response to Injury Investigators. 

Assessing statistical significance in microarray experiments using the distance between microarrays. 

PLoS One. 2009; 4(6):e5838. PMID: 19529777 

c) Healy BC, Hayden DL, Sampat MP, Bakshi R, Guttmann CR. Unbiased treatment effect estimates by 

modeling the disease process of multiple sclerosis. J Neurol Sci. 2009; 278(1-2):54-9. PMID: 

19121526 

d) Healy BC, Arora A, Hayden DL, Ceccarelli A, Tauhid SS, Neema M, Bakshi R. Approaches to 

Normalization of Spinal Cord Volume: Application to Multiple Sclerosis. J Neuroimaging. 2012; 22 (3): 

e12-9. PMID: 21854479 

2. ARDS research: For nearly 20 years, I have worked extensively in the area of pulmonary and critical care 

research and served as a biostatistician for the NHLBI ARDS network. In conjunction with multiple 

investigators, I have published numerous ancillary trials that utilized the extensive ARDS network 

database. As a result, I am very familiar with the intricacies of critical care research. 

a) Rice TW, Wheeler AP, Bernard GR, Hayden DL, Schoenfeld DA, Ware LB. Comparison of the 

SpO2/FIO2 ratio and the PaO2/FIO2 ratio in patients with acute lung injury or ARDS. Chest. 2007; 

132(2):410-7. PMID 17573487 

b) Hager DN, Krishnan JA, Hayden DL, Brower RG. Tidal volume reduction in patients with acute lung 

injury when plateau pressures are not high. Am J Respir Crit Care Med. 2005; 172(10):1241-5. PMID 

16081547 

c) Brower RG, Morris A, MacIntyre N, Matthay MA, Hayden D, Thompson T, Clemmer T, Lanken PN, 

Schoenfeld D. Effects of recruitment maneuvers in patients with acute lung injury and acute respiratory 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 41
distress syndrome ventilated with high positive end-expiratory pressure. Crit Care Med. 2003; 

31(11):2592-7. PMID: 14605529 

d) Eisner MD, Thompson T, Hudson LD, Luce JM, Hayden D, Schoenfeld D, Matthay MA. Efficacy of low 

tidal volume ventilation in patients with different clinical risk factors for acute lung injury and the acute 

respiratory distress syndrome. Am J Respir Crit Care Med. 2001; 164(2):231-6. PMID 11463593 

3. Clinical Trials Management: I have been fortunate to serve as the biostatistician on several high impact 

multi-center clinical trials. Relevant to this proposal, I was the lead biostatistician on the NHLBI ARDS 

network Fluid and Catheter Treatment Trial (FACTT). 

a) Cudkowicz ME, Titus S, Kearney M, Yu H, Sherman A, Schoenfeld D, Hayden D, Shui A, Brooks B, 

Conwit R, Felsenstein D, Greenblatt DJ, Keroack M, Kissel JT, Miller R, Rosenfeld J, Rothstein JD, 

Simpson E, Tolkoff-Rubin N, Zinman L, Shefner JM. Safety and efficacy of ceftriaxone for amyotrophic 

lateral sclerosis: a multi-stage, randomised, double-blind, placebo-controlled trial. Lancet Neurol. 

2014; 13(11):1083-91 PMID 25297012 

b) Wiedemann HP, Wheeler AP, Bernard GR, Thompson BT, Hayden D, deBoisblanc B, Connors AF, Hite 

RD, Harabin AL. Comparison of two fluid-management strategies in acute lung injury. N Engl J Med.

2006; 354(24):2564-75. PMID 16714767 

c) Smith MR, McGovern FJ, Zietman AL, Fallon MA, Hayden DL, Schoenfeld DA, Kantoff PW, Finkelstein 

JS. Pamidronate to prevent bone loss during androgen-deprivation therapy for prostate cancer. N Engl 

J Med. 2001; 345(13):948-55. PMID 11575286 

d) Grinspoon S, Corcoran C, Parlman K, Costello M, Rosenthal D, Anderson E, Stanley T, Schoenfeld D, 

Burrows B, Hayden D, Basgoz N, Klibanski A. Effects of testosterone and progressive resistance 

training in eugonadal men with AIDS wasting. A randomized, controlled trial. Ann Intern Med. 2000; 

133(5):348-55. PMID 10979879 

4. Epidemiological Research: I have also participated in epidemiological trials in the area of critical care 

medicine including burn, trauma, and cardiology. Several of these studies have been published in high 

impact journals such as the New England Journal of Medicine. 

a. Klein MB, Goverman J, Hayden DL, Fagan SP, McDonald-Smith GP, Alexander AK, Gamelli RL, 

Gibran NS, Finnerty CC, Jeschke MG, Arnoldo B, Wispelwey B, Mindrinos MN, Xiao W, Honari SE, 

Mason PH, Schoenfeld DA, Herndon DN, Tompkins RG. Benchmarking outcomes in the critically 

injured burn patient. Ann Surg. 2014; 259(5):833-41. PMID: 24722222 

b. Truong QA, Hayden D, Woodard PK, Kirby R, Chou ET, Nagurney JT, Wiviott SD, Fleg JL, Schoenfeld 

DA, Udelson JE, Hoffmann U. Sex differences in the effectiveness of early coronary computed 

tomographic angiography compared with standard emergency department evaluation for acute chest 

pain: the rule-out myocardial infarction with Computer-Assisted Tomography (ROMICAT)-II Trial. 

Circulation. 2013; 127(25):2494-502. PMID 23685743 

c. Hoffmann U, Truong QA, Schoenfeld DA, Chou ET, Woodard PK, Nagurney JT, Pope JH, Hauser TH, 

White CS, Weiner SG, Kalanjian S, Mullins ME, Mikati I, Peacock WF, Zakroysky P, Hayden D, 

Goehler A, Lee H, Gazelle GS, Wiviott SD, Fleg JL, Udelson JE. Coronary CT angiography versus 

standard evaluation in acute chest pain. N Engl J Med. 2012; 367(4):299-308. PMID: 22830462 

Publications List http://www.ncbi.nlm.nih.gov/myncbi/collections/bibliography/47952679/ 

 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 42
D. Research Support 

Ongoing Research Support 

1U01HL123009 (Schoenfeld) 04/01/14–03/31/21 

NIH / NHLBI 

Clinical Coordination Center for a NHLBI Prevention and Early Treatment of Acute Lung Injury (PETAL) 

Network 

The major goals of this project are the coordination, design, and statistical analysis of clinical trials in Petal. 

Role: Biostatistician

 

1UL1TR001102 (Orf) 10/01/13-9/30/18 

NIH/NCRR 

Harvard Clinical and Translational Science Center 

Provide enriched resources to educate and develop the next generation of researchers trained in the 

complexities of translating research discoveries into clinical trials and ultimately into practice. Design new and 

improved clinical research informatics tools for analyzing research data and managing clinical trials. Support 

outreach to underserved populations, local community and advocacy organizations, and health care providers. 

Assemble interdisciplinary teams and forge new partnerships with private and public health care organizations. 

Role: Biostatistician

2P50GM02100 (Tompkins) 06/01/13-05/31/18 

NIH 

Burn Trauma Center 

The host response to burns and trauma is a collection of biological and pathological processes that depends 

critically upon the regulation of the human metabolic response. Over the years of P50 funding, our Center has 

had a tremendous and unique research opportunity to study the physiology of metabolism after injury. Since 

its inception, the Center has focused on the metabolic aspects of the patient's immuno-inflammatory reaction 

to injury. 

Role: Biostatistician

2P01HL018646 (Madsen) 09/01/14–08/31/19 

NIH/NIAD 

New Approaches to Cardiothoracic Tolerance Induction 

The unifying goal of this program project is to combine mixed chimerism with novel strategies designed to 

amplify the contributions of Tregs in order develop a clinical tolerance protocol that can be rapidly translated to 

human recipients of heart and lung allografts. 

Role: Biostatistician

Completed Research Support 

HHSN268200536179C (D. Schoenfeld, PhD) 9/30/05 – 02/28/2014 

NIH / NHLBI 

Clinical Coordination Center for a Clinical Research Network for the Treatment of Acute Lung Injury and Acute 

Respiratory Distress Syndrome The major goals of this project are the coordination, design, and statistical 

analysis of clinical trials in ARDS. 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 43
5U01 NS049640-08 (Cudkowicz) 07/01/10-06/30/14 

NIH 

Clinical Trial of Ceftriaxone in ALS 

The major goal of this project is to provide statistical support for clinical studies. 

Role: Biostatistician

5R01 HL092022-03 (D. Schoenfeld, PhD) 09/15/09 – 06/30/14 

NIH / NHLBI 

Rule-Out Myocardial Infarction Using Computed Assisted Tomograpy –ROMICAT II, DCC The major goals of 

this project are the coordination, design, and statistical analysis of the multicenter trial in 1000 subjects with 

acute chest pain. The objective is to determine whether rate of discharge from the Emergency Department is 

increased by the use of Cardiac Computer Assisted Tomography. 

Role: Biostatistician

5R01-GM081524-04 (Cobb) 09/03/09 – 12/31/13 (NCE) 

 

Plasticity of the Systemic Inflammation Response To develop a strategy for blood immunomonitoring that can 

be used as a novel diagnostic and prognostic tool, thereby improving the care of critically ill patients at risk for 

sepsis. 

Role: Biostatistician

Contact PD/PI: Lu, Lenette L.

Biosketches Page 44
Contact PD/PI: Lu, Lenette L.

BIOGRAPHICAL SKETCH 

Provide the following information for the Senior/key personnel and other significant contributors. 

Follow this format for each person. DO NOT EXCEED FIVE PAGES. 

NAME: Iwasaki, Akiko

eRA COMMONS USER NAME (credential, e.g., agency login): 

POSITION TITLE: Professor of Immunobiology and Molecular Cellular and Developmental Biology

EDUCATION/TRAINING (Begin with baccalaureate or other initial professional education, such as nursing, 

include postdoctoral training and residency training if applicable. Add/delete rows as necessary.)

INSTITUTION AND LOCATION 

DEGREE 

(if 

applicable) 

Completion

Date 

MM/YYYY 

FIELD OF STUDY 

University of Toronto, Toronto, Canada B. Sc 1994 Biochemistry and

Physics 

University of Toronto, Toronto, Canada Ph.D 1998 Immunology 

National Institutes of Health, Bethesda, MD Postdoctoral 1998-2000 Mucosal Immunity 

A. Personal Statement 

 Over the course of the past 16 years as an independent investigator, I have had the opportunity to 

mentor 11 postdoctoral fellows and 11 graduate students, 7 of which have already establish their own 

laboratories as junior faculty at various academic institutions, including an associate professor in Tokyo

University (Takeshi Ichinohe), assistant professors in Osaka University (Miwa Sasai), KAIST (Heung

Kyu Lee), Fred Hutchinson Cancer Research Center (Jennifer Lund), University of Washington (Hong

Shen) and Washington University (Haina Shin). My lab is well funded/equipped to support the

development of trainees in research in innate and adaptive immunity to viruses. In summary, I have a 

demonstrated record of successful and productive research program, and my expertise and experience 

in innate immunity have prepared me to serve on Lenette Lu’s K08 committee. .

 

1. Shin, H. and Iwasaki A. A vaccine strategy that protects against genital herpes by establishing local 

memory T cells. Nature 2012 Nov 15;491(7424):463-7. doi: 10.1038/nature11522, 

PMCID:PMC3499630. 

2. Iijima N and Iwasaki A. T cell memory. A local macrophage chemokine network sustains protective

tissue-resident memory CD4 T cells. Science (2014) Oct 3;346(6205):93-8. PMCID: PMC4254703. 

3. Nakanishi, Y., Lu, B., Gerard, C., Iwasaki, A. CTL mobilization to virus-infected tissue requires CD4+ T 

cell help. Nature, 2009 462(7272):510-3. PMCID: PMC2789415. 

4. Sasai M, Linehan MM, Iwasaki A. Bifurcation of Toll-like receptor 9 signaling by adaptor protein 3. 

Science 2010 Sep 17;329(5998):1530-4, PMCID:PMC3063333. 

B. Positions and Honors 

Positions and Employment 

1993-1998 Ph.D. Research Project, Supervisor: Professor Brian H. Barber, Department of Immunology, 

University of Toronto 

1998-2000 Postdoctoral research fellow, Laboratory of Clinical Investigation, NIH,NIAID 

2000-2004 Assistant Professor of Epidemiology & Public Health, Yale University School of Medicine, New 

Haven, CT 

2004-2006 Assistant Professor of Immunobiology, Yale University School of Medicine, New Haven, CT 

2006-2009 Associate Professor of Immunobiology, Yale University School of Medicine, New Haven, CT 

2009-2011 Associate Professor with Tenure of Immunobiology and Molecular, Cellular and Developmental 

Biology, Yale University School of Medicine, New Haven, CT 

Biosketches Page 45
2011-2016 Professor with Tenure of Immunobiology and Molecular, Cellular and Developmental Biology, 

Yale University School of Medicine, New Haven, CT

2014- Investigator, Howard Hughes Medical Institute

2016- Waldemar von Zedtwitz Professor of Immunobiology and of Molecular, Cellular and 

Developmental Biology, Yale University School of Medicine, New Haven, CT

Other Experience and Professional Memberships

Associate Editor for Mucosal Immunity (NPG) and Trends in Immunology. Ad hoc reviewer for Nature, Science, 

Cell, Immunity, J. Immunology, J. Virology, J. Experimental Medicine, J. Leukocyte Biology, J. Cellular 

Immunology, J. Clinical Investigation, Blood, Proc. Natl. Acad. Sci., PLOS, PLOS Pathogen, Cell Host & 

Microbe, Nature Immunology, Nature Review in Immunology. 

Honors

1990-1993 Faculty Scholar

1991-1993 St. Michael’s College Scholarship

1993 Silver Medalist at St. Michael’s College

1993-1994 Massey College Fellow

1993-1996 Connaught Scholarship

1996-1998 Ontario Graduate Scholarship

1998 Natural Sciences and Engineering Research Council of Canada Fellowship Award

1998-2001 Medical Research Council of Canada Fellowship

2000 The Fellows Award for Research Excellence 

2000 Canadian Society for Immunologist Travel Award

2002 Young Investigator Award from Society for Mucosal Immunology

2000-2003 Burroughs Wellcome Fund Career Award in Biomedical Sciences

2003 Ethel Donaghue Women’s Health Program Investigator Award

2003 Wyeth-Lederle Infectious Disease Society of America Young Investigator Award

2005-2010 Burroughs Wellcome Fund Investigator in Pathogenesis in Infectious Diseases

2011 American Associations of Immunologists (AAI) BD Biosciences Investigator Award

2012 Eli Lilly and Company Research Award, American Society for Microbiology

2013 Master of Arts Privatum, Yale University

2014 Appointment, HHMI Investigator

C. Contribution to Science

C1. Innate recognition of viruses

My laboratory discovered that viral nucleic acids are recognized by Toll-like receptors (TLR) 9 (dsDNA) and 

TLR7 (ssRNA) within the endosomes. The endosomal recognition helps to distinguish viral from self nucleic 

acids. We also found that viruses that enter cytosol upstream of endosomal compartment are still detected 

by TLRs, but in this case viral replication intermediates have to be delivered to the TLRs by autophagy. We 

identified a lysosome-related organelle from which both TLR7 and TLR9 traffic to signal for interferon 

production and demonstrated that TLR traffic to this compartment is mediated by the adaptor protein AP-3.

a. Lund J, Sato A, Akira S, Medzhitov R and Iwasaki A. Toll-like receptor 9-mediated recognition of 

herpes simplex virus-2 by plasmacytoid dendritic cells. Journal of Experimental Medicine 2003 Aug 

4;198(3):513-20. PMCID: PMC2194085. 

b. Lee HK, Lund JM, Ramanathan B, Mizushima N and Iwasaki A. Autophagy-dependent viral 

recognition by plasmacytoid dendritic cells. Science, 2007 Mar 9;315(5817):1398-401, PMID: 

17272685. 

c. Sasai M, Linehan MM, Iwasaki A. Bifurcation of Toll-like receptor 9 signaling by adaptor protein 

3. Science 2010 Sep 17;329(5998):1530-4, PMCID:PMC3063333

d. Pillai PS, Molony RD, Martinod K, Dong H, Pang IK, Tal MC, Solis AG, Bielecki P, Mohanty S, 

Trentalange M, Homer RJ, Flavell RA, Wagner DD, Montgomery RR, Shaw AC, Staeheli P, and 

Iwasaki A. Mx1 Reveals Innate Pathways to Antiviral Resistance and Lethal Influenza Disease. 

Science, in press.

C2. Role of dendritic cells in priming immune responses

Contact PD/PI: Lu, Lenette L.

Biosketches Page 46
Pathogen recognition by dendritic cells (DCs) triggers activation of adaptive immune responses, but how 

this occurs in the context of natural viral infections is poorly understood, in part because virus infection 

impairs the function of DCs. We demonstrated that TLR signals in both virally infected stromal cells and 

non-infected DCs are required for optimal T cell immunity following herpes virus infection. We further 

demonstrated that DCs use autophagy machinery for processing of viral antigens for MHC class II 

presentation. Our studies demonstrated the role of various DC subsets in generating different classes of 

immune responses in vivo. 

a. Sato A and Iwasaki A. Induction of antiviral immunity requires Toll-like receptor signaling in both 

stromal and dendritic cell compartments. Proc. Natl. Acad. Sci. 2004 Nov 16;101(46):16274-9. PMCID: 

PMC528964. 

b. Kumamoto Y, Mattei LM, Sellers S, Payne GW, Iwasaki A. CD4+ T cells support cytotoxic T 

lymphocyte priming by controlling lymph node input. Proc Natl Acad Sci 2011 May 24;108(21):8749-54. 

PMCID: PMC3102372. 

c. Lee HK, Mattei LM, Steinberg BE, Alberts P, Lee YH, Chervonsky A, Mizushima N, Grinstein S, 

Iwasaki A. In Vivo Requirement for Atg5 in Antigen Presentation by Dendritic Cells. Immunity. 2010 

Feb 26;32(2):227-239. PMCID:PMC2996467. 

d. Kumamoto Y, Linehan M, Weinstein JS, Laidlaw BJ, Craft JE and Iwasaki A: CD301b(+) Dermal 

Dendritic Cells Drive T Helper 2 Cell-Mediated Immunity. Immunity. 2013 Oct 17;39 (4) :733-43. Epub 

2013 Sep 26. PMCID: PMC3819035

C3. Innate link to adaptive immunity

Infection with a live pathogen typically results in the generation of multiple PAMPs. Yet, not all innate 

signals are equal with respect to their ability to program adaptive immune responses. Using respiratory 

influenza virus infection model in mice, we demonstrated that influenza virus M2 ion channel triggers the 

activation of NLRP3 inflammasomes. This activity results in the secretion of IL-1β. We showed that pro-IL1β expression depended on signals from the microbiota. Notably, this NLRP3/caspase-1/IL-1b axis, and 

not the TLR7 or RIG-I recognition, is required for the generation of B and T cell responses to flu. We 

showed that infected cells are not able to stimulate CD8 T cells but the bystander activation of DCs through 

IL-1R provides a key signal for migration and priming of CD8 T cells in vivo. These studies highlight the 

possible hierarchy of PAMPs in eliciting adaptive immunity. 

a. Ichinohe, T., Lee, H.K., Ogura, Y., Flavell, R., Iwasaki A. Inflammasome recognition of influenza virus 

is essential for adaptive immune responses. Journal of Experimental Medicine 2009 Jan 16;206(1):79-

87. PMCID: PMC2626661.

b. Ichinohe T, Pang IK, Iwasaki A. Influenza virus activates inflammasomes via its intracellular M2 

ion channel. Nature Immunology 2010 May;11(5):404-10. PMCID: PMC2857582

c. Pang, IK, Ichinohe, T, Iwasaki, A. IL-1R signaling in dendritic cells replaces pattern recognition 

receptors to promote CD8+ T cell responses to influenza A virus. Nature Immunology, 2013 Jan 

13;14(3):246-53, PMCID: PMC3577947.

d. Ichinohe, T., Pang, IK, Kumamoto, Y., Peaper, DR, Ho, JH, Murray, TS, and Iwasaki, A. Microbiota 

regulates immune defense against respiratory tract influenza A virus infection. Proc. Natl. Acad. Sci.

2011 Mar 29;108(13):5354-9. PMCID: PMC3069176.

C4. Adaptive immune mechanism of protection at the female genital mucosa

My laboratory has made contributions to our understanding of the innate and adaptive mechanisms of 

protection in the genital mucosa following HSV-2 infection. In particular, we found that CD4 T helper cells 

are critical for entry of effector CD8 T cells into the genital mucosa, and unexpectedly, that they do so 

indirectly through IFN-γ secretion and induction of local chemokine production by the infected tissue. We

demonstrated, using a parabiosis system, that effective protection against genital HSV-2 infection requires 

the presence of local "tissue-resident" memory T cells (TRM). The precursors of these cells are recruited 

into the mucosal tissue during the initial infection, and the TRM that subsequently develop remain there for 

extended periods of time. Our results strongly suggest that successful T cell based vaccines against 

sexually transmitted viruses must establish a local memory T cell pool. To this end, we have developed a 

novel approach, called “prime and pull”, in which we are able to manipulate the immune system to establish 

protective TRM in a safe and effective manner.

Contact PD/PI: Lu, Lenette L.

Biosketches Page 47
a. Nakanishi, Y., Lu, B., Gerard, C., Iwasaki, A. CTL mobilization to virus-infected tissue requires 

CD4+ T cell help. Nature, 2009 462(7272):510-3. PMCID: PMC2789415.

b. Shin, H. and Iwasaki A. A vaccine strategy that protects against genital herpes by establishing local 

memory T cells. Nature 2012 Nov 15;491(7424):463-7. doi: 10.1038/nature11522, 

PMCID:PMC3499630. 

c. Iijima, N., Linehan. M.M., Zamora, M., Butkus, D., Dunn R., Kehry, M.R., Laufer, T.M., Iwasaki, 

A. Dendritic cells and B cells maximize mucosal Th1 memory response to herpes simplex virus. 

Journal of Experimental Medicine, 2008 Dec 22;205(13):3041-52. PMCID: PMC2605233.

d. Iijima N and Iwasaki A. T cell memory. A local macrophage chemokine network sustains protective 

tissue-resident memory CD4 T cells. Science (2014) Oct 3;346(6205):93-8. PMCID: PMC4254703.

Complete List of Published Work in MyBibliography:

http://www.ncbi.nlm.nih.gov/sites/myncbi/akiko.iwasaki.1/bibliography/40635062/public/?sort=date&dire

ction=ascending. 

D. Research Support

List both selected ongoing and completed research projects for the past three years (Federal or non-Federallysupported). Begin with the projects that are most relevant to the research proposed in the application. Briefly 

indicate the overall goals of the projects and responsibilities of the key person identified on the Biographical 

Sketch. Do not include number of person months or direct costs.

Ongoing Research Support

5 R01 AI054359 (Iwasaki) 12/01/2003 - 03/31/2019 

NIH/NIAID

Immunity to Genital Herpes Simplex Virus 2

The major goals of this project are to determine the mechanisms by which dendritic cells initiate CD4+ 

T cell immunity in the vaginal mucosa.

Abbvie Yale Collaboration In Immunobiology 05/20/2013 – 06/30/2017

Role of endogenous retroviruses in lupus pathogenesis 

The goal of the proposed project is to understand the disease pathogenesis of SLE and possibly develop a 

new strategy to diagnose, prevent and/or treat SLE in humans. 

11R41AI120269-01 (Bilsel) 08/15/2014- 08/14/2016

NIH/NIAID

Restimulating memory T-cell responses in elderly by a novel, live influenza vaccine

In this proposal we will test the hypothesis that engaging non-inflammasome dependent innate pathways by 

M2SR virus results in robust restimulation of memory CD4 and CD8 T cells in older humans without causing 

pathological inflammation. 

Abbvie Yale Collaboration In Immunobiology 07/01/2015 – 06/30/2019

Identification and targeting of Tfh-inducing dendritic cells 

The goal of the proposed project is to understand the disease pathogenesis of SLE and possibly develop a 

new strategy to diagnose, prevent and/or treat SLE in humans. 

Howard Hughes Medical Institute (Iwasaki) 05/15/2014 – 05/14/2019

To understand the cellular and molecular mechanisms of innate virus recognition and in elucidating innate 

signals that lead to the generation of protective immune responses and to apply such understanding to create 

effective vaccines. 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 48
Contact PD/PI: Lu, Lenette L.

Completed Research Support (last three years)

Women’s Health Research at Yale Pilot Project Grant (Iwasaki) 07/01/2013 – 06/30/2014 

A New Therapeutic Vaccination Strategy for Genital Herpes 

The major goals of this project are to test efficacy of Prime and Pull method to protect the host against 

recurrent HSV-2 infection in guinea pig model of genital herpes. 

 

1R01AI102625-01 (Haase) 11/15/2012 – 06/30/2014

University of Minnesota, Twin Cities - IVHD Pilot Project Grant

Pilot project to find optimal timing for prime and pull to recruit plasma cells (Iwasaki)

This project proposes to obtain preliminary data in mice to find optimal timing for prime and pull to 

recruit plasma cells. 

5 R01 AI062428-08 (Iwasaki) 07/01/2004 – 11/30/2015

NIH/NIAID

Antiviral CTL Mobilization to the Genital Mucosa

The major goals of this project are to examine the mechanism by which cytotoxic T lymphocytes are 

recruited to the genital mucosa during natural infection and design vaccine strategies based on this 

knowledge.

5 R01 AI 064705 (Iwasaki) 04/01/2005 – 01/31/2016

Viral Recognition by Plasmacytoid Dendritic Cells 

The major goals of this project are to: examine the mechanism of type 1 IFN induction by live viruses in 

pDCs; determine the cellular mechanisms utilized by pDCs for innate recognition of DNA and RNA 

viruses; and to examine the in vivo role of pDCs in innate and adaptive immunity following mucosal viral 

infections.

5 R01 AI 081884 (Iwasaki) 05/01/2010 – 04/30/2015

NIH/NIAID

Autophagy in Antiviral Immunity

The goal of this project is to examine the importance of autophagy in both innate and adaptive antiviral 

immune responses using well-established genetic, biochemical and cell biological tools as well as in 

vivo animal models of both RNA and DNA virus infections.

Biosketches Page 49
OMB No. 0925-0001 and 0925-0002 (Rev. 10/15 Approved Through 10/31/2018) 

BIOGRAPHICAL SKETCH 

Provide the following information for the Senior/key personnel and other significant contributors. 

Follow this format for each person. DO NOT EXCEED FIVE PAGES.

NAME: Nimmerjahn, Falk

eRA COMMONS USER NAME (credential, e.g., agency login):

POSITION TITLE: Full Professor of Immunology and Chairman of the Institute of Genetics

EDUCATION/TRAINING (Begin with baccalaureate or other initial professional education, such as nursing, 

include postdoctoral training and residency training if applicable. Add/delete rows as necessary.)

INSTITUTION AND LOCATION 

DEGREE 

(if 

applicable) 

Completion 

Date 

MM/YYYY 

FIELD OF STUDY 

Friedrich-Alexander University Erlangen-Nuremberg, 

Germany 

Diploma 

(Master) 

1993-1998 Immunology, genetics 

Ludwig-Maximilians University Munich PhD 1999-2002 Tumor immunology 

National Research Center for Environment and 

Health (GSF), Munich, Germany

scientist 2002-2004 Immunology, Virology 

The Rockefeller University, New York, USA Postdoc 2004-2007 Immunology, 

autoimmunity 

A. Personal Statement 

I have a long standing research interest in the mechanisms underlying antibody and Fc receptor activity. We 

were one of the first groups showing that differentially glycosylated IgG variants not only modulate the pro- but 

also the anti-inflammatory activity of IgG (1, 2). Moreover, our work on how different mouse and human IgG 

subclasses mediate their activity may of major relevance for polyclonal and complex antibody responses 

induced by bacterial infections (3,4). Thus, I feel confident that my area of expertise may be of use in the 

Scientific Advisory Committee for the K08. 

Publications:

1) Schwab, I., Lux, A., and Nimmerjahn, F. (2015). Pathways Responsible for Human Autoantibody and 

Therapeutic Intravenous IgG Activity in Humanized Mice. Cell Rep 13, 610-620. 

2) Kaneko, Y., Nimmerjahn, F., and Ravetch, E.V. (2006). Anti-inflammatory activity of immunoglobulin G 

resulting from Fc sialylation. Science 313, 670-673. 

3) Lux, A., Yu, X., Scanlan, C.N., and Nimmerjahn, F. (2013). Impact of immune complex size and 

glycosylation on IgG binding to human FcgammaRs. J Immunol 190, 4315-4323. 

4) Nimmerjahn, F., and Ravetch, J.V. (2005). Divergent immunoglobulin G subclass activity through selective 

Fc receptor binding. Science 310, 1510-1512. 

B. Positions and Honors 

Positions

2007-2010: Associate professor of immunology, Medical Department 3, University of ErlangenNuremberg, Germany 

Since 2010: Full professor and chairman, Institute of Genetics, Department of Biology, University of 

Erlangen-Nuremberg, Germany 

Fellowships 

2005-2007 Fellow of the Cancer Research Institute, New York 

2007-2012 Fellow of the Bavarian Genome Research Network 

Since 2006 Fellow of the German society of immunology 

Since 2009 Fellow of the Henry G. Kunkel society, New York 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 50
Awards

2003 Ph.D. award at the National Research Center for Environment and Health for the best Ph.D thesis in 

immunology and molecular biology 

2008 BD prize for excellence in research from the European Macrophage and Dendritic Cell society 

2008 Pro-Scientia award of the Eckhart Buddecke foundation 

2009 Paul Ehrlich and Ludwig Darmstädter award 

C. Contribution to Science 

1) My group has a long standing interest in deciphering how cellular Fc-receptors contribute to the activity of 

immunoglobulin G (IgG) antibodies. Over the last 12 years we have published some of the key papers 

demonstrating that cytotoxic IgG antibodies mediate their activity mainly via cellular Fc-receptors and not via 

the activation of the complement pathway. These findings have been reproduced by many other groups and 

have led to the development of second generation therapeutic antibodies with an enhanced affinity to cellular 

Fc-receptors. 

Key publications: 

 Schwab, I., Lux, A., and Nimmerjahn, F. (2015). Pathways Responsible for Human Autoantibody and 

Therapeutic Intravenous IgG Activity in Humanized Mice. Cell Rep 13, 610-620. 

 Hamaguchi, Y., Xiu, Y., Komura, K., Nimmerjahn, F., and Tedder, T.F. (2006). Antibody isotype-specific 

engagement of Fc gamma receptors regulates B lymphocyte depletion during CD20 immunotherapy. 

Journal of Experimental Medicine 203, 743-753. 

 Nimmerjahn, F., and Ravetch, J.V. (2005). Divergent immunoglobulin G subclass activity through 

selective Fc receptor binding. Science 310, 1510-1512. 

 Nimmerjahn, F., Bruhns, P., Horiuchi, K., and Ravetch, J.V. (2005). Fc gamma RIV: A novel FcR with 

distinct IgG subclass specificity. Immunity 23, 41-51. 

2) Another key aspect of our research is to understand which effector cells are responsible for mouse and 

human IgG subclass activity. This work has led to a change in our current models of how target cells become 

depleted by cytotoxic antibodies. While the long standing assumption was that natural killer cells are the main 

cell type involved in antibody dependent cell mediated cytotoxicity (ADCC) it has become established that at 

least in classical and humanized mouse model systems not NK cells but rather cells of the mononuclear 

phagocytic system, including tissue resident macrophages and monocytes are key effector cells in this 

pathway. 

Key publications: 

 Lux, A., Seeling, M., Baerenwaldt, A., Lehmann, B., Schwab, I., Repp, R., Meidenbauer, N., 

Mackensen, A., Hartmann, A., Heidkamp, G., et al. (2014). A humanized mouse identifies the bone 

marrow as a niche with low therapeutic IgG activity. Cell Rep 7, 236-248. 

 Biburger, M., Aschermann, S., Schwab, I., Lux, A., Albert, H., Danzer, H., Woigk, M., Dudziak, D., and 

Nimmerjahn, F. (2011). Monocyte subsets responsible for immunoglobulin G-dependent effector 

functions in vivo. Immunity 35, 932-944. 

3) A third focus of our work, which has resulted in a new understanding of how the pro-inflammatory activity of 

IgG is modulated, is to define how glycosylation of IgG impacts its activity. We were able to show that IgG 

antibodies lacking fucose residues in their sugar domain have a more than ten-fold increased affinity for mouse 

FcRIV and human FcRIIIa, respectively. This increased affinity translated into enhanced FcR dependent 

effector functions and this concept has now been translated into the clinic in the form of second generation 

therapeutic antibodies with increased affinity for activating and reduced affinity for the inhibitory FcRIIb. Further 

along these lines we were able to show that lack of galactosylation does not impact the pro-inflammatory 

activity of IgG. In contrast the size of an immune complex is a major factor determining the pro-inflammatory 

activity of IgG subclasses and may even diminish the influence of differentially glycosylated IgG variants with 

respect to enhanced or decreased binding to individual activating FcRs. 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 51
Key publications 

 Kao, D., Danzer, H., Collin, M., Gross, A., Eichler, J., Stambuk, J., Lauc, G., Lux, A., and Nimmerjahn, 

F. (2015). A Monosaccharide Residue Is Sufficient to Maintain Mouse and Human IgG Subclass 

Activity and Directs IgG Effector Functions to Cellular Fc Receptors. Cell Rep 13, 2376-2385. 

 Lux, A., Yu, X., Scanlan, C.N., and Nimmerjahn, F. (2013). Impact of immune complex size and 

glycosylation on IgG binding to human FcgammaRs. J Immunol 190, 4315-4323. 

 Nimmerjahn, F., Anthony, R.M., and Ravetch, J.V. (2007). Agalactosylated IgG antibodies depend on 

cellular Fc receptors for in vivo activity. Proceedings of the National Academy of Sciences of the United 

States of America 104, 8433-8437. 

 Nimmerjahn, F., and Ravetch, J.V. (2005). Divergent immunoglobulin G subclass activity through 

selective Fc receptor binding. Science 310, 1510-1512. 

4) In addition to defining parameters influencing the pro-inflammatory activity we are studying how 

glycosylation impacts the anti-inflammatory activity of IgG. Pooled serum IgG preparations are used frequently 

in the form of intravenous immunoglobulins (IVIg) to treat a great variety of chronic inflammatory or 

autoimmune diseases. We were the first group to show that glycosylation is critical for the anti-inflammatory 

activity of IgG. More in depth studies elucidated the role of individual residues of the IgG sugar moiety in this 

process. Thus, terminal sialic acid residues were essential for IVIg mediated suppression of a autoimmune 

diseases such as ITP, nephrotoxic nephritis, inflammatory arthritis and epidermolysis bullosa acquisita. More 

recently we were able to show that enhancing sialylation levels on commercially available IVIg preparations 

increases the anti-inflammatory activity. Apart from sialylation we could also show that enhanced levels of 

galactosylation and sialylation may impact complement mediated pro-inflammatory processes as well. 

Key publications: 

 Schwab, I., Lux, A., and Nimmerjahn, F. (2015). Pathways Responsible for Human Autoantibody and 

Therapeutic Intravenous IgG Activity in Humanized Mice. Cell Rep 13, 610-620. 

 Karsten, C.M., Pandey, M.K., Figge, J., Kilchenstein, R., Taylor, P.R., Rosas, M., McDonald, J.U., Orr, 

S.J., Berger, M., Petzold, D., et al. (2012). Anti-inflammatory activity of IgG1 mediated by Fc 

galactosylation and association of FcgammaRIIB and dectin-1. Nat Med 18, 1401-1406. 

 Anthony, R.M., Nimmerjahn, F., Ashline, D.J., Reinhold, V.N., Paulson, J.C., and Ravetch, J.V. (2008). 

Recapitulation of IVIG anti-inflammatory activity with a recombinant IgG fc. Science 320, 373-376. 

 Kaneko, Y., Nimmerjahn, F., and Ravetch, E.V. (2006). Anti-inflammatory activity of immunoglobulin G 

resulting from Fc sialylation. Science 313, 670-673. 

5) Apart from understanding basic IgG biology we are developing novel approaches to inhibit the unwanted 

activity of autoantibodies. We have established approaches to specifically target the glycosylation of serum IgG 

antibodies to inhibit their binding to activating FcR. For this we are using enzymes derived from streptococcus 

pyogenes called endoglycosidase S (ENDO S) and IdeS. While EndoS targets the sugar moiety IdeS 

specifically cleaves the IgG Fc-portion of select IgG subclasses. Apart from targeting glycosylation we are 

investigating to which extend B cells and autoantibodies contribute to complex autoimmune diseases to 

develop novel options for treating these severely affected patients, such as children lacking regulatory T cells. 

Key publications: 

 Aschermann, S., Lehmann, C.H., Mihai, S., Schett, G., Dudziak, D., and Nimmerjahn, F. (2013). B cells 

are critical for autoimmune pathology in Scurfy mice. Proc Natl Acad Sci U S A 110, 19042-19047. 

 Albert, H., Collin, M., Dudziak, D., Ravetch, J.V., and Nimmerjahn, F. (2008). In vivo enzymatic 

modulation of IgG glycosylation inhibits autoimmune disease in an IgG subclass-dependent manner. 

Proceedings of the National Academy of Sciences of the United States of America 105, 15005-15009. 

D. Additional Information: Research Support 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 52
 

 

 

 

 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 53
OMB No. 0925-0001 and 0925-0002 (Rev. 10/15 Approved Through 10/31/2018) 

BIOGRAPHICAL SKETCH 

Provide the following information for the Senior/key personnel and other significant contributors. 

Follow this format for each person. DO NOT EXCEED FIVE PAGES.

NAME: Restrepo, Blanca I

eRA COMMONS USER NAME (credential, e.g., agency login): 

POSITION TITLE: Associate Professor

EDUCATION/TRAINING (Begin with baccalaureate or other initial professional education, such as nursing, 

include postdoctoral training and residency training if applicable. Add/delete rows as necessary.)

INSTITUTION AND LOCATION

DEGREE

(if 

applicable)

Completion 

Date

MM/YYYY

FIELD OF STUDY

Colegio Mayor de Antioquia, Medellin, Colombia B.S. 12/86 Medical Technology

Univ Texas Health Science Center San Antonio Ph.D. 06/94 Microbiology

Univ Texas Health Science Center San Antonio Postdoctoral 03/97 Parasite Immunology

Univ Texas Health- Houston, School Public Health in 

Brownsville Postdoctoral 08/03 Field Epidemiology

A. Personal statement 

I am Hispanic, bilingual, bi-cultural, and a role model to Hispanics from South Texas, a population with 

severe health disparities. I joined UTHealth-School of Public Health campus in Brownsville in 2002 to launch a 

new tuberculosis (TB) research program. I quickly found that TB studies in this community had to take into 

account the contribution of type 2 diabetes (DM2). Today I lead a TB research program with most studies on 

the TB-DM2 co-morbidity. 

My epidemiology studies have pioneered the current appreciation for the importance of the re-emerging 

association between TB and DM2 (Epidemiol Infect, 2007; Clin Infect Dis, 2007; Am J Trop.Med.Hyg. 2008; 

Scand.J Infect.Dis. 2008; Bull World Health Organ. 2011). The latter work received international recognition 

(see “Honors” section below). These studies have raised the attention of the World Health Organization 

(WHO), World Diabetes Foundation (WDF), and the International Union Against TB and Lung Diseases 

(IUATLD). I am a regular manuscript and grant reviewer on this topic, have been an invited speaker to national 

and international conferences. In fact, I was part of the steering committee, session chair and speaker at the 

recent NIH workshop (NIAID, NIDDK, Office of AIDS research) on TB, DM2 and HIV (May 2016). 

My basic science studies on TB-DM2 complement our epidemiological findings. I was among the first to 

show in contemporary times the dysfunctional immune response in DM2 patients with TB (Clin Infect Dis, 

2008; Int J Tub Lung Dis, 2011). I have extended the immunology studies to DM2 patients who are TB naïve or 

recent contacts of TB patients, and in all these study groups we find defective monocyte responses to M. 

tuberculosis (Tuberculosis, 2012; Tuberculosis, 2013; PlosONE, 2014; unpublished findings). Specifically, we 

find reduced phagocytosis and lower capacity to contain mycobacterial growth by DM2 monocytes (vs nonDM) which provides support for their higher TB risk. 

Relevance to this proposal. Beyond my studies on TB and DM, I have also participated in various 

proof-of-principle studies in collaboration with TB scientists across the US who require TB patient specimens. 

My strategic location on the Texas-Mexico border provides access to more specimens than most other sites in 

the US. A recent and exciting collaboration is with Drs. Sarah Fortune and Galit Alter (PIs) and their postdoctoral fellow, Dr. Lu, who is the PI on the current proposal. For these studies I have provided a wellcharacterized collection of plasma specimens that have contributed to the initial discovery of differential Fc 

receptor effector functions and glycosylation patterns in sera from TB versus LTBI patients. For the current 

proposal I will continue to provide Dr. Lu with plasma specimens selected based on the scientific needs, and 

participate in the data analysis of these findings taking into account the participant characteristics. 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 54
 Lenette L. Lu, Amy W. Chung, Tracy Rosebrock, Musie Ghebremichael, Wen Han Yu, Matthew K. 

Schoen, Fikadu Tafesse, Constance Martin, Vivian Leung, Alison E. Mahan, Magdalena Sips, 

Jacquelynne Tedesco, Hannah Robinson, Elizabeth Tkachenko, Katherine J. Freedberg, Hendrik 

Streeck, Todd J. Suscovich, Monia Draghi, Douglas Lauffenburger, Blanca I. Restrepo, Cheryl 

Day, Sarah Fortune, Galit Alter. A functional role for antibodies in tuberculosis. Cell. (submitted) 

Relevant expertise: My team’s discovery of defective responses to M. tuberculosis by diabetic 

monocytes plus the literature reports of defects in autophagy in DM2 patients provide the foundation for this 

proposal. For this I have initiated a collaboration with Dr. Jagannath who is an expert on TB autophagy and 

whose laboratory is within driving distance from mine. This strategic partnership complements my expertise 

and access to DM2 patients at different stages of TB, with Dr. Jagannath’s knowledge and technical 

experience on TB autophagy. 

B. Positions and Honors 

Positions and Employment: 

1997-2001: Head, Molecular Parasitology Group, Corporación para Investigaciones Biológicas (CIB), 

Medellín, Colombia 

2003-2007: Assistant Professor NTR. Univ Texas Health Houston- School of Public Health, Brownsville 

Regional Campus (UT-SPHB), Brownsville, TX 

2007-2010: Assistant Professor of Epidemiology, Tenure track, UT-SPHB, Brownsville, TX 

2010-present: Associate Professor of Epidemiology, Tenured. UT-SPHB, Brownsville, TX 

2012-present: Adjunct Associate Professor of Microbiology, UT-Health Science Center at San Antonio in 

Edinburg, TX 

Honors: 

1995: Honorable Mention for Leadership Award. Women's Faculty Association. University of Texas Health 

Science Center at San Antonio 

1998: Scholarship Award "Servicios y Cultivos LTDA" at CIB-Medellin. Award equivalent to US $16,500 to 

support salary 

2000: Gorgas Memorial Institute Research Award. Travel and Grant Award for the project “Development of 

improved immunoassays for tuberculous meningitis: Antigen detection for diagnosis and prognosis”. 

(US $20,000) 

2003: Friends of Public Health Award, Texas Department of Health Region 11. 

2009: Award of Merit. “Heads-Up Immunology module”. International competition honoring excellence in film, 

television and videography. Dr. Restrepo’s role: provide advice in this module’s design; featured as 

Hispanic scientist role model. www.accoladecompetition.org. PI: Natalie Sessions. 

2011: Manuscript “Cross-sectional assessment reveals high diabetes prevalence among newly-diagnosed 

tuberculosis cases. (Bull World Health Organ 2011 May 1)”

- Selected and evaluated by Anthony Harries, a Member of the Faculty of 1000 (F1000), placed publication in 

the F1000 library of top 2% of published articles in biology and medicine (http://f1000.com/11855966) 

- Featured by WHO for media release (http://www.who.int/bulletin/releases/media_notes/en/index.html) 

- Featured United Nations radio (http://www.unmultimedia.org/radio/spanish/detail/175949.html) 

C. Contribution to Science 

For each topic below I present selected publications. Full list available at My Bibliography (n=53) is at: 

http://www.ncbi.nlm.nih.gov/sites/myncbi/collections/public/1PGgVrbTknfffbOVCTJwNvTQM/?sort=date&di

rection=ascending. 

1. I discovered a novel DNA recombination mechanism that contributes to antigenic variation in a 

relapsing fever bacterium (Ph.D. advisor Dr. Alan Barbour): The expression of a new variable surface 

protein resulting from the intra-molecular activation of its pseudogene, with deletion of the intervening DNA. 

Further deletions at the junction site contribute to additional antigenic variation in the newly-expressed 

surface protein. This novel mechanism in Borrelias is remarkably similar to that used by our own immune 

system to generate diversity of antibodies or T-cell receptors (intra-molecular recombination, deletion of 

intervening DNA, further diversity generation at the DNA junction site). Given that host antibodies 

neutralize the emerging serotypes during relapsing fever, this is an example of convergent evolution 

between bacteria and the immune cells of the host they are infecting. 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 55
 Restrepo BI, Barbour AG. Antigen diversity in the bacterium B. hermsii through "somatic" mutations in 

rearranged vmp genes. Cell 1994 Sep 9; 78(5):867-76

 Barbour AG, Dai Q, Restrepo BI, Stoenner HG, Frank SA. Pathogen escape from host immunity by a 

genome program for antigenic variation. Proc.Natl.Acad.Sci.U.S.A 2006 Nov 28; 103(48):18290-5. 

PMCID or free URL: PMCID: PMC1635980 

2. I did significant advances on diagnostics and on elucidation of the neuroimmunology underlying 

the pathogenesis of neurocysticercosis (NCC) by Taenia solium. During my post-doctoral training 

(Advisor Dr. Judy Teale) I switched topics to study parasite immunology to increase my knowledge breath. 

I continued these studies when I moved to my home country in Colombia where I had my own laboratory. 

For diagnostics I led the characterization of the protein and carbohydrate structures of the most antigenic 

and specific glycoprotein antigens of this flatworm. We demonstrated that their antigenic component lied in 

their carbohydrates- hence explaining the failure by other research groups to produce successful 

recombinant antigens. For neuroimmunology we provided the most detailed immunohistochemical 

characterization done to date on the immune responses in the human brains of NCC patients, which lead 

to brain tissue damage and their life-threatening symptoms. This was complemented and contrasted with 

studies in pig tissues where the parasite does not cause symptoms, and by the development of a mouse 

model of NCC for experimental testing. 

 Cardona AE, Restrepo BI, Jaramillo JM, Teale JM. Development of an animal model for 

neurocysticercosis: immune response in the central nervous system is characterized by a 

predominance of gamma delta T cells. J Immunol. 1999 Jan 15; 162(2):995-1002

 Restrepo BI, Obregon-Henao A, Mesa M, Gil DL, Ortiz BL, Mejia JS, Villota GE, Sanzon F, Teale JM. 

Characterisation of the carbohydrate components of Taenia solium metacestode glycoprotein antigens. 

Int J Parasitol. 2000 May; 30(6):689-96

 Obregon-Henao A, Gil DL, Gomez DI, Sanzon F, Teale JM, Restrepo BI. The role of N-linked 

carbohydrates in the antigenicity of Taenia solium metacestode glycoproteins of 12, 16 and 18 kD. 

Mol.Biochem.Parasitol. 2001 May; 114(2):209-15

 Restrepo BI, Alvarez JI, Castano JA, Arias LF, Restrepo M, Trujillo J, Colegial CH, Teale JM. Brain 

granulomas in neurocysticercosis patients are associated with a Th1 and Th2 profile. Infect.Immun.

2001 Jul; 69(7):4554-60. PMCID or free URL: PMC98532

 Alvarez JI, Colegial CH, Castano CA, Trujillo J, Teale JM, Restrepo BI. The human nervous tissue in 

proximity to granulomatous lesions induced by Taenia solium metacestodes displays an active 

response. J Neuroimmunol. 2002 Jun; 127(1-2):139-44

 Haslam SM, Restrepo BI, Obregon-Henao A, Teale JM, Morris HR, Dell A. Structural characterization 

of the N-linked glycans from Taenia solium metacestodes. Mol.Biochem.Parasitol. 2003 Jan; 

126(1):103-7 

3. When I moved back to the US (fled Colombia due to violence) I switched to TB studies due to its 

public health relevance in the Texas-Mexico border. I began doing my first epidemiology studies. 

a. Epidemiology of TB and DM2. We pioneered the discovery of DM2 as a re-emerging risk factor for TB 

at a time when this was considered an event of the 1950s. Some of our most significant findings that 

have since been reproduced by other research groups include: 1) TB-DM (versus TB-no DM) patients 

are more likely to have multi-drug resistant TB and to present TB characteristics associated with higher 

infectiousness [cavitary TB, smear positive, delays in smear culture conversion and pulmonary (vs 

extrapulmonary) TB]. Thus, TB-DM2 patients may be important contributors to the spread of TB in their

community. 2) Nearly 40% of our TB patients in the Texas-Mexico border had DM2 co-morbidity, and 

development of TB due to DM2 is 28% among adults and nearly 50% among those 35-60 years old 

(population-attributable fraction). 3) TB patients with DM2 had been aware of their DM2 status for about 

7 years. This highlights missed opportunities for TB prevention among DM2 patients. 4) DM2 patients 

not previously aware of their DM2 status are more likely to be males. This points to the importance of 

TB clinics for screening and early detection of DM2 before DM2 complications, particularly among 

males. 

 Perez A, Brown HS, III, Restrepo BI. Association between tuberculosis and diabetes in the 

Mexican border and non-border regions of Texas. Am J Trop.Med.Hyg. 2006 Apr; 74(4):604-11. 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 56
 Restrepo BI, Fisher-Hoch SP, Crespo JG, Whitney E**, Perez A, Smith B, McCormick JB, Nuevo 

Santander TT. Type 2 diabetes and tuberculosis in a dynamic bi-national border population. 

Epidemiol.Infect. 2007 Apr; 135(3):483-91 PMCID: PMC2870584 

 Restrepo BI, Fisher-Hoch SP, Smith B, Jeon S, Rahbar MH, McCormick JB, Nuevo Santander TT. 

Mycobacterial clearance from sputum is delayed during the first phase of treatment in patients with 

diabetes. Am J Trop.Med.Hyg. 2008 Oct; 79(4):541-4 

 Restrepo BI, Camerlin AJ, Mohammad H. Rahbar, Weiwei Wang, Mary A. Restrepo, Izelda Zarate, 

Richard Wing, Francisco Mora-Guzman, J. Gonzalo Crespo-Solis, Jessica Briggs*, Joseph B. 

McCormick, Susan P. Fisher-Hoch. Cross-sectional assessment reveals high diabetes prevalence 

among newly-diagnosed tuberculosis cases. Bull World Health Organ. 2011 89:352-359. 

b. Immunology of TB and DM2. In TB patients we have pioneered studies showing dysfunctional 

immunity in TB-DM2. They are characterized by heightened Th1 responses (contrary to what was 

expected) and probably a reflection of higher bacillary burden. We showed that their higher IFN-γ

production did not associated with reduced sensitivity in IGRA assays (in contrast to HIV who are 

immune-suppressed). In TB-naïve individuals we have found defects in the innate response of DM2 

patients to M. tuberculosis in vitro, specifically in monocytes and their serum. In recent contacts of TB 

patients were are finding similar defects in their innate immunity (unpublished). Together, our findings 

indicate an under-performing innate immune response when a DM2 patient has an initial encounter with 

M. tuberculosis, but an exaggerated and perhaps inefficient cell-mediated immunity once active TB has 

developed. This dynamic and complex interaction at different stages of TB deserved further elucidation 

and provides the foundation for the current grant proposal. 

 Restrepo BI, Fisher-Hoch SP, Pino PA, Salinas A, Rahbar MH, Mora F, Cortes-Penfield N*, 

McCormick JB. Tuberculosis in poorly controlled type 2 diabetes: altered cytokine expression in 

peripheral white blood cells. Clin.Infect.Dis. 2008 Sep 1; 47(5):634-41 

 Mary C. Walsh, Aulasa Camerlin, Reyna Miles, Francisco Mora, J. Gonzalo Crespo, Joseph B. 

McCormick, Susan P. Fisher-Hoch, Blanca I. Restrepo. Sensitivity of Interferon-γ release assays is 

not compromised in tuberculosis patients with diabetes. Int J Tub Lung Dis. 2011 15(2):179-184.

 Diana I. Gomez, Marcel Twahirwa, Larry S. Schlesinger, Blanca I. Restrepo. (2013) Reduced 

Mycobacterium tuberculosis association with monocytes from diabetes patients that have poor 

glucose control. Tuberculosis. Mar;93(2):192-7. 

 Blanca I. Restrepo, Marcel Twahirwa, Mohammad H. Larry S. Schlesinger. Phagocytosis via 

complement or Fc-gamma receptors is compromised in monocytes from type 2 diabetes patients 

with chronic hyperglycemia. (2014) PlosONE 9(3): e92977. 

c. Molecular approaches to TB diagnosis. We designed novel molecular methods for DNA extraction 

and mycobacterial quantification in sputum, and adapted to our community existing molecular 

approaches for detection of M. tuberculosis mutations associated with rifampicin resistance (prior to 

Xpert). 

 Gomez DI, Fisher-Hoch SP, Bordt AS, Quitugua TN, Robledo J, Alvarez N, Correa N, McCormick 

JB, Restrepo BI. Systematic interpretation of molecular beacon polymerase chain reaction for 

identifying rpoB mutations in Mycobacterium tuberculosis isolates with mixed resistant and 

susceptible bacteria. Diagn.Microbiol.Infect.Dis. 2010; 67:37-46. 

 D.I. Gomez**, C.S. Mullin, F. Mora, J. Gonzalo Crespo, S. P. Fisher-Hoch, J.B. McCormick, B.I. 

Restrepo. (2011) Rapid DNA extraction for specific detection and quantitation of Mycobacterium 

tuberculosis DNA in sputum specimens using taqman assays. Tuberculosis. 91: S43-S48;. 

d. Field studies for a variety of proof-of-concept studies. Our access to more TB patients than many 

other TB study sites in the US and our field experience provides a resource to scientists across the US 

who want to test new diagnostics, immunoassays, basic science principles, field testing or other novel 

products in TB patients. I have been the local PI for a variety of studies. A recent and exciting 

collaboration is with Drs. Sarah Fortune and Galit Alter on the characterization of humoral immunity 

where we are demonstrating differential Fc receptor effector functions and glycosylation patterns in 

sera from TB versus LTBI patients. 

 Nira R. Pollock, Lilia Macovei, Kelly Kanunfre, Rakesh Dhiman, Blanca I. Restrepo, Izelda Zarate, 

Paula A. Pino, Francisco Mora-Guzman, Gerd Michel, Suely S. Kashino, Antonio Campos-Neto. 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 57
(2013) Validation of Mycobacterium tuberculosis Rv1681 protein as a diagnostic marker of active 

pulmonary tuberculosis. J Clin Microbiol. 51(5); 1367-1373 (2013 Feb 6. 

 Lenette L. Lu, Amy W. Chung, Tracy Rosebrock, Musie Ghebremichael, Wen Han Yu, Matthew K. 

Schoen, Fikadu Tafesse, Constance Martin, Vivian Leung, Alison E. Mahan, Magdalena Sips, 

Jacquelynne Tedesco, Hannah Robinson, Elizabeth Tkachenko, Katherine J. Freedberg, Hendrik 

Streeck, Todd J. Suscovich, Monia Draghi, Douglas Lauffenburger, Blanca I. Restrepo, Cheryl 

Day, Sarah Fortune, Galit Alter. A functional role for antibodies in tuberculosis. Cell. (submitted) 

D. Research Support in past 3 years 

Ongoing Research Support

Research Support completed in past three years

Pilot-CCTS Restrepo (PI) Sept 2013-2014

Impact of the glucose-lowering medication Metformin on blood monocyte immune responses to 

tuberculosis in type 2 diabetes patients

The goal is to conduct pilot studies in-vitro and in-vivo to determine whether metformin enhances 

the phagocytosis and containment of Mycobacterium tuberculosis within monocytes from diabetes 

patients

Role: PI of Pilot study

P20 MD000170‐04 McCormick (PI) Feb 2008-2013

Training core

The goal is to identify local students from this community and provide them with the scientific 

environment (Journal Clubs, Seminars) and the opportunity to participate in research projects. This 

will provide them with the opportunity to understand the process and hopefully motivate them to 

pursue a higher degree in the health sciences.

Role: PI of Training Core

Contact PD/PI: Lu, Lenette L.

Biosketches Page 58
BIOGRAPHICAL SKETCH 

Provide the following information for the Senior/key personnel and other significant contributors. 

Follow this format for each person. DO NOT EXCEED FIVE PAGES.

NAME: Eric J. Rubin

eRA COMMONS USER NAME (credential, e.g., agency login): 

POSITION TITLE: Irene Heinz Given Professor of Immunology and Infectious Diseases

EDUCATION/TRAINING (Begin with baccalaureate or other initial professional education, such as nursing, 

include postdoctoral training and residency training if applicable. Add/delete rows as necessary.)

INSTITUTION AND LOCATION 

DEGREE 

(if 

applicable)

Completion 

Date 

MM/YYYY 

FIELD OF STUDY 

 

Harvard College AB 06/1980 Biochemical Science 

Tufts University School of Medicine MD 05/1990 

Tufts University PhD 05/1990 Microbiology & Genetics

 

A. Personal Statement 

My research focuses on tuberculosis, its pathogenesis and interventions that can help treat and prevent 

disease. My lab has developed many of the genetic tools that are used to study the causative organism, 

Mycobacterium tuberculosis and employed these to understand the molecular mechanisms underlying 

virulence and susceptibility and resistance to antibiotics. I have trained a number of graduate students and 

postdoctoral fellows, most of whom have gone on to academic careers. I continue to interact extensively with 

former trainees and to help with grants and career advice. 

B. Positions and Honors 

Positions and Employment

1990-1992 Intern and Resident in Medicine, Massachusetts General Hospital 

1992-1997 Clinical and Research Fellow, Infectious Disease Unit, Massachusetts General Hospital 

1993-1997 Research Fellow, Department of Microbiology and Molecular Genetics, Harvard Medical School 

1997-2004 Instructor in Medicine, Harvard Medical School 

1997 Associate Physician, Brigham and Women’s Hospital 

1999-2005 Assistant Professor, Harvard School of Public Health 

2004 Assistant Professor of Medicine (Microbiology and Molecular Genetics), Harvard Medical School 

2005-2008 Associate Professor, Harvard School of Public Health 

2008 Professor, Harvard School of Public Health 

2011 Senior Associate Member, Broad Institute 

2014 Irene Heinz Given Professor of Immunology and Infectious Diseases 

Other Experience and Professional Memberships

1989 Alpha Omega Alpha 

1993-1994 Howard Hughes Medical Institute Physician Postdoctoral Fellow 

2003-now Member, NIH AIDS Discovery and Development of Therapeutics (ADDT) study section, 

 Chair, 2007-2008 

2003-2008 Burroughs Wellcome Investigator in Pathogenesis of Infectious Disease 

2009 Chair, TB Drug Development Gordon Research Conference 

2009-2014, Scientific Advisory Committee, Global Alliance for TB Drug Development, Chair, 2012-2014 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 59
&2016-now 

2012 Fellow, American Academy of Microbiology 

2012-now Associate Editor, New England Journal of Medicine 

2013 Organizer, TB Keystone Symposia 

2013-now Interview Panel, Wellcome Trust 

2016-now Member, NIH Microbiology and Infectious Diseases Study Section 

Other Scientific Advisory Committees: NIAID Systems Biology Program (Co-Chair), Singapore-MIT Alliance 

for Research and Training, Structure-based Drug Design Consortium, TB Research Unit – Weill-Cornell 

Medical College, TB Research Unit – Boston University, SANTHE – University of KwaZulu-Natal (Chair) 

C. Contribution to Science 

1. Defining key determinants of bacterial survival and growth. Using methods described below we have found 

the key determinants of Mycobacterium tuberculosis survival and growth, both in vitro and during infection. 

This has been the jumping off point for in-depth study of key bacterial proteins and processes with important 

applications in early efforts to define potential antibiotic targets and for creating attenuated strains for vaccines 

and for challenge studies. 

a. Sassetti CM, Boyd DH, Rubin EJ. Genes required for mycobacterial growth defined by high density 

mutagenesis. Mol Microbiol. 2003. 48(1):77-84. PMID: 12657046. 

b. Sassetti CM, Rubin EJ. Genetic requirements for mycobacterial survival during infection. Proc Natl 

Acad Sci USA. 2003. 100(22):12989-94, PMCID: PMC240732. 

c. Rengarajan J, Bloom BR, Rubin EJ. Genome-wide requirements for Mycobacterium tuberculosis

adaptation and survival in macrophages. Proc Natl Acad Sci. 2005. 102(23):8327-32, PMCID: 

PMC1142121. 

d. Zhang YJ, Ioerger TR, Huttenhower C, Long JE, Sassetti CM, Sacchettini JC, Rubin EJ. Global 

assessment of genomic regions required for growth in Mycobacterium tuberculosis. PLoS Pathog. 

2012. 8(9):e1002946, PMCID: PMC3460630. 

2. Understanding the physiology of bacterial growth. Mycobacteria are quite distinct from heavily studied 

model organisms. We have studied the cell biology of these bacteria concentrating on their unique aspects. 

Our contributions include studying the unusual mode of cell division (which, we have found, requires the 

formation of distinctive protein complexes), translational control systems (involving an error-prone system and 

numerous unusual ribosome-interacting proteins) and protein turnover (with a central role for the uniquelyarranged Clp protease). All of these represent attractive targets for therapeutic approaches. 

a. Raju RM, Unnikrishnan M, Rubin DH, Krishnamoorthy V, Kandror O, Akopian TN, Goldberg AL, Rubin 

EJ. Mycobacterium tuberculosis ClpP1 and ClpP2 function together in protein degradation and are 

required for viability in vitro and during infection. PLoS Pathog. 2012. 8(2):e1002511. PMCID: 

PMC3280978. 

b. Chao MC, Kieser KJ, Minami S, Mavrici D, Aldridge BB, Fortune SM, Alber T, Rubin EJ. Protein 

complexes and proteolytic activation of the cell wall hydrolase RipA regulate septal resolution in 

mycobacteria. PLoS Pathog. 2013. 9(2):e1003197, PMCID: PMC3585148. 

c. Raju RM, Jedrychowski MP, Wei JR, Pinkham JT, Park AS, O'Brien K, Rehren G, Schnappinger D, 

Gygi SP, Rubin EJ. Post-translational regulation via Clp protease is critical for survival of 

Mycobacterium tuberculosis. PLoS Pathog. 2014. 10(3):e1003994, PMCID: PMC3946367. 

d. Kieser, KJ, Baranowski, C, Chao, MC, Long, JE, Sassetti, CM, Waldor, MK, Sacchettini, JC, Ioerger, 

TR, Rubin EJ. Peptidoglycan synthesis in Mycobacterium tuberculosis is organized into networks with 

varying drug susceptibility. Proc Natl Acad Sci. 2015. 112(42):13087-92, PMCID: PMC4620856. 

3. Understanding mechanisms underlying host-pathogen interactions. Mycobacterium tuberculosis has 

evolved along with its human host to be an optimal pathogen. Thus, both bacterial and host factors contribute 

to the development of disease. We have investigated both sides of this relationship by using widespread 

screens and targeting candidate genes. These approaches have found key host receptors, intracellular 

modulators of growth, host metabolic contributions and complex bacterial secretory pathways. 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 60
a. Fortune SM, Jaeger A, Sarracino DA, Chase MR, Sassetti CM, Sherman DR, Bloom BR, Rubin EJ. 

Mutually dependent secretion of proteins required for mycobacterial virulence. Proc Natl Acad Sci. 

2005. 102(30):10676-81, PubMed PMCID: PMC1176248. 

b. Zhang YJ, Reddy MC, Ioerger TR, Rothchild AC, Dartois V, Schuster BM, Trauner A, Wallis D, Galaviz 

S, Huttenhower C, Sacchettini JC, Behar SM, Rubin EJ. Tryptophan biosynthesis protects 

mycobacteria from CD4 T-cell-mediated killing. Cell. 2013. 155(6):1296-308, PMCID: PMC3902092. 

c. Martinot AJ, Farrow M, Bai L, Layre E, Cheng TY, Tsai JH, Iqbal J, Annand JW, Sullivan ZA, Hussain 

MM, Sacchettini J, Moody DB, Seeliger JC, Rubin EJ. Mycobacterial Metabolic Syndrome: LprG and 

Rv1410 Regulate Triacylglyceride Levels, Growth Rate and Virulence in Mycobacterium tuberculosis. 

PLoS Pathog. 2016.12:e1005351. PMCID: PMC4709180. 

d. Marakalala MJ, Raju RM, Sharma K, Zhang YJ, Eugenin EA, Prideaux B, Daudelin IB, Chen PY, Booty 

MG, Kim JH, Eum SY, Via LE, Behar SM, Barry CE 3rd, Mann M, Dartois V, Rubin EJ. Inflammatory 

signaling in human tuberculosis granulomas is spatially organized. Nature Med. 2016. 22: 531-538, 

PMCID: PMC4860068. 

4. Defining mechanisms of antibiotics and antibiotic resistance. One of the primary goals of our work has been 

to develop novel approaches to developing new antibiotics and to understand the action of existing drugs. 

These efforts remain ongoing within two program project grants aimed at defining drug resistance mechanisms 

and developing new antibiotic screening methods. 

a. La Rosa V, Poce G, Canseco JO, Buroni S, Pasca MR, Biava M, Raju RM, Porretta GC, Alfonso S, 

Battilocchio C, Javid B, Sorrentino F, Ioerger TR, Sacchettini JC, Manetti F, Botta M, De Logu A, Rubin 

EJ, De Rossi E. MmpL3 is the cellular target of the antitubercular pyrrole derivative BM212. Antimicrob 

Agents Chemother. 2012. 56(1):324-31, PMCID: PMC3256021. 

b. Javid B, Sorrentino F, Toosky M, Zheng W, Pinkham JT, Jain N, Pan M, Deighan P, Rubin EJ. 

Mycobacterial mistranslation is necessary and sufficient for rifampicin phenotypic resistance. Proc Natl 

Acad Sci. 2014. 111(3):1132-7, PMCID: PMC3903211. 

c. Dragset MS, Poce G, Alfonso S, Padilla-Benavides T, Ioerger TR, Kaneko T, Sacchettini JC, Biava M, 

Parish T, Argüello JM, Steigedal M, Rubin EJ. A novel antimycobacterial compound acts as an 

intracellular iron chelator. Antimicrob Agents Chemother. 2015. 59(4):2256-64, PubMed PMCID: 

PMC4356758. 

d. Akopian T, Kandror O, Tsu C, Lai JH, Wu W, Liu Y, Zhao P, Park A, Wolf L, Dick LR, Rubin EJ, 

Bachovchin W, Goldberg AL. Cleavage specificity of Mycobacterium tuberculosis ClpP1P2 protease 

and identification of novel peptide substrates and boronate inhibitors with anti-bacterial activity. J Biol 

Chem. 2015. 290(17):11008-20, PMCID: PMC4409261. 

5. Creating tools broadly useful for bacterial genetics. We constructed one of the most widely used 

transposons in bacterial mutagenesis and an efficient delivery system for many species of bacteria. We used 

this to develop an approach, Transposon Site Hybridization (TraSH) to perform high-density whole genome 

screening for selectable trait. With the advent of high throughput sequencing, we have continued to innovate, 

using similar methods for studying genetic interactions and developing new protein-silencing methods to study 

gene function. 

a. Sassetti CM, Boyd DH, Rubin EJ. Comprehensive identification of conditionally essential genes in 

mycobacteria. Proc Natl Acad Sci. 2001. 98(22):12712-7, PMCID: PMC60119. 

b. Joshi SM, Pandey AK, Capite N, Fortune SM, Rubin EJ, Sassetti CM. Characterization of 

mycobacterial virulence genes through genetic interaction mapping. Proc Natl Acad Sci. 2006. 

103(31):11760-5, PMCID: PMC1544243. 

c. Wei JR, Krishnamoorthy V, Murphy K, Kim JH, Schnappinger D, Alber T, Sassetti CM, Rhee KY, Rubin 

EJ. Depletion of antibiotic targets has widely varying effects on growth. Proc Natl Acad Sci. 2011. 

108(10):4176-81, PMCID: PMC3053961. 

d. Pritchard JR, Chao MC, Abel S, Davis BM, Baranowski C, Zhang YJ, Rubin EJ, Waldor MK. ARTIST: 

high-resolution genome-wide assessment of fitness using transposon-insertion sequencing. PLoS 

Genet. 2014. 10(11):e1004782, PMCID: PMC4222735. 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 61
URL to complete bibliography: 

http://www.ncbi.nlm.nih.gov/sites/myncbi/eric.rubin.1/bibliography/41166769/public/?sort=date&direction=asce

nding.

D. Research Support 

Ongoing Research Support

 

 

 

5P01AI095208-03 J. Sacchettini (PI) 09/01/12 – 08/31/16 

NIH/NIAID 

Structure-based Discovery of Critical Vulnerabilities of Mycobacteria 

The goal of this project is to perform as the Chemical and Genetics Core for the Tuberculosis Structural 

Genomics Center, including generation of conditional mycobacterial mutants, identification of protein 

interactions, protein localization and identification of small molecule inhibitors of targeted proteins. 

Role: Subcontract Principal Investigator 

 

1R01AI116604-01 B. Moody (PI) 02/01/15 – 01/31/17 

NIH/NIAID 

Role of tuberculosinyl metabolites in M. tuberculosis virulence 

The major goals of this project are to study the biogenesis of TbAd and its effect on virulence in 

Mycobacterium tuberculosis. 

Role: Subcontract Principal Investigator

1R21AI116142-01 A. Pym (PI) 02/25/15 – 01/31/17 

NIH/NIAID 

Fate of M. tuberculosis Antibiotic Survivors 

The major goal of this project is to study genetic determinants of persistence. 

Role: Subcontract Principal Investigator

5R01AI097191-04 K. Derbyshire (PI) 05/15/12 – 04/30/17 

NIH/NIAID 

A Community Mycobacterial Systems Resource 

The major goal of this project is to study the phenotypes of Mycobacterium smegmatis mutants. 

Role: Subcontract Principal Investigator 

U19 AI107774-03 E. Rubin (PI) 07/02/13-06/30/18 

NIH/NIAID 

Decoding the roles of critical genes of unknown function in M. tuberculosis 

The major goal of this project is to experimentally define the roles of genes. We will concentrate on a 

particularly important class: those that are required for the optimal growth of M. tuberculosis. 

Role: Principal Investigator 

 

 

U19 AI109755-02 M. Murray (PI) 03/01/14-02/28/19 

NIH/NIAID 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 62
CETR: Discovery and validation of drug resistance mutations 

The goal of this project is to identify and validate which of the resistance-associated mutations are causally 

connected to either high-level drug resistance or an increased risk of developing resistance. 

Role: Subcontract Principal Investigator 

P30 AI060354-12 T. Maira-Litran (PI) 08/01/15-07/31/16 

NIH/NIAID - HU CFAR (Center for AIDS Research) 

Vaccination against Mycobacterium tuberculosis 

The goal of this project is to test the efficacy and safety of a vaccine candidate in the mouse model of TB. 

Role: Subcontract Principal Investigator 

Completed Research Support

 

 

 

 

 

 

 

P01 AI074805- T. Cross (PI) 08/20/09 – 07/31/14 

NIH/NIAID 

M tuberculosis Membrane Protein Pharmaceutical Targets

The major goal of this project was to construct knockout and knockdown strains for targeted genes in M. 

tuberculosis. 

Role: Subcontract Principal Investigator 

P30 AI060354- B. Walker (PI) 08/01/11 – 07/31/14 

NIH/NIAID HU CFAR 

Harvard University Center for AIDS Research: A Small Animal Model for HIV/TB 

This project was to study HIV/TB co-infection in a humanized mouse animal model. 

Role: Subcontract Principal Investigator 

 

 

 

Contact PD/PI: Lu, Lenette L.

Biosketches Page 63
Contact PD/PI: Lu, Lenette L.

FORTUNE, SARAH M. 

ACTIVE

 

 

 

R01 AI097191-05 (K. Derbyshire) 05/15/12-04/30/17 

 NIH/NIAID $ 

A Community Mycobacterial Systems Resource 

The major goal of this project is to study the phenotypes of Mycobacterium smegmatis mutants. 

No Award No. (B. Walker) 07/01/15-06/30/17 

Ragon Institute of MGH, MIT, and Harvard $ 

Engineering a model of transmitted M. tuberculosis 

We propose to develop a droplet based system to reproducibly capture individual Mycobacterium tuberculosis 

for infection for delivery as an inocula in nonhuman primate (NHP) infections. 

 

 

 

 

 

U19 AI107774-03 (E. Rubin) 07/02/13-06/30/18 

NIH/NIAID $ 

Decoding the roles of critical genes of unknown function in M. tuberculosis 

The major goal of this project is to experimentally define the roles of genes. We will concentrate on a 

particularly important class: those that are required for the optimal growth of M. tuberculosis. 

U19 AI109755-03 (M. Murray) 03/01/14-02/28/19 

NIH/NIAID $ 

CETR: Discovery and validation of drug resistance mutations 

The goal of this project is to identify and validate which of the resistance-associated mutations are causally 

connected to either high-level drug resistance or an increased risk of developing resistance. 

R01 AI11871-03 (P. Lin) 03/01/14-02/28/19 

NIH/NIAID $ 

HIV-TB Co-infection: Tracking TB emergence after asymptomatic (latent) infection 

The goal of this project is to use new molecular tools in the nonhuman primate model of tuberculosis to 

establish infection dynamics in the presence and absence of SIV infection. The Fortune lab is responsible for 

molecular analysis of viable and cumulative bacterial burdens in macaque lesions. 

P30 AI060354-12 (B. Walker) 08/01/13-07/31/19 

NIH/NIAID $ 

HU CFAR (Center for AIDS Research) 

Current and Pending Support Page 64
Contact PD/PI: Lu, Lenette L.

Harvard University Center for AIDS Research: Core B Developmental Core 

The primary goal of the Developmental Core of the Harvard University (HU) CFAR is to promote basic, clinical, 

behavioral and translational HIV/AIDS research activities at Harvard University. 

R01 AI114674-02 (S. Fortune and J. Flynn) 07/01/15-12/31/19 

NIH/NIAID $ 

The Consequences of Reinfection with M. tuberculosis 

The Fortune lab will be responsible for the proposed studies to generate tagged libraries of various M. 

tuberculosis strains as proposed in Aims 1 and 3. 

 

 

R01 AI123286-01 (S. Behar) 02/15/16-01/31/21 

NIH/NIAID $ 

Tuberculosis and T cell recognition 

The goal of this project is to determine the relative importance of quantitative differences in bacterial antigen 

abundance to T cell recognition of Mtb infected cells. 

PENDING

None. 

Current and Pending Support Page 65
Contact PD/PI: Lu, Lenette L.

ALTER, GALIT 

ACTIVE

5 P30 AI060354-11 (Walker) 08/01/14 – 07/31/19 

NIH $ [Alter] 

Harvard Medical School Center for AIDS Research 

The major goals of this project are to 1) to consolidate and expand existing collaborations among the members 

of two existing, highly successful HMS-affiliated CFARs and 2) to promote new interactions and research 

initiatives capable of more effectively addressing key AIDS research questions. Dr. Alter will serve as the Head 

of the CFAR Immunology Core at MGH. 

2U19 A166345-09 (Lauer) 08/01/10-07/31/16 

Project Leader $ 

Immune Control and Evasion during Acute HIV Infection – Project 2 

This project aims to determine the role of NK cells in acute HCV infection, providing new potential therapeutic 

avenues to enhance the activity of particular NK cell populations to drive HCV clearance. 

 

 

 

R01 AI 102660-04 (Alter) 07/01/12-06/30/16 

NIH/NIAID $350,000 

Tuning Fc-effector functions of HIV-specific antibodies 

This proposal aims to define the mechanim(s) regulating antibody glycosylation in B cells. These studies may 

identify new strategies to specifically tune B cell responses during vaccination to induce antibodies with 

specific antiviral activity. 

 

 

 

Ragon Institute of MGH, MIT & Harvard (Alter) 01/01/14-12/31/16 

Ragon Clinical Trials Initiative Lab Studies Alter $ 

The goal of these studies is to evaluate the non-neutralizing antibody responses elicited following Ad26, Ad35, 

and Ad5HVR48 vaccination of humans. 

4R33AI110165-03 (Alter) 12/01/2015 – 01/31/2019 

NIH $ 

Killing the Reservoir with Antibodies 

The goal of this award is to develop a monoclonal therapeutic approach, using Fc-enhanced anitbodies, to kill 

reactivated latently infected cells. 

Current and Pending Support Page 66
Contact PD/PI: Lu, Lenette L.

 

 

 

2R37AI080289-06A1 (Alter) 09/01/14 – 08/31/19 

NIH/NIAID $ 

Demystifying the antiviral activity of the IgG3+ antibody response 

The goal of this project is to explore and define the specificity/functionality of IgG3+ B cell responses and the 

mechanism, by which the immune system programs such potent antiviral humoral immunity. 

 

 

 

 

 

 

 

 

5R01AI102660-04 (Alter) 07/01/15 – 06/30/16 

NIH $ 

Tuning Fc-effector functions of HIV-specific antibodies: Administrative Supplement 

This study supports vaccine development efforts, and specifically the characterization of the protective IgG3 

signature identfied in RV144, through the development of a robust set of assays that probe and profile the nonneutralizing antibody response in remarkable depth, but in a highly objective manner, likely required for the 

idetnification of unexpected correlates of protective immunity against HIV. 

(Walker/Scully) 08/01/2015 – 07/31/16 

NIH/CFAR $ 

HU FAR Supplement 

Harvard University Center for AIDS Research: Host pathogen glycans in HIV-TB 

These studies will provide the first critical insights into the specific humoral immune profiles that if induced via 

vaccination may provide enhanced control and potential clearance of MTB, as well as define novel and critical 

therapeutic strategies to enhance MTB control among HIV infected subjects globally. 

 

Current and Pending Support Page 67
Contact PD/PI: Lu, Lenette L.

 

 

 

 

(Saphire) 03/01/2016 – 02/28/2017 

NIH 5U19AI109762 $ 

The Consortium for Immunotherapeutics Against Viral Hemorrhagic Fevers/Supplement 

The goal of this project is to define the extra-neutralizing functions of VIC-derived monoclonal antibodies and 

the contribution these functions play in providing protection and/or clearance of infection. 

PENDING: 

 

 

NIHU19 (Lauer) 09/01/2015 – 08/31/2020 

NIH $ 

The Role of NK Cells during Acute HCV Infection and Antiviral Therapy 

The goal of this project is to determine the the role of NK cells in the resolution of acute HCV infection. 

(Barouch) 07/01/2016 – 06/30/2021 

NIH 1UM1AI124377 - 01 $ 

Combined Immunologic Approaches to Cure HIV-1 - Focus 2 

The goal of this project is to develop next-generation “killer” monoclonal antibodies to aggressively purge the 

HIV reservoir following reactivation. 

(Barouch) 07/01/2016 – 06/30/2021 

NIH 1UM1AI124377 - 01 $ 

Combined Immunologic Approaches to Cure HIV-1 - Focus 2 

The goal of this project is to profile the vaccine-induced humoral immune responses induced by therapeutic 

vaccination in both non-human primates and humans to define the the reservoir-depleting activity of these 

responses. 

(Alter) 09/01/2016 – 08/31/2021 

NIH 1 R01 AI127765-01 $ 

Defining protective humoral immune responses against Ebola virus 

The goal of this project is to define the specific antibody response profiles, both with respect to specificity and 

function, that may provide the broadest level of protective immunity against filoviruses at a global level. 

(Coler) 12/01/17 – 11/30/2021 

NIH U19 $ 

A platform for profiling molecular signatures predictive of TRL4 vaccine response in clinical cohorts- Alter P1 

Current and Pending Support Page 68
Contact PD/PI: Lu, Lenette L.

The goal of this project is perform serological profiling of vaccine induced antibodies linked to antiviral/microbial functions of these antibodies to define the immunological correlates of vaccine induced 

protective immunity. 

(El Haddad) 12/01/16 – 11/30/2021 

NIH U19 $ 

Defining the Impact of Parasitic Co-Infection on Vaccine Induced Humoral Immunity-P1 

The goal of this project is to define the impact of parasitic infection on modulating vaccine induced humoral 

immunity against hepatitis B virus. 

(Lauer) 12/01/16 – 11/30/2021 

NIH U19 $ 

Systems glyco-immunology in viral infections of the liver - P2 

The goal of this project is define the impact of changes in antibody glycosylation following hepatic viral infection 

on regulation of humoral immunity. 

(Sekaly) 12/01/16 – 11/30/2021 

NIHU19 $ 

SIMBHAD (Systems Immunology Basis of HIV Acquisition and Dissemination) 

The goal of this project is to define the antiviral profiles of natural and HIV-specific antibodies that may 

contribute to antiviral control or protection from HIV acquisition. 

(Sekaly) 12/01/16 – 11/30/2021 

NIHR01 $ 

An unbiased OMICs approach to identify mechanisms of Cocaine regulation of the HIV reservoir 

The goal of this project is to determine the impact of cocaine use on altering antibody effector functions that 

may disrupt humoral immune control of the HIV viral reservoir. 

(Fouts) 12/01/17 – 11/30/2021 

NIHR01 $ 

Optimizing DNA prime/subunit boost regimen to enhance Fc-mediated effector functions 

The goal of this project is examine the antibody-effector functional activity of vaccine induced antibodies 

following DNA prime/boosting. 

(Juelg) 12/01/16-11/30/21 

NIH R01 $ 

Eradicating the HIV reservoir with glycosylation-optimized broadly functional antibodies (bFAbs) 

This proposal aims to develop a set of glyco-engineered antibodies that are able to kill reactivated latently 

infected cells to elicit highly specialized anti-viral functions able to eradicate the reservoir in vivo in NHP 

following reactivation. 

(Barouch) 12/01/16-11/30/21 

NIH R01 $ 

Optimization of Broadly Neutralizing Antibodies for HIV Eradication 

The goal of this project is to develop a bi- or tetra-specific Fc-engineered single monoclonal antibody the 

covers global viral diversity and drive the rapid and highly effective clearance of reactivated latently infected 

cells to test in vivo in NHP following viral reactivation. 

(Saphire) 06/01/2016-02/28/2018 

NIH5U19AI109762 $ 

Innovative tools to facilitate therapeutic/vaccine discovery 

The goal of this project is to downselect and develop an optimized cocktail of monoclonal antibodies that are 

able to control/eradicate ebola infection most effectively. 

Current and Pending Support Page 69
OMB Number: 4040-0001

Expiration Date: 06/30/2016

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date: 2016-06-10T09:57:43.000-04:00

RESEARCH & RELATED BUDGET - SECTION A & B, Budget Period  1

ORGANIZATIONAL DUNS*:   

Budget Type*: ● Project ❍ Subaward/Consortium

Enter name of Organization: THE GENERAL HOSPITAL CORP DBA MASSACHUSETTS GENERAL HOSPITAL

Start Date*: 04-01-2017 End Date*: 03-31-2018 Budget Period: 1

A. Senior/Key Person

# Prefix First Name* Middle

Name

Last Name* Suffix Project Role* Base

Salary ($)

Calendar

Months

Academic

Months

Summer

Months

Requested

Salary ($)*

Fringe

Benefits ($)*

Funds Requested ($)*

1 . Lenette Lu PD/PI

Total Funds Requested for all Senior Key Persons in the attached file

Additional Senior Key Persons: File Name:

Mime Type:

B. Other Personnel

Number of

Personnel*

Project Role* Calendar Months Academic Months Summer Months Requested Salary ($)* Fringe Benefits* Funds Requested ($)*

Post Doctoral Associates

Graduate Students

Undergraduate Students

Secretarial/Clerical

0 Total Number Other Personnel Total Other Personnel 0.00

Total Salary, Wages and Fringe Benefits (A+B)

RESEARCH & RELATED Budget {A-B} (Funds Requested)

9.0

Total Senior/Key Person

Contact PD/PI: Lu, Lenette L.

 Page 70
Contact PD/PI: Lu, Lenette L.

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date:

2016-06-10T09:57:43.000-04:00

RESEARCH & RELATED BUDGET - SECTION C, D, & E, Budget Period 1

ORGANIZATIONAL DUNS*: 

Budget Type*: ● Project ❍ Subaward/Consortium

Organization: THE GENERAL HOSPITAL CORP DBA MASSACHUSETTS GENERAL HOSPITAL

Start Date*: 04-01-2017 End Date*: 03-31-2018 Budget Period: 1

C. Equipment Description

List items and dollar amount for each item exceeding $5,000

Equipment Item Funds Requested ($)*

Total funds requested for all equipment listed in the attached file

Total Equipment

Additional Equipment: File Name:

Mime Type:

D. Travel Funds Requested ($)*

1. Domestic Travel Costs ( Incl. Canada, Mexico, and U.S. Possessions)

2. Foreign Travel Costs

Total Travel Cost

E. Participant/Trainee Support Costs Funds Requested ($)*

1. Tuition/Fees/Health Insurance

2. Stipends

3. Travel

4. Subsistence

5. Other: 

 Number of Participants/Trainees Total Participant Trainee Support Costs

RESEARCH & RELATED Budget {C-E} (Funds Requested)

 Page 71
Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date:

2016-06-10T09:57:43.000-04:00

RESEARCH & RELATED BUDGET - SECTIONS F-K, Budget Period 1

ORGANIZATIONAL DUNS*: 

Budget Type*: ● Project ❍ Subaward/Consortium

Organization: THE GENERAL HOSPITAL CORP DBA MASSACHUSETTS GENERAL HOSPITAL

Start Date*: 04-01-2017 End Date*: 03-31-2018 Budget Period: 1

F. Other Direct Costs Funds Requested ($)*

1. Materials and Supplies

2. Publication Costs

3. Consultant Services

4. ADP/Computer Services

5. Subawards/Consortium/Contractual Costs

6. Equipment or Facility Rental/User Fees

7. Alterations and Renovations

Total Other Direct Costs

G. Direct Costs Funds Requested ($)*

Total Direct Costs (A thru F)

H. Indirect Costs

Indirect Cost Type Indirect Cost Rate (%) Indirect Cost Base ($) Funds Requested ($)*

1 . Modified Total Direct Costs 8.0 186,340.00

Total Indirect Costs

Cognizant Federal Agency

(Agency Name, POC Name, and POC Phone Number)

Louis Martillotti Department of Health & Human Services Telephone:

212-264-2069

I. Total Direct and Indirect Costs Funds Requested ($)*

Total Direct and Indirect Institutional Costs (G + H)

J. Fee Funds Requested ($)*

K. Budget Justification* File Name: FINAL_Budget_Justification.pdf Mime Type: application/pdf

(Only attach one file.)

RESEARCH & RELATED Budget {F-K} (Funds Requested)

Contact PD/PI: Lu, Lenette L.

 Page 72
OMB Number: 4040-0001

Expiration Date: 06/30/2016

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date: 2016-06-10T09:57:43.000-04:00

RESEARCH & RELATED BUDGET - SECTION A & B, Budget Period  2

ORGANIZATIONAL DUNS*:   

Budget Type*: ● Project ❍ Subaward/Consortium

Enter name of Organization: THE GENERAL HOSPITAL CORP DBA MASSACHUSETTS GENERAL HOSPITAL

Start Date*: 04-01-2018 End Date*: 03-31-2019 Budget Period: 2

A. Senior/Key Person

# Prefix First Name* Middle

Name

Last Name* Suffix Project Role* Base

Salary ($)

Calendar

Months

Academic

Months

Summer

Months

Requested

Salary ($)*

Fringe

Benefits ($)*

Funds Requested ($)*

1 . Lenette Lu PD/PI 9.0

Total Funds Requested for all Senior Key Persons in the attached file

Additional Senior Key Persons: File Name: Total Senior/Key Person

Mime Type:

B. Other Personnel

Number of

Personnel*

Project Role* Calendar Months Academic Months Summer Months Requested Salary ($)* Fringe Benefits* Funds Requested ($)*

Post Doctoral Associates

Graduate Students

Undergraduate Students

Secretarial/Clerical

0 Total Number Other Personnel Total Other Personnel 0.00

Total Salary, Wages and Fringe Benefits (A+B)

RESEARCH & RELATED Budget {A-B} (Funds Requested)

Contact PD/PI: Lu, Lenette L.

 Page 73
Contact PD/PI: Lu, Lenette L.

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date:

2016-06-10T09:57:43.000-04:00

RESEARCH & RELATED BUDGET - SECTION C, D, & E, Budget Period 2

ORGANIZATIONAL DUNS*: 

Budget Type*: ● Project ❍ Subaward/Consortium

Organization: THE GENERAL HOSPITAL CORP DBA MASSACHUSETTS GENERAL HOSPITAL

Start Date*: 04-01-2018 End Date*: 03-31-2019 Budget Period: 2

C. Equipment Description

List items and dollar amount for each item exceeding $5,000

Equipment Item Funds Requested ($)*

Total funds requested for all equipment listed in the attached file

Total Equipment

Additional Equipment: File Name:

Mime Type:

D. Travel Funds Requested ($)*

1. Domestic Travel Costs ( Incl. Canada, Mexico, and U.S. Possessions)

2. Foreign Travel Costs

Total Travel Cost

E. Participant/Trainee Support Costs Funds Requested ($)*

1. Tuition/Fees/Health Insurance

2. Stipends

3. Travel

4. Subsistence

5. Other: 

 Number of Participants/Trainees Total Participant Trainee Support Costs

RESEARCH & RELATED Budget {C-E} (Funds Requested)

 Page 74
Contact PD/PI: Lu, Lenette L.

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date:

2016-06-10T09:57:43.000-04:00

RESEARCH & RELATED BUDGET - SECTIONS F-K, Budget Period 2

ORGANIZATIONAL DUNS*: 

Budget Type*: ● Project ❍ Subaward/Consortium

Organization: THE GENERAL HOSPITAL CORP DBA MASSACHUSETTS GENERAL HOSPITAL

Start Date*: 04-01-2018 End Date*: 03-31-2019 Budget Period: 2

F. Other Direct Costs Funds Requested ($)*

1. Materials and Supplies

2. Publication Costs

3. Consultant Services

4. ADP/Computer Services

5. Subawards/Consortium/Contractual Costs

6. Equipment or Facility Rental/User Fees

7. Alterations and Renovations

Total Other Direct Costs

G. Direct Costs Funds Requested ($)*

Total Direct Costs (A thru F)

H. Indirect Costs

Indirect Cost Type Indirect Cost Rate (%) Indirect Cost Base ($) Funds Requested ($)*

1 . Modified Total Direct Costs 8.0 183,265.00

Total Indirect Costs

Cognizant Federal Agency

(Agency Name, POC Name, and POC Phone Number)

Louis Martillotti Department of Health & Human Services Telephone:

212-264-2069

I. Total Direct and Indirect Costs Funds Requested ($)*

Total Direct and Indirect Institutional Costs (G + H)

J. Fee Funds Requested ($)*

K. Budget Justification* File Name: FINAL_Budget_Justification.pdf Mime Type: application/pdf

(Only attach one file.)

RESEARCH & RELATED Budget {F-K} (Funds Requested)

 Page 75
OMB Number: 4040-0001

Expiration Date: 06/30/2016

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date: 2016-06-10T09:57:43.000-04:00

RESEARCH & RELATED BUDGET - SECTION A & B, Budget Period  3

ORGANIZATIONAL DUNS*:   

Budget Type*: ● Project ❍ Subaward/Consortium

Enter name of Organization: THE GENERAL HOSPITAL CORP DBA MASSACHUSETTS GENERAL HOSPITAL

Start Date*: 04-01-2019 End Date*: 03-31-2020 Budget Period: 3

A. Senior/Key Person

# Prefix First Name* Middle

Name

Last Name* Suffix Project Role* Base

Salary ($)

Calendar

Months

Academic

Months

Summer

Months

Requested

Salary ($)*

Fringe

Benefits ($)*

Funds Requested ($)*

1 . Lenette Lu PD/PI 9.0

Total Funds Requested for all Senior Key Persons in the attached file

Additional Senior Key Persons: File Name: Total Senior/Key Person

Mime Type:

B. Other Personnel

Number of

Personnel*

Project Role* Calendar Months Academic Months Summer Months Requested Salary ($)* Fringe Benefits* Funds Requested ($)*

Post Doctoral Associates

Graduate Students

Undergraduate Students

Secretarial/Clerical

0 Total Number Other Personnel Total Other Personnel 0.00

Total Salary, Wages and Fringe Benefits (A+B)

RESEARCH & RELATED Budget {A-B} (Funds Requested)

Contact PD/PI: Lu, Lenette L.

 Page 76
Contact PD/PI: Lu, Lenette L.

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date:

2016-06-10T09:57:43.000-04:00

RESEARCH & RELATED BUDGET - SECTION C, D, & E, Budget Period 3

ORGANIZATIONAL DUNS*: 

Budget Type*: ● Project ❍ Subaward/Consortium

Organization: THE GENERAL HOSPITAL CORP DBA MASSACHUSETTS GENERAL HOSPITAL

Start Date*: 04-01-2019 End Date*: 03-31-2020 Budget Period: 3

C. Equipment Description

List items and dollar amount for each item exceeding $5,000

Equipment Item Funds Requested ($)*

Total funds requested for all equipment listed in the attached file

Total Equipment

Additional Equipment: File Name:

Mime Type:

D. Travel Funds Requested ($)*

1. Domestic Travel Costs ( Incl. Canada, Mexico, and U.S. Possessions)

2. Foreign Travel Costs

Total Travel Cost

E. Participant/Trainee Support Costs Funds Requested ($)*

1. Tuition/Fees/Health Insurance

2. Stipends

3. Travel

4. Subsistence

5. Other: 

 Number of Participants/Trainees Total Participant Trainee Support Costs

RESEARCH & RELATED Budget {C-E} (Funds Requested)

 Page 77
Contact PD/PI: Lu, Lenette L.

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date:

2016-06-10T09:57:43.000-04:00

RESEARCH & RELATED BUDGET - SECTIONS F-K, Budget Period 3

ORGANIZATIONAL DUNS*: 

Budget Type*: ● Project ❍ Subaward/Consortium

Organization: THE GENERAL HOSPITAL CORP DBA MASSACHUSETTS GENERAL HOSPITAL

Start Date*: 04-01-2019 End Date*: 03-31-2020 Budget Period: 3

F. Other Direct Costs Funds Requested ($)*

1. Materials and Supplies

2. Publication Costs

3. Consultant Services

4. ADP/Computer Services

5. Subawards/Consortium/Contractual Costs

6. Equipment or Facility Rental/User Fees

7. Alterations and Renovations

Total Other Direct Costs

G. Direct Costs Funds Requested ($)*

Total Direct Costs (A thru F)

H. Indirect Costs

Indirect Cost Type Indirect Cost Rate (%) Indirect Cost Base ($) Funds Requested ($)*

1 . Modified Total Direct Costs 8.0 187,000.00

Total Indirect Costs

Cognizant Federal Agency

(Agency Name, POC Name, and POC Phone Number)

Louis Martillotti Department of Health & Human Services Telephone:

212-264-2069

I. Total Direct and Indirect Costs Funds Requested ($)*

Total Direct and Indirect Institutional Costs (G + H)

J. Fee Funds Requested ($)*

K. Budget Justification* File Name: FINAL_Budget_Justification.pdf Mime Type: application/pdf

(Only attach one file.)

RESEARCH & RELATED Budget {F-K} (Funds Requested)

 Page 78
OMB Number: 4040-0001

Expiration Date: 06/30/2016

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date: 2016-06-10T09:57:43.000-04:00

RESEARCH & RELATED BUDGET - SECTION A & B, Budget Period  4

ORGANIZATIONAL DUNS*:   

Budget Type*: ● Project ❍ Subaward/Consortium

Enter name of Organization: THE GENERAL HOSPITAL CORP DBA MASSACHUSETTS GENERAL HOSPITAL

Start Date*: 04-01-2020 End Date*: 03-31-2021 Budget Period: 4

A. Senior/Key Person

# Prefix First Name* Middle

Name

Last Name* Suffix Project Role* Base

Salary ($)

Calendar

Months

Academic

Months

Summer

Months

Requested

Salary ($)*

Fringe

Benefits ($)*

Funds Requested ($)*

1 . Lenette Lu PD/PI 9.0

Total Funds Requested for all Senior Key Persons in the attached file

Additional Senior Key Persons: File Name: Total Senior/Key Person

Mime Type:

B. Other Personnel

Number of

Personnel*

Project Role* Calendar Months Academic Months Summer Months Requested Salary ($)* Fringe Benefits* Funds Requested ($)*

Post Doctoral Associates

Graduate Students

Undergraduate Students

Secretarial/Clerical

0 Total Number Other Personnel Total Other Personnel 0.00

Total Salary, Wages and Fringe Benefits (A+B)

RESEARCH & RELATED Budget {A-B} (Funds Requested)

Contact PD/PI: Lu, Lenette L.

 Page 79
Contact PD/PI: Lu, Lenette L.

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date:

2016-06-10T09:57:43.000-04:00

RESEARCH & RELATED BUDGET - SECTION C, D, & E, Budget Period 4

ORGANIZATIONAL DUNS*: 

Budget Type*: ● Project ❍ Subaward/Consortium

Organization: THE GENERAL HOSPITAL CORP DBA MASSACHUSETTS GENERAL HOSPITAL

Start Date*: 04-01-2020 End Date*: 03-31-2021 Budget Period: 4

C. Equipment Description

List items and dollar amount for each item exceeding $5,000

Equipment Item Funds Requested ($)*

Total funds requested for all equipment listed in the attached file

Total Equipment

Additional Equipment: File Name:

Mime Type:

D. Travel Funds Requested ($)*

1. Domestic Travel Costs ( Incl. Canada, Mexico, and U.S. Possessions)

2. Foreign Travel Costs

Total Travel Cost

E. Participant/Trainee Support Costs Funds Requested ($)*

1. Tuition/Fees/Health Insurance

2. Stipends

3. Travel

4. Subsistence

5. Other: 

 Number of Participants/Trainees Total Participant Trainee Support Costs

RESEARCH & RELATED Budget {C-E} (Funds Requested)

 Page 80
Contact PD/PI: Lu, Lenette L.

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date:

2016-06-10T09:57:43.000-04:00

RESEARCH & RELATED BUDGET - SECTIONS F-K, Budget Period 4

ORGANIZATIONAL DUNS*: 

Budget Type*: ● Project ❍ Subaward/Consortium

Organization: THE GENERAL HOSPITAL CORP DBA MASSACHUSETTS GENERAL HOSPITAL

Start Date*: 04-01-2020 End Date*: 03-31-2021 Budget Period: 4

F. Other Direct Costs Funds Requested ($)*

1. Materials and Supplies

2. Publication Costs

3. Consultant Services

4. ADP/Computer Services

5. Subawards/Consortium/Contractual Costs

6. Equipment or Facility Rental/User Fees

7. Alterations and Renovations

Total Other Direct Costs

G. Direct Costs Funds Requested ($)*

Total Direct Costs (A thru F)

H. Indirect Costs

Indirect Cost Type Indirect Cost Rate (%) Indirect Cost Base ($) Funds Requested ($)*

1 . Modified Total Direct Costs 8.0

Total Indirect Costs

Cognizant Federal Agency

(Agency Name, POC Name, and POC Phone Number)

Louis Martillotti Department of Health & Human Services Telephone:

212-264-2069

I. Total Direct and Indirect Costs Funds Requested ($)*

Total Direct and Indirect Institutional Costs (G + H)

J. Fee Funds Requested ($)*

K. Budget Justification* File Name: FINAL_Budget_Justification.pdf Mime Type: application/pdf

(Only attach one file.)

RESEARCH & RELATED Budget {F-K} (Funds Requested)

 Page 81
OMB Number: 4040-0001

Expiration Date: 06/30/2016

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date: 2016-06-10T09:57:43.000-04:00

RESEARCH & RELATED BUDGET - SECTION A & B, Budget Period  5

ORGANIZATIONAL DUNS*:   

Budget Type*: ● Project ❍ Subaward/Consortium

Enter name of Organization: THE GENERAL HOSPITAL CORP DBA MASSACHUSETTS GENERAL HOSPITAL

Start Date*: 04-01-2021 End Date*: 03-31-2022 Budget Period: 5

A. Senior/Key Person

# Prefix First Name* Middle

Name

Last Name* Suffix Project Role* Base

Salary ($)

Calendar

Months

Academic

Months

Summer

Months

Requested

Salary ($)*

Fringe

Benefits ($)*

Funds Requested ($)*

1 . Lenette Lu PD/PI 9.0

Total Funds Requested for all Senior Key Persons in the attached file

Additional Senior Key Persons: File Name: Total Senior/Key Person

Mime Type:

B. Other Personnel

Number of

Personnel*

Project Role* Calendar Months Academic Months Summer Months Requested Salary ($)* Fringe Benefits* Funds Requested ($)*

Post Doctoral Associates

Graduate Students

Undergraduate Students

Secretarial/Clerical

0 Total Number Other Personnel Total Other Personnel 0.00

Total Salary, Wages and Fringe Benefits (A+B)

RESEARCH & RELATED Budget {A-B} (Funds Requested)

Contact PD/PI: Lu, Lenette L.

 Page 82
Contact PD/PI: Lu, Lenette L.

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date:

2016-06-10T09:57:43.000-04:00

RESEARCH & RELATED BUDGET - SECTION C, D, & E, Budget Period 5

ORGANIZATIONAL DUNS*: 

Budget Type*: ● Project ❍ Subaward/Consortium

Organization: THE GENERAL HOSPITAL CORP DBA MASSACHUSETTS GENERAL HOSPITAL

Start Date*: 04-01-2021 End Date*: 03-31-2022 Budget Period: 5

C. Equipment Description

List items and dollar amount for each item exceeding $5,000

Equipment Item Funds Requested ($)*

Total funds requested for all equipment listed in the attached file

Total Equipment

Additional Equipment: File Name:

Mime Type:

D. Travel Funds Requested ($)*

1. Domestic Travel Costs ( Incl. Canada, Mexico, and U.S. Possessions)

2. Foreign Travel Costs

Total Travel Cost

E. Participant/Trainee Support Costs Funds Requested ($)*

1. Tuition/Fees/Health Insurance

2. Stipends

3. Travel

4. Subsistence

5. Other: 

 Number of Participants/Trainees Total Participant Trainee Support Costs

RESEARCH & RELATED Budget {C-E} (Funds Requested)

 Page 83
Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date:

2016-06-10T09:57:43.000-04:00

RESEARCH & RELATED BUDGET - SECTIONS F-K, Budget Period 5

ORGANIZATIONAL DUNS*: 

Budget Type*: ● Project ❍ Subaward/Consortium

Organization: THE GENERAL HOSPITAL CORP DBA MASSACHUSETTS GENERAL HOSPITAL

Start Date*: 04-01-2021 End Date*: 03-31-2022 Budget Period: 5

F. Other Direct Costs Funds Requested ($)*

1. Materials and Supplies

2. Publication Costs

3. Consultant Services

4. ADP/Computer Services

5. Subawards/Consortium/Contractual Costs

6. Equipment or Facility Rental/User Fees

7. Alterations and Renovations

Total Other Direct Costs

G. Direct Costs Funds Requested ($)*

Total Direct Costs (A thru F)

H. Indirect Costs

Indirect Cost Type Indirect Cost Rate (%) Indirect Cost Base ($) Funds Requested ($)*

1 . Modified Total Direct Costs 8.0

Total Indirect Costs

Cognizant Federal Agency

(Agency Name, POC Name, and POC Phone Number)

Louis Martillotti Department of Health & Human Services Telephone:

212-264-2069

I. Total Direct and Indirect Costs Funds Requested ($)*

Total Direct and Indirect Institutional Costs (G + H)

J. Fee Funds Requested ($)*

K. Budget Justification* File Name: FINAL_Budget_Justification.pdf Mime Type: application/pdf

(Only attach one file.)

RESEARCH & RELATED Budget {F-K} (Funds Requested)

Contact PD/PI: Lu, Lenette L.

 Page 84
BUDGET JUSTIFICATION 

Senior/Key Person

Lenette Lu, MD, PhD, an instructor of Medicine at Harvard Medical School and Assistant in Medicine at 

Massachusetts General Hospital, is the Principal Investigator of this Career Development Award. Support in 

the amount of $100,000 plus fringe, at the DHHS negotiated rate of 37%, is requested for Dr. Lu in years 1-5. 

This salary is calculated using an annual institutional base salary commensurate with others of comparable 

training and responsibility at Massachusetts General Hospital. Dr. Lu will commit a minimum of 9 calendar 

months (75% effort) for the duration of this project. 

Mentors: 

Sarah Fortune, MD, Professor of Immunology and Infectious Diseases at the Harvard T.H. Chan School of 

Public Health, Associate Member and TB Program Director at the Ragon Institute of MGH, MIT and Harvard 

will serve as Dr. Lu’s primary mentor on this Career Development Award. Dr Fortune has a well established 

NIH supported laboratory both at the Harvard School of Public Health and at the Ragon Institute of MGH, MIT 

and Harvard with a focus on determinants of the variability in clinical outcomes of tuberculosis infection and 

treatment. No salary support is requested. 

Galit Alter, PhD, Associate Professor of Medicine at MGH, member of the Ragon Institute of MGH, Harvard 

and MIT, faculty of the Harvard Immunology and Virology Programs and an executive committee member of 

the Harvard Center for AIDS Research will serve as a co-mentor for Dr. Lu for this Career Development Award. 

Dr Alter has a well established, NIH funded laboratory in innate effector mechanisms of antibodies. No salary 

support is requested. 

Other Significant Contributors: 

Eric Rubin, MD, PhD, the Irene Heinz Given Professor of Immunology and Infectious Diseases at the Harvard 

School of Public Health. Dr Rubin is a prominent senior physician-scientist in tuberculosis research, infectious 

diseases and medicine, and will serve as a member of the Advisory Committee for this Career Development 

award. No salary support is requested. 

Akiko Iwasaki, PhD, Howard Hughes Medical Institute Investigator and the Waldemar von Zedtwitz Professor 

of Immunobiology and of Molecular, Cellular and Developmental Biology at Yale University School of Medicine. 

Dr Iwasaki is a leader in innate immunity in viral infections and the link to adaptive immunity, and will serve as 

a member of the Advisory Committee for this Career Development award. No salary support is requested. 

Falk Nimmerjahn, PhD, head of the Division of Genetics at University of Erlangen. Dr Nimmerjahn is an 

internationally recognized expert in understanding mechanisms of IgG effector activity via Fc receptors, and 

will serve as a member of the Advisory Committee for this Career Development award. No salary support is 

requested. 

Facundo Batista, PhD, the Phillip and Susan Ragon Professor at Harvard Medical School and the Ragon 

Institute, member and Associate Director of the Ragon Institute of MGH, MIT and Harvard. Dr Batista is a 

renowned leader in combining state of the art imaging technology the cellular and molecular events activating 

B cells, and will serve as a member of the Advisory Committee for this Career Development award. No salary 

support is requested. 

Collaborators: 

Blanca Restrepo, PhD, Associate Professor, Division of Epidemiology at University of Texas Health Houston. 

Dr Restrepo is the principal investigator enrolling a cohort of latent and active TB patients in South Texas for 

immunological profiling. She will provide study samples. No salary or reagent support is requested.

Douglas Hayden, PhD, Assistant Professor of Medicine Harvard Medical School. Dr Hayden is a 

Biostatistician at the MGH Biostatistics Center with expertise in statistical methods associated with modern 

high dimensional datasets. He will provide statistical support. No salary support is requested. 

Other Direct Costs

Materials and Supplies 

Contact PD/PI: Lu, Lenette L.

Budget Justification Attachment Page 85
Contact PD/PI: Lu, Lenette L.

Per the Career Development Instructions for NIH SF424 Applications, the total research development support 

being requested was entered as (F) Other Direct Costs (1) Materials and Supplies. $ has been 

requested annually in Year 1-5, for anticipated costs such as: 

Tuition and Fees: Formal coursework to be completed in Years 1 and 2, as outlined in the Career Development 

Plan. The registration fee for Seeing is Believing EMBL in Year 1 is ($ The tuition for Quantitative 

Imaging at Cold Spring Harbor Laboratory in Year 2 is $ Harvard Catalyst classes are free. Courses 

such as these are critical to becoming an independent in microscopy and cell biology. 

Travel: $ for roundtrip economy airfare (Approximately $ accommodations, (Approximately 

$ for 5 nights) and other travel related expenses, to complete the Seeing is Believing EMBL course in 

Heidelberg, Germany in Year 1; remaining funds will also be used for travel and accommodations to attend a 

scientific conference such as: Keystone and European Molecular Biology Organization. $ is also 

expected in Years 2-5, for continued annual attendance of a scientific conference. 

Publications: $ for publication fees and the cost of preparations in Years 2-5 of the award.

Reagent/Supplies: For Year 1, $ Year 2, $ and Years 3-5, $ is requested for reagents/ 

supplies and core services including Microarray, Flow cytometry, Microscopy and BSL3 core charges. 

Reagents and supplies will include items such as tissue culture supplies, MTB proteome array slides, MTB 

antigens, monocyte selection kits, antibody purification kits and ultrafiltration units, PNGase, Ides, antibody 

quantification ELISA kits, siRNA and electroporation kits. 

Indirect Costs

Indirect Costs of were calculated based on a Modified Total Direct Costs rate of 8% consistent with 

Massachusetts General Hospital’s negotiated DHHS rate for Career Development Awards. The tuition and fees 

costs, identified above, are excluded from the MTDC base. 

Budget Justification Attachment Page 86
Contact PD/PI: Lu, Lenette L.

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date:

2016-06-10T09:57:43.000-04:00

RESEARCH & RELATED BUDGET - Cumulative Budget

Totals ($)

Section A, Senior/Key Person

Section B, Other Personnel 0.00

Total Number Other Personnel 0

Total Salary, Wages and Fringe Benefits

(A+B)

Section C, Equipment 0.00

Section D, Travel 0.00

1. Domestic 0.00

2. Foreign 0.00

Section E, Participant/Trainee Support

Costs

0.00

1. Tuition/Fees/Health Insurance 0.00

2. Stipends 0.00

3. Travel 0.00

4. Subsistence 0.00

5. Other 0.00

6. Number of Participants/Trainees 0

Section F, Other Direct Costs

1. Materials and Supplies

2. Publication Costs 0.00

3. Consultant Services 0.00

4. ADP/Computer Services 0.00

5. Subawards/Consortium/Contractual

Costs

0.00

6. Equipment or Facility Rental/User

Fees

0.00

7. Alterations and Renovations 0.00

8. Other 1 0.00

9. Other 2 0.00

10. Other 3 0.00

Section G, Direct Costs

(A thru F)

Section H, Indirect Costs

Section I, Total Direct and Indirect Costs

(G + H)

Section J, Fee 0.00

 Page 87
PHS 398 Cover Page Supplement

OMB Number: 0925-0001

Expiration Date: 10/31/2018

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date:

2016-06-10T09:57:43.000-04:00

1. Human Subjects Section

Clinical Trial? ❍ Yes ● No

*Agency-Defined Phase III Clinical Trial? ❍ Yes ❍ No

2. Vertebrate Animals Section

Are vertebrate animals euthanized? ❍ Yes ❍ No

If "Yes" to euthanasia

Is the method consistent with American Veterinary Medical Association (AVMA) guidelines?

❍ Yes ❍ No

If "No" to AVMA guidelines, describe method and proved scientific justification

3. *Program Income Section

*Is program income anticipated during the periods for which the grant support is requested?

❍ Yes ● No

If you checked "yes" above (indicating that program income is anticipated), then use the format below to reflect the amount and

source(s). Otherwise, leave this section blank.

*Budget Period *Anticipated Amount ($) *Source(s)

Contact PD/PI: Lu, Lenette L.

 Page 88
PHS 398 Cover Page Supplement

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191 . Received Date:

2016-06-10T09:57:43.000-04:00

4. Human Embryonic Stem Cells Section

*Does the proposed project involve human embryonic stem cells? ❍ Yes ● No

If the proposed project involves human embryonic stem cells, list below the registration number of the specific cell line(s) from the

following list: http://grants.nih.gov/stem_cells/registry/current.htm. Or, if a specific stem cell line cannot be referenced at this time,

please check the box indicating that one from the registry will be used:

❏ Specific stem cell line cannot be referenced at this time. One from the registry will be used.

Cell Line(s) (Example: 0004):

5. Inventions and Patents Section (RENEWAL)

*Inventions and Patents: ❍ Yes ❍ No

If the answer is "Yes" then please answer the following:

*Previously Reported: ❍ Yes ❍ No

6. Change of Investigator / Change of Institution Section

❏ Change of Project Director / Principal Investigator

Name of former Project Director / Principal Investigator

Prefix:

*First Name:

Middle Name:

*Last Name:

Suffix:

❏ Change of Grantee Institution

*Name of former institution:

Contact PD/PI: Lu, Lenette L.

 Page 89
PHS 398 Career Development Award Supplemental Form

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191. Received Date:

2016-06-10T09:57:43.000-04:00

OMB Number: 0925-0001

Expiration Date: 10/31/2018

Introduction

1. Introduction to Application

(RESUBMISSION)

Candidate Section

2. Candidate Information and Goals for Career

Development

FINAL_Candidate_Information.pdf

Research Plan Section

3. Specific Aims FINAL_Specific_Aims.pdf

4. Research Strategy* 06102016_Research_Plan.pdf

5. Progress Report Publication List

(for RENEWAL applications only)

6. Training in the Responsible Conduct of Research FINAL_Training_in_the_Responsible_Conduct_of_Research.pdf

Other Candidate Information Section

7. Candidate's Plan to Provide Mentoring

Mentor, Co-Mentor, Consultant, Collaborators Section

8. Plans and Statements of Mentor and

Co-Mentor(s)

FINAL_Mentor_Letter.pdf

9. Letters of Support from Collaborators,

Contributors, and Consultants

FINAL_Letters_of_support.pdf

Environment and Institutional Commitment to Candidate Section

10. Description of Institutional Environment FINAL_DescriptionoftheInstitutionalEnvironment.pdf

11. Institutional Commitment to Candidate's

Research Career Development

Final_Insitutional_Commitment.pdf

Human Subject Section

12. Protection of Human Subjects 06072016_FINAL_Protection_of_Human_Subjects.pdf

13. Data Safety Monitoring Plan

14. Inclusion of Women and Minorities 06072016_Inclusion_of_women_and_minorities.pdf

15. Inclusion of Children 06072016_Inclusion_of_Children.pdf

Other Research Plan Section

16. Vertebrate Animals

17. Select Agent Research

19. Consortium/Contractual Arrangements

19. Resource Sharing FINAL_Resource_Sharing_Plan.pdf

20. Authentication of Key Biological and/or

Chemical Resources

FINAL_Authentication_of_Key_Biological.pdf

Appendix

21. Appendix

Contact PD/PI: Lu, Lenette L.

 Page 90
PHS 398 Career Development Award Supplemental Form

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191. Received Date:

2016-06-10T09:57:43.000-04:00

Citizenship*:

U.S. Citizen or Non-Citizen National?* ❏✔ Yes ❏ No

If no, select most appropriate Non-U.S. Citizen option

❏  With a Permanent U.S. Resident Visa

❏  With a Temporary U.S. Visa

❏  Not Residing in the U.S.

If with a temporary U.S. visa who has applied for permanent resident status and expect to hold a permanent resident

visa by the earliest possible start date of the award, also check here: ❏

Contact PD/PI: Lu, Lenette L.

 Page 91
Candidate Information 

My career goal is to combine my basic science foundation, focused on mechanistic understanding of 

pathogenesis of infectious diseases, with my clinical skills to drive scientific questions informed by clinical 

insight and generate data with potential clinical implications. My research based on a breadth of experiences 

has evolved to become more in depth on the immune system and interactions with microorganisms. My clinical 

interests are in infectious diseases particularly relevant to resource limited areas. These pursuits have 

converged on the field of host pathogen interactions, a focus that has developed from my prior experiences. 

My exposure to lab science began early as both my parents were lab technicians. As a high school student, I 

worked more formally in the lab of Kevin Shannon at UCSF for two summers on genetic mechanisms 

underlying leukemogenesis. This was the first dedicated time towards specific research projects and gave a 

glimpse into the potential clinical impacts of basic mechanistic work. As an undergraduate at Swarthmore 

College, I worked on yeast cell cycle regulation with Elizabeth Vallen that culminated into my Honors Program 

Thesis, characterizing SID2, a novel gene in Saccharomyces cerevisae involved in DNA replication. This 

experience specifically taught me classic techniques to dissect fundamental biological processes. These 

experiences directed me towards a combined MD PhD program with the intent of continuing mechanistic work 

at the bench with potential clinical implications. In the Medical Scientist Training Program at Case Western 

Reserve University my scientific focus was on host pathogen interactions in the context of innate immune 

response to viral infections in the laboratory of Ganes Sen at the Cleveland Clinic where I moved forward from 

yeast in college to tissue culture models addressing the biochemical steps involved in dsRNA signaling and 

how Paramyxoviridiae proteins in particular inhibit these first innate immune steps during infection. Clinically, I 

developed an interest in infectious diseases and global health. I spent one of my rotations in Thailand where I 

first appreciated the differences in diseases and management between the developing and developed worlds. 

This interest I extended into my internal medicine residency through the global health relationships established 

between New York Presbyterian- Weill Cornell and Groupe Haitien d'Etude du Sarcome de Kaposi et des 

Infections Opportunistes in Haiti and Bugando Medical Centre in Tanzania. Haiti in particular is where I had my 

first significant exposure to tuberculosis, specifically multidrug resistant, with the diagnostic and treatment 

challenges of an extremely resource limited setting. Tanzania expanded my awareness of diseases and clinical 

skills as I both taught medical students and provided care in a slightly more developed world. These 

experiences solidified my interest to pursue infectious diseases as a subspecialty and showed me an area in 

which I believe the applicability of my basic research skills may have significant impact.

With these motivations, I moved to Boston for my Infectious Diseases fellowship, combining training at both the 

Massachusetts General Hospital and Brigham and Women’s Hospital. The program specifically aims to provide 

clinical training and in depth research mentorship to facilitate careers in academic research and clinical care. A 

project involving the functional role of antibodies in tuberculosis specifically interested me because of the 

understudied yet wide potential implications from an antibody perspective, the uniquely relevant human 

immunology approach and the vibrant Boston tuberculosis research community with the potential to drive 

innovative research. Sarah Fortune and Galit Alter provided a unique opportunity to study from both the host 

and pathogen sides. Supported for the past two years by the NIH T32 training award, I delineated differences 

in humoral immune responses in individuals with controlled bacterial burden in latent as opposed to 

uncontrolled bacterial burden in active tuberculosis. I went on to show in an in vitro macrophage model of 

tuberculosis infection, that antibodies from individuals with latent tuberculosis were able to mediate bacterial 

restriction more than antibodies from individuals with active disease, suggesting that antibodies might be 

leveraged for diagnostics and therapeutics. This involved learning new techniques in handling primary human 

immune cells, M. tuberculosis, microscopy and analysis of complex multiparametric data from human subjects 

and has been complemented by coursework which I have already or am in the process of completing: Models 

of disease (Harvard Catalyst), Advanced Course in Immunology, (American Association of Immunologists), 

Certificate in Biostatistics, (Harvard Catalyst), Programming in R (Harvard Catalyst), Introduction to Matlab, 

(Matlab), Fluorescence Microscopy (Harvard Medical School) and Using CellProfiler for Biological Image 

Analysis (Broad). The work thus far has led to multiple presentations by myself at local and national meetings 

such as Keystone. Moreover, a manuscript of this work for which I am co- first author has been submitted and 

is currently under review at Cell. 

Contact PD/PI: Lu, Lenette L.

Candidate Information and Goals for Career Development Page 92
How exactly antibodies might function in the context of tuberculosis and its physiological relevance remain 

questions which I will begin to address in this proposal. More specifically, my goals for the next five years are 

to focus on elucidating antibody Fc effector mechanisms of action within a macrophage and identifying the M. 

tuberculosis antigens that elicit the most functional antibody responses. This will require further training in 

antibody effector function analysis, cell biology, microscopy and data analysis with both coursework and lab 

work to build upon the immunology, microbiology, molecular biology and biochemistry techniques I have 

already attained. 

At this point in my career, with one first author publication in review at a high impact journal, a network of 

relationships within tuberculosis and human immunology and a project poised for success, the K08 funding to 

complete the experiments and training is a critical element to support my transition to independence from a 

both scientific and leadership aspects. This proposal specifically arises from my position as a highly trained 

infectious disease clinician with a strong background in basic science, enabling me to develop techniques and 

tools to translate potential correlates of protection from human studies into tractable models to probe 

mechanisms of disease to generate hypotheses that ultimately inform the direction and design of subsequent 

human studies. My unique perspective will allow me to pursue innovative concepts with a strong grounding in 

clinical relevance and the realities of translating research back to patient care.

Contact PD/PI: Lu, Lenette L.

Candidate Information and Goals for Career Development Page 93
Specific Aims

One third of the world’s population carries the burden of tuberculosis (TB). Efforts to reduce this burden have 

been hindered by the lack effective diagnostics1 and a protective vaccine underpinned by gaps in the 

understanding of the immune response in TB disease2

. While cellular immunity is important, the antibody (Ab) 

or humoral landscape is poorly understood3

. Passive transfer studies inconsistently provide protection and Ab 

titres alone are poor correlates of protection3

. However, Ab function is determined by the combination of 

antigen specificity via the Fab and ability to recruit functional responses via the Fc domain. Fc receptors (FcR) 

bind to the Fc to mediate processes such as cellular activation, antigen presentation, complement activation, 

phagocytosis and cytotoxicity4

. In humans, FcRs have been associated with different TB disease states

correlated with low (latent disease: LTB) and high (active disease: ATB) bacterial burden5-8 and in mouse 

models the lack of activating FcR leads to increased bacterial burden and disease9

. Together, these lines of 

evidence implicate a potential role for Ab mediated antimicrobial activity against Mycobacterium tuberculosis

(Mtb). Thus, while there is no clear role for neutralizing Ab responses in TB disease, Ab Fc recruitment of 

cellular responses is a promising underexplored potential for immune control. 

Using a systems serological approach10 we characterized functional profiles by antigen specificity, antibody 

subclass and titres, FcR affinity, critical post translation modifications such as glycosylation that mediate 

effector function and Fc effector functions themselves. We showed that different humoral signatures are 

associated with different TB disease states, correlating with controlled bacterial burden in LTB individuals 

compared to loss of control in ATB individuals. This paralleled findings in an in vitro macrophage model of TB 

infection where enhanced antimicrobial processes and decreased bacterial burden was observed in the 

presence of Abs from LTB compared to ATB individuals. 

We hypothesize that Abs play unique roles via their Fc-domains in mediating immune protection 

against Mtb. 

Aim 1: Define the antigen specificity of functional Mtb specific antibodies. 

Hypothesis: A subset of Mtb antigens elicit Ab that recruit immune effector functions against Mtb. 

We have shown that Ab from individuals with low bacterial burden in LTB compared to high bacterial burden in 

ATB mediate differential Fc effector functions and macrophage restriction of Mtb. However the specific 

antigens that elicit functional Abs are unknown. This aim utilizes an Mtb proteome array coupled with Ab Fc 

functional assays to identify the subset of Mtb specific antigens that elicit protective Fc effector functions.

Aim 2: Dissect the role of Fc/FcR mediated intracellular Mtb restriction.

Hypothesis: Abs activate macrophages to restrict intracellular Mtb via the activating FcγRIIIa. 

Ab facilitated macrophage restriction of Mtb in LTB is associated uniquely with increased affinity for the 

activating FcγRIIIa, expressed on an array of innate immune cells and mediate Fc effector functions. While 

attractive, a more direct and causal relationship has yet to be established. Via an Ab Fc domain structure 

function approach, targeted knockdown and specific localization, this aim addresses the potential for FcγRIIIa

to be the receptor through which Ab restrict intracellular Mtb. 

Aim 3: Identify the macrophage effector mechanisms through which Ab restrict intracellular Mtb. 

Hypothesis: Abs enhance phagolysosomal fusion via IL1β to direct intracellular bacterial fate.

Ab from individuals with low bacterial burden in LTB compared to high bacterial burden in ATB enhance 

phagolysosomal fusion and inflammasome activation, secreting IL1β. How these processes are intertwined 

remain unclear with potential implications in models of disease and therapeutics. Kinetic analysis to delineate 

the temporal relationships and the identification of specific drivers within these processes will be the first step 

in parsing the nuances of Ab directed intracellular bacterial fate. 

The scientific objective of this K08 is to begin to define the Ab Fab and Fc features associated with intracellular 

Mtb control with the vision that they may be harnessed to dissect host pathogen interactions in tractable 

models of disease and ultimately expand the repertoire for immune correlates/diagnostics and next generation 

vaccine design. This portfolio of research and training will enable me to develop techniques and tools to 

translate potential correlates of protection from human studies into tractable models to probe mechanisms of 

disease.

Contact PD/PI: Lu, Lenette L.

Specific Aims Page 94
Significance

One in three people worldwide carry the burden of tuberculosis (TB)11. Unlike many infections, TB disease is 

predominantly asymptomatic in a stage of latency (LTB) that can span decades. In this state, there is no 

evidence of bacterial burden yet a T cell based immunological signature of exposure is present. At an unclearly 

defined point, a subset of individuals with LTB will transition to active disease (ATB), defined by evidence of 

microbiological burden and clinical symptoms, the majority of which are pulmonary. These disease states are 

poorly recapitulated in mice, which remain at this point the most tractable animal model available. 

Consequently, the initial interactions that occur during acquisition, the immune response in latency and the 

switch to active disease are not well understood12. Moreover, the promise of effective vaccines and correlates 

of protection based on these models has yet to be met13-16. Thus, the challenge in advancing the 

armamentarium against TB disease lies in coordinated targeted translations between humans and animal 

models17 and the search for a new paradigm of protective immunity2,18. 

In many infections and almost all current vaccines, antibodies (Ab) are considered correlates of protection19. 

The exception is the Bacille Calmette-Guérin (BCG) vaccine against Mycobacterium tuberculosis (Mtb) which 

is based on cellular immunity and whose efficacy is insufficient to garner routine immunization in the United 

States, a non endemic area20. These humoral correlates are almost entirely based on pathogen specific titres, 

extrapolating that Abs function in the context of neutralizing extracellular pathogen. However, Ab can direct

defense mechanisms against intracellular pathogens. These may be conducted through effector functions 

directed by the Fc21-26, whose relevance is supported by the existence of elaborate mechanisms of targeted 

evasion developed by bacteria27,28. Hence both specificity, directed by the Fab, and function, directed by the Fc 

are critical properties of an Ab (Fig 1).

In TB disease, where the predominant 

portion of the bacterial lifespan is inside 

a cell, there is evidence both for and 

against the idea of protective Abs and 

the role of B cells3,29. Passive transfer of 

Abs inconsistently confer protection30-35

and opsonization of extracellular Mtb by 

complement does not appear to affect 

Mtb survival36. Ab titers are poor 

correlates of protection and in fact are 

associated with more severe TB 

disease37,38. Additionally, in humans, B 

cell and Ab deficiencies are not clearly 

linked to increased susceptibility34. 

However, Abs and plasma cells are 

abundant in pulmonary TB granulomas, 

a quintessential immunological hallmark 

of infection39. In humans and non-human primates, they are tightly packed around the bacteria, surrounded by 

FcR laden innate immune effector cells40,41. Some Abs against Mtb arabinomannan can enhance bacterial 

opsonization and restrict intracellular growth42. Ab titres nadir in children with disseminated disease43 and have 

recently been implicated as potential immune correlates in a post-hoc analysis of the MVA85 TB vaccine trial44. 

Finally, mice lacking B cells or the ability to secrete Abs have increased susceptibility to TB infection45-47 and 

non human primates treated with the monoclonal CD20 Ab depleting B cells have increased bacterial burden 

thought to be due to the local granulomatous response 48. 

In contrast, there is evidence supporting a role for Fc receptors in TB disease. Mice deficient in activating FcRs 

exhibit enhanced lung immunopathology and elevated bacterial burden while those lacking the inhibitory FcR 

have diminished pathology and lower bacterial burden9

. In humans, higher expression of the activating highaffinity FcγRI5,7,8 and loss of the activating low-affinity FcγRIIIb are associated with enhanced TB disease 6

. 

These lines of evidence suggest that Abs, via their Fc, contribute to immune modulation and potentially 

antimicrobial control. Thus, while there is no clear role for neutralizing Ab responses in TB disease, Ab 

Fc recruitment of cellular responses is a promising underexplored potential for immune protection.

Fig 1. Ab function is determined by both antigen specificity via the Fab and 

ability to recruit functional responses via the Fc. Fc bind to Fc receptors (FcR) 

to mediate processes such as cellular activation, antigen presentation, 

complement activation, nitric oxide production, phagocytosis and cytotoxicity in 

diverse effector innate immune cells against infected target cells. This 

interaction is fine tuned by differential glycosylation on conserved asparagine 

(Asn) residues on the Fc domain and subclass specificity. 

Contact PD/PI: Lu, Lenette L.

Research Strategy Page 95
Innovation

While Ab mediated immunity in infectious diseases has been centered on opsonizing and neutralizing 

extracellular pathogens, beyond these functions Abs direct innate immune anti-microbial activity via their Fc 

domains following engagement of Fc receptors (FcRs) 49,50. Abs elicit distinct Fc effector functions such as Ab 

dependent cellular cytotoxicity (ADCC), Ab dependent phagocytosis (ADCP), upregulation of antigen 

presentation in dendritic cells (DC), activation of complement and induction of nitric oxide through differential 

interactions between their Fc domain and FcRs present on all innate immune cells. Alterations in Fc binding to 

FcRs is governed by isotype (n=5 in humans IgG, IgM, IgA, IgD and IgE), subclass (n=4 for IgG) and post 

translational modifications in N-linked glycosylation (n=35) 51,52 (Fig 1). While variation in Ab glycosylation is 

influenced by age and gender53,54, both subclass and glycans are dynamically altered in the course of infection, 

treatment and vaccination55-61. In TB disease, IgG subclass distribution can be62,63 but is not always64-66 altered 

in the transition from LTB to ATB. Moreover, how the Fc is modified by glycosylation and how these changes 

may impact effector functions during the course of TB infection remain unclear. These Fc features, with the 

potential to recruit of innate and adaptive immunity, represent an underexplored path of protective immunity.

While Fc effector functions in humans parallel mice, the distinct repertoires of Fc and FcRs in each species 

presents a challenge in transiting between mouse models and humans67. Also unlike humans, the mouse 

model does not recapitulate latency as a disease state nor does it represent granulomas, a quintessential 

aspect of TB infection68. These differences may account for some of the inconsistent conclusions in the 

literature regarding the relevance of humoral immunity in TB disease. To isolate the most physiologically 

relevant interactions, this proposal focuses on human sera and human models of infection with the vision of 

targeted transition into an appropriate animal model to generate hypotheses that inform the direction and 

design of subsequent human studies.

Approach

In humans, latent TB (LTB) is defined by low 

(undetectable) bacterial burden while active TB (ATB) is 

defined by high bacterial burden, a natural dichotomy of 

states in which immune features can be measured to 

predict potential protective correlates. In collaboration 

with Cheryl Day, we used a systems serological 

approach and comprehensively characterized the Ab Fc 

signatures in individuals from South Africa with LTB 

(n=22) and ATB (n=20) by broad antigen specificity, Ab 

subclass and titres, FcR affinity, differential glycosylation 

and the Fc effector functions of phagocytosis, cellular 

cytotoxicity, upregulation of antigen presentation and 

nitric oxide production. We hypothesized that potential 

protective signatures of humoral immunity were 

associated with decreased bacterial burden and disease 

in LTB compared to ATB. A multivariate feature 

reduction approach69 identified from the 69 initial Ab 

features potential immune correlates including Ab 

dependent cellular phagocytosis (ADCP), FcR affinity 

and differential Fc glycosylation. These differences were 

associated with enhanced human macrophage control of 

Mtb in Abs isolated from LTB as compared to ATB, 

measured by increased phagolysosomal fusion, inflammasome activation and lower bacterial burden (Fig 2). 

This proposal aims to leverage this preliminary data set to validate critical features identified and hypothesized 

to be protective in LTB vs ATB in an independent cohort of individuals from Texas that is gender and age 

matched to address any potential hidden confounders and comment on the generalizability of these findings. 

Specifically, it seeks to identify the subset of Mtb antigens that elicit potential protective Ab functions and the 

mechanism by which Ab direct intracellular bacterial fate.

Fig 2. Mtb infected macrophages cultured with IgG from 

LTB compared to ATB have decreased bacterial burden. 

Primary human monocyte derived macrophages were 

infected at MOI 1 with a virulent strain of Mtb H37RvMCherry. Extracellular bacteria was washed away and IgG 

pooled from LTB, ATB, control healthy sigma IgG (sIgG) or 

no Ab were co-cultured with infected macrophages for 96 

hrs. High throughput fluorescence microscopy was utilized 

for imaging. Via CellProfiler, bacterial burden was 

quantitated by pixel per macrophage as delineated by 

DAPI. Bars represent mean ± SEM. ***p<0.001, **p<0.01, 

*p<0.05 by student t test. 

Contact PD/PI: Lu, Lenette L.

Research Strategy Page 96
Aim 1: Define the antigen specificity of functional Mtb specific antibodies. 

Rationale: Total polyclonal IgG from individuals with LTB with undetectable bacterial burden compared to ATB

with high bacterial burden differentially mediate macrophage restriction of intracellular Mtb (Fig 2). Monoclonal 

Abs against Mtb LAM42 also have this ability. Thus different Mtb antigens may elicit different Ab functionalities 

against intracellular Mtb with a subset that is protective. If Abs mediated protection in LTB than the subset of 

protective Mtb specific Abs would be predicted to be more dominant in this state compared to ATB. The 

attention paid to Mtb specific antigens in the literature has focused on recognition by CD4 T cells70 but the 

identification of immunodominant antigens in this context has yet to be translated into protective immunity.

Moreover the limitations of these approaches are driven by the size and complexity of the Mtb proteome in 

conjunction with the challenge of non tuberculous mycobacterial cross reactivity70. Only recently have larger 

screening capacities become more available with hints to the potential changing antigen spectrum recognized 

by serum from individuals with ATB compared to non TB diseases71 and from individuals with ATB before and 

after antimicrobial treatment72. These dynamic changes suggest the existence of Mtb specific Abs that may be 

leveraged to modulate disease. Intriguingly both studies highlight multiple Mtb proteins yet to be characterized 

and suggest that only a small subset of pathogen specific antigens may elicit a measurable humoral response. 

No data is published distinguishing the Mtb antigen specificity between LTB and ATB. Comparing the spectrum 

of antigens in these two states- controlled versus uncontrolled bacterial burden- will help identify potentially 

novel Mtb candidates that may elicit functionally protective Ab responses.

Hypothesis: A subset of Mtb antigens elicit Ab that recruit immune effector functions against Mtb. 

Preliminary Data: In the South African cohort, 

purified protein derivative (PPD)- a broad array of 

Mtb specific antigens- can mediate Fc effector 

functions such as Ab dependent cellular 

cytotoxicity (ADCC). LTB IgG has increased 

levels of ADCC compared to ATB IgG and 

depletion of PPD specific IgG abrogates this 

function (Fig 3A). This suggests that PPD specific

LTB IgG drives ADCC. ADCC and affinity for 

FcγRIIIa are modulated by glycosylation, for 

example the presence of bisecting Nacetylglucosamine (GlcNAC) (Fig 3B-D). 

Comparison of bulk IgG between LTB and ATB in 

a second cohort of individuals from Texas in 

collaboration with Blanca Restrepo, show a 

difference consistent with increased affinity for 

FcγRIIIa with enriched B-GlcNAC structures (Fig 

3B). These differences are not recapitulated in 

PPD specific IgG (Fig 3C) but are accentuated in a more granular analysis with Ag85A (Fig 3D), a major 

secretion product of Mtb, indicating that not all Mtb antigen reactive IgG are equivalent. These data support the 

hypothesis that different antigen specific Abs direct different functional capacities in LTB compared to ATB.

Experimental Design: 

Mtb antigens. To isolate specific Mtb antigens that elicit functional Abs we will utilize arrays72 containing 4262 

full-length recombinant proteins encompassing >95% of the Mtb proteome derived from the virulent H37Rv 

reference strain and the pathogenic strain CDC1551. To probe this set of antigens, we will use sera and 

specifically highlight the IgG class given that it is the most functional and also most abundant in blood51. These 

arrays will be read on a microarray scanner (Molecular Devices GenePix 4000B) and data processed by a 

microarray analysis program (GenePix Pro 6.1). The sera from LTB n=34 and ATB n=34 will be obtained in 

collaboration with Blanca Restrepo (University of Texas) to identify the differential spectrum of antigens 

recognized in LTB compared to ATB. This will generate antigens of interest and or provide the basis for further 

power and sample size calculations should it be necessary to conduct a larger study. Ultimately, three groups 

of antigens are expected: 1) antigens recognized by sera in both LTB and ATB 2) antigens recognized by LTB 

sera only and 3) antigens recognized by sera by ATB sera only (Fig 4). If the LTB state harbors Abs that are 

Fig 3. Antigen specificity is important in Fc effector function and 

glycosylation. A. Purified protein derivative (PPD) as Mtb specific 

antigen was used to deplete specific from bulk IgG pooled from LTB 

or ATB. ADCC was performed using PPD adsorbed CEM-NKr cells 

labeled with intracellular CFSE and membrane PKH26 dyes as 

target cells and primary NK cells as effector cells. Abs were added. 

The proportion of PKH26+ cells lacking intracellular CFSE (i.e., 

lysed target cells) was determined using flow cytometry. Bars 

represent mean ± SEM. Capillary electrophoresis was used to 

identify glycan structures purified from PNGase digested B. bulk, C. 

PPD specific and D. Ag85A specific IgG isolated on biotinylated 

antigen streptavidin columns. Bars represent mean ± SEM. P values 

are calculated by Mann Whitney. 

Contact PD/PI: Lu, Lenette L.

Research Strategy Page 97
protective, then antigens recognized by LTB sera specifically would be most likely to elicit a functional Fc 

signature. Once Mtb antigens are identified by array, functional validation of these antigen specific IgG will be 

performed by experiments involving depletion of antigen specific Ab, antigen specific Fc effector assays and 

antigen specific Ab glycosylation. This approach is directed by the fact that even the highest titres of antigen 

specific Abs are low in sera73, rendering the isolation of antigen specific Abs in adequate amounts for many 

functional studies difficult. Purified antigens (CDI NextGen Proteomics, BEI Resources) will be biotinylated and 

bound to streptavidin columns through which antigen specific fractions may be separated from bulk total IgG 

from individual patients. As multiple as opposed to a single antigen will likely be highlighted, the first level of 

depletion will use all antigens identified by array analysis to 

observe the largest potential impact possible.

Functional validation. In the South African cohort Ab dependent 

cellular cytotoxicity (ADCC) is higher in LTB compared to ATB

(Fig 3), suggesting one way in which innate immune cells may 

eliminate target cells infected with the pathogen. Thus, in the 

Texas cohort for this proposal, ADCC74 specific to PPD will be a 

first validation for potential protective Ab mediated functions. 

This will be performed with IgG depleted of antigen specific Ab

from LTB and ATB. In addition, the antigen of choice is flexible 

in the ADCC assay. Thus a second validation will be based on a 

side by side comparison of antigens identified in the array. This 

will be performed with bulk IgG from LTB and ATB. Finally, IgG 

glycosylation patterns impact affinity for FcR and thus Fc 

effector functionality. Therefore a third level of validation will be 

of the glycan forms on antigen specific IgG using high 

throughput capillary electropheresis60,75. Antigens of interest will 

be defined by the following characteristics: depletion of antigen 

specific IgG decreases ADCC, ADCC in response to one 

antigen is increased compared to others and antigen specific 

IgG have increased bisecting GlcNAC, decreased fucose and 

increased galactose compared to bulk as observed in the LTB 

and ATB IgG from the South African cohort.

Expected Results: If the LTB state restricting bacterial burden is 

protective compared to the ATB which is permissive to bacterial 

replication, then antigens recognized by LTB sera specifically 

would be predicted to elicit a functional Fc signature. This will likely be reflected by a small subset of Mtb

specific antigens since only a small subset was significantly different between sera of ATB pre and post 

treatment72 and non TB compared to LTB71. However, even if LTB and ATB recognize the same spectrum of 

antigen, the possibility exists that Fc modifications alone such as glycosylation are sufficient to change 

functionality. For this reason antigens reactive to both LTB and ATB sera will be considered as a second group

of potential candidate antigens. We expect that multiple Mtb antigens elicit Abs and induce protection 

collaboratively. Thus depletion of all candidate antigen specific Ab together will abrogate Fc effector functions 

such as ADCC more than depletion of one single candidate. Alternatively, Fc effector functions may be 

recruited in an Mtb antigen non specific manner and the observed PPD dependence of functions may be 

explained by cross reactivity between mycobacterial and self epitopes. In this case, the more targeted 

depletion of Mtb protein specific population of total IgG would not abrogate Fc effector functions.

Potential pitfalls and alternative strategies: It is possible that Mtb proteome alone insufficiently represents the 

entire antigen spectrum as glycolipids represent a formidable portion of the bacterial cell wall 76 and can 

generate humoral immune reponses77,

78,42. To address this potential pitfall, glycan arrays79 may be utilized in 

parallel to the protein based approach here to more fully interrogate the gamut of pathogen specific epitopes. 

Comparing the differential spectrum of antigens recognized by Ab in LTB and ATB will provide 

potentially specific novel candidates for the generation of monoclonal Abs for further mechanistic

studies and, potentially, therapeutics and vaccine design.

Fig 4. Identifying Mtb antigens of interest. Mtb

protein array will identify potential antigens 

reactive to IgG from LTB and ATB. Antigens 

specifically recognized in LTB will be first 

screened for the ability to identify functional Abs. 

Functional validation will be performed 1. using 

purified IgG from LTB and ATB depleted of 

antigen specific fractions in ADCC specific to PPD 

2. using bulk IgG from LTB and ATB in ADCC 

specific to different Mtb antigens 3. glycosylation 

analysis of antigen specific IgG using capillary 

electrophoresis. Combined results will identify Mtb

antigens of interest.

Contact PD/PI: Lu, Lenette L.

Research Strategy Page 98
Aim 2: Dissect the role of Fc/FcR mediated intracellular Mtb restriction.

Rationale: Activating and inhibitory FcRs regulate the immune system through the dynamic integration of 

negative and positive signals that trigger innate effector cell activation and impact adaptive immunity by 

directing immunogenic and tolerogenic responses4

. These are dependent on the affinity between the Ab Fcdomain and the FcR80 which is modulated by differential glycosylation51. The precedence of FcR mediated 

modulation in infectious diseases involving predominantly intracellular organisms ranges from L. 

pneumophila23 and M. bovis bacillus Calmette-Guerin23, L. monocytogenes81, L. donovani24,82, C. burnetti21, B. 

burgdorferi83, S. enterica84 and C. neoformans85,86. The importance of FcRs is implicated by the development of 

bacterial enzymes that abrogate Fc function, PNGase28 and Ides,

87 which can be utilized in structure function 

analysis of the Ab Fc domain (Fig 5). 

In TB, FcR regulation is implicated by in vivo and in vitro data. Mice 

deficient in activating FcRs have enhanced disease and elevated 

bacterial burden and mice lacking the inhibitory FcR are the 

opposite9

. In humans, higher expression of the activating highaffinity FcγRI5,7,8 and loss of the activating low-affinity FcγRIIIb are 

associated with enhanced TB disease6

. In tissue culture, FcR are

associated with phagolysosomal maturation in opsonization of

extracellular Mtb42,88. Our data suggest that FcR may impact 

intracellular in addition to extracellular Mtb (Fig 2). In this model, 

extracellular Ab, specifically LTB as compared to ATB, recognize 

Ags presented or excreted by infected macrophages to mediate Fc 

effector functions (Fig 5A). FcγRIIIa is a low affinity activating FcR 

important in mediating cellular cytotoxicity. In the lower bacterial 

burden LTB state, Abs have higher affinity for FcγRIIIa as compared 

to the higher burden ATB state (Fig 6A). This difference is not 

observed for FcγRIIa or FcγRIIb (data not shown). Thus, FcγRIIIa 

specifically is implicated in mediating Ab direction of intracellular 

bacterial fate. Since FcγRIIIa is expressed on the cell membrane of 

a variety of innate immune cells and has low to medium affinity for 

Ab that allow for dynamic and fined tuned activation of signaling that 

can be observed with FcR clustering, it is a compelling candidate for 

a receptor that can modulate Mtb. Alternatively cytosolic FcRs22 (Fig 

5B) or an FcR independent path via neutralization of important cytokines may regulate intracellular Mtb. 

Importantly, Fc effector functions can restrict pathogen or enhance disease82,89 such as in Dengue. Thus 

differential Mtb restriction mediated by Abs in LTB and ATB may be a result of enhanced effector functions that 

clear the pathogen in LTB or a more permissive environment in ATB towards bacterial replication. 

Distinguishing if Fc/FcR do indeed impact intracellular Mtb and if that impact is restrictive or permissive will 

help define the underlying mechanisms at play. 

Hypothesis: Abs activate macrophages to restrict intracellular Mtb via the activating FcγRIIIa. 

 

Preliminary Data: Affinity for the activating FcγRIIIa is enhanced in serum IgG purified from LTB, a state of

controlled bacterial burden, compared to ATB, a state of uncontrolled bacterial burden (Fig 6). Moreover, 

deglycosolation by the F. meningosepticum PNGase decreased the Fc effector function ADCP mediated by 

both LTB and ATB Abs (Fig 6B). These lines of evidence implicate a role for Ab Fc/FcR binding in determining 

intracellular bacterial fate. 

Experimental Design: 

Fc/FcR. To assess a potential causal link between FcR and intracellular Mtb restriction, we will inhibit Ab Fc 

and FcR binding to prevent function. Classically, Ab Fab have been used to block specific FcRs in short term 

experiments90. In the context of a four day in vitro human macrophage model of TB during which the bacterial 

replication cycle is 24 hours, FcRs and their bound complexes are continually recycled, thus generating 

Fig 5. Potential models for Fc/FcR mediated 

modulation of intracellular Mtb. A. Membrane 

FcRs such as FcRγIIIa or B. intracellular FcRs 

such as TRIM21 may mediate Ab effector 

functions in response to antigens (red) 

escaping into the cytosol, presented or 

excreted by the cell. These Fc functions 

would be abrogated by C. Ab cleavage by 

IdeS or deglycosylation by PNGase.

Contact PD/PI: Lu, Lenette L.

Research Strategy Page 99
inconsistent blocking effects (data not shown). However, Fc and FcR 

engagement and function may also be abrogated by cleavage of the 

Fc91 from the Fab and or enzymatic removal of glycans35,92. The S.

pyogenes enzyme IdeS87 cleaves IgG specifically below the hinge region 

to generate F(ab)2 and Fc (Fig 5). To obtain the Fc fraction, the F(ab)2

fragments will be purified by protein A beads and IdeS via its commercial 

His tag. We will use these Ab fractions, generated from LTB and ATB, 

alone and in combination (F(ab)2, Fc and (F(ab)2 + Fc) in our in vitro

macrophage model of infection (Fig 2) to assess the ability to restrict 

intracellular Mtb. In brief, this involves primary human monocyte derived 

macrophages infected at low multiplicity (1) with a virulent H37Rv MtbMCherry93 to mimic the most physiologically relevant burden of infection 

after which extracellular bacteria are washed prior to the addition of Abs. 

After 96 hours of co-culture, the cells are fixed for high throughput 

microscopy and quantitative image analysis via CellProfiler to assess 

bacterial burden by fluorescence. In parallel, we will cleave the glycan 

structures from purified IgG from LTB and ATB by PNGase28 (Fig 5, 6) 

and similarly assess the ability of these modified Abs to restrict 

intracellular Mtb. These two approaches will be more direct interrogations 

of a causal link between Fc/FcR and intracellular Mtb restriction.

FcγRIIIa. To more precisely address the role of FcγRIIIa, we will localize 

Ab and FcγRIIIa and employ targeted siRNA knockdown of FcγRIIIa. Mtb

infected primary monocyte derived macrophages co cultured with 

fluorescently labeled IgG from LTB and ATB will be stained by standard 

Abs against FcγRIIIa to visualize clustering in response to activation94 and co localization between IgG and 

FcγRIIIa, events that would be expected if Fc and FcR were engaged. Independently, siRNA in primary 

monocyte derived macrophages95,

96 against FcγRIIIa97 and FcγRIIb98 as a control will be employed to 

knockdown expression. These knockdown cells will subsequently be infected with H37Rv Mtb-MCherry93, co 

cultured with Ab from LTB and ATB and bacterial burden assessed by fluorescence microscopy as described 

above. Together, these experiments more directly address the question of a causal link between FcγRIIIa and 

intracellular MTB restriction.

Expected Results: The engagement of Fc and FcR is dependent on an intact Ab (Fc and Fab connected by the 

hinge) and the presence of glycans. Thus, none of the Ab products generated by Ides and PNGase would be 

able to mediate an Fc effector effect. If Ab functionality is mainly in the context of LTB Abs directing increased 

bacterial restriction compared to ATB Abs through Fc/FcR, then when the Ab is enzymatically manipulated to 

prevent binding with FcRs, the bacterial burden for both LTB and ATB enzymatically manipulated Abs will be at 

the baseline level observed with intact Abs from ATB. Alternatively if Ab functionality is mainly in the context of 

ATB Abs enhancing bacterial replication, then this replication would be abrogated when the Ab is enzymatically 

manipulated to prevent FcR binding and bacterial burden for both enzymatically manipulated LTB and ATB 

Abs will be at the baseline level observed with intact Abs from LTB. If intracellular bacterial fate was not linked 

to Fc/FcR, then potentially F(ab)2 and also deglycosylated IgG could function by neutralizing cytokines and 

mediating bacterial restriction or enhancement. If FcγRIIIa was involved directing intracellular Mtb fate, we

would expect that knockdown of FcγRIIIa but not the inhibitory FcγRIIb would abrogate this ability. Moreover, 

we would expect enhanced FcγRIIIa clustering at the cell membrane in response to IgG from LTB compared to 

ATB individuals and enhanced co localization with fluorescently labeled LTB compared to ATB Ab. 

Potential pitfalls and alternative strategies: It is possible that siRNA transfection of monocyte derived 

macrophages may activate macrophages indiscriminately. One alternative strategy to address this potential 

pitfall is to use the monocyte cell line THP1, a more malleable system to manipulate gene expression that can 

be matured into into macrophages.

Delineating the role for FcγRIIIa will help further elucidate the mechanism of action, informing the 

development of physiological relevant models to explore a role for Ab in TB disease.

Fig 6. Fc/FcR is implicated in 

intracellular Mtb regulation. A. Surface 

plasmon resonance show enhanced 

affinity (reported as relative units) of 

LTB IgG for the activating FcγRIIIa 

compared to ATB. B. Deglycosylation 

of LTB and ATB Ab by PNGase 

abrogates PPD specific ADCP, where 

THP1 are exposed to Ab opsonized 

PPD adsorbed fluorescent beads and 

flow cytometry is performed to 

generate a phagocytic score calculated 

by MFI and percent frequency. Bars 

represent mean ± SEM. P values 

calculated by Mann Whitney in A and 

Wilcoxon matched-pairs signed rank 

test B. 

Contact PD/PI: Lu, Lenette L.

Research Strategy Page 100
Aim 3: Identify the macrophage effector mechanisms through which Ab restrict intracellular Mtb. 

Rationale: Enhanced Mtb restriction in 

macrophages is associated with colocalization of Mtb with acidic lysosomal 

compartments (Fig 7A) and inflammasome 

activation (Fig 7B and C). However, the 

temporal and causal natures of these events

are unclear. 

Co localization of Mtb with the phagosome is 

critical yet alone insufficient for macrophages 

to kill intracellular Mtb99. Ab complexes can 

activate the inflammasome, an innate 

molecular platform inducing inflammation100. 

As a product of inflammasome activation, 

IL1β can restrict bacteria via pyroptosis and 

efferocytosis101. However, there were no 

differences in macrophage survival by DAPI 

or TUNEL (data not shown), making these 

two scenarios less likely. Alternatively, FcR 

signaling upon bacterial opsonization23 and 

IL1β through the IL1 receptor can enhance 

phagolysosomal fusion102, forming

phagolysosomes that direct bacterial killing 

with hydrolases and antimicrobial peptides. In addition, autophagolysosomes, not clearly distinguished from 

phagolysosomes by Lysotracker dye can mediate bacterial killing by ubiquitination103. FcR signaling in Ab 

dependent enhancement in Dengue infection104 is linked to autophagy105, the process of creating 

autophagolysosomes, and the intracellular FcR TRIM21 can act as autophagic receptor regulators106. 

Moreover, autophagy, an intracellular degradation system that delivers cytoplasmic constituents to the 

lysosome, can restrict Mtb107. Finally, activation of the inflammasome can also activate autophagy and 

autophagy can in turn inhibit the inflammasome by ubiquitinating its components108. Thus, one model could 

involve Ab, via FcR, activation of the inflammasome to direct the development of phagolysosomes and 

autophagolysosomes that restrict Mtb, in which the autophagy feeds back to modulate innate immune 

inflammatory signaling. These specific processes including the inflammasome and autophagy are important 

distinctions given the availability of specific knockout mice for potential in vivo experiments and small molecule

inducers and inhibitors already FDA approved or being developed for other clinical indications109,110. 

Hypothesis: Abs enhance phagolysosomal fusion via IL1β to direct intracellular bacterial fate.

Preliminary Data: Ab from LTB, a clinical state that restricts bacterial burden, compared to ATB, a clinical state 

permissive to bacterial replication, is able to mediate similar restriction and permission for bacterial replication

in vitro (Fig 2). This is associated in macrophages with enhanced Mtb-lysosomal co localization (Fig 7A) and 

inflammasome activation as shown by speck formation of the inflammasome adaptor Apoptosis-Associated 

Speck-Like Protein Containing CARD (ASC) (Fig 7B) and IL1β production (Fig 7C). 

Experimental Design: 

Kinetics. To gain insight into the temporal relationship between inflammasome activation and phagolysosomal 

fusion, we will perform a time course at 6, 24, 48, 72 and 96 hours with IgG from individuals with LTB 

compared to ATB. In brief, primary human monocyte derived macrophages will be infected at low multiplicity 

(1) with a virulent H37Rv Mtb-MCherry93 to mimic the most physiologically relevant burden of infection after 

which extracellular bacteria will be washed prior to the addition of Abs. At the specified timepoints, the 

supernatant will be removed and cells prepared for high throughput microscopy and quantitative image 

analysis via CellProfiler. To assess inflammasome activation, IL1β levels in the supernatant will be analyzed by 

ELISA (Fig 7C). ASC staining will be used as confirmation108. An inflammasome activator nigericin will be used 

Fig 7: Enhanced Mtb-lysosome co localization, ASC speck formation and 

IL1β production with Abs from LTB vs ATB. Primary human monocyte 

derived macrophages were infected at MOI 1 with a virulent strain of Mtb

H37Rv-MCherry. Extracellular bacteria was washed away and IgG 

pooled from LTB, ATB, control healthy sigma IgG (sIgG) or no Ab were 

co-cultured with infected macrophages for 96 hrs. High throughput 

fluorescence microscopy was utilized for imaging and quantitation via 

CellProfiler. A. Violin plots show the distribution of % co-localization of 

bacteria in lysosome (Lysotracker) in each cell along the y-axis with 

more clustering of macrophages containing all (100%) of Mtb within 

lysosomes in wells treated with LTB compared to ATB or no Ab. 

Statistical significance between the populations was calculated by Mann 

Whitney. B. ASC-specks (green) were stained (Adipogen) and quantified. 

Bars represent mean of two wells ± SEM. P values were calculated by 

student t test. C. To quantitate IL-1β levels an ELISA was performed on 

culture supernatants. Bars represent mean of two replicates ± SEM. P 

values were calculated by student t test.

Contact PD/PI: Lu, Lenette L.

Research Strategy Page 101
as a positive control108. To assess phagolysosomal fusion and bacterial burden, the cells will be stained with 

Lysotracker Red (Fig 7A), fixed and imaged. 

IL1β as a product of the inflammasome. To ask if Ab mediated restriction of Mtb is through inflammasome 

mediated induction of IL1β, we will utilize the in vitro macrophage model of infection as described above but 

rather than co-culturing with IgG, use a dose curve of recombinant IL1β101 and an activator of the 

inflammasome upstream of IL1β, nigericin108. To drive home specificity as to the most direct mediators, we will 

abrogate IL1β signaling by anti-human IL1β101 and inflammasome activation by small molecule inhibitors 

MCC950111, beta-hydroxybutyrate (BHB)112 and glyburide113. 

Autophagy. Autophagy can be distinguished by the lipid binding proteins LC3, autophagy specific ubiquitin 

adaptors such as p62 and the autophagy related protein (ATG) family of proteins107. At the points surrounding

maximal phagosomal-Mtb co localization as determined by the kinetic studies above, we will ask if these 

autophagy distinguishing markers may be observed. As a positive control, rapamycin will be used114. We will 

stain with antibody against LC3107, the ubiquitin specific adaptor p62104,115 and also use autophagocytic 

selective dyes114. For LC3 and p62 staining, we will simultaneously stain with Lysotracker to ascertain the 

proportion of acidic vesicles that may be related to autophagy. The contribution of any observed 

autophagolysosomes to bacterial burden will be subsequently validated by the appropriately timed addition of 

an autophagy blocker such as 3-methyladenine or wortmannin107 or targeted siRNA95 knockdown of autophagy 

components. Quantitative image analysis will be performed via CellProfiler.

Expected Result: If Abs from individuals with LTB with controlled bacterial burden enhance phagolysosomal 

fusion via IL1β to direct intracellular bacterial fate, we would expect that inflammasome activation and IL1β

production occur prior to phagolysosomal fusion in our kinetic studies. We would also expect that IL1β and or 

the inflammasome activator nigericin would be sufficient to promote phagolysosomal fusion and decrease 

bacterial burden. This effect would be abrogated when inflammasome activation or IL1β signaling is 

antagonized. Alternatively, Abs may enhance phagolysosomal fusion independent of IL1β. In this scenario, 

neutralizing IL1β would have no effect on phagolysosomal fusion though the small molecule inflammasome 

inhibitors MCC950111, BGH112 and glyburide113 whose targets are upstream of IL1β may still retain effect. If 

autophagolysosomes were important, we would expect its specific markers to co localize with Mtb. In addition, 

autophagy blockers or knockdown of components would abrogate any effect of Abs on bacterial burden.

Potential pitfalls and alternative strategies: It is possible that Ab driven macrophage effector functions are 

independent of the inflammasome, the phagolysosome or autophagy and that they instead act as markers of 

bacterial trafficking rather than direct mediators. A plethora of additional effector functions such as 

antimicrobial peptides, radical formation and sequestration of nutrients and metal may be at play. One strategy 

to widen the breadth of discovery is to utilize RNAseq, technology already developed in the Fortune and Alter 

labs, to more broadly assess gene regulation upon treatment with Ab from individuals with LTB vs ATB.

Identifying how the inflammasome and autophagy are tied to Ab direction of intracellular Mtb fate will 

give mechanistic insights that can be used to enhance models of disease and potentially therapeutics.

Future Studies

Together, these studies will provide mechanistic insight into Ab mediated modulation of the immune response 

in TB by comparing human disease states restricting bacterial burden in LTB and permissive to bacterial 

replication in ATB. Aim 1 will identify the differential spectrum of pathogen antigens recognized by Ab in the 

restrictive LTB compared to permissive ATB conditions. At minimum, data from this aim will highlight potentially 

important differences from the pathogen side that might mediate progression of disease but the immediate goal 

is to use these potential antigens that elicit functional Abs is the construction of monoclonal Abs for further and 

more specifically interrogate mechanisms of disease. This couples with Aim 2, which seeks to define specific 

cellular receptors that mediate Ab modulation of intracellular Mtb. More precisely, it addresses the relationship 

between FcγRIIIa and intracellular bacterial fate, which is suggested by our preliminary correlative evidence. 

Should the relationship hold, this point could be leveraged to help develop hypotheses of where and when Ab 

may exert their immunomodulatory effects and to direct more appropriate animal models such as the 

humanized FcγRIIIa mouse116 to test Ab functionality in vivo. Even if FcγRIIIa did not appear to be directly 

Contact PD/PI: Lu, Lenette L.

Research Strategy Page 102
involved, these studies would then implicate the importance of studying other FcRs including the intracellular 

FcR TRIM2122. As critical as the receptor are the effector mechanisms that mediate bacterial fate in Aim 3. 

Phagolysosomal fusion is a well accepted part of macrophage Mtb processing yet how this is connected to the 

inflammasome is less clear. By interrogating more directly the relationship of these processes with small 

molecule inhibitors, not only will further insight into mechanism be gained but this in vitro data could also be 

leveraged to generate insight into what could be utilized in vivo in animal or even human studies to understand 

how these effector functions in the context of Abs might be physiologically relevant in TB disease. Negative 

studies would only help direct attention towards other cellular processes or hitherto undefined mechanisms of 

Mtb control. Collectively, the data from studies will help inform the direction and design of subsequent in vivo

studies in animal models and in humans for a better appreciation of the functional role of Ab in TB disease. 

Statistical Analysis

To estimate the sample size for our experiments, we used preliminary data generated from an initial cohort of 

patients with LTB (n=20) and ATB (n=22) from South Africa. For 75 antibody features linear regression 

analysis of the association between diagnosis and antibody feature, controlling for age and gender, was 

performed by Douglas Hayden at the MGH Biostatistics Center. For the thirteen features exceeding a false 

discovery rate threshold of 10%, the partial correlation between diagnosis and antibody feature was found to 

be 0,50 or greater. Using this estimate as the effect size of biologically active antibody features, 68 individuals 

in an independent cohort (34 LTB, 34 ATB) would provide a statistical power of 80% to observe significant 

differences in top Ab features between LTB and ATB at an alpha level of 0.0005. This alpha level is the 

required threshold for significance for the Bonferroni-Holm 0.05 alpha level when testing 100 antibody 

features117. We are confident that this sample size is feasible and aim to increase our n to 40 for LTB and 40 

for ATB to increase our power. Statistical analysis will be performed with the support of the MGH Biostatistics 

Center through the Harvard Catalyst Biostatistical Consulting Program. P values will be calculated by linear 

regression controlling for age and gender. Adjustment for multiple comparisons will be performed by the 

Benjamini and Yekutieli method which controls for false discovery in multiple testing under dependency118. 

Timeline and feasibility

The experiments described in this proposal are feasible within the requested 5 year period of performance as 

summarized in the table below with the following manuscripts anticipated: 1. Define the antigen specificity of 

functional Mtb specific antibodies. 2. Dissect the role of Fc/FcR mediated intracellular Mtb restriction and 3. 

Identify the macrophage effector mechanisms through which Ab restrict intracellular Mtb

Research Approach Year 1 Year 2 Year 3 Year 4 Year 5

Aim 1 X X X Manuscript 1

Aim 2 X X Manuscript 2

Aim 3 X X X Manuscript 3

Additional pilot studies X X 

R21 preparation X X 

R01 preparation X X 

Biohazards

All laboratory work with Mycobacterium tuberculosis will be conducted in the BSL3 facility at the Harvard 

School of Public Health or the Ragon Institute of MGH, MIT and Harvard per institutional protocols approved by 

the Committee on Microbiological Safety (Harvard University’s IBC) and the Partners Institutional Biosafety 

Committee (Ragon Institute’s IBC). All work will be conducted in compliance with local (Boston and 

Cambridge), state and federal regulations, as well as the NIH Guidelines for Research Involving Recombinant 

or Synthetic Nucleic Acid Molecules and the CDC Biosafety in Microbiological and Biomedical Laboratories 

guidance document. All serum patient samples and cell culture will be performed in a BSL2 facility using 

selected BSL3 biosafety practices. All personnel have or will receive training covering bloodborne pathogens 

and biosafety, and will be required to demonstrate competency in BSL3 laboratory work before receiving 

approval for unescorted access. All BSL3 personnel will also be required to be medically cleared by the 

institution’s occupational medicine department prior to being allowed to access the BSL3 laboratories.

Contact PD/PI: Lu, Lenette L.

Research Strategy Page 103
Training in the Responsible Conduct of Research 

As a T32 grant trainee and a researcher at the Ragon Institute, I maintain several Collaborative Institutional 

Training Initiative (CITI) certifications for Biomedical Research Investigators, renewed in the Fall of 2014. I 

have also completed the Partners HealthCare Responsible Conduct of Research Training Program 2014-2016 

administered by the Partners Research Compliance Office. The Program consists of eight hours of face-to-face 

instruction and the CITI (Collaborative Institutional Training Initiative) online, basic RCR course. Trainees fulfill 

the face-to-face instruction requirement by attending a four-hour Partners RCR seminar and four additional 

hour-long hospital-based courses, lectures or discussion groups that are deemed “RCR eligible.” The four-hour 

Partners RCR seminar includes faculty presentations and discussions on authorship, data management, 

documentation and integrity; conflict of interest and interactions with industry; research misconduct; and postaward financial management. The seminar also includes an overview of basic regulatory and institutional 

requirements for research involving human subjects, stem cells, animals, and biohazards/recombinant DNA. 

The hospital-based courses/lectures/discussion group offerings also focus on these topics and more. For 

example, depending on the year and faculty availability, they include sessions on effective mentoring; ethical 

considerations in clinical research; safe lab practices; research subject privacy; peer review; humane and 

compliant use of animals in research; and collaborative science. 

During this next phase, I will continue to update my RCR training. I will plan to participate in the RCR course 

sponsored by the Harvard Catalyst. This program is designed for trainees with career development awards and 

has 2 hours of class per week over an 8 week period in the spring semester at the Harvard School of Public 

Health. The curriculum covers issues relevant to research by incorporating discussion, assigned readings and 

critical thinking about many of the issues referenced above. As I transition to independence, topics regarding 

authorship, responsibility for data integrity generated by collaborators or mentees, collaboration with industry 

and the scientist will be particularly relevant. 

To supplement the above program, I will discuss my training in Responsible Conduct of Research with 

members of my Training Advisory Group on a bi-annual basis. Dr Alter has developed and implemented 

protocols requiring the use of human samples. In my weekly meetings with my primary mentor Dr Fortune and 

co-mentor Dr Alter, I will also discuss RCR topics including data acquisition and management, complying with 

federal grant and contract requirements, peer review and collaborative research. 

Contact PD/PI: Lu, Lenette L.

Training in the Responsible Conduct of Research Page 104
665	Huntington	Avenue Boston,	MA		02115 Building	1-809

Tel:		(617)	432-6965 Fax:		(617)	432-3259 sfortune@hsph.harvard.edu

----------------------------------------------------------------------------------------------------------------------------------------

Dr. Galit Alter, PhD

Associate Professor of Medicine

Kristine	and	Bob	Higgins MGH Research	Scholar

Director, Ragon	Institute Imaging	Core

Director,	Harvard	Center	for	Aids	Research	Immunology	Core

Ragon	Institute	of	MGH,	MIT	and	Harvard

400	Technology	Square

		Cambridge,	MA,	02139

		(p)	857-268-7003

		galter@mgh.harvard.edu

		RagonInstitute.org

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To the K08 committee

We are please to be writing as primary mentors for Lenette Lu’s application for the K08 Mentored Clinical 

Scientist Research Career Development Award. Lenette is an outstanding individual with great potential who is at a 

crucial stage of development in her physician scientist career. We both met Lenette two years ago and have been 

impressed by the progress she has made during this time under our mentorship and we are committed to her further 

scientific development.

Lenette received her MD and PhD degrees from Case Western Reserve University. Her degree in 

Molecular Virology under her mentor Ganes Sen was based on her thesis focused on dsRNA signaling in viral 

infections at the host pathogen interface. In particular, she identified the role of several paramyxovirus accessory 

proteins that act on the IRF-3 signaling pathway, published in the Journal of Biological Chemistry. Lenette went on 

to complete her internal medicine residency at New York Presbyterian/Weill Cornell Medical Center program and 

then moved to Boston for a fellowship in Infectious Disease at Massachusetts General Hospital/Brigham and 

Women’s Hospital. 

Here, Lenette approached both of us independently about potential post doctoral work that would further 

her host pathogen interest in infectious diseases with a global perspective. She talked to Galit about her expertise in 

antibody recruitment of Fc effector functions in innate immune cells and Sarah about her expertise in the molecular 

pathogenesis of tuberculosis. Lenette’s interest in a collaborative project was something that she independently 

developed after speaking with us. She proposed this at an ideal time for our groups as we had been working 

together over the course of the prior 18 months to develop a study on the role of antibodies in tuberculosis 

infection. It was complete serendipity.

In the past two years, Lenette has flourished, managing a challenging project, mastering the fields of 

immunology and tuberculosis with almost no prior experience in either. Clearly she draws from the breadth of her

prior experiences that encompassed the rigorousness developed in her graduate and even in her undergraduate 

years. However what really drives her success is her personality- her ability to work well and learn from others and 

her endeavor to do more. The original data from a cohort of patients from South Africa showed striking differences 

in the functional antibody signatures of individuals with latent compared to active TB. Lenette took this to the next 

level by assessing the impact of these differences on the actual pathogen Mycobacterium tuberculosis in the 

biologically relevant primary macrophage. Importantly, the experimental design she developed addressed 

Contact PD/PI: Lu, Lenette L.

Plans and Statements of Mentor and Co-Mentor(s) Page 105
specifically MTB as an intracellular pathogen within the macrophage as opposed to the more traditionally studied

process of opsonization. She then went on to provide the first insights into mechanism by looking at 

phagolysosomal fusion and inflammasome activation. This series of work significantly elevated the original body 

of data and now is at the level of a manuscript currently under revision at Cell, surpassing our initial expectations.

To accomplish this required a significant amount of independence which both of us felt more than 

comfortable giving. Lenette took classes in immunology (Advanced Course in Immunology, American Association 

of Immunologists), statistics (Certificate in Biostatistics, Harvard Catalyst) and computer programming

(Programming in R, Harvard Catalyst and Introduction to Matlab, Matlab). This is now reflected in her nuanced 

grasp of many of the aspects pertinent to understanding, analyzing and interpreting data from human studies in 

which she has had no prior experience. She actively sought out opportunities to submit abstracts and present at the 

Keystone conferences, which have garnered her much praise in terms of her work and also her presentation skills.

She has actively sought out new collaborations and resources.

From a leadership and management perspective, she is the main point person for the collaborations we have 

on going for the TB project, managing relationships just next door to those all the way across the country and 

beyond. She is our representative at meetings to which we are unable to attend and speaks on our behalf. She has 

supervised successfully two summer students back to back (one in each of our labs) and is now managing a new 

post doctoral fellow. 

She does this of course while also maintaining her clinical skills in her outpatient infectious disease clinic 

and brief one month time on the inpatient consults service per year at MGH, where she trained as an infectious 

disease fellow. She attends weekly clinical conferences and still actively engages with her clinical mentor Kimon 

Zachary and many others in the infectious disease department who are also particularly interested in tuberculosis.

Especially since tuberculosis is such a clinical disease, the influence of Lenette’s clinical experience is most keenly 

felt in the types of questions she asks and her persistent strive for physiological relevance in her research. Without 

this unique point of view, Lenette would not be able to develop and answer the same kinds of questions in the lab. 

Lenette is clearly at this point primed to transition into more independence with the support of a K08.

Lenette’s proposal outlines an extremely important goal to begin to understand the key mechanisms by 

which antibodies may function in tuberculosis. Despite the burden of TB disease, very little is known about the role 

of humoral immunity- whether it be protective or not and how. The advances in the antibody field on understanding 

how antibodies might be able to impact intracellular pathogens via Fc receptors have only recently reached and 

been more fully appreciated in the TB field. Lenette herself is one of those people who have helped make this 

happen. Further insight into the host pathogen relationship in this context will not just elucidate pathogenesis of 

disease but also help to build more biologically relevant models to help inform the direction and design of future 

human studies with the goal of improved therapeutics, diagnostics and vaccine design.

We are both extremely committed to support Lenette every step of the way. The expertise and strength of 

the Fortune lab lies within its cross disciplinary approaches to understand the molecular basis of the populational 

heterogeneity that underlies clinical tuberculosis disease and treatment outcomes. In particular, the Fortune lab 

itself combines bacterial genetic approaches with high throughput methodologies. Specific focus is paid attention to 

high density whole genome sequencing, RNAseq and quantitative live cell imaging to define how diversity enables

the bacterium to survive subsequent selective forces including antibiotics and immune selection. To accomplish 

this, a broad network of collaborators exists which includes experts in technologies to assess single cell behavior at 

MIT and MGH and experts in sequencing methodologies at the Broad Institute in addition to the human 

immunology experts at the Ragon. In the more recent years, the Fortune lab in collaboration with Joann Flynn at the 

University of Pittsburgh has published high impact papers on granuloma lesional heterogeneity in the non human 

primate model suggesting that critical responses at this level ultimately determine the clinical outcome of infection

(Lin et al Nature Medicine, 2014 and Gideon et al PLoS Pathogens. 2015). Antibodies at the site of the granulomas 

might be one local factor that helps to dictate this outcome. Sarah’s expertise and guidance in MTB and specifically 

MTB within a macrophage will be integral to Lenette’s proposed studies on the mechanism of Ab mediated 

macrophage restriction of MTB.

Contact PD/PI: Lu, Lenette L.

Plans and Statements of Mentor and Co-Mentor(s) Page 106
In the past eight years, the Alter lab has focused on understanding the role of the innate immune response 

to chronic viral infections, defining the role of Natural Killer cells in antiviral control. Recently, these studies 

have broadened to define the mechanism by which innate immune effector cells may be harnessed through 

vaccination or immunotherapeutic strategies to gain more effective control over viral replication. In this capacity, 

a systems serological approach encompassing a suite of antibody profiling assays that aim at gaining a deeper 

appreciation of the correlates of humoral immune activity against HIV has been developed (Chung et al Sci Transl 

Med 2014 and Chung et al Cell 2015). Most recently, these antibody screening technologies have been adapted to 

identify potential antibody correlates of protective immunity in infections beyond HIV, which includes 

Mycobacterium tuberculosis. These antibody profiling techniques linked to antigen-specific B cell profiling 

efforts will help define the potential role of functional antibodies in the control/clearance of Mtb with the goal of 

developing more effective diagnostics, therapeutics as well as provide insights for the design of next generation 

Mtb vaccines. Galit’s experience in antibodies and Fc recruitment of innate immune cell functions will be 

invaluable to Lenette’s proposed studies providing mechanistic insight into how antibodies might provide 

protection in tuberculosis.

Lenette has outlined a clear path for career development during this phase of her training. She has chosen 

coursework to specifically gain more experience independently in microscopic techniques and computational 

analyses critical to the aims of her proposal. Moreover, she will take advantage of the multitude of resources and 

courses available at Harvard to make the transition from K to R in terms of grantsmanship and leadership. She has 

previously completed training requirements for human subjects research and the responsible conduct of research 

and will continue to update. She has outlined annual national conferences such as Keystone in which she has the 

opportunity to share her work and establish new collaborations. In addition, she has outlined a plethora of more 

frequent local conferences during which she can obtain feedback from the perspectives of human immunology at 

Ragon, TB at the Harvard School of Public Health, clinical relevance at MGH Infectious Disease and tuberculosis 

immunology, microbiology and epidemiology from the Boston TB community. In addition, Lenette will have all 

the benefits of the cutting edge scientific research hub- Ragon, Harvard School of Public Health, MIT and 

Massachusetts General Hospital (MGH). She will have access to high throughput fluorescence and confocal 

microscopy, high throughput image analysis, microarray cores, single cell RNAseq, statistical, computational and 

network analysis support, BL2 and BL3 FACS and sorting, multiplex luminex and mouse capabilities and 

experience with human samples and human immunology. Given that Lenette has an entirely new focus on human 

immunology and tuberculosis in her current work as compared to her dissertation in dsRNA signaling in response 

to viral infections, we believe a five year period of mentored career development is appropriate.

As mentor and co-mentor, we are both fully committed to Lenette’s development as a physician scientist. 

As an MD and a PhD respectively, we recognize the challenges and rewards of a dual career. We both have co 

mentored other mentees and are acutely aware of those challenges and rewards. We have both mentored multiple 

graduate students and post doctoral fellows, several of whom have continued onto independent academic 

positions. We will provide the necessary support including resources, technician support, access to cutting-edge 

technology and career advice. We support Lenette’s clinical efforts to complement her research work which will 

be less than 15% of time. Her teaching responsibilities per her Instructor appointment at Harvard is 50 hours per 

year to medical students and may be fulfilled by teaching on clinical service. Overall Lenette’s dedicated portion 

of time to research is 75%. We will meet together with Lenette weekly to review her progress at the Ragon where 

Sarah spends at least one full day a week and is Director of the TB program and Galit is primarily based. As 

Lenette gains further experience, the frequency of these meetings will decrease but to at minimum once monthly. 

Of course, we will both be available on an as needed basis at all times. As a team, we will provide an annual 

evaluation of Lenette’s progress as required in the annual progress report.

In addition, Lenette will have guidance from Eric Rubin, a senior physician scientist at the Harvard 

School of Public Health with a lab of his own focused on tuberculosis microbiology. Eric has a significant mentor 

track record with multiple fellows who have transitioned into academic independence and success including Sarah 

herself. The Fortune and Rubin laboratories have weekly group meetings where Lenette can gain further 

feedback. Eric will head Lenette’s scientific advisory committee. In addition, she has assemble outstanding 

leaders in diverse fields to complement her proposal: Akiko Iwasaki, Falk Nimmerjahn and Facundo Batista. The

Contact PD/PI: Lu, Lenette L.

Plans and Statements of Mentor and Co-Mentor(s) Page 107
Contact PD/PI: Lu, Lenette L.

expertise of this group ranges from innate immunity to Fc receptors to cell biology and microbiology, 

complementing the antibody and tuberculosis backgrounds we provide. This group has committed to meeting on a 

biannual basis via Skype or in person to assess the progress of Lenette’s project as well as be available on an as 

needed basis. Finally, Blanca Restrepo will extend her ongoing collaboration to provide serum samples from 

individuals with latent and active TB disease that are critical to the project’s aims and Douglas Hayden at the MGH 

Biostatistics Center will provide statistical oversight and support. We anticipate multiple publications from the 

work described in Lenette’s proposal with one annually in Years 2, 3 and 4. We expect that Lenette will prepare to 

submit an R21 in Year 4 and an R01 in Year 5 with the support of the Harvard GRASP grant writing and K to R 

transition courses. She will of course be encouraged to submit applications for other grant mechanisms to the NIH 

or other funding opportunities should they arise. Thus, Lenette will become more independent in her last two years 

of this project relying on us for mainly advice and guidance as opposed to direct oversight. Ultimately we expect

Lenette to take her own mechanistic work described in this proposal with her upon transition to an independent 

physician scientist. 

We anticipate that managing a collaborative project will be challenging, as it will require Lenette to master 

two disciplines. However, Lenette’s accomplishments in the past two years support our confidence that with her

communication, intellectual and bench skills, she will continue to endeavor and help shape the field of tuberculosis 

and antibodies. This award would come at a pivotal time in Lenette’s career, as she begins to make her transition 

towards independence. With the full support of both labs, we are confident of Lenette’s success.

Sincerely, 

Sarah Fortune, MD

Professor of Immunology and Infectious Diseases

Director, TB Research Program at the Ragon Institute of MGH, MIT and Harvard

Galit Alter, PhD

Associate Professor of Medicine, Ragon Insittute of MGH, MIT, and Harvard

Director, Advanced Technologies Core at the Ragon Institute

Plans and Statements of Mentor and Co-Mentor(s) Page 108
06/01/2016 

Dear Lenette 

400 T eehnototv Square 

Cambl'idao. 1M om~ 

Pboneo: (asn 161·1000 

ru:.: (157) 161· 7141 

Thanks for considering me to be on your scientific adviSOI)' committee for your K08 

proposal about the role of antibodies in tuberculosis - I am delighted to be a member. I 

myseH wor1< both in vivo and in vitro by combining state-of-the-art imaging technology with 

biochemistry and genetic models to study how cellular and molecular events lead the 

activation of B cells and their ability to produce antibodies. I will be able to show you how 

to use some of these techniques and approaches for your Intriguing questions in 

tuberculosis. I look forward to working with the other diverse set of people you have asked 

to be on your committee in meetings. I am also of oourse available as needed and this 

should be easy since 1 am JUSt one floor below you at the Ragon. 

Best wishes, 

PhD, 

Associate Director 

Ragon Institute of MGH, MIT and Harvard 

Terry and Susan Ragon Professor, Harvard Medical School 

Contact PD/PI: Lu, Lenette L.

Letters of Support from Collaborators,Contributors, and Consultants Page 109
Contact PD/PI: Lu, Lenette L.

Akiko Iwasaki, Ph.D.t 

Investigator Yale University School of Medicine

Department of Immunobiology 300 Cedar Street, TAC S-655B, New Haven, CT 06520

 (203) 785-2919 • Fax (203) 785-4972 • akiko.iwasaki@yale.edu

May 23, 2016

Dear Lenette, 

I am happy to serve as a member of your K08 advisory committee. To your proposal 

concerning antibody-mediated mechanisms of immune modulation in tuberculosis, I 

bring my expertise in innate immunity and the path to adaptive responses, which 

antibodies naturally pave. 

Specifically, how inflammation mediated by antibodies during the course of infections 

may lead to pathogen control or loss of control with a potential autoimmune component 

is something not limited to tuberculosis as you discuss in your proposal but may very 

well be applicable to viruses as well. This interest has as you know been a driver of 

exchange between Galit and myself, reflected by the recent visit of one of my post docs 

to Galit’s lab to learn to profile Fc effector signatures and the recent interview for a post 

doc position in Galit’s lab by one of my graduate students. 

I look forward to providing advice for your exciting project. 

Best, 

Akiko Iwasaki, Ph.D. 

Investigator, HHMI 

Waldemar Von Zedtwitz Professor of Immunobiology

and of Molecular Cellular and Developmental Biology 

300 Cedar Street, TAC S655B, 

New Haven CT 06520

USA 

Letters of Support from Collaborators,Contributors, and Consultants Page 110
Contact PD/PI: Lu, Lenette L.

Universität Erlangen-Nürnberg • Postfach 3520 • 91023 Erlangen

FRIEDRICH-ALEXANDER

UNIVERSITÄT 

ERLANGEN-NÜRNBERG 

NATURWISSENSCHAFTLICHE

FAKULTÄT 

Erlangen, May-8th, 2015

Dear Lenette, 

I am writing to confirm my participation as part of your Scientific Advisory Committee for 

your K08: “Antibody mediated mechanisms of immune modulation in tuberculosis.” I believe that 

cellular Fc receptors are crucial for the activity of different IgG subclasses to direct the immune 

response in infections towards clearance of virus or bacteria or towards excessive inflammation 

in autoimmunity. This can be dramatically modulated by differential IgG glycovariants. Based on 

the recent data you and others have produced under Galit Alter and Sarah Fortune I believe 

tuberculosis represents an important infectious disease in which IgG glycosylation potentially 

impacting FcR activity may play a role. I can offer you my expertise in FcR function, 

specifically my ongoing work in cross species differences in expression and function of 

antibodies and Fc receptors, which would complement the expertise of your other mentors (Lux 

and Nimmerjahn J Clin Immunol 2013, Lux et al Cell Rep 2014, Schwab et al., Cell Rep 2015, 

Kao et al., Cell Rep 2015). 

I anticipate interesting discussions with you and your advisory committee via Skype or 

email on this fascinating project. 

Department of Biology 

Institute of Genetics 

Prof. Dr. Falk Nimmerjahn 

Erwin-Rommel-Str. 3 

91058 Erlangen

Germany 

Phone +49 9131 85-25050

Fax +49 9131 85-28526 

e-mail: falk.nimmerjahn@fau.de 

Best regards, 

Falk Nimmerjahn, PhD 

Professor of Immunology and Genetics 

Chairman of the Institute of Genetics at the Department of Biology 

Friedrich-Alexander University Erlangen-Nürnberg 

Letters of Support from Collaborators,Contributors, and Consultants Page 111
Department of Immunology and 

Infectious Diseases 

HIM 1048

4 Blackfan Circle

Boston, MA 02115

TEL 617 432 3335

FAX 617 432 6787

erubin@hsph.harvard.edu

1

Eric J. Rubin, MD, PhD

Irene Heinz Given Professor of Immunology and Infectious Diseases

2

May 28, 2016

Dr. Lenette Lu

via email

Dear Lenette, 

I am pleased to serve as a member of your Scientific Advisory Committee. I have followed your 

scientific research progress these past few years under the mentorships of Sarah and Galit and 

enjoyed discussing with you personally your progress. Despite over a century of research, we 

still have a very poor understanding of tuberculous infections. Antibody immunomodulation of 

TB disease is a fascinating and promising area in much need of further research and while I may 

have been a skeptic at first I am now a complete convert. As a researcher, I am happy to offer 

you my expertise on the causative organism, Mycobacterium tuberculosis, and, as a practicing 

physician and associate editor at the New England Journal of Medicine, I can offer my unique 

clinical perspective on your findings and facilitate collaborations across the TB community. 

With Sarah and Galit as your primary mentors supported by Akiko Iwasaki and her work in 

innate immunity, Falk Nimmerjahn and his expertise in Fc receptors and antibody, Facundo 

Batista and his state of the art imaging technology, I am excited about contributing my TB 

viewpoint in your scientific pursuits and through mentorship as a senior clinician and 

researcher.

Good luck with the grant!

Contact PD/PI: Lu, Lenette L.

Letters of Support from Collaborators,Contributors, and Consultants Page 112
MASSACHUSETTS GENERAL HOSPITAL

Lenette Lu MD PhD

Instructor of Medicine at Harvard Medical School 

Assistant in Medicine at the Massachusetts General Hospital

55 Fruit Street

Cox 5 

Boston, MA 02114

 05/26/2016 

Dear Lenette, 

I am pleased to contribute to your very interesting project “Antibody mediated mechanisms of 

immune modulation in tuberculosis.” I have experience with and continuing interest in the 

statistical methods associated with modern high dimensional datasets. It has been a pleasure 

discussing your project with you so far and I look forward to working with you to analyze the 

data acquired in the course of your studies. 

Sincerely yours, 

Douglas Hayden

HARVARD MEDICAL SCHOOL

MGH BIOSTATISTICS CENTER

50 Staniford Street, Suite 560

Boston, Massachusetts 02114

(617) 724-3000

FAX: (617) 724-9878

Contact PD/PI: Lu, Lenette L.

Letters of Support from Collaborators,Contributors, and Consultants Page 113
................................................................................................................................ 

Blanca I. Restrepo, Ph.D. Telephones (956) 279-3841; (956) 755-0634 

Associate Professor of Epidemiology Fax: (956) 882-5152 

School of Public Health- Brownsville Campus e-mail:Blanca.I.Restrepo@uth.tmc.edu 

Univ of Texas at Brownsville- SPH Bldg. 

80 Fort Brown 

Brownsville, TX 78520

May 20, 2016 

Lenette Lu, M.D., Ph.D. 

Instructor of Medicine at Harvard Medical School  

Assistant in Medicine at the Massachusetts General Hospital  

Postdoctoral Research Fellow at Harvard School of Public Health

Dear Lenette, 

It is my pleasure to extend our current collaborative efforts to the studies proposed in your K08 

application. As you know, when Sarah and Galit approached me initially about working together on the 

TB antibody project I was very excited. I have been intrigued by the mechanisms that govern MTB entry 

into macrophages, specifically in the background of diabetes but in general as well (Restrepo et al., 

2008; Restrepo et al., 2014). Very little is known about antibodies in TB disease and I am convinced that 

there is a lot more to learn. Of course, a clinically well characterized cohort (Restrepo et al., 2011; 

Restrepo et al., 2007) would provide the best resolution to address these questions and more. I am very 

pleased with the progress from the patient samples I have already shared with you and I look forward to 

the next phase of our collaboration as I continue to enroll patients in my field studies. 

Sincerely, 

Restrepo, B.I., Camerlin, A.J., Rahbar, M.H., Wang, W., Restrepo, M.A., Zarate, I., Mora‐Guzman, F., Crespo‐Solis, J.G., Briggs, J., 

McCormick, J.B., et al. (2011). Cross‐sectional assessment reveals high diabetes prevalence among newly‐diagnosed 

tuberculosis cases. Bulletin of the World Health Organization 89, 352‐359. 

Restrepo, B.I., Fisher‐Hoch, S.P., Crespo, J.G., Whitney, E., Perez, A., Smith, B., McCormick, J.B., and Nuevo Santander 

Tuberculosis, T. (2007). Type 2 diabetes and tuberculosis in a dynamic bi‐national border population. Epidemiol Infect 135, 483‐

491. 

Restrepo, B.I., Pino, P.A., Volcy, M., Franco, A.F., Kanaujia, G.V., and Robledo, J. (2008). Interpretation of mycobacterial 

antibodies in the cerebrospinal fluid of adults with tuberculous meningitis. Trop Med Int Health 13, 653‐658. 

Restrepo, B.I., Twahirwa, M., Rahbar, M.H., and Schlesinger, L.S. (2014). Phagocytosis via complement or Fc‐gamma receptors is

compromised in monocytes from type 2 diabetes patients with chronic hyperglycemia. PloS one 9, e92977. 

   

Contact PD/PI: Lu, Lenette L.

Letters of Support from Collaborators,Contributors, and Consultants Page 114
Description of the Institutional Environment 

My research and training environment includes state-of-the-art laboratory resources and mentorship 

from experts in antibodies and tuberculosis. Situated at the Ragon Institute of MGH, MIT and Harvard are the 

offices and laboratories of Dr Sarah Fortune (primary mentor), Dr Galit Alter (co-mentor) and Dr Facundo 

Batista (SAC member). Situated at the Harvard School of Public Health area are the offices and laboratories of 

Dr Sarah Fortune’s second site of work and Dr Eric Rubin (SAC member). These two areas will form the 

primary environment where my work will take place, supported by a greater community with the Massachusetts 

General Hospital and Partners with their associated resources and the Boston Area tuberculosis community. 

The Phillip T and Susan M. Ragon Institute of MGH, MIT and Harvard officially established in February 

2009 has the dual mission: to contribute to the accelerated discovery of an HIV/AIDS vaccine and 

subsequently to establish itself as a world leader in the collaborative study of immunology. Tuberculosis being 

the largest burden in terms of opportunistic infection in the HIV population is a prominent subject of research 

here. Specifically, the strength of the institute lies within the specialized resources supporting human 

immunology that enables translational research. Moreover, the Ragon facilities include the flow cytometry core, 

the microscopy core, a Biacore, and a BSL3 facility with the capacity for flow cytometry and sorting as well as 

live cell imaging. Weekly Monday Morning Conferences discuss ongoing research. In addition to other 

meetings, I will present preliminary data in this forum on an annual basis for feedback from the human 

immunology community, which includes Drs Fortune, Alter and Batista. 

The Harvard School of Public Health is where the offices and laboratories of Drs Fortune and Rubin are 

situated. The two labs interact intimately with weekly group meetings together in addition to individual lab 

meetings. The larger community within this locale provides resources and expertise in terms of TB immunology 

and epidemiology. Moreover, situated next door is the Department of Systems Biology at Harvard Medical 

School, where the Physical Property Measure System (PPMS) for the Laboratory of Systems Pharmacology is 

located with live and fixed cell Operetta High-Content Imaging Systems available for use. In addition to lab 

meetings, I will present at Group meetings here for feedback from the TB community that includes Drs Fortune 

and Rubin. 

The Boston TB research community is well nucleated with monthly work in progress meetings that draw 

from the 10 primary TB labs at Harvard, the Brigham and Women’s Hospital, Children’s Hospital, the Broad 

Institute, Tufts, University of Massachusetts Medical School and Boston University. I will present at these 

meetings as well for feedback from the broader TB community. 

Beyond the Ragon and Harvard School of Public Health, Massachusetts General Hospital, the Partners 

Health System that also includes Brigham and Women’s Hospital, Beth Israel Deaconess Hospital and the 

Dana Farber Cancer Center, MIT and the Harvard community that includes the Harvard Catalyst provides rich 

resources and support. This includes multiple microarray cores with associated support services (Harvard 

Partners Center for Genetics and Genomics/ Partners HealthCare Center for Personalized Genetic Medicine 

Microarray Facility, Microarray Core Facility at Dana Farber Cancer Center), the National Center for Functional 

Glycomics headed by Dr Richard Cummings at Beth Israel, the Imaging Platform at the Broad Institute of MIT 

from which the image analysis program Cell Profiler was developed and is actively being updated, the MIT 

Department of Biological Engineering headed by Dr Douglas Lauffenburger with close relationships in systems 

biology and beyond and the Massachusetts General Biostatistics Core supported also by Harvard Catalyst. In 

the wider Harvard Medical School and Harvard University community, there is an abundance of both scientific 

and computational resources that I will use in my training. These include weekly seminars, journal clubs and 

conferences on topics of tuberculosis, immunology, bioinformatics, computational biology, microbiology, 

molecular biology, bacterial pathogenesis and epidemiology. Additionally, there are a number of practical 

courses offered to young investigators, including grant and manuscript writing and career development 

guidance. The resources and expertise available at the Ragon, Harvard School of Public Health and the wider 

Harvard and Boston community are immense, and combined with the institutional commitment offered by the 

Infectious Diseases Division at MGH, and the guidance of my Scientific Advisory Group, this institutional 

environment will support me as I transition from mentored to independent research during the course of the 

K08 award. 

Contact PD/PI: Lu, Lenette L.

Description of Institutional Environment Page 115
Contact PD/PI: Lu, Lenette L.

Institutional Commitment to Candidate's Research Career Development Page 116
Human Subjects Research 

Only coded specimens collected from subjects who have consented to participate in existing IRB approved 

protocols will be used. All specimens used for these studies will be coded with the subjects’ unique research 

identification numbers and the PI will not have access to either the PHI or the key to the code linking the 

identity of the subjects with their unique research numbers. In addition to the existing protocols, a project 

specific protocol has been submitted to the local IRB to cover the use of coded samples obtained from our 

collaborator Cheryl Day at the University of Texas. 

Protocol #: 2014P000437/MGH: Secondary Use of Plasma Specimens from the University of Texas. Expedited 

Review 3/12/2014. Action: Not Human Research. 

Protocol #: 2014P000460/BWH: Research Use of Blood Products from Research Blood Components, LLC for 

Host Genetics, Immunology and Virology of HIV and Other Infectious Diseases (Fortune Lab). Expedited 

Review 3/11/2014. Action: Not Human Research. 

Protocol #: 2006P000849/MGH: Cellular Immunology Specimen Repository and Database, Approved 

8/7/2013. 

1. Risks to the subjects 

Human Subjects Involvement and Characteristics: The study enrolls individuals with latent or active TB who 

are willing and able to give informed consent and are adult males and females aged 18-75. Study sites take 

place in University of Texas Health Science Center at Houston-School of Public Health-Brownsville Regional 

Campus in association with Hidalgo County Health Department and Cameron County Health Department and 

or MGH Infectious Disease clinical sites as noted above. All consent forms have been reviewed and approved 

by the Partners IRB. 

Sources of materials: Blood will be collected from all study participants. The specimen draw date, patient 

gender, year of birth and race, diagnosis, treatment and duration, will be collected. Blood draw limits are in 

accordance with institutional policy and safety insured by clinical laboratory monitoring. Data collected will be 

coded by research identification number. Each user has a unique username and password and level of access 

determined by assigned role. The PI of this grant will receive coded data/specimens and will never be given 

access to the key to the codes that contains identifiers that could be used to link the samples/data to individual 

subjects who provided the samples/data. 

Potential risks: For standard blood draws, phlebotomy may cause a small amount of pain or bruising at the 

needle insertion site. Rarely, people faint during or after phlebotomy. Very rarely, an infection occurs at the 

site. Collection of blood samples by standard venipuncture from healthy appearing, nonpregnant adults who 

weigh at least 110 pounds generally poses minimal risk. Repeated blood donation can lead to anemia and iron 

efficiency. This can cause an individual to feel weak and/or tired and may require taking an iron supplement. 

The timing and frequency of blood collection as well as the quantity of blood collected will be recorded and 

closely monitored to avoid these problems. For whole blood procedures, there are some additional 

considerations. Both of these procedures are routinely performed on healthy volunteers who donate in Blood 

Donor Centers to contribute to the general blood supply. These procedures are also performed for therapeutic 

purposes as clinically indicated. In general approximately 2% of donors experience an adverse reaction due to 

the procedure, most of which are minor. Hypovolemic reactions can occur due to rapid change in blood 

pressure in both procedures. These include: nausea, vomiting, dizziness, fainting, dyspnea, lightheadedness, 

pallor, feeling of warmth, chills, excessive tiredness, or convulsions. There are similar risks to phlebotomy as 

indicated above. The less common risks include arterial puncture, delayed bleeding, nerve irritation, nerve 

injury, tendon injury, thrombophlebitis, or allergic reaction. There are additional known risks associated with 

leukapheresis such as adverse reactions to the anticoagulant (Acid Citrate Dextrose Type A) used during the 

procedure since the anticoagulant is returned to the donor with the blood components not being collected. The 

anticoagulant binds to calcium in the donor’s blood, which can result in hypocalcemia and is associated with 

tingling in the lips but may cause convulsions. Donors are sometimes given a calcium supplement during the 

donation to prevent this reaction. 

Contact PD/PI: Lu, Lenette L.

Protection of Human Subjects Page 117
2. Adequacy of protection against risk 

Recruitment and informed consent: 

Potential participants may also contact the study team directly in response to flyers, Internet postings, and 

advertisements. Written informed consent will be obtained only after a potential subject has had an opportunity 

to read the consent, discuss study participation with a study team member, and ask questions. No studyrelated activity will take place prior to obtaining written informed consent. All informed consent documents have 

been reviewed and approved by the UT-H - SPH - Brownsville Regional Camp/RAHC and Partners IRB. 

Protection against risk: Clinical laboratory data will be monitored to insure eligibility for blood donation and the 

frequency of sample collection will be directly monitored. Close clinical monitoring at the time of blood draw or 

leukapheresis is used to assess for any of the rare complications of phlebotomy. If the subject has an adverse 

event, he or she will be offered medical care as needed. Subject confidentiality is protected by storage of all 

data using a unique research identification number. Data is stored in a secure database with limited, monitored 

access. The PI of this grant will receive coded data/specimens and will never be given access to the key to the 

codes that contains identifiers that could be used to link the samples/data to individual subjects who provided 

the samples/data. 

3. Potential benefits of the proposed research to human subjects and others 

As clearly indicated in the informed consent, by taking part in the University of Texas study (Protocol #: 

2014P000437/MGH), subjects may obtain the results from standard tests (ie TSPOT) that are not routinely 

performed as part of medical care. These test results should be discussed further with medical providers or 

health department staff for advice about the possible need to seek medical care. In addition, by participating in 

the study, the subjects are contributing to the understanding of TB pathogenesis and the host immune 

response to infection. By taking part in Protocol #: 2014P000460/BWH and Protocol #: 2006P000849/MGH, 

there are no immediate clinical benefits as is indicated in the informed consent form. However, by participating 

in the study, the subjects are contributing to the understanding of HIV pathogenesis and associated co 

morbidities such as tuberculosis as well as host immune response to infection. 

4. Importance of the knowledge to be gained 

The specific aims of these proposed studies seek to define a novel approach to tuberculosis biomarker and 

vaccine development. Understanding the mechanisms by which antibodies may modulate the immune 

response in tuberculosis disease is crucial, particularly given the large worldwide tuberculosis burden. 

Targeted/Planned Enrollment Table: No subjects will be specifically recruited or enrolled for this project. 

Therefore, no Targeted/Planned Enrollment Table will be submitted with this proposal. 

Data and Safety Monitoring for Clinical Trials: Not applicable (Category B: not a clinical trial). 

Contact PD/PI: Lu, Lenette L.

Protection of Human Subjects Page 118
Inclusion of women and minorities 

Eligible adult males and females from all ethnic backgrounds are included in the cohorts utilized in this study. 

Contact PD/PI: Lu, Lenette L.

Inclusion of Women and Minorities Page 119
PHS Inclusion Enrollment Report

This report format should NOT be used for collecting data from study participants.

OMB Number:0925-0001 and 0925-0002

Expiration Date: 10/31/2018

 

Tracking Number: GRANT12189025 Funding Opportunity Number: PA-16-191. Received Date: 2016-06-10T09:57:43.000-04:00

*Study Title: Antibody Mediated Mechanisms of Immune Modulation in Tuberculosis

*Delayed Onset Study? ❏ Yes ❏✔ No

If study is not delayed onset, the following selections are required:

Enrollment Type ❏ Planned ❏✔ Cumulative (Actual)

Using an Existing Dataset

or Resource

❏✔ Yes ❏ No

Enrollment Location ❏✔ Domestic ❏ Foreign

Clinical Trial ❏ Yes ❏✔ No

NIH-Defined Phase III

Clinical Trial

❏ Yes ❏✔ No

Comments:

Racial Categories

Ethnic Categories

Not Hispanic or Latino

Female Male Unknown/

Not Reported

Hispanic or Latino

Female Male Unknown/

Not Reported

Unknown/Not

Reported Ethnicity

Female Male Unknown/

Not Reported

Total

American Indian/Alaska Native 0 0 0 0 0 0 0 0 0 0

Asian 0 0 0 0 0 0 2 2 0 4

Native Hawaiian or

Other Pacific Islander 0 0 0 0 0 0 0 0 0 0

Black or African American 0 0 0 0 0 0 0 0 0 0

White 5 5 0 35 35 0 0 0 0 80

More than One Race 0 0 0 0 0 0 0 0 0 0

Unknown or Not Reported 0 0 0 0 0 0 0 0 0 0

Total 5 5 0 35 35 0 2 2 0 84

Report 1 of 1

Contact PD/PI: Lu, Lenette L.

 Page 120
Inclusion of Children 

 

The samples used in the studies described in this proposal will be obtained from cohorts of individuals with 

latent or active tuberculosis. Only samples from adults and children aged 18 and over will be obtained. 

Contact PD/PI: Lu, Lenette L.

Inclusion of Children Page 121
Resource Sharing Plan 

I acknowledge the importance of timely release of scientific information and resources to the broader 

community. This proposal does not involve animal research and will not generate model organisms and does 

not include plans for genome-wide association studies so the relevant policies for data sharing are not 

applicable. However, I am aware of the policies and guidelines established by the NIH with regard to release of 

research results. I plan to present the results generated by these studies at national and international 

conferences and publish the data in peer reviewed journals in a timely fashion. In addition, I am committed to 

the NIH Public Access policy. In keeping with general practices at Partners Healthcare, transfers of materials 

to academic and not-for-profit researchers for non-commercial research will be done in a timely fashion and at 

no cost, except for standard maintenance and transportation expenses, with terms as found in the institutional 

standard material transfer agreements. 

Contact PD/PI: Lu, Lenette L.

Resource Sharing Page 122
Authentication of Key Biological and/or Chemical Resources 

Key biological resources in this proposal include 

1: Sera from human individuals with latent or active tuberculosis. 

These are collected by our collaborator Dr Blanca Restrepo. Key control experiments performed in Dr Alter’s 

lab have validated that the functional activity of IgG isolated via our methods of preparation and storage are 

maintained over time and freeze thaw cycles consistent with our manner of use. This includes the function of 

antibody dependent cellular phagocytosis. Multiple filtration steps by ultracentrifugation are employed in the 

isolation of IgG from the sera of these individuals to prevent indiscriminant contamination. This is confirmed by 

endotoxin testing. 

2: Primary human monocyte derived macrophages. 

There are multiple approaches to isolating primary human monocyte derived macrophages in the literature. In 

this study, they are isolated from peripheral blood from healthy human donors in the Boston, MA area which 

carries a low prevalence of tuberculosis. These donors are screened and negative for HIV, HCV and HBV. 

CD14 positive cells are isolated from whole blood with EasySep CD14 Selection Kit and matured for 7 days in 

RPMI with 10% fetal calf serum in low adherent flasks. Monocyte derived macrophages were characterized by 

flow cytometry as CD14-, CD40+, HLA ABC+, CD11b+, CD16+ (FcγRIIIa) and CD32+ (FcγRIIa). Alternative 

methods of maturation include the use of human sera instead of fetal calf sera and GM-CSF for the purposes 

of macrophage polarization. We have extensively tested these methods of maturation as well as duration of 

maturation (7, 14 and 21 days). Our method of maturation provides the most reliable and reproducible results 

for our M. tuberculosis macrophage restriction assay. 

3. CEM-NKr CCR5+ T lymphoblast cell line. 

This cell line is used in the Fc effector assay for Ab dependent cellular cytotoxicity in Aim 1. These cells were 

obtained from NIH AIDS reagents. These are maintained per suggested protocol by NIH AIDS reagents. This 

includes regular image cytometer analysis based on fluorescent dyes acridine orange and DAPI to stain the 

total and dead cell populations, respectively via Chemometec Nucleocounter. They are monitored by Internal 

controls to validate their functionality include the lack of antibody and the absence of antigen to assess 

indiscriminate cellular cytotoxicity. Further validation of the Ab dependent cellular cytotoxicity assays lies within 

validation of natural killer (NK) cells as described below. 

4. Primary human natural killer (NK) cells. 

Primary human natural killer (NK) cells are used in the Fc effector assay for Ab dependent cellular cytotoxicity 

in Aim 1. These cells are isolated from peripheral blood from healthy human donors in the Boston, MA area 

which carries a low prevalence of tuberculosis. These donors are screened and negative for HIV, HCV and 

HBV. NK cells were isolated from whole blood with RosetteSep (Stem Cell Technologies). They are used on 

the day of isolation and the purity of their isolation is confirmed by flow cytometry as CD3- and CD16 and/or 

CD56+. Wells containing serve as a positive control for maximal NK cell activation to ensure that they are 

functionally optimatlly. 

Contact PD/PI: Lu, Lenette L.

Authentication of Key Biological and/or Chemical Resources Page 123