PI: Dewhurst, Stephen Title: The Semen Enhancer of HIV Infection as a Novel Microbicide Target

Received: 07/09/2010 FOA: AI10-011 Council: 01/2011

Competition ID: ADOBE-FORMS-B FOA Title: MICROBICIDE INNOVATION PROGRAM (MIP VI) (R21/R33)

1 R21 AI094511-01 Dual: MH,OD Accession Number: 3315565

IPF: 7047101 Organization: UNIVERSITY OF ROCHESTER

Former Number: Department: Microbiology & Immunology

IRG/SRG: ZAI1 RB-A (J1) AIDS: Y Expedited: Y

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:

Stephen Dewhurst Ph.D. University of Rochester PD/PI 

Changyong Feng University of Rochester Faculty

Jerry Yang Ph.D University of California, San Diego Other (Specify)-Co-Investigator 

Subcontractor

Other (Specify)-Co-Investigator 

subcontractor

Charlene Dezzutti Ph.D University of Pittsburgh Consultant

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APPLICATION FOR FEDERAL ASSISTANCE

SF 424 (R&R) 

3. DATE RECEIVED BY STATE State Application Identifier

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

2. DATE SUBMITTED Applicant Identifier

5. APPLICANT INFORMATION * Organizational DUNS:

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If Revision, mark appropriate box(es).

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TITLE:

11. * DESCRIPTIVE TITLE OF APPLICANT'S PROJECT:

Province:

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What other Agencies?

Pre-application Application Changed/Corrected Application

NIHR21DewhurstMicrobicide

University of Rochester

ORPA

Office of Research and Project Administration

518 Hylan Building

Rochester

146270140

Brenda

Kavanaugh

The Semen Enhancer of HIV Infection as a Novel Microbicide Target

Yes No

USA: UNITED STATES

NY: New York

O: Private Institution of Higher Education

National Institutes of Health

New Resubmission

Renewal Continuation Revision

8. * TYPE OF APPLICATION:

OMB Number: 4040-0001 

Expiration Date: 06/30/2011 

b. Agency Routing Identifier

12. PROPOSED PROJECT:

* Start Date * Ending Date

03/01/2011 02/29/2016

* 13. CONGRESSIONAL DISTRICT OF APPLICANT

NY-028

14. PROJECT DIRECTOR/PRINCIPAL INVESTIGATOR CONTACT INFORMATION

* First Name: Middle Name:

* Last Name: Suffix:

Position/Title:

* Organization Name:

Department: Division:

* Street1:

Street2:

* City:

* Country: * ZIP / Postal Code:

* Phone Number: Fax Number:

* Email:

* State:

County / Parish:

Province:

Prefix:

Dewhurst Ph.D.

Stephen

14642-0672

School of Medicine & Dentistry

Rochester

601 Elmwood Avenue, Box 672

Microbiology & Immunology

Professor and Chair

University of Rochester

NY: New York

USA: UNITED STATES

	


 		

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

15. ESTIMATED PROJECT FUNDING 16. * IS APPLICATION SUBJECT TO REVIEW BY STATE EXECUTIVE 

ORDER 12372 PROCESS?

a. YES a. Total Federal Funds Requested

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 penalities. (U.S. Code, Title 18, Section 1001)

19. Authorized Representative

* First Name: Middle Name:

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20. Pre-application

* 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.

County / Parish:

c. Total Federal & Non-Federal Funds

18. SFLLL or other Explanatory Documentation

Province:

b. Total Non-Federal Funds

Prefix:

0.00

0.00

* I agree

Tammie

Martin

Research Administrator

University of Rochester

Office of Research and Project Administration

518 Hylan Building

Rochester

NY: New York

USA: UNITED STATES 14627-0140

ORPA

Add Attachment Delete Attachment View Attachment

Add Attachment Delete Attachment View Attachment

DATE:

THIS PREAPPLICATION/APPLICATION WAS MADE 

AVAILABLE TO THE STATE EXECUTIVE ORDER 12372 

PROCESS FOR REVIEW ON:

PROGRAM HAS NOT BEEN SELECTED BY STATE FOR 

REVIEW

PROGRAM IS NOT COVERED BY E.O. 12372; OR

Tammie Martin 07/09/2010

b. NO

d. Estimated Program Income

	


 		

 !"
424 R&R and PHS-398 Specific

Table Of Contents Page Numbers

SF 424 R&R Face Page------------------------------------------------------------------------------------------ 1

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

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

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

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

 Public Health Relevance Statement (Narrative attachment)---------------------------------------- 7

 Facilities & Other Resources---------------------------------------- 8

 Equipment---------------------------------------- 11

Research & Related Senior/Key Person-------------------------------------------------------------------------- 17

 Biographical Sketches for each listed Senior/Key Person---------------------------------------- 20

Research & Related Budget - Year 1---------------------------------------------------------------------------- 37

Research & Related Budget - Year 2---------------------------------------------------------------------------- 40

Research & Related Budget - Year 3---------------------------------------------------------------------------- 43

Research & Related Budget - Year 4---------------------------------------------------------------------------- 46

Research & Related Budget - Year 5---------------------------------------------------------------------------- 49

 Budget Justification---------------------------------------- 52

Research & Related Budget - Cumulative Budget----------------------------------------------------------------- 55

Research & Related Budget - Consortium Budget (Subaward 1)---------------------------------------------------- 56

Research & Related Budget - Consortium Budget (Subaward 2)---------------------------------------------------- 74

PHS 398 Specific Cover Page Supplement------------------------------------------------------------------------ 86

PHS 398 Specific Research Plan-------------------------------------------------------------------------------- 88

 Specific Aims---------------------------------------- 89

 Research Strategy---------------------------------------- 90

 Human Subjects Sections---------------------------------------- 102

 Protection of Human Subjects---------------------------------------- 102

 Women &Minorities---------------------------------------- 107

 Planned Enrollment Table---------------------------------------- 108

 Children---------------------------------------- 109

 Vertebrate Animals---------------------------------------- 110

 Select Agent Research---------------------------------------- 113

 Bibliography & References Cited---------------------------------------- 114

 Consortium/Contractual---------------------------------------- 117

 Letters of Support---------------------------------------- 119

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

PHS 398 Checklist--------------------------------------------------------------------------------------------- 123

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Table of Contents Page 3
 
Project/Performance Site Location(s)

Project/Performance Site Primary Location

Organization Name:

* Street1:

Street2:

* City: County:

* State:

Province:

* Country:

* ZIP / Postal Code:

University of Rochester

UR Medical Center

601 Elmwood Avenue

Rochester

NY: New York

USA: UNITED STATES

14642-0672

OMB Number: 4040-0010 

Expiration Date: 08/31/2011

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. 

DUNS Number:

* Project/ Performance Site Congressional District: NY-028

Project/Performance Site Location 1

University of California, San Diego

Office of Contract and Grant Administration

9500 Gilman Drive #093

La Jolla

CA: California

USA: UNITED STATES

* ZIP / Postal Code: 92093-0934 CA-053

* Country:

Province:

* State:

* City: 

Street2:

* Street1:

Organization Name:

County:

DUNS Number:

* Project/ Performance Site Congressional District: 

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. 

Project/Performance Site Location 2

* ZIP / Postal Code:

* Country:

Province:

* State:

* City: 

Street2:

* Street1:

Organization Name:

County:

DUNS Number:

* Project/ Performance Site Congressional District: 

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. 

Additional Location(s) Add Attachment Delete Attachment View Attachment

	


 		

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Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Performance Sites Page 4
 
RESEARCH & RELATED Other Project Information

1. * Are Human Subjects Involved?

1 2 3 4 5 6

If no, is the IRB review Pending?

IRB Approval Date:

Human Subject Assurance Number:

2. * Are Vertebrate Animals Used?

2.a. If YES to Vertebrate Animals

Is the IACUC review Pending?

IACUC Approval Date:

Animal Welfare Assurance Number

3. * Is proprietary/privileged information included in the application? 

4.a. * Does this project have an actual or potential impact on the environment? 

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?

4.d. If yes, please explain:

6. * Does this project involve activities outside of the United States or partnerships with international collaborators?

6.a. If yes, identify countries:

6.b. Optional Explanation:

7. * Project Summary/Abstract

8. * Project Narrative

9. Bibliography & References Cited

10. Facilities & Other Resources

11. Equipment

12. Other Attachments

Yes No

1.a If YES to Human Subjects

Yes No

Yes No

06/28/2010

If yes, check appropriate exemption number.

Yes No

Yes No

Yes No

Yes No

Yes No

Yes No

1234-PROJSUMM-MIP-070410.pdf Add Attachment Delete Attachment View Attachment

1235-PROJNARR-MIP-070410.pdf Add Attachment Delete Attachment View Attachment

1236-BIBLIO-MIP.pdf Add Attachment Delete Attachment View Attachment

1237-RESENV-MIP-0710.pdf Add Attachment Delete Attachment View Attachment

1238-MAJEXPT-MIP-0710.pdf Add Attachment Delete Attachment View Attachment

Add Attachments Delete Attachments View Attachments

Is the Project Exempt from Federal regulations?

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

5.a. If yes, please explain:

	


 		

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Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Other Information Page 5
 
PROJECT SUMMARY/ABSTRACT 

Human semen contains cationic amyloid fibrils, termed the "Semen Enhancer of Virus Infection" (SEVI), 

which strongly enhance HIV-1 infection and may play an important role in viral transmission. Our preliminary 

data show that amyloid-binding molecules bind to SEVI, and block semen-mediated enhancement of HIV-1 

infection. This suggests that (i) SEVI is responsible for semen-mediated enhancement of HIV infection and (ii) 

SEVI represents a novel microbicide target. We therefore propose to explore a novel, innovative approach 

to HIV-1 microbicide development, using agents that selectively target SEVI. This high-risk/high-reward 

approach is fundamentally different from traditional microbicidal strategies that target the virus itself, and is 

expected to be highly complementary with direct antiviral approaches. Indeed, our long-term goal is to use 

SEVI-targeting agents in combination with traditional microbicides, to achieve optimal antiviral effectiveness. 

In the R21 phase, we will test whether novel amyloid-binding small molecules inhibit semen-mediated 

enhancement of HIV infection. The feasibility of this approach has been established using two amyloid-binding 

small molecules which contain “shielding” oligo-ethylene glycol (EG) moieities: BTA-EG4 and –EG6. These 

agents efficiently inhibit SEVI- and semen-mediated enhancement of HIV infection. In Aim 1, we will generate 

and test novel derivatives of these and other amyloid-binding molecules, including oligovalent molecules that 

are expected to possess increased SEVI binding affinity. We will then test their ability to inhibit SEVI- and 

semen- mediated enhancement of HIV infection using a panel of R5 virus strains (including different clades and 

transmitted strains). In Aim 2, we will examine the interaction between novel amyloid-binding small molecules 

and cells from the female reproductive tract. We will evaluate whether our compounds are toxic to human 

cervicovaginal epithelial cells (HCEC), and we will test whether they inhibit SEVI-enhanced binding of HIV-1 to 

HCEC and/or SEVI-enhanced trans-infection of PBMC by HCEC exposed to HIV-1 virions. 

The R33 phase will be undertaken only if well-defined milestones are achieved. In Aim 3, we will use

structure-activity relationship (SAR) data to refine our chemical compositions. We will also test whether our lead 

molecules have efficacy in a cervical explant model for HIV-1 infection, and whether they have a synergistic or 

additive effect on the ability of other candidate microbicides to inhibit HIV-1 infection in the presence of semen. 

In the final Aim, we will assess the toxicity and inflammatory effects of the most promising candidate molecules, 

using beneficial Lactobacilllus strains and cervical explants. The R33 phase will culminate with an evaluation of 

the safety and tolerability of the most promising compound in the rabbit vaginal irritation (RVI) model. 

The overall goal of these studies is to carefully determine whether small molecules that target SEVI have 

potential utility as a novel class of microbicides. 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Project Description Page 6
 
PROJECT NARRATIVE 

New approaches to prevent the transmission of human immunodeficiency virus type-1 (HIV-1) are urgently 

needed. This application seeks to develop a new class of microbicidal agents that are targeted not to the virus 

itself, but to a host protein found in semen that strongly enhances HIV-1 infection. This high risk, high reward 

approach is fundamentally different from traditional microbicidal strategies that target the virus, and is expected 

to be highly complementary with direct antiviral approaches. 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Public Health Relevance Statement Page 7
 
RESOURCES AND ENVIRONMENT 

Dewhurst Lab: University of Rochester 

LABORATORY: 1200 sq. ft. of new research space is available to Dr. Dewhurst, with a fully-equiped adjoining 

BL2+ tissue culture facility (for work with SIV and HIV-1), a cubicle for PCR set-up and dedicated 

incubator/shaker facilities for bacterial growth. This space is located on the 3rd floor of the University’s newly 

constructed Kornberg Medical Research Building. Additional facilities include extra tissue culture facilities (3 

laminar flow hoods), as well as shared electroporation apparatus, luminometer, ELISA plate reader, liquid 

nitrogen storage, -80 freezers, UV/digital photography suite, two fluorescence microsopes (with digital 

cameras) and cell harvester. Equipment shared with immediately adjacent labs includes (ultra)centrifuges, two 

FACS analyzers (FACScan and FACScalibur, owned as a consortium between 8 investigators), a 2D 

proteomics analyzer (shared with one other lab), a real-time PCR instrument (BioRad iCycler, shared with one 

other lab), an Alpha-Innotech gel analyzer and a Nucleofector (Amaxa; shared with one other lab). 

CLINICAL: The University of Rochester Medical Center (URMC) owns Strong Memorial Hospital, which serves 

as its teaching hospital. It has well over 600 beds, and is located under the same roof as the URMC. It has a 

GCRC (General Clinical Research Center), Clinical Research Institute (CRI), Vaccine Testing and Evaluation 

Unit (VTEU), Cancer Center (URCC) & more. 

ANIMAL: Animals are housed and cared for by the facilities and programs of the Vivarium and Division of 

Laboratory Animal Medicine (DLAM). These facilities are fully accredited by AAALAC and are in compliance 

with state law, federal statute and NIH policy. DLAM consists of one board certified laboratory animal 

veterinarian, two clinical laboratory animal veterinarians, a veterinary pathologist & a staff of trained and 

licensed technicians. 

COMPUTER: Dr. Dewhurst has a desktop Macintosh computer and a laser printer available for his personal 

use. In addition, ten Macintosh personal computers (G5, G4, iMac, iBook), five PCs (Dell) and two networked 

laser printers are available in Dr. Dewhurst’s laboratory; all are connected via T1 line to the internet. Each preand post- doctoral fellow has their own computer. In addition, there are portable machines which are used for 

shared dongled software (Vector NTI, CellQuest, FlowJo). A scanner and densitometric imaging software are 

available, and a computer/network support staff is available via a central campus facility. 

OFFICE: Dr. Dewhurst occupies a 200 sq. ft. office and additional office space is available for fellows and 

students. The office of the Dept. of Microbiology and Immunology has secretarial and administrative support 

personnel, available to Dr. Dewhurst. 

OTHER: Additional shared facilities include additional light/fluorescent microscope facilities with image capture 

(MCID camera) and analysis capabilities, as well as image reconstruction software, and a microinjection device 

for introduction of DNA or proteins into individual cells. 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Facilities Page 8
 
Yang Lab: University of California, San Diego 

All laboratory and office space for Prof. Yang are located in Pacific Hall at the University of California, San 

Diego. 

LABORATORY 

>4000 sq. ft. total laboratory space is available to Dr. Yang, including the following: 

 Wet chemical Laboratories: 6112, 6114, 6115, 6117, 6213 Pacific Hall (3025 sq. ft.) 

 Shared analytical Laboratory: 6015 Pacific Hall (603 sq. ft.) 

 Tissue Culture Facilities: 6019 Pacific Hall (382 sq. ft.) 

 Shared hazardous chemicals laboratory: 6020A Pacific Hall (150 sq. ft.) 

CLINICAL: 

Not applicable to the UCSD component of this research program 

ANIMAL: 

Not applicable to the UCSD component of this research program 

COMPUTER: 

Three PC to control chromatography equipment, one PC to control a bilayer setup, two PCs to control UV-Vis 

and Fluorescence microplate readers, two PC’s to control UV-Vis and Fluorescence spectrophotometers, one 

PC to control an FTIR spectrometer, one PC to run molecular modeling software, two PCs for general student 

use, one PC in the office of the PI. 

OFFICE 

 Office for PI: 6100C Pacific Hall (129 sq. ft.) 

 Shared student office/lounge: 6100 Pacific Hall (386 sq. ft.) 

 Secretarial services are also available, including a Fiscal administrator and a Personal administrator 

OTHER 

Other departmental and University resources (access through recharge): 

 NMR (300 MHz, two 400 MHz, two 500 MHz) 

 Small molecule and biomolecular mass spec facility (APCI, EI, ESI, Hires-FAB, MALDI-TOF, GC-MS, 

LC-MS) 

 Transmission Electron and Scanning Probe, Deconvolution and Confocal Microscopy facilities (NIHfunded National Center for Microscopy and Imaging Research, UCSD School of Medicine) 

 Electronics and Machine shops 

 Experts for computers and networking 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Facilities Page 9
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

LABORATORY: has over 42,000 sq ft of dedicated BSL-2+ laboratory 

animal space and over 8000 sq ft of laboratory space. Currently, the laboratories are involved with HIV/SIV and 

other viral disease of humans. OSHA and BMBL regulations. All laboratories are equipped 

with typical equipment needed for tissue culture and molecular biology, such as SterilGARD, The Baker 

Company, 6 ft. biological safety cabinets class II, Forma scientific water-jacketed incubators, MWG Biotech 

Primus 96 Plus thermocyclers, Ultraspec 2000 spectrophotometer, Mettler Toledo Fine Scale XS104, Corning 

pH meter 440, Hoefer DNA Fluorometer Model TKO100, Sorvall Legend RT+ centrifuges, standard waterbath 

at 37oC or 56oC, minicentrifuges from Fisher Scientific, Hereaus, and Eppendorf, Fininstruments plate washer, 

Inotech cell harvester, Nikon TMS inverted microscope, Olympus CH microscope, Manitowec Ziegro ice 

maker, chemical fume hood, Multiskan Ascent ELISA reader, Beckman Avant 30 centrifuge, and Lab-Line 

incubator shaker model no. 3525. Within the lab area also located are -80oC and -20oC freezers, refrigerators, 

a BD FACS Canto II Flow cytometer and two TAQMAN real-time ABI instruments (7700 and 7500), a Perkin 

Elmer MicroBeta scintillation counter, a Syngene’s G-box. 

CLINICAL: N/A 

ANIMAL: Animals will be housed at Care and husbandry of all non-human primates 

will be provided in compliance with federal laws and guidelines as well as in accordance with 

recommendations provided in the NIH guide and other accepted standards of laboratory animal care and use. 

 is fully accredited by the Association for Assessment and Accreditation for Laboratory Animal Care 

International (AAALAC File Number ). Assurance with the Office of Laboratory Animal Welfare 

(OLAW) is current (Assurance Number ). facilities are registered with and annually 

inspected by the USDA-APHIS (Registration Number ). Research at is currently conducted 

in over 70,000 sq. ft. of facilities. Nearly 50,000 sq. ft. of this space is dedicated to facilities that directly or 

indirectly support animal research in BSL2 and BSL3 containment. The proposed studies will be conducted in 

the . One Board Eligible (American College of Laboratory Animal Medicine) 

Veterinarian and four certified (AALAS) Veterinary Technicians are on staff at this facility. 

COMPUTER: is a fully networked organization utilizing Microsoft Windows 2007 Server and Windows 

XP/Vista client software to operate over an Ethernet backbone (10/100/1000 BaseT; Cat 5). At an Institute-wide 

level, the Microsoft Office software suite is utilized to generate reports (MS Word), graph results (MS Excel, 

GraphPad Prism), manage data (MS Access), and email final reports/results to clients (MS Outlook or Outlook 

Express). Although the exists primarily on a PC platform, multiple Macintosh computers are 

also connected to the network via TCP/IP; this beneficial configuration permits utilization of unique, Macintoshspecific, scientific software and permits sharing of their data files and peripheral resources across the PC network. 

Specific internet and email access to the server is provided via a firewall system. Daily incremental backups and 

weekly full backups of experimental data and results files are utilized to provide protection against accidental or 

catastrophic loss of data. At all facilities, password administration is utilized to restrict/regulate access and provide 

an extra level of security for designated files and data. 

OFFICE: Every employee has its own computer and desk at the facility. Sufficient office 

space is available for all investigators and technical staff to perform the proposed work. 

OTHER: has three building, all located in . The building on is the 

corporate headquarters, and has office space, and BSL2 in vitro labs and small animal labs. three 

facilities have security cameras installed at strategic locations and 24/7 physical security. 

Facilities Page 10
 
MAJOR EQUIPMENT 

UNIVERSITY OF ROCHESTER/DEWHURST LAB 

Dr. Dewhurst occupies laboratory space within the Kornberg Medical Research Building (KMRB) at the 

University of Rochester (UR)’s School of Medicine and Dentistry (URSMD). Dr. Dewhurst has access to 

shared equipment including scintillation counters, several ultracentrifuges, rotors, and 2 Sorvall RC5B 

centrifuges. Dark room facilities, as well as cold and warm (37o

C) rooms are shared with three other labs. The 

Dewhurst lab also has a dedicated ELISA plate reader, and shares dedicated access to a FACScalibur flow 

cytometer with a small consortium of other laboratories that are also located on the 3rd floor of the KMRB. 

URSMD CORE FACILITIES AND SHARED RESOURCES SUMMARY

Overview and environment: The University of Rochester School of Medicine and Dentistry (URSMD) is 

highly committed to providing shared instrumentation and core facilities in support of basic, translational and 

clinical research across departments and centers. Indeed, core facilities and shared instrumentation play a 

central role in URMC’s 2007-2012 Strategic Plan. This is evidenced in part by the major increase in resources 

that URMC has allocated for operational support (a 46% increase in core subsidies from FY 06 to FY 09). It is 

also reflected by a major commitment to acquistion of new core instrumentation (see below). 

New equipment and core enhancements: The University supported significant enhancement of multiple 

cores in the past 2 years with addition of state of the art instrumentation. An ABI SOLiD high throughput DNA 

sequencer (HTDS) was added to the Functional Genomics core in early 2010, and a second high throughpput 

sequencing instrument is in the process of being added to the core (a funded NIH S10 award will support the 

purchase cost of this instrument). An Olympus FV-1000 Confocal Microscope with SIM scanner capable of 2-

laser synchronized scanning was added to the Confocal and Conventional Microscopy Core in mid-2008. A 

Fourier Transform Mass Spectrometer (FTMS) and a Triple Quad Mass Spectrometers capable of high 

sensitivity and resolution were purchased for the Proteomics Core in 2008. Two new cores were formed in the 

past two years including (1) the Multiphoton Imaging Core, which was established with the purchase of a 

multiphoton confocal microscope capable of live imaging, and (2) the High Throughput Screening (HTS) core, 

which was established to permit the screening of libraries of small molecules, for desired biological activity. A 

Gammacell 40 Exactor Low Dose-rate Research Irradiator was purchased and installed for animal work within 

the vivarium. In addition, the UR Clinical Translational Research Institute (CTSI) provided incremental support 

to multiple cores including an 18-color BD LSRII special order flow cytometer and additional equipment for the 

flow cytometry core. 

Major core facilities: The UR Medical Center has a number of successful core research facilities which 

provide services to all researchers at the University. These facilities are listed below. 

 Biomolecular Interaction Core Laboratory. The Biomolecular Interaction core facility seeks to give 

access to custom affinity reagents to researchers in the University. We utilize phage display to generate 

recombinant antibodies to user provided target molecules and produce the single-chain Fv proteins for 

the user. We also can perform affinity measurements using surface plasmon resonance or provide 

access to trained users to this equipment. This facility is of special value to UR researchers with 

interests in immunology and/or flow cytometry. 

 Biosafety Level 3 (BSL-3) Core. The Biosafety level three facility (BSL-3) is available for the use of 

any researcher at the university whose work requires manipulation of biological agents which may 

cause serious or potentially lethal disease as a result of exposure by the inhalation route (such as TB). 

 Cold Storage Core (CSC). The CSC provides a discrete area where investigators can keep freezers 

for long term storage of research materials. The entire facility is alarmed and power protected. 

 Confocal and Conventional Microscopy Core (CCMC). The Confocal and Conventional Microscopy 

Core—formerly called the Pathology/Morphology Imaging Core—provides a new Olympus FV100 laser 

scanning confocal microscope, an SP1 Leica confocal microscope, an Olympus fluorescence 

microscope, and capabilities for large specimen imaging. All users are provided the ability and 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Equipment Page 11
 
expertise to characterize biologic specimens using sophisticated fluorescent and/or brightfield 

microscopy.

 Electron Microscope Research Core. The principal mission of this Electron Microscope Research 

Core (EM Core) is to provide University of Rochester researchers support in high magnification image 

analysis of cells and tissue in the fields of Transmission Electron Microscopy (TEM), Scanning Electron 

Microscopy (SEM) and combined Scanning/Transmission EM (STEM). The STEM microscope was 

newly added to the facility in 2007, and permits both image and physical analysis of samples; this 

instrument is presently in high demand for studies on nanotoxicity. 

 Flow Cytometry and Immunologic Analysis Core. Flow cytometry and immunologic assessment 

resources within the medical center are available in several venues. Flow cytometry resources are 

currently in the process of being restructured and integrated into a single new flow cytometry core 

structure. The overall mission of the core is to provide researchers with access to and training to 

operate state-of-the art flow cytometry, as well as increasing the outreach to casual users. Additionally, 

the core will continue to serve as an expert resource to push the limits of current technology to support 

cutting edge research. The Core currently has analytical tools including a FACSCanto (8-colors) and 3 

LSR-II's (one 11-color, one 12-color, and an 18-color instrument) from BD Biosciences. The Core also 

has a BD 13-color FACSAria cell sorter. The Core’s most recent (2009) acquisition is an next 

generation Amnis ImageStream Imaging Cytometer. This represents cutting-edge technology that is not 

presently available on the commercial market and was brought to UR through a collaboration between 

the Core and the instrument manufacturer. 

 Functional Genomics Center. This core facility consolidates the Microarray Core, & the Nucleic Acid 

Core Facilites into one entity. The center provides DNA sequencing; DNA and RNA extraction, 

purification, and measurement; microarray services (Affymetrix platform), quantitative RT-PCR, 

genotyping, DNA fragment analysis; SNP analysis; assistance with interpretation of results. A new ABI 

SOLiD high throughput DNA sequencer (HTDS) was added to the core in early 2010, and a second 

high throughout sequencing instrument will be added later this year. 

 Gene Targeting and Transgenic Core. At this time, this core provides expertise and assistance in the 

production of transgenic mouse models by either DNA microinjection or gene targeting in embryonic 

stem (ES) cells. 

 High Throughput Screening (HTS) Core. This Core provides low cost access to screening chemical 

libraries for identification of novel molecules that can be used to perturb biological systems. The Core 

offers the capacity to develop assays for high throughput screening, the ability to screen relatively small 

libraries to obtain preliminary data for grant proposals as well as to screen much larger libraries for 

identification of leads for therapeutics. Core instrumentation includes an Envision High Throughput 

Plate Reader, a Janus dual robot arm for liquid handling, a Flexdrop Plate Filler and a plate washer. 

Available chemical libraries include the Spectrum Collection that contains natural products and 

marketed and experimental drugs (2000 compounds) as well as the Chembridge Diversity set, which 

contains 20,000 randomly selected molecules from Chembridge’s DIVERset library, and is 

representative of the chemical diversity in the 450,000 compound parent library. 

 Human Immunology Center Laboratory. The Human Immunology Center (HIC) and its core 

laboratory were established to acquire, refine and develop expertise in cutting-edge techniques and to 

support applications in Human Immunology research. The HIC is directed by Dr. Mosmann, and serves 

to enhance multi-disciplinary research initiatives catalyzing key clinical and basic immunology research 

in vaccines, HIV/AIDS, autoimmunity, allergy/asthma, transplantation as well as cancer immunology. 

The Center’s core lab provides assistance and expertise in immunological method development, 

standardization and validation through individual and group training programs. Rochester Human 

Immunology Center (RHIC) services include: (1) flow cytometry analysis instrumentation that is 

integrated into the URSMD Flow Cytometry Core Facility providing quality control, maintenance, and 

calibration services for flow users (instruments include an 11-color LSRII and an 18-color LSRII); (2)

Design, development, and validation of cell sorting strategies using a 7-color FACSAria located in the 

CVBI or a 13-color FACSAria located in the Flow Core facilit; (3) Luminex Xmap Multiplexed microbead 

array technology; the RHIC maintains a Luminex 200 core service with a BioRad BioPlex instrument, 

and provides seminars and hands on training for multiplex bead technology; (4) A CTL Immunospot® 

S2A Core Analyzer; this is an automated ELISPOT reader for ELISPOT work in 96 well format. 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Equipment Page 12
 
 Molecular Imaging Facility. The Molecular Imaging Facility provides researchers at the UR with 

access to state of the art instruments capable of detecting and quantifying the levels and positions of 

radio- and fluorescently labeled molecules in a variety of formats including gels, blots and microtiter 

plates. Core instrumentation includes a Storm 820 Phosphorimager and a Typhoon 9410 (purchased 

in 2008). 

 Multiphoton Imaging Core. The Multiphoton Core Facility is available to all investigators at the 

University of Rochester to acquire and analyze high-quality images using cutting-edge multi-photon 

technology. The facility is equipped with a brand new Mai Tai HP Deep Sea Laser from Spectra 

Physics and an Olympus Fluoview 1000 AOM-MPM Microscope. 

 Pathology/Morphology Imaging Facility. This core facility provides a Leica Confocal Microscope, an 

Olympus Flourescent Microscope, and an Arcturus PixCell Laser Capture Microscope for use by UR 

faculty. All users are provided the ability and expertise to characterize biologic specimens using 

sophisticated fluorescent and/or brightfield microscopy. 

 Proteomics Center. The UR Proteomics Center provides protein characterization support, 

predominantly in the form of proteomic technology. The analytical strengths of the core are mass 

spectrometry and separation sciences. In a classical proteomic application, a complex sample matrix, 

such as serum, is separated into individual protein fractions, the identities of which are then determined 

with mass spectrometry. The core processes a myriad of sample types, from complex clinical matrices 

to simple purified proteins, for identification of unknowns or verification of identity. Instrumentation 

includes MALDI Mass Spectrometers (AutoflexIII TOF/TOF with smartbeam laser), Liquid 

Chromatography Mass Spectrometers (LC/MS) (LTQ LC/MS Linear Ion Trap, LCQ DECA XP MAX 

LC/MS 3D Ion Trap, Apex Ultra 9.4T FT-ICRMS with Apollo II dual source and micrOTOF-Q) as well as 

Separation Devices (ProteomeLab PF 2D, ProteomeLab PPS, ProteomeLab PA 800 Capillary, and 

HPLC-Robot-Spotter in-line with MALDI) and additional instrumentation (Ciphergen SELDI PBSII Mass 

Spectrometer). A new $1.5M Fourier Transform (FT) Mass Spectrometer was added to the facility in 

2008.

 RCBI (Rochester Center for Brain Imaging). The Rochester Center for Brain Imaging (RCBI) 

provides researchers at the UR, as well as neighboring institutions, with access to a state-of-the-art 3T 

magnet for research using magnetic resonance imaging (MRI). This facility was recently (2009) 

enhanced by a $500,000 NIH small instrumentation grant award to upgrade the Siemens 3T magnet 

system that is the heart of this Center. 

 Vivarium. The Vivarium is a centralized resource facility with staff and programs that support the 

research and educational uses of laboratory animals. These facilities are fully accredited by AAALAC 

and are in compliance with state law, federal statute and NIH policy. The Division of Laboratory Animal 

Medicine (DLAM) consists of one board certified laboratory animal veterinarian, two clinical laboratory 

animal veterinarians, a veterinary pathologist & a staff of trained and licensed technicians. 

 Xenogen IVIS In Vivo Imaging Core. The mission of the in vivo bioluminescence imaging core is to 

allow the detection of bioluminescent tracer molecules in living small animals. 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Equipment Page 13
 
Other Facilities

High performance computing (HPC): The University of Rochester recognizes the key role of highperformance computing (HPC) in the advancement in research both within and across disciplines spanning all 

areas of academic scholarship. As a consequence, the University created the Center for Computational 

Arts, Sciences, and Engineering (CASE). This University-funded center provides researchers across the 

university with the both the resources (i.e. CPU, storage, software tools, etc) and the assistance (training, 

operational support, software development support, etc) necessary to fully utilize high-performance 

computation in their research activities. CASE maintains two high-performance computing (HPC) clusters: the 

7 teraflop BlueHive cluster, consisting of 84 compute nodes totaling 672 CPU cores, 672GB RAM, and 24 TB 

storage; and the Nova cluster, consisting of 144 CPU cores, 144GB RAM, 1.2 TB storage. CASE provides 

supporting software applications and tools, including Intel, GNU, and IBM compilers, parallel communications 

libraries, math libraries, and domain-specific applications, and cross-domain scientific applications including R 

and MATLAB. All of these resources are supported and maintained by a dedicated support team. In addition 

to computing resources and tools, CASE staff assists researchers to apply these tools to their own research by 

providing expertise and training, including: technical assistance applying computing to research; training in 

general HPC use, application use, and software development; and assistance in porting and tuning 

applications. The UR has further expanded its research facilities through a recent joint HPC research alliance 

with IBM. This activity provides researchers across the University with the resources and the assistance 

necessary to fully leverage high-performance computation in support of their research activities. The 

acquisition of a 13.9 teraflop BlueGene supercomputer, with 2048 processors, 2TB RAM, Storage Server with 

90 TB storage, Front End Server, and 8 File Servers, complements the existing IBM Linux cluster in the CASE 

(see above). These high performance resources are professionally managed in the University’s new state-ofthe-art data center and offer researchers the power and the complete suite of software tools, including Intel 

optimizing compilers, Math and MPI libraries, IBM compilers, IMSL, ESSL, GPFS, the R statistical computing 

system, Matlab, Mathematica, System S, and SolidDB. In addition to this extensive computational research 

environment, University staff assists researchers to apply these tools to their own research by providing 

expertise and training, including: technical assistance applying computing to research; training in general HPC 

use, application use, and software development; and assistance in porting and tuning applications. 

More recently, the University has also created the Health Sciences Center for Computational 

Innovation (HSCCI). Dr. David Topham (Associate Professor of Microbiology and Immunology in the David H. 

Smith Center for Vaccine Biology and Immunology) serves as Vice Provost and Executive Director of the 

HSCCI, a partnership between the University and IBM. The goal of the HSCCI is to support collaboration in 

biomedical research using High Performance Computational Resources, by bringing together academic 

biomedical and health-related Research Investigators, High Performance Computational Biologists, and HP 

Research Computing resources. 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Equipment Page 14
 
YANG LAB / University of California, San Diego 

Personal (Yang Lab):

17 chemical fume hoods (4-ft wide) 

Two tissue culture hoods (1 6-ft wide, 1 3-ft wide) 

Two tissue culture incubators 

Three Analytical HPLC 

Preparative HPLC 

Preparative FPLC 

UV-Vis spectrophotometer 

Upright optical microscope 

Inverted tissue culture microscope 

FT-IR spectrophotometer 

Isothermal titration calorimeter 

Inverted epi-fluorescence microscope 

Circular dichroism spectrophotometer 

Titration fluorimeter 

UV-Vis plate reader 

Fluorescence plate reader 

Microwave synthesizer 

Available through recharge within Dr. Yang’s home department:

Dynamic Light Scattering Instrument 

Typhoon Gel Imager 

Confocal, deconvolution, transmission electron, and scanning probe microscopes 

Maldi, ESI, LC-MS Mass Spectrometers 

NMR Spectrometers 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Equipment Page 15
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Major equipment at that is available for this project includes the following: 

SterilGARD, The Baker Company, 6 ft. biological safety cabinets class II (5), Forma scientific water-jacketed 

incubators (3), MWG Biotech Primus 96 Plus thermocyclers (3), Ultraspec 2000 spectrophotometer (1), Mettler 

Toledo Fine Scale XS104 (1), Corning pH meter 440 (1), Hoefer DNA Fluorometer Model TKO100 (1), Sorvall 

Legend RT+ centrifuges (3), standard waterbath at 37oC or 56oC (2), minicentrifuges from Fisher Scientific, 

Hereaus, and Eppendorf (4), Fininstruments plate washer (1), Inotech cell harvester (1), Nikon TMS inverted 

microscope (1), Olympus CH microscope (1), Manitowec Ziegro ice maker (1), chemical fume hood (1), 

Multiskan Ascent ELISA reader (1), Beckman Avant 30 centrifuge (1), Lab-Line incubator shaker model no. 

3525 (1), -80oC (1) and -20oC freezers (2), refrigerators (3), BD FACS Canto II Flow cytometer (1), TAQMAN 

real-time ABI instruments (7700 and 7500, 1 each), Perkin Elmer MicroBeta scintillation counter (1), Syngene’s 

G-box (1) 

Vivarium Equipment

Rabbit cages/racks, portable surgery table (3), portable surgery tray table (3), downdraft table, ultrasomic 

cleaner, bead sterilizer (2), scavinging ventilator system, autoclave, balances (3), heavy duty scale, analytical 

balance, microbalance, Brinkman polytron, heat lamp, surgery lamp(3), cautery (3), -20C freezer (3), -80C 

freezer (3), refrigerator/freezer (3), walk-in cold room, flammable liquids storage cabinet, acid storage cabinet, 

pipetter (assorted), stirrer (assorted), vortexer (assorted), homogenizer, water bath (assorted), cage washer, 

rack washer 

Equipment Page 16
 
Province:

PROFILE - Project Director/Principal Investigator

Prefix: * First Name: Middle Name:

* Last Name: Suffix:

Organization Name: Division:

Position/Title: Department:

* Street1:

Street2:

* Phone Number: Fax Number:

* E-Mail:

Credential, e.g., agency login:

* Project Role: Other Project Role Category:

* Country: * Zip / Postal Code:

* State:

* City: County/ Parish:

RESEARCH & RELATED Senior/Key Person Profile (Expanded)

*Attach Biographical Sketch

Attach Current & Pending Support

Stephen

Dewhurst Ph.D.

Professor and Chair Microbiology & Immunology

University of Rochester

601 Elmwood Avenue, Box 672

Rochester

School of Medicine & Dentistry

NY: New York

USA: UNITED STATES 14642-0672

PD/PI

PhD

1987

1245-Dewhurst-NIHBio-NoHDR-06 Add Attachment Delete Attachment View Attachment

Add Attachment Delete Attachment View Attachment

OMB Number: 4040-0001 

Expiration Date: 06/30/2011

Degree Type:

Degree Year:

Province:

PROFILE - Senior/Key Person

Prefix: * First Name: Middle Name:

* Last Name: Suffix:

Organization Name: Division:

Position/Title: Department:

* Street1:

Street2:

* Phone Number: Fax Number:

* E-Mail:

Credential, e.g., agency login:

* Country: * Zip / Postal Code:

* State:

* City: County/ Parish:

Assistant Professor

University of Rochester

601 Elmwood Avenue, Box 630

School of Medicine & Dentistry

Biostatistics & Comp. Biology

USA: UNITED STATES

Changyong

Feng

UR Medical Center

Rochester

NY: New York

14642-0630

* Project Role: Faculty Other Project Role Category:

1

Degree Type: PhD

Degree Year: 2002

*Attach Biographical Sketch 1246-Feng-NIHBio-NoHDR-0610.p Add Attachment Delete Attachment View Attachment

Attach Current & Pending Support Add Attachment Delete Attachment View Attachment

	


 		

 !"

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Key Personnel Page 17
 
RESEARCH & RELATED Senior/Key Person Profile (Expanded)

Province:

PROFILE - Senior/Key Person

Prefix: * First Name: Middle Name:

* Last Name: Suffix:

Organization Name: Division:

Position/Title: Department:

* Street1:

Street2:

* Phone Number: Fax Number:

* E-Mail:

Credential, e.g., agency login:

* Country: * Zip / Postal Code:

* State:

* City: County/ Parish:

Ph.D

Associate Professor

University of California, San Diego School of Medicine

Biochemistry & Chemistry

USA: UNITED STATES

Jerry

Yang

9500 Gilman Drive, MC 0358

La Jolla

CA: California

92093-0358 

* Project Role: Other (Specify) Other Project Role Category: Co-Investigator Subcontractor

2

Degree Type: Ph.D.

Degree Year: 2001

*Attach Biographical Sketch 1247-Yang NIH Bio noHDR 0610x Add Attachment Delete Attachment View Attachment

Attach Current & Pending Support Add Attachment Delete Attachment View Attachment

Province:

PROFILE - Senior/Key Person

Prefix: * First Name: Middle Name:

* Last Name: Suffix:

Organization Name: Division:

Position/Title: Department:

* Street1:

Street2:

* Phone Number: Fax Number:

* E-Mail:

Credential, e.g., agency login:

* Country: * Zip / Postal Code:

* State:

* City: County/ Parish:

Senior Scientist

USA: UNITED STATES

* Project Role: Other (Specify) Other Project Role Category: Co-Investigator subcontractor

3

Degree Type: Ph.D., D.V.M.

Degree Year:

*Attach Biographical Sketch Add Attachment Delete Attachment View Attachment

Attach Current & Pending Support Add Attachment Delete Attachment View Attachment

	


 		

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Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Key Personnel Page 18
 
RESEARCH & RELATED Senior/Key Person Profile (Expanded)

Province:

PROFILE - Senior/Key Person

Prefix: * First Name: Middle Name:

* Last Name: Suffix:

Organization Name: Division:

Position/Title: Department:

* Street1:

Street2:

* Phone Number: Fax Number:

* E-Mail:

Credential, e.g., agency login:

* Country: * Zip / Postal Code:

* State:

* City: County/ Parish:

Ph.D

Associate Professor

University of Pittsburgh

204 Craft Ave., Room 542

Obstetrics, Gynecology 

USA: UNITED STATES

Charlene

Dezzutti

Magee-Womens Research Institute

Pittsburgh

PA: Pennsylvania

15213-0000

* Project Role: Consultant Other Project Role Category:

4

Degree Type: Ph.D.

Degree Year: 1989

*Attach Biographical Sketch 1249-Dezzutti NIH Bio noHDR 0 Add Attachment Delete Attachment View Attachment

Attach Current & Pending Support Add Attachment Delete Attachment View Attachment

	


 		

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Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Key Personnel Page 19
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

BIOGRAPHICAL SKETCH

Provide the following information for the Senior/key personnel and other significant contributors in the order listed on Form Page 2.

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

NAME

Stephen Dewhurst

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

POSITION TITLE

Professor and Chair of Microbiology and 

Immunology

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) MM/YY FIELD OF STUDY

Bristol University, Bristol, UK B.S. 1984 Cellular Pathology

Univ of Nebraska Med Ctr, Omaha, NE Ph.D. 1987 Path & Microbiology

Columbia University, New York, NY Postdoc. 1988 Virology (HIV)

Harvard School of Public Health, Boston, MA Postdoc. 1988-90 Virology (SIV)

A. Personal Statement 

The goal of the proposed research is to understand the novel inhibitors of the semen enhancer of virus 

infection (SEVI) with a goal to preventing HIV-1 transmission. My role on the project is to oversee all of the 

experiments, reporting and administrative/financial responsibilities, and to interface with the other participating 

investigators. I already have strong collaborative relationships with these individuals. I also have over 20 

years’ experience as a molecular virologist, working on both RNA and DNA viruses, and am expert in the areas 

of HIV-1 virology, HIV-1 vaccine development and virally-mediated gene transfer. In addition, I am 

knowledgeable in the area of neuroscience, which is important in light of the similarities (and differences) 

between SEVI and other amyloid fibrils. The present project has emerged unexpectedly out of ongoing 

collaborative studies with Dr. Yang, and fits well with our mutual interests in SEVI and in the development of 

inhibitors of SEVI’s biological activities. Of relevance to this application, and its focus on an innovative scientific 

concept, I have been named as an inventor on 20 patent applications or invention disclosures, and have a 

strong history of translational scientific research contributions. This is exemplified by my work in the area of 

neuroAIDS. With my colleagues, Drs. Handy Gelbard and Sanjay Maggirwar, I showed that HIV-1 mediated 

neurotoxicity is dependent on activation of the cellular kinase, glycogen synthase kinase 3ß (GSK3ß). The 

work was progressed from in vitro studies with cultured neurons, to studies in a preclinical animal model for 

HIV-associated neurologic disease (HAND) and ultimately into human clinical trials – with the aim of exploring 

the therapeutic potential of GSK3ß inhibitors such as lithium and valproate. These studies were paradigmshifting because they identified a previously unknown therapeutic target in HAND, and resulted in bench-tobedside translation of basic research findings. 

B. Positions and Honors 

Positions and Employment

1984-1987: Graduate Researcher, Dept. of Path. & Microbio., U. of Nebraska Med. Cntr, Omaha 

1987-1988: Research Assistant, Dept. of Medicine & Peds, Columbia Univ., New York 

1988-1990: Post-Doctoral Fellow, Dept. of Cancer Biology, Harvard Schl. Public Health, Boston. 

1990-2009: Assistant Professor (1990-95), Associate Professor (1995-2001), Professor (2001-pres), 

Dean’s Professor (2002-pres), Associate Chair (2005-2009), Department of Microbiology & 

Immunology, Univ. of Rochester (UR), Rochester NY. 

2007-2009: Senior Associate Dean of Basic Research, UR School of Medicine & Dentistry 

2009-: Chair, Dept of Microbiology and Immunology, UR 

Biosketches Page 20
 
Other Experience and Professional Memberships

1994-pres: Ad hoc member of NIH SEPs: AIDS vaccine grants and vaccine-related programs (R21, P01, 

U19) (1994, 1997, 1998-2000, 2002, 2005, 2006, 2008, 2009, 2010 x3), Loan Repayment 

Program (LRP) (2002, 2004); F31 fellowships (2002, 2003); Bioterrorism-related research 

(2002); drug abuse/CEBRA (2010); drug abuse/systems science (2010); malignancy (1996, 

2004); PREP training grants (2006); predoctoral T32 awards (2006-2010); virology and 

immunology (2009 x2, 2010) 

1995-96: Ad hoc member, Experimental Virology Study Section, NIH (NIAID) 

1999-04: Member & Chair (2003-2004), AIDS Research Review Committee (AIDSRRC), NIAID 

2000-06: Director, NSF BIO REU Site Program in Cellular and Molecular Biology, UR 

2001-pres: Director, NIH Predoctoral Training Program in HIV Replication and Pathogenesis, UR 

2002-07: Director, PREP Program in Microbiology & Immunology, UR 

2004-08: Member, NIH Recombinant DNA Advisory Committee (RAC) 

2007-09: Co-Chair, CTSA Public-Private Partnership (PPP) Steering Committee, NIH 

2008-pres: Director, University of Rochester Developmental Center for AIDS Research 

2008-pres: Member, NIH OBA Working Group on Biosafety (advisory to the RAC) 

Honors and Awards:

1988-91: AIDS Research Scholar, American Foundation for AIDS Research. 

1995: Friend of Education Award, Rochester City School District, Rochester NY 

1996: Graduate Student Society (GSS) Faculty Teaching Award, URSMD 

1994-99: Research Career Development Awardee, NIAID, NIH 

2002-pres.: Dean’s Professor of Microbiology and Immunology, URSMD 

2002: Graduate Alumni Award for Excellence in Graduate Education, URSMD 

2003: University Dean’s Award for Meritorious Service in Ph.D. Defenses, UR 

2008: William H. Riker University Award for Excellence in Graduate Education, UR 

C. Selected Peer-reviewed Publications (Selected from 115 peer-reviewed publications) 

1. Renda MJ, Bradel-Tretheway B, Planelles V, Bambara RA, Dewhurst S. Inhibition of HIV type 1 replication 

using lentiviral-mediated delivery of mutant tRNA(Lys3)A58U. AIDS Res Hum Retroviruses. 

2004;20(12):1324-34.

2. Dou H, Ellison B, Bradley J, Kasiyanov A, Poluektova LY, Xiong H, Maggirwar S, Dewhurst S, Gelbard HA, 

Gendelman HE. Neuroprotective mechanisms of lithium in murine human immunodeficiency virus-1 

encephalitis. J Neurosci. 2005;25(37):8375-85.

3. Zeng L, Planelles V, Sui Z, Gartner S, Maggirwar SB, Dewhurst S, Ye L, Nerurkar VR, Yanagihara R, Lu Y. 

HIV-1-based defective lentiviral vectors efficiently transduce human monocytes-derived macrophages and 

suppress replication of wild-type HIV-1. J Gene Med. 2006;8(1):18-28. PMCID: 2825118. 

4. Duke CM, Maguire CA, Keefer MC, Federoff HJ, Bowers WJ, Dewhurst S. HSV-1 amplicon vectors elicit 

polyfunctional T cell responses to HIV-1 Env, and strongly boost responses to an adenovirus prime. 

Vaccine. 2007;25(42):7410-21. PMCID: 2092414. 

5. Santos K, Duke CM, Rodriguez-Colon SM, Dakwar A, Fan S, Keefer MC, Federoff HJ, Frelinger JG, 

Bowers WJ, Dewhurst S. Effect of promoter strength on protein expression and immunogenicity of an HSV1 amplicon vector encoding HIV-1 Gag. Vaccine. 2007;25(9):1634-46. PMCID: 1851942. 

6. Santos K, Sanfilippo CM, Narrow WC, Casey AE, Rodriguez-Colon SM, McDermott MP, Federoff HJ, 

Bowers WJ, Dewhurst S. Infectivity of herpes simplex virus type-1 (HSV-1) amplicon vectors in dendritic 

cells is determined by the helper virus strain used for packaging. J Virol Methods. 2007;145(1):37-46. 

PMCID: 2080840. 

7. Sapinoro R, Maguire CA, Burgess A, Dewhurst S. Enhanced transduction of dendritic cells by FcgammaRItargeted adenovirus vectors. J Gene Med. 2007;9(12):1033-45.

8. Sui Z, Sniderhan LF, Schifitto G, Phipps RP, Gelbard HA, Dewhurst S, Maggirwar SB. Functional synergy 

between CD40 ligand and HIV-1 Tat contributes to inflammation: implications in HIV type 1 dementia. J 

Immunol. 2007;178(5):3226-36.

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Biosketches Page 21
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

9. Chugh P, Bradel-Tretheway B, Monteiro-Filho CM, Planelles V, Maggirwar SB, Dewhurst S, Kim B. Akt 

inhibitors as an HIV-1 infected macrophage-specific anti-viral therapy. Retrovirology. 2008;5:11. PMCID: 

2265748.

10. Bimber BN, Chugh P, Giorgi EE, Kim B, Almudevar AL, Dewhurst S, O'Connor DH, Lee HY. Nef gene 

evolution from a single transmitted strain in acute SIV infection. Retrovirology. 2009;6:57. PMCID: 

2701916.

11. Schifitto G, Zhong J, Gill D, Peterson DR, Gaugh MD, Zhu T, Tivarus M, Cruttenden K, Maggirwar SB, 

Gendelman HE, Dewhurst S, Gelbard HA. Lithium therapy for human immunodeficiency virus type 1-

associated neurocognitive impairment. J Neurovirol. 2009;15(2):176-86. PMCID: 2747099. 

12. Volcy K, Dewhurst S. Proteasome inhibitors enhance bacteriophage lambda (lambda) mediated gene 

transfer in mammalian cells. Virology. 2009;384(1):77-87. PMCID: 2654414. 

13. Eggert D, Dash PK, Gorantla S, Dou H, Schifitto G, Maggirwar SB, Dewhurst S, Poluektova L, Gelbard HA, 

Gendelman HE. Neuroprotective activities of CEP-1347 in models of neuroAIDS. J Immunol. 

2010;184(2):746-56. PMCID: 2805820. 

14. Gorantla S, Makarov E, Finke-Dwyer J, Gebhart CL, Domm W, Dewhurst S, Gendelman HE, Poluektova 

LY. CD8+ cell depletion accelerates HIV-1 immunopathology in humanized mice. J Immunol. 

2010;184(12):7082-91.

15. Love TM, Thurston SW, Keefer MC, Dewhurst S, Lee HY. Mathematical modeling of ultradeep sequencing 

data reveals that acute CD8+ T-lymphocyte responses exert strong selective pressure in simian 

immunodeficiency virus-infected macaques but still fail to clear founder epitope sequences. J Virol. 

2010;84(11):5802-14. PMCID: 2876615. 

D. Research Support (Selected) 

Ongoing Research Support

R01 AI084111-01 Dewhurst & Rose (MPI) 09/01/2009 – 06/30/2011 

Transmission blocking vaccine for HIV-1 

Major goal: To develop a novel transmission-blocking vaccine for HIV-1, that targets the native form of the 

virus as present in semen 

Role: PI (Communicating PI) 

R21 AI087149-01A1 Dewhurst (PI) 03/01/2010 – 02/28/2012 

Use of Discontinuous Peptide Display for Generation of HIV Antigen Mimics 

Major goal: To develop a novel antigenic mimic for the broadly neutralizing antibody epitope recognized by the 

b12 monoclonal antibody, using a discontinuous peptide display approach 

Role: PI 

R01 DA026325-01 Dewhurst (PI) 09/30/2008 – 05/31/2013 

Cerebrovascular mechanisms in methamphetamine mediated exacerbation of neuroAIDS 

Major goal: To examine the effect of methamphetamine on cerebrovascular aspects of neuroAIDS. 

Role: PI 

 

 

 

Completed Research Support (Selected)

PO1 AI056356 Keefer (PI) 07/01/2003 – 12/31/2007 

Biosketches Page 22
 
HSV-1 Amplicon Vectors for HIV Vaccine Delivery 

(Project 1 Title: Immunogenicity of HSV amplicon vectors in small animals) 

Major goal: This HIVRAD program was intended to explore the development and use of helper-free HSV-1 

amplicon vectors as a HIV/AIDS vaccine delivery modality – leveraging the large gene insert capacity and 

mucosal tropism of HSV-1 

Role: PI, Project 1 

NIH R21 AI058791 Dewhurst (PI) 01/01/2005 – 08/31/2007 

Bacteriophage gene transfer for HIV vaccine development 

Major goal: To develop bacteriophage lambda as a gene transfer vector for mammalian cells, with a view to 

potential future use for HIV/AIDS vaccine delivery 

Role: PI 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Biosketches Page 23
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

BIOGRAPHICAL SKETCH

Provide the following information for the Senior/key personnel and other significant contributors in the order listed on Form Page 2.

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

NAME

Changyong Feng

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

POSITION TITLE

Assistant Professor of Biostatistics

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) MM/YY FIELD OF STUDY

University of Science and Technology of China BS 1991 Operations Research

University of Rochester, Rochester, NY MA 1999 Statistics

University of Rochester, Rochester, NY PhD 2002 Statistics

A. Personal Statement 

The goal of the proposed research is to develop a new microbicide for prevention of HIV transmission. My role 

on the project is to provide biostatistical support for experimental design and analysis of experimental data. I 

received my PhD in Statistics from the University of Rochester in 2002. From 2002 to 2003 I was an Assistant 

Professor of Biostatistics in the Department of Preventive Medicine and Kansas Cancer Institute at the 

University of Kansas Medical Center. I have been an Assistant Professor of Biostatistics in the University of 

Rochester Medical Center since 2006. My research interests include multivariate survival analysis, empirical 

processes theory, longitudinal data analysis and statistical methods in epidemiology and clinical trials. I have a 

pre-existing collaboration with the PI, Dr. Dewhurst (supported by two current NIH awards), and considerable 

experience with the analysis of infectious disease-related datasets, as reflected by numerous coauthored 

publications in this and related areas. 

B. Positions and Honors 

Professional Experience 

08/2002-08/2003 Assistant Professor, Department of Preventive Medicine and Public Health, University 

of Kansas Medical Center 

09/2003-Present Biostatistician, Eastman Dental Center, University of Rochester Medical Center

09/2003-08/2006 Research Assistant Professor, Department of Biostatistics and Computational 

Biology, University of Rochester Medical Center

08/2006-Present Assistant Professor, Department of Biostatistics and Computational Biology, 

University of Rochester Medical Center

Honors

2002 International Biometric Society (ENAR) Student Award

C. Selected Peer-reviewed Publications 

1. Vacca Smith, A. M., Scott-Anne, K. M., Whelehan, M.T., Berkowitz, R. J., Feng, C., and Bowen, W. H. 

(2007). Salivary Glucosyltransferase B as a Possible Marker for Caries Activity. Caries Research, 41, 

445-450. PMCID: PMC2820324 

2. Tu, X.M., Zhang, J., Kowalski, J., Shults, J., Feng, C., Sun, W. and Tan, W. (2007). Power analyses for 

longitudinal study designs with missing data. Statistics in Medicine, 26: 2958-1981.

Biographical Sketches for each listed Senior/Key Person 2 Page 24
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

3. Tu, X. M., Feng, C., Kowalski, J., Tang, W., Wang, H., Wan, C., and Ma, Y. (2007). Correlation Analysis 

for Longitudinal Data: Applications to HIV and Psychosocial. Research. Statistics in Medicine, 26: 

4116-413.

4. Anandarajah, A., Schwarz, E.M., Totterman, S., Monu, J. Feng, C., Shao, T., Haas-Smith, S.A., and 

Ritchlin, C. T. (2008). The effects of etanercept therapy on clinical outcome, osteoclast precursor 

frequency and bone marrow edema in patients with psoriatic arthritis. Ann Rheum Dis. 67:296-301.

5. Winterborn AN, Bates WA, Feng C, Wyatt JD. (2008) The efficacy of orally dosed ketamine and 

ketamine/medetomidine compared with intramuscular ketamine in rhesus macaques (Macaca mulatta) 

and the effects of dosing route on haematological stress markers. J Med Primatol. 37:116-27.

6. Ma, Y., Tang, W., Feng, C., and Tu, X. M. (2008). Inference of Kappas for Longitudinal Study Data: 

Applications to HIV Prevention and Sexual Abuse. Biometrics, 64: 781-789.

7. Chen, J., Li, K-H, and Feng, C. (2008). Bayesian computation and adaptive control for dynamic linear 

system. International Journal of Contemporary Mathematical Sciences, 3: 269-284.

8. Morrison-Beedy D, Carey MP, Feng C, Tu XM. (2008) Predicting sexual risk behaviors among 

adolescent and young women using a prospective diary method. Res Nurs Health. 31: 329-40. PMCID: 

PMC2562714 

9. Scosyrev E, Noyes K, Feng C, Messing E. (2009) Sex and racial differences in bladder cancer 

presentation and mortality in the US. Cancer 115:68-74.

10. Messing EM, Madeb R, Feng C, Stephenson L, Gilchrist KW, Young T, Gee J. (2009) Grade and Stage 

at Presentation Do Not Predict Mortality in Patients With Bladder Cancer Who Survive Their Disease. J 

Clin Oncol. 27:2443-9.

11. O'Connor AB, Zwemer FL, Hays DP, Feng C. (2009) Outcomes after intravenous opioids in 

emergency patients: a prospective cohort analysis. Acad Emerg Med. 16:477-87.

12.

13.

14.

15. Chiu YG, Shao T, Feng C, Mensah KA, Thullen M, Schwarz EM, Ritchlin CT. (2010) CD16 

(FcRgammaIII) as a potential marker of osteoclast precursors in psoriatic arthritis. Arthritis Res Ther. 

12:R14. PMCID: PMC2875642 

D. Research Support (Selected) 

Ongoing Research Support

R01 AI084111-01 Dewhurst & Rose (MPI) 09/01/2009 – 06/30/2011 

Transmission blocking vaccine for HIV-1 

Major goal: To develop a novel transmission-blocking vaccine for HIV-1, that targets the native form of the 

virus as present in semen 

Role: Biostatistician 

R21 AI087149-01A1 Dewhurst (PI) 03/01/2010 – 02/28/2012 

Use of Discontinuous Peptide Display for Generation of HIV Antigen Mimics 

Major goal: To develop a novel antigenic mimic for the broadly neutralizing antibody epitope recognized by the 

b12 monoclonal antibody, using a discontinuous peptide display approach 

Role: Biostatistician 

Biographical Sketches for each listed Senior/Key Person 2 Page 25
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

 

 

Biographical Sketches for each listed Senior/Key Person 2 Page 26
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

BIOGRAPHICAL SKETCH

Provide the following information for the key personnel and other significant contributors in the order listed on Form Page 2.

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

NAME

Yang, Jerry Curtis

eRA COMMONS USER NAME

POSITION TITLE

Associate Professor of Chemistry and Biochemistry

EDUCATION/TRAINING (Begin with baccalaureate or other initial professional education, such as nursing, and include postdoctoral training.)

INSTITUTION AND LOCATION DEGREE

(if applicable) YEAR(s) FIELD OF STUDY

University of California, Berkeley, CA B.S. 1995 Chemistry

Columbia University, New York, NY M.A. 1998 Chemistry

M. Phil. 2000 Chemistry

Ph.D. 2001 Chemistry

Harvard University, Cambridge, MA Postdoc 2001-2003 Chemistry

A. Personal Statement 

The goal of the proposed research is to examine the effect of amyloid-targeting synthetic molecules for 

attenuating the infection of sexually-transmitted microbes, including HIV. Specifically, this research will test the 

effect of monomeric and oligomeric analogs of benzothiazole anilines (BTAs)―a well known class of amyloidtargeting molecules―for their ability to abrogate SEVI-mediated transmission of HIV in cells. The proposed 

studies build from extensive results from in vitro experiments carried out in my laboratory, which seeks to use 

amyloid-targeting molecules to neutralize the cell-damaging effects of amyloid peptides and proteins in 

neurological disorders such as Alzheimer’s disease (AD). My group was the first to introduce the idea of 

generating molecular assemblies on aggregated amyloid peptides that could function as bio-resistive surface 

coatings on these disease-related materials (in analogy to generation of a “non-stick” coating on a surface).

We have already published several proof-of-principle studies that demonstrate that small molecules that bind 

with high density and uniformity to aggregated peptides associated with AD (called β-amyloid (Aβ) peptides) 

are capable of forming surface coatings that inhibit the interaction of engineered and natural, cellular proteins 

with these peptides. We have subsequently demonstrated in cell culture experiments that bio-resistive coatings 

on aggregated Aβ peptides can protect cultured neuroblastoma cells from the Aβ-induced injury and can 

neutralize the toxicity of aggregated Aβ in cells.  From a novel synthetic library of Aβ-targeting molecules, my 

lab has developed oligoethylene glycol derivatives of BTA as candidates that exhibit excellent protective 

properties against Aβ-induced cellular injury. We also showed that one member of this class of molecules 

(BTA-EG4) exhibited good in vivo tolerance and pharmacokinetic properties in wt mice. The goal of this 

proposal is to evaluate several members of this novel class of molecules (as well as other examples of 

amyloid-targeting molecules developed in my lab) for their capability to attenuate interactions between amyloid 

proteins and other biologics that may play an important role in sexually-transmitted microbial infection.  I have 

a broad background in organic and biophysical chemistry, biochemistry, and materials science, with specific 

expertise in amyloid and biomembrane research. My students and postdocs routinely synthesize structurally 

and functionally diverse organic molecules and small molecule libraries, develop biochemical and cellular 

screening assays, and develop biophysical techniques to study the structure and function of biomolecules and 

biomolecular aggregates in solution. The common goal of our research is the design, synthesis, and 

investigation of functional molecular assemblies for biomedical applications. To achieve our research goals, I 

have collaborated, and jointly secured funding and published papers, with biomedical researchers within UCSD 

and at other institutions across the country. I am, thus, aware of the importance of frequent communication 

with collaborators and of constructing a realistic research plan, timeline, and budget. The current application 

will evaluate novel synthetic molecules from my lab in cellular and in vivo studies examining SEVI-mediated 

Biographical Sketches for each listed Senior/Key Person 3 Page 27
 
transmission of HIV. Professor Stephen Dewhurst has excellent qualifications and expertise to lead the 

proposed research. I have been selected by the PI (Professor Dewhurst) due to my expertise in the synthesis 

and the chemical and biochemical activity of the molecules to be evaluated in the proposed research. I will 

provide additional expertise, effort, and any other resources available to me to achieve the specific aims of this 

very promising and exciting grant application. 

B. Positions and Honors.

Positions and Employment

1993-1995 Research in Nuclear Science, LBL Nuclear Science Division, Berkeley, CA 

1994-1995 Consulting in Nuclear Chemistry, LBL Division of Ion Beam Technology, Berkeley, CA 

2001-2003 Postdoctoral Research in Biochemistry, Bionanotechnology, and Materials Science, 

Harvard University, Department of Chemistry and Chemical Biology, Cambridge, MA 

2003-2009 Assistant Professor of Chemistry and Biochemistry, University of California, San Diego, 

La Jolla, CA 

2009- Associate Professor of Chemistry and Biochemistry, University of California, San Diego, 

La Jolla, CA 

Professional Memberships

1997- Member, the American Chemical Society 

2001- Member, the American Physical Society 

2001- Member, the Biophysical Society 

2007- Member, the American Association for Cancer Research 

2007- UCSD CFAR Affiliate 

Honors and Awards

1995 B.S. with Honors, U.C. Berkeley 

1995-1996 Outstanding Teaching Award, U.C. Berkeley 

1998 Sylvia and Victor G. Fourman Graduate Fellowship 

1998 Jack Miller Award for excellence in teaching, Columbia University 

1999 Bristol-Myers Squibb Graduate Fellowship 

1999-2001 EPA NCERQA STAR Graduate Fellowship 

2001 Hammett Award for most outstanding graduate research, Columbia University 

2001 Ph.D. with Distinction, Columbia University 

2004 Thieme Journal Award, Synthesis and Synlett

2004 Faculty Career Development Award, UCSD 

2006 Hellman Fellow 

2006 Wallace H. Coulter Foundation Translational Research Partnership Award 

2007 American Cancer Society Research Scholar 

2008 Alzheimer’s Association New Investigator Award 

2009 National Science Foundation CAREER Award 

C. Selected Peer-reviewed publications (Selected from 38 total publications)

Five most relevant to the current application

1. P. Inbar and J. Yang* Inhibiting Protein-Amyloid Interactions Using Small Molecules: A Surface Chemistry 

Approach Bioorg. Med. Chem. Lett., 2006, 16, 1076-1079.

2. P. Inbar, C.Q. Li, S.A. Takayama, M.R. Bautista, and J. Yang* Oligo(ethylene glycol) Derivatives of 

Thioflavin T as Inhibitors of Protein-Amyloid Interactions ChemBioChem, 2006, 17, 1563-1566

3. P. Inbar, M.R. Bautista, S.A. Takayama, and J. Yang* A Simple Assay to Screen for Molecules that 

Associate with Alzheimer’s-Related β-Amyloid Fibrils Anal. Chem., 2008, 80, 3502-3506

4. J. Sutharsan, M. Dakanali, C.C. Capule, M.A. Haidekker, J. Yang,* and E. Theodorakis* Rational Design of 

Amyloid Binding Agents Based on the Molecular Rotor Motif ChemMedChem 2010, 5, 56-60.

5. R. Capone, P. Prangkio, A. Sauer, M.R. Bautista, R.S. Turner, J. Yang,* and M. Mayer* Amyloid-β Ion 

Channels in Artificial Lipid Bilayers and Neuronal Cells: Resolving a Controversy Neurotoxicity Res. 2009, 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Biographical Sketches for each listed Senior/Key Person 3 Page 28
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

16, 1-13.

Additional publications within the last 3 years

1. S. Blake, T. Mayer, M. Mayer, and J. Yang* Monitoring Chemical Reactions Using Ion-Channel-Forming 

Peptides ChemBioChem, 2006, 7, 433-435.

2. S.D. Kong, A. Luong, G. Manorek, S.B. Howell, and J. Yang* Acidic Hydrolysis of NEthoxybenzylimidazoles (NEBIs): Potential Applications as pH-Sensitive Linkers for Drug Delivery Bioconj.

Chem., 2007, 18, 293-296

3. R. Capone, S. Blake, M.R. Restrepo, J. Yang,* and M. Mayer* Designing Nanosensors Based on Charged 

Derivatives of gramicidin A, J. Am. Chem. Soc., 2007, 129, 9737-9745.

4. M. Mayer, V. Semetey, I. Gitlin, J. Yang, and G.M. Whitesides* Quantifying Protein-Ligand Interactions 

Using Ion Channel-Forming Peptides J. Am. Chem. Soc., 2008, 130, 1453-1465.

5. S. Blake, R. Capone, M. Mayer,* and J. Yang* Chemically Reactive Derivatives of Gramicidin A for 

Developing Ion Channel-Based Nanosensors Bioconj. Chem. 2008, 19, 1614-1624. 

6. B. Bilgiçer, S.W. Thomas, B.F. Shaw, G.K. Kaufman, V.M. Krishnamurthy, L.A. Estroff, J. Yang, and G.M. 

Whitesides* A Non-Chromatographic Method for the Purification of a Bivalently Active Monoclonal IgG 

Antibody from Biological Fluids J. Am. Chem. Soc. 2009, 131, 9361-9367. 

7. M.X. Macrae, S. Blake, M. Mayer,* and J. Yang* Reactive Derivatives of Gramicidin Enable Light- and Ion 

Modulated Ion Channels Proc. SPIE 2009, 7397, 739709. 

8. S. Majd, E.C. Yusko, A.D. MacBriar, J. Yang,* and M. Mayer* Gramicidin Pores Report the Activity of 

Membrane-Active Enzymes J. Am Chem. Soc. 2009, 131, 16119-16126.

9. M.X. Macrae, S. Blake, X. Jiang, R. Capone, D.J. Estes, M. Mayer,* and J. Yang* A Semi-Synthetic Ion 

Channel Platform for Detection of Phosphatase and Protease Activity ACS Nano 2009, 3, 3567-3580. 

10. M.X. Macrae, S. Blake, M. Mayer,* and J. Yang* Nanoscale Ionic Diodes with Tunable and Switchable 

Rectifying Behavior J. Am. Chem. Soc. 2010, 132, 1766-1777.

D. Research Support 

Ongoing Research Support

 

 

 

Recently Completed Research Support (Selected)

Alzheimer’s Disease Research Center (NIH 3P50 AG005131) Glasko (PI) 04/01/08-03/31/09 

“Exploring methods to chemically degrade aggregated Aβ peptides” 

Role: PI of pilot grant 

Center for AIDS Research (NIH 5P30 AI36214) Richman (PI) 0/01/07-12/31/07 

“Development of New Methods for the Ultrasensitive Quantification of HIV-1 Protease Activity” 

Role: PI of developmental grant 

Biographical Sketches for each listed Senior/Key Person 3 Page 29
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

BIOGRAPHICAL SKETCH

Provide the following information for the key personnel and other significant contributors in the order listed on Form Page 2.

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

NAME

eRA COMMONS USER NAME

POSITION TITLE

Senior Scientist

EDUCATION/TRAINING (Begin with baccalaureate or other initial professional education, such as nursing, and include postdoctoral training.)

INSTITUTION AND LOCATION DEGREE

(if applicable) YEAR(s) FIELD OF STUDY

Ludwig-Maximilians-Universität, Munich, Germany D.V.M 1984-1990 Veterinary Medicine

Ludwig-Maximilians-Universität, Munich, Germany Ph.D. 1989-1992 Virology

Hood College, Frederick, Maryland Certificate 2003-2008

Regulatory Compliance of 

Biologics and 

Pharmaceutics 

Regulatory Affairs Board Certification RAC 2008

Regulatory Affairs 

Professional Society 

(RAPS)

A. Personal Statement 

My role on this application is two-fold: (1) During the R21 phase, I will serve as a consultant and advisor to 

the research program, to review annual progress reports, participate in data evaluations, and to provide 

technical assistance and guidance on assessments of candidate microbicides; (2) During the R33 phase, I will 

serve as a collaborator and coinvestigator on this project and as PI of the subaward. 

As PI/Co-PI on many contracts and grants involving microbicides, my research interests have focused on 

HIV microbicide development for many years. I have expertise in pre-clinical microbicide development and 

safety and efficacy testing of novel microbicides. I also have extensive experience on studies using 

nonhuman primate (NHP) models for HIV/AIDS, including the simian (human) immunodeficiency virus (SIVSHIV)/macaque model. I received my Ph.D. in 1992 for studies on FeLV and FIV, and – in addition to my 

experience in microbicide research – have expertise in HIV vaccine development, analysis of immune 

responses in SIV-infected macaques, and evaluation of novel candidate antiviral drugs. Thus, the present 

proposal is well matched to my expertise and interests. 

B. Positions and Honors.

Positions and Employment

 

 

 

 

 

Awards

2002 National Institutes of Health Fellows Award for Research Excellence 

C. Selected Peer-reviewed publications (Selected from 52 total publications)

Biographical Sketches for each listed Senior/Key Person 4 Page 30
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

 

Biographical Sketches for each listed Senior/Key Person 4 Page 31
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

D. Research Support 

Ongoing Research Support (Selected)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Biographical Sketches for each listed Senior/Key Person 4 Page 32
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

BIOGRAPHICAL SKETCH

Provide the following information for the key personnel and other significant contributors in the order listed on Form Page 2.

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

NAME

Dezzutti, Charlene Susan

eRA COMMONS USER NAME

POSITION TITLE

Associate Professor – Department of Obstetrics, 

Gynecology, and Reproductive Sciences, School of 

Medicine, University of Pittsburgh

EDUCATION/TRAINING (Begin with baccalaureate or other initial professional education, such as nursing, and include postdoctoral training.)

INSTITUTION AND LOCATION DEGREE

(if applicable) YEAR(s) FIELD OF STUDY

University of Pittsburgh, Pittsburgh PA B.Sc. 1986 Microbiol./Biochem.

The Ohio State University, Columbus, OH M.Sc. 1987 Veterinary Pathology

The Ohio State University, Columbus, OH Ph.D. 1989 Viral Immunology

The Ohio State University, Columbus, OH Postdoctoral 1991-1992 Molecular Virology

A. Personal Statement 

My role on this application is to serve as a consultant and advisor to the research program, to review 

annual progress reports, participate in data evaluations, and to provide technical assistance and guidance on 

assessments of the potential toxicity of candidate microbicides, using the cervical explant models that we 

have developed (including MTT, histology assessments of toxicity and assessment of cytokine release).

I am well qualified for this role because I am the principal investigator of the Network Laboratory for the 

Microbicide Trials Network (MTN), an HIV/AIDS clinical trials network established by the National Institute of 

Allergy and Infectious Diseases (NIAID). In this capacity, I conduct side-by-side comparative assessments of 

different microbicide candidates that will be used in clinical trials. Of relevance to this proposal are the 

following research questions that my laboratory is presently studying: 

1) The mechanism(s) of transmission. We have developed cervical and colorectal tissue explant 

systems to study HIV transmission ex vivo. Using these systems we are attempting to determine the 

first HIV infected cells. 

2) The factors that influence transmission. We have an active program studying the interaction(s) 

between sexually transmitted infections and HIV in acute in vitro model systems as well as our tissue 

explant systems. 

3) The ways to prevent transmission of HIV. For prevention of sexually acquired HIV, we are evaluating 

microbicides that may be utilized in human clinical trials. We are examining innate immune factors 

found in genital secretions that could be augmented or exploited for microbicide development. We 

have also developed in vitro and ex vivo model systems that can be used to evaluate the potential 

toxicity of candidate microbicides. 

The objectives of this proposal therefore align closely with the interests of my research. 

B. Positions and Honors.

Positions and Employment

1989-1990 Supervisor, Viral Oncology/Immunopathology Laboratories, Department of Veterinary 

Pathobiology, Ohio State University, Columbus, OH 

1992-1993 Staff Fellow, Retrovirus Diseases Branch, Centers for Disease Control and Prevention, Atlanta, 

GA

1993-2005 Research Microbiologist, Laboratory Branch, Centers for Disease Control and Prevention, 

Atlanta, GA 

2001-2005 CDC, NCID, Science Education Committee - Distinguished Lecturer’s Series Chairperson 

2005-date Associate Professor, Department of Obstetrics, Gynecology, and Reproductive Sciences, 

School of Medicine and Department of Infectious Diseases and Microbiology, Graduate School 

of Public Health, University of Pittsburgh, Pittsburgh PA 

2006-date Associate Investigator, Magee-Womens Research Institute, Pittsburgh, PA 

Biographical Sketches for each listed Senior/Key Person 5 Page 33
 
Other Experience and Professional Memberships

1989 – Date American Association for the Advancement of Science 

1989 – Date American Society for Microbiologists 

2000 – Date Society for Mucosal Immunology 

2008 – Date Infectious Diseases in Obstetrics and Gynecology (Editorial board) 

1998/2002 Emory CFAR grant review committee 

2004 NIH, DAIDS, grant reviewer (RFP NIH-NIAID-DAIDS-04-04) December 2004 

2007 NIH, NIAID, special emphasis panel (ZAI1-RB-A-J1) for RFA-IA-07-009

Honors

1985 Beta Beta Beta Biological Honors Society (Alpha Gamma Chapter) 

1997 NCID Branch Recognition Award 

C. Selected Peer-reviewed publications (Selected from 52 total publications)

1. Dezzutti, C.S., Guenthner, P.C., Cummins, J.E., Cabrera, T., Marshall, J.H., Dillberger, A., and Lal, R.B. 

Cervical and prostate primary epithelial cells are not productively infected with HIV-1, but sequester the 

virus. J. Infect. Dis. 183:1204-1213, 2001. PMID: 1126220 

2. Zunt, J.R., Dezzutti, C.S., Montano, S.M., Thomas, K., Alarcón, J.O.V., Quijano, E., Courtois, B., 

Sánchez, J., Campos, P., Gotuzzo, E., Guenthner, P.C., Lal, R.B., and Holmes, K.K. Cervical shedding of 

human T-cell lymphotropic virus type-I is associated with cervicitis. J. Infect. Dis. 186:1669-1672, 2002. 

PMID: 12447745 

3. Cummins, Jr., J.E., Villanueva, J.M., Evans-Strickfaden, T., Abner, S.A., Shekou, S., Bush, T.J., Green, 

T.A., Lennox, J.L., Wright, T., Folks, T.M., Hart, C.E., and Dezzutti, C.S. Detection of infectious HIV-1 in 

female genital secretions using a short-term culture method. J. Clin. Microbiol.41:4081-4088, 2003. PMID: 

12958229

4. Dezzutti, C.S., James, V.N., Ramos, A., Sullivan, S.T., Siddig, A., Bush, T.A., Grohskopf, L.A., Paxton, L., 

Subbarao, S., Hart, C.E. In Vitro Comparison of Topical Microbicides for the Prevention of HIV 

Transmission. Antimicrob. Agents Chemother. 48:3834-3844, 2004. PMID: 15388443 

5. Guenthner, P.C., Secor, W.E., and Dezzutti, C.S. Trichomonas vaginalis-induced epithelial monolayer 

destruction and HIV-1 replication: implications for the sexual transmission of HIV-1. Infect. Immun. 

73:4155-4160, 2005. PMID: 15972505 

6. Abner, S.R., Guenthner, P.C., Guarner, J., Hancock, K.A., Cummins, Jr., J.E., Fink, A., Gilmore, G.T., 

Staley, C., Ward, A., Ali, O., Binderow, S., Cohen, S., Mayer, R., Grohskopf, L.A., Paxton, L., Hart, C.E., 

and Dezzutti, C.S. A human colorectal explant model to evaluate topical microbicides for the prevention of 

HIV infection. J. Infect. Dis. 192:1545-1556, 2005. PMID: 16206069 

7. Cummins, Jr., J.E, Christensen, L.L., Switzer, W.M., Boneva, R.S., Heneine, W., Folks, T.M., Chapman, 

L.E., Sandstrom, P.A., Dezzutti, C.S. Mucosal Antibody Responses in Humans Occupationally Infected 

with SFVcpz. J. Virol. 79:13186-13189, 2005. PMID: 16189020 

8. Bower, W., Culver, D.H., Castor, D., Wu, Y., James, V.N., Hammer, S., Kuhnert, W.L., Williams, I.T., Bell, 

B.P., Vlahov, D., and Dezzutti, C.S. Suppression of HIV RNA titers with HAART results in elevated HCV 

RNA titers in HIV/HCV coinfected patients. J. AIDS 42:293-297, 2006. PMID: 16763522 

9. Cummins, Jr., J.E., Christensen, L., Lennox, J.L., Bush, T.J., Wu, Z., Malamud, D., Evans-Strickfaden, T., 

Siddig, A., Caliendo, A.M., Hart, C.E., and Dezzutti, C.S. Mucosal innate immune factors in the female 

genital tract are associated with vaginal HIV-1 shedding independent of plasma viral load. AIDS Res. 

Hum. Retroviruses 22:788-795, 2006. PMID: 16910835 

10. Cummins, Jr., J.E., Denniston, M., Christensen, L.L., Mayer, K., Pickard, R., Novak, R.M., Graham, P., 

Gurwith, M., Orelind, K., Ackers, M.L., and Dezzutti, C.S. Mucosal Innate Immune Factors in Secretions 

from High Risk Individuals Immunized with a Bivalent gp120 Vaccine. AIDS Res. Hum. Retroviruses 

23:748-754, 2007. PMID: 17531002 

11. Cummins, Jr., J.E., Guarner, J., Flowers, L., Guenthner, P.C., Bartlett, J., Morken, T., Grohskopf, L.A., 

Paxton, L., and Dezzutti, C.S. Preclinical Testing of Candidate Topical Microbicides for Anti-HIV-1 Activity 

and Tissue Toxicity in a Human Cervical Explant Culture. Antimicrob. Agents Chemother. 51:1770-1779, 

2007. PMID: 17353237 

12. Roth, S., Monsour, M., Dowland, A., Guenthner, P.C., Hancock, K., Ou, C.-Y., and Dezzutti, C.S. Effect of 

topical microbicides on infectious HIV-1 binding to epithelial cells. Antimicrob. Agents Chemother. 51:748-

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Biographical Sketches for each listed Senior/Key Person 5 Page 34
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

754, 2007. PMID: 17404008 

13. Ham, A., Cost, M., Sassi, A., Dezzutti, C.S., and Rohan, L.C. Targeted Delivery of PSC-RANTES for HIV1 Prevention using Biodegradable Nanoparticles. Pharmaceutical Res. 26:502-511, 2009. PMID: 

19002569

14. Richardson-Harman, N., Lackman-Smith, C., Fletcher, P.S., Anton, P.A., Bremer, J.W., Dezzutti, C.S., 

Elliot, J., Grivel, J.C., Guenthner, P.C., Gupta, P., Jones, M., Lurain, N.C., Margolis, L.B., Mohan, S., 

Ratner, D., Reichelderfer, P., Roberts, P., Shattock, R.J., and Cummins Jr. J.E. Multi-site comparison of 

anti-HIV microbicide activity in explant assays using a novel assay. J. Clin. Microbiol. 47:3530-9, 2009. 

PMID: 19726602 

15. Rohan, L.C., Moncla, B.J. Kunjara Na Ayudhya, P.K., Cost, M., Huang, Y., Fang, G., Billitto, N., Lynam, 

JD, Pryke, K., Graebing, P., Hopkins, N., Rooney, J.F., Friend, D., Dezzutti, C.S. In vitro and Ex vivo 

Testing of Tenofovir shows it is Effective as an HIV-1 Microbicide. PLoS ONE 5(2): e9310. PMID: 

20174579

D. Research Support 

Ongoing Research Support

5 U01 AI068633-02 (Hillier, S.) 6/29/06 – 5/31/13 

NIH/NIAID 

Microbicide Trials Network 

Major goal: The mission of the MTN is to reduce the sexual transmission of HIV through the development and 

evaluation of products, which reduce the transmission of HIV when applied topically to mucosal surfaces. The 

goal is to conduct scientifically rigorous and ethically sound clinical trials of microbicide safety and 

effectiveness, which will support licensure of these products. 

Role: Network Laboratory Principle Investigator 

_______________________________________________________________________________

U19 AI077289-01 (Buckheit, R.) 03/08 – 02/13 

NIH/NIAID 

Long acting acceptable microbicides: novel delivery, activity and pharmacodynamic 

Major goals: Our role is to determine the safety and efficacy of new microbicide products/formulations using 

our explant culture system. We have contracted with ImQuest Biosciences, Inc. to perform this work. 

Role: Core D Principle Investigator 

_______________________________________________________________________________

RFA-AI-08-006 (McGowan, I.) 7/1/09 – 6/30/14 

NIH/NIAID 

Combination HIV Anteviral Rectal Microbicide Program 

Major goal: The specific aims of this project are: 1) to determine the potential protective effect of UC781 to 

prevent rectal HIV-1 infection; 2) to determine the efficacy of topically administered 9-R-2-

phosphonylmethoxypropyl-adenine (PMPA) to prevent rectal HIV-1 transmission; and 3) to determine the 

protective effect of a combination of PMPA and UC781 to prevent rectal HIV-1 transmission. 

Role: Project 1 Principle Investigator 

_______________________________________________________________________________

 

_______________________________________________________________________________

Biographical Sketches for each listed Senior/Key Person 5 Page 35
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

I 

 

 

Completed Research Support

3 U19 AI060614-03S1 (Anton, P.) 9/25/06 – 7/31/09 

NIH/NIAID 

Compartment-Specific Topical Microbicide Formulations 

Major goal: The subcontract site will be responsible for directing the pre-formulation, formulation development, 

and formulation assessment components of the project for rectal formulation of UC781. 

Role: Investigator 

_______________________________________________________________________________

 

 

Biographical Sketches for each listed Senior/Key Person 5 Page 36
 
OMB Number: 4040-0001 

Expiration Date: 06/30/2011

RESEARCH & RELATED BUDGET - SECTION A & B, BUDGET PERIOD 1

* ORGANIZATIONAL DUNS:

* Budget Type:

Enter name of Organization:

* Start Date: * End Date:

A. Senior/Key Person

Cal. Acad. Sum. * Requested * Fringe 

Prefix * First Name Middle Name * Last Name Suffix * Project Role Base Salary ($) Months Months Months Salary ($) Benefits ($) * Funds Requested ($)

1.

2.

3.

4.

5.

6.

7.

8.

9. Total Funds requested for all Senior Key Persons in the attached file

Total Senior/Key Person

Additional Senior Key Persons:

B. Other Personnel

* Number of Cal. Acad. Sum. * Requested * Fringe 

Personnel Months Months Months Salary ($) Benefits ($) * Funds Requested ($) * Project Role

Post Doctoral Associates

Graduate Students

Undergraduate Students

Secretarial/Clerical

Total Number Other Personnel Total Other Personnel

Total Salary, Wages and Fringe Benefits (A+B)

RESEARCH & RELATED Budget {A-B} (Funds Requested)

Project Subaward/Consortium

1

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Stephen Dewhurst Ph.D. PD/PI 1.20

Changyong Feng PhD Faculty 0.60

12.00

University of Rochester

1

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Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Detailed Budget - Year 1 Page 37
 
RESEARCH & RELATED BUDGET - SECTION C, D, & E, BUDGET PERIOD 1

* ORGANIZATIONAL DUNS:

* Budget Type:

Enter name of Organization:

* Start Date: * End Date:

C. Equipment Description

List items and dollar amount for each item exceeding $5,000

Equipment item * Funds Requested ($)

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11. Total funds requested for all equipment listed in the attached file

Total Equipment

Additional Equipment:

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)

Project Subaward/Consortium

03/01/2011 02/29/2012

University of Rochester

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Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Detailed Budget - Year 1 Page 38
 
F. Other Direct Costs

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

8.

9.

10.

Total Other Direct Costs

G. Direct Costs

Total Direct Costs (A thru F)

H. Indirect Costs Indirect Cost 

Rate (%)

Indirect Cost 

Base ($)

1.

2.

3.

4.

Cognizant Federal Agency

I. Total Direct and Indirect Costs

Total Direct and Indirect Institutional Costs (G + H)

J. Fee

K. * Budget Justification

Indirect Cost Type

Funds Requested ($)

Funds Requested ($)

* Funds Requested ($)

Funds Requested ($)

Funds Requested ($)

RESEARCH & RELATED Budget {F-K} (Funds Requested)

Total Indirect Costs

(Only attach one file.)

(Agency Name, POC Name, and POC Phone Number)

DHHS, Robert Aaronson, 

1240-FINALBUDG-JUST-ROCHESTER.pdf

MTDC 53.00

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* ORGANIZATIONAL DUNS:

* Budget Type:

Enter name of Organization:

* Start Date: * End Date:

Project Subaward/Consortium

03/01/2011 02/29/2012

University of Rochester

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Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Detailed Budget - Year 1 Page 39
 
OMB Number: 4040-0001 

Expiration Date: 06/30/2011

RESEARCH & RELATED BUDGET - SECTION A & B, BUDGET PERIOD 2

* ORGANIZATIONAL DUNS:

* Budget Type:

Enter name of Organization:

* Start Date: * End Date:

A. Senior/Key Person

Cal. Acad. Sum. * Requested * Fringe 

Prefix * First Name Middle Name * Last Name Suffix * Project Role Base Salary ($) Months Months Months Salary ($) Benefits ($) * Funds Requested ($)

1.

2.

3.

4.

5.

6.

7.

8.

9. Total Funds requested for all Senior Key Persons in the attached file

Total Senior/Key Person

Additional Senior Key Persons:

B. Other Personnel

* Number of Cal. Acad. Sum. * Requested * Fringe 

Personnel Months Months Months Salary ($) Benefits ($) * Funds Requested ($) * Project Role

Post Doctoral Associates

Graduate Students

Undergraduate Students

Secretarial/Clerical

Total Number Other Personnel Total Other Personnel

Total Salary, Wages and Fringe Benefits (A+B)

RESEARCH & RELATED Budget {A-B} (Funds Requested)

Project Subaward/Consortium

2

Delete Entry

Stephen Dewhurst Ph.D. PD/PI 1.20

Changyong Feng PhD Faculty 0.60

12.00

1 Technician 6.00

University of Rochester

1

03/01/2012 02/28/2013 Budget Period 

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Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Detailed Budget - Year 2 Page 40
 
RESEARCH & RELATED BUDGET - SECTION C, D, & E, BUDGET PERIOD 2

* ORGANIZATIONAL DUNS:

* Budget Type:

Enter name of Organization:

* Start Date: * End Date:

C. Equipment Description

List items and dollar amount for each item exceeding $5,000

Equipment item * Funds Requested ($)

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11. Total funds requested for all equipment listed in the attached file

Total Equipment

Additional Equipment:

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)

Project Subaward/Consortium

03/01/2012 02/28/2013

University of Rochester

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Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Detailed Budget - Year 2 Page 41
 
F. Other Direct Costs

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

8.

9.

10.

Total Other Direct Costs

G. Direct Costs

Total Direct Costs (A thru F)

H. Indirect Costs Indirect Cost 

Rate (%)

Indirect Cost 

Base ($)

1.

2.

3.

4.

Cognizant Federal Agency

I. Total Direct and Indirect Costs

Total Direct and Indirect Institutional Costs (G + H)

J. Fee

K. * Budget Justification

Indirect Cost Type

Funds Requested ($)

Funds Requested ($)

* Funds Requested ($)

Funds Requested ($)

Funds Requested ($)

RESEARCH & RELATED Budget {F-K} (Funds Requested)

Total Indirect Costs

(Only attach one file.)

(Agency Name, POC Name, and POC Phone Number)

DHHS, Robert Aaronson, 212-264-2069

1240-FINALBUDG-JUST-ROCHESTER.pdf

5

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RESEARCH & RELATED BUDGET - SECTION F-K, BUDGET PERIOD 2

* ORGANIZATIONAL DUNS:

* Budget Type:

Enter name of Organization:

* Start Date: * End Date:

Project Subaward/Consortium

03/01/2012 02/28/2013

University of Rochester

Budget Period 2

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Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Detailed Budget - Year 2 Page 42
 
OMB Number: 4040-0001 

Expiration Date: 06/30/2011

RESEARCH & RELATED BUDGET - SECTION A & B, BUDGET PERIOD 3

* ORGANIZATIONAL DUNS:

* Budget Type:

Enter name of Organization:

* Start Date: * End Date:

A. Senior/Key Person

Cal. Acad. Sum. * Requested * Fringe 

Prefix * First Name Middle Name * Last Name Suffix * Project Role Base Salary ($) Months Months Months Salary ($) Benefits ($) * Funds Requested ($)

1.

2.

3.

4.

5.

6.

7.

8.

9. Total Funds requested for all Senior Key Persons in the attached file

Total Senior/Key Person

Additional Senior Key Persons:

B. Other Personnel

* Number of Cal. Acad. Sum. * Requested * Fringe 

Personnel Months Months Months Salary ($) Benefits ($) * Funds Requested ($) * Project Role

Post Doctoral Associates

Graduate Students

Undergraduate Students

Secretarial/Clerical

Total Number Other Personnel Total Other Personnel

Total Salary, Wages and Fringe Benefits (A+B)

RESEARCH & RELATED Budget {A-B} (Funds Requested)

Project Subaward/Consortium

2

Delete Entry

Stephen Dewhurst Ph.D. PD/PI 1.80

Changyong Feng PhD Faculty 0.60

12.00

1 Technician 12.00

University of Rochester

1

03/01/2013 02/28/2014 Budget Period 

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Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Detailed Budget - Year 3 Page 43
 
RESEARCH & RELATED BUDGET - SECTION C, D, & E, BUDGET PERIOD 3

* ORGANIZATIONAL DUNS:

* Budget Type:

Enter name of Organization:

* Start Date: * End Date:

C. Equipment Description

List items and dollar amount for each item exceeding $5,000

Equipment item * Funds Requested ($)

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11. Total funds requested for all equipment listed in the attached file

Total Equipment

Additional Equipment:

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)

Project Subaward/Consortium

03/01/2013 02/28/2014

University of Rochester

Add Attachment Delete Attachment View Attachment

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Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Detailed Budget - Year 3 Page 44
 
F. Other Direct Costs

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

8.

9.

10.

Total Other Direct Costs

G. Direct Costs

Total Direct Costs (A thru F)

H. Indirect Costs Indirect Cost 

Rate (%)

Indirect Cost 

Base ($)

1.

2.

3.

4.

Cognizant Federal Agency

I. Total Direct and Indirect Costs

Total Direct and Indirect Institutional Costs (G + H)

J. Fee

K. * Budget Justification

Indirect Cost Type

Funds Requested ($)

Funds Requested ($)

* Funds Requested ($)

Funds Requested ($)

Funds Requested ($)

RESEARCH & RELATED Budget {F-K} (Funds Requested)

Total Indirect Costs

(Only attach one file.)

(Agency Name, POC Name, and POC Phone Number)

DHHS, Robert Aaronson, 

1240-FINALBUDG-JUST-ROCHESTER.pdf

MTDC 54.50

RESEARCH & RELATED BUDGET - SECTION F-K, BUDGET PERIOD 3

* ORGANIZATIONAL DUNS:

* Budget Type:

Enter name of Organization:

* Start Date: * End Date:

Project Subaward/Consortium

03/01/2013 02/28/2014

University of Rochester

Budget Period 3

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Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Detailed Budget - Year 3 Page 45
 
OMB Number: 4040-0001 

Expiration Date: 06/30/2011

RESEARCH & RELATED BUDGET - SECTION A & B, BUDGET PERIOD 4

* ORGANIZATIONAL DUNS:

* Budget Type:

Enter name of Organization:

* Start Date: * End Date:

A. Senior/Key Person

Cal. Acad. Sum. * Requested * Fringe 

Prefix * First Name Middle Name * Last Name Suffix * Project Role Base Salary ($) Months Months Months Salary ($) Benefits ($) * Funds Requested ($)

1.

2.

3.

4.

5.

6.

7.

8.

9. Total Funds requested for all Senior Key Persons in the attached file

Total Senior/Key Person

Additional Senior Key Persons:

B. Other Personnel

* Number of Cal. Acad. Sum. * Requested * Fringe 

Personnel Months Months Months Salary ($) Benefits ($) * Funds Requested ($) * Project Role

Post Doctoral Associates

Graduate Students

Undergraduate Students

Secretarial/Clerical

Total Number Other Personnel Total Other Personnel

Total Salary, Wages and Fringe Benefits (A+B)

RESEARCH & RELATED Budget {A-B} (Funds Requested)

Project Subaward/Consortium

2

Delete Entry

Stephen Dewhurst Ph.D. PD/PI 1.80

Changyong Feng PhD Faculty 0.60

12.00

1 Technician 12.00

University of Rochester

1

03/01/2014 02/28/2015 Budget Period 

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Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Detailed Budget - Year 4 Page 46
 
RESEARCH & RELATED BUDGET - SECTION C, D, & E, BUDGET PERIOD 4

* ORGANIZATIONAL DUNS:

* Budget Type:

Enter name of Organization:

* Start Date: * End Date:

C. Equipment Description

List items and dollar amount for each item exceeding $5,000

Equipment item * Funds Requested ($)

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11. Total funds requested for all equipment listed in the attached file

Total Equipment

Additional Equipment:

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)

Project Subaward/Consortium

03/01/2014 02/28/2015

University of Rochester

Add Attachment Delete Attachment View Attachment

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Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Detailed Budget - Year 4 Page 47
 
F. Other Direct Costs

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

8.

9.

10.

Total Other Direct Costs

G. Direct Costs

Total Direct Costs (A thru F)

H. Indirect Costs Indirect Cost 

Rate (%)

Indirect Cost 

Base ($)

1.

2.

3.

4.

Cognizant Federal Agency

I. Total Direct and Indirect Costs

Total Direct and Indirect Institutional Costs (G + H)

J. Fee

K. * Budget Justification

Indirect Cost Type

Funds Requested ($)

Funds Requested ($)

* Funds Requested ($)

Funds Requested ($)

Funds Requested ($)

RESEARCH & RELATED Budget {F-K} (Funds Requested)

Total Indirect Costs

(Only attach one file.)

(Agency Name, POC Name, and POC Phone Number)

DHHS, Robert Aaronson, 

1240-FINALBUDG-JUST-ROCHESTER.pdf

MTDC 54.50

RESEARCH & RELATED BUDGET - SECTION F-K, BUDGET PERIOD 4

* ORGANIZATIONAL DUNS:

* Budget Type:

Enter name of Organization:

* Start Date: * End Date:

Project Subaward/Consortium

03/01/2014 02/28/2015

University of Rochester

Budget Period 4

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Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Detailed Budget - Year 4 Page 48
 
OMB Number: 4040-0001 

Expiration Date: 06/30/2011

RESEARCH & RELATED BUDGET - SECTION A & B, BUDGET PERIOD 5

* ORGANIZATIONAL DUNS:

* Budget Type:

Enter name of Organization:

* Start Date: * End Date:

A. Senior/Key Person

Cal. Acad. Sum. * Requested * Fringe 

Prefix * First Name Middle Name * Last Name Suffix * Project Role Base Salary ($) Months Months Months Salary ($) Benefits ($) * Funds Requested ($)

1.

2.

3.

4.

5.

6.

7.

8.

9. Total Funds requested for all Senior Key Persons in the attached file

Total Senior/Key Person

Additional Senior Key Persons:

B. Other Personnel

* Number of Cal. Acad. Sum. * Requested * Fringe 

Personnel Months Months Months Salary ($) Benefits ($) * Funds Requested ($) * Project Role

Post Doctoral Associates

Graduate Students

Undergraduate Students

Secretarial/Clerical

Total Number Other Personnel Total Other Personnel

Total Salary, Wages and Fringe Benefits (A+B)

RESEARCH & RELATED Budget {A-B} (Funds Requested)

Project Subaward/Consortium

2

Delete Entry

Stephen Dewhurst Ph.D. PD/PI 1.80

Changyong Feng PhD Faculty 0.60

12.00

1 Technician 12.00

University of Rochester

1

03/01/2015 02/29/2016 Budget Period 

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Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Detailed Budget - Year 5 Page 49
 
RESEARCH & RELATED BUDGET - SECTION C, D, & E, BUDGET PERIOD 5

* ORGANIZATIONAL DUNS:

* Budget Type:

Enter name of Organization:

* Start Date: * End Date:

C. Equipment Description

List items and dollar amount for each item exceeding $5,000

Equipment item * Funds Requested ($)

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11. Total funds requested for all equipment listed in the attached file

Total Equipment

Additional Equipment:

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)

Project Subaward/Consortium

03/01/2015 02/29/2016

University of Rochester

Add Attachment Delete Attachment View Attachment

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Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Detailed Budget - Year 5 Page 50
 
F. Other Direct Costs

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

8.

9.

10.

Total Other Direct Costs

G. Direct Costs

Total Direct Costs (A thru F)

H. Indirect Costs Indirect Cost 

Rate (%)

Indirect Cost 

Base ($)

1.

2.

3.

4.

Cognizant Federal Agency

I. Total Direct and Indirect Costs

Total Direct and Indirect Institutional Costs (G + H)

J. Fee

K. * Budget Justification

Indirect Cost Type

Funds Requested ($)

Funds Requested ($)

* Funds Requested ($)

Funds Requested ($)

Funds Requested ($)

RESEARCH & RELATED Budget {F-K} (Funds Requested)

Total Indirect Costs

(Only attach one file.)

(Agency Name, POC Name, and POC Phone Number)

DHHS, Robert Aaronson, 212-264-2069

1240-FINALBUDG-JUST-ROCHESTER.pdf

MTDC 54.50

RESEARCH & RELATED BUDGET - SECTION F-K, BUDGET PERIOD 5

* ORGANIZATIONAL DUNS:

* Budget Type:

Enter name of Organization:

* Start Date: * End Date:

Project Subaward/Consortium

03/01/2015 02/29/2016

University of Rochester

Budget Period 5

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Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Detailed Budget - Year 5 Page 51
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

PERSONNEL JUSTIFICATION: R21 PHASE (Years 1 and 2) 

UNIVERSITY OF ROCHESTER

Principle Investigator 

Dr. Steve Dewhurst (PI, 1.2 person months) is Dean’s Professor and Chair of Microbiology and 

Immunology at the UR. 

ROLE: His role on the project is to oversee all of the experiments, reporting and administrative/financial 

responsibilities, and to interface with the other participating investigators. He already has strong 

collaborative relationships with these individuals. He also has over 20 years’ experience as a molecular 

virologist, working on both RNA and DNA viruses, and is expert in the areas of HIV-1 virology, HIV-1 

vaccine development and virally-mediated gene transfer. In addition, he is knowledgeable in the area of 

neuroscience, which is important in light of the similarities (and differences) between SEVI and other 

amyloid fibrils. The present project has emerged unexpectedly out of ongoing collaborative studies with 

Dr. Yang, and fits well with our mutual interests in SEVI and in the development of inhibitors of SEVI’s 

biological activities. 

Faculty 

Dr. Chengyong Feng (Coinvestigator, 0.6 person months) is Assistant Professor of Biostatistics and 

Computational Biology at the UR. 

ROLE: He is an established collaborator of Dr. Dewhurst, and will perform all statistical data analysis 

for this project. He will also provide advice on experimental design. Dr. Feng contributed the statistical 

analysis of all data included in this application. 

Other Personnel 

TBN (Postdoctoral Fellow, 12 person months; Years 1 and 2). This individual will be responsible for 

efficacy assessments of the ability of novel amyloid-binding compounds to inhibit SEVI- and semenmediated enhancement of HIV-1 infection, as well as assessments of the toxicity of these novel 

compounds. This person will also interface with the Yang lab to assure effective exchange of reagents 

and data. 

TBN (Laboratory Technician, 6 person months; Year 2 ONLY). A 50% FTE technician will be added to the 

project in year 2, to deal with the expected increase in work load as the project matures and we 

progress to more time-intensive secondary assays of compound efficacy and toxicity. This individual 

will assume responsibility for production and QC analyses of SEVI in year 2, and will work closely with 

the postdoctoral fellow. 

Other Costs

Travel 

We are requesting a small amount of travel funds ($2,000/year) to support attendance of the PI at one 

national meeting, and to allow Dr. Yang (UCSD subcontract PI) to attend an annual program team 

meeting in Rochester. 

Overhead calculations 

UR’s approved F&A Rate is 53% for the period 03/01/11 - 06/30/11, and 54.5% thereafter 

UR’s cognizant agency contact is: DHHS, Robert Aaronson, Tel: 

The date of its most recent indirect cost rate negotiation agreement is: 01/21/2009 

Budget Justification Page 52
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

CONSULTANTS

Consultant for both R21 and R33 phases:

Dr. Charlene S. Dezzutti (Consultant) is Associate Professor in the Department of Obstetrics, Gynecology, 

and Reproductive Sciences, and an Associate Investigator in the Magee-Womens Research Institute at 

the University of Pittsburgh. Her role on this application is to serve as a consultant and advisor to the 

research program, to review annual progress reports, participate in data evaluations, and to provide 

technical assistance and guidance on assessments of the potential toxicity of candidate microbicides, 

using the cervical explant models that she has developed (including MTT, histology assessments of 

toxicity and assessment of cytokine release). She is well qualified for this role because she is the 

principal investigator of the Network Laboratory for the Microbicide Trials Network (MTN), an HIV/AIDS 

clinical trials network established by the National Institute of Allergy and Infectious Diseases (NIAID). In 

this capacity, she conducts side-by-side comparative assessments of different microbicide candidates 

that will be used in clinical trials. Her laboratory is presently studying: 

1) The mechanism(s) of transmission. Dr. Dezzutti has developed cervical and colorectal tissue 

explant systems to study HIV transmission ex vivo. 

2) The factors that influence transmission. Dr. Dezzutti has an active program studying the 

interaction(s) between sexually transmitted infections and HIV in acute in vitro model 

systems as well as tissue explant systems. 

3) The ways to prevent transmission of HIV. For prevention of sexually acquired HIV, Dr. 

Dezzutti is evaluating microbicides that may be utilized in human clinical trials. She is 

examining innate immune factors found in genital secretions that could be augmented or 

exploited for microbicide development. She has also developed in vitro and ex vivo model 

systems that can be used to evaluate the potential toxicity of candidate microbicides. 

Consultant for R21 phase only (and coinvestigator for R33 phase):

 

Budget Justification Page 53
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

PERSONNEL JUSTIFICATION: R33 PHASE (Years 3 thru 5) 

UNIVERSITY OF ROCHESTER

Principle Investigator 

Dr. Steve Dewhurst (PI, 1.8 person months) is Dean’s Professor and Chair of Microbiology and 

Immunology at the UR. His effort will increase to 1.8 calendar months in the R33 phase, from 1.2 

calendar months in the R21 phase – reflecting the increased volume of work in the R33 phase. 

ROLE: See justification for R21 phase. Added responsibilities in the R33 phase will include interfacing 

with, and oversight of, the site (which will be added in the R33 phase). 

Faculty 

Dr. Chengyong Feng (Coinvestigator, 0.6 person months) is Assistant Professor of Biostatistics and 

Computational Biology at the UR. 

ROLE: See justification for R21 phase. 

Other Personnel 

TBN (Postdoctoral Fellow, 12 person months). ROLE: See justification for R21 phase. In addition to 

interfacing with the UCSD site, this individual will also interface with the (to provide 

materials/compounds and review data). 

TBN (Laboratory Technician, 12 person months). This individual’s effort will increase to 12 calendar 

months in the R33 phase, from 6 calendar months in the R21 phase – reflecting the increased volume 

of work in the R33 phase, and the fact that the postdoctoral fellow will have the additional responsibility 

of interfacing with the site. ROLE: See justification for R21 phase. 

Other Costs

Travel 

We are requesting a small amount of travel funds ($3,000/year) to support attendance of the PI at one 

national meeting, and to allow Dr. Yang (UCSD subcontract PI) and 

 to attend an annual program team meeting in Rochester. 

Overhead calculations 

UR’s approved F&A Rate is 53% for the period 03/01/11 - 06/30/11, and 54.5% thereafter 

UR’s cognizant agency contact is: DHHS, Robert Aaronson, Tel: 

The date of its most recent indirect cost rate negotiation agreement is: 01/21/2009 

Budget Justification Page 54
 
RESEARCH & RELATED BUDGET - Cumulative Budget

Totals ($)

Section A, Senior/Key Person

Section B, Other Personnel

Total Number Other Personnel

Total Salary, Wages and Fringe Benefits (A+B)

Section C, Equipment

Section D, Travel

1. Domestic

2. Foreign

Section E, Participant/Trainee Support Costs

1. Tuition/Fees/Health Insurance

2. Stipends

3. Travel

4. Subsistence

5. Other

6. Number of Participants/Trainees

Section F, Other Direct Costs

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

8. Other 1

9. Other 2

10. Other 3

Section G, Direct Costs (A thru F)

Section H, Indirect Costs

Section I, Total Direct and Indirect Costs (G + H)

Section J, Fee

9

	


 		

 !"

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Cumulative Budget Page 55
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTION A & B, BUDGET PERIOD 1

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization: University of California, San Diego

* Start Date: 03-01-2011 * End Date: 02-29-2012 Budget Period: 1

A. Senior/Key Person

Prefix * First Name Middle Name * Last Name Suffix * Project Role Base Salary

($)

Cal.

Months

Acad.

Months

Sum.

Months

* Requested

Salary ($)

* Fringe

Benefits ($)

* Funds Requested ($)

1. Dr. Jerry Yang PD/PI 1.00

Total Funds Requested for all Senior Key Persons in the attached file

Additional Senior Key Persons: File Name: Mime Type: Total Senior/Key Person

B. Other Personnel

* Number of

Personnel

* Project Role Cal.

Months

Acad.

Months

Sum.

Months

* Requested

Salary ($)

* Fringe

Benefits

* Funds Requested

($)

Post Doctoral Associates

1 Graduate Students 4.50 1.50

Undergraduate Students

Secretarial/Clerical

1 Total Number Other Personnel Total Other Personnel

Total Salary, Wages and Fringe Benefits (A+B)

RESEARCH & RELATED Budget {A-B} (Funds Requested)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 1 Page 56 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTION C, D, & E, BUDGET PERIOD 1

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization: University of California, San Diego

* Start Date: 03-01-2011 * End Date: 02-29-2012 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)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 1 Page 57 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTIONS F-K, BUDGET PERIOD 1

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization: University of California, San Diego

* Start Date: 03-01-2011 * End Date: 02-29-2012 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

8. Tuition Remission Fees

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 Cost 54.50

Total Indirect Costs

Cognizant Federal Agency

(Agency Name, POC Name, and POC Phone Number)

DHHS Office of Inspector General, Region IX, Office of Audit Services, 50 United Nations

Plaza, Room 304, San Francisco, California 94102, 415-437-7820

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: 1243-FINALBUDG-JUST-UCSD[1].pdf Mime Type: application/pdf

(Only attach one file.)

RESEARCH & RELATED Budget {F-K} (Funds Requested)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 1 Page 58 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTION A & B, BUDGET PERIOD 2

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization: University of California, San Diego

* Start Date: 03-01-2012 * End Date: 02-28-2013 Budget Period: 2

A. Senior/Key Person

Prefix * First Name Middle Name * Last Name Suffix * Project Role Base Salary

($)

Cal.

Months

Acad.

Months

Sum.

Months

* Requested

Salary ($)

* Fringe

Benefits ($)

* Funds Requested ($)

1. Dr. Jerry Yang PD/PI 1.00

Total Funds Requested for all Senior Key Persons in the attached file

Additional Senior Key Persons: File Name: Mime Type: Total Senior/Key Person

B. Other Personnel

* Number of

Personnel

* Project Role Cal.

Months

Acad.

Months

Sum.

Months

* Requested

Salary ($)

* Fringe

Benefits

* Funds Requested

($)

Post Doctoral Associates

1 Graduate Students 4.50 1.50

Undergraduate Students

Secretarial/Clerical

1 Total Number Other Personnel Total Other Personnel

Total Salary, Wages and Fringe Benefits (A+B)

RESEARCH & RELATED Budget {A-B} (Funds Requested)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 1 Page 59 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTION C, D, & E, BUDGET PERIOD 2

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization: University of California, San Diego

* Start Date: 03-01-2012 * End Date: 02-28-2013 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)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 1 Page 60 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTIONS F-K, BUDGET PERIOD 2

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization: University of California, San Diego

* Start Date: 03-01-2012 * End Date: 02-28-2013 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

8. Tuition Remission Fees

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 Cost 54.50

Total Indirect Costs

Cognizant Federal Agency

(Agency Name, POC Name, and POC Phone Number)

DHHS Office of Inspector General, Region IX, Office of Audit Services, 50 United Nations

Plaza, Room 304, San Francisco, California 94102, 415-437-7820

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: 1243-FINALBUDG-JUST-UCSD[1].pdf Mime Type: application/pdf

(Only attach one file.)

RESEARCH & RELATED Budget {F-K} (Funds Requested)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 1 Page 61 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTION A & B, BUDGET PERIOD 3

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization: University of California, San Diego

* Start Date: 03-01-2013 * End Date: 02-28-2014 Budget Period: 3

A. Senior/Key Person

Prefix * First Name Middle Name * Last Name Suffix * Project Role Base Salary

($)

Cal.

Months

Acad.

Months

Sum.

Months

* Requested

Salary ($)

* Fringe

Benefits ($)

* Funds Requested ($)

1. Dr. Jerry Yang PD/PI 1.00

Total Funds Requested for all Senior Key Persons in the attached file

Additional Senior Key Persons: File Name: Mime Type: Total Senior/Key Person

B. Other Personnel

* Number of

Personnel

* Project Role Cal.

Months

Acad.

Months

Sum.

Months

* Requested

Salary ($)

* Fringe

Benefits

* Funds Requested

($)

Post Doctoral Associates

1 Graduate Students 9.00 3.00

Undergraduate Students

Secretarial/Clerical

1 Total Number Other Personnel Total Other Personnel

Total Salary, Wages and Fringe Benefits (A+B)

RESEARCH & RELATED Budget {A-B} (Funds Requested)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 1 Page 62 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTION C, D, & E, BUDGET PERIOD 3

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization: University of California, San Diego

* Start Date: 03-01-2013 * End Date: 02-28-2014 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)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 1 Page 63 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTIONS F-K, BUDGET PERIOD 3

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization: University of California, San Diego

* Start Date: 03-01-2013 * End Date: 02-28-2014 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

8. Tuition Remission Fees

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 Cost 54.50

Total Indirect Costs

Cognizant Federal Agency

(Agency Name, POC Name, and POC Phone Number)

DHHS Office of Inspector General, Region IX, Office of Audit Services, 50 United Nations

Plaza, Room 304, San Francisco, California 94102, 415-437-7820

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: 1243-FINALBUDG-JUST-UCSD[1].pdf Mime Type: application/pdf

(Only attach one file.)

RESEARCH & RELATED Budget {F-K} (Funds Requested)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 1 Page 64 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTION A & B, BUDGET PERIOD 4

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization: University of California, San Diego

* Start Date: 03-01-2014 * End Date: 02-28-2015 Budget Period: 4

A. Senior/Key Person

Prefix * First Name Middle Name * Last Name Suffix * Project Role Base Salary

($)

Cal.

Months

Acad.

Months

Sum.

Months

* Requested

Salary ($)

* Fringe

Benefits ($)

* Funds Requested ($)

1. Dr. Jerry Yang PD/PI 1.00

Total Funds Requested for all Senior Key Persons in the attached file

Additional Senior Key Persons: File Name: Mime Type: Total Senior/Key Person

B. Other Personnel

* Number of

Personnel

* Project Role Cal.

Months

Acad.

Months

Sum.

Months

* Requested

Salary ($)

* Fringe

Benefits

* Funds Requested

($)

Post Doctoral Associates

1 Graduate Students 9.00 3.00

Undergraduate Students

Secretarial/Clerical

1 Total Number Other Personnel Total Other Personnel

Total Salary, Wages and Fringe Benefits (A+B)

RESEARCH & RELATED Budget {A-B} (Funds Requested)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 1 Page 65 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTION C, D, & E, BUDGET PERIOD 4

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization: University of California, San Diego

* Start Date: 03-01-2014 * End Date: 02-28-2015 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)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 1 Page 66 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTIONS F-K, BUDGET PERIOD 4

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization: University of California, San Diego

* Start Date: 03-01-2014 * End Date: 02-28-2015 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

8. Tuition Remission Fees

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 Cost 54.50

Total Indirect Costs

Cognizant Federal Agency

(Agency Name, POC Name, and POC Phone Number)

DHHS Office of Inspector General, Region IX, Office of Audit Services, 50 United Nations

Plaza, Room 304, San Francisco, California 94102, 415-437-7820

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: 1243-FINALBUDG-JUST-UCSD[1].pdf Mime Type: application/pdf

(Only attach one file.)

RESEARCH & RELATED Budget {F-K} (Funds Requested)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 1 Page 67 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTION A & B, BUDGET PERIOD 5

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization: University of California, San Diego

* Start Date: 03-01-2015 * End Date: 02-29-2016 Budget Period: 5

A. Senior/Key Person

Prefix * First Name Middle Name * Last Name Suffix * Project Role Base Salary

($)

Cal.

Months

Acad.

Months

Sum.

Months

* Requested

Salary ($)

* Fringe

Benefits ($)

* Funds Requested ($)

1. Dr. Jerry Yang PD/PI 1.00

Total Funds Requested for all Senior Key Persons in the attached file

Additional Senior Key Persons: File Name: Mime Type: Total Senior/Key Person

B. Other Personnel

* Number of

Personnel

* Project Role Cal.

Months

Acad.

Months

Sum.

Months

* Requested

Salary ($)

* Fringe

Benefits

* Funds Requested

($)

Post Doctoral Associates

1 Graduate Students 2.40 0.80

Undergraduate Students

Secretarial/Clerical

1 Total Number Other Personnel Total Other Personnel

Total Salary, Wages and Fringe Benefits (A+B)

RESEARCH & RELATED Budget {A-B} (Funds Requested)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 1 Page 68 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTION C, D, & E, BUDGET PERIOD 5

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization: University of California, San Diego

* Start Date: 03-01-2015 * End Date: 02-29-2016 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)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 1 Page 69 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTIONS F-K, BUDGET PERIOD 5

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization: University of California, San Diego

* Start Date: 03-01-2015 * End Date: 02-29-2016 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 Cost 54.50

Total Indirect Costs

Cognizant Federal Agency

(Agency Name, POC Name, and POC Phone Number)

DHHS Office of Inspector General, Region IX, Office of Audit Services, 50 United Nations

Plaza, Room 304, San Francisco, California 94102,

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: 1243-FINALBUDG-JUST-UCSD[1].pdf Mime Type: application/pdf

(Only attach one file.)

RESEARCH & RELATED Budget {F-K} (Funds Requested)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 1 Page 70 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - Cumulative Budget

Totals ($)

Section A, Senior/Key Person

Section B, Other Personnel

Total Number Other Personnel 5

Total Salary, Wages and Fringe Benefits (A+B)

Section C, Equipment

Section D, Travel

1. Domestic

2. Foreign

Section E, Participant/Trainee Support Costs

1. Tuition/Fees/Health Insurance

2. Stipends

3. Travel

4. Subsistence

5. Other

6. Number of Participants/Trainees

Section F, Other Direct Costs

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

8. Other 1

9. Other 2

10. Other 3

Section G, Direct Costs (A thru F)

Section H, Indirect Costs

Section I, Total Direct and Indirect Costs (G + H)

Section J, Fee

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 1 Page 71 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

PERSONNEL JUSTIFICATION: R21 PHASE (Years 1 and 2) 

UNIVERSITY OF CALIFORNIA, SAN DIEGO (Subcontract)

CoInvestigator (Subcontract PI) 

Dr. Jerry Yang (Coinvestigator, 1.0 person months; PI, UCSD subcontract) is Associate Professor of 

Chemistry and Biochemistry at the University of California, San Diego (UCSD).

ROLE: In collaboration with Dr. Dewhurst, Dr. Yang helped to generate the preliminary data in this 

application, which builds from extensive in vitro experiments carried out in the Yang laboratory, with the 

goal of generating molecular assemblies on aggregated amyloid peptides that can function as bioresistive surface coatings (in analogy to generation of a “non-stick” coating on a surface). Dr. Yang has 

a broad background in organic and biophysical chemistry, biochemistry, and materials science, with 

specific expertise in amyloid and biomembrane research. His students and postdocs routinely 

synthesize structurally and functionally diverse organic molecules and small molecule libraries, develop 

biochemical and cellular screening assays, and develop biophysical techniques to study the structure 

and function of biomolecules and biomolecular aggregates in solution. He is an established collaborator 

of Dr. Dewhurst, and will be responsible for directing all aspects of the synthesis and in vitro evaluation 

of the amyloid-targeting agents described in the research proposal. 

Other Personnel 

TBN (Graduate Researcher Assistant, 6 person months, Yang Lab, UCSD). This individual will be 

responsible for carrying out the synthesis, purification, and characterization of all amyloid-binding 

agents. 

Other Costs

Travel 

We are requesting a small amount of travel funds ($1,000/year) to support attendance of Dr. Yang at one 

national meeting. 

Overhead calculations 

UCSD’s approved F&A Rate is 54.5% 

UCSD’s cognizant agency contact is: DHHS Office of Inspector General, Region IX, Office of Audit; Tel: 

The date of its most recent indirect cost rate negotiation agreement is: 05/28/2010 

Subaward 1 Budget Justification Attachment Page 72
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

PERSONNEL JUSTIFICATION: R33 PHASE (Years 3 thru 5) 

UNIVERSITY OF CALIFORNIA, SAN DIEGO (Subcontract)

CoInvestigator (Subcontract PI) 

Dr. Jerry Yang (Coinvestigator, 1.0 person months; PI, UCSD subcontract) is Associate Professor of 

Chemistry and Biochemistry at the University of California, San Diego (UCSD).

ROLE: See justification for R21 phase 

Other Personnel 

R33 phase: years 3 and 4:

TBN: Graduate Researcher Assistant (12 person months). This individual will be responsible for carrying 

out the synthesis, purification, and characterization of all amyloid-binding agents and analogs. S/he will 

assess new analogs for biocompatibility (i.e., drug-like properties) and toxicity. Candidates deemed 

suitable for further analysis for bioactivity will be prepared on a large scale for additional testing in the 

proposed studies. 

R33 phase: year 5:

TBN: Graduate Researcher Assistant (3.2 person months). This individual will be responsible for 

developing the synthetic methodology for preparing large quantities of the most promising compounds 

for late stage testing. S/he will responsible for supplying and assuring the high quality of compounds 

throughout this final year of the project. Effort is reduced for the final year, because of the greater 

emphasis on efficacy and toxicity testing of lead candidate(s) in this final year.

Other Costs

Travel 

We are requesting a small amount of travel funds ($1,000/year) to support attendance of Dr. Yang at one 

national meeting. 

Overhead calculations 

UCSD’s approved F&A Rate is 54.5% 

UCSD’s cognizant agency contact is: DHHS Office of Inspector General, Region IX, Office of Audit; Tel: 

The date of its most recent indirect cost rate negotiation agreement is: 05/28/2010 

Subaward 1 Budget Justification Attachment Page 73
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTION A & B, BUDGET PERIOD 1

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization:

* Start Date: 03-01-2013 * End Date: 02-28-2014 Budget Period: 1

A. Senior/Key Person

Prefix * First Name Middle Name * Last Name Suffix * Project Role Base Salary

($)

Cal.

Months

Acad.

Months

Sum.

Months

* Requested

Salary ($)

* Fringe

Benefits ($)

* Funds Requested ($)

1. PD/PI 1.00

Total Funds Requested for all Senior Key Persons in the attached file

Additional Senior Key Persons: File Name: Mime Type: Total Senior/Key Person

B. Other Personnel

* Number of

Personnel

* Project Role Cal.

Months

Acad.

Months

Sum.

Months

* Requested

Salary ($)

* Fringe

Benefits

* Funds Requested

($)

Post Doctoral Associates

Graduate Students

Undergraduate Students

Secretarial/Clerical

1 Laboratory Technician 5.00

1 Total Number Other Personnel Total Other Personnel

Total Salary, Wages and Fringe Benefits (A+B)

RESEARCH & RELATED Budget {A-B} (Funds Requested)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 2 Page 74 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTION C, D, & E, BUDGET PERIOD 1

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization:

* Start Date: 03-01-2013 * End Date: 02-28-2014 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)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 2 Page 75 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTIONS F-K, BUDGET PERIOD 1

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization:

* Start Date: 03-01-2013 * End Date: 02-28-2014 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. OVERHEAD 107.50

2. G&A 18.70

Total Indirect Costs

Cognizant Federal Agency

(Agency Name, POC Name, and POC Phone Number)

NIH Div. Fin. Services, Lorraine Trexler, 301-496-2444

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: Mime Type: application/pdf

(Only attach one file.)

RESEARCH & RELATED Budget {F-K} (Funds Requested)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 2 Page 76 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTION A & B, BUDGET PERIOD 2

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization:

* Start Date: 03-01-2014 * End Date: 02-28-2015 Budget Period: 2

A. Senior/Key Person

Prefix * First Name Middle Name * Last Name Suffix * Project Role Base Salary

($)

Cal.

Months

Acad.

Months

Sum.

Months

* Requested

Salary ($)

* Fringe

Benefits ($)

* Funds Requested ($)

1. PD/PI 1.00

Total Funds Requested for all Senior Key Persons in the attached file

Additional Senior Key Persons: File Name: Mime Type: Total Senior/Key Person

B. Other Personnel

* Number of

Personnel

* Project Role Cal.

Months

Acad.

Months

Sum.

Months

* Requested

Salary ($)

* Fringe

Benefits

* Funds Requested

($)

Post Doctoral Associates

Graduate Students

Undergraduate Students

Secretarial/Clerical

1 Laboratory Technician 5.00

1 Total Number Other Personnel Total Other Personnel

Total Salary, Wages and Fringe Benefits (A+B)

RESEARCH & RELATED Budget {A-B} (Funds Requested)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 2 Page 77 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTION C, D, & E, BUDGET PERIOD 2

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization:

* Start Date: 03-01-2014 * End Date: 02-28-2015 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)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 2 Page 78 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTIONS F-K, BUDGET PERIOD 2

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization:

* Start Date: 03-01-2014 * End Date: 02-28-2015 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. OVERHEAD 107.50

2. G&A 18.70

Total Indirect Costs

Cognizant Federal Agency

(Agency Name, POC Name, and POC Phone Number)

NIH Div. Fin. Services, Lorraine Trexler, 301-496-2444

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: Mime Type: application/pdf

(Only attach one file.)

RESEARCH & RELATED Budget {F-K} (Funds Requested)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 2 Page 79 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTION A & B, BUDGET PERIOD 3

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization:

* Start Date: 03-01-2015 * End Date: 02-29-2016 Budget Period: 3

A. Senior/Key Person

Prefix * First Name Middle Name * Last Name Suffix * Project Role Base Salary

($)

Cal.

Months

Acad.

Months

Sum.

Months

* Requested

Salary ($)

* Fringe

Benefits ($)

* Funds Requested ($)

1. PD/PI 1.20

Total Funds Requested for all Senior Key Persons in the attached file

Additional Senior Key Persons: File Name: Mime Type: Total Senior/Key Person

B. Other Personnel

* Number of

Personnel

* Project Role Cal.

Months

Acad.

Months

Sum.

Months

* Requested

Salary ($)

* Fringe

Benefits

* Funds Requested

($)

Post Doctoral Associates

Graduate Students

Undergraduate Students

Secretarial/Clerical

1 Laboratory Technician 3.60

1 Study Director 1.20

1 Animal Technician 1.20

1 Animal CT 1.00

4 Total Number Other Personnel Total Other Personnel

Total Salary, Wages and Fringe Benefits (A+B)

RESEARCH & RELATED Budget {A-B} (Funds Requested)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 2 Page 80 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTION C, D, & E, BUDGET PERIOD 3

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization:

* Start Date: 03-01-2015 * End Date: 02-29-2016 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)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 2 Page 81 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - SECTIONS F-K, BUDGET PERIOD 3

* ORGANIZATIONAL DUNS:

* Budget Type: ❍ Project ● Subaward/Consortium

Enter name of Organization:

* Start Date: 03-01-2015 * End Date: 02-29-2016 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

8. Animal purchase, supplies and disposal

9. Consultant costs and overtime premium

10. Histology/Pathology Costs

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. OVERHEAD 107.50

2. G&A 18.70

Total Indirect Costs

Cognizant Federal Agency

(Agency Name, POC Name, and POC Phone Number)

NIH Div. Fin. Services, Lorraine Trexler,

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: 1244-FINALBUDG-JUST- .pdf Mime Type: application/pdf

(Only attach one file.)

RESEARCH & RELATED Budget {F-K} (Funds Requested)

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 2 Page 82 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

RESEARCH & RELATED BUDGET - Cumulative Budget

Totals ($)

Section A, Senior/Key Person

Section B, Other Personnel

Total Number Other Personnel 6

Total Salary, Wages and Fringe Benefits (A+B)

Section C, Equipment

Section D, Travel

1. Domestic

2. Foreign

Section E, Participant/Trainee Support Costs

1. Tuition/Fees/Health Insurance

2. Stipends

3. Travel

4. Subsistence

5. Other

6. Number of Participants/Trainees

Section F, Other Direct Costs

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

8. Other 1

9. Other 2

10. Other 3

Section G, Direct Costs (A thru F)

Section H, Indirect Costs

Section I, Total Direct and Indirect Costs (G + H)

Section J, Fee

Tracking Number: GRANT10650670 OMB Number: 4040-0001

Expiration Date: 04/30/2008

Subaward 2 Page 83 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

PERSONNEL JUSTIFICATION: R21 PHASE (Years 1 and 2) 

 will not participate in the R21 phase. 

PERSONNEL JUSTIFICATION: R33 PHASE (Years 3 thru 5) 

 (Subcontract)

CoInvestigator (Subcontract PI) 

(Coinvestigator, 1.0 person months; PI, subcontract) is a Senior 

Scientist at effort will increase to 1.2 person months in Year 5 of the 

proposal, coincident with performance of the RVI experiments. 

ROLE: She will be responsible for the overall management of the subaward and coordination of tasks with 

Dr. Dewhurst. She will provide scientific input for the in vitro and in vivo testing of the SEVI-targeting small 

molecule inhibitors. Specifically, she will: 

• Supervise the efficacy assessment in the cervical explant model under the consultancy of Dr. C. 

Dezzutti (Years 3-5)

• Supervise and design the Lactobacillus toxicity assays (Years 3-5)

• Supervise the cytotoxicity assays (Years 3-5)

• Collaborate with on the Rabbit Vaginal Irritation Model (Year 5) 

Other Personnel 

R33 phase: years 3 and 4:

 (Lab Technician, 5 person months). 

ROLE: is a lab tech trained in all of the proposed in vitro assays. He will conduct all aspects of 

tissue culture including the cervical explant model. He also will perform the lactobacillus assays. As assay 

endpoints for virus replication, he will use HIV-1 p24 assays, HIV-1 TaqMan RT-PCR, and reverse 

transcriptase assays; assays endpoints for cytotoxicity will include MTT assay as well as CytoTox-Glo and 

resazurin assays. 

R33 phase: year 5 (includes the RVI experiment):

 (Lab Technician, 3.6 person months). 

ROLE: See above. effort is reduced because of a reduction in emphasis on in vitro experiments 

at during the final project year, and the need to perform and analyze the RVI study. 

 (Study Director, RVI; 1.2 person months). 

ROLE: is will be 

the study director for the Rabbit Vaginal Irritation Model, which will be performed under 21 CFR Part 58. She 

will perform her duties as required in the CFR regulations, e.g., sign the study protocol, be the single point of 

study control and sign the final report. She also will assure that the study is carried out in compliance with 21 

CFR Part 58, she will interact with management and QAU and assure that the personnel engaged in the study 

is trained by education and/or experience. The goal of the RVI study will be to identify a non-irritating 

(maximum tolerated) dose and to “de-risk” this novel inhibitory strategy prior to future studies (planned after the 

end of this R21/R33). The study will be performed under 21 CFR Part 58 as a mechanism to ensure high 

quality data checks and QC of the analysis. 

(Consultant) 

ROLE: is subcontractor for the QAU unit. provides Qau services for 

 since 1986, and she is employed in the field of regulatory compliance since 1967. also 

regularly provides GLP training to employees and consults on GLP compliance issues. 

Subaward 2 Budget Justification Attachment Page 84
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

TBN (Lab Animal Tech, 1.2 person months). 

ROLE: An animal tech will be assigned to perform the rabbit procedures. Since the study will be conducted 

more than 5 years from now, we refrain from naming a specific individual. has many animal techs on 

the ALAT, LAT, and LATG level available and will assure that a tech with at least an ALAT certification will be 

assigned to the study. 

TBN (Animal Care Taker, 1 person month). 

ROLE: One animal care taker will be assigned to provide food and water to the animals and ensure cleanliness

of the animal room and caging. Rather than naming a specific individual, has provided a typical 

animal care salary for the period of performance. has many animal care takers on staff and will 

assign an appropriate individual during the spring of 2015. 

Note: person year is 1,880 hours, except the caretaker levels are bid at 2,000 hours per year. The 

time commitments listed above are based on these numbers. 

Other Costs 

Travel 

In years 3-5, we are requesting a small amount of travel funds ($1,000/year) to support attendance of 

 at one national meeting. 

Other Notable Costs 

In year 5 (only), we are requesting funds ($240 per rabbit) to purchase 27 NZW rabbits for the RVI study, 

as well as for animal supplies and reagent costs associated with this study and its analysis. 

Overhead calculations 

 DFAS approved overhead rate small animal and laboratory projects is . This has been 

applied to the funds requested for lab personnel (including 

 G&A (General & Administrative) rate is 18.7%. The rate is applied to all contract costs (Labor, 

Fringe. Overhead, Other-Direct-Costs). 

 cognizant agency contact is: DFAS, Andrew Sandburg, 

The date of its most recent indirect cost rate negotiation agreement is: 09/29/2008 

 

Subaward 2 Budget Justification Attachment Page 85
 
PHS 398 Cover Page Supplement

1. Project Director / Principal Investigator (PD/PI)

Prefix: * First Name:

Middle Name:

* Last Name:

Suffix:

* Title:

* Street1:

Street2:

* City:

County/Parish:

* State:

* Country: * Zip / Postal Code:

2. Human Subjects

Clinical Trial?

* Agency-Defined Phase III Clinical Trial?

* First Name:

Middle Name:

* Last Name:

Suffix:

3. Applicant Organization Contact

Person to be contacted on matters involving this application

* Phone Number: Fax Number:

Email:

OMB Number: 0925-0001 

Province:

Prefix:

Stephen

Dewhurst

Ph.D.

No Yes

No Yes

Brenda

Kavanaugh

Senior Research Administrator

Office of Research & Project Administration

518 Hylan Building

Rochester

USA: UNITED STATES

NY: New York

14627-0140

	


 		

 !"

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Clinical Trial & HESC Page 86
 
PHS 398 Cover Page Supplement

4. Human Embryonic Stem Cells

* Does the proposed project involve human embryonic stem cells?

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://stemcells.nih.gov/research/registry/. 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.

No Yes

Cell Line(s):

	


 		

 !"

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Clinical Trial & HESC Page 87
 
OMB Number: 0925-0001 

PHS 398 Research Plan

1. Application Type:

From SF 424 (R&R) Cover Page. The response provided on that page, regarding the type of application being submitted, is repeated for your 

reference, as you attach the appropriate sections of the Research Plan.

*Type of Application:

1. Introduction to Application 

(for RESUBMISSION or REVISION only)

2. Specific Aims

3. *Research Strategy

Human Subjects Sections

6. Protection of Human Subjects

7. Inclusion of Women and Minorities

8. Targeted/Planned Enrollment Table

9. Inclusion of Children

10. Vertebrate Animals

13. Consortium/Contractual Arrangements

14. Letters of Support

15. Resource Sharing Plan(s)

16. Appendix

2. Research Plan Attachments: 

 Please attach applicable sections of the research plan, below.

Other Research Plan Sections

5. Progress Report Publication List

11. Select Agent Research

12. Multiple PD/PI Leadership Plan

4. Inclusion Enrollment Report

New Resubmission Renewal Continuation Revision

Add Attachment Delete Attachment View Attachment

1241-AIMS-MIP.pdf Add Attachment Delete Attachment View Attachment

1242-FINALRESSTRAT-MIPrv[1] Add Attachment Delete Attachment View Attachment

Add Attachment Delete Attachment View Attachment

Add Attachment Delete Attachment View Attachment

1250-HUMSUB-PROTXN-MIP.pdf Add Attachment Delete Attachment View Attachment

1251-HUMSUBJ-WomMinor-MIP.p Add Attachment Delete Attachment View Attachment

1252-HUBSUBJ-ENROLTAB-MIP.p Add Attachment Delete Attachment View Attachment

1253-HUMSUBJ-KIDS-MIP.pdf Add Attachment Delete Attachment View Attachment

1254-VERTANIM-MIP.pdf Add Attachment Delete Attachment View Attachment

1255-SELECTAG-MIP.pdf Add Attachment Delete Attachment View Attachment

Add Attachment Delete Attachment View Attachment

1256-CONSORTIA-MIP.pdf Add Attachment Delete Attachment View Attachment

1257-LOS-Setof3-070710.pdf Add Attachment Delete Attachment View Attachment

1258-RESSHARE-MIPrv.pdf Add Attachment Delete Attachment View Attachment

Add Attachments Remove Attachments View Attachments

	


 		

 !"

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

List of Research Plan Attachments Page 88
 
SPECIFIC AIMS: The Semen Enhancer of HIV Infection as a Novel Microbicide Target 

Human semen contains a proteolytic cleavage product of prostatic acidic phosphatase (PAP), designated 

PAP(248-286), that spontaneously forms cationic amyloid fibrils which strongly enhance HIV-1 infection. 

These fibrils, termed the "Semen Enhancer of Virus Infection" (SEVI), have been postulated to play an 

important role in HIV-1 transmission. 

Our preliminary data show that amyloid-binding molecules bind to SEVI, and block semen-mediated 

enhancement of HIV-1 infection. This suggests that (i) SEVI is responsible for semen-mediated 

enhancement of HIV infection and (ii) SEVI represents a novel microbicide target. We therefore propose to 

explore a novel, innovative approach to HIV-1 microbicide development, using agents that selectively 

target SEVI. This high-risk/high-reward approach is fundamentally different from traditional microbicidal 

strategies that target the virus itself, and is expected to be highly complementary with direct antiviral 

approaches. Indeed, our long-term goal is to use SEVI-targeted agents in combination with traditional 

microbicides. R21 phase aims are: 

 Aim 1: To test whether novel amyloid-binding small molecules inhibit semen-mediated 

enhancement of HIV infection. The feasibility of this approach has been established using two 

amyloid-binding small molecules which contain “shielding” oligo-ethylene glycol (EG) moieities: BTAEG4 and –EG6. These agents efficiently inhibit SEVI- and semen-mediated enhancement of HIV 

infection. We will generate novel derivatives of these and other amyloid-binding molecules, including 

oligovalent molecules that are expected to possess increased SEVI binding affinity. We will then 

measure their affinity for SEVI, and we will assess their ability to inhibit SEVI- and semen- mediated 

enhancement of HIV infection using a panel of R5 virus strains, including variants associated with 

heterosexual virus transmission and multidrug resistant virus. 

 Aim 2: To examine the interaction between novel amyloid-binding small molecules and cells 

from the female reproductive tract. Toxicity of candidate microbicides to cells of the female 

reproductive tract has been associated with an increased risk of HIV-1 transmission. In Aim 2A, we 

will assess the toxicity of our small molecules for human cervicovaginal epithelial cells (HCEC). In Aim 

2B, we will perform efficacy assessments using HCEC. First, we will test whether our small 

molecules can inhibit (i) SEVI-enhanced binding of HIV-1 virus particles to HCEC, and (ii) SEVIenhanced trans-infection of PBMC by HCEC exposed to HIV-1 virions. Finally, since binding of HIV-1 

virions to HCEC elicits the release of pro-inflammatory chemokines that may recruit CD4+ target cells 

to the initial site of virus infection, we will test whether our small molecules inhibit SEVI-mediated 

enhancement of HIV-1 induced chemokine release by HCEC. 

The R33 phase will further develop the candidate agents identified in the R21 phase. R33 phase aims are: 

 Aim 3: To improve the efficacy of first generation compounds identified in the R21 phase. In 

Aim 3A, we will synthesize improved compounds by using structure-activity relationship (SAR) data 

to refine chemical composition. We will then test these molecules using the efficacy and toxicity 

testing assays delineated in the R21 phase, prior to evaluating their activity in a pH transition assay 

and their physicochemical stability in seminal plasma, artificial vaginal fluid and the Universal 

Placebo gel, hydroxyethyl cellulose. In Aim 3B, we will assess the efficacy of the most promising 

compounds in a cervical explant model for HIV-1 infection. Finally, in Aim 3C, we will test whether 

our lead molecules have a synergistic or additive effect on the ability of other microbicides to inhibit 

HIV-1 infection in the presence of semen. 

 Aim 4: To assess the toxicity and inflammatory effects of lead molecules. We will assess the 

toxicity and inflammatory effects of the most promising molecules, both in PBS and as a simple 

admixture in HEC. The following parameters will be measured: (i) toxicity to beneficial Lactobacillus

species; (ii) effect on epithelial monolayer integrity; (iii) toxicity and inflammatory effects on human 

cervical explant tissue. Finally, the R33 phase will culminate with an evaluation of the safety and 

tolerability of the most promising compound in the rabbit vaginal irritation (RVI) model. The goal of 

these studies is not to obtain definitive IND-enabling data, but rather to rigorously assess the potential 

toxicity of our lead molecules so as determine whether they merit progression to future studies at the 

end of the R33 phase. 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Specific Aims Page 89
 
RESEARCH STRATEGY 

SIGNIFICANCE

Problem to be addressed: The urgent need for fresh approaches to microbicide development 

NIH RFA-AI-10-011 notes that a “topical microbicide that prevents the sexual transmission of HIV could 

play a major role in world-wide reduction of the over 7,000 new HIV infections per day.” To date, however, no 

such product has been identified – and several promising candidates have failed in phase III trials. 

The nonionic surfactant, nonoxynol-9 (N9) showed robust antiviral activity in preclinical analyses, but failed 

to protect against virus transmission in clinical trials and increased the risk of HIV-1 infection in women who 

used the agent repeatedly (1, 2) due to toxic effects on female reproductive tissue (3). The anionic polymer 

PRO-2000 also showed robust activity in preclinical studies (4-6), but failed to show efficacy in MDP 301 trial 

(7, 8), possibly becauses its antiviral activity is inhibited by seminal plasma (9, 10). 

Collectively, these results establish the urgent need for fresh, new approaches to microbicide development. 

The Semen Enhancer of Virus Infection (SEVI): Potential contributions to virus transmission 

Human semen contains cationic amyloid fibrils that strongly enhance HIV-1 infection (11), and have been 

termed "Semen Enhancer of Virus Infection" (SEVI). Multiple laboratories (including those of Drs. Greene, 

Hahn, Kirchhoff & Shaw), as well as our own, have shown that: both purified SEVI and whole semen enhance 

HIV-1 infection in cultured cells - including primary cells exposed to R5 viruses (11-15) (Fig. 2-5). Moreover, 

the ability of individual semen samples to enhance HIV-1 infection is correlated with levels of SEVI (15). 

SEVI may also exert effects through human cervicovaginal epithelial cells (HCEC). Binding of HIV-1 

virions to HCEC results in release of chemokines (including IL-8, CCL20/MIP-3α) which may accelerate 

CD4+ T cell recruitment to the initial site of virus infection (16) - thereby contributing to the sexual 

transmission of HIV-1. Consistent with this, our preliminary data show that SEVI enhances virus binding to 

HCEC and that it also increases virally-mediated chemokine release from these cells (Fig. 12).

INNOVATION

Novel concept and innovation: Development of a novel class of microbicidal agents 

Our preliminary data show that amyloid-binding molecules bind to SEVI, and block semen-mediated 

enhancement of HIV-1 infection. This suggests that (i) SEVI is responsible for semen-mediated enhancement 

of HIV infection and (ii) SEVI represents a novel microbicide target. We will therefore test a novel, 

innovative approach to HIV-1 microbicide development, by testing agents that target SEVI.

Figure 1: Inhibition of SEVI-mediated infection enhancement using amyloid-binding small molecules

LEGEND: SEVI-binding compounds that 

provide extensive surface coverage willl 

prevent binding of SEVI to HIV virions (A)

and host cell membranes (B). Effective 

small molecules include amyloid-binding 

compounds conjugated to oligo(ethylene 

glycol) that are capable of sequestering a 

large surface area. Blockade of virion 

binding (A) will interfere with 

enhancement of virus infection. Blockade 

of cell binding (B) may also interfere with 

virally-induced immune activation of 

genital epithelial cells (16). 

This high-risk/high-reward 

approach is fundamentally different 

from traditional microbicidal 

strategies that target the virus 

itself. The feasibility of this 

approach has been established 

using two amyloid-binding small 

molecules which contain 

“shielding” oligo-ethylene glycol 

(EG) moieities: BTA-EG4 and –EG6

(Fig. 1). These agents inhibit both 

SEVI- and semen-mediated 

enhancement of HIV infection. 

Impact statement: How completion of the project will change concepts that drive this field 

If this high-risk/high-reward project is successful it will result in the identification of a novel class of 

microbidical agents. Our approach is fundamentally different from traditional microbicidal strategies that target 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Research Strategy Page 90
 
the virus itself, and is expected to be highly complementary with direct antiviral approaches. Indeed, our longterm goal is to use SEVI-targeting agents in combination with traditional microbicides, for optimal effectiveness. 

Finally, our approach is also different from previously described SEVI inhibitors, such as polyanionic 

compounds (17), and the heparin antagonist Surfen (18). These agents block the actions of SEVI on a 

simple electrostatic basis. Given recent negative clinical results with the polyanionic agent PRO-2000 (8), 

and the presence of small cationic peptides in both semen and cervicovaginal fluid (19, 20), this raises 

concerns. In contrast, amyloid binding small molecules do not rely on electrostatic properties to bind to 

SEVI, and are expected to offer a new class of SEVI inhibitors with reduced off-target effects and enhanced 

effectiveness in an in vivo setting. 

Data supporting this novel concept 

Molecules derived from ThioT intercalate into generic cross-ß fibril structures derived from a large variety of 

amyloid peptides, and have been used image fibrils in vivo (21, 22) and to inhibit protein interactions with 

amyloid fibrils (23). Initial studies have been conducted using lead compounds encompassing a benzothiazole 

aniline derivative carrying a oligo(ethylene glycol) moiety (BTA-EG4 and BTA-EG6, Fig. 2A; (23)) which: 

(1) Obey Lipinski’s Rules of five and are, hence, drug-like. The Mw of BTA-EG4 is 418 g/mol, it has an 

octanol-water partition coefficient (log P) of 1.05, and a topological polar surface area (PSA) of 91 Å2

(23). The Mw of BTA-EG6 is 504 g/mol, with a log P of 1.43, and a PSA of 73 Å2

 (23). 

(2) Bind efficiently to aggregated forms of amyloid peptides and to SEVI. The Kd of BTA-EG6 is 8 μM for 

binding to Aβ fibrils, and 44 μM for binding to SEVI. 

(3) Can be readily prepared in high purity and quantity. 

Fig 2 shows that BTA-EG6 and BTA-EG4 both exert a dose-dependent, statistically significant (p<0.001) 

inhibitory effect on SEVI-mediated enhancement of HIV-1 infectivity (see dark filled bars, Fig. 2B, 2C). BTAEG6 and BTA-EG4 had no effect on HIV-1 infection in the absence of SEVI (see hatched bars, Fig. 2B, 2C). 

Figure 2: BTA-EG6 and BTA-EG4 inhibit SEVI mediated enhancement of HIV infection 

A B C

LEGEND: (A) Shown are ThioT and 2 analogs (BTA-EG4, BTA-EG6) (23). (B, C) CEM-M7 cells were exposed to HIV-1 

(IIIB) virions for 2 hr in the absence or presence (25 μg/mL) of SEVI; BTA-EG6 (B) or BTA-EG4 (C) were added at 

concentrations of 5.5, 11 and 16.5 μg/mL. At 2 hr cells were washed in PBS and resuspended in RPMI-1640 media with 

20% FBS. Cells were collected by centrifugation after 72 hrs, and luciferase activity was measured in cell lysates 

(Promega). CEM-M7 cells are stably transduced with a HIV-1 long terminal repeat (LTR)-luciferase and LTR-green 

fluorescent protein (GFP) cassette. The HIV-1 LTR has weak constitutive activity but becomes strongly activated upon 

intracellular expression of the HIV-1 transactivator, Tat. As a result, luciferase expression provides a measure for HIV-1 

infection in CEM-M7 cells. Data represent mean values from triplicate infections; bars denote standard deviation. **: 

indicates p<0.001 (one way ANOVA), when compared to cells treated with HIV-1 plus SEVI alone (gray shaded bar). 

Since most sexually transmitted HIV-1 infections are the result of R5 viruses (24), we examined whether 

the effect of BTA-EG6 extended to a well-characterized R5 strain. CEM-M7 cells were infected with HIV1ADA and SEVI, with and without increasing concentrations of BTA-EG6. BTA-EG6 showed a significant dose 

dependent inhibition of SEVI mediated enhancement of HIV-1ADA infection (Fig. 3). The IC50 of the BTA-EG6

for inhibition of SEVI-mediated enhancement of HIV-1ADA infection was calculated from this experiment and 

determined to be 6.6 μg/mL (13 μM).

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Research Strategy Page 91
 
Fig 3: BTA-EG6 inhibits SEVI-mediated enhancement of R5 HIV-1ADA infection with an IC50 of 13 μM 

LEGEND: Infectious R5 HIV-1 (ADA; 33 ng of virus, as determined by 

p24 ELISA assay) was incubated in the presence or absence of 15 

μg/mL of SEVI with or without increasing concentrations of BTA-EG6

(0.4 to 50 μg/mL) as indicated. The samples were then added to CEM 

M7 cells. Cells were washed at 2 hours, and infection was assayed at 

48 hours. Results shown are average values +/- SD of triplicate 

measurements. An exponential decay curve was then fit to the data, 

and used to calculate the IC50 of BTA-EG6’s inhibitory effect on SEVImediated enhancement of HIV-1ADA infection.

We tested whether the effects of SEVI and BTA-EG6 extended to infection in primary cells. To do this, 

PBMCs were exposed to HIV-1BAL plus SEVI, in the presence or absence of BTA-EG6. BTA-EG6 efficiently 

inhibited SEVI-mediated enhancement of HIV-1 infection in PBMCs, in a dose-dependent manner (Fig. 4). 

Fig 4: BTA-EG6 inhibits SEVI-mediated enhancement of R5 HIV-1 infection in primary PBMC 

LEGEND: Human PBMCs were stimulated with IL-2/PHA and infected 

with HIV-1BAL and 15 μg/mL SEVI with or without increasing 

concentrations of BTA-EG6 (5.5, 11 and 22.5 μg/mL). Cells were 

washed at 3 hours and infection was assayed at 4 days by measuring 

HIV-1 p24 antigen in cell lysates using an ELISA assay. Results shown 

are average values +/- SD of triplicate measurements. **: p<0.01 or ***: 

p< 0.001, compared to control PBMCs exposed to HIV-1ADA + SEVI 

alone (ANOVA with Tukey’s post-test). 

We also examined the effect of BTA-EG6 and BTA-EG4 on semen-mediated enhancement of HIV-1 

infection (Fig. 5). Since human semen can be toxic if added directly at high concentration to cultured cells 

(25), we followed an established protocol to minimize this toxicity (11, 15) (see Fig 5 legend). 

Figure 5: BTA-EG6 inhibits semen-mediated enhancement of HIV infection 

A B

LEGEND: (A) HIV-1IIIB virions were preincubated with 50% pooled human 

semen, +/- increasing concentrations of BTA-EG6 (5.5, 11 and 22.5 μg/mL). 

After 10 minutes these stocks were diluted 15 fold into CEM M7 cells. Cells 

were washed after 1 hr and luciferase expression was measured at 48 hrs to 

quantify the extent of infection. Results shown are average values +/- SD of 

triplicate measurements from one of 3 independent experiments that yielded 

equivalent results. ***: indicates p<0.001 compared to control cells exposed to 

HIV-1IIIB + semen alone (gray shaded bar), by ANOVA with Tukey’s post-test. 

(B) Cells were treated as above, but with HIV-1ADA and a 50% concentration of 

an individual semen sample. *: p<0.05, **: p<0.01, ***: p<0.001 compared to 

control cells exposed to HIV-1ADA + semen alone; ANOVA w. Tukey’s post-test.

As shown in Fig. 5A, BTAEG6 efficiently inhibited the 

semen mediated enhancement 

of HIV-1 infection, at similar 

concentrations to those active 

against SEVI alone. Fig 5B

shows that this effect extended 

to infection with an R5 virus, 

HIVADA, as well. Similar results 

were obtained with BTA-EG4

(not shown, for reasons of 

space).

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Research Strategy Page 92
 
Collectively, our data show that the novel amyloid-binding small molecules BTA-EG6 and BTA-EG4: 

(1) Inhibit SEVI- (Fig 2-4) and semen- (Fig 5) mediated enhancement of HIV-1 infection by X4 and R5 

viruses, in both cell lines and primary PBMC. 

(2) Inhibit SEVI-mediated enhancement of HIV-1 infection with an IC50 of 13 μM for BTA-EG6 (Fig. 3) 

and of 9 μM for BTA-EG4 (not shown). 

(3) Are non-toxic and non-inflammatory to human cervicovaginal epithelial cells - including A2En cells, 

which are an immortalized line derived from primary endocervical tissue (26, 27), as well as SiHa 

cervical carcinoma cells (28). Data are not shown for reasons of space, but BTA-EG6 was non-toxic 

at concentrations up to at least 66 μM (i.e., 10x the IC50). This therapeutic index (>10) is above the 

threshold necessary to warrant in-depth followup analysis of candidate topical microbicides (29). 

APPROACH: R21 PHASE 

AIM 1: To test whether novel amyloid-binding small molecules inhibit semen-mediated 

enhancement of HIV infection. 

Overview: We propose to explore a novel, innovative approach to HIV-1 microbicide development, by 

using novel amyloid binding small molecules to selectively target SEVI (Fig. 1). The feasibility of this approach 

has been established using two amyloid-binding small molecules which contain “shielding” oligo-ethylene glycol 

(EG) moieities: BTA-EG4 and –EG6. These agents potently inhibit SEVI- and semen-mediated enhancement 

of HIV infection. In Aim 1, we will generate novel derivatives of these and other amyloid-binding molecules, 

including oligovalent molecules that are expected to possess increased SEVI binding affinity. We will then 

measure their binding affinity for SEVI, and we will assess their ability to inhibit SEVI- and semen- mediated 

enhancement of HIV infection using a panel of R5 virus strains, including variants associated with heterosexual 

virus transmission and multidrug-resistant virus. 

Aim 1A: Generation of novel amyloid-binding molecules, including derivatives of BTA-EG6 & BTA-EG4. 

Overview: Dr. Yang has developed additional, biocompatible amyloid-binding molecules that will be 

evaluated for that activity against SEVI. He has also developed methods for the synthesis of oligomeric 

analogs of BTA-EG4 and BTA-EG6, which we will also test. We anticipate that these oligovalent analogs of 

BTA-EGx will show improved efficacy for inhibiting SEVI-mediated enhancement of HIV infection due to their 

increased affinity for SEVI and increased size compared to monovalent BTA analogs. 

Approach: The Yang lab will supply BTA-EG4 and BTA-EG6 over the course of the project period. The 

Yang lab has already been able to synthesize BTA-EG4 on the multi gram-scale and will perform a large-scale 

preparation of BTA-EG6 using an analogous procedure. BTA-EG6 exhibits in vitro all of the promising beneficial 

properties as BTA-EG4 as a drug candidate (see preliminary studies; (23)), but has an additional potential 

advantage in that it is significantly more soluble in aqueous solutions than BTA-EG4. 

To assess whether other classes of amyloid-targeting molecules affect SEVI-mediated infection of HIV, we 

will also evaluate two additional amyloid-targeting candidates (ANCA-11 and CA-140) recently developed in the 

Yang lab (Fig. 6). These molecules were developed through rational design based on a molecular rotor motif 

(30) or through structure-binding optimization using a screening assay developed in the Yang lab (31). Briefly, 

both molecules exhibit: 1) drug-like properties, 2) solubility in aqueous solutions at > 1 mg/mL, 3) no significant 

toxicity to SH-SY5Y cells at up to 100 μM, and 4) low micromolar affinity for aggregated Aβ peptides (30). 

ANCA-11 and CA-140 associate with aggregated amyloid deposits in brain sections and also stain PrP (prion) 

deposits in brain sections (not shown), suggesting that they may bind effectively to many different types of 

amyloid fibrils - including SEVI. The Yang lab has synthesized both of these molecules in > 400 mg quantities. 

Figure 6. Structures of novel amyloid-binding 

molecules

LEGEND. Structures of proprietary amyloid-targeting agents 

ANCA-11 and CA-140 developed in the Yang lab. 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Research Strategy Page 93
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Oligomeric derivatives of BTA-EG6 and BTA-EG4 will also be produced and tested in the R21 phase. Fig. 7

outlines the structures and syntheses of a monomer (CC-1), dimer (CC-2), and trimer (CC-3) of BTA-EG4. 

Figure 7. Scheme for the synthesis of oligomeric 

analogs of BTA-EG4. 

Figure 8. Proposed oligomeric analogs of BTA with a 

rigid scaffold.

LEGEND: 6-methyl benzothiazole aniline (6-Me-BTA) was purchased from City Chemical, West Haven, CT. 

Amino-dPEG-acid was from Quanta Biodesign, Powell, OH. All other chemicals were from Sigma-Aldrich. All final 

compounds were characterized by NMR and MS and determined to be > 95% pure. All yields shown are isolated yield.

FIG 7:

The binding constant (Kd) of CC-1, CC-2, and CC-3 to aggregated Alzheimer’s Aβ(1-42) peptides was 

measured using a fluorescence binding assay (31) and found to be 26, 18 and 2 nM, respectively. These 

results show that (i) identification of small molecules with low nanomolar binding affinity for amyloid 

fibrils is feasible (which has implications for new SEVI-binding molecules) and (ii) that simple trimerization 

can result in a >10-fold improvement in amyloid binding-affinity. Since larger oligomers may exhibit even 

greater affinity, Dr. Yang will also synthesize a second class of multivalent agents, where the BTA moieties will 

extend from a rigid scaffold. Here, a synthetic strategy first reported by Hamilton (32) will be used to synthesize 

discrete oligomers of BTA-EGx (examples of dimers & trimers are shown in Fig. 8).

Expected results, potential pitfalls and solutions: We do not anticipate any significant difficulties with 

compound synthesis. Should some of our novel compounds be colored, we will employ a differential standard 

for advancing active compounds on the basis of color, as previously explained by (29) (Fig. 11). 

Aim 1B: Measurement of SEVI-binding by novel amyloid-binding compounds. 

Overview: We will assess whether our novel compounds bind SEVI using a fluorescence polarization (FP) 

assay, and then measure the binding affinity for SEVI using a fluorescence binding assay (31). 

QC of SEVI fibrils (applies to all Aims): A single large batch of PAP[248-286] peptide will be purchased 

and fibrillized as described (Fig. 9). Fibril formation will be confirmed by ThioT staining, and verified a 

physical method (TEM or AFM; UR Core Facilities). All peptides and fibrils will also be tested for LPS by the 

Limulus amebocyte lysate (LAL) assay, and discarded if positive. Finally, SEVI will be generated from 

disaggregated peptide stocks to remove preformed aggregates or seeds that can alter self-assembly (33).

Approach: To assess SEVI-binding by our novel compounds, we will use a fluorescence polarization (FP) 

assay. To do this, test compounds will be added to SEVI fibrils that have been preincubated with FITCheparin, a known SEVI binder (13). This FP assay has already been used to validate that BTA-EG6 binds SEVI 

in a dose dependent fashion (Fig. 10), and can be readily adapted to a high-throughput format. After initial FP 

assays, we will determine the SEVI binding affinity for our compounds using a fluorescence binding assay (31). 

Expected results, potential pitfalls & solutions: We do not expect major problems, since the assays are 

developed and validated. Based on the binding affinities of oligomeric derivatives of BTA-EGx for Aß 

aggregates, we expect that their affinity for SEVI will be 1 μM or less (i.e., at least 10-fold better than 

monomeric compounds). 

Research Strategy Page 94
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Figure 9: Kinetics of SEVI formation and EM visualization of fibril morphology 

A

LEGEND: (A) HPLC purified PAP[248-286] peptide (10 mg/ml in PBS) was agitated at 1400RPM while incubating at 

37o

C. Samples were collected at 0, 24, 48, 72 hrs and subjected to Thioflavin T (ThioT) analysis. RFU values reported 

represent measured RFU values minus background (RFU for PBS alone with no added peptide). (B, C) EM images of 

SEVI fibrils produced in (A) are shown. Numbers represent the length of the scale bars (shown in white).

Figure 10: Fluorescence polarization analysis reveals binding of BTA-EG6 to SEVI fibrils 

LEGEND: 100 μg/mL of SEVI was mixed with 16 μg/mL FITC-Heparin in 

varying concentrations of BTA-EG6 ranging from 0 to 200 μg/mL. 

Samples were incubated 1 hr at RT and polarized fluorescence 

intensities were measured. Decreased mP units indicate a displacement 

of FITC-heparin from SEVI fibrils due to BTA-EG6 binding. 

Aim 1C: Assessment of the ability of novel amyloid-binding compounds to inhibit SEVI- and semenmediated enhancement of HIV-1 infection. 

Overview: We will assess the ability of our novel compounds to inhibit SEVI- and semen- mediated 

enhancement of HIV infection using X4 and R5 virus strains, including variants associated with heterosexual 

virus transmission and multidrug resistant virus. We will also determine the IC50 for our compounds. 

Approach: Microbicides that target SEVI require a different screening algorithm than “conventional” 

microbicides, because they do not target the virus itself, and also because SEVI has no documented activity in 

cell-associated HIV-1 transmission assays. Our screening algorithm for the R21 phase is shown in Fig. 11; it is 

adapted from in vitro screening algorithm for “conventional” microbicide development (29). 

Figure 11: Efficacy and toxicity screening algorithm for novel amyloid-binding compounds (R21 phase) 

Primary efficacy assays (cell infection/CEM-M7): 

1. Cell-free HIV-1 infection with SEVI (CEM-M7 target cells). Assessment of the ability of novel 

compounds to inhibit SEVI-mediated enhancement of R5 HIV-1 (HIV-1ADA) infection in CEM-M7 cells. 

See Fig. 3 for methods. Because of its simplicity and low cost, this assay will be used as the principle 

initial screen for compound efficacy. Only a subset of compounds will be progressed from this assay to 

followup assays, since otherwise the potential burden of work may become overwhelming.

2. Cell-free HIV-1 infection with pooled human semen (CEM-M7 target cells). Assessment of the ability of 

novel compounds to inhibit semen-mediated enhancement of HIV-1ADA infection in CEM-M7 cells. See 

Research Strategy Page 95
 
Fig. 5 for methods. Since several candidate microbicides have shown reduced activity in the presence 

of semen (9, 34), this assay will be used as the second major triage point for test molecules. 

3. IC50 determination. Serial 2-fold compound dilutions spanning the active concentration will be used to 

determine the IC50 for blockade of SEVI-mediated enhancement of HIV-1 infection in CEM-M7 cells. For 

compounds with promising initial TI values (> 10), we will also determine the IC50 for blockade of 

semen-mediated enhancement of HIV-1 infection in CEM-M7 cells. This will not, however, be done on 

a routine basis since supplies of semen are limiting, and insufficient for routine IC50 assays. 

 Note: For assays #1, 2, at least 6 half log10 compound dilutions will be tested, in triplicate (29). 

Secondary efficacy assays (cell infection/PBMC): Compounds will be progressed to secondary efficacy 

assays only if they have a therapeutic index (TI) of >10 (for non-colored compounds) or >50 (for colored 

compounds) (29). PBMC assays will be performed using cells from at least 2 donors to ensure reproducibility: 

1. Cell-free HIV-1 infection with SEVI (PBMC target cells). Assessment of the ability of novel compounds 

to inhibit SEVI-mediated enhancement of R5 HIV-1 (HIV-1BaL) infection in PBMC. Method: see Fig. 4. 

2. Cell-free HIV-1 infection with pooled human semen (PBMC targets). Assessment of the ability of novel 

compounds to inhibit semen-mediated enhancement of HIV-1BaL infection in PBMC. Method: Fig. 5. 

3. Clade panel testing (transmitted strains, resistant virus). Assessment of the ability of compounds to 

inhibit SEVI-mediated enhancement of HIV-1 infection by: (A) 2 transmitted HIV-1 infectious molecular 

clones (AIDS Reagent Repository [ARR] #11919) (35, 36), (B) 2 R5-using clade A and C viruses 

(ARR), and (C) a multi-drug resistant virus (ARR; HIV-1 AD.MDR01 #11700) (37, 38). Method: Fig. 4. 

 Note: For assays #1, 2, at least 6 half log10 compound dilutions will be tested, in triplicate (29). 

Expected results, potential pitfalls and solutions: BTA-EG6 has a TI >10 and possesses activity in both 

primary and secondary efficacy assays, as well as in the presence of semen. We anticipate that oligomeric 

derivatives of this and related molecules will have considerably improved potency (by at least 10-fold or more, 

based on expected gains in SEVI-binding affinity). Thus, we anticipate that multiple compounds will show 

significant activity in secondary efficacy assays. The fact that BTA-EG6 inhibits SEVI-mediated enhancement 

of infection by multiple HIV-1 strains (Fig. 2-5) suggests that it is likely to be active against multiple clades. 

AIM 2: To examine the interaction between novel amyloid-binding small molecules and cells 

from the female reproductive tract. 

Overview: Toxicity of candidate microbicides to cells of the female reproductive tract has been associated 

with an increased risk of HIV-1 transmission (1, 4, 39). In Aim 2A, we will assess the toxicity of our small 

molecules for human cervicovaginal epithelial cells (HCEC). In Aim 2B, we will perform efficacy assessments 

using HCEC. First, we will test whether our small molecules can inhibit (i) SEVI-enhanced binding of HIV-1 

virus particles to HCEC, and (ii) SEVI-enhanced trans-infection of PBMC by HCEC exposed to HIV-1 virions. 

Finally, since binding of HIV-1 virions to HCEC elicits the release of pro-inflammatory chemokines that may 

recruit CD4+ target cells to the initial site of virus infection, we will test whether our small molecules inhibit 

SEVI-mediated enhancement of HIV-1 induced chemokine release by HCEC. 

Aim 2A: Assessment of toxicity of novel amyloid-binding small molecules to cells from the female 

reproductive tract: We will assess the toxicity of our small molecules in A2En cells, which are an immortalized 

line derived from primary endocervical tissue (26, 27), as well as SiHa cervical carcinoma cells (28). 

Primary toxicity assays (HCEC): Nonoxynol-9 (0.1% final) will be used as a positive toxicity control (40). 

1. Resazurin cytotoxicity assay (alamarBlue®) in A2En and SiHa cells. 

2. Cytotox-Glo cytotoxicity assay (Promega) in A2En and SiHa cells. For assays #1 & #2, at least 6 half 

log10 compound dilutions will be tested, in triplicate (29), and the TC50 will be calculated.

3. Determination of therapeutic index (TI). Compounds will be progressed to secondary efficacy assays 

(Aim 2B) only if TI >10 (for non-colored compounds) or >50 (for colored compounds) (29) (Fig. 11).

Expected results, potential pitfalls & solutions: BTA-EG6 has a TC50 of > 66 μM and a TI of >10. Oligomeric 

derivatives of BTA-EGx are expected to have improved efficacy but similar toxicity – leading to improved TIs. 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Research Strategy Page 96
 
Aim 2B: Assessment of efficacy of novel amyloid-binding small molecules in assays using cells 

from the female reproductive tract: We will perform efficacy assessments using A2En and SiHa cells. First, 

we will test whether our small molecules can inhibit (i) SEVI-enhanced binding of HIV-1 virus particles to A2En 

and SiHA cells, and (ii) SEVI-enhanced trans-infection of PBMC by A2En cells exposed to HIV-1 virions. 

Finally, since binding of HIV-1 virions to vaginal epithelial cells elicits the release of pro-inflammatory 

chemokines that may recruit CD4+ target cells to the site of virus infection (16), we will test whether our small 

molecules inhibit SEVI-mediated enhancement of HIV-1 induced chemokine release by A2En and SiHa cells. 

Secondary efficacy assays (HCEC): See Fig. 11. Assays will be as follows: 

(1) Cell-free HIV-1 binding with SEVI (A2En, SiHa target cells). Assessment of the ability of novel 

compounds to inhibit SEVI-mediated enhancement of R5 HIV-1 (HIV-1ADA) binding to A2En and SiHa 

cells. See Fig. 12A for methods and preliminary results using BTA-EG6. 

(2) Trans-infection assay with SEVI and PBMC. Assessment of the ability of novel compounds to inhibit 

SEVI-mediated enhancement of R5 HIV-1 (HIV-1ADA) trans-infection of PBMC by virus-exposed A2En 

cells. A2En cells will be exposed to cell-free HIV-1ADA plus SEVI, in the presence or absence of test 

compounds, as outlined in Fig. 12A. After extensive washing, the cells will be cocultured with PHA/IL-2 

stimulated PBMC, and virus production will be measured using p24 Gag ELISA assay 4 days later (Fig. 

5). This experiment will be repeated using PBMC from at least 2 different donors. 

(3) Chemokine induction by cell-free HIV-1 with SEVI (A2En, SiHa target cells). Assessment of the ability 

of novel compounds to inhibit SEVI-mediated enhancement of R5 HIV-1 (HIV-1ADA) induced chemokine 

release (IL-8 & CCL20/MIP3α; (16)). See Fig. 12B for methods and preliminary results using BTA-EG6. 

All assays: at least 6 half log10 compound dilutions will be tested, in triplicate (29)

Fig 12: BTA-EG6 inhibits SEVI-enhanced binding of R5 HIV-1 to A2En cells and IL-8 release 

A B LEGEND: (A) HIV-1 ADA virions (60 ng/mL HIV-1 p24) 

were pretreated with 10 μg/mL SEVI and added to 

A2En cells +/- 22.5 μg/mL BTA-EG6. After 90 min., cells 

were washed to remove unbound virus and bound 

virions were detected using a p24 ELISA. Results 

shown are average values +/- SD of triplicate 

measurements (p = <0.05 for cells treated with SEVI 

plus 22.5 μg/mL of BTA-EG6 versus cells treated with 

SEVI alone; ANOVA with Tukey’s post-test).

(B) A2En cells were treated with HIV-1BaL and 15 μg/mL 

SEVI +/- BTA-EG6 (5.5, 11 and 22.5 μg/mL). At 24 hrs 

supernatants were analyzed by ELISA for levels of IL-8. 

(*: p <0.05 or ***: p <0.001 for cells treated with SEVI 

plus 11 or 22.5 μg/mL of BTA-EG6 versus cells treated 

with SEVI alone; ANOVA with Tukey’s post-test).

Expected results, potential pitfalls and solutions: BTA-EG6 has generated positive preliminary data in 2 of 

the 3 proposed secondary efficacy assays in A2En cells (Fig. 12). We anticipate that it will also inhibit SEVIenhanced trans-infection of PBMC by virus-exposed A2En cells, since it strongly enhances HIV-1 binding to 

these cells (Fig. 12A). Other expectations are outlined under Aim 2A. 

APPROACH: R33 PHASE 

Overview: If specific milestones are met, the R33 phase will further develop the candidate microbicides 

identified in the R21 phase. To do this, we will employ a new development paradigm, distinct from that applied 

to traditional microbicides that directly target the virus. The focus of the R33 phase will be on generating 

efficacy data using translationally relevant in vitro and ex vivo models, and on “de-risking” our novel inhibitors 

using a panel of rigorous toxicity assessments – culminating in the evaluation of the most promising compound 

in the rabbit vaginal irritation (RVI) model. The goal of these studies is not to obtain definitive IND-enabling 

data, but rather to rigorously assess the potential toxicity of our lead molecules in order to determine whether 

they merit progression to future studies at the end of the R33 phase. 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Research Strategy Page 97
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

AIM 3: To improve the efficacy of first generation compounds identified in the R21 phase. 

Overview: In Aim 3A, we will synthesize improved 2nd generation 

compounds by using structure-activity relationship (SAR) data to 

refine chemical compositions. We will then assess the efficacy and 

toxicity of these molecules using assays delineated in the R21 phase. 

The most promising molecules will be selected for progression to 

specialized R33 assays (Fig 14). First, we will test their activity in a 

pH transition assay as well as their physicochemical stability in 

seminal plasma, artificial vaginal fluid (42) and the Universal Placebo 

gel, hydroxyethyl cellulose (43). In Aim 3B, we will assess the efficacy 

of the most promising compounds in a cervical explant model for HIV1 infection. Finally, in Aim 3C, we will test whether our lead 

molecules have a synergistic or additive effect on the ability of other 

microbicides to inhibit HIV-1 infection in the presence of semen.

Figure 14: Specialized R33 Assays

Aim 3A: Generation and evaluation of improved, second-generation SEVI inhibitors: We will 

synthesize improved 2nd generation compounds by using structure-activity relationship (SAR) data to refine 

chemical compositions. We will then evaluate their efficacy and toxicity using the R21 phase testing 

algorithm (Fig. 11), prior to assessing their physicochemical stability in key fluids/materials (SP, SVF, HEC). 

3A1: Synthesis of proposed analogs of BTA-EGx: We will synthesize novel analogs of BTA-EGx (Fig. 

13) so as to evaluate whether small structural variations (by themselves or in combination) in three different 

sections of the BTA-EGx chemical framework can improve solubility, efficacy, and biocompatibility compared to 

BTA-EG4 or BTA-EG6. Specifically, these analogs will probe whether steric, electronic, or hydrophobic effects 

of substituents incorporated on the perimeter of the core chemical framework of the BTA structure results in 

improved chemical properties as a microbicide candidate. Fig. 13 outlines a proposed general scheme for the 

synthesis of analogs of BTA-EG4 based on commercially available precursors and on previously reported 

chemical transformations (44-46). This synthetic strategy can provide access to ~900 analogs of BTAEGx. These analogs will initially be tested and compared to BTA-EG4 or BTA-EG6 for their solubility in aqueous 

solutions, their toxicity in cells, their biocompatibility with respect to Lipinski’s rule of five, and their binding to 

SEVI. Novel analogs that show improved chemical/bioactive properties compared to BTA-EG4 or BTA-EG6 will 

be selected for further testing. Potential pitfalls and solutions: 

3A2: Initial efficacy and toxicity analysis of novel BTA-EGx analogs. We will evaluate the efficacy 

and toxicity of our 2nd generation BTA-EGx analogs using the algorithm in Fig. 11 (see Aim 1, 2 for methods).

Research Strategy Page 98
 
Progression criteria: Compounds will be selected for progression to specialized assays (Aims 3A3 and 

beyond) if their TI is > 100 (non-colored compounds) or > 500 (colored compounds) and if they show submicromolar activity against semen-mediated enhancement of virus infection in CEM-M7 cells and PBMC. 

Since the specialized assays are time- and resource- intensive, no more than 3-4 compounds will be 

progressed per year based on relative ranking of TI values and IC50 in primary cell-based assays.

3A3: Activity in a pH transition assay. The pH transition assay mimics the pH change that occurs 

during sexual intercourse when semen (pH ~7.7) mixes with vaginal fluid (pH ~4), and will be adapted from a 

method described by Lackman-Smith et al (29). Compounds will be briefly incubated in assay medium at pH 4 

with target cells (A2En, representing the vaginal tract). Cell-free HIV-1 (R5 virus) will be incubated with 50% 

semen (pH ~7.7, representing the ejaculate), and diluted 1:15 in target cell medium - resulting in neutral pH. 

After incubation for 1 hr, cells will be extensively washed and PBMC added to perform a trans-infection assay 

(see Aim 2B); an aliquot of A2En cells will also be collected for direct analysis of cell bound HIV-1 p24 antigen 

(Fig. 12A). Note: the effect of low pH on cell viability is minimal due to the short duration of the exposure (29). 

3A4: Analysis of the physicochemical stability of novel BTA-EGx analogs in relevant fluids. The

physicochemical stability of the most promising compounds will be assessed by HPLC and/or MS (URMC 

Proteomics Core) in (i) seminal plasma, (ii) simulated vaginal fluid at pH 4 (42, 49, 50), and (iii) HEC (43). 

Compounds will be incubated in these fluids for 0-24 hrs, at 37o

C, with sampling every 2-4 hrs. 

Expected results, potential pitfalls & solutions (3A3, 3A4): Compounds are expected to be stable and active 

in the pH transition assay. If not, we will modify the BTA-EGx chemical framework (see Aim 3A1). 

Aim 3B: Efficacy assessment in a cervical explant model: We will evaluate the efficacy of the most 

promising compounds using a human cervical explant model, with advice from Dr. Dezzutti (39, 51-53). 

Recognizing that the field may advance before the R33 phase starts, we plan to use an unstimulated cervical 

explant (CE) model described by Lackman-Smith et al (29). A recent comparison of explant assays revealed 

that this and similar CE models yielded more consistent IC50 values for PRO 2000 than other models (52). 

The assay is published (29). Briefly, normal ectocervical tissue will be obtained from the National Disease 

Research Interchange (NDRI; Philadelphia, PA). Tissue punches will then be generated, and used to test each 

compound’s efficacy at 4 concentrations with 4 replicates. Infection will be performed with HIV-1BaL in the 

presence or absence of SEVI (15 μg/ml) and test compounds. Virus replication will be measured by HIV-1 Gag 

p24 ELISA over 14-18 days and the IC50 determined at the assay soft endpoint (SOFT) (52); all compounds will 

be tested in tissue from 2 donors and tenofovir will serve as a positive control (29). 

Expected results, potential pitfalls and solutions: We do not yet know whether SEVI enhances HIV-1 

infection in a CE model, although this seems very likely in light of its strong enhancing effect on HIV-1BaL

infection of PBMC (Fig. 4). If problems are encountered, we will test polarized, stimulated cervical explants. If 

problems persist, we will focus on other efficacy assessments (Aims 1, 2) and on toxicity evaluations (Fig. 14).

Aim 3C: Combination drug assays: We will assess whether our lead molecules have a synergistic or 

additive effect on the ability of other candidate microbicides to inhibit HIV-1 infection in the presence of 

semen. These studies will focus on examples of different classes of candidate microbicides – notably, 

glycerol monolaurate (Monomuls 90-L12; Cognis (16)), griffithsin (ARR #11610; (54, 55)) and tenofovir (ARR 

#10199). Combination drug assays will be performed in CEM-M7 and PBMC-based assays of semenenhanced virus infection (Aim 1), and results evaluated as described by Lackman-Smith et al. (29). Two-drug 

combination assays will be set up in which 8 concentrations of the test BTA-EGx compound will be evaluated 

in all possible combinations with 5 concentrations of the microbicides identified above. Each drug will also 

be tested alone. Data analysis will be conducted using MacSynergy II \(56, 57), to test if the combination is 

antagonistic, additive, or synergistic; stavudine + ribavirin will be used as an antagonism control (29). 

Expected results, potential pitfalls and solutions: SEVI inhibitors have a different mechanism of action than 

conventional microbicides and are thus expected to have an additive or synergistic effect when used in 

combination with such agents. If this is not observed, we will test whether modifications of the BTA-EGx

chemical framework improve drug-drug interactions, and we will also test derivatives of ANCA-11 and CA-140.

AIM 4: To assess the toxicity and inflammatory effects of lead molecules. 

Overview: We will assess the toxicity and inflammatory effects of the most promising candidate molecules, 

both in PBS and as a simple admixture in HEC. The following parameters will be measured: (i) toxicity to 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Research Strategy Page 99
 
beneficial Lactobacillus species; (ii) effect on epithelial monolayer integrity; (iii) toxicity and inflammatory effects 

on human cervical explant tissue. Finally, the R33 phase will culminate with an evaluation of the most 

promising compound in the rabbit vaginal irritation (RVI) model. 

Aim 4A: Toxicity to beneficial Lactobacillus species: The effect of candidate compounds on

Lactobacillus crispatus and L. jensenii will be assessed by incubation of organisms in Lactobacillus MRS broth 

in the presence of test compounds for 24 hrs (6 half log10 dilutions will be used, in triplicate, and penicillinstreptomycin will be used as a positive control for toxicity) (29). Expected results, potential pitfalls & solutions: 

We do not anticipate toxicity to Lactobacilli. If toxicity occurs, we will test modifications of the BTA-EGx

chemical framework and/or derivatives of ANCA-11, CA-140.

Aim 4B: Effect on epithelial monolayer integrity: Effects on the integrity of HEC-1-A and Caco-2 cell 

monolayers will be assessed using methods described by our advisor, Dr. Dezzutti (51). Briefly, cells will be 

grown on transwell supports until confluent, and a polarized monolayer has developed. A non-toxic dose of 

the test compounds will then be added to the apical surface of the monolayer, and electrical resistance will 

be measured using a MilliCell-ERS resistance system (Millipore, Billerica, MA). N9 will be used as a positive 

control for disruption of monolayer integrity (51), and the isomolar Universal Placebo (HEC) will be used as a 

negative control. Expected results, potential pitfalls & solutions: See Aim 4A. 

Aim 4C: Toxicity and inflammatory effects on human cervical explants: Toxicity to human cervical 

explants (see Aim 3; (29)) will be assessed by MTT assay after incubation with test compounds for 18-24 hrs. 

Two to 4 half log10 dilutions of each compound will be used, in triplicate, and N9 will be used as a positive 

toxicity control; results will repeated using tissue from at least 2 donors (29). We will also assess production of 

a limited set of pro-inflammatory cytokines and chemokines, including IL-1ß, IL-6, TNFα, MCP-1/CCL2, 

MIP3α/CCL20 and IL-8 (58). To do this, culture supernatants will be analyzed using the Luminex assay 

platform (URMC Human Immunology Center). Expected results, potential pitfalls & solutions: See Aim 4A. 

Aim 4D: Evaluation in the rabbit vaginal irritation (RVI) model: The most promising lead molecule will 

be tested in the RVI model (59). We will select this compound on the basis of (i) the relative ranking of TI and 

IC50 values, (ii) stability in HEC and biofluids (Aim 3A3), (iii) efficacy in the explant infection model (Aim 3B) 

and (iv) a lack of toxicity in Aims 4A thru 4C. For the RVI toxicity assessment, the following groups will be 

used: [1] HEC alone (control), [2-4] HEC plus test compound at 3 escalating dose levels, intended to 

represent 5x, 25x and 100x the IC50 in the explant infection model (Aim 3B), [5] N9 gel (4%; Conceptrol, 

Ortho-McNeil). 27 animals will be used for this study (n=6 for all groups, except for the N9 group [n=3]; see 

Vertebrate Animals for a discussion of group sizes). Outcomes will be measured as described (59, 60) 

after completion of the 14-day intravaginal delivery; very briefly, tissue sections will be assessed for epithelial 

cell damage, immune cell infiltration, edema and vascular congestion on a semiquantitative scoring system 

(59). Expected results, potential pitfalls & solutions: Our selection criteria (above) should ensure that our lead 

compound is non-toxic in Aim 4D. The goal of the RVI study will be to identify a non-irritating (maximum 

tolerated) dose and to “de-risk” our novel strategy prior to future studies (after the end of this R21/R33).

Statistical Considerations, Timeline & Interactions Between Participating Sites 

Statistics: Comparisons between treatment groups are generally performed by one-way analysis of 

variation (ANOVA), followed by Tukey’s post-test, using GraphPad PRISM software. Single statistical 

comparisons of a treatment group versus its control group (when necessary) are generally performed using 

a two-tailed Student's t test. Comparison of more than two factors (e.g. different treatments and time 

courses or dose variations) will be made using 2-way ANOVA followed by Tukey’s post-test. If data are not 

normally distributed, non-parametric tests (Kruskal-Wallis or Mann-Whitney U test) will be used. All data will 

be analyzed in consultation with Dr. Feng, our Biostatistical coinvestigator. Significance will be taken at 

p<0.05. Group sizes for in vivo studies are discussed in the Vertebrate Animals section. 

Timeline: 

 R21 Phase: Year 1: Aim 1 and Aim 2 (initiation); Year 2: Completion of Aims 1 & 2 

 R33 Phase: Year 3: Aim 3 (initiation); Year 4: Aim 3 (continuation; cervical explant and drug 

combination studies), Aim 4 (initiation); Year 5: completion of all Aims 3 & 4 (including RVI testing) 

Interactions between participating sites:

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Research Strategy Page 100
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

 R21 Phase: Weekly internal project meetings will be held at the UR and UCSD sites, with weekly 

exchange of data via the secure UR SharePoint site. We will also hold monthly meetings between 

the UR and UCSD research teams by tele/video conference, with an annual full day program team 

meeting to be held once a year in Rochester. 

 R33 Phase: As for the R21 phase, except that we will also include the site. Monthly 

meetings will include all 3 participating sites, as will the annual full day program team meeting. 

MILESTONES FOR THE R21 AND R33 PHASES 

R21 milestones: Milestone decisions will be made following discussion with NIH Program Staff (Dr. Turpin) 

and with our R21 phase consultants (Drs. Dezzutti and ). Proposed milestones are: 

Milestone #1: Chemical synthesis of >1 molecule(s) with submicromolar affinity for SEVI. 

 Rationale: The binding affinity of BTA-EG6 for SEVI is 8 μM. While the compound has a TI of >10, this 

affinity is suboptimal and must be improved if we are to enter the R33 phase with a high likelihood of 

achieving clinically useful and commercially viable levels of efficacy. 

Milestone #2: Identification of >1 molecule(s) with a therapeutic index (TI) > 50. 

The TI will be based on: (i) the IC50 for blockade of semen-mediated enhancement of HIV-1 infection in CEMM7 cells & (ii) the TC50 for A2En cervicovaginal epithelial cells. For colored compounds, TI will be > 250.

 Rationale: High potency is required for eventual development of a clinically useful product. We have 

selected a TI of > 50 to balance the need for high potency at the end of the R33 phase versus the need 

to avoid prematurely discarding our approach at an early stage of development. 

Milestone #3: Identification of >1 molecule(s) with submicromolar activity in primary cell-based assays. 

 Rationale: Activity in primary cell based assays is essential. Thus, the ability to inhibit semen-mediated 

enhancement of HIV-1 infection at submicromolar levels in either PBMC cultures or in A2En/PBMC 

cocultures (trans-infection model) will be required.

Milestone #4: Identification of >1 molecule(s) with submicromolar activity in clade panel testing. 

 Rationale: Activity against diverse strains is essential. The ability to inhibit SEVI-mediated enhancement 

of infection by diverse HIV-1 strains in PBMC (clades A, B, C, transmitted virus) will be required.

R33 milestones: The following milestones are proposed for determining success of the R33 phase: 

Milestone #5: Identification of >1 molecule(s) with additive or synergistic activity in drug combination testing. 

 Rationale: SEVI-binding molecules should be well suited for use in combination with “conventional” 

microbicides that possess a different mechanism of action. Additive or synergistic activity with 

“conventional” microbicides will therefore be required.

Milestone #6: Identification of >1 molecule(s) with minimal or undetectable toxicity in specialized assays. 

 Rationale: Lack of toxicity to beneficial Lactobacillus species, epithelial monolayer integrity and human 

cervical explants will be required. In addition, toxicity in the RVI model should be below the cutoff score 

(8) for acceptability in clinical trials. 

Milestone #7: Identification of >1 molecule(s) with TI > 1,000 and activity in the nanomolar range 

 Rationale: A viable lead candidate microbicide must have robust activity in order to be clinically useful. 

Future Directions: If the R33 phase is successful, compounds will be developed further via the NIH RAID 

program and SBIR or STTR mechanisms (in partnership with a small business company). Followup studies 

will include formulation studies, efficacy analysis in an animal model, production of a GMP batch of material 

and FDA-enabling safety/toxicity studies. Note that we have already filed intellectual property on the 

concepts outlined in this proposal, and that the PI has experience as President of a startup vaccine company 

(Codevax) which was recently awarded its first SBIR.

Research Strategy Page 101
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

8-11. HUMAN SUBJECTS 

8. Protection of Human Subjects

UNIVERSITY OF ROCHESTER SITE 

See extended description/discussion below. 

This site WILL conduct Human Subjects Research 

UNIVERSITY OF CALIFORNIA, SAN DIEGO

No human subjects. No human materials. 

Studies at the site will involve the collection of cervical tissue. This does NOT constitute 

human subjects research (45 CFR 46.102). This is because we will use deidentified, pre-existing 

samples. These materials will be as follows: 

➢ Cervical tissue obtained from the National Disease Research Interchange (NDRI, Philadelphia, 

PA) or from MatTek Corporation (Ashland, MA) with no patient identifiers. 

Explanation: The human materials will be obtained from 3rd party suppliers without identifying 

information on the subjects/source. As noted in the Federal regulation, the use of materials that have 

been collected for some other purpose by someone other than the investigator (e.g., a third party 

vendor), and which are not linked to the individual by any personal identifiers, does NOT meet the 

definition of research that involves human subjects (45 CFR 46.102). 

UNIVERSITY OF ROCHESTER (UR) SITE

Studies at the UR site will involve the collection of semen from human subjects. This 

constitutes human subjects research. Semen will be needed to perform many of the assays 

outlined in the proposal. See below. 

Additional materials that do not constitute human subjects research. 

Additional human materials will also be used in our experiments, but these other materials do not qualify as 

human subjects research (45 CFR 46.102). This is because we will use deidentified, pre-existing samples. 

These materials will include: 

 Cervical tissue obtained from the National Disease Research Interchange (NDRI, Philadelphia, 

PA) or from MatTek Corporation (Ashland, MA) 

 Human blood obtained from the American Red Cross or from Tennessee Blood Services 

(Memphis, TN) 

 Pre-existing human semen samples obtained from Fairfax CryoBank (Fairfax, VA) or from 

Tennessee Blood Services (Memphis, TN) 

Explanation: In all cases, the human materials will be obtained from 3rd party suppliers without identifying 

information on the subjects/source. As noted in the Federal regulation, the use of materials that have been 

collected for some other purpose by someone other than the investigator (e.g., a third party vendor), and 

which are not linked to the individual by any personal identifiers, does NOT meet the definition of 

research that involves human subjects

(http://www.hhs.gov/ohrp/humansubjects/guidance/45cfr46.htm#46.102).

Protection of Human Subjects Page 102
 
Human Subjects Research: Semen samples

In addition to obtaining semen samples from pre-existing sources (see above), we will also obtain semen 

samples on a prospective basis. There are several reasons why this is necessary. First, the prospective 

collection of semen samples will allow us control over sample provenance and storage, which is not 

possible with pre-existing samples. This will be important in ensuring the quality control of the semen used 

in this study. Second, our proposed assays require reasonably large amounts of semen – which will likely 

exceed the supply of pre-existing samples that are available to us for purchase through the Fairfax 

CryoBank.

Protection of Human Subjects

1. Risks to Human Subjects 

a. Human Subjects Involvement, Characteristics and Design 

As described in the research plan, one of the important aspects of the proposed project is to 

explore how candidate microbicides interact with semen and seminal plasma, and whether they can 

inhibit semen-mediated enhancement of HIV-1 infection. 

A total of 60 healthy volunteers will be recruited. Subjects enrolled will be male only (since we will 

be collecting sperm) over the age of 18 and below the age of 55. Samples from patients with 

known HIV infection will not be collected. Vulnerable populations such as children below the age of 

18, prisoners and institutionalized individuals will also not be enrolled. 

Catherine Bunce, RN, of the Infectious Diseases Division (IDD) of the University of Rochester’s 

Department of Medicine will enroll and consent the volunteers. A nominal fee will be provided to the 

volunteers to reimburse them for their time and effort. The cost of Ms. Bunce’s effort in this subject 

enrollment capacity will be covered by the Core services of University of Rochester Developmental 

Center for AIDS Research (DCFAR; NIH P30AI078498). 

b. Sources of Materials 

Subjects will be asked to donate semen samples for research purposes; it is expected that 0.5 to 5 

ml of ejaculate will be collected per donation. Ejaculate will be collected following manual 

stimulation in a private room at the UR Vaccine Trials Unit clinic, located onsite at the UR School of 

Medicine and Dentistry. Immediately after collection of the samples, we will add a protease inhibitor 

cocktail to the semen to prevent proteolytic degradation of the sample by proteases present in the 

semen. Samples may then either be used directly in experiments or frozen for future use. In some 

cases, samples may be collected without addition of the protease inhibitor cocktail (to confirm that 

addition of the protease inhibitor cocktail does not adversely affect downstream assay results using 

semen samples). 

Ms. Bunce will code each sample with a unique subject identifier prior to being sent to the Dewhurst 

laboratory. With the exception of Race and Ethnicity (in order to complete the annual IRB and NIH 

progress reports) no other medical information or data will be provided with the samples. 

HIPAA Authorization will be obtained during the consent process, as Protected Health Information 

(PHI) will be collected in this study. To enhance subject protection, all samples will be deidentified 

and assigned a unique code known only to Ms. Bunce, prior to being sent to the Dewhurst 

laboratory. Ms. Bunce will be the only individual who will have access to the study records and PHI, 

which will be secured in a locked filing cabinet in her locked office. Samples will be stored until the 

end of the study, unless a subject agrees in writing that their their sample(s) may be retained and 

used for future research. No samples will be sold nor used to develop a commercial product. 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Protection of Human Subjects Page 103
 
 

c. Potential Risks 

This study constitutes very minimal risks to the subjects. Breach of confidentiality may accidentally 

occur if Ms. Bunce’s office and file cabinet are breached. There is also some risk of personal 

embarassment associated with sample provision. 

2. Adequacy of Protection Against Risks 

a. Recruitment and Informed Consent 

Recruitment will be done by means of local advertisements and flyers. Although not specifically 

targeted, volunteers who respond will most likely be employees of the University of Rochester. 

The study, risks and benefits of participation will be presented to the donors by Ms. Bunce. 

Consent forms will be presented at the time of their evaluation visit. All subjects will be encouraged 

to read over the information and ask questions before signing the consent form. 

b. Protections Against Risk 

As noted above, no PHI will be provided with the samples, considerably reducing the risk to 

subjects’ privacy. While every effort will be made to protect the study records and any PHI they 

may contain, an unforeseen breach in confidentiality may occur if Ms. Bunce’s office and file cabinet 

are breached. Consequently, while the likelihood of such event occurring is extremely remote, 

complete confidentiality cannot be guaranteed to the subjects. 

 

3. Potential Benefits 

The immediate potential benefits to the subjects are nil, however most volunteers take pride in 

knowing that their involvement has a direct impact in increasing disease-related knowledge. 

4. Importance of Knowledge to be Gained 

The ultimate objective of this research relates to the development of a new topical microbicide for 

prevention of HIV-1 transmission. To do this, it is necessary to understand how candidate 

microbicides interact with human semen, and whether they inhibit semen-induced enhancement of 

HIV-1 infection. 

Risks to subjects are minimal. The most likely risk is breach of confidentiality, which will be 

mitigated by not providing any PHI with the samples. The importance of the knowledge to be 

gained is substantial. By studying how semen and seminal plasma affect the activity of candidate 

microbicides, we expect to be able to gain insights that improve the effectiveness of these agents. 

This will bring us closer to our ultimate of developing an effective topical microbicide for HIV/AIDS. 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Protection of Human Subjects Page 104
 
UR RSRB APPROVAL INFORMATION 

RSRB: RSRB00032146 Principal Investigator: Stephen Dewhurst 

Study Title: Characterization of Amyloid Fibrils in Semen 

 Initial Approval: 6/28/2010 ; Study Approval Expires: 6/27/2011 ; Length of Review: 1 year 

 Risk Level: - Minimal Risk - Adults only 

 Review Level: Expedited 

 Expedited Category:- 3 - non-invasive, prospective collection of biological specimens 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Protection of Human Subjects Page 105
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

From: "irb@urmc.rochester.edu" 

Subject: RSRB: Application Approval Notification

Date: June 29, 2010 8:10:16 AM EDT

To: "Dewhurst, Stephen" 

Reply-To: IRB <IRB@URMC.Rochester.edu>

Letter of Approval

RSRB: RSRB00032146 Principal Investigator: Stephen Dewhurst

Study Title: Characterization of Amyloid Fibrils in Semen

Initial Approval: 6/28/2010

Study Approval Expires: 6/27/2011

Length of Review: 1 year

Risk Level:

- Minimal Risk - Adults only

Review Level: Expedited

Expedited Category:

- 3 - non-invasive, prospective collection of biological specimens

This approval is contingent upon the investigation being conducted in compliance with the approved study protocol including all

requirements and/or determinations of the RSRB. Unless a Waiver of Consent is specified above, consent must be obtained and

documented in the manner approved by the RSRB. Please note all remarks and/or attachments. Only consent forms bearing a current

‘RSRB Approved’ Watermark may be used. Only the most recently approved version of any consent or recruitment document may be

used when obtaining consent. Consent forms/recruitment letters must be printed on department letterhead.

As the Principal Investigator, you are responsible for the following activities:

Timely submission of continuing review progress reports apply to RSRB at least 8 weeks before expiration. Federal Regulations

require that the RSRB conduct continuing review of research. You will receive an email notification when the expiration date is

approaching.

Requesting any proposed changes in the above research activity. All subject recruitment materials must be approved prior to

use. Changes may not be initiated without RSRB approval except when necessary to eliminate apparent immediate hazards to

the subject(s) and then a report must be submitted along with the amendment request

Maintaining all approved study documents in your study file

Maintaining signed consent forms for at least three years after the research is completed or for a longer term if required by FDA

regulations

Reporting any unexpected serious problems involving risks to subjects or others (including unexpected deaths, hospitalizations

or serious injuries) in accordance with the RSRB Adverse Event guidelines

Submitting a final progress report to the RSRB upon completion of this study

Jeanne Grace, RSRB Chair June 28, 2010

The Department of Health and Human Services has approved a Federalwide Assurance (FWA) with the University of Rochester (FWA9386), which is in effect

through September 27, 2010.

601 Elmwood Avenue, Box 315

Rochester, New York 14642

(585) 275-2398

Protection of Human Subjects Page 106
 
Inclusion of Women and Minorities

Women will not be included in this study because it seeks to collect semen. 

Due to the small number of volunteers needed, there will be no selected, targeted recruitment. We 

anticipate that the subject distribution will mirror the demographics of Monroe County, New York (where UR 

is located), which are listed below. See also the Targeted/Planned Enrollment Table 

Demographics of Monroe County, New York

Gender Females: 51.5%; Males: 48.5%

Race White 80.5%

Black 14.8%

American Indian/Alaska Native 0.3%

Asian 2.8%

Native Hawaiian and other Pacific Islander 0.1%

Ethnicity Persons of Hispanic or Latino origin: 6%

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Women &Minorities Page 107
 
TARGETED/PLANNED ENROLLMENT: Number of Subjects

Ethnic Category Sex/Gender

Females Males Total

Hispanic or Latino 10 10

Not Hispanic or Latino 50 50

Ethnic Category: Total of All Subjects * 60 60

Racial Categories

American Indian/Alaska Native

Asian 2 2

Native Hawaiian or Other Pacific Islander 1 1

Black or African American 15 15

White 42 42

Racial Categories: Total of All Subjects * 60 60

Targeted/Planned Enrollment Table

Study Title: Characterization of Amyloid Fibrils in Semen

Total Planned Enrollment: 60

* The “Ethnic Category: Total of All Subjects” must be equal to the “Racial Categories: Total of All Subjects.”

Note: The study involves collection of semen, so includes only males 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Planned Enrollment Table Page 108
 
Inclusion of Children

Individuals over the age of 18 are eligible to participate. Children below 18 have been excluded, along with 

individuals over the age of 55. Subjects above 55 years of age, or below 18 years of age will not be 

enrolled because the quality and composition of sperm varies with age, and also because the principle 

target population for our HIV prevention efforts will be adults in their peak years of sexual activity. 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Children Page 109
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

VERTEBRATE ANIMALS 

BIOHAZARDS 

Biohazards will be used at the UR and sites (ONLY) and will include the following: 

♦ Recombinant DNA: Plasmids containing HIV-1 gene sequences or proviral DNA will be 

propagated under BSL1 containment in E. coli. 

♦ Bacteria: Beneficial Lactobacillus species (Lactobacillus crispatus and L. jensenii) will be handled 

under BSL1 containment. 

♦ Tissue culture: Experiments that involve the use of infectious HIV-1 virus will be performed under 

BSL2 containment with BSL3 practises and procedures (i.e., so called “BSL2+” containment). 

Human biological fluids and primary cells will be handled under “universal precautions”. All 

personnel who work with biohazards will be required to undergo hands-on training by experienced 

laboratory members, prior to being permitted to handle infectious virus. The laboratories 

(Dewhurst at UR, will be registered with, and inspected by, the relevant

Institutional Biosafety Committee, and all personnel working with primary human cells will be 

offered the Hepatitis B virus (HBV) vaccine at no charge 

No biohazards will be used at the UCSD site. 

F. VERTEBRATE ANIMALS 

A response to the “5 points” required by the PHS398 application 

(http://grants.nih.gov/grants/funding/phs398/instructions2/phs398instructions.htm) follows: 

Animals will not be used in the R21 phase of this project, but will be used at (only) 

during the R33 phase (if funded). 

No animals will be used at the UR or UCSD sites, at any point in this project. 

1. PHS398: Provide a detailed description of the proposed use of the animals in the work outlined 

in the Research Design and Methods section. Identify the species, strains, ages, sex, and 

numbers of animals to be used in the proposed work: 

Response: Below. Also, see Experimental Design for additional information. 

(1) Description of Use Species/strain Age Sex N/Yr

Vaginal irritation analysis Rabbits (NZW) 10-20 wk F 27 total 

 (Yr 5 only)

2. PHS398: Justify the use of animals, the choice of species, and the numbers to be used. If 

animals are in short supply, costly, or to be used in large numbers, provide an additional 

rationale for their selection and numbers. 

Response: The FDA’s current guidance document for the development of novel topical 

microbicides stipulates that one must test all such candidates for their propensity to cause irritation to 

rabbit vaginal tissue (FDA document entitled: “Nonclinical Pharmacology/Toxicology Development of 

Topical Drugs Intended to Prevent the Transmission of Sexually Transmitted Diseases (STD) and/or for 

the Development of Drugs Intended to Act as Vaginal Contraceptives”). The reason for this is that the 

rabbit vaginal irritation (RVI) assay is considered the “gold standard” in evaluation of the tolerability and 

likely safety of candidate microbicides. While there has been considerable effort to develop in vitro

replacements for this assays, none has taken its place – due in large part to the complex interplay 

Vertebrate Animals Page 110
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

between sensitive vaginal epithelial tissue, circulating immune cells, and resident microbial flora. It is 

not possible to adequately model this assay using an in vitro system. 

Our experiments will use a small group size (n=6) that is standard in RVI studies (59, 60). The 

following groups will be used: [1] HEC alone (control), [2-4] HEC plus test compound at 3 escalating 

dose levels, intended to represent 5x, 25x and 100x the IC50, [5] N9 gel (4%; Conceptrol, OrthoMcNeil). 27 animals will be used for this study (n=6 for all groups, except for the N9 group [n=3]). 

Outcomes will be measured as described (59, 60) after completion of the 14-day intravaginal delivery; 

very briefly, tissue sections will assessed for epithelial cell damage, immune cell infiltration, edema and 

vascular congestion on a semiquantitative scoring system (59). 

It is important to emphasize that our novel microbicide candidates have not previously been 

evaluated in rabbits. Thus, it is not possible to derive a more robust sample/group size calculation at 

the present time. However, the initial rabbit experiments will allow us to gather key data that will inform 

the design of followup or repeat experiments, should such experiments become necessary. Should our 

initial data reveal a high degree of variation in outcome measures in individual animals, we will work 

with Dr. Feng (our biostatistical coinvestigator) to re-evaluate the sample size for the rabbit studies, 

and to arrive at a statistically robust group size. 

3. PHS398: Provide information on the veterinary care of the animals involved. 

Response: is fully accredited by the Association for the Assessment and 

Accreditation of Laboratory Animal Care International (AAALAC) and has a long history of providing 

state-of-the-art facilities and trained, experienced animal care and research personnel for clients 

involved in infectious disease investigations, cancer research, and a wide variety of other studies 

including those requiring Good Laboratory Practice (GLP) documentation and conditions. Three

veterinarians, who are certified or certification eligible as American College of Laboratory Animal 

Medicine diplomates, are available to provide health care for animals. , 

 ( subcontract PI) is the project manager for the Rabbit Vaginal Irritation Model 

at 

 holds an Animal Welfare Assurance with the Office of Laboratory Animal Welfare, NIH, 

PHS; the assurance number is . The USDA registration number is and the 

AAALAC file number is provided quotations and detailed descriptions of how the 

animal studies are performed and importantly, how the animals are cared for and handled in strict 

compliance with the Animal Welfare Act and the PHS Policy on Humane Care and Use of Laboratory 

Animals. 

4. PHS398: Describe the procedures for ensuring that discomfort, distress, pain, and injury will be 

limited to that which is unavoidable in the conduct of scientifically sound research. Describe the 

use of analgesic, anesthetic, and tranquilizing drugs and/or comfortable restraining devices, 

where appropriate, to minimize discomfort, distress, pain, and injury. 

Response: Sedation will be performed prior to vaginal administration of test agents to rabbits. This 

is necessary to prevent material for being dislodged prematurely from the vaginal cavity, and also 

because the animal must be held in a supine position for vaginal delivery of test agents. Sedation will 

be achieved either with a combination of droperidol/fentanyl solution (0.4 mg/ml + 20 mg/ml solution, 

delivered IM at a dosage of 0.125 - 0.3 ml/kg) or with acepromazine (a dose of 0.25 mg/kg - 0.75 mg/kg 

will be used, delivered IM). 

Detailed methods:

Vaginal delivery of test agents: Animals will be sedated and held in a supine position. One ml of 

test agent will then be delivered intravaginally using a sterilized stainless steel needle specifically 

designed for rabbits to depth of 6-8 cm for 14 consecutive days. On the 15th day, the animals will be 

Vertebrate Animals Page 111
 
humanely sacrificed and vaginal tissue samples collected for gross pathological and histopathological 

analysis of irritation. 

5. PHS398: Describe any method of euthanasia to be used and the reasons for its selection. State 

whether this method is consistent with the recommendations of the Panel on Euthanasia of the 

American Veterinary Medical Association. If not, present a justification for not following the 

recommendations. 

Response: All methods of euthanasia are performed in accordance with the 2000 Report of the 

AVMA Panel on Euthanasia and 2007 AVMA guidelines on euthanasia. The routine euthanasia 

method for rabbits is by intravenous injection of a sodium pentobarbital overdose and subsequent 

auscultation of the heart. Euthanasia may be performed: 1) as a result of study design (i.e. at a certain 

time point in the study), 2) as a result of the animal exhibiting study end-point criteria (as described in 

the ACUP), or 3) as a result of unexpected complications for which the veterinarian in consultation with 

the study director determines there is no cure or chance of recovery without the animal experiencing 

undue discomfort, pain, or distress. Additionally, if treatment/therapy is warranted, and it is determined 

that such treatment/therapy cannot be provided without adversely affecting the study, a decision to 

euthanize the animal will be made in consultation with the veterinarian and project manager. 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Vertebrate Animals Page 112
 
13. SELECT AGENT RESEARCH 

Select Agent Program: The UR has been and continues to be a registered entity with the CDC’s Select 

Agent Program since 2003. In addition to requiring Institutional Biosafety Committee (IBC) approval for 

the use of non-toxin select agents (i.e. regulated genetic material and pathogens), Principal 

Investigators are required to annually declare select agent toxin possession. IBC registration and the 

select agent toxin declaration serve to educate and remind Principal Investigators of these regulations 

and to ensure due diligence on the part of the University in maintaining regulatory compliance. 

Facilities compatible with use of select agents include a BSL3 containment laboratory with keycard-only 

and alarmed access (restricted to specified users), and containment equipment suitable for use with 

BSL3 respiratory pathogens. This laboratory has been inspected several times by the federal 

government including the CDC and is in compliance with the BSL3 requirements as outlined in the 

CDC/NIH “Biosafety in Microbiological and Biomedical Laboratories” and with the select agent 

requirements. Storage of select agents is very tightly controlled, using physical security measures. 

Agent inventories are maintained and are physically reconciled with stock on hand. The Select Agent 

Responsible Official/ Biosafety Officer reviews all security and biocontainment controls periodically. 

Laboratory personnel training records and select agent use approval (select agent registration 

information) are also carefully monitored and updated regularly. 

All faculty who work with select agents are registered with the IBC, and all scientists, technicians, 

students and others who propose to conduct research with select agents will be required to register 

with pertinent federal authorities and to prove evidence of approval to use the requested agent(s). 

Trainees will also receive necessary hands-on training (and training in appropriate record keeping) prior 

to initiating any experiments with select agents. 

The studies in this proposal do NOT involve select agents. Should this change in the future, 

information will be provided on the identity of the select agent to be used. Other information 

(institutional registration status and facilities descriptions are outlined above). 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Select Agent Research Page 113
 
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Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

 15: CONSORTIA/CONTRACTUAL ARRANGEMENTS

CONSORTIUM/CONTRACTUAL AGREEMENTS

Subcontract with the University of California, San Diego (for both the R21 and R33 phases):

In all years of the project (years 1-5, both R21 and R33 phases), a subcontract is included with 

University of California, San Diego (UCSD). This subcontract will support the development of novel 

amyloid-binding small molecules that will bind to SEVI and interfere with SEVI-mediated enhancement of 

HIV-1 infection. 

 A detailed budget is included with the application, and the two parties (UR, UCSD) are fully 

committed to the necessary contractual relationship. The appropriate programmatic and administrative 

personnel of each organization involved in this grant application are aware of the NIH consortium 

agreement policy and are prepared to establish the necessary inter-organizational agreement(s) consistent 

with that policy. 

The scientist in charge of this project at UCSD will be Dr. Jerry Yang. Dr. Yang is Associate Professor 

of Chemistry and Biochemistry at the University of California, San Diego (UCSD). In collaboration with Dr. 

Dewhurst, Dr. Yang helped to generate the preliminary data in this application, which builds from extensive 

in vitro experiments carried out in the Yang laboratory, with the goal of generating molecular assemblies on 

aggregated amyloid peptides that can function as bio-resistive surface coatings (in analogy to generation of 

a “non-stick” coating on a surface). Dr. Yang has a broad background in organic and biophysical chemistry, 

biochemistry, and materials science, with specific expertise in amyloid and biomembrane research. His 

students and postdocs routinely synthesize structurally and functionally diverse organic molecules and 

small molecule libraries, develop biochemical and cellular screening assays, and develop biophysical 

techniques to study the structure and function of biomolecules and biomolecular aggregates in solution. He 

is an established collaborator of Dr. Dewhurst (as noted above), and will be responsible for directing all 

aspects of the synthesis and in vitro evaluation of the amyloid-targeting agents described in the research 

proposal.

Subcontract (for R33 phase only):

In the R33 phase of the project (years 3-5), a subcontract is included with This subcontract 

will support the performance of in vitro and in vivo testing of the SEVI-targeting small molecule inhibitors. 

Studies at will be directed by who will: 

• Supervise the efficacy and toxicity assessment in the cervical explant model (under the consultancy 

of Dr. C. Dezzutti) 

• Supervise and design the Lactobacillus toxicity assays 

• Supervise the cytotoxicity assays 

• Perform the Rabbit Vaginal Irritation Model

A detailed budget is included with the application, and the two parties (UR, are fully 

committed to the necessary contractual relationship. The appropriate programmatic and administrative 

personnel of each organization involved in this grant application are aware of the NIH consortium 

agreement policy and are prepared to establish the necessary inter-organizational agreement(s) consistent 

with that policy. 

The scientist in charge of this project at will be . is a Senior 

Scientist at Inc. During the R33 phase, she will serve as a collaborator and coinvestigator on this 

project and as PI of the Subcontract. She is a member of the Microbicide Trials Network, and her 

research interests have focused on HIV microbicide development for many years. She has expertise in 

microbicide development and preclinical safety and efficacy testing of novel microbicides. She also has 

Consortium/Contractual Page 117
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

extensive experience on studies using nonhuman primate (NHP) models for HIV/AIDS, including the simian 

immunodeficiency virus (SIV)/macaque model. She received her Ph.D. in 1992 for studies on SIV, and – in 

addition to her experience in microbicide research – has expertise in HIV vaccine development, analysis of 

immune responses in SIV-infected macaques, and evaluation of novel candidate antiviral drugs. 

 collaborated closely with Dr. Dewhurst during the preparation of this proposal. 

CONSULTANTS/OTHER SIGNIFICANT CONTRIBUTORS

See letters of support for additional documentation 

Consultant for both R21 and R33 phases:

Dr. Charlene S. Dezzutti (Consultant) is Associate Professor in the Department of Obstetrics, 

Gynecology, and Reproductive Sciences, and an Associate Investigator in the Magee-Womens 

Research Institute at the University of Pittsburgh. Her role on this application is to serve as a 

consultant and advisor to the research program, to review annual progress reports, participate in 

data evaluations, and to provide technical assistance and guidance on assessments of the potential 

toxicity of candidate microbicides, using the cervical explant models that she has developed 

(including MTT, histology assessments of toxicity and assessment of cytokine release). She is well 

qualified for this role because she is the principal investigator of the Network Laboratory for the 

Microbicide Trials Network (MTN), an HIV/AIDS clinical trials network established by the National 

Institute of Allergy and Infectious Diseases (NIAID). In this capacity, she conducts side-by-side 

comparative assessments of different microbicide candidates that will be used in clinical trials. Her

laboratory is presently studying: 

1) The mechanism(s) of transmission. Dr. Dezzutti has developed cervical and colorectal 

tissue explant systems to study HIV transmission ex vivo. Using these systems she is 

attempting to determine the first HIV infected cells. 

2) The factors that influence transmission. Dr. Dezzutti has an active program studying the 

interaction(s) between sexually transmitted infections and HIV in acute in vitro model 

systems as well as tissue explant systems. 

3) The ways to prevent transmission of HIV. For prevention of sexually acquired HIV, Dr. 

Dezzutti is evaluating microbicides that may be utilized in human clinical trials. She is 

examining innate immune factors found in genital secretions that could be augmented or 

exploited for microbicide development. She has also developed in vitro and ex vivo

model systems that can be used to evaluate the potential toxicity of candidate 

microbicides. 

Consultant for R21 phase only (and coinvestigator for R33 phase):

 (Consultant/R21 phase, Coinvestigator/R33 phase) is a Senior Scientist at 

 Her role on this application is two-fold: (1) During the R21 phase, she will serve as a 

consultant and advisor to the research program, to review annual progress reports, participate in 

data evaluations, and to provide technical assistance and guidance on assessments of candidate 

microbicides; (2) During the R33 phase, she will serve as a collaborator and coinvestigator on this 

project and as PI of the Subcontract. is a member of the Microbicide Trials 

Network, and her research interests have focused on HIV microbicide development for many years. 

She has expertise in microbicide development and preclinical safety and efficacy testing of novel 

microbicides. She also has extensive experience on studies using nonhuman primate (NHP) 

models for HIV/AIDS, including the simian immunodeficiency virus (SIV)/macaque model. She 

received my Ph.D. in 1992 for studies on SIV, and – in addition to her experience in microbicide 

research – has expertise in HIV vaccine development, analysis of immune responses in SIVinfected macaques, and evaluation of novel candidate antiviral drugs. 

Consortium/Contractual Page 118
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Steve Dewhurst, Ph.D. June 3, 2010 

Professor and Chair, Dept. of Microbiology and Immunology 

University of Rochester Medical Center 

575 Elmwood Avenue, Box 672 

Rochester, NY 14642 

Tel.: 

Email: 

Dear Steve, 

I would be very pleased to serve as a consultant and a collaborator on your 

R21/R33 application to the Microbicide Innovation Program (MIP VI) (RFA-AI-10-011). 

As you know, I am working in the microbicide field since 2002, and I have 

published many abstracts and papers on microbicides. After reading Munch J., et al. 

Semen-derived amyloid fibrils drastically enhance HIV infection. Cell 131:1059-71, 

2007I and related papers, I am intrigued by your idea of targeting semen-derived fibrils 

that enhance HIV-1 infection and therefore may play an important role in HIV-1 

transmission. Your proposed approach of targeting these fibrils is both innovative and 

logical. 

I would be pleased to serve as a consultant on your application during its R21 

phase, and its initial R33 years. I will also serve as a coinvestigator and collaborator 

during the final year of the R33 phase of your proposal, and will perform studies of lead 

candidate molecules in the rabbit vaginal irritation (RVI) model. 

I believe that my expertise in microbicide development and preclinical safety and 

efficacy testing of novel microbicides will prove useful to you as your work progresses. I 

would also be happy to serve as an overall advisor to your project, providing guidance 

and input over the entire period of your project – not just in the late stages of the R33 

phase. I understand that this commitment would include reviewing an annual progress 

report and participating in an annual evaluation of progress on the project. I wish you best 

of luck with your application! 

Letters of Support Page 119
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Letters of Support Page 120
 
 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

UNIVERSITY OF CALIFORNIA, SAN DIEGO UCSD

_____________________________________________________________________________________________________________________________________________________________________

BERKELEY  DAVIS  IRVINE  LOS ANGELES  MERCED  RIVERSIDE  SAN DIEGO  SAN FRANCISCO ______________________________________________________________________________________________________________________________________________________________________

_________________________________________________________

SANTA BARBARA  SANTA CRUZ _________________________________________________________

Jerry Yang

Associate Professor

University of California, San Diego

Department of Chemistry & Biochemistry

6100C Pacific Hall

9500 Gilman Drive, MC 0358

La Jolla, CA 92093

May 24th, 2010 

Dear Steve, 

I’m writing to express my enthusiastic support for your NIH R21/R33 grant application entitled 

“The Semen Enhancer of HIV Infection as a Novel Microbicide Target.” We are excited to continue 

our research on developing drug candidates for the modification of the deleterious function of 

amyloids. We are very excited to continue our collaboration and to test whether the compounds 

identified by our lab can have an effect on SEVI-mediated HIV infection. If successful, our 

collaborative efforts will result in the identification and optimization of new microbicide candidates that 

exhibit protective properties against sexually transmitted infection of microbes such as HIV through 

the attenuation of interactions between aggregated SEVI proteins and viral particles and cells. 

Based on the very promising preliminary data over the past 6 months, we have been focusing 

on developing novel multivalent versions of the amyloid-targeting agents and related molecules to 

afford multi-grams scale quantities for further in vitro and in vivo testing. We have also developed two 

additional molecular frameworks for molecules that target amyloids and have chemical properties that 

are suitable for examination in the proposed experiments. 

The funds we request from the sub-award will be used for partial salary support of a graduate 

student in my lab so we can continue our efforts to synthesize analogs and to characterize them for 

their suitability in the proposed experiments. We will, for instance, examine all analogs for their 

toxicity, log P values, and amyloid-binding properties. All of the most promising compound will be 

synthesized in large scales for further testing throughout the project period. I expect this project will 

require 10% of my effort during the first two years of project period, increasing to 15% during the third 

and fourth years, and reducing to 5% during the last year of the project period. I have found this to be 

a stimulating and exciting collaboration and I look forward to many thought-provoking conversations. 

I wish you success with your proposal. 

Sincerely, 

Jerry Yang 

Letters of Support Page 121
 
17. RESOURCE SHARING PLAN 

Sharing of data and reagents generated by this project will be carried out in several different ways. Our 

plan includes: 

Presentation at national scientific meetings: We expect to have at least one presentation per year at 

national meetings on microbicides and/or HIV research (e.g., CROI, Keystone Symposium on 

Protection from HIV). It is expected that the investigators from this project will be active participants in 

these meetings and share the data with scientists interested in microbicide development. 

Publications: Publication in Open Access journals, in which the scientist retains copyright on the 

published material, will greatly expand general access to our findings and allow us to post articles to 

our web server as they appear in print. For this reason, we will consider such journals for our own 

publications, as well as journals such as the Journal of Virology, which provide free-online access to all 

published content with a 6-month lag period following publication. 

Reagents: Immediately following publication of experiments that describe novel reagents or materials 

(virus vectors), we will make all such clones and constructs available upon request to all researchers 

who request them, after completion of a Biological Materials Transfer Agreement. For most non-profit 

institutions, when the transfer involves a biological material, we will use a simple AUTM implementing 

letter to document acceptance of the terms of the Uniform Biological Material Transfer Agreement 

(UBMTA). In those instances where the transfer involves a non-profit institution that is not a signatory 

to the UBMTA, the pertinent institution’s standard Biological Materials Transfer Agreement will be used 

or (if no intellectual property is involved) the AUTM Simple Letter Agreement. 

 

Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Resource Sharing Plan Page 122
 
PHS 398 Checklist

OMB Number: 0925-0001 

1. Application Type:

From SF 424 (R&R) Cover Page. The responses provided on the R&R cover page are repeated here for your reference, as you answer 

the questions that are specific to the PHS398.

* Type of Application:

Federal Identifier: 

2. Change of Investigator / Change of Institution Questions

Change of principal investigator / program director

Name of former principal investigator / program director: 

Prefix:

* First Name:

Middle Name:

* Last Name:

Suffix:

Change of Grantee Institution

* Name of former institution:

3. Inventions and Patents (For renewal applications only)

* Inventions and Patents:

If the answer is "Yes" then please answer the following:

* Previously Reported: 

Yes No

Yes No

New Resubmission Renewal Continuation Revision

	


 		

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Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Checklist Page 123
 
4. * Program Income

Is program income anticipated during the periods for which the grant support is requested?

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)

Yes No

5. * Disclosure Permission Statement

If this application does not result in an award, is the Government permitted to disclose the title of your proposed project, and the name, 

address, telephone number and e-mail address of the official signing for the applicant organization, to organizations that may be 

interested in contacting you for further information (e.g., possible collaborations, investment)? 

Yes No

	


 		

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Principal Investigator/Program Director (Last, first, middle): Dewhurst, Stephen 

Checklist Page 124