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Pharmaceuticals 2022 ,15, 1333 12 of 21
Table 4. Cont.
ChEMBL ID Physicochemical Properties Lipophilicity Water Solubility Pharmacokinetics Drug-Likeness Medicinal Chemistry
363535YMW 301.48 g/mol TPSA 51.21 Å2
NHA = 3 NHD = 0Consensus log Po/w2.29 SolubleGI absorption = High BBB
Permeant = Yes Skin Permeation
(log K p) = 5.95cm/sYes Synthetic accessibility = 5.35
365134MW 393.40 g/mol TPSA 69.47 Å2
NHA = 2 NHD = 0Consensus log Po/w2.05 SolubleGI absorption = High BBB
Permeant = Yes Skin Permeation
(log K p) = 7.30cm/sYes Synthetic accessibility = 6.47
426898YMW 289.80 g/mol TPSA 43.37 Å2
NHA = 4 NHD = 0Consensus log Po/w0.57 Very solubleGI absorption = High BBB
Permeant = Yes Skin Permeation
(log K p) = 8.23cm/sYes Synthetic accessibility = 5.60 | 10.3390_ph15111333 | page_0011 |
ments (9). In our study, the segments of the spine
were processed for histologic examination withoutprevious dissection or manipulation.
The anatomic and topographic features of menin-
govertebral ligaments observed in this study parallelthe deformations of the dural sac seen on serial axialCT and MR images obtained in patients with lumbarepidural lipomatosis (Figs 1 –4). The thecal sac was
collapsed because of posterior (Fig 5) or anterior (Fig6) drawing of the dura mater. This explains the dif-ferences between the images and the anatomic sec-tions. We believe that the “spiculations ”of polygonal
sections or star branches correspond to the duralinsertion site of the ligaments, and that the interven-ing depressions correspond to the mass effect of theexcessive epidural fat in these patients. The variationsin geometric shapes most likely result from the incon-sistent and random distribution of these ligaments.We observed variations of the shape of the dural
sac along the lumbar spine. In both the imaging andanatomic studies, sac shape was generally polygonalin the upper levels and tended progressively to beinverted triangular with a dorsomedian apex in thelower ones (Tables 1 and 2). The same trend hadalready been noted at epidurography (14 –16) or in
anatomic preparations after injecting polyester resininto the epidural space (17). The presence of median,paramedian, and lateral meningovertebral ligamentsmost likely explains the hexagonal, pentagonal, orsquare shape of the dural sac found in the upper andmiddle lumbar spine. The inverted triangular or Yshape observed in the lower lumbar segments proba-bly results from several factors: the nerve roots orig-inating from the sac on its anterolateral aspects and
the filum terminale on its posterior aspect could con-tribute to this shape. Moreover, a median meningo-vertebral ligament can be responsible for the poste-rior “spiculation ”of the dural sac. This posterior
spiculation likely corresponds to the posteromedianfold of the dura mater visible at lumbar epidurogra-phy or epiduroscopy, which was called “plica mediana
dorsalis ”and interpreted as the consequence of the
presence of a posterior connective tissue band ex-tending from the dura mater to the ligamenta flava orto the laminae (15, 16, 18 –22). From our anatomic
observations, this posterior connective tissue can beconsidered a median meningovertebral ligament.
FIG8. Distribution of the meningo-
vertebral ligaments in the transverseplane in the 70 adult dissected lumbarvertebrae, with corresponding fre-quencies (numbers are percentages).
TABLE 2: Variations of dural sac shape as seen on macroscopic
photographs of 70 dissected adult lumbar spine segments
Lumbar
LevelPolygonal (hexagonal,
pentagonal, or square) Shape Triangular or Y Shape
L1 79 21
L2 79 21L3 57 43L4 57 43L5 64 36
Note. —Data are percentages.1280 GEERS AJNR: 24, August 2003 | 0b41273b9404c048a02eceee7fc33b5dcedb722b | page_0004 |
Although they do not connect articular structures,
the anatomic term “ligament ”seems to be most ap-
propriate to characterize these thin but resistant fi-broelastic bands extending from the outer surface ofthe dura mater to the osteofibrous walls of the spinalcanal. This terminology appears adequate because oftheir dense connective nature and because of theirpresumed function of attachment of the dural sac tothe neighboring structures. They should be consid-ered loose ligaments, similar to pericardial, abdomi-nal, or pelvic visceral ligaments or to the retinacularligaments of the fingers, which all share the samecharacteristic feature of connecting soft tissues at theperiphery of various organs to adjacent skeletal sur-
faces.
Chronologically, thin meningovertebral ligaments
were already present at the 11th week of gestationand were then surrounded by large amounts of mes-enchymal cells. During fetal growth, these surround-ing cells are progressively replaced by epidural fat.Since the vertebral canal is enlarging, the small con-nective bands extending between the dural sac andthe vertebral canal are progressively stretched outalong axial spinal blood vessels (Figs 9 and 10). Themorphogenetic phenomenon leading to developmentof the meningovertebral ligaments seems to be ran-
FIG9. Microscopic study in a 27-
week fetal spine shows relation of me-ningovertebral ligaments to dura materand to spinal canal walls.
A, Photomicrograph (Goldner tri-
chrome stain; original magnification,/H1100312) of a fetal spinal canal at the L1
level. Meningovertebral ligaments ex-tend from the outer surface of the duramater to the osteofibrous walls of thespinal canal in the lateral areas, repre-senting perivascular bands (arrow-heads), and in the median area of theposterior epidural space (arrow). Thelarge box outlines the region of the epi-dural space that is magnified in B. The
small box outlines the region that ismagnified in C.
B, Magnified view (immunohisto-
chemical stain for type I collagen) ofthe large box in A. The meningoverte-
bral ligament anchors the dura mater(curved arrow) to the spinal canal (ar-row) and surrounds small vascularstructures (arrowhead).
C, Magnified view (immunohisto-
chemical stain for type I collagen) ofthe small box in A. The meningoverte-
bral ligament (arrowhead), mainly com-posed of type I collagen, is connectedto the outer surface of the dura mater(arrow).
FIG10. Microscopic study of meningovertebral ligament con-
tent in fetal spine. Photomicrograph (Goldner trichrome stain;original magnification, /H1100320) at the L1 level of a 27-week fetal
spinal canal. The meningovertebral ligament (arrowhead) con-tains small vessels (arrow) (same observation as in adult spine inFig 11).
FIG11. Microscopic study at the L3 level of an adult spinal
canal. Photomicrograph (Goldner trichrome stain; original mag-nification, /H1100320) shows that the meningovertebral ligament (ar-
rowhead) is connected to the dura mater (long arrow) and con-tains epidural vessels (short arrows); loose fat is present in thelateral area of the posterior epidural space (asterisk).AJNR: 24, August 2003 POLYGONAL DEFORMATION OF DURAL SAC 1281 | 0b41273b9404c048a02eceee7fc33b5dcedb722b | page_0005 |
domly distributed in the epidural space, and their
definitive location in the adult vertebral canal variesaccording to both the subject and the vertebral level(Fig 8).
The occasional observation of the same location of
meningovertebral ligaments in adjacent spinal seg-ments suggests the possibility of a localized continuitybetween these ligaments, resulting in a partial andrandomly distributed partitioning of the epiduralspaces, and especially of the posterior epidural space.This compartmentalization might explain occasionalproblems in epidural anesthesia, such as inhomoge-neous spread of the injected anesthetic drugs (14, 17,19), failure of catheter introduction, or deviation ofthe ascending guide that stumbles over resistant con-nective bands, leading to final lateral positioning ofthe catheter (20, 23). Excessive manipulations of thislatter may then give rise to accidental dural leakageor epidural hemorrhage (21) by injury of the epiduralvessels running in close anatomic relationship withthe ligaments (Figs 10 and 11).
The observation of meningovertebral ligaments in
fetal spines and their histologic similarity with adultmeningovertebral ligaments definitively strengthentheir native origin.
Conclusion
The results of this study show that meningoverte-
bral ligaments are present in all subjects, in both theanterior and posterior epidural spaces. These liga-ments, invisible on imaging studies of subjects withnormal spines, become evident to the radiologist ’s eye in
patients with epidural lipomatosis, when epidural fatovergrowth incidentally reveals their presence by inden-tations of the dural sac, alternating with interveningdepressions due to mass effect of the excessive fat.
References
1. Quint DJ, Boulos RS, Sanders WP, Mehta BA, Patel SC, Tiel RL.
Epidural lipomatosis. Radiology 1988;169:485 –490
2. Sivakumar K, Sheinart K, Lidov M, Cohen B. Symptomatic spinal
epidural lipomatosis in a patient with Cushing’s disease. Neurology
1995;45:2281 –2283
3. Haddad SF, Hitchon PW, Godersky JC. Idiopathic and glucocor-ticoid-induced spinal epidural lipomatosis. J Neurosurg 1991;74:
38–42
4. Borstlap ACW, Van Rooij WJJ, Sluzewski M, Leyten ACM, Beute
G.Reversibility of lumbar epidural lipomatosis in obese patients
after weight-reduction diet. Neuroradiology 1995;37:670 –673
5. Enzman DR, De La Paz RL. Tumors of the spine. In: Enzman DR,
De La Paz RL, Rubin JD, eds. Magnetic resonance of the spine. St
Louis: Mosby; 1990:301 –422
6. Testut L. Traite ´ d’anatomie humaine. Tome II. Paris, Octave Doin;
1893:647
7. Paturet G. Traite ´ d’anatomie humaine. Tome 4, syste `me nerveux.
Paris: Masson & cie; 1964:651 –652
8. Hogan QH. Lumbar epidural anatomy. Anesthesiology 1991;75:
767–775
9. Beaujeux R, Wolfram-Gabel R, Kehrli P, et al. Posterior lumbar
epidural fat as a functional structure? Spine 1997;22:1264 –1269
10. Scapinelli R. Anatomical and radiologic studies on the lumbosacral
meningo-vertebral ligaments of humans. J Spinal Disord 1990;1:
6–15
11. Scapinelli R. The meningovertebral ligaments as a barrier to the
side-to-side migration of extruded lumbar disc herniations. Acta
Orthopædica Belgica 1992;58:436 –441
12. Plaisant O, Sarrazin JL, Cosnard G, Schill H, Gillot C. The lumbar
anterior epidural cavity: the posterior longitudinal ligament, theanterior ligaments of the dura mater and the anterior internalvertebral venous plexus. Acta Anat 1996;155:274 –281
13. Hamid M, Fallet-Bianco C, Delmas V, Plaisant O. The human
lumbar anterior epidural space: morphological comparison inadult and fetal specimens. Surg Radiol Anat 2002;24:194 –200
14. Fukushige T, Kano T, Sano T. Radiographic investigation of uni-
lateral epidural block after single injection. Anesthesiology 1997;87:
1574 –1575
15. Fukushige T, Kano T, Sano T, Irie M. Computed tomographic
epidurography: an aid to understanding deformation of the lumbardural sac by epidural injections. Eur J Anaesthesiol 1999;16:628 –
633
16. Luyendijk W. The plica mediana dorsalis of the dura mater and its
relation to lumbar peridurography. Neuroradiology 1976;11:147 –
149
17. Husemeyer RP, White DC. Topography of the lumbar epidural
space: a study in cadavers using injected polyester resin. Anaesthe-
sia1980;35:7 –11
18. Lewit K, Sereghy T. Lumbar peridurography with special regard to
the anatomy of the lumbar peridural space. Neuroradiology 1975;
8:233 –240
19. Hatten HP. Lumbar epidurography with metrizamide. Radiology
1980;137:129 –136
20. Savolaine ER, Pandya JB, Greenblatt SH, Conover SR. Anatomy of
the human epidural space: new insights using CT-epidurography.Anesthesiology 1988;68:217 –220
21. Blomberg R. The dorsomedian connective tissue band in the lum-
bar epidural space of humans: an anatomical study using epidu-roscopy in autopsy cases. Anesth Analg 1986;65:747 –752
22. Blomberg R, Olsson S. The lumbar epidural space in patients
examined with epiduroscopy. Anesth Analg 1989;68:157 –160
23. Bailey PW. Median epidural septum and multiple cannulation
(letter). Anaesthesia 1986;41:881 –8821282 GEERS AJNR: 24, August 2003 | 0b41273b9404c048a02eceee7fc33b5dcedb722b | page_0006 |
550 COUNCIL PRIZES FORTHEBESTSERIES OFHOSPITAL REPORTS.
urethraforsomedaysandthenonlyintroduced occa-
sionally.
Theurinecontinued todribblethrough theold
aperture intheperineum forsometime,butthepassage
waseventually restored, andhewasdischarged perfectly
cured.
CaseofVesico-VaginalFistulatreatedbytheActual
Cautery.
MYfriend,Mr.Chambers, hasrequested metorelate
acasewhichfelluuderourjointcareattheinfirmary.
AnnDavies, apoorhalf-witted girl,wasadmitted
December 18th,1850.Uponexamination, shewas
foundtohaveasmallfistulous opening between the
bladder andthevagina. Asfaraswecouldcollect
fromthepoorcreature, shehadsuffered alongand
difficultlaboursomemonthsprevious toheradmission.
Soonafterwards theurinewasfoundtodribbledown
herthighs.
Mr.Chambers applied theactualcautery tothe
aperture, andpassedacatheter intothebladder, and
secureditbytapes,&c.Thepatientwasdirected to
lieuponherface.Shewasdecidedly betterafterthe
firstapplication ofthecautery, andasecondapplication
succeeded incompletely obliterating thefistula,andshe
wasdischarged cured.
1ntdiiuIt3Xr'Itrn{&lurgiva3nuvuft.
WEDNESDAY, OCTOBER 1,1851.
THEfollowing noticehasbeenhanded tous
bythePRESIDENT OFTHIECOUNCIL forinsertion
intheJournal
PROVINCIAL MEDICAL ANDSURGICAL ASSOCIATION.
NOTICE.
TuECOUNCIL OFTHEPROVINCIAL MEDICAL
ANDSURGICAL ASSOCIATION herebvofferaPRIZE
oFTWENTY GUINEAS forthvbestSeriesof
Beports ofMedical Casesthatmayoccurin
anyoftheProvincial Hospitals, whichshallbe
senttotheProvincial Medical andSurgical
Journal forpublication, between theFIRSTOF
OCTOBER, 1851,andtheFIRSTOFOCTOBER,
1852.
TheCOUNCIL aLsOofferaPRIZEOFTWENTY
GUINEAS forthebestSeriesofReportsofSur-
gicalCasesthatmayoccur inanyoftheProvincial
Hospitals, whichshallbesenttotheProvincial
Medical andSurgical Journal forpublication,
between theFIRSTOFOCTOBER, 1851,andthe
FIRSTOFOCTOBER, 1852.
House-Surgeons andPupilsoftheProvincial
Hospitals tobeeligiblecandidates forthe
Prizes.Inordertoinsureperfectfairnesstowardsall
thosewhomaysendreports, wewouldsuggest
thatallcandidates should,asiscustomary in
similarcompetitions, sendtheirreportswitha
mottoorinitialsignature attached, accompanied
byasealedlettercontaining therealnameand
address. Bythesemeansweshallavoidallimpu-
tationoffavouritism inourselection forpublica-
tion.Tothosegentlemen whomaysendreports,
wewouldalsosuggestthepropriety ofcondensing
themasmuchaspossible, asweshallcertainly
notbeabletopublishthosewhicharesentatan
unnecessary length; norshouldwe,underthe
circumstances, feeljustifiedincondensing them,
ordoingmorethancorrecting anyliteralerrors.
Webegtoremindthestudents ofthepro-
vincialhospitals, thattheyareincluded inthe
termsofthenotice,andthatitwillbeacon-
siderable advantage tothem,inafterlife,tobe
abletoshowthattheyhavereceived aprizefor
thebestseriesofhospital reportsawarded by
theCouncil ofsuchabodyastheProvincial
Association.
ITismuchtoberegretted thatthereshould
beany-even theslightest appearance ofdiffer-
enceamongourselves astothetreatment of
irregular practitioners, whetherhomosopathists,
hydropathists, ormesmerists, andwethinkthat
Dr.W.DAviEs,whoseletterweinserted inour
lastnumber,will,onreflection, consider thathe
hasdenounced theproceedings atBrighton as
unnecessary, andinfactinjurious tothecause
theywereintended toforward, withoutsufficient
grounds. Weareinclined toagreewithour
correspondent "F.R.C.S.," thatDr.DAvIEshas
entirelymistaken theobjectoftheresolutions
passedatth,eanniversary meeting. Fromhis
letteritwouldappearthathethinksthe
Association haveattempted tocoercethepublic
intheirchoiceoftheirmedicalattendants, but
sofarfromthisbeingthecase,itwillbefound
thatthewholeoftheresolutions areframed
withaviewtoregulate ourintercourse with
oneanotheronly,andtodraw.thelinebeyond
whichwecannotstep,wherewehavereasonto
believeweshould,bysodoing,affordasanction
eithertofraud,ignorance, orfolly.
As"F.R.C.S." hasmoreatlengthshewn,
thisisnotaquestion ofexpediency, but
ratheroneofobligation anddutytoourselves
andthepublic;forwebelieve, thatinholding
professional intercourse withtheprofessor of | 89906726797075affecacc2e789d926d33b7fdcf | page_0000 |
BIRMINGHAM PATHOLOGICAL SOCIETY. 551
homopathy, westultifyourselves, whilstwe
areleadingthepublictoconclude asthey
naturally do,thattheregularpractitioner andthe
homcoopathist arethedisciples oftwoparallel
systems, eachgainingthesamegoal,butbytwo
differentroads.
Wewould,therefore, againremindourreaders
thattheconducttobepursuedtowardsirregular
practitioners neednotbeimitated towardstheir
dupes,whofrequently aremoretobepitiedthan
despised. Letthem,iftheywill,supportthis
orthathomoDopathic hospital,whilstfashiongives
itprominence: withthiswehavenoconcern,
furtherthantoliftupourvoiceswhencaUled
uponindenouncing errorwhenpubliclypro-
mulgated. Butwecannotthinkthatweareopen
tothechargeofpersecution inpurgingourown
bodyfromthosewhomwethinkguiltyof
irregular andfalsepractices.
Therecentproceedings havealreadyalarmed
thehomeoopathists, astheyhavethought it
necessary tocommence anassociation fortheir
protection "fromtherecentproceedings ofsome
oftheScotchUJniversities inrefusing theirde-
greestohomosopathic students; and,ifneces-
sary,toobtainachartertolicensesuchasare
qualifled." Wemay,however, confidently rely
uponthegoodsenseofthepublicinthelpngrun;
andwemayrestassuredthatifwedonotreally
overstep theboundsofprudence andpropriety
thescaleswillfallfromtheeyesnowdimmred
anddeluded, and,asisnowsooftenthecasein
reallyseriousdiseases, theregularpractitioner
willnolongerhavetocomplain, thatinchronic
complaints theadvicewhichwouldbedeclined
asdisagreeable ortroublesome whengivenby
him,iseagerlyfollowed whenadministered bya
fashionable quack.
BIRMINGHAM PATHOLOGICAL SOCIETY.
JUNE5Tr,1851.
W.PARTRIDGE, ESQ,INTHECHAIR.
Tubercular peritonitis; displacement ofthestomach;
copiouseffusion ofblood;lungsnearlyfreefrom
tubercle;chiefsymptoms-contant severevomiting.
ByDR.RUSSELL.
MARYMASON, aged39,married. Ivisitedherto-
day(May3rd,1851)atMr.Welch's request. Her
historywasgiventomeveryimperfectly. Thefollow-
ing.particulars Igainedingreatmeasureafterthein-formation affordedbyherpost-portem :--Shehadan
attackof"inflammation ofthebowels," towardsthe
endoflastyear,bywhichshewasconfined tobedfor
threeweeks;shehadthenpainintherightsideofthe
abdomen. Sheappeared torecoverentirely. About
Chistmas shehadanattackofbiliousvomiting,
generally comingonaboutevening. Herpresentillness
isoffourweek'sduration; shehaskeptherbeda
fortnight, havingsuffered severely fromsiclness a
fortnight previously.
Ifoundhergreatlyemaciated andevidently sinking
rapidlyfromadvanced disease. Shehadconstant
vomiting, whichwasinsomemeasure checked by
opium,thoughveryimperfectly. Therejectedmatter
wasdescribed byMr.Welchandbyherattendants as
beingexceedingly offensive, somuchsothattheycould
notpreserve specimens forexaminaton; somethatI
sawinlatervisits,wasofabiliouscolour,thick,andhad
amostunpleasant smell,partlyfoecal,partlybilious;
thiswasthecasewitheveryspecimen examined. Her
bowelswereopenregularly. Therewassomefulness
ofthebowelsgenerally, butnothingevidently abnormal,
exceptthatintheleftlumbarregionoftheabdomen my
attention wasattractedbyapeculiaranddecidedthough
somewhat obscurefluctuation, diffusedoverthatregion,
butnotfeltinanyotherpart;thatregionofthe
abdomen wasdecidedly dullerthantherightside,
thoughstillpartially resonant; andtherewasnolocal
distension, norcouldItracetheoutlineofanycyst.
Thissymptom continued topresentitselfatseveral
subsequent visits;theexplanation ofitIwasdisposed
toassign,wasdisplacement ofthestomach, butIwas
atalosstoexplainsuchdisplacement, thefewparticu-
larsafforded meofherhistory, notthrowing sufficient
lightuponherdisease. ShelivedtillMay25thwith-
outpresenting anyfreshsymptom. Thevomiting was
somewhat relievedbyopiatesuppositories, (shecould
notretainmedicine) butstillcontinued verytroublesome.
Shehadatendency todiarrhoea towardsthelast.
Sectio-cadaveris thirty-six hoursafterdeath.-Great
emaciation; slightrigor.Thorax: Somefluidinthe
leftpleura;adhesions generaloftherightlungandat
posterior partoftheleft;rightlunghealthyandfree
fromtubercle; intheleft,scatteredthroughitstissue,
wereseveralfirmnodulesofminutegreygranulations,
insomefewwerewhatappeared tobemiliarytubercles,
inverysmallnumber, andintwoorthreecretaceous
deposit,inastatelikemortar. Hearthealthy. Abdo-
men:Onopening thefrontoftheabdomen anex-
tendedlayerofcoagulum appeared, entirelyconcealing
thecontents ofthecavitylyingoverthefrontofthe
liver,andontheintestines, anddippingdownintothe
pelvis;thecoagulum, whenremoved, provedofcon-
siderable thickness; thetruepelviscontained avery
largequantity ofcoagulum andbloodyserum,by
whichindeeditwas.almostfilled;therewassome
bloodyserumintheabdominal cavitybesides. Allthe
intestines werec'oselyunitedtooneanotherbycellular
adhesions, plentifully filledwithtubercular matter;
theywereentirelyseparated fromtheabdominal wall
bythecoagulum, butfromtheresistance offeredtothe
removalofthewallsoftheabdomen itseemedprobable
thattherewereadhesions alsobetween itandtheintes-
tines.Theliveradhered closelytothediaphragm | 89906726797075affecacc2e789d926d33b7fdcf | page_0001 |
COMPREHENSIVE INVITED REVIEW
Vascular Cell Adhesion Molecule-1
Expression and Signaling During Disease:
Regulation by Reactive Oxygen Species and Antioxidants
Joan M. Cook-Mills, Michelle E. Marchese, and Hiam Abdala-Valencia
Abstract
The endothelium is immunoregulatory in that inhibiting the function of vascular adhesion molecules blocks
leukocyte recruitment and thus tissue inflammation. The function of endothelial cells during leukocyte re-cruitment is regulated by reactive oxygen species (ROS) and antioxidants. In inflammatory sites and lymph
nodes, the endothelium is stimulated to express adhesion molecules that mediate leukocyte binding. Upon
leukocyte binding, these adhesion molecules activate endothelial cell signal transduction that then alters en-dothelial cell shape for the opening of passageways through which leukocytes can migrate. If the stimulation ofthis opening is blocked, inflammation is blocked. In this review, we focus on the endothelial cell adhesionmolecule, vascular cell adhesion molecule-1 (VCAM-1). Expression of VCAM-1 is induced on endothelialcells during inflammatory diseases by several mediators, including ROS. Then, VCAM-1 on the endotheliumfunctions as both a scaffold for leukocyte migration and a trigger of endothelial signaling through NADPHoxidase-generated ROS. These ROS induce signals for the opening of intercellular passageways through which
leukocytes migrate. In several inflammatory diseases, inflammation is blocked by inhibition of leukocyte binding
to VCAM-1 or by inhibition of VCAM-1 signal transduction. VCAM-1 signal transduction and VCAM-1-dependent inflammation are blocked by antioxidants. Thus, VCAM-1 signaling is a target for intervention bypharmacological agents and by antioxidants during inflammatory diseases. This review discusses ROS andantioxidant functions during activation of VCAM-1 expression and VCAM-1 signaling in inflammatory diseases.Antioxid. Redox Signal. 15, 1607–1638.
I. Introduction to Leukocyte Recruitment 1608
II. VCAM-1 Regulation of Leukocyte Recruitment and Inflammation in Several Diseases 1609
A. VCAM-1 expression and shedding 1609
B. VCAM-1 function in the bone marrow and lymph nodes 1610
C. VCAM-1 regulation of inflammatory diseases: treatment of clinical disease with natalizumab 1610
D. VCAM-1 regulation of inflammation during infection 1611
E. VCAM-1 function in cardiovascular diseases 1611
III. VCAM-1 Structure =Function 1612
A. VCAM-1 structure 1612
B. Ligands and VCAM-1 binding regions 1612
C. VCAM-1 is a part of the tetraspanin-enriched microdomains 1613
D. VCAM-1 in apical cup-like structures 1614
E. Cytoplasmic domain of VCAM-1 1614
IV. Overview of a Model for VCAM-1 Signaling 1614
A. Model of VCAM-1 signaling through ROS 1614
B. Cell models for VCAM-1 signals 1615
V. VCAM-1 Signals Through ROS During Leukocyte Transmigration 1615
A. VCAM-1 activates calcium fluxes, Rac1, and G ai 1615
Reviewing Editors: Shampa Chatterjee, Michael Lotze, Masako Mitsumata, Rosaria Piga, Tanja K. Rudolph, and Toshikazu
Yoshikawa
Allergy-Immunology Division, Northwestern University Feinberg School of Medicine, Chicago, Illinois.ANTIOXIDANTS & REDOX SIGNALING
Volume 15, Number 6, 2011ªMary Ann Liebert, Inc.
DOI: 10.1089 =ars.2010.3522
1607 | 82cc266a4c561a5cbcd0a248a21d64b4d2f53f6c | page_0000 |
B. VCAM-1 activation of endothelial cell NOX2 during leukocyte transmigration 1616
1. VCAM-1 activates NOX2 1616
2. VCAM-1 signals through NOX2 mediate VCAM-1-dependent leukocyte transmigration 1617
3. VCAM-1-induced NOX2 generates low concentrations of ROS with specific signals that are distinct
from signals by high levels of ROS 1617
C. VCAM-1 signals through NOX2 modify endothelial cell actin polymerization and intercellular gap formation 1617
D. VCAM-1-induced ROS activate MMPs 1617
1. Rapid activation of endothelial cell-associated MMPs 1617
2. Delayed activation of lymphocyte-associated MMPs 1618
3. The antioxidant bilirubin inhibits VCAM-1-induced MMP activation 1619
E. VCAM-1 signals oxidize and activate PKC a 1619
F. VCAM-induced PKC activates PTP1B 1620
VI. VCAM-1 Signals in In Vivo Models 1620
A. G ai2 regulation of VCAM-1-dependent leukocyte recruitment in vivo 1620
B. NOX2 regulation of VCAM-1-dependent leukocyte recruitment in vivo 1621
VII. Antioxidant Regulation of VCAM-1 Signals in In Vivo Models 1621
A. The antioxidant bilirubin inhibits VCAM-1-dependent inflammation 1621
B. Vitamin E regulation of VCAM-1-dependent inflammation 1623
1. Introduction to vitamin E isoforms 1623
2. Vitamin E isoforms regulate VCAM-1-dependent leukocyte transmigration through antioxidant
and nonantioxidant mechanisms 1623
3. Vitamin E isoform-specific regulation of leukocyte recruitment in vivo 1624
C. Reinterpretation of reports on vitamin E regulation of inflammation in experimental models 1624
VIII. Clinical Implications for Vitamin E Regulation of Inflammation Involving VCAM-1 1625
IX. Concluding Remarks 1626
I. Introduction to Leukocyte Recruitment
Leukocyte recruitment is regulated by reactive oxygen
species (ROS) during inflammation. During inflamma-
tion, leukocytes are recruited into tissues by adhesion mole-cules and chemokines (Fig. 1). The specificity of leukocyte
homing to tissues is regulated by the combination of chemo-
kines in the microenvironment, adhesion molecules on theendothelium, and leukocyte receptors for these chemokines
and adhesion molecules (159). Further, the combination of
vascular adhesion molecules expressed by an endothelial cellis dependent on the stimulant(s) for endothelial activation
(231). In peripheral lymph nodes, endothelial cells constitu-
tively express adhesion molecules (270) as they are continu-ously activated (115). In contrast, endothelial cells at sites of
inflammation require induction of adhesion molecule ex-
pression. Adhesion molecule expression is induced by severalmediators, including cytokines produced in the tissue, highlevels of ROS, turbulent blood flow at vessel bifurcations, or
microbial stimulation of endothelial toll-like receptors (TLRs)
(49, 59, 121, 124, 125, 152, 177, 182, 210, 212, 242). Thus, themicroenvironment stimuli regulate the specificity of leuko-
cyte recruitment.
Leukocyte binding to the adhesion molecules activates
signals within the endothelial cells that allow opening of
narrow vascular passageways as small intercellular gaps
through which leukocytes migrate (Fig. 1) (64, 184, 201).Leukocyte movement through these passageways is stimu-
lated by chemokines that are produced by the endothelium
and the tissue (Fig. 1). The majority of leukocyte migratethrough intercellular gaps, but under conditions of high levelsof inflammation, a small percentage of leukocytes can also
migrate through individual endothelial cells by transcellular
migration (50, 180, 195). When there is inhibition of the en-dothelial cell adhesion molecule signals, leukocytes bind to
the endothelium but do not complete transendothelial mi-
gration (2). The cells that bind to the endothelium but do not
complete transendothelial migration are often released fromthe endothelium and continue in the blood flow as demon-
strated by intravital microscopy. Thus, the endothelial cell
adhesion molecules and their intracellular signals are a sourcefor intervention in leukocyte recruitment.
The vascular recruitment of leukocytes is a three-step
process involving rolling of leukocytes on the endothelium
followed by arrest of the leukocyte on the endotheliumthrough high affinity adhesion, and then transmigration of
the leukocyte through the endothelium (Fig. 1). The rolling of
leukocytes on the luminal side of the endothelium is mediatedby the low affinity receptors, selectins and addressins (188,
298). In lieu of the selectin interactions with addressin, rolling
can also be mediated by leukocyte a
4b1-integrin in its low
affinity state interacting with vascular cell adhesion molecule-1(VCAM-1 =CD106) on the endothelium (15). Binding of se-
lectins on leukocytes stimulates ‘‘outside-in’’ signals in leuko-
cytes, increasing the affinity of the integrin family of receptorsthat then bind to the endothelial cell adhesion molecules in-
tercellular adhesion molecule-1 (ICAM-1 =CD54) or VCAM-1
(13, 45, 262). The high affinity integrin binding by blood leu-kocytes mediates arrest of the leukocytes on the endothelium.
Then, the arrested leukocytes migrate into the tissue.
The affinity of leukocyte integrins for vascular adhesion
molecules is also rapidly increased by ‘‘inside-out’’ signals
from chemokine receptors on leukocytes (14, 48, 52, 131, 160,
161, 307). Chemokines have specificity for leukocyte cell typesthat express the chemokine receptors. This chemokine-specific activation results in increased integrin affinity on
those leukocyte subsets that are responding to chemokines
in the microenvironment. Thus, T cells, B cells, mast cells,1608 COOK-MILLS ET AL. | 82cc266a4c561a5cbcd0a248a21d64b4d2f53f6c | page_0001 |
eosinophils, monocytes, and stem cells migrate on VCAM-1,
but their activation for binding to VCAM-1 depends on cell-type-specific chemokines in the microenvironment (4, 5, 8, 10,
23, 36, 57, 107, 108, 123, 138, 218, 243, 250, 268). The chemo-
kine-activated leukocytes are selected for migration by theirintegrin-mediated high affinity adhesion. The adherent leu-
kocytes then migrate on chemokine gradients into the
tissue (195). It has also been reported that a
4b1-integrin
binding affinity on CD34 þbone marrow-derived cells or
eosinophils is enhanced by ligand binding to the coexpressed
adhesion receptor platelet-endothelial cell adhesion molecule-1 (PECAM-1), implicating signals transmitted from PECAM-1
as determinants of a
4b1-integrin affinity (56, 162). The binding
of leukocytes to the endothelium and the specificity of theseinteractions have been discussed in previous reviews (52, 83,131, 160, 161, 170, 181, 201, 269, 270). This review will focus on
VCAM-1 expression and function during VCAM-1 regulation
of leukocyte transendothelial migration as it is regulated byROS and antioxidants. Also discussed are the important reg-
ulatory roles for VCAM-1 signals and antioxidants during
VCAM-1-dependent inflammation in vivo .
II. VCAM-1 Regulation of Leukocyte Recruitment
and Inflammation in Several Diseases
A. VCAM-1 expression and shedding
VCAM-1 functions in combination with other adhesion
molecules to regulate immune surveillance and inflammation.VCAM-1 expression is induced by cytokines produced in the
tissue, high levels of ROS, oxidized low density lipoprotein
(oxLDL), 25-hydroxycholesterol, turbulent shear stress, highglucose, and microbial stimulation of endothelial cell TLRs
(49, 121, 124, 167, 177, 179, 182, 208, 210, 212, 229, 230, 242, 310,
322). This activation of VCAM-1 gene expression is regulatedby the transcription factors nuclear factor kappa B (NF kB),SP-1, Ap-1, and interferon regulatory factor-1 (68, 163, 167,
182, 230, 287). For example, VCAM-1 expression is induced by
the cytokines tumor necrosis factor (TNF) aand interleukin
(IL)-1 b, the adipokine Visfatin, the proatherogenic amino acid
homocysteine, and proatherogenic hyperglycemia (46, 142,
144, 182, 196, 230). The mechanism of action of these stimulants
is through induction of ROS generation for the stimulation ofNFkB (46, 142, 144, 182, 196). However, the concentrations of
endothelial cell ROS generated in response to these stimulants
are not known. It is reported that high concentrations of ROS
(400 mMhydrogen peroxide) can activate NF kB and conse-
quently VCAM-1 expression in aortic endothelial cells (166).
TNF a-induced VCAM-1 expression is blocked by scavenging
superoxide by overexpression of superoxide dismutase but notblocked by scavenging hydrogen peroxide by overexpression
of catalase in endothelial cells (54). Consistent with this finding,
the TNF a-induced expression of VCAM-1 by NF kB binding to
the VCAM-1 promoter is blocked by nitric oxide, which isknown to react with superoxide (142). Conversely, the nitric
oxide synthase inhibitor N-monomethyl- l-arginine augments
TNF a-induced VCAM-1 expression (142). The IL-1 bactivation
of VCAM-1 is blocked by antioxidants, including pyrrolidine
dithiocarbamate, N-acetylcysteine, and a-tocopherol (182, 322).
oxLDL and 25-hydroxycholesterol induction of VCAM-1 ex-pression, ICAM-1 expression, and monocyte adhesion to en-
dothelium is blocked by a-tocopherol or tocotrienols in vitro
FIG. 1. Leukocyte transendothelial migration. During in-
flammation, cytokines produced in the tissue induce endo-
thelial cell adhesion molecule expression. In addition,
chemoattractants released by both the tissue and endothelialcells increase leukocyte adhesion molecule affinity as well asprovide direction for leukocyte migration. This vascular re-
cruitment of leukocytes is a three-step process involving low
affinity rolling of leukocytes on the endothelium followed byarrest of the leukocyte on the endothelium through high af-
finity adhesion, and then transmigration of the leukocyte
through the endothelium. L, leukocyte.
FIG. 2. VCAM-1 splice variants. Human VCAM-1 has two
splice variants that contain either six or seven immunoglob-
ulin-like domains with disulfide linkages. The six-domainform of human VCAM-1 lacks domain 4. Mouse VCAM-1 hasthe seven-domain form and unique three-domain form. The
three-domain form is linked to glycophosphatidylinositol
through a 36 amino acid glycophosphatidylinositol-linker.Within VCAM-1, domains 1 and 4 contain the binding sitesfor integrins. VCAM-1 is also N-glycosylated. VCAM-1, vas-
cular cell adhesion molecule-1.ROS AND ANTIOXIDANT REGULATION OF VCAM-1 SIGNALING 1609 | 82cc266a4c561a5cbcd0a248a21d64b4d2f53f6c | page_0002 |
(208, 322). Shear stress through cyclic strain also induces ROS
generation in endothelial cells, which then activate VCAM-1
expression (276).
VCAM-1 can also be released from the endothelial surface
through cleavage by a disintegrin and metalloprotease 17
(ADAM17) (97) and, although less characterized, may be re-
leased by ADAM8 (185, 186) or ADAM9 (103, 222). There-fore, VCAM-1 is present in the plasma in a soluble form
(sVCAM-1) and is used as predictive biomarker of disease (17,
127, 154, 297, 319). Levels of sVCAM-1 in plasma increase withactivation of the endothelium in multiple diseases (44, 55, 89, 98,133, 154, 206, 219, 227). This sVCAM-1 is thought to either limit
leukocyte integrin binding to endothelial VCAM-1 by binding to
leukocytes or stimulate leukocyte chemotaxis (147, 282, 288).
B. VCAM-1 function in the bone marrow
and lymph nodes
VCAM-1 is expressed in lymph nodes and the bone mar-
row for the regulation of leukocyte homing (Table 1). The
function of VCAM-1 in the bone marrow has been demon-
strated in a mouse model with a conditional deletion of mu-rine VCAM-1. In these mice, deletion of VCAM-1 results in
reduced B cell homing to the bone marrow (243). In the bone
marrow, it has also been reported that VCAM-1 regulates
proplatelet formation in the osteoblastic niche (221). VCAM-1expression has also been reported to be induced on mesen-
chymal stem cells by cytokine stimulation (313). This mesen-
chymal stem cell expression of VCAM-1 is reported toparticipate in immunosuppression of T cell responses (243).
Further, VCAM-1 regulates hematopoietic stem cell recruitment
to injured liver and melanoma metastasis to the liver (138, 255,299). In lymph nodes and tonsils, VCAM-1 is expressed bypostcapillary high endothelial venule cells and follicular den-
dritic cells (151, 187, 317). VCAM-1 on the lymph node follicular
dendritic cells mediates B cell binding (21, 151). Thus, VCAM-1has a role in the bone marrow, lymph nodes, and liver.
C. VCAM-1 regulation of inflammatory diseases:
treatment of clinical disease with natalizumab
VCAM-1 has a regulatory role in peripheral tissue inflam-
mation in several diseases (Table 1). In these diseases, there
are different leukocyte cell types that bind VCAM-1 viathe
FIG. 3. Ligand binding to VCAM-1.
Integrin binding to VCAM-1 is regulatedby the integrin activation state. a4b1-
integrin binds readily to domain 1 but
requires higher affinity activation forbinding to domain 4. This integrinbinding to domains 1 and 4 requires the
amino acids D40 and L43, or D328 and
L331, respectively. a4b7-integrin also
binds to VCAM-1 ( dashed arrow ) but
with a lower affinity than its binding to
another adhesion molecule, mucosal
addressin cell adhesion molecule-1 (notshown). Galectin 3 binds to N-glycosyl-
ation sites on VCAM-1. VCAM-1 has six
N-glycosylation sites that may partici-pate in galectin 3 binding. VCAM-1 alsocoimmunoprecipitates with ezrin and
moesin. VCAM-1 cell surface expression
requires associated tetraspanins CD151or CD9. The tetraspanin long extracel-lular loop (LEL) is necessary for its
binding to immunoglobulin superfamily
members. This LEL contains a CCG andCC motif. VCAM-1 can also be clippedfrom the cell surface by ADAM17,
ADAM8, and ADAM9. Solid arrow , ma-
jor ligand binding site. Dashed arrow ,
ligand binding requires higher integrin
activation. Large filled arrow , galectin3
binds to N-glycosylation sites. ADAM, adisintegrin and metalloprotease.1610 COOK-MILLS ET AL. | 82cc266a4c561a5cbcd0a248a21d64b4d2f53f6c | page_0003 |
leukocyte ligand a4b1-integrin (Table 2). This is, at least in
part, a result of leukocyte-specific chemokine activation of
a4b1-integrin into the integrin’s high affinity conformation
(52, 131, 160, 161). The cell types with high affinity integrinmigrate on VCAM-1. In allergic disease, blocking VCAM-1 by
intravenous injection of anti-VCAM-1 blocking antibodies
inhibits eosinophil recruitment in asthma models in severalspecies (57, 107, 250). Further, in allergic disease, blocking
VCAM-1 or using VCAM-1 knockout mice inhibits mast cell
precursor binding to endothelium and inhibits recruitment ofmast cell precursors to antigen-stimulated lungs and intestine(4, 5, 8, 36, 108). In a mouse model of atopic dermatitis,
VCAM-1 blockade reduces severity of inflammatory disease
and delays the onset of disease (53). In inflammatory boweldisease, antibody inhibition of VCAM-1 blocks T cell infil-
tration into the intestine (268). In an experimental model of
multiple sclerosis, blocking VCAM-1 inhibits T cell infiltrationinto the brain (23). Consistent with this, multiple sclerosis
patients have elevated VCAM-1 but not mucosal addressin
cell adhesion molecule-1 expression in brain tissue (10). Inclinical trials, blocking the VCAM-1 ligand, a4-integrin, with
antibodies (natalizumab) reduces disease severity in multiple
sclerosis and Crohn’s disease (61, 211). Unfortunately, treat-
ment of multiple sclerosis with natalizumab is complicatedby the rare occurrence of progressive multifocal leuko-
encephalopathy (61, 211). Thus, due to the side effects of
natalizumab, there is a need for alternative targets to limitVCAM-1-dependent inflammation. These alternative targets
are VCAM-1 itself or VCAM-1 signaling intermediates that
are discussed in this review.D. VCAM-1 regulation of inflammation during infection
VCAM-1 also has a role in regulation of inflammation
during infection (Table 1). During infections, microbial TLR
ligands and the cytokines of the immune response likely
stimulate VCAM-1 expression. VCAM-1 expression is in-duced by stimulation of TLRs on endothelium, dendritic cells,
and fibroblasts (82, 121, 295, 313). During lymphocytic chor-
iomeningitis virus infections, VCAM-1 expression by the en-dothelium mediates CD8 þT cell infiltration into the brain
(218). Moreover, deletion of VCAM-1 blocks disease severity
and blocks monocyte =dendritic cell migration into the brain
during lymphocytic choriomeningitis virus infections (218). Inexperimental visceral leishmaniasis, VCAM-1 interaction
with a4b1 integrin regulates the production of dendritic cells
since antibody inhibition of VCAM-1 or a4b1-integrin blocks
the dendritic cell response in the spleens in these mice (271).
Thus, VCAM-1 has regulatory functions in infection-induced
inflammation.
E. VCAM-1 function in cardiovascular diseases
It has been reported that VCAM-1 has an important role in
cardiovascular diseases and in the embryonic development of
the cardiovascular system (Table 1). VCAM-1 is required fordevelopment of the heart since the VCAM-1 knockout mouse
is an embryonic lethal due to malformation of the heart (105).
In atherosclerosis, VCAM-1 is the first adhesion moleculeexpressed before atherosclerotic plaque development (125). In
the carotid artery, neointimal formation is reduced by VCAM-
1 siRNA or by antibody blockade of a4b1-integrin in rodentsTable 1.Vascular Cell Adhesion Molecule -1Function in Disease
VCAM-1 function in the bone marrow and lymph node
1. B cell homing to the bone marrow (243)2. Proplatelet formation in the osteoblastic niche (221)
3. Hematopoietic stem cell recruitment to injured liver (138)
4. Melanoma metastasis to the liver (255, 299)5. Mesenchymal stem cell immunosuppression of T cell responses (243, 313)
VCAM-1 regulation of inflammatory disease
1. Eosinophil recruitment in asthma models (57, 107, 250)2. Mast cell precursor recruitment to lungs and intestine (4, 5, 8, 36, 108)3. Severity and onset of atopic dermatitis (53)
4. T cell infiltration into the intestine in inflammatory bowel disease (268)
5. T cell infiltration into the brain in multiple sclerosis (10, 23)
VCAM-1 regulation of inflammation during infection
1. VCAM-1 expression is induced by microbial activation of toll-like receptors on endothelium, dendritic cells, and
fibroblasts (82, 121, 295, 313).
2. CD8 þT cell infiltration into the brain during lymphocytic choriomeningitis virus infections (218)
3. Expansion of dendritic cells in experimental visceral leishmaniasis (271)
VCAM-1 function in cardiovascular diseases
1. Embryonic development of the heart (105)
2. VCAM-1 is the first adhesion molecule before atherosclerotic plaque development (125).
3. Neointimal formation in carotid artery (27, 236)4. Monocyte adhesion to atherosclerotic carotid arteries (123)
5. Calcification of aortic stenosis in patients with coronary artery disease (173)
6. Leukocyte recruitment after ischemia-reperfusion of the liver (138)7. Cardiac allograft rejection (41, 320)8. VCAM-1 expression in aorta during HIV infection (106)
Treatment with Natalizumab (anti- a4-integrin antibody)
1. Reduces disease severity in multiple sclerosis and Crohn’s disease (61, 211)2. Complications include the rare occurrence of progressive multifocal leukoencephalopathy (61, 211).
VCAM-1, vascular cell adhesion molecule-1.ROS AND ANTIOXIDANT REGULATION OF VCAM-1 SIGNALING 1611 | 82cc266a4c561a5cbcd0a248a21d64b4d2f53f6c | page_0004 |
(27, 236). In advanced stages of atherosclerosis, VCAM-1 can
be expressed by smooth muscle cells (38, 110). VCAM-1 isalso linked to calcification of aortic stenosis in patients with
coronary artery disease (173). In the atherosclerotic carotid
arteries, VCAM-1 mediates monocyte adhesion as dem-onstrated with anti-VCAM-1 blocking antibodies (123). In
cardiac allografts, lower levels of VCAM-1 expression are
indicative of a reduction in rejection (41, 320). In ischemia-reperfusion of the liver, blocking VCAM-1 inhibits leukocyterecruitment and injury (138). Also of interest, VCAM-1 ex-
pression is induced in the aorta in HIV transgenic rats (106).
Thus, VCAM-1 has an important regulatory role in cardio-vascular diseases.
Thus, in VCAM-1-dependent inflammatory diseases, the
specificity of cell types recruited in inflammatory diseases isdictated by the combination of adhesion molecules and by the
specific chemokines for activation of integrins on leukocyte
cell types. VCAM-1 binding and intracellular signaling arepotential targets for intervention in several diseases. There-fore, it is important to understand the mechanisms for
VCAM-1 functions so that approaches can be developed to
modulate VCAM-1-dependent inflammation during disease.In addition, selective inhibition of VCAM-1 function would
block excess inflammation in VCAM-1-mediated inflamma-
tory disease while maintaining the beneficial antimicrobialimmune responses that utilize the vascular adhesion mole-
cules ICAM-1 or PECAM-1.
III. VCAM-1 Structure =Function
A. VCAM-1 structure
VCAM-1 is a member of the immunoglobulin (Ig) super-
family of proteins. VCAM-1 is comprised of several extracel-lular Ig-like domains that contain disulfide-linked loops, a
single type I transmembrane domain, and a 19 amino acid
carboxyl-terminus cytoplasmic domain (157, 215) (Fig. 2).Interestingly, the amino acid sequence of this cytoplasmic
domain is 100% identical among several species, including
rat, mouse, human, and rabbit (22, 100, 118, 224, 232, 233). Theextracellular region of the full-length form of VCAM-1 con-tains seven Ig-like domains (Fig. 2). There is homology within
these Ig-like domains, such that domains 1 and 4 have se-
quence homology, domains 2 and 5 have sequence homology,and domains 3 and 6 have sequence homology (69, 119, 233).
In addition, there are splice variants of the full-length form ofVCAM-1. There are two human forms and two mouse forms
of VCAM-1 (Fig. 2). Human VCAM-1’s two splice variants
result in a receptor with either a seven Ig-like domain protein
or a six-domain VCAM-1 that lacks domain 4 (Fig. 2) (69, 70).Mouse VCAM-1 also has a full-length seven-domain form as
well as a truncated form with only the first three domains (Fig.
2). This mouse three-domain form of VCAM-1 is linked toglycophosphatidylinositol (GPI) for insertion in the plasma
membrane (146, 157, 200, 280). Moreover, this three-domain
variant has a 36 amino acid GPI-linker that is a unique se-quence not found in the six- or seven-domain VCAM-1 mol-ecules or in other members of the Ig superfamily (Fig. 2) (200).
It has been speculated that the GPI link might enable the
three-domain VCAM-1 to move through the plasma mem-brane faster than the other VCAM-1 variants, thereby quick-
ening the endothelial response to tethering a rolling leukocyte
(146).
B. Ligands and VCAM-1 binding regions
All of the variants of VCAM-1 have been shown to bind to
a
4b1integrin (VLA-4) (15, 85, 209, 215, 309) (Fig. 3). a4b1-
integrin also binds to fibronectin, heparin, and junction ad-
hesion molecule-B in endothelial junctions (176, 235, 258). Inaddition to a4b1-integrin, VCAM-1 can bind to other integrins
such as a
4b7integrin and adb2integrin (51, 102, 247). These
integrins are expressed by eosinophils, basophils, lympho-cytes, mast cells, and monocytes (5, 33, 36, 174, 197, 307). The
binding domains of VCAM-1 have been identified using a
combination of domain truncations, substitutions withICAM-1 sequences, and amino acid mutations. It has been
shown that a
4b1integrin binds to Ig-like domains 1 and 4 (216,
223, 244, 301). Antibody inhibition of either domain 1 or 4partially blocks Ramos cell a
4b1integrin binding to VCAM-1
(216) (Fig. 3). However, inhibition of both domains 1 and 4
completely blocks binding (216). In both domains 1 and 4, a
mutation of either an aspartate (domain 1 amino acid 40 ordomain 4 amino acid 328) or a leucine (domain 1 amino acid
43 or domain 4 amino acid 331) to an alanine results in a
significant reduction of Ramos cell binding to these VCAM-1mutants expressed in COS cells (Fig. 3) (244, 301). Mutating
several other amino acids in domain 1, including R36, Q38,
I39, P42, L70, or T72, reduces binding of a
4b1integrin and a4b7
integrin (58). However, mutations in domain 1 at N44 or E66
specifically reduce binding of a4b7integrin but not a4b1in-
tegrin (58). Of these mutations, D40 and L70 mutations are
reported to inhibit binding while not perturbing the grossstructure of VCAM-1 (58, 244). In addition, domain 2 is nec-
essary for the binding function of domain1 (244). Domain 1 of
VCAM-1 also binds a
4b7integrin as demonstrated using anti-
VCAM-1 domain 1 blocking antibodies or domain 1 blocking
peptides (216, 247, 321).
The binding to VCAM-1 is regulated by the activation state
of the integrins (51, 143). Integrins at low affinity roll on
VCAM-1, whereas the high affinity conformation of the in-
tegrins mediates firm adhesion to the endothelium that canwithstand the force of the blood flow (15, 99, 307). In addition,integrin binding to domains 1 versus domain 4 of VCAM-1 is
modulated by the degree of activation of the a
4b1integrin. The
a4b1integrin binding to domain 4 has a higher requirement for
activation than for binding to domain 1 (Fig. 3) (143). More-
over, a4b1integrin versus a4b7integrin differ in their activationTable 2.Leukocytes That Migrate on Vascular
Cell Adhesion Molecule -1
Leukocyte VCAM-1 site References
B cell Bone marrow 243
Eosinophil Allergic lung 57, 107, 250
Mast cell
precursorLungs and intestine 4, 5, 8, 36, 108
Monocyte Atherosclerotic
carotid arteries123
T cell Intestine in IBD 268
T cell Brain in multiple sclerosis 10, 23
T cell Brain in lymphocytic
choriomeningitisvirus infections2181612 COOK-MILLS ET AL. | 82cc266a4c561a5cbcd0a248a21d64b4d2f53f6c | page_0005 |
requirements for binding to domains 1 and 4 of VCAM-1
(143). For half maximal binding to domain 4 of VCAM-1, a4b1
integrin requires significantly higher activating concentra-
tions of divalent cations than a4b7integrin (Fig. 3) (143). The
binding activity of a4b1integrin to domain 1 of VCAM-1 is
also regulated by CD24 expression (143). Moreover, a4b7in-
tegrin binding to VCAM-1 requires a higher activation statethan for its binding to the mucosal addressin cell adhesion
molecule-1, an endothelial cell adhesion molecule (Fig. 3) (31).
Thus, the a
4-integrins bind to two domains of VCAM-1 and
this binding to VCAM-1 domains is regulated by the activa-tion state of the integrins.
In addition to integrins, VCAM-1 can bind galectin-3 (Fig.
3). It has been reported that recombinant galectin 3 columnsbind several proteins from BALB =3T3 cells, and the major
band, at 100 kD, was identified as VCAM-1 by mass spec-
trometry (278). Moreover, VCAM-1 is immunoprecipitatedfrom proteins bound to a recombinant galectin-3 column
(278). This galectin-3 binding to VCAM-1 is lost by treatment
of VCAM-1 with N-glycanase, indicating that VCAM-1’s N-
glycans bind to galectin-3 (278). There are six N-glycosylation
sites on VCAM-1 and these are located in domains 3–6 (Fig. 3)
(198). Galectin-3 has been implicated in eosinophil binding to
VCAM-1 (239). Eosinophil binding to endothelial cells ex-pressing VCAM-1 is blocked to an equal extent with anti-
a4b1-integrin or antigalectin-3 antibodies (239). Treatment
with these two antibodies together does not exhibit furtherinhibition of adhesion. Moreover, the interactions with
galectin-3 are complicated since it has been demonstrated by
ELISA that a4b1-integrin binds directly to galectin-3, that
galectin-3 can bind to galectin-3, and that endothelial cells
express galectin-3 in addition to VCAM-1 (239). In this study
of eosinophil binding to endothelial cells, it was not demon-strated whether galectin-3 on eosinophils directly bindsVCAM-1 (239). Thus, during eosinophil interactions with
endothelium, there are several galectin-3 ligands expressing
N-glycans, including VCAM-1.C. VCAM-1 is a part of the tetraspanin-enriched
microdomains
Several studies have examined the role of VCAM-1 in cell
adhesion and migration. In activated endothelial cells,
VCAM-1 is found in a lipid-raft-like platform containing
ICAM-1 and the tetraspanins CD9, CD81, and CD151, knownas the tetraspanin-enriched microdomain (Fig. 4) (24, 26, 113).
Fluorescent microscopy shows that when T cells adhere to
activated human umbilical vein endothelial cell (HUVEC)monolayers, VCAM-1, ICAM-1, CD9, CD81, and CD151 allcolocalize to rings surrounding the lymphocyte (24). The
specific interactions between ICAM-1, VCAM-1, and the tet-
raspanins within the tetraspanin-enriched microdomain weredemonstrated using coimmunoprecipitation and fluorescence
resonance energy transfer (FRET) analysis studies. Coimmu-
noprecipitation studies demonstrate that VCAM-1 associateswith CD151 and CD9 and that ICAM-1 associates with CD9
(25). FRET-fluorescence lifetime imaging microscopic analysis
in resting HUVECs reveal that VCAM-1 does not homo-dimerize nor does it form a heterodimer with ICAM-1.However, there is a low incidence of ICAM-1 homo-
dimerization (26). The FRET-fluorescence lifetime imaging
microscopic analysis also confirmed that VCAM-1 interactswith CD151 and that ICAM-1 interacts with CD9 [19, 22].
When CD151 and CD9 expression is reduced by siRNAs,
the surface expression of VCAM-1 and ICAM-1 is similarlyreduced, thereby suggesting a role for tetraspanins in struc-
turally supporting the surface expression of VCAM-1 and
ICAM-1. Under static binding conditions, the siRNA reduc-tion of CD9 or CD151 in HUVECs does not alter the level of
lymphocyte adhesion as compared to scrambled siRNA. In
addition, the siRNA does not alter paracellular permeability(24). In contrast, under physiological vascular shear stressof 5–15 dyn =cm
2, siRNA reduction of CD9 or CD151 signifi-
cantly decreases lymphocyte adhesion and lymphocyte
transmigration across HUVECs (24). Therefore, tetraspanins
FIG. 4. VCAM-1 is located
in tetraspanin-enriched mi-crodomains. VCAM-1 is
found in a lipid-raft-like plat-
form containing ICAM-1 andthe tetraspanins CD9, CD81,
and CD151, known as the
tetraspanin-enriched micro-domain. Upon ligand bindingto VCAM-1 or ICAM-1, the
membrane forms apical pro-
jections toward the leukocyte.ICAM-1, intercellular adhe-sion molecule-1.
ROS AND ANTIOXIDANT REGULATION OF VCAM-1 SIGNALING 1613 | 82cc266a4c561a5cbcd0a248a21d64b4d2f53f6c | page_0006 |
CD9 and CD151 are important for VCAM-1 expression and
function.
D. VCAM-1 in apical cup-like structures
When a leukocyte binds to the endothelium, the plasma
membrane of the endothelial cell forms an apical cup-like
structure (also referred to as the endothelial adhesive plat-
form) to surround the rolling leukocyte (Fig. 4) (24, 26, 47).Fluorescent microscopy shows that these cup-like struc-tures contain VCAM-1 and ICAM-1 but not ICAM-2, vascular
endothelial-cadherin, or PECAM-1 (47). It is likely that the
cup-like structure is important in mediating firm adhesionbetween the leukocyte and endothelial cell and enabling
transmigration. Confocal microscopy indicates that this apical
cup-like structure is surrounded by polymerized actin that isassociated with vinculin and VASP but is not connected to
basal stress fibers or tubulin (25). VCAM-1’s cytoplasmic
domain is not required for the formation of the apical cups. Inresting HUVECs transfected with a cytoplasmic tail-truncated
VCAM-1, T lymphocyte binding to the endothelial cells still
leads to the formation of an apical cup containing both thetransfected VCAM-1 and endogenously expressed ICAM-1(26). This finding suggests that proteins within the apical cup-
like structure are recruited through extracellular interactions
and not through their cytoplasmic domains (26).
E. Cytoplasmic domain of VCAM-1
The amino acid sequence of the cytoplasmic domain of
VCAM-1 is 100% identical among many mammalian species,including the human, mouse, rat, rabbit, Sumatran orangutan,
chimpanzee, common shrew, and microbat (22, 100, 118, 224, 232,
233) (NCBI NP001126200.1, NCBI XP001135527.1, EnsembleENSSARP00000011070, Ensemble ENSMLUP00000011488).The protein sequence for the cytoplasmic domain of VCAM-1
in guinea pig and dolphin differs from the above species by
only one conserved amino acid substitution (EnsembleENSTTRP0000001370, Ensemble ENSCPOP00000006062). This
high degree of identity suggests that the cytoplasmic domain is
important for VCAM-1 expression or function. VCAM-1 hasbeen shown to coimmunoprecipitate with ezrin and moesin, two
structural proteins in the cytosol that are known to bind to actin
(Fig. 3) (25). This was supported by confocal microscopy showing
the colocalization of VCAM-1 w ith ezrin and moesin (25). The
structure and function of the cytoplasmic domain of VCAM-1
during VCAM-1 signa ling are currently under investigation.
IV. Overview of a Model for VCAM-1 Signaling
A. Model of VCAM-1 signaling through ROS
During inflammation, VCAM-1 expression is induced on
endothelial cells by cytokines or turbulent shear stress. The
cytokines and turbulent shear stress signal through highlevels of short-lived ROS to induce NF kB-dependent activa-
tion of VCAM-1 expression in endothelial cells (46, 54, 142,
144, 166, 182, 196, 276). This VCAM-1 protein synthesis re-quires several hours. Then, ligand binding to VCAM-1 in-duces rapid transient signaling through low levels of ROS that
induce signals for the support of leukocyte transendothelial
migration. The activated endothelial cells in lymph nodes andinflammatory sites express VCAM-1 on their luminal surface
and their lateral surface but not on their basal surface (Fig. 5B).Therefore, at these endothelial surfaces, VCAM-1 activates
intracellular signals through ROS (Fig. 5A). Localized VCAM-1
signals that induce changes in endothelial cell shape during
leukocyte transendothelial migration are important since en-dothelial cell shape changes are confined to the site of leukocytebinding to the endothelium during leukocyte rolling and
FIG. 5. VCAM-1 signal transduction. (A) Model for
VCAM-1 signaling. Crosslinking of VCAM-1 activates cal-cium fluxes and Rac-1, which then activates endothelial cellNOX2. Nox2 catalyzes the production of superoxide that then
dismutates to H
2O2. VCAM-1 induces the production of only
1mMH2O2.H2O2activates endothelial cell-associated MMPs
that degrade extracellular matrix and endothelial cell surfacereceptors in cell junctions. The endothelial cell-derived H
2O2
also mediates a 2–5 h delayed activation of lymphocyte-associated MMPs by inducing the degradation of leukocyteTIMPs. H
2O2diffuses through membranes at 100 mm=s to ac-
tivate p38MAPK. H 2O2also oxidizes and transiently activates
endothelial cell PKC a. PKC aphosphorylates and activates
PTP1B on the endoplasmic reticulum. PTP1B is not oxidized.These signals through ROS, MMPs, PKC a, and PTP1B are
required for VCAM-1-dependent leukocyte transendothelial
migration. The G protein G ai is also involved in VCAM-1
signaling. (B) Mouse lung tissue section from antigen-
challenged lungs was labeled with anti-VCAM-1 and a
TRITC-conjugated secondary antibody. VCAM-1 labels the
luminal and lateral, but not the basal surface of vascularendothelial cells in vivo . ER, endoplasmic reticulum; H
2O2,
hydrogen peroxide; MMP, matrix metalloproteinase;
oxPKC a, oxidized protein kinase C a; PTP1B, protein tyrosine
phosphatase 1B; ROS, reactive oxygen species; TIMP, tissueinhibitor of metalloproteinase.1614 COOK-MILLS ET AL. | 82cc266a4c561a5cbcd0a248a21d64b4d2f53f6c | page_0007 |
transendothelial migration. The signals in this pathway are
transient and occur within minutes, consistent with the tran-
sient, rapid nature of leukocyte transendothelial migration.
An overview of VCAM-1 signals is introduced here before
specifically discussing each of these signals. It has been re-
ported that activation of VCAM-1 stimulates calcium chan-
nels, intracellular calcium release, the G protein G ai2, and the
low-molecular-weight G protein Rac1 (65, 184, 225). The cal-
cium flux and Rac1 activate the NADPH oxidase NOX2 (65,
184). VCAM-1 does not activate other enzymes that generateROS (184). The activated NOX2 generates superoxide thatthen dismutates to hydrogen peroxide (H
2O2), generating
1mMH2O2during VCAM-1 signaling (65, 286). This 1 mM
H2O2is relatively low as compared to the 50–200 mMH2O2
produced by macrophages or neutrophils (66, 74). It is also
much lower than the exogenous 100–1000 mMH2O2added to
endothelial cells in studies on oxidative damage of endothe-lium or the exogenous 400 mMH
2O2added to endothelial cells
in studies for ROS induction of VCAM-1 expression (20, 116,
120, 165, 289). These differences in H 2O2levels are important
in understanding functions of oxidation, as we and othersreported that 1 mMH
2O2and>50mMH2O2have opposing
effects on signal transduction (1, 73, 90, 238).
During VCAM-1 signaling, the 1 mMH2O2oxidizes the pro-
domain of matrix metalloproteinases (MMPs), causing auto-
catalytic cleavage of the pro-domain and activation of the
MMPs. The 1 mMH2O2also diffuses through cell membranes
at 100 mm=s (183). In contrast, superoxide remains primarily
extracellular as it has a relatively low diffusion rate across
membranes. These intracellular ROS activate endothelial cellp38MAPK for the regulation of endothelial cell gap formation
(294). The 1 mMH
2O2also directly oxidizes and transiently
activates intracellular protein kinase C a(PKC a) in endothelial
cells (1). This activated PKC ainduces phosphorylation and
activation of protein tyrosine phosphatase 1B (PTP1B) (72).
Interestingly, the PTP1B that has an oxidizable cysteine in its
catalytic domain is not oxidized during VCAM-1 signaling inendothelial cells (72), indicating specificity of targets for oxi-
dation by the low concentrations of ROS generated during
VCAM-1 signaling. The signals downstream of the PTP1B thatregulate endothelial cell junctions are currently under further
investigation. Most importantly for this signaling pathway, the
signals in Figure 4A have been demonstrated to function inregulation of VCAM-1-dependent leukocyte transendothelialmigration in vitro andin vivo (1, 2, 30, 65, 72, 73, 140, 184, 225).
Thus, VCAM-1 is not simply a scaffold for leukocyte adhesion,
since it also activates ‘‘outside-in’’ signal transduction in en-dothelial cells. Several of these VCAM-1 signals are also acti-
vated by other adhesion molecules. For example, VCAM-1 and
ICAM-1 both activate calcium fluxes, PKC, p38MAPK, andcytoskeletal changes in endothelial cells (88, 305, 306).
B. Cell models for VCAM-1 signals
To examine VCAM-1 signaling, both cytokine-activated
primary cultures of endothelial cells and endothelial cell linesare necessary, since there are distinct advantages to each ofthese approaches. Primary cultures of cytokine-activated en-
dothelial cells have the advantage of being primary cells that
can be specifically stimulated by crosslinking VCAM-1 withanti-VCAM-1 antibody-coated beads (Fig. 6). However, acti-
vated primary cultures of endothelial cells express multipleadhesion receptors for leukocytes and thus are difficult to use
to examine functions specific to VCAM-1 during leukocyte
transendothelial migration (Fig. 6). The advantage of the
murine endothelial cell line lymph node-derived high endo-thelial venule-like (mHEV) cells is that the mHEV cells express
VCAM-1 but not multiple other receptors for leukocyte mi-
gration (Fig. 6, Table 3) (285). Thus, leukocytes migrate specif-ically on VCAM-1 on the mHEV cells, without complications
due to leukocyte binding to many other vascular adhesion
molecules (285). The leukocyte adhesion to the mHEV cells isblocked by function blocking antibodies to VCAM-1 and itsligand a4-integrin but not other adhesion molecules (Fig. 6,
Table 3) (184, 285). Further, VCAM-1 is constitutively expressed
by the mHEV cells; therefore, analysis of VCAM-1 signaling isnot complicated by signals from cytokine induction of VCAM-1
expression (64, 285). Thus, the mHEV cells provide a model to
test the functional outcome of VCAM-1 signals on VCAM-1-dependent leukocyte migration. In addition, the migration of
leukocytes across the mHEV cells is induced by the chemokine
monocyte chemoattractant protein-1, which is constitutivelyexpressed by the mHEV cells (Fig. 6) (237). When examining themigration of spleen cells, the cells that migrate across the mHEV
cells are >90% lymphocytes (286). Eosinophils also migrate on
VCAM-1 in this mHEV model (unpublished data). Moreover,antibody crosslinking of VCAM-1 on mHEV cells or activated
primary cultures of endothelial cells generate the same time
course and magnitude of signals. Thus, the mHEV cell lines andprimary cultures of activated endothelial cells provide models
with unique assets to examine VCAM-1 signals during VCAM-
1-dependent leukocyte migration (Fig. 6).
For activation of VCAM-1 by antibody crosslinking, anti-
VCAM-1 antibodies are either used to coat 10 mm beads that are
the size of leukocytes (Fig. 6) or are used in antibody complexescomposed of anti-VCAM-1 and a secondary antibody (1, 65, 72,73). VCAM-1 signals are not activated by primary anti-VCAM-
1 antibodies alone (184), indicating that crosslinking is neces-
sary. Leukocyte binding to the mHEV cell lines or antibodycrosslinking of VCAM-1 on mHEV cell lines activates signals
with the same magnitude and time course (65, 184). Further,
antibody crosslinking of VCAM-1 on cytokine-activated pri-mary cultures of human endothelial cells (HUVECs or human
microvascular endothelial cells from lung) stimulates VCAM-1
signaling with the same magnitude and time course as themHEV cell lines, indicating that the VCAM-1 signals are con-sistent for these endothelial cells. In addition to activation by
VCAM-1 directly, the VCAM-1 signaling intermediate 1 mM
H
2O2(Fig. 6) is sufficient to activate the downstream signals
with the same time course as crosslinking VCAM-1 (65, 184).
Therefore, for the study of VCAM-1 function, a combination of
cell approaches is used to identify VCAM-1 ‘‘outside-in’’ sig-nals and, importantly, used to define whether the VCAM-1
signals have a functional role in VCAM-1-dependent leukocyte
migration. Approaches for examining the in vivo function
VCAM-1 signals are included later in this review in section VII
discussing the in vivo role of VCAM-1 signals.
V. VCAM-1 Signals Through ROS During Leukocyte
Transmigration
A. VCAM-1 activates calcium fluxes, Rac1, and G ai
Ligand binding to VCAM-1 activates rapid signals in en-
dothelial cells (Fig. 5). Lymphocyte binding to VCAM-1 orROS AND ANTIOXIDANT REGULATION OF VCAM-1 SIGNALING 1615 | 82cc266a4c561a5cbcd0a248a21d64b4d2f53f6c | page_0008 |
anti-VCAM-1-coated 10 mm beads stimulates a calcium flux
in 30 s in endothelial cells. This calcium flux is mediated by
verapamil-sensitive calcium channels and the release of in-tracellular calcium, which are required for the production of
1mMH
2O2in mHEV cells (65). A calcium flux is also induced
by VCAM-1-dependent monocyte adhesion or antibodycross-linking of VCAM-1 on lipopolysaccharide-activated
HUVECs (175). In addition, anti-VCAM-1-coated 10 mm bead
stimulation of endothelial cells activates Rac1 that is requiredfor the production of the 1 mMH
2O2by the endothelial cells
(Fig. 5) (65). Transfection with dominant negative Rac1 pre-
vents the anti-VCAM-1-stimulated generation of H 2O2(65).
Dominant negative Rac-1 also blocks VCAM-1-dependentmigration of lymphocytes across mHEV cell monolayers (65)
and blocks migration of U-937 cells across cytokine-activated
HUVECs (294). Thus, since Rac1 is involved in the assembly ofthe active NOX2 complex and, as discussed below, VCAM-1
stimulation of H
2O2generation occurs through NOX2, endo-
thelial Rac1 likely promotes assembly of NOX2 complex for-mation during VCAM-1 signaling (Fig. 5) (34, 77, 168). In
addition to VCAM-1 signaling through the low-molecular-
weight G protein Rac1, VCAM-1 also signals through G ai. In
in vitro assays for VCAM-1-dependent transmigration, leuko-
cyte transmigration across monolayers of endothelial cells was
blocked by the G ai inhibitor pertusis toxin without altering the
VCAM-1-dependent binding to the apical surface of the en-dothelial cells (225). Thus, VCAM-1 activates calcium fluxes
and the G proteins Rac1 and G ai. The mechanisms for VCAM-1
activation of these G proteins are under investigation.
B. VCAM-1 activation of endothelial cell NOX2
during leukocyte transmigration
1. VCAM-1 activates NOX2. The VCAM-1 stimulation of
calcium fluxes and Rac-1 activates the membrane complexNADPH oxidase in endothelial cells for the production of
ROS (Fig. 5) (65, 294). NADPH oxidase catalyzes the pro-
duction of superoxide from oxygen using the cofactorNADPH. Then, superoxide dismutates to H
2O2. NADPHoxidases consist of two transmembrane subunits and three
cytoplasmic subunits that are recruited to the membrane to
form the active NADPH oxidase complex (7, 192). There areseveral forms of NADPH oxidase that differ in their catalytic
subunit and their cell-specific expression (65, 74, 132, 169, 192,
290). Endothelial cells express the NADPH oxidase subunitsgp91 phox, p22 phox, p47 phox, and p67 phox (132, 192).
Lymphocyte binding to VCAM-1 or anti-VCAM-1-coated
beads activate the NOX2 form of NADPH oxidase, whichutilizes the gp91phox catalytic subunit (2, 63, 65, 73, 140, 184).The VCAM-1 activation of NOX2 has been demonstrated inFIG. 6. Activation of
VCAM-1 signals. Cells: (A, D)
Cytokine-activated primary
cultures of endothelial cellsexpress multiple receptors forleukocyte adhesion. (B–D)
Immortalized endothelial cell
lines (mHEV) constitutivelyexpress VCAM-1 but not other
ligands for leukocytes. The
mHEV cells also express MCP-1 that induces leukocytetransmigration. Stimulation:
(A, C) Anti-VCAM-1-coated
beads crosslink VCAM-1 andactivate VCAM-1 signaling. Incontrast, soluble anti-VCAM-1
antibodies do not activate
VCAM-1 signaling. (B)Leu-
kocyte binding to VCAM-1 on mHEV cells crosslinks VCAM-1 and activates VCAM-1 signaling. (D)Exogenous 1 mMH
2O2
activates VCAM-1 signals downstream of NOX2 to determine whether H 2O2is sufficient for the signaling. MCP-1, monocyte
chemoattractant protein; mHEV, lymph node-derived high endothelial venule-like cells.
Table 3.Leukocyte Binding to Lymph Node-Derived
High Endothelial Venule-Like Cells
Adhesion Molecule mAbs that inhibit adhesion
a4-integrin R1-2 þ9C10
PS=2
VCAM-1 M =k-2
MVCAM.A
mAbs that do not inhibit adhesion
LFA-1 M17 =4
ICAM-1 3E2
ICAM-2 3C4L-selectin MEL-14
activated b1-integrin 9EG7
a4b7-integrin DATK32
Adhesion molecules not expressed by lymph node-derived high
endothelial venule-like cells (as determined by cDNA microarray
and immunolabeling)
Platelet-endothelial cell adhesion molecule-1
ICAM-1
P-selectin
E-selectinMucosal addressin cell adhesion molecule-1MECA antigens
ICAM-1, intercellular adhesion molecule-1.1616 COOK-MILLS ET AL. | 82cc266a4c561a5cbcd0a248a21d64b4d2f53f6c | page_0009 |
several studies using antisense for the catalytic subunit of
NOX2 (gp91phox), pharmacological inhibitors, extracellular
scavengers of superoxide and H 2O2, and chimeric gp91phox
deficient (CYBB) mice (2, 63, 65, 73, 140, 184). Antisense forgp91 phox blocks expression of gp91 phox in endothelial cell
lines and blocks VCAM-1-induced H
2O2production in en-
dothelial cells (65). The pharmacological inhibitor of NADPHoxidase apocynin blocks VCAM-1-stimulated H
2O2genera-
tion in endothelial cell lines and primary cultures of endo-
thelial cells (184). Exogenous addition of the scavenger ofsuperoxide, superoxide dismutase, or the scavenger of hy-drogen, catalase, scavenge these species of extracellular ROS
and block VCAM-1-dependent leukocyte transendothelial
migration in vitro (184). Importantly, anti-VCAM-1-coated
beads stimulate ROS generation in primary cultures of en-
dothelial cells and in mHEV cells with the same time course
and magnitude, indicating that these signals are consistent forendothelial cells (184, 294). In contrast to VCAM-1 activation
of NADPH oxidase, it has been reported that antibody cross-
linking of the endothelial cell adhesion molecules ICAM-1 andPECAM-1 does not activate endothelial cell NADPH oxidase(184, 291). In support of NOX2 activation by VCAM-1 but not
ICAM-1 or PECAM-1, mice deficient in nonhematopoietic
NOX2 exhibit a reduction in VCAM-1-dependent recruitmentof leukocytes but no effect on ICAM-1-dependent or PECAM-
1-dependent recruitment of leukocytes (2).
2. VCAM-1 signals through NOX2 mediate VCAM-1-
dependent leukocyte transmigration. VCAM-1-dependent
lymphocyte transmigration requires NOX2-generated ROS. Itis reported that VCAM-1-dependent lymphocyte transen-
dothelial migration in vitro is blocked by pharmacological
inhibition of NADPH oxidase with apocynin, blocked by in-hibition of endothelial cell flavoproteins with diphenyliodo-nium, and blocked by extracellular scavenging of ROS with
superoxide dismutase or catalase (2, 184). These inhibitors
block lymphocyte transmigration without affecting VCAM-1-dependent adhesion of leukocytes to the endothelial cells (2,
184). In contrast, VCAM-1 does not activate other ROS gen-
erating enzymes for VCAM-1-dependent lymphocyte migra-tion because VCAM-1-dependent migration is not affected by
pharmacological inhibition of xanthine oxidase, nitric oxide
synthase, or cytochrome P450 (184). In addition, inhibition ofendothelial cell PI3 kinase and tyrosine kinases does not blockVCAM-1-dependent leukocyte transendothelial migration
(184). In contrast to the function of endothelial cell NADPH
oxidase, lymphocyte flavoproteins, including NADPH oxi-dase, are not required for VCAM-1-dependent lympho-
cyte transendothelial migration (184). Thus, NADPH oxidase
in endothelial cells but not lymphocytes is required forVCAM-1-dependent lymphocyte migration. Moreover,
pharmacologic and antisense inhibition of NADPH oxidase or
scavenging of ROS in endothelial cells blocks VCAM-1-dependent ROS generation and VCAM-1-dependent leuko-
cyte migration.
3. VCAM-1-induced NOX2 generates low concentrations
of ROS with specific signals that are distinct from signals by
high levels of ROS. The level of VCAM-1-stimulated ROS
production is much lower than the level of ROS that causeoxidative damage in tissues. To measure these low levels of
VCAM-1-stimulated ROS, the ROS-sensitive probe dihy-drorhodamine 123 has been used (65, 184). This probe be-
comes fluorescent when oxidized by H
2O2, but not by
superoxide, in the presence of cellular peroxidases (114). In
addition, although xanthine oxidase-generated ROS can oxi-dize dihydrorhodamine 123, VCAM-1 does not activate xan-
thine oxidase signaling (184). Importantly, only 1 mMH
2O2is
produced by the endothelial cells when lymphocytes bind toVCAM-1 or when VCAM-1 is crosslinked by anti-VCAM-1-
coated beads (63, 65, 73, 184, 286). This is in contrast to the 50–
200mMH
2O2released by neutrophils and macrophages for
the destruction of pathogens (66, 74) or released in diseasestates for oxidative damage such as atherosclerosis, pulmo-
nary fibrosis, ischemia-reperfusion syndrome, and neurode-
generative diseases (241, 281). The oxidative damage toendothelial cell functions and junctions by large amounts of
H
2O2(200–1000 mM) (28, 93, 116, 120, 141, 165, 193) are not
consistent with the signals that occur during VCAM-1 sig-naling and leukocyte transendothelial migration. During
VCAM-1 signaling, 1 mMH
2O2directly activates MMPs (73,
238), directly activates PKC a(1), and indirectly stimulates an
increase in PTP1B activity (1). In contrast, high levels of H 2O2
(>50mM) directly inhibit MMPs (73, 238), inhibit PKC a(1),
and inhibit tyrosine phosphatases (90). The function of the
low levels of ROS for the generation of rapid, transient, andreversible signals is important because once a leukocyte
reaches an endothelial cell junction, the process of transmi-
gration occurs within a couple of minutes. The mechanismsfor VCAM-1 =ROS-induced activation of MMPs, PKC a, and
changes in endothelial cell shape are discussed below.
C. VCAM-1 signals through NOX2 modify endothelial
cell actin polymerization and intercellular gap formation
VCAM-1 signals mediate changes in endothelial cell actin
structure. At the site of VCAM-1 binding, the endothelial cell
actin coalesces at the endothelial cell surface, forming a cup-like structure in endothelial cell lines and cytokine-activated
primary endothelial cells (25, 26, 47, 184). This VCAM-1-
stimulated change in actin structure is mediated by endo-thelial cell NADPH oxidase (184, 294). VCAM-1-stimulated
Rac1 and ROS also induce intercellular gap formation and loss
ofb-catenin at the gaps in IL-1 b-activated HUVECs (294). The
VCAM-1-activated intercellular gaps require VCAM-1 acti-
vation of Rac1 and ROS since the VCAM-1-induced gap for-
mation is blocked by a dominant negative Rac1 or the ROSscavengers N-acetyl- l-cysteine and catalase (294). VCAM-1-
stimulated Rac1 and ROS activate p38MAPK and the inhi-
bition of p38MAPK with the pharmacological inhibitor
SB-203580 blocks the VCAM-1-induced intercellular gap for-mation in monolayers of endothelial cells (294). Thus, VCAM-
1 induces cell shape changes in endothelial cell structure.
Endothelial cell actin restructuring is important for endothe-lial cell shape changes during transendothelial migration of
leukocytes.
D. VCAM-1-induced ROS activate MMPs
1. Rapid activation of endothelial cell-associated MMPs.
ROS production by VCAM-1-stimulated-endothelial cells ac-
tivates MMPs (Fig. 5) (73). MMPs are held at the cell surface by
membrane type-MMPs (MT-MMPs) and adhesion molecules.MMP-2 binds to transmembrane MT1-MMP (MMP14) (329).
MMP-9 and MMP-7 bind to cell surface CD44 (3, 205, 324),ROS AND ANTIOXIDANT REGULATION OF VCAM-1 SIGNALING 1617 | 82cc266a4c561a5cbcd0a248a21d64b4d2f53f6c | page_0010 |
and pro-MMP-9 can bind to ICAM-1 (92). It is also reported
that MMP-1, MMP-2, and MMP-9 bind to a2b1integrin on
keratinocytes, avb3integrin on endothelial cells, and a2in-
tegrin on epithelial cells, respectively (260). The MMPs boundto the endothelial cell surface can have local functions,
whereas MMPs released by endothelial cells are washed away
by the flow of blood. Endothelial cell-associated MMP2 andMMP9 are activated by lymphocyte binding to VCAM-1 or
antibody crosslinking of VCAM-1 as determined by gelatin
zymography (73). This occurs without altering levels of cell-associated MMPs or tissue inhibitors of MMPs (TIMPs) asdetermined by western blot (73). The time course and mag-
nitude of this MMP activation is the same for lymphocyte
binding to VCAM-1 and for antibody crosslinking of VCAM-1on either endothelial cell lines or IL-4-activated primary cul-
tures of endothelial cells (73). Moreover, this activation of
endothelial cell-associated MMPs occurs within minutes,which is consistent with the 2 min leukocyte transendothelial
migration process once a leukocyte reaches a site for migra-
tion. The anti-VCAM-1-coated bead activation of the endo-thelial cell MMPs is not altered by laminar flow, at the ratefound in postcapillary venules (2 dynes =cm
2) (73). Thus, this
force of ‘‘tugging’’ on VCAM-1 does not influence the sig-
naling for activation of MMPs, whereas signaling by otheradhesion molecules is influenced by the force on the receptor
(12). The VCAM-1-stimulated activation of endothelial cell-
associated MMP2 and MMP9 is mediated through ROSbecause the MMP activation is blocked by pretreatment of
endothelial cells with antisense against the NADPH catalytic
subunit gp91 phox, pharmacologic inhibitors of NADPH ox-idase or scavenging of H
2O2with exogenous catalase (73).
Interestingly, the same magnitude and rapid time course for
activation of endothelial-associated MMPs also occurs whenVCAM-1 is bypassed by addition of the VCAM-1 signalingintermediate, exogenous 1 mMH
2O2(73).
In contrast to the VCAM-1-mediated activation of MMPs
by 1 mMH2O2, high concentrations of exogenous H 2O2
(>50mMH2O2) induce oxidative damage and inhibit basal
endothelial cell-associated MMP activity (73). This is consis-
tent with a report by Rajagopalan et al. (238), indicating that
purified MMPs are inhibited by H 2O2at concentrations
>50mM, whereas 1 mMH2O2activates purified MMPs (238).
Thus, low concentrations of H 2O2activate MMPs, whereas
high levels of H 2O2inhibit MMP enzymatic activities and
induce oxidative damage (20, 165, 289). The data in these re-
ports emphasize the opposing regulatory functions of low
versus high levels of ROS.
The mechanism for ROS activation of MMPs is conserved
among the MMPs. Briefly, MMPs are synthesized in a non-
active form, containing a conserved propeptide cysteine thatis bound to the conserved zinc atom in the active site of the
MMPs. ROS oxidize the cysteine in the propeptide domain
that opens the propeptide arm and exposes the MMP activesite (204). This opening of the propeptide arm stimulates au-
tocatalytic removal of the arm, forming an active MMP (293).
Thus, H
2O2does not have specificity for MMP isozymes given
the conserved cysteine-zinc bond in pro-MMPs (204) and therate of diffusion of H
2O2at 100 mm=s (183). Therefore, H 2O2
activates those MMP isozymes expressed at the sites of
VCAM-1-stimulated ROS generation.
The MMPs that are activated during VCAM-1 signaling
degrade extracellular matrix and may cleave endothelial celljunction molecules. It has been reported that MMPs can cleave
the endothelial cell junction molecule vascular endothelial-
cadherin (117). This degradation by MMPs likely participates
in opening endothelial cell–cell adhesions for the formation ofpassageways through which leukocytes can migrate. Con-
sistent with this, it is reported that the VCAM-1-stimulated
ROS-activation of endothelial cell-associated MMPs regulatesVCAM-1-dependent leukocyte transmigration. In these
studies, endothelial cells on transwells were pretreated with
the MMP inhibitors GM6001 or BB3103 and washed beforethe migration assay (73). MMP inhibitor pretreatment of en-dothelial cell lines blocked VCAM-1-dependent lymphocyte
migration in a dose-dependent manner without affecting cell
viability (73). The last wash, from cells that had been pre-treated with inhibitor, did not affect migration of untreated
cells, indicating that the inhibitor-treated cells were suffi-
ciently washed and that the effect of the inhibitor was on theendothelial cells (73). In addition, the MMP inhibitor blocked
anti-VCAM-1 stimulated endothelial cell-associated MMP
activity (73). Romanic et al. (245) also demonstrated that
TIMP-2-mediated inhibition of MMP activity blocks T celltransmigration (245), although they did not determine
whether inhibition with TIMP-2 was mediated by blocking
lymphocyte or endothelial cell MMPs. Thus, endothelial cell-associated MMP activity is necessary for VCAM-1-dependent
lymphocyte transendothelial migration. Further, the require-
ment for VCAM-1-stimulated endothelial cell ROS genera-tion and endothelial cell-associated MMP activity during
lymphocyte migration indicate that the endothelial cell has
an active role in VCAM-1-dependent lymphocyte migration(Fig. 5).
2. Delayed activation of lymphocyte-associated MMPs.
Since H
2O2diffuses rapidly (183), endothelial cell H 2O2that is
generated during VCAM-1 signaling has the potential to also
very rapidly activate MMPs on the surface of leukocytes when
leukocytes are bound to the endothelium. However, severalreports indicate that upon binding to VCAM-1, lymphocyte
MMPs are activated but only after prolonged periods of 2–
12 h (73, 87, 245, 318). This delay in lymphocyte MMP acti-vation is a consequence of the high levels of TIMPs expressed
by the leukocytes. Deem et al. reported that endothelial cell-
derived ROS generated during lymphocyte binding toVCAM-1 activates lymphocyte MMPs at 2 h (73). In thesestudies, lymphocytes were incubated with monolayers of
endothelial cells, nonbound lymphocytes were removed by
washing, and bound lymphocytes were released from themonolayers by reversing lymphocyte binding with soluble
anti-VCAM-1. Lymphocyte MMP9 was activated at 2–5 h (73).
This activation of lymphocyte MMPs is mediated by endo-thelial cell-derived ROS, as the activation is blocked by
pharmacological inhibition of endothelial cell ROS generation
with diphenyliodonium or apocynin but not by pharmaco-logic inhibition of ROS-generating enzymes in lymphocytes
(73). Moreover, exogenous addition of 1 mMH
2O2to purified
lymphocytes induces activation of lymphocyte-associatedMMPs that is also delayed for 2 h, indicating that 1 mMH
2O2
activates the lymphocyte MMPs with the same time course
and magnitude as ligand binding to VCAM-1 (73). Interest-
ingly, after a 5 h treatment of purified lymphocytes with 1 mM
H2O2, the expression of lymphocyte MMP9 is not altered, but
the expression of tissue inhibitor of MMP (TIMP)-1 and1618 COOK-MILLS ET AL. | 82cc266a4c561a5cbcd0a248a21d64b4d2f53f6c | page_0011 |
TIMP2 by lymphocytes is reduced by 60%–80% as determined
by western blot (73). Thus, H 2O2activates lymphocyte MMPs
by oxidation and loss of TIMPs, the endogenous inhibitors of
MMPs. The mechanism for this VCAM-1 =ROS-induced loss
of TIMPs is, at least, through proteosome degradation of the
TIMPs because the 1 mMH2O2-induced loss of TIMP expres-
sion is blocked by the proteosome inhibitor MG132 (Fig. 7).Thus, the ROS-induced reduction in TIMPs on lymphocytes
results in a threefold increase in the MMP9 =TIMP ratio, re-
flecting a net increased MMP activity at 2–5 h. Thus, H
2O2
activation of the lymphocyte-associated MMPs is mediated bythe downregulation of the expression of the relatively high
levels of TIMPs on lymphocytes without altering expression
of lymphocyte MMPs (73). Thus, the mechanism for the acti-vation of lymphocyte MMPs is through ROS inactivation of
the TIMPs. This is in contrast to a direct effect of H
2O2on
endothelial cell-associated MMPs for the rapid activation ofendothelial cell MMPs within minutes. The activation of
lymphocyte-associated MMPs is too late for lymphocyte
MMP function during transmigration because transmigrationoccurs within a few minutes. Moreover, pretreatment oflymphocytes with the MMP inhibitors GM6001 or BB3103,
followed by a wash, does not alter VCAM-1-dependent
transmigration (73).
3. The antioxidant bilirubin inhibits VCAM-1-induced MMP
activation. Thein vitro studies on VCAM-1 activation of ROS
demonstrate that endothelial cell production of ROS rapidly
activates endothelial cell-associated MMPs that are required
for VCAM-1-dependent lymphocyte migration. The antioxi-dant bilirubin blocks this VCAM-1-dependent lymphocyte
migration in vitro and blocks VCAM-1 activation of MMPs
(140). Bilirubin is generated from heme by hemoxygenase-1(140, 249). After generation of bilirubin, it can undergo redoxcycling such that oxidation of bilirubin converts it to biliver-
din (249, 259, 272, 273). Bilirubin and biliverdin are membrane
permeable (217, 273). Biliverdin is recycled back to biliru-bin by biliverdin reductase and the cofactor NADPH (140).
Hemoxygenase-1 and biliverdin reductase are expressed by
endothelial cells and endothelial cell lines (140). Further, bil-irubin is taken up by endothelial cells, and thus bilirubin in
endothelial cells can function as an antioxidant (140). Bilirubin
acts as an antioxidant in that it reduces oxidized phospho-lipids with the approximate rate of antioxidant vitamins (274).Concentrations of bilirubin in the upper physiological range
block anti-VCAM-1 activation of endothelial cell-associated
MMP2 and MMP9 without affecting cell viability (140). Fur-ther, bilirubin blocks VCAM-1-dependent migration of lym-
phocytes across endothelial cells in vitro without affecting cell
viability (140). Consistent with an antioxidant function forbilirubin, VCAM-1-dependent lymphocyte migration is not
blocked by the stable bilirubin conjugate ditaurobilirubin that
cannot scavenge ROS (140). The bilirubin inhibition of lym-phocyte migration results from an inhibition of migration
rather than inhibition of lymphocytes available for migration
as the number of lymphocytes bound to the endothelial cellmonolayer is unaffected by bilirubin (140). Therefore, theantioxidant bilirubin blocks VCAM-1-dependent lymphocyte
migration across endothelial cells, at least by, blocking the
ROS-mediated activation of MMPs.
To summarize VCAM-1 activation of MMPs, lymphocyte
binding to VCAM-1 activates endothelial cell generation ofROS, which induces a delayed activation of lymphocyte
MMPs. This delay in ROS-induced MMP activity in lym-phocytes is a consequence of the time required for a reductionin TIMP expression. The 2–5 h delay in activation of the
lymphocyte-associated MMPs is too late for transendothelial
migration but likely regulates migration of lymphocytesthrough extravascular tissues. In contrast, pretreatment of
endothelial cells with these MMP inhibitors blocks leukocyte
transendothelial migration. Thus, the delayed activation oflymphocyte MMPs is consistent with the requirement for
endothelial cell MMPs, but not lymphocyte MMPs, during
VCAM-1-dependent lymphocyte migration.
E. VCAM-1 signals oxidize and activate PKC a
VCAM-1-induced H
2O2, which can diffuse through mem-
branes at 100 mm=s (183), stimulates intracellular signals
through PKC a(Fig. 5) (1). Ligand binding to VCAM-1 acti-
vates autophosphorylation of PKC aThr638 in endothelial cell
lines or primary cultures of endothelial cells (1). This activa-
tion of PKC ais blocked by inhibition of NADPH oxidase or
FIG. 7. The level of hydrogen peroxide produced during
VCAM-1 signaling induces degradation of TIMP-2 onleukocytes. BALB =c mouse spleens were collected and red
blood cells were lysed by hypotonic shock. The leukocytes
were nontreated (NT) or treated with the proteosome in-
hibitor MG132, and then 1 mMH
2O2was added. This is the
level of H 2O2generated during VCAM-1 signaling. After 5 h,
the cells were lysed and TIMP-2 expression was examined by
western blot. H 2O2induced the loss of TIMP-2 on leukocytes,
and this loss was blocked by the proteosome inhibitor. Thetreatments had no affect on cell viability (data not shown).
The western blots are representative from three indepen-
dent experiments. The data are presented as mean /C6SEM.
*p<0.05 as compared to the NT control.ROS AND ANTIOXIDANT REGULATION OF VCAM-1 SIGNALING 1619 | 82cc266a4c561a5cbcd0a248a21d64b4d2f53f6c | page_0012 |
scavenging of ROS (1). Moreover, this VCAM-1 activation of
PKC ais induced by direct oxidation of PKC acysteines (1).
Bypassing VCAM-1 by exogenous addition of the VCAM-1
signaling intermediate, 1 mMH2O2, also stimulates activation
of PKC awith the same time course as that for ligand binding
to VCAM-1, indicating that 1 mMH2O2is sufficient for acti-
vation of endothelial cell PKC a(1). Importantly, VCAM-1
activation of PKC ais required for VCAM-1-dependent leu-
kocyte transmigration because VCAM-1-dependent leuko-
cyte transendothelial migration is blocked by dominantnegative PKC aor selective pharmacological inhibitors of
PKC awithout affecting leukocyte binding to the endothe-
lial cells (1). Thus, VCAM-1 stimulates oxidative activation
of endothelial cell PKC a, which is required for VCAM-1-
dependent leukocyte transendothelial migration.
F. VCAM-induced PKC activates PTP1B
VCAM-1 signaling viaROS and PKC aactivates down-
stream signals in endothelial cells through PTP1B (Fig. 5) (72).Ligand binding to VCAM-1 increases PTP1B serine phos-phorylation and the phosphatase activity of PTP1B in endo-
thelial cells (72). This activation of PTP1B is blocked by
inhibition of endothelial cell NADPH oxidase or inhibitionwith the PTP1B inhibitor, CinnGEL-2ME (72). CinnGEL-2ME
specifically inhibits PTP1B because it has a side chain that
binds to a site on PTP1B specific for PTP1B and it also binds toand inhibits the active site of PTP1B (199, 326). Bypassing
VCAM-1 by exogenous addition of 1 mMH
2O2to the endo-
thelial cells increases endothelial cell PTP1B activity that issimilar in magnitude and time course as that observed with
ligand binding to VCAM-1. Further, VCAM-1 activation of
PTP1B is downstream of PKC aduring VCAM-1 signaling (72)
since anti-VCAM-1-stimulated serine phosphorylation ofPTP1B, the active form of PTP1B (40), is blocked when en-
dothelial cells are transfected with a plasmid containing
dominant negative PKC aor treated with the PKC ainhibitor
Go¨-6976 (72).
Interestingly, during VCAM-1 signaling, PTP1B is acti-
vated and not inhibited by oxidation (72). Although it hasbeen reported that PTP activity can be inhibited by high levels
of oxidants (50–200 mMH
2O2) (94, 267, 281) through oxidation
of the conserved cysteine in the PTP1B catalytic site (39, 90, 91,94, 111, 234, 267, 281), VCAM-1 stimulates the production ofonly 1 mMH
2O2(65, 73), which activates PTP1B rather than
inhibits it (72). Moreover, analysis of PTP1B for oxidation of
cysteines revealed that PTP1B in endothelial cells is not oxi-dized after VCAM-1 signaling or after exogenous addition of
1mMH
2O2(72). However, purified PTP1B is susceptible to
oxidation upon addition of 1 mMH2O2(72). Thus, within
VCAM-1-stimulated endothelial cells, there is compartmen-
talization of targets for oxidation by low levels of NOX2-
generated ROS because PKC ais oxidized, but PTP1B is not
oxidized (72). This occurs even though H 2O2diffuses through
membranes at 100 mm=s (183). Therefore, it is possible that the
low concentrations of H 2O2are readily consumed as they
oxidize targets, diffusion lowers the H 2O2below a threshold
for oxidation of PTP1B, or local antioxidant mechanisms
protect PTP1B. Thus, compartmentalization of ROS may limit
the proteins that are modified by ROS. Forman et al. (94)
proposes that low levels of ROS function as signaling mole-
cules because (i) they have a restricted location of action, (ii)their signals are transient, and (iii) their oxidation reactions
are reversible. ROS modify thiolate anions (-S/C0) to form sul-
fenate (-SO/C0) as well as react with disulfide linkages (281).
These can be reduced back to their native state by intracellularthiols in the cell such as thioredoxin, peroxiredoxins, and
glutathione (94). Thus, PTP1B may be protected from oxida-
tion by antioxidants or its compartmentalization to the en-doplasmic reticulum (ER).
PTP1B is located on the ER membrane with its catalytic
domain external to the ER (Fig. 5). An important questionregarding compartmentalization is how PTP1B, which is lo-calized to the ER, mediates VCAM-1 signaling. Studies have
demonstrated that the ER membranes containing PTP1B
reach the plasma membrane and that the PTP1B in this ERmembrane can dephosphorylate receptors in the plasma
membrane without receptor internalization (16, 263). Thus,
during VCAM-1 signaling, endothelial cell PKC aphosphor-
ylates and activates PTP1B, which then modulates localized
signals in the endothelial cells. These signals need to have
localized functions because the endothelial cell changes arelimited to the site of leukocyte binding without retraction ofthe rest of the endothelial cell.
Most importantly, PTP1B participates in the active function
of the endothelial cell during VCAM-1-dependent leukocytetransmigration because inhibition of PTP1B blocks VCAM-1-
dependent lymphocyte transmigration without altering ad-
hesion (72). Interestingly, when both the extracellular signalsthrough MMPs and the intracellular signals through PTP1B
are blocked, there is a greater inhibition of VCAM-1-depen-
dent leukocyte transendothelial migration.
PTP1B is interesting as it has been a target for drug devel-
opment. PTP1B is a potential target because PTP1B-deficient
mice (without foreign antigen challenge) are physiologicallynormal and have normal body weight, making PTP1B a po-tentially promising drug target (29, 71, 84). PTP1B is most
studied in diabetes because inhibitors of PTP1B block PTP1B
dephosphorylation of the insulin receptor and block the de-velopment of diabetes in animal models (29, 79, 84, 104, 246,
253, 328). Moreover, PTP1B-deficient mice do not develop tu-
mors, and do not develop diabetes in response to high fat diet,although there is a small effect on the immune system (29, 79,
84, 104, 112, 246, 253, 328). This has led to PTP1B inhibitors that
have been in phase II clinical trials for diabetes (42, 79). Thus,whether clinical PTP1B inhibitors alter leukocyte recruitmentduring inflammation has clinical implications.
VI. VCAM-1 Signals in In Vivo Models
A. G ai2 regulation of VCAM-1-dependent leukocyte
recruitment in vivo
Gai2 functions in VCAM-1-dependent leukocyte recruit-
ment in vitro and in vivo (Fig. 5). In in vivo studies using
Gai2
/C0=/C0mice, it was demonstrated that a signaling event in a
nonlymphohematopoietic compartment of the lung is re-
quired for the recruitment of leukocytes during inflammation
(225). This was examined in a model of allergic inflammationin which airway challenge with chicken egg ovalbumin(OVA) induces VCAM-1-dependent recruitment of eosino-
phils. In OVA-challenged G ai2
/C0=/C0mice, VCAM-1-dependent
eosinophil recruitment is inhibited (225). In addition, the in-hibition of leukocyte recruitment was specific to the G protein
Gai2
/C0=/C0since mice deficient in G ai3 do not have altered leu-1620 COOK-MILLS ET AL. | 82cc266a4c561a5cbcd0a248a21d64b4d2f53f6c | page_0013 |
kocyte recruitment in response to OVA (225). G ai2 function in
eosinophils was not required for eosinophil chemotaxis since
Gai2/C0=/C0eosinophils responded to chemotactic factors (225).
Consistent with a function for nonhematopoietic G ai2,
Gai2/C0=/C0eosinophils adoptively transferred into wild-type
mice are able to be recruited during allergic responses. In
contrast, there is a reduced recruitment of wild-type eosino-phils in G ai2
/C0=/C0mice, indicating that signaling in a resident
cell of the lung is required for the accumulation of eosinophils
(225). Moreover, in the OVA-challenged G ai2/C0=/C0mice, there
are elevated blood leukocyte numbers and an accumulation ofleukocytes on the luminal surface of the blood vessels (225).
Thus, the blood leukocytes are available for migration and
capable of chemotaxis, but their transmigration is blocked.Interestingly, this occurs without altering the lung levels of
the Th2 cytokines IL-4 and IL-5, and without inducing the Th1
cytokine interferon g, indicating that the G ai2
/C0=/C0deficiency
did not alter regulatory inflammatory cytokines during al-
lergic responses (225). In vitro , inhibition of endothelial cell
Gai blocks VCAM-1-dependent leukocyte transendothelial
migration (225). These reports are consistent with specificGai2-mediated signaling in endothelial cells for the extrava-
sation of leukocytes and for tissue-specific leukocyte accu-
mulation. The mechanism for G ai2 function in the VCAM-1
signaling pathway is under investigation. Nevertheless, since
Gai2-deficient mice are viable and G ai2 regulates leukocyte
recruitment, it may be a potential target for clinical interven-tion in inflammatory diseases.
B. NOX2 regulation of VCAM-1-dependent leukocyte
recruitment in vivo
VCAM-1 signals through NOX2 in vivo . The gene that en-
codes the catalytic subunit of NOX2, gp91phox, is CYBB.CYBB-deficient mice have been used to examine VCAM-1-
dependent eosinophil recruitment in response to OVA, a
model of allergic inflammation. To examine the function ofNOX2 in nonhematopoietic cells and avoid effects of NOX2
deficiency in leukocytes, green fluorescent protein C57BL =6J
mouse bone marrow cells, which express wild-type gp91phox, were transplanted into irradiated CYBB mice and into
control irradiated C57BL =6 wild-type mice (2). To induce
VCAM-1-dependent eosinophil infiltration into the lung (2),the chimeric CYBB mice and chimeric wild-type mice weresensitized intraperitoneally with the antigen OVA in the ad-
juvant alum and then the lungs were challenged by intranasal
administration of OVA (Fig. 8) (2). It is well established thatOVA-stimulated eosinophilia in the lung as well as OVA-
stimulated eosinophilia in the skin requires adhesion to
VCAM-1 as antibodies to VCAM-1 block the eosinophilia(Fig. 8) (57, 107, 250). Interestingly, eosinophil infiltration into
the bronchoalveolar lavage is inhibited by 68% in the OVA-
challenged chimeric CYBB mice, but the infiltration of otherleukocytes, which migrate on other adhesion molecules, is not
altered (2). This is consistent with reports that 70% of OVA-
induced eosinophil infiltration is VCAM-1-dependent (57,107, 250). Most interestingly, there is an accumulation of eo-sinophils on the luminal surface of the endothelial cells in lung
tissue of OVA-challenged chimeric gp91 phox-deficient mice,
suggesting that the eosinophils bound to endothelium butthat they could not undergo VCAM-1-dependent transmi-
gration (Fig. 9) (2).In the CYBB chimeric mice, there are sufficient mediators
present for induction of eosinophilia since there was no dif-
ference between the OVA-challenged chimeric wild-type and
OVA-challenged chimeric deficient mice for cytokines, che-mokines, VCAM-1 expression, or blood eosinophil numbers
(2). Further, in these mice, there is no effect on the initial
sensitization from the intraperitoneal administration of OVAsince there is no effect on OVA-specific IgE in the OVA-
challenged mice (2). The chimeric CYBB mice also exhibit a
70% reduction in airway hyperresponsiveness (AHR) (2).Moreover, intratracheal administration of purified eosino-phils into the chimeric CYBB mice recovers the AHR (2),
suggesting (i) that bypassing the endothelium overcomes the
reduced AHR in the chimeric CYBB mice and (ii) that gp91phox expression by other cells of the lung such as fibroblasts
are not critical for the reduced AHR in the nonhematopoietic
gp91phox deficient mice. These studies provide support forthein vivo relevance of VCAM-1 signals through ROS for
eosinophil recruitment in experimental allergic asthma.
VII. Antioxidant Regulation of VCAM-1 Signals
inIn Vivo Models
A. The antioxidant bilirubin inhibits
VCAM-1-dependent inflammation
Consistent with the inhibitory function of bilirubin on
VCAM-1-dependent leukocyte transmigration in vitro (140), it
FIG. 8. VCAM-1-dependent eosinophil recruitment dur-
ing allergic lung inflammation. After sensitization with the
antigen OVA in the adjuvant alum, the lung is challengedwith OVA. In this model, eosinophil recruitment from theblood is blocked with anti-VCAM-1 blocking antibodies. In
contrast, lymphocytes, monocytes, and neutrophils migrate
on ICAM-1 or PECAM-1. After the leukocytes undergotransendothelial migration, the leukocytes migrate through
the tissue, across the epithelium and into the airway spaces.
Chemokines in the tissue direct the leukocyte migration.OVA, chicken egg ovalbumin; PECAM-1, platelet-endothelialcell adhesion molecule-1.ROS AND ANTIOXIDANT REGULATION OF VCAM-1 SIGNALING 1621 | 82cc266a4c561a5cbcd0a248a21d64b4d2f53f6c | page_0014 |
has been reported that bilirubin blocks VCAM-1-dependent
leukocyte migration in vivo . This was examined in a model of
VCAM-1-dependent leukocyte infiltration into the lung inresponse to the antigen OVA. In studies examining bilirubin
regulation of recruitment of eosinophils during allergic in-
flammation, mice were sensitized by intraperitoneal injectionof OVA in alum and then challenged by intranasal inhalation
of OVA (140). At the time of intranasal OVA challenge, mice
also received either intraperitoneal injections of bilirubin atupper physiological concentrations or vehicle control (140).
The treatment with bilirubin inhibits eosinophil infiltration
into the bronchoalveolar lavage by >90% and inhibits lym-
phocyte infiltration by 60% (140). The migration of eosino-phils into the tissue is also reduced by 90% as determined by
immunohistochemistry for the eosinophil granule compo-
nent, major basic protein (140). The reduction in eosinophiland lymphocyte infiltration is consistent with the VCAM-1
dependence of eosinophil migration and the partial VCAM-1
dependence of lymphocyte migration in this lung response toOVA (57, 107, 250). As anticipated, there is no effect of bili-
rubin administration on the OVA-induced infiltration of
monocytes or neutrophils (140), which is independent of
binding to VCAM-1 in this model of allergic inflammation.Although there is reduced eosinophilia with the administra-
tion of bilirubin, there are sufficient numbers of eosinophils
available for migration as there is not a reduction in bloodeosinophils in the bilirubin-treated group compared to the
nontreated group (140). In fact, there is a threefold increase in
blood eosinophil numbers with bilirubin administration,which is consistent with inhibition of blood eosinophilstransendothelial migration (140). VCAM-1 is available for
eosinophil binding to the endothelium since bilirubin treat-
ment does not alter the induction of endothelial VCAM-1expression in OVA-treated mice (140). It is also reported that
other antioxidants such as vitamin E also do not alter VCAM-
1 expression but do block VCAM-1-dependent leukocyte re-cruitment (30). Therefore, although ROS can induce VCAM-1
expression, the lack of antioxidant effect on VCAM-1 ex-
pression is consistent with compensatory mechanisms forinduction of VCAM-1 expression by the many pro-inflam-matory mediators that induce VCAM-1 expression.
The infiltration of eosinophils in response to OVA is regu-
lated by cytokines and chemokines. However, bilirubintreatment does not alter the OVA-induced increase in Th2
cytokines (IL-4, IL-5, IL-6, or IL-10) in lung lavage fluid or in
OVA-restimulated draining lymph node cells (140). Since IL-5was not altered, this suggests that IL-5 was sufficient for bone
marrow recruitment of eosinophils. In addition, bilirubin does
not increase expression of Th1 cytokines (IL-2, IL-12, inter-feron g, or TNF a), which are not expected to be upregulated by
OVA stimulation (140). Bilirubin also does not alter the OVA-
induced increase in the chemokines monocyte chemoat-tractant protein-1 or eotaxin (140). Thus, in this report,VCAM-1-dependent eosinophil and lymphocyte infiltration
into the lung is reduced by the antioxidant bilirubin without
altering the expression of the VCAM-1, cytokines, or chemo-kines that regulate eosinophil infiltration in response to
OVA. These data are consistent with bilirubin scavenging of
endothelial-cell derived ROS generated during VCAM-1 sig-naling. Moreover, it is reported that in vitro , bilirubin blocks
VCAM-1 activation of MMPs in endothelial cells and blocks
VCAM-1-dependent leukocyte transendothelial migration(140). Therefore, bilirubin, which blocks VCAM-1 signalsthrough ROS in vitro , also inhibits VCAM-1-dependent eo-
sinophilia in allergic responses in mice.
Bilirubin may also regulate VCAM-1-dependent inflam-
mation in cardiovascular disease. It has been reported, in a
patient population in China, that low bilirubin associates with
increased cardiovascular disease risk factors, including olderage, higher body mass and systolic blood pressure, increased
glycated hemoglobin, fasting and 2 h insulin, triglyceride,
very-low-density lipoprotein, apolipoprotein B concentra-tions, and lower high-density lipoprotein concentrations
(149). They suggest in their report that abnormal intermediate
bilirubin metabolism and antioxidant deficiency may belinking factors in cardiovascular disease (149). In another re-port on a prospective clinical study in Korea, low serum bil-
irubin is an independent predictor of stoke incidence,
suggesting that bilirubin may have a protective functionagainst stroke risk (145). Thus, bilirubin has a regulatory
function in limiting leukocyte recruitment during inflamma-
FIG. 9. VCAM-1-dependent eosinophil transendothelial
migration in the lung is blocked in mice deficient in non-hematopoietic NOX2. Adapted from ref. (2). CYBB mice that
lack NOX2 activity were irradiated and received a bone
marrow transplant with wild-type bone marrow. Thus, the
leukocytes expressed wild-type NOX2, but the non-hematopoietic cells, including endothelial cells, were NOX2deficient. Control wild-type mice received wild-type bone
marrow transplants. The mice were sensitized with
OVA=alum intraperitoneally and challenged intranasally
with OVA in saline. Lung tissue sections were collected and
stained with hematoxylin and eosin. (A)Representative lung
tissue section from OVA-challenged chimeric CYBB mice.Arrows indicate an accumulation of eosinophils bound to the
luminal surface of the endothelium. (B)Representative lung
tissue section from OVA-challenged chimeric wild-type
control mice. Leukocytes are in the tissue and do not accu-mulate on the endothelium. L, vessel lumen.1622 COOK-MILLS ET AL. | 82cc266a4c561a5cbcd0a248a21d64b4d2f53f6c | page_0015 |
tory diseases, since reports indicate that bilirubin protects
against cardiovascular disease and asthmatic inflammation,
that inflammation in these diseases is dependent on VCAM-1,
and that bilirubin blocks VCAM-1-dependent inflammationby blocking VCAM-1 signaling.
B. Vitamin E regulation of VCAM-1-dependent
inflammation
1. Introduction to vitamin E isoforms. Vitamin E is com-
monly used as an antioxidant to try to limit oxidative damageand inflammatory disease. Vitamin E has been used in dis-
eases that involve VCAM-1-mediated leukocyte recruitment
such as asthma, arthritis, and atherosclerosis. However, thereare contradictory outcomes for vitamin E in clinical studies of
asthma and atherosclerosis. In addition, there are contradic-
tory outcomes for vitamin E supplementation in animalmodels of inflammation. These clinical and experimental
studies have focused on analysis of one form of vitamin E, a-
tocopherol, even though multiple forms of vitamin E arepresent in the studies. Our recent report on novel properties oftocopherol isoforms suggests that the reported contradictory
outcomes of the previous studies are consistent with new
expectations for the combination of isoforms of vitamin E thatwere present in these reported studies.
Vitamin E is an antioxidant lipid vitamin that consists of
multiple natural and synthetic forms. The natural forms ofvitamin E include a-tocopherol, b-tocopherol, g-tocopherol,
and d-tocopherol as well as the tocotrienol forms of each of
these. The a-tocopherol and g-tocopherol isoforms (Fig. 10) are
the most abundant in diets, supplements, and tissues. How-
ever, the a-tocopherol isoform in tissues is about 10-fold
higher than g-tocopherol since there is preferential transfer of
thea-tocopherol isoform of vitamin E to lipid particles by liver
a-tocopherol transfer protein (312). At equal molar concen-
trations, the a-tocopherol and g-tocopherol isoforms have
relatively similar capacity to scavenge ROS during lipidoxidation (18, 323). Thus, in vivo , there is likely more ROS
scavenging by a-tocopherol than g-tocopherol because it is
at a 10-fold higher concentration in the tissues. However,g-tocopherol, in contrast to a-tocopherol, also reacts with
reactive nitrogen species such as peroxynitrite forming 5-
nitro- g-tocopherol (60, 311). When tocopherols are oxidized,
they are recycled by reduction by vitamin C (43, 109, 122).Importantly, besides the antioxidant capacity of the tocoph-
erols, it has been reported that tocopherols also have non-
antioxidant functions (19, 30, 327).
2. Vitamin E isoforms regulate VCAM-1-dependent leu-
kocyte transmigration through antioxidant and non-antioxidant mechanisms. In vitro ,a-tocopherol blocks,
whereas g-tocopherol elevates, VCAM-1-dependent leuko-
cyte transmigration at physiological concentrations (30, 322).Moreover, treatment with g-tocopherol ablates the inhibition
bya-tocopherol such that the leukocyte transmigration is the
same as the vehicle-treated control (30). Interestingly, thisoccurs at physiological concentrations. Thus, g-tocopherol
ablates the effects of a-tocopherol even though it is at a con-
centration that is 1 =10 that of a-tocopherol (30). These regu-
latory functions of the tocopherols on leukocytetransmigration are through a direct effect of the tocopherols
on endothelial cells because pretreatment of the endothelialcells with a
-tocopherol or g-tocopherol overnight inhibits or
elevates, respectively, leukocyte transmigration (30). In con-
trast, pretreatment of the leukocytes with physiological con-
centrations tocopherols has no effect on VCAM-1-dependentleukocyte transmigration (30). The g-tocopherol elevation of
transmigration is VCAM-1 dependent since anti-VCAM-1
blocking antibodies inhibit the leukocyte transmigration (30).The tocopherols do not modulate leukocyte-endothelial cell
binding, because there is no effect of the tocopherols on
VCAM-1-dependent adhesion of the leukocytes to the endo-thelium when either the endothelial cells or the leukocytes are
pretreated with tocopherols (30). The tocopherols modulate
endothelial function during VCAM-1-dependent transmi-gration by altering VCAM-1-induced oxidative activation ofendothelial cell PKC a(Fig. 11) (30). Specifically, the VCAM-1-
induced activation of PKC ais inhibited by a-tocopherol
and the effect of a-tocopherol is ablated by g-tocopherol.
FIG. 10. Alpha and gamma-tocopherol. Tocopherols are
lipids. a-Tocopherol differs from g-tocopherol by one methyl
group ( arrows ).
FIG. 11. Tocopherol regulation of VCAM-1-induced
ROS. Tocopherols are lipids in the plasma membrane. The
tocopherol head group is external to the membrane and isthus poised for scavenging of extracellular ROS. Tocopherolsare also found in membranes of organelles and can scavenge
intracellular ROS. There is *10-fold more a-tocopherol than
g-tocopherol in membranes in vivo .ROS AND ANTIOXIDANT REGULATION OF VCAM-1 SIGNALING 1623 | 82cc266a4c561a5cbcd0a248a21d64b4d2f53f6c | page_0016 |
Therefore, the tocopherols have opposing regulatory func-
tions on VCAM-1 signaling during leukocyte transmigration
in vitro .
3. Vitamin E isoform-specific regulation of leukocyte re-
cruitment in vivo .In vivo ,a-tocopherol and g-tocopherol also
have opposing regulatory functions on leukocyte accumula-tion during VCAM-1-dependent allergic lung inflammation
(30). The studies in this report focused on supplementation
with tocopherols after OVA antigen sensitization to determinewhether tocopherols modulate the OVA antigen challengephase. This is important because patients are already sensi-
tized. Supplementation with the tocopherols after OVA sen-
sitization, such that the tissue tocopherols are raised 5–7-foldhigher than mice consuming control rodent chow, does not
affect body weight or lung weight (30, 191). Consistent with
thein vitro studies with tocopherol regulation of leukocyte
migration, d- g-tocopherol elevates leukocyte accumulation in
the bronchoalveolar lavage and lung tissue in response to
OVA challenge. In contrast, d- a-tocopherol inhibits this in-
flammation. However, d- g-tocopherol, at as little as 10% the
concentration of d- a-tocopherol, ablates the anti-inflammatory
benefit of the d- a-tocopherol isoform in vivo in response to
OVA. Further, the levels of tocopherols in this study do notalter the blood eosinophil numbers, indicating that eosinophils
were available for recruitment. It is also reported by Okamoto
et al. (213) that mice fed with a-tocopherol starting 2 weeks
before sensitization with OVA had reduced number of eosin-
ophils in the bronchoalveolar lavage, even though the form or
purity of a-tocopherol was not indicated. Therefore, a-to-
copherol and g-tocopherol have opposing functions in vivo .
The opposing functions of purified d- a-tocopherol or d- g-
tocopherol in vivo are not through modulation of expression
of several cytokines, chemokines, prostaglandin E
2, or adhe-
sion molecules that regulate leukocyte recruitment since these
are not altered with tocopherol supplementation (30). The
tocopherol modulation of leukocyte infiltration in allergicinflammation, without alteration of adhesion molecules, cy-
tokines or chemokines, is similar to several previous reports of
in vivo inhibition of intracellular signals in endothelial cells
without alteration of expression of these immune modulators
of leukocyte recruitment (2, 140, 225). Therefore, the tocoph-
erol regulatory function in allergic responses is, at least inpart, by regulation of endothelial cell VCAM-1 activation ofPKC aand leukocyte transendothelial migration. Moreover,
natural d- a-tocopherol and natural d- g-tocopherol differ in
structure by only one methyl group (Fig. 10) but at physio-logical concentrations have opposing regulatory functions in
endothelial cells that modulate inflammation. The opposing
functions of tocopherol isoforms have important implicationsfor the interpretation of clinical reports and animal studies of
vitamin E regulation of inflammation.
C. Reinterpretation of reports on vitamin E regulation
of inflammation in experimental models
Our data on tocopherol isoform regulation of inflammation
alter interpretations of animal studies with tocopherol mod-
ulation of VCAM-1-dependent inflammation. Many reports
with animal studies indicate that vitamin E was administeredto animals, but the form, source, and purity of tocopherols are
often not reported. In addition, the tissue levels of tocopherolisoforms after administration are sometimes not determined.
Further, since tocopherols are lipids, there needs to be con-
sideration for tocopherol isoforms that are present in the oils
in animal and human diets or in the oil vehicles used fordelivery of the tocopherols. We and others have determined
the levels of a-tocopherol and g-tocopherol in dietary oils (Fig.
12) (30, 130, 304). In rodent studies, rodent chow contains a-
tocopherol but low to no g-tocopherol. However, in some
reports for allergic inflammation, a-tocopherol is adminis-
tered in oil vehicles that contain other tocopherol isoforms. Ina report by Suchankova et al. (275), purified a-tocopherol was
administered in soy oil by gavage and they found no major
effect of a-tocopherol on immune parameters or lung airway
responsiveness in mice challenged with OVA. However, thesoy oil vehicle used in this study contains an abundance of g-
tocopherol (Fig. 12) and they did not measure tissue tocoph-
erol levels or vehicle tocopherol levels. Our interpretation ofthis study is that g-tocopherol in the soy oil antagonized the
function of the a-tocopherol that was administered. In another
report, g-tocopherol in tocopherol-stripped corn oil was ad-
ministered daily by gavage to rats 2 weeks after one OVAsensitization and then the rats received two OVA challenges
(302). In this report, there was a reduced number of eosino-
phils and lymphocytes in the bronchoalveolar lavage of the g-
tocopherol-treated mice after OVA challenge (302). However,
the purity of the g-tocopherol in the corn oil vehicle was not
reported. Further, the leukocyte infiltration in the OVA re-sponse in these rats was predominantly neutrophils rather
than the expected predominant eosinophil infiltration (302).
Tocopherols have also been used to scavenge ROS after
ozone challenge to the lung. In a study examining g-tocopherol
modulation of ozone exposure after OVA challenge, control
rats, which did not receive ozone but received g-tocopherol for
4 days beginning after the last OVA challenge, had reducedlung eosinophils at day 4 after OVA challenge (303). However,
FIG. 12. a-tocopherol and g-tocopherol in dietary oils.
Adapted from ref. (30). Tocopherols were extracted from
dietary oils and measured by high pressure liquid chroma-tography with an electrochemical detector.1624 COOK-MILLS ET AL. | 82cc266a4c561a5cbcd0a248a21d64b4d2f53f6c | page_0017 |
since it takes a few days to raise tissue tocopherol levels,
which, in this protocol, is after the peak of eosinophil infil-
tration, the effect on eosinophils at 4 days after the last OVA
challenge was during the resolution phase of eosinophil in-flammation. It has also been reported that mice deficient in
liver a-tocopherol transfer protein exhibit severe deficiency
in tissue a- and g-tocopherol as well as reduced IgE and re-
duced IL-5 after OVA challenge to the lung (172). In these
mice, it is not known whether severe tocopherol deficiency
during mouse development alters leukocyte hematopoiesis orleukocyte responsiveness. The differences among the reportsof tocopherol regulation of responses to OVA for VCAM-1-
dependent eosinophil recruitment likely reflect differences in
the forms of tocopherols, tocopherol concentrations, and timeof administration of tocopherols in these studies.
Reports also conflict as to whether the antioxidant tocoph-
erols modulate mediators of leukocyte recruitment duringinflammation, including prostaglandins, cytokines, chemo-
kines, and adhesion molecules (81, 86, 101, 128, 129, 135, 150,
164, 203, 213, 228, 251, 252, 296, 310, 314–316, 325). With regardto adhesion molecules, in vitro ,a-tocopherol is reported
to block IL-1 b-induced ICAM-1 expression on human aortic
endothelial cells but not on human umbilical vein endothe-
lial cells, and then, in another report, a-tocopherol does
not inhibit TNF- a-stimulated ICAM-1 expression on human
umbilical vein endothelial cells (314, 325). oxLDL or 25-
hydroxycholesterol-induced VCAM-1 expression on humanaortic endothelial cell is blocked by 200 mMa-tocopherol or
10mMtocotrienols in vitro (208, 322). In vivo , we reported that
purified natural d- a-tocopherol and d- g-tocopherol at physi-
ological levels do not alter OVA-induced VCAM-1 expression
on lung venules (30). We suggest that variations in reports on
outcomes of tocopherol treatments in vitro andin vivo result, at
least in part, from differences in isoforms and purity of to-copherols, in concentrations of the tocopherols within different
cells, and in experimental systems. This is important consid-
ering our report indicating that forms of tocopherols have cell-type-specific opposing regulatory functions on leukocyte
recruitment since tocopherols directly affected endothelial
cells but not leukocytes during leukocyte transmigration.
VIII. Clinical Implications for Vitamin E
Regulation of Inflammation Involving VCAM-1
Reports of clinical studies on vitamin E primarily focus on
thea-tocopherol isoform without adjustment for the dietary
contribution of g-tocopherol to the outcomes of these studies.
For interpretation of the clinical studies, it is especially im-
portant to take into consideration the dietary contribution of
tocopherols because g-tocopherol is more abundant in west-
ern diets. The average plasma concentration of a-tocopherol is
the same among many countries (304). However, the Ameri-
can diet is rich in g-tocopherol found in soy oil, the major form
of vegetable oil in the United States. In contrast, g-tocopherol
is low in other oils (sunflower and olive oil) commonly used in
some of the European countries (Fig. 12) (30, 130, 304). Con-sistent with this, in the United States and the Netherlands, theaverage plasma g-tocopherol level is 2–6 times higher than
that reported for six European countries, Japan, and China
(Table 4) (304). This fold increase in plasma g-tocopherol is
similar to fold increase in plasma g-tocopherol in the rodent
studies in which g-tocopherol opposed the regulatory func-tions of a-tocopherol, even at 1 =10 the concentration of a-
tocopherol (30).
A consistent feature of inflammation in allergic asthma is
the recruitment of eosinophils and mast cells. The recruitment
of these cells is regulated by VCAM-1 and tocopherols (4, 5, 8,
30, 36, 57, 107, 108, 250). In clinical studies of asthma, it isreported that a-tocopherol supplementation of asthmatic pa-
tients is beneficial in Italy and Finland, but disappointingly a-
tocopherol is not beneficial for asthmatic patients in studies in
the United States or the Netherlands (78, 266, 277, 284, 308).These clinical outcomes are consistent with an interpreta-
tion that there is little benefit of a-tocopherol for inflamma-
tion in the presence of elevated plasma g-tocopherol because
g-tocopherol is elevated 2–6-fold in people in the United
States and the Netherlands (Table 4). Therefore, differences
in outcome of the clinical reports on vitamin E modulationof asthma in European countries and the United States may,
in part, reflect the opposing regulatory functions of a- and
g-tocopherol forms of vitamin E consumed in diets and sup-
plements. Although there are many other differences re-garding the environment and genetics of the people in these
countries and it is acknowledged that other dietary factors,
including unsaturated fatty acids may modulate asthma (11,126, 148, 189, 194, 266), the clinical data are consistent with the
animal studies demonstrating opposing functions of the to-
copherol isoforms on leukocyte recruitment (30).
It has also been suggested that changes in environmental
factors, including vitamin E consumption, may contribute to
the increased incidence of asthma. The incidence of asthmain several countries, including the United States and the
Netherlands, has dramatically increased in the last 40 years
(95, 292, 300). It is thought that there must be environmentalfactors contributing to this increase since it is too rapid forgenetic changes. The prevalence of asthma is higher in the
United States than in Western Europe, Mediterranean
countries, Japan, and China (6, 35, 158, 178). The WorldHealth Organization has reported that the prevalence of
asthma from 1950 to the present has increased in many
countries, including countries with high rates of asthma,intermediate rates of asthma, or low rates of asthma (35). The
increases in prevalence occur as countries assume WesternTable 4.Human Plasma Tocopherol
Human plasma gT(mM)aT(mM) Reference
United States (four reports) 2.5 22 130
5.4 22 32
5.2 27 254
72 0 6 7
Netherlands 2.3 25 261France 1.2 26 214
Italy 1.2 24 220
Austria 1.4 21 283Ireland 1.8 26 214
Spain (two reports) 1.7 27 214
1.7 27 248
Lithuania 1.6 22 155China (three reports) 1.4 19 279
2.4 19 240
22 156
Japan (two reports) 1.7 23 226
2.0 23 96ROS AND ANTIOXIDANT REGULATION OF VCAM-1 SIGNALING 1625 | 82cc266a4c561a5cbcd0a248a21d64b4d2f53f6c | page_0018 |
lifestyles (35). The dietary changes in the United States in the
last 40 years with increased consumption of g-tocopherol in
vegetable oil may, in part, be a contributing factor to changes
in asthma prevalence. In addition, in a Scottish cohort, it isreported that reduced maternal intake of vitamin E (likely
referring to a-tocopherol) is associated with increased asth-
ma and wheezing in children up to 5 years old (75). Then, inthis same report, it was discussed that from 1967 to 2004,
there was a significant increase in vegetable oil intake by
Scottish (75), which we interpret as indicative of an increasein dietary g-tocopherol since vegetable oil is rich in g-to-
copherol (Fig. 12). Therefore, since a-tocopherol levels are
low in asthmatics (136, 139, 257, 264) and since a-tocopherol
can reduce inflammation, an increase in a-tocopherol in the
presence of low g-tocopherol may be necessary to promote
optimal health in asthmatics in combination with other
regimens to treat inflammation.
The tocopherol isoform levels may also affect the inflam-
mation in other diseases that involve VCAM-1 such as oste-
oarthritis and atherosclerosis (125, 171, 173, 207, 256).Although there are conflicting reports for tocopherol regula-tion in these diseases, we suggest that this may result from
opposing functions of tocopherol isoforms present in the
subjects in these studies. It has been reported that plasma g-
tocopherol is positively associated with osteoarthritis,
whereas plasma a-tocopherol is negatively associated with
osteoarthritis (134). In contrast, in another report on knee os-teoarthritis, vitamin E supplementation ( a-tocopherol) did not
relieve symptoms but they did not measure a-tocopherol or g-
tocopherol levels (37). With regard to coronary heart diseaseand stroke, the benefits of tocopherols are also inconsistent
among the studies (76, 265); further, measurements of levels
of both a-tocopherol and g-tocopherol are commonly not re-
ported (76, 80, 190, 202, 203, 265). Studies of tocopherols andheart disease are complex since different dietary oils contain
not only different forms of tocopherols but also different
lipids that affect heart disease. It has been reported thatplasma g-tocopherol levels are not associated with heart
disease or in other reports are associated with an increase in
relative risk for myocardial infarction [reviewed in (76)]. Incontrast, a-tocopherol intake is either not associated with
heart disease or, in other reports, is associated with reduced
death from heart disease (80, 190, 202, 265). Therefore, al-though the clinical reports on vitamin E association withheart disease are inconsistent, for those reports with an effect
on heart disease, g-tocopherol is associated with an increase,
whereas a-tocopherol is associated with a decrease in pa-
rameters of heart disease. Similar to the antioxidant protec-
tive function for a-tocopherol on cardiovascular function, the
safflower seed-derived antioxidants N-(p-coumaroyl)sero-
tonin and N-feruloylserotinin reduce parameters of cardio-
vascular disease, including high-glucose-induced VCAM-1
expression and monocyte adhes ion, arterial stiffness in hy-
percholesterolemic rabbits, atherosclerotic lesions in apoli-
poprotein-deficient mice, and cardiovascular risk factors
(sVCAM-1 and oxLDL) in patients (137, 153, 154, 229). Insummary, the opposing functions of a-tocopherol and g-to-
copherol in animal models (30) are consistent with the dif-
ferent outcomes for the clinical studies of tocopherols in
heart disease. Future clinical studies of vitamin E regulationof inflammatory diseases should include a systematic design
to examine opposing functions of the isoforms of vitamin Eon inflammation, leukocyte recruitment, and disease pa-
rameters.
IX. Concluding Remarks
During several inflammatory diseases, VCAM-1 expres-
sion is induced on peripheral tissue endothelium by several
mediators, including cytokines or turbulent shear stress, that
signal through ROS. Once VCAM-1 is expressed, it is a scaf-
fold on which leukocytes migrate but VCAM-1 also activatessignals in endothelial cells that are required for VCAM-1-dependent leukocyte migration (1, 2, 62, 63, 72). Thus, the
endothelium plays an active role in the regulation of VCAM-
1-dependent leukocyte migration. Crosslinking of VCAM-1activates calcium fluxes and Rac-1, which then activates en-
dothelial cell NOX2 (a form of NADPH oxidase). Nox2 cata-
lyzes the production of superoxide from oxygen using thecofactor NADPH. The superoxide dismutates to H
2O2.
Moreover, VCAM-1 induces the production of only 1 mM
H2O2(65, 73, 184), which is a 100–1000-fold lower concen-
tration of ROS than the concentration of ROS produced byleukocytes or that induce oxidative vascular damage. The
VCAM-1-induced H
2O2diffuses rapidly activating endothe-
lial cell-associated MMPs and a delayed activation of lym-phocyte-associated MMPs. The endothelial-associated MMPs
but not leukocyte-associated MMPs are required for VCAM-
1-dependent transendothelial migration. These endothelialcell-associated MMPs degrade matrix and endothelial cell
surface receptors in cell junctions (9, 260). In addition to the
MMP extracellular targets of oxidation, H
2O2diffuses
through membranes at 100 mm=s (183) to oxidize and tran-
siently activate endothelial cell PKC a(1). PKC athen phos-
phorylates and activates endothelial cell PTP1B (1, 72). AsPTP1B is not oxidized, it indicates specificity for ROS targetsduring VCAM-1 signaling. The rapid activation of VCAM-1
signals is consistent with the local rapid process of leukocyte
transendothelial migration. Further, these signals throughROS, MMPs, PKC a, and PTP1B are required for VCAM-1-
dependent leukocyte transendothelial migration in vitro (1,
57, 72, 73). Both the MMPs and the PKC a=PTP1B pathways
contribute to the VCAM-1-dependent leukocyte transen-
dothelial migration, because inhibition of both pathways
exhibits a greater inhibitory effect on migration than inhi-bition of either pathway alone (72). Since VCAM-1 is locatedon both the apical and lateral surface of endothelial cells,
VCAM-1 may continue to provide localized endothelial cell
signals as leukocytes migrate through the lateral junctions.The VCAM-1 signaling through NOX2 in endothelial cells
also has a role in leukocyte recruitment in vivo since the
nonhematopoietic knockout of NOX2 blocks VCAM-1-dependent eosinophil recruitment in allergic lung inflam-
mation with accumulation of eosinophil binding to the
luminal surface of venules (2, 30, 140). VCAM-1-dependentleukocyte recruitment is also regulated in vivo by the anti-
oxidants bilirubin and vitamin E isoforms. Moreover, iso-
forms of vitamin E have novel opposing regulatory functionsduring VCAM-1-mediated leukocyte recruitment in vivo and
in vitro . These opposing regulatory functions of isoforms of
vitamin E are consistent with the seemingly disparate out-
comes of vitamin E in clinical studies and animal studies ofinflammation. The differential tocopherol isoform regulation
of inflammation provides a basis toward designing drugs1626 COOK-MILLS ET AL. | 82cc266a4c561a5cbcd0a248a21d64b4d2f53f6c | page_0019 |
and diets that more effectively modulate these pathways and
improve health. Moreover, VCAM-1 signals provide targets
for designing approaches to modulate VCAM-1-dependent
processes during inflammatory disease.
Acknowledgments
This study was supported by Grants HL069428 and
AT004837 from the National Institutes of Health and by the
American Heart Association Grant 0855583G.
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Address correspondence to:
Dr. Joan M. Cook-Mills
Allergy-Immunology Division
Northwestern University Feinberg School of Medicine
McGaw-M304, 240 E. Huron
Chicago, IL 60611
E-mail: j-cook-mills@northwestern.edu
Date of first submission to ARS Central, July 23, 2010; date of
final revised submission, October 23, 2010; date of acceptance,
November 2, 2010.ROS AND ANTIOXIDANT REGULATION OF VCAM-1 SIGNALING 1637 | 82cc266a4c561a5cbcd0a248a21d64b4d2f53f6c | page_0030 |
Abbreviations Used
ADAM ¼a disintegrin and metalloprotease
AHR¼airway hyperresponsiveness
ER¼endoplasmic reticulum
FRET¼fluorescence resonance energy
transfer
Gai¼G protein ai
GPI¼glycophosphatidylinositol
H2O2¼hydrogen peroxide
HUVECs ¼human umbilical vein endothelial cells
ICAM-1 ¼intercellular adhesion molecule-1
Ig¼immunoglobulin
IL¼interleukin
MCP-1 ¼monocyte chemoattractant protein-1mHEV cells ¼lymph node-derived high endothelial
venule-like cells
MMP¼matrix metalloproteinase
OVA¼chicken egg ovalbumin
oxLDL ¼oxidized low density lipoprotein
PECAM-1 ¼platelet-endothelial cell adhesion
molecule-1
PKC a¼protein kinase C a
PTP1B ¼protein tyrosine phosphatase 1B
ROS¼reactive oxygen species
sVCAM-1 ¼soluble vascular cell adhesion molecule-1
TIMP¼tissue inhibitor of metalloproteinase
TLR¼toll-like receptor
TNF a¼tumor necrosis factor-alpha
VCAM-1 ¼vascular cell adhesion molecule-11638 COOK-MILLS ET AL. | 82cc266a4c561a5cbcd0a248a21d64b4d2f53f6c | page_0031 |
Citation: Bakour, M.; Laaroussi, H.;
Ferreira-Santos, P .; Genisheva, Z.;
Ousaaid, D.; Teixeira, J.A.; Lyoussi, B.
Exploring the Palynological,
Chemical, and Bioactive Properties of
Non-Studied Bee Pollen and Honey
from Morocco. Molecules 2022 ,27,
5777. https://doi.org/10.3390/
molecules27185777
Academic Editor: Urszula
Gawlik-Dziki
Received: 21 July 2022
Accepted: 5 September 2022
Published: 7 September 2022
Publisher’s Note: MDPI stays neutral
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Copyright: © 2022 by the authors.
Licensee MDPI, Basel, Switzerland.
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4.0/).
molecules
Article
Exploring the Palynological, Chemical, and Bioactive Properties
of Non-Studied Bee Pollen and Honey from Morocco
Meryem Bakour1,†
, Hassan Laaroussi1,†
, Pedro Ferreira-Santos2,3,*
, Zlatina Genisheva2,3
,
Driss Ousaaid1
, Jos éAntonio Teixeira2,3
and Badiaa Lyoussi1,*
1Laboratory of Natural Substances, Pharmacology, Environment, Modeling, Health, and Quality of
Life (SNAMOPEQ), Department of Biology, Faculty of Sciences Dhar Mehraz, Sidi Mohamed Ben Abdellah
University, Fez 30000, Morocco
2CEB—Centre of Biological Engineering, University of Minho, Campus de Gualtar, 4710-057 Braga, Portugal
3LABBELS—Associate Laboratory, 4710-057 Braga, Portugal
*Correspondence: pedrosantos@ceb.uminho.pt (P .F.-S.); lyoussi@gmail.com (B.L.)
† These authors contributed equally to this work.
Abstract: Bee products are known for their beneficial properties widely used in complementary
medicine. This study aims to unveil the physicochemical, nutritional value, and phenolic profile of
bee pollen and honey collected from Boulemane–Morocco, and to evaluate their antioxidant and
antihyperglycemic activity. The results indicate that Citrus aurantium pollen grains were the majority
pollen in both samples. Bee pollen was richer in proteins than honey while the inverse was observed
for carbohydrate content. Potassium and calcium were the predominant minerals in the studied
samples. Seven similar phenolic compounds were found in honey and bee pollen. Three phenolic
compounds were identified only in honey (catechin, caffeic acid, vanillic acid) and six phenolic
compounds were identified only in bee pollen (hesperidin, cinnamic acid, apigenin, rutin, chlorogenic
acid, kaempferol). Naringin is the predominant phenolic in honey while hesperidin is predominant in
bee pollen. The results of bioactivities revealed that bee pollen exhibited stronger antioxidant activity
and effective -amylase and -glycosidase inhibitory action. These bee products show interesting
nutritional and bioactive capabilities due to their chemical constituents. These features may allow
these bee products to be used in food formulation, as functional and bioactive ingredients, as well as
the potential for the nutraceutical sector.
Keywords: bee products; physicochemical characterization; antioxidant activity; polyphenols;
antihyperglycemic activity; nutritional values
1. Introduction
Honey is the most popular bee product that is easily accessible and commercially avail-
able. It is known for a wide range of pharmacological properties including antimicrobial,
antioxidant, anti-inflammatory, hypoglycemic, and cardio-protective, among others [ 1]. The
main composition of honey is carbohydrates (60–85%) and water (12–23%). It contains also
other functional compounds, for instance, minerals, vitamins, amino acids, organic acids,
polyphenols, flavonoids, and enzymes, as well as pollen grains [ 2]. Similarly, bee pollen is
an important bee product that is commercially available. This hive product is formed by
the agglutination of pollen grains with the bee’s salivary secretions, nectar and/or honey,
and enzymes [ 3]. The bee pollen contains an average of 25.7% reducing sugars, 22.7%
of proteins, 30.8% of digestible carbohydrates, 5.1% of lipids, and phenolic compounds
representing an average of 1.6% [ 4]. Bee pollen is known for its health promising effects
and displayed several pharmacological properties such as antioxidant, anti-inflammatory,
and antiproliferative effects [5–7].
To verify the authenticity and to detect impaired honey and bee pollen, many screening
tools are used for routine quality control such as physicochemical characteristics, organolep-
Molecules 2022 ,27, 5777. https://doi.org/10.3390/molecules27185777 https://www.mdpi.com/journal/molecules | d1e57437e6a8ac442c73d553eda8602292715b66 | page_0000 |
Molecules 2022 ,27, 5777 2 of 19
tic characteristics, sugar composition, proline content, and hydroxymethylfurfural (HMF)
content [ 8–10]. Additionally, the determination of the nutritional value, the identification,
and the quantification of bioactive markers such as phenolic compounds as well as the
determination of the antioxidant capacity are necessary parameters for the standardization
of these bee products and the evaluation of their safety to use as food supplements.
Citrus species are one of the most melliferous plants attractive to bees due to their
high pollen production [ 11]. Bee pollen and citrus honey are bee-hive products largely
produced and consumed in the Mediterranean areas including north African and European
countries [ 12]. This monofloral honey has a particular color, taste, aroma, and flavor,
which is associated with specific chemical composition. In addition to organoleptic and
sensorial characteristics, monofloral honey has specific physical and chemical properties.
Preliminary screen analyzes of organic honey samples with a predominance of citrus pollen
from Morocco confirmed acceptable microbial and good physicochemical quality [12–16].
As far as we know, this is the first study that evaluates these honey and bee pollen
samples collected from the same apiaries installed in the Boulemane area, Morocco. In this
context, the present work aimed to study the nutritional values, physicochemical charac-
teristics, biocompound composition (phenolics, proteins, minerals, and sugar contents),
structural characterization (ATR-FTIR), antioxidant activity, and the in vitro inhibition of
-amylase and -glucosidase of these two bee products (honey and bee pollen).
2. Materials and Methods
2.1. Bee Pollen and Honey Samples
Bee pollen and honey were harvested in July 2019 from a sedentary apiary composed
of twenty-nine hives. The sampling was carried out as follows: 29 honey samples were
harvested from each hive to obtain 250 g and 29 bee pollen samples were collected from
each hive to obtain an amount of 290 g. Honey and bee pollen samples were harvested
and kept in food-grade jars and stored until analysis (3 months) at 4C for honey and in a
cool, dry, dark place for bee pollen. The information about the apiary and its geographical
location was presented in Table 1.
Table 1. Apiary information and its geographical location.
Parameters Information
Health status of the apiary Free from any pathogens, disease, mite, and pesticide spray
Installation location Boulemane (Morocco), latitude: 3321046.300N; longitude: 443048.300W; altitude: 1752 m
Climatic conditions Pluviometry: 9 to 60 mm; temperature: 3.2 to 22.1C
The bee bread used Apis mellifera intermissa and it was placed with their queens
2.2. Melissopalynological Analysis
The pollen grains spectrum analysis in bee pollen and honey was determined as
described elsewhere [ 17,18]. Depending on the percentage of pollen grains in each sample,
the following classification was used: predominant pollen (if represents more than 45%
of the pollen grains counted), secondary pollen (if represents an amount between 16%
and 45% of the pollen grains counted), important minor pollen (if represents an amount
between 3% and 15% of the pollen grains counted), and minor pollen (if represents an
amount less than 3% of the pollen grains counted) [18].
2.3. Physicochemical Parameters of Honey and Bee Pollen
2.3.1. Electrical Conductivity
Twenty grams of thyme honey was dissolved in 100 mL of distilled water, the conduc-
tivity was measured at 20C using an electrical conductivity cell (model 4510, Jenway, UK).
The result was expressed as S/cm [19]. | d1e57437e6a8ac442c73d553eda8602292715b66 | page_0001 |
Molecules 2022 ,27, 5777 3 of 19
2.3.2. PH
The pH was measured in a solution of honey or bee pollen (10 g of honey or bee pollen
dissolved in 100 mL of ultra-pure water) using a pH meter (OHAUS ST2100-F, Parsippany,
NJ, USA) [5,19].
2.3.3. Free Acidity, Lactone Acidity, and Total Acidity
Free acidity was measured using 1 g of honey dissolved in 25 mL of ultra-pure water,
then a solution of NaOH (0.05 M) was added until the equivalence point pHe = 8.3, while
the value of lactone acidity was obtained after the addition of 1 mL of NaOH 0.05 M
followed by the titration with HCl (0.05 M) to return to the equivalence point. The total
acidity value is the sum of free acidity and lactone acidity [19].
2.3.4. Ash Content
Five grams of honey were placed in a furnace at 600C until constant mass, and then
the weight of ash was measured [19].
2.3.5. Moisture and Total Soluble Solids (TSS)
Moisture and total soluble solids (TSS) were determined using a refractometer (PCE-
5890, PCE Instruments, Southampton, UK) according to the standard method AOAC
(n52.729) [20].
2.3.6. Diastase Activity
Diastase activity was analyzed as follows: a mixture of 2 mL of honey solution (1 g
of honey was dissolved in 1.5 mL of distilled water mixed with 500 L of acetate buffer
(pH 5.3), and 300 L of sodium chloride) and 2 mL of starch solution (2 g of starch were
dissolved in 90 mL of distilled water, boiled for 3 min, and then terminated in the 100 mL
line with distilled water) were separately put in the bath at 40C for 15 min, and then 1 mL
of the starch solution was added to the 2 mL of honey extract, and the timer was started.
After 2 min, 100 L of the mixture were taken and added to 1 mL of the iodine solution
(4 g of iodine potassium were added to 400 L of iodine stock and filled up to 100 mL with
distilled water) and 4 mL of distilled water. The absorbance of the reaction mixture was
read at 660 nm. The negative control was prepared by using a mixture of starch solution
and distilled water. Diastase activity was calculated using the formula (1):
Diastase Number =300
Tx(1)
Tx: the time it took the reaction for the absorbance of the blue color to decrease to
approximately 0.235. The results were expressed as Schade units/gram of honey [19].
2.3.7. Honey Color
The color of honey was estimated by determining the absorbance at 635 nm using a
UV/VIS spectrophotometer (Synergy HT, BioTek Instruments, Inc., Winooski, VT, USA).
For that, 10 g of the honey was dissolved in 20 mL of distilled water. The mm Pfund values
were obtained using the following formula (2) [21]:
mmP f und = 38.7 +371.39Absorbance (2)
2.3.8. Melanoidins Content
Melanoidin content was determined based on the browning index by measuring
the net absorbance of the honey at 450 nm and 720 nm (net absorbance = A 450–A720)
using a UV/VIS spectrophotometer (Synergy HT, BioTek Instruments, Inc., Winooski, VT,
USA) [22]. The melanoidin content was in absorption units. | d1e57437e6a8ac442c73d553eda8602292715b66 | page_0002 |
Molecules 2022 ,27, 5777 4 of 19
2.3.9. Water Activity
The water activity (A w) of bee pollen was measured using a water activity meter
(model ms1, Novasina AG, Lachen, Switzerland) [23].
2.3.10. Total Protein (TP)
The protein content of bee pollen or honey was estimated by quantification of total
nitrogen after sample acid (HNO 3) digestion using a Kjeldahl digestor (Tecator, FOSS,
Hillerød, Denmark), applying the nitrogen conversion factor (N 6.25) [ 24]. The results
were expressed as a gram of total protein per 100 g of bee pollen or honey.
2.3.11. Mineral Content
Mineral elements were obtained by the calcination method using inductively coupled
plasma atomic emission spectroscopy (ICP-AES) (Activa Horiba Jobin Yvon-Ovou 1048,
France). Mineral elements were determined using an air/acetylene flame, the quantitative
determination was carried out after calibrating the instrument using ranges of calibrations
of K, Ca, Na, Mg, Fe, Cu, Zn, Pb, Cd dissolved in 0.1% lanthanum. Honey and bee pollen
samples were analyzed in triplicate [25].
2.4. Structural Characterization by ATR-FTIR Spectroscopy
Functional groups and bonding arrangement of constituents present in the raw bee
pollen and honey were determined by Fourier transform infrared spectroscopy (FTIR)
using an ALPHA II- Bruker spectrometer (Ettlingen, Germany) with a diamond-composite
attenuated total reflectance (ATR) cell. The FTIR spectra were recorded in the range of
4000–400 cm 1, with 60 scan cycles per sample at a resolution of 4 cm 1[26].
2.5. Biocompounds Determination of Bee Pollen and Honey
2.5.1. Total Phenolic Content (TPC) and Total Flavonoid Content (TFC)
The content of total phenolic and total flavonoid in honey and bee pollen was deter-
mined as described in our previous studies [26,27].
The concentration of TPC was measured using the Folin–Ciocalteu method, which is
based on the colorimetric reduction/oxidation reaction of phenols. So, 5 L of sample or
water for control were mixed with Folin–Ciocalteu reagent (15 L) and 60 L of sodium
carbonate (75 g/L). The reaction was performed for 5 min at 60C, and absorbance was
measured at 700 nm by a UV/VIS spectrophotometer (Synergy HT, BioTek Instruments,
Inc., USA). Gallic acid was used to perform a calibration curve (R2= 0.994), and TPC values
were expressed as gallic acid equivalents (GAE) (mg GAE/g).
For the determination of TFC, a spectrophotometric assay based on the formation of
an aluminum chloride complex was used. Thus, 500 L of the sample or water for control
was mixed with distilled water and 5% sodium nitrite solution. After, AlCl 310% solution
was added, and thereafter NaOH 4% solution was added to the mixture. Then, the mixture
was properly mixed and allowed to stand for 15 min, and the absorbance was measured
at 510 nm. Quercetin was used to perform the standard curve (R2= 0.995) and the TFC
results were expressed as mg of quercetin equivalents (QE) per g of honey or bee pollen
(mg QE/g).
2.5.2. Identification and Quantification of Individual Phenolic Compounds by UHPLC
Honey and ethanolic extract of bee pollen were analyzed using a Shimadzu Nexpera
X2 UPLC chromatograph equipped with Diode Array Detector (DAD) (Shimadzu, SPD-
M20A). Separation was performed on a reversed-phase Aquity UPLC BEH C18 column
(2.1 mm100 mm, 1.7 m particle size; from Waters) and a precolumn of the same material
at 40C. The flow rate was 0.4 mL/min. HPLC grade solvents water/formic acid 0.1% and
acetonitrile were used [ 26]. Phenolic compounds were identified by comparing their UV
spectra and retention times with that of corresponding standards. | d1e57437e6a8ac442c73d553eda8602292715b66 | page_0003 |
Molecules 2022 ,27, 5777 5 of 19
Catechin (98% of purity), caffeic acid ( 98%), vanillic acid ( 97.0%), o-coumaric
acid (97.0%), ferulic acid ( 99.0%), ellagic acid ( 95.0%), naringin (95.0%), hesperidin
(97.0%), cinnamic acid ( 99.0%), resveratrol ( 99.0%), rosmarinic acid ( 98.0%), quercetin
(95.0%), apigenin ( 99.0%), rutin (94.0%), chlorogenic acid ( 95.0%), and kaempferol
(99.0%). All used standards were of analytical grade (purity level above 94%) and
procured from Sigma Aldrich (St. Louis, MO, USA).
Quantification was carried out using calibration curves for each compound analyzed
using concentrations between 250–2.5 mg/L. In all cases, the coefficient of linear correla-
tion was R2> 0.99. Compounds were quantified and identified at different wavelengths
(209–370 nm). The values of individual phenolic compounds were expressed in milligrams
per kilogram of samples (mg/kg). All analyses were made in triplicate.
2.5.3. Soluble Proteins (SP)
Soluble proteins were determined using the Bradford method [ 28]. Bovine serum
albumin (BSA, 2000–50 g/mL) was used to perform the calibration curve (R2= 0.985). The
soluble protein content was expressed as a gram of BSA equivalents (BSAE) per 100 g of
bee pollen or honey (g BSAE/100 g).
2.5.4. Total Carbohydrates (TC)
Total carbohydrates were analyzed as follows: a mixture of 50 L of bee pollen or
honey, 150 L of sulfuric acid (96–98% ( v/v)), and 30 L of phenol reagent (5%) was heated
for 5 min at 90C. After cooling down at room temperature for 5 min, the absorbance of
the mixture was measured at 490 nm by a microplate reader. Glucose (10–600 mg/L) was
used as a standard to achieve the calibration curve (R2= 0.995). The total carbohydrate
content was expressed as a gram of glucose equivalents (GlcE) per 100 g of bee pollen or
honey (g GLcE/100 g) [24].
2.5.5. Quantification of Individual Sugars, Furfural, and Hydroxymethylfurfural (HMF)
The concentrations of glucose, fructose, sucrose, furfural, and HMF in the bee products
samples were determined by HPLC using a BioRad Aminex HPX-87H column (300 7.8 mm)
with a gel particle size of 9 m, eluted at 60C with 0.005 M sulfuric acid and a flow
rate of 0.6 mL/min. The peaks corresponding to sugars were detected using the Knauer
IR intelligent refractive index detector, whereas HMF and furfural were detected using a
Knauer UV detector set at 210 nm [ 29]. Quantification was carried out using calibration
curves for each compound (R2> 0.99). All analyses were made in triplicate.
2.6. Antioxidant Activity
Three different methods of measuring the antioxidant activity were used: DPPH,
ABTS, and FRAP .
Free radical scavenging activity by the DPPH method was determined as follows:
270L of 2,2-diphenyl-1-picryl-hydrazyl-hydrate (DPPH) solution (150 M, prepared in
methanol with an absorbance of 0.700 0.01 at 515 nm) was mixed with 30 L of different
concentrations of honey (200 to 1000 g/mL) or bee pollen extract (16 to
260g/mL). Then the absorbance of the mixture reactions was measured at 515 nm after
1 h of incubation in the dark [ 26]. The antiradical activity (% inhibition) was calculated
using Equation (3). The concentration of bee pollen or honey required to scavenge 50%
of DPPH (IC 50) was determined graphically using the curve plotted by the percentage of
DPPH inhibition as a function of the sample concentration. The IC 50values were expressed
ing/mL. 6-hydroxy-2,5,7,8-tetramethylchroman-2-carboxylic acid (Trolox) was used as a
positive control.
% Inhibition =Abs control Abs sample
Abs control100 (3) | d1e57437e6a8ac442c73d553eda8602292715b66 | page_0004 |
Molecules 2022 ,27, 5777 6 of 19
Radical cation decolorization (ABTS assay) was determined as follows: 200 L of
2,20-azino-bis(3-ethylbenzothiazoline-6-sulfonic acid) diammonium salt (ABTS) radical
cation solution was mixed with 10 L of different concentrations of bee pollen (65 to
1040 g/mL) and honey (from 1000 to 8000 g/mL). The mixture was incubated in the dark
for 30 min, and then the absorbance was measured at 734 nm. Trolox was used as a positive
control. The ABTS radical cation inhibition percent was determined using Equation (3).
The IC 50results were expressed in g/mL [26].
Ferric reducing antioxidant power (FRAP assay) was determined as follows: 10 L
of different concentrations of honey (400 to 1800 mg/mL) or bee pollen extract (0.03 to
1.04 mg/mL) was mixed with 290 L of FRAP reagent (pH 3.6). Then, the mixture was
incubated at 37C for 15 min. The absorbance is determined at 593 nm [ 26]. An aqueous
solution of ferrous sulfate was used to build the calibration curve. FRAP values are
expressed as micromoles of ferrous equivalent per g material ( mol Fe2+/g sample).
2.7. Antihyperglycemic Activity
To assess the antihyperglycemic capacity of honey and bee pollen, two important
enzymatic assays were performed: -Glucosidase and -amylase inhibitory activities. For
-glucosidase inhibition assay, a mixture of different honey (1 to 6 mg/mL) or bee pollen
(0.065 to 2.08 mg/mL) concentrations and p-nitrophenyl-R-d-glucopyranoside (pNPG,
3 mM) was added to the -glucosidase solution (10 U/mL), and after 15 min of incubation
at 37C, the reaction was stopped by adding Na 2CO 3solution (1 M). The intensity of
p-nitrophenol coloration produced was measured at 400 nm [27].
For-amylase inhibition assay, a mixture of 500 L of-amylase solution (0.5 mg/mL)
and 500 L of different concentrations of honey (1 to 6 mg/mL) or bee pollen (0.065 to
2.08 mg/mL) was incubated at 37C for 15 min. Distilled water and ethanol 70% were used
as a negative control, and acarbose was used as a positive control. Then, 500 L of starch
solution (1%) was added and the mixture was incubated for 15 min at 37C. Immediately,
1 mL of dinitrosalicylic acid color reagent was added to the reaction and placed for 10 min
in a boiling water bath. The final mixture was diluted 10 times and the absorbance of each
dilution was read at 540 nm [27].
Equation (3) was used to calculate -amylase and -glucosidase inhibitory activity
(%). The honey or bee pollen concentration required to inhibit 50% (IC 50) of-amylase and
-glucosidase activities were calculated from a dose–response curve, and the results were
expressed in mg/mL.
2.8. Statistical Analysis
The data obtained are presented as mean standard deviation (SD) values. GraphPad
Prism software (version 6.0; GraphPad Software, Inc., San Diego, CA, USA) was used for
statistical analyses. A student t-test was used to compare honey and bee pollen samples,
p< 0.05.
3. Results and Discussion
3.1. Melissopalynological Analysis
The results of the melissopalynological analysis presented in Table 2 showed that the
predominant pollen found in both honey and bee pollen was Citrus aurantium , 48%, and
50%, respectively. When the percentage of predominant pollen was over 45%, the samples
were classified as monofloral [ 30]. These results were expected, as the honey and bee pollen
samples were collected from the same apiary in Boulemane, Morocco, which is an area rich
in citrus plants. | d1e57437e6a8ac442c73d553eda8602292715b66 | page_0005 |
Molecules 2022 ,27, 5777 7 of 19
Table 2. Melissopalynological analysis of honey and bee pollen.
Honey Bee Pollen
Predominant pollen (>45%) Citrus aurantium L. (Rutaceae) (48%) Citrus aurantium L. (Rutaceae) (50%)
Secondary pollen (16–45%) Lamiaceae (41%) Apiaceae (33%)
Important minor pollen (3–15%)Fabaceae (6%)
Rosaceae (4%)Rosaceae (15%)
Minor pollen (<3%) Globulariaceae (1%)Brassicaceae, Myrtaceae, Cistaceae,
Fabaceae (2%)
3.2. Physicochemical Analysis of Honey and Bee Pollen
Physicochemical parameters are necessary analysis routines to check the good qual-
ity, reveal the adulteration of bee products, and know their geographical and botanical
origin [ 8,31–33]. In this study, honey and bee pollen collected from the same hives were
analyzed for various potential physicochemical parameters (Table 3). The moisture analysis
showed a percentage of 3.34 0.02% in bee pollen and 20.08 0.03% in honey. The per-
centage of moisture in bee pollen revealed that the sample was dried because the fresh bee
pollen should contain a percentage of water ranging between 20% and 30%, and the high
content of water makes fresh bee pollen an ideal culture medium for microorganisms [ 34].
For that, it is recommended to dry it until obtaining less than 6% of humidity [ 35]. On
the other hand, the value of moisture obtained in our examined honey exceeded slightly
the maximum limit fixed by the Codex Alimentarius Commission at 20% [ 33]. The ob-
tained result could be due to the precocious collection of honey before its total maturity,
which constitutes a favorable environment for mold and yeast development when it largely
exceeds 20% [ 36]. In addition to water content, pH is another parameter that influences
indirectly the shelf life and thus the stability of bee pollen and organic honey. In addition
to the botanical and pedo-climatic characteristics of each harvest station, this parameter is
also affected by conditioning storage and beekeepers’ practices. As documented in Table 3,
for pH analysis, no significant differences were shown between honey and bee pollen
(4.170.04 and 4.350.03, respectively). These results are in agreement with those
published by Adaškeviˇ ci ¯ut˙e and coworkers [ 37] for eighteen dried bee pollen samples and
eleven honey samples harvested from twelve countries in which pH values ranged between
4.30 and 5.22 in honey, and between 3.72 and 4.74 in bee pollen.
Table 3. Physicochemical parameters of honey and bee pollen.
Parameters Honey Bee Pollen
Moisture (%) 20.08 0.03 3.34 0.02
Total soluble solids (%) 79.69 0.02 -
Ash (%) 0.360 0.01 3.13 0.03
Total proteins (%) 0.380 0.00 27.53 1.71
pH 4.17 0.04 4.35 0.03
Electrical conductivity ( S/cm) 614.66 3.78 -
Free acidity (mEq/kg) 24.13 1.75 -
Lactonic acidity (mEq/kg) 9.07 1.69 -
Total acidity (mEq/kg) 33.20 1.76 -
Diastasic activity (Schade units/g) 12.64 1.25 -
Water activity - 0.30 0.01
Pfund scale (mm) 142.78 4.26 -
Melanoidins 0.93 0.01 -
HMF (mg/kg) 18.63 0.22 n.d.
Furfural (mg/kg) n.d. n.d.
n.d.: not detected; -: not analyzed.
The ash content was higher in bee pollen than in honey, with values of 3.13 0.03%
and 0.360.01%, respectively. The ash content is an important quality parameter because | d1e57437e6a8ac442c73d553eda8602292715b66 | page_0006 |
Molecules 2022 ,27, 5777 8 of 19
it reflects the inorganic (minerals) content in these bee products. It may be influenced by
the botanical origin and the soil type [ 38]. The results obtained by our samples fulfill the
limits of the standards that set a maximum limit of 4% for bee pollen [ 17] and 0.6% for
honey [ 39]. Moreover, previous data found by our research group indicate that the ash
content of Moroccan citrus honey is below the maximum value specified by the codex
Alimentarius and European Unit Council [ 33,40]. For instance, Aazza and coworkers
characterized 17 commercialized honey samples, in which citrus honey had an ash value of
0.150.01% [ 15]. Additionally, El Menyiy et al. [ 13] investigated the physicochemical
analysis of 14 Moroccan monofloral honeys and reported that citrus honey collected from
the Sidi kacem station had an ash content of 0.07 0.006% (see Table 4). Regarding
bee pollen, it is necessary to mention that, to date, there is only one published work
investigating the nutritional quality and the physicochemical characterization of eight
monofloral bee pollens collected from different localities of Morocco [5]. Accordingly, ash
content varied between 1.81 0.10% and 4.220.08%, for Reseda luteola (60%) bee pollen
and Coriandrum sativum (70%), respectively.
Collected bee pollen contains a high amount of energetic ingredients including, car-
bohydrates and proteins. Nowadays, the search for new cheaper, nutritive, healthier, and
sustainable protein sources from non-animal origins is driven by a leading tendency and at-
tract the attention of many researchers and health care companies worldwide. Current data
showed that the bee pollen is richer in proteins compared to honey, at 27.53% vs. 0.380%,
respectively. The total protein content of investigated bee pollen was in agreement with the
international standards which fixed a minimum value of 10 g/100 g and a maximum value
of 40 g/100 g of bee pollen dry weight [5,35].
Furfural was not detected in both honey and bee pollen samples. Hydroxymethyl-
furfural (HMF), or 5-hydroxymethyl 2-furaldehyde, is a water-soluble organic compound
derived from sugars. It is produced during the thermal heating of honey as a result of
dehydration of fructose and glucose. HMF is generally recognized as a pilot parameter
reflecting the heating historic and thus honey freshness [41].
Table 4. Review of the quality criteria of Moroccan honeys with a predominance of Citrus pollen:
comparison with international standards.
Moroccan Honeys with a Predominance of Citrus Pollen
Geographical
OriginParameters
References Moisture
(%)Ash
(%)Electrical
Conductivity
(S/cm)Total
Acidity
(mEq/Kg)Diastase Activity
(Schade Units/g)Carbohydrates
(g/100 g)Sucrose
(g/100 g)HMF
(mg/kg)
Berkane 14.5–21.3 - - 12.6–44.7 1.63–29.0 - - 5.01–43.3 [14]
North-West 14.50–21.30 - - 12.59–44.71 1.61–287 - 0.20–5.08 5.05–43.30 [16]
Nador 15–20.19 - 192–480 11.93–50 4.3–11.00 61.73–82.55 0.23–2.52 0.08–32.60 [42]
Taza 16.71 1.14 0.030.02 16.83 1.46 - - - - [12]
SidiKacem 17.2 0.14 0.070.06 87.40.42 - - - - - [13]
Ifrane 20.0 0.1 0.150.01 150.32.7 30.00.8 9.100.47 0.97 0.06 1.801.41 [15]
Codex Alimentarius
200.580050 865560 [33]
European Unit Council
200.580040 865540 [40]
The analysis of HMF in honey revealed content of 18.63 0.22 mg/kg (Table 3),
which is in the range of Moroccan citrus honey that shows HMF content between 5.01 and
43.3, between 5.05 and 43.30; and from 0.08 to 32.60 mg/kg for samples harvested from
Berkane, Northwest and Nador areas, respectively (Review Table 4) [ 14,16,42]. While, in
bee pollen, HMF was not detected. Moreover, the HMF content must not exceed 40 mg/kg
in honey [ 33], validating the quality of our analyzed product. Bee pollen was subjected to
water activity analysis and it showed a value of 0.30 0.01, which is in agreement with
the ones reported by Estevinho and coworkers for twenty-two Portuguese organic bee | d1e57437e6a8ac442c73d553eda8602292715b66 | page_0007 |
Molecules 2022 ,27, 5777 9 of 19
pollen samples (0.21–0.37) [ 43]. This value indicates that our sample is not subjected to
fermentation, since a water activity below 0.60 is considered insufficient for the growth of
osmophilic yeasts, which is typical for preventing microbiological spoilage (yeasts, bacteria,
and fungi) and reducing deteriorative chemical and biochemical reactions [34,44].
Furthermore, honey was analyzed for other physicochemical parameters necessary to
check its good quality, such as a diastase activity that revealed a value of 12.64 1.25 Schade
units/g. This result was in line with those reported for Moroccan citrus honey collected
from Berkane, North-west, and Nador stations in which values ranged from 1.63 to 29.0,
from 1.61 to 287, and from 4.3 to 11.0 Schade units/g, respectively (see Table 4) [14,16,42].
The freshness of honey is determined by the analysis of diastase and HMF. Diastase is
an enzyme added by bees in honey to break down starch into glucose, and a low diastase
value indicates enzyme degradation due to the overheating of honey. Likewise, a high HMF
value indicates that the honey is stored in poor conditions, aged, or overheated [ 31,38,45].
Additionally, the acidity of honey is a very important quality parameter that is largely
influenced by honey age and its specific composition of aromatic and aliphatic acids. High
acidity indicates microbial deterioration of honey or a high content of water which causes
fermentation of the honey [ 46,47]. Obtained results showed that the honey’s total acidity
was 33.201.76 mEq/kg, the free acidity was 24.13 1.75 mEq/kg, and the lactonic
acidity was 9.071.69 mEq/kg. These values are in line with those recommended by the
Codex Alimentarius Commission [33].
The value of TSS obtained in honey was 79.69 0.02%, thus the studied honey can
be considered of high grade and highly stable during storage [ 48]. In addition to that, the
analysis of electrical conductivity is a very important criterion to reveal the botanical origin
of different kinds of honey and to differentiate between blossom and honeydew honey. It
depends on the ash and acid contents of honey [ 31]. The current result showed a value of
614.663.78S/cm, which is in the range of electrical conductivity values revealed for
the blossom honey [49].
The honey color is the first quality parameter appreciated and evaluated by con-
sumers. Generally, the darkest honey is known for its good quality [ 50]. The most com-
monly used technique for color determination is based on the optical comparison, using a
Pfund color scale [ 51]. The Pfund value obtained by analyzing honey showed a value of
142.784.26 mm , thus according to the Pfund scale, the honey is classified as dark amber
(Pfund > 114 mm) [52].
Melanoidins are high molecular weight compounds produced in the later stages
of the Maillard reaction [ 53]. It was proven that melanoidin formation increased after
heat treatment of honey [ 54]. The analysis of melanoidins in honey showed a content of
0.930.01, this result is in line with the range of color standard designation [48].
From a dietary and energy standpoint, carbohydrates and proteins represent the major
sources of honey bees’ nutrition and are considered principal constituents of honey and bee
pollen. Results presented in Table 5 showed that honey and bee pollen proteins are highly
soluble (0.3750.001 vs. 27.004.00 g BSA/100 g, respectively), compared to the results
obtained for total protein (Table 3). For total carbohydrates and individual sugars content,
the honey was richer than bee pollen (Table 5). The concentration of total carbohydrates was
71.520.33 g Glceq/100 g in honey and 31.69 0.95 g Glceq/100 g in bee pollen. The total
carbohydrate content found in the investigated honey exceeded the minimum value fixed
by both international regulations, codex Alimentarius and EU Council at 65 mg/kg (see
Table 4) [ 33,40]. Fructose was the major individual sugar in both bee products, with a value
of 36.763.30 g/100 g in honey and 16.42 0.09 g/100 g in bee pollen followed by glucose
with a concentration of 26.08 2.71 g/100 g and 11.44 0.12 g/100 g for honey and bee
pollen, respectively. In honey, the fructose/glucose ratio (F/G) influences the physical state
and the crystallization of honey. In general, F/G is the best-used index for classifying honey
crystallization, in which honey is defined as slow or absent when F/G > 1.33, medium
1.11F/G1.33, and fast when F/G < 1.11 [55]. Honey with an F/G greater than 1.35%
is always in a liquid state even when stored for a long time. The F/G of the evaluated | d1e57437e6a8ac442c73d553eda8602292715b66 | page_0008 |
Molecules 2022 ,27, 5777 10 of 19
honey (1.41%) reaffirms its liquid character. In addition to its impact on the physical state
and sensory characteristics of honey, the F/G ratio continues to be a crucial variable that
condition or even restricts the use of honey in many critical physiological situations, such
as glucose and lipid metabolic dysfunctions. Previous scientific data documented that
fructose contained in honey decreased markedly the fasting blood glucose level in diabetic
rat models and improve the lipid status of diabetes patients [ 56,57]. For that, in addition to
antioxidant molecules and many other bio-valuable micro/macronutrients, fructose-rich
honey might be at least useful to enhance human physiological abilities and prevents
several metabolic disorders including dyslipidemia and diabetes.
Table 5. Soluble proteins, total carbohydrates, and individual sugars content of honey and bee pollen.
Honey Bee Pollen
Soluble proteins (g BSA/100 g) 0.375 0.001 27.00 4.00 ***
Total carbohydrates (g GlcEq/100 g) 71.52 0.33 31.69 0.95 ***
Fructose (g/100 g) 36.76 3.31 16.42 0.09 ***
Glucose (g/100 g) 26.08 2.71 11.44 0.12 ***
Sucrose (g/100 g) 2.94 0.35 1.38 0.03 **
Values are expressed as mean SD. *** p< 0.001, ** p< 0.01 vs. Honey samples.
Regarding sucrose, honey had a concentration of 2.93 0.35 g/100 g vs. 1.380.03 g/100 g
in bee pollen (Table 5). The sucrose content of the tested honey sample was higher than
that found in eighteen Moroccan Zantaz honeys, in which sucrose content was below
0.2 g/100 g [ 58]. Moreover, Aazza and coworkers [ 15] examined Seventeen monofloral
Moroccan samples and showed values between 0.85 0.06 g/100 g in carob honey and
3.720.06 g/100 g in eucalyptus honey (Review Table 4). Although, a wide variability
could be seen amongst the sample analyzed in the present study and the other harvests,
being all lower than the maximum value (5 g/100 g) required for honey freshness [40].
Generally, the nutritional value of bee pollen and honey samples can be affected
by many factors such as climatic and geographic conditions, botanical origin as well as
apicultural practices [59,60].
3.3. Mineral Content in Bee Pollen and Honey
The analysis of minerals content in bee pollen and honey is summarized in Table 6. The
following minerals: potassium, calcium, magnesium, iron, and zinc were presented in bee pollen
by amounts significantly higher than honey (K, 1439.80 20.66 vs. 514.213.12 mg/kg ; Ca,
1011.5441.11 vs. 260.021.23 mg/kg; Mg, 278.54 13.30 vs. 52.020.54 mg/kg; Fe,
107.166.26 vs. 2.140.03 mg/kg; Zn, 16.10 1.77 vs. 0.750.04 mg/kg, respec-
tively). On the other hand, a significant concentration of sodium was detected in honey
(67.820.27 mg/kg ) in comparison to bee pollen ( 26.991.34 mg/kg ),while no significant
difference was detected in the copper content. For the toxic metals (lead and cadmium)
the detected concentrations are below the recommended limits (limit values of 0.5 mg/kg
for lead and 0.1 mg/kg for cadmium) [ 9,61]. This confirms the purity and good quality
of our bee pollen and honey samples. The mineral contents in this study were within the
range of the results obtained for Moroccan honey and monofloral bee pollen from different
geographical origins [5,15,38].
The content of minerals in bee pollen and honey is also influenced by botanical origin,
climatic conditions, and seasonal variations [62].
There is evidence that minerals are essential for the proper functioning of the body. For
instance, iron plays a key role in the synthesis and function of hemoglobin [ 63]. Zinc and
copper are essential for superoxide dismutase activity, an antioxidant enzyme used by the
organism to defend against superoxide radicals [ 64]. Similarly, it was shown that dietary
potassium intake reduces blood pressure, and plays a role in endothelial and cardiovascular
function [ 65]. In this sense, and knowing the chemical composition of our products, we can | d1e57437e6a8ac442c73d553eda8602292715b66 | page_0009 |
Molecules 2022 ,27, 5777 11 of 19
say that they can be a good option as a food or the basis for other food products, cosmetics,
or pharmaceutical formulations.
Table 6. Minerals content in honey and bee pollen.
Mineral ContentConcentration (mg/kg)
Honey Bee Pollen
Potassium (K) 514.21 3.12 1439.80 20.66 ***
Calcium (Ca) 260.02 1.23 1011.54 41.11 ***
Sodium (Na) 67.82 0.27 26.99 1.34 ***
Magnesium (Mg) 52.02 0.54 278.54 13.30 ***
Iron (Fe) 2.14 0.03 107.16 6.26 ***
Copper (Cu) 0.95 0.00 1.08 0.05
Zinc (Zn) 0.75 0.04 16.10 1.77 ***
Lead (Pb) 0.03 0.0 n.d.
Cadmium (Cd) n.d. 0.013 0.002
Values are expressed as mean SD. *** p< 0.001 vs. Honey samples. n.d.: not detected.
3.4. Phenolic Compounds in Honey and Bee Pollen
Phenolic compounds or polyphenols are a family of complex molecules widely dis-
tributed in the plant kingdom. They are categorized into phenolic acids, flavonoids,
stilbenes, and lignans, among others [66].
The analysis of TPC showed that bee pollen was rich in phenolic compounds in compari-
son to honey (17.07 0.02 mg GAE/g vs. 1.13 0.00 mg GAE/g, respectively). Similarly,
the TFC was significantly higher in bee pollen than in honey (4.16 0.12 mg QE/g vs.
0.080.01 mg QE/g, respectively) (Figure 1). These results were within the range of the
findings in the study by Soares de Arruda [ 67] for Brazilian bee pollen and higher than
those reported for Turkish honey [68].
Molecules 2022 , 27, x FOR PEER REVIEW 11 of 20
Honey Bee Pollen
Potassium (K) 514.21 ± 3.12 1439.80 ± 20.66 ***
Calcium (Ca) 260.02 ± 1.23 1011.54 ± 41.11 ***
Sodium (Na) 67.82 ± 0.27 26.99 ± 1.34 ***
Magnesium (Mg) 52.02 ± 0.54 278.54 ± 13.30 ***
Iron (Fe) 2.14 ± 0.03 107.16 ± 6.26 ***
Copper (Cu) 0.95 ± 0.00 1.08 ± 0.05
Zinc (Zn) 0.75 ± 0.04 16.10 ± 1.77 ***
Lead (Pb) 0.03 ± 0.0 n.d.
Cadmium (Cd) n.d. 0.013 ± 0.002
Values are expressed as mean ± SD. *** p < 0.001 vs. Honey samples. n.d.: not detected.
The content of minerals in bee pollen and ho ney is also influenced by botanical origin,
climatic conditions, and seasonal variations [62].
There is evidence that minerals are essent ial for the proper functioning of the body.
For instance, iron plays a key role in the synt hesis and function of hemoglobin [63]. Zinc
and copper are essential for superoxide dismutase activity, an antioxidant enzyme used
by the organism to defend against superoxide radicals [64]. Similarly, it was shown that
dietary potassium intake reduces blood pressure, and plays a role in endothelial and car-diovascular function [65]. In this sense, and knowing the chemical composition of our
products, we can say that they can be a good option as a food or the basis for other food
products, cosmetics, or pharmaceutical formulations.
3.4. Phenolic Compounds in Honey and Bee Pollen
Phenolic compounds or polyphenols are a family of complex molecules widely dis-
tributed in the plant kingdom. They are cate gorized into phenolic acids, flavonoids, stil-
benes, and lignans, among others [66].
The analysis of TPC showed that bee pollen was rich in phenolic compounds in com-
parison to honey (17.07 ± 0.02 mg GAE/g vs. 1.13 ± 0.00 mg GAE/g, respectively). Similarly,
the TFC was significantly higher in bee pollen than in honey (4.16 ± 0.12 mg QE/g vs. 0.08
± 0.01 mg QE/g, respectively) (Figure 1). Thes e results were within the range of the find-
ings in the study by Soares de Arruda [67] for Brazilian bee pollen and higher than those
reported for Turkish honey [68].
Figure 1. Total phenolic ( A) and flavonoid ( B) content of honey and bee pollen. *** p < 0.001 vs.
Honey samples.
Nowadays, the research of new safer, and sustainable bio-valuable molecules from
functional foods is a leading tendency of green chemistry. In the present study, individual
phenolic compounds in honey and bee pollen collected from the same hives were ana-
lyzed and quantified using UHPLC. The results presented in Table 7 showed that the
Figure 1. Total phenolic ( A) and flavonoid ( B) content of honey and bee pollen. *** p< 0.001 vs.
Honey samples.
Nowadays, the research of new safer, and sustainable bio-valuable molecules from
functional foods is a leading tendency of green chemistry. In the present study, individual
phenolic compounds in honey and bee pollen collected from the same hives were analyzed
and quantified using UHPLC. The results presented in Table 7 showed that the following
compounds are presented in both honey and bee pollen: o-coumaric acid, ferulic acid,
ellagic acid, naringin, resveratrol, rosmarinic acid, and quercetin. These bioactive com-
pounds were presented in bee pollen with higher amounts than honey. This is probably
because the percentage of pollen grains in bee pollen is higher than in honey, and it is
known that pollen grains are the main source of the phenolic compounds found in bee-hive
products [69]. | d1e57437e6a8ac442c73d553eda8602292715b66 | page_0010 |
Molecules 2022 ,27, 5777 12 of 19
Table 7. Phenolic compound identification and quantification of bee pollen and honey.
Phenolic CompoundsConcentration (mg/kg)
Honey Bee Pollen
Catechin 13.8 0.0 n.d.
Caffeic acid 5.7 0.0 n.d.
Vanillic acid 3.6 0.0 n.d.
o-Coumaric acid 3.6 0.0 39.8 0.6 ***
Ferulic acid 8.3 0.0 19.2 0.1 ***
Ellagic acid 7.3 1.3 105.1 0.2 ***
Naringin 20.4 0.0 49.4 1.7 ***
Hesperidin n.d. 488.9 4.0
Cinnamic acid n.d. 150.4 0.8
Resveratrol 10.4 0.0 157.6 1.7 ***
Rosmarinic acid 15.3 0.0 91.5 2.2 ***
Quercetin 4.9 0.0 32.1 0.8 ***
Apigenin n.d. 59.2 24.2
Rutin n.d. 182.4 2.4
Chlorogenic acid n.d. 32.1 0.1
Kaempferol n.d. 4.3 0.3
Total 93 1412
Values are expressed as mean SD. *** p< 0.001 vs. Honey samples. n.d.: not detected.
Some phenolic compounds are unshared between the pooled samples of honey and
pollen. For instance, catechin, caffeic acid, and vanillic acid were detected only in honey in the
following concentrations: 13.8 0.0 mg/kg, 5.70.0 mg/kg, and 3.6 0.0 mg/kg, respec-
tively. While, hesperidin, cinnamic acid, apigenin, rutin, chlorogenic acid, and kaempferol
were detected only in bee pollen in the following concentrations: 488.94.0 mg/kg ,
150.40.8 mg/kg, 59.2 24.2 mg/kg, 182.4 2.4 mg/kg, 32.1 0.1 mg/kg,
4.30.3 mg/kg, respectively. Previous studies conducted on Moroccan honey and bee
pollen have reported that these two bee products are rich sources of phenolic compounds.
For instance, Elamine et al. [ 70] have shown that Bupleurum spinosum honey collected from
the Atlas Moroccan Mountains contains an amount of methyl syringate more than 50% of
total polyphenols, and they found a correlation between this phenolic compound and the
antioxidant and the antiproliferative activities. Similarly, El Ghouizi and coworkers [ 71]
showed that Moroccan fresh bee pollen contains nineteen phenolic compounds including,
ellagic acid, kaempferol glycosides, quercetin, luteolin, and isorhamnetin.
The phenolic composition of honey and bee pollen depends mainly on their floral
source and also on environmental and climatic factors [ 72]. It has been reported that
the determination of the botanical origin of honey was based on its content on some
individual phenolic compounds. For instance, citrus honey can be marked by its content
in hesperidin and naringin [ 73,74], rosemary honey is characterized by its content in 8-
methoxy-kaempferol, and lavender honey is characterized by its content in luteolin [ 75].
This highlights the importance of individual phenolic compounds analysis as a promising
tool to authenticate and predict the botanical source of organic local honey to attribute their
commercial label.
A growing body of research indicates and identifies many aspects of the biological
activities of phenolic compounds. For example, it was found that o-coumaric acid exhibits
a potential anticancer effect via the inhibition of angiogenesis [ 76]. Similarly, it was shown
that ferulic acid supplementation in hyperlipidemic subjects can reduce cardiovascular
disease through the amelioration of oxidative stress, the improvement of lipid profiles,
and inflammation [ 77]. The antiproliferative effect of resveratrol (stilbene) was proven
via the inhibition of IGF-1R/Akt/Wnt pathways and the activation of tumor suppressor
p53 protein [ 78]. Additionally, the anti-inflammatory and antioxidant effects were shown
by apigenin, kaempferol, and quercetin (flavonol glycoside) [ 79]. Moreover, the intake of
bee pollen and honey (rich in phenolic compounds) has shown numerous benefits for the | d1e57437e6a8ac442c73d553eda8602292715b66 | page_0011 |
Molecules 2022 ,27, 5777 13 of 19
health of consumers. For example, studies completed by several authors show that honey
can prevent blood, hepatic, and renal lead toxicity [ 80], as well as pollen, which shows
activity in the prevention/treatment of diabetes [81,82].
3.5. Structural Characterization by ATR-FTIR Spectroscopy
FTIR-ATR spectra of honey and bee pollen are shown in Figure 2. Both examined
samples showed most of the spectral peaks in the 2000–400 cm 1region and only four
peaks between 4000 and 2000 cm 1in which a large band at 3286 cm 1corresponds to
the stretching mode of OH from water [ 83]. As expected, this peak is more intense in
honey than in bee pollen. Strong peaks between 3200 cm 1and 2800 cm 1were detected
in honey and bee pollen but with different intensities. Indeed, bee pollen presented more
intense peaks. These peaks are assigned to the CH 2asymmetric stretching (2919 cm 1)
and CH 2symmetric stretching vibrations (2850 cm 1) of lipids and hydrocarbons [ 84]. The
band at 1735 cm 1is linked to the stretching mode of carbonyl moiety and asymmetric
bending vibration C=O of amino acids, lipids, and flavonoids. This peak is more intense
in bee pollen, which is confirmed by its high number/concentration of flavonoids as
compared to the honey (see Table 7) [ 85]. A shoulder peak at 1635 cm 1is related to
the C-H deformations and aromatic stretching or frame vibration of C=O and C=C of
flavonoids and asymmetrical stretching of N-H from amino acids. Absorption at 1542 and
1516 cm 1is usually due to the bending mode of CH 2present in the chemical structure of
amides II and C=C stretching vibrations of phenolic acids [ 83]. Moreover, peaks between
1440 and 1370 cm 1represent C-H deformation vibration, OH stretching vibrations, and
CH 3bending vibration obtained from cellulose, lipids, and functional groups ketone,
aldehyde, glucose, and fructose [ 83]. In the fingerprint region (1200–500 cm 1) the intense
peak with the shoulder at 1027 cm 1is observed for both products, corresponding to
the C–C, C–N, and C–O stretching vibrations of proteins and sugars [ 86]. Finally, peaks
between 921 and 700 cm 1resulting from vibrational modes of C-H (919 cm 1) and C–OH
(864–767 cm 1) are present in the chemical structure of saccharides.
Molecules 2022 , 27, x FOR PEER REVIEW 14 of 20
Figure 2. FTIR-ATR spectrum of honey and bee pollen.
3.6. Antioxidant Activity
Antioxidant compounds are known to be be neficial for human health by decreasing
oxidative stress and maintaining the body’s homeostasis.
The different methods used for the determin ation of antioxidant activity allow dif-
ferent mechanisms of action of natural matrices and their compounds to be evaluated.
DPPH is the simplest and most widely used method for determining the free radical scav-
enging capacity. The ABTS assay is based on the interaction between the antioxidant and ABTS cation radical (ABTS
•+), that, in the presence of hydrogen donating antioxidant, the
ABTS•+ nitrogen atom quenches the hydrogen at om, causing the solution decolorization.
Ferric reducing antioxidant power (FRAP assay) consists of the ability of compounds to reduce ferric ions (Fe
3+ to Fe2+) in the form of ferric 2,4,6-tripyridyl-s-triazine (TPTZ), con-
firming the presence of reducing antioxidants [27].
Therefore, the antioxidant activity of honey and bee pollen was evaluated by three
different and complementary methods (DPPH, ABTS, and FRAP assays), and the results
are presented in Table 8. Concerning the DPPH test, bee pollen showed a value of IC 50 =
50.35 ± 2.27 µg/mL, and a value of IC 50 = 717.41 ± 7.33 µg/mL for honey. The results for the
ABTS test were 397.97 ± 11.99 µg/mL and 4 600 ± 70 µg/mL for bee pollen and honey, re-
spectively. However, for the FRAP test, higher antioxidant activity (antioxidant reducing
power) was also observed for bee pollen samples compared to honey samples (208.73 ±
2.04 vs. 42.74 ± 0.25 µmol Fe2+/g, respectively). These results are within the range of those
reported for other Moroccan honey and bee pollen samples [38,71].
Table 8. Antioxidant activity (DPPH, ABTS, FRAP) of bee pollen and honey.
Honey Bee Pollen
DPPH IC 50 (µg/mL) 717.41 ± 7.33 50.35 ± 2.27 ***
ABTS IC 50 (µg/mL) 4600.0 ± 70.2 397.97 ± 11.99 ***
FRAP (µmol Fe2+/g) 42.74 ± 0.25 208.73 ± 2.04 ***
Values are expressed as mean ± SD. *** p < 0.001 vs. Honey samples.
Figure 2. FTIR-ATR spectrum of honey and bee pollen.
3.6. Antioxidant Activity
Antioxidant compounds are known to be beneficial for human health by decreasing
oxidative stress and maintaining the body’s homeostasis. | d1e57437e6a8ac442c73d553eda8602292715b66 | page_0012 |
Molecules 2022 ,27, 5777 14 of 19
The different methods used for the determination of antioxidant activity allow different
mechanisms of action of natural matrices and their compounds to be evaluated. DPPH is
the simplest and most widely used method for determining the free radical scavenging
capacity. The ABTS assay is based on the interaction between the antioxidant and ABTS
cation radical (ABTS+), that, in the presence of hydrogen donating antioxidant, the ABTS+
nitrogen atom quenches the hydrogen atom, causing the solution decolorization. Ferric
reducing antioxidant power (FRAP assay) consists of the ability of compounds to reduce
ferric ions (Fe3+to Fe2+) in the form of ferric 2,4,6-tripyridyl-s-triazine (TPTZ), confirming
the presence of reducing antioxidants [27].
Therefore, the antioxidant activity of honey and bee pollen was evaluated by three
different and complementary methods (DPPH, ABTS, and FRAP assays), and the re-
sults are presented in Table 8. Concerning the DPPH test, bee pollen showed a value of
IC50= 50.352.27g/mL, and a value of IC 50= 717.417.33g/mL for honey. The re-
sults for the ABTS test were 397.97 11.99 g/mL and 460070g/mL for bee pollen and
honey, respectively. However, for the FRAP test, higher antioxidant activity (antioxidant
reducing power) was also observed for bee pollen samples compared to honey samples
(208.732.04 vs. 42.740.25mol Fe2+/g, respectively). These results are within the
range of those reported for other Moroccan honey and bee pollen samples [38,71].
Table 8. Antioxidant activity (DPPH, ABTS, FRAP) of bee pollen and honey.
Honey Bee Pollen
DPPH IC 50(g/mL) 717.41 7.33 50.35 2.27 ***
ABTS IC 50(g/mL) 4600.0 70.2 397.97 11.99 ***
FRAP ( mol Fe2+/g) 42.740.25 208.73 2.04 ***
Values are expressed as mean SD. *** p< 0.001 vs. Honey samples.
The obtained results revealed that the sample with the highest content of phenolic
compounds is the one that has greater antioxidant activity . This goes in hand with the outcome
of Adaškeviˇ ci ¯ut˙e and collaborators [ 37] showing that bee pollen is richer in antioxidant
compounds than honey , and confirmed by our results presented in Tables 7 and 8.
3.7. Inhibitory Effect of Honey and Bee Pollen against a-Glucosidase and a-Amylase
Starch is a high molecular weight glucose polymer; it represents the main source of
carbohydrates for humans [ 87]. To use starch by the organism, the digestive system breaks
it down into disaccharides using -amylase enzyme located in the brush border of the
small intestine, and then into glucose using -glucosidase enzyme present in saliva and
pancreatic juice [ 88]. Therefore, these enzymes play an important role in the regulation
of postprandial blood sugar. In some cases, the hyperactivity of these enzymes, insulin
resistance, or insulin deficiency leads to hyperglycemia, and to correct this problem -
amylase or -glucosidase inhibitors have been given orally to prevent the digestion of
carbohydrates [89,90].
The results presented in Figure 3 showed that honey and bee pollen can inhibit
-amylase and -glucosidase enzymes in vitro . The lowest IC 50was presented by bee
pollen for -glucosidase and -amylase inhibitory activity (0.82 0.01 mg/mL and
0.530.01 mg/mL, respectively). While for honey the values of IC 50were 3.850.12 mg/mL
for-glucosidase inhibitory activity and 2.58 0.04 mg/mL for -amylase inhibitory
activity. The inhibition of these enzymes may be due to the presence of several pheno-
lic compounds in the examined extracts. It was found that phenolic acid and flavonoid
compounds displayed powerful -amylase and -glucosidase inhibitory activities through
specific molecular interactions, more precisely by establishing hydrogen bonds between
the hydroxyl groups of their aromatic ring and the active site of -glucosidase and -
amylase [91,92]. | d1e57437e6a8ac442c73d553eda8602292715b66 | page_0013 |
Molecules 2022 ,27, 5777 15 of 19
Molecules 2022 , 27, x FOR PEER REVIEW 15 of 20
The obtained results revealed that the samp le with the highest content of phenolic
compounds is the one that has greater antioxid ant activity. This goes in hand with the
outcome of Adaškevi čiūtė and collaborators [37] showing that bee pollen is richer in anti-
oxidant compounds than honey, and confirmed by our results presented in Tables 7 and
8.
3.7. Inhibitory Effect of Honey and Bee Pollen against α-Glucosidase and α-Amylase
Starch is a high molecular weight glucose polymer; it represents the main source of
carbohydrates for humans [87]. To use starch by the organism, the digestive system breaks
it down into disaccharides using α-amylase enzyme located in the brush border of the
small intestine, and then into glucose using α-glucosidase enzyme present in saliva and
pancreatic juice [88]. Therefore, these enzymes play an important role in the regulation of
postprandial blood sugar. In some cases, th e hyperactivity of these enzymes, insulin re-
sistance, or insulin deficiency leads to hyperglycemia, and to correct this problem α-am-
ylase or α-glucosidase inhibitors have been given orally to prevent the digestion of carbo-
hydrates [89,90].
The results presented in Figure 3 showed that honey and bee pollen can inhibit α-
amylase and α-glucosidase enzymes in vitro. The lowest IC 50 was presented by bee pollen
for α-glucosidase and α-amylase inhibitory activity (0.82 ± 0.01 mg/mL and 0.53 ± 0.01
mg/mL, respectively). While for honey the values of IC 50 were 3.85 ± 0.12 mg/mL for α-
glucosidase inhibitory activity and 2.58 ± 0.04 mg/mL for α-amylase inhibitory activity.
The inhibition of these enzymes may be due to the presence of several phenolic com-pounds in the examined extracts. It was fo und that phenolic acid and flavonoid com-
pounds displayed powerful α-amylase and α-glucosidase inhibitory activities through
specific molecular interactions, more precisely by establishing hydrogen bonds between
the hydroxyl groups of their aromatic ring and the active site of α-glucosidase and α-
amylase [91,92].
Figure 3. Inhibitory activity of α-glucosidase and α-amylase of honey and bee pollen. *** p < 0.001
vs. Honey samples.
Moreover, Tadera and coworkers [91] documented that flavonoids component be-
longing to flavonols and isoflavones groups ex hibited more potent inhibition of both en-
zymes than those belonging to flavanone, flavone, and flavan-3-ol groups. This may ex-
plain the highest α-amylase and α-glucosidase inhibitory effect of bee pollen rich in fla-
vonol molecules, especially quercetin and kaem pferol as compared to their content in the
honey sample.
Similarly, it was shown that the administration of resveratrol at a dose of 30 mg/kg
BW in high-fat-fed mice can lower postprandial hyperglycemia [93]. Furthermore, the
Figure 3. Inhibitory activity of -glucosidase and -amylase of honey and bee pollen. *** p< 0.001 vs.
Honey samples.
Moreover, Tadera and coworkers [ 91] documented that flavonoids component be-
longing to flavonols and isoflavones groups exhibited more potent inhibition of both
enzymes than those belonging to flavanone, flavone, and flavan-3-ol groups. This may
explain the highest -amylase and -glucosidase inhibitory effect of bee pollen rich in
flavonol molecules, especially quercetin and kaempferol as compared to their content in the
honey sample.
Similarly, it was shown that the administration of resveratrol at a dose of 30 mg/kg
BW in high-fat-fed mice can lower postprandial hyperglycemia [ 93]. Furthermore, the
antihyperglycemic/antidiabetic activity of honey and bee pollen was previously confirmed
to be effective in the amelioration of the rise in blood glucose levels [81,94].
4. Conclusions
For the first time, honey and bee pollen from the same origins were analyzed and com-
pared, and it was confirmed that the values of studied parameters for honey and bee pollen
samples respect the international regulations for these two products. These bee products
show interesting nutritional capabilities due to their high carbohydrate and protein content.
Moreover, from the nutritional point of view, the composition of bee pollen suggests its
consideration and its incorporation as a healthier alternative protein and mineral-rich food
source in the daily diet. It was also shown that both honey and bee pollen samples are rich
in phenolic compounds, although belonging to different chemical groups (flavonoids, phe-
nolic acids, flavonols, and stilbenes). These functional products have good antioxidant and
anti-hyperglycemic properties that may contribute to the documented health-promoting
properties of bee honey and pollen, which make these products increasingly attractive to
the consumer.
The general characterization of honey and bee pollen as health-promoting foods might
increase their commercial value and will have a positive impact on the basic circular
economy of the rural communities where they are produced. Overall, these outcomes
support the possible use of honey, bee pollen, and their antioxidant-rich extracts in the
food, nutraceutical, or pharmaceutical industries as safe and sustainable sources of dietary
supplements/bio-valuable components.
Author Contributions: Conceptualization, H.L., M.B. and P .F.-S.; methodology, P .F.-S., Z.G. and
J.A.T.; validation, P .F.-S. and Z.G.; formal analysis, H.L., M.B. and P .F.-S.; investigation, H.L., M.B.,
P .F.-S. and Z.G.; data curation, H.L., P .F.-S., Z.G. and D.O.; writing—original draft preparation, H.L.
and M.B.; writing—review and editing, P .F.-S., Z.G. and D.O.; supervision, P .F.-S., J.A.T. and B.L.;
project administration, J.A.T. and B.L.; funding acquisition, J.A.T. and B.L. All authors have read and
agreed to the published version of the manuscript. | d1e57437e6a8ac442c73d553eda8602292715b66 | page_0014 |
Molecules 2022 ,27, 5777 16 of 19
Funding: This work was supported by a grant from the University of Sidi Mohamed Ben Abdallah.
Laboratory of Natural Substances, Pharmacology, Environment, Modeling, Health, and Quality
of Life (SNAMOPEQ). This research was funded by the Portuguese Foundation for Science and
Technology (FCT) under the scope of the strategic funding of UIDB/04469/2020 unit and by the
European Regional Development Fund (ERDF) through the Competitiveness Factors Operational
program—Norte 2020, COMPETE and National Funds through the FCT—under the project AgriFood
XXI (NORTE- 01-0145-FEDER-000041).
Institutional Review Board Statement: Not applicable.
Informed Consent Statement: Not applicable.
Data Availability Statement: Not applicable.
Conflicts of Interest: The authors declare no conflict of interest.
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Template-directed Synthesis of a Genetic Polymer in a Model
Protocell
Sheref S. Mansy , Jason P. Schrum , Mathangi Krishnamurthy , Slvia Tobé , Douglas A.
Treco , and Jack W. Szostak
Howard Hughes Medical Institute, Department of Molecular Biology and the Center for
Computational and Integrative Biology, Massachusetts General Hospital, Boston, MA 02114
Abstract
Contemporary phospholipid based cell membranes are formidable barriers to the uptake of polar and
charged molecules ranging from metal ions to complex nutrients. Modern cells therefore require
sophisticated protein channels and pumps to mediate the exchange of molecules with their
environment. The strong barrier function of membranes has made it difficult to understand the origin
of cellular life and has been thought to preclude a heterotrophic lifestyle for primitive cells. Although
nucleotides can cross DMPC membranes through defects formed at the gel to liquid transition
temperature1, 2, phospholipid membranes lack the dynamic properties required for membrane
growth. Fatty acids and their corresponding alcohols and glycerol monoesters are attractive
candidates for the components of protocell membranes because they are simple amphiphiles that
form bilayer membrane vesicles3-5 that retain encapsulated oligonucleotides3, 6 and are capable of
growth and division7-9. Here we show that such membranes allow the passage of charged molecules
such as nucleotides, so that activated nucleotides added to the outside of a model protocell (Fig. 1)
spontaneously cross the membrane and take part in efficient template copying in the protocell interior.
The permeability properties of prebiotically plausible membranes suggest that primitive protocells
could have acquired complex nutrients from their environment in the absence of any macromolecular
transport machinery, i.e. could have been obligate heterotrophs.
Previous observations of slow permeation of UMP across fatty acid based membranes6
stimulated us to explore the structural factors that control the permeability of these membranes.
We examined membrane compositions with varied surface charge density, fluidity, and
stability of regions of high local curvature. We began by studying the permeability of ribose,
because this sugar is a key building block of the nucleic acid RNA, and because sugar
permeability is conveniently measured with a real-time fluorescence readout of vesicle volume
following solute addition10, 11. We used pure myristoleic acid (C14:1 fatty acid, myristoleate
in its ionized form) as a reference composition, because this compound generates robust
vesicles that are more permeable to solutes than the more common longer chain oleic acid.
Both myristoleyl alcohol (MA-OH) and the glycerol monoester of myristoleic acid
(monomyristolein, GMM) stabilize myristoleate vesicles to the disruptive effects of divalent
cations3, 6. Addition of these amphiphiles should decrease the surface charge density of
myristoleate vesicles, while myristoleyl phosphate (MP) should increase the surface charge
Author Information Reprints and permissions information is available at www.nature.com/reprints . The authors declare no competing
financial interests. Correspondence and requests for materials should be addressed to J.W.S. (szostak@molbio.mgh.harvard.edu)..
Author Contributions
Permeability experiments were performed by S.S.M. J.P.S. performed primer-extension experiments. M.K. synthesized 2 ′-
aminoguanosine. S.T. and D.A.T. contributed to the development of the encapsulated primer-extension system. All authors helped to
design the experiments and discuss the results. S.S.M., J.P.S. and J.W.S. wrote the paper.
Full Methods and any associated references are available in the online version of the paper at www.nature.com/nature.
NIH Public Access
Author Manuscript
Nature . Author manuscript; available in PMC 2009 September 14.
Published in final edited form as:
Nature. 2008 July 3; 454(7200): 122±125. doi:10.1038/nature07018.
NIH-PA Author Manuscript NIH-PA Author Manuscript NIH-PA Author Manuscript | df06e3418d3a06ceaf6642c233b34d910e26b7bd | page_0000 |
density. Surprisingly, only the addition of GMM affected ribose permeability, leading to a
fourfold increase (Fig. 2A). This result suggested that surface charge density per se was not a
major factor controlling sugar permeability.
We hypothesized that the larger steric bulk of the glycerol-ester head group of GMM relative
to the carboxylate of MA might increase ribose permeability by stabilizing highly curved
surfaces associated with the formation of transient solute-lipid complexes12. We therefore
examined the effect of the glycerol esters of the longer chain amphiphiles palmitoleic acid (PA,
C16:1) and oleic acid (OA, C18:1) on the permeability of pure PA and OA membranes. These
molecules, which are progressively less cone-shaped than GMM, had a progressively smaller
influence on the permeability of the corresponding pure fatty acid membranes (Fig. 2B).
However, the addition of sorbitan monooleate, which has a larger cyclic 6-carbon sugar
headgroup (thus restoring a more conical shape to this 18-carbon fatty acid), resulted in a 4-
fold increase in the permeability of OA membranes, consistent with the hypothesis that cone-
shaped amphiphiles stabilize highly curved membrane deformations that facilitate solute
passage. Decreasing acyl chain length within a series of homologous fatty acids (or mixtures
of fatty acids and their glycerol esters) also led to increased sugar permeability (Fig. 2B and
Table S1), presumably due to the decreased stability of the ideal bilayer structure with respect
to the formation of transient solute-lipid complexes.
To further investigate the idea that local membrane deformations are required for solute passage
across the membrane, we asked whether increased packing disorder within the lipid bilayer
would enhance permeability. Phospholipids with higher degrees of unsaturation yield more
disordered, fluid membranes that are more permeable to water and small solutes13. We
observed a 5-fold increase in ribose permeability for vesicles composed of linoleic acid (C18:2)
versus OA (C18:1). Branched chain amphiphiles such as the isoprenoid farnesol also increase
the fluidity of phospholipid membranes14. Vesicles made from a 2:1 molar mixture of MA and
farnesol exhibited a ∼17-fold increase in ribose permeability relative to pure MA vesicles.
Conversely, the higher packing density of saturated amphiphiles13, should lead to increased
membrane order and decreased solute permeability. As expected, the addition of lauric acid
(C12:0) to MA vesicles (2:1 MA:lauric acid) resulted in a 2-fold decrease in ribose permeability
(Fig. 2C).
The above experiments show that solute permeability can be increased by decreasing acyl chain
length, increasing acyl chain unsaturation or branching, and by adding amphiphiles with larger
headgroups. The most prebiotically plausible amphiphiles are the short chain saturated fatty
acids and their corresponding alcohols and glycerol esters15-17. To see if shorter chain length
could compensate for the loss of unsaturation, we tested membrane compositions based upon
the C10 amphiphiles decanoic acid (DA), decanol (DOH) and the glycerol monoester of
decanoate (GMD). Pure decanoic acid only forms stable vesicles at very high amphiphile
concentrations ( ≥100 mM), but the addition of decanol decreases the critical aggregate
concentration to ∼20 mM and increases the pH range over which vesicles are stable3. We find
that the ribose permeability of 2:1 decanoate:decanol vesicles is very similar to that of MA
vesicles but significantly less than that of MA:GMM vesicles (Fig. 2D). Based on the above
observations that amphiphiles with larger head groups lead to increased permeability, we
replaced half of the decanol with glycerol mono-decanoate. The resulting vesicles exhibited a
10-fold increase in ribose permeability (Fig. 2D). It is particularly striking that improved
permeability and stability are obtained with mixtures of amphiphiles, such as might be expected
to be present in a chemically rich prebiotic environment. This is in marked contrast to the
situation with nucleic acids, where homogeneous nucleotides are thought to be required for
replication.Mansy et al. Page 2
Nature . Author manuscript; available in PMC 2009 September 14.
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Vesicles made with all of the above membrane compositions retained 100% of an encapsulated
fluorescein-labeled dA 10 oligonucleotide indefinitely (Fig. S6). In addition, all membrane
compositions retained the previously observed 3 −10 fold faster permeation of ribose compared
to its diastereomers arabinose, lyxose and xylose (Table S1). These observations show that our
permeability measurements do not reflect leakage of encapsulated materials due to vesicle
rupture or the formation of large non-selective pores.
Having established that prebiotically reasonable membranes have high permeabilities to simple
sugars, we asked whether such membranes would allow the uptake of nucleotide nutrients by
a simple model protocell. We measured nucleotide permeation by encapsulating nucleotides
within vesicles, and then determining the fraction of the encapsulated nucleotide that had leaked
out of the vesicles at various times. Because charge has such a dominant effect in restricting
solute permeation through membranes, we first examined the effect of nucleotide charge on
permeation through MA:GMM (2:1) membranes. We observed negligible leakage of AMP,
ADP or ATP (with 2, 3 and 4 negative charges at pH 8.5) over 24 h in the absence of Mg2+,
suggesting that these molecules were either too large or too highly charged to cross the
membrane. We did observe slow permeation of AMP and ADP in the presence of 3 mM
Mg2+ (Fig. 3A), as expected from the formation of complexes of reduced net charge18. The
impermeability of ATP argues against a role for NTPs in very early forms of cellular life
dependent on externally synthesized activated nucleotides; rather, NTPs may be a later
evolutionary adaptation that prevents the leakage of internally synthesized activated
nucleotides19.
The above results highlight the importance of reducing the net charge of nucleotides in order
to enhance membrane permeability. Imidazole activated nucleotides have been used as
convenient models of prebiotic activated nucleotides in studies of both spontaneous and
templated polymerization reactions20-23. In addition to their higher intrinsic chemical
reactivity compared to NTPs, these activated nucleotides are less polar and bear only a single
negative charge at neutral to moderately alkaline pH. We therefore measured the permeabilities
of a series of adenosine nucleotides and their corresponding phosphorimidazolides, using both
MA:GMM (2:1) and C10 membranes (4:1:1 DA:DOH:GMD) (Fig. 3B-D). The half-time for
equilibration of nucleoside phosphorimidazolides using 100 nm vesicles was approximately
12 hours. The effects of membrane composition on the permeability of nucleoside
phosphorimidazolides were essentially parallel to our results for sugar permeability – pure MA
vesicles were less permeable to nucleotides than MA:GMM (2:1) vesicles, while farnesol led
to an even greater enhancement of permeability (Fig. S4). Similarly, the permeability of
DA:DOH membranes was enhanced by the addition of GMD (Fig. 3D).
Our permeability data are consistent with a transport model in which polar functional groups
of solute molecules initially interact with one or more amphiphile headgroups with
displacement of bound water molecules (Fig. S5) while non-polar regions of the solute may
interact with the hydrophobic acyl chains of the amphiphiles24. Formation of this relatively
non-specific amphiphile-solute complex is followed by a concerted inversion of the complex
across the membrane. Lipids with large head groups could increase solute permeation by
providing more opportunity for solute interaction, by favoring high local curvature and by
decreasing the cohesive interactions between adjacent acyl chains and thereby facilitating
amphiphile flip-flop. This model is similar to the previously proposed carrier model for the
spontaneous transport of monovalent ions across fatty acid25 and phospholipid
membranes26.
Encouraged by the observed permeability of activated nucleotides, we asked whether such
nucleotides added to the outside of a model protocell could diffuse to the inside and engage in
template copying reactions in the vesicle interior. Although no sequence-general means for theMansy et al. Page 3
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non-enzymatic replication of a genetic polymer has yet been found, we have identified a system
that exhibits remarkably rapid and efficient non-enzymatic copying of an oligo-dC DNA
template (Fig. S7). Here we use this system to model the spontaneous chemical replication of
genetic material within a protocell. Briefly, a DNA primer bearing a single 3 ′-amino-nucleotide
at its 3′-terminus27 is annealed to a DNA oligonucleotide consisting of a primer-binding region
and a (dC) 15 template region. Following the addition of 2 ′-amino, 2 ′-3′ dideoxyguanosine 5 ′-
phosphorimidazolide, the primer is extended by the template-directed synthesis of 2 ′-
phosphoramidate-linked DNA. Both 3 ′- and 2′-amino nucleotides polymerize much more
rapidly than similarly activated ribo- or deoxyribo-nucleotides due to the presence of the more
nucleophilic amino group23. In solution, primer-extension across a (dC) 15 template in the
presence of 5 mM activated 2 ′-amino- guanosine is essentially complete within 6 hours (Fig.
4A). The major product is precisely full length extended primer.
We used the reaction described above to test the chemical and physical compatibility of
template-directed copying with the integrity of fatty acid based vesicles. We examined the
same template copying reaction inside two sets of vesicles: the robust laboratory model system
consisting of MA:GMM (2:1) vesicles, and the more prebiotically plausible DA:DOH:GMD
(4:1:1) vesicles. Vesicles containing encapsulated primer-template were purified to remove
unencapsulated primer-template. We added 5 mM activated 2 ′-amino-guanosine to initiate
template copying, removed aliquots at intervals, and again purified the vesicles to remove
traces of primer-template that might have leaked out of the vesicles. The absence of measurable
leakage of oligonucleotides from the vesicles shows that the activated nucleotides do not
disrupt vesicle structure. Analysis of the reaction products showed significant primer-extension
by 3 hours, with full-length product continuing to accumulate until 24 hours, at which point
the vesicle reactions had reached a level of full-length product comparable to that seen in the
solution reactions (Fig. 4). Thus, MA:GMM or DA:DOH:GMD membranes slow the
interaction between the primer-template and activated nucleotides, but are nevertheless
compatible with template copying chemistry in the vesicle interior. As expected, a similar
experiment using MA:farnesol (2:1) vesicles also showed efficient copying of encapsulated
template (Fig. 4C). In contrast, phospholipid vesicles showed no detectable primer-extension
following the addition of activated nucleotide to the vesicle exterior (Fig. 4D).
The results described above bear directly on the two current contrasting views of the nature of
the first cells - the autotrophic and heterotrophic models28-30. The autotrophic or ‘metabolism
first’ model is based on the idea that autocatalytic reaction networks evolved in a spatially
localized manner to generate in situ the building blocks required for cellular replication. Our
results argue that early protocells with fatty acid based membranes could not have been
autotrophs, because internally generated metabolites would leak out. In contrast, the
heterotrophic model posits the emergence of very simple cellular structures within a complex
environment that provides external sources of nutrients and energy. While both models must
overcome numerous conceptual difficulties related to the origin of complex molecular building
blocks, the heterotrophic model was thought to face the additional difficulty of importing polar
and even charged molecules across a bilayer lipid membrane. We have shown that fatty acid
based membranes allow a simple protocell to acquire critical nutrients, while retaining
polymerized nucleic acids indefinitely. Our results therefore support the idea that extremely
simple heterotrophic protocells could have emerged within a prebiotic environment rich in
complex nutrients.
Methods Summary
Sugar permeability
Vesicles were prepared with 10 mM encapsulated calcein in either 0.1 M POPSO, 3 mM EDTA,
pH 8.2 or 0.1 M POPSO, 3 mM MgCl 2, pH 8.2. Final sugar concentrations were either 0.5 MMansy et al. Page 4
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or 0.1 M. Permeability was measured by the shrink-swell assay11 on an applied photophysics
SX.18MV-R stopped-flow spectrometer at 23 °C.
Nucleotide permeability
Nucleotide permeability measurements were in 0.2 M sodium bicine, pH 8.5 at 23 °C and
measured either by monitoring the leakage of entrapped nucleotide by radioactivity or UV
absorption. Separation of vesicle entrapped and released nucleotide was by gel filtration.
Primer Extension Reactions
Reactions contained 0.1 μM 32P-labeled 3 ′-amino-terminated primer, 0.5 μM template DNA,
100 mM 1-(2-hydroxyethyl)-imidazole, and 200 mM sodium bicine, pH 8.5. Reactions were
initiated by the addition of 5 mM 2 ′-amino-2 ′,3′-dideoxyguanosine-5 ′-phosphorimidazolide
and incubated at 4 °C. Samples were analyzed by electrophoresis on a denaturing 17%
polyacrylamide gel. Reaction products were visualized using a Typhoon 9410
PhosphorImager.
METHODS
Materials
Fatty acids, fatty alcohols, and the glycerol monoesters of fatty acids were from Nu-chek Prep,
Inc, Elysian, MN. POPC (1-Palmitoyl-2-Oleoyl- sn-Glycero-3-Phosphocholine) was from
Avanti Polar Lipids, Inc. (Alabaster, AL). Myristoleoyl phosphate31-33 was synthesized as
previously described. 2 ′-amino-2 ′,3′-dideoxyguanosine-5 ′-phosphorimidazolide was
synthesized by first generating 2 ′-azido-2 ′,3′-dideoxyguanosine, as previously described34,
followed by 1) phosphorylation of the 2 ′-azido-2 ′,3′-dideoxy nucleoside with POCl 3 in triethyl
phosphate, 2) activation with CDI to yield the 5 ′-phosphorimidazolide, 3) reduction of the 2 ′-
azido group to the 2 ′-amine by catalytic hydrogenation. Nucleotide phosphorimidazolides were
then purified by reverse phase HPLC on an Alltima C18 column (Alltech) equilibrated with
0.1 M triethylammonium bicarbonate/2% acetonitrile, pH 8.0 and eluted with an acetonitrile
gradient. Oligonucleotides were synthesized on an Expedite 8909 DNA synthesizer (Applied
Biosystems). Template DNA (5 ′-AACCCCCCCCCCCCCCCCCAGTCAGTCTACGC -3 ′)
for primer extension reactions was synthesized using standard phosphoramidite chemistry. 3 ′-
amino-terminated DNA primer (5 ′-GCGTAGACTGACTGG-NH 2 -3′) was synthesized using
reverse phosphoramidites (Glen Research) with the final addition using a 3 ′-amino
phosphoramidite (Transgenomic). Oligonucleotides were purified by anion exchange HPLC
on a DNAPac PA-100 column (Dionex) in 0.01 M NaOH/0.01 M NaCl, pH 12.0 in a gradient
up to 1.5 M NaCl.
Vesicle preparation
Fatty acid vesicles were prepared by oil dispersion in buffered solutions as previously
described1, 3. For vesicles composed of mixtures of unsaturated amphiphiles, the oils were
mixed prior to dispersion in aqueous solution. Vesicles of mixed saturated and unsaturated
composition were made by first generating vesicles composed of the unsaturated amphiphile,
extrusion through 100 nm pore-size polycarbonate filters, followed by the addition of micelles
composed of the saturated fatty acid. All vesicle preparations were extruded 11 times with an
Avanti mini-extruder. For the encapsulation of molecules, amphiphiles were resuspended in
the presence of the encapsulant followed by freeze-thaw cycling to equilibrate internal and
external solutes. Separation of entrapped and unencapsulated material was by gel filtration
with Sepharose-4B resin (Sigma-Aldrich) in which the running buffer contained the same
amphiphile composition as the vesicles at a concentration above their critical aggregateMansy et al. Page 5
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concentration. Vesicle size was measured by dynamic light scattering with a PDDLS/
CoolBatch 90T from Precision Detectors (Bellingham, MA).
Sugar permeability
Vesicles were prepared with 10 mM encapsulated calcein in either 0.1 M POPSO, 3 mM EDTA,
pH 8.2 or 0.1 M POPSO, 3 mM MgCl 2, pH 8.2. Final sugar concentrations were either 0.5 M
or 0.1 M. Prior to measurement,vesicle samples were diluted to 4 mM amphiphile in buffer
containing amphiphiles of equivalent composition as the vesicle above its critical aggregate
concentration (MA containing vesicles, 4 mM; PA containing vesicles, 1 mM; OA containing
vesicles, 0.1 mM; decanoic acid containing vesicles, 20 mM). Permeability was measured by
the shrink-swell assay13 on an applied photophysics SX.18MV-R stopped-flow spectrometer
at 23 °C. The rate of the initial volume decrease due to water efflux yields the water permeability
Pw, and the rate of the slower relaxation back to the initial volume reflects solute entry and
yields the solute permeability P s. Excitation and emission were at 470 nm and 540 −560 nm,
respectively. To avoid inner-filter effects and interferences arising from scattered light, all
samples had absorbance values at 470 nm and 600 nm < 0.1. Size exclusion chromatography
showed that no calcein leaked out of the vesicles during the stopped-flow experiments.
Nucleotide permeability
Nucleotide permeability measurements were in 0.2 M sodium bicine, pH 8.5 at 23 °C and
measured either by monitoring the leakage of entrapped nucleotide by radioactivity or UV
absorption. The leakage of radioactive nucleotide was measured by loading aliquots at different
time points on a gel filtration column and analyzing fractions by scintillation counting.
Permeability measurements of non-radioactive nucleotides were similarly performed except
that quantification relied on 260 nm absorbance following 2-fold dilution of the fractions with
methanol.
Primer Extension Reactions
Reactions contained 0.1 μM 32P-labeled 3 ′-amino-terminated primer, 0.5 μM template DNA,
100 mM 1-(2-hydroxyethyl)-imidazole, and 200 mM sodium bicine, pH 8.5. Reactions were
initiated by the addition of 5 mM 2 ′-amino-2 ′,3′-dideoxyguanosine-5 ′-phosphorimidazolide
and incubated at 4 °C. Solution reactions were stopped by adding 3 volumes formamide and
heating to 95 °C for 10 minutes followed by ethanol precipitation. Vesicle reactions were
stopped by gel filtration followed immediately by the addition of 0.3% Triton X-100 and
ethanol precipitation. Stopped reactions were then resuspended in formamide gel loading
buffer and heated to 95 °C for 2 minutes. Samples were analyzed by electrophoresis on a
denaturing 17% polyacrylamide gel. Reaction products were visualized using a Typhoon 9410
PhosphorImager. 1-(2-hydroxyethyl)imidazole enhances both nonenzymatic polymerization
and nucleotide permeability about 2-fold without affecting membrane integrity (Fig. S2-S3).
We confirmed that the primer was extended with phosphoramidate linked G residues by the
expected sensitivity to acid hydrolysis; in separate experiments with a shorter primer and
template we confirmed the nonenzymatic synthesis of phosphoramidate linked DNA by
MALDI-TOF-MS.
Vesicle stability
The stability of vesicles of different compositions was assessed by quantifying leakage of
entrapped 5 ′-fluorescein-labeled dA 10 (Massachusetts General Hospital DNA core facility)
after 24 h at 23 °C in 0.2 M sodium bicine, pH 8.5. Vesicles were separated from leaked
oligonucleotides by gel filtration chromatography (Sepharose 4B) and quantified by
fluorescence ( λexcitation = 490 nm, λemission = 520 nm) with a SpectraMAX GeminiEM
fluorescence plate reader (Molecular Devices, Sunnyvale, CA). To test the influence of 1-(2-Mansy et al. Page 6
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hydroxyethyl)imidazole on vesicle stability, 2:1 MA:GMM vesicle solutions were
supplemented with 100 mM 1-(2-hydroxyethyl)imidazole and tested as described above.
Supplementary Material
Refer to Web version on PubMed Central for supplementary material.
Acknowledgements
This work was supported by grants from the NASA Exobiology Program (EXB02-0031-0018) and the NSF
(CHE-0434507) to JWS. JWS is an Investigator of the Howard Hughes Medical Institute. SSM was supported by the
NIH (F32 GM07450601). We thank Irene Chen, Raphael Bruckner, Ting Zhu, and Quentin Dufton for helpful
discussions, and Janet Iwasa for Figures 1 and S5.
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Fig. 1.
Conceptual model of a heterotrophic protocell. Growth of the protocell membrane results from
the incorporation of environmentally supplied amphiphiles, while division may be driven by
intrinsic or extrinsic physical forces. Externally supplied activated nucleotides permeate across
the protocell membrane and act as substrates for the non-enzymatic copying of internal
templates. Complete template replication followed by random segregation of the replicated
genetic material leads to the formation of daughter protocells.Mansy et al. Page 9
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Fig. 2.
Ribose permeability of fatty acid based membranes. Influence of (A) head group charge, (B)
head group size, (C) membrane fluidity. (D) Comparison of decanoic acid based membranes
with myristoleic acid based membranes. All binary lipid mixtures were 2:1 molar ratios of fatty
acid:additive; a 4:1:1 ratio of DA:DOH:GMD was used. Ribose permeabilities are relative to
that of MA membranes. MA, myristoleic acid; MA-OH, myristoleoyl alcohol; MP,
myristoleoyl phosphate; GMM, glycerol monoester of myristoleate; PA, palmitoleic acid;
GMPA, glycerol monoester of palmitoleate; OA, oleate; GMO, glycerol monoester of oleate;
Sorb, sorbitan monooleate; LA, lauric acid; DA, decanoic acid; DOH, decanol; GMD, glycerol
monoester of decanoic acid.Mansy et al. Page 10
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Fig. 3.
Time courses of nucleotide permeation through fatty acid based membranes. (A) Nucleotide
permeation across MA:GMM membranes. ■, AMP; □, AMP + 3 mM MgCl 2; •, ADP; ○, ADP
+ 3 mM MgCl 2, , ATP; △, ATP + 3 mM MgCl 2. (B) Permeation of AMP derivatives across
MA:GMM membranes. •, adenosine-5 ′-monophosphate; ○, 2′-deoxyadenosine-5 ′-
monophosphate; □, 2′-amino-2 ′,3′-dideoxyadenosine-5 ′-monophosphate; ◆, 2′-
deoxyadenosine-5 ′-phosphorimidazolide. (C) Permeability of activated nucleotides across
MA:GMM membranes. ■, adenosine-5 ′-phosphorimidazolide; •, 2 ′-amino-2 ′,3′-
dideoxyadenosine-5 ′-phosphorimidazolide; ○, 3′-amino-3 ′-deoxyadenosine-5 ′-
phosphorimidazolide. (D) Nucleotide permeation across DA:DOH:GMD and DA:DOH
membranes. ■, AMP; □, dAMP; X, 2 ′-amino-2 ′,3′-dideoxyadenosine-5 ′-monophosphate; ◆
&
, adenosine-5 ′-phosphorimidazolide; •, 2 ′-deoxyadenosine-5 ′-phosphorimidazolide; ○, 2′-
amino-2 ′,3′-dideoxyadenosine-5 ′-phosphorimidazolide. All are for 4:1:1 DA:DOH:GMD
membranes except for
, which is 2:1 DA:DOH.Mansy et al. Page 11
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Fig. 4.
Template-copying chemistry inside vesicles. Vesicles contained encapsulated primer-template
complexes, and template-copying was initiated by the addition of activated monomer to the
external solution. (A) Nonenzymatic dC 15-template copying in solution (lanes 1 −6) and inside
2:1 MA: GMM vesicles (lanes 8 −13) at 4 °C. (B) Template copying reaction in 4:1:1
DA:DOH:GMD vesicles at 25 °C. (C) Template copying reaction in 2:1 MA:farnesol vesicles
at 4 °C. (D) Template copying reaction in POPC vesicles at 4 °C. ( A-D) Arrow denotes full-
length product. See methods for reaction conditions.Mansy et al. Page 12
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Backtracking by single RNA polymerase molecules observed at
near-base-pair resolution
Joshua W. Shaevitz1,*, Elio A. Abbondanzieri2,*, Robert Landick4, and Steven M. Block2,3
1 Department of Physics,
2 Department of Applied Physics, and
3 Department of Biological Sciences, Stanford University, Stanford, California 94305, USA
4 Department of Bacteriology, University of Wisconsin, Madison, Wisconsin 53706, USA
Abstract
Escherichia coli RNA polymerase (RNAP) synthesizes RNA with remarkable fidelity in vivo1. Its
low error rate may be achieved by means of a ‘proofreading’ mechanism comprised of two sequential
events. The first event (backtracking) involves a transcriptionally upstream motion of RNAP through
several base pairs, which carries the 3 ′ end of the nascent RNA transcript away from the enzyme
active site. The second event (endonucleolytic cleavage) occurs after a variable delay and results in
the scission and release of the most recently incorporated ribonucleotides, freeing up the active site.
Here, by combining ultrastable optical trapping apparatus with a novel two-bead assay to monitor
transcriptional elongation with near-base-pair precision, we observed backtracking and recovery by
single molecules of RNAP. Backtracking events (~5 bp) occurred infrequently at locations
throughout the DNA template and were associated with pauses lasting 20 s to >30 min. Inosine
triphosphate increased the frequency of backtracking pauses, whereas the accessory proteins GreA
and GreB, which stimulate the cleavage of nascent RNA, decreased the duration of such pauses.
Recent studies have implicated the nucleolytic activity of RNA polymerase as part of a
proofreading mechanism2–4, similar to that found in DNA polymerases5. A key feature of this
proofreading mechanism is a short backtracking motion of the enzyme along the DNA template
(directed upstream, opposite to the normal direction of transcriptional elongation). Similar
rearward movements are thought to accompany the processes of transcriptional pausing6–8,
arrest9,10, and transcription-coupled DNA repair11. During backtracking, the transcription
bubble shifts and the DNA–RNA hybrid duplex remains in register, while the 3 ′ end of the
RNA transcript moves away from the active site, and may even protrude into the secondary
channel (nucleotide entrance pore) of the enzyme6,7,9, blocking the arrival of ribonucleoside
triphosphates (NTPs). In its backtracked state, RNAP is able to cleave off and discard the most
recently added base(s) by endonucleolysis, generating a fresh 3 ′ end at the active site for
subsequent polymerization onto the nascent RNA chain. In this fashion, short RNA segments
carrying misincorporated bases can be replaced, leading to the correction of transcriptional
errors (Fig. 1a). Accessory proteins have been identified that increase transcriptional fidelity
by preferentially stimulating the cleavage of misincorporated nucleotides: GreA and GreB for
E. coli RNA polymerase4 and SII/TFIIS for eukaryotic RNA polymerase II2,3.
Correspondence and requests for materials should be addressed to S.M.B. (sblock@stanford.edu)..*These authors contributed equally to this work
Supplementary Information accompanies the paper on www.nature.com/nature .
Competing interests statement The authors declare that they have no competing financial interests.
NIH Public Access
Author Manuscript
Nature . Author manuscript; available in PMC 2006 June 28.
Published in final edited form as:
Nature. 2003 December 11; 426(6967): 684±687.
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We studied transcription by RNAP at physiological nucleotide concentrations using a new
single-molecule assay together with improved optical trapping instrumentation. In
combination, these achieve subnanometre resolution along with extremely low positional drift.
Our current system is capable of near-base-pair resolution in individual records of RNAP
displacements, and achieves base-pair resolution (<0.3 nm) in averages of multiple records.
During an experiment, two beads are optically trapped in buffer above a microscope coverglass
by independently steered laser traps. A recombinant derivative of E. coli RNAP is bound
specifically via a biotin–avidin linkage to the smaller of two polystyrene beads, while the
transcriptionally downstream end of the DNA template (or the upstream end, in the case of
assisting forces) is bound to the larger bead via a digoxygenin-antibody linkage, forming a
bead–RNAP–DNA–bead ‘dumbbell’ (Fig. 1b).
The tension in the DNA was kept nearly constant (8.4 ± 0.8 pN), for loads both opposing and
assisting transcription, by feedback control of the position of the optical trap holding the larger
bead. A force of this magnitude has a negligible effect on transcription rates, and is well below
the stall force for RNAP12. An opposing load was applied in all experiments, except where
noted. Transcriptional elongation was observed by measuring the position of the smaller bead
as the polymerase moved (Fig. 2a). We chose to make the trap holding the larger bead an order
of magnitude stiffer than that holding the smaller bead so that all motion appeared in the latter
(see Methods). None of the components of the assay were attached to the coverglass surface:
this isolates the system from drift of the microscope stage relative to the objective and other
optics, which represented a major source of low-frequency noise in previous single-molecule
studies12–17. Measured drift rates during our experiments were typically below 5 nm h−1 (data
not shown). We recorded the transcriptional motion of over 150 individual RNAP molecules
at 1 mM NTPs moving on a DNA template derived from the E. coli rpoB gene sequence. As
previously noted12,13,15,17, RNAP activity consists of periods of continuous motion
interrupted by distinct pauses of variable duration (Fig. 2a). The velocity during the continuous-
motion phase averaged ~15 bp s−1, but varied among molecules, consistent with earlier
reports12,13,15.
Computer analysis of RNAP records identified transcriptional pauses ranging from 1 s (our
detection threshold) to more than 30 min. Only intervals where transcriptional elongation
ceased and subsequently recovered were scored as pauses. Pausing events could be broken up
into two broad categories: 95% of events were ‘short,’ with lifetimes drawn from a double-
exponential distribution with time constants of 1.5 s and 6.5 s, similar to our previous
findings12. The remaining 5% of events were ‘long,’ with lifetimes >20 s and a broad, non-
exponential temporal distribution. Long pauses occurred at positions randomly distributed
along the DNA template, rather than at stereotyped locations, and appeared to be sequence-
independent within the resolution of these experiments. On average, long pauses occurred with
a frequency of 0.95 ± 0.21 kb−1, a value that corresponds closely to ribonucleotide
misincorporation rates during RNA synthesis in vitro1, suggesting a possible role for such
pauses in proofreading.
Operationally, we defined the duration of a ‘pause’ as the interval between the cessation of
forward transcriptional motion and its subsequent recovery. At high spatial resolution,
however, long pauses were found to consist of three distinct phases of motion that could be
discerned in some individual records (Fig. 2b), as well as in averages of multiple records (see
below). After abruptly stopping forward transcription, the enzyme underwent a slow rearward
movement (phase 1, backtracking), typically lasting from 1–5 s, before stopping altogether for
a variable interval (phase 2, pause). At the end of phase 2, rather than immediately resuming
transcription at normal rates, RNAP moved forward gradually, typically for 3–10 s,
transitioning to elongation mode only after a significant fraction of the initial backtracking
distance had been retraced (phase 3, recovery). In contrast, neither the backtracking nor theShaevitz et al. Page 2
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recovery phases were evident in records of short pauses, where transitions both to and from
normal elongation were abrupt (Fig. 2c).
To analyse the mean behaviour during phases 1 and 3, we averaged records of long pauses
obtained under opposing loads after placing these in register along their rising edges,
immediately before the cessation or the resumption of elongation, respectively (Fig. 3a). This
procedure allows one to probe details of the motion that would otherwise be obscured by noise
in individual records: similar trace-averaging techniques have been successfully employed to
detect nanoscale steps in motor proteins such as myosin18 and NCD19, as well as to look for
fast transients within the 8-nm step of kinesin20. The average backtracking displacement
during phase 1 of long pauses was 4.7 ± 0.8 bp, and could be fitted by a decaying exponential
with a time constant of 1.2 ± 0.1 s. Both the duration and frequency of backtracking pauses are
expected to display a strong force dependence due to the underlying motions involved. We
found that the frequency of long pauses decreased dramatically from 0.95 ± 0.21 kb−1 under
an ~8 pN opposing load to below 0.03 kb−1 under an ~8 pN assisting load (Table 1). This
finding is consistent with a previous report of force dependence in the duration of very long
pauses (~90 s) using a low-resolution optical trapping assay13.
Averages of records during phase 3 displayed a gradual forward motion, at an average velocity
of 0.29 ± 0.01 bp s−1, before the resumption of normal elongation at 13.2 ± 0.1 bp s−1 (Fig.
3a). The average forward displacement during recovery was 2.5 ± 1.0 bp, that is, about half of
the initial backtracking distance. This reduced distance may reflect a mixed population of
records, some of which exited from the pause more abruptly than others. However, the
difference might also reflect the trace-alignment procedure. The exit from phase 2 is far less
distinct than the entry into phase 1, and is therefore harder to pinpoint: minor registration errors
tend to alter the magnitude of motions in averaged traces.
For comparison, we aligned and averaged an identical number of short pause records (Fig. 3d).
In contrast to the long pause average, the short pause average displayed sharp transitions both
into and out of the pause (that is, no phase 1 or phase 3 motions), with no associated movement
greater than a base pair. The average of a much larger population of short pauses (>250) showed
the same behaviour (data not shown). The absence of backtracking in short pauses directly
confirms and extends the conclusions of a recent study that examined the frequency and
duration of short pauses, and found that these were independent of external load. This lack of
force dependence implies an absence of backtracking motion, even as small as a single base
pair12.
We performed parallel experiments in the presence of the ribonucleotide analogue inosine
triphosphate (ITP). Inosine mimics guanosine, forming a weak Watson–Crick pair that is
slightly more stable than some measured mispairings21,22. ITP incorporation inhibits next-
nucleotide addition in human polymerase II by an amount similar to that of a mismatched
base3. In elongating complexes, inosine incorporation decreases the stability of the RNA–DNA
hybrid, changing the relative stability of the backtracked and non-backtracked states, and also
decreases the stability of secondary structures in the nascent RNA formed behind the complex.
The addition of 200 μM ITP to the standard transcription buffer (containing 1 mM levels of
GTP, CTP, ATP and UTP) increased both the frequency and duration of long pauses (Fig. 3e,
f; Table 1; Supplementary Information). Both phase 1 and phase 3 of long pauses were
quantitatively similar to those observed in the absence of ITP (Fig. 3b). However, ITP did not
affect either the frequency or the duration of short pauses, nor the average transcriptional
velocity between pauses.
To assay the effects of transcript cleavage on long pauses, we added the E. coli transcription
factors GreA and GreB. Addition of either 2 μM GreA or 1 μM GreB decreased the frequencyShaevitz et al. Page 3
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of long pauses. Moreover, GreB significantly decreased the duration of long pauses, whereas
the effect of GreA on duration was negligible (Fig. 3e, f; Table 1). The average distance
backtracked in the presence of GreA increased to 6.6 ± 0.7 bp, whereas GreB appeared to
abolish backtracking pauses altogether, yielding a mean backtracking distance close to zero
for the few remaining long pauses, 0.5 ± 0.8 bp (Supplementary Information). These findings
are consistent with the known properties of the two factors. GreA stimulates the cleavage of
short, dinucleotide segments of backtracked RNA, and so its addition should relieve only those
pauses associated with short backtracking motions, leaving pauses involving larger
displacements. Conversely, GreB accelerates the removal of larger fragments to such a degree
that the duration of backtracking pauses falls below the discrimination threshold of 20 s23.
In the presence of both GreA and GreB, the duration (phase 2) of ITP-induced long pauses
decreased dramatically, from 285 ± 83 s to 60 ± 13 s, while the average backtracking distance
(phase 1) remained the same, 5.0 ± 1.0 bp (Table 1; Fig. 3f). Significantly, in the presence of
both these transcription factors, the pause recovery (phase 3) became abrupt, and not gradual.
We interpret this difference as being caused by Gre-stimulated cleavage of the RNA blocking
the secondary channel after backtracking. Such cleavage would lead to the prompt removal of
oligonucleotides containing a potential mismatch, thereby reducing the lifetime of the
backtracked, paused state (phase 2), and restoring the new 3 ′ end of the nascent RNA to a
position adjacent to the enzyme active site, ready for immediate polymerization.
In the absence of Gre-stimulated cleavage, RNAP must recover during phase 3 in a less direct
fashion. In one mechanism, RNAP relies on its slow endogenous endonucleolytic activity to
cleave the RNA at the enzyme active site, leading to long pause lifetimes but still allowing the
possibility of error correction. In an alternative mechanism, thermal motions within the stalled
complex may reverse the backtracking motion in a random walk process, carrying the original
3′ end of the RNA back to the enzyme active site, once again leading to longer lifetimes, but
without concomitant error correction. The gradual recovery seen during phase 3 in the absence
of Gre factors may reflect these processes. Random fluctuations of polymerase motion during
phase 2 would not be apparent in averaged records, which only show ensemble behaviour.
Taken together, our high-resolution, single-molecule experiments are consistent with a
proofreading mechanism in E. coli RNA polymerase involving entry into an initial backtracked
state of the enzyme on the DNA template, followed by cleavage of the most recently
polymerized RNA (1–10 bp) and enzymatic recovery. Under the conditions explored here
(including an opposing load of ~8 pN), RNAP appeared to enter into long, backtracking pauses
spontaneously at a rate of roughly once per kilobase: this rate was sensitive to transcription
errors, and enhanced at least twofold by the addition of a nucleotide analogue. Incorporation
of inosine leading to the backtracked state was relieved quantitatively by the action of
transcription factors GreA and GreB, which are known to stimulate transcript cleavage. This
simple editing mechanism may function, in principle, in many polymerase systems, including
both prokaryotes and eukaryotes.
Methods
Transcription assays
A bead–RNAP–DNA–bead dumbbell was constructed by binding a small 0.5- μm diameter
polystyrene bead to a biotin tag located on the β ′ subunit of a stalled E. coli RNAP transcription
elongation complex, and a larger 0.7- μm-diameter bead to the downstream end of the DNA
template using a digoxygenin antibody (Fig. 1b). Stalled complexes and avidin-coated 0.5-
μm-diameter polystyrene beads were prepared as described previously12. Polyclonal anti-
digoxigenin antibody was covalently attached to carboxylated 0.7- μm diameter polystyrene
beads (Bangs Labs) via an EDC/Sulfo–NHS-coupled reaction. RNAP was stalled 29 base pairsShaevitz et al. Page 4
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after the T7A1 promoter on a template derived from the rpoB gene of E. coli16. Each of the
two beads of the dumbbell was held in a separate optical trap ~1 μm above the coverglass
surface. Transcription along the DNA template was recorded by monitoring the position of the
smaller bead (see below). All experiments were performed in transcription buffer (50 mM
HEPES, pH 8.0, 130 mM KCl, 4 mM MgCl 2, 0.1 mM EDTA, 0.1 mM DTT, 20 mg ml−1
heparin) in the presence of 1 mM NTPs and an oxygen scavenging system24 at 22 ± 5 °C. ITP
was purchased from Sigma-Aldrich Company. GreA and GreB proteins were purified as
described25.
Optical trapping
The salient aspects of the instrument used in these experiments have been described
previously26. Briefly, the apparatus is based on an inverted microscope (Nikon) modified for
exceptional mechanical stability and the incorporation of two lasers for trapping and position
detection. To form two optical traps, the trapping laser was split into two orthogonally polarized
beams that can be steered independently. Software written in LabView 6i (National
Instruments) controlled the position of the trapped 0.7- μm-diameter bead via acousto-optical
deflectors (IntraAction). The 0.5- μm-diameter bead was illuminated by the detection laser:
scattered light was projected onto a position-sensitive detector (Pacific Silicon Sensors) placed
in a plane conjugate to the back focal plane of the microscope condenser. Bead position signals
were smoothed at 1 kHz by an eight-pole low-pass Bessel filter (Krohn-Hite) and digitized at
2 kHz.
During an experiment under opposing loads, transcriptional elongation by RNAP shortens the
DNA tether and leads to an increase in tension between the two beads. The laser power in each
trap was high to reduce brownian noise in position, which is inversely proportional to the trap
stiffness27. The relative power in the two traps was fixed so that their ratio of stiffnesses was
at least 1:10, which ensured that the majority of RNAP motion appeared as a change in the
position of the smaller bead, held in the weaker trap. The resting tension in the DNA was
maintained at 8.4 ± 0.8 pN (mean ± s.d.) by moving the 0.7- μm-diameter bead in discrete 50-
nm increments whenever the tension on the DNA exceeded 10 pN.
In our measurements, zero-mean, brownian fluctuations of the smaller bead represent the
dominant source of noise. Position records of pauses along short pieces of DNA, that is, from
enzymes that have already transcribed a substantial portion of the template, exhibit reduced
noise because the amplitude of the brownian fluctuations is inversely proportional to the
compliance of the linkage holding the bead. Additional sources of noise include tiny departures
from sphericity in the beads (slightly non-spherical beads generate low-frequency noise
through brownian rotation) and submicroscopic particle contaminants in the buffer that may
fall into the optical trap (modulating the level of scattered light and thereby altering the apparent
position). The combined effect of such sources causes the root mean square (r.m.s.) noise level
to vary slightly from trace to trace: typically, noise levels were ± 5 bp at a 1-kHz bandwidth.
Data analysis
The contour length of the downstream DNA was computed from the measured position of the
0.5-μm-diameter bead and the series elastic compliances of the optical traps and the DNA
(using the nonlinear modified Marko–Siggia force–extension relation28). Template position
was determined by subtracting the initial tether length (4,226 bp for experiments using forces
opposed to transcriptional elongation, and 1,406 bp for experiments using forces assisting
transcriptional elongation) from the computed DNA contour length. We estimate our absolute
error in determining the template position at ±90 bp, due mainly to minor variations among
individual bead diameters.Shaevitz et al. Page 5
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Transcriptional pauses in individual recordings were scored by eye and also by a custom
computer algorithm (similar to ref. 12, but combining the numerical derivative and filtering
operations into a single step). This algorithm recovers >99% of all pauses with lifetimes more
than 1.5 s. Pauses occurred with a wide range of lifetimes, from seconds to many minutes.
Broadly, events could be placed into two categories: 95% of all events belonged to a population
that was satisfactorily fitted by a double-exponential relation with time constants of 1.5 s (65%
of the normalized amplitude) and 6.5 s (35% of the normalized amplitude). The remaining 5%
of all events could not be so represented, and belonged to a much longer-lived population with
a broader, non-exponential distribution. To better separate these populations for statistical
analysis, we operationally defined ‘short’ pauses as having durations shorter than 5 s and ‘long’
pauses as having durations longer than 20 s, thereby excluding from analysis all pauses with
lifetimes 5 < t < 20. Individual pause records were aligned along their initial and final rising
edges18–20 and averaged to reduce measurement noise. Analysis was performed using Igor
Pro 4.0 (Wavemetrics). All errors are reported as (mean ± s.e.m), except for backtracking
distances and durations, which were estimated using a bootstrap resampling analysis, and
represent 68% confidence intervals.
Supplementary Material
Refer to Web version on PubMed Central for supplementary material.
Acknowledgements
We acknowledge intellectual contributions from J. Gelles, and we thank the entire Block Laboratory, especially K.
Neuman, for support and discussions. We also thank A. Meyer for reading of the original manuscript. This work was
supported by grants from the NIGMS.
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Figure 1.
RNA polymerase transcription and proofreading studied by optical trapping. a, During normal
elongation, RNAP (green) moves forward (downstream) on the DNA (blue) as it elongates the
nascent RNA (red). At each position along the template, RNAP may slide backward along the
template, causing transcription to cease temporarily. From the backtracked state, polymerase
can either slide forward again, returning to its earlier state (left) or cleave the nascent RNA
(right) and resume transcriptional elongation. b, Cartoon of the experimental geometry
employed for opposing force experiments (not to scale). Two beads (blue) are held in separate
optical traps (red) in a force-clamp arrangement. The smaller bead (right) is bound to a single
molecule of RNAP, while the larger bead (left) is bound to the downstream end of the DNA
by non-covalent linkages (yellow). During transcriptional elongation, the beads are pulled
together. Nearly all the motion appears as a displacement of the right bead (green arrow), which
is held in a comparatively weaker trap.Shaevitz et al. Page 8
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Figure 2.
Backtracking occurs upon entry into long, but not short, pauses. a, Transcription records of
two individual RNAP molecules are shown, each moving over the same template sequence.
Both traces contain multiple short pauses (most are too short to be seen on this timescale); one
includes a very long pause (410 s, red trace). b, In some records of long pauses, backtracking
could be seen by eye: a representative record is shown. The three phases of motion are indicated
below the trace: phase 1 (backtracking, solid line), phase 2 (pause, dotted line), and phase 3
(recovery, solid line). c, A representative record of a short pause (3 s); such pauses do not
exhibit backtracking. Data were recorded at 2 kHz and boxcar-filtered at 100 ms for display.Shaevitz et al. Page 9
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Figure 3.
Averages of aligned long-pause records reveal details of backtracking and transcript cleavage
events. a, Long-pause average of records at 1 mM NTPs ( N = 56) displays a backtracking
motion of ~5 bp (phase 1). Recovery (phase 3) is gradual, lasting ~5 s, before the resumption
of normal elongation speed. b, Addition of ITP increases the frequency of long pauses that are
indistinguishable from those in a (N = 26). c, Addition of GreA and GreB reduced the duration
of long pauses. Recovery from these pauses (phase 3) was abrupt ( N = 22), distinct from a and
b. d, The short pause average ( N = 56) displays no backtracking motion. Average records were
smoothed with a 100-ms boxcar filter for display. ITP and the accessory proteins GreA and
GreB affect both the frequency ( e) and duration ( f) of long pauses. See text.Shaevitz et al. Page 10
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NIH-PA Author Manuscript NIH-PA Author Manuscript NIH-PA Author ManuscriptShaevitz et al. Page 11Table 1
Long pause statistics under different experimental conditions
Condition* Mean pause frequency (kb−1) Mean pause duration (s) Mean backtrack distance
(bp)
1 mM ATP, UTP, GTP, CTP 0.95 ± 0.21 ( N = 56) 77 ± 11 4.7 ± 0.8
1 mM NTPs, assisting force <0.03 ( N = 1) – –
+200μM ITP 1.46 ± 0.29 ( N = 26) 285 ± 83 5.5 ± 1.1
+2μM GreA 0.14 ± 0.08 ( N = 3) 56 ± 12 6.6 ± 0.7
+1μM GreB 0.24 ± 0.09 ( N = 8) 36 ± 7 0.5 ± 0.8
+2μM GreA, 1 μM GreB 0.20 ± 0.09 ( N = 5) 54 ± 23 5.8 ± 0.8
+200μM ITP, 2 μM GreA, 1 μM GreB 1.85 ± 0.39 ( N = 22) 60 ± 13 5.0 ± 1.0
+200μM ITP, assisting force 0.15 ± 0.10 ( N = 2) – –
*The applied force opposes transcription, unless otherwise noted.
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A blend of small molecules regulates both mating and
development in Caenorhabditis elegans
Jagan Srinivasan1,*, Fatma Kaplan2,3,4,*, Ramadan Ajredini2,3,4, Cherian Zachariah2,3,4,
Hans T. Alborn5, Peter E. A. Teal5, Rabia U. Malik6, Arthur S. Edison2,3,4, Paul W.
Sternberg1, and Frank C. Schroeder6
1Howard Hughes Medical Institute and Biology Division, California Institute of Technology, 1200 E.
California Boulevard, Pasadena, California 91125, USA
2Department of Biochemistry and Molecular Biology, University of Florida, PO Box 100245,
Gainesville, Florida 32610-0245, USA
3McKnight Brain Institute, University of Florida, PO Box 100245, Gainesville, Florida 32610-0245,
USA
4National High Magnetic Field Laboratory, University of Florida, PO Box 100245, Gainesville, Florida
32610-0245, USA
5Center for Medical, Agricultural and Veterinary Entomology, USDA-ARS, 1600-1700 SW 23rd
Drive, PO Box 14565, Gainesville, Florida 32604, USA
6Boyce Thompson Institute, Cornell University, Ithaca, New York 14853, USA
Abstract
In many organisms, population-density sensing and sexual attraction rely on small-molecule-based
signalling systems1,2. In the nematode Caenorhabditis elegans, population density is monitored
through specific glycosides of the dideoxysugar ascarylose (the `ascarosides') that promote entry into
an alternative larval stage, the non-feeding and highly persistent dauer stage3,4. In addition, adult C.
elegans males are attracted to hermaphrodites by a previously unidentified small-molecule signal5,
6. Here we show, by means of combinatorial activity-guided fractionation of the C. elegans
metabolome, that the mating signal consists of a synergistic blend of three dauer-inducing
ascarosides, which we call ascr#2, ascr#3 and ascr#4. This blend of ascarosides acts as a potent male
attractant at very low concentrations, whereas at the higher concentrations required for dauer
formation the compounds no longer attract males and instead deter hermaphrodites. The ascarosides
ascr#2 and ascr#3 carry different, but overlapping, information, as ascr#3 is more potent as a male
attractant than ascr#2, whereas ascr#2 is slightly more potent than ascr#3 in promoting dauer
formation7. We demonstrate that ascr#2, ascr#3 and ascr#4 are strongly synergistic, and that two
types of neuron, the amphid single-ciliated sensory neuron type K (ASK) and the male-specific
©2008 Macmillan Publishers Limited. All rights reserved
Author Information Reprints and permissions information is available at www.nature.com/reprints. Correspondence and requests for
materials should be addressed to P.W.S. (pws@caltech.edu), F.C.S. (fs31@cornell.edu) or A.S.E. (art@mbi.ufl.edu)..
These authors contributed equally to this work.
Author Contributions J.S. and P.W.S. designed the biological experiments and J.S. performed all the biological experiments; F.K.
developed the procedure for collecting secreted worm metabolites and designed the chemical experiments and fractionation; F.K. and
R.A. produced worm-conditioned water and performed chromatography; F.K., F.C.S., R.U.M., C.Z. and A.S.E. performed structure
elucidation by NMR; H.T.A. performed structure elucidation by LC-MS; F.C.S. synthesized ascr#2, ascr#3 and ascr#4; and J.S., F.K.,
F.C.S., A.S.E., P.E.A.T. and P.W.S. analysed the data and wrote the paper.
Full Methods and any associated references are available in the online version of the paper at www.nature.com/nature.
Supplementary Information is linked to the online version of the paper at www.nature.com/nature.
NIH Public Access
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Published in final edited form as:
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cephalic companion neuron (CEM), are required for male attraction by ascr#3. On the basis of these
results, male attraction and dauer formation in C. elegans appear as alternative behavioural responses
to a common set of signalling molecules. The ascaroside signalling system thus connects reproductive
and developmental pathways and represents a unique example of structure- and concentration-
dependent differential activity of signalling molecules.
C. elegans hermaphrodites produce a chemical signal that strongly attracts males5,6. To identify
this signal, we developed a new protocol for obtaining samples of secreted metabolites from
different life stages of C. elegans (Supplementary Information). Biological activity of these
samples was confirmed using a bioassay in which time spent by males or hermaphrodites within
the vicinity of a chemical sample was measured (Fig. 1a, Supplementary Movie 1,
Supplementary Methods). To determine the timing of mating pheromone release, samples from
all life stages (egg, L1, dauer, L2, L3, L4, young adult and adult) were tested for biological
activity on both males and hermaphrodites (Fig. 1b). C. elegans males were strongly attracted
to L4, young adult and adult samples, whereas hermaphrodites were not attracted. Consistent
with the observation that C. elegans reaches sexual maturity at the end of the L4 stage8 (Fig.
1b), these results indicated that L4, young adult and adult hermaphrodites secrete a chemical
signal that specifically attracts males.
To characterize the mating signal, we subjected samples derived from young adults to a
multistep fractionation scheme, starting with C 18-reverse-phase solid-phase extraction
chromatography. Strong male attraction was observed for one of the resulting fractions (Fig.
1c), which was further fractionated using coupled ion-exchange columns. Of the resulting
seven fractions A to G, none was active at physiologically relevant concentrations when tested
individually (data not shown), which suggested that male attraction depends on the synergy of
two or more signalling molecules. To determine which fractions were required for activity, we
assayed a series of combinations of fractions A-G; these assays showed that combination of
fractions F or G with fraction A produced significant activity (Fig. 1d).
Because fraction A appeared to be required for full activity, we characterized it using nuclear
magnetic resonance (NMR) spectroscopy9 and liquid chromatography-mass spectrometry
(LC-MS) (Supplementary Figs 2 and 8 and Supplementary Table 1). Two-dimensional NMR
spectroscopic analyses suggested that the major component of fraction A is a novel derivative
of 5- O-ascarylosyl-5 R-hydroxy-2-hexanone, or ascr#2 (according to proposed nomenclature
for nematode compounds) (Fig. 2a, Supplementary Figs 3 and 4), which was recently shown
to induce dauer formation in C. elegans7. Additional NMR spectroscopic analyses showed that
the major component of fraction A features a β-glucosyl substituent attached to C2 of the
ascarylose in ascr#2 (Supplementary Figs 5-7). These assignments were corroborated by LC-
MS analyses that showed an m/z value of 426 to represent the ammonium adduct (M +
NH44) of a compound with a nominal mass of 408 AMU and molecular formula C 18H32O10.
Comparison of these spectroscopic data with those of synthetic sample of 5- O-(2′-O-[β-D-
glucosyl]-ascarylosyl)-5 R-hydroxy-2-hexanone provided final proof for the identify of the
major component of fraction A, which we named ascr#4 (Fig. 2a).
The identification of ascr#4 in fraction A suggested that ascaro-sides might have a role as
mating signals. Therefore, we analysed the fractions required for activity, A, F and G, for the
presence of additional ascarosides. LC-MS analyses revealed the presence of ascr#3 in
fractions F and G, as well as of small amounts of ascr#2 in fraction A (Supplementary Fig. 8).
Next we tested synthetic samples of the three identified ascarosides, ascr#2, ascr#3 and ascr#4,
for activity, using the assay described in Fig. 1a (Fig. 2a). Consistent with the assay results for
fractions A, F and G, none of the three compounds was active at physiological concentrations
when tested individually (data not shown). However, at higher concentrations, ascr#2 and
ascr#3 were both active (Fig. 2b). The corresponding dose-response curves show a stronglySrinivasan et al. Page 2
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biphasic activity profile (Fig. 2b), which is characteristic of many types of pheromone10. In
contrast to ascr#2 and ascr#3, ascr#4 alone was not active in the male attraction assay, even at
concentrations much greater than physiological levels. Because the assay results for the ion-
exchange fractions (Fig. 1d) suggested that the mating signal consists of multiple compounds
that act synergistically, we combined ascr#2 and ascr#3 in amounts that did not elicit significant
male attraction when assayed individually (10 fmol ascr#3 and 100 fmol ascr#2; arrows in Fig.
2b). This mix produced strong male attraction, demonstrating synergism of ascr#2 and ascr#3
(Fig. 2c).
At the concentrations of ascr#2 and ascr#3 found in fractions A and F, a mixture of these two
compounds also produced significant activity, but was less potent than the combination of
fractions A and F (Fig. 2d), suggesting synergy with a third component, perhaps ascr#4.
Additional tests using ternary mixtures of synthetic ascr#2, ascr#3 and ascr#4 confirmed this
hypothesis. A physiological mixture of 20 fmol ascr#2, 20 fmol ascr#3 and 1 pmol ascr#4
reproduced the activity in fractions A and F and elicited significantly stronger male attraction
than a mixture of 20 fmol ascr#2 and 20 fmol ascr#3 alone (Fig. 2d). The same mixture of
ascr#2, ascr#3 and ascr#4 was then tested on different species of the Caenorhabditis genus.
Caenorhabditis brenneri and Caenorhabditis remanei males responded to the mixture in a way
very similar to C. elegans , whereas Caenorhabditis briggsae and Caenorhabditis japonica
males responded only weakly (Supplementary Fig. 9)11.
We then tested whether attraction by the identified pheromone components is sex specific.
Ascr#3, tested at the concentration that elicits maximal male attraction, was significantly less
attractive to hermaphrodites (Supplementary Fig. 10a). Similarly, ascr#2 showed little or no
activity for hermaphrodites (Supplementary Fig. 10a). At higher concentrations of ascr#2 and
ascr#3, hermaphrodites were strongly deterred whereas males showed neither attraction nor
deterrence (Supplementary Fig. 10a). These results demonstrate that the identified ascarosides
are sex-specific attractants.
These results indicate that ascarosides regulate both dauer formation and male attraction in C.
elegans . To determine how these signalling molecules elicit such different biological
responses, we compared their activity profiles with regard to both dauer formation and male
attraction. We found that ascr#3 elicited the strongest response for male attraction. Males spent
approximately ~6.6 times longer in the ascr#3-spotted region than in the control region,
whereas ascr#2 elicited a maximum ~2.8-fold increase (Fig. 2b and Supplementary Fig. 10a).
However, ascr#4 and the first-published dauer-inducing ascaroside, ascr#1 (ref. 12), the second
of which we did not detect in any of our active fractions, were not active in the attraction assay
at the range of concentrations tested (data not shown). In the dauer formation assay, ascr#4
was weakly active and ascr#2 and ascr#3 showed strong dauer-inducing activity at the
concentrations previously reported (Supplementary Fig. 11a-c). Ascr#3 is much more potent
as a male attractant than ascr#2, whereas in the dauer assay ascr#2 is slightly more potent than
ascr#3. Together with the observed synergy, these activity profiles suggest that ascr#2 and
ascr#3, and possibly ascr#4, act by means of different molecular mechanisms13,14.
To further investigate the connection between dauer and mating signals, we analysed media
extracts of daf-22 mutants, which are known not to contain the dauer pheromone15. We found
that neither daf-22 media extracts nor daf-22 worm pellet contained ascr#2, ascr#3 or ascr#4,
and that daf-22 media extracts did not attract males at the range of dilutions tested
(Supplementary Fig. 12). Additional analyses of extracts from Escherichia coli cultures
(HB101 and OP50) by LC-MS and NMR spectroscopy confirmed that E. coli do not produce
ascr#2, ascr#3 or ascr#4 (Supplementary Figs 13-15); however, it is conceivable that bacterial
food sources contribute a precursor to the biosynthesis of these compounds.Srinivasan et al. Page 3
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Given the nature of the attraction assay used in this study (Fig. 1a), the exact concentration of
the compounds tested in the scoring region was not well defined. However, it seems likely that
the test sample volume (1 μl), when added to the scoring region, was diluted by diffusion,
suggesting that the actual concentrations of the assayed compounds on the plate were much
lower than the original concentrations in the test sample volumes. Male C. elegans change
direction of motion more frequently in the presence of an attractant, which correlates with an
increase in time spent in the sample scoring region5, suggesting that reversal frequency could
be used as a measure of pheromone perception. Thus, we monitored reversal frequency of
males on agar plates with a range of concentrations of the most active pheromone components,
ascr#2 and ascr#3, using the automated worm tracking system16. As shown in Fig. 3a, reversal
frequency is increased by concentrations of ascr#3 as low as 1 pM. For ascr#2, only weak
increases of reversal frequency were observed (Supplementary Fig. 10c, d). These results
suggest that ascr#3 acts as a male attractant at concentrations more than 10,000 times lower
than those required for dauer induction.
General sensory mutants such as osm-6, which is expressed in all ciliated neurons in
hermaphrodites and males17, are defective in response to ascr#3 (Fig. 3b). Mutants defective
in osm-3, which is expressed in a subset of these ciliated sensory neurons and in the male-
specific cephalic companion (CEM) neurons18,19, were also defective in response to ascr#3
(Fig. 3b). Two G-protein α-subunits ( gpa-2 and gpa-3) responsible for sensing the dauer
pheromone are expressed in the amphid single-ciliated sensory neuron type I (ASI), the amphid
double-ciliated sensory neuron type L and the amphid single-ciliated sensory neuron type K
(ASK)20. Ablation of the ASK neurons, but not the ASI neurons, partially affected response
to ascr#3 (Fig. 3c). The male-specific CEM neurons have been implicated in sensing the mating
signal along with other neurons6,11. Removal of the CEM neurons also resulted in partial
insensitivity to ascr#3, but removal of the CEM and ASK neurons resulted in complete loss of
sensitivity to ascr#3 (Fig. 3c), indicating that response to ascr#3 is mediated by both sex-
specific and general sensory neurons. This finding provides a cellular mechanism by which
males and hermaphrodites respond differentially to the ascarosides.
Both sexual reproduction and dauer formation, a population-control mechanism that increases
larval lifespan and resilience, are major life-history traits. In many organisms, including C.
elegans , both experimental manipulation and natural genetic variation often have opposite
effects on fecundity and lifespan, suggesting a pervasive, inverse relationship between these
two traits21-23. The discovery that largely overlapping families of small molecules regulate
these traits (Supplementary Fig. 1) provides a direct linkage between the corresponding
molecular pathways. Characterization of the ascaroside receptors and their downstream targets,
as well as the elucidation of ascaroside biosynthesis and the molecular identity of daf-22, could
provide further insights into how developmental and reproductive pathways are connected.
METHODS SUMMARY
Synchronized C. elegans (N2 Bristol) were grown on S-complete medium supplemented with
E. coli (strain HB101) to desired life stage, washed with M9 buffer to remove bacteria and
incubated for 1 h in double-diluted water (ddH 2O) to collect worm-secreted metabolites.
Metabolite samples thus produced were tested for mating activity, chromatographically
fractionated and analysed using NMR spectroscopy and mass spectrometry (see Methods and
Supplementary Information for details).
Mating assays were performed as described previously5 but were population based. All assays
were conducted on plates containing nematode growth medium with a thin film of E. coli
(OP50) spread throughout the plate as a food source. The worms were given a choice of worm
metabolite fraction (or synthetic ascaro-sides) and control water, and the amount of time spentSrinivasan et al. Page 4
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in each region was measured (see Methods and Supplementary Methods for details). To analyse
locomotory behaviour of worms in presence of the ascarosides, standard nematode-growth-
medium plates were prepared with the different concentrations of the ascarosides, and worm
movement was monitored using an automated tracker to calculate parameters of
locomotion16.
Ascr#1, ascr#2 and ascr#3 were synthesized from L-rhamnose and (2 R)-propylene oxide
(ascr#1, ascr#3) or (2 R,5R)-hexanediol (ascr#2) as described previously7, and ascr#4 was
subsequently prepared from acetobromo- α-D-glucose and ascr#2 (see Supplementary Methods
for details). For NMR spectroscopic comparisons of daf-22 and wild-type-derived metabolite
mixtures, two-week-old liquid cultures of daf-22 or wild-type (N2) worms raised on E. coli
(OP50) were extracted and the resulting metabolite samples directly prepared for NMR
spectroscopic analyses by means of double-quantum filtered correlation spectroscopy as
previously described7. For comparison of worm-derived and bacterial metabolites, E. coli
(OP50) cultures were extracted and subsequently analysed by NMR spectroscopy using the
same protocol.
METHODS
Collecting C. elegans -secreted metabolites
Synchronized C. elegans (N2 Bristol) with a worm density of 10,000 worms per millilitre was
grown at 22 °C at 250 r.p.m. in an incubator shaker in S-complete medium supplemented with
E. coli (strain HB101): 1% for L2, 2% for L3, 3% for L4, 3% for young adult, 4% for adult
and 0% for L1, which was not fed. After worms reached the desired life stages, they were
exposed to several wash and filtration (10- μm NITEX nylon filters) steps using M9 buffer to
remove bacteria. The worms were collected between the washes either by gentle centrifugation
at 121 g for 30 s or by allowing the worms to settle for 10 min. To remove the bacteria in the
gut of the worms, they were placed in M9 buffer in an incubator shaker for 30 min at 22 °C at
250 r.p.m., which was followed by three washes with ddH 2O. Subsequently, C. elegans -
secreted metabolites were collected by incubating in ddH 2O in an incubator shaker for 1 h at
22 °C at 250 r.p.m. with a worm density of~30,000 worms per millilitre for L2, L3, young
adult and adult;~15,000 worms per millilitre for L4; and ~100,000 worms per millilitre for L1.
The worms were removed from conditioned water by gentle centrifugation at 121g for 10 s.
The conditioned water was filtered through a 0.2- μm filter, lyophilized and stored at —80 °C.
At least three independent experiments were done for each developmental stage. We developed
a working unit called `worm equivalents' to keep track of relative concentrations of unknown
compounds. One worm equivalent is the volume of worm water that contains the compounds
secreted by one worm in 1 h.
Mating (male-attraction) assay
We modified the single-worm response assay in C. elegans3 to test multiple worms. Standard
nematode-growth-medium plates (5-cm diameter) were used for assaying biological activity
of the worm-conditioned water. The assay plates consisted of a thin lawn of an E. coli OP50
culture, grown overnight, with a ~0.25-cm gap between the bacterial lawn and the edge of the
plate to prevent the animals from escaping. Plates were stored at room temperature (20 °C) for
two days before being used in trials. Two spots (5-mm diameter) were spotted 1.6 cm apart on
a template and stuck to the bottom of the assay plate (Fig. 1a). 0.8 μl of the control and the
worm metabolite were placed in the two circles and allowed to dry for approximately 30 s. To
remove any bias, control and conditioned water spots were interchanged after every trial. Males
and hermaphrodites were harvested daily at the L4 stage and stored at 20 °C overnight with,
per plate, 50-60 worms of the same sex to be used as young adults the following day. Five
worms were placed ~1.0 cm away from each spot (10 worms total) and allowed to acclimatizeSrinivasan et al. Page 5
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for 5 min. Trials were videotaped at 30 frames per second for 15 min using the Unibrain Fire-
i software. For each sample, a minimum of four or five trials were conducted each day and
each stage was tested on at least three different days.
Purification of mate-finding pheromones
Secreted metabolites were collected from 4,000,000 young adult worms using the method
described above. The purification involved a series of fractionation steps guided by the male-
attraction assay. Conditioned young adult water was lyophilized and the residue suspended in
H2O. Reverse-phase solid-phase extraction was performed using Sep-Pak Plus C18 cartridges
(Waters). The column was eluted sequentially with 50% and 90% MeOH. The active 50%-
MeOH fraction was further fractionated by using a SAX anion-exchange column (Alltech)
coupled to a SCX cation-exchange column (Alltech). After the neutral fraction was collected,
the cation and anion columns were detached and eluted separately with 250, 500 and 1,000mM
KCl. The 250-, 500- and 1,000-mM-KCl fractions were desalted using C18 columns (Waters).
The neutral fraction (fraction A) was lyophilized and re-suspended in 6 μl of D 2O containing
0.25 mM of the proton reference standard 3-(trimethylsilyl)propionic acid-D4, for
characterization by means of two-dimensional NMR spectroscopy including double-quantum
filtered correlation spectroscopy, total correlation spectroscopy, heteronuclear single-quantum
coherence, heteronuclear multiple-bond correlation and nuclearÖverhauser enhancement
spectroscopy. All NMR spectra were acquired at 27 °C using a 1-mm triple-resonance high-
temperature superconducting probe and a 600-MHz Bruker Avance II spectrometer11
(Supplementary Figs 1-6). Total sample amount for these analyses corresponded to about
4,000,000 worm equivalents. Fractions A, F and G were analysed further by LC-MS
(Supplementary Fig. 7). In addition, the peak corresponding to ascr#4 in fraction A was
analysed by high-resolution mass spectrometry using an Agilent 6210 mass spectrometer: mass
of sodium adduct of molecular ion [M + Na]+ calculated for C 18H32O10 Na, 431.1888 AMU;
found, 431.1907 AMU.
LC-MS analysis of ion-exchange fractions
A Thermo Finnigan LCQ Deca XP Max was used with electrospray ionization in positive or
negative ion mode in the 50-1,000 AMU range (sheet gas, 25 arbitrary units; sweep gas, 5
arbitrary units; spray voltage, 5.00 kV; capillary temperature, 285 °C; capillary voltage, 3.0
V). Daughter ion spectra were obtained from a dependent scan of the most intense ion in a
predefined mass range. The Thermo Separation spectra HPLC system consisted of a P4000
quaternary pump, an AS 3000 autosampler and a UV6000 diode array detector. The tertiary
solvents are consisted of methanol with 0.05% formic acid (a), water with 10 mM ammonium
formate (b) and 90% acetonitrile-10% water with 10 mM ammonium formate (c). With the
column temperature maintained at 60 °C and a solvent flow of 1.0 ml min-1, the C 18 column
(ODS-AMQ, S-5 μm, 20 nm, 250×4.6 mm i.d., YMC) was eluted with a solvent composition
starting with 4:90:6 (a:b:c) for 2 min followed by a gradient to 4:0:96 in 14 min and then kept
at that composition for 5 min. Ultraviolet absorption was monitored at 190 to 400 nm and the
solvent flow between the ultraviolet detector and the mass spectroscopy electrospray interface
split 9:1 with a low-volume micro needle P450 splitter valve (Upchurch Scientific), making it
possible to obtain spectra of eluted compounds and simultaneously collect 90% of the injected
material for bioassays.
Supplementary Material
Refer to Web version on PubMed Central for supplementary material.Srinivasan et al. Page 6
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Acknowledgments
This work was supported by the Human Frontiers Science Program (A.S.E., P.W.S. and P.E.A.T.), a US National
Institutes of Health grant (P41 GM079571) to F.C.S., and the Howard Hughes Medical Institute, of which J.S. is an
associate and P.W.S. an investigator. NMR data were collected in the UF-AMRIS facility; we thank J. Rocca for
assistance. We thank E. Peden and D. Xue for the ceh-30 strains, C. J. Cronin and A. Choe for advice on behavioural
assays, L. R. Baugh for liquid-culture dauer formation assays, B. Fox for assistance with the synthesis of ascr#2, ascr#3
and ascr#4, and M. de Bono, A. Dossey and M. Stadler for discussions. E. Hallem, J. Bungert and D. Hutchinson
provided comments on the manuscript.
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Figure 1. Activity-guided fractionation of worm metabolites
a, Representation of the bioassay used to measure mating behaviour in worms. Crosses mark
the initial positions of the assayed animals (see Supplementary Methods). b, Male and
hermaphrodite responses to secreted metabolites produced by hermaphrodites at different
developmental stages. L1-L4, the first four larval stages; D, dauer stage; YA, young adult stage;
A, adult stage; C, control. n ≥30 animals for each histogram. c, Assay results for C 18-reversed-
phase chromatography fractions of young adult metabolite extract. d, Assay results for
combinations of ion-exchange fractions of the active fraction from c: A, neutral; B, 250 mM
KCl anion; C, 250 mM KCl cation; D, 500 mM KCl anion; E, 500 mM KCl cation; F, 1,000
mM KCl cation; G, 1,000 mM KCl anion. Error bars, s.e.m.; *P<0.01, ***P<0.0001, unpaired
t-test (see Supplementary Methods).Srinivasan et al. Page 9
Nature . Author manuscript; available in PMC 2009 November 9.
NIH-PA Author Manuscript NIH-PA Author Manuscript NIH-PA Author Manuscript | 4268a1e86a13a368fcbfa14784b7ec17ea3355d7 | page_0008 |
Figure 2. Synergy between ascr#2, ascr#3 and ascr#4
a,Structures of ascr#1, ascr#2, ascr#3 and ascr#4. b, Dose-response curves of ascr#2 and
ascr#3. c, Synergistic effects of ascr#2 and ascr#3 from points respectively indicated by red
and blue arrows in b. d, Demonstration that the three synthetic compounds account for most
of the mating activity. For all entries, ascr#4 was tested at 1 pmol and ascr#2 and ascr#3 were
each tested at 20 fmol. n ≥30 animals for each histogram. Error bars, s.e.m.; *P<0.01,
***P<0.0001, unpaired t-test.Srinivasan et al. Page 10
Nature . Author manuscript; available in PMC 2009 November 9.
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Figure 3. Neurons mediating response to ascr#3
a,Dose-response curve for male reversal rates on plates with increasing concentrations of
ascr#3. n ≥15 animals for each histogram. Error bars, s.e.m.; *P<0.05, **P<0.01, one-factor
analysis of variance with post test. b, Male attraction by ascr#3 in sensory-deficient
mutants17-19. Error bars, s.e.m. c, General sensory neurons and sex-specific neurons mediate
response to ascr#3. Ablation of neurons involved in volatile chemotaxis (amphid winged
sensory neuron type A (AWA) and amphid winged sensory neuron type C (AWC)) together
with the CEM neurons6 did not affect response to ascr#3, in comparison with animals lacking
only CEM neurons. n ≥15 animals for each ablation set. Error bars, s.e.m.;*P<0.05, **P<0.01,
one-factor analysis of variance with post test.Srinivasan et al. Page 11
Nature . Author manuscript; available in PMC 2009 November 9.
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Myth of the molecule: DNA barcodes for species cannot replace
morphology for identification and classification
Kipling W. Willa,* and Daniel Rubinoffb
aUniversity of California, Department Environmental Science, Policy and Management, Division of Insect Biology, Berkeley, CA 94720, USA
bUniversity of Hawaii, Department of Plant and Environmental Protection Sciences, 3050 Maile Way,
310 Gilmore Hall, Honolulu, HI 96822, USA
Accepted 8 December 2003
Abstract
So-called DNA barcodes have recently been proposed to answer the problem of specimen identification and to quantify global
biodiversity.Weshowthatthispropositioniswantingintermsofrationale,methodologyandinterpretationofresults.Inaddition
to falling short of all its stated goals, the method abandons the benefits of morphological studies in favor of a limited molecular
identification system that would ultimately impede our understanding of biodiversity./C211The Willi Hennig Society 2004.
‘‘If the only tool you have is a hammer, you tend to see every
problem as a nail.’ Abraham Maslow
DNAbarcodesforspecies-level identificationmay, at
firstglance,seemtorepresentanappropriateuseofnew
technology to solve an old problem—identifying and
classifyingtheworld’sbiodiversity.Workingtowardthisgoal of understanding biodiversity iscommendable,butwe see serious flaws in the rationale, methodology, andinterpretation of results involved in abandoning mor-phological studies in favor of a narrow and whollymolecular identification system, as suggested by Hebertet al. (2003a). Recently the concept of DNA taxonomy,of which the DNA barcode is one instance, has beenhotlydebated(Tautzet al.,2002,2003;Lipscombet al.,2003;Pennisi,2003;Scotlandet al.,2003a;Seberget al.,
2003)andtheDNAbarcodeconceptingeneralhasbeen
challenged (Scotland et al., 2003a; Sperling, 2003).Despite these significant challenges and existingliterature suggesting that the method of DNA barcodesisunsound,claimsthatthetechniquehasbeenvalidatedare still being published (Hebert et al., 2003b; Stoeckleet al., 2003; Stoeckle, 2003; Whitfield, 2003; including
manyreferencesatthewebsite).Hereinwedemonstrate,
using the examples published by Hebert et al., that themethodology fails not only theoretically, but also on apractical level. Additionally, we develop arguments andsynthesize previously published views (e.g. Scotlandet al., 2003a; Sperling, 2003), specifically applying themto claims made by Hebert et al. (2003a). The intent ofthis paper is to clarify the practical and theoreticalshortcomings that would result from the adoption of aDNA barcoding system to identify biodiversity.
Discussion
Obviously there are many more species-level taxa to
be recognized and specimens to be identified, even byconservative estimates (Novotny et al., 2002), than thepresent or predicted levels of manpower can handlegiven the limitations of current technology. As a result,users of biological classifications are interested instreamlining procedures to arrive at a confidentlyapplied, uniform taxonomic concept for organisms
under study. Hebert et al. (2003a) presented methods
that attempted to shortcut these identifications andrespond to the dearth of taxonomists.
*Corresponding author.
E-mail addresses : kiplingw@nature.berkeley.edu (K.W. Will),
rubinoff@hawaii.edu (D. Rubinoff)
/C211The Willi Hennig Society 2004
Cladistics
www.blackwell-synergy.comCladistics 20 (2004) 47–55 | f73213358eeda0f99d48f668c7c623dc035feaa2 | page_0000 |
While it is unclear what Hebert et al. meant by
‘‘critical’’ identification (p. 313), it seems likely, basedon their presentation of results, that for them ‘‘critical’’is equivalent to an accurate identification. Accuracy, inthis case, that is wholly dependent on the existingtaxonomyofthegroup.Unfortunately,tothedismayof
people seeking an immediate panacea, the molecular
identification of species is fraught with the sameconstraints and inconsistencies that plague morphologi-cal judgments of species boundaries. The exception isthatmostmorphologicallyknowledgeableworkershaveasuiteofcomplexmorphologicalcharactersuponwhichto base their conclusions, rather than relying on part ofa single gene.
In regard to the shortage of expertise to carry out
identifications, Hebert et al. suggested that 15 000 tax-onomists would be needed for perpetuity ‘‘to identify
life’’. This demonstrates a fundamental misunderstand-
ingthatmayberatherwidespreadinbiology.Taxonomyandsystematicsarenotserviceindustriesforotherfieldsof inquiry (Lipscomb et al., 2003), but rather representviablescientificendeavorsintheirownright,withbroadapplication to other fields of science and industry.Researchers in these fields are expected to proposetaxonomic hypotheses and develop identification toolsessential to the rest of biology, not to provide routineidentifications. As an analogy, researchers in electronoptics are not expected to do routine scanning electron
microscopy work. Of course, many specimens are
identified by experts in the process of their taxonomicresearch and in partnership with other biologists. Typ-ically, this is a mutually beneficial arrangement. Ourtaxonomic concepts are, or should be, built on aconstellation of data, which in part is often gathered bynon-systematistsduringtheirinvestigations.Reciprocityin the system may slow progress, but the ultimateproducts are of greater value. Hebert et al.’s interpret-ation of the biodiversity ⁄systematics problem and the
solutions offered are a cause for concern. If a program
such as they suggest were initiated at the expense of
morphological systematics, we feel there would beserious negative consequences for accurate biodiversityassessments.Thefollowingresponseisintendedtopointout problems with Hebert et al.’s proposal at differentlevelsfrominterpretationtodatacollectionandanalysis.
Always room for error
DespiteclaimsthatDNAbarcodingmethodswork,it
is clear that non-identical sequences may remain uni-dentifiableormaybeunambiguouslywronglyplaced.A
basic property of the barcode method is that there will
always be internal attachment points that are ambigu-ousintermsofidentificationforanyrootedcladogram.Examples of this can be seen in subtrees taken fromHebert et al. (their electronic appendix D, our Fig. 1;their appendix E, our Fig. 2). In the subtree Fig. 1 the
number of non-informative attachment points at thegenericlevelis19of50totalpossiblepositionsatwhicha new ‘‘test’’ sequence could attach. Similarly in Fig. 2,the number of non-informative attachment points is 11of 30 total for species-level and 8 of those are also
uninformative at the generic level. The potential prob-
lem with non-informative attachment points is onlyavoidedwithcertaintyifthesequenceisidenticaltoonealready included in the ‘‘profile’’. For example (Fig. 2),if non-identical sequence data from a second and thirdindividual of Simyra henrici were included, and if they
provetoform aparaphyleticgroup,beingplacedaboveand below the existing terminal, the term below wouldbeunidentifiableandthetermabovewouldbe positively
attributed to the genus Acronicta. Neither result is
acceptable. Similarly, if the original analysis had not
included A.impressa andA.lepusculina ,givingtheresult-
ing relationships ( A. dactylina (S. henrici (A. hasta+
A. morula))),addingtwounknownsthat wereinfact[1]
A. impressa and [2]A. lepusculina , results in relation-
ships (([1], A. dactylina ([2] (S. henrici (A. hasta+
A. morula))). In these paraphyletic relationships it is
impossibletorecoveranytaxonomicinformationbelowthe suprageneric level, not even genus membership.
It is very surprising that no test taxon included by
Hebertet al.inanyoftheresultstheypresented,groupedat any internal node (simulation studies may be needed
to understand this phenomenon). However, one can
clearly see that if the nematode NE 8 (their Fig. 1phylum profile) or the coleopteran Coccinelidae (theirfig.2 ordinal profile) had been a ‘‘test’’ taxon and not a‘‘profile’’ taxon, their placement in Phylum and Order,respectively, would have been impossible or incorrect,e.g. the lady-birdbeetle would be a basal wasp!
Hebert et al. do tout their recovery of 18 ‘‘monophy-
letic pairs’’ of species from genera represented by twotaxa in their analysis of 200 lepidopterans. Thismonophyly rate (78%) drops to only 24 of 35 (69%)
when all genera with more than one representative are
considered. This supposed ‘‘evidence for clustering oftaxonomically allied species’’ strikes us as a failing rateof recovery at best. Relying on a system that fails 31%of the time to identify all of life leaves millions ofspecimens misidentified.
Forspeciesidentification,whenaspecies(ordivergent
population) is not already sequenced, the prospects areworse yet. Adding a novel Acronictaspecies to Fig. 2 is
an empty exercise, as all possible attachment points areeither non-informative or positively wrong.
To a large degree, the conflation of phylogenetic
methods and phylogenies with phenetic distances and
clusteringcreatesseriousproblemsforDNAbarcoding.Hebertet al.deftlyavoidtheterm‘‘phylogeny’’byusingthe term ‘‘profile’’, presumably to prevent an interpret-ationoftheiressentiallypheneticresultsasphylogenetic
48 K.W. Will & D. Rubinoff / Cladistics 20 (2004) 47–55 | f73213358eeda0f99d48f668c7c623dc035feaa2 | page_0001 |
relationships. A critical inspection of any of their tree
diagrams reveals that these are implausible phylogeniesof the included groups, which do not concur withcurrent or previous hypotheses. Nevertheless, Hebertet al. use chimeric terminology, e.g. monophyletic andthe undefined ‘‘cohesive group’’.
1They do justify their
choice to use neighbor-joining (NJ) methods by refer-ence to the purported ‘‘strong track record’’ of themethod in recovering phylogenies (their citation of
KumarandGadagkar,2000)andusePoissoncorrection
to ‘‘reduce the impacts of homoplasy’’. In fact, whatthey have produced is a series of extremely poorphylogenies that are symptomatic of the underlyingconfusion of ‘‘profiles’’ and phylogenies. Ignoring thefailedphylogeneticreconstructions,onemustthenfocuson only phenetic clustering such that ‘‘ ‘test’ taxa [are]
assignedtotheproperphylum ⁄order’’or‘‘groupedmost
closely with the single representative’’ for a species.Exactly how one tells a taxon has been ‘‘assigned’’ tooneorderoranotherisnotexplained.Thisconfusionofphenetics and phylogenetics further obscures the impli-cations from the results of this study.
Distance matrix and species identifications
AsHebertet al.pointout(p. 314),mtDNAsequence
varies and its rate of evolution is inconsistent withinand between species. Therefore, there is no standardlevel of divergence that can delineate species boundar-ies—even within families of Lepidoptera. Thus, usingthe methodology in Hebert et al. a researcher whoobtains DNA data that is not an exact match for apreviouslysequencedandidentifiedspecieshasvirtuallyno way of knowing exactly what he or she has got,
Fig.1. Modified subtreefromappendixDofHebertet al.(2003a).Openellipsesindicatenon-informativeinternalbranchesatthegenericleveland
open rectangles indicate non-informative internal branches at the species level.
1We assume a cohesive group in their sense is in fact a convex
group.Atermintroducedbypheneticists(Estabrook,1978,1986)that
includes both monophyletic and paraphyletic groups.49 K.W. Will & D. Rubinoff / Cladistics 20 (2004) 47–55 | f73213358eeda0f99d48f668c7c623dc035feaa2 | page_0002 |
since there is no standardized distance for all species.
Hebert et al. argue that the ‘‘hierarchical clusters ofpseudogroups’’ that would result from a cladistic
analysis would not be as useful as the Euclidean space
they use to map their taxa. In fact, their pheneticmethodology is a profound weakness of their presen-tation. A cladistic method would, at least, offerhypotheses regarding levels of relatedness, even if anew taxon was not an exact match for a previouslyidentified specimen. Their distance matrix offers noadditional information. Nevertheless, whether cladisticor phenetic, DNA barcode methods fail intrinsically,since any ‘‘new’’ species introduced to their distancematrix must fit almost exactly on the coordinates of a
previously sequenced species (which must have been
identified by a taxonomist!). While their ‘‘test’’ speciesfellclosesttotheirconspecificsinthreeoftheeighttests(37.5%), the test species was not an exact match.Because the parameters of the spatial region constitu-ting a species are undefined in such a matrix (and so issimply an extension of the ‘‘species’’ debate (Wilson,1999; Wheeler and Meier, 2000)), a ‘‘near miss’’ may ormay not be a conspecific. Thus, a near miss leaves theresearcher back at the ‘‘mercy’’ of a taxonomist toconfirm the identification. Even at the genus level, if anew taxon falls within the ‘‘radius’’ of more than one
genus (Fig. 3, modified from Fig. 4 of Hebert et al.)
then sequence data under Hebert et al.’s analysis yieldsno information about the ‘‘new’’ taxon, and it must bephysically identified by a taxonomist to determine notonly species, but genus as well. To illustrate this point,if the distance between Sphinx gordius andSphinxcanadensis were used to identify a radius of Euclidean
space in which other members of the genus Sphinx
should fall (a reasonable assumption that one or the
other species might be near the ‘‘center’’ of Sphinx
genuscoordinates),thisradiuswouldincludefourothergenera besides Sphinx(Fig. 3). In the case presented by
Hebert et al. the problem would be even greater ifSmerinthus were used. Even if the congeneric taxa just
mentioned represented (through an unhappy coinci-dence) the extremes of congeneric space for theirrespective genera, i.e. an actual generic radius of halfof what is currently apparent in Fig. 3, such a graphicwould still fail to identify most Sphingid genera as theyare currently described. In this situation a taxon
introduced to the matrix which did not fit nearly
exactly on a pre-identified point would give no infor-mation below the family level.
When testing the accuracy of their distance matrix
for species level identifications, they used single repre-sentatives. This single representative species approachon a distance matrix is essentially typological, allowingfor little—and unspecified—variation between individ-uals which may or may not be conspecific. Theconcept that there is one ‘‘true’’ point in space thatrepresents and defines a species is generally regarded aspasse´(Wilson, 1999; Wheeler and Meier, 2000) and
does not represent the variability commonly seen
within species. For well-differentiated taxa such anapproach might function when the distances betweenspecies are large and unfettered by taxa or individualswith intermediate coordinates. However, in such situ-ations morphological identifications are typically easi-
Fig.2. Modified subtreefromappendixEofHebertet al.(2003a).Openellipsesindicatenon-informativeinternalbranchesatthegenericleveland
open rectangles indicate non-informative internal branches at the species level.50 K.W. Will & D. Rubinoff / Cladistics 20 (2004) 47–55 | f73213358eeda0f99d48f668c7c623dc035feaa2 | page_0003 |
est to perform, and any advantage sequencing offers is
negligible. When species are closely related, dispersed
irregularly across the distance matrix or for any otherreason poorly differentiated, the determination ofaffiliations for ‘‘new species’’ that are not exact hitsis ambiguous. Given the arbitrary nature of themethods and results given by Hebert et al. (2003a),attempting to use their approach to identify the
world’s biodiversity verges on ludicrous.
Limitations
A recognized manpower shortage is coupled by
Hebert et al. to what they consider four limitations of
Fig. 3. Multi-dimensional scaling of Euclidean distances from 11 species of Sphingidae adapted from Hebert et al. (2003a). The solid circle
representsaconservativeestimateofEuclideanspaceinwhichmembersofthegenus Sphinxmightbeexpectedtofallif S. gordiusandS. canadensis
represented the extreme pair-wise distance for the genus. The dotted circle represents a Euclidean space for the genus SphinxifS. gordius were
centrallylocatedinthegeneric spaceof SphinxandS. canadensis representedthe mostdistantmemberof thegenus.If thespacewerenot circular,
then the representation of generic space occupied by a genus is unpredictable. Note that both circles contain taxa not in the genus Sphinx. Species
plots from original, hypothetical circular bounds representing the space occupied by the Sphinxgenus have been added.51 K.W. Will & D. Rubinoff / Cladistics 20 (2004) 47–55 | f73213358eeda0f99d48f668c7c623dc035feaa2 | page_0004 |
using morphology for identification. We will briefly
discuss each of these in turn.
‘‘phenotypic plasticity and genetic variability [ …] can lead to
incorrect identification’’
Phenotypicplasticityinmanycasesiswellunderstood
and certainly well recognized in morphological systems.In fact, we have over 200 years of observations thatmake us aware of this issue, and it is this backgroundthat has allowed biologists to repeatedly correct taxon-definitions when non-heritable variation is recognized.The larger issue affected by phenotypic plasticity isspecies (or other taxonomic group) definition. Thisproblem should not be confused with taxonomic iden-
tification, i.e. group membership. Once the operational
species boundaries are determined, identification eitherresultsintheinclusionoftheorganismunderstudyinagroup or not. If the individual does not have thediagnostic combination of characters of a named taxonthenre-definitionisnecessary ,i.e.placementinanewor
different group, or expansion of the existing taxondefinition. For those groups that have a completeoverlap of morphological characters in some individu-als, the discriminating criteria, which should exist if thegroup is to be recognized at all, must be used (e.g.behaviors or pheromone recognition). If those features
arenotavailable,thenmoleculardatamaybethebestor
only answer for some limited set of taxa and ⁄or a given
taxonomic level. The broad application of DNA iden-tification across life based on this ‘‘limitation’’ is,however, the tail wagging the dog.
Hebert et al. do not explain their use of ‘‘genetic
variability’’ in the context of a limitation to morpholo-gical identification. Given that within-gene, base vari-ationisnotproblematicformorphologicalidentificationper se, we assume that they mean that there is a
mismatch between phenotypic variation and genetic
variation. One possible interpretation of their use of
genetic variability is in reference to underlying mecha-nisms that may differ for a similar looking anatomicalfeature in two taxa, potentially resulting in homoplasy.Thus, the feature is not assumed to be a reliableindicator of identity. This presumes a one-to-one rela-tionship between the genetic pathway underlying theexpressed characteristic and the structure observed.Clearly this is an oversimplification and there is ampleevidencetoshowthatthesametraitmaybeproducedbymore than one means within a group (Wagner, 1994;
Schlichting and Pigliucci, 1998).
It is well known that multiple gene families have
members with different histories, i.e. gene vs. speciestrees (Avise, 2000), and that gene elements may movefrom one part of the genome to another giving theimpression that the structure is non-homologous.Regardless of how the elytra of a beetle or spinneretof a spider is produced during development, organismswiththosefeaturesareclassifiedasbeetlesorspiders.A
phylogenetic study, based on a broader selection ofcharacters (includingdevelopmentalcharacters, ifavail-able), would be required to show that all elytra are nothomologs. This, like species identification vs. delimita-tion,isaquestionfundamentaltophylogeneticresearch,
but background information for taxonomic identifica-
tions.
Alternatively, they may mean that genetic variation
may be greater than morphological variation, or thereverse. The first is exactly equivalent to ‘‘cryptic taxa’’discussed below and the latter exactly equivalent to‘‘phenotypic plasticity’’ above. Both assume that thesmall gene fragment used bears the correct marks ofhistory for the specific group and age of the lineage.However, real world experience is to the contrary.
‘‘Second, this approach overlooks morphologically cryptic
taxa…’’
If Hebert et al. mean taxa that are not recognizably
differentin gross morphology (and not just hard to
differentiate because the characteristics are not obviousto the eye) but are composed of genetically and ⁄or
reproductively isolated units, then this is certainly aspecialcaseinbiology.Bydefinitiontheseunitsmustbediscovered and separated by extraordinary means.
Usually this is through behavioral, morphometric,
biochemical or molecular data and done by an expertonthetaxon.Forthesetaxa,sequencedataarelikelytobe the most effective means for discovery and differen-tiation.This,likepurportedlimitationsduetovariationabove,isonlyaproblemforselectedtaxaandisrealizedonly after study and phylogenetic analyses show that aunitexists,whichhasnotbeenotherwiseexposed,andisworthyofrecognition.Intermsofroutineidentificationsfor all life, which the authors claim to be addressing,justification based on this limitation is wanting outside
ofgroupslikebacteria,orothermicro-organismswhere
DNA is the best or only option.
Hebert et al. then note that keys are specific to a
single semaphoront.
2We agree that the paucity of
suitable keys is problematic. However, there stillremains a huge gap between the number of taxa treatedin keys and the number of species for which genesequencedataisavailable.Thegapisevengreaterifyouinclude described taxa that can be recognized bymorphological description but are not in a publishedkey. No doubt a large database of gene sequence data
willeventuallybeavailableformanytaxa.However,itis
highly unlikely that for most taxa, especially fossils andmost museum specimens, there will ever be sequencedata. The taxon-by-sequence database will always havevastgapsinbothdirections.Havingsequencedataofan
2Herbert et al. actually use the term ‘‘gender’’, we assume they
mean biological sex.52 K.W. Will & D. Rubinoff / Cladistics 20 (2004) 47–55 | f73213358eeda0f99d48f668c7c623dc035feaa2 | page_0005 |
unidentifiablesemaphorontisonlyusefulifanidentified
or identifiable individual has already been sequen-ced—and sequenced for the same gene region—andthere is an understanding of variation among individ-uals. These are serious restrictions. For very rare taxa,knownonlyfromnon-DNAqualitymuseumspecimens,
it will remain impossible to place a second specimen,
even if the new specimen’s entire genome is sequenced.Forthosegroupslackingdifferentialkeys,someone willhave to make an initial assessment of taxon boundariesto produce the names to be used. Therefore thedependence on morphological expertise will be little
diminished whileagreatdealofmoneyandeffortwillbe
shifted to molecular endeavors. The use of smallsegments of DNA for identification (inexplicably andincorrectly referred to as ‘‘microgenomic’’ by Hebertet al.) does nothing to alleviate this problem.
‘‘…theuseofkeysoftendemandssuchahighlevelofexpertise
that misdiagnoses are common.’’
It is unclear what data are used to substantiate the
authors claim that ‘‘misdiagnoses are common.’’ Weassume this is based on the authors’ own experiencesand does not necessarily reflect the situation in biolo-gical publications at large. The necessity that biologistslearn details of their organisms to ensure correct
identification can slow the rate of publication and may
preventordelaytheproposalofbroadhypothesesbasedon sequence data extracted from otherwise unknownentities. It is certainly harder, or at least more timeconsuming,tolearnandimplementthemethodsusedinmorphological identification than it is to use packagedDNA extraction and PCR kits. However, as we show,DNA-based identification as presented by Hebert et al.is flawed and will in many cases not lead to any greaterconfidence in identification, nor will it free us from theneedtoknowandunderstandmorphologicalsystems.It
will, however, abandon important tools needed by
biologists of every stripe. With regard to developingexpertise,thereisaverystraightforwardfix.Trainmorepersonnel in morphological techniques; reinstate theteaching of systematics, taxonomy and morphologicaltechniquesascorecourses.InpartprogramssuchastheNSF PEET (Partnerships for Enhancing Expertise intaxonomy (2003): http://www.nsf.gov/pubsys/ods/get-pub.cfm?nsf00140) have already recognized and begunto rectify this problem.
Problems of implementation: defining species
Hebert et al. point out the greatest weakness of their
methods.
‘‘However, there is no simple formula that can predict the
length of sequence that must be analyzed to ensure species
diagnosis, because rates of molecular evolution vary between
different segments of the genome and across taxa.’’Despite this statement, and the actual inability of
knowing when results are a misdiagnosis, the authorswere not dissuaded from establishing arbitrarystandardsforthecorrect placementoftesttaxaorfromusing a single data source, undoubtedly subject to thewide range of divergence rates which they note as
obvious.
As stated by Hebert et al. a preordained length of
sequence may or may not yield enough information forspecies identification due to variance in rates ofmolecular evolution across groups. Moreover, even theselection of an ostensibly informative part of onemitochondrial gene is problematic. This is because thematernally inherited mitochondrial genome sorts inde-pendently from the nuclear genome (which contains themajority of the genetic information defining lineages).Therefore,astudybasedsolelyonlimitedmitochondrial
data (without even the illumination provided by some
morphological knowledge) might only reflect the inher-itancepatternofthemitochondrialgenomeandnotthatof the individual as a whole, due to differences betweenspecies sorting and gene sorting (Avise, 2000). Acrossdifferent phyla, reliance on just a part of the mitoch-ondrial genome was shown to result in paraphyleticspecies associations (Hedin, 1997; Patton and Smith,1994; Sperling and Harrison, 1994; Talbot and Shields,1996), which would result in misleading species identi-fications for what are otherwise considered different
monophyletic taxa. A recent study of Phyciodes butter-
flies demonstrated that using just the part of themitochondrial genome recommended by Hebert et al.regularly fails to correctly identify an insect to species,especially when branch lengths are relatively short(Wahlberg et al., 2003). Even translating sequence intoamino acids was problematic at deeper divergences andresulted in some family level mis-identifications(Wahlberg, 2003). It has already been established thatthe combination of a predetermined segment ofsequence with an inheritance pattern that may not
mirrortherestofthegenomemakestheuseofaportion
of mitochondrial DNA a poor choice as the sole sourceof data for species identifications. Hebert et al. do littleto refute this evidence.
In addition to the practical problems mentioned
above, there are philosophical problems with speciesdelineations that are not addressed by Hebert et al.They assert that DNA barcoding will lead to a futurewhere ‘‘the bounds of intraspecific diversity will bequantifiable, sibling species will be recognizable, taxo-nomic decisions will be objective and all life stages willbe identifiable.’’ All but the last of these claims
demonstrate an apparent ignorance regarding modern
theories of cladogenesis and speciation. Research in thefield of speciation has indicated that there are amultitude of different biological and historical condi-tions that may or may not ultimately lead to lineage53 K.W. Will & D. Rubinoff / Cladistics 20 (2004) 47–55 | f73213358eeda0f99d48f668c7c623dc035feaa2 | page_0006 |
divergence or reticulation (Wilson, 1999; Wheeler and
Meier, 2000). What defines ‘‘species’’ is an intractabledebate that cannot be resolved satisfactorily using partofa single gene. Nosingleprocess orpatterncan defineor identify all species, and no single character set canadequately track and therefore reliably recognize even
most species. This is especially true for closely related
species, where taxa are in the process of diverging orrecently diverged and are frequently represented byincomplete genomic sorting (Avise, 2000).
Conclusions
One of the benefits of the mtDNA identification
methods touted by Hebert et al. that we do not disputeis the possibly reliable identification of most specimens
of insects to Order. However, given that most workers
with even a crude background in entomology cansuccessfully identify insects to order on sight, it wouldnot be worth the expense and time of a sequencingexperiment to do this routine task. This is essentiallywhat Sperling (2003) noted: that barcode methods maywork ‘‘in all except the kinds of identifications thatmatter most.’’ In fact, these methods seem prone tofailure except in cases with an extremely well developedbackgroundknowledgeofthetaxatobesampledandana prioriunderstanding of sequence variation among
populations and individuals.
From the perspective of a general philosophy
regarding human discovery and knowledge of thenatural world, a strictly molecular approach to inquirywould result in a sterile intellectual landscape. Patternsthat humans perceive in nature are derived from anunderstanding of all types of data, particularly richdata types like morphology. These observed patternsare the source and raison d’e ˆtre for the value we see in
biodiversity. A holistic view of organisms incorporatingphylogeny, functional morphology, behavior, ecology,
etc., helps us to make informed conservation decisions.
How would decisions be made in a world where ourview of animals was restricted to clusters divided by anarbitrary difference in their COI sequence, say, 5%divergent? It is hard to imagine any general theorem ofbiology emerging in such a limited system or thatpeople in general would remain interested in biodiver-sity at all.
Hebert et al. claim that ‘‘a COI identification
system’’ for species will be reliable, cost-effective andaccessible. In fact this method fails in all but the latterclaim. In terms of accessibility, the DNA data format
does allow for concise and unambiguous transfer via
the internet. However, as pointed out by Seberg et al.(2003), access will favor wealthier countries, furtherdividing nations with the most biodiversity from thosenations with the most control over biodiversityresources. We have shown that the claim of reliability
or even relatively greater reliability over morphology-based identifications is specious. Purported cost-effect-iveness, even if the methods worked, is a hollow claim.Biological science would sacrificeby completelyshiftingresourcesandattention fromwholeorganismstoavery
small segment of the genome. Our ability to tap the
legacy of morphological and natural history datawould be lost, and this would greatly impede possibil-ities for future theoretical advances in our understand-ing of the world.
Clearly, DNA sequence data is an important and
powerful part of taxonomy and systematics. Moleculardata has an indisputable role in the analysis of biodi-versity. However, DNA-based data should not be seenas a substitute for understanding and studying wholeorganisms when determining identities or systematic
relationships.Specificcasesdemandtheuseofmolecules
ifwearetoaddress questionsthat defyresolutionusingother character systems. The notion that there is aninherent supremacy of DNA data vs. other types ofcharacter data for all taxonomic questions and circum-stances is wrongheaded. A clear example of thesemistaken notions was recently published by Scotlandet al. (2003b). Such publications and specifically Hebertet al. (2003a,b) demand a balanced response thatconsiders the role of morphology in taxonomy morecarefully and reveals the actual costs and products of
technologically attractive alternatives (Scotland et al.,
2003a).Bypointingoutsomeoftheshortcomingsofthemethods employedbyHebertet al.(2003a)onavarietyoflevels,wehopetodrawattentiontothedamagesuchsolely molecular approaches and accompanying analy-ses might cause to the important endeavor of assessingand understanding global biodiversity.
Acknowledgments
We thank Q. Wheeler, Cornell University, A. Seago
and J. Powell, University of California, Berkeley forcomments. This paper is journal number 4670 in theCollege of Tropical Agriculture and Human Resources,The University of Hawaii.
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