ANTICANCER RESEARCH 26: 3965-3972 (2006) Prognostic Value of Pre-operative Serum CA 15.3 Levels in Breast Cancer ARANCHA MARTÍN1,2, MA DANIELA CORTE1,2, ANA MA ÁLVAREZ3, JUAN CARLOS RODRIGUEZ1,2,4, ALEJANDRO ANDICOECHEA2,4, MIGUEL BONGERA2,4, SARA JUNQUERA2, DIEGO PIDAL2, MA TERESA ALLENDE1,3, JOSÉ L. GARCÍA MUÑIZ1,5 and FRANCISCO VIZOSO1,2,4 1Instituto Universitario de Oncología del Principado de Asturias, Oviedo; de Investigación and 4Servicio de Cirugía General, Hospital de Jove, Gijón; 3Servicio de Medicina Nuclear and 5Servicio de Cirugía General, Hospital Central de Asturias, Oviedo, Spain 2Unidad Abstract. Background: CA15.3 (also known as MUC1) is the most widely used marker in breast cancer. The aim of the present work was the evaluation of the prognostic value of preoperative serum CA15.3 levels in patients with primary breast cancer. Patients and Methods: This study included 818 women with a histologically verified diagnosis of invasive breast cancer. The serum values of CA15.3 were investigated at the time of primary diagnosis by means of an immunoradiometric assay based on the "sandwich" principle. The median follow-up period of patients free of recurrence was 38 months. Results: Pre-operative CA15.3 serum levels ranged from 6 to 452 U/ml. Elevated CA15.3 levels (>30 U/ml) were found in 15.2% of patients. Statistical analysis showed that pre-operative CA15.3 serum levels were significantly higher in patients with large size tumors (T3 or T4) (p=0.0001), as well as in those with nodepositive tumors (p=0.0001) In the univariate analysis, high CA15.3 levels were significantly associated with a lower probability of both relapse-free and overall survival in the overall group of patients (p=0.0001 and p=0.004, respectively) and in the subgroup with node-positive breast cancer (p=0.001 and p=0.03, respectively). In addition, multivariate analysis demonstrated that pre-operative levels of the antigen were significantly and independently associated with relapse-free survival in the overall group of patients, as well as in the subgroup of patients with node-positive breast cancer (p=0.02 and p=0.01, respectively). Conclusion: These results show that high pre-operative CA15.3 levels correlate with large size tumors and the presence of lymph node metastases and suggest that this antigen could be used as an additional prognostic marker. Correspondence to: Dr. F. Vizoso, Hospital de Jove, Servicio de Cirugía General, Avda. Eduardo Castro s/n, 33290 Gijón, Spain. Tel: 0034985 32 00 50, Fax: 0034985315710, e-mail: fjvizoso@wanadoo.es Key Words: MUC-1, breast cancer, prognosis, tumor markers. 0250-7005/2006 $2.00+.40 CA 15.3, also known as MUC1, episialin, polymorphic epithelial mucin or epithelial membrane antigen, is the most widely used marker in breast cancer. It is a large transmembrane glycoprotein containing three main domains: a large extracellular region, a membrane-spanning sequence and a cytoplasmic domain. It was demonstrated that MUC1 is overexpressed in breast cancer when compared with normal breast tissue (4, 26), as well as that an aberrant expression of MUC1 arises in the early stages of the development of breast cancer (19). Thus, whereas MUC1 expression is mostly confined to the apical side of the glandular epithelial cells in normal tissue, its expression can be found over the entire cell membrane in cancer cells. Although the physiological function of MUC1 is unknown at present, recent data suggest that MUC1 plays a role in cellular adhesion, diminishing cell-cell and cell-extracellular matrix interactions (11, 26). This property appears to be due to the presence of large amounts of carbohydrate attached to the extracellular region of MUC1 increasing its rigidity and giving rise to a large, flexible rod-like structure that can extend over 200 nm from the cell surface, further out from the cell than any other membrane-associated protein. Accordingly, increased expression in primary tumors could be expected to facilitate detachment of malignant cells, both from adjacent normal cells and from the extracellular matrix. Therefore, MUC1 might play a role in the initiation of cancer invasion and metastasis development. In accordance with this hypothesis, it was demonstrated that breast cancer growth and dissemination are impaired in MUC1-deficient mice (25). MUC1 may also contribute to cancer progression by modulating the immune response. Cancer cells expressing high levels of MUC1 on the cell membrane have been shown to inhibit the functions of cytotoxic T lymphocytes (CTL) and lymphokine activating killer (LAK) cells. This blockage may occur as a result of MUC1 masking cell 3965 ANTICANCER RESEARCH 26: 3965-3972 (2006) membrane antigens involved in the immune recognition process (6, 11, 26). Accordingly, it has been described that high MUC1-associated marker levels in blood are predictive of a poor response in patients with metastatic breast cancer treated with immunotherapy (14). Additionally, it has been shown that circulating MUC1 elicits an immunosuppressive action either by switching CTL cells to a stage of anergy (1) or by inducing apoptosis of activated CTL cells (7). The MUC1 antigen is secreted by breast cancer cells and can be radio-immunologically measured in serum with the use of monoclonal antibodies DF3 and 115-D8, raised against milk fat globule membranes and a membraneenriched fraction of a metastatic breast cancer, respectively. MUC1 has most widely been used as a serum tumoral marker during the follow-up and detection stages of breast cancer recurrence, as well as a measuring tool of therapeutic response in metastasis disease (5, 9, 20-23, 27, 29). However, the prognostic value of the serum antigen levels prior to the initial surgery has only been studied in a few investigations, and high preoperative levels were generally reported to be associated with a poorer patient outcome (12, 13, 18). The aims of the present work were to investigate: i) the pre-operative serum levels of MUC1 in a series of patients with breast cancer, ii) their relationship with clinicopathological and biological parameters, and iii) their potential prognostic and predictive values. Patients and Methods This study included 818 patients with histologically verified diagnosis of invasive breast cancer, treated at Hospital de Jove (Gijón, Spain) and Hospital Central de Asturias (Oviedo, Spain) between 1989 and 2002 and in whom CA 15.3 serum levels were determined pre-operatively. Patients were previously untreated and did not present any other malignant tumors at the time of the initial diagnosis. Patients with distant metastasis or with secondary contralateral breast cancer were excluded from the study. In all cases, distant metastases at initial diagnosis were excluded by clinical, radiological and biochemical studies, according to standard clinical practice. The median age was 59 years (range, 27-92 years). Patient characteristics with respect to age, menopausal status and clinical tumor stage are listed in Table I. The histological grade of the tumors was determined according to criteria reported by Bloom and Richardson (2), whereas nodal status was assessed histopathologically. Patients underwent either a modified radical mastectomy or a partial mastectomy with axillary lymphadenectomy. Post-operative radiotherapy was given to 337 patients (41.1%). The criteria for systemic adjuvant therapy were as follows: i) node-negative patients with ER- and/or PgR-positive tumors received tamoxifen (20 mg per day for five years); ii) node-negative patients with ER- and PgRnegative tumors received six cycles of intravenous CMF (cyclophosphamide, methotrexate and 5-fluorouracil) every 3 weeks, if their tumors were either larger than one centimeter, moderatelyor poorly-differentiated, or if patients were younger than 35 years old; iii) node-positive patients received six cycles of intravenous 3966 Table I. Pre-operative serum CA 15.3 levels in 818 patients with breast cancer: correlation with different clinicopathological parameters. Patient and Tumor Characteristics CA 15.3 (U/ml) NÆ Median Range Total 818 Age (years) ≤60 427 >60 391 Menopausal status Pre-menopausal 250 Post-menopausal 568 Tumoral size T1 379 T2 333 T3 54 T4 52 Nodal status N(–) 516 N(+) 302 Histological grade Well Dif. 268 Mod. Dif. 381 Poorly Dif. 169 Histological type Ductal 710 Lobular 58 Others 50 Estrogen Receptors Negative 275 Positive 390 Unknown 153 Progesterone Receptors Negative 312 Positive 288 Unknown 218 Ploidy Diploid 141 Aneuploid 210 Unknown 467 S-phase <7.4* 181 >7.4* 170 Unknown 467 17.4 6-9279 17 18 6-9279 6-980 17 17.6 6-9279 6-980 17 17 19.9 22.7 6-980 6-980 6-452 6-9279 16.5 18.9 6-980 6-9279 17 17.7 17.5 6-285.8 6-980 6-9279 17.7 16.4 15.6 6-9279 6-122 6-34.6 17.5 17.6 - 6-9279 6-980 - 16.8 18 - 6-9279 6-980 - 91.9 30.6 - 9-9279 1-1000 - 30.9 81 - 1-1000 6-9279 - p >30(%) n.s. 124 (15.2) p n.s. 58(13.6) 66(16.9) n.s. n.s. 37(14.8) 87(15.3) 0.0001 0.0001 37(9.7) 52(15.6) 17(31.5) 18(34.6) 0.0001 0.0001 59(11.4) 65(21.5) n.s. n.s. 37(13.8) 55(14.4) 32(18.9) n.s. n.s 113(15.9) 7(12.1) 4(8) n.s. n.s. 43(15.6) 66(16.9) - n.s. n.s. 44(14.1) 46(15.9) - n.s. n.s. 19(13.4) 34(16.1) - n.s. n.s. 29(16) 24(14.1) - *Median S-phase fraction value. FEC (5-fluorouracil, epirubicin and cyclophosphamide) every 3 weeks, plus sequential tamoxifen if they had ER and/or PgRpositive tumors. Overall, 326 patients received chemotherapy, 382 patients received tamoxifen and 67 patients received both types of systemic therapy. Every patient was followed for disease recurrence and survival status by clinical, radiological and biochemical studies every 3 months for the first 2 years and then yearly. The median follow-up period of the patients still free of recurrence was 38 months. The end-point was disease-free (relapse-free) survival. The median follow-up period in surviving patients was 43 months. One hundred and seventy-six patients developed tumor recurrence and 95 of them died from causes directly related to it. Martín et al: Serum CA 15.3 in Breast Cancer Prognosis Breast carcinoma samples were obtained at the time of surgery. Immediately after surgical resection, tissues were processed for pathological examination while the remainder was washed with cold saline solution, divided in aliquots, rapidly transported on ice to the laboratory and stored at –70ÆC pending biochemical studies. The tissue samples from tumors were obtained with informed consent of the patients. Tissue processing. Specimens from neoplastic and surrounding healthy tissues were processed at the same time. They were pulverized at –70ÆC utilizing a microdismembrator (Braun Biotech International, Melsungen, Germany) and homogenized in TRIShydrochloride buffer (10 mM of TRIS, 1.5 mM of EDTA, 10% glycerol, 0.1% of monothioglycerol). Homogenates, kept at 4ÆC, were centrifuged at low speed (800 g for 10 min. at 4ÆC) and the supernatant was ultracentrifuged at 100,000 xg for 60 min at 4ÆC. Flow cytometry. DNA content was evaluated in 351 tumors by flow cytometry (Bectron Dickinson, San José, California, USA) on nuclei stained with propidium iodide. DNA ploidy was expressed as DNA index. Proliferative activity was expressed as the fraction of cells in the S-phase of the cell cycle and calculated according to the recommendations from the DNA Cytometry Consensus Conference (9), with the CellFit software program (Bectron Dickinson). Median S-phase fraction value was used as the cut-off point. Tumors were divided into those with a high or a low Sphase fraction. Hormone receptor assays. Estrogen (ER) and progesterone (PgR) receptor measurements were performed in cytosol extracts by a solid phase enzyme immunoassay based on the "sandwich" principle (ER-EIA and PgR-EIA Monoclonal from Abbot Laboratories, Diagnostics Division, Wiesbaden, Germany). Values of ER and PgR were expressed as fentomols per milligram of protein. Protein concentration was quantified according to the described Bradford method (3). For data analysis, a value higher than 10 fmol/mg total protein was considered as positive for ER and PgR. CA 15.3 assay. We investigated the serum values of CA 15.3 at the time of primary diagnosis, prior to surgical intervention. Antigen levels were analyzed with an immunoradiometric assay based on the "sandwich" principle. The CENTOCOR CA 15.3 (Fujirebio Diagnostics, INC., USA) utilizes two monoclonal antibodies (115D8, DF3) that react with a circulating antigen, CA 15.3, expressed by human breast carcinoma cells. One of these antibodies, 115D8, was raised against antigens of human milk fat globule membranes. The DF3 antibody was prepared against a membrane-enriched fraction of a human breast carcinoma. Polystyrene beads coated with a mouse monoclonal anti-CA15.3 were incubated with a sample or the appropriate standards and the control. Unbound materials were removed by aspiration of the fluid and washing of the beads. In a second step, the beads were incubated with a mouse monoclonal anti-CA 15.3 labeled with I125 that detects CA15-3 bound to the bead during the first incubation step and the unbound labeled antibody was removed by washing of the beads. The bound radioactivity was detected in a gamma scintillation counter, and was proportional to the CA 15.3 concentration in the specimen. A standard curve was obtained from the same assay to convert cpm into CA 15.3 unit values from the specimens and the controls. The detection limit of the assay was established at 6 U/ml. The reproducibility of the CENTOCOR CA15.3 was tested in a panel of 6 samples (7.7, 23.7, 33.9, 52.8, 93.6, 121.9 U/ml), in six laboratories, on three separate days with three different sets of reagents. The coefficients of variation were: 12.4%, 10.0%, 10.2%, 10.2%, 8.5% and 8.4%, respectively. A linearity study was performed with plasma from breast cancer patients (192 U/ml and 109 U/ml), diluted in standard units/ml CA 15.3, with the mean recovery of 108% and 109%, respectively. The cut-off value for clinical use was established at 30 U/ml. Statistical analysis. After analyzing the distribution of CA 15.3 values by the Kolmogorov-Smirnov test, non-parametric rank methods were used. The pre-operative CA 15.3 serum levels were expressed as median (range). Patients were subdivided into groups based on different clinical and pathological parameters. Comparison of the CA 15.3 levels between groups was made either with the MannWhitney or the Kruskal-Wallis tests. Probabilities of relapse-free survival were calculated with the Kaplan-Meier method. Differences between curves were evaluated with the log-rank test. The Cox's regression model was also used to examine several combinations and interactions of different prognostic factors in a multivariate analysis. The following variables were included in the analysis: age, menopausal status, tumor size, axillary node involvement, histological type, histological grade, ER and PgR content, CA 15.3 serum levels and type of adjuvant systemic therapy. Ploidy and S-phase fraction were not included due to the absence of corresponding data in a significant number of tumors. Statistical significance was considered at 5% probability level (p<0.05). Results Pre-operative serum CA 15.3 levels ranged from 6 to 452 U/ml, their distribution is represented in Table I. Elevated serum CA 15.3 levels (>30 U/ml) were found in 15.2% of the patients. The distribution of pre-operative serum levels according to patient and tumor characteristics including: age, menopausal status, tumor size, axillary node involvement, histological type, histological grade, ER and PgR status, ploidy and S-phase fraction, is also provided in Table I. Statistical analysis revealed that pre-operative serum CA 15.3 levels were directly related to tumor size and lymph node involvement. These levels of CA 15.3 were significantly higher in patients with T3 or T4 tumors than in patients with T1 or T2 tumors (p=0.0001), as well as in patients with node-positive tumors than in patients with node-negative tumors (p=0.0001). Likewise, our results demonstrated a higher percentage of patients with elevated CA 15.3 levels among those with larger tumors, as well as in the group of patients with node-positive tumors than in those with node-negative tumors (Table I). However, statistical analysis showed that there was no significant relationship between CA 15.3 levels and age, menopausal status, histological type, histological grade, ER and PgR content, ploidy, or S-phase tumor fraction (Table I). The potential relationship between pre-operative serum CA 15.3 levels and relapse-free survival was evaluated in the 818 patients included in the present study. All patients 3967 ANTICANCER RESEARCH 26: 3965-3972 (2006) Table II. Multivariate analysis of the association of pre-operative serum CA 15.3 levels with relapse-free and overall survival. Tumor characteristics Relapse-free survival p RR CI (95%) Figure 1. Relapse-free survival as a function of pre-operative serum CA 15.3 levels in 807 patients with breast carcinoma. were dichotomized into two different groups with regard to the cut-off point of serum CA 15.3 levels considered of clinical use (30 U/ml). Univariate analysis demonstrated that elevated CA 15.3 levels were significantly associated with a lower probability of both relapse-free and overall survival in the overall group of patients. As it can be seen in Figure 1, there were significant differences between relapse-free survival (p=0.0001) curves calculated for each patient subgroup, classified according to their pre-operative serum CA 15.3 levels. However, when the survival analysis was performed separately in node-negative and node–positive breast cancer patients, our results only showed significant differences between relapse-free survival (p=0.001) curves for the node-positive breast cancer patients (Figure 2A and B). In addition, there was a significant relationship between serum CA 15.3 levels and relapse-free and overall survival in patients with nodepositive breast cancer who underwent adjuvant chemotherapy (p=0.009 and p=0.002, respectively) (Figure 2C). However, the serum antigen levels did not correlate with relapse-free survival in those patients who underwent adjuvant systemic therapy only as anti-estrogenic treatment with tamoxifen (Figure 2D). On the other hand, multivariate analysis demonstrated that pre-operative CA 15.3 levels were significantly and independently associated with relapse-free survival in the overall group of patients, as well as in the subgroup of patients with node-positive breast cancer (Table II). This 3968 Tumoral size T1 T2 T3 T4 Nodal status N (–) N (+) Histological grade Well Dif. Mod. Dif. Poorly Dif. CA 15.3 levels <30 ≥30 Progesterone Receptors Negative Positive Adjuvant tamoxifen Yes No Overall survival p RR CI (95%) - - 1 2.0 2.2 4.4 - 0.003 1.1-3.7 1.0-5.7 2.0-10.0 0.0001 1.7-4.9 0.01 0.3-0.8 - 1 1.3 1.5 8.7 0.5-3.6 0.1-12.7 2.8-27.0 - - 1 0.3 0.1-1.0 - - - - 0.0001 1 4.1 2.8-5.9 1 1.4 2.2 0.8-2.3 1.3-3.8 1 1.6 1.0-2.3 1 2.9 0.004 0.02 - - 1 0.5 0.001 1 1.7 1.2-2.4 - - Negative Nodal Status Tumoral size T1 T2 T3 T4 Histological grade Well Dif. Mod. Dif. Poorly Dif. Progesterone Receptors Negative Positive - 0.01 0.009 1 1.3 3.1 0.5-3.0 1.4-6.9 - - 1 1.6 1.1-2.5 1 1.7 1.1-2.7 - - 0.04 Positive Nodal Status Adjuvant tamoxifen Yes No CA 15.3 Negative Positive 0.01 - 0.01 - RR=relative risk; CI=confidence interval. same analysis showed that only tumor size, nodal status and adjuvant anti-estrogenic therapy with tamoxifen were factors significantly associated with both relapse-free and overall survival in the whole group of patients (Table II). Martín et al: Serum CA 15.3 in Breast Cancer Prognosis Figure 2. Relapse-free survival as a function of pre-operative serum CA 15.3 levels in 512 patients with breast carcinoma and negative nodal status (A), in 295 patients with breast carcinoma and positive nodal status (B), in 196 patients with node-positive breast carcinoma who underwent adjuvant chemotherapy (C) and in 153 patients with breast carcinoma with positive nodal status who underwent adjuvant anti-estrogenic therapy with tamoxifen (D). Discussion In order to develop an adequate plan for the management of breast cancer is essential the identification, at an early stage, of patients at a higher risk of recurrence is essential. Presently, circulating markers seem ideal candidates to provide alternative information on the tumor phenotype at the relapse stage. However, the potential prognostic value of the pre-operative serum marker levels has rarely been evaluated (8). The present study demonstrates a percentage (15.2%) of patients with clinically non-metastatic breast cancer showing high serum CA 15.3 levels (>30 U/ml) at the time of diagnosis. These antigen levels correlated positively and significantly with both tumor size and axillary lymph node involvement. In addition, elevated 3969 ANTICANCER RESEARCH 26: 3965-3972 (2006) serum levels of the antigen were notably associated with a poor patient outcome. Our results are in accordance with other studies showing that pre-operative CA 15.3 levels correlate with tumor size and nodal status in primary breast cancer (15, 21, 24, 28). The relationship between pre-operative CA 15.3 and these well-known prognostic factors suggests a potential prognostic interest of the antigen. Nevertheless, there are conflicting results in the literature regarding the prognostic significance of pre-treatment CA 15.3 levels. Thus, high pre-operative serum levels of the antigen have been associated with a poor outcome in the overall group of patients (14, 28), or only in the subgroup of patients with node-positive breast cancer (13, 24). Likewise, Gion et al. (8) reported a direct relationship between CA 15.3 levels and prognosis in patients with nodenegative breast cancer, whereas other authors failed to find any prognostic role of the antigen in node-negative cases (13, 17, 24). These discrepancies may be due, at least in part, to several aspects, such as different categorization of the antigen according to cut-off points, some authors not evaluating node-negative and node-positive cases separately, or that multivariate analysis was not performed in some studies. In addition, it is also worth mentioning that prognostic evaluation in breast cancer is difficult because treatments, especially regarding adjuvant ones, have changed frequently in the last 15 years, making homogeneous populations difficult to evaluate. Preliminary reports have shown a weak prognostic role of CA 15.3 levels in a small patient series without performing a multivariate analysis (12, 13, 18). Multivariate evaluation of preoperative serum CA 15.3 levels as a prognostic factor has only been studied in the last seven years (8, 14, 17, 24, 28). In the majority of these studies, a cut-off value of 30 U/ml or an approximated one was used. Considering this cut-off value of the antigen level, the multivariate results of the present work indicate that preoperative CA 15.3 is a significant predictor of relapse-free survival in the overall group of patients. However, once the nodal status after surgery was known, the antigen was only an independent prognostic factor when predicting relapse-free survival in the subgroup of patients with node-positive breast cancer. This finding is in accordance to data reported by Shering et al. (24). In addition, our results after univariate analysis suggest that among women with node-positive breast cancer who receive chemotherapy, elevated pre-operative CA 15.3 serum levels correlate with outcome, but did not in those similar patients who receive anti-estrogenic therapy with tamoxifen. Nevertheless, more recently, Gion et al. (8) also reported that the relationship of the antigen levels with prognosis is continuous in patients with node-negative breast cancer who did not receive any type of systemic adjuvant therapy, with the risk of relapse increasing 3970 progressively from approximately 10 U/ml. Thus, further studies should be performed on other independent case series to confirm the observed prognostic relationships. In summary, our results indicate that an initially elevated CA 15.3 level reflects tumor extension, with significantly higher values in patients with larger tumors or in those with nodal invasion and that the antigen is a marker of enhanced risk of recurrence, at least in patients with node-positive breast cancer. Therefore, taking into account that circulating CA 15.3 is a non-invasive, reproductive and objective tool, we consider that CA 15.3 levels obtained at the time of the initial diagnosis might be an additional prognostic indicator for breast cancer patients. 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