3.2. CASA Panel
Cellular systemic abnormality refers to circulating rare cell abnormalities detected at elevated concentration above baseline (healthy) range, or to de-novo emergence of rare cells, or to cyto-morphological changes in these cells. As cellular systemic abnormality can be related to both physiological and pathological processes [
12,
21], cancer-associated cellular abnormality (CASA; see
Table 2) will require further characterization in terms of its relationship with clinical cancer status as well as its presence in healthy individuals. Certain patterns or panels of rare cells in CASA may, for example, be related to the presence of clinical cancer, or its absence after cancer treatment. Certain panel of rare cells in CASA initially detected may disappear and some may persist after curative surgery. For the purposes of this article, we refer to rare cells in the CASA panel detected in cancer patients whose cancer is present as “cancer-present CASA”, in those with absent clinical cancer after curative surgery as “cancer-absent CASA”, and in non-cancer subjects as “cancer-naïve CASA”.
As a consequence of the negative selection method of enrichment, a heterogeneous composition of rare cell types was observed that would come with phenotypic overlaps between different rare cell types. The resulting ambiguous cell identification based on fluorescence signal alone would hamper our goal to distinguish between tumor-derived and systemic rare cell types. Phenotypic overlap was, in particular, frequent at the dim fluorescence emission level. For example, positive EpCam signals should be specific for circulating epithelial cells, but these signals may arise from co-expression in endothelial cells [
16], or auto-fluorescence in inflammatory or activated cells [
26,
27]. Therefore, the inadequacy of rare cell classification based on phenotyping alone has led us to look deeper into cellular morphology.
It was found useful to classify epithelial cells as identified by the EpCam+/CD45-/Hoechst+ phenotype into circulating epithelial events (CEE) and CTC. CEE and CTC were distinguishable with respect to size, texture under bright field and EpCam signal level. Morphological considerations also allowed us to identify 6 classes of CTC as well as a distinct CEE morphology, as shown in
Figure 1 and
Table 3. This classification may be helpful in distinguishing cancer-present CASA and cancer-absent CASA, which appear as “tumor” and “systemic”, respectively in
Table 3 in the row labeled “Cancer association”.
Table 3.
Morphological identification criteria for circulating epithelial-like cells.
Table 3.
Morphological identification criteria for circulating epithelial-like cells.
|
Class 1 |
Class 2 |
Class 3 |
Class 4 |
Class 5 |
Class 6 |
Non-CTC and CTC in suspicion |
Cell feature |
Fully nucleated regular large |
Round cell (Classic CTC) |
Leukocyte-like |
Extreme large cells |
Multi-nucleation |
Cell pairs/ Clusters |
CEE |
Cell Shape |
oval or roundish |
roundish to absolute round |
Variable |
Oval to round |
Variable |
Oval to round |
All shapes, cell budding |
BF appearance |
Clear outer membrane rim with convex cell body, no inner or second membrane, heterogeneous texture
|
Strong membrane rim, heterogeneous texture |
Strong inner or outer membrane rim heterogeneous or segmented texture |
heterogeneous or segmented texture |
Heterogeneous |
Strong membrane rim heterogeneous texture |
various membrane rim, homogeneous or patterned |
Cell diameter (major axis) |
10.5-18µm |
9.5-14µm |
8-18µm |
>18µm |
>8-18µm |
>10 µm |
6-18µm |
EpCam staining intensity |
Dim - Low |
Low |
Dim - High |
Dim - Low |
Dim - Low |
Dim - Low |
Dim |
EpCam staining distribution |
Partly strong, all cell or outer membrane |
Clear membrane |
Intracellular or partial/ exceeding Nucleus location |
Intracellular or Partial |
Intracellular or Partial |
Intracellular or Partial |
Intracellular, often overlaid with nucleus |
Nucleus Staining |
Low - High |
Dim-Low |
Dim-Low |
Low-High |
Dim-Low |
Dim-High |
Dim -Low |
Nucleus texture |
Homogeneous, no clear centre, |
Homogeneous or rimed |
Heterogeneous, polarized, nucleoli |
Heterogeneous |
Heterogeneous |
Heterogeneous |
homogeneous |
Nucleus shape |
cell shape aligned |
oval to round |
Variable, not aligned |
Variable, not aligned |
Variable, not aligned |
oval to round |
Oval, round |
N/C-Ratio |
>0.8 |
~0.5 |
~0.5 – 0.8 |
~0.5 – 0.8 |
~0.5 – 0.8 |
~0.5 – 0.8 |
~0.5 <1 |
Cancer Association |
Tumor |
Systemic |
Systemic |
Tumor |
Systemic |
Tumor |
Systemic/Tumor |
EpCam signal in CTCs was usually dim or low with intracellular or partial membranous distribution and most CTCs would not stand out from a background of WBCs. A careful and time-consuming inspection of these images would be required for their identification.
Class 1 CTC is characterized by a full nucleus with rather homogeneous distribution of chromatin, with a relatively large cellular size (>10.5 µm in major diameter), and EpCam signal within cellular boundaries (
Figure 1). The morphology was described in literature and herein found distinct enough to classify as a subtype [
28]. An epithelial event with a full nucleus but with weak and declining Hoechst signal from the centre towards the membrane would be considered an apoptotic cell and were classified as CEE. Class 1 CTC events <10.5 µm were classified as Class 3 CTC. The cut-off in diameter denoted a reader estimation and yielded sufficient specificity as will be shown in the following. Larger cells with an irregular convex shape and clear rims under bright-field microscopy are distinct from cellular artifacts, and were also classified as CEE (see
Figure 1). The identification of a convex shape helps support the notion of a natural, full-cell nucleus; since an artifactual full nucleus may have been incurred by physical force due to repeated centrifugation prior to imaging analysis. The naturally occurring full-cell nucleus could be explained by a cellular process of nucleus expansion, which would increase cellular stability as a counter-measure to increased shear force in the circulation [
28] denoting a morphological adaptation to a new and rough environment upon egress from the tumor. This implies that class 1 CTCs are a part of cancer-present CASA. The evidence for this is the high (> 90%) Class 1 response rate to surgical intervention in 9 out of 14 cancer subjects. The difference between pre- and post concentration levels was significant (p=0.005). The high response rate means that most of these cells are within normal range after surgery. Further evidence is that the class 1 CTC cut-off at 2 cells per 5 mL has good sensitivity and specificity in distinguishing cancer-present subjects from cancer-absent (surgically removed) and cancer-naïve subjects (64% sensitivity and 98% specificity) [AUC = 0.90; 95% CI: 0.79 to 0.99].
Class 2 CTC has full membrane staining, dim or low EpCam signal, and relatively small oval to round off-centre nucleus. These cells correspond to the classic CTC morphology with similarities to those reported by the Cell-Search system and thus, deemed a suitable for subtyping. Class 2 CTC were frequently found in cancer subjects both before and after surgery, but not in non-cancer and healthy control cohorts. Thus, Class 2 CTCs are both cancer-present and cancer-absent CASA, suggesting cancer-associated processes partly independent of the primary cancer.
Class 3 CTC is identified by a relatively strong, active nuclei and sometimes abnormal shapes (figure 1) along with EpCam patches overlapping with bright-field images, independent of the location of the nucleus, or having clear membrane staining. Therefore, Class 3 CTC denoted a class that comprehended all other morphological variations and might benefit from further subtyping in future investigations. Class 3 CTC can be found in cancer subjects both before and after surgery, but can also be found in cancer-naïve subjects with chronic illnesses. However, the maximum concentration of Class 3 CTC in cancer-naïve subjects was 7 cells per 5mL.
Classes 2 and 3 CTC showed variable changes in cell concentration after surgery, yet the reduction was still significant (p=0.035). These changes were low on average 43.8%±37.7 from 14 positive (without cutoff) out of 14 patients, ranging from 1 to 41 cells (median 7.5 cells per 5mL before surgery, and median 6 cells per 5mL after surgery), which seems to imply the usefulness of classes 2 and 3 CTCs as being diagnostic for cancer status regardless of the presence of cancer, i.e they are cancer-absent markers. The optimal cut-off at the cell concentration ≥ 4 cells per 5mL provides a sensitivity of 71% and a specificity of 93% [AUC=0.92; 95% CI: 0.85 to 0.99] when tested against healthy and non-cancer subjects.
Classes 4, 5, and 6 CTC include extremely large, multi-nucleated cells seen in pairs or clusters. These cells were extremely rare in the present study and were detected only before surgery. Although this finding seems to be a part of cancer-present CASA, the limited data precludes any definitive conclusion.
CEEs are represented by a broad spectrum of cellular and nuclear morphology. CEEs are often smaller in size in the healthy subject when compared to cancer cohort, with dim intracellular Epcam expression that overlapped with the location of the nucleus (
Figure 1). In the cancer subject, CEEs include cells that could not be grouped into CTC classes as defined previously. Because of this heterogeneity, the cell types comprising CEEs are unknown. Assuming that the EpCam signal is genuine, or caused by auto-fluorescence, non-epithelial cell types with low or co-expressing EpCam such as endothelial-like cells are most likely to be the major cell type in CEEs [
16,
29].
CEEs were detected in all subjects. The range of cell concentrations in healthy subjects was between 41 to 268 cells per 5mL (average 106.1 cells per 5mL), in non-cancer subjects this was 60 to 657 cells per 5mL (average 295.4 cells per 5mL), and in cancer subjects before surgery, 93 to 474 (average 231.9 cells) cells per 5mL. To explain the extensive overlap of concentrations among different subjects, we assume that the majority of CEEs are the result of tissue micro-lesions or impaired cell removal independent of clinical illness.
The usefulness of CEE as a marker of systemic abnormality in general may be indicated by the higher cell concentration above the normal range. The cut-off for the determination of abnormal status regardless of disease severity can be estimated using the data from healthy subjects. Using the limit of detection (LOD) criterion, defined as the minimum 1.68×SD, in healthy subjects the LOD was 223 cells per 5mL, so the cut-off at 225 cells per 5mL was used in the present study. Applying this cut-off, CEE elevation was detected in 6 of 14 breast cancer subjects before and in 3 of 14 subjects after surgery, respectively at up to twice the cut-off value. These elevated CEEs are likely cancer-present CASA, despite the relatively weak decrease of 55.7%±42.8% in CEE concentration after surgery.
The reason we believe our data may support the presence of cancer-derived cellular material within the CEE population was the detection of strong response to surgery in 4 of 6 cancer subjects with elevated CEE concentration before surgery, decreasing to within the normal range after surgery. A follow up, longitudinal study of an unhealthy, non-cancer individual seems to show stable CEE concentration with time (within one month), supporting the notion of CEE as a marker of chronic abnormality (data not shown). We therefore declare CEE as cancer-present CASA, but only in the setting of cancer subjects.
A second diagnostically most informative group of cells in the CASA panel (
Table 2) are the CECs. These rare cells comprise a vast spectrum of cell subtypes with respect to function and origin. Subsets of CEC may be cancer-derived or detected in the presence of cancer, and may represent evidence of dysfunctional tumor microvasculature or neoangiogenesis, that is, representing ongoing tumor growth.
CEC may also be bone marrow-derived as part of a damage and repair process as well as originate from lymphnodes or any vascular lesion in the body. CECs are commonly present in many types of vascular disorders [
33], with associated endothelial dysfunction [
30], including certain benign or malignant tumors [
16], in hypertensive disorders, pulmonary hypertension [
31], and various heart diseases [
32].
Because of the low specificity of endothelial markers such as CECs, the demonstration of a causal association between CEC and breast cancer may require substantial knowledge of patient co-morbidities and detailed cancer characteristics, and may possibly require knowledge of single cell genetic alterations typically found in association with cancers [
15]. Our present approach is to describe a sensible classification of CEC morphologies whose association with cancer can be demonstrated by their presence or absence after surgical treatment.
CEC may be similar in size and morphology to leukocytes, requiring their identification by the CD31+/CD45-/Hoechst+ phenotype. However, in the present study we disregarded these CECs and focus on those which are morphologically distinct from the rest of the cells found in the enriched blood samples, and distinct from other CEC subtypes. Thus, we did not require additional phenotype identification. We simply classify these cells as being either normal endothelial-like cells, including progenitors, or abnormal CEC when they are morphologically distinct (
Figure 2).
CEC abnormality is represented by multi-nucleated cells, aggregation of mature endothelial cells [
33,
45] or clustering of progenitor cells. Further abnormality includes cellular aberration, showing multiple irregular nuclei including chromosomal irregularity (
Figure 2). With increasing abnormality, the presence of cancer is increasingly likely [
15]. We have therefore classified CEC events as normal (nCEC), abnormal(aCEC) and aberrant (tCEC). CEC assumed to be associated with cancer is represented by aCEC and tCEC.
nCECs were frequently found in control subjects (2 of 10 in healthy and 6 of 9 in non-cancer subjects). Also, 8 of 14 cancer subjects before surgery were nCEC positive in the range 1 to 67 cells per 5mL, and in 9 of 14 subjects after surgery, showing a decrease of 63.8% ± 46.0% with de-novo appearance in 3 of 9 post-surgery positive subjects. It seems that nCEC may be related to surgery-induced vascular damage.
Aberrant CEC or tCEC is of special interest. All tCEC positive subjects before surgery (6 of 14) were negative for this cell type after surgery, but de novo emergence occurred in one subject after surgery. The average reduction was 85.7%±37.8%, a significant association with surgical intervention and would corroborate previous findings [
51]. When including the de-novo positive subject, the specificity was 93% for cancer-presence. Because none of the healthy (n=20) or non-cancer subjects (n=9) was positive for this marker, and prior cytopathological knowledge seems to associate tCEC with severe vascular dysfunction, we interpret the status of the only de-novo positive subject as a true positive for cancer and set the abnormality cutoff to 1 cell per 5mL. Consequently, the sensitivity of this marker for breast cancer is 43%, with a PPV of 70% and a NPV of 83%.
Abnormal CECs were detected in 5 of 14 cancer subjects before surgery. After surgery, 4 subjects were positive, with 2 being de-novo. The average reduction was 50%±53.5% and seems to argue against aCEC as being related to cancer. Also, aCEC was observed in 3 non-cancer subjects. Therefore, the usefulness of aCEC was limited, although these cells may be used in conjunction with tCEC to help predict systemic cancer. The combination aCEC and tCEC in association with cancer status, points to an abnormality cut-off of 1 cell per 5mL.
CEB are classified as having normal or abnormal morphology according to our previous work [
21]. These cells are highly sensitive in predicting bone marrow pathology referred to as BMD and may provide insight into cancer behavior and response to treatment. Although the detection of CEBs should always be considered abnormal, these cells may indicate cancer-presence when invasion of tumor cells into the bone marrow has occurred [
21]. An elevation above the previous established median cell concentration of 7.5 or 8 cells per 5mL could serve as an indicator of abnormality for purposes of cancer diagnosis [
24]. As can be expected in early-stage breast cancer without prior systemic treatment, only 4 of 14 cancer subjects showed mild BMD as indicated by the presence of abnormal CEB, denoted aCEB in
Table 3, in the range of 1 to 4 cells per 5mL.
CIC have been shown in previous work to indicate cancer-presence, depending on morphological irregularity [
22]. A cut-off greater 5 cells per 5mL was established for normal CIC (nCIC) based on the LOD determination. Concentrations above the cut off would indicate any non-specific abnormality. Indeed, because the average decrease after surgery was only 25.2% ±33.0%, it seems that nCICs are unrelated to cancer-presence.
However, CICs with positive CD44i35 status, denoted as aCIC, show a positive predictive value of 87% for cancer status. Systemic abnormality as defined by the combination of nCIC elevation beyond cutoff or the presence of aCIC cells alone was found in 10 of 14 cancer subjects. aCIC alone was found in 6 of 14 subjects. The average reduction of aCICs after surgery was 53.6%±51%, but was highly variable. Three subjects had CIC levels returning to normal, but 4 did not, which included 2 de-novo cases as well. These findings seem to support a systemic cancer component, as part of cancer-absent CASA, independent of primary cancer.
3.3. Diagnostic Performance
We examined the association between cell types in the CASA panel and breast cancer status regardless of surgical status, as well as their association with breast cancer presence, before surgery, and absence after surgery. In addition, we gained insight into possible surgery-related systemic side effects. In
Supplementary Table S2, cancer-present CASA panel includes 3 cell categories: CEE, CTC classes 1, 4 and 6 denoted tCTC, and the aberrant CEC cells denoted tCEC. In the same table, cancer-absent CASA panel include 5 categories: CTC classes 2, 3 and 5 denoted sCTC, nCIC, aCIC, aCEB and aCEC, as defined previously. Panel of cells associated with side effects could be defined as those least associated with cancer but showing elevation after surgery. It was found that the combinations of normal and abnormal CEB, CEC and CIC (CEBall, CECall, CICall, respectively, in
Supplementary Table S2 were strongly associated with surgical status, but not with cancer, and hence were candidate panels for side effects. The diagnostic performance of markers and combinations therefore specific to tumor-presence was of further interest. Cancer-present subjects were those with the presence of primary tumor before surgery, of whom there were 14. Cancer-absent subjects were those without the primary tumor after surgery, which included the same 14 subjects with breast cancer. Cancer naïve subjects included 20 healthy and 9 non-cancer subjects with some form of illness, as previously described. We used tCTC as the lead marker. We paired tCTC with one other marker, either tCEC, or CEE. We selected 2 cutoff values for tCTC, at 1 and 2 cells per 5mL, for detailed examination. The cutoff for tCEC was set to 1 cell per 5mL, as in most patients only 1 cell per 5 mL was detected. The cutoff for CEE was 225 cells per 5mL, as described previously. We chose the tCTC cutoff at 2 cells per 5mL, as the combined tCTC at this cutoff paired with either tCEC or CEE has a specificity as well as a positive predictive value of 100%, as shown in
Table 4. The results may support a reasonable prediction of tumor-presence at given marker combinations.
Table 4.
Sensitivity, specificity and predictive values for cancer presence at various tCTC cut-offs.
Table 4.
Sensitivity, specificity and predictive values for cancer presence at various tCTC cut-offs.
|
Cancer present N = 14 |
Cancer absent & cancer naïve N = 43 |
Predictive values |
tCTC cut off at 1 cell/5 mL |
|
tCTC ≥ 1 and (tCEC ≥ 1 or CEE ≥ 225)* : Positive test
|
10 |
3 |
PPV: 76.9% |
(tCTC = 0 or tCEC = 0) and (tCTC = 0 or CEE < 225)*: Negative test
|
4 |
40 |
NPV: 90.9% |
Sensitivity & specificity |
Sensitivity: 71.4% |
Specificity: 93.0% |
|
tCTC cut off at 2 cells/5 mL |
|
tCTC ≥ 2 and (tCEC ≥ 1 or CEE ≥ 225)*: Positive test
|
7 |
0 |
PPV: 100% |
(tCTC < 2 or tCEC = 0) and (tCTC < 2 or CEE < 225)*: Negative test
|
7 |
43 |
NPV: 86.0% |
Sensitivity & specificity |
Sensitivity: 50.0% |
Specificity: 100% |
|
Table 5.
Sensitivity, specificity and predictive values for cancer status, regardless of presence of tumor.
Table 5.
Sensitivity, specificity and predictive values for cancer status, regardless of presence of tumor.
|
Cancer, before & after surgery N = 28 |
Cancer naïve N = 29 |
Predictive values |
sCTC only; cut off at 3 or 4 cells/5 mL (see text) |
|
sCTC ≥ 3 or 4*: Positive test
|
21 |
1 |
PPV: 95.5% |
sCTC < 3 or 4*: Negative test
|
7 |
28 |
NPV: 80.0% |
Sensitivity & specificity |
Sensitivity: 75.0% |
Specificity: 96.6% |
|
sCTC cut off at 3 or 4 cells/5 mL combined with aCEC, aCIC or aCEB |
|
sCTC ≥ 3 or 4 and (aCEC ≥ 1 or aCIC ≥ 1 or aCEB ≥ 1)*: Positive test
|
16 |
0 |
PPV: 100% |
(sCTC < 3 or 4 or aCEC = 0) and (sCTC < 3 or 4 or aCIC = 0) and (sCTC < 3 or 4 or aCEB = 0)*: Negative test
|
12 |
29 |
NPV: 70.1% |
Sensitivity & specificity |
Sensitivity: 57.1% |
Specificity: 100% |
|
In a similar manner, the diagnosis of cancer regardless of the presence or absence of the primary tumor can be done using sCTC as the lead marker, paired with any one of aCEC, aCIC or aCEB. These cellular markers may represent some systemic disease related to cancer. The cutoff for sCTC was set to 3 cells per 5 mL if at least 2 sCTC cell types were detected, and to 4 cells per 5mL if only class 3 CTC cells were detected. The cutoff for all other markers aCEC, aCEB and aCIC was set at 1 cell per 5mL, as none of these cells were detected in healthy subjects. sCTC as a stand-alone marker was able to achieve a specificity of 97%, with only 1 non-cancer subject misclassified due to a class 3 CTC concentration higher than the cutoff (see
Table 5). However, the combined marker approach achieved 100% specificity and 100% PPV. Another interesting diagnostic approach would be to use the combination of sCTC and tCTC to diagnose primary cancer prior to surgery, as both are useful markers for cancer presence. Using the previous recommended cutoffs, the specificity and NPV for cancer remained high, but now the sensitivity and NPV for cancer are also very high as well, as can be seen in
Table 6. Interestingly, the 2 false negative cancer subjects in Table 7 were actually positive for cancer according to the markers tCEC and aCIC.
We used all detectable rare cells in the categories denoted CEBall, CECall, CICall as the panel for the side effects of surgery, shown in
Supplementary Table S2. The overall average relative increase of 2.8 times suggests that surgery negatively affects homeostasis of the rare cell population, as can be expected due to repair and recovery mechanisms still taking place after 2 weeks. The CEB panel is highly sensitive to any kind of interference to bone marrow homeostasis as has been reported previously. In the present study, 13 of 14 cancer subjects showed CEB elevation after surgery, with an average relative increase of 3.2 times (
Supplementary Table S2). The changes in CEC levels, which should represent vascular damage, were highly variable, with only 3 subjects showing an increase, 5 remaining stable, and the rest did not have detectable CECs after surgery. Similarly, changes in CIC levels after surgery were highly variable, with 6 of 14 showing elevation and the rest showed decreased levels. We categorized “response to surgery” as complete, strong, partial and no response. A complete response refers the reduction of the CASA marker concentrations after surgery to below cutoff, or to normal, concentration levels. For the CTC panel, as defined in the previous section, complete response is seen in 5 of 14 subjects after surgery. Responses to surgery other then “complete” were rated according to the response average. Seven out of 14 subjects were rated as strong or partial responders with an average response rate in range of 25% to 70% (strong response: >65%). Lastly, two subjects were rated as non-responders with an average response rate lower than 25%.
Finally, all epithelial events including CTC and CEE were found unrelated to cancer stage. Furthermore, levels of both CIC types in subjects before surgery were found unrelated to the Systemic Immune-Inflammation Index (see
Table 1) (nCIC: R
2=0.005 and aCIC: R
2=0.14). However, we observed a correlation between heightened CASA abnormality, either in CEB and/or CEC, and the more aggressive Her-2+ and/or triple negative breast cancer subtypes, with correct classification in 13 out of 14 cancer subjects (p<0.005). This finding might support the notion that breast cancer aggressiveness is associated with increased systemic involvement.