
Clinical Cancer Research Vol. 6, 2794-2802, July 2000
© 2000 American Association for Cancer Research
Molecular Oncology, Markers, Clinical Correlates |
Human Leukocyte Antigen Class I Allelic and Haplotype Loss in Squamous Cell Carcinoma of the Head and Neck: Clinical and Immunogenetic Consequences
Jennifer Rubin Grandis1,
Dewayne M. Falkner,
Mona F. Melhem,
William E. Gooding,
Stephanie D. Drenning and
Penelope A. Morel
Departments of Otolaryngology and Pharmacology [J. R. G., S. D. D.], Medicine [D. M. F., P. A. M.], and Pathology [M. F. M.], University of Pittsburgh and the University of Pittsburgh Cancer Institute [J. R. G., P. A. M., W. E. G.], Pittsburgh, Pennsylvania 15213
 |
ABSTRACT
|
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The expression
of human leukocyte antigen (HLA) class I molecules on the cell surface
is necessary for the presentation of peptide antigens to cytotoxic CD8+
T lymphocytes of the immune system. Down-regulation of HLA class I gene
expression has been implicated in tumorigenesis, including squamous
cell carcinoma of the head and neck (SCCHN). Loss of MHC class I
antigens may be one mechanism by which tumor cells escape immune
detection. We performed prospective immunostaining of 26 primary SCCHN
tumors and samples of normal mucosa harvested several centimeters away
from the primary tumor, using a large panel of antibodies directed
against allele-specific as well as monomorphic determinants of HLA
class I molecules. Loss of expression of HLA class I proteins in the
tumor was found in 50% (13 of 26) of primary tumors and was highly
correlated with HLA loss in the corresponding normal mucosa
(P < 0.0001). Further analysis demonstrated that
the loss of HLA class I expression in the tumor was significantly
associated with regional lymph node metastases (nodal stage;
P = 0.0388), and that the number of HLA class I
alleles lost in the normal mucosa was associated with subsequent
development of a new primary aerodigestive tract cancer
(P = 0.042). A patient with two metachronous
cancers available for analysis had no evidence of HLA loss in the first
tumor, demonstrated allelic loss in the second cancer, and subsequently
died of disease. These results suggest that the loss of expression of
HLA class I alleles may have prognostic implications.
 |
INTRODUCTION
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The immune response against tumors is, in many cases, dependent on
an efficient CTL response. CTLs recognize antigenic peptides bound in
the cleft of MHC class I molecules and can be stimulated to kill cells
expressing peptides for which they are specific. During the course of
tumor establishment, cancers evolve strategies to evade the specific
CTL response. These strategies have included the secretion of
immunosuppressive cytokines, such as transforming growth factor
ß (1)
, and the induction of apoptosis via tumor cell
expression of Fas ligand (2)
.
It has been known for some time that certain tumors can down-regulate
or lose the expression of MHC class I proteins (3)
.
HLAs2
are cell surface
glycoproteins, encoded by a sequence of genes, which are inherited as
codominant alleles. Decreased expression of HLA class I molecules by
malignant cells may be an effective strategy for evading host
immunosurveillance. Several potential mechanisms for MHC class I loss
have been identified, including the loss of expression of the TAP
proteins, which are important in the MHC class I antigen-processing
pathway, resulting in the tumor cell losing expression of all MHC class
I alleles (4)
. Global loss of MHC class I alleles occurs
infrequently in human tumors, which may be explained by expression of
killer inhibitory receptors on NK cells (5)
. Killer
inhibitory receptor molecules recognize MHC class I, and, when they
engage their ligand, NK cell-mediated lysis is inhibited (6
, 7)
. Therefore, a cell that is totally devoid of MHC class I
expression may be able to evade specific CTL recognition but would
remain a good NK cell target. Some tumors seem to lose expression of
single HLA-A or B alleles while retaining
the expression of the other HLA alleles (3
, 8
, 9)
. Such a
partial HLA loss may be advantageous to the tumor because it
potentially allows for the escape of tumor cells from CTLs directed
against immunodominant epitopes, presented by the lost HLA allele,
while maintaining resistance to NK cell lysis. Several studies have
shown that MHC class I allelic loss may occur frequently in human
malignancy, being reported in almost 90% of breast cancers
(10)
and 85% of prostate tumors (11)
.
Although data are limited, in some cases, the loss of HLA expression
has been correlated with tumor aggressiveness and metastatic potential
(12)
.
SCCHN is the most common malignancy of the upper aerodigestive tract.
Individuals who develop one head and neck tumor are at high risk for
additional cancer formation at the rate of 36% per year
(13)
. Patients who develop a second aerodigestive tract
cancer demonstrate only a 25% five-year survival (14)
.
Because the histologically normal mucosa of SCCHN patients is at risk
for tumor development, genetic alterations in the aerodigestive tract
mucosa are likely to represent early events in head and neck
carcinogenesis. Therapies that target these alterations may effectively
prevent tumor formation. Previous studies examining HLA expression in
SCCHN specimens have chiefly used antibodies recognizing monomorphic
determinants shared by HLA class I molecules (15, 16, 17)
. In
general, one-third to one-half of head and neck tumors demonstrate
aberrant HLA class I expression (18, 19, 20)
. The recent
availability of allele-specific antibodies allows a more detailed
analysis. Using a wide panel of allele-specific antibodies in
conjunction with the HLA and Cancer Committee of the 12th International
Histocompatibility Workshop and Conference, we investigated the
association between HLA class I loss in the primary SCCHN tumor and
derangements of HLA expression in the uninvolved normal mucosa from
SCCHN patients with established clinical and pathological parameters.
 |
MATERIALS AND METHODS
|
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Patients and Tissue Samples.
All of the patients were treated at the University of Pittsburgh
Medical Center. Tissue and blood were harvested under the auspices of
the head and neck cancer tissue bank protocol, which was approved by
the Institutional Review Board. All of the patients meeting the
following criteria were selected for study: (a) a
histologically confirmed diagnosis of SCCHN (oral cavity, oropharynx,
hypopharynx, or larynx); (b) primary surgical resection with
curative intent occurring during the period from August 1994 through
November 1995; (c) absence of distant metastases; and
(d) availability of PBMCs and tumor tissue snap-frozen at
the time of resection (i.e., neither formalin-fixed nor
paraffin-embedded). Thirty-one patients met entry criteria.
Of the participating patients, complete HLA typing could not be
completed on 4 patients, and there was no tumor detected in the tissue
harvested from 1 patient, which made 26 patients available for complete
analysis. One patient developed a second head and neck cancer during
the course of the study, which was included for immunohistochemical
staining, for a total of 27 tumors. Normal tissue was not available for
two patients. Twenty-four patients had immunohistochemical
analysis of HLA expression of both tumor and corresponding normal
mucosa. Clinical follow-up was available for all of the patients until
May 1999. Clinical follow-up was generally performed every 23 months
for the first 2 years and every 6 months thereafter. Pertinent patient
information was abstracted from the computerized head and neck tumor
registry.
All of the patients were treated with curative intent. Each underwent
complete surgical resection of the primary tumor with negative surgical
margins and 23 (88.5%) of the 26 patients underwent dissection of the
cervical lymph nodes with pathological staging of the regional
lymphatics (N stage). Clinical staging was conducted in accordance with
the American Joint Committee on Cancer tumor-lymph node-metastasis
(TNM) classification at the time of surgery (21)
. Of the
26 patients, 2 (8%) were initially treated with radiation therapy
followed by surgery, 18 (69%) received postoperative external beam
radiation, and 4 (15%) were treated with adjuvant chemotherapy. The
vital status of each patient was classified as: alive, dead of disease,
or dead of other causes. All of the patients who were alive at the end
of the follow-up period had no evidence of disease. The clinical and
pathological characteristics of the 26 patients are outlined in Table 1
.
HLA Typing.
PBMCs were isolated from each patient by centrifugation on a Ficoll
Hypaque gradient. Serological typing for HLA-A, -B, and -C was
performed on the PBMCs using the standard microlymphocytotoxicity assay
with commercially available serum trays (One Lambda, Canoga Park,
CA).
Immunohistochemical Analysis.
At the time of surgery, part of the tumor and a sample of normal mucosa
harvested several centimeters away from the tumor were snap-frozen in
liquid nitrogen and stored until use. Sections (7-µm) were cut from
each tumor and normal mucosa sample, air-dried for 418 h, and fixed
in acetone for 10 min. The slides were stored at 4°C until further
use. The slides were stained for the expression of HLA class I alleles
using the Vectastain ABC kit (Vector laboratories, Burlingame, CA).
Briefly, the slides were first rinsed in PBS, preincubated for 30 min
at room temperature with 1.5% normal horse serum, and then
incubated with the test antibody for 1 h at room temperature.
After washing, the slides were incubated with biotinylated goat
antimouse IgG for 30 min at room temperature and were washed and
further incubated with avidin-peroxidase (Vectastatin ABC reagent) for
1 h. The slides were washed and incubated with the enzyme
substrate (DAB, Dako). The slides were washed and counterstained
with Meyers H&E stain (Sigma).
The mAbs were initially tested for suitability for use in
immunohistochemical analysis and used in the 12th International
Histocompatibility Workshop (22)
. These mAbs were pan-HLA
class I-specific, locus-specific, or allele-specific, and many of the
common HLA-A alleles could be identified with these
antibodies. There were fewer HLA-B-specific mAbs, but
anti-Bw4 or anti-Bw6-specific mAbs were used facilitating
discrimination in cases in which the individual was Bw4/Bw6
heterozygous. A listing of the antibodies used is provided in Table 2
. An additional mAb (16.1)a mouse IgM
mAb kindly provided by Dr. Marilyn Marrari (University of Pittsburgh,
Pittsburgh, PA)was used to detect the HLA-A1 and
-A11 specificities. Negative control antibodies included
isotype-matched murine mAbs, and, in addition, a mAb was included of a
specificity that was known, from the HLA typing, not to be expressed by
that particular patient.
The slides were read in a blinded fashion by two individuals,
(J. R. G., M. F. M.) including a pathologist, and were scored
according to the criteria set up by the 12th International
Histocompatibility Workshop (22)
. The tissue (tumor or
normal mucosa) was scored as negative for a particular allele only if
staining of the surrounding stroma could also be visualized, which
demonstrated that the lack of staining in the target tissue was
specific.
Statistical Analysis.
Statistical analysis was performed on the entire patient
population. Survival was measured in months from the date of surgery to
the date of death or to the last follow-up. Disease-free survival was
defined as the time from tumor resection until the first evidence of
tumor recurrence or the development of a new primary tumor of the upper
aerodigestive tract. Cause-specific survival was based on death
attributable to the progression of the head and neck cancer as distinct
from death attributable to other causes. All of the surgical resections
were considered curative rather than palliative. Prognostic covariates
included in the analysis were sex, age, tumor site, tumor grade, stage
lymph node stage, presence of ECS, and the loss of HLA class I antigen
expression in the tumor and normal mucosa. For statistical analysis,
loss of class I antigen expression was classified as the loss of none,
one, or two or more alleles. Allele loss in the tumor was
cross-classified with allele loss in normal tissue, and each was
cross-classified with the clinical and pathological variables: T-stage,
N-stage, ECS, recurrence of original tumor, or growth of a new primary
tumor. Each pair of cross-classified variables was tested for
independence as well as for specific hypotheses appropriate for the
levels of measurement, including tests of symmetry or trend
(23)
. All of the statistical tests of
cross-classified data were derived from the exact permutation
distribution of the test statistic using the software package
Statxact (24)
. Differences in progression-free survival
and cause-specific overall survival attributable to allele loss were
examined by the log rank statistic.
 |
RESULTS
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Loss of Expression of HLA-A or -B
Alleles Is Common in SCCHN Tumors.
Full HLA typing was obtained on 26 of the 31 patients, and the HLA
types are shown in Table 3
. The
frequency of specific HLA-A or -B alleles
in this group of patients was similar to that in previously reported
cohorts of normal Caucasian controls (25)
.
Immunohistochemical analysis of tumor tissue from SCCHN patients
revealed no complete losses of MHC class I expression, because staining
with pan-specific mAb or with mAb specific for
ß2-microglobulin was positive in all of the
cases. Loss of expression of one or more alleles at the
HLA-A or -B locus was observed in 50% (13 of 26)
of the primary tumors tested (Table 3)
. Staining was heterogeneous, and
the tissue was considered to express the class I allele if >25% of
the epithelial cells (normal or transformed) stained with the
allele-specific antibody (Fig. 1)
. The
most common form of loss was that of a single HLA-A allele, which was
observed in 54% (7 of 13) of the primary tumors that exhibited loss of
HLA expression. Of the remaining tumors, two had lost expression of a
single HLA-B allele, two appeared to exhibit a haplotype loss with lack
of expression of one HLA-A and one HLA-B allele, and the remaining two
tumors had lost expression of two HLA-A alleles in conjunction with a
single HLA-B allele. Four (57%) of the seven
HLA-A11-positive individuals had lost expression of A11 on
their tumor, whereas only two (25%) of the eight
A2-positive individuals had lost tumor expression of
A2.

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Fig. 1. HLA class I allelic loss in a
representative SCCHN patient. A, immunohistochemical
analysis of HLA class I expression in the tumor using a mAb specific
for monomorphic determinants (W6/32) demonstrating strong tumor
staining. B, the same tumor stained with the
Bw4-specific mAb, 116-5-2, demonstrating loss of HLA-B57
expression. No staining is seen in the same sampled tumor
(C) or normal mucosa (D) stained with
negative control antibody (IgG).
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Loss of HLA Class I Expression in the Tumor Is Associated with HLA
Loss in the Normal Mucosa.
Genetic alterations found in normal mucosa from SCCHN patients are
generally considered early events in head and neck carcinogenesis.
Histologically normal mucosa, harvested several centimeters away from
the primary tumor, was obtained in most cases (24 of 26). Of the 13
primary tumors demonstrating HLA class I loss, normal mucosa was
available in 11 cases, and 8 (73%) of 11 also showed loss of the same
allele(s) in the normal tissue (Fig. 2)
.
Statistical analysis demonstrated that HLA class I loss in the tumor
was highly correlated with HLA loss in the corresponding normal mucosa
from the same patient (P < 0.0001; Table 4
).

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Fig. 2. Loss of HLA class I alleles in the SCCHN tumor
and corresponding normal mucosa. A, immunohistochemical
staining of a representative tumor and B, normal mucosa
using mAb specific for monomorphic determinates (W6/32) showing strong
staining. C, staining of the same patients tumor and
(D) normal mucosa using mAb specific for
A2A28, demonstrating loss of allelic expression.
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HLA Allelic Loss Is Tumor-Specific and Loss in the Normal Mucosa
Correlates with Subsequent Development of a New Primary Cancer.
All of the patients underwent curative surgical resection as treatment
for their tumors. A second primary tumor of the upper aerodigestive
tract developed in 7 patients during the course of the study period,
and 9 patients developed local or regional recurrence or distant
metastases. Three patients had both a recurrence of their original
tumor and the development of a new primary aerodigestive tract tumor.
Two primary metachronous tumors from one patient were available for
analysis. In this case, there was no loss of HLA class I allele
expression in the first tumor. However, the second tumor, arising 15
months later, demonstrated loss of HLA-A3, and the patient
succumbed to that cancer (Fig. 3)
. Of the
26 patients entered in the study, 14 died12 from their head and neck
cancer and 2 from other causes (i.e., not as a result of
carcinoma of the upper aerodigestive tract). The median follow-up for
the 12 surviving patients was 41 months (range, 2050 months).

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Fig. 3. HLA class I loss is tumor-specific.
A, representative staining with the
HLA-A3-specific mAb, 160-30 of the initial SCCHN tumor
demonstrating expression of HLA-A3 in the first tumor.
B, staining of the second primary tumor 15 months later
in the same patient showing loss of expression of A3.
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We investigated whether HLA class I allelic loss in the tumor (or
normal mucosa) correlated with clinical and pathological parameters.
HLA loss in the tumor or normal mucosa was not associated with tumor
stage, ECS, recurrence of the primary tumor, disease-free survival, or
overall survival. However, loss of HLA class I expression in the tumor
was significantly associated with nodal stage (P =
0.0388). The degree of allelic loss in the normal mucosa was associated
with the development of a new primary head and neck cancer (Table 5)
. When allele loss was coded as 0, 1,
or 2-or-more alleles lost, the exact
2
test of
independence was significant (P = 0.0075) as was the
Mantel trend test (P = 0.0421), which suggested that
the risk of developing a new primary tumor increases with the number of
alleles lost in the "at risk" normal mucosa.
 |
DISCUSSION
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Loss of HLA antigen expression is considered to be one of the
mechanisms whereby tumor cells escape immune surveillance. Many human
tumors appear to lose expression of one or more HLA alleles. In most
cases, the loss is restricted to a single HLA-A or
HLA-B allele and rarely involves a total loss of HLA class I
expression. We found that 50% of SCCHN tumors demonstrated HLA allelic
loss that was highly correlated with loss of HLA expression in the
normal mucosa harvested from the same patient. An earlier report
examined MHC class I and ß2 microglobulin loss
in premalignant oral mucosa and found no decrease in HLA expression in
tumors or dysplasias on the same specimen (26)
. Our
findings of allelic loss in both tumors and normal mucosa may be
explained, in part, by use of a large panel of recently available
allele-specific antibodies. None of the patients in our series had lost
expression of all HLA alleles, which demonstrates the importance of
assessing HLA expression with allele-specific antibodies. The observed
HLA losses in this series would not have been detected using mAbs
specific for monomorphic HLA determinants or for
ß2-microglobulin. A recent report confirmed
that the total loss of HLA class I and/or
ß2-microglobulin is not detected in SCCHN
tumors (27)
. Similarly, loss of
ß2-microglobulin was not detected in renal cell
carcinomas nor in corresponding nontransformed renal tissue
(28)
. These data probably reflect the fact that tumor
cells deficient in MHC class I expression become highly susceptible to
NK cell lysis and are eliminated.
Previous studies have reported conflicting data regarding the
association of HLA class I allelic loss and clinical outcome in cancer
patients. In breast and bronchogenic tumors, the loss of HLA expression
has been found to be associated with poor differentiation of the tumor
and an increased frequency of aneuploidy (10
, 12
, 29)
.
These results suggest that the loss of HLA expression enables the tumor
to evade the host immune response and to develop more aggressive
characteristics. Previous studies of HLA loss in head and neck cancer
have revealed a relatively high frequency of allelic loss that did not
correlate with survival (16
, 18
, 20) . Others have reported
an association between HLA class I expression and degree of
differentiation, T stage, and/or degree of leukocyte infiltration into
the head and neck tumor (17
, 30)
. Cancer survival is
multifactorial and unlikely to be determined by a single genetic
alteration. Our results demonstrate that allelic HLA loss in the tumor
or normal mucosa did not correlate with either overall or disease-free
survival. The association between HLA loss in the primary head and neck
tumor with the presence and extent of regional lymph node metastases (N
stage) suggests that loss of HLA class I alleles may contribute to
metastatic potential. Such an association has also been demonstrated in
cervical cancer (8)
. In studies in which both tumor tissue
and metastatic lymph nodes were available for analysis, the degree of
HLA loss in the draining lymph nodes was greater than that observed in
the primary tumor (4
, 10
, 31)
. The higher incidence of
antigenic loss in the metastatic tumors suggests that recognition of
HLA class I antigens by the host immune system could contribute to
solid tumor metastasis.
Earlier reports suggest an association between certain HLA loci
and the risk of developing squamous cell carcinoma (32)
.
In the present study, we have confirmed the moderately high frequency
(50%) of HLA allelic loss in SCCHN. Such a loss may influence the
induction or cytotoxicity of CTLs in their effector phase. The
molecular basis for reduced HLA class I expression is incompletely
understood. Prior studies have failed to detect mutations or gene
rearrangements of MHC class I genes or
ß2-microglobulin in human tumors although a
mutated ß2-microglobulin gene has been reported
in a colon cancer cell line (12
, 15
, 27
, 33)
. By examining
tumor tissue and corresponding early passage cell lines, Giacomini
et al. (34)
were able to determine that loss at
the protein level was not accompanied by complete, selective loss of
HLA-A or HLA-B allomorphs. Peptide-binding by MHC
class I molecules has been shown to be dependent on the cytosolic
interaction with TAP (35)
. Although we did not examine
expression of TAP proteins, data from earlier studies suggest that
down-regulation of TAP-1/TAP-2 may contribute to deficient antigen
processing in lung or head and neck cancers (27
, 36)
. The
high proportion of HLA-A11-positive individuals who have
lost expression of this allele in their tumor suggests that this allele
may be an important restriction element for cytotoxic T cells specific
for squamous cell carcinoma antigens. Few specific antigens have been
identified as targets in squamous cell carcinomas, although there have
been several reports of CTLs specific for these tumors (37
, 38)
. These CTLs, derived from individual patients, were found to
be restricted by HLA-A2 or -B44, but the specific
antigens recognized by these cells have not been specifically
identified (39
, 40)
. Our results suggest that
HLA-A11 may bind a tumor-derived peptide that can drive an
effective CTL response. A more comprehensive study of tumors is
necessary to determine the relative role, if any, of HLA-A11
in the presentation of peptides derived from SCCHN cells.
Few studies have examined HLA class I expression in premalignant
lesions or tissue at high risk for tumor formation. In both familial
and sporadic colon carcinogenesis, HLA antigens are reduced in
adenomas, as well as in histologically normal mucosa distant from the
adenoma (41, 42, 43)
. Decreased expression of MHC class I
alleles have been shown in dysplastic epithelium adjacent to the oral
cancer (26)
. Histologically normal mucosa from patients
with a primary SCCHN tumor at one aerodigestive tract site, is at high
risk for subsequent malignant transformation. The finding of genetic
alterations in this mucosa supports its malignant potential. We have
previously reported up-regulation of transforming growth factor
and
epidermal growth factor receptor in normal mucosa from SCCHN patients
as well as in premalignant dysplastic epithelium (44, 45, 46)
.
Previous studies have demonstrated an interaction between MHC antigens
and the EGFR system in squamous cell carcinoma cells in
vitro (47)
. The high degree of concordance between
HLA loss in the tumor and in the corresponding normal mucosa from the
same SCCHN patient suggests that HLA allelic loss may be an early event
in squamous epithelial carcinogenesis. The potential biological
significance of this finding is underscored by the strong correlation
between loss in the normal mucosa and subsequent development of a new
primary head and neck tumor. Introduction of MHC class I antigens into
tumors has resulted in abrogation of tumor growth in preclinical models
and is currently under investigation in head and neck cancer patients
(48)
. The loss of individual HLA class I alleles has
additional therapeutic implications for immunomodulation strategies,
such as the use of IFN-
and peptide-pulsed dendritic cells in these
patients.
 |
FOOTNOTES
|
|---|
The costs of publication of this article were defrayed in part by the payment of page charges. This article must therefore be hereby marked advertisement in accordance with 18 U.S.C. Section 1734 solely to indicate this fact.
1 To whom reprint requests should be addressed, at
Department of Otolaryngology, University of Pittsburgh School of
Medicine, 200 Lothrop Street, Suite 500, Pittsburgh, PA 15213. 
2 The abbreviations used are: HLA, human leukocyte
antigen; NK, natural killer; TAP, transporter associated with antigen
presentation; SCCHN, squamous cell carcinoma of the head and neck;
PBMC, peripheral blood mononuclear cell; mAb, monoclonal antibody; ECS,
extracapsular spread. 
Received 10/21/99;
revised 3/23/00;
accepted 3/23/00.
 |
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