Barnes, Michael

Purpose To determine the pathologic complete response (pCR) rate in estrogen receptor (ER) –positive primary breast cancer triaged to chemotherapy when the protein encoded by the MKI67 gene (Ki67) level was > 10% after 2 to 4 weeks of neoadjuvant aromatase inhibitor (AI) therapy. A second objective was to examine risk of relapse using the Ki67-based Preoperative Endocrine Prognostic Index (PEPI). Methods The American College of Surgeons Oncology Group (ACOSOG) Z1031A trial enrolled postmenopausal women with stage II or III ER-positive (Allred score, 6 to 8) breast cancer whose treatment was randomly assigned to neoadjuvant AI therapy with anastrozole, exemestane, or letrozole. For the trial ACOSOG Z1031B, the protocol was amended to include a tumor Ki67 determination after 2 to 4 weeks of AI. If the Ki67 was > 10%, patients were switched to neoadjuvant chemotherapy. A pCR rate of > 20% was the predefined efficacy threshold. In patients who completed neoadjuvant AI, stratified Cox modeling was used to assess whether time to recurrence differed by PEPI = 0 score (T1 or T2, N0, Ki67 < 2.7%, ER Allred > 2) versus PEPI > 0 disease. Results Only two of the 35 patients in ACOSOG Z1031B who were switched to neoadjuvant chemotherapy experienced a pCR (5.7%; 95% CI, 0.7% to 19.1%). After 5.5 years of median follow-up, four (3.7%) of the 109 patients with a PEPI = 0 score relapsed versus 49 (14.4%) of 341 of patients with PEPI > 0 (recurrence hazard ratio [PEPI = 0 v PEPI > 0], 0.27; P = .014; 95% CI, 0.092 to 0.764). Conclusion Chemotherapy efficacy was lower than expected in ER-positive tumors exhibiting AI-resistant proliferation. The optimal therapy for these patients should be further investigated. For patients with PEPI = 0 disease, the relapse risk over 5 years was only 3.6% without chemotherapy, supporting the study of adjuvant endocrine monotherapy in this group. These Ki67 and PEPI triage approaches are being definitively studied in the ALTERNATE trial (Alternate Approaches for Clinical Stage II or III Estrogen Receptor Positive Breast Cancer Neoadjuvant Treatment in Postmenopausal Women: A Phase III Study; clinical trial information: NCT01953588).

Abstract Background: The Preoperative Endocrine Prognostic Index (PEPI) is a method to predict outcome after neoadjuvant endocrine therapy that integrates Ki67, estrogen receptor (ER) analysis and pathological stage from the surgical specimen (Ellis, JNCI 100:1380, 2008). We sought to further develop the PEPI for use in clinical trials by: a) establishing an efficient SOP for Ki67 analysis, b) determining the effect of simplifying the score by removing the ER component (modified "mPEPI") and c) independent validation of mPEPI in the ACOSOG (Alliance) Z1031 neoadjuvant aromatase inhibitor trial (Ellis, M, JCO 29:234, 2011). Methods: Ki-67 assay development focused on reproducing a 2.7% Ki-67 cut point (CP) required for PEPI. Ventana Image analysis (IA) to replace labor-intensive visual point counting (VPC) was assessed to increase scoring efficiency. Discordant scores led to a triage approach where cases with complex histological features that could not be resolved by IA were flagged for VPC. The Ki-67 scoring approach was preliminarily validated on T1/2 N0 cases from the P024 and POL trials (SABCS 2013, abstract P3-05-190). Models with and without ER suggested ER was dispensable. A locked SOP for mPEPI was subsequently applied to the Z1031A trial. The primary endpoint was time from the date of surgery to local, regional, or distant recurrence in the mPEPI-0 group (T1/2 N0, Ki67 &lt;2.7%) versus the mPEPI&gt;0 group. Results. mPEPI by IA was evaluated on 202 of 377 (53%) patients enrolled into Z1031A (6% of IA results were triaged to VPC). All patients have been followed a minimum of 2 years (median: 5 years; max: 7 years). Only 10 patients in the mPEPI-0 group (22.7%) received adjuvant chemotherapy, versus 78 in the mPEPI&gt;0 group (49.4%). Time to breast cancer recurrence was decreased among those with mPEPI&gt;0 status relative to those with mPEPI-0 status (log rank p=0.012). Only one disease event among 44 (2%) cases with mPEPI-0 was observed versus 26 of 158 cases with mPEPI&gt;0 (16.5%) Conclusions. mPEPI-0 status can identify patients at low risk of relapse after neoadjuvant endocrine therapy: therefore mPEPI-0 status has operational characteristics similar to pCR after chemotherapy for ER-negative disease. mPEPI is undergoing prospective validation in the Alliance ALTERNATE trial that will assess whether Fulvestrant increases the mPEPI-0 rate and also will prospectively determine whether patients with mPEPI-0 status can safely be managed without adjuvant chemotherapy treatment. Citation Format: Souzan Sanati, Vera J Suman, Rodrigo Goncalves, Katherine DeSchryver, Cynthia X Ma, Jeremy Hoog, Erika Crouch, Michael Barnes, Gary Unzeitig, A Marilyn Leitch, Kelly K Hunt, Matthew J Ellis. Validation of the preoperative endocrine prognostic index in the ACOSOG (Alliance) Z1031 neoadjuvant aromatase inhibitor trial [abstract]. In: Proceedings of the Thirty-Seventh Annual CTRC-AACR San Antonio Breast Cancer Symposium: 2014 Dec 9-13; San Antonio, TX. Philadelphia (PA): AACR; Cancer Res 2015;75(9 Suppl):Abstract nr P4-11-13.

Abstract Ki-67 proliferation marker-based response monitoring will be prospectively tested in the ALternate Treatment for ER positive NeoAdjuvant TrEatment (ALTERNATE) trial. Tumor Ki-67 will be analyzed after one month of neoadjuvant anastrozole, fulvestrant or the combination to detect early resistance (Ki-67 &gt;10%) for triage to alternate treatment (chemotherapy/investigational agent). Ki-67 will be repeated on the surgical specimen after 24 weeks to detect PEPI-0 cases (path Stage 0/1/2A and Ki-67 ≤2.7%), which will be managed without adjuvant chemotherapy. A CLIA-approved Ki-67 assay was required by CTEP/FDA. FDA reviewed-components included the CONFIRM anti-Ki-67 (30-9) Rabbit Monoclonal Primary Antibody, the Benchmark XT platform and the VENTANA iScan Coreo scanner. The validation process was as follows: Step 1 was a TMA-based bridging study between a SP6-based research assay to the 30-9 CLIA assay using visual point counting (VPC); Step 2 trained a scoring SOP using Companion Algorithm Ki-67 (30-9) image analysis software with triage to VPC when certain observations were flagged; Step 3 was an independent test of the SOP using relevant patient outcome-associated samples from the P024 and POL neoadjuvant endocrine studies with two independent pathology analyses. STEP 1: Bridging Research to CLIA. Using a 28-case TMA, and VPC, the intra-class correlation (ICC) for agreement measure of Ki-67 10% cut-point (CP) between research Ki-67 and CLIA Ki-67 was 0.96 (CI 0.92-0.98). The Cohen's simple kappa for agreement measure was 0.78 (CI 0.55-1.0). STEP 2: Scanner-based Algorithm training. An SOP for the image analysis was developed by reviewing discordant cases in two independent reads at the 10% and 2.7% CP in a training set (N+ disease from P024 N = 61). Histology features that led to inaccurate scoring from the image analysis included: streaming /fascicular tumor cells, a large amount of intervening stromal cells, heavy immune cell infiltration, sparse scattered tumor cells, faint staining, and plump stromal cells. These cases were flagged for VPC. The final Ki-67 scoring SOP used image analysis with triage to VPC when necessary (required in 16% of cases). STEP 3: Scoring Algorithm Validation. The Ki-67 SOP was run on T1/2 N0 cases from the P024 trial N = 58. The% positive agreement for the combined scanner and VPC approach using the Ki-67 2.7% CP was 87.5% (95% CI 61.7- 98.5%); percent negative agreement 88.9% (95% CI: 65.3-98.6%). Minor discordance did not affect the ability to predict very similar survival outcomes (Log Rank P = 0.044 and P = 0.055). The data for the 10% CP was similar (N = 66), the percentage positive agreement was 100%; percent negative agreement 93.55% (95% CI: 78.58-99.21%). The survival predictions were again similar (P = 0.0001 and P = 0.0002). The FDA ruled the use of Ki-67 in the ALTERNATE trial is “no significant risk” because previous clinical trial data indicated the majority of patients with Stage 0/1/2A disease post neoadjuvant endocrine therapy already do not receive chemotherapy. Thus the use of Ki-67 reduces the risk of under-treatment of patients with low stage disease but aggressive biology. CTEP accepted these data on assay concordance and performance and the ALTERNATE trial will proceed. Citation Information: Cancer Res 2013;73(24 Suppl): Abstract nr P3-05-10.