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Optical Mammography in Patients with Breast Cancer Undergoing Neoadjuvant Chemotherapy

Rationale and Objectives

We present an optical mammography study that aims to develop quantitative measures of pathologic response to neoadjuvant chemotherapy (NAC) in patients with breast cancer. Such quantitative measures are based on the concentrations of oxyhemoglobin ([HbO 2 ]), deoxyhemoglobin ([Hb]), total hemoglobin ([HbT]), and hemoglobin saturation (SO 2 ) in breast tissue at the tumor location and at sequential time points during chemotherapy.

Materials and Methods

Continuous-wave, spectrally resolved optical mammography was performed in transmission and parallel-plate geometry on 10 patients before treatment initiation and at each NAC administration (mean number of optical mammography sessions: 12, range: 7–18). Data on two patients were discarded for technical reasons. The patients were categorized as responders (R, >50% decrease in tumor size), or nonresponders (NR, <50% decrease in tumor size) based on imaging and histopathology results.

Results

At 50% completion of the NAC regimen (therapy midpoint), R (6/8) demonstrated significant decreases in SO 2 (−27% ± 4%) and [HbT] (−35 ± 4 µM) at the tumor location with respect to baseline values. By contrast, NR (2/8) showed nonsignificant changes in SO 2 and [HbT] at therapy midpoint. We introduce a cumulative response index as a quantitative measure of the individual patient’s response to therapy. At therapy midpoint, the SO 2 -based cumulative response index had a sensitivity of 100% and a specificity of 100% for the identification of R.

Conclusions

These results show that optical mammography is a promising tool to assess individual response to NAC at therapy midpoint to guide further decision making for neoadjuvant therapy.

Introduction

Neoadjuvant Chemotherapy (NAC)

NAC is administered to patients before surgery in an effort to reduce the primary tumor size, whereas adjuvant chemotherapy is administered following surgery in an effort to reduce the risk of residual disease and cancer recurrence. A patient’s response to NAC may be assessed by physical examination or breast imaging (clinical response), or by histology post surgery (pathologic response) . Assessing response to neoadjuvant treatment is crucial, as a pathologic complete response (pCR), defined as having no residual carcinoma in the resected breast tissue and in axillary lymph nodes, has been associated with improved survival . Strictly defined, pCR requires the absence of invasive tumor in the resected specimen, although some clinicians use the more restrictive requirement of no residual invasive or in situ disease . Because of the better outcome associated with pCR, finding tools that can define the individual clinical response during the course of therapy and accurately predicting pathologic response would be of great benefit. This is also true in patients with poor response to treatment, as early identification of this problem may allow the physician to alter the chemotherapy regimen to avoid disease progression and to identify a more effective chemotherapy option.

Imaging Modalities Under Investigation to Monitor Therapy Response

Imaging methods sensitive to functional tissue changes are being investigated for monitoring breast cancer patients’ response to NAC. Functional tumor changes are of particular interest because of the limitations of structural assessment of tumor response based on physical examination, ultrasound imaging, or mammography . Current imaging methods used to assess clinical response are via a decrease in the standard uptake value of 18-fluorodeoxyglucose by positron emission tomography-computed tomography (PET/CT) , or a decrease in tumor size by contrast-enhanced magnetic resonance imaging (MRI) . Both of these methods, however, are expensive and invasive, as PET/CT requires an injection of a radiopharmaceutical, and MRI requires an injection of a gadolinium-based contrast agent. Furthermore, the appropriate timing and frequency for assessing clinical response have not been established, and studies thus far have typically imaged at a single time point during therapy .

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TABLE 1

Chronological Summary of Published Studies of Optical Mammography on Patients Undergoing Neoadjuvant Breast Cancer Chemotherapy

Reference Year No. of Subjects No. of Sessions Duration (wk) Major Findings Jakubowski et al. 2004 1 8 10 After 1 wk: ↓[HbT] (−26%) (PR)

After 10 wk: ↓[HbT] (−56%), ↓[H 2 O](−67%), ↑SO 2 (PR)

Similar trend in control tissue (breast and abdomen):

↓[HbO 2 ], →[Hb], ↓Hgb (−16%) Choe et al. 2005 1 3 24 (Entire NAC) Between the fourth and seventh cycles:

↓[HbT] (−50%) (PR) Tromberg et al. 2005 1 6 1 After 1 wk:

↓TOI (−60%), ↓[HbT] (−30%), ↓[H 2 O] (−30%), ↑[lipid] (+20%) Cerussi et al. 2007 11 2 1 After 1 wk:

↓[Hb] (−27%), ↓[HbO 2 ] (−33%), ↓[H 2 O] (−11%) (responders)

No change (NR and healthy tissue) Zhou et al. 2007 1 6 1 After 1 wk:

↓T/N [Hb] (−31%), ↓T/N [HbO 2 ] (−27%), ↓T/N [HbT] (−28%), ↑T/N [lipid] (+16%), ↓T/N blood flow (−25%) (PR) Zhu et al. 2008 11 3 Entire NAC After the second cycle:

Lower BVI in complete responders vs partial/NR

At the end of therapy:

↓BVI (−71%) (pCR), ↓BVI (−54%) (PR), ↓BVI (−13%) (NR) Jiang et al. 2009 7 5–11 Entire NAC Within week 4:

↓[HbT] (−64%) (pCR)

↑[HbT] (+17%) (non-pCR) Soliman et al. 2010 10 5 Entire NAC After 4 wk:

↓[Hb] (−68%), ↓[HbO 2 ] (−59%), ↓[H 2 O] (−51%), ↓SP (−53%) (pCR, PR)

↓[Hb] (−18%), ↓[HbO 2 ] (−18%), ↓[H 2 O] (−15%), ↓SP (−13%) (NR) Cerussi et al. 2010 1 19 18 (Entire NAC) ↓T/N TOI ratio throughout NAC (−50% at the end of therapy) Roblyer et al. 2011 23 8 1 After 1 d:

↑[HbO 2 ] (+41%, +44%) (pCR, PR), ↓[HbO 2 ] (−22%) (NR)

After 1 wk:

↓[HbO 2 ] (−22%) (pCR), →[HbO 2 ] (PR), ↓[HbO 2 ] (−49%) (NR) Cerussi et al. 2011 34 3 Entire NAC At therapy midpoint:

↓T/N TOI: −47% (pCR), −20% (non-pCR) Pakalniskis et al. 2011 11 3 Entire NAC During therapy:

↓[HbT] (10%/mo) (pCR), →[HbT] (PR) Falou et al. 2012 15 5 Entire NAC After 1 wk:

↑[Hb] (17%), ↑[HbO 2 ] (8%), ↑[HbT] (10%), ↑[H 2 O] (11%) (responders)

↓[Hb] (−14%), ↓[HbO 2 ] (−18%), ↓[HbT] (−17%), ↓[H 2 O] (−29%) (NR) Ueda et al. 2012 41 1 Baseline only Before treatment:

Tumor [Hb], [HbO 2 ], [HbT] did not correlate with response

Tumor StO 2 was higher in pCR (78%) than in non-pCR (72%) Busch et al. 2013 30 2–4 Entire NAC Initial test of a statistical analysis of [HbT], SO 2 , µ s ′ images to extract a predictive parameter of NAC response Zhu et al. 2013 32 4 Entire NAC Before treatment:

Greater pretreatment [HbT] in responders than in NR

After the first cycle:

↓[HbT] (−12%) (CR); →[HbT] (PR, NR) Zhu et al. 2014 34 1 Baseline only Before treatment:

Tumor pretreatment [HbT] is the best predictor of NAC response. Jiang et al. 2014 19 3 Entire NAC Before treatment:

Greater pretreatment [HbT] in pCR than in non-pCR

By the end of the first cycle:

↓[HbT] (−43%) (pCR), ↑[HbT] (+20%) (PR) Schaafsma et al. 2015 22 4 Entire NAC After the first cycle (3 wk):

↓[HbO 2 ] (−14%), (pCR, PR); ↑[HbO 2 ] (+36%), (NR)

After the third cycle (9 wk, therapy midpoint):

↓[HbO 2 ] (−32%), (pCR, PR); ↑[HbO 2 ] (+10%), (NR) Gunther et al. 2015 22 2 2 After 2 wk:

↓[HbT] (−35%) (pCR), ↓[HbT] (−5%) (PR), ↑[HbT] (+5%) (NR)

Faster breath-hold washout rate of [Hb] in pCR vs non-pCR Tran et al. 2016 22 5 Entire NAC After 1 wk:

Combination of tumor ↓[HbT] and quantitative ultrasound parameters resulted in perfect markers for response. Tromberg et al. 2016 34 4 Entire NAC At therapy midpoint:

↓T/N TOI: −46% (pCR), −14% (non-pCR) Sajjadi et al. 2017 13 2–3 4 After 4 wk:

Different T/N breast compression dynamics of [HbT] and SO 2

in CR and PR vs NR This work 2017 8 7–18 16–23

(Entire NAC) At therapy midpoint:

↓[HbT] (−35%), ↓SO 2 (−27%) (pCR and PR)

→[HbT], →SO 2 (NR)

[Hb], concentration of deoxyhemoglobin; [HbO 2 ], concentration of oxyhemoglobin; [HbT], concentration of total hemoglobin; BVI, blood volume index ([HbT] × TV); CR, complete responder; NAC, neoadjuvant chemotherapy; NR, nonresponders; pCR, pathologic complete responder; PR, partial responder; SO 2 , hemoglobin saturation; SP, scattering power; T/N, tumor-to-normal ratio; TOI, tissue optical index ([Hb] × [H 2 O]/[lipid]); TV, tumor volume.

↓, ↑, and → indicate a decrease, increase, and no change, respectively.

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Research Plan for This Study

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Materials and Methods

Optical Imaging of Patients with Breast Cancer

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TABLE 2

Patient Details and Treatment Regimens

NACP No. Ref. No. Age (y) Pretreatment Cancer Size (cm) Cancer Stage Cancer Subtype Chemotherapy Agent Infusion Frequency ( n ) Treatment Duration (wk) Post-treatment Cancer Size (Hist.) (cm) NAC Response MRI X-ray Optical 1 164 38 9.4 1.2 IIIC ER+/HER2− Paclitaxel Weekly (12) 31 6.0 NR (PR2) Capecitabine Biweekly (5) 2 163 72 3.2 2.1 IIB TNBC Doxorubicin, cyclophosphamide Biweekly (4) 23 — R (pCR) Paclitaxel Weekly (12) 3 165 57 2.5 1.4 IIB ER+/HER2− Doxorubicin, cyclophosphamide Biweekly (4) 22 0.9 R (PR1) Paclitaxel Weekly (12) 4 166 54 2.9 1.3 IIIA HER2+ Carboplatin, docetaxel, trastuzumab, pertuzumab Every 3 wk (6) 16 2.8 NR (PR2) 5 167 46 4.4 3.7 IV HER2+ Carboplatin, docetaxel, trastuzumab, pertuzumab Every 3 wk (6) 17 — R (pCR) 6 168 47 6.0 4.4 IIB TNBC Doxorubicin, cyclophosphamide Biweekly (4) 21 0.4 R (PR1) Paclitaxel (with carboplatin every third week) Weekly (11) 7 169 44 7.0 3.5 IIIA ER+/HER2− Doxorubicin, cyclophosphamide Biweekly (4) 16 0.6 R (PR1) Paclitaxel Biweekly (4) 8 170 74 Inflam. 2.6 IIIB ER+/HER2− Doxorubicin, cyclophosphamide Every 3 wk (4) 20 1.7 R (PR1) Paclitaxel Weekly (8) 9 171 44 Inflam. 1.3 IIIB ER+/HER2− Doxorubicin, cyclophosphamide Biweekly (4) 20 11.3 NR (PR2) Paclitaxel Weekly (12) 10 173 56 4.5 1.9 IIB HER2+ Carboplatin, docetaxel, trastuzumab, pertuzumab Every 3 wk (6) 17 — R (pCR)

ER+/HER2−, positive for estrogen receptors and negative for human epidermal growth factor receptor 2; HER2+, positive for human epidermal growth factor receptor 2; MRI, magnetic resonance imaging; NAC, neoadjuvant chemotherapy; NACP, neoadjuvant chemotherapy patient; NR, nonresponder; pCR, pathologic complete response; PR1, partial response 1; PR2, partial response 2; R, responder; ROI, region of interest; TNBC, triple-negative breast cancer.

Note: Ref. #: progressive patient number; age: age of the patient at the time of the baseline scan; pretreatment cancer size: maximum tumor dimension pretreatment (one column reports the dimension from MRI or full-field digital mammography; one column reports the size of the tumor ROI from optical mammography); inflam.: inflammatory breast cancer; cancer stage: initial clinical cancer stage; cancer subtype: TNBC, ER+/HER2−, and HER2+; chemotherapy agent: chemotherapy drug administered to the patient; infusion frequency (total number): how often infusions were performed (and total number of infusions); duration of treatment: how long the patients underwent treatment (including breaks in therapy schedule); post-treatment cancer size (hist.): maximum tumor dimension post treatment from histology after surgical resection; response level: individual patient’s response (R: responder showing either a pCR [no remaining tumor] or PR1 [tumor decreased by more than 50% in size]; NR: nonresponder showing PR2 [tumor decreased by less than 50% in size]).

Figure 1, Patients' chemotherapy schedules. Week one corresponds to the first infusion time point. The times of biopsy, infusions, surgery, and blood transfusions are indicated for all 10 patients. The type of drug administered is also indicated by the color within the chemotherapy infusion ( open circles ). The baseline optical mammograms ( open triangles ) were obtained 2–27 days before the treatment began. The overlapping baseline optical mammogram point and the first infusion point for NACP #6, 7, and 10 indicate that these occurred 2 days within one another. NACP, neoadjuvant chemotherapy patient.

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Laboratory Parameters and Response Categories

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Data Processing

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Statistical Analysis

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Results

Patient Measurements

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Figure 2, Left breast images for NACP #5, an R (pCR) patient. In all images, the left side of each image is lateral (L) and the right side of each image is medial (M). The craniocaudal full-field digital mammogram ( top left ) depicts an irregular, partially spiculated mass ( white box ) located in the left breast corresponding to the patient's biopsy-proven malignancy before treatment. The magnetic resonance imaging axial contrast-enhanced subtraction image ( top right ) demonstrates a 4.4-cm irregular mass with additional areas of nonmass enhancement extending to the nipple and laterally. The optical [HbT] and SO 2 maps obtained throughout neoadjuvant chemotherapy show the progressive decrease of [HbT] and SO 2 at the cancerous region (identified at week 0 by the solid line within the dashed rectangle corresponding to the location of the mass visible in the X-ray image). Subsequent surgical specimen (not shown) revealed a pCR. [HbT], concentration of total hemoglobin; NACP, neoadjuvant chemotherapy patient; pCR, pathologic complete response; R, responder; SO 2 , hemoglobin saturation.

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TABLE 3

Summary of the Means and Standard Errors of Relative Changes in [Hb], [HbO 2 ], [HbT], and SO 2 at the Tumor ROI From Baseline Over Five Binned Time Windows for Each Response Category

Group Percent Therapy Complete Response to Therapy at the Tumor ROI (% Change from Baseline) [Hb] [HbO 2 ] [HbT] SO 2 Responders ( n = 6) 10 (0, 20] −2 ± 8 −6 ± 7 −5 ± 7 −2 ± 1 30 (20, 40] −13 ± 7 −36 ± 6 −28 ± 6 −12 ± 3 50 (40, 60] −4 ± 5 −52 ± 5 −35 ± 4 −27 ± 4 70 (60, 80] −4 ± 6 −56 ± 5 −38 ± 4 −32 ± 4 90 (80, 100] 4 ± 7 −52 ± 4 −36 ± 4 −26 ± 4 Nonresponders ( n = 2) 10 (0, 20] −9 ± 7 −9 ± 7 −9 ± 7 0 ± 1 30 (20, 40] 1 ± 4 −5 ± 4 −3 ± 4 −2 ± 0 50 (40, 60] 1 ± 5 −3 ± 1 −2 ± 2 −1 ± 1 70 (60, 80] 0 ± 11 −15 ± 12 −10 ± 12 −6 ± 2 90 (80, 100] 23 ± 12 3 ± 15 10 ± 14 −8 ± 3

[Hb], concentration of deoxyhemoglobin; [HbO 2 ], concentration of oxyhemoglobin; [HbT], concentration of total hemoglobin; ROI, region of interest; SO 2 , hemoglobin saturation.

Beneath the response category, the number of patients in each group ( n ) is also provided.

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Figure 3, (a) Trends of [HbT] at the tumor region of interest for both response categories at a group level (the error bars represent the standard error). The threshold dashed line represents the weighted average of the mean percent changes of [HbT] for the R and NR groups using the inverse of the standard error as the weights. This line is used for assessing patient response and is discussed in relation to the cumulative response index. The individual patient data throughout therapy are shown in (b) for R and (c) for NR, along with the corresponding group average line. Avg, average; [HbT], concentration of total hemoglobin; NACP, neoadjuvant chemotherapy patient; NR, nonresponders; R, responders.

Figure 4, Average change in blood volume, [HbT], and Hgb relative to the first infusion throughout chemotherapy for responders and nonresponders. All patients show a similar systemic decrease in Hgb during neoadjuvant chemotherapy, but blood volume fraction in breast tissue decreases in responders and increases in nonresponders. [HbT], concentration of total hemoglobin; Hgb, hemoglobin concentration in blood.

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Figure 5, (a) Trends of SO 2 at the tumor ROI for both response categories at a group level (the error bars represent the standard error). The threshold dashed line represents the weighted average of the mean percent changes of SO 2 for the R and NR groups using the inverse of the standard error as the weights. This line is used for assessing patient response and is discussed in relation to the cumulative response index. The individual patient data throughout therapy are shown in (b) for R and (c) for NR, along with the corresponding group average line. NACP, neoadjuvant chemotherapy patient; NR, nonresponders; R, responders; SO 2 , hemoglobin saturation.

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TABLE 4

Predictive Values of the Neoadjuvant Chemotherapy; Response Assessment Based on Changes From Baseline ( P Values) and CRI (Sensitivity and Specificity) From [HbT], SO 2 , [Hb], and [HbO 2 ] Measurements at the Tumor ROI for Each Time Bin

% Therapy Complete % Change From Baseline CRI [HbT] SO 2 [Hb] [HbO 2 ] [HbT] SO 2 [Hb] [HbO 2 ]P Value_P_ Value_P_ Value_P_ Value Sens/Spec Sens/Spec Sens/Spec Sens/Spec 10 (0, 20] 0.9 0.8 0.6 1 0.33/1 0.5/0.5 0.33/0.5 0.5/0.5 30 (20, 40] 0.06 0.06 0.2 0.06 0.67/0.5 0.83/1 0.67/0.5 0.83/1 50 (40, 60] 0.01 0.01 0.46 0.01 0.83/1 1/1 0.67/0 0.83/1 70 (60, 80] 0.05 0.002 0.6 0.02 0.83/1 1/1 0.67/0.5 1/1 90 (80, 100] 0.01 0.01 0.14 0.004 1/0.5 1/1 0.5/0.5 1/1

[Hb], concentration of deoxyhemoglobin; [HbO 2 ], concentration of oxyhemoglobin; [HbT], concentration of total hemoglobin; CRI, cumulative response index; ROI, region of interest; sens, sensitivity; spec, specificity; SO 2 , hemoglobin saturation.

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Cumulative Response Index (CRI)

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CRI(n)=∑ni=1diσ(di)∑ni=1∣∣di∣∣σ(di) CRI

(

n

)

=

i

=

1

n

d

i

σ

(

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Figure 6, CRI, based on SO 2 at the tumor region of interest, for each individual patient throughout the course of neoadjuvant chemotherapy. The CRI can take values between −1 (poor response) and +1 (good response). CRI, cumulative response index; NACP, neoadjuvant chemotherapy patient; SO 2 , hemoglobin saturation.

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Discussion

[HbT] Response to NAC at the Tumor ROI

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SO 2 Response to NAC at the Tumor ROI

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Limitations of the Study and Future Directions

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Conclusions

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Acknowledgments

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