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Ann Surg Oncol (2018) 25:3535–3540

https://doi.org/10.1245/s10434-018-6608-1

ORIGINAL ARTICLE – BREAST ONCOLOGY

Impact of Neoadjuvant Chemotherapy on Breast Cancer Subtype:


Does Subtype Change and, if so, How?
IHC Profile and Neoadjuvant Chemotherapy

Lucy M. De La Cruz, MD1, Michael O. Harhay, PhD2, Paul Zhang, MD, PhD3, and Stacy Ugras, MD1

1
Department of Surgery, Division of Endocrine and Oncologic Surgery, University of Pennsylvania Health System,
Philadelphia, PA; 2Department of Biostatistics, Epidemiology and Informatics, University of Pennsylvania, Philadelphia,
PA; 3Department of Pathology, Hospital of the University of Pennsylvania, Philadelphia, PA

ABSTRACT subtype was cross-tabulated to assess change. Standard


Background. Breast cancer subtype, as determined by the diagnostic metrics were computed.
expression of estrogen receptor (ER) and progesterone Results. Fifty-two patients with 54 cancers were identified
receptor (PR), together defined as hormone receptor (HR) to have their initial biopsy and post-nCT surgical speci-
status, and the HER2/neu receptor (HER2), is important in mens evaluated for tumor subtype in identical fashion.
predicting prognosis and guiding therapy. Knowledge There was a complete pathologic response after nCT in 23
regarding how tumors evolve during treatment and whether cancers (42.6%). Residual disease was noted in 31 cancers
subtype is influenced by neoadjuvant chemotherapy (nCT) (57.4%). Five of these (16.1%) had a change in tumor
is limited. The purpose of this study was to compare the subtype, of which four changes were based on IHC. HR
HR and HER2 status between core needle biopsy and status changed from positive to negative in two cases and
residual tumor after surgery of breast cancer patients from negative to positive in one case. HER2 status changed
treated with nCT and to evaluate the impact of status from positive to negative in one case and from negative to
change on therapeutic management. positive in one case. Subtype change led to treatment
Methods. After institutional review board approval, we change in all five cases, with either the addition or dis-
performed a retrospective review of all patients with a continuation of adjuvant therapies.
diagnosis of breast cancer who received nCT and had their Conclusions. Patients with breast cancer may experience
initial biopsy and post-nCT surgical specimens evaluated alterations in their tumor subtype after nCT. At our insti-
for tumor subtype between January 2009 and December tution, this led to a change in adjuvant treatment in 100%
2014 at our institution. Immunohistochemistry (IHC) of of such patients. This implies that retesting receptor status
ER, PR, HER2, and fluorescence in situ hybridization for of residual tumors after nCT should be routinely performed
HER2 expression, when indicated, was performed using to tailor adjuvant therapy after nCT.
identical technique and measured by a single pathologist
who specializes in breast pathology. Pre- and post-nCT
Breast cancer treatment strategies rely on the accurate
determination of hormone receptor status and human epi-
dermal growth factor receptor 2 (HER2) status to establish
Electronic supplementary material The online version of this the use of hormone-directed and HER2-targeted therapies.
article (https://doi.org/10.1245/s10434-018-6608-1) contains This determination is based on immunohistochemistry
supplementary material, which is available to authorized users. (IHC) of the estrogen receptor (ER) and progesterone
receptor (PR), together defined as hormone receptor (HR)
Ó Society of Surgical Oncology 2018 status, IHC of HER2, as well as fluorescence in situ
First Received: 14 February 2018; hybridization (FISH) for HER2 gene amplification, when
Published Online: 6 July 2018 indicated. The expression of these receptors defines four
S. Ugras, MD distinct breast cancer subtypes: HR positive/HER2
e-mail: stacy.ugras@gmail.com
3536 L. M. De La Cruz et al.

negative (HR ?/HER2 -); HR positive/HER2 positive Treatment


(HR ?/HER2 ?); HR negative/HER2 positive (HR -/
HER2 ?); and HR negative/HER2 negative (HR -/ Patients received nCT according to the standard proto-
HER2 -), also known as triple-negative (TN). This cols of our institution based on guidelines. Patients
information is used to guide systemic therapy as well as received several neoadjuvant regimens (Supplemental
predict response to treatment and prognosis. Table S1). In the HER2-positive patients, all received
In the current era of breast cancer therapy, neoadjuvant Herceptin alone as their HER2 targeted therapy. Three
chemotherapy (nCT) is being used with increased fre- patients in the original cohort received pertuzumab but
quency. In locally advanced breast cancer, nCT has been were excluded, because they had a pCR. nCT was followed
shown to downstage tumors and increase the rate of breast by lumpectomy or mastectomy with sentinel lymph node
conserving surgery without compromising long-term out- biopsy or axillary node dissection.
come.1–4 Information regarding how tumors evolve during
treatment and whether subtype is influenced by nCT is Assessing Pathologic Tumor Response to Neoadjuvant
limited, despite the potentially significant impact that this Chemotherapy
would have on treatment and prognosis.5–10
The purpose of this study was to compare breast cancer Pathologic examination and IHC were reviewed by a
subtype, as defined by IHC of ER, PR, and HER2, and single, dedicated, breast pathologist (PJZ). Histopathologic
FISH for HER2 expression, when indicated, before and features were assessed on slides of formalin-fixed, paraffin-
after nCT to assess the effect of treatment on receptor embedded tissue stained with hematoxylin and eosin.
status and impact on treatment decisions. Lesions were graded according to Nottingham modification
of Bloom-Richardson system. ER, PR, and HER2 status
PATIENTS AND METHODS was determined with commercially available, FDA-ap-
proved, ER/PR PharmDx tests and HercepTest (DAKO/
Study Design and Patient Cohort Agilent, Santa Clara, CA). This was performed in the
Laboratory of Diagnostic Immunohistochemistry at the
After institutional review board approval at the Hospital of the University of Pennsylvania at the time of
University of Pennsylvania, we performed a retrospective the initial diagnosis following the FDA-approved manu-
review of patient data between January 2009 and Decem- facturer procedure guidelines. Only nuclear reactivity for
ber 2014. Tumors from patients with histologically ER and PR and membrane reactivity for HER2 were con-
confirmed invasive breast cancer who received nCT were sidered significant, respectively. Cases were considered
included if they had both their prechemotherapy biopsy and positive for ER or PR when the Allred score was 3 or
postchemotherapy surgical specimens evaluated at the higher. HER2 was scored as positive when HER2 reactivity
Hospital of University of Pennsylvania laboratory. Tumors was 3 ? in more than 10% of tumor cells. FISH testing
for which we did not have complete pre- and post-nCT HR was performed in patients in whom the IHC of HER2 was
and HER2 status information, tumors for which pre- and 2 ? and in patients with TN breast cancer, per institution
post-nCT specimens were not evaluated at our laboratory, protocol. FISH assay was performed on the same formalin
and tumors from patients who had a pathologic complete section in which IHC was performed using the FDA-ap-
response (pCR) after nCT were excluded (Fig. 1). proved Vysis PathVysion Her-2 DNA probe kit (Abbott
Neoadjuvant chemotherapeutic regimens for treated Laboratories. Abbott Park, IL) following the manufacturer
patients included combination anthracyclines, taxanes, and guidelines. HER2 was considered positive when the Her2/
alkylating agents. Pathology reports for both pre- and CEP17 ratio was [ 2.0 or the Her2/cell ratio was [ 6.0.
posttreatment specimens were evaluated and data, includ- Based on the result of ER, PR, and HER2 testing, the cases
ing tumor size, histologic subtype (ductal, lobular, other), were classified into the four subgroups; HR ?/HER2 - ,
ER, PR, and HER2 status, were collected for each tumor. HR ?/HER2 ? , HR -/HER2 ? , and HR -/HER2 - .
Through review of surgical pathology reports and onco- We defined pCR as complete histopathologic absence of
logic records, clinical information, including patient age, invasive and noninvasive tumor cells in all removed breast
cancer stage, and treatment type (systemic therapy and specimens and axillary lymph nodes (ypT0 ypN0).
surgery), was obtained. For all included tumors, the HR
and HER2 IHC and/or HER2 FISH results were available Statistical Analyses
for both the pretreatment core needle biopsies and post-
nCT surgical specimens. The sample size (i.e., frequency) and percent of the total
were calculated for selected demographic and clinical
variables at baseline and after neoadjuvant chemotherapy.
IHC Profile and nCT 3537

FIG. 1 Study flow


105 patients received neoadjuvant chemotherapy
therapy

53 patients excluded due to tumors without


complete corresponding pre- and post- HR
and HER2/neu expression profiles; no surgical
pathology available

52 patients included (54 cancers) after initial search

22 patients excluded (23 cancers) with


pathologic complete response on final
pathology

30 patients with residual disease (31 cancers)


included in the study

HER2/neu-Human Epidermal Growth Factor 2; HR: Hormone Receptor

A transition matrix summarizing changes in receptor status Change in Receptor Expression


before and after neoadjuvant chemotherapy was generated
to depict changes in receptor status. Due to the low fre- Patients with HR and HER2 status changes after nCT
quency of changes in receptor status, a multivariable are listed in Table 2. Tumor subtype changed in five
regression could not be estimated. An individual patient patients after nCT, 9.62% of the entire study cohort, and
summary was developed to illustrate tumor characteristics 16.7% of those without a pCR. In two cases, HR status
by treatment regimen. converted from positive to negative. In one case, HR status
changed from negative to positive. In one case, HER2
RESULTS status changed from positive to negative. In another case,
HER2 status changed from negative to positive, but this
Fifty-two patients with 54 cancers received nCT and had was based on FISH testing in the post-nCT surgical spec-
pre- and posttreatment IHC profiles performed at our imen. FISH was not performed on the pre-nCT specimen.
institution’s laboratory and were included in our study. A The IHC for HER2 in this case was negative in both the
total of 22 patients with 23 cancers (42.6% of cancers) who pre- and post-nCT specimens. There were no cases in
received nCT in our study were considered to have a pCR. which both HR and HER2 status changed.
These complete responders were excluded from this study The changes in HR and HER2 status led to alterations in
due to the lack of residual tumors. The remaining 30 therapy for all five patients. A change in HR status from
patients with 31 cancers (57.4% of cancers) with residual positive to negative led to the discontinuation of adjuvant
disease in the breast were included in this study (Fig. 1). endocrine therapy in two patients, and a change from
One patient with residual disease presented with two can- negative to positive led to the addition of endocrine therapy
cers and had bilateral disease (subject 30) (Supplemental in one patient after surgery. HER2 status change from
Table S1). Tumor characteristics are described in Table 1. positive to negative led to the discontinuation of Herceptin
The majority of tumors were HR ?/HER2 - (55%) and in one patient, and a change from negative to positive led to
presented as stage 2 disease (58%) at diagnosis. The most its addition in one patient (Supplemental Table S2).
common operation was simple mastectomy (77%). Many
(45.5%) patients received Adriamycin/cyclophosphamide/ DISCUSSION
Taxol (ACT; Supplemental Table S1).
Currently, there are conflicting theories regarding the
impact of nCT on HR and HER2 status in breast cancer.
Some groups suggest that residual disease after nCT
3538 L. M. De La Cruz et al.

TABLE 1 Tumor characteristics (n = 31) TABLE 1 continued

Pre-neoadjuvant chemotherapy Post-neoadjuvant chemotherapy

Age at diagnosis (years)—mean (SD), median 52 (11.7), 52 (45- 2? 2 (6)


(IQR) 59) 3? 3 (10)
Clinical T stage at presentation FISH—n (%)
1 2 (6) Positive 3 (10)
2 18 (58) Negative 4 (13)
3 5 (16) HR pos/HER2 neg 16 (52)
4 4 (13) HR pos/HER2 pos 4 (13)
Unknown 2 (6) HR neg/HER2 pos 2 (6)
Clinical nodal status at presentation—n (%) HR neg/HER2 neg 9 (29)
Positive 25 (81) SD standard deviation, IHC immunohistochemistry, FISH floures-
Negative 6 (19) cence in situ hibridization, HR hormone receptor, neg negative, pos
Histologic subtype at presentation—n (%) positive
a
Ductal 31 (100) One case with HER2 status pre-nCT identified by FISH and not IHC
Lobular 0
contains the cancer cell population intrinsically resistant to
Others 0
chemotherapy and therefore the HR and HER2 status after
Estrogen receptor status—n (%)
nCT mirrors the micrometastatic component of the disease
Negative 12 (39)
that is ultimately responsible for distant metastases.11
Positive 19 (61)
Intratumoral phenotypic heterogeneity is considered a
Progesterone receptor status—n (%)
defining characteristic of human tumors, and other groups
Negative 14 (45)
suggest that the small tissue samples, typically obtained by
Positive 17 (55)
biopsy, may not be representative of the whole tumor and
HER2/neu (IHC)—n (%)a
that subtype change is due to sampling error.12 Another
0/1? 24 (77)
theory is that given tumor heterogeneity, some populations
2? 1 (3)
of tumor cells die and others repopulate during nCT,
3? 5 (16)
resulting in changes in the level of protein expression and
FISH—n (%) changes in tumor clonal characteristics.13 A study by
Positive 8 (26) Almendro et al.13 demonstrated that intratumoral genetic
Negative 1 (3) diversity was tumor-subtype specific, with lower pretreat-
HR pos/HER2 neg 17 (55) ment genetic diversity being associated with a pCR.
HR pos/HER2 pos 4 (13) While groups have questioned the effect of nCT on
HR neg/HER2 pos 2 (7) measured levels of ER, PR, or HER2, there is no clear
HR neg/HER2 neg 8 (26) consensus in the literature of whether subtype actually
Post-neoadjuvant chemotherapy evolves with chemotherapy and with what frequency. It is
not currently the standard of care to retest post-nCT sur-
Surgery type—n (%)
gical specimens for receptor expression, making it difficult
Lumpectomy 7 (23)
to perform such studies using available databases. A study
Simple mastectomy 24 (77) by Qin et al. evaluated pre- and post-neoadjuvant
Modified radical mastectomy 0 chemotherapy paired-tumor specimens from 103 patients
Estrogen receptor status—n (%) with breast cancer and found no significant change in IHC
Negative 13 (42) staining of ER, PR, and HER2 expression, although they
Positive 18 (58) found the Ki-67 index decreased after neoadjuvant
Progesterone receptor status—n (%) chemotherapy.14 In contrast, Lim et al. evaluated subtype
Negative 17 (55) conversion and found significant changes in subtype after
Positive 14 (45) nCT. Findings included HR ?/HER2 - tumors converting
HER2/neu (IHC)—n (%) to TN in 10.3% of cases and TN tumors gaining HR pos-
0 17 (55) itivity to become HR ?/HER2 - in 34.6% of cases.
1? 9 (29) Clinical outcomes associated with subtype conversion also
were analyzed. Results indicated poorer survival in the
group of HR ?/HER2 - tumors that converted to TN
IHC Profile and nCT 3539

TABLE 2 Tumors with change in receptor status


Post-neoadjuvant chemotherapy n
HR pos/HER2 neg HR pos/ HER2 pos HR neg/ HER2 pos HR neg/HER2 neg

Pre-neoadjuvant HR pos/HER2 neg 15 1a 0 1a 17


chemotherapy HR pos/ HER2 pos 1a
2 1 a
0 4
HR neg/ HER2 pos 0 1a 1 0 2
HR neg/HER2 neg 0 0 0 8 8
n 16 4 2 9
HR hormone receptor, HER2 human epidermal growth factor 2, neg negative, pos positive
a
Patients with receptor status change

compared with those that remained HR ?/HER2 - . breast conservation for locally advanced tumors that would
Patients with tumors that converted from TN to HR ?/ have required mastectomy before chemotherapy. Given our
HER2 - had improved survival outcomes. Patients in studies’ findings, another advantage of nCT could be to
whom tumors remained TN had the worst outcome.15 improve outcome by allowing clinicians to tailor adjuvant
As the use of nCT is increasing in frequency, the impact therapy based on changes in receptor status after nCT.18,19
of a change in tumor subtype becomes more important to Despite generating relevant clinical findings, we
identify, because it may alter adjuvant endocrine and anti- acknowledge that this study has some limitations. First, it
HER2 therapy. In our study, we found that breast tumors was retrospective in nature. Our patient population was
did actually undergo subtype conversion after nCT in a heterogeneous and small in size. Therefore, it was not
small group of patients. The rate of change in HR status possible to control for the type of nCT or adjuvant treat-
noted in our study was 10% in patients with residual tumor ment that the patients received or to exclude selection bias
present (3 of 30 patients), which is in range with other with regards to type of therapy given. In our cohort, 77% of
reported studies.16,17 In contrast, our study demonstrated a cases were treated with mastectomy after nCT, which is
lower rate of HER2 status change compared with prior high given nCT should increase breast conservation
studies; 6.7% in patients with residual tumor present (2 of rates.18,19 There was some inconsistency in the use of IHC
30 patients).16,17 and FISH for HER2, as noted by the one tumor for which
In their systematic review, Kroep et al. found 32 studies IHC was not used pre-nCT and the other tumor that was
comparing HR and HER2 status after nCT with or without tested for FISH post-nCT but not pre-nCT. As such, one of
trastuzumab. A change in HR status was reported in 8–33% our five tumors with subtype change may have been due to
of the patients, with approximately half of the studies the fact that HER2 FISH testing was performed after nCT
noting a change of 2.5–17% in ER status and 5.9–51.7% in but was not performed on the pre-nCT specimen. Fur-
PR status. A change from positive to negative HER2 status thermore, in our institution we do not routinely test for Ki-
was seen in up to 43% of the patients. These patients 67, which some studies suggest may decrease with nCT
underwent nCT combined with trastuzumab.7 Hirata and also be used to predict pCR.20
et al.17 reported ER, PR, and HER2 status changes in 14.9,
29.1, and 9.5% of their group of patients, respectively. HR CONCLUSIONS
status conversion occurred in 16.0% of their patients.
Whereas in these and our study, a change in ER, PR, and Our study demonstrates that patients with breast cancer
HER2 status occurred in the minority of cases, these may experience change in their tumor subtype after nCT.
changes significantly impact the clinical management of This implies that HR and HER2 status should be evaluated
these patients. According to our results, changes in the not only in the biopsy specimens obtained before the ini-
tumor subtype after nCT altered adjuvant therapy in 100% tiation of nCT but also in specimens obtained during post-
of patients. We expect that addition of endocrine or anti- nCT surgery; the pre- and post-nCT biomarker status can
HER2 therapy in cases with conversion to positive HR and guide adjuvant therapy in these patients. At our institution,
HER2 status will improve outcome. On the other hand, we this led to a change in adjuvant treatment in 100% of such
expect that the discontinuation of potentially unnecessary patients. Also, in the era of genetic profiling and HER2-
endocrine or anti-HER2 therapy may improve patients’
quality of life. Currently, the use of nCT increases rates of
3540 L. M. De La Cruz et al.

targeted therapy, long-term outcomes of patients with HR/ response to neoadjuvant anthracycline chemotherapy for operable
HER2 status conversions may differ significantly, and breast cancer. Br J Cancer. 2005;92:147–55.
10. Shet T, Agrawal A, Chinoy R, Havaldar R, Parmar V, Badwe R.
further studies may shed light on this patient population. Changes in the tumor grade and biological markers in locally
advanced breast cancer after chemotherapy—implications for a
pathologist. Breast J. 2007;13:457–64.
AUTHORS’ CONTRIBUTION SU conception, design, and edit- 11. Balko JM, Giltnane JM, Wang K, Schwarz LJ, Young CD, Cook
ing/revision of manuscript. LC and SU performed data acquisition. RS. Molecular profiling of the residual disease of triple-negative
LC drafted the initial manuscript. MH performed the statistical breast cancers after neoadjuvant chemotherapy identifies action-
analyses. PJZ reviewed slides. LC, MH, SU, and PJZ assisted in able therapeutic targets. Cancer Discov. 2014;4(2):232–45. h
critical revision of the manuscript. All authors reviewed, revised, and ttps://doi.org/10.1158/2159-8290.cd-13-0286. Epub 2013 Dec 19.
approved the final manuscript as submitted and agree to be 12. Gerlinger M, Rowan AJ, Horswell S, Math M, Larkin J, Endes-
accountable for all aspects of the work. felder D, Gronroos E, Martinez P. Intratumor heterogeneity and
branched evolution revealed by multiregion sequencing. N Engl J
DISCLOSURES The authors have no financial relationships or Med. 2012;366(10):883–92.
conflicts of interest relevant to this article to disclose. 13. Almendro V, Cheng YK, Randles A, Itzkovitz S, Marusyk A,
Ametller E. Inference of tumor evolution during chemotherapy
by computational modeling and in situ analysis of genetic and
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