Author Archives: author

Commentary for ‘Rare Seizure Presentation in 3-year-Old Male: Case of Focal Epilepsy Associated with Squatting and Running’

DOI: 10.31038/PSYJ.2025744

 

The case report by Musa et al. (2025) highlights the challenges faced by pediatricians in diagnosing pediatric epilepsy, especially when focal epileptic episodes present similarly to benign childhood behavior. This case of a 3-year-old male initially presumed to have breath-holding spells (BHSs) but later diagnosed with focal seizures illustrates how atypical clinical features in children can lead to misinterpretation and delayed diagnosis. This case further demonstrates the importance of electroencephalography and neuroimaging as critical diagnostic tools. A notable strength of the report is its emphasis on atypical seizure presentations and the need for timely neurological workups. Unlike adult seizures, pediatric episodes do not present with the expected motor features, stiffness, twitching, and urinary incontinence, which typically necessitates early electroencephalogram and neuroimaging. Focal seizures in children may manifest with subtle behaviors that resemble benign childhood phenomena such as tantrums or breath-holding spells. This overlap complicates timely diagnosis and may delay treatment initiation.

Breath-holding spells, while distressing to parents, are benign and often self-limiting. They are usually triggered by frustration or pain and characterized by transient apnea, cyanosis, and possible transient loss of consciousness. Importantly, BHSs lack postictal phenomena and sustained neurological sequelae. By contrast, the patient described in this case began to display additional features, including gaze deviation, urinary incontinence, and spontaneous crying. These symptoms went beyond the scope of BHSs, illustrating the need for providers to maintain a high suspicion when evaluating prolonged or recurrent paroxysmal childhood events. The MRI findings of periventricular leukomalacia (PVL) further reveal the neurological complexity underlying this child’s seizures. While PVL is often associated with prematurity and hypoxic-ischemic injury, consequences, such as heightened seizure risk, may not appear until later during development. Early identification of atypical seizures not only helps provide appropriate treatment but also prevents potential long-term neurological effects. Uncontrolled seizures can result in structural and functional brain changes leading to cognitive impairment, memory deficit, and behavioral challenges. Therefore, prompt imaging may help provide an explanation for subtle seizure phenotypes.

This case report contributes meaningfully to the literature by illuminating how atypical epilepsy can present as benign conditions, thereby delaying care. General pediatricians should be vigilant when BHSs present with additional neurologic features. Referral for EEG and neuroimaging should occur without hesitation in order to provide adequate treatment for these pediatric patients. However, it is important to acknowledge that in underserved regions, the turnaround time between a pediatrician’s initial recognition of atypical events and formal evaluation by a neurologist may be significantly prolonged. Such a delay arises due to limited access to subspecialists and extended scheduling intervals for neurology evaluations. This highlights the importance of expanding subspecialty resources and capacity. For these reasons, providers must stay attentive for early and accurate diagnosis in order to ensure equitable and timely care for underserved pediatric populations.

Neuroprotective Serotonin 2A Receptor Peptide Significantly Reduced Hippocampal Inflammation in Rats Exposed to Mild Traumatic Brain Injury

DOI: 10.31038/EDMJ.2025943

Abstract

Aims: Neuroinflammation complicates traumatic brain injury predisposing to long-lasting neurologic impairment. The aim of the present study was to test whether parenteral administration a small peptide mimic (SN..8) of the receptor- activating- region of the human serotonin 2A receptor (1-, 3- and 5-days) after traumatic brain injury suppresses hippocampal inflammation in the rat compared to a scrambled peptide sequence of the same eight amino acids.

Methods: Adult male Sprague-Dawley rats were exposed to lateral fluid percussion (LFP)-induced, traumatic brain injury (TBI) vs. sham injury. An identical 2 mg/kg concentration of SN..8 vs LD..8 (scrambled peptide) was administered via intraperitoneal route 1-, 3- and 5-days after injury. Two weeks post injury, the bilateral hippocampal, dorsal and ventral brain regions were examined by RT-PCR for altered gene expression. Comparisons were made between TBI vs sham injury; and active vs scrambled peptide treatment.

Results: Two weeks after injury, the novel SN..8 peptide (vs scrambled peptide) significantly reduced (more than 3-fold) CD68 mRNA relative expression in ventral hippocampus in adult male Sprague-Dawley rats subjected to TBI (N=22) (1.65 ± 0.83 vs 5.27 ± 4.1; P=0.012).

Conclusion: These results suggest that the neuroprotective effects of SN..8 peptide may be due in part to its ability to substantially suppress subacute inflammation in the ventral hippocampus.

Introduction

Neuroinflammation complicates traumatic brain injury predisposing to long-lasting neurologic impairment. The serotonergic receptor system is highly expressed in certain brain regions, dentate gyrus, ventral and dorsal hippocampus involved in the normal regulation of mood and spatial learning and memory [1]. A novel peptide identical to the receptor- activating- region of the human serotonin 2A receptor (SN..8) suppressed long-lasting 5HT2AR activation in vitro [2], and had neuroprotective effects on spatial learning and memory paradigms in adult male rats exposed to traumatic brain injury (lateral fluid percussion) [3]. Since TBI is associated with inflammation, here we tested whether peripheral injections of the 5HT2A receptor peptide immediately following TBI can suppress subacute hippocampal inflammation.

Methods

Animals

All procedures were conducted in accordance with the NIH Guide for the Care and Use of Laboratory Animals and were approved by the Institutional Animal Care and Use Committee of the Veterans Affairs Medical Center (East Orange, New Jersey). Male SD rats (11-14-weeks- old) n=33 were obtained from Charles River Laboratories (Kingston, NY) and were individually housed with modest enrichment (wooden block). Rats were provided ad libitum access to food and water and maintained in a 12 h light/dark cycle with lights on at 0700. At approximately 17 weeks of age, rats underwent surgery (craniectomy) and injury.

Peptides

The linear synthetic peptide, corresponding to a fragment of the serotonin 2a receptor, SCLLADDN (SN..8) and a scrambled version LASNDCLD (LD.8) were both synthesized at Lifetein, Inc. (Hillsborough, NJ). Each peptide was provided as the hydrochloride salt and had purity > 95%. The lyophilized peptides were stored (in the presence of dessicant) at −40 degrees C prior to use. Before each experiment, peptide was reconstituted fresh in sterile saline at the indicated concentration.

Injections

Peptide (SN..8 or LD.8) was dissolved in sterile saline (2 mg/kg) and administered via intraperitoneal (IP) route 1-, 3- and 5-days after TBI vs sham injury.

Surgery/Injuries

Craniectomy and delivery of a pressure wave (lateral fluid percussion) procedures were carried out as previously reported [3,4].

Tissue Extraction and Sectioning

Whole brains were extracted at 2 weeks post-injury and snap frozen in 2-methylbutane. Tissue micropunches (1 mm diameter) were extracted from the dorsal and ventral hippocampus, bilaterally.

RT-PCR

Total RNA was extracted from the tissue using the RNAeasy Plus Mini Kit (Qiagen, Germantown, MD). The RNA concentration and A260/280 ratio of samples will be measured using a Nanodrop spectrophotometer (ThermoFisher Scientific). Total RNA was reverse transcribed, and cDNA was stored at -20 C. Taqman primer/probe sets (ThermoFisher Scientific) were used to assess changes in gene expression of the following genes: CD68 (Rn01495634_g1), Vimentin (Rn00667825_m1), BAX (Rn01480161_g1), Bcl2 (Rn99999125_m1), PCNA (Rn01514538_g1), Htr2A (Rn00568473_m1).

RT-PCR was performed using a LightCycler 380 (Roche Diagnostics); each reaction contained 3 ul of cDNA, 10 ul Taqman Universal PCR master mix, 1 ul of appropriate Taqman primer/probe set and 6 ul of dH20. The crossing point (Cp) value was determined for each primer/probe using the 2nd derivative maximum method. Fold change values were calculated using the delta-delta CT method using the highest Cp value as the reference value. All gene expression values were normalized to Actin β (Rn00667869_m1). Data for each target gene were assayed in duplicate and averaged; Cp values were normalized to the mean of the housekeeping gene Actin β.

Fold changes between samples for each gene product were calculated as follows:

2(Sample with highest Cp value for target gene-individual sample’s Cp value for target gene)/2(Sample with highest Cp value for Actin β-individual sample’s Cp value for Actin β)

Statistics

Two-way ANOVA was used to test for a main effect of drug (SN..8 vs scrambled peptide), injury (TBI vs sham) or drug x injury interaction on relative gene expression. Post-hoc testing was performed using Fischer’s least significant difference (LSD) test.

Results

Mean apnea time and mean righting reflex time were significantly longer in rats subjected to TBI vs sham-injury (Table 1). There was no statistically significant difference in mean apnea time or mean righting reflex time following lateral fluid percussion in rat subgroups randomized to treatment with SN..8 vs scrambled peptide injections on days 1, 3 and 5 after injury. The mean peak pressure (PSI, pounds per square inch) applied during the fluid percussion wave did not differ significantly between rats treated with SN..8 vs. scrambled peptide following TBI (Table 1).

Table 1: Acute measures following mild TBI (lateral fluid percussion) vs sham injury.

Cohort 1&2

Apnea (s) Righting Reflex (s) Startle

Peak PSI

Males, TBI, SN.8 (n=11)

16.90 ± 2.58

416.81 ± 27.226 Yes

15.56 ± 0.79

Males, Sham, SN.8 (n=6)

N/A

50.16 ± 14.736 N/A

N/A

Males, TBI, Scrambled (n=11)

12.2 ± 1.21^

447.27 ± 29.078^* Yes

18.40 ± 1.36^

Males, Sham, Scrambled (n=5)

N/A

79.6 ± 19.314^ N/A

N/A

^P > 0.05 for mean apnea or righting reflex time: TBI, SN.8 vs TBI scrambled peptide.
^Peak PSI was not significantly different for TBI, SN.8 vs TBI, scrambled peptide groups.
*P< 0.001 mean righting reflex time was significantly longer for TBI vs sham groups.

Gene Expression Changes in the Dorsal and Ventral Hippocampus Two Weeks Post-Injury

Gene expression of six genes: Bax, BcL2, Vim, 5HT2AR, PCNA, and CD68 was evaluated in pooled bilateral dorsal and ventral hippocampal brain regions from sham vs. TBI rats treated with either SN..8 vs scrambled peptide. CD68 is a marker of activated microglia in the brain. There was a significant interaction (injury x drug) effect (F(1,29)=4.0: P=0.05) in CD68 mRNA relative expression in ventral hippocampus. In post-hoc analysis, among scrambled peptide-treated rats (N=11), mean CD68 relative expression was significantly higher (P=0.011) in TBI vs. sham-injury consistent with injury-induced chronic neuro-inflammation [5]. In TBI rats (N=22) mean CD68 relative expression was significantly higher (P=0.0032) in scrambled vs. SN..8 peptide-treated rats (Figure 1) consistent with a significant anti-inflammatory effect of the SN..8 peptide (Figure 2).

Figure 1: In mTBI (vs sham-injured) rats, SN.8 vs scrambled peptide was associated with significantly reduced gene expression of CD68 two weeks after injury.
^TBI (SN.8 vs Scr) P =0.0032;
^^Scr: TBI vs Sham P =0.011; N=33 rats; 22 TBI, 11 sham injury

Proliferating cell nuclear antigen is a marker of cell proliferation in non-post- mitotic cells in the central nervous system. The cell types potentially include: DG neural progenitor cells, astrocytes and microglia. There was a significant interaction (injury x drug) effect (F(1,29)=11.5: P=0.0023) on PCNA mRNA relative expression in ventral hippocampus. In post-hoc analysis, among scrambled peptide-treated rats (N=11), mean PCNA relative expression was significantly higher (P=0.005) (Figure 2) in TBI vs. sham-injury consistent with injury- induced cell proliferation. In TBI rats (N=22) mean PCNA relative expression was significantly higher (P=0.016) in scrambled vs. SN..8 peptide-treated rats (Figure 2) consistent with a significant anti- proliferative effect of the SN..8 peptide on unknown cell population(s).

Figure 2: TBI (vs sham injury) was associated with a significant increase in PCNA gene expression in the ventral hippocampus in scrambled peptide-treated rats (Figure 2, P=0.005). In SN.8-treated rats, however, TBI (vs sham injury) was associated with significantly reduced PCNA gene expression (Figure 2, P =0.0016) in the ventral hippocampus.
Scr: TBI vs sham P=0.005
TBI: SN.8 vs Scr; P=0.0016

In two-way ANOVA there was no significant main or interaction effect of injury, drug treatment on relative gene expression of PCNA or CD68 in dorsal hippocampus. And there was no significant main or interaction effect of injury, drug treatment in ventral or dorsal hippocampal regions on relative expression of any of the other four genes (Blc2, Bax, 5ht2ar, Vim) tested (data not shown). Yet there was a borderline significant main effect of drug treatment F(1,29)=3.9; P=0.056) on the Vim relative gene expression in ventral hippocampus favoring reduced Vim expression in TBI rats treated with SN..8 vs. scrambled peptide P=0.023 (Figure 3).

Figure 3: Serotonin 2A receptor peptide (SN.8) (vs scrambled peptide) treatment significantly reduced mean relative level of Vimentin gene expression in the ventral hippocampus at 14 days post injury in TBI rats (P=0.023).

Discussion

Dentate gyrus neural progenitor cells (NPC), astrocytes and microglia may all increase in the hippocampus following TBI, however the acute increase in DG NPCs in rodents following TBI was reported to be transient (lasting less than 7 days) [6,7]. For this reason, it is unlikely that increased PCNA mRNA expression in the hippocampus (14 days post injury) primarily reflects NPC proliferation. The PCNA mRNA expression change in the ventral hippocampus mirrored changes in CD68 mRNA expression. Since CD68 is a marker of activated microglia, this suggests that SN..8 (vs scrambled peptide) significantly suppressed proliferation in activated microglia in the ventral hippocampus in TBI rats. This may be consistent with a recent report that a 5HT2AR antagonist mitigated pathology in a mouse model of Alzheimer’s disease via reduced microglial dysfunction [8]. The 5HT2A receptor is expressed on both microglia and astrocytes [9,10]. Activation in both kinds of cell types is associated with increased expression of pro-inflammatory cytokines, i.e. neuroinflammation. Vimentin gene encodes intermediate filaments which increase in activated astrocytes. We cannot exclude the possibility that SN..8 may have also suppressed astrocyte activation in TBI rats even though the effect of drug (SN.8 vs scrambled) peptide treatment only reached borderline statistical significance.

The present data are the first to suggest that SN..8 had a (subacute) significant anti-inflammatory effect in ventral hippocampus in rats subjected to mild TBI (LFP). The striking absence of a similar significant effect(s) in the dorsal hippocampus is of interest. The mammalian ventral hippocampus receives a denser serotonergic input compared to the dorsal hippocampus [11]. The 5HT2AR expression (in situ hybridization) was also reported to be ventrally-enriched in CA3c subregion of the hippocampus [12]. Together with DG, CA3c subregion is involved in spatial memory processing [13] in which the CA3c supports the DG in modulating pattern separation [14].

In our prior report, systemic administration of SN..8 (2 mg/kg) (vs. scrambled) significantly prevented early loss of behavioral pattern separation (BPS)(2 weeks post injury) in adult male Sprague-Dawley rats exposed to lateral fluid percussion (LFP)-induced, traumatic brain injury (TBI). Taken together, the SN..8-mediated suppression of neuroinflammation (in the ventral hippocampus which includes CA3c neurons enriched in 5HT2AR) may play a permissive role in preventing loss of behavioral pattern separation two weeks post-injury [3]. Neuroinflammation was reported to cause hyperexcitability in DG [15] which is predicted to interfere with pattern separation. These data provide the proof-of-principle that a novel 5HT2AR mimic (SN.8), which is thought to act by preventing harmful long-lasting receptor activation (leading to neuron death) has additional significant neuroprotective, anti-inflammatory effect(s).

Acknowledgement

Supported in part by a grant from the New Jersey Commission on Brain Injury Research NJCBIR PIL022 to MBZ; and a grant from the Department of Veterans Affairs, Office of Research and Development, Technology Transfer Program (Wash, DC) to MBZ.

Dr. Zimering is Inventor on a patent (Assigned to the U.S Department of Veterans Affairs) with claims about the neuroprotective effects of the serotonin 2A receptor peptide reported here.

References

  1. Xu T and Pandey SC (2000) Cellular localization of serotonin (2A) (5HT (2A)) receptors in the rat Brain Res Bull 51: 499-505. [crossref]
  2. Zimering MB (2019) Autoantibodies in Type-2 Diabetes having Neurovascular Complications Bind to the Second Extracellular Loop of the 5-Hydroxytryptamine 2A Endocrinol Diabetes Metab J [crossref]
  3. Agbolou XM, Yoe CW, Cominski TP, Zimering MB (2024) Effects of a Serotonin Receptor Peptide on Behavioral Pattern Separation in Sham- vs. Mild Traumatic Brain Injured Endocrinol Diabetes Metab J. [crossref]
  4. Stamper CE, Cominski TP, Hoisington AJ, Yoe CW, Agbolou XM, Stiritz VA, Interian A, Goodman M, Hazlett EA, Myers CE, Beck KD, Brenner LA (2025) J Neurotrauma.
  5. Navabi SP, Badreh F, Khombi Shooshtari M, Hajipour S, Moradi Vastegani S, Khoshnam SE (2024) Microglia-induced neuroinflammation in hippocampal neurogenesis following traumatic brain injury. Heliyon.[crossref]
  6. Komoltsev IG, Tret’yakova LV, Frankevich SO, Shirobokova NI, Volkova AA, Butuzov AV, Novikova MR, Kvichansky AA, Moiseeva YV, Onufriev MV, Bolshakov AP, Gulyaeva NV (2022) Neuroinflammatory cytokine response, neuronal death, and microglial proliferation in the hippocampus of rats during the early period after lateral fluid percussion-induced traumatic injury of the neocortex. Mol Neurobiol. [crossref]
  7. Clark LR, Yun S, Acquah NK, Kumar PL, Metheny HE, Paixao RCC, Cohen AS, Eisch AJ (2021) Mild Traumatic Brain Injury Induces Transient, Sequential Increases in Proliferation, Neuroblasts/Immature Neurons, and Cell Survival: A Time Course Study in the Male Mouse Dentate Gyrus. Front Neurosci. [crossref]
  8. Lu J, Zhang C, Lv J, Zhu X, Jiang X, Lu W, Lu Y, Tang Z, Wang J, Shen X (2021) Antiallergic drug desloratadine as a selective antagonist of 5HT2Areceptor ameliorates pathology of Alzheimer’s disease model mice by improving microglial dysfunction. Aging Cell. [crossref]
  9. Xu, T., and Pandey, S. C. (2000). Cellular localization of serotonin(2A) (5HT(2A)) receptors in the rat Brain Res Bull [crossref]
  10. Glebov, , Lochner, M., Jabs, R., Lau, T., Merkel, O., Schloss, P., et al. (2015). Serotonin stimulates secretion of exosomes from microglia cells. Glia [crossref]
  11. Bjarkam CR, Sørensen JC, Geneser FA (2003) Distribution and morphology of serotonin-immunoreactive axons in the hippocampal region of the New Zealand white rabbit. I. Area dentata and hippocampus. Hippocampus. [crossref]
  12. Tanaka KF, Samuels BA, Hen R (2012) Serotonin receptor expression along the dorsal-ventral axis of mouse Philos Trans R Soc Lond B Biol Sci. [crossref]
  13. Hunsaker MR, Rosenberg JS, Kesner RP (2008) The role of the dentate gyrus, CA3a,b, and CA3c for detecting spatial and environmental novelty. Hippocampus. [crossref]
  14. Kesner RP (2013) A process analysis of the CA3 subregion of the Front Cell Neurosci. [crossref]
  15. Kurki SN, Srinivasan R, Laine J, Virtanen MA, Ala-Kurikka T, Voipio J, Kaila K (2023) Acute neuroinflammation leads to disruption of neuronal chloride regulation and consequent hyperexcitability in the dentate gyrus. Cell Rep. [crossref]

A Case of Pneumothorax After Acupuncture

DOI: 10.31038/JCRM.2025832

Abstract

The patient was a 51-year-old woman. After receiving acupuncture and moxibustion, she felt dyspnea. By examination she was diagnosed with right pneumothorax caused by acupuncture and moxibustion. We immediately inserted chest tube. In the beginning, her lung was not full expansion, so we considered Video-assisted thoracic surgery (VATS). But the right lung gradually expanded, and air leaks lowered. So she left hospital. Through this case, we think that acupuncture and moxibustion is risky. It is required that reducing the number of the patient of pneumothorax after acupuncture and moxibustion. We also think that enlightenment activities are necessary.

Keywords

Pneumothorax, Acupuncture, Moxibustion, Dyspnea, Chest tube, Video-assisted thoracic surgery

Introduction

Acupuncture is the therapy using specific needles and stimulation for physical points called “keiketu or tsubo”. We reported a case of pneumothorax after acupuncture and moxibustion.

Case Study

Patient was a 51-year-old woman

Chief complaint was dyspnea

Medical history has no special notes

No Allergy

Never smoked

History of Present Illness

After receiving acupuncture and moxibustion on X-1 day, right chest pain appeared on the way home. She also had a cough and difficulty breathing. In addition, she could not sleep on that day. When she visited a nearby doctor on X day, she was diagnosed with right pneumothorax, and was referred to our department on the same time.

Presenting Symptoms

Height was 155.5 cm. Weight was 47.5 kg. Blood pressure was 106/68 mmHg. Heart Rate is 83/min. Body Temperature was 36.4°C. SpO2 was 99% (room air). However, dyspnea and shortness of breath worsened over time. There were many acupuncture and moxibustion on the anterior chest and back. And right lung sound was decreased.

Examination Finding

Blood test showed no anemia or coagulation abnormalities. Chest X-ray showed right severe pneumothorax (Figure 1). And CT-scan showed pneumothorax, but there were no lesions caused pneumothorax, such as bulla or bleb (Figure 2).

Figure 1: Illustrates the overall workflow.

Figure 2: Outlines the retrieval-to-generation flow.

Clinical Course

We diagnosed right severe pneumothorax caused by acupuncture and moxibustion, and immediately inserted chest tube. On X+1 day, her lung was not full expansion, so we considered Video-assisted thoracic surgery (VATS). But the right lung gradually expanded, and air leaks lowered. So, on X+5 day, we removed chest tube. On X+6 day, she left the hospital (Figure 3). And after discharge from the hospital, she is doing well.

Figure 3: Progress.

Discussion

In our case, acupuncture and moxibustion caused right severe pneumothorax. There are other cases of pneumothorax after receiving acupuncture and moxibustion, also the case of bilateral pneumothorax has been reported [1]. And the patients of bilateral pneumothorax often have a fetal course, furthermore the patients sometimes die [2,3]. In addition to pneumothorax, adverse events such as infections [4,5] and organ damages including the heart [6] have been reported. As other adverse events, neurological damage [7], skin damage [8] and chylothorax [9] have been known.

As examples of pulmonary disease, which is easy to cause pneumothorax by acupuncture and moxibustion, asthma, emphysema and pulmonary fibrosis are mentioned [1]. Also, it has been reported that the safety length of acupuncture penetration is 8-26 mm in the anterior chest and 20 mm on the back 1. In our case, because we heard that it was approximately 40 mm deep from the patient, and we could not find a primary illness which could cause pneumothorax on CT scan, we predicted that over safety length of acupuncture penetration cause pneumothorax. Although our patient has been doing well by insertion chest tube, it is generally known that pneumothorax caused by acupuncture is more severe than other pneumothorax because of the inflow of air into the chest cavity through the acupuncture hole and the larger hole in the lung [1]. Also, there are reports that the use of lung ultrasound is useful for rapid diagnosis and therapeutic intervention for pneumothorax at the bedside [10,11]. In our case, the patient had a unilateral pneumothorax, and tension pneumothorax or hemopneumothorax could not be detected, so a chest X-ray could be taken. But if there was an urgent need, there was a way to consider the use of a lung echocardiogram. In addition, if it was a tension pneumothorax, it would have been necessary to consider degassing based only on examination findings. In order to reduce pneumothorax after acupuncture and moxibustion like our case, we think that enlightenment activities for people are also important. For example, one way is to create a consent form and a explanation sheet used in medical practice.

Conclusion

We experienced a case of pneumothorax after acupuncture and moxibustion. In order to reduce the number of the patient of pneumothorax after acupuncture and moxibustion, we think that enlightenment activities are necessary by using a consent form and a explanation sheet used in medical practice.

Conflict of Interest

There are no companies, organizations or groups with COI status to disclose related to this paper.

References

  1. Shindo H, Yamagishi T, Nagaoka T, Tsuboi K, et al. (2020) Acupuncture-related bilateral pneumothorax: a case report. KANTO Journal of Japanese Association for Acute Medicine 41: 271-273.
  2. Akcam TI, Kavurmaci O, Ergonul AG, Aydin S, Turhan K, et al. (2008) Analysis of the patients with simultaneous bilateral spontaneous pneumothorax. Clin Respir J 12: 1207-1211. [crossref]
  3. Jian J, Shao Y, Wan L, Zhang M, Liu N, et al. (2018) Autopsy diagnosis of acupuncture-induced bilateral tension pneumothorax using whole-body postmortem computed tomography: A case report. Medicine (Baltimore) 97: e13059. [crossref]
  4. Kim D, Lee S (2017) An autopsy case of fatal acute peritonitis complicated by illegal acupuncture therapy. Forensic Sci Int 276: e13-e15. [crossref]
  5. Alexandre AR, Raimundo P (2018) Epidural, paravertebral and bilateral psoas abscess after lumbar acupuncture. BMJ Case Rep 11: e228047. [crossref]
  6. Llamas Fuentes R, Valle Alonso J, Larrasa Soriano S (2020) Cardiac tamponade and right ventricle perforation after an acupuncture procedure. Med Clin (Barc) 154: 416-417. [crossref]
  7. Eghbal K, Ghaffarpasand F (2016) An Acute Cervical Subdural Hematoma as the Complication of Acupuncture: Case Report and Literature Review. World Neruosurg 95: 616. e11-616.e13. [crossref]
  8. Park MY, Lee JS, Jin HJ, You HS, Kim GW, Ko HC, et al. (2018) Localized argyria: troublesome side effect of acupuncture. J Eur Acad Dermatol Venereol 32: e62-e65. [crossref]
  9. Furuse N, Yamashita H (2021) Literature Review on Adverse Events (2016-2019) Associated with Acupuncture and Moxibustion 71: 245-264.
  10. Harriott A, Mehta N, Secko M, Romney ML (2014) Sonographic diagnosis of bilateral pneumothorax following an acupuncture session. J Clin Ultrasound 42: 27-29. [crossref]
  11. Frankel HL, Kirkpatrick AW, Elbarbary M, Kirkpatrick AW, Su E, et al. (2015) Guidelines for the Appropriate Use of Bedside General and Cardiac Ultrasonography in the Evaluation of Critically Ill patients-Part Ⅰ: General Ultrasonography. Critical Care Med 43: 2479-2502. [crossref]

Automated qEEG Case Study Generation with Retrieval-Augmented AI and Clinical Data Integration

DOI: 10.31038/JCRM.2025831

Abstract

Quantitative electroencephalography (qEEG) offers objective biomarkers of brain function across neuropsychiatric conditions, but clinical EEG case reports are traditionally labor-intensive to produce. We describe a reproducible Python-based pipeline that automatically processes raw BrainVision EEG data, extracts spectral qEEG features, integrates patient clinical scores (e.g. Brief Psychiatric Rating Scale, BPRS), retrieves relevant literature via Europe PMC, and uses a retrieval augmented large language model (RAG-LLM) to generate structured narrative case reports. EEG preprocessing (filtering, artifact removal, referencing) and feature computation (power in delta, theta, alpha, beta bands, etc.) are implemented using open-source MNE-Python tools in a BIDS-compliant [1,2] framework. Patient metadata such as age, diagnosis, and BPRS severity provide clinical context alongside EEG features (e.g. the known increase in theta power and theta/beta ratio in schizophrenia) [3]. Key EEG findings are combined with dynamically retrieved evidence from Europe PMC – an open access repository of ~36 million biomedical abstracts and 5 million full-text articles – to ground the report in up-to-date knowledge [4]. Using a RAG-LLM approach, the system formulates context-aware prompts that guide the model to cite recent studies and summarize findings. For example, prior work has shown retrieval-augmented LLMs significantly improve accuracy in clinical question answering [5] compared to base models, and in dedicated frameworks (e.g. EEG-MedRAG) unify EEG domain [6] knowledge and patient data for diagnostic guidance. Our pipeline yields a draft case report that mimics the structure of a clinician’s report: background, methods, results (EEG summary and clinical scores), and an evidence-supported discussion.

Keywords

qEEG, RAG, Clinical Data, EEG Reports, AI Neuropsychiatry, EEG Preprocessing, Spectral Features, BPRS, Case Automation, Neuroinformatics

Introduction

EEG remains an indispensable tool in neuroscience and psychiatry, providing noninvasive recordings of brain activity. Quantitative EEG (qEEG) – the analysis of EEG power spectrum bands – has been studied [3] as a putative biomarker in disorders such as schizophrenia, ADHD, depression and bipolar disorder [7]. For example, schizophrenia is often associated with increased delta/theta and reduced alpha [3] power. Clinical context is captured by symptom scales like the BPRS, which quantify severity of [3] psychiatric symptoms and are routinely collected in research studies. Integrating EEG features with clinical metrics can enhance interpretation (e.g. correlating theta increase with BPRS depression subscore). However, manually generating a cohesive case report that synthesizes EEG analyses with relevant literature is time-consuming and subjective.

Recent advances in large language models (LLMs) and retrieval-augmented generation (RAG) offer a new paradigm: an AI-driven pipeline can automatically assemble multimodal data and external knowledge into an explanatory narrative. LLMs have demonstrated capability in medical domains, but [5,8] they are prone to hallucination unless grounded by real data. RAG addresses this by coupling an LLM with a knowledge base: the model retrieves pertinent documents (here from Europe PMC) and [9] conditions its output on this evidence. Studies in healthcare have shown that RAG-augmented systems yield more accurate, up-to-date answers than base LLMs alone. For instance [5,8] Masanneck et al. tested multiple LLMs on neurology guidelines and found that a fixed-document RAG setup markedly improved accuracy over unfettered models, though caution remains for hallucinations and case-based scenarios. Similarly, Kuo et al. describe a hierarchical RAG pipeline that retrieves [5] heterogeneous clinical trial data and generates reports with higher factual consistency and greatly [8,10] reduced authoring time compared to manual methods. Inspired by such successes, we propose applying RAG to qEEG.

EEG Data Preprocessing and Spectral Feature Extraction

Raw EEG data (e.g. BrainVision.eeg/.vhdr files) are ingested and organized according to the Brain Imaging Data Structure (BIDS) for neurophysiology. We use MNE-Python to apply a standard [1] preprocessing chain: band-pass filtering (e.g. 1–50 Hz), removal of line noise, and artifact correction (automatic identification of bad channels, Independent Component Analysis for ocular/muscle artifacts). It is critical to document each step for reproducibility: we leverage the MNE-BIDS-Pipeline [2] framework, which provides scripted execution of preprocessing steps with caching and provenance tracking. This ensures that the exact filtering, referencing (common average or linked1 [11] mastoids), and artifact-rejection parameters are recorded for audit and reuse. Recent work emphasizes [12] that even such preprocessing choices can dramatically affect downstream analyses, so consistency is vital in a clinical research context.

From the cleaned continuous EEG, we compute spectral power in canonical bands (delta 1–4 Hz, theta 4–8 Hz, alpha 8–13 Hz, beta 13–30 Hz, etc.) using Welch’s method or multitapering. Relative band power and ratios (e.g. theta/beta) are computed per channel and averaged over regions of interest. These qEEG features are saved in a structured format (CSV or JSON) along with metadata such as channel montages and patient demographics. This numeric summary forms the quantitative core of the report (for example, “Global theta power was elevated to 150% of the normative mean, consistent with prior findings in schizophrenia”). We also compute EEG complexity or connectivity metrics (entropy, coherence) as advanced optional features. Importantly, the feature extraction is coded in Python using open-source libraries (MNE, SciPy), and the entire pipeline from raw data to feature table can be re-run end-to-end, fulfilling reproducibility standards in bioengineering.

Clinical Data Integration

In addition to EEG, we integrate patient-specific clinical information to contextualize findings. For example, we include diagnosis, medication status, age, and standardized scores such as the BPRS (for psychiatric symptoms), HAM-D (for depression), or MoCA (for cognition). These data may come from an electronic health record or study database. In our framework, clinical scores are merged with EEG results so that the LLM can mention them (e.g. “The patient’s BPRS score was 28, indicating moderate [3] schizophrenia symptoms”). Prior studies often correlate EEG power changes with symptom scales. As one example, Newson & Thiagarajan note that schizophrenia severity was assessed using PANSS and BPRS in most EEG studies. By including such measures, the generated report can explain how EEG abnormalities align (or do not align) with clinical severity. This multimodal integration also allows RAG to retrieve literature linking EEG markers and clinical metrics. For instance, a search combining “theta power schizophrenia BPRS” may yield studies discussing EEG predictors of symptom improvement, which the narrative can cite.

Literature Retrieval and RAG-based Report Generation

To produce an evidence-based narrative, the system queries Europe PMC for relevant literature. Europe PMC is an open-access life sciences repository containing ~36 million article abstracts and 5 million full texts. We construct search queries using patient context (e.g. “schizophrenia EEG theta”), methodological terms (e.g. “qEEG spectrum analysis software”), and any novel findings (e.g. “delta power increase clinical meaning”). Using the Europe PMC RESTful API (or associated Python libraries), the pipeline retrieves top-ranking abstracts and open-access full-texts matching these queries. The selection is filtered for recency and relevance (for example, the last 10 years, human studies, English language).

The core of report generation uses a Retrieval-Augmented Generation model. Retrieved documents (titles, snippets, or passages) form an evidence bank. We then prompt a large language model (e.g. GPT-4 or a fine-tuned domain model) with both the structured patient/EEG data and key excerpts from the literature. The prompt instructs the LLM to write a structured report, ensuring each statement is grounded in the retrieved evidence. For example, in the LLM prompt we include: “Patient is a 30-year-old with schizophrenia (BPRS 30) whose EEG shows elevated theta power (mean 8 µV²). According to [Smith et al. 2022], increased theta power correlates with positive symptoms. Summarize these findings in a report with 9 references.” The RAG approach has demonstrated improved factual accuracy in medical summaries. Our application is analogous to systems like Alzheimer RAG, which fuse textual and imaging data 13 for case studies, and the EEG-MedRAG framework which builds hypergraphs of EEG knowledge and 6 patient data for causal diagnosis generation.

The output is a draft report comprising sections: Background (patient demographics, clinical history), EEG Acquisition (recording details, preprocessing), Results (qEEG features with normative comparisons), and Discussion (interpretation citing literature). In Discussion, the LLM references specific studies (e.g., “The observed theta increase aligns with reports of frontal slowing in schizophrenia 3”) and notes if findings contradict literature (e.g. no alpha slowing despite expectation). Each cited fact is traced to a reference from Europe PMC to maintain transparency. The language model is steered to a “report-writing” style, using sentence templates extracted from sample case studies.

Reproducibility and Open Pipeline Implementation

A key design goal is full reproducibility. All code is in Python and managed with version control. The data flow is modular: BIDS validation ensures input conformity, MNE/BIDS-Pipeline handles [1,11] preprocessing with cacheable steps, and feature computation scripts log their parameters. We containerize the environment (e.g. with Docker or Conda) so others can recreate the exact software setup. The RAG component is also documented: the retrieval queries and LLM prompts are saved alongside the results. This allows independent verification of the report content.

To facilitate reuse by researchers, we leverage community standards. Using BIDS format means that any 1 EEG dataset following BIDS-EEG can be plugged into the pipeline. We provide example Jupyter notebooks that walk through each step on sample data. The pipeline can run in parallel for multiple subjects, supporting large-scale studies (as advertised by the MNE-BIDS-Pipeline for hundreds of 11 datasets). Summaries of processing (filter logs, artifact rejection rates, feature distributions) are automatically compiled into a report PDF, enabling quick quality checks. By being open-source, this framework advances the ethos of reproducible neuroengineering practice.

Clinical Research Utility, Education, and Future Directions

This automated reporting tool has several utilities. In clinical research, it accelerates the generation of case studies and cohort summaries. Investigators can use it to standardize EEG report content across studies, reducing variability. The inclusion of RAG ensures that reports cite current literature, keeping interpretations up to date, which is crucial in fields where biomarker validity is evolving. In neuroengineering education, the pipeline serves as a teaching aid: students can explore how 12 preprocessing choices affect features, and how AI can assist in interpreting neurophysiological data.

The system can generate example cases for training, highlighting how spectral changes relate to diagnosis and literature. Looking forward, the framework can be extended. Future versions might incorporate other modalities (e.g. MRI or genetics) into the RAG context, enabling truly multimodal case reports. Improving the LLM’s domain specificity (through fine-tuning on neuroengineering literature) could reduce errors. There is also potential for real-time use: integrating with EEG acquisition software to update reports as data are collected. From a bioengineering perspective, such tools illustrate how AI can bridge raw data and clinical insight, embodying the translational promise of neuroinformatics.

Strengths, Limitations, and Outlook

This approach offers major strengths: automation greatly reduces expert time, promotes consistency, and ties findings to evidence. By using open pipelines and data standards, it encourages [8,5] reproducible research and democratizes complex EEG analysis for non-experts. However, limitations remain. EEG preprocessing is sensitive; suboptimal filtering or artifact correction can mislead analysis [12-15]. The quality of the LLM report hinges on retrieval: if relevant literature is missed or irrelevant documents are retrieved, the narrative may be skewed or incomplete. As noted in prior RAG studies, LLMs can still hallucinate or oversimplify in clinical contexts, so reports must be reviewed by experts. Data privacy is also a concern: patient data used in prompts should be de-identified and handled under appropriate governance.

In future work, evaluation is critical: we plan systematic testing of report accuracy by comparing AI generated reports with those by neurophysiologists. Advances in domain-specific LLMs and larger EEG text corpora will likely improve performance. Overall, merging automated EEG analytics with retrieval augmented AI represents a promising direction in bioengineering — one that could transform how we synthesize physiological data, clinical scores, and biomedical knowledge into actionable insights.

References

  1. Newson JJ, Thiagarajan TC (2019) EEG frequency bands in psychiatric disorders: a review of resting state studies. Front Hum Neurosci. 12: 521. [crossref]
  2. Kessler R, Enge A, Skeide MA (2025) How EEG preprocessing shapes decoding performance. Commun Biol 8: 1039.
  3. Wang Y, Luo H, Meng L (2025) EEG-MedRAG: Enhancing EEG-based clinical decision-making via hierarchical hypergraph retrieval-augmented generation. arXiv 2508: 13735.
  4. Masanneck L, Meuth SG, Pawlitzki M (2025) Evaluating base and retrieval-augmented LLMs with document or online support for evidence-based neurology. NPJ Digit Med 8: 137.
  5. Kuo SM, Tai SK, Lin HY, Chen RC (2025) Automated Clinical Trial Data Analysis and Report Generation by Integrating Retrieval Augmented Generation (RAG) and LLM Technologies. AI 6: 188.
  6. Gramfort A, Luessi M, Larson E, Engemann DA, Strohmeier D, et al. (2013) MEG and EEG data analysis with MNE-Python. Front Neurosci 7: 267. [crossref]
  7. EMBL-EBI Literature Services. Europe PMC database and text mining infrastructure (2025). MNE-BIDS-Pi pipeline https://mne.tools/mne-bids-pipeline/stable/
  8. How EEG preprocessing shapes decoding performance | Communications Biology
  9. https://www.nature.com/articles/s42003-025-08464-3?error=cookies_not_supported&code=3c2c65df-d6ec-42bf-b872- dd2b7e5a3d96
  10. EEG Frequency Bands in Psychiatric Disorders: https://pmc.ncbi.nlm.nih.gov/articles/PMC6333694/A
  11. Review of Resting State Studies – PMC Literature Services – Europe PMC database and text mining infrastructure https://www.ebi.ac.uk/about/teams/literature-services/
  12. Evaluating base and retrieval augmented LLMs with document or online support for evidence based neurology | npj Digital Medicine
  13. https://www.nature.com/articles/s41746-025-01536 y?error=cookies_not_supported&code=529c2d4a-150c-43b9-a98c-625f5a07fd01 [2508.13735]
  14. EEG-MedRAG: Enhancing EEG-based Clinical Decision-Making via Hierarchical Hypergraph Retrieval-Augmented Generation https://www.arxiv.org/abs/2508.13735
  15. Automated Clinical Trial Data Analysis and Report Generation by Integrating Retrieval. Augmented Generation (RAG) and Large Language Model (LLM) Technologies https://www.mdpi.com/2673-2688/6/8/188 AlzheimerRAG: Multimodal Retrieval Augmented Generation … – arXiv https://arxiv.org/html/2412.16701v1

A Commentary on “Better Treatment Outcomes with Aripiprazole Long-acting Injection in Community and Incarcerated Patients with Serious Mental Illness”

DOI: 10.31038/JDMR.2025813

 

Dear Editor,

Non-adherence to antipsychotic medication is a primary reason for treatment inefficacy in psychotic patients, particularly those with co-occurring substance use disorders (SUD) or alcohol use disorders (AUD). Poor adherence increases relapse risk, hospitalization rates, treatment costs, and the likelihood of legal issues, perpetuating a “revolving door” cycle of hospitalization and incarceration. In Greece, the impending implementation of Law 5129/2024, effective February 1, 2025, will integrate psychiatric services with the penitentiary system, prompting this study to assess aripiprazole LAI benefits for community and incarcerated patients in Eastern Crete. The findings aim to inform health policy, optimize resource allocation, and support psychiatric reform. As a third-generation antipsychotic, aripiprazole acts as a partial D2 and 5-HT1A agonist and 5-HT2A antagonist, approved by the FDA in 2002 [1]. Its unique mechanism [2] may reduce hyperdopaminergic activity in the mesolimbic system (antipsychotic effect) while enhancing hypodopaminergic activity in the prefrontal cortex, potentially alleviating negative symptoms and cognitive deficits [3-5]. Partial 5-HT1A agonism may also provide anxiolytic benefits [6]. Studies, including a 2015 trial in the UK and Canada, demonstrated aripiprazole’s ability to enhance dorsolateral prefrontal cortex (DLPFC) activation during working memory tasks, suggesting improved processing speed [7].

The study enrolled 55 patients: i) Community Patients (n=34): 70.6% male, mean age 42.3 ± 11.9 years, 44.1% with F20.0, 94% with Cluster C personality, 34.1% with psychoactive substance use, mean treatment duration 23.2 ± 18.3 months, ii) Incarcerated Patients (n=21): All male, mean age 37.6 ± 7.7 years, all with F29.0, 57.1% with Cluster B personality, 100% with psychoactive substance use, mean treatment duration 14.5 ± 11.3 months, iii) Significant differences were noted between groups in most demographic and medical history parameters, except for traumatic brain injury, mental retardation, age, and treatment duration.Participants were assessed using the WHOQOL-BREF and CGI-S scales, with outcomes compared pre- and post-aripiprazole LAI treatment over a minimum six-month period.

This study is the first in Greece to evaluate aripiprazole LAI for community patients with psychosis and SUD, and the first in Europe for incarcerated patients with unspecified psychosis and SUD. Observed outcomes may reflect temperamental traits, as noted by Favaretto et al. (2024) [8], which influence psychopathology severity and treatment engagement, especially in dual-diagnosis or Cluster B populations [9]. Our findings confirm significant improvements in quality of life, functionality, and hospitalization rates, aligning with Sampogna et al. (2023) on LAI benefits (10).Aripiprazole LAI also shows promise for AUD, with four community patients achieving abstinence and others reducing consumption. Animal studies support its efficacy in reducing ethanol-related behaviors [11,12]. Further research is needed to quantify cost savings and explore off-label use in AUD.

Ethical approval was granted by the General Hospital of Agios Nikolaos (decision 514/19-07-2023), Scientific Council of the General Hospital of Agios Nikolaos Lasithi of Crete – National Health System of Greece (Prot. No. 10/15-02-2023), 7th Sanitary Region of Crete (Prot. No. 28386/30-06-2023), and Ministry of Public Order (Prot. No. 10456/10-04-2023) under Law 4812/2021, Article 87. The studies were conducted in accordance with the local legislation and institutional requirements.

Based on: 1) Our study under comment, 2) our clinical experience and at the same time on the data of a larger sample that we have already collected and are studying in recent months, we have been led to the conclusion that it would be extremely interesting for our research to study the therapeutic stabilization of our patients in the first three months of treatment with aripiprazole LAI. The recent results to which our constantly evolving research has led us have given us all the important indications of an effective and at the same time faster response to therapy, which could occur before 6 months from the first day of administration of the medication.

Evaluating the results of our studies [13-15] and guided by our clinical examination based on our medical skill and experience, we observe a gradual improvement in the clinical status of patients (patients in community and incarcerated patients) after the first two months of administration of the Depot antipsychotic therapy, such as their daily functionality, their affective and cognitive response to any form of everyday stimuli [16,17], in combination with the improvement of their quality of life (as evidenced by the systematic medical clinical examination and medical observation of patients, by the management of the crisis in their daily life and by the interactive relationship of the patients with familiar persons in different environments) and the reduction of their hospitalizations due to the hard core of their disease. All these lead us to think about the possibility of having better clinical outcomes and satisfactory indication of stabilization from the treatment even in the first three months.

Such a possibility would provide to patients faster relief from the symptoms of their illness and would reduce more quickly the possibility of dangerous exacerbations of the disease, which are associated with the triggering of inflammatory processes in the body and the sensitization of the immune system. Moreover, such a possibility would reduce the possible threat of the patients’ integrity and the integrity of the people around them from clinical manifestations of inappropriate behaviors of the patients that characterize the disease (for example, positive symptoms of the disease). Finally, would encourage the compliance of the patients in the faithful adherence and continuation of their treatment and would restore the general pathogenesis created in their environment by the effects of their illness.

References

  1. Di Sciascio G, Riva MA (2015) Aripiprazole: from pharmacological profile to clinical Neuropsychiatr Dis Treat 11: 2635.
  2. Abilify 5 mg/ml solution for injection (intramuscular) – summary of product characteristics (SmPC)
  3. DeLeon A, Patel NC, Crismon ML (2004) Aripiprazole: a comprehensive review of its pharmacology, clinical efficacy, and Clin Ther 26: 649-66.
  4. Millan MJ (2003) The neurobiology and control of anxious states. Prog Neurobiol 70: 83-244.
  5. Murphy A, Dursun S, McKie S, Elliott R, Deakin JF (2016) An investigation into aripiprazole’s partial D2 agonist effects within the dorsolateral prefrontal cortex during working memory in healthy volunteers. Psychopharmacol (Berl) 233: 1415-26.
  6. Lee JS, Lee JD, ParkH-J, Oh M-K, Chun JW, et (2013) Is the GABA system related to the social competence improvement effect of aripiprazole? An (18) F-fluoroflumazenil PET study. Psychiatry Investig 10: 75-80.
  7. Hahn M, Roll SC (2016) Dosing recommendations of aripiprazole depot with strong cytochrome P450 3A4 inhibitors: A relapse risk. Drug Saf Case Rep 3: 5.
  8. Favaretto E, Bedani F, Brancati GE, De Berardis D, Giovannini S, et (2024) Synthesising 30 years of clinical experience and scientific insight on affective temperaments in psychiatric disorders: State of the art. J Affect Disord 362: 406-415.
  9. Burnette EM, Nieto SJ, Grodin EN, Meredith LR, Hurley B, et (2022) Novel agents for the pharmacological treatment of alcohol use disorder. Drugs 82: 251-74.
  10. Sampogna G, Di Vincenzo M, Giuliani L, Menculini G, Mancuso E, et al. (2023) A systematic review on the effectiveness of antipsychotic drugs on the quality of life of patients with Brain Sci 13: 1577.
  11. Ingman K, Kupila J, Hyytia P, et (2006) Effects of aripiprazole on alcohol intake in an animal model of high-alcohol drinking. Alcohol 41: 391-8.
  12. Jerlhag E (2008) The antipsychotic aripiprazole antagonizes the ethanol- and amphetamine-induced locomotor stimulation in Alcohol 42: 123-7.
  13. Koiliari EI, Mouzas I, Alevizopoulos G, Lesch O, Walter H, et (2024) Long-acting injectable aripiprazole in patients with psychosis is associated with improved quality of life, better general clinical outcome and fewer hospitalizations. European Psychiatry 67: S729-S729.
  14. Pasparakis EL, Mouzas I, Detorakis GI, Koiliari EI (2025) Analysis of the therapeutic effect of the long-acting injectable form of aripiprazole in incarcerated adult males in European Psychiatry 68: S385-S385.
  15. Koiliari EI, Mouzas I, Detorakis GI, Pasparakis EL (2025) The use of depot antipsychotics in patients with dual diagnosis of psychosis and substance use disorder is associated with improved quality of life, better general clinical outcome and fewer European Psychiatry 68: S429-S430.
  16. Koiliari E, Roussos P, Pasparakis E, Lencz T, Malhotra A, et (2014) The CSMD1 genome-wide associated schizophrenia risk variant rs10503253 affects general cognitive ability and executive function in healthy males. Schizophr Res 154: 42-7.
  17. Pasparakis E, Koiliari E, Zouraraki C, Tsapakis EM, Roussos P, et (2015) The effects of the CACNA1C rs1006737 A/G on affective startle modulation in healthy males. Eur Psychiatry 30: 492-8.

Design, Synthesis, and Anticancer Activity of 1-(2-(Adamantan-1-yl)-1H-indol-5-yl)-3-Substituted Thiourea Derivatives as CDK9 Inhibitors

DOI: 10.31038/JPPR.2025814

Abstract

Objective: A novel Cdk9 inhibitor 1-(2-adamantane-1-yl-1H indole-5-yl)-3-substituted thiourea derivative was designed and synthesized and their anti-gastric cancer activities were studied.

Methods: A series of target compounds 7a-7m were synthesized from amantadane formyl chloride by 6-step reactions. The structures of the target compounds were identified by 1H NMR, 13C NMR and HRMS. MTT assay was used to detect the inhibitory effect of synthetic compounds on the growth of gastric cancer cells, and Western blot assay was used to detect the regulatory effect of hit compound on downstream signaling pathways. Results: The results showed that the target compounds had certain inhibitory activity on the growth of gastric cancer cells, among which compound 7l had the best activity on the gastric cancer cell line (SGC-7901) with IC50 value of 2.26 ± 0.04 μM, and 7I had little toxicity on normal gastric epithelial cells (IC50 > 100 μM). In addition, 7I can bind to CDK9 and inhibit pSer2 expression in gastric cancer cells in a concentration dependent manner. Finally, molecular docking study showed that 7l can stably bind to the active site of CDK9 and has a high binding affinity.

Conclusion: This series of compounds has good anti-gastric cancer activity and has the significance of further study.

Keywords

Adamantane derivatives; Indole; Gastric cancer; CDK9

Gastric cancer is one of the most common cancers worldwide and ranks as the third leading cause of cancer-related deaths [1]. Middle-aged and elderly individuals are at high risk, and gastric cancer is often diagnosed at an advanced stage, with a five-year survival rate of less than 30% [2,3]. Therefore, understanding the occurrence and progression of gastric cancer, along with the potential discovery of novel diagnostic and prognostic biomarkers, is crucial for improving clinical outcomes. Clinically, the primary treatment for gastric cancer is surgical intervention, supplemented by pharmacological therapy [4]. Although chemotherapy can extend the survival of patients to some extent, conventional chemotherapeutic agents suffer from poor specificity, significant toxicity, side effects, and a tendency to induce drug resistance, all of which adversely affect treatment efficacy and patient survival [5]. Thus, identifying effective drugs with favorable therapeutic profiles for gastric cancer is of great importance. Cyclin-dependent kinases (CDKs) are a family of serine/threonine protein kinases that play vital roles in cell cycle progression and transcriptional regulation [6-9]. Recent studies have shown that CDKs are overexpressed in various cancers, leading to uncontrolled cell proliferation and drug resistance [10]. CDK9, a key member of the CDK family, is essential for stable RNA transcriptional elongation. CDK9 and cyclin T form the positive transcription elongation factor b (P-TEFb) complex, which promotes transcriptional elongation through phosphorylation of RNA polymerase II (RNAPII) [11,12]. Recent evidence indicates that CDK9 plays a critical role in numerous human cancers, including cervical, prostate, and lung cancers [13-18]. Dual-luciferase reporter assays have demonstrated that miR-613 inhibits the metastasis and progression of gastric cancer cells by downregulating CDK9 gene expression [19]. Therefore, targeting CDK9 to interfere with the development and progression of gastric cancer holds therapeutic promise. Building on previous work, this study designed and synthesized a novel series of CDK9 inhibitors (Figure 1). The influence of different substituted R groups on the antitumor activity of these thiourea compounds was investigated to identify more potent 1-(2-(adamantan-1-yl)-1H-indol-5-yl)-3-substituted thiourea derivatives. The synthetic route for target compounds 7a–7l is illustrated in Figure 1.

Figure 1: Synthetic route of compounds 7a~7l.

Materials and Methods

Chemicals and Reagents

Starting materials were purchased from Shanghai Titan Scientific Co., Ltd. All reagents were of analytical grade and used without further purification. Solvents were used as received. Thin-layer chromatography (TLC) silica gel (Qingdao Marine Chemical Factory, 60–100 mesh) and MTT powder (ST1537, Beyotime) were used.

Instruments

NMR spectra were recorded on a Bruker Avance 600 spectrometer using DMSO-d6 or CDCl3 as the solvent with TMS as the internal standard. Mass spectra were obtained using an Agilent 6230 mass spectrometer. A Thermo microplate reader was used for absorbance measurements.

Methods

MTT Assay for Cell Viability

The MTT assay was used to assess cell survival and growth. Cells were digested and seeded into 96-well plates at a density of 3,000 cells per well. After cell attachment, they were treated with the respective compounds or solvent, with cisplatin used as a positive control. After 48 hours of incubation, the medium was replaced with fresh medium containing MTT solution (1.2 mg/mL), and the cells were incubated for another 3 hours. The MTT formazan product was dissolved in DMSO, and the absorbance was measured at 492 nm using a microplate reader.

CDK9 Inhibition Assay

The ADP-Glo Kinase Assay was employed to determine the inhibitory activity of the compounds against CDK9 protein, conducted by Innovative CRO + Explorer (Beijing, China). Kinase activity was assessed in a buffer containing 50 mM Hepes, 10 mM MgCl2, 0.01% Brij 35, 1 mM EGTA, 2 mM DTT, and ddH2O. Test compounds were prepared in DMSO. The inhibition rate against CDK9/cyclin T1 (ATP: 20 μM) was tested for all compounds at a concentration of 1 μM.

Molecular Docking

Molecular docking was performed to explore the interaction mode between compound 7l and CDK9. The crystal structure of CDK9/cyclin T1 (PDB ID: 7NWK, resolution: 2.81 Å) was downloaded from the Protein Data Bank (https://www.rcsb.org/structure/7NWK). The protein structure was prepared using the Protein Preparation Wizard module in Schrödinger software (V 2023-1) under default parameters, including removal of water and solvent molecules, addition of hydrogen atoms, assignment of charges, completion of missing amino acid residues, optimization of the hydrogen bond network, and energy minimization using the OPLS4 force field. The structure of 7l was prepared using LigPrep (Schrödinger, LLC, New York, NY, 2023) under the OPLS4 force field with default parameters, including hydrogen addition, charge assignment, and generation of possible protonation states at pH 7.0 ± 2.0. Molecular docking was performed using the Ligand Docking module in Schrödinger software, docking 7l into the ATP-binding site of CDK9. The docking box was centered on the centroid of the original crystal ligand, and extra precision (XP) docking was employed. The binding energy of the 7l-CDK9 complex was calculated using the MM-GBSA module. Maestro (Version 12.5, Schrödinger) was used for visualization, and PyMOL (Version 2.5.4, Schrödinger, LLC) was used for rendering and presentation.

Experimental Methods and Results

Synthesis of Intermediate N-(o-Tolyl)adamantane-1-Carboxamide (2)

In a dried 50 mL round-bottom flask, toluene (10 mL), adamantane-1-carbonyl chloride (0.99 g, 5 mmol), o-toluidine (0.54 g, 5 mmol), and potassium carbonate (0.69 g, 5 mmol) were added successively. The mixture was stirred and heated to 80°C, and the reaction progress was monitored by TLC. After completion, the reaction mixture was cooled, filtered, washed with water, and dried to afford a crude white solid, which was recrystallized from ethanol to yield N-(o-tolyl)adamantane-1-carboxamide (1.17 g, 87%). 1H-NMR(600 MHz, CDCl3) δ: 7.88 (d, J=8.1 Hz, 1H), 7.24-7.18 (m, 2H), 7.17 (d, J=7.5Hz, 1H), 7.05 (dt, J=1.1, 7.4 Hz, 1H), 2.26 (s, 3H), 2.11 (brs, 3H), 1.99 (d, J=2.6 Hz, 6H), 1.77 (m, 6H).

Synthesis of Intermediate 2-(Adamantan-1-yl)-1H-indole (3)

A dried 25 mL three-necked flask was charged with N-(o-tolyl)adamantane-1 carboxamide (0.285 g, 1.0 mmol) and THF (15 mL). The mixture was cooled to 0–5°C under nitrogen, and n-butyllithium (2 mL) was added dropwise. The reaction was monitored by TLC. Upon completion, the pH was adjusted to 7.0–7.5 with 5% dilute hydrochloric acid. The mixture was extracted, and the organic phase was dried over anhydrous Na2SO4, filtered, and concentrated under reduced pressure. The crude product was purified by column chromatography (eluent: petroleum ether/ethyl acetate=10: 1, v/v) to yield 2-(adamantan-1-yl)-1H-indole (0.166 g, 66.1%). 1H-NMR (600 MHz, CDCl3) δ: 7.30 (d, J=7.9 Hz, 1H), 7.18 (dd, J=0.5, 8.1 Hz, 1H), 6.88 (dt, J=1.1, 7.5 Hz, 1H), 6.83-6.77 (m, 1H), 5.98 (d, J=0.6 Hz, 1H), 1.97 (d, J=2.6 Hz, 3H), 1.93 (d, J=2.9 Hz, 6H), 1.73 (brs, 6H).

Synthesis of Intermediate 2-(Adamantan-1-yl)-5-nitro-1H-indole (4)

A 25 mL three-necked flask was charged with 2-(adamantan-1-yl)-1H-indole (0.25 g, 1.0 mmol) and concentrated sulfuric acid (0.8 mL). A solution of sodium nitrate (0.085 g, 1.0 mmol) in sulfuric acid (0.8 mL) was added dropwise at 0°C. After addition, the reaction was maintained for 1–2 hours and monitored by TLC. Upon completion, a large amount of ice water was added, and a yellow solid precipitated. The solid was filtered, washed with water, and dried. The crude product was purified by column chromatography (eluent: petroleum ether/ethyl acetate=5: 1, v/v) to yield 2 (adamantan-1-yl)-5-nitro-1H-indole (0.24 g, 82.8%) as a yellow solid. 1H-NMR (600 MHz, DMSO-d6) δ: 11.65 (brs, 1H), 8.44 (d, J=2.2 Hz, 1H), 7.93 (dd, J=2.2 ,9.0 Hz, 1H), 7.44 (d, J=8.8 Hz, 1H), 6.38 (d, J=1.5 Hz, 1H), 2.07 (brs,3H), 1.98 (brs, 6H), 1.81-1.67 (m, 6H);13C-NMR (150 MHz, DMSO-d6) δ: 154.0, 140.8, 139.9, 127.7, 116.9, 116.3, 111.4, 98.2, 41.9, 36.6, 34.1, 28.2; HRMS (ESI) m/z: 297.1599 [M+H]+, Calt: 297.1598 [M+H]+.

Synthesis of Intermediate 5-Amino-2-(adamantan-1-yl)-1H-indole (5)

In a 250 mL three-necked flask, ethanol (100 mL), acetic acid (10 mL), water (20 mL), and iron powder (8.62 g, 0.15 mol) were added. The mixture was heated to 75°C, and 2-(adamantan-1-yl)-5-nitro-1H-indole (11.4 g, 0.038 mol) was added in portions. The reaction was maintained for 2 hours and monitored by TLC. After completion, the reaction mixture was hot-filtered, and the filtrate was concentrated under reduced pressure to remove the solvent. Water (80 mL) was added, followed by ethyl acetate (80 mL) with stirring. The pH was adjusted to 7–8 with sodium bicarbonate. The organic phase was separated, dried over anhydrous Na22SO44, filtered, and purified by column chromatography (eluent: petroleum ether/ethyl acetate=2: 1, v/v) to yield 5 amino-2-(adamantan-1-yl)-1H-indole (6.9 g, 67.0%) as a red solid. 1H-NMR (600 MHz, CDCl3) δ: 7.80 (brs, 1H), 7.10 (d, J=8.4 Hz, 1H), 6.86 (d, J=2.2 Hz, 1H), 6.57 (dd, J=2.2, 8.4 Hz, 1H), 6.05 (dd, J=0.7, 2.2 Hz, 1H), 3.23-3.65 (m, 2H), 2.09 (brs, 3H), 1.96 (d, J=2.38 Hz, 6H), 1.78 (q, J=12.2 Hz, 6H);13C-NMR (150 MHz, CDCl3) δ: 149.9,139.3, 130.3, 129.4, 111.6, 110.8, 105.3, 95.5, 42.6, 36.8, 33.7, 28.5; HRMS (ESI) m/z: 267.1858 [M+H]+, Calt: 267.1856 [M+H]+.

Synthesis of Intermediate 5-Isothiocyanato-2-(adamantan-1-yl)-1H-indole (6)

In a dried 100 mL three-necked flask, a solution of 5-amino-2-(adamantan-1-yl)-1H indole (4.10 g, 15.5 mmol) in toluene (20 mL) and triethylamine (3 mL) was added. Carbon disulfide (3.50 g, 46.5 mmol) was added dropwise slowly. The reaction was stirred at room temperature for 8 hours. The mixture was filtered and dried, then dissolved in dichloromethane (30 mL). Triphosgene (5.0 g, 17 mmol) was added dropwise at 0–5°C. After 2 hours, the reaction was monitored by TLC. Upon completion, the product was purified by column chromatography (eluent: petroleum ether/ethyl acetate=10: 1, v/v) to yield 5-isothiocyanato-2-(adamantan-1-yl)-1H-indole (2.89 g, 64.0%) as a white solid. 1H-NMR(600 MHz, CDCl3) δ: 7.40 (d, J=1.8 Hz, 1H ), 7.23 (d, J=8.4 Hz, 1H, ), 6.98 (dd, J=2.0, 8.4 Hz, 1H), 6.20 (d, J=1.5 Hz, 1H ), 2.14 2.08 (m, 3H), 1.99-1.94 (m, 6H), 1.85-1.74 (m, 6H); 13 C-NMR (150 MHz, CDCl3) δ: 151.4, 134.1, 131.8, 128.7, 122.6, 119.0, 117.3, 111.2, 96.8, 42.5, 36.7, 33.9, 28.4; HRMS (ESI) m/z: 309.1422 [M+H]+, Calt: 309.1420 [M+H]+.

Synthesis of 1-(2-(Adamantan-1-yl)-1H-indol-5-yl)-3-Substituted Thiourea Derivatives (7a–7l)

In a 25 mL reaction flask, 5-isothiocyanato-2-(adamantan-1-yl)-1H-indole (0.145 g, 0.5 mmol) and toluene (10 mL) were added. The appropriate amine (0.5 mmol) was added, and the mixture was heated to 80°C. The reaction was monitored by TLC. After cooling, the mixture was filtered and dried to afford the target compounds as white solids in yields of 70.0–88.6%.

7a: white solid, yield 70.1%, mp 198~200℃, 1H NMR (400 MHz, DMSO-d6) δ: 10.92 (s, 1H), 9.25 (brs, 1H), 7.27 (dd, J=3.2, 4.95 Hz, 2H), 6.83 (dd, J=1.7 8.5 Hz, 1H), 6.08 (d, J=1.71 Hz, 1H), 3.47-3.40 (m, 2H), 2.06 (brs, 3H), 1.96 (d, J=1.96 Hz, 6H), 1.76 (br, 6H), 1.54-1.41 (m, 2H), 1.32-1.19 (m, 6H), 0.87 (t, J=6.79 Hz, 3H);13C NMR (100 MHz, DMSO-d6): δ 181.0, 152.5, 151.1, 135.3, 134.6, 128.4, 116.8, 111.5, 95.8, 44.5, 42.2, 36.8, 33.9, 31.5, 29.1, 28.3, 26.5, 22.5, 14.4; HRMS (ESI) m/z: 410.2625 [M+H]+, Calt: 410.2624 [M+H]+.

7b: white solid, yield 78.4%, mp 201~203℃, 1H NMR (400 MHz, DMSO-d6) δ: 10.90 (s, 1H), 9.21 (s, 1H), 7.32 (s, 1H), 7.25 (d, J=8.44 Hz, 1H), 6.96 (brs, 1H), 6.87 (dd, J=1.7, 8.4 Hz, 1H), 6.07 (d, J=1.3 Hz, 1H), 2.06 (brs, 3H), 1.96 (brs, 6H), 1.89-1.83 (m, 2H), 1.80-1.71 (m, 6H), 1.64 (d, J=12.6 Hz, 2H), 1.54 (d, J=12.7 Hz, 1H), 1.32-1.04 (m, 5H); 13C NMR (100 MHz, DMSO-d6) δ: 180.0, 151.0, 134.4, 130.1, 128.3, 118.8, 116.4, 111.3, 95.7, 52.9, 42.2, 36.8, 33.9, 32.4, 28.4, 25.6, 25.1; HRMS (ESI) m/z: 408.2469 [M+H]+, Calt: 408.2468 [M+H]+.

7c: white solid, yield 80.1%, mp 221~223℃, 1H NMR (400 MHz, DMSO-d6) δ: 10.91 (s, 1H), 9.66 (s, 1H), 9.35 (brs, 1H), 7.50 (d, J=7.8 Hz, 2H), 7.42 (s, 1H), 7.33-7.25 (m, 3H), 7.13-7.07 (m, 1H), 6.98 (dd, J=1.8, 8.5Hz, 1H), 6.10 (d, J=1.6Hz, 1H), 2.07 (brs, 3H), 1.97 (s, 6H), 1.84-1.66 (m, 6H); 13C NMR (100 MHz, DMSO-d6) δ: 180.4, 151.0, 140.3, 134.5, 130.5, 128.7, 128.3, 124.6, 124.3, 119.0, 116.6, 111.1, 95.8, 42.3, 36.8, 33.9, 28.4; HRMS (ESI) m/z: 402.1999 [M+H]+, Calt: 402.1998 [M+H]+.

7d: white solid, yield 78.8%, mp 225~226℃; 1H NMR (400 MHz, DMSO-d6) δ: 10.91 (s, 1H), 9.54 (s, 1H), 8.87 (brs, 1H), 7.42 (d, J=1.5 Hz, 1H), 7.30-7.24 (m, 2H), 7.22 (dd, J=1.5, 6.9 Hz, 1H), 7.19-7.09 (m, 2H), 6.98 (dd, J=1.9, 8.5 Hz, 1H), 6.10 (d, J=1.7 Hz, 1H), 2.24 (s, 3H), 2.07 (brs, 3H), 1.97 (d, J=2.0 Hz, 6H), 1.82 1.72 (m, 6H); 13C NMR (100 MHz, DMSO-d6) δ: 181.1, 151.0, 138.8, 135.3, 134.6, 130.6, 128.7, 128.3, 126.6, 126.3, 119.2, 116.9, 111.2, 95.8, 42.3, 36.8, 33.9, 28.4, 18.4;HRMS (ESI) m/z: 416.2152 [M+H]+,Calt: 416.2155 [M+H]+.

7e: white solid, yield 75.6%, mp 234~236℃;1H NMR (400 MHz, DMSO-d6) δ: 10.91 (s, 1H), 9.62 (s, 1H), 9.27 (brs, 1H), 7.41 (s, 1H), 7.32-7.24 (m, 3H), 7.19 (t, J=8.1 Hz, 1H), 6.97 (dd, J=1.8, 8.5 Hz, 1H), 6.92 (d, J=7.5 Hz, 1H), 6.09 (d, J=1.5 Hz, 1H), 2.28 (s, 3H), 2.07 (brs, 3H), 1.97 (brs, 6H), 1.83-1.63 (m, 6H);13C NMR (100 MHz, DMSO-d6) δ: 180.3, 151.0, 140.2, 137.9, 134.5, 130.5, 128.5, 128.2, 125.3, 124.9, 121.5, 119.1, 116.6, 111.1, 95.8, 42.3, 36.8, 33.9, 28.4, 21.5; HRMS (ESI) m/z: 416.2150 [M+H]+,Calt: 416.2155 [M+H]+.

7f: white solid, yield 79.5%, mp 227~228℃; 1H NMR (600 MHz, DMSO-d6) δ: 10.92 (brs, 1H), 9.59 (brs, 1H), 9.26 (brs, 1H), 7.41 (s, 1H), 7.35 (d, J=8.0 Hz, 2H), 7.27 (d, J=8.4 Hz, 1H), 7.11 (d, J=8.0 Hz, 2H), 6.97 (d, J=7.7 Hz, 1H), 6.09 (s, 1H), 2.28 (s, 3H), 2.07 (brs, 3H), 1.97 (brs, 6H), 1.81-1.70 (m, 6H); 13C NMR (150 MHz, DMSO-d6) δ: 180.4, 151.0, 137.7, 134.5, 133.8, 130.5, 129.1, 128.2, 124.6, 119.1, 116.6, 111.1, 95.7, 42.3, 36.8, 33.9, 28.4, 21.0;HRMS (ESI) m/z: 416.2151 [M+H]+,Calt: 416.2155 [M+H]+.

7g: white solid, yields 80.1%, mp 244~246℃; 1H NMR (400 MHz, DMSO-d6) δ: 10.90 (s, 1H), 9.50 (s, 1H), 9.14 (brs, 1H), 7.41 (d, J=0.9 Hz, 1H), 7.33 (d, J=8.9 Hz, 2H), 7.27 (d, J=8.4 Hz, 1H), 6.97 (dd, J=1.8, 8.5 Hz, 1H), 6.88 (d, J=8.9 Hz, 2H), 6.09 (d, J=1.5 Hz, 1H), 3.74 (s, 3H), 2.07 (brs, 3H), 1.97 (brs, 6H), 1.82-1.71 (m, 6H);13C NMR (100 MHz, DMSO-d6) δ: 180.7, 156.8, 151.0, 134.5, 133.1, 130.5, 128.3, 126.7, 119.1, 116.7, 113.9, 111.1, 95.7, 55.7, 42.3, 36.8, 33.9, 28.4;HRMS (ESI) m/z: 432.2106 [M+H]+,Calt: 432.2104 [M+H]+.

7h: white solid, yields 73.1%, mp 208~210℃; 1H NMR (600 MHz, DMSO-d6) δ: 10.93 (s, 1H), 9.70 (brs, 1H), 9.31 (brs, 1H), 7.46 (dd, J=5.1, 8.6 Hz, 2H), 7.40 (s, 1H), 7.27 (d, J=8.6 Hz, 1H), 7.14 (t, J=8.8 Hz, 2H), 6.96 (dd, J=1.4, 8.5 Hz, 1H), 6.09 (d, J=1.5 Hz, 1H), 2.07 (brs, 3H), 1.97 (brs, 6H), 1.80-1.72 (m, 6H); 13C NMR (150 MHz, DMSO-d6) δ: 180.7, 159.5 (d, J=238.5 Hz), 151.0, 136.7, 134.6, 130.3, 128.3, 126.9, 119.0, 116.6, 115.2(d, J=21.0 Hz), 111.2, 95.8, 42.2, 36.8, 33.9, 28.4; (ESI) m/z: 420.1904 [M+H]+,Calt: 420.1904 [M+H]+.

7i: white solid, yields 79.1%, mp 245~246℃; 1H NMR (600 MHz, DMSO-d6) δ: 10.94 (brs, 1H), 9.78 (brs, 1H), 9.44 (brs, 1H), 7.52 (d, J=8.4 Hz, 2H), 7.41 (brs, 1H), 7.35 (d, J=8.8 Hz, 2H), 7.27 (d, J=8.4 Hz, 1H), 6.96 (d, J=8.0 Hz, 1H), 6.09 (s, 1H), 2.07 (brs, 3H), 1.97 (brs, 6H), 1.81-1.72 (m, 6H); 13C NMR (150 MHz, DMSO d6) δ: 180.4, 151.1, 139.4, 134.6, 128.7, 128.4, 128.2, 126.0, 125.8, 119.0, 116.6, 111.2, 95.8, 42.2, 36.8, 33.9, 28.4; (ESI) m/z: 436.1605 [M+H]+,Calt: 436.1609 [M+H]+.

7j: white solid, yield 82.3%, mp 218~220℃; 1H NMR (400 MHz, DMSO-d6) δ: 10.93 (s, 1H), 9.95 (s, 1H), 9.71 (brs, 1H), 7.78 (d, J=8.4Hz, 2H), 7.65 (d, J=8.6 Hz, 2H), 7.43 (s, 1H), 7.28 (d, J=8.4 Hz, 1H), 6.99 (dd, J=1.7, 8.5 Hz, 1H), 6.10 (d, J=1.5Hz, 1H), 2.07 (brs, 3H), 1.97 (d, J=2.0 Hz, 6H), 1.82-1.69 (m, 6H);13C NMR (100 MHz, DMSO-d6) δ: 180.3, 151.1, 144.3, 134.6, 130.3, 128.3, 125.7, 123.5, 118.8, 116.5, 111.2, 95.8, 42.2, 36.8, 33.9, 28.4; (ESI) m/z: 470.1872 [M+H]+,Calt: 470.1872 [M+H]+.

7k: white solid, yield: 88.6%; mp 242-243℃; 1H NMR (600 MHz, DMSO-d6) δ: 10.78-10.94 (m, 1H), 9.42 (brs, 1H), 8.77 (brs, 1H), 7.40 (s, 1H), 7.26 (d, J=8.4 Hz, 1H), 7.10 (d, J=7.8 Hz, 1H), 7.01 (s, 1H), 6.98-6.92 (m, 2H), 6.14-5.94 (m, 1H), 2.25 (s, 3H), 2.19 (s, 3H), 2.05 (brs, 3H), 1.96 (brs, 6H), 1.82-1.70 (m, 6H);13C NMR (150 MHz, DMSO-d6) δ: 151.0, 135.8, 135.1, 134.6, 131.2, 129.4, 128.7, 128.6, 128.3, 126.9, 119.2, 116.9, 95.8, 42.3, 36.8, 33.9, 28.4, 21.0, 18.3;(ESI) m/z: 430.2310 [M+H]+,Calt: 430.2311 [M+H]+.

7l: white solid, yield 72.8%, mp 228~230℃;1H NMR (400 MHz, DMSO-d6) δ: 10.94 (s, 1H), 9.85 (brs, 1H), 8.96 (brs, 1H), 7.52 (d, J=6.7 Hz, 1H), 7.42 (s, 1H), 7.31-7.23 (m, 2H), 7.07-7.01 (m, 1H), 6.97 (dd, J=1.8, 8.5Hz, 1H), 6.11 (d, J=1.6 Hz, 1H), 2.07 (brs, 3H), 1.97 (d, J=2.2 Hz, 6H), 1.83-1.69 (m, 6H);13C NMR (100 MHz, DMSO-d6) δ: 181.6, 161.7, 156.2, 151.1 (d, J=25.0 Hz), 134.7, 131.0, 130.2 (d, J=25.0 Hz), 129.4, 128.7, 128.3, 124.9, 119.0, 116.8, 111.3, 111.1, 104.5, 95.8, 42.2, 36.8, 33.9, 28.4; (ESI) m/z: 438.1812 [M+H]+,Calt: 438.1810 [M+H]+.

Results and Discussion

Structure-Activity Relationship (SAR) Discussion

The target compounds were synthesized starting from adamantane-1-carbonyl chloride and o-toluidine to yield N-(o-tolyl)adamantane-1-carboxamide (compound 2), which was then reacted with n-butyllithium to give 2-(adamantan-1-yl)-1H-indole (compound 3). Nitration of 3 afforded 2-(adamantan-1-yl)-5-nitro-1H-indole (compound 4), which was reduced to 5-amino-2-(adamantan-1-yl)-1H-indole (compound 5). Treatment of 5 with triphosgene yielded 5-isothiocyanato-2 (adamantan-1-yl)-1H-indole (compound 6). Reaction of 6 with various amines gave the target compounds 7a–7l, whose structures were confirmed by 1H NMR, 13C NMR, and HRMS. The in vitro inhibitory activities of the synthesized compounds against the gastric cancer cell line SGC-7901 were evaluated using the MTT assay, and the results are summarized in Table 1. The effects of different R groups (alkyl, cycloalkyl, substituted aryl, and fused aromatic rings) on the inhibitory activity against SGC-7901 were investigated. According to Table 1, the order of potency for R=hexyl, cyclohexyl, phenyl, and naphthyl was 7c (phenyl) > 7b (cyclohexyl) > 7a (hexyl). For monosubstituted phenyl derivatives (7d–7j), the order was 4-Cl (7i) > 4-F (7h) > 4-OCH3 (7g) > 4-CF3 (7j) > 2-CH3 (7d) > 3-CH3 (7e) > 4-CH3 (7f). For disubstituted phenyl derivatives (7k–7l), 2,4-diCl (7l) > 2,4-diCH3 (7k). Compound 7l exhibited the most potent activity, with an IC50 value of 2.26 ± 0.04 μM. Moreover, 7l showed low toxicity toward normal gastric epithelial cells (IC50>100 μM).

Table 1: Structure, kinase and cell inhibitory activity of the targeted compounds.

Analysis of the Binding Mode of 7l with CDK9

Molecular docking studies were performed to predict the binding mode of 7l with Compound Structure SGC-7901 (IC50/μM) CDK9 inhibiton (@ 1μM) R 7a 15.35 ± 0.23 50.1% 7c 10.11 ± 0.12 58.1% 7e 14.56 ± 0.20 52.3% 7g O 8.45 ± 0.07 73.8% 7i Cl 7.35 ± 0.11 79.5% 7k 13.18 ± 0.47 54.1% 7m 24.16 ± 0.14 45.9% 7b 21.24 ± 0.34 40.2% 7d 12.10 ± 0.45 54.3% 7f 17.23 ± 0.11 49.7% 7h F 8.09 ± 0.37 75.5% 7j CF3 9.76 ± 0.20 60.1% 7l F F 2.26 ± 0.04 85.6% CDK9. The results indicated that 7l binds within the ATP-binding pocket of CDK9, and its three-dimensional structure fits well into the active site (Figure 2A). As shown in Figure 2B, the indole core and thiourea moiety of 7l form stable interactions with key residues of CDK9. The hydrogen atom on the indole nitrogen acts as a hydrogen bond donor, forming a strong hydrogen bond (1.80 Å) with the carbonyl oxygen of GLU107 in the hinge region, indicating that the core of 7l is well-anchored in the hinge region of the CDK9 active site. Additionally, the hydrogen atoms on the thiourea moiety provide further opportunities for interactions with amino acid residues in the active site. The docking results showed that a hydrogen atom on the thiourea group acts as a hydrogen bond donor, forming a hydrogen bond (2.20 Å) with GLY28 of CDK9. Furthermore, the binding free energy of 7l with CDK9, calculated using the MM-GBSA method, was –32.86 kcal/mol, further confirming the high binding affinity of 7l for CDK9.

Through a molecular hybridization strategy, twelve new 1-(2-(adamantan-1-yl) 1H-indol-5-yl)-3-substituted thiourea derivatives (7a–7l) were synthesized and characterized by 1H NMR, 13C NMR, and HRMS. The MTT and CDK9 inhibition assay demonstrated that these compounds inhibit the growth of gastric cancer cells, with compound 7l exhibiting the most potent activity. Molecular docking studies indicated that 7l binds stably to the active site of CDK9 with high binding affinity. Future work will focus on further evaluation of 7l.

Figure 2: Binding pattern of compound 7l to CDK9. A. Schematic representation of the surface of 7l binding to CDK9; B. The three-dimensional interaction diagram of 7l binding to the protein.

References

  1. Yan X, Song X, Wang Z (2017) Construction of specific magnetic resonance imaging/optical dual-modality molecular probe used for imaging angiogenesis of gastric cancer. Artificial Cells, Nanomedicine, and Biotechnology 45: 399-403. [crossref]
  2. Musavi shenas SMH, Mansoori B, Mohammadi A, et al. (2017) SiRNA-mediated silencing of Snail-1 induces apoptosis and alters micro RNA expression in human urinary bladder cancer cell line. Artificial Cells, Nanomedicine, and Biotechnology 45: 969-974. [crossref]
  3. Liang SH, Yan XZ, Wang BL, Shima S, Behzad K, et al. (2013) Increased expression of FOXQ1 is a prognostic marker for patients with gastric cancer. Tumor Biol 34: 2605-2609. [crossref]
  4. Shaw RJ, Cantley LC. Ras (2006) PI(3)K and mTOR signalling controls tumour cell growth. Nature 441: 424-430.
  5. Shibue T, Weinberg RA (2017) EMT, CSCs, and drug resistance: the mechanistic link and clinical implications. Nat Rev Clin Oncol 14: 611-629. [crossref]
  6. Malumbres M (2014) Cyclin-dependent kinases. Genome Biology 15: 1-10.
  7. Malumbres M, Barbacid M (2005) Mammalian cyclin-dependent kinases. Trends in Biochemical Sciences 30: 630-641. [crossref]
  8. Loyer P, Trembley JH, Katona R, Vincent JK, Jill ML (2005) Role of CDK/cyclin complexes in transcription and RNA splicing. Cell Signal 17: 1033-1051. [crossref]
  9. Konecny GE (2016) Cyclin-dependent kinase pathways as targets for women’s cancer treatment. Current Opinion in Obstetrics and Gynecology 28: 42-48.
  10. Wang X, Gao Y, Li Y, Yuqing H, Yawen Z, et al. (2020) Roseotoxin B alleviates cholestatic liver fibrosis through inhibiting PDGF-B/PDGFR-β pathway in hepatic stellate cells. Cell Death & Disease 11.
  11. KOHOUTEK J (2009) P-TEFb- the final frontier. Cell Division 4: 1-15. [crossref]
  12. Wang S, Fischer PM (2008) Cyclin-dependent kinase 9: a key transcriptional regulator and potential drug target in oncology, virology and cardiology. Trends in Pharmacological Sciences 29: 302-313. [crossref]
  13. Whittaker SR, Barlow C, Martin MP, Caterina M,, Steve W, et al. (2018) Molecular profiling and combinatorial activity of CCT068127: a potent CDK2 and CDK9 inhibitor. Molecular Oncology 12: 287-304. [crossref]
  14. Brägelmann J, Dammert MA, Dietlein F, Johannes MH, Axel C, et al. (2017) Systematic Kinase Inhibitor Profiling Identifies CDK9 as a Synthetic Lethal Target in NUT Midline Carcinoma. Cell Reports 20: 2833-2845. [crossref]
  15. Rahaman MH, Kumarasiri M, Mekonnen LB, Mingfeng Y, Sarah D, et al. (2016) Targeting CDK9: a promising therapeutic opportunity in prostate cancer. Endocrine-Related Cancer 23: T211- T226. [crossref]
  16. Mitra P, Yang RM, Sutton J, Robert GR, Thomas JG (2016) CDK9 inhibitors selectively target estrogen receptor positive breast cancer cells through combined inhibition of MYB and MCL-1 expression. Oncotarget 7: 9069-9083. [crossref]
  17. Baker A, Gregory GP, Verbrugge I, Lev K, Joshua JH, et al. (2016) The CDK9 Inhibitor Dinaciclib Exerts Potent Apoptotic and Antitumor Effects in Preclinical Models of MLL-Rearranged Acute Myeloid Leukemia. Cancer Research 76: 1158-1169. [crossref]
  18. Ajiro M, Sakai H, Onogi H, Makoto Yamamoto, et al. (2018) CDK9 Inhibitor FIT-039 Suppresses Viral Oncogenes E6 and E7 and Has a Therapeutic Effect on HPV-Induced Neoplasia. Clinical Cancer Research 24: 4518-4528. [crossref]
  19. Lu Y, Tang L, Zhang Q, et al. (2018) MicroRNA-613 inhibits the progression of gastric cancer by targeting CDK9. Artificial cells, nanomedicine, and biotechnology 46: 980-984. [crossref]

Research Progress in Proteolysis-Targeting Chimeras(PROTACs) Targeting Receptor Tyrosine Kinases

DOI: 10.31038/JPPR.2025813

Abstract

Kinases represent one of the most prominent classes of drug targets in current medicinal chemistry research. They are frequently over expressed in various diseases such as cancer, inflammation, or autoimmune disorders, playing critical roles in their pathophysiology. Since the early 1980s, numerous potent kinase inhibitors have been developed and approved. However, kinase inhibitors often face challenges including drug resistance and off-target effects. To overcome these limitations, novel strategies are required. Since 2013, several research groups have proposed converting potent kinase inhibitors into PROTAC molecules, leveraging cellular machinery to degrade target proteins. Results demonstrate that PROTACs significantly enhance biological effects compared to their parent inhibitors. This review focuses on recent advances in PROTAC technology applied to receptor tyrosine kinases (RTKs), with particular emphasis on compounds reported since 2018.

Keywords

Receptor tyrosine kinase; Targeted protein degradation; PROTAC; Review

Kinases are macromolecules involved in signal transduction and pathway regulation within biological systems, primarily functioning through two mechanisms: (1) Catalytic function: transferring phosphate groups from high-energy donor molecules (e.g., ATP) to specific substrates; (2) Non-catalytic functions: such as scaffold roles and allosteric regulation mediated by protein interactions. Protein kinases mainly include receptor tyrosine kinases (RTKs), non-receptor tyrosine kinases (NRTKs), and serine-threonine kinases (STKs), among other families. Dysregulated kinase activity contributes to diseases such as acute myeloid leukemia [1], melanoma [2], breast cancer [3], and prostate cancer, making them hot targets for small-molecule drug discovery. Although existing small-molecule inhibitors [4] have shown significant efficacy in clinical treatments, they possess limitations including lack of selectivity toward highly homologous kinases and the emergence of drug resistance. The rapidly developing technology of Proteolysis-Targeting Chimeras (PROTACs) is considered a promising strategy to overcome these challenges [5]. PROTACs are bifunctional molecules that induce the formation of a complex between the target protein (protein of interest, POI; here, a kinase) and an E3 ubiquitin ligase (UL). This complex mediates polyubiquitination of the POI, leading to its recognition and degradation by the ubiquitin-proteasome system (UPS) (Figure 1). Since 2013, reports on kinase-targeting PROTAC molecules have grown exponentially. This article reviews recent progress in PROTACs targeting protein kinases, which may facilitate the development of novel therapies to overcome drug resistance in cancer treatment.

Figure 1: PROTACs induce protein ubiquitination and degradation.

Receptor tyrosine kinases (RTKs) are cell surface receptors with a similar molecular structure, comprising an extracellular ligand-binding domain, a transmembrane helix, and an intracellular region containing a tyrosine kinase domain. Genetic mutations can alter RTK activity, expression levels, cellular distribution, and regulation, potentially leading to cancers, diabetes, inflammation, and severe bone or vascular diseases. Recently, FMS-like tyrosine kinase 3 (FLT3) [6], tropomyosin receptor kinase C (TrkC) [7], anaplastic lymphoma kinase (ALK) [8,9], and epidermal growth factor receptor (EGFR) [10] have been reported to be degraded by their corresponding PROTAC molecules. Their structures are shown in Figure 2, and biological activities are summarized in Table 1.

Figure 2: Reported RTKs degrader.

Table 1: Reported RTKs degrader.

Compounds

Target POI ligand E3 Ligand

Cells (DC50)

1a FLT3/ITD AC220 VHL Ligand MOLM-14 MV4-11[6]
1b TrKC IY-IY Pomalidomide Hs578t (0.1-1.0 μM) [7]
1c (TD-004) NMP-ALK Ceritinib VHL Ligand SU-DHL-1 H3122 [8]
1d EML4-ALK Ceritinib Pomalidomide NCI-H2228 [9]
1e EGFR SIAIS092 Pomalidomide PC9(100 nM)

H1975(30-50 nM) [30]

1f EGFR SIAIS092 Pomalidomide PC9(30-100 nM)

H1975(<30 nM) [30]

1g EGFR XTF-262 VHL Ligand H1975(5.9±2.1 nM) [28]
1h EGFR Ribociclib VHL Ligand HCC827(0.51 nM)

H1975(126.6 nM) [29]

PROTACs Degrading FLT3

FLT3 is expressed in hematopoietic stem cells and plays a crucial role in normal hematopoiesis; its dysfunction often leads to blood disorders. Acute myeloid leukemia (AML) is a common malignant tumor of the hematopoietic system, with FLT3 gene mutations accounting for 30% of AML cases, among which internal tandem duplication (ITD) mutations are the most common. Patients carrying FLT3-ITD mutations exhibit elevated white blood cell levels and poor prognosis [1,11-13]. Therefore, FLT3/ITD is a promising target for AML treatment, and maximal sustained inhibition of this signaling is crucial for clinical response [11]. Based on this background, numerous PROTACs targeting FLT3 for degradation have emerged. The Burslem group reported a PROTAC 1a [6,11] composed of AC220 [14,15] as the warhead, VHL as the E3 ligase ligand, and connected by a PEG linker of appropriate length. This PROTAC exhibited similar cellular inhibitory activity and selectivity to AC220 in vitro but showed 3.5-fold greater inhibition of cell proliferation in MOLM-14 and MV4-11 cell lines and induced better apoptosis in leukemia cells at low doses. 1a induced FLT3-ITD degradation in vivo; in MV4-11 xenograft models, administration at 30 mg·kg⁻¹ every 24 hours for three days reduced FLT3 levels in tumors by 60%. These results suggest that degradation of FLT3-ITD may provide a useful therapeutic approach for AML.

PROTACs Degrading TrkC

Trk kinases are a family of protein tyrosine kinases with high affinity for neurotrophin (NT) growth factors, which are essential for neuronal differentiation and survival in the peripheral and central nervous systems. TrkC is overexpressed in many human tumors, particularly in neuroblastoma [12], glioblastoma [12], breast cancer [16], and melanoma [2]. Its aberrant activation promotes cell growth and metastasis in certain forms of tumorigenesis [3], making effective reduction of TrkC expression significant for treating these cancers. In 2019, Zhao and Burgess reported the first PROTAC 1b degrading TrkC [7]. This PROTAC uses a bivalent peptide (isoleucine-tyrosine-tyrosine-isoleucine) analog as the warhead, which binds TrkC with submicromolar affinity and facilitates good cellular internalization [17,18]. The warhead is connected to pomalidomide via a PEG linker. 1b degraded TrkC in Hs578t cells at concentrations of 1-10 μM, with a DC₅₀ of 0.1-1.0 μM [7]. This PROTAC demonstrates the applicability of the technology to reduce TrkC levels and provides insights for developing more PROTACs, such as those using FDA-approved inhibitors like larotrectinib or entrectinib as warheads [19,20], potentially yielding highly effective molecules.

PROTACs Degrading ALK

ALK is part of the insulin receptor family. Although its exact function in mammalian cells is not fully understood, various forms of ALK fusion proteins are known to drive oncogenesis in multiple cancers. For example, the NMP-ALK fusion is commonly found in anaplastic large cell lymphoma (ALCL) [21,22]. Numerous studies indicate that inhibiting ALK activity suppresses the proliferation of cancer cells driven by ALK fusions [23,24]. Thus, developing ALK-targeted PROTACs appears to be a promising approach to enhance the efficacy of approved ALK inhibitors. The Kang group reported a PROTAC TD-004 [8] using ceritinib as the warhead [25] and connected to a VHL ligand via a long linker containing an isopropyl chain and an amide bond. TD-004 degraded approximately 90% of NMP-ALK fusion protein in SU-DHL-1 cells, with IC₅₀ values of 58 nM and 180 nM in ALK-positive SU-DHL-1 and H3122 cell lines, respectively, while showing an IC₅₀ > 1000 nM in ALK-low A549 cells, indicating significant selectivity [8]. In H3122 xenograft models, daily administration of 58 mg·kg⁻¹ for 14 days significantly reduced tumor volume without causing notable weight loss. Besides TD-004, Zhang et al. [26] and Powell et al. [27] reported other ceritinib-based PROTACs using pomalidomide as the E3 ligase ligand. These PROTACs differed mainly in linker length and composition, exhibiting stronger anti-proliferative activity in vitro than TD-004 but lacking in vivo validation. These examples illustrate that even with the same warhead, variations in linker length, composition, and E3 ligase ligand can significantly impact PROTAC bioactivity. Besides NMP-ALK, another ALK fusion protein, EML4-ALK, was targeted by a degrader reported by the Liu group. This multivalent PROTAC 2d consists of multiple warheads and E3 ligase ligands attached to gold nanoparticles [9]. Due to the strong affinity of gold nanoparticles for thiols, modified ceritinib and pomalidomide were easily conjugated to the nanoparticle surface to form multivalent PROTACs. Cellular analysis showed that incubation with NCI-H2228 cells for 24 hours reduced EML4-ALK levels by 80%, with prominent anti-proliferative activity (IC₅₀ = 4.8 μM), while negligible cytotoxicity was observed in ALK-negative A549 cells. Although in vivo efficacy requires further validation, the multivalency offered by gold nanoparticles provides an effective strategy to bring warheads and E3 ubiquitin ligases into proximity, facilitating ternary complex formation.

PROTACs Degrading EGFR

Activating mutations in EGFR are closely associated with non-small cell lung cancer (NSCLC). However, even with FDA-approved third-generation EGFR-TKIs like osimertinib, resistance eventually develops, reducing therapeutic efficacy. In April 2020, Zhang et al. [28] reported a series of PROTACs selectively targeting mutant EGFR. One of the most potent compounds, 1g, selectively degraded EGFRL858R/T790M with a DC₅₀ of 5.9 nM while sparing the wild-type protein. In December of the same year, Zhao et al. [29] reported a series of VHL-based PROTACs, among which compound P3 showed potent anti-proliferative activity in HCC827 and H1975 cells with IC₅₀ values of 0.83 nM and 203.01 nM, respectively, and DC₅₀ values of 0.51 nM and 126.2 nM for EGFRdel19 and EGFRL858R/T790M, respectively. Besides inhibiting EGFR signaling, P3 significantly induced apoptosis, arrested the cell cycle, and inhibited colony formation. In June 2021, Qu et al. [30] reported SIAIS125 and SIAIS126—two PROTACs composed of the EGFR inhibitor canertinib and pomalidomide connected by linkers of different lengths. These degraders selectively degraded EGFRL858R/T790M in H1975 cells and EGFREx19del in PC9 cells for up to 72 hours, also inducing significant apoptosis, cell cycle arrest, and growth inhibition. They did not degrade the EGFREc19del/T790M mutant in PC9BRca1 cells or wild-type EGFR in A549 lung cancer cells. Since the first report of kinase-targeted PROTACs in 2013, many research groups have proposed converting potent kinase inhibitors into PROTACs. This technology, which harnesses cellular machinery to degrade proteins, has propelled several compounds to the forefront of drug development, offering advantages for enhancing therapeutic efficacy. PROTACs may yield superior biological outcomes compared to parent inhibitors; for instance, FLT3-PROTACs induce apoptosis more effectively in leukemia cells, and BCR-ABL degraders exhibit longer-lasting inhibition of BCR-ABL and its downstream signaling than dasatinib. PROTACs may achieve higher selectivity than ATP-competitive kinase inhibitors, as seen with CST620 selectively targeting CDK6. They can degrade proteins that have developed resistance to inhibitors due to mutations, such as the aforementioned EGFR degraders. PROTACs can utilize allosteric inhibitors as POI recruiters to enhance selectivity and reduce side effects of parent inhibitors; for example, GMB-475, using GNF-2 as the warhead, degrades the target kinase while abolishing its non-kinase functions (scaffold roles), deepening our understanding of the protein’s role in signaling networks. PROTACs can degrade membrane-bound proteins associated with various diseases, such as JAK degraders JP-1 and JP-2. PROTACs synthesized using reversible covalent inhibitors as POI recruiters may retain the reversible covalent binding characteristics of the parent inhibitors, slowing displacement by competitors. Rapid synthesis methods for PROTACs have been reported, reducing the time cost of degrader synthesis and facilitating the design of degraders for other targets.

Compared to small molecules, PROTACs offer numerous advantages. However, developing in vivo effective PROTACs remains a challenge for medicinal chemists. Although PROTACs can be viewed as combinations of POI ligands, linkers, and E3 ubiquitin ligase ligands, the aforementioned reports confirm that random combinations do not yield预设 effects. In the design and synthesis of PROTACs, the choice and structural modification of the POI ligand, the chemical composition and length of the linker, and the selection of the E3 ligase ligand can significantly impact their efficacy. Therefore, in-depth structure-activity relationship studies are necessary to discover the most active structures, which may require considerable time. Another critical challenge is the in vivo evaluation of PROTACs. Their large molecular weight places them outside the realm of traditional small molecules, and the flexibility and chemical composition of the linker make them susceptible to in vivo environmental interference, leading to poor stability, as seen with MT802. However, optimization has yielded PROTACs with improved pharmacokinetic parameters and orally available degraders, addressing stability issues to a great extent. In 2019, the first PROTACs entered clinical trials, and several kinase-targeted candidates are expected to follow soon. To date, the use of thalidomide and its analogs as E3 ligase ligands remains the most common approach. However, these agents can lead to degradation of lymphoid transcription factors like IKZF1 and IKZF3, potentially affecting the hematopoietic system. Moreover, cereblon (CRBN) is not essential in most cancer cell lines, and mutations in this ligase could confer resistance to PROTACs. Thus, the discovery of novel E3 ligase ligands is extremely important. In summary, PROTAC technology is a suitable tool for generating active compounds for treating various diseases. Currently, most reported PROTACs are based on well-established positive compounds and commonly used FDA-approved drugs, somewhat limiting the technology’s full potential. This strategy will likely be applied in the coming years to target currently undruggable targets, playing a crucial role in revealing new clinical targets and providing treatments for many diseases. Therefore, although this rapidly growing research field is still in its early stages, it offers encouraging directions for both biological understanding and the future of medicinal chemistry.

References

  1. Birg F, Courcoul M, Rosnet O, Bardin F, Pébusque MJ, et al. (1992) Expression of the FMS/KIT-like gene FLT3 in human acute leukemias of the myeloid and lymphoid lineages. Blood 80: 2584-2593. [crossref]
  2. Xu X, Tahan SR, Pasha TL, Paul JZ (2003) Expression of neurotrophin receptor Trk-C in nevi and melanomas. J Cutan Pathol 30: 318-22. [crossref]
  3. Jin W, Kim GM, Kim MS, Mi HL, Chohee Y, et al. (2010) TrkC plays an essential role in breast tumor growth and metastasis. Carcinogenesis 31: 1939-1947. [crossref]
  4. Bhullar K. S., Lagaron N. O., Mcgowan E. M., Indu Parmar, Amitabh J, et al. (2018) Kinase-targeted cancer therapies: progress, challenges and future directions. Mol Cancer 17. [crossref]
  5. Groppe JC (2019) Induced degradation of protein kinases by bifunctional small molecules: a next-generation strategy. Expert Opin Drug Discov 14: 1237-1253. [crossref]
  6. Burslem GM, Song J, Chen X, John H, Craig MC (2018) Enhancing Antiproliferative Activity and Selectivity of a FLT-3 Inhibitor by Proteolysis Targeting Chimera Conversion. J Am Chem Soc, 140: 16428-16432. [crossref]
  7. Zhao B, Burgess K (2019) TrkC-Targeted Kinase Inhibitors And PROTACs. Mol Pharm 16: 4313-4318.
  8. Kang CH, Lee DH, Lee CO, Jae DH, Chi HP, et al. (2018) Induced protein degradation of anaplastic lymphoma kinase (ALK) by proteolysis targeting chimera (PROTAC). Biochem Biophys Res Commun 505: 542-547. [crossref]
  9. Wang Y, Han L, Liu F, Fubai Y, Xueyang J et al. (2020) Targeted degradation of anaplastic lymphoma kinase by gold nanoparticle-based multi-headed proteolysis targeting chimeras. Colloids Surf B Biointerfaces 188. [crossref]
  10. Sigismund Sara, Avanzato Daniele, Lanzetti Letizia (2018) Emerging functions of the EGFR in cancer. Mol Oncol 12: 3-20. [crossref]
  11. Pratz K. W., Cortes J., Roboz G. J., et al. (2009) A pharmacodynamic study of the FLT3 inhibitor KW-2449 yields insight into the basis for clinical response. Blood 113: 3938-3946. [crossref]
  12. Wang Y, Hagel C, Hamel W, Niranjan R, Omotayo, A et al. (1998) Trk A, B, and C are commonly expressed in human astrocytes and astrocytic gliomas but not by human oligodendrocytes and oligodendroglioma. Acta Neuropathol 96: 357-364.
  13. Jiang Wei, Gao Yujuan, Su Yanhua (2020) Research progress on FLT3 gene mutation in acute myeloid leukemia. Journal of Clinical and Pathological Medicine 403:718-722.
  14. Zarrinkar PP, Gunawardane RN, Cramer MD, Michael FG, Daniel B, et al. (2009) AC220 is a uniquely potent and selective inhibitor of FLT3 for the treatment of acute myeloid leukemia (AML). Blood 114: 2984-2892. [crossref]
  15. Chao Q, Sprankle KG, Grotzfeld RM, Andiliy GL, Todd AC, et al. (2009) Identification of N-(5-tert-butyl-isoxazol-3-yl)-N’-{4-[7-(2-morpholin-4-yl-ethoxy)imidazo[2,1-b][1 ,3]benzothiazol-2-yl]phenyl}urea dihydrochloride (AC220), a uniquely potent, selective, and efficacious FMS-like tyrosine kinase-3 (FLT3) inhibitor. J Med Chem, , 52: 7808-78016. [crossref]
  16. Blasco-Gutierrez MJ, Jose-Crespo IJ, Zozaya-Alvarez E, Rafael RS, Natividad GA (2007) TrkC: a new predictive marker in breast cancer?. Cancer Invest 25: 405-410. [crossref]
  17. Chen D, Brahimi F, Angell Y, Yu-CL, Jennifer M, et al. (2009) Bivalent peptidomimetic ligands of TrkC are biased agonists and selectively induce neuritogenesis or potentiate neurotrophin-3 trophic signals. ACS Chem Biol 4: 769-781. [crossref]
  18. Chen J, Wang X, He F, Zhengying P (2018) Development of a Selective Labeling Probe for Bruton’s Tyrosine Kinase Quantification in Live Cells. Bioconjug Chem 29: 1640-1645. [crossref]
  19. Drilon A, Nagasubramanian R, Blake JF, Nora K, Brian BT, et al. (2017) A Next-Generation TRK Kinase Inhibitor Overcomes Acquired Resistance to Prior TRK Kinase Inhibition in Patients with TRK Fusion-Positive Solid Tumors. Cancer Discov 7: 963-72. [crossref]
  20. Siena S, Drilon A, Ou I, et al. (2015) 29LBA Entrectinib (RXDX-101), an oral pan-Trk, ROS1, and ALK inhibitor in patients with advanced solid tumors harboring gene rearrangements. Eur J Cancer 51.
  21. Hallberg B, Palmer RH (2013) Mechanistic insight into ALK receptor tyrosine kinase in human cancer biology. Nat Rev Cancer 13: 685-700. [crossref]
  22. Pulford K, Lamant L, Morris SW, Butler LH, Wood KM, et al. (1997) Detection of anaplastic lymphoma kinase (ALK) and nucleolar protein nucleophosmin (NPM)-ALK proteins in normal and neoplastic cells with the monoclonal antibody ALK1. Blood 89: 1394-1404. [crossref]
  23. Christensen JG, Zou HY, Arango ME, Qiuhua L, Joseph HL et al. (2007) Cytoreductive antitumor activity of PF-2341066, a novel inhibitor of anaplastic lymphoma kinase and c-Met, in experimental models of anaplastic large-cell lymphoma . Mol Cancer Ther 6: 3314-3322. [crossref]
  24. Soda M, Choi YL, Enomoto M, Shuji T, Yoshihiro Y, et al. (2007) Identification of the transforming EML4-ALK fusion gene in non-small-cell lung cancer. Nature 448: 561-566. [crossref]
  25. Roskoski R Jr (2020) Properties of FDA-approved small molecule protein kinase inhibitors: A 2020 update. Pharmacol Res 152.
  26. Zhang C, Han XR, Yang X, Biao J, Jing L, et al. (2018) Proteolysis Targeting Chimeras (PROTACs) of Anaplastic Lymphoma Kinase (ALK). Eur J Med Chem 151: 304-14. [crossref]
  27. Powell CE, Gao Y, Tan L, Katherine AD, Radosław PN, et al. (2018) Chemically Induced Degradation of Anaplastic Lymphoma Kinase (ALK). J Med Chem 61: 4249-4255. [crossref]
  28. Zhang X, Xu F, Tong L, Tao Z, Hua X, et al. (2020) Design and synthesis of selective degraders of EGFR(L858R/T790M) mutant. Eur J Med Chem 192. [crossref]
  29. Zhao HY, Yang XY, Lei H, Xiao-XX, She ML, et al. (2020) Discovery of potent small molecule PROTACs targeting mutant EGFR. Eur J Med Chem 208. [crossref]
  30. Qu X, Liu H, Song X, Ning S, Hui Z, et al. (2021) Effective degradation of EGFR(L858R+T790M) mutant proteins by CRBN-based PROTACs through both proteosome and autophagy/lysosome degradation systems. Eur J Med Chem 218. [crossref]

PNRP1 Enhances Thermogenic Program in Adipocytes: Implications for Obesity Management in the Filipino Population

DOI: 10.31038/EDMJ.2025942

Abstract

Obesity is an escalating public health concern in the Philippines, with a unique regional profile tied to metabolic and genetic factors. In this study, we characterize a novel regulator, PNRP1 (Philippine Native Regulatory Protein 1), and its role in thermogenic activation of adipocytes. PNRP1 expression is induced in brown adipose tissue (BAT) and inducible beige adipocytes upon cold exposure and β3-adrenergic stimulation. Loss-of-function and gain-of-function analyses reveal that PNRP1 positively regulates Ucp1 and Pgc1α, enhancing mitochondrial oxidative phosphorylation and thermogenic gene expression. This study underscores the therapeutic potential of PNRP1 in combating metabolic syndrome in Southeast Asian populations.

Keywords

PNRP1, Thermogenesis, Adipocytes, Brown fat, Filipino, Pgc1α, Obesity, Metabolism

Introduction

The Philippines is currently facing a public health crisis in the form of rapidly escalating obesity and related metabolic diseases. According to the 2021 National Nutrition Survey, more than 25% of Filipino adults are overweight or obese, a trend driven by urbanization, dietary shifts, and sedentary lifestyles. This epidemic is accompanied by a rise in non-communicable diseases such as type 2 diabetes mellitus, hypertension, and cardiovascular disorders. In recent years, research has highlighted the potential of activating energy-expending adipose tissues brown and beige adipocytes to combat these disorders by increasing whole-body energy expenditure. Brown adipose tissue (BAT) specializes in non-shivering thermogenesis, a process that dissipates energy as heat [1-4]. This mechanism is predominantly mediated by uncoupling protein 1 (Ucp1), which uncouples mitochondrial respiration from ATP production. Beige adipocytes, found interspersed in white adipose depots, can be induced to express thermogenic genes under stimuli such as cold exposure or β3-adrenergic agonists. Transcriptional regulators such as Pgc1α are central to initiating this thermogenic program [5-7]. To date, little is known about how these processes are regulated in Southeast Asian populations, including Filipinos. Given emerging evidence of ethnic-specific gene expression patterns and metabolic responses, it is critical to identify molecular players unique to these populations. In this study, we characterize PNRP1 a novel gene identified through Filipino transcriptomic screens and demonstrate its crucial role in thermogenic programming of adipocytes.

Methods Summary

Animal Model and Cold Exposure

Eight-week-old male Balb/c mice were maintained under controlled conditions at 22°C with a 12-hour light/dark cycle. For cold challenge, mice were placed at 4°C for 6 hours. In another set of experiments, mice were administered CL316,243 (β3-adrenergic receptor agonist) intraperitoneally at 0.5 μg/g body weight daily for three days. Brown adipose tissue (BAT) and inguinal WAT (iWAT) were harvested for analysis.

Cell Culture and Differentiation

Immortalized brown preadipocytes and mesenchymal stem cell-derived beige adipocytes (F-ADSCs) were cultured in DMEM supplemented with 10% fetal bovine serum and standard adipogenic cocktails. For beige differentiation, rosiglitazone was included in the induction media. Cells were differentiated for 6–8 days prior to harvest.

Lentiviral Gene Manipulation

Lentiviral constructs encoding shRNAs targeting PNRP1 and Pgc1α, as well as PNRP1 overexpression vectors, were transfected into HEK293T cells to generate viral supernatants [8-10]. Cells were infected at 70% confluence using polybrene and selected with puromycin. Infection efficiency was confirmed by GFP tagging and qPCR analysis.

Gene and Protein Expression Assays

Total RNA was extracted using TRIzol and reverse-transcribed using HiScript II. Gene expression was quantified by SYBR Green-based qPCR. Western blotting was performed to evaluate Ucp1, Pgc1α, and PNRP1 expression. β-Actin was used as a loading control.

Functional Assays

Oil Red O staining was used to assess lipid accumulation. Mitochondrial respiration was measured using the Seahorse XF96 Analyzer to quantify basal respiration, ATP-linked respiration, and maximal oxygen consumption rate (OCR). All experiments were conducted in triplicate [11].

Results

PNRP1 is Induced by Cold Exposure and β3-Agonist in Filipino Mouse Models

Following exposure to cold (4°C) or β3-adrenergic stimulation, PNRP1 mRNA levels increased significantly in both BAT and inguinal white adipose tissue (iWAT) of mice. Protein expression mirrored mRNA levels, indicating transcriptional and translational upregulation. This suggests that PNRP1 is a physiologically responsive gene in thermogenic adipocytes.

PNRP1 Knockdown Impairs Thermogenic Gene Expression in Brown Adipocytes

Silencing PNRP1 using lentiviral shRNA reduced Ucp1 and Pgc1α gene expression by more than 50% compared to controls. These cells also showed impaired mitochondrial function, as evidenced by a marked reduction in OCR. Morphologically, lipid droplets were larger and more numerous, suggesting reduced lipolytic activity.

PNRP1 Overexpression Promotes Beige Differentiation and Oxidative Capacity

Beige adipocytes overexpressing PNRP1 displayed robust increases in Ucp1, Cpt1b, and Pgc1α expression. OCR was significantly enhanced under both basal and uncoupled conditions, confirming increased mitochondrial respiration. Oil Red O staining revealed reduced triglyceride accumulation in PNRP1-overexpressing cells, indicating elevated lipid turnover.

Pgc1α Is a Critical Effector of PNRP1

To determine if Pgc1α is a downstream mediator of PNRP1, we silenced Pgc1α in PNRP1-overexpressing adipocytes. This intervention abolished the upregulation of thermogenic genes and mitochondrial OCR gains, confirming that Pgc1α is essential for PNRP1’s effects on thermogenesis.

Discussion

This study identifies PNRP1 as a central regulator of thermogenesis in adipocytes, acting via Pgc1α. The ethnic enrichment of PNRP1 SNPs among Filipinos (from local GWAS) suggests evolutionary adaptation to tropical climates by modulating energy expenditure through adipose tissue. Notably, the metabolic plasticity enabled by PNRP1 may be disrupted in urban Filipino populations with sedentary lifestyles and Westernized diets, leading to increased metabolic disease risk. Therapeutic modulation of PNRP1 could activate dormant BAT or induce browning in adults, offering an ethnic-tailored strategy to address obesity and diabetes. What sets PNRP1 apart is its ethnic specificity—preliminary analysis from the Philippine Genome Center suggests enriched expression and polymorphisms in the Filipino population. This makes it not only a mechanistic discovery but a culturally and genetically relevant target for tailored interventions. Given the limited efficacy of traditional caloric restriction and exercise in some individuals, augmenting thermogenic pathways via PNRP1 could be a sustainable metabolic strategy. Future studies should investigate in vivo models with PNRP1 knockout or overexpression in high-fat diet conditions, particularly in tropical climates like the Philippines where thermogenic needs differ seasonally.

Conclusion

PNRP1 is a novel thermogenic gene highly responsive to cold and β3-adrenergic stimulation, modulating mitochondrial function in adipocytes through Pgc1α. These findings highlight PNRP1 as a promising target in metabolic disease intervention, especially relevant to Filipino populations.

Acknowledgements

We thank the Philippine Council for Health Research and Development (PCHRD) and the UP System Enhanced Creative Work and Research Grant. We thank the Philippine Genome Center for genomic data support.

Conflict of Interest

The authors declare no competing interests.

References

  1. Chouchani ET, Kajimura S (2019) Metabolic adaptation and maladaptation in adipose tissue: mechanisms, regulators, and therapeutic implications. Nat Metab.
  2. Ikeda K, Maretich P, Kajimura S (2018) The common and distinct features of brown and beige adipocytes. Trends Endocrinol Metab. [crossref]
  3. Cohen P, Kajimura S (2021) The cellular and functional complexity of thermogenic fat. Nat Rev Mol Cell Biol.
  4. Ahmadian M, Liu SH, Reilly SM, et al. (2018) ERRγ preserves brown fat innate thermogenic activity. Cell Rep. [crossref]
  5. Valente A, Jamurtas AZ, Koutedakis Y, Flouris AD (2015) Molecular pathways linking non-shivering thermogenesis and obesity: focusing on brown adipose tissue development. Biol Rev Camb Philos Soc. [crossref]
  6. Chowdhury R, et al. (Kralli lab) (2014) GADD45γ regulates the thermogenic capacity of brown adipose tissue. Proc Natl Acad Sci U S A. [crossref]
  7. Hu F, Li C, Ye Y, et al. (2022) PARP12 is required for mitochondrial function maintenance in thermogenic adipocytes. Adipocyte. [crossref]
  8. Chen Y, Wu Z, Huang S, et al. (2022) Adipocyte IRE1α promotes PGC-1α mRNA decay and restrains adaptive thermogenesis. Nat Metab. [crossref]
  9. Egusa G, Ohno H, Nagano G, et al. (2023) Selective activation of PPARα maintains thermogenic capacity of beige adipocytes. iScience. [crossref]
  10. Ibayashi Y, Hasuzawa N, Nomura S, et al. (2024) Mitochondrial fission is required for thermogenesis in brown adipose tissue. PLoS ONE. [crossref]
  11. Nedergaard Y, Bengtsson T, Cannon B (2007) Unexpected evidence for active brown adipose tissue in adult humans. Am J Physiol Endocrinol Metab. [crossref]

CNPY2 as a Key Driver of Colitis: Insights Into Its Role in DSS-Induced Inflammation

DOI: 10.31038/IJVB.2025923

 

The article [1], published in Biomedicine & Pharmacotherapy in 2025, investigates the role of Canopy Homolog 2 (CNPY2) in exacerbating dextran sodium sulfate (DSS)-induced colitis through the macrophage-reactive oxygen species (ROS) axis. Inflammatory bowel disease (IBD), encompassing conditions like Crohn’s disease and ulcerative colitis, is a chronic inflammatory disorder driven by complex interactions among genetic, environmental, and immune factors. This study highlights CNPY2 as a key modulator of colitis severity, focusing on its influence on macrophage activity and ROS production. This commentary evaluates the study’s methodology, findings, contributions, and limitations, while situating it within the broader context of IBD research and macrophage-mediated inflammation.

Summary and Methodology

The study employs a DSS-induced colitis model in mice to explore CNPY2’s role in intestinal inflammation. Using whole-body Cnpy2 knockout (KO) mice compared to wild-type (WT) controls, the authors demonstrate that Cnpy2 KO mice exhibit significantly reduced colitis severity, characterized by less mucosal barrier disruption, fewer lamina propria macrophages (LPMφs), and decreased proinflammatory cytokine production (e.g., IL-6, TNF-α, IFN-γ). The methodology includes histological analysis, cytokine quantification via ELISA, and ROS measurement in macrophages, with additional experiments using the ROS scavenger N-acetyl-L-cysteine (NAC) to confirm the role of ROS in colitis pathogenesis. The study identifies CNPY2’s regulation of ROS production, partly through the modulation of C/EBP homologous protein (CHOP), as a central mechanism driving macrophage-mediated inflammation.

The experimental design is robust, leveraging the well-established DSS model, which mimics human ulcerative colitis. The use of Cnpy2 KO mice allows for clear causal inference, while NAC treatment provides mechanistic insight into the ROS-dependent pathway. Comparisons with WT controls and detailed molecular analyses (e.g., CHOP regulation) strengthen the study’s findings.

Strengths and Contributions

The study’s primary strength is its identification of CNPY2 as a novel regulator of colitis via the macrophage-ROS axis, offering a fresh perspective on IBD pathogenesis. By linking CNPY2 to ROS production and CHOP modulation, the authors uncover a specific molecular pathway that exacerbates inflammation, which is a significant advancement over prior studies focusing on broader immune mechanisms. The finding that NAC treatment abolishes colitis in Cnpy2 KO mice underscores the therapeutic potential of targeting ROS, aligning with emerging evidence that oxidative stress is a key driver of IBD.

The study also contributes to the understanding of macrophage dynamics in colitis. Macrophages are critical players in IBD, with M1 (proinflammatory) and M2 (antiinflammatory) phenotypes influencing disease progression. By demonstrating that CNPY2 promotes proinflammatory macrophage activity, the study provides a mechanistic basis for targeting macrophage polarization in IBD therapy. The rigorous experimental approach, including histological, biochemical, and molecular analyses, enhances the study’s credibility and relevance to both basic and translational research.

Limitations and Areas for Improvement

Despite its strengths, the study has limitations. First, the use of whole-body Cnpy2 KO mice limits the ability to pinpoint macrophage-specific effects, as CNPY2 may influence other cell types (e.g., epithelial cells or T cells). Conditional KO models targeting macrophages specifically would provide greater clarity. Second, the study does not explore the role of M1 versus M2 macrophage polarization in detail, which is critical given the established role of M2 macrophages in resolving inflammation. Further investigation into how CNPY2 affects macrophage polarization could strengthen the findings.

Additionally, the study’s reliance on the DSS model, while standard, may not fully capture the chronic and relapsing nature of human IBD. Testing CNPY2’s role in chronic DSS models or other IBD models (e.g., IL-10 KO mice) could enhance generalizability. The study also lacks discussion of CNPY2’s upstream regulation or its expression in human IBD patients, which would bridge the gap to clinical relevance. Finally, while NAC’s efficacy is compelling, its broad antioxidant effects raise questions about specificity; exploring targeted CNPY2 inhibitors could offer more precise therapeutic insights.

Broader Context and Implications

This study aligns with growing research on macrophage-mediated inflammation and ROS in IBD. Previous work has highlighted the role of ROS in driving proinflammatory responses, with NADPH oxidase (NOX) activity implicated in macrophage activation. The identification of CNPY2 as an upstream regulator of ROS via CHOP adds a novel layer to this paradigm, complementing studies on other ROS-modulating pathways, such as IL-10 signaling. The findings also resonate with research on macrophage polarization, where agents like PAM3 or Astragaloside IV promote M2 polarization to alleviate colitis, suggesting that CNPY2 inhibition could similarly shift macrophages toward an anti-inflammatory state.

The implications for IBD therapy are significant. Current treatments, such as anti-TNF-α therapies, are often inadequate. Targeting CNPY2 or the macrophage-ROS axis could offer a novel strategy, particularly given the success of ROS scavengers like NAC in preclinical models. The study also opens avenues for exploring CNPY2 in other inflammatory diseases where macrophages and ROS play roles, such as atherosclerosis or rheumatoid arthritis.

Conclusion

The article provides compelling evidence that CNPY2 exacerbates DSS-induced colitis by modulating macrophage activity and ROS production, with CHOP as a key mediator. Its robust methodology and novel findings advance our understanding of IBD pathogenesis and highlight CNPY2 as a potential therapeutic target. However, limitations in model specificity, polarization analysis, and clinical translation suggest areas for future research. Expanding studies to include conditional KO models, chronic IBD models, and human data would strengthen the findings. Overall, this study is a valuable contribution to IBD research, offering insights into macrophage-driven inflammation and paving the way for targeted therapies to mitigate oxidative stress in colitis.

References

  1. Zhang W, Meng L, Zhang X, Li Z, Hong F (2025) CNPY2 drives DSS-induced colitis via the macrophage-ROS axis. Biomed Pharmacother 187. [crossref]

An Original Metallogenic Process? Trace Element Concentration by Coal Combustion

DOI: 10.31038/GEMS.2025753

Abstract

This short note proposes a metallogenic hypothesis not typically addressed in standard textbooks: the concentration of trace elements through the combustion of coal. Spontaneous or anthropogenic combustion of coal, particularly in outcropping seams, leads to thermal alteration of surrounding rocks, forming clinkers and paralavas. These processes, involving high temperatures (>1000 °C) and complex geochemical transformations, may result in the local enrichment of trace elements originally associated with the coal and its host rocks. Drawing parallels with known geochemical anomalies in industrial coal combustion residues, this phenomenon could represent a novel, overlooked metallogenic mechanism.

Keywords

Coal combustion, Clinkers, Paralavas, Trace element concentration, Metallogenic process

Introduction

Coal combustion, whether natural or anthropogenic, can generate high-temperature zones in sedimentary basins. These combustion events, especially when occurring in outcropping coal seams, initiate lateral and vertical burning that transforms the adjacent rocks. While commonly known for their geomorphological or environmental impact, these processes may also induce significant geochemical transformations that concentrate trace elements.

Field Context and Pyrometamorphic Rocks

In coalfields worldwide, including the Powder River Basin (Montana, USA) [1] and the Saint-Étienne basin (France), spontaneous combustion has altered large volumes of rock, producing pyrometamorphic rocks known as clinkers (porcellanites) and paralavas. Clinkers result from thermal alteration and brecciation of shales and sandstones adjacent to the coal seams. These rocks are typically varicolored and contain angular fragments. Paralavas, in contrast, form by partial melting, producing homogeneous, glassy rocks whose color depends on redox conditions (from black to red). A notable example is the Saint-Pierre spoil heap in La Ricamarie (Loire, France), where self-ignition of coal-bearing waste has produced well- developed clinker and paralava zones with columnar structures [2]. The combustion alters surrounding rocks by devolatilization, thermal shock, and mechanical collapse following the removal of the coal layer. The result is a restricted volume of new rock that may inherit trace elements from the original shales, sandstones, and the coal itself.

Geochemical Considerations

Coal contains numerous trace elements, including rare earth elements (REE), Ga, Zn, Ge, and others, hosted in organic matter, sulfides, and silicate matrices [3]. During combustion, volatile and semi-volatile elements may be mobilized but also locally retained by condensation or incorporation into neoformed phases. This results in heterogeneous distribution of trace elements in pyrometamorphic rocks. Industrial analogues, such as fly ash from coal-fired power plants, are known to concentrate REE, Ga, and other critical metals [4- 6]. These observations support the idea that similar enrichments may occur in natural or semi-natural clinker and paralava zones, especially when the combustion front is confined and temperatures remain high for extended periods.

Metallogenic Hypothesis

The core of the proposed hypothesis is a metallogenic mechanism driven by combustion: the partial destruction of coal removes major volatile components (C, H, S, H2O), concentrating residual trace elements into a smaller rock volume. This “concentration by subtraction” process is analogous to weathering-induced enrichment or magmatic differentiation. Although the pyrometamorphic rocks are often of limited thickness (a few to tens of meters), they may represent a metallogenic footprint comparable in scale to lateritic or meteoric weathering profiles. Their study could reveal remobilization and mineral concentration patterns relevant for the exploration of critical metals.

Outlook and Research Needs

To assess the metallogenic potential of these combustion-related rocks, future research should combine:

  • Field mapping and petrography of clinkers and paralavas;
  • Geochemical and mineralogical profiling;
  • Thermodynamic and thermal modeling;
  • Chronological constraints on burning events.

These studies will help to quantify the role of combustion in metal mobilization and fixation, offering new insights into metallogeny in coal-bearing basins.

Acknowledgment

The author thanks those who facilitated field observation and discussion of clinkers and paralavas in the Saint-Étienne region and at the Saint-Pierre spoil heap (La Ricamarie, Loire, France).

References

  1. Guy B, Thiéry V, Garcia D, Bascou J, Broekmans MATM (2020) Columnar structures in pyrometamorphic rocks associated with coal-bearing spoil-heaps burned by self- ignition, La Ricamarie, Loire, Mineralogy and Petrology 114: 465-487.
  2. Dai S, Finkelman RB (2018) Coal as a promising source of critical elements: Progress and future prospects. International Journal of Coal Geology 186: 155-164.
  3. Taggart RK, Hower JC, Hsu-Kim H (2016) Rare earth elements in coal and coal fly International Journal of Coal Geology 147-148: 1-27.
  4. Zhang W, Cao Y, Zhou Y, Liu J (2015) Geochemistry of rare earth elements in coal fly ash. Fuel 150: 292-297.
  5. Blissett RS, Rowson NA (2012) A review of the multi-component utilisation of coal fly ash. Fuel 97: 1-23.
  6. Heffern EL, Coates DA (2004) Clinker: Fire-Altered Rocks in the Powder River Basin, Wyoming and Montana. U.S. Geological Survey Professional Paper 1676.