Treatment of High-Risk Neuroblastoma with Intensive Chemotherapy, Radiotherapy, Autologous Bone Marrow Transplantation, and 13-cis-Retinoic Acid
Katherine K. Matthay, M.D., Judith G. Villablanca, M.D., Robert C. Seeger, M.D., Daniel O. Stram, Ph.D., Richard E. Harris, M.D., Norma K. Ramsay, M.D., Patrick Swift, M.D., Hiroyuki Shimada, M.D., C. Thomas Black, M.D., Garrett M. Brodeur, M.D., Robert B. Gerbing, M.A., C. Patrick Reynolds, M.D., Ph.D., for The Children's Cancer Group
Background Children with high-risk neuroblastoma have a pooroutcome. In this study, we assessed whether myeloablative therapyin conjunction with transplantation of autologous bone marrowimproved event-free survival as compared with chemotherapy alone,and whether subsequent treatment with 13-cis-retinoic acid (isotretinoin)further improves event-free survival.
Methods All patients were treated with the same initial regimenof chemotherapy, and those without disease progression werethen randomly assigned to receive continued treatment with myeloablativechemotherapy, total-body irradiation, and transplantation ofautologous bone marrow purged of neuroblastoma cells or to receivethree cycles of intensive chemotherapy alone. All patients whocompleted cytotoxic therapy without disease progression werethen randomly assigned to receive no further therapy or treatmentwith 13-cis-retinoic acid for six months.
Results The mean (±SE) event-free survival rate threeyears after the first randomization was significantly betteramong the 189 patients who were assigned to undergo transplantationthan among the 190 patients assigned to receive continuationchemotherapy (34±4 percent vs. 22±4 percent, P=0.034).The event-free survival rate three years after the second randomizationwas significantly better among the 130 patients who were assignedto receive 13-cis-retinoic acid than among the 128 patientsassigned to receive no further therapy (46±6 percentvs. 29±5 percent, P=0.027).
Conclusions Treatment with myeloablative therapy and autologousbone marrow transplantation improved event-free survival amongchildren with high-risk neuroblastoma. In addition, treatmentwith 13-cis-retinoic acid was beneficial for patients withoutprogressive disease when it was administered after chemotherapyor transplantation.
Neuroblastoma, the most common extracranial solid tumor of childhood,has a long-term survival rate of only 15 percent.1 At diagnosisthe defining characteristics of high-risk neuroblastoma includean age of more than one year, metastases, amplification of theMYCN oncogene, and histologic findings.2,3,4 Recent progressin the treatment of high-risk neuroblastoma may be due to theuse of higher doses of chemotherapy5 and improved supportivecare. Some studies have attributed the improvement to the useof myeloablative doses of cytotoxic therapy in conjunction withautologous bone marrow transplantation.6,7,8,9,10,11,12,13,14,15However, since none of these studies involved a randomized comparison,selection bias may have influenced the results.
Relapse remains common, despite the achievement of a completeclinical remission with myeloablative therapy and marrow transplantation,suggesting that minimal residual disease is an important causeof recurrence.11 All-trans-retinoic acid (tretinoin) and 13-cis-retinoicacid (isotretinoin) decrease proliferation and induce differentiationin neuroblastoma cell lines, including some established fromrefractory tumors, and may be effective against residual tumorcells that are resistant to cytotoxic agents.16,17,18,19,20A phase 1 study of children with high-risk neuroblastoma foundthat an intermittent schedule of high-dose 13-cis-retinoic acidafter bone marrow transplantation had minimal toxicity, achievedlevels that were effective against neuroblastoma cell linesin vitro, and resulted in the clearing of tumor cells in bonemarrow, as determined by morphologic assessment, in 3 of 10patients.21
These promising results led to the present prospective, randomizedstudy in which a combination of myeloablative chemotherapy,total-body irradia-tion, and transplantation of autologous bonemarrow purged of cancer cells was compared with intensive nonmyeloablativechemotherapy in children and young adults with high-risk neuroblastoma.The study design also included a second randomization to determinewhether treatment with 13-cis-retinoic acid after transplantationor chemotherapy further improves event-free survival.
Methods
Patients
Eligible patients included children and adolescents with newlydiagnosed high-risk neuroblastoma who were 1 to 18 years ofage. A total of 434 patients had Evans stage IV neuroblastoma;72 had stage III disease with one or more of the following:amplification of the MYCN oncogene,2 a serum ferritin levelof at least 143 ng per milliliter,22 and unfavorable histopathologicalfindings23,24; 1 had stage II disease with amplification ofMYCN (age, >1 year); 13 had stage I or II disease with bonemetastases before therapy other than surgery; and 19 had hadstage IV disease with MYCN amplification for less than one year.Parents or guardians provided written informed consent, andthe study was approved by the appropriate local institutionalreview boards. Enrollment began in January 1991 and ended inApril 1996.
Serum ferritin was measured by radioimmunoassay; levels of atleast 143 ng per milliliter were designated as unfavorable,and levels below 143 ng per milliliter were designated as favorable.22Biologic features of the tumor including histologic findingsand the number of MYCN genes were determined centrally in theneuroblastoma reference laboratory of the Children's CancerGroup. Amplification of MYCN was measured by Southern blotting(from 1991 to 1993)25 or on the basis of the pattern and intensityof the MYCN protein on immunohistochemical and semiquantitativepolymerase-chain-reaction assays (from 1994 to 1996).26 Oneinvestigator reviewed all tumors and classified the histopathologicalfindings as favorable or unfavorable according to the methodof Shimada et al.24
Treatment
All patients received initial therapy with cisplatin (60 mgper square meter of body-surface area administered intravenouslyover a period of six hours on day 0), doxorubicin (30 mg persquare meter intravenously on day 2), etoposide (100 mg persquare meter intravenously on days 2 and 5), and cyclophosphamide(1000 mg per square meter intravenously on days 3 and 4) forfive cycles at 28-day intervals, plus surgery and radiotherapyfor gross residual disease (Figure 1). The requirements forthe local control of disease were identical for all patients.For the transplantation group, the conditioning regimen consistedof carboplatin (1000 mg per square meter) and etoposide (640mg per square meter) administered by continuous infusion overa period of 96 hours beginning eight days before transplantation;melphalan (a bolus infusion of 140 mg per square meter sevendays before transplantation and a bolus infusion of 70 mg persquare meter six days before transplantation); and total-bodyirradiation (333 cGy daily for the three days before transplantation),followed by an infusion of purged bone marrow (median dose,2x108 mononuclear cells per kilogram of body weight) on day0 and then by granulocytemacrophage colony-stimulatingfactor (250 µg per square meter per day intravenously).The continuation-chemotherapy group received three cycles ofcisplatin (160 mg per square meter), etoposide (500 mg per squaremeter), and doxorubicin (40 mg per square meter), administeredas a continuous infusion over a period of 96 hours and givensimultaneously with a bolus injection of ifosfamide (2500 mgper square meter on days 0 to 3) and mesna (600 mg per squaremeter per dose every 3 hours for five doses), followed by granulocytecolony-stimulating factor (5 µg per kilogram subcutaneously).The first randomization was performed just before the thirdcycle of initial therapy, at week 8 of the protocol (median,60 days after diagnosis), and included patients without diseaseprogression. After transplantation or the end of continuationtherapy (week 34 of the protocol; median, 288 days after diagnosis),patients without disease progression were randomly assignedto receive six cycles of 13-cis-retinoic acid (160 mg per squaremeter per day administered orally in two divided doses for 14consecutive days in a 28-day cycle) or no further therapy. Clinicalevaluations were performed at diagnosis and at the end of inductiontherapy, continuation chemotherapy or transplantation, and 13-cis-retinoicacid therapy. Responses were assessed with use of the internationalcriteria for the response to treatment of neuroblastoma.27,28
The conditioning regimen for autologous bone marrow transplantation consisted of carboplatin, etoposide, melphalan, and total-body irradiation. Details of the chemotherapy regimens are given in the Methods section.
Harvesting and Purging of Bone Marrow
Harvesting of bone marrow and purging were done at the neuroblastomapurging center of the Children's Cancer Group just before thefourth or fifth cycle of initial therapy, if a bone marrow aspirateobtained one week earlier had less than 1 percent tumor cellson morphologic and immunocytologic analysis (sensitivity ofassay, 1 tumor cell per 105 nucleated bone marrow cells).29Bone marrow was purged with the use of sedimentation, filtration,and two cycles of immunomagnetic separation of neuroblastomacells.10,30,31 None of the infused marrow preparations had detectabletumor cells on immunocytologic analysis.
Statistical Analysis
The design of the study called for two separate sequential randomizations.Patients who had progressive disease before week 8 of the protocolwere ineligible for the trial. Patients who had progressiveor histologically confirmed disease at the completion of cytotoxictherapy were ineligible for the second randomization. Some patientswho were ineligible for the first randomization because theywere ineligible for transplantation were assigned in a nonrandomfashion to receive continuation chemotherapy. If these patientswere free of detectable disease after chemotherapy, they wereeligible for the second randomization. They were not consideredin the intention-to-treat analysis of the first randomization.
A permuted-block design was used for the random assignment ofapproximately equal numbers of patients from each of two strata(those with and those without metastatic disease) to transplantationor continuation chemotherapy. The second randomization was similarlybalanced with respect to the numbers of patients from each groupof the first randomization and nonrandomized patients who wereineligible for transplantation.
The study committee and investigators were unaware of patients'treatment assignments, and the study was monitored by an independentcommittee according to a group sequential monitoring plan.32Interim analyses were performed after the fourth, fifth, andsixth years of enrollment. The study continued to completion,because predefined early stopping criteria were not met. Theanalysis described here was performed on February 4, 1999. Similaritiesbetween patients in the two groups were assessed with chi-squaretests for homogeneity of proportions. Outcome analyses usedlife-table methods and associated statistics.33
Life-table estimates were calculated according to the KaplanMeierprocedure. The standard errors of the life-table estimates ofevent-free survival and overall survival after three years offollow-up were calculated according to the method describedby Peto et al.34 A two-sided test of proportions was performedby dividing the difference in event-free survival by its standarderror and comparing this value with the percentiles for a standardnormal random variable. The primary end point, prespecifiedby the protocol, was event-free survival calculated from thetime of randomization. The events considered were disease progression,death from any cause, and a second neoplasm, whichever occurredfirst. A test of the significance of the differences in event-freesurvival at three years was chosen over the customary log-rankstatistic because there was a priori concern that the assumptionof proportional hazards underlying the log-rank statistic mightbe invalid for two reasons. First, the initial randomizationpreceded transplantation by a median of 4.3 months. During thisinterval, patients in both groups were treated identically andthus had identical risks. Second, it was anticipated that patientsin the transplantation group would have a high risk of early,treatment-related death, even if event-free survival was ultimatelybetter in this group than in the group assigned to receive continuationchemotherapy. The comparison of treatment regimens was performedaccording to the intention to treat.
Results
Characteristics of the Patients
Of 560 patients who were assessed for the study, 539 were foundto be eligible; of these, 379 patients participated in the firstrandomization, and 258 participated in the second randomization.Ineligible patients included 2 patients with incorrect diagnoses,10 who did not meet the criteria for high-risk neuroblastoma,1 with high bilirubin levels, and 8 for whom the proceduresof the local institutional review board were inadequate. Thestage of disease, age of the patients, sites of metastases,biologic features, and response to initial therapy were notsignificantly different between the group of patients assignedto transplantation and the group assigned to continuation chemotherapyin the first randomization or between the group assigned to13-cis-retinoic acid and the group assigned to no further therapyin the second randomization (Table 1). The group that was nonrandomlyassigned to chemotherapy differed from the randomized populationonly in the higher percentage of patients with stage III disease(21 percent vs. 12 percent, P=0.02) and the lower median age(2.6 vs. 3.1 years, P=0.01).
Of 539 eligible patients, 190 were randomly assigned to continuationchemotherapy and 189 to transplantation, and 118 were nonrandomlyassigned to continuation chemotherapy. The remaining 42 patientsnever underwent randomization, because of disease progression(16 patients), death (3), withdrawal of parental consent (8),withdrawal from the study at the request of their physicians(4), or substantial deviation from treatment (11). Of the 189patients who were assigned to transplantation, 129 actuallyreceived a bone marrow transplant according to the protocoland before disease progression (median interval from study entryto transplantation, 190 days; range, 154 to 264). Of the 190patients who were assigned to continuation chemotherapy, 150actually received chemotherapy according to the protocol (mediantime from study entry to the start of chemotherapy, 178 days;range, 143 to 261). Of the 100 patients who did not receivethe treatment to which they were randomly assigned, progressivedisease developed in 52 before they could receive the assignedtherapy (28 in the chemotherapy group and 24 in the transplantationgroup). Two patients died after randomization but before receivingthe assigned treatment. The remaining 46 patients had a substantialdeviation from the protocol before disease progression as aresult of a decision by their parents or physicians (14 wereassigned to chemotherapy and 32 to transplantation). Compliancewith the protocols of the first randomization among patientswithout progressive disease was 86 percent. Regardless of theactual subsequent treatment, all patients who underwent randomizationwere included in all analyses according to their assigned treatment.
A total of 319 patients completed cytotoxic therapy withoutdisease progression. Of this group, 130 were randomly assignedat week 34 to receive 13-cis-retinoic acid and 128 to receiveno further therapy. Fifty-two percent of the patients who wererandomly assigned to receive transplantation underwent the secondrandomization; 55 percent of those who were randomly assignedto chemotherapy underwent the second randomization. The mediantimes from transplantation or the beginning of continuationchemotherapy to the beginning of 13-cis-retinoic acid therapywere 97 and 115 days, respectively. In addition, 37 patientswere nonrandomly assigned to receive 13-cis-retinoic acid becauseof residual disease. The parents of 24 patients declined toenroll their children in the second phase, and these patientswere excluded from the analysis. Compliance with the protocolof the second randomization was 98 percent; two patients inthe 13-cis-retinoic acid group did not receive treatment accordingto the protocol, and four patients in the group assigned tono further treatment received 13-cis-retinoic acid.
Outcomes of Autologous Bone Marrow Transplantation and Continuation Chemotherapy
The mean (±SE) event-free survival rate three years afterdiagnosis was 30±2 percent, and the overall survivalrate during this period was 45±2 percent for all 539eligible patients. The median duration of follow-up was 43 months(range, 2 to 89). For the 379 patients who underwent the firstrandomization, the three-year event-free survival rate was 28±3percent, which was not significantly different from that forall patients, nor from that for the 118 patients who were nonrandomlyassigned to chemotherapy (33±5 percent). The three-yearevent-free survival rate from the time of the first randomizationwas 34±4 percent among patients assigned to transplantation,a value that was significantly higher than the rate of 22±4percent among those assigned to continuation chemotherapy (P=0.034)(Figure 2). Overall survival in the two groups was not significantlydifferent, with three-year estimates of 43±4 percentfor patients assigned to transplantation and 44±4 percentfor those assigned to chemotherapy (P=0.87). If event-free survivalis analyzed only for the patients who actually received theirassigned treatment, the three-year survival rate for the 129patients who underwent transplantation was 43±6 percent,as compared with a rate of 27±5 percent for the patientswho received continuation chemotherapy.
Figure 2. Probability of Event-free Survival among Patients Assigned to Bone Marrow Transplantation or Continuation Chemotherapy.
Follow-up began at the time of the first randomization (eight weeks after diagnosis). The difference in survival between the two groups was significant at three years (P=0.034).
Effect of Subsequent Therapy with 13-cis-Retinoic Acid
The 3-year event-free survival rate (Figure 3) of 46±6percent for patients assigned to receive 13-cis-retinoic acidwas significantly better than the rate of 29±5 percentfor those assigned to no further therapy (P=0.027) (median follow-up,36 months; range, 5 to 80). Overall survival was not significantlydifferent between the two groups, with three-year estimatesfor patients assigned to 13-cis-retinoic acid and no furthertherapy of 56±6 percent and 50±6 percent, respectively(P=0.45).
Figure 3. Probability of Event-free Survival among Patients Assigned to Receive 13-cis -Retinoic Acid or No Further Treatment.
Follow-up began at the time of the second randomization (34 weeks after diagnosis). The difference in survival between the two groups was significant at three years (P=0.027).
Treatment with 13-cis-retinoic acid appeared to benefit patientswho received either a bone marrow transplant or continuationchemotherapy (Figure 4). There was no evidence of an interactionbetween the second-randomization treatment and the first-randomizationtreatment (P=0.4). The estimated event-free survival three yearsafter the second randomization for the patients assigned toreceive transplantation followed by 13-cis-retinoic acid was55±10 percent, as compared with 18±6 percent forthose assigned to chemotherapy only. Since these event-freesurvival curves can only be shown from the time of the secondrandomization, not all patients from the first randomizationwere included. Caution in the interpretation of these resultsis therefore necessary. For the patients who were nonrandomlyassigned to chemotherapy (data not shown) and then randomlyassigned to receive 13-cis-retinoic acid, the three-year event-freesurvival rate was 53±11 percent and was not significantlydifferent from the rate among those who were randomly assignedto no further therapy after nonrandom assignment to chemotherapy(31± 11 percent, P=0.13).
Figure 4. Probability of Event-free Survival among Patients Who Entered Both Phases of the Study and Who Were Randomly Assigned to Receive a Bone Marrow Transplant plus 13-cis -Retinoic Acid, Transplant without 13-cis-Retinoic Acid, Continuation Chemotherapy plus 13-cis-Retinoic Acid, or Continuation Chemotherapy without 13-cis-Retinoic Acid.
Follow-up began at the time of the second randomization (34 weeks after diagnosis). Overall event-free survival was significantly better in the group treated with transplantation plus 13-cis-retinoic acid than in the group assigned to continuation chemotherapy without 13-cis-retinoic acid (P=0.02).
Prognostic Factors
For all eligible patients, univariate analysis revealed theseadverse prognostic factors: stage IV disease (relative riskof death as compared with patients with stage I, II, or IIIdisease, 2.4; 95 percent confidence interval, 1.7 to 3.4), amplificationof MYCN (relative risk as compared with patients without MYCNamplification, 1.3; 95 percent confidence interval, 1.2 to 1.5),unfavorable histopathological findings (relative risk as comparedwith patients with no unfavorable findings, 1.2; 95 percentconfidence interval, 1.1 to 1.4), a serum ferritin level ofat least 143 ng per milliliter (relative risk as compared withpatients with a serum ferritin level of less than 143 ng permilliliter, 1.4; 95 percent confidence interval, 1.2 to 1.6),and a partial response to initial chemotherapy (relative riskas compared with patients with a complete or nearly completeresponse, 1.3; 95 percent confidence interval, 1.02 to 1.7).Among patients with stage IV neuroblastoma, bone metastasesat diagnosis (relative risk, 1.3; 95 percent confidence interval,1.04 to 1.6) and the presence at diagnosis of more than 100tumor cells per 105 normal nucleated bone marrow cells (relativerisk, 1.2; 95 percent confidence interval, 1.1 to 1.4) werealso adverse factors. The event-free survival among patientsassigned to transplantation was greater in every subanalysisthan that among patients assigned to chemotherapy, but it wasmost pronounced among the subgroup of patients who were olderthan two years at diagnosis (P=0.01) and among the subgroupof patients with amplification of MYCN (P=0.03). The improvedoutcome among patients with stage IV neuroblastoma who wereassigned to receive 13-cis-retinoic acid was significant amongthe subgroup of patients in complete remission at the end ofinitial chemotherapy (P=0.03), but not among those in partialremission. For the subgroup of patients with stage IV neuroblastoma,the three-year event-free survival rate was 30±4 percentamong those assigned to transplantation and 20±4 percentamong those assigned to continuation chemotherapy (P=0.07);for those assigned to 13-cis-retinoic acid the rate was 40±6percent, as compared with a rate of 25±5 percent forthose assigned to no further therapy (P=0.09).
Treatment-Related Toxicity and Deaths
During initial therapy, grade 3 or 4 toxic effects (accordingto the common toxicity criteria of the National Cancer Institute),most frequently hematologic effects, occurred in 71 percentof patients. Sepsis occurred in 17 percent of patients. Duringcontinuation chemotherapy, grade 3 or 4 hematologic effectsoccurred in all patients. For patients who underwent bone marrowtransplantation, the median time to hematologic recovery (asdefined by an absolute neutrophil count of more than 500 percubic millimeter) was 17 days. Serious infections and sepsisoccurred in 52 percent and 28 percent of patients assigned tochemotherapy, respectively, and in 53 percent and 26 percentof patients assigned to transplantation, respectively. Grade3 or 4 renal effects occurred in 8 percent of patients assignedto continuation chemotherapy, as compared with 18 percent ofpatients assigned to transplantation. Patients assigned to bonemarrow transplantation had a higher incidence of interstitialpneumonitis (10 percent, as compared with 1 percent among thoseassigned to chemotherapy) and veno-occlusive disease (9 percentvs. 0 percent). The mean duration of hospitalization was 45days during the 12-week regimen of continuation chemotherapyand 47 days in the group assigned to transplantation.
Grade 3 or 4 toxic effects, including elevations in aminotransferaselevels (2 percent of patients), renal effects (2 percent), gastrointestinaleffects (2 percent), skin effects (cheilitis, dryness, and rash;2 percent), infection (12 percent), and hypercalcemia (1 percent),occurred in a total of 17 percent of patients who were randomlyassigned to 13-cis-retinoic acid. The hematologic effects (9percent of patients) lessened over time after the end of cytotoxictherapy and probably reflected preexisting myelosuppression.Hematuria, proteinuria, hypertension, and an elevated serumcreatinine level (maximum, 1.8 mg per deciliter [159 µmolper liter]) developed in five patients, all of whom had undergonetransplantation and had received 13-cis-retinoic acid. A syndromeof hypertension, hematuria, and proteinuria has been reportedafter autologous bone marrow transplantation without 13-cis-retinoicacid.35,36,37
Second malignant neoplasms (two leukemias and one clear-cellcarcinoma) have occurred in three patients (one randomly assignedto transplantation, one randomly assigned to continuation chemotherapy,and one nonrandomly assigned to chemotherapy). None of thesepatients had received 13-cis-retinoic acid. Of the 323 patientswho died, 301 had progressive disease and 22 died solely oftreatment-related causes. The median time from relapse to deathwas shorter for the patients who were assigned to transplantationthan for those assigned to chemotherapy (137±21 daysvs. 255±49 days, P=0.005). Only 8 percent of patientssurvived more than three years after relapse. For the patientswho underwent the first-randomization treatment, there weremore treatment-related deaths from the transplantation therapy(9 of 129) than from the continuation chemotherapy (1 of 150,P=0.013). For the entire study period, however, the numbersof treatment-related deaths were not different statistically(transplantation group, 6 percent; chemotherapy group, 3 percent;P=0.32).
Discussion
In this randomized study of the treatment of patients with high-riskneuroblastoma, we found that transplantation of purged autologousbone marrow resulted in a significant improvement in event-freesurvival as compared with intensive chemotherapy. Moreover,as compared with no further therapy, subsequent treatment withhigh-dose, pulsed 13-cis-retinoic acid also improved event-freesurvival. Eighty-five percent of the patients we studied hadstage IV disease and were older than one year of age at diagnosis.The group of 129 children who actually underwent bone marrowtransplantation had a significantly higher three-year event-freesurvival rate than the 150 patients who actually received continuationchemotherapy (P=0.027). Although analysis according to the treatmentreceived is potentially biased because of self-selection, theresults of this analysis and of the intention-to-treat analysiswere generally consistent with each other and with the resultsof our previous nonrandomized study.14
Other reports of concomitant but not randomized comparisonsof transplantation and chemotherapy have yielded mixed results.12,38A randomized study found an advantage for autologous transplantation,but it was limited by small numbers and the method of selection,since randomization did not occur until the end of inductionchemotherapy.39 In our study, significant adverse prognosticfactors were similar to those previously reported.2,14,22,24,40The improvement in event-free survival among patients in thetransplantation group was also observed in the subgroup of patientswhose tumors had MYCN amplification or who were over two yearsof age.14 The increased intensity of cytotoxic therapy beyondthe usual nonmyeloablative dose may account for the better event-freesurvival in the transplantation group than in the continuation-chemotherapygroup, which received repeated, lower doses of chemotherapy.
Although the three-year event-free survival rate was significantlyimproved by autologous bone marrow transplantation, overallsurvival was similar for both regimens. There was a significantlyshorter interval between relapse and death among patients whorelapsed after bone marrow transplantation than among thosewho relapsed after chemotherapy (P= 0.005). However, virtuallyall relapses in either group resulted in death. Therefore, overallsurvival in this study may ultimately parallel event-free survival.
In the second portion of the study, we examined the effect oftreatment with 13-cis-retinoic acid after maximal reductionof the tumor with the use of chemotherapy, radiotherapy, andsurgery, with or without transplantation. There was a significantimprovement in event-free survival among children who were given13-cis-retinoic acid, regardless of the type of prior therapy.Our results suggest that 13-cis-retinoic acid is most effectivein patients with minimal residual disease, because it did notappear to be effective in patients with proven residual diseasewho were nonrandomly assigned to receive 13-cis-retinoic acid.The greatest effect of 13-cis-retinoic acid in patients withstage IV neuroblastoma was found among those who had an initialcomplete response.
To estimate conservatively the effect of combining transplantationand 13-cis-retinoic acid, we multiplied the 3-year event-freesurvival rate after the second randomization (approximately3.7 years after diagnosis) by the fraction of randomized patientswho reached the second randomization (55 percent in the chemotherapygroup and 52 percent in the transplantation group). The resultingevent-free survival rate 3.7 years after the first randomizationwould be 29±7 percent in the group that underwent transplantationand received 13-cis-retinoic acid therapy and 11±4 percentin the group that received chemotherapy alone (P=0.019). Thisestimate is conservative, because it ignores the possibilityof continued event-free survival among patients who underwentthe first but not the second randomization. If these patientsare included (with the conservative assumption that treatmentwith 13-cis-retinoic acid would not have affected their outcome),the estimate of the 3.7-year event-free survival rate wouldincrease to 38±6 percent in the group that underwenttransplantation and received 13-cis-retinoic acid and to 17±4percent in the group that received chemotherapy alone.
In conclusion, event-free survival among patients with high-riskneuroblastoma was significantly better with high-dose chemotherapyand radiotherapy followed by transplantation of purged autologousbone marrow than with chemotherapy alone. In addition, treatmentwith 13-cis-retinoic acid further improved the outcome amongpatients without progressive disease. These therapeutic approachesshould form the basis for the treatment of patients with high-riskneuroblastoma.
Supported by grants from the Division of Cancer Treatment, NationalCancer Institute (CA13539 [to the Children's Cancer Group];CA22794, CA02649, and CA60104 [to Dr. Seeger]; CA39771 [to Dr.Brodeur]; and CA13539, CA02971, CA17829, CA05436, CA10382, CA20320,CA03888, CA02649, CA03750, CA03526, CA36015, CA26270, CA26044,CA07306, CA11796, CA42764, CA13809, CA10198, CA29013, CA26126,CA14560, CA27678, CA29314, CA28851, and CA28882); from the NeilBogart Memorial Laboratories of the T.J. Martell Foundationfor Leukemia, Cancer, and AIDS Research (to Drs. Reynolds, Villablanca,and Seeger); and from the American Institute for Cancer Research(to Dr. Reynolds).
We are indebted to Carolyn Billups, Debra Collins, Richard Gallego,and Beth Hasenauer, R.N., for outstanding technical and nursingassistance, and to Martha Sensel, Ph.D., for editorial assistance.
* Other investigators and institutions that participated in thestudy are listed in the Appendix.
Source Information
From the Departments of Pediatrics (K.K.M.) and Radiation Oncology (P.S.), University of California School of Medicine, San Francisco; the Departments of Pediatrics (J.G.V., R.C.S., C.P.R.) and Pathology (H.S., C.P.R.), University of Southern California School of Medicine and Children's Hospital, Los Angeles; the Department of Preventive Medicine, University of Southern California School of Medicine, Los Angeles (D.O.S.); the Department of Pediatrics, Children's Hospital Medical Center, Cincinnati (R.E.H.); the Department of Pediatrics, University of Minnesota School of Medicine, Minneapolis (N.K.R.); the Department of Surgery, M.D. Anderson Hospital, Houston (C.T.B.); the Children's Cancer Group, Arcadia, Calif. (D.O.S., R.B.G.); and the Department of Pediatrics, University of Pennsylvania School of Medicine, Philadelphia (G.M.B.).
Address reprint requests to Dr. Matthay at the Children's Cancer Group, P.O. Box 60012, Arcadia, CA 91066-6012.
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Appendix
The following institutions and principal investigators participatedin the study: Group Operations Center, Arcadia, Calif. W.A. Bleyer, A. Khayat, H. Sather, M. Krailo, J. Buckley, D.Stram, and R. Sposto; University of Michigan Medical Center,Ann Arbor R. Hutchinson; University of California MedicalCenter, San Francisco K. Matthay; University of WisconsinHospital, Madison D. Puccetti; Children's Hospital andMedical Center, Seattle J.R. Geyer; Rainbow Babies andChildren's Hospital, Cleveland S. Shurin; Children'sNational Medical Center, Washington, D.C. G. Reaman;Children's Hospital of Los Angeles, Los Angeles P. Gaynon;Children's Hospital of Columbus, Columbus, Ohio F. Ruymann;Columbia College of Physicians and Surgeons, New York H.L. Wexler; Children's Hospital of Pittsburgh, Pittsburgh A.K. Ritchey; Vanderbilt University School of Medicine, Nashville J. Lukens; Doernbecher Memorial Hospital for Children,Portland, Oreg. H.S. Nicholson; University of MinnesotaHealth Sciences Center, Minneapolis J. Neglia; Children'sHospital of Philadelphia, Philadelphia B. Lange; MemorialSloan-Kettering Cancer Center, New York P. Steinherz;James Whitcomb Riley Hospital for Children, Indianapolis P. Breitfeld; University of Utah Medical Center, Salt Lake City W.L. Carroll; University of British Columbia, Vancouver,B.C., Canada C. Fryer; Children's Hospital Medical Center,Cincinnati R. Wells; HarborUCLA and Miller Children'sMedical Center, TorranceLong Beach, Calif. J.Finklestein; University of California Medical Center, Los Angeles S. Feig; University of Iowa Hospitals and Clinics, IowaCity R. Tannous; Children's Hospital of Denver, Denver L. Odom; Mayo Clinic and Foundation, Rochester, Minn. G. Gilchrist; Izaak Walton Killam Hospital for Children,Halifax, N.S., Canada D. Barnard; University of NorthCarolina, Chapel Hill S. Gold; University of Medicineand Dentistry of New Jersey, Camden R. Drachtman; Children'sMercy Hospital, Kansas City, Mo. M. Hetherington; Universityof Nebraska Medical Center, Omaha P. Coccia; Universityof Chicago Medical Center, Chicago J. Nachman; M.D.Anderson Cancer Center, Houston B. Raney; Princess MargaretHospital, Perth, Australia D. Baker; New York UniversityMedical Center, New York A. Rausen; and Children's Hospitalof Orange County, Orange, Calif. V. Shen.
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Cheung, B. B., Bell, J., Raif, A., Bohlken, A., Yan, J., Roediger, B., Poljak, A., Smith, S., Lee, M., Thomas, W. D., Kavallaris, M., Norris, M., Haber, M., Liu, H.-L., Zajchowski, D., Marshall, G. M.
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Matthay, K. K., Tan, J. C., Villablanca, J. G., Yanik, G. A., Veatch, J., Franc, B., Twomey, E., Horn, B., Reynolds, C. P., Groshen, S., Seeger, R. C., Maris, J. M.
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Kumar, A., Soares, H., Wells, R., Clarke, M., Hozo, I., Bleyer, A., Reaman, G., Chalmers, I., Djulbegovic, B.
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Bagatell, R., Rumcheva, P., London, W. B., Cohn, S. L., Look, A. T., Brodeur, G. M., Frantz, C., Joshi, V., Thorner, P., Rao, P.V., Castleberry, R., Bowman, L. C.
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Attiyeh, E. F., London, W. B., Mosse, Y. P., Wang, Q., Winter, C., Khazi, D., McGrady, P. W., Seeger, R. C., Look, A. T., Shimada, H., Brodeur, G. M., Cohn, S. L., Matthay, K. K., Maris, J. M., the Children's Oncology Group,
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George, R. E., London, W. B., Cohn, S. L., Maris, J. M., Kretschmar, C., Diller, L., Brodeur, G. M., Castleberry, R. P., Look, A. T.
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Schmidt, M. L., Lal, A., Seeger, R. C., Maris, J. M., Shimada, H., O'Leary, M., Gerbing, R. B., Matthay, K. K.
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Kushner, B. H., Kramer, K., Laquaglia, M. P., Modak, S., Yataghene, K., Cheung, N.-K. V.
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Santana, V. M., Furman, W. L., Billups, C. A., Hoffer, F., Davidoff, A. M., Houghton, P. J., Stewart, C. F.
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Jodele, S., Chantrain, C. F., Blavier, L., Lutzko, C., Crooks, G. M., Shimada, H., Coussens, L. M., DeClerck, Y. A.
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Morowitz, M. J., Barr, R., Wang, Q., King, R., Rhodin, N., Pawel, B., Zhao, H., Erickson, S. A., Sheppard, G. S., Wang, J., Maris, J. M., Shusterman, S.
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Uccini, S., Mannarino, O., McDowell, H. P., Pauser, U., Vitali, R., Natali, P. G., Altavista, P., Andreano, T., Coco, S., Boldrini, R., Bosco, S., Clerico, A., Cozzi, D., Donfrancesco, A., Inserra, A., Kokai, G., Losty, P. D., Nicotra, M. R., Raschella, G., Tonini, G. P., Dominici, C.
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Chi, S. N., Gardner, S. L., Levy, A. S., Knopp, E. A., Miller, D. C., Wisoff, J. H., Weiner, H. L., Finlay, J. L.
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