Antiretroviral-Drug Resistance among Patients Recently Infected with HIV
Susan J. Little, M.D., Sarah Holte, Ph.D., Jean-Pierre Routy, M.D., Eric S. Daar, M.D., Marty Markowitz, M.D., Ann C. Collier, M.D., Richard A. Koup, M.D., John W. Mellors, M.D., Elizabeth Connick, M.D., Brian Conway, M.D., Michael Kilby, M.D., Lei Wang, Ph.D., Jeannette M. Whitcomb, Ph.D., Nicholas S. Hellmann, M.D., and Douglas D. Richman, M.D.
Background Among persons in North America who are newly infectedwith the human immunodeficiency virus (HIV), the prevalenceof transmitted resistance to antiretroviral drugs has been estimatedat 1 to 11 percent.
Methods We performed a retrospective analysis of susceptibilityto antiretroviral drugs before treatment and drug-resistancemutations in HIV in plasma samples from 377 subjects with primaryHIV infection who had not yet received treatment and who wereidentified between May 1995 and June 2000 in 10 North Americancities. Responses to treatment could be evaluated in 202 subjects.
Results Over the five-year period, the frequency of transmitteddrug resistance increased significantly. The frequency of high-levelresistance to one or more drugs (indicated by a value of morethan 10 for the ratio of the 50 percent inhibitory concentration[IC50] for the subject's virus to the IC50 for a drug-sensitivereference virus) increased from 3.4 percent during the periodfrom 1995 to 1998 to 12.4 percent during the period from 1999to 2000 (P=0.002), and the frequency of multidrug resistanceincreased from 1.1 percent to 6.2 percent (P=0.01). The frequencyof resistance mutations detected by sequence analysis increasedfrom 8.0 percent to 22.7 percent (P<0.001), and the frequencyof multidrug resistance detected by sequence analysis increasedfrom 3.8 percent to 10.2 percent (P=0.05). Among subjects infectedwith drug-resistant virus, the time to viral suppression afterthe initiation of antiretroviral therapy was longer (P=0.05),and the time to virologic failure was shorter (P=0.05).
We determined the prevalence of transmitted drug-resistant virusin a cohort of subjects with primary HIV infection from 10 NorthAmerican cities who had not received treatment. We also evaluatedthe association between base-line susceptibility to anti-HIVdrugs and virologic response to therapy among those who beganto receive potent antiretroviral therapy.
Methods
Study Subjects
Between May 1995 and June 2000, subjects with signs or symptomsof an acute HIV seroconversion syndrome or evidence of recentHIV infection were referred to one of seven participating AcuteInfection and Early Disease Research Programs9 in 10 North Americancities (Table 1). Study participants signed an informed-consentform that had been approved by the local institutional reviewboard and underwent laboratory screening to determine whetherthey met criteria for acute or early HIV infection.
Table 1. Base-Line Characteristics of the Subjects.
The criteria for study enrollment included documented HIV seroconversionwithin the previous 12 months or evidence of acute or earlyHIV infection. Acute HIV infection was defined by detectableHIV RNA or p24 antigen, in the absence of HIV antibody detectableby enzyme immunoassay (EIA), with subsequently documented HIVseroconversion. Early HIV infection was defined by a positiveEIA for HIV and a documented negative serologic test withinthe past 12 months or a result on a reduced-sensitivity ("detuned")EIA that was consistent with recent infection with HIV.10 Accordingto the clinical judgment of study investigators, 13 percentof the study subjects had recently acquired HIV infection. Thesesubjects typically had documented levels of HIV RNA and an evolvingresult on Western blotting within 90 days after the onset ofan acute retroviral syndrome (i.e., viral symptoms consistentwith acute HIV infection), following high-risk sexual activityor needle use. For the remaining 87 percent of study participants,the date of HIV infection was estimated as follows: if applicable,we used the date 30 days before an indeterminate result on Westernblotting; if that method was not applicable, we used the date65 days before a result on a detuned EIA of less than 1.0; ifneither of the above was applicable, we used the midpoint betweenthe last documented negative EIA for HIV and the first positiveEIA or the first detection of HIV RNA or p24 antigen. Subjectswere excluded if they had previously received antiretroviraltherapy for more than seven days or if they had a plasma HIVRNA level of less than 400 copies per milliliter at the timeof their base-line evaluation. A total of 377 subjects met theentry criteria and were included in the analysis; of these subjects,169 have been described previously.11,12
Study Design
For all subjects in this retrospective cohort study, informationon demographic characteristics and risk factors for exposureto HIV were recorded at base line, and a pretreatment plasmasample was obtained and stored at 70°C. Drug-resistancetests were not performed prospectively; the choice of initialregimen was based on the protocols of clinical studies or thestandard of care. Plasma HIV RNA levels and CD4 lymphocyte subgroupswere monitored at least every six weeks during follow-up.
Response to Treatment
The response to treatment was evaluated in the 202 subjectswho began receiving a potent antiretroviral regimen during follow-upand who had adequate data for analysis (an HIV RNA measurementat least every six weeks); in 95 percent of these subjects (191of 202), this evaluation was performed within the first yearafter the estimated date of infection. Potent antiretroviraltherapy was defined according to consensus guidelines.13 Thetime to viral suppression was defined by the first of two consecutiveplasma values of less than 500 HIV RNA copies per millilitermeasured in plasma samples collected at least 14 days apart.An interruption of treatment for more than 14 days was considereda discontinuation of therapy. The time to virologic failurewas defined as the time from the first achievement of viralsuppression to the first value for plasma RNA that was morethan 500 copies per milliliter while the subject was receivingpotent antiretroviral therapy.
Susceptibility Testing
At base line, plasma samples were analyzed for drug susceptibilityby a rapid recombinant virus assay (PhenoSense HIV, ViroLogic),which uses test vectors derived from the amplified product ofthe HIV-1 protease and reverse-transcriptase gene sequencesfrom the patient's plasma.14 Drug susceptibility is measuredby determining the ratio of the concentration required for 50percent inhibition [IC50] of the subject's virus to the IC50for a drug-sensitive reference virus (NL4-3) for each antiretroviraldrug tested. An IC50 for a subject's virus that was higher thanthat for the drug-sensitive reference virus by more than a factorof 1.5 to 2.5 (the exact number varies according to the particulardrug) was indicative of reduced susceptibility to that drug.14Plasma samples were tested at base line for susceptibility toabacavir, didanosine, lamivudine, stavudine, zalcitabine, zidovudine,delavirdine, efavirenz, nevirapine, amprenavir, indinavir, lopinavir,nelfinavir, ritonavir, and saquinavir. In the absence of precisethresholds defining clinically relevant reductions in susceptibilityfor many drugs, a value greater than 10 for the ratio of theIC50 for the subject's virus to the IC50 for the reference viruswas considered to indicate clinical resistance to each drug.Multidrug resistance was defined by either an IC50 ratio ofmore than 10 for two or more classes of drugs or the identificationof major mutations conferring resistance to drugs in two ormore classes.
Sequence Analysis
Population-based nucleotide-sequence analysis of the HIV polgene was performed locally or centrally (ViroLogic) for 301of 377 base-line plasma samples (80 percent). All samples withevidence of reduced susceptibility to one or more drugs weresuccessfully genotyped. Consensus guidelines for testing forresistance to antiretroviral drugs15 were used to define well-characterizeddrug-resistance mutations. Nucleotide substitutions at position215 that resulted in the expression of aspartate (D), asparagine(N), serine (S), cysteine (C), or glutamate (E) instead of threonine(T) were included as major drug-resistance mutations. Thesemutations represent changes of a single nucleotide from thewell-characterized T215Y mutation that confers resistance tonucleoside reverse-transcriptase inhibitors and are the resultof spontaneous reversion of this mutation in the absence ofzidovudine treatment.16,17 Strains with genetic mixtures ofwild-type and mutant sequences at amino acid sites that codefor major drug resistance were considered to be drug-resistant.
Statistical Analysis
Changes in the percentage of strains that were resistant (accordingto the year of infection) were analyzed by means of a test forlinear trend. Differences in categorical variables were assessedby means of the MantelHaenszel chi-square test wheneverthere were at least five observations for each resistance classificationand time interval, or Fisher's exact test when there were fewerthan five observations. For time-to-event analyses, the log-rankstatistic was used in order to derive P values for the differencesin the survival curves.
Results
Characteristics of the Subjects
Study subjects were predominantly non-Hispanic white men whoserisk factor for HIV infection was having had sex with men (Table 1).A total of 76 percent of the subjects were referred to participatingstudy centers with an acute retroviral syndrome; symptoms occurredafter an identified episode of high-risk sexual exposure (in77 percent of the 238 subjects with data on risk factors), needleuse (in 12 percent), or both (in 11 percent). The median base-lineCD4 cell count was 489 cells per cubic millimeter; the meanplasma RNA level was 4.8 log copies per milliliter. Base-lineantiretroviral-susceptibility testing was performed before treatmentbegan, a median of 71 days after the estimated date of HIV infection(interquartile range, 35 to 140 days). A total of 202 subjectsbegan receiving a potent antiretroviral regimen a median of97 days after the estimated date of HIV infection and had adequatefollow-up data for analysis.
Phenotypic Analysis of Drug Susceptibility
Since the drug-susceptibility thresholds associated with reducedresponses to treatment are not clearly defined for all drugs,three different thresholds of susceptibility were evaluatedin the analysis of the prevalence of drug resistance (Figure 1A).The proportion of subjects with an IC50 more than 2.5 timesthat for the drug-susceptible reference virus did not changesignificantly during the study period (P=0.65). In contrast,the proportion of subjects with an IC50 more than 5 times thatfor the reference virus or more than 10 times that for the referencevirus increased, primarily between 1998 and 1999. An IC50 ratioof 10 was used as the resistance threshold for subsequent analysesto provide a conservative estimate of the prevalence of clinicallyrelevant drug resistance (i.e., high-level drug resistance).
Figure 1. Changes in the Prevalence of Reduced Drug Susceptibility over Time and According to Drug Class.
The 50 percent inhibitory concentration (IC50) ratio is the ratio of the IC50 for the subject's virus to the IC50 for a drug-sensitive reference virus. Panel A shows the percentages of subjects identified each year with an IC50 ratio of more than 2.5, more than 5, and more than 10 for one or more drugs. Panel B shows the percentages of subjects identified each year with an IC50 ratio of more than 10 for one or more nucleoside reverse-transcriptase inhibitors (NRTIs), nonnucleoside reverse-transcriptase inhibitors (NNRTIs), or protease inhibitors (PIs). The MantelHaenszel chi-square test was used to evaluate the probability that observed changes were significant during the period of study.
Six percent of the subjects (23 of 377) were infected by a viruswith an IC50 ratio of more than 10 for one or more drugs. Withineach class of antiretroviral drugs, the proportion of subjectswith an IC50 ratio of more than 10 (Figure 1B and Table 2) increasedsignificantly for both protease inhibitors (P<0.001) andnonnucleoside reverse-transcriptase inhibitors (P=0.03) andshowed a trend toward an increase for nucleoside reverse-transcriptaseinhibitors (P=0.07). When the patients were divided into twogroups according to the date of diagnosis (the earlier or laterera of potent antiretroviral therapy), the prevalence of transmittedhigh-level drug resistance was shown to have increased significantlyfrom the 19951998 period to the 19992000 period.The percentage of subjects with an IC50 ratio of more than 10for one or more antiretroviral drugs increased from 3.4 percentduring the earlier period to 12.4 percent during the later period(P=0.002). The prevalence of multidrug resistance also increasedfrom the earlier period to the later period, from 1.1 percentto 6.2 percent (P=0.01).
Table 2. Temporal Changes in the Prevalence of Drug Resistance at Base Line.
Among subjects with multidrug resistance, none identified before1999 had an IC50 ratio of more than 10 for one or more drugsin all three antiretroviral classes, whereas 75 percent of subjectswith multidrug resistance identified in 1999 or 2000 had high-levelresistance to all three classes (data not shown). A total of74 subjects (20 percent) were identified who had an IC50 ratiobetween 2.5 and 10 for one or more drugs, possibly indicatingtransmitted drug resistance, but they were not classified ashaving transmitted drug resistance on the basis of our moststringent criterion of an IC50 ratio of more than 10 (Table 3).
Table 3. Specific Changes Associated with Drug Resistance at Base Line.
Genotypic Analysis of Drug Resistance
The percentage of subjects with one or more major drug-resistancemutations was 12 percent (37 of 301) and increased from 8.0percent during the period from 1995 to 1998 to 22.7 percentduring the period from 1999 to 2000 (P<0.001) (Table 2).According to the genotypic analysis, the prevalence of resistanceto multiple classes of drugs increased from 3.8 percent (in1995 to 1998) to 10.2 percent (in 1999 to 2000; P=0.05). Resistancemutations at codons 118, 184, 215, and 103 of the reverse-transcriptasegene and codons 82 and 90 of the protease gene were the mostprevalent, each occurring in 2 percent or more of the studysubjects (Table 3).
Geographic variability of transmitted resistance was evaluatedaccording to region: East (Baltimore, Birmingham, Montreal,and New York), Midwest (Dallas and Denver), and West (Los Angeles,San Diego, Seattle, and Vancouver). After adjustment for region,a test for the prevalence of resistance still showed a significantincrease in the percentage of subjects with an IC50 ratio ofmore than 10 for one or more drugs (P=0.03) or with drug-resistancemutations (P=0.001). Two of 301 viral isolates (1 percent) wereHIV subtype C; the remainder of isolates were subtype B, suggestingthat the majority of infections were acquired in North America.
Response to Treatment
Seventy-four percent of the subjects who received treatmentreceived a regimen containing a protease inhibitor, 20 percenta regimen containing a nonnucleoside reverse-transcriptase inhibitor,and 6 percent a regimen containing both a protease inhibitorand a nonnucleoside reverse-transcriptase inhibitor. The timeto viral suppression was significantly shorter among subjectswith fully susceptible virus at base line than among those withan IC50 ratio of more than 10 for one or more drugs (P=0.05)(Figure 2A) or with a major drug-resistance mutation at baseline (P=0.03, data not shown). Although viral suppression wasdemonstrated by week 24 of therapy in all but one patient withadequate follow-up data, the median time to suppression was56 days for those with susceptible virus (an IC50 ratio of lessthan 2.5), 55 days for those with an IC50 ratio between 2.5and 10, and 88 days for those with an IC50 ratio of more than10. No significant differences were seen among these three groupsin the mean base-line plasma HIV RNA level 4.78, 4.76,and 4.64 log copies per milliliter, respectively. Among subjectswho had a relapse of viremia while receiving treatment afterviral suppression had been attained, the time to virologic failurewas significantly shorter among those with an IC50 ratio ofmore than 10 than among those with completely drug-susceptiblevirus at base line (P=0.05) (Figure 2B).
Figure 2. Kaplan-Meier Estimates of the Time to Viral Suppression and Subsequent Virologic Failure Relative to Base-Line Drug Susceptibility.
The time from the initiation of antiretroviral therapy to viral suppression was shorter for subjects with drug-susceptible viral isolates at base line (a value <2.5 for the ratio of the 50 percent inhibitory concentration [IC50] for the subject's virus to the IC50 for a reference virus) than for subjects with an IC50 ratio of more than 10 for one or more antiretroviral drugs (P=0.05) (Panel A). Among patients in whom viral suppression was achieved by therapy (HIV RNA, <500 copies per milliliter), the time from the initial achievement of suppression to the first virologic failure was shorter among subjects with an IC50 more than 10 times that of the reference virus at base line than among those with drug-susceptible virus (IC50 ratio, <2.5; P=0.05) (Panel B). Subjects' data were censored (tick marks) if the plasma RNA was measured at intervals of more than 6 weeks or if potent treatment was interrupted for any reason for more than 14 days.
Since subjects were treated before data on resistance becameavailable, it is difficult to assess whether the response ratesare related to the acquisition of resistant virus or to poorselection of drugs. To assess these relations further, we determinedthe number of active drugs in each treatment regimen; activedrugs were defined as those of which the IC50 for the subject'svirus was no more than 10 times that for the reference virus.According to a comparison between subjects receiving two orfewer active drugs and those receiving three or more activedrugs, the number of active drugs in the treatment regimen didnot significantly affect the time to viral suppression (P=0.17,data not shown).
When we defined drug resistance by the conservative thresholdof 10 for the ratio of the IC50 for the subject's virus to theIC50 for a reference virus, we found that the prevalence oftransmitted drug resistance increased from 3.4 percent in theperiod from 1995 to 1998 to 12.4 percent in the period from1999 to 2000 (P=0.002). Precise criteria for resistance, definedas a value predictive of an impaired response to treatment,have not been defined or standardized for most drugs. Therefore,we used a variety of criteria to ensure that the observed increasesin rates of transmission of resistant virus were not an artifactof a single definition of resistance. When the thresholds ofdrug susceptibility are defined more rigorously, the estimatesof the transmission of drug resistance derived from these datawill probably be higher than our current estimates. The mostnotable increase in the prevalence of drug resistance occurredbetween 1998 and 1999, perhaps as a result of more widespreadaccess to potent combination therapies during the precedingmonths.
Only mutations that confer resistance and are not natural polymorphismscan be used as evidence of a transmitted drug-resistant variant.38In this study, the prevalence of mutations associated with resistanceincreased from 8.0 to 22.7 percent (P<0.001). Since manyindividual resistance mutations will not be associated withclinically significant drug resistance, these numbers may overestimatethe true prevalence of the transmission of drug-resistant virus.Estimates of drug resistance based on genotypic testing differin magnitude from those based on phenotypic testing, but bothestimates indicate a significant increase in the prevalenceof transmitted drug resistance.
Although the prevalence of detected resistance should diminishas the time from transmission to resistance testing increases,we observed no differences in the proportion of subjects identifiedwith drug-resistant HIV according to the time elapsed from theestimated date of HIV infection (data not shown). Even if itis no longer detectable, the transmitted drug-resistant variantpersists in the reservoir of latently infected CD4+ memory Tcells47,48 and may rapidly reemerge under the selective pressureprovided by antiretroviral treatment. Thus, identification ofpatients early after the acquisition of HIV infection may facilitatethe identification of transmitted drug resistance and improvethe selection of more effective first-line treatment regimens.
The increasing rates of transmission of drug-resistant virusobserved in this study, coupled with the poorer response totreatment in patients with drug-resistant virus, suggest thatresistance tests should be recommended routinely for patientswith new infection. In subjects with primary HIV infection whohad acquired drug-resistant virus, plasma HIV RNA was not suppressedas readily by potent antiretroviral therapy. The slower responseto treatment and the more limited viral suppression permit additionalrounds of viral replication in the presence of antiretroviraldrugs, which may, in turn, facilitate the selection of variantswith greater drug resistance.
The prevalence of transmitted drug-resistant virus, especiallymultidrug-resistant HIV, has important implications for theuse and management of antiretroviral drugs among patients withHIV infection. The existence of fewer options for initial treatmentand suboptimal responses to treatment among recently infectedpatients may seriously limit the expected reduction in the rateof disease progression and increase secondary transmission ofdrug-resistant variants.49 With one in five patients infectedwith virus bearing a major drug-resistant mutation, guidelinesfor empirical treatment can no longer be relied on for recentlyinfected patients. In both the developed and developing worlds,the treatment strategies for patients newly infected with HIVshould take into account the prevalence of transmitted drugresistance.
Supported by grants (PH97-SD-201 and PH97-CS-202) from the UniversitywideAIDS Research Program, University of California; a grant (AI36214) from the University of CaliforniaSan Diego Centerfor AIDS Research; grants (AI 27670, AI 29164, AI 38858, AI43638, AI 43271-01, AI 41532, AI 41535, AI 467376-03, AI 47033,and AI 41536) from the National Institutes of Health; the ResearchCenter for AIDS and HIV Infection of the San Diego VeteransAffairs Healthcare System; grants (M01-RR00425, M01-RR00102,and M01-RR0002) from the General Clinical Research Center, NationalCenter for Research Resources; the Medical Research Councilof Canada; and a grant (969971.42) from Fonds de Recherche enSanté du Québec. Dr. Routy is a scientific scholarreceiving support from Fonds de Recherche en Santé duQuébec.
We are indebted to Diane V. Havlir and Andrew Leigh Brown forthoughtful comments and helpful discussions; to Lizhi Xie, andAnthony Mwatha for their help with data analysis; to Mark Wainberg,Rafick Sekaly, Philip Keiser, Joseph Margolick, Keith Dawson,Michael Saag, and Lawrence Corey for their support and collaboration;and to the following clinicians, care providers, and laboratoryand technical staff members who participated in the care ofstudy participants and the conduct of the study: A. Lindsay,J. Gallant, B. Sabundayo, H. Bazmi (Baltimore); K. Upton (Birmingham,Ala.); F. Judson, J. Douglas, Jr., K. Miller (Denver); D. Rouleau,P. Coté, R. LeBlanc, R. Thomas, R. Lalonde, C. Tsoukas,B. Lapointe, J. Bruneau, M. Alary, M. Legault (Montreal); D.Boden, V. Simon (New York); J. Santangelo, P. Potter (San Diego,Calif.); T. Shea, C. Stevens, J. Maenza (Seattle); J. Pitt (LosAngeles); and J. Prasad (Vancouver, Canada).
Source Information
From the Departments of Medicine (S.J.L., D.D.R.) and Pathology (D.D.R.), University of CaliforniaSan Diego, San Diego; the Statistical Center for HIV/AIDS Research and Prevention at the Fred Hutchinson Cancer Research Center (S.H., L.W.) and the Department of Medicine (A.C.C.), University of Washington, Seattle; the Department of Medicine, McGill University Health Center, Montreal (J.-P.R.); the Department of Medicine, HarborUCLA Medical Center, Torrance, Calif. (E.S.D.); the Aaron Diamond AIDS Research Center, New York (M.M.); the Vaccine Research Center, National Institutes of Health, Bethesda, Md. (R.A.K.); the Department of Medicine, University of Pittsburgh School of Medicine, Pittsburgh (J.W.M.); the Department of Medicine, University of Colorado Health Sciences Center, Denver (E.C.); the Department of Pharmacology and Medical Therapeutics, University of British Columbia, Vancouver (B.C.); the Department of Medicine, University of Alabama, Birmingham (M.K.); ViroLogic, South San Francisco, Calif. (J.M.W., N.S.H.); and the Department of Veterans Affairs San Diego Healthcare System, San Diego, Calif. (D.D.R.).
Address reprint requests to Dr. Little at the UCSD Antiviral Research Center, 150 W. Washington St., Ste. 100, San Diego, CA 92103, or at slittle{at}ucsd.edu.
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