Data from NK Cell Infiltrates and HLA Class I Expression in Primary HER2<sup>+</sup> Breast Cancer Predict and Uncouple Pathological Response and Disease-free Survival

Abstract

<div>AbstractPurpose:<p>We investigated the value of tumor-infiltrating NK (TI-NK) cells and HLA class I tumor expression as biomarkers of response to neoadjuvant anti-HER2 antibody–based treatment in breast cancer.</p>Experimental Design:<p>TI-NK cells and HLA-I were determined by IHC in pretreatment tumor biopsies from two cohorts of patients with HER2-positive breast cancer [discovery cohort (<i>n</i> = 42) and validation cohort (<i>n</i> = 71)]. Tumor-infiltrating lymphocytes (TIL) were scored according to international guidelines. Biomarker association with pathologic complete response (pCR) and disease-free survival (DFS) was adjusted for prognostic factors. Gene set variation analysis was used for determining immune cell populations concomitant to NK-cell enrichment in HER2-positive tumors from the Cancer Genome Atlas (<i>n</i> = 190).</p>Results:<p>TI-NK cells were significantly associated with pCR in the discovery cohort as well as in the validation cohort (<i>P</i> < 0.0001), independently of clinicopathologic factors. A ≥3 TI-NK cells/50x high-power field (HPF) cutoff predicted pCR in the discovery and validation cohort [OR, 188 (11–3154); OR, 19.5 (5.3–71.8)]. Presence of TI-NK cells associated with prolonged DFS in both patient cohorts [HR, 0.07 (0.01–0.6); <i>P</i> = 0.01; HR, 0.3 (0.08–1.3); <i>P</i> = 0.1]. NK-, activated dendritic- and CD8 T-cell gene expression signatures positively correlated in HER2-positive tumors, supporting the value of NK cells as surrogates of effective antitumor immunity. Stratification of patients by tumor HLA-I expression identified patients with low and high relapse risk independently of pCR.</p>Conclusions:<p>This study identifies baseline TI-NK cells as an independent biomarker with great predictive value for pCR to anti-HER2 antibody–based treatment and points to the complementary value of tumor HLA-I status for defining patient prognosis independently of pCR.</p></div>