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Proc. Natl. Acad. Sci. USA Vol. 91, pp. 12644-12648, December 1994 Developmental Biology Homeotic transformation of cervical vertebrae in Hoxa4 mutant mice (pattern formation/skeleton) GERALD S. B. HORAN*, KE WUt, DEBRA J. WOLGEMUTHt, AND RICHARD R. BEHRINGER* *Department of Molecular Genetics, The University of Texas M. D. Anderson Cancer Center, 1515 Holcombe Boulevard, Houston, TX 77030; tDepartment of Genetics and Development, The Center for Reproductive Sciences, and Department of Obstetrics and Gynecology, Columbia University College of Physicians and Surgeons, 630 West 168th Street, New York, NY 10032 Communicated by R. L. Brinster, September 9, 1994 (received for review August 25, 1994) ABSTRACT Hoxa-4 (previously known as Hox-1.4) is a mouse homeobox-containing gene that is expressed in the presumptive hindbrain and spinal cord, prevertebrae, and other tissues during embryogenesis. To understand the role of Hoxa-4 during development, we generated Hoxa-4 mutant mice. Homozygous mutants were viable and fertile. Analysis of neonatal skeletons revealed the development of ribs on the seventh cervical vertebra at variable penetrance and expres- sivity. A low frequency of alterations in sternal morphogenesis was also observed. In addition, we analyzed the skeletons of transgenic mice that overexpress Hoxa-4 and found that the formation of the small rib anlagen that often develop on the seventh cervical vertebra was suppressed. Analysis of adult homozyogus mutant skeletons revealed that the dorsal process normally associated with the second cervical vertebra was also found on the third cervical vertebra. These results demonstrate that Hoxa-4 plays a role in conferring positional information along the anteroposterior axis to specify the identity of the third and the seventh cervical vertebrae. The cells of a developing embryo must have positional information to form secondary structures at the proper lo- cations along the embryonic axes. A group of genes involved in this process was originally identified in Drosophila, be- cause mutations at these loci resulted in homeotic transfor- mations (respecification of segments) along the anteroposte- rior axis (1). These homeotic genes map to two clusters in the Drosophila genome, the Antennapedia complex and the bithorax complex. The relative positions of genes within these clusters correlate with their functional domains along the axis: the 5'-most gene is required for the most posterior structures, and genes located toward the 3' end of the cluster affect progressively more anterior domains (2, 3). In addition, these genes share a DNA sequence known as the homeobox that encodes the DNA-binding homeodomain, which is struc- turally similar to the helix-turn-helix motif of prokaryotic transcriptional repressors (4). Because the homeotic genes encode transcription factors, it is thought that they regulate specific sets of downstream genes, in a cascade leading to the morphogenesis of a given segment (1). Cross-hybridization with Drosophila homeobox sequences facilitated the cloning and identification of similar gene clusters in the mouse. There are 38 murine Hox genes localized in four clusters on four different chromosomes (5). Many of these genes can be divided into paralogous subfam- ilies, each containing up to four members encoding homeo- domains that are more similar to each other and to those encoded by their Drosophila homologues than to the homeo- domains encoded by the other mouse Hox genes. The Hox genes are usually expressed in the mesoderm of late- gastrulation-stage embryos and, subsequently, in the central nervous system. A discrete anterior limit of expression can be seen in the central nervous system and in the prevertebrae (6). In situ hybridization studies show that Hoxa4 has an anterior limit of expression in the hindbrain at the rhom- bomere 6/7 boundary (7). In prevertebrae at 12.5 days of gestation (E12.5), the anterior limit of Hoxa4 expression is at the second cervical vertebra (C2), although transcripts are detected weakly in C2 and more strongly in C3 through C7. Expression is also detected in the mesodermal components of other organs, including lung, kidney, and portions of the gut. In the adult, Hoxa4 expression is restricted to meiotic and postmeiotic male germ cells (8, 9). Loss-of-function studies using homologous recombination in embryonic stem (ES) cells have begun to reveal the specific functions of individual Hox genes in vivo, including neural crest specification, limb development, and patterning of the axial skeleton (10). Therefore, to understand the function of Hoxa4 during development, we mutated the Hoxa4 locus in ES cells and used the mutated ES cells to generate Hoxa4 mutant mice. Hoxa4 homozygous mutant mice are viable and fertile but display homeotic transformations of cervical vertebrae; C3 is partially transformed to have characteristics of the C2 and C7 adopts the identity of a thoracic vertebra (T). In light of this finding, we examined the skeletons of mice overexpressing Hoxa-4 and found that the formation of rib anlagen at C7 was suppressed. Our results suggest that Hoxa4 functions to specify the identity of C3 and C7, and its action in determining the identity of C7 is dependent on the level of Hoxa-4 expression. We also compare these results with the mutant phenotypes of one of its paralogs, Hoxb-4. MATERIALS AND METHODS Disruption of the Hoxa-4 Locus in Mouse ES Cells. A gene-targeting vector was generated from a A phage DNA clone containing the Hoxa-4 gene previously isolated from a C57BL/6J (B6) mouse genomic library (Fig. 1). The vector contains 6.0 kb of sequence homology with genomic DNA and extends from a 5' Kpn I site to an EcoRI site that lies 3' of the homeodomain. A PGKneobpA cassette was inserted in reverse orientation relative to the direction of Hoxa-4 tran- scription into the EcoRI site located in helix 1 of the homeo- domain (11). An MCltkpA cassette was also added to enrich for homologous recombinants by using negative selection with 1-(2-deoxy-2-fluoro-,-D-arabinofuranosyl)-5 iodouracil (FIAU) (12). Ten micrograms of linearized vector was elec- troporated into 107 AB-1 ES cells (originally derived from a Black Agouti 129 mouse embryo) and cultured on a mono- layer of SNL 76/7 STO cells in the presence of G418 and FIAU (11, 13). A total of 140 G418/FIAU-resistant ES clones Abbreviations: B6, C57BL/6J; Cn, cervical vertebra n; En, gesta- tional day n; ES, embryonic stem; Tn, thoracic vertebra n. 12644 The publication costs of this article were defrayed in part by page charge payment. 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Proc. Natl. Acad. Sci. USAVol. 91, pp. 12644-12648, December 1994Developmental Biology

Homeotic transformation of cervical vertebrae in Hoxa4mutant mice

(pattern formation/skeleton)

GERALD S. B. HORAN*, KE WUt, DEBRA J. WOLGEMUTHt, AND RICHARD R. BEHRINGER**Department of Molecular Genetics, The University of Texas M. D. Anderson Cancer Center, 1515 Holcombe Boulevard, Houston, TX 77030; tDepartment ofGenetics and Development, The Center for Reproductive Sciences, and Department of Obstetrics and Gynecology, Columbia University College of Physiciansand Surgeons, 630 West 168th Street, New York, NY 10032

Communicated by R. L. Brinster, September 9, 1994 (received for review August 25, 1994)

ABSTRACT Hoxa-4 (previously known as Hox-1.4) is amouse homeobox-containing gene that is expressed in thepresumptive hindbrain and spinal cord, prevertebrae, andother tissues during embryogenesis. To understand the role ofHoxa-4 during development, we generated Hoxa-4 mutantmice. Homozygous mutants were viable and fertile. Analysis ofneonatal skeletons revealed the development of ribs on theseventh cervical vertebra at variable penetrance and expres-sivity. A low frequency of alterations in sternal morphogenesiswas also observed. In addition, we analyzed the skeletons oftransgenic mice that overexpress Hoxa-4 and found that theformation of the small rib anlagen that often develop on theseventh cervical vertebra was suppressed. Analysis of adulthomozyogus mutant skeletons revealed that the dorsal processnormally associated with the second cervical vertebra was alsofound on the third cervical vertebra. These results demonstratethat Hoxa-4 plays a role in conferring positional informationalong the anteroposterior axis to specify the identity of the thirdand the seventh cervical vertebrae.

The cells of a developing embryo must have positionalinformation to form secondary structures at the proper lo-cations along the embryonic axes. A group ofgenes involvedin this process was originally identified in Drosophila, be-cause mutations at these loci resulted in homeotic transfor-mations (respecification of segments) along the anteroposte-rior axis (1). These homeotic genes map to two clusters in theDrosophila genome, the Antennapedia complex and thebithorax complex. The relative positions of genes withinthese clusters correlate with their functional domains alongthe axis: the 5'-most gene is required for the most posteriorstructures, and genes located toward the 3' end of the clusteraffect progressively more anterior domains (2, 3). In addition,these genes share a DNA sequence known as the homeoboxthat encodes the DNA-binding homeodomain, which is struc-turally similar to the helix-turn-helix motif of prokaryotictranscriptional repressors (4). Because the homeotic genesencode transcription factors, it is thought that they regulatespecific sets of downstream genes, in a cascade leading to themorphogenesis of a given segment (1).

Cross-hybridization with Drosophila homeobox sequencesfacilitated the cloning and identification of similar geneclusters in the mouse. There are 38 murine Hox geneslocalized in four clusters on four different chromosomes (5).Many of these genes can be divided into paralogous subfam-ilies, each containing up to four members encoding homeo-domains that are more similar to each other and to thoseencoded by their Drosophila homologues than to the homeo-domains encoded by the other mouse Hox genes. The Hoxgenes are usually expressed in the mesoderm of late-

gastrulation-stage embryos and, subsequently, in the centralnervous system. A discrete anterior limit of expression canbe seen in the central nervous system and in the prevertebrae(6). In situ hybridization studies show that Hoxa4 has ananterior limit of expression in the hindbrain at the rhom-bomere 6/7 boundary (7). In prevertebrae at 12.5 days ofgestation (E12.5), the anterior limit of Hoxa4 expression isat the second cervical vertebra (C2), although transcripts aredetected weakly in C2 and more strongly in C3 through C7.Expression is also detected in the mesodermal components ofother organs, including lung, kidney, and portions of the gut.In the adult, Hoxa4 expression is restricted to meiotic andpostmeiotic male germ cells (8, 9).

Loss-of-function studies using homologous recombinationin embryonic stem (ES) cells have begun to reveal the specificfunctions of individual Hox genes in vivo, including neuralcrest specification, limb development, and patterning of theaxial skeleton (10). Therefore, to understand the function ofHoxa4 during development, we mutated the Hoxa4 locus inES cells and used the mutated ES cells to generate Hoxa4mutant mice. Hoxa4 homozygous mutant mice are viableand fertile but display homeotic transformations of cervicalvertebrae; C3 is partially transformed to have characteristicsofthe C2 and C7 adopts the identity ofa thoracic vertebra (T).In light of this finding, we examined the skeletons of miceoverexpressing Hoxa-4 and found that the formation of ribanlagen at C7 was suppressed. Our results suggest thatHoxa4 functions to specify the identity of C3 and C7, and itsaction in determining the identity of C7 is dependent on thelevel of Hoxa-4 expression. We also compare these resultswith the mutant phenotypes of one of its paralogs, Hoxb-4.

MATERIALS AND METHODSDisruption of the Hoxa-4 Locus in Mouse ES Cells. A

gene-targeting vector was generated from a A phage DNAclone containing the Hoxa-4 gene previously isolated from aC57BL/6J (B6) mouse genomic library (Fig. 1). The vectorcontains 6.0 kb of sequence homology with genomic DNAand extends from a 5' Kpn I site to an EcoRI site that lies 3'of the homeodomain. A PGKneobpA cassette was inserted inreverse orientation relative to the direction of Hoxa-4 tran-scription into the EcoRI site located in helix 1 of the homeo-domain (11). An MCltkpA cassette was also added to enrichfor homologous recombinants by using negative selectionwith 1-(2-deoxy-2-fluoro-,-D-arabinofuranosyl)-5 iodouracil(FIAU) (12). Ten micrograms of linearized vector was elec-troporated into 107 AB-1 ES cells (originally derived from aBlack Agouti 129 mouse embryo) and cultured on a mono-layer of SNL 76/7 STO cells in the presence of G418 andFIAU (11, 13). A total of 140 G418/FIAU-resistant ES clones

Abbreviations: B6, C57BL/6J; Cn, cervical vertebra n; En, gesta-tional day n; ES, embryonic stem; Tn, thoracic vertebra n.

12644

The publication costs of this article were defrayed in part by page chargepayment. This article must therefore be hereby marked "advertisement"in accordance with 18 U.S.C. §1734 solely to indicate this fact.

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were screened by Southern analysis by hybridizing EcoRIdigested genomic DNA with a unique 5' probe that liesexternal to the vector homology. Correctly targeted cellclones were then expanded and reanalyzed by hybridizingEcoRV digested DNA with a 3' probe external to the vectorhomology.Germ-Line Transmission of the Hoxa-4 Mutant Allele. The

Hoxa4 mutant ES clones were microinjected into B6 blas-tocysts to generate chimeras that were subsequently bredwith B6 mates (14). Tail DNA samples from the agouti pupsthat resulted from those matings were analyzed by Southernblotting with the 5' or 3' probes to identify individuals thatwere heterozygous for the Hoxa-4 mutation. The chimeraswere also bred with 129/SvEv mates to produce an inbredmouse strain carrying the Hoxa4 mutation.Northern Blot Analysis. Total RNA was isolated by lithium

chloride precipitation (15). TotalRNA (25 ,ug per sample) wasanalyzed by Northern blotting as described (16). The integrityof the RNA on the blots was confirmed by the appearance ofthe 18S and 28S rRNA bands after ethidium bromide staining.Two Hoxa-4 probes were used for the analysis. One probe islocated 5' of the neo insertion and contains -300 bp ofHoxa4 cDNA sequence between the Nru I and EcoRl sites.The other probe is an -680-bp Xba 1-HindIII fragment thatis located 3' of the neo insertion and that contains 3' un-translated sequence (17).

Skeleton Preparations. Skeletons were prepared by alkalinedigestion and stained with alizarin red S for ossified bone andalcian blue 8GX for cartilage (18).Hoxa-4 Overexpressing Transgenic Mice. The transgenic

mouse strain Tg(Hox-1.4)69Bri carries multiple copies of amouse Hoxa-4 transgene (17). This mouse line was initiallygenerated in a B6 x SJL hybrid genetic background. It hassubsequently been maintained by crosses with outbred Swissmice for four generations and for subsequent generationswith B6 x DBA/2 F1 hybrids. The genotype of mice carryingthe transgene was determined with a simian virus 40 probethat is specific for the transgene.

RESULTSHoxa-4 Mutant Mice Are Viable and Fertile. To disrupt the

Hoxa-4 gene in mouse ES cells, we generated a vector thatcontains a neomycin resistance (neo) expression cassetteinserted into the EcoRI site in the first helix of the Hoxa-4homeodomain (Fig. 1). Correctly targeted clones can bedetected by the presence of an additional 7.8-kb band on aSouthern blot of genomic DNA digested with EcoRI andhybridized with a 5' EcoRI-Kpn I fragment (1.1 kb) or by thepresence of a 4.8-kb band when genomic DNA is digestedwith EcoRV and hybridized with a 3' EcoRI fragment (0.5kb). Correct targeting of the Hoxa-4 locus results in the

RI K

xRV RI RII~2 RI RV

x

disruption of the homeobox by the neo cassette. Thus, thereshould be no Hoxa4 transcripts with a continuous codingregion, and, at most, a truncated protein lacking DNA-binding activity could be produced. Three correctly targetedES clones were identified, and two of these clones, 1D3 and2D4, were found to successfully contribute to the germ lineof chimeric mice (Fig. 2).Male and female Hoxa-4 heterozygotes appeared normal

and were fertile. These heterozygotes were subsequentlyinterbred to generate mice homozygous for the Hoxa4mutation. The genotypes of the offspring from these hetero-zygous crosses (Fig. 2) followed predicted Mendelian fre-quencies, and the homozygous mutants were externallyindistinguishable from their wild-type littermates. All maleand female homozygous mutants were fertile.Northern Analysis of Hoxa-4 Mutant Embryos. To deter-

mine whether the mutation in the Hoxa-4 gene disrupted thetranscription of wild-type Hoxa-4, RNA isolated from E12.5wild-type, heterozygous, and homozygous mutant embryoswas analyzed by Northern blotting. The blots were hybrid-ized either with a probe containing a portion of the 3'-untranslated region of the Hoxa-4 gene located 3' of the neoinsertion or with a cDNA probe containing portions of exon1 and exon 2 that are 5' of the neo insertion (Fig. 3). Both ofthe Hoxa-4 probes detected the 1.7-kb embryonic transcriptin the wild-type and heterozygous embryos but not in thehomozygous mutant embryos. The intensity of the hybrid-ization signal in the heterozygotes was approximately one-half that of the wild-type embryos. Although there were faintbands at -3.1 and 4.0 kb detected in all samples, it is clearthat the major embryonic wild-type transcript has beenabolished by the targeted mutation.Homeotic Transformations of Cervical Vertebrae in Hoxa-4

Mutant Mice. Histological analysis of various organs includ-ing liver, lung, kidney, small intestine, colon, brain, testis,epididymis, stomach, ovary, thymus, and spleen from adulthomozygous mutants revealed no obvious differences incomparison to wild-type controls. Since targeted mutationsin several Hox genes resulted in homeotic transformation ofskeletal segments (10), we looked for similar changes in theHoxa-4 mutants from matings between Fl heterozygotes. Asignificant number of skeletons from newborns had an ex-tensive ossified rib on C7 (Fig. 4). Since small ossified ribanlagen at C7 are common in some strains of mice andextensive ribs have been reported in 1 of 48 wild-type miceof a hybrid strain (19), we quantitated the cervical-rib effectby scoring each skeleton for the presence or absence of a ribanlage and for the presence of an extensive rib (one with a

1 2 3

_0_ -7.8 kb_ _ -6.1 kb

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5 probe

1 2 3.Jl

*_ - 6.9 kb

- 4.8 kb

3' probe

@3 [ H } ~~~~~~~~~~~~~1 kbI RI

RI K RV RI RV

5' Probe 3' Probe

FIG. 1. Strategy to mutate the Hoxa-4 gene in ES cells. Top line,Hoxa-4 locus; middle line, targeting vector; bottom line, recombi-nant allele. neo, PGKneobpA; tk, MCltkpA; Rl, EcoRI; RV,EcoRV; K, Kpn I. The Hoxa-4 homology in the vector, includingexons 1 and 2 (open boxes), is indicated by the heavy line. Thehomeobox is indicated as a filled box in exon 2.

.\x\ x\ x\

wt (6.9 kb)W ~- -Mutant (4.8 kb)

FIG. 2. Southern blot analysis of targeted Hoxa-4 alleles in EScells and mice. Upper panels, ES cell lines. Lane 1, 1D3; lane 2, 2D4;lane 3, wild type. The expected diagnostic EcoRI fragments hybrid-izing with the 5' probe are 6.1 kb (wild type) and 7.8 kb (mutant), andthe EcoRV fragments hybridizing with the 3' probe are 6.9 kb (wildtype) and 4.8 kb (mutant). Lower panel, progeny of a heterozygotecross. +/+, Wild type; +/-, heterozygote; -/-, homozygousmutant.

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+1+ +1- _1- +/+ +/- _/,...........

::

...................... ... X *X

* w I .....,....... i WS

... ........

- 28S -

_*'.._ :::

- 18S -

5' probe 3' probe

FIG. 3. Northern blot of total RNA isolated from E12.5 wild-type, heterozygous, and homozygous mutant embryos. Filters werehybridized with Hoxa-4 probes located 5' or 3' of the neo insertion.+/+, Wild-type; +/-, heterozygote; -/-, homozygous mutant.The position of 28S and 18S ribosomal RNA bands is indicated.

length approximately 2 or more times its width). These scoreswere then compared with genotype. An extensive rib wasobserved in 22 of 46 (48%) homozygous mutants and in 1 of41 (2.4%) wild-type pups of the 2D4 line. Nine (20%) of theextensive ribs in the homozygous mutants were long enoughto fuse to the costal cartilage ofthe first thoracic (Ti) rib (Fig.4B), but none fused directly to the sternum. Eleven (24%) ofthe extensive ribs were bilateral. Interestingly, 20 of 109heterozygotes (19%) also had extensive ribs, including twothat were fused to the ribs at Ti. Extensive cervical ribs thatfused to the ribs at Ti were never observed in wild-type mice.To determine if the penetrance of the cervical rib phenotypeis higher in an inbred background, we analyzed 47 neonatalskeletons from heterozygote crosses of inbred 129 mice.While some of the mutants had rib anlagen slightly longerthan their widths, there were no extensive ribs in theseskeletons. Thus, the expressivity of the Hoxa-4 cervical ribphenotype decreased in strain 129 mice.

It was surprising that the more anterior cervical vertebraeof neonatal Hoxa-4 mutants were not affected, since theanterior limit of Hoxa-4 expression is at the level of C2.Therefore, we also examined the cervical region of skeletonsfrom adults (animals greater than 8 months of age). Inwild-type skeletons, a skeletal element known as the proces-sus spinosus is found on C2 but not on C3 (20). This dorsalprocess is a fin-shaped axial ossification that projects dor-socaudally. In five of seven (71%) Hoxa-4 homozygousmutants, a dorsal process was also found on C3 (Fig. 5). Thesix heterozygotes that were examined did not possess theectopic dorsal process on C3.

Sternal Malformations in Hoxa-4 Mutant Mice. In neonatalskeletons from the products of matings of F2 homozygousmutants to either F1 heterozygotes or F2 homozygous mu-tants, 7 of 21 (33%) Hoxa-4 homozygous mutants had sternal

FIG. 5. Homeotic transformation of C3 in Hoxa-4 homozygousmutant mice. Dorsolateral view of cervical region of adult skeletons.(A) Heterozygote. (B) Homozygous mutant. C2 and C3 are num-bered. The arrow points to the dorsocaudally projecting ectopicdorsal process on C3 in the homozygous mutant skeleton.

abnormalities, most commonly one or two fused sternebrae.In two mutant homozygotes (10o), the malformation wasmore severe: there was asymmetric ossification ofthe sterne-brae (Fig. 6), similar to that seen in Hoxa-S and Hoxd-3mutants (21, 22). Presumably, in the mutants, the offset inattachment points ofthe costal cartilages on opposite sides ofthe sternal bars results in the direct apposition of ossified andnonossified segments. In one of these mutants (Fig. 6), thecostal cartilage of one of the Ti ribs is bifurcated. On the leftside, the two processes from the bifurcation attach to thesternum at different sites, one at the normal attachment sitefor Ti and one at the normal attachment site for T2.

Suppression of Cervical Rib Anlagen in Transgenic MiceThat Overexpress Hoxa-4. We previously generated lines oftransgenic mice that overexpress Hoxa4 in the tissues inwhich Hoxa4 is normally expressed (17). Although expres-sion ofthe transgene is highest in the developing gut, it is alsoexpressed at levels comparable to the endogenous levels ofHoxa4 in the prevertebrae. The combined expression fromboth the transgene and the endogenous loci results in over-expression of Hoxa-4 within its normal domain. Since theloss of Hoxa4 transcripts in Hoxa-4 mutant mice correlateswith more extensive cervical ribs, we asked whether over-

+/+1

I:.

FIG. 4. Homeotic transformation of C7 in Hoxa-4 homozygousmutant mice. Lateral views of the cervical region of skeletons froma newborn control (A) and a Hoxa-4 homozygous mutant (B). Thearrow points to the ossified rib emanating from C7 and fusing with thecostal cartilage of the first thoracic rib. The cervical vertebrae arenumbered 1 through 7.

FIG. 6. Sternum defects in a Hoxa-4 homozygous mutant. Notethe asymmetric pattern of ossification in the sternebrae and the offsetin the opposing sternocostal junctions on either side of the sternum.

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expression of Hoxa-4 transcripts could suppress cervical ribformation. We analyzed the skeletons of neonates frommatings between Hoxa-4 transgenic males and Swiss fe-males. In this genetic background, 22 of 31 (71%) wild-typemice had small rib anlagen at C7, while only 6 of 28 (21%)transgenic mice had them. These results suggest that over-expression of Hoxa-4 suppresses the formation of ribs on C7(P < 0.001, X2 analysis). This is consistent with the inter-pretation that the intermediate phenotype seen in mice het-erozygous for the Hoxa4 mutant allele may be due to loss ofexpression of the wild-type gene from one allele rather thanto a dominant action of the mutant allele, particularly sinceNorthern analysis shows the intensity of the wild-type tran-script from heterozygotes is decreased relative to wild types(Fig. 3).

DISCUSSIONWe generated Hoxa-4 mutant mice to investigate the role ofHoxa4 during development. There is no decrease in viabilityassociated with this Hoxa4 mutation. While the embryonictissues in which Hoxa-4 is expressed are quite diverse, in theadult, expression is restricted to meiotic and postmeioticmale germ cells (9). The highly restricted expression patternin the male gonad suggested that this homeoprotein has afunction during spermatogenesis. Surprisingly, our Hoxa-4mutant mice were fertile. In addition, mice carrying a partialdeletion allele of Hoxa-4 were also found to be fertile (23).These results suggest that Hoxa-4 is not essential for sper-matogenesis. Other Hoxa-4 paralogs may provide redundantor compensatory functions during male germ cell develop-ment. Hoxd-4 is expressed in the somatic cells of the testisbut not in germ cells and is thus an unlikely candidate forredundant function. However, Hoxb-4 is transcribed in sper-matogenic cells, though at much lower levels than Hoxa4(24). It should be noted that Hoxb4 mutant male mice arealso fertile (25). If Hoxa-4/Hoxb-4 double-mutant males areviable, perhaps they will have defects in spermatogenesis.The formation of the C2-type processus spinosus on the C3

of homozygous mutants is indicative of a transformation ofC3 toward a C2 identity. This is a partial anterior transfor-mation, since C3 does not assume other characteristics of C2,specifically the dens and widened neural arches. In Hoxa-4mutants, the presence of extensive ribs at C7 is characteristicof a posterior transformation: a cervical vertebra assumingthe fate of a thoracic vertebra. Intriguingly, mice with mu-tations of the Hoxa-S gene (21) and the Hoxa-6 gene (23),which are located just 5' of Hoxa-4, have a similar phenotype.These mice have a more complete C7 to thoracic transfor-mation that is also more penetrant, although different geneticbackgrounds were analyzed. Nonetheless, this is a clearexample of overlapping phenotypes among three differentHox mutants (Hoxa-4, Hoxa-S, and Hoxa-6), suggesting thepossibility that some phenotypes may be shared between Hoxmutants for genes whose anterior limits of expression areclose. Interestingly, another Hoxa4 mutation that is differ-ent from the one reported here causes a similar phenotype atC3, but posterior transformations of C7 were not mentioned(23). This mutation differs from the one reported here be-cause it deletes the coding region of the recognition helix, 3'to the EcoRI site in which the disruption reported here wasmade. While it is possible that the differences could be dueto different partially functional gene products in the twomutants, it is more likely that the cervical rib phenotype andsternal defects were not reported in the other mutationbecause the low expressivity and penetrance of these phe-notypes, combined with the influence of genetic background,obscured their detection.The posterior prevalence model states that the function of

a given Hox gene manifests in the axial region in which it is

the gene with the most posterior limit of expression (26).Thus, a loss-of-function mutation should result in deficien-cies or transformations of axial regions near the anterior limitof expression. Although Hoxa-4 is expressed in C2, it isexpressed only weakly, and is more strongly expressed in C3through C5. Thus, it is perhaps not surprising for the Hoxa-4mutants to show a transformation at the level of C3. Theincompleteness of the transformation suggests that differentHox genes may be responsible for specifying different aspectsof the same vertebra. Alternatively, in the absence ofHoxa-4other Hox genes may substitute for Hoxa-4 function.The cervical rib phenotype does not strictly conform to the

posterior prevalence model. Perhaps this is because thespecification of the identity of C7 is more susceptible toperturbations in the expression of Hox genes and to otherevents that are involved in rib formation. Indeed, the forma-tion of extensive ribs in three different Hox mutants, inretinoic acid-treated embryos (19), and in a small percentageof wild-type animals suggests that this is a process which iseasily perturbable. In the B6 x 129 F2 genetic background,extensive cervical ribs were significantly more frequent inhomozygous mutants than in heterozygotes, and, in turn,extensive ribs were more frequent in heterozygotes than inwild-type littermates. Thus, the frequency of extensive cer-vical ribs increases as the number of wild-type Hoxa4 allelesdecreases, probably due to a concomitant decrease in wild-type transcripts. In an independent experiment, we com-pared the frequency of small cervical rib anlagen in trans-genic mice overexpressing Hoxa-4 with that of their wild-type littermates. We showed that the frequency of formationof a small cervical rib anlagen in the Hoxa-4 transgenics wassignificantly reduced compared with controls. Thus, overex-pression ofHoxa4 can suppress cervical rib formation, whileloss of wild-type Hoxa-4 transcripts correlates with forma-tion of extensive cervical ribs. It is still possible that theseeffects could be due to altered expression of other Hox genesin these mutants; however, there is still no report of signif-icant changes in the expression of other Hox genes in any Hoxmutant. While it is likely that Hoxa-4 is only one of manygenes involved in specifying the identity of C7, these resultsindicate that levels of Hoxa4 expression can influence theexpressivity and penetrance of the cervical rib phenotype.A significant number of the Hoxa-4 homozygous mutant

mice from matings of F2 homozygotes to either F1 heterozy-gotes or F2 homozygotes had sternal abnormalities reminis-cent of those found in Hoxa-S and Hoxd-3 mutants (21, 22).It was suggested that the low penetrance and variability inexpressivity of this phenotype could be due to the existenceof an alternate pathway (controlled by one or more genes)that is stochastically used to compensate for the mutation.Indeed, the identification of more and more Hox mutantswith sternal abnormalities suggests that a number cf genescould be involved. The expression of Hoxa4 in prevertebraTi through T7 could be responsible for these minor defectsin sternum morphogenesis.

Finally, the Hoxa4 mutation had no obvious effects in anyof the other tissues, not even in the central nervous system,where Hoxa-4 is most strongly expressed. The high percent-age of amino acid identity among the homeodomains encodedby different Hox genes suggests that different Hox proteinsmay bind to the same or similar sites in downstream targetgenes. It has therefore been proposed that other Hox genescan compensate for at least some of the functions of themutated gene. The most obvious candidate genes for func-tional compensation are the Hox paralogs. Like the Hoxa-3and Hoxd-3 mutants (22, 27), which share no commonphenotypes, the Hoxa4 and Hoxb-4 mutants also have nophenotype in common. Hoxb-4 mutants exhibit partial ante-rior transformations of C2, specifically the development of ananterior arch of the atlas and widening of the neural arches

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(25), while Hoxa-4 mutants show partial anterior transfor-mations of C3 and posterior transformations of C7 to athoracic identity. However, the Hoxa-4, Hoxa-S, and Hoxa-6mutants do share a common phenotype. This apparent over-lap in function suggests that there may be shared functionsamong the Hox genes, particularly among genes whoseanterior limits of expression are very close, as is the case withHoxa-4 and Hoxa-S. Now that mutants for the paralogousgenes Hoxa-4 and Hoxb-4 have been generated, it will bepossible through matings to generate double mutants todetermine the degree of functional redundancy among para-logs. Likewise, creation of mice that are mutant for bothHoxa4 and Hoxa-5 or Hoxa-6 should better define the degreeoffunctional redundancy between nonparalogous Hox genes.

We thank Jenny Deng and Chris Marshall for technical assistance,Allan Bradley for the AB-1 ES and SNL 76/7 STO cell lines, RichardPalmiter for the Hoxa-4 genomic clone, and Mark Featherstone forcritically reading the manuscript. This research was supported byNational Institutes of Health Grants HD18122 and HD28374 and agrant from the International Human Frontiers of Science ProgramOrganization (D.J.W.) and by National Institutes of Health GrantHD31568 and the Sid W. Richardson Foundation (R.R.B.).

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