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  • Vaccine 30 (2012) 4414 4418

    Contents lists available at SciVerse ScienceDirect

    Vaccine

    j ourna l ho me pag e: www.elsev ier .com

    Review

    RNA-based vaccines

    Jeffrey B.Novartis Vaccin

    a r t i c l

    Article history:Received 3 FebReceived in reAccepted 18 AAvailable onlin

    Keywords:Nucleic acid vaViral vector

    Contents

    1. Backg2. Nucleic acid vaccines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4414

    2.1. DNA vaccines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44152.2. Viral vectors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44152.3. RNA vaccines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4415

    3. ProspRefer

    1. Backgro

    The dischave been ggies to idento the immcharacterizbeen spurrevaccines renew paradinology appvaccines towith the safadvancemeacid vaccine

    Corresponbridge, MA 02

    E-mail add

    0264-410X/$ http://dx.doi.oects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4417ences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4417

    und

    overy and development of new and improved vaccinesreatly facilitated by the application of new technolo-tify protective antigens, to optimally present antigensune system, and to manufacture vaccines using highlyed, synthetic methods of production. This progress hasd by a need to move beyond empirical approaches tosearch and development, and has ushered in severalgms including reverse, structural and synthetic vacci-roaches, respectively [1]. The use of nucleic acid-based

    combine the benets of in situ expression of antigens,ety of inactivated and subunit vaccines, has been a keynt. Upon their discovery more than 20 years ago, nucleics promised to be a safe and effective means to mimic

    ding author at: Novartis Vaccines, 350 Massachusetts Ave., Cam-139, United States.ress: [email protected] (J.B. Ulmer).

    immunization with a live organism vaccine, particularly for induc-tion of T cell immunity [2]. In addition, the manufacture of nucleicacid-based vaccines offered the potential to be relatively simple,inexpensive and generic. Since then, clinical trials have amplydemonstrated the safety and tolerability of nucleic acid vaccines[3], and robust manufacturing processes have been developed [4].However, potency in humans has been disappointing, which hasled to extensive activity to identify enabling technologies. The mainareas for improvement have been directed toward the nucleic acidvector, targeting the innate immune system to enhance immuno-genicity, and delivery systems to overcome the barriers to efcienttransfection of host cells in vivo. Signicant progress has been madeon all these fronts. This review paper will focus on the use of analternative nucleic acid vector, namely RNA, as the basis of a newgeneration of vaccines.

    2. Nucleic acid vaccines

    By denition, nucleic acid vaccines are based on DNA or RNAencoding the antigen(s) of interest. In their simplest form, they can

    see front matter 2012 Elsevier Ltd. All rights reserved.rg/10.1016/j.vaccine.2012.04.060 Ulmer , Peter W. Mason, Andrew Geall, Christian W. Mandles, Cambridge, MA 02139, United States

    e i n f o

    ruary 2012vised form 10 April 2012pril 2012e 28 April 2012

    ccine

    a b s t r a c t

    Nucleic acid vaccines consisting of plasmid DNA, viral vectors or RNA may change the way the nextgeneration vaccines are produced, as they have the potential to combine the benets of live-attenuatedvaccines, without the complications often associated with live-attenuated vaccine safety and manufac-turing. Over the past two decades, numerous clinical trials of plasmid DNA and viral vector-based vaccineshave shown them to be safe, well-tolerated and immunogenic. Yet, sufcient potency for general utilityin humans has remained elusive for DNA vaccines and the feasibility of repeated use of viral vectorshas been compromised by anti-vector immunity. RNA vaccines, including those based on mRNA andself-amplifying RNA replicons, have the potential to overcome the limitations of plasmid DNA and viralvectors. Possible drawbacks related to the cost and feasibility of manufacturing RNA vaccines are beingaddressed, increasing the likelihood that RNA-based vaccines will be commercially viable. Proof of con-cept for RNA vaccines has been demonstrated in humans and the prospects for further development intocommercial products are very encouraging.

    2012 Elsevier Ltd. All rights reserved.

    round. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4414/ locate /vacc ine

  • J.B. Ulmer et al. / Vaccine 30 (2012) 4414 4418 4415

    consist of highly puried nucleic acids formulated in a buffer. Mostoften, however, specialized delivery systems are utilized to increasevaccine potency. Means to facilitate nucleic acid delivery involve(1) viral particles to take advantage of the efciency of viral entrymechanismlipids, polymthe use of vas electropoexperiencesvaccines an

    2.1. DNA va

    DNA vacels of infecsuccess at egens, whichpolyproteinbeen furthetion of plasa West Nileetic necrosifor dogs [7]apy for pigsantibody anindicationsthese immuconventionisms, or subfor this shodue, at leasand inadequcome theseand the moDNA delivesystem via immunolog[10]. Combinduction oliminary re

    2.2. Viral ve

    In situ etively achieviruses, engVectors basextensivelyated at earlivectors havclinical trialope proteienvelope pphase III efover DNA vis introducthe viral pfor inductiomagnitude vector vaccare related tor itself. Fifrom wild-tpotential fouated live vof these ve

    issue. Second, because viral vectors contain, and in some casesexpress, viral antigens in addition to the target antigen of inter-est, such vectors are usually quite immunogenic (i.e., elicit immuneresponses against the vectors themselves). Pre-existing anti-vector

    ity (r imility d, hen of ed ushumalogouw effn. Why coml sol

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    of ofhen roduf immt comon ofose ting

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    vitfor reemonn-intes there nto tttle ese ofaccins in raneticultes, ationtoplae expr of pince d fontiges, (2) non-viral formulations of DNA or RNA involvingers, emulsions or other synthetic approaches to avoid

    iral vectors, and (3) physical delivery technologies, suchration in situ. The majority of the preclinical and clinical

    with nucleic acid vaccines so far have been with DNAd DNA-based viral vectors.

    ccines

    cines have been widely evaluated in many animal mod-tious and non-infectious diseases with generally goodliciting potent immune responses against encoded anti-

    have ranged from discrete T or B cell epitopes to large complexes. The utility of DNA vaccines in animals hasr documented by the development and commercializa-mid DNA-based animal health products. These include

    virus vaccine for horses [5], an infectious hematopoi-s virus vaccine for sh [6], a melanoma cancer vaccine, and a growth hormone releasing hormone gene ther-

    [8]. In humans, proof of concept for induction of bothd T cell responses has been demonstrated for various

    in multiple clinical trials. However, the magnitude ofne responses has been lower than those observed foral vaccines consisting of live or inactivated whole organ-unit proteins formulated with adjuvants. The reasonsrtcoming of DNA vaccines are not clear, but are likelyt in part, to inefcient delivery of DNA into human cellsate stimulation of the human immune system. To over-

    limitations, various technologies have been evaluatedst promising current approaches involve facilitation ofry by electroporation [9] and stimulation of the immunethe use of genetic adjuvants (i.e., in situ expression ofically active molecules encoded by the DNA vaccine)inations of these approaches have resulted in potentf immunity in non-human primates [11,12] and pre-sults of human clinical trials are encouraging [3,9].

    ctors

    xpression of antigens in a vaccinated host can be effec-ved through the use of recombinant vectors, often DNAineered to be safe and to encode the gene(s) of interest.ed on adenoviruses and poxviruses have been studied, although several other viral vectors are being evalu-er stages of development. Both adenovirus and poxviruse demonstrated safety and immunogenicity in humanls [13]. Notably, a poxvirus vector encoding HIV enve-n used in a prime-boost regimen with recombinantrotein plus adjuvant elicited modest protection in acacy trial [14]. One clear advantage of viral vectorsaccines is the efciency with which the DNA payloaded into host cells, due to the natural invasiveness ofarticle. Hence, the amount of plasmid DNA requiredn of immune responses is typically many orders ofgreater than the amount of DNA contained in a viraline. Two potential limitations of viral vectors, though,to safety and the inherent immunogenicity of the vec-rst, because viral vectors are usually originally derivedype pathogenic viruses, there is at least a theoreticalr reversion to a virulent state, just as there is for atten-irus-based vaccines. However, extensive safety testingctors has demonstrated that this is likely not a major

    immuncines othe abgen anantigeincluding in heteroto alloantigeily, theoptima

    2.3. RN

    Proago, wlocal ption oa direcinjectiin sucrsuggesby thelicationutility see [1[15,18allergecell remore, againspreclining alleresistaantigetration[15,19intraspskin byof worcells inagent (have dand noattribuFirst, tgrate ibeen lition, uDNA vnucleumembbe parmyocypublicthe cyof gennumbetrast, sthe neeics of aeither due to prior infection with wild-type virus, vac-munization with the vector) has been shown to bluntof the vector to launch production of the target anti-nce, limits induction of immune responses against theinterest. Strategies to circumvent this limitation havee of certain adenovirus strains not commonly circulat-ns, to allow initial take of the viral vector vaccine, ands prime-boost approaches involving different vectors,ective boosting of immune responses against the targetile these approaches can be effective, at least temporar-plicate the vaccination regimen and do not provide an

    ution.

    ccines

    concept for RNA vaccines was provided two decadesintramuscular injection of mRNA in mice resulted inction of an encoded reporter protein [15] and induc-une responses against an encoded antigen [16]. Inparison with a corresponding plasmid DNA vaccine,

    similar doses of mRNA (on a mass basis) formulatedresulted in similar levels of reporter gene expression,equivalent efciencies of cellular transfection in vivo

    types of nucleic acid vaccines [15]. These initial pub-ere followed by many more demonstrating the generaliciting immune responses by RNA vaccines (for review,The variety of gene targets included reporter genesviral antigens [16,21], tumor antigens [2226], and7,28]. In these animal models, both antibody and Tses, including CD4+ and CD8+, were elicited. Further-tional immunity, as measured by protective efcacyllenge with live pathogens or tumors, was achieved. Inmodels of allergy, low doses of an RNA vaccine encod-s induce a Th1-biased immune response that providedgainst subsequent allergic sensitization. Induction ofcic immune responses can be achieved by adminis-NA vaccines via various routes, including intramuscularradermal [22], subcutaneous [16], intravenous [16],

    [21], and intranodal [24], as well as delivery into the gene gun [29,30]. In addition, a considerable amounts been done using mRNA vaccines to pulse dendriticro, which are then administered as the immunizingview, see [31]). Hence, like DNA vaccines, RNA vaccinesstrated versatility in many animal models of infectious

    fectious diseases. However, RNA vaccines have severalhat provide potential advantages over DNA vaccines.is a nite chance that plasmid DNA vaccines can inte-he genome of the immunized host. Although there hasvidence so far that integration occurs after DNA vaccina-

    RNA would eliminate this as an issue. Second, plasmides must be delivered into and transcribed within theorder to transfect a cell, i.e. they must traverse two

    barriers (plasma and nuclear membranes). This couldarly problematic in non-dividing cells, such as maturewhere the nuclear membrane remains intact. Severals have demonstrated that microinjection of pDNA intosm of non-dividing cells resulted in very low levelsression, but direct intra-nuclear injection of the sameDNA copies led to efcient transfection [3234]. In con-RNA vaccines are translated directly in the cytoplasm,r delivery into the nucleus is obviated. Finally, the kinet-n expression after RNA administration appears to peak

  • 4416 J.B. Ulmer et al. / Vaccine 30 (2012) 4414 4418

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    tic illustration of an RNA replicon vaccine. Example of an RNA replicon vector dere as nonstructural proteins) that drive their amplication within the cytoplasm of

    vectors, antigen genes are most commonly inserted in place of the capsid and glyclies its full-length genome when it is introduced into the cytoplasm, and then folloarget antigen.

    apidly, in contrast to DNA administration where antigencan persist for many weeks [35]. Hence, RNA vaccinationics antigen expression during an acute infection, whichre conducive to induction of antigen-specic immune

    hanisms of action for RNA vaccines have not beenated, but likely involve some of the same processesDNA vaccines for the expression and presentation oftigens leading to induction of immune responses. Aftere RNA is exposed to RNases in the tissue [36], whiche the vaccine and limit uptake of functional RNA byition, the 2-hydroyxl on the ribose sugar prevents theting a stable double -helix, due to steric hindrance,the macromolecule more prone to hydrolysis. Never-ious cell types are capable of internalizing RNA by anrable and specic process leading to local expression[35]. Uptake is mediated by membrane domains rich

    and lipid rafts, and involves scavenger receptors [37].alization, a portion of the RNA accumulates in the cyto-re it is translated into protein. This in situ productionprovides a means to mimic pathogen infections andof tumor antigens leading to efcient presentation of

    major histocompatibility complex (MHC) class I and IId induction of T cell responses in a manner analogousided by DNA vaccines and viral vectors. Alternatively,es can be constructed for the efcient production andr cell-surface expression) of extracellular antigens to

    cell responses and antigen-specic antibody produc-fectiveness of RNA vaccines may also be related to theA is known to be a potent stimulator of innate immu-, mRNA has been shown to activate dendritic cells andin a MyD88-dependent fashion involving signaling viaceptors (TLR) [38,39]. In vivo, it was recently demon-

    an mRNA vaccine caused the upregulation of variousved in chemotaxis and cell activation [40] as well asf TLR7-dependent CD4+ and CD8+ T cell responses, andimmunity [41]. Hence, the functionality of RNA vaccinesleast two components: (1) local expression of antigen

    presentation by MHC molecules and (2) engagement ofgnition receptors to stimulate innate immunity leading

    As an adirectlalthouof TLR coadmor RNAbeen tcationsregionsee [44expres

    Thewas inity of develoformulthese pis immcating not cociencyuse of purposmid DNover thmerciaand yietranscrat reasRNA vvaccinventioThese the GMhuman

    Whvaccinalso betural pfor a vaion of antigen-specic immune responses. the above-referenced studies have used naked mRNAine (i.e., simply formulated in a buffer). While thisas been shown to elicit immune responses, the pres-radative enzymes in tissues likely limits the amountt is available for internalization by cells in vivo. As avercome this inherent drawback of using naked RNA,cused on delivery systems, adjuvants, and engineering

    molecule. First, to protect RNA from degradation andlular uptake, encapsulation in liposomes [16,18,26] andon with cationic polymers [38,41] have proven effective.

    Sindbis viru[51,52], Kunvaccines hato launch a potency of of RNA vaccdoses [51]. viral-particogous antigare producthat permitAntigen An

    nomic promoter

    om a positive-strand alphavirus genome. All replicons encode genesells. For use as vaccine vectors, replicons also encode antigen genes.ein genes, which are not needed for genome replication. In this way,

    genome amplication it initiates production of a sub-genomic mRNA

    ative delivery system, the gene gun has been used toroduce mRNA into the cytoplasm of cells [29]. Second,A vaccines have a built-in adjuvant effect in the formgement, mRNA vaccine potency has been enhanced byration of recombinant GM-CSF [19] or Flt-3 ligand [42],oding GM-CSF [43]. Finally, several approaches have

    to improve the RNA molecule itself. Various modi-e been made to the 5 cap structure, the untranslatedd codon usage in the translated region (for review,hich have resulted in increased mRNA stability and

    ibility of using RNA as the basis for a nucleic acid vacciney regarded as questionable, due the inherent instabil-A in the presence of tissue uids, the uncertainty of

    reasonable manufacturing processes yielding a stable, and the anticipated high cost of the product. Each oftial limitations is being addressed. Even naked mRNAenic in animals [1921,25,45] and humans [46], indi-

    RNA degradation in tissues after administration doestely abrogate vaccine effectiveness. However, the ef-A delivery should be increased markedly through theling synthetic and viral delivery systems. For researchn vitro transcribed mRNA can be obtained from plas-ntaining a bacteriophage promoter (T7, SP6 or T3) andst 10 years many technical renements to the com-s have resulted in dramatic improvements in quality1,47]. More recently, RNA manufacturing by enzymaticn of appropriate DNA templates now seems attainablele cost and large scale. Long-term storage of lyophilizedes have previously been studied and RNAse-free RNAere demonstrated to be no less stable than other con-accines that require a cold chain to retain efcacy [48].ncements have enabled the development of process foroduction of mRNA vaccines in quantities sufcient forical trials (for review, see [17]).ost of the published work has utilized mRNA as theeral publications have shown that RNA vaccines canived from sub-genomic replicons that lack viral struc-ns. Replicon RNA-based vaccines have been generated

    of RNA viruses including, Semliki Forest virus [21,25],

    s [20], poliovirus [49,50], tick-borne encephalitis virusjin virus [53], and bovine viral diarrhea [54]. RNA-basedve also been described in which the RNA vaccine is usedlive-attenuated virus infection. In this case, the inherentthe encoded live viral vaccine has permitted this typeine to elicit protective immunity at very low (ng) RNAMore commonly, experimental RNA-based vaccines arele delivered products engineered to express a heterol-en in place of the viral structural genes. These vaccinesed under special conditions (e.g., packaging cell lines)

    production of single-round infectious particles carrying

  • J.B. Ulmer et al. / Vaccine 30 (2012) 4414 4418 4417

    Table 1Superior attributes of RNA vaccines.

    Parameter Vaccine type

    Live Subunit Viral vector DNA mRNA Replicon RNA

    Synthetic Generic manSafety Antibody indCTL inductioIn vivo exprControl of exAbsence of eIn vivo self aPotency in h

    RNAs encodhigh levels oa live, sprRNA virusegous gene efor vaccine RNA vaccinThe RNA amcopies of anates, which[61]. Thus, oto be more direct compsignicantlafter replico

    These repackaged in[52,62,63] Vefciency, amanufacturhas the potitated delivthose evaluwithout thetors.

    3. Prospec

    RNA vacpotential toviral delive(see Table tive approatheir advancines have bactive immpreclinical p[31]). In themelanoma tegy [46]. Santigens, sumetastatic In these exantigen-spedemonstrathumans. Clivaccines paof repliconsteins was shCMV seronpolyfunctio

    lizinse reer typpronal, ely rn RNlogieated accin

    vace.

    nces

    puolitury ser JBlogoutein. Sraro Blicatio1;53(a AR, thodsis BSe virullenge

    be u1;75(ver KAN) virka salsenbaety anadjuncal exci1;72(ghia-rowthure Bdesai

    succei F, W-DNA6;28(isle SEg of ufacturing

    +/ + +/ uction + + +n + + ession + + pression + ukaryotic contaminants +/ mplication + + umans + + +/

    ing the vaccine antigens [5559]. In this way, transient,f antigen production can be achieved without the use ofeading viral infection. Replicons derived from differents differ with regard to levels and duration of heterolo-xpression allowing the generation of a versatile toolboxor gene therapy applications [60]. An illustration of ane based on an alphavirus replicon is depicted in Fig. 1.plication process in the cytoplasm produces multipletigen-encoding mRNA and creates dsRNA intermedi-

    are known to be potent stimulators of innate immunityn a mass basis, replicon RNA vaccines have the potentialeffective than corresponding mRNA vaccines. Indeed, aarison of the two types of RNA vaccines demonstratedy higher and more persistent expression levels in vivon RNA administration [20].plicon vaccines have been administered as naked RNA

    viral particles, or delivered by electroporation in situiral particle delivery of replicons has the advantage ofs previously described for viral vectors, but complicatesing, introduces theoretical safety considerations, andential limitation of anti-vector immunity. Hence, facil-ery of RNA replicons using synthetic systems, such asated for mRNA or DNA vaccines may increase potency

    added complications commonly seen with viral vec-

    ts

    cines, particularly self-amplifying replicons, have the capture the advantages of both DNA vaccines and

    ry while overcoming the drawbacks of each technology1). The prospect of RNA vaccines being a more effec-ch than other types of nucleic acid vaccines has led tocement into human clinical trials. So far, mRNA vac-een administered to cancer patients in several trials asunotherapeutic immunization protocols, supported byroof of concept in animal tumor models (for review, see

    rst trial, mRNA encoding genes cloned from metastaticumors were used as an autologous immunization strat-ubsequent trials used combinations of known tumor

    neutrain thefor othcine afunctiowill likreplicotechnoattenuDNA vSuch avaccin

    Refere

    [1] Rapcen

    [2] Ulmeropro

    [3] Ferapp201

    [4] LarMe

    [5] DavNilchacan200

    [6] Gar(IHner

    [7] GroSafas gic201

    [8] Draof gNat

    [9] Sarfor

    [10] LorHIV200

    [11] Belminch as MUC1, CEA, telomerase, MAGE-1, tyrosinase, inmelanoma [64] and renal cell carcinoma [65] patients.ploratory clinical trials, the mRNA vaccines elicitedcic immune responses (both antibodies and T cells),ing proof of concept that mRNA vaccines are active innical trials have also been performed with RNA repliconckaged in viral particles. A bivalent vaccine consisting

    encoding cytomegalovirus (CMV) gB and pp65/IE1 pro-own to be well tolerated and immunogenic in healthyegative volunteers [66]. All 40 individuals generatednal CD4+ and CD8+ T cell responses, as well as virus

    PBMC of2011;6(6

    [12] Hirao LA,lation thragainst S

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    RNA-based vaccines1 Background2 Nucleic acid vaccines2.1 DNA vaccines2.2 Viral vectors2.3 RNA vaccines

    3 ProspectsReferences