British Journal of Rheumatology 1997;36:322–327 COMPOUND HETEROZYGOSITY FOR THE SHARED EPITOPE AND THE RISK AND SEVERITY OF RHEUMATOID ARTHRITIS IN EXTENDED PEDIGREES J. E. McDONAGH, A. DUNN,* W. E. R. OLLIER† and D. J. WALKER‡ Bloomsbury Rheumatology Unit, Middlesex Hospital, London, *Regional Blood Transfusion Service, Barrack Road, Newcastle upon Tyne, †Arthritis and Rheumatism Council Epidemiology Research Unit, University of Manchester, Manchester and ‡Department of Rheumatology, Freeman Hospital, Newcastle upon Tyne SUMMARY The objective was to explore the role of HLA-DRB1 genes in determining disease severity in rheumatoid arthritis (RA). The population comprised extended pedigrees of 17 multicase RA families. Family members were genotyped for both HLA-DRB1 alleles using restriction fragment length polymorphism (RFLP). Identification of HLA-DRB1*04 variants was performed using the Multiplex ARMS-RFLP technique. Compound heterozygote individuals carrying two different alleles containing the shared epitope (SE) were at greatest risk of developing RA (odds ratio = 36, 95% CI 9.1–143). A synergistic or additive effect of these alleles is suggested. Individuals carrying no SE alleles expressed milder disease, as measured by the Spread Severity (SS) index, compared to compound heterozygotes (P = 0.045). Compound heterozygosity was not invariably associated with severe disease with six (50%) having clinically mild disease at a median age of 57.5 yr and median disease duration of 16 yr. Inheriting two different SE-bearing alleles results in an increased risk of RA and, on average, greater disease severity. This is not, however, invariably associated with severe disease, making it of limited use as a predictor of prognosis. K : Rheumatoid arthritis, HLA-DR4, Shared epitope, Disease severity, Family studies. R arthritis (RA) is a heterogeneous disease, in onset, expression and outcome. The unpredictability of the course of the disease and the response to therapy is a major concern for both patient and rheumatologist, and there remains a need for prognostic indicators in the management of such patients. A good prognostic indicator would be useful in justifying aggressive early intervention. There is now good evidence that HLA-DR4 is associated with disease severity rather than disease susceptibility [1] with increased representation in hospital RA, erosive disease, as well as extra-articular manifestations. The association with HLA-DR4 was, however, not sufficiently strong to be useful clinically, in that many patients with RA and DR4 express mild disease. The further definition of DR4 subtypes and the observation that not all DR4 subtypes are associated with RA has led to the ‘shared epitope hypothesis’ [2]. Again, the association was not sufficiently robust to be clinically useful. There is now evidence that both parental HLA haplotypes are important in RA [3], suggesting a recessive mode of inheritance. A multiple additive risk of shared epitopes (SE) was therefore possible. Several authors have reported a hierarchy of disease susceptibility with a more pronounced association with *0401(Dw4) and *0404(Dw14) in RA patients with severe disease [4]. Individuals inheriting two SE-bearing alleles were at greater risk of RA, but the greatest risk was conferred by two different types, known as the compound heterozygote. It is now generally accepted that the association of HLA-DRB1*04 is more with disease severity than disease susceptibility. Familial RA also tends to represent more severe disease, especially when probands are ascertained in hospital, as in this study. We therefore studied the DR4 subtypes and the influence of the SE on disease severity in a population of 17 multicase RA families as part of a 10 yr follow-up study. The extended pedigree nature of the multicase RA families attempted to address a wider spectrum of disease severity in contrast to nuclear families. Furthermore, the prospective nature of the study allowed more definitive assessment of disease severity. POPULATION The study formed part of a 10 yr follow-up of 17 multicase RA families as previously described [5]. Additional family members who were now available and eligible for study were also included to extend the pedigrees further. METHODS HLA-DR specificities were assigned to family members using both serology [6] and a restriction fragment length polymorphism (RFLP) technique [7]. The variants of HLA-DR4 were determined using the Multiplex ARMS-RFLP (amplification refractory mutation system-restriction fragment length polymorphism) [8]. HLA DR frequencies in the normal population were determined from an analysis of 363 healthy Caucasoid blood donors [9]. The frequencies of DR4 subtypes were compared with data from a control population [10]. Individual indices of disease severity, including the Submitted 23 May 1996; revised version accepted 13 September 1996. Correspondence to: Janet E. McDonagh, Bloomsbury Rheumatology Unit, Arthur Stanley House, Middlesex Hospital, 40–50 Tottenham Street, London W1P 9PG. = 1997 British Society for Rheumatology 322 323 McDONAGH ET AL.: SHARED EPITOPE AND DISEASE SEVERITY IN RA Spread Severity (SS) index (maximum score = 44) [11], the modified Larsen X-ray score (maximum score = 50), the Health Assessment Questionnaire (HAQ) scores, presence of nodules, disease-modifying anti-rheumatic drug (DMARD) usage and major joint replacement surgery were compared between subgroups of patients defined by the presence and combination of alleles carrying the SE, i.e. (SE−/−, SE+/−, SE+/+ identical, SE+/+ compound). In view of the small numbers involved, the median values of each individual severity marker were then empirically used to define a summative disease severity score, i.e. a patient had severe RA if the following criteria were satisfied: SS index q 16 and HAQ q 1.87 and Larsen score q 11. Otherwise, their disease was described as mild. Analysis The association between RA and (i) specific HLA-DRB1 alleles and (ii) combinations of HLADRB1 alleles carrying the SE are expressed as odds ratios (OR) with 95% confidence intervals (CI). For the purpose of comparison, all OR were calculated relative to the RA risk in individuals who were SE negative on both HLA haplotypes. Comparisons between subgroups of individuals were performed using x2, Fisher’s exact and Mann–Whitney U-analyses when appropriate. RESULTS Population Two hundred and 45 family members were seen at follow-up. One declined venepuncture and four samples were unsuitable for analysis. HLA-DRB1 allele and phenotype distributions in multicase RA families One hundred and 48 (61.7%) family members were DR4 positive (Table I). The main DR4 subtypes found in this population were DRB1*0401 (50%) and DRB1*0408 (10%) TABLE I Frequencies of HLA-DRB1 alleles (including the subtype of HLA-DRB1*04) in the family members RA cases (%) (n = 40) Unaffected blood relatives (%) (n = 165) Unaffected non-blood relatives (%) (n = 35) Controls [9] (%) (n = 363) *01 10 (25) 40 (24) 10 (29) 96 (26) *04 *0401 *0402 *0403 *0404 *0405 *0407 *0408 *0413 30 28 0 0 2 0 1 5 1 11 (31) 10 (35) 0 0 0 0 0 1 (3) 0 134 (37) – – – – – – – – 1 (3) 5 (1) HLA-DR phenotype *10 (75)* (70) (5) (2.5) (12.5) (2.5) 2 (5) 107 86 2 4 3 1 3 19 0 (65)* (52) (1) (2) (2) (0.6) (2) (11) 1 (0.6) *P Q 0.001 when compared to controls. TABLE II The shared epitope (SE) in RA cases, unaffected family members and controls RA patients (n = 40) SE−/− 5 SE+/− 18 SE+/+ (identical) *01/*01 0 *0401/*0401 5 SE+/+ (compound) *01/*0401 5 *01/*0404 0 *01/*0408 0 *01/*0405 0 *01/*0413 1 *01/*10 0 *0401/*0404 2 *0401/*0408 4 Unaffected Unaffected blood non-blood Controls relatives relatives [10] (n = 165) (n = 35) (n = 139) (12.5)* (45) 43 (26)* 75 (45.5)‡ (12.5) 6 (4) 11 (7) 1 (3) 0 5 (4) 6 (4) 17 2 1 1 0 0 0 9 0 0 0 0 0 1 (3) 0 0 4 (3) – – – – – 1 (1) – (12.5)‡ (2.5) (2.5) (10)† (10)† (1) (1) (1) (5.5)† 14 (40) 19 (54)‡ 75 (54) 48 (34.5) *P Q 0.001 when compared to controls. †P Q 0.01 when compared to controls. ‡P Q 0.05 when compared to controls. (Table II). DRB1*0404 was less prevalent than the latter (2%). Of the RA patients, 87.5% (35/40) carried at least one SE allele, 45% (18/40) carrying a single SE allele and 42.5% (17/40) two SE alleles compared to 73.9, 45.5 and 28.5%, respectively, in unaffected blood relatives and 46, 34.5 and 11.5%, respectively, in controls (Table II). The HLA-DRB1 phenotype and risk of RA The frequencies of the various phenotype combinations were compared between the family members and a control population. There were significantly less RA cases (12.5% vs 54%, respectively; x2 = 21.6; P Q 0.001) and unaffected blood relatives (26% vs 54%, respectively; x 2 = 24.7; P Q 0.001) negative for the SE than in the control population due to the increase of the SE in the families generally. As expected, there were significantly more compound heterozygotes for the SE in the RA cases (x2 = 25.2; P Q 0.001) and the unaffected blood relatives (x 2 = 15.7; P Q 0.001) (Table II). There was only one non-blood relative who was a compound heterozygote for the SE: HLA-DRB1*01/*10. The greatest risk for RA was with the compound heterozygotes (OR = 36, 95% CI 9.1–143) with the following hierarchy of risk: DRB1*0401/*0404 (OR = 30, 95% CI 2.3–390) followed by DRB1*01/ *0401 (OR = 18.8, 95% CI 3.8–92.5), *0401/*0401 (OR = 12.5, 95% CI 2.8–55.6) and SE+/− (OR = 5.6, 95% CI 2–16.2) (Table III). The greatest risk for RA was in the compound heterozygotes *0401/*0404 or *0401/*0408 (OR = 90, 95% CI 9–900), although the numbers of cases and controls were small, resulting in wide CIs. No unaffected family members were positive for both HLA-DRB1*0401/ *0404 genotypes. There was only one compound heterozygote in the non-blood relatives without RA: HLA-DRB1*01/*10. 324 BRITISH JOURNAL OF RHEUMATOLOGY VOL. 36 NO. 3 In order to limit the potential bias to greater numbers of DR4 homozogotes in familial RA, comparisons of HLA frequencies were re-analysed within the families (Table III). The highest OR, though not as dramatic, was still observed in association with the DR4-positive compound heterozygotes compared to the other combinations (OR = 5.76, 95% CI 1.43–23). There was an increased frequency of RA observed in the compound heterozygotes (DRB1*0401/*0404, DRB*01/*0401) compared to the heterozygotes carrying a single SE allele (e.g. *01/SE−, *0401/SE−, *0404/SE−), suggesting a synergistic effect of these alleles, although this was not statistically significant (P q 0.05). The HLA-DRB1 phenotype and disease expression in RA None of the SE-negative RA patients had nodular disease and none had received DMARD therapy or undergone major joint replacement surgery, unlike the other SE-positive RA patients. When the SE-positive subgroups were compared with the SE-negative patients, the SE+/+ (all) patients had significantly more severe disease as measured by the SS score (mean scores 20.3 vs 9, respectively, P = 0.04) and the X-ray score (mean scores 19.9 vs 4.7, respectively, P = 0.05). This became more obvious when only DR4-positive SE+/+ patients were considered: mean SS scores 21.5 vs 9, respectively, P = 0.01; mean X-ray scores 21.3 vs 4.7, respectively, P = 0.009. When the DR4-positive SE+/+ group was subdivided into the *0401/*0401 homozygotes and the *0401/*0404 or *0401/*0408 compound heterozygotes and then compared with the SE−/− subgroup, the *0401/*0401 homozygous RA patients had a higher X-ray score which just achieved statistical significance (mean scores 14.6 vs 4.75, respectively, P = 0.05). The *0401/*0404 or *0401/ *0408 compound heterozygous patients, however, had more severe disease as measured both by the SS score (mean scores 27 vs 9, respectively, P = 0.006) as well as a significantly higher X-ray score (mean scores 26.8 vs TABLE III Association between HLA-DRB1 phenotype and disease in RA patients Specific phenotype SE−/− SE+/− SE+/+ Identical alleles *0401/*0401 Compound heterozygotes All *01/*0401 *0401/*0404 *0401/*0404 or *0401/*0408 Odds ratio (95% CI) (compared to controls) Odds ratio (95% CI) (compared to family members) 1 5.6 (2.0–16.2) 15.9 (5.1–49.5) 1 2.06 (0.72–5.95) 2.53 (0.65–9.86) 12.5 (2.8–55.6) 3.91 (0.96–15.9) 36 (9.1–143) 3.44 (1.1–10.8) 18.8 (3.8–92.5) 30 (2.3–390) 2.53 (0.65–9.9) – 90 (9.0–900) 5.73 (1.43–23) TABLE IV Demographic details of patients with respect to the presence of the shared epitope Mean age of disease Mean age onset 2.. (yr) 2.. (yr) Mean disease duration 2.. (yr) 5 53.8 2 13.3 26.6 2 10.6 18 57.7 2 12.1 36.9 2 11 17 54.7 2 15.2 32.2 2 12.4 21.2 2 16.8 20.8 2 12.2 22.6 2 12.4 n SE−/− SE+/− SE+/+ all SE+/+ identical *0401/*0401 SE+/+ compound *0401/*0404 or *0401/*0408 52 2 16.1 29.6 2 13.3 5 6 48.8 2 11.6 34 2 11.5 22.4 2 8.8 15.3 2 4.4 4.7, respectively, P = 0.01) than the SE-negative patients. There were no significant differences between severity indices when the SE+/+ and SE+/− patients were compared, although there was a significantly greater proportion of nodular disease in the former (71% vs 28%, P = 0.01). When the SE+/+ patients were subdivided, the SE+/+ identical patients tended to have more nodular disease than the SE+/− patients (80% vs 28%, P = 0.06). Significantly more SE+/+ compound patients also had nodular disease (67% vs 28%, P = 0.04) as well as having received DMARD therapy at some time (83% vs 44%, P = 0.04) than their true heterozygous SE+/− counterparts. When only the DR4-positive compound heterozygous patients (DRB1*0401/*0404 or *0401/*0408) were considered, they had a significantly higher SS score than their SE+/− counterparts (P = 0.02). When the *0401/*0401 homozygous patients were compared with the *0401/*0404 or *0401/*0408 compound heterozygous patients, the latter had significantly more severe disease as measured by the SS score (mean scores 25.5 vs 14, respectively, P = 0.04) when compared to the DR4 homozygotes. These differences appeared not to be explained by disease duration and age as these showed no significant difference between the subgroups (Table IV). The DR4-positive compound heterozygotes tended to be younger and had had their disease for a shorter period, but these differences did not reach TABLE V Disease severity and the shared epitope (SE) Mild RA* (%) (n = 27) SE−/− SE−/+ SE+/+ identical SE+/+ compound including: *0401/*0408 *0401/*0404 *0401/*01 *0413/*01 Severe RA† (%) (n = 13) 5 12 4 6 (19) (44) (15) (22) 0 6 (46) 1 (8) 6 (46) 1 1 3 1 (4) (4) (11) (4) 3 (23) 1 (8) 2 (15) 0 *Mild RA if SS index E16 and HAQ E1.87 and Larsen score E11. †Severe RA if SS index q16 and HAQ q1.87 and Larsen score q11 (see Methods). McDONAGH ET AL.: SHARED EPITOPE AND DISEASE SEVERITY IN RA TABLE VI Disease characteristics of two sisters who share the same compound heterozygous phenotype (HLA-DRB1*0401/*0408) Age (yr) Disease duration (yr) SS index X-ray score HAQ Nodules (ever) Rheumatoid factor titre DMARD current Major joint replacement surgery Sister A Sister B 39 14 21 10 1.37 no 1/320 yes no 33 15 39 50 2.75 yes 1/40 yes yes statistical significance (P q 0.05). Other comparisons were not significant. The presence or absence of the SE was compared between severe disease, defined as SS index q 16 and HAQ q 1.87 and Larsen score q 11, and mild disease if these criteria were not met (Table V). Compound heterozygosity for the SE does, therefore, associate with more severe disease, but this is not without exception. To illustrate this, Table VI describes disease characteristics of two sisters with RA, both carriers of the DRB1*0401/*0408 genotype combination, one with mild disease and the other with severe disease. DISCUSSION This study in multicase extended RA pedigrees has confirmed previous data of a hierarchy of risk for RA with various HLA-DRB1 genotype combinations in reference to the SE [4, 10, 12–14]. HLA-DRB1 genotype combinations, the shared epitope and RA Several authors have reported the importance of the gene dosage of the shared epitope in RA. Jawaheer et al. [13] reported that within a HLA-DR4-positive group of monozygotic twin pairs, there was no major difference in concordance rates between those pairs who were homozygous for HLA-DR4 and those who had only one HLA-DR4 allele. In contrast, when the monozygotic pairs who were positive for the SE were considered, the possession of two alleles, both of which carried the epitope, showed the greatest association with RA concordance. Indirect evidence is suggested by the evidence that compound heterozygotes (DRB1*0401/*0404 or DRB1*0401/*01) represent 3.6% of a control population [10] compared to 17.5% of a RA hospital-based population with homozygosity for *0401 being an infrequent event in the control population (4.3%). Unselected groups of RA patients demonstrate a less striking excess of compound heterozygotes, suggesting that the genotype may be particularly associated with more severe disease [4]. All alleles encoding the SE, however, are not similar in their strength of association with RA, despite having a conserved sequence at amino acid positions 70–74 and carrying the QRRAA/QKRAA motif, e.g. *0101 and *0404. In our population, there was a greater risk in the 325 *0401/*01 individuals than in the *0401/*0401 individuals (OR 18.8 vs 12.5, respectively), although still less than the highest risk seen (OR 90) with the *0401/*0404 and *0401/*0408 individuals. Several authors have suggested that such discrepancies may indicate a role of glycine substitution at position 86 in RA susceptibility, i.e. DRB1*0404 differs from *0101 and *0408 with the former having a valine residue instead of glycine at position 86 [14]. Is is interesting, therefore, to note that there were twice as many *0401/*0408 compound heterozygotes (n = 4) as *0401/*0404 (n = 2) with RA. When these patients were combined, the calculated OR for *0401/*0404 and *0401/*0408 compound heterozygotes was 90. Owing to the small numbers involved, however, the 95% CIs are wide: 9–900. HLA-DRB1*0404 and *0408 alleles were not represented in heterozygous SE−/+ patients, and therefore cannot be considered as an independent risk factor for RA in this population. Neither was there any DRB1*0404/*0404 homozygosity observed in the RA group. This makes it unlikely that the amount of class II antigen on the cell surface is the simple explanation and supports the hypothesis of synergy between two closely related DR4 subtypes at the DRB1 locus. In contrast to these findings, Nepom et al. [15] reported an independent though additive effect of Dw14(DRB1*0404 and *0408) rather than a synergistic effect. Similarly, other authors have reported that DRB1*0404 is an RA risk factor independent of DRB1*0401 [10]. HLA-DRB1*0405 is identical to DRB1*0408 both in the third hypervariable region 67–74 and position 86 where it also has a glycine. In addition, DRB1*0413 differs from DRB1*0401 only at codon 86 where valine is present instead of glycine. There was a higher prevalence of DRB1*0408 (16.7%) compared to DRB1*0404 (6.7%) in the RA patients although this difference did not reach statistical significance (P = 0.21). This is in contrast to the study of non-familial RA by MacGregor et al. (*0408, 3.5%; *0404, 17.9%) [10]. This raises the possibility that the *0408 allele may have a more important role in familial RA and hence perhaps a role of glycine at position 86, as in both studies, when in combination with another SE, it was associated with more severe disease. HLA-DRB1*0405 was present in only one family member who did not have RA and DRB1*0413 was present in only one member who did have RA. HLA-DRB1 alleles and disease expression This study was part of a 10 yr follow-up study and the prospective nature allowed for greater certainty of disease classification, stability of diagnosis as well as assessment of disease course and severity. Several authors have looked specifically at radiological progression as a measure of disease severity, some reporting an association of DR4 with erosive change on X-ray [16] and some not [17]. A prospective study failed to find a relationship between the severity of rate of X-ray progression and DR4 [18]. Conflicting results may be due, at least in part, to patient selection as in cross-sectional hospital-based studies it may be more 326 BRITISH JOURNAL OF RHEUMATOLOGY VOL. 36 NO. 3 difficult to demonstrate a valid association between DR4 and disease severity as hospital RA tends to be at the more severe end of the spectrum. Indeed, the association is not seen in population-based studies where the milder disease is more prevalent [19]. Furthermore, although HLA-DRB1 genotyping of patients attending an early synovitis clinic has been shown to predict erosive disease [20], medium-term prospective studies have since reported that although genomic HLA typing is useful to predict the development of persistent RA, they found no clinically useful correlation between the HLA-DRB1 type and disease severity [21]. Wordsworth et al. [4] suggested that compound heterozygosity—Dw4/Dw14 (HLA-DRB1*0401/*0404 and *0401/*0408)—was particularly associated with more severe disease. When individual indices of disease severity were addressed, the SE−/− group showed significantly lower X-ray and SS scores than the SE+ groups. Furthermore, none of the SE-negative patients exhibited nodular disease, had received DMARD therapy or undergone major joint replacement surgery. This may in part be due to the fact that familial RA does represent the more severe end of the spectrum. There was no difference in the age of disease onset when the SE−/− group was compared with the other groups. This is in contrast to the results of Eberhardt et al. [21] who reported that RA patients who did not express disease-associated alleles developed RA later in life and postulated that, without certain genetic factors, more time is needed for clinical disease to develop. The SE−/− group, however, was small in our study (n = 5). More severe disease was associated with the expression of two SE-positive alleles and was particularly evident when the compound heterozygotes were considered, in agreement with previous authors [4]. Fifty-nine per cent (13/22) of RA cases with at least one SE allele had severe disease and 70% with two SE alleles. However, 50% of those with two non-identical SE alleles had mild disease as classified by our criteria. HLA-DR1 has previously been reported to be more associated with mild disease [22], although the criteria for disease severity vary between studies. Two-thirds of the compound heterozygotes in our study with mild disease carried the DR1 allele compared to only one-third of those with severe disease and this raises the possibility of a diluting effect on severity by the inclusion of the DR1 allele. Nonetheless, Benazet et al. [23] observed an association of more severe articular damage, as measured by the Steinbrocker index, with a double dose of the shared epitope in a southern French population with a relatively higher prevalence of DR1 (46%) but no extra-articular disease. There are problems in using material from multicase families in view of the potential bias to greater numbers of DR4 homozygotes and the consensus view that familial RA represents the more severe end of the spectrum of disease severity [1, 17]. In an attempt to limit the former bias, comparisons of HLA frequencies were re-analysed within the families rather than with controls as above. The highest OR, though not as dramatic, was still observed in association with the DR4-positive compound heterozygotes compared to the other combinations (OR = 5.76, 95% CI 1.43–23). The definition of disease severity in family studies does vary and is important to consider. In view of the multidimensional nature of disease severity, we used a summative score to divide the RA patients into mild and severe disease. Although this was arbitrary, we considered it was valid in view of the extended nature of the majority of the pedigrees which thus potentially encompassed a broader spectrum of disease severity than that previously reported in studies of nuclear families. Whether the molecular basis of the effect of compound heterozygosity for the SE in RA is a structural influence on peptide binding or of molecular mimicry has yet to be established. Supporting the latter hypothesis is evidence of sequence homology between the SE of DRB1*0401 and proteins of Epstein–Barr virus [24] and Escherichia coli [25]. Further support is provided by reports such as that from Wang et al. [26] who reported a differential effect of rheumatoid factor production in vitro in *0404-positive B cells compared to *0401 B cells, with more frequent induction in the former. In conclusion, the HLA-DRB1 genotype does influence the severity of the disease, but all alleles encoding the SE are not similar in their strength of association with disease. The presence of particular genotype combinations is associated with more severe disease, although this is not absolute as the above data illustrate, raising the possibility that there may be other non-DRB1 alleles involved. The role of genotyping in the prognosis of RA for the clinician and patients warrants further study. A This study was supported by the Newcastle Rheumatic Research and Education Fund. We are grateful to the families for their kindness and cooperation during the course of this study, to Dr Paul Hessian, Department of Radiology, Royal Victoria Infirmary, Newcastle upon Tyne, for assisting in the scoring of the hand X-rays, and to Tim Butler, Department of Medical Statistics, Newcastle Medical School, for statistical advice. 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