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Airway Defense Mechanisms

Grant W. Waterer, MD, PhDa,b

KEYWORDS
 Immunity  Airways  Innate

KEY POINTS
 The immune system is complex, with multiple redundancies and overlapping mechanisms; evolu-
tion of this complex system is probably a response to the ability of pathogens to develop ways to
overcome the immune barriers of their hosts.
 The key role that small proteins and peptides such as defensins, cathelicidins, and collectins play
provide major new insights into protection against pathogens.
 These proteins and peptides are an area of new research, particularly intervention with inhaled ther-
apies, including stem cell approaches.

Human airways are regularly in contact with a wide as key insights into the response to pathogens
variety of potential pathogens. In response, we that have been discovered in the past decade. It
have developed strategies to protect ourselves. focuses particularly on the innate immune system
As many of these organisms have developed because this is where most of the developments
mechanisms to help them bypass immune de- have occurred that are particularly relevant to
fenses, so has the human immune system devel- bronchiectasis.
oped a complex array of overlapping strategies to
counter them.
MECHANICAL DEFENSES
In bronchiectasis, the balance between host
Cilia
and pathogen has been tipped in favor of the
assailants. Not only are there often one or more Basic mechanical adaptations to protect airways
deficits in the immune response that has led to are extremely important. The respiratory tract is
bronchiectasis, the destruction of normal bron- for the most part covered with ciliated epithelium.
chial architecture leads to a variety of immune On top of the cilia is a thick mucus blanket ranging
deficits in the region of damaged airways. from 5 to 10 mm in depth where inhaled particles
Although the immune response is critical to are deposited.2 Coordinated movements of the
removing pathogens, inflammation is likely to cilia propel microorganisms and other inhaled
contribute not only to further lung damage but, particles trapped in the mucus blanket. In the
at least temporarily, impairs immune response upper airways, the cilia propel particles toward
making the host more vulnerable to subsequent the pharynx where they are swallowed; in the
infections; the so-called vicious cycle hypothesis lower airway they are propelled toward the trachea
in bronchiectasis.1 where they can be coughed up.
A comprehensive summary of all airway de- A wide variety of inherited and acquired disor-
fense mechanisms is a textbook in itself, and far ders of cilia numbers and/or function have now
beyond the scope of this article. This article high- been described.3 The correlation between the
lights both the key airway defense mechanisms degree of impairment of ciliary function and the
typically compromised in bronchiectasis, as well extent and severity of lung and sinus disease is
chestmed.theclinics.com

a
University of Western Australia, Royal Perth Hospital, Level 4 MRF Building, GPO Box X2213, Perth 6847,
Australia
b
Northwestern University, Chicago, IL, USA
E-mail address: grant.waterer@uwa.edu.au

Clin Chest Med 33 (2012) 199–209


doi:10.1016/j.ccm.2012.03.003
0272-5231/12/$ – see front matter Ó 2012 Elsevier Inc. All rights reserved.
200 Waterer

evidence of how important this basic defense specificity, for TLR-10 remains unknown.7 TLRs
mechanism is in protecting airways. are expressed on a variety of cells including
neutrophils, macrophages, dendritic cells, regula-
Mucus tory T cells, B-cells, and epithelial cells.7–9
The signaling pathways activated by binding of
The mucus layer is composed of a variety of
TLR to their ligands have been well characterized,
high-molecular-weight glycoproteins (2%–3%),
as have disorders of signaling resulting in clinical
salts (1%), and water (95%), and is produced by
disease.7 In general, signaling from TLRs can be
goblet cells and by serous and mucus glands
divided into MyD88-dependent and MyD88-inde-
in the submucosa.4 Although the superficial part
pendent pathways, with the MyD88-dependent
of the mucus layer is moved by the action of the
route being the main pathway for most TLRs.7
cilia, the deeper layer of periciliary fluid is not.2
There is some evidence that TLR regulation may
The salt concentration of the mucus layer is tightly
be different in bronchiectasis, but whether this
controlled and may be important in limiting bacte-
precedes or is induced by disease is unclear.10
rial growth. Failure to regulate the salt concentra-
The primary result of TLR activation is the release
tion, as occurs, for example, with defects of
of a variety of cytokines that have neutrophils and
the cystic fibrosis transmembrane conductance
macrophages as their primary targets.7 Key cyto-
regulator,5 causes significant changes in the
kines include tumor necrosis factor a, interleukin
viscoelastic properties of the mucus, with the
(IL)-1 b and IL-6.
potentially devastating effects on mucosal immu-
In addition to initiating an inflammatory cascade,
nity seen in patients with cystic fibrosis.
stimulation of TLR211 and TLR312 induce mucin ex-
Apart from glycoproteins, the mucus layer also
pression and activate epidermal growth factors.13
contains a variety of proteins important in the innate
Although these effects should be protective, ex-
immune response. Although some of these proteins
cess mucus production may have adverse con-
arise by transudation from plasma, others, such as
sequences, particularly by impairing neutrophil
immunoglobulin (Ig) A, lysozyme, and lactoferrin,
recruitment.14
are actively secreted into the mucus layer.6

INNATE IMMUNITY Non-TLR Recognition of Pathogens and


Toll-like Receptors Inflammatory Signaling
Recognition of the specific type of pathogen TLRs are not the only mechanism by which the
begins with the toll-like receptors (TLRs), a family immune system recognizes the type of invading
of cell surface proteins that help trigger both innate pathogen and initiates the most appropriate
and adaptive immune responses, although they inflammatory response. The nucleotide oligomeri-
are not obligatory for the latter. Eleven TLRs with zation domain (NOD)–like receptors are a large
differing pathogen specificity are currently recog- family of intracellular receptors that sense
nized (Table 1), although the ligand, and therefore microbial components in the cytosol. Of the 23

Table 1
Toll-like receptors and their specificity

Toll-like Receptor(s) Ligand Pathogen


1, 2, and 6 Lipopeptides Gram-positive bacteria and fungi
3 Poly I:C, dsDNA Viruses
4 Lipopolysaccharide Gram-negative bacteria
5 Flagellin Bacterial flagellum
7 ssRNA, resiquimod, imiquimod, loxoribine Viruses
8 ssRNA Viruses
9 Unmethylated DNA, CPG-DNA Bacteria, DNA
10 Unknown unknown
11 Unknown component of uropathic Uropathic E coli,99 toxoplasma100
Escherichia coli, profilinlike molecule

Abbreviations: CPG, cytosine-phosphate-guanine; dsDNA, double-strand DNA; ssRNA, single-strand RNA.


Data from Moresco EM, LaVine D, Beutler B. Toll-like receptors. Curr Biol 2011;21:R488–93.
Airway Defense Mechanisms 201

NOD-like receptors so far reported, the best- be protective, there is increasing evidence that,
described members of the family are NOD1 and in some circumstances, antimicrobial peptides,
NOD2, both of which recognize bacterial like many inflammatory molecules, may have
peptidoglycan, although NOD1 is more specific adverse effects including impairing neutrophil
to gram-negative peptidoglycan.15–17 Stimulation phagocytosis in patients with bronchiectasis.26
of NOD-like receptors results in increased NF-kB Defensins are divided into 2 families: a-defen-
activation via RIP2 kinase.18 sins and b-defensins. As well as some differences
TNF receptor 1 (TNFR1) is abundant on the in the pairing of cysteine residues, a-defensins are
surface of many inflammatory cells and the airway mainly produced by neutrophils,27 whereas b-de-
epithelium.19 As well as TNF, TNFR1 also recog- fensins come mainly from epithelial cells.28 In
nizes staphylococcal protein A and seems to be addition, defensins seem to have a key role in
the primary sensing mechanism for Staphylo- immunity in both the gut29 and the reproductive
coccus aureus in the airways because MyD88, tract.30
and hence TLR signaling, is not important with Although at least 4 b-defensins have been well
this pathogen.20 characterized based on their disulfide connectivity
C-type lectins are unusual in that they are (eg, Cys1-Cys5, Cys2-Cys4), many others have
focused primarily in the detection of fungi, particu- been identified by whole-genome screening.31
larly through binding to carbohydrates such as The type of b-defensin produced depends on the
b-glycans.21 The C-lectin family, which includes inflammatory cell of origin.32
dectin-1, dectin-2 and mincle, have been also Cathelicidins are a-helical cationic peptides that
been shown to have an important role in detecting are produced as precursors consisting of a cathelin-
carbohydrates from yeast and mycobacteria.22 like domain and the active peptide and hence
Although present in airway epithelial cells,23 most require proteolytic conversion to the active form.33
research has been done in myeloid cells, and their As with defensins, cathelicidins seem to play anti-
role in resisting airways pathogens is still poorly microbial roles in the respiratory, digestive, and
understood. However, given that C-lectins are reproductive tracts. The main cathelicidin released
expressed on neutrophils24 and macrophages,25 by neutrophils, LL-37, displays a wide range of
it is reasonable to presume that they have an effects beyond antimicrobial activity, including
important role in the airways’ response to invading neutralizing microbial products like lipopolysaccha-
fungal and mycobacterial pathogens. ride (LPS), chemoattraction of inflammatory cells,
and upregulation of epithelial proliferation and
Nonspecific Antimicrobial Agents repair activity.34 Of particular note in the setting of
bronchiectasis is that cathelicidins including LL-37
A variety of chemical defenses are embedded
have antibiofilm activity against Pseudomonas.35
within the mucus layer of the respiratory epithelium.
The first described chemical agent was lysozyme,
which has nonspecific antibacterial activity by
lysing the cell wall of bacteria and various fungi.2 Collectins: Surfactant Protein A and D
Other important molecules include lactoferrin, uric
Another family of proteins important for opsoniz-
acid, leukoprotease inhibitor, peroxidase, amino-
ing bacterial pathogens are collectins. Among
peptidase, secretory phospholipase A2, and defen-
the collectins are mannose-binding lectin (dis-
sins. Nitric oxide is also found in both the upper and
cussed later) and surfactant A (SP-A) and surfac-
lower respiratory tract and may have antibacterial
tant D (SP-D), which are lipoproteins synthesized
activity.
by type II pneumocytes and Clara cells. Although
known for a long time to modulate surface
Defensins and Cathelicidins
tension, more recently the role of surfactant in
In the past decade, there has been a significant host defense against infection and inflammation
increase in knowledge of the role of defensins has been discovered.
and cathelicidins against a broad range of micro- All collectins share a collagenlike domain that is
bial threats including bacteria, viruses and fungi. capable of binding oligosaccharides found on
Both defensins and cathelicidins are amphipathic bacterial, nonencapsulated fungal, and some viral
peptides, having both hydrophobic and hydro- envelope surfaces.36 Both SP-A and SP-D bind to
philic properties that enable them to disrupt a wide range of pathogens, suppress microbial
microbial membranes. Although many cells seem growth, damage bacterial membranes, and modu-
to have the capacity to produce antimicrobial late macrophage phagocytosis.37 Removal and
peptides, the main source seems to be neutrophils detoxification of LPS by alveolar macrophages is
and epithelial cells. Although generally thought to also facilitated by SP-A and SP-D.38
202 Waterer

Although able to activate several signaling a limited number of other cell types.51 The prod-
cascades, including TLR2 and TLR4,37 SP-A ucts of IFN-induced genes act to limit viral replica-
and SP-D tend to suppress the production of tion and spread by degrading viral RNA, inhibiting
proinflammatory cytokines by macrophages.39,40 cellular translation machinery used for viral repli-
Consistent with an antiinflammatory regulatory cation, and limiting interaction with viral poly-
role for SP-A and SP-D, they have also been merase complexes.50
shown to increase alveolar macrophage produc-
tion of IL-10 and TGF-b.41 Cytokines
Cytokines are a diverse group of proteins and
Bactericidal/Permeability-Increasing Protein
peptides that can have autocrine, paracrine, and/
The role of bactericidal/permeability-increasing or endocrine activities that modulate immune
protein (BPI), although first described in the function. Although there is an extensive list, the
1970s,42 has been better delineated in the past major proinflammatory cytokines that have been
decade, particularly with respect to its key role in extensively studied in humans are TNFa, IL-1b,
defense against gram-negative bacteria. As well IL-6, IL-8, IL-12, and IFN-g. Although some of
as being found in neutrophil azurophilic granules the functions of these cytokines are addressed
(discussed later), BPI is also found in eosinophils43 elsewhere, TNFa, ILb, and IL-6 all play an impor-
and epithelial cells,44 and has emerged as another tant role in vasodilatation, increasing vascular
of the key antimicrobial peptides. permeability, and upregulating cellular adhesion
BPI seems to have 2 main functions. First, it molecules. Key antiinflammatory cytokines in-
binds to and neutralizes LPS with high efficacy, clude IL-10, TGF-b, and IL1-Ra.
significantly reducing the inflammatory res- Recently, IL-23 has emerged as another key
ponse.45 This anti-LPS activity makes BPI particu- cytokine in innate host defense against bacterial
larly important against gram-negative pathogens. pathogens. IL-23 shares a common p40 subunit
Second, BPI has innate bactericidal activity, with IL-12 but has a unique p19 subunit.52 IL-23
particularly against gram-negative bacteria like seems to be predominantly produced by antigen-
Pseudomonas.46,47 presenting cells and stimulates the production of
IL-17 by TH17 and gd T cells in a TLR-dependent
Complement manner.53 Several studies have shown that the
The complement system is an important compo- IL-23/IL-17 response is critical for clearing gram-
nent of both the adaptive an innate immune negative infections such as Klebsiella pneumo-
systems. The complement system consists of niae54 and Pseudomonas aeruginosa.55 IL-17 is
more than 25 plasma and cell surface proteins a family of 6 related proteins, IL-17 A to F, with IL-
with 3 different activation pathways.48 The main 17A usually termed IL-17 and IL-17E also known
function of the cascade of activity that occurs as IL-25.56 Although most of the IL-17 family have
through activation of one of the pathways is to proinflammatory effects, the source and site of
mark pathogens for destruction by phagocytes. action differ.56 IL-25 is unusual in the IL-17 family
The classic pathway is activated by antigen- in that it inhibits some proinflammatory responses
antibody complexes. The alternative pathway is in addition to promoting a Th2-type response.56
activated without antibody by microbial structures.
Chemokines
A third pathway is triggered by microbial cell wall
components containing mannans and is called Chemokines are cytokines that induce leukocyte
the lectin pathway (discussed further later).49 infiltration into the site of infection. Chemokines
are grouped into 4 main types based on the pres-
Interferons ence of a cysteine toward the N-terminus: C, CC,
Interferons (IFN) are an important part of the innate CXC, and CX3C.57 A large number of human che-
host defense against viruses. Virally infected mokines have been reported; however, the most
epithelial cells secrete 2 classes of IFNs. Type I important in humans seems to be IL-8.58
IFNs include IFN-a, IFN-b, INF-k, IFN-ε, and limitin.
Neutrophils
The class I IFNs signal via the IFN-a/b receptor and
produce their effects via the Janus kinase/signal Neutrophils are a predominant feature in the
transducers and activators of transcription (JAK- airways of patients with bronchiectasis. If contain-
STAT) pathways.50 Type III IFNs IFN-l1 (also ment of pathogens fails by all the mechanism
known as IL29), IFN-l2 (also known as IL28A) already discussed and the airways’ bacterial load
and IFN-l3 (also known as IL28B) signal via IL- is less than 106 colony-forming units/mL then
28R, which is expressed in epithelial cells and a neutrophil inflammatory response is initiated.59
Airway Defense Mechanisms 203

The recruitment of these neutrophils to the site of of apoptosis or necrosis.75 The formation of extra-
infection is orchestrated by the expression of cellular nets is deficient in neonates, which may
leukocyte and vascular adhesion molecules com- partially explain their markedly increased suscep-
bined with the release of chemotaxins like IL-8 tibility to infection.76
and leukotriene B4 (LTB4) into the submu-
cosa.60,61 In bronchiectasis, there is evidence Macrophages
that IL-8 may be more important for chemotaxis
Both macrophages and dendritic cells are derived
than LTB4, at least in acute exacerbations.62
from common progenitor cells and therefore share
Once in the airways, neutrophils attempt to
several properties including phagocytosis and
neutralize the invading pathogen with a combina-
endocytosis of pathogens, antigen presentation
tion of phagocytosis and the release of their
and activation of T cells, secretion of cytokines,
arsenal of proteolytic enzymes, reactive oxygen
and migration to local lymphoid tissue.77 Although
species (ROS), and other immunoactive com-
macrophages are an important source of proin-
pounds.63 Neutrophil granules are generally di-
flammatory cytokines (particularly TNFa, IL1-b,
vided into 3 subsets, although it is possible to
IFN-a, IFN-b, IL-6, IL-12, and IL-18), it seems
discern further variations and subsets.64 Azuro-
that lung alveolar macrophages and dendritic
philic granules release myeloperoxidase, elastase,
cells are biased toward an immunosuppressive
proteinase 3, cathepsin G, defensins, and BPIs,
response (eg, with IL-10 and TGFb) and need
among others. Specific granules contain lactofer-
a strong inflammatory signal to overcome this
rin, cathelicidins, and other antibacterial proteins.
predisposition.78
Gelatinase granules contain gelatinase acetyl-
Although they have similar functions, macro-
transferase and lysozyme64 has direct bactericidal
phages are superior to dendritic cells in their ability
activity through its N-terminal domain.65
to phagocytose and kill bacteria. Alveolar macro-
Neutrophil phagocytosis is facilitated by op-
phages make up more than 90% of the pulmonary
sonization. Although IgA (discussed later) does
macrophage population,79 but functionally are
promote phagocytosis,66 IgG is particularly impor-
similar to other tissue macrophages. Alveolar
tant in this process. Complement activated by IgG
macrophages predominantly originate from mono-
(classic pathway) or independently (lectin or alter-
cytes recruited from blood, but a small proportion
native pathway) is also important for phagocy-
comes from replication of the existing pool.80
tosis.67 Mannose-binding lectin plays a critical
Alveolar macrophages can directly phagocytose
role in activating complement through the lectin
bacteria; however, the polysaccharide capsule of
pathway, which may explain the association
many bacteria is a significant impediment. For
between bronchiectasis and low levels of this
these pathogens, opsonization (by immunoglob-
protein.68 P aeruginosa has an alkaline protease
ulin, complement, and other opsonins discussed
that blocks complement activation through both
earlier) is required for effective phagocytosis.81
the classic and lectin pathways.69
Like neutrophils, macrophages use a variety of mi-
The respiratory or oxidative burst is a key mech-
crobicidal molecules to kill pathogens, including ni-
anism for digesting the contents of phagocytic
tric oxide81 and NADPH-dependent production of
vacuoles. Production of the ROS in the respiratory
ROS. Macrophages also play an important role in
burst depends on nicotinamide adenine dinucleo-
reducing inflammatory damage by phagocytosing
tide phosphate (NADPH) oxidase.70 A genetic
apoptotic neutrophils and other cellular debris,
disorder of one of the subunits of NADPH leads
and by secreting antiinflammatory cytokines such
to an inability to produce ROS, with resulting
as IL-10 and TGF-b, as described earlier.
recurrent bacterial infections and chronic gran-
ulomatous disease.71 Whether respiratory burst
Dendritic Cells
is impaired in patients with bronchiectasis is
controversial.72,73 Dendritic cells play a pivotal role in linking the
It was recently recognized that neutrophils have innate and adaptive immune systems. They can
an additional antibacterial function. Neutrophils be divided into myeloid and plasmacytoid groups,
are able to create extracellular traps capable both of which mature into conventional dendritic
of trapping and killing extracellular bacteria and cells. Although dendritic cells of myeloid origin
fungi.74 These neutrophil traps are created by migrate through the lymphatics and into lymph no-
expelling decondensed chromatin mixed with anti- des, where they act primarily as antigen-
bacterial proteins. Large numbers of neutrophil presenting cells,82 plasmacytoid dendritic cells
extracellular traps can be released by the destruc- migrate through small blood vessels primarily
tion of neutrophils, which seems to be a novel form surveying for pathogens.83 Macrophages seem
of cell death compared with the traditional models to control the number of dendritic cells in the
204 Waterer

lung, keeping them suppressed unless there is Secretory IgA helps protect the mucosal surface
acute infection.84 Although alveolar macrophages from a variety of pathogens, but is vulnerable to
have a half-life measured in weeks to months, IgA-specific proteases released by common path-
dendritic cells have a fast turnover with a half-life ogens such as Streptococcus pneumoniae and
of less than 2 days.85 The primary function of Haemophilus influenzae.2 Most IgA is produced
dendritic cells in the lung seems to be as locally by subepithelial plasma cells. The propor-
antigen-presenting cells. Dendritic cells that have tion of IgA subclasses is different between the
captured foreign material mature, leave the lung, lung and blood, with IgA2 contributing a higher
and enter lymphoid tissues where they activate proportion in the lung (around 30% compared
naive T cells.86 Although myeloid dendritic cells with 10%–20% in blood). IgA2 is more resistant
express a broad array of TLRs,87 plasmacytoid to IgA-specific proteases produced by many
dendritic cells express only TLR-7 and TLR-9 bacteria.66 The importance of IgA in airway
and are the most potent known producers of defense is unclear given that IgA deficiency is
IFNs,88 suggesting that they are key cells in the usually asymptomatic, so presumably it is only
innate response to viral infection. critical when other defects in immune response
are present.90
IgG-mediated opsonization of bacteria to facili-
Natural Killer Cells
tate phagocytosis is highly effective at removing
Natural killer (NK) cells are lymphocytes that pathogens. The importance of IgG in helping main-
are capable of killing infected cells without the tain the integrity of the airway is shown by the
need for antigen specificity (eg, as with cytotoxic high risk of bronchiectasis in patients with marked
lymphocytes). NK cells can also activate macro- deficiencies of IgG, although selective subclass
phages to enhance intracellular killing of phagocy- deficiencies are probably not sufficient to cause
tosed pathogens. Key components of NK cell disease on their own.72,73,91
activity are perforin, a protein that perforates Antibodies may not always have a protective
target cell membranes, and granzymes, which effect. IgG2 antibodies in particular may impair
initiate apoptosis and hence death of the infected phagocytosis.92 These deleterious IgG2 anti-
cell.89 Infected cells typically reduce expression of bodies seem to be more common in patients
class I HLA molecules on their surface, which is with cystic fibrosis and pseudomonas infec-
thought to be the signal for NK cells to target them. tion,92,93 and in patients with human immunodefi-
ciency virus infection.94

ADAPTIVE IMMUNITY Specific Cellular Immunity


Specific Humoral Immunity
Effective mucosal immunity requires activation of
The adaptive immune response is required when both T-lymphocytes and B-lymphocytes. As dis-
innate mechanisms fail to contain invading organ- cussed earlier, the end result of much of the
isms. Key among the adaptive responses is the activity of the TLR system is the presentation of
development of pathogen-specific immunoglobu- antigen to, and activation of, naive T cells in lung
lins (antibodies). Primary disorders of antibody lymphoid tissue. Although B-cell activation leads
production, a number of which are recognized to the production of antigen-specific immunoglob-
(Table 2), are all associated with bronchiectasis. ulin, the primary effector arm of T-cell activation is

Table 2
Primary disorders of antibody production

Syndrome Deficiency Useful References


Common variable immune deficiency Low IgG, IgA,  low IgM 101–103

104,105
X-linked agammaglobulinemia Low IgG, IgA, and IgM
106
IgG subclass deficiencies 1 or more IgG1-4 low
107,108
Specific antibody deficiency Normal IgG and subclasses but
impaired response to vaccines
90
Selective IgA deficiency Low IgA
109
Selective IgM deficiency Low IgM
110
Hyper-IgM syndrome High IgM, low IgG and IgA
Airway Defense Mechanisms 205

the production of cytotoxic T-lymphocytes, which been a particular expansion of knowledge. The
are characterized by the expression of CD8. key role that small proteins and peptides such as
CD81 cytotoxic T-lymphocytes recognize specific defensins, cathelicidins, and collectins play are
epitopes on infected cells, and then target them for major new insights into how humans protect them-
elimination using a similar arsenal to NK cells.95 selves against pathogens. How many of these
There is also recent research that suggests that newly understood systems have faults that lead
CD81 lymphocytes may have direct antimicrobial to, or at least contribute to, the development of
activity against an array of pathogens.96 bronchiectasis will be a fruitful area of research
As well as activating CD81 cytotoxic T-lympho- in the next decade, particularly because they
cytes, dendritic and other antigen-presenting cells may be amenable to intervention with inhaled ther-
activate CD41 T-lymphocytes (known as T-helper apies, including stem cell approaches.
lymphocytes). Although they have no cytotoxic or
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