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AIDS PATIENT CARE and STDs

Volume 13, Number 3, 1999


Mary Ann Liebert, Inc.

HIV-Associated Dementia: New Insights into Disease


Pathogenesis and Therapeutic Interventions
SUSAN SWINDELLS, M.D., JIALIN ZHENG, M.D., Ph.D.,
and HOWARD E. GENDELMAN, M.D.

ABSTRACT

Remarkable progress was made in recent years in the therapeutics of HIV-1-associated de-
mentia (HAD) and in unraveling the complex pathophysiology that follows viral invasion of
the central nervous system (CNS). Viral replication in and outside of the CNS was
signifi-
cantly reduced in HIV-1 infected subjects by new potent antiretroviral therapies. This has re-
sulted in partial repair of cellular immune function with improvement in, and the
prevention
of, neurologic deficits associated with progressive HIV-1 disease. In regard to HAD patho-
physiology, it is now known that CNS damage induced by HIV-1 infection occurs indirectly.
Neuronal loss is mediated through immune activation and viral infection of mononuclear
phagocytes (MPs) (brain macrophages and microglia). Cellular and viral factors secreted by
brain MPs produce, over time, neuronal damage and drop out. Viral growth in the brain
ap-
pears necessary, but not sufficient, to produce cognitive and motor impairments in affected
individuals. Indeed, the best predictor for neurologic impairment following HIV-1 infection
is the absolute number of immune-competent macrophages; not the level of viral
production
in affected brain tissue. As yet, an understanding of macrophage-related neurodegeneration
has not translated into significant improvements in the treatment of this
devastating com-
plication of HIV disease. Nonetheless, adjunctive antiinflammatory and neuroprotective ther-
apies are being developed. New ideas regarding HAD neuropathogenesis, and implications
for the diagnosis and treatment of HAD are summarized in this article.

CHANGING TRENDS IN 1-infected individuals experience significant


EPIDEMIOLOGY neurologic impairment.1'3'4 Cognitive and mo-
tor impairments occur commonly in patients

Progressi
vdisorders
e HIV
immunosuppression
ated with
and its associated
disease

commonly associ-
are
of the central nervous sys-
with symptomatic HIV disease, rising with ad-
vancing immunosuppression.2'4-7 Antiretroviral
tem (CNS), the most frequent being HIV-1-as-
therapy has impacted both the incidence and
prevalence of HAD in the United States, begin-
sociated dementia (HAD).1-2 Estimates of ning during the era of zidovudine monotherapy.
disease prevalence vary among centers, but dur- Data from cohort studies dem-onstrated a clear
ing advanced disease more than 20% of HIV- decrease in the incidence of HAD following the

Center for Neurovirology and Neurodegenerative Disorders and Departments of Internal Medicine and Pathology
and Microbiology, University of Nebraska Medical Center, Omaha, Nebraska.
154 SWINDELLS ET AL.

general use of zidovudine.8 This is more pro- regulation of neurotrophic factors also may con-
nounced now that potent combination anti- tribute to decreased neuronal differentiation
retroviral therapy is the standard of care.9'10 Ex- and survival.24 The pathophysiologic effects of
tensive use of protease inhibitors is associated this metabolic cascade are believed to lead to
with dramatic declines in overall morbidity and neuronal death mediated through the CXCR4
mortality of HIV disease, including HAD.11'12 receptor on neurons.25 In this manner, the lig-
The incidence of HAD is projected at 3-5%. Im- and for CXCR4, stromal derived growth factor
plications for the long-term prevalence of HAD la, produced by glial cells or gpl20 secreted by
are less clear. Specific concerns are emerging for virus-infected macrophages, binds to this neu-
HAD and other HIV-associated clinical seque- ronal receptor and affects a series of intracellu-
lae following antiretroviral treatment failure in lar signaling events that ultimately lead to
some patients, associated with the emergence of changes in calcium channels at the N-methyl-D-
drug-resistant viral isolates.13 aspartate (NMDA) receptor.26 Such effects on
neuronal viability suggest a potential role for
NMDA or calcium channel antagonists in the
PATHOPHYSIOLOGY treatment of HAD. To this end, alternative/ad-
junctive therapies such as memantine or ni-
HAD occurs as an indirect consequence of modipine are currently under study.
viral infection of the CNS. Virus appears nec- Importantly, other neurodegenerative condi-
essary, but not sufficient, to induce neurologic tions, for example Alzheimer's disease (AD)
impairments. Although HIV enters the brain and Parkinson's disease (PD) appear to share
soon after viral infection and is present common pathogenetic pathways with HAD for
throughout the course of the disease, the re- brain disease.27 Similar to HAD, for AD and PD
sulting neurologic dysfunction occurs years neuronal damage is caused indirectly, induced
later and is associated with immunosuppres- through microglial activation by the accumu-
sion. Interestingly, HAD is not caused by ac- lation of abnormal host proteins or HIV. The
tive HIV replication in neurons. Instead, the resulting inflammatory response in the brain
target cells are mononuclear phagocytes (MPs) affects neuronal function and influences dis-
(brain macrophages and microglia).14'15 These ease pathogenesis. Clearly, the direct effects of

phagocytes, once infected, become immunoac- neuronal dysfunction by the underlying patho-
tive and produce a variety of secretory prod- logic process represents only a part of the over-
ucts, many of which are neurotoxic. The break- all disease. Glial activation in neurodegenera-
down of homeostatic mechanisms in the brain tive disorders can occur regardless of the
causes a cascade of inflammatory events lead- pathogenic insult, whether it be a microbial
ing to upregulation of cytokines and other im- pathogen, trauma, or an abnormal host protein.
munomodulators, including nitric oxide (NO), Neuronal dysfunction is mediated by glial se-
platelet activating factor (PAF), arachidonic cretory neurotoxic factors that amplify one an-
acid metabolites, quinolinic acid, leukotrienes, other through CNS autocrine immune path-
and the proinflammatory cytokines tumor ways, creating a vicious cycle of neural damage
necrosis factor-a, interferon-a and -ß, and that becomes self-sustaining. Figure 1 illus-
interleukin-1/3 and -6.16"21 A metabolic en- trates the complex neurotoxin circuits produc-
cephalopathy ensues that damages, and even- ing the inflammatory cascade that leads to neu-
tually destroys, neurons. High levels of neuro- ronal damage and death in HAD. The best
toxic factors have been found in the CSF and characterized HAD-associated neurotoxic fac-
brains of HIV-infected patients with neurologic tors are summarized in Table 1.
impairment, although their precise roles in
HAD pathogenesis remain unclear.18-20'22 Our
group previously demonstrated that many NEUROPATHOLOGY
HIV-1-induced neurotoxins are present at high
levels in plasma, exceeding those in CSF with Neuropathologic abnormalities seen in the
severe cognitive/motor impairment.23 Down- patients with HAD are usually
brain tissue of
HIV-1-ASSOCIATED DEMENTIA 155
Activated brain macrophages
and/or microglia Neuron
Priming TOXINS
(NO, QUIN, PAF, glutamate,
arachidonic acid)_^

Activation by secondary
infection and immune
stimuli (pro-inflammatory
cytokines, chemokines)

Peripheral infection
Monocyte and immune activation Tcell
FIG. 1. The pathophysiologic process of HIV-1-associated dementia. During monocyte maturation, macrophages
acquire ability to be productively infected by HIV-1. These virus-infected macrophages become immune activated
the
by a process that remains incompletely understood, but likely relates to peripheral cytokines or opportunistic infec-
tion. The HIV-1-infected activated brain macrophage secretes a variety of factors that affect neural function and CNS
inflammation, including but not limited to proinflammatory cytokines, chemokines, arachidonic acid and its metabo-
lites, quinolinic acid (QUIN), nitric oxide (NO), and platelet activating factor (PAF). Such immune factors induce ad-
hesion molecule (VCAM-1 and E-selectin) expression on brain microvascular endothelium. The breakdown of the
blood-brain barrier by immune factors and adhesion molecules affects the transendothelial migration into the brain
of leukocytes, predominantly macrophages. The release of progeny virions results in infection of the brain's en-
dogenous macrophage, the microglia, perpetuating the inflammatory cascade. Brain macrophages and microglia are
primed by HIV-1 and activated by secondary infection and immune stimuli (proinflammatory cytokines, chemokines)
or by T-cells trafficking in and out of the nervous
system. Activated brain macrophages/microglia induce a profound
astrogliosis through proinflammatory cytokines. These same cytokines may affect astrocyte function or lead to neu-
rotoxicity. Inevitably, the macrophage/microglial toxins cause neuronal death possibly through two mechanisms,
necrosis and apoptosis, by inducing excessive Ca2+ influx and affecting N-methyl-D-aspartate (NMDA) receptor ac-
tivations. The degree of neurotoxic macrophage responses are regulated by astrocytes. These cells may suppress
macrophage secretory activities or increase it, depending on their own functional status and whether they are ex-
posed to virus. Astrocytes are a major source of NO and stromal cell-derived factor 1 alpha (SDF-la). SDF-la and
progeny HIV-1 released from infected macrophages/microglia may bind CXCR4 expressed on neurons or astrocytes
and influence neural function.

diffuse and predominantly localized to the composed of elongated microglia, macro-


white and deep grey matter regions. Myelin phages, multinucleated giant cells, and occa-
pallor and inflammatory infiltrates composed sional lymphocytes29; some may have
even
of macrophages and multinucleated giant cells necrotic centers. Leukencephalopathy is
dif- a
are the hallmarks of this disease process, al- fuse process, often without prominent signs of
though a spectrum of lesions has been identi- inflammation. Myelin pallor is often seen, with
fied from encephalitis to leukoencephalopa- actual myelin breakdown and debris, as well
thy.26'28'29 HIV-1 encephalitis is characterized as macrophages, including multinucleated gi-

by disseminated, multifocal microgranulomas ant cells and reactive astrogliosis.


156 SWINDELLS ET AL.

Table 1. Putative Neurotoxic Factors 1-associated cognitive motor complex," was in-
Secreted by Brain Macrophages and
Microglia in HIV-Associated Dementia
troduced. This refers to mild signs or symptoms
and minimal functional impairment, analogous
Proinflammatory cytokines: IL-1, IL-2, IL-6, TNF to stage 1 in AIDS dementia complex staging.
Excitatory amino acids: quinolinic acid and glutamate The terms "HIV-associated dementia" and
Eicosanoids/arachidonic acid metabolites
Quindinic acid "HIV-associated myelopathy" are used under
Nitric oxide this classification system for patients with more
Platelet activating factor
Intracellular calcium induced by N-methyl-D-aspartate severe impairment, analogous to AIDS demen-

(NMDA)
Viral coat protein (gpl20), Tat, Nef, rev
tia complex greater or equal to stage 2. Al-
though the newer classifications have utility for
experts in the field and in research, most clini-
cians continue to use the simpler original AIDS
CLINICAL MANIFESTATIONS dementia complex staging. HIV encephalitis or
encephalopathy are pathological terms rather
The characteristic clinical feature of HAD is than clinical terms, although HIV encephalopa-
disabling cognitive impairment, often accom- thy remains the preferred term for children.33
panied by motor dysfunction, behavioral Although synonymous, in adults, "HIV-1-asso-
changes, or both.1'3 Degrees of impairment in ciated dementia" is now the preferred term
each of these categories may vary between rather than "AIDS dementia complex."
patients, and within patients over time. Pa-
tients with cognitive impairment typically have
difficulty with concentration and memory, DIAGNOSTIC EVALUATIONS
progressing to frank confusion. Behavioral
changes observed include apathy, lethargy, HAD remains a diagnosis of exclusion.
and social withdrawal. Differentiating this syn- Nonetheless, there are a variety of evaluations
drome from depression can be difficult. Addi- that, taken together, permit a definitive diag-
tional information from friends or family close nosis. In addition to a careful history and phys-
to the patient can be helpful to the clinician. ical examination including neurologic assess-
Early motor symptoms include unsteady gait, ment, the following analyses have utility in this
limb weakness, and tremor. Late changes are setting.
indicative of global neurologic dysfunction:
weakness (prominently of the lower extremi- Neuropsychological testing
ties, causing an inability to walk unassisted)
lack of coordination, hyperreflexia, and blad- Neuropsychological testing is helpful as an
to the neurologic examination in that it
der or bowel dysfunction. Frontal lobe release adjunct
signs such as the snout reflex also may be de-
tected. Table 2. Staging for the AIDS Dementia Complex

Stage 0 (Normal): Normal mental and motor function


DISEASE CLASSIFICATION Stage 0.5 (Subclinical): Minimal symptoms of cognitive
or motor dysfunction, but no impairment of work or

performance of daily duties


When first identified, the etiology of HAD Stage 1 (Mild): Unequivocal evidence of functional,
was unclear. The constellation of signs and intellectual, or motor impairment, but able to
perform all but the more demanding aspects of
symptoms was termed the AIDS dementia com- work; fully ambulatory
plex. A five-part staging system was subse- Stage 2 (Moderate): Unable to perform demanding
quently developed1-30 (Table 2). Since then, the daily activities, but can accomplish basic self-care
activities; ambulatory, but may require a single prop
World Health Organization and the American Stage 3 (Severe): Major intellectual incapacity or motor
Academy of Neurology have each generated disability
more complex and detailed classifications.31'32 Stage 4 (End stage): Nearly vegetative and/or mute;
paraparetic or paraplegic with double incontinence
Separate categories for myelopathy and de-
mentia were included, and a new term, "HIV- Adapted with permission.30
HIV-1-ASSOCIATED DEMENTIA 157

better defines areas involved and improves of detecting early functional abnormalities be-
quantification of cognitive/motor impairment. fore structural changes occur, and several pre-
Neuropsychological testing generally demon- liminary studies have been reported.39 Meta-
strates deficits in areas of attention, memory, bolic neuroimaging using magnetic resonance
mental flexibility, and motor speed. Tests that spectroscopy (MRS) is a noninvasive method
have been found to be diagnostically sensitive of quantitating neuronal loss performed with
in patients with HAD include trail making B, conventional magnetic resonance imagers. As-
digit symbol, grooved pegboard, and the com- sessment of in vivo metabolism provides bio-
puterized reaction time.34-37 The influence of chemical information that can complement the
age, education, and comorbid conditions such morphologic information from the MRI exam-
as systemic illness, previous head trauma, or ination, and in a quantitative fashion. Several
substance abuse must be considered when in- groups, including our own, have reported a re-
terpreting results of neuropsychological test- duction in N-acetylaspartate, a marker for neu-
ing. Moreover, although complete neuropsy- ronal loss, using in vivo proton aH MRS in pa-
chological testing remains the gold standard, tients with advanced HIV disease41^14 (Fig. 2B
such an evaluation is not always readily avail- and C). aH MRS has demonstrated progressive
able or practical. Simpler test batteries that can neuronal loss over time in HIV-infected indi-
be administered by clinicians at the bedside viduals, and the degree of neuronal loss ob-
also may be used when necessary. For exam- served correlates directly with neurologic im-
ple, the HIV Dementia Scale (HDS) is a reliable pairment.44'45
and quantifiable adaptation of the Mini-Men- These metabolic changes often precede clin-
tal Status Examination.38 The HDS consists of ical or morphologic changes and may have
four subtests: timed written alphabet, recall of utility as markers for early diagnosis. Evidence
four items at 5 minutes, cube copy time, and is accumulating that 1H MRS may be help-
antisaccadic errors. This instrument reliably ful in the differential diagnosis of HAD and
detects HAD, distinguishes HIV-infected pa- other neurologic disorders associated with HIV
tients with and without mild dementia, and is disease, for example, other metabolic en-
not unduly influenced by depression. HDS cephalopathies,46 or in the differentiation of
scores are relatively independent of age and ed- CNS toxoplasmosis and lymphoma.39 Improv-
ucation, and the test is simple to administer, ing technology has translated into increasing
with minimal instrumentation required. sensitivity of MRS to detect metabolic alter-
ations and neuronal loss much earlier than con-
ventional neuroimaging, and in a quantitative
Neuroimaging studies fashion. Although available at an increasing
Radiographic and functional imaging stud- number of referral centers, MRS is still
ies can often further delineate the structural primarily a research tool and not generally re-
and metabolic effects of HIV on the brain. Com- imbursable by third-party payors.
puterized tomography of the brain characteris-
tically shows cerebral atrophy in the majority Cerebrospinal fluid analysis
of patients with dementia, but atrophie changes
also may be present in asymptomatic individ- Abnormalities of the cerebrospinal fluid
uals.39 Magnetic resonance imaging (MRI) of (CSF) in HAD are generally nonspecific, with
the brain is generally more sensitive and often mild elevations in protein or pleocytosis.47
shows additional white matter abnormalities40 Plasma HIV RNA assays are now used in both
(Fig. 2A). clinical trials and treatment of patients.48 It ap-
Several advanced neuroimaging techniques pears that HIV-1 RNA levels in CSF correlate
that measure functional changes are under with the presence of cognitive impairment
study in HAD. These include single-photon rather than with plasma HIV-1 RNA levels.49"54
emission computed tomography, positron- The precise relationship of HIV-1 RNA values
emission tomography, and functional MRI. in CSF and the risk of development or pro-
These techniques have the potential advantage gression of neurologic disease has not yet been
158 SWINDELLS ET AL.

FIG. 2. A: Magnetic resonance imaging (MRI) of the brain with gadolinium in a patient with HAD showing mild
generalized atrophy. Diffuse increased signal intensity is present throughout the white matter of the cerebral hemi-
spheres on proton density and T2 weighing consistent with diffuse leukoencephalopathy (arrows). (Reprinted with
permission.23) B: Myo, myoinositol; Cho, choline; Cr, crearme; NAA, N-acetylaspartate. Single-voxel (8 cm3) magnetic
resonance spectroscopy (MRS) in the parietal lobe of a patient with HAD exhibiting a decreased N-acetylaspartate
peak (indicative of neuronal loss). Brain MRI was normal. Creatine and choline peaks are within the normal range.
The NAA-to-creatine ratio is 1.38, choline-to-creatine ratio 0.96, and myoinositol-to-creatine ratio 0.73. C: Normal MRS
for comparison from a similar area of brain in an HIV-infected patient without dementia of the same age, sex, and
stage of disease. The NAA-to-creatine ratio is 1.56, choline-to-creatine ratio 0.66, and myoinositol-to-creatine ratio
0.63.

elucidated. Monitoring of HIV-1 RNA levels in values is high, and minor neurologic dysfunc-
CSF and other body fluids or tissues is not gen- tion is not associated with high CSF HIV RNA
erally available or currently recommended. Be- levels.49'50 Although probably more biologi-
cause the amount of HIV in the CNS is small, cally relevant, HIV RNA levels in the brain are
even in patients with neurologic disease, CSF obviously difficult to ascertain. Most human
RNA levels are also relatively small (usually studies to date have been performed post-
about 1 log lower than plasma levels). Unfor- mortem and are too small to subject to statisti-
tunately, the false-negative rate of CSF RNA cal analysis.55'56
HIV-1-ASSOCIATED DEMENTIA 159

THERAPY able assays, increase CD4 T-lymphocyte


counts, and improve morbidity and mortal-
The critical role of productive viral infection ity.9'10 Nevertheless, less is known about the ef-
in the neuropathogenesis of HAD supports the ficacy of potent antiretroviral therapy in the
notion that antiretroviral agents should be used prevention and treatment of CNS complica-
to treat dementia. This approach is both logi- tions of HIV-1 disease, particularly dementia.
cal and well-founded in disease mechanisms. Many available antiretroviral compounds are
However, despite remarkable recent advances highly plasma protein bound, and therefore do
in the treatment of HIV disease, effective ther- not have good penetration of the blood-brain
apies for dementia still lacking. Zidovudine
are barrier. The degree to which some newer drugs
is the only drug to date with any demonstrated in development infiltrate CSF is not known,
efficacy in the treatment of dementia.57-61 and the CSF penetrance of available protease
However, optimal dosing and the potential role inhibitors is negligible (Table 3). Whether or
of ZDV in the prevention of dementia remain not CNS penetrance is critical or if suppression
unclear. Despite its relatively poor CSF pene- of plasma viremia may be adequate, preven-
tration, didanosine has been shown to be use- tion and treatment for CNS HIV-related dis-
ful for AIDS dementia in children.62 eases is not known. Some experts believe that
Because of the critical role of cytokines and inclusion of a drug with good CSF penetrance
other immunomodulators in the pathogenesis in antiretroviral combinations is an important
of HAD, some investigators postulate that ad- component, although there are no data to guide
junctive therapies may be necessary to treat de- the practicing physician.
mentia effectively. AIDS Clinical Trial Group Concern exists that HIV may continue to
protocol 162 examined 41 HIV-1-infected pa- replicate (albeit at low levels) in anatomic com-
tients with varying degrees of dementia to partments such as lymphoid tissue, the genital
evaluate the effects of nimodipine, a calcium tract, and the CNS, to which most antiretrovi-
channel blocker.63 The results showed that ni- ral agents have limited access. These potential
modipine was safe, but the study was not suf- viral sanctuaries may act as reservoirs, con-
ficiently powered for efficacy, and only a trend tributing to antiretroviral drug resistance and
toward improvement in neuropsychological possibly leading to reinfection of plasma if an-
performance was seen. Clinical trials of other tiretroviral therapy is discontinued. HAD may
compounds are underway. still emerge as a consequence of inadequate tis-
Potent antiretroviral combination therapies sue penetrance of medications, or back-muta-
have been shown to suppress plasma viremia tion of HIV-1 from CNS to the blood compart-
below the limit of detection of currently avail- ment. Autopsy studies suggest that only tissues

Table 3. CSF Penetration of Approved Antiretroviral Agents


Expressed as Mean Ratio of CSF to Plasma Concentrations
Mean ratio of Plasma:
Drug CSF concentrations References
Zidovudine (Retrovir) 60% 69
Didanosine (Videx) 20% 70
Zalcitabine (Hivid) 20% 71
Stavudine (Zerit) 40% 72
Lamivudine (Epivir)
Abacavir
10%
36%
45%

11
76,75
Nevirapine (Viramune)
Delavirdine (Rescriptor) 0.4% 77
Efavirenz (Sustiva) 1%
Saquinavir (Invirase) Negligible 79
Ritonavir (Norvir) Negligible Personal communication,
Abbott Laboratories
Indinavir (Crixivan) 2.2%-76% (60% plasma protein bound) 81,80
Nelfinavir Not known (>98% plasma protein bound) 82
160 SWINDELLS ET AL.

in which macrophages are the main target for ease. Effective and durable therapies for de-
HIV-1 harbor viral sequences that cluster sep- mentia remain in development.
arately. In other words, the brain may be the
only true viral reservoir.64
Encouragingly, anecdotal reports already ACKNOWLEDGMENT
suggest improvement in severe HAD after ini-
tiation of therapy with protease inhibitors.65 The authors are deeply indebted to James Mc-
Profoundly demented patients treated with Connell, M.D., Associate Professor of Radiology,
triple antiretroviral therapy at our center have University of Nebraska Medical Center, Depart-
evidenced dramatic reversal of cognitive im- ment of Radiology, for providing the illustra-
pairment, concomitant with reduction of viral tions of magnetic resonance spectroscopy.
load in plasma, and to a lesser degree in CSF.23
Significantly, this was accompanied by a more
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HIV-1-ASSOCIATED DEMENTIA 163

72. Zerit (stavudine) package insert. Bristol-Myers crobial Agents and Chemotherapy (ICAAC), Toronto,
Squibb, Princeton, NJ, revised October 1996. Canada, September 28, 1997 [Abstract A12].
73. Epivir (lamivudine) package insert. Glaxo Wellcome, 79. Invirase (saquinavir mesylate) package insert.
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subjects and "sparse sampling" techniques. Int Conf dinavir therapy. 35th Annual Meeting of the Infec-
AIDS 1998;12:827-8 [Abstract 42271]. tious Diseases Society of America (IDSA), San Fran-
75. Silverstein H, Riska P, Johnstone JN, et al. Nevirap- cisco, CA, September 13-16,1997 [Abstract 22].
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76. Glynn SL, Yazdanian M. In vitro blood-brain barrier Address reprint requests to:
permeability of nevirapine compared to other HIV an- Susan Swindells, M.D.
tiretroviral agents. J Pharm Sei 1998;87:306-310. University of Nebraska Medical Center
77. Rescriptor (delavirdine) package insert. Pharmacia
Department of Internal Medicine
Upjohn, Kalamazoo, MI, April 1997. Section of Infectious Diseases
78. Fiske WD, Nibbelink DW, Brennan JM, Mutlib AE,
Ruiz NM. DMP 266 Cerebrospinal fluid concentra-
985400 Nebraska Medical Center
tions (CSF) after oral administration. 37th Annual Omaha, NE 68198-5400
Meeting of the Interscience Conference on Antimi- E-mail: sswindel@aries.unmc.edu

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