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Review Article
Pleural, pericardial, and peritoneal effusion specimens present diagnostic challenges and clinical opportunities for cytol-
ogy. For the patient, these specimens may be the first diagnosis of malignancy or the first sign of disease recurrence. This
review aims to provide useful approaches with which to resolve key difficulties in cytologic diagnosis through the use of
ancillary studies, focusing on immunohistochemistry. These approaches are suggested in concert with clinical, radio-
graphic, and morphologic findings. The differentiation of reactive mesothelial cells from malignant mesothelioma and
adenocarcinoma is a recurring theme, and Wilms tumor 1 (WT1)/AE1/AE3, claudin 4, and BRCA1-associated protein 1
(BAP1) immunostains are useful new tools in the armamentarium. A targeted workup is suggested for patients with no
known primary site or with multiple prior malignancies. Molecular and other biomarker testing can be performed on even
modestly cellular fluid specimens and may allow patients to benefit from targeted therapy without the need for addi-
tional tissue biopsies. Cancer Cytopathol 2018;126:590-8. © 2018 American Cancer Society.
KEY WORDS: ascites, BRCA1-associated protein 1 (BAP1), claudin 4, cytopathology, immunohistochemistry, mesotheli-
oma, neoplasms, pericardial effusion, pleural effusion, precision medicine, unknown primary
INTRODUCTION
Body cavity fluids, including pleural, pericardial, and peritoneal fluids, present an important diagnostic
opportunity for cytopathologists. Pleural effusions and peritoneal effusions (ascites) usually are collected using
minimally invasive methods, and effusions often are drained for therapeutic reasons. These fluids may rep-
resent the first diagnosis of cancer in patients with an occult tumor, and an effusion may be an early sign of
disease recurrence.
Although cytomorphology is the fundamental basis of a cytologic diagnosis, ancillary studies are playing
a growing role in the workup of body fluid specimens. Immunohistochemical (IHC) stains on formalin-fixed,
paraffin-embedded (FFPE) cell block sections are the most popular and readily available method and are the
focus of this review. Specific applications of IHC include: 1) resolving the mesothelial or epithelial origin of
isolated atypical cells and cell clusters; and 2) identifying the primary site of malignancy in a patient with a
history of multiple malignancies or an unknown primary site. In all cases, the morphology, clinical history,
and radiographic findings help guide the choice of ancillary studies to optimize small specimens and to reduce
costs while providing the most diagnostically useful information. This review provides an overview of helpful
ancillary methods and tips for approaching challenging cases.
volume and turbidity of the specimen, as well as whether a Individual IHC stains and their applications and pitfalls
sufficient cell button is formed after centrifugation of the are discussed below.
fluid. One group has suggested a minimum fluid volume
of 60 to 75 mL for the adequate evaluation of fluids.1,2 Distinguishing Among Adenocarcinoma,
Creating a cell block upfront reduces any delay should Malignant Mesothelioma, and Reactive
IHC be needed and decreases the number of times the Mesothelial Proliferations
specimen needs to be stored and located in the cytopre-
paratory workflow. Wilms Tumor 1/AE1/AE3 cytokeratin dual stain
Several cell block preparations are available, each Multiplexed IHC stains offer both efficiency and
with distinct advantages and limitations3‒5; a detailed improved diagnostic information in histopathologic
discussion is beyond the scope of this review. Important and cytopathologic applications. For example, in breast
pathology, a dual myoepithelial IHC stain allows for
considerations when choosing a cell block technique in-
the assessment of the myoepithelial layer by 2 different
clude the cost, workflow impact, technical skill required,
markers on a single slide.6 Using a prostate carcinoma
scalability, cellular yield, preservation of cytomorphol-
triple stain, one slide can be used to assess simultaneously
ogy, and performance with IHC stains. for the presence of alpha-methylacyl-CoA racemase
Cell block preparation provides a means of concen- (AMACR) in adenocarcinoma and the intactness of the
trating paucicellular specimens and may capture larger tis- basal layer.7 In effusion cytology, the Wilms tumor 1/
sue fragments. Cut sections of a cell block may reveal the AE1/AE3 cytokeratin (CK) (WT1/AE1/AE3) dual stain
internal structure of thick, 3-dimensional groups (eg, fi- is a multipurpose tool for colocalizing the expression
brovascular cores, hollow “cannon ball” spheres, solid cel- of these 2 proteins within the same cells. WT1 is a
lular groups, or psammomatous calcifications). In larger transcriptional regulator used for its nuclear staining in
cellular groups and tissue fragments, cell blocks also may benign mesothelial cells and malignant mesothelioma; it
improve the visualization of nuclear and cytoplasmic fea- also is expressed in the nuclei of serous neoplasms (see
tures. When ordering an initial panel of IHC stains on later discussion of BRCA1-associated protein 1 [BAP1]),
but the majority of other carcinomas are negative (Fig.
a cell block, cutting extra unstained slides upfront may
2).8 AE1/AE3 is a CK antibody that highlights the
be helpful for conserving small cell block specimens to
cytoplasm of both epithelial cells and mesothelial cells.
reduce the amount of specimen loss due to multiple block
Thus, dual staining with WT1/AE1/AE3 distinguishes
facings. An initial batch of 10 unstained slides usually is cells of mesothelial origin from the majority of epithelial
sufficient for a diagnostic workup in all but the most chal- cells,8 which is particularly useful when clusters of cells
lenging cases. For thoracic specimens and other specimens with indeterminate morphology are observed on the
likely to require subsequent molecular or other biomarker cell block. The dual stain is ideally implemented with
testing, 15 unstained slides may be considered. different chromogens for WT1 and AE1/AE3 (eg, a
Preparation of additional cytospin slides, ThinPrep brown chromogen for WT1 and a red chromogen for
(Hologic, Marlborough, Massachusetts) or SurePath AE1/AE3). This dual stain has 2 additional diagnostic
(Becton, Dickinson and Company, Franklin Lakes, New uses: cytoplasmic staining for WT1 is characteristic
Jersey) slides, or smears for immunocytochemistry or of melanoma and some sarcomas,8 and AE1/AE3
fluorescence in situ hybridization (FISH) can be an al- demonstrates a weak, perinuclear “dot-like” pattern in
small cell carcinoma.9 In the majority of cases, this stain
ternative or adjunct to cell blocks. These tests should be
is sufficient on its own to differentiate mesothelial from
validated as appropriate for the specimen type, fixation
epithelial cells, and to identify background macrophages
conditions, and cytologic preparation, or a disclaimer
by negative staining.
added to the interpretation.
Figure 1. Algorithm for immunohistochemistry (IHC) of challenging effusion specimens. Wilms tumor 1 (WT1)/AE1/AE3 dual
stain and claudin 4 comprise the initial basic panel, with additional stains added either upfront or in a stepwise fashion, based
on clinical, radiographic, and morphologic features. Retained BRCA1-associated protein 1 (BAP1) staining in background
inflammatory cells is depicted as an internal control for BAP1 loss.
Cytokeratin (CK) 7* and other keratins may be positive in mesothelial cells, and therefore these stains should be interpreted with
caution and within the context of other stains and morphological features.
+ indicates positive; -, negative; CDX2, caudal type homeobox 2; GATA3, GATA-binding protein 3; PAX8, paired box 8; SATB2,
SATB homeobox 2; TTF-1, thyroid transcription factor 1.
mesothelial origin is suspected but WT1 is negative or although 11% (8 of 75 cases) had weak cytoplasmic
equivocal, a panel of additional markers may be useful. staining, which is considered nonspecific.12 In our prac-
Other markers that have lower specificity and may stain tice, we no longer routinely use Ber-EP4 or MOC-31
some adenocarcinomas include calretinin (nuclear and because we have found claudin 4 to be more useful. In
cytoplasmic), D2-40 (also known as podoplanin; mem- laboratories in which claudin 4 is not available, Ber-EP4
branous pattern), and mesothelin (membranous).10 and MOC-31 still are of use, perhaps together with a
mesothelial marker such as WT1 when malignant meso-
thelioma enters the differential diagnosis.
Claudin 4
Claudin 4 is a tight junction-associated protein,12 and
staining for claudin 4 now is a preferred pan-adenocarci- BAP1, a new marker that is helpful in
noma marker. A positive result demonstrates crisp mem- distinguishing reactive mesothelial cells from
branous staining (Fig. 2). Claudin 4 shows improved malignant mesothelioma
sensitivity and specificity over Ber-EP4 and MOC-31 The distinction between reactive and malignant mesothe-
for distinguishing adenocarcinoma from cells of meso- lial cells has long been a challenge in effusion cytology.
thelial origin.13‒15 Although Ber-EP4 and MOC-31 are In biopsy specimens, pleural invasion aids in the diag-
reasonably sensitive as adenocarcinoma markers, both nosis of malignant mesothelioma; however, in cytologic
demonstrate positive staining in a subset of epithelioid specimens, in which invasion per se cannot be assessed,
mesotheliomas, which represents a potential diagnos- malignant mesothelioma is difficult to diagnose with
tic pitfall in effusion specimens.14,15 A study found no certainty, except perhaps when a patient with a robust
membranous staining in 75 malignant mesotheliomas, asbestos exposure history, recurrent pleural effusions, and
Figure 2. (A-C) Serous borderline tumor (peritoneal fluid). (A) H & E staining. (B) Wilms tumor 1 (WT1)/AE1/AE3 dual stain (WT1
in brown and AE1/AE3 in red). (C) Membranous claudin 4 staining. (D-F) Metastatic poorly differentiated carcinoma (pleural
fluid). (D) H & E staining. (E) WT1/AE1/AE3 dual stain (WT1 in brown and AE1/AE3 in red; note the background mesothelial cell
in the upper left). (F) Membranous claudin 4 staining.
characteristic radiographic findings has a clearly malig- mesotheliomas but retained in benign mesothelial prolif-
nant effusion with abundant large (“mulberry-like”) cell erations, and its performance correlates well with 9p21
clusters with a mesothelial immunophenotype. Until re- FISH (p16 deletion).18,19 It is important to note that
cently, epithelial membrane antigen was perhaps the best patchy BAP1 staining may be noted in benign and reac-
marker for distinguishing benign mesothelial cells from tive mesothelial populations, and thus caution should be
malignant mesothelioma, but some studies reported a observed when making an interpretation of BAP1 loss in
lower sensitivity.16 Thus, it was not widely used for this
effusion specimens containing rare atypical cells.20 Special
purpose. In addition, the specificity of epithelial mem-
attention should be paid to background inflammatory
brane antigen staining varies by the specific antibody
clone that is used. Other markers, such as desmin and cells, an essential internal control for BAP1 staining (Fig.
glucose transporter type 1 (GLUT-1), also have been 3). A major differential diagnostic consideration within the
proposed to distinguish between benign and malignant context of malignant mesothelioma is serous carcinoma of
mesothelial cells, but significant overlap between the 2 the gynecologic tract, both of which are WT1 positive.
has been demonstrated, and therefore these markers do BAP1 is retained in nearly all serous carcinomas,21 making
not provide sufficient specificity for clinical practice.10,16 it a useful addition to a panel to differentiate between ma-
A big step forward was the recent availability of the lignant mesothelioma and serous carcinoma, which also
BAP1 immunostain, a relatively new marker that is ex- could include calretinin (usually positive in mesothelial
pressed in the nuclei of benign mesothelial cells but is cells) and paired box 8 (PAX8) (usually positive in serous
absent in greater than one-half of cases of malignant me- carcinoma), as discussed in more detail below.
sothelioma.17 The BAP1 gene is located at 3p21, which is
lost in approximately 30% of mesotheliomas.17 Including Additional studies to differentiate
mesotheliomas with BAP1 truncations and other muta- reactive mesothelial cells from malignant
tions, approximately 60% to 79% of mesotheliomas have mesothelioma
genetic alterations in BAP1.17 Accordingly, IHC stain- In addition to the aforementioned IHC stains, several nucleic
ing for BAP1 is lost in a substantial subset of malignant acid-based tests are available for the diagnosis of malignant
Figure 3. BRCA1-associated protein 1 (BAP1) loss in mesothelial populations favors a malignant origin. (A and B) Malignant
mesothelioma demonstrating a single-cell pattern (A: H & E staining; B: BAP1 immunohistochemical stain). (C and D) Malignant
mesothelioma demonstrating mulberry-like cell clusters (C: H & E staining; D: BAP1 immunohistochemical stain). Note the
retained BAP1 staining in inflammatory cells as an essential internal control.
mesothelioma. These include conventional cytogenetics (re- cytomorphologic examination of the fluid. A personal
quiring the allocation of fresh specimen for culture), FISH, history of malignancy is a key consideration in guiding
UroVysion (Abbott Molecular Inc, Des Plaines, Illinois), the diagnostic workup. Additional detailed history might
and comparative genomic hybridization arrays.22‒25 The include a history of carcinogenic exposures (eg, tobacco
combination of karyotyping and 9p21 and 22q deletions use or asbestos exposure), symptoms and signs indicating
by FISH in patients with malignant mesothelioma detected a possible primary tumor localization (eg, melena), and
diagnostic abnormalities in approximately 54% of patients a family history of malignancy. A high level of clinical
(13 of 24 patients), including 8 whose specimens were nega- concern for a specific primary site may lower the thresh-
tive or suspicious for malignant mesothelioma on cytology.22 old for ordering confirmatory IHC stains. A discussion
Potential pitfalls include the confirmation of the mesothelial of specific IHC workup strategies by effusion site follows.
origin of the cells of interest, because other malignancies Morphologic evaluation of the fluid may suggest a
may share these chromosomal alterations. particular lineage or differential diagnosis. Mesothelial
features such as microvillous “lacy skirt” borders, windows
Workup of Malignant Effusions to Determine between adjacent cells, and multinucleation suggest meso-
Site of Origin thelial origin and allow targeting of the IHC panel. Isolated
The most cost-effective “studies” for the initial evalu- atypical cells may represent reactive mesothelial cells, me-
ation of malignant effusions are a thorough review sothelioma, adenocarcinoma, melanoma, lymphoma, or
of the clinical history and radiographic findings and less common entities such as metastatic sarcoma.
most often associated with human immunodeficiency tumor percentage because the counterstain affords mor-
virus together with human herpesvirus 8 viral infec- phologic identification of tumor cells. ALK has been par-
tion.31 Morphologically, primary effusion lymphoma is ticularly well studied in cytology specimens.36 ALK IHC
a large B-cell lymphoma with a plasmablastic, immuno- staining is acceptable as an alternative to FISH, as per the
blastic, or anaplastic appearance.26 On flow cytometry, College of American Pathologists guideline for molecular
the cells usually are positive for CD45 and negative for testing in patients with lung cancer.37 However, ROS1
IHC staining should be confirmed by follow-up FISH or
the majority of B-cell markers. The cells may express ac-
a molecular method.37 Programmed death-ligand 1 (PD-
tivation-associated antigens, such as human leukocyte
L1) has been reported in cytology specimens containing
antigen–antigen D related (HLA-DR), and sometimes ≥100 well-preserved tumor cells, with good concordance
are identified by aberrant T-cell marker expression.32 with surgical specimens.38 To the best of our knowledge,
The detection of human herpesvirus 8 viral infection, there are very few data to date regarding reporting PD-L1
which may be performed by IHC staining of a cell block, in specimens that contain <100 well-preserved tumor
is essential to the diagnosis.32 cells. Thus, PD-L1 should be interpreted cautiously in
Eosinophil-rich pleural effusions are not infrequent; specimens with low cellularity. If PD-L1 is reported in
the most common cause is pneumothorax (spontaneous lower cellularity specimens, an explanatory note should
or iatrogenic), although Churg-Strauss syndrome is a po- indicate that the interpretation might be limited by the
tential consideration.26 The presence of increased eosin- low cellularity. Because of the clinical importance of pre-
ophils within a background of mixed inflammatory cells dictive biomarkers, the College of American Pathologists
may raise concern for Hodgkin lymphoma, in which guidelines for validation of these biomarkers are more
stringent than those for other stains.39
IHC staining as described in the above paragraph may
be of use. Langerhans cell histiocytosis is exceptionally Conclusions
rare in pleural fluids.33
Pleural, pericardial, and peritoneal effusions are challeng-
Molecular and Biomarker Testing in ing yet highly clinically useful specimens for the initial
Effusion Specimens diagnosis of malignancy and the early identification of
disease recurrence in patients with cancer. The morpho-
Effusion cytology specimens are a valuable resource for
logic evaluation of effusion specimens has been greatly
molecular testing. Smears, cytospin preparations, liquid-
enhanced recently by the addition of new IHC stains that
based preparation slides, and cell blocks all can be used
help with morphologically ambiguous fluids. Targeted
for molecular testing. FFPE cell blocks fit easily into
panels of IHC stains in combination with clinical and
existing workflows built around FFPE surgical tissue.
morphologic features provide more specific diagnoses
However, alcohol-fixed or air-dried and stained cytology
than ever before, which may eliminate the need for more
slides can be scraped and used for molecular testing, and
invasive tissue sampling. In addition, cytology slides and
may yield higher quality nucleic acid due to the lack of
cell block preparations may be used for molecular and
formalin crosslinking artifacts.34 Appropriate validation
other biomarker testing. These opportunities continue to
of molecular tests for the cytologic preparation and fixa-
shape the cytopathologist's role as a minimally invasive
tive type is important, particularly because the amount
diagnostician in the era of precision medicine.
of input DNA may need to be adjusted. In selected cases,
it may be helpful to reserve a portion of the fresh speci- FUNDING SUPPORT
men for prompt nucleic acid extraction and next-gener- No specific funding was disclosed.
ation sequencing to avoid the damage to nucleic acids
caused by formalin fixation. Effusions with even low to CONFLICT OF INTEREST DISCLOSURES
moderate tumor quantity can be used for next-generation The authors made no disclosures.
sequencing and for single-gene tests, although a low per-
centage of tumor in relation to background mesothelial AUTHOR CONTRIBUTIONS
or inflammatory elements may be limiting.35 Anaplastic Kaitlin E. Sundling: Conceptualization, writing-original
lymphoma kinase (ALK) and reactive oxygen species 1 draft, and writing–review and editing. Edmund S. Cibas:
(ROS1) IHC stains may be useful in specimens with a low Conceptualization and writing–review and editing.
36. Thunnissen E, Allen TC, Adam J, et al. Immunohistochemistry of 38. Heymann JJ, Bulman WA, Swinarski D, et al. PD-L1 expression
pulmonary biomarkers: a perspective from members of the Pulmonary in non-small cell lung carcinoma: comparison among cytology,
Pathology Society. Arch Pathol Lab Med. 2018;142:408-419. small biopsy, and surgical resection specimens. Cancer Cytopathol.
37. Lindeman NI, Cagle PT, Aisner DL, et al. Updated molecular 2017;125:896-907.
testing guideline for the selection of lung cancer patients for treat- 39. Stuart LN, Volmar KE, Nowak JA, et al. Analytic validation
ment with targeted tyrosine kinase inhibitors: guideline from the of immunohistochemistry assays: new benchmark data from
College of American Pathologists, the International Association a survey of 1085 laboratories. Arch Pathol Lab Med. 2017;141:
for the Study of Lung Cancer, and the Association for Molecular 1255-1261.
Pathology. J Mol Diagn. 2018;20:129-159.