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1 The of a single toe in : causes, consequences, and the way forward

2 Brianna K. McHorse,1,*,†,‡ Andrew A. Biewener,*,† and Stephanie E. Pierce*,‡

3

4 *Department of Organismic and , Harvard University, Cambridge, MA 02138, USA;

5 †Concord Field Station, Harvard University, Bedford, MA 01730, USA; ‡Museum of Comparative Zoology,

6 Harvard University, Cambridge, MA 02138, USA

7

8 1 [email protected]

9

10 Abstract

11 Horses are a classic example of in three major traits—large body size, tall-

12 crowned teeth (hypsodonty), and a single toe (monodactyly)—but how and why monodactyly evolved is

13 still poorly understood. Existing hypotheses usually connect digit reduction in horses to the spread and

14 eventual dominance of open-habitat grasslands, which took over from forests during the ; digit

15 reduction has been argued to be an for speed, locomotor economy, stability, and/or

16 increased body size. In this review, we assess the evidence for these (not necessarily mutually exclusive)

17 hypotheses from a variety of related fields, including paleoecology, phylogenetic comparative methods,

18 and biomechanics. of digit reduction, including in litopterns and artiodactyls, is

19 also considered. We find it unlikely that a single evolutionary driver was responsible for the evolution of

20 monodactyly, because changes in body size, foot posture, habitat, and substrate are frequently found to

21 influence one another (and to connect to broader potential drivers, such as changing climate). We

22 conclude with suggestions for future research to help untangle the complex dynamics of this remarkable

23 morphological change in extinct horses. A path forward should combine regional paleoecology studies, Evolution of a single toe in horses 2

24 quantitative biomechanical work, and make use of convergence and modern analogs to estimate the

25 relative contributions of potential evolutionary drivers for digit reduction.

26

27 Total words in text: 7608

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29 Introduction

30 evolution and grasslands

31 Horses are the only living members of the family , which today comprises just six

32 in the (including , asses, and caballine horses, the group to which domestic horses

33 belong). In contrast to today’s paucity of species, the equid record includes nearly 50 genera and

34 hundreds of species over the last 58 million years (MacFadden 1994). The earliest equids were only dog-

35 sized, with four toes on the foreleg and three on the hind leg (MacFadden 1994). Today’s horses are

36 large, long-legged grazers with a single toe on each leg, which is enclosed in a hard . An enlarged

37 third digit makes up the bulk of the distal limb, with considerably reduced metapodials II and IV present

38 as splint bones fused to the center metapodial (Figure 1). Recent work has shown that vestiges of digits I

39 and V may still be present as ridges and wings in the proximal metapodial and distal phalanx (Solounias

40 et al. 2018). Despite their large size and long, slender limbs, horses are considerably athletic, reaching a

41 recorded top racing speed of 70 km/hr (“Fastest speed for a race horse” 2019); the highest jump

42 recorded by a domestic horse and rider is 2.47 m (“Highest jump by a horse” 2019). That horses can

43 accomplish such feats on a single toe, which evolved millions of years prior to human influence, is

44 remarkable.

45 Fossil horses played a critical role in both supporting Darwin’s theory of evolution and, later, the

46 Modern Synthesis (Simpson 1951). In the 1870s, O.C. Marsh had made a considerable collection of fossil

47 horses, which he then arranged into a series of small to large, three-toed to one toe, low-crowned teeth Evolution of a single toe in horses 3

48 to high-crowned teeth (Marsh 1874). This proposed evolutionary series was so striking for its time that

49 after seeing it, T.H. Huxley, “Darwin’s Bulldog,” rewrote an address to be given at the New York

50 Academy of Sciences to include these fossil horses as evidence of evolution (Schuchert 1940). At the

51 time, —an evolutionary “progression” in a straight line towards some ideal form—was a

52 popular conception of evolution, and this arrangement of horses supported that view (Figure 2). Thus

53 the classic story of horse evolution was formed: as grasslands took over from forests, the horse

54 gradually evolved larger body size (perhaps to better defend against predators), taller-crowned teeth to

55 handle abrasive grasses, and long, monodactyl limbs to race away from predators in their newly open

56 habitat (Figure 2; Matthew 1926).

57 Despite subsequent recognition that equid evolution was in fact more like a bush than a straight

58 line (Simpson 1951; MacFadden 1994), it is still portrayed in a linear fashion in many museums and

59 textbooks (MacFadden et al. 2012). Some trends in equid evolution do appear to exist by gestalt—

60 today’s horses are indeed much larger, hypsodont, and have reduced digits relative to the earliest

61 horses. Monodactyly had two separate , one in the /Equus and one in the

62 / lineage, strongly suggesting at least some adaptive utility and selection for this

63 condition. It therefore requires careful attention to discuss the evolution of horses without slipping into

64 verbal orthogenesis by drawing a straight line between the earliest horse and the lone surviving genus

65 today, particularly given that trends of digit reduction and increasing hypsodonty do exist in at least

66 some parts of the horse tree (Janis 2007). But evidence from diet, habitat, morphology, and digit

67 state do not match the orthogenetic pattern: decreasing body size was common in lineages such as the

68 or ; not all tridactyl horses browsed; and not all hypsodont, monodactyl

69 horses grazed (MacFadden 1994; MacFadden et al. 2012).

70 Beyond the pattern itself, the classic explanations for why horses evolved the way they did is

71 tremendously “sticky” (Schimel 2012). Long after the complexity of the equid tree and the nonlinearity Evolution of a single toe in horses 4

72 of trait evolution was acknowledged, the initial explanations for each horse trait still held the weight of

73 established fact rather than reasonable hypothesis. The evolutionary story of horses has seen several

74 advances in understanding over the last few decades, particularly as powerful quantitative methods

75 emerge and we accumulate more available specimens through fieldwork, museum cataloguing, and

76 especially digitization (Marshall et al. 2018). With these new data and methods, untested explanations

77 for horse trait evolution have been challenged one by one.

78 The simple causal relationship between abrasive grass and hypsodonty has been shown to be

79 complicated, with grasslands predating hypsodonty by at least four million years in horses, rodents, and

80 lagomorphs (Strömberg 2002, 2006; Jardine et al. 2012). Tooth mesowear, a macroscopic measure of

81 tooth wear that can record information about diet, is highly variable within fossil horse populations and

82 does not always match up directly with grasslands and hypsodonty (Mihlbachler et al. 2011);

83 furthermore, fresh grazing can cause mesowear similar to browsing (Winkler et al. 2019). In extant taxa,

84 hypsodonty correlates more with habitat openness (Mendoza and Palmqvist 2008)than with the

85 proportion of grass consumed, and feeding height (which relates to the amount of soil grit consumed)

86 drives microwear more than diet (Mainland 2003). The study of isotopes has also

87 complicated the relationship between hypsodonty and diet; for example, in one locality, the hypsodont

88 horse species were likely browsers while the species with low-crowned teeth were consuming more

89 grasses (MacFadden et al. 1999), and individual variation in isotope values can be high in large

90 (Green et al. 2018). Hypsodonty seems to be driven mostly by grit (via phytolith, dirt, or

91 volcanic ash), not grass alone, and evolved under much less of a straightforward evolutionary arms race

92 than initially thought.

93 Increasing body size, which was initially explained as a defense mechanism against predation

94 (Matthew 1926), has also been suggested as an example of Cope’s rule (that lineages tend to increase in

95 maximum body size through time) in equids (Martin 2018), perhaps as a result of ecological Evolution of a single toe in horses 5

96 specialization (Raia et al. 2012). Others have argued that because grass is generally less nutritious than

97 browse (but see Codron et al. 2007), larger body size was beneficial because it increased total digestive

98 capacity, thus allowing the to process larger quantities of low-quality food (Demment and Van

99 Soest 1985; Lovegrove and Mowoe 2013). A recent study showed strong evidence for transitions to an

100 unguligrade foot posture being associated with rapid increases in body size, and rate of body size

101 evolution, across (Kubo et al. 2019), pointing to the possibility that unguligrady supports

102 larger body sizes. Kubo et al. (2019) suggested that larger body sizes may provide a release from higher

103 levels of predation, again connecting predator pressures to horse evolution. However, many equid

104 lineages retained similar body sizes through evolutionary time or even became smaller (MacFadden

105 1994), irrespective of expanding grasslands. Recent work suggested that more than 90% of changes in

106 horse body size can be explained simply by diffusion, a random walk of evolution, rather than

107 competition for niches (Shoemaker et al. 2013), so the pattern of increasing body mass may not be a

108 trend at all.

109

110 Modern hypotheses for digit reduction

111 Like hypsodonty and body size, the story of digit reduction is complicated. The classic

112 explanation was that high speeds were necessary for predator escape in open grasslands, with reduced

113 digits on elongated limbs providing this speed (Matthew 1926; Simpson 1951). But high-speed pursuit

114 predators such as wolves did not evolve until approximately 20 million years after many ,

115 including equids, evolved lengthened limbs and reduced digits (Janis and Wilhelm 1993), providing

116 evidence against this hypothesis. Subsequent years have seen three other major hypotheses about the

117 proximate force behind digit reduction in horses:

118 1) The locomotor economy hypothesis: Open, arid grasslands required longer travel distances to

119 access patchy resources, such as water, and elongated limbs decreased the energetic cost of Evolution of a single toe in horses 6

120 locomotion by increasing stride length (Janis and Wilhelm 1993). While reduced digits were not

121 explicitly discussed in the referenced paper, reducing mass in the distal limb would decrease

122 moment of inertia and thus the energetic cost of swinging the leg (Hildebrand 1960; Myers and

123 Steudel 1985; Browning et al. 2007; Kilbourne et al. 2016), and has been argued to be a driver of

124 digit reduction in archosaurs (de Bakker et al. 2013).

125 2) The stability hypothesis: Forests required lateral dodging movements on soft ground, whereas

126 grasslands required high-speed, straight-line movements on hard ground; a tridactyl and

127 monodactyl foot were respectively better suited to stability in those environments (Shotwell 1961).

128 Effectively, Shotwell proposed two separate hypotheses: 2a) the soft substrate stability hypothesis,

129 that the tridactyl foot is adapted for stability in lateral dodges on soft ground, and 2b) the hard

130 substrate stability/speed hypothesis, that the monodactyl foot is adapted for stability and speed in

131 straight lines on hard ground. The superior speed of the monodactyl foot on hard ground was also

132 proposed by Matthew (1926), who focused on the rigid hoof and spring-like tendon-ligament system

133 of extant equids.

134 3) The body size hypothesis: Evolutionary increases in body mass produced greater bending forces on

135 the limbs, and a single digit resists bending forces better than several smaller digits of the same total

136 size (Thomason 1986).

137 None of these hypotheses are mutually exclusive. The first two assume that grasslands act as

138 the ultimate driver of digit reduction (via the proximate causes of increased locomotor demands and

139 changing substrate conditions, respectively). The third hypothesis suggests body mass as a proximate

140 cause. As discussed previously, proposed drivers of body mass itself in horses range from evolutionary

141 diffusion (Shoemaker et al. 2013) to grasslands (Illius and Gordon 1992), consistent with the first two

142 hypotheses. Body mass increase in response to the evolution of grasslands might also partially be

143 related to cooling climate (Lovegrove and Mowoe 2013), but climate cooling should also be considered Evolution of a single toe in horses 7

144 as one of many potential drivers of grasslands themselves (Strömberg 2011). Therefore, if the body size

145 hypothesis is correct, the ultimate driver of digit reduction could be any or a combination of other

146 changes in forage and climate.

147 In this review, we survey what evidence exists to support or refute these digit reduction

148 hypotheses. First, we give a brief overview of horse evolution with a focus on digits. Next, we discuss an

149 analytical method for quantifying the degree of digit reduction to provide a continuous metric for

150 evolutionary analyses. We follow this with a review of research from biomechanics, macroevolution, and

151 other subdisciplines that has brought new insights into digit reduction in recent years. Finally, we

152 conclude with a discussion of critical gaps in our understanding and make suggestions for avenues of

153 future study.

154

155 Overview of horse digit evolution

156 The phylogenetic relationships of the earliest equids have seen considerable changes since

157 / was universally considered the first horse (Figure 3). Recent phylogenetic work

158 has split Hyracotherium into H. leporinum, now considered a basal palaeothere (outside of Equidae), and

159 an array of new genera for basal true equids, including and Arenahippus (Froehlich 2002).

160 Another recent phylogenetic analysis has placed Ghazijhippus (found in Pakistan) and Cymbalophus and

161 Pliolophus (found in Europe) at the base of the equid tree, basal to the North American Sifrhippus and

162 Arenahippus (Bai et al. 2018). Regardless which genus is most basal, the earliest equids were small, dog-

163 sized creatures that had four digits on the forefoot and three on the hind foot (semi-tetradactyl). They

164 had low-crowned (brachydont) teeth indicative of a diet of fruits and soft leaves, and although they

165 seem “primitive” relative to extant horses, a remarkably complete skeleton of the basal horse

166 Arenahippus grangeri (previously H. grangeri; considered a junior synonym of Sifrhippus by Secord et al.

167 2012, but left separate here) shows that it was fairly derived for the time in its foot posture Evolution of a single toe in horses 8

168 (subunguligrade) and somewhat elongate metapodials (Kitts 1956; Wood et al. 2011). Although the

169 shoulder and hip joints had considerable range of movement, the distal limb in A. grangeri was already

170 primarily restricted to parasagittal motion, as in later equids (Wood et al. 2011).

171 Coeval with this Arenahippus was another, similarly small equid, , which had even

172 more restricted movements in the distal limb due to more stable carpal and tarsal articulations. Wood

173 et al. (2011) hypothesized that Orohippus may have occupied more open terrain than A. grangeri, which

174 was found in tropical forests—reminiscent of Shotwell’s (1961) stability vs. substrate hypotheses. Wood

175 et al. (2011) suggest the following chain of events: as climate changed in the Paleogene (66-12 Ma),

176 equid diets shifted from high-quality fruits and leaves to lower-quality browse and graze; such a dietary

177 shift drove increases in body size (consistent with results from Secord et al. (2012)) to allow processing

178 greater amounts of food; and finally, increased body size drove a need for more centrally-located,

179 upright limbs (reminiscent of Camp and Smith’s (1942) argument for lineage-scale digit reduction).

180 Like earlier equids, the three-toed (tridactyl) species , , and ,

181 were also likely subunguligrade, with all distal phalanges contacting the ground and supported by a foot

182 pad (Camp and Smith 1942; Sondaar 1968; Thomason 1986). However, relative to earlier equids, their

183 limbs became more restricted to a pendulum-like motion in the parasagittal plane via limb bone fusion

184 (radius-ulna, tibia-fibula) and changes in joint articulations (Sondaar, 1968). Along with increasingly

185 parasagittal motion came the lengthening of the limb, particularly distally. In later lineages, beginning

186 with at the base of the grazing radiation, limb elongation continued, and the lateral digits

187 were reduced; the side toes likely did not touch the ground at rest (Sondaar, 1968). In the monodactyl

188 or nearly-monodactyl lineages, such as Pliohippus and Equus, a tendon-and-ligament suspensory

189 apparatus and a ‘springing’ foot evolved, with markedly elongate phalanges and considerable elastic

190 energy storage (Biewener 1998) that may have benefited them on hard ground in open grasslands

191 (Matthew 1926; Sondaar 1968; Janis and Wilhelm 1993). Evolution of a single toe in horses 9

192

193 Quantifying digit reduction

194 Until recently, one challenge of studying digit reduction in horses was the lack of a quantitative

195 way to measure digit reduction. The discrete categories of semi-tetradactyl (four toes in front and three

196 behind), tridactyl (three toes), and monodactyl (one toe) are useful, but fail to capture a wide variety of

197 morphological (and probably functional) diversity throughout the main body of the equid phylogeny

198 (Figure 3). Furthermore, many modern analyses require continuous variables to reconstruct the mode or

199 rate of evolution (O’Meara and Beaulieu 2014). We addressed this gap in two recent papers, where we

200 introduced the Toe Reduction Index (TRI), a continuous measure of digit reduction for perissodactyls

201 (McHorse et al. 2017; Parker et al. 2018). TRI is measured as the ratio of side digit length to center digit

202 length in the proximal phalanx (Equation 1, Figure 4), taking the average of side digits if they are both

203 available, and is best calculated for each individual before averaging across a species or genus. The index

204 ranges from 0 (no side digits, as in Equus) to 1 (all digits equal in length):

205

푚푒푎푛(푃푃푙푒푛𝑔푡ℎ퐼퐼,푃푃푙푒푛𝑔푡ℎ퐼푉) 206 Equation 1. 푇푅퐼 = 푠푝푒푐푖푒푠 푚푒푎푛 ( ) 푃푃푙푒푛𝑔푡ℎ퐼퐼퐼

207

208 where PPlength refers to the maximum articular length of the proximal phalanx in digit II, IV, or III

209 according to the subscript; the mean of PPlength is first taken for all available side digits (II and IV), then

210 divided by the mean of PPlength for digit III. This provides the individual-level TRI, which is then

211 averaged across all individuals in a species to provide a species-level TRI (Equation 1). Values greater

212 than 1 are theoretically possible and would correspond to lateral digits greater in length than the center

213 digit; however, this seems unlikely to occur. Evolution of a single toe in horses 10

214 With the Toe Reduction Index, we can quantitatively represent the real morphological variation

215 present in equid digits (Figure 5). Whereas previously all tridactyl horses would be coded the same in

216 categorical data, TRI values range from nearly 1 (all three digits of equal size) to less than 0.3 (side digits

217 ⅓ the size of the center digit), illuminating variation that was previously unavailable to quantitative

218 analyses. These new data make it possible to address questions such as whether digit reduction

219 correlates with changes in other traits, e.g., hypsodonty or body mass (Parker et al. 2018). Furthermore,

220 TRI can be used in the future to explore digit reduction in a variety of other groups, including

221 artiodactyls, with appropriate modification to account for paraxonic symmetry vs. mesaxonic symmetry

222 (i.e., artiodactyls have symmetrical enlarged digits III and IV with the axis of symmetry running between

223 them, whereas TRI was developed for a single, symmetrical center digit III). A TRI dataset expanded to

224 other taxa would open up the possibility of both more quantitative -specific studies and more

225 broadly comparative studies.

226

227 Biomechanical investigation of digit reduction

228 As terrestrial quadrupeds, horses primarily use their limbs to interact with the environment

229 through locomotion. The forces that act on bones during an animal’s can be a powerful source of

230 selection; the geometry of bones can often indicate, for example, locomotor style or other functional

231 uses for that part of the body (Swartz et al. 1992; Anyonge 1996; Doube et al. 2018). In domestic horses,

232 many biomechanical studies have linked skeletal morphology to performance in competition,

233 connecting form to function (Barrey et al. 2002; Gnagey et al. 2006; Weller et al. 2006; Hobbs et al.

234 2010; Kristjansson et al. 2016). An extra load of just 2.4 kg on a horse’s distal limb has been shown to

235 increase cost of transport by nearly 7% (Wickler et al. 2004), providing a direct connection to the

236 locomotor economy hypothesis of digit reduction. Evolution of a single toe in horses 11

237 Studies examining the biomechanical and physiological consequences of limb morphology in

238 extant horses rarely connect to the fossil record and to equid evolution, but a combination of these

239 disciplines offers considerable insight into outstanding questions like the driver of equid digit reduction.

240 Although biomechanical performance data cannot be obtained for extinct , musculoskeletal

241 modeling is a powerful tool to reconstruct soft-tissue dynamics, forces, and ultimately provide insight

242 into performance in extinct species (Hutchinson and Garcia 2002; Pierce et al. 2012, 2013; Nyakatura et

243 al. 2019). Such studies usually make use of detailed skeletal data from extinct species, sometimes

244 combining it with experimental biomechanical data on extant taxa. Biomechanical studies can therefore

245 help fill in the relationship between morphology, performance, and the environment, helping to connect

246 patterns evident at the macro-level (morphological and taxonomic change over millions of years) to the

247 individual level (where morphology and performance determine fitness; Figure 6).

248 Beam bending is a mechanical engineering approach used to calculate stresses on structural

249 beams. When applied to skeletons, beam bending analyses determine the stresses experienced by a

250 bone using the bone’s own internal geometry, the forces it experiences from muscle contractions and

251 external sources (such as a food item being bitten or the ground contacting a foot), and the angles and

252 moment arms at which those forces act. While frequently used to explore the effects of bite forces in

253 the skull (e.g., Van Valkenburgh and Ruff 1987; Busbey 1995; Therrien 2005), beam bending has also

254 been used to estimate locomotor forces in the limbs of extant and extinct animals (Biewener 1983;

255 Alexander 1985; Blob and Biewener 2001), including in horses (Biewener et al. 1983). In extinct equids,

256 beam bending was first applied to the center metapodial to explore locomotor stresses in Mesohippus

257 (subunguligrade), (unguligrade), and modern Equus (unguligrade), using in-vivo strain

258 gauge data recorded from metapodials of living horses to ground-truth the method (Thomason 1985).

259 Using broken metacarpals to assess internal geometry and reducing forces in Mesohippus by 50% to

260 account for load-bearing side digits, Thomason (1985) found midshaft metacarpal stresses to be similar Evolution of a single toe in horses 12

261 in the extinct and extant horse. Stresses were highest in the unguligrade grazer Merychippus, suggesting

262 that size increase alone did not drive the transition from the subunguligrade to the fully unguligrade

263 foot; Thomason suggested that habitat could have been the major other factor driving this

264 morphological change in the distal limb (Thomason 1985).

265 In a recent study, we used CT scans of fossil metapodials to apply beam bending to the same

266 question in higher anatomical resolution and across much more of the equid phylogeny (McHorse et al.

267 2017). Midshaft stress under high-performance locomotion in the center metapodial was calculated for

268 extinct species in twelve equid genera, first with a full body-weight load on the center digit and then

269 with body-weight load reduced proportional to the size of the side digits using TRI (scaled as in Equation

270 2):

271

1 272 Equation 2. 푙표푎푑 = 푙표푎푑 ∗ ( ) 푇푅퐼 푏표푑푦 (2 ∗ 푇푅퐼) + 1

273

274 where loadTRI is the load on the center digit, loadbody is a species average body weight or the body weight

275 of the individual, and TRI is the Toe Reduction Index as calculated by Equation 1. The scaling is such that,

276 at a TRI of 1, the body weight is distributed equally among the three toes, and at a TRI of 0, the entire

277 body weight is on the center digit.

278 Our results supported and expanded on Thomason’s (1985) work, showing that when the side

279 digits bear load proportional to their size, bone safety factors (ratio of failure stress to peak locomotor

280 stress) were in the range of those found for extant mammals from mice to elephants (2 to 4; Biewener

281 1991). In contrast, when the side digits did not reduce the load on the center metapodial, stresses close

282 to or surpassing the tensile fracture stress of bone were reached in taxa as late as Parahippus, indicating

283 that side digits were mechanically critical for resisting stress until at least the beginning of the grazing Evolution of a single toe in horses 13

284 radiation (Figures 2 and 4). Furthermore, the center metapodial is positively allometric relative to body

285 mass in its cross-sectional geometry (i.e. resistance to compressive and bending forces), meaning that

286 the center digit compensated for reduced digits through evolutionary time (McHorse et al. 2017). This

287 positive allometry lends some support to the body size hypothesis, that a single large digit is a response

288 to increasing body sizes and can better resist the increased loads. The evolution of unguligrady, which

289 has been connected to increased rates of body size evolution (Kubo et al. 2019), could have spurred

290 these changes indirectly. The allometry results of this study (and the timing of side digits becoming

291 unnecessary for load-bearing) are also consistent with the locomotor economy hypothesis; it is possible

292 that as longer strides and thus longer limbs were favored by selection, the inertial costs of maintaining

293 side toes began to outweigh any remaining stabilizing or load-bearing benefit.

294

295 Evidence from macroevolution, , and ecology

296 Selection for digit reduction on an evolutionary scale requires morphological changes to

297 influence fitness by changing how the animal performs in its environment (Figure 6; Arnold 1983). In

298 other instances of digit reduction, new selective pressures frequently come from new ecologies or

299 locomotor modes, such as the cetacean transition into water (Shapiro et al. 2007) or the evolution of

300 ricochetal locomotion coupled with out-in-the-open foraging in jerboas (Moore et al. 2015). In horses,

301 various proximate causes of digit reduction have been suggested, as illustrated by the hypotheses set

302 forth earlier in this paper. Yet the most generally accepted ultimate cause of digit reduction in this

303 group, the one that makes for a new relationship between morphology and fitness, is the evolution of

304 grasslands.

305 Virtually no macroevolutionary work has explicitly addressed digit reduction in horses, but many

306 studies focus on horse macroevolution more generally. Of particular interest is the grazing

307 radiation of horses in North America (18 to 15 Ma), which began with Parahippus—the same genus Evolution of a single toe in horses 14

308 found to be among the last in which side toes were critical for mechanical support (Figures 2 and 4;

309 McHorse et al. 2017). Diversification rates were high and at least 19 new species originated quite

310 rapidly, although rates of morphological evolution were not elevated (MacFadden and Hulbert 1988;

311 Cantalapiedra et al. 2017). Though the radiation was suggested to be in response to grasslands, rapid

312 diversification lagged grasslands by several million years (Strömberg 2006; Cantalapiedra et al. 2017).

313 Most events during the Miocene radiation were in fact via dispersal into new regions

314 (Maguire and Stigall 2008). Because dispersal was the main driver of speciation, factors that facilitated

315 movement—such as habitat fragmentation due to tectonic and climatic events—promoted speciation

316 (Stigall 2013). If digit reduction promoted greater economy of locomotion, it could therefore have

317 indirectly supported speciation.

318 There is no denying the scope of environmental change that accompanied the approximately

319 58-million-year history of horse evolution. In North America, temperatures swung from the warmth of

320 the - thermal maximum, through a gradual, bumpy cooling spanning the Eocene,

321 , and Miocene (periodically interrupted by warmer peaks lasting a few million years), and

322 finally dropped into the cyclical chill of Ice Ages (Figure 7; Zachos et al. 2001). These thermal changes

323 accompanied precipitation changes, from the wet of warmer periods through increasing

324 aridity as the climate cooled (Janis 1993). It is against this climatic backdrop that grasslands evolved in

325 North America, becoming regionally dominant ecosystems approximately 22 million years ago and

326 dominant across North America by 7-11 million years ago (Strömberg 2005, 2006).

327 As the environmental landscape changed, varied habitats appeared. This variety is the basis of

328 Shotwell’s (1961) hypothesis that tridactyl horses and monodactyl horses were better suited to different

329 habitats—woodland-savanna and grasslands, respectively—and thus partitioned habitats accordingly.

330 Shotwell (1961) tracked the biogeography of the genera (tridactyl) and Pliohippus

331 (monodactyl) in the , connecting it to patterns of faunal change in the Northern Great Basin of Evolution of a single toe in horses 15

332 North America. In most faunas, including the Southern Great Basin, the monodactyl grazer Pliohippus is

333 found first in the middle Miocene (Clarendonian, approximately 13.6 to 10.3 million years ago), but in

334 the Northern Great Basin, it is not found until its immigration in the late Miocene and early Pliocene

335 (Hemphillian, approximately 10.3 to 4.9 million years ago). Shotwell connected this late appearance of

336 Pliohippus to the coeval spread of semi-arid plains and grasslands from the Southern into the

337 Northern Great Basin, arguing that Pliohippus migration tracks this habitat. Similarly, he suggested that

338 Hipparion tracked woodland-savanna habitat, going locally extinct at the end-Hemphillian as savanna

339 habitats were reduced or eliminated but persisting longer where such habitats remained a major feature

340 of the landscape for a longer time (Shotwell 1961). To further support his claim of partitioning by

341 habitat, Shotwell noted that the relative abundance of hipparionines was not different in regions with or

342 without Pliohippus present, supporting the idea that the genera were not in direct competition.

343 In a recent study that aimed to investigate Shotwell’s (1961) hypothesis more quantitatively, we

344 tested for niche partitioning among different groups—in this case, tridactyl and monodactyl equids—

345 using site occupancy (Parker et al. 2018). With approximately 3500 fossil horse occurrences that could

346 be assigned to a North American Land Age and to a paleohabitat (forest/swamp, forest,

347 woodland, woodland-savanna, savanna, grassland-savanna, or grassland), we tested whether tridactyl

348 and monodactyl genera were found in the same habitat type significantly less often than by random

349 chance (which would support habitat partitioning). In fact, overlap between these groups was higher

350 than expected by chance in all North American Land Mammal Ages except the Blancan, where it was

351 indistinguishable from random (Parker et al. 2018). Rather than partitioning by habitat, tridactyl and

352 monodactyl horses were found together more often than by chance. Consequently, at the spatial and

353 temporal scale examined, horses were more similar by shared ancestry than different by digit state, and

354 digit state did not correlate with hypsodonty or body size (Parker et al. 2018). These results suggest that

355 the three classic equid traits did not coevolve under a single, grassland-specific selective regime, but Evolution of a single toe in horses 16

356 rather were the product of multiple selective pressures that varied across the diverse habitats available

357 to equids in the Miocene and Pliocene. This lack of correlation or habitat partitioning points to the

358 conclusion that whatever drove digit reduction was not identical to the driver of other important equid

359 traits, so the cause of digit reduction was probably multifaceted (because, e.g., grasslands as the driving

360 factor of all three traits would likely lead to correlated evolution among them).

361

362 Insights from convergent evolution of digit reduction

363 Digit reduction is widespread in , including theropod , marsupials, rodents,

364 squamates, and ungulates. Although some forms of digit reduction are arguably related to very different

365 drivers than in equids (e.g., in hopping, bipedal rodents), others may be more closely related. Some of

366 the most ecologically and morphologically convergent examples to horses are in the Artiodactyla, the

367 second major of North American ungulates (along with the Perissodactyla, in which Equidae is a

368 family). Many artiodactyl taxa evolved elongated limbs and reduced digits throughout the Cenozoic

369 (Janis and Wilhelm 1993), and they have been characterized as a competitor group to perissodactyls,

370 perhaps partially responsible for the decline of the perissodactyl by outcompeting them (Illius and

371 Gordon 1992), although a qualitative comparison has found that competition leading to replacement

372 was not at play (Cifelli 1981). As with hypsodonty and limb evolution in horses, parallel arguments have

373 been made in artiodactyls for the evolutionary benefit of hypsodonty (DeMiguel et al. 2014) and the

374 unguligrade distal limb (Clifford 2010). However, recent work has shown that the small herbivorous

375 “,” which were replaced by artiodactyls and perissodactyls, also had cursorial species,

376 suggesting that cursoriality was not the only driver of success in ungulates (Gould 2017).

377 Developmental studies have also shown that digit reduction is accomplished via different

378 mechanisms in these two . For example, horses (Perissodactyla), camels (Artiodactyla),

379 and jerboas (Rodentia) form the beginnings of all five digits in early embryonic limb patterning but then Evolution of a single toe in horses 17

380 show a spike in cell around the reduced digits in later post-patterning stages (Cooper et al. 2014).

381 In contrast, pigs (Artiodactyla) and cattle (Artiodactyla) developmentally reduce digits via restricted

382 expression of Ptch1, with no noticeable increase in cell death (Sears et al. 2011; Cooper et al. 2014;

383 Lopez-Rios et al. 2014). These results suggest that, developmentally at least, there may be more than

384 one way to evolve reduced digits, encouraging a comparative approach to further determine what

385 similarities and differences exist among convergent evolutions of digit reduction.

386 In convergence with the foot structure of early horses, two genera of caviomorph rodents,

387 Hydrochaeris and Cavia, have three toes on the hind foot (digits II, III, and IV) and in the forefoot have

388 eliminated digit I, reduced digit V to nonfunctionality, and evolved a digit-III-dominant foot (Rocha-

389 Barbosa et al. 2007). Ground reaction forces and effective mechanical advantage of the limbs have been

390 characterized in capybara (Biewener 2005); they were found to have a less erect posture than goats, and

391 so may be a suitable comparison for basal equids, whose posture was not so erect as extant horses.

392 Even more striking convergence can be found in the South American , an order

393 recently found to be sister to Perissodactyla (Buckley 2015; Welker et al. 2015; Westbury et al. 2017).

394 The litoptern genus evolved a monodactyl condition even more extreme than equids by

395 eliminating even the remnant “splint” metapodials II and IV. However, litopterns and horses show an

396 opposite relationship between digit reduction and body mass. Equids with the most reduced digits are

397 the largest species and, in general, less reduced digits are found on smaller species (McHorse et al.

398 2017). Conversely, the monodactyl litoptern species are the smallest and those with extremely robust

399 side digits are the largest (Janis 2007). This difference suggests that even if the body size hypothesis

400 remains plausible as a driver of digit reduction in horses, body size is likely not driving digit reduction in

401 litopterns. Despite these divergent body mass patterns, tracing the convergent evolution of digit

402 reduction in litopterns, together with studies of habitat and climate in (e.g., Strömberg et

403 al. 2013), has the potential to reveal whether other potential drivers are parallel in the two groups. Evolution of a single toe in horses 18

404

405 Future directions

406 The future of studying digit reduction in equids is promising. Here we lay out the steps we

407 believe are necessary to support, or reject, existing hypotheses, as well as new ideas for what may have

408 driven the evolution of such a remarkable trait as monodactyly. It is important to recognize that most of

409 the working hypotheses are not mutually exclusive, and as has become clear from previous work, we

410 should expect interrelationships between the potential causes of digit reduction (e.g., cooler climate

411 may affect body size directly, which is a hypothesized driver of digit reduction, but cooler climate also

412 leads to more open habitats, which is a different hypothesized driver). However, we argue that the way

413 that these selective drivers interact has a significant effect on how we conceptualize the “why” behind

414 digit reduction, and therefore it is a valuable endeavor to uncover the primary driver or drivers of

415 monodactyly and digit reduction as a whole.

416

417 Locomotion and biomechanics

418 If the primary driver of digit reduction was the need for better economy while covering long

419 distances, as hypothesized by Janis and Wilhelm (1993), then digit reduction should virtually always go

420 hand-in-hand with limb elongation. Research manipulating moment of inertia (MOI) in limbs has shown

421 that decreasing MOI does reduce cost of transport (Martin 1985; Myers and Steudel 1985; Wickler et al.

422 2004), and added distal limb mass increases cost of transport in extant horses (Wickler et al. 2004), so

423 some degree of energetic savings is almost certainly a consequence of digit reduction. The logical next

424 step is a theoretical exploration of the magnitude of energetic savings from 1) reduction of MOI at the

425 distal limb due to loss of digits and 2) elongation of the limb over 3) a range of body sizes and taxa. The

426 results from these calculations could be used to create a theoretical cost of transport morphospace that

427 connects changes in limb length, relative differences in segment MOI, estimated limb swing frequency, Evolution of a single toe in horses 19

428 and body mass to a resulting cost of transport. That morphospace could be used to calculate, e.g., how

429 much locomotor economy was improved between different taxa and whether the difference gained by

430 digit reduction constitutes a significant energetic savings. To evaluate significance of energetic savings, it

431 would be necessary to relate the results of the calculations to known costs associated with swinging legs

432 in living animals (e.g., Fedak et al. 1982). Tracking these changes through time would further allow

433 testing of whether quantitative improvements in locomotor economy over evolutionary time tracked (or

434 slightly lagged) aridification and the spread of grasslands. This analysis is ideally suited to include

435 artiodactyls as a comparative group, because they also evolved longer limbs, reduced digits, and would

436 have experienced the same pressures at the same times where they overlapped spatially with horses.

437 The idea that a tridactyl foot is more stable for lateral dodging on soft substrate, whereas a

438 more rigid single hoof is more stable for and provides faster straight-line locomotion on hard substrate

439 (Shotwell 1961), remains untested. The soft substrate hypothesis is concerned primarily with stability,

440 whereas the hard substrate may have considerably more to do with elastic energy storage and energy

441 dissipation. Whether theoretical or practical (as in biorobotics), this hypothesis requires a test of

442 whether tridactyl feet are indeed more stable on softer substrates. Examination of locomotor

443 performance in extant taxa with reduced digits would provide an interesting first step, which could be

444 complemented by studies using modeling and simulation to explore the effect of digit number on

445 stability in the equid distal limb; a combination of simulation and biorobotics would offer considerable

446 flexibility (e.g., Nyakatura et al. 2019). Biomechanical modeling work such as this can be more powerful

447 when ground-truthed with locomotion data, such as speed, joint kinematics, and forces from extant

448 animals—a challenge when the vast majority of equid diversity is extinct. Monodactyl equids are

449 straightforward to study in that domestic horses are anatomically extremely similar, particularly in the

450 distal limb, to both wild Equus and to other extinct monodactyl taxa. Evolution of a single toe in horses 20

451 Several taxa are potential modern analogs for tridactyl or semi-tetradactyl horses, and would

452 therefore be suitable for study of locomotor biomechanics (directly testing dodging stability on softer

453 substrates), for ground-truthing the proposed simulation and biorobotics work, and for comparative

454 studies of distal limb anatomy (including internal geometry, i.e., resistance to bending, torsion, and

455 compressive forces). (Tapiridae) are one of three extant families in the perissodactyl order, the

456 others being equids and , and are similar to basal equids in their digit state: four digits on

457 the front leg and three in the back. Tapirs may therefore offer a convenient semi-tetradactyl species for

458 locomotion studies of substrate-based stability; they have been used for comparative anatomical and

459 biomechanical studies (McHorse et al., 2017), and we have collected kinetics and kinematics data from

460 Baird’s (Tapirus bairdii) that will provide locomotor forces to scale for future finite element

461 modeling work. A recent study has argued that the semiaquatic tapir benefits from lateral splaying in

462 phalanges II and IV, which could allow for greater stability on soft, muddy surfaces beneath water (Endo

463 et al. 2019), echoing the substrate stability hypothesis itself.

464 While tapirs provide the closest phylogenetic match for a study of digits and stability, they may

465 not provide the best biomechanical one. In contrast to equids, tapirs are semiaquatic (Nowak and

466 Paradiso 1999), and although some tapir species may provide morphological analogs for other basal

467 perissodactyls such as palaeotheres (MacLaren and Nauwelaerts 2019), the range of body sizes differs

468 considerably in the two families. Most basal equids had a body mass between 5 kg and 20 kg

469 (MacFadden 1986; Secord et al. 2012), but even the smallest extant tapir species have body masses over

470 130 kg (Nowak and Paradiso 1999). Therefore, caviomorph rodents and small artiodactyls may provide a

471 closer biomechanical analog in terms of the forces generated during locomotion. The two genera of

472 caviomorph rodents with remarkable convergence towards the equid foot condition are much closer in

473 size: species tend to average 30-60 kg and 1 kg in Hydrochaeris and Cavia respectively (Biewener 2005;

474 Ferraz et al. 2005). Similarly, some species of artiodactyl are quite small (e.g., tragulids and moschids are Evolution of a single toe in horses 21

475 generally less than 10 kg; Nowak and Paradiso 1999) and may provide a more suitable biomechanical

476 comparison than tapirs. Furthermore, extant artiodactyls are considerably more taxonomically diverse

477 than perissodactyls, and they underwent many similar changes in the evolution of unguligrady and

478 reduced digits—often argued to be an adaptation for fast and efficient locomotion (Clifford 2010). As

479 with all non-domesticated animals, the greatest challenge here may lie in access, and the most suitable

480 biomechanical comparison might require a compromise between the anatomy, preferred habitat, and

481 the availability (and behavioral temperament) of various species.

482

483 Macroevolutionary and regional analyses

484 While biomechanical studies can help untangle why different morphologies might be adaptive

485 for different substrates, macroevolution can give us perspective on how it happened. If grasslands were

486 the ultimate driver of monodactyly, we would expect genera with more reduced digits to be found more

487 often and/or to be more evolutionarily successful in open grassland-dominated habitats. Conversely, we

488 would expect genera that retained considerable side digits, such as hipparionines, to be found more

489 often in softer, forested environments and/or to be more successful there. Differential habitat use has

490 been shown in several taxa to provide diverging selective demands and thus to influence diversification

491 (Losos 2009; Collar et al. 2011; Price et al. 2011), although the groups in those studies (anoles, monitor

492 lizards, and labrid fishes) are all much smaller than equids. A recent spatially and temporally broad study

493 of habitat partitioning found no such evidence for tridactyl and monodactyl horses dividing habitats

494 where they overlapped (Parker et al. 2018).

495 Explicitly hypothesis-testing the niche partitioning aspect of Shotwell’s (1961) argument was an

496 important first step in tackling these ideas quantitatively, but the study by Parker et al. (2018) had some

497 limitations in scope. First, both temporal and spatial bins were coarse; North American Land Mammal

498 ages can be several million years long, which represents considerable time-averaging, and the spatial Evolution of a single toe in horses 22

499 resolution of habitat identification was typically at the county level. Since modern counties certainly

500 cover sufficient land to contain multiple habitat types, it is likely that fossil localities within the same

501 county could have had very different habitats. Second, the relative distribution of habitats in the study

502 was fairly constant through time, despite evidence that, on the whole, grasslands became the far more

503 dominant ecosystem. It is possible that the data analyzed by Parker et al. (2018) do not sufficiently

504 capture ecological reality, perhaps reflecting a bias in preservational environments that led to the

505 fossilization of horses.

506 Regional analyses may offer a solution to the limitations of spatial and temporal data,

507 particularly given how regionally-specific climate and habitat can be (Chen et al. 2015). We propose that

508 the region of North America, which includes parts of several states including Montana,

509 , North and South Dakota, and Nebraska, offers an ideal place to test more carefully the

510 relationship between horses, climate, and habitat (Figure 8). The horse fossil record is dense,

511 particularly in Nebraska (Figure 8; MioMap search for “Equidae” returns more than 1000 specimens,

512 Carrasco et al. 2005). The phytoliths (grass species indicators) and paleosols (C3 vs. C4 grass indicators)

513 are also well-characterized in the area (Figure 8; Fox and Koch 2003; Strömberg 2005, 2011). Other

514 potential candidate regions include the John Day region of Oregon and the state of , both with

515 remarkable fossil records of horse evolution and extensive research into climatic and habitat change

516 through time (Stock 1946; Macfadden and Cerling 1996; MacFadden et al. 1999; Retallack 2004;

517 Maguire and Stigall 2008; Maguire 2015). However, there are tradeoffs to choosing regional-scale

518 studies: in exchange for better-controlled data and more power to detect trends locally, one gives up

519 some amount of power to explain global trends. In other words, trends at one scale cannot necessarily

520 be extrapolated to others—a critical challenge of macroevolutionary studies in general (Jablonski 2008).

521 Although qualitatively the trend appears to point toward monodactyly being ‘optimal,’ at least

522 in grasslands, this pattern has yet to be quantitatively tested—and as we know from work showing that Evolution of a single toe in horses 23

523 body size evolution was likely not directional in horses, apparent trends can be deceiving. Phylogenetic

524 comparative methods offer a way to explicitly test the evolutionary mode of trends like these.

525 Evolutionary model-fitting can compare the fit of models such as Brownian Motion (a random walk), an

526 Ornstein-Uhlenbeck (OU) process (a model where the trait is being pulled with some strength towards

527 an adaptive peak of some ‘optimal’ value), or a multi-peak OU model, which allows for multiple optima

528 that may correspond to another feature such as habitat (Hansen 1997; Butler and King 2004). In an in-

529 progress study, we explicitly test digit reduction in this framework, investigating whether digit reduction

530 is pulled to some adaptive optimum for all of equids (i.e., some degree of digit reduction is “optimal”) or

531 whether that optimum varies based on habitat type (e.g., forest-dwelling species are pulled towards

532 some moderate value of TRI whereas grassland dwellers are pulled towards monodactyly). Alternatively,

533 if different habitats drive different rates of digit evolution but there is no trait optimum, a multi-rate

534 model would be more appropriate (Collar et al. 2010). A study such as this would also be suited to a

535 more broadly comparative context, evaluating whether the mode of digit reduction evolution is similar

536 in other taxa (e.g., artiodactyls or litopterns).

537

538 Conclusion

539 The evolution of monodactyly in horses is remarkable and is unique among extant animals, but

540 fortunately for scientists, the themes of digit reduction, habitat change, and body size change are

541 repeated many times in the fossil record. Reviewing the available evidence makes it clear that we are

542 unlikely to find a single evolutionary driver to be solely responsible for the evolution of monodactyly,

543 because open habitat, changes in substrate, changes in foot posture, and changes in body size can all tie

544 to one another and to broader ecological drivers such as changing climate. However, we argue that by

545 combining finer-scale regional studies, quantitative biomechanical studies, and careful analysis of

546 convergent clades, it will be possible to estimate the relative contributions of these evolutionary drivers. Evolution of a single toe in horses 24

547 Even if digit reduction is ultimately not driven by the same factors in each clade (as may be the case with

548 horses vs. litopterns), such a discovery would be a considerable leap forward in our understanding of

549 how—and why—horses evolved a single toe.

550

551 Funding

552 This work was supported by the National Science Foundation [DGE-1144152 to B.K.M, DEB-

553 1701656 to B.K.M and S.E.P].

554

555 Acknowledgments

556 The authors would like to thank Zachary Morris and other members of the Pierce and Biewener

557 labs for productive discussion; Talia Moore for help conceptualizing Figure 6; Samantha Hopkins and

558 Edward Davis, who first encouraged the equid evolutionary line of thinking and have provided ongoing

559 thoughts; and Abigail Parker and Tristan Reinecke, whose work contributed to ideas mentioned in this

560 review. Hayley O’Brien suggested looking into caviomorph rodents. Zhijie Jack Tseng and an anonymous

561 reviewer provided helpful comments that improved the manuscript. Finally, the authors would like to

562 thank Samantha Price and Martha Muñoz, who organized the symposium on Biomechanics in the Era of

563 Big Data, to which this paper is a contribution.

564

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825

826 Figure Captions

827 Figure 1. The anatomy of modern Equus metapodials; proximal articular views are of the metacarpal (A)

828 and metatarsal (B), and the metacarpal and phalanges are shown in anterior (C) and posterior (D) views.

829 Abbreviations: digits II, III, and IV are shown for the metacarpal and metatarsal; PP is proximal phalanx;

830 MP is medial phalanx; DP is distal phalanx. Sesamoids are indicated with lines.

831 Figure 2. The linear progression of horses (small to large, many toes to one toe, low-crowned teeth to

832 high-crowned teeth), a view that dominated early narratives about equid evolution. Modified from

833 Matthew (1926). Evolution of a single toe in horses 36

834 Figure 3. A simplified cladogram of horse genera with tapir as an outgroup. Topology after Froehlich

835 (2002), Fraser et al. (2015), Jones (2016), and Bai et al. (2018). Subclades are highlighted by color and

836 are after Famoso and Davis (2014) and Cantalapiedra et al. (2017), but are frequently paraphyletic (e.g.,

837 the Merychippus-Grade Equinae). Note that “Merychippus” is a known polyphyletic group, and here we

838 include only one of several phylogenetic positions for taxa called Merychippus; see Fraser et al. (2015).

839 Digit state is shown by lines (solid black for semi-tetradactyl, thin gray for tridactyl, dotted black for

840 monodactyl). Size is indicated by a circle, scaled based on the base-10 logarithm of body mass (where

841 available). Extant taxa are marked with an asterisk.

842 Figure 4. An illustration of the measurements used to calculate TRI. First the lengths of the proximal side

843 phalanges (PPlengthIV and PPlengthII) are averaged, then this value is divided by the length of the

844 proximal center phalanx (PPlengthIII). Illustration modified from Matthew (1926).

845 Figure 5. A of some horse genera showing discrete categories of digit state (left) vs.

846 Toe Reduction Index (TRI), a continuous measure of digit reduction (right). TRI captures considerable

847 variation within tridactyl horses that is missed by discrete categories. Modified from Parker et al. (2018).

848 Figure 6. Morphology interacts with the environment to create a given performance, which then

849 (modulated by competition) determines fitness in that environment. Selection acts according to fitness,

850 driving evolutionary change in morphology.

851 Figure 7. Global temperature through time, with significant biotic and abiotic events highlighted.

852 Temperature, climatic event, and ice sheet data from Zachos et al. (2001); equid data from Bai et al.

853 (2018), MacFadden and Hulbert (1988), and Janis (2007), with equid and litoptern data from MacFadden

854 (1994); grassland and hypsodonty data from Strömberg (2005, 2011); pursuit predator data from Janis

855 and Wilhelm (1993). Ages indicated by annotations are approximate, and in many cases (e.g., the spread

856 of grasslands) are ± several million years. Note that oxygen isotope to degrees Celsius relationships are Evolution of a single toe in horses 37

857 calculated for an ice-free ocean, so temperature estimates are only valid until approximately 35 Ma

858 (Zachos et al. 2001).

859 Figure 8. Equid occurrences (orange, Paleocene, Eocene and Oligocene; yellow, Miocene, Pliocene, and

860 Pleistocene) across a section of North America. Size of the circle is scaled to number of occurrences. The

861 densely sampled Great Plains region is highlighted in pale orange. Sites characterized for C3 vs. C4

862 grasses (Fox and Koch 2003) are shown by magenta circles; sites characterized for grassland indicator

863 phytoliths (Strömberg 2005, 2011) are shown by blue and purple circles.