The Interaction between Vitamin D and Extracellular Calcium on Osteogenic Differentiation
Dongqing Yang
B.Sc, M.Biotechnology
Thesis submitted in fulfilment of the requirements for the degree of
Doctor of Philosophy
October, 2014
7KH'LVFLSOLQHRI0HGLFLQH
6FKRRORI0HGLFLQH
)DFXOW\RI+HDOWK6FLHQFHV
7KH8QLYHUVLW\RI$GHODLGH
6RXWK$XVWUDOLD
$XVWUDOLD TABLE OF CONTENTS
Thesis abstract...... I
Declaration...... III
Acknowledgements...... IV
Publications and Presentations ...... VI
Chapter 1 Literature review: The interaction between vitamin D and
extracellular calcium in osteogenic differentiation...... 1
1.1 Osteoblast biology ...... 2
%RQHIRUPDWLRQE\RVWHREODVWV
'LIIHUHQWLDWLRQRIRVWHREODVWV
D )URPPHVHQFK\PDOVWHPFHOOVWRSUHRVWHREODVWV
E 3UHRVWHREODVWVWRLPPDWXUHRVWHREODVWV
F 0LQHUDOLVDWLRQE\PDWXUHRVWHREODVWVDQGWKHWUDQVLWLRQWRHDUO\RVWHRF\WHV
G 7KHILQDOVWDJHRIRVWHREODVWGLIIHUHQWLDWLRQPDWXUHRVWHRF\WHV
6NHOHWDOVLWHGLIIHUHQFHV
1.2 Nutritional factors interacting with osteoblasts ...... 13
9LWDPLQ'
D 9LWDPLQ'ELRORJ\
E 7KHHQGRFULQHUROHRIYLWDPLQ'
F 1RQFODVVLFDODFWLRQVRIYLWDPLQ' L G 9LWDPLQ'LQKLELWVRVWHREODVWSUROLIHUDWLRQ
H 9LWDPLQ'DFWLYLW\DQGRVWHREODVWGLIIHUHQWLDWLRQ
([WUDFHOOXODUFDOFLXPFRQFHQWUDWLRQ
1.3 Conclusions and proposal for study ...... 25
$LPRIVWXG\
+\SRWKHVHV
$SSURDFKHV
Chapter 2 Materials and Methods...... 28
2.1 Materials ...... 28
&KHPLFDOVDQGUHDJHQWV
0ROHFXODUELRORJ\UHDJHQWV
$QLPDOV
2.2 Nucleotide preparations ...... 29
'1$H[WUDFWLRQ
51$H[WUDFWLRQ
F'1$V\QWKHVLV
&RQYHQWLRQDO3&5 SRO\PHUDVH&KDLQ5HDFWLRQ
5HDOWLPH3&5
2.3 Isolation of osteoblasts ...... 32
2VWHRJHQLFJURZWKPHGLD
LL 2VWHRJHQLFGLIIHUHQWLDWLRQPHGLD
,VRODWLRQRIRVWHREODVWOLNHFHOOVIURPQHRQDWDOPRXVHFDOYDULDOERQHV
&U\RSUHVHUYDWLRQDQGWKDZLQJRIFHOOV
2.4 Histochemical staining ...... 38
$OL]DULQ5HGVWDLQLQJ
9RQ.RVVDVWDLQLQJ
2.5 Osteoblast proliferation assay ...... 40
2.6 Osteoblast differentiation and mineralisation assay ...... 40
Chapter 3 Differential effects of 1,25-dihydroxyvitamin D on mineralisation and differentiation in two different types of osteoblast- like cultures...... 42
Abstract ...... 46
3.1 Introduction ...... 46
3.2 Materials and methods ...... 47
,VRODWLRQRIRVWHREODVWVIURPMXYHQLOHPRXVHFRUWLFDOERQHV
,VRODWLRQRIRVWHREODVWVIURPPRXVHQHRQDWDOFDOYDULDOERQHV
'LIIHUHQWLDWLRQDVVD\V
6WDWLVWLFV
3.3 Results ...... 49
&KDUDFWHULVDWLRQRIFHOOV
LLL ,QYLWURPLQHUDOLVDWLRQDQGUHVSRQVHWR'
'HIIHFWVRQJHQHH[SUHVVLRQ
3.4 Discussion ...... 50
References ...... 50
Erratum ...... 51
Chapter 4 The regulation of osteogenic differentiation of calvaria- derived osteoblasts in response to 1,25D and calcium, and the influence of the level of VDR expression ...... 52
4.1 Introduction ...... 52
4.2 Experimental methods ...... 54
4.3 Results ...... 60
9GU9'5VWDWXVDQG'PHWDEROLVPLQ9'5.2:7DQG269'5FHOOV
&RPSDULVRQRIJHQHH[SUHVVLRQSURILOHVRI:7DQG9'5.2FHOOV
&RPSDULVRQRIJHQHH[SUHVVLRQSURILOHVRI:7DQG269'5FHOOV
([SUHVVLRQOHYHOVRIRVWHRJHQLFGLIIHUHQWLDWLRQUHODWHGJHQHVXQGHUDFXWHDQG
FKURQLF'WUHDWPHQWVDWGD\RI:7DQG269'5FHOOFXOWXUHV
(IIHFWRIFKURQLF'WUHDWPHQWRQLQYLWURPLQHUDOGHSRVLWLRQE\9'5.2
:7DQG269'5FHOOVXQGHUFRQGLWLRQVRIWRWDOH[WUDFHOOXODUFDOFLXPDWHLWKHU
P0RUP0
4.4 Discussion ...... 81
4.5 Conclusion ...... 90 LY
Chapter 5 Vitamin D metabolites and extracellular calcium promote mineral deposition by a mature osteoblast cell line MLO-A5 ...... 91
Abstract ...... 95
5.1 Introduction ...... 96
5.2 Materials and methods ...... 97
&HOOFXOWXUH
3UROLIHUDWLRQDVVD\
'LIIHUHQWLDWLRQPLQHUDOLVDWLRQDVVD\
6WDWLVWLFVDQDO\VHV
5.3 Results ...... 99
9LWDPLQ'UHFHSWRUDFWLYLW\DQGYLWDPLQ'PHWDEROLVPLQ0/2$FHOOV
$FXWH&\SDLQGXFWLRQZLWKLQKRXUVDQG'OHYHOVIURPPHGLD
VXSHUQDWDQWVRI'DQG'WUHDWHGFXOWXUHV
9LWDPLQ'LQKLELWLRQRI0/2$SUROLIHUDWLRQ
9LWDPLQ'PHWDEROLWHVHQKDQFHPLQHUDOGHSRVLWLRQE\0/2$
(IIHFWVRIYLWDPLQ'PHWDEROLWHVDQGH[WUDFHOOXODUFDOFLXPRQP51$OHYHOVRI
JHQHVUHODWHGWRRVWHRJHQLFGLIIHUHQWLDWLRQDQGPLQHUDOGHSRVLWLRQ
5.4 Discussion ...... 102
Acknowledgements ...... 105
References ...... 106
Y
Chapter 6 Conclusion remarks...... 122
References ...... 129
Appendix I...... 151
Appendix II ...... 156
Appendix III...... 170
YL Thesis abstract
:KLOHWKHUROHRIYLWDPLQ'LQWKHSUHYHQWLRQRIULFNHWVLQFKLOGUHQDQGRVWHRPDODFLDLQ
DGXOWVKDVEHHQZHOOGHPRQVWUDWHGLWVEHQHILWLQWKHWUHDWPHQWRIRVWHRSRURVLVLVVXEMHFW
WRFRQWURYHUV\&OLQLFDOWULDOVRIYLWDPLQ'VXSSOHPHQWDWLRQWRSUHYHQWIUDFWXUHVKDYHEHHQ
FRQGXFWHGZLWKPL[HGUHVXOWVDQGVRPHPHWDDQDO\VHVKDYHLQGLFDWHGOLPLWHGEHQHILWLQ
UHGXFLQJIUDFWXUH ULVN7KHPRVWFRQVLVWHQWEHQHILFLDOHIIHFWVRIYLWDPLQ 'KDYHEHHQ
REWDLQHGZKHQFRPELQHGZLWKFDOFLXPVXSSOHPHQWVGLK\GUR[\YLWDPLQ'DFWVRQ
WKHWKUHHPDMRUW\SHVRIERQHFHOOV RVWHREODVWVRVWHRFODVWVDQGRVWHRF\WHV WRLQLWLDWH
HLWKHU FDWDEROLF RU DQDEROLF DFWLRQV RQ ERQH 7R HOXFLGDWLQJ WKH SRWHQWLDO EHQHILWV RI
YLWDPLQ'WRERQHKHDOWKWKLVVWXG\H[DPLQHGGLUHFWDFWLRQVRIYLWDPLQ'PHWDEROLWHVRQ
ERQHFHOOVIRFXVVLQJRQVWLPXODWLRQRILQYLWURRVWHRJHQLFGLIIHUHQWLDWLRQ7ZRFHOOFXOWXUH
PRGHOV UHSUHVHQWLQJ LPPDWXUH DQG PDWXUH VWDJH RI RVWHREODVWV ZHUH HPSOR\HG WR
LQYHVWLJDWHWKHUROHRIYLWDPLQ'RQRVWHRJHQLFGLIIHUHQWLDWLRQ7KHUHJXODWLRQRIDYDULHW\
RIJHQHH[SUHVVLRQVDQGPRGXODWLRQRIPLQHUDOGHSRVLWLRQE\WKHVHFHOOVZHUHXVHGDV
NH\UHDGRXWV
,QFKDSWHUYLWDPLQ'ZDVREVHUYHGWRSOD\DQLQKLELWRU\UROHRQPLQHUDOGHSRVLWLRQE\
WKH LPPDWXUH FDOYDULDO ERQHGHULYHG RVWHREODVWOLNH FHOOV &DOYDULDO FHOOV EXW GLG QRW
H[HUWDQ\VXSSUHVVLYHHIIHFWRQWKHPDWXUHRVWHREODVWHDUO\RVWHRF\WHFHOOOLQH0/2$
7KXVWKHDFWLRQVRIYLWDPLQ'DSSHDUWREHGHSHQGHQWRQHLWKHUWKHVWDJHRIFHOOPDWXUDWLRQ
RUWKHLUVNHOHWDORULJLQ
7KHVWXGLHVXVLQJ&DOYDULDOFHOOVZHUHH[SDQGHGLQFKDSWHUE\XWLOLVLQJFHOOVGHULYHG
IURPJHQHWLFDOO\PRGLILHGPRXVHOLQHVLQFOXGLQJWKHJOREDOYLWDPLQ'UHFHSWRU 9'5
NQRFNRXW 9'5.2 DQG WKH RYHUH[SUHVVLRQ RI 9'5 LQ RVWHRFDOFLQH[SUHVVLQJ FHOOV
269'5 LQFRPSDULVRQWRFHOOVGHULYHGIURPZLOGW\SHDQLPDOV7KHDFWLYHKRUPRQH
IRUP DGLK\GUR[\YLWDPLQ ' ' SURPRWHG D PDWXUH FHOO SKHQRW\SH DW
, SK\VLRORJLFDOOHYHOV DURXQGS0 GHSHQGHQWRQWKHOHYHORI9GUP51$+RZHYHULQ
269'5FHOOVZLWKKLJKOHYHOVRI9'5DSKDUPDFRORJLFDOFRQFHQWUDWLRQRI' Q0
DSSHDUHGWRVWLPXODWHGHGLIIHUHQWLDWLRQRIWKHRVWHREODVWSKHQRW\SHE\GRZQUHJXODWLQJ
WKHH[SUHVVLRQRIPDWXUHRVWHREODVWRVWHRF\WHJHQHV(QSSDQG7QDSZHUHLGHQWLILHGDV
NH\JHQHVWRPRGXODWHPLQHUDOGHSRVLWLRQLQWKHVHPRGHOV
,QFKDSWHUWKHFHOOOLQH0/2$ZDVDJDLQXWLOLVHGKHUHIRUVWXG\LQJWKHLQWHUDFWLRQ
EHWZHHQ YLWDPLQ ' DQG H[WUDFHOOXODU FDOFLXP RQ RVWHREODVWV %RWK HQGRJHQRXV DQG
H[RJHQRXV VRXUFHV RI ' HLWKHU DORQH RU LQWHUDFWLQJ ZLWK H[WUDFHOOXODU FDOFLXP
LQFUHDVHG PLQHUDO GHSRVLWLRQ DQG WKH H[SUHVVLRQV RI PDWXUDWLRQUHODWHG JHQHV
([WUDFHOOXODUFDOFLXPDOWHUHGYLWDPLQ'PHWDEROLVPE\0/2$FHOOV$JDLQNH\JHQHV
DVVRFLDWHGZLWKPLQHUDOGHSRVLWLRQZHUH(QSSDQG7QDS
'DWD IURP WKLV VWXG\ FRQILUP WKH VWLPXODWRU\ DFWLRQV RI YLWDPLQ ' RQ RVWHRJHQLF
GLIIHUHQWLDWLRQ DQG LGHQWLILHG DQ LQWHUDFWLRQ ZLWK H[WUDFHOOXODU FDOFLXP OHYHOV 0LQHUDO
GHSRVLWLRQ ZDV IRXQG WR EH GHSHQGHQW RQ ' PRGXODWLRQ RI (QSS DQG 7QDS
H[SUHVVLRQV $ KLJKO\ QRYHO ILQGLQJ ZDV WKDW WKH H[WUDFHOOXODU FDOFLXP FRQFHQWUDWLRQ
PRGXODWHVWKHPHWDEROLVPRIYLWDPLQ'DQGWKHPDWXUDWLRQRIWKHVHFHOOV7KHVHGDWDKHOS
WRDGGUHVVWKHFRQWURYHUV\RQWKHDFWLRQVRIYLWDPLQ'RQRVWHREODVWGLIIHUHQWLDWLRQDQG
PLQHUDOLVDWLRQDQGLPSURYHRXUXQGHUVWDQGLQJRIWKHLUELRORJ\
,, Declaration
,FHUWLI\WKDWWKLVZRUNFRQWDLQVQRPDWHULDOZKLFKKDVEHHQDFFHSWHGIRUWKHDZDUGRIDQ\
RWKHUGHJUHHRUGLSORPDLQP\QDPHLQDQ\XQLYHUVLW\RURWKHUWHUWLDU\LQVWLWXWLRQDQGWR
WKHEHVWRIP\NQRZOHGJHDQGEHOLHIFRQWDLQVQRPDWHULDOSUHYLRXVO\SXEOLVKHGRUZULWWHQ
E\DQRWKHUSHUVRQH[FHSWZKHUHGXHUHIHUHQFHKDVEHHQPDGHLQWKHWH[W,QDGGLWLRQ,
FHUWLI\WKDWQRSDUWRIWKLVZRUNZLOOLQWKHIXWXUHEHXVHGLQDVXEPLVVLRQLQP\QDPH
IRUDQ\RWKHUGHJUHHRUGLSORPDLQDQ\XQLYHUVLW\RURWKHUWHUWLDU\LQVWLWXWLRQZLWKRXWWKH
SULRUDSSURYDORIWKH8QLYHUVLW\RI$GHODLGHDQGZKHUHDSSOLFDEOHDQ\SDUWQHULQVWLWXWLRQ
UHVSRQVLEOHIRUWKHMRLQWDZDUGRIWKLVGHJUHH
,JLYHFRQVHQWWRWKLVFRS\RIP\WKHVLVZKHQGHSRVLWHGLQWKH8QLYHUVLW\/LEUDU\EHLQJ
PDGHDYDLODEOHIRUORDQDQGSKRWRFRS\LQJVXEMHFWWRWKHSURYLVLRQVRIWKH&RS\ULJKW$FW
7KHDXWKRUDFNQRZOHGJHVWKDWFRS\ULJKWRISXEOLVKHGZRUNVFRQWDLQHGZLWKLQWKLVWKHVLV
UHVLGHVZLWKWKHFRS\ULJKWKROGHU V RIWKRVHZRUNV
,DOVRJLYHSHUPLVVLRQIRUWKHGLJLWDOYHUVLRQRIP\WKHVLVWREHPDGHDYDLODEOHRQWKHZHE
YLDWKH8QLYHUVLW\¶VGLJLWDOUHVHDUFKUHSRVLWRU\7KH/LEUDU\6HDUFKDQGDOVRWKURXJKZHE
VHDUFKHQJLQHVXQOHVVSHUPLVVLRQKDVEHHQJUDQWHGE\WKH8QLYHUVLW\WRUHVWULFWDFFHVVIRU
DSHULRGRIWLPH
6LJQDWXUH 'DWH
'RQJTLQJ ,,, Acknowledgements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ublications and Presentations Yang D$WNLQV*-7XUQHU$*$QGHUVRQ3+0RUULV+$'LIIHUHQWLDOHIIHFWVRI GLK\GUR[\YLWDPLQ ' RQ PLQHUDOLVDWLRQ DQG GLIIHUHQWLDWLRQ LQ WZRGLIIHUHQWW\SHVRI RVWHREODVWOLNH FXOWXUHV -RXUQDO RI 6WHURLG %LRFKHPLVWU\ DQG 0ROHFXODU %LRORJ\ >:LWK(UUDWXPWR³'LIIHUHQWLDOHIIHFWVRIGLK\GUR[\YLWDPLQ'RQPLQHUDOLVDWLRQDQG GLIIHUHQWLDWLRQLQWZRGLIIHUHQWW\SHVRIRVWHREODVWOLNHFXOWXUHV´-6WHURLG%LRFKHP0RO %LRO ±@ Yang D7XUQHU$$QGHUVRQ3+0RUULV+$$WNLQV*-9LWDPLQ'PHWDEROLWHVDQG H[WUDFHOOXODUFDOFLXPSURPRWHPLQHUDOGHSRVLWLRQE\WKHPDWXUHRVWHREODVWFHOOOLQH0/2 $ 6XEPLWWHGIRUSXEOLFDWLRQ 3XEOLVKHG$EVWUDFWV Yang D$WNLQV*-$QGHUVRQ3+:HOOGRQ.-0RUULV+$ 7KHUROHRIYLWDPLQ ' LQ WKH SUROLIHUDWLRQ DQG GLIIHUHQWLDWLRQ RI RVWHREODVWV LQ YLWUR 2VWHRSRURVLV ,QWHUQDWLRQDO6XSSO Yang D$WNLQV*-7XUQHU$$QGHUVRQ30RUULV+$ 'LIIHUHQWLDOHIIHFWVRI GLK\GUR[\YLWPDLQ'RQLQYLWURPLQHUDOGHSRVLWLRQLQWHUDFWLRQEHWZHHQRVWHREODVWVWDJH DQGFXOWXUHPHGLXPFDOFLXPFRQFHQWUDWLRQ3UHVHQWHGDWWKH$PHULFDQ6RFLHW\IRU%RQH DQG0LQHUDO5HVHDUFK $6%05 $QQXDO*HQHUDO0HHWLQJ0LQQHDSROLV0186$ -RXUQDORI%RQHDQG0LQHUDO5HVHDUFKVXSSO6 2UDO3UHVHQWDWLRQV Yang D.7KHUROH9LWDPLQ'LQWKHSUROLIHUDWLRQDQGGLIIHUHQWLDWLRQRIRVWHREODVWV7KH WK &ODUH9DOOH\%RQH0HHWLQJ&ODUH6$$XVWUDOLD 9, Yang D.7KHUROHRIFDOFLWUROLQWKHGLIIHUHQWLDWLRQRIRVWHREODVWVLQYLWUR7KHWK &ODUH9DOOH\%RQH0HHWLQJ&ODUH6$$XVWUDOLD Yang D. 'LIIHUHQWLDO HIIHFWV RI GLK\GUR[\YLWDPLQ ' ' RQLQ YLWUR PLQHUDO GHSRVLWLRQ ,QWHUDFWLRQ EHWZHHQ RVWHREODVW VWDJH RI PDWXUDWLRQ DQG FXOWXUH PHGLXP FDOFLXP FRQFHQWUDWLRQ $XVWUDOLDQ 6RFLHW\ IRU 0HGLFDO 5HVHDUFK $605 6FLHQWLILF 0HHWLQJ$GHODLGH6$$XVWUDOLD 3RVWHU3UHVHQWDWLRQV Yang D$WNLQV*-$QGHUVRQ3+:HOOGRQ.-0RUULV+$7KHUROHRIYLWDPLQ'LQWKH SUROLIHUDWLRQ DQG GLIIHUHQWLDWLRQ RI RVWHREODVWV 7KH WK $XVWUDOLDQ DQG 1HZ =HDODQG %RQH DQG 0LQHUDO 6RFLHW\ $1=%06 $QQXDO 6FLHQWLILF 0HHWLQJ $GHODLGH $XVWUDOLD Yang D$WNLQV*-$QGHUVRQ3+:HOOGRQ.-0RUULV+$7KHUROHRIYLWDPLQ'LQWKH SUROLIHUDWLRQ DQG GLIIHUHQWLDWLRQ RI RVWHREODVWV LQ YLWUR7KH,2)5HJLRQDOVQG$VLD 3DFLILF 2VWHRSRURVLV DQG %RQH 0HHWLQJ VW $1=%06 $QQXDO 6FLHQWLILF 0HHWLQJ FRPELQHGZLWKWKH-DSDQHVH6RFLHW\RI%RQH 0LQHUDO5HVHDUFK*ROG&RDVW 4/'$XVWUDOLD Yang D$WNLQV*-7XUQHU$*$QGHUVRQ3+0RUULV+$7KHUROHRIFDOFLWULROLQWKH GLIIHUHQWLDWLRQRIRVWHREODVWLQYLWUR7KHWK:RUNVKRSRQ9LWDPLQ'-XQH± +RXVWRQ7;86$ 9,, Chapter 1: Literature Review The interaction between vitamin D and extracellular calcium in osteogenic differentiation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hapter 1: Literature Review 1.1 Osteoblast biology %RQHIRUPDWLRQE\RVWHREODVWV 7KHUH DUH WZR GLIIHUHQW ELRORJLFDO SURFHVVHV E\ ZKLFK QHZ ERQH LV IRUPHG LQWUDPHPEUDQRXV RVVLILFDWLRQ DQG HQGRFKRQGUDO RVVLILFDWLRQ ,QWUDPHPEUDQRXV RVVLILFDWLRQ UHTXLUHV WKH PLJUDWLRQ RI PHVHQFK\PDO VWHP FHOOV 06&V WR WKH ERQH IRUPDWLRQVLWHVDQGWKHLUGLUHFWGLIIHUHQWLDWLRQLQWRRVWHREODVWVEXWZLWKRXWWKHIRUPDWLRQ RI LQWHUPHGLDWH FDUWLODJH ,QWUDPHPEUDQRXV RVVLILFDWLRQ LV XVXDOO\ UHODWHG WR WKH IRUPDWLRQRIWKHµIODW¶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µRVWHR¶*UHHNIRUµERQH¶DQGµEODVW¶*UHHNIRUµJHP¶RU µHPEU\RQLF¶ VXFK WKDW RVWHREODVW LV WKH WHUP IRU µWR PDNH ERQH¶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aN'D WREHVHFUHWHGIURPWKHFHOO7KHFRQMXQFWLRQRIWZRKHPLFKDQQHOV IURPVHSDUDWHFHOOVDOORZVLQWHUFHOOXODUFRPPXQLFDWLRQEHWZHHQRVWHRF\WHVWKLVW\SHRI SDLUHGFRQQH[RQKHPLFKDQQHOFRPSOH[LVWHUPHGDJDSMXQFWLRQ 2VWHRF\WHVDOVR FRPPXQLFDWHZLWKRVWHREODVWVDQGRVWHRFODVWVWKURXJK*-$FRPSRVHGJDSMXQFWLRQV ZKLFKDOORZWKHLQWHUFHOOXODUWUDQVSRUWDWLRQRIVPDOOVLJQDOOLQJPROHFXOHV XSWRN'D VXFKDVDPLQRDFLGVF$03QLWULFR[LGH 12 DQGSURVWDJODQGLQ( 3*( 2WKHU WKDQWKHJDSMXQFWLRQWKHXQSDLUHGKHPLFKDQQHORQWKHRVWHRF\WHFHOOVXUIDFHKDVDOVR EHHQGHPRQVWUDWHGWRSOD\LPSRUWDQWUROHVLQERQHUHJXODWLRQSDUWLFXODUO\LQUHVSRQGLQJ WRIOXLGIORZVKHDUWKHFKDQJHVLQFDOFLXPFRQFHQWUDWLRQS+PRGXODWLRQDQGPHPEUDQH SRWHQWLDO ,QWKHUHVSRQVHWRPHFKDQLFDOORDGLQJSK\VLFDOVWLPXOLDUHWUDQVODWHGLQWR FKHPLFDO RU HOHFWULFDO VLJQDOV )RU H[DPSOH 3*( LV VHFUHWHG E\ RVWHRF\WHV WKURXJK KHPLFKDQQHOV ZKHQ VHQVLQJ VNHOHWDO ORDGLQJ DQG WKHQ WUDQVSRUWHG WR QHLJKERXULQJ RVWHRF\WHVDQGRWKHUERQHFHOOW\SHVE\SDVVLQJWKURXJKWKHJDSMXQFWLRQQHWZRUN 3UHYLRXVGDWDVKRZHGWKDWWKHORQJWHUPDGPLQLVWUDWLRQRI3*(LQYLYRLQGXFHGERQHORVV EHFDXVH RI WKH LQFUHDVHG RVWHRFODVW DFWLYLW\ KRZHYHU LQWHUPLWWHQW 3*( WUHDWPHQW HQKDQFHG RVWHREODVW DFWLYLW\ DQG KHQFH ERQH IRUPDWLRQ ,Q DQRWKHU VWXG\ RVWHRF\WHOLNH0/2<FHOOVZHUHVHHGHGDWORZGHQVLW\LQFXOWXUHWROLPLWWKHSK\VLFDO LQWHUDFWLRQVEHWZHHQFHOOVYLDJDSMXQFWLRQVWRWHVWWKHXQRSSRVHGKHPLFKDQQHOIXQFWLRQ ,Q WKDW VWXG\ DIWHU WKH NQRFNGRZQ RI*MD XVLQJ DQWLVHQVH ROLJRGHR[\QXFOHRWLGH WKH UHOHDVHRI3*(ZDVIRXQGWREHVLJQLILFDQWO\UHGXFHGFRPSDUHGWRWKHXQWUHDWHGFRQWURO FXOWXUH7KLVVWXG\LQGLFDWHGWKHLPSRUWDQFHRIWKHXQSDLUHGKHPLFKDQQHOLQWUDQVPLWWLQJ FHOO VLJQDOV LPSO\LQJ WKH H[LVWHQFH RI FRPPXQLFDWLRQ EHWZHHQ RVWHRF\WHV DQG WKHLU H[WUDFHOOXODU HQYLURQPHQW $ UHFHQW UHYLHZ VXPPDULVHG WKH LQWHUDFWLRQV EHWZHHQ RVWHRF\WHSODVPDPHPEUDQHSRWHQWLDODQGH[WUDFHOOXODUFDOFLXPOHYHOVZLWKRVWHRF\WHV FRQILJXUHGLQHLWKHUDQLVRODWHGRUQHWZRUNHGPDQQHULQGLFDWLQJWKHLPSRUWDQWUROHRIWKH WZRGLVWLQFWKHPLFKDQQHOEDVHGFRPPXQLFDWLRQPHFKDQLVPV $QLPSRUWDQWIDFWRUVHFUHWHGE\RVWHRF\WHVWRUHJXODWHWKHDFWLYLWLHVRIERWKRVWHREODVWV DQGRVWHRFODVWVWRPDLQWDLQERQHKRPHRVWDVLVLVVFOHURVWLQ0DWXUHRVWHRF\WHVSURGXFHD KLJKOHYHORIWKHVFOHURVWLQSURWHLQWKURXJKWKHH[SUHVVLRQRIWKH62676RVWJHQH6LQFH VFOHURVWLQ KDV D PROHFXODU PDVV EHWZHHQ N'D WKLV PROHFXOH LV XQOLNHO\ WR EH WUDQVSRUWHGWKRXJKJDSMXQFWLRQ6FOHURVWLQLVVXJJHVWHGWREHVHFUHWHGE\RVWHRF\WHVDQG WKHQWUDQVSRUWHGWRRWKHURVWHRF\WHVRURVWHREDOVWVDQGRVWHRFODVWVE\H[WUDFHOOXODUIOXLG 6FOHURVWLQ LQKLELWV ERQH IRUPDWLRQ E\ LQKLELWLQJ WKH :QWEFDWHQLQ VLJQDOOLQJ SDWKZD\WRUHGXFHRVWHREODVWDFWLYLWLHV DQGLWKDVDOVREHHQVXJJHVWHGWREHDSUR FDWDEROLFIDFWRUE\DFWLYDWLQJRVWHRFODVWRJHQHVLVWKURXJKXSUHJXODWLQJWKHH[SUHVVLRQRI WKHRVWHRFODVWDFWLYDWRUUHFHSWRUDFWLYDWRURIQXFOHDUIDFWRUNDSSD%OLJDQG 5$1./ 0RUHUHFHQWO\RXUJURXSGHPRQVWUDWHGWKDWVFOHURVWLQLQGXFHGWKHSURGXFWLRQRI FDWDEROLFPHGLDWRUVLQRVWHRF\WHVDQGSURPRWHGRVWHRF\WHPHGLDWHGUHOHDVHRIFDOFLXPLQ DPDQQHUFRQVLVWHQWZLWKRVWHRF\WLFRVWHRO\VLV 6NHOHWDOVLWHGLIIHUHQFHV $VGLVFXVVHGDERYHWKHVNHOHWRQLVFRPSULVHGRIDYDULHW\RIERQHVWUXFWXUHVDQGERQH IRUPDWLRQYDULHVEHWZHHQWKHVHDQDWRPLFDOVLWHV$OWKRXJKRVWHREODVWVZLWKLQWKHVHVLWHV DUH DOO GLIIHUHQWLDWHG IURP PHVHQFK\PDO SURJHQLWRU FHOOV RVWHREODVWV GHPRQVWUDWH GLIIHUHQW FHOO SKHQRW\SHV QRW RQO\ UHODWHG WR WKH GLIIHUHQWLDWLRQ VWDJH EXW DOVR WR WKH VNHOHWDOVLWHIURPZKLFKWKH\RULJLQDWHG&HOOFXOWXUHVWXGLHVKDYHVKRZQWKDWKXPDQERQH FHOOVGHULYHGIURPPDQGLEXODUERQHH[KLELWGHFUHDVHGRVWHREODVWLFDFWLYLWLHVFRPSDUHGWR FHOOV GHULYHG IURP LOLDF FUHVW ERQH DV HYLGHQFHG E\ ORZHU SURGXFWLRQ RI 71$3 RVWHRFDOFLQ 2&1ERQHJFDUER[\ODWH *OD SURWHLQ %*/$3 DQGDVPDOOHUUHVSRQVHWR PLWRJHQLF VWLPXODWLRQ LQ WKH PDQGLEXODU ERQH FHOO JURXS $ PRUH UHFHQW VWXG\ FRPSDUHG WKH SURSHUWLHV RI WUDEHFXODU ERQH IURP KXPDQ LOLDF FUHVW DQG OXPEDU VSLQH ZKLFKDUHGLIIHUHQWVNHOHWDOVLWHVH[SHULHQFLQJORZDQGKLJKOHYHOVRIPHFKDQLFDOORDGLQJ UHVSHFWLYHO\7KHDXWKRUVUHSRUWHGWKDWWKHRVWHREODVWJHQHH[SUHVVLRQRI&2/$581; DQG%03 DQGRVWHRF\WHVSHFLILF JHQHVLQFOXGLQJ0(3(6267'03DQG)*) ZHUHDOOKLJKHULQOXPEDUVSLQHWKDQLOLDFFUHVW $GGLWLRQDOO\9'5P51$H[SUHVVLRQ ZDVIRXQGWREHIROGKLJKHULQWKHVNXOOWKDQLQORQJERQHVRIOLPEVZKLFKFRXOGEHRQH RIWKHUHDVRQVWKDWERQHIURPGLIIHUHQWVNHOHWDOVLWHVUHVSRQGVGLIIHUHQWLDOO\WRYLWDPLQ' 6XFK HYLGHQFH VXJJHVWV WKDW GLIIHUHQW ERQH HQYLURQPHQWV PD\ FRQWULEXWH WR GLIIHUHQWLDOERQHFHOOSKHQRW\SHVDPRQJVWRVWHREODVWVKRZHYHULWLVDV\HWXQFOHDUKRZ VXFKSKHQRW\SLFGLIIHUHQFHVFRXOGEHUHODWHGWRERQHSK\VLRORJ\RUKHDOWK 1.2 Nutritional factors interacting with osteoblasts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Į GLK\GUR[\YLWDPLQ ' ' +RZHYHU WKH SUHFLVH PHFKDQLVPV E\ZKLFKYLWDPLQ' UHJXODWHVRVWHREODVWGLIIHUHQWLDWLRQDUH\HWWREHIXOO\HOXFLGDWHG D 9LWDPLQ'ELRORJ\ 7KHFKHPLFDOVWUXFWXUHVLQHDFKVWHSRIYLWDPLQ'PHWDEROLVPDUHVKRZQLQILJXUH$ 7KHELRV\QWKHVLVRIYLWDPLQ'WKHIRUPRIYLWDPLQ'V\QWKHVLVHGLQYLYRLQDQLPDOV RFFXUVLQNHUDWLQRF\WHVDQGGHUPDOILEUREODVWVIROORZLQJH[SRVXUHWR8OWUDYLROHW% 89% O QP UDGLDWLRQ SUHVHQW LQ VXQOLJKW YLWDPLQ ' LV V\QWKHVLVHG IURP GHK\GURFKROHVWHURO ZLWKLQ WKH SODVPD PHPEUDQHV RI WKHVH FHOOV :LWK H[SRVXUH WR VXQOLJKW GHK\GURFKROHVWHURO DEVRUEV WKH HQHUJ\ IURP 89% FDXVLQJ D FDUERQ ULQJ UHDUUDQJHPHQW WR IRUP SUHYLWDPLQ ' 3UHYLWDPLQ ' LV WKHQ WUDQVIHUUHG DFURVV WKH PHPEUDQH DQG XQGHUJRHV D IXUWKHU UHDUUDQJHPHQW LQWR YLWDPLQ ' ZKLFK LV WKHUPRG\QDPLFDOO\ VWDEOH %HVLGHV WKH SURGXFWLRQ LQ NHUDWLQRF\WHV WKH RWKHU LPSRUWDQWVRXUFHRIYLWDPLQ'LVLQWDNHIURPIRRGVVXFKDVIDWW\ILVKDQGYLWDPLQ' VXSSOHPHQWV7KLVVRXUFHRIYLWDPLQ'LVHVSHFLDOO\LPSRUWDQWIRUDJHGSHRSOHZKRVH V\QWKHVLVRIYLWDPLQ'LQWKHVNLQLVQRWDVHIILFLHQWDVWKDWLQ\RXQJHUSHRSOH 7KHPHWDEROLVPRIYLWDPLQ'LQYROYHVWKHLQLWLDOK\GUR[\ODWLRQRQFDUERQDWRPE\ WKH OLYHU JLYLQJ ULVH WR K\GUR[\YLWDPLQ ' ' ZKLFK LV WKH PRVW DEXQGDQW PHWDEROLWHRIYLWDPLQ'LQWKHFLUFXODWLRQ 7KHELRDFWLYHIRUPRIYLWDPLQ' 'LVIRUPHGIROORZLQJK\GUR[\ODWLRQLQSRVLWLRQRI'7KLVUHDFWLRQLVFDWDO\VHG E\WKHF\WRFKURPH3HQ]\PHK\GUR[\YLWDPLQ'DOSKDK\GUR[\ODVHHQFRGHG E\WKHJHQH&<3% 'FDWDEROLVPILUVWLQYROYHV&K\GUR[\ODWLRQE\WKH K\GUR[\YLWDPLQ'K\GUR[\ODVH &<3$ WRIRUPDWULK\GUR[\YLWDPLQ' ZKLFKLVWKHQPRGLILHGWKURXJKDVHULHVRIIXUWKHULQWHUPHGLDWHVWRFDOFLWURLFDFLGE\WKH VDPHHQ]\PH 'UHJXODWHV JHQHH[SUHVVLRQWKURXJKWKHELQGLQJRIQXFOHDUYLWDPLQ'UHFHSWRU 9'5 7KH'9'5FRPSOH[IXUWKHULQWHUDFWVZLWKVSHFLILF'1$ PRWLIVWHUPHG YLWDPLQ'UHVSRQVHHOHPHQWV 9'5(V ORFDWHG HLWKHUXSVWUHDPRUGRZQVWUHDP RI WKH 5HDUUDQJHPHQWRI FDUERQULQJFDXVHG E\89% (QHUJ\RI89% &URVVPHPEUDQH OQP DQGUHIRUP 9LWDPLQ' GHK\GURFKOROHVWHURO 3UHYLWDPLQ ' YLWDPLQ' HQ]\PH&<35 &RQYHUVLRQRI WR'E\ &RQYHUVLRQRI'WRWKH DFWLYHPHWDEROLWH' E\HQ]\PH&<3% DGLK\GUR[\YLWDPLQ' K\GUR[\YLWDPLQ' 'E\HQ]\PH 'E\HQ]\PH 'HDFWLYDWLRQRI 'HDFWLYDWLRQRI &<3 &<3 DWULK\GUR[\YLWDPLQ' GLK\GUR[\YLWDPLQ' )LJXUH $ 9LWDPLQ ' PHWDEROLVP & DQG & LQGLFDWH WKH DFWLYDWLRQ K\GUR[\ODWLRQ RI YLWDPLQ ' & LQGLFDWHV WKH LQDFWLYDWLRQ K\GUR[\ODWLRQ RI YLWDPLQ ' 15 SURPRWHUUHJLRQVRIYLWDPLQ'UHVSRQVLYHJHQHDQGH[HUWVHQKDQFLQJRULQKLELWRU\HIIHFWV RQWKHWUDQVFULSWLRQRIWKHWDUJHWJHQH %HVLGHVJHQRPLFUHJXODWLRQ'LVDOVR WKRXJKWWRH[HUWQRQJHQRPLFHIIHFWVRQFHOOVWKURXJKWKHELQGLQJZLWK9'5LQSODVPD PHPEUDQH LQ D UDSLG UHVSRQVLYH PDQQHU 7KLV UDSLG UHVSRQVH WR ' LV WKRXJKW WR PDLQO\ LQIOXHQFH FDOFLXP FKDQQHOV ZLWKLQ WKH SODVPD PHPEUDQH DQG VXSSUHVV PLWRJHQDFWLYDWHGSURWHLQNLQDVH 0$3. SDWKZD\VWRPRGXODWHFHOOSUROLIHUDWLRQ E 7KHHQGRFULQHUROHRIYLWDPLQ' 8QGHUKHDOWK\SK\VLRORJLFDOFRQGLWLRQVWKHSURGXFWLRQIURPNLGQH\LVFRQVLGHUHGWREH WKHRQO\VRXUFHRIFLUFXODWLQJ',QWKHZHOOVWXGLHGFODVVLFDOYLWDPLQ'HQGRFULQH V\VWHPFDOFLXPDQGSKRVSKDWHKRPHRVWDVLVLVPDLQWDLQHGE\WKHHQGRFULQHDFWLYLWLHVRI FLUFXODWLQJ'7KLVFRPSOH[LQWHUDFWLRQSULPDULO\LQYROYHVWKHFRRUGLQDWLRQRIDFWLRQV RIYLWDPLQ'DQGRWKHUFDOFLRWURSLFKRUPRQHVRQLQWHVWLQHNLGQH\SDUDWK\URLGJODQGV DQG ERQH ,Q WKH LQWHVWLQH ' LV WKH SULQFLSDO IDFWRU FRQWUROOLQJ FDOFLXP DQG SKRVSKDWHDEVRUSWLRQ7KHLQWHUDFWLRQRI'ZLWKLQWHVWLQDO9'5GLUHFWO\LQGXFHVWKH H[SUHVVLRQ RI FDOFLXP ELQGLQJ SURWHLQV VXFK DV &DOELQGLQ . ZKLFK LV WKH FDOFLXP WUDQVFHOOXODU WUDQVSRUW DJHQW LQ WKH LQWHVWLQH WKLV FDSWXUHV FDOFLXP LRQV &D E\ SK\VLFDOO\ELQGLQJWKHPDQGWKHQWUDQVIHUVWKHPWKURXJKWKHHQWHURF\WHF\WRSODVP$WWKH VDPHWLPHLWDFWVDVDF\WRVROLFEXIIHUWRSURWHFWWKHLQWHVWLQDOFHOOVIURPWKHWR[LFLW\RI WKH LQFUHDVLQJ FDOFLXP OHYHO ,Q WKH NLGQH\ WKH PHFKDQLVP RI FDOFLXP UHDEVRUSWLRQLVVLPLODUWRWKH'9'5PHGLDWHGSURFHVVLQWKHLQWHVWLQHH[FHSWWKDW WKHFDOFLXPWUDQVSRUWSURWHLQLQYROYHGLV&DOELQGLQ.ZKRVHH[SUHVVLRQLVDOVRXS UHJXODWHGE\' &LUFXODWLQJ'SOD\VDUROHLQUHJXODWLQJUHQDO&<3%DQG&<3$DFWLYLW\LQD QHJDWLYH IHHGEDFN ORRS :LWKLQ WKH UHQDO WXEXOH HSLWKHOLXP ' LQKLELWV &<3% WUDQVFULSWLRQE\D9'5PHGLDWHGPHFKDQLVPWKURXJKDSUHYLRXVO\LGHQWLILHGYLWDPLQ' LQWHUDFWLQJUHSUHVVRU 9',5 LQWKHKXPDQ&<3%JHQHSURPRWHU )XUWKHUPRUH 'GUDPDWLFDOO\LQGXFHVWKHH[SUHVVLRQRI&<3$WKURXJKPXOWLSOHDQGSRZHUIXO SRVLWLYH 9'5(V ZKLFK KDYH EHHQ FKDUDFWHULVHG LQ WKH &<3$ JHQH SURPRWHUV LQ GLIIHUHQW VSHFLHV LQFOXGLQJ UDW PRXVH DQG KXPDQ 7KURXJKWKHVHQHJDWLYH IHHGEDFNUHVSRQVHVRQERWK&<3%DQG&<3$JHQHH[SUHVVLRQWKHSURGXFWLRQDQG LQDFWLYDWLRQRI'DUHFRRUGLQDWHGWRUHJXODWHFLUFXODWLQJ'OHYHOVDQGDYRLGWKH WR[LFLW\RIKLJKOHYHOVRI' ,Q WKH HQGRFULQH V\VWHP FLUFXODWLQJ ' OHYHOV DUH LQFUHDVHG E\ WKH DFWLRQ RI SDUDWK\URLGKRUPRQH 37+ RQWKHSUR[LPDOWXEXODUUHQDOFHOOVXQGHUWKHFRQGLWLRQRI K\SRFDOFDHPLD37+LVWKHNH\KRUPRQHWKDWFHQWUDOO\UHJXODWHVWKHH[WUDFHOOXODUFDOFLXP OHYHO,QWKHSDUDWK\URLGJODQGWKHFDOFLXPVHQVLQJUHFHSWRU &D5 GHWHFWVWKHFDOFLXP FRQFHQWUDWLRQ LQ H[WUDFHOOXODU IOXLG (&) :KHQ WKH FDOFLXP OHYHO GHFUHDVHV 37+ LV VHFUHWHGDQGDFWVDWWKHNLGQH\WRVWLPXODWHUHQDO&<3%H[SUHVVLRQE\HQKDQFLQJLWV SURPRWHU DFWLYLW\ WKURXJK WKH F\FOLF $03 F$03 SDWKZD\ &RUUHVSRQGLQJO\ 'SURGXFWLRQLVLQFUHDVHGEHFDXVHRIWKHLQFUHDVHGOHYHOVRIWKH&<3%HQ]\PH IROORZLQJZKLFK'DFWVWRQRUPDOLVHEORRGFDOFLXPOHYHOV$WWKHVDPHWLPH' KDVDQHJDWLYHIHHGEDFNUHVSRQVHLQWKHSDUDWK\URLGJODQGE\LQKLELWLQJWKH37+V\QWKHVLV WKURXJKDFWLQJRQWKHQHJDWLYH9'5(LQWKH37+JHQHSURPRWHU 'LVGHOLYHUHGWRWDUJHWWLVVXHVYLDWKHFLUFXODWLRQWRH[HUWLWVHQGRFULQHDFWLRQV' DFWV RQ RVWHREODVWV WR GLUHFWO\ XSUHJXODWH WKH H[SUHVVLRQ RI 5$1./ WKURXJK D 9'5 PHGLDWHGPHFKDQLVP DSSDUHQWO\PRUHVRLQLPPDWXUHRVWHREODVWV ,WVKRXOGEH QRWHGKHUHWKDWWKLVLQIRUPDWLRQLVEDVHGRQDQHDUO\VWXG\E\RXUJURXS WKDWH[DPLQHG WKH'UHVSRQVHLQDKXPDQERQHGHULYHGSRSXODWLRQRISULPDU\FHOOVWHUPHG1+%& DQG WKH H[SUHVVLRQ E\ WKHVH FHOOV RI WKH VWURPDO PDUNHU 6752 2XU UHFHQWO\ DFTXLUHG NQRZOHGJH RI 1+%& LPSOLHV WKDW WKH\ PRVWO\ GHULYH IURP GHGLIIHUHQWLDWHG RVWHRF\WHV DQG DFWXDOO\ UHWDLQ SURSHUWLHVRISUHRVWHRF\WHVVXFK DV KLJK OHYHOV RI WKH PDUNHU( 'U*HUDOG$WNLQV8QLYHUVLW\RI$GHODLGHXQSXEOLVKHGGDWD 1HYHUWKHOHVV WKHVHFHOOVKDYHEHHQGHPRQVWUDWHGWRKDYHPHVHQFK\PDOSURJHQLWRUOLNHSURSHUWLHV EXWWKH\PD\QRWEHUHSUHVHQWDWLYHRIDWUXHERQHPDUURZGHULYHGPHVHQFK\PDOVWHPFHOO IURPZKLFKWKHPRVWLPPDWXUHRVWHREODVWDULVHV7KXVWKHWHUPµLPPDWXUHRVWHREODVW¶LQ WKLV FRQWH[W VKRXOG EH FRQVLGHUHG LQ WHUPV RI WKH XQGHUO\LQJ SODVWLFLW\ RI WKH RVWHREODVWRVWHRF\WH OLQHDJH +RZHYHU DW WKLV µLPPDWXUH VWDJH¶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µUHVFXHGLHW¶FRQWDLQLQJFDOFLXPSKRVSKRUXV ODFWRVHDQGXQLWVJYLWDPLQ' 7KH9'5.2VWXG\E\3DQGDDQGFROOHDJXHVRQ ROGHUPLFHDWPRQWKVRIDJHGHPRQVWUDWHGWKDWDOWKRXJKWKHIHPXUOHQJWKRIWKHVHPLFH ZDVUHVWRUHGWRWKDWRIZLOGW\SHPLFHE\IHHGLQJWKHµUHVFXHGLHW¶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onclusions and proposal for study 7KHGDWDUHYLHZHGLQWKLVFKDSWHUGHPRQVWUDWHWKDWYLWDPLQ'LVFDSDEOHRISURPRWLQJ RVWHREODVW GLIIHUHQWLDWLRQ LQ YLWUR DQG PDLQWDLQLQJ ERQH PDVV LQ YLYR $V ZHOO XQGHU DOWHUQDWHFRQGLWLRQVYLWDPLQ'LVFDSDEOHRILQGXFLQJERQHORVVDQGLQKLELWLQJPLQHUDO IRUPDWLRQE\RVWHREODVWV7KHVHLQKLELWRU\DFWLRQVKDYHEHHQSURSRVHGXQGHUFRQGLWLRQV ZKHUHSODVPDOHYHOVRI'DUHLQFUHDVHGZKLFKPD[LPLVHVWKHIORZRIFDOFLXPLQWR WKHSODVPDFRPSDUWPHQWIURPWKHLQWHVWLQHWKHNLGQH\DVZHOODVWKHVNHOHWRQ ,Q YLWUR H[WUDFHOOXODU FDOFLXP DORQH DOVR HQKDQFHV RVWHRJHQHVLV E\ SURPRWLQJ WKH GLIIHUHQWLDWLRQ SURFHVV +RZHYHU LW LV XQFOHDU ZKHWKHU WKHUH LV DQ LQWHUUHODWLRQVKLS EHWZHHQWKHHIIHFWVRIYLWDPLQ'DQGFDOFLXPRQRVWHREODVWGLIIHUHQWLDWLRQ)XUWKHUPRUH RVWHREODVWV RI GLIIHUHQW VNHOHWDO RULJLQV GHPRQVWUDWH VOLJKWO\ GLIIHUHQW SKHQRW\SHV DQG GLIIHUHQWOHYHOVRIUHVSRQVLYHQHVVWRYLWDPLQ'+RZVXFKYDULDWLRQVFRQWULEXWHWRWKH RYHUDOO RVWHREODVW UHVSRQVH WR WKH YLWDPLQ ' DQG H[WUDFHOOXODU FDOFLXP OHYHOV LQ FRPELQDWLRQLQYLYRLVLQWULJXLQJ7KHJHQHUDWLRQRIGDWDWKDWFDQDGGUHVVVXFKTXHVWLRQV DQGDWWHPSWWRILOOLQVXFKNQRZOHGJHJDSVZLOOKHOSWRLPSURYHRXUXQGHUVWDQGLQJRI RVWHREODVWELRORJ\DQGWKHPROHFXODUDQGFHOOXODUEDVLVRIERQHUHODWHGGLVHDVHV $LPRIVWXG\ 7KH VWXGLHV GHVFULEHG LQ WKLV WKHVLV ZHUH XQGHUWDNHQ WR FRQWULEXWH WR HOXFLGDWLQJ WKH PHFKDQLVPV E\ ZKLFK YLWDPLQ ' DQG H[WUDFHOOXODU FDOFLXP PRGXODWH RVWHREODVW SUROLIHUDWLRQDQGGLIIHUHQWLDWLRQDQGPLQHUDOGHSRVLWLRQXVLQJLQYLWURFHOOFXOWXUHV\VWHPV +\SRWKHVHV 7KHVHVWXGLHVZHUHEDVHGRQWKHK\SRWKHVHVWKDW YLWDPLQ'KDVGLIIHUHQWLDOHIIHFWVRQ RVWHREODVWGLIIHUHQWLDWLRQGHSHQGHQWRQWKHOHYHORI9'5DFWLYLW\LQFHOOVDQGDOVRWKH VWDJH RI FHOO GLIIHUHQWLDWLRQ DQG FDOFLXP SOD\V DQ HQKDQFLQJ UROH LQ RVWHREODVW GLIIHUHQWLDWLRQHLWKHULQGHSHQGHQWO\RULQFRPELQDWLRQZLWKYLWDPLQ' $SSURDFKHV ,QYLWURFHOOFXOWXUHV&XOWXUHVXVLQJFHOOVGHULYHGIURPERWKFDOYDULDDQGORQJERQHVZHUH VHWXSWRLQYHVWLJDWHWKHFHOOSKHQRW\SHGLIIHUHQFHVUHODWHGWRWKHLUGLIIHUHQWLDWLRQVWDJH DQGVNHOHWDORULJLQ7KHVHFHOOFXOWXUHVZHUH DOVRWUHDWHGZLWKYLWDPLQ'DQGFDOFLXP FRPELQDWLRQVWRLQYHVWLJDWHWKHHIIHFWVRIWKHVHWZRIDFWRUVRQRVWHRJHQLFGLIIHUHQWLDWLRQ DWWKHPROHFXODUOHYHO7RFRQILUPWKHGHSHQGHQF\RIWKHYLWDPLQ'HIIHFWRQH[SUHVVLRQ RI WKH 9'5 FHOOV GHULYHG IURP WUDQVJHQLF PRXVH PRGHOV ZLWK 9'5 DFWLYLW\ JOREDOO\ NQRFNHGRXW 9'5.2 DQGPLFHZLWKLQFUHDVHG9'5DFWLYLW\LQRVWHREODVWV 269'5 ZHUHHPSOR\HG,QERWKFDVHVFHOOVIURPWUDQVJHQLFDQLPDOVZHUHFRPSDUHGWRWKHLUZLOG W\SH FRXQWHUSDUWV 7R LQYHVWLJDWH WKH SRVVLEOH DXWRFULQHSDUDFULQH UROH RI ' RQ RVWHREODVWGLIIHUHQWLDWLRQWKHFHOOVIURPWUDQVJHQLFPLFHZLWKRYHUH[SUHVVHG&<3%LQ RVWHRFDOFLQ H[SUHVVLQJ FHOOV 26& ZHUH DOVR FRPSDUHG WR ZLOGW\SH FHOOV $V DQ HQGRJHQRXVVRXUFHRIWKHDFWLYHKRUPRQH ' SUHKRUPRQH'ZDVSURYLGHGWR 26&FHOOV ([SHULPHQWDO UHDGRXWV *HQH H[SUHVVLRQ RYHU DQ H[WHQVLYH WLPHFRXUVH RI RVWHREODVW GLIIHUHQWLDWLRQ DQG PDWXUDWLRQ ZDV LQYHVWLJDWHG WR HOXFLGDWH WKH HIIHFWV RI YLWDPLQ ' PHWDEROLVPLQWKHFHOOPRGHOVDQGWKHHIIHFWVRIH[RJHQRXV'RQFHOOGLIIHUHQWLDWLRQ *HQHDQDO\VLVLQFOXGHVYLWDPLQ'PHWDEROLVPUHVSRQVHJHQHV&\SE&\SDQG9GU RVWHREODVWGLIIHUHQWLDWLRQJHQHV5XQ[2V[&ROD7QDS*MD2SJ5DQNO2FQ( 0HSH3KH['PS6RVWDQG)JI,QYLWURPLQHUDOLVDWLRQDVVD\VZHUHDOVRSHUIRUPHG DVDGLUHFWUHDGRXWRIRVWHREODVWDFWLYLW\ Chapter 2: Materials and Methods 2.1 Materials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ucleotide preparations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¶VLQVWUXFWLRQ 6WHSRQH,GHQWLFDODPRXQWVRI51$IURPHDFKVDPSOHZHUHVHSDUDWHO\FRPELQHGZLWK POROLJRG7SULPHU PJPO DQGPOP0G1737KHQWKHYROXPHRIHDFKPL[WXUH ZDV DGMXVWHG WR D WRWDO YROXPH RI PO ZLWK '(3& ZDWHU LQ PO UHDFWLRQ WXEHV 0L[WXUHVZHUHSXOVHFHQWULIXJHGWRHQVXUHWKHOLTXLGZDVDWWKHERWWRPRIWKHWXEHVDQG LQFXEDWHGDWR&IRUPLQXWHVWRGHQDWXUHWKH51$DQGDOORZDFFHVVRIWKHROLJRG7 SULPHUV,PPHGLDWHO\DIWHUWKHSURJUDPPHILQLVKHGDOOWXEHVZHUHUDSLGO\FRROHGWRR& WRSURPRWHSULPHU51$DQQHDOLQJ 6WHSWZR:KLOHWKHDERYHUHDFWLRQZDVUXQQLQJPDVWHUPL[IRUWKH57VWHSZDVSUHSDUHG XVLQJ6XSHUVFULSW,,,NLW /LIH7HFKQRORJLHV (DFKVLQJOHDOLTXRWRIPDVWHUPL[FRQWDLQHG PORI;6XSHUVFULSWEXIIHUPORI0'77DQGPORI6XSHUVFULSW,,, XQLWVPO HQ]\PH0DVWHUPL[ PO ZDVDGGHGWRHDFKUHDFWLRQIURPVWHSRQHDQGWKHPL[WXUHZDV WKHQ DOORZHG WR UHDFW LQ D WKHUPRF\FOHU ZLWK H[WHQVLRQ DW R& IRU PLQXWHV GHQDWXUDWLRQ DW R& IRU PLQXWHV DQG UDSLGO\ FRROHG WR R& 6\QWKHVLVHG F'1$ VDPSOHVZHUHVWRUHGDWR&XQWLOXVHGIRU3&5 &RQYHQWLRQDO3&5 3RO\PHUDVH&KDLQ5HDFWLRQ &RQYHQWLRQDO3&5UHDFWLRQVIROORZHGE\JHOHOHFWURSKRUHVLVVHSDUDWLRQZHUHXVHGIRUWKH JHQRW\SHGHWHUPLQDWLRQRI9'5.2DQLPDOV(DFKVLQJOH3&5UHDFWLRQPL[WXUHFRQWDLQHG ;3&5EXIIHUP00J&OQ0G173VQ0IRUZDUGDQGUHYHUVHSULPHUV LI PRUHWKDQWZRSULPHUVZHUHUHTXLUHGHDFKSULPHUFRQFHQWUDWLRQZHUHLGHQWLFDO 8RI SRO\PHUDVHDQGQJRI'1$WHPSODWH$OOWKHUHDFWLRQPL[WXUHVZHUHDGMXVWHGWRDWRWDO YROXPH RI PO E\ '(3&ZDWHU 3&5 UHDFWLRQV IROORZHG D SURJUDPPH FRQVLVWLQJ RI GHQDWXUDWLRQDWR&IRUPLQXWHVIROORZHGE\F\FOHVRIR&IRUPLQXWHDQQHDOLQJ DWDWHPSHUDWXUHDFFRUGLQJWRHDFKSDLURISULPHUVXVHGIRUVHFRQGVDQGH[WHQVLRQDW R&IRUVHFRQGVHQGLQJZLWKDILQDOH[WHQVLRQDWR&IRUPLQXWHVDQGFRROLQJWR R& 3&5 SURGXFWV ZHUH ORDGHG RQWR ZY DJDURVH JHOV FDVWHG E\ 7%( EXIIHU FRQVLVWHG P0 7ULV P0 %RULF DFLG DQG P0 ('7$ S+ DQG HOHFWURSKRUHVHGDW9IRUPLQXWHV*HOVZHUHVWDLQHGZLWK6<%5*ROGG\HIRU PLQXWHVDQG'1$SURGXFWVYLVXDOLVHGXQGHU89OLJKW 5HDOWLPH3&5 5HDOWLPH573&5UHDFWLRQVZHUHSHUIRUPHGWRGHWHUPLQHWKHFRS\QXPEHURIDVSHFLILF P51$VSHFLHVZLWKLQWKHFHOOWUDQVFULSWRPH7KHP51$OHYHORIWKHJHQHRILQWHUHVWZDV QRUPDOLVHGWRWKDWRIWKHKRXVHNHHSLQJJHQHEDFWLQZKLFKZDVSUHGLFWHGWREHUHODWLYHO\ FRQVWDQWLQFHOOV(DFKRIWKHUHDOWLPH3&5UHDFWLRQVFRQWDLQHGPORIL4&<%5*UHHQ 6XSHUPL[ ; Q0IRUZDUGSULPHUDQGQ0UHYHUVHSULPHUPORIF'1$WHPSODWH GLUHFWO\IURPHDFKRIWKH57UHDFWLRQ$OOWKHUHDJHQWVZHUHDGGHGWRPO3&5WXEHV DQGHDFKRIWKHPL[WXUHVZHUHWRDPOWRWDOYROXPH$PSOLILFDWLRQZDVSHUIRUPHGLQD 5RWRU*HQHWKHUPRF\FOHU &RUEHWW5HVHDUFK XVLQJWKHSURJUDPPHRIR&IRU PLQXWHV>F\FOHVRIR&IRUPLQXWHDQQHDOLQJWHPSHUDWXUH R&IRUDOOWKHUHDO WLPH3&5SULPHUVHWVXVHGLQWKLVVWXG\ IRUVHFRQGVR&IRUVHFRQGV@R&IRU PLQXWHVPHOWFXUYHDQDO\VLV7KHSULPHUVHTXHQFHVDQGUHODWHGLQIRUPDWLRQIRUUHDO WLPH3&5VDUHOLVWHGLQWDEOH 'DWDZHUHDQDO\VHGXVLQJWKHǻ&7PHWKRG IRUPXODRIA &7JHQHRILQWHUHVW A &7EDFWLQ ZKHUHWKH&7YDOXHUHSUHVHQWHGWKHF\FOHWKUHVKROGQXPEHUEHLQJWKHF\FOH DWZKLFKORJOLQHDUDPSOLILFDWLRQZDVDFKLHYHG 2.3 Isolation of osteoblasts 2VWHRJHQLFJURZWKPHGLD 0HGLD VXSSRUWLQJ FHOO JURZWK ZLWKRXW FHOO GLIIHUHQWLDWLRQ FRQVLVWHG RI Į0LQLPDO (VVHQWLDO0HGLXP Į0(0 SOXVYYIHWDOERYLQHVHUXP )%6 7KHUPR6FLHQWLILF 6FRUHVE\ 9,& $XVWUDOLD WLVVXH FXOWXUH DGGLWLYHV 8PO SHQLFLOOLQ PJPO VWUHSWRP\FLQDQG/JOXWDPLQH P0 PDQXIDFWXUHGE\6$3DWKRORJ\PHGLDSURGXFWLRQ XQLW Table 2.2.5 Primer sets used for real-time PCR analysis of gene expression in mRNA level (specific for mouse transcriptome) Gene Sequence (5’to 3’) Gene bank accession number Amplicon size (bp) )RUZDUG$***7*7*$7**7***$$7 E-Actin 10B 5HYHUVH*&7****7*77*$$**7&7 )RUZDUG&7*$$7*$$*$$**&7&&*$7 Vdr 10B 33 5HYHUVH$$*&$**$&$$7&7**7&$7&$ )RUZDUG*$&&77*7*&*$&*$&7$$ Cyp27b1 10B 5HYHUVH7&7*7*7&$**$***$&77&$ )RUZDUG77*$$$*&$7&7*&&77*7*7 Cyp24a1 10B 5HYHUVH*7&$&&$7&$7&77&&&$$$7 10B LVRIRUP )RUZDUG&$&$$**$&$*$*7&$*$77$&$*$7 10B LVRIRUP Runx2 5HYHUVH&*7**7**$*7**$7**$7 10B LVRIRUP 10B LVRIRUP )RUZDUG*&*7&&7&7&7*&77*$** Osx 10B 5HYHUVH**&77&777*7*&&7&&777& )RUZDUG7&&7*$&&$$$$$&&7&$$$** Tnap 10B 34 5HYHUVH7*&77&$7*&$*$*&&7*& )RUZDUG$**&$7$$$***7&$7&*7* Col-1D1 10B 5HYHUVH&*77*$*7&&*7&777*&&$ )RUZDUG7&*&7*$&*&7&7*7777*7 Ank 10B 5HYHUVH**&$$$*7&&$&7&&$$7*$7$7 )RUZDUG$$*&*&77$&$&77&*&7$$$$* Enpp1 10B 5HYHUVH7*$7**$77&$$&*&$$*77* )RUZDUG*7&&&77*&&&7*$&&$&7 Opg 10B 5HYHUVH**7$$&*&&&77&&7&$&$& )RUZDUG7*$$*$&$&$&7$&&7*$&7&&7* Rankl 10B 5HYHUVH&7**&$*&$77*$7**7*$* 10B RVWHRFDOFLQUHODWHGSURWHLQ )RUZDUG$*$&&7$*&$*$&$&&$7*$ Ocn 10B RVWHRFDOFLQLVRIRUP 5HYHUVH*$$**&777*7&$*$&7&$* 10B RVWHRFDOFLQLVRIRUP 35 )RUZDUG$$*7*$$$*$*$**7*&&&$ Cx43 10B 5HYHUVH*7**$*7$**&77**$&&77 )RUZDUG$$$&*&$*$&$$&$*$7$$*$$$*$7 E11 10B 5HYHUVH*77&7*777$*&7&777$***&*$ )RUZDUG&&$&&$7&&&7$7*$&*&&$$ Sost 10B 5HYHUVH7*7&$**$$*&***7*7$*7 )RUZDUG**$$*&&7*$&&&$&&7*7 Fgf23 10B 5HYHUVH&**&*7&&7&7*$7*7$$7& )RUZDUG*$$$$*&7*77&&&$$$$&$*$* Phex 10B 5HYHUVH7$*&$&&$7$$&7&$***$7&* )RUZDUG&&7*$$**7*$$7*$&*&&$*$ Mepe 10B 5HYHUVH7*&7&&7*7&77&$77&**&$77 )RUZDUG*$$$*&7&7*$$*$*$**$&*** Dmp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µUDWH IUR]H¶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istochemical staining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steoblast proliferation assay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q&IRUPLQ&HOOVIURPHDFKZHOOZHUHWKHQZDVKHGZLWK3%6DQG WKHQIL[HGLQRIZYSDUDIRUPDOGHK\GH POZHOO DWR&EHIRUHIORZF\WRPHWULF DQDO\VLV [ XQVWDLQHG FHOOV ZHUH IL[HG GLUHFWO\ LQ PO RI ZY SDUDIRUPDOGHK\GH DV XQVWDLQHG IORZ F\WRPHWU\ FRQWURO )ORZ F\WRPHWU\ UHVXOWV ZHUH DQDO\VHG E\ 0RG)LW VRIWZDUH 9HULW\ 6RIWZDUH +RXVH %UXQVZLFN 0( 86$ WR FDOFXODWHWKHSHUFHQWDJHRISUROLIHUDWLRQRIHDFKWUHDWPHQWJURXS 2.6 Osteoblast differentiation and mineralisation assays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hapter 3 Differential effects of 1,25-dihydroxyvitamin D on mineralisation and differentiation in two different types of osteoblast-like cultures $VSXEOLVKHGLQWKH-RXUQDORI6WHURLG%LRFKHPLVWU\ 0ROHFXODU%LRORJ\ :LWKWKHHUUDWXPWR³'LIIHUHQWLDOHIIHFWVRIGLK\GUR[\YLWDPLQ'RQPLQHUDOLVDWLRQ DQGGLIIHUHQWLDWLRQLQWZRGLIIHUHQWW\SHVRIRVWHREODVWOLNHFXOWXUHV´>-6WHURLG %LRFKHP0RO%LRO ±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³&RUWLFDOFHOOV´LQWKLVVWXG\LVWKHFHOOOLQH0/2$DV VKRZQLQ$SSHQGL[, Statement of authorship 'LIIHUHQWLDOHIIHFWVRIGLK\GUR[\YLWDPLQ'RQPLQHUDOLVDWLRQDQGGLIIHUHQWLDWLRQLQ WZRGLIIHUHQWW\SHVRIRVWHREODVWOLNHFXOWXUHV7KH-RXUQDORI6WHURLG%LRFKHPLVWU\DQG 0ROHFXODU%LRORJ\ :LWKWKHHUUDWXPWR³'LIIHUHQWLDOHIIHFWVRIGLK\GUR[\YLWDPLQ'RQPLQHUDOLVDWLRQ DQGGLIIHUHQWLDWLRQLQWZRGLIIHUHQWW\SHVRIRVWHREODVWOLNHFXOWXUHV´>-6WHURLG%LRFKHP 0RO%LRO ±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ournal of Steroid Biochemistry & Molecular Biology 136 (2013) 166–170 Contents lists available at SciVerse ScienceDirect Journal of Steroid Biochemistry and Molecular Biology journa l homepage: www.elsevier.com/locate/jsbmb Review Differential effects of 1,25-dihydroxyvitamin D on mineralisation and differentiation in two different types of osteoblast-like cultures a,b,c,∗ c b,d b,d a,b,d D. Yang , G.J. Atkins , A.G. Turner , P.H. Anderson , H.A. Morris a Discipline of Medicine, University of Adelaide, Adelaide, SA 5005, Australia b Endocrine Bone Research, Chemical Pathology, SA Pathology, Adelaide, SA 5000, Australia c Bone Cell Biology Group, Discipline of Orthopaedics and Trauma, University of Adelaide, Adelaide, SA 5005, Australia d Musculoskeletal Biology Research, School of Pharmacy and Medical Sciences, University of South Australia, Adelaide, SA 5000, Australia a r t i c l e i n f o a b s t r a c t Article history: In osteoblast cultures, 1,25-dihydroxyvitamin D (1,25D) has been shown to play either catabolic or Received 5 July 2012 anabolic roles on differentiation and mineralisation. We have employed osteoblast-like cells extracted Received in revised form 6 November 2012 from neonatal mouse calvariae and cells derived from juvenile mouse long bones to compare the bio- Accepted 28 November 2012 logical effects of 1,25D on differentiation and mineralisation in vitro. 1,25D exerts differential effects on osteoblast-like cells depending on their stage of maturation and possibly their skeletal origin. Keywords: This article is part of a Special Issue entitled ‘Vitamin D Workshop’. Osteogenesis © 2012 Elsevier Ltd. All rights reserved. 1,25-Dihydroxyvitamin D Osteoblast differentiation Mineralisation Contents 1. Introduction ...... 166 2. Materials and methods...... 167 2.1. Isolation of osteoblasts from juvenile mouse cortical bones ...... 167 2.2. Isolation of osteoblast from mouse neonatal calvarial bones ...... 167 2.3. Differentiation assays ...... 167 2.4. Statistics ...... 169 3. Results ...... 169 3.1. Characterisation of cells ...... 169 3.2. In vitro mineralisation and response to 1,25D ...... 170 3.3. 1,25D effects on gene expression ...... 170 4. Discussion ...... 170 References ...... 170 eral deposition. A proportion of these mature cells will become 1. Introduction embedded in the matrix, forming an osteoid- or pre-osteocyte, and finally differentiate into mature osteocytes embedded in mineral. Osteoblastogenesis is essential for bone formation requiring Understanding the process of osteoblast differentiation and miner- a sequential process of cell proliferation and maturation [1]. alisation is important for elucidating the cellular activities required Immature osteoblasts are capable of proliferating and express- for bone health and a number of in vitro models have been utilised ing genes required for synthesis of extracellular matrix compared [2]. to mature osteoblasts which exhibit activities required for min- Numerous studies have demonstrated an interaction between vitamin D activity and osteoblast differentiation with the expres- sion of a multitude of osteoblast genes directly regulated by ∗ Corresponding author at: Endocrine Bone Research, Chemical Pathology, SA 1,25-dihydroxyvitamin D(1,25D) [3]. However there remains con- Pathology, Box 14 Rundle Mall PO, Adelaide, SA 5000, Australia. Tel.: +61 882223514; siderable controversy regarding whether the overall activity of fax: +61 882223518. 1,25D is catabolic or anabolic for bone. 1,25D was reported to inhibit E-mail addresses: [email protected], [email protected] (D. Yang). proliferation and enhance differentiation of osteoblasts isolated 0960-0760/$ – see front matter © 2012 Elsevier Ltd. All rights reserved. http://dx.doi.org/10.1016/j.jsbmb.2012.11.016 46 D. Yang et al. / Journal of Steroid Biochemistry & Molecular Biology 136 (2013) 166–170 167 Table 1 Primer sets used for real-time PCR for gene amplification. Gene Sequence (5 –3 ) Forward: TCCTGACCAAAAACCTCAAAGG TNAP Reverse: TGCTTCATGCAGAGCCTGC Forward: AGGGTGTGATGGTGGGAAT -Actin Reverse: GCTGGGGTGTTGAAGGTCT Forward: AGGCATAAAGGGTCATCGTG Col-IA1 Reverse: CGTTGAGTCCGTCTTTGCCA Forward: CCTGAAGGTGAATGACGCCAGA MEPE Reverse: TGCTCCTGTCTTCATTCGGCATT Forward: AGACCTAGCAGACACCATGA OCN Reverse: GAAGGCTTTGTCAGACTCAG Forward: GCGTCCTCTCTGCTTGAGG OSX Reverse: GGCTTCTTTGTGCCTCCTTTC Forward: TGAAGACACACTACCTGACTCCTG RANKL Reverse: CTGGCAGCATTGATGGTGAG Forward: CACAAGGACAGAGTCAGATTACAGAT RUNX2 Reverse: CGTGGTGGAGTGGATGGAT Forward: CTGAATGAAGAAGGCTCCGAT VDR Reverse: AAGCAGGACAATCTGGTCATCA from rat calvaria in the early 1990s [4]. The response of osteoblasts to 1,25D appears to depend on the stage of osteoblast matura- tion, with preferential induction of the catabolic factor, receptor activator of nuclear factor kappa B ligand (RANKL), in osteoblast cultures related to an immature phenotype rather than a mature phenotype [5]. In the osteoblastic cell line MC3T3-E1, 1,25D had pro-anabolic activity by enhancing the production of matrix vesi- cles and mineral deposition [6]. Osteogenesis, as measured by mineral deposition in vitro, is a critical readout of osteoblast differ- entiation and maturation. In vitro mineralisation by VDR-null mouse primary calvarial cells was enhanced compared to wild type cells [7], while mineral nodule formation by primary bone marrow cells was reduced by the ablation of vitamin D activity [8]. To address the controversy around the role of vitamin D activity on in vitro osteogenesis, we examined the effects of 1,25D on two types of Fig. 1. Calvarial cells express a gene profile consistent with an immature osteoblast phenotype compared to cortical cells. Ratios of Col-IA1, TNAP and OCN mRNA mouse primary osteoblast-like cells either extracted from neona- species to -actin mRNA from calvarial cells (closed bar) and cortical cells (open tal calvariae or derived from pre-pubertal mouse cortical bone. We bar) (mean ± SEM, n = 3; *p < 0.05; **p < 0.01). report here that 1,25D acts on these two types of osteoblast popu- lations distinctly, including effects on mineral deposition and gene expression. 2.2. Isolation of osteoblast from mouse neonatal calvarial bones Calvaria were dissected from 1 to 3 day old C57BL/6 mouse pups and carefully cleaned with a scalpel [10]. Multiple calvariae 2. Materials and methods were pooled and subjected to sequential enzymatic digestion using collagenase-I (1 mg/ml) and dispase (2 mg/ml) (Invitrogen, ◦ 2.1. Isolation of osteoblasts from juvenile mouse cortical bones Australia) for 10 min at 37 C in a shaking water bath. After this time, cells were collected and the digestion protocol repeated 6 Explant cultures of osteoblast-like cells were derived from times in total. Cells pooled from digests 2–6 were used as primary mouse long bones [9]. Femora and tibiae from 4-week old C57BL/6 cultures. mice were excised and all connected soft tissue removed with a scalpel. Bone marrow was removed by flushing with PBS 2.3. Differentiation assays through a syringe after removal of growth plate regions. Dia- 3 ∼ physeal cortical bone was then minced into 1 mm pieces Cells were seeded into 24-well plates at a density of 4 and digested by 2 mg/ml of collagenase-I (Invitrogen, Australia) 3 × 10 cells/well and cultured in growth media, comprising of ◦ ␣ ␣ at 37 C for 1 h. Cortical bone chips were incubated in - MEM (Invitrogen) with 10% FCS (Hyclone), antibiotics and l- ␣ Minimal Essential Medium ( MEM) (Invitrogen, Australia) with glutamine, for 3 days to reach 100% confluence. Cells were then 10% Foetal Calf Serum (FCS) (Hyclone, Australia), antibiotics cultured in differentiation media comprising growth media con- l and -glutamine. The osteoblast-like cells which grew from taining 50 mg/ml ascorbic acid (Sigma–Aldrich, St Louis, MO, USA) the bone chips were passaged to provide sufficient cells for and 10 mM -glycerol phosphate (Sigma). Fresh differentiation experimentation. medium was supplied to cultures every 72 h with either 1,25D 47 168 D. Yang et al. / Journal of Steroid Biochemistry & Molecular Biology 136 (2013) 166–170 Fig. 2. mRNA expression of RUNX2 (A) and OSX (B) by calvarial cells (left column) and cortical cells (right column) treated with vehicle (broken line) and 1 nM 1,25D (solid line) (mean ± SEM, n = 3). (1 nM, Wako, Japan) or vehicle (0.1% ethanol final concentration) hydroxide, and quantified by measuring absorption at 405 nm in added at each media change. In vitro mineralisation was visualised a spectrophotometer. by staining with Alizarin Red. The alizarin–calcium complex was Total RNA was extracted from the cell cultures using the tri- dissolved in acetic acid, neutralised to pH 4.2 with ammonium zol method (Invitrogen) and cDNA synthesised (superscript III) to &$/9$5,$/ 9(+,&/( ' &257,&$/ 0,1(5$/,6$7,21 QP 0,1(5$/,6$7,21 QP '$< '$< Fig. 3. Calvarial cells deposit less mineral, which is further reduced with 1,25D treatment, compared with cortical cells. In vitro mineralisation by calvarial cells (left) and ## cortical cells (right) treated with vehicle (broken line) and 1 nM 1,25D (solid line) (mean ± SEM, n = 3; effect of 1,25D treatment: **p < 0.01; effect of time: p < 0.01). 48 D. Yang et al. / Journal of Steroid Biochemistry & Molecular Biology 136 (2013) 166–170 169 Fig. 4. Differential effects of 1,25D on mRNA levels in calvarial and cortical cells. Ratios of VDR (A), RANKL (B) and MEPE (C) mRNA to -actin mRNA from calvarial cells (left column) and cortical cells (right column) treated with vehicle (broken line) and 1 nM 1,25D (solid line) (mean ± SEM, n = 3; MEPE mRNA levels were undetectable in cortical # cells (data not shown). Effect of 1,25D treatment: **p < 0.01; effect of time: p < 0.05). measure the expression of genes of interest using real-time PCR. 3. Results The primer sets for each gene are listed in Table 1. Each experi- ment was conducted in triplicate and repeated on three occasions. 3.1. Characterisation of cells Gene expression was normalised to that of the housekeeping gene,  -actin. At 100% confluence, the relative mRNA level of type-I collagen alpha 1 (Col-IA1) in calvarial cells was 3-fold higher than in cortical 2.4. Statistics cells (p < 0.05), whereas the expression of tissue non-specific alka- line phosphatase (TNAP) and osteocalcin (OCN) in cortical cells was All data were analysed by GraphPadPrism 5.04 (Graphpad Soft- 5-fold (p < 0.05) and 30-fold (p < 0.01) higher, respectively, than in ware, San Diego, USA). t-Tests were used to analyse data from single calvarial cells (Fig. 1). time point experiments. Two-way ANOVA, followed by Bonferroni Expression levels of early osteoblast transcriptional factors post-tests, were used to assess the effect of 1,25D treatment in RUNX2 and OSX were initially relatively high in cortical cells and long-term cultures. reduced with time, whereas levels in calvarial cultures remained 49 170 D. Yang et al. / Journal of Steroid Biochemistry & Molecular Biology 136 (2013) 166–170 unchanged. The expression of RUNX2 and OSX mRNA was unaf- Our findings suggest that the interpretation of data from in vitro fected by 1,25D (1 nM) treatment in both cell types (Fig. 2A and osteoblast models requires characterisation of the maturation stage B). of the cell preparations under study. Each culture type displays a particular differentiation potential and phenotypic profile. Fur- 3.2. In vitro mineralisation and response to 1,25D thermore 1,25D, an important regulator of osteoblast activity, also has distinct effects at different stages of osteoblast differentiation. The level of mineralisation in cortical cell cultures over 21 days Thus, interpretation of data related to the activities of 1,25D on bone was 6-fold greater than in calvarial cell cultures after 24 days. cells must also be made in the context of the maturation stage of Moreover, the mineralisation in cortical cell cultures was not sig- the osteoblasts. It is possible that at least some of the differential nificantly impacted by 1,25D treatment while mineral deposition response to 1,25D was due to the different skeletal sites from which in calvarial cell cultures was inhibited by 1,25D (p < 0.01), and by the cultures originated. It is interesting from this point of view that day 24 was reduced by 28% (p < 0.01) (Fig. 3). the skull is protected from the age-related bone loss observed in the axial skeleton; it will be of interest in future studies to com- 3.3. 1,25D effects on gene expression pare directly the effect of vitamin D on cranial and axial skeletal bone mass. The findings presented here suggest that the choice of In calvarial cell cultures, relative mRNA levels of matrix extra- osteoblast model is critical to the outcome of studies into osteoblast cellular phosphoglycoprotein (MEPE) showed a significant increase differentiation and their response to 1,25D. over time (p < 0.05) while VDR showed a trend to increase over time (p = 0.082). Relative RANKL mRNA levels did not change with References time (p = 0.23). VDR and RANKL mRNAs were further significantly [1] G.S. Stein, J.B. Lian, Molecular mechanisms mediating prolifera- induced by 1,25D treatment (p < 0.01) while MEPE mRNA was tion/differentiation interrelationships during progressive development unchanged (p = 0.13 at 24 days) (Fig. 4A–C). Notably, the relative of the osteoblast phenotype, Endocrine Reviews 14 (4) (1993) 424–442. level of RANKL mRNA expression in calvarial cultures was 1000-fold [2] V. Kartsogiannis, K.W. Ng, Cell lines and primary cell cultures in the study of bone cell biology, Molecular and Cellular Endocrinology 228 (1–2) (2004) higher than in cortical cells (Fig. 4B). 79–102. In cortical cell cultures, the mRNA levels of VDR and RANKL were [3] G.J. Atkins, D.M. Findlay, P.H. Anderson, H.A. Morris, Target genes: bone pro- detectable but unaffected by incubation with 1,25D (Fig. 4A and B). teins, in: D. Feldman, J.W. Pike, J.S. Adams (Eds.), Vitamin D, 3rd edition, Elsevier, The expression of MEPE was undetectable in cortical cultures (data San Diego, 2011. [4] T.A. Owen, et al., Pleiotropic effects of vitamin D on osteoblast gene expression not shown) in the presence or absence of 1,25D. are related to the proliferative and differentiated state of the bone cell pheno- type: dependency upon basal levels of gene expression, duration of exposure, and bone matrix competency in normal rat osteoblast cultures, Endocrinology 4. Discussion 128 (3) (1991) 1496–1504. [5] G.J. Atkins, et al., RANKL expression is related to the differentiation state Our results show that two different mouse primary osteoblast of human osteoblasts, Journal of Bone and Mineral Research 18 (6) (2003) 1088–1098. preparations used in this study had different properties prior to [6] V.J. Woeckel, et al., 1Alpha,25-(OH)2D3 acts in the early phase of osteoblast in vitro differentiation, suggesting that the calvarial preparation differentiation to enhance mineralization via accelerated production of represents a more immature osteoblast phenotype than the corti- mature matrix vesicles, Journal of Cellular Physiology 225 (2) (2010) cal preparation. Compared to calvarial cells, cortical cells expressed 593–600. [7] K. Sooy, Y. Sabbagh, M.B. Demay, Osteoblasts lacking the vitamin D receptor less Col-IA1 but more TNAP and OCN mRNA. At early stages of display enhanced osteogenic potential in vitro, Journal of Cellular Biochemistry differentiation, osteoblasts express more Col-IA1 mRNA synthesis- 94 (1) (2005) 81–87. ing extracellular matrix than in the post-matrix producing period, [8] D.K. Panda, et al., Inactivation of the 25-hydroxyvitamin D 1alpha-hydroxylase and vitamin D receptor demonstrates independent and interdependent effects when the expression of TNAP, an enzyme that degrades the potent of calcium and vitamin D on skeletal and mineral homeostasis, Journal of Bio- mineralisation inhibitor pyrophosphate, is increased enabling min- logical Chemistry 279 (16) (2004) 16754–16766. eralisation to proceed [11]. OCN is defined as a mature osteoblast [9] A. Bakker, J. Klein-Nulend, Osteoblast isolation from murine calvariae and long bones, Methods in Molecular Medicine 80 (2003) 19–28. marker [12,13]. The ability of cortical cells to deposit mineral in vitro [10] H. Zhou, et al., Osteoblasts directly control lineage commitment of mesenchy- was significantly enhanced compared to calvarial cells consistent mal progenitor cells through Wnt signaling, Journal of Biological Chemistry 283 with the difference in their apparent stage of maturation. More- (4) (2008) 1936–1945. [11] L.D. Quarles, et al., Distinct proliferative and differentiated stages of murine over, the ability of the pro-catabolic gene RANKL to be induced by MC3T3-E1 cells in culture: an in vitro model of osteoblast development, Journal 1,25D in calvarial cultures is also consistent with these cells repre- of Bone and Mineral Research 7 (6) (1992) 683–692. senting a more immature osteoblast model than the cortical cells [12] M. Morike, et al., Expression of osteoblastic markers in cultured human bone [5]. and fracture callus cells, Journal of Molecular Medicine (Berlin) 73 (11) (1995) 571–575. The osteoblast gene product MEPE, which increased with time [13] R. Yamamoto, et al., 1alpha,25-dihydroxyvitamin D3 acts predominately in the calvarial cell cultures, exerts a post-translational, inhibitory in mature osteoblasts under conditions of high extracellular phosphate to role on osteoblast mineralisation [14,15]. Furthermore when cul- increase fibroblast growth factor 23 production in vitro, Journal of Endocrinol- ogy 206 (3) (2010) 279–286. tures were treated with 1,25D, the levels of VDR and RANKL mRNAs [14] W.N. Addison, et al., MEPE-ASARM peptides control extracellular matrix min- were increased in calvarial cells but not in cortical cells. This pro- eralization by binding to hydroxyapatite: an inhibition regulated by PHEX catabolic, anti-anabolic gene expression profile in calvarial cultures cleavage of ASARM, Journal of Bone and Mineral Research 23 (10) (2008) 1638–1649. is consistent with the overall lower levels of mineral deposition by [15] G.J. Atkins, et al., Sclerostin is a locally acting regulator of late- these cells and the inhibitory effect of 1,25D compared with the 6- osteoblast/preosteocyte differentiation and regulates mineralization through fold greater level of mineral deposition and the absence of a 1,25D a MEPE-ASARM-dependent mechanism, Journal of Bone and Mineral Research 26 (7) (2011) 1425–1436. effect in cortical cells. 50 G Model SBMB 4225 No. of Pages 1 Journal of Steroid Biochemistry & Molecular Biology xxx (2014) exxx Contents lists available at ScienceDirect Journal of Steroid Biochemistry & Molecular Biology journal homepage: www.elsevier.com/locate/jsbmb Erratum Erratum to “Differential effects of 1,25-dihydroxyvitamin D on mineralisation and differentiation in two different types of osteoblast-like cultures” [J. Steroid Biochem. Mol. Biol. 136 (2013) 166–170] a,b,c, c b,d b,d a,b,d D. Yang *, G.J. Atkins , A.G. Turner , P.H. Anderson , H.A. Morris a Discipline of Medicine, University of Adelaide, Adelaide, SA 5005, Australia b Endocrine Bone Research, Chemical Pathology, SA Pathology, Adelaide, SA 5000, Australia c Bone Cell Biology Group, Discipline of Orthopaedics and Trauma, University of Adelaide, Adelaide, SA 5005, Australia d Musculoskeletal Biology research, School of Pharmacy and Medical Sciences, University of South Australia, Adelaide, SA 5000, Australia The authors regret that there was an error in this article describing cortical cells as primary cells isolated from juvenile mouse long bones. Our subsequent analysis has demonstrated unequivocally that the cortical cells used in this study were the well-characterised MLO- A5 cells as described by Kato et al., J. Bone Miner. Res. 16 (2001) 1622–1633. The MLO-A5 cell line was isolated as a single colony cultured from the long bones of juvenile mice expressing the osteocalcin promoter-driven T-antigen as a transgene (Kato et al., J. Bone Miner. Res. 12 (1997) 2014–2023). As such, this study should be considered a comparison between murine calvarium derived osteoblasts and a murine long bone derived osteoblast cell line. The authors do not wish to change the presentation or interpretation of the data related to this study. Section 2.1 should be replaced by the following paragraph: 2.1 MLO-A5 cells as a model of cortical bone cells The MLO-A5 cell line, utilised as a model of cortical postosteoblast/preosteocyte cells, was generously provided by Prof. Lynda Bonewald (University of Missouri–Kansas City, MO, USA) and cultured as previously described (Kato et al., J. Bone Miner. Res. 16 (2001) 1622–1633). DOI of original article: http://dx.doi.org/10.1016/j.jsbmb.2012.11.016 * Corresponding author. 0960-0760/$ – see front matter ã 2014 Elsevier Ltd. All rights reserved. http://dx.doi.org/10.1016/j.jsbmb.2014.07.006 Please cite this article in press as: D. Yang, et al., Erratum to “Differential effects of 1,25-dihydroxyvitamin D on mineralisation and differentiation in two different types of osteoblast-like cultures” [J. Steroid Biochem. Mol. Biol. 136 (2013) 166–170], J. Steroid Biochem. Mol. Biol. (2014), http://dx.doi.org/10.1016/j.jsbmb.2014.07.006 51 Chapter 4: The regulation of osteogenic differentiation of calvaria- derived osteoblasts in response to 1,25D and calcium, and the influence of the level of VDR expression 4.1 Introduction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µUHVFXHGLHW¶FRQWDLQLQJFDOFLXPSKRVSKRUXVODFWRVHDQGXQLWVJ YLWDPLQ ' IURP ZHDQLQJ XQWLO ZHHNV RI DJH WKH ERQH SKHQRW\SH LQFOXGLQJ ERQH YROXPH DQG VWUHQJWK ZDV µUHVFXHG¶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xperimental methods 7KH9'5.2PRXVHOLQHRQWKH&%/JHQHWLFEDFNJURXQGZDVIHGWKHµUHVFXHGLHW¶ GLVFXVVHGDERYHDIWHUZHDQLQJLQWKHDQLPDOIDFLOLW\RI6$3DWKRORJ\ $GHODLGH6$ $XVWUDOLD 7KLV PRXVH OLQH ZDV PDLQWDLQHG E\ PDWLQJ KRPR]\JRXV 9'5.2 9GU PDOHVZLWKKHWHUR]\JRXVNQRFNRXW 9GU IHPDOHV7KLVEUHHGLQJVWUDWHJ\UHVXOWHGLQ JHQHUDWLRQRISXSVRQO\RIWKH9GUDQG9GUJHQRW\SHV7KHJHQRW\SHRIWKHSXSVZDV GHWHUPLQHG E\ D FRQYHQWLRQDO 3&5 IROORZHG E\ HOHFWURSKRUHVLV JHO YLVXDOLVDWLRQ DV GHVFULEHGLQ6HFWLRQ 7KHIROORZLQJWKUHH3&5SULPHUVZHUHDGGHGWR3&5UHDFWLRQV ƍ&7&&$7&&&&$7*7*7&777ƍ ƍ77&77&$*7**&&$*&7&77ƍ ƍ&$&*$*$&7$*7*$*$&*7*ƍ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ƍ&7&&&7&&$&&$7&$77&$&$ƍ IRUZDUG DQG ƍ**$&*&&&$&&$7$$*$&&7$ƍ UHYHUVH )LJXUH% ,QWKLVVWXG\DOO 0RXVH '1$ QXPEHU ODGGHU ES ES )LJXUH $ *HQRW\SH GHWHUPLQDWLRQ RI Vdr DQG Vdr PLFH 3&5V UHSUHVHQWHG PRXVH QXPEHU RI DQG JHQHUDWHG ES DPSOLFRQ RQO\ ZKLFKZDVD SDUW RI WKH PXWDQW YLWDPLQ ' UHFHSWRU 9GU JHQH VHTXHQFH +HQFH PLFH DQG ZHUH FRQILUPHG DV KRPRORJRXV NQRFNRXW 9GU 3&5V UHSUHVHQWHG PRXVH QXPEHU RI JHQHUDWHG ERWK ES DQG ES DPSOLFRQV ZKLFK ZHUH D SDUW RI WKH PXWDQW DQG LQWDFW 9GU JHQH VHTXHQFH UHVSHFWLYHO\ +HQFH PLFH ZHUH FRQILUPHG DV KHWHUR]\JRXV NQRFNRXW 9GU 56 0RXVH Osvdr+/- 0RXVH Osvdr+/- 0RXVH 3&5352'8&7 &<%(5*5((1,17(16,7< Osvdr-/- 7(03(5$785( R& )LJXUH % *HQRW\SH GHWHUPLQDWLRQ RI Osvdr DQG Osvdr PLFH 3&5V UHSUHVHQWHG PRXVH QXPEHU RI DQG JHQHUDWHG D VLQJOH JHQXLQH DPSOLFRQ ZKLFK ZDV D SDUW RI WKH KXPDQ YLWDPLQ ' UHFHSWRU K9'5 JHQH VHTXHQFH +HQFH PLFH DQG ZHUH FRQILUPHG DV KHPL]\JRXV WUDQVJHQLF 2VYGU 3&5 UHSUHVHQWHG PRXVH QXPEHU GLG QRW JHQHUDWH DQ\ DPSOLFRQ +HQFH PRXVH QXPEHU ZDV FRQILUPHG DV ZLOG W\SH 2VYGU 57 269'5WUDQVJHQLFSXSVXVHGIRUH[SHULPHQWVZHUHKHPL]\JRXV LH2VYGU ZLWKRQO\ RQH FKURPRVRPH FRQWDLQLQJ WKH WUDQVJHQH FRPELQLQJ ZLWK WKH RWKHU FKURPRVRPH XQFKDQJHGIURPZLOGW\SH 8VLQJWKHQHRQDWDOFDOYDULDOERQHGHULYHGFHOOSUHSDUDWLRQPHWKRGGHVFULEHGLQ6HFWLRQ RVWHREODVWOLNHFHOOVZHUHLVRODWHGIURP:79'5.2DQG269'5SXSVIRUP51$ VDPSOHVDQGLQYLWURPLQHUDOLVDWLRQDVVD\&HOOVZHUHVHHGHGLQFHOOFXOWXUHSODWHVIRU GD\VLQJURZWKPHGLDWRDOORZSUROLIHUDWLRQIROORZHGE\GD\VFXOWXUHLQGLIIHUHQWLDWLRQ PHGLD IRUGHWDLOHGPHWKRGVVHHVHFWLRQVDQG 7KHWUHDWPHQWVRIYHKLFOH YYHWKDQRO DQGFKURQLF' Q0 ZHUHVXSSOLHGWRFHOOFXOWXUHVHYHU\ KRXUVLQIUHVKPHGLDWKURXJKRXWWKHGD\FXOWXUHSHULRG1RWHWKDWDFRQFHQWUDWLRQRI S0 ' ZDV PHDVXUHG LQ EDWFKHV RI FXOWXUH PHGLD FRQWDLQLQJ )&6 XVHG LQ RXU ODERUDWRULHV SHUVRQDO FRPPXQLFDWLRQ IURP 'U $QGUHZ 7XUQHU WKXV µYHKLFOH¶ WUHDWPHQWV XVHG LQ WKLV VWXG\ DFWXDOO\ UHSUHVHQW D ORZ SK\VLRORJLFDO FRQFHQWUDWLRQ RI '$FRQFHQWUDWLRQRIQ0RQWKHRWKHUKDQGUHSUHVHQWVDSKDUPDFRORJLFDOGRVHRI 'VLQFHWKLVLVDSSUR[LPDWHO\±[KLJKHUWKDQWKHQRUPDOSK\VLRORJLFDOUDQJH GHWHFWHGLQKXPDQSODVPDRIDSSUR[LPDWHO\±S0 6DPSOHVRIWRWDO51$ IRUHDFKWLPHSRLQW GD\VDQG DQGIRUHDFKWUHDWPHQWIURPDOOWKUHHFHOO JHQRW\SHVZHUHH[WUDFWHGIURPWKHFHOOO\VDWHVRIWZRLQGLYLGXDOFXOWXUHZHOOV(DFK51$ VDPSOLQJWLPHSRLQWZDVDWWKHHQGRIRQHKRXUPHGLDFKDQJHF\FOH$OO51$VDPSOHV ZHUHTXDQWLILHGWRHQVXUHWKDWLGHQWLFDOTXDQWLWLHVRI51$ZHUHDGGHGWRHDFKF'1$ V\QWKHVLV UHDFWLRQ 7KH H[SUHVVLRQ RI JHQHV RI LQWHUHVW ZDV PHDVXUHG E\ T3&5 XVLQJ SULPHU VHWV OLVWHG LQ WDEOH (DFK JHQH DPSOLILFDWLRQ ZDV QRUPDOLVHG IRU WKH KRXVHNHHSLQJJHQHE$FWLQDVGHVFULEHGLQVHFWLRQ :7 DQG 269'5 FDOYDULDO FHOOV ZHUH DOVR DVVHVVHG IROORZLQJ DFXWH ' Q0 WUHDWPHQWZKLFKRQO\H[SRVHGFHOOVWR'IRUKRXUVSULRUWRWKHKDUYHVWRI51$ 7KLVVWUDWHJ\ZDVXWLOLVHGWRLGHQWLI\GLUHFWHIIHFWVRI'GXHWRWKHPRGXODWLRQRIJHQH H[SUHVVLRQ E\ '9'5 DFWLYLW\ DFWLQJ WKURXJK D 9'5( DV RSSRVHG WR SRVVLEOH LQGLUHFW HIIHFWV RI ' RQ P51$ OHYHOV UHVXOWLQJ IURP PRGXODWLRQ RI RVWHREODVW PDWXUDWLRQ,QFRQWUDVWWKHFKURQLF'WUHDWPHQWZRXOGPHDVXUHWKHFRPELQHGGLUHFW DQGLQGLUHFWHIIHFWVRQJHQHH[SUHVVLRQ 0LQHUDOLVDWLRQDVVD\VLQFOXGLQJYHKLFOHDQGFKURQLF'WUHDWPHQWVZHUHFRQGXFWHGIRU HDFK FHOO JHQRW\SH 0LQHUDOLVDWLRQ ZDV YLVXDOLVHG E\ ERWK $OL]DULQ 5HG VWDLQLQJ RI FDOFLXPSURGXFLQJDUHGVWDLQDQG9RQ.RVVDVWDLQLQJRISKRVSKDWHZKLFKSURGXFHVD EURZQEODFNFRORXURQGD\VDQG7KH$OL]DULQ5HGOHYHOZDVTXDQWLILHGE\ OLJKWDEVRUSWLRQDWQP 6HFWLRQ ,QDGGLWLRQWRPHDVXULQJHIIHFWVRIDFXWHDQGFKURQLF'WUHDWPHQWH[SHULPHQWVZHUH DOVR SHUIRUPHG XQGHU FRQGLWLRQV RI VWDQGDUG P0 DQG HOHYDWHG P0 WRWDO FDOFLXP FRQFHQWUDWLRQ LQ WKH FXOWXUH PHGLD 7KLV YDULDWLRQ ZDV EDVHG RQ RXU JURXS¶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esults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igure 4.3.1 A-C Vitamin D receptor status in WT and OSVDR cells The mRNA ratios of mouse vitamin D receptor (mVDR) to E-Actin by WT (A) and OSVDR (B) cells and the mRNA ratio of human vitamin D receptor (hVDR) to E-Actin by OSVDR cells only (C), with vehicle (black line), acute 1,25D (1 nM) (red dots) and chronic 1,25D (1 nM) (blue line) treatments in standard osteogenic differentiation media (1.8 mM total calcium). Three independent experiments for gene expression analyses were carried out and the error bars on graphs represent the standard errors of mean data collected from the three experiments (meanfSEM, n = 3; * indicates the effects of 1,25D treatments matching with the color of treatment groups, actue 1,25D (red), or chronic 1,25D (blue); * p <0.05;**p< 0.01; *** p <0.001). 61 ' &<3$,1'8&7,21%<:7&(//6 $&7,1 P51$ E &<3$ '$<6 ( &<3$,1'8&7,21%<269'5&(//6 $&7,1 P51$ E &<3$ '$<6 VEHICLE ACUTE 1,25D CHRONIC 1,25D Figure 4.3.1 D and E Cyp24a1 induction in WT and OSVDR cells by 1,25D treatments The mRNA ratios of 25-hydroxyvitamin D 24-hydroxylase (Cyp24a1)toE-Actin by WT (D) and OSVDR (E) cells, with vehicle (black line), acute 1,25D (1 nM) (red dots) and chronic 1,25D (1 nM) (blue line) treatments in standard osteogenic differentiation media (1.8 mM total calcium). Three independent experiments for gene expression analyses were carried out and the error bars on graphs represent the standard errors of mean data collected from the three experiments (meanfSEM, n = 3; * indicates the effects of 1,25D treatments matching with the color of treatment groups, actue 1,25D (red), or chronic 1,25D (blue); * p <0.05;**p<0.01;***p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igure4.3.2A-HComparisonofgeneexpressionprofileofWTandVDRKOcells Relative gene expression by wild type (WT) (solid line) and vitamin D receptor knockout (VDRKO) (broken line) cells over the 24-day culture with standard osteogenicdifferentiationmediasupplied(1.8mMtotalcalcium).Threeindependent experiments for gene expression analyses were carried out and the error bars on graphs represent the standard errors of mean data collected from the three experiments(meanfSEM,n=3). A: Col1D1 (type-I collagen) B: Tnap (tissue nonspecific alkaline phosphatase) C: Ank (ankloysis protein) D: Enpp1 (ecto-nucleotide pyrophosphatase/phosphodiesterase-1) E: Ocn (osteocalcin) F: E11 (gp38) G: Phex (phosphate regulating endopeptidase homolog, X-linked) H: Mepe (matrix extracellular phosphoglycoprotein) * p<0.0 65 0 2 . , 581; E$&7,1 P51$ 23* E$&7,1 P51$ '03 E$&7,1 P51$ 6267 E$&7,1 P51$ 581; 6267 '03 23* '$<6 '$<6 '$<6 '$<6 3 :7 66 1 / 3 - 26; E$&7,1 P51$ 5$1./ 23* P51$ 5$1./ E$&7,1 P51$ )*) E$&7,1 P51$ 9'5.2 5$1./23* 5$1./ )*) '$<6 '$<6 '$<6 '$<6 26; Figure4.3.2I-PComparisonofgeneexpressionprofileofWTandVDRKOcells Relative gene expression by wild type (WT) (solid line) and vitamin D receptor knockout (VDRKO) (broken line) cells over the 24-day culture with standard osteogenicdifferentiationmediasupplied(1.8mMtotalcalcium).Threeindependent experiments for gene expression analyses were carried out and the error bars on graphs represent the standard errors of mean data collected from the three experiments(meanfSEM,n=3). ,Sost VFOHURVWLQ -Fgf23 ILEUREODVWJURZWKIDFWRU .Dmp1 GHQWLQPDWUL[SURWHLQ /Rankl UHFHSWRUDFWLYDWRURI1)NDSSD%OLJDQG 0Opg RVWHRSURWHJHULQ 1Rankl/Opg 2Runx2 UXQWUHODWHGWUDQVFULSWLRQIDFWRU 3Osx RVWHUL[ S S 67 :7 269'5 $ % &2/D 71$3 $&7,1 P51$ E $&7,1 P51$ E D 71$3 &2/ '$<6 '$<6 & ' $1. (133 3 $&7,1 P51$ $&7,1 P51$ E E $1. (133 '$<6 '$<6 ( ) 2&1 ( $&7,1 P51$ $&7,1 P51$ E E 2&1 ( '$<6 '$<6 * + 3+(; 0(3( 3 $&7,1 P51$ $&7,1 P51$ E E 0(3( 3+(; '$<6 '$<6 68 Figure4.3.3A-HComparisonofgeneexpressionprofileofWTandOSVDRcells Relativegeneexpressionbywildtype(WT)(solidline)andover-expressedvitaminD receptor in osteocalcin expressing (OSVDR) (broken line) cells over the 24-day culturewithstandardosteogenicdifferentiationmediasupplied(1.8mMtotalcalcium). Three independent experiments for gene expression analyses were carried out and theerrorbarsongraphsrepresentthestandarderrorsofmeandatacollectedfromthe threeexperiments(meanfSEM,n=3). $Col1D1 W\SH,FROODJHQ %Tnap WLVVXHQRQVSHFLILFDONDOLQHSKRVSKDWDVH &Ank DQNOR\VLV SURWHLQ 'Enpp1 HFWRQXFOHRWLGHS\URSKRVSKDWDVHSKRVSKRGLHVWHUDVH (Ocn RVWHRFDOFLQ )E11 JS *Phex SKRVSKDWHUHJXODWLQJHQGRSHSWLGDVH KRPRORJ;OLQNHG +Mepe PDWUL[H[WUDFHOOXODUSKRVSKRJO\FRSURWHLQ S 69 :7 269'5 , - 6267 )*) $&7,1 P51$ $&7,1 P51$ E E 6267 )*) '$<6 '$<6 . / '03 5$1./ $&7,1 P51$ E $&7,1 P51$ E 5$1./ '03 '$<6 '$<6 0 1 23* 5$1./23* $&7,1 P51$ E 23* 5$1./ 23* P51$ '$<6 '$<6 70 Figure4.3.3I-NComparisonofgeneexpressionprofileofWTandOSVDRcells Relativegeneexpressionbywildtype(WT)(solidline)andover-expressedvitaminD receptor in osteocalcin expressing (OSVDR) (broken line) cells over the 24-day culturewithstandardosteogenicdifferentiationmediasupplied(1.8mMtotalcalcium). Threeindependentexperimentsforgeneexpressionanalyseswerecarriedoutand theerrorbarsongraphsrepresentthestandarderrorsofmeandatacollectedfrom thethreeexperiments(meanfSEM,n=3). ,Sost VFOHURVWLQ -Fgf23 ILEUREODVWJURZWKIDFWRU .Dmp1 GHQWLQPDWUL[SURWHLQ /Rankl UHFHSWRUDFWLYDWRURI1)NDSSD%OLJDQG 0Opg RVWHRSURWHJHULQ 1Rankl/Opg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Ļ ĻĻ $QN Ĺ (QSS Ĺ Ĺ 2FQ Ĺ Ļ Ļ ( 3KH[ Ĺ Ļ Ļ 0HSH Ļ Ļ 6RVW Ĺ Ļ ĻĻ )JI ĹĹ ĹĹ 'PS Ļ Ļ 5DQNO Ĺ Ĺ ĹĹ 2SJ Ļ Ļ 5DQNO2SJ ĹĹ 7DEOH ,Q FRPSDULVRQ RI YHKLFOH WUHDWPHQW DQG DFXWH ' RU FKURQLF ' WUHDWPHQWV µ¶ LQGLFDWHV WKH P51$ OHYHO RI JHQH RI LQWHUHVW QRW FKDQJHG µĻ¶ LQGLFDWHV WKH P51$ OHYHO RI JHQH RI LQWHUHVW GHFUHDVHG µĹ¶ LQGLFDWHV WKH P51$ OHYHO RI JHQH RI LQWHUHVW LQFUHDVHG 7KH QXPEHUV RI µĻ¶ RU µĹ¶ LQGLFDWH WKH SURSRUWLRQ RI GHFUHDVH RU LQFUHDVH RI WKH P51$ OHYHOV UHVSHFWLYHO\ 73 $ % &2/D 71$3 $&7,1 P51$ E $&7,1 P51$ E D 71$3 &2/ :7 269'5 :7 269'5 & ' $1. (133 $&7,1 P51$ E $&7,1 P51$ E $1. (133 :7 269'5 :7 269'5 ( ) 2&1 ( $&7,1 P51$ $&7,1 P51$ E E S ( 2&1 :7 269'5 :7 269'5 * + 3+(; 0(3( S $&7,1 P51$ $&7,1 P51$ E E 3+(; 0(3( :7 269'5 :7 269'5 9(+,&/($&87( ' &+521,& ' 74 Figure4.3.4A-FOsteogenicdifferentiationrelatedgeneexpressionsunderacute andchronic1,25DtreatmentsbyDay-24WTandOSVDRcellcultures The mRNA ratios of osteogenic differentiation related genes, Col1D1 (A), Tnap (B), Ank(C),Enpp1(D),Ocn(E),E11(F),Phex(G),Mepe(H)toE-ActinbyDay-24ofWT and OSVDR cell cultures,with vehicle (blackbar),acute1,25D (1nM)(red bar)and chronic1,25D(1nM)(bluebar)treatmentsinstandardosteogenicdifferentiationmedia (1.8mMtotalcalcium).Threeindependentexperimentsforgeneexpressionanalyses werecarriedoutandtheerrorbarsongraphsrepresentthestandarderrorsofmean datacollectedfromthethreeexperiments.(meanfSEM,n=3;*indicatestheeffects of1,25Dtreatmentsmatchingwiththecoloroftreatmentgroups,actue1,25D(red),or chronic1,25D(blue);*p<0.05;**p<0.01;***p<0.001) 75 , - 6267 )*) $&7,1 P51$ $&7,1 P51$ E E 6267 )*) :7 269'5 :7 269'5 . / '03 5$1./ $&7,1 P51$ E $&7,1 P51$ E 5$1./ '03 :7 269'5 :7 269'5 1 0 5$1./23* 23* $&7,1 P51$ E 23* 5$1./ 23* P51$ :7 269'5 :7 269'5 9(+,&/($&87( ' &+521,& ' Figure 4.3.4 I-N Osteogenic differentiation related gene expressions under acute and chronic 1,25D treatments by Day-24 WT and OSVDR cell cultures The mRNA ratios of osteogenic differentiation related genes, Sost (I), Fgf23 (J), Dmp1 (K), Rankl (L), Opg (M) to E-Actin and Rankl/Opg (N), by Day-24 of WT and OSVDR cell cultures, with vehicle (black bar), acute 1,25D (1nM) (red bar) and chronic 1,25D (1nM) (blue bar) treatments in standard osteogenic differentiation media (1.8 mM total calcium). Three independent experiments for gene expression analyses were carried out and the error bars on graphs represent the standard errors of mean data collected from the three experiments. (meanfSEM, n = 3; * indicates the effects of 1,25D treatments matching with the color of treatment groups, actue 1,25D (red), or chronic 1,25D (blue); * p < 0.05; ** p< 0.01; *** p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hwdtesmlrbooia fet ihnteetreexperiments. groups three these treatment within calcium the effects All biological total shown. similar is the mM independent showed experiment Three 2.8 representative colour. a and red and out in 1.8 calcium carried on with were staining experiments treatments Red Alizarin nM) by media, (1 culture 1,25D in OSVDR presented chronic and WT and VDRKO, of vehicle cultures 24 with Day cells and 15 Day of assay mineralisation of Visualisation A 4.3.5 Figure 269'5 :7 9'5.2 FDOFLXP P0 FDOFLXP P0 FDOFLXP P0 FDOFLXP P0 FDOFLXP P0 FDOFLXP P0 lzrnrdsann fmnrlsto sa yVRO TadOVRcells OSVDR and WT VDRKO, by assay mineralisation of staining red Alizarin (,/ (,/ ' 9(+,&/( ' 9(+,&/( '$< 78 '$< '$< '$< 9(+,&/( ' 9(+,&/( ' P0 FDOFLXP 9'5.2 P0 FDOFLXP P0 FDOFLXP :7 P0 FDOFLXP P0 FDOFLXP 269'5 P0 FDOFLXP Figure4.3.BVonKossastainingofmineralisationassaybyVDRKO,WTandOSVDRcells VisualisationofmineralisationassayofDay15andDay24culturesofVDRKO,WTandOSVDR cells with vehicle and chronic 1,25D (1 nM) treatments with 1.8 and 2.8 mM total calcium presentedinculturemedia,byVonKossastainingonphosphateinblack/browncolour.Three independent experiments were carried out and a representative experiment is shown. All the treatmentgroupsshowedthesimilarbiologicaleffectswithinthesethreeexperiments. 79 & 9'5.2 9(+,&/( P0FDOFLXP &+521,&' P0FDOFLXP 9(+,&/( P0FDOFLXP &+521,&' P0FDOFLXP AAA 0,1(5$/,6$7,21 QP '$<6 ' :7 AAA ( 269'5 0,1(5$/,6$7,21 QP '$<6 AAA 0,1(5$/,6$7,21 QP Figure 4.3.5 C-E In vitro mineralisation curve by the quantification of Alizarin Red staining on mineralisationassaysofVDRKO,WTandOSVDRcells InvitromineralisationcurvebyVDRKO(C),WT(D)andOSVDR(E)cellswithvehicle(brokenlines)and chronic1,25D(1nM)(solidlines)treatmentswith1.8mMtotalcalcium(pink)and2.8mMtotalcalcium (blue)presentedinculturemediareflectedbythequantificationofAlizarinRedstainingonmineralisation assays.Threeindependentexperimentswerecarriedoutandarepresentativeexperimentisshown.The errorbarsonthegraphsrepresented4replicatesofcellculturewellsforeachtreatmentgroup.Allthe treatmentgroupsshowedthesimilarbiologicaleffectswithinthesethreeexperiments(Effectof1,25D: ***p<0.001,**p<0.01,*p<0.05;Effectofcalcium:^^^p<0.001;Effectoftime:###p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iscussion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µWUHDWPHQW¶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¶V LQ WKH UHVSHFWLYH JHQH SURPRWHU UHJLRQV DQG HQGRJHQRXV 'SUHVHQWLQWKHFXOWXUHPHGLXPGULYLQJWKHEDVDOH[SUHVVLRQRIWKHVHJHQHV7KH ORZHUP51$OHYHOVRI'PSDQG5DQNOLQ9'5.2FXOWXUHVVXJJHVWWKDW9'5DFWLYLW\ PD\FRQWULEXWHWRDFKLHYLQJDPDWXUHDQGQRUPDORVWHRF\WHSKHQRW\SH FDSDEOHRI VXSSRUWLQJRVWHRFODVWIRUPDWLRQ )XUWKHUWKHPLQHUDOLVDWLRQPRGXODWLQJJHQH0HSH ZDVPRUHORZO\H[SUHVVHGLQ9'5.2FHOOV0HSHH[SUHVVLRQKDVEHHQGHPRQVWUDWHGWR EHHLWKHUXSRUGRZQUHJXODWHGE\'XQGHUGLIIHUHQWFLUFXPVWDQFHV)RUH[DPSOHLQ DVWXG\WKDWXWLOLVHGWKHRVWHRF\WHOLNHFHOOOLQH,'*6: 0HSHP51$H[SUHVVLRQ ZDVVKRZQWREHXSUHJXODWHGE\' +RZHYHULQRWKHUVWXGLHVXVLQJPRXVH RVWHREODVWVDQGWKHLPPDWXUHRVWHREODVWOLNHFHOOOLQH0&7(0HSHH[SUHVVLRQZDV VKRZQWREHGHFUHDVHGE\' DQGDPDUNHGO\LQFUHDVHG0HSHP51$H[SUHVVLRQ OHYHO ZDV UHSRUWHG LQ 9'5.2 PRXVH FDOYDULDO FHOO FXOWXUHV FRPSDUHG WR :7 +RZHYHUWKHH[DFWPHFKDQLVPE\ZKLFK'UHJXODWHV0HSHLVQRWXQGHUVWRRGDQG WKHUHIRUHIXUWKHUVWXG\LVUHTXLUHGWRHOXFLGDWHZK\0HSHP51$OHYHOVZHUHORZHULQ 9'5.2FDOYDULDOFXOWXUHVLQWKLVVWXG\ ,Q269'5FHOOVLQZKLFKKXPDQ9'5LVRYHUH[SUHVVHGSKHQRW\SLFGLIIHUHQFHVZHUH DOVRREVHUYHGFRPSDUHGWR:7FHOOV$OWKRXJKWKHP51$OHYHOVRISURDQDEROLFIDFWRUV IRU PLQHUDOLVDWLRQ &ROD DQG 7QDS ZHUH QRW GLIIHUHQW EHWZHHQ WKH JHQRW\SHV WKH H[SUHVVLRQRIWKHPLQHUDOLVDWLRQLQKLELWRUV$QNDQG(QSSZDVLQFUHDVHGLQ269'5FHOOV 7KLV SDWWHUQ RI JHQH H[SUHVVLRQ ZDV REVHUYHG XQGHU FRQGLWLRQV LQ ZKLFK PLQHUDO GHSRVLWLRQZDVHTXLYDOHQWEHWZHHQ:7DQG269'5FHOOV7KLVLPSOLHVWKDWP51$OHYHOV RI$QNDQG(QSSDUHLQFUHDVHGGXULQJGLIIHUHQWLDWLRQRI269'5RVWHREODVWVLQRUGHUWR PDLQWDLQDQµDSSURSULDWH¶OHYHORIPLQHUDOGHSRVLWLRQSHUKDSVDFWLQJDVDEUDNHXQGHUD FRQGLWLRQ ZKHUH PLQHUDO GHSRVLWLRQ LV HQKDQFHG E\ WKH RYHUH[SUHVVLRQ RI 9'5 7KH P51$OHYHORI'PSURVHWUDQVLHQWO\XSRQ'D\LQ269'5FXOWXUHVLQDVLPLODUSDWWHUQ WRWKDWVHHQLQ:7FXOWXUHV7KLVSDWWHUQRIP51$H[SUHVVLRQDJDLQVXJJHVWVWKDWWKH LQFUHDVHLQH[SUHVVLRQRI'PSGXULQJPLQHUDOLVDWLRQDQGGLIIHUHQWLDWLRQUHTXLUHVEDVDO 9'5DFWLYLW\3UHYLRXVLQYLYRGDWDVXJJHVWHGWKDWWUDEHFXODUERQHYROXPH %979 LQ 269'5WUDQVJHQLFPLFHLQFUHDVHGEHFDXVHRIWKHUHGXFWLRQLQWKH5DQNO2SJP51$ UDWLRLQZKLFKWKH2SJOHYHOZDVXQFKDQJHGDQG5DQNOH[SUHVVLRQZDVUHGXFHG ,Q WKHFXUUHQWVWXG\WKHORZHU5DQNO2SJP51$UDWLRLQ269'5FHOOVZDVFRQILUPHGE\ P51$PHDVXUHPHQWDOWKRXJKWKLVZDVDVDUHVXOWRIDPDUNHGO\LQFUHDVHG2SJOHYHO ZLWK DQ XQFKDQJHG 5DQNO P51$ OHYHO 7KXV 269'5 RVWHREODVWV DUH RQFH DJDLQ FKDUDFWHULVHGDVOHVVFDSDEOHRIVXSSRUWLQJRVWHRFODVWRJHQHVLVLQUHVSRQVHWR'ZLWKLQ WKHSK\VLRORJLFDOUDQJH+RZHYHUWKHEDVLVIRUDGLIIHUHQWPHFKDQLVPLQWKHUHGXFWLRQRI WKH5DQNO2SJP51$UDWLRLQWKHWZRVWXGLHVUHTXLUHVIXUWKHULQYHVWLJDWLRQ:KLOHLWLV ZLGHO\DFFHSWHGWKDW'LQGXFHV5DQNOP51$H[SUHVVLRQDQGLQKLELWVWKDWRI2SJLQ PRXVHRVWHREODVWV LWPD\EHWKDWWKHVHJHQHVDUHFRRUGLQDWHO\UHJXODWHGDQGWKDW XOWLPDWHO\LWLVWKHUDWLREHWZHHQWKHPWKDWGHOLYHUVWKHLPSRUWDQWIXQFWLRQDORXWFRPH)RU H[DPSOHLWZDVSUHYLRXVO\VKRZQWKDWZKLOH5$1./DQG23*P51$OHYHOVZHUHQRW GLIIHUHQWEHWZHHQRVWHRSRURWLFDQGQRQRVWHRSRURWLFZRPHQWKHUDWLRRI5$1./23* P51$ZDVGLIIHUHQW 7KHH[SUHVVLRQRIWKHPDWXUHRVWHREODVWDQGRVWHRF\WHSURGXFWV2FQ3KH[DQG6RVWZHUH IRXQGWREHLQFUHDVHGLQ269'5FHOOV7KLVILQGLQJVXJJHVWHGWKDWE\H[SRVLQJFHOOVWR SK\VLRORJLFDOOHYHORI'269'5FHOOVDFKLHYHGDPRUHPDWXUHGLIIHUHQWLDWLRQVWDJH ZLWKLQWKHWLPHIUDPHRIWKHH[SHULPHQWFRPSDUHGWR:7FHOOVE\YLUWXHRIWKHLULQFUHDVHG 9'5 H[SUHVVLRQ ,QWULJXLQJO\ WKH H[SUHVVLRQ RI 6RVW P51$ LQ ERWK 9'5.2 DQG 269'5 FHOOV ZDV KLJKHU WKDQ ZDV VHHQ LQ :7 FHOOV 7KHVH GDWD VXJJHVW WKDW ' PRGXODWHVWKHH[SUHVVLRQRI6RVWLQGLUHFWO\WKURXJKRWKHUIDFWRUV2QHFDQGLGDWHIDFWRU PD\EH581;DQLPSRUWDQW581;UHVSRQVLYHHOHPHQWLQWKH6RVWJHQHSURPRWHUKDV EHHQ LGHQWLILHG DQG 581; SURWHLQ KDV EHHQ UHSRUWHG WR LQWHUDFW ZLWK 9'5 WR HQKDQFH WKH QXFOHDU WUDQVFULSWLRQDO FDSDELOLW\ RI ' $OWHUQDWLYHO\ 6RVW H[SUHVVLRQ LV LQGXFHG E\ %03 ERQH PRUSKRJHQHWLF SURWHLQ DQG WKH LQGXFWLRQ LV IXUWKHUHQKDQFHGLQFRPELQDWLRQZLWK' +RZHYHUWKHH[DFWPHFKDQLVPHLWKHU GLUHFWRULQGLUHFWE\ZKLFK'UHJXODWHVWKH6RVWJHQHLVQRWGHILQHG2XUGDWDKHUH LQGLFDWHWKDW6RVWP51$H[SUHVVLRQFDQEHXSUHJXODWHGZKHQ'DFWLYLW\LVHLWKHU DEODWHGRUHOHYDWHG)XUWKHUVWXG\LVUHTXLUHGWRHOXFLGDWHWKHPROHFXODUEDVLVRI' UHJXODWLRQRI6RVWH[SUHVVLRQ &XOWXUHVRIRVWHREODVWVIURP:79'5.2DQG269'5PLFHZHUHDOVRH[SRVHGWRD SKDUPDFRORJLFDOOHYHORI' Q0 HLWKHUDFXWHO\IRUKRXUVWRDVVHVVWKHGLUHFW UHJXODWLRQ WKURXJK 9'5(V RYHU D VKRUW SHULRG RU FKURQLFDOO\ WKURXJKRXW WKH GD\ FXOWXUHSHULRGWRDVVHVVWKHFRPELQDWLRQRIGLUHFWUHJXODWLRQDQGLQGLUHFWHIIHFWVUHVXOWLQJ IURPRVWHREODVWFHOOPDWXUDWLRQ,Q9'5.2FXOWXUHVWKHUHZDVQRGHWHFWDEOHLQGXFWLRQ RI&\SDP51$H[SUHVVLRQE\'WUHDWPHQW$OVRZKHQ9'5.2FHOOFXOWXUHV ZHUHWUHDWHGFKURQLFDOO\ZLWK'QRELRORJLFDOHIIHFWVZHUHVHHQLQWHUPVRIHLWKHU RVWHRJHQHVLVUHODWHG JHQH H[SUHVVLRQ VKRZQ LQ $SSHQGL[ ,, RU PLQHUDO GHSRVLWLRQ 7KHVHGDWDFRQILUPWKDWWKHH[SUHVVLRQRI'UHVSRQVLYHJHQHVLQFOXGLQJ&\SDLV KLJKO\GHSHQGHQWRQ9'5DQGWKHUHIRUHWKHHIIHFWVRI'UHSRUWHGKHUHRQRVWHREODVW GLIIHUHQWLDWLRQDQGPLQHUDOGHSRVLWLRQLQ:7DQG269'5FHOOVFDQDOOEHDVVXPHGWREH GHSHQGHQWRQ9'5 :KHQWKHWRWDO LHERWKHQGRJHQRXVDQGWUDQVJHQLF 9'5P51$OHYHOZDVPDUNHGO\ LQFUHDVHGLQ269'5FHOOVFRPSDUHGWR:7FHOOV&\SDP51$LQGXFWLRQIROORZLQJ KRXU DFXWH VWLPXODWLRQE\SKDUPDFRORJLFDOOHYHOVRI'ZDVDURXQGIROGKLJKHU LQ269'5FHOOV7KLVILQGLQJLQGLFDWHVSHUKDSVQRWVXUSULVLQJO\WKDW ZKHQ'LV SUHVHQWLQPDUNHGH[FHVVFDWDEROLVPRI'E\RVWHREODVWVLVGHSHQGHQWRQWKHOHYHO RI9'57KH&\SDP51$H[SUHVVLRQE\ERWKFHOOW\SHVGURSSHGWRDVLPLODUOHYHOE\ WKHHQGRIDKRXUSHULRG LHFKURQLFWUHDWPHQW SUHVXPDEO\EHFDXVHWKH'ZDV FDWDEROLVHGIROORZLQJZKLFKWUDQVFULSWLRQDODFWLYLW\ZDVUHGXFHG7RIXOO\HOXFLGDWHWKH PHWDEROLVPRI'LQ:7DQG269'5FHOOVDPRUHGHWDLOHGWLPHFRXUVHZLWKLQWKH KRXU SHULRG ZRXOG EH UHTXLUHG WR HQDEOH WKH FRXUVH RI &\SD P51$ DQG SURWHLQ H[SUHVVLRQWREHFORVHO\PDSSHG7KH'UHVLGXDOFRQFHQWUDWLRQLQFXOWXUHPHGLDDW HDFKRIWKHWLPHSRLQWVZRXOGDOVREHDXVHIXODQGFULWLFDOUHDGRXWDVWRWKHPHWDEROLF VWDWXVRIWKHKRUPRQH 'DWD GHVFULELQJ P51$ OHYHOV RI WDUJHW JHQHV DVVRFLDWHG ZLWK GLIIHUHQWLDWLRQ RI RVWHREODVWVDWGD\RIFXOWXUHLQERWK:7DQG269'5FHOOVXQGHUDFXWHDQGFKURQLF 'WUHDWPHQWVDUHSUHVHQWHGKHUHDVDVQDSVKRWRIWKHZKROHGLIIHUHQWLDWLRQSURFHVVIRU FODULW\7KHGHWDLOHGP51$OHYHOVWKURXJKRXWWKHGD\WLPHFRXUVHZHUHFRQVLVWHQW ZLWKWKHGD\SDWWHUQV VKRZQLQ$SSHQGLFHV,, ,,, $VGLVFXVVHGSUHYLRXVO\WKH DFXWH ' WUHDWPHQW PRVW OLNHO\ UHSUHVHQWV GLUHFW UHJXODWLRQ RI WKH WUDQVFULSWLRQDO DFWLYLWLHVRI'9'5DFWLQJYLD9'5(V7KHFKURQLF'WUHDWPHQWUHSUHVHQWVD FRPELQDWLRQRIGLUHFWUHJXODWLRQRIWUDQVFULSWLRQDODFWLYLW\ ERWKSULPDU\DQGGRZQVWUHDP UHVSRQVLYH JHQHV DQG QHW HIIHFWV RI ' RQ FHOO GLIIHUHQWLDWLRQ LH HIIHFWV GXH WR LQGXFHGSKHQRW\SLFFKDQJHVLQWKHUHVSRQGLQJFHOOV ,Q:7FHOOVWKHOHYHOVRIDSDQHORIGLIIHUHQWLDWLRQUHODWHGJHQHVLQFOXGLQJ2FQ$QN2SJ 6RVW )JI DQG 3KH[ ZHUH HOHYDWHG E\ FKURQLF EXW QRW DFXWH ' WUHDWPHQWV 7KH P51$OHYHORI5DQNOZDVLQFUHDVHGE\ERWK'WUHDWPHQWV7KHVHILQGLQJVVXSSRUW WKHSURSRVDOWKDWSURORQJHGH[SRVXUHRI:7FHOOVWRDSKDUPDFRORJLFDOOHYHORI' SURPRWHVRVWHREODVWGLIIHUHQWLDWLRQDQGPDWXUDWLRQ+RZHYHUPRVWRIWKHHIIHFWVRI' ZHUH QRW REVHUYHG IROORZLQJ DFXWH H[SRVXUH LQGLFDWLQJ WKDW SURORQJHG H[SRVXUH LV UHTXLUHG ZKLFK LQ WXUQ VXJJHVWV WKDW WKH HIIHFWLYH LQWUDFHOOXODU OHYHO RI ' LV PDLQWDLQHGDWDORZOHYHOGXHWRWKHKLJKOHYHORI&\SDLQGXFWLRQDQGWKHHIILFLHQW FDWDEROLFDFWLYLW\WKH&<3HQ]\PH7KHSURPRWLQJUROHRI'RQ:7FHOOVFRXOG WKHUHIRUHEHWKHFRPELQDWLRQRIGLUHFWHIIHFWVRQ9'5(VRQVRPHRIWKHNH\JHQHV \HW WREHLGHQWLILHG LQWKHGLIIHUHQWLDWLRQSURFHVVDQGWKHQWKHHQKDQFHPHQWRIWKHFHOOXODU PDWXUDWLRQSURFHVVE\' ,QFRQWUDVWWR HIIHFWVLQ :7FXOWXUHVDFXWH'WUHDWPHQWKDGLQKLELWRU\HIIHFWVRQ P51$H[SUHVVLRQRI7QDS2FQ3KH[0HSH6RVW'PSDQG2SJLQ269'5FHOOV ,QKLELWRU\HIIHFWVRQP51$OHYHOVRI7QDS2FQ3KH[0HSH6RVWDQG2SJZHUHDOVR VHHQZLWKFKURQLF'WUHDWPHQWLQ269'5FXOWXUHV)XUWKHUPRUH269'5H[KLELWHG HOHYDWHGH[SUHVVLRQRIGLIIHUHQWLDWLRQUHODWHGJHQHVLQUHVSRQVHWRYHKLFOH VHH6HFWLRQ ZKLFK FRQWDLQV D SK\VLRORJLFDO ' GRVH $ SRVVLEOH LQWHUSUHWDWLRQ RI WKH GLIIHUHQFHEHWZHHQ269'5DQG:7FXOWXUHVLVWKDWZLWKHOHYDWHGWRWDO9'5H[SUHVVLRQ LHDVLQ269'5 VHQVLWLYLW\WRSK\VLRORJLFDO YHKLFOH 'OHYHOVLVHQKDQFHGDQGD SRVLWLYH HIIHFW RI WKHVH ORZ ' OHYHOV RQ RVWHREODVW GLIIHUHQWLDWLRQ LV VHHQ EDVDOO\ 8QGHUVWLPXODWLRQZLWKSKDUPDFRORJLFDO'OHYHOVKRZHYHUQHJDWLYHUHJXODWLRQRI JHQHH[SUHVVLRQRFFXUVLQDQDWWHPSWE\WKHFHOOVWRUHJXODWHWKHGLIIHUHQWLDWLRQSURFHVVLQ 269'5 FHOOV 7KHVH LQKLELWRU\ HIIHFWV RI ' RQ JHQH H[SUHVVLRQ DUH SUHVXPDEO\ ZRUNLQJWKURXJK9'5(VGLUHFWO\VLQFHHIIHFWVZHUHVHHQZLWKDFXWH'WUHDWPHQW7KH GDWD SUHVHQWHG KHUH LQYRNHV WKH FRQFHSW WKDW 9'5 LQ RVWHREODVWV SOD\V WKH UROH RI PRGXODWLQJ RVWHREODVW DFWLYLWLHV E\ HLWKHU SURPRWLQJ RU LQKLELWLQJ RVWHRJHQHVLV GHSHQGLQJRQWKHOHYHOVRIERWK9'5DQG'LQWKHFHOOV 7KHJHQHV(QSS5DQNODQG)JIZHUHDOOXSUHJXODWHGLQERWK:7DQG269'5FHOOV E\ H[RJHQRXV'WUHDWPHQW ,Q:7FHOOV (QSS DQG5DQNO WUHQGHG WR LQFUHDVH LQ UHVSRQVH WR DFXWH H[SRVXUH EXW ZHUH VLJQLILFDQWO\ XSUHJXODWHG E\ FKURQLF ' WUHDWPHQW&RQVLVWHQWZLWKWKHLUHOHYDWHGH[SUHVVLRQRI9'5WKHOHYHOVRI(QSSDQG 5DQNOLQ269'5FXOWXUHVZHUHJUHDWO\LQGXFHGE\DFXWH'WUHDWPHQWEXWZHUHQRW FKDQJHGE\FKURQLF'H[SRVXUHSUHVXPDEO\EHFDXVHRIWKHHQKDQFHGUDWHRI&<3 PHGLDWHG ' FDWDEROLVP XQGHU WKHVH FRQGLWLRQV 7KH ILQGLQJ RI 5DQNO P51$ LQGXFWLRQ E\ ' VWLPXODWLRQ KHUH LV FRQVLVWHQW ZLWK SUHYLRXVO\ UHSRUWHG GDWD WKDW 5$1./5DQNOZDVXSUHJXODWHGE\'WKURXJKWKHPXOWLSOH9'5(VLQLWVSURPRWHU :HIXUWKHUSURSRVHWKDWWKHUHJXODWLRQRI5DQNOH[SUHVVLRQE\'LVWLJKWO\ UHODWHGWRWKHOHYHORI9'5DFWLYLW\+RZHYHUWRRXUNQRZOHGJHWKHUHDUHQRDYDLODEOH SXEOLVKHGGDWDUHSRUWLQJWKHPHFKDQLVPRI'UHJXODWLRQRI(QSSH[SUHVVLRQ%DVHG RQRXUILQGLQJVKHUHWKHSDWWHUQRI(QSSLQGXFWLRQXQGHUDFXWH'WUHDWPHQWLQ:7 DQG269'5FHOOVDSSHDUVYHU\VLPLODUWRWKDWRI5DQNOLQGXFWLRQVXJJHVWLQJWKDW' DOVRDFWVWKRXJKSRWHQWLDO9'5(VZLWKLQWKH(QSSSURPRWHUIXWXUHPROHFXODUVWXGLHV ZLOOEHQHHGHGWRWHVWWKLVK\SRWKHVLV 7KHP51$H[SUHVVLRQRI)JILQERWK:7DQG269'5FHOOVZDVQRWFKDQJHGE\DFXWH 'WUHDWPHQWEXWZDVXSUHJXODWHGIROGE\FKURQLF'WUHDWPHQW)*)ZDV SUHYLRXVO\VKRZQWREHXSUHJXODWHGE\'WKURXJKD9'5(PHGLDWHGPHFKDQLVP 2XUGDWDLQGLFDWHWKDWDWWKHFRQFHQWUDWLRQRIQ0WKHXSUHJXODWLRQRI)JI H[SUHVVLRQE\'VWLPXODWLRQUHTXLUHVPRUHWKDQKRXUV0RUHRYHUWKHSURSRUWLRQ RI )JI LQGXFWLRQ E\ FKURQLF ' LQFUHDVHG E\ FXOWXUH WLPH FRXUVH UHIHUUHG WR $SSHQGL[,,- 7KLVILQGLQJDOVRVXJJHVWVWKDWWKHXSUHJXODWLRQRI)JIH[SUHVVLRQE\ 'LVUHODWHGWRFHOOGLIIHUHQWLDWLRQ 0LQHUDOLVDWLRQDVVD\VZHUHHPSOR\HGLQWKLVVWXG\DVDIXQFWLRQDOUHDGRXWRIRVWHREODVW GLIIHUHQWLDWLRQ :LWK UHVSHFW WR JHQH H[SUHVVLRQ WKH SUHVHQFH RI P0 &DLQWKH FXOWXUHPHGLDKDGQRDSSDUHQWHIIHFWFRPSDUHGWRP0 VHH$SSHQGLFHV,, ,,, 7KLV ZDVVXUSULVLQJ JLYHQWKDWDSUHYLRXVVWXG\IURP RXUJURXSVKRZHGD JHQHH[SUHVVLRQ HIIHFW RI FDOFLXP LQ KXPDQ SULPDU\ RVWHREODVWV ZLWK FDOFLXP XSUHJXODWLQJ WKH H[SUHVVLRQRIJHQHVVXFKDV62672&1DQG23*+RZHYHUWKHVHZHUHKXPDQDGXOW WUDEHFXODUERQHGHULYHGFHOOV UDWKHUWKDQQHRQDWDOPRXVHFDOYDULDOFHOOVDQGLWLV SRVVLEOHWKDWWKHUHDUHVSHFLHVDJHDQGVLWHVSHFLILFGLIIHUHQFHVLQWKHRVWHREODVWUHVSRQVH WR FDOFLXP ,Q WKH FXUUHQW VWXG\ WKH HOHYDWHG FDOFLXP FRQFHQWUDWLRQ VLJQLILFDQWO\ LQFUHDVHGPLQHUDOGHSRVLWLRQE\DOOWKUHHJHQRW\SHVRIRVWHREODVWVLQFOXGLQJ9'5.2 7KLV REVHUYDWLRQ VXJJHVWV WKDW FDOFLXP SOD\V DQ LQGHSHQGHQW UROH LQ RVWHREODVW GLIIHUHQWLDWLRQ WR WKDW RI YLWDPLQ ' DFWLYLW\ LQ WKLV FRPPRQO\ XVHG PRGHO +RZHYHU IXUWKHUVWXGLHVDUHUHTXLUHGWRLQYHVWLJDWHZK\JHQHH[SUHVVLRQLVQRWFKDQJHGLQWKLVFHOO PRGHOE\DQLQFUHDVHGFDOFLXPFRQFHQWUDWLRQDQG\HWPLQHUDOGHSRVLWLRQLVHQKDQFHG,Q :7FHOOVFKURQLF'WUHDWPHQWLQKLELWHGPLQHUDOLVDWLRQXQGHUERWKFRQFHQWUDWLRQVRI PHGLDFDOFLXP7KLVFRXOGEHUHODWHGWRWKHJHQHH[SUHVVLRQGDWDIURP:7FHOOVWKDWWKH PLQHUDOLVDWLRQ SURPRWHU 7QDS ZDV QRW FKDQJHG E\ FKURQLF ' WUHDWPHQW EXW PLQHUDOLVDWLRQLQKLELWRUV$QNDQG6RVW DQGWKHFDWDEROLFIDFWRU5DQNOZHUHLQFUHDVHG &KURQLF ' WUHDWPHQW DOVR LQKLELWHG WKH PLQHUDOLVDWLRQ OHYHO LQ 269'5 FHOOV ,QWHUHVWLQJO\ LQ 269'5 FHOOV 7QDS H[SUHVVLRQ ZDV PDUNHGO\ UHGXFHG DQG WKH GLIIHUHQWLDWLRQSURFHVVPHDVXUHGDWWKHOHYHORIJHQHH[SUHVVLRQZDVDSSDUHQWO\LQKLELWHG E\FKURQLFH[SRVXUHWR'+RZHYHUZHGLGQRWREVHUYHDFRUUHVSRQGLQJLQKLELWRU\ HIIHFW RI ' RQ PLQHUDOLVDWLRQ LQ 269'5 FXOWXUHV ,W LV SRVVLEOH WKDW GLUHFW FRPSDULVRQV RI PLQHUDOLVDWLRQ SHU VH DV SHUIRUPHG KHUH FRPELQHG IURP PXOWLSOH LQGHSHQGHQW H[SHULPHQWV DUH RI OLPLWHG YDOXH SHUKDSV EHFDXVH RI H[FHVVLYH LQWHU H[SHULPHQWDO YDULDWLRQ $Q REVHUYDWLRQ LQ WKLV VWXG\ ZDV WKDW WKH PHDVXUHPHQWV RI PLQHUDOLVDWLRQLQUHVSRQVHWRPXOWLSOHWUHDWPHQWVZDVRQO\XVHIXOZLWKLQHDFKLQGLYLGXDO H[SHULPHQW7KHH[SHULPHQWDOYDULDWLRQZDVOLNHO\GXHWRWKHYDULDWLRQLQFDOYDULDOFHOO LVRODWLRQ DQG WKH UDWHV RI FHOO JURZWK ,Q IXUWKHU VWXGLHV WKH PLQHUDOLVDWLRQ FRXOG EH QRUPDOLVHGIRUWKHDPRXQWRIH[WUDFHOOXODUPDWUL[SURGXFWLRQRUFHOOQXPEHUWRHQDEOH EHWWHU FRPSDULVRQV WR EH PDGH ,W LV DOVR SRVVLEOH WKDW PLQHUDOLVDWLRQ DV FRPPRQO\ PHDVXUHGLHWRWDOOHYHOVRIGHSRVLWHGFDOFLXPDQGSKRVSKDWHLVDUHODWLYHO\HDUO\HYHQW DQG GRHV QRW FDSWXUH PRUH VXEWOH EXW SRWHQWLDOO\ ELRORJLFDOO\ LPSRUWDQW HIIHFWV RQ PLQHUDO FRPSRVLWLRQ DQG TXDOLW\ ,QVWHDG PLQHUDOLVDWLRQ SHU VHPD\QRWEHWKHPRVW LPSRUWDQWIHDWXUHRIRVWHREODVWGLIIHUHQWLDWLRQDQGLVWKXVSRRUO\UHJXODWHGLWPD\EHWKDW SKHQRW\SLFHIIHFWVRI'RQWKHUHVXOWLQJGLIIHUHQWLDWHGFHOOVLQWKHVHFXOWXUHVDUHPRUH LPSRUWDQWJLYLQJULVHWRFHOOV LHRVWHRF\WHV ZLWKYDULRXVIXQFWLRQDOFDSDELOLWLHV7KLV DUHDLVZRUWK\RIIXUWKHULQYHVWLJDWLRQVLQFHRVWHRF\WHVFRQVWLWXWHWKHPDMRULW\RIDOOERQH FHOOV DQG SHUIRUP PDQ\ YLWDO IXQFWLRQV IXQFWLRQV ZKLFK DUH EHFRPLQJ LQFUHDVLQJO\ HOXFLGDWHG2IJUHDWLQWHUHVWLVWKHDELOLW\RIPDWXUHRVWHRF\WHVRQFHIRUPHGWRUHJXODWH WKHLU PLQHUDOLVHG HQYLURQPHQW DQG SHUIRUP GLYHUVH IXQFWLRQV VXFK DV FRQWURO RI SKRVSKDWHKRPHRVWDVLV 4.5 Conclusion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hapter 5 Vitamin D Metabolites and Extracellular Calcium Promote Mineral Deposition by a Mature Osteoblast Cell Line MLO-A5 0DQXVFULSWVXEPLWWHGIRUSXEOLFDWLRQ 7KH ILQGLQJV LQ WKLV FKDSWHU SUHVHQWHG DV D PDQXVFULSW IRU SXEOLFDWLRQ GHVFULEH WKH DQDEROLFHIIHFWVRIERWKHQGRJHQRXVDQGH[RJHQRXVVRXUFHVRIYLWDPLQ'RQRVWHRJHQLF GLIIHUHQWLDWLRQDQGPLQHUDOLVDWLRQZLWKDQLQWHUDFWLRQZLWKH[WUDFHOOXODUFDOFLXP7KHXVH RIDFHOOOLQHZDVZDUUDQWHGIRUWKLVVWXG\IRUWKHSXUSRVHVRILQWHUDQGLQWUDH[SHULPHQWDO UHSURGXFLELOLW\7KHZHOOFKDUDFWHULVHGPRXVHFHOOOLQH0/2$ZDVFKRVHQIRUWKHVH VWXGLHVEHFDXVHRXUJURXSKDVVKRZQWKDWLWLVFDSDEOHRIPHWDEROLVLQJ'LQWR' DQGIRULWVDELOLW\WRGLIIHUHQWLDWHXQGHURVWHRJHQLFFRQGLWLRQVDQGPLQHUDOLVHLWVPDWUL[LQ D PDQQHU HTXLYDOHQW WR ERQH LQ YLYR 7KH ILQGLQJV LQGLFDWH WKDW H[WUDFHOOXODU FDOFLXP FRQFHQWUDWLRQDORQHLVDQLPSRUWDQWIDFWRUWKDWUHJXODWHVRVWHRJHQLFGLIIHUHQWLDWLRQ7KH FHOOOLQH0/2$ FRXOGEHDXVHIXOPRGHOWRIXUWKHULQYHVWLJDWH WKH FDOFLXP VHQVLQJ PHFKDQLVPGXULQJRVWHRJHQLFGLIIHUHQWLDWLRQSURFHVV Statement of authorship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itamin D Metabolites and Extracellular Calcium Promote Mineral Deposition by a Mature Osteoblast Cell Line MLO-A5 ' 'LVFLSOLQHRI0HGLFLQH8QLYHUVLW\RI$GHODLGH$GHODLGH6$$XVWUDOLD (QGRFULQH%RQH5HVHDUFK&KHPLFDO3DWKRORJ\6$3DWKRORJ\$GHODLGH6$$XVWUDOLD %RQH&HOO%LRORJ\*URXS&HQWUHIRU2UWKRSDHGLFDQG7UDXPD5HVHDUFK8QLYHUVLW\RI$GHODLGH $GHODLGH6$$XVWUDOLD 0XVFXORVNHOHWDO%LRORJ\5HVHDUFK6FKRRORI3KDUPDF\DQG0HGLFDO6FLHQFHV8QLYHUVLW\RI 6RXWK$XVWUDOLD$GHODLGH6$$XVWUDOLD (TXDOVHQLRUDXWKRUV &RUUHVSRQGLQJ$XWKRU Abbreviated Title:9LWDPLQ'DQGFDOFLXPSURPRWHPLQHUDOGHSRVLWLRQ Key terms: 2VWHREODVWGLIIHUHQWLDWLRQ0LQHUDOLVDWLRQ9LWDPLQ'([WUDFHOOXODUFDOFLXP Word count: Number of figures and tables: ILJXUHVDQGWDEOH Corresponding author and person to whom reprint requests should be addressed: $VVRF3URIHVVRU*HUDOG-$WNLQV3K' %RQH&HOO%LRORJ\*URXS&HQWUHIRU2UWKRSDHGLF 7UDXPD5HVHDUFK 8QLYHUVLW\RI$GHODLGH $GHODLGH6$ $XVWUDOLD 3KRQH 0RELOH )D[ (PDLO*HUDOGDWNLQV#DGHODLGHHGXDX Disclosure Statement:7KHDXWKRUVKDYHQRWKLQJWRGLVFORVH Abstract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ĮK\GUR[\ODVH DQG K\GUR[\YLWDPLQ 'K\GUR[\ODVH EXW QRW IRU RWKHU JHQHV 7KHVH GDWD GHPRQVWUDWH YLWDPLQ ' VWLPXODWLRQ RI RVWHREODVW GLIIHUHQWLDWLRQ DQG PLQHUDO GHSRVLWLRQ LQWHUDFWLQJ ZLWK H[WUDFHOOXODUFDOFLXPDQGDFWLQJWKURXJKUHJXODWLRQRIH[SUHVVLRQRIJHQHVIRU(QSSDQGWLVVXH QRQVSHFLILFDONDOLQHSKRVSKDWDVH 1 Introduction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ethods and Materials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¶V LQVWUXFWLRQV F'1$ DJDLQVWWKHWRWDO51$WHPSODWHZDVV\QWKHVLVHGE\6XSHUVFULSW,,,NLW /LIH7HFKQRORJLHV 7KH P51$H[SUHVVLRQRIJHQHVRILQWHUHVWZDVWKHQPHDVXUHGXVLQJUHDOWLPH3&5E\L46<%5 *UHHQ6XSHUPL[ %LR5DG/DERUDWRULHV+HUFXOHV86$ DVSHUWKHPDQXIDFWXUHU¶VLQVWUXFWLRQV 2OLJRQXFOHRWLGHSULPHUVHWVWDUJHWLQJ&\SE&\SD*MD'PS$QN(QSS(DQG 3KH[JHQHVHTXHQFHVDUHOLVWHGLQ7DEOH3ULPHUVHWVIRURWKHUJHQHVZHUHGHVFULEHGSUHYLRXVO\ 7KH VSHFLILFLW\ RI SULPHU ELQGLQJ ZDV FRQILUPHG E\ PHOWFXUYH DQDO\VLV DIWHU WKH 3&5 UHDFWLRQV)RUTXDQWLILFDWLRQJHQHH[SUHVVLRQZDVQRUPDOLVHGWRWKDWRIWKHKRXVHNHHSLQJJHQHȕ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esults 9LWDPLQ'UHFHSWRUDFWLYLW\DQGYLWDPLQ'PHWDEROLVPLQ0/2$FHOOV 9LWDPLQ'UHFHSWRU 9GU P51$OHYHOVUHGXFHGZLWKWLPHLQDOOFXOWXUHVZLWKP0&D S EXWQRWP0&DDQGZHUHHQKDQFHGZLWK'WUHDWPHQWRQO\ZLWKP0&D S )LJ$ P51$OHYHOVRI&\SEZHUHVLJQLILFDQWO\VXSSUHVVHGE\'WUHDWPHQWDWERWK DQGP0&D S DQGWHQGHGWREHVXSSUHVVHGE\'ZLWKP0&D S )LJ% 2QGD\VDQGP51$OHYHOVRIWKHJHQH&\SDZHUHDWWKHOLPLWVRI GHWHFWLRQZLWKYHKLFOHWUHDWPHQW )LJ& 7KHVHWLPHSRLQWVZHUHWKHHQGRIKRXUPHGLD IHHGLQJF\FOHV&\SDP51$H[SUHVVLRQZDVPDUNHGO\LQGXFHGE\'DQG' S ZLWKRQDYHUDJHIROGKLJKHUOHYHOVZLWK'WKDQZLWK',QGXFWLRQRI&\SDP51$ E\'ZDVJUHDWHULQWKHSUHVHQFHRIP0&DFRPSDUHGWRP0&D S 7KH LQDFWLYHYLWDPLQ'PHWDEROLWHGLK\GUR[\YLWDPLQ'GLGQRWGHPRQVWUDWHDQ\LQGXFWLRQRI &\SD GDWDQRWVKRZQ $FXWH&\SDLQGXFWLRQZLWKLQKRXUVDQG'OHYHOVIURPPHGLDVXSHUQDWDQWVRI' DQG'WUHDWHGFXOWXUHV 7KHORZHULQGXFWLRQRI&\SDP51$OHYHOVRYHUWKHGD\FXOWXUHVZLWK'FRPSDUHG ZLWK'WUHDWPHQWUDLVHGWKHTXHVWLRQDVWRZKHWKHUH[RJHQRXV'GHPRQVWUDWHVGLIIHUHQWLDO SKDUPDFRG\QDPLFVFRPSDUHGZLWKHQGRJHQRXV'7KHUHIRUHWKHHIIHFWVRIWKHVHYLWDPLQ' PHWDEROLWHVRQ&\SDP51$DQGPHGLD'OHYHOVZHUHLQYHVWLJDWHGDWHDUOLHUWLPHSRLQWV WKDQGD\V K $IWHUKVWLPXODWLRQ&\SDP51$H[SUHVVLRQZDVHOHYDWHGLQUHVSRQVH WR' Q0 UHDFKLQJDPD[LPXPDWKDQGVXEVHTXHQWO\GHFOLQLQJE\K )LJ$ 7KHUH ZDVQRHIIHFWRI&DRQWKLVLQGXFWLRQRYHUWKHVKRUWHUWLPHSHULRG&\SDP51$LQGXFWLRQ E\' Q0 ZDVGHOD\HGFRQVLVWHQWZLWKHQGRJHQRXVV\QWKHVLVRI'DQGFRQWLQXHGWR LQFUHDVHXSWRK&RQVLVWHQWZLWKGDWDVKRZQLQILJXUH&&\SDP51$H[SUHVVLRQZDV HOHYDWHGLQUHVSRQVHWR' Q0 DQGP0&D )LJ$ RQO\DWK S :LWK YHKLFOHWUHDWPHQW&\SDP51$OHYHOVZHUHYHU\ORZVLPLODUWROHYHOVLQILJXUH& GDWDQRW VKRZQ 0HDVXUHPHQW RI ' LQ WKH FXOWXUH VXSHUQDWDQW FRQILUPHG WKDW HQGRJHQRXV DQG H[RJHQRXV VRXUFHV RI ' GHPRQVWUDWH PDUNHG GLIIHUHQFHV LQ SKDUPDFRNLQHWLFV +RUPRQH OHYHOVLQFXOWXUHVVXSSOLHGZLWKH[RJHQRXV'GHFUHDVHGIURPWKHLQLWLDOOHYHORIS0WR S0E\K )LJ& LQGLFDWLYHRIUREXVWLQGXFWLRQRI&<3$DFWLYLW\XQDIIHFWHGE\WKH FDOFLXPFRQFHQWUDWLRQ7UHDWPHQWZLWKQ0'SURGXFHGVRPHS0'FRQFHQWUDWLRQV ZKLFKZHUHPDLQWDLQHGRYHUWKHKRXUSHULRG )LJ' 7UHDWPHQWZLWKQ0'LQFUHDVHG 'OHYHOVWRS0DWKRXUV )LJ( 0HGLD'OHYHOVZLWK'WUHDWPHQWGHPRQVWUDWHG DWUHQGIRUUHGXFHGOHYHOVDWP0&DZLWKQ0WUHDWPHQW S DWK FRQVLVWHQWZLWK LQFUHDVHGLQGXFWLRQRI&\SDP51$ZLWKWKLVWUHDWPHQW 9LWDPLQ'LQKLELWLRQRI0/2$SUROLIHUDWLRQ 7KHSHUFHQWDJHRIFHOOVZKLFKKDGSDVVHGWKURXJKDWOHDVWRQHGLYLVLRQE\GD\ZDVVLJQLILFDQWO\ ORZHUZLWKQ0'DQGQ0'WUHDWPHQWFRPSDUHGWRYHKLFOHJURXS S )LJ $ WKHSHUFHQWDJHRIFHOOVWKDWSUROLIHUDWHGPRUHWKDQJHQHUDWLRQVZDVVLJQLILFDQWO\ORZHULQ DOOYLWDPLQ'WUHDWPHQWJURXSVFRPSDUHGWRYHKLFOHJURXS S )LJ% 7KHVHILQGLQJV LQGLFDWHWKDWERWK'DQG'H[HUWLQKLELWRU\HIIHFWVRQWKHSUROLIHUDWLRQRI0/2$FHOOV 7KHLQKLELWLRQZDVGRVHGHSHQGHQWZLWKVWURQJHUDUUHVWRIFHOOF\FOLQJDWQ0'DQGQ0 ' WUHDWPHQWV FRPSDUHG WR Q0 ' DQG Q0 ' UHVSHFWLYHO\ S 7KLV LQKLELWLRQRISUROLIHUDWLRQE\YLWDPLQ'PHWDEROLWHVZDVLQGHSHQGHQWRILRQLVHGPHGLDFDOFLXP FRQFHQWUDWLRQV GDWDQRWVKRZQ 7KHLQDFWLYHYLWDPLQ'PHWDEROLWHGLK\GUR[\YLWDPLQ' GLGQRWGHPRQVWUDWHDQ\LQKLELWLRQRISUROLIHUDWLRQ GDWDQRWVKRZQ VXJJHVWLQJWKDW&<3% DFWLYLW\UDWKHUWKDQ&<3$ZDVUHVSRQVLEOHIRUWKHREVHUYHGHIIHFWVZLWK' 9LWDPLQ'PHWDEROLWHVHQKDQFHPLQHUDOGHSRVLWLRQE\0/2$ 0LQHUDOGHSRVLWLRQZDVDVVHVVHGE\$OL]DULQ5HGVWDLQ )LJ$ ZKLFKZDVTXDQWLILHGDWWLPH SRLQWVRYHUWKHGD\FXOWXUHSHULRG )LJ% ('6DQDO\VHVLQGLFDWHGWKDWWKH&D3UDWLRRIWKLV GHSRVLWHGPLQHUDOUDQJHGEHWZHHQWRZKLFKLVVLPLODUWRWKH&D3UDWLR DURXQG RI LQ YLYR ERQH PLQHUDO K\GUR[\DSDWLWH &D 32 2+ 'XULQJ WKLV WLPH SHULRG WKH OHYHO RI PLQHUDOGHSRVLWLRQLQFUHDVHGZLWKP0&DLQWKHFXOWXUHPHGLDFRPSDUHGZLWKP0&D S 7KHDGGLWLRQRI' Q0 WRPHGLXPWKDWFRQWDLQHGP0&DZDVDVVRFLDWHG ZLWKDVOLJKWEXWVLJQLILFDQWLQFUHDVHLQPLQHUDOGHSRVLWLRQ S ,QWKHSUHVHQFHRI' PLQHUDOGHSRVLWLRQZDVRQO\LQFUHDVHGDWGD\ S :LWKP0&DLQWKHPHGLDERWK YLWDPLQ'PHWDEROLWHV 'DWQ0'DWQ0 VLJQLILFDQWO\LQFUHDVHGPLQHUDOGHSRVLWLRQ RYHUYHKLFOHWUHDWPHQWE\DWGD\ S 7KHLQFUHDVHGPLQHUDOGHSRVLWLRQLQGXFHG E\HDFKYLWDPLQ'PHWDEROLWHZDVDOVRVLJQLILFDQWO\JUHDWHULQWKHSUHVHQFHP0&DWKDQ P0&D S (IIHFWVRIYLWDPLQ'PHWDEROLWHVDQGH[WUDFHOOXODUFDOFLXPRQP51$OHYHOVRIJHQHVUHODWHG WRRVWHRJHQLFGLIIHUHQWLDWLRQDQGPLQHUDOGHSRVLWLRQ ([SUHVVLRQRIWKHRVWHREODVWPDWXUDWLRQDVVRFLDWHGJHQHRVWHRFDOFLQ 2FQ DWP0&DZDV LQGXFHG E\ ERWK YLWDPLQ ' PHWDEROLWHV S )LJ $ :KHQ PHGLD LRQLVHG FDOFLXP FRQFHQWUDWLRQVZHUHHOHYDWHGWRP0WKHHQKDQFLQJHIIHFWVRI'DQG'RQ2FQP51$ ZHUHVLJQLILFDQWO\UHGXFHG S P51$OHYHOVRI*MDHQFRGLQJJDSMXQFWLRQSURWHLQDOSKD FRQQH[LQDSULQFLSDOSURWHLQFRPSRQHQWIRUIXQFWLRQDOKHPLFKDQQHOVDQGJDSMXQFWLRQVDQG DPDUNHURIPDWXUHRVWHREODVWVDQGRVWHRF\WHV ZDVLQFUHDVHGE\P0&D S VXJJHVWLQJDPDWXUDWLRQHIIHFWRIHOHYDWHGH[WUDFHOOXODUFDOFLXPDORQH*MDP51$OHYHOVZHUH HQKDQFHGE\ERWK' S DQG' S WUHDWPHQWVZLWKP0&DLQFXOWXUH PHGLD )LJ% EXWZHUHQRGLIIHUHQWIURPYHKLFOHZLWKP0&D*HQHH[SUHVVLRQRIWKH RVWHRF\WH PDUNHU GHQWLQ PDWUL[ DFLGLF SKRVSKRSURWHLQ 'PS GHPRQVWUDWHG D WUHQG IRU LQFUHDVHGP51$OHYHOVZLWKHOHYDWHGFDOFLXPDORQH S ZKLOH'DQG'WUHDWPHQW JURXSVVKRZHGQRHIIHFWV )LJ& /HYHOVRIWLVVXHQRQVSHFLILFDONDOLQHSKRVSKDWDVH 7QDS P51$HQFRGLQJWKHHQ]\PHFULWLFDO IRUWKHLQLWLDWLRQRIERQHPLQHUDOLVDWLRQE\GHJUDGLQJS\URSKRVSKDWH 33L GHFUHDVHGZLWKWLPH ZLWKP0&D S DQGZHUHLQFUHDVHGE\ERWK' S DQG' S RQ GD\ )LJ$ :KHQPHGLDLRQLVHGFDOFLXPZDVHOHYDWHGWRP07QDSP51$OHYHOVZHUH VLPLODU WR WKH EDVDO OHYHOV ZLWK YHKLFOH WUHDWPHQW DW P0 &D UHJDUGOHVV RI YLWDPLQ ' PHWDEROLWH WUHDWPHQWV 7KH P51$ OHYHO RI DQN\ORVLV SURWHLQ $QN ZKLFK LV UHVSRQVLEOH IRU WUDQVSRUWLQJ33LLQWRWKHH[WUDFHOOXODUIOXLGZDVXQDIIHFWHGE\HLWKHUYLWDPLQ'PHWDEROLWHRU FDOFLXP FRQFHQWUDWLRQ YDULDWLRQV )LJ % 7KH P51$ OHYHO RI HFWRQXFOHRWLGH S\URSKRVSKDWDVHSKRVSKRGLHVWHUDVH (QSS WKHHQ]\PHUHVSRQVLEOHIRUV\QWKHVLVRI33LZLWK P0&DZDVLQFUHDVHGVOLJKWO\EXWVLJQLILFDQWO\E\ERWK' S DQG' S WUHDWPHQWVIURPDORZEDVHOLQHOHYHODQGLQFUHDVHGZLWKWLPHE\' S 7KHHOHYDWHG LRQLVHG FDOFLXP FRQFHQWUDWLRQ LQFUHDVHG WKH EDVDO OHYHO RI (QSSP51$WRDPLQRUH[WHQW FRPSDUHGWRWKDWZLWKP0&D S +RZHYHUZLWK'DQG'WUHDWPHQWVWKHUH ZHUHJUHDWHUWKDQIROGLQFUHDVHVLQ(QSSP51$OHYHOVFRPSDUHGZLWKYHKLFOHDWP0&D S DQGLQFUHDVHVFRPSDUHGWR'DQG'WUHDWPHQWOHYHOVZLWKP0&D S )LJ& 0HVVHQJHU51$OHYHOVRIW\SH,FROODJHQDOSKDFKDLQ &ROD WKHPDMRUFRPSRQHQWRIERQH RUJDQLF PDWUL[ ( WKH HDUO\ RVWHRF\WH WUDQVLWLRQ UHODWHG JHQH DQG SKRVSKDWH UHJXODWLQJ HQGRSHSWLGDVHKRPRORJ;OLQNHG 3KH[ WKHRVWHRF\WHPDUNHUWKDWSURPRWHVPLQHUDOLVDWLRQZHUH DOO KLJKO\ GHWHFWDEOH EXW XQDIIHFWHG E\ HLWKHU YLWDPLQ ' PHWDEROLWHV RU WKH LRQLVHG FDOFLXP FRQFHQWUDWLRQ VXSSOHPHQWDU\)LJ$& 4 Discussion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cknowledgements 7KHDXWKRUVZLVKWRWKDQN3URI/%RQHZDOG 8QLYHUVLW\RI0LVVRXUL.DQVDV&LW\.DQVDV&LW\ 0286$ IRUSURYLVLRQRIWKH0/2$FHOOOLQHDQGDOVRIRUZDUGRXUWKDQNIXOQHVVWR$GHODLGH 0LFURVFRS\VHUYLFH 7KH8QLYHUVLW\RI$GHODLGH$XVWUDOLD IRUWKH('6DQDO\VLV7KLVVWXG\ZDV VXSSRUWHG E\ IXQGLQJ IURP WKH 1DWLRQDO +HDOWK DQG 0HGLFDO 5HVHDUFK &RXQFLO RI $XVWUDOLD 1+05& *UDQW1R$33 References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igure legends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ene Sequence (5’to 3’) Gene bank accession Amplicon (bp) number Cyp27b1 )RUZDUGJDFFWWJWJFJDFJDFWDD 10B 5HYHUVHWFWJWJWFDJJDJJJDFWWFD Cyp24a1 )RUZDUGWWJDDDJFDWFWJFFWWJWJW 10B 5HYHUVHJWFDFFDWFDWFWWFFFDDDW Gja1 )RUZDUGDDJWJDDDJDJDJJWJFFFD 10B 5HYHUVHJWJJDJWDJJFWWJJDFFWW Dmp1 )RUZDUGJDDDJFWFWJDDJDJDJJDFJJJ 10B 5HYHUVHWJWFFJWJWJJWFDFWDWWWJFFW Ank )RUZDUGWFJFWJDFJFWFWJWWWWJW 10B 5HYHUVHJJFDDDJWFFDFWFFDDWJDWDW Enpp1 )RUZDUGDDJFJFWWDFDFWWFJFWDDDDJ 10B 5HYHUVHWJDWJJDWWFDDFJFDDJWWJ E11 )RUZDUGDDDFJFDJDFDDFDJDWDDJDDDJDW 10B 5HYHUVHJWWFWJWWWDJFWFWWWDJJJFJD Phex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hapter 6: Concluding Remarks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eferences 1. 2UQLW] '0 0DULH 3- )*) VLJQDOLQJ SDWKZD\V LQ HQGRFKRQGUDO DQG LQWUDPHPEUDQRXV ERQH GHYHORSPHQW DQG KXPDQ JHQHWLF GLVHDVH *HQHV GHYHORSPHQW 2. /RQJ ) 2UQLW] '0 'HYHORSPHQW RI WKH HQGRFKRQGUDO VNHOHWRQ &ROG 6SULQJ +DUERUSHUVSHFWLYHVLQELRORJ\ D 3. 0DFNLH (- $KPHG <$ 7DWDUF]XFK / &KHQ .6 0LUDPV 0 (QGRFKRQGUDO RVVLILFDWLRQKRZFDUWLODJHLVFRQYHUWHGLQWRERQHLQWKHGHYHORSLQJVNHOHWRQ7KH LQWHUQDWLRQDOMRXUQDORIELRFKHPLVWU\ FHOOELRORJ\ 4. 0DFNLH(-7DWDUF]XFK/0LUDPV07KHVNHOHWRQDPXOWLIXQFWLRQDOFRPSOH[ RUJDQWKHJURZWKSODWHFKRQGURF\WHDQGHQGRFKRQGUDORVVLILFDWLRQ7KH-RXUQDO RIHQGRFULQRORJ\ 5. &RXUSURQ30HXQLHU39LJQRQ*>'\QDPLFVRIERQHUHPRGHOLQJH[SODLQHGE\ +DUROG )URVW 7KHRU\ RI WKH % 08 EDVLF PXOWLFHOOXODU XQLW @ /D 1RXYHOOH SUHVVHPHGLFDOH 6. .XODU - 7LFNQHU - &KLP 60 ;X - $Q RYHUYLHZ RI WKH UHJXODWLRQ RI ERQH UHPRGHOOLQJDWWKHFHOOXODUOHYHO&OLQLFDOELRFKHPLVWU\ 7. 6HHPDQ(%RQHPRGHOLQJDQGUHPRGHOLQJ&ULWLFDOUHYLHZVLQHXNDU\RWLFJHQH H[SUHVVLRQ 8. +DGMLGDNLV '- $QGURXODNLV ,, %RQH UHPRGHOLQJ $QQDOV RI WKH 1HZ $FDGHP\RI6FLHQFHV 9. .RPRUL 7 5HJXODWLRQ RI RVWHREODVW GLIIHUHQWLDWLRQ E\ WUDQVFULSWLRQ IDFWRUV -RXUQDORIFHOOXODUELRFKHPLVWU\ 10. 7DNDKDVKL 7 .DWR 6 6X]XNL 1 .DZDEDWD 1 7DNDJL 0 $XWRUHJXODWRU\ PHFKDQLVP RI 5XQ[ WKURXJK WKH H[SUHVVLRQ RI WUDQVFULSWLRQ IDFWRUV DQG ERQH PDWUL[SURWHLQVLQPXOWLSRWHQWLDOPHVHQFK\PDOFHOOOLQH52%&-RXUQDORI RUDOVFLHQFH 11. 6RQJ//LX02QR1%ULQJKXUVW)5.URQHQEHUJ+0*XR-/RVVRIZQWEHWD FDWHQLQ VLJQDOLQJ FDXVHV FHOO IDWH VKLIW RI SUHRVWHREODVWV IURPRVWHREODVWVWR DGLSRF\WHV -RXUQDO RI ERQH DQG PLQHUDO UHVHDUFK WKH RIILFLDO MRXUQDORI WKH $PHULFDQ6RFLHW\IRU%RQHDQG0LQHUDO5HVHDUFK 12. /RQJ) %XLOGLQJVWURQJERQHVPROHFXODUUHJXODWLRQRIWKHRVWHREODVWOLQHDJH 1DWXUHUHYLHZV0ROHFXODUFHOOELRORJ\ 13. .RPRUL7 %URQVRQ57*DR<+,QDGD06DWR02NDPRWR5.LWDPXUD< .LVKLPRWR77DUJHWHG GLVUXSWLRQRI&EIDUHVXOWVLQDFRPSOHWH ODFN RI ERQH IRUPDWLRQRZLQJWRPDWXUDWLRQDODUUHVWRIRVWHREODVWV&HOO 14. $QVHOPH.2VWHREODVWDGKHVLRQRQELRPDWHULDOV%LRPDWHULDOV 15. 0DULH 3- 7UDQVFULSWLRQ IDFWRUV FRQWUROOLQJ RVWHREODVWRJHQHVLV $UFKLYHV RI ELRFKHPLVWU\DQGELRSK\VLFV 16. 1DNDVKLPD . =KRX ; .XQNHO * =KDQJ = 'HQJ -0 %HKULQJHU 55 GH &URPEUXJJKH%7KHQRYHO]LQFILQJHUFRQWDLQLQJWUDQVFULSWLRQIDFWRURVWHUL[LV UHTXLUHGIRURVWHREODVWGLIIHUHQWLDWLRQDQGERQHIRUPDWLRQ&HOO 17. 9HLV $ 0LQHUDOPDWUL[ LQWHUDFWLRQV LQ ERQH DQG GHQWLQ -RXUQDO RI ERQH DQG PLQHUDO UHVHDUFK WKH RIILFLDO MRXUQDO RI WKH $PHULFDQ 6RFLHW\ IRU %RQH DQG 0LQHUDO5HVHDUFK6XSSO6 18. +HVVOH/-RKQVRQ.$$QGHUVRQ+&1DULVDZD66DOL$*RGLQJ-:7HUNHOWDXE 50LOODQ-/7LVVXHQRQVSHFLILFDONDOLQHSKRVSKDWDVHDQGSODVPDFHOOPHPEUDQH JO\FRSURWHLQ DUH FHQWUDO DQWDJRQLVWLF UHJXODWRUV RI ERQH PLQHUDOL]DWLRQ 3URFHHGLQJVRIWKH1DWLRQDO$FDGHP\RI6FLHQFHVRIWKH8QLWHG6WDWHVRI$PHULFD 19. 0LOODQ-/7KHUROHRISKRVSKDWDVHVLQWKHLQLWLDWLRQRIVNHOHWDOPLQHUDOL]DWLRQ &DOFLILHGWLVVXHLQWHUQDWLRQDO 20. *ROXE((%RHV]H%DWWDJOLD.7KHUROHRIDONDOLQHSKRVSKDWDVHLQPLQHUDOL]DWLRQ &XUUHQW 2SLQLRQ LQ 2UWKRSDHGLFV %&2EH 21. $GGLVRQ:1$]DUL)6RUHQVHQ(6.DDUWLQHQ070F.HH0'3\URSKRVSKDWH LQKLELWVPLQHUDOL]DWLRQRIRVWHREODVWFXOWXUHVE\ELQGLQJWRPLQHUDOXSUHJXODWLQJ RVWHRSRQWLQ DQG LQKLELWLQJ DONDOLQH SKRVSKDWDVH DFWLYLW\ 7KH -RXUQDO RI ELRORJLFDOFKHPLVWU\ 22. )UDQ]2GHQGDDO7$+DOO%.:LWWHQ3(%XULHGDOLYHKRZRVWHREODVWVEHFRPH RVWHRF\WHV 'HYHORSPHQWDO G\QDPLFV DQ RIILFLDO SXEOLFDWLRQ RI WKH $PHULFDQ $VVRFLDWLRQRI$QDWRPLVWV 23. 3ULGHDX[0/RYHULGJH13LWVLOOLGHV$$)DUTXKDUVRQ&([WUDFHOOXODUPDWUL[ PLQHUDOL]DWLRQSURPRWHV(JSJO\FRSURWHLQH[SUHVVLRQDQGGULYHVRVWHRF\WLF GLIIHUHQWLDWLRQ3OR6RQH H 24. =KDQJ.%DUUDJDQ$GMHPLDQ& 0 +DUULV 6( )HQJ -4 %RQHZDOG /) (JS VHOHFWLYH H[SUHVVLRQ LQ RVWHRF\WHV UHJXODWLRQ E\ PHFKDQLFDO VWUDLQ DQG UROH LQ GHQGULWH HORQJDWLRQ 0ROHFXODUDQGFHOOXODUELRORJ\ 25. 5RZH36.XPDJDL<*XWLHUUH]**DUUHWW,5%ODFKHU55RVHQ'&XQG\- 1DYYDE6&KHQ''UH]QHU0.4XDUOHV/'0XQG\*50(3(KDVWKH SURSHUWLHVRIDQRVWHREODVWLFSKRVSKDWRQLQDQGPLQKLELQ%RQH 26. $GGLVRQ :1 1DNDQR < /RLVHO 7&ULQH30F.HH0'0(3($6$50 SHSWLGHVFRQWUROH[WUDFHOOXODUPDWUL[PLQHUDOL]DWLRQE\ELQGLQJWRK\GUR[\DSDWLWH DQ LQKLELWLRQ UHJXODWHG E\ 3+(; FOHDYDJH RI $6$50 -RXUQDO RI ERQH DQG PLQHUDO UHVHDUFK WKH RIILFLDO MRXUQDO RI WKH $PHULFDQ 6RFLHW\ IRU %RQH DQG 0LQHUDO5HVHDUFK 27. $WNLQV *- 5RZH 36 /LP +3 :HOOGRQ .- 2UPVE\ 5 :LMHQD\DND $5 =HOHQFKXN/(YGRNLRX$)LQGOD\'06FOHURVWLQLVDORFDOO\DFWLQJUHJXODWRURI ODWHRVWHREODVWSUHRVWHRF\WHGLIIHUHQWLDWLRQDQGUHJXODWHVPLQHUDOL]DWLRQWKURXJK D0(3($6$50GHSHQGHQWPHFKDQLVP-RXUQDORIERQHDQGPLQHUDOUHVHDUFK WKH RIILFLDO MRXUQDO RI WKH $PHULFDQ 6RFLHW\ IRU %RQH DQG 0LQHUDO 5HVHDUFK 28. $GGLVRQ :1 0DVLFD '/ *UD\ -- 0F.HH 0' 3KRVSKRU\ODWLRQGHSHQGHQW LQKLELWLRQ RI PLQHUDOL]DWLRQ E\ RVWHRSRQWLQ $6$50 SHSWLGHV LV UHJXODWHG E\ 3+(;FOHDYDJH-RXUQDORIERQHDQGPLQHUDOUHVHDUFKWKHRIILFLDOMRXUQDORIWKH $PHULFDQ6RFLHW\IRU%RQHDQG0LQHUDO5HVHDUFK 29. 5RZH365HJXODWLRQRIERQHUHQDOPLQHUDODQGHQHUJ\PHWDEROLVPWKH3+(; )*) '03 0(3( $6$50 SDWKZD\ &ULWLFDO UHYLHZV LQ HXNDU\RWLF JHQH H[SUHVVLRQ 30. :HOOGRQ.-)LQGOD\'0(YGRNLRX$2UPVE\57$WNLQV*-&DOFLXPLQGXFHV SURDQDEROLFHIIHFWVRQKXPDQSULPDU\RVWHREODVWVDVVRFLDWHGZLWKDFTXLVLWLRQRI PDWXUHRVWHRF\WHPDUNHUV0ROHFXODU DQG FHOOXODU HQGRFULQRORJ\ 31. $WNLQV*-)LQGOD\'02VWHRF\WHUHJXODWLRQRIERQHPLQHUDODOLWWOHJLYHDQG WDNH2VWHRSRURV,QW 32. %RQHZDOG/)7KHDPD]LQJRVWHRF\WH-RXUQDORIERQHDQGPLQHUDOUHVHDUFKWKH RIILFLDO MRXUQDO RI WKH $PHULFDQ 6RFLHW\ IRU %RQH DQG 0LQHUDO 5HVHDUFK 33. 4LQ&' 6RX]D5)HQJ-4'HQWLQPDWUL[SURWHLQ '03 QHZDQGLPSRUWDQW UROHVIRUELRPLQHUDOL]DWLRQDQGSKRVSKDWHKRPHRVWDVLV-RXUQDORIGHQWDOUHVHDUFK 34. )HQJ-4+XDQJ+/X< 6FRWW * %RQHZDOG /% 0LVKLQD < 7KH 'HQWLQ PDWUL[ SURWHLQ 'PS LV VSHFLILFDOO\H[SUHVVHGLQPLQHUDOL]HGEXWQRWVRIWWLVVXHVGXULQJGHYHORSPHQW -RXUQDORIGHQWDOUHVHDUFK 35. )HQJ-4:DUG/0/LX6/X<;LH< 65LRV+'UH]QHU0.4XDUOHV/'%RQHZDOG/):KLWH.(/RVVRI'03 FDXVHV ULFNHWV DQG RVWHRPDODFLD DQG LGHQWLILHV D UROH IRU RVWHRF\WHVLQPLQHUDO PHWDEROLVP1DWXUHJHQHWLFV 36. 7DUWDL[3+'RXODYHUDNLV0*HRUJH$)LVKHU/:%XWOHU:74LQ&6DOLK( 7DQ 0 )XMLPRWR < 6SHYDN / %RVNH\ $/ ,Q YLWUR HIIHFWV RI GHQWLQ PDWUL[ SURWHLQRQK\GUR[\DSDWLWHIRUPDWLRQSURYLGHLQVLJKWVLQWRLQYLYRIXQFWLRQV7KH -RXUQDORIELRORJLFDOFKHPLVWU\ 37. :X+7HQJ31-D\DUDPDQ72QLVKL6/L-%DQQRQ/+XDQJ+&ORVH-6IHLU &'HQWLQPDWUL[SURWHLQ '03 VLJQDOVYLDFHOOVXUIDFHLQWHJULQ7KH-RXUQDO RIELRORJLFDOFKHPLVWU\ 38. /RLVHOOH$(-LDQJ-;'RQDKXH+-*DSMXQFWLRQDQGKHPLFKDQQHOIXQFWLRQVLQ RVWHRF\WHV%RQH 39. *RRGHQRXJK '$ 3DXO '/ %H\RQG WKH JDS IXQFWLRQV RI XQSDLUHG FRQQH[RQ FKDQQHOV1DWXUHUHYLHZV0ROHFXODUFHOOELRORJ\ 40. 0DUWLQH] $' +D\UDSHW\DQ 9 0RUHQR $3 %H\HU (& &RQQH[LQ DQG FRQQH[LQ IRUP KHWHURPHULF JDS MXQFWLRQ FKDQQHOV LQ ZKLFK LQGLYLGXDO FRPSRQHQWV GHWHUPLQH SHUPHDELOLW\ DQG UHJXODWLRQ &LUFXODWLRQ UHVHDUFK 41. -LDQJ-;&KHQJ%0HFKDQLFDOVWLPXODWLRQRIJDSMXQFWLRQVLQERQHRVWHRF\WHVLV PHGLDWHGE\SURVWDJODQGLQ(&HOOFRPPXQLFDWLRQ DGKHVLRQ 42. 7LDQ;<=KDQJ4=KDR56HWWHUEHUJ5%=HQJ44,WXUULD6-0D<)-HH:6 &RQWLQXRXV3*(OHDGVWRQHWERQHORVVZKLOHLQWHUPLWWHQW3*(OHDGVWRQHWERQH JDLQLQOXPEDUYHUWHEUDOERGLHVRIDGXOWIHPDOHUDWV%RQH 43. &KHULDQ336LOOHU-DFNVRQ$-*X6:DQJ;%RQHZDOG/)6SUDJXH(-LDQJ -; 0HFKDQLFDO VWUDLQ RSHQV FRQQH[LQ KHPLFKDQQHOVLQRVWHRF\WHV D QRYHO PHFKDQLVP IRU WKH UHOHDVH RI SURVWDJODQGLQ 0ROHFXODU ELRORJ\ RI WKH FHOO 44. )DVFLDQL , 7HPSHUDQ $ 3HUH]$WHQFLR /) (VFXGHUR $ 0DUWLQH]0RQWHUR 3 0RODQR - *RPH]+HUQDQGH] -0 3DLQR &/ *RQ]DOH]1LHWR ' %DUULR /& 5HJXODWLRQ RI FRQQH[LQ KHPLFKDQQHO DFWLYLW\ E\ PHPEUDQH SRWHQWLDO DQG WKH H[WUDFHOOXODUFDOFLXPLQKHDOWKDQGGLVHDVH1HXURSKDUPDFRORJ\ 45. YDQ %H]RRLMHQ 5/ 5RHOHQ %$ 9LVVHU $ YDQ GHU :HH3DOV / GH :LOW ( .DUSHULHQ0+DPHUVPD+3DSDSRXORV6(WHQ'LMNH3/RZLN&:6FOHURVWLQ LVDQRVWHRF\WHH[SUHVVHGQHJDWLYHUHJXODWRURIERQHIRUPDWLRQEXWQRWDFODVVLFDO %03DQWDJRQLVW7KH-RXUQDORIH[SHULPHQWDOPHGLFLQH 46. *DOOL&3DVVHUL*0DFDOXVR*02VWHRF\WHVDQG:17WKHPHFKDQLFDOFRQWURO RIERQHIRUPDWLRQ-RXUQDORIGHQWDOUHVHDUFK 47. :LMHQD\DND$5.RJDZD0/LP+3%RQHZDOG/))LQGOD\'0$WNLQV*- 6FOHURVWLQ VWLPXODWHV RVWHRF\WH VXSSRUW RI RVWHRFODVW DFWLYLW\ E\D5$1./ GHSHQGHQWSDWKZD\3OR6RQH H 48. .RJDZD0:LMHQD\DND$52UPVE\577KRPDV*3$QGHUVRQ3+%RQHZDOG /) )LQGOD\ '0 $WNLQV *- 6FOHURVWLQ UHJXODWHV UHOHDVH RI ERQH PLQHUDO E\ RVWHRF\WHVE\LQGXFWLRQRIFDUERQLFDQK\GUDVH-RXUQDORIERQHDQGPLQHUDO UHVHDUFK WKH RIILFLDO MRXUQDO RI WKH $PHULFDQ 6RFLHW\ IRU %RQH DQG 0LQHUDO 5HVHDUFK 49. .DVSHUN&:HUJHGDO-6WURQJ')DUOH\-:DQJHULQ.*URSS+=LHJOHU5 %D\OLQN'-+XPDQERQHFHOOSKHQRW\SHVGLIIHUGHSHQGLQJRQWKHLUVNHOHWDOVLWH RI RULJLQ 7KH -RXUQDO RI FOLQLFDO HQGRFULQRORJ\ DQG PHWDEROLVP 50. 9DUDQDVL662OVWDG2.6ZDQ'&6DQGHUVRQ3*DXWYLN975HSSH6)UDQFLV 50*DXWYLN.0'DWWD+.6NHOHWDOVLWHUHODWHGYDULDWLRQLQKXPDQWUDEHFXODU ERQHWUDQVFULSWRPHDQGVLJQDOLQJ3OR6RQH H 51. 5DZOLQVRQ6&0F.D\,-*KXPDQ0:HOOPDQQ&5\DQ33UDMDQHK6=DPDQ * +XJKHV )- .LQJVPLOO 9- $GXOW UDW ERQHV PDLQWDLQ GLVWLQFW UHJLRQDOL]HG H[SUHVVLRQ RI PDUNHUV DVVRFLDWHG ZLWK WKHLU GHYHORSPHQW 3OR6 RQH H 52. $QGHUVRQ3+7XUQHU$*0RUULV+$9LWDPLQ'DFWLRQVWRUHJXODWHFDOFLXPDQG VNHOHWDOKRPHRVWDVLV&OLQLFDOELRFKHPLVWU\ 53. %DNHU050F'RQQHOO+3HDFRFN01RUGLQ%(3ODVPDK\GUR[\YLWDPLQ' FRQFHQWUDWLRQV LQ SDWLHQWV ZLWK IUDFWXUHV RI WKH IHPRUDO QHFN %ULWLVK PHGLFDO MRXUQDO 54. +HFNPDQ*$3DSDLRDQQRX$6HEDOGW5-,RDQQLGLV*3HWULH$*ROGVPLWK& $GDFKL-'(IIHFWRIYLWDPLQ'RQERQHPLQHUDOGHQVLW\RIHOGHUO\SDWLHQWVZLWK RVWHRSRURVLV UHVSRQGLQJ SRRUO\ WR ELVSKRVSKRQDWHV %0& PXVFXORVNHOHWDO GLVRUGHUV 55. %LVFKRII)HUUDUL+$:LOOHWW:&:RQJ-%6WXFN$(6WDHKHOLQ+%2UDY(- 7KRPD$.LHO'3+HQVFKNRZVNL-3UHYHQWLRQRIQRQYHUWHEUDOIUDFWXUHVZLWK RUDOYLWDPLQ'DQGGRVHGHSHQGHQF\DPHWDDQDO\VLVRIUDQGRPL]HGFRQWUROOHG WULDOV$UFKLYHVRILQWHUQDOPHGLFLQH 56. %LVFKRII)HUUDUL +$ :LOOHWW :& 2UDY (- /LSV 3 0HXQLHU 3- /\RQV 5$ )OLFNHU/:DUN--DFNVRQ5'&DXOH\-$0H\HU+(3IHLIHU06DQGHUV.0 6WDKHOLQ+%7KHLOHU5'DZVRQ+XJKHV%$SRROHGDQDO\VLVRIYLWDPLQ'GRVH UHTXLUHPHQWV IRU IUDFWXUH SUHYHQWLRQ 7KH 1HZ (QJODQG MRXUQDO RI PHGLFLQH 57. 0RUULV +$ 7XUQHU $* $QGHUVRQ 3+ 9LWDPLQ' UHJXODWLRQ RI ERQH PLQHUDOL]DWLRQ DQG UHPRGHOOLQJ GXULQJ JURZWK )URQWLHUV LQ ELRVFLHQFH 58. +ROLFN 0) 7LDQ ;4 $OOHQ 0 (YROXWLRQDU\ LPSRUWDQFH IRU WKH PHPEUDQH HQKDQFHPHQW RI WKH SURGXFWLRQ RI YLWDPLQ ' LQ WKH VNLQ RI SRLNLORWKHUPLF DQLPDOV3URFHHGLQJVRIWKH1DWLRQDO$FDGHP\RI6FLHQFHVRIWKH8QLWHG6WDWHVRI $PHULFD 59. /LSV39LWDPLQ'SK\VLRORJ\3URJUHVVLQELRSK\VLFVDQG PROHFXODUELRORJ\ 60. -RQHV * 6WUXJQHOO 6$ 'H/XFD +) &XUUHQW XQGHUVWDQGLQJ RI WKH PROHFXODU DFWLRQVRIYLWDPLQ'3K\VLRO5HY 61. %HFNPDQ0-7DGLNRQGD3:HUQHU(3UDKO- K\GUR[\YLWDPLQ'K\GUR[\ODVHDPXOWLFDWDO\WLFHQ]\PH%LRFKHPLVWU\ 62. /LDQ -% 6WHLQ *6 7UDQVFULSWLRQDO FRQWURO RI YLWDPLQ 'UHJXODWHG SURWHLQV -RXUQDORIFHOOXODUELRFKHPLVWU\ 63. 3LNH-:0H\HU0%7KHYLWDPLQ'UHFHSWRUQHZSDUDGLJPVIRUWKHUHJXODWLRQ RIJHQHH[SUHVVLRQE\GLK\GUR[\YLWDPLQ'5KHXPDWLFGLVHDVHVFOLQLFVRI 1RUWK$PHULFD 64. =DQHOOR/31RUPDQ$DOSKD 2+ YLWDPLQ'DFWLRQVRQLRQFKDQQHOVLQ RVWHREODVWV6WHURLGV 65. :X:=KDQJ;=DQHOOR/3DOSKD'LK\GUR[\YLWDPLQ' DQWLSUROLIHUDWLYH DFWLRQVLQYROYHYLWDPLQ'UHFHSWRUPHGLDWHGDFWLYDWLRQRI0$3.SDWKZD\VDQG $3S ZDI XSUHJXODWLRQ LQ KXPDQ RVWHRVDUFRPD &DQFHU OHWWHUV 66. $QGHUVRQ3+0D\%.0RUULV+$9LWDPLQ'PHWDEROLVPQHZFRQFHSWVDQG FOLQLFDOLPSOLFDWLRQV7KH&OLQLFDOELRFKHPLVW 67. %URQQHU ) 0HFKDQLVPV RI LQWHVWLQDO FDOFLXP DEVRUSWLRQ -RXUQDO RI FHOOXODU ELRFKHPLVWU\ 68. %RXLOORQ 5 9DQ &URPSKDXW 6 &DUPHOLHW * ,QWHVWLQDO FDOFLXP DEVRUSWLRQ 0ROHFXODU YLWDPLQ ' PHGLDWHG PHFKDQLVPV -RXUQDO RI FHOOXODU ELRFKHPLVWU\ 69. *DJQRQ$06LPEROL&DPSEHOO0:HOVK-(,QGXFWLRQRIFDOELQGLQ'.LQ 0DGLQ'DUE\ ERYLQH NLGQH\ FHOOV E\ 2+ ' .LGQH\ LQWHUQDWLRQDO 70. 0XUD\DPD$.LP06 DOLJDQGHGQXFOHDUUHFHSWRUYLDDE+/+DFWLYDWRUWKURXJKFRUHJXODWRUVZLWFKLQJ 7KH(0%2MRXUQDO 71. &KHQ.6'H/XFD+)&ORQLQJRIWKHKXPDQDOSKDGLK\GUR[\YLWDPLQ' K\GUR[\ODVH JHQH SURPRWHU DQG LGHQWLILFDWLRQ RI WZR YLWDPLQ 'UHVSRQVLYH HOHPHQWV%LRFKLPLFDHWELRSK\VLFDDFWD 72. .LP 6 6KHYGH 1. 3LNH -: 'LK\GUR[\YLWDPLQ ' VWLPXODWHV F\FOLF YLWDPLQ'UHFHSWRUUHWLQRLG;UHFHSWRU'1$ELQGLQJFRDFWLYDWRUUHFUXLWPHQW DQG KLVWRQH DFHW\ODWLRQ LQ LQWDFW RVWHREODVWV -RXUQDO RI ERQH DQG PLQHUDO UHVHDUFK WKH RIILFLDO MRXUQDO RI WKH $PHULFDQ 6RFLHW\ IRU %RQH DQG 0LQHUDO 5HVHDUFK 73. 2K\DPD<2]RQR.8FKLGD06KLQNL7.DWR66XGD7 0.DWR<,GHQWLILFDWLRQRIDYLWDPLQ'UHVSRQVLYHHOHPHQWLQWKH IODQNLQJ UHJLRQ RI WKH UDW K\GUR[\YLWDPLQ ' K\GUR[\ODVH JHQH 7KH -RXUQDO RI ELRORJLFDOFKHPLVWU\ 74. $NHQR16DLNDWVX6.DZDQH7+RULXFKL10RXVHYLWDPLQ'K\GUR[\ODVH PROHFXODUFORQLQJWLVVXHGLVWULEXWLRQDQGWUDQVFULSWLRQDOUHJXODWLRQE\DOSKD GLK\GUR[\YLWDPLQ'(QGRFULQRORJ\ 75. 0XUD\DPD $ 7DNH\DPD . .LWDQDND 6 .RGHUD < +RVR\D 7 .DWR 6 7KH SURPRWHURIWKHKXPDQK\GUR[\YLWDPLQ'DOSKDK\GUR[\ODVHJHQHFRQIHUV SRVLWLYHDQGQHJDWLYHUHVSRQVLYHQHVVWR37+FDOFLWRQLQDQGDOSKD 2+ ' %LRFKHP%LRSK\V5HV&RPPXQ 76. $UPEUHFKW +- +RGDP 7/ %ROW] 0$ +RUPRQDO UHJXODWLRQ RI K\GUR[\YLWDPLQ'DOSKDK\GUR[\ODVHDQGK\GUR[\ODVHJHQHWUDQVFULSWLRQLQ RSRVVXPNLGQH\FHOOV$UFKLYHVRIELRFKHPLVWU\DQGELRSK\VLFV 77. 'HOPH] -$ 7LQGLUD & *URRPV 3 'XVVR $ :LQGXV ': 6ODWRSROVN\ ( 3DUDWK\URLG KRUPRQH VXSSUHVVLRQ E\ LQWUDYHQRXV GLK\GUR[\YLWDPLQ ' $ UROHIRULQFUHDVHGVHQVLWLYLW\WRFDOFLXP-&OLQ,QYHVW 78. 7DQJ;0HQJ+2VWHRJHQLFLQGXFWLRQDQGGLK\GUR[\YLWDPLQ'RSSRVLWHO\ UHJXODWHWKHSUROLIHUDWLRQDQGH[SUHVVLRQRI5$1./DQGWKHYLWDPLQ'UHFHSWRU RIKXPDQSHULRGRQWDOOLJDPHQWFHOOV$UFKLYHVRIRUDOELRORJ\ 79. $WNLQV*-.RVWDNLV33DQ%)DUUXJLD$*URQWKRV6(YGRNLRX$+DUULVRQ. )LQGOD\'0=DQQHWWLQR$&5$1./H[SUHVVLRQLVUHODWHGWRWKHGLIIHUHQWLDWLRQ VWDWHRIKXPDQRVWHREODVWV-RXUQDORIERQHDQGPLQHUDOUHVHDUFKWKHRIILFLDO MRXUQDO RI WKH $PHULFDQ 6RFLHW\ IRU %RQH DQG 0LQHUDO 5HVHDUFK 80. 6LPPRQV3-7RURN6WRUE%,GHQWLILFDWLRQRIVWURPDOFHOOSUHFXUVRUVLQKXPDQ ERQHPDUURZE\DQRYHOPRQRFORQDODQWLERG\6752%ORRG 81. *URQWKRV6=DQQHWWLQR$&*UDYHV6(2KWD6+D\6-6LPPRQV3-'LIIHUHQWLDO FHOO VXUIDFH H[SUHVVLRQ RI WKH 6752 DQG DONDOLQH SKRVSKDWDVH DQWLJHQV RQ GLVFUHWHGHYHORSPHQWDOVWDJHVLQSULPDU\FXOWXUHVRIKXPDQERQHFHOOV-RXUQDORI ERQHDQGPLQHUDOUHVHDUFKWKHRIILFLDOMRXUQDORIWKH$PHULFDQ6RFLHW\IRU%RQH DQG0LQHUDO5HVHDUFK 82. %R\OH :- 6LPRQHW :6 /DFH\ '/ 2VWHRFODVW GLIIHUHQWLDWLRQ DQG DFWLYDWLRQ 1DWXUH 83. $QGHUVRQ 3+ 6DZ\HU 5. 0RRUH $- 0D\ %. 2 /RXJKOLQ 3' 0RUULV +$ 9LWDPLQ'GHSOHWLRQLQGXFHV5$1./PHGLDWHGRVWHRFODVWRJHQHVLVDQGERQHORVV LQDURGHQWPRGHO-RXUQDORIERQHDQGPLQHUDOUHVHDUFKWKHRIILFLDOMRXUQDORI WKH$PHULFDQ6RFLHW\IRU%RQHDQG0LQHUDO5HVHDUFK 84. 5RZOLQJ 0- *OLQLDN & :HOVK - )OHHW -& +LJK GLHWDU\ YLWDPLQ'SUHYHQWV K\SRFDOFHPLD DQG RVWHRPDODFLD LQ &<3% NQRFNRXW PLFH 7KH -RXUQDO RI QXWULWLRQ 85. $WNLQV*-$QGHUVRQ3+)LQGOD\'0:HOOGRQ.-9LQFHQW&=DQQHWWLQR$& 2 /RXJKOLQ 3' 0RUULV +$ 0HWDEROLVP RI YLWDPLQ ' LQ KXPDQ RVWHREODVWV HYLGHQFHIRUDXWRFULQHDQGSDUDFULQHDFWLYLWLHVRIDOSKDGLK\GUR[\YLWDPLQ' %RQH 86. .RJDZD0)LQGOD\'0$QGHUVRQ3+$WNLQV*-0RGXODWLRQRIRVWHRFODVWLF PLJUDWLRQ E\ PHWDEROLVP RI 2+YLWDPLQ ' 7KH -RXUQDO RI VWHURLG ELRFKHPLVWU\DQGPROHFXODUELRORJ\ 87. .RJDZD0)LQGOD\'0$QGHUVRQ3+2UPVE\59LQFHQW&0RUULV+$$WNLQV *-2VWHRFODVWLFPHWDEROLVPRI 2+ YLWDPLQ'DSRWHQWLDOPHFKDQLVPIRU RSWLPL]DWLRQRIERQHUHVRUSWLRQ(QGRFULQRORJ\ 88. .RJDZD0$QGHUVRQ3+)LQGOD\'00RUULV+$$WNLQV*-7KHPHWDEROLVP RI 2+ YLWDPLQ ' E\ RVWHRFODVWV DQG WKHLU SUHFXUVRUV UHJXODWHV WKH GLIIHUHQWLDWLRQRIRVWHRFODVWV7KH-RXUQDORIVWHURLGELRFKHPLVWU\DQGPROHFXODU ELRORJ\ 89. 2UPVE\ 57 )LQGOD\ '0 .RJDZD 0 $QGHUVRQ 3+ 0RUULV +$ $WNLQV *- $QDO\VLVRIYLWDPLQ'PHWDEROLVPJHQHH[SUHVVLRQLQKXPDQERQHHYLGHQFHIRU DXWRFULQHFRQWURORIERQHUHPRGHOOLQJ7KH-RXUQDORIVWHURLGELRFKHPLVWU\DQG PROHFXODUELRORJ\3W$ 90. 7XUQHU $* +DQUDWK 0$ 0RUULV +$ $WNLQV *- $QGHUVRQ 3+ 7KH ORFDO SURGXFWLRQRI 2+ 'SURPRWHVRVWHREODVWDQGRVWHRF\WHPDWXUDWLRQ7KH -RXUQDORIVWHURLGELRFKHPLVWU\DQGPROHFXODUELRORJ\3W$ 91. *HQJ6=KRX6%L=*ORZDFNL-9LWDPLQ'PHWDEROLVPLQKXPDQERQHPDUURZ VWURPDO PHVHQFK\PDO VWHP FHOOV 0HWDEROLVP FOLQLFDO DQG H[SHULPHQWDO 92. *HQJ6=KRX6*ORZDFNL-(IIHFWVRIK\GUR[\YLWDPLQ' RQSUROLIHUDWLRQ DQG RVWHREODVW GLIIHUHQWLDWLRQ RI KXPDQ PDUURZ VWURPDO FHOOV UHTXLUH &<3%DOSKDK\GUR[\ODVH -RXUQDO RI ERQH DQG PLQHUDO UHVHDUFK WKH RIILFLDO MRXUQDO RI WKH $PHULFDQ 6RFLHW\ IRU %RQH DQG 0LQHUDO 5HVHDUFK 93. $QGHUVRQ3+,LGD67\VRQ-+7XUQHU$*0RUULV+$%RQH&<3%JHQH H[SUHVVLRQLVLQFUHDVHGZLWKKLJKGLHWDU\FDOFLXPDQGLQPLQHUDOLVLQJRVWHREODVWV 7KH-RXUQDORIVWHURLGELRFKHPLVWU\DQGPROHFXODUELRORJ\ 94. YDQ'ULHO0.RHGDP0%XXUPDQ&-+HZLVRQ0&KLED+8LWWHUOLQGHQ$* 3ROV+$YDQ/HHXZHQ-3(YLGHQFHIRUDXWRSDUDFULQHDFWLRQVRIYLWDPLQ'LQ ERQHDOSKDK\GUR[\ODVHH[SUHVVLRQDQGDFWLYLW\LQKXPDQERQHFHOOV)$6(% MRXUQDO RIILFLDO SXEOLFDWLRQ RI WKH )HGHUDWLRQ RI $PHULFDQ 6RFLHWLHV IRU ([SHULPHQWDO%LRORJ\ 95. 6RPMHQ'.DW]EXUJ66WHUQ1.RKHQ)6KDURQ2/LPRU5-DFFDUG1+HQGHO ' :HLVPDQ < K\GUR[\YLWDPLQ ' DOSKD K\GUR[\ODVH H[SUHVVLRQ DQG DFWLYLW\ LQ FXOWXUHG KXPDQ RVWHREODVWV DQG WKHLU PRGXODWLRQ E\ SDUDWK\URLG KRUPRQHHVWURJHQLFFRPSRXQGVDQGGLK\GURWHVWRVWHURQH7KH-RXUQDORIVWHURLG ELRFKHPLVWU\DQGPROHFXODUELRORJ\ 96. 7DQJ :- :DQJ /) ;X ;< =KRX < -LQ :) :DQJ +) *DR - $XWRFULQHSDUDFULQH DFWLRQ RI YLWDPLQ ' RQ )*) H[SUHVVLRQ LQ FXOWXUHG UDW RVWHREODVWV&DOFLILHGWLVVXHLQWHUQDWLRQDO 97. ,FKLNDZD)6DWR.1DQMR01LVKLL<6KLQNL77DNDKDVKL16XGD70RXVH SULPDU\ RVWHREODVWV H[SUHVV YLWDPLQ ' K\GUR[\ODVH P51$ DQG FRQYHUW DOSKDK\GUR[\YLWDPLQ ' LQWR DOSKDGLK\GUR[\YLWDPLQ ' %RQH 98. $QGHUVRQ 3+ $WNLQV *- 7KH VNHOHWRQ DV DQ LQWUDFULQH RUJDQ IRU YLWDPLQ ' PHWDEROLVP0ROHFXODUDVSHFWVRIPHGLFLQH 99. =KRX6/HERII06:DLNDU66*ORZDFNL-9LWDPLQ'PHWDEROLVPDQGDFWLRQLQ KXPDQPDUURZVWURPDOFHOOVHIIHFWVRIFKURQLFNLGQH\GLVHDVH7KH-RXUQDORI VWHURLGELRFKHPLVWU\DQGPROHFXODUELRORJ\ 100. *HQJ 6 =KRX 6 *ORZDFNL - $JHUHODWHG GHFOLQH LQ RVWHREODVWRJHQHVLV DQG DOSKDK\GUR[\ODVH&<3%LQKXPDQPHVHQFK\PDOVWHPFHOOVVWLPXODWLRQE\ SDUDWK\URLGKRUPRQH$JLQJFHOO 101. %RXLOORQ 5 &DUPHOLHW * 9HUOLQGHQ / YDQ (WWHQ ( 9HUVWX\I $ /XGHUHU +) /LHEHQ / 0DWKLHX & 'HPD\ 0 9LWDPLQ ' DQG KXPDQ KHDOWK OHVVRQV IURP YLWDPLQ'UHFHSWRUQXOOPLFH(QGRFU5HY 102. /L<&$POLQJ03LUUR$(3ULHPHO00HXVH-%DURQ5'HOOLQJ*'HPD\ 0% 1RUPDOL]DWLRQ RI PLQHUDO LRQ KRPHRVWDVLV E\ GLHWDU\ PHDQV SUHYHQWV K\SHUSDUDWK\URLGLVP ULFNHWV DQG RVWHRPDODFLD EXW QRW DORSHFLD LQ YLWDPLQ ' UHFHSWRUDEODWHGPLFH(QGRFULQRORJ\ 103. 3DQGD'.0LDR'%ROLYDU,/L-+XR5+HQG\*1*ROW]PDQ',QDFWLYDWLRQ RI WKH K\GUR[\YLWDPLQ ' DOSKDK\GUR[\ODVH DQG YLWDPLQ ' UHFHSWRU GHPRQVWUDWHVLQGHSHQGHQWDQGLQWHUGHSHQGHQWHIIHFWVRIFDOFLXPDQGYLWDPLQ' RQ VNHOHWDO DQG PLQHUDO KRPHRVWDVLV 7KH -RXUQDO RI ELRORJLFDO FKHPLVWU\ 104. *DUGLQHU (0 %DOGRFN 3$ 7KRPDV *3 6LPV 1$ +HQGHUVRQ 1. +ROOLV % :KLWH&36XQQ./0RUULVRQ1$:DOVK:5(LVPDQ-$,QFUHDVHGIRUPDWLRQ DQG GHFUHDVHG UHVRUSWLRQ RI ERQH LQ PLFH ZLWK HOHYDWHG YLWDPLQ ' UHFHSWRU LQ PDWXUHFHOOVRIWKHRVWHREODVWLFOLQHDJH)$6(%MRXUQDORIILFLDOSXEOLFDWLRQRI WKH )HGHUDWLRQ RI $PHULFDQ 6RFLHWLHV IRU ([SHULPHQWDO %LRORJ\ 105. 7XUQHU$*2 ORXJKOLQ3'0.RJDZD$WNLQV*-$QGHUVRQ3+0RUULV+$ ,1&5($6(' %21( 92/80( , 1 7+( %21(63(&,),& &<3% 75$16*(1,&0286(3DSHUSUHVHQWHGDW,2)5HJLRQDOV$1=%06$QQXDO 6FLHQWLILF0HHWLQJKHOGZLWKWKH-6%05QG$VLD3DFLILF2VWHRSRURVLVDQG%RQH 0HHWLQJ2VWHRSRURVLV,QWHUQDWLRQDO*ROG&RDVW$XVWUDOLD 106. 6W$UQDXG 5 7KH GLUHFW UROH RI YLWDPLQ ' RQ ERQH KRPHRVWDVLV $UFKLYHV RI ELRFKHPLVWU\DQGELRSK\VLFV 107. 2ZHQ 7$ $URQRZ 06 %DURQH /0 %HWWHQFRXUW % 6WHLQ *6 /LDQ -% 3OHLRWURSLFHIIHFWVRIYLWDPLQ'RQRVWHREODVWJHQHH[SUHVVLRQDUHUHODWHGWRWKH SUROLIHUDWLYHDQGGLIIHUHQWLDWHGVWDWHRIWKHERQHFHOOSKHQRW\SHGHSHQGHQF\XSRQ EDVDO OHYHOV RI JHQH H[SUHVVLRQ GXUDWLRQ RI H[SRVXUH DQG ERQHPDWUL[ FRPSHWHQF\LQQRUPDOUDWRVWHREODVWFXOWXUHV(QGRFULQRORJ\ 108. =LQVHU*00F(OHQH\.:HOVK-&KDUDFWHUL]DWLRQRIPDPPDU\WXPRUFHOOOLQHV IURPZLOGW\SHDQGYLWDPLQ'UHFHSWRUNQRFNRXWPLFH0ROHFXODUDQGFHOOXODU HQGRFULQRORJ\ 109. &RVWD-/(LMN33YDQGH:LHO0$WHQ%HUJH'6FKPLWW)1DUYDH]&-:HOVK - VL51$9'5NQRFNGRZQ%0&*HQRPLFV 110. :DQJ777DYHUD0HQGR]D/(/DSHUULHUH'/LEE\(0DF/HRG1%1DJDL< %RXUGHDX9.RQVWRUXP$/DOOHPDQW%=KDQJ50DGHU6:KLWH-+/DUJH VFDOH LQ VLOLFR DQG PLFURDUUD\EDVHG LGHQWLILFDWLRQ RI GLUHFW GLK\GUR[\YLWDPLQ'WDUJHWJHQHV0RO(QGRFULQRO 111. 3LHN(6OHXPHU/6YDQ6RPHUHQ(3+HXYHU/GH+DDQ-5GH*ULMV,*LOLVVHQ &+HQGULNV-0YDQ5DYHVWHLQYDQ2V5,%DXHUVFKPLGW6'HFKHULQJ.-YDQ =RHOHQ(-2VWHRWUDQVFULSWRPLFVRIKXPDQPHVHQFK\PDOVWHPFHOOVDFFHOHUDWHG JHQHH[SUHVVLRQDQGRVWHREODVWGLIIHUHQWLDWLRQLQGXFHGE\YLWDPLQ'UHYHDOVF 0<&DVDQHQKDQFHURI%03LQGXFHGRVWHRJHQHVLV%RQH 112. :RHFNHO9-$OYHV5'6ZDJHPDNHUV60(LMNHQ0&KLED+YDQGHU(HUGHQ %&YDQ/HHXZHQ-3$OSKD 2+ 'DFWVLQWKHHDUO\SKDVHRIRVWHREODVW GLIIHUHQWLDWLRQ WR HQKDQFH PLQHUDOL]DWLRQ YLD DFFHOHUDWHG SURGXFWLRQ RI PDWXUH PDWUL[YHVLFOHV-&HOO3K\VLRO 113. %URHVV05LYD$*HUVWHQIHOG/&,QKLELWRU\HIIHFWVRI 2+ YLWDPLQ' RQ FROODJHQ W\SH , RVWHRSRQWLQ DQG RVWHRFDOFLQ JHQH H[SUHVVLRQ LQ FKLFNHQ RVWHREODVWV-RXUQDORIFHOOXODUELRFKHPLVWU\ 114. 6KL<&:RUWRQ/(VWHEDQ/%DOGRFN3)RQJ&(LVPDQ-$*DUGLQHU(0 (IIHFWV RI FRQWLQXRXV DFWLYDWLRQ RI YLWDPLQ ' DQG :QW UHVSRQVH SDWKZD\V RQ RVWHREODVWLFSUROLIHUDWLRQDQGGLIIHUHQWLDWLRQ%RQH 115. 0DUWLQH] 0( 0HGLQD 6 6DQFKH] 0 'HO &DPSR 07 (VEULW 3 5RGULJR $ 0DUWLQH]36DQFKH]&DEH]XGR0-0RUHQR,*DUFHV090XQXHUD/,QIOXHQFH RI VNHOHWDO VLWH RI RULJLQ DQG GRQRU DJH RQ 2+ 'LQGXFHGUHVSRQVHRI YDULRXVRVWHREODVWLFPDUNHUVLQKXPDQRVWHREODVWLFFHOOV%RQH 116. 0DUWLQH]30RUHQR,'H0LJXHO)9LOD9(VEULW30DUWLQH]0(&KDQJHVLQ RVWHRFDOFLQ UHVSRQVH WR GLK\GUR[\YLWDPLQ ' VWLPXODWLRQ DQG EDVDO YLWDPLQ'UHFHSWRUH[SUHVVLRQLQKXPDQRVWHREODVWLFFHOOVDFFRUGLQJWRGRQRUDJH DQGVNHOHWDORULJLQ%RQH 117. 'YRUDN006LGGLTXD$:DUG'7&DUWHU'+'DOODV6/1HPHWK()5LFFDUGL '3K\VLRORJLFDOFKDQJHVLQH[WUDFHOOXODUFDOFLXPFRQFHQWUDWLRQGLUHFWO\FRQWURO RVWHREODVWIXQFWLRQLQWKHDEVHQFHRIFDOFLRWURSLFKRUPRQHV3URFHHGLQJVRIWKH 1DWLRQDO $FDGHP\ RI 6FLHQFHV RI WKH 8QLWHG 6WDWHV RI $PHULFD 118. /LX<./X4=3HL5-L+-=KRX*6=KDR;/7DQJ5.=KDQJ07KHHIIHFW RIH[WUDFHOOXODUFDOFLXPDQGLQRUJDQLFSKRVSKDWHRQWKHJURZWKDQGRVWHRJHQLF GLIIHUHQWLDWLRQRIPHVHQFK\PDOVWHPFHOOVLQYLWURLPSOLFDWLRQ IRU ERQH WLVVXH HQJLQHHULQJ%LRPHG0DWHU 119. 2UWL] - &KRX // &DOFLXP XSUHJXODWHG VXUYLYLQ H[SUHVVLRQ DQG DVVRFLDWHG RVWHRJHQHVLV RI QRUPDO KXPDQ RVWHREODVWV -RXUQDO RI ELRPHGLFDO PDWHULDOV UHVHDUFK3DUW$ 120. +R & &RQQHU '$ 3ROODN 05 /DGG '- .LIRU 2 :DUUHQ +% %URZQ(0 6HLGPDQ -* 6HLGPDQ &( $ PRXVH PRGHO RI KXPDQ IDPLOLDO K\SRFDOFLXULF K\SHUFDOFHPLD DQG QHRQDWDO VHYHUH K\SHUSDUDWK\URLGLVP 1DWXUH JHQHWLFV 121. *DUQHU6&3L07X44XDUOHV/'5LFNHWVLQFDWLRQVHQVLQJUHFHSWRUGHILFLHQW PLFHDQXQH[SHFWHGVNHOHWDOSKHQRW\SH(QGRFULQRORJ\ 122. &KDQJ:7X&&KHQ7+%LNOH'6KREDFN'7KHH[WUDFHOOXODUFDOFLXPVHQVLQJ UHFHSWRU &D65 LVDFULWLFDOPRGXODWRURIVNHOHWDOGHYHORSPHQW6FLHQFHVLJQDOLQJ UD 123. 'YRUDN(ZHOO00&KHQ7+/LDQJ1*DUYH\&/LX%7X&&KDQJ:%LNOH ''6KREDFN'02VWHREODVWH[WUDFHOOXODU&DVHQVLQJUHFHSWRUUHJXODWHVERQH GHYHORSPHQW PLQHUDOL]DWLRQ DQG WXUQRYHU -RXUQDO RI ERQH DQG PLQHUDO UHVHDUFK WKH RIILFLDO MRXUQDO RI WKH $PHULFDQ 6RFLHW\ IRU %RQH DQG 0LQHUDO 5HVHDUFK 124. /L <& 3LUUR $( $POLQJ 0 'HOOLQJ * %DURQ 5 %URQVRQ 5 'HPD\ 0% 7DUJHWHG DEODWLRQ RI WKH YLWDPLQ ' UHFHSWRU DQ DQLPDO PRGHO RI YLWDPLQ ' GHSHQGHQWULFNHWVW\SH,,ZLWKDORSHFLD3URFHHGLQJVRIWKH1DWLRQDO$FDGHP\RI 6FLHQFHVRIWKH8QLWHG6WDWHVRI$PHULFD 125. 1RODQ7+DQGV5(%XVWLQ6$4XDQWLILFDWLRQRIP51$XVLQJUHDOWLPH573&5 1DWXUHSURWRFROV 126. *UHJRU\&$*XQQ:*3HLVWHU$3URFNRS'-$Q$OL]DULQUHGEDVHGDVVD\RI PLQHUDOL]DWLRQ E\ DGKHUHQW FHOOV LQ FXOWXUH FRPSDULVRQ ZLWK FHW\OS\ULGLQLXP FKORULGHH[WUDFWLRQ$QDO\WLFDOELRFKHPLVWU\ 127. 3XFKWOHU + 0HORDQ 61 'HPRQVWUDWLRQ RI SKRVSKDWHV LQ FDOFLXP GHSRVLWV D PRGLILFDWLRQRIYRQ.RVVD VUHDFWLRQ+LVWRFKHPLVWU\ 128. /\RQV$%3DULVK&5'HWHUPLQDWLRQRIO\PSKRF\WHGLYLVLRQE\IORZF\WRPHWU\ -RXUQDORILPPXQRORJLFDOPHWKRGV 129. .DZDNDPL 7 $ULRND . 6DWR + 8FKL\DPD < 0DVXVKLJH 6 )XNDPL]X$ 0DWVXPRWR7.DWR60LFHODFNLQJWKHYLWDPLQ'UHFHSWRUH[KLELWLPSDLUHGERQH IRUPDWLRQ XWHULQH K\SRSODVLD DQG JURZWK UHWDUGDWLRQ DIWHU ZHDQLQJ 1DWXUH JHQHWLFV 130. $POLQJ03ULHPHO0+RO]PDQQ7&KDSLQ.5XHJHU-0%DURQ5'HPD\0% 5HVFXHRIWKHVNHOHWDOSKHQRW\SHRIYLWDPLQ'UHFHSWRUDEODWHGPLFHLQWKHVHWWLQJ RIQRUPDOPLQHUDOLRQKRPHRVWDVLVIRUPDOKLVWRPRUSKRPHWULFDQGELRPHFKDQLFDO DQDO\VHV(QGRFULQRORJ\ 131. 6RR\ . 6DEEDJK < 'HPD\ 0% 2VWHREODVWV ODFNLQJ WKH YLWDPLQ ' UHFHSWRU GLVSOD\HQKDQFHGRVWHRJHQLFSRWHQWLDOLQYLWUR-RXUQDORIFHOOXODUELRFKHPLVWU\ 132. &LDQIHURWWL / 'HPD\ 0% 9'5PHGLDWHG LQKLELWLRQ RI '.. DQG 6)53 VXSSUHVVHV DGLSRJHQLF GLIIHUHQWLDWLRQ RI PXULQH ERQH PDUURZ VWURPDO FHOOV -RXUQDORIFHOOXODUELRFKHPLVWU\ 133. 1DNDPXUD $ 'RKL < $NDKDQH 0 2KJXVKL + 1DNDMLPD + )XQDRND + 7DNDNXUD < 2VWHRFDOFLQ VHFUHWLRQ DV DQ HDUO\ PDUNHU RI LQ YLWUR RVWHRJHQLF GLIIHUHQWLDWLRQ RI UDW PHVHQFK\PDO VWHP FHOOV 7LVVXH (QJ 3DUW & 0HWKRGV 134. 6LPV 1$ :KLWH &3 6XQQ ./ 7KRPDV *3 'UXPPRQG 0/ 0RUULVRQ 1$ (LVPDQ -$ *DUGLQHU (0 +XPDQ DQG PXULQH RVWHRFDOFLQ JHQH H[SUHVVLRQ FRQVHUYHG WLVVXH UHVWULFWHG H[SUHVVLRQ DQG GLYHUJHQW UHVSRQVHV WR GLK\GUR[\YLWDPLQ'LQYLYR0RO(QGRFULQRO 135. 7ULOLDQD5/DP112 /RXJKOLQ3'0RUULV+$$QGHUVRQ3+2YHUH[SUHVVLRQ RI RVWHREODVWLF 9LWDPLQ ' 5HFHSWRU 9'5 OHYHOV LQ D PRXVH PRGHO PHGLDWHV DQDEROLF RU DQWLDQDEROLF DFWLYLW\ ZKLFK LV DVVRFLDWHG ZLWK GLHWDU\ FDOFLXP PHGLDWHG FKDQJHV WR FLUFXODWLQJ ' OHYHOV 7KH QG $XVWUDOLDQ DQG 1HZ =HDODQG%RQHDQG0LQHUDO6RFLHW\ $1=%06 $QQXDO6FLHQWLILF0HHWLQJ 3HUWK$XVWUDOLD 136. %DOGRFN 3$ 7KRPDV *3 +RGJH -0 %DNHU 68 'UHVVHO 8 2 /RXJKOLQ 3' 1LFKROVRQ *& %ULIID .+ (LVPDQ -$ *DUGLQHU (0 9LWDPLQ ' DFWLRQ DQG UHJXODWLRQRIERQHUHPRGHOLQJVXSSUHVVLRQRIRVWHRFODVWRJHQHVLVE\WKHPDWXUH RVWHREODVW -RXUQDO RI ERQH DQG PLQHUDO UHVHDUFK WKH RIILFLDO MRXUQDO RI WKH $PHULFDQ6RFLHW\IRU%RQHDQG0LQHUDO5HVHDUFK 137. )UDVHU:''XUKDP%+%HUU\-/0DZHU(%0HDVXUHPHQWRISODVPD GLK\GUR[\YLWDPLQ'XVLQJDQRYHOLPPXQRH[WUDFWLRQWHFKQLTXHDQGLPPXQRDVVD\ ZLWKLRGLQHODEHOOHGYLWDPLQ'WUDFHU$QQDOVRIFOLQLFDOELRFKHPLVWU\ 3W 138. 'DQJ=&/RZLN&:5HPRYDORIVHUXPIDFWRUVE\FKDUFRDOWUHDWPHQWSURPRWHV DGLSRJHQHVLV YLD D 0$3.GHSHQGHQW SDWKZD\ 0ROHFXODU DQG FHOOXODU ELRFKHPLVWU\ 139. )DUURZ(*'DYLV6,:DUG/06XPPHUV/-%XEEHDU-6.HHQ56WDPS7& %DNHU /5 %RQHZDOG /) :KLWH .( 0ROHFXODU DQDO\VLV RI '03 PXWDQWV FDXVLQJ DXWRVRPDO UHFHVVLYH K\SRSKRVSKDWHPLF ULFNHWV%RQH 140. .LP 6 DFWLYDWRURI1)NDSSD%OLJDQGJHQHH[SUHVVLRQE\GLK\GUR[\YLWDPLQ'LV PHGLDWHGWKURXJKPXOWLSOHORQJUDQJHHQKDQFHUV0ROHFXODUDQGFHOOXODUELRORJ\ 141. 1DNDVKLPD 7 +D\DVKL 0 )XNXQDJD 7 .XUDWD . 2K+RUD 0 )HQJ -4 %RQHZDOG/).RGDPD7:XW]$:DJQHU()3HQQLQJHU-07DND\DQDJL+ (YLGHQFH IRU RVWHRF\WH UHJXODWLRQ RI ERQH KRPHRVWDVLV WKURXJK 5$1./ H[SUHVVLRQ1DW0HG 142. :RR605RVVHU-'XVHYLFK9.DODM]LF,%RQHZDOG/)&HOOOLQH,'*6: UHSOLFDWHVRVWHREODVWWRODWHRVWHRF\WHGLIIHUHQWLDWLRQLQYLWURDQGDFFHOHUDWHVERQH IRUPDWLRQLQYLYR-RXUQDORIERQHDQGPLQHUDOUHVHDUFKWKHRIILFLDOMRXUQDORI WKH$PHULFDQ6RFLHW\IRU%RQHDQG0LQHUDO5HVHDUFK 143. ,WR 1 )LQGOD\ '0 $QGHUVRQ 3+ %RQHZDOG /) $WNLQV *- ([WUDFHOOXODU SKRVSKDWHPRGXODWHVWKHHIIHFWRIDOSKDGLK\GUR[\YLWDPLQ' ' RQ RVWHRF\WHOLNHFHOOV7KH-RXUQDORIVWHURLGELRFKHPLVWU\DQGPROHFXODUELRORJ\ 144. $UJLUR/'HVEDUDWV0*ORULHX[)+(FDURW%0HSHWKHJHQHHQFRGLQJDWXPRU VHFUHWHG SURWHLQ LQ RQFRJHQLF K\SRSKRVSKDWHPLF RVWHRPDODFLD LV H[SUHVVHG LQ ERQH*HQRPLFV 145. 7217&+6.)XQFWLRQDOSURSHUWLHV RI FXOWXUHGQRUPDODQGYLWDPLQ' UHFHSWRU NQRFNRXW PLFH FDOYDULDO RVWHREODVWV $EVWUDFW -RXUQDO RI ERQH DQG PLQHUDO UHVHDUFK WKH RIILFLDO MRXUQDO RI WKH $PHULFDQ 6RFLHW\ IRU %RQH DQG 0LQHUDO5HVHDUFK 6XSSO 6 146. +RUZRRG1-(OOLRWW-0DUWLQ7-*LOOHVSLH072VWHRWURSLFDJHQWVUHJXODWHWKH H[SUHVVLRQRIRVWHRFODVWGLIIHUHQWLDWLRQIDFWRUDQGRVWHRSURWHJHULQLQRVWHREODVWLF VWURPDOFHOOV(QGRFULQRORJ\ 147. 7VDQJDUL + )LQGOD\ '0 .XOLZDED -6 $WNLQV *- )D]]DODUL 1/ ,QFUHDVHG H[SUHVVLRQRI,/DQG5$1.P51$LQKXPDQWUDEHFXODUERQHIURPIUDJLOLW\ IUDFWXUHRIWKHIHPRUDOQHFN%RQH 148. 6HYHWVRQ%7D\ORU63DQ<&EID581;GLUHFWVVSHFLILFH[SUHVVLRQRIWKH VFOHURVWHRVLV JHQH 6267 7KH -RXUQDO RI ELRORJLFDO FKHPLVWU\ 149. 3DUHGHV5$UULDJDGD*&UX]DW)9LOODJUD$2ODWH-=DLGL.YDQ:LMQHQ$ /LDQ-%6WHLQ*66WHLQ-/0RQWHFLQR0%RQHVSHFLILFWUDQVFULSWLRQ IDFWRU 5XQ[LQWHUDFWVZLWKWKHDOSKDGLK\GUR[\YLWDPLQ'UHFHSWRUWRXSUHJXODWH UDW RVWHRFDOFLQ JHQH H[SUHVVLRQ LQ RVWHREODVWLF FHOOV 0ROHFXODU DQG FHOOXODU ELRORJ\ 150. 6XWKHUODQG 0. *HRJKHJDQ -& UHJXODWLRQRI6267WKHVFOHURVWHRVLVJHQHE\ %03VDQGVWHURLGKRUPRQHVLQ KXPDQRVWHREODVWV%RQH 151. .ROHN2,+LQHV(5-RQHV0'/H6XHXU/./LSNR0$.LHOD35&ROOLQV-) +DXVVOHU05*KLVKDQ).DOSKD'LK\GUR[\YLWDPLQ'XSUHJXODWHV)*) JHQHH[SUHVVLRQLQERQHWKHILQDOOLQNLQDUHQDOJDVWURLQWHVWLQDOVNHOHWDOD[LVWKDW FRQWUROV SKRVSKDWH WUDQVSRUW $PHULFDQ MRXUQDO RI SK\VLRORJ\ *DVWURLQWHVWLQDO DQGOLYHUSK\VLRORJ\ * 152. ,WR1)LQGOD\'0$WNLQV*-2VWHRF\WH&RPPXQLFDWLRQZLWKWKH.LGQH\9LD WKH3URGXFWLRQRI)*)5HPRWH&RQWURORI3KRVSKDWH+RPHRVWDVLV&OLQLF5HY %RQH0LQHU0HWDE 153. ;LRQJ-2QDO0-LOND5/:HLQVWHLQ560DQRODJDV6&2 %ULHQ&$0DWUL[ HPEHGGHGFHOOVFRQWURORVWHRFODVWIRUPDWLRQ1DW0HG 154. 0RUULV+$0RUULVRQ*:%XUU07KRPDV':1RUGLQ%(9LWDPLQ'DQG IHPRUDOQHFNIUDFWXUHVLQHOGHUO\6RXWK$XVWUDOLDQZRPHQ7KH0HGLFDOMRXUQDO RI$XVWUDOLD 155. 5HLG,5%ROODQG0-*UH\$(IIHFWVRIYLWDPLQ'VXSSOHPHQWVRQERQHPLQHUDO GHQVLW\DV\VWHPDWLFUHYLHZDQGPHWDDQDO\VLV/DQFHW 156. .KDQQD-DLQ59XRULQHQ$6DQGRU*.6XXURQHQ50LHWWLQHQ69LWDPLQ' PHWDEROLWHVLQGXFHRVWHRJHQLFGLIIHUHQWLDWLRQLQKXPDQGHQWDOSXOSDQGKXPDQ GHQWDOIROOLFOHFHOOV7KH-RXUQDORIVWHURLGELRFKHPLVWU\DQGPROHFXODUELRORJ\ 157. 0DWVXPRWR7,JDUDVKL&7DNHXFKL<+DUDGD6.LNXFKL7 6WLPXODWLRQE\GLK\GUR[\YLWDPLQ'RILQYLWURPLQHUDOL]DWLRQLQGXFHGE\ RVWHREODVWOLNH0&7(FHOOV%RQH 158. 7.DZDQR+$LKDUD.1DNDPLFKL<:DWDQDEH76KLQGR0,QRXH.,QRXH (7VXML1+RVKLQR0.DUVHQW\*0HW]JHU'&KDPERQ3.DWR6,PDL< 9LWDPLQ'UHFHSWRULQRVWHREODVWVLVDQHJDWLYHUHJXODWRURIERQHPDVVFRQWURO (QGRFULQRORJ\ 159. PLQHUDOL]DWLRQ LQ YLWUR ,QWHUQDWLRQDO MRXUQDO RI PROHFXODU PHGLFLQH 160. &KHQ <& 1LQRPL\D 7 +RVR\D $ +LUDJD 7 0L\D]DZD + 1DNDPXUD + DOSKD'LK\GUR[\YLWDPLQ ' LQKLELWV RVWHREODVWLF GLIIHUHQWLDWLRQ RI PRXVH SHULRGRQWDOILEUREODVWV$UFKLYHVRIRUDOELRORJ\ 161. .HUU\ '0 'ZLYHGL 33 +DKQ &1 0RUULV +$ 2PGDKO -/ 0D\ %. 7UDQVFULSWLRQDOV\QHUJLVPEHWZHHQYLWDPLQ'UHVSRQVLYHHOHPHQWVLQWKHUDW K\GUR[\YLWDPLQ'K\GUR[\ODVH &<3 SURPRWHU7KH-RXUQDORIELRORJLFDO FKHPLVWU\ 162. /LHEHQ/0DVX\DPD57RUUHNHQV69DQ/RRYHUHQ56FKURRWHQ-%DDWVHQ3 /DIDJH3URXVW0+'UHVVHODHUV7)HQJ-4%RQHZDOG/)0H\HU0%3LNH-: %RXLOORQ5&DUPHOLHW*1RUPRFDOFHPLDLVPDLQWDLQHGLQPLFHXQGHUFRQGLWLRQV RIFDOFLXPPDODEVRUSWLRQE\YLWDPLQ'LQGXFHGLQKLELWLRQRIERQHPLQHUDOL]DWLRQ -&OLQ,QYHVW 163. .DWR<:LQGOH--.RRS%$0XQG\*5%RQHZDOG/)(VWDEOLVKPHQWRIDQ RVWHRF\WHOLNHFHOOOLQH0/2<-RXUQDORIERQHDQGPLQHUDOUHVHDUFKWKH RIILFLDO MRXUQDO RI WKH $PHULFDQ 6RFLHW\ IRU %RQH DQG 0LQHUDO 5HVHDUFK 164. .DWR<%RVNH\$6SHYDN/'DOODV0+RUL0%RQHZDOG/)(VWDEOLVKPHQWRI DQ RVWHRLG SUHRVWHRF\WHOLNH FHOO 0/2$ WKDW VSRQWDQHRXVO\ PLQHUDOL]HV LQ FXOWXUH -RXUQDO RI ERQH DQG PLQHUDO UHVHDUFK WKH RIILFLDO MRXUQDO RI WKH $PHULFDQ6RFLHW\IRU%RQHDQG0LQHUDO5HVHDUFK 165. ³'LIIHUHQWLDO HIIHFWV RI GLK\GUR[\YLWDPLQ ' RQ PLQHUDOLVDWLRQ DQG GLIIHUHQWLDWLRQ LQ WZR GLIIHUHQW W\SHV RI RVWHREODVWOLNH FXOWXUHV´ >- 6WHURLG %LRFKHP0RO%LRO ±@7KH-RXUQDORIVWHURLGELRFKHPLVWU\ DQGPROHFXODUELRORJ\KWWSG[GRLRUJMMVEPE Appendix I: Identification of Cortical cells in Chapter 3 as the cell line MLO-A5 Experimentation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³&RUWLFDOFHOOV´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¶&&&7&&$*7*&&&777$&$7¶ UHYHUVH ¶ $$*$$7**$7**&7**$*77*¶DPSOLFRQH[SHFWHGWREHES DQGWKHUDW2FQ SURPRWHU IRUZDUG ¶*&$&7***7*$$7*$**$&¶ UHYHUVH ¶ $**$*$7*&7*&&$**$&7$¶ DPSOLFRQ H[SHFWHG WR EH ES 7KH WUDQVFULSWRPHVIURPWKHFORQDOFXOWXUHVZHUHDOVRVFUHHQHGIRUODUJH7DQWLJHQP51$ OHYHOLQFRPSDULVRQWRERWKNQRZQ0/2$FXOWXUHDQG&DOYDULDOFHOOVGHULYHGIURP ZLOGW\SHPLFH Results: $OORIWKHFORQDOFXOWXUHV QXPEHUDQG DVZHOODVWKHNQRZQ0/2 $VDPSOHZHUHSRVLWLYHIRUERWKODUJH7DQWLJHQDQGUDWOcn SURPRWHUVHTXHQFHVZLWKLQ WKHLUWRWDO'1$VDPSOHVZKLOHWKHPRXVHWDLOH[WUDFWHG'1$VDPSOHVZDVQHJDWLYHIRU ERWKVLJQDOV $SSHQGL[,)LJ 8SRQTXDQWLILFDWLRQYDULHGEXWFRPSDUDEOHOHYHOVRI ODUJH7DQWLJHQP51$OHYHOVZHUHPHDVXUHGZLWKLQDOOWKHFORQHVDQGWKHNQRZQ0/2 $FXOWXUHZKLOHWKHVDPH3&5SURGXFWZDVQRWDEOHWREHJHQHUDWHGIURPZLOGW\SH &DOYDULDOFHOOV $SSHQGL[,)LJ Conclusion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cn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ppendix II WT OSVDR VDRKO 30 20 -ACTIN mRNA E 1: 10 D COL1 0 03 9 15 24 03 9 15 24 03 9 15 24 DAYS DAYS DAYS 1.8 mM calcium 2.8 mM calcium 30 20 -ACTIN mRNA E 1: 10 D COL1 0 03 9 15 24 03 9 15 24 03 9 15 24 DAYS DAYS DAYS VEHICLE CHRONIC 1,25D Appendix II. A mRNA levels of Col1D1 The mRNA ratios of Col1D to E-Actin by WT (left), OSVDR (middle) and VDRKO (right) cells, with vehicle (solid line) and chronic 1,25D (1nM) (broken line) treatments with 1.8 mM (upper) and 2.8 mM total calcium (lower) presented in culture media. Three independent experiments for gene expression analyses were conducted and the error bars on graphs represent the standard errors of mean data collected from the three experiments (meanfSEM, n = 3). 156 h RArto of ratios mRNA The B II. Appendix fma aacletdfo h he xeiet (mean experiments three errors the standard from the collected represent data graphs mean on of bars error the and conducted were analyses expression Mttlclim(oe)peetdi utr media. culture in 2.8 and presented (upper) (lower) mM calcium 1.8 with total treatments mM line) (broken (1nM) 1,25D chronic and line) (solid vehicle TNAP : E-ACTIN mRNA TNAP : E-ACTIN mRNA 0.03 0.06 0.09 0.03 0.06 0.09 0 0 3915 9 03 3915 9 03 RAlvl of levels mRNA DAYS DAYS Tnap WT to E -Actin Tnap 24 24 yW lf) SD mdl)adVRO(ih)cls with cells, (right) VDRKO and (middle) OSVDR (left), WT by VEHICLE 3915 9 03 391 24 15 9 03 . Mcalcium 2.8 mM calcium 1.8 mM 157 OSVDR DAYS DAYS he needn xeiet o gene for experiments independent Three HOI 1,25D CHRONIC f E,n=3 <.5 * p<0.001). *** p<0.05, * 3; = n SEM, *** * 24 3915 9 03 3915 9 03 VDRKO DAYS DAYS 24 24 h RArto of ratios mRNA The C II. Appendix . Mttlclim(oe)peetdi utr media. culture and in (upper) presented mM 1.8 (lower) calcium with treatments total line) mM (broken 2.8 (1nM) 1,25D chronic and line) (solid vehicle roso endt olce rmtetreeprmns(mean experiments three the standard from the collected represent data graphs mean on of bars errors error the and conducted were analyses expression gene ANK : E-ACTIN mRNA ANK : E-ACTIN mRNA 0.08 0.08 0.06 0.06 0.02 0.04 0.02 0.04 0 0 3915 9 03 3915 9 03 RAlvl of levels mRNA DAYS DAYS Ank WT to E -Actin ** Ank 24 24 yW lf) SD mdl)adVRO(ih)cls with cells, (right) VDRKO and (middle) OSVDR (left), WT by VEHICLE 3915 9 03 3915 9 03 . Mcalcium 2.8 mM calcium 1.8 mM 158 OSVDR DAYS DAYS HOI 1,25D CHRONIC he needn xeiet for experiments independent Three f 24 24 E,n=3 *p<0.01). ** 3; = n SEM, 3915 9 03 3915 9 03 VDRKO DAYS DAYS 24 24 fma aacletdfo h he xeiet (mean errors experiments three standard the the from represent collected graphs data mean on of bars error the and conducted were analyses expression Mttlclim(oe)peetdi utr media. culture 2.8 in and presented (upper) mM (lower) 1.8 calcium with total treatments line) mM (broken (1nM) 1,25D chronic and line) (solid vehicle h RArto of ratios mRNA The D II. Appendix 0.003 0.004 0.002 ENPP1 : -ACTIN mRNA ENPP10.001 : -ACTIN mRNA E 0.003 E 0.004 0.002 0.001 0 0 3915 9 03 3915 9 03 RAlvl of levels mRNA DAYS DAYS Enpp1 WT to E -Actin ** Enpp1 * 24 24 yW lf) SD mdl)adVRO(ih)cls with cells, (right) VDRKO and (middle) OSVDR (left), WT by 3915 9 03 VEHICLE 3915 9 03 159 . Mcalcium 2.8 mM calcium 1.8 mM OSVDR DAYS DAYS he needn xeiet o gene for experiments independent Three HOI 1,25D CHRONIC f E,n=3 <.5 *p<0.01). ** p<0.05, * 3; = n SEM, 24 24 3915 9 03 3915 9 03 VDRKO DAYS DAYS 24 24 Mttlclim(oe)peetdi utr media. culture in 2.8 and presented (upper) (lower) mM calcium 1.8 with total treatments mM line) (broken (1nM) 1,25D chronic and line) (solid vehicle h RArto of ratios mRNA The pedxI.E II. Appendix fma aacletdfo h he xeiet (mean experiments three errors the standard from the collected represent data graphs mean on of bars error the and conducted were analyses expression OCN : E-ACTIN mRNA OCN : E-ACTIN mRNA 8 8 6 2 4 0 6 2 4 0 3915 9 03 3915 9 03 RAlvl of levels mRNA DAYS DAYS WT Ocn to ** E -Actin 24 24 Ocn VEHICLE 3915 9 03 3915 9 03 yW lf) SD mdl)adVRO(ih)cls with cells, (right) VDRKO and (middle) OSVDR (left), WT by . Mcalcium 2.8 mM calcium 1.8 mM OSVDR DAYS 160 DAYS HOI 1,25D CHRONIC he needn xeiet o gene for experiments independent Three f E,n=3 <.5 *p<0.01). ** p<0.05, * 3; = n SEM, * 24 24 3915 9 03 3915 9 03 VDRKO DAYS DAYS 24 24 E11 : E-ACTIN mRNA E11 : E-ACTIN mRNA 0.15 0.15 0.05 0.10 0.05 0.10 n . Mttlclim(oe)peetdi utr media. culture in presented (upper) (lower) mM calcium 1.8 total with mM treatments 2.8 line) and (broken (1nM) 1,25D chronic and line) (solid vehicle with h RArto of ratios mRNA The F II. Appendix o eeepeso nlsswr odce n h ro aso rpsrpeetthe (mean experiments represent three graphs the from on collected bars data error mean of the errors and standard conducted were analyses expression gene for 0 0 3915 9 03 3915 9 03 RAlvl of levels mRNA DAYS DAYS WT E11 to E -Actin 24 24 E11 3915 9 03 VEHICLE 3915 9 03 yW lf) SD mdl)adVRO(ih)cells, (right) VDRKO and (middle) OSVDR (left), WT by 161 . Mcalcium 2.8 mM calcium 1.8 mM OSVDR DAYS DAYS HOI 1,25D CHRONIC 24 24 he needn experiments independent Three 3915 9 03 3915 9 03 f VDRKO E,n=3). = n SEM, DAYS DAYS 24 24 Mttlclim(oe)peetdi utr media. culture in 2.8 and presented (upper) (lower) mM calcium 1.8 with total treatments mM line) (broken (1nM) 1,25D chronic and line) (solid vehicle h RArto of ratios mRNA The G II. Appendix fma aacletdfo h he xeiet (mean experiments three errors the standard from the collected represent data graphs mean on of bars error the and conducted were analyses expression PHEX : E-ACTIN mRNA PHEX : E-ACTIN mRNA 0.06 0.06 0.02 0.04 0.02 0.04 0 0 3915 9 03 3915 9 03 RAlvl of levels mRNA DAYS DAYS Phex WT to E -Actin Phex 24 24 yW lf) SD mdl)adVRO(ih)cls with cells, (right) VDRKO and (middle) OSVDR (left), WT by VEHICLE 3915 9 03 3915 9 03 . Mcalcium 2.8 mM calcium 1.8 mM 162 OSVDR DAYS DAYS HOI 1,25D CHRONIC he needn xeiet o gene for experiments independent Three f E,n=3 <.5 * p<0.001). *** p<0.05, * 3; = n SEM, *** * 24 24 3915 9 03 3915 9 03 VDRKO DAYS DAYS 24 24 roso endt olce rmtetreeprmns(mean experiments three the standard from the collected represent data graphs mean on of bars errors error the and conducted were analyses expression gene ihvhce(oi ie n hoi ,5 1M boe ie ramnswt . M(upper) media. mM culture 1.8 in with presented (lower) treatments calcium line) total (broken mM 2.8 (1nM) and 1,25D chronic and line) (solid vehicle with h RArto of ratios mRNA The H II. Appendix MEPE : E-ACTIN mRNA MEPE : E-ACTIN mRNA 0.03 0.03 0.01 0.02 0.01 0.02 0.04 0.04 0 0 3915 9 03 3915 9 03 RAlvl of levels mRNA DAYS DAYS WT Mepe to E Mepe -Actin 24 24 VEHICLE 3915 9 03 3915 9 03 yW lf) SD mdl)adVRO(ih)cells, (right) VDRKO and (middle) OSVDR (left), WT by 163 . Mcalcium 2.8 mM calcium 1.8 mM OSVDR DAYS DAYS HOI 1,25D CHRONIC he needn xeiet for experiments independent Three * f 24 24 E,n=3 p<0.05). * 3; = n SEM, 3915 9 03 3915 9 03 VDRKO DAYS DAYS 24 24 pedxI.I II. Appendix Mttlclim(oe)peetdi utr media. culture 2.8 in and presented (upper) mM (lower) 1.8 calcium with total treatments mM line) (broken (1nM) 1,25D chronic and line) (solid vehicle fma aacletdfo h he xeiet (mean experiments errors three standard the the from represent collected data graphs mean on of bars error the and conducted were analyses expression h RArto of ratios mRNA The SOST : E-ACTIN mRNA 0.0025 0.0050 SOST : -ACTIN mRNA 0.0025 E 0.0050 0.0075 0.0075 0 0 3915 9 03 3915 9 03 RAlvl of levels mRNA DAYS Sost DAYS WT to E -Actin Sost * 24 24 yW lf) SD mdl)adVRO(ih)cls with cells, (right) VDRKO and (middle) OSVDR (left), WT by VEHICLE 3915 9 03 3915 9 03 164 . Mcalcium 2.8 mM calcium 1.8 mM OSVDR DAYS DAYS he needn xeiet o gene for experiments independent Three HOI 1,25D CHRONIC f E,n=3 <.5 * p<0.001). *** p<0.05, * 3; = n SEM, *** *** 24 24 3915 9 03 3915 9 03 VDRKO DAYS DAYS 24 24 h RArto of ratios mRNA The pedxI.J II. Appendix eil sldln)adcrnc12D(n)(rknln)tetet ih18m upr n . mM 2.8 media. and culture (upper) in mM presented 1.8 (lower) with calcium treatments total line) (broken (1nM) 1,25D chronic and line) (solid vehicle nlsswr odce n h ro aso rpsrpeettesadr roso endata mean of errors standard (mean the experiments represent three the graphs from on collected bars error the and conducted were analyses 0.003 0.004 0.002 FGF23 : -ACTIN mRNA FGF230.001 : -ACTIN mRNA E 0.003 E 0.004 0.002 0.001 0 0 3915 9 03 3915 9 03 RAlvl of levels mRNA Fgf23 DAYS DAYS WT to E Fgf23 -Actin ** ** 24 24 yW lf) SD mdl)adVRO(ih)cls with cells, (right) VDRKO and (middle) OSVDR (left), WT by VEHICLE 3915 9 03 391 24 15 9 03 f E,n=3 <.5 *p00,**p<0.001). *** p<0.01, ** p<0.05, * 3; = n SEM, he needn xeiet o eeexpression gene for experiments independent Three 165 . Mcalcium 2.8 mM calcium 1.8 mM OSVDR DAYS DAYS HOI 1,25D CHRONIC *** * 24 3915 9 03 3915 9 03 VDRKO DAYS DAYS 24 24 DM11 : E-ACTIN mRNA DMP1 : E-ACTIN mRNA 0.08 0.08 0.06 0.06 0.02 0.04 0.02 0.04 o eeepeso nlsswr odce n h ro aso rpsrpeetthe (mean represent experiments three graphs the on from collected bars data error mean of the errors and standard conducted were analyses expression gene for n . Mttlclim(oe)peetdi utr media. culture in presented (upper) mM (lower) calcium 1.8 with total mM treatments 2.8 line) and (broken (1nM) 1,25D chronic and line) (solid vehicle with h RArto of ratios mRNA The pedxI.K II. Appendix 0 0 3915 9 03 3915 9 03 RAlvl of levels mRNA DAYS DAYS WT Dmp1 to E 24 24 -Actin Dmp1 VEHICLE 3915 9 03 3915 9 03 yW lf) SD mdl)adVRO(ih)cells, (right) VDRKO and (middle) OSVDR (left), WT by . Mcalcium 2.8 mM calcium 1.8 mM 166 OSVDR DAYS DAYS HOI 1,25D CHRONIC he needn experiments independent Three 24 24 3915 9 03 3915 9 03 f VDRKO E,n=3). = n SEM, DAYS DAYS 24 24 WT OSVDR VDRKO 0.018 0.012 -ACTIN mRNA ** E 0.006 RANKL : 0 03 9 15 24 03 9 15 24 03 9 15 24 DAYS DAYS DAYS 1.8 mM calcium 2.8 mM calcium 0.018 0.012 -ACTIN mRNA E 0.006 RANKL : 0 03 9 15 24 03 9 15 24 03 9 15 24 DAYS DAYS DAYS VEHICLE CHRONIC 1,25D Appendix II. L mRNA levels of Rankl The mRNA ratios of Rankl to E-Actin by WT (left), OSVDR (middle) and VDRKO (right) cells, with vehicle (solid line) and chronic 1,25D (1nM) (broken line) treatments with 1.8 mM (upper) and 2.8 mM total calcum (lower) presented in culture media. Three independent experiments for gene expression analyses were conducted and the error bars on graphs represent the standard errors of mean data collected from the three experiments (meanfSEM, n = 3; ** p<0.01). 167 n . Mttlclim(oe)peetdi utr media. culture in (upper) presented mM (lower) 1.8 calcium with total treatments mM line) 2.8 (broken and (1nM) 1,25D chronic and line) (solid vehicle with h RArto of ratios mRNA The M II. Appendix o eeepeso nlsswr odce n h ro aso rpsrpeetthe represent graphs (mean experiments on three the bars from collected error data the mean of and errors standard conducted were analyses expression gene for OPG : E-ACTIN mRNA OPG : E-ACTIN mRNA 0.08 0.08 0.06 0.06 0.02 0.04 0.02 0.04 0 0 3915 9 03 3915 9 03 RAlvl of levels mRNA DAYS DAYS WT Opg to E -Actin Opg 24 24 VEHICLE yW lf) SD mdl)adVRO(ih)cells, (right) VDRKO and (middle) OSVDR (left), WT by 15 9 03 3915 9 03 . Mcalcium 2.8 mM calcium 1.8 mM 168 OSVDR DAYS DAYS HOI 1,25D CHRONIC he needn experiments independent Three 24 24 3915 9 03 3915 9 03 f E,n=3). = n SEM, VDRKO DAYS DAYS 24 24 RANKL : OPG mRNA RANKL : OPG mRNA eeepeso nlsswr odce n h ro aso rpsrpeetthe represent graphs (mean on experiments three bars the from error collected data the mean of and errors standard conducted were analyses expression gene h RArto of ratios mRNA The N II. Appendix . Mttlclim(oe)peetdi utr media. culture in and presented (upper) (lower) mM calcium 1.8 total with mM treatments 2.8 line) (broken (1nM) 1,25D chronic and line) (solid vehicle 0.5 1.5 0.5 1.5 1.0 1.0 2.0 2.0 0 0 3915 9 03 3915 9 03 RArto of ratios mRNA DAYS DAYS WT Rankl/Opg 24 24 Rankl/Opg yW lf) SD mdl)adVRO(ih)cls with cells, (right) VDRKO and (middle) OSVDR (left), WT by VEHICLE 3915 9 03 3915 9 03 . Mcalcium 2.8 mM calcium 1.8 mM 169 OSVDR DAYS DAYS HOI 1,25D CHRONIC he needn xeiet for experiments independent Three 24 24 3915 9 03 3915 9 03 f VDRKO E,n=3). = n SEM, DAYS DAYS 24 24 Appendix III WT OSVDR 40 20 -ACTIN mRNA E 1: D COL1 0 03 9 15 24 03 9 15 24 DAYS DAYS 1.8 mM calcium 2.8 mM calcium 40 20 -ACTIN mRNA E 1: D COL1 0 03 9 15 24 03 9 15 24 DAYS DAYS VEHICLE ACUTE 1,25D Appendix III. A mRNA levels of Col1D1 The mRNA ratios of ColID to E-Actin by WT (left) and OSVDR (right) cells, with vehicle (black lines) and acute 1,25D (1nM) (dots) treatments with 1.8 mM (upper) and 2.8 mM total calcium (lower) presented in culture media. Three independent experiments for gene expression analyses were conducted and the error bars on graphs represent the standard errors of mean data collected from the three experiments (meanfSEM, n = 3). 170 WT OSVDR 0.09 0.06 -ACTIN mRNA E 0.03 *** TNAP : 0 03 9 15 24 03 9 15 24 DAYS DAYS 1.8 mM calcium 2.8 mM calcium 0.09 0.06 -ACTIN mRNA E 0.03 ** TNAP : 0 03 9 15 24 03 9 15 24 DAYS DAYS VEHICLE ACUTE 1,25D Appendix III. B mRNA levels of Tnap The mRNA ratios of Tnap to E-Actin by WT (left) and OSVDR (right) cells, with vehicle (black lines) and acute 1,25D (1nM) (dots) treatments with 1.8 mM (upper) and 2.8 mM total calcium (lower) presented in culture media. Three independent experiments for gene expression analyses were conducted and the error bars on graphs represent the standard errors of mean data collected from the three experiments (meanfSEM, n = 3; ** p<0.01, *** p<0.001). 171 WT OSVDR 0.08 0.06 0.04 * -ACTIN mRNA E 0.02 ANK : 0 03 9 15 24 03 9 15 24 DAYS DAYS 1.8 mM calcium 2.8 mM calcium 0.08 0.06 0.04 ** -ACTIN mRNA E 0.02 ANK : 0 03 9 15 24 03 9 15 24 DAYS DAYS VEHICLE ACUTE 1,25D Appendix III. C mRNA levels of Ank The mRNA ratios of Ank to E-Actin by WT (left) and OSVDR (right) cells, with vehicle (black lines) and acute 1,25D (1nM) (dots) treatments with 1.8 mM (upper) and 2.8 mM total calcium (lower) presented in culture media. Three independent experiments for gene expression analyses were conducted and the error bars on graphs represent the standard errors of mean data collected from the three experiments (meanfSEM, n = 3; * p<0.05, ** p<0.01). 172 WT OSVDR 0.020 0.015 0.005 -ACTIN0.002 mRNA E 0.001 ENPP1 : 0 03 9 15 24 03 9 15 24 DAYS DAYS 1.8 mM calcium 2.8 mM calcium 0.020 0.015 0.005 -ACTIN0.002 mRNA E 0.001 ENPP1 : 0 03 9 15 24 03 9 15 24 DAYS DAYS VEHICLE ACUTE 1,25D Appendix III. D mRNA levels of Enpp1 The mRNA ratios of Enpp1 to E-Actin by WT (left) and OSVDR (right) cells, with vehicle (black lines) and acute 1,25D (1nM) (dots) treatments with 1.8 mM (upper) and 2.8 mM total calcum (lower) presented in culture media. Three independent experiments for gene expression analyses were conducted and the error bars on graphs represent the standard errors of mean data collected from the three experiments (meanfSEM, n = 1 with OSVDR under acute 1,25D treated group and n = 3 with all other groups). 173 WT OSVDR 8 6 4 -ACTIN mRNA E 2 OCN : 0 03 9 15 24 03 9 15 24 DAYS DAYS 1.8 mM calcium 2.8 mM calcium 8 6 4 -ACTIN mRNA E 2 OCN : 0 03 9 15 24 03 9 15 24 DAYS DAYS VEHICLE ACUTE 1,25D Appendix III. E mRNA levels of Ocn The mRNA ratios of Ocn to E-Actin by WT (left) and OSVDR (right) cells, with vehicle (black lines) and acute 1,25D (1nM) (dots) treatments with 1.8 mM (upper) and 2.8 mM total calcium (lower) presented in culture media. Three independent experiments for gene expression analyses were conducted and the error bars on graphs represent the standard errors of mean data collected from the three experiments (meanfSEM, n = 3). 174 WT OSVDR 0.15 0.10 -ACTIN mRNA 0.05 E E11 : 0 03 9 15 24 03 9 15 24 DAYS DAYS 1.8 mM calcium 2.8 mM calcium 0.15 0.10 -ACTIN mRNA 0.05 E E11 : 0 03 9 15 24 03 9 15 24 DAYS DAYS VEHICLE ACUTE 1,25D Appendix III. F mRNA levels of E11 The mRNA ratios of E11 to E-Actin by WT (left) and OSVDR (right) cells, with vehicle (black lines) and acute 1,25D (1nM) (dots) treatments with 1.8 mM (upper) and 2.8 mM total calcium (lower) presented in culture media. Three independent experiments for gene expression analyses were conducted and the error bars on graphs represent the standard errors of mean data collected from the three experiments (meanfSEM, n = 3). 175 WT OSVDR 0.06 0.04 -ACTIN mRNA E 0.02 ** PHEX : 0 03 9 15 24 03 9 15 24 DAYS DAYS 1.8 mM calcium 2.8 mM calcium 0.06 0.04 -ACTIN mRNA E 0.02 * PHEX : 0 03 9 15 24 03 9 15 24 DAYS DAYS VEHICLE ACUTE 1,25D Appendix III. G mRNA levels of Phex The mRNA ratios of Phex to E-Actin by WT (left) and OSVDR (right) cells, with vehicle (black lines) and acute 1,25D (1nM) (dots) treatments with 1.8 mM (upper) and 2.8 mM total calcium (lower) presented in culture media. Three independent experiments for gene expression analyses were conducted and the error bars on graphs represent the standard errors of mean data collected from the three experiments (meanfSEM, n = 3; * p<0.05, ** p<0.01). 176 WT OSVDR 0.04 0.03 0.02 -ACTIN mRNA E 0.01 * MEPE : 0 03 9 15 24 03 9 15 24 DAYS DAYS 1.8 mM calcium 2.8 mM calcium 0.04 0.03 0.02 -ACTIN mRNA E 0.01 ** MEPE : 0 03 9 15 24 03 9 15 24 DAYS DAYS VEHICLE ACUTE 1,25D Appendix III. H mRNA levels of Mepe The mRNA ratios of Mepe to E-Actin by WT (left) and OSVDR (right) cells, with vehicle (black lines) and acute 1,25D (1nM) (dots) treatments with 1.8 mM (upper) and 2.8 mM total calcium (lower) presented in culture media. Three independent experiments for gene expression analyses were conducted and the error bars on graphs represent the standard errors of mean data collected from the three experiments (meanfSEM, n = 3; * p<0.05, ** p<0.01). 177 WT OSVDR 0.008 0.006 0.004 -ACTIN mRNA E ** 0.002 SOST : 0 03 9 15 24 03 9 15 24 DAYS DAYS 1.8 mM calcium 2.8 mM calcium 0.008 0.006 0.004 -ACTIN mRNA E 0.002 *** SOST : 0 03 9 15 24 03 9 15 24 DAYS DAYS VEHICLE ACUTE 1,25D Appendix III. I mRNA levels of Sost The mRNA ratios of Sost to E-Actin by WT (left) and OSVDR (right) cells, with vehicle (black lines) and acute 1,25D (1nM) (dots) treatments with 1.8 mM (upper) and 2.8 mM total calcium (lower) presented in culture media. Three independent experiments for gene expression analyses were conducted and the error bars on graphs represent the standard errors of mean data collected from the three experiments (meanfSEM, n = 3; ** p<0.01, *** p<0.001). 178 WT OSVDR 0.0008 0.0006 0.0004 -ACTIN mRNA E 0.0002 FGF23 : 0 03 9 15 24 03 9 15 24 DAYS DAYS 1.8 mM calcium 2.8 mM calcium 0.0008 0.0006 0.0004 -ACTIN mRNA E 0.0002 FGF23 : 0 03 9 15 24 03 9 15 24 DAYS DAYS VEHICLE ACUTE 1,25D Appendix III. J mRNA levels of Fgf23 The mRNA ratios of Fgf23 to E-Actin by WT (left) and OSVDR (right) cells, with vehicle (black lines) and acute 1,25D (1nM) (dots) treatments with 1.8 mM (upper) and 2.8 mM total calcium (lower) presented in culture media. Three independent experiments for gene expression analyses were conducted and the error bars on graphs represent the standard errors of mean data collected from the three experiments (meanfSEM, n = 3). 179 WT OSVDR 0.08 0.06 0.04 -ACTIN mRNA E 0.02 * DMP1 : 0 03 9 15 24 03 9 15 24 DAYS DAYS 1.8 mM calcium 2.8 mM calcium 0.08 0.06 0.04 -ACTIN mRNA E 0.02 * DMP1 : 0 03 9 15 24 03 9 15 24 DAYS DAYS VEHICLE ACUTE 1,25D Appendix III. K mRNA levels of Dmp1 The mRNA ratios of Dmp1 to E-Actin by WT (left) and OSVDR (right) cells, with vehicle (black lines) and acute 1,25D (1nM) (dots) treatments with 1.8 mM (upper) and 2.8 mM total calcium (lower) presented in culture media. Three independent experiments for gene expression analyses were conducted and the error bars on graphs represent the standard errors of mean data collected from the three experiments (meanfSEM, n = 3; * p<0.05). 180 WT OSVDR 0.04 0.03 0.02 -ACTIN mRNA *** E 0.01 ** RANKL : 0 03 9 15 24 03 9 15 24 DAYS DAYS 1.8 mM calcium 2.8 mM calcium 0.04 0.03 *** 0.02 -ACTIN mRNA E 0.01 * RANKL : 0 03 9 15 24 03 9 15 24 DAYS DAYS VEHICLE ACUTE 1,25D Appendix III. L mRNA levels of Rankl The mRNA ratios of Rankl to E-Actin by WT (left) and OSVDR (right) cells, with vehicle (black lines) and acute 1,25D (1nM) (dots) treatments with 1.8 mM (upper) and 2.8 mM total calcium (lower) presented in culture media. Three independent experiments for gene expression analyses were conducted and the error bars on graphs represent the standard errors of mean data collected from the three experiments (meanfSEM, n = 3; * p<0.05, ** p<0.01, *** p<0.001). 181 WT OSVDR 0.08 0.06 0.04 -ACTIN mRNA E 0.02 * OPG : 0 03 9 15 24 03 9 15 24 DAYS DAYS 1.8 mM calcium 2.8 mM calcium 0.08 0.06 0.04 -ACTIN mRNA E 0.02 OPG : 0 03 9 15 24 03 9 15 24 DAYS DAYS VEHICLE ACUTE 1,25D Appendix III. M mRNA levels of Opg The mRNA ratios of Opg to E-Actin by WT (left) and OSVDR (right) cells, with vehicle (black lines) and acute 1,25D (1nM) (dots) treatments with 1.8 mM (upper) and 2.8 mM total calcium (lower) presented in culture media. Three independent experiments for gene expression analyses were conducted and the error bars on graphs represent the standard errors of mean data collected from the three experiments (meanfSEM, n = 3; * p<0.05). 182 WT OSVDR 4 3 2 *** * 1 RANKL : OPG mRNA 0 03 9 15 24 03 9 15 24 DAYS DAYS 1.8 mM calcium 2.8 mM calcium 4 3 2 *** ** 1 RANKL : OPG mRNA 0 03 9 15 24 03 9 15 24 DAYS DAYS VEHICLE ACUTE 1,25D Appendix III. N mRNA ratios of Rankl/Opg The mRNA ratios of Rankl/Opg by WT (left) and OSVDR (right) cells, with vehicle (black lines) and acute 1,25D (1nM) (dots) treatments with 1.8 mM (upper) and 2.8 mM total calcium (lower) presented in culture media. Three independent experiments for gene expression analyses were conducted and the error bars on graphs represent the standard errors of mean data collected from the three experiments (meanfSEM, n = 3; * p<0.05, ** p<0.01, *** p<0.001). 183