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Journal of Pharmaceutical Sciences 105 (2016) 530e541

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Journal of Pharmaceutical Sciences


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Pharmaceutical Biotechnology

Addition of Monovalent Electrolytes to Improve Storage Stability of


Freeze-Dried Protein Formulations
Hiroshika Goshima 1, Kelly M. Forney-Stevens 1, Ming Liu 2, Ken K. Qian 3,
Madhusudan Tyagi 3, Marcus T. Cicerone 3, Michael J. Pikal 1, *
1
Department of Pharmaceutical Sciences, School of Pharmacy, University of Connecticut, Storrs, Connecticut 06269
2
Department of Nuclear Engineering, North Carolina State University, Raleigh, North Carolina 27695
3
National Institute of Standards and Technology, Gaithersburg, Maryland 20899

a r t i c l e i n f o a b s t r a c t

Article history: This study investigates the effect of low levels of electrolytes on storage stability in freeze-dried sucrose-
Received 17 June 2015 based protein formulations. Both bovine serum albumin and recombinant human serum albumin were
Revised 23 September 2015 freeze dried with sucrose and alkali halides (LiCl, NaCl, KCl, RbCl, and CsCl) at selected low levels. All
Accepted 5 October 2015
formulations were stored at 50 C and 65 C up to 2 months and then assayed for protein aggregation. The
Available online 30 December 2015
data demonstrate that low levels of LiCl and NaCl enhance stability. No obvious correlations with either
protein secondary structure or global dynamics (structural relaxation time) were found. However, good
Keywords:
correlations were found between stability and both free-volume hole size via positron annihilation
protein formulation
stability
lifetime spectroscopy (PALS) and fast dynamics by neutron scattering. Volume changes on mixing and
freeze drying the partial molal volume of salt were also studied in an effort to detect decreases in free volume. These
lyophilization data did not support the hypothesis that reduction in free volume was the primary mechanism for salt-
glass dynamics induced stabilization. Finally, a positive effect of postlyophilization annealing on stability was demon-
mobility strated. In summary, we find that small amounts of LiCl and NaCl significantly stabilize these proteins,
free volume which is a result at variance with conventional formulation wisdom.
PALS © 2016 American Pharmacists Association®. Published by Elsevier Inc. All rights reserved.
mean square displacement
neutron scattering

Introduction Tg but yet stabilizes disaccharide-based protein formulations sug-


gests that it is perhaps local or “fast dynamics” that is a better
Stability has historically been a challenge in protein formulation predictor of stability than Tg or global dynamics. The addition of
development, and refrigerated storage is a standard requirement. such small molecules seems to antiplasticize “fast dynamics” and
Freeze drying is commonly used to stabilize a protein product therefore stabilizes.17
nominally because drying removes the reactant water and signifi- Electrolytes are relatively common in freeze-dried formulations,
cantly immobilizes the protein system, but other stabilization as buffers and often as NaCl arising from prior purification steps.9
mechanisms may also operate.1 The first choice for the protein- However, because NaCl and buffer salts depress the collapse tem-
stabilizing agent is frequently sucrose.2-4 However, addition of perature,11 use of salts in formulations is normally restricted to very
other components to the disaccharide-based formulation has also low levels. In this study, we investigate addition of alkali chlorides,
been investigated, such as polyols, polymers, and amino acids.5-19 such as sodium chloride, as stability enhancers in sucrose-based
Nominally, polymers would seem to be good stabilizer candidates formulations. Currently, the expected effect of an electrolyte on
because they increase the glass transition temperature (Tg).1,6-8 stabilization is unclear. Some studies suggest that NaCl destabilizes
However, whether Tg is a reliable predictor of stability well below factor VIII9 and human growth hormone.10 However, another
Tg is doubtful.6 Indeed, the observation that addition of low levels of report recommended NaCl as a bulking agent for factor VIII, sug-
several small molecules, such as glycerol17 and sorbitol,5 decreases gesting that at least crystalline NaCl did not significantly damage
stability.7
The primary objective of this study was to investigate the effects
* Correspondence to: Michael J. Pikal (Telephone: þ1 860-486-3202). of amorphous electrolytes on storage stability in sucrose-based
E-mail address: michael.pikal@uconn.edu (M.J. Pikal). protein formulations. Electrolytes studied were the series of alkali

http://dx.doi.org/10.1016/j.xphs.2015.10.004
0022-3549/© 2016 American Pharmacists Association®. Published by Elsevier Inc. All rights reserved.
H. Goshima et al. / Journal of Pharmaceutical Sciences 105 (2016) 530e541 531

metal chlorides, that is, LiCl, NaCl, KCl, RbCl, and CsCl. To include proteins, a result that is at variance with conventional formulation
divalent cations and anions was judged inappropriate for the pur- wisdom.
poses of this study because those ions often have protein-specific
interactions that may significantly impact protein conformation Materials and Methods
and therefore impact stability. For example, it has been reported
that the storage stability of phosphofructokinase has been Materials
improved by adding Mg2þ,12 and coagulation factor VIII, somato-
tropin, and human serum albumin are affected by Ca2þ, Zn2þ, and Bovine serum albumin, sucrose, potassium chloride, rubidium
Cu2þ, respectively.13 Anions such as I and SCN tend to impact chloride, cesium chloride, potassium phosphate, and sodium sul-
protein structure according to the Hofmeister series, at least in fate were purchased from Sigma-Aldrich (St. Louis, MO). Lithium
aqueous solution.14,15 Hence, we used the chloride anion and chloride, sodium chloride, sodium phosphate monobasic anhy-
monovalent cations, that is, Liþ, Naþ, Kþ, Rbþ, and Csþ, for the drous, sodium phosphate dibasic heptahydrate, and potassium
purpose of studying “general effects” of ions on protein stability in phosphate monobasic were purchased from Fisher Scientific
freeze-dried solids. (Pittsburgh, PA). Recombinant HSA in sterile ultrahigh purity grade
The secondary objective was to better understand the role of was a product of Albumin Bioscience (Huntsville, AL).
electrolytes in stabilization based on two hypotheses of protein
stabilization in disaccharide matrices; one commonly discussed Preparation of Freeze-Dried Protein Formulations
mechanism is a thermodynamic stabilization mechanism, acting
by stabilizing the native conformation by having the stabilizer BSA and rHSA were dialyzed against 5-mmol/L sodium phos-
hydrogen bond to the protein as does water and is termed the phate buffer at pH 7 using a membrane with MWCO: 6-8,000
“water substitution mechanism.” Here, stabilization results from (Spectrum Laboratories, Dominguez, CA). Protein concentrations
maintaining “native-like” structure. In the present work, corre- were determined by UV-VIS spectroscopy (Cary 50 Bio, Varian) at
lations between “structure” and stability were studied using 280 nm and then filtered by 0.22 mm polyether sulfone Millex-GP
infrared spectroscopy.20,21 The other is a purely kinetic stabili- (Millipore, Billerica, MA) to prepare the protein-buffered solu-
zation mechanism which acts by suppressing molecular mobility, tions of BSA and rHSA at 50 mg/mL and 5 mg/mL, respectively.
often denoted the “glass dynamics mechanism.”3,5 Mobility was Separately, sucrose and the electrolyte, that is, LiCl, NaCl, KCl, RbCl,
studied by evaluation of both “global mobility,” as represented by or CsCl, were dissolved and also filtered before mixing with the
the structural relaxation time measured by isothermal calorim- protein solution to prepare the protein-sucrose-electrolyte solu-
etry22,23 and by evaluation of “fast dynamics” by analysis of tions at 1:1 in weight ratio for protein:sucrose with various weight
neutron scattering.16,17 A number of protein systems have been fractions of electrolyte. All percentages described in this article
studied using neutron scattering, by which one can characterize were the weight fraction or mole fraction relative to total solute
the local dynamics in the glassy solid. Generally, it has been components. After dispensed into 5-mL tubing clear glass vials
found that this local dynamics or “fast dynamics” correlates well (Schott, Lebanon, PA) and semistoppered with Daikyo Fluoroteck
with storage stability of the protein in glassy systems.16-19 In stoppers (West Pharmaceutical, Lititz, PA), lyophilization was car-
addition, recently, high-precision density measurement for glassy ried out using a laboratory freeze dryer (Dura-Stop, SP Scientific).
materials was used to characterize the system free volume, which Samples were frozen by cooling to 40 C and holding for 1 h, fol-
is potentially a predictor of molecular mobility and therefore, lowed by setting the shelf temperature to 33 C and the chamber
stability.24,25 Good correlations were found between free volume pressure to 60 mTorr (8 Pa) for primary drying. Although, given the
(i.e., density) and storage stability.3 Thus, one might expect pre- collapse temperature (Tc) is usually about 2 C higher than the glass
0
cision density measurements may be useful in understanding the transition temperature of freeze concentrate (Tg ),40 primary drying
0
role of alkali metal salts in stabilization of proteins in the glassy conditions for each formulation were designed based on each Tg in
state. To interpret variations in density in terms of free volume, an attempt to maintain the product temperature below the
we applied specific volume-based approaches; (1) volume change assumed Tc, there were some cases where the product temperature
0
on mixing and (2) partial molal volume of solute (i.e., salt) to did increase above the Tg ; yet no sign of collapse or loss of quality
evaluate free-volume changes in glassy formulations on addition was observed even in the “worst case” of 9.0% LiCl-BSA and/or
0
of electrolyte. To directly measure size of the “holes” constituting sucrose formulation with Tg of 47 C, where a maximum product
free volume, a positron annihilation lifetime spectroscopy (PALS) 
temperature of 37 C was observed. Such unconventional phe-
study26-35 was carried out. In addition, we investigated the effect nomena have also been observed in recent works.41,42 That is,
0
of “post-lyophilization-annealing,” which can be executed after collapse temperature and Tg can become high, and one may
the freeze-drying process by heating dried cakes to induce significantly exceed the collapse temperature measured by
structural relaxation36,37 or densification,25 resulting in freeze-drying microscopy and still not observe collapse when
enhancement of storage stability. This thermal treatment has freeze-drying in vials. Secondary drying was conducted at 40 C for
been found to be effective not only for stabilization of small 4 h before backfilling with nitrogen and sealing.
molecules36,38 but also for stabilization of an IgG protein,39 so it All samples freeze dried without visual collapse, and the water
was deemed of interest to determine if annealing had any impact content was determined to be less than 1% by Karl Fischer titration
on stability of formulations containing low levels of added salt. (756 KF coulometer, Metrohm).
As model proteins, bovine serum albumin (BSA) was selected The glass transition temperatures (Tg) and the changes in heat
because that is a well-investigated protein, and large amounts of capacity at Tg (DCp) were measured by Modulated DSC (Q1000, TA
protein were readily available for the experiments. Additionally, as Instrument) at 1 C/min with modulating ±0.5 C every 100 s.
a highly purified protein was desirable in the protein aggregation Samples were compressed into thin disks and placed in hermeti-
stability studies, recombinant human serum albumin (rHSA) was cally sealed aluminum pans. All sample handling was carried out in
used for the purpose of “validation” of the BSA results. Monovalent a dry bag continuously purged with dry nitrogen or air (relative
electrolytes in various amounts were colyophilized with a 1:1 humidity <3%). Glass transition temperatures were taken as the
weight ratio of protein to sucrose. We found that small amounts of midpoint of the heat capacity shift. To confirm amorphous before
LiCl and NaCl, that remain amorphous, significantly stabilize these and after storage, powder X-ray diffraction (PXRD; AXS D2 Phaser,
532 H. Goshima et al. / Journal of Pharmaceutical Sciences 105 (2016) 530e541

Bruker) was used because cubic crystal structures, such as sodium Table 1
chloride, do not show birefringence with polarized light Density of the BSA-Sucrose (1:1) Formulation

microscopy. Value (g/cm3) SD (g/cm3) Average (g/cm3) Standard Error (g/cm3)

1.3849 0.0034
Stability Studies 1.3859 0.0010
1.4051 0.0026
1.3820 0.0011 1.3915 0.0036
The BSA samples were stored at 50 C and 65 C for 2 months and
1.3980 0.0012
1 month, respectively, whereas the rHSA samples were stored at 1.3930 0.0016
50 C for 1.5 months. Samples were taken at selected times for assay.
For the annealing study, freeze-dried rHSA samples were annealed
at 75 C for 13 h before storage, and stored at 50 C for 1.5 months
ampoule, which was tightly sealed to avoid moisture exposure. The
with nonannealed samples as a reference or “control.” Storage
sample ampoule was introduced into the calorimeter controlled at
stability was evaluated by determining the increase in protein
40 C and the heat flow was measured for 72 h. The modified
aggregate as a function of the storage time. Size exclusion chro-
stretched exponential (MSE) function was fit to the data instead of
matography was performed using a TSKgel G2000SWXL column
using the Kohlrausch-Williams-Watts (KWW) equation to avoid
(7.8 mmID  30 cm, 5 mm, Tosoh Bioscience) to determine the
errors near t ¼ 0.22,23 The MSE equation can be expressed for power
percentage of aggregate at each time point. Freeze-dried samples
(heat flow), P (mW/g), with time in hours, as follows.
were reconstituted with purified water and appropriately diluted
and filtered before injection. All reconstituted samples were visu-      
ally clear after reconstitution. A mobile phase of sodium phosphate Tg  T $DCp b$t t b2
P ¼ 277:8  $ 1þ $ 1þ
buffer at pH 7 with NaCl was used for BSA samples, whereas po- t0 t1 t1
"    b1 #
tassium phosphate buffer at pH 7 with Na2SO4 was used for rHSA t t
analysis. The flow rate of 1 mL/min and the detection system by UV exp   1þ (2)
t0 t1
absorbance at 280 nm were used. The precision for a given sample
as well as between replicate samples was ±0.1%.
1=b ðb1Þ=b
tD ¼ t0  t1 (3)
Characterization of Protein Structure in Freeze-Dried Solid (Fourier
transform infrared spectroscopy [FTIR]) We evaluated values of effective KWW-stretched relaxation
time, tbD as this parameter is more robust and not as sensitive to
Secondary structure of the protein in the solid state was inves- systematic error as the effective KWW structural relaxation time,
tigated using a Nicolet Magna-IR system 560 spectrometer. Atten- tD.22
uated total reflectance (ATR) spectra were collected using a single
bounce, diamond crystal accessory because direct observation
without sample preparation is possible, and strong peak intensity is
obtained with a relatively small amount of sample.20 Freeze-dried
samples were moderately crushed under low-humidity condition Density Measurement by Gas Pycnometer
(<3% relative humidity) and quickly placed on the stage and
scanned 128 times at a resolution of 4 cm1. As the fast analysis Densities of freeze-dried samples were measured using an
time did not allow objectionable uptake of water, scans were run in AccuPyc 1330 helium pycnometer (Micromeritics, Norcross, GA) as
ambient condition. Raw spectra were baseline corrected using the described in previous literature.45 Calibration with a standard iron
Advanced ATR Correction.43 Second derivative spectra were created sphere of known volume followed by a verification run using
using OMNIC software (Thermo Nicolet, Madison, WI); the spectra crystalline sucrose of known density was performed before sample
were baseline corrected and area normalized over the amide I re- measurement for each day. The measured value was checked for
gion (1600-1700 cm1).20 The spectrum of native structure was consistency with the density of crystalline sucrose, 1.5854 ± 0.0048
evaluated by running the protein in a buffer solution. The similarity g/cm3.25 Otherwise, the sample cup which was dried overnight at
of spectra to the native was quantitated by using the area of overlap 65 C to completely eliminate moisture was exchanged, and the
method, as described in the literature.21 The width of the alpha runs were repeated. Once the accuracy of measurement was veri-
helix peak at half height, or full width at half maximum (FWHM), as fied, the sample powder was loaded in a sample cup, the inner and
a measure of structure that was recently suggested44 was calcu- outer surfaces of which were cleanly wiped to insure freedom from
lated based on curve fitting of the peak to the Gaussian function: particulates remaining. As freeze-dried materials were mostly
bulky and fluffy, repeated compression of the powder with a metal
( ) qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
ðx  bÞ2 rod was needed to load the desired amount of the sample. After
when; f ðxÞ ¼ a$exp  2
; FWHM ¼ 2c$ 2$lnð2Þ; confirming all surfaces of the cup being clean, the sample was
2c
placed in the chamber where helium gas of 134 kPa (19.5 psig) was
(1) filled and then equilibrated till not more than 34 Pa/min (0.005
psig/min) to give a density value by taking an average of 20 mea-
where a, b, and c represent fitting parameters. surements. The density value for amorphous sucrose was obtained
as 1.4988 ± 0.0021 g/cm3, which was consistent with the published
Investigation of Global Glass Dynamics by the Thermal Activity data.25 In addition, the density of the “base” BSA-sucrose formu-
Monitor (TAM) lation (no salt) was measured six times for different vials. As
summarized in Table 1, we obtained the average value of
Enthalpy relaxation is a measure of global dynamics and was 1.3915 g/cm3, with standard error of 0.0036, which was the same
directly measured by isothermal calorimetry (TAM model 2277, precision as found in the previous study (standard error ¼ 0.0036
Thermometric, Sweden). Working in a dry box, samples of about for amorphous sucrose),25 suggesting that the measurement pro-
200 mg were appropriately crushed and put into the stainless steel cedures are reliable for our protein-sucrose materials.
H. Goshima et al. / Journal of Pharmaceutical Sciences 105 (2016) 530e541 533

0
Analysis of Density Values to Characterize Free Volume 0 vFv 0 0
V2 ¼ w2 $ þ Fv ; and when Fv
vw2
When comparing densities in a series of samples with variable 0 0
chemical composition with the intent to compare trends in free ¼ intercept þ slope$lnðw2 Þ; V2 ¼ slope þ Fv (7)
volume, much if not most of the density variation can arise from
If there is a loss of free volume by adding a salt, the apparent
variation in atomic density, particularly for systems containing
specific volume should be less than the molar volume of the pure
heavy metal atoms, such as cesium. To avoid the variable atomic
salt, which we take as the salt in the crystalline form. To generate
density problem, we use density data to evaluate volume changes
partial molal volume data, Equation 7 was used. The slope of the
on mixing and apparent molal volumes and examine these data for
linear plot of apparent specific volume versus ln(w2) was com-
trends that might suggest changes in free volume, as previously
bined with the value of apparent specific volume calculated from
discussed.45 With specific volume denoted as, v0, and given by the
0 the density (Eq. 6), to generate the partial specific volume. The
reciprocal of density, d, the volume change on mixing, Dvmix , may
partial molal volume is simply the product of the partial specific
be written,
volume and the molecular weight of the solute (i.e., the salt).
Uncertainties in the calculated partial molal volumes were esti-
X   
0 0
Dvmix ¼ v0  v0 ¼ ð1=dÞ  wi $ 1 di;0 (4) mated from the standard error in the slope and the standard
i
error in the calculated apparent specific volume, using standard
propagation of errors methodology. As previously noted by
Chieng,45 the relation between partial molal volume and volume
0
where, v0 is the sum of the specific volumes of the pure compo-
nents i, with weight fraction of wi and its density of di,0. The vol- change on mixing may be given by,
umes of the atoms themselves, or van der Waals volumes, will then
0
cancel when forming the difference between final volume of the 0 0 0 Dvmix
fv ¼ v2* þ v2;0
F
þ (8)
mixture and the sum of the volumes of the individual components w2
in their pure states. Therefore, the change in specific volume on
mixing of two components may be related to free volume, v0 F by, That is, the qualitative trends for apparent specific volume and
volume change on mixing must be the same.

0 0 0 0
Dvmix ¼ v F  w1 $v1;0
F F
 w2 $v2;0 (5)
0
Positron Annihilation Lifetime Spectroscopy Measurement
where, vi;0F denotes specific free volume of component i in pure

state, and thus, the free volume in the mixture may contain changes PALS can be used as a means of direct measurement of size of
in free volume of both components when mixed. If free volume is the free-volume “holes” in the amorphous solid. Recent studies
reduced in the mixture relative to sum of the pure components, the have been expanding applications of PALS for pharmaceutical
volume change on mixing should be negative. In our study, we take materials.29,31 The measurement is based on analyzing lifetime and
component 1 as a BSA-sucrose matrix (or “solvent”) and compo- intensity of positronium, which in principle are sensitive to size and
nent 2 as a salt (or “solute”). In addition, at least as a first approx- concentration of free volume in a material.28 PALS methodology
0
imation, we can neglect the v2;0 F because the pure salt is the and procedure of measurement were briefly discussed previ-
crystalline form with (nominally) essentially zero free volume. This ously.45 Each of the collected spectra was best fitted with 3 positron
means loss of free volume in the systems corresponds to the loss of lifetimes with the third lifetime and its intensity attributed to the
free volume of the protein-disaccharide matrix, which should annihilation of positronium. The mean pore diameter was calcu-
produce a less mobile matrix and therefore, perhaps provide sta- lated based on the Tao-Eldrup model which uses the assumption of
bilization. One might argue that we need to use the specific volume spherical microvacancies.26 The measurement was repeated 3
of the pure amorphous salt instead of the crystalline salt because times per formulation.
the salt is not crystalline in the mixture. However, such data are not
readily available. Using amorphous salt as the “baseline” would of
course systematically lower volume changes on mixing.
As another method to characterize free-volume changes from Neutron-Scattering Measurements
measured densities, we may evaluate the partial molal volume of
the “solute”, or in our case, the salt dissolved in the protein:sucrose The high-flux backscattering spectrometer at NIST Center for
solvent. The partial molal volume is the volume change of the Neutron Research was used to measure <u2> as a function of
system when one mole of solute is added to an infinite amount of temperature. In the neutron-backscattering experiment, samples
solvent. A comparison of the partial molal volume to the molar were probed by incident neutrons with wavelength of 6.271 Å
volume of pure salt then allows an assessment of loss of free vol- and kinetic energy of 2.08 meV with 0.85 meV full width at half
ume in the solvent on addition of solute. We may calculate apparent maximum energy resolution. Powders of freeze-dried samples at
specific volume of component 2 (i.e., salt) in the mixture, denoted approximately 400 mg each were spread onto aluminum foil
0
Fv , with total volume of the mixture (V), volume of component 1 in and then loaded into aluminum sample cells. The sample cells
pure state (V1,0), and mass of component 2 (m2). were hermetically sealed with indium o-rings and tightened
with aluminum screws. The procedure was performed inside of
a helium glove box at room temperature, where the relative
0 V  V1;0 humidity was approximately 0.1% to prevent absorption of
Fv ¼ ; or when the total mass is 1 gram;
m2 moisture by lyophilized powders. The high-flux backscattering
   spectrometer was operated in the fixed-window scan mode with
0 ð1=dÞ  w1 , 1 d1;0
Fv ¼ (6) the samples cooled from 324 K (51 C) to 4 K at 0.7 K per
w2
minute. The elastic scattering intensity was analyzed to extract
0
The partial specific volume of salt ðV2 Þ is calculated from the <u2>, same as previously described.45 All samples were kept
apparent specific volume data from the relationship, at 20 C before use.
534 H. Goshima et al. / Journal of Pharmaceutical Sciences 105 (2016) 530e541

Figure 2. A plot of the linearity observed for aggregation behavior as a function of


square root of time (n ¼ 1); open circle and broken line, rHSA-sucrose-CsCl (2.4%)
formulation stored at 50 C; filled circle and solid line, rHSA-sucrose formulation (no
salt) stored at 50 C; and square and thin line, HSA-sucrose-NaCl (11%) formulation
stored at 50 C. Error bars are not given because only one independent measurement
Figure 1. X-ray diffraction patterns of the BSA-sucrose-NaCl formulations with was made for each time point due to limited sample available. Assay errors are nor-
different amounts of electrolyte and after different storage temperatures after a month mally about ±0.1%.
(1M); the crystalline peak at about 32 indicates crystallization of NaCl; the percent-
ages and the temperatures give the weight fraction of NaCl and the storage temper-
ature, respectively. NaCl, and KCl, and at 65 C, both LiCl and NaCl significantly
improved stability. As the fraction of electrolyte increased, stability
monotonically improved until about 10% for LiCl, NaCl, and KCl. For
Results and Discussion
KCl at 50 C and NaCl at 65 C, the data show a well-defined mini-
mum in rate constant around 10% salt (relative to total solids). We
Crystallization of Electrolyte
suggest the lack of a large stabilization effect above 12.2% with KCl
is due, at least in part, to KCl crystallization both initially and during
Because the electrolyte needs to be molecularly dispersed (here,
the stability test. Crystallization likely also explains the loss of
likely as an ion-pair perhaps involving charged groups on the
stabilization noted for the 16.6% NaCl sample at 65 C (Fig. 3b). It is
protein) in a single amorphous phase composed of protein and
obvious that RbCl and CsCl had no positive effect on stabilization.
sucrose to impact stability, it was necessary to examine the samples
The level of aggregation in our starting BSA was about 12%, and
for salt crystallization, both before and after storage. Figure 1 shows
to ensure that this high level of initial aggregation does not seri-
the XRD patterns for 12.9% and 16.6% NaCl in the BSA formulations
ously impact the rate constants for further aggregation and impact
after storage. Although no crystalline peak was found in BSA:NaCl
the conclusions outlined previously, we performed equivalent
systems before storage, we observed crystalline NaCl in 12.9% NaCl
stability studies with the highly purified protein, rHSA, where the
after 65 C, and in 16.6% NaCl at both 50 C and 65 C after one
initial aggregate was 0.36% (SD ¼ 0.04), to provide “validation” of
month. Using peak intensity as a measure of degree of crystalliza-
our surprising results with BSA, indicating that salt addition can
tion, we conclude that crystallization is most complete in the 16.6%
stabilize proteins. The rate constants obtained for rHSA were
sample at 65 C, followed by the 16.6% sample at 50 C, with lower
similar to those obtained for BSA, and the qualitative conclusions
but still significant crystallization in the 12.9% sample at 65 C.
are much the same; addition of salts can stabilize. The modest
Greater crystallization at higher concentration and higher tem-
difference in rate constants and maximum stabilization obtained
perature is expected. For 12.2% or more KCl in the BSA formulations,
may be due to the increased level of aggregation in the starting BSA
crystallization of KCl was observed even before storage (data not
sample or may simply reflect the difference between the 2 proteins.
shown). All other formulations were confirmed as X-ray amor-
Thus, we do conclude that, at least for these sucrose formulations of
phous initially and throughout storage (data not shown).
serum albumins, addition of monovalent electrolyte such as LiCl
and NaCl can improve storage stability. Because all salts investi-
gated were chloride salts, the stability differences obviously reflect
Effect of Electrolyte on Protein Aggregation
differences in the cations.
Protein aggregation for all the formulations followed square root
of time kinetics, as normally seen in amorphous solids.5 Figure 2 Destabilization Above Tg
illustrates the linearity in the plot of the percentage of aggregate
as a function of the square root of storage time. The rate constants Attention should be paid to the Tg in amorphous formulations
of aggregation were determined by fitting the square root of time because the mobility and likely also stability will dramatically
degradation equation to the stability data, and the resulting rate change for samples stored near or above the glass transition re-
constants are shown in Figure 3 as a function of salt content. With gion.1,8 Thus, the storage temperature is normally maintained
BSA formulations, stability at 50 C was improved by adding LiCl, significantly below Tg. The effect of electrolyte on the Tg in the solid
H. Goshima et al. / Journal of Pharmaceutical Sciences 105 (2016) 530e541 535

Figure 3. Effect of electrolyte on storage stability by plotting the rate constant against the weight fraction of electrolyte; (a) BSA-sucrose-electrolyte formulations stored at 50 C for
2 months, (b) BSA-sucrose-electrolyte formulations stored at 65 C for 1 month, (c) rHSA-sucrose-electrolyte formulations stored at 50 C for one and half a month; Error bars show
standard error of the rate constant. LiCl (diamond); NaCl (square); KCl (triangle); RbCl (filled circle); CsCl (open circle).

state is given by the data in Table 2. Note that the water contents are between the protein structure and the stabilizing effect of elec-
all very low, less than 1%, so water contenteinduced variations in Tg trolyte. As summarized in Table 2, there were no large differences
between samples are not significant in the context of this discus- between the electrolytes; the range of variation in the area of
sion. Although LiCl increased the Tg, the impact of NaCl is minimal. overlap was 0.74-0.82 for BSA formulations and 0.70-0.79 for rHSA
Other electrolytes reduced Tg, the amount of decrease depending formulations, with no obvious correlation with protein stability. As
on the weight fraction. For KCl at 9.1%, the midpoint Tg was well, the width at half height of the alpha helix peak band (FWHM
decreased to 74 C. Here, the onset Tg was 66 C, which is very close in Table 2) did not indicate any systematic relationship between the
to the storage temperature of 65 C. These trends may arise from conformation and the stability; the FWHM varied “randomly” in
charge density differences between the cations and thus reflect the the range of 12.1-15.2 cm1 for the different formulations.
impact of electrostatic interactions on Tg. It seems likely that the
poor stability of the KCl systems at 9% KCl and higher is a result of
Global Mobility by TAM
the proximity to the glass transition and the enhanced mobility at
these conditions. As previously demonstrated, Tg is a significant
The effect of electrolyte on global mobility below Tg has been
factor to be considered for design and interpretation of storage
studied in the BSA formulations. Stretched relaxation times ob-
stability studies.1,8 In the following discussions, we focus on con-
tained using the MSE equation are summarized in Table 3. Before
ditions where the formulations are stored well below Tg.
data analysis, it was confirmed that no crystallization of electrolyte
occurred during the measurement (i.e., at 40 C for 72 h). The un-
Secondary Structure of Protein by FTIR certainties given are standard errors evaluated from the replicate
runs, normally duplicates. Most of the differences are within the
By comparing the similarity of the protein structure in the solid sum of standard errors and are obviously not significant. The
to the native structure, the effect of electrolyte on the protein relaxation time showed no significant trend with increasing salt
conformation in the solid was investigated. Figure 4 shows second with only two possible exceptions. For both LiCl and KCl at 9%, there
derivative spectra for the rHSA formulations. Analysis of the spec- seemed to be a small decrease in relaxation time that corresponds
troscopic data and stability data did not reveal any relation to a small systematic increase in molecular mobility. However,
536 H. Goshima et al. / Journal of Pharmaceutical Sciences 105 (2016) 530e541

Table 2
Effect of Electrolytes on the Glass Transition Temperatures (Tg) and the Changes of Heat Capacity at Tg (DCp) for the Protein Formulation Including Sucrose and Different
Electrolytes

Formulation Electrolyte (%w/w) Tga ( C) DCpb (J/g$K) Area of Overlap FWHM (cm1)

BSA and sucrose (1:1) N/A 0 90 0.38 0.77 13.7


LiCl 2.4 91 0.41 0.79 12.4
4.8 94 0.40 0.80 12.9
6.9 94 0.40 e e
9.0 100 0.35 0.82 14.1
NaCl 2.4 94 0.31 0.81 13.1
4.8 92 0.39 0.76 12.2
6.9 88 0.45 e e
9.0 95 0.50 0.80 13.2
11.1 93 0.40 0.77 13.2
13.0 97 0.40 0.78 13.2
16.6 91 0.31 0.79 13.6
KCl 2.4 87 0.49 0.74 12.8
4.8 86 0.40 0.77 12.8
6.9 78 0.42 e e
9.1 74 0.39 e e
RbCl 2.4 93 0.30 e e
9.0 86 0.34 e e
CsCl 1.0 93 0.36 0.75 12.1
2.4 87 0.32 0.81 13.9
4.7 89 0.32 0.76 12.6
9.1 83 0.26 0.78 12.2

Formulation Electrolyte (%w/w) Tgc ( C) DCpc (J/g$K) Area of Overlap FWHM (cm1)

rHSA and sucrose (1:1) N/A 0 91 0.28 0.76 12.1


LiCl 2.4 88 0.33 0.78 13.0
4.7 89 0.29 0.71 13.0
7.0 95 0.28 0.76 13.3
NaCl 2.4 89 0.37 0.73 13.3
4.7 89 0.29 0.71 12.9
7.0 91 0.35 0.70 12.6
9.0 89 0.37 0.70 14.6
11.0 82 0.35 0.79 13.1
KCl 2.4 83 0.41 0.76 12.6
6.9 82 0.33 0.78 12.9
RbCl 2.4 87 0.30 0.71 15.2
6.9 83 0.27 0.71 15.1
CsCl 2.4 88 0.30 0.73 13.1
6.9 82 0.28 0.79 12.9
a
The maximum standard deviation was ±2.6 C.
b
The maximum standard deviation was ±0.50 J/g$K.
c
Analysis was not repeated due to limited sample amount.

these changes are very minor, as well as uncorrelated with stability, Figure 5a, particularly for LiCl, NaCl, and KCl. Because all values
likely due to scatter in the data, and we conclude that the stabili- must be zero at zero molal, the shape of the curve must actually
zation effect by electrolyte cannot be attributed to changes in global be “S-shaped,” with a maximum around 0.5 molal and a distinct
dynamics. Recent studies suggest that global mobility in the glass minimum around 1.5-2.0 molal, at least for LiCl, NaCl, and KCl. Of
matrix often does not correlate well with global mobility, at least course, uncertainty in the data is significant, and had we used
0
well below the Tg.3,5 amorphous densities for the pure salts to calculate Dvmix , the
entire curve would be displaced lower (amorphous densities are
Effect of Electrolyte on Density and Its Interpretation as Free-Volume not available). However, this complex shape with both a
Change maximum and minimum would not be changed and therefore
seems to be real. Evidently, a low concentration of salt introduces
Table 4 summarizes the density data, the volume change on some free volume, but then higher levels decrease free volume
mixing the salt with the base BSA-sucrose system, true, and the until the minimum. Part of the explanation of the trend past the
calculated partial molal volumes. As expected, density increased as maximum at about 0.5 mol may involve the concept of two types
the amount of salt increased because adding salt means adding of free volume, as discussed for polymers32-35; one type of free
atoms with high atomic density. volume is multidimensionally interconnected spaces, where the
To characterize changes in free volumes, we examined volume size becomes relatively large. This type of free volume is observed
change on mixing and partial molal volume. Volume changes on in polymer crystals and termed “interstitial free volume.” The
mixing are plotted against molality in Figure 5a. Volume change other appears as many discrete and irregularly shaped holes due
on mixing should be negative if the free volume of the protein- to disordered packing in the amorphous phase. That is usually
disaccharide matrix decreases with addition of salt. Values are called “local free volume,” also denoted as “holes.” The scale of
very small (within almost ±0.010 cc/g), with an apparent slight the local free volume is subnanometer, being too small to
0
“V-shape” trend. However, given the definition of Dvmix , this contribute significantly to the transport of whole molecules, but
value must approach zero as the concentration of added solute some holes can affect the mobility of chain segments of the
(i.e., salt) approaches zero. This appears not to be the case in polymer.32,33 We note that the local free volume has been studied
H. Goshima et al. / Journal of Pharmaceutical Sciences 105 (2016) 530e541 537

Table 3
Effect of Electrolyte on the Structural Relaxation Time in the BSA-Sucrose-Electrolyte
Formulation at 40 C, Best Fit by MSE Equation

Electrolyte %w/w b tbD

None 0.0 0.26 22 ± 3


LiCl 2.4 0.22 25 ± 5
4.7 0.26 21 ± 2
6.9 0.25 19 ± 3
9.0 0.23 17 ± 0.1
NaCl 2.4 0.31 21 ± 3
4.7 0.23 25 ± 4
6.9 0.23 20 ± 3
KCl 6.9 0.30 17 ± 0.5
9.1 0.28 13 ± 1
RbCl 2.4 0.27 22 ± 4
9.0 0.28 20 ± 3
CsCl 1.0 0.23 24 ± 2
4.7 0.33 24 ± 1

mixing and partial molal volume are related by Equations 7 and 8,


and of course the same density data are used to evaluate each
0
quantity, similarity in trends for Dvmix and partial molal volume are
expected. Partial molal volume is volume occupied by one mole of
salt when added to an “infinite” volume of the BSA-sucrose system.
Partial molal volume may be less than the molar volume of crys-
Figure 4. Second derivative FTIR spectra of rHSA. Native structure refers to the spec- talline salt (with zero free volume) if free volume of system is
trum of the protein in phosphate buffer solution at pH 7.0. All other samples were
decreased on addition of salt. Around the minimum in partial molal
freeze-dried solid of rHSA-sucrose-electrolyte formulation; the fraction and the sort of
the electrolyte were written in the graph.
volume, for LiCl, NaCl, and KCl, the partial molal volume is less than
the molar volume of the crystalline salt. However, for RbCl and CsCl,
the partial molal volumes decrease below the crystalline molar
using PALS.32-35 In the next section, we show some PALS data volume at much lower concentrations. Figure 6 compares partial
obtained for three of our formulations. molal volumes, molar volumes of crystal and (estimated) glassy
As seen in Figure 5b, the partial molal volume of salt decreases salt, and stability at 9% salt, which is near the concentration of
as salt is added for all systems, and at least for LiCl, NaCl, and KCl, maximum stabilization for those salts that stabilize. Density of the
passes through a shallow minimum around 1.5-2.0 mol, similar to glass was estimated at 17% less than the corresponding crystal
the volume changes on mixing. Because the volume change on density, as for silica versus quartz. Partial molal volumes for LiCl,

Table 4
Effect of Electrolyte on Density, Volume Change on Mixing, and Apparent Specific Volume of Electrolyte, in BSA:Sucrose Formulations; the Measurement Was Repeated
At Least 2 Times
0 0
Formulation; BSA:Sucrose (¼1:1) :Salt Salt (wt%) Density (g/cm3) Dvmix (cc/g) Fv (cc/g)

Average SD ±SD ±SD

N/A 0 1.3915 0.0089 e e


LiCl 2.4 1.3814 0.0069 0.008 ± 0.004 26 ± 0.3
4.8 1.4025 e 0.003 14
6.9 1.4168 0.0010 0.001 12 ± 0.3
9.0 1.4089 0.0057 0.010 ± 0.003 16 ± 1.4
NaCl 2.4 1.3852 0.0001 0.006 36 ± 0.2
4.8 1.3954 0.0004 0.007 30 ± 0.3
6.9 1.4284 0.0007 0.004 18 ± 0.3
9.0 1.4328 0.0002 0.000 21 ± 0.1
11.1 1.4329 0.0069 0.005 ± 0.003 23 ± 1.8
13.0 1.4377 0.0052 0.007 ± 0.003 24 ± 1.1
16.6 1.4460 0.0026 0.013 ± 0.001 25 ± 0.4
KCl 2.4 1.3905 e 0.003 20
4.8 1.3990 0.0088 0.003 ± 0.004 19 ± 3.5
6.9 1.4283 0.0057 0.006 ± 0.003 13 ± 1.5
9.1 1.4392 0.0004 0.007 13 ± 0.1
12.2 1.4583 0.0004 0.009 13 ± 0.1
14.8 1.4614 0.0016 0.005 ± 0.001 15 ± 0.2
16.7 1.4469 e 0.006 17
RbCl 2.4 1.4036 0.0021 0.001 ± 0.001 40 ± 5.3
4.8 1.4231 0.0054 0.002 ± 0.003 38 ± 6.7
9.1 1.4583 0.0075 0.004 ± 0.004 38 ± 4.7
CsCl 1.0 1.3787 0.0071 0.008 ± 0.004 120 ± 65
2.4 1.3881 0.0025 0.010 ± 0.001 50 ± 9
4.7 1.4109 0.0086 0.009 ± 0.004 13 ± 15
9.1 1.4679 0.0016 0.002 ± 0.001 16 ± 1

Density of crystalline salt: LiCl, 2.07 g/cm3; NaCl, 2.17 g/cm3; KCl, 1.988 g/cm3; RbCl, 2.8 g/cm3; CsCl, 3.988 g/cm3.46
538 H. Goshima et al. / Journal of Pharmaceutical Sciences 105 (2016) 530e541

Figure 5. (a) Volume change on mixing versus molality (mol/Kg-solvent); LiCl (diamond); NaCl (square); KCl (triangle); RbCl (filled circle); CsCl (open circle). (b) Partial molal
volume of salt (symbols) and each molal volume of crystal (short bars); LiCl (diamond); NaCl (square); KCl (triangle); RbCl (filled circle); CsCl (open circle). The short heavy bars
represent the molal volume of the crystalline salts, in order of LiCl, NaCl, KCl, CsCl, and RbCl (from bottom to top).

NaCl, KCl, and RbCl are slightly less than crystalline molal volume, In Figure 7, the correlation of the PALS parameters with stability
but differences are almost within standard errors. The partial molal is illustrated. There is a good correlation of mean pore diameter of
volume for CsCl is much less than molar volumes of either glass or the free volume with storage stability (R2 > 0.96), and the corre-
crystal. Rate constant for degradation increases in the order, LiCl < lation is sensible, at least in the series of the salt systems studied.
NaCl z KCl < RbCl z CsCl, the latter two salts having essentially the However, no monotonic relationship was observed between in-
same degradation rate as the system without any salt. Thus, tensity and stability. As PALS gives a direct measurement of rela-
although in several cases, addition of salt causes loss in free volume, tively small free volume (subnanometer), PALS provides a different
particularly for CsCl, this salt has no impact on stability. Thus, it is assessment of free volume than what is provided by density. That is,
clear, from analysis of both the volume changes on mixing and the PALS counts not all “free volume,” and it is the size of the “holes”
partial molal volumes that the impact of free volume as assessed by that is measured. Density (nominally) measures all free volume
density measurements is not related in any simple way to stability. accessible to helium in the gas pycnometric measurement.
Although more extensive data are needed for a definitive conclu-
sion, it does appear that PALS data may provide meaningful infor-
Free-Volume Measurements by PALS
mation on free volume that is critically linked to long-term stability
in the glassy formulations.
Physical parameters collected from PALS measurement are
summarized in Table 5. The positron lifetime as well as the mean
diameter of the free-volume pores, both of which have the same Fast Dynamics by Neutron Scattering
trend because d3 was directly derived from t3, are given. The
standard error of the triplicate data was 0.02 ns for t3. The intensity Based on previous studies,3,45 we would expect a better corre-
data are given because intensity is approximately related to the lation between stability and fast dynamics, measured by neutron
number density of “holes.” Here, we assume, as is conventional, scattering, than with global dynamics, as measured by enthalpy
that the positron lifetime is not very sensitive to chemical sur- relaxation time. This is exactly what we observe. Results from the
roundings of the vacancy and mainly reflects free-volume pore neutron scattering experiments with the rHSA:sucrose system
sizes.30,31 Although the relationship can be complex and intensity without salt and with 7% LiCl or with 7% CsCl are given in Figure 8.
may be impacted by other factors as well,30 the qualitative trend The vertical axis gives the mean square amplitude of motion on a
itself of the lifetime would not be impacted. nanosecond timescale, mostly by hydrogen-bearing groups of
atoms, and the horizontal axis is temperature. It should be noted
that the formulation without salt and the formulation with CsCl
added have essentially the same fast dynamics by this measure, but
the formulation with added LiCl shows much lower mean square
amplitude of motion, particularly in the range of room temperature
to the storage temperatures used in the stability studies conducted
in this study. The meaning is simply that the addition of LiCl
dampens the fast dynamics, or antiplasticizes mobility on the
nanosecond timescale. Note that the stability data for BSA and rHSA
systems (Figure 3) are well correlated with the fast dynamics re-
sults. Addition of LiCl stabilizes but addition of CsCl either has no
systematic effect (BSA) or destabilizes somewhat (rHSA). The PALS
data (Table 5, Figure 7) also show a trend of hole size with these

Table 5
Positron Lifetime, Intensity, and Calculated Mean Diameter of Free Volume by PALS;
the Measurement Was Repeated Three Times (±0.02 ns)

Sample t3 (ns) I3 (%) d3 (nm)


Figure 6. Comparison of properties at 9% salt: partial molal volume, molar volumes of
rHSA-sucrose (1:1) 1.644 10.5 0.495
pure crystal and glass, and 10 times the aggregation rate constant at 50 C. Filled bars,
rHSA-sucrose (1:1)-9% CsCl 1.667 8.2 0.500
partial molal volume; heavy stripe, molar volume crystal; light stripe, estimated molar
rHSA-sucrose (1:1)-9% LiCl 1.592 7.5 0.484
volume amorphous; open bar, 10 rate constant for aggregation at 50 C.
H. Goshima et al. / Journal of Pharmaceutical Sciences 105 (2016) 530e541 539

reduction commonly occurs at about 15 C-20 C below Tg.37,38 The


annealing temperature used reflects this expectation in that the
annealing temperature of 75 C averages 17 C below the Tg for the
samples studied. Figure 9 illustrates the result of the annealing
study, which was conducted for 9% LiCl, 9% NaCl, and 9% CsCl sys-
tems using rHSA. Rate constants were calculated from a series of
assay data by linearly fitting the equation for square root of time
kinetics to the aggregation data. Clearly, an impact of annealing on
protein stability was observed (Fig. 9) for all systems studied except
the 9% LiCl system. For the LiCl system, annealing did not decrease
the rate constant for degradation, perhaps because the stabilization
effect of LiCl is already superior to that of the other salts and
therefore has already reached a physical state where there might be
no room for additional stabilization. For annealed samples, the
order of stability was NaCl z LiCl > None > CsCl, which was
completely consistent with the stability study data set shown in
Figure 3. Hence, this study has demonstrated that not only can
addition of small amounts of LiCl and NaCl improve protein stability
in sucrose-based formulation, but further enhancement of storage
stability may be obtained by annealing operations.

Conclusions
Figure 7. Correlation of mean diameter of the local free volume with aggregation rate
constant. Open squares, intensity (I3 ÷ 5); filled circles, diameter (d3  3). Rate con- This study has demonstrated that the addition of monovalent
stants were estimated from those for 7% salt formulations.
electrolytes (alkali chlorides) to sucrose-based protein formula-
tions can improve storage stability. The variations of aggregation
systems that is consistent with the fast dynamics results and sta- rate could not be rationalized by either protein secondary structure
bility. That is, small hole size is associated with smaller mean using FTIR or global glass dynamics detected by TAM. Changes in
square amplitude of motion and better stability. Perhaps, the cor- free volume measured by volume changes on mixing and partial
relation with fast dynamics and/or PALS hole size data arises molal volumes of salt in the protein:sucrose systems suggested
because of differing electrostatic interactions due to different ion decreases in free volume for some systems, but those changes in
size or is a reflection of “optimal volume” in modifying free volume. free volume were not well correlated with the impact of the salts on
However, the detailed mechanism is not clear. stability. In an attempt to correlate stability with an alternate
measure of free volume, PALS measurements were carried out to
examine the correlation between stability and the mean diameter
Annealing Effect on Protein Stabilization in Salt Systems of free-volume holes, as calculated from the lifetime of positro-
nium. Although the data set is sparse, hole size was well correlated
After and/or during the drying process, samples that are held at with stability data in the series: LiCl, CsCl, and no salt formulation,
a given temperature, ambient or above but below Tg, can result in suggesting that the relatively small and local free volume as
significant “annealing effects,” thereby producing a significant
decrease in global mobility as well as significant stabilization
against degradation.39 The maximum annealing effect for mobility

Figure 9. Results of annealing study with rHSA- and/or sucrose-based formulation.


Annealing was conducted at 75 C for 13 h (black bars), which was compared with
Figure 8. Mean square amplitude of motion on a nanosecond timescale from neutron- nonannealing samples (white bars). Each value of subtracting storage temperature
scattering experiments. Key: 1, rHSA-sucrose (1:1); 2, rHSA-sucrose (1:1) þ 7% LiCl; 3, from Tg for each formulation was calculated using BSA and/or sucrose formulations;
rHSA:Sucrose (1:1) þ 7% CsCl. 15 C, 20 C, 8 C, 25 C, for none, 9% NaCl, 9% CsCl, 9% LiCl, respectively.
540 H. Goshima et al. / Journal of Pharmaceutical Sciences 105 (2016) 530e541

measured by PALS hole size may be a good predictor of storage 16. Cicerone MT, Tellington A, Trost L, Sokolov A. Substantially improved stability
of biological agents in dried form: the role of glass dynamics in preservation of
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