Kai-chao Feng 1 *, Ye-lei Guo 2 *, Han-ren Dai 2 *, Yao Wang 2, Xiang Li 3, Wei-dong Han 2 *Contributed equally.

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The EGFR-targeting Chimeric Antigen Receptor-Modified T Cells Immunotherapy for Patients with EGFR-Expressing Advanced, Relapsed/Refractory Solid Tumors Kai-chao Feng 1 *, Ye-lei Guo 2 *, Han-ren Dai 2 *, Yao Wang 2, Xiang Li 3, Wei-dong Han 2 *Contributed equally. Correspondence to: Prof Wei-Dong Han, MD Department of Immunology/Bio-therapeutic, Chinese PLA General Hospital China, Beijing Dr. Yihong Yao was authorized by Prof. Wei-dong Han to present the content at the 2015 5 th World Congress on Cancer Therapy due to the time conflict of ECCO in Vienna, Austria

Phase I/II clinical study of EGFR CART therapy in EGFR- Expressing Advanced or Relapsed/Refractory Solid Tumors Primary objective ü Safety ü Feasibility Secondary objective ü Anti-tumor response of CART cells ü In vivo persistence of CART-EGFR cells ü Immunogenicity of CART cells ü Determine the relative subsets of CART-EGFR T cells (Tcm, Tem, and Treg)

Flow of EGFR CART cell generation Blood drawn (80ml) EGFR CART Two lentiviral transduction on the second and third day after PBMC collected EGFR binding domain CD8α hinge and TM CD137 costimulatory domain CD3ζ signaling domain Collected by Ficoll-Hypaque density-gradient centrifugation PBMC Anti-CD3 MoAb /rhil-2 T cells rhil-2 EGFR CART rhil-2 10 days CART infusion Quality control

Cytotoxicity of EGFR CART cells to the EGFR expressing tumor cells versus normal cells EGFR+ tumor cells EGFR+ normal cells EGFRtumor cells ü Results of a 4-hour CCK8 analysis at effector/tumor cell (E:T) ratio of 5:1, 10:1, 20:1 and 40:1. ü EGFR+ cell lines include A549 human lung carcinoma cell line, MCF7 human breast carcinoma cell line, HeLa human cervical carcinoma cell line, 293T human renal epithelia cell line, and A2780 (EGFR-) human ovarian cancer cell line ü CART-EGFR versus Mock and NT, P < 0.001, two-way ANOVA test, GraphPad Prism 6.0). NT indicates non-viral transduction T cells; MFI indicates mean fluorescence intensity.

Immunophenotype of EGFR CART cells % C o m p o s itio n o f T c e ll p ro d u c ts 1 5 0 1 0 0 5 0 0 C D 3 + Mixtures of CD4+ and CD8+ T cells CD8:CD4 ratio is approximately 2:1 Promote expansion in vivo C D 3 + C D 4 + C D 3 + C D 8 + C D 3 + C D 5 6 + C D 8 + C D 5 6 + C D 4 5 R O + C D 6 2 L + C C R 7 + C D 4 5 R O + C D 6 2 L + C C R 7 + C D 4 5 R O + C D 6 2 L -C C R 7 - Homing molecules Facilitate trafficking to sites TCM/TEM Promote long-term persistence In vivo

Study Flow Chart Screen Therapy Follow-up Immunohistochemis try Examination of EGFR expression CART-EGFR cell production 1 st time point response evaluation 2 nd time point response evaluation PD/Death 3 rd time point response evaluation Screen and enrollment Wk-2 Day-7 Day-3~-2 Day0~4 Day5~9 Day29 Wk8 Wk12 Cohort 1 Tumor size <3 cm or Tumor size 3 cm but could not tolerate the toxicity of chemotherapy Tumor size 3 cm Randomized Cohort 2 Cohort 3 1.Chemotherapy 2.CTX Conditioning regimen ü Cohort 1: Non 1 or 2 ü Cohort 2: Only 2 ü Cohort 3: 1+2 CAR-T cells infusion (escalating dose) Exogenous IL-2 injection PBMC collected

Patient Eligibility Criteria Subject ü Advanced relapsed/refractory or unresectable solid tumors ü ECOG 0-2 Tumor ü EGFR+(>50% expression) ü Measurable lesions Adequate Major organ function ü cardiac pulmonary function ü hepatic renal functions ü Adequate bone marrow reserve Informed consent ü Signed Excluded ü Other therapy 4 wk before ü Life expectancy 3 months ü Major organ dysfunction ü Pregnancy and lactation ü Active infections ü HIV ü HBV ü HVC ü Primary immunodeficiency

Diagram of Patients Enrollment in the Trial Screened (n=42)c Excluded (n=13) Ineligible (n=9) Receiving other treatments (n=4) Enrolled (n=29) Failed of infusing CAR-EGFR T cells (n=5) Disease progression (n=3) Withdrew consent (n=2) Infused (n=24) Analyzed (n=24)

Summary of patient baseline characteristics(n=24) Characteristics Statistics % Age at infusion (years) Median Range 57.5 37-70 Gender Male Female Pathology NSCLC CCA PA RCC Preconditioning regimen None CTX PC/CTX DP/CTX N-p/CTX Status at Enrollment Refractory Relapsed Unresectable 11 13 17 5 1 1 6 2 2 3 11 18 3 3 45.8% 54.2% 70.8% 20.8% 4.2% 4.2% 25% 8.3% 8.3% 12.5% 45.8% 75% 12.5% 12.5%

In vivo persistence of EGFR CART cells EGFR CART Cells in PBMC EGFR CART Cells in Biopsied Tissues T r a n s g e n e c o p ie s (M e a s u r e d /B a s e lin e ) T r a n s g e n e c o p ie s (M e a s u r e d /B a s e lin e ) 8 0 6 0 4 0 2 0 8 0 6 0 4 0 2 0 5 4 3 2 1 5 4 3 2 1 0 d 0 d 5 d 7 d 9 w 4 w 8 w 1 2 w 1 6 w 2 0 w 2 4 D a y s a fte r in fu s io n 0 d 0. d 5. d 7. d 9. w 4 w 8 w 1 2 w 1 6 w 2 0 w 2 4 w 4 8 D a y s a fte r in fu s io n N o. 1 N o. 2 N o. 3 N o. 4 N o. 5 N o. 6 N o. 7 N o. 8 N o. 9 N o. 1 0 N o. 1 1 N o. 1 2 N o. 1 3 N o. 1 4 N o. 1 5 N o. 1 6 N o. 1 7 N o. 1 8 N o. 1 9 N o. 2 0 N o. 2 1 N o. 2 2 N o. 2 3 N o. 2 4 T r a n s g e n e c o p ie s (n o./µ g D N A ) 2 1 0 0 0 1 6 0 0 0 1 1 0 0 0 6 0 0 0 1 0 0 0 1 0 0 0 9 0 0 8 0 0 7 0 0 6 0 0 5 0 0 4 0 0 3 0 0 2 0 0 1 0 0 0 N o. 1 (2 6 w k s ) N o. 2 (6 w k s ) N o. 6 (6 w k s ) N o. 8 (6 w k s ) N o. 2 0 (8 w k s ) B io p s ie d T is s u e P B M C N o. 2 1 (1 2 w k s ) The high level of transgene copies in tissues indicated the trafficking of EGFR CART cells

ü Graded according to National Cancer Institute Common Terminology Criteria for Adverse Events Version 4.0 ü 3 patients experienced Grade 2 CRS Summary of Adverse Events Cutaneous Events No. of Patients Grade 1-2 % No. of Patients Grade3-4 Rash/Acne - - - - Pruritus 9 37.5% - - Desquamation 4 16.7% - - Non-cutaneous Nausea/Vomiting 3 12.5% - - Diarrhea - - - - Loss of appetite - - - - Constipation 4 16.7% - - Fatigue - - - - Hypotention 1 4.2% - - Hypertention - - - - Fever 3 12.5% - - Serum amylase increased 1 4.2% - - Serum lipase increased - - 1 4.2% Creatinine increased - - - - %

Skin Injury after EGFR CART therapy is self-limiting Pathological Changes of the Biopsied Skin HE 10 4 HE 10 20

Summary of Clinical Activity Status at Patient No. Gender Age (years) Pathology Enrollment Conditioning CART Cell Response Duration ( 10 7 Response /kg) (months) 1 female 55 NSCLC RF None 0.24 5.7 2 female 66 NSCLC RF CTX 2.51 PD 3 female 60 NSCLC RF CTX 0.59 PD 4 male 59 NSCLC RL None 0.99 PD 5 female 47 NSCLC RF PC/CTX 0.76 PD 6 female 50 NSCLC RF DP/CTX 1.19 2.4 7 male 59 NSCLC RF None 0.36 17+ 8 male 40 NSCLC RF PC/CTX 1.37 PR 3.5 9 female 61 NSCLC RF DP/CTX 1.94 PR 2 10 male 46 NSCLC RF None 0.89 13.5+ 11 male 58 NSCLC RF DP/CTX 0.04 2 13 male 49 NSCLC RF N-p/CTX 1.09 3 14 male 52 NSCLC RF N-p/CTX 0.79 PD 16 female 42 NSCLC RL N-p/CTX 1.43 4.8+ 17 female 65 NSCLC RF N-p/CTX 1.51 2 19 male 41 NSCLC RF N-p/CTX 1.18 3 23 female 65 NSCLC RF N-p/CTX 1.04 3 12 female 52 CCA UNR N-p/CTX 2.05 CR 8.3+ 15 female 52 CCA UNR None 1.1 PR 5.5+ 18 female 44 CCA RF None 1.65 CR 4.8+ 22 female 53 CCA UNR N-p/CTX 1.74 4 24 male 70 CCA RL N-p/CTX 1.23 3.4+ 20 male 37 PA RF N-p/CTX 1.07 PR 2.5 21 male 56 RCC RF N-p/CTX 0.65 4.5 LC: Lung Cancer; CCA: Cholangiocarcinoma; PA: Pancreatic Adenocarcinoma; RCC: Renal Cell Carcinoma; RF: refractory; RL: relapsed; UNR: unresectable; PC: Pemetrexed +Cisplatin; DP: Docetaxel +Cisplatin; N-p: Nab-paclitaxel Response duration data update to August 31 2015;+, means ongoing response

Clinical Activity Pathology NSCLC CCA PA RCC 17 5 1 1 70.8% 20.8% 4.2% 4.2% Overall DCR=79% ORR=25%

Response duration(months) Pt7 Pt10 Pt1 Pt16 Pt21 Pt22 Pt24 Pt19 Pt13 Pt23 Pt6 Pt17 Pt11 Pt15 Pt8 Pt20 Pt9 Pt12 Pt18 LC LC LC LC RCC CCA CCA LC LC LC LC LC LC CCA LC PA LC CCA CCA CR CR PR PR PR PR [VALUE]+ 2 2.5 3.5 [VALUE]+ 2 2 2.4 3 3 3 3.4 [VALUE] [VALUE] [VALUE]+ [VALUE]+ [VALUE]+ [VALUE]+ CR PR Duration of response Data cutoff: August 31 2015 +, means ongoing response [VALUE]+ 0 2 4 6 8 10 12 14 16 18

Three NSCLC patients showed clinical benefit A Baseline Post-CART-EGFR Baseline Post-CART-EGFR CD3 B 10 20 10 20 C A. Reduction of pleural effusion and slight shrinkage of metastatic hilar lymph node and pleural nodule in patient 1 8 weeks after the infusion of CART cells. Enrichment of CD3+ cells were observed in the biopsied metastatic tissue () B. Shrinkage of primary lesion in the left lung lobe in patient 8 4 weeks post the CART- EGFR therapy (PR) C. Absorption of pleural effusion and regression of the lung lesion in patient 9 4 weeks after the CART-EGFR treatment (PR)

One patient with Advanced cholangiocarcinoma achieved CR Baseline 4 weeks post-cart 12 weeks post-cart 24 weeks post-cart Patient 12 with advanced unresectable distal cholangiocarcinoma with metastatic retroperironeal lymph node No history of chemotherapy or radiotherapy PR status by CT 4 weeks after the infusion of EGFR CART. Disappearance of SUVmax within cholangiocarcinoma and retroperironeal lymph node 12 weeks after the CART-EGFR therapy, disease status was modified to CR. PET/CT reconfirmed the disappearance of SUVmax 24 weeks after the CART-EGFR therapy, the CR is still ongoing.

Toxicity Summary of Clinical Activity Well-tolerated without severe toxicity Efficacy ü 3/24 experienced Grade 2 cytokine release syndrome ü Skin toxicity,self-limiting DCR=79% 19/24 had clinical response ü 2/24 (8.3%) CR > 4.8 months 1/2 CR > 8 months ü 4/24 (16.7%) PR> 2 months 2/4 PR > 3 months ü 1/4 PR > 5 months 13/24 (54.2%) 2 months 10/13 3 months 6/13 4-17 + months

Conclusion The EGFR-targeting CART cell therapy for EGFR-positive, advanced, relapsed/ refractory solid tumor patients is safe, well tolerated and shows positive signal of clinical activity.

Improve efficacy Future Studies ü Improve in vitro CART cell expansion system ü Optimize conditioning regimens ü Define the composition of CART cell products ü Explore the potential of combination with other I/o therapies, such as PD-1/PD-L1 Integration of state of art translational medicine in clinical development ü Identify suitable biomarker at baseline that can predict clinical outcome ü Understand the biology behind clinical response and refraction/ relapsing

Acknowledgements Study PI: Wei-dong Han Clinical Team: Kai-Chao Feng Manufacture: Yao Wang Ye-Lei Guo Han-Ren Dai Laboratory Team: Xiang Li Funding support for this study: Science and Technology Planning Project of Beijing City (Number Z151100003915076 to WDH) National Natural Science Foundation of China (Number 31270820 and Number 81230061 to WDH).

Epidermal growth factor receptor(egfr) ü ü ü ü Cancer-cell proliferation Blocking apoptosis Activating invasion and metastasis Stimulating tumor-induced neovascularization Four EGFR antagonists are currently available for the treatment of four metastatic epithelial cancers: Non small-cell lung cancer, squamous-cell carcinoma of the head and neck, colorectal cancer and pancreatic cancer. N Engl J Med. 2008 Mar 13;358(11):1160-74