An international, double-blind, phase III randomized trial. Main Results

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An international, double-blind, phase III randomized trial Main Results Robert Hart on behalf of the NAVIGATE ESUS Steering Committee and Investigators

Sponsorship & Disclosures NAVIGATE ESUS was sponsored by Bayer AG and Janssen LLC. Disclosures: R. G. Hart (McMaster University) Research support, honoraria and stipends from Bayer AG (rivaroxaban) for serving as the co-principal Investigator of the NAVIGATE ESUS trial, for service on the Steering & Event Adjudication Committees of COMPASS / COMPASS MIND MRI trial, and for participation on advisory boards. 22

Embolic Strokes of Undetermined Source (ESUS) Most cryptogenic strokes are embolic (cardioembolic, arteriogenic, paradoxical). Extensive diagnostic efforts to define the specific cause are expensive & not widely available, and often more than one potential source is identified. Hypothesis: For secondary prevention, anticoagulants may be more efficacious than antiplatelets for most embolic sources. ESUS criteria: Nonlacunar, cryptogenic ischemic stroke with open artery & no major-risk cardioembolic source. 33

NAVIGATE ESUS Study Design Planned for 450 primary events Prospective, randomized, double-blind, active-comparator, event-driven, superiority, phase III study Patients with recent ischemic stroke and 1. visualized by brain CT or MRI that is not lacunar (subcortical infarct 1.5 cm) 2. absence of cervical carotid atherosclerotic artery stenosis > 50% or occlusion 3. no atrial fibrillation after 24 hours cardiac rhythm monitoring 4. no intra-cardiac thrombus on echocardiography 5. no other specific etiology for cause of stroke (eg, arteritis, dissection, migraine/ vasospasm, drug abuse) Age 50 years 459 sites in 31 countries N ~7,213 R Randomization 7 days to 6 month after acute ESUS Day 1 Randomization Rivaroxaban 15 mg od n ~ 3,609 ASA 100 mg od n ~ 3,604 Efficacy Cut-off Date 1 month post study drug observation period EOS Primary efficacy endpoint: Stroke, systemic embolism (ITT) Primary safety endpoint: ISTH major bleeding (ITT) 44 Study halted on 5 October 2017 at the 2 nd interim analysis based on recommendation by the DMC: In the absence of offsetting benefit, and little chance of showing benefit if the study were completed, there is a clear risk of excess bleeding.

NAVIGATE ESUS Countries & National Leaders USA Mexico Canada Brazil Sweden Denmark Germany Ireland UK Belgium France Portugal Finland Spain Italy Israel Poland Czech Republic Austria Hungary Switzerland Turkey Greece Russia China South Korea Japan Participating countries 7213 patients from 459 sites in 31 countries 2014-2017 Chile Argentina South Africa Australia 5 Argentina: Sebastian Ameriso Australia: Graeme Hankey Austria: Wilfried Lang Belgium: Raf Brouns Brazil: Rubens José Gagliardi Canada: Mike Sharma Chile: Pablo Lavados China: Yongjun Wang Czech Republic: Robert Mikulik Finland: Turgut Tatlisumak France: Pierre Amarenco Germany: Matthias Endres Greece: George Ntaios Hungary: Daniel Bereczki Ireland: Martin O`Donnell Israel: Natan Bornstein Italy: Danilo Toni Japan: Shinichiro Uchiyama Mexico: Antonio Arauz Poland: Anna Czlonkowska Portugal: Luis Cunha Russia: Nikolay Shamalov South Africa: Mattys Basson South Korea: Byung-Woo Yoon Spain: Antoni Davalos Sweden + Denmark; Arne Lindgren Switzerland: Jens Eckstein Turkey: Serefnur Öztürk UK: Keith Muir UK: Roland Veltkamp USA: Scott Kasner

Baseline Characteristics Rivaroxaban (N=3609) ASA (N=3604) Age, years (mean) 66.9 66.9 Male sex 62 % 61% Systolic Blood Pressure, mmhg (mean ± s.d.) 135 ± 17 135 ± 17 Statin use after randomization 78 % 77 % Hypertension 77 % 78 % Diabetes mellitus 25 % 25 % Current tobacco use 21% 20% Prior stroke or TIA 17 % 18 % Geographic region U.S.A. and Canada Latin America Europe East Asia 13 % 10% 59 % 19 % 13 % 10 % 58 % 19 % NIHSS score at randomization (median, IQR) 1.0 (0.0, 2.0) 1.0 (0.0, 2.0) Intravenous tpa use 17 % 18 % Time from qualifying stroke to randomization 38 d 36 d Intracranial vascular imaging (any type) 78 % 78 % Cardiac rhythm monitoring 48 hours 34 % 34 %

7,213 randomized 3609 assigned to rivaroxaban 3604 assigned to aspirin Mean follow-up: 11 months Atrial fibrillation identified in 3% 3,552 vital status known 24 (0.7%) lost to follow up 33 (0.9%) withdrew consent 3,554 vital status known 17 (0.5%) lost to follow up 33 (0.9%) withdrew consent 3609 analyzed 3604 analyzed

Rivaroxaban N (%/yr) Aspirin N (%/yr) 172 (5.1) 160 (4.8) HR 1.1 (0.87-1.3) P= 0.52 88

Efficacy Outcomes Primary outcome (all recurrent stroke or systemic embolism) Rivaroxaban N=3609 n (%/year) ASA N=3604 n (%/year) HR (95% CI) p- value 172 (5.1) 160 (4.8) 1.1 (0.87-1.3) 0.52 Individual components included in the primary outcome All recurrent stroke (ischemic, hemorrhagic, undefined) 171 (5.1) 158 (4.7) 1.1 (0.87-1.3) 0.48 Ischemic stroke 158 (4.7) 156 (4.7) 1.0 (0.81-1.3) 0.92 Hemorrhagic stroke 13 (0.4) 2 (0.1) 6.5 (1.5-28) 0.01

Secondary Efficacy Outcomes All recurrent stroke, MI, CV death, systemic embolism Rivaroxaban N=3609 n (%/year) ASA N=3604 n (%/year) HR (95% CI) 207 (6.2) 195 (5.8) 1.1 (0.87-1.3) p- value 0.57 All disabling stroke 41 (1.2) 29 (0.8) 1.4 (0.88-2.3) Myocardial infarction (MI) 17 (0.5) 23 (0.7) 0.74 (0.39-1.4) All-cause mortality 65 (1.9) 52 (1.5) 1.26 (0.87-1.8) Cardiovascular death 34 (1.0) 23 (0.7) 1.48 (0.87-2.5) 0.15 0.34 0.22 0.14

Rivaroxaban N (%/yr) Aspirin N (%/yr) 62 (1.8) 23 (0.7) HR 2.7 (1.7-4.4) P = <0.001

Safety Outcomes Rivaroxaban N=3609 n (%/year) ASA N=3604 n (%/year) HR (95% CI) p-value Primary safety outcome (ISTH major bleeding) 62 (1.8) 23 (0.7) 2.7 (1.7-4.4) 0.001 Secondary safety outcomes Life-threatening/fatal bleeding Clinically-relevant non-major bleeding Symptomatic intracranial hemorrhage - intracerebral - subarachnoid - subdural/epidural 35 (1.0) 15 (0.4) 2.3 (1.3-4.3) 0.006 118 (3.5) 79 (2.3) 1.5 (1.1-2.0) 0.005 20 (0.6) 12 (0.3) 5 (0.1) 3 (0.1) 5 (0.1) 3 (0.1) 1 (0.0) 2 (0.1) 4.0 (1.5-11) 4.0 (1.1-14) 5.0 (0.5-43) 1.5 (0.3-9.0) 0.005 0.03 0.10 0.65

13

14 NAVIGATE ESUS Main Results- I Rigorously-conducted, hypothesis-testing phase III international randomized trial. No reduction in recurrent stroke by rivaroxaban 15 mg daily vs. aspirin 100 mg/day, and major bleeding was increased. Stopped early with 74% of planned primary events, but adequate power to exclude >13% stroke reduction by rivaroxaban. High rate of recurrent stroke (~5%/yr) with either treatment..

NAVIGATE ESUS Main Results - II A beautiful hypothesis slain by ugly facts. * Why was NAVIGATE ESUS negative? - Did ESUS criteria define embolic strokes? - Heterogeneous embolic sources with different composition of emboli did not respond better to factor Xa inhibition? Ongoing randomized trials will clarify if the high stroke recurrence rates in ESUS patients can be reduced by alternative anticoagulants. * Adapted from Thomas Huxley; address to British. Association for Advancement of Science (1870). 15