A pathological complete response is the most ideal response to NACT. The prognostic value of pCR is notable in patients with HER2-positive and TNBC disease, and patients who do not achieve pCR can benefit from postoperative treatment with trastuzumab, emtansine and capecitabine[13, 14]. It is very important to identify the factors that are associated with different patterns of pCR, so we can identify patients who might not need to undergo mastectomy or lymph node dissection and who might need treatment consolidation. In our study, we found that patients who achieved limited pCR had comparable OS but worse DFS than those who achieved total pCR.
In Fayanju’s study, the OS rates of patients with total pCR, pCR only in the breast and pCR only in the axillary lymph nodes were 94%, 83% and 85%, respectively, which indicated that limited pCR predicts worse prognosis compared with overall pCR[15]. In our study, we found that OS was not significantly different between the total and limited pCR groups (96.9% vs. 93.4%). The reasons for the inconsistency were as follows. First, Fayanju’s study was based on the National Cancer Database (NCDB), and our research included Chinese patients. Second, the sample size of our study was limited. Third, more HER2-positive patients were enrolled in our study, which might influence the survival rate. Additionally, Fayanju’s study suggested that patients can benefit from improvements in total or limited pCR.
ER and PR are gene regulatory proteins that work together to directly regulate the epidermal growth factor receptor pathway and subsequently affect mammary epithelial cell growth, differentiation, and survival. Some studies have shown that ER-positive tumors respond better to chemotherapy[9], while others believe that ER can mediate chemoresistance[16, 17]. In one study, ER-positive human breast cancer cells were transfected with estrogen receptor alpha, and the results indicated that ER may be involved in mediating resistance to chemotherapy through the inhibition of drug-induced apoptotic cell death [18]. A clinical study suggested that ER-negative tumors showed an increased pathological response to chemotherapy, and ER status seems to be more sensitive than PR status in predicting the pathological response to preoperative chemotherapy. Due to the correlation between ER and PR, we combined them into HR for analysis. HR-negative patients were more likely to achieve total pCR than patients with anatomically limited pCR, which is consistent with previous studies.
Ki67 is a nuclear protein, and its expression level often reflects cell proliferation. Several studies have suggested that Ki-67 may be associated with chemotherapy response and prognosis in patients with breast cancer [19, 20]. At present, a number of meta-analyses have shown that among breast cancer patients who receive NACT, the pCR rate of patients with a high Ki-67 proliferation index is significantly higher than that of patients with a low Ki-67 proliferation index, but the cutoff values of the Ki-67 index are different in various studies, ranging from 10–50% [5, 21]. In this study, 20% was chosen as the Ki-67 threshold. The results suggested that in the general population, a high Ki-67 index was an independent predictor of total pCR. In the HER2-positive population, Ki-67 was significantly different between patients with total and anatomically limited pCR, but it was not an independent predictor of total pCR.
By comparing data from patients with pCR only in the breast versus patients with pCR only in the axillary lymph nodes, we found that patients with cN1 were more likely to achieve pCR only in the axillary lymph nodes, while patients with cT1 were more likely to achieve pCR only in the breast, which is consistent with the results of previous studies [22, 23]. We therefore speculate that clinical T stage and clinical N stage may be factors that lead to inconsistent responses between the breast and the axilla. However, in the HER2-positive population, only the clinical N stage was significantly different between patients who achieved pCR only in the axillary lymph nodes and those who achieved pCR only in the breast. This may be related to the administration of neoadjuvant targeted therapy.
According to previous studies, the prognosis of patients with limited pCR is worse than that of patients with total pCR. The KATHERINE study revealed that for patients who did not achieve pCR after neoadjuvant chemotherapy, intensified adjuvant therapy with trastuzumab emtansine can significantly improve DFS [13]. The results of the CREATE-X study showed that in patients with HER2-negative (especially triple-negative) residual invasive breast cancer after neoadjuvant chemotherapy, receiving standard postsurgical treatment with capecitabine can significantly improve DFS and OS [14]. In this study, only 16.9% of patients received intensive adjuvant therapy. Survival analysis revealed no significant difference between patients who received and did not receive intensive adjuvant therapy. The reason for this result may be that the enrolled patients received treatment in the early years, and molecular-based intensified adjuvant reinforcement has not yet been widely implemented in clinical practice. In addition, the small number of enrolled patients may also cause bias in the results. This study represents a breakthrough in comparing patients who achieved total pCR, pCR of the breast, and pCR of the axillary lymph nodes after neoadjuvant therapy to explore differences in prognosis and clinicopathological factors. However, our study was only a single-center retrospective study with a relatively small number of patients. Selection bias and recall bias during data collection may be unavoidable. Further validation of these findings in larger-scale multicenter studies is necessary. Moreover, approximately 10.7% of the patients in this study were lost to follow-up, which may have affected the results of the survival analysis. A systematic review could avoid this problem.
Previous studies have revealed many indicators related to the efficacy of NACT for treating breast cancer, including not only clinical pathological factors but also immune-related indicators, circulating tumor indicators, imaging indicators and so on [24–28]. It is expected that more large-scale studies can include these indicators, explore their relationships with overall and anatomically limited pCR, and establish a more comprehensive, accurate and practical predictive model of neoadjuvant chemotherapy for breast cancer. The results can hopefully provide a basis for the selection of potential candidates for clinical trials. In addition, our study can help clinicians in making decisions when treating patients who are receiving NACT.