Biological Considerations
Bacteriophage therapy, which was first used almost a century ago, is now going through a revival driven mostly by the antibiotic resistance crisis. This renewed interest in phage therapy has been facilitated by our improved understanding of phage biology, genetics, immunology, and pharmacology. Key aspects of phage therapy have now been standardized to improve treatment success. Minimum suggested regulatory requirements for the therapeutic use of phages call for strictly lytic phages, confirmed antimicrobial activity against the target pathogen, and removal of contaminating bacterial debris and endotoxins (
36). In addition, the identity of the bacterial host receptor for any therapeutic phage should be established, which will provide important information on emergence of phage resistance, evolutionary trade-offs, and use of combination therapies that are less likely to generate phage-resistant hosts.
Lytic phage infection begins with adsorption to specific receptors on the bacterial host’s surface. These receptors may be located on either Gram-positive or -negative cell walls, as well as polysaccharide capsules or even appendages such as pili and flagella (
37). The lock-and-key relationship between a phage and the bacterial receptors will typically determine the host range that the virus is able to infect, and the list of characterized phage receptors is constantly growing. After adsorption, the virus will eject its genetic material into the host. The majority of described lytic phages associated with human pathogens belong to the orders
Caudovirales and
Microviridae and have double- or single-stranded DNA genomes (
38). Next, the virus takes over the bacterial replication machinery, creating the next generation of phage progeny in the process. Replication will continue until phage-encoded proteins (see “Phage-Derived Proteins” below) are activated in order to lyse the cell, effectively killing the host and allowing the newly synthesized viruses to escape and reinitiate the cycle. The lysis time, or latent period, is the amount of time taken by a phage to complete this intracellular life cycle.
As mentioned above, the use of temperate or lysogenic phages for phage therapy is normally inadvisable, not only because their killing capacity is hampered by the quick arise of homoimmunity but also because of the possible harmful consequences of lysogenic conversion. Through lysogenic conversion, bacteria can acquire new, often pathogenic, genetic traits, such as phage-encoded toxins capable of greatly enhancing their virulence (
39) or potentially even antibiotic resistance determinants (
40). However, for relevant pathogens such as
Clostridium difficile no strictly lytic phages have been isolated, and the use of temperate phages may be necessary (
41). Similarly, in cases of emergency, time constraints could justify the therapeutic use of temperate phages when lytic phages are unavailable. Unfortunately, this does not mean that the use of lytic phages is exempt from concerns. Lytic phage genomes can contain greater than 50% hypothetical genes with no known function (
42) or encode auxiliary proteins that alter bacterial physiology in ways that are not fully understood. During abortive infection, where phage DNA is ejected into the cell and some genes expressed, without production of viral progeny, the bacterial host could potentially act as a reservoir for foreign DNA of unknown function. This reasoning should warrant continued research into phage genetics as a way to ensure the safety of phage therapy.
Comparison to Antibiotics
Although technically not living organisms, phages are certainly dynamic entities, and the lytic cycle is the cornerstone of phage-based therapeutics. In contrast, antibiotics are chemicals capable only of selective disruption of certain bacterial physiological processes, such as protein or cell wall synthesis. A quick comparison between phages and antibiotics demonstrates how strikingly different their mechanisms of action are. A summary of these differences, and some similarities, between the two can be found in
Table 1 (
43,
44). However, the following paragraphs elaborate on some of the most therapeutically relevant comparative points.
Phages have been classically described as highly specific for their hosts. However, it was recently demonstrated that phages are able to “jump” hosts, and in the gut that process is facilitated by the microbiota (
45). Thus, phage-host specificity may evolve and adapt over time. This specificity is simultaneously the greatest advantage and greatest disadvantage of phage therapy. Phage therapy aims directly at the pathogenic bacteria, whereas antibiotic treatment carries collateral damage as it disrupts the microbiome. Due to its lack of off-target effects, phage therapy is exempt from side effects related to microbiome disturbances, such as mucosal candidiasis, antibiotic-associated diarrhea, pseudomembranous colitis caused by
Clostridium difficile, and even long-term metabolic and immunological disorders (
46). Conversely, that specificity also demands accurate diagnosis of the infection and identification of the etiological agent, sometimes to the strain level, a process that can be difficult and time- and resource-consuming (
47). Moreover, early initiation of phage therapy has been shown to be critical to its success, and delays as short as 6 h can result in a significant decline in treatment effectiveness (
48). Together, these facts justify the practice of establishing and expanding phage collections or automated pipelines to quickly isolate and identify candidate phages. The collections, or libraries, are made up of readily available, well-characterized phages, isolated from natural sources, that exhibit biological traits theoretically desirable for phage therapy, such as short latency time, large burst size, and broad host range (
49).
Both antibiotics and phages interact with the immune system. First, the most severe, and potentially lethal, side effect of antibiotic therapy is hypersensitivity, a group of immune-mediated phenomena that include IgE-mediated reactions, anaphylaxis, Stevens-Johnson syndrome, and toxic epidermal necrolysis (
50). A 24-year retrospective study in a tertiary care hospital found that antibiotics, particularly beta-lactams, were the most common triggers of anaphylaxis (
51). Comparatively, there have been no documented adverse anaphylaxis cases associated with phage therapy in humans (
52,
53), although the collective body of evidence is decidedly smaller. Second, the action of the immune system complements the antibacterial activity of both antibiotics and phages. Bactericidal agents are able to kill bacteria, whereas bacteriostatic agents only prevent their growth. These effects usually depend on the mechanism of action and dose of a given antibiotic, but at therapeutic doses, protein synthesis inhibitors such as macrolides and tetracyclines are mostly bacteriostatic (
54). Bacteriostatic antibiotics heavily rely on the immune system of a patient to clear the infection (
55). Although lytic phages are by definition “natural killers,” phage therapy on its own will not completely clear an infection either, at least theoretically. This is because eradication of the host would also result in termination of viral replication. Instead, phages engage in “kill-the-winner” dynamics with their bacterial hosts, rapidly reducing host abundance before reaching a dynamic equilibrium (
56,
57). The immune system is still needed to eliminate the lingering bacterial population for phage therapy to be successful. This collaboration between phages and the immune system has been termed “immunophage synergy” (
58). It could be argued that every treatment of an infectious disease in an immunocompetent patient (and to a lesser extent in an immunocompromised patient) is, by definition, combinational therapy due to the natural action of the immune system. Finally, it has been demonstrated that phages elicit both innate and acquired immune responses against them (
59). More interestingly, the immune activation and inflammatory environment created by the bacterial infection could heighten the inhibition of phage therapy, although the clinical relevance of these phenomena remains to be determined (
59).
As with antibiotics, phage therapy is affected by bacterial resistance. Lytic phages impart strong antimicrobial selective pressures on their hosts that rapidly select for phage-resistant bacterial mutants (
2). Bacterial antiphage systems can be encountered along every step of the phage replication cycle. The best-known processes include modification of the receptors used during phage adsorption, superinfection exclusion (Sie) systems to prevent viral DNA entry, restriction-modification systems that protect host DNA while leaving foreign DNA vulnerable to the action of restriction enzymes, and clustered regularly interspaced short palindromic repeat (CRISPR)-Cas systems that recognize and degrade previously encountered foreign DNA (
60). The sum of phage resistance mechanisms constitutes a true prokaryotic “immune system.” However, the characterization of these mechanisms has come from experiments using a small number of model phage-host pairs and may not necessarily be applicable to less-investigated pathogens and their phages. Regarding this issue, Doron et al. (
61) recently searched more than 45,000 bacterial and archaeal genomes and discovered nine new families of antiphage defense systems, whose molecular mechanisms are yet to be fully understood. Closing the knowledge gap about phage-resistance mechanisms may allow for therapeutic and biotechnological exploitation (see “Exploitation of Phage Resistance” below).
A final benefit of phage therapy is its versatility. Due to their genetic diversity, abundance, and ubiquity, there is a virtually limitless source of phages. Furthermore, phage therapy can be delivered through different approaches, each one adaptable to the available resources, type of infections, and characteristics of the patients. Phages can be administered as a tailor-made, personalized therapy or, conversely, subjected to automated high-throughput production of phage cocktails. During the last decades of work with phages for therapeutic purposes, the in vitro and preclinical findings have begun to be translated into carefully designed clinical trials and case studies, highlighting important lessons to be considered moving forward.
Experience in Clinical Trials
In the early years of human phage therapy (
Fig. 1), phages were used to treat conditions including typhoid fever, dysentery, skin and surgical wound infections, peritonitis, septicemia, urinary tract infections, and external otitis (
62). During the 1930s, however, a series of analytical reviews posed important questions about the validity of the presented results (
Fig. 1). Criticism was aimed at the lack of proper methodological design, controls, and standardized production and characterization of the phage preparations, as well as contradictory results (
63–65). After the introduction of antibiotics, when the efforts in phage therapy studies were primarily relegated to a few countries in Eastern Europe, language also became a barrier for the widespread dissemination of the results. Sulakvelidze et al. (
66) reviewed studies from the Georgian, Russian, and Polish literature, finding successful use of phages for the treatment of the previously mentioned conditions, as well as pneumonia, meningitis, osteomyelitis, and postsurgical infections in cancer patients. Although some early and encouraging work at the end of the 20th century presented the use of phage therapy in animal models (
67–69), it was not until the start of the new millennium that the English literature rediscovered human phage therapy trials (
62). Here, we discuss some of the results of these contemporary studies.
The results of the first phase I randomized, placebo-controlled phage therapy trial conducted in the United States were published by Rhoads et al. (
70) in 2009. The study investigated the safety of a 12-week topical treatment, with a total follow-up period of 24 weeks, of a phage preparation targeting
S. aureus,
P. aeruginosa, and
Escherichia coli in chronic venous leg ulcers. Their results showed no significant difference in the incidence of adverse events between groups. With a sample size of only 42 patients and no previous
in vitro demonstration of susceptibility of the patients’ infectious agents to the phage preparation, the study was not designed to assess effectiveness of the intervention. Expectedly, the rate and frequency of healing were the same between treatment groups. Previously, in Georgia, Markoishvili et al. (
71) had demonstrated successful healing of poorly vascularized ulcers with the application of a biodegradable polymer impregnated with antibiotic and lytic phages. However, the independent effect of the phages could not be discriminated from that of the antibiotic, and the authors recommended further studies.
The effectiveness of topical administration of phage therapy has been assessed by at least two phase I/II trials. In 2009, Wright et al. (
72) established a randomized, double-blind, placebo-controlled study where they tested the action of a phage cocktail in the treatment of chronic otitis due to antibiotic-resistant
P. aeruginosa in 24 patients. The measured outcomes included physician-assessed signs of inflammation, patient-reported symptoms, and quantification of the bacterial and viral loads. The phage preparation improved all of the measured outcomes compared to placebo after the 42-day follow-up period. In the second case, the randomized, multicenter, single-blind, and open study Phagoburn ran from 2015 to 2017 and evaluated the treatment of burn wound infections by
P. aeruginosa in 25 patients, using a cocktail of 12 phages. The published report highlights this as being the first clinical trial of phage therapy ever performed according to both good manufacturing practices (GMP) and good clinical practices (GCP) (
73). Additionally, no unwanted side effects attributable to the phage cocktail were reported. The authors also showed that the intervention significantly decreased the pathogen load in the wounds, but unfortunately, this happened at a lower rate than in the control arm, which consisted of standard care with 1% sulfadiazine silver emulsion cream. The authors explained these results with three claims. First, after delays associated with manufacturing and administrative challenges, the length of the recruitment period was nearly halved, leading to a small patient sample size. Second, the titer of the phage cocktail was found to have significantly decreased after manufacturing, leading to patients receiving a lower dose of phages than originally intended. Third, bacteria from patients in whom the phage treatment failed were shown to be resistant to low phage doses (
73). According to the authors, further studies that address these issues are warranted. Finally, an ongoing phase II trial (ClinicalTrials registration no. NCT02664740) is looking at the topical treatment of diabetic foot ulcers infected by
S. aureus with a phage cocktail.
Studies focusing on the oral administration of phages have also been carried out. A T4-like phage preparation, targeted against
E. coli and designed for the treatment of diarrheal disease, has been assessed in phase I placebo-controlled trials in healthy adults from Switzerland (
74) and Bangladesh (
52), in 2005 and 2012, respectively, and in healthy and diseased children from Bangladesh in 2017 (
75). No adverse effects from oral administration of phages were found by self-report, physical examination, and laboratory testing of hepatic, renal, or hematological function. The studies also provided insights into the bioavailability and activity of oral phage preparations. Phages did not amplify in the gut of healthy individuals, and only small, dose-dependent fractions of the initial phage dose were recovered from their feces. There was no evidence of phages or phage-specific antibodies in the bloodstream, and the phage preparation did not disturb the composition of the gut microbiota. However, the same lack of viral replication was seen in the children with diarrheal disease, and the treatment did not have significant favorable effects compared to standard rehydration therapy. While the studies had been designed primarily around safety, the latter observations prompted the authors to question the value of phage therapy to treat these low-abundance infections within the gut (
75). In a different approach, Gindin et al. (
76) recruited 32 adults with mild to moderate gastrointestinal complaints, to carry out a phase I randomized, double blind, placebo-controlled, crossover trial in 2018. The study was based on the premise that the gut microbiota can regulate human health, that dysbiosis can lead to disease states, and that modulation of its components, namely, eradication of specific detrimental organisms, can have beneficial effects in patients suffering from gastrointestinal distress. The intervention, a 28-day oral treatment with capsules containing 4 strains of bacteriophages targeting recognized gastrointestinal pathogens, was proven to be safe and tolerable. After controlling for sequence effects given the crossover design of the study, the treatment was more effective than placebo at reducing symptoms of colon pain and abnormal gastric function, comparable to placebo in reducing small-intestine pain, but ineffective in decreasing perceived gastrointestinal inflammation. Further studies could open the door for phages to be used as novel prebiotics.
Regarding intravenous phage therapy in humans, Speck and Smithyman (
53) recently reviewed the evidence supporting its use. Their primary focus was on severe infections such as typhoid fever and
S. aureus bacteremia, with data obtained from reports spanning the last 80 years. They reference studies that collectively account for almost 1,000 patients successfully treated with intravenous phage therapy, with a negligible number of side effects. In addition, all of the severe side effects (reactions resembling shock or serum sickness) could be attributed to contaminants from early phage preparations. Even though historical evidence tends to be dismissed because of its age or lack of compliance with modern clinical standards, many of the described studies came from groups in France, Canada, and the United States, countries with well-regulated medical systems. The authors concluded that there is a strong possibility that intravenous administration of phages will be safe and efficacious (
53). Moreover, an ongoing phase II/III randomized, double-blind clinical trial (ClinicalTrials registration no. NCT03140085) is addressing an alternative route of parenteral phage administration. The trial will look at the efficacy of intravesical administration of the commercial phage cocktail Pyophage (PYO) versus oral antibiotics or intravesical placebo for the treatment of urinary tract infections in patients undergoing transurethral prostatectomy.
Parallel to full-scale clinical trials, the pathway toward widespread use of phage therapy and its translation from the lab bench to the patient’s bedside could be shortened by cases of compassionate use. In the absence of alternative treatments, or in terminally ill patients, phage therapy can obtain “off-license” approval for use. The advantages of the approach include immediate clinical usage, obtaining data that could be used to inform future work, and that it can be used for all forms of phage therapy (
77). Nevertheless, the results from this approach are usually hard to replicate as they are limited to a single patient and do not directly lead to the approval of the therapeutic intervention.
Further use of intravenous and intracavitary phage therapy in humans has been assessed primarily through individual case studies of compassionate use. In 2017, Schooley et al. (
78) reported the first case of successful intravenous and intracavitary phage therapy targeting a systemic MDR infection in the United States. The patient was a 68-year-old diabetic man with necrotizing pancreatitis complicated by an MDR
A. baumannii infection. After the infection completely stopped responding to antibiotic therapy and the patient’s condition severely deteriorated, phage therapy was initiated. Several aspects of this case report are worth highlighting. First, treatment was personalized and quickly available, as the bacterial strain causing the infection was tested against preestablished
A. baumannii-specific phage libraries. Second, treatment consisted of sequential administration of phage cocktails, which is necessary for countering the emergence of phage resistance (see “Conventional Phage Therapy” below). Third, phage therapy was well tolerated by the patient. In 2018, Chan et al. (
79) reported a comparable case. A 76-year-old man underwent aortic arch replacement surgery with a Dacron graft and was later diagnosed with an MDR
P. aeruginosa graft infection. As the patient was considered at too high risk for surgical replacement of the graft and treatment with intravenous ceftazidime and superficial chest wall debridement proved to be unsatisfactory, phage therapy was used. The intervention consisted of the simultaneous, single intracavitary application of phage OMKO1 and ceftazidime. The treatment was well tolerated, and even though the patient exhibited further complications expected in aortic graft carriers, the
P. aeruginosa infection receded without any recurrence despite the discontinuation of antibiotics. Additional mechanistic aspects that contributed to the success of these two cases is discussed in “Exploitation of Phage Resistance” below. Lastly, Jennes et al. (
80) reported the case of a 61-year-old patient who developed septicemia caused by a
P. aeruginosa strain that was sensitive exclusively to colistin, which likely originated from local colonization of pressure sores. When the antibiotic treatment, along with the patient’s underlying conditions, led to acute kidney injury, therapy with a phage cocktail was initiated. The two-phage cocktail was administered intravenously every 6 h, and in topical irrigation of the wounds every 8 h, for a total of 10 days. Phage therapy immediately turned blood cultures negative and reduced the levels of C-reactive protein and the patient’s temperature, with kidney function being restored after a few days. Despite this favorable clinical course, the patient’s multiple comorbidities remained, leading to his death four months after phage therapy due to sepsis by a different pathogen.
In the coming years, we certainly expect to see an increase in phase I phage therapy clinical trials and their progress toward phases II and III. Notably, most of the presented studies have primarily assessed the so-called “conventional” approach to phage therapy. In the next section, we explore the notions behind this approach, but more importantly, we include innovative approaches that will progressively reach clinical use, including phage-antibiotic combinations, phage-derived enzymes, exploitation of phage resistance, and phage bioengineering.