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Japanese Journal of Gastroenterology and Hepatology
Review Article ISSN 2435-1210 Volume 7
Future Considerations of Biological Disparities in Drug Development for NAFLD/
NASH: Trial Design and Analysis
Suzuki A1*
, Mai W2
and Chow SC2
1
Division of Gastroenterology, Department of Medicine, Duke University School of Medicine, Durham, North Carolina, USA
2
Department of Biostatistics and Bioinformatics, Duke University School of Medicine, Durham, North Carolina, USA
*
Corresponding authors:
Ayako Suzuki MD, PhD, MSc,
Gastroenterology, Department of Medicine, Duke
University, 40 Duke Medicine Cir, Suite DUMC 3913,
Durham, NC 27710, USA,
E-mail: Ayako.Suzuki@duke.edu;
Shein-Chung Chow, PhD,
Biostatistics & Bioinformatics, Duke University, 2424
Erwin Road Ste 1102, 11037 Hock Plaza, Durham, NC
27705, Duke Box 2721, Durham, NC 27710,
E-mail: sheinchung.chow@duke.edu
Received: 05 Sep 2021
Accepted: 30 Sep 2021
Published: 06 Oct 2021
Copyright:
©2021 Suzuki A, This is an open access article distributed under the
terms of the Creative Commons Attribution License, which permits
unrestricted use, distribution, and build upon your work non-com-
mercially.
Citation:
Suzuki A, Future Considerations of Biological Disparities in Drug
Development for NAFLD/NASH: Trial Design and Analysis. Japa-
nese J Gstro Hepato. 2021; V7(4): 1-7
1
https://jjgastrohepto.org/
Keywords:
Complex innovative design; Adaptive trial design; Stratified ran-
domization; Post-study subgroup analysis.
1. Abstract
Non-Alcoholic Fatty Liver Disease (NAFLD) has become a signifi-
cant health concern not only in the US but also worldwide due to the
global obesity epidemic. Although the natural course in the majority
of NAFLD patients is relatively benign, those with non-alcoholic
steatohepatitis (NASH) are at an increased risk of disease progres-
sion, leading to hepatic fibrosis, cirrhosis, end-stage liver disease
(ESLD), and hepatocellular carcinoma (HCC). Owing to its rapidly
increasing prevalence in the US, NASH has become a leading liv-
er transplant indication across racial/ethnic groups. NAFLD is also
associated with an increased risk of cardiovascular disease, chronic
kidney disease, and liver-related and overall mortality, posing a heavy
burden both clinically and economically. No FDA-approved pharma-
cological agents are currently available to treat NAFLD/NASH. This
is likely due to the multifactorial nature of NAFLD and biological
disparities. Safe and effective treatments are thereby overly needed to
mitigate the NASH progression, prevent complications, and reduce
future medical and economic burdens. There are several challenges in
the process of testing new agents, which include but are not limited
to 1) multifactorial pathogenesis and 2) lack of sufficient consider-
ations of biological disparities by age and sex/gender in clinical trial
designs. Since current study designs rarely take these disparities into
consideration, this paper will focus on the second issue and provide
an overview of NASH pathogenesis, epidemiology, and disparities
by age and sex/gender and propose possible methodological solu-
tions such as adaptive design and post hoc analysis, while discussing
advantages and disadvantages of the proposed solutions.
2. Introduction
Owing to the obesity epidemic, nonalcoholic fatty liver disease (NA-
FLD) has grown as a significant health concern in the US. The NA-
FLD prevalence among the adult population has risen from 18% in
1988-1991 to 31% in 2011-2012, according to the National Health
and Nutrition Examination Survey (NHANES) studies. [1] NAFLD
was once considered as a disease condition prevalent in western
countries, but due to the global obesity epidemic, NAFLD became
a global health issue; the estimated global prevalence of NAFLD
among adults is about 25%. [2] This reflects global westernization
of diets and lifestyle, resulting in less-physically activity, sedentary
lifestyle, and diets that are high in saturated fats and sucrose and low
in dietary fiber, which in turn contributed to a growing health risk of
obesity, metabolic diseases, and NAFLD.
The majority of NAFLD patients have simple steatosis, a relatively
benign condition, but among those with nonalcoholic steatohepatitis
Abbreviations:
ANCOVA, analysis of covariance; BMI, body mass index; ESLD, end-stage liver disease; HCC, hepatocellular carcinoma; MAPK, mitogen-activated protein
kinase; NAFLD, nonalcoholic fatty liver disease; NASH, nonalcoholic steatohepatitis; NHANES, the National Health and Nutrition Examination Survey;
ROS, reactive oxygen species; TGF, Transforming growth factor.
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(NASH), there is an increased risk of hepatic fibrosis progressing
to cirrhosis, end-stage liver disease (ESLD), and, in some patients,
hepatocellular carcinoma (HCC). [3] About 25-30% of patients with
NAFLD are estimated to have the progressive form of NAFLD. [4-
6] Over time, approximately 32% to 53% of patients with NASH
experience fibrosis progression. [7, 8] Until recently, viral hepatitis
(especially hepatitis C) and alcoholic liver disease were the two lead-
ing indications for liver transplants in the US. [9] However, NASH
is a rapidly growing liver transplant indication across racial/ethnic
groups. [9] NAFLD-related ESLD and HCC became a leading cause
of liver transplant consideration in the US: the second leading cause
among men and the leading cause among women. [9, 10] NAFLD is
also associated with increased risk of cardiovascular disease, cancer,
and chronic kidney disease and significantly increases overall mor-
tality. [11-14] Thus, NAFLD and its associated comorbidities pose
heavy clinical and economic burdens, with a staggering estimated
annual direct medical cost of patients with NAFLD of $103 billion
in the US and €35 billion in Europe. [15, 16] Therefore, safe and
effective treatments to mitigate the NASH progression and prevent
complications (i.e., cardiovascular diseases, chronic kidney disease,
HCC) are desperately needed.
Weight reduction and regular exercise have been proven to reverse
steatosis, NASH, and NASH fibrosis. [17] However, achieving and
sustaining therapeutic weight reduction and exercise habits is a signif-
icant challenge in patients with NAFLD. Identifying an effective, safe
pharmacological treatment to mitigate NASH activity and fibrosis is
critical to the prevention of NASH progression and liver cancer de-
velopment. During the past decades, tremendous advancement was
made in understanding the pathogenesis of NAFLD, which led to
numerous clinical trials. Despite the identified therapeutic targets and
promising candidates tested in clinical trials, no established pharma-
cological agents exist today to treat NAFLD. Many trials have been
terminated prematurely due to the lack of sufficient efficacy at the
interim analysis. The challenges in NASH/NAFLD drug develop-
ment are multifactorial. NAFLD pathogenesis is complex, involv-
ing a cascade of pathophysiologic changes. Thus, the therapeutic
approach should be formulated based on understanding the multi-
phasic NAFLD pathogenesis in patients with NAFLD (e.g., a com-
bination of drugs targeting multiple pathways, drug therapy in com-
bination with diet and/or exercise). Another limitation is the lack of
sufficient consideration of biological disparities by age and sex/gen-
der in clinical trial design and analytic planning. Robust data exists,
demonstrating sex/gender differences in human health and diseases.
[18] Many aspects of the NAFLD pathogenesis and the disease pro-
gression are regulated in sex-specific manners. [19, 20] Aging also
leads to functional senescence in adipocytes, cellular stress response,
inflammation, immune response, and regenerative capacity. [21-23]
Thus, treatment response and safety profiles may significantly vary
by sex, reproductive status, and age. Some medications may exert
sex-/age-specific therapeutic effects or safety signals. Since men and
women age differently, the effects could be age- and sex-specific. [24]
Such disparities are rarely considered in current clinical trials, prob-
ably because it would complicate the study design and increase the
required sample size. [18, 25] In this article, we will briefly summarize
the NAFLD pathogenesis, review biological disparities in NAFLD/
NASH mechanisms, discuss necessary considerations in the analysis,
and propose possible methodological solutions, including the appli-
cation of adaptive design and posthoc analysis of the trial data to
inform later phase clinical trials.
3. Overview of NASH Pathogenesis, Epidemiology, and
Disparities by Age and Sex
NAFLD is a disease caused by excess lipid accumulation in the liv-
er. Beside a few exceptions such as drug-induced NAFLD and lyso-
somal acid lipase deficiency, most NAFLD cases are associated with
metabolic derangement induced by obesity (i.e., metabolic-associated
fatty liver disease or MAFLD). The key disease drivers of NAFLD
are abdominal obesity and insulin resistance, both of which fuel the
liver with increased free fatty acids delivery, causing metabolic stress
in the hepatocytes. [3] When the increased lipid burden encounters
failed hepatocellular adaptation, it then leads to hepatocellular dam-
age, chronic liver injury (i.e., nonalcoholic steatohepatitis or NASH),
fibrosis, and tumorigenesis. [3] The disease severity and progression,
i.e., NASH and fibrosis, are considered a consequence of failed ad-
aptation to the increased metabolic stress, impaired homeostasis, and
dysregulated wound-healing process. [3] Figure 1 depicts the multi-
phasic aspects of NALFD pathogenesis.
NAFLD occurs in both sexes and spans a wide range of age groups,
from children to the elderly. However, the prevalence, clinical and
histologic features, and risk factors of NAFLD are not necessarily
homogeneous across different age groups or between sexes. [25-28]
As reviewed in a recent article, population-based studies consistently
demonstrated the prevalence of NAFLD to be higher in men than in
women during the reproductive age, while the prevalence in women
increases after the age at menopause and exceeds the prevalence in
men in older age. [25] This age-sex interaction on the NAFLD prev-
alence is partly explained by estrogen’s protective effects on visceral
obesity and insulin resistance. [25] Hormone replacement therapy
among postmenopausal women appears to be protective against liv-
er enzyme elevation presumably associated with NAFLD. [29, 30]
Similar age-sex interaction is also observed in the severity of NASH
fibrosis; premenopausal women are protected from hepatic fibrosis
compared to men and postmenopausal women, [31-33] which is like-
ly attributed to estrogen’s inhibitory effects on satellite cell prolifera-
tion and fibrogenesis. [34, 35] Of note, the prevalence of NAFLD is
positively correlated with body size (i.e., BMI), but this association is
weak among the older population [36, 37] reflecting the heterogene-
ity in the NAFLD pathogenesis; [38] This observation may suggest
that in older subjects, cellular homeostasis/senescence may more
significantly contribute to the disease progression than the upstream
disease–driving factor, i.e., increased lipid influx to the liver.
Robust evidence exists to support biological disparities in the NA-
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FLD pathogenesis. Sex differences in mechanisms involved in the
NAFLD pathogenesis are reviewed in recently published articles [19,
20], thus are not discussed here. However, there are a few crucial
points relevant to the purpose of this article. Hepatic gene expres-
sion is sexually dimorphic due to the gene regulation by estrogen,
androgen, and sex-specific growth hormone secretion patterns [39].
A recent computational modeling study demonstrated that female
and male livers are metabolically distinct organs and identified gene
regulators exerting sex-specific effects on hepatic triglycerides accu-
mulation. [40] Such regulators include peroxisome proliferator-acti-
vated receptor (Ppar)-γ, coactivator 1-a (Pgc1a), farnesoid X recep-
tor (Fxr), liver X receptor (Lxr), and Ppar-α [40], most of which are
functionally related to current therapeutic targets in NASH, [41]
reinforcing the significance of considering sex differences in evalu-
ating efficacy and safety for drugs targeting these regulators. Besides
metabolism, sexual dimorphisms are broadly observed in hepatic
gene expressions across the functions qualitatively and quantitatively.
An RNA sequence study assessed intra- and interspecies variation
in gene regulatory processes among primates and demonstrated sex
differences across the species in gene expression involved in lipid
metabolism and catabolism, steroid metabolism and biosynthesis,
ATP synthesis, RNA splicing and binding, RNA processing, immune
response, and wound healing (e.g., wnt signaling) in addition to genes
on X-chromosome. [42] Further, hepatic fibrogenesis is regulated by
sex hormones. Estradiol inhibits liver fibrosis by inhibiting stellate
cell activation via estrogen receptor-β [35, 43], while progesterone
activates stellate cells by inducing ROS generation, MAPK pathway
activation, and TGFβ1 expression. [44] Thus, physiological estrogen
levels (e.g., women vs. men, pre-menopausal vs. postmenopausal
women) and the altered ratio of estrogens to progesterone (e.g., con-
traceptives) may modulate baseline fibrogenic activities and thus in-
fluence therapeutic response to anti-fibrogenic agents. Since hepatic
lipid metabolism, inflammation, and fibrosis are frequently targeted
in the NASH treatment, proper consideration of age and sex in the
study design and analysis is critical in addressing variations in the
treatment efficacy and safety profiles.
Figure 1: NAFLD pathogenesis
4. Translating the Biological Disparities in The NAFLD
Pathogenesis into Statistical Consideration
Keeping the biological disparities in mind, we discuss a few statistical
considerations in analyzing NAFLD/NASH data. First, age and sex
are often considered covariates or variables for matching to remove
confounding effects. Given the biological effects of age and sex on
the NAFLD pathogenesis, these variables should also be considered
potential effect modifiers. Second, when analyzing sex-/age-differ-
ences in the efficacy, it is common to stratify the data by age or sex
separately. As many of the key mechanisms in NAFLD are regulated
by sex hormones, age does not equally affect the disease mechanisms
in men and women. Age-sex interaction (two-way interaction) needs
to be considered in the analysis (i.e., menopausal status). Sex-specific
analysis including all age groups is not sufficient to address sex dif-
ferences and may mask important associations.
5. Key Limitations in Current Trial Design and Analysis
In liver disease clinical development, it is recognized that there are
some limitations in the design and analysis of NAFLD/NASH clin-
ical trials. These key limitations include, but are not limited to, (i) the
lack of information on sex differences from preclinical experiments
to inform study design, (ii) the lack of blocked or stratified random-
ization, which often leads to uneven distribution of sex and age (or
treatment imbalance in sex and age), (iii) the lack of information on
women’s menopausal status and reproductive health which may have
an impact on enrollment and/or final data analysis, and (iv) there
are no considerations of potential sex/age differences and possible
sex-by-age interaction. To overcome some of the limitations, we sug-
gest the following approaches be considered: the use of adaptive trial
design and post-study subgroup analysis. In what follows, these two
approaches will be briefly described.
TG: triglyceride
VLDL: very low density lipoprotein
NASH: nonalcoholic steatohepatitis
HCC: hepatocellular carcinoma
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6. Future Considerations for NAFLD/NASH Clinical
Trials
In practice, two approaches can be employed in NAFLD/NASH
clinical trials to address the key limitations described above. The first
approach is to utilize a pre-study stratified randomization with strat-
ification factors of interest such as age and sex under a valid trial
design such as adaptive trial design. Stratified randomization allows
the assessment of possible confounding and/or interaction effect
between treatment and the stratification factors. The second ap-
proach is post-study subgroup analysis provided there are sufficient
number of subjects in the study. These two approaches are briefly
summarized below.
The Use of Adaptive Trial Design – First, we suggest employing
an adaptive trial design to address some of the limitations discussed
above. As indicated in Chow and Chang (2011), there are ten differ-
ent types of adaptive trial design (see also FDA, 2019). Selecting an
appropriate adaptive design for an intended NAFLD/NASH clinical
trial depends upon the study objectives of the intended trial. For
example, an adaptive-randomization design may be considered if the
objective is to detect potential sex and/or age differences and possi-
ble sex-by-age interaction.
We can consider a stratified randomized parallel-group design with
stratification factors such as sex, age, obesity, menopausal status (fe-
male only), and/or other key factors for the specific pathway of in-
terest and a planned interim analysis.
For instance, we can divide the target population into 4 strata using
age and gender:
a. Female patient aged over 50 (i.e., age surrogate of menopause)
b. Female patient aged 50 or below
c. Male patient aged above 50 (this age can be determined using pre-
vious knowledge about the treatment effect or just the median age of
the target male population)
d. Male patient aged 50 or below
Then we may recruit patients in each category with known ratio in
the whole target population. By randomly assign them with 1:1 ratio
to two treatment groups, we will finally result in a 2-arm parallel de-
sign in stage 1, each contains patients from all 4 strata with specific
ratio. Stage 2 should also be a 2-arm parallel design, but after interim
analysis, we may decide to drop patients from some strata if there
is no significant treatment effect or there are some considerations
about safety. (Figure 2) illustrates the proposed adaptive trial design
with stratified randomization.
Figure 2: Proposed adaptive trial design with stratified randomization
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The purposes of the planned interim analysis are multi-fold. First, it
is to verify the assumptions made upfront for power calculation of
sample size requirement based on data observed at interim. Second,
it is to perform sample size re-estimation to determine whether we
will achieve the study objective with the desired power in the end if
the observed clinically meaningful difference (treatment effect) pre-
serves till the end. Third, we may stop the trial early due to safety,
futility and/or efficacy after the review of interim data. (May drop
both the arms which are unresponsive to the treatment or adjust
safety measures if any arms exert safety concerns, and continue with
the treatment sensitive arms.) Fourth, it provides the opportunity for
adaptations to the study protocol after the review of interim data.
Adaptations could include (i) change in study endpoint, (ii) change
in randomization, (iii) change in hypothesis (e.g., from superiority
hypothesis to non-inferiority hypothesis), and etc. These adaptations
may shorten the development process and increase the probability
of success.
Under the adaptive trial design, the collected clinical data can be an-
alyzed using the method of analysis of covariance (ANCOVA) with
sex, age, and obesity as fixed effects and other demographics and
patient characteristics such as menopausal status as covariates. The
mixed effects model will allow us not only to test potential sex/age
differences, but also to assess possible sex-by-age interaction. In ad-
dition, odds ratios and their corresponding 95% confidence intervals
between the levels of class variables (fixed effects) can be obtained
for necessary adjustment of study design.
7. Post-Study Subgroup Analysis
If the study already done, one may consider post-study subgroup
analysis. A subgroup (or subpopulation) may be defined by sex, age,
obesity, and/or menopausal status (for female) if the information is
available. Subgroup analysis allow us not only to test potential sex/
age differences, but also to assess possible sex-by-age interaction.
However, subgroup analysis has been criticized that (i) sample size
is often small and hence may not have sufficient power for detection
of clinically meaningful difference, (ii) subgroup may not be repre-
sentative of the entire patient population under study and hence we
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Advantages Disadvantages
Pre-Study
1)      Pre-planned study so that we may make adaptions
to sample size and endpoints so that we can maximize the
chance to achieve a desired power of the trial.
2) May use stratified sampling to avoid the problem of
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3)      May results in small sample size which cause the power to decrease.
4) Problem of generalizing the conclusion of a single subgroup to the
whole population.
Table 1: Pros and Cons of the Two Approaches
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8. Summary
This article summarizes current knowledge of age-/sex- disparities
in the NAFLD pathogenesis, opportunities/challenges in investigat-
ing the disparities in clinical trials of NAFLD/NASH. As detailed
above, there are differences in biology between males and females.
Proper consideration of these variations may aid in delineating the
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Future Considerations of Biological Disparities in Drug Development for NAFLD/ NASH: Trial Design and Analysis

  • 1. Japanese Journal of Gastroenterology and Hepatology Review Article ISSN 2435-1210 Volume 7 Future Considerations of Biological Disparities in Drug Development for NAFLD/ NASH: Trial Design and Analysis Suzuki A1* , Mai W2 and Chow SC2 1 Division of Gastroenterology, Department of Medicine, Duke University School of Medicine, Durham, North Carolina, USA 2 Department of Biostatistics and Bioinformatics, Duke University School of Medicine, Durham, North Carolina, USA * Corresponding authors: Ayako Suzuki MD, PhD, MSc, Gastroenterology, Department of Medicine, Duke University, 40 Duke Medicine Cir, Suite DUMC 3913, Durham, NC 27710, USA, E-mail: Ayako.Suzuki@duke.edu; Shein-Chung Chow, PhD, Biostatistics & Bioinformatics, Duke University, 2424 Erwin Road Ste 1102, 11037 Hock Plaza, Durham, NC 27705, Duke Box 2721, Durham, NC 27710, E-mail: sheinchung.chow@duke.edu Received: 05 Sep 2021 Accepted: 30 Sep 2021 Published: 06 Oct 2021 Copyright: ©2021 Suzuki A, This is an open access article distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, and build upon your work non-com- mercially. Citation: Suzuki A, Future Considerations of Biological Disparities in Drug Development for NAFLD/NASH: Trial Design and Analysis. Japa- nese J Gstro Hepato. 2021; V7(4): 1-7 1 https://jjgastrohepto.org/ Keywords: Complex innovative design; Adaptive trial design; Stratified ran- domization; Post-study subgroup analysis. 1. Abstract Non-Alcoholic Fatty Liver Disease (NAFLD) has become a signifi- cant health concern not only in the US but also worldwide due to the global obesity epidemic. Although the natural course in the majority of NAFLD patients is relatively benign, those with non-alcoholic steatohepatitis (NASH) are at an increased risk of disease progres- sion, leading to hepatic fibrosis, cirrhosis, end-stage liver disease (ESLD), and hepatocellular carcinoma (HCC). Owing to its rapidly increasing prevalence in the US, NASH has become a leading liv- er transplant indication across racial/ethnic groups. NAFLD is also associated with an increased risk of cardiovascular disease, chronic kidney disease, and liver-related and overall mortality, posing a heavy burden both clinically and economically. No FDA-approved pharma- cological agents are currently available to treat NAFLD/NASH. This is likely due to the multifactorial nature of NAFLD and biological disparities. Safe and effective treatments are thereby overly needed to mitigate the NASH progression, prevent complications, and reduce future medical and economic burdens. There are several challenges in the process of testing new agents, which include but are not limited to 1) multifactorial pathogenesis and 2) lack of sufficient consider- ations of biological disparities by age and sex/gender in clinical trial designs. Since current study designs rarely take these disparities into consideration, this paper will focus on the second issue and provide an overview of NASH pathogenesis, epidemiology, and disparities by age and sex/gender and propose possible methodological solu- tions such as adaptive design and post hoc analysis, while discussing advantages and disadvantages of the proposed solutions. 2. Introduction Owing to the obesity epidemic, nonalcoholic fatty liver disease (NA- FLD) has grown as a significant health concern in the US. The NA- FLD prevalence among the adult population has risen from 18% in 1988-1991 to 31% in 2011-2012, according to the National Health and Nutrition Examination Survey (NHANES) studies. [1] NAFLD was once considered as a disease condition prevalent in western countries, but due to the global obesity epidemic, NAFLD became a global health issue; the estimated global prevalence of NAFLD among adults is about 25%. [2] This reflects global westernization of diets and lifestyle, resulting in less-physically activity, sedentary lifestyle, and diets that are high in saturated fats and sucrose and low in dietary fiber, which in turn contributed to a growing health risk of obesity, metabolic diseases, and NAFLD. The majority of NAFLD patients have simple steatosis, a relatively benign condition, but among those with nonalcoholic steatohepatitis Abbreviations: ANCOVA, analysis of covariance; BMI, body mass index; ESLD, end-stage liver disease; HCC, hepatocellular carcinoma; MAPK, mitogen-activated protein kinase; NAFLD, nonalcoholic fatty liver disease; NASH, nonalcoholic steatohepatitis; NHANES, the National Health and Nutrition Examination Survey; ROS, reactive oxygen species; TGF, Transforming growth factor.
  • 2. 2 2021, V7(4): 1-2 https://jjgastrohepto.org/ (NASH), there is an increased risk of hepatic fibrosis progressing to cirrhosis, end-stage liver disease (ESLD), and, in some patients, hepatocellular carcinoma (HCC). [3] About 25-30% of patients with NAFLD are estimated to have the progressive form of NAFLD. [4- 6] Over time, approximately 32% to 53% of patients with NASH experience fibrosis progression. [7, 8] Until recently, viral hepatitis (especially hepatitis C) and alcoholic liver disease were the two lead- ing indications for liver transplants in the US. [9] However, NASH is a rapidly growing liver transplant indication across racial/ethnic groups. [9] NAFLD-related ESLD and HCC became a leading cause of liver transplant consideration in the US: the second leading cause among men and the leading cause among women. [9, 10] NAFLD is also associated with increased risk of cardiovascular disease, cancer, and chronic kidney disease and significantly increases overall mor- tality. [11-14] Thus, NAFLD and its associated comorbidities pose heavy clinical and economic burdens, with a staggering estimated annual direct medical cost of patients with NAFLD of $103 billion in the US and €35 billion in Europe. [15, 16] Therefore, safe and effective treatments to mitigate the NASH progression and prevent complications (i.e., cardiovascular diseases, chronic kidney disease, HCC) are desperately needed. Weight reduction and regular exercise have been proven to reverse steatosis, NASH, and NASH fibrosis. [17] However, achieving and sustaining therapeutic weight reduction and exercise habits is a signif- icant challenge in patients with NAFLD. Identifying an effective, safe pharmacological treatment to mitigate NASH activity and fibrosis is critical to the prevention of NASH progression and liver cancer de- velopment. During the past decades, tremendous advancement was made in understanding the pathogenesis of NAFLD, which led to numerous clinical trials. Despite the identified therapeutic targets and promising candidates tested in clinical trials, no established pharma- cological agents exist today to treat NAFLD. Many trials have been terminated prematurely due to the lack of sufficient efficacy at the interim analysis. The challenges in NASH/NAFLD drug develop- ment are multifactorial. NAFLD pathogenesis is complex, involv- ing a cascade of pathophysiologic changes. Thus, the therapeutic approach should be formulated based on understanding the multi- phasic NAFLD pathogenesis in patients with NAFLD (e.g., a com- bination of drugs targeting multiple pathways, drug therapy in com- bination with diet and/or exercise). Another limitation is the lack of sufficient consideration of biological disparities by age and sex/gen- der in clinical trial design and analytic planning. Robust data exists, demonstrating sex/gender differences in human health and diseases. [18] Many aspects of the NAFLD pathogenesis and the disease pro- gression are regulated in sex-specific manners. [19, 20] Aging also leads to functional senescence in adipocytes, cellular stress response, inflammation, immune response, and regenerative capacity. [21-23] Thus, treatment response and safety profiles may significantly vary by sex, reproductive status, and age. Some medications may exert sex-/age-specific therapeutic effects or safety signals. Since men and women age differently, the effects could be age- and sex-specific. [24] Such disparities are rarely considered in current clinical trials, prob- ably because it would complicate the study design and increase the required sample size. [18, 25] In this article, we will briefly summarize the NAFLD pathogenesis, review biological disparities in NAFLD/ NASH mechanisms, discuss necessary considerations in the analysis, and propose possible methodological solutions, including the appli- cation of adaptive design and posthoc analysis of the trial data to inform later phase clinical trials. 3. Overview of NASH Pathogenesis, Epidemiology, and Disparities by Age and Sex NAFLD is a disease caused by excess lipid accumulation in the liv- er. Beside a few exceptions such as drug-induced NAFLD and lyso- somal acid lipase deficiency, most NAFLD cases are associated with metabolic derangement induced by obesity (i.e., metabolic-associated fatty liver disease or MAFLD). The key disease drivers of NAFLD are abdominal obesity and insulin resistance, both of which fuel the liver with increased free fatty acids delivery, causing metabolic stress in the hepatocytes. [3] When the increased lipid burden encounters failed hepatocellular adaptation, it then leads to hepatocellular dam- age, chronic liver injury (i.e., nonalcoholic steatohepatitis or NASH), fibrosis, and tumorigenesis. [3] The disease severity and progression, i.e., NASH and fibrosis, are considered a consequence of failed ad- aptation to the increased metabolic stress, impaired homeostasis, and dysregulated wound-healing process. [3] Figure 1 depicts the multi- phasic aspects of NALFD pathogenesis. NAFLD occurs in both sexes and spans a wide range of age groups, from children to the elderly. However, the prevalence, clinical and histologic features, and risk factors of NAFLD are not necessarily homogeneous across different age groups or between sexes. [25-28] As reviewed in a recent article, population-based studies consistently demonstrated the prevalence of NAFLD to be higher in men than in women during the reproductive age, while the prevalence in women increases after the age at menopause and exceeds the prevalence in men in older age. [25] This age-sex interaction on the NAFLD prev- alence is partly explained by estrogen’s protective effects on visceral obesity and insulin resistance. [25] Hormone replacement therapy among postmenopausal women appears to be protective against liv- er enzyme elevation presumably associated with NAFLD. [29, 30] Similar age-sex interaction is also observed in the severity of NASH fibrosis; premenopausal women are protected from hepatic fibrosis compared to men and postmenopausal women, [31-33] which is like- ly attributed to estrogen’s inhibitory effects on satellite cell prolifera- tion and fibrogenesis. [34, 35] Of note, the prevalence of NAFLD is positively correlated with body size (i.e., BMI), but this association is weak among the older population [36, 37] reflecting the heterogene- ity in the NAFLD pathogenesis; [38] This observation may suggest that in older subjects, cellular homeostasis/senescence may more significantly contribute to the disease progression than the upstream disease–driving factor, i.e., increased lipid influx to the liver. Robust evidence exists to support biological disparities in the NA-
  • 3. 3 2021, V7(4): 1-3 https://jjgastrohepto.org/ FLD pathogenesis. Sex differences in mechanisms involved in the NAFLD pathogenesis are reviewed in recently published articles [19, 20], thus are not discussed here. However, there are a few crucial points relevant to the purpose of this article. Hepatic gene expres- sion is sexually dimorphic due to the gene regulation by estrogen, androgen, and sex-specific growth hormone secretion patterns [39]. A recent computational modeling study demonstrated that female and male livers are metabolically distinct organs and identified gene regulators exerting sex-specific effects on hepatic triglycerides accu- mulation. [40] Such regulators include peroxisome proliferator-acti- vated receptor (Ppar)-γ, coactivator 1-a (Pgc1a), farnesoid X recep- tor (Fxr), liver X receptor (Lxr), and Ppar-α [40], most of which are functionally related to current therapeutic targets in NASH, [41] reinforcing the significance of considering sex differences in evalu- ating efficacy and safety for drugs targeting these regulators. Besides metabolism, sexual dimorphisms are broadly observed in hepatic gene expressions across the functions qualitatively and quantitatively. An RNA sequence study assessed intra- and interspecies variation in gene regulatory processes among primates and demonstrated sex differences across the species in gene expression involved in lipid metabolism and catabolism, steroid metabolism and biosynthesis, ATP synthesis, RNA splicing and binding, RNA processing, immune response, and wound healing (e.g., wnt signaling) in addition to genes on X-chromosome. [42] Further, hepatic fibrogenesis is regulated by sex hormones. Estradiol inhibits liver fibrosis by inhibiting stellate cell activation via estrogen receptor-β [35, 43], while progesterone activates stellate cells by inducing ROS generation, MAPK pathway activation, and TGFβ1 expression. [44] Thus, physiological estrogen levels (e.g., women vs. men, pre-menopausal vs. postmenopausal women) and the altered ratio of estrogens to progesterone (e.g., con- traceptives) may modulate baseline fibrogenic activities and thus in- fluence therapeutic response to anti-fibrogenic agents. Since hepatic lipid metabolism, inflammation, and fibrosis are frequently targeted in the NASH treatment, proper consideration of age and sex in the study design and analysis is critical in addressing variations in the treatment efficacy and safety profiles. Figure 1: NAFLD pathogenesis 4. Translating the Biological Disparities in The NAFLD Pathogenesis into Statistical Consideration Keeping the biological disparities in mind, we discuss a few statistical considerations in analyzing NAFLD/NASH data. First, age and sex are often considered covariates or variables for matching to remove confounding effects. Given the biological effects of age and sex on the NAFLD pathogenesis, these variables should also be considered potential effect modifiers. Second, when analyzing sex-/age-differ- ences in the efficacy, it is common to stratify the data by age or sex separately. As many of the key mechanisms in NAFLD are regulated by sex hormones, age does not equally affect the disease mechanisms in men and women. Age-sex interaction (two-way interaction) needs to be considered in the analysis (i.e., menopausal status). Sex-specific analysis including all age groups is not sufficient to address sex dif- ferences and may mask important associations. 5. Key Limitations in Current Trial Design and Analysis In liver disease clinical development, it is recognized that there are some limitations in the design and analysis of NAFLD/NASH clin- ical trials. These key limitations include, but are not limited to, (i) the lack of information on sex differences from preclinical experiments to inform study design, (ii) the lack of blocked or stratified random- ization, which often leads to uneven distribution of sex and age (or treatment imbalance in sex and age), (iii) the lack of information on women’s menopausal status and reproductive health which may have an impact on enrollment and/or final data analysis, and (iv) there are no considerations of potential sex/age differences and possible sex-by-age interaction. To overcome some of the limitations, we sug- gest the following approaches be considered: the use of adaptive trial design and post-study subgroup analysis. In what follows, these two approaches will be briefly described. TG: triglyceride VLDL: very low density lipoprotein NASH: nonalcoholic steatohepatitis HCC: hepatocellular carcinoma
  • 4. 4 2021, V7(4): 1-4 https://jjgastrohepto.org/ 6. Future Considerations for NAFLD/NASH Clinical Trials In practice, two approaches can be employed in NAFLD/NASH clinical trials to address the key limitations described above. The first approach is to utilize a pre-study stratified randomization with strat- ification factors of interest such as age and sex under a valid trial design such as adaptive trial design. Stratified randomization allows the assessment of possible confounding and/or interaction effect between treatment and the stratification factors. The second ap- proach is post-study subgroup analysis provided there are sufficient number of subjects in the study. These two approaches are briefly summarized below. The Use of Adaptive Trial Design – First, we suggest employing an adaptive trial design to address some of the limitations discussed above. As indicated in Chow and Chang (2011), there are ten differ- ent types of adaptive trial design (see also FDA, 2019). Selecting an appropriate adaptive design for an intended NAFLD/NASH clinical trial depends upon the study objectives of the intended trial. For example, an adaptive-randomization design may be considered if the objective is to detect potential sex and/or age differences and possi- ble sex-by-age interaction. We can consider a stratified randomized parallel-group design with stratification factors such as sex, age, obesity, menopausal status (fe- male only), and/or other key factors for the specific pathway of in- terest and a planned interim analysis. For instance, we can divide the target population into 4 strata using age and gender: a. Female patient aged over 50 (i.e., age surrogate of menopause) b. Female patient aged 50 or below c. Male patient aged above 50 (this age can be determined using pre- vious knowledge about the treatment effect or just the median age of the target male population) d. Male patient aged 50 or below Then we may recruit patients in each category with known ratio in the whole target population. By randomly assign them with 1:1 ratio to two treatment groups, we will finally result in a 2-arm parallel de- sign in stage 1, each contains patients from all 4 strata with specific ratio. Stage 2 should also be a 2-arm parallel design, but after interim analysis, we may decide to drop patients from some strata if there is no significant treatment effect or there are some considerations about safety. (Figure 2) illustrates the proposed adaptive trial design with stratified randomization. Figure 2: Proposed adaptive trial design with stratified randomization
  • 5. 5 2021, V7(4): 1-5 https://jjgastrohepto.org/ The purposes of the planned interim analysis are multi-fold. First, it is to verify the assumptions made upfront for power calculation of sample size requirement based on data observed at interim. Second, it is to perform sample size re-estimation to determine whether we will achieve the study objective with the desired power in the end if the observed clinically meaningful difference (treatment effect) pre- serves till the end. Third, we may stop the trial early due to safety, futility and/or efficacy after the review of interim data. (May drop both the arms which are unresponsive to the treatment or adjust safety measures if any arms exert safety concerns, and continue with the treatment sensitive arms.) Fourth, it provides the opportunity for adaptations to the study protocol after the review of interim data. Adaptations could include (i) change in study endpoint, (ii) change in randomization, (iii) change in hypothesis (e.g., from superiority hypothesis to non-inferiority hypothesis), and etc. These adaptations may shorten the development process and increase the probability of success. Under the adaptive trial design, the collected clinical data can be an- alyzed using the method of analysis of covariance (ANCOVA) with sex, age, and obesity as fixed effects and other demographics and patient characteristics such as menopausal status as covariates. The mixed effects model will allow us not only to test potential sex/age differences, but also to assess possible sex-by-age interaction. In ad- dition, odds ratios and their corresponding 95% confidence intervals between the levels of class variables (fixed effects) can be obtained for necessary adjustment of study design. 7. Post-Study Subgroup Analysis If the study already done, one may consider post-study subgroup analysis. A subgroup (or subpopulation) may be defined by sex, age, obesity, and/or menopausal status (for female) if the information is available. Subgroup analysis allow us not only to test potential sex/ age differences, but also to assess possible sex-by-age interaction. However, subgroup analysis has been criticized that (i) sample size is often small and hence may not have sufficient power for detection of clinically meaningful difference, (ii) subgroup may not be repre- sentative of the entire patient population under study and hence we References 1. Ruhl CE, Everhart JE. Fatty liver indices in the multiethnic United States National Health and Nutrition Examination Survey. Aliment Pharmacol Ther. 2015; 41: 65-76. 2. Younossi ZM, Koenig AB, Abdelatif D, Fazel Y, Henry L, Wymer M et al. Global epidemiology of nonalcoholic fatty liver disease-Meta-ana- lytic assessment of prevalence, incidence, and outcomes. Hepatology. 2016; 64: 73-84. 3. Suzuki A, Diehl AM. Nonalcoholic Steatohepatitis. Annu Rev Med. 2017; 68: 85-98. Advantages Disadvantages Pre-Study 1)      Pre-planned study so that we may make adaptions to sample size and endpoints so that we can maximize the chance to achieve a desired power of the trial. 2) May use stratified sampling to avoid the problem of treatment imbalance within each characteristic group. 1) With dropping out unwanted strata, generalizability of the study will decrease. 2) After dropping out the unresponsive strata, sample size may become too small to make the conclusion statistically significant even if we recruit some more patients in the treatment sensitive groups. Post-Study 1) Can assess whether patients in different subgroups benefits or experience harm due to a treatment differently. 1) Multiple analyses may cause Type I error to inflate and may also in- crease the probability of observing different or even opposite treatment effect across subgroups. 2) May result in treatment imbalance since the stratification of target pop- ulation is not done in advance. 3)      May results in small sample size which cause the power to decrease. 4) Problem of generalizing the conclusion of a single subgroup to the whole population. Table 1: Pros and Cons of the Two Approaches cannot draw any conclusions regarding the entire patient population, and (iii) it is most likely there are treatment imbalance with respect to sex/age, obesity, and other factors as deemed important by PI. To overcome these problems, it is suggested that a clinical trial simula- tion in conjunction with a sensitivity analysis be conducted in sup- port of subgroup analysis. Under the framework of post-study subgroup analysis, data can be similarly analyzed using the method of analysis of covariance (AN- COVA) with sex, age, and obesity as fixed effects and other demo- graphics and patient characteristics such as menopausal status as covariates. The mixed effects model will allow us not only to test potential sex/age differences, but also to assess possible sex-by-age interaction. In addition, odds ratios and their corresponding 95% confidence intervals between the levels of class variables (fixed ef- fects) can be obtained. 8. Summary This article summarizes current knowledge of age-/sex- disparities in the NAFLD pathogenesis, opportunities/challenges in investigat- ing the disparities in clinical trials of NAFLD/NASH. As detailed above, there are differences in biology between males and females. Proper consideration of these variations may aid in delineating the heterogeneity in therapeutic response in patients with NAFLD/ NASH and inform personalized therapeutic approaches in patients with NAFLD.
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