Can neoadjuvant chemotherapy be replaced with immune checkpoint blockade combined with dual anti-HER2 antibodies for HER2-enriched breast cancer?
The West German Study Group (WSG) has recently reported the results of a relatively small but provocative phase 2 trial (WSG-KEYRICHED-1) testing the hypothesis that de-escalation of neoadjuvant therapy for HER2+ breast cancers, omitting neoadjuvant chemotherapy (NCT) entirely and substituting immune checkpoint blockade (ICB), could increase the pathologic complete response (pCR) rates compared to the historical rate with HER2-targeted therapy alone (1). They used the “target” pCR rate of 40% to improve upon, based on past experiences with chemotherapy-free regimens, as reported from trials such as NeoALTTO and NeoSphere (2,3). In NeoALTTO, for example, a total pCR (no invasive cancer in the breast or regional nodes, i.e., ypT0/Tis N0) rate of 46.8% was achieved with the combination of trastuzumab and lapatinib. In the NeoSphere trial, however, the total pCR rate (breast & nodes) was only 11.2% (16.8% in breast) with dual anti-HER2 antibodies, vs. 39% with the addition of a taxane (3). Of note, relative to comments below, roughly half of the tumors in those two studies were estrogen receptor-positive (ER+) and/or progesterone receptor-positive (PR+).
Neoadjuvant trials with chemotherapy plus dual antibodies have reported pCR rates in excess of 50–70%, a high bar indeed (4-9). Addition of ICB to chemotherapy + HER2-targeting, however, has not proven to add benefit in the setting of neoadjuvant treatment for HER2+ breast cancer (10,11). These studies used atezolizumab to block PD-L1 rather than the anti-PD-1 antibody pembrolizumab, which was used in this study. The KATE2 trial testing addition of atezolizumab to trastuzumab-emtansine for advanced HER2+ breast cancer also did not show any improvement compared to trastuzumab-emtansine alone (12). The recently reported Neo-HIP trial compared paclitaxel (T) + trastuzumab (H) + pertuzumab (P) vs. THP + pembrolizumab (THP-K) vs. TH-K in the neoadjuvant setting (13). Adding pembrolizumab to THP increased the total pCR rate from 51.9% to 67.2%. The arm without pertuzumab was discontinued because of a low pCR rate (<40%). While this study showed the potential benefit of adding ICB in the neoadjuvant setting for HER2+ breast cancer, all three arms included paclitaxel chemotherapy. A recent randomized trial in the setting of metastatic HER2+ breast cancer testing the addition of atezolizumab to chemotherapy + dual anti-HER2 therapy, NRG BR004 (NCT03199885), was halted early because of excess deaths in the experimental arm.
The addition of ICB to anti-HER2 antibody treatment was certainly a logical step to consider, given that HER2+ tumors tend to have high tumor mutational burdens (TMBs) and high levels of tumor-infiltrating lymphocytes (TILs) (14-16). Moreover, the immune profile of HER2+ breast cancers, based on TIL, immune signatures and PD-L1 expression has been found to be predictive of response to neoadjuvant therapy (17-20). In addition to inhibition of HER2 signaling, pre-clinical and clinical evidence suggest that activation of immune mechanisms is also involved in the efficacy of HER2-targeting antibodies (2,21-27).
Despite the lack of statistically significant improvement in the pCR rate (47% of the 43 subjects with centrally confirmed pathologic responses, compared to the “benchmark” of 40%), the translational biomarker studies suggest potential subsets of patients who might be appropriate for a larger phase 3 study comparing this approach to the more standard neoadjuvant approach of chemotherapy plus dual anti-HER2 blockade.
For example, tumors that were scored as PD-L1+ [combined positive score (CPS) ≥1] were associated with pCR of 58% compared to only 22% for PD-L1 negative tumors. This is similar to the experience of ICB benefit observed for metastatic triple-negative breast cancers (TNBCs) (28,29), but differs from the Keynote-522 neoadjuvant trial (30,31). In Keynote-522, ICB was beneficial regardless of PD-L1 status, although higher PD-L1 scores were associated with better outcomes in both arms of the study. Other biomarkers that were associated with a higher likelihood of pCR in the WSG study included higher grade and higher expression of ERBB2, PD-1 and PD-L1 mRNAs. Conversely, detectable plasma circulating tumor DNA (ctDNA) was associated with a lower likelihood of pCR with this chemotherapy-free regimen. It should be noted that in the discussion, the authors stated that “translational research suggests that higher baseline expressions of ERBB2, PD-1, and PD-L1, and ctDNA are negatively associated with pathological complete response after neoadjuvant pembrolizumab plus dual HER2 blockade.” Aside from plasma ctDNA, this contradicts the data presented, and I have confirmed by communication with the authors that this comment was an error. There was no significant impact of TIL or TMB on the rate of pCR in this study, but this could be a result of the small sample size involved.
The lower pCR rate for PR+ tumors (21% vs. 59% for PR−) is not surprising, given that hormone receptor (HR)+HER2+ tumors have also been found to be less likely to achieve pCR with chemotherapy + HER2-targeted therapy or dual HER2-targeted therapy alone in multiple studies, including in the neoadjuvant setting (2,3,32-40). As reviewed by Schedin et al., so-called “triple positive” breast cancers are particularly resistant to HER2-targeted therapies, even with the addition of chemotherapy (32). Although the differences in pCR for ER+ vs. ER− tumors in the WSG study was in the same direction as for PR status (59% vs. 38%), this did not reach the same level of significance as for PR; this is likely a result of the small sample size, particularly for ER−PR+ tumors (which is difficult to decipher from Tab. 2). As described in the Schedin et al.’s review, roughly half of HER2+ cancers are also HR+, but only a small minority (<10%) of HER2+ tumors are likely to be ER−PR+ (32). Moreover, less than half of HR+/HER2+ breast cancers belong to the HER2-enriched subtype, with the remaining being luminal A or B. In any future trials of chemotherapy-free neoadjuvant treatments testing HER2-targeting + ICB, as proposed by the authors, it would be reasonable to exclude patients with any HR+ tumors, i.e., ER+ and/or PR+. Given that HER2+HR+ breast cancers have somewhat lower levels of TIL than HR−HER2+ tumors (1,17,41), addition of ICB is less likely to be valuable for these so-called “triple positive” cancers without other treatments to modify the tumor microenvironment (TME). Currently, based on the cross-talk of HR and HER2 signaling and the CDK4/6 pathway, neoadjuvant trials of chemotherapy-free treatment with HER2-targeted therapy + endocrine therapy + CDK4/6 inhibitors would be a reasonable approach, which has been explored in a phase 2 trial and is being considered for future trials (32,42).
Tumors that were scored 3+ for HER2 expression were also more likely to experience pCR (20/39 or 51%) than the small number of tumors that were scored 2+ (0/4). It may have been that pre-selecting tumors for this trial determined to be of the HER2 enriched subtype by the PAM50 RNA expression assay resulted in only a few patients being included with 2+ HER2 immunohistochemistry (IHC) scores. For the design of a subsequent larger trial to assess the clinical effectiveness of dual HER2 blockade + ICB vs. HER2 blockade + chemotherapy, some of these biomarkers, including the PAM50 score, might not be as practical for patient selection as simply limiting entry to patients whose tumors are 3+ for HER2 by IHC, HR-negative and with a PD-L1 CPS score ≥1. It might be reasonable based on this study to exclude patients with positive ctDNA, but it might be more valuable and more interesting to include those patients and, as was done here, follow ctDNA serially to determine whether it is predictive of pCR as well as long-term outcomes with either chemotherapy-free treatment or with HER2 blockade + chemotherapy. Indeed, a similar strategy is being implemented in a current U.S. trial (EA1211) but instead evaluating serial positron emission tomography (PET) scans during neoadjuvant therapy of HER2+ breast cancers. National Surgical Adjuvant Breast and Bowel Project (NSABP) B-64 also involves collecting blood for ctDNA assessment during and after NCT for TNBC and HER2+ breast cancers.
One question about the relevance of this trial for HER2+ breast cancers overall was that 51% of the subjects were classified by the authors as having stage I cancers, although 58% had T2 tumors, which would make them stage II, according to American Joint Commission on Cancer (AJCC) 8th edition criteria (43). One might have assumed that these patients would have had higher pCR rates than those with higher stages, but in fact this was not the case. It would be important to know whether the pre-treatment staging of these patients included axillary ultrasound, which is now commonly practiced in U.S. centers for newly diagnosed invasive breast cancers.
As pointed out by the authors in the introduction, multiple studies of neoadjuvant therapy for breast cancer, including HER2+ cancers treated with chemotherapy + HER2-targeted therapies, have noted an association between pCR and improved long-term outcomes such as event-free survival (EFS) and overall survival (OS) (44-46). However, as has also been discussed repeatedly, one treatment that increases the rate of pCR compared to another does not necessarily guarantee that it will lead to increased disease-free survival (DFS) or OS (44,47). In fact, a metanalysis of eleven neoadjuvant trials specifically for HER2+ breast cancers, using individual patient data, found that despite clear patient level associations between pCR and EFS and OS, trial-level associations were weak (11). The conclusion of this study was that, despite the usefulness of pCR for clinical patient management for HER2+ breast cancers, it could not be used as a surrogate for long-term outcomes.
Final thoughts: we should be mindful of how low a rate of pCR we are willing to “settle” for by de-escalating neoadjuvant treatment, as this could jeopardize recent and ongoing efforts to de-escalate post-neoadjuvant therapies. These include less surgery, omitting radiation and less aggressive adjuvant systemic therapy. For example, it was shown long ago that NCT can increase the likelihood of breast conservation surgery (48,49), but more recent studies have explored the possibility of omitting breast surgery altogether in patients whose breast tumors have regressed to the point that pCR is highly likely, based on imaging and biopsies (50). It has already become common practice to omit axillary lymph node dissection in patients whose initially positive nodes have undergone pCR, based on sentinel node biopsy/targeted axillary dissection (51-56). Based on the recently reported NSABP B-51 trial, it is likely that many patients with clinically positive nodes may no longer need to receive regional nodal irradiation if axillary nodes are negative after NCT (57). Specifically for HER2+ tumors, a small study followed patients with pCR and breast conserving surgery without radiation and documented no local recurrences (58). A larger prospective randomized NRG trial (NRG-BR008, NCT05705401) was intended to determine whether breast irradiation could be omitted after breast-conserving surgery in patients with low-risk HER2+ breast cancers, including those who experienced pCR with neoadjuvant therapy; unfortunately, this trial was recently halted because of low accrual. The ongoing EA1181 trial (NCT04266249) will determine whether de-escalation of adjuvant systemic therapy for patients who experience pCR with THP neoadjuvant treatment is safe. A trial recently activated by the Alliance group (A12303, NCT06876714) for HER2+ breast cancers after a pCR is also intended to determine whether systemic therapy can be de-escalated, shortening the duration of HP from a total of 12 to 6 months. Finally, it should be noted that some of the possible side effects of ICB, such as hypothyroidism and adrenal insufficiency can be life-long, which may be more concerning than the toxicities of chemotherapy, particularly with regimens that are anthracycline-free.
In summary, this interesting report suggests a possible subset of patients who might avoid chemotherapy altogether by substituting ICB added to effective HER2-targeted therapies.
Acknowledgments
None.
Footnote
Provenance and Peer Review: This article was commissioned by the editorial office, Translational Breast Cancer Research. The article has undergone external peer review.
Peer Review File: Available at https://tbcr.amegroups.com/article/view/10.21037/tbcr-25-57/prf
Funding: None.
Conflicts of Interest: The author has completed the ICMJE uniform disclosure form (available at https://tbcr.amegroups.com/article/view/10.21037/tbcr-25-57/coif). H.D.B. reports institutional support for a clinical trial from Merck; serves on a Breast Cancer Advisory Board for Merck; and holds stock in Abbvie. The author has no other conflicts of interest to declare.
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Cite this article as: Bear HD. Can neoadjuvant chemotherapy be replaced with immune checkpoint blockade combined with dual anti-HER2 antibodies for HER2-enriched breast cancer? Transl Breast Cancer Res 2026;7:22.

