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CHAPTER 22
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Ketamine and Other
Investigational Agents
Gerard Sanacora, M.D., Ph.D.
Brandon M. Kitay, M.D., Ph.D.
Over the past decade, depression has emerged as the leading cause of dis-
ability worldwide (Vigo et al. 2016, 2020). The significant morbidity and mortality
associated with depression (Kessler et al. 2003) extend beyond its impact on individ
ual productivity (Stewart et al. 2003) and cost the United States nearly $210 billion in
2010, with a substantial proportion attributable to indirect costs unrelated to treat
ment (Greenberg et al. 2015). While many factors contribute to the growing prevalence of depression, including practical, structural, and psychological barriers that
limit access to timely and robust treatment (Thornicroft et al. 2017), there is also great
concern regarding the inadequacy of our standard pharmacotherapies (Insel and
Wang 2009). Antidepressant medications remain among the three most commonly
prescribed therapeutic classes in the United States (Hales et al. 2019; Martin et al.
2019), yet one-third to nearly one-half of all patients diagnosed with major depressive
disorder (MDD) will not adequately benefit from multiple, often successive, courses
of antidepressant therapy (Gaynes et al. 2009; Nie et al. 2018; Rush et al. 2006). This
fact underscores our need for novel antidepressant treatments, because patients with
treatment-resistant depression (TRD)—defined as depression that does not to
respond to at least two trials of an oral antidepressant at an effective dosage for an
adequate duration (Sackeim 2001)—have low chances of achieving meaningful
symptomatic relief with further trials of standard antidepressant therapies (Zisook et
al. 2008). Because patients with TRD account for the greatest share of health care burden among patients with depressive disorders (Amos et al. 2018; Pilon et al. 2019),
considerable research efforts have focused on developing antidepressants with this
population in mind.
For the past 70 years, the general class of antidepressant medications comprised an
array of orally administered agents with pharmacodynamic properties that nearly all
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converged on a common mechanism of action: modulation and/or enhancement of
monoaminergic (e.g., serotonin, norepinephrine, dopamine) neurotransmission.
Based on serendipitous discoveries made in the late 1950s (Perez-Caballero et al.
2019; Schildkraut 1965), the “monoaminergic deficiency hypothesis of depression”
(Coppen et al. 1967) has remained the cornerstone of antidepressant design. How
ever, the growing recognition that these medications bring limited benefit to many
patients has cast doubt on their true efficacy (Ioannidis 2008). Furthermore, the dis
crepancy of several weeks between demonstrable neurophysiological changes in the
brain and clinical benefits, along with marked variability in response (Cipriani et al.
2018), has further challenged our understanding of the mechanism of monoamine
targeting antidepressants and, by extension, the pathophysiological processes underlying depression (Harmer et al. 2017).
One of the most impactful and rapidly expanding lines of scientific inquiry over the
past 30 years has been the study of amino acid neurotransmission (GABA and gluta
mate) and of the critical roles these systems play in neurophysiology and neuroplasticity. Dysregulation of glutamatergic neurotransmission is now implicated in the
pathophysiology of multiple neuropsychiatric disorders ranging from amyotrophic
lateral sclerosis to schizophrenia and from traumatic brain injury to obsessive-compulsive disorder (Javitt et al. 2011). The involvement of the glutamatergic system in regulating neuroplasticity, through effects on both synaptogenesis and dendritic pruning,
points to a central role of the system in a diverse range of neurological processes, in
cluding adaptive brain function. The widespread distribution and ubiquitous nature
of the system highlight the diverse range of neurological processes that are likely in
fluenced by the system. For example, the critical role of the glutamatergic system in
mediating the brain’s response to stress has identified a critical link between psychosocial/environmental stress and the pathophysiology of mood and anxiety disorders
in humans (Duman et al. 2019; Lener et al. 2017; Popoli et al. 2011).
This expanded understanding of the neurophysiological contributions of amino
acid neurotransmitter systems and their disruption in both murine models of chronic
stress and patients suffering from depression has driven exploration of the therapeu
tic potential of readily available pharmacological agents capable of targeting these
systems (Wilkinson and Sanacora 2019). These efforts led to a wave of discovery cul
minating in the FDA approval of the first novel non-monoaminergic antidepressant
medication, esketamine. The drug is believed to primarily target the glutamatergic
neurotransmitter system, providing a rapid onset of antidepressant effects in previ
ously treatment-nonresponsive depressed patients (U.S. Food and Drug Administration 2019). In this chapter we briefly describe the process of discovery, review the
clinical data surrounding the efficacy and safety of the emerging treatments associated with the glutamatergic system, and reevaluate our understanding of the unique
mechanisms of action associated with these novel treatments.
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Path to the Discovery of Ketamine’s
Antidepressant Action
Like most journeys leading to novel discoveries, the path to the discovery of esketamine
as a novel antidepressant was characterized by a series of serendipitous observations,

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scientific breakthroughs, blind alleys, red herrings, and unexpected connections to
other branches of science and medicine. In chronological order, we would need to look
back over 60 years to a serendipitous observation reported by George Crane in 1959
(Crane 1959). Much like the original discovery of iproniazid’s antidepressant effects,
leading to the development of the monoamine oxidase inhibitor (MAOI) class of anti
depressants (Slattery et al. 2004), Crane published his observations of rapid improvements in mood, sleep, and appetite following the initiation of Seromycin (
D-cycloserine)
for the treatment of tuberculosis. Although this study predated any understanding of
D-cycloserine’s effects on the glutamatergic system, and even the understanding of glu-
tamate’s role as a neurotransmitter, later work has shown us that
partial agonist at the glycine site of the glutamatergic N-methyl-
D-cycloserine acts as a
D-aspartate (NMDA) re-
ceptor, possibly providing the mechanism of the drug’s observed antidepressant action
(Thomas et al. 1988). Also predating the understanding of glutamate’s role in neuro
transmission and pathophysiology, a second study designed to explore ketamine’s effect on the psychoanalytical construct of abreaction in 100 hospitalized Iranian patients
diagnosed with a variety of psychiatric disorders showed, back in 1973, that a single
dose of ketamine could produce rapid improvement in symptoms (Khorramzadeh and
Lotfy 1973). These reports did not directly lead to further studies with NMDA receptor–
targeting drugs, but in retrospect they are seen as providing supportive evidence of the
receptor’s ability to mediate rapid-onset antidepressant effects.
The first line of investigation that provided a direct link to the development and
approval of esketamine as an antidepressant treatment was a series of studies from
Phil Skolnick’s laboratory at the National Institutes of Health (Pilc et al. 2013). These
studies found evidence of NMDA receptor abnormalities associated with stressinduced rodent models of mood disorders and identified the NMDA receptor as a
pharmacological target for antidepressant drug development in the early 1990s.
Other work at the time demonstrated that tricyclic antidepressants—in addition to
their effects on monoamine neurotransmission—also modified NMDA receptor binding and function, suggesting that the receptor may be involved in the downstream
mechanisms of even the classic antidepressants (Reynolds and Miller 1988). In paral
lel, there was an increasing awareness of corticolimbic circuitry emerging at the time,
and how it related to depressive symptoms. Given that these are largely glutamater
gic and GABAergic circuits, it was reasoned that drugs targeting these systems may
produce more direct antidepressant effects, not requiring the secondary changes in
neurophysiology necessary for the monoaminergic drugs to produce their antidepressant effects (Krystal et al. 2019). This work provided the foundational evidence
for the seminal proof-of-concept study by Berman et al. (2000) demonstrating the an
tidepressant potential of ketamine, a well-characterized NMDA receptor antagonist.
Remarkably, the findings showed that a single infusion of ketamine produced a rapid
onset of antidepressant effects capable of lasting for days after a single administration
in a small group of eight patients in a randomized crossover study design. However,
interest in developing ketamine as a novel, rapidly acting antidepressant therapy
only gained sustained momentum nearly 6 years later following the replication and
confirmation efforts by Zarate et al. (2006) at the National Institute of Mental Health.
This early work not only spurred interest in ketamine and ketamine-like compounds
but also can be credited with more broadly reigniting interest in antidepressant drug
development that had waned through the end of the twentieth century.
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Clinical Applications of Ketamine and Esketamine
for Major Depressive Disorder
Since the 2006 report of subanesthetic ketamine producing rapid-acting antidepressant effects in subjects with MDD, there has been a relative explosion of studies and
case series exploring the effects of ketamine and related drugs in the treatment of a
variety of neuropsychiatric disorders. Here we will attempt to present a review of the
data currently available, focusing on mood disorders and organized by drug. Because
this chapter largely covers investigational agents, this section aims to provide the es
sential information required to evaluate their potential clinical efficacy and to expand
our understanding of the pathophysiology of the disorders or guide the development
of novel treatment strategies.
Ketamine
The majority of studies to date have focused on the efficacy of ketamine or esketamine
for the treatment of depressive episodes in patients who have not had an adequate
response to standard oral antidepressant medications. Many of the initial published
reports simply confirmed the short-term effects of ketamine at the subanesthetic dose
of 0.5 mg/kg over a period of 40 minutes (Table 22–1) (McGirr et al. 2015; Newport et
al. 2015). However, there is now an increasing number of studies specifically address
ing many of the important clinical questions related to optimal dosing, frequency of
treatments, and longer-term management plans, as well as route of delivery (Caddy
et al. 2014, 2015). Additionally, there have been several studies examining the efficacy
and safety of several drugs with pharmacological properties similar to ketamine, including esketamine, the only one of the drugs in this discussion to have received approval by the FDA for treatment of a psychiatric disorder at this time.
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Optimal Dose: Intravenous Ketamine
The original Berman et al. (2000) study of ketamine in the treatment of MDD used a
dose of 0.5 mg/kg delivered intravenously over a period of 40 minutes. This dose was
chosen not based on theoretical grounds intending to optimize antidepressant effi
cacy, but because it was the dose capable of producing marked acute effects on perception and cognition while still allowing the subject to remain awake enough to
answer questions (Krystal et al. 2019). Although studies employing rodent models
suggest the existence of an “inverted U”–shaped dose-response curve associated with
the antidepressant efficacy of ketamine (Chowdhury et al. 2017; Li et al. 2010), there
are remarkably few studies attempting to identify the optimal dose of ketamine to
provide clinical benefit. The largest existing study investigating the effects of dose on
clinical response examined only the short-term outcomes related to a single intravenous infusion (provided over 40 minutes) of ketamine at four different doses (0.1 mg/
kg, 0.2 mg/kg, 0.5 mg/kg, and 1.0 mg/kg) or a midazolam control (active placebo)
(Fava et al. 2020). Although this study was underpowered for definitive comparisons
to be made, ketamine at all doses showed numerically greater reductions in depression severity compared with midazolam. The 0.5-mg/kg dose and the 1.0-mg/kg
dose were superior to the comparator (midazolam) at day 1 and day 3 following in-
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TABLE 22–1. Representative selection of randomized controlled trials of ketamine in subjects with major depressive disorder (MDD)
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Ketamine and Other Investigational Agents
Sample
size Design
Berman et al. 2000 9 Double-blind,
crossover
Zarate et al. 2006 18 Double-blind,
crossover
Sos et al. 2013 30 Double-blind,
crossover
Route,a schedule, dose
IV, single, saline vs. 0.5 mg/kg
(40-minute infusion)
IV, single, saline vs. 0.5 mg/kg
(40-minute infusion)
IV, single, saline vs. 0.54 mg/kg
(30-minute infusion)
Murrough et al. 2013a 73 Double-blind IV, single, midazolam (active placebo)
Depression
rating scale
b
HAM-D
(25-item)
HAM-D
(21-item)
MADRS Significant improvement at day 1
MADRS Significant improvement at day 1
vs. 0.5 mg/kg (40-minute infusion)
Lapidus et al. 2014 20 Double-blind,
IN, single, saline vs. 50 mg MADRS Significant improvement at
crossover
Hu et al. 2016 30 Double-blind IV, single, saline+oral escitalopram
MADRS Significant improvement at
vs. 0.5 mg/kg+oral escitalopram
(40-minute infusion)
Singh et al. 2016b 68 Double-blind IV, multiple, saline vs. 0.5 mg/kg
MADRS Significant improvement as early
twice weekly or thrice weekly
(40-minute infusions), up to 4 weeks
a
Route: IN=intranasal; IV=intravenous.
b
Rating scales: HAM-D=Hamilton Depression Rating Scale (25- or 21-item); MADRS= Montgomery-Åsberg Depression Rating Scale.
Outcome
Significant improvement at
2 hours through 72 hours
Significant improvement at
2 hours through 1 week
through day 7
posttreatment over placebo
40 minutes through 48 hours
2 hours through 2 weeks
as 3 days and through 15 days
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fusion and showed evidence of a longer duration of action (Fava et al. 2020; Salloum
et al. 2020). The clinical responses to the lower ketamine doses (0.1 and 0.2 mg/kg)
were less consistent, and there was not strong evidence of a standard linear doseresponse relationship. In retrospect, the original choice of 0.5 mg/kg may have been
an extremely fortuitous decision. However, there remains a need for further investi
gation toward determining the optimal dosing of ketamine and identifying potential
factors moderating dose response—for example, concomitant medications (Anand et
al. 2000) that would impede or improve clinical efficacy.
Optimal Dosing Schedule: Intravenous Ketamine
The studies in the first wave of research exploring the antidepressant effects of ketamine were limited to single administrations of the drug. They demonstrated peak antidepressant benefits occurring within 24–72 hours of dosing, but then a gradual
diminution of the beneficial effect in most patients over the following days and weeks
(Caddy et al. 2015). A few early reports presenting evidence that the antidepressant
effects could be sustained by providing six doses over 2 weeks (aan het Rot et al. 2010;
Murrough et al. 2013b) were met with great interest, because they started to show the
potential of using ketamine in the clinical management of patients. Although there are
now several studies providing mostly consistent evidence of sustained clinical benefit
with repeated ketamine dosing, there remain unanswered questions surrounding the
frequency of dosing, the parameters for continuation and maintenance of ketamine
therapy, and the safety of repeated administrations. One of the few studies specifically
designed to evaluate how the frequency of ketamine administration could impact
treatment of depression randomly assigned participants to either twice-weekly or
thrice-weekly dosing with either 0.5 mg/kg ketamine or saline placebo. Although both
dosing frequencies showed clear beneficial effects of ketamine over placebo, there was
no evidence to suggest that thrice-weekly dosing was superior to twice-weekly dosing
in producing and sustaining the antidepressant effect over the duration of the study
(Singh et al. 2016b). These data represent the most thorough examination of the initial
dosing frequency for ketamine in the treatment of MDD available to date and provided
the rationale for the design of pivotal trials leading to the FDA approval of esketamine.
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Longer-Term Treatment Planning
The strategy for longer-term treatment planning with ketamine remains largely underdeveloped at this time. Although there are now large-scale pivotal trials performed with extended use of intranasal esketamine that may afford an opportunity
for extrapolation (see subsection “Esketamine” later in this chapter), there remains
relatively little work published specifically exploring the optimization of intravenous
ketamine treatment. Reports from several programs and a survey of many academic
and private clinics providing intravenous ketamine treatment for MDD suggest that
in many patients, the antidepressant benefit can be sustained with intermittent treatments (Phillips et al. 2020; Szymkowicz et al. 2013; Vande Voort et al. 2016; Wilkinson
et al. 2017, 2018), but the optimal frequency of dosing to preserve benefits with repeated dosing has not clearly been determined. A survey of relatively early adopters
of the treatment in 2017 suggested that the majority of patients were returning for
treatment approximately every 2–5 weeks after completing an index course lasting a
few weeks. This finding appears to be consistent with other, more recent reports and

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clinical practice. However, the data supporting this frequency remain of low quality,
and there is variability in the reported frequency of administration that suggests there
may be individual differences influencing the optimal dosing frequency.
Potential Risks of Ketamine Administration
and Maintenance Treatment
The choice of whether to initiate ketamine in the treatment of a depressive episode and
whether to continue with maintenance ketamine treatments should include careful
consideration of potential risks to the patient. The concerns associated with the use of
ketamine in treatment for depression can be captured in four general categories.
First, there are acute physiological and psychological risks associated with the administration of ketamine. Administration of ketamine can alter cardiovascular function, increasing heart rate and blood pressure. Although increases are generally limited
in intensity and duration, they should be considered a potential risk for individuals
with underlying cardiac or cerebrovascular conditions. Ketamine administered at the
dose described as most effective in the treatment of depression can also have marked
effects on cognition and perception that can be anxiogenic and dysphoria-inducing to
some patients. Although these effects are quite transient, typically lasting only minutes
to 1 hour after the infusion has stopped, they can be subjectively unpleasant to some
patients and in rare cases may have a longer duration. The ability to manage these
acute risks requires a unique set of clinical skills and monitoring capabilities that has
limited the broader use of the treatment modality largely to specialty outpatient clinics
and academic settings.
Second, there are potential longer-term physiological consequences of repeated
ketamine administration. Neurological, urinary, and gastrointestinal pathology have
all been associated with repeated ketamine use. Multiple preclinical studies have
demonstrated neurotoxic effects related to the administration of ketamine and other
NMDA receptor antagonists (Costa et al. 2020). Although most of these studies exam
ined the effects of high doses of the drugs and administration during sensitive periods of development, there is evidence that even repeated subanesthetic doses of
ketamine can cause neurotoxic effects, including behavioral changes and cellular ab
normalities in the hippocampus of cynomolgus monkeys (Li et al. 2020) and rodents
(Schobel et al. 2013). These studies, paired with evidence that ketamine use disorder
is associated with several worrisome alterations within the CNS, including decreased
gray matter, impaired cognition, and increased proneness to psychosis, provide
strong cause for concern (Edward Roberts et al. 2014; Morgan et al. 2012, 2014).
Frequent use of ketamine can also contribute to a range of uropathies, including ulcerative cystitis, contracted bladder, ureteral stenosis, vesicoureteral reflux, impaired
peristalsis function of the renal pelvis or ureter, and even chronic kidney failure. Although the exact mechanism underlying ketamine’s toxic effect on the urinary system
has not been completely elucidated, it is thought to involve direct toxicity to the
urothelium and possibly neurogenic inflammation (Castellani et al. 2020). Similar
toxic effects of heavy frequent ketamine misuse have also been reported within the
gastrointestinal system, resulting in epigastric pain, recurrent vomiting, and gastrointestinal bleeding (S.Y.W. Liu et al. 2017).
Fortunately, there have been very few reports suggesting neurotoxicity in the form
of persistently impaired cognition or increased psychotic episodes associated with
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