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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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