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W4386663322.txt
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https://zenodo.org/records/8340783/files/26..pdf
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ne
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संघर्षवादी प्रा. एन. डी. पाटील
|
Zenodo (CERN European Organization for Nuclear Research)
| 2,023
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cc-by
| 965
|
International Journal of Advance and Applied Research
www.ijaar.co.in
ISSN – 2347-7075
Impact Factor – 7.328
Peer Reviewed
Bi-Monthly
Vol.4 No.28
July-Aug 2023
संघषषवादी प्रा. एन. डी. पाटील
डॉ. चंद्रकांत बाबुराव कुं भार
श्रीवंदन गृहननमाषण संस्था प्लॉट नं.६९४, कोयना वसाहत पो. मलकापूर ता.कराड नज.सातारा.
Corresponding Author- डॉ. चंद्रकांत बाबुराव कुं भार
प्रास्तानवक :नवसाव्या शतकाच्या उत्तराधाषतील राजकीय, सामानजक चळवळीचा महामेरु म्हणून प्रा.डॉ.एन.डी.पाटील यांना सवषजण
ओळखतात. आपलं सवषस्व समाजासाठी खचष करणारा बुलंदी आवाजाचा लढाऊ नेता म्हणून ते सवषश्रत
ु आहेत. स्वातंत्र्यानंतर
समाजात दोन वगष ननमाषण झाले. त्यातील एक वगष सत्तास्थानाकडे गेला.१व उरलेला दुसरा तळागाळाचा कष्टकऱयांचा दबलेला
उपेनित वगष. या वगाषचं नेतृत्व प्रा.एन.डी.पाटील यांनी के ले. देशातील नवसाम्राज्याचे धमाांध शक्तीचे मोठे आव्हान त्यांनी महात्मा
फु लयांच्या नवचारांनी पेललं. श्रनमकांच्या न्यायाथष त्यांनी अथक आंदोलने के ली म्हणून त्यांना आंदोलनाचे अपत्य संबोधले जाते.
उद्दिष्टे :-
प्रनतआंबेडकर
1) प्रा.डॉ.एन.डी.पाटील यांचेवरील संस्कार, जडणघडण
नशिणाबरोबर ध्येयवाद, ननर्मभडता नजि, राष्टसेवा यांचे
यांचा अभ्यास करणे.
2) शोषणमुक्त आनण समतानधष्ठीत समाजननर्ममती कायाषचा
धावता आढावा घेण.े
वेताळराव
खैरमोडे
सरांनी
शालेय
संस्कार के ले. त्यांच्याकडू न नारायणरावांना नवद्येची व
वाचनाची गोडी लागली. प्राचायष डॉ. गोकाक व डॉ.
आप्पासाहेब पवार यांच्या कतषबगारीचा ठसा उमटला.
ज्ञानाची पोषकता लाभली. म. फु ले, कमषवीर भाऊराव
पार्श्षभम
ू ी:प्रा. डॉ. नारायण ज्ञानदेव पाटील यांचा जन्म
पाटील, राजषी शाहू महाराज, म.गांधीजी त्यांची दैवते
ढवळी (सांगली) गावात झाला. तो कालखंड सन १९३०-
ठरली. प्रनतसरकारमधील भूनमगतांचे क्ांनतससह नाना
३५ चा होता. २सत्यशोधकी प्रचाराने ढवळीत मारुतीच्या
पाटील, जी डी लाड, बडे गुरुजी, नागनाथ नायकवडी इ.
नवठोबाच्या देवळातील शाळे त ते नशकले. तेथे पांडुरंग धोंडी
यांचा वावर होता. या सवाषमधून नारायणरावांचे व्यनक्तमत्व
परीट ध्येयवादी नशिक लाभले. ढवळीपासून ८ द्दकलोमीटर
फु लत गेल.े
असलेलया रयतच्या आष्टा हायस्कू लमध्ये त्यांचे नशिण झाले.
खांद्यावर टाकू न ते नवकू लागले. या सवाषतन
ू राष्ट्रसेवच
े ी उमी
मॅट्रिकनंतर त्यांचे कोलहापूरच्या राजाराम कॉलेजमध्ये
प्रवाहीत झाली. व सन १९४२ च्या स्वातंत्र्य लढ्यात ते
पुढील नशिण झाले.
सहभागी झाले.
संस्कार जडण घडण :३आईवडील
४कोलहापूर
‘जनसत्ता’ साप्तानहकांचे अंक
प्रा.एन.डी.पाटील यांचे लढे :अडाणी होते परं तु सुसंस्कारीत
देवगुणी होते. त्यांनी नारायणांचेवर उत्तम संस्कार के ले.
‘कु णाच्या वाळलया पाचोळ्यावर पाय द्यायचा नाही’ अशी
त्यांनी नशकवण द्ददली. देवगुणी आईनी दुसऱयावर प्रेम
सन
१९५४-५७
चे
कालखंडात
प्रा.डॉ.एन.डी.पाटील छ.नशवाजी कॉलेज, सातारा येथे
प्राध्यापक व ‘कमवा व नशका’ योजनेचे प्रमुख रे क्टर होते.
शेतकरी कामगार पिाच्या पनहलया फळीतील नेते बाद
करायचं बाळकडू द्ददलं. थोरले बंधू गणपतराव तथा ‘गणपा
झालयावर त्यांच्याकडे पि नेतत्ृ वाची जबाबदारी आली.
कााँग्रेस’ यांनी राष्ट्रसेवा व समाजसेवा यांची गोडी लावली.
दाजीबा देसाई, उध्दवराव पाटील, कृ ष्णराव धुळप,
परीट गुरुजींनी हुषारी जाणून त्यांच्या नशिणाला पुढे गती
आण्णासाहेब गव्हाण, नवठ्ठलराव हांड,े गणपतराव देशमुख
द्ददली. ‘नारायण नशकला तर नक्की नाव काढील’ परीट
गुरुजींच्या शब्दामागे अथष धावला. माध्यनमक शाळे त
इ. बरोबर घेऊन कायषआरं भ गतीने सुरु के ला. त्यांच्या
71
IJAAR
Vol.4 No.28
ISSN – 2347-7075
भाषेतन
ू , पूरक लेखनातून समाज उन्नतीचा नवचार प्रवाहीत
सोपे नव्हे. त्याचं वागणं राहणं साधं होतं. सवषसामान्य
होत होता. त्यांच्या जीवनाकडे थोडे मागे वळू न बनघतले तर
कायषकत्याषच्या खांद्यावर हात ठे वणार एन.डी.पाटील अगदी
५ते
साधेपणाने जगले. त्यांचा फाटका तुटका कायषकताष छातीवर
मुंबईत नगरणी कामगार युननयन सेक्ेटरी होते. मुंबईत
काम करीत असताना त्यांना फक्त रु.४५ एवढा पगार होता.
हात ठे वून दावा करायचा, ‘एन.डी. माझं ऐकतात.’
तेव्हा ते एकवेळच जेवायचे. पाव नमसळ खायचे. अशा
समारोप :-
मोठ्या नजकीरीने द्ददवस काढले.
६शोषणमुक्त
समतानधष्ठीत
प्रा. एन. डी. पाटील म्हणजे अजब नमश्रण आहे.
समाजननर्ममतीसाठी राजकीय सामानजक चळवळीत त्यांनी
त्यात महषी सशदेची ननरपेिता आहे, समपषकता आहे.
भाग घेतला. नगरणी कामगारांचा लढा मोठ्या नहमतीने
त्यांच्यात महात्मा गांधीजीची अंनहसा आहे. महात्मा
लढनवला.
फु लयांचा सत्यशोधक नवचार हा त्यांच्या कायाषचा गाभा
त्यानंतर एकापाठोपाठ एक असे लढे लढनवले.
होता. त्यांचं कायष बहुआयामी होतं. रयत नशिण संस्थेची
गोवा मुनक्तचा लढा, संयुक्त महाराष्ट्राची चळवळ (सन
धूरा त्यांनी आयुष्यभर पाळली. रयत नशिण संस्थेला एक
१९५८-६०) भूमीआंदोलन, शेतीमालाला द्दकफायतशीर
आदशष संस्कारपीठ के ले. ज्ञानाला मूलयाची, अन संशोधनाला
भाव लढा, (हा प्रश्न १९७२ पासून धसाला लावला.) ७यावर
भक्कम
१९७० मध्ये एक पुरक पुनस्तका नलहली, कापूस एकानधकार
कायषप्रणालीने भारत सरकारने रयत नशिण संस्थेला डॉ.
योजना (१९७२-१९७८) महागाई उपासमार नवरोधी लढा
बाबासाहेब आंबेडकर राष्ट्रीय पुरस्काराने सन्मानीत के ले.
(१९६५) दुष्काळ ननवारण नवरोधी लढा या प्रश्नासाठी
सवषसामान्यासाठीचा मुनक्तलढा ही त्यांची खडतर वाटचाल
राज्यभर मोचे, ननदशषन,े सत्याग्रह, धरणे आंदोलने के ली
होती. शोनषतांचे उन्नतीसाठी त्यांचे योगदान, कष्टकऱयांसाठी
(१९७१-७२)
८नशिणनवषयक
र्श्ेतपनिके नवरुध्द लढा
(१९६८) या संदभाषत पुरक लेखन-र्श्ेत पनिके चे कृ ष्णस्वरुप
पुनस्तका (१९६७) लेखन प्रनसध्द के ले. या उठावासाठी संपण
ू ष
महाराष्ट्रात ४०० सभा घेतलया. अंधश्रध्दा ननमूषलन,
धरणग्रस्त आंदोलन, वीजदरवाढ नवरोधी आंदोलने, एन्रॉन
हटाव आंदोलन जागनतकीकरण नवरोधी आंदोलने के ली. ही
सारी गांधीजीच्या असहसा मागाांनी (सत्याग्रह) के ली.
सामान्यपणे पंचाहत्तर वषे हे लढे द्ददले. चांगलया नेत्याच्या
रक्तातून नेहमी समाजाचा नवचार वाहतो. आयुष्यभर
शे.का.पिाशी एकननष्ठ रानहले. ९माक्सषवादावर त्यांची मोठी
श्रध्दा होती. समाजात जोपयांत ‘आहे रे ’ आनण ‘नाही रे ’ हे
दोन वगष आहेत तो पयांत संघषष अटळ आहे हा त्यांचा ठाम
नवचार होता. ते समाजाचे आधारस्तंभ होते. त्यांच्या
तोलामोलाचा, त्यागी, ननरपेि माणूस नवरळच. त्यांच्या
यशात सरोज पाटील तथा माई यांचा बराच सहभाग होता.
शैिनणक व सामानजक इनतहासातील ते एक आगळे जोडपे.
अशी समरसता नवरळच. एन.डी. साहेबांनी चळवळीला
पूरक लेखन के ले. या खेरीज नवनवध संस्था अकादमी चे
अध्यि व ननमंिक होते. अशा बहुआयामी नेतृत्वास नवनवध
संस्था, नवद्यापीठांनी डी.नलट. पदवी देऊन त्यांचा गौरव
के ला. महाराष्ट्र फाऊंडेशनद्वारा ‘राजषी शाहू गौरव’ पुरस्कार
बहाल के ला. त्यांचे समाजाला योग्य नेतृत्व लाभले हा
समाजबांनधलकीची
जोड
द्ददली.
त्यांच्या
त्यांनी द्ददलेलया लढतीची नोंद इनतहासात नचरकाल राहील
यात नतळमाि शंका नाही.
संदभष साधने
1) डॉ.पाटील टी.एस.-प्रा.एन.डी.पाटील नाबाद ९०-
प्रबोधन प्रकाशन इचलकरं जी ज्योती अंक ३६८-जूलै
२०१८ पान.२१
2) संपा.भोळे , बेडद्दकहाळ - डॉ.एन.डी.पाटील - व्यनक्तत्व
व कतुत्ष व - आंबेडकर अकादमी बदलता महाराष्ट्र. दुसरी
आ.नडसें २००३ पान.२७८
3) प्राचायष सायनाकर नवर्श्ास-चट्ररि ग्रंथमाला-श्रनमक
प्रनतष्ठान कोलहापूर-प्र.आ.२०१२ पान.१८
4) प्राचायष डॉ.पाटील टी.एस- भाई प्रा.एन.डी.पाटील-
प्रा.एन.डी.पाटील
कायषगौरव
सनमती,
कोलहापूर
प्र.आ.२००३ पान.८
5) द्दकत्ता पान.१४
6) पाटील नवजया-प्रा.डॉ.एन.डी.पाटील–मुक्ता पनब्लसशग,
कोलहापूर-प्र.आ.जाने २०१४ पान.१६
7) द्दकत्ता – प्रा.सायनाकर पान.१४९
8) प्रा.डॉ. नलावडे नवजयराव – रयत नशलेदार – प्रकाशक
सातारा इनतहास संशोधन मंडळ – प्र.आ.सप्टे २०१४
पान.०७
9) द्दकत्ता – प्राचायष डॉ.पाटील टी.एस. पान.३७
महाराष्ट्राचा बहुमान आहे. बंधूनो प्रस्थानपता नवरोधी लढणे
डॉ. चंद्रकांत बाबुराव कुं भार
72
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https://openalex.org/W2896252133
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http://www.journalijar.com/uploads/594_381_IJAR-24762.pdf
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English
| null |
FIRST CASE REPORT ON METRIBUZINE, AN HERBICIDE SUICIDAL POISONING, PRESENTED WITH FATAL METABOLIC ACIDOSIS, ACUTE RENAL FAILURE, AND HYPOKALEMIA.
|
International journal of advanced research
| 2,018
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cc-by
| 2,371
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ISSN: 2320-5407 ISSN: 2320-5407 Int. J. Adv. Res. 6(9), 864-868 Journal Homepage: -www.journalijar.com
Article DOI:10.21474/IJAR01/7745
DOI URL: http://dx.doi.org/10.21474/IJAR01/7745 Dr.Sayani Banerjee, Dr.PrashantTiwari and Dr.Bhagendra Rana …………………………………………………………………………………………………….... Manuscript Info
Abstract
……………………. ………………………………………………………………
Manuscript History
Received: 23 July 2018
Final Accepted: 29 August 2018
Published: September 2018
Background: A 27 years female patient presented within 21 hours of
alleged history of suicidal ingestion of Metribuzine, an herbicide, in a
drowsy state and with acute renal failure. Clinical Presentation: Patient’s arterial blood gas revelaed severe fatal
metabolic acidosis and hypokalemia. Inspite of aggressive
resuscitation with early invasive positive pressure ventilation,
intravenous crystalloid, intravenous potassium and sodium bicarbonate,
patient went into cardiac arrest and after 1 hour of high quality
cardiopulmonary resuscitation patient died. During resuscitation
clinical signs of pulmonary oedema and hemorrhage also noticed. Discussion and Conclusion: Metribuzine, inspite of being an widely
used herbicide, no case has been reported so far, specially with fatal
outcome. No data available in human. Animal studies concluded that it
is a non acutely toxic herbicide in mammals. Though we differ seeing
the fatal outcome in our case and suggest more extensive studies in
human. Copy Right, IJAR, 2018,. All rights reserved. …………………………………………………………………………………………………….... Introduction:-
Herbicide is considered most detected pollutant chemical in water and besides synthetic fertilizers it also leads to
disturbance in the biodiversity of the ecosystem and its residues enter food chain and finally ingested by human. So
environmental risk of herbicides and protection from it become a global worry. Metribuzine is a synthetic organic compound used as a selective triazinone pre- and post-emergent weed control
herbicide, launched in 19701, 2. Metribuzin is presently sold in more than 75 countries, with the top five being the
United States, Brazil, Canada3, China, and Germany4. In India it is sold under various trade names, used as broad
spectrum herbicide to control of grasses and broad-leaf weeds sugar-cane, potato, tomato, wheat, soy-bean. It
effectively controls Phalaris minor which has developed resistance to most of the herbicides in addition to many Abstract Background: A 27 years female patient presented within 21 hours of
alleged history of suicidal ingestion of Metribuzine, an herbicide, in a
drowsy state and with acute renal failure. Discussion and Conclusion: Metribuzine, inspite of being an widely
used herbicide, no case has been reported so far, specially with fatal
outcome. No data available in human. Animal studies concluded that it
is a non acutely toxic herbicide in mammals. Though we differ seeing
the fatal outcome in our case and suggest more extensive studies in
human. Herbicide is considered most detected pollutant chemical in water and besides synthetic fertilizers it also leads to
disturbance in the biodiversity of the ecosystem and its residues enter food chain and finally ingested by human. So
environmental risk of herbicides and protection from it become a global worry. Metribuzine is a synthetic organic compound used as a selective triazinone pre- and post-emergent weed control
herbicide, launched in 19701, 2. Metribuzin is presently sold in more than 75 countries, with the top five being the
United States, Brazil, Canada3, China, and Germany4. In India it is sold under various trade names, used as broad
spectrum herbicide to control of grasses and broad-leaf weeds sugar-cane, potato, tomato, wheat, soy-bean. It
effectively controls Phalaris minor, which has developed resistance to most of the herbicides in addition to many
other grasses and broad leaf weeds. Microbial degradation is the principal route of removal of metribuzin from the soil. Metribuzin is reported to be
rapidly detoxified by deamination by the soil fungus Cunninghamella echinulata6, also moderately adsorbs to soil
with high clay and/or organic matter content5, 7, 8. Table 1:-
Common Name
Metribuzine
IUPAC Name
4-amino-6-tert-4,5-dihydro-3-methylthio-1,2,4-triazin-5- Metribuzine 4-amino-6-tert-4,5-dihydro-3-methylthio-1,2,4-triazin-5- 864 Int. J. Adv. Res. 6(9), 864-868 ISSN: 2320-5407 one
Chemical Abstracts Services Registry Number
21087-64-9
Molecular Weight
214.3
Molecular Formula
Appearance
White to offwhite crystalline powder
Formulations
70% WP Case presentation: p
We are reporting a case of acute suicidal ingestion of aprox. 500mg Metribuzine, by a 26 years old female, who
presented in emergency room after 21 hours of ingestion, in a state of altered mental status, very agitated and anuria
for last 6 hours. On presentation, she was tachycardic, hyperventilating; blood pressure was not recordable,
maintaining oxygen saturation of 89% in room air, capillary blood glucose of 100 mg/dl. Patient received gastric
lavage and atropine i.v. from outside hospital. 12 lead ECG done which was suggestive of sinus tachycardia. Arteiral blood gas done in ER which revealed severe
fatal metabolic acidosis: pH=6.94, Pco2=12, PO2=123, Potassium=2.9, Sodium=127, Bicarbonate < 3. We intubated the patient; advanced airway was secured, and ventilated. Almost 2Litre of intravenous crystalloid
fluid was rushed via 2 large bore peripheral intravenous accesses. Intravenous 200ml 8.4% sodabicarbonate and
potassium were given and 200ml sodabicarbonate intravenous infusion was started. Shortly, after 30 minutes of
arrival in ER patient went into cariac arrest. Cardiopulmonary resuscitation was started immediately as per ACLS
protocol but after almost one hour of high quality of CPR patient could not be revived. During resuscitation copious We intubated the patient; advanced airway was secured, and ventilated. Almost 2Litre of intravenous crystalloid
fluid was rushed via 2 large bore peripheral intravenous accesses. Intravenous 200ml 8.4% sodabicarbonate and
potassium were given and 200ml sodabicarbonate intravenous infusion was started. Shortly, after 30 minutes of
arrival in ER patient went into cariac arrest. Cardiopulmonary resuscitation was started immediately as per ACLS
protocol but after almost one hour of high quality of CPR patient could not be revived. During resuscitation copious 865 Int. J. Adv. Res. 6(9), 864-868 ISSN: 2320-5407 pink frothy secretions with fresh blood were noticed to come out from endotracheal tube, suggestive of pulmonary
oedema and also pulmonary hemorrhage. pink frothy secretions with fresh blood were noticed to come out from endotracheal tube, suggestive of pulmonary
oedema and also pulmonary hemorrhage. ISSN: 2320-5407 ISSN: 2320-5407 ISSN: 2320-5407 Mahmoud M Elalfy et al (2017), found in his study in rats, Metribuzine to caused decrease in weight gain ratio of
albino rats, proportional with increase in dose level, increased liver enzymes (ALT and AST), significant elevation
of LDH, urea and creatinine, decreased glucose, cholesterol, total protein and albumin level. Histopathological
changes in liver, kidney and spleen and testes were documented. Significant normocytic normochromic anemia and
leukocytosis noticed. Additionally, at a dose of 440 mg/kg metribuzin induce anomalies in both head and tail of
sperm and reduced level of IL-2 expression in liver and level of globulin12. In a two-year feeding study in beagle dogs reviewed by the Food Directorate of the Department of National Health
and Welfare, food consumption and body weight gain were reduced in the highest dose group (55.5 mg/kg bw per
day); thyroid weight in males and females and liver, spleen and kidney weights in males were increased relative to
body weights. At 3.5 mg/kg body weight per day, there was an increase in the incidence of necrobiosis of the liver,
mucopolysaccharide droplets in the lobular periphery of the liver weres also noted. No-observed adverse-effect level
(NOAEL) 13 concluded as 0.83 mg/kg body weight per day, In accordance with current cancer guidelines (U.S. EPA, 1986a), it is a Class D carcinogen in humans and animals. Metribuzin was not found to be mutagenic or teratogenic in several bacterial assays or microbial point mutation
assays14, 15,16,17,18. Conclusion:- No previous case was reported either in India or globally in any past literature, the reason can be due to mostly non
fatal outcome. Though in our case report the patient, with acute Metribuzine toxicity had died from severe metabolic
acidosis, pulmonary oedema and pulmonary hemorrhage within 24 hours of ingestion, neither of which was
mentioned in any previous literature. More so, it is mostly mentioned as having mild to moderate acute toxicity. The
reson of severe metabolic acidosis, pulmonary oedema and pulmonary hemorrhage leading to death in our case
remains inconclusive. We, the authors suggest further study of toxic effects of Metribuzine in human, especially
effects on coagulation profile, vascular system and lung. Also possibility of fatal outcome needs to be studied
further, as use of Metribuzine as an herbicide is widespread not only in India but worldwide. Discussion:- J. Adv. Res. 6(9), 864-868 Int. J. Adv. Res. 6(9), 864-868 Discussion:- No reports on the effects of exposure of humans to metribuzin were identified in the literature. Hazard
characterization has therefore been accomplished in animal toxicity studies. Metribuzin is considered to be relatively
non-acutely toxic to mammals9. Studies in rats reported to eliminate about 80% in the first day following administration, and 95% by the second day
after intragastric administration of Metribuzine. Almost equal amounts were found in the urine and faeces. The
major urinary metabolite was deaminometribuzin mercapturate10. Metabolites identified in the tissues included the
deaminated metabolite, the diketo metabolite and the deaminated 1 diketo metabolite, the diketo metabolite is 2 to 3
times more toxic in rats than the parent compound, whereas the deaminated and deaminated diketo metabolites are
of equivalent toxicity11. Kimmerle et al. (1969) showed that metribuzin was not an eye irritant in a primary eye irritation test in rabbits. Another study also conducted by Kimmerle et al. in 1969, metribuzin exposure produced very slight irritation of
rabbit skin. However, it has not been shown to produce sensitization effects in guinea pigs (ACGIH, 1986). Table 2:-Acute Toxic Effects of Metribuzine
Species
Active Ingredient
Route of Exposure
Results
Reference
Rat
Not specified
Oral
LD50: Males 2,300
mg/kg
Females
2,200 mg/kg
Kimmerle
et
al.,1969
Rabbit
Not Specified
Dermal
LD50:
>
20,000
mg/kg
Crawford
and
Anderson, 1972
Rat
Not Specified
Oral
LD50: Males 1,090
mg/kg
Females
1,206 mg/kg
Crawford
and
Anderson, 1974
Guinea Pig
Not Specified
Oral
LD50: Males 245
mg/kg Females 274
mg/kg
Crawford
and
Anderson, 1974
Rat
Not Specified
Oral
LD50: Males 2,379
mg/kg
Females
2,794 mg/kg
Mobay
Chemical,
1978a
Rat
Not Specified
Dermal
LD50:
>
5,000
mg/kg
Mobay
Chemical,
1978a
Rat
Not Specified
Inhalation
LC50:
>
20,000
mg/m3
Mobay
Chemical,
1978a
Rat
Not Specified
Oral
LD50: 1,100 mg/kg
Morgan, 1982
Mouse
Not Specified
Intraperitoneal
LD50: 210 mg/kg
PCBPBS, 1984
Rat and Rabbit
Not Specified
Dermal
LD50:
>
2,000
mg/kg
ACGIH, 1986
Mouse
Not Specified
Inhalation
LC50: > 860 mg/m3
ACGIH, 1986
Rat
92.6%
Inhalation
LC50:> 648 mg/m3
Shiotsuka, 1986
Mouse
Not Specified
Oral
LD50:
698-
711
mg/kg
Hartley and Kidd,
1987
Cat
Not Specified
Oral
LD50: > 500 mg/kg
Hartley and Kidd,
1987
Guinea Pig
Not Specified
Oral
LD50: 250 mg/kg
Hartley and Kidd,
1987
Rat
Not Specified
Percutaneous
LD50:
>
20,000
mg/kg
Hartley and Kidd,
1987 Table 2:-Acute Toxic Effects of Metribuzine 866 Int. J. Adv. Res. 6(9), 864-868 Int. J. Adv. Res. 6(9), 864-868 Int. References:- R.T. (Ed.). 1992. Farm Chemicals Handbook '92. Meister Publishing Company, Willoughby, OH. 2. U.S. Environmental Protection Agency. 1988. Personal communication with Vicky Walter. Office of Pesticide
Programs, Regulatory Division. PM-25. Washington, DC. 2. U.S. Environmental Protection Agency. 1988. Personal communication with Vicky Walter. Office of Pesticide
Programs, Regulatory Division. PM-25. Washington, DC. 3. Environment Canada/Agriculture Canada. Pesticide Registrant Survey, 1986 report. Commercial Chemicals
Branch, Conservation and Protection, Environment Canada, Ottawa (1987). 3. Environment Canada/Agriculture Canada. Pesticide Registrant Survey, 1986 report. Commercial Chemicals
Branch, Conservation and Protection, Environment Canada, Ottawa (1987). 4. Weed Science Society of America. Herbicide handbook. 5th edition. Champaign, IL (1983). 5. Geyer, H., Politzki, G. and Freitag, D. Prediction of ecotoxicologicalbehaviour of chemicals: relationship
between n-octanol/water partition coefficient and bioaccumulation of organic chemicals by alga Chlorella. Chemosphere, 13: 269 (1984). p
6. Pritchard, P.H. Fate of pollutants. J. Water Pollut. Control Found. 58(6): 636 (1986). p
( )
(
)
7. Sharom, M.S. and Stephenson, G.R. Behaviour and fate of metribuzin in eight Ontario soils. Weed Sci., 24: 153
(1976). 7. Sharom, M.S. and Stephenson, G.R. Behaviour and fate of metribuzin in eight Ontario soils. Weed Sci., 24: 153
(1976). 8. The Royal Society of Chemistry. The agrochemicals handbook. 2nd edition (update 1 — April 1988). Nottingham (1988). 9. Bleeke, M.S., Smith, M.T. and Casida, J.E. Metabolism and toxicity of metribuzin in mouse liver. Pestic. Biochem. Physiol., 23: 123 (1985). 10
Bl
k
M S
S ith M T
d C
id
J E M t b li
d t
i it
f
t ib
i
i
li
P
ti ,
,
,
,
y
Biochem. Physiol., 23: 123 (1985). 10. Bleeke, M.S., Smith, M.T. and Casida, J.E. Metabolism and toxicity of metribuzin in mouse liver. Pestic. Bi
h
Ph
i l 23 123 (1985) M.S., Smith, M.T. and Casida, J.E. Metabolism and toxicity of metribuzin in mouse liver. Pes
Physiol., 23: 123 (1985). y
ent of National Health and Welfare. Unpublished evaluation prepared by the Food Directorate (1975 11. Department of National Health and Welfare. Unpublished evaluation prepared by the Food Directorate (1975). 12. Mahmoud M Elalfy, El-Hadidy G. Mona, Mohamed S aboumosalam and Fathy R Ali. BIOCHEMICAL AND
CYTOTOXIC EFFECT METRIBUZIN HERBICIDE ON ALBINO RATS IN SHORT TERM OF TOXICITY. International Journal of Development Research Vol. 07, Issue, 10, pp.16117-16123, October, 2017. 13. Department of National Health and Welfare. 16. Unger, T.M. and Shellenberger, T.E. A teratological evaluation of Sencor (R) in mated female rabbits: 80051.
Final report. Unpublished study, MRID 00087796 (1981), cited in reference 11. 17. Machemer, L. Sencor (Bay 94337). Studies for possible embryotoxic and teratogenic effects on rats after oral
administration: Report Nos. 3678 and 35073. Unpublished study, MRID 00061257 (1972), cited in reference
11. 18. Loser, E. and Siegmund, F. Bay 94337. Multigeneration study on rats: Report Nos. 4889 and 41818.
Unpublished study, MRID 00061262 (1974), cited in reference 11. 16. Unger, T.M. and Shellenberger, T.E. A teratological evaluation of Sencor (R) in mated femal
Final report. Unpublished study, MRID 00087796 (1981), cited in reference 11. 16. Unger, T.M. and Shellenberger, T.E. A teratological evaluation of Sencor (R) in mated femal References:- Unpublished evaluation prepared by the Food Directorate (1975). p
p p
y
ironmental Protection Agency. Health advisory — metribuzin. Office of Drinking Water (1987). 14. U.S. Environmental Protection Agency. Health advisory — metribuzin. Office of Drinking W 15. Hayes, R.H., Lamb, D.W., Mallicout, D.R. et al. Metribuzin (R) (Sencor) oncogenicity study in mice: 80050. Unpublished study, MRID 00087795 (1981), cited in reference 11. 867 ISSN: 2320-5407 Int. J. Adv. Res. 6(9), 864-868 Int. J. Adv. Res. 6(9), 864-868 Int. J. Adv. Res. 6(9), 864-868 868
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Proteome evolution under non-substitutable resource limitation
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Nature communications
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cc-by
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Corrected: Author Correction
ARTICLE
DOI: 10.1038/s41467-018-07106-z
OPEN
Proteome evolution under non-substitutable
resource limitation
1234567890():,;
Manu Tamminen1,2, Alexander Betz3, Aaron Louis Pereira2, Marco Thali2, Blake Matthews4
Marc J.-F. Suter3 & Anita Narwani2
Resource limitation is a major driver of the ecological and evolutionary dynamics of organisms. Short-term responses to resource limitation include plastic changes in molecular
phenotypes including protein expression. Yet little is known about the evolution of the
molecular phenotype under longer-term resource limitation. Here, we combine experimental
evolution of the green alga Chlamydomonas reinhardtii under multiple different nonsubstitutable resource limitation regimes with proteomic measurements to investigate evolutionary adaptation of the molecular phenotype. We demonstrate convergent proteomic
evolution of core metabolic functions, including the Calvin-Benson cycle and gluconeogenesis, across different resource limitation environments. We do not observe proteomic
changes consistent with optimized uptake of particular limiting resources. Instead, we report
that adaptation proceeds in similar directions under different types of non-substitutable
resource limitation. This largely convergent evolution of the expression of core metabolic
proteins is associated with an improvement in the resource assimilation efficiency of nitrogen
and phosphorus into biomass.
1 Department of Biology, University of Turku, Natura, Yliopistonmäki, 20014 Turku, Finland. 2 Department of Aquatic Ecology, Eawag, Überlandstrasse 133,
8600 Dübendorf, Switzerland. 3 Department of Environmental Toxicology, Eawag, Überlandstrasse 133, 8600 Dübendorf, Switzerland. 4 Department of
Aquatic Ecology, Eawag, 79 Seestrasse, 6047 Kastanienbaum, Switzerland. Correspondence and requests for materials should be addressed to
A.N. (email: anita.narwani@eawag.ch)
NATURE COMMUNICATIONS | (2018) 9:4650 | DOI: 10.1038/s41467-018-07106-z | www.nature.com/naturecommunications
1
ARTICLE
T
NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-07106-z
he ability to survive on and compete for limited resources
is an important factor governing the abundance and distribution of all organisms1. Resource limitation can
determine the persistence and dynamics of populations, and the
outcome of competitive interactions among species. Phytoplankton, like all photo-autotrophs, compete for nonsubstitutable and limiting inorganic resources, such as light,
nitrogen, and phosphorus, among others2. Population-level
responses of phytoplankton to resource limitation vary widely
across the tree of life3–5, and recent evidence suggests that these
responses may evolve rapidly6. In this paper, we investigate the
molecular basis of adaptation to limiting resources in
phytoplankton.
Quantifying metabolic shifts induced by resource limitation
can provide important insights into the plastic and evolutionary
adaption of phytoplankton to environmental change. Wholegenome sequencing of model organisms, such as Chlamydomonas
reinhardtii, and high-throughput molecular phenotyping methods, including transcriptomics, proteomics, and metabolomics,
have been used in studies focusing on plastic changes in the
molecular phenotype induced by short-term exposure to resource
limitation7–9. These studies have demonstrated that phytoplankton may show significant phenotypic restructuring at the
metabolic and molecular level, which may enable species to cope
with fluctuations and short-term shortages in resource availability. However, virtually nothing is known about evolutionary
adaptation occurring at the level of the molecular phenotype in
response to longer-term exposure to non-substitutable resource
limitation (but see refs. 10,11). We aim here to address this gap
using a powerful combination of experimental evolution and
proteomic phenotyping.
Phenotypic evolution in response to different nutrient limitation scenarios can be either convergent or divergent. One possibility is that competition for limiting resources causes phenotypic
divergence12–15. For example, variation in the identity of resource
limitation in a heterogeneous environment may select for unique
phenotypes which are each specialized on efficiently consuming
and converting different limiting resources, according to availability11,16–19. An alternative outcome could be convergent evolution if similar phenotypes are repeatedly selected from
independent origins due to similar types of environmental
selection (e.g., limitation by the same resource)20–22.
Here, we propose that selection under different types of
resource limitation may also select for convergent trait evolution,
particularly when the resources are non-substitutable, and
therefore essential for growth. In the case of non-substitutable
resource limitation, blockage of the cell cycle, growth, and
therefore fitness, cannot be overcome by adaptive specialization
on other, more available resources. In this case, adaptation can
only result from (a) increased capacity to acquire the nonsubstitutable limiting resource or (b) increased metabolic efficiency given a fixed ability to acquire the non-substitutable limiting resource. In the first case, phenotypic adaptation may be
specific to the identity of the limiting resource (i.e., divergent in
the case of different limiting resources), but in the second case,
phenotypic adaptation is likely to involve changes in core metabolism that are similar across a variety of limiting resources (i.e.,
convergent), especially when phenotypic changes are strongly
constrained by metabolism.
In phytoplankton, there are several well-known core metabolic
functions that are necessary for reproduction, including photosynthesis, respiration, carbon metabolism, transcription, translation, and protein synthesis. Short-term metabolic changes in
phytoplankton in response to various types of resource-induced
stress, including nitrogen or phosphorus limitation, involve shifts
in core carbon metabolism including photosynthesis, the
2
Calvin–Benson cycle, glycolysis/gluconeogenesis, and fatty acid
synthesis, as well as shifts in the expression of proteins used to
protect from heat-shock or photo-oxidative damage7,8,10,23–25.
While not universal, resource-induced stress tends to lead to a
reduction in photosynthesis and the Calvin–Benson cycle, and a
concurrent increase in starch production or fatty acid biosynthesis7,23,25. More generally, these responses represent tweaks of
core metabolism that allow cells to shift resource allocation from
growth to storage, given the physiochemical constraints on the
cell cycle imposed by the resource limitation. Nevertheless,
resource limitation also induces molecular phenotypic changes
that are unique and targeted to the specific resource and are
functionally targeted at improved resource acquisition. For
example, both nitrogen25 and phosphorus limitation8 result in the
upregulation of the respective nutrient transporters and organic
nutrient assimilation pathways, and low light results in the
upregulation of photosynthesis proteins24. There may therefore
be both convergent and divergent phenotypic adaptations
occurring simultaneously in response to selection under unique
but non-substitutable resource limitation, with convergent
responses occurring in core metabolism and divergent responses
occurring in resource acquisition strategies.
Here we used experimental evolution under different nutrient
limitation scenarios to investigate the metabolic adaptation of the
model green phytoplankton species Chlamydomonas reinhardtii.
We aimed to address three basic questions: (1) Does protein
expression evolve in response to limitation under nonsubstitutable resource limitation? (2) If so, is proteomic evolution generally convergent or divergent in response to different
types of non-substitutable resource limitation? (3) Are convergent
responses overrepresented by core metabolic functions and
divergent responses overrepresented by resource acquisition
functions? We investigated the model alga, C. reinhardtii, because
it is known to evolve rapidly and has exceptional genomic
resources26–30. We grew C. reinhardtii either under light, nitrogen or phosphorus limitation, as well as in a biotically-spent
medium (i.e., the medium had been used to grow other algae
prior to being fed to the evolving C. reinhardtii). We used a
biotically-spent medium to mimic the influence that a biodiverse
community of phytoplankton may have on the availability of all
dissolved resources: multiple resources being depleted simultaneously according to the requirements of biotic competitors. We
also introduced a salt-stress selection environment, and a crossed
salt-stress by biotically-spent medium environment, because
previous work has suggested that stress may accelerate adaptive
evolution31 and thus accelerate metabolic adaptations over the
course of the period of the experimental evolution. Furthermore,
salt-stress provides an outlier selection treatment which enables a
comparison of adaptation under resource limitation relative to
that under another type of environmental stress. We report
adaptation which proceeds in similar directions under different
types of non-substitutable resource limitation. This convergent
evolution is associated with an improvement in the resource
assimilation efficiency of nitrogen and phosphorus into biomass.
Results
Evidence of proteomic evolution under resource limitation.
Selection under resource limitation (as outlined in Supplementary
Figure 1) resulted in significant evolution of Chlamydomonas
reinhardtii proteomes, as indicated by the redundancy analysis
(RDA) and permutational ANOVA (p < 0.001; Fig. 1). RDA was
performed using all 3347 protein expression levels as response
variables and populations and treatments as explanatory variables, providing 51 independent observations. The first two
RDA axes explain 74% of the total variation. We treated the
NATURE COMMUNICATIONS | (2018) 9:4650 | DOI: 10.1038/s41467-018-07106-z | www.nature.com/naturecommunications
ARTICLE
NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-07106-z
b
Treatment centroid distance
Normalized peptide count RDA2
a
0.1
0.0
–0.1
ent centroid an
atm
gle
0°
Tre
0.3
0.2
300°
Treatment
0.1
0.0
100°
B
BS
C
L
N
P
S
Ancestors
200°
–0.2
–0.1
0.0
0.1
Normalized peptide count RDA1
Fig. 1 RDA analysis of protein expression levels explained by treatments and conditioned by population. Protein expression levels include 3347 response
variables and consist of 51 independent observations. a The selection treatments cause significant differences in the protein expression levels (redundancy
analysis, RDA; permutational ANOVA; p < 0.001; error bars represent standard errors). The first two RDA axes explain 74% of the total variation (which
totals at 0.00586 units). Ancestral and control treatments are separated from the other treatments by Axis 1 (ANOVA; TukeyHSD post hoc test p < 0.01)
and the low-phosphate treatment is separated from ancestors, controls, biotic, low-light, and high-salt treatments by Axis 2 (ANOVA; TukeyHSD post hoc
test p < 0.01). b The angles and distances of each treatment from the ancestral mean on the RDA plane. All treatments exhibit convergent trajectories with
the significant exception of the control (p < 0.01; TukeyHSD post hoc test)
populations as biological replicates, as there were no differences
in the proteome expression among the populations when placed
in a common garden after the selection treatments (RDA analysis
with permutational ANOVA; p = 0.762) (Supplementary
Figure 2).
We quantified 3347 proteins and found that 1304 displayed
significant differential regulation relative to the ancestral average
(permutation test p < 0.001; Supplementary Figure 4), and
351 showed significant differential regulation relative to the
control selection lines (Fig. 2). We found little evidence for strong
adaptation to life in chemostat, as expression between the control
treatments and ancestors was not significantly different
(ANOVA; TukeyHSD post hoc test of RDA axis 1 p = 0.99;
RDA axis 2 p = 0.75) (Fig. 1, Supplementary Figure 3). However,
we found significant protein expression differences among
treatments — ancestors and control treatment were significantly
different from all other treatments on RDA Axis 1 (ANOVA; p <
0.01) (Fig. 1, Supplementary Figure 3). The low-phosphate
treatment was significantly different from the ancestors and the
control, biotic, low-light, and high-salt treatments on RDA Axis 2
(ANOVA; p < 0.01) (Fig. 1, Supplementary Figure 3). The salt
treatment, included in this experiment as an outlier treatment,
representative of stress in general, was not significantly different
from any of the resource limitation treatments.
Convergence versus divergence in proteomic evolution. We
identified support for convergent proteomic evolution in six out
of seven treatments by measuring the centroid, direction, and
distance of each treatment relative to the ancestral mean. The
selection treatments significantly affected the direction of evolution relative to the ancestors on the plane of the two first RDA
axes (ANOVA; p < 0.001) (Fig. 1b). The control treatments were
separate from the other treatments in the direction of their evolution (TukeyHSD post hoc test; p < 0.05) (Supplementary Figure 4). The evolutionary distance, as quantified by the distance
from the ancestral mean on the plane of the first two RDA axes,
was not significantly different among the treatments (ANOVA;
p = 0.297) (Fig. 1b and Supplementary Figure 4).
In order to divide proteins into those showing convergent and
divergent responses to selection across treatments, we first
identified the proteins whose expression was significantly
different relative to the control treatment (Dunnett test p < 0.05;
n = 351) and then divided them into convergent (Friedman test
p > = 0.1; n = 232) and divergent (Friedman test p < 0.1; n = 70)
responses, based on whether or not treatments had significantly
different impacts on protein expression. Both convergent and
divergent proteins are non-uniformly distributed across different
genomic and chromosomal loci, with certain chromosomes
showing little variation (such as chromosomes 14 and 15) and
other chromosomes showing a high degree of variation (such as
chromosomes 6 and 12) (chi-square test p < 0.001) (Fig. 2b). We
found evidence for extensive convergent proteomic evolution in
response to the different selection treatments.
Functional classification of proteins responding to selection.
Among proteins with a convergent response (Friedman test
p > = 0.1), 89 proteins generally responded positively across all
selection treatments (Group 1 in Fig. 3), 178 generally responded
negatively (Group 2). Among proteins with a divergent response
(Friedman test p < 0.1), 43 proteins generally responded positively
(Group 3) and 44 generally negatively (Group 4) (Fig. 3). In
addition, we detected 14 chloroplast-encoded genes, 11 of which
exhibited a convergent, and 3 a divergent response (Supplementary Figure 5). Several proteins across the divergent and
convergent responses have control treatment values, which are
significantly different from the ancestral values (t test p < 0.01;
marked with asterisks; convergent n = 34; divergent n = 11). We
consider these proteins examples of adaptation to chemostat
conditions, which are different from the ancestral growth
environment.
We performed enrichment analysis for proteins within Groups
1, 2, 3, and 4 using DAVID Functional Annotation Tool.
Positively expressed proteins (Groups 1 and 3) in both
NATURE COMMUNICATIONS | (2018) 9:4650 | DOI: 10.1038/s41467-018-07106-z | www.nature.com/naturecommunications
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a
b
Divergent responses
Convergent responses
0
48
S
2
2
0
0
17
5
2
0
Divergent
responses
(n = 70)
2
Downregulation
7
Convergent
responses
(n = 232)
1
Upregulation
N
3
0
L
4
2
BS
5
3
Selection treatments
0
P
5
18
36
0
19
7
5
2
0
1
7
5
6
B
5
16
7
7
C
2
8
0
4
0
9
0
5
0
2
14
2
0
0
5
7
6
13
0
10
11
12
13
14
2
2
5
Chromosomes
15
2
15
16
17
0
7
18
2
5
7
12
19
2
5
0
0
2
2
0
5
0
7
10
5
2
2
5
0
11
9
8
36
48
0 10 20 30 0 10 20 30
Frequency
Fig. 2 Chromosomal loci of the differentially expressed proteins. a Proteins where the expression of at least one treatment is significantly different from the
ancestors (t test p < 0.01; n = 1304; 39% of the total detected proteins). b Among these, 351 proteins exhibit a differential response from the control
(Dunnett test p < 0.05). These differentially expressed proteins classify into divergent (Friedman test p < 0.1; n = 70) and convergent responses (Friedman
test p > = 0.1; n = 232). Both convergent and divergent responses are non-randomly distributed across the chromosomes (chi-square test; p < 0.0001)
convergent and divergent protein groups consist of ribosomeand photosynthesis-related proteins (DAVID Functional Annotation Clustering; p < 0.01). Negatively expressed proteins within
the convergent group (Group 2) consists of carbon metabolismrelated proteins, ATP binding proteins, pyridoxal phosphatedependent transferases, fatty acid degradation-related proteins,
and plant-type vacuolar proteins (DAVID Functional Annotation
Clustering; p < 0.01). Negatively expressed proteins within the
divergent group (Group 4) do not contain any significantly
enriched functions. Unsurprisingly, chloroplast-encoded genes
were significantly enriched in photosynthesis-related functions
(DAVID Functional Annotation Clustering; p < 0.01) (Supplementary Figure 5). Most divergent responses are either
positive or negative across all treatments; however, we identified
a total of 56 proteins where at least one treatment exhibited a
response in a different direction from the other treatments
(Supplementary Figure 5). Enriched biological functions within
this group include photosynthesis (five proteins) and ribosomal
proteins (six proteins) (DAVID Functional Annotation Clustering; p < 0.01).
Metabolic context of the protein expression profiles. Overlaying
the protein expression data on KEGG metabolic diagrams shows
that the strongest proteome-level changes are clustered around the
metabolic pathways of photosynthesis, glycolysis/gluconeogenesis,
and TCA cycle (Fig. 4). Specifically, the Calvin–Benson cycle and
4
gluconeogenetic pathway are near-consistently upregulated across
all treatments, while glycolysis and TCA cycle are downregulated.
Strong upregulation is also prominent among ribosomal components and photosynthetic machinery (Supplementary Data 1).
Proteins related to glycolysis (Fig. 4) and TCA cycle (Fig. 4; shaded
in pink) are generally downregulated under non-substitutable
resource limitation and salt stress, suggesting that catabolism of
carbohydrates is suppressed relative to the ancestors and controls.
On the other hand, Calvin–Benson cycle (Fig. 4; shaded in gray) is
active and producing glycerate-3-phosphate (G3P), which is
channeled up the gluconeogenetic pathway into glyceraldehyde-3phosphate (Fig. 4; shaded in brown). Glyceraldehyde-3-phosphate
is partly being used to maintain an active Calvin–Benson cycle but
is also channeled toward production of α-D-glucose-6-phosphate,
which is a starting point of further anabolic reactions such as
starch synthesis. The details of further anabolic activity are less
clearly supported by our data; for instance the data show no
upregulation of the synthesis of amino acids, fatty acids, and
nucleotides (Supplementary Data 1), and it remains unclear
whether the cells are synthesizing starch (Fig. 4; shaded in cyan).
We observe a divergent response in the low-phosphate treatment,
which shows an increased conversion of L-methionine to Sadenosyl-L-methionine and the conversion of S-adenosyl-Lhomocysteine to L-homocysteine (Supplementary Data 1). However, this response has no obvious relation to increased phosphorus uptake or metabolism.
NATURE COMMUNICATIONS | (2018) 9:4650 | DOI: 10.1038/s41467-018-07106-z | www.nature.com/naturecommunications
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Convergent responses
Enriched functions
**
**
**
*
*
*
**
*
*
Divergent responses
Enriched functions
Group 1:
Upregulated functions
Group 3:
Upregulated functions
*
*
Non-enriched
functions
Non-enriched
functions
*
*
*
**
**
**
*
*
*
**
**
*
*
**
**
**
*
Ribosomal
proteins
Photosynthesis
*
Ribosomal
proteins
Photosynthesis
Group 2:
Downregulated functions
*
*
Non-enriched
functions
*
*
*
*
*
Fatty acid
degradation
**
*
Plant-type
*
** vacuolar proteins
Carbon
metabolism
Group 4:
Downregulated functions
*
*
ATP-binding
Pyridoxal phosphatedependent transferase
*
No significantly enriched functions
*
**
*
C L N P B S BS
–0.004
0
C L N P B S BS
0.004
Fig. 3 Protein expression level heatmaps and annotation for the differentially expressed proteins. Both divergent and convergent responses were divided
into upregulated and downregulated functions based on the mean expression level of each protein across the treatments (marked below the heat maps).
Annotation from GO Biological Processes was available for 166 of 351 proteins. Positive convergent and divergent responses were significantly enriched in
photosynthesis- and ribosome-related proteins (DAVID Functional Enrichment Analysis p < 0.01). Negative convergent responses were significantly
enriched in proteins related to carbon metabolism, ATP binding, pyridoxal phosphate-dependent transferases, fatty acid degradation-related proteins, and
plant-type vacuolar proteins (DAVID Functional Enrichment Analysis p < 0.01). Negative divergent responses had no significantly enriched proteins.
Additionally, we note that two proteins related to methionine metabolism are upregulated in the low-phosphate (P) treatment but downregulated in all
others. An asterisk (*) indicates that the control is significantly different from zero (t test p < 0.05), indicative of adaptations to chemostatic conditions
To determine whether these evolutionary changes in protein
expression influence population-level phenotypes, we grew the
ancestors and descendant populations up in the same common
garden environment used for the proteomics experiment and
measured a number of variables related to carbon and nutrient
metabolism: photosynthesis, respiration, the stoichiometry of
biomass carbon, nitrogen and phosphorus, as well as total
biomass production and nutrient uptake per unit biomass. We
found that the descendants of the evolution experiment under
resource-limitation and salt stress selection treatments tended to
have greater biomass carbon to phosphorus and/or carbon to
nitrogen molar ratios (Supplementary Figure 6). This finding is
consistent with the observed decreased phosphate uptake per unit
of biomass produced in the low-phosphate and biotic treatments
(although we found no-effect on the uptake of nitrogen)
(Supplementary Figure 7). Respiration rates decreased across
the selection treatments, in line with the observed decrease in the
expression of many mitochondrial proteins. However, we also
observed a decrease in photosynthetic carbon assimilation in the
low-nitrogen and biotic treatments (Supplementary Figure 8).
Discussion
Convergent evolution is typically observed in cases where
organisms evolve in similar conditions11,32 or where divergent
selection is weak relative to dispersal, permitting the evolution of
a single-generalist phenotype20. On the other hand, it has been
reported that different nutrient limitation scenarios lead to a
variable range of evolutionary outcomes, with some resourcelimitation environments enabling a broad range of outcomes, and
others resulting in few, apparently constrained, adaptive solutions11. Here, we report convergent proteomic evolution across
variable selective environments. In our experiment, each of the
resource-limitation treatments (low-light, low-nitrogen, and lowphosphorus) was fundamentally different from any other, because
we imposed limitation of different, non-substitutable resources.
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Chloroplast
Mitochondrion
Starch synthesis
ThPP
AcetylCoA
α-D-glucose-1P
Starch, glycogen
Amylose
Pyruvate
S-Acetyldihydrolipoamide-E
TCA cycle
α-D-glucose-6P
Dihydrolipoamide-E
Calvin-benson cycle
β-D-fructose-6P
Sedoheptulose1,7-bisphosphate
2-hydroxy-ethyl-Thpp
ADP-glucose
Lipoamide-E
Isocitrate
Xylulose-5P
Oxaloacetate
Erythrose-4P
Citrate
cis-aconitate
(S)-malate
β-D-fructose-1,6P2
Glycerone-P
Sedoheptulose-7P
Fumarate
Glyceraldehyde-3P
1,3-bisphosphoglycerate
Ribulose-5P
Xylulose-5P
H2O
Glycerate-3P
Gluconeogenesis
Ribose-5P
Thpp
2-Oxoglutarate
Succinyl-CoA
Succinate
S-Succinyldihydrolipoamide-E
Dihydrolipoamide-E
3-carboxy1-hydroxypropyl-ThPP
Lipoamide-E
Ribulose-1,5P2
CO2
Glycolysis
Glycerate-3P
Glycerate-2P
Phosphoenolpyruvate
Fig. 4 Core metabolic pathways of C. reinhardtii. The circles represent metabolites, and the rectangular heat maps the enzymes, with blue indicating
downregulation, red upregulation, and gray no significant change. The order of the colored boxes within the heat maps correspond to the selection treatments
(as in Fig. 3), and the protein expression scale corresponds to the normalized peptide intensities. Metabolic functions are indicated by shading in the following
colors: Calvin–Benson cycle (gray); Starch synthesis (cyan); Gluconeogenesis (brown); TCA cycle (pink). The most consistent response among the different
selection treatments is the upregulation of anabolic functions including of the photosynthetic machinery, Calvin–Benson cycle and gluconeogenetic pathways.
The Calvin–Benson cycle produces glycerate-3-phosphate (G3P), which is likely channeled up the gluconeogenetic pathway into α-D-glucose-6-phosphate. By
contrast, catabolic functions of the TCA cycle (for respiration) and the conversion of G3P into glycerate-2-phosphate are being mostly downregulated
Furthermore, each selection treatment was kept discrete from all
other treatments, allowing no dispersal between the treatments
which precludes selection for a generalist, adapted to all resourcelimitation environments. Finally, the salt-stress treatment provided a point of comparison with investigate unique adaptations
to resource-limitation as opposed to stress in general. As a result,
it does not seem likely that the convergent evolution we observed
across different types of resource-limitation and salt stress, could
have resulted from either evolution to similar experimental
conditions, or from the evolution of a generalist phenotype via
dispersal.
The upregulated functions across the treatments include very
central, highly conserved metabolic functions, such as photosynthesis and protein synthesis33. Convergent selection of such
central functions supports our hypothesis that non-substitutable
resource limitation of any kind obstructs core metabolism,
growth and the completion of the cell cycle, and therefore directs
evolutionary responses to optimize the upregulation and downregulation of proteins related to core metabolic functions. We
interpret this optimization as convergent evolution across
resource-limitation environments because regardless of resource
identity, improvements in metabolic efficiency can only result
from a limited set of core metabolic pathways. The lack of distinct
proteomic responses among the salt-stress treatments supports
our hypothesis that these adaptations are convergent responses to
alleviate obstructions of core metabolic pathways.
This convergent evolution proteomic response was also associated with an improvement in the resource assimilation efficiency of nitrogen and phosphorus into biomass. We observe no
6
evidence for increased acquisition of any limiting resources,
observed for instance in refs. 16–19. On the other hand, upregulation of the core metabolic pathways of Calvin–Benson cycle and
gluconeogenesis, and other core functions, such as photosynthesis
and protein synthesis33, strongly support our hypothesis that the
cells use increased metabolic efficiency as an adaptive strategy to
non-substitutable resource limitation. This hypothesis is further
supported by our observation that the descendants of the evolution experiment under resource-limitation and salt-stress
selection treatments tended to have greater biomass carbon to
phosphorus and/or carbon to nitrogen molar ratios, when grown
in the same common garden environment as used for the proteomics experiment. Since the majority of phosphorus in cells is
contained in the rRNA molecules of the ribosomes, and most of
the nitrogen is contained in the protein-rich light-harvesting
machinery of the chloroplasts34,35, the elevated biomass molar C:
P and C:N ratios indicate that more carbon is fixed per ribosome
or per chloroplast within the cells, respectively36–38. The similarity of the responses between the salt stress and resourcelimitation environments suggest that protein expression evolved
so as to mitigate the obstruction of core metabolic pathways.
Despite a general increase in the net assimilation of carbon
relative to other limiting resources (e.g., nitrogen and phosphorus), we did not observe an overall increase in the rate of net
carbon assimilation across the treatments. While respiration rates
decreased across selection treatments, in line with the observed
decrease in the expression of many mitochondrial proteins, we
also observed a decrease in photosynthetic carbon assimilation in
the low-nitrogen and biotic treatments. The absence of an
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Table 1 The temporal sequence of resource-limitation and salt stress experimental treatments
Month
Control (C)
Nitogen (N)
(NaNO3, µmol/L)
Phosphorus (P)
(K2HPO4 µmol/L)
Biotic (B) (proportion
biotically-depleted)
Light (L) (μM
photons·m2·s-1)
Salt (S)
(NaCl g/L)
1
2
3
4
5
6
7
8
.
.
.
.
.
.
.
.
1000
100
100
10
10
10
10
10
50
5
5
0.5
0.5
0.5
0.5
0.5
0
0.01
0.1
0.4
0.75
0.95
1
1
100
70
50
20
15
5
5
5
0
1
2
4
6
8
8
8
increase in rates of photosynthetic carbon fixation despite the
upregulation of many chloroplast proteins, may be an example of
evolutionary phenotypic buffering, or compensation, where the
evolved changes in the molecular phenotype buffer the impacts of
stress and serve to maintain levels of functioning at higher levels
of biological organization (i.e., cellular photosynthesis)39. Overall,
the ratio of carbon assimilation to respiration increased significantly only in the low-phosphate treatment, indicating a gain
in net carbon metabolic efficiency only in this treatment. So,
while carbon metabolism itself did not generally become more
efficient under long-term low-resource selection, C:N and C:P
biomass ratios tended to increase, indicating that nitrogen and
phosphorus assimilation efficiency improved relative to net carbon fixation.
In conclusion, the signature of the evolutionary response of
Chlamydomonas reinhardtii protein expression to nonsubstitutable resource limitation is one of improved metabolic
efficiency. Rather than evolving an improved ability to acquire
resources, the descendants of the evolution experiment displayed
signatures of more efficient allocation and assimilation of
resources, with an improvement in the resource assimilation
efficiency of nitrogen and phosphorus into biomass. We found
that adaptation to resource limitation involves significant changes
in protein expression, which show a convergence across the
resource limitation environments. Surprisingly, similar patterns
of adaptation were also observed under salt stress. We propose
that this is because both resource limitation and salt stress
obstruct core metabolic pathways which essentially impose limits
on cell growth and division, and therefore select for similar
evolutionary outcomes. These findings represent a contrast to
previous work which had investigated only the plastic responses
of the proteome observed under resource limitation or salt stress
(but see11). Interestingly, previous studies on plastic responses
have generally reported the opposite patterns on modulation of
core metabolic pathways to that reported here, supporting the
hypothesis that plastic variation in the expression of phenotypes
often occurs in the opposite to the direction of adaptive phenotype evolution40. The general agreement between conclusions
drawn from the proteomic data and stoichiometry suggests that
investigations of the evolution of the molecular phenotype may
one day help to link our understanding of evolution across biological scales: from the genome to the molecular phenotype and
beyond, to macroscopic phenotypes such as stoichiometry, and
perhaps eventually to population- and community-level
dynamics.
Methods
Evolution experiment. The evolution experiment began from an inoculum of
Chlamydomonas reinhardtii CC1690 wild type mt + obtained from the Chlamydomonas Center (http://www.chlamycollection.org/product/cc-1690-wild-type-mtsager-21-gr/) in October 2014. Prior to the initiation of the evolution experiment,
Biotic
salt
(BS)
0
0.01
0.1
0.4
0.75
0.95
1
1
&
0
1
2
4
6
8
8
8
the inoculum was maintained in the lab under sterile conditions, in semicontinuous batch culture in a liquid freshwater medium called COMBO41.
Throughout the following experiment, we used a modified COMBO medium
which did not contain silicon, vitamins, or animal trace elements because they were
unnecessary for C. reinhardtii. We refer to this modified medium as “COMBO”
throughout. We plated a dilute liquid batch culture onto agar after four months,
and on February 19, 2015, we haphazardly isolated four clonal colonies (grown
from single cells) from the agar plates and transferred them into COMBO to
produce isoclonal liquid batch cultures. We named these clonal populations
Ancestors 2, 3, 4, and 5 (“Anc2” etc. hereafter). Nine days later, on February 28,
2015, we inoculated the four clonal ancestors and the original population, CC1690,
into seven chemostats each. The seven chemostats into which each ancestral
population was inoculated were randomly assigned to a resource-depletion (or saltstress) treatment (Table 1). In total, we inoculated 35 chemostats: 5 ancestral
populations × 7 experimental evolution treatments. The experimental setup is
described in Supplementary Figure 1.
All 35 chemostats originally contained 23 mL of sterile COMBO and were
inoculated with 5 mLs of liquid batch culture. Chemostats were composed of
autoclave-sterilized screw-top vials (Supelco™ 40 mL vials with hole cap and
barrier/septa), each containing a magnetic stir bar, and three syringes which
pierced through the Teflon-lined rubber lid. One syringe was under suction to
produce negative pressure within the chemostat. The negative pressure allowed
liquid sampling and air intake through another syringe. The second syringe,
attached to an air filter, acted as an air inlet. The third syringe, attached to a media
bottle, acted as a media inlet. All materials and media were autoclaved for sterility.
All chemostats were maintained under ~90 μM photons·m2·s-1 of light on an 18 h
light, 6 h dark light cycle at 20 ˚C (“standard conditions” hereafter). Chemostats
were constantly stirred using magnetic stir bars and stir plates. Two peristaltic
pumps were used: one to generate suction and continuously pull sterile air through
0.45 µm filters and into the medium, and the second to pump sterile medium into
the chemostats.
After two weeks of growth in chemostat without media replacement, the
chemostats began receiving daily exchanges of replete sterile COMBO via 20-min
media exchanges conducted via peristaltic pump at 400 rpm. Daily dilution rates
were 15.74 mL + /- 0.25 mLs, or 56% per day. On April 8, 2015, after 1 month of
growth in replete COMBO, we initiated the resource limitation and salt stress
regimes (Table 1). Dissolved inorganic nutrients were manipulated by reducing the
availability of nitrate in the form of NaNO3 or phosphate in the form of K2HPO4 in
the medium being exchanged every day. We followed the standard protocol for low
phosphate potassium ion replacement41. The light limitation regime was imposed
by completely covering the surface of the chemostats with neutral-density light
filter paper (Solar Graphics™, Clearwater, Florida) so as to filter out a fixed
percentage of light across all wavelengths of the light spectrum. The salt stress was
imposed by increasing the sodium chloride concentration in the COMBO. For
reference, pilot studies showed that the ancestors had a salt tolerance at ~4 g L-1.
Each resource limitation or salt stress level was maintained for one month before
the next level was imposed (Table 1).
The biotically-depleted medium (hereafter “Biotic”) was produced by
individually growing seven other species (Supplementary Table 1) of freshwater
algae in batch culture in replete COMBO, and removing the phytoplankton
biomass from each culture, sterilizing the medium, and mixing resultant spent
media from each of the seven cultures. To do this, we first scaled batch cultures of
each species up from 100 mLs to 4 L over the course of 6 weeks under standard
conditions. The phytoplankton were then removed from the depleted medium by
first centrifuging each culture at 5000 rpm for 15 m, keeping the supernatant and
then filtering the supernatant through 0.45-μm cartridge filters (Sartorius Stedim™
Sartobran® P 0.45 μm) using vacuum filtration. Depleted and filtered supernatants
from all cultures were combined into a single 50-L carboy and autoclave-sterilized.
After autoclaving, this spent medium was cooled and stored at 4 ˚C in the dark
until further use.
At the termination of the evolution experiment, the chemostats were sampled
and 5 mLs from every chemostat were inoculated into 10 mLs of replete COMBO
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in batch culture. The cultures were then grown under standard conditions until
visibly green (up to 3 weeks) before plating onto agar in triplicate. This culture step
was performed in order to ensure that each descendant population had a large
enough population density for successful plating, and that even very low-density
selection lines had enough cells to ensure successful live sample storage. The agarplated algae were again grown under standard conditions until green (for up to
3 weeks) before being transferred to a climate chamber maintained at 12 ˚C and ~
40 μM photons·m2·s-1 for cold storage.
Common garden growth and MudPIT. Each algal population was removed from
cold storage using sterile technique and was again inoculated into 50 mLs of replete
COMBO under standard conditions in order to produce enough biomass for
protein extraction and quantitation using LC-MS/MS (see below). In culturing the
algae under standard conditions both before and after storage, we ensured that all
differences in protein expression between ancestors and descendants were due
solely to heritable genetic or epigenetic change, rather than due to maternal effects
or plasticity induced by the historical selection environment. Each culture grew for
7 days before we centrifuged them at 4000 rpm, decanted the supernatant, and
froze the pellets at −80˚C.
Sample preparation for protein analysis was done following established
procedures42,43. Briefly, frozen algae were thawed at room temperature before lysis,
homogenized using a grinder, sonicated on ice (3 × 10 s with 30 s pause inbetween) and finally centrifuged (13,000 rpm, 60 min, 4 °C). The supernatant was
removed and centrifuged again using the same conditions (two repetitions). The
proteins were then precipitated using methanol/chloroform and the formed pellet
air-dried (20 min) and then re-dissolved in buffer, after improving solubility by
wetting with 0.2 M NaOH. The protein amount in the solution was determined
using the Bradford assay.
Prior to the tryptic digestion, 100 μg of protein were reduced using TCEP, and
carboxy-amidomethylated using IAA. The treated sample was then put on a shaker
and digested with trypsin overnight (ratio of 100:1, 37 °C, 14–16 h). The digestion
was stopped by the addition of formic acid. After filtration (0.45 μm, Durapore
PVDF, Merck Millipore), the samples were transferred to glass vials for storage or
directly loaded onto a commercially available trap column (5 mm, 300 μm ID,
5 μm, 100 Å, C18 Acclaim PepMap 100, Dionex), using a nanoHPLC (Ultimate
3000, Dionex). Peptides were then eluted onto a SCX column (3.5 cm, 100 μm ID,
363 μm OD, BGB Analytik AG, in-house pressure filled with 5 μm, Nucleosil 100-5
SA from Macherey Nagel AG, and closed with a frit) and subsequently analyzed on
a C18 column (4.5 cm, 100 μm ID, in-house pressure filled with 3 μm, 100 Å,
Nucleodur C18 Pyramid, Macherey Nagel AG) pulled to a needle for
electrospraying (Sutter Instrument, P-2000, Science Products AG Basel). The SCX
and C18 columns were linked in series by a 25 μm ID fused silica capillary. Both
the SCX and C18 columns were used for three analytical runs only and then
replaced.
Peptides eluting off the C18 column were directly sprayed into the highresolution mass spectrometer (LTQ-Orbitrap XL, Thermo Scientific, Bremen,
Germany). The instrument was tuned and calibrated using angiotensin (SigmaAldrich) and a calibration mixture from Thermo Scientific (ProteoMass LTQ/FTHybrid ESI Pos. Mode Cal Mix, Supelco), respectively. The instrument was
operated in positive ion mode (needle voltage: + 1.2 kV, tube lens: 135 V, ion
transfer capillary: 200 °C). Using a standard 11-step MudPIT protocol, peptides
were sequentially eluted onto the C18 column by eleven salt pulses (4.9 min, from 0
to 100% eluent C, in 10% increments, eluent C: 0.5 M aqueous NH4Ac, 5% ACN,
0.1% formic acid), and then separated by gradient elution42,43.
The LTQ-Orbitrap XL acquired scan-dependent MS/MS of the peptides eluting
off the column. For this the instrument selected the 7 most intense ions found in a
mass spectrum acquired in a pre-scan (300–1600 m/z, resolution of 7500), then
analyzed them in the linear ion trap using MS/MS with a normalized collision
energy of 35%, while in parallel acquiring a high-resolution full scan in the orbitrap
(300–1600 m/z, resolution of 60,000). When selected ions had been analyzed twice,
with a minimal signal intensity of 1000 counts they were excluded from reanalysis
for 60 s, a procedure called dynamic exclusion. The HPLC and mass spectrometer
were controlled by Xcalibur (Thermo Scientific). Each ancestral sample was run in
three technical replicates, while descendant samples were only run once.
Peptide count estimation. Peptide count estimates were extracted from the
raw data using the MaxQuant (version 1.5.7.4) software package44, with match
between runs enabled and otherwise using the standard developer recommended
parameters for label-free proteome quantification (config files mqpar_v16.xml
and parameters.txt available at https://github.com/manutamminen/
chlamy_proteome_evolution).
The peptide searches were performed using Andromeda45 using
Chlamydomonas reinhardtii reference genome assembly version 5.0 and annotation
version 5.5 from Phytozome46 and NCBI Genbank entries U03843.1 and
BK000554.2 for mitochondrial and chloroplast references, respectively. The
maximum permitted number of missed trypsin cleavages was set to 2. The analysis
was set to consider carbamidomethyl of cysteine as a fixed modification and
oxidation of methionine and acetylation of the protein N terminus as variable
modifications. Mass tolerance for precursor and fragment ions were set to 20 ppm
for the first search and 4.5 ppm for the main search. The following criteria were
8
applied for peptide identification: Andromeda p-value threshold < 0.05, minimal
peptide length 7, minimal score of unmodified peptides 0, minimal score of
modified peptides 40, peptide FDR (false discovery rate) cutoff 0.01, and protein
FDR cutoff 0.01. The Andromeda p-value threshold was defined as the probability
P of matching at least k out of n theoretical masses in the peptide search database is
calculated. Thus, -10*log(P) gives the Andromeda “p-value”. Peptide FDR was
calculated as follows: first, forward, and reverse(^ = decoy) protein databases are
constructed. The spectra are matched against both databases. The resulting
Andromeda match score histograms were used to estimate the continuous score
distributions via kernel smoothing. The score distribution estimates were then used
to calculate the posterior error probability (PEP) for each peptide. Protein FDR was
calculated as follows: first, for each peptide in a protein group, the spectrum with
the lowest FDR was selected. Then, all selected peptide FDRs were multiplied to get
the Protein FDR. For the abundance estimates, the sum of the unique and razor
peptides were used, where the latter is calculated by assigning a group of peptides
to the protein with the highest number of matching identified peptides.
Biomass and stoichiometry. All ancestral and descendant populations were subcultured into 50 mL of liquid COMBO from agar plates that had been maintained
in cold storage, and underwent a growth period of 7 days before the start of the
experiment. Due to significant fungal or bacterial contamination, three populations
were lost from the 40 ancestral and descendant populations analyzed in the proteomics experiment: namely the controls of Anc2 and Anc3, as well as the biotic
and high-salt treatment (BS) of Anc5. We then diluted all cultures to achieve the
same, low starting density across all populations before inoculating them into the
stoichiometry experiment. Our target was a diluted concentration of 1000 raw
fluorescence units (RFU, or raw fluorescence of cells in the range of chlorophyll-a),
measured on a plate reader, which we used as a proxy for cell density. We carried
out dilutions using autoclaved COMBO in a laminar flow hood to ensure sterility.
On the next day, we inoculated 1 mL of each diluted culture into 170 mL of
COMBO medium, and grew them under standard conditions for 7 days. During
this time, we sampled 1 mL from all cultures daily and measured the RFU on a
plate reader in order to monitor the growth trajectories. On the 8th day, when all
growth curves were approaching saturation, we harvested the algal biomass by
filtering each culture onto a set of two ashed (400 ˚C) and pre-massed Whatman ®
glass microfiber filters (grade GF/F 47 mm). The filters were then dried in an oven
overnight at 60 ˚C, and post-massed to obtain an estimate of total dry biomass per
mL of culture filtered. One filter from each population was used to estimate the
elemental carbon and nitrogen content of the biomass on an Elementar vario
PYRO cube EA-IRMS, and the other filter was used to estimate phosphorus
content using Skalar San + + Continuous Flow P/N analyser. The phosphorus
samples were first digested and completely oxidized using a peroxydisulfate solution. Digested samples were diluted 1:20 before being run on the P/N analyser.
Chlorophyll, photosynthesis, and respiration measurements. As for the biomass, stoichiometry and nutrient experiments, populations were sub-cultured into
liquid COMBO from agar plates that had been maintained in cold storage. The
cultures then underwent a growth period of 7 days before the start of the stoichiometry experiment. Three populations were lost from experiment, as for the
biomass, stoichiometry and nutrients experiment: the controls of Anc2 and Anc3,
as well as the biotic and high-salt treatment (BS) of Anc5. After the acclimation
period, we performed dilutions in order to achieve the same low starting density
across all populations, with a target diluted concentration of 1000 raw fluorescence
units, measured on a plate reader. All dilutions were carried out using autoclaved
COMBO in a laminar flow hood to ensure sterility. On the day after dilutions, we
inoculated 1 mL of each diluted culture into 170 mL of COMBO, and grew them
under standard conditions for 9 days. On the 10th day we collected a 40 mL and
a 50 mL sub-sample of each culture for chlorophyll and respiration measurements,
respectively. We also took 50 mL samples for the estimation of photosynthetic
carbon assimilation, which we diluted one in two before analysis to ensure that the
method would be within the upper detection limit of the method.
We filtered 40 mL of each culture onto 47 mm GF/F filters (Whatman) for
chlorophyll analysis. We then folded the filters into 15-mL conical tubes and froze
them at −20 °C. Four days later they were extracted in 8 mL of 90% ethanol. We
then vortexed and sonicated the samples in a water bath at 20 °C for 15 min. We
incubated the extracted samples overnight in the dark at 4 °C. We then filtered the
samples through 0.2-μm cellulose acetate filters (Sebio) to remove any glass filter
particles. The concentrations of chlorophyll-a, -b, and lutein were measured by
gradient separation of the pigments in an eluent of 49.5% methanol, 45% ethyl
acetate, and 5.5% water on a LichroSpher 100 RP-18 HPLC column (Merck & Co.
Inc., White House Station, NJ, USA) at a flux rate of 1.0 ml min–1. The column was
connected to a Jasco AS2055 Plus auto-sampler and PU 2089 plus liquid
chromatography pump. Peaks were identified using retention times and spectrum
analysis. Standards for chlorophyll-a, -b, and lutein (among others) were purchased
from DHI, Denmark.
We measured respiration by estimating the rate of oxygen depletion in each
sample over a dark incubation period of one hour. We performed oxygen
measurements in four blocks of up to 10 samples, randomized over time. Samples
were incubated in custom-made “respirometers”, each one consisting of a Schmizo
glass vial fitted with a motorized mixing attachment, a PreSens Oxygen-sensitive
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spot, and a fiber-optic cable to transfer data to a PreSens Fi box. We carefully
lowered the mixing attachment and sensing cable into each sample (50 mL) to
ensure the absence of air bubbles while sealing the sample via an O-ring. Samples
were maintained at 20 °C via a cooling block. Before the measurements began, all
oxygen-sensitive spots were calibrated to 0% oxygen at 20 °C. This measurement
took place in sodium bisulfite-treated water. Subsequently, all sensors were
calibrated in oxygen-saturated water, also at 20 °C. We estimated respiration as the
slope of the measured oxygen over 1 h, removing the first 20 min of measurements
in which the oxygen measurements settled on a stable slope.
To estimate photosynthetic carbon assimilation, we first measured alkalinity
using titration with HCl47. We then determined the total inorganic carbon (TIC)
from the alkalinity and pH measurements48. We then measured primary
production by determining the rate of in situ 14C assimilation, using the acid
bubbling method according to ref. 48. For each phytoplankton population, we
spiked a 40 mL sample with 5µCi NaH14CO3 in a 50 mL conical tube. From these
40 mL, 7 mL were subsampled and placed into transparent glass Scintivials and
incubated in the light at 90 µmol·m-2·s-1 and 20 °C for 3.5 h. A second, 7 mL subsample was transferred into Scintivials and incubated in the dark at 20 °C for 3.5 h.
Finally, the last 7 mL sub-samples were transferred into Scintivials with 10 mL of
Instagel PlusTM (Packard, USA). After incubation, the light- and dark-incubated
vials were acidified with 100 µL of 6 N HNO3 for ca. 50 min, and then 10 mL of
Instagel PlusTM (Packard, USA) was added. We then determined the radioactivity
of the sub-samples in a liquid scintillation counter (Model Tricarb, Packard, USA).
We calculated carbon assimilation per chlorophyll (mg C· mg chlorophyll-1·h-1).
The fraction of 14C that was assimilated multiplied by the TIC in the sample
corresponds to the instantaneous carbon assimilation (PB). Furthermore, all PB
values were corrected for non-photosynthetic fixation of carbon by subtracting PB
determined in the dark sub-sample. Details of the method are further described in
refs. 49,50.
Peptide count processing, statistics, and visualization. The abundance effects
within the peptide counts were accounted for by dividing each peptide intensity
with a marginal sum across each treatment and population, resulting in normalized
peptide intensities, using pandas version 0.19 in Python 3.5. The effect of treatment
and population on the peptide intensities were visualized and tested using RDA
(with 51 independent observations and 2 and 3347 dimensions for the explanatory
and response matrices, respectively), implemented in vegan version 2.451. The
group significances were tested using permutational anova using populations as
replicates and conditioning by Treatments. The actual analysis was performed
using capscale and anova.cca functions implemented in R-package vegan. Normality of the fitted values was tested by Shapiro tests, implemented in R-package
stats as a function shapiro.test. Significance of the treatment differences across the
two first RDA axes were tested using ANOVA and Tukey’s honestly significant
difference tests implemented in R-package stats as functions anova and TukeyHSD.
Significantly upregulated or downregulated proteins relative to the ancestors
were identified by subtracting the ancestral means of the normalized peptide
intensities from the corresponding population values, and testing these differences
from zero using one-sample t tests. Normality of the expression levels was tested by
Shapiro tests, implemented in R-package stats as a function shapiro.test.
Treatments that are significantly different from the control were identified using
Dunnett’s tests, implemented in R package multcomp version 1.4 as function glht.
Convergent and divergent proteomic responses were identified using Friedman’s
tests, implemented in R package stats as a function friedman.test. These tests were
performed on R version 3.3.2. The population-aggregated means of the proteins
were visualized using Circos version 0.6952. Heatmaps were drawn using heatmap.2
function implemented in R package gplots version 3.0.1 in R. The associated
hierarchical clustering was drawn using default distance and clustering options of
heatmap.2. All other image preparation was performed using ggplot2 version
2.2.153 in R, and superficially edited on Adobe Illustrator version 21.1.0. The
detected proteins were annotated using data from Gene Ontology Biological
Processes, provided by PANTHER database54. Enrichment analyses were
performed using the default options of the Functional Annotation Clustering Tool
provided by DAVID Bioinformatic Resources version 6.855,56. The metabolic
pathways were overlaid on KEGG metabolic pathways using Pathview version 3.5
provided by R/Bioconductor57. Significance of each phenotypic measurement was
determined by comparing each treatment to the corresponding Ancestor using
two-sided Wilcoxon tests, implemented in R-package stats as a function wilcox.test.
P-values were adjusted for false discovery rate (method “fdr”) using function p.
adjust implemented in R-package
Received: 23 November 2017 Accepted: 10 October 2018
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Acknowledgements
We thank S. Gut, P. Ganesanandamoorthy, N. Minas, G. Siegrist for their help in
maintaining the chemostats and C. reinhardtii cultures. We thank R. Schönenberger for
training and supervision in running the proteomics samples on the LC-MS/MS. We thank
Daniel Steiner for performing the phenotypic measurements. We thank S. Dennis, P.
Feulner, J. Jokela, and A. Zupanic for their insightful comments on the paper. This work
was supported by an Eawag Postdoctoral Fellowship and an Eawag Seed Grant to AN.
Author contributions
M. Tamminen analyzed the data, prepared the figures, and wrote the manuscript. A.B.
processed the raw proteomic data into peptide counts. M. Thali processed all proteomic
samples and edited the manuscript. A.P. prepared cultures for stoichiometric, photosynthesis and respiration estimates, and edited the manuscript. B.M. helped to conceive
of the experiment, develop strategies for data analysis, and edit the manuscript. M.S.
developed the proteomics pipeline and edited the manuscript. A.N. conceived of
and ran the evolution experiment, guided data collection and analysis, and wrote the
manuscript.
Additional information
Supplementary Information accompanies this paper at https://doi.org/10.1038/s41467018-07106-z.
Competing interests: The authors declare no competing interests.
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Glomerulonefritis rápidamente progresiva en un paciente con linfoma no hodgkin. Reporte de caso
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Salud ConCiencia ISSN: 2953-5247
1
Salud ConCiencia ISSN: 2953-5247
Vol. 2 Núm. 2 (2023), e25
https://doi.org/10.55204/scc.v2i2.e25
Área: Medicina
Reporte de caso
Glomerulonefritis rápidamente progresiva en un paciente con linfoma no hodgkin.
Reporte de caso
Rapidly progressive glomerulonephritis in a patient with non-hodgkin's lymphoma.
Case report
Karen Daniela Pañi Vizhñay1[0009-0007-9357-7181], Iván Andrés Rosero Viteri2[0000-0002-2577-8973],
Diego Fernando Argudo Sánchez 31[0000-0002-1576-8595]
1,2,3 Universidad Católica de Cuenca, Facultad de medicina. Cuenca, Azuay. Ecuador
1karen.d8-@hotmail.es,
Salud ConCiencia
ISSN: 2953-5247
Recibido: 2023-09-10
Revisado: 2023-09-13 al 2023-09-15
Corregido: 2023-09-30
Aceptado: 2023-10-08
Publicado: 2023-10-18
Los contenidos de este artículo están bajo
una licencia de Creative Commons
Attribution 4.0 International (CC BY 4.0)
Los autores conservan los derechos
morales y patrimoniales de sus obras.
The contents of this article are under a
Creative Commons Attribution 4.0
International (CC BY 4.0) license. The
authors retain the moral and patrimonial
rights of their works.
https://doi.org/10.55204/scc.v2i2.e25
2nefrologoroseroviteri@gmail.com, 3 diegoargu@yahoo.es
Introducción: la coexistencia del Linfoma No Hodgkin (LNH) y la glomerulonefritis
rápidamente progresiva (GNRP) plantea un desafío clínico poco común pero
significativo.
Caso clínico: Se trata de un paciente masculino de 24 años que se presenta con una
tumoración laríngea y una lesión ulcerosa en el labio, acompañada de pérdida de peso
sin causa aparente. Ingresó al Hospital Vicente Corral Moscoso con insuficiencia
respiratoria, falla renal aguda y necesidad de diálisis urgente. Los análisis revelaron
hemorragia alveolar, leucocitosis, anemia, elevación de transaminasas y alteraciones
en los niveles de complemento. Presentó anticuerpos anticitoplasma de neutrófilos
(ANCA) negativos, se encontraron características sugestivas de linfoma en una biopsia
de tumor en la hipofaringe (probable linfoblástico T). El tratamiento fue paliativo en
base a la sintomatología que presentaba el paciente con corticosteroides
intrahospitalario con lo cual mejoró temporalmente su condición, sin embargo, no pudo
recuperar su condición y fallece.
Conclusión: Los linfomas T son un tipo de neoplasia rara, que generalmente pueden
ser asintomáticos según su ubicación, por lo que el diagnóstico puede ser desafiante
debido a su presentación clínica atípica. En el caso de la glomerulonefritis relacionada
con el linfoma no Hodgkin, los riñones pueden verse afectados de diversas maneras.
Es recomendable realizar una biopsia renal temprana para el diagnóstico y
estadificación. El tratamiento oportuno es esencial para la remisión de la enfermedad.
Palabras clave: glomerulonefritis, insuficiencia renal aguda, linfoma no Hodgkin.
Abstract:
Introduction: the coexistence of Non-Hodgkin Lymphoma (NHL) and rapidly
progressive glomerulonephritis (RPGN) poses an uncommon but significant clinical
challenge.
Clinical Case: This is about a 24-year-old male patient who presents with a laryngeal
tumor and an ulcerative lesion on the lip, accompanied by unexplained weight loss. He
was admitted to the Vicente Corral Moscoso Hospital with respiratory failure, acute
renal failure, and an urgent need for dialysis. Analyses revealed alveolar hemorrhage,
leukocytosis, anemia, elevated transaminases, and alterations in complement levels.
He tested negative for antineutrophil cytoplasmic antibodies (ANCA), and
characteristics suggestive of lymphoma were found in a tumor biopsy of the
hypopharynx (likely T lymphoblastic). The treatment was palliative based on the
patient's symptoms with in-hospital corticosteroids, which temporarily improved his
condition. However, he could not recover and passed away.
Conclusion: T lymphomas are a rare type of neoplasm, which can often be
asymptomatic depending on their location, making the diagnosis challenging due to
their atypical clinical presentation. In the case of glomerulonephritis related to nonHodgkin lymphoma, the kidneys can be affected in various ways. It is advisable to
perform an early renal biopsy for diagnosis and staging. Timely treatment is essential
for disease remission.
Keywords: glomerulonephritis, acute renal failure, non-Hodgkin lymphoma.
Pañi Vizhñay, K. D., Rosero Viteri, I. A., & Argudo Sánchez, D. F. (2023).
2
Cómo citar Vancouver:Pañi Vizhñay KD, Rosero Viteri IA, Argudo Sánchez DF. Glomerulonefritis rápidamente progresiva en un paciente con linfoma no
hodgkin. Reporte de caso . Salud ConCienc. [Internet]. 18 de octubre de 2023. https://doi.org/10.55204/scc.v2i2.e25
Cómo citar APA: Pañi Vizhñay, K. D., Rosero Viteri, I. A., & Argudo Sánchez, D. F. (2023). Glomerulonefritis rápidamente progresiva en un paciente con
linfoma no hodgkin. Reporte de caso . Salud ConCiencia, 2(2), e25. https://doi.org/10.55204/scc.v2i2.e25
1. INTRODUCIÓN
La coexistencia del Linfoma No Hodgkin (LNH) y la glomerulonefritis rápidamente progresiva
(GNRP) plantea un desafío clínico poco común pero significativo. La GNRP asociada con el LNH es una
entidad clínica poco común, lo que dificulta la acumulación de evidencia clínica y generación de pautas de
manejo basadas en la evidencia, el único caso reportado es el de Watanabe et al. (1), quien evidenció la
GNRP asociada a con linfoma angioinmunoblástico de células T.
Por tal motivo un reporte de caso permitiría evaluar las diferentes estrategias de tratamiento
utilizadas en pacientes con GNRP asociada con esta patología hematológica, mecanismos fisiopatológicos
subyacentes, las características clínicas y patológicas, ayudando a mejorar los resultados clínicos y el
pronóstico de estos pacientes.
El objetivo general es describir la evolución clínica de la enfermedad renal rápidamente progresiva,
en un paciente con linfoma no Hodgkin en el Hospital Vicente Corral Moscoso. Y los objetivos específicos
son: realizar una revisión de la literatura sobre enfermedad renal rápidamente progresiva, recopilar la
bibliografía publicada de la asociación entre las dos patologías presentes en este paciente y comparar los
tratamientos recibidos por el paciente con los descritos en la literatura.
Glomerulonefritis rápidamente progresiva
Es una patología caracterizada por una rápida pérdida de la función renal, generalmente en cuestión
de semanas (2). Suele ser secundaria a una enfermedad sistémica con afectación renal, aunque se han
descrito casos idiopáticos con afección aislada (3). La GNRP se caracteriza por:
1.
Pérdida rápida de la función renal en un período muy corto (de días a semanas).
2.
Uroanálisis: proteinuria, hematuria micro o macroscópica,
3.
Sangre periférica presencia de glóbulos rojos (GR) dismórficos, o relacionados con alteración
de la morfología de los linfocitos.
4.
Característica histopatológica de la biopsia renal: formación de semilunas celulares en los
glomérulos, que son una respuesta celular proliferativa observada fuera del penacho glomerular,
dentro de la cápsula de Bowman y, debido a su forma semilunar, se denomina glomerulonefritis
con semilunas o crescéntica.
Se ha descrito a la glomerulonefritis rápidamente progresiva como una enfermedad rara en todo el
mundo, su incidencia en los Estados Unidos de 7 casos/millón de personas-año, mientras que en el Reino
Unido es de 2 casos/millón de personas-año, siendo más común entre la población blanca y poco común en
afroamericanos. La proporción entre hombres y mujeres es de aproximadamente 1:1, con edad media en
torno a los 30 años, con segundo pico a finales de los 60 y 70 años. Sin embargo, se ha descrito su
prevalencia entre los 2 y 92 años(4).
Se definen cuatro formas según la fisiopatología que conduce a lesión renal (3,5). El tipo 1
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(enfermedad anti-membrana basal glomerular (anti-MBG)). Tipo 2 (formas inmunomediadas). Tipo 3
(ausencia o escasez de depósitos de inmunoglobulinas), en esta se presenta en alrededor del 65%-70% de
los casos (5). Tipo 4 (coexistencia del tipo 1 y la tipo 3). El desarrollo de pautas de tratamiento para la
GNRP es difícil, en parte debido a la etiología variable de la enfermedad. Dentro del tratamiento se
encuentran corticoides, inmunosupresores, recambio plasmático y anticuerpos monoclonales anti-B con
distintos grados de éxito (5,6).
Para el diagnostico una historia clínica y una exploración física minuciosas, que pueden, entre otras
cosas, aportar pruebas de infección previa o persistente en el sentido de GN postinfecciosa, vasculitis o
lupus eritematoso sistémico (LES) (7).
En la granulomatosis con poliangeítis como posible causa de GNRP, la afectación orgánica típica
es la orofaringe, nariz y oídos, así como pulmones que conduce a la aparición de rinitis sanguinolenta,
costras, sinusitis, hipoacusia, disnea y hemoptisis (estas dos últimas también en la MPA). En la GPA y la
MPA, la afectación cutánea (púrpura palpable) y afectación del sistema nervioso (mononeuritis múltiple)
son frecuentes (8).
En la granulomatosis eosinofílica, la GNRP es bastante rara, además de la eosinofilia severa, existen
entidades como son típicos el asma y sinusitis preexistentes.
En las tres enfermedades (granulomatosis con poliangeítis, poliangeítis microscópica,
granulomatosis eosinofílica) asociadas con ANCA y GNRP, es frecuente encontrar síntomas como fatiga,
diaforesis, fiebre, pérdida de peso y dolor articular. La GNRP suele producirse en el contexto de una
enfermedad sistémica. En principio, pueden verse afectados todos los órganos. Sin embargo, la VAA renal
limitada (VAA de un solo órgano) no es rara (8).
La GNRP, en el síndrome de Goodpasture, suele mostrar signos de afectación pulmonar: disnea,
hemoptisis y anemia. En la vasculitis crioglobulinémica, los principales síntomas son las alteraciones
cutáneas (livedo reticularis, racemosa, púrpura) y polineuropatía. La púrpura de Schönlein-Henoch puede
diagnosticarse clínicamente por los síntomas clásicos: púrpura palpable, artralgia grandes articulaciones,
afectación gastrointestinal con dolor abdominal cólico y diarrea sanguinolenta, y afectación renal
(frecuentemente con macrohematuria). El eritema en mariposa, artralgias, edemas articulares en las mujeres
jóvenes, eritema de mucosas y fotosensibilidad apuntan al LES (3).
La sospecha clínica, como se describe en la sección de historia y hallazgos clínicos, se respalda con
las pruebas de laboratorio para las principales causas de GNRP (4)
1.
Uroanálisis, búsqueda de hematuria microscópica y proteinuria. El examen microscópico puede
detectar además las características dismórficas de los glóbulos rojos de la hematuria glomerular.
2.
Creatinina sérica elevada, electrolitos: potasio, magnesio y calcio anormales.
3.
Hemograma con diferencial: eosinofilia en pacientes con granulomatosis eosinofílica con
poliangeítis (GEPA)
4.
Serología para anticuerpos anti-GBM a través de ELISA o Western Blot (9).
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4
Prueba ANCA: la prueba antigua era a través de inmunofluorescencia indirecta, y su ensayo
cualitativo resultaba como P-ANCA o C-ANCA; el método más utilizado es a través de ELISA,
que identifica antígeno específico y proporciona título (cuantitativo) (10,11).
6.
Serología para descartar infecciones: título de antiestreptolisina para post infección por
Estreptococos, VIH, y serología de Hepatitis B y C.
7.
Nivel de complemento C3, C4: puede ser bajo en algunas formas de trastornos del complejo
inmune granular que causan GNRP como lupus, crioglobulinemia, GNMP primaria.
8.
Serología para lupus: anticuerpos antinucleares, dsDNA, anti-Smith.
9.
Radiografía de tórax, TAC de tórax si sospecha hemorragia alveolar difusa, o búsqueda de
lesión cavitaria en caso de vasculitis
10. Broncoscopia en caso de sospecha de hemorragia alveolar difusa.
11. Evaluación otorrinolaringológica y biopsia de piel en caso de vasculitis
12. El diagnóstico histológico mediante biopsia renal es el pilar para el diagnóstico definitivo
Respecto al tratamiento se propone iniciar un tratamiento empírico antes de realizar el diagnóstico
definitivo, especialmente en caso de que la serología y la biopsia renal se retrasen por cualquier motivo.
Este tratamiento empírico incluye una dosis intravenosa de pulso de metilprednisolona, ya sea de 500 mg
o de 1 g, durante un mínimo de 3 dosis. La plasmaféresis puede considerarse específicamente si el paciente
presenta hemoptisis que haga temer la forma grave de la enfermedad de Goodpasture hasta que se tenga el
diagnóstico definitivo. Posteriormente, se considera un tratamiento más específico una vez se tiene el
diagnóstico definitivo (4).
Linfoma no Hodgkin
Su clasificación es muy amplia, sin embargo, podemos mencionar:
•
Son más comunes y diversos en comparación con el linfoma de Hodgkin.
•
Pueden originarse en cualquier parte del sistema linfático.
•
Se dividen en: linfoma de células B (linfoma difuso de células B grandes, linfoma folicular,
linfoma de Burkitt, linfoma de células del manto, linfoma primario del SNC y linfoma de la
zona marginal) linfoma de células T: linfoma de células T periférico, linfoma anaplásico de
células grandes, etc.), que pueden variar en su agresividad y tratamiento.
•
El pronóstico depende del tipo específico de linfoma no Hodgkin y de su estadio en el momento
del diagnóstico (12,13).
En el año 2017, la incidencia del linfoma no hodgkin en EE. UU. fue de 18,6/100000, un aumento
del 168% desde la incidencia notificada de 11,1/100000 en 1975 (14). Es la sexta neoplasia maligna más
frecuente en el Reino Unido, con 13000 nuevos casos diagnosticados anualmente (15,16).
En Ecuador, según la Sociedad de Lucha Contra el Cáncer (SOLCA) Quito, el LNH, entre los años
2013-2017, presentó una incidencia del 15.2% en hombres y del 11.95% en mujeres (17). La mortalidad en
EE. UU. representa el 3,3% de todas las muertes por cáncer (la sexta causa de mortalidad oncológica) (14),
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con los avances en la terapéutica, la supervivencia a largo plazo ha aumentado notablemente, a 5 años (2010
y 2016) en EE. UU. la supervivencia fue del 72,7% (14).
Según GLOBOCAN, en 2018 se diagnosticaron 509600 nuevos casos de LNH, representando el
2,8% de cáncer global (18). La Organización Mundial de la Salud (OMS), coloca al LDCBG como el más
frecuente en países occidentales, con el 31% de casos. Los linfomas de células T representan entre el 10%15%, e incluyen, el linfoma periférico de células T (LPT) (6%), linfoma cutáneo de células T (LCCT) (4%)
(12). El LACG, ALK negativo, se considera una entidad genéticamente heterogénea que comprende dos
subconjuntos definidos por translocaciones recurrentes que afectan a DUSP22 (cerca del 30% de casos y
asociado a buen pronóstico similar al LACG ALK positivo) o TP63 (10% de casos, asociado a mal
pronóstico) (14). El linfoma linfoblástico de células T representa el 1%. Es más común en adolescentes o
adultos jóvenes, siendo los hombres más afectados que mujeres. Las células cancerosas son formas muy
jóvenes de células T (19).
Linfoma anaplásico de células grandes
•
Linfoma T: ALK Positivo y Negativo
•
-Linfoma T ALK Positivo: involucra células T que tienen una proteína llamada ALK (quinasa
del linfoma anaplásico) en su superficie, el más común es el linfoma anaplásico de células
grandes (LACG-ALK+), que afecta principalmente a niños y jóvenes adultos, su pronóstico
suele ser mejor que el de otros subtipos de LNH, y muchos pacientes responden bien al
tratamiento (12).
•
-Linfoma T ALK Negativo: en contraste, se refiere a los linfomas T que no expresan la
proteína ALK, son más heterogéneos y pueden incluir varios subtipos, como el linfoma
periférico de células T, linfoma de células T del adulto y linfoma cutáneo de células T, etc. El
pronóstico y tratamiento pueden variar ampliamente según el subtipo y la etapa de la
enfermedad (12).
Respecto a sus manifestaciones clínicas se encuentran:
1.
Síntomas generales: fatiga persistente, astenia, síntomas B (fiebre, diaforesis nocturna, pérdida
de peso inexplicada)
2.
Síntomas relacionados con los ganglios linfáticos: hipertrofia de ganglios linfáticos (cuello,
axilas e inguinales), dolor o sensibilidad ganglionar.
3.
Síntomas en piel: lesiones cutáneas (erupciones o nódulos), prurito.
4.
Síntomas en el tracto respiratorio: tos persistente, disnea.
5.
Síntomas en el tracto gastrointestinal: dolor abdominal, distensión abdominal.
6.
Síntomas Neurológicos: Raramente, puede haber manifestaciones neurológicas debido a la
infiltración celular en el sistema nervioso central, lo que puede causar cefalea, cambios en la
visión, dificultades cognitivas.
7.
Si el compromiso llega a la medula ósea podemos encontrar un paciente con anemia y
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trombocitopenia (20,21)
Evaluación
•
Hemograma: puede mostrar anemia, trombocitopenia, leucopenia, pancitopenia, linfocitosis o
trombocitosis. Estos cambios en los recuentos pueden deberse a infiltración de la médula ósea,
hiperesplenismo por afectación esplénica o anemia por afectación del tracto gastrointestinal.
•
Química sérica: los niveles de LDH también pueden estar elevados debido a una alta carga
tumoral o a una extensa infiltración hepática.
•
Diagnóstico por imagen: normalmente se realiza TAC de cuello, tórax, abdomen y pelvis, o una
PET scan. Es posible que se necesiten imágenes específicas, como una resonancia magnética
del cerebro o médula espinal.
•
Biopsia de ganglio linfático y/o tejido: la biopsia excisional de los ganglios linfáticos es el
método de referencia para el diagnóstico. Se evita la aspiración con aguja fina del ganglio
linfático. Una biopsia por excisión permite obtener suficiente tejido para la evaluación
histológica, inmunológica y biología molecular y la clasificación por parte de los
hematopatólogos (22). el fenómeno de Azzopardi se refiere a una apariencia histológica
específica, caracterizada por la presencia de células grandes y atípicas dentro del tejido tumoral.
•
Punción lumbar: suele reservarse para las personas con alto riesgo de afectación del SNC, que
presentan afectación epidural, de médula ósea, testicular o de senos paranasales, o al menos dos
localizaciones extraganglionares de la enfermedad. El LCR debe enviarse para citología y
citometría de flujo.
•
Aspiración de médula ósea y biopsia: a veces son necesarias para la estadificación. Sin
embargo, con el uso generalizado de la tomografía por emisión de positrones, su utilidad está
disminuyendo (23).
El diagnóstico del paciente que se valora en este caso clínico se realizó mediante sus
manifestaciones clínicas inespecíficas como tumoración a nivel laríngeo, pérdida de peso no definida,
insuficiencia respiratoria, leucocitosis, anemia severa, además que, en el estudio histopatológico se
evidencia proliferación linfoidea con áreas de fenómeno de Azzopardi (23).
El tratamiento para Linfoma anaplásico de células grandes (LACG) se basa en un régimen de
quimioterapia con el objetivo de lograr una remisión completa, se utiliza la combinación CHOEP que hace
referencia a: ciclofosmamida 750 mg/m2 intravenosa por 1 día, doxorrubicina 50 mg/m2 intravenoso por
1 día, vincristina 1.4 mg/m2 intravenosa por 1 día, etoposido 100mg/m2 intravenoso por 1 a 3 dias y
prednisona 100 mg por 1 a 5 días (24).
La cantidad de ciclos y el tipo exacto de quimioterapia que recibe depende de varios factores, como
la edad, el estadio del linfoma y si es ALK positivo o negativo. Algunas personas con LACG positivo para
ALK en etapa temprana también pueden recibir radioterapia en el área afectada (23).
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Aproximadamente entre el 40% y el 65% de los pacientes con ALCL sistémico desarrollan
enfermedad recurrente después del tratamiento de primera línea, después de la recaída la enfermedad se
muestra sumamente resistente a regímenes convencionales de tratamiento. (25)
El LACG se caracteriza por la expresión CD30 (receptor de citosina transmembrana) que se limita
a linfocitos y eosinófilos activados, generalmente en tejidos linfoides. Por tanto, se ha identificado al CD30
como un objetivo atractivo para la terapia con Brentuximab vedotin (BV) debi do a que este es un anticuerpo
monoclonal anti – CD30 el cual a demostrado buenas tasas de respuesta e incluso remisión de la
enfermedad(26)(25).
En casos de pacientes refractarios, incluso en pacientes con recaidas postransplante se utiliza
pralatrexate en dosis de 30/mg/m2 semanal por 6 dosis lo cual ha demostrado buenos resultados.
2. DESCRIPCIÓN DEL CASO CLÍNICO
Paciente masculino de 24 años, quien presenta antecedente de tumoración a nivel laríngeo, con
lesión ulcerosa en cara interna del labio de 6 meses de evolución, sumado al cuadro pérdida de peso no
intencionada.
Ingresa al Hospital Vicente Corral Moscoso con cuadro de insuficiencia respiratoria requiriendo
ventilación mecánica, además, con datos de lesión renal aguda KDIGO 3 y urgencia dialítica (hiperazoemia,
hiperkalemia, edema agudo de pulmón).
Imagen 1: Tomografía axial computarizada donde se visualiza un patrón de vidrio deslustrado de
predominio peribronquial vascular que preserva región subpleural, compatible con hemorragia alveolar.
Autor: Dr Faican
Se realiza tomografía axial computarizada donde se documenta hemorragia alveolar (Imagen 1),
además leucocitosis, neutrofilia, anemia severa, elevación transaminasas, complemento C3 consumido 43.0
(90-180), complemento C4: 14.0 (10.0 – 40.0), anticuerpos anticitoplasma de neutrófilo (ANCA):
negativos. Uroanálisis: Proteínas 150 mg/dl, Sangre 250/uL, Leucocitos 91.95/hpf, Hematíes 77 /hpf
(Imagen 2). La microscopia urinaria mostró acantocitos mayores a 50% y dismorfia total del 60%.
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Imagen 2: Uroanalisis realizado a paciente que evidencia la injuria renal
Autor: Lcda Magaly Cumbicus
Durante su estancia hospitalaria se realiza biopsia de tumor de hipofaringe que desplaza vía aérea
superior epiglotis y glotis, con reporte histopatológico de proliferación linfoide atípica con áreas de
fenómeno de Azzopardi, que sugiere linfoma (probable linfoblástico T) (Imagen 3).
Imagen 3: Informe histopatológico de masa a nivel supraglótico.
Autor: Dra Maria Jose Mejia
El paciente recibe metilprednisolona 1 gramo intravenoso por 5 días, seguido de prednisona 80 mg
cada día, con lo que demuestra mejoría clínica, evolución satisfactoria, por lo cual se le otorga el alta médica
con dependencia de hemodiálisis por falta de recuperación de la función renal y es derivado para recibir
tratamiento específico. El paciente presenta mala evolución en unidad externa donde fallece.
El diagnóstico de los linfomas laríngeos es poco frecuente, especialmente los tipos T se consideran
raros, ya que la laringe contiene una cantidad relativamente pequeña de tejido linfoide en comparación con
otros tejidos, y suelen permanecer localizados y asintomáticos durante mucho tiempo. Los síntomas
clásicos son linfadenopatía, disfagia, disnea y ronquera, mientras los síntomas sistémicos son menos
frecuentes (27). En un estudio de cohortes retrospectivo de 200 casos de linfoma laríngeo, hallaron que la
edad media de presentación fue de 64,2 años (28). Otras publicaciones en la literatura afirman que el
linfoma laríngeo aparece con mayor frecuencia en la séptima década de la vida (29), denotando que la edad
del caso presentado fue muy inferior a la media de edad (24 años).
En la literatura, aproximadamente el 70% de los linfomas laríngeos son linfomas no Hodgkin de
células B (28) y el diagnóstico de LNH primario con células T periféricas es muy raro (30). En nuestro
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caso, se sospechaba que fueran de tipo T, pero no se llegó a una conclusión histopatológica por limitados
recursos para su tipificación definitiva. Según la literatura, puede ser necesaria más de una biopsia para
realizar un diagnóstico preciso (31).
Los pacientes con LNH de células T y afectación ganglionar muestran un mal pronóstico (32). El
linfoma laríngeo primario de células T periféricas parece tener peor pronóstico que sus homólogos
ganglionares (33).
En 1922, se describió, por primera vez, un paciente con síndrome nefrótico aparentemente asociado
a neoplasia (34), además, se ha asociado menos pacientes de lesiones glomerulares en el linfoma no
Hodgkin, que en el linfoma de Hodgkin (35) pero, en las últimas décadas se ha observado un aumento en
los informes de casos que muestran una relación entre la actividad de linfoma no Hodgkin y la aparición
de diferentes tipos de lesiones glomerulares como complicaciones secundarias (36). La mayoría de los
reportes que relatan enfermedad glomerular en el curso de LNH, donde esta se desarrolló luego del
diagnóstico de LNH, mientras que son pocos los que describen la presentación simultánea o precedente de
la glomerulopatía respecto al LNH (37).
La glomerulonefritis rápidamente progresiva, es un síndrome clínico que se puede asociar a
proliferación extracapilar glomerular, en presencia o ausencia de inmunocomplejos. Las lesiones más
frecuentes son las que comprometen los vasos pequeños (38). La mayoría de las glomerulonefritis con
proliferación extracapilar están asociadas a linfomas no Hodgkin, tanto de células B como de células T, y
estas suelen ser positivas para los anticuerpos ANCA en aproximadamente el 95% de los casos (39),
contrario a nuestro caso clínico, donde el resultado fue negativo.
La patogénesis subyacente de la GN asociada al LNH continúa siendo poco comprendida y
actualmente se centra en la posible formación de complejos inmunes que contienen antígenos tumorales,
los cuales se depositan en los glomérulos. Sin embargo, algunos cuestionan si esta implicación glomerular
es de origen paraneoplásico o si se debe a una enfermedad glomerular primaria concurrente (40). Por lo que
se destaca el valor de la biopsia renal, siendo imprescindible para determinar el diagnóstico y la severidad
del compromiso glomerular (41). Algunos estudios han demostrado que el compromiso renal puede ser la
primera manifestación identificada en pacientes con LNH (42)
La naturaleza paraneoplásica de estas lesiones renales puede sospecharse si la remisión espontánea
de la enfermedad glomerular sigue al tratamiento satisfactorio del linfoma. (43).
Es importante destacar que la respuesta al tratamiento puede variar según el tipo de linfoma y la
extensión de la afectación renal. En algunos casos, se ha observado una mejora en la función renal después
de la terapia inmunosupresora, como el uso de corticosteroides, lo que sugiere la importancia de considerar
esta opción terapéutica en estos pacientes (44). En nuestro caso, la administración de corticoides mostró
resultados dramáticos con respecto a los síntomas renales.
Se cree que la terapia con esteroides en el linfoma maligno induce la apoptosis en las células
tumorales a través de un receptor de glucocorticoides (44). Por lo tanto, la sensibilidad a los esteroides de
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las células de linfoma maligno depende del número de receptores de glucocorticoides o variantes del
receptor en las células (45). En este caso, podemos deducir que las células del linfoma tenían numerosos
receptores de glucocorticoides. El caso reafirma la importancia de la biopsia renal para diagnosticar la
lesión renal aguda de causa desconocida, con síntomas sistémicos.
Actualmente, la estrategia terapéutica principal se enfoca en la ablación terapéutica del LNH, lo que
puede llevar a la resolución espontánea de la GN subyacente (46), pudiendo ser la combinación CHOP
(24), pero no fue utilizada, únicamente en sospecha de un cuadro inmunológico, se limitó el tratamiento a
corticosteroides intrahospitalarios y ambulatorios, ya que no se determinaba una etiología diferente.
3. CONCLUSIONES
Los linfomas laríngeos son raros, y los linfomas de células T son aún más raros que otros tipos. Los
linfomas laríngeos suelen permanecen asintomáticos durante mucho tiempo. Puede haber dificultades en el
diagnóstico debido a su presentación clínica atípica. Este informe de caso y las presentaciones de otros
linfomas laríngeos en la literatura pueden ayudar a crear una base de datos.
Ante la sospecha de una enfermedad glomerular se debe realizar una biopsia renal de forma
temprana ya que es el estándar de oro para llegar al diagnóstico, y consecuentemente se puede realizar un
estadiaje de la patología. Al igual que la biopsia de ganglio.
El tratamiento precoz en estas enfermedades oncohematológicas y nefrológicas es determinante para
el pronóstico y las complicaciones que pudieran presentarse.
Recomendamos para estudios futuros se considere la importancia de las biopsias para llegar a un
diagnóstico adecuado y consecuentemente dar un tratamiento dirigido.
FINANCIACIÓN
Investigación autofinanciada
CONFLICTO DE INTERESES
No existe conflicto de intereses por parte de los autores
CONTRIBUCIÓN DE AUTORÍA
X
X
X
X
X
X
X
X
X
X
X
X
X
X
Argudo D.
Rosero I.
Participar activamente en:
Conceptualización
Análisis formal
Adquisición de fondos
Investigación
Metodología
Administración del proyecto
Recursos
Redacción –borrador original
Redacción –revisión y edición
La discusión de los resultados
Revisión y aprobación de la versión final del
trabajo.
Pañi K.
Los autores declaran sus contribuciones en la siguiente matriz:
X
X
X
X
X
X
X
X
X
X
RECONOCIMIENTO A REVISORES:
La revista reconoce el tiempo y esfuerzo del editor Jonatan Calderón, y de revisores anónimos que
dedicaron su tiempo y esfuerzo en la evaluación y mejoramiento del presente artículo.
https://doi.org/10.55204/scc.v2i2.e25
Salud ConCiencia ISSN: 2953-5247
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English
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Transcriptome analysis of carnation (Dianthus caryophyllus L.) based on next-generation sequencing technology
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BMC genomics
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cc-by
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Abstract Background: Carnation (Dianthus caryophyllus L.), in the family Caryophyllaceae, can be found in a wide range of
colors and is a model system for studies of flower senescence. In addition, it is one of the most important flowers
in the global floriculture industry. However, few genomics resources, such as sequences and markers are available
for carnation or other members of the Caryophyllaceae. To increase our understanding of the genetic control of
important characters in carnation, we generated an expressed sequence tag (EST) database for a carnation cultivar
important in horticulture by high-throughput sequencing using 454 pyrosequencing technology. Results: We constructed a normalized cDNA library and a 3’-UTR library of carnation, obtaining a total of 1,162,126
high-quality reads. These reads were assembled into 300,740 unigenes consisting of 37,844 contigs and 262,896
singlets. The contigs were searched against an Arabidopsis sequence database, and 61.8% (23,380) of them had at
least one BLASTX hit. These contigs were also annotated with Gene Ontology (GO) and were found to cover a
broad range of GO categories. Furthermore, we identified 17,362 potential simple sequence repeats (SSRs) in 14,291
of the unigenes. We focused on gene discovery in the areas of flower color and ethylene biosynthesis. Transcripts
were identified for almost every gene involved in flower chlorophyll and carotenoid metabolism and in
anthocyanin biosynthesis. Transcripts were also identified for every step in the ethylene biosynthesis pathway. Conclusions: We present the first large-scale sequence data set for carnation, generated using next-generation
sequencing technology. The large EST database generated from these sequences is an informative resource for
identifying genes involved in various biological processes in carnation and provides an EST resource for
understanding the genetic diversity of this plant Background: Carnation (Dianthus caryophyllus L.), in the family Caryophyllaceae, can be found in a wide range of
colors and is a model system for studies of flower senescence. In addition, it is one of the most important flowers
in the global floriculture industry. However, few genomics resources, such as sequences and markers are available
for carnation or other members of the Caryophyllaceae. To increase our understanding of the genetic control of
important characters in carnation, we generated an expressed sequence tag (EST) database for a carnation cultivar
important in horticulture by high-throughput sequencing using 454 pyrosequencing technology. Results: We constructed a normalized cDNA library and a 3’-UTR library of carnation, obtaining a total of 1,162,126
high-quality reads. RESEARCH ARTICLE Open Access * Correspondence: tanase@affrc.go.jp
1National Institute of Floricultural Sciences, National Agriculture and Food
Research Organization, Fujimoto 2-1, Tsukuba, Ibaraki 305-8519, Japan
Full list of author information is available at the end of the article © 2012 Tanase et al.; licensee BioMed Central Ltd. This is an Open Access article distributed under the terms of the Creative
Commons Attribution License (http://creativecommons.org/licenses/by/2.0), which permits unrestricted use, distribution, and
reproduction in any medium, provided the original work is properly cited. Tanase et al. BMC Genomics 2012, 13:292
http://www.biomedcentral.com/1471-2164/13/292 Tanase et al. BMC Genomics 2012, 13:292
http://www.biomedcentral.com/1471-2164/13/292 Transcriptome analysis of carnation (Dianthus
caryophyllus L.) based on next-generation
sequencing technology Koji Tanase1*, Chikako Nishitani2, Hideki Hirakawa3, Sachiko Isobe3, Satoshi Tabata3, Akemi Ohmiya1 and
Takashi Onozaki1 Abstract These reads were assembled into 300,740 unigenes consisting of 37,844 contigs and 262,896
singlets. The contigs were searched against an Arabidopsis sequence database, and 61.8% (23,380) of them had at
least one BLASTX hit. These contigs were also annotated with Gene Ontology (GO) and were found to cover a
broad range of GO categories. Furthermore, we identified 17,362 potential simple sequence repeats (SSRs) in 14,291
of the unigenes. We focused on gene discovery in the areas of flower color and ethylene biosynthesis. Transcripts
were identified for almost every gene involved in flower chlorophyll and carotenoid metabolism and in
anthocyanin biosynthesis. Transcripts were also identified for every step in the ethylene biosynthesis pathway. Conclusions: We present the first large-scale sequence data set for carnation, generated using next-generation
sequencing technology. The large EST database generated from these sequences is an informative resource for
identifying genes involved in various biological processes in carnation and provides an EST resource for
understanding the genetic diversity of this plant. Keywords: Carnation, Dianthus caryopyllus L., Next-generation sequencing technology, SSR, Transcriptome Background groups (standards, sprays, and pot carnations) based on
plant form, flower size, and flower shape. Standards
have a single large flower per stem, whereas sprays have
a larger number of smaller flowers; both types are used
for cut flowers [2]. Pot carnation is a dwarf with many
small flowers that is used as a potted plant. Most carna-
tion cultivars are diploid (2n = 2x = 30), although some
species of Dianthus are tetraploid or hexaploid [3-6]. According to the Plant C-values Database (http://data. kew.org/cvalues/), the total genome size (C-value) in
carnation is 613 Mb (1.23 pg/2 C), which is four times
that of the model plant Arabidopsis (0.30 pg/2 C) [7]. The genome of carnation is very small compared with Carnation (Dianthus caryophyllus L.) is one of the most
popular cut flowers, and hundreds of cultivars are
grown around the world. Dianthus is a genus of about
300 species in the Caryophyllaceae family. Several spe-
cies, including Dianthus caryophyllus, D. barbatus, D. chinensis, D. plumarius, D. superbus, and their hybrids
are widely used as horticultural cultivars [1]. The many
flower varieties of carnation are divided into three * Correspondence: tanase@affrc.go.jp
1National Institute of Floricultural Sciences, National Agriculture and Food
Research Organization, Fujimoto 2-1, Tsukuba, Ibaraki 305-8519, Japan
Full list of author information is available at the end of the article Tanase et al. BMC Genomics 2012, 13:292
http://www.biomedcentral.com/1471-2164/13/292 Page 2 of 11 those of other ornamental flowers, such as Antirrhinum
majus (1,568 Mb), Chrysanthemum morifolium (9,384 Mb),
Ipomoea nil (Pharbitis nil) (1,127 Mb), Lilium longiflorum
(34,496 Mb), Petunia hybrida (1,642 Mb), Rosa hybrida
(1,127 Mb), and Tulipa gesneriana (26,093 Mb). model plants. Surprisingly, in Arabidopsis, at least 60
transcripts which did not exist in previous EST collec-
tions were identified by next-generation sequencing [20]. Furthermore, large-scale EST collection facilitates the
design of microarrays and the high-throughput identifi-
cation of simple sequence repeats (SSRs) and single-
nucleotide polymorphisms (SNPs). Carnation cultivars are developed to be highly hetero-
zygous so as to avoid the effects of inbreeding depres-
sion [8]. Most commercially important cultivars are
hybrids that are propagated vegetatively. Carnation culti-
vars have been bred for attractive characteristics such as
flower color, flower size, fragrance, and flower longevity. Carnation cultivars have a wide range of colors, includ-
ing red, yellow, white, green, and brown. In addition,
some flowers show marginal variegation, flecks, or sec-
tors [9]. Background Recently, transgenic carnations with blue or vio-
let flowers have been developed by the introduction of a
heterologous flavonoid 3’, 5’-hydroxylase gene [10-12]. To identify the genes related to flower quality and
important agronomic traits such as disease resistance,
extensive gene expression profiling would be extremely
valuable, but only 669 carnation ESTs were available on
the NCBI website (http://www.ncbi.nlm.nih.gov/) at the
early June 2012. Other genomics resources, such as
markers and genomic sequences have yet to be devel-
oped for carnation. To improve the DNA sequence in-
formation available for carnation, we performed large-
scale transcriptome sequencing of carnation using a
next-generation sequencer (a Roche 454 GS FLX) and
obtained more than 300,000 transcripts. This work will
make a significant contribution toward plant physi-
ology, biotechnology, and molecular genetics studies
in carnation. The vase life of cut flowers is one of the most import-
ant ornamental traits, because it affects consumer satis-
faction and repeat purchasing. Carnation is a typical
ethylene-sensitive flower [13,14], and its flower life is
normally short (about 7 days) if preservatives are not
used [15]. In the ethylene biosynthesis pathway, the
conversion of S-adenosylmethionine (AdoMet) to 1-
aminocyclopropane-1-carboxylate (ACC) and of ACC to
ethylene are catalyzed by ACC synthase (ACS) and
ACC oxidase (ACO), respectively. Transgenic carnations
containing an antisense ACO gene exhibited low ethyl-
ene production and delayed petal senescence [16]. When the Arabidopsis etr1-1 gene, capable of conferring
ethylene insensitivity, was introduced into carnation, the
transgenic carnation plants had reduced ethylene sensi-
tivity caused by suppression of ACO expression, which
prolonged flower life [17]. On the other hand, by
repeated selection for lines with longer vase life, Ono-
zaki et al. [18] produced two carnation cultivars (named
‘Miracle Rouge’ and ‘Miracle Symphony’) with improved
vase life in which expression of three ethylene biosyn-
thesis genes (DcACS1, DcACS2, and DcACO1) was sup-
pressed in flowers of both cultivars, which resulted in
extremely low levels of ethylene production [18,19]. Results and discussion
EST sequencing and assembly To maximize the range of transcript diversity, we
extracted and pooled RNA from vegetative tissues, flow-
ers at various developmental stages, and ethylene-treated
flowers of ‘Francesco’, a major standard-type carnation
cultivar. Two libraries, a normalized cDNA library and a
3’-UTR library, were synthesized from the RNA pool,
and GS FLX 454 pyrosequencing runs were performed
on these libraries. We obtained data from a cDNA li-
brary that had been previously sequenced by conven-
tional Sanger (dideoxy-based) sequencing to identify
SSRs [21]. The cDNA library was synthesized from RNA
of aerial part of carnation. A total of 1,435,398 reads
were obtained, of which 17,988 reads (1.25%) were
obtained from Sanger sequencing (Table 1). After Clean-
ing (removal of adaptor sequences, poly(A) tails, etc.) of
these sequences, the 454 sequencing of the normalized
cDNA library generated 1,078,260 reads with an average Expressed sequence tag (EST) sequencing is essential
for functional genomics studies: it has been used to
identify novel genes from a broad range of organisms
and to provide an indication of gene expression levels in
specific tissues. Currently, there are more than 69 mil-
lion ESTs in the database (dbEST) at NCBI. Since the
development of high-throughput DNA sequencing tech-
nologies, analyses using next-generation sequencers have
been performed in cereals, legumes, and fruits, and large
amounts of EST data have been submitted to various
DNA databases. These studies have revealed that high-
throughput DNA sequencing is a cost-effective approach
to analyzing the ESTs of both model plants and non- Table 1 Summary of carnation transcripts data
Total readsa
1435398
Total high-quality reads
1162126
Reads in contigs
899230
Total contigs
37844
Singlets
262896
Total unique sequences (contigs plus singlets)
300740
a Includes sequences in Table 2 plus an additional 17,988 sequences obtained
by Sanger sequencing of a cDNA library. Table 1 Summary of carnation transcripts data Page 3 of 11 Tanase et al. BMC Genomics 2012, 13:292
http://www.biomedcentral.com/1471-2164/13/292 carnation. The top GO category matches for 17,584
genes of Arabidopsis were assigned to 23,380 (61.8%) of
the contigs (E-value ≤10-5). These genes covered a broad
range of GO categories (Figure 1), and some genes were
assigned to more than one category. The most common
assignments in the Biological Process category were pro-
tein metabolism (27%), transport (12%), transcription
(12%), cell organization and biogenesis (11%), develop-
mental processes (9%), and response to abiotic or biotic
stimulus (8%). Results and discussion
EST sequencing and assembly In the Cellular Component category, the
largest classes were chloroplast (27%), nucleus (26%),
mitochondria (12%), and plastid (11%). In the Molecular
Function category, the most common assignments were
hydrolase activity (19%), transferase activity (13%), pro-
tein binding (12%), DNA or RNA binding (11%), tran-
scription factor activity (11%), and kinase activity (9%). The proportions of genes assigned to each GO category
were very similar to those found in the genome annota-
tion of Arabidopsis. The GO assignment analysis rein-
forces our assumption that a broad diversity of genes
was sampled by using the selected tissues. Overall, these
results of sequencing and functional annotation indicate
that the large-scale sequencing technology is an efficient
method for the transcriptome analysis of plants, espe-
cially those currently lacking other genomics tools. length of 284 bp; 90,891 reads (8%) were less than
100 bp or less (Table 2). The 454 sequencing of the 3’-
UTR library generated 339,150 reads with an average
length of 323 bp; of these, 30,785 (9%) were less than
100 bp or less. These sequences resulted in a total
1,162,126 high-quality reads (Table 1). After clustering
and assembly, 899,230 sequences were incorporated into
37,844 contigs, leaving 262,896 singlets, for a total of
300,740 unique sequences (Table 1). The average length
of the contigs was 605 bp (range 117–3,850 bp). The
300,740
sequences
were
first
compared
with
the
sequences in the non-redundant NCBI database by using
BLASTN. Next, for Gene Ontology (GO) classification,
the contigs were annotated by searching for sequence
similarities using BLASTX against Arabidopsis genes
(TAIR v.7.0; www.arabidopsis.org); 62% of the contigs
(23,380 sequences) had at least one BLASTX hit. The
percentage similarity between the carnation sequences
and those of Arabidopsis was highly dependent on the
length of the query sequence, as was previously seen in
Eucalyptus [22]: longer sequences gave higher percent
similarity. Contigs of carnation transcripts that were
longer than 117 bp may be of good quality for similar-
ity searches (data not shown). Recently, a number of
large-scale EST data sets have been successfully con-
structed from non-model plants, including maize, chest-
nut, olive, the medicinal herb Artemisia annua, and
Cucurbita pepo, by using high-throughput sequencing
with the GS FLX 454 sequencer [23-26]. We compared
the sequence length of these results and ours, and
found no great differences; therefore, we judged our
carnation transcripts data to be of sufficiently high
quality for further investigation. SSR marker discovery
f l SSRs are useful as random markers for population gen-
etics research. To facilitate population genetics analysis
and genetic mapping studies in carnation, we identified
SSR motifs in our 454 data set. The reads from the 454
runs on the normalized cDNA library and the 3’-UTR li-
brary were used for EST-SSR discovery. The reads from
conventional Sanger sequencing were not used for SSRs
discovery in this study because SSR motifs from these
reads were identified in a previous study [21]. Of the
1,417,410 sequences from 454 sequencing, 1,041,854
were incorporated into 109,951 contigs, leaving 375,556
singlets, for a total of 485,507 unique sequences after
cleaning (removal of adaptors, poly(A) tail, etc), cluster-
ing, and assembly. A screen for the presence of SSRs
was performed on this data set using the MISA program
(http://pgrc.ipk-gatersleben.de/misa/). A search for di-,
tri-, tetra-, and pentanucleotide repeats identified a
total of 17,362 potential SSRs in 14,291 unigenes; that
is, approximately 3% of the unigenes contained at least
one of the SSR motifs included in the search (Table 3). This percentage was among the lower values seen for
other species, in which approximately 3% to 20% of
ESTs contained putative SSR motifs [23,27-29]. Finally,
a total of 4,177 SSR primer pairs were designed from
these unigenes using the MIRA3.2. program (http://
mira-assembler.sourceforge.net/) (data not shown). Al-
though further studies are needed to investigate and Functional annotation GO has a controlled vocabulary that describes gene pro-
ducts in terms of their associated biological processes,
cellular components, and molecular functions. We uti-
lized the GO assignments of Arabidopsis gene models
(the GO Slim classifications in TAIR) for assignment of
putative
functional
roles
to
the
37,844
contigs
of Table 2 Size distribution of 454 sequencing reads after
removal of adaptor sequences Table 2 Size distribution of 454 sequencing reads after
removal of adaptor sequences
Normalized cDNA library
3′-UTR library
Read length
Number of reads
%
Number of reads
%
≤100 bp
90891
8.4
30785
9.1
101–250 bp
382543
35.5
89507
26.4
251–500 bp
557048
51.7
177269
52.3
501–750 bp
47743
4.4
41584
12.3
≥751 bp
35
0.0
5
0.0
Total
1078260
100
339150
100 Tanase et al. BMC Genomics 2012, 13:292
http://www.biomedcentral.com/1471-2164/13/292 Page 4 of 11 27%
12%
11%
9%
12%
8%
7%
6%
5%
3%
A: Biological Process
protein metabolism
transport
cell organization and biogenesis
developmental processes
transcription
response to abiotic or biotic stimulus
response to stress
signal transduction
electron transport or energy pathways
DNA or RNAmetabolism
27%
26%
12%
11%
6%
5%
4%
2% 3% 2% 2%
B: Cellular Component
chloroplast
nucleus
mitochondria
plastid
ribosome
cytosol
plasma membrane
cell wall
extracellular
ER
Golgi apparatus
19%
13%
12%
11%
9%
11%
9%
7%
4%
4%
1%
C: Molecular Function
hydrolase activity
transferase activity
protein binding
DNA or RNA binding
kinase activity
transcription factor activity
transporter activity
nucleotide binding
nucleic acid binding
structural molecule activity
receptor binding or activity
Figure 1 Classification of transcripts into functional categories according to Arabidopsis Gene Ontology. A: Biological Process, B: Cellular
Component, C: Molecular Function. In the Biological Process category, “other biological processes”, “other metabolic processes”, and “other
cellular processes” were omitted. In the Cellular Component category, “other cytoplasmic components”, “other cellular components”, “other
membranes”, and “other intracellular components” were omitted. In the Molecular Function category, “other molecular functions”, “other binding”,
and “other enzyme activity” were omitted. A: Biological Process A: Biological Process B: Cellular Component 27%
26%
12%
11%
6%
5%
4%
2% 3% 2% 2%
p
C: Molecular Function C: Molecular Function 1% Figure 1 Classification of transcripts into functional categories according to Arabidopsis Gene Ontology. A: Biological Process, B: Cellular
Component, C: Molecular Function. In the Biological Process category, “other biological processes”, “other metabolic processes”, and “other
cellular processes” were omitted. Functional annotation Because IPP is a precursor of various
physiologically important compounds such as chloro-
phyll,
tocopherol,
gibberellin,
and
cytokinin
[35],
genes
encoding
isoprenoid
biosynthesis
enzymes
might be expressed throughout the plant body. In
A
bid
i
ll
f
h
f
i
id bi
Table 3 Number of di-, tri-, tetra-, and pentanucleotide
simple sequence repeats (SSRs) identified in 1,417,410
reads obtained by 454 sequencing
Dinucleotide repeat
Number of
dinucleotide SSRs
%
AC/GT
150
15
AG/CT
321
33
AT/TA
170
17
CA/TG
81
8
GA/TC
250
26
Total
972
100
Trinucleotide repeat
Number of
trinucleotide SSRs
%
AAG/CTT
616
6
AAT/ATT
652
7
AGA/TCT
787
8
ATC/GAT
614
6
CAA/TTG
811
8
GAA/TTC
871
9
TCA/TGA
768
8
Other trinucleotide repeats
4613
47
(<5% of each one)
Total
9732
100
Tetranucleotide repeat
Number of
tetranucleotide SSRs
%
AAAT/ATTT
176
7
AATC/GATT
165
7
ATTA/TAAT
145
6
ATTG/CAAT
121
5
TCAA/TTGA
287
12
Other tetranucleotide repeats
1498
63
(<5% of each one)
Total
2392
100
Pentanucleotide repeat
Number of
pentanucleotide SSRs
%
AAAAT/ATTTT
401
9
Other pentanucleotide repeats
3865
91
(<5% of each one)
Total
4266
100 select for markers that show polymorphism, these data
Table 3 Number of di-, tri-, tetra-, and pentanucleotide
simple sequence repeats (SSRs) identified in 1,417,410
reads obtained by 454 sequencing
Dinucleotide repeat
Number of
dinucleotide SSRs
%
AC/GT
150
15
AG/CT
321
33
AT/TA
170
17
CA/TG
81
8
GA/TC
250
26
Total
972
100
Trinucleotide repeat
Number of
trinucleotide SSRs
%
AAG/CTT
616
6
AAT/ATT
652
7
AGA/TCT
787
8
ATC/GAT
614
6
CAA/TTG
811
8
GAA/TTC
871
9
TCA/TGA
768
8
Other trinucleotide repeats
4613
47
(<5% of each one)
Total
9732
100
Tetranucleotide repeat
Number of
tetranucleotide SSRs
%
AAAT/ATTT
176
7
AATC/GATT
165
7
ATTA/TAAT
145
6
ATTG/CAAT
121
5
TCAA/TTGA
287
12
Other tetranucleotide repeats
1498
63
(<5% of each one)
Total
2392
100
Pentanucleotide repeat
Number of
pentanucleotide SSRs
%
AAAAT/ATTTT
401
9
Other pentanucleotide repeats
3865
91
(<5% of each one)
Total
4266
100 Table 3 Number of di-, tri-, tetra-, and pentanucleotide
simple sequence repeats (SSRs) identified in 1,417,410
reads obtained by 454 sequencing and evaluated the genetic diversity in Dianthus species. These SSR markers were also used for constructing a
genetic linkage map of carnation [34]. Kimura et al. Functional annotation In the Cellular Component category, “other cytoplasmic components”, “other cellular components”, “other
membranes”, and “other intracellular components” were omitted. In the Molecular Function category, “other molecular functions”, “other binding”,
and “other enzyme activity” were omitted. Page 5 of 11 Tanase et al. BMC Genomics 2012, 13:292
http://www.biomedcentral.com/1471-2164/13/292 select for markers that show polymorphism, these data
will provide powerful tools for the identification of
k
li k d t
b
fi i l
h
t
and evaluated the genetic diversity in Dianthus species. These SSR markers were also used for constructing a
genetic linkage map of carnation [34]. Kimura et al. [31]
developed a set of 13 SSR markers and demonstrated
their usefulness for genetic identification and hybridity
confirmation of interspecific crosses in Dianthus spe-
cies. Recently, a comprehensive set of 4,323 SSR pri-
mer pairs, representing 178 unique marker loci in 16
linkage
groups,
was
developed
and
experimentally
validated for carnation [21]; one of these loci was
identified as a quantitative trait locus for carnation
bacterial wilt resistance. In general, SSRs derived from
ESTs are tightly linked with functional genes that may
control useful characters. Furthermore, SSR markers
can contribute to the construction of genetic linkage
maps, genetic identification, and parentage analysis in
Dianthus species. Transcripts related to flower color
Red and yellow petal colors in higher plants are gener-
ally produced by anthocyanins and carotenoids, respect-
ively, but species belonging to the order Caryophyllales
show unique pigment composition in their flowers. In
most of the Caryophyllales, red and yellow petal colors
are derived from betalains; most of them accumulate
neither anthocyanin nor carotenoids in their flowers. Carnation is an exception in that it accumulates antho-
cyanins and can express red and pink colors. The yel-
low petal color of carnation cultivars is derived from
chalcone, a yellow flavonoid, rather than from carote-
noids. Although chlorophylls are generally absent from
the flowers of most plants, some carnation cultivars ac-
cumulate chlorophylls in their petals and have a green
flower phenotype. It will therefore be interesting to in-
vestigate the expression of genes involved in the metabol-
ism of these pigments in members of the Caryophyllales. The carnation EST database will provide useful informa-
tion for future studies at the molecular level. Carotenoid and chlorophyll metabolism
Carotenoids are isoprenoid compounds synthesized
from isopentenyl diphosphate (IPP), a five-carbon iso-
prene unit. Functional annotation [31]
developed a set of 13 SSR markers and demonstrated
their usefulness for genetic identification and hybridity
confirmation of interspecific crosses in Dianthus spe-
cies. Recently, a comprehensive set of 4,323 SSR pri-
mer pairs, representing 178 unique marker loci in 16
linkage
groups,
was
developed
and
experimentally
validated for carnation [21]; one of these loci was
identified as a quantitative trait locus for carnation
bacterial wilt resistance. In general, SSRs derived from
ESTs are tightly linked with functional genes that may
control useful characters. Furthermore, SSR markers
can contribute to the construction of genetic linkage
maps, genetic identification, and parentage analysis in
Dianthus species. p
Red and yellow petal colors in higher plants are gener-
ally produced by anthocyanins and carotenoids, respect-
ively, but species belonging to the order Caryophyllales
show unique pigment composition in their flowers. In
most of the Caryophyllales, red and yellow petal colors
are derived from betalains; most of them accumulate
neither anthocyanin nor carotenoids in their flowers. Carnation is an exception in that it accumulates antho-
cyanins and can express red and pink colors. The yel-
low petal color of carnation cultivars is derived from
chalcone, a yellow flavonoid, rather than from carote-
noids. Although chlorophylls are generally absent from
the flowers of most plants, some carnation cultivars ac-
cumulate chlorophylls in their petals and have a green
flower phenotype. It will therefore be interesting to in-
vestigate the expression of genes involved in the metabol-
ism of these pigments in members of the Caryophyllales. The carnation EST database will provide useful informa-
tion for future studies at the molecular level. Carotenoid and chlorophyll metabolism Carotenoids are isoprenoid compounds synthesized
from isopentenyl diphosphate (IPP), a five-carbon iso-
prene unit. Because IPP is a precursor of various
physiologically important compounds such as chloro-
phyll,
tocopherol,
gibberellin,
and
cytokinin
[35],
genes
encoding
isoprenoid
biosynthesis
enzymes
might be expressed throughout the plant body. In
Arabidopsis, all of the genes for isoprenoid biosyn-
thesis are expressed in both flowers and leaves (TAIR:
http://www.arabidopsis.org/). However,
among
the
genes
upstream
of
IPP,
only
deoxyxyllulose
5-
phosphate synthase (DXS) was found in the carnation
EST database. On the other hand, we found tran-
scripts corresponding to most enzymes functioning select for markers that show polymorphism, these data
will provide powerful tools for the identification of
markers linked to beneficial characters. Very few genetic markers for horticulturally import-
ant characters in the major ornamentals, including car-
nation, have been identified [30]. To our knowledge,
only a few studies have reported SSR marker develop-
ment in carnation [21,31-33]. Smulders et al. [32,33]
developed 8 SSR markers from the EMBL database Tanase et al. BMC Genomics 2012, 13:292
http://www.biomedcentral.com/1471-2164/13/292 Page 6 of 11 biosynthesis genes found in the carnation transcripts
database. downstream of IPP and leading to the synthesis of
carotenoids. The database contained more than one
transcript each for isopentenyl pyrophosphate isomer-
ase,
geranylgeranyl
diphosphate
synthase,
phytoene
synthase, phytoene desaturase, ζ-carotene desaturase,
carotenoid isomerase, lycopene β-cyclase, lycopene E-
cyclase, β-ring hydroxylase, E-ring hydroxylase, and
violaxanthin de-epoxidase (Figure 2). Only one tran-
script was found for zeaxanthin epoxidase. Galpaz
et al. [36] reported that multiple homologs of geranyl-
geranyl diphosphate synthase, phytoene synthase, ζ-
carotene
desaturase,
and
β-ring
hydroxylase
are
present in tomato and expressed in a tissue-specific
manner. It is of great interest to learn the tissue spe-
cificity of the multiple homologs of the carotenoid Carotenoid catabolism produces diverse apocarotenoid
compounds that are essential for plant growth and
reproduction [37]. One category of these compounds
(abscisic acid and strigolactone) is categorized as a plant
hormone, and the others provide fruits and flowers with
aromas and colors for attracting pollinators and seed dis-
persers. Such bioactive apocarotenoids are produced when
carotenoids are cleaved by carotenoid cleavage dioxygenase
(CCD). Analysis of the genome sequence of Arabidopsis led
to the definition of nine clades of dioxygenases [38]. Five of
these, the 9-cis epoxycarotenoid dioxygenases (NCEDs;
NCED2, NCED3, NCED5, NCED6, and NCED9) are
involved in the synthesis of the plant hormone abscisic acid. Carotenoid and chlorophyll metabolism The remaining four are involved in the synthesis of the
plant hormone strigolactone (CCD7 and CCD8), in aroma
formation (CCD1), and in the regulation of carotenoid con-
tent in the flower (CCD4). The carnation transcripts data-
base contained sequences corresponding to two types of
NCEDs, which showed high sequence similarity to NCED2
and NCED5, and one type of CCD, which showed high se-
quence similarity to CCD1. The chlorophyll metabolic pathway can be classified
into three distinct phases: chlorophyll biosynthesis,
the
chlorophyll
cycle,
and
chlorophyll
degradation
[39]. Numerous enzymes function in these processes,
and most of the genes encoding these enzymes were
represented
in
the
carnation
transcripts
database. Among the 14 enzymes involved in chlorophyll bio-
synthesis, transcripts corresponding to 12 enzymes
were found in the database; the only ones not repre-
sented were uroporphyrinogen III synthase and Mg-
proto IX monomethylester cyclase (Figure 3). Tran-
scripts for chlorophyllide a oxygenase and chlorophyll
b reductase, both of which are involved in the chloro-
phyll cycle, were found in the carnation database. Among the enzymes involved in chlorophyll degrad-
ation, transcripts corresponding to pheophorbide a
oxygenase were found, but chlorophyllase, pheophyti-
nase, and red chlorophyll catabolite reductase (RCCR)
were not. Chlorophylls and carotenoids are essential pigments
that play important roles in photosynthesis. In ‘Fran-
cesco’ carnation, high levels of these pigments were
found in the leaves but not in the flowers (data not
shown). Thus, the transcripts related to carotenoid and
chlorophyll biosynthesis might have been derived from
leaves. On the other hand, chlorophyll degradation is
generally activated during leaf senescence. The absence
of transcripts for some chlorophyll degrading enzymes
might be explained by the fact that RNA was obtained
from flowers and developing leaves but not from senes-
cent leaves. Figure 2 Distribution of carnation transcripts in the carotenoid biosynthesis pathway. Previously published sequences in GenBank
belonging to the carotenoid biosynthesis pathway were used in
BLAST searches to identify genes in the carnation EST database. Each enzyme name is followed in parentheses by the number of
contigs homologous to gene families encoding this enzyme. IPI,
isopentenyl pyrophosphate isomerase; GGDP, geranylgeranyl
diphosphate synthase; PSY, phytoene synthase; PDS, phytoene
desaturase; ZDS, ζ-carotene desaturase; LCYB, lycopene β-cyclase;
LCYE, lycopene E-cyclase; CHYB, β-ring hydroxylase; CHYE, E-ring
hydroxylase; ZEP, zeaxanthin epoxidase; VDE, violaxanthin de-
epoxidase; CRTISO, carotenoid isomerase; NSY, neoxanthin synthase;
NCED, 9-cis-epoxycarotenoid dioxygenase. Tanase et al. BMC Genomics 2012, 13:292
http://www.biomedcentral.com/1471-2164/13/292 Page 7 of 11 and anthocyanidin synthase, each of which was repre-
sented by a single EST. Anthocyanidins are modified by glycosylation and acyl-
ation, to form anthocyanins. These modifications play im-
portant roles in changing flower color, increasing water
solubility, and enhancing pigment stability. Recently, two
types of glucosyltransferase have been identified and char-
acterized in carnation [45,46]. Here, we found multiple
transcripts encoding anthocyanidin glucosyltransferase and Figure 4 Distribution of carnation transcripts in the
anthocyanin (flavonoid) biosynthesis pathway. Previously
published sequences in GenBank belonging to the flavonoid Figure 3 Distribution of carnation transcripts in the chlorophyll
biosynthesis and degradation pathways. Previously published biosynthesis and degradation pathways. Previously published
sequences in GenBank belonging to the pathways of chlorophyll
biosynthesis and degradation were used in BLAST searches to
identify genes in the carnation EST database. Names of enzymes
(or subunits, in the case of Mg chelatase) are followed in
parentheses by the number of contigs in different families of
genes encoding these enzymes. HemA, glutamyl-tRNA reductase;
Gsa, glutamate-1-semialdehyde 2,1-aminomutase; HemB,
5-aminolevulinate dehydratase; HemC, hydroxymethylbilane
synthase; HemD, uroporphyrinogen III synthase; HemE,
uroporphyrinogen III decarboxylase; HemF, coproporphyrinogen III
oxidase; HemG, protoporphyrinogen IX oxidase; ChlH, Mg
chelatase H subunit; ChlI, Mg chelatase I subunit; ChlD, Mg
chelatase D subunit; ChlM, Mg-proto IX methyltransferase; Crd1,
Mg-proto IX monomethylester cyclase; DVR, divinyl-
protochlorophyllide reductase; Por, protochlorophyllide reductase;
ChlG, chlorophyll synthase; Cao, chlorophyllide a oxygenase; Nycl,
chlorophyll b reductase; CLH, chlorophyllase; PaO, pheophorbide a
oxygenase; Acd2, RCCR reductase. Anthocyanin biosynthesis Anthocyanins are widely occurring colorants of fruits
and flowers. Anthocyanidins, which are precursors of
anthocyanins, are classified into six types: cyanidin,
pelargonidin, peonidin, delphinidin, petunidin, and mal-
vidin. Carnation flowers contain mainly pelargonidin-
and
cyanidin-type
anthocyanidins
[40-43]. Enzymes
functioning in the anthocyanidin biosynthesis pathway
have been well studied in many plants [12,44]. ESTs of
all the enzymes involved in the anthocyanidin biosyn-
thesis pathway (from phenylalanine to anthocyanidin)
were present in the carnation transcripts database
(Figure 4). Every enzyme in the pathway was represented
by multiple transcripts except for 4-coumaroyl CoA ligase Figure 4 Distribution of carnation transcripts in the
anthocyanin (flavonoid) biosynthesis pathway. Previously
published sequences in GenBank belonging to the flavonoid
biosynthesis pathway were used in BLAST searches to identify genes
in the carnation EST database. Each enzyme name is followed in
parentheses by the number of contigs homologous to gene families
encoding this enzyme. PAL, phenylalanine ammonia-lyase; C4H,
cinnamate 4-hydroxylase; 4CL, 4-coumaroyl:CoA ligase; CHS,
chalcone synthase; CHI, chalcone isomerase; F3H, flavanone
3-hydroxylase; DFR, dihydroflavonol 4-reductase; ANS, anthocyanidin
synthase; GT, anthocyanidin glucosyltransferase; AT, anthocyanin
acyltransferase. Tanase et al. BMC Genomics 2012, 13:292
http://www.biomedcentral.com/1471-2164/13/292 Page 8 of 11 Figure 5 Distribution of carnation transcripts in the ethylene
biosynthesis pathway. The initial precursor is the amino acid
methionine, and key regulatory enzymes in the pathway are
S-adenosylmethionine synthase, ACC synthase, and ACC oxidase. Previous published sequences in GenBank belonging to the
ethylene biosynthesis pathway were used to identify genes in the
carnation EST database by BLAST searches. Each enzyme name is
followed in parentheses by the number of contigs homologous to
gene families encoding this enzyme. conversion of ACC to ethylene by ACO [51]. The car-
nation EST database contained multiple ESTs encoding
each of these three ethylene biosynthesis enzymes (Figure 5). We cloned a cDNA encoding a novel ACO gene from the
transcripts database constructed in this study (data not
shown). Other carnation cDNA clones representing S-ade-
nosylmethionine synthase, ACS, and ACO had high se-
quence similarity to those that have already been reported
(Accession No. P24260, M66619, AF049138, AF049137,
M62380). Additionally, we found ESTs corresponding to
most ethylene signal pathway genes (Table 4). The data-
base contained more than one EST each for ethylene
receptors, EILs (ETHYLENE INSENSITIVE3-like) and
ERFs (Ethylene-responsive-element–binding factor). Anthocyanin biosynthesis The
members of these families are involved in the regulating
various biological processes such as autocatalytic ethylene
production, senescence, and various responses to stress
through the ethylene perception [52]. Understanding
the functions of these genes will help our understanding
of regulation of ethylene dependent flower senescence
in carnation. Figure 5 Distribution of carnation transcripts in the ethylene
biosynthesis pathway. The initial precursor is the amino acid
methionine, and key regulatory enzymes in the pathway are
S-adenosylmethionine synthase, ACC synthase, and ACC oxidase. Previous published sequences in GenBank belonging to the
ethylene biosynthesis pathway were used to identify genes in the
carnation EST database by BLAST searches. Each enzyme name is
followed in parentheses by the number of contigs homologous to
gene families encoding this enzyme. anthocyanin acyltransferase in the database. Thus, the car-
nation transcripts database will contribute to further inves-
tigations into the diversity of anthocyanin modification
mechanisms. During flower senescence in carnation, a burst of ethyl-
ene production occurring in the gynoecium is followed
by ethylene delivered to the petals, though the identity of
the trigger signal molecule is still unknown. Autocatalytic
ethylene production is induced by the signal, which in
turn initiates downstream events in the senescence
process such as lipid peroxidation and proteolytic activity
[53,54]. Therefore, there is much interest in the regula-
tion of senescence by the expression of genes related to
ethylene biosynthesis. In many ethylene-sensitive flowers,
ACS and ACO are key steps in ethylene production, and
transcript levels of the corresponding genes are rapidly
upregulated at the ethylene burst stage [49,50,54]. These
findings suggest that ACS and ACO gene expression is
transcriptionally regulated in carnation. Betalain biosynthesis Although the betalain biosynthesis pathway is poorly
understood, several enzymes involved in this pathway
have been identified and characterized [12,47]. Among
them, an transcripts encoding dihydroxyphenylalanine
(DOPA) dioxygenase was found in the transcripts data-
base; further investigation will be necessary to verify if a
part of the betalain biosynthesis pathway is active in the
carnation flower. Conclusions In this study, an EST database was developed to enable
broad characterization of the carnation transcriptome. We detected 17,362 potential simple sequence repeats
(SSRs) in 14,291 unigenes and identified transcripts
corresponding to genes associated with carotenoid bio-
synthesis,
chlorophyll
biosynthesis
and
degradation,
anthocyanin (flavonoid) biosynthesis, and ethylene bio-
synthesis and signaling. This collection of transcripts
from carnation will be useful for the annotation of
the forthcoming carnation genome sequence and pro-
vide a remarkable resource for genomics studies in
Caryophyllaceae. For the 3’ cDNA library, we used the modified method
of Eveland et al. (2008) [59]. Approximately 10 μg of
amplified cDNA was sheared into small fragments about
800 bp in length with an Acoustic Solubilizer (Covaris). The cDNA fragments were selected by size, 400–
1000 bp, using gel-cut and eluting them. The 3’ ends of
the fragments were purified by using streptavidin-coated
magnetic beads. Titanium A-adaptors (Roche, Basel,
Switzerland) were ligated to the purified 3’ fragments,
and the single-stranded 3’ cDNA was treated with
100 mM NaOH, neutralized, and purified. The quality
of the 3’ cDNA library was assessed as described above
for the normalized cDNA library. The 454 sequencing
was performed according to the manufacturer’s instruc-
tions in the Roche GS FLX Titanium Sequencing
Method Manual. Ethylene biosynthesis and signaling Our carnation data-
base included many contigs related to transcription factor
activity (11% of the Molecular Function ESTs) in the GO
function analysis (Figure 1). Thus, the carnation tran-
scripts database will contribute to further investigations
into the regulation of ethylene biosynthesis and senes-
cence programs in flowers. made cDNA microarrays of carnation showed that some
transcripts
encoding
transcription
factors,
including
EIN3-like (EIL) transcription factors, a putative MYB-like
protein, a zinc finger protein, a MYC-type protein, and
MADS-box proteins, were upregulated during flower sen-
escence [52]. In tomato, the MADS-box protein RIN
(ripening inhibitor) regulates fruit ripening through direct
activation of LeACS2 [55,56]. Other transcription factors
such as TOMATO AGAMOUS-LIKE 1 MADS-box pro-
tein and tomato HD-Zip homeobox protein, which regu-
late fruit ripening, probably control the expression of
ethylene biosynthesis genes [57,58]. Our carnation data-
base included many contigs related to transcription factor
activity (11% of the Molecular Function ESTs) in the GO
function analysis (Figure 1). Thus, the carnation tran-
scripts database will contribute to further investigations
into the regulation of ethylene biosynthesis and senes-
cence programs in flowers. cDNA library construction for 454 sequencing
For 454 sequencing, we made a normalized cDNA li-
brary and a 3’ cDNA library in cooperation with Takara
Bio (Otsu, Shiga, Japan). RNA isolated from each tissue
was combined in equal proportions in a single pool in
an attempt to maximize the diversity of transcriptional
units sampled. The Clontech SMART system (Clontech,
Mountain View, CA, USA) was used for cDNA synthesis
from the total RNA. To construct the normalized cDNA library, the
cDNA was normalized by digestion with a duplex-
specific nuclease. The normalized cDNA was ampli-
fied under the following conditions: 95°C for 20 s,
followed by 25 cycles of 95°C for 5 s and 68°C for
8 min. The PCR primers were as follows: TD-5-P2
primer,
5’-GAGTGGCCATTACGGCCGGG-3’;
bioti-
nylated
(T18)VN
B-adaptor
oligo,
5’-biotin-
CCTATCCCCTGTGTGCCTTGGCAGTCTCAGTTTT
TTTTTTTTTTTTTTVN-3’. After
purification,
the
quantity of amplified cDNA was estimated using an
ND-1000
spectrophotometer
(NanoDrop)
and
the
quality was evaluated using an Agilent 2100 Bioanaly-
zer. Approximately 5 μg of amplified cDNA was
sheared into small fragments about 800 bp in length
using an Acoustic Solubilizer (Covaris, Woburn, MA,
USA). The cDNA library was constructed according to
the manufacturer’s instructions in the Roche GS FLX
Titanium
General
Library
Preparation
Method
Manual. Ethylene biosynthesis and signaling As
mentioned
in
the
Background
section,
the
improved cultivars ‘Miracle Rouge’ and ‘Miracle Sym-
phony’ have very long flower life (average 18 days) and
show much lower ethylene production than normal cul-
tivars [18]. In these improved cultivars, the expression
levels of DcACS1, DcACS2 and DcACO1 were low
throughout the experimental period [19], but sequencing
of genomic DNA did not detect any mutations in these
genes (Tanase, unpublished). On the other hand, custom- Ethylene is a gaseous plant hormone with many im-
portant roles in growth and development [48], and is
involved in flower senescence in many species [14]. The deterioration of the corolla in these species is
accelerated by exogenous ethylene, and senescence is
accompanied by an increase in endogenous ethylene
biosynthesis [49]. The regulation of senescence in car-
nation, which is one of the most ethylene-sensitive
flowers, has been investigated through the study of the
expression of genes related to ethylene biosynthesis. In
many plant species, including carnation, the pathway of
ethylene biosynthesis is well characterized, having S-
adenosylmethionine (AdoMet) as a starting compound
and 1-aminocyclopropane-1-carboxylate (ACC) as an
intermediate [50]. The conversion of methionine to
AdoMet is catalyzed by S-adenosylmethionine synthase,
the conversion of AdoMet to ACC by ACS, and the Table 4 Distribution of carnation transcripts in the
ethylene signaling pathway
Gene name
Number of contigs
Ethylene receptor
6
(ETHYLENE INSENSITIVE3-like) EIL
3
Ethylene-responsive-element–binding factor (ERF)
4 Table 4 Distribution of carnation transcripts in the
ethylene signaling pathway
Gene name
Number of contigs
Ethylene receptor
6
(ETHYLENE INSENSITIVE3-like) EIL
3
Ethylene-responsive-element–binding factor (ERF)
4 Table 4 Distribution of carnation transcripts in the
ethylene signaling pathway
Gene name
Number of contigs
Ethylene receptor
6
(ETHYLENE INSENSITIVE3-like) EIL
3
Ethylene-responsive-element–binding factor (ERF)
4 Tanase et al. BMC Genomics 2012, 13:292
http://www.biomedcentral.com/1471-2164/13/292 Page 9 of 11 Page 9 of 11 made cDNA microarrays of carnation showed that some
transcripts
encoding
transcription
factors,
including
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conventional Sanger sequencing. HH, SI, and ST selected the SSRs and designed
primer pairs. KT and CN performed the bioinformatics analysis. KT is the main
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Published: 2 July 2012 Received: 6 January 2012 Accepted: 2 July 2012
Published: 2 July 2012 Data analysis Both the 454 sequences and Sanger sequences were
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these sequences were based on GO terms from the GO
Slim classification in TAIR (www.arabidopsis.org). y
y
7. Arumuganathan K, Earle ED: Nuclear DNA content of some important
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p
p
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Arabidopsis transcriptome with massively parallel pyrosequencing. Plant
Physiol 2007, 144:32–42. 1National Institute of Floricultural Sciences, National Agriculture and Food
Research Organization, Fujimoto 2-1, Tsukuba, Ibaraki 305-8519, Japan. 2National Institute of Fruit Tree Science, National Agriculture and Food
Research Organization, Fujimoto 2-1, Tsukuba, Ibaraki 8605, Japan. 3Kazusa
DNA Research Institute, 2-6-7 Kazusa-kamatari, Kisarazu, Chiba 292-0818,
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Carnation (Dianthus caryophyllus L.) cultivar ‘Francesco’
was grown under natural daylight conditions in a green-
house as described previously [15]. Each tissue was har-
vested from three plants. The following plant tissues
were used: flower bud, flower (day 0 [full open flower],
3 days after full open, 8 days after full open, 4-h ethylene
treated [10 μll–1], 20-h ethylene treated [10 μll-1]),
young and adult leaves, and stem (with shoot apex). Flowers contained sepals, petals, stamens and pistils. Tissues were immediately frozen in liquid nitrogen and
stored at −80°C. Total RNA was extracted using the
RNeasy Plant Mini Kit (Qiagen, Hilden, Germany). RNA
concentration was estimated using an ND-1000 spectro-
photometer (NanoDrop) (Thermo Scientific, Wilming-
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an Agilent 2100 Bioanalyzer (Agilent Technologies,
Santa Clara, CA, USA). To construct the cDNA library for Sanger sequencing,
poly(A)+ RNA from aerial part of carnation plant was puri-
fied using Oligotex-dT30 Super (Nippon Roche, Tokyo,
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thesis kit (Agilent Technologies) according to the manufac-
turer’s instructions. The size selection of cDNA and cloning
into a pBluescript II SK– plasmid were performed as previ-
ously described [60]. For generation of ESTs, plasmid
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http://www.biomedcentral.com/1471-2164/13/292 Tanase et al. BMC Genomics 2012, 13:292
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• Research which is freely available for redistribution
Submit your manuscript at
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and take full advantage of:
• Convenient online submission
• Thorough peer review
• No space constraints or color figure charges
• Immediate publication on acceptance
• Inclusion in PubMed, CAS, Scopus and Google Scholar
• Research which is freely available for redistribution
Submit your manuscript at
www.biomedcentral.com/submit Submit your next manuscript to BioMed Central
and take full advantage of:
• Convenient online submission
• Thorough peer review
• No space constraints or color figure charges
• Immediate publication on acceptance
• Inclusion in PubMed, CAS, Scopus and Google Scholar
• Research which is freely available for redistribution
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DAMPAK SOSIAL TERHADAP KEBERADAAN PETERNAKAN AYAM PETELUR DI KELURAHAN BENTENG KECAMATAN BARANTI KABUPATEN SIDENRENG RAPPANG
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Jurnal Agrisistem/Jurnal Agrisistem
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p-ISSN 2089-0036
e-ISSN 2722-1938 p-ISSN 2089-0036
e-ISSN 2722-1938 Jurnal Agrisistem: Seri Sosek dan Penyuluhan
Volume 19 Nomor 2, Desember 2023 ABSTRAK Penelitian ini bertujuan untuk mengetahui dampak sosial yang terhadap keberadaan peternakan ayam petelur
di Kelurahan Benteng Kecamatan Baranti Kabupaten Sidenreng Rappang. Metode penelitian yang digunakan
yaitu metode penelitian desktriptif kualitatif, dengan menggunakan kuisioner/angket, observasi, wawancara
dan dokumentasi untuk pengumpulan data. Populasi dalam penelitian ini adalah masyarakat Kelurahan Benteng
Kecamatan Baranti yang berjumlah 2.991 orang, dan sampelnya adalah 25 orang yang mewakili setiap rumah
yang berada di sekitaran lokasi penelitian dan diambil secara responden. Teknik pengambilan sampel adalah
purpove sampling diambill dengan pertimbangan minimal 500 meter dan maksimal 1 kilometer dari lokasi
penelitian. Berdasarkan hasil penelitian yang dilakukan terhadap penelitian tentang dampak sosial terhadap
keberadaan peternak ayam petelur di Kelurahan Benteng Kecamatan Baranti yang ditinjau dari beberapa aspek
yaitu bau, limbah (fases) dan kebersihan kandang ternak ayam. Aspek Bau memiliki rata – rata persentase
66,4% dengan kategori Baik, Aspek limbah (fases) memiliki rata – rata persentase 57,6% dengan kategori
Kurang Baik, dan aspek Kebersihan Kandang memiliki rata – rata persentase 41,6% dengan kategori Kurang
Baik. Dampak sosial masyarakat akibat adanya usaha peternakan ayam petelur di Kelurahan Benteng
Kecamatan Baranti ada dampak negatif yaitu adanya bau yang tidak sedap ketika musim penghujan sehingga
mengganggu aktivitas kehidupan sehari-hari masyarakat yang tinggal di dekat usaha peternakan ayam petelur. Sedangkan dampak positifnya yaitu warga mendapatkan kontribusi dari pemilik usaha peternakan ayam
petelur, memperbaiki ekonomi keluarga yang tinggal di dekat usaha peternakan ayam petelur karena
dibutuhkan tenaganya, dan juga warga dengan mudah mendapatkan telur dan daging ayam dengan harga yang
murah. Kata Kunci : Dampak Sosial, Ekonomi, Peternak Ayam Petelur Diterbitkan Oleh,
Unit Penelitian dan Pengabdian Masyarakat, Politeknik Pembangunan Pertanian Gowa
http://ejournal.polbangtan-gowa.ac.id Diterbitkan Oleh,
Unit Penelitian dan Pengabdian Masyarakat, Politeknik Pembangunan Pertanian Gowa
http://ejournal.polbangtan-gowa.ac.id PENDAHULUAN guna
mencukupi
kebutuhan
hidup
dan
meningkatkan usahanya. Peternakan ayam petelur juga memberikan
peluang
usaha
yang
menjanjikan
kepada
masnyarakat karena lemparan pemasaran telur
yang mudah karena banyaknya masnyarakat yang
mengkomsumsi telur ayam untuk di jadikan bakan
baku kue ataupun bahan masakan lainnya. Namun
terkadang ada peternak ayam petelur yang tidak
memperhatikan
kondisi
kandang
sehingga
menimbulkan dampak sosial terhadap lingkungan
baik itu negatif maupun positif Sehingga hal inilah
yang melatar belakangi penelitian saya dengan
judul
“Dampak
sosial
terhadap
keberadaan
peternakan ayam petelur di Kelurahan Benteng
Kecamatan
Baranti
Kabupaten
Sidenreng
Rappang”. Ayam petelur merupakan salah satu
ternak unggas yang cukup potensial di Indonesia. Ayam
petelur
dibudidayakan
khusus untuk
menghasilkan telur secara komersial. Saat ini
terdapat 2 kelompok ayam petelur yaitu tipe ayam
medium dan tipe ringan. Tipe medium umumnya
bertelur dengan kerabang coklat sedangkan tipe
ringan bertelur dengan kerabang putih. Dampak sosial yang sering muncul adalah
adanya ketidak puasan dari masyarakat di sekitar
lokasi, baik mengenai kompetensi yang mereka
terima ataupun adanya kecemburuan kepada tenaga
kerja asing yang datang, sementara mereka yang
memang sudah beranak-pinak disekitar lokasi
justru tidak mendapat kesempatan untuk berkerja
pada usaha tersebut. Karena itulah dalam kelayakan
penerimaan lokasi, sikap masyarakat ini perlu
dipertimbangkan, apakah lebih banyak masyarakat
yang mendukung atau yang tidak mendukung,
barulah diputuskan pemilihan lokasi walaupun
mungkin pertimbangan biaya operasi lebih tinggi
dibandingkan lokasi lain. (Dianawati, 2017). Dalam aspek ekonomi dan sosial yang
perlu ditelaah apakah jika usaha atau proyek
dijalankan akan memberikan manfaat secara
ekonomi dan sosial kepada berbagai pihak atau
sebaliknya. Oleh karena itu, aspek ekonomi dan
sosial ini perlu dipertimbangkan, karena dampak
yang akan ditimbulkan nantinya sangat luas apabila
salah dalam melakukan penilaian. Diharapkan dari
aspek ekonomi dan sosial, yang akan dijalankan
akan memberikan dampak yang positif lebih
banyak. Artinya dengan berdirinya usaha atau
proyek secara ekonomi dan sosial lebih banyak
memberikan manfaat dibandingkan kerugiannya
(Dianawati, 2017). Kandang yang baik yaitu jauh dari
pemukiman penduduk, ventilasi dan suhu udara
kandang yang baik, efisien dalam pengelolaan, kuat
dan tahan lama, tidak berdampak pada lingkungan
sekitar serta memudahkan petugas dalam proses
produksi seperti pemberian pakan, pembersihan
kandang
dan
penanganan
kesehatan.Tujuan
perkembangan usaha peternakan ayam petelur
adalah untuk memenuhi kebutuhan pangan dan gizi
masyarakat pada sektor rumah tangga oleh pihak
konsumen. Tujuan yang ingin dicapai oleh pihak
produsen dalam mengusahakan peternakan ayam
petelur adalah untuk mendapatkan keuntungan ABSTRACT This research aims to determine the social impact on the existence of laying hen farms in Benteng Village,
Baranti District, Sidenreng Rappang Regency. The research method used is a qualitative descriptive research
method, using questionnaires, observation, interviews and documentation for data collection. The population
in this study was the people of Benteng Subdistrict, Baranti District, totaling 2,991 people, and the sample was
25 people who represented each house in the area around the research location and were taken by respondent. The sampling technique is purpove sampling taken with consideration of a minimum of 500 meters and a
maximum of 1 kilometer from the research location. Based on the results of research conducted on research
on the social impact on the existence of laying hen breeders in Benteng Subdistrict, Baranti District, looking 94 Diterbitkan Oleh,
Unit Penelitian dan Pengabdian Masyarakat, Politeknik Pembangunan Pertanian Gowa
http://ejournal.polbangtan-gowa.ac.id p-ISSN 2089-0036
e-ISSN 2722-1938 Jurnal Agrisistem: Seri Sosek dan Penyuluhan
Volume 19 Nomor 2, Desember 2023 at several aspects, namely odor, waste (faces) and cleanliness of chicken coops. The odor aspect has an average
percentage of 66.4% in the Good category, the waste aspect (phase) has an average percentage of 57.6% in
the Poor category, and the Cage Cleanliness aspect has an average percentage of 41.6% in the Poor category. Good. The social impact on the community due to the laying chicken farming business in Benteng Subdistrict,
Baranti District, has a negative impact, namely the presence of an unpleasant odor during the rainy season
which disrupts the daily life activities of the people who live near the laying hen farming business. Meanwhile,
the positive impact is that residents receive contributions from owners of laying hen farming businesses,
improving the economy of families who live near laying hen farming businesses because their labor is needed,
and also residents can easily get eggs and chicken meat at low prices. Keywords : Economic Impact, Laying Chicken Farming, Social Impact METODE PENELITIAN Dalam penelitian ini penulis menggunakan
metode penelitian deskriptif kualitatif, merupakan
penelitian yang diarahkan untuk memberikan
gejala-gejala, fakta-fakta, atau kejadian-kejadian 95 Jurnal Agrisistem: Seri Sosek dan Penyuluhan
Volume 19 Nomor 2, Desember 2023 p-ISSN 2089-0036
e-ISSN 2722-1938 Jurnal Agrisistem: Seri Sosek dan Penyuluhan
Volume 19 Nomor 2, Desember 2023 teknik pengumpulan data dilakukan dengan
menggunakan kuesioner, wawancara, observasi
dan dokumentasi Data yang telah dikumpulkan
melalui wawancara, kuisioner dan dokumentasi
yang diolah dan dianalisis dengan menggunakan
teknik analisis deskriptif kualitatif menggunakan
bantuan tabel frekuensi, dengan menggunakan
skala Likert sebagai alat ukur. tertentu secara sistematis dan akurat, mengenai
sifat-sifat populasi atau daerah tertentu. Pendekatan
deskriptif menyajikan gambaran lengkap mengenai
kondisi sosial atau hubungan antara fenomena yang
diuji. Faktor penghambat usaha peternakan
dihitung menggunakan skala likert yang dilihat dari
indikator pernyataan sangat setuju, setuju, ragu-
ragu, tidak setuju dan sangat tidak setuju. Data yang
digunakan dalam penelitian ini meliputi data
primer dan data sekunder baik yang bersifat
kualitatif maupun kuantitatif yang berkenaan
dengan dampak sosial ekonomi dan lingkungan
usaha peternakan ayam ras petelur. Sedangkan Instrumen
yang
digunakan
dalam
penelitian ini adalah angket yang terdiri dari 3 butir
pertanyaan. Adapun kisi – kisi instrumennya adalah
sebagai berikut: Tabel 1. Dampak Sosial, Ekonomi, Lingkungan Usaha Peternakan Ayam Ras Petelur di Kelurahan Benteng
Keamatan Baranti Kabupaten Sidenreng Rappang
No
Indikator
Pertanyaan Item
Jumlah
Positif
(+)
Negatif
(-)
1. Bau dari peternakan ayam petelur mengakibatkan
polusi udara
1
-
1
2. Limbah (feses) menyebabkan kerusakan
lingkungan
1
-
1
3. Kebersihan kandang menjadi faktor keberhasilan
peternakan ayam petelur
1
-
1 ial, Ekonomi, Lingkungan Usaha Peternakan Ayam Ras Petelur di Kelurahan Benteng
Baranti Kabupaten Sidenreng Rappang Tabel 1. Dampak Sosial, Ekonomi, Lingkungan Usaha Peternakan Ayam Ras Petelur di Ke
Keamatan Baranti Kabupaten Sidenreng Rappang HASIL DAN PEMBAHASAN Untuk melakukan pengukuran terhadap
angket, peneliti menggunakan skala pengukuran
berupa skala likert yaitu skala yang digunakan
untuk mengukur sikap, pendapat, dan persepsi
seseorang atau sekelompok orang terhadap suatu
fenomena sosial. Terdapat lima alternative jawaban
atau kriteria yakni Sangat Setuju (SS), Setuju (S),
Kurang Setuju (KS), Tidak Setuju (TS), dan Sangat
Tidak Setuju (STS). Jawaban SS hingga STS
diberikan 5 hingga 1. Peneliti akan menguraikan data hasil penelitian
tentang permasalahan yang telah dirumuskan pada
sebelumnya, yaitu tentang Dampak Sosial terhadap
Keberadaan Peternak Ayam Petelur di Kelurahan
Benteng Kecamatan Baranti Kabupaten Sidenreng
Rappang ditinjau dari bau, limbah (feses) dan
kebersihan lingkungan peternak ayam. Diterbitkan Oleh,
96
Unit Penelitian dan Pengabdian Masyarakat, Politeknik Pembangunan Pertanian Gowa
http://ejournal.polbangtan-gowa.ac.id 1) Bau
dari
peternakan
ayam
petelur
mengakibatkan polusi udara 1) Bau
dari
peternakan
ayam
petelur
mengakibatkan polusi udara Tabel 1. Tanggapan responden mengenai bau dari peternakan ayam petelur
Tanggapan Responden
X
F
F.X
Presentase (%)
Sangat Setuju
5
1
5
4%
Setuju
4
15
60
60%
Kurang Setuju
3
0
0
0%
Tidak Setuju
2
9
18
36%
Sangat Tidak Setuju
1
0
0
0%
Jumlah
25
83
100 Tabel 1. Tanggapan responden mengenai bau dari peternakan ayam petelur 96 Diterbitkan Oleh,
96
Unit Penelitian dan Pengabdian Masyarakat, Politeknik Pembangunan Pertanian Gowa
http://ejournal.polbangtan-gowa.ac.id p-ISSN 2089-0036
e-ISSN 2722-1938 Jurnal Agrisistem: Seri Sosek dan Penyuluhan
Volume 19 Nomor 2, Desember 2023 Rata-Rata Skor
:
Jumlah Skor
Jumlah Frekuensi
=
83
25 = 3,32
Rata-Rata Presentase
: Rata−Rata Skor
Jumlah Frekuensi
=
3,32
5 x 100% = 66,4%
Sumber: Olah Data Kuisioner, 2023 Rata-Rata Skor
:
Jumlah Skor
Jumlah Frekuensi
=
83
25 = 3,32
Rata-Rata Presentase
: Rata−Rata Skor
Jumlah Frekuensi
=
3,32
5 x 100% = 66,4%
Sumber: Olah Data Kuisioner, 2023 Rata-Rata Skor
:
Jumlah Skor
Jumlah Frekuensi
=
83
25 = 3,32
Rata-Rata Presentase
: Rata−Rata Skor
Jumlah Frekuensi
=
3,32
5 x 100% = 66,4%
Sumber: Olah Data Kuisioner, 2023
Gambar 1. Grafik Tanggapan responden mengenai
bau dari peternakan ayam petelur
0
5
10
15
20
Sangat
Setuju
Setuju
Ragu -
Ragu
Tidak
Setuju
Sangat
Tidak
Setuju menjawab kurang setuju, 9 orang atau 36%
responden yang menjawab tidak setuju, dan tidak
ada responden yang menjawab sangat tidak setuju. Dengan melihat rata-rata persentase yaitu 66,4%. Maka dapat ditarik kesimpulan bahwa, mengenai
dampak bau dari peternakan ayam petelur di
Kelurahan Benteng Kecamatan Baranti ini berada
pada kategori Baik. Kesimpulan berdasarkan hasil
penelitian
dan
penelitian
terdahulu
adalah
Mengenai dampak bau yang dihasilkan dari
peternakan ayam petelur di Lingkungan Kelurahan
Benteng Kecamatan Baranti sebagian menilainya
setuju karena dianggap sangat berdampak pada
polusi udara dan membuat masyarakat sekitar
peternakan tidak nyaman dan tidak sehat. Sedangkan perbandingan pada penelitian terdahulu
yaitu penelitian yang dilakukan oleh Digita (2008)
Peternak Ayam Petelur menggunakan kotoran air
kapur untuk mencegah aroma tidak sedap dan
mencegah keberadaan lalat dengan membersihkan
kandang dan menyemprotkan air kapur pada
kandang ayam. 5
Sumber: Olah Data Kuisioner, 2023 Gambar 1. Grafik Tanggapan responden mengenai
bau dari peternakan ayam petelur
0
5
10
15
20
Sangat
Setuju
Setuju
Ragu -
Ragu
Tidak
Setuju
Sangat
Tidak
Setuju Gambar 1. Jurnal Agrisistem: Seri Sosek dan Penyuluhan
Volume 19 Nomor 2, Desember 2023 Jurnal Agrisistem: Seri Sosek dan Penyuluhan
Volume 19 Nomor 2, Desember 2023 p-ISSN 2089-0036
e-ISSN 2722-1938 dihasilkan dari peternakan ayam petelur di
Lingkungan
Kelurahan
Benteng
Kecamatan
Baranti
sebagian
menilainya
setuju
karena
dianggap sangat berdampak pada polusi udara dan
membuat masyarakat sekitar peternakan tidak
nyaman dan tidak sehat. Sedangkan perbandingan
pada penelitian terdahulu yaitu penelitian yang
dilakukan oleh Digita (2008) Peternak Ayam
Petelur menggunakan kotoran air kapur untuk
mencegah aroma tidak sedap dan mencegah
keberadaan lalat dengan membersihkan kandang
dan menyemprotkan air kapur pada kandang ayam. Berdasarkan
hasil
pengolahan
data
kuesioner di atas menunjukkan bahwa, dari 25
jumlah responden terdapat 1 orang atau 4%
responden menjawab sangat setuju, 15 orang atau
60% responden menjawab setuju, tidak ada
responden menjawab kurang setuju, 9 orang atau
36% responden yang menjawab tidak setuju, dan
tidak ada responden yang menjawab sangat tidak
setuju. Dengan melihat rata-rata persentase yaitu
66,4%. Maka dapat ditarik kesimpulan bahwa,
mengenai dampak bau dari peternakan ayam
petelur di Kelurahan Benteng Kecamatan Baranti
ini berada pada kategori Baik. Kesimpulan
berdasarkan
hasil
penelitian
dan
penelitian
terdahulu adalah Mengenai dampak bau yang 3)
Kebersihan kandang menjadi faktor
keberhasilan peternakan ayam petelur Tabel 3. Tanggapan responden mengenai kebersihan kandang peternakan ayam petelur
Tanggapan Responden
X
F
F.X
Presentase (%)
Sangat Setuju
5
1
5
4%
Setuju
4
0
0
0%
Kurang Setuju
3
1
3
4%
Tidak Setuju
2
21
42
84%
Sangat Tidak Setuju
1
2
2
8%
Jumlah
25
72
100 Tabel 3. Tanggapan responden mengenai kebersihan kandang peternakan ayam petelur responden menjawab setuju, 1 orang atau 4%
responden menjawab kurang setuju, 21 orang atau
84% responden yang menjawab tidak setuju, dan 2
orang atau 8% responden yang menjawab sangat
tidak setuju. Dengan melihat rata-rata persentase
yaitu 41,6%. Maka dapat ditarik kesimpulan
bahwa, mengenai dampak limbah (feses) dari
peternakan ayam petelur di Kelurahan Benteng
Kecamatan Baranti ini berada pada kategori
Kurang Baik. Sedangkan penelitian terdahulu yang
dilakukan oleh Dianawati (2017) di Lampung
Tengah yaitu memiliki 2 (dua) dampak terdiri dari
dampak negatif salah satunya limbah yang
menyebabkan pencemaran lingkungan peternakan
dan dampak positif yaitu masyarakat sekitar
mendapatkan kontribusi dari pemilik usaha serta
dapat memperbaiki ekonomi keluarga yang tinggal
di sekitar pengusaha peternakan Sumber: Olah Data Kuisioner, 2023 0
5
10
15
Sangat
Setuju
Setuju
Ragu -
Ragu
Tidak
Setuju
Sangat
Tidak
Setuju Adapun total keseluruhan nilai dari
dampak sosial terhadap keberadaan peternak ayam
petelur adalah sebesar 207. Diterbitkan Oleh,
Unit Penelitian dan Pengabdian Masyarakat, Politeknik Pembangunan Pertanian Gowa
http://ejournal.polbangtan-gowa.ac.id 1) Bau
dari
peternakan
ayam
petelur
mengakibatkan polusi udara Grafik Tanggapan responden mengenai
bau dari peternakan ayam petelur Berdasarkan hasil pengolahan data kuesioner di
atas menunjukkan bahwa, dari 25 jumlah
responden terdapat 1 orang atau 4% responden
menjawab sangat setuju, 15 orang atau 60%
responden menjawab setuju, tidak ada responden 2)
Limbah
(feses)
menyebabkan
kerusakan lingkungan 2)
Limbah
(feses)
menyebabkan
kerusakan lingkungan Diterbitkan Oleh,
97
Unit Penelitian dan Pengabdian Masyarakat, Politeknik Pembangunan Pertanian Gowa
http://ejournal.polbangtan-gowa.ac.id
Tabel 2. Tanggapan responden mengenai limbah (feses) peternakan ayam petelur
Tanggapan Responden
X
F
F.X
Presentase (%)
Sangat Setuju
5
0
0
0%
Setuju
4
9
36
36%
Kurang Setuju
3
4
12
16%
Tidak Setuju
2
12
24
48%
Sangat Tidak Setuju
1
0
0
0%
Jumlah
25
72
100
Rata-Rata Skor
:
Jumlah Skor
Jumlah Frekuensi
=
72
25 = 2,28
Rata-Rata Presentase
:
Rata−Rata Skor
Jumlah Frekuensi
=
2,28
5 x 100% = 57,6%
Sumber: Olah Data Kuisioner, 2023
Gambar
1. Grafik
Tanggapan
responden
mengenai limbah (feses) peternakan ayam petelur
0
5
10
15
Sangat
Setuju
Setuju
Ragu -
Ragu
Tidak
Setuju
Sangat
Tidak
Setuju Diterbitkan Oleh,
97
Unit Penelitian dan Pengabdian Masyarakat, Politeknik Pembangunan Pertanian Gowa
http://ejournal.polbangtan-gowa.ac.id
Tabel 2. Tanggapan responden mengenai limbah (feses) peternakan ayam petelur
Tanggapan Responden
X
F
F.X
Presentase (%)
Sangat Setuju
5
0
0
0%
Setuju
4
9
36
36%
Kurang Setuju
3
4
12
16%
Tidak Setuju
2
12
24
48%
Sangat Tidak Setuju
1
0
0
0%
Jumlah
25
72
100
Rata-Rata Skor
:
Jumlah Skor
Jumlah Frekuensi
=
72
25 = 2,28
Rata-Rata Presentase
:
Rata−Rata Skor
Jumlah Frekuensi
=
2,28
5 x 100% = 57,6%
Sumber: Olah Data Kuisioner, 2023
Gambar
1. Grafik
Tanggapan
responden
mengenai limbah (feses) peternakan ayam petelur
0
5
10
15
Sangat
Setuju
Setuju
Ragu -
Ragu
Tidak
Setuju
Sangat
Tidak
Setuju Tabel 2. Tanggapan responden mengenai limbah (feses) peternakan ayam petelur Tabel 2. Tanggapan responden mengenai limbah (feses) peternakan ayam petelur Sumber: Olah Data Kuisioner, 2023 97 Diterbitkan Oleh,
97
Unit Penelitian dan Pengabdian Masyarakat, Politeknik Pembangunan Pertanian Gowa
http://ejournal.polbangtan-gowa.ac.id Diterbitkan Oleh,
97
Unit Penelitian dan Pengabdian Masyarakat, Politeknik Pembangunan Pertanian Gowa
http://ejournal.polbangtan-gowa.ac.id Total Frekuensi Jawaban =
Total Frekuensi Jawaban
Bobot tertinggi x Jumlah pertanyaan x Jumlah Responden
=
207
5 x 3x 25
=
207
375 =
Total Frekuensi Jawaban
Bobot tertinggi x Jumlah pertanyaan x Jumlah Responden
=
207
5 x 3x 25
=
207
375 = 0,552 x 100% = 55,2% Jadi, nilai dari dampak sosial terhadap
keberadan peternak ayam petelur adalah 55,2% dari
100% hasil yang diharapkan. Selanjutnya
pembahasan
mengenai
penggolongan karakteristik responden : a. Karakteristik
Responden
Berdasarkan
Umur Pekerjaan sosial tentunya tidak melakukan
sesuatu secara mekanis atau otomatis begitu saja,
atau mengerjakan suatu pekerjaan tanpa berfikir
dan sesukanya tentunya diperlukan suatu basis
pengetahuan dari setiap praktek pekerjaan sosial. Basis
pengetahuan
tersebut
menyuguhkan
sejumlah konsolidasi dan paduan pengetahuan dari
para praktisi, beragam teori, dan penelitian-
penelitian yang mencakup bidang garapannya yang
kurang lebih sama digunakan di masa sebelumnya
dan menyediakan sejumlah pengalaman dan
pembelajaran bagi para pekerja sosial saat ini dan
masa mendatang. Responden dari penelitian ini
dikategorikan
berdasarkan
pekerjaannnya. Responden penelitian dibagi ke dalam IRT, dan
wiraswasta. Berikut tabel karakteristik responden
berdasarkan pendidikan terakhirnya. karakteristik
pekerjaan adalah atribut tugas karyawan dan
meliputi jumlah tanggung jawab, berbagai tugas,
dan sejauh mana pekerjaan itu sendiri mempunyai
karakteristik yang orang mendapatkan kepuasan. Suatu pekerjaan yang intrinsik memuaskan akan
lebih memotivasi bagi banyak orang daripada
pekerjaan yang tidak memuaskan (Gusti dkk. 2017). Umur merupakan aspek yang dapat
mempengaruhi kinerja dalam bekerja semakin tua
umur maka semakin tinggi pengalaman kerjanya. Faktor umur juga yang mempengaruhi produktif
tidaknya suatu usaha karena faktor umur yang
memiliki
kemampuan
lebih
besar
dalam
mengambil keputusan dalam usahanya. Responden
dari
penelitian
ini
kemudian
dikategorikan
berdasarkan usia. Responden penelitian dibagi ke
dalam usia 21 – 30 tahun, tahun, 31 – 40 tahun, 41
– 50 tahun, 51 – 60 tahun, 61 – 70 tahun, dan 71 –
80 tahun. Berikut tabel karakteristik responden
berdasarkan usianya. Umumnya seseorang yang
berada pada umur produktif akan mampu
memperoleh pendapatan yang lebih banyak
daripada seseorang yang termasuk umur non
produktif. Struktur umur ini akan berpengaruh
terhadap kegiatan ekonomi yang dilakukan oleh
penduduk yang bersangkutan (Putri, 2013) Umur merupakan aspek yang dapat
mempengaruhi kinerja dalam bekerja semakin tua
umur maka semakin tinggi pengalaman kerjanya. gg p
g
j
y
Faktor umur juga yang mempengaruhi produktif
tidaknya suatu usaha karena faktor umur yang
memiliki
kemampuan
lebih
besar
dalam
mengambil keputusan dalam usahanya. Responden
dari
penelitian
ini
kemudian
dikategorikan
berdasarkan usia. Responden penelitian dibagi ke
dalam usia 21 – 30 tahun, tahun, 31 – 40 tahun, 41 – 50 tahun, 51 – 60 tahun, 61 – 70 tahun, dan 71 –
80 tahun. Berikut tabel karakteristik responden
berdasarkan usianya. Umumnya seseorang yang
berada pada umur produktif akan mampu
memperoleh pendapatan yang lebih banyak
daripada seseorang yang termasuk umur non
produktif. Struktur umur ini akan berpengaruh
terhadap kegiatan ekonomi yang dilakukan oleh
penduduk yang bersangkutan (Putri, 2013) b.
Karakteristik
Responden
Berdasarkan
Tingkat Pendidikan Pendidikan merupakan salah satu indikator
dalam mengukur kesejahteraan masyarakat. Suatu
masyarakat dengan tingkat pendidikan yang tinggi
diharapkan juga memiliki kualitas hidup yang
tinggi sehingga kesejahteraan dapat tercapai. pendidikan juga merupakan sarana sosial untuk
mencapai tujuan sosial, yang dapat berguna untuk
menjamin
kelangsungan
hidup
seseorang. Responden dari penelitian ini dikategorikan
berdasarkan
tingkat
pendidikan. Responden Diterbitkan Oleh,
Unit Penelitian dan Pengabdian Masyarakat, Politeknik Pembangunan Pertanian Gowa
http://ejournal.polbangtan-gowa.ac.id Jurnal Agrisistem: Seri Sosek dan Penyuluhan
Volume 19 Nomor 2, Desember 2023 Untuk mengetahui
jumlah persentasenya, maka dapat dihitung dengan
menggunakan rumus sebagai berikut: Berdasarkan
hasil
pengolahan
data
kuesioner di atas menunjukkan bahwa, dari 25
jumlah responden terdapat 1 orang atau 4%
responden menjawab sangat setuju, tidak ada 98 p-ISSN 2089-0036
e-ISSN 2722-1938 Jurnal Agrisistem: Seri Sosek dan Penyuluhan
Volume 19 Nomor 2, Desember 2023 Jurnal Agrisistem: Seri Sosek dan Penyuluhan
Volume 19 Nomor 2, Desember 2023 Hasil ideal = penelitian dibagi ke dalam SD, SMP, SMA, D2,
dan S1. Berikut tabel karakteristik responden
berdasarkan pendidikan terakhirnya. Hal ini dapat
dihubungkan dengan teori yang menyebutkan
bahwa tingkat pendidikan yang ditempuh oleh
individu merupakan salah satu faktor yang akan
mendukung kemampuannya untuk menerima
informasi bahwa semakin tinggi tingkat pendidikan
seseorang maka makin luas pula cara pandang
dan cara pikirnya dalam menghadapi suatu
keadaan yang terjadi di sekitarnya. (Ikaditya,
2016) KESIMPULAN Dampak sosial masyarakat akibat adanya
usaha peternakan ayam petelur di Kelurahan
Benteng Kecamatan Baranti ada dampak negatif
dan ada juga dampak positif. Dampak negatifnya
yaitu adanya bau yang tidak sedap sehingga
mengganggu
aktivitas
kehidupan
sehari-hari 99 Jurnal Agrisistem: Seri Sosek dan Penyuluhan
Volume 19 Nomor 2, Desember 2023 Jurnal Agrisistem: Seri Sosek dan Penyuluhan
Volume 19 Nomor 2, Desember 2023 p-ISSN 2089-0036
e-ISSN 2722-1938 p-ISSN 2089-0036
e-ISSN 2722-1938 Jurnal Agrisistem: Seri Sosek dan Penyuluhan
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Dan
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Farm. Peternakan Lokal, 2(1), 15–19. Putri, A (2013) Pengaruh Umur, Pendidikan,
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Sosial Ekonomi Masyarakat. Kediri. Fakihuddin, F., Suhariyanto, T. T., & Faishal, M. Fakihuddin, F., Suhariyanto, T. T., & Faishal, M. Diterbitkan Oleh,
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How to specify healthcare process improvements collaboratively using rapid, remote consensus-building: a framework and a case study of its application
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BMC Medical research methodology
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How to specify healthcare process
improvements collaboratively using rapid,
remote consensus-building: a framework
and a case study of its application How to specify healthcare process
improvements collaboratively using rapid,
remote consensus-building: a framework
and a case study of its application Jan W. van der Scheer1*
, Matthew Woodward1
, Akbar Ansari1, Tim Draycott2,3
, Cathy Winter3,
Graham Martin1
, Karolina Kuberska1
, Natalie Richards1
, Ruth Kern1, Mary Dixon-Woods1
, Thiscovery
Authorship Group and Obstetric Emergency Consensus Authorship Group Jan W. van der Scheer1*
, Matthew Woodward1
, Akbar Ansari1, Tim Draycott2,3
, Cathy Winter3,
Graham Martin1
, Karolina Kuberska1
, Natalie Richards1
, Ruth Kern1, Mary Dixon-Woods1
, Thiscovery
Authorship Group and Obstetric Emergency Consensus Authorship Group Abstract Background: Practical methods for facilitating process improvement are needed to support high quality, safe care. How best to specify (identify and define) process improvements – the changes that need to be made in a
healthcare process – remains a key question. Methods for doing so collaboratively, rapidly and remotely offer much
potential, but are under-developed. We propose an approach for engaging diverse stakeholders remotely in a
consensus-building exercise to help specify improvements in a healthcare process, and we illustrate the approach
in a case study. Methods: Organised in a five-step framework, our proposed approach is informed by a participatory ethos, crowdsourcing
and consensus-building methods: (1) define scope and objective of the process improvement; (2) produce a draft or
prototype of the proposed process improvement specification; (3) identify participant recruitment strategy; (4) design and
conduct a remote consensus-building exercise; (5) produce a final specification of the process improvement in light of
learning from the exercise. We tested the approach in a case study that sought to specify process improvements for the
management of obstetric emergencies during the COVID-19 pandemic. We used a brief video showing a process for
managing a post-partum haemorrhage in women with COVID-19 to elicit recommendations on how the process could be
improved. Two Delphi rounds were then conducted to reach consensus. Results: We gathered views from 105 participants, with a background in maternity care (n = 36), infection prevention and
control (n = 17), or human factors (n = 52). The participants initially generated 818 recommendations for how to improve the
process illustrated in the video, which we synthesised into a set of 22 recommendations. The consensus-building exercise
yielded a final set of 16 recommendations. These were used to inform the specification of process improvements for
managing the obstetric emergency and develop supporting resources, including an updated video. (Continued on next page) * Correspondence: jan.vanderscheer@thisinstitute.cam.ac.uk
1THIS Institute (The Healthcare Improvement Studies Institute), Department
of Public Health and Primary Care, University of Cambridge, Cambridge
Biomedical Campus, Clifford Allbutt Building, Cambridge CB2 0AH, UK
Full list of author information is available at the end of the article TECHNICAL ADVANCE
Open Access
How to specify healthcare process
improvements collaboratively using rapid,
remote consensus-building: a framework
and a case study of its application
Jan W. van der Scheer1*
, Matthew Woodward1
, Akbar Ansari1, Tim Draycott2,3
, Cathy Winter3,
Graham Martin1
, Karolina Kuberska1
, Natalie Richards1
, Ruth Kern1, Mary Dixon-Woods1
, Thiscovery
Authorship Group and Obstetric Emergency Consensus Authorship Group
Scheer et al. BMC Medical Research Methodology (2021) 21:103
https://doi.org/10.1186/s12874-021-01288-9 TECHNICAL ADVANCE
Open Access
How to specify healthcare process
improvements collaboratively using rapid,
remote consensus-building: a framework
and a case study of its application
Jan W. van der Scheer1*
, Matthew Woodward1
, Akbar Ansari1, Tim Draycott2,3
, Cathy Winter3,
Graham Martin1
, Karolina Kuberska1
, Natalie Richards1
, Ruth Kern1, Mary Dixon-Woods1
, Thiscovery
Authorship Group and Obstetric Emergency Consensus Authorship Group
Scheer et al. BMC Medical Research Methodology (2021) 21:103
https://doi.org/10.1186/s12874-021-01288-9 Scheer et al. BMC Medical Research Methodology (2021) 21:103
https://doi.org/10.1186/s12874-021-01288-9 Open Access Background developed from the design and engineering disciplines and
draw on socio-technical systems principles. For example, hu-
man factors and systems engineering use structured methods
to change existing work systems based on the analysis of the
interactions between people, tasks, tools, technology and the
environment [13–15]. The last three decades have seen clinical guidelines, defined
as “systematically developed statements informed by a sys-
tematic review of evidence and an assessment of the benefits
and harms of care options designed to optimize patient care”
[1], become a cornerstone of evidence-based practice. Pro-
duction of guidelines is based on well-established method-
ologies, including synthesis of scientific evidence, expert
opinion, and stakeholder consultation, and is supported by
an infrastructure of national and international bodies (e.g. government agencies and professional associations) [2]. Clin-
ical guidelines are not, of course, self-implementing. Getting
clinical guidance into practice is typically complex, requiring
multi-modal approaches, and is the subject of a burgeoning
science and associated literature [3, 4]. It is now clear, how-
ever, that the implementation of evidence-based practices
(what should be done) depends crucially on process im-
provement – changes to how things are done [5, 6]. For this
reason, the specification of process improvements (i.e. identi-
fying and defining the changes in processes that need to be
made to deliver good care) is a key task. In this article, we
offer an approach for developing specifications for process
improvements
using
rapid,
remote,
consensus-building
methods, and we illustrate it using a case study conducted
during the COVID-19 pandemic. Common to most of these approaches is the need to spe-
cify process improvements. Specification requires identifying
and defining the changes that need to be made (for example,
an amendment to task or role design, or use of a new piece
of equipment) to bring about improvement. A major chal-
lenge, however, is that the large-scale infrastructure for devel-
oping specifications for process improvement in healthcare
has,
in
contrast
with
clinical
guideline
development,
remained under-developed. The work of process improve-
ment specification has instead remained largely locally-led,
conducted within individual organisations. Local leadership of process improvement has, of
course, many advantages, including the potential to cus-
tomise a solution to local circumstances and to imbue a
sense of local ownership, but it is also associated with
some disadvantages. (Continued from previous page) (Continued from previous page)
Conclusions: The proposed methodological approach enabled the expertise and ingenuity of diverse stakeholders to be
captured and mobilised to specify process improvements in an area of pressing service need. This approach has the
potential to address current challenges in process improvement, but will require further evaluation. Keywords: Consensus-building, Consensus development, Delphi technique, Best practices, Professional practice, Obstetrics,
Postpartum haemorrhage, COVID-19 © The Author(s). 2021 Open Access This article is licensed under a Creative Commons Attribution 4.0 International License,
which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give
appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if
changes were made. The images or other third party material in this article are included in the article's Creative Commons
licence, unless indicated otherwise in a credit line to the material. If material is not included in the article's Creative Commons
licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain
permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the
data made available in this article, unless otherwise stated in a credit line to the data. Scheer et al. BMC Medical Research Methodology (2021) 21:103 Page 2 of 16 Background One is that each individual organ-
isation facing circumstances requiring change may de-
velop their own process improvement specification in
isolation [16, 17], but a multiplicity of approaches to the
same area of practice may cause problems of its own. First, it may be wasteful, with each organisation rein-
venting the wheel [17, 18]. Second, it may be sub-
optimal: reaching the best possible solution requires in-
puts from multiple disciplines, but individual organisa-
tions may lack access to the fullest range of expertise,
particularly when it is rare (e.g. specialist human factors
knowledge) [19–21]. Third, destandardisation creates
learning overheads and new risks, for example when
personnel moving between institutions have to learn
new ways of doing things while unlearning previous
ones. But while exclusively bottom-up development of
ways of working may not be ideal, top-down imposition
of particular practices can generate other pathologies
[22], including failures of implementation, truculent and
dysfunctional compliance, inadequate customisation to
local circumstances, and creation of perverse incentives. We start by noting that there is no consensual definition
of process improvement, but it is distinguished by its focus
on how to improve the underlying processes (such as work-
flows, task design, role allocations, communication tech-
niques, resources required, and so on) for delivering care –
rather than, as in the case of clinical guidelines, defining ideal
clinical standards. Process improvement has a particular role
in ensuring that work systems are optimised, for example by
helping to define the activities from beginning to end of a
clinical process or pathway; to explain how these activities
can most effectively be undertaken; to clarify tasks, roles, and
skills needed; to characterise the decisions to be made and
the support needed to make and implement those decisions;
and to identify the equipment, resources and other tools re-
quired [7, 8]. The various methods for process improvement are often
gathered together under the rubric of quality improvement
[9, 10]. Some, such as the Model for Improvement, Lean and
Six Sigma, amongst others [11], have been adapted from in-
dustry
techniques
[12]. Other
approaches
have
been The deficiencies in some of the current infrastructure
for process improvement have been vividly surfaced by
the COVID-19 pandemic, which has caused massive Page 3 of 16 Scheer et al. BMC Medical Research Methodology (2021) 21:103 Scheer et al. BMC Medical Research Methodology stakeholders
remotely
as
collaborators
in
co-
constructing solutions [44, 49–51]. Background disruption in the organisation and delivery of healthcare
[23, 24]. Rapid innovation has been a feature of the re-
sponse, prompted by the need to make adaptations to
established clinical processes to address the infection
risks and other challenges associated with the virus, as
well as many other changes to clinical pathways and
practices [25–35]. While the scale and speed of response
to the pandemic has been impressive, an important risk
is that some efforts may unhelpfully reproduce some of
the challenges previously identified in the field of quality
improvement [17, 36], including those discussed above
of duplication of effort, waste, de-standardisation, and
inability to engage sufficiently diverse expertise. Consensus-building methods Consensus-building methods are well established as ways of
promoting deliberation, inclusion, and participation in situa-
tions where there may be multiple perspectives, interests and
communities [52–56]. Methods widely used in developing
guidance in healthcare include the nominal group technique
[57, 58], the consensus development conference [59, 60], the
RAND/UCLA appropriateness method [61, 62], and the
Delphi method [63, 64]. These approaches are commonly
recommended and used for developing clinical guidelines
[55, 65] and reporting guidelines [66, 67], but application of
consensus-building in process improvement has remained
much more limited, not least because of the tendency (dis-
cussed above) to see process improvement as the domain of
local teams. Yet consensus-building is potentially of value for
process improvement in helping to build shared understand-
ing, to include diverse forms of expertise, and to produce
agreements about process improvement that might other-
wise remain elusive. Given the challenges of both top-down and bottom-up
quality improvement, a more collaborative alternative is
likely to be of value. In this article, we address this need. We propose a methodological approach designed to en-
able large-scale remote engagement and mobilisation of
multiple forms of expertise to build rapid consensus on
specifications of process improvements, and we describe
a case study of its application. Methods The Delphi method offers considerable promise in this
respect, as one of the best known and most widely used
approaches for consensus-building in healthcare con-
texts [52, 54]. Using group communication that brings
together and synthesises knowledge, participants are typ-
ically involved in a number of rounds of rating or voting
on a set of propositions, and may then adjust their initial
ratings based on feedback from the group in a number
of subsequent iterations [68, 69]. Though Delphi can in-
clude a large number of individuals across diverse loca-
tions and areas of expertise [54], many Delphi exercises
for healthcare have only involved relatively small and
homogeneous panels of approximately 10 to 30 partici-
pants [70]. There is evident scope for including larger
and diverse groups of participants [54, 70]. New meth-
odological approaches are needed to use the method ef-
fectively for large-scale remote consensus-building to
specify process improvements, while adhering to a par-
ticipatory ethos and minimising time and effort required
of participants. In developing our approach, we built on a participatory
ethos, principles of crowd-sourcing, and consensus-
building methods. Participatory ethos A participatory ethos – an approach that values the per-
spectives of the full range of groups of people affected
by an issue – is an important guiding value in healthcare
improvement [37]. But it is also of practical significance:
securing participation may be more likely to result in so-
lutions that are satisfying, workable, informed by profes-
sional values and clinical expertise, capable of being
customised for specific situations, and capable of being
implemented through collective effort rather than harsh,
externally-imposed sanctions [38, 39]. Participatory ap-
proaches may also be more likely to lead to sustainable
impacts by generating a sense of local ownership and
commitment [40, 41]. Participatory approaches may be
especially useful in encouraging practitioners to engage
with evidence and its creation [42], as well as generating
findings that have impact on practice [43]. (1) Define scope and objective of the process improvement (1) Define scope and objective of the process improvement
A first step is to identify and characterise the problem to
be solved and the goal to be achieved so that an assess-
ment can be made of whether consensus-building is an
appropriate method [71]. If consensus-building is se-
lected, the next step is to define the scope and objective
of the process improvement, similar to current practices
for developing clinical practice guidelines [72] and Core
Outcome Sets [54]. These activities require close collab-
oration with key stakeholders, in accordance with the
participatory principle [37, 73, 74]. remote, consensus-building methods By drawing on the collective intelligence of many indi-
viduals, crowdsourcing can enable data to be collated on
a much greater scale than would otherwise be possible
[44], creating potential to solve problems by drawing on
a wider range of perspectives and diverse experiences
and knowledge [45]. Recent advances such as online en-
gagement platforms [46–48] are now facilitating engage-
ment of large, diverse and geographically dispersed The approach we propose for rapid consensus-building of
process improvement specifications involves five steps, which
we have organised into a framework (Table 1). The steps are:
(1) define scope and objective of the process improvement;
(2) produce a draft or prototype of the proposed process im-
provement specification; (3) identify participant recruitment
strategy; (4) design and conduct a remote consensus- Page 4 of 16 Scheer et al. BMC Medical Research Methodology (2021) 21:103 Scheer et al. BMC Medical Research Methodology (2021) 21:103 Table 1 Framework for rapid, participatory, remote consensus-building for process improvement specification
1) Define scope and objective of the process
improvement
Identify and characterise the problem to be solved
Assess the extent to which consensus-building is an appropriate method for the prob-
lem to be solved
Define objective for the project
Define target audiences for output of the project
2) Produce draft or prototype of the proposed process
improvement specification
To inform the draft/prototype, use rapid literature reviews, existing guidelines, ideas
sourced from specialist groups, or stakeholder surveys, interviews and focus groups
Create a resource reflecting the draft or prototype with the proposed process
improvement specification (e.g. video-based simulated scenario, standard operating
procedure, piece of equipment)
3) Identify participant recruitment strategy
Identify and select stakeholder groups using principles of relevance, inclusion and
diversity
Define strategies for ethics, recruitment, sampling and sample size
4) Design and conduct a remote consensus-building
exercise
Ethics
Data collection and analysis
5) Produce a final specification of the process
improvements in light of learning from the exercise
Create resources that reflect the specified process improvements informed by the
draft/prototype and the consensus-building exercise
Disseminate the resources Table 1 Framework for rapid, participatory, remote consensus-building for process improvement specification j
j
Define target audiences for output of the project To inform the draft/prototype, use rapid literature reviews, existing guidelines, ideas
sourced from specialist groups, or stakeholder surveys, interviews and focus groups
Create a resource reflecting the draft or prototype with the proposed process
improvement specification (e.g. remote, consensus-building methods video-based simulated scenario, standard operating
procedure, piece of equipment) Identify and select stakeholder groups using principles of relevance, inclusion and
diversity y
strategies for ethics, recruitment, sampling and sample size Create resources that reflect the specified process improvements informed by the
draft/prototype and the consensus-building exercise
Disseminate the resources Create resources that reflect the specified process improvements informed by the
draft/prototype and the consensus-building exercise
Disseminate the resources building exercise; (5) produce a final specification of the
process improvements in light of learning from the exercise. (3) Identify participant recruitment strategy Eligibility Determining participant eligibility criteria re-
quires consideration of the need for triangulation and
bringing together the views of different types of stake-
holders [54, 55, 78–80]. Seeking diversity can reduce risk
of bias and provide a richer variety of views [78, 81–83]. Eligibility criteria might include specialists working in
the selected field of clinical practice (e.g. maternity staff)
or those with specialist expertise (e.g. infection preven-
tion, human factors). Importantly, for many process im-
provement activities, patients and the public are key
stakeholders whose expertise and perspectives should be
included [42, 84]. Case study
W
d y
We tested the proposed methodological framework
using an example from emergency maternity care. The
need for process improvement specification in maternity
care during the COVID-19 crisis was particularly urgent
given that, in contrast with some other areas of care, it
is not possible to defer or reschedule births [100, 101]. During the first few months of the pandemic [23, 24],
approximately 100 pregnant women with suspected or
confirmed COVID-19 were admitted each week to ob-
stetric units across the UK [102]. This meant that many
existing areas of care where good clinical practice was
well-established (e.g. through clinical guidelines) re-
quired process improvement to adapt to the need for: in-
fection control, the challenges of communication and
teamwork likely to be posed by use of personal protect-
ive equipment (PPE), and other demands of making clin-
ical
processes
COVID-safe. It
was
important,
for
example, that maternity staff were able to adapt quickly
to the new infection prevention requirements of donning
PPE to minimise any delays to providing prompt clinical
treatment. Idea generation Delphi rounds are typically informed
by an exercise to generate ideas [63, 64]. This might be
done by inviting participant feedback on the draft/proto-
type of the process improvement specification, which
can then be synthesised in a set of propositions to be
rated in the subsequent Delphi rounds. If this approach
is taken, using open-ended, short-answer options may
work best for a rapid response with minimal burden for
participants and analysts [94]. The synthesis method de-
pends on the type of feedback generated, and needs to
be clearly documented [75]. Synthesis might involve, for
example, removal of duplicates and merging of re-
sponses with similar wording [95]; using thematic ana-
lysis to create concepts, categories or themes [96]; or
coding individual responses to themes and triangulating
the coding among multiple researchers [95, 97]. The aim
is to balance the consolidation of responses (i.e. creating
a list that is reasonable for experts to navigate in subse-
quent rounds, e.g. about 20 items [94, 95]) while avoid-
ing excessive abstraction [97]. The result was that maternity units were all, individu-
ally, urgently seeking COVID-19-specific resources and
training for obstetric emergencies. Responding to the
emerging but still limited guidance for dealing with
COVID-19 in maternity care (e.g. (2) Produce a draft or prototype of the proposed process
improvement specification Sample size The current literature provides no set stan-
dards for required sample sizes for Delphi exercises,
meaning that pragmatic choices have to be made [54,
85]. One approach is to estimate the sample size based
on the number that would likely result in stable ratings
across the Delphi rounds, accommodating for dropout
[85, 86]. This may require establishing a minimal sample
size for each stakeholder group included. Rapid consensus-building on the specification of process
improvements can be facilitated by producing a draft or
prototype version, which might be informed by rapid lit-
erature reviews, existing guidelines or practices, ideas
sourced from specialist groups, or stakeholder surveys,
interviews and focus groups [70, 75]. Feedback can then
be sought on this draft/prototype, informing subsequent
rounds of Delphi consensus-building. The draft/proto-
type may take a range of forms [75], for example a con-
ceptual
framework,
an
existing
standard
operating
procedure, a video-based simulated scenario, or an arte-
fact (e.g. equipment or software). The most appropriate
form can be selected based on the technical aspects of
the healthcare process, alignment with the goals of the
final product, expectations of participants’ available time,
questions of how to maximise participant engagement,
and possibilities and limitations of (mobile) devices and
platforms on which the draft/prototype will be presented
[76, 77]. Sampling and recruitment
Sampling strategies for
consensus-building exercises are generally informed by
available time and resources, and include convenience,
purposive or criterion sampling [71, 85]. Recruitment
strategies can, for example, be grounded in the voluntary
contribution of willing individuals who wish to contrib-
ute to the production of scientific knowledge [87–89]. The principles of participatory research may inform suc-
cessful strategies for increasing participation of minority
groups [89, 90]. Page 5 of 16 Scheer et al. BMC Medical Research Methodology (2021) 21:103 Scheer et al. BMC Medical Research Methodology (2021) 21:103 Retention Measures to support retention across the dif-
ferent phases of the consensus-building exercise may in-
volve strategies such as e-mail reminders [91] that
include reference to the importance of the participant’s
contributions [87]. This could be enhanced by the use of
online engagement platforms [46–48], which may help
encourage
feelings
of
being
part
of
a
research
community. 75], though more rounds may sometimes be used. (5) Produce a final specification of the process
improvements in light of learning from the exercise The aim of the Delphi exercise is to produce recommenda-
tions that can inform the specification of process improve-
ments that can be implemented at scale. A plan should be in
place for developing and disseminating supporting resources
that reflect the specified process improvements. One advan-
tage of the collaborative approach is that it is likely to facili-
tate engaged dissemination and implementation by those
who have participated [99]. (4) Design and conduct a remote consensus-building
exercise Ethics The ethical principles for participatory consensus-
building exercises have much in common with any other
quality improvement activity [92, 93], or indeed guideline de-
velopment, in that they may often be classified as service im-
provement activities not requiring specific ethical review. Where these exercises are conducted as research studies ra-
ther than improvement activities, different considerations
may apply, such as the requirement for oversight and/or ap-
proval by an Institutional Review Board or Research Ethics
Committee [92, 93]. (2) Produce a draft or prototype of the proposed process
improvement specification Use
of visually appealing forms of feedback, such as inter-
active graphs that show the distributions of ratings
across one or more stakeholder groups, can facilitate re-
sponse across rounds. Case study
W
d [103]), NHS maternity
professionals expressed a need for clearer e-learning re-
sources relating to PPE skills, and more training on
COVID-19-specific emergency drills [104]. One priority
area concerned how to manage an obstetric emergency
such as post-partum haemorrhage (PPH) in a woman
with suspected or confirmed COVID-19. PPH is an
emergency that complicates 1.2% of births in high-
income settings [105, 106]. It is one of the most frequent
and severe maternal complications after birth [107–109],
and a cause of intensive care admission in the UK [110]. Delphi rounds The propositions derived from the idea
generation phase can be used in two or more subsequent
Delphi rounds of iterative surveys in which participants
state their level of agreement with propositions on a nu-
meric scale. Responses are aggregated and participants
have the opportunity to revise their judgments in the
light of feedback that includes their own and the group’s
judgment, with the aim of exploring or reaching group
consensus [98]. Two rounds is often sufficient to reach
consensus and may reduce burden for participants [70, Page 6 of 16 Page 6 of 16 Scheer et al. BMC Medical Research Methodology (2021) 21:103 Scheer et al. BMC Medical Research Methodology (2021) 21:103 Scheer et al. BMC Medical Research Methodology (2021) 21:103 Scheer et al. BMC Medical Research Methodology It is a classic example of where the requirements for
managing situation clinically are well understood and
communicated through clinical guidelines (e.g. [111,
112]), but where process improvement was needed to
ensure that the underlying processes of delivering care
were adapted to deal with the challenges imposed by the
pandemic. COVID-19 scenario, which might demand, for example,
donning and doffing of personal protective equipment,
changes in the tasks undertaken and their sequencing,
and forms of communication suitable for a situation
where masks and visors may inhibit verbal and non-
verbal exchange. This problem appeared well-suited to consensus-
building that could rapidly generate a consistent ap-
proach. The overall objective of our project was defined
as: to develop specifications for the process improve-
ments needed to manage an obstetric emergency (such
as PPH) in a woman with suspected or confirmed
COVID-19,
using
rapid,
remote
consensus-building
among multi-professional stakeholder groups. Target au-
diences included healthcare professionals working in
maternity care in UK NHS trusts, including midwives,
obstetricians, and managers of maternity services. Case study
W
d Addressing
this
problem
required
rapid,
remote
consensus-building among multi-professional stakeholder
groups to specify process improvements for managing an ob-
stetric emergency in a woman with suspected or confirmed
COVID-19. To employ a consensus-building exercise, we
used Thiscovery (https://www.thiscovery.org/about), an on-
line research and development platform created and devel-
oped by THIS Institute at the University of Cambridge. One
of its founding goals is that of facilitating inclusive, multi-
stakeholder involvement while offering maximum flexibility
and minimum burden. (1) Scope and objective The project had its origins early in the pandemic when
key
stakeholder
organisations,
including
the
Royal
College of Midwives and Royal College of Obstetricians
and Gynaecologists, identified that while clinical guid-
ance on how to handle obstetric emergencies such as
PPH remained sound, the underlying processes required
adaptation for women with confirmed or suspected
COVID-19. Many maternal deaths related to PPH in
healthcare settings can be avoided through effective clin-
ical management [106, 109], including prompt initiation
of several simultaneous actions such as uterine massage,
intravenous fluid resuscitation, and administration of
medication (tranexamic acid to treat major haemorrhage
and uterotonics to contract the uterus). Treatment delay
can result in poor outcomes [113, 114], so delivering
these clinical interventions requires highly optimised
underlying processes, including effective teamwork, co-
ordination, communication, and access to appropriate
supplies. All of these processes require adaptation for a The use of a video format to elicit suggestions for im-
provement was intended to enhance participant engage-
ment [76, 77], minimise cognitive burden (e.g. not
having to study a written manual) [117], and align ma-
ternity professionals’ desire to have more COVID-
specific e-resources available [104]. The video format
was also expected to work well for the study participants
using a range of different technologies, including mobile
devices [76, 118]. Results We started by producing Version 1 of a video that
showed a simulation of a maternity ward team managing
PPH in a woman with suspected or confirmed COVID-
19. The video illustrated processes that included: how
the team communicated with each other, the woman
and her partner; PPE donning and doffing procedures;
and use of obstetric-specific procedures (e.g. PPH ‘grab
bag’, treatment algorithms) in a COVID-19 context. The
processes illustrated were based on: the emerging na-
tional guidance on COVID-19 infection prevention and
control in a clinical setting (April 2020); clinical guide-
lines for managing obstetric emergencies such as PPH
[e.g. 111, 112]; and ways of working established in one
of the safest maternity units of the UK [115, 116]. Though the processes shown thus represented initial
reasonable specifications for process improvements to
facilitate
handling of an obstetric
emergency in a
COVID-19 scenario, it was also likely that these specifi-
cations could be further optimised. We applied the five steps of the framework to the case
study. We: (1) defined the scope and objective of the
project with key stakeholders; (2) produced a draft video
showing a simulation of processes for handling an ob-
stetric emergency in a COVID scenario; (3) recruited
three expert groups (maternity care, infection prevention
and control, and human factors specialists); (4) designed
and conducted an exercise to reach consensus on rec-
ommendations to improve the processes illustrated in
the video; and (5) produced a final specification of the
process improvement, informed by the consensus-built
recommendations, and illustrated this specification in an
updated video and other resources . Sample size We expected that we would require three panels of
stakeholders with distinct areas of professional expertise
[85], with at least seven experts each, in accordance with
conventional recommendations on sample size of an ex-
pert panel [61]. In the design of our consensus-building
exercise (Fig. 1), we assumed that approximately half of
the participants of the initial recommendation exercise
would take part in the first Delphi round (50% response (3) Participant recruitment strategy
Eligibility We drew on the expertise of three expert groups: mater-
nity teams to provide clinical and practical views; infec-
tion
prevention
and
control
staff
for
specialist Page 7 of 16 Scheer et al. BMC Medical Research Methodology (2021) 21:103 Scheer et al. BMC Medical Research Methodology (2021) 21:103 Scheer et al. BMC Medical Research Methodology (2021) 21:103 knowledge on infection guidance; and healthcare human
factors specialists for their perspective on the interaction
between people and work systems in healthcare settings
[21, 119]. The invitation asked potential participants to
provide their main professional background, including
an “other” option to avoid forcing people into categories
that did not suit them. Participants were not further
screened for expertise, in order to ensure a rapid re-
sponse, minimal burden to participants, and maximal
inclusivity. Geographical representation was maximised using recruit-
ment conducted through nationwide email networks of spe-
cialists in maternity care, infection prevention and control,
and healthcare human factors. We anticipated that most par-
ticipants would engage in response to the email (convenience
sampling), while other participants might become involved
as a result of colleagues alerting them to the study (snowball
sampling). To maximise response rates and minimise attri-
tion bias, reminders were sent through the email networks
and Thiscovery, referring to the importance of their (contin-
ued) engagement [87, 91]. The consensus-building exercise consisted of a recommen-
dation generation exercise followed by two Delphi rounds
(Fig. 1). For the first Delphi round, only those who had taken
part in the recommendation exercise and had stated that
they were happy to be contacted again were eligible, and for
the second Delphi round, only those who had taken part in
the first Delphi round were eligible. Delphi rounds All but one of the 105 participants agreed to be con-
tacted again for the Delphi rounds and all 104 were in-
vited. About two-thirds (n = 71) of those invited took
part in the first Delphi round, of whom 57 took part in
the second Delphi round (Table 2). Retention from the
first to the second Delphi round was 80% for the total
group: 70% for maternity care, 71% for infection preven-
tion and control, and 88% for human factors (Table 2). The risk of attrition bias was low, as ratings in the first
Delphi from participants completing both Delphi rounds
and from participants who did not respond to the sec-
ond round were similar. Sampling and recruitment We made use of convenience and snowball sampling to rap-
idly recruit a sample for the three expert groups [120]. Fig. 1 Design of the consensus-building exercise Page 8 of 16 Page 8 of 16 Scheer et al. BMC Medical Research Methodology (2021) 21:103 94 were coded as general comments (e.g. “The order of doff-
ing is very important”) or supportive statements (e.g. “The
process shown appeared very proficient”) and were excluded
from further analysis. The remaining 818 responses were rec-
ommendations relating to improvement of practice illustrated
in the video, and were synthesised: three analysts worked in
parallel on an iterative analysis process of assigning recom-
mendations to pre-defined categories, coding them, re-
assigning them to categories more closely fitting with the
codes, and merging similar recommendations (Supplement
1). This led to a total of nine categories including 74 synthe-
sised recommendations. Of these, 26 recommendations were
identified as the most frequently raised across all participants
(Supplement 1). 94 were coded as general comments (e.g. “The order of doff-
ing is very important”) or supportive statements (e.g. “The
process shown appeared very proficient”) and were excluded
from further analysis. The remaining 818 responses were rec-
ommendations relating to improvement of practice illustrated
in the video, and were synthesised: three analysts worked in
parallel on an iterative analysis process of assigning recom-
mendations to pre-defined categories, coding them, re-
assigning them to categories more closely fitting with the
codes, and merging similar recommendations (Supplement
1). This led to a total of nine categories including 74 synthe-
sised recommendations. Of these, 26 recommendations were
identified as the most frequently raised across all participants
(Supplement 1). rate), with an attrition rate of 20% for the second Delphi
round [54]. Accordingly, we aimed to recruit at least 20
stakeholders for each of the three expert groups for the
recommendation exercise. (4) Remote consensus-building exercise The recommendation generation exercise and Delphi rounds
were designed and then integrated into Thiscovery. All exer-
cises were user tested to optimise participant experience on
computer, tablet and smartphone platforms. Data collection
and analysis for the consensus-building exercise (including
the recommendation generation exercise and Delphi rounds)
was completed in 6 weeks. Ethics A final clinical stakeholder review by authors TD and
CW identified two recommendations as only focusing
on the video format, rather than on improving the pro-
cesses illustrated in the video, and were excluded from
the consensus-building exercise. This stakeholder review
also identified recommendations that could be further
combined due to sufficient overlap. We were therefore
able to classify the remaining 22 recommendations into
five categories (Table 3). Participants registered for an account on Thiscovery after
consenting to the platform’s privacy policy and terms of use
(https://www.thiscovery.org/register/). Participants confirmed
their consent before each new round of the consensus-
building exercise. All data was captured and processed with-
out any personal identifiable information. Review by an
institutional review board was not applicable, as the project
was a consultation and engagement exercise classified as a
quality improvement activity [92, 93], in which all of the par-
ticipants were invited to join the authorship group and to be
acknowledged in the project’s outputs. Recommendation exercise We started with a recommendation generation exercise to
inform the subsequent Delphi consensus-building rounds
(Fig. 1). This initial exercise consisted of asking participants
for their feedback on a draft of good practice in undertaking
the process, as illustrated in a video. After seeing the video,
participants were asked, using open-ended questions, to draw
on their professional expertise to provide recommendations
to improve the practice illustrated in relation to: 1) donning
PPE; 2) management of the emergency in the context of
COVID-19, e.g. use of PPH “grab bag”; 3) doffing PPE; and
4) any other areas. In the Delphi rounds, the most frequently raised recom-
mendations were presented to participants, with the option
to review the video at any point. Participants were asked to
rate each recommendation in response to the statement:
“This recommendation should be implemented.” A nine-
point scale was used with the anchors of “strongly disagree”
(rating = 1), “uncertain” (rating = 5), and “strongly agree” (rat-
ing = 9). Consensus to implement was defined as > 70% of
participants rating a recommendation with a 7, 8 or 9, and <
15% of participants rating it with a 1, 2 or 3, in accordance
with core outcome set methodology [54, 121]. An additional
criterion we used was an interquartile range ≤2, to further
validate consensus among the group [98]. This first stage of the project – the recommendation exer-
cise – was completed by 105 participants (Table 2). There
were 912 responses from 103 participants (two participants
did not provide recommendations). Of these 912 responses, Table 2 Participants in the recommendation generation
exercise and Delphi rounds
Recommendation
exercise
Delphi
round 1
Delphi
round 2
Total (N)
105
71
57
Maternity care (n)
36
23
16
Infection prevention
and control (n)
17
7
5
Human factors (n)
52
41
36 Table 2 Participants in the recommendation generation
exercise and Delphi rounds Only recommendations that did not reach consensus
in the first Delphi round were taken forward to the sec-
ond [75]. In the second round, the participant was pre-
sented with their original rating for each respective Page 9 of 16 Page 9 of 16 Scheer et al. BMC Medical Research Methodology (2021) 21:103 Table 3 Recommendations used in the Delphi rounds, median and interquartile (IQR) ratings of participants, and proportion of
participants providing a rating of 7, 8 or 9. Recommendation exercise Legend: Bold numbers indicate recommendations on which consensus was reached. S
Supplement 2 for more details
Recommendation to improve processes illustrated in the video
Delphi round 1
Delphi round 2
Median IQR 7–8-9
percentage
Median IQR 7–8-9
percent
Preparation and team roles
1. To prevent excessive donning and doffing associated with leaving and re-entering
the room, assign someone outside the room to act as a runner. For example, to receive
blood samples to send to the lab or to obtain extra equipment if needed. 9
2
82
2. Use role identifiers for staff wearing PPE. For example, staff should wear stickers or
laminated photos. 7
3
61
8
2
81
3. Have pre-defined key roles for staff during each emergency and allocate these to a
specific team at the start of each shift with a buddy system. For example, in the event
of a PPH, one staff member’s role would be to prepare the PPH medication in the
room. 7
4
59
7
4
63
Donning of PPE
4. Clarify correct sequence for donning gloves and entering room. 9
2
80
5. To avoid contamination, ensure appropriate glove use: wear double gloves, do not
open doors with gloved hands, and wear the gloves over the long-sleeved gowns. 8
2
72
6. Perform hand hygiene prior to donning PPE. 9
3
72
9
1
86
7. Have a person to assist with donning of PPE if possible. For example, the third team
member should receive assistance from the second team member with donning. 7
3
69
8
2
86
8. Secure and fix hair away from face to protect hair and face from contamination. For
example, use disposable hats, caps or tie hair back. 8
3
68
9
2
84
9. A woman with suspected or confirmed COVID-19 should be cared for by staff wear-
ing full protective PPE using a visor and not just a simple mask. 7
4
56
9
4
67
10. Improve gown and apron cover for both the woman and the doctor. For example,
tie gown at the side rather than at the back. 6
3
44
7
2
39
11. Avoid giving masks to patients during an emergency (as it compromises breathing
and reduces ability to assess). 5
3
32
6
3
47
Doffing
12. Include more time and instruction on the correct doffing order. Recommendation exercise For example, doff
the majority of PPE (gloves and gown) inside the room and doff masks outside of the
room. 9
2
76
13. Perform hand hygiene at each stage of the doffing process. For example, perform
hand hygiene before or after doffing the gown, before or after doffing gloves, and
before doffing the mask or eye protection. 7
4
53
9
3
68
Layout and design – application of human factors
14. Apply human factors principles to the design of the PPE donning station. For
example, items in sequence of use, standardised layout. 9
2
86
15. Improve grab bag design. For example, indicate contents, use a box and
standardised layout. 9
2
85
16. Provide a clear demarcation of dirty/clean zones to indicate moving in and out of a
potential ‘contamination’ zone. For example, mark a red area outside of room for
doffing, to ensure potentially contaminated equipment is doffed in a controlled area. 8
2
80
17. Improve bin design to allow easy PPE disposal. For example, wider aperture and a
fully opening lid. 8
2
79
Communication
18. Provide instructions to explain correct processes of donning and doffing. For
example, a poster on the wall. 9
2
87
19. Provide opportunity for debrief and feedback for the team involved. 9
1
87
20. The importance of communicating with the woman and/or partner should be
emphasised. For example, when wearing masks, staff should have awareness of eye
contact, tone of voice and body language between the team and towards the woman
and partner. 8
2
80 Table 3 Recommendations used in the Delphi rounds, median and interquartile (IQR) ratings of participants, and proportion of
participants providing a rating of 7, 8 or 9. Legend: Bold numbers indicate recommendations on which consensus was reached. See Table 3 Recommendations used in the Delphi rounds, median and interquartile (IQR) ratings of participants, and proportion of
participants providing a rating of 7, 8 or 9. Legend: Bold numbers indicate recommendations on which consensus was reached. See
Supplement 2 for more details Recommendation to improve processes illustrated in the video Discussion recommendation, along with the distribution of ratings
from each stakeholder group [122, 123], as shown in an
interactive bar chart (see Supplement 2). The participant
was asked to consider the ratings of the others, and
whether they would like to change their rating or stay
with their original rating from the first round. recommendation, along with the distribution of ratings
from each stakeholder group [122, 123], as shown in an
interactive bar chart (see Supplement 2). The participant
was asked to consider the ratings of the others, and
whether they would like to change their rating or stay
with their original rating from the first round. This article presents a proposed methodological ap-
proach aimed at realising a commitment to broad par-
ticipation,
collaboration
and
consensus-building
in
process improvement in healthcare. Our case study
shows that it is possible to deploy the approach success-
fully to specify process improvements in an area of
pressing need during the COVID-19 pandemic. Subject
to further evaluation, this approach has potentially wide
application beyond the specific context in which it was
tested, and may enable forms of inclusion and collabor-
ation and listening that are otherwise very difficult to do
remotely – and do so on a much greater scale. A par-
ticular strength of the approach is its ability to support
mobilisation of the expertise and ingenuity of people in
healthcare systems. This capability can help to enhance
the currently limited infrastructure for collaborative
building of specifications for process improvement in
quality and safety of healthcare. It thus may have po-
tential to address many of the problems of duplica-
tion of effort, waste, de-standardisation, and inability
to engage sufficiently diverse expertise that currently
characterise
many
quality
improvement
efforts
in
healthcare [17, 36]. Of the 22 recommendations rated in the Delphi
rounds, 16 reached consensus that they should be imple-
mented (Table 3), with consensus on 12 achieved in the
first round and a further four in the second round. The
other six recommendations received higher ratings in
the second round, but insufficient to reach consensus
(only 39 to 68% of participants rated them with a 7, 8 or
9, as shown in Table 3). Risk of bias due to unequal stakeholder group size was
low: analysis showed that consensus across the whole
group was similar to that found within the three stake-
holder groups, i.e. Discussion when each stakeholder group was
analysed independently, consensus was reached for an
almost identical set of recommendations. For example,
“Perform hand hygiene prior to donning PPE” was rated
with a 7, 8 or 9 by 74% of maternity care, 71% of infec-
tion prevention and control, and 72% of human factor
participants (see Supplement 2). Our case study showed that the proposed methodo-
logical approach can be used successfully to develop
specifications for the process improvements needed to
ensure high quality care, and may support the produc-
tion of the kinds of high quality resources that profes-
sionals particularly value [104]. The systematic approach
to participatory consensus-building that we propose is
rich in potential for use in other areas that would benefit
from specifying process improvement for clinical scenar-
ios. It may help prevent the characteristic dysfunctions
associated with exclusively bottom-up
or top-down
innovation for quality improvement [16, 17, 22]. Includ-
ing a large “crowd” of stakeholders can further help mo-
bilise the ingenuity of people in the system (e.g. patients,
staff), strengthen the credibility of the consensus-built
solution, and enhance feelings of ownership. It may help
address lack of access to specific expertise common in
locally led, bottom-up approaches [19, 36], and reduce Communication Page 10 of 16 Page 10 of 16 Scheer et al. BMC Medical Research Methodology (2021) 21:103 Scheer et al. BMC Medical Research Methodology (2021) 21:103 Scheer et al. BMC Medical Research Methodology (2021) 21:103 Table 3 Recommendations used in the Delphi rounds, median and interquartile (IQR) ratings of participants, and proportion of
participants providing a rating of 7, 8 or 9. Legend: Bold numbers indicate recommendations on which consensus was reached. See
S
l
t 2 f
d t il (C
ti
d) Recommendation to improve processes illustrated in the video
Delphi round 1
Delphi round 2
Median IQR 7–8-9
percentage
Median IQR 7–8-9
percentage
21. Review the design of the algorithm (step-by-step guide). For example, optimise text
size and contrast for legibility and provide a hard surface for writing on. 7
2
76
22. Use alternative methods of communication with others outside the room, for
example, mobile phones or intercoms. 7
3
61
8
2
68 Recommendation to improve processes illustrated in the video (5) Final specification of process improvements These process improvement
specifications are likely to be useful and relevant to mul-
tiple clinical communities, particularly those handling
emergencies during the pandemic. Using this approach is
likely to reduce waste in process improvement, since it
not only produces a solution that can be used at scale
within the maternity care community, it also generates
many core elements of a solution that can be customised
for different clinical scenarios outside of maternity. For in-
stance, the relevance of principles of non-technical skills
for teams, role assignment, leadership, and ergonomic
workspace design when responding to medical emergen-
cies can be generally applicable [127, 129]. Given our positive experiences in using the ap-
proach in the case study, it has potential value in
optimising many processes, including, for example,
clinical tools and pathways. The approach may also
have a role in facilitating implementation of guidance
that is written at a high level of generality and re-
quires customisation at local level for particular clin-
ical scenarios, or in assembling relevant elements (e.g. relating to infection control and teamwork) that may
be distributed across several guidelines but require in-
tegration to achieve patient care goals for specific sce-
narios [139–141]. A further strength of the approach is that it was
possible to undertake this work relatively rapidly – in
less than 6 weeks, despite pandemic conditions – and
we
anticipate
that
with
the
formalisation
of
our
framework and with gains in experience, it may be
possible for others to replicate the approach in other
contexts at an even more rapid pace. Further exam-
ples of use cases would help to refine the approach
and build a repository that could be used to evaluate
it. Over time, the approach may facilitate further
work to strengthen the infrastructure for participatory
approaches in process improvement, similar to efforts
over the last decades for building the infrastructure
for clinical guidelines and Core Outcome Set develop-
ment [1, 2, 54, 72]. In future work, it will important to identify the
kinds of applications the approach works best for and
where its limits lie. One issue, for example, is that
the
approach
is
likely
well
suited
for
specifying
process improvements; locally, organisations will still
need to do the work of implementing the process im-
provements, for example through cycles of change
and monitoring implementation over time [9, 10]. (5) Final specification of process improvements The recommendations that reached consensus were
reviewed by the project team and used to inform the spe-
cification of process improvements for optimised manage-
ment of obstetric emergencies during the COVID-19
pandemic. These specifications included the processes
shown in Version 1 of the video amended based on the
consensus-built recommendations (Table 3). A new video
(Version 2) to illustrate the specified process improve-
ments was produced [124], along with an infographic
[125], and a brief overview of key points [126]. The video
and other resources were endorsed by leading organisa-
tions who had supported the project, including royal col-
leges, specialist societies, and quality improvement bodies,
and were widely shared. We also shared the resources dir-
ectly with the participants. We acknowledged the partici-
pants’ contribution as collaborators [48]. Page 11 of 16 Page 11 of 16 Page 11 of 16 Scheer et al. BMC Medical Research Methodology (2021) 21:103 Scheer et al. BMC Medical Research Methodology the risks of the excessive focus on compliance associated
with top-down approaches [22]. important to study participant experience of taking
part in these exercises (e.g. the degree of participation
intensity, motivation, engagement, sense of ownership
and empowerment [131, 132]), and to assess how far
it is possible to reach agreements that stakeholders
understand and accept. Evaluation might also examine
the potential of using real-time Delphi to avoid hav-
ing sequential rounds [133–135]. This might improve
efficiency, reduce dropout, and minimise participant
time, potentially without comprising user experience,
inclusivity and robustness of consensus results [136]
– though the implications of such an approach for
the ability of different groups, such as patients and
carers, to participate would require careful evaluation. Other innovations might include application of the
principles of gamification to further enhance user ex-
perience [137], and provide intuitive, low-burden ways
of gaining qualitative feedback on ratings in the Del-
phi rounds if required [138]. The case study included a wide range of stakeholders as
collaborators, thus triangulating the perspectives and ex-
pertise of infection prevention and control experts, mater-
nity professionals and healthcare human factors specialists
in a way that would not have been possible for a single
maternity unit. This blend of expertise was reflected in the
participants’ recommendations: many were not tied to the
specifics of PPH, but touched on important principles
established by infection prevention and human factors
specialists [15, 119, 127, 128]. Abbreviations A limitation of the case study is that it did not involve
users of maternity services themselves. However, be-
cause the methodology facilitates engagement of mul-
tiple stakeholder groups [cf. 42, 84], it is potentially well-
suited to including service users, patients and carers in
future projects. A further limitation is that the three
stakeholder groups in our case study were not equal in
size. Notwithstanding, the risk of bias appeared to be
low: when each stakeholder group was analysed inde-
pendently, consensus was reached for an almost identical
set of recommendations as that determined for the total
group. Due to the need to minimise participant burden,
we did not collect demographic information that could
be used to verify the representativeness of the stake-
holders for the population working for or in the NHS. We also had to rely on non-probability sampling tech-
niques that could have created some representation bias. We did, however, ensure that invitations were sent to
stakeholder networks across the UK, bolstering our con-
fidence that a representative sample was included. Fi-
nally, the case study was conducted during a fast-
moving situation where the science (e.g. on infection
control) was evolving very rapidly, posing the risk that
recommendations made by participants could have been
out of date by the time the exercise was completed. This
risk was managed by close involvement of clinical ex-
pertise from the project team, and by ensuring that
process improvements were specified such that they
could have enduring relevance (e.g. referring to princi-
ples and national guidance on donning and doffing pro-
cedures rather than rigidly specifying them). Supplementary Information
Th
li
i
i
l Supplementary Informa
The online version contains supplem
org/10.1186/s12874-021-01288-9. pp
y
The online version contains supplementary material available at https://doi. org/10.1186/s12874-021-01288-9. y
The online version contains supplementary material available at https://doi. org/10.1186/s12874-021-01288-9. Additional file 1: Supplement 1. Synthesis process of the 912
responses to the recommendation task. Additional file 2: Supplement 2. Interactive bar charts of ratings
across the three stakeholder groups as presented to participants in the
second Delphi round. (5) Final specification of process improvements An-
other issue concerns for what else the approach could
work well for: our case study has used it to specify
process improvements, but the broader consensus-
building, participatory principles and methods may
also have wider potential in, for example, optimising
the design of equipment, forms, clinical pathways, and
other applications. Evaluation should also establish
when application of the approach has created suffi-
cient learning for process improvements in one clin-
ical area such that its learning can be applied to
other related clinical scenarios without having to con-
duct another consensus-building exercise [129, 142,
143]. Finally, there will be an ongoing need to evalu-
ate the process improvements specified through our
proposed
approach,
for
examining
impacts
on Building this infrastructure is critical, because there
is an ethical requirement to optimise approaches to
process improvement (including specification of im-
provements) to reduce the risk that people may be
avoidably exposed to poorer care associated with sub-
optimal processes [36, 130]. Yet results of quality im-
provement in healthcare are typically mixed [18], sug-
gesting the need to improve how improvement is
done. Creating infrastructures for large-scale, collab-
orative improvement will, of course, require further
development,
refinement
and
evaluation
of
the
approach we propose. The participatory ethos on
which our approach is built may increase acceptabil-
ity, uptake and impact of process improvement, but
that remains to be tested. It will, for example, be Page 12 of 16 Scheer et al. BMC Medical Research Methodology (2021) 21:103 Scheer et al. BMC Medical Research Methodology (2021) 21:103 Acknowledgements Thiscovery Group: André Sartori, Andy Paterson, Doro Unger-Lee, Joann
Leeding, Luke Steer. Thiscovery Group: André Sartori, Andy Paterson, Doro Unger-Lee, Joann
Leeding, Luke Steer. Obstetric Emergency Consensus Group: Amanda Andrews, Rita Arya, Sarah
F. Bell, Denise Chaffer, Andrew Cooney, Mair G.P. Davies, Lisa Duffy, Caroline
Everden, Theresa Fitzpatrick, Courtney Grant, Mark Hellaby, Tracey A. Herlihey,
Sue Hignett, Sarah Hookes, Fran R. Ives, Gyuchan T. Jun, Owen J. Marsh,
Tanya R. Matthews, Alexandra Merriman, Giulia Miles, Susan Millward, Neil
Muchatata, David Newton, Valerie G. Noble, Pamela Page, Vincent Pargade,
Sharon P. Pickering, Laura Pickup, Dale Richards, Cerys Scarr, Jyoti Sidhu,
James Stevenson, Ben Tipney, Stephen Tipper, Jo Wailling, Susan P. Whalley-
Lloyd, Christian Wilhelm, Juliet J. Wood. We thank the participants in this project. We thank the Infection Prevention
Society, Each Baby Counts, and the Clinical Human Factors Group for help
with recruitment. We thank the volunteers who participated in both shoots
of the video, and North Bristol NHS Trust and the PROMPT Maternity
F
d ti
f
ti
th
id We thank the participants in this project. We thank the Infection Prevention
Society, Each Baby Counts, and the Clinical Human Factors Group for help
with recruitment. We thank the volunteers who participated in both shoots
of the video, and North Bristol NHS Trust and the PROMPT Maternity
F
d
f
h
d Foundation for supporting the videos. Foundation for supporting the videos. We thank the Royal College of Midwives, the Royal College of Obstetricians
and Gynaecologists, Each Baby Counts, the Infection Prevention Society, the
Association of Obstetric Anaesthetists, the PROMPT Maternity Foundation
and the Health Foundation for their endorsement and support of the
resources. We thank Becky Kenny for help with project management. We thank the
communications team at THIS Institute for their work on developing the
communications resources. We thank Jenny George, Emily Ryen Gloinson and Carolina Feijao of RAND
Europe for their contributions to data analysis. Conclusion implementability, efficiency, staff and service user ex-
perience, acceptability, sustainability of change, impact
on
clinical
outcomes,
and
any
unintended
conse-
quences. Mixed-methods approaches are likely to be
particularly useful in this regard [144]. We developed and tested a methodological approach to
specifying process improvements that employed a partici-
patory ethos and remote consensus-building methods. The approach was used successfully during pandemic
conditions to build consensus among different stakeholder
groups on specifying process improvements for managing
an obstetric emergency in women with suspected or con-
firmed COVID-19. The methodological approach has sig-
nificant
potential
to
support
rapid
and
transparent
consensus-building for facilitating process improvement
in various healthcare settings using online methods that
can be standardised, replicated and scaled when needed,
but will require further evaluation. Strengths and limitations The case study illustrated a number of the strengths of
our proposed approach. For example, it demonstrated
the approach’s effectiveness in engaging a relatively large
number of stakeholders as collaborators in a consensus-
building exercise to specify process improvements. It
also showed the feasibility of rapidly gaining feedback
and reaching consensus on the process improvement (<
6 weeks), even during the first peak of the COVID-19
pandemic in the UK, with relatively little attrition (≤;
20%) between the Delphi rounds. Abbreviations
PPH: Post-partum haemorrhage; NHS: National Health Service; PPE: Personal
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approach to health and care design and continuous improvement. 2017. Available at: https://www.raeng.org.uk/publications/reports/engineering-
better-care. The UK s Health Research Authority decision tool (http://www.hra-
decisiontools.org.uk/research/) showed that ethics approval was not required
for the consensus-building exercise, as the project was a consultation and
engagement exercise classified as a quality improvement activity [92, 93], in
which all of the participants were invited to join the authorship group and
to be acknowledged in the project’s outputs. Participants provided written
online consent to the terms and conditions regarding the Thiscovery plat-
form’s privacy policy and terms of use (https://www.thiscovery.org/register/). Participants were provided with information about the project, and re-
confirmed their consent before each new round of the consensus-building
exercise. 16. Dixon-Woods M, Pronovost PJ. Patient safety and the problem of many
hands. BMJ Qual Saf. 2016;25(7):485–8. https://doi.org/10.1136/bmjqs-2016-
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2.
Kredo T, Bernhardsson S, Machingaidze S, Young T, Louw Q, Ochodo E,
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4.
Grol R, Wensing M, Grimshaw J. Improving patient care: the implementation
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5.
Chassin MR, Loeb JM. High-reliability health care: getting there from Here.
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doi.org/10.1177/2516043520917764. The authors declare that they have no competing interests. Authors’ contributions MD-W and TD came up with the idea for the project. JWvdS led the design
of the project, co-led data collection and analysis, and co-led drafting of the
manuscript. MW contributed to the design of the consensus-building exer-
cise, co-led data collection and analysis, and drafting of the manuscript. AA
contributed to the design of the consensus-building exercise, data collection,
and drafting of the manuscript. TD contributed to the design of the project
and drafting of the manuscript. CW contributed to the design of the project We were not able to evaluate the implementation or
impact of the specified process improvements in the
time available or compare our approach with alternative
approaches to the specification of process improve-
ments. Both are areas for future development. Page 13 of 16 Page 13 of 16 Page 13 of 16 Scheer et al. BMC Medical Research Methodology (2021) 21:103 Scheer et al. BMC Medical Research Methodology (2021) 21:103 Scheer et al. BMC Medical Research Methodology (2021) 21:103 and drafting of the manuscript. GM contributed to the design and oversight
of the project, and drafting of the manuscript. KK contributed to the drafting
of the manuscript. NR contributed to the data analysis and drafting of the
manuscript. RK contributed to the oversight of the project and contributed
to drafting of the manuscript, and led the Thiscovery Group. MD-W contrib-
uted to the design of the project, supervised the project and co-led drafting
of the manuscript. The final version of the manuscript was read and ap-
proved by all authors. The final version of the manuscript was also read and
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DEVELOPMENT OF TERRITORIES USING MODERN MANAGEMENT AND MARKETING TOOLS IN THE CONDITIONS OF GLOBAL CHALLENGES AND THREATS
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DOI https://doi.org/10.36059/978-966-397-239-8-4 DOI https://doi.org/10.36059/978-966-397-239-8-4 SECTION 4.
DEVELOPMENT OF TERRITORIES USING
MODERN MANAGEMENT AND MARKETING TOOLS
IN THE CONDITIONS OF GLOBAL CHALLENGES
AND THREATS Bolila S. Yu. INTRODUCTION Today’s realities have demonstrated the unpreparedness of modern
economic systems for global challenges and threats due to large-scale
adverse events such as pandemics, global warming and climate change,
natural disasters, depletion of natural resources, environmental pollution
and, as a result, adverse environmental externalities. This has quite serious
consequences for entire industries and leads to a redistribution of
competitive positions, both at the global and national levels. This also
applies to issues of territorial development. At the same time, some
territories have the opportunity for sustainable development due to
flexibility, ability to adapt quickly to change, form positive image
characteristics and create conditions for attracting consumers of various
goods and services that can provide a particular area or region. This raises
the issue of regional marketing management as a specific type of public
management activities carried out to identify and promote the interests
of the population and the territorial community to address specific
challenges of regional development by creating competitive advantages,
attracting investment based on the brand of the territory. Today, society is
faced the need to move to a model of socio-economic development, when
meeting the vital needs of the current generation does not deprive them of a
chance to meet the needs of future descendants, save resources for future
generations and ensure environmental quality and ecological regeneration. If the regions pay enough attention to these issues, they have every chance
to form a positive image, to be in trend, in condition that the values of
consumption in society and in the minds of each customer change. Achieving sustainable development of the region is possible when it meets
the
socio-economic
criteria:
economic
efficiency,
environmental
sustainability, and social prosperity. Indicative in this direction is the
development of the region through tourist destinations that focus on the
rational use of nature and which directly or indirectly affect not only the 61 economy of the region, but also its social policy, culture, traditions, lifestyle,
health of the nation, natural environment, etc1. Therefore, tourism, and especially ecological and green should be
considered as one of the tools that contribute to the development of the region
and form the brand of the territory. 1 Lanza А., Markandya А., Pigliaru F. (2005) The Economics of Tourism and
Sustainable Development. Cheltenham, UK; Northampton, MA, USA. Р. 8. INTRODUCTION Branding technologies for shaping the region’s image are an effective
means of growing its reputational capital, they increase investment
attractiveness and help strengthen competitive positions in the fight for limited
financial resources between territories, so they are important in today’s global
challenges and threats. 2 Bilenchuk P.D., Kravchenko V.V., Pidmogilny M.V.(2000) Mistseve amovria-
duvannia v Ukraini [Local self-government in Ukraine].Munitsypalne pravo [Municipal
law]. Kyiv : Atika, 304 р.
3 Chemeris A.O., Shevchuk P.I., Gural P.F. (2002) Mistseve samovriaduvannia :
monohrafiia. Kn. 1. Orhanizatsiia roboty silskoho, selyshchnoho holovy. Lviv : [Local
government: Monograph. Book 1. Organization of work of the village, settlement head].
Lviv : Liha-Pres, 390 р. 1. Modern aspects of management of territories
d territorial communities to increase their competitiveness Today, in market conditions, taking into account the best practices of
management and marketing becomes especially important for the
development of territories and territorial communities. The modern system of views on governance was formed under the
influence of changes in world social and economic development. New
opportunities for business growth have emerged, especially in industries that
focus on meeting the immediate needs of people. In these conditions, such
characteristics of business as flexibility, dynamism, adaptability, which is
relevant in the management of both territories and local communities, have
become essential. There is a need for new management methods that would take into account
modern realities, be based on systemic and situational approaches to
management and would be result-oriented. Today, the leadership of the region
and the leaders of territorial communities in the countryside face serious
challenges. A modern manager in modern conditions must be a qualified manager and
know well: general theoretical foundations of management and legal
disciplines to the extent necessary for professional management in the field of
regional government and local self-government, strengthening the rule of law
and impeccable performance of their duties; general, specific and practical
problems in the field of social and humanitarian policy that take place in
territorial communities; the content of the main economic processes at the
level of territorial communities (region) in the conditions of economic
transformation; general theoretical and legal principles of management of
territorial communities and distribution of spheres of activity in the process of 62 their management; ethics and culture of business and political communication;
functions of the region in the field of financial and budget management;
organization, forms and methods of work of territorial self-government
bodies; problems of social protection of members of the territorial community;
basic legislative provisions on state-church relations, issues of national
minorities and population migration; basics of rational nature management
and environmental protection; basic measures to prevent emergencies and
reduce their losses in the event of their occurrence; basics of personnel policy;
management decision-making mechanisms; basics of organizational and legal
work; basics of office work; basics of operation of digital technologies and
modern means of telecommunication. 1. Modern aspects of management of territories
d territorial communities to increase their competitiveness The head of the territorial community must demonstrate the skills of a
professional community manager, namely: determine the priorities of the
development of the territory; achieve the effectiveness and efficiency of
management decisions; promptly and effectively process information and at
the appropriate level to prepare draft decisions and ensure effective control
over their implementation; systematically improve their professional skills;
resolve conflict situations and manage communication technologies;
be a leader2. Leaders of territorial communities, especially in rural areas, are
characterized by an expanded range of skills and knowledge of analytical,
forecasting and coordination activities, which is due to the development of
strategies and tactics of local governments under their control. Relevant skills
and knowledge of organizational and support functions include the ability to
create and implement mechanisms of regulatory, logistical, economic,
financial and other types of ensuring the functioning of the structures managed
by them. Coordination and control functions require a set of skills and
knowledge that come with professional experience, the ability to properly use
the existing legal and regulatory framework3. The set of listed functions requires certain levels of competence of the head
of the territorial community. The first level of competence, which regulates
the implementation of standard operations and certain procedures, is no longer
enough for a modern head of a territorial community. There is a need for
professional leaders who are interested in developing their own style of 63 problem solving, and consequently in expanding their knowledge, and
leaders – creative individuals who demonstrate the art of management. The head of the second level of competence focuses on forming a personal
attitude to what is happening. In the process of solving problems, the leader
of this level may have creative ideas; he can apply fundamentally new
approaches to solving old and new problems. Factors such as personal
standards, values, and moral norms begin to take full effect in the manager at
the third level of competence. Quite often personal values are in conflict with those that exist in the
community. To solve these issues, community leaders must make every effort
to unite community members, to make them aware of the importance of unity. Bringing together active and conscious members of the community, its leader
must take care of cultural, educational and patriotic work among the
population on a daily basis. 1. Modern aspects of management of territories
d territorial communities to increase their competitiveness With high spirituality of community members, it
is easy to overcome any difficulties that arise in the process of their life. In
conditions of unity and harmony, the territorial community will be able to
solve complex economic issues on the way to the development of the territory. In our country there are isolated successful examples of territorial
communities that are able to support the development of peasant unions,
farms, entrepreneurs, innovative technologies and more. Knowledge of the latest management concepts in management and
marketing can be useful for the leaders of the territorial community:
technocratic management; modern behaviorism, the product of which was the
theory of human capital; goal management (strategic management); quality
management according to the TQM system; “kanban” systems; entre-
preneurship, reengineering, the concept of internal markets of corporations,
the theory of alliances, modern institutionalism, socio-ethical marketing,
partnership marketing, holistic marketing, etc. In addition, for a modern leader it is important today to increase the
competitiveness and development of local communities to proceed from the
position of territorial marketing. Territorial marketing is an advanced idea, a philosophy of territory
development that will meet the needs and expectations of target markets. The
main task of marketing of the territory is to determine what resources are
available to competing regions, and to find ways to differentiate and position
their region in such a way as to stand out in the minds of target groups. Territory marketing is not just about promoting the region in the market. Promotion alone does not benefit the depressed region, but instead helps
potential buyers identify its plight as soon as possible. According to scientists,
marketing of the territory is a special type of public management activity
carried out in order to identify and promote the interests of the population of
the territory to solve specific problems of development, creation, maintenance 64 and / or change of relations and behavior of residents and nonresidents, other
business entities and management structures in relation to a specific area4. Continuing the idea, regional marketing is a certain way of thinking and
actions of regional leaders, a new business philosophy of active
entrepreneurship in the region, based on the desire to meet the identified needs
of specific people, consumer groups, businesses in the region and beyond its
borders (action in selected markets) in the relevant goods – finished products,
technology, services, information, etc5. 4 Chemeris A.O., Shevchuk P.I., Gural P.F.(2002) Mistseve samovriaduvannia:
Monohrafiia. Kn. 1. Orhanizatsiia roboty silskoho, selyshchnoho holovy. Lviv : [Local
government : monograph. Book 1. Organization of work of the village, settlement head].
Lviv : Liha-Pres, 390 р. 5 Bozhkova V.V. (2005) Zastosuvannia nekomertsiinoho marketynhu na munitsypal-
nomu ta rehionalnomu rivniakh [Application of non-commercial marketing at the municipal
and regional levels]. Marketynh i reklama [Marketing and advertising]. № 9, pp. 38–43. 65
4 Chemeris A.O., Shevchuk P.I., Gural P.F.(2002) Mistseve samovriaduvannia:
Monohrafiia. Kn. 1. Orhanizatsiia roboty silskoho, selyshchnoho holovy. Lviv : [Local
government : monograph. Book 1. Organization of work of the village, settlement head].
Lviv : Liha-Pres, 390 р.
5 Bozhkova V.V. (2005) Zastosuvannia nekomertsiinoho marketynhu na munitsypal-
nomu ta rehionalnomu rivniakh [Application of non-commercial marketing at the municipal
and regional levels]. Marketynh i reklama [Marketing and advertising]. № 9, pp. 38–43. 1. Modern aspects of management of territories
d territorial communities to increase their competitiveness It should be noted that the region as a territorial and organizational unit in
terms of marketing approaches is a special object, which differs in a set of
initial marketing factors, marketing actors and even target groups. The need for further development of regional marketing as a basic theory
of territorial marketing is explained primarily by the fact that this requires
dynamic processes of regionalization, increasing the role of the region as an
independent market entity and changing its position in the socio-political
environment. The main goals of marketing for the development of the territory
are: increasing/maintaining the competitiveness of enterprises located in the
region; improving the degree of identification of citizens with their territory
of residence; attraction of new enterprises to the region; increasing the level
of popularity of the territory outside it. Marketing of the region, acting as an integral part of regional economic
policy; includes the development and implementation of a long-term concept
of integrated economic and social development of the territory. An extremely important task for the development of territories and
territorial communities, taking into account the strategic marketing approach,
is to determine their potential and ways of its effective implementation. The following means should be used: system approach (consideration of the
territorial community as a system that is a set of interconnected elements);
analysis of various elements of the system; identification of opportunities and
threats that exist in the system and in the external environment; survey of
residents of the settlement (or points that are part of the community);
monitoring the views, interests and attitudes of residents; modeling the
prospects for the development of the territorial community and the territory in
which it is represented. 65 The potential of the territorial community is a complex concept, its
components are: geographical, demographic, economic, environmental, social
(including cultural), management. Their combination creates a unique
situation for each community and is the basis for further development. The
description of the potential is performed on the basis of documented data and
contains information on separately defined indicators for each component. Generalization of information makes it possible to justify promising areas
of development of the territorial community. The transformation of certain
types of potential should be planned on the basis of a population survey. 1. Modern aspects of management of territories
d territorial communities to increase their competitiveness For the development of territories it is important to define strategic
guidelines, examples of which today are: – solving the problems of preserving the natural resource potential of the
territories, namely: ensuring constant control over the compliance of subsoil
users with development projects and technological schemes in the
development of mineral deposits; development of protected areas for
biodiversity conservation, expansion of existing and creation of new nature
reserves; financing of activities on limitation, placement and disposal of
waste; prevention of pollution of rivers, lakes, reservoirs and other
hydrological objects and maintenance of their favorable hydrological
condition; introduction of modern technologies of forestry; reproduction of
indigenous stands and indigenous faunal complexes; introduction of
ecological and economic levers of rational use of natural resources; formation
of environmental funds to finance environmental activities; development of
agro-environmental monitoring to preserve and restore land resource
potential; development of green tourism and health services, which will be a
significant source of income in the budgets of rural households and local
governments; – introduction of the system of organic agricultural production, namely:
standardization of principles and standards of organic agricultural production;
advocacy measures for the spread of organic production; coordination of work
in the production system with natural cycles and living systems of soils, flora
and fauna; preservation and improvement of soil fertility and biological
activity with the help of local cultural, biological and mechanical methods;
application of organic fertilizers; preservation of agro; – and biodiversity in enterprises, their environment through the use of a
sustainable system of production and protection of wildlife; promoting the
responsible use and conservation of water resources with all their living
organisms; formation and development of social responsibility of commodity
producers in solving problems of modern land use and increase of social
orientation of agro-industrial production on the basis of development of
cluster systems on production of agricultural products with deepened
specialization and concentration of agro-industrial production according to 66 features of rural territories; bringing the production of plant and animal
protection products, biological products, compound feeds and quality control
in line with international standards, for which to organize appropriate
laboratories that will assess the quality of these drugs; introduction of a
product quality management system, which should be based on the
international system of standardization and quality improvement of crop and
livestock products; control of field clogging by quarantine weeds – ragweed;
bringing the production of plant and animal protection products, biological
products, compound feeds and quality control in line with international
standards, for which to organize appropriate laboratories that will assess the
quality of these drugs; introduction of a product quality management system,
which should be based on the international system of standardization and
quality improvement of crop and livestock products; control of field clogging
by quarantine weeds – ragweed; stimulation of local and regional production
and movement of products to consumers; creating a harmonious balance
between crop production and animal husbandry; introduction of ecological
logistics in the agro-sphere: optimization of transportation for the purpose of
rational use of resources; introduction of quality management systems,
environmental management of the use of economically feasible materials and
methods of product delivery to the consumer; use of biofuels and renewable
energy sources, cost and quality control in supply chains, etc.; providing such
conditions in which domestic animals show natural behavior; use of
packaging materials that are subject to recycling or biodegradable; compliance
with the optimal size of agricultural production, which will make possible a
significant (25–30%) reduction in production costs and increase productivity;
providing information and consulting assistance by agricultural advisory
services on scientific achievements in the field of organic production
technologies, on the market of products, access to foreign markets of organic
products, plant protection, arrangement of different types of proper crop
rotations, agricultural techniques and compliance with organic fertilizers;
organization of sales cooperatives of organic producers; agro-insurance of
ecological agricultural production through the creation of a state agricultural
insurance company and the creation of insurance companies on a cooperative
basis, where the founders and shareholders will be producers, processors and
sellers of ecologically clean agricultural products. 1. Modern aspects of management of territories
d territorial communities to increase their competitiveness Thus, the assessment of the potential of the territory and prospects of features of rural territories; bringing the production of plant and animal
protection products, biological products, compound feeds and quality control
in line with international standards, for which to organize appropriate
laboratories that will assess the quality of these drugs; introduction of a
product quality management system, which should be based on the
international system of standardization and quality improvement of crop and
livestock products; control of field clogging by quarantine weeds – ragweed;
bringing the production of plant and animal protection products, biological
products, compound feeds and quality control in line with international
standards, for which to organize appropriate laboratories that will assess the
quality of these drugs; introduction of a product quality management system,
which should be based on the international system of standardization and
quality improvement of crop and livestock products; control of field clogging
by quarantine weeds – ragweed; stimulation of local and regional production
and movement of products to consumers; creating a harmonious balance
between crop production and animal husbandry; introduction of ecological
logistics in the agro-sphere: optimization of transportation for the purpose of
rational use of resources; introduction of quality management systems,
environmental management of the use of economically feasible materials and
methods of product delivery to the consumer; use of biofuels and renewable
energy sources, cost and quality control in supply chains, etc.; providing such
conditions in which domestic animals show natural behavior; use of
packaging materials that are subject to recycling or biodegradable; compliance
with the optimal size of agricultural production, which will make possible a
significant (25–30%) reduction in production costs and increase productivity;
providing information and consulting assistance by agricultural advisory
services on scientific achievements in the field of organic production
technologies, on the market of products, access to foreign markets of organic
products, plant protection, arrangement of different types of proper crop
rotations, agricultural techniques and compliance with organic fertilizers;
organization of sales cooperatives of organic producers; agro-insurance of
ecological agricultural production through the creation of a state agricultural
insurance company and the creation of insurance companies on a cooperative
basis, where the founders and shareholders will be producers, processors and
sellers of ecologically clean agricultural products. 1. Modern aspects of management of territories
d territorial communities to increase their competitiveness Thus, the assessment of the potential of the territory and prospects of
territorial communities is based on the approaches used in strategic
management, marketing and quality management, adapted to the conditions
of the basic level of local government and allow determining strategic
directions of regional development. 67 6 Anholt S. Competitive Identity: The New Brand Management for Nations, Cities and
Regions. 1-st edition. Palgrave Macmillan, 2007, 160 p.
7 Anholt S. Places: Identity, Image and Reputation. Palgrave Macmillan, 2009, 256 p.
8 Kotler F., Asplund K., Raine I., Haider D.(2005). Marketynh mest. Privlechenie
investiczij, predpriyatij, zhitelej i turistov v goroda, kommuny, regiony i strany Evropy
[Place marketing. Attracting investments, enterprises, residents and tourists to cities,
communes, regions and countries of Europe]. SPb. : «Stokgolmskaya shkola ekonomiki»,
382 р.
9 Baker B.(2007) Destination Branding for Small Cities. [1st edition]. Creative Leap
Books, 192 p.
10 Dinnie K. (2011) City Branding: Theory and Cases. [1 edition]. Palgrave Macmillan.
2011, 256 p.
11 Govers R., Go Fr.(2009) Place Branding: Glocal, Virtual and Physical Identities,
Constructed, Imagined and Experienced. Palgrave Macmillan. 2009, 256 p.
12 Moilanen T., Rainisto S.(209) How to Brand Nations, Cities and Destinations:
A Planning Book for Place Branding. Palgrave Macmillan, 2009, 230 p.
13 Pike St. (2008) Destination Marketing: An Integrated Marketing Communication
Approach. Butterworth-Heinneman, 424 p. 13 Pike St. (2008) Destination Marketing: An Integrated Marketing Communication
Approach. Butterworth-Heinneman, 424 p. 9 Baker B.(2007) Destination Branding for Small Cities. [1st edition]. Creative Leap
ooks, 192 p.
10 10 Dinnie K. (2011) City Branding: Theory and Cases. [1 edition]. Palgrave Macmillan
011, 256 p.
11 G
R
G
F (2009) Pl
B
di
Gl
l Vi
l
d Ph
i
l Id
i i 11 Govers R., Go Fr.(2009) Place Branding: Glocal, Virtual and Physical Identities
onstructed, Imagined and Experienced. Palgrave Macmillan. 2009, 256 p. Moilanen T., Rainisto S.(209) How to Brand Nations, Cities and Destinations
Planning Book for Place Branding. Palgrave Macmillan, 2009, 230 p. 8 Kotler F., Asplund K., Raine I., Haider D.(2005). Marketynh mest. Privlechenie
investiczij, predpriyatij, zhitelej i turistov v goroda, kommuny, regiony i strany Evropy
[Place marketing. Attracting investments, enterprises, residents and tourists to cities,
communes, regions and countries of Europe]. SPb. : «Stokgolmskaya shkola ekonomiki»,
382 р. g
p
g
p
12 Moilanen T., Rainisto S.(209) How to Brand Nations, Cities and Destinations:
A Planning Book for Place Branding. Palgrave Macmillan, 2009, 230 p. 6 Anholt S. Competitive Identity: The New Brand Management for Nations, Cities and
Regions. 1-st edition. Palgrave Macmillan, 2007, 160 p. 11 Govers R., Go Fr.(2009) Place Branding: Glocal, Virtual and Physical Identit
Constructed Imagined and Experienced Palgrave Macmillan 2009 256 p Constructed, Imagined and Experienced. Palgrave Macmillan. 2009, 256 p.
12 Moilanen T
Rainisto S (209) How to Brand Nations Cities and Destina Govers R., Go Fr.(2009) Place Branding: Glocal, Virtual and Physical Identities,
Constructed, Imagined and Experienced. Palgrave Macmillan. 2009, 256 p.
12 Approach. Butterworth-Heinneman, 424 p. Constructed, Imagined and Experienced. Palgrave Macmillan. 2009, 256 p.
12 Moilanen T., Rainisto S.(209) How to Brand Nations, Cities and 2. Formation of the image of the destination
as a component of regional development One of the tools of marketing the territory, the purpose of which is to raise
the image of the territory, raise awareness, increase the number of attracted
investments, increase the participation of the territory in regional and state
programs, is territorial branding. Its aspects and problems have been
considered in the works of a number of scientists: S. Anholt6, S. Anholt7,
F. Kotler, K. Asplund, D. Haider and I. Raine8, B. Baker9, K. Denmark10,
R. Hovers and F. Go11, T. Moilanen and S. Rainisto12, S. Paik13. Today, territorial branding is the most effective tool for active positioning
of the region, the process of building, developing and managing a brand, the
purpose of which is to create a strong and competitive region. There is a steady tendency to consider the brand of the territory as a set of
enduring values that reflect the unique original consumer characteristics of the
territory and community, such that are widely known and publicly recognized
and enjoy stable consumer demand. The brand is formed on the basis of a
pronounced positive image of the territory, which is based on the unique
ability to meet certain demands of its consumers, and which is the highest
manifestation of emotional consumer preferences. At the same time, it acts as
the most important factor of competitive advantages and revenues of the
territory, a valuable asset of the economy. Territory branding allows solving the problem of limited resources of the
region and increase its competitiveness by informing the target audience about
the competitor’s identity and uniqueness of the territory. 6 Anholt S. Competitive Identity: The New Brand Management for Nations, Cities and
Regions. 1-st edition. Palgrave Macmillan, 2007, 160 p. g
g
p
7 Anholt S. Places: Identity, Image and Reputation. Palgrave Macmillan, 2009, 256 p. 8 Kotler F., Asplund K., Raine I., Haider D.(2005). Marketynh mest. Privlechenie
investiczij, predpriyatij, zhitelej i turistov v goroda, kommuny, regiony i strany Evropy
[Place marketing. Attracting investments, enterprises, residents and tourists to cities,
communes, regions and countries of Europe]. SPb. : «Stokgolmskaya shkola ekonomiki»,
382 р. 9 Baker B.(2007) Destination Branding for Small Cities. [1st edition]. Creative Leap
Books, 192 p. g
p
g
p
12 Moilanen T., Rainisto S.(209) How to Brand Nations, Cities and Destinations:
A Planning Book for Place Branding. Palgrave Macmillan, 2009, 230 p. 13 Pike St. (2008) Destination Marketing: An Integrated Marketing Communication
Approach. Butterworth-Heinneman, 424 p. 2. Formation of the image of the destination
as a component of regional development 68 The brand of the territory is a complex concept; it is not only a
territorial symbol, a visual image of its perception by the consumer, but
also a complex of goods and services, arts and talents demonstrated by the
population, its authenticity, features of life and culture, social and
infrastructural objects, specifics of small towns and rural areas with
represented
agricultural
production,
attractiveness
for
investors,
mechanisms of public-private partnership and interaction to achieve the
effect of synergy. The competitive advantage of the territory is associated not only with its
product offer, which consists of territorial products, relationships and
structures of producers, intermediaries and consumers of these goods and
services, but also with skillful and effective marketing. Characterization of
distribution methods in the marketing of the territory is quite a difficult task,
because the “place” of sale of goods (the territory) is virtually unchanged. In addition, there are almost no intermediaries in the pure form of the
marketing of territories. These include some conditionally: authorities and
public organizations, associations of the highest territorial level and their
representatives; chambers of commerce and industry, centers of business
and international trade, exhibition centers, fairs; transnational and other
territorial business entities; various inter-territorial network organizational
structures; mass media and communication; travel agencies; tourist
information centers; vocational education institutions. The content of
measures of this element of the marketing complex of the territory is to
provide business information to businesses, concluding contractual relations
with other territories, organizing exhibitions and fairs, informing potential
and existing tourists who want to visit attractive places, etc. An important
factor component of the marketing complex of the territory is promotion,
which is associated with a set of marketing communications, creating an
image, increasing the attractiveness of the territory, brand development and
promotion. Experts note that the complex of means of marketing
communications of the territory includes: traditional commercial
advertising; means of accelerating and strengthening the positive reaction of
government agencies and economic agents; public relations and relevant
organizations for the development of territories and communities;
propaganda and personal contacts. The competitive advantage of the territory is associated not only with its
product offer, which consists of territorial products, relationships and
structures of producers, intermediaries and consumers of these goods and
services, but also with skillful and effective marketing. 14 Ritchie B., Crouch. G.(2003). The competitive destination: a sustainable tourism
perspective. Cambridge: CAB International, 291 p.
15 Cooper C., Fletcher J., Gilbert D., Shepherd R., Wanhill. S.(2005). Tourism:
Principles and practices l. Harlow : Pearson, 736 p.
16 Framke W. (2002).The Destination as a Concept: A Discussion of the Business-
related Perspective versus the Socio-cultural Approach in Tourism Theory. Scandinavian
Journal of Hospitality and Touris, № 2(2). 2. Formation of the image of the destination
as a component of regional development Characterization of
distribution methods in the marketing of the territory is quite a difficult task,
because the “place” of sale of goods (the territory) is virtually unchanged. The tourism industry is extremely important for the development of the
territory, which allows ensuring the inflow of funds to solve the problems
of the local population in a service economy. Therefore, the formation of the
brand of the tourist destination is part of the strategy to support the brand of
the territory. The research of destinations is devoted to the works of many
scientists, some of them connect this concept with a specific territory that 69 has administrative boundaries or has a unique character14, some emphasizes
the resource capacity of the territories to provide the necessary set of
services and facilities to meet the needs of visitors15. V. Framke, in his
analysis, notes that the destination is a set of interests, different activities,
services, infrastructure of attractions that form the identity of the place16. The researcher emphasizes that the destination has a static aspect – a place,
territory and a dynamic aspect – a set of different agents, products and
services that vary depending on demand. For a marketing policy to be successful in a regional market, it cannot be
pursued in one direction, such as advertising. Prerequisite for successful
destination branding is diagnosis and planning, which should be carried out in
cooperation with local authorities and the business community. Precedes the branding of tourist destinations, their positioning, which
can be formed: as the identity of the territory, as a well-established
environment with a developed technological infrastructure that is
compatible with the natural environment; as a provider of appropriate
quality services that meet the needs of business and society (protection of
people and property, social protection and education, medicine and health);
as a recreation and entertainment area that has a number of values and offers
for its own residents and tourists. In the marketing of places, a tourist
destination should be considered from the standpoint of a consumer who is
looking for new experiences, interesting events and entertainment, and in a
pandemic, also the opportunity to turn the attention and get a safe
vacation. Let’s consider these questions on an example of the Kherson area. Kherson
region is a very attractive tourist destination in Ukraine. 2. Formation of the image of the destination
as a component of regional development Due to its importance
in today’s conditions, due to the annexation of Crimea, it can be attributed not
only to the regional type, but also to the national, because according to recent
years for the summer holiday season, there were flows of visitors from all over
Ukraine. In addition, the safety factor is also important, because the situation
in the region is relatively favorable in terms of epidemiological morbidity. Kherson region has a huge number of natural complexes with diverse flora
and fauna, rocks, soils, climate and water, has about 80 objects of nature 70 reserves of national, international and local importance17. The region is
washed by the Black and Azov Seas, as well as the Kakhovka Reservoir and
Lake Sivash. Unique natural highlights on the territory of the destination are
biosphere reserves: Black Sea Biosphere Reserve – the epicenter of nesting,
migratory and winter clusters of birds of the Black Sea coast; Askania-Nova
Biosphere Reserve – the only primary steppe in the world that has never been
used for agriculture and where American bison, camphor buffaloes, saigas,
llamas, Scottish ponies, wild horses, mouflons, ostriches and camels,
antelopes, deer, pheasants, peacocks, pink pelicans, black-headed gulls, swans
and other rare representatives of fauna and flora can be found. In addition,
there are five national nature parks in the region: Azov-Sivasky, Oleshkivsky
Pisky, Dzharilgatsky, Nizhnedniprovsky and Kamyanska Sich (which is in the
process of being created). The unique objects of Kherson region are thermal springs: a healing geyser
in the village of Obloi of Holoprystan district, Lemuria lake in the village of
Hryhorivka, Chaplynskyi district and a hot spring on Arabatska Strelka. They are rare in their natural and medicinal properties and attract many
tourists from all regions of Ukraine as well as foreign tourists. Among the most attractive parts of the Kherson region is ecologically
clean Delta of the Dnieper, the world’s largest man-made forest –
100 thousand hectares. Today, two European-class yacht clubs “Maxim-
Marine” and “Katrin” operate in the waters of the Dnieper in the city of Nova
Kakhovka. On the territory of Kherson region there are a number of tourist
infrastructure facilities that promote the development of green tourism, such
as: fishing and recreation complex “Delta Dnieper”, green tourism base
“Seagull”, recreation center “Zburyivsky Kut”, the suburban complex “Grand
Prix”, Green estate “Fairy Tale Oleshsha”, estate “Trophy”, restaurant
“Pan Ataman”, winery of Prince Trubetskoy, etc. 17 Official web-site of the Kherson regional state administration. Turystychnyi ta
rekreatsiinyi potentsial. [Tourist and recreational potential]. URL: https://khoda.gov.ua/
turistichnij-ta-rekreacijno-kurortnij-potencial/ (accessed: 11 March 2021). 2. Formation of the image of the destination
as a component of regional development Every year more than
3.5 million guests visit Kherson region. More than 1000 objects of rest,
improvement, accommodation (among them – 53 for children, 62 estates of
green tourism, 51 hotel complex) are involved in process of rendering of
tourist services to clients. The richness of the region is also enhanced by the rich festival calendar of
Kherson region – the international festival of theatrical premieres
“Melpomene of Tavria”, “Tavria Farms”, “Black Sea Games”, “Kupalski
Stars”, “Ukrainian Watermelon – Sweet Miracle” and many others. 71 The current Internet resources also contribute to the promotion of tourist
services and the formation of the image of the territory: Official site of the
Department of Tourism and Resorts of the Kherson Regional State
Administration; Official tourist portal; Tourist guide to Kherson; Travel
through the Kherson region; Everything about tourism, souvenirs,
entertainment; Kherson Tourist Region; Virtual Kherson; Internet portal
(vacation on the Black and Azov Seas). Today the region is actively developing health, water, wine, historical and
cultural tourism. Thus, considering the destination according to the available
tourist potential, it is possible to position the region by specialization as
multifunctional, which has significant resources of different types and attracts
tourist flows with different chains. At the same time, the Kherson region
should take into account the trends in the development of ecological and green
tourism around the world, which is associated with the exacerbation of
environmental problems. Increasingly, promotional events and eco-tours are
held, which include recreation and spending time in the natural environment,
without polluting it and without causing harm. This problem also applies to
Ukrainian tour operators at both the national and regional levels. With this in
mind, we investigated the need of consumers in ecological and green tourism
for consumers in the Kherson region. Despite the favorable position of the
destination for tourism, rest, health and recreation, the potential of green (eco-
tourism) of Kherson region is not used to full capacity and needs development. This is due to a number of difficulties and certain obstacles that have arisen as
a result of the pandemic and, as a result, the fears of tourists. 2. Formation of the image of the destination
as a component of regional development At the same time,
the development and promotion of individual (in microgroups) green routes
and presenting them to consumers as a means of recreation and isolation from
the noisy city, from large crowds is a promising direction and can bring
significant profits to tour operators and promote development of the territory. To develop measures to intensify the “green routes”, we found out the
opinion of customers in relation to eco-tourism and studied their preferences
for the services provided by tour operators in the Kherson region. Field
research continued during September-October 2020 through a structured
questionnaire. The opinion of the residents was represented by respondents
who were part of the formed one-stage probabilistic non-repeated quota
sample (n = 100 people, accuracy 10%). Gender, age, education, field of
activity, income level and family size of the respondents were chosen as the
criteria of the target client from among the characteristics of the consumer. Of the total sample (100 people), we interviewed 52% of women and 48% of
men; by age characteristics, we interviewed 45% of people aged 18–30,
25% of people aged 46–60, 18% aged 31–45 and 12% aged 61 and older;
52.8% of the respondents had an income level of UAH 6001–8000, 20% –
UAH 4001–7999, 22% – UAH 8001 and more, 5.2% – UAH 18,000–3999; 72 The largest share in the field of activity among respondents were technical
performers (34%) and specialists (25%), managers (11%), retirees (4%) and
students (26%). According to the survey, eco-tourism services, in contrast to
traditional ones, are preferred by 44.4% of respondents, a certain share of
whom (20.2%) choose them as a means to isolate themselves from crowds and
the hectic pace of urban life; 9.4,% – due to the possibility to combine
recreation with active amateur travel; 6.1% – due to the desire to relax in
nature and communicate with the living world; 4, 2% – for the rest of the
family; 3% – for the purpose of sports tourism and the use of a cheaper accom-
modation; 1, 5 – with other priority goals. But the majority (55.6%) of respon-
dents said that they have used eco-tourism services only a few times, because
their priority is safety, leisure and quality of service. 2. Formation of the image of the destination
as a component of regional development Problematic points were
identified: the lack of marked routes; poor preparation of rural roads for the
passage of ecological bicycle paths; lack of equipped places for rest and
service workshops in the territories through which “green routes” pass;
insufficient advertising support based on health, safety, involvement, self-
affirmation, which is an important tool in the geomarketing of eco-tourism. In view of this, tour operators today should pay more attention to the
ecological walking zone “wildlife”: to arrange eco-tourist trails, places of
observation and recreation, to develop active sports, even extreme and
adventure; to arrange elements of life and sanitation; to develop marketing of
eco-tourism, increasing advertising support and finding the necessary form of
delivery to the addressee of the advertising appeal through the formation of
his social responsibility and demand for eco-tourism. Solving these issues will
increase the attractiveness of eco-tourism services for customers and will
promote the development of tourist and recreational potential of Kherson
region. The development of the destination brand program must be based on the
unique resources and values of the area or events that have occurred or are
planned to occur over a period of time. 2. Formation of the image of the destination
as a component of regional development The measures that can be presented in
the program are: research and analysis of the tourism market by tracking
feedback from consumers and assessing their response to a range of goods and
services provided to customers in the region; organization of events for the
presentation of the region both nationally and internationally; popularization
of a tourist destination by developing and implementing promotional
campaigns for key segments, promotion in the channels of information and
sales used by tourists – media, airlines, tour operators, bloggers, Ukrainian
missions abroad, international organizations, partner cities, etc.; development,
production, purchase of tourist information, promotional printing and
souvenir products, video and photo materials; promoting the creation and
promotion of new competitive tourism products, tourism topics; increasing
the attractiveness of public space, breeding tourist flows, expanding the 73 boundaries of the tourist center; development of business hospitality;
reception and service of representatives and delegations of the tourism
industry and mass media from Ukraine and abroad; raising the level of
awareness of residents and tourists about tourist services and activities
through the placement of information in the media; assistance in holding a
competition of socio-cultural projects of public organizations in the field of
tourism and support of other initiatives of representatives of the tourism
cluster; promoting the exchange of social advertising with other cities, towns,
regions in Ukraine and abroad18. When developing a destination brand development program, it is
necessary to take into account certain changes that have occurred in the
moods, values, priorities, behavior of consumers to offer them new, or
changed, relevant products and services. In today’s reality, consumers are
more selective in spending time and being active, which allows them to
behave freely, focusing on what they really want and what they get functional
and psychological satisfaction from. If consumers used to rely on a particular brand or professional source of
information to get what they wanted, now companies need to constantly
innovate, lower prices and optimize offerings to attract customers. This trend
is based on the obsessive need of people to absorb and share information,
including through social networks. It is no longer possible to hide important
information about a product or service from consumers; everything is subject
to doubt and verification. 18 Muzychenko-Kozlovska O.V. (2016) Metodyka otsiniuvannia turystychnoho
brendynhu destynatsii [Methods for evaluating tourist branding of destinations].Visnyk NU :
Lvivska politekhnika. Lohistyka [Bulletin of Lviv Polytechnic National University.
Logistics]. № 846, pp. 120–125. 2. Formation of the image of the destination
as a component of regional development This necessitates the use of other modern marketing
tools in addition to branding technologies: Internet marketing, content
marketing, event marketing, neuromarketing, etc., which will form the
consumer’s commitment to the brand’s perception of the region. Thus, taking into account the established trends, local authorities should
involve as many interested stakeholders as possible in the formation of the
Kherson region brand: producers of wines and food products, both traditional
and craft, souvenirs and creative handmade products, representatives of
relevant associations such as Public Association “Association of Kherson
Watermelon Producers”, Association “Regional Tourist Organization
“Tourism of Kherson”, civil organization “ChefsClub” Association of Chefs
of the South, tour operators and agencies, farmsteads of rural green tourism,
educational and scientific institutions, catering and accommodation. Possible
potential ways to unite the participating partners need to be explored, which 74 will expand and improve the system of geographical indications and help
attract tourists, as well as the overall economic, cultural and social
development of the Kherson region. To consolidate the partners, the regional
leadership needs to establish consulting and methodological support and
provide practical assistance in the formation, promotion and sale of
competitive goods and services provided by producers of the region and form
the image of the region. Interaction is extremely necessary in the following
key areas: marketing technologies (marketing research, branding of the
territory, digital marketing, video content, exhibitions, events, production of
printed promotional materials, social marketing, co-branding, etc.); high
quality of products and services through the introduction and observance of
quality systems that meet world and European standards; raising the level of
knowledge and professionalism of staff (organization of trainings and training
programs on world best practices; seminars, conferences and round tables,
organization of competitions, participation in grants, youth and human capital
development programs, support for youth entrepreneurship, cooperation with
higher education institutions, publications professional literature and
translation of foreign sources); statistics (collection and analysis of static data,
sociological research in the region); networking (representation of business
interests in relations with the authorities, organization of business meetings
and events, internal cross-business communications of various industries in
the region and cross-cultural communications with business stakeholders,
formation of regional networks by areas); measures of people’s diplomacy
(involvement of the local population in the development of the region,
creation of a loyalty program (Brand Kherson region – the steppe southern
pearl of Ukraine). CONCLUSIONS Thus, the analysis of the experience of management and marketing in the
field of business allows drawing certain conclusions for other areas, including
in the field of territorial management. In our opinion, strategic planning plays
a significant role in the development of the territory as an important tool to
increase its competitiveness. The methodology of work on the development of a strategic plan to
increase the competitiveness of the territory should include the following
stages: – organizational work (determination of geographical boundaries of the
settlement; creation of a strategic development committee, the composition of
which should adequately reflect the structure of the region and all
stakeholders: authorities, private companies, research institutions, etc.;
coordination of strategy development schedule, which is a management tool
and developed to ensure the timely implementation of the project); 75 – analytical work (conducting a thorough analysis of the development of
major industries and sectors of the economy; compiling the economic profile of
the region; conducting a survey of entrepreneurs and government officials and
the public; identifying the main sectors of the economy, areas of development
and their analysis; determination of priorities of settlement development (main
sectors (industries) and directions of economic development; SWOT,
PEST – analysis in terms of directions of development and selected sectors;
determination of strategic vision of the settlement and its mission); – analytical work (conducting a thorough analysis of the development of
major industries and sectors of the economy; compiling the economic profile of
the region; conducting a survey of entrepreneurs and government officials and
the public; identifying the main sectors of the economy, areas of development
and their analysis; determination of priorities of settlement development (main
sectors (industries) and directions of economic development; SWOT,
PEST – analysis in terms of directions of development and selected sectors;
determination of strategic vision of the settlement and its mission); – planning work (drawing up an action plan in terms of areas of
development and the main sectors of the economy of the settlement;
determining the list of projects); – work on the implementation of the plan (determination of bodies
responsible for the implementation of the strategic plan; development of the
budget for the implementation of each project; approval of the plan by the
territorial community; creation of bodies to manage the implementation and
monitoring of the strategic development plan). CONCLUSIONS Thus, the main thing in ensuring effective management of territories is to
study the specific conditions of their activities and their leaders as professional
managers, modern techniques and methods of management and effective tools
of marketing management that will promote regional development and
increase their competitive potential. For the formation and development of the brand of the territory it is
necessary to take into account the material and technical component and attract
investment for system-forming objects; to develop a scheme of perspective
location of transport and logistics infrastructure; to provide the necessary means
to create a modern hotel and service system for accommodation and meals for
visitors, a network of tourist complexes, recreation areas and create conditions
there that meet international standards; resort to branding technologies and the
latest tools of digital marketing in order to promote the region and form a
favorable image of the territory in the minds of consumers. SUMMARY The article examines the theoretical and practical aspects of regional
development based on modern approaches to management and marketing in
the face of global challenges and threats. The main competencies that a
professional manager should possess when determining the strategic
directions of territorial development and making decisions on the formation
of the brand of the region are considered. The main stages of developing a
strategic plan to increase the competitiveness of the territory are identified. An assessment of the potential of the tourist destination of Kherson region is
presented and the main measures for its development to strengthen the brand
of the region are outlined. 76 REFERENCES 1. Lanza А., Markandya А., Pigliaru F. (2005) The Economics of
Tourism and Sustainable Development. Cheltenham, UK; Northampton,
MA, USA. Р. 8. 2. Bilenchuk P.D., Kravchenko V.V., Pidmogilny M.V.(2000) Mistseve
samovriaduvannia v Ukraini [Local self-government in Ukraine]. Munitsypalne pravo [Municipal law]. Kyiv : Atika, 304 р. 3. Chemeris
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shchnoho holovyLviv: [Local government: Monograph. Book 1. Organization
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V.M. Vakulenka, M.K. Orlatoho ta in. (2014) [Regional management: a
textbook/for general. ed. Yu.V. Kovbasyuk, V.М. Vakulenko, M.K. Orlatogo
and others]. K. : NADU, 740 p. 5. Bozhkova V.V. (2005) Zastosuvannia nekomertsiinoho marketynhu na
munitsypalnomu ta rehionalnomu rivniakh [Application of non-commercial
marketing at the municipal and regional levels]. Marketynh i reklama
[Marketing and advertising]. № 9, pp. 38–43. 6. Anholt S. Competitive Identity: The New Brand Management for
Nations, Cities and Regions. 1-st edition. Palgrave Macmillan, 2007, 160 p. 7. Anholt S. Places: Identity, Image and Reputation. Palgrave Macmillan,
2009, 256 p. 8. Kotler F., Asplund K., Raine I., Haider D.(2005). Marketynh mest. Privlechenie investiczij, predpriyatij, zhitelej i turistov v goroda, kommuny`,
regiony` i strany` Evropy [Place marketing. Attracting investments,
enterprises, residents and tourists to cities, communes, regions and countries
of Europe]. SPb. : “Stokgol`mskaya shkola e`konomiki”, 382 р. 9. Baker B.(2007) Destination Branding for Small Cities. [1st edition]. Creative Leap Books, 192 p. 10. Dinnie K. (2011) City Branding: Theory and Cases.[1 edition]. Palgrave Macmillan. 2011, 256 p. 11. Govers R., Go Fr.(2009) Place Branding: Glocal, Virtual and Physical
Identities, Constructed, Imagined and Experienced. Palgrave Macmillan. 2009, 256 p. 12. Moilanen T., Rainisto S.(209) How to Brand Nations, Cities and
Destinations: A Planning Book for Place Branding. Palgrave Macmillan,
2009, 230 p. 13. Pike St. (2008) Destination Marketing: An Integrated Marketing
Communication Approach. Butterworth-Heinneman, 424 p. 14. Ritchie B., Crouch. G.(2003). The competitive destination: a
sustainable tourism perspective. Cambridge : CAB International, 291 p. 77 15. Cooper C., Fletcher J., Gilbert D., Shepherd R., Wanhill. S. (2005). Tourism: Principles and practices l. Harlow: Pearson, 736 p. 16. Framke W. (2002).The Destination as a Concept: A Discussion of the
Business-related Perspective versus the Socio-cultural Approach in Tourism
Theory Scandinavian Journal of Hospitality and Touris No2(2) Theory. Scandinavian Journal of Hospitality and Touris, No2(2). 17. REFERENCES Official web-site of the Kherson regional state administration. Turystychnyi ta rekreatsiinyi potentsial. [Tourist and recreational potential]. URL:
https://khoda.gov.ua/turistichnij-ta-rekreacijno-kurortnij-potencial/
(accessed: 11 March 2021). 18. Muzychenko-Kozlovska O.V. (2016) Metodyka otsiniuvannia turys-
tychnoho brendynhu destynatsii [Methods for evaluating tourist branding of
destinations]. Visnyk NU :Lvivska politekhnika. Lohistyka [Bulletin of Lviv
Polytechnic National University. Logistics]. № 846, pp. 120–125. Information about the author:
Bolila Svetlana Yuriіvna, Information about the author:
Bolila Svetlana Yuriіvna,
PhD in Agriculture,
Associate Professor at the Department of Management
and Information Technologies
Kherson State Agrarian and Economic University
23, Stritenska str., Kherson, Ukraine, 73006
orcid.org/0000-0002-9689-6774 Information about the author:
Bolila Svetlana Yuriіvna,
PhD in Agriculture,
Associate Professor at the Department of Management
and Information Technologies
Kherson State Agrarian and Economic University
23, Stritenska str., Kherson, Ukraine, 73006
orcid.org/0000-0002-9689-6774 78
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https://openalex.org/W4380682517
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English
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Biomechanical analysis of internal fixation system stability for tibial plateau fractures
|
Frontiers in bioengineering and biotechnology
| 2,023
|
cc-by
| 8,149
|
OPEN ACCESS OPEN ACCESS
EDITED BY
Cheng-Feng Lin,
National Cheng Kung University, Taiwan
REVIEWED BY
Yuqi He,
University of Pannonia, Hungary
William Dias Belangero,
State University of Campinas, Brazil
*CORRESPONDENCE
Yangyang Xu,
youngerxv@buaa.edu.cn
Ruijiang Wang,
15635580115@163.com
Fei Tian,
999tianfei99@sina.com
†These authors share first authorship
RECEIVED 04 April 2023
ACCEPTED 06 June 2023
PUBLISHED 14 June 2023
CITATION
Wei G, Niu X, Li Y, Chang T, Zhang J,
Wang H, Li X, He Y, Wang R, Tian F and
Xu Y (2023), Biomechanical analysis of
internal fixation system stability for tibial
plateau fractures. Front Bioeng Biotechnol 11:1199944 OPEN ACCESS
EDITED BY
Cheng-Feng Lin,
National Cheng Kung University, Taiwan
REVIEWED BY
Yuqi He,
University of Pannonia, Hungary
William Dias Belangero,
State University of Campinas, Brazil
*CORRESPONDENCE
Yangyang Xu,
youngerxv@buaa.edu.cn
Ruijiang Wang,
15635580115@163.com
Fei Tian,
999tianfei99@sina.com Guoqiang Wei 1†, Xiaofen Niu1†, Yuan Li2, Tingjie Chang2,
Jianfang Zhang1, Haiyan Wang3, Xiaohe Li 3, Yujie He3,
Ruijiang Wang 4*, Fei Tian5,6* and Yangyang Xu7* Guoqiang Wei 1†, Xiaofen Niu1†, Yuan Li2, Tingjie Chang2,
Jianfang Zhang1, Haiyan Wang3, Xiaohe Li 3, Yujie He3,
Ruijiang Wang 4*, Fei Tian5,6* and Yangyang Xu7* Guoqiang Wei 1†, Xiaofen Niu1†, Yuan Li2, Tingjie Chang2,
Jianfang Zhang1, Haiyan Wang3, Xiaohe Li 3, Yujie He3,
Ruijiang Wang 4*, Fei Tian5,6* and Yangyang Xu7* 1Department of Rehabilitation Medicine, Changzhi Medical College Affiliated Changzhi People’s Hospital,
Changzhi, China, 2Department of Orthopedics, Changzhi Medical College Affiliated Peace Hospital,
Changzhi, China, 3Department of Anatomy, School of Basic Medical Sciences, Inner Mongolia Medical
University, Hohhot, China, 4Department of Orthopedics, Changzhi Second People’s Hospital, Changzhi,
China, 5Department of Health Management, Changzhi Medical College, Changzhi, China, 6Department of
Rehabilitation Medicine, Changzhi Medical College Affiliated Peace Hospital, Changzhi, China, 7Beijing
Key Laboratory for Design and Evaluation Technology of Advanced Implantable and Interventional
Medical Devices, Beijing Advanced Innovation Center for Biomedical Engineering, School of Biological
Science and Medical Engineering, Beihang University, Beijing, China Medical Devices, Beijing Advanced Innovation Center for Biomedical Engineering, School of Biological
Science and Medical Engineering, Beihang University, Beijing, China RECEIVED 04 April 2023 ACCEPTED 06 June 2023 PUBLISHED 14 June 2023 Background: Complex bone plateau fractures have been treated with bilateral plate
fixation, but previous research has overemphasized evaluating the effects of internal
fixation design, plate position, and screw orientation on fracture fixation stability,
neglecting the internal fixation system’s biomechanical properties in postoperative
rehabilitation exercises. TYPE Original Research
PUBLISHED 14 June 2023
DOI 10.3389/fbioe.2023.1199944 TYPE Original Research
PUBLISHED 14 June 2023
DOI 10.3389/fbioe.2023.1199944 biomechanical study, finite element analysis, internal fixation, tibial plateau fracture,
weight bearing, interfragmentary motion Frontiers in Bioengineering and Biotechnology KEYWORDS 1 Introduction By typing, grouping and subgrouping, fractures of one site or
segment can have 27 subgroups. Schatzker typing is a proposed
six-class classification based on the radiographic plain view of
tibial plateau fractures. The strategies for reconstruction of the
tibial plateau depend on the fracture lines identified in the
preoperative CT scan. The established fracture classifications
cannot be used for the definition of operative treatment
algorithms for contemporary fracture management. In contrast,
these classifications do not consider the 3D manifestation of
the fracture offered by CT imaging. Its insufficiency has led
to criticism of the idea of treating bicondylar tibial plateau
fractures in the context of posteromedial coronal fractures
(Pätzold et al., 2017). According to Samsami et al. (2020),
the posteromedial split fragment has a significant biomechanical
role in the structural rigidity of bicondylar tibial plateau
fractures. Therefore,
to
conceptually
comprehend
the
biomechanical principles of anteromedial fracture block and
posteromedial fractured bone fragment fixation, a fracture
model is required. Titanium alloy plates and screws serving
as the primary biomechanical load-bearing mechanisms are
used in the model, which is based on a genuine case with a
typical fracture. The optimal treatment of complicated bicondylar tibial
plateau fractures has been a source of contention for decades
(McNamara et al., 2015), and bicondylar tibial plateau fractures
provide several challenges to surgical treatment techniques. To achieve appropriate bone consolidation, surgical implants
must offer mechanical stability at the fracture location. As
a result, during the healing process, the internal fixation
operation should give the best possible placement and fixation
of the bone fragment (Bucholz et al., 2010). Bilateral plate fixation
is a well-known therapeutic technique with strong biomechanical
stability (Lee et al., 2013; Lee et al., 2018). An analysis of
complicated Schatzker V/VI fractures revealed that coronal
posteromedial split fragments occurred in 28%–74% of cases
(Barei et al., 2008; McGonagle et al., 2019), requiring separate
posterior
fixing
(Samsami
et
al.,
2020). In
complicated
tibial
plateau
fractures,
the
incidence
and
consequent
displacement of posteromedial split pieces are commonly
underestimated (Hua et al., 2019). The fracture pattern of
complicated bicondylar tibial fractures is characterized by a
combination of medial coronal and lateral multifragment
depression fractures (Eggli et al., 2008). The treatment of tibial
plateau fractures needs to be carried out with stable fixation
to allow early mobility. The mechanical environment is an
essential factor in fracture healing. 1 Introduction Surgeons often prescribe a
6- to 8- week non-weight-bearing period following surgery
(Burdin, 2013). This time of non-weight-bearing significantly
hinders
the
patient’s
function,
potentially
delaying
the
outcome and increasing healthcare expenditures. Finally, a lack
of mechanical stress in the knee joint may have an impact on the
articular cartilage. During short-term reduced loading conditions
there was a significant degree of cartilage thinning; in other
words,
the
cartilage
underwent
some
process
of
atrophy
without
mechanical
stimulation
(Eckstein
et
al.,
2006). Previous research has overemphasized the effects of internal
fixation
design,
plate
position,
and
screw
orientation
on
fracture fixation stability (Chen et al., 2017; Djuricic et al.,
2022;
Ren
et
al.,
2022). However,
the
biomechanical
environment and intensity of postoperative weight-bearing
exercise training in complex tibial plateau fractures remain
unknown,
and
more
attention
should
be
paid
to
the
biomechanical
characteristics
of
complex
tibial
plateau
fractures postoperatively. This study analyzed the biomechanical characteristics of a
bilateral plate fixation method used to treat bicondylar tibial
plateau fractures using FEA. The stability of the internal fixation
system, the risk of implant failure, and the risk of fracture instability
were evaluated under different motion conditions based on the
interaction with the mechanical environment. The mechanical
behavior of the fractured tibial plateau stability was determined
in this way. The model stiffness, implant stress distribution,
fracture
block
stress
distribution,
displacement
distribution,
and tibial and screw plate fatigue life were analyzed to assist
surgeons and rehabilitation physicians in their evaluation. It is
clinically relevant to explore the biomechanical environment
features of internal fixation under three conditions common in
standing,
walking,
and
running
using
FEA. Exploring
the
biomechanical mechanism of the interaction between internal
fixation and bone guides the timing of early postoperative
rehabilitation. It provides a clinical reference for the stability
of the internal fixation system and the safety of rehabilitation
sports training after complex bicondylar tibial plateau fractures
in the clinic. The use of digital medicine for fracture surgery
and rehabilitation training guidance has been well integrated and
tried, which is a worthy approach to promote. The AO/OTA classification and the Schatzker classification
are the most commonly used fracture classifications. Maurice
Muller, one of the founders of the Swiss AO/ASIF (Association
for the Study of Internal Fixation), established the Comprehensive
Classification of Fractures of the Long Bones, which describes
the site, morphology, and severity of long bone fractures through
a combination of letters and numbers. OPEN ACCESS This study aimed to investigate the mechanical properties of
tibial plateau fractures after internal fixation, explore the biomechanical mechanism
of the interaction between internal fixation and bone, and make suggestions for
early postoperative rehabilitation and postoperative weight-bearing rehabilitation. Wei G, Niu X, Li Y, Chang T, Zhang J,
Wang H, Li X, He Y, Wang R, Tian F and
Xu Y (2023), Biomechanical analysis of
internal fixation system stability for tibial
plateau fractures. Front. Bioeng. Biotechnol. 11:1199944. doi: 10.3389/fbioe.2023.1199944 Front. Bioeng. Biotechnol. 11:1199944. doi: 10.3389/fbioe.2023.1199944 COPYRIGHT
© 2023 Wei, Niu, Li, Chang, Zhang, Wang,
Li, He, Wang, Tian and Xu. This is an open-
access article distributed under the terms
of the Creative Commons Attribution
License (CC BY). The use, distribution or
reproduction in other forums is
permitted, provided the original author(s)
and the copyright owner(s) are credited
and that the original publication in this
journal is cited, in accordance with
accepted academic practice. No use,
distribution or reproduction is permitted
which does not comply with these terms. Methods: By establishing the postoperative tibia model, the standing, walking and
running conditions were simulated under three axial loads of 500 N, 1000 N, and
1500 N. Accordingly, finite element analysis (FEA) was performed to analyze the
model stiffness, displacement of fractured bone fragments, titanium alloy plate,
screw stress distribution, and fatigue properties of the tibia and the internal fixation
system under various conditions. Results: The stiffness of the model increased significantly after internal fixation. The
anteromedial plate was the most stressed, followed by the posteromedial plate. The
screws at the distal end of the lateral plate, the screws at the anteromedial plate
platform and the screws at the distal end of the posteromedial plate are under
greater stress, but at a safe stress level. The relative displacement of the two medial
condylar fracture fragments varied from 0.002–0.072 mm. Fatigue damage does
not occur in the internal fixation system. Fatigue injuries develop in the tibia when
subjected to cyclic loading, especially when running. Conclusion: The results of this study indicate that the internal fixation system
tolerates some of the body’s typical actions and may sustain all or part of the
weight early in the postoperative period. In other words, early rehabilitative
exercise is recommended, but avoid strenuous exercise such as running. 01 frontiersin.org Wei et al. 10.3389/fbioe.2023.1199944 10.3389/fbioe.2023.1199944 10.3389/fbioe.2023.1199944 Frontiers in Bioengineering and Biotechnology 2 Materials and methods The research was approved by the Science and Ethics Committee
of the School of Biological Science and Medical Engineering at
Beihang University (protocol code: BM20220087). 1 Introduction The American OTA (the
Orthopaedic Trauma Association) adopted Professor Muller’s
classification system for long bone fractures and applied its
classification method and principles to other bones throughout
the body to form the AO/OTA fracture classification system. The principles of AO/OTA fracture classification, in general,
follow Muller’s principles of long bone fracture classification. 2.3 Creating the base model Tomography (CT) images (female, 28 years old, height 164 cm, body
weight 60 kg); the patient has signed an informed consent. This case
is a typical fracture presentation and fits well with the research
requirements. The surgeon removed the internal fixation from the
patient 1.5 years after the surgery. Pre- and post-operative high-resolution CT scans of patients to
obtain DICOM data (raw HD images from CT scanners) were
imported into Mimics 21.0 (Materialise, Leuven, Belgium) to obtain
the knee joint structure by threshold segmentation. The Schatzker
type V fracture consists of a bicondylar fracture, and the tibial was
divided into three fragments (Figure 1). The drawing of screws and
plates was done in 3-Matic (Materialise, Leuven, Belgium). To
obtain a high-quality tibia-fibula model, the model was processed
in Geomagic Studio 2013 (Raindrop Geomagic Inc., Morrisville, NC,
United States) for denoising, smoothing, and fitting the surface. The
entire model meshed was created in Hypermesh (Altair Engineering
Inc., Troy, MI, United States). Define material properties, set
boundaries, loading conditions, and computational conditions,
and complete the FEA in Abaqus (Simulia, Providence, Rhode
Island, United States). Import the calculation file. odb into Fe-
safe (Simulia, Providence, Rhode Island, United States) for fatigue
life calculation (Figure 2). 2.1 Subject A Schatzker type V fracture of the tibial plateau was reproduced
using
computer-aided-design
(CAD)
based
on
Computed 02 frontiersin.org Wei et al. 10.3389/fbioe.2023.1199944 FIGURE 1
Full view of tibial plateau fracture before and after surgery (Yellow: lateral fracture block, Green: posteromedial fracture block, Red: posteromedial
fracture block) (A,D) Front View; (B,E) Back View; (C,F) Top View. FIGURE 1
Full view of tibial plateau fracture before and after surgery (Yellow: lateral fracture block, Green: posteromedial fracture block, Red: posteromedial
fracture block) (A,D) Front View; (B,E) Back View; (C,F) Top View. FIGURE 1
Full view of tibial plateau fracture before and after surgery (Yellow: lateral fracture block, Green: posteromedial fracture block, Red: posteromedial
fracture block) (A,D) Front View; (B,E) Back View; (C,F) Top View. Frontiers in Bioengineering and Biotechnology frontiersin.org Frontiers in Bioengineering and Biotechnology frontiersin.org 2.2 Surgical technique The posteromedial incision of the right tibia revealed the
fracture end. After the posterior bone block reduction, the
Kirschner needle was temporarily fixed, the T-type plate was
placed, and four-length screws were drilled in turn. The fractured
end is reduced anteriorly at the medial plateau, and a moderate-
length tension screw is placed anteriorly to posteriorly. The
medial front fracture line is long, the 5-well bone plate is
placed, and 4-length screws are drilled in turn. A curved
incision was made through the middle and upper lateral
segments (see the longitudinal fracture line of the right lateral
tibial plateau), and plate was placed and drilled into the length
screw fixation. To make the computation more precise, the threaded screws
were simplified to smooth screws in this study, the screw holes of the 03 frontiersin.org Wei et al. 10.3389/fbioe.2023.1199944 steel plate were obtained using Boolean operations, and contact
relations can be easily added (Ren et al., 2022; Zeng et al., 2022). The
screws were numbered screws 1–16 (S1–S16), to assist in further
analysis (Figure 3). Titanium alloy plate placement: along the
longitudinal
fracture
line
of
the
lateral
tibial
plateau,
an
osteotomy plate
(lateral
plate) was placed
along the axial
FIGURE 2
Flow chart of FEA experiments. FIGURE 3
Final CAD models of the bone-implant sets. (A) 3D model (B) Plates and screws number. FIGURE 2
Flow chart of FEA experiments. FIGURE 2
Flow chart of FEA experiments. FIGURE 3
Final CAD models of the bone-implant sets. (A) 3D model (B) Plates and screws number. FIGURE 3
Final CAD models of the bone-implant sets. (A) 3D model (B) Plates and screws number. analysis (Figure 3). Titanium alloy plate placement: along the
longitudinal
fracture
line
of
the
lateral
tibial
plateau,
an
osteotomy plate
(lateral
plate) was placed
along the axial steel plate were obtained using Boolean operations, and contact
relations can be easily added (Ren et al., 2022; Zeng et al., 2022). The
screws were numbered screws 1–16 (S1–S16), to assist in further Frontiers in Bioengineering and Biotechnology 04 frontiersin.org Wei et al. 10.3389/fbioe.2023.1199944 FIGURE 4
The three conditions of standing, walking, and running. FIGURE 4
The three conditions of standing, walking, and running. direction of the tibia. 2.2 Surgical technique Along the anteromedial fracture line, a 5-hole
osteotomy plate (posteromedial plate) was placed along the medial
tibial condyle obliquely toward the anatomical axis of the tibia, and
along the posteromedial fracture line, a T-shaped osteotomy plate
(posteromedial plate) was placed along the medial tibial condyle
obliquely toward the anatomical axis of the tibia. Screw S16 was a lag
screw that was not attached to the plates. In this experiment, we
ignored the components that influence knee joint stress, such as
ligaments, muscles, and other soft tissues. The stiffness, stress, and
displacement distributions of the fractured bone fragments and
internal fixation system were determined for various motion
states, and a comprehensive report was produced. Select the node
with the largest tibial displacement value and plot the force-
displacement
curve
to
calculate
the
model
stiffness
value
(Figure 5A). To achieve the main objective, the final relative
displacement was evaluated in eight measurement points located
at the fracture edge (Figure 8A). The magnitude of the relative
displacement between the two relative nodes of the bone backbone
and the fracture fragment was assessed at each site. Walking and running generate two to three times the stress on the
tibial plateau than standing (Tai et al., 2009). The majority of
individuals spend their days standing, walking, and running. To
simulate the stress condition of the tibial plateaus during standing,
walking, and running in adults, three axial loads of 500, 1000, and
1500 N were chosen (Figure 4). Due to the incremental nature of the
nonlinear analysis, the prescribed loads were applied to the structure
in discrete increments. In this experiment, distributed coupling
constraints were used to apply loads. Reference points were
established medially and laterally on the tibial plateau, and then
the reference point was coupled to the reference surface. An axial
load was applied at the reference point. The fibula was bonded within
the area of the proximal tibial of non-fractured bone by multi-point
constraints (Wang et al., 2021). Fixed constraints of the distal tibia and
distal fibula. The fractured bone fragments were designed to be
frictionless, with a coefficient of friction of 0.3 between the implant
and bone and the plate and screws (Koh et al., 2019; Dehoust et al.,
2020). 2.4 Loading conditions and boundary The biomechanical load on the knee joint during normal gait is
approximately two to three times the body weight (Taylor et al., 2004),
and the percentage of load on the medial and lateral plateaus is
approximately 55% and 45%, respectively (Zhao et al., 2007). When a
healthy adult weighing 60 kg is standing, the pressure on the tibial
plateau is 60 kg × 9.8 N/kg × 85.6% = 503.33 N (Gao et al., 2022). Frontiers in Bioengineering and Biotechnology 2.2 Surgical technique When the displacement under load is less than 2 mm, the bone
is usually considered undamaged (Haller et al., 2015), and considering
the brittle qualities of the material, cortical bone was defined as failing
at pressures up to 115 Mpa (Consortium, 2014), and the screws and
plates were of titanium alloy with a yield stress of 795 Mpa (Tian et al.,
2018; Boluda-Mengod et al., 2021). frontiersin.org 3.1 Stiffness The stiffness of the tibia increased significantly after internal
fixation by 738.57, 729.96, and 740.67 N/mm in the standing,
walking, and running states, respectively. The stiffness values of
the tibia did not vary significantly throughout sports (Figure 5B). The fatigue life analysis is based on static analysis, and the results
of the static analysis are imported into Fe-safe software. The
program defines fatigue damage as several cycles more than 10 to
the power of 7 based on the stress amplitude and the estimated
number of cycles that fatigue damage may occur. The stress field and
strain field are calculated by Abaqus. The axial cyclic loads are set to
500, 1000, and 1500 N, the load amplitudes are set to 0 to +1, the
material parameters are set to “E-N Curve,” and the algorithm is
selected as the maximum principal stress algorithm. Frontiers in Bioengineering and Biotechnology 3.2.1 Von Mises stress of plates Under axial loads ranging from 500 to 1500 N, the stresses shared
by the plates gradually increase. The anteromedial plate was most
stressed, followed by the posteromedial plate, and the lateral plate
primarily serves as a support (Figure 6B). The shape of the lateral plate
is curved, and the stress cloud diagram shows that the stress of the
lateral plate was mostly in the region of the concave edge, with a larger
stress at the screw hole at the distal end. The forms of the anteromedial
plate and posteromedial plate are T-shaped, and the stress was mostly
in the corner of the near end of the plate, PII as a whole exhibits
relatively high-stress conditions, but they do not reach the yield stress
of titanium alloy and are in the safe stress range (Figure 7). 2.5 Adopted mesh and material properties The mesh was tetrahedral; the mesh sensitivity analysis was
performed under an axial load of 500 N and boundary conditions 05 frontiersin.org Wei et al. 10.3389/fbioe.2023.1199944 TABLE 1 Material properties. Young modulus (MPa)
Poisson’s ration
Cortical bone
E3 = 12,847
υ12 = 0.381
E2 = 7,098
υ13 = 0.172
E1 = 6,498
υ23 = 0.160
G12 = 2,290
υ2 1 = 0.396
G13 = 2,826
υ31 = 0.376
G23 = 3,176
υ32 = 3.346
Cancellous bone
E3 = 370.6
υ12 = 0.381
E2 = 123.4
υ13 = 0.104
E1 = 123.4
υ23 = 0.104
G12 = 44.84
υ21 = 0.381
G13 = 58.18
υ31 = 0.312
G23 = 58.18
υ32 = 0.312
Titanium alloy plate and screw
E = 110,000
υ = 0.3 system was 256.20 MPa, while that of the screw was 225.12 MPa. In this study, the max von Mises stress of the plate was
201.52 MPa and the max von Mises stress of the screw was
197.73 MPa. Karunakar et al. (2002) measured stiffness of
2026–2666 N/mm by loading the knee joint after internal
fixation. This study produced stiffness values of 2041–2129 N/
mm for the model without internal fixation and 2,781–2,868/mm
for the model with internal fixation. There were no significant
differences in the data, proving that the model was reasonable. (see Section 2.4). The final mesh size was obtained by adjusting the
mesh size until the displacement value did not fluctuate by more
than 1% (Belaid et al., 2018). The resulting mesh is a tetrahedral cell
with an average size of 1.5–2 mm, which was consistent with
previous research (Dehoust et al., 2020). The node and element
numbers were 106,496 and 507,044, respectively. We assigned
cortical and cancellous bone separately to the corresponding
elastic, homogeneous, and orthotropic properties (Amini et al.,
2015). The material properties of the other structures were
assumed to have isotropic linear elasticity. Table 1 shows the
material properties of all constructs and relevant literature sources. 2.7 Validation of the model The stiffness and Von Mises stress of the model were
compared with the experimental data reported in previous
studies to validate the plausibility of the model. Gao et al. (2022) showed that the max von Mises stress of the internal
fixation system was 69.54, 112.10, and 155.71 MPa for the three
conditions of 500, 1000, and 1500 N, respectively. Huang et al. (2015) showed that the maximal stress value in the plate-screw 06 frontiersin.org Wei et al. 10.3389/fbioe.2023.1199944 FIGURE 5
Stiffness of Tibia (A) Stiffness calculation (Force-displacement curve); (B) Comparison of stiffness between No internal fixation and internal fixation
models under different conditions. FIGURE 5
Stiffness of Tibia (A) Stiffness calculation (Force-displacement curve); (B) Comparison of stiffness between No internal fixation and internal fixation
models under different conditions. FIGURE 5
Stiffness of Tibia (A) Stiffness calculation (Force-displacement curve); (B) Comparison of stiffness between No internal fixation and internal fixation
models under different conditions. FIGURE 6
The stress value of plates and screws in postoperative FEMs under different conditions (A) Stress value of S1–7 (B) Stress value of plates (C) Stress
value of S8–11 (D) Stress value of S12–15. FIGURE 6 FIGURE 6 The stress value of plates and screws in postoperative FEMs under different conditions (A) Stress value of S1–7 (B) Stress value of plates (C) Stress
value of S8–11 (D) Stress value of S12–15. Frontiers in Bioengineering and Biotechnology frontiersin.org 3.3 Displacement distribution The anteromedial bone fragment experienced a large relative
displacement of 0.072 mm at the fracture line at the edge of the tibial
plateau, extending medially and decreasing in displacement. The
posteromedial
bone
fragment
experienced
a
small
relative
displacement value and a relatively large displacement value of
0.042 mm at the axial split (Figure 8B). The total displacement (the maximum value of the cloud map)
variation in the anteromedial portion of the fractured bone fragments
and the posteromedial portion of the fracture block differs for the two
critical fractured bone fragments. The displacement values were
somewhat
bigger
in
the
anteromedial
portion
than
in
the
posteromedial
portion
under
different
conditions,
and
the Frontiers in Bioengineering and Biotechnology 3.4 Fatigue properties The fatigue life of the internal fixation system under the action of
the cyclic load was more than 10 to the power of 7 times in the three
conditions of standing, walking, and running, which may be
characterized as no damage. The screw path of S8 was damaged in
the walking state, and the minimum LOGlife-Repeats was 4.28, so the
fatigue life of this area was 10 to the power of 4.28 = 18973.164 times. In the running state, the screw path of S8 was damaged again, and the
minimum LOGlife-Repeats was 3.42, so the fatigue life of this area was
10 to the power of 3.42 = 2605.264 times. The location where fatigue
occurs is the location of bone-screw contact (Figure 9). 3.2.2 Von Mises stress of screws (Figure 6A). Screws S8 and S9 at the proximal end of the
anteromedial plate have the largest stress, whereas the screw at
the distal end of the anteromedial plate gradually diminishes
(Figure 6C). The stresses in screws S12 and S13 near the
proximal end of the posteromedial plate are low, whereas those
in screw S14 were rather high (Figure 6D). S16 was not attached to The general trend of each set of screws was comparable in the
three conditions of standing, walking, and running, and the screws
at the same location rose with the increase in motion intensity. Screw
S7 at the most distal end of the lateral plate, has the highest stress,
whereas screws S1–S6 exhibit a rising and then declining pattern Frontiers in Bioengineering and Biotechnology 07 frontiersin.org Wei et al. 10.3389/fbioe.2023.1199944 FIGURE 7
Plates and screws (A) Lateral plate and screw 1–7; screw 16 (B) Anteromedial plate and screw 8–11 (C) Posteromedial plate and screw 12–15. FIGURE 7
Plates and screws (A) Lateral plate and screw 1–7; screw 16 (B) Anteromedial plate and screw 8–11 (C) Posteromedial plate and screw 12–15. FIGURE 7
Plates and screws (A) Lateral plate and screw 1–7; screw 16 (B) Anteromedial plate and screw 8–11 (C) Posteromedial plate and screw 12–15. the plates and did not appear in the bar graph. S16 did not
experience substantial axial stress, with stress values of 3.08, 6.16,
and 9.21 MPa for the three conditions of standing, walking, and
running. displacement values increased with increasing motion intensity. The largest displacement occurred during running, 0.54 mm for
the anteromedial portion and 0.51 mm for the posteromedial
portion, neither of which exceeded 2 mm, indicating that the
fractured bone fragments were in a stable state (Figure 8C). Through the stress cloud, similar stress distribution features can
be seen, with large stress concentrations near the screw head. For
screw S2, stress concentrations were also detected close to the screw
tip due to the screw straddling the medial and lateral tibial plateaus
(Figure 7). frontiersin.org 4 Discussion The surgical treatment of comminuted tibial plateau fractures is
challenging. The main purpose of surgery is to provide anatomic 08 frontiersin.org Wei et al. 10.3389/fbioe.2023.1199944 FIGURE 8
Displacement of fractured bone fragments (A) Displacement Cloud Map (B) Relative displacement of fractured fragments (C) Total displacement of
fractured fragments. FIGURE 8 FIGURE 8
Displacement of fractured bone fragments (A) Displacement Cloud Map (B) Relative displacement of fractured fragments (C) Total displacement of
fractured fragments. FIGURE 9
Cloud map of LOGLife-Repeats (A) Internal fixation system in three states and the tibia in the standing state (B) The tibia in the walking state (C) The
tibia in the running state. FIGURE 9
Cloud map of LOGLife-Repeats (A) Internal fixation system in three states and the tibia in the standing state (B) The tibia in the walking state (C) The
tibia in the running state. 09 Frontiers in Bioengineering and Biotechnology frontiersin.org Wei et al. 10.3389/fbioe.2023.1199944 the stability of the knee joint, which is the basis for the safety of
rehabilitative exercise training. restoration of the articular surface and rigid fixation to allow early
mobilization (Mueller et al., 2003). The displaced condyle must be
reduced for a good clinical outcome, the depressed plateau must
be elevated and adequately supported, and early rehabilitation
must be encouraged. In clinical practice, surgeons provide
conservative
recommendations
to
ensure
the
solidity
of
internal fixation by instructing patients to rest in bed. Still,
breaking the joint can bring about a loss of joint mobility. This study uses the finite element approach to examine three
conditions
typical
of
standing,
walking,
and
running
to
understand the peculiarities of the internal fixation system’s
biomechanical environment. The study provides a theoretical
foundation
for
the
viability
of
early
postoperative
rehabilitation by examining the biomechanical mechanism of
the interaction between internal fixation and bone. This study
makes recommendations for rehabilitation, emphasizing that
appropriate rehabilitation training is safe and helpful for
postoperative rehabilitation whereas intense activity is harmful
in the initial postoperative phase. A good combination and
attempt of fracture surgery and rehabilitation guidance using a
digital medicine approach is a worthy method to be promoted. Gao et al. (2022) used three axial loads of 500, 1000, and 1500 N
to evaluate the stress of the internal attachment fixation system, and
the stress value ranged from 48.92 to 155.71 MPa, similar to the
results of this study. 4 Discussion In a large
study of 51 patients with comminuted plateau fractures, nearly
half were given internal fixation and early partial weight-bearing,
with
no
differences
in
reoperation
rates,
post-traumatic
osteoarthritis, or pain when compared to those given other
external fixation braces and limited weight-bearing. Patients
who had early weight-bearing treatment returned to work more
frequently than those who had limited weight-bearing (Blauth
et al., 2001). Kazemi and Archdeacon (2012), Thewlis et al. (2017)
have demonstrated that weight bearing did not have a deleterious
impact on the outcome of tibial plateau fractures and may thus be
safe for postoperative care. Our study provides a detailed analysis
of the internal fixation system’s stability and fatigue characteristics
during
postoperative
rehabilitation
exercises,
evaluates
the
mechanical
characteristics
of
tibial
plateau
fractures
after
internal fixation, and makes recommendations for postoperative
weight-bearing rehabilitation. The implants should be developed to sustain the stress of the
broken bone and achieve the needed durability, in addition to
mechanical stability and biocompatibility. These implants are
subjected to repeated fluctuating loads during regular activities,
which can lead to implant fatigue failure. Several studies have
looked at implant fatigue failure (Kanchanomai et al., 2008;
Schüller et al., 2009; Gervais et al., 2016). These studies suggest
that unexpected implant fatigue failure may occur. As a result,
while proposing these implants for use in bone-damaged patients,
extra consideration should be given to their fatigue characteristics. This study showed no fatigue damage to the implant when
standing, walking, or running and that the implant’s strength
was enough for regular living activities. Under cyclic stress,
however, fatigue damage was found in the tibia. In the standing
condition, the bone was entirely safe under the strain. Fatigue
damage to the bone occurred after 18973.164 cycles of loading in
the walking mode. After 2605.564 cycles of loading in the running
state, fatigue damage to the bone was seen. The location where
fatigue occurs is the location of bone-screw contact. This This study produced stiffness values of 2041–2129 N/mm for
the model without internal fixation and 2,781–2,868 N/mm for
the model with internal fixation. Karunakar et al. (2002) reported
that the internal fixation model was 2,026–2,666 N/mm, which
was similar to the present study. Ion Carrera et al. (2016)
reported
an
internal
fixation
model
of
approximately
2,800–3,300 N/mm,
which
was
greater
than
the
present
experimental results. Although, the values reported by Ion
Carrera et al. 4 Discussion Many academics have studied the stability of the
internal fixation system, but none have examined the sites of the
stress distribution between the plate and the screw. The stress
distribution features of the specific steel plate and screw are
highlighted in detail in this experiment, and it is noted that the
front section of the medial condyle has the greatest stress
distribution. The tail of the screw attached to the steel plate has
the highest stress, which is consistent with the findings of other
investigations (Samsami et al., 2020). On the other hand, the
maximum stress of the plate and screw is substantially lower
than
the maximum yield
strength
of titanium
alloy. This
indicates that the strength of the internal fixation system meets
the normal activities of the body to some extent. Displacement monitoring sites A, B, E, and F, which are situated
on the top surface of the tibial plateau, are crucial for determining
the relative displacement of the fractured bone fragments. This
region is related to the distal femoral epiphysis and is covered in
ligaments and articular cartilage. As a result, it is critical that this
surface recovers optimally to restore joint stability. Independent
movement of bone fragments is highly detrimental to fracture
fixation. This
scenario
means
that
following
compressive
pressure, each bone fragment travels independently of the others. The posteromedial fractured bone fragments demonstrated a
smooth transition of displacement on the fracture boundary,
implying increased mechanical stability. Ferre et al. (2022)
measured the relative displacement of the distal medial tibial
condyle between 0.02 and 0.03 mm. They proposed that locking
compression plate fixation of the medial tibial condyle reduced the
independent movement of the fracture. In our study, the medial
condyle was divided into anterior and posterior parts. The relative
motion was 0.002–0.072 mm, which is extremely small and indicates
the presence of micromovements between the fracture blocks, but
does not affect the weight-bearing function of the bone and is within
the safe range. g
pp
y
p
In one trial, 32 patients with tibial plateau fractures were
treated with internal fixation with plates and either immediate
postoperative weight-bearing (n = 12) or delayed weight-bearing
(n = 20), with no fracture displacement in either group and
comparable complication rates (Haak et al., 2012). Frontiers in Bioengineering and Biotechnology frontiersin.org Funding This research was funded by the National Natural Science
Foundation
of
China
(No. 11972065),
Teaching
Reform
Innovation Project of Higher Education Institutions in Shanxi
Province (No. J20220847). 5 Conclusion The method of creating a 3D internal fixation system from CT
images, the segmentation of the bone model, and the modeling
process described in this study demonstrate the high accuracy and
usability of 3D virtual objects with mechanical properties. In the case
of complicated tibial plateau fractures, the postoperative internal
fixation system satisfies some of the body’s normal activities. It can
sustain all or part of the weight in a static condition at an early stage. When the load on the tibia exceeds the weight of the body multiple
times, the risk of bone deterioration increases significantly. As a
result, regular standing weight-bearing and limited amounts of
walking
weight-bearing
are
permitted
throughout
the
postoperative rehabilitation phase, but vigorous movements such
as running and leaping are discouraged. This study may not be
enough to issue complete recommendations for the postoperative
period, but it may be a good start to provide some ideas for that
process. In the future, we will need more clinical cases to validate this
process. Data availability statement experiment did not consider the bone repair factor, which means
that in the true case, bone fatigue should appear later than in the
experiment, but to some extent, it means that when the stress on
the tibia exceeds its body weight numerous times, the likelihood of
bone
disintegration
increases
significantly. The
choice
of
rehabilitation training intensity affects bone repair, and the
results of this study suggest that excessive loading can cause
bone
destruction,
suggesting
that
the
rehabilitator
should
choose an appropriate training level. As a result, regular
standing weight-bearing and a modest amount of walking
weight-bearing
are
allowed
throughout
the
postoperative
rehabilitation period, although the intense activity is discouraged. Limitations of this study: firstly, bone heterogeneity and
biological activity were not considered in the local calculation of
bone stresses because bone tissue has a high capacity for repair and
adaptation, which may be critical and needs to be investigated. Second, only the effect of axial loading was considered in this study,
and shear forces from torsion and bending moment were not
considered. Third, the model was simplified by ignoring the
effects of the meniscus, cartilage, muscles, and ligaments, as well
as by simplifying the threads. All these factors can nonetheless
constitute
a
significant
contribution
to
influencing
the
biomechanical model, and their contribution has to be studied. This study, combined with the calculation of patient-specific model
geometry should be part of the future assessment of immediate
bearing capacity after fracture reduction. For this purpose,
population-based customization of FEM is both feasible and
promising. experiment did not consider the bone repair factor, which means
that in the true case, bone fatigue should appear later than in the
experiment, but to some extent, it means that when the stress on
the tibia exceeds its body weight numerous times, the likelihood of
bone
disintegration
increases
significantly. The
choice
of
rehabilitation training intensity affects bone repair, and the
results of this study suggest that excessive loading can cause
bone
destruction,
suggesting
that
the
rehabilitator
should
choose an appropriate training level. As a result, regular
standing weight-bearing and a modest amount of walking
weight-bearing
are
allowed
throughout
the
postoperative
rehabilitation period, although the intense activity is discouraged. The original contributions presented in the study are included in
the article/supplementary material, further inquiries can be directed
to the corresponding authors. Ethics statement The studies involving human participants were reviewed and
approved by the Science and Ethics Committee of the School of
Biological Science and Medical Engineering at Beihang University
(protocol code: BM20220087). The patients/participants provided
their written informed consent to participate in this study. Limitations of this study: firstly, bone heterogeneity and
biological activity were not considered in the local calculation of
bone stresses because bone tissue has a high capacity for repair and
adaptation, which may be critical and needs to be investigated. Second, only the effect of axial loading was considered in this study,
and shear forces from torsion and bending moment were not
considered. Third, the model was simplified by ignoring the
effects of the meniscus, cartilage, muscles, and ligaments, as well
as by simplifying the threads. All these factors can nonetheless
constitute
a
significant
contribution
to
influencing
the
biomechanical model, and their contribution has to be studied. This study, combined with the calculation of patient-specific model
geometry should be part of the future assessment of immediate
bearing capacity after fracture reduction. For this purpose,
population-based customization of FEM is both feasible and
promising. Publisher’s note All claims expressed in this article are solely those of the authors
and do not necessarily represent those of their affiliated organizations,
or those of the publisher, the editors and the reviewers. Any product
that may be evaluated in this article, or claim that may be made by its
manufacturer, is not guaranteed or endorsed by the publisher. Author contributions Conceptualization, GW and YX; methodology, YX; software, YX
and YL; validation, TC and YL; investigation, FT; resources, YX and
YH;
data
curation,
GW
and
RW;
writing—original
draft
preparation, GW; writing-review and editing, TC, HW, and XN;
visualization, XN; supervision, JZ and XL; project administration,
FT and HW; funding acquisition, GW and FT. All authors
contributed to the article and approved the submitted version. Conflict of interest The authors declare that the research was conducted in the
absence of any commercial or financial relationships that could be
construed as a potential conflict of interest. 4 Discussion (2016) are greater than the results of the present
study, the results have the same order of magnitude. One reason
may
be
that
the
experimental
research
focused
on
this
comparison is limited. Another reason is that the types of
fixation explored in their experiments differed from those
used in the current study. It can be seen that the stiffness
value significantly increases after implantation of the internal
fixation system. Internal fixation implantation greatly improves 10 frontiersin.org Wei et al. 10.3389/fbioe.2023.1199944 Frontiers in Bioengineering and Biotechnology Barei, D. P., O’Mara, T. J., Taitsman, L. A., Dunbar, R. P., and Nork, S. E. (2008).
Frequency and fracture morphology of the posteromedial fragment in bicondylar tibial plateau fracture patterns. J. Orthop. trauma 22 (3), 176–182. doi:10.1097/BOT.
0b013e318169ef08
Belaid, D., Vendeuvre, T., Bouchoucha, A., Brémand, F., Brèque, C., Rigoard, P., et al.
(2018). Utility of cement injection to stabilize split-depression tibial plateau fracture by
minimally invasive methods: A finite element analysis. Clin. Biomech. 56 (1), 27–35.
doi:10.1016/j.clinbiomech.2018.05.002 Amini, M., Nazemi, S. M., Lanovaz, J. L., Kontulainen, S., Masri, B. A., Wilson, D. R.,
et al. (2015). Individual and combined effects of OA-related subchondral bone
alterations on proximal tibial surface stiffness: A parametric finite element modeling
study. Med. Eng. Phys. 37 (8), 783–791. doi:10.1016/j.medengphy.2015.05.011 frontiersin.org Amini, M., Nazemi, S. M., Lanovaz, J. L., Kontulainen, S., Masri, B. A., Wilson, D. R.,
et al. (2015). Individual and combined effects of OA-related subchondral bone
alterations on proximal tibial surface stiffness: A parametric finite element modeling
study. Med. Eng. Phys. 37 (8), 783–791. doi:10.1016/j.medengphy.2015.05.011
Barei, D. P., O’Mara, T. J., Taitsman, L. A., Dunbar, R. P., and Nork, S. E. (2008).
Frequency and fracture morphology of the posteromedial fragment in bicondylar tibial Belaid, D., Vendeuvre, T., Bouchoucha, A., Brémand, F., Brèque, C., Rigoard, P., et al.
(2018). Utility of cement injection to stabilize split-depression tibial plateau fracture by
minimally invasive methods: A finite element analysis. Clin. Biomech. 56 (1), 27–35.
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s13018-019-1269-8 Bucholz, R. W., Heckman, J. D., Tornetta, P., McQueen, M. M., and Ricci, W. M. (2010). Rockwood and Green’s fractures in adults. Berlin, Germany: Springer, 195–226. Lee, A. K., Cooper, S. A., and Collinge, C. (2018). Bicondylar tibial plateau fractures: A
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unilateral locked plating. Kaohsiung J. Med. Sci. 29 (10), 568–577. doi:10.1016/j.kjms. 2013.01.006 Carrera, I., Gelber, P. E., Chary, G., González-Ballester, M. A., Monllau, J. C., and
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A finite element analysis. Front. Bioeng. Biotechnol. 1637, 973389. doi:10.3389/fbioe. 2022.973389 Huang, X., Zhi, Z., Yu, B., and Chen, F. (2015). Stress and stability of plate-screw
fixation and screw fixation in the treatment of schatzker type IV medial tibial plateau
fracture: A comparative finite element study. J. Orthop. Surg. Res. 10 (1), 182–189. doi:10.1186/s13018-015-0325-2 Zhao, D., Banks, S. A., Mitchell, K. H., D’Lima, D. D., Colwell, C. W., and Fregly, B. J. (2007). Correlation between the knee adduction torque and medial contact force for a
variety of gait patterns. J. Orthop. Res. 25 (6), 789–797. doi:10.1002/jor.20379 Kanchanomai, C., Phiphobmongkol, V., and Muanjan, P. (2008). Fatigue failure of an
orthopedic implant–A locking compression plate. Eng. Fail. Anal. 15 (5), 521–530. doi:10.1016/j.engfailanal.2007.04.001 12 Frontiers in Bioengineering and Biotechnology frontiersin.org
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JOURNAL OF CLINICAL MEDICINE OF KAZAKHSTAN Қысқа хабарлама / Краткое сообщение / Short Communication
DOI:10.23950/1812-2892-JCMK-00785 Қысқа хабарлама / Краткое сообщение / Short Communication
DOI:10.23950/1812-2892-JC CОЗЫЛМАЛЫ ПАНКРЕАТИТТІҢ ҚАНТ ДИАБЕТІ ҚАУІПІМЕН БАЙЛАНЫСЫ
Өмірзақ Е Е Толеуова А С Бейбітов Қ Б Өмірзақ Е.Е., Толеуова А.С., Бейбітов Қ.Б. №1 Ішкі аурулар бөлімшесі, Қарағанды медицина университеті, Қарағанды қаласы, Қазақстан Республикасы р
қ
,
у
,
Қ
№1 Ішкі аурулар бөлімшесі, Қарағанды медицина университеті, Қарағанды қаласы, Қазақстан Республикасы р
қ
,
у
,
Қ
шкі аурулар бөлімшесі, Қарағанды медицина университеті, Қарағанды қаласы, Қазақстан Республикасы Yeldos Omirzak, Aliya Toleuova, Kairat Beibitov No1 Department of Internal Diseases, Karaganda
Medical University, Karaganda city, Republic of
Kazakhstan Journal of Clinical Medicine of Kazakhstan: Volume 4, Number 58, Issue 2020 Abstract Introduction: Pancreatogenic diabetes mellitus affects the life quality and
it is an independent risk factor for mortality at chronic pancreatitis. In practice,
pancreatogenic diabetes mellitus is rarely diagnosed, and patients are incorrectly
diagnosed with diabetes mellitus type 1 or type 2. g
y
y
Objective: To determine the association of chronic pancreatitis with risk of
diabetes mellitus developing. Received: 2020-05-26
Accepted: 2020-06-04
UDC: 618.1
J Clin Med Kaz 2020; 4(58):73-75
Corresponding Author: Aliya Toleuova, No1
Department of Internal Diseases, Karaganda
Medical University. Address: 40, Gogol Street,
100008, Karaganda city, Republic of Kazakhstan. Tel.: 87771346548
E-mail: A.Toleuova@kgmu.kz Received: 2020-05-26
Accepted: 2020-06-04
UDC: 618.1
J Clin Med Kaz 2020; 4(58):73-75
C
di
A th
Ali
T l
N 1 Received: 2020-05-26
Accepted: 2020-06-04
UDC: 618.1 Material and methods: Case-control study design, retrospective studies. The
study was conducted on the base of the Municipal hospital №1 of Karaganda. Case
histories of 23 patients, their outpatient records and discharges from hospital were
studied. The patients were divided into 2 groups during the study: group 1 – the
patients with chronic pancreatitis; group 2 – the patients with chronic pancreatitis and
diabetes mellitus type 2. Received: 2020-05-26
Accepted: 2020-06-04
UDC: 618.1 J Clin Med Kaz 2020; 4(58):73-75
Corresponding Author: Aliya Toleuova, No1
Department of Internal Diseases, Karaganda
Medical University. Address: 40, Gogol Street,
100008, Karaganda city, Republic of Kazakhstan. Tel.: 87771346548 Results and discussion: The study found that the number of patients under 60
years of age with chronic pancreatitis and diabetes mellitus are 4 times higher than the
number of patients over 60 years of age. An increase in blood sugar among patients
with chronic pancreatitis was associated with an exacerbation of the underlying
disease. Predictors of diabetes mellitus in patients with chronic pancreatitis were
female gender (OR=1,179) and high glucose level (OR=0,667). High body mass index
did not affect an increase in glucose levels in patients with chronic pancreatitis. E-mail: A.Toleuova@kgmu.kz Key words: diabetes mellitus, chronic pancreatitis, glucose Association of chronic pancreatitis with risk
of diabetes mellitus development Yeldos Omirzak, Aliya Toleuova, Kairat Beibitov Results The average age of the patients was 61.3 years (Figure
1). The gender composition included 6 (26.1%) men and 17
(73.9%) women. Figure 1 - The age of the patients Figure 1 - The age of the patients Figure 1 - The age of the patients Syndrome of endocrine disorders at chronic pancreatitis
manifests in 2 opposite versions: hyperinsulinism and diabetes
mellitus. Hyperinsulinism occurs more often in the early
stages of chronic pancreatitis and it is manifested by attacks of
hypoglycemic conditions, while the level of insulin is normal
or moderately elevated, the level of glucagon is within normal
limits. Hypoinsulinemia and hypoglucagonemia develop with
the progression of the disease, which is associated with a
decrease of islet cells mass [3]. In these cases, the blood glucose
level usually normalizes at the exacerbation of pancreatitis
subsides. Identifying of diabetes mellitus symptoms can be
difficult. In some cases, it is associated with a decrease in the
need for endogenous insulin due to a reduction in the volume
and calorie content of food in case of pain or strict dietary, as
well as a violation of nutrient absorption against the background
of exocrine pancreatic insufficiency. The degree of impaired
carbohydrate metabolism in patients with chronic pancreatitis
varies widely: from impaired glucose tolerance to insulin-
dependent diabetes mellitus. Diabetes mellitus can also form at
the beginning of clinical manifestation of chronic pancreatitis,
but more often a persistent violation of carbohydrate metabolism
occurs several years after the onset of the disease [3]. The diagnosis of chronic pancreatitis and diabetes
mellitus was established according to clinical data, biochemical
parameters, and results of endoscopic ultrasound scanning. Fluctuations in glucose levels were assessed according to the
patient's diaries, according to records in outpatient medical
records within 30 days after discharge and written-out epicrisis
from hospitals of subsequent hospitalizations. The body mass
index was determined in accordance with the following formula:
BMI = weight (kg) / height2 (m). The study revealed that the number of patients under 60
years of age with chronic pancreatitis and diabetes mellitus was
4 times higher than the number of patients over 60 years of age. The objective was to determine the association of chronic
pancreatitis with risk of diabetes mellitus developing. Journal of Clinical Medicine of Kazakhstan: Volume 4, Number 58, Issue 2020
Figure 2 - Fluctuations in blood sugar Figure 2 - Fluctuations in blood sugar РЕЗЮМЕ Введение: Панкреатогенный сахарный диабет ухудшает качество жизни и является самостоятельным фактором риска смертности
при хроническом панкреатите. На практике панкреатогенный сахарный диабет диагностируют редко, а пациентам ставят неправильный
диагноз - сахарный диабет первого или второго типа. Целью исследования является определение связи хронического панкреатита с риском
развития сахарного диабета. Материалы и методы: Дизайн исследования случай-контроль, ретроспективные исследования. Исследование проводилось на базе
«Городской больницы №1» г. Караганды. Были изучены истории болезни, амбулаторные карты и выписки из стационаров 23 больных. В
ходе исследования, больные были разделены на 2 группы: 1 группа - больные хроническим панкреатитом; 2 группа - больные хроническим
панкреатитом и сахарным диабетом 2 типа. Результаты и обсуждение: В ходе проведенного исследовния было выявлено, что больных до 60 лет, страдающих хроническим
панкреатитом и сахарным диабетом в 4 раза больше, чем среди лиц старше 60 лет. Повышение уровня сахара крови среди больных
хроническим панкреатитом было связано с обострением основного заболевания. Предикторами развития сахарного диабета у больных
хроническим панкреатитом явились: женский пол (OR=1,179) и высокий уровень глюкозы (OR=0,667). При этом, увеличение индекса массы
тела не влияло на повышение уровня глюкозы у пациентов с хроническим панкреатитом. Ключевые слова: сахарный диабет хронический панкреатит глюкоза Ключевые слова: сахарный диабет, хронический панкреатит, глюкоза Introduction age of 38 and over 80 years old, the patients with only diabetes
mellitus type 1 and type 2. The material was processed using the
statistical analysis software package Statistica 8. In the world, one person dies due to diabetes mellitus
every 6 seconds. There are nearly 300 000 people with diabetes
mellitus in Kazakhstan. According to different authors, the
development of diabetes mellitus at chronic pancreatitis varies
from 10 to 90%. Chronic pancreatitis accounts for 76% among
pancreatic diseases, accompanied by diabetes development [1]. Pancreatogenic diabetes mellitus affects the life quality and it is
an independent risk factor for mortality at chronic pancreatitis. In practice, pancreatogenic diabetes mellitus is rarely diagnosed,
and patients are incorrectly diagnosed with diabetes mellitus
type 1 or type 2 [2]. СВЯЗЬ ХРОНИЧЕСКОГО ПАНКРЕАТИТА С РИСКОМ РАЗВИТИЯ САХАРНОГО ДИАБЕТА
Омирзак Е.Е., Толеуова А.С., Бейбитов К.Б. СВЯЗЬ ХРОНИЧЕСКОГО ПАНКРЕАТИТА С РИСКОМ РАЗВИТИЯ САХАРНОГО ДИАБЕТА
Омирзак Е.Е., Толеуова А.С., Бейбитов К.Б. р
,
у
,
Кафедра внутренних болезней №1, Медицинский университет Караганды, город Караганда, Республика Казахстан ТҰЖЫРЫМДАМА Д
Кіріспе: Панкреатогенді қант диабеті өмір сүру сапасына әсер етеді және созылмалы панкреатит кезіндегі өлім-жітімнің тәуелсіз
факторы болып табылады. Іс жүзінде, панкреатогенді қант диабеті диагнозы сирек қойылады, ал науқастарға дұрыс емес диагноз - 1 немесе
2 типті қант диабеті қойылады. қ
д
қ
д
Мақсаты: Созылмалы панкреатиттің қант диабетін дамыту қаупімен байланысын анықтау. М
і
З
і і
й б
і З
Қ Мақсаты: Созылмалы панкреатиттің қант диабетін дамыту қаупімен байланысын анықтау. М
і
З
і і
й б
і З
Қ
№1 Материалдар мен тәсілдер: Зерттеу тәсілі - жағдай-бақылау, ретроспективті. Зерттеу Қарағанды қаласының «№1 қалалық ауруханасы»
негізінде жүргізілді. 23 науқастың ауру тарихтары, амбулаториялық карталар және ауруханадан шығарылу қортындылары зерттелді. Зерттеу
барысында пациенттер 2 топқа бөлінді: 1-топ - созылмалы панкреатитпен ауыратын науқастар; 2-топ - созылмалы панкреатит және 2 типті
қант диабеті бар науқастар. Нәтижелер мен пікірталас: Зерттеу барысында созылмалы панкреатит пен қант диабетімен ауыратын 60 жасқа дейінгі науқастар
60 жастан асқан адамдарға қарағанда 4 есе көп екендігі анықталды. Созылмалы панкреатитпен ауыратын науқастарда қандағы қанттың
жоғарылауы негізгі аурудың өршуіне байланысты болды. Созылмалы панкреатитпен ауыратын науқастардағы қант диабетінің болжамдары
әйелдер жынысы (OR=1,179) және глюкозаның жоғары деңгейі (OR=0,667) болды. Сонымен қатар, дене массасының индексі жоғарылауы
созылмалы панкреатитпен ауыратын науқастарда глюкоза деңгейінің жоғарылауына әсер етпеді. Н
і
і
б
і у
у
у
Негізгі сөздер: қант диабеті, созылмалы панкреатит, глюкоза Негізгі сөздер: қант диабеті, созылмалы панкреатит, глюкоза Journal of Clinical Medicine of Kazakhstan: Volume 4, Number 58, Issue 2020 73 Material and methods Case-control study design, retrospective studies. The study
was conducted on the base of the Municipal hospital №1 of
Karaganda. Case histories of 23 patients, their outpatient records
and discharges from hospital were studied. The patients were
divided into 2 groups during the study: group 1 – the patients
with chronic pancreatitis; group 2 – the patients with chronic
pancreatitis and diabetes mellitus type 2. Inclusion criteria:
the patients with chronic pancreatitis at the age from 38 to 80
years. Exclusion criteria: comorbid patients, patients under the Journal of Clinical Medicine of Kazakhstan: Volume 4, Number 58, Issue 2020 74 The results of blood sugar examination in patients with
chronic pancreatitis and diabetes mellitus (Figure 2) showed the
fluctuations in glucose levels ranged from 3.3 mmol/L to 23.6
mmol/L. At the same time, these fluctuations ranged from 3.1
mmol/L to 11.3 mmol/L in patients with chronic pancreatitis. An increase in blood sugar in patients with chronic pancreatitis
was associated with an exacerbation of the underlying disease. Perhaps, the extension of the inflammatory process to the
endocrine cells of the pancreas could cause the development of
diabetes mellitus in the future. Table 1 presents the data on the impact of the clinical
data of patients with chronic pancreatitis on the risk of diabetes
development. Table 1
Assessment of the impact of clinical data in patients with chronic pancreatitis on the risk of diabetes
development
Risk factor
Odds ratio (OR)
Confidence interval (95%)
Male gender
0,643
[0.106-3.913]
Female gender
1,179
[0.321-4.326]
Age
0,589
[0.183-1.900]
Glucose level
0,667
[0.128-3.470] sment of the impact of clinical data in patients with chronic pancreatitis on the risk of diabetes
opment Assessment of the impact of clinical data in patients with chronic pancreatitis on the risk of diabetes
development According to the analysis of anamnestic data, it was
revealed that the predictors of diabetes development in patients
with chronic pancreatitis were female gender (OR=1.179) and
high glucose level (OR=0.667). increase in blood sugar among patients with chronic pancreatitis
was associated with an exacerbation of the underlying disease. Predictors of diabetes mellitus in patients with chronic
pancreatitis were female gender (OR=1,179) and high glucose
level (OR=0,667). High BMI did not affect an increase in
glucose levels in patients with chronic pancreatitis. The body mass index (Figure 3) in patients showed that
high BMI did not affect an increase in glucose level in patients
with chronic pancreatitis. Material and methods Accordingly, the metabolic syndrome
at chronic pancreatitis is not the cause of a decrease in glucose
tolerance in this case. Taking into account the results of this study, it can be
assumed that the inflammatory syndrome developing during
exacerbation of chronic pancreatitis affects not only exocrine,
but also endocrine pancreatic function. It can also be assumed
that the metabolic syndrome accompanying a high body mass
index and the cause of insulin resistance in diabetes mellitus
type 2 is not the cause of an increase in blood sugar in chronic
pancreatitis. The greater susceptibility of women to the
development of chronic pancreatitis is possibly associated with
pregnancy, compression of the bile ducts of the pregnant uterus. Figure 3 - The body mass index in patients Figure 3 - The body mass index in patients Figure 3 - The body mass index in patients Thus, it is necessary to more carefully approach the
diagnosis and treatment of patients with chronic pancreatitis. It
is necessary to study the levels of insulin and glucagon along
with the study of exocrine pancreatic function. In addition,
gender and age must be considered when referring to research. Disclosures: There is no conflict of interest for all authors. Discussion The study found that the number of patients under 60 years
of age with chronic pancreatitis and diabetes mellitus are 4 times
higher than the number of patients over 60 years of age. An 2.
L.A. Rujatkina, D.S. Rujatkin. Pankreatogennyj saharnyj diabet/saharnyj diabet tipa 3S (Pancreatogenic diabetes mellitus / type
3C diabetes mellitus) [in Russian]. Saharnyj diabet. 2018; 4:28-35. 3.
M. V. Lobanova. Saharnyj diabet na fone pankreatita (Diabetes mellitus on the background of pancreatitis) [in Russian]. Sluchaj
iz praktiki. 2017; 3:123-130. 1.
Tishkovskij S.V., Nikonova L.V., Doroshkevich I.P. Sovremennye podhody k lecheniju pankreatogennogo saharnogo diabeta
(Modern approaches to the treatment of pancreatogenic diabetes mellitus) [in Russian]. Zhurnal Grodnenskogo gosudarstvennogo
medicinskogo universiteta. 2015; 1:14-18. How to cite this article: Yeldos Omirzak, Aliya Toleuova, Kairat Beibitov. Association of chronic pancreatitis with
risk of diabetes mellitus development. J Clin Med Kaz. 2020; 4(58):73-75 References e e e ces
1. Tishkovskij S.V., Nikonova L.V., Doroshkevich I.P. Sovremennye podhody k lecheniju pankreatogennogo saharnogo diabeta
(Modern approaches to the treatment of pancreatogenic diabetes mellitus) [in Russian]. Zhurnal Grodnenskogo gosudarstvennogo
medicinskogo universiteta. 2015; 1:14-18. 1. Tishkovskij S.V., Nikonova L.V., Doroshkevich I.P. Sovremennye podhody k lecheniju pankreatogennogo saharnogo diabeta
(Modern approaches to the treatment of pancreatogenic diabetes mellitus) [in Russian]. Zhurnal Grodnenskogo gosudarstvennogo
medicinskogo universiteta. 2015; 1:14-18. 1. Tishkovskij S.V., Nikonova L.V., Doroshkevich I.P. Sovremennye podhody k lecheniju pankreatogennogo saharnogo diabeta
(Modern approaches to the treatment of pancreatogenic diabetes mellitus) [in Russian]. Zhurnal Grodnenskogo gosudarstvennogo
medicinskogo universiteta. 2015; 1:14-18. g
2. L.A. Rujatkina, D.S. Rujatkin. Pankreatogennyj saharnyj diabet/saharnyj diabet tipa 3S (Pancreatogenic diabetes mellitus / type
3C diabetes mellitus) [in Russian]. Saharnyj diabet. 2018; 4:28-35. g
2. L.A. Rujatkina, D.S. Rujatkin. Pankreatogennyj saharnyj diabet/saharnyj diabet tipa 3S (Pancreatogenic diabetes mellitus / type
3C diabetes mellitus) [in Russian]. Saharnyj diabet. 2018; 4:28-35. 2. L.A. Rujatkina, D.S. Rujatkin. Pankreatogennyj saharnyj diabet/saharnyj diabet tipa 3S (Pancreatogenic diabetes mellitus / type
3C diabetes mellitus) [in Russian]. Saharnyj diabet. 2018; 4:28-35. 3. M. V. Lobanova. Saharnyj diabet na fone pankreatita (Diabetes mellitus on the background of pancreatitis) [in Russian]. Sluchaj
iz praktiki. 2017; 3:123-130. 3. M. V. Lobanova. Saharnyj diabet na fone pankreatita (Diabetes mellitus on the background of pancreatitis) [in Russian]. Sluchaj
iz praktiki. 2017; 3:123-130. 3. M. V. Lobanova. Saharnyj diabet na fone pankreatita (Diabetes mellitus on the background of pancreatitis) [in Russian]. Sluchaj
iz praktiki. 2017; 3:123-130. How to cite this article: Yeldos Omirzak, Aliya Toleuova, Kairat Beibitov. Association of chronic pancreatitis with
risk of diabetes mellitus development. J Clin Med Kaz. 2020; 4(58):73-75 How to cite this article: Yeldos Omirzak, Aliya Toleuova, Kairat Beibitov. Association of chronic pancreatitis with
risk of diabetes mellitus development. J Clin Med Kaz. 2020; 4(58):73-75 Journal of Clinical Medicine of Kazakhstan: Volume 4, Number 58, Issue 2020 75
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Brewer’s Spent Dry Yeast Modulates Immunity in Gilthead Sea Bream (Sparus aurata)
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Frontiers in marine science
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Brewer’s Spent Dry Yeast Modulates
Immunity in Gilthead Sea Bream
(Sparus aurata) The inclusion of
SDY at 30% in the experimental diet (40% crude protein, 16% crude lipid) resulted
in a reduction in FM (10%) and PP (31.4%) contents. Using RNA-seq, a total of 19.4
million raw reads per library were obtained, from whose 99.8% of the sequenced data
were retained. The alignment efficiency of uniquely mapped reads was 90.3, 89.5,
and 89.8% for head kidney, liver, and anterior-mid intestine, respectively. In total, 218
differentially expressed genes (DEGs) were identified among all tissues, out of which,
141 were up- and 77 down-regluated. The enrichment analysis of DEGs revealed that
SDY had a modulatory effect on several processes related to host’s immunity, oxygen’s
carrier capacity, steroidogenesis, metabolism, and digestion. It is of special relevance
the immunomodulatory effects of the tested ingredient as data from RNA-seq showed
from the three target tissues analyzed. These results indicated that this ingredient in
addition to being considered as a sustainable raw material for replacing conventional
protein sources in aquafeeds may also be considered as a functional ingredient due to
its content in β-glucans. The overall results of this study coupled with previous nutritional
studies on this ingredient indicated the suitability of brewery’s by-products like SDY
in aquafeeds for carnivorous species like gilthead seabream, as well as supporting a
circular bioeconomy model that reuses, recovers, and recycles resources instead of
producing wastes. Citation: Konstantinidis I, Firmino JP,
Ruiz A, Iñarra B, San Martin D,
Estévez A, Fernandes JMO and
Gisbert E (2022) Brewer’s Spent Dry
Yeast Modulates Immunity in Gilthead
Sea Bream (Sparus aurata). Front. Mar. Sci. 9:857592. doi: 10.3389/fmars.2022.857592 Brewer’s Spent Dry Yeast Modulates
Immunity in Gilthead Sea Bream
(Sparus aurata) Ioannis Konstantinidis1, Joana P. Firmino2, Alberto Ruiz2, Bruno Iñarra3,
David San Martin3, Alicia Estévez2, Jorge M. O. Fernandes1 and Enric Gisbert2* 1 Faculty of Biosciences and Aquaculture, Nord University, Bodø, Norway, 2 Aquaculture Program, Institut de Recerca i
Tecnologia Agroalimentàries (IRTA), Centre de la Ràpita (IRTA-SCR), La Ràpita, Spain, 3 AZTI, Food Research, Basque
Research and Technology Alliance (BRTA), Bizkaia, Spain In this study, we evaluated the replacement of dietary protein sources like fishmeal
(FM) and plant proteins (PP) by Brewer’s spent dry yeast (SDY) on the transcriptomic
response (RNA-seq, NextSeq500 platform Illumina) in the liver, anterior-mid intestine,
and head kidney in juveniles of gilthead sea bream (Sparus aurata). The inclusion of
SDY at 30% in the experimental diet (40% crude protein, 16% crude lipid) resulted
in a reduction in FM (10%) and PP (31.4%) contents. Using RNA-seq, a total of 19.4
million raw reads per library were obtained, from whose 99.8% of the sequenced data
were retained. The alignment efficiency of uniquely mapped reads was 90.3, 89.5,
and 89.8% for head kidney, liver, and anterior-mid intestine, respectively. In total, 218
differentially expressed genes (DEGs) were identified among all tissues, out of which,
141 were up- and 77 down-regluated. The enrichment analysis of DEGs revealed that
SDY had a modulatory effect on several processes related to host’s immunity, oxygen’s
carrier capacity, steroidogenesis, metabolism, and digestion. It is of special relevance
the immunomodulatory effects of the tested ingredient as data from RNA-seq showed
from the three target tissues analyzed. These results indicated that this ingredient in
addition to being considered as a sustainable raw material for replacing conventional
protein sources in aquafeeds may also be considered as a functional ingredient due to
its content in β-glucans. The overall results of this study coupled with previous nutritional
studies on this ingredient indicated the suitability of brewery’s by-products like SDY
in aquafeeds for carnivorous species like gilthead seabream, as well as supporting a
circular bioeconomy model that reuses, recovers, and recycles resources instead of
producing wastes. In this study, we evaluated the replacement of dietary protein sources like fishmeal
(FM) and plant proteins (PP) by Brewer’s spent dry yeast (SDY) on the transcriptomic
response (RNA-seq, NextSeq500 platform Illumina) in the liver, anterior-mid intestine,
and head kidney in juveniles of gilthead sea bream (Sparus aurata). Keywords: gilthead sea bream, functional feed, alternative dietary protein, RNA-seq, immunity, circular feeds,
aquafeed Edited by:
Ikram Belghit,
Norwegian Institute of Marine
Research (IMR), Norway Reviewed by:
Gonzalo Martinez-Rodriguez,
Department of Marine Biology
and Aquacuture, Institute of Marine
Sciences of Andalusia (CSIC), Spain
Yulema Valero Valero,
University of Murcia, Spain *Correspondence:
Enric Gisbert
enric.gisbert@irta.es *Correspondence:
Enric Gisbert
enric.gisbert@irta.es Specialty section:
This article was submitted to
Marine Fisheries, Aquaculture
and Living Resources,
a section of the journal
Frontiers in Marine Science Specialty section:
This article was submitted to
Marine Fisheries, Aquaculture
and Living Resources,
a section of the journal
Frontiers in Marine Science Received: 18 January 2022
Accepted: 28 February 2022
Published: 07 April 2022 Keywords: gilthead sea bream, functional feed, alternative dietary protein, RNA-seq, immunity, circular feeds,
aquafeed ORIGINAL RESEARCH
published: 07 April 2022
doi: 10.3389/fmars.2022.857592 ORIGINAL RESEARCH
published: 07 April 2022
doi: 10.3389/fmars.2022.857592 INTRODUCTION Although it is generally accepted that aquaculture can relieve pressure on wild fisheries by
producing alternative fish for human consumption, the production of those fish often requires
inputs from wild fish stocks in the form of feed ingredients. The paradox stems from the diversity
of farmed species and husbandry systems (Stevens et al., 2018). Regardless of the remarkable April 2022 | Volume 9 | Article 857592 Frontiers in Marine Science | www.frontiersin.org Circularity in Gilthead Seabream Feeds Konstantinidis et al. advances in aquafeed formulation, most feeds used in aquaculture
still rely on fishmeal (FM) and fish oil derived from fisheries. However, there is increasing pressure on these raw materials
and conventional alternative plant protein (PP) sources due to
growing demands from a variety of users. For instance, the use
of soy protein and other plant products in aquaculture reduces
their availability for direct human consumption (Ytrestøyl
et al., 2015). Under this scenario, the sustainability and
competitiveness of aquaculture may depend on their replacement
with alternative ingredients ranging from plant-based meal and
plant oil to terrestrial by-products and microbial ingredients
(Naylor et al., 2021). Thus, the mantra about the economic and
environmental sustainability of the aquaculture industry based
on the identification and use of alternative raw ingredients to the
classical ones is still valid. in lipid storage and digestive and detoxification functions
(Bruslé and González, 1996). Finally, the intestine was chosen
due to its involvement in important physiological digestive
functions, being the primary site of food digestion and nutrient
uptake, whereas it is also reputed for providing support to gut
microbiota and maintaining an effective barrier defense against
pathogens and tolerance toward dietary antigens (Salinas and
Parra, 2015; Wang et al., 2018). Thus, a proper understanding
of the effects of this new alternative ingredient at systemic and
local levels as well as its mode of action upon the selected
target tissues would support its proper use as an ingredient for
sustainable aquafeeds. MATERIALS AND METHODS Microbial
products,
particularly
yeast,
are
potential
sustainable ingredients in aquafeeds due to the ability to convert
low-value non-food biomass from forestry, and agricultural and
food technology industries into high-value feed ingredients with
limited dependence on arable land, water, and changing climatic
conditions (Øverland and Skrede, 2017; Agboola et al., 2021). Among them, Brewer’s spent yeast (SDY), a by-product of the
brewing industry, is a rich source of B vitamins, proteins (45–
60%) and other compounds like β-glucans and mannoproteins
(Jaeger et al., 2020; Agboola et al., 2021). Therefore, BSY is
mainly utilized in animal feed formulations as a low-cost source
of protein (Agboola et al., 2021; Estévez et al., 2021; Nazzaro
et al., 2021) even though it may be also used as an ingredient
in functional feeds due to its potential health benefits to the
host (Jaeger et al., 2020). Under this scenario, Estévez et al. (2021) have shown that the replacement of FM and plant protein
sources by SDY in the feed of a carnivorous marine teleost fish
species, the gilthead sea bream (Sparus aurata), resulted in a
better growth, as well as a higher protein digestibility and feed
efficiency indexes than in their congeners fed a reference diet. The above-mentioned results showed that this by-product from
the brewing industry is a promising feed ingredient in aquafeeds,
especially when considering its use in terms of an alternative
plant protein source, but also when considering its associated
sustainable and environmental benefits. Those benefits can be
achieved by means of a circular economy strategy, which helps in
providing added value to the brewing industry through wastes’
reuse and, consequently, reducing the industry carbon footprint
(Kerby and Vriesekoop, 2017; Jaeger et al., 2020). Experimental Diets Two experimental diets (Table 1) were designed in order to
evaluate the impact of brewer’s SDY on gilthead sea bream growth
and feed efficiency performance (Estévez et al., 2021), as well as
evaluate global transcriptome changes in selected tissues (head
kidney, anterior-mid intestine, and liver). A control diet was
formulated containing 15% of FM and 46.7% of a blend of PP
sources, whereas lipids were mainly provided by fish oil (7.9%),
soybean oil (6.7%), and lecithin (2.0%). The inclusion of Brewer’s
SDY in the experimental diet resulted in a reduction in FM
(10%) and PP (31.4%) contents (Table 1). This alternative protein
source and level of dietary inclusion were selected according to
previous results (Estévez et al., 2021). Experimental diets (pellet size: 4 mm) were manufactured by
IRTA (Mas de Bover, El Morell, Spain). The main ingredients
were ground in a hammer mill (Rosal VRE-40, Barcelona, Spain). TABLE 1 | List of ingredients and proximal composition of experimental diets used
for evaluating the inclusion of Brewer’s spent dry yeast (SDY) in compound diets
for gilthead sea bream (Sparus aurata). Ingredient (%)
Control diet
SDY diet
Fishmeal (Super prime 70 LT)
15.00
10.00
Wheat gluten
25.00
17.84
Soybean meal (Soycomeal P)
16.70
8.54
Soybean meal low protein
5.00
5.00
Wheat starch
19.44
11.26
Fish oil
7.92
7.31
Soybean oil
6.72
6.40
Soybean lecithin
2.00
2.00
Phosphate
1.09
0.92
DL-methionine
0.07
0.07
Choline
0.23
0.26
Lysine HCl
0.43
-
Vitamin premix
0.10
0.10
Mineral mix
0.10
0.10
Brewer’s spent dry yeast (SDY)
-
30.0
Proximate composition
Crude protein,% dry weight
43.0
40.4
Crude fat,% dry weight
16.9
16.4 Once validated the use of SDY as an alternative protein
source in aquafeeds (Estévez et al., 2021), the present study
aimed to evaluate at the transcriptomic level the impact of
SDY in the head kidney, intestine, and liver of S. aurata. This marine species is the most important Mediterranean
aquaculture fish species in terms of volume and economic
value (FAO, 2020). Regarding the selected target tissues, the
head kidney was chosen as it is one of the most important
organs in fish due to its role in endocrine and hematopoietic
functions, as well as a major secondary lymphoid organ
(Tort, 2011). Frontiers in Marine Science | www.frontiersin.org April 2022 | Volume 9 | Article 857592 Fish and Experimental Design p
g
Samples of target tissues used for transcriptomic analyses were
taken from a previous trial in which we evaluated different by-
products from the brewer’s industry as potencial feed ingredients
in gilthead sea bream (Estévez et al., 2021). In brief, juveniles
(age1 +) were obtained from a commercial fish farm (Albadalejo,
San Pedro del Pinatar, Murcia, Spain) and transported by road to
IRTA-Sant Carles de la Ràpita research facilities (REGA number:
ES431360036277; Sant Carles de la Ràpita, Tarragona, Spain). Fish were kept under quarantine conditions and fed a commercial
diet for 2 weeks. Then, fish (N = 90) were gently anesthetized
(tricaine methanesulfonate, MS-222, 150 mg/L), individually
weighed for initial body weight (BWi) and distributed among 6
experimental 200 L tanks (3 replicate tanks per dietary group;
n = 15 fish per tank; initial stocking density = 13–14 kg m−3)
as described in Estévez et al. (2021). The mean BWi values
for fish from the control and SDY diets were 114.8 ± 16.7 g
and 112.7 ± 14.8 g (mean ± standard deviation), respectively. Both diets were tested in triplicate for 60 days. Fish were fed
at an initial feeding ration of 1.8% of the stocked biomass
by means of two daily meals (08:00 and 14:00 h). During
the nutritional trial, water temperature (pH meter 507; Crison
Instruments, Barcelona, Spain), salinity (MASTER-20T; ATAGO
Co., Ltd., Tokyo, Japan), and dissolved oxygen (OXI330; Crison
Instruments) were 20.1 ± 3.0◦C, 35.1 ± 0.1 h, and 6.6 ± 0.6 mg
L−1 (mean ± SD), respectively. Water flow rate in experimental
tanks was maintained at approximately 9.0 L min−1 (open-flow
system), which guaranteed one full tank’s water renewal per hour. Photoperiod followed natural changes according to the season of
the year (September –November; 40◦37′41′′ N). Raw
sequences
were
adapter-trimmed
and
quality
checked using Trim galore v0.4.4 (Babraham Bioinformatics,
United Kingdom) with the following trimming parameters:
-phred33, -fastqc, and -q20. Alignments were performed using
the hisat2 v2.1.0 platform with default parameters and the
latest S. aurata genome assembly (GCA_900880675.2; NCBI,
Bethesda, United States). Count-based matrices were created
for each sample using featureCounts v1.5.3 and they were then
combined in R using the plyr and dplyr packages. Differential
expression analysis was performed using DESeq2 (Anders and
Huber, 2010) and the final list of differentially expressed genes
(DEGs) was filtered accordingly (adjusted P-value < 0.05) and
absolute log2 fold change (FC) of 1.0. Experimental Diets Furthermore, the liver was selected as the
central metabolic organ of the body with a predominant
role in the intermediary metabolism, with important functions April 2022 | Volume 9 | Article 857592 Frontiers in Marine Science | www.frontiersin.org 2 Circularity in Gilthead Seabream Feeds Konstantinidis et al. in dry ice to Nord University (Bodø, Norway) for further RNA
sequencing. At their arrival, RNA integrity was checked again
on an Agilent 4150 TapeStation system (Agilent Technologies)
in order to confirm that the RNA quality of the samples did not
deteriorate during shipment. Powder ingredients and oils were then mixed according to
the target formulation in a 500 L Rosal Mixer, with a double
horizontal ribbon, for 6 min. Both diets were manufactured by
temperature-controlled extrusion (90◦C at the conditioner and
120◦C at the screw) by means of an extruder press (Rosal RS-50). Upon extrusion, feed batches were dried and cooled by a hot air
aspiration system (MABRIK S.A., Barbera del Vallés, Spain). g
p
For library preparation, RNA concentration was calculated
using the Qubit RNA high-sensitivity assay on a Qubit 3.0
fluorometer (Thermo Fisher Scientific, Waltman, United States). RNA-Seq libraries were prepared using the NEBNext ultra
II directional RNA library preparation kit with a poly(A)
mRNA magnetic isolation module (NEB #E7490) in accordance
with the manufacturer’s protocol (New England BioLabs Inc.,
Ipswich, United Kingdom). Briefly, after poly(A) enrichment
of 1 µg total RNA, mRNA was fragmented to about 100–
200 nt in length and used for 1st and 2nd strand cDNA
synthesis. After A-tailing, end repair, and adaptor ligation,
the second strand was selectively removed using uracil-specific
excision reagent (USER
R⃝II Enzyme; New England BioLabs
Inc.). The resulting directional RNA-seq libraries were amplified
with 8 PCR cycles and posteriorly purified using AMPure XP
beads (Beckman Coulter, Inc., Brea, United States). Quality
and quantity of the RNA-seq libraries were assessed using the
Agilent 2200 TapeStation. Unique indices were assigned to each
sample and libraries were pooled at equimolar concentrations. Sequencing was performed at Nord University (Norway) using
two high output flowcells (75 cycles) on the NextSeq500
(Illumina, San Diego United States) with 4% PhiX. Library
sequencing yielded 764 million 75 bp single-end reads RNA-
Seq libraries. RNA Sequencing and Data Analysis RNA Sequencing and Data Analysis
Total RNA from each tissue was extracted from five randomly
chosen
specimens
using
the
TRIzol
reagent
(Invitrogen,
San Diego, CA, United States) following the manufacturer’s
instructions; the other samples from the remaining three
fish were kept as backup. Then, total RNA concentration
was quantified using a NanoDrop ND-2000 (Thermo Fisher
Scientific, Waltham, United States), and RNA integrity and
quality
checked
with
Agilent
2100
Bioanalyzer
(Agilent
Technologies, Santa Clara, United States). Samples were shipped Fish and Experimental Design Gene set enrichment
analysis was performed for down- and up-regulated DEGs
separately, using g:GOSt functional profiling on gProfiler
(version e104_eg51_p15_3922dba) with default parameters
(Raudvere et al., 2019). The selected organism was gilthead sea
bream (Sparus aurata) and the tailor-made algorithm g:SCS was
used for multiple testing correction. Heatmaps were prepared
using the R package “pheatmap.” Transcriptomic raw data for
samples analyzed in the current study are available through
the public repository Gene Expression Omnibus (GEO) at the
US National Centre for Biotechnology Information (NCBI)
(accession number GSE194206). At the end of the trial, all fish were netted, anaesthetized
with MS-222 (150 mg/L), and individually weighted for their
final body weight (BWf). In addition, three fish per tank (9
fish per dietary condition) were sacrificed with an overdose
of MS222, and their head kidney, liver, and mid-anterior-
mid dissected for further transcriptomic analyses. In particular,
sampled tissues (200 mg) were preserved in RNAlater
R⃝(Sigma-
Aldrich, Spain) overnight, and then stored at −80◦C until
further RNA extraction. The Immunomodulatory and
Steroidogenic Effects of Spent Dry Yeast
on the Head Kidney y
Head kidney was the tissue with the highest number of DEGs
(99; q < 0.05; −1 > log2 (FC) > 1) when compared to
the other target tissues analyzed (Supplementary Table 2). In
particular, 62 DEGs (62.6%) were up-regulated and 37 DEGs
(37.4%) were down-regulated in the head kidney of fish fed
the SDY diet compared to the control group (Figure 2A). The principal component analysis (PCA) showed no distinction
between groups in the first component (PC1), which explained
90% of the variation, although a slight distinction was present
in the second component (PC2) that explained a rather small
fraction of the variation (4%) (Supplementary Figure 1). Among the top 10 up-regulated genes in head kidney (log2
(FC) > 6.7), we identified 6 genes associated with steroidogenesis
(nr5a1a, bicc2, hsd3b1, cyp11b1, cyp21a2, cyp17a1), and others
related to chemokine activity (ccl17, cxc11, and cxc6). These
findings were also supported by the functional enrichment
analysis (Supplementary Table 3; q < 0.05). Furthermore, the
gene ontology annotation of all up-regulated genes showed an
enrichment of molecular functions related to chemokine activity
(GO:0008009) and chemokine receptor binding (GO:0042379),
as well as to biological processes linked to steroid metabolic
(GO:0008202) and biosynthetic (GO:0006694) processes, and Down-regulated genes were enriched for metal ion, cation,
and zinc ion binding molecular functions (Supplementary
Table 4, q < 0.05). The E3 ubiquitin-protein ligase TRIM21-
like gene (trim21) was down-regulated in fish fed the SDY diet
compared to the control group [log2(FC) = −3.9]. Similarly,
among the most down-regulated genes, we identified the
NACHT, LRR, and PYD domains-containing protein 12-like
(nlrp12) and protein mono-ADP-ribosyltransferase PARP14-like
(parp14), which are also involved in immunity through the
regulation of NF-kappaβ signaling and tyrosine phosphorylation
of STAT proteins, respectively. Spent Dry Yeast Affects Genes Involved
in Liver Metabolism, Growth and
Immunity In the liver, we identified 75 DEGs, of which 52 were up-
regulated (69.3%) and 23 down-regulated (30.7%) in fish fed
the SDY diet (Figure 2B; q < 0.05; −1 < log2 (FC) < 1). The PCA revealed a distinction of the two diets within the
PC1, which explained 22% of the total variance (Supplementary
Figure 2). Up-regulated genes (psat1, phgdh, wars1, hars1;
Supplementary Table 2, q < 0.05) were primarily associated
with metabolic and biosynthetic processes of L-serine and cellular
amino acids, as well as organic carboxylic and oxoacids. Among
up-regulated genes, we also identified socs3 and cish that are
involved in the regulation of inflammatory responses and growth
via the regulation of the JAK-STAT receptor signaling pathway
(Supplementary Table 4, q < 0.05). RNA Sequencing On average, we obtained 19.4 million raw reads per library. After
quality and adapter trimming, 99.8% of the sequenced data were
retained. The alignment efficiency of uniquely mapped reads
was 90.3, 89.5, and 89.8% for head kidney, liver, and intestine,
respectively. The rest of the reads (∼10%) were excluded from
further analysis, either as aligned reads with multiple matches or
reads that failed to align to the reference transcriptome (Figure 1
and Supplementary Table 1). In total, 218 DEGs were identified
among all tissues, out of which, 141 were up- and 77 down-
regulated (q < 0.05; −1 > log2 (FC) > 1; Supplementary
Table 2). These DEGs had a tissue-specific profile and, therefore,
we investigated their functionality for each tissue separately. Ethics Statement All
animal
experimental
procedures
complied
with
the
Guiding Principles for Biomedical Research Involving Animals
(EU2010/63), the guidelines of the Spanish laws (law 32/2007 Frontiers in Marine Science | www.frontiersin.org April 2022 | Volume 9 | Article 857592 3 Circularity in Gilthead Seabream Feeds Konstantinidis et al. glucocorticoid metabolism (GO:0008211). Additionally, the
oxidoreductase (GO:0016705) and monooxygenase activity
(GO:0004497) processes were also identified. and RD 1201/2015) and were authorized by the Ethical
Committee of the Institute for Research and Technology in
Food and Agriculture (IRTA, Spain) for the use of laboratory
animals (E-10/2020). Down-regulated genes showed an enrichment in oxygen
carrier activity and at the cellular component level an enrichment
in hemoglobin complex (Supplementary Table 3, q < 0.05). Genes associated with these functions coded for hemoglobin
subunits alpha-A and beta (hbaa and hbb), which are involved
in oxygen transport, with the latter being a potential regulator of
inflammation. In addition, one of the most down-regulated genes
was the lipoxygenase homology PLAT domains 1b (loxhd1b),
which is also involved in heme binding and oxygen binding
affinity. Among the down-regulated genes (log2(FC) < −5.24),
we identified the carcinoembryonic antigen-related cell adhesion
molecule 6 (ceacam6) responsible for cell–cell adhesion and
neutrophil adhesion to cytokine-activated endothelial cells, as
well as the ceacam2 gene, which is involved in energy homeostasis
and negative regulation of feeding behavior. RESULTS Results on growth performance, feed efficiency, and diet
digestibility are presented elsewhere (Estévez et al., 2021). In
brief, no differences in growth performance were found among
both experimental groups with BWf average values comprised
between 176.1 and 179.0 g. Regarding feed efficiency variables,
gilthead sea bream fed the SDY-supplemented diet showed better
feed conversion ratio (FCR = 2.0 ± 0.05) and protein efficiency
rate (PER = 1.1 ± 0.03) than their congeners fed the control diet
(FCR = 2.1 ± 0.29; PER = 1.0 ± 0.11) (P < 0.05). Frontiers in Marine Science | www.frontiersin.org Intestinal Host Immunity and Digestion
Are Affected by the Spent Dry Yeast Diet
at a Molecular Level The tissue with the least DEGs, among the studied ones, was
the anterior-mid intestine. Out of 44 DEGs, 27 were up- and 17
down-regulated in fish fed the SDY diet compared to the control
group, respectively (Figure 2C; q < 0.05; −1 > log2 (FC) > 1). PCA did not reveal any distinct groupings between groups across
both components, which only explained 54% of the total variation April 2022 | Volume 9 | Article 857592 Frontiers in Marine Science | www.frontiersin.org 4 Konstantinidis et al. Circularity in Gilthead Seabream Feeds
FIGURE 1 | Number of reads obtained by RNA-seq (raw reads, trimmed reads, unique alignment reads, multiple alignment reads, and reads that failed to align) for
each of the targeted tissues (head kidney, liver, and anterior-mid intestine) of gilthead sea bream (Sparus aurata) in response to the control (Control) and the Brewer’s
SDY diets. The error bar represents the standard deviation of the mean values obtained for each tissue (n = 5 replicates). HK, head kidney; LIV, liver; INT, anterior-mid
intestine. Circularity in Gilthead Seabream Feeds Konstantinidis et al. FIGURE 1 | Number of reads obtained by RNA-seq (raw reads, trimmed reads, unique alignment reads, multiple alignment reads, and reads that failed to align) for
each of the targeted tissues (head kidney, liver, and anterior-mid intestine) of gilthead sea bream (Sparus aurata) in response to the control (Control) and the Brewer’s
SDY diets. The error bar represents the standard deviation of the mean values obtained for each tissue (n = 5 replicates). HK, head kidney; LIV, liver; INT, anterior-mid
intestine. FIGURE 1 | Number of reads obtained by RNA-seq (raw reads, trimmed reads, unique alignment reads, multiple alignment reads, and reads that failed to align) for
each of the targeted tissues (head kidney, liver, and anterior-mid intestine) of gilthead sea bream (Sparus aurata) in response to the control (Control) and the Brewer’s
SDY diets. The error bar represents the standard deviation of the mean values obtained for each tissue (n = 5 replicates). HK, head kidney; LIV, liver; INT, anterior-mid
intestine in the intestine (Supplementary Figure 3). Interestingly, up-
regulated genes were enriched for lysozyme (GO:0003796),
peptidoglycan muralytic (GO:0061783), and hydrolase activities
(GO:0004553; GO:0016798), all of them being highly relevant
to tissue-specific functions such as intestinal host defense
(Supplementary Table 5). Intestinal Host Immunity and Digestion
Are Affected by the Spent Dry Yeast Diet
at a Molecular Level Similarly, among the most down-
regulated DEGs, we identified a gene linked to fatty acid
oxidation (hao2) as well as the retinoic acid receptor beta
(rarb) and the major histocompatibility complex class I-related
gene protein (hla), which are involved in intestinal immunity
(Supplementary Table 5). while chemokines considered as homeostatic (i.e., CCL19 and
CCL21) are involved in controlling the migration of cells during
normal processes of tissue maintenance or development; thus,
initiating and regulating the inflammatory response (Laing and
Secombes, 2004; Sakai et al., 2021). Under present experimental
conditions, we found a transcriptional regulation of ccl17, cxc6,
cxc11 in the head kidney of fish fed the SDY-supplemented
diet. The above-mentioned chemokines are reputed for being
involved in the activation (cxc6) and recruitment (ccl17, cxc11)
of T lymphocytes. These results are in agreement with the
lymphoid function of this tissue, which may be translated into
an enhanced host’s immune response as similar results have
been observed in fish fed functional diets supplemented with
zootechnical feed additives with immunomodulatory properties
(Martin and Król, 2017; Hoseinifar et al., 2019; Salomón et al.,
2021). The potential immunomodulatory function of the SDY
diet may be attributed to its content in β-glucan (81 g/kg
feed). In this sense, β-glucans are well-known in aquaculture
because they promote hematopoiesis and enhance immunity
(Meena et al., 2013). DISCUSSION In this study, we decided to explore the dietary effects of
Brewer’s SDY at transcriptomic level by means of RNA-seq
on three different tissues selected by their relevant body
functions. Regarding the head kidney, RNA-seq results showed
that most of DEGs in this hematopoietic and lymphoid tissue
of gilthead sea bream fed the SDY were related to increased
transcription levels of genes related to chemokine activity
(GO:0008009) and chemokine receptor binding (GO:0042379). This is of special relevance since chemokines are involved in
the initiation and regulation of the inflammatory response. In particular, the production of pro-inflammatory chemokines
(i.e., CCL2, CCL3, CCL5, CXCL1, CXCL2, and CXCL8) is
generally induced to recruit immune cells to the infection site, Under the present experimental conditions, we also found
changes in expression of genes involved in steroid synthesis and
secretion (GO:0008202, GO:0006694). Among DEGs involved
in steroidogenesis, nr5a1a was found to be up-regulated in
the head kidney of fish fed the SDY-supplemented diet. This gene is expressed in the interrenal gland, gonads, and
hypothalamus (Chai et al., 2003). In teleosts, the interrenal
gland is embedded in the head kidney and is the major site of April 2022 | Volume 9 | Article 857592 Frontiers in Marine Science | www.frontiersin.org 5 Circularity in Gilthead Seabream Feeds Konstantinidis et al. GURE 2 | Hierarchical clustering of transcriptomic response from the h
ney (A), liver (B), and anterior-mid intestine (C) of gilthead seabream
parus aurata) fed the control and the Brewer’s SDY diets. This heat ma
sed on similitude patterns of the differentially expressed genes from five
plicates per tissue both dietary groups with the only exception of the he
ney where one replicate from the control group was excluded from the
alysis as shown in Supplementary Figure 1 (results from the Principa
mponent Analysis). FIGURE 2 | Hierarchical clustering of transcriptomic response from the head
kidney (A), liver (B), and anterior-mid intestine (C) of gilthead seabream steroid synthesis in response to signals from the pituitary and
hypothalamus (Milano et al., 1997). Similarly, cytochrome P450
11b (cyp11b), steroid 21-hydroxylase (cyp21a2), hydroxy-delta-
5-steroid dehydrogenase, 3 beta- and steroid delta-isomerase
(hsd3b1), and steroid 17-alpha-hydroxylase/17,20 lyase-like
(LOC115589985) were also differentially expressed, which is
of special relevance since those genes are involved in the
biosynthesis of steroid hormones like cortisol through their
precursors (Mommsen et al., 1999; Li et al., 2003). DISCUSSION These results
are of special importance, since glucocorticoids are synthesized
by interrenal cells of the head kidney and regulate osmolarity,
metabolism, and immune responses (Vazzana et al., 2010). Furthermore, the up-regulation of bicaudal C homolog 2 (bicc2)
that is involved in renal gluconeogenesis might show that
gilthead sea bream fed the SDY-supplemented diet may have a
more effective stress response, as data from genes involved in
steroidogenesis also indicated. Surprisingly, the head kidney of gilthead sea bream fed
the SDY-supplemented diet showed a down-regulation of
hemoglobin subunits alpha-A and beta genes (hbaa and hbb),
which encoded for α and β subunits of hemoglobin. In addition,
we also found a down-regulation of the lipoxygenase homology
PLAT domains 1b (loxhd1b—LOC115592348), which is also
involved in heme binding and oxygen binding affinity. Under
hypoxic conditions, changes in transcription levels of hbaa and
hbb in the head kidney of fish have been associated to changes
in erythropoiesis and hemoglobin synthesis (Xia et al., 2016). Furthermore, changes in gene expression of hbaa and hbb are
responsible for hemoglobinopathies in humans (Sabath, 2017). We found these results puzzling, since the nutritional trial was
conducted under normoxic conditions (> 85% O2 saturation)
and we did not find any sign of distress in gilthead sea bream fed
the SDY-supplemented diet caused by a putative anemia. Further
research is needed to clarify the physiological effect of SDY on
hemoglobin homeostasis and erythropoiesis in order to clarify
current results. Among the three studied tissues, the liver was the second one
with a larger number of DEGs. In particular, DEGs were involved
metabolic and biosynthetic processes (psat1, phgdh, wars1, hars1). These findings are in agreement with those found in the head
kidney, which indicated that fish fed the SDY diet had a more
biologically active organ, since the above-mentioned DEGs are
involved in protein transcription and biosynthesis (Nguyen et al.,
2020; Yu et al., 2021). In addition to the classical role of wars1
in protein synthesis, this gene has been recently described in
mammals to be activated upon infection, whereas its protein acts
as an endogenous ligand of toll-like receptors (TLR) 2 and TLR4
(Nguyen et al., 2020). April 2022 | Volume 9 | Article 857592 CONCLUSION Under present experimental conditions, the partial replacement
of conventional dietary protein sources by spent dry yeast
(SDY) obtained as a by-product of the brewer’s industry had a
modulatory effect on several processes related to host’s immunity,
oxygen’s carrier capacity, steroidogenesis, metabolism, and
digestion. Results related to the enhancement of the immune
condition at systemic and local levels in fish fed the SDY diet
are of special relevance, since they indicated that this ingredient
in addition to being considered as a sustainable ingredient for
replacing conventional marine and terrestrial protein sources in
aquafeeds, it may also be considered as a functional one due
to its immunomodulatory properties derived from its content
in β-glucans. Although the results found in the present study
seemed really promising in terms of the functional properties of
the tested SDY, further research needs to be focused on clarifying
the effect of this ingredient on the biological processes involved
in oxygen transport in order to guarantee the safety of this
ingredient for fish. The overall results of this study coupled
with nutritional studies on this ingredient (Estévez et al., 2021;
Nazzaro et al., 2021) indicated that the use of brewery’s by-
products like SDY in aquafeeds supports a circular bioeconomy
model that reuses, recovers, and recycles resources instead of
producing wastes. The transcriptomic response evaluated in the anterior-mid
intestine was in agreement with results found in the two former
tissues from gilthead sea bream fed the SDY diet. In particular,
four g-type lysozyme genes were up-regulated (LOC115585860,
LOC115582400, LOC115582423, and LOC115585885), which
were related to the biological process linked to peptidoglycan
and aminoglycan metabolic, and catabolic processes in which g
lysozyme is involved (Jiménez-Cantizano et al., 2008). In this
sense, lysozyme cleaves peptidoglycans of the bacterial cell wall
and participates in the activation of the complement system and
phagocytes. In addition, lysozymes have also been reported to
have antiviral and anti-inflammatory functions, thus playing an
important function at both systemic and local immune responses
(Saurabh and Sahoo, 2008). Changes in the number of transcripts
of the retinoic acid receptor beta (rarb) were not attributed to
different dietary vitamin A contents between both experimental
diets, since yeast does not contain this lipophilic vitamin. Thus,
changes in rarb expression might be associated to the regulation
of the intestinal immune condition in fish fed the SDY diet (Gattu
et al., 2019). CONCLUSION Similarly, we also found the major histocompatibility
complex class I-related gene protein (hla) to be down-regulated,
which may be associated with a reduction in the immunogenicity
of dietary SDY and modulation of the immune response in
the intestine (Groh et al., 1996). Although we did not find DATA AVAILABILITY STATEMENT The datasets presented in this study can be found in online
repositories. The names of the repository/repositories and
accession number(s) can be found below: https://www.ncbi.nlm. nih.gov/geo/, accession ID: GSE194206. DISCUSSION This gene modulates
the humoral immune response through the activation of the
JAK/STAT pathway (Schweiker et al., 2018), which suggests a
balanced immune response in gilthead sea bream fed the SDY diet
as other authors have reported when there is a sort of immune
homeostasis based on an equilibrium between pro- and anti-
inflammatory processes (Salomón et al., 2020, 2021; Firmino
et al., 2021). inflammatory signs in the intestinal mucosa of fish fed the
SDY diet (Supplementary Figure 4), the expression profile of
immune-related genes in fish fed the SDY diet indicated that
further research may be focused on evaluating the effect of SDY
on the mucosal-associated lymphoid tissue in the intestine and its
immunocompetence under disease conditions. Furthermore, the inclusion of SDY in the diet down-regulated
the expression of hydroxyacid oxidase 2 (hao2) in the anterior-
mid intestine of gilthead sea bream, which might be attributed
to a dietary regulation of this gene. Hydroxyacid oxidase 2
is a peroxisomal 2-hydroxy acid oxidase responsible for the
oxidation of 2-hydroxy fatty acids like 2-hydroxypalmitic acid,
which is an intermediate in phytosphingosine metabolic pathway,
an important component of sphingolipids found in yeasts and
plants (Pruett et al., 2008). DISCUSSION The potential immunomodulatory properties of the SDY
found in the head kidney seemed to be also supported by the
up-regulation of genes involved in modulating the inflammatory
responses in the liver via the regulation of the JAK-STAT
receptor signaling pathway as transcriptomic data suggested. Specifically, by the up-regulation in the liver of cytokine-
inducible SH containing protein (cish) and the suppressor of
cytokine signaling-like (socs) in comparison to the control
group. These genes are members of the suppressor cytokine
signaling family whose proteins are involved in the control FIGURE 2 | Hierarchical clustering of transcriptomic response from the head
kidney (A), liver (B), and anterior-mid intestine (C) of gilthead seabream
(Sparus aurata) fed the control and the Brewer’s SDY diets. This heat map is
based on similitude patterns of the differentially expressed genes from five
replicates per tissue both dietary groups with the only exception of the head
kidney where one replicate from the control group was excluded from the
analysis as shown in Supplementary Figure 1 (results from the Principal
Component Analysis). April 2022 | Volume 9 | Article 857592 April 2022 | Volume 9 | Article 857592 Frontiers in Marine Science | www.frontiersin.org 6 Circularity in Gilthead Seabream Feeds Konstantinidis et al. and attenuation of cytokine-induced responses through the
JAK/STAT signal transduction pathway, playing an important
role in the regulation of host’s immunity and the inflammatory
response, as well as in cell proliferation, migration and survival
(Yoshimura, 2009; Yoshimura et al., 2012; Maehr et al., 2014). Furthermore, the down-regulation of the NACHT, LRR, and PYD
domains-containing protein 12-like (nlrp12) might suggest an
enhancement of the NF-κB pathway, since these proteins have a
modulatory role on the NF-κB pathway (Normand et al., 2018). This is of special relevance since the NF-kB pathway plays an
important role in the regulation of several cytokines, chemokines,
antimicrobial peptides, and interferon-stimulated genes, as well
as being crucial in modulating the survival, activation, and
differentiation of innate and adaptive immune cells (Sun, 2017). Although these results might be attributed to a potential
inflammatory response derived from the inclusion of SDY in
the diet, we did not find inflammatory signs in the intestinal
mucosa of fish fed the SDY diet (Supplementary Figure 4);
thus, the transcriptional regulation of the NF-kB pathway may
be attributed to the immunomodulatory properties of the SDY. DISCUSSION Furthermore, the E3 ubiquitin-protein ligase TRIM21-like gene
(trim21) was also down-regulated in the liver of fish fed the
SDY diet. This gene is generally over-expressed under prolonged
activation of the immune system, being also described as a
negative regulator of antioxidative stress (Lee, 2017). Similarly,
protein mono-ADP-ribosyltransferase PARP14-like (parp14) was
also among the most down-regulated genes. This gene modulates
the humoral immune response through the activation of the
JAK/STAT pathway (Schweiker et al., 2018), which suggests a
balanced immune response in gilthead sea bream fed the SDY diet
as other authors have reported when there is a sort of immune
homeostasis based on an equilibrium between pro- and anti-
inflammatory processes (Salomón et al., 2020, 2021; Firmino
et al., 2021). and attenuation of cytokine-induced responses through the
JAK/STAT signal transduction pathway, playing an important
role in the regulation of host’s immunity and the inflammatory
response, as well as in cell proliferation, migration and survival
(Yoshimura, 2009; Yoshimura et al., 2012; Maehr et al., 2014). Furthermore, the down-regulation of the NACHT, LRR, and PYD
domains-containing protein 12-like (nlrp12) might suggest an
enhancement of the NF-κB pathway, since these proteins have a
modulatory role on the NF-κB pathway (Normand et al., 2018). This is of special relevance since the NF-kB pathway plays an
important role in the regulation of several cytokines, chemokines,
antimicrobial peptides, and interferon-stimulated genes, as well
as being crucial in modulating the survival, activation, and
differentiation of innate and adaptive immune cells (Sun, 2017). Although these results might be attributed to a potential
inflammatory response derived from the inclusion of SDY in
the diet, we did not find inflammatory signs in the intestinal
mucosa of fish fed the SDY diet (Supplementary Figure 4);
thus, the transcriptional regulation of the NF-kB pathway may
be attributed to the immunomodulatory properties of the SDY. Furthermore, the E3 ubiquitin-protein ligase TRIM21-like gene
(trim21) was also down-regulated in the liver of fish fed the
SDY diet. This gene is generally over-expressed under prolonged
activation of the immune system, being also described as a
negative regulator of antioxidative stress (Lee, 2017). Similarly,
protein mono-ADP-ribosyltransferase PARP14-like (parp14) was
also among the most down-regulated genes. Frontiers in Marine Science | www.frontiersin.org REFERENCES Jiménez-Cantizano, R. M., Infante, C., Martin-Antonio, B., Ponce, M., Hachero, I.,
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Aquaculture Department. Rome: The Food and Agriculture Organization of the
United Nations. Firmino, J. P., Vallejos-Vidal, E., Balebona, M. C., Ramayo-Caldas, Y., Cerezo,
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functional diet. Front. Immunol. 12:625297. doi: 10.3389/fimmu.2021.625297 Martin, S. A., and Król, E. ETHICS STATEMENT This animal study was reviewed and approved by the Ethical
Committee of the Institute for Research and Technology in
Food and Agriculture (IRTA, Spain) for the use of laboratory
animals (E-10/2020). April 2022 | Volume 9 | Article 857592 Frontiers in Marine Science | www.frontiersin.org Frontiers in Marine Science | www.frontiersin.org 7 Circularity in Gilthead Seabream Feeds Konstantinidis et al. FUNDING This study has been conducted under the Life BREWERY project
(LIFE16ENV/ES/000160) that was funded by LIFE European
Environment and Resource Efficiency Program, which was the
EU’s financial instrument supporting environmental, nature
conservation, and climate action projects throughout the EU,
and partially funded by the Ministerio de Economía, Industria AUTHOR CONTRIBUTIONS y Competitividad (Government of Spain) through the grant
AGL2018-095653-R-I00 to IRTA. The implementation, updating,
and development of EU environmental and climate policy
and legislation by co-financing projects with European added
value are among its main priorities. JPF has received funding
from the Erasmus + Programme of the European Union,
and the Autonomous University of Barcelona (UAB) Exchange
Programme Traineeship 2020–2021 for conducting a research
stage at Nord University (Bodø, Norway). AR was supported by
a predoctoral grant (reference number: PRE2019-091259) linked
to the project RTI2018-095653-RI00 (Ministerio de Ciencia e
Innovación, Spain). y Competitividad (Government of Spain) through the grant
AGL2018-095653-R-I00 to IRTA. The implementation, updating,
and development of EU environmental and climate policy
and legislation by co-financing projects with European added
value are among its main priorities. JPF has received funding
from the Erasmus + Programme of the European Union,
and the Autonomous University of Barcelona (UAB) Exchange
Programme Traineeship 2020–2021 for conducting a research
stage at Nord University (Bodø, Norway). AR was supported by
a predoctoral grant (reference number: PRE2019-091259) linked
to the project RTI2018-095653-RI00 (Ministerio de Ciencia e
Innovación, Spain). AE, DS, and BI: conceptualization. EG, JPF, and JMOF:
methodology. JPF, IK, and AE: sample processing. IK, JPF,
and JMOF: formal analysis. EG and JMOF: resources. IK
and EG: writing the original draft. JPF, IK, and JMOF: data
visualization and curation. EG and JMOF: supervision. EG,
AE, and DS: project administration. AE and DS: funding
acquisition. All authors contributed to the article and approved
the submitted version. SUPPLEMENTARY MATERIAL The Supplementary Material for this article can be found
online
at:
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of the Creative Commons Attribution License (CC BY). The use, distribution
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10.3390/fermentation6040123 April 2022 | Volume 9 | Article 857592 8 Frontiers in Marine Science | www.frontiersin.org Circularity in Gilthead Seabream Feeds Konstantinidis et al. Nguyen, T. T., Yoon, H. K., Kim, Y. T., Choi, Y. H., Lee, W. K., and Jin, M. (2020). Tryptophanyl-tRNA synthetase 1 signals activate TREM-1 via TLR2 and TLR4. Biomolecules 10:1283. doi: 10.3390/biom10091283 Sun, S. C. (2017). Frontiers in Marine Science | www.frontiersin.org REFERENCES Stevens, J. R., Newton, R. W., Tlusty, M., and Little, D. C. (2018). The rise of
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Características de la canal de terneros de la Denominación de Origen Protegida Mirandesa
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NOTA BREVE
Características de la canal de terneros de la Denominación de Origen Protegida
Mirandesa
Sousa, F.1; Lorenzo, J.M.2@; Iglesias, A.3; Cantalapiedra, J.4 y Franco, D.2
Escola Superior Agrária. Instituto Politécnico de Bragança. Portugal.
Centro Tecnológico de la Carne de Galicia. Ourense. Spain.
3
Departamento de Anatomía y Producción Animal. Universidad de Santiago de Compostela. Lugo. Spain.
4
Farm Counselling Services. Consellería do Medio Rural. Xunta de Galicia. Lugo. Spain.
1
2
RESUMO
Palabras clave adicionales
Raza autóctona.
Medidas morfométricas.
Despiece de la canal.
Quinto cuarto.
El objetivo de este trabajo fue evaluar las características de la canal de la raza Mirandesa. Para llevar a cabo este estudio, un total de 20 animales de la raza Mirandesa
fueron sacrificados a los 315 días. 24 horas tras el sacrificio, se determinó el peso canal y
rendimiento canal, se realizaron las medidas morfométricas (longitud de la canal, longitud
de la pierna, espesor de la pierna, profundidad interna del pecho y perímetro máximo de la
pierna), se calcularon los siguientes índices: índice de compacidad de la canal e índice longitudinal transversal de la pierna y se realizó el despiece de los principales cortes comerciales.
Los animales de la raza Mirandesa presentaron un peso vivo de 293,7 kg, un peso canal
de 152 kg y un rendimiento canal de 60,5 %. En relación a las medidas morfométricas, la
raza Mirandesa mostró una longitud de canal de 110 cm, una longitud de pierna de 69 cm
y un perímetro de pierna de 89,8 cm. Los valores para el índice de compacidad de la canal
y el índice longitudinal transversal de la pierna fueron de 1,4 y 3,7, respectivamente. Con
respecto al quinto cuarto, la piel presentó los mayores porcentajes seguida de la cabeza y
pies. Finalmente, la composición de las canales de la raza Mirandesa fue: 74,9% de carne,
18,1 % de hueso y 7,0 % de grasa.
Carcass characteristic of calves from Protected Designation of Origin Mirandesa breed
SUMMARY
Additional keywords
Autochthonous breed.
Morphometric measurements.
Quartering of the carcass.
Fifth quarter.
Información
The aim of this study was to evaluate the carcass characteristics of Mirandesa breed. To
carry out this study, a total of 20 animals of Mirandesa breed were slaughter at 315 days.
After 24 hours of slaughter, carcass weight and dressing percentage were determined, and
morphometric measurements (carcass length, leg length, leg width, leg perimeter, chest
external depth, chest internal depth and leg maximum perimeter) were performed and the
following indexes were calculated: carcass compactness index and hindlimb compactness
index and the main commercial cuts were obtained. Animals from Mirandesa breed presented a 293.7 kg live weight, a 152 kg carcass weight and a dressing percentage of 60.5 %.
Regarding morphometric measurements, animals from Mirandesa breed showed a carcass
length of 110 cm, leg length of 69 cm and leg perimeter of 89.8 cm. The values for the
carcass compactness index and hindlimb compactness index were 1.4 and 3.7, respectively.
Respecting fifth quarter, skin showed the highest percentages following by head and feet.
Finally, the percentages of Mirandesa breed’s carcass quartering were 74.9 % for meat,
18.1 % for bone and 7.0 % for fat.
Cronología del artículo.
Recibido/Received: 02.12.2015
Aceptado/Accepted: 14.03.2016
On-line: 11.06.2016
Correspondencia a los autores/Contact e-mail:
jmlorenzo@ceteca.net
INTRODUCCIÓN
En los últimos 15 años el uso de la DOP (Denominación de Origen Protegida) ha constituido el mejor instrumento de conservación de las razas bovinas
en peligro de extinción, así como de sus sistemas de
producción. En el año 2007, la carne de bovino co-
mercializada bajo el sello de las 9 DOP que existían
en Portugal suponía el 2,3 % respecto del total producido, pero mientras la producción de carne de bovino
a nivel europeo se ha ralentizado desde el año 2011
(FAOSTAT, 2013), la producción de carne con DOP
tiene una aceptación mayor porque las preferencias de
los consumidores por productos naturales, producidos
Arch. Zootec. 65 (250): 253-258. 2016.
SOUSA, LORENZO, IGLESIAS, CANTALAPIEDRA Y FRANCO
bajo sistemas tradicionales y respetuosos con el medio
ambiente han crecido (Hermansen, 2003). Además,
la calidad de los productos que aporta la raza bovina
Mirandesa esta contrastada, como en el caso de la Posta
Mirandesa, un plato muy apreciado dentro de la gastronomía portuguesa, y por el hecho de que dentro del
ranking de carne de bovino con DOP en Portugal es la
que alcanza los precios más altos para los productores
(5,25 €/kg) (Sousa et al., 2012).
En la bibliografía se pueden encontrar numerosos
trabajos relacionados con los rendimientos productivos, la calidad de la canal y de la carne de distintas razas autóctonas (Albertí et al., 2001, 2005, 2008; Piedrafita
et al., 2003) pero apenas se dispone de información de la
raza Mirandesa. Esta raza es originaria del noreste de
Portugal (Trás-os-Montes), cerca de la frontera española. En la década de los 80, la raza Mirandesa sufrió un
enorme descenso de sus efectivos, siendo clasificada en
peligro de extinción en al año 1994. Posteriormente, en
el año 1995, se aprobó la Denominación de Origen Protegida de la Carne de Mirandesa, situándose en el año
2007 como la segunda dentro de las carnes portuguesas con DOP, con un volumen del 13% y 254 tn (Sousa
y Sánchez, 2009). En aquel momento, la Asociación
Profesional de la Raza Mirandesa la constituían 630 ganaderos y un rebaño de 6000 vacas. Actualmente el sistema de producción se basa en pequeñas explotaciones
familiares que emplean sistemas tradicionales basados
en la alimentación con leche materna suplementada con
pienso, maíz, patatas, silo de maíz y forrajes producidos en la explotación familiar o de pastoreo donde los
animales son finalizados con concentrado (2-4 meses).
La venta de los terneros se lleva a cabo a edades comprendidas entre 5 y 8 meses cuando los animales son
destetados (Fragata y Sousa, 1997).
Hoy en día, la creciente preocupación por encontrar
formas de producción sustentables y en equilibrio con
el medio ambiente, sumado a la preservación de la
cultura tradicional y el patrimonio histórico, han dado
sentido para que se tomen las medidas oportunas para
que esta raza bovina siga existiendo. Para preservar este
patrimonio es necesario profundizar en el estudio de
las características que hacen de ella una raza de interés
económico. En base a lo expuesto anteriormente, el objetivo de este trabajo fue evaluar la calidad de la canal
(medidas morfométricas, despiece y composición del
quinto cuarto) de terneros machos de raza Mirandesa
sacrificados como posible producto distinguible mediante una marca de calidad, orientada hacia el turismo
y restauración.
MATERIAL Y MÉTODOS
Se emplearon 20 animales machos enteros de la raza
Mirandesa (inscritos en el libro genealógico de la raza
Mirandesa) con una edad al sacrificio aproximada de
10 meses y medio. Los animales fueron criados en un
sistema de producción extensivo, donde los animales,
después del destete, fueron sometidos a un periodo
de finalización de 120 días en el puesto Zootécnico de
Malhadas, bajo el control de técnicos de la Denominación
de Origen Mirandesa. Todos los animales fueron pesados empleando una báscula electrónica (TRU TEST)
Archivos de zootecnia vol. 65, núm. 250, p. 254.
con capacidad hasta 1 000 kg, precisión de 100 g y un
error del 1 %, obteniéndose el peso vivo (PV) antes
del sacrifico. Durante el periodo de acabado fueron
alimentados con heno de pradera ad libitum, avena
y una mezcla de harinas; la mezcla tenía la siguiente
formulación: 70 kg centeno, 440 kg de cebada, 200 kg
de maíz, 210 kg de bagazo de soja, 30 kg de melaza y
núcleo de 50 kg (vitamina A, D, E, minerales correctivos
y aceite de palma hidrogenado). Desde el día anterior
al sacrificio los animales estuvieron en ayunas, siendo
transportados desde Malhadas (Portugal) a las 8 de la
mañana hasta un matadero acreditado en Miranda de
Douro (Portugal) situado a 8 kilómetros. Todos los animales fueron sacrificados antes de las 10 de la mañana
para minimizar posibles problemas de estrés pre-sacrificio. Se obtuvo el peso de la canal caliente (PCC) a
los 45 minutos y el peso canal fría (PCF) después de un
periodo de refrigeración de 24 h a 2 ºC. A continuación se tomaron las medidas morfométricas en la canal
propuestas por De Boer et al. (1974) y Carballo et al.
(2000): longitud de la canal (LC), longitud de la pierna
(LP) espesor de la pierna (EP), profundidad interna
del pecho (PIP) y perímetro máximo de la pierna (PL).
Teniendo en cuenta los parámetros anteriores se calcularon los siguientes índices (Espejo et al., 2000): índice
de compacidad de la canal (ICC) = (PCF/LC) e índice
longitudinal transversal de la pierna (ILTP) = (LP/EP).
El peso vivo vacío (PVV) fue calculado como: PV día
del sacrificio -[Peso reservorios gástricos llenos (kg-Pesos reservorios gástricos vacíos (kg)- Peso intestinos
llenos (kg)- Peso intestinos vacíos (kg)]. El rendimiento
canal verdadero (RCC) y las perdidas por oreo (PO),
expresadas en porcentaje, se calcularon de acuerdo a
las siguientes ecuaciones: RCC= (PCF/PV) x 100 y PF=
[1- (PCF/PCC)] x 100, respectivamente. Posteriormente,
se procedió al despiece de la media canal izquierda,
anotándose el peso de cada pieza comercial y calculando el porcentaje que representaba respecto a la canal,
agrupándose posteriormente según los tipos de tejidos
y categorías de las piezas comerciales. La metodología
empleada en el despiece es la descrita por Soares (1959).
Para la determinación de la composición tisular, las
piezas fueron preparadas de acuerdo con las buenas
prácticas comerciales, manteniéndose la cobertura de
grasa intermuscular y de tejido conectivo normal. Los
huesos fueron limpiados de acuerdo con las prácticas
comerciales, manteniendo algunos fascias, eliminado la
grasa perirrenal. Todo ello con el objetivo de estimar, en
términos porcentuales, la porción de carne, hueso y grasa comerciales que comprende la canal. De acuerdo con
la metodología indicada por Carballo et al. (2000), en
la porción de lomo extraído a las 48 horas post-mortem
y sobre papel de acetato y con un rotulador de punta
fina, se dibujó el perímetro del músculo L. thoracis de
las costillas 6ª y 10ª. Posteriormente, se determinó su
superficie con un planímetro digital Koisumi KP-90 Placom, dando los resultados en cm2. El análisis estadístico
de los resultados se realizó mediante el programa estadístico SPSS (versión 19.0) realizando previamente un
análisis de los datos mediante diagrama de cajas para
comprobar la existencia de valores anómalos.
RESULTADOS Y DISCUSIÓN
La tabla I muestra la media, desviación estándar,
máximo y mínimo de las características de la canal de
machos de la raza Mirandesa. Los valores de peso del
CARACTERÍSTICAS DE LA CANAL DE TERNEROS DE LA DENOMINACIÓN DE ORIGEN PROTEGIDA MIRANDESA
animal vivo y canal fría oscilaron entre 231-393 kg y
116-208 kg, respectivamente. Estos resultados fueron
similares a los observados por Aveiro (1998) y Ferreira
(1998) para animales de la misma raza sacrificados a
los 260 días. Franco et al. (2010) también observaron
valores similares para terneros de la raza Limiá (301
y 136 kg para los pesos vivo y canal, respectivamente)
sacrificados entre 7 y 11 meses y para terneros de la
raza Vianesa (273 y 129 kg para los pesos vivo y canal,
respectivamente) sacrificados a 9 meses de edad. Sin
embargo, estos resultados fueron inferiores a los encontrados por Carballo et al. (2004) quienes observaron
valores de 323 y 185 kg para el peso vivo y el peso
canal, respectivamente, en animales de la raza Rubia
Gallega con edades comprendidas entre los 8 y 10 meses de edad. Estas diferencias pueden ser debidas a la
diferente aptitud cárnica entre ambas razas y al sistema
de acabado. El rendimiento canal en matadero mostró
un valor medio del 60,5 % con máximos, en algunos
casos, superiores al 64 %, lo cual es una cifra muy notable. Estos rendimientos canal fueron superiores a los
encontrados por Simões et al. (2005) en razas Portuguesas de menor tamaño como la Arouquesa (53 %),
Barrosa (54 %), Maronesa (55 %) y Mertolenga (56 %)
sacrificados con un peso vivo de 300 kg; y para razas de
mayor formato como la Alentejana (55 %), Mirandesa
(58 %) y la Marinhoa (58 %) sacrificados a 400 kg. Para
alcanzar rendimientos canal superiores al 60 % es necesario, en las razas indicadas, sacrificar a mayor peso
vivo, como en el caso de animales de la raza Mirandesa
y de Marinhoa sacrificados con 650 kg, que alcanzaron
rendimientos canal del 62 y 63 %, respectivamente.
Los rendimientos canal en el presente trabajo también
fueron superiores a los obtenidos por Carballo et al.
(2004) en Rubia Gallega (57,3 %), Arthur et al. (1995)
para Angus (55,7 %), Hereford (56,6 %) y Charolesa
(55,6 %) y por Piedrafita et al. (2003) para Asturiana
de la Montaña (56,3 %), Avileña Negra Ibérica (58,1 %),
Morucha (57,2 %), Retinta (57,5 %), Aubrac (59,9 %) y Salers (58,5 %). Estas diferencias en el rendimiento canal
entre razas podrían ser debidas a las diferentes edades
de sacrificio a las que fueron sacrificados los animales,
sistema de producción y tasas de crecimiento inherentes a cada raza.
de valor para seguir siendo competitivos, por lo que
las vísceras y subproductos tienen un valor comercial
cada vez más significativo. En la tabla II se muestran
los valores porcentuales, respecto al peso vivo de los
principales subproductos y vísceras de los terneros de
raza Mirandesa. La piel es el subproducto de mayor
importancia (11,2 %), lo que también coincide por ser
el de mayor valorización e interés comercial que despierta en el productor. Los valores medios porcentuales de cabeza (4,8 %) del presente trabajo fueron muy
superiores a los mostrados por Simões et al. (2005) en
diferente razas Portuguesas con valores extremos de
2,4 % para Alentejana y de 2,8 % para Mertolenga. Lo
mismo ocurre con el porcentaje de pies (2,9 %) superior
también en los animales de este trabajo en comparación
con los obtenidos por Simões et al. (2005) (1,8-2,2 %).
Cuando se compara el tracto digestivo, suma de estómagos e intestinos, los valores medios obtenidos
para la raza Mirandesa (3,6 %) fueron inferiores a los
descritos por Simões et al. (2005) quienes observaron
valores entre 4,1 % y 5,4 % para la raza Arouquesa y
Barrosa, respectivamente. Con respecto al porcentaje
de vísceras, calculado como la suma de pulmón, corazón, hígado, bazo y riñones, nuestros resultados (4,2%)
fueron ligeramente superiores a los observados por
Simões et al. (2005) para la raza Mirandesa (3,8 %). Por
último, destacar que las comparaciones deben hacerse
con cautela debido a las diferencias de edad lo que
genera diferencias alométricas en los diferentes tejidos
entre los animales, además de ligeras diferencias metodológicas que pudieran darse.
En la tabla III se presentan los valores medios,
desviación estándar, máximo y mínimo de las medidas
objetivas de la canal. Los valores medios de la longitud
oscilaron entre 104 y 120 cm, con un valor medio de
110,1 cm. Estos resultados coinciden los publicados
previamente por Albertí et al. (2005) quienes mostraron valores medios de longitud de canal de 109,8 cm
en siete razas españolas y por Franco et al. (2010) para
terneros de las raza Vianesa y Limiá (108,5 cm). Sin
embargo, Albertí et al. (2008) encontraron valores de
longitud de canal ligeramente superiores en animales
con un peso canal similar al nuestro: Casina (121,1 cm),
Highland (119,1 cm) y Jersey (119,8 cm) y Sánchez et
al. (2005) para Nelore (126 cm). Respecto a las variables relacionadas con el volumen de la pierna como
el perímetro y espesor, también fueron ligeramente
superiores en los terneros de este trabajo que en razas
Gallegas (Franco et al., 2010).
Cuando se sacrifica un animal, además de la canal se obtiene un conjunto de productos y vísceras
a los que, en el pasado, los productores daban poca
importancia, porque habitualmente no se pagaban.
Sin embargo, hoy en día la situación ha cambiado y
ha aumentado la necesidad de avanzar en la cadena
Tabla I. Media, desviación estándar, máximo y mínimo de las características de la canal de machos de la raza
Mirandesa (n=20) (Mean, standard deviation, maximum and minimum of carcass characteristics from male Mirandesa breed (n=20).
Media
SD
MAX
MIN
Edad (días)
312,80
23,30
364,00
280,00
Peso vivo (kg)
293,65
46,98
393,00
231,00
Peso vivo vacío (kg)
250,53
39,94
333,20
200,90
Peso canal caliente(kg)
154,94
28,61
212,10
118,20
Peso canal fría (kg)
151,99
27,80
208,40
116,80
Rendimiento canal verdadero (%)
60,48
1,72
64,10
57,49
Pérdidas por oreo (%)
1,87
0,83
3,55
0,61
Archivos de zootecnia vol. 65, núm. 250, p. 255.
SOUSA, LORENZO, IGLESIAS, CANTALAPIEDRA Y FRANCO
Tabla II. Media, desviación estándar máximo y
mínimo de los componentes del porcentaje del
quinto cuarto (respecto al peso vivo vacío) de machos de la raza Mirandesa (n=20) (Mean, standard deviation, maximum and minimum of the percentage of fifth quarter
components (relative to live weight empty) from male Mirandesa
breed (n=20).
Media
SD
MAX
Peso canal fría (kg)
151,99
27,80
208,40 116,80
MIN
Piel
11,19
0,53
12,44
9,94
Intestinos*
1,73
0,37
2,36
0,78
Cabeza
4,83
0,16
5,11
4,58
Estómagos*
1,90
0,29
2,26
0,90
Pies
2,90
0,17
3,23
2,60
Hígado
1,45
0,15
1,70
1,14
Pulmón
1,66
0,33
2,28
1,19
Corazón
0,43
0,06
0,54
0,31
Lengua
0,41
0,07
0,54
0,30
Rabo
0,39
0,04
0,50
0,27
Riñón
0,29
0,05
0,40
0,18
Bazo
0,36
0,07
0,49
0,26
*Intestinos y estómagos sin su contenido.
El índice de compacidad de la canal, que denota
la compacidad de la misma y que se muestra como
un buen discriminador para los distintos grados de
conformación al ser mayor en las mejores categorías,
presentó un valor medio de 1,38. Los valores para el
índice de compacidad de la canal de los terneros de las
razas Limiá y Vianesa fueron cercanos y de media 1,25
y 1,17 respectivamente, para animales de conformación
media O. En línea con esto, Carballo et al. (2004) observaron que el índice de compacidad de la canal aumentaba a medida que mejoraba la conformación, pasando
de 1,38 a 1,95 en terneros de raza Rubia Gallega de
conformaciones O y E, respectivamente. Con respecto
al índice longitudinal transverso de la pierna, nuestros
valores medios fueron de 3,70 (4,25-3,36), mejores que
los mostrados por Franco et al. (2010) para terneros de
las razas Limiá y Vianesa con valores de 4,31 y 4,51,
respectivamente; pero inferiores a los obtenidos por
Carballo et al. (2004) en terneros de raza Rubia Gallega
con valores de 3,11 para terneros de conformación R
y O y con valores de 2,67 y 2,77 para conformaciones
E y U, respectivamente. Es este sentido, Varela (2002)
afirmó que las diferencias en el ILTP son consecuencia
lógica de las diferencias en el espesor de la pierna y que
pueden ser consecuencia de una mejor conformación
de la raza.
Un método indirecto para valorar la calidad de la
canal radica en las medidas de área de musculo Longissimus thoracis a diferentes niveles (sexta y décima
costilla, véase tabla III), información que además se
puede emplear para determinar el desarrollo de la
masa muscular. En nuestro estudio obtuvimos valores medios de 31,3 y 57,5 cm2 para la sexta y décima
costilla, respectivamente. Según los trabajos llevados
a cabo por Carballo et al. (2004) estás área se corresponderían con una categoría comercial O. Estos mismos
autores han señalado que el área de la décima costilla
ofrecía mejores resultados en términos de clasificación
de canales que la sexta costilla. Sin embargo, en nuestro
estudio no se pudo comprobar dicha afirmación ya que
no dispusimos de la conformación de las canales.
La tabla IV muestra los valores medios, desviación
estándar, máximo y mínimo de los valores obtenidos
del despiece de la media canal izquierda, expresado en
porcentaje, así como la composición tisular. La canal
es la principal unidad de transacción entre los sectores
productivos y comercializador de carne de bovino,
por lo que es fundamental conocer su composición y
rendimiento de las diferentes partes que la integran
para poder así estimar su verdadero valor comercial.
La variabilidad de sus componentes físicos y su distinta distribución en la canal da lugar a que las piezas
Tabla III. Media, desviación estándar, máximo y mínimo de las medidas morfométricas de la canal de machos de la raza Mirandesa (n=20) (Mean, standard deviation, maximum and minimum of morphometric measurements from male
Mirandesa breed (n=20).
Media
SD
Max
Min
151,99
27,80
208,40
116,80
Longitud canal
110,10
4,45
120,00
104,00
Longitud pierna
69,03
2,21
75,00
66,00
Perímetro pierna
89,78
4,15
97,50
82,00
Profundidad interna pecho
28,65
1,18
31,00
26,00
Espesor pierna
18,70
1,27
21,50
16,00
ICC
1,38
0,20
1,75
1,09
ILPT
3,70
0,19
4,25
3,36
6ª costilla
31,28
5,16
42,89
22,32
10ª costilla
57,49
9,71
79,92
43,93
Peso canal fría (kg)
Medidas morfométricas (cm)
Índices de la canal
Área del m. Longissimus thoracis (cm2)
ICC= Índices compacidad canal.
ILTP= Índice longitudinal transversal de la pierna.
Archivos de zootecnia vol. 65, núm. 250, p. 256.
CARACTERÍSTICAS DE LA CANAL DE TERNEROS DE LA DENOMINACIÓN DE ORIGEN PROTEGIDA MIRANDESA
Tabla IV. Media, desviación estándar, máximo y mínimo del despiece de la canal ( %) de machos de la raza
Mirandesa (n=20) (Mean, standard deviation, maximum and minimum of the quartering of the carcass ( %) from male Mirandesa breed
(n=20).
Media
SD
Max
Min
Peso canal fría (kg)
151,99
27,80
208,40
116,80
Lomo
7,47
0,55
8,70
6,56
Solomillo
2,24
0,2
2,70
1,82
Cadera
3,89
0,36
4,45
3,04
Tapa
7,06
0,53
8,43
6,29
Babilla
4,12
0,37
4,86
3,53
Contra
5,08
0,37
5,93
4,50
Redondo
1,80
0,21
2,31
1,50
Jarrete
3,66
0,41
5,05
3,24
Espalda
7,84
1,15
12,32
7,01
Aguja+Pescuezo
10,34
0,91
12,17
8,43
Pecho
5,24
0,92
6,58
3,73
Jarrete
3,25
0,38
3,84
2,47
Carne
74,85
2,24
78,32
71,39
Hueso
18,12
0,98
19,81
15,65
Grasa
7,03
1,75
9,33
4,12
Carne/hueso
4,15
0,33
5,00
3,70
Composición tisular ( %)
que se obtienen de ella presenten distintas aptitudes
culinarias, lo que se traduce en un precio comercial diferenciado. Los valores medios obtenidos del despiece
de las canales de la raza Mirandesa fueron de 74,9 %
para carne, 18,1 % para hueso y 7,0 % para grasa. Esta
proporción de carne se encuentra en la parte superior
del intervalo de valores (70-76 %) observado por otros
autores (Piedrafita et al., 2003; Albertí et al., 2008; Franco et al., 2010) para razas autóctonas españolas (Cachena, Caldelá, Limiá, Vianesa, Asturiana de los Valles,
Morucha, Pirenaica y Retinta). Para terneros de la raza
Rubia Gallega de conformación alta (U y E) se llegan
a rendimientos de carne de 78,4 % y 80,5 %, respectivamente; mientras que conformaciones inferiores (R y O)
no superan el 75 % (Carballo et al., 2004). Sin embargo,
Simões y Mendes (2003) obtuvieron porcentajes de
carne en la canal del 67,8% para la raza Mirandesa. Con
respecto a los porcentajes de hueso y grasa, nuestros
valores medios están dentro del intervalo encontrado
por Albertí et al. (2001) quienes obtuvieron porcentajes
de 16-19 % y 7-10 % para hueso y de grasa, respectivamente. Por el contario, Simões y Mendes (2003) encontraron porcentajes ligeramente inferiores de hueso
(15,4-17,4 %) y del doble para la grasa (13,1-16,0 %) en
la raza Mirandesa.
Por otro lado, el cuarto trasero de la canal que representa aproximadamente 2/3 de la carne vendible,
y es donde se encuentran las piezas de mayor valor
comercial, tanto de categoría extra (lomo y solomillo)
como piezas de primera (cadera, tapa, babilla, contra
y redondo), representaron un 9,7 % y 21,9 % del peso
de la canal, respectivamente. Respecto a las piezas
de segunda (espalda, aguja y pescuezo) y las piezas
de tercera (jarretes delantero y trasero y el pecho), se
obtuvieron porcentajes respecto de la canal del 18,2 % y
12,2 %, respectivamente. Por último, la relación carne/
hueso fue similar a la mostrada por terneros de raza
Rubia Gallega de conformación R (4,09) (Carballo et
al., 2004), superior a la mostrada por razas autóctonas
Gallegas (Franco et al., 2010) con valores no superiores
a 3,21 e inferior a la presentada por terneros de raza
Rubia Gallega de conformación alta (U y E con valores
de 4,97 y 5,43, respectivamente) (Carballo et al., 2004).
CONCLUSIONES
No existen demasiados datos en la bibliografía relativos a la calidad de canal de la raza Mirandesa,
siendo esta una de las razas autóctonas de Portugal
de mayor formato junto con la Alentejana y Marinhoa,
por lo que los resultados que aquí se presentan sirven
para caracterizar mejor esta raza. A la luz de los mismos, podemos concluir que estamos ante una raza que
presenta unos notables rendimiento canal en algunos
individuos con valores superiores al 64 %, teniendo en
cuenta la rusticidad de la raza y los pesos de sacrificio
a los que se consigue dicho rendimiento. Asimismo,
el despiece nos permitió comprobar que estamos ante
una raza que proporciona tenernos con un alto porcentaje de carne (valores próximos al 75 %) lo cual
es de sumo interés para la industria a la hora de
fomentar esta raza, y con relaciones carne/hueso
equivalentes a las mostradas en terneros de razas de
aptitud cárnica como la Rubia Gallega.
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Maternal mortality in the rural Gambia, a qualitative study on access to emergency obstetric care
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Reproductive health
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BioMed Central BioMed Central Received: 22 December 2004
Accepted: 04 May 2005 This article is available from: http://www.reproductive-health-journal.com/content/2/1/3 © 2005 Cham et al; licensee BioMed Central Ltd. This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/2.0),
which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. Abstract Background: Maternal mortality is the vital indicator with the greatest disparity between
developed and developing countries. The challenging nature of measuring maternal mortality has
made it necessary to perform an action-oriented means of gathering information on where, how
and why deaths are occurring; what kinds of action are needed and have been taken. A maternal
death review is an in-depth investigation of the causes and circumstances surrounding maternal
deaths. The objectives of the present study were to describe the socio-cultural and health service
factors associated with maternal deaths in rural Gambia. Methods: We reviewed the cases of 42 maternal deaths of women who actually tried to reach or
have reached health care services. A verbal autopsy technique was applied for 32 of the cases. Key
people who had witnessed any stage during the process leading to death were interviewed. Health
care staff who participated in the provision of care to the deceased was also interviewed. All
interviews were tape recorded and analyzed by using a grounded theory approach. The standard
WHO definition of maternal deaths was used. Results: The length of time in delay within each phase of the model was estimated from the
moment the woman, her family or health care providers realized that there was a complication until
the decision to seeking or implementing care was made. The following items evolved as important:
underestimation of the severity of the complication, bad experience with the health care system,
delay in reaching an appropriate medical facility, lack of transportation, prolonged transportation,
seeking care at more than one medical facility and delay in receiving prompt and appropriate care
after reaching the hospital. Conclusion: Women do seek access to care for obstetric emergencies, but because of a variety
of problems encountered, appropriate care is often delayed. Disorganized health care with lack of
prompt response to emergencies is a major factor contributing to a continued high mortality rate. Reproductive Health Open Access Ope
Research
Maternal mortality in the rural Gambia, a qualitative study on
access to emergency obstetric care
Mamady Cham†1, Johanne Sundby*†2 and Siri Vangen3 ddress: 1Department of State for Health, Medical and Health Headquarters, Banjul, The Gambia, 2Institute of Comm
edicine, University of Oslo, Norway and 3Norwegian Institute of Public Health, Oslo, Norway Email: Mamady Cham - mamady_cham@hotmail.com; Johanne Sundby* - johanne.sundby@medisin.uio.no; Siri Vangen - siri.vangen@fhi.no
* Corresponding author †Equal contributors Received: 22 December 2004
Accepted: 04 May 2005 Model We used the standard WHO definition of maternal death
[18]. Like most health problems, causes of maternal death
can be viewed either narrowly or broadly. A broad view
would take into account individual, community and
health service factors that contributed to the deaths, not
merely the medical cause. The "Three phases of Delay
Model" [19] was chosen to classify factors associated with
the maternal deaths in the present study. The model is
based on the fact that about 75% of maternal deaths are a
result of direct causes: hemorrhage, obstructed labor, sep-
sis, eclampsia and abortion complications [4]. Most of
these deaths are preventable with prompt and adequate
medical interventions. Delays in reaching adequate care
are prominent factors contributing to maternal deaths. Thaddeus and Maine [19] have argued that not getting
adequate care in time is the overwhelming reason why
women die in developing countries. Lack of care, they
argued, can be related to three factors: a delay in making
the decision to seek care when complications develop; a
delay in reaching obstetric medical facility once the deci-
sion to seek care has been made; or delay in receiving ade-
quate and appropriate care once a medical facility has
been reached. Delay in the decision to seek medical care
may be influenced by various factors such as the actors
involved in the decision-making process, illness character-
istics, and experience with the health system or distance to
the health facility. Delay in reaching an appropriate med-
ical facility is affected by the distribution of health facili-
ties, availability of transportation, road conditions or cost
of transportation. Delay in receiving adequate and appro-
priate care once the facility is reached is mainly due to
operational difficulties in the health care delivery system. Such inadequacies may be characterized by shortages in
supplies, equipment, lack of trained personnel, incompe-
tence of the available staff, or uncoordinated emergency
services. The delay model helps to identify community The objectives of the present study were to describe the
socio-cultural and health service factors associated with
maternal deaths in rural Gambia. We aimed at identifying
factors that if avoided, may have prevented these deaths. A key focus of the study is to try to create an operative
understanding of the concept of access. The study was car-
ried out in Central and Upper River Divisions between
January and September 2002. Background [1,2]. Causes of maternal deaths are similar in these coun-
tries, however the distribution of causes differ somewhat
from region to region [3]. [1,2]. Causes of maternal deaths are similar in these coun-
tries, however the distribution of causes differ somewhat
from region to region [3]. g
Maternal mortality is the vital indicator with the greatest
disparity between developed and developing countries Page 1 of 8
(page number not for citation purposes) Page 1 of 8
(page number not for citation purposes) http://www.reproductive-health-journal.com/content/2/1/3 Reproductive Health 2005, 2:3 Measuring maternal mortality is notoriously difficult for
both conceptual and practical reasons. The currently avail-
able approaches are complex, resource intensive and
imprecise; and the results they yield are often misleading
[4]. The challenging nature of measuring maternal mortal-
ity necessitates to perform an action-oriented means of
gathering information on where, how and why deaths are
occurring; what kinds of action are needed and have been
taken [5]. Assessing the impact of preventive measures
demands exact knowledge about how many lives were
saved. Often the answer to the "why" is not a simple one. The death may occur as a result of a series of intercon-
nected events rather than one single factor. Answering the
"why" question thus requires a systematic review of each
maternal death in order to find information on events sur-
rounding the deaths. A maternal death review is an in-
depth investigation of the causes and circumstances sur-
rounding maternal deaths such as problems in accessing
care, mismanagement and inadequate routines [6]. Levels
of maternal mortality in the Gambia are unacceptably
high and are ranked among the highest in Africa, esti-
mated at 1,050 per 100,000 live births and are higher in
rural than in urban areas [7]. Obstetric causes of maternal
deaths in the Gambia are well documented [7-11], but lit-
tle attention is paid to the contributing factors. In order to
reach the Millennium Development Goal of reducing
maternal mortality, women's access to good quality
health care embedded in a human rights framework is an
important factor. Access to emergency obstetric care and
better social status of women are two elements that may
contribute significantly towards this goal. Site-specific
information may be a key to policy change and action,
even if the general causes of continued high maternal
mortality rates are well known. Background The influence of a local
maternal care access study on improving service delivery
and organization has been demonstrated in Mali [12]. inhabitants are mainly subsistence farmers, and they are
generally poor. There are seventeen medical facilities in the area including
one referral hospital. This hospital is the only facility pro-
viding comprehensive emergency obstetric care (EOC)
[15]. The other health facilities provide some basic EOC. General access to basic health care facilities in the country
is good, with over 85% of the population living within 3
km of a primary health care or outreach post and 97%
within 5 km [16]. The distance from other health facilities
in the area to the referral hospital ranges from 17 to 115
km. Antenatal care coverage in the country is exception-
ally high, as 96% of pregnant women attend antenatal
clinic at least once during pregnancy [17]. Levels of mater-
nal mortality in this region are nevertheless among the
highest in the country [7]. Model The main qualitative find-
ings from verbal autopsies performed on 32 maternal
deaths are presented. The analysis of socio-demographic
background, medical causes and management of cases is
presented in another paper [13]. Page 2 of 8
(page number not for citation purposes) In another case a mother in-law narrated: "She swept the house and prepared breakfast. At midday she
was lying in the room complaining of labor pains. We thought
she will deliver without a problem as in her last pregnancy. It
was after 2:00 pm she did not deliver then we decided to look
for transport to take her to the health centre". We also interviewed health care staff who participated in
the provision of care to the deceased, ambulance drivers,
generator operators and laboratory personnel. Other peo-
ple interviewed in the community were local taxi drivers
and ferry captains. Cultural belief In Gambian society pregnancy and childbirth are gener-
ally regarded entirely as women's entity. Older women in
their menopause are seen as experts on pregnancy and
childbirth, particularly in rural areas of the country. These
women are consulted if a complication is noticed during
pregnancy, labor or during the puerperium. When con-
sulted, they usually decide what should be done and their
advice is taken. Words of elders are hardly challenged in
Gambian societies. In the case below an older woman
advised a woman in labor to wait until after the next Mus- Study Area
C
l
d Central and Upper River Divisions are located at least 300
km away from the capital city, Banjul, and the roads are
generally in poor condition. In 2002 the total population
of the two divisions was estimated at 400,917 [14]. The Page 2 of 8
(page number not for citation purposes) Page 2 of 8
(page number not for citation purposes) http://www.reproductive-health-journal.com/content/2/1/3 http://www.reproductive-health-journal.com/content/2/1/3 http://www.reproductive-health-journal.com/content/2/1/3 Reproductive Health 2005, 2:3 and health services factors contributing to maternal
deaths and as such it is useful in devising interventions
and strategies for preventive measures. health sector, where the basis for the analysis is not a the-
oretical model per se, but the focus is rather on identified
items of relevance to the studied topic [23]. Interpretation
of the findings with a view to provide possible and plau-
sible explanations was then performed. Ethical approval This study is part of an in depth study on maternal mor-
tality in the above described area. The main bulk of mater-
nal mortality studies in the Gambia cover other areas [7-
11]. We have, in the chosen time period, identified a total
of 42 maternal deaths, by using different community and
health facility case finding strategies. The cases identified
were women who actually tried to reach or have reached
health care services. Medical and social details about the
fatal cases are submitted for publication elsewhere. A ver-
bal autopsy technique [20] was possible to perform on 32
of the women who died. We aimed at identifying the var-
ious circumstances that contributed to the deaths, often
called the "road to death" [21,22]. This involved a visit to
the home and village of the deceased and all health facil-
ities where she sought care. Key people who had wit-
nessed any stage in this process were interviewed. The study was approved by a joint ethics committee of The
Gambia Government/Medical Research Council Labora-
tories and the regional Medical Ethics Committee of Nor-
way. Oral consent was taken from each participant. Underestimation of the severity of the complication f
y
f
p
Previous uncomplicated pregnancies may influence
actions taken during the current pregnancy that can lead
to a delay in the decision-making process. Women or their
relatives used previous pregnancies as a risk- predicting
tool. A husband of a deceased woman narrated: "This was her ninth pregnancy. All previous pregnancies were
delivered at home. She always gave birth without even calling
for help from the traditional birth attendant. We thought she
will deliver this time without a problem". We often used a group interview, as the whole family par-
ticipated in revealing their versions of the context of the
death, and to give a verbatim account on the deceased's
final illness up to her death. Specific issues such as the
time taken to decide to seek care; places where care was
sought; financial constraints; cultural factors influencing
care seeking process; means of transportation and time to
reach a medical facility were explored and recorded. Delay in deciding to seek care The delay was estimated from the moment somebody,
either the woman or her family realized that there was a
complication until the decision to seeking care was made. In seven of the 32 cases the process of seeking medical
attention was delayed after becoming aware of the com-
plication. The delay ranged from two hours to five days. The reasons mentioned for the delay were underestima-
tion of the severity of the complication, cultural belief or
previous unfavorable experience with the health system. In the community, interviews were performed with family
members or other persons, usually those present during
the time the deceased developed the illness; or those who
accompanied her to the health facilities and were with her
at the time of death. These were mainly in-laws, midwives
or the deceased's husband. A WHO based, verbal autopsy
questionnaire [10] was administered. An interview with
the deceased's relatives was performed in the deceased's
home at least one week after, but not later than twenty-
five weeks after the death. Page 3 of 8
(page number not for citation purposes) Lack of transportation Transportation difficulties, such as poor road conditions,
lack of readily available transport and/or inadequate
means of transportation were mentioned. The relatives
often expressed shortage of transport as serious obstacles. Lack of motorized transport forced some families to opt
for alternative means of transport such as using a cart
(donkey, ox or horse) or in extreme instances, they
walked. A husband explained: "On Thursday evening she complained of abdominal pains... ... ...throughout the weekend she was with severe abdominal pain
but we had to wait until the following Monday as it is the day
on which pregnant women are attended to. The clinic is closed
on Saturdays and Sundays". Poor provider attitude, fear of punishment by health care
providers based on previous experiences or just gossip can
lead to delays in the decision making process. A midwife
narrated "She started pouring blood late in the evening just after evening
prayers [5:00 pm]....we took her to the main road [tarred road]
to look for transport. We were there [main road] up to twelve
midnight but couldn't get transport. All the vehicles that came
were full. We went back home and woke up early morning the
following day to catch the first transports". "She was vomiting throughout the night, the following morning
the husband decided to take her to the health centre but she
refused... ... ...she has not yet get an antenatal care card. She
feared the nurses because if she goes to complain about the vom-
iting she will be asked the card and without it they [nurses] will
tell her all salty words. She may be insulted or may even not be
given medicine". Transportation difficulties were experienced even after
reaching the first medical facility, as some of the health
facilities were without an ambulance. If a facility has an
ambulance it usually serves multiple purposes and may
not be available at certain times. A midwife narrated: Information from care providers that is not clearly under-
stood, can lead to delay in seeking medical care. A woman
with twin pregnancy was advised to deliver at the hospital. However, the information provided lead to the following
situation: "The patient came to the health centre at around 4:00 pm... ....she cannot be managed here because she may need an oper-
ation [caesarean section]. We planned to evacuate her to the
hospital but our ambulance had a breakdown a week ago. Experience with the health care system Other testimonies indicated that structural factors in
maternal health care provision discouraged women from
seeking care. Prenatal care is provided on specific days in
each community during week days only. This gives the
impression that maternal health services are only availa-
ble on days when clinics are held. A mother in-law nar-
rated: Delay in reaching an appropriate medical facility Once a decision to seek medical care has been made, other
obstacles had to be overcome in reaching a medical facil-
ity. Twenty-seven of the 32 women were delayed in reach-
ing an appropriate medical facility. The reasons for this
delay can be grouped into three subcategories: lack of
transport, prolonged transportation and seeking care at
more than one facility. Analysis Interviews with staff were carried out independently. All
interviews were tape recorded and transcribed in full text. The transcribed material was categorized and analyzed by
using a grounded theory. Grounded theory is an interview
text analysis method utilized for qualitative studies in the Page 3 of 8
(page number not for citation purposes) Page 3 of 8
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cal attention. The rationale for the delay was that it is
believed to evaluate progress in labor at specific times cor-
responding to the Muslim praying times: lim praying time (after three hours) before seeking medi-
cal attention. The rationale for the delay was that it is
believed to evaluate progress in labor at specific times cor-
responding to the Muslim praying times: Lack of money and refusal to receive medical attention
were not identified as factors affecting health care seeking
process. In twenty-two out of the thirty-two women, no
funds were available when the complication developed. In all these cases the woman was taken to a medical facil-
ity without money and a relative was left behind to raise
money in the community, to be able to pay at a later stage. "Labor and child birth takes place at certain times... ... ....these
times correspond with the Muslim praying times. It was around
midday and the next praying time was 2:00 pm so we thought
she will deliver by then. It was after then when she did not
deliver we decided to take her to the health centre". Seeking care at more than one medical facility Seeking care at an inappropriate level of facility actually
delays access to appropriate treatment. The inability to
provide comprehensive obstetrical services forces periph-
eral health facilities to refer all women needing such serv-
ices to the nearest hospital: 26 of the 32 women visited
more than one medical facility during the care seeking
process, 18 of the 26 women visited two health facilities
while the other 8 women visited three different facilities. Thus, the women accessed a health care facility, but not
appropriate health care. The husband of a deceased nar-
rated: "She was brought to the hospital on the 13th at around 9:00 am
from another health centre. The doctor saw her and diagnosed
hand-presentation. He [doctor] asked us [midwives] to observe
her. No action was taken by the doctors up to the 15th late in
the evening [48 hours later] when they took her to the theatre. He [doctor] first tried external cephalic version which failed
before a caesarean section was performed. The patient was
wheeled dead from the theatre". Poor management of staff availability, particularly doc-
tors, has been mentioned as a factor contributing to poor
care. A midwife narrated: "We took her to the health centre in the village... .....she was
examined by the nurse who later transferred her to another
health centre [44 km away]. There she spent the night and the
following morning she was again transferred to the hospital [36
km away]. On our way to the hospital we had to cross the river
at two different crossing points. Immediately after we reached
the hospital she died". "There used to be four doctors in the maternity unit but in July
all three went on leave together. Now only one doctor is avail-
able for the unit. He does ward rounds, performs operations and
runs the out-patients clinic. Even when there were four doctors
we usually have problems with them [doctors] because there is
no duty rooster for doctors in place. After normal working hours
when there is an emergency it is always difficult to see them". A husband of a deceased woman narrated: A husband of a deceased woman narrated: "She was pouring blood at home so we took her to the health
centre. There we were told she urgently needed blood but blood
bags were not available. She was then transferred to the hospi-
tal [60 km away]. At the hospital blood bags were finished. She
was in the hospital from mid-day up to the following day in the
evening but had not received blood. Late at night she died". Delay in receiving prompt and appropriate care after
reaching the hospital Thirty-one women experienced delay in receiving prompt
and adequate obstetric care at the hospital level. Lack of
blood transfusions and basic medical supplies were men-
tioned in the testimonies. A mother in-law explained: A laboratory officer narrated: A laboratory officer narrated: "She was admitted in the hospital for two weeks and discharged
on a Monday. On her return to our village [85 km away from
the hospital] she fell down unconscious. We took her to the
health centre in our village where she was transferred to
another health centre [20 km]. She was again transferred to
the hospital [60 km away]. She spent few hours at the hospital
and died". "Here patients are escorted to the hospital by old women who
are not fit to donate blood. In addition most men in this area
are reluctant to donate blood and prefer to buy blood". Delay in providing prompt and adequate care by the med-
ical team was also highlighted in the testimonies. A mid-
wife narrated: http://www.reproductive-health-journal.com/content/2/1/3 http://www.reproductive-health-journal.com/content/2/1/3 Reproductive Health 2005, 2:3 "I took my wife to the health centre... ...two hours later the
nurse told me that she [my wife] will be transferred to the hos-
pital but that the ambulance had no fuel. I was asked to buy fuel
for the ambulance to take my wife. I bought twenty liters of die-
sel". "When we reached the hospital, they [the doctor and the
nurses] told us to find two bottles of blood for her [our patient]. We went to the laboratory but the man at the lab said there was
no blood. I donated one bottle and bought another in the lab. After giving her [patient] the blood we were asked to get
another two bottles. We went back to the lab but the man at the
lab insisted there was no blood. I paid him D300.00 [equiva-
lent to US$12.00] before getting the two bottles of blood". Some communities in the Gambia have – with the assist-
ance of the health authorities – tried to set up community
based emergency transport systems, such as horse carts or
bicycle ambulances, but it is difficult to make them sus-
tainable. Prolonged transportation Long distance, visiting different health facilities, poor
road and vehicle conditions contributed to prolonged
traveling time. Several testimonies highlighted this. A hus-
band explained: Lack of transportation We
looked for transport in the village throughout the night but
could not get one. The following morning we went to the agri-
cultural department to look for transport but their vehicle had
already left for trek. It returned around 11:00 am and thereaf-
ter it came to transport the patient to the hospital". "She was told she had twin pregnancies by the nurse. She was
told by the nurse to report to the hospital when in labor. When
labor began we decided to go to the hospital. She was not told
to report to the hospital before labor began". Barriers to seeking care may not appear as such to care
providers when they make recommendations. The
woman may not see them as an issue, as she is not given
room to discuss these with the nurse. Lack of fuel for the ambulance was also mentioned. In
such occasions relatives or escorts met the fuel cost. A hus-
band narrated: Page 4 of 8
(page number not for citation purposes) Page 4 of 8
(page number not for citation purposes) (page number not for citation purposes) Discussion The Gambia was the first country to implement a sister-
hood approach to measure maternal mortality rates [9]. Former studies of maternal deaths in the Gambia indi-
cated a decrease in numbers [10]. However, factors related
to health care delivery could contribute to further Page 5 of 8
(page number not for citation purposes) Page 5 of 8
(page number not for citation purposes) Reproductive Health 2005, 2:3 http://www.reproductive-health-journal.com/content/2/1/3 http://www.reproductive-health-journal.com/content/2/1/3 http://www.reproductive-health-journal.com/content/2/1/3 most likely will go well" may cause a hesitation in recog-
nizing early signs of complications. improvement [16], as substandard care has been demon-
strated as a contributing factor to poor survival [8]. We
used multiple sources of information, such as health
workers' identification, community leaders' knowledge,
hospital files and post partum follow up visits to identify
maternal deaths that took place in the health care facili-
ties. Health service related factors were mentioned to have
constrained the decision-making process in this study. Bad experience with the health system will mostly lead to
reluctance or non-utilization of health care services. Poor
provider attitude towards patients has been identified as a
major factor to low utilization of services in Kigoma [21]
and to low compliance to a referral hospital by high-risk
pregnant women [28]. The communication barriers
between lay people's concepts and those of professional
care providers may lead to serious misinterpretations. Women in the Gambia often resort to home delivery
assisted by a traditional birth attendant or a relative as
their first option. Sundari [25] identified unfamiliar set-
ting at the health facility, being attended to by strangers,
lack of family support, attendant being a male care pro-
vider, reduced autonomy, lack of sympathy and under-
standing on the part of the health care personnel and not
seeing the need for care as some of the factors contributing
to non-utilization of health services during labor and
childbirth. Maternal death is often a consequence of a long and com-
plex chain of delays, and only in few cases death can be
attributed to a specific event [24-26]. Any one delay could
be fatal to a woman with obstetrical complications. Con-
trary to the common belief, that women do not seek care
and die in the community, we identified a number of
women who initially intended to deliver at home, but
tried to get assistance once a complication occurred. Delay in reaching an appropriate medical facility Delay in reaching an appropriate medical facility
Lack of public transportation systems in rural areas
requires that communities need to form partnership with
the local commercial transport owners in addressing the
transport problem. This strategy was adopted in North-
western Nigeria [35] and had contributed to the reduction
of maternal deaths and cost of transportation. Major health centers are strategically located in the Gam-
bia, but accessing them does not necessarily mean to
receive appropriate care. Sometimes using these sites as
the entry point to health services can delay further
attempts of accessing adequate care. Efforts to transfer
health centers into fully functional basic obstetric emer-
gency units could reduce the delay caused by long trans-
portation time. Brown [31] defined culture as a 'complex whole' that
refers to the learnt pattern of thoughts and behavior char-
acteristics of a social group. It involves religion, kinship,
knowledge, belief, art, morals and child bearing practices. The tendency to act or not in the presence of a complica-
tion is also influenced by the interpretation supported by
cultural beliefs. Several studies carried out in Africa and
elsewhere [24,32,33] have highlighted how culture influ-
enced health care seeking process. Religious belief was
mentioned to have influenced the care seeking process in
our study. Jansen [34] asserted that religion, medicine and
magic are closely interwoven. If the barriers to care are too
overwhelming, a culturally based reassurance that "things Being unable to meet the costs for immediate health care
was not seen as a main obstacle. Some health facilities
supported by non-governmental organizations (NGOs)
and local associations have implemented a system of cost
sharing in order to provide quality health care. Discussion The
problems encountered in trying to do so, reveal major
obstacles in access to appropriate care within an accepta-
ble time. Delay in deciding to seek medical care Delay in deciding to seek medical care on the part of the
woman or her relative is usually regarded entirely as
patient factor. First, the illness or complication must be
recognized and classified as abnormal. Recognition of an
illness may be influenced by factors such as the prevalence
of the condition [27]. In a study among pregnant women
in Senegal, 13% regarded fever, pallor and dizziness as
normal signs of pregnancy because these conditions were
common among pregnant women in that area [28]. In
Tanzania, rural women seem to avoid going to the hospi-
tal because of fear of discrimination, geographical and
financial barriers and different interpretation of danger
signs [29]. Raising awareness is a health education issue
for health care workers and the community. One role of
appropriate antenatal care is to address these issues and to
offer care seeking solutions in advance. Access to skilled
attendance at childbirth includes improved technical
skills as well as skills in attitude, communication, infor-
mation and early advice on referral [30]. Competing interests p
14. Jeng MS: Population Data Bank 1995 Banjul, The Gambia; 1996. There are no competing interests for this study. The study
was partly financed by a Norwegian government quota
grant for students from developing countries for higher
studies in Norway. This project was also funded by the
Participatory Health Population and Nutrition Project
(PHPNP) of the Department of State for Health of The
Gambia. 15. Maine D, Wardlaw T, Ward V, McCarthy J, Birnbaum A, Akalin MZ,
Brown JE: Guidelines for Monitoring the Availability and Use
of Obstetric Services. Geneva: World Health Organization; 1997. 16. Telfer M, Rowley J, Walraven G: Experience of Mothers with
Antenatal, Delivery and Postpartum Care in Rural Gambia. Afr J Reprod Health 2002, 6:74-83. J
p
17. Evaluation of the maternal, child health and family planning
programme (MCH/FP) 1990 – 2000. In Department of State
Health Banjul; 2000. j
18. International Statistical Classification of Diseases and
Related Health Problems. Volume 2. Geneva: World Health
Organization; 1993. Authors' contributions Mamady Cham did the data collection in the field, the
main analysis, wrote the first draft of the paper and
reviewed the final document. 19. Maine D: Too far to walk: maternal mortality in context. Soc
Sci Med 1994, 38:1091-1110. 20. Verbal autopsies for maternal deaths. In Report of a WHO work-
shop London, 10 – 13 January 1994 Geneva: World Health Organiza-
tion; 1995. 21. Mbaruku G, Bergstrom S: Reducing Maternal mortality in Kig-
oma, Tanzania. Health Policy Plan 1995, 10:71-8. Johanne Sundby planned the current study and intro-
duced the methodology, and participated in the writing of
the first draft, and wrote the final version of the docu-
ment. 22. Maine D, Akalin M, Chakraborty J, Francisco A, Strong M: Why did
Maternal Mortality Decline in Matlab? Stud Fam Plann 1996,
27:179-87. 23. Dahlgren L, Emmelin M, Winkvist A: Qualitative methodology for inter-
national public health Umeå: International School of PublicHealth;
2004. Siri Vangen assisted in the analysis of data as the second
reviewer of the text, contributed to the first writing of the
paper and reviewed the final document. 24. Barnes-Josiah D, Myntti C, Augustin A: The "Three Delays" as a
framework for examining maternal mortality in Haiti. Soc Sci
Med 1998, 46:981-93. 25. Sundari T: The untold story: How the health systems in devel-
oping countries contribute to maternal mortality. Int J Health
Services 1992, 22:513-28. Delay in receiving prompt and appropriate care after
reaching the hospital A multi-centre study from three West-African countries,
reported that most of the women classified as "near
misses" were referred from another facility [36], highlight-
ing the need to differentiate between those who arrive in
a critical condition and those who develop one. Inade-
quacy in health care may be due to one or a chain of the Page 6 of 8
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(page number not for citation purposes) http://www.reproductive-health-journal.com/content/2/1/3 Reproductive Health 2005, 2:3 tives: Critical Issues Edited by: Berer M, Ravindran TS. London:
Blackwell Sciences; 1999. following events: shortage of medical supplies, lack of
equipment, lack of trained personnel, and incompetence
of the available staff. Health system failures have been
identified as a major contributing factor to maternal
deaths [8,10,21,37,38]. 6. Safe Motherhood Needs Assessment. In Maternal Death Review
Guidelines Geneva: World Health Organization; 1996. Oelman B: Report of the 1990 maternal mortality survey Banjul, Gambia:
Ministry of Health; 1991. 8. . Hoestermann C, Ogbaselasse G, Wacker J, Bastert G: Maternal
mortality in the main referral hospital in The Gambia, West
Africa. Trop Med Int Health 1996, 1:710-7. Conclusion
h f l p
9. Graham W, Brass W, Snow RW: Estimating maternal mortality:
the sisterhood method. Stud Fam Plann 1989, 20:125-35. The failure to get adequate treatment in time may be seen
in a "right to access health care "context. Women's access
to appropriate services is a concern in the Gambia. This
study reveals that women do try to reach adequate health
services when an emergency occurs, but that there are
many obstacles that delay this process. Improving accessi-
bility and quality of EOC services in the area is necessary
if maternal deaths are to be prevented 10. Walraven G, Telfer M, Rowley J, Ronsmans C: Maternal mortality
in rural Gambia: levels, causes and contributing factors. Bull
World Health Organ 2000, 78:603-13. g
11. Greenwood AM, Greenwood BM, Bradley AK, et al.: A prospective
survey of the outcome of pregnancy in a rural area of the
Gambia. Bull World Health Organ 1987, 65:635-43. 12. Guindo G, Dubourg D, Marchal B, Blaise P, De Brouwere V: Meas-
uring unmet obstetric need at district level: how an epidemi-
ological tool can affect health service organization and
delivery. Health Policy Plan 2004, 19(Suppl 1):87-91. y
(
pp
)
13. Cham M, Vangen S, Sundby J: Maternal deaths in rural Gambia. Bull WHO 2005 in press. Acknowledgements 26. Castro R, Campero M, Hernandez B, Langer A: A study on mater-
nal mortality in Mexico through a Qualitative Approach. J
Women's Health & Gender-Based Med 2000, 9:679-90. We would like to express our profound gratitude to the relatives and family
members of the deceased for their willingness and courage in narrating
what had happened. We also express our thanks and appreciation to all the
health staffs in Central and Upper River Divisions. Our special thanks to the
research assistants and driver. 27. Kloos H: Illness and health behavior in Addis Ababa and rural
central Ethiopia. Soc Sci Med 1987, 25:1003-19. 28. Thonneau PF, Matsudai T, Alihonou E, De Souza J, Faye O, Moreau
JC, Djanhan Y, Welffens-Ekra C, Goyaux N: Distribution of causes
of maternal mortality during delivery and post-partum:
results of an African multicenter hospital-based study. Eur J
Obstet Gynecol Reprod Biol 2004, 114(2):150-154. References 1. Maternal mortality in 1995. In Estimates developed by WHO,
UNICEF and UNFPA Geneva: World Health Organization; 2001. 1. Maternal mortality in 1995. In Estimates developed by WHO,
UNICEF and UNFPA Geneva: World Health Organization; 2001. y
p
( )
29. Kowalewski M, Jahn A, Kimatta S: Why do at-risk mothers fail to
reach referral level? Barriers beyond distance and cost. Afr J
Reprod Health 2000, 4:100-9. g
2. Revised 1990 estimates of maternal mortality. In Report
Geneva: World Health Organization; 1996. 2. Revised 1990 estimates of maternal mortality. In Report
Geneva: World Health Organization; 1996. g
3. AbouZahr C, Royston E: Maternal mortality: A Global fact book Geneva:
World Health Organization; 1991. p
30. Buttiëns H, Marchal B, De Brouwere V: Skilled attendance at
childbirth: let us go beyond the retorics. Trop Med Int Health
2004, 9:653. g
3. AbouZahr C, Royston E: Maternal mortality: A Global fact book Geneva:
World Health Organization; 1991. g
4. AbouZahr C: Measuring maternal mortality: What do we
know. In Safe motherhood initiatives: Critical issues Edited by: Berer M,
Ravindran TS. London: Blackwell Science; 2000. 4. AbouZahr C: Measuring maternal mortality: What do we
know. In Safe motherhood initiatives: Critical issues Edited by: Berer M,
Ravindran TS. London: Blackwell Science; 2000. 31. Brown P: Understanding and applying medical anthropology London:
Mayfield Publishing Company; 1998. 5. Ravindran TS, Berer M: Preventing Maternal Mortality: Evi-
dence, Resources, Leadership, Action. In Safe Motherhood Initia- 5. Ravindran TS, Berer M: Preventing Maternal Mortality: Evi-
dence, Resources, Leadership, Action. In Safe Motherhood Initia- 32. Sargent C: Obstetrical choice among urban women in Benin. Soc Sci Med 1985, 20:287-92. Page 7 of 8
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Nigeria. Soc Sci Med 1984, 18:497-501. g
34. Jansen G: The doctor-patient relationship in an African Tribal society
Assen, The Netherlands: Van Goreum; 1973. 35. Shehu D, Ikeh A, Kuna M: Mobilizing transport for obstetric
emergencies in north-western Nigeria. Int J Gynaecol Obstet
1997, 59:S173-80. 36. Fillippi V, Romnsmans C, Gohou V, Goufodji S, Lardi M, Sahel A,
Saizonou J, De Brouwere V: Maternity wards or emergency
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37. 38.
Stekelenburg J, Roosmalen JV: The maternal mortality review
meeting: experiences from Kalabo District Hospital, Zam-
bia. Trop Doctor 2002, 32:219-23. References Urassa E, Massawe S, Lindmark G: Operational factors affecting
maternal mortality in Tanzania. Health Policy Plan 1997,
12:50-57. 38. Stekelenburg J, Roosmalen JV: The maternal mortality review
meeting: experiences from Kalabo District Hospital, Zam-
bia. Trop Doctor 2002, 32:219-23. Publish with BioMed Central and every
scientist can read your work free of charge
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|
W4294188434.txt
|
https://www.degruyter.com/document/doi/10.1515/hsz-1952-2901-605/pdf
|
de
|
Grenzflächenuntersuchungen an Verbindungen der Vitamin-A-Gruppe
|
Biological chemistry
| 1,952
|
cc-by
| 5,423
|
32
G. Weitzel, A.-M. Fretzdorff und S. Heller,
Bd. 290 (1952)
3. Nach Absetzen der Giftzufuhr steigt der Lactoflavingehalt ·der
Leber bereits in einem Tage sogar über die Norm hinaus wieder an.
4. Die Wirkung des 4-Dimethylamino-azobenzols auf den Lactoflavingehalt der Rattenleber erwies sich damit ebenso wie die auf den
Blutfarbstoff, das Wachstum und den Ablauf der weiblichen Brunstzyklen als reversibel und kann deshalb nicht im Zusammenhang
mit der cancerogenen Wirkung des 4-Dimethylamino-azobenzols stehen,
denn diese ist irreversibel.
Grenzflächenuntersuchungen
an Verbindungen der Vitamin-A-Gruppe
Yon
Günther Weitzel, Anna-Maria Fretzdorff und Siegtried Heller
Aus der Medizinischen Forschungsanstalt (Biochemische Al!t.eilung) der Max-Planck-Gesellschaft
Göttingen
(Der Schriftleitung zugeg11ngen am 25. Februar 1952)
In unseren bisherigen Untersuchungen an monomolekularen Filmen
grenzflächenaktiver Substanzen auf Wasseroberflächen verglichen wir
miteinander stets die einzelnen Glieder einer homologen oder analogen
Reihe, z. B. die tX-n-Alkyl-stearinsäuren von der Methyl- bis zur DodecylVerbindung1 oder die vollständigen Reihen der Methyl-palmitin- 2 und
Methyl-stearinsäuren 3 • Der einzige Unterschied zwischen benachbarten
Gliedern war dabei in der erstgenannten Reihe das Anwachsen des Alkyls
um je ein C-Atom, in den beiden letztgenannten Reihen die Position der
an der Fettsäurekette "entlangwandernden" Methyl-Verzweigung. Infolgedessen ließen sich die gemessenen Unterschiede im Film-Verhalten
der einzelnen Verbindungen eindeutig der chemischen Konstitution
zuordnen. In der vorliegenden Arbeit berichten wir über Spreitungsversuche mit Vitamin A und mit einigen, ihm ähnlichen Substanzen:.
Hierbei war es nicht möglich, wie in den obengenannten Fällen lückenlose
homologe oder analoge Reihen mit jeweils nur einer Variablen heranzuziehen. Wir waren aber bemüht, durch Vergleichs-Messungen an verschiedenen Vitamin-A-Verbindungen und an anderen, dem Vitamin A
strukturell ähnlichen Substanzen etwaige Schlußfolgerungen hinsichtlich
der Zusammenhänge zwischen Filmeigenschaften, chemischer Konstitution und biologischem Verhalten möglichst weitgehend zu sichern.
Methodik: Unsere Arbeitsweise bei der Schubmessung monomolekularer Filme haben wir bereits früher 1 • 2 • 4 beschrieben. Als
G. Weitzel, A.-M. Fretzdorffu. W.Savelsberg, dieseZ. 285,230 [1950].
G. Weitzel, A.-M. Fretzdorff u. S. Heller, diese Z. 288, 189 [1951].
8 G. Weitzel, A.-M. Fretzdorff u. S. Heller, diese Z. 288, 200 [1951].
4 S. Heller, A.-M. Fretzdorff u. G. Weitzel, diese Z. 288, 32 [1951].
1
2
Bd. 290 {1952)
Grenzflächenuntersuchungen an Vita.min-A-Verbindungen
33
Schubmesser benutzten wir unseren in4 beschriebenen Apparat, der ein
neuartiges, nicht störanfa.Iliges Meßorgan, lichtelektrische Steuerung
und automatische Registrierung besitzt. Gleichzeitig mit der Schubmessung, d. h. mit der Aufnahme der F/A-Isotherme, bestimmten wir
bei den meisten der in dieser Arbeit untersuchten Substanzen auch die
Änderung des Grenzflächenpotentials bzw. das Grenzflächenpotential
selbst während des Zusammenschiebens der monomolekularen Filme.
Hierzu benutzten wir das in der vorangehenden Mitteilung5 beschriebene
Gerät zur kontinuierlichen Registrierung des Filmpotentials, wobei
gleichzeitig mit der F/A-Kurve und auf demselben Papierstreifen die
Änderung des Grenzflächenpotentials (Differe:Q.tialquotient) automatisch registriert wird.
Substanzen: Um festzustellen, inwieweit die einzelnen strukturellen Merkmale des Vitamins A (primäre alkoholische Gruppe, fünf
konjugierte Doppelbindungen, Methylverzweigungen, ß-Jonon-Ring)
die Grenzflächeneigenschaften des Vitamins beeinflussen, gingen wir in
unseren Filmmessungen Schritt für Schritt von Alkoholen einfachster
Struktur bis zum Vitamin A vor. Zunächst verglichen wir Cetylalkohol
mit gesättigten, methylverzweigten Hexadecanolen, zogen dann Phytol,
Isophytol und Phytansäure heran, verglichen diese mit dem Perhydrovitamin A und schließlich mit Vitamin A selbst. Auf Grund der so gewonnenen Einblicke war es möglich, die mit Vitamin A erhaltenen Meßergebnisse zur chemischen Struktur des Vitamins in Beziehung zu setzen.
Weitere Aufschlüsse erbrachte die Filmuntersuchung der Vitamin-AVita.min-A- Verbindungen
c(CHa)z
H 2 ~ 'o-CH:CH-C:CH-CH:CH-C:CH·Gr
I
II
H 2C
C-CH 3
I
CH 3
I
CH 3
"'-c/
H2
Gr = funktionelle Gruppe
Vita.min-A-Alkohol :
Gr = -CH20H
Vitamin-A-Säure:
Gr = -COOH
Vitamin-A-Aldehyd:
Gr = -COH
Vitamin-A-Methyläther: Gr = -CH 2 -0CH 3
c(CH 3 )2
/"'-C: CH-CH : C-CH: CH-CH: C-CH : CH2
H2C
!
II
H 2C
C-CH 3
"'-c/
H
I
CH 3
I
CH 3
!Anhydrovitamin A
6 S. Heller, A.-M. Fretzdorff u. G. Weitzel, diese Z., vorangehende Mitteilung.
Hoppe-Seylers Zeitscluüt f. physiol. Chemie. 290
3
34
G. Weitzel, A.. M. Fretzdorff und S. He)ler,
Bd. 290 (1952)
Säure und des Vitamin-A-Aldehyds, des Methyl- und Phenyläthers, des
Anhydrovitamins A sowie einiger Ester (Phytylacetat, Vitamin-AAcetat, -Palmitat, -Oleat und -Succinat). Für die Überlassung der Phytylund Vitamin-A-Verbindungen sind wir der Firma Hoffmann-La
Roche, Basel, und insbesondere Herrn Dr. 0. Isler 6 , der diese Verbindungen synthetisierte, sehr zu Dank verpflichtet.
Alle ungesättigten Substanzen wurden unter N 2 eingeschmolzen
aufbewahrt, um autoxydativen Veränderungen vorzubeugen. Die Filmmessung erfolgte sofort nach Öffnen der Ampullen und Lösen der Substanzen in Benzol. Vergleichsversuche mit Vitamin-A-Verbindungen,
die wenige Tage bis mehrere Wochen dem Luftzutritt ausgesetzt waren,
ergaben ein verändertes Filmverhalten je nach dem Grade der Autoxydation. Ein Hinweis für eingetretene Veränderungen folgte bereits daraus,
daß die betreffenden Substanzen sich in Benzol nicht mehr klar lösten.
Hier trat die Frage auf, ob etwa schon während der Filmmessqng mit
autoxydativen Veränderungen zu rechnen sei. Zwar dauert eine Messung
mit unserer Apparatur nur wenige Minuten, doch liegt die Substanz dabei
in monomolekularer Schicht auf dem Wasser, d . h. jede einzelne Molekel
ist dem Angriff des in der Luft und im Wasser enthaltenen Sauerstoffs
ausgesetzt. Kontrollversuche mit Zusatz von Hydrochinon zum Wasser
sowie die ausgezeichnete Reproduzierbarkeit der Meßergebnisse von
Vitamin-A-Verbindungen trotz verschiedener Schubgeschwindigkeit
und wechselnder Dosis sprechen jedoch gegen die Annahme der Autoxydation des Filmes während des Zusammenschiebens. Möglicherweise
ist der wohlgeordnete und dichtgepackte monomolekulare Film viel
stabiler gegen oxydative Veränderungen, als man annehmen sollte, da
sich offenbar schon bald nach Beginn die zwischenmolekularen Kräfte
des Pentaensystems gegenseitig betätigen und den Film stabilisieren.
Die in den Abb . 1-6 dargestellten Diagramme enthalten die
Isothermen (20°) für Schubmessung (F/A) und für die Änderung des
Grenzflächenpotentials (:~/A) während des Zusammenschiebens des
monomolekularen-Filmes. Die benutzten Maßstäbe für A2/Molekel,
Dynfern und m V/ A2 sind in allen Abbildungen die gleichen, so daß die
Kurven direkt miteinander vergleichbar sind . Eine Anzahl charakteristischer Zahlenwerte zeigt Tab. I.
Abb. I zeigt die grundsätzlichen Unterschiede im Filmverhalten
zwischen langkettigen normalen und methylverzweigten Alkoholen.
n -Cetyl-alkohol bildet einen starren, wenig elastischen Film, für dessen
Zusammenbruch ein sehr hoher Schub (etwa 50 Dyn) erforderlich ist.
Der Flächenl;>edarf pro Molekel ist gering und weicht nur wenig von dem
der n-Palmitinsäure ab. Die Einführung einer Methylverzweigung bewirkt wie bei den Carbonsäuren eine beträchtliche Vergrößerung des
6
[1947].
0. Isler, W. Huber, A. Ronco u. M. Kofler, Helv. chim. Acta 30, 1911
Bd. 290 (1952)
35
Grenzflächenuntersuchungen an Vitamin-A-Verbindungen
Tab. I. Flächenbedarf/Molekel, Dyn· und Potentialwerte der in vorliegender Arbeit
untersuchten Verbindungen.
Flächenbedarf
pro Molekel
in A2
Substanz
Dicht-~
punkt
Cetylalkohol . . . . .
3-Methy1-hexadecanol .
10-Methyl-hexadecanol
Phytol . . . . . .
Isophytol . . . . .
Vitamin-A-Alkohol .
Perhydro-Vitamin A
21,2
45,5
43,3
54,4
72,1
49,9
55,6
Palmitinsäure ...
Phytansäure . . .
Vitamin-A-Säure .
24,0
58,3
51,0
48,6
32,4
34,4
26,5
26,8
29,8
22,0
425
420
31,9
-
-
-
-
-
260
260
75,0
460
137
460
137
62,7
73,7
19,0
37,0
28,5
52,0
24,6
9,0
392
190
262
105
34,6
78,0
33,5
67,~
68,0
75,8
I
..:=j
'--·-
-
14,0
13,4
4,9
3,3
35,6
-
-
-
-
-
-
-
-
600
600
67,2
-
-
-
-
------760
39,3
14,5
56,8
72,5
11,6
510
bildet keinen Film
bildet keinen Film
760
510
-
78,4
---
~~
JO
1\\
20
\\
10
\
I
0
18,9
25,2
27,8
34,9
39,4
26,0
38,9
- - - - - - ---
52,4
98,0
81,0
84,5
Vita.min-A-Aldehyd .
Vitamin-A-Methyläther
Vitamin-A-Phenyläther
Anhydrovitamin A
so
I
------70,8
40,6
16,6
Phytylaceta.t . . .
Vitamin-A-Aceta.t
Vitamin-A-Succina.t .
Vita.min-A-Palmita.t.
Vitamin-A-Oieat
Ognjcm
Maxil!lal. GrenzBeginn
Schub flächenpotential
in
der
in mV
PotentialDynfern
beim
auf
änderung
K ollaps Kollaps 0,01auf
A2 /Molekel
'Va8ser
n.HCl
18
\
26
~
3*
+2
so
S8 ,.(2
Abb. I. F/A-Isothermen (20°) auf Wasser. von n-Hexadecanol (I),
3-Methyl-hexadecanol (II) und 10-Methyl-hexadecanol (111).
3*
-
36
G. Weitzel, A.·M. Fretzdorff und S. Heller,
Bd. 290 (1952)
Flächenbedarfs und eine Senkung der Dynwerte beim Kollaps. Die
F/A-Kurven der methylverzweigten Hexadecanole sind in ihrer Ausdehnung länger und weniger stabil als die Kurve des unverzweigten
langkettigen Alkohols; derartige F fA-Isothermen sind charakteristisch
für weiche, elastische und flüssige Filme. Die feineren Unterschiede im
Fil.rD.verhalten methylverzweigter langkettiger Alkohole untereinander
sind abhängig von der Stellung der Methylverzweigung, worauf aber in
diesem Zusammenhang nicht eingegangen werden soll. Daß für die
/Jgnjcmi:---"---.------.----.---.-----,-----,--·-.--_:_:;mJI'Ifz
I~
I
50 F'll----+---+--+---f---+--+--_Jf---l
30
20
20 t---
r--
10
r--
0
10
18
Abb. 2. F/A· und ~~/A·Isothermen von n-Hexadecanol (I) und Phytol (II) sowie
F/A-Isothe.rme von Isophytol (III). F/A:
··-
dU
, dA/A: - - - .
Alle Messungen auf \Yasser von 20°.
Filmeigenschaften der Ort der Methyl-Substitution in der Kohlenwasserstoffkette nicht gleichgültig ist, haben wir 2• 3 früher am Beispiel
der methylierten Palmitin- und Stearinsäuren gezeigt.
In Abb. 2 ist nochmals n-Hexadecanol wiedergegeben, jedoch nicht
nur die F/A-Isotherme, sondern auch die gleichzeitig gemessene Änderung
des Grenzflächenpotentials (~~/A; Differentialquotient) während des
Zusammenschiebens. Zugleich enthält die Abbildung die beiden entsprechenden Kurven für Phytol, außerdem die F/A-Kurve für Isophytol.
Bei n-Hexadecanol fällt der eigenartige Verlauf der Potentialkurve
ins Auge: Die Änderung des Grenzflächenpotentials setzt bei rd. 36 A2/
Molekel mit großer Steilheit ein und fällt ebenso steil zum sogenannten
"Dichtpun.kt" (Kondensationsbeginn) bei 21 A2 ab. Die Integration
dieser Kurve zeigt, daß der größte Teil des Grenzflächenpotentials
Bd. 290 (1952)
Grenzflächenuntersuchungen an Vitamin·A·Verbindungen
37
(in m V) in diesem Bereich von 36 bis 21 A2/Molekel entsteht, während
der Zuwachs des Potentials vom Punkte D (21 A2 ) bis zum Kollaps
nur geringfügig ist.
Ganz anders verhalten sich die beiden Kurven des Phytols: Die
F/A-Isotherme ähnelt denen der methylverzweigten Hexadecanole in
Abb. 1, doch liegt der Flächenbedarf der Phytol-Molekel im ganzen
Verlauf der Kurve wesentlich höher. Allerdings erfolgt die Zunahme des
Flächenbedarfs vom einfach methylierten Hexadecanol bis zum vierfach
methylierten Phytol nicht linear entsprechend der Zahl der CH 3 -Gruppen, sondern in viel geringerem Maße. Dieses Verhalten ist auch zu erwarten, denn in den hier vorliegenden flüssigen Filmen stehen die langen
Ketten ganz oder annähernd vertikal, so daß die Querschnittsfläche der
Molekel durch Einführung einer zweiten, dritten oder vierten MethylVerzweigung lange nicht in dem Maße verändert wird wie durch den
Übergang von der normalen Kette zur einfach methylierten Verbindung.
Ein deutlicher Einfluß der isolierten, .x-ß-ständigen Doppelbindung
des Phytols ist in der F/A-Kurve nicht erkennbar, möglicherweise wird
durch die ß-ständige Methylverzweigung ein etwaiger Doppelbindungseffekt überdeckt. Für die trans-Konfiguration des benutzten Phytols
spricht der Vergleich mit Phytansäure (s. u.). Beide Verbindungen, die
sich nur durch die hydrophile Endgruppe und durch die Doppelbindungen
des Phytols unterscheiden, zeigen so ähnliche Kurven, daß ein nennenswerter Effekt der Doppelbindung des Phytols auf Flächenbedarf oder
Dynwert unwahrscheinlich ist. Wäre die Phytol-Doppelbindung ciskonfiguriert, so müßte der Flächenbedarf der Phytol-Molekel erheblich
höher liegen.
Vergleicht man bei Cetyl-alkohol und Phytol die beiden Kurven,
welche die Änderung des Grenzflächenpotentials (~JA) wiedergeben,
so fällt der krasse Unterschied der Verlaufsform auf. Das Grenzflächenpotential ist u. a. abhängig von der Flächendichte der Molekeln, so daß
verzweigtkettige Verbindungen mit hohem Flächenbedarf fast immer
niedrigere Potentialwerte zeigen als die dazugehörigen normalen Ketten.
So auch hier: die Änderung des Grenzflächenpotentials setzt bei Phytol
bereits bei 75 A2/Molekel ein, verläuft dann in Form eines langgestreckten
flachen "Berges", sinkt zum "Dichtpunkt" hin (54Ae) stark ab, um bis
zum Kollaps wieder kontinuierlich anzusteigen. Im Vergleich zu nHexadecanol ist die Ausbildung des Potentials also viel mehr über die
ganze Kurve verteilt; es kommt nicht wie beim normalen Alkohol zur
Entwicklung fast des gesamten Filmpotentials innerhalb eines kleinen
Flächenbereichs/Molekel. Die gegenüber Cetylalkohol beträchtlich erniedrigten Dyn- und Potentialwerte des Phytols (siehe Tab. 1) zeigen,
daß hier keine festen und starren, sondern flüssige und elastische Filme
vorliegen.
Daß Isophytol einen größeren Flächenbedarf als Phytol hat, wird
aus Abb. 2 verständlich. Isophytol hat einen anderen "Kopf", denn es
38
G. Weitzel, A.·M.Fretzdorff und S. Heller,
Bd. 290 (1952)
trägt an ein und demselben c.Atom die hydrophile alkoholische Gruppe,
eine Methyl. und eine Vinylgruppe. Bemerkenswert ist, daß die Differenz
zwischen Phytol und Isophytol bei Kondensationsbeginn, also bei ca.
0,1 Dyn, etwa 18 A2 beträgt, beim Zusammenbruch des Films (bei
26,5 bzw, 26,8 Dyn) aber nur noch 4,5 A2 • Vermutlich wird unter der
Wirkung des Schubs die Vinylgruppe deformiert und ins Wasser hineingedrückt. Diese Annahme beruht auf der Erfahrung, daß ungesättigte
Bindungen im Film deutliche Affinität zum Wasser entwickeln können,
während sonst bei organisch-chemischen Reaktionen Wasser zumindest
von Äthylen-Doppelbindungen nicht addiert zu werden pflegt.
r+
Ojn_km
mI{Az
so
-,
f-
..............
ltO
\
I
30
I
I
I
I__,
30
I
I\ '
20
I
I
I
20
10
\~l J
--'Volf'
_ _,I
0
c
i
18
I
I
I
\
r- ~- - -,
~ 1'---.\: __ I
I)
-
26
31;-
'-2
"""
10
/
..---
~
so
S8
- - ',·-
66
7+
0
A
Abb. 3. F/A- und~/A-Isothermen von n-Palmitinsäure (I) und Phytansäure (Il)
sowie F/A-Isotherme von Vitamin-A-Säure (III). FfA :
dU
~ -~ --, dA/A: - - -
.
Alle Messungen auf 0,01-n.HCI von 20°.
Der in _Abb. 2 ausgeführte Vergleich zwischen Phytol und nHexadecanol wird in Abb. 3 in ähnlicher Weise für die Carbonsäuren
fortgesetzt: Palmitinsäure als unverzweigte Fettsäure, Phytansäure als eine, bis auf die fehlende Doppelbindung am Phytol analoge
Säure. Aus der Ähnlichkeit der F/A-Isothermen der Carbonsäuren mit
denen der entsprechenden Alkohole in Abb. 2 geht ohne weiteres die
vor kurzem von uns 3 auch theoretisch begründete Tatsache hervor, daß
das Filmverhalten ganz überwiegend von der Konstitution der Kohlenwasserstoffkette und nicht von der hydrophilen Kopfgruppe bestimmt
wird. Das zeigt sich auch in der Änderung des Grenzflächenpotentials
(~~JA-Kurve) beim Zusammenschieben. Bei n-Palmitinsäure entsteht
das Grenzflächenpotential fast ausschließlich iri dem kurzen Bereich von
35 bis 24 A2/Molekel, bei Phytansäure entwickelt es sich in langsamer
Bd. 290 (1952)
Grenzflächenuntersuchungen an Vitamin-A-Verbindungen
39
Zunahme von 78 A2/Molekel an bis zum Kollaps. Die ~JA-Kurve der
Phytansäure zeigt wie stets bei verzweigtkettigen Verbindungen eine
deutliche Zäsur zu Kondensationsbeginn bei 58,3 A2/Molekel, d. h . genau
zusammenfallend mit dem Dichtpunkt der F/A-Kurve. Diese Zäsur
erlaubt in allen Fällen, bei welchen wie hier der Anstieg der F/A-Kurve
zu Kondensationsbeginn nur ganz allmählich einsetzt, eine einwandfreie
Feststellung des sogenannten Dichtpunktes.
Die in Abb. 3 dargestellten Messungen wurden mit Ausnahme von
Vitamin-A-Säure auf angesäuertem Wasser ausgeführt, um die DissoOyn,'cm
30
~\
20
10
I
_,I
0
-~ __\
26
.N
~~
3+
20
11:-- .....,
It
t2
5Q
.... _ /"][
\
\ -- -,
- '--
S8
\
II
7+
10
--
0
A'
Abb. 4. F fA- und :~fA-Isothermen von Vitamin-A-Alkohol (I)
und Perhydro-Vitamin A (II). FfA:
dU
--- , dA /A : - - -.
Alle Messungen auf \Vasser von 20°.
ziation der Carboxylgruppen zurückzudrängen. Untersucht man Carbonsäurefilme auf neutralem Wasser, so bl~ibt die Form der Kurven grundsätzlich gewahrt, doch liegen die maximalen Potentialwerte niedriger
(s. Tab. 1). Im vorliegenden Falle hat wie bei den Alkoholen die normale
Verbindung ein erheblich höheres Potential als die verzweigte; Palmitinsäure erreicht auf 0,01-n.HCl nicht ganz 400 mV, Phytansäure nur
190 mV.
Ställberg. und Stenhagen 7 untersuchten ebenfalls die monomolekularen Filme von Phytol und Phytansäure. Die von ihnen gefundenen Werte für Flächenbedarf und Schubgröße sowie die Form der
F /A-Kurven stimmen mit unseren Resultaten gut überein .
Abb. 3 enthält außerdem die F/A-Kurve der Vitamin-A-Säure,
deren Flächenwerte zwischen Palmitin- und Phytansäure, deren Dynwerte aber wesentlich tiefer als die der beiden anderen liegen. Eine
Deutung dieser Kurve aus dem bisher Gesagten ist nicht möglich, wir
kommen daher auf die Vitamin-A-Säure weiter unten zurück.
Betrachtet man in Abb. 4 zunächst die F/A-Kurve von PerhydroVitamin-A (II}, so ergibt sich im Vergleich zur Kurve des Phytols in
7
St. Ställberg u. E. Stenhagen, Svensk. Kern. Tidskr. 53, 44 [1941).
40
G. Weitzel, A.-M. Fretzdorff und S. Heller,
Bd. 290 (1952)
Abb. 2 eine sehr ähnliche Verlaufsform: beide Kurven lassen sich fast
zur Deckung bringen bis zum Zusammenbruch des Perhydro-Vitamins.
Das geht auch aus Tab. 1 hervor: Die Flächenwerte von Phytol und
Perhydro-Vitamin-A betragen am Dichtpunkt 54,4 bzw. 55,6 A2 , am
Kollaps 34,9 bzw. 38,9 A2 • Die größere Differenz am Kollaps rührt daher,
daß der Film des Phytols bei einem höheren Dynwert zusammenbricht,
so daß die F/A-Kurve des Phytols etwas höher steigt als diejenige des
Perhydro-Vitamins. Die Ähnlichkeit der beiden Kurven ist insofern
überraschend, als Perhydro-Vitaminden ß-Jonon-Ringj besitzt, der sich
aber offenbar in der F/A-Kurve nicht oder nur in einem gegenüber dem
Phytol früheren Zusammenbruch bemerkbar macht.
Das gleiche gilt auch für die ~~JA-Kurven von Phytol und Perhydro-Vitamin A: Die Änderungen des Grenzflächenpotentials erfolgen in ganz ähnlicher Form und bei fast identischen Flächenwertenf
Molekel; nur liegt auch hier ähnlich wie bei den Dynwerten der F/AKurve der maximale Wert des Grenzflächenpotentials bei Phytol höher
als bei Perhydro-Vitamin A (260 : 137 m V).
Sehr aufschlußreich ist der Vergleich des Perhydro-Vitamins A mit
dem eigentlichen Vitamin A, denn beide Verbindungen unterscheiden
sich in ihrer chemischen Konstitution lediglich dadurch, daß dem
Perhydro-Vitamindie 5 konjugierten Doppelbindungen des Vitamin-AAlkohols fehlen. In den FJA-Kurven ist zu Kondensationsbeginn die
Differenz des Flächenbedarfs der beiden Verbindungen noch gering
(ca. 5-6 A2 ), dagegen kollabiert der Film des Vitamins A bei einem
wesentlich geringeren Flächenwert.JMolekel (26 A2 ) als sein Hydrierungsprodukt (39 A2 ). Auch die für den Zusammenbruch des Films erforderlichen Schubgrößen upterscheiden sich erheblich: rd . 30 Dyn bei Vitamin A, rd. 22 Dyn bei der Pcrhydro-Verbindung.
Aus dem auffallend geringen Flächenbedarf des Vitamins A im
Kollaps geht hervor, daß die Doppelbindungen nicht cis-konfiguriert
sein können. Dies stimmt überein mit Untersuchungen reaktionskinetischer Art, nach denen das Pentaen-System des Vitamins All-trans-Lage
besitzt, und folgt auch aus dem Zusa[\lmenhang mit . ß-Carotin. Der
gegenüber der Perhydro-Verbindung erniedrigte Flächenbedarf kann
jedoch nicht darauf beruhen, daß Vitamin A 10 Wasserstoffatome
weniger besitzt. Denn Wasserstoffatome beeinflussen den Flächenbedarf/Molekel . praktisch nicht, da sie in der mit dem Wirkungsradius
des Kohlenstoffatoms gebildeten Kugel mit enthalten sind.
Demnach bleibt als Erklärung nur übrig, daß der niedrige Flächenbedarf der Vitamin-A-Molekel von den zwischenmolekularen Kräften
der fünf konjugierten Doppelbindungen herrührt, welche die dichte
Packung des Films unterstützen. Es handelt sich hierbei nicht nur um
eine Verfestigung des Films in dem Sinne, daß ein wachsender Schub
länger ertragen wird, sondern darum, daß die konjugierten Doppel-
Bd. 290 (1952)
Grenzflächenuntersuchungen an Vitamin-A-Verbindungen
41
bindungen eine enge und geordnete Aneinanderlagerung der Molekeln
von sich aus begünstigen. Hierfür spricht, daß die F/A-Kurve des
Vitamins A nicht eine einfache Verlängerung der F/A-Kurve des Perhydrovitamins nach oben darstellt, sondern daß vom Kondensationsbeginn an der zu gleichen Dynwerten gehörende Flächenbedarf/Molekel
bei Vitamin A im Vergleich zu Per hydro-Vitamin immer geringer wird.
Z. B. beträgt bei einem Schub von 20 Dyn die Querschnitts-Grundfläche
der Perhydro-Vitamin-Molekel rd . 38 A2 , die des A-Vitamins aber nur
rd. 29 A2 •
Diese Anschauung wird gestützt durch den Verlauf der Potentialkurven. Während die Änderung des Grenzflächenpotentials bei der
Perhydro-Verbindung in zwei flachen Erhebungen verläuft, die der entsprechenden Kurve des Phytols ähnlich sind, tritt bei Vitamin A zwischen 66 und 50 A2 (Dichtpunkt") ein beträchtlicher "Berg" auf. Dieser
kann nur durch das Pentaen-System hervorgerufen sein, und wir
nehmen an, daß in diesem Bereich die Annäherung und Aufrichtung dH
Vitamin-A-Molekeln so weit fortgeschritten ist, daß die zwischenmolekularen Kräfte der konjugierten Doppelbindungen zur Wirkung
kommen können. Damit setzt die Stabilisierung des Filmes ein, die dann
das Zusammenschieben auf einen geringeren Flächenwert/Molekel bei
höherer Dynzahl als bei der Perhydro-Verbindung gestattet, ohne daß
der Film kollabiert.
An dieser Stelle sei auf die in Abb. 3 dargestellte F/A-Kurve der
Vitamin-A-Säure verwiesen. Ihre Flächenwerte sind denen des VitaminA- Alkohols sehr ähnlich (siehe Tab. 1), ein Verhalten, welches aus
empirischen Gründen und aus theoretischen Überlegungen 3 auch zu
erwarten ist. Denn der Austausch der Carboxylgruppe gegen die primäre
alkoholische OH-Gruppe oder umgekehrt pflegt die FlächenwertefMolekel bei grenzflächenaktiven Verbindungen, deren hydrophobe Molekelteile identisch sind, garnicht oder nur sehr wenig zu beeinflussen. Die
auffallend niedrigen Dynwerte der Vitamin-A-Säure (9 Dyn beim
Kollaps!) erklären sich daraus, daß die Säure nur auf neutralem Wasser
gemessen wurde. Mißt man auf 0,01-n.HCl, so liegen die Dynwerte
wesentlich höher, ohne daß die charakteristische Form der Kurve verändert wird.
Die in Abb. 5 zusammengestellten F/A-Isothermen von Estern des
Vitamins A und von Phytylacetat zeigen, daß diese Ester stabile Filme
geben, doch liegen, wie allgemein bei Estern höherer Alkohole, die für den
Zusammenbruch des Films erforderlichen Schubgrößen in Dyn niedriger
als bei den dazugehörigen freien Alkoholen. Wie aus Tab. 1 hervorgeht,
brechen die Ester des A-Vitamins bei Dynwerten zusammen, welche
die Hälfte oder weniger der beim freien Vitamin A gemessenen Schubgrößen betragen. Bezüglich der Flächenwerte gilt, daß Ester höherer
Alkohole besonders dann einen wesentlich größeren Flächenbedarf
haben als der Alkohol allein, wenn die Säurekomponente mehr als drei
C-Atome besitzt. Dementsprechend ist der Unterschied im Flächen-
42
G. Weitzel, A.-M. Fretzdorff und S. Heller,
Bd. 290 (1952)
bedarf zwischen Vitamin-A-Alkohol und A-Acetat noch gering (zu
Kondensationsbeginn ca. 50: 52 A2 , am Kollaps 26 : 33 A2 ), zwischen
A-Alkohol und A-Oleat oder -Palmitat aber sehr beträchtlich. Auch der
Vergleich Phytol/Phytylacetat zeigt, daß das Acetat im Verlauf der
gesamten FfA-Kurve größere Flächenwerte aufweist, aber bei geringerem
Schub kollabiert.
Eine Sonderstellung nimmt Vitamin-A-Succinat ein, weil hier
beide Carboxylgruppen der Bernsteinsäure mit Vitamin A verestert
sind. Strukturchemisch könnte man die Verbindung daher als ein
"doppeltes" Acetat auffassen, bei dem die CH 3 -Gruppen der EssigsäureDyn;'~
qL_~~~~~~~~~==~~~~~~
38
Abb. 5. F/A-Isothermen der Ester bei 20°. I = Vitainin-A-Olea.t, II = Vita.minA-Palmita.t, III = Vita.min-A-Succinat, IV= Vita.min-A-Acetat, V= Phytylaceta.t.
reste durch C-O-Bindung verknüpft sind. Diese Ansicht wird durch die
Flächenwerte im "Dichtpunkt" und Kollaps gestützt: Wie aus Tab. 1
hervorgeht, beansprucht das Succinat fast genau die doppelte Querschnitts-Grundfläche wie das Acetat, während die Dynwerte beim Kollaps praktisch die gleichen sind .
Ganz andere Verhältnisse als bei Acetat und Succinat treten beim
Palmitat auf: Hier wird durch die Säurekomponente nicht nur die
Kopfgruppe verändert, sondern der Palmitinsäurerest greift auf Grund
seiner Größe auch in die Packung der hydrophoben Molekelreste ein,
d. h. im Film schiebt sich zwischen zwei Vitamin-A-Molekeln jeweils
eine Palmitinsäurekette. Die Vitamin-A-Konzentration im Film wird
durch die Palmitinsäurereste sozusagen auf die Hälfte verdünnt. Infolgedessen ist der Flächenbedarf des Esters stark erhöht, stärker noch, als
man es aus den Werten der Einzelkomponenten erwarten sollte. Denn
bei Glyceriden z. B. entspricht der Flächenbedarf ziemlich genau der
Summe der einzelnen Fettsäureketten, bei Vitamin-A-Palmitat aber
wird besonders beim Kollaps die Summe der Querschnittsflächen der
beiden Einzelkomponenten weit überschritten. Das spricht für die
folgende Deutung: Im Vitamin-A-Palmitat wird durch die zwischen die
Vitamin-Molekeln eingeschobenen Palmitinsäurereste die gegenseitige
Beeinflussung der konjugierten Doppelbindungen verhindert, so daß
deren zwischenmolekulare Kräfte sich nicht auswirken können und die
Bd. 290 (1952)
Grenzflächenuntersuchungen an Vitamirr-A-Verbindungen
43
sonst bei Vitamin A beobachtete besonders dichte Packung nicht zustande kommt.
Das Vitamin-A-Oleat besitzt noch höhere Flächenwerte als das
Palmitat. Ölsäure hat Cis-Konfiguration und benötigt, wenn sie allein
gefilmt wird, eine beträchtlich größere Querschnittsfläche als eine
traM-konfigurierte Säure. Beim Vitamin-A-Oleat läßt sich zwar nicht
ohne weiteres sagen, ob und in welchem Maße im zusammengedrückten
Ester die Winkelung der Ölsäurekette bei C 9/C10 erhalten bleibt, doch ist
der höhere Flächenbedarf des Oleats gegenüber dem Palmitat ohne
Zweifel auf die cis-Lage der Doppelbindung zurückzuführen.
Dgn;cm
+0
.....
/
//
30
/
{
I
20
10
0
i r--..
&
--~
..... ..........
f
I
" III
-J.J-
~
/
,
I
30
!
I
I
I
20
\
10
I
I
-
Q
38
+6
S+
62
70
78 A'
dU
Abb. 6. F/A- und dA lA-Isothermen von Vitamin-A-Aldehyd (I) und F/A-Iso-
therme von Vitamin-A-Methyläther (li) auf Wasser von 20°.
Vitamin-A-Methyläther gibt einen ausgeprägten stabilen, flüssigen
Film, der erst bei einem Schub von l:i,5 Dyn kollabiert. Dadurch läßt
sich der Film, ohne zusammenzubrechen, relativ stark zusammendrücken, sein Flächenwert/Molekel unterscheidet sich kurz vor dem
Kollaps nur wenig von dem des Vitamin-A-Alkohols.
Anders verhält sich Vitamin-A-Aldehyd, denn dessen Film bricht
bereits bei 39 A2 und weist damit nicht den geringen Flächenbedarf auf,
den andere Vitamin-A-Verbindungen im Kollaps besitzen. Sehr auffallend ist das Verhalten des . Grenzflächenpotentials. Eine solche, bei
78 A2 einsetzende steile Änderung des Grenzflächenpotentials haben wir
bei anderen Verbindungen bisher nie beobachtet. Da es uns z. Zt. noch an
Vergleichsmöglichkeiten mit anderen Aldehyden fehlt, läßt sich nicht
sagen, ob die eigenartige Form der ~~JA-Kurve zusammen mit dem
außerordentlich hohen Potentialwert (760 mV!) allgemein bei Aldehyden
auftritt oder ob hier nur deshalb ein Sonderfall vorliegt, weil Vitamin-AAldehyd nicht mehr als Pentaen-, sondern auf Grund seiner Carbonylgruppe als Hexaensystem aufgefaßt werden kann.
44
G. Weitzel, A.-)J. Fretzdorff und S. Heller,
Bd. 290 (1952)
Unter den in der vorliegenden Arbeit geprüften Verbindungen der
Vitamin-A-Gruppe gaben zwei Substanzen auf Wasser von 20° keine
meßbaren Filme: Der Vitamin-A-Phenyläther und das Anhydrovitamin A. Dies dürfte sich daraus erklären, daß im Phenyläther die
Affinität des Äthersauerstoffs zum Wasser nicht mehr ausreicht, um die
große Molekel in der Wasseroberfläche zu verankern. Im Anhydrovitamin ist dagegen überhaupt keine hydrophile polare Gruppe vorhanden, so daß die Verbindung nicht mehr grenzflächenaktiv ist.
Diskussion
Überblickt man die filmgebenden Vitamin-A-Substanzen, so findet
man die Fähigkeit zur Einnahme auffallend kleiner Querschnittsflächen pro Molekel bei Vitamin-A-Alkohol, der dem eigentlichen
Vitamin entspricht, und bei Vitamin-A-Säure, in etwas geringerem Maße
bei A-Acetat, A-Succinat und A-Methyläther, weniger ausgeprägt bei
A-Aldehyd und garnicht bei A-Palmitat und A-Oleat. Der hohe Flächenbedarf der beiden langkettigen Ester ist verständlich, wie oben bereits
ausgeführt wurde (s. Abb. 5). Dagegen fehlt bisher eine Erklärung für
die Tatsache, daß sich der A-Aldehyd nicht den FfA- und PotentialKurven der verwttndten Vitamin-A-Verbindungen wie Alkohol oder
Säure anschließt.
Bei der Untcnmchung filmgebender Vitamin-A-Substanzen
tritt als Unsicherheitf-!fa.ktor die Gefahr der Autoxydation hinzu,
denn autoxydierte Verbindungen der Vitamin-A-Gruppe zeigen eine
Senkung der W{\rte für den Flächenbedarf. Wir fanden z. B. bei
autoxydiertem Vitltmin A j{l nach dem Grade der Veränderung für den
"Dichtpunkt" (Kondt•JlSittionsbeginn) 45-35 A2 (statt 50 A2 ) und für
den scheinbaren minimalen Flächenbedarf beim Kollaps 15-13 A2
(statt 26 A2 ) pro MolekeL Ebenso bei Vitamin-A-Säure für den "Dichtpunkt" etwa 20 A2 statt GI Az und am Kollaps 6-9 A2 statt 28,5 A2JMolekel. Der als Folge der Autoxydation auftretende, abnorm niedrige
Flächenbedarf/Molekel dürfte sich daraus erklären, daß ein Teil der
gespreiteten Molekeln durch Ausbildung hydrophiler Gruppen wasserlöslich wird und damit die Fähigkeit, Filme zu bilden, verliert.
Wir haben, wie einleitend auf S. 34 ausgeführt wurde, peinlich
darauf geachtet, autoxydativen Veränderungen vorzubeugen. Unter
Berücksichtigung der dort genannten Vorsichtsmaßnahmen bei der
Arbeitsweise geht aus den erhaltenen Meßergebnissen hervor, daß die
Flächenwerte nicht durch Autoxydation der Substanzen beeinflußt
sein können. Denn die gemessenen Querschnittsflächen der Vitamin-AVerbindungen passen unt<'reinander gut zusammen, z. B. bezüglich des
Verhältnisses zwischen Alkohol und Säure, Alkohol und Acetat, Acetat
und Succinat, Acetat und Methyläther. Da die Geschwindigkeit der
Autoxydation bei verschiedenen Substanzen stark variiert, hätten sich
diese Beziehungen verschieben müssen; sie sind aber so, wie sie sonst bei
Bd. 290 (1952)
Grenzflächenuntersuchungen an Vita.min-A-Verbindungen
45
zusammengehörigen Estern, Säuren und Alkoholen auch gefunden
werden, in der vorliegenden Arbeit z. B. bei Phytol, Phytansäure und
Phytylacetat.
Es bleibt somit nur übrig, die auffallend geringen Flächenwerte des
Vitamin-A-Alkohols und einiger seiner Derivate als konstitutionsspezifisches Merkmal zu betrachten. Entscheidend für diese Auffassung
ist die Vergleichsmessung des A-Alkohols mit dem Perhydro-Vitamin A
(Abb. 4), denn hierbei sind alle auftretenden Differenzen im Film.
verhalten der beiden Stoffe eindeutig der chemischen Konstitution, d. h.
in diesem Falle dem Vorhandensein bzw. dem Fehlen des Pentaensystems
zuzuordnen. Da die gesättigte Verbindung einen erheblich höheren
Flächenbedarf/Molekel besitzt, spricht dies, wie in der Besprechung der
Abb. 4 bereits näher begründet wurde, zusammen mit dem Verbalten
des Grenzflächenpotentials für die Betätigung intermolekularer Attraktionskräfte durch die konjugiert-ungesättigten Lückenbindungen.
Für die physiologische Wirkung des Vitamins A sind die
konjugierten Doppelbindungen und der ß-Jononring notwendige strukturchemische Voraussetzungen. Unter den in der vorliegenden Arbeit
untersuchten Substanzen, die diese Voraussetzung erfüllen, befinden
sich auch einige Ester des Vitamins A: das Acetat, Succinat, Palmitat
und Oleat. Diese nehmen, falls sie oral zugeführt werden, bei der physiologischen Beurteilung insofern eine besondere Stellung ein, als Ester
im Darm spaltbar sind. Nach der klassischen Auffassung werden Ester
im Darm vollständig hydrolysiert, die Komponenten getrennt resorbiert.
Die neuerdings, besonders von Frazer, aufgestellte Behauptung, wonach Glyceride zu einem hohen Prozentsatz auch ungespalten oder
teilweise hydrolysiert resorbiert würden, erscheint uns experimentell
nicht ausreichend gesichert. Wir nehmen daher nach wie vor an, daß
bei oraler Zufuhr eines leicht spaltbaren Vitamin-A-Esters im Darm der
gesamte Vitamin-A-Alkohol frei wird und als solcher von der Darmschleimhaut aufgenommen wird. Bei schwer spaltbaren, z. B. sterisch
gehinderten Estern, werden dagegen die ungespaltenen Anteile des
Esters mit dem Kot ausgeschieden. Dem intermediären Stoffwechsel
wird somit nach Fütterung von Vitamin-A-Estern nicht der zugeführte
Ester, sondern das A-Vitamin selbst angeboten, so daß es sich erübrigt,
nach Beziehungen zwischen den monomolekularen Filmen der Ester
und ihrer physiologischen Wirkung zu suchen. Was man im Vitamin-Test
an der Ratte nach Fütterung von A-Estern mißt, dürfte praktisch dem
Grad der Ausnutzung des Esters im Darm entsprechen. Anders liegen
die Verhältnisse bei percu taner Resorption von Vitamin-A-Estern.
Hier konnten wir 8 zeigen, daß nach Lösen von Vitamin-A-Palmitat in
einem Mischglycerid mittelkettiger Fettsäuren erhebliche Dosen des
Esters resorbiert werden und Vitamin-Wirkungen entfalten.
8
G. Weitzcl u. 0. Nast, Dermatol. Wschr. 124, Heft 42 (1951).
46
G.Weitzel, A .. M.Fretzdorffund S.Heller,
Bd.290 (1952)
Hinsichtlich des Zusammenhangs zwischen Filmverhalten und
physiologischer Wirkung kann man mit ziemlicher Sicherheit annehmen,
daß Vitamin A im Zellstoffwechsel nicht frei ist, sondern mit Hilfe seiner
funktionellen Gruppe, vielleicht unter Mitwirkung von Phosphorsäure,
auf eine hydrophile Grenzfläche (Eiweiß-Wasser) aufzieht. Die Phos.
phorylierung würde eine bedeutende Verstärkung des polaren Charakters
bedeuten und dem Vitamin eine starke Affinität zu basischen Zentren
des Proteins der Zelle verleihen. Jedenfalls bildet Vitamin A damit auch
in der Zelle einen "Film", wenn hier auch die Zusammensetzung der
Phasengrenzen, die Temperatur- und Druckverhältnisse von den Modellversuchen in vitro stark abweichen. Trotzdem kann man aber aus den
Modellversuchen mit monomolekularen Filmen gewisse Grundtatsachen
erkennen : ob eine Substanz überhaupt Neigung zeigt, Filme zu bilden
und wie stark ihre Fähigkeit hierzu ist, ob sie sperrige Filme bildet oder
nur wenig Fläche pro Molekel benötigt, ob sie im Film geringe oder hohe
Kohäsionskräfte entwickelt usw. Daraus lassen sich mit aller Vorsicht
auch Schlüsse auf das Verhalten an den Grenzflächen der Zelle ziehen.
Damit erhebt sich die Frage, ob die Fähigkeit zur Filmbildung mit
der Vitamin-A-Wirkung verbunden ist. Vitamin-A-Säure, deren monomolekulare Filme im Modellversuch (s.o.) denen des A-Alkohols sehr
ähnlich sind, ebenso wie A-Aldehyd und A-Methyläther besitze'n zu.
sammen mit einem ausgeprägten Filmbildungsvermögen die physiologische Vitamin-Wirkung. Dabei wird der A-Säure oral die gleiche Wirkung
wie Vitamin A selbst zugeschrieben 9 , wobei es gleichgültig sein müßte,
ob man das Natriumsalz oder die freie Säure füttert, da durch die MagenSalzsäure die A-Säure freigesetzt wird und im Duodenum das AlkaliEalz
zurückgebildet werden kann. Eine deutliche Parallele zu den Filmergebnissen zeigt die physiologische Wirksamkeit bei den Äthern :
Vitamin-A-Methyläther hat volle Vitamin-Wirksamkeit und bildet
stabile, den anderen wirksamen A-Derivaten sehr ähnliche Filme.
Vitamin-A-Phenyläther hat fast keine Vitamin-Wirksamkeit und
ist auf Wasser nicht zur Filmbildung befähigt. Eine weitere Bestätigung
des Zusammenhangs zwischen Filmbildungsvermögen und VitaminWirksamkeit liefert das Anhydro- Vitamin A: es besitzt keine polare
hydrophile Gruppe, läßt sich nicht filmen und wirkt auch nicht. ·
Der bei den Spreitungsmessungen der vorliegenden Arbeit ge.
fundene, auffallend geringe Flächenbedarf zusammen mit der leichten
Zusammendrückbarkeit der Vitamin-A-Substanzen im Film scheint
somit ein allgemeines Charakteristikum vitarnin-A-wirksamer Verbindungen zu sein. Das würde für den Zellstoffwechsel bedeuten, daß im
Vitamin A eine grenzflächenaktive Substanz vorliegt, die besonders
leicht an den passenden Oberflächen massiert werden
kann. Darin wäre auch eine Stütze älterer physiologisch-chemischer
Anschauungen zu sehen, die aus anderen Gründen eine dichte Besetzung
9
F. Bohlmann, Angew. Chem. 62, 4 [1950].
Bd. 290 (1952)
GrenzfJäc·henuntersuchungen an Vitamin·A-Verbindungen
47
mancher Oberflächen, z. B. Darmschleimhaut oder Retina, mit Vitamin A
annehmen. Zur Lipoproteidbildung sind Vitamin A oder sein PHosphorsäureester oder auch die A-Säure sicher hervorragend befähigt. Zu den
beiden strukturchemischen Bedingungen für Vitamin-A-Wirksamkeit ß-Jononring und konjugiertesSystem- tritt offenbar eine dritte hinzu:
die betreffende Verbindung muß durch den Besitz einer hydrophilen
Kopfgruppe ein ausreichendes Filmbildungsvermögen besitzen.
Zusammenfassung
Vitamin-A-Alkohol und eine Anzahl von Verbindungen der VitaminA-Gruppe sowie weitere, dem Vitamin A strukturell älmliche Substanzen
wurden im monomolekularen Film auf Wasseroberflächen untersucht.
Aus der Messung des Flächenbedarfs pro Molekel bei verschiedenem
Schub(= F/A-Isotherme) und der Änderung des Grenzflächenpotentials
während der Schubmessung (~~/ A, Differentialquotient) lassen sich
Rückschlüsse ziehen auf das allgemeine Verhalten der geprüften Substanzen an Grenzflächen.
Im Vergleich zu methylierten Hexadecanolen und Phytol bzw.
Phytansäure haben Vitamin-A-Alkohol, A-Säure, A-Methyläther, A-Acetat und A-Succinat einen auffallend geringen Flächenbedarf pro MolekeL
Die Gegenüberstellung der Meßergebnisse von Vitamin-A-Alkohol und
Perhydro-Vitamin A zeigt deutlich den Einfluß des Pentaen-Systems:
Der im Vergleich mit der Perhydro-Verbindung wesentlich erniedrigte
Flächenbedarf des Vitamins A, sein größerer Dynwert im Kollaps und
sein viel höher-es Grenzflächenpotential sprechen dafür, daß die zwischenmolekularen Kräft.e der konjugierten Doppelbindungen die dichte
Packung der Vitamin-A-Molekeln im Film begünstigen und ihn stabilisieren.
Es ergibt sich, daß Verbindungen, wie Vitamin-A-Phenyläther und
Anhydrovitamin A, die biologisch fast nicht oder garnicht wirksam sind,
auch kein Filmbildungsvermögen besitzen, daß dagegen alle voll wirksamen Vitamin-A-Derivate auch stabile monomolekulare Filme bilden.
Daraus ist zu schließen, daß zusätzlich zu. den beiden strukturchemischen
Voraussetzungen für Vitamin-A-Wirksamkeit - ß-Jonon-Ring und
konjugiertes System - als drittes eine hydrophile Kopf-Gruppe erforderlich ist, die ein genügend großes Filmbildungsvermögen gewährleistet.
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What effect do attempts to lose weight have on the observed relationship between nutrition behaviors and body mass index among adolescents?
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The international journal of behavioural nutrition and physical activity
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Published: 19 September 2007 Published: 19 September 2007 International Journal of Behavioral Nutrition and Physical Activity 2007, 4:40
doi:10.1186/1479-
5868-4-40
Accept This article is available from: http://www.ijbnpa.org/content/4/1/40 © 2007 Utter et al; licensee BioMed Central Ltd. ;
This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/2.0),
which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. International Journal of Behavioral
Nutrition and Physical Activity BioMed Central BioMed Central Open Access Open
Research
What effect do attempts to lose weight have on the observed
relationship between nutrition behaviors and body mass index
among adolescents?
Jennifer Utter*1, Robert Scragg1, Cliona Ni Mhurchu2 and David Schaaf3 ter*1, Robert Scragg1, Cliona Ni Mhurchu2 and David Schaaf3 g
ennifer Utter*1, Robert Scragg1, Cliona Ni Mhurchu2 and Dav Address: 1Epidemiology and Biostatistics, School of Population Health, University of Auckland, Auckland, New Zealand, 2Clinical Trials Research
Unit, School of Population Health, University of Auckland, Auckland, New Zealand and 3Pacific Health, School of Population Health, University
of Auckland, Auckland, New Zealand Email: Jennifer Utter* - j.utter@auckland.ac.nz; Robert Scragg - r.scragg@auckland.ac.nz; Cliona Ni
Mhurchu - c.nimhurchu@ctru.auckland.ac.nz; David Schaaf - d.schaaf@auckland.ac.nz * Corresponding author -
Received: 13 May 2007
Accepted: 19 September 2007 Background g
In New Zealand, approximately one third of children aged
5–14 years are overweight or obese[1] and, when com-
pared internationally, it has been estimated that New Zea-
land has witnessed an annual increase in the prevalence of
childhood obesity greater than most other industrialised
countries[2]. With the increasing awareness of the health
implications of obesity, weight control behaviors are now
common among adolescents in New Zealand. More than
60% of girls and 29% of boys are trying to lose weight[3]. International research has documented that weight con-
trol behaviors are more common among overweight ado-
lescents [4] and that the most common types of weight
control strategies adolescents employ are dietary changes
and increasing their physical activity[5]. Data for the current study were collected during baseline
measurements of the Pacific OPIC (Obesity Prevention in
Communities) Project. OPIC is a four country commu-
nity-based obesity prevention study among predomi-
nately Pacific adolescents with sites in Australia, New
Zealand, Fiji and Tonga. Data for the current study were
drawn from participants at the New Zealand site. Students
from seven high schools in South Auckland were invited
to participate. These schools were purposively selected for
inclusion in the study because they had sufficient num-
bers of Pacific Island students and were in close proximity
to each other. All of the schools participating in the study
were classified as decile 1 or 2; school deciles reflect the
socioeconomic position of its students and range from 1
(most deprived) to 10 (least deprived). Little research has given consideration to how people's
weight control behaviors may moderate the relationships
between nutrition behaviors and body mass index (BMI)
in large cross-sectional studies. This is important because
nutrition and health surveys often identify the associa-
tions between dietary and activity patterns and obesity
and these findings form the basis of many intervention
strategies and weight loss advice. For example, the positive
cross-sectional associations between television viewing
and obesity were being reported as early as 1985[6]. Con-
sequently, reducing television viewing became a signifi-
cant
component
of
several
obesity
prevention
interventions[7,8]. Given the increasing prevalence of
obesity and the general awareness of related issues, it is
possible that cross-sectional research may be increasingly
confounded by the weight control attempts of its popula-
tion. Abstract Background: Little research has given consideration to how people's weight control behaviors may
moderate the relationships between nutrition and body mass index (BMI) in large cross-sectional studies. The objective of the current study is to determine how attempts to lose weight confound the relationships
between nutrition behaviors and BMI among a population of predominately overweight adolescents. Methods: Data were drawn from the baseline measurements of the Pacific OPIC (Obesity Prevention In
Communities). Participants included approximately 3500 high school students in New Zealand. Students
in the sample primarily identified as a Pacific Island ethnicity (57%) and the mean age for participants was
14.8 years. Participants completed a questionnaire about nutrition and physical activity patterns and were
weighed and measured for height. Results: In our sample, 57% of students were overweight/obese, with the highest prevalence among
Pacific Island students (71%). Approximately 50% of students were currently trying to lose weight, and this
was more common among females, Pacific Island students and overweight/obese students. Examination of
the nutritional correlates of BMI in the total population found inverse relationships between BMI and
consumption of high-fat/high-sugar foods and positive relationships between BMI and eating 5 or more
fruits and vegetables a day (all significant after controlling for age, sex, and ethnicity). For example, students
who drank the most soft drinks or ate fruit and vegetables infrequently had the lowest mean BMI. Students'
attempts to change their weight significantly moderated the relationships between most nutritional
behaviors and BMI. In most cases, among students not trying to change their weight, expected relationships
were observed; among students trying to lose weight, unexpected or no relationships were observed. Conclusion: Our findings suggest that among this population of predominately overweight students,
solely relying on cross-sectional findings between nutrition behaviours and BMI would misinform
intervention strategies. It appears that many students are already taking appropriate steps to reduce their
weight. Intervention efforts should now move beyond education-based strategies to environmental
changes that support students in adopting healthier nutrition practices. Page 1 of 10
(page number not for citation purposes) International Journal of Behavioral Nutrition and Physical Activity 2007, 4:40 International Journal of Behavioral Nutrition and Physical Activity 2007, 4:40 http://www.ijbnpa.org/content/4/1/40 http://www.ijbnpa.org/content/4/1/40 http://www.ijbnpa.org/content/4/1/40 http://www.ijbnpa.org/content/4/1/40 Background While it is most likely that unexpected findings go
unreported, one study from the Third National Health
and Nutrition Examination Survey highlighted that low
water consumption and high energy consumption were
significantly associated with a healthful weight among
adolescents [9]. One possible explanation for this finding
may be that overweight students are drinking more water
and reducing their caloric intake as a way to control their
weight. Without adequate discussion of these unpredicted
findings, there may be potentially serious implications for
obesity prevention efforts: increased water consumption
and reduced caloric intake become reported as significant
correlates of overweight and obesity. Students completed a questionnaire about their eating
and physical activity patterns on a hand-held computer
and were weighed and measured for height. All data were
collected at school, during the school day, and in the pres-
ence of trained staff between February and October 2005. The University of Auckland Human Participants Ethics
Committee granted ethical approval for the study. Active
consent was received by students aged 16 years and older
and by parents/guardians of students under the age of 16. Participants All students attending school during the days of data col-
lection were invited to participate. Based on the school
rolls, it was estimated that 6766 students were eligible for
participation. The final study response rate was 54% (n =
3626); information about the non-responders was not
available. The study sample was comprised of slightly
more females (52%) than males (48%) and had a mean
age of 14.8 years (range 12 to 20 years). Students in the
final study sample identified their ethnicity primarily as
Pacific Island (57%), followed by New Zealand Maori
(20%), then European (12%) and Asian/other (11%). Nutrition behaviors The nutrition behaviors chosen for analyses were selected
because of the available evidence in New Zealand and
internationally, which indicates these behaviors as corre-
lates of overweight and obesity[6,11-15]. Breakfast con-
sumption was assessed with the question, 'In the last 5
school days, on how many days did you have something
to eat for breakfast before school started?' Students were
asked about their usual fruit and vegetable consumption sep-
arately with the questions, 'How many serves of fruit (veg-
etables) do you usually eat each day?' Fast food/takeaway
food consumption was assessed with the question, 'How
often do you usually eat food from a takeaway?' (local
examples provided). Consumption of after school snacks
that were high in fat or high in sugar was assessed with
two questions about the frequency of eating fried foods or
chocolates, sweets, or ice cream after school. Soft drink con-
sumption was estimated with two questions: 'In the last 5
school days (including time spent at home), on how
many days did you have regular (non-diet) soft drinks?'
and 'On the last school day, how many glasses or cans of
soft drinks did you have? Average soft drink consumption
was estimated by multiplying the number of days soft
drinks were consumed by the previous day's consumption
and then averaged over the previous five school days. The
estimated amounts were then categorised into five catego-
ries of approximate quintiles. The relationships between each of the nutrition behaviors
and BMI for the total sample are displayed in Table 3. Sig-
nificant inverse relationships between BMI and consump-
tion of breakfast, fast food/takeaways, and high fat or high
sugar after school snacks were observed. For example, stu-
dents who ate breakfast on all of the past five school days,
and who ate fast food takeaways most days of the week,
had significantly lower mean BMIs than students who
never ate breakfast or who ate fast food takeaway less than
once per month. Conversely, students who reported eat-
ing five or more fruits and vegetables a day had a signifi-
cantly higher mean BMI (p = 0.002) than students who
did not. BMI Height and weight measurements were taken by trained
research staff using standardised protocols. Students wore
light clothing and no shoes. Students' weights were meas-
ured to the nearest 0.1 kg using a digital scale. Students'
heights were measured to the nearest 0.1 cm using a free-
standing portable stadiometer. Body mass index (BMI)
was calculated as weight (kilograms) divided by height
(meters) squared. Weight status (obese, overweight, and
normal weight) was defined using international defini-
tions for children and adolescents[10]. Results
N
l Nearly 60% of the participating students in the sample
were overweight/obese (Table 1). Weight status was not
associated with age or gender, but was significantly asso-
ciated with ethnicity. Pacific Island adolescents were more
likely to be overweight/obese (71%), and Asian/other
adolescents less likely to be overweight/obese (28%),
compared with adolescents of other ethnicities. Nearly
half of all students were trying to lose weight, 40% were
trying to stay the same weight or were doing nothing
about their weight, and 14% were trying to gain weight
(Table 2). A higher proportion of females than males were
trying to lose weight, similar proportions of males and
females were not trying to change their weight, and more
males than females were trying to gain weight. Age was
associated with attempting to change weight in males but
not females. Among males, younger adolescents were
more likely to report attempting to lose weight, while
older adolescents were more likely to be trying to gain
weight. For both genders, ethnicity and weight status were
significantly associated with weight change attempts. Pacific Island students and overweight/obese students
were more likely to be trying to lose weight. Sociodemographic characteristics Students' ethnicity, age and gender were each assessed by
self-report. Students were asked which ethnic group they
most identified with and were given 11 ethnicities from
which to choose. Students were then categorised into four
main ethnic groups: 'Pacific' (Samoan, Cook Island
Maori, Tongan, Niuean, or Other Pacific), 'Maori', 'Euro-
pean' (NZ European or Other European), and 'Asian/
other' (Chinese, Indian, Other). Thus, the aim of the current study is to determine the
nutritional correlates of obesity (e.g. consumption of
breakfast, fruits and vegetables, and high-fat/high-sugar
foods) among a predominately overweight population of
high school students in New Zealand and to determine
how students' attempts to change their weight moderates
the cross-sectional relationships between BMI and nutri-
tional behaviors. Weight change attempts
Weight change attempts were assessed by one question ask-
ing students what they were currently trying to do about Page 2 of 10
(page number not for citation purposes) http://www.ijbnpa.org/content/4/1/40 http://www.ijbnpa.org/content/4/1/40 International Journal of Behavioral Nutrition and Physical Activity 2007, 4:40 their weight. Students could respond, 'lose weight', 'gain
weight', 'stay the same weight', or 'I'm not trying to do
anything about my weight.' The last two categories were
combined for analyses and are referred to as 'not change
weight'. stratified by gender because males and females differ in
their desires to change their weight[3] Multivariate regres-
sion models were used to determine the associations
between each nutrition behavior and BMI, while control-
ling for age, sex, and ethnicity. A separate set of multivar-
iate regression models were used to examine the effect of
the interaction between each of the nutrition behaviors
and weight change attempts on BMI while controlling for
age, sex, and ethnicity. A test was considered to be statisti-
cally significant if p < 0.05. Analysis
Th The survey procedures in the statistical software SAS
(Cary, NC, version 9.1) were used to correct design effects
from clustered sampling. The demographic characteristics
describing students by their weight status and weight con-
trol attempts were generated by cross-tabulations using
chi-square tests to determine statistical differences. The
analyses describing the demographic characteristics of stu-
dents by their weight control attempts were conducted Table 4 describes how weight change attempts moderate
the relationships between each of the nutrition behaviors
and BMI. The p-values reflect the significance of the inter-
action terms (expressed as nutrition behaviour*weight
change attempt) controlling for age, sex, and ethnicity. The mean BMI for each behavior, stratified by weight Page 3 of 10
(page number not for citation purposes) International Journal of Behavioral Nutrition and Physical Activity 2007, 4:40 http://www.ijbnpa.org/content/4/1/40 Table 1: Demographic characteristics of study population by weight status. Obese
Overweight
Normal weight
n
%1
SE2
n
%
SE
n
%
SE
p-value3
Total
926
26.5
2.9
1100
31.5
1.7
1464
41.9
3.8
Gender
Male
436
26.2
2.6
508
30.5
1.5
719
43.2
3.3
Female
490
26.8
3.3
592
32.4
2.2
745
40.8
4.5
0.31
Age
12–13
years
230
29.8
1.5
251
32.5
2.5
292
37.8
3.0
14 years
225
26.3
3.2
277
32.3
3.5
355
41.4
3.4
15 years
164
23.5
3.8
219
31.4
2.9
314
45.1
6.1
16 years
159
25.8
3.3
194
31.4
2.2
264
42.8
4.6
17+ years
148
27.1
5.3
159
29.1
1.5
239
43.8
5.5
0.54
Ethnicity
Pacific
Island
690
34.6
1.4
721
36.1
1.2
584
29.3
0.7
Maori
164
23.1
2.9
212
23.1
2.9
334
47.0
2.3
Asian/
other
26
6.9
2.0
79
20.9
1.5
273
72.2
1.5
European
46
11.3
4.8
88
21.6
3.3
273
67.1
5.5
<0.001
1 Row percentage, unadjusted for confounders
2Standard error (SE) for percentage
3P-value for chi-square Table 1: Demographic characteristics of study population by weight status. ining nutritional correlates of BMI and for obesity preven-
tion programs. change attempt, describes the direction of the interaction. In most analyses, weight change attempts significantly
moderated the effect of the nutrition behaviors and BMI. The most significant interactions are visually displayed in
Figures 1, 2, 3, 4. Analysis
Th Among students not trying to change
their weight, eating five fruits and vegetables a day (Figure
1) or having fruit as an after school snack (Figure 2) is
associated with a lower BMI, while among students trying
to lose weight the reverse is true. More frequent consump-
tion of fast food/takeaways (Figure 3) and high sugar
snacks after school (Figure 4) is associated with a higher
BMI among students not trying to change their weight, but
this relationship was not observed for students trying to
lose weight. The direction of the relationships between
BMI and the nutrition behaviours among the students try-
ing to gain weight were inconsistent. The current study population represents a group of ado-
lescents at increased risk for obesity and related health
issues. The population was predominately comprised of
adolescents of Pacific Island ethnicities and from poorer
socioeconomic position and, in New Zealand, childhood 20.50
21.50
22.50
23.50
24.50
25.50
26.50
27.50
28.50
29.50
No
Yes
1Figure displays unadjusted, mean BMI for consumption of five or more fruits and
vegetables per day stratified by weight control attempt
2Interaction statistically significant (p=0.001) when controlling for age, sex, and
ethnicity
Not change weight
Lose weight
Gain weight Discussion The aim of the current study is to determine how attempts
to change weight moderate the cross-sectional relation-
ships between BMI and nutritional correlates among a
predominately overweight population of high school stu-
dents in New Zealand. In a population with a high per-
centage of students who are overweight/obese and are
trying to lose weight, weight control attempts significantly
moderated the relationships between nutrition behaviors
and BMI. These findings have significant implications for
the interpretation of future cross-sectional studies exam- 1Figure displays unadjusted, mean BMI for consumption of five or more fruits and
vegetables per day stratified by weight control attempt
2Interaction statistically significant (p=0.001) when controlling for age, sex, and
ethnicity Visual repr
consumpti
trol attem
Figure 2 sua
ep ese tat o
o t e s g
ca t
te act o
betwee
co su pt o o
g suga s ac
oo s a te sc oo a
we g t co t o atte pt o
gu e
Visual representation1 of the significant interaction2 between
consumption of high sugar snack foods after school and
weight control attempt on BMI. Visual representation of the significant interaction between
consumption of fruit as an afternoon snack and weight con
trol attempt on BMI
Figure 2
Visual representation1 of the significant interaction2 between
consumption of fruit as an afternoon snack and weight con-
trol attempt on BMI. obesity rates are highest among these groups [1]. The prev-
alence of overweight/obesity among Pacific Island chil-
dren in New Zealand is substantially higher than many
other ethnic populations of other western countries [16-
18]. In our population of high school students in South
Auckland, 59% of students were overweight/obese, with
more than 70% of the Pacific students classified as over-
weight/obese. Furthermore, nearly half of the sample was
currently trying to lose weight, indicating an increased
need for health advice and support for healthy eating and
physical activity for this population. obesity rates are highest among these groups [1]. The prev-
alence of overweight/obesity among Pacific Island chil-
dren in New Zealand is substantially higher than many
other ethnic populations of other western countries [16-
18]. In our population of high school students in South
Auckland, 59% of students were overweight/obese, with
more than 70% of the Pacific students classified as over-
weight/obese. Furthermore, nearly half of the sample was
currently trying to lose weight, indicating an increased
need for health advice and support for healthy eating and
physical activity for this population. In analyses of the total sample, previously documented
nutritional correlates of obesity were either not signifi-
cantly associated with BMI or were significant, but in the
opposite direction to that expected. These findings are
inconsistent with a large body of evidence that support a
positive relationship between excess body weight and
skipping breakfast[13], soft drink consumption [12,19-
21],
and
eating
food
prepared
away
from
home[11,14,22], indicating that these behaviors should
be targeted by prevention programs. Visual rep
consumpt
weight co
Figure 1 1Figure displays unadjusted, mean BMI for consumption of fruit as an afternoon
snack stratified by weight control attempt
2Interaction statistically significant (p<0.001) when controlling for age, sex, and
ethnicity
20.50
21.50
22.50
23.50
24.50
25.50
26.50
27.50
28.50
29.50
Never
Some days
Most days
Everyday
Not change weight
Gain weight
Lose weight 1Figure displays unadjusted, mean BMI for consumption of high sugar snack foods
after school stratified by weight control attempt
2Interaction statistically significant (p<0.001) when controlling for age, sex, and
ethnicity
19.50
20.50
21.50
22.50
23.50
24.50
25.50
26.50
27.50
28.50
29.50
Never
Some days
Most days
Everyday
Gain weight
Not change weight
Lose weight 1Figure displays unadjusted, mean BMI for consumption of high sugar snack foods
after school stratified by weight control attempt
2Interaction statistically significant (p<0.001) when controlling for age, sex, and
ethnicity
19.50
20.50
21.50
22.50
23.50
24.50
25.50
26.50
27.50
28.50
29.50
Never
Some days
Most days
Everyday
Gain weight
Not change weight
Lose weight 20.50
21.50
22.50
23.50
24.50
25.50
26.50
27.50
28.50
29.50
Never
Some days
Most days
Everyday
Not change weight
Gain weight
Lose weight 19.50
20.50
21.50
22.50
23.50
24.50
25.50
26.50
27.50
28.50
29.50
Never
Some days
Most days
Everyday
Gain weight
Not change weight
Lose weight 1Figure displays unadjusted, mean BMI for consumption of fruit as an afternoon
snack stratified by weight control attempt
2Interaction statistically significant (p<0.001) when controlling for age, sex, and
ethnicity 1Figure displays unadjusted, mean BMI for consumption of high sugar snack foods
after school stratified by weight control attempt
2Interaction statistically significant (p<0.001) when controlling for age, sex, and
ethnicity Visual repr
consumpti
trol attem
Figure 2 We did find, how-
ever, that students' attempts to change their weight signif-
icantly moderated the relationships between BMI and
consumption of breakfast, fruits and vegetables, soft
drinks, fast food and high sugar/high fat afternoon snacks. In most cases, among students who were trying to lose
weight, the students with the highest BMI's were eating
the fewest unhealthy foods and the most healthy foods. These findings suggest that adolescents who are trying to
lose weight may already be adopting the dietary changes
targeted by health promotion programs, such as increas-
ing consumption of fruits and vegetables and decreasing
consumption of high-fat or high-sugar foods. 1Figure displays unadjusted, mean BMI for consumption of fast foods/ takeaway foods
stratified by weight control attempt
2Interaction statistically significant (p<0.001) when controlling for age, sex, and
ethnicity
20.50
21.50
22.50
23.50
24.50
25.50
26.50
27.50
28.50
29.50
Once a month or
less
2-3 times per
month
1-3 times per
week
Most days
Lose weight
Not change weight
Gain weight 20.50
21.50
22.50
23.50
24.50
25.50
26.50
27.50
28.50
29.50
Once a month or
less
2-3 times per
month
1-3 times per
week
Most days
Lose weight
Not change weight
Gain weight 1Figure displays unadjusted, mean BMI for consumption of fast foods/ takeaway food
stratified by weight control attempt
2Interaction statistically significant (p<0.001) when controlling for age, sex, and
ethnicity 1Figure displays unadjusted, mean BMI for consumption of fast foods/ takeaway foods
stratified by weight control attempt
2Interaction statistically significant (p<0.001) when controlling for age, sex, and
ethnicity 1Figure displays unadjusted, mean BMI for consumption of fast foods/ takeaway foods
stratified by weight control attempt It is also possible that significant interactions observed in
the current study may reflect a reporting bias whereby
overweight adolescents underreported their consumption
of high-fat or high-sugar snacks. Research with adults has
indicated that underreporting is more common among
women and those who are overweight or trying to lose
weight[23]. Underreporting energy intake is also common
among children and adolescents; 20% of young people Visual rep
consumpt
weight co
Figure 1 p
g
p
g
y
g
p
g
Visual representation1 of the significant interaction2 between
consumption of five or more fruits and vegetables a day and
weight control attempt on BMI. Page 4 of 10
(page number not for citation purposes) International Journal of Behavioral Nutrition and Physical Activity 2007, 4:40 http://www.ijbnpa.org/content/4/1/40 Visual representation1 of the significant interaction2 between
consumption of high sugar snack foods after school and
weight control attempt on BMI
Figure 4
Visual representation1 of the significant interaction2 between
consumption of high sugar snack foods after school and
weight control attempt on BMI. 1Figure displays unadjusted, mean BMI for consumption of high sugar snack foods
after school stratified by weight control attempt
2Interaction statistically significant (p<0.001) when controlling for age, sex, and
ethnicity
19.50
20.50
21.50
22.50
23.50
24.50
25.50
26.50
27.50
28.50
29.50
Never
Some days
Most days
Everyday
Gain weight
Not change weight
Lose weight
Visual representation1 of the significant interaction2 between
consumption of fruit as an afternoon snack and weight con-
trol attempt on BMI
Figure 2
Visual representation1 of the significant interaction2 between
consumption of fruit as an afternoon snack and weight con-
trol attempt on BMI. Visual rep
consumpti
attempt o
Figure 3 p
g
p
y
g
p
g
Visual representation1 of the significant interaction2 between
consumption of fast food/takeaway foods and weight control
attempt on BMI. Page 5 of 10
(page number not for citation purposes) Page 5 of 10
(page number not for citation purposes) International Journal of Behavioral Nutrition and Physical Activity 2007, 4:40 http://www.ijbnpa.org/content/4/1/40 Table 2: Demographic characteristics of study population by attempts to control their weight. Visual rep
consumpti
attempt o
Figure 3 Lose weight
Gain weight
Not change weight1
n
%2
SE3
n
%
SE
n
%
SE
p-value4
Total
1662
47.6
1.4
475
13.6
0.9
1353
38.8
1.6
MALES
Total
657
39.5
1.8
355
21.4
1.4
651
39.2
2.4
Age
12–13 years
188
50.7
2.6
58
15.6
2.3
125
33.7
2.2
14 years
177
42.8
2.0
80
19.3
2.7
157
37.9
3.5
15 years
110
32.5
3.0
73
21.5
4.2
156
46.0
3.5
16 years
97
32.7
1.8
79
26.6
3.8
121
40.7
3.7
17+ years
85
35.1
3.1
65
26.9
0.6
92
38.0
3.1
<0.001
Ethnicity
Pacific Island
452
46.5
1.3
204
21.0
1.1
317
32.6
1.1
Maori
102
32.9
4.1
53
17.1
1.1
155
50.0
3.6
Asian/other
50
25.4
2.4
69
35.0
3.4
78
39.6
5.4
European
53
29.0
2.7
29
15.9
1.8
101
55.2
3.1
<0.001
Weight Status
Obese
339
77.8
1.4
5
1.2
0.4
92
21.1
1.6
Overweight
221
43.5
2.4
73
14.4
1.9
214
42.1
2.5
Normal weight
97
13.5
1.5
277
38.5
3.4
345
48.0
3.3
<0.001
FEMALES
Total
1005
55.0
1.7
120
6.6
0.5
702
38.4
1.5
Age
12–13 years
210
52.2
3.0
26
6.5
0.8
166
41.3
2.8
14 years
249
56.2
1.6
35
7.9
1.3
159
35.9
1.2
15 years
208
58.1
2.2
23
6.4
0.8
127
35.5
2.2
16 years
174
54.4
3.2
15
4.7
0.5
131
41.0
3.4
17+ years
164
54.0
4.2
21
6.9
1.2
119
39.1
4.4
0.31
Ethnicity
Pacific Island
613
60.0
1.2
63
6.2
0.8
346
33.9
1.1
Maori
209
52.3
2.0
24
6.0
0.7
167
41.8
1.7
Asian/other
80
44.2
3.2
18
10.0
2.5
83
45.9
2.1
European
103
46.0
4.8
15
6.7
1.3
106
47.3
4.5
<0.001
Weight Status
Obese
386
78.8
1.9
6
1.2
0.6
98
20.0
1.5
Overweight
392
66.2
1.3
19
3.2
0.6
181
30.6
1.1
Normal weight
227
30.5
3.3
95
12.8
1.6
423
56.8
2.3
<0.001
1Includes students who were trying to stay the same weight or were not trying to do anything about their weight. 2 Row percentage, unadjusted for confounders
3Standard error (SE) for percentage
4P-value for bivariate relationship Table 2: Demographic characteristics of study population by attempts to control their weight. underreported their energy intake in the UK National Diet
and Nutrition Survey [24]. Among adolescents, underre-
porting is more common among those who are older
[24,25] and overweight [24,26]. Visual rep
consumpti
attempt o
Figure 3 Furthermore, there has
been some suggestion that measures of dietary restraint
do not correspond with actual dietary restriction[27], sug-
gesting that students who report trying to lose weight may
be reporting a perceived need to lose weight rather than
an actual behavior change. That said, we do not believe it underreported their energy intake in the UK National Diet
and Nutrition Survey [24]. Among adolescents, underre-
porting is more common among those who are older
[24,25] and overweight [24,26]. Furthermore, there has
been some suggestion that measures of dietary restraint
do not correspond with actual dietary restriction[27], sug-
gesting that students who report trying to lose weight may
be reporting a perceived need to lose weight rather than
an actual behavior change. That said, we do not believe it to be likely that underreporting or misreporting of weight
control attempts explain all of the significant interactions
in our study. The strength and consistency of the interac-
tions across several nutrition behaviors, including the
healthier behaviors, and the relevance of these behaviors
to health promotion messages suggests that adolescents
are trying to make appropriate dietary changes. Our find-
ings are consistent with previous research documenting
that dietary changes are among the most common weight Page 6 of 10
(page number not for citation purposes) Page 6 of 10
(page number not for citation purposes) International Journal of Behavioral Nutrition and Physical Activity 2007, 4:40 http://www.ijbnpa.org/content/4/1/40 Table 3: Bivariate and multivariate relationships between BMI and nutrition behaviors in the total sample. Visual rep
consumpti
attempt o
Figure 3 Bivariate Relationship
Multivariate Relationship1
n
Mean BMI2
95% CI3
β4
SE5
p-value
Breakfast consumption (days per school week)
None
689
26.4
(25.1, 27.7)
0.97
0.1
1–2 days
429
26.9
(25.7, 28.2)
0.96
0.4
3–4 days
924
25.9
(24.6, 27.3)
0.22
0.2
5 days
1037
24.8
(23.5, 26.0)
0.00
0.0
<0.001
Eat five or more fruits and vegetables a day
No
2028
25.4
(24.1, 26.7)
-0.78
0.1
Yes
1458
26.2
(25.0, 27.4)
0.00
0.0
0.001
Average daily soft drink consumption
Not regular drinker
757
25.3
(23.9, 26.7)
0.00
0.0
1/2 a can a day or less
1053
25.6
(24.3, 27.0)
-0.19
0.1
1 can a day
655
25.8
(24.5, 27.1)
-0.37
0.2
2 cans a day
340
26.4
(24.8, 27.9)
0.23
0.3
More than 2 cans a day
398
26.0
(25.2, 26.8)
-0.48
0.1
0.022
Fast food/takeaway consumption
Once a month or less
694
26.2
(24.4, 27.9)
0.00
0.0
2–3 times a month
973
25.9
(24.7, 27.1)
-0.52
0.3
1–3 times a week
1562
25.5
(24.4, 26.6)
-1.25
0.3
Most days
256
25.5
(24.2, 26.8)
-1.87
0.3
0.002
High fat foods as after school snack
Never
874
25.4
(23.8, 26.9)
0.00
0.0
Some days
1735
26.0
(24.8, 27.2)
-0.38
0.2
Most days
633
25.6
(24.5, 26.7)
-1.34
0.2
Everyday
243
25.4
(24.2, 26.6)
-1.66
0.4
<0.001
High sugar foods as after school snack
Never
744
26.3
(25.0, 27.6)
0.00
0.0
Some days
1689
25.8
(24.7, 27.0)
-0.98
0.1
Most days
704
25.1
(23.9, 26.4)
-1.90
0.2
Everyday
348
25.2
(23.7, 26.8)
-1.80
0.2
<0.001
Fruit as after school snack
Never
480
24.6
(23.4, 25.9)
0.00
0.0
Some days
1508
25.9
(24.6, 27.1)
0.85
0.3
Most days
819
26.5
(25.2, 27.8)
1.79
0.4
Everyday
678
25.3
(23.9, 26.7)
0.98
0.4
0.002
1 Controlling for age, sex, and ethnicity
2 Unadjusted mean
3 95% Confidence Interval (CI) for the mean
4Regression coefficient 5Standard error (SE) Table 3: Bivariate and multivariate relationships between BMI and nutrition behaviors in the total sample. Table 3: Bivariate and multivariate relationships between BMI and nutrition behaviors in the total sample important to consider. First, because of the uniqueness of
the demographic characteristics of our population, gener-
alization of our findings to other countries or other pop-
ulations with high risk for obesity are limited. Second, the
final student response rate was modest at 54%. Visual rep
consumpti
attempt o
Figure 3 Because
information about the non-responders is not available,
we cannot hypothesise how the non-responders may have
biased our results. Third, there may be moderators other
than attempts to change weight that explain the inconsist-
ent findings between the nutrition behaviours and BMI in
the current study. For example, the only indicator of soci- control strategies employed by adolescents[5] and that
adolescents who are trying to lose weight eat more fruits
and vegetables than their peers[28,29]. By either explana-
tion, these findings suggest that further education-based
interventions in this population may not be of any addi-
tional benefit as these young people appear to know
about appropriate dietary strategies for weight control. control strategies employed by adolescents[5] and that
adolescents who are trying to lose weight eat more fruits
and vegetables than their peers[28,29]. By either explana-
tion, these findings suggest that further education-based
interventions in this population may not be of any addi-
tional benefit as these young people appear to know
about appropriate dietary strategies for weight control. The current study is unique in its large, ethnically diverse
sample of adolescents at increased risk for obesity, but
there are several limitations of our findings that are Page 7 of 10
(page number not for citation purposes) Page 7 of 10
(page number not for citation purposes) International Journal of Behavioral Nutrition and Physical Activity 2007, 4:40 http://www.ijbnpa.org/content/4/1/40 Table 4: Relationships between BMI and nutrition behaviors stratified by weight control attempt. Visual rep
consumpti
attempt o
Figure 3 Lose weight
Gain weight
Not Change weight1
n
BMI2
95% CI3
n
BMI
95% CI
n
BMI
95% CI
p-value4
Breakfast consumption (days per school week)
None
347
28.8
(27.1, 30.5)
76
21.3
(19.9, 22.8)
266
25.0
(23.7, 25.9)
1–2 days
225
29.4
(28.1, 30.7)
48
22.7
(20.9, 24.4)
156
25.0
(23.4, 25.9)
3–4 days
425
28.8
(27.4, 30.1)
142
21.3
(20.2, 22.4)
357
24.4
(22.9, 25.8)
5 days
465
28.1
(26.8, 29.3)
149
20.8
(19.7, 21.8)
423
22.5
(21.7, 23.4)
0.003
Eat five or more fruits and vegetables a day
No
886
28.2
(27.0, 29.4)
294
21.1
(19.7, 22.6)
847
23.9
(22.8, 25.0)
Yes
773
29.0
(27.7, 30.3)
180
21.5
(21.0, 22.0)
505
23.6
(22.6, 24.6)
0.001
Average daily soft drink consumption
Not regular drinker
394
28.0
(26.5, 29.4)
78
20.5
(19.1, 22.0)
285
22.9
(21.4, 24.3)
≤1/2 a can a day
518
28.7
(27.4, 29.9)
125
20.6
(19.0, 22.2)
410
23.4
(22.1, 24.6)
1 can a day
294
28.7
(27.3, 30.0)
94
21.5
(19.8, 23.3)
267
24.1
(23.1, 25.1)
2 cans a day
148
29.3
(27.2, 31.4)
56
22.5
(21.2, 23.9)
136
24.8
(23.1, 26.5)
>2 cans a day
169
28.8
(27.3, 30.3)
71
21.6
(20.5, 22.7)
158
25.0
(24.1, 25.8)
0.038
Fast food/takeaway consumption
Once a month or less
388
29.0
(27.4, 30.5)
75
20.6
(18.6, 22.7)
231
23.3
(21.9, 24.6)
2–3 times/month
495
28.5
(27.5, 29.4)
115
21.3
(20.1, 22.4)
363
23.9
(22.5, 25.3)
1–3 times/week
674
28.5
(27.0, 30.0)
228
21.3
(20.2, 22.5)
660
23.8
(23.0, 24.7)
Most days
102
28.3
(26.2, 30.3)
56
22.0
(21.0, 23.0)
98
24.6
(22.8, 26.3)
<0.001
High fat foods as after school snack
Never
456
28.3
(26.9, 29.7)
84
20.2
(18.6, 21.7)
334
22.7
(21.5, 23.9)
Some days
850
28.8
(27.6, 30.0)
217
21.3
(20.1, 22.4)
668
24.0
(23.2, 24.9)
Most days
259
28.6
(27.2, 29.9)
117
22.1
(21.3, 22.9)
257
24.2
(22.9, 25.5)
Everyday
94
28.4
(26.8, 30.0)
56
21.2
(19.6, 22.8)
93
24.9
(23.6, 26.2)
0.001
High sugar foods as after school snack
Never
375
29.2
(28.2, 30.2)
90
21.7
(19.6, 23.7)
279
23.8
(22.5, 25.1)
Some days
835
28.6
(27.2, 30.0)
214
21.2
(20.7, 21.8)
640
23.8
(22.9, 24.6)
Most days
306
28.1
(26.9, 29.2)
110
21.0
(19.3, 22.7)
288
23.6
(22.2, 25.0)
Everyday
143
27.9
(26.4, 29.3)
60
21.3
(20.1, 22.5)
145
24.3
(22.4, 26.1)
<0.001
Fruit as after school snack
Never
185
27.3
(25.6, 28.9)
91
21.0
(19.5, 22.5)
204
23.8
(23.0, 24.7)
Some days
709
28.9
(27.6, 30.1)
207
21.2
(20.1, 22.4)
592
23.9
(22.8, 24.9)
Most days
426
29.1
(27.8, 30.4)
98
22.0
(20.7, 23.3)
295
24.2
(22.6, 25.8)
Everyday
339
28.0
(26.7, 29.4)
78
20.9
(20.0, 21.7)
261
23.1
(21.7, 24.4)
<0.001
1Includes students who were trying to stay the same weight or not trying to do anything about their weight. Visual rep
consumpti
attempt o
Figure 3 2 Unadjusted mean
395% Confidence Interval (CI) for the mean
4p-value for the interaction term expressed as behavior*weight control attempt, controlling for age, sex, and ethnicity Table 4: Relationships between BMI and nutrition behaviors stratified by weight control attempt. Page 8 of 10
(page number not for citation purposes) Conclusion oeconomic position in the current study was school
decile. It is possible that student household income could
vary within the schools and that household income could
have an independent confounding effect. However, indi-
cators from the 2001 Census of the main intervention area
for the OPIC study suggest that this area is relatively eco-
nomically disadvantaged and there may not be much var-
iation in household socioeconomic position[30] Also
ethnicity is highly correlated with socioeconomic indica-
tors in New Zealand [31] and we have controlled for the
effects of ethnicity in the current analyses. Findings from the current study suggest that attempts to
change weight significantly modified the relationships
between BMI and nutrition behaviors. This finding is
important to consider in future cross-sectional studies of
BMI and nutrition behaviors, especially among popula-
tions who may be heavily targeted by obesity prevention
programs. Future cross-sectional research may need to
exclude people who are currently trying to lose weight
from analyses examining the relationships between nutri-
tion behaviors and BMI. This approach has been previ- Page 8 of 10
(page number not for citation purposes) Page 8 of 10
(page number not for citation purposes) International Journal of Behavioral Nutrition and Physical Activity 2007, 4:40 http://www.ijbnpa.org/content/4/1/40 http://www.ijbnpa.org/content/4/1/40 analysis of the third national health and nutrition examina-
tion survey, 1988-1994. J Am Diet Assoc 2006, 106(1):55-64. analysis of the third national health and nutrition examina-
tion survey, 1988-1994. J Am Diet Assoc 2006, 106(1):55-64. ously used to correct for confounding by smoking in the
relationships between BMI and mortality[32]. Future
studies examining relationships between BMI and nutri-
tion behaviours that report nonsignificant or unexpected
findings should consider that attempts to change weight
may be modifying these relationships. 10. y
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Results. [http://www.manukau.govt.nz/default.aspx?page=statis
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31. Howden-Chapman P, Tobias M: Social Inequalities in Health: ]
31. Howden-Chapman P, Tobias M: Social Inequalities in Health:
New Zealand 1999. Wellington , Ministry of Health; 2000. 32. Manson JE, Willett WC, Stampfer MJ, Colditz GA, Hunter DJ, Hank-
inson SE, Hennekens CH, Speizer FE: Body weight and mortality
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(
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33. Viner RM, Cole TJ: Who changes body mass between adoles-
cence and adulthood? Factors predicting change in BMI
between 16 year and 30 years in the 1970 British Birth
Cohort . Int J Obes 2006, 30:1368-1374. J
34. Neumark-Sztainer D, Wall M, Guo J, Story M, Haines J, Eisenberg M:
Obesity, disordered eating, and eating disorders in a longitu-
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( )
35. French SA, Story M, Jeffery RW: Environmental influences on
eating and physical activity. Annu Rev Public Health 2001,
22:309-335. References Publish with BioMed Central and every
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Portuguese
| null |
A didática e a aprendizagem do pensar e do aprender: a teoria histórico-cultural da atividade e a contribuição de Vasili Davydov
|
Revista Brasileira de Educação
| 2,004
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cc-by
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A didática e a aprendizagem do pensar
e do aprender: a Teoria Histórico-cultural
da Atividade e a contribuição de Vasili Davydov José Carlos Libâneo*
Universidade Católica de Goiás Revista Brasileira de Educação Os desafios da escola e da didática atual
e a contribuição da Teoria Histórico-social
da Atividade Com efeito, as crianças e jovens vão à escola para
aprender cultura e internalizar os meios cognitivos
de compreender e transformar o mundo. Para isso, é
necessário pensar – estimular a capacidade de racio-
cínio e julgamento, melhorar a capacidade reflexiva
e desenvolver as competências do pensar. A didática
tem o compromisso com a busca da qualidade cogni-
tiva das aprendizagens, esta, por sua vez, associada à
aprendizagem do pensar. Cabe-lhe investigar como
ajudar os alunos a se constituírem como sujeitos pen-
santes e críticos, capazes de pensar e lidar com con-
ceitos, argumentar, resolver problemas, diante de di-
lemas e problemas da vida prática. A razão pedagógica
está também associada, inerentemente, a um valor in-
trínseco, que é a formação humana, visando a ajudar
os outros a se educarem, a serem pessoas dignas, jus-
tas, cultas, aptas a participar ativa e criticamente na
vida social, política, profissional e cultural. Ante as necessidades educativas presentes, a es-
cola continua sendo lugar de mediação cultural, e a
pedagogia, ao viabilizar a educação, constitui-se como
prática cultural intencional de produção e internaliza-
ção de significados para, de certa forma, promover o
desenvolvimento cognitivo, afetivo e moral dos indi-
víduos. O modus faciendi dessa mediação cultural,
pelo trabalho dos professores, é o provimento aos alu-
nos dos meios de aquisição de conceitos científicos e
de desenvolvimento das capacidades cognitivas e
operativas, dois elementos da aprendizagem escolar
interligados e indissociáveis. Este texto apóia-se em duas crenças: uma, que a
escola continua sendo uma instância necessária de
democratização intelectual e política; outra, que uma
política educacional inclusiva deve estar fundamen-
tada na idéia de que o elemento nuclear da escola é a * O autor agradece a contribuição do professor Seth Chaiklin
no esclarecimento de expressões e termos de difícil compreensão
ou interpretação, encontrados na versão em inglês do texto de V. V. Davydov, utilizado como base deste artigo. Revista Brasileira de Educação Revista Brasileira de Educação 5 5 José Carlos Libâneo atividade de aprendizagem, lastreada no pensamento
teórico, associada aos motivos dos alunos, sem o que
as escolas não seriam verdadeiramente inclusivas. sar. Mais precisamente, será fundamental entender que
o conhecimento supõe o desenvolvimento do pensa-
mento e que desenvolver o pensamento supõe meto-
dologia e procedimentos sistemáticos do pensar. Os desafios da escola e da didática atual
e a contribuição da Teoria Histórico-social
da Atividade Nesse
caso, a característica mais destacada do trabalho do
professor é a mediação docente pela qual ele se põe
entre o aluno e o conhecimento para possibilitar as
condições e os meios de aprendizagem, ou seja, as
mediações cognitivas. Estudos recentes sobre os processos do pensar e
do aprender, para além da acentuação do papel ativo
dos sujeitos na aprendizagem, insistem na necessida-
de dos sujeitos desenvolverem competências e habi-
lidades cognitivas. Para Castells (apud Hargreaves,
2001, p. 16), a tarefa das escolas e dos processos edu-
cativos é desenvolver em quem está aprendendo a ca-
pacidade de aprender, em razão de exigências postas
pelo volume crescente de dados acessíveis na socie-
dade e nas redes informacionais, da necessidade de
lidar com um mundo diferente e, também, de educar
a juventude em valores e ajudá-la a construir perso-
nalidades flexíveis e eticamente ancoradas. Também
Morin (2000) expressa com muita convicção a exi-
gência de se desenvolver uma inteligência geral que
saiba discernir o contexto, o global, o multidimensio-
nal, a interação complexa dos elementos. Ele escreve: O suporte teórico de partida é o princípio vygo-
tskiano de que a aprendizagem é uma articulação de
processos externos e internos, visando a internaliza-
ção de signos culturais pelo indivíduo, o que gera uma
qualidade auto-reguladora às ações e ao comporta-
mento dos indivíduos. Esta formulação realça a ativi-
dade sócio-histórica e coletiva dos indivíduos na for-
mação das funções mentais superiores, portanto o
caráter de mediação cultural do processo do conheci-
mento e, ao mesmo tempo, a atividade individual de
aprendizagem pela qual o indivíduo se apropria da
experiência sociocultural como ser ativo. Todavia,
considerando-se que os saberes e instrumentos cog-
nitivos se constituem nas relações intersubjetivas, sua
apropriação implica a interação com os outros já por-
tadores desses saberes e instrumentos. Em razão dis-
so é que a educação e o ensino se constituem formas
universais e necessárias do desenvolvimento mental,
em cujo processo se ligam os fatores socioculturais e
as condições internas dos indivíduos. [...] o desenvolvimento de aptidões gerais da mente permi-
te melhor desenvolvimento das competências particulares
ou especializadas. Quanto mais poderosa é a inteligência
geral, maior é sua faculdade de tratar problemas especiais. A compreensão dos dados particulares também necessita
da ativação da inteligência geral, que opera e organiza a
mobilização dos conhecimentos de conjunto em cada caso
particular. Os desafios da escola e da didática atual
e a contribuição da Teoria Histórico-social
da Atividade [...] Dessa maneira, há correlação entre a mobi-
lização dos conhecimentos de conjunto e a ativação da in-
teligência geral. (Morin, 2000, p. 39) O que está em questão é como o ensino pode
impulsionar o desenvolvimento das competências
cognitivas mediante a formação de conceitos e de-
senvolvimento do pensamento teórico, e por quais
meios os alunos podem melhorar e potencializar sua
aprendizagem. Em outras palavras, trata-se de saber
o que e como fazer para estimular as capacidades in-
vestigadoras dos alunos, ajudando-os a desenvolver
competências e habilidades mentais. Em razão disso,
uma didática a serviço de uma pedagogia voltada para
a formação de sujeitos pensantes e críticos deverá
salientar em suas investigações as estratégias pelas
quais os alunos aprendem a internalizar conceitos,
competências e habilidades do pensar, modos de ação Outros estudos vêm mostrando o impacto dos
meios de comunicação na configuração dos modos
de pensar e das práticas sociais da juventude (por
exemplo, Porto, 2003; Belloni, 2002; Engestrõm,
2002), das tecnologias e dos meios informacionais,
dos crescentes processos de diversificação cultural,
afetando os processos de ensino e aprendizagem. É em razão dessas demandas que a didática pre-
cisa incorporar as investigações mais recentes sobre
modos de aprender e ensinar e sobre o papel media-
dor do professor na preparação dos alunos para o pen- Set /Out /Nov /Dez 2004 No 27 6 A didática e a aprendizagem do pensar e do aprender que se constituam em “instrumentalidades” para li-
dar praticamente com a realidade: resolver problemas,
enfrentar dilemas, tomar decisões, formular estraté-
gias de ação. Davydov1 explicita seu entendimento
dessas questões: pressão maior é o trabalho, é a principal mediação
nas relações que os sujeitos estabelecem com o mun-
do objetivo. Conforme Vygotsky, o surgimento da
consciência está relacionado com a atividade prática
humana, a consciência é um aspecto da atividade
laboral. Escreve Leontiev: O saber contemporâneo pressupõe que o homem do-
mine o processo de origem e desenvolvimento das coisas
mediante o pensamento teórico, que estuda e descreve a
lógica dialética. O pensamento teórico tem seus tipos espe-
cíficos de generalização e abstração, seus procedimentos
de formação dos conceitos e operações com eles. Justamen-
te, a formação de tais conceitos abre aos escolares o cami-
nho para dominar os fundamentos da cultura teórica atual. [...] A escola, a nosso juízo, deve ensinar as crianças a pen-
sar teoricamente. (apud Golder, 2002, p. 2 Neste artigo, todas as citações de obras originalmente es-
critas em inglês ou espanhol, tal como constam da bibliografia,
foram traduzidas pelo autor. Os desafios da escola e da didática atual
e a contribuição da Teoria Histórico-social
da Atividade 49) Este enfoque encontrou sua expressão na concepção
de atividade psíquica como uma forma peculiar de ativida-
de, como um produto e um derivado da vida material, da
vida externa, que se transforma [...] em atividade da cons-
ciência. Aqui se põe como tarefa central a investigação da
própria estrutura da atividade e sua interiorização. (apud
Davydov, 2002)2 Na base da idéia de atividade externa está um
princípio central da filosofia materialista dialética: o
condicionamento histórico-social do desenvolvimento
do psiquismo humano, que se realiza no processo de
apropriação da cultura mediante a comunicação com
outras pessoas. Tais processos de comunicação e as
funções psíquicas superiores envolvidas nesses pro-
cessos se efetivam primeiramente na atividade exter-
na (interpessoal) que, em seguida, é internalizada pela
atividade individual, regulada pela consciência. No
processo de internalização da atividade há a media-
ção da linguagem, em que os signos adquirem signi-
ficado e sentido (Vygotsky, 1984, p. 59-65). O objetivo deste estudo é, assim, explorar as con-
tribuições teóricas da Teoria Histórico-cultural da Ati-
vidade, especialmente a Teoria do Ensino Desenvol-
vimental de V. Davydov, para as tarefas da didática
em relação à aprendizagem do pensar e do aprender. O debate dentro da Escola de Vygotsky Na seqüência desses
estudos, outros pesquisadores dedicaram-se ao desen-
volvimento da Teoria da Atividade, entre eles,
Galperin (Psicologia Infantil), Bozhovich (Psicolo-
gia da Personalidade), Elkonin (Psicologia Evolutiva
e periodização do desenvolvimento humano),
Zaporoyetz (Psicologia Evolutiva) e Levina (Psico-
logia da Educação) (cf. Golder, 2002). A cultura desempenha, assim, um papel relevan-
te, por permitir ao ser humano a interiorização dos
modos historicamente determinados e culturalmente
organizados de operar com informações. Escreve
Davydov (1988b): A apropriação das formas da cultura pelo indivíduo é,
a nosso juízo, o caminho já elaborado de desenvolvimento
de sua consciência. Aceita esta proposição, a tarefa funda-
mental da ciência será a de determinar como o conteúdo do
desenvolvimento espiritual da humanidade se transforma
em suas formas de desenvolvimento espiritual e como a
apropriação dessas formas pelo indivíduo se transforma no
conteúdo do desenvolvimento de sua consciência. (p. 61) Piotr Iakovlevich Galperin (1902-1988) formula
a Teoria do Desenvolvimento Psíquico, na qual res-
salta o papel das ações externas no surgimento e for-
mação das ações internas, mentais, por meio do ensi-
no. A “teoria por etapas das ações mentais” afirma
que a formação da mente deve ser planejada e reali-
zada por meio de uma seqüência de etapas de ações
mentais. A formação de uma ação mental começa com
ações com objetos, realizadas com o apoio de objetos
externos e sua representação material, para logo pas-
sar por uma série de etapas até se converter em ação
que se realiza no plano mental (Coletivo de Autores,
2000). Daniil B. Elkonin (1904-1984), que exerceu
forte influência nas pesquisas de Davydov, destacou-
se pelas suas pesquisas sobre a periodização do de-
senvolvimento humano e a aprendizagem escolar. Para
ele, a aprendizagem é uma forma essencial de desen-
volvimento psíquico e o caminho lógico para anali-
sar capacidades humanas. A aprendizagem conduz ao
desenvolvimento através da atividade, tendo-se em
conta o papel dos fatores externos do desenvolvimen- 3 A expressão “atividade reprodutiva” não deve ser inter-
pretada como imitação, repetição, memorização, como na lingua-
gem usual. A atividade, no sentido marxista, nunca seria uma repro-
dução mecânica de ações. Conforme registra Chaiklin (2003a):
“Em suas ações únicas ou singulares, a pessoa reproduz a ativida-
de que organiza suas ações. Leontiev e Davydov utilizam esta
expressão para enfatizar que não se trata da criação de uma ativi-
dade ‘nova’, mas de uma ‘versão’ nova. O debate dentro da Escola de Vygotsky A Teoria Histórico-cultural da Atividade, desen-
volvida inicialmente por Leontiev, Rubinstein e Luria,
é geralmente considerada uma continuidade da escola
histórico-cultural iniciada por Vygotsky. Segundo
Leontiev, “a idéia da análise da atividade como mé-
todo na psicologia científica do homem foi formula-
da nos primeiros trabalhos de L. S. Vygotsky” (1983,
p. 82). O conceito de atividade é bastante familiar na
tradição da filosofia marxista. A atividade, cuja ex- Toda ação humana está orientada para um obje-
to, de forma que a atividade tem sempre um caráter
objetal. O êxito de uma atividade está em estabelecer
seu conteúdo objetal. O ensino tem a ver diretamente
com isso: é uma forma social de organização da apro-
priação, pelo homem, das capacidades formadas só-
cio-historicamente e objetivadas na cultura material
e espiritual. Esta apropriação requer comunicação em
sua forma externa. Em suas formas iniciais, esta co-
municação não está mediatizada pela palavra, mas 1 O nome de Vasili Vasilievich Davydov aparece nas publi-
cações ora como Davydov ora como Davidov. Optei pela primeira
forma, Davydov, em virtude de ser essa a grafia utilizada na prin-
cipal obra consultada para a redação deste texto. 7 7 Revista Brasileira de Educação Revista Brasileira de Educação José Carlos Libâneo pelo objeto. “Unicamente sobre a base das ações
objetais conjuntas com o adulto, a criança vai domi-
nando a linguagem, a comunicação verbal” (Davydov,
2002, p. 57). Mas para que isso aconteça, é necessá-
rio que o sujeito realize determinada atividade, diri-
gida à apropriação da cultura. Leontiev, citado por
Davydov, escreve que a apropriação “é o processo
que tem por resultado a reprodução, pelo indivíduo,
das capacidades e procedimentos de conduta huma-
nas, historicamente formados” (idem, p. 55).3 A atividade, tanto externa como interna, tem uma
estrutura psicológica, cujos componentes são: neces-
sidades, motivos, finalidades e condições de realiza-
ção da finalidade. Ao curso psicológico da atividade
corresponde à realização de diversas ações, cada ação
composta por uma série de operações em correspon-
dência com as condições peculiares da tarefa, confor-
me veremos adiante. Os trabalhos realizados por Leontiev (1903-1979)
no período de 1930-1940 foram dedicados à investi-
gação do desenvolvimento do psiquismo humano, dos
processos psicológicos superiores, do processo de in-
ternalização, da estrutura da atividade global e seu
desdobramento em outras atividades, das emoções e
dos processos de comunicação. O debate dentro da Escola de Vygotsky [...] Penso que ‘reprodu-
ção’ deve ser interpretada aqui para significar que a pessoa recria
as práticas humanas historicamente desenvolvidas. Por exemplo,
quando alguém aprende aritmética há, até certo ponto, uma repro-
dução de práticas historicamente desenvolvidas, mesmo que haja
pequenas variações em como um indivíduo percebe a prática ob-
jetiva”. Poder-se-ia dizer, como Leontiev, que os indivíduos reali-
zam uma atividade prática ou cognoscitiva ou cognitiva adequada
à atividade humana precedente encarnada neles. Set /Out /Nov /Dez 2004 No 27 8 8 A didática e a aprendizagem do pensar e do aprender to, com destaque especial à incorporação da cultura
vista em sua formação histórica, não como cultura
dada, tema que reaparecerá na obra de Davydov. rentes caminhos interpretativos, ainda que os pontos
em comum digam respeito aos seus fundamentos epis-
temológicos, vinculados ao materialismo histórico e
dialético. Davydov, em texto recente (1999), relata o de-
senvolvimento da Teoria da Atividade na Rússia nos
últimos vinte anos, desde sua formulação inicial por
Rubinstein e Leontiev. Destaca a importância das pes-
quisas do psicólogo finlandês Y. Engestrõm, aponta o
trabalho de Elkonin como um dos pioneiros no estu-
do específico da atividade de aprendizagem e explicita
seu próprio entendimento da teoria histórico-cultural
da atividade. Os estudos teóricos recentes da Teoria da Ativi-
dade têm realçado temas como a atividade situada em
contextos, a participação como condição de compreen-
são na prática (como aprendizagem), identidade, pa-
pel das práticas institucionalizadas nos motivos dos
alunos, a diversidade cultural etc. Na base do estudo
desses temas, há a premissa de que todas as ações
individuais devem ser interpretadas tendo em conta
questões e fatores que não estão imediatamente pre-
sentes na situação, nem contidos exclusivamente nas
pessoas que atuam nessas situações. Ou seja, na aná-
lise das práticas humanas são destacados os fatores
do contexto sócio-histórico em razão de que as práti-
cas humanas são socialmente situadas, sendo estes
fatores decisivos nos processos mediacionais, já que
eles se realizam na e pela participação em atividades
socioculturais (Chaiklin & Lave, 2001). A expansão da Teoria da Atividade para o norte
da Europa, Estados Unidos e América Latina se dá a
partir dos anos de 1960. O debate dentro da Escola de Vygotsky No norte da Europa são co-
nhecidos os nomes de Yrjo Engestrõm, Seth Chaiklin,
Mariane Hedegaard, Jean Lave, entre outros.4 Nos
Estados Unidos destacam-se diversos especialistas em
Vygotsky, tais como Michel Cole, da Universidade
da Califórnia, estudioso das relações interpessoais e
interculturais na formação da criança, J. Werstsch,
Vera John-Steiner, Ellen Souberman, Sylvia Scribner
(que organizou com Cole o livro Formação social da
mente, publicado no Brasil em 1968) e Louis Moll. Da mesma forma que são encontradas muitas inter-
pretações dentro da psicologia histórico-cultural, tam-
bém em relação à Teoria da Atividade existem dife- Segundo Engestrõm, no processo de evolução da
Teoria da Atividade podem ser estabelecidas três ge-
rações. A primeira geração está concentrada nos tra-
balhos de Vygotsky, quando se formula o conceito da
atividade como mediação, gerando o modelo triangu-
lar da relação do sujeito com o objetivo mediado por
artefatos materiais e culturais; a segunda toma por base
a formulação de Leontiev, avançando na distinção, no
conceito de atividade, de ação coletiva e ação indivi-
dual, e estabelecendo a estrutura da atividade; a ter-
ceira, proposta pelo próprio Engestrõm a partir dos
anos de 1970, parte do modelo triangular de Vygotsky,
expandindo-o para um modelo do sistema da ativida-
de coletiva. Neste modelo é realçado o conceito de
contradições internas como força motriz dos sistemas
de atividade e se introduz as análises da psicologia
transcultural de Cole, pelas quais a Teoria da Ativida-
de acolhe as questões da diversidade cultural e do diá-
logo entre diferentes culturas (cf. Zamberlan, s/d.). 4 Para um levantamento recente dessas tendências veja-se:
S. Chaiklin, M. Hedegaard e U. J. Jensen (orgs.). Activity theory
and social practice: cultural-historical approaches [Aarthus (Di-
namarca): Aarthus University Press, 1999], que traz textos prepa-
rados para o Primeiro Congresso da Sociedade Internacional so-
bre Teoria da Atividade e Pesquisa Cultural (ISCRAT). O nome
dessa sociedade mudou, recentemente, para International Society
for Cultural and Activity Research (ISCAR). Na Universidade de
Helsinki, há o Centro para Teoria de Atividade e Pesquisa de Tra-
balho Desenvolvimental, fundado em 1994, atualmente dirigido
por um conhecido pesquisador, Yrjo Engestrõm, que realiza pes-
quisa sobre trabalho, tecnologia e organizações que estão passan-
do por transformações. Para uma boa pesquisa sobre interpreta-
ções correntes da Teoria da Atividade, ver Gonzáles Rey (2003). O debate dentro da Escola de Vygotsky No Brasil, os estudos e pesquisas sobre a teoria
de Vygotsky tiveram um desenvolvimento intenso,
desde que intelectuais brasileiros tiveram acesso às 9 9 Revista Brasileira de Educação José Carlos Libâneo suas obras na segunda metade dos anos de 1980, es-
tando disponível hoje uma vasta bibliografia. São
mais raros, todavia, estudos relacionados com a Teo-
ria Histórico-cultural da Atividade e, mais ainda, em
relação a Davydov. Em relação à Teoria Histórico-
cultural da Atividade, cumpre destacar os trabalhos
de Moura e seus orientandos (Moura, 2003, 2002,
2000; Sforni, 2003).5 Numa orientação teoricamen-
te diferenciada em relação à produção mais conven-
cional sobre a psicologia histórico-social estão os
trabalhos que Duarte, que tem centrado sua investi-
gação em questões filosóficas e epistemológicas da
Teoria Histórico-cultural (por exemplo, 1996, 2003).6 suas obras na segunda metade dos anos de 1980, es-
tando disponível hoje uma vasta bibliografia. São
mais raros, todavia, estudos relacionados com a Teo-
ria Histórico-cultural da Atividade e, mais ainda, em
relação a Davydov. Em relação à Teoria Histórico-
cultural da Atividade, cumpre destacar os trabalhos
de Moura e seus orientandos (Moura, 2003, 2002,
2000; Sforni, 2003).5 Numa orientação teoricamen-
te diferenciada em relação à produção mais conven-
cional sobre a psicologia histórico-social estão os
trabalhos que Duarte, que tem centrado sua investi-
gação em questões filosóficas e epistemológicas da
Teoria Histórico-cultural (por exemplo, 1996, 2003).6 Um trabalho especialmente relevante é o livro
de Nereide Saviani, Saber escolar, currículo e didá-
tica (1994), que aborda temas como a organização
do saber escolar, a relação conteúdo/método, as ba-
ses do desenvolvimento cognitivo, aspectos lógico-
psicológicos da conversão do saber científico em sa-
ber escolar e a unidade entre os campos da didática e
do currículo. Em todo o livro há menções a uma obra
clássica de Davydov (1978), mas especificamente no
capítulo III há uma exposição detalhada de suas idéias
sobre o processo de formação de conceitos e forma-
ção do pensamento teórico, com base em proposi-
ções de Vygotsty e Rubinstein. As avaliações críticas envolvendo a relação entre
a psicologia histórico-cultural e a Teoria da Atividade
mostram que há pontos comuns entre os psicólogos
russos, mas há também consideráveis divergências,
por exemplo, na interpretação da expressão “determi-
nação histórica e social da mente humana” ou do pa-
pel da cultura e da linguagem no desenvolvimento
humano. O debate dentro da Escola de Vygotsky Segundo Kozulin, boa parte das divergên-
cias giram em torno do problema da internalização e
da relação entre a atividade externa da criança e as
operações mentais correspondentes. Esta questão, no 5 O Grupo de Estudos sobre Teoria da Atividade, da Fa-
culdade de Educação da Universidade de São Paulo (USP), coor-
denado pelo professor Manoel Oriosvaldo de Moura, realiza en-
contros de estudos e debates sobre pesquisas de professores e
alunos nessa linha. Registre-se, também, que a Teoria da Ativi-
dade, na versão de Leontiev (1983) e seguidores, tem sido larga-
mente utilizada em Cuba por professores dedicados à metodolo-
gia do ensino superior, que inclusive a tem difundido em países
latino-americanos em cursos de pós-graduação realizados por
convênio com instituições universitárias, inclusive brasileiras. 6 Especificamente em relação ao tema deste artigo, Duarte
destinou pesadas críticas a trabalhos de autores que, de alguma
forma, valorizam o mote do “aprender a aprender” e, com isso,
buscam aproximar as idéias vygotskianas das idéias neoliberais e
pós-modernas (Duarte, 2000, 2003). Na sua opinião, o “aprender
a aprender” leva a uma pedagogia que desvaloriza a transmissão
do saber objetivo, dilui o papel da escola em transmitir esse saber,
descaracteriza o papel do professor como alguém que detém um
saber a ser transmitido para os alunos, negando o próprio ato de
ensinar (2000, p. 8). Argumenta que o “aprender a aprender” inte-
gra as propostas educacionais neoliberais à medida que atende à
formação de indivíduos que possam adaptar-se às atuais formas
de trabalho flexível requeridas pelo mercado, isto é, que sejam
portadores de conhecimentos meramente técnicos, sem necessi-
dade de domínio dos conhecimentos universais. Com suas pró-
prias palavras, “não se forma indivíduos que sabem algo, que do-
minam os conhecimentos universais, mas indivíduos predispostos
a aprender qualquer coisa, desde que o que se aprende seja útil à adaptação do indivíduo à vida social (i.e., ao mercado) (idem, p. 150). Com base nesse entendimento, conclui que não é possível utilizar
a psicologia vygotskiana para legitimar o lema do “aprender a
aprender”. A meu ver, o entendimento desse autor sobre o “apren-
der a aprender” está demasiadamente colado a uma conotação po-
lítica e ideológica, na presunção de que toda visão política produz
necessariamente um determinado tipo de didática, ou de que qual-
quer procedimento didático está necessariamente atrelado a uma
determinada visão política. O debate dentro da Escola de Vygotsky Já dizia, sabiamente, Mario Manacorda,
em 1978, que em nenhuma atividade social é possível tomar posi-
ção e efetuar opções operacionais somente com base numa orien-
tação ideológica, ou seja, nenhuma concepção de mundo subsiste
sem competências específicas em um campo. Diz mais Manacorda:
que nem sempre a concepção de mundo e a competência científi-
ca nascem sempre e necessariamente na mesma mente, de modo
que um grupo social pode apropriar-se da ciência de outro grupo
sem aceitar sua ideologia (apud Mariagliano et al., 1986, p. 13). adaptação do indivíduo à vida social (i.e., ao mercado) (idem, p. 150). Com base nesse entendimento, conclui que não é possível utilizar
a psicologia vygotskiana para legitimar o lema do “aprender a
aprender”. A meu ver, o entendimento desse autor sobre o “apren-
der a aprender” está demasiadamente colado a uma conotação po-
lítica e ideológica, na presunção de que toda visão política produz
necessariamente um determinado tipo de didática, ou de que qual-
quer procedimento didático está necessariamente atrelado a uma
determinada visão política. Já dizia, sabiamente, Mario Manacorda,
em 1978, que em nenhuma atividade social é possível tomar posi-
ção e efetuar opções operacionais somente com base numa orien-
tação ideológica, ou seja, nenhuma concepção de mundo subsiste
sem competências específicas em um campo. Diz mais Manacorda:
que nem sempre a concepção de mundo e a competência científi-
ca nascem sempre e necessariamente na mesma mente, de modo
que um grupo social pode apropriar-se da ciência de outro grupo
sem aceitar sua ideologia (apud Mariagliano et al., 1986, p. 13). Set /Out /Nov /Dez 2004 No 27 10 A didática e a aprendizagem do pensar e do aprender período 1934-1940, teria gerado os motivos do dis-
tanciamento do grupo liderado por Leontiev em rela-
ção às idéias de Vygotsky. Para Leontiev, as opera-
ções mentais seriam determinadas pelas relações
concretas entre a criança e a realidade, vale dizer, a
familiarização prática com os objetos é que leva a
criança ao seu desenvolvimento cognitivo (i.e., a es-
trutura dos processos cognitivos repete a estrutura das
operações externas). A relação prática com os objetos,
isto é, a atividade prática, teria muito mais importân-
cia do que o modelo histórico-cultural desenvolvido
por Vygotsky. Vale dizer que, enquanto Leontiev acen-
tuaria a atividade prática, Vygotsky acentuaria a cul-
tura, a linguagem, a mediação simbólica (Kozulin,
2002, p. 125-132). O debate dentro da Escola de Vygotsky gação educacional ligadas historicamente a Vygotsky:
a Teoria Sociocultural e a Teoria da Atividade, a pri-
meira focando a mediação semiótica, especialmente
a fala, a outra acentuando mais a atividade. Ambas
buscam explicar a aprendizagem e o desenvolvimen-
to humano como processos mediados, ambas forne-
cem orientações metodológicas para captar processos
e formas pelos quais fatores sociais, culturais e histó-
ricos promovem o desenvolvimento humano, e ambas,
especialmente, tratam dos contextos em que ocorrem
as mediações cognitivas. Todavia, os procedimentos
metodológicos de pesquisa e as aplicações na prática
pedagógica tomam caminhos bastante diferentes. As diferentes interpretações da obra de Vygotsky
e seguidores no meio europeu e norte-americano re-
batem também no Brasil, assumindo peculiaridades
decorrentes das influências teóricas exercidas na in-
vestigação educacional e na prática pedagógica. Essa mesma questão é discutida por Zinchenko,
que reconhece a existência de duas linhas de pesqui-
sa dentro da mesma escola: a psicologia histórico-
cultural (Vygotsky) e a Teoria Psicológica da Ativi-
dade (Leontiev), com pontos de convergência, mas
também com diferenças. Segundo Zinchenko (1998): Revista Brasileira de Educação As contribuições teóricas de Vasili Davydov
para a Teoria da Atividade e o ensino
desenvolvimental7 A principal diferença é que para a psicologia histórico-
cultural o problema central foi e continua sendo a mediação
da mente e da consciência. Para a teoria psicológica da ati-
vidade o problema central era a orientação-objeto, em ambas
as atividades mentais interna e externa. É claro que na teo-
ria psicológica da atividade a questão mediação também
apareceu, mas enquanto que para Vygotsky a consciência
era mediada pela cultura, para Leontiev a mente e a cons-
ciência eram mediadas por ferramentas e objetos. (p. 44) Vasili Vasilievich Davydov nasceu em 1930 e
morreu em 1998. Membro da Academia de Ciências
Pedagógicas, doutor em psicologia, professor univer-
sitário, escreveu vários livros, entre eles: Tipos de
generalización en la enseñanza, Problemas de la
enseñanza y del desarrollo, La enseñanza escolar y
el desarrollo psíquico.8 Pertence à terceira geração Tais diferenças de abordagem, acentuando-se ora
o significado ora a ação, ora a atividade orientada a
objetos ora o sentido, são, obviamente, de cunho filo-
sófico, gerando diferentes conseqüências teóricas e
práticas. Zinchenko sugere que se dê continuidade às
pesquisas e que olhemos para as duas linhas como com-
plementares, uma se enriquecendo na outra, até que se
possa chegar ao desenvolvimento de uma psicologia
histórico-cultural da consciência e da atividade. 7 Na versão inglesa do texto de Davydov é utilizada a ex-
pressão “developmental teaching”, que pode ser traduzida por
ensino desenvolvimentalista ou ensino desenvolvimental. Nenhum
desses adjetivos é encontrado em português. Optei pela expressão
“ensino desenvolvimental”, que pode ser descrita nos seguintes
termos: o ensino é a forma dominante pela qual se propiciam mu-
danças qualitativas no desenvolvimento do pensamento. 8 Neste estudo, utilizo mais diretamente a obra Problems of
developmental teaching, publicada em três números da revista Soviet
Education (Davydov, 1988a, 1988b, 1988c). As citações dessa obra
inseridas no texto foram traduzidas pelo autor. Os textos publicados Também Daniels (2003, p. 93) destaca as seme-
lhanças e diferenças entre duas tradições de investi- 11 José Carlos Libâneo de psicólogos russos e soviéticos, desde os trabalhos
do grupo inicial de Vygotsky realizados nas décadas
de 1920 e 1930. e o conteúdo de um único processo de desenvolvimento
mental humano. (1988a, p. 54) A seguir, são apresentados alguns tópicos que
buscam trazer uma visão de conjunto do pensamento
desse autor. O conceito psicológico da atividade:
a estrutura da atividade As bases teóricas que fundamentam os compo-
nentes da estrutura da atividade e seu conteúdo foram
formuladas por A. N. Leontiev (1983, 1992), mas V. Davydov menciona, também, a contribuição de S. L. Rubinstein e de outros psicólogos que trabalharam
nas décadas de 1920-1930. Ele escreve: A essência do conceito filosófico-psicológico mate-
rialista dialético da atividade está em que ele reflete a rela-
ção entre o sujeito humano como ser social e a realidade
externa – uma relação mediatizada pelo processo de trans-
formação e modificação desta realidade externa. A forma
inicial e universal desta relação são as transformações e
mudanças instrumentais dirigidas a uma finalidade, reali-
zadas pelo sujeito social, sobre a realidade sensorial e cor-
poral ou sobre a prática humana material produtiva. Ela
constitui a atividade laboral criativa realizada pelos seres
humanos que, através da história da sociedade, tem propi-
ciado a base sobre a qual surgem e se desenvolvem as dife-
rentes formas da atividade espiritual humana (cognitiva,
artística, religiosa etc.). Entretanto, todas estas formas de-
rivadas da atividade estão diretamente ligadas com a trans-
formação, pelo sujeito, de um ou outro objeto sob a forma
ideal. O sujeito individual, por meio da apropriação, repro-
duz em si mesmo as formas histórico-sociais da atividade. [...] A atividade humana tem uma estrutura complexa que
inclui componentes como: necessidades percebidas, capa-
cidades, objetivos, tarefas, ações e operações, que estão em
permanente estado de interligação e de transformação. (1988a, p. 9) Uma análise da abordagem de Vygotsky e Leontiev
sobre o problema do desenvolvimento mental permite que
cheguemos às seguintes conclusões. Primeiro, no sentido
mais amplo, a educação e o ensino de uma pessoa não são
nada mais que sua “apropriação”, a “reprodução” por ela
das capacidades dadas histórica e socialmente. Segundo, a
educação e o ensino (“apropriação”) são formas universais
de desenvolvimento mental humano. Terceiro, a “apropria-
ção” e o desenvolvimento não podem atuar como dois pro-
cessos independentes, pois se correlacionam como a forma [...] A atividade humana tem uma estrutura complexa que
inclui componentes como: necessidades percebidas, capa-
cidades, objetivos, tarefas, ações e operações, que estão em
permanente estado de interligação e de transformação. (1988a, p. 9) nessa revista não correspondem à obra completa publicada origi-
nalmente em russo. Todavia, a tradução do inglês foi cotejada com
a tradução espanhola da obra original, cujo título é La ensenãnza
escolar y el desarrollo psíquico (1988d). As contribuições teóricas de Vasili Davydov
para a Teoria da Atividade e o ensino
desenvolvimental7 Conforme vimos, Vygotsky havia mostrado a re-
levância da escolarização para apropriação dos con-
ceitos científicos e para o desenvolvimento das capa-
cidades de pensamento, a partir da assimilação da
produção cultural da humanidade, já que “as funções
mentais específicas não são inatas, mas postas como
modelos sociais” (Davydov, 1988b, p. 52). Por sua vez,
Leontiev investigou os fundamentos do desenvolvi-
mento psíquico humano e sistematizou uma teoria psi-
cológica da atividade e da consciência. A partir des-
sas bases e de outros estudos conduzidos pela escola
de Vygotsky, especialmente de D. Elkonin, Davydov
destaca a peculiaridade da atividade da aprendizagem,
entre outros tipos de atividade, cujo objetivo é o do-
mínio do conhecimento teórico, ou seja, o domínio de
símbolos e instrumentos culturais disponíveis na so-
ciedade, obtido pela aprendizagem de conhecimentos
das diversas áreas do conhecimento. Apropriar-se des-
ses conteúdos – das ciências, das artes, da moral –
significa, em última instância, apropriar-se das for-
mas de desenvolvimento do pensamento. Para isso, o
caminho é a generalização conceitual, enquanto con-
teúdo e instrumento do conhecimento. Ele escreve: O conceito psicológico da atividade:
a estrutura da atividade Conforme Leontiev (1992), a atividade surge de
necessidades, que impulsionam motivos orientados Set /Out /Nov /Dez 2004 No 27 12 A didática e a aprendizagem do pensar e do aprender para um objeto. O ciclo que vai de necessidades a
objetos se consuma quando a necessidade é satisfei-
ta, sendo que o objeto da necessidade ou motivo é
tanto material quanto ideal. Para que estes objetivos
sejam atingidos, são requeridas ações. O objetivo pre-
cisa sempre estar de acordo com o motivo geral da
atividade, mas são as condições concretas da ativida-
de que determinarão as operações vinculadas a cada
ação. Leontiev define como atividade: pessoa estiver sentada em casa, talvez prefira escrevê-
los; em outras condições, poderá recorrer à repetição
mental dos versos. Nos dois casos, a ação é a memo-
rização, mas os meios de executá-la, isto é, as opera-
ções, serão diferentes. A atividade humana é global, mas ela se desdo-
bra em distintos tipos concretos de atividade, cuja
diferenciação é dada pelo seu conteúdo objetal. Se-
gundo Leontiev, cada tipo de atividade possui um
conteúdo perfeitamente definido de necessidades,
motivos, tarefas e ações. Por exemplo, o conteúdo
objetal da atividade do jogo é substancialmente dife-
rente da atividade de estudo ou da atividade profis-
sional. “O que distingue uma atividade de outra é o
objeto da atividade [...] que confere à mesma deter-
minada direção” (Leontiev, 1983, p. 83). [...] aqueles processos que, realizando as relações do ho-
mem com o mundo, satisfazem uma necessidade especial
correspondente a ele. [...] Por atividade, designamos os pro-
cessos psicologicamente caracterizados por aquilo que o
processo, como um todo, se dirige (i.e., objeto), coincidin-
do sempre com o objetivo que estimula o sujeito a executar
essa atividade, isto é, o motivo. (p. 68) Davydov (1999) concorda com Leontiev sobre o
entendimento de que a atividade é constituída de ne-
cessidades, tarefas, ações e operações, mas acrescen-
ta um componente que modifica substantivamente a
formulação inicial. Trata-se do desejo, enquanto nú-
cleo básico de uma necessidade: Há, pois, uma dependência do objetivo em re-
lação ao motivo, ou seja, a atividade implica um sen-
tido. Por sua vez, a ação “é um processo cujo moti-
vo não coincide com seu objetivo, mas reside na
atividade da qual faz parte” (ibidem). Revista Brasileira de Educação O ensino e o desenvolvimento do pensamento:
o ensino desenvolvimental Ao outorgar à emoção um status similar ao da cogni-
ção, na constituição dos diferentes processos e formas de
organização da psique, Vygotsky está sugerindo a indepen-
dência das emoções, em sua origem, dos processos cogniti-
vos, e integrando as emoções dentro de uma visão comple-
xa da psique que representa um importante antecedente para
a construção teórica do tema da subjetividade. (2003, p. 137) Na base do pensamento de Davydov está a idéia-
mestra de Vygotsky de que a aprendizagem e o ensi-
no são formas universais de desenvolvimento men-
tal. O ensino propicia a apropriação da cultura e o
desenvolvimento do pensamento, dois processos ar-
ticulados entre si, formando uma unidade. Podemos
expressar essa idéia de duas maneiras: a) enquanto o
aluno forma conceitos científicos, incorpora proces-
sos de pensamento e vice-versa; b) enquanto forma o
pensamento teórico, desenvolve ações mentais, me-
diante a solução de problemas que suscitam a ativi-
dade mental do aluno. Com isso, o aluno assimila o
conhecimento teórico e as capacidades e habilidades
relacionadas a esse conhecimento. Davydov reforça esta idéia quando escreve que,
por detrás das ações humanas estão as necessidades e
emoções humanas, antecedendo a ação, as relações
com os outros, as linguagens. Isso significa que as
ações humanas estão impregnadas de sentidos subje-
tivos, projetando-se em várias esferas da vida dos su-
jeitos, obviamente também na atividade dos alunos,
na compreensão das disciplinas escolares, no envol-
vimento com o assunto estudado. Para superar a pedagogia tradicional empiricista,
é necessário introduzir o pensamento teórico. O pa-
pel do ensino é justamente o de propiciar mudanças
qualitativas no desenvolvimento do pensamento teó-
rico, que se forma junto com as capacidades e hábitos
correspondentes. Em razão disso, escreve Davydov: A coisa mais importante na atividade científica não é
a reflexão, nem o pensamento, nem a tarefa, mas a esfera
das necessidades e emoções. [...] As emoções são muito
mais fundamentais do que os pensamentos, elas são a base
para todas as diferentes tarefas que um homem estabelece
para si mesmo, incluindo as tarefas do pensar. [...] A fun-
ção geral das emoções é capacitar uma pessoa a pôr-se cer-
tas tarefas vitais, mas este é somente meio caminho anda-
do. O conceito psicológico da atividade:
a estrutura da atividade Escreve esse autor: do ensino e da educação, que ocorre com a coopera-
ção entre adultos e crianças na atividade de ensino. O conceito psicológico da atividade:
a estrutura da atividade Conforme ex-
plica Leontiev, a atividade de ler o livro somente
para passar no exame não é atividade, é uma ação,
porque ler o livro por ler não é um objetivo forte que
estimula a ação. A atividade é a leitura do livro por
si mesmo, por causa do seu conteúdo, ou seja, quan-
do o motivo da atividade passa para o objeto da ação,
a ação transforma-se numa atividade. É isso que pode
provocar mudanças na atividade principal. Acredito que o desejo deve ser considerado como um
elemento da estrutura da atividade. [...] Necessidades e de-
sejos compõem a base sobre a qual as emoções funcionam. [...] O termo desejo reproduz a verdadeira essência da ques-
tão: as emoções são inseparáveis de uma necessidade. [...]
Em seus trabalhos, Leontiev afirma que as ações são
conectadas às necessidades e motivos. Discordo desta tese. Ações, como formações integrais, podem ser conectadas
somente com necessidades baseadas em desejos – e as ações
ajudam na realização de certas tarefas a partir dos motivos. [...] É esta a estrutura da atividade que tentei apresentar-
lhes. [...] Os elementos são os seguintes: desejos, necessi-
dades, emoções, tarefas, ações, motivos para as ações, meios
usados para as ações, planos (perceptual, mnemônico, pen-
samento, criativo) – todos se referindo à cognição e, tam-
bém, à vontade. (p. 41) As operações consistem no modo de execução
de uma ação, são os conteúdos necessário de qual-
quer ação, determinada pela natureza da tarefa. Se-
gundo Leontiev, uma mesma ação pode ser efetuada
por diferentes operações, mas uma mesma operação
também pode realizar diferentes ações, porque uma
operação depende das condições em que o alvo da
ação é dado, enquanto uma ação é determinada pelo
alvo (idem, p. 74). Ele exemplifica essa relação entre
ação, tarefa e condições numa situação em que o ob-
jetivo é decorar versos. A ação é a memorização dos
versos, e para isso posso agir de duas maneiras. Se a A importância deste ponto de vista é óbvia, pois
põe em relevo as relações entre a afetividade e a cog-
nição. A investigação de González Rey (2000) sobre 13 José Carlos Libâneo a integração do cognitivo e do afetivo na personali-
dade humana na obra de Vygotsky permite ver apro-
ximações das idéias de Davydov com as de Vygotsky. O ensino e o desenvolvimento do pensamento:
o ensino desenvolvimental A atividade cogni-
tiva é inseparável do meio cultural, tendo lugar
em um sistema interpessoal de forma que, atra-
vés das interações com esse meio, os alunos
aprendem os instrumentos cognitivos e comu-
nicativos de sua cultura. Isto caracteriza o pro-
cesso de internalização das funções mentais. b) Deve-se levar em consideração as origens so-
ciais do processo de desenvolvimento, ou seja,
o desenvolvimento individual depende do de-
senvolvimento do coletivo. A atividade cogni-
tiva é inseparável do meio cultural, tendo lugar
em um sistema interpessoal de forma que, atra-
vés das interações com esse meio, os alunos
aprendem os instrumentos cognitivos e comu-
nicativos de sua cultura. Isto caracteriza o pro-
cesso de internalização das funções mentais. Embora o pensamento das crianças tenha alguns tra-
ços em comum com o pensamento dos cientistas, artistas,
filósofos da moral e teóricos do direito, os dois não são
idênticos. As crianças em idade escolar não criam concei-
tos, imagens, valores e normas de moralidade social, mas
apropriam-se deles no processo da atividade de aprendiza-
gem. Mas, ao realizar esta atividade, as crianças executam
ações mentais semelhantes às ações pelas quais estes pro-
dutos da cultura espiritual foram historicamente construí-
dos. Em sua atividade de aprendizagem, as crianças repro-
duzem o processo real pelo qual os indivíduos vêm criando
conceitos, imagens, valores e normas. Portanto, o ensino de
todas as matérias na escola deve ser estruturado de modo
que, como escreveu Ilenkov, “seja reproduzido, de forma
condensada e abreviada, o processo histórico real da gênese
e desenvolvimento... do conhecimento”. (idem, p. 21-22) c) A educação é componente da atividade huma-
na orientada para o desenvolvimento do pen-
samento através da atividade de aprendizagem
dos alunos (formação de conceitos teóricos, ge-
neralização, análise, síntese, raciocínio teórico,
pensamento lógico), desde a escola elementar. c) A educação é componente da atividade huma-
na orientada para o desenvolvimento do pen-
samento através da atividade de aprendizagem
dos alunos (formação de conceitos teóricos, ge-
neralização, análise, síntese, raciocínio teórico,
pensamento lógico), desde a escola elementar. d) A referência básica do processo de ensino são
os objetos científicos (os conteúdos), que pre-
cisam ser apropriados pelos alunos mediante a
descoberta de um princípio interno do objeto
e, daí, reconstruído sob forma de conceito teó-
rico na atividade conjunta entre professor e alu-
nos. O ensino e o desenvolvimento do pensamento:
o ensino desenvolvimental A coisa mais importante é que as emoções capacitam a
pessoa a decidir, desde o início, se, de fato, existem meios
físicos, espirituais e morais necessários para que ela consi-
ga atingir seu objetivo. (Davydov, 1999, p. 7) Os conhecimentos de um indivíduo e suas ações men-
tais (abstração, generalização etc.) formam uma unidade. Segundo Rubinstein, “os conhecimentos [...] não surgem
dissociados da atividade cognitiva do sujeito e não existem
sem referência a ele”. Portanto, é legítimo considerar o co-
nhecimento, de um lado, como o resultado das ações men-
tais que implicitamente abrangem o conhecimento e, de
outro, como um processo pelo qual podemos obter esse re-
sultado no qual se expressa o funcionamento das ações
mentais. Conseqüentemente, é totalmente aceitável usar o
termo “conhecimento” para designar tanto o resultado do
pensamento (o reflexo da realidade), quanto o processo pelo
qual se obtém esse resultado (ou seja, as ações mentais). “Todo conceito científico é, simultaneamente, uma cons-
trução do pensamento e um reflexo do ser”. Deste ponto de A relevância das pesquisas de Davydov está pre-
cisamente em que, com base na atividade fundamen-
tal que é o trabalho, surgem no processo ontogenético
outras atividades, entre elas a atividade de aprendiza-
gem. Para ele, a questão central da aprendizagem es-
colar é o desenvolvimento mental dos alunos por meio Set /Out /Nov /Dez 2004 No 27 14 14 A didática e a aprendizagem do pensar e do aprender A didática e a aprendizagem do pensar e do aprender vista, um conceito é, ao mesmo tempo, um reflexo do ser e
um procedimento da operação mental. (1988b, p. 21) a) A educação e o ensino são fatores determinan-
tes do desenvolvimento mental, inclusive por
poder ir adiante do desenvolvimento real da
criança. Nesse sentido, de um lado, a aprendizagem es-
colar é estruturada conforme o método de exposição
do conhecimento científico, mas, por outro, o pensa-
mento que um aluno desenvolve na atividade de apren-
dizagem tem algo em comum com o pensamento de
cientistas que expõem o resultado de suas pesquisas,
quando se utilizam abstrações, generalizações e con-
ceitos teóricos.9 Escreve Davydov: b) Deve-se levar em consideração as origens so-
ciais do processo de desenvolvimento, ou seja,
o desenvolvimento individual depende do de-
senvolvimento do coletivo. Ainda citando Rubinstein, escreve Davydov: Qualquer tentativa do educador-professor “de intro-
duzir a cognição e as normas morais, ignorando a atividade
própria da criança no domínio desse conhecimento e de
normas morais, prejudica [...] as próprias bases do seu sa-
dio desenvolvimento mental e moral, o alimento de suas
características e qualidades pessoais”. (idem, ibidem) É fato conhecido que o ensino e a educação atingem
os objetivos mencionados por meio da direção competente
da atividade própria da criança. Quando essa atividade é
interpretada abstratamente e, mais ainda, quando o proces-
so do desenvolvimento está desvinculado da educação e do
ensino, inevitavelmente surgirá algum tipo de pedocentris-
mo ou de contraposição entre as necessidades da “nature-
za” da criança e os requisitos da educação (como tem ocor-
rido, em numerosas ocasiões, na história do pensamento e
da prática pedagógicos). Entretanto, a situação se altera
substancialmente se a atividade “própria” da criança, de
um lado, é compreendida como algo que surge e se forma
no processo da educação e do ensino e, de outro, se é vista
no contexto da história da própria infância da criança, de-
terminada pelas tarefas socioeconômicas da sociedade e
pelos objetivos e possibilidades da educação e do ensino
que a elas correspondem. (1988a, p. 54-55) O ensino e o desenvolvimento do pensamento:
o ensino desenvolvimental A interação sujeito–objeto implica o uso
de mediações simbólicas (sistemas, esquemas,
mapas, modelos, isto é, signos, em sentido
amplo) encontradas na cultura e na ciência. A
reconstrução e reestruturação do objeto de es-
tudo constituem o processo de internalização,
a partir do qual se reestrutura o próprio modo
de pensar dos alunos, assegurando, com isso,
seu desenvolvimento. As idéias de Davydov sobre o ensino desenvol-
vimental, lastreadas no pensamento de Vygotsky, po-
dem ser sintetizadas nos seguintes pontos: 9 “Dessa forma, ainda que a atividade de aprendizagem dos
escolares se desenvolva em correspondência com o procedimento
pelo qual os produtos da cultura espiritual já obtidos são expostos,
nesta atividade se conservam, de forma peculiar, as situações e as
ações que foram inerentes ao processo de criação real de tais pro-
dutos e, por causa disso, o procedimento pelo qual foram obtidos
se reproduz de forma abreviada na consciência individual dos es-
colares” (Davydov, 1988b, p. 23). O texto de Davydov concretiza a proposição de
Vygotsky, ao afirmar que a função de uma proposta
pedagógica é melhorar o conteúdo e os métodos de
ensino e de formação, de modo a exercer uma influên-
cia positiva sobre o desenvolvimento de suas habilida-
des (por exemplo, seus pensamentos, desejos etc.)
(idem, p. 32). Esse posicionamento leva a afastar idéias Revista Brasileira de Educação Revista Brasileira de Educação 15 José Carlos Libâneo medida em que dirige a atividade da criança, ao invés de
substituí-la por uma outra coisa. (idem, p. 55) pedagógicas correntes em vários países, ora de super-
por o desenvolvimento social e emocional ao cogniti-
vo, de sobrepor a atividade prática ao desenvolvimen-
to do pensamento teórico, ou de promover práticas
espontaneístas na educação escolar. Para ele, há uma
especificidade sócio-histórica dos processos em que
as crianças reproduzem as habilidades humanas, de
modo a contrapor ao desenvolvimento espontâneo das
crianças o papel determinante da educação e do ensino
orientado por objetivos (idem, p. 38). Escreve Davydov: O desenvolvimento do pensamento teórico As pesquisas de Davydov tiveram origem na aná-
lise crítica da organização do ensino assentada na
concepção tradicional de aprendizagem, que leva à
formação do pensamento empírico, descritivo e
classificatório. Segundo ele, conhecimento que se
adquire por métodos transmissivos e de memoriza-
ção não se converte em ferramenta para lidar com a
diversidade de fenômenos e situações que ocorrem
na vida prática. Um ensino mais vivo e eficaz para a
formação da personalidade deve basear-se no desen-
volvimento do pensamento teórico. Trata-se de um
processo pelo qual se revela a essência e o desenvol-
vimento dos objetos de conhecimento e, com isso, a
aquisição de métodos e estratégias cognitivas gerais
de cada ciência, em função de analisar e resolver pro-
blemas e situações concretas da vida prática. O pen-
samento teórico se forma pelo domínio dos procedi-
mentos lógicos do pensamento, que, pelo seu caráter
generalizador, permite sua aplicação em vários âmbi-
tos da aprendizagem. Todavia, não se pode extrair daí que a crítica ao
espontaneísmo resulte numa imposição de conteúdos. Trata-se de compreender a articulação entre apropria-
ção ativa do patrimônio cultural e o desenvolvimento
mental humano. Como se observa, essa proposta parte da idéia-
chave de Vygotsky relacionada com o papel do ensi-
no no desenvolvimento das potencialidades intelec-
tuais do ser humano. Davydov não faz pouco caso da
escola tradicional, ao contrário, reconhece seus méri-
tos em propiciar aos alunos um certo sistema de co-
nhecimentos e modos de ação na prática cotidiana. Todavia, entende que ela é insuficiente para assimilar
o espírito da ciência contemporânea e os princípios Dadas estas premissas teóricas, o fato de considerar a
natureza e os aspectos específicos da atividade infantil não
implica a contraposição entre o desenvolvimento e a educa-
ção, mas a introdução, no processo pedagógico, da condi-
ção mais importante para a concretização das suas finalida-
des. Neste caso, segundo as palavras de Rubinstein, o pro-
cesso pedagógico, como a atividade do professor-educador,
forma a personalidade da criança em desenvolvimento na Set /Out /Nov /Dez 2004 No 27 Set /Out /Nov /Dez 2004 No 27 16 A didática e a aprendizagem do pensar e do aprender Conforme Davydov, portanto, um ensino basea-
do na generalização teórica11 significa: analisar de
maneira autônoma os dados da tarefa; separar neles
as conexões essenciais; considerar cada tarefa como
uma variante particular daquela que havia sido resol-
vida inicialmente por meios teóricos (1987, p. O desenvolvimento do pensamento teórico A estratégia educacional básica para
dar aos alunos a possibilidade para reproduzir pensamento teórico
é a de criar tarefas instrucionais cujas soluções requeiram a for-
mação de abstrações substantivas e generalizações sobre as idéias
centrais do assunto. Esta aproximação é fundamentada na idéia de
Vygotsky da internalização, isto é, alguém aprende o conteúdo da
matéria aprendendo os procedimentos pelos quais se trabalham os
temas específicos da matéria” (Chaiklin, 2003b). Ao iniciar o domínio de qualquer matéria curricular,
os alunos, com a ajuda dos professores, analisam o conteú-
do do material curricular e identificam nele a relação geral
principal e, ao mesmo tempo, descobrem que esta relação
se manifesta em muitas outras relações particulares encon-
tradas nesse determinado material. Ao registrar, por meio
de alguma forma referencial, a relação geral principal iden-
tificada, os alunos constroem, com isso, uma abstração subs-
tantiva do assunto estudado. Continuando a análise do ma-
terial curricular, eles detectam a vinculação regular dessa
relação principal com suas diversas manifestações obtendo,
assim, uma generalização substantiva do assunto estudado. Dessa forma, as crianças utilizam consistentemente a
abstração e a generalização substantivas para deduzir (uma
vez mais com o auxílio do professor) outras abstrações mais
particulares e para uni-las no objeto integral (concreto) es-
tudado. Quando os alunos começam a usar a abstração e a
generalização iniciais como meios para deduzir e unir ou-
tras abstrações, eles convertem as estruturas mentais ini-
ciais em um conceito, que representa o “núcleo” do assunto
estudado. Este “núcleo” serve, posteriormente, às crianças
como um princípio geral pelo qual elas podem se orientar
em toda a diversidade do material curricular factual que
têm que assimilar, em uma forma conceitual, por meio da
ascensão do abstrato ao concreto. (1988c, p. 22)10 11 A Teoria da Generalização tem sido objeto de investiga-
ção na psicologia russa desde os anos de 1970. Conforme Lerner e
Skatkin: “A formação de conceitos não se reduz à generalização
de aspectos idênticos em muitas disciplinas, como se tem feito até
hoje na didática. Este tipo de generalização realmente existe no
nível do conhecimento empírico, mas ela não permite aprofundar,
penetrar na essência da matéria, nos vínculos e relações internas
de seus elementos, compreender a matéria em sua origem e desen-
volvimento. O desenvolvimento do pensamento teórico 154;
1988b, p. 30, 49). Sobre a base das generalizações
teóricas formula alguns princípios do ensino escolar
(1987, p. 153): de uma relação criativa, ativa, e de profundo conteú-
do com a realidade (Davydov, 1987), propondo a su-
peração de um tipo de pensamento empírico pelo pen-
samento teórico. Para Davydov, o pensamento teórico se caracte-
riza como o método da ascensão do abstrato para o
concreto. Não se trata de pensar apenas abstratamen-
te com um conjunto de proposições fixas, mas de uma
instrumentalidade mediante a qual se desenvolve uma
relação principal geral que caracteriza o assunto e se
descobre como essa relação aparece em muitos pro-
blemas específicos. Isto é, de uma relação geral sub-
jacente ao assunto ou problema se deduzem mais re-
lações particulares, tal como ele próprio explicita: ção substantiva) e a aplicação para analisar problemas particula-
res (generalização substantiva) produz um número de abstrações
que se integram ou sintetizam em um conceito ou ‘núcleo’ do
assunto. É importante entender que conceito aqui significa um
conjunto de procedimentos para deduzir relações particulares da
relação abstrata. [...] O propósito da atividade de aprendizagem é
ajudar os alunos a dominarem as relações, abstrações, generaliza-
ções e sínteses que caracterizam os temas de uma matéria. Este
domínio é refletido na sua habilidade para fazer reflexão substan-
tiva, análise e planejamento. A estratégia educacional básica para
dar aos alunos a possibilidade para reproduzir pensamento teórico
é a de criar tarefas instrucionais cujas soluções requeiram a for-
mação de abstrações substantivas e generalizações sobre as idéias
centrais do assunto. Esta aproximação é fundamentada na idéia de
Vygotsky da internalização, isto é, alguém aprende o conteúdo da
matéria aprendendo os procedimentos pelos quais se trabalham os
temas específicos da matéria” (Chaiklin, 2003b). ção substantiva) e a aplicação para analisar problemas particula-
res (generalização substantiva) produz um número de abstrações
que se integram ou sintetizam em um conceito ou ‘núcleo’ do
assunto. É importante entender que conceito aqui significa um
conjunto de procedimentos para deduzir relações particulares da
relação abstrata. [...] O propósito da atividade de aprendizagem é
ajudar os alunos a dominarem as relações, abstrações, generaliza-
ções e sínteses que caracterizam os temas de uma matéria. Este
domínio é refletido na sua habilidade para fazer reflexão substan-
tiva, análise e planejamento. Revista Brasileira de Educação O desenvolvimento do pensamento teórico [...] A generalização não se produz encontrando as-
pectos semelhantes ou comuns a um grupo de objetos, mas reve-
lando seu fundamento genético geral sob o prisma de seu desen-
volvimento. [...] O processo de generalização se manifesta como
busca do particular que surgiu da ‘célula’ inicial, como dedução
do fundamento genético geral de todas as disciplinas particulares
que compõem o sistema” (1984, p. 80). 10 Chaiklin interpreta esta proposição da seguinte forma:
“Este processo de identificar uma relação geral principal (abstra- 17 17 Revista Brasileira de Educação José Carlos Libâneo tações desse material; b) a dedução, em que as crian-
ças deduzem determinadas relações no conteúdo es-
tudado, formando um sistema unificado dessas rela-
ções, isto é, o “núcleo” conceitual; c) o domínio do
modo geral pelo qual o objeto de estudo é construído,
mediante o processo de análise e síntese.12 Junto com
isso, o método genético refere-se às condições de ori-
gem dos conceitos científicos, isto é, aos modos de
atividade anteriores aplicados à investigação dos con-
ceitos a serem adquiridos. Para isso, segundo
Davydov, é necessário que “os alunos reproduzam o
processo atual pelo qual as pessoas criaram concei-
tos, imagens, valores, normas” (1988b, p. 21-22). a) A assimilação dos conhecimentos de caráter
geral e abstrato precede a familiarização com
os conhecimentos mais particulares e concre-
tos; é a partir daqueles que se deduzem estes,
correspondendo às exigências da ascensão do
abstrato ao concreto. b) Os conceitos de uma disciplina escolar devem
ser assimilados por meio do exame das condi-
ções que os originaram e os tornaram essen-
ciais, ou seja, os conceitos não se dão como
“conhecimentos já prontos”, devendo ser de-
duzidos a partir do geral e do abstrato. c) No estudo da origem dos conceitos os alunos
devem, antes de tudo, descobrir a conexão ge-
neticamente inicial, geral, que determina o con-
teúdo e a estrutura do campo de conceitos da-
dos. Estas duas estratégias de ensino e aprendizagem
representam, talvez, o núcleo mais rico da aborda-
gem teórica de Davydov. Elas buscam superar a co- d) É necessário reproduzir esta conexão em mo-
delos objetivados, gráficos e simbólicos (lite-
rais) que permitam estudar suas propriedades
em “forma pura” (por exemplo, a estrutura in-
terna das palavras pode ser representada com
a ajuda de esquemas gráficos especiais). O desenvolvimento do pensamento teórico 1 2 Lerner e Skatkin (1984) descrevem como são estrutura-
dos os conteúdos das matérias com base na Teoria da Generaliza-
ção: “Todos os conceitos que fazem parte de uma matéria determi-
nada ou de suas subunidades fundamentais são estudados pelos
estudantes por meio da assimilação e domínio das condições mate-
riais que lhe dão origem. Ao estudar as fontes materiais dos con-
ceitos, os alunos descobrem, antes de tudo, o vínculo ou nexo ge-
ral de origem genética que determina a estrutura e o conteúdo de
todo objeto dos conceitos estudados. Por exemplo, a base geral
dos conceitos de matemática são as relações gerais de magnitude;
dos conceitos de gramática, a relação entre a forma e o significado
da palavra. Este vínculo se reflete ou reproduz em objetos particu-
lares ou modelos, que permitem estudar suas propriedades em for-
ma pura. Por exemplo, as relações gerais das magnitudes se repre-
sentam ao modo de fórmulas e de estrutura interna da palavra, com
o auxílio de esquemas gráficos especiais. Utilizando estas fórmu-
las e esquemas, os alunos, mediante operações que já dominam,
descobrem no novo material este vínculo ou nexo geral. Dessa
forma, a assimilação de conhecimentos de caráter geral e abstrato,
ou vínculo geral genético, precede a familiarização com conheci-
mentos mais particulares e concretos. Estes últimos derivam dos
primeiros, que constituem seu único fundamento. A estruturação
das disciplinas escolares da forma como foi explicada contribui para
formar nos escolares um pensamento científico-teórico” (p. 81). e) Há que se formar nos alunos ações objetivadas
que lhes permitam revelar no material de estu-
do e reproduzir nos modelos as conexões pri-
márias e universais do objeto de estudo, de
modo que se garantam as transições mentais
do universal para o particular e vice-versa. f) Os escolares devem passar paulatinamente e
no seu devido tempo da realização de ações no
plano mental para a realização de ações no pla-
no externo (objetivadas) e vice-versa. O que se constata nestes princípios é, obviamen-
te, uma clara alusão ao movimento que vai do geral
para o particular, encetado pelo pensamento, confor-
me a lógica dialética, e uma similaridade com o mé-
todo genético. Com efeito, para Davydov (1988b, p. O desenvolvimento do pensamento teórico 24),
os componentes de uma tarefa de aprendizagem apre-
sentada pelo professor são: a) a análise do material
factual para descobrir nele alguma relação geral que
tenha uma conexão regular com as diversas manifes- Set /Out /Nov /Dez 2004 No 27 18 A didática e a aprendizagem do pensar e do aprender nhecida dicotomia entre a ênfase nos conteúdos es-
colares e o desenvolvimento dos processos mentais,
ou seja, entre a formação dos conceitos científicos e
o desenvolvimento das capacidades do pensar. Nesse
sentido, desenvolver nos jovens o pensamento teóri-
co é o processo pelo qual se revela a essência e de-
senvolvimento dos objetos de conhecimento, e com
isso a aquisição de métodos e estratégias cognoscitivas
gerais de cada ciência, em função de analisar e resol-
ver problemas cotidianos e profissionais. ma nas formas de desenvolvimento espiritual e como
a apropriação destas formas pelo indivíduo se trans-
forma no conteúdo do desenvolvimento de sua cons-
ciência” (idem, p. 61). Davydov recrimina no ensino tradicional a trans-
missão direta aos alunos dos produtos finais da in-
vestigação, sem que possam aprender a investigar por
si mesmas. Todavia, a questão não está em descartar
os conteúdos, mas em estudar os produtos culturais e
científicos da humanidade, seguindo o percurso dos
processos de investigação, ou seja, reproduzindo o
caminho investigativo percorrido para se chegar a
esses produtos. O procedimento prático de se realizar
essas estratégias são as ações de aprendizagem. Por
meio de atividades de abstração e generalização e
exercícios escolares, representativos da disciplina,
pode-se ensinar às crianças o modo como aprender a
manejar seus processos cognitivos. A idéia é de que a apropriação dos conceitos (no
sentido de “instrumentalidade”) requer que o indiví-
duo reproduza, na sua própria atividade, as capacida-
des humanas desenvolvidas historicamente. Nessa ati-
vidade reprodutiva, “a criança implementa a atividade
que é semelhante (não idêntica) à atividade encarna-
da pelas pessoas nestas capacidades” (1988a, p. 56). Davydov, aqui, cita Leontiev, que escreve que o pro-
cesso pelo qual a criança se apropria da experiência
social “é um processo que tem como resultado a repro-
dução, pelo indivíduo, de atributos, capacidades e
modos de comportamento humanos formados histori-
camente”. A atividade de aprendizagem
e as ações de aprendizagem Estas idéias deixam transparecer no pensamento
de Davydov o caráter ativo da aprendizagem e, espe-
cialmente, a idéia de que a educação escolar constitui-
se numa forma específica de atividade do aluno. A
meta da atividade de aprendizagem, incluindo a par-
ceria adulto–criança e crianças–crianças, é a própria
aprendizagem, ou seja, o objetivo do ensino é ensinar
aos estudantes as habilidades de aprenderem por si
mesmos, ou seja, aprender a pensar. Segundo Davydov (1988b, p. 3, 19), a aprendiza-
gem é a atividade principal das crianças em idade es-
colar, cuja função é propiciar a assimilação das for-
mas de consciência social mais desenvolvida – a
ciência, a arte, a moralidade, a lei. As crianças incor-
poram tanto o conhecimento e as habilidades relacio-
nados com os fundamentos dessas formas de consciên-
cia social como também as capacidades construídas
historicamente para desenvolver a consciência e o pen-
samento teóricos. O conteúdo da aprendizagem, em
outras palavras, é o conhecimento teórico (usando o
termo para significar uma combinação unificada de
abstração substancial, generalização e conceitos teó-
ricos). Mas não se trata do “aprender fazendo”. Se for
enfatizado apenas o caráter concreto da experiência
da criança, pouco se conseguirá em termos de desen-
volvimento mental. Na expressão de Lipman (1997,
p. 73), comentando Davydov, as crianças ficam sub-
nutridas conceitualmente. Com efeito, segundo
Davydov (1988c, p. 21), “aos conhecimentos (con-
ceitos) empíricos correspondem ações empíricas (ou
formais) e aos conhecimentos (conceitos) teóricos,
ações teóricas (ou substanciais)”, ou seja, se o ensino
nutre a criança somente de conhecimentos empíricos,
ela só poderá realizar ações empíricas, sem influir
substancialmente no seu desenvolvimento intelectual. Ainda conforme Davydov, a base do ensino de-
senvolvimental é seu conteúdo, do qual derivam os
métodos (ou procedimentos) para organizar o ensino: Esta proposição exemplifica o ponto de vista de
Vygotskii e Elkonin. “Para nós, escreveu Elkonin, tem im-
portância fundamental sua idéia (de Vygotskii – VD) de
que o ensino realiza seu papel principal no desenvolvimen-
to mental, antes de tudo, por meio do conteúdo do conheci-
mento a ser assimilado”. Concretizando esta proposição,
deve-se observar que a natureza desenvolvimental da ativi-
dade de aprendizagem no período escolar está vinculada ao
fato de que o conteúdo da atividade acadêmica é o conheci-
mento teórico. (idem, p. 19) O desenvolvimento do pensamento teórico E conclui Davydov: É clara a vinculação desta idéia – apropriação
dos modos de pensar a que as disciplinas científicas
recorrem – com duas tendências fortes na pedagogia
contemporânea: o método de resolução de problemas
e o método do ensino com pesquisa. As ações men-
tais, segundo Davydov, implicam a resolução de tare-
fas cognitivas, “que devem ser baseadas em proble-
mas” (1988b, p. 29). Eis como Davydov se posiciona
quanto a isso: Esta reprodução das capacidades, da atividade, com os
instrumentos e conhecimentos, pressupõe que a “criança deve
realizar em relação a elas uma atividade prática ou cognitiva
que seja proporcional (commensurate) (ainda que não idên-
tica) à atividade humana incorporada nelas”. (idem, p. 23) [...] podemos entender que a implicação geral e o papel
geral da tarefa de aprendizagem no processo de assimila-
ção serão os mesmos (a princípio) que os da educação ba-
seada em problemas. [...] Observamos que, assim como a
aprendizagem, a educação baseada na resolução de proble-
mas está internamente associada ao nível teórico da assi-
milação do conhecimento e pensamento teórico. (ibidem) É importante assinalar, nessa frase, que trata-se
de atividade semelhante, proporcional, mas não idên-
tica à atividade social-histórica anterior. Ou seja,
“quando as crianças aprendem, executam ações men-
tais comensuráveis às ações pelas quais esses produ-
tos da cultura espiritual tiveram historicamente sua
origem” (idem, ibidem). Ainda insistindo na unidade
entre apropriação e desenvolvimento, entre o conhe-
cimento e o processo de aquisição do conhecimento. Tal como já assinalamos, “a tarefa fundamental da
ciência será a de determinar como o conteúdo do de-
senvolvimento espiritual da humanidade se transfor- A idéia do ensino com pesquisa é a de que o pro-
fessor faça pesquisa enquanto ensina, presente na
noção de ensino como “experimentação formativa”,
em que o professor intervém ativamente por meio de
tarefas nos processos mentais das crianças e produz
novas formações por meio dessa intervenção. Revista Brasileira de Educação 19 19 José Carlos Libâneo A atividade da aprendizagem e a comunicação Esse tópico discute a questão da influência de fa-
tores sociais e culturais, especialmente da comunica-
ção, no desenvolvimento mental. Daniels (2003, p. 9)
aponta duas formulações dessa questão no âmbito da
Teoria da Atividade: a da interiorização e a da parti-
cipação. Na orientação que prioriza o processo de in-
ternalização, a cultura é fonte do desenvolvimento
psíquico à medida que o sujeito realiza uma determi-
nada atividade dirigida à apropriação das capacida-
des sociais objetivadas em forma de instrumentos, lin-
guagem, obras de arte etc. Essa atividade somente
pode ser realizada em comunicação permanente com
outras pessoas. Escreve Leontiev: Para que isto ocorra, faz-se necessária uma es-
trutura da atividade do aprender incluindo uma tarefa
de aprendizagem, as ações de aprendizagem e ações
de acompanhamento e avaliação, visando à compreen-
são do objeto de estudo em suas relações. O resultado
disso é que os alunos aprendem como pensar teorica-
mente a respeito de um objeto de estudo e, com isso,
formar um conceito teórico apropriado desse objeto
para lidar praticamente com ele em situações concre-
tas da vida. A comunicação em sua forma externa inicial, como
aspecto da atividade conjunta das pessoas, quer dizer, em
forma de “comunicação imediata” ou em forma interna, Set /Out /Nov /Dez 2004 No 27 20 A didática e a aprendizagem do pensar e do aprender interiorizada, conforma [...] as condições indispensáveis e
específicas do processo de apropriação, pelos indivíduos,
dos êxitos do desenvolvimento histórico da humanidade. (apud Davydov, 2002, p. 57) O primeiro componente do núcleo da atividade é a
transformação da realidade pelo sujeito coletivo, no curso
da atividade coletiva deste indivíduo. [...] Toda atividade
coletiva é sempre observada em vários tipos e formas de
comunicação material e espiritual. [...] Mas, no processo
de comunicação, seja material ou espiritual, surge um prin-
cípio básico do qual todos estamos conscientes [...] que é o
desempenho coletivo de uma certa atividade pelos indiví-
duos. [...] O apelo a outras pessoas ocorre na estrutura da
atividade coletiva, a atividade que é provida de problemas
dos indivíduos ou da equipe. A propósito, o apelo aos ou-
tros é a base da qual surgem padrões num coletivo; e os
padrões são protótipos culturais. A atividade da aprendizagem e a comunicação [...] Assim, no núcleo da
atividade [...] temos os seguintes pontos: primeiro, a unida-
de da atividade consciente inclui a natureza coletiva da rea-
lização de uma atividade pelo indivíduo coletivo ou uma
equipe; em outras palavras, o que chamamos de comunica-
ção prática (metódica), no sentido literal da palavra, não no
metafórico. O segundo ponto é o apelo das pessoas umas
pelas outras, refletindo sobre suas próprias ações e signifi-
cados e sobre ações e significados de outras pessoas. O ter-
ceiro aspecto do núcleo da atividade está incluído no plano
ideal e na imaginação. O quarto, é a atividade consciente
individual de uma pessoa individual. (p. 10-11) Todavia, a comunicação da criança com outras
pessoas não está mediatizada pela palavra, mas pelo
objeto. A relação da criança com o objeto está mediatizada
inicialmente pelas ações objetais diretas do adulto. [...] As
ações da criança estão dirigidas não só ao objeto, mas ao
adulto que se encontra presente; por isso a incita à comuni-
cação. Unicamente sobre a base das ações objetais conjun-
tas com o adulto, a criança vai dominando a linguagem, a
comunicação verbal. [...] o exame do processo de transfor-
mação da atividade externa conjunta da criança em ativida-
de individual, regulada agora pelas estruturas internas (em
outras palavras, o estudo da interiorização da atividade con-
junta e das funções psíquicas a ela ligadas), tem uma im-
portância capital para compreender o desenvolvimento psí-
quico da criança. [...] Mas a criança não pode elaborar e
realizar de forma autônoma esta atividade; ela sempre deve
ser reestruturada (na criança) pelas pessoas que se encon-
tram em interação e comunicação com ela. [...] Mais à fren-
te, o avanço autônomo e criador do pensamento somente
será possível sobre a base da experiência histórica já
interiorizada. (idem, p. 58) Essa citação permite visualizar o caráter coleti-
vo da atividade em geral e, também, da atividade de
aprendizagem. Embora nela não apareça a valoriza-
ção dos aspectos interacionais no ensino, tal como
desejariam autores que acentuam na aprendizagem
mediada as práticas de participação, fica clara a posi-
ção do autor sobre o caráter social e coletivo das apren-
dizagens, incluindo a atividade conjunta dos alunos. Na posição de Davydov, é notória a ênfase ao
conhecimento teórico formalmente organizado como
base da atividade de aprendizagem, pelo que privile-
gia mais o “social” e menos o “interativo”. A atividade da aprendizagem e a comunicação Por se
basear na natureza teórica da aprendizagem formal, a
cultura aparece como algo a ser reproduzido, para o
que se torna imprescindível a comunicação entre as
pessoas, no sentido de comunicação da experiência
social. Ou seja, a interiorização consiste no processo
de transformação da atividade coletiva em uma ativi-
dade individual. Todavia, em artigo recente, Davydov
(1999) destaca o que, para ele, é o núcleo da ativida-
de, ressaltando a comunicação com o outro: Conclusão O objetivo deste trabalho foi apresentar contri-
buições da Teoria Histórico-cultural da Atividade para
a didática, especialmente para a aprendizagem do
pensar e do aprender, com base na obra de V. Davydov. Apresentou-se um esboço do desenvolvimento teóri-
co da Teoria da Atividade desde sua formulação no Revista Brasileira de Educação 21 José Carlos Libâneo qualquer outra. Isto significa que a escola deve ensinar os
alunos a pensar, quer dizer, desenvolver ativamente neles
os fundamentos do pensamento contemporâneo para o qual
é necessário organizar um ensino que impulsione o desen-
volvimento. Chamemos esse ensino de “desenvolvimental”. (1988d, p. 3) período inicial da psicologia histórico-cultural, bem
como as bases teóricas do ensino desenvolvimental
formuladas por Davydov, que propiciam o conheci-
mento teórico da Teoria do Conhecimento e da psico-
logia marxistas em função de uma teoria de ensino
adequada às exigências do mundo contemporâneo. A Teoria da Atividade de aprendizagem tem co-
mo premissa uma afirmação bem pontual de Davydov
(1988a, p. 9): “é possível, por meio do ensino e da
educação, formar numa pessoa certas capacidades
ou qualidades mentais”. Uma análise concreta do mun-
do atual põe-nos ante problemas reais, como as mu-
danças nos processos de produção e nas demandas
de qualificação profissional, o desenvolvimento da mi-
croeletrônica, a complexificação dos meios de co-
municação e informação, o poder desmedido das
mídias na formação das subjetividades, a intelectuali-
zação do processo produtivo etc., ainda que reco-
nheçamos a manutenção das características mais mar-
cantes do capitalismo. Há, efetivamente, mudanças
no mundo do trabalho que afetam substantivamente
a vida dos trabalhadores de todos os níveis, e uma
proposta democrática de escola não pode excluí-los
de uma formação compatível com essas mudanças. Considerando-se que a educação escolar vincula-se
estreitamente ao desenvolvimento cognitivo – enten-
dendo que todos os seres humanos precisam inter-
nalizar conhecimentos e desenvolver suas capacida-
des cognitivas como condição de sua existência social
– é desejável esperar dela ações em resposta às de-
mandas postas por essas novas realidades. A didática e a aprendizagem do pensar e do aprender professora? Novas exigências educacionais e profissão docente
(São Paulo: Cortez, 1998; 7a edição, 2003); Pedagogia e pedago-
gos, para quê? (São Paulo: Cortez, 1998; 6a edição, 2003); Orga-
nização e gestão da escola (Goiânia, Alternativa, 2001; 5ª edi-
ção, 2004); em co-autoria com Mirza Toschi Seabra e João Ferreira
de Oliveira, Educação escolar : políticas, estrutura e organização
(São Paulo: Cortez, 2003). Atualmente desenvolve o projeto de
pesquisa: As contribuições da psicologia histórico-cultural, da Teoria
da Atividade e da pesquisa cultural para o desenvolvimento teórico
da didática e das didáticas específicas. E-mail: libaneojc@uol.com.br psychology; cap. 2 – Problems of children’s mental
development. Soviet Education, New York, aug. psychology; cap. 2 – Problems of children’s mental
development. Soviet Education, New York, aug. , (1988b). Problems of developmental teaching, The
experience of theoretical and experimental psychological
research. Parte II, cap. 5 – Learning activity in the younger
school age period; cap. 6 – The mental development of younger
school children in the process of learning activity. Soviet
Education, New York, sep. , (1988c). Problems of developmental teaching. The
experience of theoretical and experimental psychological
research. Parte III, cap. 6 – The mental development of
younger school children in the process of learning activity
(continuação). Conclusion – appendix. Soviet Education,
New York, oct. , (1988c). Problems of developmental teaching. The
experience of theoretical and experimental psychological
research. Parte III, cap. 6 – The mental development of
younger school children in the process of learning activity
(continuação). Conclusion – appendix. Soviet Education,
New York, oct. Conclusão A Teoria da Atividade presta-se a muitas finali-
dades, mas especialmente pode auxiliar nas formas
de desenvolvimento do pensamento teórico (valendo
para os alunos, mas também para os professores); na
compreensão da estrutura da atividade docente; na ex-
plicitação dos procedimentos e definição de ações e
tarefas de aprendizagem para aumentar a eficácia das
aprendizagens; na proposição de métodos e procedi-
mentos de estudo e análise das práticas, em especial
os contextos socioculturais da atividade, para promo-
ver a transformação de espaços institucionais. Nesse
sentido, para além das idéias aqui sistematizadas, há
que se buscar outros elementos teóricos associados à
Teoria da Atividade, para melhor compreensão, por
exemplo, das ações subjetivas e seu sentido, das for-
mas de participação guiada nas ações e tarefas de
aprendizagem, da pesquisa cultural, das influências so-
cioculturais do contexto na ação orientada para o ob-
jeto, dos critérios de análise das práticas em contex-
tos institucionais e sua transformação em direção a
objetivos emancipatórios. São apostas muito promis-
soras para uma visão mais contemporânea e mais plu-
rifacetada do conteúdo da didática, e para o enrique-
cimento das propostas de currículos e metodologias
de formação de professores, uma vez que os objeti-
vos de aprendizagem que esperamos dos alunos de-
vem ser, antes, objetivos da formação de professores. Entender, pois, o papel da educação escolar no
mundo contemporâneo implica saber que a aquisição
de conhecimentos e o desenvolvimento de capacida-
des mentais dos alunos incluem o conhecimento teó-
rico, juntamente com o desenvolvimento de compe-
tências cognitivas complexas. Na introdução à edição
espanhola de seu último livro, escreveu Davydov: JOSÉ CARLOS LIBÂNEO, doutor em história e filosofia
da educação pela Pontifícia Universidade Católica de São Paulo,
é professor aposentado da Universidade Federal de Goiás e pro-
fessor no Programa de Pós-Graduação em Educação na Universi-
dade Católica de Goiás. Além de numerosos artigos, publicou:
Democratização da escola pública: a pedagogia crítico-social dos
conteúdos (São Paulo: Loyola, 1985; 19ª edição, 2003); Didática
(São Paulo, Cortez, 1990; 23ª edição, 2004); Adeus professor, adeus Os pedagogos começam a compreender que a tarefa
da escola contemporânea não consiste em dar às crianças
uma soma de fatos conhecidos, mas em ensiná-las a orien-
tar-se independentemente na informação científica e em 22 Set /Out /Nov /Dez 2004 No 27 22 A didática e a aprendizagem do pensar e do aprender Referências bibliográficas BELLONI, Maria L. (org.), (2002). A formação na sociedade do
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formação: uma experiência com a escola pública. Tese de livre- 24 Set /Out /Nov /Dez 2004 No 27 Resumos/Abstracts de organização dos professores em cada
unidade educativa em um processo de
autoformação partilhada, que possibilite
a reflexão sobre as suas práticas; e a cria-
ção de espaços de trocas e convivências
nos quais se possa exercitar a crítica, a
criatividade e o aprofundamento das rela-
ções entre prática/teoria/prática, favore-
cendo um exercício autônomo e sistemá-
tico dos seus fazeres, saberes, poderes. Palavras-chave: educação de jovens e
adultos; formação de professores;
entre-lugares suggests paths for lines of investigation
in didactics with relation to processes
of formation of concepts and
development of thinking. It then
presents a brief history of the
Historical-cultural Theory of Activity
and of fundamental concepts based on
Vygotsky and some of his followers. Finally, it presents Vasili Davydov’s
ideas on the relation between teaching
and mental development and the bases
of developmental teaching directed to
the formation of theoretical thinking. Key-words: didactics; Vasili Davydov;
Historical-cultural Theory of Activity José Carlos Libâneo
A didática e a aprendizagem do
pensar e do aprender: a Teoria
Histórico-cultural da Atividade e a
contribuição de Vasili Davydov
Apresenta algumas contribuições teóri-
cas da pesquisa sobre a psicologia
histórico-cultural e a Teoria Histórico-
cultural da Atividade para o pensamen-
to didático. Inicialmente, são sugeridos
caminhos para linhas de investigação
em didática em relação aos processos
de formação de conceitos e desenvolvi-
mento do pensamento. Em seguida, é
apresentado um breve histórico da Teo-
ria Histórico-cultural da Atividade e de
conceitos básicos a partir de Vygotsky e
alguns de seus seguidores. Finalmente,
são apresentadas idéias de Vasili
Davydov sobre as relações entre ensino
e desenvolvimento mental e as bases do
ensino desenvolvimental voltado para a
formação do pensamento teórico. P l
h
didá i
V ili Palavras-chave: educação de jovens e
adultos; formação de professores;
entre-lugares Searching for paths in processes of
formation and self-formation Sea c
g o pat s
p ocesses o
formation and self-formation
The objective of this article is to reflect
upon questions related to the formation
of teachers for adult and youth
education based on the experience of
the Collectives of Self-formation
organised by the Service of Support for
Research in Education (SAPE), taking
into consideration expressions of the
local culture, its singularities and the
different kinds of daily knowledge that
are produced in educational practices,
as well as the variety of individuals
involved, their life histories and the
relations between what we are and
what we do and including the possible
articulation based on differences and
what can be produced in the interstice
between different places. It suggests as
possible proposals for formation: ways
of organising teachers in each Cleide Figueiredo Leitão
Buscando caminhos nos processos de
formação/autoformação
A partir da experiência dos Coletivos de
Autoformação realizados pela
organozação Serviços de Apoio à Pes-
quisa em Educação (SAPÉ), o texto pro-
põe uma reflexão sobre questões relacio-
nadas à formação de professores de
jovens e adultos, considerando as expres-
sões das culturas locais, as singularida-
des, os saberes cotidianos que são produ-
zidos nas práticas educativas, a
diversidade dos sujeitos envolvidos, as
histórias de vida e as relações entre o que
se é e o que se faz, a articulação possível
a partir das diferenças e a produção que
pode ser feita no interstício entre diferen-
tes lugares. Sugere como indícios às pro-
postas de formação o incentivo a formas Palavras-chave: didática; Vasili
Davydov; Teoria Histórico-cultural da
Atividade The didactics and learning of
thinking and learning: the Historical-
cultural Theory of Activity and the
contribution of Vasili Davydov
The article presents some theoretical
contributions on research on
Historical-cultural psychology and
Historical-cultural Theory of Activity
for pedagogical thinking. Initially, it of organising teachers in each
educational unit in a shared process of Set /Out /Nov /Dez 2004 No 27 208
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Process mapping for road works planning and coordination
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VERSION VERSION VoR (Version of Record) PUBLISHER STATEMENT This work is made available according to the conditions of the Creative Commons Attribution 4.0 International
(CC BY 4.0) licence. Full details of this licence are available at: https://creativecommons.org/licenses/by/4.0/
LICENCE PUBLISHER Emerald Publishing Limited (© Rizwana Shaheen Hussain, Kirti Ruikar, Marcus P. Enoch, Nigel Brien and
David Gartside) Hussain, Rizwana S., Kirti Ruikar, Marcus Enoch, Nigel T. Brien, and David J. Gartside. 2019. “Process
Mapping for Road Works Planning and Coordination”. figshare. https://hdl.handle.net/2134/24327. http://dx.doi.org/10.1108/BEPAM-08-2016-0041 http://dx.doi.org/10.1108/BEPAM-08-2016-0041 PUBLISHER This item was submitted to Loughborough's Research Repository by the author. Items in Figshare are protected by copyright, with all rights reserved, unless otherwise indicated. REPOSITORY RECORD Hussain, Rizwana S., Kirti Ruikar, Marcus Enoch, Nigel T. Brien, and David J. Gartside. 2019. “Process
Mapping for Road Works Planning and Coordination”. figshare. https://hdl.handle.net/2134/24327. Built Environment Project and Asset Management
Process mapping for road works planning and coordination
Rizwana Shaheen Hussain, Kirti Ruikar, Marcus P. Enoch, Nigel Brien, David Gartside, Built Environment Project and Asset Management
Process mapping for road works planning and coordination
Rizwana Shaheen Hussain, Kirti Ruikar, Marcus P. Enoch, Nigel Brien, David Gartside, For Authors If you would like to write for this, or any other Emerald publication, then please use our Emerald
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For Authors Article information: To cite this document:
Rizwana Shaheen Hussain, Kirti Ruikar, Marcus P. Enoch, Nigel Brien, David Gartside, (2017)
"Process mapping for road works planning and coordination", Built Environment Project and Asset
Management, Vol. 7 Issue: 2, pp.157-172, doi: 10.1108/BEPAM-08-2016-0041
Permanent link to this document:
http://dx doi org/10 1108/BEPAM-08-2016-0041 o c te t s docu
e t
Rizwana Shaheen Hussain, Kirti Ruikar, Marcus P. Enoch, Nigel Brien, David Gartside, (2017)
"Process mapping for road works planning and coordination", Built Environment Project and Asset
Management, Vol. 7 Issue: 2, pp.157-172, doi: 10.1108/BEPAM-08-2016-0041
i
i Rizwana Shaheen Hussain, Kirti Ruikar, Marcus P. Enoch, Nigel Brien, David Gartside, (2017)
"Process mapping for road works planning and coordination", Built Environment Project and Asset
Management, Vol. 7 Issue: 2, pp.157-172, doi: 10.1108/BEPAM-08-2016-0041 Downloaded by Loughborough University At 06:55 09 May 2017 (PT) Downloaded by Loughborough University At 06:55 09 May 2017 (PT) Communities and Place, Derby City Council, Derby, UK ©Rizwana Shaheen Hussain, Kirti Ruikar, Marcus P. Enoch, Nigel Brien and David Gartside. Published by
Emerald Publishing Limited. This article is published under the Creative Commons Attribution
(CC BY 4.0) licence. Anyone may reproduce, distribute, translate and create derivative works of this article
(for both commercial and non-commercial purposes), subject to full attribution to the original publication and
authors. The full terms of this licence may be seen at http://creativecommons.org/licences/by/4.0/legalcode
This research was conducted at the Centre for Innovative and Collaborative Construction
Engineering, Loughborough University. Thank you to the ESPRC (Grant Number EP/G037272/1)
and Derby City Council for funding and support, and special thanks to HAUC UK, Sheffield City
Council, Kent County Council for their insightful contributions. Abstract Purpose – Diminishing local government budgets and the need to reduce highway works activities
necessitate cost effective and efficient processes. The purpose of this paper is to investigate streamlining road
works administrative processes to enhance coordinated working at Derby City Council. Design/methodology/approach – Case study research of a local authority was undertaken using
business process mapping. Specifically, Swimlane analysis enabled re-engineering of business processes
from design stage, to works permit issuance. Process improvement recommendations were validated by
nine industry experts through a focus group and semi-structured interviews. A logic map was developed
for transferability to other councils, identifying key attributes for a successful administrative road works
management process. Findings – Research revealed inherent silo working and processes built around fragmented IT systems
creating process inefficiency. Validation found numerous practices and management styles were culturally
embedded and common across councils. Peer reviewed recommendations are made to improve working
practices, including improving IT systems, removing process bottlenecks, and training staff. Research limitations/implications – Whilst road works management policy is generally under-researched,
its strategic and negative impacts are widely acknowledged. This study highlights the day-to-day operational
problems which are interconnected to the strategic impact, bridging an important gap in knowledge, as well as
adding to business process re-engineering literature. g
p
g
g
Originality/value – The research adds to a limited body of road works management policy research, and
also presents a high-level logic map for councils to adopt as appropriate. Keywords Case studies, Management, Construction management, Efficiency, Public sector,
B
i
l
i
T
t P
l
i Paper type Case study Process mapping for road works
planning and coordination
Rizwana Shaheen Hussain
School of Civil and Building Engineering, Loughborough University,
Loughborough, UK and
Communities and Place, Derby City Council, Derby, UK
Kirti Ruikar and Marcus P. Enoch
School of Civil and Building Engineering, Loughborough University,
Loughborough, UK, and
Nigel Brien and David Gartside
Communities and Place, Derby City Council, Derby, UK Road works
planning and
coordination 157 157 Received 31 August 2016
Revised 7 December 2016
10 February 2017
Accepted 1 March 2017 Nigel Brien and David Gartside About Emerald www.emeraldinsight.com Emerald is a global publisher linking research and practice to the benefit of society. The company
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www.emeraldinsight.com/2044-124X.htm Process mapping for road works
planning and coordination
Rizwana Shaheen Hussain
School of Civil and Building Engineering, Loughborough University,
Loughborough, UK and
Communities and Place, Derby City Council, Derby, UK
Kirti Ruikar and Marcus P. Enoch
School of Civil and Building Engineering, Loughborough University,
Loughborough, UK, and
Nigel Brien and David Gartside
Communities and Place, Derby City Council, Derby, UK 1. Introduction Process efficiency in highways management
Great
Britain’s
local
road
network
comprising
around
238,000
miles
is
statutorily managed by LAs; the strategic road network of around 7,600 miles of
mainly motorways and trunk roads is controlled by Highways England, Transport
Scotland and the Welsh Government, respectively (Department for Transport, 2016). However, communities living and working in LA areas necessitate basic utilities such as
energy, water and telecoms, leading to more highway cuts on local roads (Marvin and
Slater, 1997). Whilst a structured and efficient approach for managing highway works is
clearly required (Brady et al., 2001; Zhang, 2016), English LA highway works coordination
processes are reported to be weak, superficial, and lacking ownership and coordination
effort (Hussain et al., 2016). One way of reviewing works is through business process re-engineering (BPR), comprising
radical process re-design to make significant organisational service, quality and cost
improvements (Hammer and Champy, 2001). BPR distinguishes value adding and non-value
adding activities, which assist process streamlining. Despite manufacturing origins, BPR is
increasingly popular in office environments, and now government (Niehaves et al., 2013). However, unique public sector characteristics make removing non-value adding activities, and
adopting private sector BPR lessons difficult. Unique characteristics include their non-profit
driven nature, legal/formal constraints, accountability and honesty expectations, bureaucratic
hierarchal structures, political influence, and reduced decision-making autonomy amongst
personnel ( Janssen and Cresswell, 2005; Kamal et al., 2015; Thong et al., 2000). Nevertheless,
stakeholder expectations for efficient processes, and enhanced process and information
technologies (ITs) synchronicity, mean that government BPR remains advocated
(Gulledge and Sommer, 2002; Weerakkody et al., 2011; Weerakkody and Dhillon, 2008). Process efficiency in highways management has been sought previously. For example,
process improvements have made lengthy business processes faster and cheaper for
Pennsylvania Department of Transport, who automated parts of the highways defect
management process to hand-held mobile inspection devices leading to significant cost
158
BEPAM
7,2 inconvenience and aesthetic depreciation (Brady et al., 2001; Hussain et al., 2016; Lepert and
Brillet, 2009; Matthews et al., 2015; Transport Research Laboratory, 2009; Walker and Calvert,
2015). Moreover, UK utility construction cost around £1.5 billion annually, whilst wider societal
costs are estimated far higher – around £5.6 billion annually, of which £5.1 billion comprises
driver time alone (McMahon et al., 2005). More recent utility construction costs by the National
Joint Utility Group (NJUG) lie at around £2 billion (Bennett, 2014). 1. Introduction inconvenience and aesthetic depreciation (Brady et al., 2001; Hussain et al., 2016; Lepert and
Brillet, 2009; Matthews et al., 2015; Transport Research Laboratory, 2009; Walker and Calvert,
2015). Moreover, UK utility construction cost around £1.5 billion annually, whilst wider societal
costs are estimated far higher – around £5.6 billion annually, of which £5.1 billion comprises
driver time alone (McMahon et al., 2005). More recent utility construction costs by the National
Joint Utility Group (NJUG) lie at around £2 billion (Bennett, 2014). J
y
p ( J
)
(
,
)
Derby City Council (DCC) recognises the aforementioned undesirable symptoms and
adopted a Permit Scheme in 2013 to exercise greater control of planning and coordinating
highway activities. However, industry stakeholders regard that inefficient back office
business processes hold back efficient on-street operations (Hussain et al., 2016). Therefore,
the study rationale is to investigate whether process efficiencies can be gained through
reviewing business process activities. Although highway works incorporate both road
works (highway maintenance works) and street works (utility works), DCC seeks to
investigate internal business processes given the greater ability to influence
intra-organisational change, before encouraging utility stakeholders’ participation. A logic
map is also developed for wider adoption by other local authorities (LA). This research is
timely, because sustained Highway Authority (HA) budget cuts force additional powerful
incentives for efficient working. The remaining paper details the literature review, method,
findings, a road works planning logic map, discussion and a conclusion. 158 Downloaded by Loughborough University At 06:55 09 May 2017 (PT) 1. Introduction Public highway works (utility works and highway maintenance) management increasingly
requires enhancement to minimise its negative impacts on society including, congestion,
depleted structural life, compromised air quality, local business losses, general public Built Environment Project and
Asset Management
Vol. 7 No. 2, 2017
pp. 157-172
Emerald Publishing Limited
2044-124X
DOI 10.1108/BEPAM-08-2016-0041 Built Environment Project and
Asset Management
Vol. 7 No. 2, 2017
pp. 157-172
Emerald Publishing Limited
2044-124X
DOI 10.1108/BEPAM-08-2016-0041 Built Environment Project and
Asset Management
Vol. 7 No. 2, 2017
pp. 157-172
Emerald Publishing Limited
2044-124X
DOI 10.1108/BEPAM-08-2016-0041 This research was conducted at the Centre for Innovative and Collaborative Construction
Engineering, Loughborough University. Thank you to the ESPRC (Grant Number EP/G037272/1)
and Derby City Council for funding and support, and special thanks to HAUC UK, Sheffield City
Council, Kent County Council for their insightful contributions. inconvenience and aesthetic depreciation (Brady et al., 2001; Hussain et al., 2016; Lepert and
Brillet, 2009; Matthews et al., 2015; Transport Research Laboratory, 2009; Walker and Calvert,
2015). Moreover, UK utility construction cost around £1.5 billion annually, whilst wider societal
costs are estimated far higher – around £5.6 billion annually, of which £5.1 billion comprises
driver time alone (McMahon et al., 2005). More recent utility construction costs by the National
Joint Utility Group (NJUG) lie at around £2 billion (Bennett, 2014). Derby City Council (DCC) recognises the aforementioned undesirable symptoms and
adopted a Permit Scheme in 2013 to exercise greater control of planning and coordinating
highway activities. However, industry stakeholders regard that inefficient back office
business processes hold back efficient on-street operations (Hussain et al., 2016). Therefore,
the study rationale is to investigate whether process efficiencies can be gained through
reviewing business process activities. Although highway works incorporate both road
works (highway maintenance works) and street works (utility works), DCC seeks to
investigate internal business processes given the greater ability to influence
intra-organisational change, before encouraging utility stakeholders’ participation. A logic
map is also developed for wider adoption by other local authorities (LA). This research is
timely, because sustained Highway Authority (HA) budget cuts force additional powerful
incentives for efficient working. The remaining paper details the literature review, method,
findings, a road works planning logic map, discussion and a conclusion. 2. 2. Process efficiency in highways management
G
i
i ’
l
l
d
k
i i 2. Process efficiency in highways management
Great
Britain’s
local
road
network
comprising
around
238,000
miles
is
statutorily managed by LAs; the strategic road network of around 7,600 miles of
mainly motorways and trunk roads is controlled by Highways England, Transport
Scotland and the Welsh Government, respectively (Department for Transport, 2016). However, communities living and working in LA areas necessitate basic utilities such as
energy, water and telecoms, leading to more highway cuts on local roads (Marvin and
Slater, 1997). Whilst a structured and efficient approach for managing highway works is
clearly required (Brady et al., 2001; Zhang, 2016), English LA highway works coordination
processes are reported to be weak, superficial, and lacking ownership and coordination
effort (Hussain et al., 2016). One way of reviewing works is through business process re-engineering (BPR), comprising
radical process re-design to make significant organisational service, quality and cost
improvements (Hammer and Champy, 2001). BPR distinguishes value adding and non-value
adding activities, which assist process streamlining. Despite manufacturing origins, BPR is
increasingly popular in office environments, and now government (Niehaves et al., 2013). However, unique public sector characteristics make removing non-value adding activities, and
adopting private sector BPR lessons difficult. Unique characteristics include their non-profit
driven nature, legal/formal constraints, accountability and honesty expectations, bureaucratic
hierarchal structures, political influence, and reduced decision-making autonomy amongst
personnel ( Janssen and Cresswell, 2005; Kamal et al., 2015; Thong et al., 2000). Nevertheless,
stakeholder expectations for efficient processes, and enhanced process and information
technologies (ITs) synchronicity, mean that government BPR remains advocated
(Gulledge and Sommer, 2002; Weerakkody et al., 2011; Weerakkody and Dhillon, 2008). Process efficiency in highways management has been sought previously. For example,
process improvements have made lengthy business processes faster and cheaper for
Pennsylvania Department of Transport, who automated parts of the highways defect
management process to hand-held mobile inspection devices leading to significant cost
savings (Tomassini, 2014). Separately, Highways England adopted an alliance and partnering
framework – the construction management framework (CMF), to improve procurement
processes and collaborative working arrangements in major maintenance projects. Applying partnering principals of mutual trust and cooperation, the CMF emphasised the
importance of communication and close working (Ansell et al., 2009). Additionally, “lean”
helped improve process efficiency and added value to highways projects. For example, the
UK’s Highway Maintenance Efficiency Programme (2013) report a lean review of pothole
response activities, leading to revised processes, practices and equipment at Walsall
Council. 2. Process efficiency in highways management
G
i
i ’
l
l
d
k
i i Ansell et al.’s (2007) study on Highways England’s maintenance project
(construction phase) found that lean working enabled greater emphasis on advanced
formal planning, encouraging workforce discipline and focus on forthcoming tasks. The study stressed the importance of training operatives on lean principals to ensure
wider understanding and sustained buy-in, and critically effective leadership to
ensure project ownership. Indeed, lean construction was considered “the biggest
opportunity for improving operational productivity” (Wolbers et al., 2005). However,
construction sector BPR and lean have been criticised as damaging rhetoric for efficient
and streamlined working, which actually undermine the construction workforce. To enable process “optimisation”, people in the construction supply chain are treated as
passive objects. Furthermore, contractors are forced to lower costs whilst improving
delivery, which exacerbates entrenched adversarial working cultures (Green, 2011;
Green and May, 2003); therefore the entire impact of process improvement activities
requires consideration. 159 q
Whilst high-level process improvement cases are highlighted, literature at the tactical
and operational levels, particularly in LAs is scarce. Therefore, LA operational level
research issues is required, because it has a direct impact on on-site works execution, and
currently this complex arena is under-researched. Road works
planning and
coordination Stage 2 – securing management commitment High levels of management commitment is required to mobilise change and reduce project
failure, particularly in LAs where organisational culture is entrenched, risk averse and
change resistant (Cresswell et al., 2013; Lines et al., 2015). Therefore, buy-in was secured by
the departmental director, and the relevant divisional heads of service, due to their positions
and ability to direct change. Stage 1 – understanding the business context and position Stage 1 – understanding the business context and position
Derby is a fairly typical English regional city of around 250,000 people, with a unitary LA. Central government’s sustained national budget cuts have created unprecedented financial
pressures in Derby. The council strategically aims to be a modern and resilient authority
ensuring that “every pound and hour is productive” (Derby City Council, 2016a). Departmentally, Streetpride report £19 m annual savings to date, and propose a “lean”
review of highway services seeking further efficiencies and savings (Derby City Council,
2016b). Since 2013, the council provides an in-house direct labour organisation (DLO) for
highway works to maximise value. Downloaded by Loughborough University At 06:55 09 May 2017 (PT) The council is dutybound to maximise road capacity through managing the highway
network expeditiously and minimising road works and street works activity, thus the Derby
Permit Scheme was introduced to take greater control over highway occupation (Derby City
Council, 2013). All works executers must now have a Permit to work on “traffic sensitive
streets,” which are free to HAs. Stage 3 – parameters of study Business process review spanned the Highways Maintenance, Highways Engineering and
Network Management teams, as they were directly involved in road works (comprising road
maintenance and rehabilitation, and breaking or excavation activities). The study was
limited to back office processes, from scheme design to Permit issuing stage, and included
“standard” (three to ten days) and “major” (over ten days) works, as these facilitated greatest
scope for collaborative working. Minor (less than three days), “emergency” and “urgent”
works were excluded as it was considered disproportionate, inconvenient and potentially
unsafe to delay these works. 3. Method
A
d Findings
This section reports findings from the eight step approach adopted to conduct, analyse and
draw recommendations for this study. 4. Findings
hi
i . d
gs
This section reports findings from the eight step approach adopted to conduct, analyse and
draw recommendations for this study. 160 Stage 1 – understanding the business context and position 3. Method
A
d A case study approach was most suited to investigating the business processes of an
LA because it enabled immersive and in-depth understanding of the authority’s processes,
whilst also providing rich subject data access in its contextual setting (Yin, 2014). Derby city
was selected as representative of a fairly typical medium sized urban English regional city,
of around 250,000 with a Permit Scheme. For this study three team processes
were examined: Highways Maintenance and Highways Engineering teams, as the HA
who were “work promoters”, and the Network Management team as the Street Authority
(SA) who act as the regulator. (
)
g
As a key BPR component, business process mapping (BPM) was utilised to document
DCC’s administrative processes. BPM enables the understanding, investigation and
evaluation of complex business processes for efficiency and effectiveness, supporting
redesigned processes for improved outcomes (Biazzo, 2000). Amongst various BPM
techniques considered, Swimlane diagrams (Sharp and McDermott, 2001) were selected for
their ability to map complex, multi-actor processes (and sub-processes) simply. The study
relied on DCC experts for process knowledge, thus snowball sampling was used to select
two “core” process experts from each team. Workshops were undertaken with process
experts, where processes were recorded on large sheets using sticky labels – additional
comments were manually recorded. Processes were subsequently documented into
Swimlane diagrams and subjected to an iterative process of amendment and approval, until
process experts approved final versions. Detailed analysis of comments were undertaken
using Bryman’s thematic content analysis, comprising: text analysis, coding and
categorising salient terms, and theming codes together (Gibbs, 2011). The validation exercise required convenience and purposive sampling to invite middle
and senior Highways Managers from eight LAs (constituting neighbouring LAs, or LAs
regarded highly for road works management), and representation from the Highways
Authority and Utilities Committee (HAUC). Three LAs, a senior HAUC member and six DCC managers ultimately participated in the study. “Experts” constituted those w
interpretative and technical process orientated knowledge (Miles and Huberman, 1994). interpretative and technical process orientated knowledge (Miles and Huberman, 1994). The author developed a sequential eight step path to conduct this study, as detailed
in Table I. The author developed a sequential eight step path to conduct this study, as detai
in Table I. 4. Findings
This section reports findings from the eight step approach adopted to conduct, analyse and
draw recommendations for this study. 4. Stage 4 – analysis of core functions and processes Stage 4 – analysis of core functions and processes Core experts assisted in the iterative exercise of process mapping as defined in stage 3. Highways Engineering’s projects were found to be large and recorded on the annual work
programme, whereas Highway Maintenance works were more routine, reactive and smaller
natured. The headline stages of highway design and maintenance consisted of receiving
enquiry, investigation, detailed design, work scheduling and cost production, contractor
procurement, programming works, submitting a Permit application and awaiting an
outcome. The Network Management team, as a SA, processed Permit applications and
sought to coordinate highway activities. Figure 1 details the high level process maps
documenting the hand-off between the actors across the current team processes. Stage Purpose
Method and approach
Sources
Participants
1
To understand the
strategic business
context and position
Documentary analysis – analysis of literature and
organisational reports
Yin (2014)
–
2
To secure management
commitment
Meetings – to promote leadership and ownership of
process re-engineering efforts
Hunt (1996)
Derby City Council –
Service Director (1),
Heads of Service (2)
3
To identify the
parameters of the study
Project definition document and meetings – to understand
which teams were involved and to agree the terms of
reference
Yin (2014)
4
To document core
functions and
processes with process
experts
Snowball sampling, Semi-structured interviews and
business process mapping using Swimlane analysis – two
process experts from three team were put forward by their
managers to assist in documenting processes. Interviews
took place to understand the steps and tasks involved in
completing team processes, and were documented in
Swimlane process maps
Bryman (1988), Miles and
Huberman (1994), Flick (2014),
Sharp and McDermott (2001)
Derby City Council
Highways Engineering team (2)
Highways Maintenance team (2)
Network Management team (2)
5
To assess current
processes with experts
Business process mapping using Swimlane analysis and
literature analysis – current processes were examined for
strengths/weaknesses and obvious problems through
brainstorming and individual assessment steps for its
value to the overall process. Stage 4 – analysis of core functions and processes Literature analysis was also
undertaken to contextualise and corroborate the process
issues found
–
6
To develop revised
processes based on
stages 4 and 5
Business process mapping using Swimlane analysis –
feedback from stages 4 and 5 was used to develop
proposals to streamline processes and increase coordinated
working
Sharp and McDermott (2001)
–
7
Process validation by
expert peers
Focus group, semi-structured interviews – a focus group
and individual meetings were held to enable experts to
discuss the proposals and exchange ideas about their value
and their workability
Collins et al. (2010)
Highways management experts: Derby
City Council (6), Sheffield City Council (1),
Kent County Council (1) and HAUC (1)
8
To develop a logic map
for road works
planning and
management
Logic Map and semi-structured interviews – feedback from
stages 4 to 7 enabled the development of a logic map for
transferability to other local authorities
WK Kellogg Foundation
(2004)
Highways management experts: Derby
City Council (2), Kent County Council (1)
Downloaded by Loughborough University At 06:55 09 May 2017 (PT) 161 BEPAM
7,2 5 and 6 – assessment of current processes and development of new processes
ection examines the issues found across the teams. Although findings hav
rised into IT, workflow design and human resources (HR), and policies and
and McDermott, 2001), in reality, the themes overlapped each other. Stage 4 – analysis of core functions and processes Title: Highways Maintenance – Level 1 – Handoff diagram
Start
Client
Derby Direct
Submit
highways
complaint/
enquiry
Insert enquiry on
to “Public Enquiry
Manager” and
send
acknowledgment
to customer
Investigate
enquiry and
devise cost
– see level
2.1
Programme
works –
see level
2.2
Devise a
works pack
to process
works - see
level 2.3
Programme
works – see
level 2.2
Raise works
order - see
level 2.4
Book works on
agreed dates
End
Process
Permit
application
Approved ‘AS IS’ Map
Await Permit
authorisation
- see level 2.5
Check for clashes with
other work promoters -
see level 2.4 and
submit Permit/
Variation application –
see level 2.5
Programme
works –
see level
2.2
Authorise works
and book work
with contractor
Assign
enquiry
to
relevant
officer
Determine if
works will be
done in-house
or externally
In-
house
External
Submit to
Programme
Monitoring
meeting
Consider
costs
Programme
monitoring
Highways
Inspector
Works
Manager
Contractor
Client
Stakeholders
In house
contractor
Framework
Contractor
Team
Leader
Design Engineer
Business
Support
NM Team
Technical
Support
Network
Manager
Asset
Management
Core Group Approved Version of “AS IS” map following meeting on 18.11.15
Title: Highway Engineering team – Level 1-Hand off diagram
Title: Network Management team – Level 1-Hand off diagram
Phase
Start
Review
written brief
and assign
engineer – see
2.1
Request
admin set up
Produce
scheme file,
cost code and
HD number
Early
contractor
Involvement
Engage Network Management/
Submit PAA at least 3 months
prior to scheme
commencement – see 2.5
Process permit
application
Early
contractor
Involvement
Early
contractor
Involvement
Early
contractor
Involvement
Early
contractor
Involvement
Early
contractor
Involvement
Procure
Contractor
– see level
2.2
Procure
Contractor –
see level 2.2
Procure
Contractor –
see level 2.2
Procure
Contractor –
see level 2.2
Procure
Contractor –
see level 2.2
Design
Scheme –
see 2.3
Design
Scheme –
see 2.3
Finalise scheme
design and
construction
programme
Finalise
scheme design
and
construction
programme
Finalise
scheme design
and
construction
programme
*CDM
obligations
*CDM
obligations
Interchangeable order
*CDM = Construction
Design Management
*CDM
obligations
*CDM
obligations
*CDM
obligations
Public
consultation
Public
consultation
Site surveying
– see 2.4
Public
consultation
Site surveying
– see 2.4
**Site visits/
site meetings
Site surveying
– see 2.4
Network Management Team
Start
Variation
Provisional
Advance
Authorisation
(PAA)
Determine whether
application is for a
Permit, Variation or
Provisional Advance
Authorisation (PAA)? Determine if
there are any
emergency
applications? Stage 4 – analysis of core functions and processes Determine which
applications have
a response time
expiring today*
Permit
application is
automatically
“Deemed”
Process additional
applications if
there is available
capacity
Assess PAA
application –
see 2.3
End
Assess
emergency
application –
see 2.2
Assess
application
– see 2.1
Check
Outlook for
receipt of
supporting
information
– see 2.4
Carry out
impact
assessment
– see 2.5
Check for
any conflict
– see 2.6
Permit
Start/End
Connector
Process
Decision
Interchangeable
order
Group
decision
Stacked
Processes
(Process that
occur
simultaneously)
Un-triggered events -
a process that can
occur any time
within the project
and without a trigger
Subroutine
process
(shown in
more detail
separately)
Yes
KEY
Today
Expired
Another
Day
No
Run
“Permit
Received”
report on
TMA
Manager 162 Stages 5 and 6 – assessment of current processes and development of new processes
This section examines the issues found across the teams. Although findings have been
categorised into IT, workflow design and human resources (HR), and policies and rules
(Sharp and McDermott, 2001), in reality, the themes overlapped each other. IT
Throughout the study, IT was a key bottleneck in multiple ways. First, all three teams
directly or indirectly relied on a combined Highways IT programme. The dual system
recorded enquiries, raised works orders, and incorporated “Electronic transfer of notices”
(EToN – a statutory specification to enable electronic Permit exchange) (Department for
Transport, 2013). Staff had varying data access levels, with little or no formal training. The combined IT programme lacked synergy between modules, requiring duplicate data
entry which created opportunities for error. Officers reported a number of issues including: IT 163 There is no efficient way of checking EToN feedback for work promoters. We need access to EToN to check the status of Permit applications. Permits can be rejected and the
Design Engineer is unaware as we are not informed. We have to rely on Tech Support to manually
check the system daily. Downloaded by Loughborough University At 06:55 09 May 2017 (PT) Other key system problems included: the inability to store documents, no prompts or
warnings of incoming EToN correspondence, and no simple way to produce reports. The Highways IT system was aged (over ten years old) and not fit for purpose, accordingly
DCC operationalised a replacement system over the study period. Separately, six different IT packages were used to draw/view scheme designs in the
Highways Engineering team, which interrupted seamless design. Road works
planning and
coordination Stage 4 – analysis of core functions and processes An officer reported: We need a single storage location. Currently there are different softwares, IT formats and drawing
versions which can be highly problematic. People working from old drawing versions is not
unheard of. Fragmented IT is symptomatic of data management within the engineering and construction
sector, characterised by high data volumes, developed by different professionals, using
different IT systems (Beach et al., 2013). Poor IT system architecture and poor integration
commonly
contribute
to
process
inefficiency
(Edwards
and
Peppard,
1994). Therefore, fractured IT systems should be replaced with a single cloud based collaborative
working/document management platform enabling stakeholders to design and view drawings
collaboratively (Beach et al., 2013). Workflow design and HR
IT limitations meant workflows were modelled around IT systems creating bottlenecks;
bottlenecks stem from compulsory information being unavailable to staff (Sharp and
McDermott, 2001). Highways Maintenance team processes were particularly fraught with
bottlenecks; for example, technical administration staff would check highway availability
for proposed works instead of works promoters due to restricted data access. Indeed,
unnecessarily restricted data access is an outdated LA practice, which should be replaced
with wider data access to expedite works (Weerakkody et al., 2011). A further example is the
schedule of rates for internal DLO works which was not documented, therefore, cost
estimate requests were e-mailed to a single works programme manager. This practice is not
only a significant bottleneck, but also undermines organisational knowledge management. Instead, the schedule of rates should be documented ideally within the Highways IT system
and be readily available on demand. In terms of external tender and contract procurement, a team leader was heavily
involved in the process, presumably to oversee it and provide advice. This example of
“managerialistic model” where managerial involvement and monitoring is assumed to
provide greater service, product, or behaviour, can be considered an outdated culture still
common in the public sector. Instead the “professional model” should be adopted, where the
assumption is that trained and qualified staff lead to high quality and professional service, BEPAM
7,2 products and behaviour (Perrott, 2002). It is recognised that government employee
autonomy is restricted, however it remains a crucial ingredient for successful public
organisations (Thong et al., 2000); consequently, better value could be provided if employees
are trained to the same level as the team leader. products and behaviour (Perrott, 2002). Stage 4 – analysis of core functions and processes It is recognised that government employee
autonomy is restricted, however it remains a crucial ingredient for successful public
organisations (Thong et al., 2000); consequently, better value could be provided if employees
are trained to the same level as the team leader. Policies and rules
Limited organisational and cross-organisational working was evident throughout the
process. Statutorily prescribed quarterly coordination meetings have historically been held
jointly with Derbyshire County Council, an upper tier LA responsible for numerous smaller
rural councils. Although the Network Management team attended these meetings, the
Highway Maintenance/Engineering teams were rarely represented. The meetings were
acknowledged as weak, providing little value to the Authority, tying in with Hussain et al.’s
(2016) findings that coordination meetings tended to be contrived and superficial. To address this, DCC should work with stakeholders, particularly HAUC and NJUG to
devise a gold standard for coordination meetings, which should subsequently be adopted
for independent Derby meetings. The meetings should also be attended by all stakeholders
involved in highway works. 164 Downloaded by Loughborough University At 06:55 09 May 2017 (PT) g
y
In terms of work planning, there was a culture of retaining planned scheme information
until construction dates were more definitive, as it was perceived that stakeholders, particularly
the Network Management team, were otherwise uninterested. An officer commented: Unless we have dates and sufficient plans, Network Management don’t want to hear from us. Conversely, the Network Management team wanted more foresight of proposed works to
plan network activity. Highway works can be significant undertakings, combining
multi-disciplinary design, planning, materials, procurement, specialist machinery and
on-site construction, requiring high level of planning, involving numerous supply chain
actors. It can therefore be challenging accommodating or coordinating works in later stages
of planning, particularly after finalised construction dates. Accordingly, work programmes
should be availed to interested stakeholders at the beginning of each financial year
(or earlier if possible) to enable wider coordination notwithstanding firm construction dates. This could be advanced by plotting future works on a map-based system incorporating
scheme information and contact details for works promoters. Stage 7 – validation of road works management issues and recommendations
A validation exercise took place to review the processes and proposals with DCC managers,
peer LAs and HAUC. Table II presents the problems found in the Derby road works process
along with validated recommendations for improvements. The commonalities and conflicts
in opinion amongst stakeholders are provided below. Table II.
Recommended actions
for issues identified at
Derby City Council Recommendations Duplicate entry of enquiry across CRM
system and Highways IT systems
Duplicate system of enquiry across modules
of single Highways IT system
Manual process requiring paper work and
camera Update programmes to support vertical
integration across IT systems (in progress)
Update fragmented Highways IT system
with a state of the art system. This proposal
could be advanced by procuring IT across
regional HAs for collaborative procurement
Update to portable electronic tablets to use
on site, with remote access to Highways IT
System (in progress)a
Integrate the highways design software
applications onto a single cloud based
collaborative construction platform
Confirm point of contact for utility asset
records and future works for individual
utility companies regularly
Store asset management data in a central
electronic location in an accessible format, for
instant retrieval Duplicate entry of enquiry across CRM
system and Highways IT systems
Duplicate system of enquiry across modules
of single Highways IT system
Manual process requiring paper work and
camera Update programmes to support vertical
integration across IT systems (in progress)
Update fragmented Highways IT system
with a state of the art system. This proposal
could be advanced by procuring IT across
regional HAs for collaborative procurement
Update to portable electronic tablets to use
on site, with remote access to Highways IT
System (in progress)a
I
h hi h
d
i
f 165 Numerous design software used by different
teams and disciplines across designers
Poor utility response rate when requesting
information about utility asset locations and
future programmed works Asset management data (lighting, signals,
drainage, etc.) is not freely available, and
must be obtained by contacting individual
officers Asset management data (lighting, signals,
drainage, etc.) is not freely available, and
must be obtained by contacting individual
officers
Not enough advance notice is given about
future major works, with less than the
minimum prescribed 3 months sometimes Asset management data (lighting, signals,
drainage, etc.) is not freely available, and
must be obtained by contacting individual
officers
Not enough advance notice is given about
future major works, with less than the
minimum prescribed 3 months sometimes 4. Stage 7 – validation of road works management issues and recommendations
A validation exercise took place to review the processes and proposals with DCC managers,
peer LAs and HAUC. Table II presents the problems found in the Derby road works process
along with validated recommendations for improvements. The commonalities and conflicts
in opinion amongst stakeholders are provided below. p
g
p
The validation exercises confirmed that road works design and management was complex
and that collaborative working was challenging. The key commonalities in opinions were that: •
Coordinated working was challenging due to complexities and inherent challenges
arising from individual team processes and circumstances beyond employee control,
including poor IT and limited data access. •
Coordination meetings needed an improved format. Meetings should focus on large and
major impact projects, whilst issues about individual streets should be addressed
outside coordination meetings. Furthermore, coordination meetings should conjoin with
neighbouring regional authorities to maximise effectiveness. An interviewee
commented: “Coordination is very difficult – who do you send plans to as different
teams represent different purposes; it can become too complicated. This discussion
should be a part of wider discussions as to what coordination meetings should achieve”. Stage of project
Problem
1. Receive enquiry
Duplicate entry of enquiry across CRM
system and Highways IT systems
2. Investigate
enquiry
Duplicate system of enquiry across modules
of single Highways IT system
Manual process requiring paper work and
camera Recommendations Road works
planning and
coordination 3. Detailed design Recommendations Submit PAA Furnishing advance information for large
impact and major works on the business plan
at the beginning of the year (or earlier) with
approximate dates
Set up a “safe-guarded for future works”
hatch on a GIS plan for future works (HA or
utility companies)
Formalise an indicative schedule of rates for
staff to be able to devise an indicative costa Not enough advance notice is given about
future major works, with less than the
minimum prescribed 3 months sometimes Furnishing advance information for large
impact and major works on the business plan
at the beginning of the year (or earlier) with
approximate dates
Set up a “safe-guarded for future works”
hatch on a GIS plan for future works (HA or
utility companies)
Formalise an indicative schedule of rates for
staff to be able to devise an indicative costa 5. Produce work
schedule and
costs
A schedule of rates is not published therefore
the Works Manager must be e-mailed for
quotes for all individual works
6. Procure
contractor
Team leader micro-manages procurement
process
7. Programme works Programme Monitoring meetings are
considered a bottleneck which provide no
clear value. The ability to check road space availability
is restricted to Technical Admin staff
Operational programme of works is not
available for common view Team leader involvement should remain to
facilitate quality assurance checksa q
y
Meetings should remain in order to facilitate
joint decisionsa Meetings should remain in order to facilitate
joint decisionsa Staff should have direct access to road space
data removing Technical Admin Team staff
from the process entirely Staff should have direct access to road space
data removing Technical Admin Team staff
from the process entirely Operational work programme should be
accessible on IHMS and visible across the
service area Make process paperless and authorisation
electronic (in progress)
The permit submission process is best placed
with the Technical Admin teama
Report proposals, with potential sites and
approximate dates for all major works at the
formal quarterly coordination meeting
Significant coordination efforts should be
made outside of formal coordination
meetings by a dedicated road works plannera
HA to be represented at quarterly
coordination meetings
U d t f
t d hi h
IT
t 11. Recommendations Advise applicant
Manually check IT system for a response
from NM Update fragmented highways IT system
with a state of the art system (in progress) Note: aRefer to changes proposed by stakeholders as part of the validation process •
Highways IT systems were generally poor, fragmented and unproductive. Highways IT systems should be synergistic, web-hosted and procured regionally
to reduce costs. •
Organisational collaboration was considered critical, albeit with differing degrees of
collaborative working effort amongst LAs. There was consensus that work
programmes should be shared and discussed to facilitate collaborative working and a
broader understanding of departmental activities. In addition, there was evidence
that dedicated coordination personnel were highly successful in internal and
inter-organisational collaboration. 166 •
The annualised nature of highway budgets mean that LA cannot adequately
plan in advance. An interviewee commented that “this is a major issue across
the country”. Examples where conflicting opinions were expressed about some recommendations are
as follows: Examples where conflicting opinions were expressed about some recommendations are
as follows: Downloaded by Loughborough University At 06:55 09 May 2017 (PT) •
Although most stakeholders felt that team leader involvement in the tender and
procurement process should be limited to advice and ultimate approval, DCC felt that
the involvement was quality assurance which provided exceptional value for money,
and thus should remain. •
The view that the Technical Admin team were best placed to manage the Permit
application process and this function should remain with them. •
Overall consensus was that the schedule of rates should be formally documented;
however DCC felt that this would not provide best value as it could not accurately
reflect the true cost of an in-house work-force. As a compromise, an indicative
published schedule of rate was preferred by the HA. Figure 2.
Logic map for road
works investigation,
design and permit
management process tage 8 – development of transferable logic map for road works planning management Stage 8 – development of transferable logic map for road works planning management
Statutory legislation and funding cycles underpin road works practices, making processes
and procedures fairly universal across LAs. Accordingly, a high-level logic map for wider
transferability was developed, which is intended to aide LAs in their duty to manage and
coordinate the road works and street works management processes under Section 59 of the
New Roads and Street Works Act 1991. Logic maps depict how organisations’, processes or
strategies should work, typically incorporating the underlying context, principles, and
activities/practices necessary for short, medium and long-term outcomes (W.K. Kellogg
Foundation, 2004). The ADMINISTER logic map (Figure 2) was based on findings from this
study, validation exercises and academic literature. Specifically, it considered the key
processes in road works management, and identified the key inputs required, leading to key
activities, and the support required. The logic map seeks to represent how the road works
management process could be effectively and efficiently administered whilst taking into
account the inputs and outputs from a range of different activities from different
stakeholders. Amongst other factors it considers that skilled staff, efficient work flows,
efficient data flow and the use of technology, equipment and resources could be one way to
bring about a more streamlined and value adding process. It is acknowledged that there are
likely to be many and wide ranging implications of adopting this logic map, of which finance
and the availability of resources are two such key factors. Furthermore it is inevitable that
each LA will be at different stages of “readiness” for comprehensively administering road
works based on the quality of the inputs the organisation already has in place. Therefore,
LAs should examine the inputs and consider the implications on resources and costs on a
case by case basis. tage 8 – development of transferable logic map for road works planning management A worked example of the logic map could be interpreted as follows: if an organisation has
staff with skills and expertise, as a result of providing and updating training, with the
possible involvement of Heads of Services, the SA, internal and external training providers
and corporate training policy, it is likely to have the following effects:
ADMINISTER –
ADMINIstrating Street work Events and Road works
Goal
Inputs
Activities
Participation
Outputs
Short
Medium
Outcomes
Long
Better planned and
co-ordinated highway
excavation activity, with
minimal disruption and
impact on society
Context
To make the road works investigations, design and permit
management process more efficient and co-ordinated
Staff with skills
and expertise
Provide and update
training
Provide well designed
and integrated CRM
and HA IT systems; a
collaborative
construction IT design
platform; and efficient
work processes
Execute well planned
and purposeful formal
and informal co-
ordination meetings
Implement cross-
organisational working
Provide Instant access
to needed data
Provide digital working
such as paperless
office and portable
tablets
Heads of Service,
Corporate IT team, HA
and SA
Departmental teams,
corporate IT team and
corporate Policy team
Departmental teams
Regional SAs, regional
HAs, utility companies,
major S50 applicants
and regional HAUC
CRM team, HA, SA,
Corporate IT team
Heads of Service, SA,
internal and external
training providers,
Corporate training policy
Fewer checking, fewer
mistakes and improved
working relations
Faster and more
efficient processes
Better designed
and considered
construction
Better planned
works and more
productive staff
Better
co-ordinated
works
Better planned
works and more
productive staff
Greater ability to
co-ordinate works
Faster and more
efficient processes and
less time lost through IT
inefficiencies
Work flow
efficiency
Information
Flow
Technology,
Equipment
and Resources
Aimed at Street Authorities and Highway Authorities within local
government organisations with highway and network management
regulatory duties
Figure 2. tage 8 – development of transferable logic map for road works planning management Logic map for road
works investigation,
design and permit
management process
167
Road works
planning and
coordination Road works
planning and
coordination ADMINIstrating Street work Events and Road works ADMINIstrating Street work Events and Road works 167 Downloaded by Loughborough University At 06:55 09 May 2017 (PT) A worked example of the logic map could be interpreted as follows: if an organisation has
staff with skills and expertise, as a result of providing and updating training, with the
possible involvement of Heads of Services, the SA, internal and external training providers
and corporate training policy, it is likely to have the following effects: A worked example of the logic map could be interpreted as follows: if an organisation has
staff with skills and expertise, as a result of providing and updating training, with the
possible involvement of Heads of Services, the SA, internal and external training providers
and corporate training policy, it is likely to have the following effects: •
short term – empowered officers requiring fewer checks, leading to fewer mistakes
and improved working relations; •
short term – empowered officers requiring fewer checks, leading to fewer mistakes
and improved working relations; •
medium term – well trained officers producing well designed and considered
construction projects; and •
long term – well trained officers leading to better planned and coordinated road
works with minimal disruption and impact on society. The logic map is suitable for senior managers in LAs with regulatory highway maintenance
and network management functions; it seeks to achieve well planned and coordinated road
works activities to provide a minimally disrupted transport network. The logic map has
purposefully been kept at a high-level to ensure transferability, with individual
recommendations being illustrative rather than exhaustive to enable amendment and
additions as appropriate. This section will briefly consider the key inputs and activities
featured in the logic map. Staff with skills and expertise ff
p
The process review highlighted that staff were not always clear of their roles and
responsibilities, and sometimes did not have the skills or training to undertake tasks
correctly which can reduce morale and cause mistakes. It is important that “the right people,
with the right skills, in the right jobs, are performing the right tasks” (Sharp and
McDermott, 2001), therefore senior managers should ensure that staff are fully trained for
example, of regulatory responsibilities and IT system usage. Shared works information The absence of shared information was a crucial barrier to communication, exacerbating
internal and external silos; accordingly, staff should have convenient access to needed data
(Weerakkody et al., 2011). Communication of works inside and outside formal coordination
meetings was crucial as it provided appropriate forums to discuss and negotiate works;
which is crucial for collaborative working (Lu et al., 2007). Therefore, formal coordination
meetings should be well planned, purposeful, and limited to major and large works; smaller
works should be discussed with appropriate parties outside coordination meetings as
emphasised by the validation experts. There is also value in widening the scope of meetings
to wider geographic areas to maximise value. Re-orienteering coordination meetings would
require working with utility partners and neighbouring LA. q
g
y p
g
g
In general, organisational culture in the public sector is deeply entrenched. Organisational
change requires a culture which supports it, but this is difficult in LAs because the
entrenched culture is risk averse and change resistant (Cresswell et al., 2013; Kamal et al., 2015). Councils adopting the logic map must consider change management strategies, otherwise
processes are likely to remain inefficient. Change needs to be championed by senior managers
of the organisation to be effective, and must be backed by commitment, strategy, resources,
employee support and training; otherwise improvement efforts could fail. tage 8 – development of transferable logic map for road works planning management Efficient workflow
The study highlighted inefficiencies in various processes, therefore business processes
should be analysed for efficiency with buy in, ownership and leadership from senior
managers (Kamal et al., 2015). Further, IT enables a large proportion of processes in local
government, but their inefficiency and fragmentation causes significant unproductivity and
frustration. A cloud based collaborative document management portal for improved accessibility
and document management for project design could be beneficial (Beach et al., 2013). IT changes
usually require appropriate financial investment and corporate approval by senior managers to
integrate with wider strategic LA IT initiatives. 168 Resources and equipment
Staff should have appropriate resources and equipment to undertake works, which includes
access to functional IT systems. In addition, the construction industry is becoming
increasingly automated and there is evidence that mobile computing devices have improved
accessibility and operational efficiency, and could assist in the road works investigatory
process (Son et al., 2012). The shift to digital working and paperless office should form part
of a wider organisational strategy and would thus require senior manager approval. Downloaded by Loughborough University At 06:55 09 May 2017 (PT) Road works
planning and
coordination (2)
Local Government (2)
Local Government Downloaded by Loughborough University At 06:55 09 May 2017 (PT) •
greater organisational and inter-organisational communication is needed to reduce
silo working, maximise coordinated working and minimise highway disruption; •
genuine senior level ownership and commitment to improving highways
management is needed to help motivate and drive cultural change within
organisations; and •
technology needs to fit the needs of a service, instead of processes being
developed around inadequate technology. (3)
Utility sector •
widespread departmental fragmentation within utility companies needs to be
addressed to enable joined-up organisational thinking; and •
genuine senior level ownership and commitment to reducing highways cuts is
needed to bring awareness of the impact of utility cuts, and help drive cultural
change within institutions. Highway works policy is generally under-researched with significant need to research the
operational dynamics of LAs and utility companies in planning and coordinating
excavation activity. This study is important because it bridges a key gap in knowledge by
drawing attention to the day-to-day operational management of road works, which precede
and lead to the widely reported negative impacts of highway works. The study also adds to
BPR literature by acknowledging the public sector need for BPR, whilst accepting the
embedded culture of local government and severe challenges to change, reinforcing findings
by previous scholars. The findings are important because they make recommendation to
practitioners about road works operations and issues based on robust validation from
industry experts. The study is novel as it presents a high level transferable logic map for
road works managers to adopt. The limitations of this study are that it is based on a single
case study of a medium sized urban LA, therefore whilst the case study may arguably not
be generalisable of all LA, the headline issues presented are likely be regular discussion
points of HAUC meetings across the country, and indeed similar platforms globally. Ansell, M., Holmes, M., Evans, R., Pasquire, C. and Price, A. (2009), “Delivering best value in highways
major maintenance schemes: case study”, Journal of Construction Engineering and Management,
Vol. 135 No. 4, pp. 235-245. Ansell, M., Holmes, M., Evans, R., Pasquire, C. and Price, A. (2007), “Lean construction trial on a
highways maintenance project”, Proceedings IGLC-15, IGLC-15, Michigan, July. Ansell, M., Holmes, M., Evans, R., Pasquire, C. and Price, A. (2007), “Lean construction trial on a
highways maintenance project”, Proceedings IGLC-15, IGLC-15, Michigan, July.
Ansell, M., Holmes, M., Evans, R., Pasquire, C. and Price, A. (2009), “Delivering best value in highways
major maintenance schemes: case study”, Journal of Construction Engineering and Management, 5. Discussion and conclusion The aim of this study was twofold: first it investigated how existing highways processes could
be streamlined; and second it considered how coordinated working could be enhanced. Whilst
several recommendations have been made to meet these aims, and despite the overwhelming
financial challenges faced by the public sector, the value of BPR could be undermined by a
culture of inertia, risk aversion and resistance to innovative practices, which is common in
local government (Thong et al., 2000; Janssen and Cresswell, 2005; Kamal et al., 2015). To
address this, concerted change efforts are required, particularly by senior managers who have
the greatest control over reorienting embedded culture. Further, intra-departmental
collaborative working was undermined by inherent silo working, which is already a
significant problem when also taking inter-organisational working with utility companies into
account (Hussain et al., 2016). Sagacious concerns by Green (2011) and Green and May (2003)
about the impact of BPR on the construction supply chain are acknowledged and would need to be considered prudently in any extension works directly involving construction workers. Furthermore, to provide LAs with a way to manage their statutory duty to coordinate
highway works, a high-level logic map was developed for wider transferability. The map can
be used as an aide to LAs to understand the key attributes to enable an efficient and effectively
managed process. Of course dependent of the readiness on the LA, there may be a number of
resource and financial implications which will need to be considered. In addition, the study has shed light on general issues and practices in road works
management; for which the following stakeholder recommendations are made: 169 (1)
National Government (1)
National Government •
Longer budget cycles are needed as annual budgetary cycles can create difficulties
for HAs to plan long term works, and thus carry out long term coordination. (2)
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BEPAM
7,2 Weerakkody, V., Janssen, M. and Dwivedi, Y. (2011), “Transformational change and business process
reengineering (BPR): lessons from the British and Dutch sector”, Government Information
Quarterly, Vol. 28 No. 3, pp. 320-328. BEPAM
7,2 Wolbers, M., Evans, R.J.E., Holmes, M., Pasquire, C. and Price, A. (2005), “Construction management
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ЗУЛФИЯХОНИМ - ШЕЪРИЯТ ТОНГИНИНГ ОФТОБИ
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ЗУЛФИЯХОНИМ ШЕЪ ЗУЛФИЯХОНИМ - ШЕЪРИЯТ ТОНГИНИНГ ОФТОБИ УЛФИЯХОНИМ - ШЕЪРИЯТ ТОНГИНИНГ ОФТОБИ Зулфияхоним Исроилова... Ўз шеърияти билан юртимиздаги ҳар бир хонадон, ҳар бир
қалбга кириб бора олган ўзбек халқининг севимли шоираси, Ҳамид Олимжоннинг вафо
ва садоқат рамзига айланган севикли ёри, жаҳон минбарларида эркин сўзга чиқа олган
юртимизнинг эрка фарзанди Зулфия 1915- йилнинг 1-мартида Тошкент шаҳридаги
қадимий Дегрез маҳалласида Исроил темирчи оиласида туғилди. 1922-йилдан 1931-
йилгача мактабда, сўнг 1931-1934-йиллар орасида хотин-қизлар билим юртида таҳсил
олди. Меҳнат фаолиятини жуда эрта бошлаган шоира деярли бир умр журналистика ва
нашриёт соҳасида ишлади. У 1935 - 1938- йилларда Тил ва адабиёт институти
аспиранти, 1938 - 1948-йиллар мобайнида Болалар нашриёти муҳаррири, Ўзбекистон
давлат нашриёти бўлим мудири, 1953- йилгача «Саодат» журналида бўлим мудири,
1953- йилдан то 1980-йилга қадар, салкам ўттиз йил давомида, шу журналнинг Бош
муҳаррири лавозимида ишлаб келди. уҳ рр р
д
д
Шоиранинг "Мен иш қизи" деб номланган илк шеъри 1931-йилда "Ишчи" газетасида,
Шукур Саъдуллаев бошчилигида босилиб чиқди. Кейинчалик 1932-йилда эса "Ҳаёт
варақалари" номли биринчи шеърлар тўплами нашр этилган. Шундан кейин "Темирой"
(1934), "Шеърлар", "Қизлар қўшигʻи" (1939), "Уни Фарҳод дер эдилар" (1943), "Ҳижрон
кунларида" (1944), "Мушоира", "Ўгʻлим, сира бўлмайди уруш", "Ўйлар" (1965), "Висол"
(1972), "Йиллар, йиллар..." (1975) сингари шеʼрий китоблари Зулфияга шуҳрат
келтирди. Шоиранинг "Мен иш қизи" деб номланган илк шеъри 1931-йилда "Ишчи" газетасида,
Шукур Саъдуллаев бошчилигида босилиб чиқди. Кейинчалик 1932-йилда эса "Ҳаёт
варақалари" номли биринчи шеърлар тўплами нашр этилган. Шундан кейин "Темирой"
(1934), "Шеърлар", "Қизлар қўшигʻи" (1939), "Уни Фарҳод дер эдилар" (1943), "Ҳижрон
кунларида" (1944), "Мушоира", "Ўгʻлим, сира бўлмайди уруш", "Ўйлар" (1965), "Висол"
(1972), "Йиллар, йиллар..." (1975) сингари шеʼрий китоблари Зулфияга шуҳрат
келтирди. Шоиранинг "Мен иш қизи" деб номланган илк шеъри 1931-йилда "Ишчи" газетасида,
Шукур Саъдуллаев бошчилигида босилиб чиқди. Кейинчалик 1932-йилда эса "Ҳаёт
варақалари" номли биринчи шеърлар тўплами нашр этилган. Шундан кейин "Темирой"
(1934), "Шеърлар", "Қизлар қўшигʻи" (1939), "Уни Фарҳод дер эдилар" (1943), "Ҳижрон
кунларида" (1944), "Мушоира", "Ўгʻлим, сира бўлмайди уруш", "Ўйлар" (1965), "Висол"
(1972), "Йиллар, йиллар..." (1975) сингари шеʼрий китоблари Зулфияга шуҳрат
келтирди. 73 Шоира 1935-йилда ёш ва кўркам, шу билан бир қаторда ҳассос шоир Хамид Олимжон
билан оила қурди. "1935-йилда тўйимиз бўлди, - деб ёзади Зулфия. - Мен яйраб яшардим. Инсон чинакам севиб, севилганда атрофдаги барча қийинчиликлар ушоқ бўлиб
кўринади. Тўрт фасл ҳам баҳор бўлиб кўринади. Мен ўша пайтда шундай руҳда эдим". Улкан шоир, нодир инсоний фазилатлар соҳиби Ҳамид Олимжон Зулфияга ҳамма
нарсада ўрнак бўлди. Зулфия ундан фикрлаш, меҳнат қилиш ва шеър ёзишни ҳам,
дўстларга меҳрибон, душманларга эса шафқатсиз бўлишни ҳам ўрганди, унинг ижод
мактабида таълим олди. Ҳамид Олимжон шу маънода Зулфия қалбига уйғун ҳамроҳ ва
сезгир маслаҳатчи бўлди. Аммо 1944-йилда Ҳамид Олимжоннинг вафотидан сўнг шоиранинг ижодида ҳам кескин
бурилиш бўлди. Шу кунгача баҳорнинг эрка фарзанди сифатида ёшлик ва муҳаббатдан
куйлаган Зулфия шеърларида эндиликда айрилиқ ва ёлғизлик кенгроқ ўрин эгаллай
бошлади. Зулфия ҳаётининг муҳим бир қисмини Ҳамид Олимжоннинг адабий меросини
ўрганиш ва нашр этиш ишига бағишлади. А. С. Пушкин, М. Ю. Лермонтов. Н. А. Некрасов, М. Воқиф, Л. Украинка ва б. нинг
асарларини ўзбек тилига таржима қилган. Зулфиянинг асарлари ҳам кўплаб чет
тилларда, шунингдек, қардош туркий халқлар тилларида нашр этилган. Зулфия халқаро Жаваҳарлал Неру (1968), "Нилуфар" (1971) мукофотлари ҳамда Ҳамза
номидаги Ўзбекистон Давлат мукофоти (1970) лауреати. Шунингдек, у Болгариянинг
"Кирилл ва Мефодий" (1972) орденига сазовор бўлган. Машҳур ўзбек шоири Ҳамид Олимжоннинг турмуш ўртоғи, ўзига хос шеърияти бииан
минглаб китобхонлар қалбини ром этган истеъдодли шоира Зулфия 1996-йилнинг 1-
августида вафот этди. Президентимиз Шавкат Мирзиёев айтганларидек: "Ҳамид Олимжоннинг Ўзбекистон
халқ шоири Зулфия билан бирга кечган аҳил ҳаёти, бу икки улкан ижодкорнинг бир-
бирига бўлган севги ва садоқати бугунги кунда ҳам ёшларимиз учун ҳар жиҳатдан
ибратдир". Ҳақиқатан, ҳар бир ўзбек фарзанди учун ҳар томонлама ибрат бўла оладиган
халқимизнинг атоқли шоираси Зулфияхоним Исроилова ўзидан барчамиз учун бирдек
азиз ва бетакрор ижодий мерос қолдира олди. Ҳамид Олимжон ва Зулфия томонидан
ёқилган ҳаётсеварлик машъали барчамизга ҳар қандай ҳолда ҳам ёруғ кунлар
нашидасидан дарак берувчи нур бўлиб қолади десак, муболаға бўлмайди. 1. https://yuz.uz/news/shoirlar-olamning-nur-nafasidur 1. https://yuz.uz/news/shoirlar-olamning-nur-nafasidur 2. https://elib.buxdu.uz/index.php/pages/buyuk-shaxslar/item/4803-zulfiya 3. Khodjaev, S. M., & Rakhmonova, S. S. (2022). Saving resources in the operation, maintenance
of automotive equipment. American Journal of Interdisciplinary Research and Development, 5,
18-27. 4. Abdujalilovich, A. J. (2022). Analysis of road accidents involving children that occurred in
fergana region. Innovative Technologica: Methodical Research Journal, 3(09), 57-62. 5. Axunov, J. A. (2022). Analysis of young pedestrian speed. Academicia Globe: Inderscience
Research, 3(4), 1-3. 6. Abdujalilovich, A. J. (2022). Analysis of the speed of children of the 46th kindergarten on
margilanskaya street. American Journal of Interdisciplinary Research and Development, 5, 9-
11. 7. Abduraxmonov, A. G., Xodjayev, S. M., Otaboyev, N. I., & Abduraximov, A. A. (2022). Formation
of products from powdered polymers by rotational and blowing method. European
International Journal of Multidisciplinary Research and Management Studies, 2(03), 41-51. 8. Fayziyev, P. R., Ikromov, I. A., Abduraximov, A. A., & Dehqonov, Q. M. (2022). Timeline: History
of the Electric Car, Trends and the Future Developments. Eurasian Research Bulletin, 6, 89-94. 9. https://www.iqbol.uz/uz/razdel-menyu-stranitsy/item/2072-bakhtim-shul-uzbekning-
zulfiyasiman.htm 9. https://www.iqbol.uz/uz/razdel-menyu-stranitsy/item/2072-bakhtim-shul-uzbekning-
zulfiyasiman.htm 75
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Prevalence of symptoms of body dysmorphic disorder (BDD) and associated features in Swiss military recruits: a self-report survey
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BMC psychiatry
| 2,021
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Open Access © The Author(s). 2021 Open Access This article is licensed under a Creative Commons Attribution 4.0 International License,
which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give
appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if
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The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the
data made available in this article, unless otherwise stated in a credit line to the data. Prevalence of symptoms of body
dysmorphic disorder (BDD) and associated
features in Swiss military recruits: a self-
report survey Marie Drüge*
, Gabriela Rafique, Anne Jäger and Birgit Watzke Abstract Background: Body dysmorphic disorder (BDD), defined as the obsessive idea that some aspect of one’s own body
or appearance is severely flawed/deformed, is relatively common in the general population and has been shown to
have strong associations with mood and anxiety disorders and substance abuse disorders. Furthermore, a previous
study on symptoms of BDD among people in the military showed that muscles are an important area of
preoccupation. Hence, this study aimed to 1. assess the prevalence of BDD symptoms in Swiss military recruits, 2. specify the areas of preoccupation, and 3. analyze associated features (depression and alcohol/drug abuse). Method: A total of 126 Swiss male military recruits (age: M = 20 12 SD = 1 09 range: 18 24) were examined using Method: A total of 126 Swiss male military recruits (age: M = 20.12, SD = 1.09, range: 18–24) were examined using
self-report measurements to assess symptoms of BDD, depression, alcohol/drug abuse. Results: The results showed that symptoms of BDD were relatively common (9.5% reached the cutoff value for
probable BDD, 84% reported some symptoms), with the muscles as the most common area of preoccupation. A
positive correlation (r = .38, p < .001) between depressive symptoms and symptoms of BDD was found, thus no
correlation between alcohol/drug abuse and symptoms of BDD. Conclusion: The results indicate a need to develop and implement measures for prevention (e.g. raising awareness
among the military) and intervention in this specific population. Keywords: Body dysmorphic disorder, Military medicine, Muscle dysmorphia Background or settings with a higher prevalence or risk factors at a
younger age in order to tailor specific screenings and/or
interventions. In some countries military service includ-
ing an initial physical examination is mandatory for all
young men. Thus, the military might strengthen the
focus on physical fitness and increase the vulnerability
for being preoccupied with body features, especially with
one’s owns muscles, making military personnel prone to
a special subtype of BDD, the so-called muscle dys-
morphia. To date, there is little research on BDD in the
military context, therefore the prevalence of symptoms Body dissatisfaction or a critical preoccupations with
one’s own appearance (e.g. muscles) are considered nor-
mal to some extent, but when unwanted thoughts, i.e. intrusions, become too excessive or repetitive behavior
becomes time-consuming and causes major distress, the
diagnosis of body dysmorphic disorder (BDD) needs to
be considered. As BDD onset typically occurs during
adolescence, it is vital to identify vulnerable populations * Correspondence: marie.druege@uzh.ch
Department of Psychology, Clinical Psychology and Psychotherapy Research,
University of Zurich, Binzmuehlestrasse 14, 8050 Zurich, Switzerland * Correspondence: marie.druege@uzh.ch
Department of Psychology, Clinical Psychology and Psychotherapy Research,
University of Zurich, Binzmuehlestrasse 14, 8050 Zurich, Switzerland Drüge et al. BMC Psychiatry (2021) 21:294
https://doi.org/10.1186/s12888-021-03288-x Drüge et al. BMC Psychiatry (2021) 21:294
https://doi.org/10.1186/s12888-021-03288-x * Correspondence: marie.druege@uzh.ch
Department of Psychology, Clinical Psychology and Psychotherapy Research,
University of Zurich, Binzmuehlestrasse 14, 8050 Zurich, Switzerland Body dysmorphic disorder Preoccupation with the appearance is relatively com-
mon: In a representative sample of 2552 participants of
the general population, 27% percent of the males and
41% of the females reported being preoccupied with the
appearance of at least one body part [1], without meet-
ing all criteria of body dysmorphic disorder (BDD). According to the DSM-5 [2] BDD, describes the pre-
occupation with one or more «defects or flaws» of one’s
own body part(s) or appearance, which are not apparent
to others. This perception leads to repetitive and time-
consuming behaviors (such as mirror checking, excessive
exercising) or mental acts (such as comparing oneself to
others) of some sort. These preoccupations may cause
severe educational or occupational dysfunction or social
isolation but do not meet the diagnostic criteria of an
eating disorder. In the DSM-5, BDD is categorized in
the obsessive-compulsive-spectrum [2]. BDD is highly
associated with comorbidities such as mood or anxiety
disorders [3], and it is associated with a high burden of
disease such as impaired psychosocial functioning or
high suicide risk. In a prospective study of up to 4 years
on 185 patients with BDD, Phillips and Menard [4] ana-
lyzed suicide risk among individuals with BDD: 57.8% of
respondents
reported
suicidal
ideation,
and
2.6%
attempted suicide within one year. Two patients died by
suicide throughout the study [4]. Comorbidity y
Gunstad and Phillips [3] gave an overview of the lifetime
axis I comorbidity rates in published studies of BDD; the
most common comorbidities using Structured Clinical
Interviews for DSM-III-R (SCID-P) were major depres-
sion
(range:
8–82%), obsessive
compulsive disorder
(OCD; range: 6–78%), social phobia (range: 12–69%),
and substance use disorders (range: 21–36%). Against
the background of the range of comorbidities, they ex-
amined comorbidities in 293 patients with BDD; the
most
common
comorbidity
was
major
depression
(75.5%), followed by social phobia (36.5%), OCD (32.1%)
and substance use disorders (alcohol: 20.5%; other drugs:
17.1%). Furthermore, a correlation between the number
of comorbid disorders and the functional impairment of
a patient was found. Point prevalence p
BDD has prevalence rates ranging from 1.7–2.9% [1, 6]
and an overall weighted prevalence in the community of
1.9% [7] . As a systematic review found slightly higher
prevalences for men than for women [7], some found
them to be similar (2.4% vs. 2.2%), but gender differ-
ences in the areas of preoccupation have been found
(e.g., muscle dysmorphia occurs almost exclusively in
males) [8]. Prevalences vary in different samples, such as
in student populations (3.3%) or in psychiatric outpa-
tients (5,8%), and the prevalence reached up to 20.1%
among patients undergoing rhinoplasty surgery [7]. Point prevalences for muscle dysmorphia are also higher
in professional male weightlifters [5, 9]. Page 2 of 6 Page 2 of 6 Drüge et al. BMC Psychiatry (2021) 21:294 Drüge et al. BMC Psychiatry (2021) 21:294 of BDD and associated factors in this specific population
is of interest in the following study. of BDD and associated factors in this specific population
is of interest in the following study. 1Regarding the specificity of the FKS, Buhlmann et al. [9] reports a
specificity of 0.07. This is due to a printing error and was corrected to
0.93 (personal communication with Ulrike Buhlmann, July 2020). Procedure and sample We conducted a cross-sectional study aiming at a full
sample of recruits of one cohort (company) at the re-
cruit school in Chur, Switzerland. This company of in-
fantry entered the school in 2017, and it was their first
year of training when the assessment took place. The re-
cruits were asked to participate voluntarily. A paper-
pencil questionnaire was handed out to all recruits on
the same day at the recruit school. All recruits partici-
pated. The nonclinical sample consisted of 126 male
Swiss military recruits (age: M = 20.12 years, SD = 1.09;
range: 18–24). Most of the recruits reported being single
(74.6%), some of the recruits were in a relationship
(23.0%), and two were married (1.6%). Regarding educa-
tional level, 69.8% had completed compulsory education, Data analysis The collected data were analyzed using descriptive sta-
tistics and correlations (Spearman rank correlation) to
analyze links between BDD and associated features. For
categorical data, crosstabulations and chi-square tests
were used to analyze relations between variables (BDD x
associated features) based on the cutoff values. Instruments
h In the current study, the prevalence of symptoms of
BDD and associated features such as depression, alcohol
abuse, and drug abuse were examined using self-reports
in a nonclinical, representative sample of Swiss military
recruits. To measure BDD, we used a standardized self-
report questionnaire for BDD symptoms (Fragebogen
Körperdysmorpher Symptome, FKS, [11]). The FKS con-
tains 17 items scored on a 5-point Likert scale (0–4) and
one open-ended question to specify the body part (the
cutoff value of 14 is used to discriminate BDD; this cut-
off has a high sensitivity of 0,87 and a high specificity of
0,93,1 α = .88). To measure associated features, we ap-
plied standardized self-report questionnaires for depres-
sion, including the Allgemeine Depressionsskala (ADS
[12];, the German version of the Center for Epidemio-
logical Studies Depression Scale (CES-D; originally pub-
lished by Radloff [13]), which includes 20 item-scores
utilizing a Likert scale (cutoff = 23, α = .82, high specifi-
city). To measure alcohol abuse, we applied the Alcohol
Use Disorders Identification Unit (AUDIT [14];), which
contains 10 items scored on a 5-point Likert scale (0–4)
(cutoff = 15–20; α = .83). To measure drug abuse, we
used a single dichotomous question [15]. In the current
sample, the internal consistencies were good for FKS
(α = .82) and for ADS (α = .84), and acceptable for
AUDIT (α = .74). Symptoms of BDD in the military 15.1% had a vocational baccalaureate, 14.3% had bacca-
laureate, and one recruit had finished a university de-
gree. All recruits had to pass a test on fitness before they
began their military service, indicating that from a med-
ical point of view, the recruits were mentally, intellec-
tually and physically fit for service. y
p
y
The military requires physical and mental fitness, and
pursuing a military career may lead to a rather dysfunc-
tional attention to physical fitness. As mentioned above,
if preoccupations about the body build being too small
or insufficiently muscular lead through specific behavior
patterns to distress and impairment, BDD might occur. Also, the age at BDD onset for men (M = 17.9, SD = 6.9)
is around the period when the initial test of fitness for
the military service takes place. Thus, Campagna and
Bowsher [10] conducted a survey to determine the
prevalence of BDD and muscle dysmorphia in enlisted
U.S. military personnel. A total of 13% of male and
21.7% of female participants reported body dysmorphic
symptoms in this specific sample [8]. Further analysis
showed muscle dysmorphia in 12.7% of the males and
4.2% of the females. As this first study only used self-
report measure, and given the complexity to distinguish
between body dissatisfaction, eating disorders and BDD,
the results should be interpreted with caution. The mea-
sures used are only screening tools, and shouldn’t be
interpreted as prevalence rates of BDD or MD. Still, it
shows, that in this population the preoccupations about
body dissatisfaction might be high and focused on the
body built or muscular size, especially for men. Recent
research on the prevalence of BDD and associated fea-
tures (e.g., depression) lacks in specific samples (e.g. spe-
cific professions), which would be necessary to identify
settings and populations where there is a high risk of
BDD. This study aims to 1. assess the prevalence of
BDD symptoms in Swiss military recruits, 2. specify the
areas of preoccupation with particular regard to muscle
dysmorphia in this sample, and 3. analyze associated fea-
tures, such as depressive symptoms and alcohol/drug
abuse. Due to feasibility, within the probable associated
features the focus was set on depressive symptoms and
alcohol/drug abuse. Gender differences in BDD y
p
In the DSM 5 there are two specifiers for BDD: One is
with or without muscle dysmorphia, the other differs
with or without insight. In individuals with muscle dys-
morphia the preoccupation is focused on the muscles or
the body built [2]. The idea that their body build is too
small or insufficiently muscular might lead towards
specific dieting (e. g. proteins), or physical activities (e. g. weightlifting) to increase size and definition of the mus-
cles. Also the preoccupations may cause avoidance (e.g. avoiding situations where the body is exposed) or safety
behaviors (e.g. giving up social activities to continue with
time-consuming work-out). First described in 1993,
Pope et al. [5] conducted a survey to analyze the body
images of 108 male body builders; they did not examine
BDD or muscle dysmorphia but found something de-
scribed as a “reverse anorexia” syndrome in nine (8.3%)
of the subjects, where the body builders believed that
they appeared small and weak even though they were ac-
tually tall and muscular. This could be interpreted as a
form of muscle dysmorphia. Phillips, Menard and Fay [8] analyzed similarities and
differences between 63 men and 137 women suffering
from BDD. Though their findings lack generalizability
(e.g. due to recruitment of sample limited to northeast-
ern United States), the results are still noteworthy. Men
suffering from BDD were significantly older, more likely
to be single, and more likely to have their own house-
hold than women. The age at onset is within adoles-
cence, thus men had an older age at onset than women
(M = 17.9, SD = 6.9 vs. M = 15.9, SD = 7.1). Compared to
women, the areas of preoccupation among men were
more often their genitals (17.5%), body build (36.5%),
and
thinning
hair/balding
(36.5%). Men
were
also
obsessed with their jaw (17.5%), nose (38.1%), skin
(69.8%), belly (19.0%), and eyes (19.0%), but no differ-
ences were found for these areas between men and
women [8]. Men were also more likely to have a comor-
bid substance use disorder than women [8]. Neverthe-
less, there are few studies focusing on male samples or
gender-related research questions. Drüge et al. BMC Psychiatry (2021) 21:294 Page 3 of 6 Drüge et al. BMC Psychiatry (2021) 21:294 Page 3 of 6 Discussion Our study shows that self-reported symptoms of BDD
are common in military recruits. The prevalence of self
reported probable BDD herein (9.5%) is substantially
higher than the point prevalence of 1.7–2.9% in a gen-
eral (German) population [1, 6]. Although a comparison
of prevalence rates of BDD and muscle dysmorphia
would require a structures diagnostic interview to ensure
the diagnosis, especially since preoccupations about the
own appearance are relatively common in the commu-
nity [1], the results might indicate the population of
military recruits as a population with higher prevalences. Our finding is comparable to the 13% self-reported
prevalence among males enlisted in the U.S. military
[10]. It is important to note that we exclusively used
self-reported data based on the FSK as screening tool in
order to identify individuals who might suffer from BDD
symptoms instead of conducting diagnostic assessments
according to the ICD or the DSM. This may have led to
an over- or underestimation of BDD diagnosis in our re-
sults - although the specificity and sensitivity values re-
ported herein were high based on the German validation
study of the FSK. Additionally, since BDD is a shame-
related disorder, anonymized self-assessment tools may
also be helpful for obtaining honest responses – perhaps
even more honest than the responses obtained from per-
sonal clinical interviews. However, future studies should
include structured clinical interviews and ICD- or DSM-
based diagnostical assessments to further investigate the
prevalence of BDD in recruits. As expected, based on
earlier studies (e.g., [8, 10]), the main area of preoccupa-
tion, in recruits showing BDD-symptoms, was their mus-
cles. Contrary to some previous findings [8], the second
most named area of preoccupation was their own geni-
tals, as reported by 33.3% of the recruits. In the largest
study to date looking at gender similarities and differ-
ences in 137 women and 63 men, Philips, Menard and
Fay [8] found that only 17,5% of the male individuals
named their genitals as the area of preoccupation. It
would be interesting to further analyze whether age has
an impact on the areas of preoccupation, as the sample
of this study is substantially younger (M = 20.12 years,
SD = 1.09, range: 18–24) than the 63 participants (M =
35.7 years, SD = 11.2) examined in Philips, Menard and
Fays’ study [8]. Discussion Conversely, in our sample, the recruits
reported less preoccupation with their hair (16.7%) than
those in the study by Philips, Menards and Fays [8]. Specifying the areas of preoccupation, specifically muscle
dysmorphia Taking the area of preoccupation into account, five of
the twelve recruits with probable BDD specified their
muscles as the area of preoccupation (see Fig. 1); four of
the twelve reported their genitals; two their hair, eyes,
ears, nose and/or skin; and two mentioned being con-
cerned with their belly and/or the jaw. Five of the twelve
recruits reported being preoccupied with only one body
part, another five recruits stated two body parts, and two
recruits reported three body parts. Prevalence of symptoms of BDD Twelve recruits (9.5%) reached the cutoff value of 14 for
the FKS, which indicates the presence of probable body
dysmorphic disorder with high sensitivity and specificity. Of these twelve recruits, ten reported being single, and
two were in a relationship. Eleven recruits were living Drüge et al. BMC Psychiatry (2021) 21:294 Page 4 of 6 total of 106 (83.5%) reported the potential for a hazard-
ous use. Fifty-seven recruits (44.88%) had taken an illegal
drug at least once, and 38 (29.9%) had taken drugs more
than once. No significant relationships between those
who reached the cut-off scores for BDD and substance
abuse were found. with their parents, and one was living alone. Seven of
the recruits were born as an only child, the other five
were born as the last of two or three children. Regarding
educational level, eight recruits had completed compul-
sory education, two had obtained a vocational baccalaur-
eate, and two had finished a baccalaureate program. Six
recruits reported, that they had undergone plastic sur-
gery. Furthermore, 106 recruits (84%) showed some
symptoms of BDD: 22 recruits (17.5%) scored 10–13
points, 36 (28.6%) scored 5–9 points, and 49 recruits
(38.9%) 1–4 points. Analyzing associated features Nine recruits reached the cutoff-score for the ADS, indi-
cating a probable depression with a high specificity. In
general, the prevalence of symptoms of BDD correlates
positively with depressive symptoms (r = .38, p < .01). Furthermore, the results of the AUDIT indicated hazard-
ous or harmful alcohol use among 44 recruits (35.5%). A genitals: 33.3%
skin: 16.7%
jaw: 8.3%
nose: 11%
muscles: 41.7%
belly: 8.3%
eyes: 16.7%
hair: 16.7%
ears: 16.7%
Fig. 1 Areas of preoccupation among the recruits with BDD Page 5 of 6 Drüge et al. BMC Psychiatry (2021) 21:294 Drüge et al. BMC Psychiatry (2021) 21:294 Page 5 of 6 Page 5 of 6 Drüge et al. BMC Psychiatry (2021) 21:294 Again, age might have an impact, as getting bald might
be an issue slightly later in life. Again, age might have an impact, as getting bald might
be an issue slightly later in life. BDD and given that BDD typically occurs during adoles-
cence, it appears vital to screen candidates for BDD
symptoms before they begin military service. It seems
also essential to increase awareness in recruits about
BDD (e.g., with information materials) and to train mili-
tary doctors, specifically with respect to screening BDD,
regarding available information/psychoeducation, first-
line treatments, and how to engage patients in treatment
for BDD. This may be an important avenue to improve
detection of BDD symptoms and secure access to treat-
ment for young men suffering from symptoms of BDD. From a research perspective, the development of short
and feasible screening tools with proven psychometric
characteristics can help facilitate this task. According to previous finding, a positive correlation
between symptoms of BDD and depressive symptoms
was expected, although the here found magnitude of the
association was smaller than in previous research [3]. Nevertheless, these results are alarming, as recruits are
expected to be mentally, intellectually and physically fit
for service and for war. Forty-four recruits (35.5%) de-
scribed hazardous or harmful alcohol use, which should
be taken seriously. In regards to alcohol and/or drug
abuse, no differences were found between those who
were below or above the threshold for probable BDD. This is an unexpected result, as Gunstad and Philips [3]
found high rates of substance abuse in individuals suffer-
ing from BDD. Declarations Referring to the setting of military services for which
our results seem to be a reliable estimation, several im-
plications have to be taken into account. Given that ap-
proximately one out of ten recruits shows symptoms of Funding
Thi This research did not receive any specific grant from funding agencies in the
public, commercial, or not-for-profit sectors. Authors’ contributions All Authors conducted literature searches and provided summaries of
previous research studies. GR and AJ author designed the study. MD and GR
author derived the research questions and conducted the statistical analysis. MD and BW author wrote the first draft of the manuscript and all authors
contributed to and have approved the final manuscript. Availability of data and materials The datasets generated and/or analyzed during the current study are not
publicly available due to confidentiality, but are available on reasonable
request from the corresponding author. The set of questionnaires used in
this study only included published questionnaires (FKS [11], ADS [12], AUDIT
[14], One-Question Screening for Drug Abuse [15], see methods section for
details). As there was no German version of the One-Question-Screening
[15], we translated it into German. Conclusion Symptoms of BDD are common among Swiss military
recruits, with their muscles being the main area of pre-
occupation, and showing a positive correlation with de-
pressive symptoms. Further research is required and the
design of the study could be improved upon (e.g., imple-
menting diagnostic interviews). The results point to-
wards the importance of building up an increased
awareness of BDD among military recruits and leaders. y
p
Given our results showing the estimated prevalences
of probable BDD, it is important to discuss which gener-
alizations can be derived of our data. The clustered sam-
ple represents the full participation of a military unit
and therefore can be assumed as representative for Swiss
military recruits. Therefore, it bears the question to what
extent our results are representative for young (Swiss)
men in general? Approximately 2/3 of men are obliged
to carry out military service in Switzerland, with the ex-
ception of those who have health issues (all recruits have
to pass a test of physical and mental health before they
begin their military service) and those who prefer social
services as a substitute path. This results in approxi-
mately half of the Swiss male population, ca 20 years old,
become a recruit. Thus, the sample represents a clus-
tered sample of 50% of young Swiss men who are
deemed physically and mentally fit and whose physical
fitness is most likely above average (e.g., they have the
ability to march). It is an open question whether symp-
toms of BDD would be more or less prevalent in an un-
selected sample of young men, i.e., especially in those
with health concerns. Therefore, future studies could in-
clude a male age-controlled control group, to focus on
differences in the setting and to further analyze whether
general body dissatisfaction and/or BDD is more com-
mon in military recruits or not. Abbreviations
ll ADS: Allgemeine Depressionsskala; AUDIT: Alcohol Use Disorders
Identification Unit; BDD: Body Dysmorphic Disorder; DSM: Diagnostic and
Statistical Manual of Mental Disorders; FKS: Fragebogen körperdysmorpher
Störungen; ICD: International Statistical Classification of Diseases and Related
Health Problems; OCD: Obsessive Compulsive Disorder Acknowledgments
h
k ll We thank all participants of the cohort at the recruitment school in Chur for
participation. We also thank Olenka Dworakowski, University of Zurich, for
proofreading, and her highly constructive comments on the manuscript. Analyzing associated features However, the rates of alcohol and drug
abuse were generally so high throughout the sample that
differences between clinical and nonclinical screened
groups might have been too small. As in this sample the
internal consistency of the AUDIT was only acceptable,
these results need to be interpreted with caution. Future
studies could also assess other common comorbidities
such as other obsessive-compulsive spectrum disorders
or social anxiety disorder for the overall picture. References Rumpf H-J, Meyer C, Hapke U, John U. Deutsche Version des Alcohol Use
Disorders Identification Test (AUDIT-G-L). In: Glöckner-Rist A, Rist F, Küfner H,
editors. Elektronisches Handbuch zu Erhebungsinstrumenten im
Suchtbereich (EHES). Zentrum für Umfragen: Methoden und Analysen; 2003. 15. Smith PC, Schmidt SM, Allensworth-Davies D, Saitz R. A single-question
screening test for drug use in primary care. Arch Intern Med. 2010;170(13):
1155–60. https://doi.org/10.1001/archinternmed.2010.140. 15. Smith PC, Schmidt SM, Allensworth-Davies D, Saitz R. A single-question
screening test for drug use in primary care. Arch Intern Med. 2010;170(13):
1155–60. https://doi.org/10.1001/archinternmed.2010.140. References 1. Rief W, Buhlmann U, Wilhelm S, Borkenhagen A, Brähler E. The prevalence
of body dysmorphic disorder: a population-based survey. Psychol Med. 2006;36(6):877–86. https://doi.org/10.1017/S0033291706007264. 1. Rief W, Buhlmann U, Wilhelm S, Borkenhagen A, Brähler E. The prevalence
of body dysmorphic disorder: a population-based survey. Psychol Med. 2006;36(6):877–86. https://doi.org/10.1017/S0033291706007264. 2. American Psychiatric Association. (2013). Diagnostic and statistical
manual of mental disorders (5th ed.). https://doi.org/10.1176/appi.books
9780890425596 3. Gunstad J, Phillips KA. Axis I comorbidity in body dysmorphic disorder. Compr Psychiatry. 2003;44(4):270–6. https://doi.org/10.1016/S0010-44
0X(03)00088-9. 4. Phillips KA, Menard W. Suicidality in body dysmorphic disorder: a
prospective study. Am J Psychiatr. 2006;163(7):1280–2. https://doi.org/10.11
76/appi.ajp.163.7.1280. 5. Pope HG, Katz DL, Hudson JI. Anorexia nervosa and “reverse anorexia”
among 108 male bodybuilders. Compr Psychiatry. 1993;34(6):406–9. https://
doi.org/10.1016/0010-440X(93)90066-D. 6. Buhlmann U, Glaesmer H, Mewes R, Fama JM, Wilhelm S, Brähler E, et al. Updates on the prevalence of body dysmorphic disorder: a population
based survey. Psychiatry Res. 2010;178(1):171–5. https://doi.org/10.1016/j. psychres.2009.05.002. 7. Veale D, Gledhill LJ, Christodoulou P, Hodsoll J. Body dysmorphic disorder in
different settings: a systematic review and estimated weighted prevalence. Body Image. 2016;18:168–86. https://doi.org/10.1016/j.bodyim.2016.07.003. 7. Veale D, Gledhill LJ, Christodoulou P, Hodsoll J. Body dysmorphic disorder in
different settings: a systematic review and estimated weighted prevalence. Body Image. 2016;18:168–86. https://doi.org/10.1016/j.bodyim.2016.07.003. 8. Phillips KA, Menard W, Fay C. Gender similarities and differences in 200
individuals with body dysmorphic disorder. Compr Psychiatry. 2006;47(2):
77–87. https://doi.org/10.1016/j.comppsych.2005.07.002. 8. Phillips KA, Menard W, Fay C. Gender similarities and differences in 200
individuals with body dysmorphic disorder. Compr Psychiatry. 2006;47(2):
77–87. https://doi.org/10.1016/j.comppsych.2005.07.002. 9. Mosley PE. Bigorexia: bodybuilding and muscle dysmorphia. Eur Eat Disord
Rev. 2009;17(3):191-8. https://doi.org/10.1002/erv.897. 10. Campagna JD, Bowsher B. Prevalence of body dysmorphic disorder and
muscle dysmorphia among entry-level military personnel. Mil Med. 2016;
181(5):494–501. https://doi.org/10.7205/MILMED-D-15-00118. 11. Buhlmann U, Wilhelm S, Glaesmer H, Brähler E, Rief W. Fragebogen
körperdysmorpher Symptome (FKS): Ein screening instrument. Verhaltenstherapie. 2009;19(4):237–42. https://doi.org/10.1159/000246278. 11. Buhlmann U, Wilhelm S, Glaesmer H, Brähler E, Rief W. Fragebogen
körperdysmorpher Symptome (FKS): Ein screening instrument. Verhaltenstherapie. 2009;19(4):237–42. https://doi.org/10.1159/000246278. 12. Hautzinger M, Bailer M, Hofmeister D, Keller F. Allgemeine Depressionsskala:
Hogrefe; 2012. 12. Hautzinger M, Bailer M, Hofmeister D, Keller F. Allgemeine Depressionsskala:
Hogrefe; 2012. 13. Radloff LS. The CES-D scale: a self report depression scale for research in the
general population. Appl Psychological Measurements. 1977;1(3):385–401. https://doi.org/10.1177/014662167700100306. 13. Radloff LS. The CES-D scale: a self report depression scale for research in the
general population. Appl Psychological Measurements. 1977;1(3):385–401. https://doi.org/10.1177/014662167700100306. 14. Ethics approval and consent to participate
Thi
j
h
i
d
hi
l
l b
h This project has received ethical approval by the institutional reviewboard/
local EC of the Faculty of Philosophy at the University of Zurich, Switzerland
(12th of April 2017). All participants signed an informed consent to
participate prior to participation. Page 6 of 6 Drüge et al. BMC Psychiatry (2021) 21:294 Drüge et al. BMC Psychiatry (2021) 21:294 Drüge et al. BMC Psychiatry (2021) 21:294 Consent for publication
Not applicable. Competing interests On behalf of all authors, the corresponding author states that all authors
declare that they have no competing interests. Received: 17 November 2020 Accepted: 17 May 2021 Publisher’s Note Springer Nature remains neutral with regard to jurisdictional claims in
published maps and institutional affiliations.
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https://openalex.org/W2961662609
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https://hal.archives-ouvertes.fr/hal-02326666/file/2019Molecules_Italy.pdf
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English
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In Silico Repositioning of Cannabigerol as a Novel Inhibitor of the Enoyl Acyl Carrier Protein (ACP) Reductase (InhA)
|
Molecules/Molecules online/Molecules annual
| 2,019
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cc-by
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To cite this version: Luca Pinzi, Christian Lherbet, Michel Baltas, Federica Pellati, Giulio Rastelli. In Silico Repositioning
of Cannabigerol as a Novel Inhibitor of the Enoyl Acyl Carrier Protein (ACP) Reductase (InhA). Molecules, 2019, 24 (14), pp.E2567. 10.3390/molecules24142567. hal-02326666 Distributed under a Creative Commons Attribution 4.0 International License Received: 25 June 2019; Accepted: 13 July 2019; Published: 15 July 2019 Abstract: Cannabigerol (CBG) and cannabichromene (CBC) are non-psychoactive cannabinoids
that have raised increasing interest in recent years. These compounds exhibit good tolerability and
low toxicity, representing promising candidates for drug repositioning. To identify novel potential
therapeutic targets for CBG and CBC, an integrated ligand-based and structure-based study was
performed. The results of the analysis led to the identification of CBG as a low micromolar inhibitor
of the Enoyl acyl carrier protein (ACP) reductase (InhA) enzyme. Keywords: drug repurposing; molecular modelling; cannabinoids; ligand-based virtual screening;
docking; BEAR; natural products In Silico Repositioning of Cannabigerol as a Novel
Inhibitor of the Enoyl Acyl Carrier Protein (ACP)
Reductase (InhA) Luca Pinzi , Christian Lherbet , Michel Baltas , Federica Pellati
and Giulio Rastelli
1
Department of Life Sciences, University of Modena and Reggio Emilia, Via Giuseppe Campi 103,
41125 Modena, Italy
2
LSPCMIB, UMR-CNRS 5068, Université Paul Sabatier-Toulouse III, 118 route de Narbonne,
31062 Toulouse CEDEX 9 France y
2
LSPCMIB, UMR-CNRS 5068, Université Paul Sabatier-Toulouse III, 118 route de Narbonne,
31062 Toulouse CEDEX 9, France 2
LSPCMIB, UMR-CNRS 5068, Université Paul Sabatier-Toulouse III, 118 route de Narbonne,
31062 Toulouse CEDEX 9, France *
Correspondence: giulio.rastelli@unimore.it; Tel.: +39-059-2058564 molecules molecules Molecules 2019, 24, 2567; doi:10.3390/molecules24142567 www.mdpi.com/journal/molecules HAL Id: hal-02326666
https://hal.science/hal-02326666v1
Submitted on 18 Nov 2020 L’archive ouverte pluridisciplinaire HAL, est
destinée au dépôt et à la diffusion de documents
scientifiques de niveau recherche, publiés ou non,
émanant des établissements d’enseignement et de
recherche français ou étrangers, des laboratoires
publics ou privés. HAL is a multi-disciplinary open access
archive for the deposit and dissemination of sci-
entific research documents, whether they are pub-
lished or not. The documents may come from
teaching and research institutions in France or
abroad, or from public or private research centers. Distributed under a Creative Commons Attribution 4.0 International License molecules 1. Introduction In recent decades, increasing research efforts have been directed towards identifying novel
drugs based on unexplored chemical scaffolds. However, the rate of drug approvals has become
stable, with only a small number of the developed chemical entities entering in therapeutic use,
or even in clinical trials [1–4]. As a consequence, discovery strategies have been adopted to reduce
failures, time efforts and expenses; in this context, drug repurposing has become one of the most
successful strategies to reduce failures typically associated with drug discovery. Drug repurposing
consists of identifying novel therapeutic uses for already approved drugs and/or clinical candidates,
as it might allow circumventing preclinical optimization issues, such as adverse toxicology profiles. Although most drug repurposing success stories derive from serendipity, current efforts are mainly
directed toward rationally predicting repurposing through systematic analysis of bioactivity data with
computational approaches. Indeed, in silico methods have been successfully used to help delineating
new drug repurposing opportunities [5–7]. Several ligand-based and structure-based virtual screening
approaches are currently available to support drug discovery programs. However, each in silico
method alone could not be sufficiently able to model the complex interplay between drugs and targets,
because of intrinsic limitations [8]. Therefore, the combination of ligand-based and structure-based
methods is expected to: (i) provide more robust results; (ii) help overcoming intrinsic limitations of
single approaches, and; (iii) complement each other in a drug discovery workflow [8–10]. Interestingly,
the combination of ligand-based and structure-based approaches have already been successfully used
to identify molecular targets for Mycobacterium tuberculosis phenotypic hits [11]. y
g
y
p
yp
At present, most drug repurposing studies rely on the analysis of bioactivity data of compounds
deriving from chemical synthesis. However, other valuable opportunities might come from natural
products [12–14]. Natural products are characterized by a great structural diversity, and can provide 2 of 9 Molecules 2019, 24, 2567 novel chemical entities to be properly optimized in drug discovery campaigns. In this context,
cannabinoids, which are terpenophenolics widely present in different varieties of Cannabis sativa L.,
are a very interesting class of bioactive compounds [15]. In particular, the pharmacological profile of
non-psychoactive cannabinoids makes them the leading actors of the vast majority of scientific papers
related to the fiber-type variety, which is commonly known as industrial hemp or hemp [16]. 1. Introduction Among
these compounds, cannabidiol (CBD) represents the best known example from a pharmaceutical point
of view, possessing antioxidant, anti-inflammatory, antibacterial, anti-proliferative, neuroprotective
and anticonvulsant properties [15,16]. Cannabigerol (CBG) and cannabichromene (CBC) are other
non-psychoactive cannabinoids (Figure 1a), which can be found in C. sativa inflorescences; they are
both characterized by antibacterial activity, together with anti-inflammatory and anti-proliferative
properties [17]. Since the above-mentioned compounds represent good candidates for drug repositioning, the aim
of this work was to develop and apply an integrated ligand- and structure-based in silico procedure
to unveil possible biological targets of non-psychoactive cannabinoids to be used in future drug
discovery campaigns. 2. Results and Discussion Specifically, (a) reports the structures of CBG, 5PP and CBC. The chiral center in CBC is
highlighted with a red star. (b) reports the shape-based alignment obtained for CBG (dark teal sticks)
Figure 1. Chemical structures and ligand-based alignments of CBG and CBC predicted with ROCS [25]. Specifically, (a) reports the structures of CBG, 5PP and CBC. The chiral center in CBC is highlighted
with a red star. (b) reports the shape-based alignment obtained for CBG (dark teal sticks) and the S
stereoisomer of CBC (dark grey sticks) with the 5PP (orange thinner sticks) compound. Figure 1. Chemical structures and ligand-based alignments of CBG and CBC predicted with ROCS
[25]. Specifically, (a) reports the structures of CBG, 5PP and CBC. The chiral center in CBC is
highlighted with a red star. (b) reports the shape-based alignment obtained for CBG (dark teal sticks)
Figure 1. Chemical structures and ligand-based alignments of CBG and CBC predicted with ROCS [25]. Specifically, (a) reports the structures of CBG, 5PP and CBC. The chiral center in CBC is highlighted
with a red star. (b) reports the shape-based alignment obtained for CBG (dark teal sticks) and the S
stereoisomer of CBC (dark grey sticks) with the 5PP (orange thinner sticks) compound. Figure 1. Chemical structures and ligand-based alignments of CBG and CBC predicted with ROCS
[25]. Specifically, (a) reports the structures of CBG, 5PP and CBC. The chiral center in CBC is
highlighted with a red star. (b) reports the shape-based alignment obtained for CBG (dark teal sticks)
Figure 1. Chemical structures and ligand-based alignments of CBG and CBC predicted with ROCS [25]. Specifically, (a) reports the structures of CBG, 5PP and CBC. The chiral center in CBC is highlighted
with a red star. (b) reports the shape-based alignment obtained for CBG (dark teal sticks) and the S
stereoisomer of CBC (dark grey sticks) with the 5PP (orange thinner sticks) compound. and the S stereoisomer of CBC (dark grey sticks) with the 5PP (orange thinner sticks) compound. Although CBC and CBG showed good shape similarity with the 5PP inhibitor, the two
compounds were also docked in the InhA crystal structure (PDB code: 2B36) [20], as described in the
“Material and Methods” section. This analysis made it possible to assess whether the investigated
compounds also possess good steric and electrostatic complementarity with the InhA binding site. 2. Results and Discussion The 2B36 crystal structure was preferred among others available for InhA, because the enzyme is in
complex with 5PP [20]. Indeed, the selection of suitable receptor conformations for docking by means
of the similarity between the crystallographic and the screening ligands is among one of the most
used methods to improve structure-based virtual screening results [9,26]. Docking analyses were
performed with Glide and the Induced Fit Docking protocol available with the Schrödinger suite
2018-3, [27,28]. At this stage of the analysis, different docking protocols, i.e., rigid (Glide) and flexible
(Induced Fit), were performed to evaluate whether small structural changes, due, e.g., to receptor
flexibility of InhA, might affect ligand binding [29]. To assess the ability of the docking protocol to
reproduce the native orientation of the crystallographic ligand, redocking of 5PP into its own 2B36
crystal structure was first performed as a control (see Figure S1 in the Supporting Information), with
the evaluated Root Mean Square Deviation (RMSD) being below 2.0 Å. Then, docking of CBG and
CBC was performed. A visual inspection of the docking complexes with the best score predicted with
Glide showed that CBG could accommodate into the InhA binding site by adopting an orientation
similar to that of 5PP (Figure 2a). Interestingly, one of the hydroxyl groups of CBG is involved in a
H-bond network of interactions with both Tyr158 and the 2′-hydroxyl group of NADH, similarly to
5PP [20]. These interactions are recognized to be particularly important for the catalytic activity of
InhA [20,30]. The phenol ring provides stacking interactions with the nicotinamide ring of NADH. The 3,7-dimethylocta-2,6-dienyl moiety was predicted to be accommodated between the Phe97,
Although CBC and CBG showed good shape similarity with the 5PP inhibitor, the two compounds
were also docked in the InhA crystal structure (PDB code: 2B36) [20], as described in the “Material and
Methods” section. This analysis made it possible to assess whether the investigated compounds also
possess good steric and electrostatic complementarity with the InhA binding site. The 2B36 crystal
structure was preferred among others available for InhA, because the enzyme is in complex with
5PP [20]. Indeed, the selection of suitable receptor conformations for docking by means of the similarity
between the crystallographic and the screening ligands is among one of the most used methods to
improve structure-based virtual screening results [9,26]. 2. Results and Discussion To identify potential targets of CBG and CBC that could be of therapeutic interest, a 3D ligand-based
virtual screening was first performed within the DrugBank database [18]. Indeed, this approach has
already demonstrated to provide valuable results for drug repurposing, allowing the identification
of structurally unrelated compounds with similar bioactivities [19]. Among the available databases,
the DrugBank was selected because it provides a comprehensive list of approved and investigational
drugs, with trustful bioactivity annotations on relevant therapeutic targets. The DrugBank was first
prepared for the 3D ligand-based similarity analyses (see “Materials and Methods” section for details). Then, the DrugBank compounds were subjected to a 3D similarity screening against the generated
CBG and CBC multi-conformer queries. This analysis allowed prioritizing potential therapeutic targets
according to the degree of similarity of CBG and CBC with respect to the DrugBank compounds. Visual
inspection of the predicted alignments allowed the identification of the Enoyl acyl carrier protein (ACP)
reductase (InhA) enzyme as a potential target for both CBG and CBC. In fact, according to the ligand
alignments, both cannabinoids resulted to be similar to 5-pentyl-2-phenoxyphenol (5PP, DrugBank ID:
DB07178) (Figure 1b), which is a small molecular weight inhibitor of InhA [20]. Ligand similarities are
reported in Table S1 of the Supporting Information. In particular, according to the obtained alignments,
the 5-pentyl-1,3-dihydroxyphenyl moiety of CBG overlapped well with the 5-pentyl-2-phenoxy group
of 5PP, while the 3,7-dimethylocta-2,6-dienyl moiety of CBG provides looser superimposition with the
phenyl group of 5PP. Regarding CBC, the n-pentyl-chromene-5-ol group provided a less favorable
overlap with the 5-pentyl-2-phenoxy group of 5PP, this moiety occupying significant larger volume
with respect to the hydroxyphenyl group of 5PP. Good ligand-based alignments of CBC and CBG with other cannabinoids reported in the DrugBank
database were also found (see Table S1 in the Supporting Information), such as cannabidiol (DrugBank
ID: DB09061) and dronabinol (DrugBank ID: DB00470), which have recently been approved for treating
epilepsy in children and nausea associated with cancer chemotherapy, respectively [21,22]. However,
we decided to focus our attention to the InhA enzyme, which is a validated target of well-known
antitubercular drugs [23,24]. 3 of 9
3 of 9 Molecules 2019, 24, 2567
Molecules 2019 24 x FO ecules 2019, 24, 2567
3 o
olecules 2019, 24, x FOR PEER REVIEW
3
Figure 1. Chemical structures and ligand-based alignments of CBG and CBC predicted with ROCS
[25]. 2. Results and Discussion Specifically, (a) and (b) report the predicted binding modes of CBG (dark teal sticks) and the S
ti
f CBC (d
k
ti k ) i t
th
I hA
t
ti
l
NADH i
t d
Figure 2. Docking poses of CBG and CBC into the 2B36 crystal structure predicted with Glide. Specifically, (a,b) report the predicted binding modes of CBG (dark teal sticks) and the S enantiomer of
CBC (dark grey sticks) into the InhA receptor, respectively. NADH is reported as raspberry sticks. raspberry sticks. Based on these results, CBG turned out to be the best candidate for inhibition of InhA. In fact,
although CBC resulted structurally similar to the 5PP inhibitor according to the ligand-based
analyses, it could not be accommodated as good as CBG within the InhA enzyme with docking. To
test this prediction, CBG and CBC were purchased from Sigma-Aldrich (Milano, Italy) and then
tested for the inhibition of the InhA enzyme activity, as described in the “Material and Methods”
section [36]. Notably, the experiments confirmed that CBG inhibits InhA with low micromolar
inhibitory activity, the evaluated IC50 being 5.2 ± 0.1 µM (see Table 1, and Figure S4 in the Supporting
Information). On the contrary, CBC turned out to be inactive or scarcely active (Table 1), in agreement
with the structure-based results. Different results were obtained for CBC, for which structure-based predictions did not agree
with the ligand-based alignment. In particular, the S stereoisomer of CBC, which provided the best
score in the docking calculations, was predicted to bind InhA with a binding mode that is head-to-tail
with respect to that of 5PP in the crystal structure (Figure 2b and Figure S2). The different binding
mode likely originates from steric repulsion of the 2-(4-methylpent-3-enyl) moiety of CBC with the
NADH cofactor. In this binding mode, the S stereoisomer of CBC is engaged in H-bonds with both
Tyr158 and the 2′-hydroxyl group of NADH, such as 5PP [20]. On the contrary, docking of the R
enantiomer of CBC into the 2B36 crystal structure provided a binding pose that did not establish
relevant H-bond interactions with the InhA binding site residues or NADH; therefore, this stereoisomer
was not further considered. To further refine the results obtained with Glide, a rescoring of the
predicted docking poses was performed with BEAR [31]. 2. Results and Discussion Docking analyses were performed with Glide
and the Induced Fit Docking protocol available with the Schrödinger suite 2018-3, [27,28]. At this stage
of the analysis, different docking protocols, i.e., rigid (Glide) and flexible (Induced Fit), were performed
to evaluate whether small structural changes, due, e.g., to receptor flexibility of InhA, might affect
ligand binding [29]. To assess the ability of the docking protocol to reproduce the native orientation of
the crystallographic ligand, redocking of 5PP into its own 2B36 crystal structure was first performed as
a control (see Figure S1 in the Supporting Information), with the evaluated Root Mean Square Deviation
(RMSD) being below 2.0 Å. Then, docking of CBG and CBC was performed. A visual inspection of the
docking complexes with the best score predicted with Glide showed that CBG could accommodate into
the InhA binding site by adopting an orientation similar to that of 5PP (Figure 2a). Interestingly, one of
the hydroxyl groups of CBG is involved in a H-bond network of interactions with both Tyr158 and the
2′-hydroxyl group of NADH, similarly to 5PP [20]. These interactions are recognized to be particularly
important for the catalytic activity of InhA [20,30]. The phenol ring provides stacking interactions
with the nicotinamide ring of NADH. The 3,7-dimethylocta-2,6-dienyl moiety was predicted to be
accommodated between the Phe97, Met103 and the Ala198 residues, while the n-pentyl group binds
near to the Phe149, Met155, Tyr158 and Leu218 residues, establishing hydrophobic contacts. 4 of 9
ceptor Molecules 2019, 24, 2567
demonstrating tha
fl
ibili
f I hA ( Figure 2. Docking poses of CBG and CBC into the 2B36 crystal structure predicted with Glide. Specifically, (a) and (b) report the predicted binding modes of CBG (dark teal sticks) and the S
enantiomer of CBC (dark grey sticks) into the InhA receptor respectively NADH is reported as
Figure 2. Docking poses of CBG and CBC into the 2B36 crystal structure predicted with Glide. Specifically, (a,b) report the predicted binding modes of CBG (dark teal sticks) and the S enantiomer of
CBC (dark grey sticks) into the InhA receptor, respectively. NADH is reported as raspberry sticks. Figure 2. Docking poses of CBG and CBC into the 2B36 crystal structure predicted with Glide. 2. Results and Discussion Indeed, BEAR has already demonstrated
to improve docking results in a variety of virtual screening campaigns and retrospective validations,
including also the enoyl ACP reductase target [32–35]. Therefore, it represents a valuable approach to
refine docking results. Interestingly, BEAR provided MM-PBSA free-energies of binding clearly in
favor of cannabigerol, the evaluated free energy scores being −28 Kcal·mol−1 and −20 Kcal·mol−1 for
CBG and CBC (S stereoisomer), respectively. Induced Fit docking experiments confirmed Glide results. In fact, docking poses with the
best score predicted by the Induced Fit protocol superimposed well with those obtained by Glide,
thus demonstrating that the predicted CBC and CBG binding modes were not affected by receptor
flexibility of InhA (see Figure S3 of the Supporting Information). Based on these results, CBG turned out to be the best candidate for inhibition of InhA. In fact,
although CBC resulted structurally similar to the 5PP inhibitor according to the ligand-based analyses,
it could not be accommodated as good as CBG within the InhA enzyme with docking. To test this
prediction, CBG and CBC were purchased from Sigma-Aldrich (Milano, Italy) and then tested for
the inhibition of the InhA enzyme activity, as described in the “Material and Methods” section [36]. Notably, the experiments confirmed that CBG inhibits InhA with low micromolar inhibitory activity,
the evaluated IC50 being 5.2 ± 0.1 µM (see Table 1, and Figure S4 in the Supporting Information). On the contrary, CBC turned out to be inactive or scarcely active (Table 1), in agreement with the
structure-based results. 5 of 9 Molecules 2019, 24, 2567 Table 1. Inhibitory activity of CBG and CBC. Triclosan was used as a positive control for the assays Table 1. Inhibitory activity of CBG and CBC. Triclosan was used as a positive control for the assays. Compound
% Inhibition at 50 µM
IC50 (µM) a
CBG
78
5.2 ± 0.1
CBC
31
b nd
Triclosan (TCL)
100 (56% at 0.3 µM)
a The reported IC50 values are the mean of three experiments ± SD. b Not determined. Finally, docking complexes were used to suggest which structural modifications of CBG
could potentially improve the activity of this cannabinoid. In particular, the substitution of the
3,7-dimethylocta-2,6-dienyl moiety of CBG with aromatic rings able to fit in the pocket lined by
Met98, Phe97, Pro99, Gln100, Met103 and Ala198 could improve binding to InhA [20,37,38]. 2. Results and Discussion Likewise,
substitutions of the n-pentyl moiety of CBG with cyclic aliphatic or aryl groups would provide
additional van der Waals contacts with the Phe149, Met155, Pro193, Ile215 and Leu218 residues, which
are expected to provide improved activity for InhA, as already observed for other InhA inhibitors [39]. 3.1. Ligand-Based Virtual Screening on the DrugBank Database Compounds with associated bioactivity annotations were first retrieved from the DrugBank
database (www.drugbank.ca, accessed on April 20, 2018) [18]. Then, compounds with recognized toxic
and reactive functional groups or transition metals, and a molecular weight lower than 150 or higher
than 850 Da were removed, yielding a database of 6014 unique compounds. The FILTER software
(OpenEye, Santa Fe, Mexico) was used for the filtering calculations [40]. Afterwards, all combinations
of stereoisomers, ionization states and tautomers potentially present at neutral pH were generated for
both the investigated cannabinoids and the filtered DrugBank ligands by using the Quacpac python
toolkits [41]. Pre-defined chiralities were kept unaltered and pre-treated structures were minimized
according to the MMFF force field [42]. Finally, up to 10 and 600 conformers were generated for the
investigated cannabinoids and the filtered DrugBank compounds, respectively. A cutoffof 0.5 Å on
RMSD and an energy window of 10 kcal/mol were used as parameters to accept conformers during the
conformational sampling with the OMEGA software [40,43]. A multi-conformer versus multi-conformer 3D shape-based virtual screening was performed
to evaluate the similarity profile of the investigated cannabinoids with respect to the filtered
DrugBank compounds. The ROCS software (version 3.2.1.4) was used as the engine for the similarity
calculations [25,44]. Finally, ligand alignments were visually inspected, and the activity annotations of
the DrugBank compounds were carefully analyzed. 3.2. Structure-Based Virtual Screening on Enoyl Acyl Carrier Protein (ACP) Reductase 3.2. Structure-Based Virtual Screening on Enoyl Acyl Carrier Protein (ACP) Reductase The InhA crystal structure (PDB code: 2B36) was first downloaded and pre-processed with the
Protein Preparation Wizard module available within the Schrödinger Suite 2018-3 [20,45]. In particular,
atom types and bond connectivity issues in the downloaded crystal structure were fixed. Moreover,
missing side chains were rebuilt by using Prime (version 5.3) [46]. Then, hydrogen atoms were added
to the pre-treated crystal structures and their coordinates were energy-minimized. Finally, ions, solvent
and water molecules were removed. Docking calculations were performed by using both Glide (version 8.0.012) and the Induced
Fit Docking protocol available within the Schrödinger Suite (New York, NY, USA) 2018-3 [27,28]. The NADH cofactor was included in the docking calculations and considered as a part of the receptor. In the case of Glide, receptor grids were generated around the coordinates of the bound ligands (outer
box of 10 Å × 10 Å × 10 Å), with rigid docking calculations performed by using default settings. Both the residues lining the protein-binding site and the NADH cofactor were considered as rigid
elements in the Glide calculations, while the “flexible” sampling mode was used for the ligand to 6 of 9 Molecules 2019, 24, 2567 determine the optimal ligand conformation and orientation (default settings). For each ligand, only the
pose with the best docking score was retained and visually inspected. In the case of Induced Fit
Docking, default settings were used for receptor grid generation, while the calculations for docking the
ligands into the 2B36 crystal structure were performed as follows. Firstly, the van der Waals radii of
the protein and ligand were scaled by a factor of 0.8, afterwards the compounds were docked into
the protein by using the default Glide SP protocol. Then, Prime was used to predict and optimize the
protein side chains around the ligand. In this stage of refinement, the residues within 5 Å of each
ligand pose were optimized, while the NADH cofactor was kept rigid. Other parameters were set to
the default. Finally, the poses were re-docked by using the Glide XP protocol and then scored. Twenty
poses with the best scores were retained for each ligand in the final step of the docking calculations to
be visually inspected. y
p
The docking procedure was validated by redocking the co-crystallized 5PP ligand into its crystal
structure prior to the cannabigerol (CBG) and cannabichromene (CBC) screening. 3.3. In Vitro Testing of the Compounds on the InhA Enzyme CBG, CBC, NADH and the Triclosan standard control were purchased from Sigma-Aldrich. Stock
solutions of the investigated compounds were prepared in DMSO to let their final concentration be
equal to 5% v/v, in a final volume of 1 mL for all kinetic reactions. Kinetic assays were performed by
using trans-2-dodecenoyl-coenzyme A (DDCoA) and wild type InhA, as previously described [49]. Briefly, reactions were performed at 25 ◦C in an aqueous buffer (30 mM PIPES and 150 mM NaCl
pH: 6.8), containing additionally 250 µM cofactor (NADH), 50 µM substrate (DDCoA) and the tested
compound (at 50 µM or 10 µM). Reactions were initiated by addition of InhA (50 nM final) and NADH
oxidation was followed at 340 nm. The inhibitory activity of each derivative was expressed as the
percentage inhibition of InhA activity (initial velocity of the reaction) with respect to the control reaction
without inhibitor. Triclosan was used as the positive control. All activity assays were performed in
triplicate. For the most potent compound, IC50 values were determined by using the 4-parameter
curve-fitting software XLFit (IDBS), with at least six points. 3.2. Structure-Based Virtual Screening on Enoyl Acyl Carrier Protein (ACP) Reductase Afterwards, CBG
and CBC were prepared with LigPrep for the docking calculations [47]. In particular, all combinations
of stereoisomers, ionization states and tautomers potentially present at physiological pH in aqueous
solution were first generated and then minimized according to the OPLS_2005 force field [48]. Finally,
compounds were docked in the InhA active site. Moreover, the BEAR tool, which integrates molecular
dynamics and binding free energy estimations with the aim of refining ligand-protein complexes and
estimate binding energetics, was applied to further refine docking results obtained with Glide [31–35]. Default settings were used for rescoring the docking poses with BEAR [31]. A final step of visual
inspection of the generated poses confirmed the selection of CBG and CBC as potential candidate
inhibitors to be experimentally tested on InhA. References 1. Kinch, M.S.; Haynesworth, A.; Kinch, S.L.; Hoyer, D. An overview of FDA-approved new molecular entities:
1827-2013. Drug Discov. Today 2014, 19, 1033–1039. [CrossRef] [PubMed] 1. Kinch, M.S.; Haynesworth, A.; Kinch, S.L.; Hoyer, D. An overview of FDA-approved new molecular entities:
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Matos, R.C.; Tran, T.B.; et al. Predicting new molecular targets for known drugs. Nature 2009, 462, 175–181. [CrossRef] 6. Defranchi, E.; Schalon, C.; Messa, M.; Onofri, F.; Benfenati, F.; Rognan, D. Binding of protein kinase inhibitors
to synapsin I inferred from pair-wise binding site similarity measurements. PLoS ONE 2010, 5, e12214. [CrossRef] 7. Nugent, T.; Plachouras, V.; Leidner, J.L. Computational drug repositioning based on side-effects mined from
social media. PeerJ Comput. Sci. 2016, 2, e46. [CrossRef] 8. March-Vila, E.; Pinzi, L.; Sturm, N.; Tinivella, A.; Engkvist, O.; Chen, H.; Rastelli, G. On the integration of in
silico drug design methods for drug repurposing. Front. Pharmacol. 2017, 8, 298. [CrossRef] 9. Pinzi, L.; Caporuscio, F.; Rastelli, G. Selection of protein conformations for structure-based polypharmacology
studies. Drug Discov. Today 2018, 23, 1889–1896. [CrossRef] 10. Rastelli, G.; Pinzi, L. Computational polypharmacology comes of age. Front. Pharmacol. 2015, 6, 157. [CrossRef] 11. 4. Conclusions Conflicts of Interest: The authors declare no competing financial interest. 4. Conclusions In summary, we described the application of an integrated ligand-based and structure-based
in silico repositioning approach to identify potential targets of non-psychoactive cannabinoids. The potential provided by the proposed approach was tested on cannabigerol (CBG) and
cannabichromene (CBC), leading to the identification of CBG as a low micromolar inhibitor of
the InhA enzyme. Indeed, naturally occurring cannabinoids are known to possess antibacterial activity
in various bacterial strains [17,50] but, to the best of our knowledge, their biological target(s) have
never been identified. Our study demonstrates that CBG is an InhA inhibitor. Interestingly, CBG is
a small molecular weight compound with a good safety profile. Therefore, it represents a valuable
starting point for the design of new synthetic derivatives with improved activity, thus paving the way
to novel interesting possibilities for the treatment of infectious diseases. Finally, our study showed
that integrating structure-based and ligand-based methods can lead to more accurate predictions 7 of 9 Molecules 2019, 24, 2567 of bioactive compounds [8]. This approach can be applied to efficiently repurpose any natural and
synthetic ligand towards other therapeutic targets of interest. of bioactive compounds [8]. This approach can be applied to efficiently repurpose any natural and
synthetic ligand towards other therapeutic targets of interest. Supplementary Materials: The following are available online at http://www.mdpi.com/1420-3049/24/14/2567/s1. Figure S1: superimposition of the 5PP binding modes predicted by Glide and the Induced fit protocols with its
crystallographic conformation; Figure S2: superimposition of the predicted ligand-based and structure-based
(with Glide) poses of CBC; Figure S3: CBG and CBC binding modes predicted by the Induced Fit Docking protocol;
Figure S4: the dose-response curve of CBG on InhA; Table S1: similarity values obtained with ROCS of CBC and
CBG with respect to the DrugBank ligands. Author Contributions: The manuscript was written through contributions of all authors. All of them have given
approval to the final version of the manuscript. G.R. conceived the study and performed the computational
structure-based calculations; L.P. performed the in silico ligand-based calculations and wrote the draft; C.L. and
M.B. performed the experimental assays; F.P. contributed to the set-up of the work and rationalization of the
results in natural product chemistry. Funding: The financial support by CNRS and Université Paul Sabatier is gratefully acknowledged. Acknowledgments: APC was sponsored by MDPI. We thank OpenEye Scientific Software, Inc., for a free academic
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protein reductase InhA by arylamides. Bioorg. Med. Chem. 2007, 15, 6649–6658. [CrossRef] 40. OMEGA 3.0.1.2: OpenEye Scientific Software, Santa Fe, NM, USA. Available online: http://www.eyesopen. com (accessed on 17 December 2018). 41. Quacpac Toolkit 2018.Oct.1 OpenEye Scientific Software, Santa Fe, NM, USA. Available online: http:
//www.eyesopen.com (accessed on 17 December 2018). 42. Halgren, T. Merck molecular force Field. 2. MMFF94 van der Waals and electrostatic parameters for
intermolecular interactions. J. Comput. Chem. 1996, 17, 520–552. [CrossRef] 43. References Hawkins, P.C.D.; Skillman, A.G.; Warren, G.L.; Ellingson, B.A.; Stahl, M.T. Conformer Generation with
OMEGA: Algorithm and Validation Using High Quality Structures from the Protein Databank and Cambridge
Structural Database. J. Chem. Inf. Model. 2010, 50, 572–584. [CrossRef] 44. ROCS 3.2.1.4: OpenEye Scientific Software, Santa Fe, NM, USA. Available online: http://www.eyesopen.com
(accessed on 22 July 2016). 45. Madhavi Sastry, G.; Adzhigirey, M.; Day, T.; Annabhimoju, R.; Sherman, W. Protein and ligand preparation:
parameters, protocols, and influence on virtual screening enrichments. J. Comput. Aided. Mol. Des. 2013, 27,
221–234. [CrossRef] 46. Jacobson, M.P.; Pincus, D.L.; Rapp, C.S.; Day, T.J.F.; Honig, B.; Shaw, D.E.; Friesner, R.A. A hierarchical
approach to all-atom protein loop prediction. Proteins 2004, 55, 351–367. [CrossRef] [PubMed] 47. Schrödinger Release 2018-3: LigPrep; Schrödinger: New York, NY, USA, 2018. 48. Shivakumar, D.; Williams, J.; Wu, Y.; Damm, W.; Shelley, J.; Sherman, W. Prediction of Absolute Solvation
Free Energies using Molecular Dynamics Free Energy Perturbation and the OPLS Force Field. J. Chem. Theory Comput. 2010, 6, 1509–1519. [CrossRef] [PubMed] 49. Menendez, C.; Chollet, A.; Rodriguez, F.; Inard, C.; Pasca, M.R.; Lherbet, C.; Baltas, M. Chemical synthesis
and biological evaluation of triazole derivatives as inhibitors of InhA and antituberculosis agents. Eur. J. Med. Chem. 2012, 52, 275–283. [CrossRef] [PubMed] 50. Appendino, G.; Chianese, G.; Taglialatela-Scafati, O. Cannabinoids: occurrence and medicinal chemistry. Curr. Med. Chem. 2011, 18, 1085–1099. [CrossRef] [PubMed] Sample Availability: Samples of the compounds are not available. © 2019 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/). © 2019 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/).
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Reliable Algorithms for Machine Learning Models: Implementation Research in Data Science
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International journal of recent technology and engineering
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cc-by
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International Journal of Recent Technology and Engineering (IJRTE)
ISSN: 2277-3878 (Online), Volume-10 Issue-6, March 2022 International Journal of Recent Technology and Engineering (IJRTE)
ISSN: 2277-3878 (Online), Volume-10 Issue-6, March 2022 International Journal of Recent Technology and Engineering (IJRTE)
ISSN: 2277-3878 (Online), Volume-10 Issue-6, March 2022 International Journal of Recent Technology and Engineering (IJRTE)
ISSN: 2277-3878 (Online), Volume-10 Issue-6, March 2022 II. Index Terms: Machine Learning (ML), Supervised Learning,
Unsupervised Learning, Reinforcement Learning, KNN, K-
Means Clustering. Index Terms: Machine Learning (ML), Supervised Learning,
Unsupervised Learning, Reinforcement Learning, KNN, K-
Means Clustering. In the modern-day, the question “Can a machine think?”
has been replaced by “Can machine performs tasks that we
can do?” which signifies that a fundamentally operational
definition has been replaced by a cognitive one. The term
Machine Learning was first coined by Arthur Samuel who
was a pioneer in the field of artificial intelligence and
computer gaming. It was interchangeably used with terms
like self-teaching computer that was majorly used for
pattern recognition and classification. Now, machine
learning has two objectives, one is to classify the data as per
the applied model and algorithm, the other one is to predict
the future outcome based on these models. Reliable Algorithms for Machine Learning Models:
Implementation Research in Data Science Kajal Singh, Anukriti Mukherjee Abstract: Machine Learning generates programs that make
predictions and informed decisions about complex problems in
an efficient and reliable way. These ML programs autonomously
test solutions against the dataset to find the best fit for the
problem. The paper aims to review the ML algorithms that
develop prediction models by utilizing training dataset and known
output. The paper also focuses on ML principles, algorithms,
approaches, and applications for Supervised, Unsupervised, and
Reinforcement learning that can perform tasks without being
explicitly programmed for it. Completely opposite to rule-based
programming, the machine learning paradigm uses examples of
real data sets and pre-process it before providing the desired
outputs based on these examples. In the case of more involved
and complex tasks, it can be challenging for humans to explicitly
program the models. On the other hand, it can be more effective
to help the machines develop the algorithms for advanced tasks. This paper will also present the trending real-world applications
of Machine Learning in Image Recognition and Biomedicine. Additionally, it will provide a background analysis of machine
learning and related fields of data science. Based on the provided training dataset, the predicted output
by Supervised Learning can be of two types: Regression and
Classification. Unsupervised Learning is a method that
trains the model without any sort of supervision [6]. Based
on the predicted output by unsupervised learning, it can be
of two types: Clustering and Association. Reinforcement is a
type of learning that tends to keep on improving the model
accuracy by interacting with the environment constantly [7]. There are several real-world applications of ML that are
vigorously being implemented in business analytics,
biomedicine, image recognition, product recommendation,
self-driving cars, Google translators, Amazon Alexa, and
Apple Siri voice assistants. In the data-driven modern world,
the data is being produced at a massive rate that signifies an
emerging scope of machine learning in various other fields
like the automotive industry, eCommerce, cloud computing,
robotics, and quantum computing [8]. I. Machine Learning is an emerging technology that
deploys
various
mathematical
algorithms
to
learn
automatically from the provided dataset. As a result, the ML
models not only provide predicted output but also improvise
the programs based on previous experiences without being
explicitly programmed to do so [1]. Humans are bound to
learn from their experiences and make decisions based on
these learnings [2]. Similarly, ML makes machines behave
like humans and learn from the data to make accurate and
effective predictive models [3]. In a data-driven world, it is
impossible for humans to manually process data and
generate predictions. This is where machine learning is
applied to solve complex problems [4]. It even identifies
hidden patterns in the data extracting meaningful insights
and making effective predictions for the users [5]. ML can
be broadly classified into three categories: Supervised
Learning, Unsupervised Learning, and Reinforcement
Learning. Artificial Intelligence Vs Machine Learning Around the 1970s, machine learning was a part of the AI
revolution but later, it branched off where it evolved on its
own. AI is essentially a system that is based on human-made
thinking power that does not require to be pre-programmed. They utilize algorithms that can work with their own
intelligence. ML is a type of AI that utilizes supervised or
unsupervised data to make predictions or calculated
decisions without explicitly programming it. ML enables the
system to continue learning and improving based on the
provided mathematical data models. Manuscript received on February 16, 2022. Revised Manuscript received on February 21, 2022. Manuscript published on March 30, 2022. * Correspondence Author
Kajal
Singh*
Business
Intelligence
Analyst
Schneider
Electric Manuscript received on February 16, 2022. Revised Manuscript received on February 21, 2022. Manuscript published on March 30, 2022. * Correspondence Author
Kajal Singh*, Business Intelligence Analyst, Schneider Electric,
Bangalore, India. Email: kjlsingh65@gmail.com
Anukriti Mukherjee, Programmer Analyst, Cognizant Technology
Solutions, Kolkata, India. Email: anukriti98@gmail.com Manuscript received on February 16, 2022. Revised Manuscript received on February 21, 2022. Manuscript published on March 30, 2022. * Correspondence Author III.
ALGORITHMS Machine Learning Algorithms develop predictive models to
showcase interesting patterns such as trends or anomalies
from complex data. These algorithms have the potential to
create significant value out of the dataset that can be
implemented for various projects. There are many ML
algorithms that can be broadly classified into three
categories: The classification algorithm is based on the below model
function: •
Statistics Vs Machine Learning simpler to implement and less complex as compared to other
ML algorithms. On the other hand, if there is an anomaly in
the provided training data set then it can affect the algorithm
badly giving unexpected results. Additionally, it assumes the
linear relation between all the variables hence is rarely used
for real-world cases. •
Statistics Vs Machine Learning
Statistics and ML are closely related fields in terms of the
methodologies but different in their principle output. Where
Statistical methods are more focused on providing the
population inferences from the provided set of samples, ML
models are utilized to provide generalized predictive
patterns. Michael Jordan suggested that the idea of ML
methods have been used for statistical calculations based on
which he suggested to term the overall field as Data Science. 2. Classification
The Classification algorithm generates a predictive model
that segregates the input data into specific class labels based
on supervised learning. Here, the training data set must
sufficiently cover all possible scenarios to accommodate the
class labels by including examples of each case. Classification algorithms are suitable for categorical
problems based on the training dataset where they learn
from the provided observations and further classify the new
observations into various sections. Some classification
problems can cover cases like yes/no and 1/0. In regression,
the model deals with the continuous values but under
classification, it segregates the data into categories. A. A Supervised Learning algorithm generates the model that
will provide predictions based on the training dataset and
known output. This learning has been utilized in various
real-world projects to predict accurate results such as
detecting anomalies from a pattern. The model keeps on
correcting over time until the error is minimized sufficiently. In short, this algorithm uses a training data set that includes
input values X and output values Y where the mapping
function will keep on learning based on the variables. y = f(x) Here, the discrete output y is mapped to the input value x. As a result, we can get a predicted output belonging to a
specific category. Graph 1.2 Y = f(X) The aim is to train the algorithm so well that when we
supply input value X, it should be able to predict the output
value Y accurately. This is called Supervised Learning as
the model trains and supervises the learning process. Supervised Learning Algorithms can be further classified
into 2 categories: Data Mining Vs Machine Learning ML and Data Mining are closely related as they employ
similar methodologies. Data Mining is focused on the
analysis of the unknown properties of the data where it
employs ML models but with different purposes. On the
other hand, ML focuses on prediction based on the historical
data models where it can utilize the data mining techniques
as unsupervised algorithms to improve the model’s
accuracy. p
y
Manuscript published on March 30, 2022. Kajal Singh*, Business Intelligence Analyst, Schneider Electric,
Bangalore, India. Email: kjlsingh65@gmail.com Anukriti Mukherjee, Programmer Analyst, Cognizant Technology
Solutions, Kolkata, India. Email: anukriti98@gmail.com © The Authors. Published by Blue Eyes Intelligence Engineering and
Sciences Publication (BEIESP). This is an open access article under the CC
BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/) 102
Published By:
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and Sciences Publication (BEIESP)
© Copyright: All rights reserved. C
accuracy. 102
Published By:
Blue Eyes Intelligence Engineering
and Sciences Publication (BEIESP)
© Copyright: All rights reserved. Retrieval Number: 100.1/ijrte.F68710310622
DOI: 10.35940/ijrte.F6871.0310622
Journal Website: www.ijrte.org Published By:
Blue Eyes Intelligence Engineering
and Sciences Publication (BEIESP)
© Copyright: All rights reserved. International Journal of Recent Technology and Engineering (IJRTE)
ISSN: 2277-3878 (Online), Volume-10 Issue-6, March 2022 International Journal of Recent Technology and Engineering (IJRTE)
ISSN: 2277-3878 (Online), Volume-10 Issue-6, March 2022 The commonly used supervised algorithm is discussed
below:
• The commonly used supervised algorithm is discussed
below:
• •
Hierarchical Clustering: Under this, the data points are
grouped together based on various features. The self-
learning capability keeps on grouping the data until the
hierarchy between the data points is created. •
Hierarchical Clustering: Under this, the data points are
grouped together based on various features. The self-
learning capability keeps on grouping the data until the
hierarchy between the data points is created. •
KNN Clustering: K Nearest neighbor or KNN is a type
of unsupervised learning producing output that is easy
to interpret and consumes lesser calculation time. KNN
algorithm considers the variable value “K” to choose
the nearest neighbors. This value of K affects the class
boundaries that segregate the dataset. For any training
sample, choosing K=1 will always give the error rate
as 0. •
K- Means Clustering: This method is focused on
determining the centroid of the clusters and makes sure
that the distance between the data points and the centroid
is as less as possible. This type of unsupervised learning
keeps on improving the performance of the model while
also maintaining the distance between the clusters. Further, these clusters can be named as required for
predicting the output for input data points. 2. Association Association is a type of unsupervised learning where it
determines the relationship between data items. This
dependency is leveraged to predict the output for new input
data items. Unlike other prescriptive models, the association
rule is descriptive in nature that determines the data points
dependency in terms of rules. The association rule works on
the logic of the If and Else clause whereas if we have A then
we will get B. Association is a type of unsupervised learning where it
determines the relationship between data items. This
dependency is leveraged to predict the output for new input
data items. Unlike other prescriptive models, the association
rule is descriptive in nature that determines the data points
dependency in terms of rules. The association rule works on
the logic of the If and Else clause whereas if we have A then
we will get B. p
y
Principle p
y
Principle 1. Unsupervised Algorithm works with un-labeled data
and finds unknown patterns through self-learning
models. 2. The determined patterns are useful to predict the
association, clustering, and categorization of the input
dataset. g
1. Clustering 1. Clustering g
Clustering is a type of unsupervised learning where it
determines the pattern in the data with the purpose of
generating groups or clusters. These groups can be based on
various factors like shape, size, color, etc. The model keeps
on learning from the data and identifies similarities to
pinpoint the hidden patterns. In this way, the algorithm will
classify the data into clusters and generate the output based
on the clustered data. Unsupervised Learning An Unsupervised learning algorithm generates the model
that detects the pattern from the data on its own. In
comparison to supervised algorithms, it is computationally
complex and less accurate. The algorithm deals with un-
labeled dataset and recognizes unknown patterns that
determine the answers for the input dataset. It can be useful
in finding anomalies and outliers in the data by self-
organizing and determining the pattern based on the
probability density. 2. Association 1.
Regression Graph 1.2 1. Regression Under this type, the model predicts the output as continuous
numerical values by establishing the relationship between
the dependent and independent variables. Regression is a
type of supervised algorithm as it finds the linear correlation
for target variables and independent ones. Most common
regression problems include predicting the employee’s
salary, house price, etc. Graph 1.2 shows the dataset being categorized into class 1
and class 2. Machine learning algorithm utilizes the pre-
categorized training dataset to classify the future data into
learned categories. The algorithm works on the concept of
determining the likelihood of a particular type of training
dataset
falling
into
a
predetermined
category. A
classification algorithm is a type of pattern recognition
based on which a similar pattern is determined for the input
data. One of the common use cases for classification is to
filter the mails into “spam” or “non-spam” categories. Graph 1.1 Graph 1.1 Principle Principle 1. Supervised algorithm generates a model based on the
determined patterns of the training dataset. This learning
experience is further used to predict the output for the
future input dataset. 2. The learning experience also enables the models to
improve their accuracy that optimizes the overall
performance of the algorithm. p
g
3. The efficiency of supervised learning makes it the most
favorable algorithm to be utilized in real-world
applications. 3. The efficiency of supervised learning makes it the most
favorable algorithm to be utilized in real-world
applications. Graph 1.1 Published By:
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and Sciences Publication (BEIESP)
© Copyright: All rights reserved. Graph 1.1 shows the linear relationship between the
independent and dependent variables where data points are
following the line of regression. The Regression algorithm is Published By:
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Retrieval Number: 100.1/ijrte.F68710310622
DOI: 10.35940/ijrte.F6871.0310622
Journal Website: www.ijrte.org Retrieval Number: 100.1/ijrte.F68710310622
DOI: 10.35940/ijrte.F6871.0310622
Journal Website: www.ijrte.org 1
Retrieval Number: 100.1/ijrte.F68710310622
DOI: 10.35940/ijrte.F6871.0310622
Journal Website: www.ijrte.org 103 Graph 2.2 In graph 2.2, the “If” statement is known as Antecedent, and
“Then” statement is known as Consequent. We can find the
relation between two items and if the number of items
increases
then
the
association
rules
also
increase
accordingly. Following are the metrics to measure the
relation between the data items: In graph 2.2, the “If” statement is known as Antecedent, and
“Then” statement is known as Consequent. We can find the
relation between two items and if the number of items
increases
then
the
association
rules
also
increase
accordingly. Following are the metrics to measure the
relation between the data items: 3. This can also help in detecting the anomalies and
defects in the data based on which corrective measures
can be taken. Unsupervised learning can be further split up into 2 major
categories i.e. Clustering and Association. Unsupervised learning can be further split up into 2 major
categories i.e. Clustering and Association. a. Support: It is defined as the frequency of the Y
occurrence in relation to the total transactions. If there
are Y datasets with total transactions as T, then the
Support can be calculated as: C. Reinforcement Learning b. Digital Image Processing: With the digitization of
medical data from electronic health records to clinical
trial results, machine learning algorithms can help
predict, analyze, and categorize large biomedical
datasets. Machine Learning can have a revolutionary
impact on healthcare in terms of computer aided
diagnosis, personalized medicine, drug discovery,
multimodal image processing and image segmentation
[11]. Reinforcement learning is a type of hit and trial learning
where the machine keeps on learning from its successes and
failures. The machine learns from the environment based on
which the learning agent performs actions to improve the
accuracy of the model. As per the process, if the algorithm
predicts the correct output for any provided dataset then the
reinforcement signal is sent to further improve the model. Reinforcement learning is commonly used in software or
machines to predict the best possible option in a specific
situation. This is like supervised learning, but the
reinforcement
model
keeps
on
learning
from
the
environment unlike supervised where the answers are
provided with the training dataset and the model predicts the
output based on it. [
]
In recent studies, researchers have applied digital image
processing techniques to analyze tumors using Magnetic
Resonance Imaging [12]. Computer assisted diagnosis of
brain tumor classification is one of the most upcoming
applications of Machine Learning methods in medical
imaging. Evangelia I. Zacharaki et al. used pattern
classification, feature extraction and region of interest (ROI)
definition for differentiating different grades of gliomas. They observed that the SVM algorithm produced promising
results in computer-based brain tumor evaluation [13]. Jainy
Sachdeva et al. used a dual neural network essemble to
assist radiologists in successfully identifying primary brain
tumors such as astrocytoma and glioblastoma multiforme
[14]. Many ML can also be used for predicting the
recurrence of cancer. YucanXu et al. proposed a study to
predict the recurrence of cancer in Stage IV colorectal
cancer patients. They used Logistic Regression, Decision
Tree, Gradient Boosting and LightGBM, observing that the
gradient boosting and LightGBM models gave more
accurate predictions than the other two algorithms [15]. output based on it. Graph 3.1 p
g
c. Drug development: It is a complex process, comprising
multiple variables. Machine Learning can be used to
improve identification of prognostic biomarkers and
high-quality pathological data. ML approaches applied
to data collected during drug discovery can aid medical
decision making and reduce the failure rate of drug
development [16]. Reliable Algorithms for Machine Learning Models: Implementation Research in Data Science identifies the objects in the digital image based on the
supplied dataset. It is frequently used for facial
recognition in law enforcement to match the image
from the database of people. Association learning can broadly be classified into three
main algorithms: p
p
There are different methods that have evolved overtime
from machine learning and artificial intelligence, but the
core focus of image recognition is to differentiate the objects
in images. Using supervised algorithms, image recognition
deals with object detection from the training dataset to
create perceptions of how classes should look. This can be
used to identify the hidden patterns, color, places, shapes,
and many more from the input images. One of the common
machine learning models used for image recognition is
defined below: Support Vector Machines: SVM (Support
Vector Machines) model works on the concept of generating
the histograms that show good and bad examples of images
(supervised learning) and then these histograms are trained
with this learning. When the input image is supplied, the
model matches the various parts of the image with the
trained histogram model. 1. Apriori Algorithm: This algorithm generates the
dependency rules based on the frequent datasets. It
generally helps to understand the data that can be
brought together. g
g
2. Eclat Algorithm: Equivalence Class Transformation
algorithm deals with the frequent datasets but engages
in faster operation and execution than Apriori
algorithm. 3. F-P Growth Algorithm: Frequent Pattern Growth or F-
P Growth Algorithm extracts the most frequent
patterns from the dataset. It is the improved version of
Apriori that generates the patterns and showcases them
in the form of a tree structure. C. Reinforcement Learning Moe Elbadawi et al. describes the
challenges in conventional ML algorithms and the use of
advanced techniques to automate the process of drug
discovery, using Reinforcement Learning and Bayesian
Neural Networks [17]. c. Drug development: It is a complex process, comprising
multiple variables. Machine Learning can be used to
improve identification of prognostic biomarkers and
high-quality pathological data. ML approaches applied
to data collected during drug discovery can aid medical
decision making and reduce the failure rate of drug
development [16]. Moe Elbadawi et al. describes the
challenges in conventional ML algorithms and the use of
advanced techniques to automate the process of drug
discovery, using Reinforcement Learning and Bayesian
Neural Networks [17]. Graph 3.1 p
Under reinforcement learning, the model learns from the
experience and environment even in the absence of the
training dataset. Industrial automation and data processing
are some of the common practical applications for
Reinforcement learning. Retrieval Number: 100.1/ijrte.F68710310622
DOI: 10.35940/ijrte.F6871.0310622
Journal Website: www.ijrte.org b. Confidence: It is defined as the frequency of
occurrence of X and Y together in relation to the
frequency of X alone. In short, it determines how
frequently the association rule is found to be true. If
there are X and Y datasets, then Confidence can be
calculated as: Graph 2.1 c. Lift: It is defined as the observed support for X and Y in
relation to individual expected support for X and Y. In
short, it determines the strength of the association rule. g
If Lift = 1, then there is no association between the data
points. If Lift > 1, then the association between the data
points is positive. If Lift < 1, then the association between
the data points is negative. Graph 2.1 The above graph 2.1 shows the classification of the dataset
into 3 classes: Group 1, Group 2, and Group 3. The pattern
is generated using unsupervised learning by segregating the
data points based on the similarities. In the graph, the groups
are divided based on the color pattern. The commonly used
clustering algorithms are described below: 104
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d 104
Published By:
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and Sciences Publication (BEIESP)
© Copyright: All rights reserved. Retrieval Number: 100.1/ijrte.F68710310622
DOI: 10.35940/ijrte.F6871.0310622
Journal Website: www.ijrte.org Retrieval Number: 100.1/ijrte.F68710310622
DOI: 10.35940/ijrte.F6871.0310622
Journal Website: www.ijrte.org V.
CONCLUSION Kajal Singh is a Business Intelligence Analyst,
technologist, and researcher at Schneider Electric,
Bangalore, India. She holds a Bachelor of Technology
(B.Tech) degree in Electronics and Communication
Engineering Department from Vellore Institute of
Technology, Tamil Nadu, India (2020 graduated). She has
gained experience in data modeling, mapping, and project management and
further holds technical expertise in Oracle Business Intelligence Enterprise
Edition (OBIEE), Oracle Transactional Business Intelligence, Oracle
Analytics Cloud (OAC), Oracle Data Integrator (ODI) tools and techniques. Kajal is an Oracle certified Business Analytics Expert, Autonomous
DatabaseSpecialist, and government certified fitness trainer. She is
passionate about OAC Machine Learning, Artificial Intelligence,
Operations Management, and Workflow Analysis. She aspires to work in
the field of data-driven product management and is active on JIRA and
Confluence tools to adopt the relevant agile frameworks like Kanban for
her team projects. Kajal Singh is a Business Intelligence Analyst,
technologist, and researcher at Schneider Electric,
Bangalore, India. She holds a Bachelor of Technology
(B.Tech) degree in Electronics and Communication
Engineering Department from Vellore Institute of
Technology, Tamil Nadu, India (2020 graduated). She has
gained experience in data modeling, mapping, and project management and
further holds technical expertise in Oracle Business Intelligence Enterprise
Edition (OBIEE), Oracle Transactional Business Intelligence, Oracle
Analytics Cloud (OAC), Oracle Data Integrator (ODI) tools and techniques. Kajal is an Oracle certified Business Analytics Expert, Autonomous
DatabaseSpecialist, and government certified fitness trainer. She is
passionate about OAC Machine Learning, Artificial Intelligence,
Operations Management, and Workflow Analysis. She aspires to work in
the field of data-driven product management and is active on JIRA and
Confluence tools to adopt the relevant agile frameworks like Kanban for
her team projects. Machine Learning is a remarkable technology where it has
already proposed solutions for extremely complex problems
with supervised, unsupervised, and reinforcement learning
models. In the future, the improved machine learning
models will introduce innovative procedures for industrial
applications. These models will deal with a large set of data
to generate the algorithms simplifying the complex set of
rules. Hence, the machine learning models will surely
become more versatile with continued innovation to handle
complex data modeling. International Journal of Recent Technology and Engineering (IJRTE)
ISSN: 2277-3878 (Online), Volume-10 Issue-6, March 2022 Tumor
Resection. Sci
Rep
10,
2519
(2020). https://doi.org/10.1038/s41598-020-59115-y With the advancement in AI and development of continual
learning models, ML can be used in healthcare to manage
patient data and deliver diagnostic and prognostic results. A
continual learning ML model can be safely implemented in
diagnostic testing where the trained data would make a
diagnostic call every time new patient data is available [18]. ML can also be applied to Electronic Health Records
(EHRs) to personalize therapeutic treatments by using
patient response in EHR to train machine learning methods. Leveraging EHR observational data from patients that have
received the treatment vs those who haven’t can
individualize
treatment
recommendations. Standard
Supervised Learning algorithms can be used for causal
inference of these two datasets, supported by Balancing
Neural Networks and Regression Trees [19]. With the advancement in AI and development of continual
learning models, ML can be used in healthcare to manage
patient data and deliver diagnostic and prognostic results. A
continual learning ML model can be safely implemented in
diagnostic testing where the trained data would make a
diagnostic call every time new patient data is available [18]. p
g
y
16. Vamathevan, J., Clark, D., Czodrowski, P. et al. Applications of
machine learning in drug discovery and development. Nat Rev Drug
Discov 18, 463–477 (2019). https://doi.org/10.1038/s41573-019-
0024-5 17. Moe Elbadawi, Simon Gaisford, Abdul W. Basit, Advanced
machine-learning techniques in drug discovery, Drug Discovery
Today, Volume 26, Issue 3, 2021, Pages 769-777,ISSN1359-6446,
https://doi.org/10.1016/j.drudis.2020.12.003 18. Lee, Cecilia S., and Aaron Y. Lee. "Clinical applications of continual
learning machine learning." The Lancet Digital Health 2.6 (2020):
e279-e281 19. Bica, Ioana, et al. "From real‐world patient data to individualized
treatment effects using machine learning: current and future methods
to address underlying challenges." Clinical Pharmacology &
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10.1109/TKDE.2013.39 Anukriti Mukherjee is a Programmer Analyst at
Cognizant Technology Solutions, Kolkata, India. She
holds a Bachelor of Technology (B. Tech.) in
Biomedical Engineering from Vellore Institute of
Technology, Tamil Nadu, India (2020 graduated). She
has experience in pharmaceutical data management
(Oracle,
MySQL),
Laboratory
Information
Management
Systems
(LABWARE LIMS) and technical expertise in biomedical equipment
design, disease modelling and biosignal processing (MATLAB). Anukriti
has done multiple certification courses on Data Science, Digital Signal
Processing and Systems View in Patient Safety. She aspires to be a clinical
engineer, developing innovative and advanced biomedical devices in the
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APPLICATIONS Supervised, Unsupervised and Reinforcement Machine
learning algorithms are utilized in various real-world
applications and have capability to further grow overtime. Some of the common applications are discussed below: Published By:
Blue Eyes Intelligence Engineering
and Sciences Publication (BEIESP)
© Copyright: All rights reserved. Neural Networks [17]. a. Image Recognition: It is the most common real-world
application of machine learning. Image recognition Published By:
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© Copyright: All rights reserved. Published By:
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and Sciences Publication (BEIESP)
© Copyright: All rights reserved. Retrieval Number: 100.1/ijrte.F68710310622
DOI: 10.35940/ijrte.F6871.0310622
Journal Website: www.ijrte.org Retrieval Number: 100.1/ijrte.F68710310622
DOI: 10.35940/ijrte.F6871.0310622
Journal Website: www.ijrte.org 105 Published By:
Blue Eyes Intelligence Engineering
and Sciences Publication (BEIESP)
© Copyright: All rights reserved. REFERENCES "A dual neural network ensemble approach
for multiclass brain tumor classification." International journal for
numerical methods in biomedical engineering 28.11 (2012): 1107-
1120 Published By:
Blue Eyes Intelligence Engineering
and Sciences Publication (BEIESP)
© Copyright: All rights reserved. 15. Xu, Y., Ju, L., Tong, J. et al. Machine Learning Algorithms for
Predicting the Recurrence of Stage IV Colorectal Cancer After Retrieval Number: 100.1/ijrte.F68710310622
DOI: 10.35940/ijrte.F6871.0310622
Journal Website: www.ijrte.org Retrieval Number: 100.1/ijrte.F68710310622
DOI: 10.35940/ijrte.F6871.0310622
Journal Website: www.ijrte.org Journal Website: www.ijrte.org 106
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https://openalex.org/W2869243488
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https://bmcophthalmol.biomedcentral.com/track/pdf/10.1186/s12886-018-0841-z
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English
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Comparison of different settings for yellow subthreshold laser treatment in diabetic macular edema
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BMC ophthalmology
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cc-by
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Open Access © The Author(s). 2018 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and
reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to
the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver
(http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Abstract Background: To assess the safety and efficacy of two subthreshold parameters (5 and 15% duty cycle (DC)) compared
to standard ETDRS (early treatment of diabetic retinopathy study) continuous wave (CW) laser. Methods: In this prospective randomized study, 30 eyes from 20 patients with non-center involving macular edema
were randomized into 3 different groups: 5% DC, 15% DC and CW navigated modified ETDRS laser treatment. Titration
in subthreshold groups was performed with 30% of the threshold power, decided with microsecond pulses. CW laser
was titrated to a barely visible burn. All patients underwent microperimetry, thickness measurements and visual acuity
examinations at baseline, 6 weeks and 12 weeks post treatment. Results: At three months follow up, retinal sensitivity was significantly reduced in the CW group by −2.2 dB whereas
in both subthreshold groups, retinal sensitivity increased by 2.4 dB for 5% and 1.9 dB for 15% DC with no significant
difference. Retinal volume (mm3) decreased in both subthreshold groups by 0.08 ± 0.3 and 0.12 ± 0.11 in 5 and 15% DC
group respectively. Whereas the CW group showed volume increase of 0.55 ± 0.92 (p = 0.02 and 0.01 for 5 and 15% DC
groups). Visual acuity remained stable in all 3 groups (−0.7 letter in 5% DC; 2.11 letters in 15% DC and 0.88 in CW with
no significant difference). Conclusion: Subthreshold microsecond laser was shown to be safe and effective with both 5 and 15% DC as compared
to conventional photocoagulation with ETDRS parameters. The 15% DC setting trended to achieve better anatomical,
visual and functional outcomes. Trial registration: Retrospectively registered (NCT03571659, 06/26/2018). Keywords: Subthreshold laser, Microsecond, Micropulse, Diabetic macular edema, Microperimetry, Laser
photocoagulation Chhablani et al. BMC Ophthalmology (2018) 18:168
https://doi.org/10.1186/s12886-018-0841-z Chhablani et al. BMC Ophthalmology (2018) 18:168
https://doi.org/10.1186/s12886-018-0841-z Background for these patients. In a study from Wallick et al., patients
with diabetic macular edema were found to have, on aver-
age, 25.5 annual days with a health care related visit [6]. In
a Canadian study published in 2014 by Gonder et al., the
mean 6-month DME-related cost was $2092 per patient
[7]. The present day cost is likely higher since the study
considered that 70% of patients were injected with bevavi-
zumab and the rest with ranibizumab. Thus, there is a
constant need for a therapy with long term efficacy for this
visually debilitating disease. After various randomized and non-randomized clinical
trials, anti- vascular endothelial growth factor (VEGF)
therapy has become a gold standard in management of
diabetic macular edema [1–5]. However, in the RISE and
RIDE trials, the Phase 3 trials for ranibizumab in diabetic
macular edema, 13.9% of patients receiving monthly intra-
vitreal injections of ranibizumab showed no gain of letters
compared to baseline at 24 months [3]. Frequent visits
with frequent injections, causes a major economic burden Laser photocoagulation was proposed as treatment of
choice for diabetic macular edema after ETDRS (Early
Treatment of Diabetic Retinopathy Study) [8], much
before the anti-VEGF era. Maintenance rather than the * Correspondence: jay.chhablani@gmail.com
1Smt. Kanuri Santhamma Retina Vitreous Centre, L.V.Prasad Eye Institute,
Kallam Anji Reddy Campus Banjara Hills, Hyderabad 500034, India
Full list of author information is available at the end of the article * Correspondence: jay.chhablani@gmail.com
1Smt. Kanuri Santhamma Retina Vitreous Centre, L.V.Prasad Eye Institute,
Kallam Anji Reddy Campus Banjara Hills, Hyderabad 500034, India
Full list of author information is available at the end of the article Comparison of different settings for yellow
subthreshold laser treatment in diabetic
macular edema hhablani1*, Rayan Alshareef2, David Ta Kim3, Raja Narayanan1, Abhilash Goud1 and Annie Matha Chhablani et al. BMC Ophthalmology (2018) 18:168 Chhablani et al. BMC Ophthalmology (2018) 18:168 Page 2 of 8 Page 2 of 8 Page 2 of 8 Fundus fluorescein angiography (FFA) FFA was performed using fluorescein sodium 20% and
imaging on Navilas® system (OD-OS GmbH, Teltow,
Germany) to determine the site of leakage at baseline,
and at three months from baseline. Spectral Domain Optical Coherence Tomography (SD-
OCT): Laser parameters were standardized after ETDRS study
for diabetic macular edema [15]. Unlike conventional laser
photocoagulation, there is no standard parameters have
been proposed for subthreshold laser. In the literature,
there is a lot of variability for subthreshold laser settings
in terms of titration, duty cycle (ranging from 5 to 15%
duty cycle (DC)), laser power and pulse duration. Cirrus HD-OCT (Carl Zeiss Meditec, Inc., Dublin,
CA.) was used to obtain SD-OCT scans. Scanning proto-
col included HD5 line raster, HD single line raster, en-
hanced depth imaging, and macular cube. Central retinal
thickness (CRT) (1 mm central retinal thickness area as
described in the Early Treatment Diabetics Retinopathy
Study (ETDRS) fields) was determined automatically and
analyzed by OCT software, by generating images using
the Macular Cube 512 × 128 scan over 6 × 6 mm area,
the cube being composed of 128 horizontal examination
lines of 512 A-scans each. This study aims to assess the safety and efficacy of
two of the most frequently used subthreshold parameters
(5 and 15% DC) when compared to standard ETDRS
threshold laser. Patient eligibility Inclusion criteria: Eyes with naive non-center involving
macular edema (central subfield thickness less than
350 μm) with visual acuity 20/30 or better. The key
exclusion criteria were: (1) Dense lens opacity impeding
the visualization or laser photocoagulation; (2) Previous
macular laser photocoagulation in the study eye; (3) Use
of intraocular or periocular corticosteroids in the study
eye within the previous 3 months; (4) Previous treatment
with anti-VEGF drugs in the study eye. All
patients
underwent
microperimetry,
thickness
measurements and visual acuity examinations at baseline,
6 weeks and 12 weeks post treatment. Microperimetry (MAIA ™, Centervue, Padova, Italy) Microperimetry (MAIA
, Centervue, Padova, Italy)
Microperimetry was performed using the microperimeter
(MAIA ™, Centervue, Padova, Italy) after dilation of pupils. Goldmann III stimuli and a 4–2-1 staircase strategy with a
test grid with 37 stimulus locations covering an area of 10
degrees was applied. Fixation was tracked using built-in
fixation target. The stimuli were projected on a white
background with black illumination set to 1.27 cd/m2 and
a stimulus presentation time of 200 milliseconds. Mean
differential light sensitivity in decibels (dB) of all test
locations was analyzed for the study. Three fixation classes
were defined: stable, relatively unstable, unstable. Stable if
more than 75% of the fixation points were inside the 2
degree diameter circle; relatively unstable if less than 75%
were inside the 2 degree diameter circle, but more than
75% inside the 4 degree diameter circle; and unstable if
less than 75% of the fixation sites were inside the 4 degree
diameter circle. A change in sensitivity of 1 dB or more, a
change in stability of fixation, or both was considered
significant. Study design Subjects were randomized into 3 different groups. Groups
A and B received navigated microsecond laser treatments
at 5% DC (100 μs on time) and 15% DC (300 μs on time),
respectively. Group C received a continuous wave (CW)
navigated ETDRS threshold laser treatment with visible
endpoints. In situation when both eyes of the patient were
eligible, each eye was randomized as per the randomization. Patient and the visual acuity assessor were masked. Color fundus photograph vision improvement along with the loss of contrast sensi-
tivity, poor color vision, accidental foveal damage and
expansion of macular scars were the primary complication
of laser photocoagulation, which brought the laser photo-
coagulation in the back seat. However, in recent past with
improved technology, subthreshold laser photocoagula-
tion has got more interest and shown to be effective in
various macular diseases such as diabetic macular edema
[9–13], CSCR (central serous chorioretinopathy) [14–16],
and venous occlusions [17]. Color fundus photographs of the optic disc, macula, and
temporal retina (30°) were captured with a mydriatic cam-
era (Zeiss FF450, Carl Zeiss Meditec, Jena, Germany). Methods This prospective randomized double-masked pilot study
was performed at L V Prasad eye institute, Hyderabad. The study was approved by the institutional review com-
mittee and adhered to the tenets of the Declaration of
Helsinki. All participants gave written informed consent
before enrollment in the study. The Hyderabad Eye Re-
search Foundation, India, supported this study. Patients
were recruited from January 2012 through February 2013
at LV Prasad Eye Institute, Hyderabad, India. Outcome measures Primary outcome measures included change in retinal
sensitivity at week 12 compared to baseline. Secondary
outcome measures included change in CMT, BCVA, ret-
inal volume on SD-OCT macular thickness map. Study visits
P i The laser parameter used for each group is listed in
Table 2. The number of spots applied was significantly
lower in group C (CW) as CW laser for modified grid
was one burn width apart unlike subthreshold group
where
confluent laser applications were performed. Representative cases are shown as Figs. 1, 2, and 3. As
expected the adjusted laser power values were signifi-
cantly higher in the 5%DC group as compared to
15%DC and CW. This can be attributed to the titration
paradigm as the power has to be increased in order to
obtain a barely visible burn to compensate the fact of a
chopped microsecond pulsing laser beam. Nevertheless,
the fluence in both subthreshold groups is comparable
and represents about 30% of the threshold energy ob-
tained with CW lasers. Patients were followed at week 6 and week 12 after the
baseline visit. Comprehensive examination including
microperimetry and SD-OCT were performed at all
visits, however, FFA was performed at baseline and at
week 12. Laser photocoagulation p
g
Subthreshold laser used was 577 nm navigated laser
using Navilas® system (OD-OS GmbH, Teltow, Germany),
however, conventional laser was 532 nm using PASCAL®
(OptiMedica) system. Both subthreshold laser groups (A
and B) were treated with confluent grids to cover areas of Chhablani et al. BMC Ophthalmology (2018) 18:168 Page 3 of 8 Table 1 Baseline Characteristics of study groups
Group A
(5% DC)
Group B
(15% DC)
Group C
(CW)
Number of eyes
10
10
10
Mean duration of diabetes (years)
6.5 ± 1.3
7.1 ± 1.1
6.3 ± 2.1
Mean age (years)
58 ± 6.6
59 ± 6
57 ± 10.6
Lens status
Clear (5), NS1(2), NS2 (3)
Clear (5), NS1(4), NS2 (1)
Clear (4), NS1(4), NS2 (2)
Mean BCVA (ETDRS letters)
76 ± 10
80 ± 5
80 ± 7
Mean CMT (microns)
258 ± 28
255 ± 58
248 ± 37
Retinal Sensitivity (dB)
19 ± 5
22 ± 4
23 ± 4
BCVA Best corrected visual acuity
CMT Central Macular Thickness Table 1 Baseline Characteristics of study groups with Kruskal-Wallis-Test. P-value of < 0.05 was considered
as statistically significant. with Kruskal-Wallis-Test. P-value of < 0.05 was considered
as statistically significant. diffuse edema whereas the threshold laser group was
treated with mETDRS modified grids. Fluorescein angiog-
raphy was used to identify and target leaking microaneur-
ysms, which were targeted directly using navigated laser
in all groups. Results Thirty eyes of 20 patients with a mean age of 57 ±
8.7 years were enrolled in the study with 10 eyes in each
group. Sixteen were males and four were females. At
presentation, lens status was clear in 14 eyes; grade 1
nuclear sclerosis 10 and grade 2 nuclear sclerosis in 6
eyes. Baseline clinical characteristics of the groups are
shown in Table 1. There was no significant difference
between
the
groups
for
BCVA,
CMT and
retinal
sensitivity. Titration and settings: Titration in subthreshold groups
(5 and 15% DC group) was performed with microsecond
pulses to a barely visible burn, after which power was
reduced to 30% to reliably achieve subthreshold effects. CW laser was titrated to a barely visible burn. Spot size
and envelop pulse durations was set to 100 μm and
100 ms for each group. Statistical analysis No complications were reported in any of the groups
except in one eye of the 15% DC group, the evidence of
the microsecond laser was detected at three months Intention to treat analysis was performed. The changes
compared to baseline, in retinal sensitivity, BCVA, CMT,
and retinal volume, at 6 weeks and 12 weeks, were analyzed Table 2 Laser parameter characteristics among different groups Table 2 Laser parameter characteristics among different groups Table 2 Laser parameter characteristics among different groups
Group A
(5% DC)
Group B
(15% DC)
Group C
(CW)
Number of spots applied
435 ± 282
335 ± 313
128 ± 112
Fluence applied mJ/mm2
144.4 ± 28.8
167.8 ± 28.7
488.2 ± 142.4
Power range used in mW (range)
424 ± 92.8
(220–500)
168 ± 42.9
(130–280)
87.3 ± 37.2
(50–180) Page 4 of 8 Chhablani et al. BMC Ophthalmology (2018) 18:168 Fig. 1 Continuous wave laser photocoagulation: Color fundus photograph (a) shows signs of extrafoveal macular edema with few microaneurysms in
early phase of fluorescein angiogrpahy (FA) (b) with late leakage in late phase (c). Microperimetry map (d) shows retinal sensitivity map at baseline. Spectral domain optical coherence tomography (SD-OCT) (e) shows normal foveal contour with minimal extrafoveal edema. Laser planning map (f) on
NAVILAS® device with continuous wave with 60mw power, 100 msec pulse duration, and single burn width apart. At three months follow up FA early
and late phases show decrease in overall leakage along with laser scars (g and h). Microperimetry shows decrease in retinal sensitivity (i). SD-OCT
shows normal foveal contour with outer retinal damage due to laser scars Fig. 1 Continuous wave laser photocoagulation: Color fundus photograph (a) shows signs of extrafoveal macular edema with few microaneurysms in
early phase of fluorescein angiogrpahy (FA) (b) with late leakage in late phase (c). Microperimetry map (d) shows retinal sensitivity map at baseline. Spectral domain optical coherence tomography (SD-OCT) (e) shows normal foveal contour with minimal extrafoveal edema. Laser planning map (f) on
NAVILAS® device with continuous wave with 60mw power, 100 msec pulse duration, and single burn width apart. At three months follow up FA early
and late phases show decrease in overall leakage along with laser scars (g and h). Microperimetry shows decrease in retinal sensitivity (i). Statistical analysis SD-OCT
shows normal foveal contour with outer retinal damage due to laser scars 0.9 dB for 5% and 1.7 dB for 15% DC (p = 0.6 and 0.2 as
compared to threshold group) from baseline. follow up on fluorescein angiography. This patient was
therefore excluded from further evaluation. Visual acuity outcome Changes in primary and secondary outcome measures
are shown as Table 3. Best corrected visual acuity remained stable during the
follow up period in all 3 groups with no significant
difference among the groups (0.7 letter losses in 5% DC;
1.9 letters gain in 15% DC and 0.5 letters gain in CW,
respectively). As indicated in Fig. 4 the 15% DC group
demonstrated an improvement (p = 0.04). Change in
BCVA is shown as Fig. 4. Retinal sensitivity outcome At three months, the retinal sensitivity was slightly
reduced in the CW group by −0.3 dB whereas in both
subthreshold groups, retinal sensitivity increased by Fig. 2 Subthreshold 5% duty cycle laser photocoagulation: Color fundus photograph (a) shows signs of extrafoveal macular edema with
few microaneurysms in early phase of fluorescein angiogrpahy (FA) (b) with late leakage in late phase (c). Microperimetry map (d) shows
retinal sensitivity map at baseline. Spectral domain optical coherence tomography (SD-OCT) (e) shows normal foveal contour with
minimal extrafoveal edema. Laser planning map (f) on NAVILAS® device with 5%DC with 400mw power, 100 msec pulse duration, and
confluent burns. At three months follow up, FA early and late phases show almost same leakage, compared to baseline without any
visibile laser scars (g and h). Microperimetry shows improvement in retinal sensitivity (i). SD-OCT shows normal foveal contour without
any outer retinal damage Fig. 2 Subthreshold 5% duty cycle laser photocoagulation: Color fundus photograph (a) shows signs of extrafoveal macular edema with
few microaneurysms in early phase of fluorescein angiogrpahy (FA) (b) with late leakage in late phase (c). Microperimetry map (d) shows
retinal sensitivity map at baseline. Spectral domain optical coherence tomography (SD-OCT) (e) shows normal foveal contour with
minimal extrafoveal edema. Laser planning map (f) on NAVILAS® device with 5%DC with 400mw power, 100 msec pulse duration, and
confluent burns. At three months follow up, FA early and late phases show almost same leakage, compared to baseline without any
visibile laser scars (g and h). Microperimetry shows improvement in retinal sensitivity (i). SD-OCT shows normal foveal contour without
any outer retinal damage Fig. 2 Subthreshold 5% duty cycle laser photocoagulation: Color fundus photograph (a) shows signs of extrafoveal macular edema with
few microaneurysms in early phase of fluorescein angiogrpahy (FA) (b) with late leakage in late phase (c). Microperimetry map (d) shows
retinal sensitivity map at baseline. Spectral domain optical coherence tomography (SD-OCT) (e) shows normal foveal contour with
minimal extrafoveal edema. Laser planning map (f) on NAVILAS® device with 5%DC with 400mw power, 100 msec pulse duration, and
confluent burns. At three months follow up, FA early and late phases show almost same leakage, compared to baseline without any
visibile laser scars (g and h). Microperimetry shows improvement in retinal sensitivity (i). SD-OCT shows normal foveal contour without
any outer retinal damage Chhablani et al. BMC Ophthalmology (2018) 18:168 Page 5 of 8 Fig. Retinal sensitivity outcome 3 Subthreshold 15% duty cycle laser photocoagulation: Color fundus photograph (a) shows signs of extrafoveal macular edema with few
microaneurysms in early phase of fluorescein angiogrpahy (FA) (b) with late leakage in late phase (c). Microperimetry map (d) shows retinal
sensitivity map at baseline. Spectral domain optical coherence tomography (SD-OCT) (e) shows normal foveal contour. Laser planning map (f)
on NAVILAS® device with 15%DC with 240mw power, 100 msec pulse duration, and single burn width apart. At three months follow up, FA early
and late phase shows almost same leakage, compared to baseline without any visibile laser scars (g and h). Microperimetry shows improvement
in retinal sensitivity (i). SD-OCT shows normal foveal contour without any outer retinal damage Fig. 3 Subthreshold 15% duty cycle laser photocoagulation: Color fundus photograph (a) shows signs of extrafoveal macular edema with few
microaneurysms in early phase of fluorescein angiogrpahy (FA) (b) with late leakage in late phase (c). Microperimetry map (d) shows retinal
sensitivity map at baseline. Spectral domain optical coherence tomography (SD-OCT) (e) shows normal foveal contour. Laser planning map (f)
on NAVILAS® device with 15%DC with 240mw power, 100 msec pulse duration, and single burn width apart. At three months follow up, FA early
and late phase shows almost same leakage, compared to baseline without any visibile laser scars (g and h). Microperimetry shows improvement
in retinal sensitivity (i). SD-OCT shows normal foveal contour without any outer retinal damage Anatomical outcome 26]. Vujosevic et al. compared yellow with infrared sub-
threshold laser in 26 and 27 eyes respectively, and found
no differences in central retinal thickness, macular vol-
ume, foveal choroidal thickness, and best-corrected vis-
ual acuity [23]. Our study shows that the subthreshold
microsecond laser was safe and effective with both 5 and
15% DC following careful titration as compared to CW
laser. In trend, 15% DC setting seems to achieve highest
ETDRS letter gain and largest decrease in volume. Retinal volume and central retinal thickness remained
stable at three months follow up, with a slight trend
toward decreasing in both subthreshold groups with
0.08 ± 0.3 in 5% DC group and 0.12 ± 0.11 in 15% DC
group. Whereas, CW group represented a slight volume
increase of 0.55 ± 0.92 (p = 0.02 and 0.01 for 5 and 15%
DC groups as compared to threshold group). The same
applies to the CRT where a positive development of
reduced CRT can be noted as compared to an increase
in CRT in the CW group (See Fig. 5). Lavinsky et al. did a detailed analysis of retinal struc-
tures changes under certain fluence reductions and
concluded that 30% of threshold energy does not cre-
ate any tissue defects [27, 28]. Our parameters cannot
be compared directly as Lavinsky et al. used CW mode
with 7-10 ms pulse durations. However, considering
that shortening the pulse duration results in lesser
damage,
we
performed
subthreshold
microsecond
laser with 30% of threshold laser power and found it
to be successful. Therefore, these settings can be con-
sidered as safe and effective with microsecond laser. Discussion Subthreshold microsecond laser is a novel, tissue-sparing
approach to treat diabetic macular edema. Unlike with
conventional focal laser, there is no standard protocol
for laser settings for subthreshold treatments. Tables 4
and 5 shows an overview of studies on subthreshold
laser (including 810 nm and 577 nm) and the myriad of
parameters used in diabetic macular edema [9–12, 18– Table 3 Change in outcome measures at week 12
Parameters
CW
5%
15%
Retinal sensitivity (dB)
−2.2 ± 2.4
+ 2.4 ± 6.04(p*=0.3)
+ 1.9 ± 4.1(p*=0.2)
Compared to 5% (p = 0.8)
ETDRS letters loss/gain
0.9 ± 2.5
−0.7 ± 7.7(p*=0.6)
2.11 ± 2.5 (p*=0.3)
Compared to 5% (p = 0.3)
Central Retinal Thickness (microns)
12.3 ± 41.2
−12.4 ± 36.6 (p*=0.2)
0.6 ± 21.3(p*=0.5)
Compared to 5% (p = 0.4)
Retinal volume (mm3)
+ 0.55 ± 0.92
−0.08 ± 0.3 (p*=0.02)
−0.12 ± 0.11 (p*=0.01)
Compared to 5% (p = 0.4)
ETDRS Early Treatment Of Diabetic Retinopathy Study
* = Compared to CW (conventional) threshold laser Table 3 Change in outcome measures at week 12
Parameters
CW Chhablani et al. BMC Ophthalmology (2018) 18:168 Page 6 of 8 Fig. 4 Change in best-corrected visual acuity (BCVA) during study visits Fig. 4 Change in best-corrected visual acuity (BCVA) during study visits One of the challenges with micropulse is the invisibility
of laser applications, which makes it difficult to follow up
the patients and re-treatment. NAVILAS® provides an
additional advantage over other micropulse laser systems
is that it provides the reports with treated area along with
laser parameters. Application of confluent laser marks
could be challenging using conventional slit lamp laser
systems due to eye movement and the unavailability of eye
tracking. NAVILAS® provides a computerized laser plan-
ning and eye tracking during laser application which is
accurate and beneficial for subthreshold laser as the laser
spots are not visible. Two studies have shown that use of
the NAVILAS® results in higher accuracy of targets for
photocoagulation compared to the conventional method
without the navigating system [29–31]. However, previous
reports suggest subthreshold laser application in the
“whole posterior pole” which doesn’t require the in-
formation about the previously performed subthresh-
old laser applications. [32, 33] Luttrull et al. showed increased burn risk for 810 nm
subthreshold laser with more than 5%DC. Ethics approval and consent to participate Ethics approval and consent to participate
Approval from ‘Institutional Review Board, L V Prasad Eye Institute,
Hyderabad, India. The study was conducted in accordance with the tenets
of the Declaration of Helsinki. Written informed consent was obtained from
patients. Ethics approval and consent to participate
Approval from ‘Institutional Review Board, L V Prasad Eye Institute,
Hyderabad, India. The study was conducted in accordance with the tenets
of the Declaration of Helsinki. Written informed consent was obtained from
patients. Table 5 Overview on parameters used in yellow (577 nm)
subthreshold treatments
Author
Spot
Size
ms
DC
Power
Fluence
mmJ/
mm2
Power definition
method
Kwon
et al. [24]
100
20
15%
140
54
Titration in cw;
starting at 100
mW upwards until
barely visible burn;
after switch to μp
power remains
immediately below
test burn
Vujosevic
et al. [23]
100
200 5%
250
318
Fixed power setting
Yadav
et al. [25]
100
200 10%
70–200
340
Titration burn in cw,
until mild retinal
whitening; then μs
mode and Half
power
Inagaki
et al. [22]
200
200 15%
204
197
Test burn in cw
mode with 100 ms
and 200 μm; then
switch to 15% DC
and doubling the
power which is 60%
of threshold energy
Pei-pei
et al. [30]
60
10
100% 32,4 J/cm2 324
50% of power, no
switch of Pulse
duration Table 5 Overview on parameters used in yellow (577 nm)
subthreshold treatments Discussion [34] This risk in-
creases with decreasing wavelength, which may have been
the reason for visible burn in one out 10 eyes with 15%DC. This needs further clarification in terms of safety with lar-
ger sample size including 5%DC group. However, this study
supports the safety of subthreshold laser over the CW laser. y
Limitations of our study include small sample size in
each group and short follow up. Our study did not sci-
entifically analyze microaneurysm closure rate. However,
this is the first study, which compares effect of different
duty cycle subthreshold dosage with standard ETDRS
laser dosage in diabetic macular edema. However, less
number of subthreshold laser applications over a limited
area of DME may be the reason for suboptimal response. Due to ethical issues, we did not include center-involving
edema, which may have responded differently due to more
severity and further loss of retinal sensitivity, and may
have influenced the outcome measures. Fig. 5 Change in central retinal thickness during study visits Chhablani et al. BMC Ophthalmology (2018) 18:168 Page 7 of 8 Page 7 of 8 Page 7 of 8 Table 4 Overview on parameters used in 810 nm subthreshold
laser treatments
Wavelength
(nm)
Spot
size
(um)
Duration
(ms)
Duty
Cycle
Power
definition
method
Laursen
et al. [9]
810
125
100
5%
50% of barely
visible burn
Figueira
et al. [10]
810
125
300
30%
200% of barely
visible burn
Lavinsky
et al. [11]
810
125
300
15%
120% of barely
visible burn
Vujosevic
et al. [12]
810
125
200
5%
750 mW
Luttrull
et al. [19]
810
125
300
5%
750 mW
Sivaprasad
et al. [20]
810
125
200
5%
100% of a barely
visible burn
(unless more
than 1200 mW
in which case
duty cycle was
increased to
10%)
Othman et al. [21]
810
75–125 300
15%
100% barely
visible burn
Inagaki et al. [22]
810
200
200
15%
200% barely
visible burn Table 4 Overview on parameters used in 810 nm subthreshold
laser treatments Abbreviations BCVA: Best Corrected Visual Acuity; CMT: Central Macular Thickness;
CRT: Central Retinal Thickness; CSCR: Central Serous Chorioretinopathy;
CW: Continuous Wave; DC: Duty Cycle; DME: Diabetic Macular Edema;
ETDRS: Early Treatment Diabetic Retinopathy Study; FFA: Fundus
Fluorescence Angiography; SD-OCT: Spectral Domain Ocular Coherence
Tomography; VEGF: Vascular Endothelial Growth Factor Author details
1 1Smt. Kanuri Santhamma Retina Vitreous Centre, L.V.Prasad Eye Institute,
Kallam Anji Reddy Campus Banjara Hills, Hyderabad 500034, India. 2Department of Ophthalmology, McGill University, Montreal, Quebec,
Canada. 3Department of Surgery, Division of Ophthalmology, Faculty of
Medicine and Health Sciences, Université de Sherbrooke, Sherbrooke,
Quebec, Canada. Received: 3 March 2018 Accepted: 29 June 2018 Author’s contributions Conception and design: JC, RN,AM; Data collection: JC, RN, AG, AM. Analysis
and interpretation: JC, RA, DTK; writing the article: JC, RA, DTK. Critical
Revision of the article: JC, RA, DTK, RN, AG, AM. Final approval of the article:
JC, RA, DTK, RN, AG, AM. Ethics approval and consent to participate
Approval from ‘Institutional Review Board, L V Prasad Eye Institute,
Hyderabad, India. The study was conducted in accordance with the tenets
of the Declaration of Helsinki. Written informed consent was obtained from
patients. Conclusion In conclusion, our pilot study reports the subthreshold
laser with 15% DC appears to be more efficacious to
reduce the retinal thickness and improve the retinal
sensitivity, however, safety needs further evaluation on
larger studies. Further studies are warranted to evaluate
subthreshold laser in center-involving diabetic macular
edema with or without anti-VEGF therapy. Subthreshold
laser could be considered as cheap treatment option and
finally a retinal restorative therapy without any structural
and functional damage. Publisher’s Note Springer Nature remains neutral with regard to jurisdictional claims in
published maps and institutional affiliations. Springer Nature remains neutral with regard to jurisdictional claims in
published maps and institutional affiliations. Springer Nature remains neutral with regard to jurisdictional claims in
published maps and institutional affiliations. Availability of data and materials All data were available upon request. In case of any further information,
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Effect of Silodosin, an Alpha1A-Adrenoceptor Antagonist, on Ventral Prostatic Hyperplasia in the Spontaneously Hypertensive Rat
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OPEN ACCESS OPEN ACCESS
Citation: Shimizu S, Shimizu T, Tsounapi P, Higashi
Y, Martin DT, Nakamura K, et al. (2015) Effect of
Silodosin, an Alpha1A-Adrenoceptor Antagonist, on
Ventral Prostatic Hyperplasia in the Spontaneously
Hypertensive Rat. PLoS ONE 10(8): e0133798. doi:10.1371/journal.pone.0133798 Methods Twelve-week-old male SHRs were administered perorally with silodosin (100 μg/kg/day) or
vehicle once daily for 6 weeks. Wistar Kyoto (WKY) rats were used as normotensive con-
trols and were treated with the vehicle. The effect of silodosin on blood pressure and pros-
tatic blood flow were estimated and then the prostates were removed and weighed. The
tissue levels of malondialdehyde (MDA), interleukin-6 (IL-6), chemokine (C-X-C motif)
ligand 1/cytokine-induced neutrophil chemoattractant 1 (CXCL1/CINC1), tumor necrosis
factor-alpha (TNF-α), transforming growth factor beta 1 (TGF-β1), basic fibroblast growth
factor (bFGF) and alpha-smooth muscle actin (α-SMA) were measured. The histological
evaluation was also performed by hematoxylin and eosin staining. Editor: Aamir Ahmed, King's College London,
UNITED KINGDOM Editor: Aamir Ahmed, King's College London,
UNITED KINGDOM
Received: April 14, 2015
Accepted: July 1, 2015
Published: August 26, 2015
Copyright: © 2015 Shimizu et al. This is an open
access article distributed under the terms of the
Creative Commons Attribution License, which permits
unrestricted use, distribution, and reproduction in any
medium, provided the original author and source are
credited. Editor: Aamir Ahmed, King's College London,
UNITED KINGDOM
Received: April 14, 2015
Accepted: July 1, 2015
Published: August 26, 2015
Copyright: © 2015 Shimizu et al. This is an open
access article distributed under the terms of the
Creative Commons Attribution License, which permits
unrestricted use, distribution, and reproduction in any
medium, provided the original author and source are
credited. Copyright: © 2015 Shimizu et al. This is an open
access article distributed under the terms of the
Creative Commons Attribution License, which permits
unrestricted use, distribution, and reproduction in any
medium, provided the original author and source are
credited. Shogo Shimizu1, Takahiro Shimizu1, Panagiota Tsounapi2, Youichirou Higashi1, Darryl
T. Martin3, Kumiko Nakamura1, Masashi Honda2, Keiji Inoue4, Motoaki Saito1* Shogo Shimizu1, Takahiro Shimizu1, Panagiota Tsounapi2, Youichirou Higashi1, Darryl
T. Martin3, Kumiko Nakamura1, Masashi Honda2, Keiji Inoue4, Motoaki Saito1* 1 Department of Pharmacology, Kochi Medical School, Kochi University, Nankoku, Japan, 2 Department of
Surgery, Division of Urology, Tottori University School of Medicine, Yonago, Japan, 3 Department of
Urology, Yale University School of Medicine, New Haven, CT, United States of America, 4 Department of
Urology, Kochi Medical School, Kochi University, Nankoku, Japan * saitomo@kochi-u.ac.jp * saitomo@kochi-u.ac.jp a1111 a11111 RESEARCH ARTICLE Background A decreased prostatic blood flow could be one of the risk factors for benign prostatic hyper-
plasia/benign prostatic enlargement. The spontaneously hypertensive rat (SHR) shows a
chronic prostatic ischemia and hyperplastic morphological abnormalities in the ventral pros-
tate. The effect of silodosin, a selective alpha1A-adrenoceptor antagonist, was investigated
in the SHR prostate as a prostatic hyperplasia model focusing on prostatic blood flow. Introduction Benign prostatic hyperplasia (BPH) is one of the most common diseases among elderly men. Epidemiological data show that approximately 50% of patients develop lower urinary tract
symptoms (LUTS) due to BPH/benign prostatic enlargement (BPE) [1]. BPH/BPE consist of
overgrowth of epithelial and stromal cells within the transitional zone and periurethral area
[2]. Although aging and androgens are two established risk factors for the development of
BPH/BPE, serum androgen levels are generally decreased in elderly males and are not corre-
lated with prostate volume [2]. There is some evidence that vascular risk factors may be associ-
ated with progression of BPH/BPE [3,4]. Clinical data showed that BPH and hypertension
occur with increasing prevalence with older age, and are more likely to be pathophysiologically
relevant [5,6]. De Nuzio et al. suggested that BPH related LUTS are caused by multiple factors
including pelvic atherosclerosis followed by chronic ischemia of prostate, and chronic inflam-
mation in the prostate [7]. Inflammation with cytokines and macrophage infiltration might
induce proliferation of prostatic tissue [3,8]. Recent basic and clinical research suggest that
prostatic inflammation could be one of the central mechanisms in the development of BPH/
BPE [9,10]. In addition, chronic histological inflammation was found in more than 90% of
specimens obtained from transurethral resection of the prostate [11]. The spontaneously hypertensive rat (SHR) is commonly used as a genetically hypertensive
rat model of BPH/BPE [12]. The SHR exhibits decreased prostatic blood flow and develops
hyperplastic morphological abnormalities in the ventral prostate as early as 15 weeks [13,14]. However, our previous data showed that there was no statistical difference in dihydrotestoster-
one (androgen hormone) levels in the prostate between the SHR and the WKY rat, which is
used as a normotensive control model [15]. These reports indicate that the ventral prostate of
the SHR can be a good model for human BPH/BPE. Our previous report showed chronic treat-
ment with nicorandil, a vasodilator, significantly increased prostatic blood flow and inhibited
the progression of ventral prostatic hyperplasia in the SHR [15]. A recent study showed that
chronic pelvic ischemia induced distinct functional and morphological changes in the rat ven-
tral prostate. Pretreatment with tadalafil, a phosphodiesterase type 5 inhibitor, has been shown
to decrease collagen deposition in the ventral prostate caused by arterial endothelial injury
[16]. Thus, blood flow in the prostate plays an important role in prostatic hyperplasia
development. Silodosin can inhibit the progression of prostatic hyperplasia through a recovery of prostatic
blood flow. Silodosin can inhibit the progression of prostatic hyperplasia through a recovery of prostatic
blood flow. Data Availability Statement: All relevant data are
within the paper. Data Availability Statement: All relevant data are
within the paper. Data Availability Statement: All relevant data are
within the paper. There was a significant increase in blood pressure, prostate weight, prostate body weight
ratio (PBR), tissue levels of MDA, IL-6, CXCL1/CINC1, TNF-α, TGF-β1, bFGF and α-SMA in
the SHR compared to the WKY rat. The ventral prostate in the SHR showed the morphologi-
cal abnormalities compared to the WKY rat. Prostatic blood flow was decreased in the SHR. However, treatment with silodosin significantly restored the decreased prostatic blood flow in
the SHR. Moreover, silodosin normalized tissue levels of MDA, IL-6, CXCL1/CINC1, TNF-α, Funding: This study was supported by JSPS
KAKENHI (to MS; grant no. 24592431 and
20591880). Funding: This study was supported by JSPS
KAKENHI (to MS; grant no. 24592431 and
20591880). Competing Interests: The authors have declared
that no competing interests exist. 1 / 13 PLOS ONE | DOI:10.1371/journal.pone.0133798
August 26, 2015 Silodosin Increases the Prostatic Blood Flow TGF-β1, bFGF and α-SMA, and it ameliorated ventral prostatic hyperplasia in the SHR
excluding blood pressure. Silodosin decreased PBR but not prostate weight in the SHR. TGF-β1, bFGF and α-SMA, and it ameliorated ventral prostatic hyperplasia in the SHR
excluding blood pressure. Silodosin decreased PBR but not prostate weight in the SHR. PLOS ONE | DOI:10.1371/journal.pone.0133798
August 26, 2015 Introduction Alpha (α)1-adrenoceptor antagonists are the most frequently used drugs for treatment of
BPH related LUTS. It is widely known that α1-adrenoceptor antagonists relax prostate smooth
muscle and decrease urethral resistance, thereby alleviating LUTS [17]. Pinggera et al. demon-
strated that α1-adrenoceptor antagonists ameliorated chronic ischemia of the lower urinary
tract in patients with LUTS [18]. Doxazosin, an α1-adrenoceptor antagonist, restored prostatic
blood flow in the SHR [14]. Additionally, chronic treatment with terazosin, an α1-adrenocep-
tor antagonist, inhibited hyperplastic changes in the SHR prostate [19]. Thus, we investigated PLOS ONE | DOI:10.1371/journal.pone.0133798
August 26, 2015 2 / 13 Silodosin Increases the Prostatic Blood Flow whether silodosin, a selective α1A-adrenoceptor antagonist, could ameliorate blood flow,
inflammation and hyperplasia in the SHR ventral prostate. whether silodosin, a selective α1A-adrenoceptor antagonist, could ameliorate blood flow,
inflammation and hyperplasia in the SHR ventral prostate. Measurement of prostatic blood flow Prostatic blood flow was measured using the hydrogen clearance method [15]. The hydrogen
electrode (80 μm diameter, UHE-201C; Unique Medical Co., Tokyo, Japan) was inserted into
the ventral prostate. A rod-type Ag/AgCl reference electrode (UHE-001; Unique Medical Co.)
was inserted between the skin and musculature region in the abdomen. Material and Methods
Animal preparation The layout of the experiments were approved by the Institutional Animal Care and Use com-
mittee of Kochi University (Permit Number: H-113), which were in accordance with the guide-
lines for proper conduct of animal experiments from the Science Council of Japan. The
protocol was approved by the committee on Ethics of Animal Experiments of the Kochi Uni-
versity (Permit Number: H-113). All studies involving animals were reported in accordance
with ARRIVE guidelines [20]. In this study, we used 12 weeks old male SHRs and WKY rats. The animals were purchased from SLC Japan (Hamamatsu, Japan). All animals were kept
under identical conditions of temperature and humidity, and had access to food and drinking
water ad libitum. When the animals (n = 24) reached 12 weeks of age, they were randomly
divided into three groups (n = 8/group): an age-matched WKY rat group treated with vehicle
(0.5% methylcellulose in distilled water) perorally (p.o.) (WKY), SHRs treated with vehicle p.o. (SHR), and SHRs treated with silodosin at a daily dose of 100 μg/kg, p.o. (SHR+Sil100). Taking
into consideration that the US Food and Drug Administration suggested an oral dose of silodo-
sin to be taken at 8 mg once daily, we adopted the dosage of 100 μg/kg, which was administered
(p.o.) once daily for 6 weeks in accordance with our previous experiments [21]. Also, our pre-
liminary data showed no significant differences in prostatic blood flow or basic fibroblast
growth factor (bFGF) in the prostate between the SHRs treated with two different doses of silo-
dosin (i.e. 100 or 300 μg/kg p.o.) once daily for six weeks. Thus, in subsequent experiments we
decided to use only a dose of 100 μg/kg p.o.. After 6 weeks of treatment, when the animals
reached 18 weeks of age, blood pressure and heart rate were measured with the tail cuff
method, which included warming the whole animal body in the absence of anesthesia (BP-
98A-L, Softron, Tokyo, Japan) [15]. Subsequently, prostatic blood flow was measured under
intraperitoneally (i.p.) administered sodium pentobarbital anesthesia (50 mg/kg) as described
below; afterwards, the rats were sacrificed with an overdose of sodium pentobarbital (60 mg/kg
i.p.). The isolated prostates were frozen at -80°C until measurements of tissue were performed. The remaining parts of ventral and dorsolateral prostate were placed in 10% neutral buffered
formalin for histopathological evaluation [15]. Measurements of inflammatory cytokines in the prostate Commercially available kits were used to identify homogenates levels of interleukin-6 (IL-6)
(Quantikine ELISA Rat IL-6 Immunoassay, R6000B; R&D Systems Inc, MN), chemokine
(C-X-C motif) ligand 1/cytokine-induced neutrophil chemoattractant 1 (CXCL1/CINC1) (Rat
CXCL1/CINC1 Quantikine ELISA; R&D Systems Inc.) and tumor necrosis factor-α (TNF-α)
(Rat TNF-α ELISA kit; RayBiotech, Inc, GA). Obtained markers were normalized by the pro-
tein content. CXCL1/CINC1 is the rat homologue to human IL-8. Measurement of oxidative stress in the prostate The levels of malondialdehyde (MDA), a widely used marker of lipid peroxidation, in prostatic
tissue homogenates were identified using a commercially available kit (NWLSSTM Malondial-
dehyde Assay; Northwest Life Science Specialties LLC., Vancouver, WA). The MDA concentra-
tions were normalized by the protein content. 3 / 13 PLOS ONE | DOI:10.1371/journal.pone.0133798
August 26, 2015 Silodosin Increases the Prostatic Blood Flow Protein assay in the prostatic homogenates Protein concentration was determined using a commercially available kit (Protein Assay Rapid
Kit; Wako Pure Chemical, Osaka, Japan). Bovine serum albumin was used as the standard. Western blot analysis of alpha-smooth muscle actin (α-SMA) Western blot analysis was performed according to previous methods [15]. Protein samples
(50 μg) were subjected to SDS-polyacrylamide gel electrophoresis on 12% gradient gels, and
the separated proteins were transferred to polyvinylidene difluoride membranes. The mem-
brane was blocked with 5% nonfat milk in Tris-Buffered Saline containing 0.1% Tween 20
(TBS-T), and then incubated overnight on a shaker at 4°C with antibodies for α-SMA (1:400),
and anti-β-actin (1:1,000) in 5% nonfat milk in TBS-T. After washing with TBS-T (10 min×3
times), the membrane was incubated for 1 hour at room temperature on a shaker with a
1:3,000 dilution of horseradish peroxidase-conjugated rabbit antibody in 5% nonfat milk in
TBS-T. After washing with TBS-T (10 min×3 times), the detection was performed using an
enhanced chemiluminescence reagent (Millipore Corporation, Billerica, MA). The intensity of
target bands was quantified by densitometry using Malti Gauge software (FUJIFILM, Tokyo,
Japan). A rabbit polyclonal anti-α-SMA (ab5694, Abcam, Tokyo, Japan) and a rabbit poly-
clonal anti-β-actin (54590, AnaSpec, Inc., San Jose, CA) were used as primary antibodies. β-
Actin was used as a control for normalization of α-SMA. Transforming growth factor beta 1 (TGF-β1) and bFGF measurements in
the prostate For the measurement of TGF-β1 and bFGF, we used commercially available kits (Quantikine
ELISA mouse/rat/porcine/canine TGF-β1 immunoassay MB100B; R&D Systems Inc.) (Quanti-
kine ELISA mouse/rat FGF basic immunoassay MFB00; R&D Systems Inc). The concentra-
tions of TGF-β1 and bFGF were normalized by the protein content. MDA concentrations in the ventral prostate Oxidative stress levels were significantly increased in the SHR ventral prostates compared to
the WKY group, as evaluated by MDA concentrations in the prostate tissues. Treatment with
silodosin significantly decreased MDA concentrations compared to the SHR group. There
were no statistically significant differences in MDA concentrations between the WKY and SHR
+Sil100 groups (Fig 2). Histological examinations After fixation, the tissues were embedded in paraffin, and five-micron-thick tissue sections
were cut from the paraffin blocks. All of the prostate specimens were stained using hematoxylin
and eosin (HE). Each section was viewed under a light microscope at a magnification of ×40–
400 and morphological changes were evaluated by two blinded investigators (S.S. and H.Y.). ImageJ 1.48 software (NIH, Bethesda, MD) was used to calculate the HE stained gland area in
the rat ventral prostate. The stained area in the gland indicated the degree of proliferation of
epithelial components. Under blind conditions, we randomly counted 10 glands in each section
and then quantified the glandular epithelial area as stained area per glandular area under
100-fold magnification. The mean percent area density was also evaluated for each group. PLOS ONE | DOI:10.1371/journal.pone.0133798
August 26, 2015 4 / 13 Silodosin Increases the Prostatic Blood Flow IL-6, CXCL1/CINC1 and TNF-α levels in the ventral prostate Our results revealed a significant increase in IL-6, CXCL1/CINC1 and TNF-α levels in the ven-
tral prostate of the SHR group compared to the WKY group. Treatment with silodosin signifi-
cantly decreased levels of IL-6, CXCL1/CINC1 and TNF-α in the SHR ventral prostate
compared to the vehicle control SHR ventral prostate. There were no statistically significant
differences between the WKY group and the SHR+Sil100 group with respect to IL-6, CXCL1/
CINC1 and TNF-α levels (Fig 3). Data analysis Quantitative data are presented as means ± SEM and were compared among multiple experi-
mental groups using analysis of variance and Fisher’s multiple comparison tests. P-values less
than 0.05 were considered statistically significant. Prostatic blood flow Prostatic blood flow in the SHR group was significantly lower compared to the WKY group. Treatment with silodosin significantly increased prostatic blood flow compared to the SHR
group (Fig 1). General features of the animals After six weeks of silodosin or vehicle treatment, body weights in the SHR and SHR+Sil100
groups were significantly lower compared to the WKY group (Table 1). The prostate weight
and the prostate body weight ratio (PBR) in the SHR and SHR+Sil100 groups were significantly
higher than those in the WKY group. Treatment with silodosin significantly decreased PBR,
but not prostate weight in the SHR. Heart rate was significantly lower in the SHR group com-
pared to the WKY group. Heart rate in the SHR+Sil100 group was not significantly different
from either the WKY group or the SHR group. The SHR+Sil100 group demonstrated signifi-
cantly higher mean blood pressure compared to the WKY group, while there were no signifi-
cant differences when compared to the SHR group (Table 1). Drugs and chemicals Silodosin was supplied by the Daiichi-Sankyo Pharmaceutical Co. Ltd (Tokyo, Japan). All
other chemicals were commercially available and of reagent grade quality. Factors PBR: Prostate body weight ratio (prostate weight/body weight); WKY: 18-week-old WKY rats treated with vehicle, p.o.; SHR: 18-week-old SHRs treated
with the vehicle, p.o.; SHR+Sil100: 18-week-old SHRs treated with silodosin at a daily dose of 100 μg/kg, p.o. Data are shown as mean ± SEM of eight separate determinations in each group. †: Significantly different from the WKY group (P < 0.05);
#: Significantly different from the SHR group (P < 0.05). doi:10.1371/journal.pone.0133798.t001 doi:10.1371/journal.pone.0133798.t001 statistically significant differences between the WKY group and the SHR+Sil100 group with
respect to TGF-β1, bFGF and α-SMA levels (Fig 4). statistically significant differences between the WKY group and the SHR+Sil100 group with
respect to TGF-β1, bFGF and α-SMA levels (Fig 4). TGF-β1, bFGF and α-SMA levels in the ventral prostate There was a significant increase in TGF-β1, bFGF and α-SMA levels in the SHR group com-
pared to the WKY group. Treatment with silodosin significantly decreased TGF-β1 and bFGF
levels, and α-SMA protein expression compared to the SHR group. Also, there were no 5 / 13 PLOS ONE | DOI:10.1371/journal.pone.0133798
August 26, 2015 doi:10.1371/journal.pone.0133798.t001 Silodosin Increases the Prostatic Blood Flow Table 1. The General Features. Groups
Factors
WKY
SHR
SHR+Sil100
Body Weight (g)
402 ± 5
326 ± 16†
336 ± 12†
Prostate Weight (mg)
630 ± 35
926 ± 31†
863 ± 54†
PBR (×10−3)
1.57 ± 0.09
2.86 ± 0.07†
2.56 ± 0.11†#
Heart Rate (bpm)
338.0 ± 9.6
302.4 ± 3.9†
324.0 ± 9.8
Mean Blood Pressure (mmHg)
106.5 ± 1.1
166.0 ± 5.9†
154.7 ± 4.5†
PBR: Prostate body weight ratio (prostate weight/body weight); WKY: 18-week-old WKY rats treated with vehicle, p.o.; SHR: 18-week-old SHRs treated
with the vehicle, p.o.; SHR+Sil100: 18-week-old SHRs treated with silodosin at a daily dose of 100 μg/kg, p.o. Data are shown as mean ± SEM of eight separate determinations in each group. †: Significantly different from the WKY group (P < 0.05);
#: Significantly different from the SHR group (P < 0.05). Table 1. The General Features. Histological evaluation of the prostatic tissues The effect of silodosin on MDA levels in the ventral prostate of
the 18-week-old Wistar-Kyoto rat group (WKY), the 18-week-old SHR group (SHR) and the 18-week-old
SHRs treated with silodosin at a daily dose of 100 μg/kg, p.o. (SHR+Sil100). Data are shown as mean ± SEM
of eight separate determinations in each group. †: Significantly different with the WKY group; #: Significantly
different with the SHR group (P < 0.05 is a level of significance). Fig 2. MDA levels in the ventral prostate. The effect of silodosin on MDA levels in the ventral prostate of
the 18-week-old Wistar-Kyoto rat group (WKY), the 18-week-old SHR group (SHR) and the 18-week-old
SHRs treated with silodosin at a daily dose of 100 μg/kg, p.o. (SHR+Sil100). Data are shown as mean ± SEM
of eight separate determinations in each group. †: Significantly different with the WKY group; #: Significantly
different with the SHR group (P < 0.05 is a level of significance). doi:10.1371/journal.pone.0133798.g002 doi:10.1371/journal.pone.0133798.g002 group (Fig 5). For calculations using ImageJ, glandular epithelial area (stained area/glandular
area) in the SHR group and the SHR+Sil100 group were significantly higher compared to the
WKY group, indicating hyperplasia of the prostate. As well, the glandular epithelial area in the
SHR+Sil100 group was significantly lower compared to the SHR group (Fig 5). Histological evaluation of the prostatic tissues In contrast to histological sections in the WKY group, ventral prostate in the SHR group
showed morphological abnormalities, characterized by increased branching of epithelial cells. Treatment with silodosin decreased these morphological alterations observed in the SHR Fig 1. Blood flow in the ventral prostate. The effect of silodosin on blood flow in the ventral prostate of the
18-week-old Wistar-Kyoto rat group (WKY), the 18-week-old SHR group (SHR) and the 18-week-old SHRs
treated with silodosin at a daily dose of 100 μg/kg, p.o. (SHR+Sil100). Data are shown as mean ± SEM of
eight separate determinations in each group. †: Significantly different with the WKY group; #: Significantly
different with the SHR group (P < 0.05 is a level of significance). doi:10 1371/journal pone 0133798 g001 Fig 1. Blood flow in the ventral prostate. The effect of silodosin on blood flow in the ventral prostate of the
18-week-old Wistar-Kyoto rat group (WKY), the 18-week-old SHR group (SHR) and the 18-week-old SHRs
treated with silodosin at a daily dose of 100 μg/kg, p.o. (SHR+Sil100). Data are shown as mean ± SEM of
eight separate determinations in each group. †: Significantly different with the WKY group; #: Significantly
different with the SHR group (P < 0.05 is a level of significance). Fig 1. Blood flow in the ventral prostate. The effect of silodosin on blood flow in the ventral prostate of the
18-week-old Wistar-Kyoto rat group (WKY), the 18-week-old SHR group (SHR) and the 18-week-old SHRs
treated with silodosin at a daily dose of 100 μg/kg, p.o. (SHR+Sil100). Data are shown as mean ± SEM of
eight separate determinations in each group. †: Significantly different with the WKY group; #: Significantly
different with the SHR group (P < 0.05 is a level of significance). doi:10.1371/journal.pone.0133798.g001 doi:10.1371/journal.pone.0133798.g001 6 / 13 PLOS ONE | DOI:10.1371/journal.pone.0133798
August 26, 2015 Silodosin Increases the Prostatic Blood Flow Fig 2. MDA levels in the ventral prostate. The effect of silodosin on MDA levels in the ventral prostate of
the 18-week-old Wistar-Kyoto rat group (WKY), the 18-week-old SHR group (SHR) and the 18-week-old
SHRs treated with silodosin at a daily dose of 100 μg/kg, p.o. (SHR+Sil100). Data are shown as mean ± SEM
of eight separate determinations in each group. †: Significantly different with the WKY group; #: Significantly
different with the SHR group (P < 0.05 is a level of significance). Fig 2. MDA levels in the ventral prostate. PLOS ONE | DOI:10.1371/journal.pone.0133798
August 26, 2015 Discussion The present study showed that chronic treatment with silodosin significantly ameliorated
decreased prostatic blood flow, and increased oxidative stress, inflammatory cytokines, growth
factors and morphological abnormalities in the SHR ventral prostate. On the other hand, silo-
dosin failed to decrease blood pressure in the SHR. The management of prostatic blood flow
recovery is a very important factor to ameliorate prostatic hyperplasia [15,16,22]. Pinggera
et al. demonstrated that chronic ischemia of the prostate and bladder could be associated with
LUTS [18]. Silodosin has a very higher selectivity for the α1A subtype than for α1B and α1D-
adrenoceptor subtypes compared to other α1-adrenoceptor antagonists, while minimizing the
undesirable effects on blood pressure [23]. Some reports demonstrated that chronic treatment
with a selective α1A-adrenoceptor antagonist silodosin increased bladder blood flow in the
SHR and in a rat model of chronic bladder ischemia induced by atherosclerosis. Also, the treat-
ment subsequently improved bladder dysfunction [21,24]. α1A-Adrenoceptors are abundant in
smooth muscle of the prostate [23]. Molecular analysis in human has shown 70% of the α1-
adrenoceptor mRNA in the prostate was compromised of the α1A subtype [25]. The mecha-
nism for improvement of blood flow to the prostate with silodosin could be due to the blockade
of α1A subtype in the smooth muscle or microvessels (vascular smooth muscle) supplying
blood flow to the prostate. 7 / 13 PLOS ONE | DOI:10.1371/journal.pone.0133798
August 26, 2015 Silodosin Increases the Prostatic Blood Flow Fig 3. IL-6, CXCL1/CINC1 and TNF-α levels in the ventral prostate. Tissue levels of IL-6 (left upper panel), CXCL1/CINC1 (right upper panel), and TNF-α
(left lower panel) in the ventral prostate are shown. WKY: 18-week-old Wistar-Kyoto rat group; SHR: 18-week-old SHR group; SHR+Sil100: 18-week-old
SHRs treated with silodosin at a daily dose of 100 μg/kg, p.o.. Data are shown as mean ± SEM of eight separate determinations in each group. †:
Significantly different with the WKY group; #: Significantly different with the SHR group (P < 0.05 is a level of significance). Fig 3. IL-6, CXCL1/CINC1 and TNF-α levels in the ventral prostate. Tissue levels of IL-6 (left upper panel), CXCL1/CINC1 (right upper panel), and TNF-α
(left lower panel) in the ventral prostate are shown. WKY: 18-week-old Wistar-Kyoto rat group; SHR: 18-week-old SHR group; SHR+Sil100: 18-week-old
SHRs treated with silodosin at a daily dose of 100 μg/kg, p.o.. Data are shown as mean ± SEM of eight separate determinations in each group. PLOS ONE | DOI:10.1371/journal.pone.0133798
August 26, 2015 Discussion †:
Significantly different with the WKY group; #: Significantly different with the SHR group (P < 0.05 is a level of significance). doi:10.1371/journal.pone.0133798.g003 In the SHR, it is possible that ischemia or local hypoxia induces morphological structural
alteration contributing to pathogenesis of BPH. The SHR prostate exhibited a high density of
hypoxic cells that were localized in the epithelium when compared to the WKY rat [26]. Local
hypoxia induces mild levels of reactive oxygen species (ROS), which can promote neovasculari-
zation and fibroblast-to-myofibroblast transdifferentiation and growth factors release (IL-8,
TGF-β, FGF-7 and FGF-2) [3]. Under hypoxic conditions, growth factors stimulate not only
inflammatory cells, but also epithelial and stromal cells, leading to prostatic enlargement [3]. Moreover, ROS produced by inflammatory cells create a positive feedback loop, which can
amplify inflammation in human cells from BPH tissue [27]. Prostatic ischemia leads to genera-
tion of ROS and subsequent oxidative stress [15]. Oxidative stress has been considered to play
a role in the development of BPH [15]. The current study shows that SHR has a significant
increase in the concentration of MDA, an oxidative stress marker, in the prostate as compared
to the WKY rat prostate. Prostatic hyperplasia in the SHR could be related to oxidative stress PLOS ONE | DOI:10.1371/journal.pone.0133798
August 26, 2015 8 / 13 Silodosin Increases the Prostatic Blood Flow Fig 4. TGF-β1, bFGF and α-SMA levels in the ventral prostate. Tissue levels of TGF-β1 (left upper panel), bFGF (right upper panel), α-SMA (right lower
panel), and a representative blot of α-SMA in the ventral prostate (left lower panel) are shown. WKY: 18-week-old Wistar-Kyoto rat group; SHR: 18-week-old
SHR group; SHR+Sil100: 18-week-old SHRs treated with silodosin at a daily dose of 100 μg/kg, p.o.. Data are shown as mean ± SEM of eight separate
determinations in each group. †: Significantly different with the WKY group; #: Significantly different with the SHR group (P < 0.05 is a level of significance). d i 10 1371/j
l
0133798 004 Fig 4. TGF-β1, bFGF and α-SMA levels in the ventral prostate. Tissue levels of TGF-β1 (left upper panel), bFGF (right upper panel), α-SMA (right lower
panel), and a representative blot of α-SMA in the ventral prostate (left lower panel) are shown. WKY: 18-week-old Wistar-Kyoto rat group; SHR: 18-week-old
SHR group; SHR+Sil100: 18-week-old SHRs treated with silodosin at a daily dose of 100 μg/kg, p.o.. PLOS ONE | DOI:10.1371/journal.pone.0133798
August 26, 2015 Discussion Data are shown as mean ± SEM of eight separate
determinations in each group. †: Significantly different with the WKY group; #: Significantly different with the SHR group (P < 0.05 is a level of significance). doi:10.1371/journal.pone.0133798.g004 doi:10.1371/journal.pone.0133798.g004 caused by lower prostatic blood flow. Treatment with silodosin significantly ameliorates
increased MDA concentrations in the SHR ventral prostate. A previous study showed that silo-
dosin could improve bladder blood flow, and ameliorated detrusor overactivity by reducing
ROS produced by ischemia/reperfusion in atherosclerosis induced chronic bladder model [24]. Those data suggested that silodosin reduced oxidative stress via the recovery of prostatic blood
flow in the SHR. Inflammation of BPH is largely characterized by infiltration of activated lymphocytes and
macrophages in the prostate. Inflammatory cytokines secreted from inflammatory cells may
induce proliferation of both epithelial and stromal compartments, which results in prostate
volume enlargement and BPH [28]. IL-6 and IL-8 are recognized as potent growth factors for
prostatic epithelial and stromal cells [3]. TNF-α is a multifunctional cytokine that is thought to
induce inflammation [3]. The current study demonstrates that the SHR significantly increased 9 / 13 Silodosin Increases the Prostatic Blood Flow Fig 5. Histological changes in the ventral prostate of the SHR animals. The ventral prostate in the WKY group (left upper panel), the SHR group (right
upper panel), and the SHR+Sil100 group (left lower panel) are shown. Glandular epithelial area (%) (HE stained area/ventral prostate glandular area×100)
are depicted in the right lower panel. WKY: 18-week-old Wistar-Kyoto rat group; SHR: 18-week-old SHR group; SHR+Sil100; 18-week-old SHRs treated with
silodosin at a daily dose of 100 μg/kg, p.o.. Original magnification: ×100. The scale bar is 200 μm. †: Significantly different with the WKY group; #:
Significantly different with the SHR group (P < 0.05 is a level of significance). Fig 5. Histological changes in the ventral prostate of the SHR animals. The ventral prostate in the WKY group (left upper panel), the SHR group (right
upper panel), and the SHR+Sil100 group (left lower panel) are shown. Glandular epithelial area (%) (HE stained area/ventral prostate glandular area×100)
are depicted in the right lower panel. WKY: 18-week-old Wistar-Kyoto rat group; SHR: 18-week-old SHR group; SHR+Sil100; 18-week-old SHRs treated with
silodosin at a daily dose of 100 μg/kg, p.o.. Original magnification: ×100. The scale bar is 200 μm. PLOS ONE | DOI:10.1371/journal.pone.0133798
August 26, 2015 Discussion †: Significantly different with the WKY group; #:
Significantly different with the SHR group (P < 0.05 is a level of significance). doi:10.1371/journal.pone.0133798.g005 levels of IL-6, CXCL1/CINC1 and TNF-α in the prostate. Epidemiological studies also showed
an elevation of IL-6, IL-8 and TNF-α in men with BPH as compared to normal prostate with-
out BPH [9]. To our knowledge, this is the first study to report an increase in inflammatory
cytokines in the SHR prostate. Moreover, chronic treatment with silodosin decreased these
inflammatory cytokines in the SHR prostate. From our international literature searches, there
were no pharmacological or biochemical evidence that silodosin had an anti-oxidative or an
anti-inflammatory effect. A possible mechanism as to why silodosin ameliorated oxidative
stress and inflammation in the prostate of SHR may be due to the improvement in the prostatic
blood flow. A variety of hormonal and paracrine factors (i.e. growth factors) stimulate prostatic growth
and development. TGF-β1 and bFGF play critical roles in the regulation of prostatic growth and
proliferation of stromal cells [29,30]. In the human prostate, TGF-β1 and bFGF are produced by
stromal smooth muscle cells and are also secreted by epithelial cells of glands [30]. In the current
study, silodosin significantly decreased levels of TGF-β1 and bFGF in the SHR ventral prostate
compared to the vehicle control SHR ventral prostate. The α-SMA is recognized as a marker for
prostatic fibroblast within prostatic stroma [16,31]. Previous reports demonstrated that α-SMA 10 / 13 PLOS ONE | DOI:10.1371/journal.pone.0133798
August 26, 2015 Silodosin Increases the Prostatic Blood Flow was abundant in stromal smooth muscle in BPH human prostate [32]. The current study
showed that chronic treatment with silodosin decreased protein levels of α-SMA in the SHR
ventral prostate compared to the vehicle control SHR ventral prostate. These data suggest that
silodosin could inhibit the extent of hyperplasia in stromal tissue in the SHR. Involvement of α1-adrenoceptors in prostatic growth and hyperplasia has been repeatedly
suggested [32–34], even though the molecular mechanism is not well understood. Silodosin
could inhibit growth factors via an increase in prostatic blood flow, and decrease in oxidative
stress and inflammatory cytokines in the SHR ventral prostate. This study showed that epithe-
lial cells of the SHR ventral prostate were taller in shape compared to the WKY. We evaluated
the HE stained area in each ventral prostate gland to quantify the degree of proliferation of epi-
thelial components. Conclusions Chronic treatment with silodosin has the potential to ameliorate prostatic blood flow, oxidative
stress, inflammatory responses and growth factors in the SHR ventral prostate. Silodosin can
inhibit the progression of prostatic hyperplasia through a recovery of prostatic blood flow. Acknowledgments This study was supported by JSPS KAKENHI (MS; Grant no. 24592431 and 20591880). Discussion Treatment with silodosin decreased glandular epithelial area in the SHR
compared to the vehicle control, suggesting that silodosin could inhibit the progression of pros-
tatic hyperplasia. Also, silodosin decreased PBR, but not prostate weight, in the SHR. One limi-
tation of this study is that the histological changes in the ventral prostate of 18-week-old SHRs
are characterized as mainly epithelial (glandular) hyperplasia, which is considerably different
from those of human BPH (fibromyo-glandular hyperplasia). While both epithelial and stro-
mal cells contribute to human BPH/BPE, stromal cells play a bigger role. The previous experi-
mental studies showed that treatment with other α1-adrenoceptor antagonists (i.e. terazosin
and doxazosin) caused stromal regression and reduced growth in patients with BPH [32–34]. Thus, chronic treatment with silodosin could inhibit prostatic stromal growth in animal mod-
els as well as human BPH. However, in clinical studies, treatment with some α1-adrenoceptor
antagonists (i.e. tamsulosin, alfuzosin and doxazosin) failed to reduce prostate volume,
although chronic treatment with terazosin, α1-adrenoceptor antagonist was reported to reduce
prostate volume [35–38]. Further evidence is needed to explain the discrepancy between the
experimental and clinical data. although chronic treatment with terazosin, α1-adrenoceptor antagonist was reported to reduce
prostate volume [35–38]. Further evidence is needed to explain the discrepancy between the
experimental and clinical data. Author Contributions Conceived and designed the experiments: SS MS. Performed the experiments: SS TS PT YH
KN MS. Analyzed the data: SS TS PT YH MS. Contributed reagents/materials/analysis tools:
MH KI. Wrote the paper: SS TS PT DTM MS. MH KI. Wrote the paper: SS TS PT DTM MS. PLOS ONE | DOI:10.1371/journal.pone.0133798
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Sambucus australis Modulates Inflammatory Response via Inhibition of Nuclear Factor Kappa B (NF-kB) in vitro
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NORMA V.Q. CARNEIRO1, HUGO B.F. DA SILVA1, RAIMON R. DA SILVA1, TAMIRES C.B. CARNEIRO1, RYAN
S. COSTA1, ANAQUE O. PIRES1, CINTIA R. MARQUES2, EUDES S. VELOZO3, ADILVA S. CONCEIÇÃO4, TANIA
M.S. DA SILVA5, TELMA M.G. DA SILVA5, NEUZA M. ALCÂNTARA-NEVES6 and CAMILA A. FIGUEIREDO1 1Laboratório de Imunofarmacologia e Biologia Molecular, Instituto de Ciências da Saúde, Universidade
Federal da Bahia, Avenida Reitor Calmon, s/n, Vale do Canela, 41110-100 Salvador, BA, Brazil
2Instituto Multidisciplinar em Saúde, Universidade Federal da Bahia, Rua Hormindo
Barros, 58, Candeias, 45029-094 Vitória da Conquista, BA, Brazil
3Faculdade de Farmácia, Universidade Federal da Bahia, Rua Barão do Jeremoabo, 147, Ondina, 40170-115 Salvador, BA, Brazil
4Departamento de Educação, Universidade do Estado da Bahia, Campus VIII, Rua da
Gangorra, 503, General Dutra, 48608-240 Paulo Afonso, BA, Brazil
5Universidade Federal Rural de Pernambuco, Rua Manoel de Medeiros, s/n, Dois Irmãos, 52171-900 Recife, PE, Brazil
6Laboratório de Alergia e Acarologia, Instituto de Ciências da Saúde, Universidade Federal da
Bahia, Avenida Reitor Calmon, s/n, Vale do Canela, 41110-100 Salvador, BA, Brazil Manuscript received on October 17, 2017; accepted for publication on April 17, 2018 How to cite: CARNEIRO NVQ ET AL. 2019. Sambucus australis Modulates Inflammatory Response via Inhibition of
Nuclear Factor Kappa B (NF-kB) in vitro. An Acad Bras Cienc 91: e20170831. DOI 10.1590/0001-3765201920170831. How to cite: CARNEIRO NVQ ET AL. 2019. Sambucus australis Modulates Inflammatory Response via Inhibition of
Nuclear Factor Kappa B (NF-kB) in vitro. An Acad Bras Cienc 91: e20170831. DOI 10.1590/0001-3765201920170831. Abstract: Medicinal plants have long been used as an alternative to traditional drugs for the treatment
of inflammatory conditions due to the classical side effects and restricted access of various commercially
available drugs, such as steroids (GCs) and nonsteroidal anti-inflammatory drugs (NSAIDs). Sambucus
australis is a Brazilian herb that is commonly used to treat inflammatory diseases; however, few studies
have examined the use of this species in the treatment of inflammatory conditions. The present study aims to
evaluate the potential anti-inflammatory activity of S. australis in vitro. We established spleen cell cultures
stimulated with pokeweed mitogen (PWM) to evaluate the production of proinflammatory cytokines, such
as IL-4, IL-5, IFN-y, and IL-10 (by ELISA), and the expression of the transcription factor NF-kB (by
RT-PCR). In addition, we evaluated the levels of nitric oxide in macrophage cultures and the membrane-
stabilizing activity of S. australis methanolic extract (EMSA). Treatment with EMSA at concentrations of
100, 50, 25 and 12.5 µg/ml significantly decreased IL-4 (p<0.001) and IL-5 (p<0.001) levels. Treatment
with 100 µg/ml EMSA reduced IFN-у (p<0.001) levels. Moreover, at 100 mg/ml, EMSA also increased
IL-10 production and reduced NF-kB expression (p<0.01). Anais da Academia Brasileira de Ciências (2019) 91(1): e20170831
(Annals of the Brazilian Academy of Sciences)
Printed version ISSN 0001-3765 / Online version ISSN 1678-2690
http://dx.doi.org/10.1590/0001-3765201920170831
www.scielo.br/aabc | www.fb.com/aabcjournal INTRODUCTION develop significant immunomodulatory therapeutic
protocols with beneficial effects on inflammatory
diseases (Kim 2004, Stahn et al. 2007, Serhan et
al. 2007). Although inflammation is a key process in the
resolution of many physiopathological alterations,
the persistence of inflammation can be harmful
(Serhan et al. 2010). The inflammatory process
initially involves many proinflammatory mediators,
such as arachidonic acid metabolites, and it also
includes cytokines (IL-4, IL-5, TNF, IFN-y, IL-
13), which together increase the permeability of
the endothelial wall and promote the formation of
edema and the recruitment of polymorphonuclear
leukocytes (PMN) and macrophages. These changes
produce the characteristic signs of inflammation,
which include warmth, pain, redness and swelling,
and can lead to loss of tissue function (Serhan et al. 2010, Norling and Serhan 2010). The study of natural products has led to the
discovery of many clinically useful drugs, and
approximately 30% of the medicines produced
by developed countries are derived from natural
products. Sambucus australis Cham. & Schltdl of
the genus Sambucus (Judd et al. 1999), popularly
known as the elderberry, is a medicinal herb
commonly used for the treatment of inflammatory
disease in “Todos os Santos” Bay, Bahia, Brazil. However, few studies have explored the anti-
inflammatory potential of this herb to date. The chemical components of S. australis
Cham. & Schltdl includes flavonoids, quercetin
glycosides, triterpenes, volatile oils and phenolic
acids, which resembles the composition of the
species S. nigra. This species is native to Europe
and is well described in the literature (Lamaison
1991, Bacigalupo 1974, Alice 1990). Among the many existing inflammatory
mediators, nuclear factor kappa B (NF-kB) plays
an important role, as it is responsible for the
production of cytokines, chemokines, and growth
factors regulating the expression of genes involved
in the immune and inflammatory responses (Frode-
Saleh and Calixto 2000). Therefore, the detection of
NF-kB is essential to determine whether a specific
molecule can act as an anti-inflammatory agent
(Hanada and Yoshimura 2002). Anti-inflammatory
mediators (IL-10, TGF-b) can attenuate the
exacerbation of the immune response, promoting
the resolution of inflammation and the restoration
of injured tissue (Serhan et al. 2010, Ariel and
Serhan 2012). One of the main component of S. australis
is the ursolic acid (UA). UA is a pentacyclic
triterpene with antitumor and anti-inflammatory
activity due to the inhibition of NF-kB activation; it
has antioxidant and antibacterial effects, promotes
hypoglycemia and prevents the deposition of fat
(Rao et al. NORMA V.Q. CARNEIRO1, HUGO B.F. DA SILVA1, RAIMON R. DA SILVA1, TAMIRES C.B. CARNEIRO1, RYAN
S. COSTA1, ANAQUE O. PIRES1, CINTIA R. MARQUES2, EUDES S. VELOZO3, ADILVA S. CONCEIÇÃO4, TANIA
M.S. DA SILVA5, TELMA M.G. DA SILVA5, NEUZA M. ALCÂNTARA-NEVES6 and CAMILA A. FIGUEIREDO1 In macrophage cultures stimulated with LPS,
EMSA decreased nitric oxide levels (p<0.001) at all concentrations tested (100, 50, 25 and 12.5 µg/
ml). Additionally, EMSA had a protective effect in the erythrocyte membrane stabilization assay. Taken
together, these results suggest that S. australis has anti-inflammatory potential in vitro, characterized by
the reduction of both inflammatory cytokines and the expression of NF-kB along with the up-regulation
of IL-10. Key words: Sambucus australis, elderberry, anti-inflammatory, NF-kB. Correspondence to: Camila Alexandrina Figueiredo
E-mail: cavfigueiredo@gmail.com
ORCid: https://orcid.org/0000-0003-1356-6188 An Acad Bras Cienc (2019) 91(1) Biological Sciences Biological Sciences ANTI-INFLAMMATORY ACTIVITY OF THE Sambucus australis NORMA V.Q. CARNEIRO et al. An Acad Bras Cienc (2019) 91(1) COLLECTION AND IDENTIFICATION OF S. australis
Cham. & Schltdl. To avoid loosing the volatile oils within S. australis
Cham. & Schltdl, the aerial parts of the herb were
obtained before sunrise and stored in ventilated
bags. These parts were then allowed to dry in
a ventilated room with no sun and no humidity
prior to the preparation of extracts. Representative
specimens of the plant parts were analyzed to
confirm the identity of the species. The species was
confirmed and registered in the Herbarium UNEB,
N°. 28311 at the Universidade do Estado da Bahia,
Campus VIII, Paulo Afonso, Bahia, Brazil. Calibration curves were plotted over the
concentration range of 0.031 to 1.00 mg/ml of an
external standard, and 20 μL of each concentration
was administered in triplicate. The limit of
detection (LOD) and limit of quantitation (LOQ)
were 2.289 μg and 0.755 μg, respectively. For
the quantification of UA in EMSA, 20 μL of the
methanol extract was injected at a concentration
of 12.0 mg/ml. This procedure was performed in
the Bioprospecting Phytochemistry Laboratory,
Department of Molecular Sciences, Universidade
Federal Rural de Pernambuco, Brazil. ANIMALS Male BALB/c mice (25-30 g) were used in
this study. These animals were obtained from
the Fundação Oswaldo Cruz, Bahia, Brazil,
and allowed free access to food and water
under controlled environmental conditions. All
experimental procedures were approved by the
Ethics Committee for the Use of the Institute of
Animal Health Sciences, Instituto de Ciências da INTRODUCTION 2011, Alqahtani 2013, Kim and Moon
2015, Chun et al. 2014, Zhang et al. 2014, Yoon
et al. 2014, Ma et al, 2014, Zhao et al. 2012,
Nascimento et al. 2014, Liobikas 2011). These
studies suggest that S. australis Cham. & Schltdl
may have immunomodulatory effect due to the
presence of UA. Considering that inflammation has an
impact on a large number of immune-mediated
diseases, such as systemic lupus erythematosus
and rheumatoid arthritis, systemic inflammatory
response syndrome (sepsis), asthma and rhinitis,
and considering the side effects of available drugs
[(glucocorticoids (GCs) and nonsteroidal anti-
inflammatories (NSAIDs)] to treat inflammatory
conditions, it is necessary to identify new and
more effective drugs with fewer side effects to Although different species of the genus
Sambucus have been studied and evaluated for
their pharmacobiological effects, S. australis
Cham. & Schltdl is rarely investigated (Badescu
et al. 2012). Although its flowers and leaves are
used as a diuretic, anti-inflammatory agent, and
laxative and to treat feverish conditions resulting e20170831 2 | 12 e20170831 2 | 12 ANTI-INFLAMMATORY ACTIVITY OF THE Sambucus australis NORMA V.Q. CARNEIRO et al. the quantification of ursolic acid (AU) by high
performance liquid chromatography (HPLC) using
a Shimadzu Prominence LC-20AT with a SPD-
M20A diode array detector, SIL-20AC autosampler,
CTO-20A oven and DGU-20A5 degasser. UA is
described as a major component in S. australis
Cham. & Schltdl, and according to the literature,
it has various biological activities; therefore, it was
chosen as the standard. A Luna C-18 column (150
mm x 4.6 mm x 5 μm Phenomenex) was used for
chromatographic separation. The mobile phase
contained H2O (solvent A) and acetonitrile 0.1%
TFA (solvent B) at a ratio of 20:80, respectively. The flow rate was set at 1.0 ml/minute, the detection
wavelength was 203 nm and the temperature was
set to 35°C. Nylon filters (0.45 μm) were used
(Whatman) to filter the samples, and all solvents
were of HPLC grade. from respiratory diseases, no scientific studies have
evaluated the mechanisms of the anti-inflammatory
activity of S. australis Cham. & Schltdl to date
(Scopel 2007). Therefore, the aim of this study is to investigate
the potential anti-inflammatory activity of S. australis Cham. & Schltdl in an in vitro murine
model of inflammation. PREPARATION OF METHANOLIC EXTRACT FROM
S. australis Cham. & Schltdl. The dried leaves were crushed in a Willye mill
(ET-650-Tecinal), and the extract was prepared
by successive macerations with methanol using
the Soxhlet technique (Fisatom) (The leaves were
soaked 3 times for 4 with each reagent). After
filtration, the extracts were concentrated in vacuo
at 40°C with a rotary evaporator. They were placed
in an oven to evaporate all the solvent and kept
frozen until use. MEMBRANE STABILITY TEST BALB/c mice were anesthetized, and their spleens
were aseptically removed. After maceration of
the organ, a cell count was performed, and the
spleen cells (5x106 cells/ml) of normal mice were
resuspended in RPMI. These cells were cultured
at 37°C in 5% CO2. Two positive controls using
PWM (1 μg/ml or 2.5 μg/ml) and one negative
control using RPMI were used. For each of these
conditions, we had wells with and without different
concentrations of EMSA (100, 50, 25 and 12.5 µg/
ml). After 24, 48 and 72 hours, supernatants were
collected to assess inflammatory markers. The stability of the membrane was determined
as previously described (Govindappa et al. 2011,
Shinde et al. 1999) with several modifications. The
assay was based on the effect of temperature on the
membrane; with increasing temperature, the rate
of diffusion of molecules (which require activation
energy) to the cell increases due to molecular
motion, increasing hemolysis. Initially, whole blood was obtained from mice
and transferred into heparinized tubes, followed
by centrifugation at 1000 g for 10 minutes. The
supernatant was discarded, leaving only the portion
with erythrocytes. This portion was washed 3x
with saline solution (0.9% m/v), alternating with
centrifugation. After the last wash, the portion of
erythrocytes was also diluted with normal saline,
leaving the 10% v/v. The final volume of the mixture
was 5 ml, which contained 4.5 ml of the standard
(acetylsalicylic acid, 200 μg/ml) or test drug (EMSA
100, 50, 25, 12.5 μg/ml) and 500 μl of erythrocyte
suspension. Saline (9%) was used for the control. All tubes were kept in a water bath at 56°C for 30
minutes. After the incubation period, the tubes were
cooled in warm water. After the tubes were cooled,
they were centrifuged at 800 g for 5 minutes, and
the supernatants of the samples were placed in a
96-well plate and read at an absorbance of 560
nm. The procedure was performed in duplicate. The percentage of membrane stabilization and the STANDARDIZATION OF THE METHANOLIC
EXTRACT OF S. australis Cham. & Schltdl. The methanolic extract of S. australis Cham. & Schltdl (EMSA) was characterized and the
standardization was developed and validated for e20170831 3 | 12 An Acad Bras Cienc (2019) 91(1) ANTI-INFLAMMATORY ACTIVITY OF THE Sambucus australis NORMA V.Q. CARNEIRO et al. Saúde da Universidade Federal da Bahia, Brazil
(protocol number: 028/2012). by standard ELISA as recommended by the
manufacturer (BD Pharmingen, USA). EVALUATION OF THE CYTOTOXICITY OF THE
EMSA BY MTT-TETRAZOLIUM In 96-well plates, 100 µl of a suspension (5 x 106
cells/ml) of spleen cells from normal mice (BALB/c)
supplemented with 5% FCS both with or without 50
µl solution PWM (final concentration 1.0 µg/ml) in
the presence or absence of different dilutions of
the EMSA (100, 50, 25 and 12.5 µg/ml) was added
to each well. The cultures were incubated for 72
hours at 37°C in a 5% CO2 atmosphere. After this
period, MTT-tetrazolium [3-(4,5-dimethylthiazol-
2-yl-2,5-diphenyltetrazolium bromide)] (5 mg/ml)
Sigma-Aldrich (St. Louis, MO, USA) was added
to the culture and incubated for an additional 4
hours. This compound was then removed from
the culture medium and added to 100 µl of DMSO
(dimethylsulfoxide, Sigma). Cell viability was
determined based on the colorimetric method using
an absorbance at 560 nm for all concentrations;
viability experiments were performed in triplicate
(Mosmann 1983). The percentage of membrane stabilization and the
inhibition of hemolysis was calculated according to
the equation: % Stabilization of membrane = (100 - (ABSA /
ABSC)) x 100 IL-4, IL-5, IL-10 AND IFN- у PRODUCTION Cytokine levels were quantified from the spleen
cell culture supernatants at 24, 48 and 72 hours ABSA = absorbance of sample ABSC = absorbance of control. e20170831 4 | 12 e20170831 4 | 12 An Acad Bras Cienc (2019) 91(1) ANTI-INFLAMMATORY ACTIVITY OF THE Sambucus australis NORMA V.Q. CARNEIRO et al. Reverse transcription quantitative PCR (RT-
qPCR) The PCR primers that detected NF-kB and β-actin
were designed based on the sequences reported in
GenBank with Primer Express software (Applied
Biosystems). The parameters chosen were no or low
secondary structures or primer-primer interactions,
and high specificity was validated by BLAST
in NCBI, as described in Table I. Both primers
targeted different exons to eliminate potentially
contaminating genome DNA. The cDNA samples
derived from the investigated genes were detected
using a QuantStudio 12K Sequence Detection
System (Applied Biosystems) according to the
recommendations of the manufacturer. Each RT-
PCR used a 10-ng cDNA sample in 10 μl of SYBR-
PCR MasterMix 2X (Applied Biosystems), 1 μl of
the respective primer mix (NF-kB: Forward 100
nM and Reverse 100 nM; β-actin: Forward 500 nM;
Reverse 250 nM), and 20 μl purified and deionized
H2O. Relative quantification was performed using
the comparative threshold cycle (ΔΔCT) method as
previously described (Applied Biosystems 1997). NITRIC OXIDE (NO) PRODUCTION according to the manufacturer’s protocol. Subsequently, 0.3 μg of total RNA of each sample
was reverse transcribed into cDNA using 200 U
of Superscript III Reverse Transcriptase (Life
Technologies) and 500 ng of Oligo(dT) (Life
Technologies) according to the manufacturer’s
instructions. Sterilized and filtered DEPC-treated
water was used in all cDNA synthesis reactions. For evaluation of NO production, BALB/c mice
were intraperitoneally injected with 20 mg LPS. At 72 hours after the injection, peritoneal lavage
was performed to obtain macrophages. The
macrophage culture was performed using 5 µg/
ml of LPS in vitro. EMSA was added at 100, 50,
25 and 12.5 μg/ml. After 24 hours, NO production
was determined by the Griess reaction using the
nitrite concentration in culture (Green et al. 1982). The absorbance was determined in an ELISA
reader ((Titertek Multiscan, INC BIOMEDICALS
INC - EUA) with a 550-nm filter against blanks
with culture medium and Griess reagent (v/v). The
results are expressed as micromoles of NO2, based
on a standard curve with known concentrations of
sodium nitrate in H2O (5 - 60 mM of NO2
-). GENE EXPRESSION OF THE TRANSCRIPTION
FACTOR NF-KB BY QUANTITATIVE REVERSE
TRANSCRIPTASE-POLYMERASE CHAIN REACTION
(RT-PCR) GENE EXPRESSION OF THE TRANSCRIPTION
FACTOR NF-KB BY QUANTITATIVE REVERSE
TRANSCRIPTASE-POLYMERASE CHAIN REACTION
(RT-PCR) Spleen cell culture was performed as described in
section 2.7 with the EMSA at 100 μg/ml. After 72
hours of culture, RNA was extracted and cDNA
was synthesized to evaluate the expression of the
transcription factor NF-kB by real-time PCR using
the SYBR Green QuantStudio platform (Applied
Biosystems). RNA extraction and cDNA synthesis RNA extraction and cDNA synthesis RNA extraction and cDNA synthesis RNA was isolated from spleen cell culture with the
RNeasy Mini Kit (Qiagen, Hamburg, Germany) An Acad Bras Cienc (2019) 91(1)
e20170831 5 | 12
TABLE I
Primers design. The table shows the primer sequences, amplicon length and the annealing temperature. Gene
Sequences
Amplicon Length
T ºC
β-actinForward
ACCACACCTTCTACAATGAG
20
60ºC
β-actinReverse
ATCTGGGTCATCTTTTCACG
20
60ºC
NF-κBForward
ATTCCGCTATGTGTGTGAAGG
21
60ºC
NF-κBReverse
GTGACCAACTGAACGATAACC
21
60ºC TABLE I TABLE I Primers design. The table shows the primer sequences, amplicon length and the annealing tem le shows the primer sequences, amplicon length and the annealing temperature. An Acad Bras Cienc (2019) 91(1)
e20170831 5 | 12 An Acad Bras Cienc (2019) 91(1) NORMA V.Q. CARNEIRO et al. ANTI-INFLAMMATORY ACTIVITY OF THE Sambucus australis Before using the ΔΔCT method for
quantification, a validation experiment was
performed to verify that the efficiencies of the
target and control were approximately equal. The
amplification of all samples exhibited the same
efficiency for the precise quantification of real-
time PCR (RT-PCR) data. Serial fivefold dilutions
starting with 100 ng of cDNA from the control
group were used. The mean CT values, measured
in duplicate, versus the log10 of the dilution were
plotted. The values from the linear regressions
applied to these plots were also presented (not
shown). The amplification efficiencies (E = 10(−1/
slope)) were close to 1.0 (100%). significant. Each experiment was repeated at least
three times. CELL VIABILITY None of the EMSA concentrations tested were
toxic in spleen cell culture, as shown in Figure 2. RESULTS
UA QUANTIFICATION AND CHARACTERIZATION
OF THE EMSA Figure 1 shows the chromatograms of the EMSA
(Figure 1a) and a UA solution (Figure 1b). The
estimated percentage of UA in EMSA was 4.47%,
indicating that 1 g of methanol extract contains
44.75 mg of UA. STATISTICAL ANALYSIS EMSA REDUCES IL-4, IL-5 AND IFN- У LEVELS in
vitro EFFECT OF EMSA ON THE EXPRESSION OF THE
TRANSCRIPTION FACTOR NF-KB NF-kB activation is involved in the development
of inflammation; thus, the effect of EMSA on the
expression of this factor was determined by RT-
PCR. PWM stimulation in spleen cell culture
increased the expression of the transcription factor
NF-kB (p<0.001) compared to the negative control. Treatment with the highest concentration of EMSA
significantly decreased the expression of NF-kB
(100 μg/ml, p<0.01) compared to the positive
control stimulated with PWM (Figure 5b). At 100
μg/mL, EMSA was able to modulate the previously
evaluated parameters. EFFECT OF EMSA ON THE PRODUCTION OF NO Stimulation with LPS (5 μg/ml) significantly
increased NO levels (p<0.001) compared to
the negative control. Treatment with different
concentrations of EMSA significantly decreased
NO production in vitro (12.5, 25, 50 and 100 μg/ml,
p<0.001) (Figure 5a). EMSA REDUCES IL-4, IL-5 AND IFN- У LEVELS in
vitro Analysis of variance (ANOVA) and Tukey’s test (for
normally distributed data) were used to determine
statistical significance among experimental groups. Values of p≤ 0.05 were considered statistically To analyze the possible mechanisms related to
the effects of EMSA, we determined the cytokine Figure 1 - Chromatogram obtained by HPLC-DAD for the UA standard (a); chromatogram of the methanol
extract of the leaves of S. australis Cham. & Schltdl obtained by HPLC-DAD (b). Wavelength was 203 nm. Retention time was 9.94 min for UA. Figure 1 - Chromatogram obtained by HPLC-DAD for the UA standard (a); chromatogram of the methanol
extract of the leaves of S. australis Cham. & Schltdl obtained by HPLC-DAD (b). Wavelength was 203 nm. Retention time was 9.94 min for UA. e20170831 6 | 12 e20170831 6 | 12 An Acad Bras Cienc (2019) 91(1) ANTI-INFLAMMATORY ACTIVITY OF THE Sambucus australis NORMA V.Q. CARNEIRO et al. Figure 2 - Evaluation of the cytotoxic effect of the methanol
extracts of the leaves of Sambucus australis Cham. & Schltdl
(EMSA). Evaluation of EMSA cytotoxicity in a splenocyte
culture from BALB/c mice for 72 hours at 37ºC and 5% CO2
by the MTT-tetrazolium method. *p<0.05 vs. control. ANOVA
and Tukey’s tests. the positive control, but it was not significant for
the other tested concentrations (12.5, 25 and 50 μg/
ml) (Figure 3d). EFFECT OF EMSA ON THE STABILITY OF
ERYTHROCYTE MEMBRANES The membrane-stabilizing effect of S. australis
Cham. & Schltdl was evaluated. The results showed
a significant stabilizing activity of the standard
drug, acetylsalicylic acid, compared to the control,
by approximately 50%. Comparing the effect of
different concentrations of EMSA, the stabilizing
membrane potential was distinguished from the
standard at all concentrations (12.5, 25, 50 and 100
μg/ml) tested, with estimated percentages of 38%
(p<0.001), 42% (p<0.001), 16% (p<0.001) and 11%
(p<0.001), respectively (Figure 4). Concentrations
of 100 μg/ml and 50 μg/ml had the strongest effect
on stabilizing the membrane. Figure 2 - Evaluation of the cytotoxic effect of the methanol
extracts of the leaves of Sambucus australis Cham. & Schltdl
(EMSA). Evaluation of EMSA cytotoxicity in a splenocyte
culture from BALB/c mice for 72 hours at 37ºC and 5% CO2
by the MTT-tetrazolium method. *p<0.05 vs. control. ANOVA
and Tukey’s tests. profiles of Th2 cells, including IL-4 and IL-5, and
Th1 cells, including IFN-у, from the supernatants
of spleen cell cultures stimulated with PWM. Stimulation with PWM led to an increase in cytokine
production of IL-4 (p<0.001), IL-5 (p<0.001) and
IFN-y (p<0.001) compared to the negative control
group. When EMSA was added to the cultures
upon PWM stimulation at various concentrations,
significant reductions in the levels of IL-4 (12.5, 25,
50 and 100 μg/ml, p<0.001) and IL-5 (12.5, 25, 50
and 100 μg/ml, p<0.001) were observed, as shown
in Figure 3a and b, respectively. Alternatively, only
100 μg/ml of EMSA significantly reduced IFN-у
levels (p<0.001) compared to the positive control
(Figure 3c). METHANOLIC EXTRACT OF Sambucus australis Cham.
& Schltdl INCREASES IL-10 LEVELS in vitro (c)
Effect of methanol extract of EMSA on the production of IFN-у in culture stimulated with PWM. n = 6 (p ###
<0.001 vs. Control; *** p<0.001 vs. PWM). ANOVA and Tukey’s tests. (d) Effect of EMSA on the production
of IL-10 in culture stimulated with PWM. n = 6 (p ### <0.001 vs. Control. ** p<0.01 vs. PWM). ANOVA and
Tukey’s tests. METHANOLIC EXTRACT OF Sambucus australis Cham.
& Schltdl INCREASES IL-10 LEVELS in vitro We evaluated the effect of EMSA on regulatory
cytokine IL-10. The data showed that stimulation
with PWM led to increased production of IL-
10 (p<0.001) compared to the negative control. Treatment with 100 μg/ml of EMSA significantly
increased IL-10 production (p<0.01) compared to e20170831 7 | 12 An Acad Bras Cienc (2019) 91(1) ANTI-INFLAMMATORY ACTIVITY OF THE Sambucus australis NORMA V.Q. CARNEIRO et al. Figure 3 - (a) Effect of EMSA on IL-4 production in culture stimulated with PWM. n = 6 (p ### <0.001 vs. Control; *** p<0.001 vs. PWM). ANOVA and Tukey’s tests. (b) Effect of EMSA on IL-5 production in culture
stimulated with PWM. n = 6 (p ### <0.001 vs. Control; *** p<0.001 vs. PWM). ANOVA and Tukey’s tests. (c)
Effect of methanol extract of EMSA on the production of IFN-у in culture stimulated with PWM. n = 6 (p ###
<0.001 vs. Control; *** p<0.001 vs. PWM). ANOVA and Tukey’s tests. (d) Effect of EMSA on the production
of IL-10 in culture stimulated with PWM. n = 6 (p ### <0.001 vs. Control. ** p<0.01 vs. PWM). ANOVA and
Tukey’s tests. re 3 - (a) Effect of EMSA on IL-4 production in culture stimulated with PWM. n = 6 (p ### <0.001 vs. f Figure 3 - (a) Effect of EMSA on IL-4 production in culture stimulated with PWM. n = 6 (p ### <0.001 vs. Control; *** p<0.001 vs. PWM). ANOVA and Tukey’s tests. (b) Effect of EMSA on IL-5 production in culture
stimulated with PWM. n = 6 (p ### <0.001 vs. Control; *** p<0.001 vs. PWM). ANOVA and Tukey’s tests. (c)
Effect of methanol extract of EMSA on the production of IFN-у in culture stimulated with PWM. n = 6 (p ###
<0.001 vs. Control; *** p<0.001 vs. PWM). ANOVA and Tukey’s tests. (d) Effect of EMSA on the production
of IL-10 in culture stimulated with PWM. n = 6 (p ### <0.001 vs. Control. ** p<0.01 vs. PWM). ANOVA and
Tukey’s tests. Figure 3 - (a) Effect of EMSA on IL-4 production in culture stimulated with PWM. n = 6 (p ### <0.001 vs. Control; *** p<0.001 vs. PWM). ANOVA and Tukey’s tests. (b) Effect of EMSA on IL-5 production in culture
stimulated with PWM. n = 6 (p ### <0.001 vs. Control; *** p<0.001 vs. PWM). ANOVA and Tukey’s tests. ANTI-INFLAMMATORY ACTIVITY OF THE Sambucus australis NORMA V.Q. CARNEIRO et al. Figure 5 - (a) Effect of EMSA in NO production in LPS-
stimulated macrophages. n = 6 (p ### <0.001 vs Control; ***
p<0.001 vs. LPS). ANOVA and Tukey’s tests. (b) Effect of
EMSA on the expression of NF-kB in culture stimulated with
PWM. n = 6, (### p<0.001 vs. Control; ** p<0.01 vs. PWM)
ANOVA, Tukey. ### p<0.001 vs. Control; ***p<0.001 vs. PWM). ANOVA and Tukey’s tests. Figure 4 - Effect of EMSA on the percentage of membrane
stabilization of BALB/c mouse erythrocytes compared to the
control (100% hemolysate); hemolysis assay of cells treated
or not treated with EMSA at 100, 50, 25 and 12.5 g/ml or
standard acetylsalicylic acid (ASA) at 200 μg/ml (### p<0.001
vs. Control; *** p<0.001 vs. ASA). ANOVA and Tukey’s tests. Figure 4 - Effect of EMSA on the percentage of membrane
stabilization of BALB/c mouse erythrocytes compared to the
control (100% hemolysate); hemolysis assay of cells treated
or not treated with EMSA at 100, 50, 25 and 12.5 g/ml or
standard acetylsalicylic acid (ASA) at 200 μg/ml (### p<0.001
vs. Control; *** p<0.001 vs. ASA). ANOVA and Tukey’s tests. levels and decreasing the secretion of inflammatory
cytokines, such as IL-12 (Socca 2010). Other inflammatory mediators are released
during the early inflammatory process, such as
NO, which is produced by activated macrophages
that stimulate the production of the inflammatory
cytokines previously described. This accounts for
the high levels of radicals observed in inflammation. NO may also be released in acute inflammation
sites and modular edema (Ialenti et al. 1992). Therefore, we evaluated the modulatory effect of
S. australis Cham. & Schltdl on the production of
NO by a standard culture model of macrophages
stimulated with LPS (Chandrasekaran et al. 2010). Our results suggest that the S. australis Cham. & Schltdl-mediated decrease in NO production
may be due at least in part to the reduced levels
of inflammatory cytokines. These data support the
antioxidant activity of S. australis, which has been
described in other species of Sambucus (Kim and
Moon 2015, Nascimento et al. 2014, Dawidowicz
et al. 2006). Figure 5 - (a) Effect of EMSA in NO production in LPS-
stimulated macrophages. n = 6 (p ### <0.001 vs Control; ***
p<0.001 vs. LPS). ANOVA and Tukey’s tests. (b) Effect of
EMSA on the expression of NF-kB in culture stimulated with
PWM. n = 6, (### p<0.001 vs. DISCUSSION Here in, we have demonstrated the effect of
S. australis Cham. & Schltdl on inflammatory
cytokines and a regulatory cytokine in vitro,
showing that EMSA can significantly reduce levels
of Th2 cytokines, including IL-4, and IL-5, in a
concentration-dependent manner (Figure 3a and b)
and increase levels of the regulatory cytokine IL-
10 (Figure 3d) at different concentrations. Thus,
we hypothesize that S. australis Cham. & Schltdl
plays a protective role in the inflammatory process
because it can reduce inflammatory cytokines
and modulate IL-10 production. In contrast, there
was no reduction of IFN-y (Figure 3c) at any of
the concentrations tested, unlike IL-4 and IL-5. In contrast to our results, other Sambucus species
have been shown to participate in the suppression
of inflammatory processes by increasing IL-10 This study aimed to explore the anti-inflammatory
potential of the standardized methanolic extract
of S. australis, in vitro. EMSA was estimated to
have around 4.47% of ursolic acid by using high-
performance liquid chromatography. Previous
reports have described that S. australis is rich in
triterpenes such as ursolic acid (UA) (Lamaison
1991, Alice 1990). Several biological activities were
attributed to UA such as antitumor, antioxidant,
antibacterial, hypoglycemic and anti-inflammatory
activities by inhibiting the activation of NF-kB
(Rao et al. 2011, Alqahtani et al. 2013, Kim and
Moon 2015, Chun et al. 2014, Zhang et al. 2014,
Yoon et al. 2014, Ma et al. 2014, Zhao et al. 2012,
Nascimento et al. 2014). e20170831 8 | 12 e20170831 8 | 12 An Acad Bras Cienc (2019) 91(1) ANTI-INFLAMMATORY ACTIVITY OF THE Sambucus australis An Acad Bras Cienc (2019) 91(1) CONCLUSIONS We suggest that S. australis Cham. & Schltdl
has anti-inflammatory potential by inhibiting the
activation of the transcription factor NF-kB and
consequently by reducing levels of inflammatory
cytokines and NO, which justifies its use in popular
medicine for the treatment of inflammation. Further
in vivo studies are needed to better characterize the
underlying mechanisms of EMSA. To confirm the possible mechanism whereby
S. australis Cham. & Schltdl has anti-inflammatory
activity, we analyzed its effect on the transcription
factor NF-kB, which regulates the transcription
of a number of proinflammatory factors, such as
cytokines and inflammatory mediators (Fröde-
Saleh and Calixto 2000). Corticosteroids are NF-kB
inhibitors because they bind to specific receptors
for GCs, forming complexes that act as second
messengers that regulate/activate the expression
of genes involved in the immune response. These
complexes have high binding affinity with DNA
and enter the nucleus and bind to specific gene
promoters, causing gene transcription. Thus, one
of the pathways modulated by steroids is the
activation of IκB transcription. IκBB maintains
the inactive NF-kB in the cytoplasm by preventing
the translocation of this factor to the nucleus
(D’acquisto 2002, Barnes and Karin 1997). Therefore, the inhibition of NF-kB can modulate
inflammatory resolution by inhibiting the secretion
of inflammatory cytokines and factors (Vendramini-
Costa and Carvalho 2012). ANTI-INFLAMMATORY ACTIVITY OF THE Sambucus australis Control; ** p<0.01 vs. PWM)
ANOVA, Tukey. ### p<0.001 vs. Control; ***p<0.001 vs. PWM). ANOVA and Tukey’s tests. activity, which can destroy neighboring cells and
are responsible for various symptoms and signs
of inflammation. Anti-inflammatory nonsteroidal
drugs can inhibit the disruption of the membrane,
blocking the release of inflammatory mediators
(Amann and Peskar 2002, Mounnissamy et al. 2007). Therefore, we used a membrane stabilization
assay of erythrocytes to analyze the anti-
inflammatory activity of S. australis in vitro in
this context, as the membrane of the erythrocytes
is analogous to the lysosomal membrane, and
anti-inflammatory drugs can act by stabilizing The release of chemical mediators in injured
tissues and migrating cells cause disturbances
in the cell membrane, resulting in the activation
of lysosomal enzymes with potent cytotoxic e20170831 9 | 12 An Acad Bras Cienc (2019) 91(1) ANTI-INFLAMMATORY ACTIVITY OF THE Sambucus australis NORMA V.Q. CARNEIRO et al. the lysosomal membrane (Leelaprakash and Dass
2011, Okoye and Osadebe 2010, Yoganandam et
al. 2010). Different concentrations of EMSA (12.5,
25, 50, and 100 μg/ml) inhibited the disruption
of erythrocyte membranes in a concentration-
dependent manner when compared to a classical
standard drug. This behavior demonstrates the
potential capacity of S. australis in protecting
the membrane of lysosomes and preventing the
release of toxic enzymes during inflammation and
activation of other mediators, further demonstrating
a potential anti-inflammatory effect.i reports that showed UA, the major component in S. australis, possesses anti-inflammatory activity via
the inactivation of NF-kB (Kim and Moon 2015,
Jiang 2015, Ma et al 2014). Still, further studies
should be conducted to elucidate the mechanisms
of the inhibition of this pathway by S. australis
Cham. & Schltdl. ACKNOWLEDGMENTS The authors want to thank the Brazilian agencies
Fundação de Amparo a Pesquisa do Estado da Bahia
(FAPESB) and Coordenação de Aperfeiçoamento
de Pessoal de Nível Superior (CAPES) for financial
support and for Carneiro NVQ’s scholarship,
respectively. NMAN and CAV are Conselho
Nacional de Desenvolvimento Científico e
Tecnológico (CNPq) scholarship recipients. REFERENCES ALICE CB, SIQUEIRA NCS, HALBIG JC, MENTZ LA,
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the present study, wrote the manuscript and
conducted the laboratory tests. Silva HBF and
Silva RR assisted in the study design and bench
work. Carneiro TCB and Pires AO helped in the
laboratory tests and reviewed the manuscript. Marques CR assisted in the RT-PCR assays. Costa
RS contributed in reviewing the manuscript and
supervising the experiments. Conceição AS
contributed to the identification and confirmation
of botanical classification of Sambucus australis. In this context, EMSA statistically decreased
NF-kB expression, explaining the reduction in
levels of inflammatory cytokines and NO when
different concentrations of EMSA in assays were
tested. The EMSA mechanism of action on NF-
kB may be associated with the presence of UA in
S. australis Cham. & Schltdl, confirming recent e20170831 10 | 12 e20170831 10 | 12 An Acad Bras Cienc (2019) 91(1) NORMA V.Q. CARNEIRO et al. ANTI-INFLAMMATORY ACTIVITY OF THE Sambucus australis Velozo ES contributed to the production of the
extract of the study. Silva TMS and Silva TMG
contributed with technical chromatography and
the standardization of S. australis extract. Neves-
Alcantara NM provided technical support for
the development of this work and reviewed the
manuscript. Figueiredo CA conceived the study
design, supervised the experiments and revised the
manuscript. All authors read and approved the final
version of the manuscript. DAWIDOWICZA AL, WIANOWSKAA D AND
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Education and WHO Recommendations for Fruit and Vegetable Intake Are Associated with Better Cognitive Function in a Disadvantaged Brazilian Elderly Population: A Population-Based Cross-Sectional Study
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Abstract This is an open-access article distributed under the terms of the Creative Commons Attribution License, which permits
unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. Copyright: 2014 Pastor-Valero et al. This is an open-access article distributed under the terms of the Creative Commons Att
unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. Funding: This study was funded by Wellcome Trust, U.K. (GR066133MA); MS and PRM were partly funded by CNPq-Brazil. The funders had no role in study
design, data collection and analysis, decision to publish, or preparation of the manuscript. Funding: This study was funded by Wellcome Trust, U.K. (GR066133MA); MS and PRM were partly funded by CNPq-Brazil. Th
design, data collection and analysis, decision to publish, or preparation of the manuscript. Competing Interests: The authors have declared that no competing interests exist. * E-mail: mpastor@umh.es Maria Pastor-Valero1,2*, Renata Furlan-Viebig3, Paulo Rossi Menezes3, Simon Almeida da Silva3,
Homero Vallada4, Marcia Scazufca4 1 Departamento de Salud Pu´blica Historia de la Ciencia y Ginecologı´a, Universidad Miguel Herna´ndez, Espan˜a, 2 CIBER en Epidemiologı´a y Salud Pu´blica (CIBERESP),
Madrid, Espan˜a, 3 University of Sa˜o Paulo, Faculty of Medicine, Department of Preventive Medicine, Brazil, 4 University of Sa˜o Paulo, Faculty of Medicine, Institute of
Psychiatry and LIM-23, Brazil Abstract Brazil has one of the fastest aging populations in the world and the incidence of cognitive impairment in the elderly is
expected to increase exponentially. We examined the association between cognitive impairment and fruit and vegetable
intake and associated factors in a low-income elderly population. A cross-sectional population-based study was carried out
with 1849 individuals aged 65 or over living in Sa˜o Paulo, Brazil. Cognitive function was assessed using the Community
Screening Instrument for Dementia (CSI-D). Fruit and vegetable intake was assessed with a Food Frequency Questionnaire
(FFQ) and categorized into quartiles of intake and into total daily fruit and vegetable intake using the cut-off points for the
WHO recommendations (,400grams/day or $400 grams/day). The association between cognitive impairment and each
quartile of intake, and WHO recommendation levels, was evaluated in two separate multivariate logistic models. The WHO
recommendations for daily intakes $400 grams/day were significantly associated with 47% decreased prevalence of
cognitive impairment. An effect modification was found in both models between cognitive impairment and ‘‘years of
education and physical activity’’ and ‘‘years of education and blood levels of HDL’’ So that, having 1 or more years of
education and being physically active or having 1 or more years of education and levels higher than 50 mg/dl of HDL-
cholesterol strongly decreased the prevalence of cognitive impairment. In this socially deprived population with very low
levels of education and physical activity and fruit and vegetable intake, those who attained WHO recommendations, had 1
year or more of education and were physically active had a significantly lower prevalence of cognitive impairment. A more
comprehensive understanding of the social determinants of mental health is needed to develop effective public policies in
developing countries. Citation: Pastor-Valero M, Furlan-Viebig R, Menezes PR, da Silva SA, Vallada H, et al. (2014) Education and WHO Recommendations for Fruit and Vegetable Intake
Are Associated with Better Cognitive Function in a Disadvantaged Brazilian Elderly Population: A Population-Based Cross-Sectional Study. PLoS ONE 9(4): e94042. doi:10.1371/journal.pone.0094042 Editor: Hemachandra Reddy, Oregon Health & Science University, United States of America Editor: Hemachandra Reddy, Oregon Health & Science University, United States of America Editor: Hemachandra Reddy, Oregon Health & Science University, United States of America Received November 14, 2013; Accepted March 10, 2014; Published April 15, 2014 Copyright: 2014 Pastor-Valero et al. Citation: Pastor-Valero M, Furlan-Viebig R, Menezes PR, da Silva SA, Vallada H, et al. (2014) Education and WHO Recommendations for Fruit and Vegetable Intake
Are Associated with Better Cognitive Function in a Disadvantaged Brazilian Elderly Population: A Population-Based Cross-Sectional Study. PLoS ONE 9(4): e94042.
doi:10.1371/journal.pone.0094042 Study Population Consumption of fruit and vegetables. Fruit and vegetable
intake of each participant was obtained from the participants’
responses to the fruit and vegetables section of a Food Frequency
Questionnaire (FFQ). Further details of the design of this FFQ
were published previously [23]. Briefly, this FFQ, a Harvard-liked
questionnaire, was developed to obtain information on the diet of
the general adult population residing in the Metropolitan Region
of Sa˜o Paulo. The FFQ had nine possible response categories for
frequency of consumption of each item, ranging from never or less
than once in a month to 6 or more times per day. The FFQ
assessed how often each one of the food items had been consumed
by the elderly in the last 12 months. The vegetables group
included ten items, and the fruit and natural juices included 17
food items. The number of daily servings of fruit and vegetables
per individual was obtained from the sum of all the FFQ responses
referred to the mentioned food items and converted into grams/
day of total fruit and vegetable intake. Characteristics of the
consumption of fruit and vegetables by this population using this
FFQ have been previously published [24]. Consumption of fruit and vegetables. Fruit and vegetable
intake of each participant was obtained from the participants’
responses to the fruit and vegetables section of a Food Frequency
Questionnaire (FFQ). Further details of the design of this FFQ
were published previously [23]. Briefly, this FFQ, a Harvard-liked
questionnaire, was developed to obtain information on the diet of
the general adult population residing in the Metropolitan Region
of Sa˜o Paulo. The FFQ had nine possible response categories for
frequency of consumption of each item, ranging from never or less
than once in a month to 6 or more times per day. The FFQ
assessed how often each one of the food items had been consumed
by the elderly in the last 12 months. The vegetables group
included ten items, and the fruit and natural juices included 17
food items. The number of daily servings of fruit and vegetables
per individual was obtained from the sum of all the FFQ responses
referred to the mentioned food items and converted into grams/
day of total fruit and vegetable intake. Characteristics of the
consumption of fruit and vegetables by this population using this
FFQ have been previously published [24]. Education and Nutrition Improve Elderly Cognition Brazil has one of the fastest-aging populations in the world, with
prevalences of dementia ranging from 5,1% to 8,8%. However,
few studies have been carried out to assess cognitive impairment
[1,8–10], and only one looked at the association between fruit and
vegetable intake and cognitive function [11]. 2072 agree to participate, thus response rate was 91.4%. The
population of the present study was selected from the participants
of the SPAH study, excluding those with a dementia diagnosis at
entry (n = 105). Ethical approval no. 361/07 was obtained by the
Local Ethical Committee of Diretoria Clı´nica do Hospital das
Clı´nicas e da Faculdade de Medicina da Universidade de Sa˜o
Paulo. Written informed consent was obtained from all subjects,
and for those with cognitive impairment consent was obtained
from the informants. Other factors such as sociodemographic characteristics, health
behaviours, genetic factors and chronic diseases have been
associated with cognitive decline and dementia [12]. Education
may also be an important factor. It shapes food choices [13], but
may also contribute to cognitive reserve (CR). Studies suggest that,
although education is not directly related to the neuropathologic
lesions, it appears to reduce the impact of such lesions by
increasing the cognitive reserve. However, most of these studies
have been carried out in populations with high levels of education
(9–18 years). Study Design Measurement
of
cognitive
function
and
cognitive
impairment. The assessment of cognitive function was carried
out using the protocol developed by the 10/66 Dementia Research
Group for use in population-based studies in developing countries
and validated in elderly Brazilians from three different cities
including Sa˜o Paulo [17,20]. The Community Screening Instru-
ment for Dementia was used to assess cognitive function (CSI-D)
[21]. This instrument was devised to avoid educational and
cultural bias including illiteracy and low levels of education. It
consisted of 32 items which assessed cognitive abilities (memory,
abstract thinking), language (aphasia, agnosia and semantic verbal
fluency), praxis (motor response) and orientation (spatial and
temporal). In this study, cognitive impairment was defined as any
score from 21.5 standard deviations from the population cognitive
function mean score (mean = 26.93, SD = 3.98) [22]. Measurement
of
cognitive
function
and
cognitive
impairment. The assessment of cognitive function was carried
out using the protocol developed by the 10/66 Dementia Research
Group for use in population-based studies in developing countries
and validated in elderly Brazilians from three different cities
including Sa˜o Paulo [17,20]. The Community Screening Instru-
ment for Dementia was used to assess cognitive function (CSI-D)
[21]. This instrument was devised to avoid educational and
cultural bias including illiteracy and low levels of education. It
consisted of 32 items which assessed cognitive abilities (memory,
abstract thinking), language (aphasia, agnosia and semantic verbal
fluency), praxis (motor response) and orientation (spatial and
temporal). In this study, cognitive impairment was defined as any
score from 21.5 standard deviations from the population cognitive
function mean score (mean = 26.93, SD = 3.98) [22]. A cross-sectional population-based study was carried out during
2003–2005 with elderly participants of the Sa˜o Paulo Ageing &
Health Study (SPAH). The SPAH aimed at estimating the
prevalence of dementia, cognitive decline and associated factors
including consumption of fruit and vegetables from residents aged
65 years or over living in an economically deprived area of Sa˜o
Paulo city, Brazil. The present study used the protocol developed
by the 10/66 Dementia Research Group, an international
network of investigators with the principal objective of estimating
the prevalence of dementia and risk factors in elderly populations
in low- and middle-income countries [17]. A detailed description of the protocol as well as the method-
ology of the SPAH study has been published previously [9]. Data Collection Procedures. Eight mental health workers were trained in the
use of the research protocol including the standardized question-
naires about socioeconomic status and medical characteristics. For
each participant, an informant was also identified. Informants
were co-residents aged 16 years or over, or a relative or friend who
was familiar with the participant’s life history. For participants
with severe mental or physical disabilities, informants were asked
about the participant’s socioeconomic status and medical charac-
teristics. Only 1.6% (n = 29) of the interviews were answered by
the informants (informants’ mean age was 50), with 75.9% of the
interviews (n = 22) from participants with cognitive impairment. Procedures. Eight mental health workers were trained in the
use of the research protocol including the standardized question-
naires about socioeconomic status and medical characteristics. For
each participant, an informant was also identified. Informants
were co-residents aged 16 years or over, or a relative or friend who
was familiar with the participant’s life history. For participants
with severe mental or physical disabilities, informants were asked
about the participant’s socioeconomic status and medical charac-
teristics. Only 1.6% (n = 29) of the interviews were answered by
the informants (informants’ mean age was 50), with 75.9% of the
interviews (n = 22) from participants with cognitive impairment. Interviews with participants and informants were scheduled to
take place at the participant’s home approximately one week after
recruitment. These assessments took approximately 90 minutes. A
nursing assistant conducted the measurement of blood pressure
and collected blood samples at the participant’s home, 2–15 days
after the assessment interview. Physical activity has also been suggested as having a protective
effect against cognitive decline [14,15], although other studies
have concluded that there is little evidence to establish such an
association [16]. This study aimed to examine the relationship between cognitive
impairment and daily intake of fruit and vegetables, including¨five
a day¨ WHO recommendations, in an elderly disadvantaged
population of Sa˜o Paulo city. We also assess the relationship
between cognitive impairment and factors such as years of
education, APOE gene, co-morbidities and lifestyle variables. Interviews with participants and informants were scheduled to
take place at the participant’s home approximately one week after
recruitment. These assessments took approximately 90 minutes. A
nursing assistant conducted the measurement of blood pressure
and collected blood samples at the participant’s home, 2–15 days
after the assessment interview. Introduction the prevalence of non-communicable diseases. This included
eating 5 or more portions of fruit and/or vegetables a day ($
400 g/day) [6]. Despite the fact that some studies have examined
the relation between fruit and vegetable intake and cognitive
function, no studies have examined whether these recommenda-
tions may offer protection against cognitive impairment. A recent
systematic review included a total of nine studies [7]. Six analysed
fruit and vegetable intake separately. Of these, five found a positive
association with vegetable consumption and decreased risk of
cognitive function or dementia, but not with fruit intake, one did
not find an association with either fruit or vegetables, and three
studies found a positive association between combined intake of
fruit and vegetables and decreased risk of cognitive impairment or
dementia. Due to increased longevity worldwide, cognitive decline and
dementia are increasing exponentially [1]. Increasing evidence
suggests that aging and age-dependent accumulation of mtDN [2]
lead to the production of free radical species (ROS), resulting in
mitochondrial and synaptic damage in neurons which is present
from the early stages of Alzheimer disease (AD) [3]. Antioxidant
nutrients, which can scavenge free radicals, might have the
potential to delay cognitive decline and prevent progression to
dementia [4]. In fact, research focusing on developing mitochon-
dria-targeted
antioxidants
appear
to be
promising for
the
treatment of AD [3]. Fruit and vegetables are rich in antioxidant micronutrients
which have anti-inflammatory properties that may offer neuro-
protection [5]. In 2004, the WHO launched a strategy to reduce April 2014 | Volume 9 | Issue 4 | e94042 1 PLOS ONE | www.plosone.org Education and Nutrition Improve Elderly Cognition Education and Nutrition Improve Elderly Cognition demographic aspects (age, sex, marital status, years of education:
none, 1 to 3 years, 4 or more, and per capita monthly income: in
minimum Brazilian Real salaries at the time of the study); lifestyle
variables including self-reported physical activity which was
collected by asking:¨taking into account both working and leisure
time would you consider yourself: sedentary, moderately active, or
highly active¨. Information on ever having smoked (yes/no), usual
alcohol consumption (yes/no), monthly consumption of fish
(never, some days, frequently), self-reported history of diabetes,
hypertension, and previous cerebrum-vascular accident, was also
collected. Increasing evidence indicates a potential relation
between obesity and cognitive deficits [25]. Thus, nutritional
status was assessed calculating Body Mass Index (BMI) using the
weight in kilograms divided by the square of the height in meters. Height was measured to the nearest 0.1 cm with subjects standing
without shoes. The BMI was classified according to the WHO cut-
off points for elderly population [26]. Blood was collected for
analyses of fasting glucose (mg/dL), total cholesterol (mg/dL),
HDL-cholesterol (mg/dL), LDL-cholesterol (mg/dL), VLDL-
cholesterol (mg/dl) and triglycerides (mg/dL). HDL-cholesterol
was re-categorized according to the American Heart Association
guidelines [27,28]. Thus, we redefined HDL levels into two
categories low levels #50 mg/dl were considered to be associated
to risk of cardiovascular disease and high levels .50 mg/dL were
considered to be protective against cardiovascular risk. Triglycer-
ides were not considered into multivariate analyses since there was
a high number of missing values (65.5%). APOE gene was
analysed and individuals carriers of two e4 alleles were categorized
into the high risk group APOE = e4/e4, those with one e4 allele
were considered to have a moderate risk APOE = e4/e3, e4/e2,
those with e2/e2 were considered to have a protective genotype,
whereas carriers of e2/e3 were chosen as the reference group and
classified as having neither risk nor protection. We found just one
individual with APOE e4/e4 and cognitive impairment, so that we
had to collapse the two risk categories into one risk category: any
individual carrier of e4/e4 or e4/e3, e4/e2 for further statistical
analysis. Mean values of systolic blood pressure (mmHg) and
diastolic blood pressure (mmHg) were obtained from measure-
ments taken in triplicate. compare means of continuous variables and proportions of
categorical variables (Table 1). Education and Nutrition Improve Elderly Cognition The association between cognitive
impairment and each quartile of total fruit and vegetables intake
(Model II) and WHO recommendation levels (Model III), was
evaluated in two separate multivariate logistic models (Table2). For each category of co-variates, Wald test P values and their 95%
CIs for the OR were calculated. All covariates with P values ,0.05
or those reported in the biomedical literature as determinants of
cognitive impairment such as APOE, were retained in the final
models (Model II & III from Tables 2). Covariates which changed
original estimated coefficients (OR) for more than 20% were also
included as confounders. We explore the interaction between fruit
and vegetable intake and years of education with all other
covariates in the Models and the two significant interactions found
were presented in Table 3 (for Model II), and Table 4 (for Model
III). We excluded observations with missing values since analyses
using LR test with observations with missing values could lead to
spurious results [29]. Statistical analysis was performed using R
statistical package v.3.0.1. (http://www.r-project.org/) and SPSS
v.18. Results Of 2072 elderly individuals recruited, 1849 were included in the
final analyses, 1120 women (60.6%) and 729 men (39.4%). Six
participants were excluded due to missing data on fruit and
vegetable consumption, 105 individuals were excluded because
they were diagnosed with dementia at baseline, 10 individuals due
to missing data on cognitive function assessment and 102
participants were excluded because they reported improbable
consumptions of fruit and vegetables with intakes ranging from
850 g/d to 1325 g/d ($3.5 standard deviations from the mean). g
g
Table 1 and Table 2 show the general characteristics of the
population classified according to cognitive impairment, scores #
20.9, and without cognitive impairment scores above 20.9. An 8%
(n = 147) of the participants presented cognitive impairment,
(mean = 17.7, SD = 3.5) against 92% (n = 1702) without impair-
ment (mean = 27.6, SD = 2.8). Those with cognitive impairment
compared against those without cognitive impairment were
significantly older (77.5 years vs.71.5 years p,0.001), there were
more women than men (9.6% vs. 5.5% p,0.001), they reported
significant lower daily combined intakes of fruit and vegetables
(mean 272 grams/d vs. 364 grams/d), and very few achieved
WHO recommendations (4.2% vs. 10.3% p,0.001). Among those
without cognitive impairment compared with those with cognitive
impairment, the majority had 1 or more years of education, had
significantly higher monthly income per capita, were more
physically active, reported a higher daily intake of fish, and
reported less episodes of stroke. They also had lower average levels
of systolic blood pressure and higher BMI. Study Population Briefly, according to the most recent 2010 census, Sa˜o Paulo
city has an estimated population of 11.2 million, including over
one million people aged 60 or over [18]. The city is divided into 31
administrative boroughs. The SPAH study aimed to enrol all
residents $65 years of age, in 66 census sectors, belonging to three
Butanta˜ boroughs in the western region of the city. The study
covered a population of approximately 63,000 residents, repre-
senting 17% of the total population of these boroughs. The census
sectors included were characterized mainly by the presence of
shanty towns and/or Family Health Program teams. These areas
had the lowest Human Development Indexes of the 3 boroughs
[19]. Eligible participants were residents of the defined census
sectors. They were identified and recruited through door-knocking
of all households within the census sectors boundaries. All eligible
subjects were invited to participate. Institutionalized individuals
were not included. A total of 2000 individuals were required to
detect a prevalence of dementia of 5.0% with 80% power, 5%
significance and 95% confidence interval ranging from 4% to 6%. For that, it was necessary to contact 21,727 residences from the 66
census sectors to identify 2266 potential participants. From these, Co-variates and confounding variables. Information on
co-variates was collected using structure questionnaires for socio- April 2014 | Volume 9 | Issue 4 | e94042 PLOS ONE | www.plosone.org 2 Education and Nutrition Improve Elderly Cognition Statistical Methods The cognitive function was built from scores obtained using the
CSI-D instrument resulting into a continuous variable whose
values could range between 1 to 34 points, the lower the score the
greater the cognition decline. The CSI-D scores were not normally
distributed. Thus, the multivariate linear models did not meet the
assumptions of normality and homoscedasticity despite the
different transformations used in order to reach these assumptions. Therefore, the multivariate linear models were finally not used in
our analyses. We define cognitive impairment from the continuous
variable, cognitive function, as a dichotomous variable (yes/no),
based on cognitive scores less than or equal to 1.5 standard
deviations below the mean score of the population under study: #
20, 9 score. Main exposure, total daily combined intake of fruit
and vegetables, was converted into grams per day for each
participant. This final continuous variable was first re-categorized
into quartiles of intake and also re-categorized using the cut-off
points for the WHO recommendations (,400 grams/day or $
400 grams/day). For descriptive purposes, characteristics of
participants according to cognitive impairment were expressed
as number and percentages or means and standard deviations (SD)
and bivariate analyses performed to determine the association
between characteristics and cognitive impairment. The T-Student
test, Pearson chi-squared test and the exact Fisher test were used to The odds ratios (OR) and 95% confidence intervals (CI) for
cognitive impairment obtained from logistic regression models are
shown in Table 3 for three sets of models. Model I consists of each
variable only adjusted by age and sex. Model II, is the final model
for the association between cognitive impairment and quartiles of
combined fruit and vegetable intake with further adjustments for
co-variates. Model III is the final model for the association
between
cognitive
impairment
and
daily
WHO
fruit
and
vegetables recommendations with further adjustments. Both
models (II & III) included two significant interactions: one
between cognitive impairment and ‘years of education and
physical activity’ interaction term, and the other with ‘years of
education and HDL-cholesterol level’ interaction term (Table 4
and Table 5, respectively). April 2014 | Volume 9 | Issue 4 | e94042 April 2014 | Volume 9 | Issue 4 | e94042 PLOS ONE | www.plosone.org 3 Education and Nutrition Improve Elderly Cognition Table 1. General characteristics of the study participants of the SPAH study according to cognitive impairment. Discussion Although quartiles of fruit and vegetable intake were not
associated to lower prevalence of cognitive impairment, WHO
recommendations
for
daily
intakes
$400
grams/day
were
significantly associated with a 47% decreased prevalence of
cognitive impairment. Moreover, an effect modification between
years of education and physical activity and years of education and
blood levels of HDL was found. Thus, within the group of those
with 1 or more years of education compared to no education, to be
physically active compared to sedentary or to have HDL-
cholesterol levels above 50 mg/dl compared to levels #50 strongly
decreased prevalence of cognitive impairment. Tables 4 and 5 show the OR and 95% CI for cognitive
impairment for the interaction between each level of education
and physical activity, and each level of education and HDL–
cholesterol in Models II and III. Thus, illiterate participants in the
physical categories moderately active and highly active compared
to sedentary showed a mild protective effect against cognitive
impairment which did not reach significance OR 0.77 95% CI
(0.31–1.90) and OR 0.75 95% CI (0.39–1.46), respectively. However, for those with one or more years of education there
was a strong modification effect in both categories of physical
activity, for moderate activity OR 0.12 95% CI (0.03–0.57) and
for highly active OR 0.14 95% CI (0.06–0.31) versus sedentary. In
Model III we observed that this interaction was very similar thus,
among those with one or more years of education for moderate
and highly physically active categories versus sedentary there was a
strong decreased prevalence of cognitive impairment OR 0.15
95%
CI
(0.03–0.66),
and
OR
0.16
95%
CI
(0.07–0.37),
respectively. The present study is one of two Brazilian studies that assessed
the association between cognitive decline and consumption of fruit
and vegetables and the only one to evaluate this association using
WHO recommendations. The other Brazilian cross-sectional
study was conducted with 1558 individuals .60 years and showed
that those with consumption of less than 5 portions per week of
fruit and vegetables compared to those who consumed more than
five portions per week had worse cognitive function using the Mini
Mental State Examination test (MMSE), OR = 1.94 95% CI
(1.46–2.59) [11]. A recent systematic review of cohort studies showed evidence
that increased intake of vegetables is associated with lower risk of
dementia and lower rates of cognitive imapirment, however, no
evidence was found for the same association with fruit [7]. Statistical Methods y p
p
y
g
g
p
Cognitive function #20.9
Cognitive function .20.9
Category
Sub category
Result (%)
Result (%)
P-value
Age group (yrs)
65–69
28 (3.4)
792 (96.6)
,0.001(1)
70–74
33 (6.5)
477 (93.5)
75–80
34 (11.4)
265 (88.6)
80 or more
52 (23.6)
168 (76.4)
Sex
Women
107 (9.6)
1013 (90.4)
,0.001(2)
Men
40 (5.5)
689 (94.5)
Fruit and vegetables consumption (quartiles g/day)
0–176
60 (13.0)
403 (87.0)
,0.001(1)
177–326
38 (8.2)
424 (91.8)
327–507
27 (5.8)
435 (94.2)
508–850
22 (4.8)
440 (95.2)
Fruit and vegetables consumption (WHO) g/day
,400
117 (10.3)
1020 (89.7)
,0.001(2)
$400
30 (4.2)
682 (95.8)
Education (yrs)
None
116 (16.5)
587 (83.5)
,0.001(1)
1 to 3
31 (3.2)
950 (96.8)
4 or more
0 (0.0)
165 (100.0)
Income per capita (Brazilian Real)
,240
87 (15.5)
474 (84.5)
,0.001(1)
241–360
28 (7.8)
330 (92.2)
361–700
22 (4.7)
448 (95.3)
.700
10 (2.2)
450 (97.8)
Physical Activity
Sedentary
39 (15.5)
161 (80.5)
,0.001(1)
Moderately active
23 (11.7)
173 (88.3)
Highly active
85 (5.8)
1368 (94.2)
Smoking
No
129 (8.1)
1467 (91.9)
0.35(2)
Yes
18 (7.1)
235 (92.9)
Alcohol consumption
No
79 (6.7)
1102 (93.3)
0.21(2)
Yes
42 (7.9)
490 (92.1)
Fish consumption
Never
79 (10.9)
647 (89.1)
,0.001(1)
Some days
66(6.4)
972 (93.6)
Frequently
2 (2.4)
83 (97.6)
Diabetes
No
102 (7.4)
1269 (92.6)
0.14(2)
Yes
36 (9.3)
352 (90.7)
Hypertension
No
31 (8.1)
353 (91.9)
0.49(2)
Yes
113 (7.9)
1317 (92.1)
APOE
Reference
97 (8.2)
1093 (91.8)
0.88(1)
Protective
14 (8.8)
146 (91.3)
Low risk
24 (7.8)
282 (92.2)
High risk
1 (3.6)
27 (96.4)
Previous stroke
No
115(6.8)
1583 (93.2)
,0.001(2)
Yes
32 (21.2)
119 (78.8)
BMI (Kg/m2)
,23
55 (11.0)
444 (89.0)
0.007(1)
23–27.9
57 (7.7)
687 (92.3)
28–29.9
14 (7.0)
185 (93.0)
$30
14 (4.4)
302 (95.6)
HDL-cholesterol (mg/dl)
#50
62 (9.2)
609 (90.8)
0.06(2)
.50
76 (7.1)
998 (92.9)
(1)Chi-Square test;
(2)Fischer test; April 2014 | Volume 9 | Issue 4 | e94042 Education and Nutrition Improve Elderly Cognition Table 2. General characteristics of the study participants of the SPAH study according to cognitive impairment. Table 2. General characteristics of the study participants of the SPAH study according to cognitive impairment. Statistical Methods Cognitive function #20.9
Cognitive function .20.9
N
mean (sd)
mean (sd)
P-value(1)
Cognitive Function
1849
17.7 (3.5)
27.6 (2.8)
,0.001
Age in years
1849
77.5 (8.1)
71.5 (5.6)
,0.001
BMI (Kg/m2)
1771
24.7 (4.4)
26.0 (4.7)
,0.001
Glycaemia (mg/dl)
1743
109.6 (40.7)
111.4 (42.5)
0.63
Cholesterol (mg/dl)
1745
206.0 (48.1)
210.1 (43.7)
0.30
HDL-cholesterol(mg/dl)
1745
54.0 (13.8)
56.2 (14.3)
0.09
LDL-cholesterol (mg/dl)
1724
124.9 (36.8)
125.2 (34.9)
0.92
Triglycerides (mg/dl)
638
165.0 (135.0)
148.0 (93.2)
0.34
Systolic B.P. (mmHg)
1772
151.4 (29.0)
145.6 (25.6)
0.01
Diastolic B.P. (mmHg)
1772
85.9 (15.1)
86.3 (13.3)
0.78
(1)Student test. doi:10.1371/journal.pone.0094042.t002 Thus, results from Model II show that no significant association
was found between quartiles of fruit and vegetable intake and
cognitive impairment but Model III shows that intakes from $400
grams/day were associated with a decreased prevalence of
cognitive impairment OR = 0.53 95% CI (0.31–0.89). In both
models, men and higher income were associated with a decreased
prevalence of cognitive impairment, whereas having had a
previous
stroke
episode
was
associated
with
an
increased
prevalence of cognitive impairment. In Model III usual alcohol
consumption was also associated with increased prevalence of
cognitive impairment. Discussion The results of the present research suggest a protective role for
those meeting WHO recommendations against cognitive impair-
ment despite that only a minority of our population 19.8% 95%
CI (18.1–021.5) met WHO recommendations. In this study, the
prevalence of those with intakes $400 g/day of fruit and
vegetables is in concordance with findings from a WHO survey
carried out in several developing countries, including Brazil where
only a 22% of individuals .18 years old showed daily intakes $
400 g/day of fruit and vegetables [30]. Furthermore, results from
the World Health Survey data carried out in Brazil in 2003 noted
that for participants .65 years of age the prevalence of fruit and
vegetable intake, according to the WHO recommendations, was
20.6% for women and 14.8% for men, and this intake was
associated with higher income and higher education [31]. Most
recently, the Brazilian Household Budget Survey conducted
between 2008–2009, estimated that less than 10% of the A similar interaction was found between years of education and
HDL-cholesterol. Therefore, among illiterate participants, those
with HDL-cholesterol levels .50 mg/dl versus levels #50 mg/dl
showed a mild increased association with cognitive impairment
which did not reach significance 1.25 95% CI (0.72–2.16) and OR
1.23 95% CI (0.71–2.13) for Models II and III, respectively. However, among those with one or more years of education and
HDL-cholesterol levels .50 mg/dl versus #50 mg/dl we ob-
served a strong modification effect with a strong decrease in
prevalence of cognitive impairment, OR 0.20 (0.09–0.46) and OR
0.21 (0.09–0.48) for Model II and III, respectively. PLOS ONE | www.plosone.org PLOS ONE | www.plosone.org April 2014 | Volume 9 | Issue 4 | e94042 5 Education and Nutrition Improve Elderly Cognition Table 3. Associations between the prevalence of cognitive impairment and quartiles of fruit and vegetables intake and WHO recommendations for daily fruit and vegetables
intake SPAH study1. Discussion Model I2
Model II3
Model III4
OR (95% CI )
P-value5
OR (95%CI)
P-value5
OR (95% CI)
P-value5
Age group
65–69
1
1
1
70–74
1.70 (0.93–3.11)
0.09
1.43 (0.76–2.68)
0.27
1.47 (0.78–2.77)
0.23
75–80
3.46 (1.90–6.28)
,0.001
2.50 (1.33–4.72)
0.004
2.63 (1.39–4.99)
0.003
80 or more
8.12 (4.61–14.30)
,0.001
5.02 (2.72–9.28)
,0.001
5.26 (2.83–9.77)
,0.001
Sex
Women
1
1
1
Men
0.53 (0.34–0.84)
,0.001
0.57 (0.34–0.95)
0.03
0.44 (0.25–0.78)
0.005
Fruit and vegetables consumption (quartiles in g/day)
0–176
1
1
177–326
0.58 (0.34–0.98)
0.04
0.68 (0.39–1.18)
0.17
–
–
327–507
0.48 (0.28–0.84)
0.01
0.60 (0.33–1.11)
0.10
–
–
508–850
0.38 (0.21–0.69)
0.001
0.63 (0.33–1.21)
0.16
–
–
Fruit and vegetables consumption (WHO) g/day
,400
1
1
.400
0.40 (0.25–0.65)
,0.001
–
–
0.53 (0.31–0.89)
0.02
Education
None
1
(a)(b)
–
(a)(b)
–
1 or more years
0.23 (0.14–0.36)
,0.001
Income per capita (Brazilian Real)
,240
1
1
1
241–360
0.46 (0.28–0.77)
0.003
0.60 (0.35–1.04)
0.07
0.61 (0.35–1.04)
0.07
361–700
0.33 (0.19–0.58)
,0.001
0.47 (0.26–0.85)
0.01
0.47 (0.25–0.85)
0.01
.700
0.13 (0.05–0.31)
,0.001
0.21 (0.08–0.52)
,0.001
0.22 (0.09–0.54)
,0.001
Physical Activity
Sedentary
1
ModeratelyActive
0.43 (0.21–0.89)
0.02
(a)
–
(a)
–
Highly Active
0.33 (0.20–0.54)
,0.001
Smoking
No
1
Yes
1.07 (0.56–2.03)
0.85
NS
–
NS
–
Alcohol consumption
No
1
1
Yes
2.11 (1.31–3.40)
0.002
NS
–
1.87 (1.12–3.13)
0.02
Fish consumption
Never
1
Some days/Frequently
0.55 (0.37–0.83)
0.004
NS
–
NS
–
Diabetes
No
1
Yes
1.24 (0.78–1.98)
0.37
NS
–
NS
–
Hypertension
No
1
Yes
0.74 (0.46–1.22)
0.24
NS
–
NS
–
APOE
Neutral
1
1
1
Protective
0.96 (0.49–1.89)
0.91
0.90 (0.44–1.84)
0.78
0.88 (0.43–1.80)
0.72 PLOS ONE | www.plosone.org 6 Education and Nutrition Improve Elderly Cognition Model I2
Model II3
Model III4
OR (95% CI )
P-value5
OR (95%CI)
P-value5
OR (95% CI)
P-value5
Risk
0.89 (0.52–1.52)
0.67
1.02 (0.58–1.81)
0.95
1.06 (0.60–1.88)
0.84
Previous stroke
No
1
1
1
Yes
2.65 (1.54–4.55)
,0.001
2.23 (1.22–4.09)
0.009
2.25 (1.23–4.14)
0.009
BMI
,23
1
23–27.9
0.79 (0.49–1.25)
0.31
NS
–
NS
–
28–29.9
0.61 (0.29–1.26)
0.18
$30
0.51 (0.26–1.00)
0.05
HDL-cholesterol
#50 mg/dl
1
(b)
–
(b)
–
.50 mg/dl
0.70 (0.45–1.07)
0.10
Glycaemia (mg/dl)
1.00 (0.99–1.01)
0.44
NS
–
NS
–
Cholesterol (mg/dl)
1.00 (0.99–1.01)
0.68
NS
–
NS
–
LDL-cholesterol (mg/dl)
1.00 (0.99–1.01)
0.51
NS
–
NS
–
Triglycerides (mg/dl)
1.00 (0.99–1.01)
0.89
NS
–
NS
–
Systolic B.P. April 2014 | Volume 9 | Issue 4 | e94042 Discussion Physical Activity
HDL-cholesterol
Sedentary
Moderately Active
Highly Active
#50 mg/dl
.50 mg/dl
Education
None
1
0.77 (0.31–1.90)
0.75 (0.39–1.46)
1
1.25 (0.72–2.16)
1yr or more
1
0.12 (0.03–0.57)
0.14 (0.06–0.31)
1
0.20 (0.09–0.46)
1Odds Ratios (OR) and their 95% Confidence Interval (95% CI). doi:10.1371/journal.pone.0094042.t004 Table 4. Interaction between years of education and physical activity, and years of education and HDL-cholesterol in Model II:
(quartiles of fruit and vegetables intake), SPAH study1. 1Odds Ratios (OR) and their 95% Confidence Interval (95% CI). doi:10.1371/journal.pone.0094042.t004 literacy and the first years of education are associated with
remarkable changes in cortical network organization and function
[38]. On the other hand, physical activity has also been implicated
as an important component not only of improved cardiorespira-
tory fitness, but its benefits would extend also to improved
cognitive function and reduced risk for dementia [14,39,40]. In a
cohort study in China with 27,651 people aged between 50 and
85, those who were classified as physically active had a 28%
decreased risk of having mild cognitive impairment, and this
relationship was dose-dependent OR = 0.72 95% CI (0.58–0.89)
[15]. population spent enough of their family budget on fruit and
vegetables to be able to attain WHO recommendations [32]. In a
recent reanalyses of these data it was observed that the intake
tended to increase linearly with increasing level of household
income [33]. Most population studies suggest that the consumption of fruit
and vegetables worldwide is below the current WHO recommen-
dations, and the consumption of individuals meeting recommen-
dations is associated with socioeconomic factors. The consumption
of fruit and vegetables in the elderly included in the SPAH study
proved to be clearly inadequate. Even in this relatively homoge-
neous population in relation to socioconomic characteristics,
inadequate fruit and vegetable intake was associated with adverse
socioeconomic conditions (lower education level and lower per
capita income). It is known that lower levels of education and
income are associated with higher risk of developing non-
communicable diseases, including cognitive decline and dementia
[34]. Several studies have shown that higher educational levels are
associated with lower risk of developing dementia [35]. In the U.S. Nurses’ Health Cohort Study, women who had
higher intakes of fruit and vegetables had higher schooling levels
and were more physically active [41]. Discussion In a Dutch cohort study
with 2613 participants, those individuals with higher intakes of
fruit and vegetables (highest quintile) had reduced cognitive
decline, higher educational level, fewer risk factors (such as
smoking, alcohol intake and sedentary lifestyle) and higher levels of
HDL-cholesterol [2]. The association between education and
levels of HDL-cholesterol may be mediated by the best dietary
patterns and also by increased participation in physical activity
among people with higher education levels. In fact, previous results from our population showed that
illiteracy,
poor
occupational
achievement
and
low
income
accounted for 22.0% to 38.5% of the cases of dementia and that
low educational attainment earlier in life generally triggers a
cascade of social adversities that increased the risk of dementia
later in life [36]. The SPAH study had a high response rate (91.4%) and this
contributed to minimize potential selection bias. The performance
of the interviews and assessments in the households made less
likely that the non-participation of the elderly has been due to
comorbidities, also avoiding selection bias, which in this case
would be related to participation of healthier older. Attempts were
also made to minimize interviewer bias by masking observers to
disease status and the objectives under study. In this study only
1.6% (n = 29) of the interviews were answered by the informants. Analysis was repeated excluding these and results were similar to
those presented here, so we decided to include them in our
analyses. We also attempted to minimize the influence of
unadjusted confounding by including in the Models all the
variables that we found to be associated with cognitive impairment
or those reported in the scientific literature including APOE gene. Thus, a recent Brazilian post mortem coss-sectional study
showed that even a few years of formal education were associated
with less cognitive impairment independent of neuropathlogic
burden [37]. Our study found an important interaction, which was not
anticipated a priori, between years of education and physical
activity, and between years of education and HDL-cholesterol
levels and decreased prevalence of cognitive impairment, con-
firming the importance of social determinants in healthier choices
and better quality of life in this elderly population. Even though
our population presented very low levels of years of education,
those with 1 or more years showed a strong decrease of prevalence
of cognitive impairment. Recent evidence demonstrates that Table 5. Discussion (mmHg)
1.01 (1.00–1.02)
0.02
NS
–
NS
–
Diatolic B.P. (mmHg)
1.00 (0.99–1.02)
0.27
NS
–
NS
–
1Odds Ratio (OR) and 95% confidence interval (CI) obtained from logistic regression models. 2Model I Adjusted for age and sex, 1503 valid cases. 3Model II Adjusted for factors in Model I and fruit and vegetables consumption in quartiles, 1503 valid cases. 4Model III Adjusted for factors in Model I and fruit and vegetables consumption according to daily WHO recommendations, 1503 valid cases. 5Two tailed P values based on Wald tests. NS: Non-Significant. (a)(b) Significant interaction between education-physical activity and education-HDL-cholesterol respectively. Odds Ratio (OR) and 95% confidence interval (CI) presented in Tables 3 and 4. doi:10.1371/journal.pone.0094042.t003 1Odds Ratio (OR) and 95% confidence interval (CI) obtained from logistic regression models. 2Model I Adjusted for age and sex, 1503 valid cases. 3Model II Adjusted for factors in Model I and fruit and vegetables consumption in quartiles, 1503 valid cases. 4Model III Adjusted for factors in Model I and fruit and vegetables consumption according to daily WHO recommendations, 1503 valid cases. 5Two tailed P values based on Wald tests. NS: Non-Significant. (a)(b) Significant interaction between education-physical activity and education-HDL-cholesterol respectively. Odds Ratio (OR) and 95% confidence interval (CI) presented in Tables 3 and 4. doi:10 1371/journal pone 0094042 t003 April 2014 | Volume 9 | Issue 4 | e94042 April 2014 | Volume 9 | Issue 4 | e94042 PLOS ONE | www.plosone.org 7 Education and Nutrition Improve Elderly Cognition Table 4. Interaction between years of education and physical activity, and years of education and HDL-cholesterol in Model II:
(quartiles of fruit and vegetables intake), SPAH study1. Physical Activity
HDL-cholesterol
Sedentary
Moderately Active
Highly Active
#50 mg/dl
.50 mg/dl
Education
None
1
0.77 (0.31–1.90)
0.75 (0.39–1.46)
1
1.25 (0.72–2.16)
1yr or more
1
0.12 (0.03–0.57)
0.14 (0.06–0.31)
1
0.20 (0.09–0.46)
1Odds Ratios (OR) and their 95% Confidence Interval (95% CI). doi:10.1371/journal.pone.0094042.t004 Table 4. Interaction between years of education and physical activity, and years of education and HDL-cholesterol in Model II:
(quartiles of fruit and vegetables intake), SPAH study1. Table 4. Interaction between years of education and physical activity, and years of education and HDL-cholesterol in Model II:
(quartiles of fruit and vegetables intake), SPAH study1. References 14. Angevaren M, Aufdemkampe G, Verhaar HJ, Aleman A, Vanhees L (2008)
Physical activity and enhanced fitness to improve cognitive function in older
people without known cognitive impairment. Cochrane Database Syst Rev:
CD005381. 1. Schmidt MI, Duncan BB, Azevedo e Silva G, Menezes AM, Monteiro CA, et al. (2011) Chronic non-communicable diseases in Brazil: burden and current
challenges. Lancet 377: 1949–1961. g
2. Mao P, Gallagher P, Nedungadi S, Manczak M, Shirendeb UP, et al. (2012)
Mitochondrial DNA deletions and differential mitochondrial DNA content in
Rhesus monkeys: implications for aging. Biochim Biophys Acta 1822: 111–119. 15. Xu L, Jiang CQ, Lam TH, Zhang WS, Thomas GN, et al. (2011) Dose-response
relation between physical activity and cognitive function: guangzhou biobank
cohort study. Ann Epidemiol 21: 857–863. 3. Reddy PH, Tripathi R, Troung Q, Tirumala K, Reddy TP, et al. (2012)
Abnormal mitochondrial dynamics and synaptic degeneration as early events in
Alzheimer’s disease: implications to mitochondria-targeted antioxidant thera-
peutics. Biochimica et biophysica acta 1822: 639–649. 16. Plassman BL, Williams JW, Burke JR, Holsinger T, Benjamin S (2010)
Systematic review: factors associated with risk for and possible prevention of
cognitive decline in later life. Ann Intern Med 153: 182–193. g
17. Prince M (2000) Dementia in developing countries. A consensus statement from
the 10/66 Dementia Research Group. Int J Geriatr Psychiatry 15: 14–20. 4. Crichton GE, Bryan J, Murphy KJ (2013) Dietary antioxidants, cognitive
function and dementia–a systematic review. Plant Foods Hum Nutr 68: 279–
292. 18. IBGE (2011) Censo Demogra´fico de 2010. Rio de Janeiro: Instituto Brasileiro de
Geografia e Estatı´stica. 5. Hughes TF, Andel R, Small BJ, Borenstein AR, Mortimer JA, et al. (2010)
Midlife fruit and vegetable consumption and risk of dementia in later life in
Swedish twins. Am J Geriatr Psychiatry 18: 413–420. 19. Secretaria do Governo da Prefeitura de Sa˜o Paulo. Suma´rio de Dados do
Municı´pio de Sa˜o Paulo 2004. 2006 out 20. Sa˜o Paulo, Brasil. 20. Prince M, Acosta D, Chiu H, Scazufca M, Varghese M, et al. (2003) Dementia
diagnosis in developing countries: a cross-cultural validation study. Lancet 361:
909–917. 6. WHO (2000) Obesity: preventing and managing the global epidemic: report of a
WHO consultation. Geneva: World Health Organization. WHO consultation. Geneva: World Health Organizatio 7. Loef M, Walach H (2012) Fruit, vegetables and prevention of cognitive decline
or dementia: a systematic review of cohort studies. J Nutr Health Aging 16: 626–
630. 21. Conclusions In this disavantaged population those who attained WHO
recommendations for daily intakes of fruit and vegetables had a
significantly
decreased
prevalence
of
cognitive
impairment. Moreover, those with even 1 or more years of education compared
with those with none, or the fact of being physically active as
opposed to sedentary had an important impact on the prevalence
of cognitive impairment. It is expected that the incidence of cognitive impairment in
elderly Brazilians increases concomitantly with the rapidly aging
population. Through research, we need not only to have a more
comprenhensive understanding of the biological processes which
lead to cognitive impairment, but also to have a broader view of
the social determinants of this health problem. Research must not
only focus on increasing life expectancy but also on improving
quality of life. The present results show that promoting education
and health policies to encourage and enable healthy lifestyles in
disadvantanged populations could make a significant difference. The development of strategies to prevent or delay age associated
cognitive impairment should be a priority for public health, in
order to achieve the best health possible when older. The assessment of physical activity was not performed using a
standardized questionnaire and consisted merely of self-reported
question straightforward. However, our results are in line with
other studies that found an association using more thorough tools
[14,39,40]. We believe that the use of a low sensitivity tool for the
assessment of physical activity, did not bias the relation found in
the present study. The SPAH included a population living in low-income areas of
Sa˜o Paulo city. The demographic and socioeconomic character-
istics of the study population were very similar to those aged 65 or
over in the Brazilian census of 2000 and 2010 supporting the
external validity of our results [18,43]. We believe that, with caution, the associations observed in this
study can be generalized to the elderly population of Brazilian
urban centers and possibly to the elderly in other low- and middle-
income countries. Although the cross-sectional nature of the
SPAH study does not permit the establishment of a causal Discussion Interaction between years of education and physical activity, and years of education and HDL-cholesterol in Model III:
(WHO recommendations), SPAH study1. Physical Activity
HDL-cholesterol
Sedentary
Moderately Active
Highly Active
#50 mg/dl
.50 mg/dl
Education
None
1
0.78 (0.32–1.91)
0.78 (0.40–1.51)
1
1.23 (0.71–2.13)
1yr or more
1
0.15 (0.03–0.66)
0.16 (0.07–0.37)
1
0.21 (0.09–0.48)
1Odds Ratios (OR) and their 95% Confidence Interval (95% CI). doi:10.1371/journal.pone.0094042.t005
PLOS ONE | www.plosone.org
8
April 2014 | Volume 9 | Issue 4 | e94042 Table 5. Interaction between years of education and physical activity, and years of education and HDL-cholesterol in Model III:
(WHO recommendations), SPAH study1. Physical Activity
HDL-cholesterol
Sedentary
Moderately Active
Highly Active
#50 mg/dl
.50 mg/dl
Education
None
1
0.78 (0.32–1.91)
0.78 (0.40–1.51)
1
1.23 (0.71–2.13)
1yr or more
1
0.15 (0.03–0.66)
0.16 (0.07–0.37)
1
0.21 (0.09–0.48)
1Odds Ratios (OR) and their 95% Confidence Interval (95% CI). doi:10.1371/journal.pone.0094042.t005
PLOS ONE | www.plosone.org
8
April 2014 | Volume 9 | Issue 4 | e94042 Table 5. Interaction between years of education and physical activity, and years of education and HDL-cholesterol in Model III:
(WHO recommendations), SPAH study1. years of education and physical activity, and years of education and HDL-cholesterol in Model III:
H t d1 1Odds Ratios (OR) and their 95% Confidence Interval (95% CI). doi:10.1371/journal.pone.0094042.t005 PLOS ONE | www.plosone.org PLOS ONE | www.plosone.org 8 Education and Nutrition Improve Elderly Cognition As with any epidemiological study that aims to classify
participants according to their cognitive functioning, misclassifi-
cation could have occurred [20,42]. However, the protocol used
included applying CSI-D which was developed to provide equal
performance in the assessment of cognitive functioning of
individuals from different cultures and educational levels. The
CSI-D was translated into Portuguese and validated for the elderly
population, with robust sensitivity (94%) and specificity (94%) to
detect cognitive impairment in individuals with low education
[20]. As with any tool for data collection, the CSI-D has a degree
of non-differential classification that is inherent to the instrument,
since it is based on memory. The resulting error in measuring the
cognitive impairment from CSI-D would be expected to lead to a
dilution of the magnitude of the association. relationship, this study suggests that the results examined here play
an important role in the cognitive function of this socially deprived
population. Author Contributions Conceived and designed the experiments: PM MS. Analyzed the data:
MPV RFV HV. Wrote the paper: MPV SAS. Critically reviewed the
manuscript: PM MS HV. Conceived and designed the experiments: PM MS. Analyzed the data:
MPV RFV HV. Wrote the paper: MPV SAS. Critically reviewed the
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Geriatr Cogn Disord 27: 147–154. April 2014 | Volume 9 | Issue 4 | e94042 9 PLOS ONE | www.plosone.org Education and Nutrition Improve Elderly Cognition Education and Nutrition Improve Elderly Cognition Rev Saude Publica 46: 6–15. 42. Scazufca M, Almeida OP, Vallada HP, Tasse WA, Menezes PR (2009)
Limitations of the Mini-Mental State Examination for screening dementia in a
community with low socioeconomic status: results from the Sao Paulo Ageing &
Health Study. Eur Arch Psychiatry Clin Neurosci 259: 8–15. 34. WHO (2011) Global Health and Aging. World Health Organization and
National Institute of Health. Health Study. Eur Arch Psychiatry Clin Neurosci 259: 8–15 43. IBGE (2002) Perfil dos Idosos Responsa´veis pelos Domicı´lios no Brasil 2000. Estudos e Pesquisas. Informac¸a˜o Sociodemogra´fica e Socioeconoˆmica. Rio de
janeiro: Instituto Brasileiro de Geografia e Estatı´stica. 35. Sharp ES, Gatz M (2011) Relationship between education and dementia: an
updated systematic review. Alzheimer Dis Assoc Disord 25: 289–304. PLOS ONE | www.plosone.org April 2014 | Volume 9 | Issue 4 | e94042 PLOS ONE | www.plosone.org 10
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First Case of an Infant with COVID-19 in the Middle East
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Abstract The novel coronavirus (COVID-19) has been declared a worldwide pandemic. It was initially
thought to spare children and adolescents as significantly smaller number of cases have been
reported in the pediatric population in comparison to adults. Here, we report the case of a 16-
month-old female infant from Lebanon who presented with fever and severe diarrhea and
tested positive for COVID-19. Her symptoms started six days prior to presentation with no
cough, rhinorrhea, or other respiratory manifestations reported. Chest radiography showed
lobar consolidation and bronchial infiltrates. Blood culture was positive for Streptococcus
pneumoniae. Stool and urine cultures were negative. She was treated with ceftriaxone and
metronidazole. Her RT-PCR test was negative after five days of treatment, suggesting that
children can clear the virus faster than adults. The patient likely contracted the virus from her
parents, who because of the fear of social stigma hide recent history of respiratory illness. These findings serve as a practical reference for the clinical diagnosis and medical treatment of
children with COVID-19. Categories: Emergency Medicine, Pediatrics, Infectious Disease
Keywords: covid-19, coronavirus, sars-cov-2, pediatrics, infants, pandemic, lebanon, middle east,
gastrointestinal symptoms, children Open Access Case
Report Open Access Case
Report Open Access Case
Report DOI: 10.7759/cureus.7520 Introduction The novel coronavirus disease 2019 (COVID-19) is the result of an infection with the severe
acute respiratory syndrome coronavirus 2 (SARS-CoV-2), a member of Betacoronavirus. Initial
cases were detected in Wuhan, a city in China, near the end of 2019 [1]. The virus is believed to
replicate in the respiratory system during the prodromal period, and exhibits human-to-human
transmission patterns through respiratory droplets and contact routes [1,2]. The disease causes
mild to severe illness, with symptoms appearing 2-14 days after exposure and most commonly
comprising fever, cough, and shortness of breath. Most severe illness occurs in older adults but
comparison with the pediatric population can be challenging as documented cases in infants
and children have been scarce [3,4]. Received 04/02/2020
Review began 04/02/2020
Review ended 04/02/2020
Published 04/03/2020 How to cite this article
Mansour A, Atoui R, Kanso K, et al. (April 03, 2020) First Case of an Infant with COVID-19 in the Middle
East. Cureus 12(4): e7520. DOI 10.7759/cureus.7520 Mansour et al. This is an open access
article distributed under the terms of
the Creative Commons Attribution
License CC-BY 4.0., which permits
unrestricted use, distribution, and
reproduction in any medium, provided
the original author and source are
credited. Received 04/02/2020
Review began 04/02/2020
Review ended 04/02/2020
Published 04/03/2020
© Copyright 2020
Mansour et al. This is an open access
article distributed under the terms of
the Creative Commons Attribution
License CC-BY 4.0., which permits
unrestricted use, distribution, and
reproduction in any medium, provided
the original author and source are
credited. First Case of an Infant with COVID-19 in
the Middle East First Case of an Infant with COVID-19 in
the Middle East Amani Mansour , Rola Atoui , Kamal Kanso , Rami Mohsen , Youssef Fares , Jawad Fares
1
2
1
1
3
4 1. Pediatrics and Adolescent Medicine, Lebanese University Faculty of Medicine, Beirut, LBN 2. Infectious Diseases, Lebanese University Faculty of Medicine, Beirut, LBN 3. Neuroscience Research
Center, Lebanese University, Beirut, LBN 4. Neurological Surgery, Northwestern University Feinberg
School of Medicine, Chicago, USA Corresponding author: Jawad Fares, jawad.fares@northwestern.edu © Copyright 2020 Mansour et al. This is an open access
article distributed under the terms of
the Creative Commons Attribution
License CC-BY 4.0., which permits
unrestricted use, distribution, and
reproduction in any medium, provided
the original author and source are
credited. As of mid-March 2020, COVID-19 has spread rapidly and widely to become a global pandemic
[5]. Outbreaks have been reported in China, South Korea, Iran, Italy, Spain, and the United
States. Many other European, Asian, African, and North and South American countries have
been reporting cases [6]. Nevertheless, the Middle East countries have been lagging in terms of
publishing clinical outcomes [7]. Case Presentation Case Presentation Here, we report the first case in the Middle East of a 16-month-old Lebanese female, previously
healthy, who had symptomatic COVID-19. The patient was transferred from another hospital due to increasing hypoactivity and severe
diarrhea. The referring hospital had ruled out coronavirus infection due to the absence of
cough. Parents reported that the infant was healthy and had regular food intake until
symptoms started six days prior to presentation. They denied exposure to or contact with
infectious risk factors and affirmed that no cough/rhinorrhea symptoms were present. Upon examination, the patient was febrile (40°C) with a respiratory rate of 24 breaths per
minute and a heart rate of 166 bpm. Chest auscultation revealed rhonchi. Differential
diagnoses included gastroenteritis, pneumoniae, and COVID-19, and the patient was put on
isolation as a preliminary measure. Laboratory studies revealed leukocytosis with a white cell count of 15,000 cu mm (range: 3,400-
9,600) and elevated C-reactive protein level reaching 231.16 mg/L (range: 0-5) (Table 1). Laboratory Tests
At Presentation
Normal Range
Chemistry
Phosphorus
3.15 mg/dL
>18 years: 2.7-4.8
Na+
137.00 mmol/L
136.00-145.00
K+
3.93 mmol/L
3.50-5.10
CL-
104.50 mmol/L
98.00-107.00
CO2
*16.40 mmol/L
23.00-29.00
Creatinine
*0.21mg/dL
0.51-0.95
BUN
*4.00 mg/dL
6.00-20.00
Calcium
9.33 mg/dL
8.50-10.50
Magnesium
2.15 mg/dL
1.70-2.60
EGFR
210.33
>60.00 mL/min/1.72 m2
SGPT
21.00 U/L
5.00-41.00
Bilirubin total
0.60 mg/dL
0.20-1.00
Bilirubin direct
*0.24 mg/dL
0.00-0.20
Serology
CRP
*231.16 mg/L
0.00-5.00
Hematology
RBC
*3.29 x106 cu mm
3.92-5.13
20 Mansour et al. Cureus 12(4): e7520. DOI 10.7759/cureus.7520
2 of 6 2 of 6 Hemoglobin (Hb)
*8.40 g/dL
11.50-16.00
Hematocrit (Ht)
*24.80%
35.50-44.90
MCV
*75.00 f L
78.00-98.00
MCH
*25.50 pg
27.00-31.00
RDW
14.60%
12.00-16.00
Platelets
*524000 cu mm
150000-375000
MPV
8.20 um3
6.00-11.00
PDW
12.80 %
11.00-18.00
WBC
*15,500 cu mm
3400-9600
Neutrophils
*74.40%
40.00-65.00
ANC
*11.50 cu mm
1.56-6.45
Lymphocytes
*15.80%
25.00-40.00
ALC
2.45 cu mm
0.95-3.07
Monocytes
*9.30%
2.00-8.00
Monocyte count
*1.44 cu mm
0.26-0.81
Eosinophils
0.50%
0.00-4.00
Eosinophil count
0.08 cu mm
0.03-0.48
Basophils
0.00%
0.00-1.00 2020 Mansour et al. Cureus 12(4): e7520. DOI 10.7759/cureus.7520 TABLE 1: Laboratory test results of the infant upon presentation. TABLE 1: Laboratory test results of the infant upon presentation. BUN: blood urea nitrogen; EGFR: estimated glomerular filtration rate; SGPT: serum glutamic pyruvic transaminase; CRP: C-reactive
protein; RBC: red blood cell; MCV: mean corpuscular volume; MCH: mean corpuscular hemoglobin; RDW: red cell distribution width;
MPV: mean platelet volume; PDW: platelet distribution width; ANC: absolute neutrophil count; ALC: absolute lymphocyte count. *Values not within normal range. Cultures for blood, urine, and stool were taken. A chest radiograph showed left upper lobe
consolidation and bilateral lower lobe infiltrates (Figure 1). This warranted nasopharyngeal
swabs for an RT-PCR to test for SARS-CoV-2. 3 of 6 2020 Mansour et al. Cureus 12(4): e7520. DOI 10.7759/cureus.7520 Discussion Cases of COVID-19 in children are not as rare as they might have been thought [8,9]. This is the
first case reported from the Middle East that involves a 16-month-old female infant. Around
2.4% of cases with COVID-19 were reported to be among the pediatric population in China [10]. Ages ranged between 3 and 14 years, with males being predominantly affected [10-12]. Uniquely, our patient presented with fever and diarrhea; cough and other respiratory symptoms
were not reported. Previous COVID-19 studies in the pediatric population noted that common
symptoms include fever, cough, sore throat, and rhinorrhea. Diarrhea has not been reported yet
[6,10]. This warrants a more comprehensive definition of the symptoms that govern COVID-19
in the pediatric population, as gastrointestinal symptoms have been documented in our case
and among adults [13]. The RT-PCR test was negative after five days of treatment and 11 days after the onset of
symptoms. This suggests that children might clear the virus more rapidly than adults. Similarly,
previous research in children indicates that the RT-PCR test becomes negative within 12 days
(range: 6-22) after the presentation of symptoms [6]. The first RT-PCR test took two days for the
result to generate, whereas the subsequent test was much faster, and the result was obtained
on the same day due to the expansion of the testing capacity by the Lebanese Ministry of Public
Health. Fear of social stigma drove the patient’s parents to hide information of their respiratory tract
illnesses. It is important to address this issue at public health levels and to stress and highlight
the social responsibility associated with reporting any relevant medical data related to the
COVID-19 pandemic. Moreover, health communication and promotion strategies must be
improved to increase awareness and literacy on the current pandemic, and brush off rumors
and misinformation that can cause fear and panic [14]. Imaging of the infant’s chest shows large consolidation at the left apical lobe with bronchial
infiltrates that are dominant at the left base, and asymmetrical lung bases (A). The heart size is
normal, the rib cage is intact, and the diaphragmatic arches are in normal position (A). A discrete
blunting at the left pleural sinus can be observed (B). In the meantime, the patient was put on a hydration regimen and was started on ceftriaxone
(75 mg/kg/day) and metronidazole (10 mg/kg, every eight hours). On day 2 of admission, the
patient became afebrile and exhibited improvement in physical activity. On day 3, the result of
the RT-PCR test returned positive for COVID-19. Blood culture was positive for Streptococcus
pneumoniae. Stool and urine cultures were negative. Upon further investigation, the father admitted that he had ‘flu-like’ symptoms two weeks
before presentation but denied travel history or contact with a defined case of COVID-19. The
mother also confessed having similar symptoms but did not seek medical consultation at the
time. This hinted that the patient likely contracted the virus from her parents, who, in turn,
might have been infected through community transmission. The family was transferred to a
designated quarantine for isolation. On day 5, the RT-PCR test of the infant was negative, and
the patient’s symptoms had resolved. FIGURE 1: A chest radiograph. FIGURE 1: A chest radiograph. FIGURE 1: A chest radiograph. 2020 Mansour et al. Cureus 12(4): e7520. DOI 10.7759/cureus.7520 4 of 6 References 1. Lu R, Zhao X, Li J, et al.: Genomic characterisation and epidemiology of 2019 novel
coronavirus: implications for virus origins and receptor binding. Lancet. 2020, 395:565-574. 10.1016/S0140-6736(20)30251-8 2. Yu P, Zhu J, Zhang Z, Han Y: A familial cluster of infection associated with the 2019 novel
coronavirus indicating potential person-to-person transmission during the incubation period
[Epub ahead of print]. J Infect Dis. 2020, 10.1093/infdis/jiaa077 Epub ahead of print]. J Infect Dis. 2020, 10.1093/infdis/ji 3. Lu X, Zhang L, Du H, et al.: SARS-CoV-2 infection in children [Epub ahead of print] . N Engl J
Med. 2020, 10.1056/NEJMc2005073 4. Liu W, Zhang Q, Chen J, et al.: Detection of covid-19 in children in early January 2020 in
Wuhan, China. N Engl J Med. 2020, 382:1370-1371. 10.1056/NEJMc2003717 5. Khachfe HH, Chahrour M, Sammouri J, Salhab HA, Makki BE, Fares MY: An epidemiological
study on COVID-19: a rapidly spreading disease. Cureus. 2020, 12:e7313. 10.7759/cureus.7313 6. Hasan A, Mehmood N, Fergie J: Coronavirus disease (COVID-19) and pediatric patients: a
review of epidemiology, symptomatology, laboratory and imaging results to guide the
development of a management algorithm. Cureus. 2020, 12:e7485. 10.7759/cureus.7485 7. Chahrour M, Assi S, Bejjani M, et al.: A bibliometric analysis of COVID-19 research activity: a
call for increased output. Cureus. 2020, 12:e7357. 10.7759/cureus.7357 7. Chahrour M, Assi S, Bejjani M, et al.: A bibliometric analysis of COVID-19 research activity: a
call for increased output. Cureus. 2020, 12:e7357. 10.7759/cureus.7357 8. Cui Y, Tian M, Huang D, et al.: A 55-day-old female infant infected with COVID 19:
presenting with pneumonia, liver injury, and heart damage [Epub ahead of print]. J Infect Dis. 2020, 10.1093/infdis/jiaa113 9. Wei M, Yuan J, Liu Y, Fu T, Yu X, Zhang ZJ: Novel coronavirus infection in hospitalized
infants under 1 year of age in China [Epub ahead of print]. JAMA. 2020, 10. Cai J, Xu J, Lin D, et al.: A case series of children with 2019 novel coronavirus infection:
clinical and epidemiological features [Epub ahead of print]. Clin Infect Dis. 2020,
10.1093/cid/ciaa198 11. Xia W, Shao J, Xia W, Shao J, Xia W, Shao J: Clinical and CT features in pediatric patients with
COVID‐19 infection: different points from adults [Epub ahead of print]. Pediatr Pulmonol. 2020, 10.1002/ppul.24718 12. Dong Y, Mo X, Hu Y, et al.: Epidemiological characteristics of 2143 pediatric patients with
2019 coronavirus disease in China [Epub ahead of print]. Pediatrics. 2020, 10.1542/peds.2020-
0702 13. Disclosures Human subjects: Consent was obtained by all participants in this study. Conflicts of interest:
In compliance with the ICMJE uniform disclosure form, all authors declare the following:
Payment/services info: All authors have declared that no financial support was received from
any organization for the submitted work. Financial relationships: All authors have declared
that they have no financial relationships at present or within the previous three years with any
organizations that might have an interest in the submitted work. Other relationships: All
authors have declared that there are no other relationships or activities that could appear to
have influenced the submitted work. Conclusions This is the first case reported from the Middle East on an infant presenting with fever and
diarrhea that tested positive for COVID-19. Cases of COVID-19 in children are not as rare as 2020 Mansour et al. Cureus 12(4): e7520. DOI 10.7759/cureus.7520 5 of 6 they might have been thought. COVID-19 related pediatric symptoms can exhibit an array of
presentations, including diarrhea. Most cases recover well with symptomatic care. This case
serves as a practical reference for the clinical diagnosis and medical treatment of infants with
COVID-19. 2020 Mansour et al. Cureus 12(4): e7520. DOI 10.7759/cureus.7520 References Lei P, Mi M, Hong GR, et al.: Clinical characteristics of COVID-19 patients with digestive
symptoms in Hubei, China: a descriptive, cross-sectional, multicenter study [Epub ahead of
print]. Am J Gastroenterol. 2020, 14. Mheidly N, Fares J: Health communication research in the Arab world: a bibliometric analysis . Integ Health J. 2020, 2:e000011. 10.1136/ihj-2019-000011 2020 Mansour et al. Cureus 12(4): e7520. DOI 10.7759/cureus.7520 6 of 6
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The Critical Review Towards the Article of Professor Miglionico on the Disclosure Regime of Credit Rating Agencies
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1. Introduction With the continuous development of economic globalization,
the Credit Rating Agency emerges as the times require. However, as far as the practical application of the CRA is
concerned, it not only brings opportunities and convenience
for investors and financial companies but also increases
dealing risks objectively, which bruised the confidence of the
investor to some degree and affect the development of the
stock markets. On the one hand, the author Miglionico focuses on the
current situation of unsatisfactory legal regulations and
relevant root causes. The author emphasizes that the
information disclosure capability of the CRA depends on its
reliability
and
public
acceptability. Whereas,
it
is
questionable that whether the CRA could maintain the
accuracy and stability of messages provided to financial
markets, as there are no internal written policies and
procedures that address the opacity of the CRA. The rating
method will evolve over time and might be constantly
adjusted in accordance with novel messages and economic
development. Furthermore, these adjustments are often not
obvious, and the CRA usually carefully controls the number
of rating changes caused by these adjustments to a minimum. The author lists three well-known laws or regulations as
argumentations. Firstly, the "basic code of conduct for the
CRA" formulated by the international organization of
Securities Regulatory Commission (IOSCO) is not only the
basic code for the international credit rating industry but also
the world standard for the self-discipline of credit rating
agencies. However, it often failed to protect investors and
maintain the fairness, efficiency and transparency of the
market in practice. Secondly, the Basel III is merely an
improved version of the Basel II without any revolutionary
achievements because although higher capital requirements
might inhibit banks from engaging in high-risk businesses
closely related to the financial crisis, this method may also
hinder them from making profits. Finally, the CRA
regulations 2013 introduces the civil liability system which
means that rating agencies must comply with more strict rules,
or they could be forced to take responsibility for negligence The author Miglionico in his article 'The disclosure regime
of credit rating agencies: an obscure veil of compliance?'
illustrates the main point that the information disclosure
capability of the CRA has failed to meet reasonable
expectations of the public. The Critical Review Towards the Article of Professor
Miglionico on the Disclosure Regime of Credit Rating
Agencies Wenjian Jiao1, Yang Jiang2 1Universiti Kebangsaan Malaysia, 43600 Bangi, Selangor, Malaysia
2Nanchang Institute of Technology, Nanchang, Jiangxi, China 1Universiti Kebangsaan Malaysia, 43600 Bangi, Selangor, Malaysia
2Nanchang Institute of Technology, Nanchang, Jiangxi, China Abstract: Generally, those Credit Rating Agencies are regarded as commercial institutions that provide professional
suggestions on the possibility of the issuer repaying its debts in full and on time. For investors, it could be utilized to ensure the
transparency of credit quality and quarterly disclose relevant information, in order to provide assistance to investors to familiarize
themselves with relevant financial markets. Although credit rating is not a guarantee or absolute indicator, it is, to a large extent,
an essential tool in the process of critical decision-making. It is commendable that the author Miglionico has effectively analysed
the role and limitations of CRA system which makes it deserves to be studied. Keywords: Credit Rating Agency, Investors, Issuers, Legal Regulations. regarding CRAs' information systems and misclassification
are enumerated. In the last part, the author discusses the issue
of conflict of interest and critically evaluates the limitations
of the compliance function of the CRA, in terms of review
and monitoring methods. However, in fact, the reviewer
believes that the core research content of this paper can be
concisely divided into two key points, and the author writes
less about the latter which seems to make the structure of the
article a little unbalanced. 1. Introduction Specifically, agencies of credit
rating are selected by financial companies that issue debts and
then depend on the remuneration paid by those companies,
which leads to potential conflicts of interest between bond
issuers and investors, because those agencies of credit rating
have a natural preference and dependence on bond issuers. Hence, for credit rating behaviours, it is essential to improve
the quality of information disclosed to investors, so as to
ensure the realization of their and interests. The reviewer believes that although there are a few research
blind spots in this article, it still has indispensable value in the
field of the CRA, aiming to analyse the role and limitations of
the CRA system in detail and attempts to put forward some
legal regulation measures. Academic Journal of Science and Technology
ISSN: 2771-3032 | Vol. 1, No. 2, 2022 Academic Journal of Science and Technology
ISSN: 2771-3032 | Vol. 1, No. 2, 2022 3. Evaluation (1) The author Miglionico has successfully analysed the
causes of the credit crisis of credit rating agencies, which is
very comprehensive and persuasive. The conflict of interest caused by the charging mode is the
primary reason. With the reform of the CRA in the USA, the
rating methods of credit rating agencies around the world
have gradually changed from unsolicited rating to solicited
rating. In the meantime, the charging mode has changed to
charging the rated agencies. However, this kind of charging
mode causes internal conflicts of interest among credit rating
agencies. Issuers all desire to get higher ratings, so as to
reduce the issue cost and obtain more benefits. Therefore,
they might entrust several rating agencies to rate them in the
meantime, and then choose the rating that is most beneficial
to them to be disclosed to the market. Moreover, in order to
attract customers' attention as much as possible, the rating of
credit rating agencies is sometimes adversely affected by
other rating agencies and customers' needs. (3) The reviewer believes that the praise of the author
Miglionico to disclosure doctrine is excessive because the
limitations of disclosure doctrine are obvious as well. (3) The reviewer believes that the praise of the author
Miglionico to disclosure doctrine is excessive because the
limitations of disclosure doctrine are obvious as well. First of all, the content that can be disclosed could only be
limited. The core competitiveness of rating agencies lies in
their technical secrets. If this information about the quality of
rating results is disclosed, the rating results will no longer be
meaningful. It is neither possible nor necessary for the legal
provisions to require rating agencies to disclose all
information without reservation. Then, the understanding
ability of investors is limited. Investors neither need nor have
abilities to understand every piece of information disclosed
by rating agencies. Finally, the role of disclosure doctrine is
also limited. Conflict of interest, market monopoly and the
trust of investors are still the internal or external factors that
interfere with the realization of disclosure doctrine. In the
short term, the methods and procedures of credit rating might
hardly be substantially improved. The decline of competition vigour caused by the monopoly
is the second factor. 2. Summary This article presents purely theoretical arguments in its main
research area of the means of the information disclosure and
legal regulations of the CRA. It is clear that the author
Miglionico divides the whole article into five parts. In the first
part, the author examines the business model of CRA. In the
second part, the author summarizes the role of CRA and the
applicable regulatory system. In the third part, the main
problems affecting the reliability of credit and non-credit
rating are analyzed. In the fourth part, potential risks 22 or intentional wrongdoings. However, some provisions on
corporate governance in this regulation increase the cost of
rating agencies in network system construction, staff training
and legal consultation, which is not conducive to the
development of small and medium-sized credit rating
agencies. In terms of the above phenomena and problems, the
most fundamental factor that needs focusing on is the
business model of "issuer pays". The author Miglionico also
lists two main argumentations. One is Wingecarribee Shire
Council v Lehman Brothers Australia Ltd (In Liquidation)
and the other one is about the rating failure and scandal of
wealth among Enron, WorldCom and Lehman Brothers. majority of investors. Moreover, the rating model of credit
rating agencies is open to investment banks, and investment
banks are responsible for the issuance of securities so that
issuers tend to pursue the requirements of rating one-sidedly,
rather than those of regulatory rules. (2) The author Miglionico has realized that further
stipulation and improvement of the relevant legal system are
need and has listed some existing and effective legal
provisions in order to readjust information disclosure
activities of credit rating agencies. The reviewer believes that
the general analysis of the author is quite good and it might
be better if the author could summarize the aspects that
legislators should pay more attention to in the future. On the other hand, the author Miglionico has found some
effective content of legal regulations that can be utilized and
further developed. Some obvious argumentations are as
following. The new Dodd-Frank act of the United States
repeals most of the Dodd-Frank act, aiming to relax the
conditions of financial supervision and reduce the rights of
financial regulators to a certain extent, especially the
revocation of the Volcker rule. Article 6 of the regulations on
credit rating agencies in 2013 stipulates specific restrictions
on shareholders or members of credit rating agencies. 3. Evaluation The international credit rating industry is
basically monopolized by Enron, WorldCom and Lehman
Brothers Due to the monopoly and authority of historical
reasons, they occupy the vast majority of the market share in
the CRA area. The world market follows the national
recognition system created by the USA, which further
consolidated its monopoly position. The new credit rating
agencies are always in a weak position in the market
competition because of the lack of experience and the impact
of the capital chain. 2. Summary The
EU's credit rating regulatory framework, which is mainly
based on ESMA and supplemented by the competent
authorities of other Member States, has also played a great
role in the European market. Firstly, the existing charging mode should be changed. If
issuers are no longer the main source of income for credit
rating agencies, they might not ignore professional standards
in order to obtain benefits. Meanwhile, the benign
competition among credit rating agencies may lead them to
make timely and accurate information disclosure in order to
draw more public attention. Secondly, the transparency of
information disclosure of credit rating agencies should be
enhanced in a further step. More authoritative public or
private rating agencies should be established through legal
channels and regulators and investors should obtain
information of investment risks in a more diversified way,
which could provide an effective basis for setting the scope of
risks undertaken by financial institutions, and play a role of
financial supervision and risk warning for the market. Finally,
the scope of credit rating agencies should be further restricted. In order to reduce the impact of credit rating agencies on other
industries, the scope of rating can be limited to a certain extent
in the legislation. For example, in the case of bonds issued by
sovereign countries and bonds related to national defence,
credit rating agencies have no authority to rate. 4. Conclusion Overall, the author Miglionico in his article 'The disclosure
regime of credit rating agencies: an obscure veil of
compliance?' makes a comprehensive analysis about the
current situation of the CRA with external and internal causes
and relevant legal regulations. There is no doubt that the
reliability of the Credit Rating Agencies has been questioned
after the inaccurate risk assessment for financial products
such as mortgage loans, and the impact on the stability of the The drawback of existing risk models is the third factor. Credit rating agencies often do not downgrade scores that
they made for institutions until they occur of worsens of the
crisis so that they not only fail to play a warning role but also
aggravates the market turmoil, which is condemned by the 23 [4] Lisbeth F 'Who's Guarding the Gate - Credit-Rating Agency
Liability as Control Person in the Subprime Credit Crisis' [2009]
33(3) Vermont Law Review 585-620. securities market. In order to protect the interests of investors
from the legal level, the accuracy, completeness and
righteousness of the CRA in disclosing information and
evaluating the reputation of corporations should be enhanced. Furthermore, some individual investors are inexperienced and
incompetent so that even if they get all accurate information,
they might also make incorrect decisions about the risk. The
author Miglionico should continue to expand the research in
this area. [5] Miglionico A 'The disclosure regime of credit rating agencies:
an obscure veil of compliance?' [2019] 4 Journal of Business
Law 262-281. [6] Partnoy F 'Rethinking regulation of credit-rating agencies: an
institutional investor perspective' [2010] 25(4) JIBLR 188-199. [7] Picciau C 'The evolution of the liability of credit rating
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JIBLR 82-103. 24
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Long-Term Physical Exercise and Mindfulness Practice in an Aging Population
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Frontiers in psychology
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cc-by
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Long-Term Physical Exercise and
Mindfulness Practice in an Aging
Population Yi-Yuan Tang1*, Yaxin Fan2†, Qilin Lu2, Li-Hai Tan3, Rongxiang Tang4, Robert M. Kaplan5,
Marco C. Pinho6,7, Binu P. Thomas7, Kewei Chen8, Karl J. Friston9 and Eric M. Reiman8 Yi-Yuan Tang1*, Yaxin Fan2†, Qilin Lu2, Li-Hai Tan3, Rongxiang Tang4, Robert M. Kaplan5,
Marco C. Pinho6,7, Binu P. Thomas7, Kewei Chen8, Karl J. Friston9 and Eric M. Reiman8 1 Department of Psychological Sciences, Texas Tech University, Lubbock, TX, United States, 2 Institute of Neuroinformatics
and Laboratory for Body and Mind, Dalian University of Technology, Dalian, China, 3 Center for Brain Disorders and Cognitive
Science, Shenzhen University, Shenzhen, China, 4 Department of Psychological and Brain Sciences, Washington University
in St. Louis, St. Louis, MO, United States, 5 Clinical Excellence Research Center, Department of Medicine, Stanford
University, Stanford, CA, United States, 6 Department of Radiology, UT Southwestern Medical Center, Dallas, TX,
United States, 7 Advanced Imaging Research Center, UT Southwestern Medical Center, Dallas, TX, United States, 8 Banner
Alzheimer’s Institute, Phoenix, AZ, United States, 9 Wellcome Centre for Human Neuroimaging, Institute of Neurology,
University College London, London, United Kingdom Keywords: physical exercise (PE), mindfulness interventions, integrative body-mind training (IBMT), quality of life,
secretory Immunoglobulin A (sIgA), cortisol, heart rate variability, skin conductance response ORIGINAL RESEARCH
published: 02 April 2020
doi: 10.3389/fpsyg.2020.00358 Edited by: School of Medicine, United States
Reviewed by:
Jingguang Li,
Dali University, China
Zoran Josipovic,
New York University, United States
*Correspondence:
Yi-Yuan Tang
yiyuan.tang@ttu.edu
†Present address:
Yaxin Fan,
Dalian Blood Center, Dalian Institute
of Blood Transfusion, Dalian, China Reviewed by:
Jingguang Li,
Dali University, China
Zoran Josipovic,
New York University, United States Reviewed by:
Jingguang Li,
Dali University, China
Zoran Josipovic,
New York University, United States
*Correspondence:
Yi-Yuan Tang
yiyuan.tang@ttu.edu *Correspondence:
Yi-Yuan Tang
yiyuan.tang@ttu.edu *Correspondence:
Yi-Yuan Tang
yiyuan.tang@ttu.edu †Present address:
Yaxin Fan,
Dalian Blood Center, Dalian Institute
of Blood Transfusion, Dalian, China Specialty section:
This article was submitted to
Health Psychology,
a section of the journal
Frontiers in Psychology
Received: 02 September 2019
Accepted: 17 February 2020
Published: 02 April 2020
Citation:
Tang Y-Y, Fan Y, Lu Q, Tan L-H,
Tang R, Kaplan RM, Pinho MC,
Thomas BP, Chen K, Friston KJ and
Reiman EM (2020) Long-Term
Physical Exercise and Mindfulness
Practice in an Aging Population. Front. Psychol. 11:358. doi: 10.3389/fpsyg.2020.00358 Specialty section:
This article was submitted to
Health Psychology,
a section of the journal
Frontiers in Psychology Received: 02 September 2019
Accepted: 17 February 2020
Published: 02 April 2020 Edited by:
Changiz Mohiyeddini,
Oakland University William Beaumont
School of Medicine, United States Edited by: Previous studies have shown that physical exercise and mindfulness meditation can
both lead to improvement in physical and mental health. However, it is unclear whether
these two forms of training share the same underlying mechanisms. We compared
two groups of older adults with 10 years of mindfulness meditation (integrative body-
mind training, IBMT) or physical exercise (PE) experience to demonstrate their effects
on brain, physiology and behavior. Healthy older adults were randomly selected from
a large community health project and the groups were compared on measures of
quality of life, autonomic activity (heart rate, heart rate variability, skin conductance
response, respiratory amplitude/rate), immune function (secretory Immunoglobulin A,
sIgA), stress hormone (cortisol) and brain imaging (resting state functional connectivity,
structural differences). In comparison with PE, we found significantly higher ratings
for the IBMT group on dimensions of life quality. Parasympathetic activity indexed by
skin conductance response and high-frequency heart rate variability also showed more
favorable outcomes in the IBMT group. However, the PE group showed lower basal
heart rate and greater chest respiratory amplitude. Basal sIgA level was significantly
higher and cortisol concentration was lower in the IBMT group. Lastly, the IBMT group
had stronger brain connectivity between the dorsal anterior cingulate cortex (dACC) and
the striatum at resting state, as well as greater volume of gray matter in the striatum. Our results indicate that mindfulness meditation and physical exercise function in part by
different mechanisms, with PE increasing physical fitness and IBMT inducing plasticity
in the central nervous systems. These findings suggest combining physical and mental
training may achieve better health and quality of life results for an aging population. INTRODUCTION Based on our prior studies showing improvement in self-
regulation and increases in ACC and striatum activity after
short-term mindfulness training (Tang et al., 2007, 2009,
2010, 2012, 2015a), our first hypothesis was that there would
be stronger resting state connectivity between ACC-Striatum
and greater gray matter in striatum following IBMT than
following PE. For physiological indices, we hypothesized that
both long-term mindfulness meditation and PE should induce
changes in immunology and stress hormone based on prior
literature showing such physiological benefits following short-
term training using these two interventions (Tang et al., 2007;
Hillman et al., 2008). In our previous studies, we found that
5 days of IBMT improves secretory Immunoglobulin A (sIgA)
level following additional 20 min training after stress (Tang et al.,
2007), and the baseline sIgA level is greater after 4-weeks of IBMT
compare to relaxation training (Fan et al., 2010, 2013). While PE
may also improve the immune function, our second hypothesis
was that the IBMT group would show greater or at least equal
sIgA level when compare with the PE group. Aging is associated with decline in processing speed, memory,
motor control and mental flexibility, which greatly impacts
individual well-being and health. Consequently, there has been
an increasing interest in interventions that could (a) maintain
and enhance physical and mental vitality and (b) reduce the
risk of age-associated physical and mental disorders in aging
populations (Mahncke et al., 2006; Hillman et al., 2008). Previous
studies have shown that both physical exercise and forms of
mindfulness meditation can influence aspects of attention and
self-regulation (Okazaki et al., 2005; Tang et al., 2007, 2009,
2010, 2015a; Hillman et al., 2008; Ludwig and Kabat-Zinn,
2008; Wen et al., 2011). However, physical exercise (PE) and
mindfulness meditation are vastly different from each other, as
each intervention has unique training components and may work
through different mechanisms to exert an impact on behavior,
physiology and brain. As one of the most widely adopted interventions, PE requires
the engagement and control of body movement and coordination
with the outside environment. Months to years of PE have
been shown to improve cardiovascular function, physical health
and cognitive performance, and are associated with larger gray
matter volumes in certain brain regions such as the hippocampus
(Okazaki et al., 2005; Hillman et al., 2008; Wen et al., 2011). Citation: Tang Y-Y, Fan Y, Lu Q, Tan L-H,
Tang R, Kaplan RM, Pinho MC,
Thomas BP, Chen K, Friston KJ and
Reiman EM (2020) Long-Term
Physical Exercise and Mindfulness
Practice in an Aging Population. Front. Psychol. 11:358. doi: 10.3389/fpsyg.2020.00358 April 2020 | Volume 11 | Article 358 1 Frontiers in Psychology | www.frontiersin.org Mindfulness and Exercise in Aging Population Tang et al. INTRODUCTION In
contrast, mindfulness meditation involves less physical activity
compared to PE, but focuses more on training attention, self-
awareness, and emotion regulation through various mental
techniques and strategies (Tang et al., 2015a). Studies have
shown that 5 days of mindfulness meditation using integrative
body-mind training (IBMT) improves attention and reduces
stress reactivity through changing the interaction between the
anterior cingulate cortex (ACC) and the parasympathetic branch
of the autonomic nervous system (Tang et al., 2007, 2009). Furthermore, it was found that about 10 h of IBMT over
one-month period increases fractional anisotropy (FA), an
index indicating the integrity and efficiency of white matter in
the anterior corona radiata, an important white-matter tract
connecting the ACC to other structures (Tang et al., 2010). In addition, several long-term meditation studies have shown
increases in ACC activation and gray matter volume and other
regions, such as the striatum and insula (Cahn and Polich, 2006;
Ludwig and Kabat-Zinn, 2008; Chiesa and Serretti, 2010; Tang
et al., 2015a; Tang, 2017). Physiological indexes are important biomarkers for aging
(Pumprla et al., 2002; Okazaki et al., 2005; Borresen and Lambert,
2008). Heart rate, heart rate variability (HRV), skin conductance
response (SCR), respiratory amplitude and rate were used to
assess autonomic nervous system (ANS) activity (Tang et al.,
2009). Because IBMT changes the state of the body and mind
through the interaction of central and autonomic nervous
systems, and PE strengthens cardiovascular activity and physical
fitness, our third hypothesis was that PE would have lower resting
heart rate than IBMT, whereas IBMT would show better ANS
regulation indexed by lower SCR, and greater high frequency
HRV in comparison to PE. Finally, to compare quality of life outcomes following 10 years
of PE or IBMT, we used the widely validated World Health
Organization Quality of Life Survey (WHOQOL-100) to evaluate
physical and psychological domains (Power et al., 1999). Because
IBMT improved mood and showed greater activation in reward
associated brain structures (Tang et al., 2007, 2009, 2010,
2015a), we hypothesized that higher quality of life would be
associated with IBMT. Frontiers in Psychology | www.frontiersin.org Interventions Brain imaging experiments were performed on a SIEMENS
TrioTim 3 Tesla scanner (Siemens Medical System, Erlangen,
Germany) at the MRI Center for Brain Research. The resting
state session consisted of 180 contiguous echo planar imaging
(EPI) volumes with TR/TE = 2000/30 ms; flip angle = 900,
matrix = 64 × 64, axial, slice thickness = 4 mm. A high-
resolution T1-weighted anatomical image was also obtained after
the resting state. China belongs to a collectivist culture and old adults after
retirement often get together for shared daily activities in
local communities (Goodwin, 1999; Nisbett, 2004; Markus and
Conner, 2014). The participants were trained in small groups
in local communities. Each group practiced PE or IBMT daily
for an average of 1 h, usually 6–7 days per week, for a 10-year
period. Although some were absent from some training sessions,
the average training duration was about 3120 h over 10 years
in total. The IBMT or PE instructor in the same community
supervised the practice sessions. The instructors also met and
had biweekly conversations with participants to monitor and
motivate the two groups and gave appropriate feedback. We
found Chinese collectivist culture helped facilitate group practice
in old adults, and the first 3-month of practice was crucial
for habit formation in either IBMT or PE group. After this
period, participants per group seemed to maintain independent
practices regularly. Three participants in IBMT or PE group
dropped offthe study and in total 55 participants (29 in IBMT
group) completed. Data preprocessing of the resting state image, including slice
timing, realignment, coregistration, normalized and spatially
smoothed steps (6-mm full width at half maximum Gaussian
blur) using SPM 81. Subsequent processing includes temporal
band-pass filtering (0.009 < f < 0.08) typically performed by
resting state fMRI data analysis (Fox et al., 2005). To quantify (changes in) functional connectivity, subject
specific (partial) Pearson’s correlation coefficient maps were
computed based on the temporal series from a spherical region of
interest (ROI) (radius = 6 mm) centered at the coordinates (x = 8,
y = 7, z = 38) within the dACC brain area. These correlations
were adjusted for confounds using (six) parameters obtained by
rigid body correction of head motion, global trend, and signal
from non-gray matter (Fox et al., 2005; Castellanos et al., 2008). Following Z-transformation of the correlation coefficients, we
identified regions showing a significant functional connectivity
with the dACC across both groups. Physical Exercise Training mainly involved aerobic walking. All walking sessions
started and ended with approximately 10 min of stretching for the
purpose of warming up and cooling down. The participants were
encouraged to walk in their target heart rate zone following light
to moderate intensity exercise, which was calculated based on the
resting and maximum heart rates achieved during the baseline
maximal graded exercise test (Strath et al., 2000). For example,
if the participant was 60 years old, the target heart rate zone
was from 80 to 112 beats per minute during moderate intensity
exercise. two groups were matched by level of education, age and sex, see
Table 1. No sedentary control group was assigned, because (1)
the majority of Chinese old adults exercise to some degree after
retirement and (2) such a waitlist group would be unlikely to
maintain good health over a 10-year period. All subjects provided
written informed consent in accordance with the Declaration of
Helsinki. The study protocol was approved by the Institutional
Review Board of the Dalian University of Technology. Study Population Two groups of (IBMT:PE = 32:29; 17 males) healthy Chinese
older adults (mean age = 64.25 years old, SD = 12.54) were
randomly chosen from a longitudinal National Health Project in
the local communities based on their willingness to participate
in our behavior, physiology and brain imaging study. All
participants were living independently in their own home
with matched living environment and social-economic status
and were free of psychiatric disability and dementia assessed
by local clinicians using semi-structured clinical interviews. Participants were not habitual smokers or drinkers, did not
take any psychotropic drugs, anti-depressants or cholinesterase
inhibitors within the last 12 months. Participants also received
an annual health/medical check in the community hospitals. The Given that both mindfulness meditation and PE have
produced documented brain changes, we first sought to
investigate how neuroplasticity in these long-term trainings
would differ from each other by comparing these two forms of
training in older adults. In particular, we sought to determine
how and why each might contribute to more successful aging. To accomplish these goals, our design stresses comparative
effectiveness and comparative mechanisms of training rather
than the more usual tests of whether a given training method
is effective. While many comparative effectiveness studies have
been performed, our study is unique because it involves an aging
population with 10 years of either mindfulness meditation or
physical exercise (PE) experience. April 2020 | Volume 11 | Article 358 2 Mindfulness and Exercise in Aging Population Tang et al. TABLE 1 | Demographic information for participants. Demographic
factor
IBMT
PE
P value
(two-tailed)
Mean
SD
Mean
SD
Age
64.38
13.95
64.13
11.19
0.94
Education
13.89
2.79
12.71
3.74
0.19 TABLE 1 | Demographic information for participants. external instructions. It stresses a balanced state of relaxation
while focusing attention on the present moment (Tang et al.,
2007, 2015a; Tang, 2017). 1http://www.fil.ion.ucl.ac.uk/spm
2http://dbm.neuro.uni-jena.de/vbm Interventions Within these regions, we
tested for the orthogonal effect of group differences using a small
volume correction (SVC) for multiple comparisons. Frontiers in Psychology | www.frontiersin.org Integrative Body-Mind Training Mindfulness Meditation involves paying attention to the present
and increasing awareness of one’s thoughts, emotion, and
actions without judging oneself. One form of mindfulness
meditation, IBMT involves body relaxation, mental imagery and
mindfulness training which are the common components in
other mindfulness programs (Kabat-Zinn, 2013). All sessions
started and ended with approximately 10 min of gentle and
slow posture practice for the purpose of warming up and
returning to normal states. Cooperation between body and
mind is emphasized in facilitating and achieving a meditative
state. The instructor helped participants find an appropriate and
balanced body posture to achieve deeper levels of relaxed body
and experience a quietness and mindfulness state. When the
mind wanders, participants accepted and were open to these
experiences without judgment. IBMT uses minimal effort to
control thoughts, but instead establishes a state of restful alertness
that allows a high degree of awareness of body, breathing, and To
quantify
(changes)
in
functional
anatomy,
voxel-
based morphometry (VBM) was applied to high-resolution
(1 × 1 × 1 mm) T1-weighted whole-brain images, collected
from every subject with TR/TE/TI = 2530/3.37/1100 ms,
NEX = 1, flip angle = 7◦, matrix size = 512 × 512, Sagittal, slice
thickness = 1.33 mm. A unified segmentation/normalization
framework in the SPM 8 and VBM toolbox2 were used for VBM
analysis (Ashburner and Friston, 2000). 1http://www.fil.ion.ucl.ac.uk/spm
2http://dbm.neuro.uni-jena.de/vbm April 2020 | Volume 11 | Article 358 Frontiers in Psychology | www.frontiersin.org Frontiers in Psychology | www.frontiersin.org 3 Mindfulness and Exercise in Aging Population Tang et al. We examined regional gray matter differences between
groups using a general linear model with age and gender as
covariates. The voxel-wise threshold for activation was set at
PFWE < 0.05, corrected for the number of resolution elements
in each of the regions of interest (ROI) by using the SPM
small volume correction (SVC) procedure together with brain
masks defined by the automated anatomical labeling toolbox
(AAL)3. The brain masks defined the brain regions over
each of which the SVC was performed. These brain regions
included the insula, putamen and caudate, hippocampus, frontal,
temporal and parietal cortex based on the physical exercise and
mindfulness meditation literatures (Greenwood, 2007; Hillman
et al., 2008; Tang et al., 2009, 2010, 2015a). Twenty-six subjects
(13 in each group) met all criteria for participating in the
analysis, including no metallic implants and usable data after
motion correction. analyzed by radioimmunoassay at the Dalian Medical University. Integrative Body-Mind Training Intra- and inter-assay coefficients of variation were below 10%. To reduce error variance due to imprecision of the intra-assay,
all samples from each subject were analyzed in the same run
(Tang et al., 2009). RESULTS The IBMT and PE groups did not differ significantly in
age (t53 = 0.08, p = 0.94) and education (t53 = 1.11,
p = 0.27). Following training, we assessed behavior, resting state
brain activity and structural changes using fMRI and various
physiological measures including HRV, SCR, sIgA and cortisol. Significant differences between the two groups are discussed in
this section and in Figures 1–5. Brain Imaging Power spectral analysis of HRV was performed with a
fast Fourier transform and Biograph software, and spectral
components were identified and assigned, on the basis of their
frequency: high frequency (HF; 0.16–0.45 Hz), low frequency
(0.04–0.15 Hz), and very low frequency (VLF; 0-0.03 Hz). These components were obtained in absolute values of power
(ms2). HF components are reported in normalized units (nuHF),
representing the relative value of the power of each component
in proportion to the total power minus the VLF component
(Okazaki et al., 2005; Tang et al., 2009). Forty participants (20
in each group) participated throughout the tests, 40 had usable
heart rate and SCR data, 36 had usable chest respiratory data (18
in each group) and 35 had useable HRV data (18 in IBMT group)
after movement artifacts were eliminated. Based on previous studies of long-term meditation effects, we
chose dorsal ACC (dACC) as the seed region and performed
a whole brain functional connectivity analysis using resting
state fMRI (Raichle et al., 2001; Fox et al., 2005). A significant
correlation between dACC and striatum was detected in the
combined IBMT and PE groups (N = 26, 13 in each group). Crucially, within the striatum, there was a significant difference FIGURE 1 | Comparison of resting state dACC-Striatum connectivity and
differences between IBMT and PE. (A) Shows the functional connectivity
between dACC and Striatum detected in both groups combined. (B) Shows
the differences between groups in terms of a significantly greater functional
connectivity in the IBMT group relative to the PE group (PFWE < 0.05, small
volume corrected). 3www.fil.ion.ucl.ac.uk/spm/ext World Health Organization Quality of Life Survey
(WHOQOL-100) This scale was developed in 15 international centers using focus
groups, pilot tests, and field tests. The final 100 items were
grouped into one scale score assessing overall quality of life and
general health perceptions, and 24 quality of life facets, grouped
into six larger domains: Physical, Psychological, Independence,
Social
Relationships,
Environment,
and
Spirituality. The
international and multicultural aspects of this scale make it a
very useful instrument. It has been used extensively in a variety
of settings around the world, demonstrating excellent reliability
and validity (Power et al., 1999). Physiology The physiological data were recorded and analyzed in 8 channels
of the Procomp Infiniti System from Thought Technology (Tang
et al., 2009). During the fitness sessions, participants’ heart rate
was monitored using a Polar E200 heart rate monitor. We first
recorded the 5-min baseline (eyes open, labeled as Baseline 1 in
Figures 3A,B) heart rate, SCR, abdomen and chest respiratory
amplitude for each subject in the two groups. To attain steady
physiological signals of SCR and HRV allowing measurement of
habitual ANS activity/regulation, we then recorded two 10-min
periods of rest (eyes closed) (labeled as 1 and 2 in Figures 3A,B),
and 5-min post baseline (eyes open, labeled as Baseline 2
in Figures 3A,B). Immune Function Repeated-measures ANOVAs were conducted with the factor
of Group (IBMT and PE), and the within-subjects factor of
Session (labeled as Before Stress, After Stress, and Additional
20-minute in Figure 4). The analyses revealed significant main
effects for Group (F1, 53 = 14.229, p < 0.01) and Session (F2,
106 = 32.31, p < 0.001), as well as a significant interaction for
Group × Session (F2, 106 = 8.636, p < 0.01). The long-term
IBMT group showed higher basal sIgA level (p < 0.05) compared
to PE before stress. After stress, sIgA in both groups increased,
but IBMT was significantly higher than PE (F1,53 = 9.628,
p < 0.01). After the additional 20-min practice, the sIgA in
IBMT group continued to increase whereas it decreased in PE
group, producing a significantly higher sIgA 20 minutes after
stress (F1,53 = 20.779, p < 0.001). The IBMT group also showed
marginally less basal cortisol concentration prior to stress than
did PE (p = 0.07). FIGURE 2 | Comparison of VBM gray matter between IBMT and PE. The
voxelwise threshold for activation was set at PFWE < 0.05, corrected for the
number of resolution elements in each of the regions of interest (ROI) by using
the SPM small volume correction (SVC) procedure together with brain masks
defined by the automated anatomical labeling toolbox (AAL) (http://www.fil. ion.ucl.ac.uk/spm/ext). The brain masks defined the brain regions over each
of which the SVC was performed. These brain regions included insula,
putamen, caudate, hippocampus, frontal, temporal and parietal cortex. For
better illustration, a liberal threshold (P < 0.05, uncorrected) was used. FIGURE 2 | Comparison of VBM gray matter between IBMT and PE. The
voxelwise threshold for activation was set at PFWE < 0.05, corrected for the
number of resolution elements in each of the regions of interest (ROI) by using
the SPM small volume correction (SVC) procedure together with brain masks
defined by the automated anatomical labeling toolbox (AAL) (http://www.fil. ion.ucl.ac.uk/spm/ext). The brain masks defined the brain regions over each
of which the SVC was performed. These brain regions included insula,
putamen, caudate, hippocampus, frontal, temporal and parietal cortex. For
better illustration, a liberal threshold (P < 0.05, uncorrected) was used. in functional connectivity between the two groups (PFWE < 0.05,
small volume corrected); with a greater functional connectivity in
the IBMT group see Figures 1A,B. Salivary sIgA and Cortisol Salivary sIgA and cortisol levels were assessed at three stages (rest,
stress, and additional 20-min practice, labeled as before stress,
after stress and additional training respectively in Figure 4). To
control for variations of sIgA and cortisol levels over the circadian
rhythm, saliva sample collection was performed from 2:00 pm
to 6:00 pm. About 1-mL saliva samples were collected by one-
offinjectors and were encased in test tubes in succession, with
the tubes placed into a refrigerator under-208C and then thawed
24 h later for analysis. The concentration of sIgA and cortisol was FIGURE 1 | Comparison of resting state dACC-Striatum connectivity and
differences between IBMT and PE. (A) Shows the functional connectivity
between dACC and Striatum detected in both groups combined. (B) Shows
the differences between groups in terms of a significantly greater functional
connectivity in the IBMT group relative to the PE group (PFWE < 0.05, small
volume corrected). Frontiers in Psychology | www.frontiersin.org April 2020 | Volume 11 | Article 358 4 Mindfulness and Exercise in Aging Population Tang et al. SCR and high-frequency HRV, see Figures 3A,B. Results of
lower SCR and more high-frequency HRV demonstrated better
ANS regulation, especially greater parasympathetic activity after
10 years of IBMT. FIGURE 2 | Comparison of VBM gray matter between IBMT and PE. The
voxelwise threshold for activation was set at PFWE < 0.05, corrected for the
number of resolution elements in each of the regions of interest (ROI) by using
the SPM small volume correction (SVC) procedure together with brain masks
defined by the automated anatomical labeling toolbox (AAL) (http://www.fil. ion.ucl.ac.uk/spm/ext). The brain masks defined the brain regions over each
of which the SVC was performed. These brain regions included insula,
putamen, caudate, hippocampus, frontal, temporal and parietal cortex. For
better illustration, a liberal threshold (P < 0.05, uncorrected) was used. The PE group showed significantly lower resting heart rate
(F1,38 = 8.48, p = 0.006) and greater chest respiratory amplitude
than the IBMT group (F1,34 = 5.41, p = 0.026), indicating the
training effects on cardiovascular system, see Figure 3C. Quality of Life Independent sample t-test showed significantly higher ratings in
physical and psychological domains and in overall score of quality
of life in the IBMT group compared to the PE group (t53 = 3.02,
p = 0.004; t53 = 4.17, p = 0.000 and t53 = 4.27, p = 0.000);
see Figure 5. DISCUSSION We observed similar default mode brain networks in both
groups at resting state, as reported by previous studies (Raichle
et al., 2001). Consistent with our first hypothesis – and with
previous results summarized in the introduction – the IBMT
group showed stronger dACC-Striatum functional connectivity
at rest. This finding may relate to differences in parasympathetic
regulation (Tang et al., 2009, 2019). In support of this view,
the groups showed different physiological indexes of HRV
and SCR indicative of parasympathetic reactivity and immune
function, with the IBMT group showing generally greater HF-
HRV and sIgA levels, and lower SCR (Tang et al., 2009, 2010). In addition, self-ratings in the quality of life scale were superior
for the IBMT group. Immune Function When the statistical threshold
was lowered (to an uncorrected level of P < 0.001), stronger
functional connectivity between the dACC and insula was found
in the IBMT group, relative to the PE group. In terms of structural
differences, we found increased gray matter volume in striatum
(left caudate and right putamen) using VBM in the IBMT group
compared to the PE group (PFWE < 0.05, corrected), see Figure 2. No other significant differences were found at this significance
level. However, when the statistical threshold for VBM analysis
was lowered to a descriptive level (uncorrected p < 0.005), PE
showed increased gray matter in parietal and sensory-motor
cortex relative to IBMT. Physiology We divided the data into four periods in Figures 3A,B: 5-min
baseline with eyes open (labeled as baseline 1), two 10-min
periods of rest with eyes closed (labeled as period 2 and 3),
and 5-min post baseline with eyes open (labeled as baseline 2),
and recorded physiological indexes including heart rate, SCR,
abdomen and chest respiratory amplitude for each subject in the
two groups. The ANOVAs showed lower resting (baseline) SCR
(F1,38 = 2.48, p = 0.123), significantly lower SCR following the
two 10-min resting (periods 1 and 2) and post baseline periods
separately (F1,38 = 8.42, p = 0.006; F1,38 = 5.25, p = 0.028;
F1,38 = 5.58, p = 0.023). In contrast, the PE group showed lower resting heart rate and
greater chest respiratory amplitude compared to the IBMT group. These findings for the exercise group are in line with previous
findings of exercise improving the cardiovascular system and
health (Okazaki et al., 2005; Hillman et al., 2008). They also
suggest different brain and physiological biomarkers for PE
and IBMT, reflecting somewhat different underlying mechanisms High-frequency HRV was greater in the IBMT group than in
the PE group following the second 10-min resting period (period
2) and during post baseline (F1,33 = 4.41, p = 0.043; F1,33 = 8.02,
p = 0.008), The IBMT showed better autonomic regulation of April 2020 | Volume 11 | Article 358 Frontiers in Psychology | www.frontiersin.org 5 Tang et al. Mindfulness and Exercise in Aging Population FIGURE 3 | Comparison of physiological indexes between IBMT and PE. (A) Skin conductance response (SCR) (B) High-frequency HRV (C) Heart rate and chest
respiration amplitude in the IBMT and PE groups. For SCR, the lower score shows more parasympathetic activity. For high-frequency HRV, the higher score shows
more parasympathetic activity. (A,B) The horizontal axis indicates the four test sessions: resting with eyes open (baseline 1), two periods of resting with eyes closed
(labeled as 1, 2), and resting with eyes open (baseline 2). The vertical axis indicates SCR change and percentage of change in normalized units of high-frequency
(nuHF) HRV, respectively. (C) The vertical axis indicates resting heart rate (HR) change and percentage of change of chest breath amplitude (BA), respectively. Error
bars represent standard errors. ∗P < 0.05, ∗∗P < 0.01. FIGURE 3 | Comparison of physiological indexes between IBMT and PE. Physiology (A) Skin conductance response (SCR) (B) High-frequency HRV (C) Heart rate and chest
respiration amplitude in the IBMT and PE groups. For SCR, the lower score shows more parasympathetic activity. For high-frequency HRV, the higher score shows
more parasympathetic activity. (A,B) The horizontal axis indicates the four test sessions: resting with eyes open (baseline 1), two periods of resting with eyes closed
(labeled as 1, 2), and resting with eyes open (baseline 2). The vertical axis indicates SCR change and percentage of change in normalized units of high-frequency
(nuHF) HRV, respectively. (C) The vertical axis indicates resting heart rate (HR) change and percentage of change of chest breath amplitude (BA), respectively. Error
bars represent standard errors. ∗P < 0.05, ∗∗P < 0.01. in long-term physical exercise in comparison with meditation. This may indicate the potential for integration of the two
forms of practice. play a key role in reinforcement and implicit learning and are
thus associated with reward (Packard and Knowlton, 2002;
Dahlin et al., 2008). Longitudinal shrinkage of the whole striatum
with age is evident, even in a selected group of healthy adults
(Raz et al., 2003). The IBMT group seemed to reverse this aging
effect by showing larger putamen and caudate volume than the
PE group, consistent with previous findings of practice-related
neuroplasticity and improved connectivity of the striatum with
the ACC (Draganski et al., 2004; Mahncke et al., 2006; Tang et al.,
2009). These effects may be of practical importance in improving
quality of life and brain health during aging. Frontiers in Psychology | www.frontiersin.org Physiology Physiological measures of heart rate, SCR, respiratory amplitude
and rate, and HRV are biomarkers of autonomic regulation
(Pumprla et al., 2002; Borresen and Lambert, 2008; Tang et al.,
2009). The IBMT group showed significantly better physiological
reactions in lower SCR and higher abdominal respiratory
amplitude than the PE group. These results reflected greater ANS
regulation in the IBMT group. The greater high-frequency HRV
in the IBMT group after training indicates successful inhibition
of sympathetic tone and activation of parasympathetic tone in
comparison with the PE group (Tang et al., 2019). In contrast,
lower resting heart rate and increased chest respiratory amplitude
were found in the PE group, congruent with physical exercise
training which mainly engages cardiovascular system of the body
(Pumprla et al., 2002; Borresen and Lambert, 2008; Hillman et al.,
2008). These results were consistent with previous findings of
endurance exercise effects on autonomic control of heart rate
(Okazaki et al., 2005; La Rovere and Pinna, 2014). FIGURE 5 | Comparison of quality of life between IBMT and PE. The
horizontal axis indicates Overall Score; Physiology; Psychology. The vertical
axis indicates the quality of life (QOL) score. Error bars represent standard
errors. ∗P < 0.05; ∗∗P < 0.01. could help explain the persistence of long-term IBMT practice. For the PE participants, their motivator would be the desire for
physical fitness, which may particularly motivate their long-term
practice. It should also be noted that Chinese collectivist culture
may also facilitate group practice in local communities where old
adults easily got together for shared daily activities (Goodwin,
1999; Nisbett, 2004; Markus and Conner, 2014). Five days of IBMT improves attention and self-regulation by
changing central and autonomic nervous system interaction, and
1-month of continuous IBMT practice shows accumulated effects
in a dose dependent fashion (Fan et al., 2010, 2013; Tang, 2017). Further, about 10 h IBMT over 1-month period increases white
matter connectivity in ACR, key regions associated with ACC and
other areas (Tang et al., 2010). Months to years of aerobic exercise
improve physical health and cognitive performance (Hillman
et al., 2008). The current 10-year training did not examine
changes after varying periods of time. Thus, we do not know
when and how much training is optimal; these questions will
require further research. Central Nervous System IBMT (blue dots) and
PE (red dots) groups. The IBMT group showed a significantly greater sIgA
level than the PE group. ∗P < 0.05, ∗∗P < 0.01. p
Our current findings suggest that IBMT operates via central
nervous system control of peripheral responses to enhance self-
regulation. On the other hand, in our study PE appears to
train the cardiovascular system more than IBMT. Thus, the
two types of practice appear to involve distinct body-brain
mechanisms. We failed to find significant gray matter changes
in PE compared to IBMT (PFWE < 0.05, corrected). However,
when the statistical threshold for VBM analysis was lowered (by
using an uncorrected P < 0.005), PE showed more gray matter in
parietal and sensory-motor cortex than IBMT. The tendency for
more sensory motor activity in PE might reflect more attention
to the body during exercise and is also consistent with previous
findings using relaxation training (Tang et al., 2009; Tang, 2017). These results are consistent with recent findings that continuous
light-intensity physical activity contributes to brain plasticity
(Spartano et al., 2019). FIGURE 4 | Comparison of sIgA between IBMT and PE. IBMT (blue dots) and
PE (red dots) groups. The IBMT group showed a significantly greater sIgA
level than the PE group. ∗P < 0.05, ∗∗P < 0.01. FIGURE 4 | Comparison of sIgA between IBMT and PE. IBMT (blue dots) and
PE (red dots) groups. The IBMT group showed a significantly greater sIgA
level than the PE group. ∗P < 0.05, ∗∗P < 0.01. FIGURE 5 | Comparison of quality of life between IBMT and PE. The
horizontal axis indicates Overall Score; Physiology; Psychology. The vertical
axis indicates the quality of life (QOL) score. Error bars represent standard
errors. ∗P < 0.05; ∗∗P < 0.01. FIGURE 5 | Comparison of quality of life between IBMT and PE. The
horizontal axis indicates Overall Score; Physiology; Psychology. The vertical
axis indicates the quality of life (QOL) score. Error bars represent standard
errors. ∗P < 0.05; ∗∗P < 0.01. Central Nervous System Strong self-discipline and regulation are required to maintain
10 years of practice. In our previous study (Tang et al., 2009), we
found increase in ventral midfrontal brain system control over
parasympathetic activity after 5 days of IBMT. This beginning
stage of practice requires ventral ACC coordination with the
parasympathetic nervous system to change the participant’s
state. Members of the IBMT group also reported a happy and
enjoyable experience during and after training. These reports
may further suggest involvement of the striatal reward system
(Tang, 2017). With regular IBMT practice, the participants achieved greater
satisfaction (as reported in their ratings), and this positive mood
and reward experience may motivate the participants to maintain
practice. It was reported that emotion and motivation associated
with reward experiences serve to direct executive control and
enhance overall behavioral performance (Pessoa, 2009). This also Dopamine
pathways
serve
the
functions
of
reward
(motivation), pleasure, and euphoria. The putamen and caudate April 2020 | Volume 11 | Article 358 Frontiers in Psychology | www.frontiersin.org 6 Mindfulness and Exercise in Aging Population Tang et al. FIGURE 4 | Comparison of sIgA between IBMT and PE. IBMT (blue dots) and
PE (red dots) groups. The IBMT group showed a significantly greater sIgA
level than the PE group. ∗P < 0.05, ∗∗P < 0.01. FIGURE 5 | Comparison of quality of life between IBMT and PE. The
horizontal axis indicates Overall Score; Physiology; Psychology. The vertical
axis indicates the quality of life (QOL) score. Error bars represent standard
errors. ∗P < 0.05; ∗∗P < 0.01. FIGURE 4 | Comparison of sIgA between IBMT and PE. IBMT (blue dots) and
PE (red dots) groups. The IBMT group showed a significantly greater sIgA
level than the PE group. ∗P < 0.05, ∗∗P < 0.01. Sridharan et al., 2008). Moreover, the ACC and insula have been
linked to self-regulation in connectivity studies (Posner et al.,
2007; Sridharan et al., 2008). Our finding of increased functional
connectivity between the dACC and insula is consistent with the
distribution of Von Economo neurons in these two brain areas
and their connectivity in the resting state (Allman et al., 2001;
Dosenbach et al., 2007; Tang et al., 2015b). We propose that
these two regions may provide an anatomical base for successful
self-regulation (Tang, 2017) that may have close relationships to
interoceptive inference (Seth and Friston, 2016). FIGURE 4 | Comparison of sIgA between IBMT and PE. Frontiers in Psychology | www.frontiersin.org Immune Function if combining training methods would lead to further benefits. Overall, our study represents an important extension of previous
research on the effects of physical exercise and meditation
practice on the aging process. Secretory immunoglobulin A (sIgA), an index of mucosal
immunity, plays an important role in host defense. The
secretory immune system of the upper respiratory tract’s
mucosal tissues is considered as the body’s first line of defense
against pathogens. Salivary sIgA becomes a focus of interest in
psychoimmunological research since it has been shown to be
sensitive to variations in subjective and objective stress levels
(Fan et al., 2010). Prior research had shown that an additional
training session immediately after acute stress increased release
of salivary sIgA in a group trained with 5-day IBMT in
comparison to a control group given the same amount of
relaxation training. Additionally, 4 weeks of increasing amounts
of IBMT significantly increased basal sIgA level, suggesting
further improvements in mucosal immune function. As we
predicted, the long-term IBMT group had a greater sIgA
level than the PE group. This higher immune function in an
aging population may be of importance in maintaining health
(Tang, 2017). In summary, the present findings suggest that the differences
between long-term mindfulness practice and physical exercise
may manifest in the functional architecture of this circuit
including ACC, striatum and the parasympathetic branch of the
autonomic nervous system. These differences are accompanied
by higher quality of life ratings and immune function in the
IBMT group. In contrast, PE group showed lower resting heart
rate and increased chest respiratory amplitude, congruent with
the notion that physical exercise training mainly engages and
trains the cardiovascular system of the body. These results
were also consistent with previous findings of endurance
exercise effects on autonomic control of heart rate. Since the
mechanisms of PE and IBMT are partially distinct, it is feasible
to integrate physical and mental training to achieve greater
health and well-being. g
Our results and explanations must be considered in the
context of several limitations. First, a relatively small sample
of subjects with more females was recruited following the
10-years of training, so we could not answer the questions
of sex-differences and dispositional influences (Killgore and
Yurgelun-Todd, 2001; Gross, 2007; McRae et al., 2008; Tang
et al., 2016). Future large trials will allow us to explore the
sex-differences in behavioral, physiological and brain changes
following longitudinal practice. ETHICS STATEMENT This
study
was
carried
out
in
accordance
with
the
recommendations of DUT Institutional Review Board. The
protocol was approved by the DUT Institutional Review Board. All subjects gave written informed consent in accordance with
the Declaration of Helsinki. Immune Function Second, our sample was from
a Chinese aging population; although our American adult
results showed the same underlying mechanism for IBMT
(Tang et al., 2012, 2015a; Tang, 2017). Replication of these
findings would be helpful in a western aging population. Third, our design did not include no-training group. Since
both PE and IBMT had already been shown to have benefits,
it did not seem ethical to have a group with no activity
for 10 years. However, this design may generate additional
valuable information on how the IBMT and PE training
postpone the normal aging process compared to a waitlist
group. Moreover, future research should have assessments before
and after the 10-years of training and examine differences at
varying points during training since we do not know when
and how much training is optimal. It should be noted that
our previous research has reported mindfulness effects on
attention, cognitive performance, emotional states and stress
regulation. In the current study, we aimed to further explore
physical and psychological changes of quality of life using
widely validated WHO Quality of Life Survey. Future research
should include multi-faceted questionnaires to fully evaluate
the potential changes. Since our study findings are related to
Alzheimer’s Disease (AD) biomarkers, future intervention studies
could clarify any differential response to the interventions in
older adults with and without preclinical AD–and any effects
of treatment on these AD biomarkers themselves in rigorous,
randomized controlled trials. Finally, future studies should
examine the benefits of combining PE and IBMT to determine FUNDING This study received funding from John Templeton Foundation. The funder had no role in study design, data collection and
analysis, decision to publish, or preparation of the manuscript. DATA AVAILABILITY STATEMENT The raw data supporting the conclusions of this article will be
made available by the authors, without undue reservation, to any
qualified researcher. Physiology When the statistical threshold was lowered (to an uncorrected
level of p < 0.001), stronger dACC and insula functional
connectivity was found in the IBMT relative to the PE group. The
dACC and insula are thought to work together in resting state
(Dosenbach et al., 2007) and both have been shown to be involved
in high-level attention and self-regulation (Posner et al., 2007; April 2020 | Volume 11 | Article 358 Frontiers in Psychology | www.frontiersin.org 7 Mindfulness and Exercise in Aging Population Tang et al. AUTHOR CONTRIBUTIONS Y-YT designed the study. YF, QL, and Y-YT performed research
and analyzed data. Y-YT, L-HT, RT, KF, RK, MP, BT, KC, and ER
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discussions and suggestions. Frontiers in Psychology | www.frontiersin.org April 2020 | Volume 11 | Article 358 8 Mindfulness and Exercise in Aging Population Tang et al. Tang, Y. Y., Ma, Y., Wang, J., Fan, Y., Feng, S., Lu, Q., et al. (2007).
Short-term meditation training improves attention and self-regulation.
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Minimum amount of physical activity for reduced mortality and extended life
expectancy: a prospective cohort study. Lancet 11, 60749–60760. doi: 10.1016/
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1106 April 2020 | Volume 11 | Article 358 Frontiers in Psychology | www.frontiersin.org 9 Tang et al. Mindfulness and Exercise in Aging Population Conflict of Interest: The authors declare that the research was conducted in the
absence of any commercial or financial relationships that could be construed as a
potential conflict of interest. Tang, Y. Y., Tang, R., and Gross, J. J. (2019). Promoting emotional well-
being through an evidence-based mindfulness training program. Fron.n
Hum.Neurosci. 13:237. doi: 10.3389/fnhum.2019.00237 Copyright © 2020 Tang, Fan, Lu, Tan, Tang, Kaplan, Pinho, Thomas, Chen, Friston
and Reiman. This is an open-access article distributed under the terms of the Creative
Commons Attribution License (CC BY). The use, distribution or reproduction in
other forums is permitted, provided the original author(s) and the copyright owner(s)
are credited and that the original publication in this journal is cited, in accordance
with accepted academic practice. No use, distribution or reproduction is permitted
which does not comply with these terms. Wen, C. P., Wai, J. P., Tsai, M. K., Yang, Y. C., Cheng, T. Y., Lee, M. C., et al. (2011). Minimum amount of physical activity for reduced mortality and extended life
expectancy: a prospective cohort study. Lancet 11, 60749–60760. doi: 10.1016/
S0140-6736(11)60749-6 April 2020 | Volume 11 | Article 358 Frontiers in Psychology | www.frontiersin.org 10
|
https://openalex.org/W4247920601
|
https://www.solid-earth.net/7/457/2016/se-7-457-2016.pdf
|
English
| null |
Delineating small karst watersheds based on digital elevation model and eco-hydrogeological principles
| null | 2,016
|
cc-by
| 9,365
|
Guang Jie Luo1,2,3, Shi Jie Wang1, Xiao Yong Bai1, Xiu Ming Liu1, and An Yun Cheng4 The amounts of surface runoff and soil loss on
karst slopes are small compared with non-karst areas because
of the dual hydrological structure of karst regions, including
ground and underground drainage systems. Most rainfall wa-
ter is transported underground through limestone fissures and
fractures, whereas only a small proportion of rainfall water is
transported in the form of surface runoff (Peng and Wang,
2012). Moreover, karst also provides diverse subterranean
habitats, including epikarst, cave streams, drip pools, springs,
and interstices (Bonacci et al., 2009). In karst regions a large
number of studies have focused on hydrology, soil erosion,
water resources, and ecosystems based on the watershed unit
(Rimmer and Salingar, 2006; Navas et al., 2013; McCormack
et al., 2014). However, many studies do not assess the accu-
racy of the scope of the watershed, or several only assess the
catchment scope for a single spring in the watershed (key
papers are summarized in Table 1 in relation). In summary, a
small watershed is the basic unit between ecosystem manage- Guang Jie Luo1,2,3, Shi Jie Wang1, Xiao Yong Bai1, Xiu Ming Liu1, and An Yun Cheng4 g
g
g
g
g
1State Key Laboratory of Environmental Geochemistry, Institute of Geochemistry, Chinese Academy of Sciences,
Guiyang 550081, China 2University of Chinese Academy of Sciences, Beijing 100049, China
3Institute of Agricultural Ecology and Rural development, Guizhou Normal College, Guiyang 550018, China
4Puding Karst Ecosystem Observation and Research Station, Chinese Academy of Sciences, Anshun 561000, China Correspondence to: Shi Jie Wang (wangshijie@vip.gyig.ac.cn) Received: 27 January 2016 – Published in Solid Earth Discuss.: 29 January 2016
Revised: 6 March 2016 – Accepted: 15 March 2016 – Published: 29 March 2016 Abstract. Dominated by specific eco-hydrogeological back-
grounds, a small watershed delineated by using the tradi-
tional method is always inauthentic in karst regions because
it cannot accurately reflect the eco-hydrological process of
the dual structure of the surface and subsurface. This study
proposes a new method for the delineation of small water-
sheds based on digital elevation models (DEMs) and eco-
hydrogeological principles in karst regions. This method is
applied to one section of the tributary area (Sancha River)
of the Yangtze River in China. By comparing the quantity,
shape, superimposition, and characteristics of the internal hy-
drological process of a small watershed extracted by using
the digital elevation model with that extracted by using the
proposed method of this study, we conclude that the small
karst watersheds extracted by the new method accurately re-
flect the hydrological process of the river basin. Furthermore,
we propose that the minimum unit of the river basin in karst
regions should be the watershed, whose exit is the corro-
sion and corrasion baselevel and a further division of wa-
tershed may cause a significant inconsistency with the true
eco-hydrological process. the action of lithology and tectonics, soluble carbonate rocks
form a dual structure by corrosion and corrasion in the sur-
face and subsurface. This structure with severe heterogene-
ity causes complex hydraulic conditions and spatiotemporal
variability of parameters (Meng et al., 2015). Rain falls into
shafts and sinks, thus causing the subsurface to crack rapidly,
particularly in several karst mountain areas, the water infil-
tration coefficient is up to 80 % (Liu and Li, 2007; Meng
and Wang, 2010) and the soil loss is also strong (Febles et
al., 2014). Thus, karst eco-hydrological processes are char-
acterized as the dual structure of the surface and subsurface
(Yang, 1982). 1
Introduction Karst is the term used to describe a special type of landscape
containing caves and extensive underground water systems
that is developed particularly on soluble rocks, such as lime-
stone, marble, and gypsum (Ford and Williams, 2007). By Solid Earth, 7, 457–468, 2016
www.solid-earth.net/7/457/2016/
doi:10.5194/se-7-457-2016
© Author(s) 2016. CC Attribution 3.0 License. Solid Earth, 7, 457–468, 2016
www.solid-earth.net/7/457/2016/
doi:10.5194/se-7-457-2016
© Author(s) 2016. CC Attribution 3.0 License. G. J. Luo et al.: Delineating small karst watersheds based on digital elevation model (2014)
groundwater
discharge and
nutrient
Western Ireland/Gort
Lowlands/483 km2
N/A / N/A
N/A and Douglas, 1975; Gallant and Hutchinson, 2009). In previ-
ous studies, the flow accumulation value (the number of grid
cells that drain into a particular cell) was calculated to es-
tablish drainage networks (Marks et al., 1984; O’Callaghan
and Mark, 1984). The procedure of partitioning watersheds
within the DEMs consists of three phases, namely, delin-
eation of a channel network, delineation of a drainage di-
vide network, and labelling of the basins by assigning each
pour point a unique positive integer and drainage direction
(Band, 1986). Thereafter, the interior of each basin is labelled
according to its pour point identifier (Benosky and Merry,
1995). In recent years, automated watershed extraction based
on DEMs has been extensively used, particularly the com-
bination of DEMs with advances in geographic information
system (GIS) techniques, as a tool for watershed extraction
(García and Camarasa, 1999; Ahamed et al., 2002; Vogt et
al., 2003; Hollenhorst et al., 2007; Qiu and Zheng, 2012). ment and basic science research in karst areas (Xiong et al.,
2014; Doglioni et al, 2012), and the method of delineating
karst watersheds has been illustrated in geographical land-
scape scale (e.g. more than 100–10 000 km2) by considering
the karst dual structure in the surface and subsurface. Watersheds, which have boundaries shaped by geomor-
phic and physical processes rather than political borders
(Hollenhorst et al., 2007), have become more accepted as
the basic unit for water resource management and ecolog-
ical protection (NRC, 1999). The digital elevation models
(DEMs) provide a solid technical foundation for the devel-
opment of a digital hydrological model that can be used for
watershed extraction and topographic analysis (Mantelli et
al, 2011; Li and Hao, 2003). Basin delineation is generally
based on digital morphology and consists of two major steps:
removal of all pits within the model by using an original mor-
phological mapping, delineation of the topographic basins by
using morphological thinning with specific structuring ele-
ments (Soille and Ansoult, 1990). The DEMs are one of the
many products available for public use that provide informa-
tion regarding new data sets for drainage extraction and wa-
tershed delineation (Hancock et al., 2006). G. J. Luo et al.: Delineating small karst watersheds based on digital elevation model 458 Table 1. Summary of relevant field studies based on watershed scale in karst areas. Not all papers illustrated data and method to map the
scope of the studied watershed and these are denoted with “N/A” representing “not applicable” in the relevant part of the “Data/method to
map the scope of the watershed” column. The “Key results” column, the accuracy of the scope of the watershed is identified. Many studies
do not make an assessment, and N/A directly follows the code in such cases. Table 1. Summary of relevant field studies based on watershed scale in karst areas. Not all papers illustrated data and method to map the
scope of the studied watershed and these are denoted with “N/A” representing “not applicable” in the relevant part of the “Data/method to
map the scope of the watershed” column. The “Key results” column, the accuracy of the scope of the watershed is identified. Many studies
do not make an assessment, and N/A directly follows the code in such cases. Study
Field
Location/watershed/study size
Data/method to map the scope
of the watershed
Key results
1 – Majone et al. (2004)
Karst runoff
Northeastern Italy/Centonia and Prese
Val/20.6 and 1.96 km2
N/A / N/A
N/A
2 – Rimmer and Salingar (2006)
Precipitation-
streamflow
model
Hermon mountain, Jordan River/Dan,
Snir and Hermon/252, 118, 106 km2
digital terrain model (DTM)/N/A
N/A
3 – Bailly-Comte et al. (2009)
Hydrodynamics
Near Montpellier, Southern
France/Coulazou River/61 km2
N/A / N/A
N/A
4 – Mayaud et al. (2014)
Groundwater
hydraulics
Styria, Austria/Lurbach/23 km2
geological map/investigation
Surface Lurbach stream: 15 km2,
subsurface karstified unit: 8 km2
5 – Malard et al. (2015)
Groundwater
hydraulics
Northeastern Switzerland/Beuchire-
Creugenat (BC) and Bonnefontaine-
Voyeboeuf (BV)/58 and 19 km2
geological map/investigation
BC: Autogenic parts 50.5 km2 and
Allogenic parts 6.5 km2, respectively
BV: 16.5 and 2.5 km2
6 – Yue et al. (2015)
Nitrate
sources and
transformation
processes
Southwestern China/Houzhai/81 km2
N/A / N/A
N/A
7 – Wicks (1997)
Groundwater
hydraulics
Central Missouri,
USA/Bonne Femme/31.6 km2
N/A/surface-water drainage patterns,
topography, and dye tracing
Surface stream: 21.3 km2, subsurface
stream: 10.3 km2
8 – Ravbar and Goldscheider (2009)
Groundwater
vulnerability
mapping
Southwestern
Slove-
nia/Podstenjšek/9.1 km2
N/A / N/A
N/A
9 – Navas et al. (2013)
soil
redistribution
Spanish Pyrenees/Estanque de Arriba
Lake/0.8 km2
Digital elevation models (DEMs)/N/A
N/A
10 – McCormack et al. Published by Copernicus Publications on behalf of the European Geosciences Union. Published by Copernicus Publications on behalf of the European Geosciences Union. 2.1
Study site Our study area on the Qianzhong Plateau (A = 2193.14 km2)
is the part of the Sancha River upstream of the Wujiang River,
a branch of the Yangtze River in China (Fig. 1). The eleva-
tions of the study area vary between 1042 and 1846 m a.s.l. The climate type is north subtropical monsoon, with a high
mountain influence. In recent decades, the mean annual rain-
fall amount is 1400 mm and peaks in the summer season
during storm events and the annual average temperature is
15.6 ◦C (For data between 1961 and 2006). Strata from the
Cambrian of the Lower Paleozoic Erathem to the Quater-
nary of the Cenozoic Erathem, except Silurian, Jurassic, and
Cretaceous, all exhibit exposures. Among these exposures,
the carbonate rocks of Permian and Triassic are most widely
distributed, accounting for greater than 90 % of the study
area (Table 2). Karst develops intensively. Thus, karst land-
forms, such as dolines, karren zones, and dry valley, are vis-
ible on the plateau, thus indicating that karstification is rela-
tively high in the study zone with 23 underground rivers. The
Yelanghu Reservoir, constructed in the study area in 1994,
has become one of the main freshwater sources in Anshun,
which supply drinking water to the city (Zhang et al., 2011). The Sancha River is the largest river in the study area and is
considered to be the corrasion baselevel of the study area. cesses that transform a karst area covered by vegetation and
soil into a rocky landscape almost devoid of soil and veg-
etation (Yan, 1997), has become one of the most important
eco-environmental problems in China (Bai et al., 2013; Yan
and Cai, 2015). Therefore, a comprehensive harness outline
for desertification in karst regions (2006–2015) in southwest
China projects approved by the State Council of the People’s
Republic of China and funded by the Chinese government at
different levels has resulted in significant progress in ecolog-
ical restoration in recent decades (Xiao et al., 2014). Small
watershed is a basic unit to implement these projects. We
cannot always rely directly on automatically extracted wa-
tersheds, particularly in regions with internal drainage (e.g. karst regions) or in plateau areas, where filling depressions
can produce large uncertainties in the extracted networks and
watershed boundaries (Khan et al., 2014). 2.1
Study site Automated wa-
tershed extraction based on the DEMs of the surface mor-
phological characteristic of the Earth seems necessary to im-
prove the methods used. Automatically delineated surface
small watersheds do not always show close agreement with
subsurface small watersheds because the subsurface hydro-
logical process is not considered, thus leading to the distor-
tion in the basin boundary and hydrological and ecological
processes. This phenomenon further restricts scientific wa-
ter resource management and ecological restoration projects. Thus, the accurate extraction of karst watersheds (KW) is
important. 2.2
Materials Data used in this study include 1 : 50 000 digital line graphic
(DLG) data provided by the State Key Laboratory of En-
vironmental Geochemistry (transformed into DEMs, with a
resolution of 30 m, by using ArcGIS), geological data, hy-
drogeological data obtained through hydrogeological map-
ping, hydrogeological drilling, water quality tracing experi-
ment based on geophysical prospecting, and high-resolution
remote sensing image data (resolution of < 2 m). In 2012,
precipitation in the study area is the data provided by the
online observation of ecosystems and by research stations in
China (Chinese Ecosystem Research Network (CERN), Pud-
ing). The aforementioned data sources are used in ArcGIS
to establish a coordinate system that can be used to conduct
spatial analysis. After the indoor extraction of KW based on
the method previously presented, we conducted considerable
field work to verify the boundary of small watershed on site. This study aims to characterize and compare the pro-
posed extraction method of small karst watersheds, com-
bining the landscape characteristics and eco-hydrogeological
principles with the traditional watershed extraction method
that topographic small watersheds are delineated automat-
ically (ATW). We select a typical karst area to extract the
KW. The study site is a section of Sancha River upstream of
Wujiang River, a branch of the Yangtze River in China. The
results can be used to accurately assess eco-hydrological pro-
cesses and efficiently manage karst watersheds. G. J. Luo et al.: Delineating small karst watersheds based on digital elevation model Automatically delineated surface
small watersheds do not always show close agreement with
subsurface small watersheds because the subsurface hydro-
logical process is not considered, thus leading to the distor-
2
Methods
2.1
Study site
Our study area on the Qianzh
is the part of the Sancha Rive
a branch of the Yangtze Riv
tions of the study area vary
The climate type is north su
mountain influence. In recen
fall amount is 1400 mm an
during storm events and the
15.6 ◦C (For data between 1
Cambrian of the Lower Pal
nary of the Cenozoic Erathe
Cretaceous, all exhibit expo
the carbonate rocks of Permi
distributed, accounting for
area (Table 2). Karst develo
forms, such as dolines, karre
ible on the plateau, thus indi
tively high in the study zone
Yelanghu Reservoir, constru
has become one of the main
which supply drinking water
The Sancha River is the larg
considered to be the corrasio
2.2
Materials
Data used in this study inclu
(DLG) data provided by th
vironmental Geochemistry (
resolution of 30 m, by using
drogeological data obtained
ping, hydrogeological drillin
ment based on geophysical p
remote sensing image data G. J. Luo et al.: Delineating small karst watersheds based
Table 2. Quantity of all types of strata outcropped in the study area. Geological time
Percentage of
strata outcropped
(%)
Cenozoic
Quaternary
3.4
Paleogene
1.06
Mesozoic
Triassic
64.04
Upper Paleozoic
Dyas
26.92
Carboniferous
5.91
Devonian
0.5
Lower Paleozoic
Ordovician
0.03
Cambrian
2.14 G. J. Luo et al.: Delineating small karst watersheds based on digital elevation model 459 G. J. Luo et al.: Delineating small karst watersheds based on digital elevation model www.solid-earth.net/7/457/2016/ G. J. Luo et al.: Delineating small karst watersheds based on digital elevation model Therefore, the ex-
traction of the topographic information of watersheds, such
as ridge lines, stream networks, and watershed area, from
DEMs has been utilized ed since the early 1970s (Peucker China has approximately 3.44 × 106 km2 of karst areas,
which is approximately 36 % of its total land area and 15.6 %
of all 22 × 106 km2 karst areas in the world (Jiang et al.,
2014a). The continuously distributed karst region, which is
about 540 000 km2, including eight provinces in southwest
China (Xu et al., 2015), is one of the most extensive and well-
developed karst landscapes of the world (Wang et al., 2004). Rocky desertification, which is used to characterize the pro- www.solid-earth.net/7/457/2016/ Solid Earth, 7, 457–468, 2016 G. J. Luo et al.: Delineating small karst watersheds based on digital elevation model
Table 2. Quantity of all types of strata outcropped in the study area. Geological time
Percentage of
strata outcropped
(%)
Cenozoic
Quaternary
3.4
Paleogene
1.06
Mesozoic
Triassic
64.04
Upper Paleozoic
Dyas
26.92
Carboniferous
5.91
Devonian
0.5
Lower Paleozoic
Ordovician
0.03
Cambrian
2.14
cesses that transform a karst area covered by vegetation and
soil into a rocky landscape almost devoid of soil and veg-
etation (Yan, 1997), has become one of the most important
eco-environmental problems in China (Bai et al., 2013; Yan
and Cai, 2015). Therefore, a comprehensive harness outline
for desertification in karst regions (2006–2015) in southwest
China projects approved by the State Council of the People’s
Republic of China and funded by the Chinese government at
different levels has resulted in significant progress in ecolog-
ical restoration in recent decades (Xiao et al., 2014). Small
watershed is a basic unit to implement these projects. We
cannot always rely directly on automatically extracted wa-
tersheds, particularly in regions with internal drainage (e.g. karst regions) or in plateau areas, where filling depressions
can produce large uncertainties in the extracted networks and
watershed boundaries (Khan et al., 2014). Automated wa-
tershed extraction based on the DEMs of the surface mor-
phological characteristic of the Earth seems necessary to im-
prove the methods used. 3
Method In this study, the delineation of karst watersheds (KW) is
completed by the following five steps: (i) auto-delineating
topographic watersheds (ATW) is delineated by using the
hydrological tools in ArcGIS 10 (ESRI 2010), (ii) regional
corrosion and corrasion baselevel and exit of watershed are
determined, (iii) the trunk stream of the dual structure of the www.solid-earth.net/7/457/2016/ Solid Earth, 7, 457–468, 2016 G. J. Luo et al.: Delineating small karst watersheds based on digital elevation model 460 Figure 1. Location and topography of the study area. (a) Is the general view of Sancha river, (b) is the location of the study area and (c) is
the elevation map of the study area. Figure 1. Location and topography of the study area. (a) Is the general view of Sancha river, (b) is the location of the study area and (c) is
the elevation map of the study area. surface and underground is determined, (iv) the flow direc-
tion in the permeable stratum of karst carbonate in the region
is determined, (v) the divide of watershed is corrected and
KW extraction is completed. of the grid of the depression is equal to the elevation value
of the surrounding lowest point. By modifying the elevation
value specified previously, the elevation values of all grids in
the DEMs are larger than or equal to that of the lowest outlet. In this manner, a DEM “with hydrological meaning” is gen-
erated and the continuity of the natural water system of the
watershed extracted from DEMs data can be ensured (Li et
al., 2003). www.solid-earth.net/7/457/2016/ 3.3
Determination of the trunk stream of the dual
structure of the surface and underground in karst
watersheds (KW) As stated in Sect. 3.2, the watercourse of the large river,
which can be extracted automatically based on the DEMs,
is the trunk stream of the watershed in the downstream area
of the regional corrosion and corrasion baselevel in karst
regions. By contrast, the main watercourse is often charac-
terized by the alteration of open channels and subterranean
streams in the upstream area of the corrosion and corrasion
baselevel because of the effects of the lithologic characteris-
tics and structure of stratum, fault, and folding. In the area of
subterranean streams, the error rate of the automatic extrac-
tion of trunk stream based on the DEMs is high. Thus, the
manual correction of the trunk stream of ATW can be con-
ducted from the upstream watercourse to the exit of KW by
using terrain data, high-resolution images, and hydrogeologi-
cal data. The correction process is shown on the left of Fig. 3. 3.2
Determination of the regional corrosion and
corrasion baselevel and exit of watershed According to the high-resolution images, no overland
runoffs exist in the automatically extracted areas where the
trunk stream flows through in the eastward direction of a in
the (1) ATW, the eastward direction of b in the (2) ATW,
and the southward direction of c in the (3) ATW. The hydro-
logical processes of these areas are dominantly underground
processes. Thus, manual correction is necessary on the topo-
graphic trunk stream extracted automatically in these areas
to obtain the trunk stream on the basis of the dual structure
of the surface and underground in the KW. 3.2
Determination of the regional corrosion and
corrasion baselevel and exit of watershed Influenced by regional tectonic activities, the datum plane
significantly affects the hydrological and geomorphic pro-
cesses within a certain region (Fitzpatrick, 1998). The cor-
rasion baselevel is usually at the level of the adjacent large
river instead of the sea level in most parts of a karst region. As such, the erosion baselevel is associated with the sea level
through the trunk stream (Li and Cui, 2004). The regional
tectonic uplift and strong downcutting of the river cause the
formation of relatively independent water-bearing blocks lo-
cally. In most cases, independent recharge, runoff, and dis-
charge areas exist in each block, which leads to the exposure
of subterranean rivers or karst springs around the discharge
datum plane in karst regions (Yang, 1982). As a result, the
place where subterranean rivers or karst springs is exposed
can be turned into a perpetual open channel because the cor-
rosion baselevel of this area in karst regions can be used
to determine the exit of watersheds (shown in Fig. 2a). The
main watercourse of a large river in the region is considered
to be the regional corrasion baselevel line (shown in Fig. 2b). In this manner, the line linking corrosion baselevel and cor-
rasion baselevel is the regional corrosion and corrasion base-
level line (shown in Fig. 2c). In watershed management, the
intersection of the corrosion and corrasion baselevel line and
the main watercourse of the large river is considered to be the
exit of the KW (shown in Fig. 2d). Figure 2. Schematic used to determine the outlet of karst water-
sheds (KW). In the upstream area of (1) ATW featuring clastic rocks, the
trunk stream is the surface runoff that enters the carbonatite
area at site a. The trunk stream turns into a subterranean river
and flows to the (2) area. At site b, the subterranean river en-
counters the water-resisting layer of clastic rocks and flows
to (3) the ATW area through sunken pipes. Finally, the sub-
terranean river flows out of the surface at b in the (4) ATW
area. The trunk stream reaches the exit of the KW and enters
the watercourse of the regional large river (corrasion base-
level). 3.1
Extraction of auto-delineating topographic
watersheds (ATW) Thereafter, the
watershed can be delineated and the watershed boundary can
be converted to a vector polygon by using GIS tools (Khan
et al., 2014). Figure 2. Schematic used to determine the outlet of karst water-
sheds (KW). 3.1
Extraction of auto-delineating topographic
watersheds (ATW) By adopting the traditional method of automatic extraction,
this step is completed by using the hydrological tools avail-
able in ArcGIS (Martz and Garbrecht, 1999). TIN is firstly
established by using the digital line graphic (DLG) data
and is converted to DEMs data, but DEMs data can also
be obtained from existing data (such as ASTER DEMs and
SRTM DEMs). Thereafter, flow distribution is conducted by
using the commonly adopted D8 algorithm (Mark, 1984;
O’Callaghan and Mark, 1984). However, in actual DEMs
products, grids around the karst regions are higher than the
depressions because of false data or the existence of “pits” or
“sinks” in actual terrain. This phenomenon results in the re-
tention of runoffs in depressions. Consequently, the extracted
river network is discontinued and deviation errors occur in
the flow direction and river network (Nikolakopoulos et al.,
2006; Jiang et al., 2014b; Tarboton et al., 1991). Therefore,
the pretreatment of DEMs data is necessary to fill the de-
pressions in the data. After this process, the elevation value After filling the depressions, the elevation of each DEMs
grid can be compared with its adjacent grids in 8 directions. The direction with the steepest slope is the direction of the
runoff in this grid (Kiss, 2004; Jenson and Domingue, 1988). In ArcGIS, grids obtained after the calculation of the flow di-
rection are marked as 1, 2, 4, 8, 16, 32, 64, and 128 to record
the different flow directions of grids. On the basis of the de-
termined flow directions of grids, the area of the upstream
catchment of this grid is determined by calculating the num-
ber of grids whose upstream catchment flows directly or indi-
rectly to the designated grid (Jensen, 1991). After generating
an output raster of flow accumulation, the threshold of the
grid where flows accumulated is selected as the area thresh-
old of the upstream feeding area on the basis of the character-
istics of climate in a certain region. The grid whose threshold
is equal to the area threshold is adopted as the initial point of
the watercourse. Grids with thresholds greater than the area www.solid-earth.net/7/457/2016/ Solid Earth, 7, 457–468, 2016 G. J. Luo et al.: Delineating small karst watersheds based on digital elevation model 461 threshold constitute the watercourse (Qiu et al, 2012). Fur-
thermore, watershed and sub-watershed outlets can be de-
fined by using the accumulated area raster. 3.4
Determination of the flow direction in the
permeable strata of karst carbonatite in the regions
where trunk stream flows through After the determination of the trunk stream of the surface and
underground in KW, determining the flow direction of each
hydrogeological unit in the area it flows through becomes
an important step for the extraction of KW. In non-karstic
terrains, groundwater divides are assumed to directly under-
lie the surface topographic divides as determined from con-
tour maps and aerial photographs (Ford and Williams, 2007). However, in karst areas, groundwater flow is significantly in-
dependent of topography but is often guided by geological www.solid-earth.net/7/457/2016/ www.solid-earth.net/7/457/2016/ Solid Earth, 7, 457–468, 2016 G. J. Luo et al.: Delineating small karst watersheds based on digital elevation model 462 Figure 3. Process used to determine the trunk stream of the dual
structure of the surface and subsurface in karst watersheds (KW). ATW represents “auto-delineating topographic watersheds”. Figure 4. Correction divide based on the auto-delineating topo-
graphic watersheds (ATW) boundary in the depression area. KW
represents “karst watersheds”. igure 4. Correction divide based on the auto-delineating topo Figure 3. Process used to determine the trunk stream of the dual
structure of the surface and subsurface in karst watersheds (KW). ATW represents “auto-delineating topographic watersheds”. Figure 4. Correction divide based on the auto-delineating topo-
graphic watersheds (ATW) boundary in the depression area. KW
represents “karst watersheds”. formations and structures (Nico and David, 2007). There-
fore, in areas without carbonatite, the flow direction is de-
termined on the basis of the surface terrain. By contrast, in
carbonatite areas, the flow direction is determined by con-
sidering the lithological characteristics and the combination
of strata, fault, and structure and by conducting geophysical
survey, tracing experiment, and model simulation (Rugel et
al., 2016). On this basis, the distribution of watershed in the
area with permeable strata in karst carbonatite is determined. of ATW; i.e. correction on the automatically extracted divide
is not needed. (2) In carbonatite areas characterized by un-
derground corrosion where vertical permeation and subsur-
face runoff are the dominant hydrological processes (nega-
tive relief develops well in these areas and peak cluster de-
pression is the main topographic feature), correction of ATW
boundary and watershed distribution is completed by using
hydrogeological data and high-resolution images and by us-
ing the flow direction determined in Sect. 3.4. In this regard,
an example is shown in Fig. 4. A depression with no sur-
face runoff is observed in the dividing area between KW 1
and KW 2, and the hydrological process is absolutely differ-
ent from that of surface terrain. Underground runoffs in the
depression flows through A′ (terrain peak) and sunken pipes
in karst carbonatite areas and accumulates in KW 1. How-
ever, the true divide goes through the water-resisting layer of
clastic rocks where B′ is located. Accordingly, we conducted
manual correction on the watershed divide on the basis of the
features of the underground hydrological process. 4.1
Comparison of the topographic characteristics o
auto-delineating topographic watersheds (ATW)
and karst watersheds (KW) From the perspective of quantity, 22 small KWs are extracted
in the study area. Compared with those based on DEMs, the
number of watersheds was reduced by seven (Fig. 5), a de-
crease of 24 %. For the watershed boundary, the total length
of the boundaries of small watersheds on the surface obtained
based on the DEMs in the study area is 1381.47 km. The total
length of the boundaries of KWs is 1004.18 km. The length
of the boundaries shared by these two types is 394.36 km,
accounting for 28.5 % of surface watershed boundaries and
39.27 % of KW boundaries. Upstream accumulation area of subsurface
runoff (or karst spring) in KW (km2) Figure 6. Correlation between the discharge of subsurface runoffs
(or karst springs) and the upstream watershed area in karst water-
sheds (KW). Figure 6. Correlation between the discharge of subsurface runoffs
(or karst springs) and the upstream watershed area in karst water-
sheds (KW). Figure 6. Correlation between the discharge of subsurface runoffs
(or karst springs) and the upstream watershed area in karst water-
sheds (KW). In terms of the superimposition of watersheds, the number
of watersheds that reached the level of coupling is nine in
ATW and KW. The number of watersheds without any cou-
pling is also nine, and the number of approximate coupling
is four (Table 3). Furthermore, except for watershed 3#, at
least two pairs of superimposition of surface watersheds are
observed in all the other small KWs. 5, 6, 7, 8, 9, 10, 11, and total RATW are all greater than 100,
thus indicating that the upstream catchment areas extracted
automatically are small. Accordingly, the RKW values of 13
subsurface runoffs (or karst springs) are all less than 100,
thus indicating that the small KW that we extracted is rea-
sonable. 3.5
Correction of the divide of auto-delineating
topographic watersheds (ATW) After completing the steps presented in Sect. 3.4, the wa-
tershed distribution of all karst hydrogeological units is al-
most completely determined. Corrections on several divides
extracted automatically are imperative to enable the bound-
ary of the dividing area to reflect the karst hydrological pro-
cess more accurately. Two conditions must be considered in
the process of correction. (1) The divide runs through areas
featuring clastic rocks (not carbonatite) with water-resisting
layers or slopes where the terrain changes significantly. Con-
sidering the fact that the hydrological process of these ar-
eas is mainly characterized by surface runoffs, the watershed
boundary of KW is considered to be the watershed boundary www.solid-earth.net/7/457/2016/ Solid Earth, 7, 457–468, 2016 G. J. Luo et al.: Delineating small karst watersheds based on digital elevation model 463 Figure 5. A quantitative contrast between karst watersheds (KW) and auto-delineating topographic watersheds (ATW). Figure 5. A quantitative contrast between karst watersheds (KW) and auto-delineating topographic watersheds (ATW). R² = 0.84
P-value < 0.01
0
1000
2000
3000
4000
0
20
40
60
80
Dischange (L s )
Upstream accumulation area of subsurface
runoff (or karst spring) in KW (km2)
–1 R² = 0.84
P-value < 0.01
0
1000
2000
3000
4000
0
20
40
60
80
Dischange (L s )
Upstream accumulation area of subsurface
runoff (or karst spring) in KW (km2)
–1
Figure 6. Correlation between the discharge of subsurface runoffs
(or karst springs) and the upstream watershed area in karst water-
sheds (KW). 5.1
The novel approach of delineation karst
watersheds (KW) The linear correlation between the water flow of subsurface
runoff (or karst spring) in normal seasons (from May to Oc-
tober), which is 1 of the 13 rivers with water flow obtained
previously, and the area of the upstream catchment is exam-
ined. In KW, the linear correlation coefficient (R2) between
the water flow in normal seasons and the area of the upstream
catchment is 0.84 (Fig. 6). In addition, Table 4 shows the pro-
portions of atmospheric precipitation in the upstream catch-
ment area of 13 subterraneous rivers (or karst springs) that
are converted into subsurface runoffs. The values of 2, 3, 4, The automatic delineation of watersheds is extensively ac-
cepted and applied by hydrologists, geologists, and ecolo-
gists internationally because of the convenience in the acqui-
sition of data source and automation in the extraction process
(Verdin and Verdin, 1999). However, in karst areas, wherein
the eco-hydrogeological principles are complex and signif-
icant differences exist in the dual structure of the surface
and underground (Yang, 1982). This study has presented a
novel approach to overcome faults of the traditional method www.solid-earth.net/7/457/2016/ Solid Earth, 7, 457–468, 2016 G. J. Luo et al.: Delineating small karst watersheds based on digital elevatio
3. Evaluation of the spatio-superimposed relationship between karst watersheds (KW) and auto-delineating topographic w
). ID of
Area
ID of ATW Fig. 6
Maximum
Percentage
Type
KW
(km2)
of ATW
29.91
2, 3, 11, 8
15.31
51.19
No coupling
1
48.35
1,4
47.03
97.28
Coupling
2
37.14
5, 6, 10, 11, 9
27.93
75.20
Segmental coupling
3
65.46
6
65.46
100.00
Coupling
4
52.80
7, 8, 14
45.92
86.95
Segmental coupling
5
26.86
11
26.86
100.00
Coupling
6
65.57
4, 12, 13
42.99
65.56
No coupling
7
72.98
5, 10, 16, 17, 18, 24, 26, 11
33.41
45.78
No coupling
8
59.29
7, 8, 14, 17, 19, 23, 11
25.11
42.35
No coupling
9
62.32
19, 23
56.83
91.20
Coupling
10
71.73
9, 10, 16, 20, 24, 15
46.97
65.48
No coupling
11
30.35
21, 22
30.28
99.76
Coupling
12
31.45
15, 20, 22, 26, 21
26.22
83.40
Segmental coupling
13
66.39
23, 26
65.51
98.67
Coupling
14
67.80
20, 24, 26
55.12
81.31
Segmental coupling
15
44.71
23, 25, 28, 27
31.09
69.53
No coupling
16
57.16
25, 26, 28
55.86
97.71
Coupling
17
34.92
22, 24, 26
33.96
97.24
Coupling
18
59.23
0, 1, 12, 13, 4
23.75
40.10
No coupling
19
37.96
6, 9, 12
21.70
57.17
No coupling
20
17.07
3, 8, 11
16.60
97.27
Coupling
21
32.28
9, 12, 20, 15
14.45
44.77
No coupling
Notes: no coupling–percentage < 70; segmental coupling 70 ≤percentage < 90; coupling 90 ≤percentage. 464
G. J. Luo et al.: Delineating small karst watersheds based on digital elevation model
Table 3. Evaluation of the spatio-superimposed relationship between karst watersheds (KW) and auto-delineating topographic watersheds
(ATW). G. J. Luo et al.: Delineating small karst watersheds based on digital elevation mod G. J. Luo et al.: Delineating small karst watersheds based on digital elevation model 464 Table 3. Evaluation of the spatio-superimposed relationship between karst watersheds (KW) and auto-delineating topographic watersheds
(ATW). spring in the centre of the Istria peninsula of Croatia; Ombla
karst spring in Croatia) or a ground runoff (e.g. Cuatrociéne-
gas of Mexico) using geophysical and geochemical methods
(Bonacci, 2001; Wolaver et al., 2008). www.solid-earth.net/7/457/2016/ In these cases it is
reliable that determined the catchment area of the ground
runoff on the surface, but expensive and impracticable that
the methods are applied to a greater geographical spatial
scales. Therefore, this study has combined the above two
advantages to delineate KW based on the dual structure of
the surface and subsurface, and this integrative delineation
KW framework can be applied to map karstic catchments in
multi-scales. of delineation watersheds in karst areas, by combining hy-
drogeological principles and DEMs. The method proposed
in this study not only had similar advantages of accurate ex-
pression of terrain and quick automation as the traditional
automatic extraction method but also considered the specific
eco-hydrogeological principles in karst areas. The multiple methods from the geography, topography,
hydrology, and hydrogeology were used conformably in the
five steps of delineation KW. The work extends previous
studies on watershed delineation using 3S (GIS, RS, and
GPS) and digital terrain data (Hollenhorst et al., 2007; Seyler
et al., 2009). In these studies, watershed delineation has the
following advantages: (i) the DEMs data (e.g. the Shuttle
Radar Topography Mission DEMs and the Advanced Space-
borne Thermal Emission and Reflection Radiometer – global
digital elevation model) is easy available (Jarihani et al.,
2015); and (ii) Surface morphology analysis based on DEMs
is accurate in the digital mapping to ditch, slope, mountain
divide, and drainage network, with the advantages of high
automation and wide spatial scale from the global to the nano
- or microscales (Wilson and Gallant, 2000). www.solid-earth.net/7/457/2016/ G. J. Luo et al.: Delineating small karst watersheds based on digital elevation model of closed surface depressions, a well-developed underground
drainage system, and a strong interaction between circulation
of surface water and groundwater is typical (Bonacci, 2009). In contrast, (i) for the karst area covered by glaciers (e.g. northern Tibet, high alpine, cordillera), the karst solution pro-
cesses are unlikely to be an important factor in karst land-
form development because of low solubilities and/ or low
secondary porosity (Zhang, 1996; Plan et al., 2009; Viles,
2003); (ii) for steep slope in karst areas (e.g. the eastern Tibet
plateau), the karst hydrological processes are dominated by
surface runoff and the development degree of underground
karst processes is low. In the above two areas, a watershed
can be delineated by traditional method on the basis of the
surface topography. Table 4. Infiltration efficiency from the atmospheric precipitation
in the upstream catchment area of subsurface runoffs (or karst
springs). No. is the number of subsurface runoff or karst spring,
and D is its discharge (L s−1). Akw represents “upstream accumu-
lation area of subsurface runoff (or karst spring) in karst watersheds
(KW, km2)” and AATW represents “upstream accumulation area of
subsurface runoff (or karst spring) in auto-delineating topographic
watersheds (ATW, km2)”. RATW (%) is the percentage of precipita-
tion into subsurface runoff in ATW and RKW (%) is the percentage
of precipitation into subsurface runoff in KW. No. D
AKW
AATW
RATW
RKW
1
3076.00
65.57
69.92
58.42
62.29
2
1634.20
34.69
4.01
540.96
62.56
3
1331.10
40.31
4.61
383.29
43.85
4
940.20
13.72
0.07
16 970.80
90.97
5
832.51
13.05
1.16
956.17
84.72
6
740.00
18.22
1.93
508.47
53.94
7
660.60
15.14
6.76
129.73
57.92
8
632.49
28.30
1.27
663.94
29.68
9
496.40
14.57
4.95
133.25
45.24
10
450.00
22.94
2.31
258.45
26.05
11
424.00
7.48
0.89
634.45
75.30
12
279.80
4.21
3.93
94.51
88.18
13
157.50
9.01
12.19
17.16
23.22
Sum
11 654.80
287.22
113.99
135.77
53.88
Notes: RKM =
D
AKM ×T ×r
P
× 100 and RATM =
D
AATM ×T ×r
P
× 100, where T is
the total number of seconds from May to October; r is the factor for unit
conversion in D, A, T , and P; p is 1197.2 mm, which is the hourly rainfall
amount recorded by the automatic weather station in CERN (Puding) from May
to October in the study area. G. J. Luo et al.: Delineating small karst watersheds based on digital elevation model Moreover, the small watershed extracted by using the new
method has a better application value in the management of
regional water resources, ecological construction, and man-
agement of land utilization. On that account, this method
can be utilized by fellow scientists and government man-
agers from around the world. Furthermore, on the basis of
the method proposed in this study, our subsequent study will
be focused on further promotion of the level of automation
in KW extraction. 6
Conclusions In
this
study,
we
propose
that,
under
specific
eco-
hydrogeological backgrounds, the traditional method of
automatic extraction of watershed based merely on sur-
face topography is inauthentic and cannot reflect the eco-
hydrological process of the dual structure of the surface and
subsurface accurately. Thus, a new method that is applica-
ble for the extraction of small watersheds in karst areas is
imperative. This study focuses on the eco-hydrological back-
ground of karst regions and proposes a new method for the
extraction of small watershed in karst areas. The extraction
of small watersheds is achieved through the following five
steps: (i) automatic extraction of small watershed in the sur-
face terrain is conducted (ATW); (ii) regional corrosion and
corrasion baselevel and exit of watershed are determined;
(iii) trunk stream of the dual structure of the surface and
underground in karst regions is determined; (iv) flow direc-
tion in the permeable stratum of karst carbonatite in the re-
gions where trunk stream flows through is determined; (v) di-
vide of ATW is corrected. In this method, vector topographic
data, geological data, hydrogeological data, and data source
of high-resolution remote sensing are employed. By the com-
bined utilization of ArcGIS platform and field survey, the ex-
traction of small KWs is completed. However, Karst landscapes are influenced by three main
factors: the geological setting, the influence of events within
the Quaternary (the last ca. 1.8 million years), and recent pro-
cesses (usually taken to cover events within the Holocene
or the last ca. 10 000 years) (Viles, 2003). In some areas,
with the affection from the lithology and geological tec-
tonic movement, and the domination from the Earth’s crust
uplift and the long-term corrosion (as described the above
Sect. 3.2), runoffs often enter into ground conduits (Pitty,
1968). Then the inconsistency can be developed between the
delineation watershed area by only considering the surface
topography and the physical hydrological process (Fig. 3). Obviously, the watershed should not be further divided in
such karst areas. This study has proposed that the minimum
unit of the river basin in karst regions should be the wa-
tershed whose exit is the corrosion and corrasion baselevel,
which ensures the coincident hydrological process of the dual
structure of surface and subsurface. 5.2
The minimum karstic watershed unit In the field of topography, the key of watershed delineation
is the extraction of drainage network that can be divided into
different rank, accordingly, the rank of the watershed can
be divided respectively (Fürst and Hörhan, 2009). Moreover,
one of the most critical issues in deriving drainage networks
from DEMs is the location of the channel head in the Arc-
Hydrology tool (Vogt et al., 2003). Therefore, whatever a
contributing area threshold to generate headwater can be de-
fined and then the vary drainage network and watershed can
be delineated. On the other hand, in the research fields of karst hydrol-
ogy and karst hydrogeology, the study of watershed delin-
eation most concentrated on delineation the catchment area
of a single spring (Table 1) (e.g. Fontaine de Vaucluse Spring
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https://ir.library.illinoisstate.edu/cgi/viewcontent.cgi?article=1010&context=fpbiosci
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English
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Linezolid Exerts Greater Bacterial Clearance but No Modification of Host Lung Gene Expression Profiling: A Mouse MRSA Pneumonia Model
|
PloS one
| 2,013
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cc-by
| 8,356
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Linezolid Exerts Greater Bacterial Clearance but
No Modification of Host Lung Gene Expression
Profiling: A Mouse MRSA Pneumonia Model Jiwang Chen
University of Illinois at Chicago Gang Feng
Northwestern University Biomedical Informatics Center Follow this and additional works at: https://ir.library.illinoisstate.edu/fpbiosci Part of the Biology Commons Illinois State University
ISU ReD: Research and eData Illinois State University
ISU ReD: Research and eData Illinois State University
ISU ReD: Research and eData Biological Sciences Faculty Publications – Biological Sciences Authors
Jiwang Chen, Gang Feng, Yang Song, Juliane B. Wardenburg, Simon Lin, Ichiro Inoshima, Michael Otto, and
Richard G. Wunderink This article is available at ISU ReD: Research and eData: https://ir.library.illinoisstate.edu/fpbiosci/6 Abstract Background: Linezolid (LZD) is beneficial to patients with MRSA pneumonia, but whether and how LZD influences
global host lung immune responses at the mRNA level during MRSA-mediated pneumonia is still unknown. Methods: A lethal mouse model of MRSA pneumonia mediated by USA300 was employed to study the influence of
LZD on survival, while the sublethal mouse model was used to examine the effect of LZD on bacterial clearance and
lung gene expression during MRSA pneumonia. LZD (100mg/kg/day, IP) was given to C57Bl6 mice for three days. On Day 1 and Day 3 post infection, bronchoalveolar lavage fluid (BALF) protein concentration and levels of cytokines
including IL6, TNFα, IL1β, Interferon-γ and IL17 were measured. In the sublethal model, left lungs were used to
determine bacterial clearance and right lungs for whole-genome transcriptional profiling of lung immune responses. Results: LZD therapy significantly improved survival and bacterial clearance. It also significantly decreased BALF
protein concentration and levels of cytokines including IL6, IL1β, Interferon-γ and IL17. No significant gene
expression changes in the mouse lungs were associated with LZD therapy. Conclusion: LZD is beneficial to MRSA pneumonia, but it does not modulate host lung immune responses at the
transcriptional level. Editor: Daniela Flavia Hozbor, Universidad Nacional de La Plata, Argentina Editor: Daniela Flavia Hozbor, Universidad Nacional de La Plata, Argentina Received February 15, 2013; Accepted May 23, 2013; Published June 27, 2013 Copyright: © 2013 Chen et al. This is an open-access article distributed under the terms of the Creative Commons Attribution License, which permits
unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. Funding: This study was supported by Pfizer ASPIRE Award, Pfizer Investigator-Initiated Grant (WS1826185, to JC), the National Center for Advancing
Translational Sciences Grant (8UL1TR000150) and the NCI Cancer Center Support Grant (NCI CA060553 to GF and SL) and the Intramural Research
Program of the NIAID (to MO). The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript. Competing interests: The authors have the following interests: This project was supported by Pfizer Inc. Dr. Wunderink has received an investigator-
initiated grant, participated in a clinical trial, and is a member of a data safety monitoring board with unrelated compounds/diagnostic tests for Pfizer. This
does not alter the authors' adherence to all the PLOS ONE policies on sharing data and materials. * E-mail: chenjw@uic.edu Recommended Citation Chen, Jiwang; Feng, Gang; Song, Yang; Wardenburg, Juliane B.; Lin, Simon; Inoshima, Ichiro; Otto, Michael; and Wunderink,
Richard G., "Linezolid Exerts Greater Bacterial Clearance but No Modification of Host Lung Gene Expression Profiling: A Mouse
MRSA Pneumonia Model" (2013). Faculty Publications – Biological Sciences. 6. ht
// l b
ll
d /f b
/6 https://ir.library.illinoisstate.edu/fpbiosci/6 This Article is brought to you for free and open access by the Biological Sciences at ISU ReD: Research and eData. It has been accepted for inclusion in
Faculty Publications – Biological Sciences by an authorized administrator of ISU ReD: Research and eData. For more information, please contact
ISUReD@ilstu.edu. Jiwang Chen1,2*, Gang Feng3, Yang Song4, Juliane B. Wardenburg5, Simon Lin3,6, Ichiro Inoshima5,
Michael Otto7, Richard G. Wunderink1 1 Department of Medicine, Northwestern University, Chicago, Illinois, United States of America, 2 Section of Pulmonary, Critical Care Medicine, Allergy and
Sleep, University of Illinois at Chicago, Chicago, Illinois, United States of America, 3 Northwestern University Biomedical Informatics Center, Chicago, Illinois,
United States of America, 4 Microbiology Group, School of Biological Sciences, Illinois State University, Normal, Illinois, United States of America, 5 Department
of Pediatrics, University of Chicago, Chicago, Illinois, United States of America, 6 Biomedical Informatics Research Center, Marshfield Clinic Research
Foundation, Marshfield, Wisconsin, United States of America, 7 National Institute of Allergy and Infectious Diseases, Bethesda, Maryland, United States of
America June 2013 | Volume 8 | Issue 6 | e67994 Lung Bacterial Clearance Assay USA300 CA-MRSA wild-type LAC strain [13,14] was used in
this study. To prepare an inoculum for animals, a frozen stock
of S. aureus was incubated onto a tryptic soy agar plate at
37°C overnight. A single colony was put into 3 ml tryptic soy
broth (TSB) and incubated overnight in a shaker set at 250 rpm
and 37°C. One milliliter of overnight culture was then grown in
100 ml TSB solution until OD660 was approximately 0.5. Fifty
milliliter of bacteria were then centrifuged at 6000 g for 15 min
at 4°C, washed in sterilized phosphate-buffered solution (PBS)
and resuspended in a certain volume of PBS solution. In the
sublethal model for bacterial clearance and gene expression
profiling assays, the volume of PBS for bacterial resuspension
is 1.5 ml, resulting in an estimated concentration of 1x108 CFU
per 30 µl volume. In the lethal model, the PBS volume was 750
µl, resulting in an estimated concentration of 3~4 x108 CFU per
30 µl volume. After bacterial resuspension, the solution was
immediately used for animal inoculation. All inocula were then
quantified by plating serial dilutions in PBS on tryptic soy agar
and counting colonies after overnight incubation at 37°C. In this
study, the lethal model was used to study how LZD is beneficial
to survival of mice after MRSA pneumonia. Since very few
mice survive > 48 hrs in the lethal model without LZD therapy
[13], the sublethal model was used for bacterial clearance and
gene expression profiling assays. In the sublethal model, lungs were harvested after the mice
were euthanized and homogenized in 1 ml sterilized PBS. Serial dilutions (1:10, 1:100) were prepared in PBS and plated
on tryptic soy agar plates. After 24-hr incubation of the plates,
bacterial colonies were counted and the number of colony
forming units (CFU) per ml lung homogenate was calculated. Introduction The LZD concentration and treatment time
selected in our model were based on previous studies [15-17]
in order to achieve success against MRSA with minimum
inhibitory concentration (MIC) as high as 2 to 4 μg/ml. In this study, we hypothesized that LZD regulates host-
bacteria interactions by modulating the gene expression profile
in the lung during the MRSA pneumonia. Here we determined
whether and how MRSA modulates host lung immune
responses by genome-wide transcriptional profiling during
pneumonia. In addition, we examined the corresponding effects
of LZD on survival, lung bacterial clearance and acute lung
injury. In our established mouse model of MRSA pneumonia,
severely ill mice that show signs of ruffled fur, markedly
decreased activity, surface temperature < 23°C, diminished
righting reflex and decreased respiratory rate are euthanized. The mice are observed continuously within the first hour after
MRSA inoculation, and then checked once per six hours for up
to three days. In the lethal model, all the surviving mice after
one week were euthanized. Bronchoalveolar Lavage Fluid (BALF) Protein
Concentration and Cytokine Measurement BALF was performed by instilling 1 ml of cold Hank’s Salt
solution (HBSS, Invitrogen, Grand Island, NY) via tracheal
cannula, as previously described [18]. After centrifuge at 600 g
for 10 min, the supernatant was harvested for protein
concentration measurement by Pierce® BCA protein assay kit
(Thermo Scientific Inc, Rockford, IL). The Bio-plexProTM mouse cytokine TH17 panel A kit
(M60-00007NY, Bio-Rad Inc) was used to measure IL1β, IL-6,
IL-17A, IFN-γ and TNF-α levels in BALF with 6 replications per
group. Introduction In addition,
exotoxin release leads to a corresponding increase in induction
of tumor necrosis factor, which can be also suppressed with
LZD [9-11]. Using a murine model of pneumonia, Akinnusi et
al. (2011) reported that LZD and VAN have comparable effects
in modulating the expression of metalloproteinases (MMPs) in
bronchoalveolar lavage fluid (BALF) and in regulating
neutrophil activation [12]. They concluded that LZD exhibits a
minimal modulatory effect on innate immunity in the animal
model of MRSA pneumonia. All of these studies were
conducted either via in vitro cell culture models or BALF
characterization in a mouse model of MRSA pneumonia. Whether LZD modulates host lung immune responses at the
mRNA level during MRSA pneumonia is still unknown. Previously, a rat necrotizing pneumonia model was used to
study
transcription
of
84
genes
mediating
the
early
inflammatory response in the lung [5]. These genes include
only inflammatory cytokines, chemokines and their receptors. Northwestern
University. The
lung
infection
procedure
described previously [13,14] was followed. Briefly, C57Bl6 male
mice (7 weeks old, Charles River) were anesthetized before
inoculation of 30 µl of USA300 CA-MRSA strain LAC
suspension via the left nare. Animals were held upright for one
minute post-inoculation and then placed into a cage in supine
position for recovery. All animals were provided with food and
water ad libitum. A small number of animal that succumbed
within the first six hours post infection (< 1%) were excluded in
the subsequent data analysis. Northwestern
University. The
lung
infection
procedure
described previously [13,14] was followed. Briefly, C57Bl6 male
mice (7 weeks old, Charles River) were anesthetized before
inoculation of 30 µl of USA300 CA-MRSA strain LAC
suspension via the left nare. Animals were held upright for one
minute post-inoculation and then placed into a cage in supine
position for recovery. All animals were provided with food and
water ad libitum. A small number of animal that succumbed
within the first six hours post infection (< 1%) were excluded in
the subsequent data analysis. Mice were divided into two groups: placebo (PBS) and LAC. Each group included two subgroups: no LZD treatment and
LZD treatment. Mice were treated with PBS or LZD starting at 6
hours post inoculation, prior to the peak expression of
proinflammatory
cytokines
or
chemokines. LZD
was
administered by intraperitoneal injection (I.P), 100 mg/kg/day
for three days. Histology Preparation A 20-gauge angiocath was sutured into the mouse trachea. The lungs were inflated with 0.8 ml 4% paraformaldehyde
(PFA) and fixed in a 15 ml tube with the same concentration of
PFA solution overnight at 4°C. The fixed lungs were
paraffinized and 5-μm sections were stained with hematoxylin/
eosin. Introduction lungs, resulting in airway neutrophil influx, loss of alveolar
structure,
severe
pulmonary
edema,
hemorrhage,
intrapulmonary bacterial proliferation and high mortality rates
[4,5]. Community associated methicillin-resistant Staphylococcus
aureus (CA-MRSA) is an emerging threat to human health
throughout the world. Its epidemic spread and high mortality in
healthy individuals have raised alarm in the biomedical
community. In the USA, CA-MRSA infections are almost
entirely attributed to a pandemic and highly virulent strain,
USA300 [1,2]. CA-MRSA is the most predominant isolates in
patients with noscomial pneumonia [3]. CA-MRSA pneumonia
is characterized by a dramatic inflammatory response in the Currently the American Thoracic Society and the Infectious
Diseases Society of the America recommend vancomycin
(VAN) or linezolid (LZD) as first-line agents for treatment of
MRSA pneumonia [6,7]. Mechanistically, LZD selectively binds
to the 50S ribosomal subunit, resulting in inhibition of bacterial
protein synthesis [8]. Through this mechanism, LZD decreases
in vitro production of exotoxins, including Panton Valentine 1 PLOS ONE | www.plosone.org 1 June 2013 | Volume 8 | Issue 6 | e67994 Linezolid in a Mouse MRSA Pneumonia Model Leukocidin (PVL), hemolysins, and enterotoxins. In addition,
exotoxin release leads to a corresponding increase in induction
of tumor necrosis factor, which can be also suppressed with
LZD [9-11]. Using a murine model of pneumonia, Akinnusi et
al. (2011) reported that LZD and VAN have comparable effects
in modulating the expression of metalloproteinases (MMPs) in
bronchoalveolar lavage fluid (BALF) and in regulating
neutrophil activation [12]. They concluded that LZD exhibits a
minimal modulatory effect on innate immunity in the animal
model of MRSA pneumonia. All of these studies were
conducted either via in vitro cell culture models or BALF
characterization in a mouse model of MRSA pneumonia. Whether LZD modulates host lung immune responses at the
mRNA level during MRSA pneumonia is still unknown. Previously, a rat necrotizing pneumonia model was used to
study
transcription
of
84
genes
mediating
the
early
inflammatory response in the lung [5]. These genes include
only inflammatory cytokines, chemokines and their receptors. In this study, we hypothesized that LZD regulates host-
bacteria interactions by modulating the gene expression profile
in the lung during the MRSA pneumonia. Here we determined
whether and how MRSA modulates host lung immune
responses by genome-wide transcriptional profiling during
pneumonia. In addition, we examined the corresponding effects
of LZD on survival, lung bacterial clearance and acute lung
injury. Leukocidin (PVL), hemolysins, and enterotoxins. Reverse Transcription and Real-time PCR Validation Two microgram of purified RNA was reverse transcribed to
single-strand cDNA using Taqman RNA reverse transcription
kit (cat. #N8080234, Applied Biosystems Inc [ABI]). Real-time
PCR was performed on an ABI 7900HT machine. Specific
Taqman quantitative real-time PCR assays were ordered from
ABI (specific assay IDs available upon request). The relative
mRNA expression levels were normalized to the expression of
a housekeeping gene, hexose-6-phosphate dehydrogenase
(G6PDH), and determined by calculating the ΔΔCt value, as
detailed in the manufacturer’s guidelines. (1) LZD Significantly Improves Survival and Lung
Bacterial Clearance in MRSA-mediated Pneumonia In our lethal model, without LZD treatment, survival rates of
LAC group at 24, 48 and 72 hrs post infection were 62.0 ±
9.0%, 24.8 ± 7.9% and 16.4 ± 2.0%, respectively. With LZD
therapy, survival rates of LAC group at 24, 48 and 72 hrs post
infection were 98.0 ± 2.0%, 91.7 ± 1.2% and 91.7 ± 1.2%,
respectively (Figure 1A). All mice in the PBS or PBS+LZD
groups
survived. This
clearly
demonstrated
that
LZD
significantly improved survival in the lethal mouse model of
MRSA-mediated pneumonia (p < 0.0001). In the sublethal mouse model, no deaths occurred in any
groups (data not shown). We checked bacterial number in left
lungs (right lungs were used for gene expression assay) at Day
1 and Day 3 post infection. The data were shown in Figure 1B. Comparing bacterial numbers between LZD and no LZD-
treated group, LZD significantly improved bacterial clearance at
both Day 1 post infection ([8.65 ± 3.68] x106 CFU vs [1.38 ±
0.086] x106 CFU, p = 0.0013), and at Day 3 post infection
(1148 ± 509 CFU vs 287 ± 83 CFU, p = 0.039). In the group
without LZD treatment, the bacterial burden in the lungs
significantly decreased at Day 3 compared to Day 1 post
MRSA infection (p = 0.0013). Differentially expressed genes were identified by means of
an Analysis of Variance (ANOVA) model with empirical
Bayesian variance estimation [22]. The false discovery rate
(FDR) was adopted to reduce false positives in multiple
comparisons. Stringent criteria (fold change ≥ 1.5 up or down,
P < 0.01, FDR < 0.05) were used to filter significantly
differentially expressed genes. Two-dimensional hierarchical
clustering was applied to these filtered probes to generate a
global overview of the gene expression map (heat map). Gene Ontology enrichment analysis of the significantly
differentially
expressed
genes
was
performed
by
GeneAnswers,
a
Bioconductorpackage,
based
on
hypergeometric test [23-25]. Microarray data was deposited in
the Gene Expression Omnibus database with accession
number GSE36587 and GSE46071 (GEO database, http://
www.ncbi.nlm.nih.gov/geo/). Microarray Data and Functional Analysis Microarray Data and Functional Analysis RNA expression analysis was performed by the Illumina
MouseRef-8 BeadChip (Illumina, San Diego, CA), which
provides coverage of approximately 25,700 genes and
expressed sequence tags. Four independent mouse lung
tissue samples at Day 1 and Day 3 post MRSA infection were
randomly selected from each group and used for RNA isolation
with RNeasy plus mini kit (Qiagen, Valencia, CA). RNA quality
was checked by Agilent Bioanalyzer (Santa Clara, CA) and
labeled by a commercial kit (TargetAmp 1-Round Aminoallyl-
aRNA Ki; Epicentre, Madison, WI, USA). The labeled RNA was
then hybridized to the Illumina MouseRef-8 BeadChip. Raw
signal intensities of each probe were obtained by data analysis
software (Beadstudio; Illumina) and imported to the Lumi
package
of
Bioconductor
for
data
transformation
and
normalization [19-21]. “Absent/Present” call detection was
performed based on detected p value (p < 0.01). 15,490 out of
25,697 probes were considered valid signals. (2) LZD Significantly Attenuated MRSA-mediated Acute
Lung Injury (ALI) Revealed by Lung Histology Hematoxylin/eosin (HE) staining of lung tissues is shown in
Figure 2. Compared to PBS group, more inflammation with
pulmonary edema, multifocal bacterial aggregates, and lung
structure destruction was seen in the lungs at Day 1 post
MRSA infection. With LZD treatment, no abscesses formed,
less lung edema occurred, and fewer inflammatory cells were
observed compared to no LZD treatment. At Day 3 post MRSA
infection, no multifocal bacterial aggregates could be found,
although the inflammatory infiltrates were still seen in the lung
alveolar space. (3) LZD Significantly Decreased BALF Protein
Concentrations and Cytokine Levels during MRSA
Pneumonia BALF protein concentrations dramatically increased in the
LAC group, compared to the control group (PBS inoculated) (p
< 0.001, Figure 3). LZD therapy significantly decreased BALF
protein concentration in the LAC group at day 1 (3178.0 ±
418.4 µg/ml vs 1670.0 ± 98.8 µg/ml, p = 0.008) (Figure 3). It did
not significantly change BALF protein concentration in control
group (319.0 ± 46.2 vs 371.4 ± 41.8 µg/ml, p = 0.43). In the
MRSA infected group, BALF protein concentration significantly
decreased at Day 3 compared to Day 1 (3178.0 ± 418.4 µg/ml
vs 890.3 ± 127.5 µg/ml, p < 0.001). Animals and Procedures All animal experiments and procedures were approved by
the Institutional Animal Care and Use Committee in PLOS ONE | www.plosone.org June 2013 | Volume 8 | Issue 6 | e67994 2 Linezolid in a Mouse MRSA Pneumonia Model analysis was performed on GraphPad Prism 5.1 (GraphPad
Software, La Jolla, CA). Statistical Analysis P-values for survival data were calculated using the Gehan-
Breslow-Wilcoxon test, with a Wilcoxon rank-sum test for
bacterial clearance data analysis. For analysis of BALF protein
concentration and real-time PCR data, two-tailed Student t-
tests were used for comparisons between two groups. One
way analysis of variance (ANOVA) and pairwise t-test with
Bonferroni-adjustment were used for comparison of over two
groups. Results are displayed with mean ± SEM (standard
error of the mean) for at least three independent experiments. P < 0.05 was considered statistically significant. All statistical Our cytokine data (Figure 4) showed LZD significantly
decreases IL1β, IL6, Interferon-γ and IL17 in LAC+LZD group, PLOS ONE | www.plosone.org June 2013 | Volume 8 | Issue 6 | e67994 3 Linezolid in a Mouse MRSA Pneumonia Model ure 1. Survival and lung bacterial clearance data with Linezolid and no Linezolid therapy in MRSA media
umonia. A) Survival data after 24 hrs, 48 hrs and 72 hrs post MRSA lung infections in a mouse lethal model of MR
umonia (38 mice were used in LAC+LZD group and 39 mice in LAC+PBS group). p < 0.0001 calculated by a Gehan-Breslo
oxon test). B) Bacterial clearance data at Day 1 and Day 3 post MRSA infection in a mouse sublethal model of MR
umonia. Twelve mice from three experiments were used in each group. P-values were calculated by a Wilcoxon rank-sum tes
0.1371/journal.pone.0067994.g001
Linezolid in a Mouse MRSA Pneumonia Mo Figure 1. Survival and lung bacterial clearance data with Linezolid and no Linezolid therapy in MRSA mediated
pneumonia. A) Survival data after 24 hrs, 48 hrs and 72 hrs post MRSA lung infections in a mouse lethal model of MRSA
pneumonia (38 mice were used in LAC+LZD group and 39 mice in LAC+PBS group). p < 0.0001 calculated by a Gehan-Breslow-
Wilcoxon test). B) Bacterial clearance data at Day 1 and Day 3 post MRSA infection in a mouse sublethal model of MRSA
pneumonia. Twelve mice from three experiments were used in each group. P-values were calculated by a Wilcoxon rank-sum test. doi: 10.1371/journal.pone.0067994.g001 Figure 1. Survival and lung bacterial clearance data with Linezolid and no Linezolid therapy in MRSA mediated
pneumonia. A) Survival data after 24 hrs, 48 hrs and 72 hrs post MRSA lung infections in a mouse lethal model of MRSA
pneumonia (38 mice were used in LAC+LZD group and 39 mice in LAC+PBS group). Statistical Analysis p < 0.0001 calculated by a Gehan-Breslow-
Wilcoxon test). B) Bacterial clearance data at Day 1 and Day 3 post MRSA infection in a mouse sublethal model of MRSA
pneumonia. Twelve mice from three experiments were used in each group. P-values were calculated by a Wilcoxon rank-sum test. doi: 10.1371/journal.pone.0067994.g001 June 2013 | Volume 8 | Issue 6 | e67994 4 PLOS ONE | www.plosone.org Linezolid in a Mouse MRSA Pneumonia Model Figure 2. Lung hematoxylin and eosin (HE) staining images. The images in the first row are the representative groups without
LZD therapy, and the images in the second row are the representative groups with LZD therapy. Magnification time, x20. Compared
to the PBS control group, more inflammation with pulmonary edema, multifocal bacterial aggregates, and lung structure destruction
was seen in the lungs at Day 1 post MRSA infection. With LZD treatment, no abscesses were formed, less lung edema and fewer
inflammatory cells were observed compared to without LZD treatment. At Day 3 post MRSA infection, no multifocal bacterial
aggregates could be found. However, the inflammatory infiltrates were still seen in the lung alveolar space. doi: 10.1371/journal.pone.0067994.g002 Figure 2. Lung hematoxylin and eosin (HE) staining images. The images in the first row are the representative groups without
LZD therapy, and the images in the second row are the representative groups with LZD therapy. Magnification time, x20. Compared
to the PBS control group, more inflammation with pulmonary edema, multifocal bacterial aggregates, and lung structure destruction
was seen in the lungs at Day 1 post MRSA infection. With LZD treatment, no abscesses were formed, less lung edema and fewer
inflammatory cells were observed compared to without LZD treatment. At Day 3 post MRSA infection, no multifocal bacterial
aggregates could be found. However, the inflammatory infiltrates were still seen in the lung alveolar space. doi: 10.1371/journal.pone.0067994.g002 compared to LAC group. No significant difference was
demonstrated for any cytokine measured between the PBS and
PBS+LZD groups. In addition, no statistically significant
difference in TNFα levels between the LAC and LAC+LZD
groups (p = 0.38) was demonstrated. of the significantly altered genes into the biological-process GO
category (Figure 5B) revealed genes controlling innate immune
response, inflammatory response, response to wounding,
bacterium and cytokine stimulus, cell differentiation and
migration, apoptosis, cellular nitrogen compound metabolic
process, system development and vasculature development
are significantly modulated by MRSA infection. Statistical Analysis In each
biological process, transcriptions of more genes were
significantly modified in the lungs at Day 3, compared to Day 1. (4) Genome-wide Lung Gene Expression Profiles
during MRSA Pneumonia Genome-wide lung gene expression profiles of the four
groups of mice (PBS, PBS+LZD, LAC and LAC+LZD) at Day 1
and Day 3 post MRSA lung infections were first examined and
the heatmap is demonstrated in Figure 5A. Four biological
replicates in each group showed highly consistent patterns. (5) LZD Did Not Modulate Lung Gene Expression
Profiling during MRSA Pneumonia Using the stringent criteria mentioned above (fold change ≥
1.5 up or down, P < 0.01, FDR < 0.05) to filter significantly
differentially expressed genes, we did not identify any genes
whose expression levels were significantly different between
the PBS and PBS+LZD groups or between the LAC and LAC
+LZD at Day 1 or Day 3 post MRSA infection (Figure 5A). A remarkable difference was demonstrated (Figure 5A)
between PBS and LAC groups at either Day 1 or Day 3 post
MRSA infection. Compared to PBS group, 538 and 1046 genes
were significantly modulated (fold change ≥ 1.5 or ≤ -1.5) in
lungs at Day 1 and Day 3 after MRSA infection, respectively. Of the 538 differentially expressed genes at Day 1, 261
(48.5%) were up-regulated and 277 (51.5%) were down-
regulated; of the 1046 differentially expressed genes at Day 3,
602 (57.6%) were up-regulated and 444 (42.4%) were down-
regulated. Table 1 lists 33 transcripts, selected according to
their fold changes and functions, up-regulated or down-
regulated at Day 1 or Day 3 post MRSA infection, compared to
PBS group. All the up-regulated and down-regulated genes
were listed in the Tables S1 and S2, respectively. Assignment (6)Validation of Gene Expression Changes by Real-time
PCR Nine genes were randomly selected from Table 1 for
verification by real-time PCR using the Taqman gene
expression assays. LCN2, SAA3, CXCL9, ORM1, Serpina3f
were significantly up-regulated and EPAS1, ESM1, Pon1,
Catalase were significantly down-regulated in lungs at Day 1
after MRSA infection, compared to the PBS group (Figure 6). PLOS ONE | www.plosone.org June 2013 | Volume 8 | Issue 6 | e67994 5 Linezolid in a Mouse MRSA Pneumonia Model Figure 3. BALF protein concentration at Day 1 and Day 3 post MRSA lung infections. Values are the mean ± SEM (standard
error of the mean) of three independent experiments (n = 12 in each group). doi: 10.1371/journal.pone.0067994.g003 Figure 3. BALF protein concentration at Day 1 and Day 3 post MRSA lung infections. Values are the mean ± SEM (standard
error of the mean) of three independent experiments (n = 12 in each group). doi: 10.1371/journal.pone.0067994.g003 No significant difference was seen between the LAC and LAC
+LZD groups or between the PBS and PBS+LZD groups in all
the genes tested (Figure 6). All real-time PCR data is
consistent with cDNA microarray data. of the cytokines (IL6, TNFα, IL-1ra and IL-1β) in human
peripheral blood mononuclear cells [26]. It is possible that LZD
exerts different effects on cytokine production in in vitro cell
culture models compared to animal models. LZD decreased protein concentration and cytokine levels in
BALF (Figures 3-4), which we attribute to greater bacterial
clearance (Figure 1B), and thus lower cytokine levels were
produced in the LZD-treated group compared to controls
(Figure 4). In addition, the lung histological data showed that
LZD significantly attenuated MRSA-mediated ALI (Figure 2). These findings further confirm that efficient elimination of
MRSA from the lungs by LZD decreases the risk of pulmonary
edema and acute lung injury. Discussion In this study, we provide evidence showing that LZD
improves survival in a mouse model of lethal MRSA
pneumonia. Furthermore, in a corresponding sublethal model,
LZD therapy was associated with significantly improved
bacterial clearance, attenuated MRSA – mediated ALI, and
decreased concentrations of BALF protein and cytokines such
as IL1β, IL6, IFN-γ and IL17. However, these beneficial effects
of LZD in MRSA pneumonia do not accompany with significant
alterations in host lung transcriptional profile according to our
microarray and real-time PCR data (Figures 5-6). This
indicates that LZD may specifically target on modulating
metabolism of MRSA and efficiently eliminate bacteria in lungs,
but not exert adverse effects on the host lung tissues during
MRSA pneumonia. This is the first study to show that LZD did
not have an effect on genome-wide host lung innate immunity
at the mRNA level. This novel finding is consistent with the
previous findings reported by Akinnusi et al (2011), who
showed that LZD exhibits a minimal modulatory effect on
protein levels of IL-6 and MCP-5 in a murine model of MRSA-
pneumonia
[12]. However,
Garcia-Roca
et
al
(2006)
demonstrated that LZD significantly suppressed the synthesis To our knowledge, this study was the first to show the
genome-wide lung gene expression profile changes at Day 1
and Day 3 post MRSA infection. Previously it was shown that
inflammatory and blood coagulation components dominated
the early response to MRSA in the lungs or airways [5,27]. Our
microarray data not only confirmed inflammatory and blood
components were significantly modulated by MRSA infection,
but also revealed more transcriptional events during MRSA
pneumonia. These events were listed in Figure 5B. Several
major transcriptional events were highlighted here: 1)
Inflammatory response was activated. Chemokine (C-C motif)
ligand 3 (Ccl3), Ccl4, Ccl7, chemokine (C-X-C motif) ligand 9
(Cxcl9), Cxcl16, serum amyloid A3 (Saa3), orosomucoid 1
(Orm1) were up-regulated (Table 1). Ccl and Cxcl family
members have chemoattractant activity and can elicit 6 PLOS ONE | www.plosone.org June 2013 | Volume 8 | Issue 6 | e67994 Linezolid in a Mouse MRSA Pneumonia Model Figure 4. Interferon-γ, IL17, IL6, IL1β and TNFα levels in BALF samples at Day 1 post MRSA infections. Values are the
mean ± SEM (standard error of the mean) of three independent experiments. There is no statistically significant difference in TNFα
levels between the LAC and LAC+LZD groups (p = 0.38). doi: 10.1371/journal.pone.0067994.g004 Figure 4. June 2013 | Volume 8 | Issue 6 | e67994 Discussion Interferon-γ, IL17, IL6, IL1β and TNFα levels in BALF samples at Day 1 post MRSA infections. Values are the
mean ± SEM (standard error of the mean) of three independent experiments. There is no statistically significant difference in TNFα
levels between the LAC and LAC+LZD groups (p = 0.38). doi: 10.1371/journal.pone.0067994.g004 Figure 4. Interferon-γ, IL17, IL6, IL1β and TNFα levels in BALF samples at Day 1 post MRSA infections. Values are the
mean ± SEM (standard error of the mean) of three independent experiments. There is no statistically significant difference in TNFα
levels between the LAC and LAC+LZD groups (p = 0.38). doi: 10.1371/journal.pone.0067994.g004 June 2013 | Volume 8 | Issue 6 | e67994 7 7 PLOS ONE | www.plosone.org Linezolid in a Mouse MRSA Pneumonia Model Figure 5. Genome-wide gene expression profiles in lungs at Day 1 and Day 3 post MRSA infection. A) Heat map of eight
groups, with four replications per group. Each row represents one sample, and each column represents one gene. Fold change ≥
1.5 up or down, P < 0.01, FDR < 0.05); B) Functional group concept-gene analysis for the comparison between LAC (Day 1) and
PBS (Day 1) and between LAC (Day 3) and PBS (Day 3). The figure shows how many genes are involved in selected relevant
biological pathways and which functions are significantly up-regulated or down-regulated between the LAC and PBS groups at Day
1 or Day 3 post MRSA infection. The background color for each cell is proportional to the hypergeometric test p value. The more
saturated the color is, the smaller the p-value. doi: 10.1371/journal.pone.0067994.g005 Figure 5. Genome-wide gene expression profiles in lungs at Day 1 and Day 3 post MRSA infection. A) Heat map of eight
groups, with four replications per group. Each row represents one sample, and each column represents one gene. Fold change ≥
1.5 up or down, P < 0.01, FDR < 0.05); B) Functional group concept-gene analysis for the comparison between LAC (Day 1) and
PBS (Day 1) and between LAC (Day 3) and PBS (Day 3). The figure shows how many genes are involved in selected relevant
biological pathways and which functions are significantly up-regulated or down-regulated between the LAC and PBS groups at Day
1 or Day 3 post MRSA infection. The background color for each cell is proportional to the hypergeometric test p value. Discussion The more
saturated the color is, the smaller the p-value. doi: 10.1371/journal.pone.0067994.g005 June 2013 | Volume 8 | Issue 6 | e67994 PLOS ONE | www.plosone.org 8 Linezolid in a Mouse MRSA Pneumonia Model Table 1. Genes showing significantly different expression levels at Day 1 and Day 3 after MRSA lung infections as compared
to a PBS control group. to a PBS control group. Symbol
Description
Fold Change (DAY 1)
Fold Change (DAY 3)
Entrez ID
Inflammatory response
Ccl3
chemokine (C-C motif) ligand 3
25.12
6.11
20302
Ccl4
chemokine (C-C motif) ligand 4
37.6
11.45
20303
Ccl7
chemokine (C-C motif) ligand 7
10.5
4.07
20306
Cxcl9
chemokine (C-X-C motif) ligand
9
25.77
22.43
17329
Il1rn
interleukin 1 receptor antagonist
12.8
3.98
16181
Orm1
orosomucoid 1
29.03
5.72
18405
Saa3
serum amyloid A 3
28.67
55.2
20210
Innate defense response
Serpina3f
serine (or cysteine) peptidase
inhibitor, clade A, member 3f
11.42
5.62
20717
Serpina3g
serine (or cysteine) peptidase
inhibitor, clade A, member 3g
6.69
7.1
20715
Ido1
indoleamine 2,3-dioxygenase 1
10.73
3.62
15930
Lcn2
lipocalin 2
8.13
7.54
16819
GDF15
growth differentiation factor 15
6.01
unavailable
23886
Socs3
suppressor of cytokine signaling
3
5.28
2.02
12702
Response to cytokine and reactive oxygen species
Mmp9
matrix metallopeptidase 9
3.13
2.14
17395
Prdx5
peroxiredoxin 5
2.78
2.21
54683
Cyp2a5
cytochrome P450, family 2,
subfamily a, polypeptide 5
-5.56
-7.25
13087
Ephx1
epoxide hydrolase 1,
microsomal
-3.82
-2.78
13849
Pon1
paraoxonase 1
-3.81
-3.63
18979
Response to wounding
F10
coagulation factor X
7.04
3.55
14058
Regulation of apoptosis
Hmox1
heme oxygenase (decycling) 1
3.92
3.05
15368
Casp4
caspase 4
3.45
2.73
12363
Bid
BH3 interacting domain death
agonist
1.99
1.93
12122
Bcl3
B cell leukemia/lymphoma 3
1.98
unavailable
12051
Sod2
superoxide dismutase 2,
mitochondrial
2.36
unavailable
20656
Cat
Catalase
-2.44
-1.94
12359
Ednrb
endothelin receptor type B
-3.23
-1.92
13618
Nox4
NADPH oxidase 4
-2.48
unavailable
50490
Cadm1
cell adhesion molecule 1
-3.28
unavailable
54725
System Development
Timp1
tissue inhibitor of
metalloproteinase 1
13.66
5.48
21857
Junb
Jun-B oncogene
5.5
1.88
16477
Egr1
early growth response 1
2.38
unavailable
13653
ESM1
endothelial cell-specific
molecule 1
-2.41
-3.37
71690
EPAS1
endothelial PAS domain protein
1
-2.34
-4.59
13819
The genes listed in this table have been selected according to the degree of expression difference (fold changes) and functions. PLOS ONE | www.plosone.org 9 Linezolid in a Mouse MRSA Pneumonia Model 6. 10
June 2013 | Volume 8 | Issue 6 | e67994 Discussion Quantitative real-time PCR confirmation of five up-regulated genes that were up-regulated during MRS
onia (LCN2, CXCL9, Orm1, Saa3, Serpina3f) and four that were down-regulated (ESM1, EPAS1, Pon
e). There was no statistically significant difference between the PBS and PBS+LZD or between the LAC and LAC+LZ
1/journal.pone.0067994.g006
NE | www.plosone.org
10
June 2013 | Volume 8 | Issue 6 | e679 Figure 6. Quantitative real-time PCR confirmation of five up-regulated genes that were up-regulated during MRSA
pneumonia (LCN2, CXCL9, Orm1, Saa3, Serpina3f) and four that were down-regulated (ESM1, EPAS1, Pon1,
Catalase). There was no statistically significant difference between the PBS and PBS+LZD or between the LAC and LAC+LZD
groups. doi: 10.1371/journal.pone.0067994.g006 doi: 10.1371/journal.pone.0067994.g006 June 2013 | Volume 8 | Issue 6 | e67994 10 PLOS ONE | www.plosone.org Linezolid in a Mouse MRSA Pneumonia Model neutrophil recruitment to enhance bacterial clearance [28,29];
2) Innate defense response was also activated. Serpina3,
LCN2, Socs3, Ido1, GDF15 were significantly up-regulated. These proteins were reported to have an established or
potential role in the innate defense against infections. For
example, Ido1 has anti-microbial activity in a variety of
infectious diseases [28], and LCN2 has been reported to be as
a bacteriostatic protein for protection of airways against
infection by E. coli [30]; 3) Components response to cytokines
and reactive oxygen species were significantly modulated. These components included MMP9, Prdx5, Cyp2a5, Pon1 and
Ephx1. They may play a protective role in regulation of cellular
levels of cytokines and ROS, which are dramatically increased
at the early stage of MRSA pneumonia. For example, Pon1
functions as an antioxidant [31] and Ephx1 plays an important
role in the detoxification of electrophiles and oxidative stress
[32]. Down-regulation of Ephx1 and Pon1 may ensure a certain
amount of hydrogen peroxide, a potent antimicrobial agent, is
present during pathogen infection; 4) Apoptosis-regulating
proteins were significantly modulated. Hmox1, casp4, Bid,
Bcl3, Sod2 were up-regulated and catalase, NOX4, Cadm1,
Ednrb were down-regulated; 5) System development pathways
were also significantly modified. Timp1, Junb, Egr1 were up-
regulated and Esm1, Epas1 were down-regulated by MRSA
infections. Esm1 and Epas1 have been shown to contribute to
vascular angiogenesis [33-35]. Down-regulation of these
components
during
MRSA
pneumonia
may
dampen
endothelium integrity. In general, endothelium integrity was
considered as a “natural anticoagulant” [36]. Disruption of
endothelium integrity can cause blood coagulation. This may
explain why coagulation factor X (F10) was up-regulated during
MRSA pneumonia. Acknowledgements Support from Dr. John William Christman is highly appreciated. The original manuscript has been proofread by Irene A. Estrada and Suraj Shah. Discussion neutrophil recruitment to enhance bacterial clearance [28,29];
2) Innate defense response was also activated. Serpina3,
LCN2, Socs3, Ido1, GDF15 were significantly up-regulated. These proteins were reported to have an established or
potential role in the innate defense against infections. For
example, Ido1 has anti-microbial activity in a variety of
infectious diseases [28], and LCN2 has been reported to be as
a bacteriostatic protein for protection of airways against
infection by E. coli [30]; 3) Components response to cytokines
and reactive oxygen species were significantly modulated. These components included MMP9, Prdx5, Cyp2a5, Pon1 and
Ephx1. They may play a protective role in regulation of cellular
levels of cytokines and ROS, which are dramatically increased
at the early stage of MRSA pneumonia. For example, Pon1
functions as an antioxidant [31] and Ephx1 plays an important
role in the detoxification of electrophiles and oxidative stress
[32]. Down-regulation of Ephx1 and Pon1 may ensure a certain
amount of hydrogen peroxide, a potent antimicrobial agent, is
present during pathogen infection; 4) Apoptosis-regulating
proteins were significantly modulated. Hmox1, casp4, Bid,
Bcl3, Sod2 were up-regulated and catalase, NOX4, Cadm1,
Ednrb were down-regulated; 5) System development pathways
were also significantly modified. Timp1, Junb, Egr1 were up-
regulated and Esm1, Epas1 were down-regulated by MRSA
infections. Esm1 and Epas1 have been shown to contribute to
vascular angiogenesis [33-35]. Down-regulation of these
components
during
MRSA
pneumonia
may
dampen
endothelium integrity. In general, endothelium integrity was
considered as a “natural anticoagulant” [36]. Disruption of
endothelium integrity can cause blood coagulation. This may
explain why coagulation factor X (F10) was up-regulated during
MRSA pneumonia. transcriptional level [7]. It is possible that transcription in the
host cells is not affected by LZD but translational levels are,
similar to bacteria. Alternatively, LZD may have no effect on
host innate immune cells. In this case, the benefit of LZD for
MRSA pneumonia is solely greater antibiotic effect without
immunomodulatory effects. In addition, it is possible that LZD
affects transcriptional or translational events in the blood but
not in the alveolar space. Therefore, in future studies, the use
of lethal doses of MRSA given within the first few hours after
LZD therapy and the analysis of protein levels in the lungs and
blood are warranted. transcriptional level [7]. It is possible that transcription in the
host cells is not affected by LZD but translational levels are,
similar to bacteria. Discussion Alternatively, LZD may have no effect on
host innate immune cells. In this case, the benefit of LZD for
MRSA pneumonia is solely greater antibiotic effect without
immunomodulatory effects. In addition, it is possible that LZD
affects transcriptional or translational events in the blood but
not in the alveolar space. Therefore, in future studies, the use
of lethal doses of MRSA given within the first few hours after
LZD therapy and the analysis of protein levels in the lungs and
blood are warranted. In summary, our data show that LZD significantly improves
survival, bacterial clearance and attenuates BALF protein
concentration and cytokine levels. Lung cDNA microarray data
show that LZD does not modulate lung gene expression
profiles in our sublethal mouse model of MRSA pneumonia. To
our knowledge, this study is the first report of genome-wide
lung gene expression profiles during MRSA pneumonia. Description of global lung gene expression profiles is important
to understand how murine lung host defense responds to
MRSA pneumonia. Author Contributions Conceived and designed the experiments: JC GF YS SL RGW. Performed the experiments: JC. Analyzed the data: JC GF YS
SL. Contributed reagents/materials/analysis tools: JBW MO II. Wrote the manuscript: JC MO GF YS RGW. Supporting Information Table S1. All genes showing significantly different
expression in lungs at Day 1 after MRSA lung infections as
compared to a PBS control group. (XLS) Table S2. All genes showing significantly different
expression in lungs at Day 3 after MRSA lung infections as
compared to a PBS control group. (XLS) There are a few limitations of this study. First, considering
high mortality in the subgroup without LZD treatment (Figure
1A), only a sublethal mouse model of MRSA pneumonia (1 x
108 CFU MRSA/mouse) was used to study the effect of LZD on
host lung gene expression patterns. We have not tested
whether gene expression patterns are affected by different
MRSA inoculum. Second, we have tested the global host lung
gene expression patterns only at Day 1 and Day 3 post MRSA
infection. A substantial effect on host lung gene expression
patterns during the first few hours after LZD therapy may
therefore be missed. Third, the response of host cells may be
affected by LZD in the same way as bacteria. LZD inhibits
bacterial growth at the translational level and not at the 1. Diep BA, Otto M (2008) The role of virulence determinants in
community-associated MRSA pathogenesis. Trends Microbiol 16(8):
361-369. doi:10.1016/j.tim.2008.05.002. PubMed: 18585915.
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Staphylococcus aureus infections. Infect Dis Clin North Am 23(1):
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in the lung after infection with community-associated methicillin- 1. Diep BA, Otto M (2008) The role of virulence determinants in
community-associated MRSA pathogenesis. Trends Microbiol 16(8):
361-369. doi:10.1016/j.tim.2008.05.002. PubMed: 18585915. 3. Chastre J, Fagon JY (2009) Ventilator-associated pneumonia. Am J
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community-associated MRSA pathogenesis. Trends Microbiol 16(8):
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https://openalex.org/W4210388234
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https://www.frontiersin.org/articles/10.3389/fgene.2022.772115/pdf
|
English
| null |
Screening and Conjoint Analysis of Key lncRNAs for Milk Fat Metabolism in Dairy Cows
|
Frontiers in genetics
| 2,022
|
cc-by
| 12,171
|
Abbreviations: BMECs, bovine mammary epithelial cells; BP, biological process; CC, cellular composition; DEGs, differentially
expressed genes; DELs, differentially expressed lncRNAs; DHI, dairy herd improvement; FPKM, quantified using fragments per
kilobase of exon per millions of reads; GO, gene ontology; KEGG, kyoto encyclopedia of genes and genomes; LncRNAs, long
noncoding RNAs; lincRNA, long intervening/intergenic noncoding RNA; miRNAs, microRNAs; MFP, milk fat percentage; MF,
molecular function; ncRNAs, non-coding RNAs; Padj, the corrected P-value; RNA-seq, RNA sequencing; qRT-PCR,
quantitative real-time reverse transcription PCR; SCC, somatic cell count; TAG, triglyceride. ORIGINAL RESEARCH
published: 03 February 2022
doi: 10.3389/fgene.2022.772115 Keywords: Holstein cattle, lncRNAs, gene, conjoint analysis, milk fat percentage Screening and Conjoint Analysis of
Key lncRNAs for Milk Fat Metabolism
in Dairy Cows
Tong Mu 1†, Honghong Hu 1†, Xiaofang Feng 1, Yanfen Ma 1,2, Ying Wang 1, Jiamin Liu 1,
Baojun Yu 1, Wan Wen 3, Juan Zhang 1 and Yaling Gu 1*
1School of Agriculture, Ningxia University, Yinchuan, China, 2Key Laboratory of Ruminant Molecular and Cellular Breeding,
Ningxia Hui Autonomous Region, Ningxia University, Yinchuan, China, 3Animal Husbandry Extension Station, Yinchuan, China Long noncoding RNAs (lncRNAs) play an important regulatory role in various biological
processes as a key regulatory factor. However, the complete expression profile of lncRNAs
in dairy cows and its function in milk fat synthesis are unknown. In this study, RNA
sequencing (RNA-seq) was used to research the whole genome expression of lncRNAs
and mRNA transcripts in high and low milk fat percentage (MFP) bovine mammary
epithelial cells (BMECs), and joint analysis was carried out. We identified a total of 47
differentially expressed genes (DEGs) and 38 differentially expressed lncRNAs (DELs, Padj
<0.05), enrichment analysis screened out 11 candidate DEGs that may regulate milk fat
metabolism. Downregulated differential gene ENPP2 (The expression level in BMECs of
high milk fat dairy cows was lower than that of low milk fat cows) and upregulated
differential gene BCAT1 are more likely to participate in the milk fat metabolism, and its
function needs further experiments verification. The enrichment analysis of target genes
predicted by DELs identified 7 cis (co-localization) and 10 trans (co-expression) candidate
target genes related to milk lipid metabolism, corresponding to a total of 18 DELs. Among
them, the targeting relationship between long intervening/intergenic noncoding RNA
(lincRNA) TCONS_00082721 and FABP4 is worthy of attention. One hundred and fifty-
six competing endogenous RNAs (ceRNAs) interaction regulation networks related to milk
fat metabolism were constructed based on the expression information of DELs, differential
microRNAs (miRNAs), and lipid metabolism-related target genes. The regulatory network
centered on miR-145 will be the focus of subsequent experimental research. The ceRNAs
regulatory network related to TCONS_00082721 and TCONS_00172817 are more likely
to be involved in milk fat synthesis. These results will provide new ways to understand the
complex biology of dairy cow milk fat synthesis and provide valuable information for breed
improvement of Chinese Holstein cow. Edited by:
Ying Yu, Edited by:
Ying Yu,
China Agricultural University, China
Reviewed by:
Juliana Afonso,
Embrapa Pecuária Sudeste, Brazil
Runjun Yang,
Jilin University, China
Shaobin Li,
Gansu Agricultural University, China
*Correspondence:
Yaling Gu
guyl@nxu.edu.cn
†These authors have contributed
equally to this work and share first
authorship Edited by:
Ying Yu,
China Agricultural University, China Edited by:
Ying Yu,
China Agricultural University, China Reviewed by:
Juliana Afonso,
Embrapa Pecuária Sudeste, Brazil
Runjun Yang,
Jilin University, China
Shaobin Li,
Gansu Agricultural University, China Specialty section:
This article was submitted to
Livestock Genomics,
a section of the journal
Frontiers in Genetics Specialty section:
This article was submitted to
Livestock Genomics,
a section of the journal
Frontiers in Genetics
Received: 07 September 2021
Accepted: 05 January 2022
Published: 03 February 2022 Received: 07 September 2021
Accepted: 05 January 2022
Published: 03 February 2022 Ethics Statement In this study, BMECs were isolated and cultured from milk
samples of dairy cows. Two hundred milliliter milk samples
were collected from each dairy cow, and aseptic operation was
strictly carried out during the sampling process, so there was no
harm to dairy cows. INTRODUCTION Milk quality is affected by many factors, such as population
genetic
structure,
reproductive
performance,
feeding
and
management, and is closely related to the main raw material
composition of milk. Milk fat is an important component in
butter and yogurt, and its content and composition are the main
reference elements in milk quality evaluation (Mu et al., 2021). Nowadays, milk fat content is not only one of the important
indicators of core competitiveness of dairy industry, but also the
main target feature of dairy cow breeding (Li et al., 2015). To a
certain extent, it also plays an important role in nutrition and
metabolism during human growth and development (Chen et al.,
2019). Therefore, theory exploration on milk fat formation and
regulation and the improvement of milk fat content become one
the focuses of lactating biology research. Note: Each kg of premix contains 800,000 IU, of VA, 200,000 IU, of VD, 4,000 mg of VE,
1,200 mg of Cu, 6,000 mg of Fe, 4,000 mg of Mn, 4,000 mg of Zn, 40 mg of I, 40 mg of
Co and 32 mg of Se. proteins in the bovine mammary gland. The target genes of
XLOC_000752 were significantly enriched in PPAR, AMPK,
and insulin signaling pathways, as well as glycerol metabolism
pathways. In the past, many scholars have extensively studied the
complex
regulatory
mechanisms
of
mammary
gland
development and elucidated the main pathways of milk fat
synthesis (including de novo synthesis and absorption of FA in
the blood) (Bauman et al., 2006). Quantitative real-time reverse
transcription
PCR
(qRT-PCR)
can
better
discover
the
transcriptional regulation steps of milk fat synthesis. High-
throughput sequencing has identified a series of effective genes
and regulatory factors in milk fat metabolism (Xu et al., 2010). The study of gene regulation mainly depends on protein-coding
genes. However, more and more evidence suggests that non-
coding RNAs (ncRNAs), which are mistaken for “transcriptional
noise”, are also important factors in regulating complex
developmental processes in organisms (Ma et al., 2017). Long
noncoding RNAs (lncRNAs) are newly identified long-stranded
non-coding RNAs in the breast. It is more than 200 nucleotides in
length and is more tissue-specific than coding genes (Xu et al.,
2016). lncRNAs have a more complex mode of action on genes
than
microRNAs
(miRNAs). Currently,
transcriptional
interference is a more mature regulatory model of regulation
(Fatica and Bozzoni, 2014). INTRODUCTION Functional studies have found that
lncRNAs regulate gene expression at epigenetic, transcriptional
and post-transcriptional levels in mammals, and also play key
regulatory roles in a variety of biological processes (Yeong-Hwan
et al., 2018). In regulating milk fat metabolism in goats, Yu et al. (2017) found that compared with early lactation, the expression
trend of lncRNAs TCONS-00144434, TCONS-00148514 and
TCONS-00055666 during mature lactation was the same as
that of FASN, LPL, GPAM and MSMO1 with the function of
fatty acid biosynthesis and cholesterol storage (the full names of
all genes in this paper are shown in Supplementary Table S1). However, the specific regulatory mechanism needs to be further
studied. Chao et al. (2017) found that the target genes of
TCONS_00162862 were involved in lipid transporter protein
activity, ligase activity, and fatty acid transport in dairy cow,
and mainly enriched in MAPK, PI3K-Akt, and insulin signaling
pathways. Zheng
et
al. (2018)
performed
transcriptome
sequencing on four breast tissues of Holstein cows during
peak lactation and late lactation, and found that the target
genes of differentially expressed LNC-XLOC_274111 were
FABP3 and FABP4, which would encode fatty acid-binding p
y
So far, research on lncRNAs in milk fat metabolism of ruminants
are scarce. The functions and expression profiles of lncRNAs in the
bovine mammary gland are still unclear, and there are even fewer
studies on differentially expressed lncRNAs (DELs) for differences
in high and low milk fat percentage (MFP). In addition, the dynamic
pattern of the interaction of ceRNA in milk fat synthesis remains is
unknown. To better understand the metabolic process of milk fat
synthesis during lactation, Holstein cows with extreme differences
in MFP were screened, fresh milk was collected and bovine
mammary
epithelial
cells
(BMECs)
were
isolated. The
differentially expressed genes (DEGs) and DELs related to milk
fat synthesis in the same lactation stage were screened by
transcriptomics technology, and the predicting lncRNAs to target
miRNAs and constructing a ceRNA regulatory network of genes,
miRNAs and lncRNAs related to milk fat metabolism. It is an
important step in understanding the complex biological processes
involved in milk production, and provides valuable information for
the improvement of Chinese Holstein cow breeds. Citation: Mu T, Hu H, Feng X, Ma Y, Wang Y,
Liu J, Yu B, Wen W, Zhang J and Gu Y
(2022) Screening and Conjoint
Analysis of Key lncRNAs for Milk Fat
Metabolism in Dairy Cows. Front. Genet. 13:772115. doi: 10.3389/fgene.2022.772115 February 2022 | Volume 13 | Article 772115 Frontiers in Genetics | www.frontiersin.org 1 Milk Fat of Dairy Cows Mu et al. TABLE 1 | Ingredient and nutrient composition in diet (dry matter basis) %. Ingredient
Content
Composition
Content
Alfalfa
16.22
Dry matter (kg)
17.28
Corn silage
51.32
Net energy for lactating cow (MJ/kg)
7.76
Tablet corn
10.82
Crude protein
18.31
Soybean meal
10.82
Neutral detergent fiber
35.84
Cotton meal
5.41
Acid detergent fiber
21.85
10 % premix
5.41
Fat
2.59
Ca
0.52
Total
100
P
0.35
Note: Each kg of premix contains 800,000 IU, of VA, 200,000 IU, of VD, 4,000 mg of VE,
1,200 mg of Cu, 6,000 mg of Fe, 4,000 mg of Mn, 4,000 mg of Zn, 40 mg of I, 40 mg of
Co and 32 mg of Se. TABLE 1 | Ingredient and nutrient composition in diet (dry matter basis) %. Frontiers in Genetics | www.frontiersin.org Experimental Cow Screening and Milk
Sample Collection 245 first calving Holstein cows with the same feeding background
(Table 1), similar age and in the middle and late stage of lactation
(150–220 days) were selected from Ningxia Nongkeng Helanshan
Maosheng dairy farm. Early, middle and late milk samples of each
cow
were
collected
for
dairy
herd
improvement
(DHI)
determination. Holstein cows with high MFP (n = 4) and low February 2022 | Volume 13 | Article 772115 Frontiers in Genetics | www.frontiersin.org 2 Milk Fat of Dairy Cows Mu et al. TABLE 2 | High and low MFP and SCC of Holstein cow. Items
Number
Age
Lactation days
MFP (%)
SCC (10,000/ml)
High-milk fat group
H_2098
30
186
4.82
5
H_2046
31
189
4.54
2
H_2226
29
160
4.74
9
H_2190
29
157
4.88
5
Low-milk fat group
L_2034
31
187
2.60
6
L_2037
31
175
2.81
5
L_2170
30
207
2.85
8
L_2137
29
150
2.84
7
Number: number of each cow, MFP: milk fat percentage, SCC: somatic cell count, age: month age of cattle at the time of sampling TABLE 2 | High and low MFP and SCC of Holstein cow. total RNA, and RNase R enzyme was used to break RNA into
short fragments of 250–300 bp, and cDNA was synthesized. The
purified double-stranded cDNA was repaired at the end, added A
tail and connected to the sequencing junction. Finally, the library
was amplified by PCR and the library was obtained. MFP (n = 4) with somatic cell count (SCC) less than 100,000/mL
were selected (Table 2). Fresh milk samples were aseptically
collected into 50 ml centrifuge tubes, and four tubes per cow
were collected for a total of 200 ml. Tighten the cap of the bottle,
seal and sterilize it, put it in a thermos flask containing 37°C sterile
water, and return it to the laboratory for later use. After
passing
the
library
inspection,
Illumina
PE150
sequencing was performed. After the original data is obtained,
the reads with adapter, N (undetermined base information) ratio
greater than 0.002, and low-quality bases with a read length of
more than 50% are removed. After sequencing error rates (Q20
and Q30) and GC content distribution checks, clean reads for
subsequent analysis were obtained. tophat2 (http://tophat.cbcb. umd.edu), Hisat2 (http://ccb.jhu.edu/software/hisat2), and STAR
(http://code.google.com/p/rna-star)
software
were
used
to
compare and analyze the RNA sequencing (RNA-seq) data
(the reference genome version is bos_taurus_Ensembl_97). Isolation and Identification of Primary
BMECs The composition of the complete culture medium and culture
method were the same as those of Duan et al. (2017). When the cells
grew to 80% (F2 generation), total cellular RNA (Takara, Dalian,
China) was extracted. To exclude genomic DNA contamination,
DNAase
(Takara,
Dalian,
China)
was
used
for
reverse
transcriptional preprocessing (Takara, Dalian, China). Primers
were designed using Primer Premier 5.0 and PCR amplification
was performed for genes specifically expressed in BMECs related to
milk fat synthesis and keratin 8 (Takara, Dalian, China). DEGs, DELs Screening, and Functional
Enrichment Analysis PCR reaction procedure: pre-denaturation at 94°C for 4 min,
denaturation at 94°C for 30 s, annealing (Supplementary Table
S2 for annealing temperature) for 30 s, extension at 72°C for 30 s,
35 cycles, 72°C extensions for 10 min. The level of gene expression was quantified using fragments per
kilobase of exon per millions of reads (FPKM) value. Expression
difference significance analysis was performed using edgeR
software (Smyth et al., 2010). The corrected p-value (Padj) was
used to determine the significance level, and Padj <0.05 was used as
the standard of differential significance, while |log2FoldChange|
>1.5 was another important criterion for screening DELs and
DEGs. Co-localization of lncRNAs with protein-coding genes
was
used
to
find
genes
within
100 kb
upstream
and
downstream of lncRNAs, and co-expression was used to predict
the target genes of lncRNAs. The gene ontology (GO) database was
used to enrich cellular composition (CC), biological process (BP),
and molecular function (MF) of DEGs and target genes of DELs. Kyoto encyclopedia of genes and genomes (KEGG) was used to
identify the major biochemical metabolic pathways and signal
transduction
pathways
involved
in
genes. The
protein
interaction network between DEGs and DELs target genes was
analyzed by STRING database (https://string-db.org/) and further
visualized using Cytoscape (http://www.cytos-cape.org/). The basic identification of BMECs is the same as that of Shen
et al. (2016). The triglyceride (TAG) content of BMECs was
determined by using the triglyceride enzymatic assay kit
(Applygen, Beijing, China) of the high-fat samples. Then the
protein concentration of the sample was measured by using the
BCA protein content detection kit, and the TAG content was
adjusted for the protein concentration per mg. Library Construction and Transcriptome
Sequencing q
g
The Trizol method was used to extract total RNA from BMECs
(F2) of high and low MFP cows, and the quality of RNA samples
was strictly controlled. The integrity of RNA and DNA
contamination were analyzed by agarose gel electrophoresis. The
concentration and purity of RNA (OD260/280) were detected by
Nanodrop, and the integrity of RNA was accurately detected by
Agilent 2100 bioanalyzer. The 260/280 ratio of all samples was
approximately 2.0, and the RNA integrity index (RIN) was ≥8.0. Frontiers in Genetics | www.frontiersin.org RESULTS Isolation, Culture, and Identification of
BMECs From Milk qRT-PCR Validation of Sequencing Data qRT-PCR Validation of Sequencing Data
To confirm the sequencing results, eight DEGs and DELs were
randomly selected for qRT-PCR validation, respectively. First-
strand cDNA synthesis was performed using the PrimeScript RT
kit (Takara, Dalian, China). qRT-PCR (three replicates) was
performed by SYBR Premix Ex Taq™II (Takara, Dalian,
China) on the Bio-Rad CFX96 Touch™Real-Time PCR
Detection System (Bio-Rad, Hercules, CA, United States). Amplification procedure: 95°C for 30 s, 95°C for 5 s, annealing
for 30 s, 40 cycles. qRT-PCR primers were designed using Primer
Premier 5.0 with primers spanning at least one intron, and the
sequence and annealing temperature of each primer are shown in
Supplementary Table S2. MiRNA Target Prediction MiRNA Target Prediction
MiRanda database was used with the default parameters to
identify conserved miRNA target sites in the 3′UTR of
lncRNAs (total score ≥140, total energy ≤-15 kcal/mol; John A
chain-specific
library
was
constructed
by
removing
ribosomal RNA. First, ribosomal RNA was removed from the February 2022 | Volume 13 | Article 772115 Frontiers in Genetics | www.frontiersin.org 3 Mu et al. Milk Fat of Dairy Cows FIGURE 1 | Isolation, culture and identification of BMECs (C–F: 10*10; G, H: 10*20; I: 10*40). (A): Thickness and area of milk fat layer after centrifugation of high-
milk fat milk. (B): Thickness and area of milk fat layer after centrifugation of low-milk fat milk. (C): Single-cell clone of BMECs can be seen after 3 days of isolation and
culture. (D): Single-cell clones of BMECs gradually expand after 5 days of culture. (E): BMECs have begun to proliferate rapidly after 7 days. (F): After 13 days of isolation
and culture, BMECs can be rapidly covered with the bottom of the bottle. (G): BMECs labeled with green fluorescence. (H): Nuclei stained blue by DAPI in the same
visual field. (I): Chromosomes under oil microscope. FIGURE 1 | Isolation, culture and identification of BMECs (C–F: 10*10; G, H: 10*20; I: 10*40). (A): Thickness and area of milk fat layer after centrifugation of high-
milk fat milk. (B): Thickness and area of milk fat layer after centrifugation of low-milk fat milk. (C): Single-cell clone of BMECs can be seen after 3 days of isolation and
culture. (D): Single-cell clones of BMECs gradually expand after 5 days of culture. (E): BMECs have begun to proliferate rapidly after 7 days. (F): After 13 days of isolation
and culture, BMECs can be rapidly covered with the bottom of the bottle. (G): BMECs labeled with green fluorescence. (H): Nuclei stained blue by DAPI in the same
visual field. (I): Chromosomes under oil microscope. Data Analysis
h d
fil
d et al., 2004). MiRNAs target gene prediction was based on the
intersection of miRanda (total score ≥140, total energy ≤-15 kcal/
mol) and RNAhybrid (mfe ≤-20 kcal/mol, p < 0.05; John et al.,
2004; Jan and Marc, 2006). y
The data were filtered by Microsoft Excel 2016, and the relative
expressions of DEGs and DELs were analyzed by the 2−ΔΔCt
method and normalized by the GAPDH gene. The data were
analyzed using SAS 9.2 (SAS Institute, Cary, NC, United States)
with a linear mixed model for one-way ANOVA. Isolation, Culture, and Identification of
BMECs From Milk As shown in Figure 1, the fresh milk (per 40 ml) of dairy cows with
high MFP and low MFP was centrifuged at 1,000 r/min for 10 min. It
is found that the milk fat layer area of high MFP dairy cows are
higher than that of low MFP dairy cows, and there are also different
milk fat layer thickness (Figures 1A,B). The isolated BMECs is a
unique “pebble” epithelial cells shape, and Figures 1C–F is the flow February 2022 | Volume 13 | Article 772115 Frontiers in Genetics | www.frontiersin.org 4 Mu et al. Milk Fat of Dairy Cows FIGURE 2 | BMECs TAG content and expression level of adipogenic genes and keratin 8 in high and low MFP. (A): Expression of keratin 8 in BMECs of dairy cows
with high and low MFP. (B): Content of TAG in BMECs of dairy cows with high and low MFP. (C): Expression of adipogenic genes in BMECs of dairy cows with high and
low MFP. M, DL2000 DNA marker, H, high-milk fat group, L, low-milk fat group. FIGURE 2 | BMECs TAG content and expression level of adipogenic genes and keratin 8 in high and low MFP. (A): Expression of keratin 8 in BMECs of dairy cows
with high and low MFP. (B): Content of TAG in BMECs of dairy cows with high and low MFP. (C): Expression of adipogenic genes in BMECs of dairy cows with high and
low MFP. M, DL2000 DNA marker, H, high-milk fat group, L, low-milk fat group. FIGURE 2 | BMECs TAG content and expression level of adipogenic genes and keratin 8 in high and low MFP. (A): Expression of keratin 8 in BMECs of dairy cows
with high and low MFP. (B): Content of TAG in BMECs of dairy cows with high and low MFP. (C): Expression of adipogenic genes in BMECs of dairy cows with high and
low MFP. M, DL2000 DNA marker, H, high-milk fat group, L, low-milk fat group. foundation for subsequent transcriptome sequencing and other
experiments (Figure 2). chart of the isolation BMECs, genetics, growth, and cell secretory
characteristics are normal (Zheng et al., 2018). The cell growth curve
conforms to the “S” rule, indicating that the isolated cells have grown
well (Hu et al., 2009). verview of BMECs Sequencing Data Overview of BMECs Sequencing Data
Using Illumina PE150 sequencing platform, 81 605 996 ~ 97 102
888 and 78 710 246 ~ 88 676 080 raw_reads were obtained in high
and low MFP BMECs, and 80 633 532 ~ 94 731 948 and 76 807
276 ~ 86 508 476 clean_reads were obtained after removing the
adapter related, containing N and low quality, respectively. The
sequencing error rate of the 8 samples is 0.02%, Q20 is greater
than 97%, Q30 is greater than 94%, the GC content is about 53%,
which ensures the accuracy of the subsequent analysis. The
genomic distribution of clean_reads showed that most of the
clean_reads were located in the exon region (61.79–70.27%), the
intergenic
region
(20.96–24.41%),
and
the
intron
region
(8.03–14.46%) of the bovine genome. Isolation, Culture, and Identification of
BMECs From Milk Keratin 18 belongs to the intermediate fibrin
family, is participated in the formation of the cytoskeleton, and is the
marker of epithelial cells (Hu et al., 2009). In this study,
immunofluorescence
showed
that
keratin
18
was
positive
(Figures 1G,H), and the expression of keratin 8 (epithelial cell-
specific protein) was detected in both high and low groups
(Figure 2A), indicating that the isolated cells had specific
epithelial cell characteristics (Lu et al., 2012). Chromosome
analysis showed that the cells were in a normal diploid
configuration
and
contained
60
chromosomes,
which
was
consistent with the chromosome number of dairy cows (Figure 1I). Frontiers in Genetics | www.frontiersin.org BMECs TAG Content and Expression Level
of Adipogenic Genes in High and Low Milk
Fat Groups The box diagram of each region corresponds to five statistics (from top to bottom, the maximum, upper quartile,
median, lower quartile, and minimum). (B): The heat maps for the correlation analysis between samples. FPKM, Fragments per kilobase of exon per million fragments
mapped, R2, Pearson correlation coefficient. Figure 5A, showing the first 20 significantly enriched GO items
(the same below). Among the significantly enriched GO items,
the BP related to lipid metabolism is the regulation of
phospholipid translocation, positive regulation of phospholipid
translocation, and glycerophospholipid catabolic process. The
MF
item
is
triglyceride
lipase
activity,
lipase
activity,
aminophospholipid transporter activity, phosphodiesterase I
activity, sterol esterase activity, and carboxylic ester hydrolase
activity. KEGG enrichment analysis showed that six signaling
pathways were significantly enriched (Figure 5B), and the
pathways related to lipid metabolism were Wnt, Rap1 and 2-
Oxocarboxylic acid metabolism. 11 DEGs that may regulate milk
fat metabolism were screened out (Table 3). The enrichment of
GO/KEGG is shown in Supplementary Table S3. PDGFD,
BCAT1, and APOL3 genes expression were upregulated, while
ATP8A2, PTPRR, KCNMA1, ZFYVE28, ENPP2, DKK1, CES4A,
and CTSH genes expression were downregulated. ENPP2 gene is
significantly enriched to BP, MF, and KEGG pathway related to
lipid metabolism, and it is inferred that it is more likely to regulate
milk fat metabolism. group samples were calculated based on the FPKM values of all
genes in each sample and drawn into a heat map (Figure 3B). As
can be seen from the figure, intra-group correlation coefficients
are all above 0.96, graeter than the ideal sampling and
experimental conditions (R2 = 0.92), indicating a high degree
of similarity in expression patterns among samples and a
difference between groups. Therefore, we think that the
transcriptome sequencing results are reliable and can be used
for subsequent analysis. Differential Expression and Clustering
Analysis of DEGs and DELs Fifteen thousand five hundred and seventy-three mRNAs were
common to the high and low milk fat groups, with 717 and 614
mRNAs specifically expressed in the high and low milk fat groups
for the differential mRNAs screened, respectively. However, the
number of lncRNAs shared between the high-milk fat group and
the low-milk fat group was relatively small (4,666), with 372
specific lncRNAs in the high-milk fat group and 365 lncRNAs in
the low-milk fat group. A total of 47 DEGs and 38 DELs were
screened from BMECs with high and low MFP (Padj <0.05). The
FPKM of DEGs and DELs were transformed by log10 (FPKM+1)
and then clustered by heat map (Figure 4). DEGs or DELs with
similar
expression
patterns
cluster
together
and
differ
significantly in color, indicating that these genes share a
common function or are involved in a common metabolic
pathways. Compared with the low-milk fat group, 24/27
DEGs/DELs
expression
in
the
high-milk
fat
group
was
significantly upregulated, and 23/11 DEGs/DELs expression
was significantly downregulated. BMECs TAG Content and Expression Level
of Adipogenic Genes in High and Low Milk
Fat Groups (
)
g
CPC/PFAM/CNCI software predicted that there were 25,702
novel_mRNA
with
coding
potential
and
7602
candidate
novel_lncRNAs without coding potential. Among all the
candidate
novel_lncRNAs,
the
lncRNAs
located
in
the
intergenic region account for 51.8%, the antisense contains
24.75%, the sense overlapping contains 23.50%, and no sense
intronic. After obtaining the FPKM of all transcripts, the
distribution
of
transcripts
expression
levels
of
different
samples was shown by block diagram (Figure 3A), indicating
that the BMECs expression level in cows with high MFP was
slightly higher than that in cows with low MFP. The correlation of
gene expression level between samples is an important index for
testing the experimental reliability and sample selection. In this
study, the correlation coefficients of the intra-group and inter- Shen et al. (2016) showed that the isolated BMECs maintained cell-
specific genetic, structural, and biological functions in the 2nd and 5th
passages. To confirm whether the BMECs isolated from the high-
milk fat group and low-milk fat group have the differences in milk fat
synthesis at the cellular level, we detected the changes in the TAG
content and adipogenic gene expression of F2 generation BMECs. The results found that there was a great difference in TAG content,
and the expression levels of fat-related genes SCD, PPAR γ, and
FABP3 were higher in high-milk fat group than those in low-milk fat
group, which further confirmed the difference between high and low
MFP groups at the molecular level. It has laid a reliable material February 2022 | Volume 13 | Article 772115 Frontiers in Genetics | www.frontiersin.org 5 Mu et al. Milk Fat of Dairy Cows FIGURE 3 | Expression level distribution and correlation analysis of each sample. (A): The box diagram of different sample expression values, in which the abscissa
is the sample name and the ordinate is log10 (FPKM + 1). The box diagram of each region corresponds to five statistics (from top to bottom, the maximum, upper quartile,
median, lower quartile, and minimum). (B): The heat maps for the correlation analysis between samples. FPKM, Fragments per kilobase of exon per million fragments
mapped, R2, Pearson correlation coefficient. FIGURE 3 | Expression level distribution and correlation analysis of each sample. (A): The box diagram of different sample expression values, in which the abscissa
is the sample name and the ordinate is log10 (FPKM + 1). Target Genes Prediction and Functional
Analysis of DELs y
The target genes (cis) of DELs predicted by co-localization were
enriched to 258 significant GO items (p < 0.05), as shown in
Figure 6A. In the significantly enriched GO items, the BP is
related to lipid metabolism that regulates the secretion of
arachidonic acid, and MF is lipid phosphatase activity. KEGG
enrichment
analysis
showed
that
seven
signal
pathways were significantly enriched (Figure 6B), among
which Fc gamma R-mediated phagocytosis was related to
lipid
metabolism. Through
enrichment
analysis,
seven
candidate target genes that may regulate milk fat metabolism
were screened, namely VARS2, ITGA6, ATP4A, PPAP2C, FGF1,
AMPH, and SYK. The enrichment of GO/KEGG is shown in
Supplementary Table S4. DEGs Enrichment Analysis and Screening of
DEGs Related to Lipid Metabolism
Based on the functional enrichment analysis of 47 DEGs, a total of
173 significantly enriched GO items were identified, as shown in DEGs Enrichment Analysis and Screening of
DEGs Related to Lipid Metabolism DEGs Related to Lipid Metabolism
Based on the functional enrichment analysis of 47 DEGs, a total of
173 significantly enriched GO items were identified, as shown in February 2022 | Volume 13 | Article 772115 Frontiers in Genetics | www.frontiersin.org 6 Mu et al. Milk Fat of Dairy Cows FIGURE 4 | Hierarchical clustering of DEGs and DELs. (A): The DEGs clustering heat map, the abscissa is the sample, the ordinate is the DEGs, the left side clusters
the genes according to the degree of similarity of expression, the expression is gradually upregulated from blue to red, and the number is the relative expression after
homogenization. (B): The DELs clustering heat map. FIGURE 4 | Hierarchical clustering of DEGs and DELs. (A): The DEGs clustering heat map, the abscissa is the sample, the ordinate is the DEGs, the left side clusters
the genes according to the degree of similarity of expression, the expression is gradually upregulated from blue to red, and the number is the relative expression after
homogenization. (B): The DELs clustering heat map. FIGURE 4 | Hierarchical clustering of DEGs and DELs. (A): The DEGs clustering heat map, the abscissa is the sample, the ordinate is the DEGs, the left side clusters
the genes according to the degree of similarity of expression, the expression is gradually upregulated from blue to red, and the number is the relative expression after
homogenization. (B): The DELs clustering heat map. FIGURE 5 | GO and KEGG enrichment analysis of DEGs. (A): The first 20 significant GO items (p < 0.05), when less than 20, only show significant enrichment items,
the latter is the same. (B): The first 20 KEGG enrichment results. FIGURE 5 | GO and KEGG enrichment analysis of DEGs. (A): The first 20 significant GO items (p < 0.05), when less than 20, only show significant enrichment items,
the latter is the same. (B): The first 20 KEGG enrichment results. February 2022 | Volume 13 | Article 772115 7 Frontiers in Genetics | www.frontiersin.org Milk Fat of Dairy Cows Mu et al. TABLE 3 | Candidate DEGs related to milk fat metabolism. DEGs Enrichment Analysis and Screening of
DEGs Related to Lipid Metabolism Gene name
Gene location
Log2FoldChange
Up/down
Padj
PDGFD
15:4259082-4536080
12.0848
Up
0.0364
BCAT1
5:85057073-85174596
11.5674
Up
0.0038
APOL3
5:74600517-74612469
4.8252
Up
0.0089
ATP8A2
12:33380874-33831448
−13.0109
Down
0.0008
PTPRR
5:42611538-42884729
−12.1701
Down
0.0434
KCNMA1
28:32616314-33387186
−12.1505
Down
0.0390
ZFYVE28
6:116265797-
116364222
−10.5076
Down
0.0251
ENPP2
14:80982673-81117148
−10.2255
Down
0.0403
DKK1
26:6846290-6849518
−4.3134
Down
0.0061
CES4A
18:34675658-34690406
−2.8026
Down
0.0133
CTSH
21:25201460-25222224
−1.6301
Down
0.0119
Note: Log2FoldChange is logarithm of fold change with a base of 2, Padj is the corrected significance test probability value, gene location is the specific location of the gene on the
chromosome. TABLE 3 | Candidate DEGs related to milk fat metabolism. Note: Log2FoldChange is logarithm of fold change with a base of 2, Padj is the corrected significance test probability value, gene location is the specific location of the gene on the
chromosome. FIGURE 6 | GO and KEGG enrichment analysis of DELs target genes predicted by co-localization. (A): The first 20 significant GO items (p < 0.05). (B): The first 20
KEGG enrichment results. FIGURE 6 | GO and KEGG enrichment analysis of DELs target genes predicted by co-localization. (A): The first 20 significant GO items (p < 0.05). (B): The first 20
KEGG enrichment results enrichment analysis of DELs target genes predicted by co-localization. (A): The first 20 significant GO items (p < 0.05). (B): The first 20 FIGURE 6 | GO and KEGG enrichment analysis of DELs target genes predicted by co-localization. (A): The first 20 significant GO ite
KEGG enrichment results. The co-expression predicted DELs target genes (trans) were
significantly enriched to 509 GO items (p < 0.05), as shown in
Figure 7A. Among them, BP related to lipid metabolism includes
lipid metabolic process, long-chain fatty-acyl-CoA biosynthetic
process, fatty acid extension, fatty acid transport and negative
regulation of triglyceride biosynthetic process, and so on. MF
items includes fatty acid synthase activity, fatty acid transporter
activity, long-chain fatty acid-binding, and lysophospholipid
transporter
activity,
and
so
on. The
target
genes
were
significantly enriched to 17 signal pathways (p < 0.05)
(Figure 7B), among which the pathways related to lipid
metabolism include PPAR, cAMP, Fatty acid metabolism and
Fc epsilon RI. Under the condition that the correlation coefficient
between DELs and target gene expression was greater than 0.97, 10 target genes that might regulate milk fat metabolism were
screened out, namely PLA2G4E, INPP4B, FABP3, ACADSB,
FABP4, OXSM, FABP7, GPX1, CYP27A1, and ALOX12 genes. DEGs Enrichment Analysis and Screening of
DEGs Related to Lipid Metabolism The GO/KEGG enrichment is shown in Supplementary Table
S5. Among the 10 lipid metabolism-related target genes, the gene
expression of PLA2G4E, FABP4, FABP3, and ACADSB was
upregulated (p < 0.05), while the gene expression of FABP7
and CYP27A1 was downregulated (p < 0.05). The upregulation
genes of PLA2G4E, FABP4 and OXSM is significantly enriched in
lipid metabolism-related BP, MF and KEGG. Therefore, these
three genes and their corresponding DELs need more attention in
the follow-up functional mechanism research. The 17 lipid metabolism-related target genes were predicted
and screened by co-localization and co-expression. All DELs that February 2022 | Volume 13 | Article 772115 Frontiers in Genetics | www.frontiersin.org 8 Mu et al. Milk Fat of Dairy Cows FIGURE 7 | GO and KEGG enrichment analysis of DELs target genes predicted by co-expression. (A): The first 20 significant GO items (p < 0.05). (B): The first 20
KEGG enrichment results. FIGURE 7 | GO and KEGG enrichment analysis of DELs target genes predicted by co-expression. (A): The first 20 significant GO items (p < 0.05). (B): The first 20
KEGG enrichment results TABLE 4 | DELs related to lipid metabolism predicted by co-expression and co-localization. Transcript id
LncRNA type
Transcript location
Log2FoldChange
Up/down
Padj
TCONS_00104103
sense_overlapping
23:27943191-28058062
14.3242
Up
0.0452
TCONS_00162586
sense_overlapping
7:42726724-42986751
13.9441
Up
0.0489
TCONS_00172817
antisense
8:86876741-87001036
13.9264
Up
0.0460
TCONS_00082721
lincRNA
2:24262990-24300737
12.7310
Up
0.0132
TCONS_00143117
antisense
4:82502392-82533931
−12.4167
Down
0.0321
TCONS_00150126
sense_overlapping
5:28723371-28948902
15.3298
Up
0.0005
TCONS_00156313
antisense
6:106460016-106540196
14.2909
Up
0.0039
TCONS_00164841
antisense
7:102898847-103228659
14.0298
Up
0.0455
TCONS_00119434
lincRNA
27:36076831-36107350
12.7668
Up
0.0206
TCONS_00027906
antisense
12:28946242-29075799
12.6328
Up
0.0270
TCONS_00054231
antisense
16:45117041-45146121
12.2759
Up
0.0244
TCONS_00066920
sense_overlapping
18:46165575-46169765
11.5972
Up
0.0086
TCONS_00058915
sense_overlapping
17:6204238-6224363
10.2082
Up
0.0437
TCONS_00191498
lincRNA
X:124180006-124280661
−13.9321
Down
0.0077
TCONS_00143115
antisense
4:82475604-82533958
−12.4900
Down
0.0025
TCONS_00007612
lincRNA
1:95512675-95550502
−12.1321
Down
0.0421
TCONS_00118412
lincRNA
27:16563-41295
−11.9714
Down
0.0043
TCONS_00163391
lincRNA
7:53750360-53759144
−10.6626
Down
0.0182
Note: Italic is the DELs, corresponding to the target genes (PLA2G4E, FABP4, and OXSM), which is significantly enriched in BP, MF, and KEGG., Bold font is the DELs, predicted by both
co-localization and co-expression that may regulate milk fat metabolism. transcript location is the specific location of the DELs, on the chromosome. DEGs Enrichment Analysis and Screening of
DEGs Related to Lipid Metabolism Padj is the corrected significance test
probability value.Bold-italic are DELs corresponding to target genes (PLA2G4E, FABP4, and OXSM) that were significantly enriched in BP, MF and KEGG.Bold are differential genes
related to milk fat metabolism predicted by co-localization and co-expression. TABLE 4 | DELs related to lipid metabolism predicted by co-expression and co-localization. Note: Italic is the DELs, corresponding to the target genes (PLA2G4E, FABP4, and OXSM), which is significantly enriched in BP, MF, and KEGG., Bold font is the DELs, predicted by both
co-localization and co-expression that may regulate milk fat metabolism. transcript location is the specific location of the DELs, on the chromosome. Padj is the corrected significance test
probability value.Bold-italic are DELs corresponding to target genes (PLA2G4E, FABP4, and OXSM) that were significantly enriched in BP, MF and KEGG.Bold are differential genes
related to milk fat metabolism predicted by co-localization and co-expression. shown in Supplementary Tables S6, S7. Among the 18 DELs
that may be related to milk fat metabolism, 12 were upregulated
and six were downregulated. Bold font is the DELs predicted by shown in Supplementary Tables S6, S7. Among the 18 DELs
that may be related to milk fat metabolism, 12 were upregulated
and six were downregulated. Bold font is the DELs predicted by regulate these target genes are shown in Table 4. A total of 18
DELs that may be related to milk fat metabolism were screened
and their corresponding relationships with target genes are regulate these target genes are shown in Table 4. A total of 18
DELs that may be related to milk fat metabolism were screened
and their corresponding relationships with target genes are February 2022 | Volume 13 | Article 772115 Frontiers in Genetics | www.frontiersin.org 9 Mu et al. Mu et al. Milk Fat of Dairy Cows FIGURE 8 | Regulatory relationship between DELs and target genes related to lipid metabolism. GURE 8 | Regulatory relationship between DELs and target genes related to lipid metabolism. _mRNA regulatory relationship with lncRNAs as a decoy,
miRNAs as core and mRNAs as the target, and calculation of
Pearson
correlation
coefficients
for
the
expression
of
lncRNA_miRNA and miRNA_mRNA (Figure 9). both co-localization and co-expression that may regulate milk fat
metabolism. Italic is the DELs corresponding to the target genes
(PLA2G4E, FABP4, and OXSM), which is significantly enriched
in BP, MF, and KEGG. DEGs Enrichment Analysis and Screening of
DEGs Related to Lipid Metabolism These are also the lncRNAs that need
more attention in further experiments. As shown in the regulatory network diagram, all lipid
metabolism-related target genes SYK and PPAP2C (cis) are
also the target genes of lipid metabolism DELs, constituting
the regulatory relationships of TCONS_00054231_bta-miR-
455-3p_SYK, TCONS_00184475 _bta-miR-455-3p_SYK, and
TCONS_00027906_bta-miR-331-3p_PPAP2C. The upregulated
genes DIS3L2, SRRM2, NDRG1 and the downregulated genes
ANO1 and MTM1 are the DEGs screened in this study, and 18
ceRNAs regulatory networks contain these DEGs. Also, lipid
metabolism-related DELs are involved in a total of 76 ceRNAs
regulatory networks, including 10 lncRNAs, 8 miRNAs, and 32
genes. There are 80 ceRNAs regulatory networks involved in lipid
metabolism-unrelated DELs, consisting of 8 lncRNAs, six
miRNAs, and 24 genes, are enriched for target genes GO/
KEGG as shown in Supplementary Table S10. Downregulated
bta-miR-2387 is a differential miRNA with the largest number of
potential lipid metabolism-related target genes (13) and only
interacts with lipid metabolism-related differential lncRNA
TCONS_00172817. Non-lipid metabolism-related differences
lncRNA
TCONS_00004679,
TCONS_00091027,
and
TCONS_00083670 may all play a regulatory role in bta-miR-
2387. The interaction between 18 DELs and lipid metabolism-
related target genes is shown in Figure 8. A lncRNA may
interact with multiple lipid metabolism-related genes, and a
gene may also be regulated by multiple lncRNAs. Among the
target genes related to lipid metabolism, the expression trend of
significantly upregulated or downregulated genes is consistent
with the targeted regulation of DELs, which is not only in line
with the general mode of action of lncRNAs on genes but also the
focus of subsequent experiments. Construction of lncRNA_miRNA_mRNA
Interaction Regulation Network The remaining genes also interacted with each other. Although
the data support is relatively small, they still have some
reference value. which was a potential regulatory network for probing the
mechanism of milk fat regulation of the potential regulatory
network. The downregulated expression of bta-miR-421, bta-
miR-331-3p and bta-miR-197 was a lipid metabolism DELs that
specifically targets lipid metabolism-related differential miRNAs,
while bta-miR-222 was a non-lipid metabolism differential
lncRNA
specifically
targets
lipid
metabolism-related
differential miRNAs. Interestingly, among the numerous lipid
metabolism-related differential miRNAs, only bta-miR-370 is an
upregulated
differential
miRNA,
while
the
rest
are
downregulated. link sets in the protein interaction network diagram, with an
enriched p-value of 1.0e-16 and a confidence level of 0.4
(moderate). The
different
colored
bonds
represent
the
source of evidence for protein interactions, and the more
bonds involved in biological functions, the more likely they
are. The
PLTP、PPP2R5A、SOCS5、APOC3、VARS2、
ITGA6、PDGFD、BCAT1、ATP8A2、KCNMA1、 ZFYVE28、CES4A and CTSH genes are not represented in the
figure because they do not interact with each other or with
other genes. The interaction among HADHA、ACAT1、
ACAA1、HADHB、ACADS and ACADSB, FABP3, FABP4,
and
FABP7,
FASN,
OXSM,
and
MCAT
are
strongly
supported by the data with very high intensity as can be
seen from the figure. Secondly, SYK and PLCG1, TNF and
JUN, PPAP2C and SPHK2, TBL1X and RXRA may also have
shared functions between genes. Notably, MAPK3 has a strong
interaction with several lipid metabolism-related genes (JUN,
SMAD2, GH1, SPHK2, FASN, PTPRR, PLA2G4E, PLA2G4F,
PLA2G4D, FGF1, and PLCG1), respectively, and may jointly
play an important role in regulating milk lipid metabolism. The remaining genes also interacted with each other. Although
the data support is relatively small, they still have some
reference value. Within the entire regulatory network relationship, the
differential miRNAs were negatively correlated with DELs
expression in all samples (8) with a correlation coefficient of
-0.10 to -0.75. There was a negative correlation between
differential miRNAs and the expression of some target genes
(-0.10 to -0.67). e.g.: bta-miR-370 with MTM1, ANO1, PLA2G15,
FADS2 genes; bta-miR-2387 with SRRM2, NDRG1, PPP2R5A
genes; bta-miR-455-3p with SMAD2, HADHB genes; bta-miR-
1343-3p with RXRA, DIS3L2, PLA2G4F genes; bta-miR-331-3p
with PLTP, SPHK2, LEP, CYP26B1, TBL1X genes; bta-miR-197
with TBL1X genes (Supplementary Table S11). We need to focus
on the lncRNA_miRNA_mRNA interaction regulatory network
with negative correlation and targeted relationship in the
subsequent experiments. Construction of lncRNA_miRNA_mRNA
Interaction Regulation Network g
The differential miRNAs used in this section were derived from
the small RNA sequencing results of the research team
(Supplementary Table S8). LncRNAs can act as precursor
molecules of miRNAs. When looking for lncRNAs that
interact with miRNAs, it is necessary to filter out lncRNAs
that may be precursors of miRNAs. Based on the homology
between lncRNAs and miRNAs precursors, we use Blastn
software to search for such lncRNAs, and the results are
listed in Supplementary Table S9. Then, the lncRNAs
corresponding to differential miRNAs were predicted by
miRanda software, and miRNAs regulated by the DELs are
screened. The target genes of differential miRNAs were
predicted and cross-differentiated by using two software,
miRanda, and RNAhybrid. Based on ceRNA theory, we
searched the lncRNAs_target gene pairs with the same
miRNAs
binding
sites,
construction
of
lncRNA_miRNA It has been shown that the downregulation of bta-miR-145
among many differential miRNAs can regulate the lipid droplet
formation and TAG accumulation (Wang et al., 2017). Therefore,
the regulatory relationship centered on bta-miR-145 is one of the
focuses
of
our
subsequent
experiments. Notably,
TCONS_00027906,
TCONS_00054231,
TCONS_
00082721,
TCONS_00045874, and TCONS_00083670 act together on
bta-miR-145, which in turn regulates the expression of FASN, February 2022 | Volume 13 | Article 772115 Frontiers in Genetics | www.frontiersin.org 10 Mu et al. Milk Fat of Dairy Cows FIGURE 9 | Regulatory network of DELs differential miRNAs_ target genes. FIGURE 9 | Regulatory network of DELs differential miRNAs_ target genes. link sets in the protein interaction network diagram, with an
enriched p-value of 1.0e-16 and a confidence level of 0.4
(moderate). The
different
colored
bonds
represent
the
source of evidence for protein interactions, and the more
bonds involved in biological functions, the more likely they
are. The
PLTP、PPP2R5A、SOCS5、APOC3、VARS2、
ITGA6、PDGFD、BCAT1、ATP8A2、KCNMA1、
ZFYVE28、CES4A and CTSH genes are not represented in the
figure because they do not interact with each other or with
other genes. The interaction among HADHA、ACAT1、
ACAA1、HADHB、ACADS and ACADSB, FABP3, FABP4,
and
FABP7,
FASN,
OXSM,
and
MCAT
are
strongly
supported by the data with very high intensity as can be
seen from the figure. Secondly, SYK and PLCG1, TNF and
JUN, PPAP2C and SPHK2, TBL1X and RXRA may also have
shared functions between genes. Notably, MAPK3 has a strong
interaction with several lipid metabolism-related genes (JUN,
SMAD2, GH1, SPHK2, FASN, PTPRR, PLA2G4E, PLA2G4F,
PLA2G4D, FGF1, and PLCG1), respectively, and may jointly
play an important role in regulating milk lipid metabolism. Candidate DEGs and DELs in Milk Fat
Metabolism It has been confirmed that many genes are involved in the lactation
initiation, maintenance and growth and development of the
mammary gland through direct or indirect regulation, such as
ErbB3, IL-8 and FGF2 (Bach et al., 2017; Williams et al., 2017; Dai
et al., 2018). In this study, a total of 11 candidate DEGs related to
lipid metabolism were screened and enriched in PI3K-Akt, MAPK,
and Wnt lipid metabolism-related pathways (Kessenbrock et al.,
2017; Bing et al., 2018). The downregulated ENPP2 gene is
significantly enriched in BP, MF, and lipid metabolism-related
pathways, and it has been shown that the lack of ENPP2 has a
significant protective effect on hepatic steatosis, suggesting a
possible role of ENPP2 gene in the metabolism of milk lipids
(Brandon et al., 2019). Dong et al. (2020) found that the expression
of PDGFD in adipose tissue of obese individuals was higher than
that of lean individuals. In this study, PDGFD was also highly
expressed
in
BMECs
with
high
MFP;
meanwhile,
the
downregulated gene KCNMA1 also showed a downregulated
trend in white adipose tissue and hypertrophied adipocytes of
mice on the high-fat diet (Nishizuka et al., 2016), which confirmed
the reliability of sequencing, suggesting that PDGFD and KCNMA1
may play an important role in milk fat metabolism. BCAT1 is a
branched-chain aminotransferase that has been shown to mainly
affect MFP, milk protein percentage, and milk yield of dairy cows
(Fang et al., 2014). CES4A has also been shown to be mainly
involved in lipid metabolism (Holmes et al., 2010). However, how
BCAT1 and CES4A regulate milk fat synthesis has not yet been
reported This will be the focus of our future research. It is worth
noting that the latest literature reportes that the differentially
downregulated DKK1 related to lipid metabolism seems to play
a significant role in promoting obesity in mice (Colditz et al., 2020),
which is inconsistent with the results of this study. It may be related
to different species or tissues in the study. Other lipid metabolism-
related DEGs APOL3, ATP8A2, PTPRR, ZFYVE28, and CTSH have
been reported to associate with kidney disease (Pays, 2021), nerve
disease (Choi et al., 2019), ovarian cancer (Wang et al., 2019),
glomerular filtration barrier (Zambrano et al., 2018) and
atherosclerosis (Lim and Chow, 2006). DISCUSSION screened out. A lncRNA may target multiple genes related to
lipid metabolism, and a gene may be regulated by multiple
lncRNAs (Zheng et al., 2018). These results indicated that
lncRNAs were diverse in regulating the function of target
genes. In addition, some of the lipid metabolism-related
target
genes
are
also
significantly
upregulated
or
downregulated. The target
genes expression
trends are
consistent
with
the
DELs
that
may
be
targeted
and
regulated, which is consistent with the general mode of
action of lncRNAs on genes (Cesana et al., 2011), and
further reflects the accuracy of the sequencing results. It is
worth noting that FABP4 is a gene encoding a highly rich fatty
acid-binding proteins in the mammary gland, which may have
a targeting relationship with TCONS _00082721 and TCONS
_00172817 (Dong et al., 2020). Among all lncRNAs related to
lipid
metabolism,
TCONS_00082721,
TCONS_00119434,
TCONS_00191498, TCONS_00007612, TCONS_ 00118412,
and
TCONS_00163391
are
long
intervening/intergenic
noncoding RNAs (lincRNAs). Because lincRNAs do not
overlap with exon sequences in organisms and show a
higher degree of tissue specificity (Moran. et al., 2011) and
disease specificity (Iyer et al., 2015). They are involved in
chromatin
modification,
epigenetic
regulation,
genomic
imprinting, transcriptional control, and mRNA processing
before and after translation (Ulitsky and Bartel, 2013). Therefore, lincRNAs related to milk fat metabolism will be
the focus of our subsequent studies. The lncRNAs that might
regulate milk fat metabolism are predicted by co-localization
and
co-expression
to
be
TCONS_00104103,
TCONS_00162586, TCONS_00172817, TCONS_00082721,
and
TCONS_00143117. Interestingly,
the
lincRNA
TCONS_00082721 with FABP4 as the candidate target gene
is also a DELs that regulates milk fat metabolism predicted by
the
co-localization
and
co-expression. To
clarify
this
hypothesis, it needs to be further verified in functional
experiments. These findings will be of great significance for
further research on the mechanism of milk fat synthesis in
dairy cows. Protein Interaction Network Analysis y
Protein interaction network analysis of DEGs (11) screened
the possible regulation of milk lipid metabolism, target genes
predicted by the co-localization and co-expression of DELs
(17), and lipid metabolism-related genes corresponding to
differential miRNAs targeted by DELs (34), the results are
shown in Figure 10. There are 49 nodes and 113 interaction We randomly selected 8 DELs and 8 DEGs, analyzed their relative
expression levels by qRT-PCR in high and low groups (three
repeats),
and
converted
the
difference
multiplea
by
log2FoldChange. As shown in Figure 11, the results of the
qRT-PCR were consistent with those of RNA-seq, which
confirmed the accuracy of transcriptome sequencing. February 2022 | Volume 13 | Article 772115 Frontiers in Genetics | www.frontiersin.org 11 Mu et al. Mu et al. Milk Fat of Dairy Cows FIGURE 10 | Protein interaction network analysis. Lines of different colors indicate different supporting evidence for protein interactions. FIGURE 10 | Protein interaction network analysis. Lines of different colors indicate different supporting evidence for protein interactions. FIGURE 11 | qRT-PCR verification of DEGs and DELs. (A): The verification result of DELs. (B): The verification result of DEGs. log2FoldChange is logarithm of fold
change with a base of 2. FIGURE 11 | qRT-PCR verification of DEGs and DELs. (A): The verification result of DELs. (B): The verification result of DEGs. log2FoldChange is logarithm of fold
change with a base of 2. February 2022 | Volume 13 | Article 772115 Frontiers in Genetics | www.frontiersin.org 12 Milk Fat of Dairy Cows Mu et al. Frontiers in Genetics | www.frontiersin.org Protein Interaction and
LncRNA_miRNA_mRNA Regulatory
Network Analysis The
target
gene
predicted
by
TCONS_00172817 is FABP4 (Dong et al., 2020), which
encodes a highly abundant fatty acid-binding protein in the
mammary glands of dairy cows. These lncRNAs may regulate
milk fat metabolism predicted by the co-localization and co-
expression. Therefore, the ceRNAs regulatory network related to
TCONS_00172817 is likely to be involved in the process of milk
fat synthesis and needs attention. For non-lipid metabolism DELs,TCONS_00045874 and TCONS_00083670 may play a
role
in
miR-145,
regulating
the
expression
of
lipid
metabolism-related genes FASN (Han et al., 2018) and TNF
(Alexis et al., 2018). Among all the DELs related to lipid
metabolism targeted differential miRNAs, bta-miR-2387 has
the most abundant predicted target genes, which may be an
important gene in the process of milk fat synthesis in dairy cows. Therefore, the ceRNAs regulatory network with bta-miR-2387 as
the core will have more choices in functional verification of its
interaction and function, and the possibility of success will also be
greater. To sum up, the ceRNAs network analysis was performed
on the transcriptome data (mRNA, miRNAs, lncRNAs) obtained
from BMECs with high and low MFP. It provides a new way to
understand the function of genes in the biological process of milk
fat metabolism, and it also provides a new perspective for
studying the lactation process of dairy cows. Protein interaction network analysis showed that the target genes
HADHA, HADHB, ACAA1, ACADS, ACADSB, and ACAT1 had a
strong interaction relationship and might have common functions. HADHB is involved in the β-oxidation of fatty acids and catalyzes the
second to fourth steps of the β-oxidation of fatty acid. The other five
genes are acyltransferases or dehydrogenases, which play important
regulatory roles in the β-oxidation of fatty acids (Fernándezhernando
et al., 2011). Also, the interaction between FASN, OXSM, and MCAT
genes is strongly supported by the data. FASN is an enzyme involved
in fatty acid (FA) synthesis and plays a significant role in the
formation of new adipogenesis in mammals. It has been found
that the variation of FASN is related to a variety of dairy traits,
including milk fat content, total milk solid content and peak milk
yield, etc (Matsumoto et al., 2012); Shi et al. (2019) found that FASN
variation can be used as a genetic marker to improve milk fat content
and milk solid level of yaks. DATA AVAILABILITY STATEMENT p
,
y
Through functional analysis, a total of 156 milk fat
metabolism-related ceRNAs were constructed in this study. Among
the
miRNAs
targeted
by
DELs,
miR-145
is
significantly upregulated in the mammary gland of mid-
lactation high milk fat cows (Xia et al., 2021) and has been
shown to regulate lipid drop-formation and TAG accumulation
in goat mammary epithelial cells (Wang et al., 2017). The
regulatory network centered on miR-145 will be the focus of
subsequent experimental research. Since TCONS_00082721 is a
differential lincRNA predicted by co-localization and co-
expression
that
may
regulate
milk
fat
metabolism,
the
competitive
regulatory
relationship
between
TCONS_00082721_miR-145_FASN
and
TCONS_
00082721_miR-145_TNF will be further studied and cell
experiments will be carried out to verify the interaction and
function
between
them. The
target
gene
predicted
by
TCONS_00172817 is FABP4 (Dong et al., 2020), which
encodes a highly abundant fatty acid-binding protein in the
mammary glands of dairy cows. These lncRNAs may regulate
milk fat metabolism predicted by the co-localization and co-
expression. Therefore, the ceRNAs regulatory network related to
TCONS_00172817 is likely to be involved in the process of milk
fat synthesis and needs attention. For non-lipid metabolism All data generated or analyzed in this study are included in this
article [and its Supplementary Material], and the datasets have
been submitted to the SRA database with the accession number
PRJNA730595. Access to the data of permanent link to https://
www.ncbi.nlm.nih. gov/sra/PRJNA730595. CONCLUSION In this study, 38 DELs and 47 DEGs were identified in BMECs, all
DELs were newly identified. The identification of novel lncRNAs
significantly expanded the repertoire of lncRNAs for dairy cows
and consequently will help to understand the functions of the
bovine lncRNAs. Eighteen lipid metabolism-related DELs and 11
lipid metabolism-related DEGs of were screened by functional
enrichment analysis, while 156 ceRNAs interactions regulatory
networks related to milk lipid metabolism were constructed,
suggesting that ceRNAs may be involved in the lactation
process. Our studies provides a new way to understand the
gene functions in milk lipid metabolism in ruminant livestock. AUTHOR CONTRIBUTIONS TM: Sample collection, data processing and article writing. HH:
Sample collection, article modification and visualization. XF, YW,
BY, JL, WW and JZ: Sample collection and verified by qRT-PCR. YM: Article grammar modification. YG: Conceptual analysis,
writing-review and editing. Protein Interaction and
LncRNA_miRNA_mRNA Regulatory
Network Analysis The co-overexpression of SCAP +
SREBP1 will also lead to the increase in the abundance of FASN
gene mRNA and the formation of lipid droplets (Han et al., 2018). In
short, the current study on the FASN gene in the milk fat synthesis
has been relatively mature at present. OXSM is a 3-oxyacyl -[acyl
carrier protein] synthase. Xiong et al. (2020) found that OXSM has
inhibitory effects on fat catabolism, fat anabolism, and fatty acid
oxidation, and promotes glycerol transport and polyunsaturated fatty
acid synthesis. MCAT is also an important gene involved in lipid
metabolism (Ghadge et al., 2020). Therefore, there is an inevitable
interaction between FASN, OXSM, and MCAT genes, and they all
play a potential role together in the regulation of lipid metabolism. MAPK3 plays a major role in autophagy, and there is evidence that
MAPK3 is involved in lipid metabolism (Xiao et al., 2016). We also
found that the MAPK3 gene has a strong interaction with multiple
lipid metabolism-related genes (JUN, SMAD2, GH1, SPHK2, FASN,
PTPRR, PLA2G4E, PLA2G4F, PLA2G4D, FGF1, and PLCG1). It is
speculated that this gene may play a crucial role in the lipid
metabolism process, and the detailed mechanism needs further study. Protein Interaction and
LncRNA_miRNA_mRNA Regulatory
Network Analysis LncRNAs can regulate gene expression within 100 kb (cis), and
can also change the expression of distant mRNAs (trans) (Guttman
et al., 2009). The functional enrichment analysis of 38 target genes of
DELs showed that 17 target genes (10 co-expression and seven co-
localization) were enriched in lipid metabolism-related pathways. Among them, FABP3, FABP4, and FABP7 are trans-target genes. Studies have confirmed that these genes encode highly abundant fatty
acid-binding proteins in bovine mammary glands and transport
long-chain fatty acids to the endoplasmic reticulum to synthesize
TAG (Bionaz and Loor, 2008). Protein interaction network analysis
showed that the interactions between FABP3, FABP4, and FABP7
were also strongly supported by data, which further indicated that
they may have similar functions and participate in common BP. y
As an important regulatory factor, miRNAs can change the
expression of target mRNA and involve widely in various
biological processes. In recent years, more and more studies
have shown that lncRNAs have the function of sponge
adsorption of miRNAs and can shield the inhibition or
degradation
of
target
genes
by
competitive
binding
of
miRNAs. And rapidly upregulate its expression (Wang et al.,
2018; Zhang and Lu, 2018). In this study, we first predicted the
targeted differential miRNAs of DELs and then predicted the
target genes of differential miRNAs. Thirty-four target genes
related to lipid metabolism of differential miRNAs with DELs
targeting
relationship
were
screened
out
by
GO/KEGG
enrichment analysis. Based on bioinformatics analysis, a total of 18 candidate
DELs that may affect milk fat synthesis in dairy cows were February 2022 | Volume 13 | Article 772115 13 Milk Fat of Dairy Cows Mu et al. Mu et al. Protein interaction network analysis showed that the target genes
HADHA, HADHB, ACAA1, ACADS, ACADSB, and ACAT1 had a
strong interaction relationship and might have common functions. HADHB is involved in the β-oxidation of fatty acids and catalyzes the
second to fourth steps of the β-oxidation of fatty acid. The other five
genes are acyltransferases or dehydrogenases, which play important
regulatory roles in the β-oxidation of fatty acids (Fernándezhernando
et al., 2011). Also, the interaction between FASN, OXSM, and MCAT
genes is strongly supported by the data. FASN is an enzyme involved
in fatty acid (FA) synthesis and plays a significant role in the
formation of new adipogenesis in mammals. Protein Interaction and
LncRNA_miRNA_mRNA Regulatory
Network Analysis It has been found
that the variation of FASN is related to a variety of dairy traits,
including milk fat content, total milk solid content and peak milk
yield, etc (Matsumoto et al., 2012); Shi et al. (2019) found that FASN
variation can be used as a genetic marker to improve milk fat content
and milk solid level of yaks. The co-overexpression of SCAP +
SREBP1 will also lead to the increase in the abundance of FASN
gene mRNA and the formation of lipid droplets (Han et al., 2018). In
short, the current study on the FASN gene in the milk fat synthesis
has been relatively mature at present. OXSM is a 3-oxyacyl -[acyl
carrier protein] synthase. Xiong et al. (2020) found that OXSM has
inhibitory effects on fat catabolism, fat anabolism, and fatty acid
oxidation, and promotes glycerol transport and polyunsaturated fatty
acid synthesis. MCAT is also an important gene involved in lipid
metabolism (Ghadge et al., 2020). Therefore, there is an inevitable
interaction between FASN, OXSM, and MCAT genes, and they all
play a potential role together in the regulation of lipid metabolism. MAPK3 plays a major role in autophagy, and there is evidence that
MAPK3 is involved in lipid metabolism (Xiao et al., 2016). We also
found that the MAPK3 gene has a strong interaction with multiple
lipid metabolism-related genes (JUN, SMAD2, GH1, SPHK2, FASN,
PTPRR, PLA2G4E, PLA2G4F, PLA2G4D, FGF1, and PLCG1). It is
speculated that this gene may play a crucial role in the lipid
metabolism process, and the detailed mechanism needs further study. Through functional analysis, a total of 156 milk fat
metabolism-related ceRNAs were constructed in this study. Among
the
miRNAs
targeted
by
DELs,
miR-145
is
significantly upregulated in the mammary gland of mid-
lactation high milk fat cows (Xia et al., 2021) and has been
shown to regulate lipid drop-formation and TAG accumulation
in goat mammary epithelial cells (Wang et al., 2017). The
regulatory network centered on miR-145 will be the focus of
subsequent experimental research. Since TCONS_00082721 is a
differential lincRNA predicted by co-localization and co-
expression
that
may
regulate
milk
fat
metabolism,
the
competitive
regulatory
relationship
between
TCONS_00082721_miR-145_FASN
and
TCONS_
00082721_miR-145_TNF will be further studied and cell
experiments will be carried out to verify the interaction and
function
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technology research system (CARS-36). February 2022 | Volume 13 | Article 772115 Frontiers in Genetics | www.frontiersin.org 14 Milk Fat of Dairy Cows Mu et al. ACKNOWLEDGMENTS The Supplementary Material for this article can be found online at:
https://www.frontiersin.org/articles/10.3389/fgene.2022.772115/
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forums is permitted, provided the original author(s) and the copyright owner(s)
are credited and that the original publication in this journal is cited, in accordance
with accepted academic practice. No use, distribution or reproduction is permitted
which does not comply with these terms. Xiao, Y., Liu, H., Yu, J., Zhao, Z., Xiao, F., Xia, T., et al. (2016). MAPK1/3 Regulate
Hepatic Lipid Metabolism via ATG7-dependent Autophagy. Autophagy 12,
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Insights into the COVID-19 pandemic: Origin, pathogenesis, diagnosis, and therapeutic interventions
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TABLE OF CONTENTS 1. Abstract 1. Abstract
2. Introduction
3. Phylogeny of coronaviruses
4. Genomic Organization, structure, and replication of SARS-CoV-2
4.1. Organization and Structure of SARS-CoV-2 genome
4.2. Replication of SARS-CoV-2
5. Epidemiology and Pathogenesis of SARS-CoV-2
5.1. Transmission of COVID-19
5.2. Pathogenesis of COVID-19
5.3. Role of ACE2 in SARS-CoV-2 infection
5.4. Role of S spike protein in SARS-CoV-2 infection
6. Symptoms and Diagnosis of COVID-19
6.1. Symptoms of COVID-19
6.2. Molecular detection of SARS-CoV-2 using RT-PCR
6.3. Diagnosis of COVID-19 by chest CT-scan
7. Vaccines and drug development for COVID-19
8. Challenges and opportunities
9. Acknowledgments
10. References 2. Introduction 3. Phylogeny of coronaviruses 4. Genomic Organization, structure, and replication of SARS-CoV-2
4.1. Organization and Structure of SARS-CoV-2 genome 4.2. Replication of SARS-CoV-2
5. Epidemiology and Pathogenesis of SARS-CoV-2
5.1. Transmission of COVID-19
5.2. Pathogenesis of COVID-19
5.3. Role of ACE2 in SARS-CoV-2 infection
5.4. Role of S spike protein in SARS-CoV-2 infection
6. Symptoms and Diagnosis of COVID-19
6.1. Symptoms of COVID-19
6.2. Molecular detection of SARS-CoV-2 using RT-PCR
6.3. Diagnosis of COVID-19 by chest CT-scan
7 V
i
d d
d
l
t f
COVID 19 5. Epidemiology and Pathogenesis of SARS-CoV-2
5.1. Transmission of COVID-19
5.2. Pathogenesis of COVID-19
5.3. Role of ACE2 in SARS-CoV-2 infection
5.4. Role of S spike protein in SARS-CoV-2 infection
6. Symptoms and Diagnosis of COVID-19
6 1 Symptoms of COVID 19 6. Symptoms and Diagnosis of COVID-19
6.1. Symptoms of COVID-19
6.2. Molecular detection of SARS-CoV-2 using RT-PCR
6.3. Diagnosis of COVID-19 by chest CT-scan 7. Vaccines and drug development for COVID-19 8. Challenges and opportunities 9. Acknowledgments 10. References Mahmoud M. Berekaa1 1Department of Environmental Health, College of Public Health, Imam Abdulrahman Bin Faisal
University, P.O.Box 1982, Dammam 31441, Saudi Arabia Insights into the COVID-19 pandemic: Origin, pathogenesis, diagnosis, and therapeutic
interventions Mahmoud M. Berekaa1 [Frontiers in Bioscience, Elite, 13, 117-139, Jan 1, 2021] [Frontiers in Bioscience, Elite, 13, 117-139, Jan 1, 2021] Insights into the COVID-19 pandemic: Origin, pathogenesis, diagnosis, and therapeutic
interventions 2. INTRODUCTION Generally, coronaviruses are zoonotic viruses
belonging to the order Nidovirales that includes three
families, namely, Coronaviridae, Arteriviridae, and
Roniviridae. Coronaviridae is subsequently divided
into the following two subfamilies: Torovirinae and
Coronavirinae. On the basis of serological analysis
and phylogeny, members of the latter subfamily are
further categorized into four groups: alpha, beta,
gamma, and delta coronaviruses (4). An emerging infectious disease causing
severe acute respiratory syndrome (SARS) was
recently detected in Wuhan, China (1-3). According
to the Coronavirus Study Group (CSG), the novel
virus is named as SARS coronavirus 2 (SARS-CoV-
2) (4) and the resulting disease as Coronavirus
disease (COVID-19). Due to the COVID-19 outbreak,
there is an increasing interest to comprehensively
understand
the
phylogeny,
epidemiology
and
pathogenesis of the virus caused by the growing
concern for people’s health. Seven coronaviruses are known to cause
infections in humans ranging from mild to severe
respiratory symptoms. Of these, four are endemic
human coronaviruses HCoV-229E (alpha), HCoV-
NL63 (alpha), HCoV-OC43, and HCoV-HKU1 (beta),
which are responsible for mild common cold
symptoms mostly in lung infections and are mostly
associated with bats, rodents, cows and pigs (12). The remaining three are the most dangerous viral
candidates that cause severe lower respiratory
infections, such as the two epidemic-causing
coronaviruses SARS-CoV and MERS-CoV, and a
third novel pandemic-causing coronavirus, SARS-
CoV-2, belonging to the beta coronavirus group. Remarkably, bats could be the natural reservoirs of
the three human coronaviruses with palm civet,
dromedary camels or pangolin acting as intermediate
amplifying and transmitting host, respectively (5-
6,12). Several members of the coronavirus
families cause many zoonotic diseases such as
enteritis in cows, pigs, pangolins, and birds, as well
as lung diseases in chicken (5-7). In the past decade,
two
outbreaks
have
been
caused
by
beta
coronaviruses, namely, SARS-CoV-1 and MERS-
CoV, causing global anxiety without widespread
effects (8). However, the recent disease caused by
the newly identified novel coronavirus SARS-CoV-2
has been declared as a global pandemic that brings
about severe acute respiratory disease (9). This
pandemic has attracted a greater attention of the
scientific community, health organizations, and policy
makers because of the serious threat it poses to
global health, social, and economic systems. The
main aim of this review was to update information
concerning the COVID-19 outbreak with a special
emphasis on the COVID-19 genome highlighting its
structure, genomic organization and its mechanism
of replication. 4.1. Organization and structure of SARS-
CoV-2 genome Like other human coronaviruses, the
enveloped positive-sense RNA viruses such as
SARS-CoV-2 is composed of approximately 30
kilobase (kb) genome (13). Organizational structure
of the SARS-CoV-2 genome encompasses six open
reading frames (ORFs) (Figure 1). Two-thirds of the
genome contains the first translated ORF (ORF1a/b),
that comprises of 16 highly conserved nonstructural
polyproteins (nsps1-16), encoding the replication-
transcription (RTC) complex in the double-membrane
vesicles (DMVs). A group of nested single stranded
RNA genome (sgRNA) sequences are synthesized
by RTC in a discontinuous transcription manner due 1. ABSTRACT of this disease and mortality in highly susceptible
individuals. Here, we examine the structure,
replication
cycle,
phylogeny
and
genomic
organization of this virus and discuss the role of spike
(S) protein of the virus, an important structure that
interacts with the host ACE2 receptor facilitating viral
entry. Further, we explore the epidemiology,
symptoms of the disease, describe the reverse
transcriptase-polymerase chain reaction (RT-PCR)
that establishes the diagnosis of the disease and also
review its unique diagnostic features in the chest CT-
Scan. Finally, we review the current approaches to
develop therapies and vaccines as a measure for
disease prevention and control. Coronavirus disease (COVID-19) is caused
by severe acute respiratory syndrome coronavirus 2
(SARS-CoV-2), a member of the human coronavirus
(HCoV) family that targets the lower part of the
respiratory tract and causes severe acute respiratory
syndrome (SARS). In a short span of time, this
infection has led to a global pandemic and has
become a significant threat to the existence of
present human society. Currently, there are no
treatments for this infection and the measures
established across various countries such as social
distancing, usage of mask to prevent entry of the
virus into the respiratory tract, quarantine, and
containment together have reduced the prevalence 117 Origin, replication, and epidemiology of COVID-19 Origin, replication, and epidemiology of COVID-19 2. INTRODUCTION Further, the virulence of COVID -19 in
humans and the role of ACE2 in its pathogenesis
have been comprehensively covered. This review
also intends to fill in the gaps in knowledge regarding
epidemiology, methods of SARS-CoV-2 infection,
diagnosis, possible therapeutics and vaccines. Finally, major challenges that hinder the measures to
control or prevent viral transmission from person-to-
person at the national and international levels have
also been discussed. 3. PHYLOGENY OF CORONAVIRUSES Due to the recent COVID-19 outbreak,
there has been a considerable interest in knowing the
phylogeny of SARS-CoV-2 or HCoV-19 virus (10-11). © 1996-2021 118 Origin, replication, and epidemiology of COVID-19
Figure 1. Genome organization of human coronavirus COVID-19. The genome size is approximately 30 kilobase (kb). The two-third region
encodes for the two main overlapping open reading frames (ORF 1a/b) encode conserved nonstructural polyproteins required for replication-
transcription complex (RTC) and virus synthesis (above). The last third of the genome coded for the main structural component proteins
including S, E, M and N and a set of accessory genes including ORF3a, 3b, ORF6, ORF7a, 7b, ORF8a, 8b and 9b. Origin, replication, and epidemiology of COVID-19 Figure 1. Genome organization of human coronavirus COVID-19. The genome size is approximately 30 kilobase (kb). The two-third region
encodes for the two main overlapping open reading frames (ORF 1a/b) encode conserved nonstructural polyproteins required for replication-
transcription complex (RTC) and virus synthesis (above). The last third of the genome coded for the main structural component proteins
including S, E, M and N and a set of accessory genes including ORF3a, 3b, ORF6, ORF7a, 7b, ORF8a, 8b and 9b. like-CoVZXC21
and
human
SARS-CoV,
respectively. Phylogenetically, the genome sequence
of the novel coronavirus that came from Wuhan city,
was very close to Bat SARS‐like viruses, such as SL‐
ZC45 and SL-ZXC21 (87.6 and 87.7%, respectively),
and more distantly related to SARS and MERS (79%
and 51.8%, respectively) (16). Moreover, Rothan and
Byrareddy (10) revealed that the novel COVID-19
virus has approximately 80% and 50% identity to
SARS and MERS of bat origin, respectively. to the interception of ORFs by transcriptional
regulatory sequences. The remaining one third of the
genome
encodes
various
structural
proteins,
responsible for nucleocapsid polymorphisms that act
as an adaptive response to new hosts. This region of
the genome is coded by four main ORFs to
synthesize the viral structure proteins: S, M, E and N
as well as other sgRNAs accessory genes (Figure 1)
(6, 13-14). Results of the genomic sequence analysis
indicated that the genomic organizational structure of
the SARS-CoV-2 coronavirus is highly similar to beta
coronaviruses genomes. Chan et al. (15) mentioned
that the genetic material of the novel coronavirus has
approximately 89% and 82% identity with bat SARS- Interestingly,
no
modifications
were
recorded for nonstructural proteins NSP7, NSP13
and the structured and accessory proteins p6 and 8b. 3. PHYLOGENY OF CORONAVIRUSES However, key modifications were recorded for
nonstructural proteins
NSP2, NSP3 and the © 1996-2021 119 Origin, replication, and epidemiology of COVID-19
Figure 2. Schematic diagram showing the replication cycle of SARS-CoV-2 in a host cell. SARS-CoV-2 attached to the host cell through spikes
that bind to ACE2 cellular receptor. Following entry, positive-sense genomic viral RNA (+gRNA) is exposed in the cytoplasm. ORF1a and ab
are translated to produce pp1a and pp1ab polyproteins, undergo proteolysis to yield 16 nonstructural proteins (16 nsps) that comprises RNA
replicase-transcriptase protein complex. This complex controls -gRNA production, transcription and replication. The +gRNA is produced by
replication and group of 7-9 nested sgRNA are formed by discontinuous transcription. Those sgRNAs translated into structural and
nonstructural proteins from the first ORF close to 5’ end. Subsequently, +gRNA and nucleocapsids are assembled in the cytoplasm, followed
by budding into ERGIC lumen. Finally, mature virus particle released from the host cell through exocytosis. Origin, replication, and epidemiology of COVID-19 Origin, replication, and epidemiology of COVID-19 Figure 2. Schematic diagram showing the replication cycle of SARS-CoV-2 in a host cell. SARS-CoV-2 attached to the host cell through spikes
that bind to ACE2 cellular receptor. Following entry, positive-sense genomic viral RNA (+gRNA) is exposed in the cytoplasm. ORF1a and ab
are translated to produce pp1a and pp1ab polyproteins, undergo proteolysis to yield 16 nonstructural proteins (16 nsps) that comprises RNA
replicase-transcriptase protein complex. This complex controls -gRNA production, transcription and replication. The +gRNA is produced by
replication and group of 7-9 nested sgRNA are formed by discontinuous transcription. Those sgRNAs translated into structural and
nonstructural proteins from the first ORF close to 5’ end. Subsequently, +gRNA and nucleocapsids are assembled in the cytoplasm, followed
by budding into ERGIC lumen. Finally, mature virus particle released from the host cell through exocytosis. protein in SARS-CoV-2 and from pangolin virus
SARSr-CoVs are mainly due to mutations and natural
selection. Interestingly, the higher degree of bat
ACE2 receptor homology with other animals
indicates that it is an intermediate host for COVID-19
(24). Collectively, these results could be used for
arguments denying the rumors about SARS-CoV-2’s
use as a biological weapon. Analyses of 103
genomes of the novel virus revealed the possible
existence of two types of COVID-19 coronavirus,
namely, 70% L type and 30% S ancestral type (23). 3. PHYLOGENY OF CORONAVIRUSES Moreover, human interventions might contribute to a
highly select for the L type, leading to more severity
and aggressiveness of COVID-19. However, more
studies should be performed on the genomic and
epidemiological levels to support this finding. structured spike protein underpinning subdomain,
i.e., RBD (17). Indeed, Chan et al. (15) reported that
this external subdomain shows 40% identity in amino
acid sequences in comparison with sequences of
SARS-related coronaviruses. Also, several scientists
revealed that mutations in NSP2 and NSP3, as well
as exposure of certain spike protein sites to selective
pressure, could play a crucial role in enhancing
COVID-19 infectivity, differentiation and adaption to
new host (18-19). Interestingly, genome analyses of
558 SARS-CoV-2 coronaviruses indicated that the
genes encoding spike proteins and nucleoproteins as
well as RNA dependent (RD) RNA-polymerase and
primase undergo frequent mutations that could allow
better tracking of the virus epidemics (20). On the other hand, the comparative
genome analysis by Andersen et al (21) revealed that
SARS-CoV-2 originated through natural selection
and not from a laboratory manipulation. This could be
attributed to the high affinity of SARS-CoV-2
receptor-binding domain to human ACE2 receptor
protein in animal host or in human after zoonotic
transfer (3, 21-22). Moreover, Tang et al. (23)
revealed that the genomic variation between SARS-
CoV-2 and bat SARSr-CoV (RaTG13) is only 4% and
17% at neutral sites. Likewise, changes in high
affinity of the receptor-binding domain of the spike 4.2. Replication of SARS-CoV-2 As previously described, coronaviruses are a
unique group of spherically enveloped particles
harboring a single stranded positive-sense RNA
genome (+ssgRNA) along with a nucleoprotein and a
protein capsid. Characteristic club-shaped glycoprotein
spikes project from the virus envelop and interestingly
carry the main antigenic determinants or “epitopes”
recognized by the antibodies. The positive-sense RNA
is characterized by the presence of 5’ terminal cap and © 1996-2021 120 Origin, replication, and epidemiology of COVID-19 animals in Wuhan, China; subsequently transmitted
to humans and further spread from person-to-person
(1, 10, 22, 27). For COVID-19, the main route of
human transmission occurs through respiratory tracts
via droplets, respiratory secretions and direct contact
(22, 28). When the infected person coughs, sneezes,
or talks, he/she can transmit the disease through
aerosolized droplets that can travel indoor for meters,
even in minuscule quantities (29-30). Though the rate
of viral transmission by the notably symptomatic
diseased individual is high, the extent of the
transmission is highly unreliable especially due to the
location and medical interventions of the COVID-19
patient (1,31-32). a poly A tail structure, thus having the ability to acts as
an mRNA for subsequent transcription (7, 22, 25). Similar to other human coronaviruses, the major
distinctive feature of the COVID-19 viral replication is the
direct translation of the upstream open reading frame
(ORF) into replicase-transcriptase protein. This region
comprises two-thirds of the viral genome and involves
two main ORFs (ORF1a and ORFb1) and 16 other non-
structural proteins. The last one-third of the genome
contains four genes that code for the structural proteins
including the spike,
envelope, membrane and
nucleocapsid (7, 25). The life cycle of SARS-CoV-2 in humans
begins with the attachment of the viral spikes to an
ACE2 cellular receptor (Figure 2). Using cryo-EM,
Song et al. (26) have recorded that in the prefusion
conformation
structure
of
SARS-CoV-2
spike
proteins, S proteins are observed to have high affinity
for the cellular receptor protein ACE2, compared to
the previously reported coronaviruses. Following
their entry, the viral genome is unveiled with ORF1a
and ORF 1ab being translated to the two polyproteins
pp1a and ab, that further undergo proteolysis by
papain-like (PLpro) and chymotrypsin-like proteases
to yield 16 nonstructural proteins (16 nsps). These
protein elements constitute the RNA replicase-
transcriptase protein complex and controls single
stranded
RNA
genome
(sgRNA)
production,
replication and transcription. 4.2. Replication of SARS-CoV-2 The positive-sense RNA
genome (+gRNA) is produced by replication and a
set of nested 7-9 sgRNA are formed through
discontinuous
transcription. The
sgRNAs
are
translated into structural and nonstructural proteins
from the transcription of the first ORF close to 5’ end. Subsequently, +gRNA and nucleocapsids are
assembled in the host cytosol and bud into the lumen
of
Endoplasmic
reticulum-Golgi
intermediate
compartment (ERGIC). Mature viral particles are
then released from the host cell via its internal
membrane through exocytosis (Figure 2) (5, 13). Furthermore, SARS-CoV-2 infections can
also be transmitted to the major routes of viral entry
such as eyes, nose, or mouth by touching previously
contaminated surfaces. Epidemiology of the virus
depends on several factors including viral load in
upper
respiratory
tract
and
capability
of
asymptomatic carriers to transmit the disease (33-
35). Transmission of COVID-19 by asymptomatic
individuals has been reported but needs to be
investigated further (28, 36-37). A study conducted to evaluate the viral
transmission caused due to the stability of the
COVID-19 virus in aerosols and surfaces, reported
that it was highly probable. According to van
Doremalen et al. (34) the virus remains viable for at
least 3 hours in aerosols and surfaces. In the same
study, SARS-CoV-2 wasn’t detected after 4 hours on
certain metal surfaces such as copper, whereas
viable SARS-CoV-2 was detected till 24 hours on
cardboard. Serological analyses have detected the
viral genomic material in blood and stool specimens
(9,26 24) and the probability of isolating the virus from
fecal swabs and blood of COVID-19 patients indicate
the existence of other means of viral transmission
(38). 5.2. Pathogenesis of COVID-19 As the case with other coronaviruses,
COVID-19 is transmitted primarily through airborne
droplets to the nasal mucosa. However, the
pathogenicity of this virus is highly complicated. The
virus replicates specifically in cells of the ciliated 5.1. Transmission of COVID-19 Epidemiologic studies indicated that the
outbreak started from a seafood market selling live © 1996-2021 121 Origin, replication, and epidemiology of COVID-19 Origin, replication, and epidemiology of COVID-19 Origin, replication, and epidemiology of COVID 19
Figure 3. Genomic organization of SARS-CoV-2 S spike protein. The upstream region coded by a signal peptide followed by two major
subunits S1 and S2. S1 protein subunit contains N-terminal domain NTD), the receptor-binding domain (RBD) that incorporates the receptor-
binding motif that binds specifically with ACE2 receptor protein. S2 contain a short fusion protein (FP) followed by two heptad repeats (HR1
and HR2), transmembrane domain (TM) and an intracellular cytoplasmic protein (CM). Sites of expected mutations along the S spike protein
encoding genomic from different virus isolates. Figure 3. Genomic organization of SARS-CoV-2 S spike protein. The upstream region coded by a signal peptide followed by two major
subunits S1 and S2. S1 protein subunit contains N-terminal domain NTD), the receptor-binding domain (RBD) that incorporates the receptor-
binding motif that binds specifically with ACE2 receptor protein. S2 contain a short fusion protein (FP) followed by two heptad repeats (HR1
and HR2), transmembrane domain (TM) and an intracellular cytoplasmic protein (CM). Sites of expected mutations along the S spike protein
encoding genomic from different virus isolates. epithelium (specifically the lung AT2 alveolar
epithelial cells), causing severe damage and
inflammation that sometimes manifests as a
“cytokine storm” (5,39). High levels of plasma pro-
inflammatory cytokines have been reported in many
COVID-19
patients
with
severe
respiratory
syndromes (10). Unfortunately, the cell damage
activates
an
inflammatory
response,
hence
increased nasal secretions, local inflammation and
swelling. In most cases, IL-6 production by
leukocytes induces B lymphocyte differentiation,
thermoregulation, bone maintenance and regulation
of the central nervous system (CNS). Interestingly, as
the levels of interleukin rise during COVID-19,
underlying diseases such as autoimmune disorders
and certain types of cancer are aggravated, thereby
increasing the health risk and virus virulence in
patients with such underlying conditions (39). a potential therapeutic target against COVID-19 (40-
43). ACE2 expression has been reported to play a
crucial role in many diseases such as myocardial
disease,
respiratory
diseases,
gastrointestinal
diseases, kidney and liver damage, even provides
receptor-mediated entry for SARS-CoV-2 and
thereby increasing the risk of COVID-19 (42). Fang
et al. (44) reported that renin-angiotensin system
(RAS) is important for the cardiovascular regulatory
system and helps in maintaining blood pressure
homeostasis. 5.1. Transmission of COVID-19 Angiotensin II, a negative regulator of
RAS, is generated by the ACE from angiotensin I in
the lung blood capillaries and contributes towards the
pathogenesis of many inflammatory lung diseases
such as acute respiratory distress syndrome (ARDS). Recently, ACE2 was recognized as a key receptor in
SARS infections, including COVID-19. Protective
action of ACE2 in case of lung infections as observed
in model animal with ARDS, encouraged scientists to
use ACE2 as a novel treatment approach for many
respiratory infections (42). On the other hand, Fang
et al. (44) concluded that patients suffering from
hypertension and diabetes have an increased risk for 5.3. Role of ACE2 in SARS-CoV-2 infection Several scientists have reported ACE2 to
act as a host receptor in acute lung diseases and as © 1996-2021 122 Origin, replication, and epidemiology of COVID-19 Figure 4. Multiple amino acid sequence alignment between SARS-CoV-2 and other coronaviruses using CLUSTAL Omega online tool, EMB
EBI UK, https://www.ebi.ac.uk/Tools/msa/clustalo/. Four unique sequences highlighted, the first showed high similarity with Bat SARS-lik
BaTG13. Figure 4. Multiple amino acid sequence alignment between SARS-CoV-2 and other coronaviruses using CLUSTAL Omega online tool, EMBL-
EBI UK, https://www.ebi.ac.uk/Tools/msa/clustalo/. Four unique sequences highlighted, the first showed high similarity with Bat SARS-like
BaTG13 gene coding for the S spike protein is organized
up-stream of a signal peptide (SP) followed by the
main sequence of S spike protein (Figure 3). Proteases such as trypsin and cathepsin L cleave
the S protein into two major subunits, S1 and S2. The process of infection and pathogenesis has
been reported to start with the recognition and
binding of the S1 subunit in RBD through its
receptor-binding motif (RBM), to the ACE2
receptor of the host cell. Subsequently, the viral
progression and its transmembrane fusion are
mediated by conformational changes in S2 subunit
due to conserved fusion peptide (FP) (47-48). Xia
et al. (49) were able to design an inhibitory drug
that inhibits spike protein and interferes with
membrane fusion. COVID-19, as they show an increased ACE2
expression in the epithelial cells of lungs and other
organs including intestine, kidney, and blood vessels. This is because, the treatment for hypertension with
ACE inhibitors and diabetes with angiotensin II type-
I receptor blockers
(ARBs) increases
ACE2
expression and subsequently the risk for COVID-19
(44). Additionally, since smoking can upregulate
ACE2 receptor expression, it could be a potential risk
for the COVID-19 disease (45). On the contrary,
Kuster et al. (46) revealed that the inhibition of the
RAS might be protective toward COVID-19. 5.4. Role of S spike protein in SARS-CoV-2
infection The receptor binding and membrane
fusion processes of SARS-CoV-2 coronavirus are
mediated by trimeric S spike glycoproteins. The Alignment studies between SARS-CoV-2
and
SARS-like
BatCoV-RaTG13
coronavirus, © 1996-2021 123 Origin, replication, and epidemiology of COVID-19 Origin, replication, and epidemiology of COVID-19 Figure 5. Multiple sequence alignment of amino acid (A) and nucleotide (B) sequences of the S spike protein (surface glycoprotein) of SARS-
CoV-2 and other coronaviruses using CLUSTAL Omega online tool, EMBL-EBI, UK, https://www.ebi.ac.uk/Tools/msa/clustalo/. S spike protein
sequences accession numbers from GenBank, NIH, USA. Alpha-3 country code: according to ISO 3166 international standard. The red arrow
reveals the position of the most frequent D614G substitution in amino acids and nucleotide sequences of the spike protein gene in different
isolates from North America, Europe and India. Figure 5. Multiple sequence alignment of amino acid (A) and nucleotide (B) sequences of the S spike protein (surface glycoprotein) of SARS-
CoV-2 and other coronaviruses using CLUSTAL Omega online tool, EMBL-EBI, UK, https://www.ebi.ac.uk/Tools/msa/clustalo/. S spike protein
sequences accession numbers from GenBank, NIH, USA. Alpha-3 country code: according to ISO 3166 international standard. The red arrow
reveals the position of the most frequent D614G substitution in amino acids and nucleotide sequences of the spike protein gene in different
isolates from North America, Europe and India. already exist in SARS-like BatCoV-RaTG13 and
bears no similarity with any sequence from HIV-1. In
concordance with this finding, Xiao et al. (52)
demonstrated that there was no evidence that those
sequences were HIV-1 specific or that the 2019-
nCoV viruses obtained these insertions from HIV-1. These results collectively indicate the natural genetic
variation in the S protein gene and eliminate
reservations
regarding
SARS-CoV-2
being
a
synthetic virus. Only a four amino acid residue, revealed a high similarity in the S protein (Figure 4)
(47,50). By comparing the S protein sequence of
2019-nCoV with SARS-GZ02, Pradhan et al. (51)
detected four unique insertions showing high
similarity to the variable regions (V1, V4, and V5) of
HIV1 envelope glycoprotein gp120 or HIV-1 Gag of
certain unique strains from three different countries,
namely, Thailand, Kenya, and India, supporting the
speculation that 2019-nCoV is a recombinant virus. As shown in Figure 4, three of those insertions © 1996-2021 124 Origin, replication, and epidemiology of COVID-19 681PRRA684, has been recorded as a unique insert
among all the known SARS-CoV-2 coronaviruses
(Figure 4) (47). Together with this, the conserved
R685 amino acid could be recognized as the site for
proteolytic action for S1/S2 cleavage. Origin, replication, and epidemiology of COVID-19 Nevertheless,
a recombinant viral construct with the SARS-CoV
backbone encoding S protein from bat SHC014 has
been able to demonstrate the potential to use multiple
human ACE2 receptor orthologs for its entry and
doesn’t respond to any neutralization vaccines,
providing previously unknown insights regarding the
evolution
and
pathogenicity
of
SARS-CoV-2
coronavirus (53). Interestingly, a highly conserved
unique 111-fragment has been detected in all verified
S proteins of human coronaviruses except MERS
(data not shown), and therefore, could be possibly
used as a therapeutic target while designing vaccines
(50). mostly appear after approximately 5-6 days after
contracting the disease (1,58-59). Cascella et al. (39)
reported that a fever with cough as well as rhonchi or
coarse breathing sounds coming from lungs were the
main signs of severe COVID-19. Phlegm production,
headache, hemoptysis, diarrhea, dyspnea, and
lymphocytopenia could also be observed (1,60). Rothana and Byrareddy (10) reported diarrhea to be
a major gastrointestinal symptom developed in
COVID-19 patients. However, fluctuations in the
incidence of gastrointestinal symptoms have also
been recorded (61). Development of various
diagnostic methods, to detect the virus transmitted
through several means, is urgently required to
minimize
the
viral
transmission. Also,
a
comprehensive
epidemiological
investigation
together with modern diagnostic methods could help
in the early detection of asymptomatic carriers (37). 6.2. Molecular detection of SARS-CoV-2
using RT-PCR Analyses of COVID-19 genomes from
different isolates revealed several mutations up- and
down-stream of the receptor binding domain (RBD)
(Figure 3). These mutations have a direct influence
on the secondary structure of the S1 domain and on
the interaction of the S spike protein with ACE2
receptor. Several substitutions were detected during
multiple alignments of various genomic sequences of
spike proteins from several isolates (Figure 5). Mutations in positions Q271R and D614G, in the S1
domain of SARS-CoV-2 S spike domain were
detected in isolates from many countries, with the
latter being more frequent in isolates from regions
such as North America, Europe and in countries like
India (Table 1) (54-56). It is assumed that the D614G
mutation, in which aspartic acid is changed to glycine,
could lead to a conformational change in the spike
protein that reduces the interaction between the S1
and S2 subunits, enabling the detachment of S1 from
the viral-membrane-bound S2 (57). There is an accelerated effort to develop
diagnostic methods to use for the detection of SARS-
CoV-2. Several scientists have worked on designing
primers for the molecular detection of the virus, just
by utilizing the COVID-19 genomic data published in
open access databases. Due to the close relation
between SARS coronavirus and 2019-nCoV, it has
been possible to design probes to detect the recent
virus (62). Colson et al. (63) described the timeline
for COVID-19 virus detection by an ultra-rapid
diagnostic molecular method (RT-PCR) in 3 hours,
complete genome sequencing in 11 hours and
culture isolation in 72 hours. As with other acute
respiratory infections, RT-PCR is recorded as the
most efficient method of virus detection, specifically
in secretions. A wide number of scientists have
hastened the process of designing RT-PCR based
tests that use specific probes to detect the virus. To
understand the efficacy of these diagnostic kits,
molecular diagnosis of the novel SARS-CoV-2 was
carried out in 19 patients using three different
fluorescent RT-PCR kits. While the virus was
detectable in 47.4% of patients’ oropharyngeal
samples, 90% had the virus in their stools and none
in their blood and urine samples. Unfortunately, since
52.6% of the patients were undiagnosed by these
molecular detection kits, other diagnostic methods 6.1. Symptoms of COVID-19 COVID-19, caused by a member of the
coronaviruses, shares common symptoms with other
beta coronavirus infections. The major symptoms of
this disease include fever, dry cough, fatigue, and © 1996-2021 125 Origin, replication, and epidemiology of COVID-19 Table 1. 6.1. Symptoms of COVID-19 Distribution of mutations along S spike protein encoding sequence in SARS-CoV-2 coronavirus
isolates from different sources after multiple sequence alignment of the amino acid sequences using Clustal
Omega alignment tool isolates from different sources after multiple sequence alignment of the amino acid sequences using Clustal
Omega alignment tool
Accessio
n
Number/
Country
Type of amino acid mutation (substitutions or deletions)
L5F
1
Y28
N
H49
Y1
S71
F
N74
K
Y14
41
I197
V
S221
W
S247
R
Q271
R1
R407
I1
K574
X
D614
G1
V62
1I
V77
2I
A930
V1
V1064
L
D1259
H1
QHS3454
6-IND
L
Y
H
S
N
-3
I
S
S
Q
I2
K
D
V
V
A
V
D
QIZ13179
-USA
L
Y
H
F2
N
Y
I
S
S
Q
R
K
D
V
V
A
V
D
QIS60906
-USA
F2
Y
H
S
N
Y
I
S
S
Q
R
K
D
V
V
A
V
D
QIS30165
-USA
L
Y
H
S
N
Y
I
S
S
Q
R
K
D
V
V
A
V
D
QIS60582
-USA
L
Y
H
S
N
Y
I
S
S
Q
R
K
D
V
V
A
V
H2
QIZ16509
-TUR
L
Y
H
S
N
Y
I
S
S
Q
R
K
D
V
I2
A
V
D
QIZ16559
-GRC
L
Y
H
S
N
Y
V2
S
S
Q
R
K
D
V
V
A
V
D
QHU7917
3-FIN
L
Y
Y2
S
N
Y
I
S
S
Q
R
K
D
V
V
A
V
D
QIA98583
-IND
L
Y
H
S
N
Y
I
S
S
Q
R
K
D
V
V
V2
V
D
QHR8444
9-AUS
L
Y
H
S
N
Y
I
S
S
Q
R
K
D
V
V
A
V
D
QHZ0037
9-KOR
L
Y
H
S
N
Y
I
W2
R
Q
R
K
D
V
V
A
V
D
0QIO0436
7-CHN
L
Y
H
S
K2
Y
I
S
S
Q
R
K
D
V
V
A
V
D
QHD4341
6-CHN
L
Y
H
S
N
Y
I
S
S
Q
R
K
D
V
V
A
V
D
QHR6329
0-CHN
L
N2
H
S
N
Y
I
S
S
Q
R
K
D
V
V
A
V
D
QIA20044
-CHN
L
Y
H
S
N
Y
I
S
S
Q
R
K
D
V
V
A
V
D
QJA4217
7-USA
L
Y
H
S
N
Y
I
S
S
Q
R
K
G2
V
V
A
L2
D
QIZ13789
-USA
L
Y
H
S
N
Y
I
S
S
Q
R
K
G2
I2
V
A
V
D
QIU78719
-ESP
L
Y
H
S
N
Y
I
S
S
Q
R
X2
G2
V
V
A
V
D
QJC1949
1-IND
L
Y
H
S
N
Y
I
S
S
R2
R
K
G2
V
V
A
V
D
QIX12148
-FRA
L
Y
H
S
N
Y
I
S
S
Q
R
K
G2
V
V
A
V
D
QIK50427
-CAN
L
Y
H
S
N
Y
I
S
S
Q
R
K
G2
V
V
A
V
D
1Position of the most frequent mutations in COVID-19 coronavirus spike protein gene recorded by many scientists (53-55). ost frequent mutations in COVID-19 coronavirus spike protein gene recorded by many scientists (53-55). Types of mutations;
tion and 3Deletion mutation Amino acids symbols; L: Leucine; Y: Tyrosine; H: Histidine; S: Serine; F: Phenylalanine; N: 6.3. Diagnosis of COVID-19 by chest CT-
Scan Since COVID-19 mainly attacks the lower
respiratory system, this can be visualized by CT
chest scan to further confirm the disease. The most
common symptoms of coronaviruses that can be
detected on the chest CT scans are mutual-sided
ground-glass opacities (19 16, 58-59). In fact, the
chest CT scans of some COVID-19 patients show the
occurrence of grand-glass opacities in their lungs
(65-66). Indeed, several marginal ground-glass
opacities were observed in the subpleural regions of
lungs bilaterally with an increased inflammation and
no improvement even with interferon inhalation. In
most cases dyspnea with hypoxemia has been
associated with deep infiltration in the superior
sections of the lung (67). Many antiviral drugs used for influenza and
certain inhibitors are commonly recommended for
therapeutic use against COVID-19 (10). Adenosine
nucleotide analogue Remdesivir, with a broad
antiviral
activity
against
RNA
viruses,
and
chloroquine, commonly used in the treatment of
malaria, showed great activity against SARS-CoV-2
infection (14 21). Similar strategies have been used
to deal with other coronavirus infections that cause
severe acute respiratory diseases like SARS and
MERS (72). Moreover, protease inhibitors such as
Lopinavir/Ritonavir,
commonly
used
in
HIV
treatment, demonstrated to have a potential against
SARS-CoV and MERS-CoV, and hence, these could
also be used for COVID-19 treatment (73-75). These
drugs together with aerosol inhalation of interferon-
alpha have been used for treating the disease
symptoms to clinically manage the COVID-19
patients (58). Other broad-spectrum antiviral drugs
include, Neuraminidase inhibitors, peptide (EK1),
RNA synthesis inhibitors, such as, Nitazoxanide,
Favipiravir,
Nafamostat
have
also
been
recommended (14,72) (Table 2). The transfer of
plasma from convalescent COVID-19 patients
(supposed to contain antibodies against COVID-19),
is an endorsed COVID-19 treatment measure that
has been used to suppress the disease in its early
stages (76). Through the identification of the first viral
genome and molecular modelling, the drug Baricitinib
has been identified, and is predicted to interrupt the Usually, the chest CT scan for the
diagnosis of confirmed COVID-19 patients revealed
ground-glass opacities accompanied by deprived
consolidative bilateral deviations, coinciding with viral
pneumonia (68-69). As compared to RT-PCR, the
chest CT scan shows a high sensitivity towards
SARS-CoV-2 diagnosis (70). This comparative
diagnostic study showed that amongst all COVID-19
patients, 59% have been recorded as RT-PCR-
positive, while 88% were chest CT scan-positive. In
fact, the sensitivity of the chest CT scan in diagnosis
of SARS-CoV-2 was 97% based on positive RT-
PCR. 6.3. Diagnosis of COVID-19 by chest CT-
Scan Among the negative RT-PCR patients, 75%
recorded positive results in CT scan. In conclusion,
the chest CT scan is recommended as a more
practical approach for diagnosing COVID-19 early
due to its better sensitivity, consistency, and
reliability. 6.1. Symptoms of COVID-19 Types of mutations;
2Substitution mutation and 3Deletion mutation. Amino acids symbols; L: Leucine; Y: Tyrosine; H: Histidine; S: Serine; F: Phenylalanine; N:
Asparagine; I: Isoleucine; W: Tryptophan; Q: Glutamine; R: Arginine; K: Lysine; X: Stop codon; D: Aspartic acid; G: Glycine; V: Valine; A: Alanine. S 1Position of the most frequent mutations in COVID-19 coronavirus spike protein gene recorded by many scientists (53-55). Types of mutations;
2Substitution mutation and 3Deletion mutation. Amino acids symbols; L: Leucine; Y: Tyrosine; H: Histidine; S: Serine; F: Phenylalanine; N:
Asparagine; I: Isoleucine; W: Tryptophan; Q: Glutamine; R: Arginine; K: Lysine; X: Stop codon; D: Aspartic acid; G: Glycine; V: Valine; A: Alanine. S
spike protein sequences accession numbers from GenBank, NIH, USA. Alpha-3 country code: according to ISO 3166 international standard. Multiple
sequence alignment was carried out using Clustal Omega alignment tool https://www.ebi.ac.uk/Tools/msa/clustalo/ 126 © 1996-2021 Origin, replication, and epidemiology of COVID-19 The discovery of new vaccines is an overwhelming
process and takes a very long time for their approval. Due to the surge in number of SARS-CoV-2-infected
patients
and
the
consequent
public
health
emergency, there is an urgent need to identify proper
treatment options for appropriate administration. Due
to the lack of specific drugs or vaccines against
SARS-CoV-2 infection, treatment of symptoms and
offering respiratory support are the most available
options in terms of medical intervention (14). Most of
the
current
efforts
targeting
research
and
development of a new drug depend on the strong
similarity between SARS-CoV and SARS-CoV-2
specifically in viral entry, replication and genomic
organization. Liu et al. (71) has highlighted the major
therapeutics and vaccines that have been already
approved or under investigation for COVID-19
treatment. like, Chest CT scan should be used for virus
detection (64). like, Chest CT scan should be used for virus
detection (64). 7. VACCINES AND DRUG DEVELOPMENT
FOR COVID-19 Finding a vaccine for the coronavirus has
become a public health priority. Simultaneously,
there is also a progressive increase in research led
by several pharmaceutical companies to design a
suitable drug and find new vaccines for COVID-19. 127 © 1996-2021 Origin, replication, and epidemiology of COVID-19 Table 2. List of most commonly used antiviral drugs against COVID-19
Drug
Description/Mode of Action
Reference Disease
or Target
Reference(s)
Chloroquine
and hydroxychloroquine
9-aminoquinolin, elevates endosomal pH, immunomodulator,
autophagic blocker
Malaria, autoimmune
disease
39,82,83,84
Remdesivir (GS-5734)
Nucleotide analogue product, inhibitor of RNA polymerase Interfere
with viral entry
With activity against
Ebola and other RNA
viruses
39, 85, 86, 87
lopinavir/ritonavir
Protease inhibitor, block HIV-1 protease action leading to viral
immaturity
AIDS, SARS, MERS
39, 88, 89
Ribavirin
Synthetic guanosine nucleoside, interfering with the synthesis of
viral mRNA
HCV, SARS, MERS
87, 90
Tolicizumab
Immunotherapy, humanized IgG1 moAB against the IL-6 receptor
Treatment of
rheumatoid arthritis
39
Arbidol
Angiotensin-converting enzyme 2 (ACE 2), viral receptor protein
that binds to viral S protein
Influenza virus,
SARS-CoV-2
22, 91
Camostat mesylate
Host-cell mediated Serine 2 Transmembrane protease, facilitate
binding to ACE2 and intervening with replication process
SARS-CoV-2 and
other HCoVs
71
Favipiravir
Nucleoside analogue, acts as RNA polymerase inhibitor (RdRp
inhibitor), preventing viral reproduction
Ebola, influenza
A(H1N1)
22, 87
Nafamostat
Synthetic serine protease inhibitor, blocks membrane fusion by
reducing the release of cathepsin B; anticoagulant activities
Influenza, MERS,
Ebola
87, 92, 93
Shufeng Jiedu Capsule
(SFJDC, a traditional
Chinese medicine)
Anitviral compounds from plants, blocks viral 3CL protease and
inhibits RdRp activity
Active against human
viruses including
SARS, influenza, and
HCoVs
22, 84
Nitazoxanide
Antiprotozoal agent, modulating biological activities and replication
of various microbes
Human and animal
coronaviruses
87
convalescent plasma
convalescent plasma containing neutralizing antibody
antibodies against
COVID-19
80
Baricitinib
inhibition of clathrin-mediated endocytosis, interrupt virus entry and
assembly processes in lung cells
COVID-19
78, 94 transmission of the virus (1). Some of the more
efficient non-therapeutic interventions to prevent
COVID-19 spread in society are maintaining hand
hygiene, social distancing and quarantining, all of
which could reduce the number of secondary
infections (77). However, the usage of masks to
reduce viral transmission remains controversial (78). The impact of non-pharmaceutical interventions to
prevent viral transmission was investigated using
mathematical models. 7. VACCINES AND DRUG DEVELOPMENT
FOR COVID-19 These models highlighted the
crucial importance of traditional public health
outbreak responses such as social distancing,
contact-tracing, quarantine, and face masks in
determining the future of the COVID-19 pandemic
(79). If such measures were proven to be inefficient, transmission of the virus (1). Some of the more
efficient non-therapeutic interventions to prevent
COVID-19 spread in society are maintaining hand
hygiene, social distancing and quarantining, all of
which could reduce the number of secondary
infections (77). However, the usage of masks to
reduce viral transmission remains controversial (78). viral entry and assembly in the lung cells (74)
(Table 2). Finally, discovering suitable therapeutics
and vaccines require a larger allocation of funds and
more
importantly
a
significant
interest
in
reestablishing the general health of the public to
overcome the COVID-19 outbreak. 10. REFERENCES 1. Q Li, X Guan, P Wu, X Wang, L Zhou, Y
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Z Tao, Y Yang, Z Deng, B Liu, Z Ma, Y
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DOI: 10.1038/nature05775 8. 3. 9. ACKNOWLEDGMENTS AE Gorbalenya, SC Baker, RS Baric, RJ
de Groot, C Drosten, AA Gulyaeva, BL
Haagmans, C Lauber, AM Leontovich,
BW Neuman, D Penzar, S Perlman, LLM
Poon, D Samborskiy, IA Sidorov, I Sola,
J Ziebuhr: Severe acute respiratory
syndrome-related
coronavirus:
classifying 2019-nCoV and naming it
SARS-CoV-2. Nat Microbiol 5, 536-544
(2020)
DOI: 10.1038/s41564-020-0695-z 4. This work was funded by the Deanship of
Scientific Research, Imam Abdulrahman Bin Faisal
University, Eastern Province, Saudi Arabia (Grant
application No. Covid19-2020-017-CPH). 8. CHALLENGES AND OPPORTUNITIES The © 1996-2021 129 Origin, replication, and epidemiology of COVID-19 Chen, F Deng, L-L Liu, B Yan, F-X Zhan,
Y-Y Wang, G-F Xiao, Z-L Shi: A
pneumonia outbreak associated with a
new coronavirus of probable bat origin. Nature 579, 270-273 (2020)
DOI: 10.1038/s41586-020-2012-7 Chen, F Deng, L-L Liu, B Yan, F-X Zhan,
Y-Y Wang, G-F Xiao, Z-L Shi: A
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DOI: 10.1038/s41586-020-2012-7 situation in such countries would be highly critical due
to the inherent difficulties they face for viral detection
and containment. Therefore, to bridge this, there is a
concerted effort by several countries to discover
effective diagnostic drugs and vaccines to overcome
this public health outbreak. 8. CHALLENGES AND OPPORTUNITIES Currently, most countries have been
observed to direct their efforts in controlling the
COVID-19
outbreak
through
strict
protective
measures that enable reduction of the viral spread
(Figure 6). At an individual level, considerable
measures must be taken to restrict person-to-person © 1996-2021 128 Origin, replication, and epidemiology of COVID-19 Origin, replication, and epidemiology of COVID-19
Figure 6. Pathogenesis, symptomatology, diagnostic and non-therapeutic intervesions of COVID-19. Figure 6. Pathogenesis, symptomatology, diagnostic and non-therapeutic intervesions of COVID-19. “community-wide containment’ is recommended to
control the further spread of COVID-19 (80). regarding mass gatherings, special attention should
be given to points of entry based on the susceptibility
to COVID-19 outbreak. The impact of international air
travel in dissemination of COVID-19 has been
reported by Bogoch et al. (81) during the early stages
of the outbreak. Therefore, the most characteristic
action taken by nearly all countries is to halt transport
and travel and enforce strict quarantine measures in
all aspects of community living. Besides
hand
washing
and
social
distancing, efforts should be made to get rid of virus
laden air droplets especially indoors by allowing
proper ventilation (30). Also, priority must be given to
the most vulnerable candidates including elderly
people, patients with cardiovascular diseases,
hypertension and diabetes due to their weak immune
system (10). Apart from the practical guidelines
provided by the world health organization (WHO) for
risk assessment of COVID-19 outbreaks, public
should be routinely reminded and encouraged to use
hand sanitizers and disinfectants. More importantly,
physical contact with contaminated materials like
feces and urine should be avoided (31). Some of the
major challenges include tracing the suspected
cases and determining the severity of cases among
those tested positive without obvious clinical signs of
the disease and more specifically the ability of
asymptomatic carriers for disease transmission
(33,35-36). Along with the WHO technical guidelines Nowadays, there is an excessive anxiety
about the global preparedness in facing international
challenges to respond effectively in curtailing the
COVID-19 outbreak. The major points of contention
exposed by the SARS-CoV-2 outbreak include
communities’
response;
political,
structural,
institutional, and environmental preparedness; and
scientific and technical readiness required to address
the SARS-CoV-2 pathogen-related issues. With
respect to the international level, the most
overwhelming effect would be on the low-income or
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coronavirus;
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intermediate
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membrane; E: envelope; N: nucleocapsid; IL-6:
interleukin 6; -gRNA: negative-sense genomic
RNAs; sgRNA: subgenomic RNA; +gRNA:
positive-sense genomic RNA; RBD: receptor-
binding domain; RBM: receptor-binding motif;
ARDS: acute respiratory distress syndrome; A
(H1N1):
Influenza
A
virus
“swine
flu”,
hemagglutinin Type 1 and Neuraminidase Type
1;
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Acquired
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DOI: 10.2174/138161207782794248 Send
correspondence
to: Mahmoud
M. Berekaa, Department of Environmental Health,
College of Public Health, Imam Abdulrahman
Bin Faisal University, P.O. Box 1982, Dammam © 1996-2021 138 Origin, replication, and epidemiology of COVID-19
31441, Saudi Arabia, Tel: 966-13331304, Fax:
966-3330225, E-mail: mberekaa@iau.edu.sa 31441, Saudi Arabia, Tel: 966-13331304, Fax:
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Reversal of HCN Channel Voltage Dependence via Bridging of the S4–S5 Linker and Post-S6
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Terms of Use This article was downloaded from Harvard University’s DASH repository, and is made available
under the terms and conditions applicable to Other Posted Material, as set forth at http://
nrs.harvard.edu/urn-3:HUL.InstRepos:dash.current.terms-of-use#LAA Citation Prole, David L., and Gary Yellen. 2006. “Reversal of HCN Channel Voltage Dependence via
Bridging of the S4–S5 Linker and Post-S6.” The Journal of General Physiology 128 (3): 273–82. https://doi.org/10.1085/jgp.200609590. Permanent link http://nrs.harvard.edu/urn-3:HUL.InstRepos:41483549 I N T R O D U C T I O N hyperpolarization- versus depolarization-activated chan-
nels? It seems possible that differences in the transduc-
tion mechanism linking voltage sensing to movement
of the gate might underlie their opposite polarity. It has
been proposed that an interaction of the S4–S5 linker
with the post-S6 region might be important for this
transduction in various ion channels (Lu et al., 2002;
Decher et al., 2004; Long et al., 2005; Ferrer et al.,
2006). However, how this potential transduction mech-
anism might differ between depolarization-activated
and hyperpolarization-activated channels, and whether
such differences can account for the opposite polarity
of these channels, is currently unknown. Many ion channels show voltage-dependent changes in
conductance. Sensing of membrane voltage is achieved
via movement of charged domains within the chan-
nel (termed voltage sensors), primarily the positively
charged S4 segment in channels that contain this do-
main. The exact extent of such voltage sensor move-
ments remains controversial and may differ between
channels (Ruta et al., 2005; Tombola et al., 2005). However, movement of S4 apparently occurs in the
same general direction (at least in the plane perpen-
dicular to the membrane) for both depolarization and
hyperpolarization-activated channels, i.e., hyperpolar-
ization drives the positively charged S4 segments inward
for both channel types (Larsson et al., 1996; Mannikko
et al., 2002; although see Bell et al., 2004, for evidence
that apparent movements of S4 may occur via alteration
of the membrane fi eld). y
We sought more direct evidence that interactions be-
tween the S4–S5 linker and post-S6 regions occur in the
spHCN1 channel: a hyperpolarization-activated, cyclic
nucleotide-sensitive, nonselective cation (HCN) chan-
nel (Gauss et al., 1998). We chose to study potential in-
teractions of the S4–S5 linker with a region of the
post-S6 termed the C-linker. This region is of additional
interest as it is conserved in many channels sensitive to
cyclic nucleotides and is thought to facilitate transduc-
tion of cyclic nucleotide binding into channel gating
(Wang et al., 2001; Zagotta et al., 2003). This region
seemed a potential candidate for interaction with the
S4–S5 linker, as cyclic nucleotide binding alters the volt-
age dependence of spHCN1 gating (Gauss et al., 1998;
Shin et al., 2001). Depolarization- and hyperpolarization-activated chan-
nels have also both been shown to possess intracellular
gates that are located in roughly the same regions of
their S6 transmembrane segments. Correspondence to Gary Yellen: gary_yellen@hms.harvard.edu
The online version of this article includes supplemental material. Abbreviations used in this paper: DTDP, 2-2’-dithiodipyridine; DTNB,
5,5′-dithiobis(2-nitrobenzoic acid); DTT, dithiothreitol. Share Your Story The Harvard community has made this article openly available. Please share how this access benefits you. Submit a story . The Harvard community has made this article openly available. Please share how this access benefits you. Submit a story . Accessibility on October 5, 2019
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Published Online: 14 August, 2006 | Supp Info: A RT I C L E Reversal of HCN Channel Voltage Dependence via Bridging
of the S4–S5 Linker and Post-S6 David L. Prole and Gary Yellen
Department of Neurobiology, Harvard Medical School, Boston, MA 02115 David L. Prole and Gary Yellen Department of Neurobiology, Harvard Medical School, Boston, MA 02115 Voltage-gated ion channels possess charged domains that move in response to changes in transmembrane voltage. How this movement is transduced into gating of the channel pore is largely unknown. Here we show directly that
two functionally important regions of the spHCN1 pacemaker channel, the S4–S5 linker and the C-linker, come
into close proximity during gating. Cross-linking these regions with high-affi nity metal bridges or disulfi de bridges
dramatically alters channel gating in the absence of cAMP; after modifi cation the polarity of voltage dependence
is reversed. Instead of being closed at positive voltage and activating with hyperpolarization, modifi ed channels are
closed at negative voltage and activate with depolarization. Mechanistically, this reversal of voltage dependence oc-
curs as a result of selectively eliminating channel deactivation, while retaining an existing inactivation process. Bridging also alters channel activation by cAMP, showing that interaction of these two regions can also affect the
effi cacy of physiological ligands. The Journal of General Physiology The Journal of General Physiology J. Gen. Physiol. © The Rockefeller University Press $8.00
Volume 128 Number 3 September 2006 273–282
http://www.jgp.org/cgi/doi/10.1085/jgp.200609590 I N T R O D U C T I O N The alignment of HCN with Kv channels is diffi cult in the linker and S5 region
making it hard to speculate on the location of individual residues. Three subunits of the HCN2 CNBD (Zagotta et al. 2003) are show
with the position corresponding to spHCN1-482 indicated for the green subunit in the foreground. The relative position of the por
forming and CNB domains is not known. The Kv1.2 structure is apparently an open state; the CNBD structure has four molecules
cAMP bound, but the C-linker conformation may correspond more to a closed-preferring form (Craven and Zagotta, 2004). (
)
regions of one subunit of Kv1.2 (Long et al., 2005) are shown (aa288–416); the S5 and S6 are roughly in the plane of the paper with the
N-terminal end of S4–S5 running 35° into the paper. The alignment of HCN with Kv channels is diffi cult in the linker and S5 regions,
making it hard to speculate on the location of individual residues. Three subunits of the HCN2 CNBD (Zagotta et al. 2003) are shown,
with the position corresponding to spHCN1-482 indicated for the green subunit in the foreground. The relative position of the pore-
forming and CNB domains is not known. The Kv1.2 structure is apparently an open state; the CNBD structure has four molecules of
cAMP bound, but the C-linker conformation may correspond more to a closed-preferring form (Craven and Zagotta, 2004). et al., 2002). Cells were pretreated with dithiothreitol (DTT;
5 mM) for 20 min before recording. Methods for rapid perfusion
switches and electrophysiological recordings were as described
previously (Liu et al., 1997). Currents were not leak subtracted. Both the intrapipette and control bathing solutions consisted of
(in mM) 160 KCl, 10 HEPES, 0.5 MgCl2, and 0.2 EGTA (or 0.05
for experiments involving Cd2+), pH 7.4 with KOH. For bathing
solutions containing Cd2+, EGTA was omitted. Experimental con-
centrations of Cd2+ are quoted as the free Cd2+ concentration,
calculated using reported equilibrium constants (Martell and
Smith, 1998). high-affi nity metal bridges or disulfi de cross-links between
the introduced cysteines, hoping that such modifi cations
might result in a measurable functional effect. We describe
here channels containing a pair of cysteines: F359C in the
S4–S5 linker and K482C in the C-linker. These channels
exhibited profound changes in gating when cross-linking
agents were applied. Cysteine Cross-linking For attempting cross-linking of cysteines, we avoided the use
of common oxidizing agents such as copper-phenanthroline, as
these reagents have been shown to dramatically inhibit wild-
type spHCN1 (Roncaglia et al., 2002). Instead, we used Cd2+
ions at submicromolar concentrations (i.e., much lower than
those reported to block spHCN1 by Roncaglia et al., 2002). In
addition, we used reagents that we anticipated would be pore
impermeant, such as the established cross-linking agents 5,5′-di-
thiobis(2-nitrobenzoic acid) (DTNB; Means and Feeney, 1971;
Lehrer, 1975; Zilberberg et al., 2001) or 2-2’-dithiodipyridine
(DTDP). Independent modifi cation of cysteines by DTNB or
DTDP is diffi cult to rule out completely, and almost certainly
occurs to some degree. However, for reasons discussed in the
text, it seems likely that cross-linking dominates the main func-
tional effects seen in this study. DTNB-modifi ed currents are
shown after washout of reagent (used at 100 μM). DTT was
made as a 1 M stock solution in distilled water, kept on ice, and
applied at the required concentration within 6 h. Values stated
are mean ± SEM. M AT E R I A L S A N D M E T H O D S Molecular Biology gy
Point mutations of the spHCN1 channel subunit (GenBank/
EMBL/DDBJ accession no. Y16880) were made as described pre-
viously (Rothberg et al., 2002). All subunits contained the M349I
and H462Y mutations (Rothberg et al., 2003), except constructs
containing F459L, where H462 was not mutated. All mutations
were confi rmed by sequencing. I N T R O D U C T I O N These effects included an altered
response of channels to cAMP, demonstrating the poten-
tial for interaction of these regions to alter modulation
of channels by physiological ligands. Most dramatically,
application of cross-linking agents led to a reversal in the
effective voltage dependence of gating in the absence of
cAMP, demonstrating that interaction of the S4–S5 linker
with the post-S6 can in principle dictate the polarity of
voltage-dependent gating in ion channels. I N T R O D U C T I O N These gates open
and close in response to changes in transmembrane
voltage and have been proposed to limit the fl ow of ions
in the closed state, based on their ability to limit access
of drugs and small ions to the channel pore (Liu et al.,
1997; Shin et al., 2001; Rothberg et al., 2002). A currently unresolved question is therefore the
following: if the S4 voltage sensors move in the same
direction and the gates show a broadly common lo-
cation, how is opposite polarity of gating achieved in We introduced cysteines into the S4–S5 and C-linker
regions of the spHCN1 channel and attempted to form 273 Figure
1. Location
of
spHCN1 mutations involved
in reversed voltage depen-
dence. (A) Topology diagram
of spHCN1, showing the loca-
tion of the S4–S5 linker and
post-S6 C-linker regions. Also
shown are the S1–S6 trans-
membrane segments includ-
ing the S4 voltage sensor, and
the cyclic nucleotide-binding
domain (CNBD). Locations
of the residues F359 and K482
discussed in the text are indi-
cated by circles. Also shown
are alignments of sequences
in these regions for spHCN1
and hHCN2, with F359 and
K482 of spHCN1 shown in
red. (B) Clues to the posi-
tions of the mutations from
related crystal structures of
the Kv1.2 pore-forming do-
main (top) and the HCN2
cyclic nucleotide binding
domain (bottom). The S4–S6
regions of one subunit of Kv1.2 (Long et al., 2005) are shown (aa288–416); the S5 and S6 are roughly in the plane of the paper with the
N-terminal end of S4–S5 running 35° into the paper. The alignment of HCN with Kv channels is diffi cult in the linker and S5 regions,
making it hard to speculate on the location of individual residues. Three subunits of the HCN2 CNBD (Zagotta et al. 2003) are shown,
with the position corresponding to spHCN1-482 indicated for the green subunit in the foreground. The relative position of the pore-
forming and CNB domains is not known. The Kv1.2 structure is apparently an open state; the CNBD structure has four molecules of
cAMP bound, but the C-linker conformation may correspond more to a closed-preferring form (Craven and Zagotta, 2004). (
)
regions of one subunit of Kv1.2 (Long et al., 2005) are shown (aa288–416); the S5 and S6 are roughly in the plane of the paper with th
N-terminal end of S4–S5 running 35° into the paper. 274
Reversed Voltage Dependence of spHCN Channels R E S U LT S Cross-linking S4–S5 and Post-S6 Regions Reverses
the Voltage Dependence of spHCN1 Cross-linking S4–S5 and Post-S6 Regions Reverses
the Voltage Dependence of spHCN1 Cross-linking S4–S5 and Post-S6 Regions Reverses
the Voltage Dependence of spHCN1 g
p
p
Fig. 1 A shows a putative topology diagram of spHCN1,
indicating the position of the S4–S5 linker and the post-
S6 C-linker region studied. The location of these regions
in the context of related crystal structures is shown in
Fig. 1 B. To probe the effects of S4–S5 linker interaction
with the C-linker on gating properties of spHCN1, we
introduced cysteines into the S4–S5 linker and C-linker,
either singly or simultaneously. We then applied submi-
cromolar concentrations of Cd2+ to the intracellular face
of excised patches and attempted to form high-affi nity
metal bridges between the introduced cysteines. In addi-
tion, we used cysteine cross-linking agents such as DTNB
(see Materials and methods) to study the effects of disul-
fi de formation between these respective cysteines. i
p
y
Fig. 2 shows the effects of applying cAMP, Cd2+, or
DTNB on currents mediated by spHCN1 channels con-
taining cysteines simultaneously introduced into the
S4–S5 linker (F359C) and C-linker (K482C) (subse-
quently termed “359C-482C”). These mutant channels
showed properties similar to those of wild-type spHCN1
under similar conditions (e.g., Shin et al., 2004). In the
absence of cAMP, currents were of small amplitude,
activating upon hyperpolarization and showing a sub-
sequent time-dependent decline referred to as inactiva-
tion (Gauss et al., 1998; Shin et al., 2004). Addition of
cAMP increased current amplitude and eliminated time-
dependent inactivation (top). Remarkably, modifi cation
with Cd2+ (middle) or DTNB (bottom) caused dramatic
changes to channel gating in the absence of cAMP. After
modifi cation, currents showed a time- dependent decline
in response to hyperpolarization and a time-dependent
increase in response to depolarization, i.e., the voltage
dependence of these channels was reversed with respect
to unmodifi ed channels. Channels containing only an in-
troduced cysteine in the S4–S5 linker (359C) or C-linker
(482C) did not show this effect and showed only very
mild effects of modifi cation with Cd2+ or DTNB (see
Fig. S1, available at http://www.jgp.org/cgi/content/
full/jgp.200609590/DC1). This shows that both cysteines
are required for the effects of Cd2+ and DTNB, suggest-
ing either that modifi cations at these positions interact,
or that cross-linking of these two cysteines occurs. Figure 2. R E S U LT S Cross-linking S4–S5 linker and post-S6 regions reverses
voltage dependence of spHCN1. Effect of cAMP (100 μM), Cd2+
(130 nM), or DTNB treatment, on 359C-482C channel currents
from independent patches. Fold increases in peak time- dependent
current at −120 mV in response to application were as follows:
cAMP (8.0 ± 1.2, n = 9), Cd2+ (3.5 ± 1.5, n = 9), and DTNB
(4.7 ± 1.7, n = 9), i.e., cAMP induced a greater increase of peak
current than either Cd2+ or DTNB. DTNB results were obtained
after washout of the reagent (see Materials and methods). Cd2+ is a well-established reagent for binding multi-
ple, but not single, cysteines with high affi nity. The dra-
matic effects of Cd2+ on 359C-482C channels, but not on
the respective single mutants 359C and 482C, suggests
that a high-affi nity metal bridge can be formed between
these two introduced cysteine residues. The similarity of
DTNB effects to those of Cd2+ suggests that DTNB in-
duces formation of disulfi de bridges between the intro-
duced cysteine residues in 359C-482C channels. Further
evidence for disulfi de formation was provided by the Prole and Yellen Electrophysiology and Solutions p
Experiments were performed with excised inside-out patches
from HEK-293 cells transfected as described previously (Rothberg p
Experiments were performed with excised inside-out patches
from HEK-293 cells transfected as described previously (Rothberg 274
Reversed Voltage Dependence of spHCN Channels Figure 2. Cross-linking S4–S5 linker and post-S6 regions reverses
voltage dependence of spHCN1. Effect of cAMP (100 μM), Cd2+
(130 nM), or DTNB treatment, on 359C-482C channel currents
from independent patches. Fold increases in peak time- dependent
current at −120 mV in response to application were as follows:
cAMP (8.0 ± 1.2, n = 9), Cd2+ (3.5 ± 1.5, n = 9), and DTNB
(4.7 ± 1.7, n = 9), i.e., cAMP induced a greater increase of peak
current than either Cd2+ or DTNB. DTNB results were obtained
after washout of the reagent (see Materials and methods). Online Supplemental Material See the supplemental material (http://www.jgp.org/cgi/content/
full/jgp.200609590/DC1) for control experiments on the single
cysteine mutants (359C or 482C) with Cd2+ and DTNB in the
absence (Fig. S1) or presence (Fig. S2) of cAMP. 275 Prole and Yellen Note that normalized tail current relaxation amplitudes are shown, and hence residual steady-state current at
we did not routinely measure ZD7288-blockable currents in these patches and therefore cannot reliably est
current contributing to leak. (C) Current declines elicited by steps from +10 mV to test potentials ranging f
mV steps (along with a 400-ms decrement in duration, to give shorter durations at hyperpolarized potentials
(D) Time constants for time-dependent relaxations: rising depolarization-induced relaxations in A (τrising), an
induced relaxations in C (τdeclining). Mean parameters from individual fi ts were as follows: rising, slope = +0.00
i.e., e-fold in 54 mV); declining, slope = −0.0091 ± 2.4 × 10−4 mV−1 (n = 3; i.e., e-fold in 48 mV). Figure
3. Quantitative as-
sessment of reversed voltage
dependence. Properties of
359C-482C
currents
after
modifi cation with DTNB. (A)
Depolarization- activated cur-
rents elicited by steps from
−120 mV (500-ms pulse) to
test potentials ranging from
−110 mV to +90 mV (1 s
duration), in +20-mV steps. Pulse voltage is indicated
alongside the corresponding
current. (B) Normalized con-
ductance–voltage relationship
for modifi ed channels (fi lled
circles, from tail current re-
laxation amplitudes at −120
mV in A after 500-ms depolar-
izing prepulses), or unmodi-
fi ed channels (open triangles,
from tails at +50 mV after
hyperpolarizing
prepulses;
measured in the presence of
cAMP [100 μM] for experi-
mental ease, as parameters
of G-V fi ts are not markedly
different ± cAMP; e.g. Shin
et al., 2004). Values for modi-
fi ed and unmodifi ed channels
were independently normal-
ized. Mean parameters from
individual fi ts to four patches
were as follows: modifi ed
channels, V1/2 = −4.1 ± 8 mV
and slope = 25.8 ± 1.3 mV;
unmodifi ed channels, V1/2 =
−69 ± 2 mV and slope = 5.7
± 0.2 mV (similar to wild-type
spHCN1 under these condi- tions; e.g., Shin et al., 2004). Note that normalized tail current relaxation amplitudes are shown, and hence residual steady-state current at −120 mV is not represented;
we did not routinely measure ZD7288-blockable currents in these patches and therefore cannot reliably estimate the fraction of channel
current contributing to leak. Online Supplemental Material (C) Current declines elicited by steps from +10 mV to test potentials ranging from −20 to −120 mV, in −10
mV steps (along with a 400-ms decrement in duration, to give shorter durations at hyperpolarized potentials, for increased patch stability). (D) Time constants for time-dependent relaxations: rising depolarization-induced relaxations in A (τrising), and declining hyperpolarization-
induced relaxations in C (τdeclining). Mean parameters from individual fi ts were as follows: rising, slope = +0.0080 ± 6.4 × 10−4 mV−1 (n = 4;
i.e., e-fold in 54 mV); declining, slope = −0.0091 ± 2.4 × 10−4 mV−1 (n = 3; i.e., e-fold in 48 mV). Overall, these results suggest that regions within the
S4–S5 linker and C-linker come into close proximity
during gating and can likely be bridged or cross-linked
by a variety of reagents, producing dramatic changes to
channel gating. observation that these dramatic effects were reproduced
by other cross-linking agents such as DTDP, but not by
the structurally similar thiol-reactive, non–cross- linking
reagent benzyltoluenethiosulfonate (BTTS; unpublished
data). Effects of modifi cation with DTNB could be re-
versed with DTT, but only slowly (τ 6 min with 5 mM
DTT; unpublished data). This slow reversal by DTT also
suggests the presence of a cysteine–cysteine disulfi de
bridge, since cysteines independently modifi ed with
DTNB would be expected to exhibit much faster rever-
sal with DTT, as thionitrobenzoic acid is a good leaving
group (although this is only circumstantial evidence, as
poor solvent accessibility could also contribute to slow
reversal by DTT). observation that these dramatic effects were reproduced
by other cross-linking agents such as DTDP, but not by
the structurally similar thiol-reactive, non–cross- linking
reagent benzyltoluenethiosulfonate (BTTS; unpublished
data). Effects of modifi cation with DTNB could be re-
versed with DTT, but only slowly (τ 6 min with 5 mM
DTT; unpublished data). This slow reversal by DTT also
suggests the presence of a cysteine–cysteine disulfi de
bridge, since cysteines independently modifi ed with
DTNB would be expected to exhibit much faster rever-
sal with DTT, as thionitrobenzoic acid is a good leaving
group (although this is only circumstantial evidence, as
poor solvent accessibility could also contribute to slow
reversal by DTT). Reversed Voltage Dependence of spHCN Channels Gated Access to the Pore during Reversed Gating g
g
Based on the sensitivity of the reversed gating processes
to cAMP and to the pore mutation F459L, we reasoned
that these relaxations might share a similar structural
origin to the inactivation relaxations shown by wild-
type spHCN1 (Shin et al., 2004). We therefore tested
whether an HCN channel blocker (ZD7288) showed
state- dependent accessibility to the channel pore, as pre-
viously reported for inactivation of spHCN1 (Shin et al.,
2004). Fig. 5 shows the effects of ZD7288 on DTNB-
modifi ed 359C-482C channels. ZD7288 was applied at
different voltages using a rapid-perfusion system. In
Fig. 5 A, ZD7288 was applied at either −120 mV or at
+50 mV, after the gating relaxations at these respective
voltages had occurred. At −120 mV, block by ZD7288
occurred only very slowly, whereas at +50 mV, block oc-
curred much more quickly (30-fold increase in rate). Voltage Dependence of Reversed Gating Fig. 3 shows the voltage-dependent characteristics of re-
versed gating seen after modifi cation of 359C-482C with
DTNB. Depolarizing pulses after a prepulse to −120 mV
elicited rising currents that showed substantial voltage
dependence (Fig. 3 A). The conductance–voltage re-
lationship of reversed gating in a representative patch,
constructed from tail current relaxation amplitudes at 276 Figure 4. Reversed gating is sensitive to cAMP and to a mutation in the pore. (A) Effect of cAMP (100 μM) on 359C-482C currents
modifi ed with Cd2+ (130 nM, left) or DTNB (right). (B) Effect of DTNB on 359C-482C-459L currents, in the absence of cAMP. Figure 4. Reversed gating is sensitive to cAMP and to a mutation in the pore. (A) Effect of cAMP (100 μM) on 359C-482C currents
modifi ed with Cd2+ (130 nM, left) or DTNB (right). (B) Effect of DTNB on 359C-482C-459L currents, in the absence of cAMP. −120 mV, is shown in Fig. 3 B. For comparison, the con-
ductance–voltage relationship of unmodifi ed channels is
also shown. Unmodifi ed channels showed similar prop-
erties to those of wild-type spHCN1 (Shin et al., 2004):
currents activated with hyperpolarization and exhibited a
relatively steep voltage dependence of steady-state activa-
tion. In contrast, modifi ed 359C-482C channel currents
activated with depolarization and showed a more shallow
voltage dependence (approximately one quarter that
of unmodifi ed channels). Hyperpolarizing pulses from
a holding potential of +10 mV elicited declining cur-
rents that again showed substantial voltage dependence
(Fig. 3 C). The voltage-dependent kinetics of both rising
(Fig. 3 A) and declining (Fig. 3 C) phases of reversed gat-
ing in a representative patch are shown in Fig. 3 D. seen in cross-linked channels. Fig. 4 B shows the effect
of DTNB on 359C-482C-459L currents in the absence
of cAMP. Modifi cation with DTNB resulted in a pro-
nounced lock-open effect, with no evidence of reversed
gating relaxations. These results suggest that 359C and 482C come into
close proximity in an open state of the channel and that
cross-linking prevents normal channel closure, while
still allowing a time-dependent gating process with re-
versed voltage-dependent polarity to occur. Gated Access to the Pore during Reversed Gating Prole and Yellen Reversed Gating Is Sensitive to cAMP and to a Mutation
in the Pore Cumulative block occurred slowly when ZD7288 was applied
at −120 mV (τ 13 s), but much more rapidly when applied at +50 mV (τ 460 ms). Note ZD7288-sensitive residual steady-state cur-
rent was evident at −120 mV, comprising 8% of maximum ZD7288-blockable inward current in this patch. (B) 359C-482C current
traces after modifi cation with DTNB (left) and after subsequent application of cAMP (100 μM). ZD7288 was then applied for 1 s during
pulses to −120 mV in the presence of cAMP (right). Sequential fi rst and second traces during which ZD7288 was applied are shown. Block occurred with τ 460 ms. Figure 5. State-dependent block by ZD7288 during reversed gating. (A) 359C-482C currents after modifi cation with DTNB. ZD7288
(100 μM) was applied during the periods indicated. The sequential fi rst and second current traces during which ZD7288 was applied
are shown. Block at +50 mV occurred with τ = 300 ± 12 ms (n = 3 patches). The graph shows cumulative block of currents by ZD7288
(100 μM) applied for 1 s during each pulse at the voltage indicated. Pulses were applied every 5 s. Block was virtually irreversible over
the time course studied, shown by the absence of recovery upon washout. Cumulative block occurred slowly when ZD7288 was applied
at −120 mV (τ 13 s), but much more rapidly when applied at +50 mV (τ 460 ms). Note ZD7288-sensitive residual steady-state cur-
rent was evident at −120 mV, comprising 8% of maximum ZD7288-blockable inward current in this patch. (B) 359C-482C current
traces after modifi cation with DTNB (left) and after subsequent application of cAMP (100 μM). ZD7288 was then applied for 1 s during
pulses to −120 mV in the presence of cAMP (right). Sequential fi rst and second traces during which ZD7288 was applied are shown. Block occurred with τ 460 ms. Figure 5. State-dependent block by ZD7288 during reversed gating. (A) 359C-482C currents after modifi cation with DTNB. ZD7288 Figure 5. State-dependent block by ZD7288 during reversed gating. (A) 359C-482C currents after modifi cation with DTNB. ZD7288
(100 μM) was applied during the periods indicated. The sequential fi rst and second current traces during which ZD7288 was applied
are shown. Block at +50 mV occurred with τ = 300 ± 12 ms (n = 3 patches). Reversed Gating Is Sensitive to cAMP and to a Mutation
in the Pore What is the physical basis for the reversed gating seen in
modifi ed channels, and how might this gating process
be modulated? We fi rst examined the effect of cAMP, a
physiological ligand of HCN channels, on the reversed
gating. Addition of cAMP to Cd2+-modifi ed 359C-482C
currents practically eliminated the time-dependent
relaxations (Fig. 4 A, left). Similarly, relaxations were
largely eliminated in DTNB-modifi ed currents, al-
though some residual time-dependent gating processes
were still evident (Fig. 4 A, right). These residual relaxa-
tions were not affected by increasing the concentration
of cAMP (to 1 mM; unpublished data), demonstrating
that this effect is not due to a DTNB-induced reduction
of channel affi nity for cAMP. The sensitivity to cAMP
suggested that the reversed gating might represent
some form of inactivation process, since inactivation
of wild-type spHCN1 is also removed by cAMP (Gauss
et al., 1998). Another manipulation that can remove in-
activation is the mutation F459L within the pore (Shin
et al., 2004). We therefore tested whether this mutation
could also eliminate the reversed gating relaxations To exclude the possibility that this difference in rates
arose by virtue of any intrinsic voltage dependence of
block, we used cAMP instead of voltage to open the
channels at a constant voltage of −120 mV (Fig. 5 B). In the presence of cAMP, the rate of ZD7288 block was
increased 30-fold compared with block in the absence
of cAMP. The rate observed in cAMP at −120 mV was
similar to that observed at +50 mV in the absence of
cAMP, indicating a lack of intrinsic voltage dependence
of ZD7288 block over this 170-mV voltage range. This is
consistent with the lack of intrinsic voltage dependence 277 Prole and Yellen Figure 5. State-dependent block by ZD7288 during reversed gating. (A) 359C-482C currents after modifi cation with DTNB. ZD7288
(100 μM) was applied during the periods indicated. The sequential fi rst and second current traces during which ZD7288 was applied
are shown. Block at +50 mV occurred with τ = 300 ± 12 ms (n = 3 patches). The graph shows cumulative block of currents by ZD7288
(100 μM) applied for 1 s during each pulse at the voltage indicated. Pulses were applied every 5 s. Block was virtually irreversible over
the time course studied, shown by the absence of recovery upon washout. 278
Reversed Voltage Dependence of spHCN Channels Reversed Gating Is Sensitive to cAMP and to a Mutation
in the Pore The graph shows cumulative block of currents by ZD7288
(100 μM) applied for 1 s during each pulse at the voltage indicated. Pulses were applied every 5 s. Block was virtually irreversible over
the time course studied, shown by the absence of recovery upon washout. Cumulative block occurred slowly when ZD7288 was applied
at −120 mV (τ 13 s), but much more rapidly when applied at +50 mV (τ 460 ms). Note ZD7288-sensitive residual steady-state cur-
rent was evident at −120 mV, comprising 8% of maximum ZD7288-blockable inward current in this patch. (B) 359C-482C current
traces after modifi cation with DTNB (left) and after subsequent application of cAMP (100 μM). ZD7288 was then applied for 1 s during
pulses to −120 mV in the presence of cAMP (right). Sequential fi rst and second traces during which ZD7288 was applied are shown. Block occurred with τ 460 ms. channels, there is a concomitant change in the accessi-
bility of ZD7288 to the channel pore. observed in a previous study (Shin et al., 2001). Fig. 5 A also shows that modifi ed currents display a re-
sidual steady-state current at −120 mV that is blocked
by ZD7288. The slow rate at which current is blocked
at −120 mV has implications for the structural etiology
of this residual steady-state current. It suggests that this
current refl ects either channels open with low prob-
ability (whose drug entry rate is proportional to open
probability), or the presence of an inherently “leaky”
(but only slowly blockable) inactivated state. A small
separate population of high open-probability channels
would be expected to be blocked at a faster rate (e.g.,
Proenza and Yellen, 2006). Cross-linking S4–S5 and Post-S6 Alters Channel
Regulation by cAMP Cross-linking S4–S5 and Post-S6 Alters Channel
Regulation by cAMP Modifi cation with DTNB led to a dramatic lock-open
effect, with some residual time-dependent current that
exhibited reversed voltage dependence (Fig. 6 A, right). These dramatic effects of modifi cation were not seen
for channels in which cysteines were introduced only
at position 359 or 482 (see Fig. S2, available at http://
www.jgp.org/cgi/content/full/jgp.200609590/DC1). Interestingly, at fi rst glance, results shown in Fig. 6 A
and Fig. 4 A seem somewhat contradictory. In Fig. 4 A,
cAMP removes a proposed time-dependent inactivation
process, whereas in Fig. 6 A, currents were inhibited,
suggesting a disruption of cAMP effects. However, the
overall inhibitions seen on modifi cation with Cd2+ or
DTNB in the presence of cAMP (Fig. 6 A) are consistent
with the observation that modifi cation with these rea-
gents in the absence of cAMP produced smaller mean
increases in current than cAMP itself (legend to Fig. 2). Taken together, these results suggest that after modifi -
cation with Cd2+ or DTNB, cAMP can largely remove
the time- dependent processes in Fig. 4 A, but can no
longer increase current to the full original extent pos-
sible before modifi cation (see Fig. 2). We hypothesized
that inhibition seen after modifi cation of 359C-482C
channels with either Cd2+ or DTNB in the presence of
cAMP (Fig. 6 A) resulted from an inability of cAMP to
fully remove inactivation from cross-linked channels. Cross-linking S4–S5 and Post-S6 Alters Channel
Regulation by cAMP (B) Ef-
fects of Cd2+ (130 nM, left) or
DTNB (right) on 359C-482C-
459L currents in the constant
presence of cAMP. We therefore tested whether the pore mutation F459L
could abolish this inhibition (Fig. 6 B). When channels
containing the 359C-482C-459L mutations were modi-
fi ed with Cd2+ (left) or DTNB (right), currents were
locked open, but there was no concomitant inhibition. This suggests that cross-linking the S4–S5 linker and
C-linker regions does impair the ability of cAMP to re-
move inactivation from these channels. We therefore tested whether the pore mutation F459L
could abolish this inhibition (Fig. 6 B). When channels
containing the 359C-482C-459L mutations were modi-
fi ed with Cd2+ (left) or DTNB (right), currents were
locked open, but there was no concomitant inhibition. This suggests that cross-linking the S4–S5 linker and
C-linker regions does impair the ability of cAMP to re-
move inactivation from these channels. arise through a single common cross-linking process. Modifi cation with DTNB led to a dramatic lock-open
effect, with some residual time-dependent current that
exhibited reversed voltage dependence (Fig. 6 A, right). These dramatic effects of modifi cation were not seen
for channels in which cysteines were introduced only
at position 359 or 482 (see Fig. S2, available at http://
www.jgp.org/cgi/content/full/jgp.200609590/DC1). Interestingly, at fi rst glance, results shown in Fig. 6 A
and Fig. 4 A seem somewhat contradictory. In Fig. 4 A,
cAMP removes a proposed time-dependent inactivation
process, whereas in Fig. 6 A, currents were inhibited,
suggesting a disruption of cAMP effects. However, the
overall inhibitions seen on modifi cation with Cd2+ or
DTNB in the presence of cAMP (Fig. 6 A) are consistent
with the observation that modifi cation with these rea-
gents in the absence of cAMP produced smaller mean
increases in current than cAMP itself (legend to Fig. 2). Taken together, these results suggest that after modifi -
cation with Cd2+ or DTNB, cAMP can largely remove
the time- dependent processes in Fig. 4 A, but can no
longer increase current to the full original extent pos-
sible before modifi cation (see Fig. 2). We hypothesized
that inhibition seen after modifi cation of 359C-482C
channels with either Cd2+ or DTNB in the presence of
cAMP (Fig. 6 A) resulted from an inability of cAMP to
fully remove inactivation from cross-linked channels. arise through a single common cross-linking process. Cross-linking S4–S5 and Post-S6 Alters Channel
Regulation by cAMP Cross-linking S4–S5 and Post-S6 Alters Channel
Regulation by cAMP When performed in the presence of cAMP, modifi ca-
tion of 359C-482C channels with cross-linking agents
also had dramatic effects on gating. Fig. 6 shows the
effect of Cd2+ or DTNB on 359C-482C currents in the
constant presence of cAMP. Cd2+ increased the steady-
state current at +50 mV, indicating a lock-open effect,
but also caused a marked reduction in total current
amplitude (Fig. 6 A, left). These two effects could not
be separated by using a lower concentration of Cd2+
(10 nM; unpublished data), suggesting that they may These results indicate that during the gating process
that underlies reversed voltage dependence of modifi ed 278 arise through a single common cross-linking process. Modifi cation with DTNB led to a dramatic lock-open
effect, with some residual time-dependent current that
hibi
d
d
l
d
d
(Fi
6 A
i h )
We therefore tested whether the pore mutation F459L
could abolish this inhibition (Fig. 6 B). When channels
containing the 359C-482C-459L mutations were modi-
fi d
i h Cd2+ (l f )
DTNB ( i h )
Figure 6. Cross-linking S4–S5
and post-S6 produces tonic
inactivation that can no lon-
ger be completely removed by
cAMP. (A) Effects of Cd2+ (130
nM, left) or DTNB (right) on
359C-482C currents in the con-
stant presence of cAMP. (B) Ef-
fects of Cd2+ (130 nM, left) or
DTNB (right) on 359C-482C-
459L currents in the constant
presence of cAMP. Figure 6. Cross-link
and post-S6 produ
inactivation that can
ger be completely re
cAMP. (A) Effects of C
nM, left) or DTNB (
359C-482C currents i
stant presence of cAM
fects of Cd2+ (130 nM
DTNB (right) on 35
459L currents in the
presence of cAMP. Figure 6. Cross-linking S4–S5
and post-S6 produces tonic
inactivation that can no lon-
ger be completely removed by
cAMP. (A) Effects of Cd2+ (130
nM, left) or DTNB (right) on
359C-482C currents in the con-
stant presence of cAMP. (B) Ef-
fects of Cd2+ (130 nM, left) or
DTNB (right) on 359C-482C-
459L currents in the constant
presence of cAMP. Figure 6. Cross-linking S4–S5
and post-S6 produces tonic
inactivation that can no lon-
ger be completely removed by
cAMP. (A) Effects of Cd2+ (130
nM, left) or DTNB (right) on
359C-482C currents in the con-
stant presence of cAMP. Prole and Yellen TA B L E I This is in contrast to
the results presented in this study, which showed stabi-
lization of open (and possibly inactivated) states upon
cross-linking. This suggests that highly specifi c inter-
actions between the S4–S5 linker and post-S6 may be
involved in channel opening, inactivation, and closure,
respectively. Such interactions are apparently not criti-
cal for gating to occur, as HCN2 channels in which the
C-linker is partially deleted still show voltage-dependent
gating (Decher et al., 2004). However, the potential
clearly exists for interaction of these two domains to
dramatically modulate gating under appropriate con-
ditions, and our results indicate that there is likely to
be relative motion between the two domains during
gating. Interaction of the S4–S5 linker with the post-S6
has also been proposed for the depolarization-activated
channels Kv1.2 (Long et al., 2005) and hERG (Tristani-
Firouzi et al., 2002; Ferrer et al., 2006), although it is
not yet clear how interactions of the S4–S5 linker and
post-S6 may differ between these respective channels in
different gating states. Gating of modifi ed channels at negative voltages can
limit access of ZD7288 to the channel pore, as previ-
ously seen for both activation and inactivation gating of
spHCN1 (Shin et al., 2001, 2004). This suggests involve-
ment of the lower S6 in the gating process, though the
actual point at which ion fl ow is prevented could either
be at the S6 bundle crossing (as in Shaker channels; del
Camino and Yellen, 2001), or at an S6-coupled selectiv-
ity fi lter gate (Flynn and Zagotta, 2001; Cordero- Morales
et al., 2006). How might bridging between 359C in the S4–S5
linker and 482C in the C-linker produce the alteration
in gating? One possibility is that bridging produces par-
tial or complete immobilization of the main S4 voltage
sensor, and that this primary effect prevents deactiva-
tion but permits a rather separate inactivation process,
with its own voltage dependence, to dominate. Another
possibility is that bridging prevents a relative motion of
the S4–S5 linker and C-linker that is crucial to deactiva-
tion but not to inactivation. These same gating processes may be affected by native
salt bridges between these two regions. It also seems pos-
sible that physiologically relevant ions or molecules (e.g.,
divalent ions, PIP2) might intercalate between these two
regions (both of which contain several charged resi-
dues), to either facilitate or inhibit their interaction. TA B L E I In
addition, alteration of the exact disposition and inter-
actions of S4, S4–S5, and C-linker regions may underlie
some of the more complex effects of cross-linking, such
as the inhibition observed in the presence of cAMP. TA B L E I The closure at negative voltages bears several specifi c
similarities to the inactivation process seen for wild-type
spHCN1 (Shin et al., 2004): it is sensitive to cAMP; it is
prevented by the mutation F459L; and it regulates
access of ZD7288 to the pore (see Table I for a summary
of experimental manipulations in relation to HCN
channel gating). TA B L E I
Comparison of Depolarization- and Hyperpolarization-induced Closure
in spHCN1 Channels
“Activation gating”
“Inactivation gating”
Closed at positive V
Closed at negative V
cAMP opens
(shift in g-V in F459L)a
cAMP opens
(removal of inactivation)
359C-482C bridge locks openb
F459L removes inactivationa
Common features
When closed, both prevent ZD7288 entry from insidea,b,c
Both locked open by 462C-Cd2+-466C bridgea,d
aShin et al., 2004. bThis study. cShin et al., 2001. dRothberg et al., 2003. Comparison of Depolarization- and Hyperpolarization-induced Closure
in spHCN1 Channels
“Activation gating”
“Inactivation gating”
Closed at positive V
Closed at negative V
cAMP opens
(shift in g-V in F459L)a
cAMP opens
(removal of inactivation)
359C-482C bridge locks openb
F459L removes inactivationa
Common features
When closed, both prevent ZD7288 entry from insidea,b,c
Both locked open by 462C-Cd2+-466C bridgea,d
aShin et al., 2004. bThis study. cShin et al., 2001. dRothberg et al., 2003. Comparison of Depolarization- and Hyperpolarization-induced Closure
in spHCN1 Channels The residual voltage dependence of modifi ed 359C-
482C channels is about one quarter that of unmodifi ed
channels, as judged from the steepness of the Boltz-
mann curves (Fig. 3 B). This remaining voltage depen-
dence might result from S4 movement (perhaps limited
by the modifi cation), or it might be due to charge move-
ment elsewhere in the protein. S4-related movements
in Shaker can apparently occur in multiple steps, some
of which occur during the fi nal concerted opening tran-
sition (Pathak et al., 2005). Non–S4-related voltage de-
pendence is clearly seen for KcsA channels (which lack
the S4 voltage sensor domain entirely); for these chan-
nels, charged residues in the pore loop infl uence a volt-
age-dependent gating transition of the selectivity fi lter
(Cordero-Morales et al., 2006). two sites. These sites were located some distance away
(approximately three helical turns from the positions
described in the present study) within both the S4–S5
linker and the post-S6 and were reported to stabilize the
closed state (Decher et al., 2004). Reversed Voltage Dependence of spHCN Channels Origin of Voltage Dependence and Gating
in Cross-linked Channels Forming a constitutive interaction between the S4–S5
and C-linker residues studied here essentially reverses
the net voltage dependence of gating (in the absence of
cAMP), or leads to largely time-independent currents
(in the presence of cAMP). It appears that the bridging
interaction prevents normal deactivation at positive
voltages but allows the inactivation that is normally seen
in the absence of cAMP at negative voltages to persist. The result is reversed voltage dependence; like Shaker
potassium channels, the modifi ed channels are mostly
closed at negative voltage and open at positive voltage. Inhibition of cAMP Effi cacy by Cross-linking D I S C U S S I O N Interaction of S4–S5 and Post-S6 The results presented here show that the S4–S5 linker
and C-linker regions of spHCN1 channels come into
close proximity and can interact during gating. The pro-
found effects of Cd2+ and DTNB on 359C-482C channels
seem likely to result from cross-linking of these two resi-
dues, via a metal bridge or disulfi de bridge, respectively,
although we cannot completely exclude the possibility
that independent modifi cations at both sites interact
to induce the observed effects. Close proximity of the
S4–S5 linker and C-linker shown here for spHCN1 is
consistent with proposals for the related HCN2 chan-
nel, based on extensive mutagenesis (Decher et al.,
2004). The interactions described for HCN2 were in-
ferred from apparent interaction of mutant effects at 279 Prole and Yellen TA B L E I R E F E R E N C E S Bell, D.C., H. Yao, R.C. Saenger, J.H. Riley, and S.A. Siegelbaum. 2004. Changes in local S4 environment provide a voltage- sensing
mechanism for mammalian hyperpolarization-activated HCN
channels. J. Gen. Physiol. 123:5–19. Cordero-Morales, J.F., L.G. Cuello, and E. Perozo. 2006. Voltage-
dependent gating at the KcsA selectivity fi lter. Nat. Struct. Mol. Biol. 13:319–322. Craven, K.B., and W.N. Zagotta. 2004. Salt bridges and gating in the
COOH-terminal region of HCN2 and CNGA1 channels. J. Gen. Physiol. 124:663–677. Decher, N., J. Chen, and M.C. Sanguinetti. 2004. Voltage-dependent
gating of hyperpolarization-activated, cyclic nucleotide-gated
pacemaker channels: molecular coupling between the S4-S5 and
C-linkers. J. Biol. Chem. 279:13859–13865. del Camino, D., and G. Yellen. 2001. Tight steric closure at the in-
tracellular activation gate of a voltage-gated K+ channel. Neuron. 32:649–656. Ferrer, T., J. Rupp, D.R. Piper, and M. Tristani-Firouzi. 2006. The S4-S5
linker directly couples voltage sensor movement to the activation
gate in the hERG K+ channel. J. Biol. Chem. 281:12858–12864. Flynn, G.E., and W.N. Zagotta. 2001. Conformational changes in
S6 coupled to the opening of cyclic nucleotide-gated channels. Neuron. 30:689–698. Implications for Other Voltage gated Channels
The reversed net voltage dependence of gating we
describe here seems to be made possible by the pres-
ence of multiple gating processes with opposing po-
larity in unmodifi ed spHCN1 channels. The balance
between these two processes can apparently dictate
the overall polarity of voltage dependence. Removal of
one process (deactivation) is therefore able to expose
a second process (inactivation) and lead to reversal
of voltage dependence. Interestingly, a similar prin-
ciple is exploited physiologically by hERG potassium
channels (Smith et al., 1996), and the phenomenon
can also be produced by mutation in Shaker potassium
channels (Miller and Aldrich, 1996). Similarly, many
other voltage-gated channels show multiple distinct
voltage-dependent gating processes, which are often
of opposite polarity. By analogy with the results pre-
sented here, biasing voltage sensor movement of these
channels in favor of activation (e.g., by glycosylation,
phosphorylation, toxin binding, or interaction of
appropriate regions) might be expected to lead to a
reversed voltage dependence in these channels also. It therefore seems possible that other voltage-gated
channels might undergo physiologically regulated or
evolutionary changes to their net voltage-dependent
polarity in this way. Gauss, R., R. Seifert, and U.B. Kaupp. 1998. Molecular identifi ca-
tion of a hyperpolarization-activated channel in sea urchin sperm. Nature. 393:583–587. Larsson, H.P., O.S. Baker, D.S. Dhillon, and E.Y. Isacoff. 1996. Inhibition of cAMP Effi cacy by Cross-linking Cross-linking of the S4–S5 segment and C-linker made it
impossible to achieve full activation of channels by cAMP 280 at negative voltages. This was not due to reduced affi nity
for cAMP and could be overcome by a pore mutation
(F459L) that abolishes inactivation. This suggests that
cross-linking S4–S5 to the C-linker impairs the ability of
cAMP binding to be transduced into an alteration of
gating. This makes intuitive sense given recent proposals
that the C-linker of HCN2 undergoes movements in re-
sponse to cAMP binding (Craven and Zagotta, 2004)
and that this region is important for transducing the
effects of cyclic nucleotide binding (Wang et al., 2001;
Zagotta et al., 2003). Cross-linking the C-linker to the
S4–S5 linker would presumably inhibit movement of the
C-linker to some degree and therefore impair down-
stream effects of cAMP binding. An alternative explana-
tion might be that cross-linking prevents normal
cAMP-dependent interactions of the C-linker with the
S4–S5 linker. It is interesting that cAMP is still capable of
largely eliminating the reversed gating of cross-linked
channels (Fig. 4), despite being unable to remove inac-
tivation completely. This apparent contradiction sug-
gests that multiple inactivation mechanisms may exist in
cross-linked 359C-482C channels: both a time- dependent
process that is still sensitive to cAMP, and a second pro-
cess that, due to cross-linking, is relatively insensitive to
cAMP. It seems possible that both of these processes
occur in wild-type unmodifi ed spHCN1, where they are
both sensitive to cAMP. Whether the gates limiting ion
fl ow during these two processes share a common struc-
tural origin is currently unclear. We thank members of the Yellen laboratory for helpful discus-
sions, especially John Dekker for many insightful suggestions,
Cathy Proenza for much initial help, and Tanya Abramson for ex-
pert technical assistance. We thank Dr. U.B. Kaupp (Forschun-
gszentrum Jülich, Jülich, Germany) for the spHCN1 clone. g
J
J
y
p
This work was supported by a grant from the National Heart,
Lung, and Blood Institute (HL70320) to G. Yellen. Lawrence G. Palmer served as editor. Lawrence G. Palmer served as editor. Submitted: 5 June 2006
Accepted: 27 July 2006 Submitted: 5 June 2006
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To cite this version: Angela Cheptea, Catherine Laroche-Dupraz. Is irrigation driven by the economic value of interna-
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May 2019
UMR INRA-Agrocampus Ouest SMART - LERECO
(Laboratoires d’Etudes et de Recherches en Economie sur les Structures et Marchés Agricoles, Ressources et Territoires) Working Paper SMART – LERECO N°19-05 Working Paper SMART – LERECO N°19-05
Is irrigation driven by the economic value of internationally traded
agricultural products?
Angela CHEPTEA
INRA, UMR SMART-LERECO, 35000 Rennes, France
Catherine LAROCHE-DUPRAZ
AGROCAMPUS OUEST, UMR SMART-LERECO, 35000 Rennes, France Working Paper SMART – LERECO N°19-05 Working Paper SMART – LERECO N°19-05 Working Paper SMART – LERECO N°19-05 Les Working Papers SMART-LERECO ont pour vocation de diffuser les recherches
conduites au sein des unités SMART et LERECO dans une forme préliminaire
permettant la discussion et avant publication définitive. Selon les cas, il s'agit de
travaux qui ont été acceptés ou ont déjà fait l'objet d'une présentation lors d'une
conférence scientifique nationale ou internationale, qui ont été soumis pour publication
dans une revue académique à comité de lecture, ou encore qui constituent un chapitre
d'ouvrage académique. Bien que non revus par les pairs, chaque working paper a fait
l'objet d'une relecture interne par un des scientifiques de SMART ou du LERECO et par
l'un des deux éditeurs de la série. Les Working Papers SMART-LERECO n'engagent
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already presented in a national or international scientific conference, articles which
have been submitted to a peer-reviewed academic journal, or chapters of an academic
book. While not peer-reviewed, each of them has been read over by one of the scientists
of SMART or LERECO and by one of the two editors of the series. However, the views
expressed in the SMART-LERECO Working Papers are solely those of their authors. This work is licensed under a Creative Commons Attribution – Noncommercial – NoDerivatives 4.0 International Corresponding author: Angela Cheptea
INRA
UMR SMART-LERECO
4 allée Adolphe Bobierre, CS 61103
35000 Rennes, France
Email : angela.cheptea@inra.fr
Phone: +33 (0)2 23 48 53 97
Fax: +33 (02) 23 48 53 80 Angela Cheptea
INRA
UMR SMART-LERECO
4 allée Adolphe Bobierre, CS 61103
35000 Rennes, France
Email : angela.cheptea@inra.fr
Phone: +33 (0)2 23 48 53 97
Fax: +33 (02) 23 48 53 80 1 Working Paper SMART – LERECO N°19-05 Is irrigation driven by the economic value of internationally traded
agricultural products? L'irrigation est-elle motivée par la valeur économique des produits agricoles
échangés sur le marché mondial ? L'irrigation est-elle motivée par la valeur économique des produits agricoles
échangés sur le marché mondial ? Abstract A recent trend of literature investigates how international trade compensates or accentuates the
differences in countries’ endowments in water resources and whether trade regulation should be
used to improve the use of water resources at the global level. In this paper, we develop a simple
model establishing a positive link between the demand for irrigation water of agricultural producers
and the international price of irrigated goods. Unlike previous works, that focus on the cost of water
resources, we emphasize the price of traded goods as a key element of the shadow value of water
used in agriculture. We test our model empirically using data on 159 irrigated crops exported by
183 countries, and find that countries’ irrigation behavior is strongly linked to the global price of
crops. This indicates that agricultural producers internalize the price of irrigation water. The export
price effect is stronger when countries are net exporters of irrigated crops and weaker for
internationally traded crops that constitute a pillar of most countries’ domestic food security, such
as cereals. Our results provide elements for the broader issue of the economically efficient use of
water resources in agriculture. Keywords: water resources, virtual water, international trade, agri-food products, irrigation
JEL codes: Q17, Q25, F18, N50 2 Working Paper SMART – LERECO N°19-05 L'irrigation est-elle motivée par la valeur économique des produits agricoles
échangés sur le marché mondial ? 1.
Introduction The concept of virtual water, introduced in the early 1990s, refers to the volume of water used to
produce a good or service. It reveals aspects related to production, consumption, and trade in
agricultural goods overlooked by economic (monetary) indicators. Accordingly, the concept of
virtual water was rapidly identified as a potential indicator for guiding policy-makers on issues
related to water use, water scarcity, and water management in a world where many countries face
important water shortages (Antonelli and Sartori, 2014). Extensive recent works conducted by
agronomists and geographers have quantified the amount of water used for the production of main
agricultural products in different countries of the world (Mekonnen and Hoekstra, 2011a, 2011b,
2016). The amount of virtual water – the water footprint – is measured in terms of in cubic meters
of water used per kg of produced good (m3/kg). These works separate the green water, that
corresponds to the rainfall necessary for the production of one kilogram of each crop, from the blue
water, that corresponds to the irrigation water brought in surplus on farming plots. The concept of virtual water is closely associated with international trade. Exporting an agricultural
product can be interpreted as exporting the water footprint embedded in that product. Adopting this
perspective led to the emergence of the concept of virtual water trade. Hoekstra et al. (2011) define
the virtual water trade flow between two geographical entities as the volume of virtual water that is
being transferred as a result of product trade. Following this definition, virtual water trade can be
easily computed by combining data on water footprints with data on international trade in
agricultural products expressed in physical quantities. For the exporting country, virtual water trade
is a way to market its excess water resources. For the importing country, virtual water trade is the
water volume saved by choosing to import a good instead of producing it domestically. The concepts of water footprint and virtual water trade are employed almost exclusively with respect
to agricultural products, where water is an essential production input. Pioneer works on these
concepts led to the emergence of a recent trend of literature that uses virtual water trade to
understand the structure and evolution of the international trade network of agricultural goods and
to investigate the link between countries’ water resources and their water balance (e.g. Résumé Des travaux récents dans la littérature analysent comment le commerce international attenue ou
renforce les différences de dotation en eau entre les pays et si la réglementation du commerce
pourrait être utilisée pour améliorer l’utilisation des ressources en eau au niveau mondial. Dans ce
papier nous développons un modèle simple identifiant un lien positif entre la demande en eau
d’irrigation des producteurs agricoles et le prix international des produits irrigués. Contrairement
aux travaux précédents qui s’intéressent au coût des ressources en eau, nous mettons en avant le
prix des biens échangés comme un élément central du prix virtuel de l'eau d’irrigation. Nous testons
en suite notre modèle à l’aide des données sur 243 produits irrigués exportés par 185 pays et
trouvons un lien fort entre le comportement des pays en matière d’irrigation et le prix mondial des
produits irrigués. Ce résultat indique que les producteurs agricoles internalisent dans leur décisions
le prix de l'eau d'irrigation. L’effet du prix à l’exportation est plus fort lorsque les pays sont des
exportateurs nets de cultures irriguées et plus faible pour produits essentiels pour assurer la sécurité
alimentaire, tels que les céréales. Nos résultats enrichissent la discussion sur la question plus large
de l'utilisation rationnelle d’un point de vue économique des ressources en eau dans l’agriculture. Mots-clés : ressources en eau, eau virtuelle, commerce international, produits agro-alimentaires,
irrigation Classification JEL : Q17, Q25, F18, N50 Classification JEL : Q17, Q25, F18, N50 3 Working Paper SMART – LERECO N°19-05 Is irrigation driven by the economic value of internationally traded
agricultural products? 1.
Introduction Antonelli
and Sartori, 2014; Debaere, 2014; Gilmont, 2015, Duarte et al., 2016, 2019; Fracasso et al., 2016;
Sartori et al., 2017 ; Tuninetti et al., 2017). Some of these studies reveal inconsistencies between
virtual water trade and available water resources in net exporting countries, in contradiction with
theories of international trade. This questions the efficiency of water management not only at 4 Working Paper SMART – LERECO N°19-05 country level, but also on a global scale. For instance, Gilmont (2015) focuses on the agricultural
imports of North African and Middle East countries and concludes that increasing the imports of
certain food products and concentrating domestic production on crops well adapted to the aridity of
their climate would permit these countries to optimize the use of their limited water resources. Virtual water is used here to analyze countries’ strategies in terms of adjusting (structuring) their
imports to their water endowments and food security objectives. Other authors advocate the idea that virtual water trade can attenuate international water supply
inequities, and can prevent conflicts and wars even more than trade in other strategic goods, such as
gas and oil (e.g. De Angelis et al., 2017). A previous analysis by Ansink (2010) refutes this line of
reasoning, qualifying it as a flawed interpretation of comparative advantage in the production of
water-intensive goods. Wickeln (2015) questions more generally the use of virtual water trade and
water footprint concepts for formulating policy recommendations. In his opinion, world trade should
not be regulated to match countries’ virtual water trade with their water resources. Water is only
one of the many production inputs used in agriculture, and water-related technologies are so diverse
that virtual water is a less relevant indicator of comparative advantage than arable land or irrigated
area. Moreover, the water resource is not a global public good, like carbon emissions, and should
be managed locally. Hence, the notion of water saved by virtual water trade does not really make
sense, and leads to incorrect conclusions, such as consumers from rich countries with high water
footprint imports being responsible for the desertification of low-income exporting countries. Overall, Wickeln’s analysis highlights that virtual water and water footprints are not helpful
indicators of optimal strategies regarding water resources because they lack information on the
economic implications of water use (the opportunity cost or the scarcity value of this input). 1.
Introduction Still, the drawbacks associated with using these indicators cannot mask the need for a better
management of water use in agriculture. Rosegrant (2016) spots that the decline in water resources
in various regions of the world threatens the global food security and economic growth, particularly
from the perspective of increasing climate change. The author calls for increased investment in
research technologies, agricultural systems and water-efficient varieties, as well as for the
implementation of country-specific water management public policies adapted to countries’
resource availability and economic development prospects. As already mentioned by Novo et al
(2009), there is still a lack of policy oriented approaches assessing the trade-offs of implementing a
virtual water strategy. We attempt to bridge this gap by providing evidence on the link between the
market-induced incentives of economic agents and water use in agriculture. Standard international trade models incorporate traditional factors of production such as capital,
labor and land, but do not account for countries' water endowments. A commonly invoked argument 5 Working Paper SMART – LERECO N°19-05 of this state of the art is that the markets for water are thin or lacking. Therefore, the economic value
of the water used in agricultural production is rarely addressed in the trade literature. For example,
Debaere (2014) uses a Heckscher-Ohlin framework and shows that water is a source of comparative
advantage, although it affects international production and trade patterns (specializations) to a less
extent than traditional production factors (capital and labor). Still, he reveals an unsustainable use
of water in water-scarce countries, while water-abundant countries treat water as a free good. The
recent work by Afkhami et al. (2018) combines water (matched with arable land) and capital (both
human and physical) in a Heckscher-Ohlin model and shows that water-scarce developing countries
may specialize in water-intensive crops because they lack capital to specialize in non-agricultural
sectors. The price of virtual water is remotely addressed in the above-mentioned works. Tuninetti et al. (2017) use the average country-level agricultural production costs to value virtual water of
internationally trade agricultural and food products. Novo et al. (2009) use the shadow price or
scarcity value of irrigation (blue) water to compute the economic value of virtual water in the case
of Spain. Authors recommend the use of other socio-economic indicators to improve the assessment
of the real opportunity cost of water. Fracasso et al. 1.
Introduction (2014, 2016) include the price of irrigation
water in their analysis of virtual water trade determinants, but do not find a robust effect. Instead of
considering the cost of water in agricultural production, in the current paper, we focus on the
opportunity price of irrigation water. Precisely, we use the price of agricultural and food products
in international markets. More specifically, we question whether a country’s irrigation choices depends on the expected
revenue from exporting the irrigated crops. By answering this question, we provide elements for the
broader issue of the link between the use of water resources in agriculture and the market value of
produced agricultural goods. One of our contributions is specifically aimed at directly linking the
volume of virtual water traded to the price of the agricultural products, for all unprocessed products
and world countries for which the data are available. This analysis sheds light on how the established
international trade patterns influence the choice of agricultural products that benefit from irrigation
and the more or less intensive use of irrigation water in agricultural production in different regions
of the world. The paper is structured as follows. In the next section, we develop a simple model linking the use
of irrigation to the export price of goods and other determinants. Section 3 summarizes the data we
used for the empirical validation of our model. The main estimation results are presented and
discussed in section 4. In section 5, we investigate the specific case of products for which countries
are net exporters and for cereals. Our main findings are resumed in section 6. 6 Working Paper SMART – LERECO N°19-05 2.
The economic productivity (shadow value) of irrigation water 2. In this section we use a simple model to establish a link between the demand for irrigation water of
agricultural producers and the international price of irrigated goods. Unlike previous works, that
analyze the relationship between countries’ water resources and their virtual water trade only in
volume terms (quantities), we emphasize the price of traded goods as a key element of the shadow
value of water used in agriculture. The reference analytical framework employed by most existing studies is that of a standard
Heckscher-Ohlin trade model with water resources as an additional production factor. This model
predicts that countries with large water endowments should specialize in water-intensive
agricultural products and export the latter, while countries facing water scarcity should specialize
in products adapted to arid climates and import water-intensive commodities. However, previous
studies provide many examples of countries that deviate from this result (Antonelli and Sartori,
2014; Debaere, 2014; Gilmont, 2015). Thus, the water-scarce Jordan and Morocco are major
exporters of tomatoes, a water-intensive agricultural product. Similarly, cotton – another water-
intensive agricultural commodity – accounts for a large share of the exports revenues of arid Central
Asian countries. All these specializations arise due to an intensive use irrigation. Since irrigation is costly, we expect that countries privilege irrigating crops with a higher expected
revenue, i.e. agricultural goods that can be sold at a higher price on international markets. An
empirical confirmation of this statement would indicate that producers internalize the irrigation cost. On the contrary, the rejection of a positive link between the decision to irrigate and the export price
of agricultural goods would point to the fact that agricultural producers consider irrigation as a
complementary public good. Since water (W) is an essential factor for the production of any agricultural good, we consider a
production function embedding this factor along with other production factors combined, for
simplicity, under a single composite factor (X). The composite factor comprises the generic factors
labor and capital, as well as agriculture-specific factors, arable land and inputs (including seeds,
fertilizers, pesticides, etc.). 2.
The economic productivity (shadow value) of irrigation water With a Cobb-Douglass production function, the amount of good k
produced in country i is: 𝑦𝑖𝑘= 𝑓(𝑋𝑖𝑘, 𝑊𝑖𝑘) = 𝑋𝑖𝑘
1−𝛼𝑘∙𝑊𝑖𝑘
𝛼𝑘
(1) (1) 7 Working Paper SMART – LERECO N°19-05 where 𝑋𝑖𝑘 and 𝑊𝑖𝑘 are the necessary amounts of composite factor and, respectively, water, to
produce 𝑦𝑖𝑘 units of product k, and 0 < 𝛼𝑘< 1.1 Parameter 𝛼𝑘 reflects how water intensive is
product k in country i. As in a standard Heckscher-Ohlin trade model, we assume fixed factor endowments for all
countries: 𝑋̅𝑖= ∑𝑋𝑖𝑘
𝑘
; 𝑊̅𝑖≥∑𝑊𝑖𝑘
𝑘
, perfect factor mobility across sectors (within each
country), but none at the international level (across countries). These assumptions lead to factor
price equalization in each country. Let 𝑐𝑖 and 𝑟𝑖 represent the marginal cost of the composite factor
and, respectively, water in i. Water resources comprise both rainfall (green water) and groundwater
and stream flow (blue water), the two being substitutes in agricultural production (unlike other
production factors): 𝑊𝑖𝑘= 𝐵𝑙𝑢𝑒𝑊𝑖𝑘+ 𝐺𝑟𝑒𝑒𝑛𝑊𝑖𝑘
(2) (2) At country level: 𝑟𝑜𝑢𝑛𝑑𝑊𝑎𝑡𝑒𝑟𝑖 ≥∑𝐵𝑙𝑢𝑒𝑊𝑖𝑘
𝑘
+ ∑𝐺𝑟𝑒𝑒𝑛𝑊𝑖𝑘
𝑘
(3) 𝑊𝑖̅̅ = 𝑅𝑎𝑖𝑛𝑓𝑎𝑙𝑙𝑖+ 𝐺𝑟𝑜𝑢𝑛𝑑𝑊𝑎𝑡𝑒𝑟𝑖 ≥∑𝐵𝑙𝑢𝑒𝑊𝑖𝑘
𝑘
+ ∑𝐺𝑟𝑒𝑒𝑛𝑊𝑖𝑘
𝑘
(3) (3) Farmers decide only how much to irrigate each crop, and take the amount of rainfall as exogenous
and at no cost. Farmers decide only how much to irrigate each crop, and take the amount of rainfall as exogenous
and at no cost. Under perfect competition, factor costs reflect the market-induced remuneration of production
factors. Still, they may not correspond to their actual economic value. Indeed, most countries don’t’
have an explicit market for water resources, and we observe a great diversity in the way countries
manage water access and establish water bills. Consequently, we treat factor costs as given
(exogenous). We consider farmers as price-takers and each product k to be internationally traded at a unique world
price 𝑝𝑘. Farmers maximize their profits by taken as given the technological and endowment
constraints, the country-specific costs of production factors, and the world prices of cultivated crops: 𝜋𝑖𝑘= 𝑝𝑘∙𝑦𝑖𝑘−𝑐𝑖∙𝑋𝑖𝑘−𝑟𝑖∙𝐵𝑙𝑢𝑒𝑊𝑖𝑘
(5) (5) Using (1) and (2) in (5), and considering that rainfall water comes at no cost, we obtain: and (2) in (5), and considering that rainfall water comes at no cost, we obtain: 𝜋𝑖𝑘= 𝑝𝑘∙𝑋𝑖𝑘
1−𝛼𝑘∙(𝐵𝑙𝑢𝑒𝑊𝑖𝑘+ 𝐺𝑟𝑒𝑒𝑛𝑊𝑖𝑘)𝛼𝑘−𝑐𝑖∙𝑋𝑖𝑘−𝑟𝑖∙𝐵𝑙𝑢𝑒𝑊𝑖𝑘
(6) (6) The first order conditions (
𝜕𝜋𝑖𝑘
𝜕𝑋𝑖𝑘= 0;
𝜕𝜋𝑖𝑘
𝜕𝐵𝑙𝑢𝑒𝑊𝑖𝑘= 0) imply: order conditions (
𝜕𝜋𝑖𝑘
𝜕𝑋𝑖𝑘= 0;
𝜕𝜋𝑖𝑘
𝜕𝐵𝑙𝑢𝑒𝑊𝑖𝑘= 0) imply: 𝑋𝑖𝑘=
1−𝛼𝑘
𝛼𝑘∙
𝑟𝑖
𝑐𝑖∙(𝐵𝑙𝑢𝑒𝑊𝑖𝑘+ 𝐺𝑟𝑒𝑒𝑛𝑊𝑖𝑘)
(7) (7) We can even consider that production technologies vary across countries, i.e. country-specific parameter 8 8 er SMART – LERECO N°19-05 Working Paper SMART – LERECO N°19-05 𝑝𝑘
∗= (
𝑐𝑖
1−𝛼𝑘)
1−𝛼𝑘∙(
𝑟𝑖
𝛼𝑘)
𝛼𝑘
(8) (8) 𝑝𝑘
∗= (
𝑖
1−𝛼𝑘)
∙(
𝑖
𝛼𝑘)
(8)
𝑦𝑖𝑘
∗= (
1−𝛼𝑘
𝛼𝑘)
1−𝛼𝑘∙(
𝑟𝑖
𝑐𝑖)
1−𝛼𝑘∙(𝐵𝑙𝑢𝑒𝑊𝑖𝑘+ 𝐺𝑟𝑒𝑒𝑛𝑊𝑖𝑘)
(9) 𝑦𝑖𝑘
∗= (
1−𝛼𝑘
𝛼𝑘)
1−𝛼𝑘∙(
𝑟𝑖
𝑐𝑖)
1−𝛼𝑘∙(𝐵𝑙𝑢𝑒𝑊𝑖𝑘+ 𝐺𝑟𝑒𝑒𝑛𝑊𝑖𝑘)
(9) (9) where 𝑝𝑘
∗ and 𝑦𝑖𝑘
∗ are the price and production values that maximize producers’ profits. By definition, blue water footprint of product k in country i is the amount of cubic meters of
irrigation water used to produce one tone of this product. It represents producers’ unitary demand
for irrigation water. 2 Water endowment in our case corresponds to the water that can be used in agriculture. It comprises only the share of
the rainfall in land areas dedicated to agriculture (some of the country’s rainfall may be in forests, mountains, inhabited
areas, etc.). Note that 𝐺𝑟𝑒𝑒𝑛𝑊𝑖𝑘 is proportional to the share of country i’s arable land dedicated to the cultivation of
crop k. 3.
Data for the empirical analysis The present section presents the empirical data we employ to test the relationship between the
producers’ demand for irrigation water and the international price of irrigated goods resulting from
our model (equation (11) from section 2). We use the data on water footprint computed by Mekonnen and Hoekstra (2011a, 2016).3 This
database provides information on blue and green water footprints for 353 agricultural products in
207 countries and territories, computed as an annual average over the 1996-2005 period. Blue water footprints provide information on how intensively each agricultural product is irrigated
in each country (in terms of m3 of irrigation water per ton of product). Although farmers might also
decide how extensively to irrigate each product (the size of irrigated farming plots),4 irrigation
requires an adapted infrastructure that cannot be rapidly extended or relocated. We consider
countries’ irrigation infrastructures, and accordingly the size of irrigated farming plots, as constant. This is a reasonable assumption for a data panel spanning across only ten years. Under these
conditions, we assume that farmers decide only which products to farm on irrigated plots. Green water footprints permit to control for the fact that water-intensive products require more
intensive irrigation. Mekonnen and Hoekstra (2011a, 2016) compute green water footprints by
taking into account country and product-specific agronomic production systems. Moreover, in the
absence of irrigation, farmers place (grow) water-intensive products in water abundant areas. This
supports our choice to use green water footprints as a proxy for the water-use intensity of irrigated
products (parameter 𝛼𝑘 in our model). Since data on green water footprints varies across countries,
the use of this variable permits to consider that countries adopt different production functions. We use the export price (unit value) as a proxy for the market value of each product. We prefer this
value to the domestic price for two reasons. First, unlike domestic prices that can be strongly
distorted by agricultural policies (e.g. subsidies, quotas) or the size of demand, export prices reflect
more accurately the market value of a product. Second, export prices can be computed at the same
level of product disaggregation as our water footprint data (6-digit of the HS classification). Domestic prices are usually collected at a different (broader) level of product definition. At country level: We use expression (9) to express the blue water footprint of product k in country
i as: 𝐵𝑙𝑢𝑒𝑊𝐹𝑃𝑖𝑘=
𝑊𝑖𝑘
𝑦𝑖𝑘
∗−
𝐺𝑟𝑒𝑒𝑛𝑊𝑖𝑘
𝑦𝑖𝑘
∗
= (
1−𝛼𝑘
𝛼𝑘)
𝛼𝑘−1
∙(
𝑟𝑖
𝑐𝑖)
𝛼𝑘−1
−
𝐺𝑟𝑒𝑒𝑛𝑊𝑖𝑘
𝑦𝑖𝑘
∗
(10) (10) 𝐺𝑟𝑒𝑒𝑛𝑊𝑖𝑘 is the amount of rainfall on areas dedicated to cultivating this product.2 Relying on
expression (3), we can consider the last term of equation (10) as a positive function of the overall
rainfall in country i:
𝐺𝑟𝑒𝑒𝑛𝑊𝑖𝑘
𝑦𝑖𝑘
∗
= 𝑓(𝑅𝑎𝑖𝑛𝑓𝑎𝑙𝑙𝑖). Expressing 𝑐𝑖 from (8) and plugging it into equation (10), we obtain the following expression for
the use of irrigation (blue water footprint) that reflects farmers’ profit maximization decision: 𝐵𝑙𝑢𝑒𝑊𝐹𝑃𝑖𝑘= 𝛼𝑘(
1
𝑟𝑖) 𝑝𝑘−𝑓(𝑅𝑎𝑖𝑛𝑓𝑎𝑙𝑙𝑖)
(11) (11) Equation (11) shows that farmers’ demand for irrigation decreases with the cost of irrigation and
with the amount of rainfall. On the opposite, farmers tend to irrigate more intensively water-
intensive products (with large 𝛼𝑘) and products trade at a higher price. In this paper, we focus on irrigation water, i.e. the use of water resources resulting from a prior
decision taken by farmers to build and maintain an irrigation infrastructure; farmers choose which
products to irrigate and how intensively. On the opposite, farmers have no say on the amount of
rainfall used by their crops. Since most countries in the world irrigate some crops, our focus on
irrigation water does not hamper the generalization of the results we obtain. 9 Working Paper SMART – LERECO N°19-05 4 To our knowledge, there is no database collecting statistical data on the size of irrigated farming plots by product and
country. This data is available at http://waterfootprint.org/en/resources/waterstat/ . p
p
g
owledge, there is no database collecting statistical data on the size of irrigated farming plots by product an 3 This data is available at http://waterfootprint.org/en/resources/waterstat/ . 3.
Data for the empirical analysis We use the BACI trade database and compute the export unit value as the ratio between the monetary
value of exports and the amount of traded products expressed in physical units (tons). Since BACI
trade data are in FOB terms, export unit values are not inflated by trade costs (e.g. when products
are shipped to more remote markets, require special transportation and storage facilities due to high 10 Working Paper SMART – LERECO N°19-05 perishability, or face high import tariffs). We observe a high variation of unit values across
destinations, for a given exporting country and good. We consider two types of product-specific export prices: world average exports prices (𝑝𝑘) and
country-specific export prices (𝑝𝑖𝑘). The former reflect the expected price on the global market; the
latter corresponds to the actual (observed) price at which countries sell the products to their trade
partners. To obtain country-specific prices 𝑝𝑖𝑘 for each product, we take the average unit value
across the country’s export destinations, weighted by the share of each destination market in global
agri-food imports. We compute world prices 𝑝𝑘 as the average of country-specific export prices,
using the same weights as above. We approximate prices by unit values (i.e. as the value divided by
the volume of trade). However, small or exceptional trade flows do not report consistently both
types of data (value and volume), generating a few abnormal unit values. To exclude these outliers,
for each product k we drop the bottom 5% and the top 5% of unit values in the data. The rainfall (𝑅𝑎𝑖𝑛𝑓𝑎𝑙𝑙𝑖) is the average value of annual precipitations (in mm) obtained from the
World Development Indicators database of the World Bank. It reflects the country’s level of water
abundancy, water-scarce countries having a lower level of precipitations. Unlike export prices and other explanatory variables in equation (11), water footprint data do not
vary across years. To reconcile these differences, for each time-varying explanatory variable we
take the annual average, computed over the same period as water footprints. For each country, data on water footprints covers only unprocessed agricultural commodities and
their domestic first-stage transformation. Hence, we are certain that the water footprint associated
with, say, Italian pasta corresponds to the water footprint of embedded Italian (not imported) wheat. This permits to disregard agri-food products obtained from imported inputs, such as English tea
produced from imported tealeaves. 3.
Data for the empirical analysis Overall, there are 243 products (HS 6-digit codes) and 185
countries in our final dataset. Table 1 summarizes the descriptive statistics for variables in our data
panel. 11 Working Paper SMART – LERECO N°19-05 Working Paper SMART – LERECO N°19-05 Table 1: Descriptive Statistics
Variable
Unit
Nb obs Mean Std. Dev. Min
Max
Blue water footprint
m3/ton
9 447
816
3 696
-
150 204
Green water footprint
m3/ton
9 447 2 526
6 452
4.00 279 397
Country specific export price
USD/ton
9 447
3.36
7.25
0.04 207.77
World average export price
USD/ton
9 447
3.22
3.20
0.20
61.70
Rainfall
mm
9 446
952
672
51
3 240
Average annual logarithmic growth rate
of
- the country specific export price
9 447
-0.06
1.16
-8.54
8.18
- the world average export price
9 447
-0.25
0.47
-2.14
1.87 Table 1: Descriptive Statistics 4.
Main estimation results We test the model derived in section 2 with empirical data by estimating the following equation: We test the model derived in section 2 with empirical data by estimating the following equation: 𝐵𝑙𝑢𝑒𝑊𝐹𝑖𝑘= 𝛽0 + 𝛽1 ∙𝑝𝑖𝑘+ 𝛽2 ∙𝑝𝑘+ 𝛽3 ∙𝐺𝑟𝑒𝑒𝑛𝑊𝐹𝑖𝑘+ 𝛽4 ∙𝑅𝑎𝑖𝑛𝑓𝑎𝑙𝑙𝑖+ 𝜀𝑖𝑘
(12)
where and 𝜀𝑖𝑘𝑡 is as zero mean noise term. According to equation (11), we expect the global price
𝑝𝑘 and the green water footprint 𝐺𝑟𝑒𝑒𝑛𝑊𝐹𝑖𝑘 to have a positive effect on irrigation, and rainfall
𝑅𝑎𝑖𝑛𝑓𝑎𝑙𝑙𝑖 to have a negative effect. We have no direct measure for countries’ marginal cost of
irrigation 𝑟𝑖, which reduces the use of irrigation. This cost may be reflected in the country-specific
export price 𝑝𝑖𝑘, or absorbed by country-specific fixed effects. (12) Results from estimating equation (12) are reported in column (1) of Table 2. All explanatory
variables enter the model with the expected sign. We find a positive and significant coefficient for
the global price of the irrigated product and a statistically non-significant coefficient for the country-
specific export price. These findings indicate that countries base their decision to irrigate on the
price at which products can be sold on the global market, and are consistent with general
assumptions of international trade models. Producers base their decisions on anticipated prices,
reflected by global prices in our model, without knowing the actual price at which they will be able
to sell their products on international markets, i.e. the country-specific export price in our model. We also find that water-abundant countries (with higher levels of rainfall) irrigate less. This
confirms our expectation that irrigation is less necessary in areas with natural water abundancy. The
positive and strongly significant coefficient for the green water footprint confirms that water-
intensive crops require more irrigation. 12 Working Paper SMART – LERECO N°19-05 In column (2) of Table 2, we add product fixed effects. The latter are collinear with the global export
price 𝑝𝑘, which is dropped from the estimation. Note that the effect of the country-specific export
price remains non-significant. This points out that countries’ irrigation response to the export price
is driven by variation across products.5 The estimation in column (3) includes country fixed effects, and drops the collinear rainfall variable. Exporter fixed effects control for the average level of countries’ export price, as well as for irrigation
costs. 5 Indeed, variable 𝑝𝑖𝑘 brings little additional information with respect to 𝑝𝑘 and other explanatory variables. The
coefficient of 𝑝𝑖𝑘 is barely significant even when we drop 𝑝𝑘 from the estimation. We also explored the variation of
country-specific export price 𝑝𝑖𝑘 across countries for the same globally traded product and across products exported by
the same country (results can be provided upon request). We found that the positive effect of 𝑝𝑖𝑘 comes mainly from
differences across products exported by the same country, and to a lower extend by cross-country differences in the
price of a given product. The effect of the price on the top 5% most expensive products exported by a country is 1.6
times stronger than the effect for the top 50% most expensive products. 6 Alternative measures capturing the time distribution of these variables (e.g. standard deviation and inter-quartile
distance) are highly correlated with the mean values (already included in the estimation) and do not bring any additional
information. Data on annual precipitations and other explanatory variables present small fluctuations across time.
Adding the average growth rates of these variables into the estimation yields no statistically significant effects. 4.
Main estimation results In this case, the effect of both global and country-specific export prices are positive and
significant. We interpret this result as follows. Not only do countries irrigate more intensively
products with higher global prices, but also they irrigate more intensively the products they are able
to sell at a higher price. To explore the variation of the export price across time, in columns (4), (5), and (6) of Table 2 we
add the average annual growth rates of these variables. This permits to include additional
information on the yearly variation of prices, even though our estimated equation has no time
dimension.6 Results are similar to our baseline estimation in column (1), and, in addition, show that
products with an increasing global price benefit from a more generous irrigation. This confirms that
countries intensify their irrigation efforts for products for which they expect a better remuneration
on the global market in the years to come. In the last two columns, we split the sample according to countries’ trade balance on the irrigated
(and exported) products. Unsurprisingly, the global export price has a significant effect only for net
exporters. Indeed, producers of crops for which domestic production does not meet domestic
demand (for which the country appears as a net importer) base their production decisions mainly on
domestic market evolutions and are less attracted by export opportunities, which involve complex
international transactions. On the contrary, producers of crops for which domestic production
exceeds domestic demand are more sensitive to the evolution of global demand and more prepared
to engage into export operations. This finding is consistent with Antonelli et al. (2017), who show
that intra-EU virtual water trade is dominated by a small number of exporting and importing
countries. 13 Working Paper SMART – LERECO N°19-05 5.
Product-level effects 5. As an illustration of the results found in section 4, in Figure 1 we picture the correlation between
the blue (irrigation) water footprint and the export unit value in the United States, for unprocessed
crops for which the country is a net exporter. It seems that the strong positive correlation between
these variables is driven to large degree by nuts, products that are highly irrigated and heavily
exported. The decision of American nut producers to intensively irrigate appears to be directly
linked to the high export price of nuts on international markets. The case of almonds is particularly
interesting. Almonds stand out with the highest irrigation rate (4,000 m3 per kg), the United States
being the main exporter of this product (accounting for 88% of world exports in 2017 according to
USDA, 2018). However, the irrigation of almonds and other nuts induces a high constraint for the
irrigation of other cultivated crops and generates major water-scarcities at the regional level. Tensions on the use of irrigation were particularly high in California, a state affected by successive
severe drought over the last decade. Differently, for cereals the correlation between irrigation and export price is very small, and
reflected in Figure 1 by an almost vertical line. Cereals are irrigated despite their relatively low
export price per ton with respect to other crops. This observation is consistent with the assumption
that the production of cereals is induced primarily by domestic demand, and only excess production
is sold on international markets and is subject to export speculations. Indeed, cereals are the main
product group subject to export restrictions worldwide, mainly for securing domestic supply and
meeting food security targets (Mendez-Parra et al., 2016). These observations suggest that the link between export price and countries irrigation behavior tends
to be stronger for heavily exported products, such as nuts, but weaker for commodities essential for
meeting domestic food security objectives, such as cereals and other field crops. In the same line of
thought, estimation results discussed in section 4 (column (2) of Table 2) indicate that most of the
price effect on countries’ irrigation behavior is related to the choice of irrigated products. This calls
for an analysis of our model at the level of specific groups of products. 5.
Product-level effects 14 Working Paper SMART – LERECO N°19-05 Table 2: Baseline estimations Full sample
Net exporters Net importers
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
Country-specific export price (𝑝𝑖𝑘)
9.17
-2.06
10.25 *
9.28
9.79
9.87
25.39
-3.25
(9.52)
(5.53)
(5.40)
(9.49)
(9.54)
(9.51)
(21.68)
(6.73)
World average export price (𝑝𝑘)
79.79 **
88.20 ***
79.55 **
79.64 **
79.47 **
112.44 *
44.16
(36.99)
(12.86)
(36.96)
(36.88)
(36.88)
(63.25)
(27.53)
Green water footprint
0.20 ***
0.20 ***
0.22 ***
0.20 ***
0.20 ***
0.20 ***
0.19 *
0.22 ***
(0.08)
(0.01)
(0.01)
(0.08)
(0.08)
(0.08)
(0.10)
(0.06)
Rainfall
-0.84 ***
-0.77 ***
-0.84 ***
-0.84 ***
-0.84 ***
-0.82 ***
-0.86 ***
(0.07)
(0.05)
(0.07)
(0.07)
(0.07)
(0.11)
(0.09)
Growth 𝑝𝑖𝑘
10.64
7.51
(22.31)
(22.08)
Growth 𝑝𝑘
158.61 *
157.70 *
(84.66)
(84.41)
Fixed effects
no
product
country
no
no
no
no
no
Number obs
9446
9446
9446
9446
9446
9446
4931
4515
R²
0.16
0.242
0.256
0.16
0.16
0.16
0.179
0.137
Fisher test
64.547
317.995
657.218
53.26
51.99
44.88
36.143
35.202
Notes: Standard errors in parentheses. ***, ** and * indicate statistical significance at 1%, 5%, and 10%. 15 Working Paper SMART – LERECO N°19-05 igure 1: Blue (irrigation) water footprints vs. export prices in the U.S. Notes: median export price in 2005, blue water footprints annual averages over 1996-2005,
all products within HS chapters 7-12 for which the country was a net exporter. Figure 1: Blue (irrigation) water footprints vs. export prices in the U.S. Notes: median export price in 2005, blue water footprints annual averages over 1996-2005,
all products within HS chapters 7-12 for which the country was a net exporter. To explore this issue into more detail, we estimate equation (12) separately for broad groups
of substitutable products, in both agronomical and consumption terms, and display results in
Table 3.7 To ease comparison, column (1) reports the results on the entire sample (the same as
in column (1) of Table 2). We find sizable differences across product groups, both in terms of
the magnitude and the significance of effects. We find no effect of the global price for field crops, as well as for none of its narrower groups
(“cereals, flours, and starch” and “oilseeds and vegetable oils”). 7 We do not report results separately for sugar, textiles, and tobacco, although we include them in the full sample.
Each of these categories counts a small number of products, and dissimilar from the rest of groups and difficult
to merge with other products. 5.
Product-level effects Indeed, field crops (cereals,
oilseeds and vegetable oils) are farmed by a large number of countries with very different
climate and water endowments, and are largely traded internationally. Moreover, these
products constitute staple food worldwide, and are cultivated primarily for food security
reasons. In addition, most field crops are traded on highly integrated global markets, and are 16 Working Paper SMART – LERECO N°19-05 easily stored and transported. Due to their lower perishability, producers can afford to postpone
export if the market price is judged too low. easily stored and transported. Due to their lower perishability, producers can afford to postpone
export if the market price is judged too low. The effect of the global price is positive and statistically significant for the rest of product
groups. The effect is particularly strong for leguminous crops in column (3). The positive effect
for the orchards group in column (5) is driven mainly from the strong positive effect on coffee,
tea, cacao, spices (column (5b)) and to a lower extent by fruit and nuts (column (5a)). The
negative effect of the country-specific price found for leguminous and vegetables shows that,
on average, countries fail to export these products to markets paying the highest price. . 17 Working Paper SMART – LERECO N°19-05 Table 3: Effects by product groups
all products
field crops
leguminous
vegetables
orchards
fruit & nuts
coffee & tea &
cocoa & spices
(1)
(2)
(3)
(4)
(5)
(5a)
(5b)
Country-specific export price (𝑝𝑖𝑘)
9.17
2.06
-38.53 *
-1.56 **
12.09
-3.68
9.29
(9.52)
(6.07)
(19.68)
(0.63)
(19.24)
(9.96)
(53.71)
World average export price (𝑝𝑘)
79.79 **
-76.26
544.60 **
28.65 ***
58.24 **
38.83 *
137.49 **
(36.99)
(95.50)
(247.89)
(5.86)
(29.32)
(21.04)
(55.15)
Green water footprint
0.20 ***
0.29 **
0.19 ***
0.13 ***
0.27 ***
0.25 ***
0.30 **
(0.08)
(0.14)
(0.07)
(0.02)
(0.09)
(0.07)
(0.12)
Rainfall
-0.84 ***
-0.82 ***
-0.57 ***
-0.08 ***
-1.58 ***
-1.13 ***
-2.59 ***
(0.07)
(0.15)
(0.11)
(0.01)
(0.18)
(0.11)
(0.55)
Constant
818.53 ***
962.36 ***
-191.72
93.06 ***
1369.18 ***
1311.28 ***
1098.32
(163.83)
(108.01)
(413.47)
(13.71)
(251.63)
(146.96)
(842.60)
Number obs
9446
2808
557
1806
3056
2470
586
R²
0.160
0.086
0.113
0.138
0.277
0.142
0.447
Fisher test
64.55
31.10
10.74
39.41
30.28
29.88
9.55
Notes: Standard errors in parentheses. ***, ** and * indicate statistical significance at 1%, 5%, and 10%. 6.
Conclusion A recent trend of literature investigates how virtual water trade compensates or accentuates the
differences in countries’ endowments in water resources and whether trade regulation should
be used to improve the use of water resources at the global level. These works consider water
as a production input and measure its economic value using irrigation costs. However, in most
countries there is no explicit market for water resources, and we observe a great diversity
concerning the ways in which countries manage the access to their water resources and
establish water bills. In this paper, we build a simple model emphasizing the link between the
use of irrigation water and the expected value of irrigated agricultural products on international
markets. We test this relation empirically using data on 243 irrigated crops exported by 185 countries,
and find that countries’ irrigation behavior is strongly linked to the global price of crops. Countries irrigate more intensively the higher-priced products. The effect remains significant
when we control for the average level of a country’s export price. In addition, countries irrigate
more the products with the highest increase in global price. Our results also shows that the
irrigation behavior is shaped by the global (expected) price rather than the country-specific
export price. The export price effect is stronger when countries are net exporters of the irrigated
crops and varies greatly across product groups. For instance, we find a non-significant effect
for field crops. Hence, our findings indicate that agricultural producers internalize the price of
irrigation water when choosing which crops to irrigate. Using an intertemporal applied general equilibrium model, Diao and Roe (2003) already
showed in the case of Morocco that the efficient allocation of water resources is not only
dependent on water pricing and distribution policies within agriculture, but also on the policies
outside the water sector, and in particular on output support and trade policies. At the scale of
our sample, our results confirm this idea, suggesting that a change in the expected price
perceived by the producers of exported goods (via, for example, an export tax on the products
concerned) could significantly modify the private arbitrations concerning the development of
irrigation systems. 5.
Product-level effects Table 3: Effects by product groups 18 Working Paper SMART – LERECO N°19-05 6.
Conclusion This information should to be taken into account by policy makers at the
regional level, especially in drought-prone areas where irrigation water is massively used for
the production of highly valued goods in export markets Our analysis relies on average annual
water footprints from Mekonnen and Hoekstra (2011a, 2016) computed over a decade. Accordingly, all variables in the estimated model are annual average over the same period. This limits the validity of our results with respect to time variations. Ideally, we would like to 19 Working Paper SMART – LERECO N°19-05 use annual water footprints and explain countries’ irrigation decisions by export prices
observed in the past (with a one-year lag). A natural extension of the present analysis would be
to employ time-varying data. Another possible extension of our work is account for differences across countries in the
efficiency of their irrigation systems, and in their water pricing and distribution policies. Rich
countries may irrigate more intensively due to their higher capacity to build and maintain
irrigation infrastructures. At the same time, it is well-established that rich countries have more
efficient irrigation technologies, while the irrigation systems of poor countries suffer from
significant water losses. Similarly, underpricing irrigation water may lead to an overuse of
water resources and to the perpetuation of inefficient irrigation systems. Testing these
hypotheses requires information on the irrigation technology, pricing and distribution at
country and product level. This would enrich our understanding of the effects of public
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English
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Optimal Transport on Completely Integrable Toric Manifolds
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Journal of geometric analysis/The Journal of geometric analysis
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The Journal of Geometric Analysis (2021) 31:5359–5371
https://doi.org/10.1007/s12220-020-00482-3 The Journal of Geometric Analysis (2021) 31:5359–5371
https://doi.org/10.1007/s12220-020-00482-3 B Szymon Myga
szymon.myga@im.uj.edu.pl Optimal Transport on Completely Integrable Toric
Manifolds Szymon Myga1 Received: 1 August 2019 / Published online: 7 August 2020
© The Author(s) 2020 Received: 1 August 2019 / Published online: 7 August 2020
© The Author(s) 2020 Abstract Following the work of Berman and Witt Nyström we present the proof of existence and
uniqueness of solutions to transported Monge–Ampère problem on complex compact
manifolds with completely integrable torus action. The proof is based on the real
theory of optimal transportation and some convex analysis. Keywords Toric Kahler manifolds · Monge–Ampere equation · Optimal transport Mathematics Subject Classification 32W20 · 49Q22 1
Department of Mathematics and Computer Science, Jagiellonian University, Kraków, Poland −d⟨m(p), t⟩= ωp(t#, ·) 1 Introduction Let (X, ω) be a compact Kähler manifold of real dimension 2n, i.e., X is a complex
manifoldandonecanfindaHermitianmetriconitwhosefundamentalformω isclosed,
thus making (X, ω) into a symplectic manifold. We assume that X is toric—there is a
real torus T k acting on it by automorphisms of ω. Such an action also generates a Lie
algebra homomorphism from the Lie algebra of the torus t ≃Rk into the Lie algebra
of the vector fields of X. This action can be extended to the holomorphic action of
complexified torus T k
c ≃(C∗)k. We also assume that the action is effective. That is,
the trivial automorphism only comes from the identity element. Lastly, we want the
action to be Hamiltonian, so we assume that there is a moment map: an action invariant
function m : X →(Rk)∗, with (Rk)∗being the Lie algebra dual to t, such that for
every element t ∈Rk −d⟨m(p), t⟩= ωp(t#, ·) 1
Department of Mathematics and Computer Science, Jagiellonian University, Kraków, Poland 123 123 5360 S. Myga S. Myga with t# being the vector field generated by t and ⟨m(p), t⟩being the value of the linear
form m(p) at t. with t# being the vector field generated by t and ⟨m(p), t⟩being the value of the linear
form m(p) at t. In this setting one can prove that the image of X through m is a compact convex
polytope in Rk with non-empty interior. Moreover this image does not depend on the
choice of particular ω in an invariant cohomology class. Suppose a probability measure with density 1/C < g(p) < C is given on a moment
polytope P for some toric Kähler manifold (X, ω). Following the preprint [3] one can
define a notion of complex transported Monge–Ampère measure M Ag on X which
corresponds to the Monge–Ampère measure that appears in the theory of optimal
transportation of measures. Then the natural question to ask is whether the equation M Ag(φ) = μ has a unique (up to an additive constant) solution for any invariant measure μ that
does not put any mass on polar sets, i.e., the sets that are −∞loci of plurisubharmonic
functions. This is a technical assumption that comes up when one tries to define a
Monge–Ampère operator for singular functions. The question of existence was already
settledin[3].Theauthorsalsoprovedtheretheuniquenessofsolutionsforthemeasures
of finite pluricomplex energy. When k = n, the action is called completely integrable. 1 Introduction This a special case of torus
action, since it is the maximal possible dimension of a torus acting in an effective and
Hamiltonian way. From now on we assume complete integrability. In that case the
above problem simplifies, thus allowing one to use the full strength of the real theory
of optimal transportation and prove uniqueness of solutions in all cases. That was
already noticed by Berman and Witt Nystöm in [3], although they did not provide the
proof. In this note we want to fill this gap and write down the proof of the following
Theorem For any invariant probability measure μ that does not put mass on polar
sets there is an invariant φ ∈PSH(X, ω) such that g(mφ)MA(φ) = μ, where mφ is a moment map for the torus action induced by φ. The general idea, dating as least to the work of Wang and Zhu [11] is to use the
moment map in order to reduce the complex Monge–Ampère equation to the real one. As already suggested in [3] the proof then follows from the result of McCann [7],
although not in a straightforward way. The only gap to fill from there is to ensure that
appropriate notions of convergence for real and complex solutions coincide. Towards
this end we prove the following lemma: Lemma If a uniformly Lipschitz sequence of convex functions Fn converges in a mono-
tone way to a convex function F, then their Legendre transforms F∗
n converge to F∗
in W 1,∞
loc . As already mentioned, in the real setting this is a well studied equation that appears
in the theory of optimal transportation. In the complex case, it comes up as an equation
for Kähler–Ricci solitons on Fano varieties, although in that case the action might not
be completely integrable. 123 5361 Optimal Transport on Completely Integrable Toric Manifolds 2.1 Convex Functions Here we want to recall a few facts about convex functions. For a convex function
u : Rn →R ∪{+∞} we define its domain as the convex set {x : u(x) < ∞} and
denote it as dom(u). For convenience we exclude the function u ≡+∞from the set
of convex functions. For any convex function u on Rn its Legendre transform is defined by u∗(p) := sup
x∈Rn{⟨x, p⟩−u(x)}. u∗(p) := sup
x∈Rn{⟨x, p⟩−u(x)}. It is a crucial notion in convex analysis. It is not hard to show that the Legendre
transform u∗is a convex lower semicontinuous function. It is a crucial notion in convex analysis. It is not hard to show that the Legendre
transform u∗is a convex lower semicontinuous function. The multivalued subgradient of u is a set-valued map defined on int(dom(u)) that
attaches to a point the set of slopes of supporting planes at that point, namely y ∈∂u(x) ⇔∀z ∈Rn
u(x) + ⟨y, z −x⟩≤u(z). Since u is convex ∂u is always non-empty on int(dom(u)). It is single-valued iff u is
differentiable at x and at this point it is equal to ∇u(x). Since u is convex ∂u is always non-empty on int(dom(u)). It is single-valued iff u is
differentiable at x and at this point it is equal to ∇u(x). The notion of a subgradient is closely related to the notion of a Legendre transform
through the following equivalences x · p = u(x) + u∗(p) ⇔p ∈∂u(x) ⇔x ∈∂u∗(p). From this, one can see that in the case of a smooth strictly convex function the gradient
of the function and of its Legendre transform are each other’s bijective inverses. From this, one can see that in the case of a smooth strictly convex function the gradient
of the function and of its Legendre transform are each other’s bijective inverses. The most important fact concerning the differentiability of convex functions is the
following one: Theorem 2.1 (Rademacher’s Theorem) Any convex function is differentiable on a sub-
set of full measure of its domain. The set of differentiability of u will be denoted by dom(∇u). Finally, we list the properties of convex subgradients that will be of use to us. Proposition 2.2 (Closedness of subgradients, [8, Theorem 24.4]) For any convex func-
tion u the graph of ∂u is a closed subset of Rn × Rn. This gives us the following corollary: Corollary 2.4 For any convex function u and for any compact subset K of int (dom(u))
the set ∂u(K) is bounded. d for any compact subset K o
iate δx-balls at points x in K
w is that at x /∈dom(∇u) t
u)), if the subgradient would
y close to x, which cannot b
of dom(u). ons defined on some convex s
of full measure of C then u
t is easy to verify that u ∗ρϵ
uniformly to u and v, respe
unction, i.e., {x ∈C | dist(x
ity of their gradients implie
must converge to the same fu
ce of convex functions will
ions {uk} converges locally Proof Indeed, pick an ϵ and take appropriate δx-balls at points x in K. This gives a
covering of K. The only thing left to show is that at x /∈dom(∇u) the subgradient
∂u(x) is still bounded. But x is in int(dom(u)), if the subgradient would be unbounded
then u would get arbitrarily big arbitrarily close to x, which cannot be since x lies a
positive distance away from the boundary of dom(u). ⊓⊔ ⊓⊔ Lemma 2.5 Let u, v be two convex functions defined on some convex set C with non-
empty interior. If {∇u = ∇v} is a subset of full measure of C then u ≡v in int(C)
modulo additive constant. Proof If ρϵ is the standard mollifier then it is easy to verify that u ∗ρϵ and v ∗ρϵ are
convex in Cϵ smooth and converge locally uniformly to u and v, respectively. The set
Cϵ is the domain of definition of mollified function, i.e., {x ∈C | dist(x, ∂C) > ϵ}. By
smoothness, the almost everywhere equality of their gradients implies their equality
everywhere and thus u ∗ρϵ and v ∗ρϵ must converge to the same function up to a
constant. ⊓⊔ 1. fn →f locally uniformly, 2. ∂fn →∂f graphically and for some choice of pn ∈∂fn(xn) and p ∈∂f (x) such
that (xn, pn) →(x, p) one has fn(xn) →f (x). 2.1 Convex Functions Proposition 2.3 (Boundedness of subgradients, [8, Corollary 24.5.1]) Pick any x ∈
int (dom(φ)), then for any positive ϵ there is a positive δ such that ∂u(B(x, δ)) ⊆∂u(x) + B(0, ϵ), ∂u(B(x, δ)) ⊆∂u(x) + B(0, ϵ), ∂u(B(x, δ)) ⊆∂u(x) + B(0, ϵ), with B(x, δ) denoting the ball centered at x, with the radius δ. with B(x, δ) denoting the ball centered at x, with the radius δ. 3 12 5362 S. Myga S. Myga This gives us the following corollary: 2.1.1 Convergence of Convex Functions Now the deisired relationship is the following: Now the deisired relationship is the following: Theorem 2.8 ([9, Theorem 5.40]) For the sequnece of set-valued maps Sn, the map S
and a set X any pair of the following conditions implies the third: Theorem 2.8 ([9, Theorem 5.40]) For the sequnece of set-valued maps Sn, the map S
and a set X any pair of the following conditions implies the third: 1. Sn is equicontinuous with respect to X, 1. Sn is equicontinuous with respect to X, 2. Sn converges graphically to S relative to X, 3. Sn converges pointwise to S relative to X. 2.1.1 Convergence of Convex Functions The following facts about the convergence of convex functions will be of use. The
most natural notion is the following. Lemma 2.6 If a sequence of convex functions {uk} converges locally uniformly to a
function u, then u is convex. We would also like to say something about the convergence of subgradients. Definition We say that the sequence of subgradients ∂un converges graphically to
subgradient ∂u if their graphs converge as sets, i.e., graph(∂u) = {(x, p) | ∃(xn, pn) ∈Rn × Rn : pn ∈∂un(xn)
and (xn, pn) →(x, p)}. The following theorem of Attouch is a fundamental result concerning the graphical
convergence of subgradients. Theorem 2.7 ([9, Theorem 12.35]) For convex, lower semicontinuous functions fn
and f the following are equivalent: 1. fn →f locally uniformly, 1. fn →f locally uniformly,
2. ∂fn →∂f graphically and for some choice of pn ∈∂fn(xn) and p ∈∂f (x) such
that (xn, pn) →(x, p) one has fn(xn) →f (x). 123 Optimal Transport on Completely Integrable Toric Manifolds 5363 Remark The first part of the original theorem is expressed in terms of “epigraphical”
convergence in the reference, but it is equivalent to locally uniform convergence (see
[9, Theorem 7.17]). Remark The first part of the original theorem is expressed in terms of “epigraphical”
convergence in the reference, but it is equivalent to locally uniform convergence (see
[9, Theorem 7.17]). Finally, we would like to describe the relationship between the graphical conver-
gence and pointwise convergence, for this we need the following definition: Definition The sequence of set-valued maps Sn is equicontinuous at point x with
respect to subset X if for each positive ϵ there is a neighbourhood V of x such that for
almost every n Sn(y) ⊂Sn(x) + B(0, ϵ) for all y ∈V ∩X. The sequence is equicontinuous with respect to X if it is equicontinuous at each point
of X. Remark In [9] the above notion is called the asymptotic equi-outer-semicontinuity. Since we don’t need other notions of equicontinuity we will just call that one the
equicontinuity. 2.1.2 The Class of Globally Lipschitz Convex Functions Definition By support function of a bounded convex set P contatining zero we mean
the function φP(x) := sup
p∈P
⟨x, p⟩. If the set P is bounded then φP is finite everywhere. If the set P is bounded then φP is finite everywhere. Definition We will denote by P the space of convex functions dominated by φP, i.e.,
the set {u −convex | ∃C : u ≤φP + C}. This is the set of convex functions whose
Legendre transform is +∞outisde P. The subset of P consisting of functions that also
dominate φP will be denoted by P+, in other words P+ = {u ∈P | ∃C : u −C ≥
φP}. Both sets can be equipped with the topology of pointwise convergence, which is
equivalent to the topology of locally uniform convergence, by the virtue of uniform
Lipschitz constant for all P. The set P+ is dense in P. Moreover the approximating sequence can be chosen as
nice as possible. Lemma 2.9 ([2, Lemma 2.2]) Every φ ∈P can be approximated by decreasing
seqence of smooth strictly convex functions from P+. 123 12 5364 S. Myga S. Myga 2.2 Optimal Transport and Monge–Ampère Equation 123 12 5365 Optimal Transport on Completely Integrable Toric Manifolds As we mentioned, for any two probability measures the optimal transport solution
might not exist. However, under a mild regularity assumption it is still possible to trans-
port one to another through a subgradient of convex function, so that the condition (1)
is still satisfied. This is the content of the following important theorem. Theorem 2.10 (McCann [7]) Let μ, ν be probability measures on Rn and suppose that
μ vanishes on Borel subsets of Rn of Hausdorff diemnsion n −1. Then there exists a
convex function ψ on Rn whose subgradient ∂ψ pushes μ forward to ν. ∂ψ is uniquely
deterined μ-almost everywhere. Of course the assumption on the null sets of μ can not be abandoned. For example
if μ = δx and ν is not a point measure, then if A is such a set that 0 < ν[A] < 1
one gets that for any convex function φ, ν[A] ̸= μ[(∂φ)−1(A)] since the latter must
always be either 0 or 1. 2.2 Optimal Transport and Monge–Ampère Equation We say that the function T : Rn →Rn transports probability measure μ to probability
measure ν if for any Borel set A the following equality holds ν[A] = μ[T −1(A)]. ν[A] = μ[T −1(A)]. Alternativelywesaythat T pushesμforwardtoν anddenotethepush-forwardmeasure
by T#μ. Alternativelywesaythat T pushesμforwardtoν anddenotethepush-forwardmeasure
by T#μ. In general there will be a lot of such maps, so it is natural to put some optimality
constraints on them. The best understood constraint and in some cases the natural one
is minimizing the quadratic cost, i.e., the transport map should minimize the following
functional
Rd |x −T (x)|2 dμ. In general there might not be a solution and if it exists it might not be unique, some
regularity assumptions for the measures must be added. For example, one can assume
that the measures have finite second moments and μ is absolutely continuous. In that
case the solution exists and has a form of T = ∇φ for some convex function φ. For
thorough discussion of this problem, the reader might consult [10]. Supposing that a solution exists, by the transport condition we get
χA dν =
A
dν =
(∇φ)−1(A)
dμ =
χA ◦∇φ dμ That can easily be generalized to get that for any f ∈Cb(Rn) That can easily be generalized to get that for any f ∈Cb(Rn
f dν =
f ◦∇φ dμ. (1) (1) Here Cb(Rn) denotes the set of continuous and bounded functions on Rn. 2 Here Cb(Rn) denotes the set of continuous and bounded functions on Rn. Suppose now that dν = g(x)dx for some density g(x) and φ is a C2 function. By
change of variables formula we get that Here Cb(Rn) denotes the set of continuous and bounded functions on Rn. Suppose now that dν = g(x)dx for some density g(x) and φ is a C2 function By Suppose now that dν = g(x)dx for some density g(x) and φ is a C2 function. By
change of variables formula we get that
f (∇φ(x)) dμ =
f (∇φ(x))g(∇φ(x)) det D2φ dx and that provides one with a notion of solution to the transported Monge–Ampère
equation and that provides one with a notion of solution to the transported Monge–Ampère
equation M AR
g (φ) := g(∇φ(x)) det D2φ = μ as long as the optimal transport map exists. 2.3 Torus Action As Sect. 1 we are interested in completely integrable Kähler manifolds. In this setting
the following results provide the correspondence between the Kähler geometry and
convex functions. Proposition 2.11 ([5]) There is an open dense subset X0 ⊂X where the action of T n
c
is free, making X0 diffeomorphic to (C∗)n. Every invariant Kähler form ω on X has
a Kähler potential on X0, i.e., ω|X0 = 2i∂¯∂F for some F. The set X \ X0 is given as a vanishing set of some holomorphic vector fields, so it
must be analytic. If we introduce coordinates on X0 coming from (C∗)n by L : ex+iy →x + iy,
the invariance of potential means that the function F from the previous proposition
depends only on x variable in Rn and positive definiteness means that F must be
convex. Moreover, nothing in the proof actually requires the form to be smooth, so
the conclusion easily extends to forms with more singular coefficients, thus asserting
that every closed positive and invariant (1, 1)-current in the cohomology class [ω] will
admits a convex potential. Proposition 2.12 For the symplectic form ω as above, the moment map is ∂F
∂x + c, with c being any constant vector in Rn. Finally, we recall the theorem of Atiyah [1], Guillemin and Sternberg [6]: 123 5366 S. Myga S. Myga Theorem 2.13 The image of X through the moment map is a compact convex polytope
in Rn. Theorem 2.13 The image of X through the moment map is a compact convex polytope
in Rn. Theorem 2.13 The image of X through the moment map is a compact convex polytop
in Rn. In the case of completely integrable actions the polytopes that can arise as images
of moment maps are called Delzant polytopes. Conversely for each Delzant polytope
there exists a Kähler manifold with completely integrable torus action and a moment
map that maps to this polytope. 2.4 Toric Pluripotential Theory The class of plurisubharmonic functions that are torus invariant will be denoted by
PSHtor(X, ω) = {φ ∈PSH(X, ω) | ∀z ∈X, t ∈T n | φ(t · z) = φ(z)}. The results of
the previous section imply that to each such function corresponds a convex function
on Rn. More precisely, if set X0 are coordinate map L are as in the previous subsection
then for any v ∈PSHtor(X, ω) the form ωv = ω + i∂¯∂v is still invariant and closed
there, so restricting to X0 there is a convex Fv function given by Fv ◦L = F0 ◦L + v, with F0 ◦L being the potential for ω. Of course if use the formula above to produce a
plurisubharmonic function it will only be defined on X0, but since X \ X0 is analytic,
the function will extend to the whole X. Not every convex function can be a potential for an invariant Kähler form. If P
is the Delzant polytope of the manifold (X, ω) then the following Proposition holds
(see, e.g., [4] for a proof). Proposition 2.14 The following are equivalent: then the following crucial continuity statement holds: Theorem 2.16 ([3], Theorem 2.7) If φ j is a sequence in Eg decreasing to φ in Eg then MAg(φ j) →MAg(φ) in the weak topology of measures. Proposition 2.14 The following are equivalent: 1. v ∈PSHtor(X),
2. Fv ∈P. 1. v ∈PSHtor(X),
2. Fv ∈P. 1. v ∈PSHtor(X), 2. Fv ∈P. Finally, the two Monge–Ampère measures coincide up to a constant. Specifically,
the complex Monge–Ampère measure is defined as MAC(v)[A] :=
A
(ω + i∂¯∂v)n and the real measure as and the real measure as MAR(F)[B] := |∂F(B)| for Borel sets A, B in Cn and Rn, respectively. Here | · | is the Lebesgue measure. For
C2 convex functions it coincides with the measure M AR(F)[B] :=
B
det(D2F). 12 123 Optimal Transport on Completely Integrable Toric Manifolds 5367 For invariant plurisubharmonic function the two concepts are connected through
the following proposition. Proposition 2.15 Let φ ∈PSHtor(X), we identify X0 with (C∗)n. Then for any f ∈
Cb(Rn) Propositi
Cb(Rn)
X0
( f ◦L) M AC(φ) =
n! (2π)n
Rn f M AR(Fφ). The proof is just a straightforward computation (see, e.g., [4]) in the smooth case
and then the application of classical convergence theorems for convex and plurisub-
harmonic functions. 2.4.1 g-Monge–Ampère Measure Following the preprint [3] we define the complex g-Monge–Ampère measure or the
complex transported Monge–Ampère measure as MAg(φ) := g(mφ)MA(φ). From the Proposition 2.12 and the definition of the real transported Monge–Ampère
measure it is not hard to see that 2.15 extends for smooth functions to transported
measures. In the more general case, especially with the torus of smaller rank, the
definition becomes more intricate. If we denote by Eg the set of all PSHtor functions with full M Ag mass, i.e., those
functions for which
X
MAg(φ) =
P
g(p)dp = 1 then the following crucial continuity statement holds: 3 Full Rank Existence and Uniqueness Given a probability measure g(p)dp on P and any probability measure μ on Rn, we
would like to solve the equation MAR
g (u) = μ 123 123 5368 S. Myga S. Myga in some appropriate sense. One can not apply McCann’s theorem directly since for
example μ = δx would prevent the existence of the transport map, thus we must use
the regularity of g. in some appropriate sense. One can not apply McCann’s theorem directly since for
example μ = δx would prevent the existence of the transport map, thus we must use
the regularity of g. Suppose that we have a smooth strictly convex solution u, so that every term in
MAR
g (u) is well-defined and moreover so is ∇u∗. By the fact that for any x and any p,
∇u(∇u∗(p)) = p and ∇u∗(∇u(x)) = x we define the solution through the change
of variables formula. Thus
Rn f (x)g(∇u(x))MAR(u) =
P
f (∇u∗(p))g(p)dp =
Rn f dμ
(2) (2) and a function u ∈P such that the second equality holds for any continuous bounded
function f is defined to be a solution. The fact that there is such a solution follows easily from McCann’s theorem. Sup-
pose that φ is the convex function whose gradient transports g(p)dp (understood as
a measure on Rn) to μ. By the regularity of g and McCann’s theorem it must exist. Then ∇φ is defined g(p)dp-almost everywhere and since P is convex we can take φ
to be +∞outside of P. Thus after possibly fixing φ on ∂P so that it is lower semi-
continuous, its Legendre transform φ∗becomes unique and defined everywhere on Rn
and thus belongs to the class P since by lower semicontinuity φ∗∗= φ. The convex
function u = φ∗is the unique (up to additive constant) solution to the transported
Monge–Ampère problem in the class P. Indeed, since ∇φ transports g(p)dp to μ it
means that for any f ∈Cb(Rn)
Rn f dμ =
P
f (∇φ(p))g(p)dp =
P
f (∇u∗(p))g(p)dp. 3.1 The Complex Case Corollary 3.1 The solution to the real problem in Rn induces a unique solution to the
g-Monge–Ampère problem on toric manifolds. Proof Firstly, we notice that the fact that μ does not put any mass on pluripolar sets
implies that X \ X0 as an analytic set has no mass. Thus we can restrict the problem
to X0. Moreover, since the measure is invariant, it can be interpreted as a measure on
Rn also denoted by μ. Suppose now we have a real solution Fφ for the measure μ, then one suspects that
φ = (Fφ −F0) ◦L would be the solution for the corresponding invariant measure. Indeed, Fφ is in P, so it must correspond to some invariant psh function. Moreover,
for smooth strictly convex functions the formula (2) obviously translates by Propo-
sition 2.15 to the complex setting. Finally, by Lemma 2.9 there exists a decreasing
sequence Fn of smooth strictly convex functions that decreases to Fφ, so by smooth-
ness and Theorem 2.16 M AR
g (Fn) = M AC
g (Fn −F0) converges weakly to M AC
g (Fφ). Thus the only thing left to show is that M AR
g (Fn) converges weakly to μ. g
g
Thus the only thing left to show is that M AR
g (Fn) converges weakly to μ. g
Take f ∈Cb(Rn) and put fn := f ◦∇F∗
n . We would like to show that fn converge
almost everywhere to f . That would give us the desired assertion by the dominated
convergence. First, let us prove that decreasing convergence of Fn implies locally uniform conver-
gence of F∗
n . Indeed, since Fn’s are uniformly Lipschitz, their pointwise convergence
implies locally uniform convergence. Now F ≤Fn implies F∗
n ≤F∗, take p ∈intP
and suppose that the supremum in F∗(p) is realized by x∗, thus F∗(p) −F∗
n (p) = sup
x∈Rn{⟨x, p⟩−F(x)} + inf
x∈Rn{Fn(x) −⟨x, p⟩} ≤Fn(x∗) −F(x∗ Thus F∗
n converges pointwise to F∗. If K ⊆int(P) is compact then by Proposition 2.2
and Corollary 2.4 ∂F∗(K) is compact and for every q ∈K the supremum in F∗(q)
is realized by some y∗in ∂F∗(q), thus the convergence is locally uniform. Now, we will show that F∗
n converging locally uniformly to F∗implies that ∇F∗
n
converges to ∇F∗almost everywhere and that would finish the proof. 3 Full Rank Existence and Uniqueness If there was to be another solution v in the class P then its Legendre transform would
have been +∞on the complement of P and lower semicontinuous on its boundary
and it would induce a transport of g(p)dp to μ, so by McCann’s uniqueness theorem
∇u∗= ∇v∗g dp-almost everywhere, and since g > 0, by Lemma 2.5 we get u∗= v∗
(mod R) everywhere on int(P). If there was to be another solution v in the class P then its Legendre transform would
have been +∞on the complement of P and lower semicontinuous on its boundary
and it would induce a transport of g(p)dp to μ, so by McCann’s uniqueness theorem
∇u∗= ∇v∗g dp-almost everywhere, and since g > 0, by Lemma 2.5 we get u∗= v∗
(mod R) everywhere on int(P). Remark on Uniqueness Of course the uniqueness statement becomes false if we
allow functions outside of class P. Suppose that μ = δ0, then the solution is obviously
u = φP, so that u∗≡0 on P. But now adding to u any convex function v such that
min v = v(0) would also give a solution, since (u + v)∗≡0 on P. Example Finally, we would like to point out that if the assumptions of McCann’s
theorem are not satisfied for at least one of the measures there might not be a weak
solution. For example, if μ = δ[−1,1]×{0} and ν = δ{0}×[−1,1] are measures on R2,
then it is impossible to find a solution. Indeed, the only candidate is u(x, y) = |y| and
it is easy to see that it can not be the solution since u∗|{0}×[−1,1] ≡0. 123 12 Optimal Transport on Completely Integrable Toric Manifolds 5369 3.1 The Complex Case To do that we
want to employ Theorems 2.7 and 2.8 restricted to dom(∇F∗). Thus the only thing
left to show is the equicontinuity of ∇F∗
n ’s with respect to dom(∇F∗). ⊓⊔ In order to prove this we will first prove the following lemma: Lemma 3.2 ∇F∗
n are locally bounded independently of n. Proof Take any point x ∈intP ∩dom(∇F∗) and pick a positive δ such that B(x, δ)
is relatively compact in intP. By the boundedness of the subgradient (Corollary 2.4)
there exists a positive M such that ∂F∗(B(x, δ)) ⊆B(∇F∗(x), M). ∂F∗(B(x, δ)) ⊆B(∇F∗(x), M). Now pick a positive η, starting from some n we get that 0 ≤F∗−F∗
n ≤η over B(x, δ). We claim that ∇F∗
n (B(x, δ/2)) ⊂B(∇F∗(x), M + C) holds for some constant C,
independent of F∗
n . 123 5370 S. Myga S. Myga Indeed, by convexity it is enough to estimate the gradients on the boundary of
B(x, δ/2). Take a point y ∈∂B(x, δ/2) such that |∇F∗
n (y)| achieves maximum over
∂B(x, δ/2). The vector ∇F∗
n (y) must be pointed to the outside of B(x, δ/2) or at least
be tangent to it. The “boundary” steepest case is F∗
n (y) = F∗(y) −η, F∗growing
at best possible rate from y and tangent plane at F∗
n (y) touching F∗at the boundary
of B(x, δ), then ∇F∗
n (y) would become the steepest if that happened over shortest
possible interval which would be of length δ/2. Thus finally |∇F∗
n (y)| ≤η + pδ/2,
where p is the length of the longest vector in B(∇F∗(x), M). ⊓⊔ ⊓⊔ With the Lemma in hand the rest of the proof is straightforward. Suppose the
sequence is not equicontinuous at some point x0 ∈intP ∩dom(∇F∗). Thus there is
a positive ϵ such that for any k there is yk ∈B(x0, 1/k) ∩dom(∇F∗) such that |∇Fn(k)(x0) −∇Fn(k)(yk)| > ϵ with n(k) being some subsequence of N. But by above lemma the set pk
=
{∇F∗
n(k)(yk)} is bounded, thus there must be a convergent subsequence, conveniently also named pk, such that pk
k→∞
−−−→p. But the set qk = {∇F∗
n(k)(x0)} is also bounded
thus a subsequence must converge to some q such that |q −p| ≥ϵ. Thus we have two
subsequences (yk, pk) and (x0.qk). By graphical convergence both of them must con-
verge to some point in ∂F∗(x0), but this set is a singleton and that is a contradiction. ⊓⊔ Acknowledgements The author would like to thank Sławomir Dinew for his guidance. The author was
supported by Polish National Science Centre grant 2018/29/N/ST1/02817. Acknowledgements The author would like to thank Sławomir Dinew for his guidance. The author was
supported by Polish National Science Centre grant 2018/29/N/ST1/02817. ∂F∗(B(x, δ)) ⊆B(∇F∗(x), M). OpenAccess ThisarticleislicensedunderaCreativeCommonsAttribution4.0InternationalLicense,which
permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give
appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence,
and indicate if changes were made. The images or other third party material in this article are included
in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the material. If
material is not included in the article’s Creative Commons licence and your intended use is not permitted
by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the
copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/. Publisher’s Note Springer Nature remains neutral with regard to jurisdictional claims in published maps
and institutional affiliations. p
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11. Wang, X.-J., Zhu, X.: Kähler–Ricci solitons on toric manifolds with positive first Chern class. Adv.
Math. 188, 87–103 (2004) 10. Villani, C.: Optimal Transport. Old and New. Grundlehren der Mathematischen Wissenschaften 338.
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9. Rockafellar, R.T., Wets, R.J.-B.: Variational Analysis. Grundlehren der Mathematischen Wis-
senschaften 317. Springer, Berlin (1998) 8. Rockafellar, R.T.: Convex Analysis. Princeton Mathematical Series 28. Princeton University Press,
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Fano varieties. Ann. Fac. Sci. Toulouse Math. 6(22), 649–711 (2013) 3. Berman, R.J., Witt Nyström, D.: Complex optimal transport and the pluripotential theory of Kähle
Ricci solitons. Preprint. arXiv:1401.8264 p
4. Coman, D., Guedj, V., Sahin, S., Zeriahi, A.: Toric pluripotnetial theory. Ann. Polon. Math. https
doi.org/10.4064/ap180409-3-7 5. Guillemin, V.: Kaehler structures on toric varieties. J. Differ. Geom. 40, 285–309 (1994) . Guillemin, V., Sternberg, S.: Convexity properties of the moment mapping. Invent. Math. 67, 491–513
(1982) 7. McCann, R.J.: Existence and uniqueness of monotone measure-preserving maps. Duke Math. J. 80,
309–323 (1995) 12 123 Optimal Transport on Completely Integrable Toric Manifolds 5371 . Rockafellar, R.T.: Convex Analysis. Princeton Mathematical Series 28. Princeton University Press,
Princeton, NJ (1970) . Rockafellar, R.T., Wets, R.J.-B.: Variational Analysis. Grundlehren der Mathematischen Wis-
senschaften 317. Springer, Berlin (1998) 10. Villani, C.: Optimal Transport. Old and New. Grundlehren der Mathematischen Wissenschaften 338. Springer, Berlin (2009) p
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11. Wang, X.-J., Zhu, X.: Kähler–Ricci solitons on toric manifolds with positive first Chern class. Adv. Math. 188, 87–103 (2004) Publisher’s Note Springer Nature remains neutral with regard to jurisdictional claims in published maps
and institutional affiliations. 123
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Olfactory Performance Is Predicted by Individual Sex-Atypicality, but Not Sexual Orientation
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PloS one
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Abstract Competing interests: The authors have declared that no competing interests exist. * E-mail: lenka.novakova@fhs.cuni.cz It has been suggested that many sex differences in
psychology develop under the influence of context-dependent
epigenetic factors. One such factor largely determining sex
differences is prenatal or early perinatal exposure to androgen
steroids, which affect sex differences in brain anatomy, and
consequently sex differences in behavior, cognition, personality
factors,
and
others
[9,10]. Numerous
neuroanatomical
differences between men and women have been described,
such as those in the percentage and asymmetry of the principal
cranial tissue volume, which were found to correlate with
cognitive performance [11], or synaptic organization of the
medial amygdala, which is hypothesized to provide a sexually
dimorphic neural substrate for the effects of hormones on adult
social behavior [12]. A well-established example of the linkage
between a brain region and sexual behavior is the Third
Interstitial Nucleus of the Anterior Hypothalamus (INAH-3),
which is generally larger in males than in females [13]. Interestingly, this structure is also larger in heterosexual men
than in homosexual ones [14]. Lenka Nováková1*, Jaroslava Varella Valentová2, Jan Havlíček3 1 Department of Anthropology, Faculty of Humanities, Charles University, Prague, Czech Republic, United States of America, 2 Centre for Theoretical Study,
Charles University and the Academy of Sciences of the CzechRepublic, Prague, Czech Republic, United States of America, 3 Department of Zoology, Faculty of
Science, Charles University, Prague, Czech Republic, United States of America Abstract Many previous studies have reported robust sex differences in olfactory perception. However, both men and women
can be expected to vary in the degree to which they exhibit olfactory performance considered typical of their own or
the opposite sex. Sex-atypicality is often described in terms of childhood gender nonconformity, which, however, is
not a perfect correlate of non-heterosexual orientation. Here we explored intrasexual variability in psychophysical
olfactory performance in a sample of 156 individuals (83 non-heterosexual) and found the lowest odor identification
scores in heterosexual men. However, when childhood gender nonconformity was entered in the model along with
sexual orientation, better odor identification scores were exhibited by gender-nonconforming men, and greater
olfactory sensitivity by gender-conforming women, irrespective of their sexual orientation. Thus, sex-atypicality, but
not sexual orientation predicts olfactory performance, and we propose that this might not be limited to olfaction, but
represent a more general phenomenon. Citation: Nováková L, Varella Valentová J, Havlíček J (2013) Olfactory Performance Is Predicted by Individual Sex-Atypicality, but Not Sexual Orientation. PLoS ONE 8(11): e80234. doi:10.1371/journal.pone.0080234
Editor: Fernando de Castro, Hospital Nacional de Parapléjicos - SESCAM, Spain
Received May 7, 2013; Accepted October 1, 2013; Published November 7, 2013 Citation: Nováková L, Varella Valentová J, Havlíček J (2013) Olfactory Performance Is Predicted by Individual Sex-Atypicality, but Not Sexual Orientation. PLoS ONE 8(11): e80234. doi:10.1371/journal.pone.0080234
Editor: Fernando de Castro Hospital Nacional de Parapléjicos
SESCAM Spain Editor: Fernando de Castro, Hospital Nacional de Parapléjicos - SESCAM, Spain Received May 7, 2013; Accepted October 1, 2013; Published November 7, 2013 Copyright: © 2013 Nováková et al. This is an open-access article distributed under the terms of the Creative Commons Attribution License, which permits
unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. Funding: LN was supported by the grant SVV-2013-267 702 of the Charles University and by The Ministry of Education, Youth and Sports - Institutional
Support for Longterm Development of Research Organizations - Charles University, Faculty of Humanities (Charles Univ, Fac Human 2013). JVV and JH
were supported by the Charles University Research Center (UNCE 204004). JVV was further supported by the Grant Agency of the Czech Republic
(GACR 13-16959P). The funding sources had no involvement in study design, in the collection, analysis, and interpretation of data, in the writing of the
report, or in the decision to submit the article for publication. November 2013 | Volume 8 | Issue 11 | e80234 Introduction Numerous recent studies have reported sex differences in
personality characteristics, cognition, and behavior [1-3]. For
instance, robust sex differences have been repeatedly found in
physical aggression, which is on average higher in males [4],
and in empathy, in which females typically score higher than
males [5]. Furthermore, some of these sex differences seem to
appear at least as early as during infancy and preschool age,
as suggested, for instance, by studies on sex specificity in
childhood play behavior [6]. Some of the sex-related
differences have also been documented in heterosexual and
non-heterosexual individuals. Specifically, it has been shown
that, on average, homosexual men tend to show several sex-
atypical, i.e. feminine, psychological characteristics. For
example, it has been reported that homosexual men exhibit
higher empathy and lower physical aggressiveness than
heterosexual men [7]. Also, homosexual men outperform their
heterosexual counterparts in verbal associations, while the
opposite pattern has been found in spatial abilities, particularly
in mental rotations [8]. Besides differences in neuroanatomy, prenatal hormonal
influences on personality and behavioral sex differences have PLOS ONE | www.plosone.org November 2013 | Volume 8 | Issue 11 | e80234 1 1 Sex-Atypicality Predicts Olfactory Performance been studied indirectly via physical traits, which also develop in
utero under the influence of steroid hormones and remain
stable across the lifespan. In particular, the ratio between the
second and fourth digit (2D:4D) is considered a marker of
prenatal androgen influence [15]. It develops prenatally [16],
seems unaffected by postnatal variations in androgen levels
[15], and several studies have reported a higher 2D:4D in
females [17], but see 15. In homosexual men, sex-atypical 2D:
4D has also been demonstrated [18], but see 19. conforming counterparts on the test of odor identification,
whose scores would resemble those of the more gender-
conforming women. Odor discrimination and the olfactory
threshold, in which sex differences are less pronounced,
should be less likely to produce such results. 1: Ethics Statement Furthermore, it has been suggested that similar mechanisms
that are supposed to influence the average differences
between men and women also give rise to intrasexual variation
in such traits [20]. Thus, both men and women vary in the level
of development of traits which are typical of their own or the
opposite sex and, consequently, both men and women can
show
rather
sex-typical
or
sex-atypical
psychological
characteristics [20]. It is worth pointing out that despite an
association between sexual orientation and psychological sex-
atypicality, which is often described in terms of childhood
gender nonconformity, empirical evidence suggests that
childhood gender nonconformity is not a perfect correlate of
non-heterosexual orientation in adulthood since only a
proportion of homosexual individuals show sex-atypical traits. For example, about a third of gay men recalled childhood
gender-conforming behavior similar to that of heterosexual men
[21]. Also, some studies have failed to replicate the previous
results on the relationship between sexual orientation and sex-
related traits such as 2D:4D [19] or cognition [22]. Consequently, some of the reported differences between
heterosexual and non-heterosexual individuals thus might
rather represent an epiphenomenon of variability in childhood
gender nonconformity. The study complies with the Declaration of Helsinki for
Medical Research involving Human Subjects and was
approved by the IRB of the Faculty of Science of Charles
University. The participants provided written informed consent
and received a reimbursement of CZK 300 (approximately US
$ 15). 2: Participants The sample comprised 156 university students or alumni (67
female and 89 male; mean age 24.2 ± 4.1; range 19 - 35
years). They were recruited by means of snowball sampling
from students enrolled on undergraduate and graduate courses
lectured by LN and JVV. Furthermore, members of the
university's student sexual minority association “Charlie” were
invited to participate. Both male and female participants were
recruited with regard to their declared sexual orientation
(heterosexual/non-heterosexual) to obtain four comparable
samples of male and female heterosexuals and non-
heterosexuals, respectively. Therefore, in order to be able to
perform meaningful comparisons on the four groups, the
present sample purposely did not reflect estimated frequencies
of non-heterosexually oriented individuals in the general
population [26]. To avoid systematic differences in hormonal
contraceptive use between heterosexual and non-heterosexual
women that might affect olfactory perception, only non-users
were recruited. To
test
the
spurious
association
between
gender
nonconformity and sexual orientation, we singled out olfactory
abilities, which tend to exhibit significant sex differences in
favor of women [23], especially as regards the ability of odor
identification. It is established that performance on this
particular test is affected by cognitive factors such as verbal
abilities and verbal fluency in particular, in which female
superiority has been widely reported [24]. Nevertheless,
differences in verbal fluency related to sexual orientation have
also been demonstrated, with gay men tending to score the
highest or similarly to heterosexual women and lesbian women
scoring the lowest or similarly to heterosexual men [25]. Thus,
there are reasons to expect similar differences related to
sexual orientation in odor identification. However, at the same
time, the authors could not demonstrate clear superiority of
heterosexual women over heterosexual men on all the three
tests of verbal fluency employed. This might indicate the
involvement of sex-atypicality rather than sexual orientation in
similar tasks. 3.1. General Demographics For each participant, data on age, socioeconomic status,
religious beliefs, smoking and substance use history, living
environment pollution, history of olfaction-related health issues
including chronic neurological disorders, head injury, and
respiratory allergies and, in women, average length of the
menstrual cycle and the start date of the last menstrual period
were collected. Day count method was employed to roughly
estimate the participants’ menstrual cycle phase at the time of
testing. There were no sex differences in age, Mann-Whitney U
= 2769.5, p = .52. The vast majority of participants (90%) were
non-smokers, with smokers (N = 16, 8 males) reporting 1.88 ±
1.59 pack-years (range 0 - 6) and exhibiting no differences with
regard to sex or sexual orientation in lifetime tobacco exposure. There were no reports of substance use, chronic neurological
disorders, head injuries or respiratory allergies. All women
were regularly cycling and reported a usual menstrual cycle
length of 29 ± 3 days (range 26 - 33 days). Menstrual cycle
phase at the time of testing was random across participants
and therefore not controlled for in any of the analyses. The aim of the present study was to explore interindividual
differences in olfactory performance related to sex-atypicality,
which is often described in terms of childhood gender
nonconformity (CGN), and sexual orientation. We expected
that, irrespective of their sexual orientation, men exhibiting
lower CGN scores, who were more gender-conforming in
childhood, would be outperformed by their less gender- PLOS ONE | www.plosone.org November 2013 | Volume 8 | Issue 11 | e80234 2 Sex-Atypicality Predicts Olfactory Performance Table 1. Frequency counts and percentages of sexual
orientation categories in men (N=89) and women (N=67),
respectively,
and
sex
difference
between
relative
percentages (two-sided). Sexual orientation category Count
Percent
Percentage difference
M
F
M
F
0
29
15
32.58%
22.39%
p = .16
1
12
17
13.48%
25.37%
p = .06
2
1
11
1.12%
16.42%
p < .001
3
2
4
2.24%
5.97%
p = .23
4
3
2
3.37%
2.99%
p = .89
5
10
7
11.24%
10.45%
p = .88
6
32
11
35.96%
16.42%
p < .01
doi: 10.1371/journal.pone.0080234.t001 of maleness or femaleness (“As a child I often felt that I had
more in common with girls/boys than boys/girls.”) and
participation in sex-stereotypic games and activities (“As a child
I (dis)liked competitive sports such as football, baseball, and
basketball.”). 3.2. Sexual orientation assessment (The Kinsey Scale) 3.2. Sexual orientation assessment (The Kinsey Scale) 3
Se ua o e tat o
assess
e t (
e
sey Sca e)
All participants indicated their sexual orientation on the
Kinsey Scale [27], prompted by the statement “I regard myself
as…”. The seven-point ordinal Kinsey Scale, ranging from zero
to six, was anchored on both ends, with zero labeled
“heterosexual” and six labeled “homosexual”. It is important to
note differences in sexual orientation between men and
women. There is a robust body of evidence suggesting greater
fluidity in women’s sexual orientation compared to that of men,
particularly as regards non-heterosexual women [28]. Female
non-heterosexuality
is
significantly
less
stable
than
heterosexuality, whilst in men, both heterosexuality and
homosexuality are relatively stable [29]. Also, women are more
likely than men to use the middle categories of the Kinsey
scale to indicate their sexual orientation [30]. Thus, to handle
the resulting problem of necessarily different distributions of
sexual orientation categories in men and women, we followed
an approach previously adopted by some authors, e. g. Santtila
and colleagues [31], and for the purposes of the analysis of
variance performed on the total sample, the categories were
merged to produce the following groups: the “heterosexual”
group (N = 73, 41 males), comprised of individuals who
considered themselves exclusively heterosexual (ratings of “0”)
or predominantly heterosexual, only incidentally homosexual
(ratings of “1”) and the “non-heterosexual” group (ratings of
„2“ to „6“; N = 83, 48 males). This approach afforded
meaningful comparisons performed on the total sample among
similar groups, while accommodating the fact that women (but
not men) tend to identify themselves as predominantly, rather
than exclusively heterosexual or homosexual [32,33]. The
groups did not differ in terms of age, F(3,151) = .806, p = .49. Please see Table 1 for frequency counts and percentages of
sexual orientation categories in men and women. Since this study was part of a broader project, including a
study by Havlíček and colleagues [35] on the relation of Big
Five personality traits and olfactory abilities, the participants
further completed several other questionnaires. 3.1. General Demographics Scores on individual items were added up to
produce the overall score, which can range between 7 and 49,
with higher scores indicating greater gender nonconformity. Table 1. Frequency counts and percentages of sexual
orientation categories in men (N=89) and women (N=67),
respectively,
and
sex
difference
between
relative
percentages (two-sided). Sexual orientation category Count
Percent
Percentage difference
M
F
M
F
0
29
15
32.58%
22.39%
p = .16
1
12
17
13.48%
25.37%
p = .06
2
1
11
1.12%
16.42%
p < .001
3
2
4
2.24%
5.97%
p = .23
4
3
2
3.37%
2.99%
p = .89
5
10
7
11.24%
10.45%
p = .88
6
32
11
35.96%
16.42%
p < .01
doi: 10.1371/journal.pone.0080234.t001 Table 1. Frequency counts and percentages of sexual
orientation categories in men (N=89) and women (N=67),
respectively,
and
sex
difference
between
relative
percentages (two-sided). 4: Olfactory measures The Sniffin’ Sticks test [36], manufactured by Burghart
Messtechnik GmbH, was used to obtain all olfactory measures. This is one of the most widely used tests of (ortho)nasal
chemosensory
performance,
based
on
pen-like
odor
dispensing devices. The extended version of the test is
comprised of three tests of olfactory function, namely odor
threshold
(olfactory
sensitivity),
discrimination,
and
identification. The olfactory threshold refers to the minimum concentration
of a tested odorant (n-butanol) that an individual is able to
reliably differentiate from a blank sample. The set consists of
16 dilution steps of the odorant (targets), each of which forms a
triplet with two blanks. A single-staircase, three-alternative
forced-choice (3-AFC) method is used, in which, starting with
the lowest concentration (dilution number 16), an ascending
(low to high concentration) series of even-numbered triplets is
presented,
with
successful
trials
prompting
another
presentation of the same triplet in a random order. Two
successful trials in a row mark a turning point; starting with the
nearest lower concentration, a descending series of triplets is
presented until the individual fails to detect the target. This
marks a reversal towards the higher concentrations and,
starting with the next higher concentration, an ascending series
of triplets is presented until two correct trials occur, marking
another reversal. The testing is finished after a total of 7
reversals is reached. The threshold score is computed as the
arithmetic mean of the dilution number at the last four
reversals. Ranging from 1 to 16, higher scores indicate greater
olfactory sensitivity (i.e. lower threshold). 3.3. Childhood Gender Nonconformity 3.4. Continuous Gender Identity To assess the participants’ current self-concepts as
masculine or feminine, a sex-appropriate form of the Czech
version of the Continuous Gender Identity Scale (CGI; [34])
was administered. The measure includes 10 items rated on a
7-point Likert Scale ranging from “strongly disagree” (1) to
“strongly agree” (7) which relate to how masculine or feminine
the participant feels (“In many ways I feel more similar to men/
women than to women/men.“) and behaves (“People think I
should act more feminine/masculine than I do.“). Scores on the
individual items are added up to produce the overall score,
which can range between 10 and 70. The more masculine a
woman’s self-concept is, the higher the score, whereas men
scoring high on the CGI tend towards more feminine self-
concepts. Both the CGN and CGI were translated to the Czech
language by JVV and back translation was produced by LN. 5: Procedure Individual, one-per-person testing sessions were conducted
by LN in the morning hours or by early afternoon (3 p.m.) in a
well-ventilated room. Individuals were instructed to only
participate if in good respiratory health and were asked to
refrain from smoking or consumption of odorous foods at least
2 hours prior to participation, as well as to forego applying
perfume or other scented cosmetic products. The researcher
first introduced the procedure, assured the participant the data
would be subject to confidential treatment, and provided
financial recompense for participation. In winter time,
participants were first asked to complete the questionnaires
before proceeding to olfactory testing so that their olfactory
performance would not be affected by abrupt changes in
ambient temperature. Within the olfactory testing part of the
session, olfactory sensitivity was always tested first, followed
by discrimination and identification. The participants were
allowed a three-minute break after each test to prevent
olfactory adaptation. The entire session took, in most
participants, 75 to 90 minutes. The three olfactory scores (threshold, discrimination,
identification) were entered in the MANCOVA as dependent
variables, sex and sexual orientation as dichotomous
categorical factors, and age as a covariate. The
follow-up
to
the
MANCOVA
was
twofold,
as
recommended by Field [37]. Firstly, a stepwise discriminant
function analysis and a subsequent canonical analysis were
run, and, secondly, a separate ANCOVA on identification
scores and ANOVAs on discrimination and threshold scores
were performed, further followed up with multiple Mann-
Whitney U tests for post-hoc comparisons. To test whether olfactory scores would be predicted by
sexual orientation or, rather, by its strongest correlate, CGN,
we ran a categorical regression analysis, using the SPSS
Optimal Scaling (CATREG) feature. CGI, which was associated
with CGN scores, was not included in the analysis to prevent
multicollinearity problems. The assumptions of the test were
met since the number of valid cases exceeded the number of
predictor variables plus one. Because of the differences in the
distribution of sexual orientation categories between men and
women, as detailed above, the analysis was run separately for
each sex. In men, the categories of 2, 3, and 4, which only
contained 1, 2, and 3 observations, respectively, were merged. In women, the same was done with categories 3 (N = 4) and 4
(N
=
2). 3.3. Childhood Gender Nonconformity To retrospectively assess the participants’ childhood sex-
typed behavior and gender identity, the participants were
administered a sex-appropriate form of the Czech version of
the Childhood Gender Nonconformity Scale (CGN, [34]). The
scale consists of seven items rated on a 7-point Likert scale,
anchored on both ends with “strongly disagree” (1) and
“strongly agree” (7), respectively. Items cover internal feelings November 2013 | Volume 8 | Issue 11 | e80234 PLOS ONE | www.plosone.org 3 Sex-Atypicality Predicts Olfactory Performance of variance/covariance matrices, if N of the largest group is no
more than about 1.5 times the N of the smallest group [37],
which was met. To look for possible covariate candidates (e.g. age) to include in the analysis, a Kendall correlation matrix was
produced. Further, for the categorical predictors of sex and
sexual orientation, a point-biserial correlation and a biserial
correlation
were
carried
out,
respectively. Since
the
identification score turned out to be positively associated with
age (Kendall Tau = .15, p < .01), age was subsequently
entered in the MANCOVA as a covariate. Also, the
identification score was correlated with both CGN and CGI
scores (Kendall Tau = .15, p < .01 and Kendall Tau = .14, p < . 05, respectively). However, CGN and CGI scores could not be
entered in the analysis as covariates given their significant
association with both of the dichotomous predictors, sex, rpb = -. 34, p < .0001 (both CGN and CGI), and sexual orientation, rb =
-.45, p < .0001 (CGN) and rb = -.25, p < .01 (CGI), respectively. This was because in instances in which there is nonrandom
group assignment and a variable is intimately associated with
any of the independent variables so that the groups inherently
differ on this variable, use of such a variable as a covariate is
incorrect [38]. Nevertheless, the effect of CGN, which is the
strongest correlate of adult sexual orientation [21], on
prediction of olfactory scores was tested by means of a
regression analysis, as detailed below. Finally, there was an
association between CGN and CGI scores, Kendall Tau = .46,
p < .0001. The test of odor discrimination assesses the degree to which
an individual can differentiate between odors in suprathreshold
concentrations. The set comprises 16 triplets of odorized pens,
of which two are identical, and the individual is asked to
indicate the odd one. 3.3. Childhood Gender Nonconformity The score is the total of correct trials (0 -
16), with higher scores indicating a better ability of odor
discrimination. The 16-item test of cued odor identification involves a 4-AFC
task in which the individual is required to choose a label from a
list of four, which he or she thinks best describes the odor’s
source. The score is the total of correct trials. Based on the composite score of the three tests (TDI),
individuals can be classified as normosmic (intact sense of
smell; TDI > 30), hyposmic (TDI 30 - 15), or functionally
anosmic (TDI < 15) [36]. Although all participants reported
good respiratory health, there were 11 instances of hyposmia
in the sample: 10 mild (TDI 25 - 30) and 1 moderate (TDI 20 -
25). The one case of moderate hyposmia was excluded from
the analysis because more consequential factors than a mere
momentary lapse in olfactory performance were likely involved
[36]. 5: Procedure The
dependent
variables
of
identification,
discrimination, and threshold score were treated as numeric
measures, and the CGN and sexual orientation as ordinal
measures, which were discretized by ranking. A numerical
initial configuration was selected, as recommended when no
variables are treated as nominal [39]. Multicollinearity did not
appear a serious problem, as the two predictors (sexual 6: Analyses All analyses were carried out with SPSS 18.0 (IBM Corp.). Data normality was checked firstly by visually examining
individual histograms of all relevant variables, secondly by
producing skewness and kurtosis values and their respective
standard errors, from which z-scores were computed and
compared to the value of 1.96, as suggested by Field [37], and
thirdly with multiple Shapiro-Wilk's W tests. Since departure
from
normality
in
nearly
all
variables
was
detected,
nonparametric tests were used where possible. Differences in CGN and CGI scores related to sex and
sexual orientation were analyzed using the Kruskal-Wallis
ANOVA. To analyze differences in olfactory measures, we ran
a MANCOVA, which is considered to be robust to violations of
multivariate normality, as well as to violations of homogeneity November 2013 | Volume 8 | Issue 11 | e80234 PLOS ONE | www.plosone.org 4 Sex-Atypicality Predicts Olfactory Performance Table 2. Descriptive statistics of childhood gender
nonconformity (CGN), continuous gender identity (CGI),
and olfactory scores in heterosexual and non-heterosexual
men and women. N
mean ± SD gender
nonconformity
scores
mean ± SD olfactory scores
CGN
CGI
identification discriminationthreshold
men
88
18.35 ±
8.82
25.28 ±
8.22
13.55 ± 1.52
13.28 ± 1.64
8.12 ± 2.52
heterosexual
40
12.55 ±
4.68
22.78 ±
8.40
13.13 ± 1.32
12.88 ± 1.79
7.86 ± 2.82
non-
heterosexual
48
23.19 ±
8.56
27.38 ±
7.52
13.90 ± 1.60
13.63 ± 1.44
8.34 ± 2.25
women
67
25.32 ±
10.68
31.58 ±
9.44
13.99 ± 1.24
13.28 ± 1.82
8.52 ± 2.02
heterosexual
32
21.32 ±
10.20
28.87 ±
9.56
14.13 ± 1.21
13.47 ± 1.59
8.55 ± 2.02
non-
heterosexual
35
29.59 ±
9.60
34.48 ±
8.53
13.86 ± 1.26
13.11 ± 2.03
8.50 ± 2.05
doi: 10.1371/journal.pone.0080234.t002 suggested that discrimination between groups was significant
with Sniffin' Sticks identification and discrimination (but not
threshold) scores entered in the model (Wilks' Lambda = .90;
F(6,300) = 2.63, p < .02), in which, however, only the
identification score was a significant contributor, F(3,150) =
3.63, p = .01. The canonical analysis indicated that there was
only one significant discriminant function, accounting for 92%
of the explained variance, by means of which the most
significant and clear discrimination (although rather small in
absolute magnitude) could be made between heterosexual
males and other participants. 6: Analyses To be specific, the lower the
identification and, to a lesser extent, the discrimination score
on the Sniffin' Sticks test, the more likely it was that such
olfactory performance would be exhibited by a heterosexual
male. Table 2. Descriptive statistics of childhood gender
nonconformity (CGN), continuous gender identity (CGI),
and olfactory scores in heterosexual and non-heterosexual
men and women. The results of the second part of the follow-up were in
accordance with this. An ANCOVA with identification as a
dependent variable revealed a sex difference F(1,150) = 5.52,
p = .02 and a sex*sexual orientation interaction, F(1,150) = 4. 96, p = .027. Post-hoc comparisons showed that heterosexual
men scored significantly lower than everyone else, namely than
heterosexual women, Mann-Whitney U = 389, N = 72, p < .005,
non-heterosexual men, Mann-Whitney U = 662, N = 88, p < . 01, and non-heterosexual women, Mann-Whitney U = 509, N =
75, p = .04. An ANOVA with discrimination as a dependent
variable revealed a sex*sexual orientation interaction, F(1,150)
= 4.27, p = .04. This was due to a difference between
heterosexual men and their non-heterosexual counterparts, by
whom they were outperformed, Mann-Whitney U = 713.5, N =
88, p = .04. Descriptive statistics of olfactory measures are
given in Table 2. orientation and CGN) were only found to be moderately
associated, Kendall Tau = .49, p < .0001 and Kendall Tau = . 35, p < .0001 in men and women, respectively. This was further
supported by reviewing the variance inflation factors (VIF),
which were nowhere near the value of 10, and the average VIF
was not greater than 1, as recommended by Field [37]. Moreover, a parallel analysis with multiple linear regression
showed comparable results. 3: Categorical regression of sexual orientation and
CGN scores on olfactory measures 1: Interindividual differences in CGN and CGI scores
The Kruskal-Wallis ANOVA on CGN scores revealed
significant differences H(3, 148) = 55.72, p < .0001, namely
between heterosexual men, who exhibited the lowest CGN
scores, and everyone else (all ps < .001), and between
heterosexual and non-heterosexual women (p = .02), with the
former being more gender-conforming. There was also a
difference in CGI scores, H(3, 148) = 25.49, p < .0001, namely
between non-heterosexual women, who scored second
highest, and the highest-scoring non-heterosexual men (p = . 01) as well as the lowest-scoring heterosexual men (p < .0001). Descriptive statistics of CGN and CGI scores are given in
Table 2. A categorical regression analysis with sexual orientation and
CGN revealed that in men, CGN but not sexual orientation
significantly predicted odor identification scores, β = .403, F =
7.259, p < .0001. Men who tended towards greater gender
nonconformity in childhood exhibited a better ability of odor
identification than their more gender-conforming counterparts. CGN thus explained a significant proportion of variance in odor
identification scores of men, R2 = .231, F(8,87) = 2.960, p < . 01. No significant results were found for the other two olfactory
measures in men. In women, CGN but not sexual orientation predicted the
olfactory threshold, β = -.569, F = 10.127, p < .0001,
suggesting that women who were more gender-conforming in
childhood tended to exhibit greater olfactory sensitivity than
their less gender-conforming counterparts. However, the
overall model was not significant on the conventional level of
significance, R2 = .247, F(10,59) = 1.607, p = .133. No
significant results were found for the other two olfactory
measures in women. Odor identification scores and olfactory
thresholds in men and women relative to CGN and sexual
orientation are plotted in Figures 1 and 2, respectively. 2: Differences in olfactory measures The MANCOVA on olfactory measures revealed no sex
differences, but a significant effect of the covariate age, F(3,
148) = 3.73, p = .013, which was due to its effect on the
identification
score. However,
there
was
a
significant
sex*sexual orientation interaction, F(3,148) = 3.00, p = .033. Results of the first part of the twofold follow-up, the stepwise
discriminant function analysis followed by a canonical analysis, November 2013 | Volume 8 | Issue 11 | e80234 PLOS ONE | www.plosone.org 5 Sex-Atypicality Predicts Olfactory Performance Figure 1. Odor identification scores in men and women relative to CGN and sexual orientation. doi: 10.1371/journal.pone.0080234.g001 Figure 1. Odor identification scores in men and women relative to CGN and sexual orientation. oi: 10.1371/journal.pone.0080234.g001 Figure 2. Olfactory threshold scores in men and women relative to CGN and sexual orientation. doi: 10.1371/journal.pone.0080234.g002 Figure 2. Olfactory threshold scores in men and women relative to CGN and sexual orientation. doi: 10.1371/journal.pone.0080234.g002 November 2013 | Volume 8 | Issue 11 | e80234 Discussion The
present study, however, aimed to investigate the effect of
sexual orientation on the olfactory abilities of odor identification,
discrimination, and the olfactory threshold in men and women,
tested with odors that are presumed to bear no social
relevance. Besides, it should be noted that, in contrast to the
aforementioned chemical compounds, frequencies of specific
anosmias for the odors employed in the present study are not
known but they could perhaps be safely assumed to be
substantially lower than those for the androstenes. Although
women’s olfactory abilities are often rather simplistically
described as being in general superior to those of men, this, in
fact, seems to be particularly true for odor identification, in
which their olfactory superiority appears to be established
relatively early in ontogeny, holds across the lifespan, and
exhibits a later decline with aging [49]. It has been argued that
the better ability of odor identification in women may be partly
accounted for by cognitive factors. It has been found that
performance on the test of odor identification is affected by
verbal abilities and verbal fluency in particular [49], in which
female superiority has been widely reported, e.g. by Halari and
colleagues [24]. Moreover, differences in verbal fluency related
to sexual orientation have also been demonstrated [25,50], with
gay men tending to score higher than heterosexual men or
similarly to heterosexual women, and lesbian women scoring
lower than their heterosexual counterparts or similarly to
heterosexual men. Thus, whether the female advantage in odor
identification is driven predominantly by women’s better verbal
fluency or not, this should be the primary test in which to look
for sexual orientation-related intrasexual differences, with the
other two being less likely to produce such results given the
less consistent sex differences. y
p
By way of explanation, androstadienone is the prominent 16-
androstene steroid found in semen, sweat, axillary hair, and
blood [45] in much higher concentrations in men than in
women, whereas estratetraenol is an estrogen-like steroid
reported to be found in the urine of pregnant women [46]. Importantly, some sex-specific effects on the autonomic
nervous system as well as mood, memory, and sexual arousal,
that act in a context- and dose-dependent manner, have been
reported for both substances [47], although the evidence is less
consistent for estratetraenol. The above-mentioned sex-
specificity of cerebral activation has been interpreted in terms
of the supposed bimodality of the stimuli [40,42,43]. Discussion had been less gender-conforming in childhood exhibited a
better ability of odor identification than the more gender-
conforming ones, irrespective of their sexual orientation. In
women, those who had been more gender-conforming in
childhood exhibited greater olfactory sensitivity than the less
gender-conforming
ones,
irrespective
of
their
sexual
orientation. Thus, it would seem that it is CGN rather than
sexual orientation that actually modulates differences in
olfactory abilities between men and women. In the present study, we found a modulating effect of sexual
orientation on differences between men and women in olfactory
performance. Namely, in odor identification, heterosexual men
were outperformed by all other participants, and, in odor
discrimination, by non-heterosexual men. However, when
separate regression analyses were run for each sex in which,
along with sexual orientation, CGN was entered as a predictor,
only the latter turned out to significantly predict performance on
some of the olfactory tests. To be specific, in men, those who In olfactory research, the number of previous studies which
did take into account the possible effect of sexual orientation November 2013 | Volume 8 | Issue 11 | e80234 PLOS ONE | www.plosone.org 6 Sex-Atypicality Predicts Olfactory Performance on interindividual differences in olfaction is very limited. A
positron emission tomography (PET) study by Savic and
colleagues [40] revealed a sex-dissociated activation of regions
covering the sexually dimorphic nuclei of the anterior
hypothalamus in response to the putative human pheromones,
namely 4,16-androstadien-3-one in women and estra-1,3,5(10),
16-tetraen-3-ol in men. This is one of the key brain regions
mediating human sexual behavior (e.g. neuroendocrine and
autonomic aspects of sexual drive and sexual orientation [41]). In follow-up PET studies, it was found that what actually
mattered was not the biological sex but sexual orientation:
homosexual men differed from their heterosexual counterparts
and resembled heterosexual women in that their preoptic
hypothalamus
was
activated
by
androstadienone
[42]. Similarly, lesbian women, in whom the pattern was less clear,
failed to exhibit activation of the region in response to
androstadienone, unlike their heterosexual counterparts, but
showed some congruence with heterosexual men in their
hypothalamic processing of estratetraenol [43]. Nevertheless, a
PET study with male-to-female transsexuals [44], whose
hypothalamic activation in response to androstadienone and
estratetraenol bore some resemblance to that of both
heterosexual men and women, indicated that the pattern would
likely be more complex. of human body odor, i.e. the so-called social odors. Discussion However,
implicit is the assumption of heterosexual orientation of the
participants, i.e. their presumed sexual attraction to the
opposite sex, which is the context that lends relevance to
interpretations that suggest the pheromone-like nature of these
steroid compounds. Nevertheless, several researchers, e.g. Havlíček and colleagues [47], have questioned the ecological
validity,
and
hence
the
physiological
relevance,
of
androstadienone stimuli employed in the previous studies in
the pure crystalline form, and highlighted the critical effect of
concentration. What is more, the frequencies of specific
anosmias for these compounds in heterosexual and non-
heterosexual individuals were not controlled for. Specifically,
for androstadienone, women are typically found to exhibit lower
thresholds, i.e. greater sensitivity, as shown for instance by
Lundström and colleagues [48]. Hence, it is not clear whether
heterosexually and non-heterosexually oriented individuals
differ in terms of sensitivity and frequencies of specific
anosmias for these compounds, which might at least partly
account for the pattern of findings reported in these studies. However, in their study, Rahman and colleagues [25] failed
to demonstrate clear superiority of heterosexual women over
heterosexual men on all the three tests of verbal fluency
employed. This might indicate potential involvement of sex-
atypicality of individual performance rather than sexual
orientation per se. Sex-atypicality is often described in terms of
childhood gender nonconformity (CGN), which, mainly in men,
is the strongest predictor of sexual orientation in adulthood
[21]. Expecting the involvement of CGN, we hypothesized that,
irrespective of their sexual orientation, men who were gender-
conforming boys would perform primarily in a sex-typical
manner and exhibit relatively lower identification scores than
those who were gender-nonconforming in childhood and who
would be likely to exhibit scores similar to those of gender-
conforming women. Our data support the expected tendency towards greater
CGN in non-heterosexual men and women alike. Also, sex-
atypical levels of olfactory performance on the test of odor
identification (but not on the other two tests) were found in non-
heterosexual men. Heterosexual and non-heterosexual women
exhibited no reliable differences in olfactory abilities in the
present study. Further, it has also turned out that in men, odor
identification scores were actually predicted not by sexual
orientation, but by CGN scores. Discussion In women, CGN scores rather
than sexual orientation appeared to underlie intrasexual Thus, the potential effect of sexual orientation on olfactory
perception first came to be addressed to help explain findings
of sex-dissociated brain activation in response to components 7 PLOS ONE | www.plosone.org November 2013 | Volume 8 | Issue 11 | e80234 Sex-Atypicality Predicts Olfactory Performance variability in the olfactory threshold, although the overall model
was not significant on the conventional level of significance. may relate to variability in cognition within and/or between
sexual orientation groups, specifically to reading abilities and
derived full-scale IQ scores [56] or certain aspects of spatial
memory [57]. However, future studies should also test whether
the presumed better suitability of CGN for capturing the full
range of variability in some traits could not be a mere by-
product of the fact that it is measured in a more precise manner
than sexual orientation, which can be dichotomous, categorical,
or assessed on a seven-point scale at best. Given the fact that female olfactory superiority seems to
pertain predominantly to odor identification, sex differences in
olfaction have often been suggested to be a mere expression
of complex differences in higher levels of brain organization
and function, e.g. by Schlaepfer and colleagues [51]. If this
were the case, the higher scores of women in odor
identification could reflect a cognitive advantage that may
manifest itself in many other respects. That odor identification
and language processing may share some cortical resources
has been pointed out for instance by Lorig [52]. In non-
heterosexually oriented men, the cognitive pattern (particularly
as regards verbal fluency and spatial abilities) was different
from that of heterosexual men and not significantly dissimilar
from that of heterosexual women [50]. Nonetheless, no such
difference was found between heterosexual and non-
heterosexual women, who tend to perform primarily in a sex-
typical manner [53]. This might explain the absence of
significant intrasexual differences in odor identification in
women in this study. Finally, a word of caution should be sounded concerning the
generalizability of the present findings to the general
population. In this study, for the sake of comparability,
participants were recruited with regard to their sexual
orientation, yielding a ratio of non-heterosexually oriented
individuals to heterosexually oriented ones that approached 1:1
within either sex. However, clearly the estimated frequency of
non-heterosexually
oriented
individuals
in
the
general
population is much lower [26]. Acknowledgements We thank all the volunteers for participation in the study. Discussion Hence, in order to investigate
whether intrasexual variability might interfere with sex
differences in psychophysical olfactory performance depending
on the number of participants, various samples should be
employed in future studies in which the ratio of heterosexual to
non-heterosexual individuals would be closer to that typically
found in the general population. In their review, Brand and Millot [23] put forward the
hypothesis that women may, in general, encounter olfactory
stimuli more often than men and thus they can have greater
experience with a wider variety of odors. At least in western
industrialized societies, this might be due to women’s long-term
greater odor exposure within specific contexts, such as use of
cosmetic products or housework [54], which may start as early
as in infancy. Gender-nonconforming boys, however, appear to
be interested in activities which would be considered typical of
the opposite sex, such as doing hair, makeup, dressing-up,
cooking or cleaning, as can be gleaned from reports of men
who were gender-nonconforming in childhood [55]. Therefore,
gender-nonconforming and gender-conforming men (but not
women) may, in general, differ in the extent to which they
engage in such activities and hence in the level of long-term
olfactory experience. In women, intrasexual variability in
olfactory abilities was less pronounced. Therefore, it could be
speculated that gender-conforming women may not seek more
frequent exposure to a significantly wider variety of odors
compared to their gender-nonconforming counterparts. Conclusions In conclusion, the present study accentuates the need to
employ more comprehensive quantitative measures of sex-
atypicality that are known to covary with sexual orientation,
such as CGN, to acknowledge the full range of intrasexual
variability in traits in which sex differences have been reported. In the present case of olfactory abilities, in which marked
differences between men and women are typically noted, the
variability observed in various measures was not limited to
differences between male and female or heterosexual and non-
heterosexual participants. The measure of CGN has afforded
finer discrimination of individual performance on some tasks on
the basis of recalled childhood sex-atypicality. At the same
time, this study is, to the best of our knowledge, the first to
demonstrate the effect of CGN and sexual orientation on
olfactory abilities. The significance of the present study lies in the finding that
CGN rather than sexual orientation underlies intrasexual
variability in olfactory abilities. We suggest that this may not be
limited to olfaction but in fact represent a more general
phenomenon. Several studies have failed to find any sexual
orientation-related differences in sex-related traits such as 2D:
4D [19], salivary testosterone [8], or certain spatial abilities [22],
suggesting that at least some of the reported differences
between non-heterosexual and heterosexual individuals might
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|
https://openalex.org/W1984532488
|
https://zenodo.org/records/2258370/files/article.pdf
|
German
| null |
Diazoessigester und p‐Xylol
|
Justus Liebigs Annalen der Chemie
| 1,910
|
public-domain
| 7,968
|
,
(
)
Die RingkohlenstoEatome sind dureh dicke Punkte be-
zeichnet , alle Doppelbindungen a d e r Betracht gelassen. B be-
deutet eine Alkylgruppe. ( 900).
’) -11s A-Isomere sollen entsprechend dem Vorschlage von
K. Delbriick solche Kiirper bezeichnet werden, nelche sieh nur
durch die Stellung der Doppelbindungen mterscheiden.
Diese
Annalen 368, 3 (1908). Annden der Chemie 377. Band. 259 259 g
3, E. Buchner u. W. Eraren, Ber. d. d. &em. Ges. %3, 3454
(1900). von Eduard Buchner untl Paul Schulze.’) von Eduard Buchner untl Paul Schulze.’) [Mitteilung ails dem chemischen Institut drr Universitat Breelau. j
(Eingelaufen am 7. Oktober 1910.) Im Anschlusse an friihere Mitteilungen iiber das
Verhalten von Diazoessigester gegeniiber Benzol, Toluol
und m-Xylo12) sei im folgenden die Einwirkung des Di-
azokorpers auf p-Xylol beschrieben. Die Reaktion ver-
lauft bei der Siedetemperatur des KohlenwasserstofTs in
der gewohnten Weise unter Abspaltung von Stickstoff
und unter Anlagerung des Essigesterrestes der Diazover-
bindnng an den Benzolkern, wobei aus dnalogiegriinden
von vornherein die Entstehnng eines Korpers mit bicy-
clischem Kohlenstoifring, einesDirnethylnorcaranderivate~~
erwartet werden durfte. Infolge des eymmetrischen Banes
des p-Xylols kommen fiir die Konstitution des Reaktions-
produktes, sofern man nur das Kohlenstoffskelett ins
Ange faSt und von A-Isomeren 4 b absieht, theoretiseh
lediglich folgende zwei Konstitutionsfclrmeln in Betiwht : g
g
I 5)
I1
H
C0,B
\*/
la
‘I
/7\
.-0 g
g
I 5)
I1
H
C0,B
\*/
la
‘I
/7\
.-0 I 5)
I1
H
C0,B
\*/
la
‘I
/7\
.-0 ___
l) Vgl. die 1naug.-Dissert. von P a u l Schulze, Univereitiit
Breslau 1910. s, E. Buchner u. K. Delbriick, diese Annalen ,358, 1 (1908). Dortselbst auch ausfuhrliche Literaturangaben. s, E. Buchner u. K. Delbriick, diese Annalen ,358, 1 (1908). Dortselbst auch ausfuhrliche Literaturangaben. 18 260 Birchner und Schulze, R i e die nahere Betrachtung ergibt, wiirde durch
Einbeziehung von irgendwelchen anderen zwei benach-
barten Kohlenstoffatomen des urspriinglichen Benzol-
kernes zur Bildung des Cyclopropanringes kein weiteres
lsomeres entstehen. Im Gegensatz zu Formel I weist Formel lI ein
quartares Kohlenstoffatom auf. Die Keigung zur Bildung
von Korpern mit solchen ist im allgemeinen keine grobe. Bei der Einwirkung von Diazoessigester auf Toluol
hat sich speziell gezeigt, dab das Methyl eine orien-
tierende und %war eine abstoDende Wirkung auf den
eintretenden Rest ausubt, ahnlich wie dieses Radikal
iiberhanpt den Eintritt von negativen Substituenten in
den Benzolkern beeinflubt, wobei hauptsachlich Para-
derivate gebildet werden. Aus Toluol und Diazoessig-
ester entsteht so 3-Methylnorcaradi~n-7-carbonsaureester
wahrend aus m-Xylol und der Diazoverbindung 3,6-Di-
methylnorcaradi6n-7-carbonsaureester gewonneii wird. Uas Auftreten eines quartaren Kohlenstoffatomes ist
dabei niemals beobachtet morden. Auch im vorliegenden Falle, bei der Einwirkung des
Diazokorpers auf p-Xylol, entsteht, soweit festgestellt
werden konnte, nur ein Bicycloderivat. Nach dem eben
Erorterten darf es von vornherein als hochstwahrschein-
lich betrachtet werden, daD seine Struktur der Formel I
entspricht. l) Ber. d. d. chem. Ges. 35, 844 (1902).
2, Buchner und Feldmann, Ber. d. d. chem. Ges. 36, 3509
(1903); Buehner und Delbrucli, diese Annalen 358, 16 (1908). 2, Buchner und Feldmann, Ber. d. d. chem. Ges. 36, 3509
(1903); Buehner und Delbrucli, diese Annalen 358, 16 (1908). l) Ber. d. d. chem. Ges. 35, 844 (1902). von Eduard Buchner untl Paul Schulze.’) Eine Beobachtung, welche diese Anuahme
direkt unterstutzt, liegt vor in der Jloglichkeit, den bi-
cyclischen Ester in p-Xethylhydrozimtsaureester umzu-
lagern, was nur bei Zugrundelegung des Schema I un-
gexwungen zu erklaren ist (vgl. S. 265). Es scheint soniit
fur die Einwirkung von Diazoessigester auf Benzolhomo-
loge allgemein zu gelten, da8 der Essigsaurerest mit
dem durch die Substitutionsregel bestimmten Kohlenstoff-
atom und demjenigen von dessen Nachbaratomen in
Reaktion tritt, welches am weitesten von den rorhan-
denen Methylgruppen entfernt ist. Das durch Einwirkung von Diazoessigester auf Biazoessigester und p-Xylol. 261 siedeiides p-Xylol und darauffolgende fraktionierte De-
stillation mit 53-55
Proz. Susbeute erhaltene rohe
Kondensationsprodukt erwies sich aber, wie nach den
fruheren Erfahrungeii zu erwarten war, als ein Gemenge,
worauf schon der unscharfe Siedepunkt und die Schlieren-
bildung beim Fraktionieren hindeuteten. AnDer dem bi-
cyclischen Korper waren noch zwei isomere Umwand-
lungsprodukte vorhanden, namlich in groDer Menge, als
Hauptprodukt, ein durch Ringaufspaltung aus jenem ent-
stehendes Cycloheptatrienderivat und mit kleiner Ausbeute
ein vollkommen gesattigter Korper, der sich als Renzol-
abkommling und zwar als p-Methylhydrozimtsiinreester
erwies. Die Trennung gelang mittelst Smidbildung. da das
Carboxyl bei diesen drei Korpern verschieden, niimlich an
ein primares oder ein sekundares, bzw. ein tertiares
Kohlenstoffatom gebnnden ist, wie die folgenden drei
Konstitutionsformeln erkennen lassen: H
CO,R
\/
L
CH,
1 --i
I
I
T
i
o---=m-CH3
p-Methylhydro-
eimtsaureester H
CO,R
\/
L
H
CO,R
GO ,R
CH,
‘
m
’
I
1 --i
I
1
I
I
I
/km
i
l
/\
--
I1,C-m
m-CHs
H3C-o
m-CHs
/I
I1
m-•
T
i
o---=m-CH3
m-•
p-Methylhydro-
Bicyclischer
Cycloheptatrien-
eimtsaureester
Ester
carhonsiiureeuter H
CO,R
‘
m
’
I
I
1
/\
--
I1,C-m
m-CHs
m-•
Bicyclischer
Ester GO ,R
I
/km
i
l
H3C-o
m-CHs
/I
I1
m-•
Cycloheptatrien-
carhonsiiureeuter m
Cycloheptatrien-
carhonsiiureeuter Ester derartig verschiedener Konstitntion kann man
nach E. F i s c h e r und A. Dilthey’) leicht trennen, weil
ein Carbathoxyl an einem tertiaren Kohlenstoffatom der
Smidbildung bei der Einwirkung von Smmoniak nur
auberst schwierig unterliegt, wahrend sich diese Reaktion,
falls das Carbathoxyl an ein primiires oder ein sekun-
dares Kohlenstoffatom gebunden ist, leicht vollzieht. Das
gleiche Verfahren hat auch in fruheren analogen Fallen
gute Dienste getan.2) Dabei erwies es sich als zweck- 2, Buchner und Feldmann, Ber. d. d. chem. Ges. 36, 3509
(1903); Buehner und Delbrucli, diese Annalen 358, 16 (1908). 18* 262 Buchiier m d Scliulze, mafiig, von den Methylestern ausxugehen. Urnwandlungen des bicyclischen Amids. g
y
Um die Natur des Dimethylnorcaradikinderivats naher
zu erforschen, wurden seine nbergange in Benzolderivate
und in Abkommlinge des Siebenrings ausfiihrlich studiert. von Eduard Buchner untl Paul Schulze.’) da die Leichtig-
keit der Umsetzung mit Ammoniak mit der Illolekular-
grol3e der Verbindungen abnimmt und haufig schon der
Ersatz von k h y l durch Methyl forderlich ist. lj y
y
j
In dieser Weise verfahrend, wurden selbst in giin-
stigen Fallen nur bis zu 5 Proz. des Rohproduktes an
bicyclischem Amid erhalten. Die Trennung desselbeii
von dem gesattigten Benzolderivat, auf dessen Bildungs-
weise wir unten zu sprechen kommen, gelang nnschwierig
infolge der groSeren Liislichkeit des letzteren in wa13-
rigem Ammoniak. Die Hauptmenge des Reaktionspro-
duktes aber bestand aus dem Ester einer oder mehrerer
Cycloheptatriencarbonsiinren, welche durch wal3riges Am-
moniak nicht in Amid iibergefiihrt werden. duf diese
wird weiter unten eingegangen. l) H. Meper, Monatsh. f. Chem. 37. 31 (1906). 2,5-Uime~hylpl~ci~yl-I-essigsau Beim Verseifen des bicyclischen Amids durch Kochen
mit verdiinnter Schwefelsaure entsteht eine der urspriing-
lichen Saure isomere, C',H,,CO,H,
Tom Schmelzp. 128",
die gegen Permanganat in sodaalkalischer Losung voll-
kommen bestandig ist und sich bei der Mischprobe niit der
S,5-Dimethylphenyl-l-essigsaure vom gleichen Schmelz-
punkt, welche auch ails der Cycloheptatriiincarbonsaure
oder aus dem rohen Kondensationsprodukt durch Kochen
mit Schwefelsaure, wie unten beschrieben, erhalten wurde,
als identisch erwies. Es wird demnach unter Aufspaltung
der 6,i- oder der 1,i-Bindung des Cyclopropanringes und
uuter Anftreten einer neuen Dopl)elbindung ein Benzol-
derivat znruckgebildet, ein Vorgang, der sich am ein-
fachsten in folgender Weise durch vorubergehende An- l) H. Meper, Monatsh. f. Chem. 37. 31 (1906). d
X l l
263 Diazoessigester iind p-Xylol. 263 Diazoessigester iind p-Xylol. 263 263 lagerung und Abspaltung in anderer Richtung von 1 Mol. Wasser formulieren lafit: Wasser formulieren lafit:
H
CO,H
CO,H
\/
I
CH
CH,
HO
\
\
I
I'
H
CONH,
A
Lo'
0-0
H>o-* I
I
/I
I
I,
31
7-7
i h
I 1
H,C-os
zL-CH, -+ H,C-•
0-CH, -+ H,C-•
o-CH,
m-o
Ricyclisches Amid
Hypothetisches
2,5-Dimethyl-
0-0
0 -0
Zmischenprodukt
phenyl-1-essigsiiurc H
CO,H
CO,H
\/
I
CH
CH,
HO
\
\
I
I'
H
CONH,
A
Lo'
0-0
H>o-* I
I
/I
I
I,
31
7-7
i h
I 1
H,C-os
zL-CH, -+ H,C-•
0-CH, -+ H,C-•
o-CH,
m-o
Ricyclisches Amid
Hypothetisches
2,5-Dimethyl-
0-0
0 -0
Zmischenprodukt
phenyl-1-essigsiiurc Diese Reaktion gestattet nicht, zwischen den oben
gegebenen moglichen Formeln I und I1 des bicyclischen
Korpers (vgl. S. 259) zu entscheiden, da auch aus Formel I1
durch Aufspaltnng der Bindung 5,7 des Cyclopropan-
ringes dieselbe 2,5-Dimethylphenyl-l-essigsaure in ein-
faclister Weise abgeleitet werden kann. *) Buchner, Ber. d. d. chem. Ges. :U,
986 (1901.) p-illethylh~ydrozimtsaure Eine Umlagerung in ein anderes Benzolderivat lafit
sich durch mehrstiindiges Erliitzen auf 180 O herbeifiihren. Das bicyclische Amid selbst eignet sich nicht dafiir; bei
der geringen zur Verfiigung stehenden Menge desselben
konnte auch an eine Uberfiihrung des rein dargestellten
Amids in den zugehorigen Ester nicht gedacht werden. Die Versuche sind deshalb mit dem rohen Kondensations-
produkt selbst, in welchem jener Ester vorhanden ist,
ausgefiihrt worden. Dasselbe enthalt allerdings an und
fur sich schon etwas p-Methylhydrozimtsaureester, aber
sein Prozentgehalt an diesem Stoffe bzw. der dazu ge-
horigen Saure stieg nach 4-5stundigem
Erhitzen von
6,s auf 12. Denkbar ware noch gewesen, daS sich der
im rohen Kondensationsprodukt nachweislich vorhandene
Siebenring-ester bei diesem Verfahren in p-llethylhydro-
zimtsaureester umlagert. Wir haben daher zur Priifung
das rohe Kondensationsprodukt sowohl von Dimethyl-
norcaradien- a h von p-Nethylhydrozimtsaureester vorher
befreit und hernach erhitzt, nun aber ohne Erfolg. Die
Entfernung der beiden erwahnten Substanzen aus dem 264 Bzichner und Schulze, rohen Kondensationsprodnkt wurde auf zwei Weisen
durchgefiihrt, einmal durch Schiitteln mit konzentriertem
waflrigem Ammoniak, wobei diese Stoffe im Gegensatz
zum Siebenring-ester, wie oben erwahnt, verhaltnismabig
rasch in die wasserloslichen dmide iibergehen; dann
durch Iiingeres Kochen mit verdiinnter Schwefelsaure,
wobei sich das bicyclische Produkt in 2,5-Dimethyl-
phenyl-1-essigsaureester umlagert , der ebenso wie der
Methylhydrozimtsaureester bei weiterem Kochen im Gegen-
satz zum Siebenring-ester schnell verseift wird. Es kann somit als sicher gelten, daS der p-Methyl-
hydrozimtsaureester aus dem bicyclischen Produkt durch
Xrhitzen auf 180' entsteht. Theoretisch 1aSt sich diese Umlagerung durch Auf-
spaltnng der Binduiigen 1,7 und 1,6 des Cyclopropan-
ringes nnd erneuteii RingschluS unter, Bildung eines
Benzolkernes mit Einbeziehnng einer Seitenkette erklaren
und am einfachsten unter dnnahme einer intermediaren
Wasseranlagerung und darauf folgender Abspaltung formu-
lieren, wenngleich die Fkaktion in Wirklichkeit nnter
WasserausschluS verlluft : WasserausschluS verlluft :
CO,H
CO,H
I
I
,CH,
,CH,
lLi
'I
! I
I
II
li
/Ii
3 /
H
CO,H
/7\
H,C HC<gZ
--f EI,C
1
c f q r rCH
--f
8-8
HSC-0
*-CH,
H,C-85
IO-CH,
8-8
0-8
.---a
2,5-Dimethylnor-
Hypothetisches
p-Methylhydro-
caradiencarboiislure
Zwischenprodukt
zimtsiiure
Derartige Ringaufspaltungen und erneute Ring-
schliisse mit anderen Kohlenstoffatomen sind schon wieder-
holt beobachtet und speziell zur Erklarnng des Uber-
ganges der NorcaradiEncarbonsaure in Terephthalsaure l)
unter dem EinfluS von Permanganat herangezogeo worden. Dnrch die Bildung der p Methylhydrozimtsaure ails CO,H
CO,H
I
I
,CH,
,CH,
lLi
'I
! p-illethylh~ydrozimtsaure I
I
II
li
/Ii
3 /
H
CO,H
/7\
H,C HC<gZ
--f EI,C
1
c f q r rC
--f
8-8
HSC-0
*-CH,
H,C-85
IO-CH,
8-8
0-8
.---a
2,5-Dimethylnor-
Hypothetisches
p-Methylhydro-
caradiencarboiislure
Zwischenprodukt
zimtsiiure lLi
'I
/Ii
3 /
H
CO,H
/7\
8-8
H,C-85
IO-CH,
a . a
2,5-Dimethylnor-
caradiencarboiislure 8-8
p-Methylhydro-
zimtsiiure Hypothetisches
Zwischenprodukt Derartige Ringaufspaltungen und erneute Ring-
schliisse mit anderen Kohlenstoffatomen sind schon wieder-
holt beobachtet und speziell zur Erklarnng des Uber-
ganges der NorcaradiEncarbonsaure in Terephthalsaure l)
unter dem EinfluS von Permanganat herangezogeo worden. g
g
g
Dnrch die Bildung der p-Methylhydrozimtsaure ails *) Buchner, Ber. d. d. chem. Ges. :U,
986 (1901.) Diazoessigester und p-Xylol. 265 dem bicyclischen Ester wird fur diesen die Formel I
(vgl. S. 259) wahrscheinlicher gemacht, als Formel 11;
denn, uni von letzterer zur y-Methylhydrozimtsaure zii
gelangen, miiSte nicht nur die Bindung 5,7 des Cyclo-
propanringes, sondern auch die rnit diesem in keinerlei
Beziehung stehende Bindung 1,6 des ursprunglichen
Benzolkernes aufgespalten werden, wozu keine Veran-
lassung besteht. oberfih rung in 8iebenr ing-Deriua te. Ebenso charakteristisch wie der Ubergang des bi-
cyclischen Amids in Benzolderivate ist auch seine Um-
lagerung in zwei Carbonsauren des dreifach ungesattigten
Siebenringes. Erhitzt man das 2,5-DimethylnorcaradiBn-7-carbon
saureamid im evaknierten Einschmelzrohr mit Wasser
auf 160°, so entsteht ein Amid von ganz anderen Eigen-
schaften. Der Korper liefert beim Kochen niit Alkali
eine Saure vom Schmelzp. 136 O; welche nnzweifelhaft als
CycloheptatriBnderivat zu betrachten ist und sich bei der
Xischprobe als identisch erwiesen hat mit jener SLnre,
welche dem im rohen Kondensationsprodukt als Haupt-
bestandteil vorhandenen d7~z~6-(2,5)-~imethylcyclohe
tri6n-i-carbons&ureester entspricht. Ton dieser Snbstanz
handelt das nachste Kapitel. Beim vorsichtigen Verseifen durch heil3e Alkalilauge
entsteht dagegen aus dem 2,5-DimethylnorcaradiEn-7-car-
bonsaureamid eine SLure vom Schmelzp. 98O, welche in
sodaalkalischer Losung groSe iCIengen von Permanganat
entfiirbt, rnit konzentrierter Schwefels%nre eine pikrin-
sgureahnliche Gelbfarbung gibt und beim langeren Rochen
rnit Natronlauge in ein oliges Produkt ubergeht, mas wohl
anf Wanderung von Doppelbindungen zuruckzufiihren ist. Naterialmangel verhinderte jedoch eine niihere Cntw-
snchung dieser Substanz. Ihre mutmaflliche Konstitn-
tion - es handelt sich hochstwahrscheinlich auch nni
ein Siebenringderivat - wird spater besprochen. 266 Buchiier und Schulze, Siebenring-ester aus dem rohen Kondensationsprodukt. Iier groBte Teil des rohen Kondensationsproduktes
wird bei der Behandlung rnit Smmoniak nicht angegriffen. Er entsteht offenbar aus ursprunglich gebildetem Bicyclo-
ester ilurch Umlagerung bei der maSig hohen Reaktions-
teniperatnr nnd enthiilt, nach seinen Verseifungsprodukten
zu schlieben, der Hauptsache nach ein Derivat des
liohlenstoffsiebenringes. Wahrend Kochen rnit Alkali
zaniichst nur olige Saure lieferte, gelang es durch Er-
hitzen rnit verdiinnter Schwefelslure ein festes Produkt
zu erhalten, welches aus dem Gemenge voii 3 isomeren
Saiiren bestand. Durch fraktionierte Fallung wurde
dasselbe in eine ungesiittigte und zwei gegen Perman-
ganat bestandige Sauren zerlegt. Die letzteren erwiesen
sich wieder als p-Methylliydrozimtslure bzw. als 2,5-Di-
methyllJhenylessigsiiure. Die ungesiittigte SBure vom Schmelzp. 136O dagegen
konnte identifiziert werden rnit der oben erwlhnten
Dimet?L!/lc?lcloheptatr~~~carbonsaure,
erhalten aus dem mit
Wasser auf 160° erhitzten bicyclischen Smid. Da aber
der Ester dieser Saure durch Kochen rnit verdiinnter
Schwefelsiinre schwer verseifbar ist und sich unter den-
selben UmstLnden allmahlich in 2,5-Dimethylphenylessig-
shire umlagert, war das Verfahren wenig geeignet, um
grobere lliengen jener Siebenring-saure darzustellen. Es
bezeirhnete demnach einen erheblichen Fortschritt, als
es gelang, aus dem roheii Kondensatioiisprodukt auf ein-
facherem Kege und rnit besserer Ausbeute (40-50
Proz. der Theorie) zur gesuchten Saure vom Schmelzp. 136O
zii gelangen, namlich durch 10 stundiges Erhitzen des
Kondensationsproduktes im evakuierten Einschmelzrohr
auf 160- 170' und darauffolgendes Verseifen mittelst
alkoholischem Kali. Dieser M'eg
ist dem Verfahren
nachgebildet, welches vom bicyclischen Amid zur gleichen
Siiure fuhrt. Nit der so erhaltenen Saure C,H,,CO,H
vom Diaroessigester und p-Xylol. 267 Schmelzp. 136 O, welche in sodaalkalischer Losung grolie
Mengen Permanganat entfarbt und niit konz. Schwefel-
saure eine pikrinsaureahnliche Gelbf lrbung gibt, wie alle
Cycloheptatriencarbonsauren, lieBen sich nun die zur
Auf hellung ihrer Kons titution wunschenswerteii Tersnche
ausfuhren. Zunachst gelang es, sie durch Znfugen ron
6 Wasserstoffatomen in eine gesiittigte Saure von der
Formel C,H,,CO,H
zu verwandeln. Diese Reduktioii
wurde, weil sie sich durch Behandeln niit Katrium in
siedender amylalkoholischer Losung sclilecht bewerk-
stelligen lieI3, nach dem neuen Verfahren ron R. l\-ill-
s t a t t e r und E. Mayer'), durch Einleiten von Tl-asser-
stoff in die atherische Losung bei Gegenwart von Platin-
mohr und zwar zur Verstarkung der Kirknng bei Siede-
temperatur des Athers durchgefuhrt. Die so erlialtene
olige Saure liefert
ein
gut
brrstallisiertes Amid,
C,Hl, CONH, Schmelzp. 186 ", welches gegen Permanganat
vollstandig bestandig ist. Schmelzp. 136 O, welche in sodaalkalischer Losung grolie
Mengen Permanganat entfarbt und niit konz. l) Ber. d. d. chern. Ges. 41, 1475 (1908). Siebenring-ester aus dem rohen Kondensationsprodukt. Schwefel-
saure eine pikrinsaureahnliche Gelbf lrbung gibt, wie alle
Cycloheptatriencarbonsauren, lieBen sich nun die zur
Auf hellung ihrer Kons titution wunschenswerteii Tersnche
ausfuhren. Zunachst gelang es, sie durch Znfugen ron
6 Wasserstoffatomen in eine gesiittigte Saure von der
Formel C,H,,CO,H
zu verwandeln. Diese Reduktioii
wurde, weil sie sich durch Behandeln niit Katrium in
siedender amylalkoholischer Losung sclilecht bewerk-
stelligen lieI3, nach dem neuen Verfahren ron R. l\-ill-
s t a t t e r und E. Mayer'), durch Einleiten von Tl-asser-
stoff in die atherische Losung bei Gegenwart von Platin-
mohr und zwar zur Verstarkung der Kirknng bei Siede-
temperatur des Athers durchgefuhrt. Die so erlialtene
olige Saure liefert
ein
gut
brrstallisiertes Amid,
C,Hl, CONH, Schmelzp. 186 ", welches gegen Permanganat
vollstandig bestandig ist. g
g
Da diese reduzierte SIure iioch zwei TVasserstoff-
atome weniger enthalt, als das entsprechende Honiologe
der Essigsaure mit gleichviel KohlenstoEatomen. mnD in
der Ausgangssubstanz ein Korper niit ringformig ge-
schlossenem Kohlenstoffskelett vorliegen. Zu dem gleichen Ergebnis fuhrte die Untersnchung
des Dihydroproduktes der ursprunglichen Saure voii der
Zusammensetzung C,H,,CO,H
und den1 Schmelzp. 38 O,
erhalten durch Behandlung mit Natrinmamalgam unter
Kuhlung und Zuleiten voii Kohlendioxyd. Dieser Korper
ging durch Addition von 2 Mol. Bromwasserstoff eben-
falls in eine gesattigte Verbindung iiber. Damit ist also erwiesen, dall die Slure voin Schmelz-
punkt 136O drei Doppelbindungen enthllt. Dall es sich
bei dem Korper ferner um ein Siebenring-derivat handelt,
dafur liefert , abgesehen von Analogieschliissen, seine
glatte Uberfiihrung in 2,5-Dimethylphenyl-l-essigsaure 268 Buchner und Schulze, den Reweis; welche beim Kochen mit 50 prozentiger
Schwefelsgure in knrzer Zeit erfolgt. g
g
Die Saure vom Schmelzp. 136O ist demnach als 2,5-
Dimethylcycloheptatrien-7-carbonsaure anzusprechen und
nur noch die Stellung der Doppelbindungen zu ermitteln. Sach der Theorie sind vier A-Isomere vorauszusehen: Sach der Theorie sind vier A-Isomere vorauszusehen: I1
CO,H
I
l
i
<
I
HSC-•
*-CH,
I
A l,P, 3-
e---. IV
CO,H
I
I
1
i
I
H3C-*
0-CH,
.=*
€I,
A 1 ~ 3 ~ 5 . I
CO,H
I /\. 1
H,C-:
0-CH,
I
0- --0
,J
72 2x4-
I11
CO,H
I
1
'
H
H,C-O
:%!€
0 - - 0
A 7,3, 5- I
I1
CO,H
CO,H
I
I
/\. l
i
1
<
I
H,C-:
0-CH,
HSC-•
*-CH,
I
0- --0
,J
72 2x4-
I11
CO,H
I
I
A l,P, 3-
e---. l) Diese Annalen 261, 257 (1889).
2, Ber. d. d. chern. Ges. 04, S% (1891). 2, Ber. d. d. chern. Ges. 04, S% (1891). l) Diese Annalen 261, 257 (1889).
2, Ber. d. d. chern. Ges. 04, S% (1891). l) Diese Annalen 261, 257 (1889). Siebenring-ester aus dem rohen Kondensationsprodukt. IV
CO,H
I
I
1
i
I
H3C-*
0-CH,
1
'
H
.=*
H,C-O
:%!€I,
0 - - 0
A 7,3, 5-
A 1 ~ 3 ~ 5 . (2,5)-Dirnethylcycloheptatrien-T-carbonsLuren. (2,5)-Dirnethylcycloheptatrien-T-carbonsLuren Ein sicherer SchluS auf die Stellung von zwei
Doppelbindungen in der Slure vom Schmelzp. 136" la&
sich aus deren Verhalten bei der Reduktion ziehen. Behandlung in sodaalkalischer Liisnng mit Natrium-
amalgam fiihrt , wie erwlhnt, zur Sufnahme von zwei
Wasserstoffatomen und %war schon bei niederer Tem-
peratnr. Nach -1. v. Baeyer'i werden unter diesen
Umstlnden nur in a-Stellung zur Carboxylgruppe be-
findliche Doppelbindungen reduziert ; es scheidet demnach
die Formel 1V aus. Die auf solche Weise erhaltene
2,5-Dimethyleycloheptadien-7-carbons~ure
geht schon beim
Kochen mit Natronlauge in eine isomere Verbindung vom
Schmelzp. 82" iiber. Hieraus folgt, unter Beriick-
sichtigung der Arbeiten von R. Fittig2), daS in der
Dihydrosaure und somit a w h in der nrsprunglichen Diazoessigester itnd p-Xylo2. 269 Siiure
vom
Schmelzp. 136 O eine Doppelbindung in
P-Stellung zum Carboxyl vorhanden ist, welche bei jener
Rehandluiig in die cc-Stellung mandert. g
g
Der Forderung einer Doppelbindung in CI- und einer
in /?-Stellung entsprecheii von den obigeii vier Formeln
iiui- I1 nnd 111. Diese beideii unterscheiden sich dadurch,
dad die Saure der Formel 111 ini Gegensatz zu jener der
Formel I1 ein asynimetrisches Kohlenstoffatom besitzt,
~velclies durch * bezeichnet ist. Znr Entscheidung a w d e
daher die Saure auf ihre Spaltbarkeit mittelst optisch
aktiver Basen untersncht. Sachdem Brucin, Strychnin,
Chiiiin und Cinchonin iiur schleclit oder gar nicht kry-
stallisiereiide Salze lieferten , m r d e eiidlich mit Cin-
chonidin eine schmerlijsliche, sehr geeigiiete Verbindung
erhalten. Die aus den1 fraktioniert krystallisierten Salz
zuruckgewonnene S h r e zeigte aber keiii Drehnmgsver-
mogen, selbst nicht iiacli Zusatz voii dnimoniummolybdat.')
Kenn diese Versuche nach den Erfahrungen Laden-
burgs') auch nicht als absolnter Beweis dafiir gelten
konnen, da8 die Saure nicht spaltbar ist, so wird man
doch init hoher n~alirsclieinlichkeit schlieflen diirfen, daD
der Skure vom Schmelzp. 1 Y G O nicht Schema 111, sondern
JI zukommt. Sie ist demnach als d7~2~5-(2,5)-Diineth
cycloheytalrii4n-7-carbonsiiure anzus])rechen. y
y
Nit dieser Formel steht anch in ~bereinstimmnng,
daD die Saure gegen kochendes $Ikali grode Bestandig-
keit zeigt, wie sie erfahrungsgem88 jeiien ungeskttigten
Sauren zukommt, welche die Doppelbindungeii moglichst
benachbart zur Carboxylgrnppe anfiveisen. Uiese Be-
dingung trifft hier zii. l) Tgl. I€. Landolt, Das optische DrehuugsvrrmSgr~i 1S9H, 216.
?) Ex.
11. d. chein. Ges. 31, 524, 93i, 1969 (1898). l) Tgl. I€. Landolt, Das optische DrehuugsvrrmSgr~i 1S9H, 216.
?) Ex 11 d chein Ges 31 524
93i
1969 (1898) ?) Ex.
11. d. chein. Ges. 31, 524, 93i, 1969 (1898). Siebenring-ester aus dem rohen Kondensationsprodukt. Schema I wird verniutlich der Siinre vom Schnielz-
yunkt 98 O zugehoren, welche aus dem bicyclischen
Amid durch knrzes Erhitzen niit J-erdiinnter Natronlauge
auf dein TT'asserbade entsteht, ein Torgang, der sich
etwa folgenden Formeln entsprechend abspielt: 270
Biichncr litid Sckulze. I-I
CO,H
H
CO,H
‘./
H--.---.-H
/\
I
1
‘0’
--f
H.,==O’‘< .<p
--f
I
H,C--. e-CH,
H,C--. A-CH,
2,5-Dimetliyl-
Hypothetisches
d
I
I
0--
0
0 --0
norcaradigu-
Zwisehenprodukt
carlionsiiiire
Die Shire voni Schmelzp. 98O ge
Kochen mit Alkali in ein oliges Produ
~~-ahrscheinlich tinter
teilweiser Ters
Doppelbindnng. Allerdings ist es bei de
stehenden. nur geringen Mengen bislier
ans dieser vermntliclien A 79‘194 - Saure
Umlagerung krgstallisierte d7*295-Slnre z
I’rodnkt blieb imnier dig, was aber
liegen kann, tlaB die CJberfiilirnng n
s t andig mar. Der Ester der Ai7’9i-Siii~re wird wah
die Hauptmeiige des rohen Kondensation
machen, entstanden ails dein bicylische
niiiljig hohen Reaktionstempei’atur und Biichncr litid Sckulze. 270
Biichncr litid Sckulze. I-I
CO,H
H
CO,H
COLH
‘./
H--.---.-H
/\
I
1
‘0’
1
--f
H.,==O’‘< .<p
--f
I
H,C--. e-CH,
H,C--. A-CH,
H3C!-! a-CH,
2,5-Dimetliyl-
Hypothetisches
d z~*24-(2,
~)-DinietIiyl-
I
I
0--0
I
I
0--
0
0 --0
norcaradigu-
Zwisehenprodukt
rycloheptatri+n-
carlionsiiiire
carboneiiure
Die Shire voni Schmelzp. 98O gelit schon diii~li
Kochen mit Alkali in ein oliges Produkt iiber, liiiclist-
~~-ahrscheinlich tinter
teilweiser Terschiebnng einer
Doppelbindnng. Allerdings ist es bei den zur Terfiignng
stehenden. nur geringen Mengen bislier nic!it gelnngen,
ans dieser vermntliclien A 79‘194 - Saure dnrch einfaclie
Umlagerung krgstallisierte d7*295-Slnre zu erhalteii. Das
I’rodnkt blieb imnier dig, was aber vielleiclit daran
liegen kann, tlaB die CJberfiilirnng nur nicht
voll-
s t andig mar. 270 H
CO,H
‘0’
--f
H.,==O’‘< .<p
--f
H,C--. A-CH,
Hypothetisches
I
I
0--
0
Zwisehenprodukt COLH
1
H3C!-! a-CH,
d z~*24-(2,
~)-DinietIiyl-
I
I
0--0
rycloheptatri+n-
carboneiiure COLH
1
H3C!-! a-CH,
d
*2
(2 ) Di i tIi l
I
I
0--0 I-I
CO,H
‘./
H--.---.-H
/\
I
1
I
H,C--. e-CH,
2,5-Dimetliyl-
0 --0
norcaradigu-
carlionsiiiire d z~*24-(2,
~)-DinietIiyl-
0--0
rycloheptatri+n-
carboneiiure Die Shire voni Schmelzp. 98O gelit schon diii~li
Kochen mit Alkali in ein oliges Produkt iiber, liiiclist-
~~-ahrscheinlich tinter
teilweiser Terschiebnng einer
Doppelbindnng. Allerdings ist es bei den zur Terfiignng
stehenden. nur geringen Mengen bislier nic!it gelnngen,
ans dieser vermntliclien A 79‘194 - Saure dnrch einfaclie
Umlagerung krgstallisierte d7*295-Slnre zu erhalteii. l) A. v. Baeyer, diese Annalen 251, 265 (1889). Phenylacryl-
saure wird leicht, Methylacrylsaure schwer durch Natriumamalgam
angegriffen. Siebenring-ester aus dem rohen Kondensationsprodukt. Das
I’rodnkt blieb imnier dig, was aber vielleiclit daran
liegen kann, tlaB die CJberfiilirnng nur nicht
voll-
s t andig mar. Der Ester der Ai7’9i-Siii~re wird wahrscheinlich anch
die Hauptmeiige des rohen Kondensationsyrodulites am-
machen, entstanden ails dein bicylischen Ester bei der
niiiljig hohen Reaktionstempei’atur und sich bei dieser
schon allniahlich in den di~2~5-Kster
nmlagernd. Fiir
letztere Uinwandlung spriclit, dalj das Rohprodukt bei
der Terseifiing in kocliendem -4lkali olige Saure liefert,
wiihrend auf 180’ erhitztes Kondensationsprodnkt bei
der gleichen Behandlung direkt krystallisierte $9
?~6-Saur
und daneben nur wenig iiliges Produkt liefert. g
g
Die Uberfiihrung der di9275 -Dimethylcycloheptatri~n
carbonsiinre vom Schmelzp. 136 in 2,5-Dimethylphenyl-
essigsanre bein Yerseifen ihres Esters oder direkt beini
Kochen mit 50 prozentiger Schwefelsaure la13t sich, nach-
dem die Konstitntion des Ausgangsproduktes nun fest-
steht, schematiscli in folgender Y-eise wiedergeben, wobei
fiir die Forinnlierung Sprengnng der 1,7-l)oppelbindung
unter intermediiirer Anlagernng von 2 Mol. Wasser,
gleichzeitig Kandernng entweder der Doppelbindnng 2,3
nncli 3.4 oder der Dopyelbiiidung 5,6 nach 4,5 und hierauf Diuzoessigester und p-Xylol. 271 Diuzoessigester und p-Xylol. 271 271 nnter Wasserabsyaltung SchlieUnng des Benzolringes
angenommen mird: angenommen mird:
CO,H
COzH
t
1 FH,
a- --a
CO,H
'
I
a=-
a
a
. /
'
1
1
1
I
I
H3C-a
C-CH, \
CO,H
I
CO,H
I
H ypothetische
'1, $Dimethyl-
Zwisclienprodukte
phenylessigsiure H ypothetische
Zwisclienprodukte l u f Grund der Konstitutionsformel der diJ16 -Cyclo-
heptatrien-7-carbonsiiure kann nunmehr auch die Stellung
cler Dopyelbindungen in den zugehorigen Dihydrosiinren
vom Schmelzp. etwa 38O und 82O abgeleitet werden. Erstere, durch direkte Reduktion mit Natriumamalgam
in kalter sodaalkalischer Losung erhalten, diirfte A215-
(2,5)-Dimethyleycloheptadiencarbonsiiure (identisch niit
d1~4-(%,5)-Dimethylsaure)
sein, wogegen die zweite, aus
der vorhergehenden durch Kocheii mit Natronlauge er-
halten, durch Wanderung der Dopyelbindungen 5,tj nach
6,7 entstehen wird und demnach als A2>6-(2,5)-Dimethyl-
cycloheptadiencarbonsaure (identisch mit ~f~9~-(%,5)-
methylsaure) zu betrachten ist : methylsaure) zu betrachten ist :
CO,H
CO,H
C0,H
I
I
I
/a\a
+
J
&
a+-a
--f
*Ha\*
i
I
1
I
I
1
H3C-a
a-CH,
HsC-7
a-CH3
H9C-a
.-CH,
a-- -a
,
,I
a--0
! I
a-
---I
A 7'2,5-(2,5)-Dimethyl-
A 2.5-
43.6-
cycloheptatrii5n-
(8,5)-Dimethylcycloheptadien-?-carbonsHure
7-rarbonsiiiire a
I
A 7'2,5-(2,5)-Dimethyl
cycloheptatrii5n-
7-rarbonsiiiire a
I
A 7'2,5-(2,5)-Dimethyl
cycloheptatrii5n-
7-rarbonsiiiire (8,5)-Dimethylcycloheptadien-?-carbonsHure 272 Buchner urcd Schulze, Die d 2*6-Dihydrosaure wird uberraschenderweise
trotz Anwesenheit einer Doppelbindnng in a-Stellung
durch Natriumamalgam weder in der Kalte noch in der
Hitze weiter reduziert, was wahrscheinlich auf den Ein-
flu6 der positiven Nethylgruppen znruckgefuhrt werden
mnS. I) Experimenteller Teil. Barstellung des Kondensationsproduktes. Barstellung des Kondensationsproduktes. 300 g p-Xylol, iiber Natrinm getrocknet und destil-
liert, werden mit 20 g Diaxoessigathyl- bzw. -methylester
am RuckflnBkiihler 3-4 Stnnden lang zum Sieden er-
hitzt. Die Stickstoifentwickelung, anfangs rasch, spater
langsam verlaufend, gibt einen dnhalt fur die Reaktious-
geschwindigkeit. Es entweichen gegen 4 Liter Gas,
1/4-1/2 Liter weniger, als theoretisch zu erwarten. Auch
am SchluBe ist, noch etwas unveriinderter Diazoessigester
vorhanden. J!.ill
nian das bicyclische Produkt isolieren,
so wird die Reaktion schon nach 3 Stnnden unterbrochen. nm dessen Umlagerung miiglichst zu vermeiden. Nach
Abdestillieren des unverbnderten p-Xylols im Vakuum,
das noch Diazoverbindung enthblt und direkt zu weiteren
liondensationen verwendet wird, fraktioniert man den
Riickstand bei niederem Druck. Die Hauptfraktion bei
Anwendung des ithylesters, bei 128-136O (1'2 mm Uruck)
iibergehend, betragt durchschuittlich 16 g. Aus den
Tor- iind Nachlaufen lassen sich noch einige weitere
Grarnme isolieren, so
daS
die Gesamtausbeute an
xthylester 53-55
Proz., an Methylester, der ungefahr
10 nieclriger siedet , 40-46
Proz. der Theorie erreicht. Das Kondensationsprodukt, ein fast farbloses 01
von eigenturnlich aromatischern Geruch, wird vou Per-
manganat sofort oxydiert, farbt sich an der Luft durch
Oxydation allmiihlich gelb (3 g Ester nahmen z. B. in g
,
Das Kondensationsprodukt, ein fast farbloses 01
von eigenturnlich aromatischern Geruch, wird vou Per-
manganat sofort oxydiert, farbt sich an der Luft durch
Oxydation allmiihlich gelb (3 g Ester nahmen z. B. in Dicrzoessigester und p-Xylol. 2'73 3 Tagen 15 ccm Sauerstoff auf) und gibt mit konzen-
trierter Schwefelsaure eine wenig charakteristische gelb-
rote Fiirbung. Die Bnalysen des Rohproduktes snwohl
des Athyl- als des Methylesters iieferten stets um 2 bis
3 Proz. zu iliedrige Kohlenstoffzahlen, und dement-
sprechend auch weniger Kasserstoff, als den Formeln
C,,H,,O,
bzw. C,,H,,O,
entspricht , wahrscheinlich in-
folge hnwesenheit sauerstoffreicherer Prodnkte. Dagegen
fijhrte die weniger
empfindliche Nolekulargewichts-
bestimmung nach der Siedemethode von L a n d s b e r g e r
beim Methylester zu den richtigen Zahlen. Liisungsmittel:
Benzol. I. 0,371 g gaben 13;21 Keuzol bei 0,405O Siedepunktaerhiihung I. 0,371 g gaben 13;21 Keuzol bei 0,405O Siedepunktaerhiihung
11. 0,469 g ,,
14,06
.. ,, 0,455'
1,
Ber. f ~ i r
Gef. C,,Hl,O,
I
II
Molgew. 178
185
196 Versuche, den Kondensationsrorgang iiach A. Lo o s e ')
durch Zusatz von Knpferpnlver katalytiscli zu beschlen-
nigen, gaben weder bei der Siedetemperatur des Xylols,
noch auch bei looo giinstige Ausbeuten. In beideii
Fallen entstanden sehr erhebliche Mengen von Fumar-
sauredimethylester, Schnielzp. Barstellung des Kondensationsproduktes. 103 ', welcher ohne Zusatz
des Metalles als Nebenprodukt nicht beobachtet mwde. l) Journ. pralrt. Cliem. (2) 79, 505 (19093. 2,5-Dimethylnorcaradii;n-'7-carbonsaureamid 10 g durch dreistundige Kondeiisationsdauer her-
gestellter Methylester xerden mit 100 ccm waflrigem,
bei 0' gesattigtem Ammoniak 2 Tage lang geschiittelt. Beim Abkuhlen in Eiswasser krystallisiert dann das bi-
cyclische smid grd3tenteils aus. Ausbeute nur 0,4 g. Zur Reinigung wird aus 10prozentigem Slkohol umkrystalli-
siert. Man erhalt farblose Kldelchen, die unter starker
Braunfarbung bei 163-164'
schmelzen. Das Smid
reduziert in Sodalosung suspendiert grofle Mengeii von
Permanganat, farbt sich an der Luft gelb uild 16st sich l) Journ. pralrt. Cliem. (2) 79, 505 (19093. 274 Buchner und Sehulze, in konzentrierter Schwefelsaure mit charakteristischer
KotfLrbung. 0,1179~ . gaben 0,3186 CO, iind 0,0874 H,O. 0,1121 g ,. 9,6 ccin Stickgas bei 22O und 753 mm Druek. Ber. fur C,,H,,ON
Gef. C
73,54
73,70
H
8,05
8.31
S
8,59
8,78 Heim Kochen mit verdiinnter Schwefelsaure entsteht
d75-Dimethylphenyl-l-essigsaure,
woriiber weiter unten
berichtet ist, wogegen beim Erhitzen mit 5 prozentiger
Natronlange auf dem IT-asserbade nnd darauffolgendes
Ansauern eine Saure erhalten wird, die nicht ganz scharf
bei 98-99
O schmolz, grate Mengen von Permanganat
entfarbte und sich in konzentrierter Schwefelsaure mit
rein gelber Farbe liiste. Der Korper ist hochstwahr-
scheinlich Air2p4-i2: 5)-Dimethylcycloheptatriencarbonsaure;
Kochen mit Alkali verwandelt in ein oliges Produkt;
Materialmangel verhinderte die genaue Untersuchung. Heim Kochen mit verdiinnter Schwefelsaure entsteht
d75-Dimethylphenyl-l-essigsaure,
woriiber weiter unten
berichtet ist, wogegen beim Erhitzen mit 5 prozentiger
Natronlange auf dem IT-asserbade nnd darauffolgendes
Ansauern eine Saure erhalten wird, die nicht ganz scharf
bei 98-99
O schmolz, grate Mengen von Permanganat
entfarbte und sich in konzentrierter Schwefelsaure mit
rein gelber Farbe liiste. Der Korper ist hochstwahr-
scheinlich Air2p4-i2: 5)-Dimethylcycloheptatriencarbonsaure;
Kochen mit Alkali verwandelt in ein oliges Produkt;
Materialmangel verhinderte die genaue Untersuchung. Dem bicyclischen Amid ist haufig etwas p-Methyl-
hydrozimtsaureamid beigemengt welches infolge seiner
groSeren Loslichkeit in konzentriertem Ammoniakwasser
ziemlich leicht abgetrennt werden kann und weiter unten
naher besprochen wird. g
g
g
Dem bicyclischen Amid ist haufig etwas p-Methyl-
hydrozimtsaureamid beigemengt welches infolge seiner
groSeren Loslichkeit in konzentriertem Ammoniakwasser
ziemlich leicht abgetrennt werden kann und weiter unten
naher besprochen wird. d 7121 6 - (?, 5)-Dimethylcycloheptatri~n-7-carbonsaur
(CH,),C,H,. C0,H. d 7121 6 - (?, 5)-Dimethylcycloheptatri~n-7-carbonsaure
(CH,),C,H,. C0,H. (CH,),C,H,. C0,H. Zur Darstellung dieses Korpers konnen 3 Wege
eingeschlagen werden: 1. Das rohe Kondensationsprodulit, am besten wegen
leichterer Verseifbarkeit der Methylester, wird mit
l b prozentiger Schwefelsaure 15-30 Stunden lang er-
hitzt. Auch dann bleibt noch ein Teil unverseift, der
dnrch weitere Fortsetzung des Verfahrens nach und
iiach zerlegt werden kann. Die zuerst olig ausfallende
SIure besteht aus einem Gemenge des gesuchten Kiirpers
mit p -Methylhydrozimtsaure und 2,5 - Dimethylphenyl-l-
essigsaure, dessen Trennung durch fraktionierte Fallung 1. Das rohe Kondensationsprodulit, am besten wegen
leichterer Verseifbarkeit der Methylester, wird mit
l b prozentiger Schwefelsaure 15-30 Stunden lang er-
hitzt. Auch dann bleibt noch ein Teil unverseift, der
dnrch weitere Fortsetzung des Verfahrens nach und
iiach zerlegt werden kann. Die zuerst olig ausfallende
SIure besteht aus einem Gemenge des gesuchten Kiirpers
mit p -Methylhydrozimtsaure und 2,5 - Dimethylphenyl-l-
essigsaure, dessen Trennung durch fraktionierte Fallung Dia~oeualgestcr und p--XyM. 273 aus alkalischer LGsnng niit verdiinnter Schwefelsiinre
gelingt. Die Ansbeute an dem Siebenring-derivat be-
trLgt so 30-55
Proz. der rohen SInre. Sie steigt an,
wenii die leichter verseifbaren dnteile des Estergemenges
vorerst entfernt wer~len. Genanere Angaben dariiber
siehe iii cler hug.-Dissertation ’). g
)
2. Der beste Keg ist folgender: 80 g rolies Konden-
sationsprodukt werden im evakuierten Einschnielzrolir
10 Stunden auf 160-170°
erliitzt , hieranf ini Vakuuni
fraktioniert clestilliert. wobei 10 Proz. dunkelgefarbte
Zers~tzungsprodukte znriickbleiben,
und sodann init
eiiieni geringen UberschuG von 25 yrozentiger methyl-
alkoholischer Kalilauge znniichst in Jer Kglte, danii unter
halbstiindigeni Erwarmen anf deni TI-asserbade verseift. Kacli 1-erjagen des -Ilkohols and Auflosen in 1 Liter
Wasser wird langsam verdiinnte Schwefelsaure zngesetzt,
znnilchst iiur soviel als notig ist, uiu 40 Proz. der Sanre
ansznfiillen, die sich danii sofort krystallinisch ausscheiden. Darch weitereii Znsatz voii SchKefelsiiure konnen iioch
weitere kleine Mengen erhalten merden. Die dusbente
an Siebenring-s&we betriigt 40-45 Proz. der Theorie. Sach Abscheidung (terse1 ben lassen sich aus der Nutter-
lauge noch 10-12
i’roz. krystallinische p - Xethyl-
hydrozimtsiiure ausfillen , die, wenn der Grenzpunkt
misclien beideii SBnren genau innegehalteii ist, nur
n-enig ijlige Vernnl.eiiiigiiiigen aufweist und von dieseii
clurch Behandeln wit Permanganat in Sodalijsung be-
freit xverden kann. 3. ;Ins dein ~,~-L)imetl~ylnorcaradi~~icarboiisiiare
wird (lurch 5 stiindiges Erhitzeii init Wasser im evaknier-
ten Einschiuelzrolir auf 160-170°
niid nachfolgentles
Verseifen des erlialtenen h i d s ebeiifalls Aif2!j-(2,
5)-Ui-
iiietlijTlcyc1oliepiatrit;ncarboiisiiure gebildet. ’; P. Ychulse, Iuang.-I)isrert. Breulan 1910, X .
19
.innalrn der CheInie $ 7 i. Baxi. d 7121 6 - (?, 5)-Dimethylcycloheptatri~n-7-carbonsaur
(CH,),C,H,. C0,H. Ebenso liaiiii
niaii ans ilem bicyclischen Amid dnrch Erhitzeii niit
Kabser auf 180-lYOo
direkt das Immoniumsalz nnd
darans die gleiche S u r e erhalten. 19 19 276
Buchner und S fi l 276 Buchner und Scfiulze, Die Ail% 5- (2,6) - DiniethylcJ-clohe~~
tatriihcarbonslure
ist auch in heiDem Wasser niw sehr schwer loslich und
wird ails 30 prozentigem Alkohol oder 30 prozentiger
Essigsaure in mehreren zentimeterlangen, schwachgelb-
gefarbten, glanzenden Sadelri erhalten. Schmilzt bei
136-137
O, nachdeni bereits einige Grade vorher geringe
Erweichung eingetreten ist. An der Luft vollkommen
bestandig, wird die Saure yon Perinanganat bei Gegen-
wart von Soda auberordentlich leicht angegriffen und
lost sich in konzentrierter Schmefelsinre mit Gelbflirbung,
die aber allniahlich in tiefes Ilotbraun iibergeht. I. 0,1164g gaben 0,3119 CO, und 0,0763 H,O. 11. 0,1374 g
,,
0,3680 Co, ,,
0,0931 If&. Ber. fur
Gef. ClOHl,~,
I
I1
C
73,ll
73,OS
73,05
H
7,38
7,35
7,59 Titration: 0,1521 g verbrauchteu 11,2 ccm "/,,-R'atronlauge,
wahrend sich fur eine einbasischc Siiure C,II,,CO,H 11,1 ccm be-
rechnen. Salze: Kalk-, Kupfer-, Rlei-, Eisen-, Zink- und
Silbersalz sind 60 schwer loslich, claS sie aus Kasser
nicht umkrystallisiert m-erden konnen. Silbersalz. I. 0,1211 g gabeu 0,0492 Ag. 11. 0,1266 g ,,
0,0503 Ag. Ber. fur
Gef. Cl,HlIO&
1
11
Ag
39,82
39,65
39,73 Ag Ag Methylester, durcli Kochen der SBure mit methyl-
alkoholischer
Schwefelsaure dargestellt. Siedepunkt:
120-121
O (12 mm). Verhalt sich gegen Permanganat
und konzentrierte Schwefelsanre wie die Saure und
nimmt ixn Gegensatz zum Kondensationsprodukt aus der
Luft keinen Sauerstoff auf. Amid: Nach bekannter Methode iiber das Saure-
chlorid dargestellt uiid aus heitem Wasser in farblosen
Nadeln erhalten, schmilzt bei 136--137O, also bei der-
selben Temperatur, wie die Saure. 1st an der Luft be- Biazoessigester und p-Xylol. Biazoessigester und p-Xylol. 277 stgndig wid liefert beini Eochen mit Natronlauge oder
SchwefelsLnre die unvergnderte Saure vom Schmelz-
ininkt 136-137
O znriick. 0,1201 g gaben 0,3233 CO, und 0,0867 H,O. 0,1201 g gaben 0,3233 CO, und 0,0867 H,O. 0,1092 g ,,
S,6 ccm Stickgas bei 20° und 750 mm Druck. Ber. fiir C,,H,,OS
Gef. C
73,54
73,42
I3
s,o5
8,09
x
8,59
€484 Dibromid: 0,5 g SLure werden in 1 g Schwefel-
kohlenstoft' gelost, unter guter Kiihlung mit 0,5 g Brom
(2 Atonie anf 1 Mol. Saure), das ebenfalls in etwas
Schwefelkohlenstoff gelost ist, versetzt. Es tritt sofort
Entfarbung ein nnd nach einigen Minuten Abscheidung
ron Krystallen. Nach einer Stunde wird abgesaugt. Ansbeute: 60 Proz. d 7121 6 - (?, 5)-Dimethylcycloheptatri~n-7-carbonsaur
(CH,),C,H,. C0,H. der Theorie. Betrachtliche Mengen
von Bromwasserstoff deuten auf Nebenreaktionen hin. Das Dibromid scheidet sich aus kochendeni Ligroin in
farblosen Nadelchen aus, die sich bei l l O o gelb farben
und bei 126 O unter volliger Zerseteung schmelzen. 0,1473 g gaben 0,1711 AgBr. 0,1473 g gaben 0,1711 AgBr. 0,1473 g gaben 0,1711 AgBr. Rer. fiir C,,H,,O,Br,
Gef. Br
49,35
49,43 Tetrabromid: durch liingeres Behandeln der Saure
(1 Mol.) mit 4 Atomen Brom in Schwefelkohlenstoff-
losnng erhalten nnd aus Benzol umkrystallisiert. Wird
bei 160' gelb nnd schmilzt unter volliger Zersetzung
bei 185O. Entfarbt in sodaalkalischer Losung nur noch
geringe Mengen von Permanganat. 0,1036 g gaben 0,1599 AgBr. Ber. fur CI,H,,0,Br4
Gef. Br
66,09
65,68 AT-
2~ 4-2,5-Bimethylcycloheptatri~n-7-carbo durfte
wahrscheinlich die Saure sein, welche durch Erhitzen
des bicyclischen dmids mit 5 prozentiger Natronlauge
auf dem siedenden Wasserbad, bis kein Smmoniak mehr
entweicht, erhalten wird. Die aus der gut abgekuhlten
Losung durch Schwefelsanre abgeschiedene olige Fallung 19* 19* wird bald fest. Xach Umkrystallisieren a m verdiinntenl
Alkohol sclimilzt der Korper nicht ganz scharf bei 9S0
bis 99O. An der Lnft bestiindig: entfiirbt aber in soda-
alkalischer Liisung grode JIeiigen Ton Permanganat. Mit
konzentrierter Schwefelsaure tritt eine der PikrinsBure
ghilliche GelbfBrbung ein. Kocheii mit Alkali fiihrt zu
einem iiligeii Prodnkt. Die genaue Cntersuchung des
Iiiirpers innBte aus Xaterialmangel nnterbleiben. A r j -2,S-Dirnetl~~lc~c2Oheptadien-7-car60u
(CH&C,H,. CO,H . A r j -2,S-Dirnetl~~lc~c2Oheptadien-7-car60u
(CH&C,H,. CO,H . 2 g I>iniethylcycloheptatri~ncarbons~ure
vom Schmelz-
1)unkt 136 O werdeii in etwas iiberschiissiger Sodalosung
gelost, d a m init TI-asser anf 100 ccm verdiinnt und unter
Einstellen in Eiswasser und Kinleiten von Kohlendioxyd
50 g Satriumamalgani I-on 3 Proz. anf einnial eingetragcn. Sobald die \~-asserstoffent.nrickelung beeiidet ist, fiigt man
nochmals 10 g Amalgam hinzu und schiittelt besonders
gegen Ende cler Reduktion hlnfig urn. Beim Ansauern
der Tom Quecksilber abgegossenen Fliissigkeit scheidet
sich ein 01 ab, welches mit i t h e r unter Zusatz voii
Ammonsulfat anfgenornmen wird. Der iiach Abdampfen
tler getrockneten .hherlosung in einer Kaltemischung
oder beim Reiben erstarreiide Riickstand wird auf Ton
1-011 cleni noch anhaftenden 61 befreit. Xan erhalt so in
einer Ausbeute 1-011 75 Proz. weibe Sadeln voni unscharfen
Schmelzp. 38-40. Da die weitere Keinigung der an-
scheineiid sehr unbestandigen S&we IuBerst schwierig
ist und beim Umkrystallisiereii iieben Krystallen stets
wieder ijlige Produkle erhalten werden, wnrde auf die
liialyse verzichtet. Amid. Aus der Saure iiber das Chlorid mit 40Prox. Ausbente dargestellt; bildet farblose Nadeln, die iiach
niehrnialigeiii Umkrystallisiereii a m Ij-asser bei 138'
sintern und nnscharf bei 1 1 2 O schmelzen. IVird an der
Lnft schon bei eintggigem Liegeii gelb, entfgrbt in Soda-
liisnng suspendiert rrofle Jlengen T - O ~ Permanganat und UiazoessigesteT wid p--Xylol. 279 279 liist sich frisch dargestellt in konz. Schwefels%ure ohne
F
b
k i liist sich frisch dargestellt in konz. Schwefels%ure ohne
Farbenreaktion. Farbenreaktion. 0,1048 g gaben 0,2783 CO, uiid O,OSi9 H,O. 0,10.:1 g
,*
7,9 ccin Stickgas bei 1s" uud 751 imn Drnck. Ber. fur C,,H,,OS
Gef. c:
i2,64
i2,4? s
S,.X
8,iO
H
9.li
9,33 0,10.:1 g
,*
7,9 ccin Stickgas bei 1s" uud 751 imn Drnck
Ber. fur C,,H,,OS
Gef. c:
i2,64
i2,4? s
S,.X
8,iO
H
9.li
9,33 Dihydrotromid: Dnrch mehrtiigiges Steheii der SInre-
liisung in der aclitfaclieii JIenge bei O o gesiittigtem Broni-
wasserstoffeisessig in farbloseii kleinen Sadeln erhalten,
die nach zweimaligem Unikrystallisieren ans heidem
Ligroin bei 120 O unter Gelbfiirbung und Gasentwickelung
schnielzeii und in Sodaliisung dnrch Pernianganat nicht
sofort angegriffen werden. 0,1193 g gaben 0,1589 CO, und 0,0550 H20. 0,0b17 g ,,
0,0931 AgBr. Ber. fur CloHl~O~Br2
Gef. C
36,3d
36,33
H
4,93
.j,li
Br
4Y,i4
48,49
d '#'-
2,s ~imeth?~~cyc~o?ieptadil;li-~-carbons
(CH,),C,H, .CO,H . (CH,),C,H, .CO,H . A r j -2,S-Dirnetl~~lc~c2Oheptadien-7-car60u
(CH&C,H,. CO,H . Wird 1 g der ebeii beschriebeiien Siiure mit 25 ccm
20 prozentiger Katronlauge 3 Stunden lang gekoclit, so
fhllt beim Ansiiuern eine krystallinische Saure, die durch
Litgerii auf Ton in1 Takuum oder dnrch Snfnehmen in
heiDeni Ligroin von etwas 01 befreit wurde. Zur Analyse
krptallisiert man mehrmals aus verdunntein Alkohol um. Krhalten: weide Nadeln, welche bei 82' schmelzen, in
sodaalkalischer Losuiig vie1 Permanganat retluzieren und
iuit konz. Schwefelsiiure keine Fiirbnng geben. g g
0,1307 g gsben 0,3162 CO, und 0,1014 I&O. g g
0,1307 g gsben 0,3162 CO, und 0,1014 I&O. g g
0,1307 g gsben 0,3162 CO, und 0,1014 I&O. Ber. f i r C,,H,,O,
Gef. c
??,a2
72,%
H
8,51
8,70 ,
g g
,
,
,
Ber. f i r C,,H,,O,
Gef. c
??,a2
72,%
H
8,51
8,70 Amid. lllittelst Phosphorpentachlorid dargestellt und
;ins Wasser in weifieii Xadeln erhalten, schmilzt es bei
14i-148°
und Qrbt sich an der Lnft bald gelb. Amid. lllittelst Phosphorpentachlorid dargestellt und
;ins Wasser in weifieii Xadeln erhalten, schmilzt es bei
14i-148°
und Qrbt sich an der Lnft bald gelb. Buchiiel- uiid Schulze, 2 80 I) Ber. d. d. chem. Ges. 23, 289 (1890j. 2,5-Bimethylcycloheptan-7-carbonsaure (CH,),C,H,,. CO,H . (CH,),C,H,,. CO,H . 3 g Dimethylcycloheptatri&carboiis%ure om Scliiiielz-
punkt 136O werden mit 1,5 g Platinmohr, dargestellt nach
0. Low,') und 50 ccm i t h e r mit RiickfluBkiihler ini nur
mit Glasschliffen versehenen Kolbchen auf dem TTasser-
bad Zuni Sieden erhitzt und 18-25
Stunden lang ein
lebhafter, gut gereinigter und getrockneter WasserstoE-
strom eingeleitet, wobei der verdanipfende .&her wieder
ersetzt wird. Die Reaktion ist beeiidet, sobald das
Produkt in sodaalkalischer Lijsung Permanganat niclit
mehr angreift. Das Platinmohr kann hochstens clreiiiial
benutzt werden. Nach Abfiltrieren cles Platins und Ter-
jagen des Athers bleibt die SBnre als fast farbloses 01
zuriick, das auch in Kaltemischnng nicht erstarrt. Znr
weiteren Reinigung fuhrt man uber das Chlorid iii das Amid uber, welches erst nach niehriiialigeni Uni-
krystallisieren aus 30 prozeiitigeni Alkohol in f'arblosen,
glanzenden Nadeln vom konstanten Schmelzp. 18.5-186
O
erhalten wird. 0,1450 g gaben 0,3774 CO, und 0,1479 H,O. 0,1379 g ,,
10,5 cciii Sticlrgas bei 2Zo zind 755 inm DI'LIC
Ber. fiir C,,H,,OS
Gef. ?r'
5>30
s,52
C
70,91
70,98
H
11.34
11,44 Durch Verseifen des Amids mit Satronlauge odrr
SchwefelsLure erhalt man die reine S u r e als iiiclit
erstarrendes 01 von schwachem, nicht nnangenehmem
Geruch. '7-Brom-2,5-dimethylcycloheptan-i-carbonsaure
(CH,),C,H,,Br . CO,H . * I Methode vou V o 111 a r d - Z e 1 i n s li y , iiiodifiziert
von
Vgl. auch Aschan,
A. v. Baeyer, diese Auiiaien 245, 175 (ISS).
diese Annalen 2i1, 265 (1S93).
7 K. Auwers, diese Annalen 280, 89 (1894). 7 K. Auwers, diese Annalen 280, 89 (1894). * I Methode vou V o 111 a r d - Z e 1 i n s li y , iiiodifiziert
von
Vgl. auch Aschan,
A. v. Baeyer, diese Auiiaien 245, 175 (ISS).
diese Annalen 2i1, 265 (1S93).
7 '7-Brom-2,5-dimethylcycloheptan-i-carbonsaur (CH,),C,H,,Br . CO,H . Erhitzt man das Chlorid der 2;5-Dimetliylcycloheptan-
7-carbonsaure mit der berechneten Menge Brom im Ein- I) Ber. d. d. chem. Ges. 23, 289 (1890j. Uiazoessiyeafer upd p-Xylol. d81 schmelzrohr ') einige Stuntlen anf GOo, so verschwindet
die Bronifarbe und nach Entfernen des Yhosphoroxy-
chlorids und Zerstornng des gebildeten Saurechlorids durch
Erwarmen mit Ameisensanre, scheiden sich schlieblich
Krystalle aus. Die Ausbente claran ist jedoch gering
und zur volligen Reinigung mull zudem noch oftmals aus
konz. Ameisensaure unilirystallisiert werden. Dann er-
halt man farblose dicke X'adeln, die bei 152-153O
schrnelzen, nachdem sie schon bei 120° etwas weich ge-
worden sind, nnd nach der Analj-se die gesuchte Mono-
bromsaure reprasentieren. 0,0897 g gaben 0,1574 CO, und 0,0563 H,O. 0,1074 g ,,
0,0773 AgBr. Ber. fiir C,,H,,O,Br
Gef. C
4S,l? 4?,86
H
6,S9
7,04
Br
3'2.10
x , 1 2 L)a bei der angewandten Bromierniigsmethotle die
Substitution erfahrungsgemab stets am a-Kohlenstoffatom
eintritt,2) diirfte das 7-Bromderivat vorliegen. Die Sanre
entfarbt, in Soda gelost, Permanganat erst nach langerer
Zeit. Versetzt man ihre alkoholische Losnng mit alko-
holischer Kalilauge , so scheidet sich nach menigen
Stnnden die berechnete Xenge Bromkalium ans; die
Untersuchung des entstehenden nngesattigten Produktes,
dessen Suftreten durch Permanganat leicht nachzuweisen
ist, mubte aber wegen Naterialmangel unterbleiben. 2,5-Diinetlry~Iienyl-l- essigsaure,
rCH,)$,H,.CH,.CO,H. 2,5-Diinetlry~Iienyl-l- essigsaure,
rCH,)$,H,.CH,.CO,H. I) Conipt. rend. V25, 36 (lS97. 2,5-Diinetlry~Iienyl-l- essigsaure,
rCH,)$,H,.CH,.CO,H. Diese Verbindung wird aus dem bicyclischen Amid,
aus der Dimethylcycloheptatri&ncarbonsaure vom Schmelz-
punkt 136O untl deren Ester, sowie endlich aus dem
rohen Kondensationsprodukt dnrch Erhitzen mit 60 proz. Schwefelsiiure crlialten. allenfalls ron beigemengteu 1111-
geiiittigten Isonieren iu sodaalkiilisclier Lijsung mittelst
Ye:*maiiganat befreit und am vie1 kochendem V-asser
aieitrnials nnikrystallisiert. Schnielzll. 128-129
O. 1~,116> g gaben 0,3125 CO, und 0.0773 Ii,Q. Ber. fur G,,H,,O~
Gef. C
i 3 , l l
i3,16
H
:,35
5,43 1~,116> g gaben 0,3125 CO, und 0.0773 Ii,Q. Amid. Uber das Chlorid dargestellt uiid inehrfach
ails lieilleiii Wasser nnilirj-stallisiert. Schmelxp. 154 ". 0.1254 g gaben 0,3168 CO, uncl 0,093:: H,O. 0,0919 g ,,
7,2 C C I ~ Stickgas bei 20' uud i i 2 inm Drnck. 0.1254 g gaben 0,3168 CO, uncl 0,093:: H,O. 0,0919 g ,,
7,2 C C I ~ Stickgas bei 20' uud i i 2 inm Drnck. Ber. fur Cl,Hl,OS
Gef. C
i3,j1
i3,6>
Ii
8,Oi
5,15
s
s,-)Y
8,T8 0.1254 g gaben 0,3168 CO, uncl 0,093:: H,O. 0,0919 g ,,
7,2 C C I ~ Stickgas bei 20' uud i i 2 inm Drnck Ber. fur Cl,Hl,OS
Gef. C
i3,j1
i3,6>
Ii
8,Oi
5,15
s
s,-)Y
8,T8 Q u e r b e t l) gibt den Schii~elz~~niilit
der 2,3-l)imetligl-
I)lieiivvlessigsaure, C,,H,,O,,
zu 1% O nnd den ihres Aniids
zu 154O an. Die ~bereinstimmuiig dieser Daten mit den
oben beschriebeiieii, die aiialytisclieii Ergebnisse nnd die
Bestandigkeit unserer Sanre gegeii Permanganat sind als
geniigeiider Beweis anznselieii, 11aR t:its3chlich 2,S-I)iiiie-
thpll)lien~l-l-essi~s~i~~~
vorliegt. p-lllthvl~~drozimtsai
CH, . C,H, . CH,. CH, . CO,H . 1) Her. d. d. chern. Ges. 23, 1898 (1890).
*) Ber. d. d. chem. Ges. 23, 1033 (IS9Oj. p-lllthvl~~drozimtsai
CH, . C,H, . CH,. CH, . CO,H . Der Kster dieser Siiure entstelit durch Umlagerung
des bicyclischen Esters bei liijheren Temperaturen. Er
ist daher in geringer 1Gleiige auch in1 rohen Kondeii-
sationsprodukt vorhaiiden nnd cler Qehalt des letztereii
lafit sicli durch ~berliitzeii steigern. Die zugehorige
Saure, durcli Terseifen mittelst 'Alkali oder '3" sure er-
halten, krystallisiert aiis Kasser oder Ligroiii iii farb-
loseii Kadeln, die in sodaalkalischer LSsuiig gegen Perinan-
gaiiat rollkoiiiiiieii besthidig sind und bei 117O schmelzen. 2'8s Diazocssigester 7ind p-AXylof. Diazocssigester 7ind p-AXylof. 2'8 0,1156 g gaben 0,3102 CO, uud O , O i i 6 H,O. Her. fur C,,H,,O,
Get. H
i,Yd
4,02
C
i 3 , l l
i3,lY
r - 0,1156 g gaben 0,3102 CO, uud O , O i i 6 H,O. 0,1156 g gaben 0,3102 CO, uud O , O i i 6 H,O. Amid, dargestellt iiiit Hilfe des Clilorids. Kird ans
heifiem M-asser oder Ather in flachen Sadeln erhalten,
voni Schnielzp. 135 '. Entfxrbt in Sodalbsung Perman-
ganat nicht. 0,1062 g gaben 0,286s CO, nnd 0,077s H,O. 0,1033 g ,,
S,O ccni Stickgas bei 18O und i s 9 mm Druck. Ber. fur C,,H,,OS
Gef. €I
s,o5
8,21
x
8,X
5,SO
C
73,54
i3,65 Die vorliegende Sbure iiiulite auf Grund der prozen-
tisclleii Zusanimensetzung in1 Znsanimenhalt mit ihrer
Best2ndigkeit gegen Pernianganat voii vornhereiii als
Benzolderivat betrachtet werden. In cler Tat zeigt von
den isomeren Benzolcarbonsiiuren die 1)-Methylhydrozinit-
s2ui-e iihiiliclien Schnielzpunkt (v. Niller nnd Rhode l)
116O, Kriiber2) 120')). Das Amid dieser Saure war
aber niclit bekannt geworden. Auf den Schmelzpnnkt
der Siiure allein konnte ein Identitiitsbeweis um so
weniger gestiitzt werden, als 37 isoniere Benzolcarbon-
siiuren iler Formel CloHl,02 vorauszusehen sind, von
welchen bis jetzt nicht einmal die Hiilfte beschriebeii
wurde. AuSerdem war die Annahme der Bildung eines
para-Benzolderivats durch Umlagerung aus dem bicyc-
lischen Kiirper nicht die nachstliegende iind bedurfte
tier Begrlndung. Znr direkten Ermittelung der Stellung der Substi-
tuenten wnrcle die Saure deslialb zunachst in allialischer
Losung auf dem \Vasserbad mit Permanganat oxxdiert :
es resnltierte eine farblose, sehr sclimer lijsliche Saure,
die aucli bei 350° iiicht schmolz. I)er zur ldentifi- 284 Tubandt, zierung daraus dargestellte Methylester krystallisierte aus
Methylalkohol in Nadeln vom Schmelzp. 140° und erwies
sich bei der Bnalyse als der erwartete Terephthalsaure-
methyles ter. 0,1296g gaben 0,2941 CO, nnd 0,0596 H,O. 0,1296g gaben 0,2941 CO, nnd 0,0596 H,O. Ber. fur C,,H,,O,
Gef. p-lllthvl~~drozimtsai
CH, . C,H, . CH,. CH, . CO,H . C
61,82
61,89
H
5,20
5,16 SchlieBlich haben wir auch noch p-Methylhydrozimt-
sXnre nach den Angaben von v.Miller und Rhode dar-
gestellt, vom Schmelzp. 117O erhalten und daraus das
Amid vom Schmelzp. 135 O gewonnen. Mischproben der
synthetischen p-Methylhydrozimtsaure nnd ihres Amides
mit den zu identifixierenden Korpern ergaben keine
Schnielxpunktserniedrigung , wodurch die Identitat be-
wiesen ist. l) Diese Annalen 339, 41 (1905) und 354, 259 (1907). Zur Inversion des Menthons;
voi~ C. Tubandt. Zur Inversion des Menthons;
voi~ C. Tubandt. (Bearbeitet von K. iliohs, W. Tubandt und H. Wehhauseii.)
Xitteilung aus dem chemischen Institut der Universitat Halle.]
(Eingelaufen am 12. Oktober 1910.) (Bearbeitet von K. iliohs, W. Tubandt und H. Wehhauseii.) (Bearbeitet von K. iliohs, W. Tubandt und H. Wehhauseii.) (Bearbeitet von K. iliohs, W. Tubandt und H. Wehhauseii.) Xitteilung aus dem chemischen Institut der Universitat Halle.]
(Eingelaufen am 12. Oktober 1910.) In zwei fruheren Uitteilungen l) wurde gezeigt, da8 die
Inversion des Menthons ein xu kinetischer Untersuchung
vorzuglich geeignetes Beispiel einer umkehrbaren Reaktion
erster Ordnnng darstellt; die beiden reziproken Reaktionen
lassen sich im gleichen Temperaturgebiet mit derselben
Genauigkeit und Bequemlichkeit messend verfolgen , so l) Diese Annalen 339, 41 (1905) und 354, 259 (1907).
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W2073925960.txt
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https://zenodo.org/records/1767910/files/article.pdf
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de
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Einige Bemerkungen über Aphasie im Anschluss an Moutier's „L'aphasie de Broca“
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Archiv für Psychiatrie und Nervenkrankheiten
| 1,908
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public-domain
| 15,046
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XII.
Aus der psychiatrischen Universitiitsklinik zu KSnigsberg i. Pr. (Director Prof. E. Meyer).
Einige Bemerkungen iiber l p h a s i e im Anschluss
an ~ioutier's ,,L'aphasie de Broca".
Von
Privatdocent Dr. K u r t Goldstein.
Oas umfangreiche Material~ auf das P i e r r e Marie seine revolutionaren
Ansehauungen fiber dieAphasie griindete, liegt jetzt ineinem schSnen Buche
yon Mo u t i e r vor. Die Marie'schen Ansehauungen~ deren Vertheidigung
dieses ganz% fast 800 Seiten starke Werk gewidmet ist~ haben schon
yon versehiedenen S e i t e n - ich nenne nur D e j e r i n e , H e i l b r o n n e r ,
v. Monakow und L i e p m a n n u. a.~ also yon angesehensten Autoren auf
dem Gebiete der Aphasielehre- ihre kritische Besprechung und Zurfiekweisung erfahren. Wenn ieh es trotzdem unternehme, hier noehmals
darauf zurfickzukommen~ so drangt reich dazu einmal die Thatsache
dieses imponirenden Buches~ das leicht durch die iiussere Wucht, mit
der es auftritt, in verh~ngnissvollem Sinne suggestiv wirken kSnnte, andererseits der Umstand~ dass die Anschauungen der franzSsischen Autoren
doch zum Theil Gesichtspunkte enthalten, die ffir eine weitere Entwickelung der Aphasielehre mir bedeutungsvoller erseheinen~ als es bisher
in den kritisehen Betrachtungen hervorgehoben worden ist. Gleiehzeitig
benutze ich gern die Gelegenheit an diese kritische Besprechang einige
eigene Bemerkungen fiber gewisse Hauptpunkte der Aphasielehre anzuschliessen.
Die Angriffe der franzSsischen Autoren gegen die klassische Lehre
der Aphasie richten sich gegen Grundanschauungen derselben in anatomischer und k]inischer Beziehung.
Die anatomischen Ausffihrungen gipfeln in der Leugnung jeder Bedeutung der Broca'schen Stelle ffir die Aphasie. Es sind besonders
Einige Bemerkungen tiber Aphasic etc.
409
die negativen Falle in beiderlei Richtung, also die L~tsionen der B r o c a schen Stelle ohne Aphasic und die Fi~lle yon motorischer Aphasie ohne
Litsion des Broca'schen Feldes, die Moutier zm" Beweisfiihrung heranzieht.
Bei der Beurtheilung dieser negativen Fitlle fehlt es aber all tier
genfigenden Kritik. Die bekannten Erfahrangen der experimentellen
Hirnphysiologie tiber den Unterschied zwischen primgren und secundgren
Ausfallsymptomen~ zwischen Temporlir- und Residulirsymptomen, haben
nicht geniigende Beriicksichtigung gefunden.
Monakow 1) hat erst
wieder darauf hingewiesen: dass eine grosse Anzahl motorischer Aphasien
bald zurtiekgeht. Finder man dann bei dam anseheinenden Fehlen
klinischer Symptome Lgsionen der B r o c a ' s e h e n Stelle, so braucht man
sich nicht zu wundern. Der Defect hat eben nicht genfigt, um die
Function dauernd zu schltdigen. M o u t i e r will allerdings ~Ton der hierzu nothwendigen Annahme eines Wiederersatzes der Fanction nicht viel
wissen. Gewiss~ wir kSnnen nicht voraussetzen~ dass ein anderer llirntheil ffir einen Defect funetionell eintritt; eine derartige Voraussetzung
ist abet garnicht nothwendig. Thats~ichlich ist wahrscheinlich ein viel
grSsseres Gebiet an der functionel]en Leistung betheiligt~ als nar z. B.
bei einem bestimmten Ausfall zun~ichst in Erscheinung tritt.
Der
Defect zeigt nnr an 7 welcher kleinste TheiI etwa l~tdirt sein muss~ damit ein Functionsausfall eintritt, tier wahrscheinlich mit durch Hemmungswirkung auf das fibrige zur bestimmten Function gehiirige Gebiet bedingt ist. Bleibt kein functionelter Dauerausfal[ bestehen, so dfirfen
wir annehmen, dass naeh Fortfall der Hemmungen tier Defect nicht
genfigte~ um die Function vSllig zu stSren. So ist wohl ein grosser
Theil der Fitlle van Defect im Broea'schen Centrum ohne Aphasie
aufzufassen.
Die Falle, in denen niemals aphasische Symptome beobachtet
wurden, wie z.B. in den Beobachtungen M a r i e ' s und Moutier's~
linden unschwer eine andere Erkl~rung~ fihnlich wie die negativen
Falie in anderer Richtung - - Aphasie ohne Erkrankung des B r o e a'schen
Feldes. Sie zeigen einfach~ dass die B r o e a ' s c h e Windung nicht allein
imstande ist~ motorische Apbasie zu erzeugen. Das ist keine neue
Entdeckung, sondern jedem Unbefangenen lange bekannt und nach allgemein gehirnphysiologischen Principien ohne weiteres zu verstehen.
Der Hauptwerth der diesbezfiglichen Mittheilungen der franzSsischen
Autoren besteht in der Ver6ffentlichung einer Reihe in dieser Riehtnng
einwandfreier Fiille. Die Localisation ist niemals eine so scharfe und
besonders generell so gleiche, dass nicht Abweichungen besonders in
individueller Beziehung vorkommen. Der Satz M o u t i e r ' s : ,,N'y efit-il
410
Dr. Kurt Goldstein,
all monde qa'un eas nggatif pour elle, la loealisation de B r o e a ne
pom'rait se maintenir ~tant donn6 l'indigenee des faits invoqugs en sa
faveur ~, geht deshatb viel zu weit.
Deshalb kann ieh aueh den Beobaehtungen B u r e k h a r d t ' s
keine so beweisende Bedeutung beilegerr
als Moutier~ der sie ftir geeignet h~ilt, ,,'X renverser k jamais la loealisisation de B r o e a " (S. 104).
Aueh sind die B u r e k h a r d t ' s e h e n F~illo zu ungeniigend untersueht
resp. mitgetheilt, um einwandfreie Sehlfisse zu erlauben. Die Defeete sind aft
sioh reeht goring% wenig in die Breite und Tiefe gehende. Dass die Excision
der Pars triangularis iibrigens nioht ganz ohne Einfluss war~ beweisen die An2
gabon des Autors, dass der Spraehsehatz des Kranl~en vermindert war, dass er
leiser und weniger spraoh. \u
ist zu beden!~en, dass der Kranke tiber.
haupt nur immer dieselben I~edensarten spraeh, fiir die wit dementspreehend
eine grosse funetionelle Ueberwerthigkeit anr~ehmen kSnnen~ die bewirl~t, dass
bei der relativ nieht ausgedehnten Sehiidig'ung des Subs~crates diese wenig'en
Worte noeh gesproehen werden konnten. - - In einem andern Palle (I) wird
nach der Abtragung der Pars triangularis zwar beriehtet: 7~Sehon naehmittag
nach der Operation nieht aphasiseh"; weiter heisst es, ~der besl~indige Redefluss ist unterbroehen~ Patient ist stille goworden. *' Was sell man aus solehen
Angaben maehen? Andere Fiille sind sehon deshalb wenig vorwendbar, weil
zwisehen Operation und erster BeobaehtungsmSgliehkoit wegen der Narl~ose und
ihrer Naehwirkungen etc. l~ngere Zeit verstrieh, die beider Geringf~gigl~eit
der Liision vielleieht gen~igte, um den Defect f(ir die oberfl~iehliehe Priifung
auszugleiehon. Aus allen diesen Griinden seheint mir die Beweiskrgftigkeit derB u r o k h a r d t ~ s o h e n FSlle doeh sehrzweifelhafg; man muss eher vor bestimmten Schltissen aus ihnon warnen.
Die Frage, ob die Broea'sche Stelle die wiehtigste ftir die motorisehen Spraehst6rungen ist, ist nattirlieh'nur dtireh Thatsaehen zu entseheiden; naeh dem bisher vorliegende n Material seheint eine reeht
grosse Variationsbreitezu best-ehen. S o v i e l m u s s z u g e g e b en w e r d e n
das die b i s h e r i g e L o e a l i s a t i o n
a u f den F u s s d e r d/qtt~en
Stirnwindung wohl moist, vielleiehtimmer,
e i n e zu e n g e ' i s t ,
um j e d e n f a l l s d a u e r n d m o t o r i s e h e A u s f a l l e r s e h e i n u n g e n
zu
e r z e u g e n . Deshalb muss die aussehliessliehe Loealisation auf diese
6egend fallen gelassen werden~ u n d e s ist noeh ein angrenzendes mehrodor weniger ausgedehntes t3ebiet in das Bereieh des motorisehen Spraehgebietes z u ziehen. Wie weit ~tieses Goblet reieht, dartiber warden
weitere Erfahrungen zu entseheiden haben. Bisher ist wahrseheinlieh~
dass neben dem Fuss der dritten Stirnwindung vielleieht noeh andere*
Absehnitte dieser Windung und vielleieht aueh der anderen Stirnwindungen (of. einen Befund D e j e r i n e ' s ) in Betraeht kommen, weiterhin wohl Theile der Insel und zwar besonders tier vordere Absehnitt-
Einige Bemerkungen fiber Alohasie etc.
411
derselben~ (daraufhin deuten die Fglle yon B a n t i , Monakow und
L a d a m % auch ein neuerer yon L i e p m a n n (3) u. a. of. aueh die
F~ille yon subcortiealer motoriseher Aphasie mit aussehliesslichem Befallensein der F3 in der Zusammenstellung M o u t i e r ' s ) . Dagegen daft
man sieh einer anatomisehen Autoriti~t wie yon Monakow wohl anschliessel~, wenn er gegeniiber Marie as ablehnt, ein so grosses Gebiet
ffir die ,Anarthrie" gelten zu lassen, als M. in Ansprueh nimmt. Es
sind ja genugsam Falle bekannt, bei denen ein betrliehtlieher Theil dor
,zone lentieulaire" der Franzosen betroffen war, ohne dassAphasie eintrat. Wenn es doeh za aphasisehen StOrungen kommt, so bleibt immer
noch die ErklfirungsmOgliehkeit, dass es sieh um Fernwirkungen: Drnckwirkungen ate. handelt.
Nut eine aufs seh'iirfste individualisirende
Kritik wird hier vet Irrthfimern sehfitzen.
Welche Form der motorischen Aphasie kommt &web die L:,tsioD
dieses motorischen Gebietes der Sprachregion zustande?
Man kann wohl M o u t i e r reeht geben: wenn er (S. 93) scbreibt:
,il n'existe dans la litt6rature medieale aueune observation d'aphasie
de Broea, dans laquelle on air a l'autopsie eonstat6 une 16sion unique 7
rigoureusement loealis6e au pied de la 80 eireonvolution frontale gauche".
Die S t S r u n g : die j e d e n f a l l s als D a u e r s y m p t o m bei L/ision
auch des e r w e i t e r t e n B r o c a ' s c h e n G e b i e t e s z u r t i e k b l e i b t ~ i s t
die s u b c o r t i e a l e m o t o r i s c h e A p h a s i e . FiirunsbleibtdiesesGebiet
trotzdem bedeutungsvoll ffir die Aphasie. Ffir die Franzosen ist es nur
deshatb ,,ray6e des eentres de l'aphasie" (Moutier, S. 247), weil s i t
die subcortieale motorisehe Apbasie nicbt zur Aphasie reehnen. Unter
Berficksiehtigung dieses mehr nebensliehliehen Momentes, auf das wir
spater zurfiekkommen, verliert der seheinbar so allem bisher Bekannten
widerspreehende Satz M a r i e ' s ,la troisi6me eireonvolutien frontale
gauche ne joue aucun rble spgcial clans la fonetion de la langue" an
Paradoxit~tt.
DiG Thatsaehe an sich~ mit Energie darauf hingewiesen zu haben,
dass Z e r s t 6 r u n g d e r , B r o e a ' s e h e n Z o n e " n u r die s u b c o r t i c a l e
A p h a s i e erzeugt, halteieh ffir ein Verdienst der franz6sischen Autoren.
Aueh diese Ansehauung ist nieht absolut neu. Sie wurde sehon dutch
eine Reihe Mterer Beobaehtungen waehgerufen, f~r die die Zusammenstellung M o u t f e r ' s allerdings erst ein beweisendes Material liefert. Aueh
Me n a k o w vertritt jetzt eine ahnliehe Ansehauung. ]eh habe frtiher
(1) auf Grnnd einzelner Beobaehtungen aus der Literatur und mehr
noch aus rein theoretischen Grfinden eine derartige Function der Broeasehen Stelle angenommen, und begrfisse es mit Freuden, dass diese
Annahme jetzt aueh anatomiseh einwandfrei erwiesen ist.
412
Dr. Kurt Goldstein~
We ist die eigentliehe Broea'sehe Aphasic zu localisiren? Yet den
anatomischen ErOrterungen miissen wir auf die klinisehen Ausffihrungen
der franzSsisehen Autoren eingehen.
Zun~ichst einige Worte fiber die B e z e i c h n u n g A n a r t h r i e . Der Grund,
weshalb Marie die alto Bezeichnung verwirft, tiegt darin, dass er diese SprachstSrung fiberhaupt nicht in eine Linie mit der Aphasic stellen will. Ffir ihn
ist Aphasic ,le fait de comprendre insuffisamment la parole, de prgsenter cette
d~ehdance intelleetuelle particuli~re sur laquelle nous avons insistg et enfin~
fair trSs important d'avoir perdu la facultg de lire e~ d'gcrire" (Sem.
todd. 17. Oct. 06). Eine derartige Definition sehliesst natfirlich die
reine Wortstummheit aus dem Begriffe der Aphasic aus, es fragt sich nut:
ist eine derartige neue Definitio% die so wesentlich vom Usus abweieht, bereehtigt? Auf die histhorische Entwickelung des Aphasiebegriffes kann sie sieh
sieher nicht stfitzen; Aphasic bezeichnete ursprfinglich nur die StSrung im
expressiven Theile der Sprache; erst sp~iter wurde der :Name auch auf die
sensorisehen StSrungen ausgedehnt, die bei der neuen Abgrenzung sehr im
u
stehen. Aber schliesslich handelt es sich dabei um eine Definitionssa&% fiber die nur nach dem ZweckmSssigkeitsprinzip zu entscheiden sein
d~irfte. Sieherlieh muss aber dann eine neue Bezeichnung verworfen werden, die
berufen ist, die vorliegende StSrung mit ganz andersartigen zu vermengen, wie
der Ausdruck Anarthrie der franzSsischen Autoren. Die Autoren geben auch zu,
dass diese Anarthrie etwas anderes sei als die Dysarthrie bei Psendobulbiirparalyse, also fiberhaupt als Folge von Lahmung, aber sic wollen beide StSrungen mit noeh anderen, so den alaetischenin eine 1Keihe stellen gegenfiber
der Aphasic, die ffir sic etwas ganz andereg eine intellektuelle Stgrung, ist.
Diese Zusammenstellung der subeortiealen Aphasic mit den anderen Anarthrien
ist zu verwerfen, ist nicht bereehtigt. Bei der subcortiealen motorisehen Aphasic
handeltessi& um eine StSrung complieirter associativer Verbindungen, w~ihrend
bei den Anarthrien diese assoeiativen Verbiinde intact sind~ nur nicht regelrecht ablaufen kSnnen~ well die Exeentivorgane entweder als Folge der L~ision
der einfacheren assoeiativen Systeme (der einfaehen Muskeleoordinationen etc.)
odor der L~sion der abfiihrenden Bahn odor der mangelnden sensorisehen
Controlle niehtnormal functioniren. Eben g e r a d e w e i l die e i g e n t l i e h e
s u b e o r t i c a l e m o t o r i s e h e A p h a s i e sieh yon allen diesen S t S r u n g e n
p r i n e i p i e l l u n t e r s e h e i d e t dureh den e o m p l i e i r t e r e n a s s o e i a t i v e n
C h a r a k t e r tier StSrung~ h a t man sic yon ihnen a b g e g r e n z t und
deniibrigen Aphasien, ebenfallsassoeiativen StSrungen, zugez g h l t . Es handelt sioh bier um ein ghnliehes Gegeniiber, wie zwisehen
Apraxie und den fibrigen MotilitgtsstSrungen. Wir wollen doeh nieht den
grossen t~ortsehritt, den wir dureh dieso Isolirung prineipiel[ versehiedener
nervSser Leistungen miihsam errungen haben, wieder dureh unzweckmgssige
Benennung gefghrdon.
Gewiss mug der Ausdruek snbeortieale motorische Aphasic aueh nieht bereehtigt sein; handelt es sich doeh im geringsten Theil der Fiillo um subeorti-
Einige Bamerkungen fiber Aphasie eta.
4:1 3
cole L~isionen~ sondern meist um cortieale (of. basonders L a d a m o , Aphasie
mort. pure sans agraphie, Paris 1900), and ouch bei den subeortioalen L~isionen
ist es niaht die [Jnterbraehung der subeortiealen Bahn an sieh~ die die StSrung
erzeugt~ sondern der Umstand~ dass der in der N~ihe des Cortex gelegene Herd
die Rinde sS.mmtliaher Projectionsfasorn beraubt; also die eigentliche Ursaohe
ist ouch hier die Fnnationsst5rung des Cortex.
Die Bezeiahnung ,sabaortical" ist aber ebensowenig anatomisah zu varstehen, wie die Bezaiehnung ,transaortical". Hier ist es ja selbstverstiindliah~
dass damit niaht eine jenseits dar Rinde gelegene StSrung gemeint ist. Beide
Ausdrfiako sollen nur alas Verh~iltniss der batraffenden StSrungen zu dar als
,cortical" bezeichnetan StSrung der inneren Spraahe bezeiehnen und darthun,
dass as sioh im einen Fall (bei der subeortioalen A.) um eine paripharer% primitiver% im anderen (beider transeortiealan) um eine aentraler loaalisirt% eomplieirtere Assooiationsmeehanismen in Anspruah nehmende~ Lgsion handelt.
Hiitte man sieh immar den Sinn der Bezeichnung ,~snbcortieale Aphasie"~
der absalut nioht wSrtlieh zu nehmen ist 7 vor Augan gehalten~ so w~ire manehe
Verwirrung erspart geblieban. Freud hat sehon immer die Ansehauung zurii&gewiesen, dass durah eine subcorticale L~ision fiberhaupt Aphasie zu Stando
kommt, and hervorg'ehoban, dass diese Lgsion, die nur die Verbindung des
Spraehapparates mit der Peripharie zarstSrt~ nor zu Anarthrie ffihrt. Wernieke
hat sieh in seiner erston Arbeit ffir die sensoriseha Seite entspreehend gaSmssart~
dass die Unterbreahung seinor Bahn a ,,keino Spur yon Aphasia" zur Folge hat.
~In dan F~illen aortiealer wie subeortiaaler Aphasic ]ieg't aussahliesslieh Verletzung yon Hindangebieten~ nut in varsehieden starker Ausdehnung, vor ~*
(Gel d stein)~ odor Aussahaitung der Rinde dureh vollstgndige LoslSsung yon
den Projeotionsfasern resp. den Verbindung'en mit tieferen Centren (im Folio
der motorisehen yon der Verbindung' zu den Centren der motorisehen Hirnnerven~ im Folio der sensorisaben yon den Verbindungen mit beiden aeustisohen
Contren [Fall Liepmann's]). Wenn auoh der Ausdruek ,,subeortioale motorisehe Aphasie" nieht wSrtlieh bereehtigt ist. so wird ar doeh wenigstens allgemein in bestimmtam Sinno verstanden. Die Bezaiehnung ,Anarthrie" d/irfte
jedenfaIls nieht geaignet sein, ihn zu ersetzan.
Die klinischen Ausfiihrungen der franzSsisehen Autoren gipfeln in
tier A u f s t e l l u n g e i n e r e i n z i g e n F o r m vo,l A p h a s i e ~ die der
W e r n i e k e ' s e h e n Aphasie (eortiealen sensorisehen Aphasie Autt.) entspreehen sell. Die subeortieale motorisebe Aphasie gehSrt Nr sie, wie
gesagt~ nieht zur ,Aphasie", die B r o e a ' s e h e ist nur eine W e r n i e k e ' s e h e
@ Anarthri% die subeortiealen, die sensorisehen Aphasien, die transeortiealen Apbasien existiren nieht; es sind Symptome einer Intelligenzst6sung.
Es w~tre fast imposant~ wie einfaeh die Autoren mit dieser Betraehtungsart fiber alle Sehwierigkeiten hinwegsebreiten, wenn es nieht zu bedauern w~,re, dass sie dutch die Uebertreibung den wahren Kern ihrer
Lehren ernstlieh bedrohen.
Diesen Kern stellt die H e r v o r h e b u n g
414
Dr. Kurt Goldstein,
des i d e n t i s c h e n C h a r a k t e r s e i n e s T h e i l e s der S t S r u n g bei der
sog. c o r t i c a l e n m o t o r i s c h e n und s e n s o r i s c h e n A p h a s i e d a r .
Es ist dies eine im weitesten Maasse bisher vernachlassigte Thatsache.
Gewiss sind deshalb aber beide Formen nicht identisch, und die Franzosen
suchen wohl mit Unrecht alles auf die W e r n i c k e ' s c h e Aphasie zu
reduciren. Wie man bisher die identischen Ziige nicht genfigend hervorgehoben hat~ so tibersehen sie die Unterschiede. Die W e r n i c k e ' s c h e
Aphasie ist ebensowenig einheitlicher Natur, wie es die franzSsischea
Autoren yon der Broca'schen betonen.
Sie tibersehen~ dass klinisch in typischen F~tllen doch ein grosser
Unterschied zwischen der Broca'schen und Wernicke'schen Aphasie
besteht~ der keineswegs nut durch die Schwere der motorischen StSrung
bei der Broca'schen Aphasie gekennzeichnet ist 7 sondern auch dutch
die S c h w e r e und Art der S t S r u n g des S p r a c h v e r s t ~ n d n i s s e s
bei d e r W e r n i c k e ' s c h e n Aphasie. Gewiss~ dieBroca'scheAphasie
ist auch oft yon einer gewissen Erschwerung des u
begleitet~ was schon Deje,'ine betont hat, ebenso wie die Wernicke'sche
you StSrungen des Sprechens; aber die motorischen und sensorischen
StSrungen spielen im Bild der beiden Formen doch sehr verschieden%
entgegengesetzte Rollen. L i e p m a n n (2) hat erst kfirzlich wieder in
scharfsinniger Weise ausgeftihrt, wie sehr sich doch beide Formeu
anterscheiden und wie vo-rsichtig man bei der Beurtheilung besonders
des Symptomes des gestSrten Sprachverst~tndnisses sein muss.
Er hat dargelegt~ wie der Anschein der Worttaubheit bei einem
motorisch Aphasischen einerseits dadurch hervorgerufen werden kann,
dass eiu Temporalherd nicht beachtet wird~ class andererseits ein ,sensorisch Aphasischer mit leidlich zuriickgebildeter Worttaubheit und
dtirftiger Expressivsprache fttlschiich ftir einen Broka-Aphasischen gehalten wird, drittens weil ein dutch grosse doppelseitige Schl~fenlappenherde odor gleichwerthige Herdcombinationen worttaub und worstumm
Gewordener (in Wirklichkeit sensorisch und transcortical motorisch
Aphasischer) demselben Schicksal unterliegt." Schliess]ich hat er noch
auf die zweifellos bedeutsam% viel zu wenig beachtete T~uschung dureh
apractische StSrungen hingewiesen. -- Doch glaube ich nicht, dass damit alle StSrungen des Wortverstiindnisses bei intactem Schliifenlappeu
erkl~rt sind, ebensowenig wie mir die Ableitung der Paraphasie allein
aus der Liision des Schlgfenlappens oder vielmehr des sensorischen
Spraehcentrums mSglich erschetnt.
Um zungchst die zweite Thatsache zu beriihren, so ist die Streitfrage bei der grossen Unsicherheit unserer Kenntnisse dartiber, wie welt
der Sch]itfenlappen tiberhaul)t sensorisch ist ~
anatomisch kaum ein-
Einige Bemerkungen/ibor Aphasie etc.
415
deutig zu entseheiden. Um so mehr Beaehtung verdient die klinisehe
Thatsache, dass yon einer angeblichen sensorisehen Aphasie so h~ufig
eigentlich nut die Paraphasie und die StSrungen des Lesens und
Sohreibens zurfickbleiben, w~ihrend die Worttaubheit sich weitgehendst
restituirt. Widersprieht diese Thatsaehe nicht der Annahme, dass diese
St6rungen der motorischen Sprache nur Fo]ge der L~.sion des sensorischen Gebietes sind, dass letzteres ,,die bei weitem wichtigste Durehzugstelle ffir den Sprechact darste]it?" - - wie w~re es mSglieh~ dass die
prim~tre Leistung sich restituirt, die secund~tre abet gestSrt bleibt? - Spricht diese Thatsache nieht vielmehr daffir~ dass es eben neben dem
eigentliehen sensorischen Gebiete noch ein a~deres war~ dessen Function
ursprfinglich sehon mit gest6rt war, und das sich nicht in gleicher
Weise restituirt hat, wie das eigentlich sensorische 6ebiet?
Wenn wirklich andererseits die Wortlautvorstellungen eine so
grosse Bedeutung ffir die Sprache h~ttten~ woher kommt es, dass bei
der subcortiealen sensorisehen Aphasie, bei der dieSpraehlautvorstel]ungen
doch in hervorragendem Maasse ]~tdirt sein kSnnen (dort, w o e s sich
um corticale Herde handelt, wohl immer sind, das 6egentheil ist jeden.
falls nieht erwiesen) jede St6rung des Spreehens fehlt?
Die acustischen Sprachlautvorstellungen spielen eben garnieht die
Rolle~ die ihnen yon vielen Seiten zuerkannt wird~ im Mechanismus der
Sprache. Gewiss klingen beim Sprechen bei sehr vielen Menschen die
acustischen Erinnerungsbilder an: wie bei manchen andern motorische
Erinnerungen: bei anderen Lesebilder; deshalb ist noeh keineswegs zu
schliessen~ dass das Sprechen fiber diese Er[nnerungsbilder vor sich
geht: was meiner Meinung nach theoretiseh unhaltbar und dureh Thatsachen nicht erweisbar ist.
Gewiss - - es ist auch keine eigentlich motorische StSrung, die die
Paraphasie der cortical-sensorisch Aphasischen bedingt. Der Sprechact
an sich ist intact~ die Buchstaben werden richtig gesproehen, gelesen~
eventuel[ auch geschrieben~ nut" das Geffige der Worte ist gest~irt; die
Parafunction ist das Hervorsteehende. Es besteht sogar ein principieller
Unterschied gegenfiber den eigentlich motorischen StSrungen der Spraeh%
die bei der subcorticalen motorischen Aphasie anftreten.
So kommen wir zu dem Resultat: dass die sog. m o t o r i s c h e n
S y m p t o m e der c o r t i c a l e n s e n s o r i s c h e n A p h a s i e w e d e r d u r c h
Lasiondereigentlich sensorischennocheigentlieh motorischen
F u n c t i o n , resp. der i h n e n e n t s p r e c h e n d e n G e b i e t e e n t s t e h e n .
Etwas ganz Aehnliches gilt yon den Symptomen~ die die corticale
motorische Aphasie: die Aphasie Broca's~ vor der subcorticalen motorischen Aphasie auszeichnon. Das rein Motorische der St6rung kann
416
Dr. Kurt Goldstein~
hier auf die L~tsion des .notorischen~ vorderen Spraehgebietes zuriickgefiihrt werden; alles fibrige a b e r - und so naeh Zurfickgehen der
rein motorisehen Sy.nptome gelegentlich alles, was yon der St~rung
iibrig b l e i b t - iihnelt in seiner Art sehr den Residu~trerscheinungen
bei der corticalen sensorischen Aphasie, j% ist mit ihnen identisch.
Dieses spricht daftir, dass wir ftir diese~ die innere Sprache betreffenden
St6rungen in beiden Fiillen dasse.lbe extra*notorische und extrasensor[sche
Gebiet verantwortlieh zu maehen haben.
Einen ganz fihnlichen Standpunkt hat K l e i s t - - ,nit dessen Ausftihrungen fiber den Wortbegriff ich *nieh i.n fibrigen nicht yell einverstanden erkl~ren kann und dessen Darlegung yon der meinigen deshMb nicht unwesentlich abweieht - - vertreten~ inde.n er zu dem Resultat kommt: Diejenigen Sympto.ne~ we]che der sensorisehen bezw. motorischen cortiealen Aphasie ausser der Aufhebung des Sprachverst~ndnisses bezw. des Sprechver*n0gens und ausser denjenigen Sy.nptomen
eigenen~ welche auf eine StOrung der Beziehungen d'er 8praehregion zu
den transcorticalen Systemen zurfickzufiihren sind, sind identisch.
Wenn es aueh nicht v611ig einwandfrei zu erweisen ist, so habe
ieh als anatomisehes Substrat sehon frfiiher ffir diese StSrungen der
inneren Spraehe im Ansehluss an Ansehauungen F r e u d ' s \rergnderungen
i.n Inselgebiet in Anspruch nehmen zu dfirfen geglaubt. K l e i s t ' s Ueber]egungen ffihrten zu einer gleiehen Annahme. Der anatomisehen Frage
kommt ftir uns~ so wiehtig sie an sieh ist~ und so weitgehendster Untersuehung sie bedarf, keine so grosse principielle Bedeutung zu, als dem
klinischen Resultat.
Dieses entsprieht v0]lig de.n Ergebniss psyehologiseher Ueberlegungen. Ich habe sehon mehrfach meine Ansehauungen darfiber dargelegt~ die sieh wesentlich an Deductionen S t o r c h ' s ansehliessen~ und
muss dorthin verweisen. Sie gipfelten in dem Satz, dass der p s y e h i s c h e G r u n d t h a t b e s t a n d bei der S p r a c h e ein e i n h e i t l i c h e r
ist, dass die U n t e r s c h e i d u n g y o n W o r t k l a n g b i l d e r n und W o r t b e w e g n n g s b i l d e r n p s y e h o ] o g i s e h zu v e r w e r f e n und an ihre
S t e l l e die e i n h e i t l i c h e W o r t v o r s t e l l u n g zu s e t z e n ist, die
e i n e r s e i s yon a c u s t i s c h e n S p r a c h w a h r n e h m u n g e n e r r e g t w i r d r
die sieh in nichts prindpiell yon anderen acustisehen Wahrnehmungen
unterscheiden~--an d e r e r s e i t s V e r a n ] a s s u n g zu S p r a e h b e w e g u n g e u
w ird~ die sich in niehts principiell yon anderen Bewegungen unterscheiden. Die Spraehvorstellungen enthalten bei den .neisten Mensehen einen
aeustisehen Beigeschmaek~ ohne den sie ftir sie fiberhaupt nicht vorstellbar sin& Das ruff die Tguschung der Wortklangbilder hervor. Da die
Sprachvorstellungen weder .notorischen noch sensorischen Oharakter
-
-
Einige Bemerkungen iiber Aphasia etc.
417
haben~ so mtissen wir sie uns in einem corticalen Rindenfeld localisirt
denken~ das weder motorisch noch sensorisch ist~ abet mit dem sensorisehen und motorischen in inniger Verbindung stellt, und das wir uns
am besten zwischen ihnen gelegen vorstellen k0nnen. Es entspricht
dies der klinisehen Ableitm~g der Bedeutung der Insel. S t o r c h hat
dieses Feld als glossopsychisches Feld bezeichnet.
Die L'~sion der Sprach'vorstelhmgen wird auch zu 8 t S r u n g e n des
W o r t v e r s t a n d n i s s e s f~hren kSnnen. Doeh werden diese erst bet
einer schwereren LSsion hervorzutreten brauchen~ als die motorischm~
St~rungen, denn far das Verstehen spielt die lntaetheit der Wortvorstdlungen eine weit geringere golle, als ffir das Spreehen~ da wir auch
aus Bruchstiicken eines "vu
noch den Stun desselben erkennen (i,folge Untersttitzung dutch die Combinationsfahigkeit), dagegen ein Wort~
alas uns nich~ vollkommen vorstellbar ist~ auch nicht vollkommen aussprechen k0nnen. Auch ist zu bedenken, dass die motorische Ldstung
schon deshalb eine schwerere ist, well sie reine C~edaehtnissleistung ist~
wahrend das Verstehen rait der Untersttitzung der von aussen angeregtml aeustischen Wahrnehmungen vor sich geht. Deshalb ist es aueh
ganz im Allgemeinen sehwieriger eine Bewegung auszufiihren~ ats sie
richtig aufzufassen. Eitle l e i c h t e r e S t S r u n g der S p r a c h v o r s t e l l u n g e n wird d e s h a l b zu S t 0 r u n g e n im Spreehen~ n i c h t im
V e r s t e h e n fiihren kSnnen. Diese theoretische Ableitung findet ihren
Beleg in der Symptomatologie der Broca'schen Aphasie~ bet der die
Sti~rungen des Verstgndnisses gegenfiber den motorischen meist so sehr
zurfiektretmb und aueh bet den Residu~irzustgnden der corticalen sensorischen Aphasi% bet denen ebenfalls die motorischen Symptome wei~
fiberwiegen.. Bet beiden Zustgnden diirfen wit" ale Ursache der St0rungen
eine L~sion der Sprachvorstellungen annehmen.
Die durch L~sionen der Sprachvorstellangen verm'sachten St6rungen
des Sprachverst~indnisses sind yon der W o r t t a u b h e i t bei der subc o r t i c a l e n s e n s o r i s e h e n A p h a s i e principiell verschiedem L i e p mann (2, S. 298) weist deshalb mit Reeh~ darauf hin, dass Marie es
ganz fibersehen hat, dass es sieh tiberhaupt bet der ganzen fl'agliehe~l
StSrm~g des u
der motoriseh Aphasisehen immer nut um
das ,,Wortsinnverstandnis" handelt, im Gegensatz zu der groben Aufhebung des Wortlautverstandnisses bet den sensorischen Aphasien. Nut
diesem Missverstandnisse ist es zuzuschreiben~ dass die franz0sischen
Autoren die Wernicke'sche Aphasie zum Mittelpunkt ihrer Lehre
machen. Wit kommen auf diese falsehe Beurtheilung sensoriseher
St6rungen noch n5her zu spreehen.
Archiv f. Psychiatrie.
Bd. 45, I/eft 1.
~7
418
Dr. Kurt Goldstei%
Der Ausdruck ,,Wortsinhverstgndniss" scheint mir allerdings f~r die in
Betracht kommende Leistung nicht entsprech~nd, l~Ian denkt bei ,Sinn" an die,
Bedeumng des Wortes, an don Bogriff des Gegonstandes etc., den das Wort bezeichnet. Das ist es aber nicht~ was gestSrt ist, sondern es ist die Yermittelung
zwisehen intactem Laut und intactem Begriff gestSrt~ die dargestellt wird dutch
den Wortbegriff~ durch den psychischen Thatbestand des Erfassens des Wortes
als einheitliches bekanntes psychisches Erlebniss. Man spricht deshalb zweekm~issiger y o n StSrung des Wortbegriffes.
Die St(irung des W o r t b e g r i f f e s s t e l l t die c e n t r a l e S t 6 r u n g
d a r , um die sich d i e t i b r i g e n A p h a s i e n g r u p p i r e n .
Siereprlisentirt das Einheitliche, Identische bei der Wernieke'schen und B r o c a schen Aphasi% , d i e Aphasie"~ wenn man so will - - man kSnnte sie
auch die centrale Aphasie nennea - - wi~hrend alle fibrigen Formen die
Polge yon Lgsionen entweder motorischer oder sensorischer Merksysteme
sind (die subcorticalen Aphasien, ef. sp~tter) oder dureh eine Liision
der Beziehuugen zwischen den Wortbegriffen nnd den Objeetbegriffen
(resp. Liisionen der letzteren selbst) zu Stande kommen (die transcorticalen und die amnestische Apbasie). Die corticalen Aphasfen sind
Combinationen zwisehen der ,,eentralen Aphasie" und der subeortiealen
sensorisehen resp. motorischen Aphasie. Dementsprechend m~ssen wir
bci ihnen anatomisehe Lfsionen des sog. motorischen resp. acustischen
Spraehcentrums eombinirt mit solehen eines zwischen ihnen liegenden
Gebietes erwarten, Dem entspricht~ wenigstens ffir die Broca'sehe
Aphasie, far die allein uns geniigend einigermaassen einwandfreie Beobaehtungen vorliegen~ aueh der thatsichliche Befund. Wie welt die
Lision naeh hinten geht, wird im einzelnen Falle ebenso verschieden
sein~ wie w i r e s vorher ffir die subeortieale motorische Aphasie kennen
gelernt haben. Der Schl~ifenlappen wird wohl gew6hnlich frei sein;
doch dtirfte es nieht unserer Anschauuug widerspreehen, wenn einmal
die Lision bis in ihn hineinreicht. Es steht ja nieht fest, ob nieht
aueh ein Theil des Sehl~tfenlappens ffir die Wortbegriffe yon Wichtigkeit
ist. Meist wird sieh aber die SchlSfenlappenl~sion dutch stS~rkeres Hervortreten der StSrungen des Wortverstandnisses doeumentiren. Soviel
lasst sieh aus dem Vergleieh der einzelnen Beobaehtungen der Li~eratur
sagen.
Im Gegensatz hierzu wird bei der cortiealen sensorisehen Aphasie
neben dem Sehl~fenlappen won immer aueh benachbartes Gebiet mitlidirt gefunden, als Ausdruek der L'~sion der Wortbegriffe. Die pathologisehe Anatomie der Wernicke'schen Aphasie ist: besonders was die
Untersuehung an Seriensehnitten betrifft~ noeh lange nieht genfigend
bekannt~ so dass hier unsere Kenntnisse noeh 'wenig sieher sind.
Einige Bemerkungen fiber Aphasic etc.
419
Im Ganzen wird - - trotz aller theoretischen Differenzen - - der
Gegensatz zwischen vorderem und hinterem Sprachgebiet aueh weiter
~thnlich aufzufassen sein, wie ihn die klassisehe Lehre postulirt hat.
Ich kann deshalb L i e p m a n n (2) (S. 298) nur beistimmen~ wenn er
sehreibt: ,,Der Unterschied einer motorischen, dutch Herde im vorderen
Sprachgebiet verursachten, und einer sensorischen~ durch Herde im
hinteren Sprachgebiet verursachten Stbrung bleibt unerscbfittert bestehen".
Uasere Kenntnisse fiber die Wortbegriffsstbrungen sind~ ganz abgesehen yon den anatomischen Fragen, noch keineswegs auch nut in den
Grundlagen gekliirt. Die St6rungen der inneren Sprache sind im Einzeluen keineswegs bei der Wernicke'schen und Broca'sehen Aphasic
v611[g identisch. Die paraphasischen Symptome sind bei beiden nicht
ganz gleieh~ tibet" die Differenzen der Schreib- und Lesest6rung bestehen
nocb lebhafte Controversen und anderes mehr. Diese Versehiedenheiten
werden aus verschiedenartiger Erkrankung des Substrates and den Mitverletzungen der Verbindungen des glossopsychisehen Feldes mit anderen
Gebieten ihre Erkl~irung finden.
K l e i s t hat - - wie ieh glaube knit Glfiek - - versucht, das Pins
der Symptome bei der cortica]en sensorischen Aphasic dadurch zu erkI~iren~ da~s bei der L~tsion im hinteren Theile des Sprachfeldes in
Folge der anatomischen Lagerung transcorticale Verbindungen mitgestbrt
werden, deren Symptome das Bild comp]ieiren.
Nach den Ausffihrungen S t o r c h ' s kbnnen wir unter den Sprachvorstellungcn die Buehstabenvorstellungen als Compiexo 1. Ordnung yon den
Wortvorstellungen als Complexe 2. Ordnung unterscheiden. Eine leichtere
L~ision wird le~ztere sehwer stbren kbnnen~ wg~hrend sie erstere noeh leidlieh
intact 15~sst, Wir beobaohten dana Paraphasie resp. Paralexie und Paragraphic,
w~ihrend das Sprechen~ Lesen etc, yon Buehstaben erhalten ist. Besonders
eigenartig gestalten sieh auch die Stbrungen des Verstehens bei Lgsionen tier
Wortbegriffe; wir mfisssen jedoch verziehten 7 hierauf wie aueh auf manehe
aadere Einzelheiten n~iher einzugehen, da es den gaum der vorliegonden Er,brterung fiberschreiten wiird% andererse[ts aueh noeh in den Grandfragen zu
g'rosse Unsicherheit herrscht.
Nar eines mass noch hervorgehoben werden. Die Spraehvorstellungen
stellen auch den centralen Punkt f/ir das Sehreiben und Lesen dar~ and die
~Stbrungen dieser Punctionen bei der Wernicke~sehen and Broca'schen
,Aphasic finden so ihre Erld~irung. Sic erweisen ihre Abh~ingigkeit yon den
Sprachvorsteilungen dadurch, dass sic eine ausgesprochene Beziehnng zu den
St/irungen dos Spreehens zeigen. Im Einzelnen liegen aueh bier die Verhiiltnisse reeht complicirt, iadem einePunctionsstbrung die verschiedenenLeistungen
in verschiedenem Maasse, z. B, das Schreiben in ganz besonderem l~laasse zu
schiidigen vermag.
27*
4720
Dr. Kurt Goldstei%
Bei Beurtheilung der Schreib- und LesestSrungen ist auch ganz besonders
anf die eventuelle ~VIitlgsion yon Verbindungen des Peldes der Sprachvor-
stellungen mit anderen Hirnabschnitten Rficksicht zu nehmen~ die das Idinische
Bild verschiedenartig compliciren. Uebcrhaupt ist nur ein Theil der Schreiband LesestSrungen auf L~sion der Sprachvorstellungcn zurficl~zuf~ihren~ die
iibrigen haben ganz andere Ursachen, auf die wir noch zu sprechen kommcn.
Sicherlich hubert sic aber nichts mit den acustisshen und motorischen Sprachccntren resp. den acustischcn und motorischen Wortbildern zu thun.
Ffir das Schreiben und Lescn ist das Zerlegcn tier Worto in Buchstaben
nnd alas Zusammensetzen von grosser Wichtigkeit. Da die Wortvorstellungcn
veto Kinde zun~chst a]s Gauzes erworben werden~ so muss diescs Zerlegon und
Zusammensetzen sp~iter erst besonders erlernt werden, nnd stellt eine wicbtigo
Leistung des glossopsychischcn Feldcs dar. S t o r c h sieht in der Fahigkeit,
ein bedeutungsloses Weft zu bnchstabir~n~ ein besonders scharfes Zeichen ffir
die Intactheit der Glossopsyche. Thats~chlich sind Ffille bekann% we besenders diese Function gelitten hatten, so die F~higkeit dos Zusammensetzens
z. B. in 8~n Boobachtungen yon Somme1" und H i n s e l w o o d , we di~ I{r~nken
zwar Buchstabcn lesen konnten, aber nicht Worte.
Die Complicirtheit des Assoeiationsmechanismus des glossopsychischen Feldes ermOglicht wahrscheinlich eine gauze Reihe verschiedenartiger StOrungen; welt mehr als das relativ einfach gebaute sensorische
odor metorische Sprachfeld.
Es ~hnelt dadurch den complicirtesten
Associationsmechanismen, die den Objectbegriffen und den fibrigen
hOheren und hOchsten psychischen Leistungen zu Grunde liegen. Diese
Aehnlichkeit thut sich auch darin kund, dass unter den Sprachvorstellungen ganz fihnliche Gesetzmfissigkeiten zu herrschen scheinen: wie
wit sic yon den Ideenverbindungen tier allgemeinen Intelligenz kennen.
\~Tir kSnnen darin nach dem \u
was wJr bisher darfiber~ besonders
aus dem Studium der sog. Leitungsaphasien erfahren haben~ M o u t i e r
wohl beistimmen~ w e n n e r sagt: ,que los troubles du langage (in diesem
Sinne) se conferment au lois d'Svolutioa et de regression de Fintelligence g~n~rale" (S. 220). Deshalb ist es vielleicht bereehtigt, die
StOrungen der Sprachvorstellungen den intellcctuellen zuzurechnen.
Man mSge nut dabei night vergessen, d a s s e s dech sehr willkfirlieh
und conventionell ist~ an welcher Stelle man den Begriff Intelligenz einffihrt~ ob bei tier sinnlichen Wahrnehmung oder erst bei den complicirtesten Leistungen; andererseits darf uns der Ausdruck IntelligenzstSrung nicht verleiten; dad Studium der feineren Einzelheiten darfiber
zu vernaehl~ssige% wozu die Darlegungeu der franzSsischen Autoren
Veranlassung geben kSnnten. Im Gegentheil wird es eine tier Hauptaufgaben der kiinftigen Aphasieforschung sein, den Aufbau und die
Gesetze des Associationsmechanismus, tier den Sprachvorstellungen zu
Einige Bemerkungen fiber Aphasic etc.
421
Grunde liegt, und die versehiedenartigen St6rungsm6gliehkeiten dosselben zu ergrtinden.
Unser Standpunkt gegentiber M a r i e - N o u t i e r ist Mar: Wir stimmen
mit ihnen tiberein darin, dass es sieh bei der ,Aphasie ~ um eine prineipiell andere St6rung handelt, als bei ihrer ,Anarthrie"~ n~imlieh um
eine St6rung der Intelligenz~ wir k6nnen aber nieht diese prineipiell
andere StSrung in der Wernieke'sehen Aphasie verk6rpert sehen und
wollen don Ausdruek ,[ntelligenzstSrung" mehr im Sinne einer Problemstellut~g als einer Beruhigung verstanden wissen, die uns yon feinerem
Detailstudium abhalt.
Die falsehe Stellung, welehe die franz6sisehen Autoren der Wernieke'sehen Aphasie zuweismb beruht auf ihrer zu weir gehenden Kritik
der L e h r e yon den sog. W o r t b i l d e r n , auf die wir noeh usher ein-gehen miissen.
Diese Kritik ffihrt sie dazu, die s e n s o r i s e h e n S t S r u n g e n im
Bilde der A p h a s i e f i b e r h a u p t zu leugne.n, so dass Moutier zu
deal allen bisherigen Ansehauungen striete widerspreehenden Resultate
kommt: Les pr6tendus sympt6mes sensoriets de l'aphasique n'existent
pas; la e6eit6 verbale et la surdit6 verbale sent des troubles intellectuelles de la compr6hension du langage (S. 248).
Die Leugnung der Existenz motoriseher und sensorischer Wortvorstellungen~ die ,~loutier vertritt, ist ja niehts Neues, ieh brauehe nur
an die Ansehauungen F r e u d ' s und besonders S t o r e h ' s zu erinnern.
Ieh selbst babe reich aueh immer gegen diese Lehre yon den Wortbildern gewendet. Aber die franzSsisehen Aut0ren gehen darin zu weit.
Gewiss ist es psyehologiseh nieht bereehtigt, motorisehe etc. 8praehvorstellungen anzunehmen, trotzdem muss man zugeben, dass wit yon
den entspreehenden Erlebnissen Erinnerungsbilder zurfiekbehalten, Erinnerungsbilder der abgelaufenen Bewegung als motorisehe Merksysteme,
Erinnerungsbilder der sensorisehen Erregungen als Lauterinnerungen,
Erinnerungsbilder optiseher Erregungen bei don Buchstabenbildern etc.
Gewiss ist der Charakter dieser Erinnerungsbilder in Bezug auf ihre
Werthigke!t ffir die Spraehe ein reeht versehiedener; sie einfaeh zu
leugnen~ widersprieht abet den psychologischen Ueberlegungen wie den
klinisehen Thatsachen. Das Vorhandensein derartiger m o t o r i s e h e r
Merksysteme der Spraehe leugnen aueh die franzSsisehen Autoreu nieht,
die ,Anarthrie" ist ja niehts anderes als eine L~ision derselben: der
assoeiativen Complexe~ die den Spraehbewegungen zugrunde liegen.
Was sell denn der Untersehied des anarthrisehen~ der ,he sait plus
parler" (S. 187) gegentiber dem pseudobulbaren~ tier ,he peut plus
parler" anderes bedeuten, als dass es sieh bei ihm um eiue associative
422
Dr. Kurt Goldstein,
StOrung, um eine L~ision motoriseher Merksysteme handelt. Warum
sollten aber nicht ganz entsprechende acustische Merksysteme existiren
und eine isolirte Lfision derselben mSglich sein~ wie es die subcorticale
sensorische Aphasie darstellen soll? Thats~.chlieh haben wit das ganz
ausgesprochene Bewusstsein derartiger aeustischer Erinneruugsbilder der
Sprache, ja sie sind ffir manehe Mensehen sogar mit die deutlichsten
Eriunerungsbilder, die die Sprache in ihnen zurfickli~sst; andrerseJts.ist
doeh das u
derartiger Ffille yon sog. subcorticaler sensorischer
Aphasie, also isolirter L~sion der Auffassung der gehSrten Spraehiaute 7
ohue jede weitere L~tsion der Sprache, nicht yon der Hand zu w~isen.
Wenn die franzSsisehen Autoren derartige FMle nieht gesehen haben~
to mfissen ihnen doch die absolut unzweidetitigen aus tier Literatur bekannt sein. Marie will si% soweit es sich nicht um StSrungen der
Intelligenz handelt 7 durch HSrstSrungen erkl~iren (S. 6). Gewiss handelt
es sieh um StSrungen des eortiealen HSrens, abet eben nur in der ganz
bestimmten Riehtung mit Bezug auf das ttSren der Sprachlaute, um
eine StSrung des Wiedererkennens eomplicirter Lautgebilde infolge
Lfision der Residuen frfiherer Wahrnehmungen. Das einfaehe HSren
ist dabei vSllig intact, wie eben in jedem Falle besonders nachgewiesen
werden muss~ ehe man eine Worttaubheit annehmen darf. Der Kranke
hSrt das Gesproehene, abet er hiirt es wie wir unbekannte Lautgebilde
vernehmen, die in uns keineEei Erinnerungen erwecken. Der subcortieal sensorisch Aphasisehe ist in der lJage eines Menschen in einem
fremdea Lande, dessen Sprache er nicht kennt; aber nieht deshalb, well
er den Sinn der gehSrten Worte nieht versteht~ sondern weil er schon die
Lauteombiuationen~ die die Sprache enth~ilL nieht riehtig erfasst und
nicht mit friiher gemachten Wahrnehmungen identificiren kann. Die
St~rung des Yersteheus ist fiir ihn etwas Secun~lS~res. Deshalb kann
die StSrung des subeortical Aphasischen in keiner Weise mit einer
intellectuellen StSrung in Zusammenhang gebracht werden. Die Einwgnde M a r i e - M o u t i e r ' s k~nnen sich nur gegen die Auffassung des
Spraehverst~ndnisses bei der sogen, cortiealen sensorischen Aphasie
riehten; bei dieser, bei der eine ausgesprochene StSrung der sogen.
inneren Spraehe vorliegt~ und die StSrung des Wortverstandnisses (abgesehen yon einer event, gleiehzeitig vorliegenden subeorticalen Aphasie)
als Folge dieser zentraleren StSrung der Wortvorstellungen zu betraehten
ist, kanu man, wenn man will, yon der StSrung des.gortverstS~ndnisses
als yon einer intellectuellen spreehen. Jedenfalls ist dann die Worttaubheit, die woht immer nur eine partielle ist, keine sensorisehe mehr
im eigentlichen Sinne (eft friiher).
Ffir die s u b c o r t i c a l e s e n s o r i s c h e A p h a s i e , bei der im 6e-
Einige Bemerkungen fiber Aphasie etc.
423
gensatz hierzu die StSrung des Wortverstgndnisses eine ausgesprochen
sensorische ist, haben wir effle Li~sion der a c u s t i s c h e n E r i n n e r u n g s b i l d e r tier S p r a c h k l ~ n g e anzunehmen~ die ebenso wie alle anderen
Klangerinnerungen existiren.
Meine A u f f a s s u n g der s o g e n a n n t e n W o r t b i l d e r steht etwa
in der Mitre zwisehen dem extremen Standpunkt M o u t i e r ' s und dem
tier klassisehen Aphasielehre. Gegeniiber letzterer nimmt sie den
Wortbildern die prineipielle Bedeutung for die Sprache, die dieseihnen
zuerkennt~ wahrend sie andererseits gegeniiber M e a t i e r die Notwendigkeit der Annahme entsprechender Erinnerungsbilder betont, die uns mit
den Sprachvorstelhmgen so gut wie immer zum Bewusstsein kommen,
abet keinen wesentliehen Bestandtheil derselben darstellen. Deshalb sind
ffir reich die Sprachvorstellungen nicht Complexe der glang- und Bewegungseomponent% wie fiir Kleist, sondern etwas Neues~ Drittes, principiell
yon ihnen Verschiedenes~ das nur immer mehr oder weniger deutlich
yon aeustischen and motorisehen Vorg~ngen resp. deren Erinnerungsbildern begleitet ist. Deshalb raubt der Verlust dieser Erinnerungsbilder den Sprachvorstellungen gewShnlieh nichts Wesentliches, wenn er
auch ffir das Individuum~ besonders wenn as gewiihnlich sehr lebhaffe
Erinnerungsbilder besitzt~ gewiss einen Ausfall darstellen kann, der in
seiner Sprache bis zu einem gewissen Grade zum Ausdruek kommt.
Besonders ist zu bedenken, dass mit dem Ver]ust der acustischen Spracherinnerungsbilder eben aueh die acustische Controlle der eigenen Sprache
verloren geht. - Diese Erinnerungsbilder stellen den Weg dar~ der den centralen Sprachapparat mit der Aussenwelt verbindet. Dieser Verbindungsweg wird eben
nicht etwa nur durch eine einfache Leitungsverbindung mit dem Ende des
Aeusticus resp. dem Anfang der Sprachmuskelnerven repr~isentirt~ sondern
es sind in diesen Weg associative Complexe eingeschaltet, die motorisehen
und sensorisehen Erinnerungsbilder. Dafiir spricht aueh~ dass wit nicht
die einze]nen Geriiusch% die ein Wort acustisch zusammensetzen~ hSren~
sondern ein einheitliches Klanggebilde~ dass wit also eine complicirte und doch einheitliche aeustische Wahrnehmung haben, was dadurch zustande kommt~ dass die neue Wahrnehmung schon in einen
durch friihere Wahrnehmungen vorgebildeten Associationscomplex hinein
gerath und klanglich als Ganzes wiedererkannt wird. Aehnlich verhi~lt
es sich bei der motorischen Anregung durch eine Sprachvorstellung.
Diese fliesst in vorgebildete~ unendlich oft benutzte~ motorische Comp]exe
ab, regt nieht im einzelnen all die unendliche Ffille feinster Muskelbewegungscombinationen an~ die zum Aussprechen eines Buchstabens,
Wortes geh6ren - - wenn dies nothwendig war% wie schwerflillig ware
424
Dr. Kurt Goldstein~
dann unsere Sprache! Diese motorischen Complexe werden als Ganzes
angeregt und laufen als Gauzes ab, Wie welt diese motorische Representation der Sprachbewegungen geht, ist noch nicht ganz sicher;
sie ist uuch verschieden bei den einzelnen [ndividuen etc.
I)iese associativen Complexe sind die Wortbilder der Autoren. Ihre
ZerstSrung ruft die subcortiealen Aphasien hervor, ihre hallucinatorische
Erregung die Pereepti(mshallueinationea der Sprache. Die Annahme
derartiger complicirterer Erinnerungsbilder erkl~rt~ wanlm iiberhaupt
Pereeptionshallucinationeu complicirteren Charakters vorkommen~ die
vSllig ~us dem Gesammtbewusstsein des Kranken herausfailen, mit ihr
wird weiter verst~ndlich, warum die acustischen Perceptionshallucinationen soviel complicirter siud als alle anderen sprachlichen Perceptionshallueinationen; die acustischen Erinnerungsbi]der der Sprache ste]len
eben complicirtere Assoeiationscomplexe dar als alle anderen. Ich habe
an anderer SteUe (2) diese Beziehungen n~her ausgefiihrt.
Was das anatomische Substrat dieser associativen Complexe betrifft, so wissen wir mit ziemlicher Sicherheit~ dass wir ffir die motorischen ein besonderes Rindenfeld besitzen in dem ,Broca'schen Felde."
Ffir die acustisehen Erinnerungsbilder steht die Repri~sentation in einem
besonderen Felde nicht so einwandsfrei lest.
Es bleibt auch die
MSglichkeit~ dass es sieh bei ihnen am die complexere Function derselben Elementarerregungen an derselben Stelle handelt, die aueh die
fibrigen acustischen Wahrnehmnngen resp. Erinnerungsbilder vermitteln.
Jedenfalls ist so~iel sieher~ dass dutch einen gr0beren Herd die complieirtere Function, das ,Spraehe hSren" gesffirt sein kann~ wi~hrend
das einfaehe HSreu erhalten bIeibt.
Wie steht es schliesslich mit den v i s u e i l e n und g r a p h i s c h e n
W o r t b i l d e r n ? Hier kann ieh reich der Anschauung der franziisischen
Autoren in viel hSherem Maasse anschliessen~ indem ich die Annahme
derartiger Wortbilder fast vSllig ablehnen muss.
Die Verh~ltuisse liegen hier ebeu etwas anders als bei den motorischen und acustisehen Wortbildern. Ffir reich hat es deshalb nichts
Yerwunderliehes wie.fiir Moutier, wenn Miraill4 zwar graphische
Wortbilder leugnet, aber dic anderen anerkennt. Es handelt sich nicht,
wie M o u t i e r meint~ um homo]oge~ sondern recht verschiedene Yorg~nge,
was auch in den klinisehen Thatsachen zum Ausdruck kommt.
Die aeustisehen und motorischen Erinneruugsbilder werden durch
Merksysteme dargestellt, die durch uaendlicheu Gebrauch im Leben des
Einzelindividuum und durch Yererbung ausserordentlich stark gefestet
sind~ wlihrend die Erinnerungsbilder des gelesenen und gesehriebenen
Wortes info]ge der spaten. Erwerbung und der rel. geringen Bedeutung
Einige Bemerkungen fiber Aphasic etc.
425
dieser F~thigkeiten im gesammten psychischen Leben bei den meisten
Mensehen eine welt geringere Rolle spielen. Diese Erinnerungsbilder
sind deshalb aus den tibrigen optisehen resp. motorischen nicht so
herausgehoben wie die des gesproehenen und gehSrten Wortes. Sie
unterseheiden sieh abet noch in anderer Weise von den letzteren. Wie
ieh an anderer Stelle ausgeffihrt habe ( G o l d s t e i n 2), mfissen wir sowohl bei jeder Wahrnehmnng wie bei jedem Erinnerungsbilde zwischen
sinnlichem und nicht-sinnlichem Antheil unterseheiden. Wghrend nun
bei dea Erinnerungsbildern des HSrens (trod Spreehens) der rein sinn]iche
(resp. motorische) Antheil immerhin eine bedeutsame Rolle spielt~ tritt
er bei den Residuen des Lesens und Schreibens fast vSllig zurtick, yon
denen fast nur der nich~-sinnliche Antheil orinnert wird. Dieser besteht bei allen bes. den optischen und motorischen Erlebnissen vorwiegend in rgum]ichen Vorstetlungen~ beim Lesen und Schreiben wird
er ganz besonders fast ausschliesslich durch r~umliehe Vorstellungen
reprfisentirt. Durch diese geschieht die Identification der optisch wahrgenommenen Schrift als bekannter Form~ von ihnen geht der Impuls
aus, der die Musculatur der Hand in die der Buchstabenform entsprechende Bewegung versetzt. Neben diesen rein raumlichen~ Richtungsvorstellungen, spieIen vielleiebt bei manehen Menschen rein optische
Erinnerungsbilder der Schrift eine gewisse unterstfitzende Roll% sowohl
beim Lesen wie beim Schreiben. Ueberhaupt fehlen diese Merksysteme
natiMich nicht ganz: sie sind sogar ffir das sehr gel~ufige Lesen uud
Schreiben wahrscheinlich nicht ohne Bedeutung.
Im wesentlichen sind aber die Lese-und Schreibvorstellungen nicht
dutch optische und motorische Merksysteme, sondern durch raumliche
Vorstellungen repriisentirt. Deshalb diirfen wir auch nicht als anatomisches Substrat dieser optischen und motorischen Erinnerungsbilder
besondere yon den fibrigen optischen resp. motorischen Centren: getrennte Centren annehmen.
Die r~inmlichen Vorstellungen, die dem Lesen und Schreiben zu
Gt'unde liegen, haben - - und das macht sie erst so bedeutungsvoll ftir
uns - - eine enge Beziehung zu den Sprachvorstellungen. Wird Bin gesehener Buchstabe als solcher identificirt: so klingt gleichzeitig die
Buchstabensprachvorstellung im ,glosso-psychischen Felde" an: die
gesehene Form wird als Spraehlaut erkannt. In i~hnlicher Weise wird
mit Verstlindniss gescht'ieben.
Die Sprachvorstellung erweckt die
r~iumiiche Buchstabenvorstellung, die in die Muskelbewegungen v.mgesetzt wird.
Diese Beziehung der riiumlichen Schriftvorstellungen zu den Sprach-
426
Dr, Kurt Goldstein~
vorsteliungen ist aber eine secundare: wcshalb beide Funcfionen auch
isolirt yon einander ablaufen k~innen (cf. sp~iter).
Unter Zugrundelegung dieser theoretischen Ueberlegungen und
unserer frfiheren Ausffihrungen tiber die Sprachvorstelkmgen lassea sich
alle St6rungen des Schreibens und Lesens ziemlich einwandfrei erklaren.
Wir h a b e n zwei p r i n c i p i e l l v e r s c h i e d e n e A r t e n yon
S t 6 r u n g e n des L e s e n s und S c h r e i b e n s zu u n t e r s c h e i d e n ~ je
n a c h d e m SCIlOn die B u c h s t a b e n als r a u m l i c h e G e b i l d e ges c h a d i g t sind o d e r n u r die B e z i e h u n g d i e s e r r i i u m l i c h e n Geb i l d e zu den S p r a c h v o r s t e l l u u g e n ladir~ ist. Nur diese zweite
Art ist als eigentliche Sprachst6rung zu bezeichnen.
Rein theoretisch lassen sich auf Grund unserer Anschauungen die
Hauptsymptome beider Arten yon Stbrungen ableiten~ die auch im
wesentlichen in den klinischen Thatsachen ihre Bestlitigung finden. Bei
der Yerwerthung der klinischen Befunde darf man natiirlich ale iibersehen, dass reine Lasionen aussererdentlich selten sind; dass uns vielmehr meist aus mehreren Stbrungen resultirende Znstandsbilder vorliegen.
Betrachten wir zunfichst die S c h r i f t s t b r u n g e n auf G r u n d yon
L a s i o n e n der B u c h s t a b e n als r ~ u m l i c h e Gebilde~ so handelt es
sieh dabei um die sog. r e i n e n A l e x i e n und A g r a p h i e n ohne
jegliche Sprachstbrung. Sie mfissen uns besonders interessiren, weil sie
den subcorticalen Aphasien entsprechen sollen und besonders yon der
Frage der Wortbilder beriihrt werden.
Berechtigt die reine Alexie zur Annahme optischer Lesebilder und
eines entsprechenden Centrums?
Bei der subcorticalen sensorischen Aphasie lag die Mbglichkeit zur
isoiirten Stbrung der Spl"aehiautednnerungen in dem compiicirteren
Charakter derse]ben gegenfiber den iibrigen Lauterinnerungen und ihre~grossen psychologischen Bedeutung. In beiden Punkten verha]ten sich
die optisch-sinnliehen Erinnerungsbilder der Buchstaben ganz anders.
Ueber ihre psychologische Werthigkeit hatten wit schon gesprochen, und
mussten danach ~thnlich isolirte Erinnerm~gsbilder wie bei den Sprach~
]auten ablehnen. Abet auch in Bezug auf die Comp]icirtheit gegeniiber den
fibrigen optischen Wahrnehmungen verhalten sich die Buchstaben anders
als die Sprachlaute, sit stellen ira Gegensatz zu ihnen sogar die relativ
einfacheren optischen Wahrnehmungen dar. Es ist deshalb rein theoretisch fast auszuschliesse,~ dass die St~tte der optischen Perception je
d'erartig li~dirt werden kann~ dass zwar alles iibrige gesehen und optiseh
erkannt wird~ aber die Buchstaben nicht, i~hn]ich wie bei der reinen
Worttaubheit. Diese Ueber!egungen finden in den klinischen Thatsachen ihre volle Best~tigung. Die Lgtsionen der Rinde des Hinterhaupt-
Einigo Bemerkungen fiber Aphasie etc.
427
lappens, soweit er fth" das Sehen in Betraeht kommt, ffihren zar Herabsetzung resp. Aufhebung des optischen Wahrnehmens (ontweder total
odor in Form yon Gesichtsfelddefecten) tiberhaupt und so auch der Buchstaben, aber hie zur Alaxie allain. Es g i e b t also k e i n e s u b e o r t i e a l e
A l e x i e in dam Sinne als wir diesen Ausdraek bet den Aphasien verstanden haben. Die reine Alexie beruht nie auf einer StSrung der
optisehen Perception, sondern auf einer StSrung der Ueberleitung zwisehen den optiseh-sinnlichen Wahnehmungen und den r~tumliehen Vorstellungen~ resp. den Seh~tdigungen letzterer selbst. Alle L~tsionen, die
Alaxie erzeugela, liegen deshalb eentraler als das optisehe Perceptionsfold, central vom sogenannten Lichtfeld.
Da aueh bet der Ueberleitung die optisehen Erregungen, die den
wahrgenommenen Buehstabenbildern entspreehen, nieht etwa gesondert
yon den tibrigen optischen Wahrnehmungen tibertragen werden, so ist
anzunehmen~ dass aueh L~tsionen dieser Stelle niemals v6llig isolirte
L~tsionen des Lesens allein machen warden; das entsprieht ebenfalls den
Thatsaehen. Die sog. reinen Alexien sind in diesem Sinne niemals vSltig
rein. Eine sehwerere L~tsion des Ueberleitungsweges ftihrt zu allgemeinen
schweren St6rungen des optisehen Erkennens. Es sind nur die leichtan
L~isionen~ bet denen die Alexie so sehr im Vordergrunde steht.
Dass aber fiberhaupt eine derartige L~ision eine isolirte Alexie erzeugen kamb liegt daran~ dass hier an einer St~ttt% wo nicht mehr
die Perception allein, sondern ausserdem die associativen Beziehungen
zum tibrigen Gehirn in Betraeht kommen, zwisehen den Buchstaben und
den tibrigen optisehen Gebilden ein bedeutungsvoller Untersehied besteht -- niimlich in dem versehiedenen Reiehthum an assoeiativen Beziehungen mit dem iibrigen Gehirn.
Die Buehstaben erregen im Gegensatz zu den tibrigen optischen
Gebilden, die durah zahlreiche Assoeiationan mit dam gesammten Erfahrungsschatz in Verbindung stehen, ausser dem rliumlichen Momente
fast gar keine associative Componente. Sie sind ftir uns - - abgesehen
yon der erst seeundSren Beziehung zur S p r a e h e - ausschliasslich r~um]iehe Gebilde. Wenn man erw~igt, welch vorwiegende Bedeutung fthdie Constituirung der ritumliehen Vorstellungen der optisehen Wahrnehmung zukommt, wird man verstehen, warum eine BeeintrSchtigung
dieser dureh eine partielle L~tsion der Ueberleitungsbahn~ das Erkennen
yon Buehstaben sehon sehwer zu sch~tdigen vermag, wlthrend die
anderen Objecte noeh dureh die Untersttitzung der iibrigen Assoeiationen
erkannt werden kannelb wenn nur die optisehe Wahrnehmung noch
einigen Anhaltspunet liefert. Was ftir die iibrigen Objaete noeh gen[igt, hat bet den Buehstaben schon sehwere StSrungen zur Folge,
428
Dr. Kurt Goldstein~
GewShn]ich fehlen abet auch die StOrungen bei den iibrigen optisch
wahrgenommenen Objeeten besonders im Anfange nicht ganz; es findcn
sich hiiufig ill den Fiillen reiner Alexi% wenigstens voriibergehend~ Anzeichen yon Seelenblindheit und eine bestimmte Form der Amnesie~ die
dadurch sich erkl~rt~ class die Begriffe dureh die optischen Wahrnehmungen nicht geniigend begrenzt werden und so aueh nieht die entsprechenden Namen erwecken kSnnen. Grade diese Beg]eitsymptome
der Alexie geben einen Beleg fiir die Richtigkeit der hier vertretenen
Erkllirung. Ich mSchte in diesem Sinne auf die F~]le yon R e d l i c h ~
B r o a d b e n t und besonders auf die wohl am besten untersuchten yon
S t o r e h (2) hinweisen. (ef. aueh yon Monakow~ Ergeb. d. Phys.
S. 417).
Die Alexie betrifft hier schon die Buehstaben~ ist also eine litterale;
darin besteht ein gew6hnlich nicht geniigend hervorgehobener Gegensatz gegenfiber der Alexie bei StSrangen der Sprache: die wesentlich
verbaler Natur ist. Gewiss kann auch hier eine leiehtere Liision gelege~tlieh noeh die MSglichkeit lassen, einzelne Buehstaben zu erkennen,
w'~hrend das Lesen yon Worten vSllig unmSglich ist; eine vOllige Intactheit des Buehstabenlesens bei aufgehobenem Wortlesen kommt abet
nur durch Begleitsymptome anderer Art zustand% entweder dutch eine
gMchzeitige Schiidigung des glossopsyehisehen Feldes oder durch anderweitige rein psyehische StSrungen wie herabgesetzte Merkf~higkeit etc, die
mit der aleetischen StSrung an sich nichts zu thun haben.
Bei diesen Formen der Alexie wird das Copiren natfirlieh in jeder
Form aufgehoben sein~ denn es kommen ja auf optisehem Wege fiberhaupt
keine r~iumlichen Vorstellungen zustand% die copirt werden kSnnten;
racist wird aueh das Naehzeiehnen mehr oder minder schwer ge]itten
habeu. Das Schreiben kann dagegen vSllig intact sein. Die Krankeu
kSnnen dann nieht mehr lesen~ was sie soeben gesehrieben haben. Nut
bei denjenigen Individuen~ bei denen das Schreiben immer nut mit Erweekung,der eptisch-sinnlicheu l~esiduen der Buchstaben vor sich zu
gehen pfiegt - - u n d e s giebt sicher solche - - wird aueh das Schreiben
leiden.
Die r e i n e A l e x i e ist a l s o eine A r t yen S e i e n b t i n d h e i t . Ich
stimme deshalb mit Marie iiberein, wenn er sagt~ die Alexie sei ,une
sorte d'Agnosie visuelle sp~cialis6e pour la langage". (ef. auch M o n a k o w
8. 417).
Diese Auffassung trifft natiirlich nur ftir die bisher besprochene
Form der Mexie zu, die auch a l s 8ehriftblindheit bezeichnet wird.
Diese Form Mlein sol]re m a n aber als reine A]exie bezeichnen; es
diirfte, um Verwirrungen za vermeiden~ jedenfalls zweckmi~ssig sein~ die
Einige Bemerkungen fiber Aphasie e~c.
429
StSrungen des Verst~ndnisses des Gelesenen davon abzugrenzen. Leider
finden sich nicht selten z. B. auch bei M o n a k o w in seiner Gehimpathologie die verschiedenen alectischen St~irungen nicht scharf genug
unterschieden. W~hrend Monakow zun~ichst yon der reinen Alexie
sprieh L sagt er welter ,ffir den an Alexie leidenden sind dig Buchstaben niehtssagende Zeichen, ~hnlich wie ffir jemanden, tier hie lesea
gelernt hat~ weft die Verbindung der Sehspbi~re und dem Klangeentrum
verlegt resp. unterbroehen ist." Das ist abet wohl kaum das Charakteristisehe der reinen Alexie. Bei ihr wird doch sehon der Buehstabe
als Raumgebilde nicht richtig erfasst, es handelt sieh ja nieht nur um
das sprachliche Nichtverstehen. Die Kranken kSnnen doch z. B. auch
nicht copiren. Wean die verscbiedenen Alexien aueh klinisch ineinander
fibergehen~ so sollte man sie doch des theoretischen Verstandnisses
wegen seharf zu trennen versuchen,
Wir sehen also, dass wir die r e i n e Alexie wohl o h n e die Ann a h m e von B u c h s t a b e n b i l d e r n resp. eines o p t i s c h e n Buehs t a b e n c e n t r u m s ~ eines sog. L e s e e e n t r u m s ~ e r k l a r e n kSnnen.
Entsprechen nun dieser Auffassung tier r e i n e n Alexie die a n a t o m i s e h e n B e f u n d e ? v. Monakow (1) kommt aufGrmldeinerUebersieht
fiber dig gesammte Literatur (Gehirnpathologie S. 784) zu dem Resulrate, dass ffir das Zustandekommen der Alexie nothwendig ist eine
L~sion tier drei Strata des linken OccipitMmarks~ ausserdem abet noeh
des oberfltiehliehen Marks des Gyms angularis und vielleicht des Balkenspleninm. Gerade eine derartige L~tsion dfirfte im Stande sei,~ die
Verbindung zwischen den optischen Perceptionsfeldern und der Hauptstatte der Bildung und Bewabrung raumlieher Vorstellungen (das Raumfeld oder ,stereopsyehisehe" Feld Storeh's)~ ffir die wir den grossel~
zwischen den Sinnescentren ge!egenen Abschaitt beider Hemisphfirea, il)
ganz besonderem Maasse abet der linken in Ansprueh [eft G o l d s t e i n
(3)] nehmen dfirfen, zu verletzen. Die Thatsaehe, dass nur Gin links
gelegener Herd Alexie erzeugt, kann uns jetzt nach unseren Erfahrungen
auf dem Gebiete der Apraxie~ die uns eine so grosse Ueberwerthigkeit
der linken Hemisphare kennen gelehrt habea~ nicbt mehr wundern.
Wit wissen aueh durch L i e p m a n n ~ dass Seelenblindheit durch einel~
aussehliesslich links ge]egenen Herd zu Stande kommen kann, wean er
gleichzeitig Balkenfasern trifft~ also die Zufuhr der rechtsseitigen optischen Erregungen zum linksseitigen Absehnitt des Raumfeldes absehaeidet. Eine ~thnliche L~sion mfissen wir auch bei der Alexie annehmen. Es ist durch den Herd ein gewichtiger Thei] der Yerbinduage~
des linken wie des reehten PerceptionsfG]des mit dem bedeutungsvollsten
Absehnitte des Raumfe]des, dem in der linken Hemisphiire: an einer
430
Dr. Kurt Goldstein~
Ste]le getroffen, an der die Bahnen beider Seiten schon nahe zusammenliegen. Es erscheint mir im Sinne dieser Ansehauung auch bedeutungs~r
dass v. M o n a k o w auch die Erkrankung des Balkenspleniums als
vielleicht nothwendig fiir das Zustandekommen der Alexie bezeichnet.
Die Streitfrag% ob das optische Buchstabeneentrum einseitig oder doppelseitig vorhanden ist, die noch W e r n i c k e so lebhait discutirt~ ist ffir
diese Anschauung natfirlich ganz beseitigt. Natiirlich kommen auf
beiden Seiten optische Buehstabenbilder zu Stande wie alle anderell
optischen Wahrnehmungen; aber nut ein linksseitiger Herd vermag die
sinnlichen Erregungen beider optischen Perceptionsfelder yon der Zuleitung zu tier Hauptstatte der Bildung und Bewahrang r~umlieher Vorstellungen abzutrennen und so das Bild der Alexie zu erzeugen.
Die Form der Alexi% die wir bisher besproehen haben und die bei
den meisteu Fallen reiner Alexie vorliegt, kann man als o p t i s c h e
A l e x i e oder L e i t u n g s a l e x i e bezeichnen. ~hr entspricht auf dem
Gebiete des Sehreibens eine ithnlich zu Stande kommende L e i t u n g s a g r a p h i e . Es ist das die gew6hnlich als s u b c o r t i c a l e A g r a p h i e
beschriebene St6rung~ als deren Ursaehe noeh manche Autoren eine
Litsion des sog. Sehreibeentrums (Exner, B a s t i a n etc.): Andere wieder
der u
des Lesecentrums mit der Motilitat annehmen.
Naeh unserer Auffassung b e r u h t die r e i n e A g r a p h i e d a r a u f ,
dass die i n t a e t e n F o r m v o i ' s t e l l u n g e n der B u e h s t a b e n d u r c h
U n t e r b r e c h u n g d e r a b l e i t e n d e n B a h n zum M o t o r i u m u i c h t
a n f die M u s e u l a t u r f i b e r t r a g e n w e r d e n kOnnen. Das Leitende
beim Schreiben sind gewisse eomplieirte Bewegungsvorstellungen, die
wie alle anderen Bewegungsvorstellungen als r~umliche Vorstellungen
im Raumfelde deponirt sind. Ebenso wie diese kiSnnen sie auf alle
Muskeln des KSrpers fibertragen werden; wir kSnnen bekannttieh mit
allen bewegtiehen Theilen des KSrpers schreiben, l)iese homologe
Stellung der Schreibbewegungen mit, allen anderen muss uns aueh veranlassen~ als anatomischen Ueberleitungsapparat vom Raumfeld zum
Motorium ffir beide Gruppen yon Bewegungen dieselben Neuronensysteme in Ansprueh zu nehmen. Bei der Agraphie haben uir eine
Unterbrechung resp. Schadigung dleser Neurone vorauszusetzen; sie
muss nach unseren Ausffihrungell dann auch immer gleichzeitig andere
motorische St6rungen - - und zwar apraktischen Charakters - - herbeifiihren. Thatsaehlich ist die Agraphie auch meist yon einer gewissen
motorischen Apraxie begleitet. Eine Reihe yon neueren Beobaehtungen
haben uns die Agraphie als Theilerscheinung einer allgemeineren motorischen Apraxie kennen gelehrt [cf. H e i l b r o n n e r (2)~ L i e p m a n n
und Maas~ Maas~ G o l d s t e i n (3) etc.] Es ist leicht verst~ndtich,
Einige Bemerkungen fiber Aphasic etc.
~31
dass wir in den ~lteren Publicationen iiber Agraphie keine Angaben
fiber Apraxie finden~ man hat darauf eben nicht gentigend geachtet;
jedenfalls spricht das Nichterwahnen nieht ohne Weiteres daftir~ dass
keine Apraxie bestanden hat. L i e p m a n n vermuthet~ dass ,fiberhaupt
bei den alton F~llen yon isolirter Agraphie die jetzt fibliche anspruchsvollere Untersuehung auf Praxie manehen Defect aufgedeckt h~tte"; H e i l b r o n ner (2) und Li e p m an n haben andererseits hervorgehoben, class Manehes~ was man frfiher aufaphasisehe StSrungen, StSrungen des Wortverst~ndhisses zuriickffihrt% wohl anf Apraxie beruhte. Es ist welter zu bertieksichtigen~ dass die Schreibbewegungen ffir viele Menschen die relativ eomplicirtesten Bewegungen darstellen, die dementspreehend bei einer relatir
leichten ScMdigung des Substrates mit am frfihesten werden gesehadigt
werden; auch werden St6rungen beim Schreiben immer starker in die
Augen fallen als Stsrungen anderer Bewegungen; die Auffassm~g yon
gesehenen Bewegungsfehlern ist sicher ]ange keine so feine als die der
objectiv uns vorliegenden Schrift.
Diese Form der Agraphie, die ,apraktisehe Agraphie" ist ihrem
Wesen nach eine litterale; es folgt welter aus den theorefischen Voraussetzungen~ dass wie das Spontanschreiben auch das i)ictatschreiben
nnd auch das Cop[ren hoehgradig gestSrt ist~ dass die Bee[ntr~ichtigung
des Sehreibens weniger im Verwechseln als im vSlligen Versagen tier
Schreibbewegungen besteht - - ahn]ich wie bei der allgemeinen motorisehen Apraxie. Alle diese Punkte finden sich in den moisten Beobaehtungen deutlieh ausgesproehen. Alles, was die Kranken produciren~
sind H~kehen und nicht mehr a]s Sehriftzeiehen erkennbare Kritze]eien.
Das Copiren wird meist als eben so unvollkommen verzeiehnet a]s das
Spontanschreiben. Nut einzelne F~lle weichen gerade in diesem letzten
Punkte ab; sic lassen sictl aber widerspruchslos unter den gleichen
Voraussetzungen wie die tibrigen erklaren. In dem einea Theil der
F~lle handelt es sieh wahrscheinlieh um eine andere Art der Agraphie,
um die sogen, transeortical% auf die wir noch zu sprechon kommen
(hierher geh5rt vie]leicht unter anderen der Fall B a s t i a n ' s ) ; anders
verhNt es sich z. B. in den Fallen yon H e i t b r o n n e r und Maas, bei
welehen beiden yon den Autoren das Erhaltensein des Copirens besonders
hervorgehoben wird. Beide Falle zeichnen sich dadurch aus, dass die
aussehliess]ieh linksseitige Agraphie bedingt ist dutch einen Herd, der
ganz in der linken Hemisphfire liegt und die rechte vSllig intact ]~isst.
Im Gegensatz hierzu wird in den Fa]len, bei denen auch das Copiren
gest6rt ist~ die Agraphie dutch einen Herd hervorgerufen~ der aueh die
rechte Hemisphere mehr odor weniger schiidigt~ so in den F~illen yon
Balkentumor~ in meinem Fa]l~ bei dem der Herd ja ausschliesslieh rechts
43"2
Dr. Kur~ Goldstein~
zu localisiren ~
Diese Differenz erscheint mir yon principieller Bedeutuag~ mid ich erk]iire mir das Erhaltensein des Copirens bei Intactheir der rechten Hemisphere folgendermaassen: Die rechte Hemisph~ire
resp. der rochtsseitige Abschnitt des Raumfeldes ist zwar nicht im
Stand% die Raumvorstel]ungen~ die das Schreiben voraussetzt~ aus sich
selbst in soleher Deutlichkeit zu erzeugen, dass eine exaete Anregung
des Motorium vor sich gehen kann~ sie vermag dies aber unter Unterstiitzung durch die sinnliche Anregung durch die wahTgenommenen
Buehstaben, die ja im Raumfelde dieselben r~iumliehen u
erwecken, die dem Schreiben zu Grunde ]iegen. Dem tinken Raumfelde
vermag (bei rechtsseitiger Agraphie) diese Unterstfitzung nichts za
n~itzen~ well ja hierbei die Ableitung zur Motilitiit lgdirt ist, deshalb
ist in dell Fgllen, in denen das rechtsseitige Schreiben gestSrt ist, das
Copiren immer mitgestSrt; ebenso ist aus gleiehem Grunde bei linksseitiger Agraphie und Herd in tier reehten Hemisph~ire das Copiren
unmSglich.
Anders bei linksseitiger Agraphie mit aussehliessliehem Horde links;
hier ist die Verbindung zwischen reehtsseitigem Abschnitt des Raumfeldes und rechtsseitigem Motorium v011ig intact und die nur gedachtnism5ssig unvollkommen erweekbaren Raumvorstellungen sind dann
dutch den vorliegenden sinnlichen Anzeiz wohl zu der fiir das Schreiben
nothwendigen Klarheit zu erwecken, t l e i l b r e n n e r (2) meintdie u
lage sollte die Sehreibleistung nur da bessern k6nnen, wo dem Kranken
diese Form nicht mehr znr Verfiigung steht; es 15ge die Itypothese
nahe, dass sein granker, trotzdem er ja die Worte buchstabiren nnd
Geschriebenes lesen kann (also auch die Formvorstellung besitzt)~ in der
Evocation des r~umiich-zeitliehen Formenbildes behindert ist", doch
lehnt er diese Annahme ab. Ieh g]aube, dass sie ffir diese FfiA]e wohl
zutrifft. Der Kranke besitzt zwar die Formvorstellungen in seiner
litlken Hemisphiire (deshalb liest er riehtig)~ er vermag sic nut nicht
auf alas rechte Motorium zu iibertragen~ er besitzt nun aber in der
rechten Hemisphiire dieselben Formvorstelhmgen ebenfalls~ aber in un-.
vollkommener Weis% sodass sic spontan wie gesagt nieht erweckt
werden kSnnen~ abet wohl dureh sinnlichen Reiz. Die Apraxie ist bier
eigentiich nieht als rein motorisch% sondern e h e r a l s ideatorische ztt
bezeichnen, indem eben der ideatorische Entwurf allerdings in ganz
eigenartiger Weise nicht genfigt. Die rechte Hemisphere allein leistet
bier etwa ebensoviel als die gesch'adigte linke. Cf. sp~iter die Be:
spreehung tier transcortica]en Agraphie.
Aehnlich diirfte sieh auch die relativ ]eidliehe Sehreibfi~higkeit bei
L i e pm a n n ' s Regierungsrath erkliiren, bei dem infolge dergrossenSehreib-
Einige Bemerkungen fiber Aphasic etc.
~433
geiibtheit der rechtsseitige Abschnitt des Raumfeldes noch relativ viol selb.
standig zu leisten vermochte.
Entsprechen unseren Anschauungen tiber die Agraphie die bisherigen Sectionsbefunde? Leider sind diese noeh sehr sparlich~ und
wahrscheinlich handelt es sich dabei klinisch nieht fiberall um die reine
Agraphie im hier vertretenen Sinne. Zun~chst miissen die F~lle mit
gloichzeitiger Alexie ausgesehaltet werden. Es bleiben dann~ soweit ich
die Litteratur fibersehe~ nur die Beobachtungen yon Broadbent~
Gordinier~ B i n s w a n g e r (Oppeliheim?) fibrig. In allen diesen bestand zum mindestens ein Herd in der Gegend der linken Stirnwindungen, v. Monakow sagt (S. 858): Veto Fuss der zweiten Stirnwindung
aus kann die Fahigkeit zum Sehreiben verh~tltnissmlissig leicht erschfittert werden. Wie ich an anderor Stelle ausgeffihrt habe (1)7 stellt
das Stirnhirn wahrscheinlieh einen bedeutungsvollen Ueberleitungsapparat zwisehen linksseitigem Abschnitte des Raumfeldes and den Motorien beider Seiten dar. Es besteht deshalb die Miiglichkeit diesen
anatomischen Befund b e i d e r Agraphie als Ursache einer doppelseitigen
apractischen StSrung~ die vielleicht wegen der Geringffigigkeit der L~sion
(oder or. auch wegen der mangelhaften Untersuehung) bes. beim
Schreiben zum Ausdruck kam~ in Anspruch zu nehmen. Bezeichnender
Weise finden sich grade in diesen F~llen auch die ffir die motorische
Apraxie so cbarakteristischen hoehgradigen StSrungen~ auch des Nachahmens in Form der UnmSglichkeit zu 7eopiren, besonders deut]ich
ausgesprochen. In den F~tllen yon Balkenunterbrechung d/irfte die
Agraphie ohne Schwierigkeit durch eine Unterbreehung der Bahnen
vom ]inkeu Stirnhirn zur rechten Hemisphlire erkliirt werden kSnnen
(cf. meine friiheren Ausfiihrungen 1. e.).
Die nicht seeirten F~tlle you H e i l b r o n n e r und Maas gestatten
ebenfaIls einen Herd im Mark des frontalen Hirnpoles anzunehmen, der
im Maass'schen Falle (wie auch der Autor annimmt) sicherlieh nur die
Balkenfaserung getroffen hat~ also die Verbindung zwischen Raumfeld
und linkem Motorium intact liess: wie aus dem intacten Schreiben mit
der rechten Hand zu schliessen ist; ira H e i l b r o n n e r ' s c h e n Falle ist~
da Patientin rechts gelahmt war~ nicht zu entschoiden~ ob sie rechts
schreiben konnte; der Herd war hier wohl ein grSsserer. Mein Fall
steht ebenfalls den yon Balkenl~isionen nahe. Fiir die Fi~lte you
W e r n i c k e und Pick~ die W e r n i e k e allerdings auf einen mehl' hinten
gelegenen Herd, der gleichzeitig den hinteren Abschnitt des Fasciculus
arcuatus und den Stabkranz trifft~ zuriickftihreu will, ist meiner Meinung
nach garnicht sicher zu entscheiden~ wie welt der Herd nach vorn reicht%
uad es besteht - - solange das Gegentheil nicht bewiesen ist - - nicht
Archly L Psychlatrie.
Bd. 45. Heft 1.
~8
,~34
Dr. Kurt Goldstein~
das Recht~ sie gegen eine mehr frontalw~rts gelegene Loca]isation der
Agraphie erzeugenden Stelle zu verwerthen. Dasselbe gilt yon dem
P i t r e ' s e h e n Falle, bei dem allerdings sicherlieh auch ein hinten gelegener Herd bestand - - Patient hate eine rechtsseitige Hemianopsie;
doeh kann dieser Herd nicht ausgedehnt gewesen sein~ denn er butte
sonst weitere Symptome erzeugen mfissen~ bes. auch Alexie, wovon nicht
die Rede war, Es scheint mir vielmehr wahrsehefnlieh, dass noch ein
zweiter Herd den vorderen Abschnitt des Gehirnes betroffen hatte, der
die Agraphie erzeugte. Der Fall ist bes. dadurch interessant~ dass
Patient allm~hlich links wieder schreiben lernte. Man kann sieh das
so erkl~ren, dass der Herd zwar die Verbindung zwischen linksseitigem
Raumfeld undlinksseitigem Motorium zerstSrte; die Balkenfasern in der
linken Hemisphi~re aber nicht in so hohem Maasse gesch~tdigt hatte:
dass nicht eine Restitution mSglieh war. Eine derartige Annahme
widerspricht in keiner Weise unseren theoretisehen u
Die Thatsaehe~ dass einmal nur einseitige, ein andermal beiderseitige
Agraphie besteht~ kann danach fiberhaupt keinen prineipie]len Untersehied darstellen. Wir k5nnen uns sogar eine gliedweise Agraphie entsprechend der gliedweisen Apraxie vorstellen.
Die r e i n e A g r a p h i e f i n d e r also o h n e die A n n a h m e e i n e s
S e h r e i b e e n t r u n a und auch o h n e die A n n a h m e e i n e r U n t e r b r e e h u n g der Bahn z w i s e h e n o p t i s c h e m B u c h s t a b e n b i l d c e n t r u m and M o t o r i u m i h r e e i n w a n d f r e i e Erkli~rung. Beisehr
sehreibgeiibten Menschen diirfen wir vielleieht annehmen~ dass sie motorische Merksysteme fiir Buehstaben and einzelne Worte wie z. B. den
Namenszug und Aehnliches besitzen, die als ,Eigenleistuugen" des
Motorium produeirt werden und ev. auch naeh Art der cortiealen Apraxie
H e i l b r o n n e r ' s gleichzeitig mit anderen Eigenleistungen des Motorium
alterirt werden kSnnen. Eine subeorticale Agraphie im Sinne der
subeorticalen Aphasien giebt es ebensowenig wie eine subcortieale
Alexie,
Dagegen kann Alexie and Agraphie auch ohne gleichzeitige Stiirung
der Sprache noch auf andere Weise zu stande kommen, namlich dutch
S t S r u n g e n an der Sti~tte der ri~umliehen u
selbst.
Die richtige optisehe Wahrnehmung wird dann zwar zum ri~umlichen
Felde fortgeleitet~ vermag aber nicht die entsprechende r~tumliehe Vorstellung wachzurufen~ well diese selbst nicht intact ist; andererseits
wird yon den li~dirteu r~umlichen u
nieht der zum
Schreiben nothwendige richtige Impuls ausgehen. Diese Schreib- und
Lesestiirungen bietea infolge des Sitzes der Liision im Raumfeld (stereopsyehischen Felde S to rch's) einige bemerkenswerthe Charakteristica:
Einige Bemerkungen fiber Aphasic etc.
435
ES wird immer Schreiben und Lesen gestSrt Sein 7 das Schreiben meist
in hSherem Maasse als das Lesen~ indem die sinnlich gestiitzte Function,
das Lesen, noch besser vonstatten gehen wird als das rein ged~ch~nissmlissige Sehreiben; das Spontanschreiben wird wesenflich schwerer beeintrachtigt sein als das Copiren~ die sinnliche Anregung der Raumvorstellungen wird hier grosse Vortheiie bieten (cf. frfiher). Wit haben
also in verschiedenen Punkten ein etwa umgekehrtes Verhalten wie bei
der Leitungsagraphie und Leitungsalexi% yon denen sieh diese transcorticale oder ,stereopsyehische" St6rung dann noch dadurch unterscheidet~ dass bei ersteren die Kranken fiberhaupt nichts mit den gesehenen Bachstaben anzufangen wissen, resp. fiberhaupt nieht wissen,
wie sie schreiben sollen, wf~hrend sie hier vielleicht noch wissen~ dass
es sieh beim Lesen um einen Bachstaben handelt~ aber nicht mehr um
welchen~ dass sie die Buchstaben verweehseln, dass es nieht zu v611iger
Aufhebung des Sehreibens kommt, sondern nur zu mangelhafter Ausfiihrang der Buchstaben~ bei leiehteren St6rungen vielleieht nur der
besonders eomplieirten Buehstaben. Weiterhin wird diese transeortieale
Alexie und Agraphie noeh dureh das gleiehzeitige Bestehen anderer
transeortiealer StOrungen ausgezeiehne~ sein. Es werden sieh Sy~ptome
transeortieater Seelenblindheit, Tastblindheit etc., idea~oriseher Apraxie~
transeortiealer Amnesie und Aphasie, St6rungen der Merkfithigkeit~ der
Combinationsfiihigkeit, des Denkens lindenS). M6glieherweise werden
alle diese Symptome abet weniger hervortreten wie die SehreibstSrung;
das Schreiben wird als besonders eomplieirte stereopsyehisehe Leistung besenders sehwer gelit~en haben; die Sehreibst6nmgen werden vielleiebt
aueh besonders in die Augen fallen und die iibrigen Symptom% wenn
nicht besonders auf sie bin untersueht wird, iibersehen werden~ dann
kann die Beobaehtung als reine Agraphie imponiren.
Zn diesen transeortiealen Sehreib- und LesestSrungen gehSren wahrscheinlieh die Fiille yon Bastian~ t t e n s e h e n u. a. Es fehlt noeh
an ausreichend untersuehter Casuistik. Manehe Fiille yon anseheinend
apopleetischer und anderer Demenz wtirden bei genauerer Analyse ein
Bild~ wie oben skizzirt~ ergeben. Ich habe eben Gelegenheit dureh die
Freundliehkeit des Collegen P e l z eine Kranke zu beobaehten~ die in
vie]father Weise einen sehSnen thats~tchlichen Beleg ffir diesen lheoretisch abgeleiteten Symptomencomplex bietet. Der Fall wird dureh
Herrn Dr. P e l z ausffihrlich veriiffentlicht werden. Er hat mir gestattet,
i) Es komm~ hierftir in Betr~cht~ dass wir die St~Ltt% an der wir uns die
riiumlichon Vorstellungen localisirt denken7 auch gleiehzoigg als Sitz einer
Reihe anderer hSehster Bewusstsoinsvorgange anzunehmen haben.
28*
43.6
Dr. Kurt Goldstei%
einiges Wesentliche auw dem Befund schon hier mitzutheilen. Es 1/andelt
sieh rtm eine postoperativ dutch secundlire Drucknekrose entstandene
GehirnSch'~digung. Die Kranke bet zu einer gewissen Zeit ein Bild, das
sich zusammens6tzte aus partieller~ vorwiegend motorischer transcorticaler Aphasie, apractischen Erseheinungen~ intactem Lesen~ sehwer gest6rtem Spontanschreiben (besonders war sie mfinchmal garnicht imstande einzelne Buchstabenformen spontan zu erwecken, wiihrend es ihr
dutch unterstiitzende Hfilfsmittel gelang) und erhal~enem Copiren. Dazu
kamen Merkf~higkeitsstSrungen, Herabsetzung der Combinationsffihig.
keit, Agrammatismus der Ausdraeksweise 'und das Symptom des HaftenbleiSens. Alle diese Symptome'lassen sich auf eine v0rfibergehende
Sehadigung des stereopsychischen FeIdes zuriickfiihren. Klinisch imponitre bei oberfl~tchlicher Betraehtung, abgesehen yon deE"Beeintriichtigung
deE" Spontansprache, besonders die fast reine Agraphie beim Spontanschreiben.
Derartige F'~lle sind sehr lehrreieh. Sie zeigen, wie eine feinere
Analyse zur Erkenntniss einer Reihe. yon differenten einzelnen StSrungen
ftihrt, wlihrend eine oberfi~ichliehe Betrachtung alles in einer IntelligenzstSrung aufgehen llisst und zu einer beugnung besonders transcorticaler
Symptome verleitet, wie sie in dem Satze Mo uti or' s: L;aphasie motriee
transeorticale n'existe an aucune far
ihren Ausdruck finder. Gewiss
sind es ganz verschiedenartige Bilder, die als transeorticale Aphasien
beschrieben wurden~ abet die genauere Analyse ergiebt doeh gewisse
principiell identisehe sich besonders heraushebende St6rungen, die eine
feinere Abgrenzung gestatten, leh bin an anderer Stetle auf gewisse
Eigenarten der transcorticalen Aphasien eingegangen, worauf ieh mir
erlauben mSehte zu verweisen (cf. Archiv f. Psychiatrie Bd. 41).
Wio frfiher ausgeffihrt~ haben wit neben diesen reinen S c h r e i b und L e s e s t S r u n g e n dureh Beeintri~ehtigung der Raumvorstellungen
solche zu unterscheiden, die als F b l g e der S t S r u n g e n der Bez i e h u n g e n zwischen den i n t a c t e n ri~umliehen u
und dem S p r a c h a p p a r a t entstehen. FOr sie wird im allgemeinen
zunachst eharakteristisch sein als negatives Symptom die Intactheit der
Buchstaben als r~umlicher Gebilde, was dadureh zum Ausdruck kommt,
dass die Buchstaben als solche erkannt werden, dass die Kranken
gleiche Buchstaben versehiedener Alphabete zusammenlegen ktinnen,
ohne sie ev. benennen zu kSnnen, dass sie ev. zwar nicht spontan odor
auf Dietat schreiben (also nicht auf dem Wege fiber .die Sprachvorstellungen), doeh.gut eopiren~ nicht nur naehmal~en.
Weiterhin lassen sich aber noah zwei M(iglichkeiten der StSrung
der Beziekunge~i zwischen Raumfeld mid Sprachfeld denken. Zuni~ehst
Einige Bemerkungen fiber Aphasie etc.
~37
durch Lasion des S p r a c h f e l d e s resp. der Sprachvorstellungen selbst.
Charakteristisch ffir diese Form wird die d e u t t i c h e A b h S n g i g k e i t
der S c h r i f t s t S r u n g e n von dell S t S r u n g e n der L a u t s p r a c h e
sein. Je nach der Ausdehnung und Schwere der Liision im ,,glossopsychischen a Felde wird das klinische Bild sich im einzelnen gestalten.
Im Gegensatz zu den reinen Schriftst6rungen wird die Beeintrachtigung
des Lesens und Schreibens wesentlich verbaler Natur sein (Paralexie
und Paragraphie).
Nur ausnahmsweise -- bei sehr schweren StSrungen der Sprachvorstellungen - - wird das Sehreiben und Lesen v611ig aufgehoben sein;
meist diirfte dann nicht nut eine L~ision des glosso-psychischen Feldes
allein vorliegen, sondern bei vollst~ndiger Agraphie auch die ableitenden
Verbindungen zum Handeentrum zerstSrt sein (so z. B. bei der sog.
corticalen motorischen Aphasie, bei der infolge der Lage des Herdes
im vorderen Theile des Sprachfeldes diese Fasern meist mitverletzt
s i n d ) - .bei v(illiger Alexie~ die Verbindungen des glossopsychischen
Feldes mit der Stlitte der riiumlichen Erinnerungsbilder. Es ist deshalb
]eicht verstfindlich~ dass die sehwere Alexie meist bei hinten gelegenen
Herden also bei der corticalen sensorisehen Aphasie auftritt; denn bierbe[ werden eben am leichtesten die in Fr~ge kommenden Verbindungen
mit ]adirt sind. Ffir diese Formen der Schriftst6rungen liessen sich
leicht Beispiele aus der Casuistik der corticalen motorischen und sensorischen Aphasie und der sog. Leitungsaphasien anffihren.
Bei der zweiten uns bier interessirenden Art tier SchriftstSrung liegt
eine B e e i n t r a c h t i g u n g der U e b e r l e i t u n g z w i s c h e n dem i n t a c t e n
F e l d e der R a u m v o r s t e l l u n g e n und dem i n t a c t e n S p r a c h f e l d e vor.
Die einfache Herabsetzung der Assonanz beider Felder hat das
Symptomenbild der a m n e s t i s c h e n A p h a s i e und als Theilerscheinung
derselben eine a m n e s t i s c h e A l e x i e und A g r a p h i e zur Fo]ge~ die
sich durch eine ,Differenz zwischen freier Reproduction und Wiedererkennen und die Eigenthtimlichkeit charakterisirt~ dass sie gegeniiber
Buchstaben in sti~rkerem Maasse zum Ausdruck kommt~ als gegenfiber
Worten a. ( G o l d s t e i n 1. c. Archiv S. 34:.) Anatomisch handelt es sich
hierbei wahrscheinlich nicht um grSbere Lfisionen~ sondern feinere Schiidigungen infolge Rindenatrophie.
Eine schwerere Lasion der Beziehungen zwischen Raumfeld und
Sprachfeld ffihrt zu gewissen F o r m e n t r a n s c o r t i c a l e r Aphasie.
Sie unterscheiden sich yon den vorher erwahnten transcorticMen StSrungen besonders durch die Intactheit der riiumlichen Vorstellungen~
die in intactem Schreiben~ Lesen und Copiren zum Ausdruck kommt~
438
Dr. Ku~t Goldstein~
andererseits_durch die ~ e i t schwereren Beeintrftchtigungen des VersiOnal,
hisses sowohl der Spraehe wie der Schrift. Das Fehlen der Paraphasie
und Pargraphie trennt sie auch yon den glossopsychischen Aphasien
ab~ die schwereBeeintr~ehtigung auch des Wiedererkenaens yon .der
amnestischen Aphasie. Als Belege fiir diese Form habe ich besonders
Fiillo wie den yon H e u b n e r mitgetheilten im Auge. Das vOllige
Freisein slimmtlicher stereopsychischer Funktionen ~,ird aus rein anatomisehen Grtinden nut sehr selten zutreffen; namentlich werden allgemeine IntelligenzstSrungen meist beobach'tet, w~hrend andererseits die
Buchstabenformvorsteilungen in jeder Beziehung g~wShntich ints gefunden werden. In anatomischer Beziehung dfirfte der yon H e u b n e r
gefundene Herd bis zu einem gewissen Grade ,fiir die StSrung charakteristisch sein~ .das heisst ein Herd, der das Sprachgebiet selbst intact
l~sst und dasselbe nur mehr oder weniger v011stlindig yon der iibrigen
Hirnrinde abtrennt. DieFragedieser transcorticalen St~rungen istnoch
keineswegs geklart und bedarf nocheindringlichsten Studiums. Uebel:h a u p t - das mSehte ieh noch h e r v o r h e b e n - war es nicht meine
Absicht~ hier in irgend einer Weise etwa Abschliessendes zu bieten; das
ist naeh der ganzen Such!age heute garnieht mSg]ich. In erster Reihe
war es mir ja um die Kritik der Lehren der franzOsischen Autoreu zu
thua und um eine Hervorhebung der ffir die kiinftige Forschung fruchtbaren Prineipien derselben. Weiterhin wollte ich nut in gewissen
Einzelheiten einen Grundp]an der Auffassung der aphasisehen StOrungen
geben,, der mir die Miiglichkeit zu enthalten scheint: verseifiedene
Schwirigkeiten zu beseitigen, die die bisherigen Erkl~rungsversuche enthalten.
Zum Sehiuss noch einige "~orte tiber die Anschauungen der franzSsischen Autoren yon den,Beziehungen zwisehen Demenz und Aphasie.
Allerdings tritt die Lehre~ die die~Aphasie. fast ganz-~ in .einer Demenz
aufgehen lassen wollt% in den neueren Arbeiten, so auch in M o u t i e r ' s ,
Buch, lange nicht mehr in _der schroffen Form auf, wie in den ersten
Publicationen Marie's, die berechtigter Weise energische Zuriickweisung erfahren hat. L Unsere Stelhngnahme ist nach den obigen Ausftihrungen ohno Weiteres gegeben. Gewiss .kommen bei Aphasischen
h~ufig anch IntelligenzstSrungen vor, gewiss wird manche fiir aphasisch
gehaltene StOrung dutch eine IntelligenzstSrung vorgetauscht, der intellectuelle Zustand des Patienten muss immer, wie iiberhaupt das gosaturate psychische Yerhalten~ eingehende Beriicksichtigung erfahren.
So erkliirt sich mancher anscheinende Defect nur aus einer psychologisehen Eigentiimlichkeit: Trotzdem geht die Aphasie natiirlieh nicht
in der a]lgemeinen IntelligenzstSrung auf. Dafiir braucht es ja nach
Einige Bemerkungcn fiber Aphasic etc.
439
den vielfachen Erfahrungen und jedem mOgliehen Beobachtungen an
wirklieh Dementen gar keinen Beweises. Andererseits kann man die
apbasischen StSrungen an sieh weal als Intelligenzst6rangen auffassen,
besonders die Aphasien auf dem Boden der Lftsionen tier Wortbegriffe
und noch mehr die reine Alexie~ Agraphie~ die transcorticalen Aphasien
etc.~ aber es sind eben I n t e l l i g e n z s t S r u n g e n
ganz eigenartigen
Characters.
Sic zu ergriinden und aus dem grossen Begriff tier Demenz
herauszuseh~tlen, muss eine Hauptaufgabe der kiinftigen Aphasieforschung
sein. Erst damit gewinnt sic ihre grosse Bedeutung ffir die Erkenntnis
tier psyehisehen Vorg~inge iiberhaupt und f/ir die LocaIisation derselben
im Gehirn.
K~)nigsberg'~ Juli 1908.
Citirte Literatur.
Banti~ Aphasia e ]e sue iormo. Lo sperime~tale. 1886.
B a s t i a n , Aphasia and other speech defects. London 1898.
B u r k h a r d t ~ Allgem. Zeitschr. f. Psych. Bd. 47. 1891.
B r o a d b e n t ~ Transactions of the royal medical and chir. see. I872. Cir. nach
Bastian.
Binswanger~ Zeitschr. f. Hypnotismus. Bd. 9.
D6j ~rine 7 1) Sgm~ologie du syst~me nerveux. Paris. - - 2) L'aphasie mortice.
Presse mgd. 1906.
F r e u d , Zur Auffassung der Aphasien. Eine kritisei~e Studio. 189I.
Goldstein~ K n r t , 1) Zur Frage der amnestischen Aphasia etc. Archly L
Psych. Bd. 41. 1906. - - 2) Zur Theorie der Hallucinationen. Archly f.
Psych. 1908. - - 3) Zur Lehre yon dcr motorischen hpraxie. Journ. L
Psyohol. u. Nenrol. 1908.
Gordinier~ Amer. journ, of mad. science. Mai 1899.
t t e i l b r o n n e r , l) Zur Frage der motorischen Asymbolie. Zeitschr. L Physiol.
u. PsychoL der Sinnesorgane. Bd. 39. - - 2) Ueber lsolirte apral~ischo
Agraphie. M/inch. mad. Wochenschr. 1906. No. 39. - - 3) Recension yon
Pierre Marie's Artil~el in Sem. mgd. 1906. Centralbl. f. Neurol. u. Psych.
1906. S. 733.
Heubner~ Ueber Aphasie. Schmidt's Jahrbficher. Bd. 224. 1889.
g i n s h e l w o o d , A ease of ,word" without ,,letter" blindness. Lanoe~. Febr.
1890.
t f l e i s t , Ueber Leitungsaphasie. Monatsschr. f. Psych. u. Neurol. Bd. 17.
L a d a m e , Aphasic mortice pure sans agraphie. Paris 1900.
L i e p m a n n ~ 1) Die linke ttemispMre und alas Handeln. M/inch. reed. Woehensohrift. 1905. - - 2) Ueber die angobliche Worttaubheit dot' MotorischAphasischen. Neurol. Centralbl. 1908. No. 7. - - 3) Zwei Fg~lle yon ZerstSrung der unteren ]inken Stirnw!ndung. Journ. f. Psychol. n. Neuro].
~40
Dr. Kurt Goldstein~ Einige Bemerkungen fiber Aphasie.
1907. ~ 4) Ein Fall yon reiner Sprachtaubhoit. Psyohiat. Abhandl. yon
Wernicke-Breslau. 1898.
L i e p m a n n u. Storch~ Der mikroskopischo Hirnbefund bei dem Fall Gorstelle.
Monatsschr. f. Psych. u. Nourol. Bd. 11.
L i e p m a n n u. Maas: Fall yon linkssoitiger Agraphie und Apraxie. Journ. f.
Psychol. u. Neurol. 1907.
Marie~ 1) Revision do la question de l~aphasie. Sem. m~d. Mai~ Oct. 7 Nov.
1906. - - 2) Rectifications ~ propos de la question do l'aphasio. La Presse
m6d. 1907.
Marie et Moutier~ Bull. see. m6d. hSp. Paris. 1906. Juillet~ 16.1~ov., 23.Nov.~
'
14. Dec.
Maas~ 0.~ Ein Fall yon linksseitiger Apraxie und Agraphie. Neurol. Centralblatt. 1907.
Montier~ L'aphasie de Broca. Paris 1908.
v. Monakow~ 1) Gehirnpathologie. 1905. - - 2) Ueber den gcgenwSrtigen
Stand der Fragc nach der Localisation im Gehirn. Ergebnisse der Physiclogic. Wiesbaden 1907.
Pick~ A.~ Beitr~ge z. pathol. Anat. etc. Berlia 1898.
P i t r e s , Consid6ration sur l'agraphie '& propos d~une observation nouvelle
d'agraphie motrioe pure. Revue de m6d. 1884.
Redlioh~ Jahrb•cher f. Psych. 1894.
S cromer, Zur Theorie tier cerebralon Schreib- und LesestSrungen. Zeitsohr.
f. Psyohol. u. Physiol. d. Sinnesorgane. Bd. 51.
Storch~ E., 1) Der aphasische Symptomeneomplex. Monatsschr. f. Psych. u.
Neurol. 1903. Bd. 1 3 . . - 2) Zwei F~I!o yon reiner Alexie. Ebenda.
W e r n i c k e , C., Ein Fall yon isolirter Agraphie. Monatsschr. f. Psych. u.
Neurol. 1903. Bd. 13.
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https://www.aclweb.org/anthology/W17-3802.pdf
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English
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Lexicon for Natural Language Generation in Spanish Adapted to Alternative and Augmentative Communication
| null | 2,017
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cc-by
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Silvia García-Méndez, Milagros Fernández-Gavilanes, Enrique Costa-Montenegro, Jon-
athan Juncal-Martínez, Francisco J. González-Castaño
GTI Research Group, AtlantTIC
University of Vigo, 36310 Vigo, Spain
{sgarcia, mfgavilanes, kike, jonijm, javier}@gti.uvigo.es {sgarcia, mfgavilanes, kike, jonijm, javier}@gti.uvigo.es Many of these have evolved from graphical systems
and rely on speech synthesis and speech recognition
(Heimann Mühlenbock & Lundälv, 2011). They are
known as Augmentative and Alternative Communi-
cation or AAC. Abstract In this paper we present Elsa, the first lexicon
for Spanish with morphological, syntactic and
semantic information automatically generated
from a well-known pictogram resource and es-
pecially tailored for Augmentative and Alter-
native Communication (AAC). This lexicon, fo-
cusing on that specific icon set widely used
within AAC applications, is motivated by the
need to improve Natural Language Generation
(NLG) systems to aid people who have been di-
agnosed to suffer from communication disor-
ders. In addition, we design an automatic lexi-
con extension procedure by means of a training
process to complete the linguistic data. For this
we used a dataset composed of novels and tales
in Spanish, with pictogram representations,
since the lexicon is meant for AAC applications
for children with disabilities. Moreover, we
provide the algorithms used to build our lexi-
con and a use case of Elsa within an NLG sys-
tem to observe the usability of our proposal. Our goal is to automatically create a Spanish vo-
cabulary to be used in a Natural Language Genera-
tion (NLG) system applied to an AAC communicator,
by merging different linguistic resources. Picto-
grams (used as input) act as a bridge between the
lexicon and the NLG system, and help target users
express themselves easily and quickly. Some previ-
ous AAC tools such as Talk Together or LetMe Talk3
include small vocabulary packages with hand-coded
knowledge, but none of them considers morpholog-
ical, syntactic and semantic information when gen-
erating messages in Spanish. There is some work on
language resource merging in the literature on man-
ual and automatic management (Hughes, Souter, &
Atwell, 1995; Crouch & King, 2005; Molinero,
Sagot & Nicolas, 2009) but Spanish resources con-
sidering morphological, syntactic and semantic data
has not been considered so far. Moreover, combin-
ing existing resources seemed a promising approach
towards our goal, due to the grammatical difficulties
of Spanish4, as there are fewer resources than in
English (Janssen, 2005). trum.net/2016/02/05/primer-estimado-de-prev-
alencia-de-autismo-en-mexico-es-de-1-en-115-
individuos.
3 Available at http://acecentre.org.uk/talk-to-
gether and
http://www.utac.cat/descarregues/cace-utac.
4 Some difficulties are those related to the inflection of
verbs. 1
Introduction According to the State Database of Persons with
Disabilities 2014 report1, 14,456 Spanish people
had expression problems, 72,088 had mixed disabil-
ities and 45,818 had communication disorders
(Doval, 2013). Relying on unofficial sources2, in
Spain and Mexico over 1% of children are autistic
(over 800,000 people) requiring language aids. The rest of this work is organised as follows. In
Section 2 we review the existing linguistic resources
for Spanish and the process conducted to build Elsa. In Section 3 we present an automatic lexicon exten-
sion procedure. Then, in Section 4 we conduct an 11
Proceedings of the Linguistic Resources for Automatic Natural Language Generation Workshop, pages 11–
15, Santiago de Compostela, Spain, September 4, 2017. © 2017 Association for Computational Linguistics
1 Press release available Oct. 2016 at http://www.de-
pendencia.imserso.es/Inter-
Present2/groups/imserso/documents/bina-
rio/bdepcd_2014.pdf. 2 Press releases available Oct. 2016 at http://www.an-
tena3.com/noticias/salud/espana-350000-per-
sonas-estan-diagnosticadas-au-
tismo_20150402571edda86584a8abb583c1ee.html
and http://projectspec-
trum.net/2016/02/05/primer-estimado-de-prev-
alencia-de-autismo-en-mexico-es-de-1-en-115-
individuos. 3 Available at http://acecentre.org.uk/talk-to-
gether and
http://www.utac.cat/descarregues/cace-utac. 4 Some difficulties are those related to the inflection of
verbs. 11
Proceedings of the Linguistic Resources for Automatic Natural Language Generation Workshop, pages 11–
15, Santiago de Compostela, Spain, September 4, 2017. © 2017 Association for Computational Linguistics
1 Press release available Oct. 2016 at http://www.de-
pendencia.imserso.es/Inter-
Present2/groups/imserso/documents/bina-
rio/bdepcd_2014.pdf. 2 Press releases available Oct. 2016 at http://www.an-
tena3.com/noticias/salud/espana-350000-per-
sonas-estan-diagnosticadas-au-
tismo_20150402571edda86584a8abb583c1ee.html
and http://projectspec-
trum.net/2016/02/05/primer-estimado-de-prev-
alencia-de-autismo-en-mexico-es-de-1-en-115-
individuos. 3 Available at http://acecentre.org.uk/talk-to-
gether and
http://www.utac.cat/descarregues/cace-utac. 4 Some difficulties are those related to the inflection of
verbs. 11 Proceedings of the Linguistic Resources for Automatic Natural Language Generation Workshop, pages 11–
15, Santiago de Compostela, Spain, September 4, 2017. © 2017 Association for Computational Linguistics Proceedings of the Linguistic Resources for Automatic Natural Language Generation Workshop, pages 11–
15, Santiago de Compostela, Spain, September 4, 2017. © 2017 Association for Computational Linguistics Proceedings of the Linguistic Resources for Automatic Natural Language Generation Workshop, pages 11–
15, Santiago de Compostela, Spain, September 4, 2017. © 2017 Association for Computational Linguistics Proceedings of the Linguistic Resources for Automatic Natural Language Generation Workshop, pages 11–
15, Santiago de Compostela, Spain, September 4, 2017. © 2017 Association for Computational Linguistics evaluation of the created lexicon. In Section 5 we
provide a use case of Elsa within an NLG system. Section 6 concludes the paper. to be equivalent using the graph unification model
(Necsulescu, Bel, Padró, Marimon & Revilla, 2011;
Bel, Padró & Necsulescu, 2011). 1
Introduction This operation is
based on set unions of compatible feature values, al-
lowing the validation of common information, the
addition of differential information and the exclu-
sion of inconsistencies. 5 Some of them were: Pictographic Communication System
(http://www.mayer-johnson.com/category/sym-
bols-and-photos) and Pictogram (http://www.pic-
togram.se), which are not free; or Widgit
(https://widgit.com) with no support for Spanish.
6 Created by the CATEDU, the Alborada Special Education
Public School and Sergio Palao in 2008 under Creative
Commons license. It contains over 16,000 pictograms with
their associated words or sequence of words for Spanish, as
well as multiple other languages. Available at
http://www.catedu.es/arasaac. 7 Database of over 3,400 verbs, diathesis alternations and
syntactic semantic schemes in Spanish. Accessible at
http://adesse.uvigo.es, May 2017.
8 Lexical database integrating the Spanish WordNet into the
EuroWordNet framework. Available at
http://adimen.si.ehu.es/web/MCR, May 2017.
9 A wide-coverage morphological and syntactic lexicon.
Available at https://gforge.in-
ria.fr/frs/?group%20id=482&release%20id=4290,
May 2017.
10 Diccionario de la Real Academia de la Lengua Española
available at http://www.rae.es. 2
Reusing existing resources to build Elsa The construction of Elsa begins with the selection
of an available pictographic set for AAC users. After
evaluating some possibilities5 we choose the free
and highly comprehensive Arasaac6 set. Nonethe-
less, this dataset had to be preprocessed by remov-
ing the pictograms with the same meaning and word
descriptions, whose redundancy is due to their dif-
ferent representation according to their colour. By
doing so, we obtained our icon set with 9,411 picto-
grams, of which 6,970 have a single associated word
(including proper names) and the rest are verbal
phrases or compound proper names. Once this step
is finished, it is necessary to add POS tags, syntactic
and semantic information to each Arasaac word en-
try. For this purpose, we looked for available Span-
ish linguistic resources. We choose: The steps of extraction and mapping, verification
and merging are explained in Algorithms 1, 2 and 3,
respectively. In algorithm 4, we can observe the
composition of the steps as explained in this Sec-
tion. Adesse7
(García-Miguel,
Vaamonde,
&
González Domínguez, 2010). Multilingual
Central
Repository8
(MCR)
(González-Agirre, Laparra, & Rigau, 2012). Multilingual
Central
Repository8
(MCR)
(González-Agirre, Laparra, & Rigau, 2012). Lexicon of Spanish inflected forms9 (LEFFE)
(Molinero, Sagot, & Nicolas, 2009). Lexicon of Spanish inflected forms9 (LEFFE)
(Molinero, Sagot, & Nicolas, 2009). 12 For example the verb comer ‘eat’ whose subcategoriza-
tion frames did not include the possibility of using the prep-
osition a with people, even though it is widely employed in
tales, as in the clause El lobo se comío a la abuelita ‘The
wolf ate the granny’. 11 A library that provides multiple language analysis ser-
vices, including probabilistic prediction of categories in un-
known words (Atserias et al., 2006; Padró & Stanilovsky,
2012). We start the process by extracting from each re-
source some information on the forms of the prepro-
cessed icon set. Next, our approach follows the two
well-defined steps (Crouch & King, 2005) between
which we include a verification step: (1) we extract
and map the form entries to a common format,
adapted from Lexical Markup Framework (LMF)
format (Francopoulo, et al., 2006); (2) we verify
them at a lexical level in the DRAE10; and finally (3)
we combine the entries once they have been found 12 entire icon set and most word entries include syn-
tactic and semantic data essential to conduct the
NLG process correctly. Moreover, Table 3 shows the
number of lemmas and forms classified by catego-
ries. Most lemmas (3,165) are tagged as nouns, rep-
resenting 7,035 inflected forms added to Elsa,
whereas most forms (45,341) are tagged as verbs,
representing 811 lemmas. Figure 1: Fragment of the entry for the Spanish lemma
desagradar ‘displease’ in Elsa 3
Automatic lexicon extension Keeping in mind that we intend to use this lexicon
within an NLG system adapted to AAC users, and in
order to facilitate the task of avoiding pictograms
related to prepositions, we need to infer a priori
which specific preposition follows a verb. The train-
ing process was performed using a dataset com-
posed of novels and nearly five hundred tales in
Spanish (Andersen, 2016; Anonymous, 2016;
Grimm, 2016), previously POS-tagged applied with
Freeling Tagger11, since we plan to use the lexicon
in AAC applications for children with disabilities
and these are the only contents with pictogram rep-
resentation. In this regard, we are able to include
more options beyond those present in the subcate-
gorization frames for verbs taken from LEFFE and
Adesse, such as those related to figurative language
approaches12. Since this grammar realization is not
present in the selected lexica, we developed a lan-
guage model from a training process, considering
bigrams and trigrams around verbs and using syn-
tactic and semantic knowledge. Figure 1: Fragment of the entry for the Spanish lemma
desagradar ‘displease’ in Elsa Figure 1 shows an example in adapted LMF for-
mat of the word entry desagradar ‘displease’ with
morphological, syntactic and semantic data. Sem-
Synset contains the semantic information from MCR. In addition to the conjugation in WordForm, SCF
contains the syntactic information on the verb after
combining the data extracted from LEFFE and
Adesse. There is only one possible realization in the
active form, where the subject is an estímulo ‘stim- 6
Conclusions Elsa is an approach for lexica generation specially
tailored for the needs of AAC applications. Besides
including several types of linguistic information
(morphology, syntax and semantics), a training pro-
cess was executed to complete the subcategorization
frames for verbs, like those present in figurative lan-
guage. The resulting lexicon may be useful for as-
sisting people with communication disabilities
through NLG systems. In order to increase efficiency
and precision, additional linguistic resources can be
easily integrated due to the fact that the building
process is automatic. To complete the semantic in-
formation, we propose to establish synonymy rela-
tions between the word entries to reuse their seman-
tic classification and fill in the missing information. Table 3: Elsa size by category System output without using Elsa: El tiempo
desagradar el profesor ayer ‘The weather dis-
please the teacher yesterday’ (where displease
is the infinitive of the verb). In SCF_training, a new preposition, a ‘to’ (not
present in any of the selected resources), was in-
ferred in order to use it within the subcategorization
frame of the verb (before the indirect object oind). In addition, the Elsa entry desagradar ‘displease’ is
linked to a pictogram image file from the icon set. In this example, the system can determine that
desagradar ‘displease’ is a verb, whose subject is
tiempo ‘weather’, followed by an indirect object
profesor ‘teacher’. In addition, this verb needs the
preposition a ‘to’ because profesor ‘teacher’ is a
person. Besides, the presence of the adverb ayer
‘yesterday’ indicates that the tense is past. Our sys-
tem would neither infer the additional elements
needed nor the correct morphological inflections re-
lated to the syntactic and semantic features without
the linguistic information provided by Elsa. Table 2: Elsa coverage of the AAC icon set Table 2: Elsa coverage of the AAC icon set Table 2: Elsa coverage of the AAC icon set Table 3: Elsa size by category 13 In Spanish an intransitive verb has not direct object but it
may be followed by an indirect object or other comple-
ments. 4
Experimental results In order to evaluate the quality of Elsa, we first
measured the coverage achieved after adding the in-
formation extracted from all resources. Table 1
shows the number of lemmas that were included in
each resource. Table 2 shows the coverage of Elsa
over the icon set. Our lexicon covered almost the 13 Table 1: Lemmas of Elsa included in the different resources by lexical category ulus’ and the verb is followed by an indirect object13
that is an experimentador ‘experimenter’. System output without using Elsa: El tiempo
desagradar el profesor ayer ‘The weather dis-
please the teacher yesterday’ (where displease
is the infinitive of the verb). System output without using Elsa: El tiempo
desagradar el profesor ayer ‘The weather dis-
please the teacher yesterday’ (where displease
is the infinitive of the verb). References Grimm. 2016. Grimm’s fairy tales (Spanish). Available
28/11/2016
at
http://www.grimmsto-
ries.com/es. Andersen. 2016. Fairy tales of Hans Christian Andersen
(Spanish). Available
28/11/2016
at
https://es.wikisource.org/wiki/Cuen-
tos_clásicos_para_niños. at Katarina Heimann Mühlenbock and Mats Lundälv. 2011. Using lexical and corpus resources for augmenting the
AAC lexicon. In Proceedings of the Second Workshop
on Speech and Language Processing for Assistive
Technologies, SLPAT ’11, Edinburgh, Scotland, UK. Association for Computational Linguistics, pp 120-
127. tos_clásicos_para_niños. Anonymous. 2016. Traditional Spanish tales. Available
28/11/2016 at http://loscuentostradicion-
ales.blogspot.com.es. Jordi Atserias, Bernardino Casas, Elisabet Comelles,
Meritxell González, Lluís Padró, and Muntsa Padró. 2006. Freeling 1.3: Syntactic and semantic services in
an open-source NLP library. In Proceedings of the fifth
international conference on Language Resources and
Evaluation (LREC 2006), Genoa, Italy, ELRA, pp 48-
55. John Hughes, Clive Souter, and Eric Atwell. 1995. Auto-
matic extraction of tagset mappings from parallel an-
notated corpora. In From Texts to Tags: Issues in Mul-
tilingual Language Analysis. Proceedings of SIGDAT
Workshop in Conjunction with the 7h Conference of
the European Chapter of the Association for Compu-
tational Linguistics. University College Dublin, Ire-
land, pp 10-17. Nuria Bel, Muntsa Padró, and Silvia Necsulescu. 2011. A
method towards the fully automatic merging of lexical
resources. In Proceedings of Workshop on Language
Resources, Technology and Services in the Sharing
Paradigm. ACL, Chiang Mai, Thailand, pp 8-15. Maarten Janssen. 2005. Open source lexical information
network. In Proceedings of the 3rd International
Workshop on Generative Approaches to the Lexicon,
Geneva,
Switzerland,
pp
400-410. http://ww.cibercursoslp.com/Pa-
pers/GL2005-mjanssen.pdf. Date
Accessed:
April 18, 2017. Dick Crouch and Tracy Holloway King. 2005. Unifying
lexical resources. In Proceedings of Interdisciplinary
Workshop on the Identification and Representation of
Verb Features and Verb Classes. Saarbrücken, Ger-
many, pp 32-37. Gil Francopoulo, Nuria Bel, Monte George, Nicoletta
Calzolari, Monica Monachini, Mandy Pet, and Clau-
dia Soria. 2006. Lexical markup framework (LMF) for
NLP multilingual resources. In Proceedings of the
Workshop on Multilingual Language Resources and
Interoperability, MLRI ’06, Stroudsburg, PA, USA. Association for Computational Linguistics, pp 1-8. Miguel A. Molinero, Benoît Sagot, and Lionel Nicolas. 2009. A morphological and syntactic wide-coverage
lexicon for Spanish: The Leffe. In RANLP 2009 - Re-
cent Advances in Natural Language Processing, Bo-
rovets, Bulgaria, September, pp 264-269. Silvia Necsulescu, Nuria Bel, Muntsa Padró, Montserra
Marimon, and Eva Revilla. 2011. Towards the auto-
matic merging of language resources. 5
Elsa use case: NLG system Assuming that our system input is: tiempo, desagra-
dar, profesor, ayer ‘weather, displease, teacher,
yesterday’. System output using Elsa: El tiempo de-
sagradó al profesor ayer ‘The weather dis-
pleased the teacher yesterday’. 14 Odijk, S. Piperidis, M. Rosner, and D. Tapias), Val-
letta, Malta. European Language Resources Associa-
tion (ELRA), pp 1903-1910. Acknowledgments This work was partially supported by a grant from
Ministerio de Economía, Industria y Competi-
tividad, Spain (TEC2016-76465-C2-2-R); and by
Xunta de Galicia grant (GRC2014/046). Aitor González-Agirre, Egoitz Laparra, and German
Rigau. 2012. Multilingual central repository version
3.0: upgrading a very large lexical knowledge base. In
6th Global WordNet Conference, Matsue, Japan, pp
118-125. References In Proceedings
of 1st International Workshop on Lexical Resources:
an ESSLLI 2011 Workshop, Ljubljana, Slovenia, pp 7-
77. Fátima María García Doval. 2013. Aportaciones didácti-
cas de un tablero digital para personas con difi-
cultades de competencia comunicativa. Ph.D. thesis,
University of Santiago de Compostela. José M. García-Miguel, Gael Vaamonde, and Fita Gon-
zález Domínguez. 2010. Adesse, a database with syn-
tactic and semantic annotation of a corpus of Spanish. In Proceedings of the 7th International Conference on
Language Resources and Evaluation (LREC’10) (eds. N. Calzolari, K. Choukri, B. Maegaard, J. Mariani, J. Lluís Padró and Evgeny Stanilovsky. 2012. Freeling 3.0:
Towards wider multilinguality. In Proceedings of the
Language Resources and Evaluation Conference
(LREC 2012), Istanbul, Turkey. ELRA, pp 2473-
2479. 15
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English
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Preparation and Modification of Activated Carbon for the Removal of Pharmaceutical Compounds via Adsorption and Photodegradation Processes: A Comparative Study
|
Applied sciences
| 2,023
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cc-by
| 11,666
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applied
sciences applied
sciences applied
sciences Citation: Samir, B.; Bouazizi, N.;
Nkuigue Fotsing, P.; Cosme, J.;
Marquis, V.; Dotto, G.L.; Le Derf, F.;
Vieillard, J. Preparation and
Modification of Activated Carbon for
the Removal of Pharmaceutical
Compounds via Adsorption and
Photodegradation Processes: A
Comparative Study. Appl. Sci. 2023,
13, 8074. https://doi.org/
10.3390/app13148074 Keywords: hydroxylation; titanium dioxide; adsorption; photodegradation; atenolol; propranolol Brahim Samir 1
, Nabil Bouazizi 1
, Patrick Nkuigue Fotsing 1, Julie Cosme 1, Veronique Marquis 1
Guilherme Luiz Dotto 1,2
, Franck Le Derf 1 and Julien Vieillard 1,* Brahim Samir 1
, Nabil Bouazizi 1
, Patrick Nkuigue Fotsing 1, Julie Cosme 1, Veronique Marquis 1,
Guilherme Luiz Dotto 1,2
, Franck Le Derf 1 and Julien Vieillard 1,* 1
Normandie Université, UNIROUEN, INSA Rouen, CNRS, COBRA (UMR 6014), 27000 Evreux, France;
brahim.samir@univ-rouen.fr (B.S.); bouazizi.nabil@hotmail.fr (N.B.); fotsing_p@yahoo.fr (P.N.F.);
julie.cosme@univ-rouen.fr (J.C.); veronique.marquis@univ-rouen.fr (V.M.);
guilherme_dotto@yahoo.com.br (G.L.D.); franck.lederf@univ-rouen.fr (F.L.D.)
2
Research Group on Adsorptive and Catalytic Process Engineering (ENGEPAC), Federal University of Santa
Maria, Av. Roraima, 1000-7, Santa Maria 97105-900, RS, Brazil
*
Correspondence: julien.vieillard@univ-rouen.fr; Tel.: +33-232-291-598 1
Normandie Université, UNIROUEN, INSA Rouen, CNRS, COBRA (UMR 6014), 27000 Evreux, France;
brahim.samir@univ-rouen.fr (B.S.); bouazizi.nabil@hotmail.fr (N.B.); fotsing_p@yahoo.fr (P.N.F.);
julie.cosme@univ-rouen.fr (J.C.); veronique.marquis@univ-rouen.fr (V.M.);
guilherme_dotto@yahoo.com.br (G.L.D.); franck.lederf@univ-rouen.fr (F.L.D.)
2
Research Group on Adsorptive and Catalytic Process Engineering (ENGEPAC), Federal University of Santa
Maria, Av. Roraima, 1000-7, Santa Maria 97105-900, RS, Brazil
*
Correspondence: julien.vieillard@univ-rouen.fr; Tel.: +33-232-291-598 Abstract: In the present research, the removal of pharmaceutical contaminants based on atenolol
(AT) and propranolol (PR) using modified activated carbon (AC) in a liquid solution was studied. Two methods, adsorption and photodegradation, were used to eliminate AT and PR. First, AC
was prepared from date stems and then modified via hydroxylation (AC-OH) and impregnated
into titanium dioxide (AC-TiO2) separately. The removal of AT and PR was investigated in terms
of experimental parameters, such as pH, concentration, temperature, and the effectiveness of the
processes. The results show that the removal of AT and PR reached 92% for the adsorption method,
while 94% was registered for the photodegradation process. Likewise, in optimal experimental
conditions, the adsorption of AT and PR over AC-OH showed good stability and recyclability,
achieving five cycles without a visible decrease in the removal capacity. The results obtained in
this work suggest that the low-cost and environmentally friendly synthesis of AC-OH is suitable
to be considered for wastewater treatment at the industrial scale. Interestingly, the above results
open a potential pathway to determine whether adsorption or photodegradation is more suitable
for eliminating wastewater-related pharmaceutical pollutants. Accordingly, the experimental results
recommend adsorption as a promising, durable, eco-friendly wastewater treatment method. 1. Introduction In recent years, the concentrations of toxic pharmaceutical products in the global
environment have increased substantially [1,2]. Pharmaceutical and chemical personal care
products are widely used in daily life. Unfortunately, more than 50% of these hazardous
products are discharged into the environment, such as in rivers, which can cause danger to
fauna and flora [3]. Therefore, their destruction of ecological processes and functions in
freshwater ecosystems is often called to be limited or reduced, as the continuous input of
these pharmaceutical molecules in the water environment affects water safety, resulting in
chronic toxic effects on organisms [4–7] and has potential impacts on human health through
the food chain [8]. Numerous pharmaceutical products are discharged into the water
environment, and atenolol (AT) and propranolol (PR) are the most used medicaments. PR and AT are medications called beta-blockers and are used to treat cardiovascular
diseases, such as hypertension, tachycardia, and acute myocardial infarction [9]. In recent
research studies, AT and PR were detected at high concentration levels in urban wastewater
treatment plant effluents [10–13]. In addition, AT and PR were widely detected in hospital Received: 20 May 2023
Revised: 23 June 2023
Accepted: 26 June 2023
Published: 11 July 2023 Copyright:
© 2023 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access article
distributed
under
the
terms
and
conditions of the Creative Commons
Attribution (CC BY) license (https://
creativecommons.org/licenses/by/
4.0/). https://www.mdpi.com/journal/applsci Appl. Sci. 2023, 13, 8074. https://doi.org/10.3390/app13148074 Appl. Sci. 2023, 13, 8074 2 of 14 sewage and wastewater treatments in concentrations ranging from about 0.78 to 6.6 µg/L
in Greece [14]. Regarding the above problems, water quality is in danger, and alternative
reserves or crucial solutions are requested to alleviate this issue. Wastewater treatments via
biological, filtration, settling, adsorption, coagulation, and many other processes displayed
interesting results in removing these toxic products. However, almost all these processes
showed a real weakness due to the lack of continuous properties and the high energy
consumption. Adsorption is a very useful method for wastewater treatments, representing
an eco-friendly and low-cost option. While adsorption is suitable for water treatment, it
can only be considered an effective process if the adsorbent has complementary properties
that ensure its eco-friendly and high adsorption capacities during its utilization. sewage and wastewater treatments in concentrations ranging from about 0.78 to 6.6 µg/L
in Greece [14]. Regarding the above problems, water quality is in danger, and alternative
reserves or crucial solutions are requested to alleviate this issue. Wastewater treatments via
biological, filtration, settling, adsorption, coagulation, and many other processes displayed
interesting results in removing these toxic products. However, almost all these processes
showed a real weakness due to the lack of continuous properties and the high energy
consumption. Adsorption is a very useful method for wastewater treatments, representing
an eco-friendly and low-cost option. While adsorption is suitable for water treatment, it
can only be considered an effective process if the adsorbent has complementary properties
that ensure its eco-friendly and high adsorption capacities during its utilization. y
g
p
p
g
Numerous adsorbents have been developed with the above aims, such as metallic
oxide, biomass, activated carbon, graphene oxide, metal–organic frameworks, and zeo-
lites [15–19]. To produce eco-friendly and low-cost properties, researchers focused on
biomass and its derivatives as potential adsorbents and effective candidates for wastewater
treatments. Up to now, activated carbon has been considered one of the best materials
for water treatment due to its surface properties, low cost, and high capacity to remove
pollutants from water. 2.1. Materials Zinc chloride (ZnCl2), hydrochloric acid (HCl) 37%, titanium (IV) isopropoxide (TTIP)
97%, atenolol (AT), propranolol (PR), acid nitric (HNO3), hydrogen peroxide (H2O2), iron
(III) nitrate nanohydrate (Fe(NO3)3·9H2O), and commercial activated carbon (AC) were
purchased from Sigma-Aldrich, St. Louis, MI, USA. The chemical formulas and descriptions
of AT and PR are presented in Table S1 and Figure S1. However, the rapid saturation of these adsorbents means they must
be changed or recycled frequently; heterogeneous photocatalysts can be a good alternative
to adsorption. This chemical process of photocatalysis involves reactive radical species,
such as hydroxyl radicals (HO·), in the presence of a semiconductor catalyst based on a
metal oxide to degrade the pharmaceutical molecules. Titanium dioxide (TiO2) is a good
catalyst due to its photochemical stability. Lu et al. and many other researchers investigated
the immobilization of TiO2 nanoparticles on an activated carbon surface to improve the
photocatalytic activity and make the separation of treated effluent more effective [20–23]. The results obtained toward this goal are of great importance and, up to now, have not
been developed. The coating of surfaces with TiO2 produces a relatively low improvement
regarding the photocatalytic reaction because of the particles’ low dispersion and limited
mass transfer between the pollutant molecules and the catalyst [24,25]. Catalysts can be
more effective and easily separated from the effluent [26–28]. In this regard, activated carbon covered with TiO2 semiconductors is active since
it enhances the photocatalytic reaction between TiO2 and the contaminants due to the
adsorption of pollutants on its surface [29,30]. Increased adsorption contributes to a higher
concentration of contaminants around the TiO2 active sites [31]. Therefore, this study was
designed to examine removing AT and GT pharmaceutical products from the water via
adsorption and photodegradation with activated carbon and activated carbon covered with
TiO2. This first study focused on treating products with environmentally activated carbon
and TiO2. The results of this study could be used as a solution for water treatments, which
is considered the most important environmental pollution issue to be resolved. In detail,
this study evaluated the removal of AT and PR via an adsorption process using agro-waste
(date stems) as a source of activated carbon (AC). At first, the adsorption of AT and PR
was evaluated on AC and AC-OH, and then, their photodegradation in the presence of a
heterogenous photocatalyst (AC-TiO2) was tested. 2.3. Materials Characterization The prepared products were characterized by scanning electron microscopy (SEM)
using a JCM-6000 electron microscope (JEOL, Rueil Malmaison, France) to observe the
surface morphology of AC and AC-OH. The chemical composition of AC before and after
adsorption and AC-OH were characterized through Fourier transform IR spectroscopy
(FTIR) using a Tensor 27 (Bruker, Wissembourg, France) spectrometer with a ZnSe ATR
crystal device. For each spectrum, 20 scans were accumulated with a resolution of 4 cm−1. The thermal stability of AC and AC-OH was analyzed by differential scanning calorimetry
(DSC) using a DSC-92 (Setaram, Caluire et Cuire, France) device at a heating rate of
5 ◦C min−1 from room temperature to 550 ◦C. The zeta potential of each sample dispersion
was measured in phase analysis light scattering (PALS) mode using a Zeta sizernanoZS
setup (Malvern, Palaiseau). For the zeta measurements, nanoparticle suspension was
obtained by adding 100 mg of each sample to 10 mL of ultrapure water. 2.2. Materials Synthesis According to our previously published work, activated carbon was obtained from
agro-waste, specifically from date stems [32,33]. The date stems were washed with distilled Appl. Sci. 2023, 13, 8074 3 of 14 3 of 14 water, dried at 105 ◦C for 24 h, and cut at around 0.2 cm. For activation, 48 g of date
stems were stirred with 96 g of ZnCl2 (m(ZnCl2) = 2 × m(AC)) for 4 h and carbonized at
600 ◦C for 2 h under dried air. Afterward, the obtained product was washed with HCl
37% and dried at 80 ◦C overnight. The product obtained wais dentified as AC. To increase
the number of the hydroxyl group (-OH) at the surface of activated carbon (AC), AC
was impregnated into a solution of hydrogen peroxide, nitric acid, and deionized water
(1:1:5 v/v/v, respectively) at 70 ◦C for 4 h. The obtained powder was filtrated, washed
with deionized water, and dried at 80 ◦C overnight. The resulting material is denoted as
AC-OH a refers to OH-enriched activated carbon. In parallel, activated carbon was coated
with a TiO2 solution via an in situ impregnation method, according to a method described
elsewhere [34]. Briefly, 0.1 g of AC is added to different quantities of TTIP (30, 50, and
70%) and dissolved in 20 mL of isopropanol. The mixture was stirred for 1 h, washed with
isopropanol, and dried at 70 ◦C for 6 h. The final obtained powder is identified as activated
carbon over titanium dioxide (AC-TiO2). 2.4. Adsorption Experiments The batch adsorption experiments were carried out using 50 mL of the solution
containing a 50 mg L−1 concentration of the pharmaceutical molecules. The effect of
pH was studied in the range from 2 to 10, where HCl and NaOH solution adjusts pH. Afterward, a predetermined amount of the adsorbent (0.010–0.8 g) was mixed into the
solution before sonication at ambient temperature for 5–180 min. The supernatant was
centrifuged at 2000 rpm for 3 min. Then, the absorbance was measured using a UV–vis
spectrophotometer (Shimadzu Uv-1900) at λmax of each molecule at 224 and 288 nm for AT
and PR, respectively. The results are averages of a minimum of 3 experiments. The percent removal of contaminant and the adsorption capacity was calculated using
Equations (1) and (2). Contaminant removal % = C0 −Ct
C0
× 100
(1)
The capacity for adsorption = (C0 −Ct) × V
M
(2) Contaminant removal % = C0 −Ct
C0
× 100
(1) (1) The capacity for adsorption = (C0 −Ct) × V
M
(2) (2) C0 mg/L and Ct mg/L are the initial concentration and concentration at time “t”, respec-
tively. “V” (mL) is the volume of (PR, AT), and “m” (mg) is the mass of the adsorbent. 2.5. Photocatalytic Experiments The UV chamber (Model, 2000), 12.7 cm × 12.7 cm, was purchased from DYMAX,
Germany. A UV lamp (DYMAX, Wiesbaden, Germany) that had a 400 W UV–mercury
lamp. It generated a continuous spectrum of 320–400 nm with a measuring intensity of
225 mW/cm2. Batch experiments were carried out in 500 mL quartz beakers, where the Appl. Sci. 2023, 13, 8074 4 of 14
sity of light source was held perpendicular to the batch reactor. Both catalytic and noncatalytic
degradation was measured under identical conditions. Before absorption analysis, samples
were collected at regular intervals and centrifuged (5000 rpm, 10 min). Then, the concen-
tration of AT and PR were determined by measuring the absorbance (spectrophotometer
UV-1900 Shimadzu, Marne La Vallée, France) at 224 and 288 nm, respectively. light source was held perpendicular to the batch reactor. Both catalytic and noncatalytic
degradation was measured under identical conditions. Before absorption analysis, sam-
ples were collected at regular intervals and centrifuged (5000 rpm, 10 min). Then, the con-
centration of AT and PR were determined by measuring the absorbance (spectrophotom-
eter UV-1900 Shimadzu, Marne La Vallée, France) at 224 and 288 nm, respectively. 3.1. Morphological Properties
3.1. Morphological Properties Figure 1 shows SEM analysis of AC (activated carbon), AC-OH (OH-enriched activated
carbon), and AC-TiO2 (activated carbon over titanium dioxide) samples. A smooth and
nonuniform surface is registered for AC and its modified counterpart. The average particle
size is around 50 µm. The presence of many cavities on the material’s surface designs
the morphology of AC. However, the addition of TiO2 nanoparticles is confirmed by the
high distribution of TiO2 particles on the AC surface. A visible change is observed by
the cavity displayed in Figure 1g, explaining the successful coating of TiO2 particles onto
the AC surface. The TiO2 particles are spherical and distributed uniformly at the AC
surface. It should be noted that the in situ synthesis of metallic particles presents a weak
aggregation. Herein, immobilizing a high amount of TiO2 over AC could be baneful for
surface reactivity and the adsorption of pollutants. The morphology changes of AC and
AC-TiO2 are shown by the fewer cavities than AC, which suppose that TiO2 occupied the
majority of the surface. Figure 1 shows SEM analysis of AC (activated carbon), AC-OH (OH-enriched acti-
vated carbon), and AC-TiO2 (activated carbon over titanium dioxide) samples. A smooth
and nonuniform surface is registered for AC and its modified counterpart. The average
particle size is around 50 µm. The presence of many cavities on the material's surface de-
signs the morphology of AC. However, the addition of TiO2 nanoparticles is confirmed
by the high distribution of TiO2 particles on the AC surface. A visible change is observed
by the cavity displayed in Figure 1g, explaining the successful coating of TiO2 particles
onto the AC surface. The TiO2 particles are spherical and distributed uniformly at the AC
surface. It should be noted that the in situ synthesis of metallic particles presents a weak
aggregation. Herein, immobilizing a high amount of TiO2 over AC could be baneful for
surface reactivity and the adsorption of pollutants. The morphology changes of AC and
AC-TiO2 are shown by the fewer cavities than AC, which suppose that TiO2 occupied the
majority of the surface Figure 1. SEM images of AC (a–c), AC-OH (d–f), and AC-TiO2 (g–i). 3 2 S
f
P
i
Figure 1. SEM images of AC (a–c), AC-OH (d–f), and AC-TiO2 (g–i). 3.2. Surface Properties Figure 1 SEM images of AC (a c) AC OH (d f) and AC TiO2 (g i)
Figure 1. 3. Results
3. Results 3.1. Morphological Properties
3.1. Morphological Properties 3.1. Morphological Properties
3.1. Morphological Properties FTIR spectra of AC and AC-TiO2
Figure 3. FTIR spectra of AC and AC-TiO2. g
p
g
,
p
of the AC surface before and after hydroxylation treatment are different from one sample
to another. For AC, the peak located at 1579 cm−1 is assigned to the stretching vibration of
C=C, whereas the band observed at 1259 cm−1 is attributed to the bending vibration of C-
H in the methylene group. At the same time, the spectrum of AC-OH displayed a visible
change due to the hydroxylation steps. The new band that appeared at 3415 cm−1 is asso-
ciated with hydroxyl groups’ stretching vibration (-OH). Accordingly, the chemical
According to the Fourier transform infrared spectrum shown in Figure 2, the peaks
of the AC surface before and after hydroxylation treatment are different from one sample
to another. For AC, the peak located at 1579 cm−1 is assigned to the stretching vibration of
C=C, whereas the band observed at 1259 cm−1 is attributed to the bending vibration of C-
H in the methylene group. At the same time, the spectrum of AC-OH displayed a visible
change due to the hydroxylation steps. The new band that appeared at 3415 cm−1 is asso-
ciated with hydroxyl groups’ stretching vibration (-OH). Accordingly, the chemical
According to the Fourier transform infrared spectrum shown in Figure 2, the peaks
of the AC surface before and after hydroxylation treatment are different from one sample
to another. For AC, the peak located at 1579 cm−1 is assigned to the stretching vibration
of C=C, whereas the band observed at 1259 cm−1 is attributed to the bending vibration of
C-H in the methylene group. At the same time, the spectrum of AC-OH displayed a visible
change due to the hydroxylation steps. The new band that appeared at 3415 cm−1 is associ-
ated with hydroxyl groups’ stretching vibration (-OH). Accordingly, the chemical structure
of the synthesized samples, the bands centered at around 1720 cm−1 and 1105 cm−1, are
attributed to the presence of the C=O and C-O groups, respectively. of the AC surface before and after hydroxylation treatment are different from one sample
to another. For AC, the peak located at 1579 cm−1 is assigned to the stretching vibration of
C=C, whereas the band observed at 1259 cm−1 is attributed to the bending vibration of C-
H in the methylene group. 3.1. Morphological Properties
3.1. Morphological Properties FTIR spectra of AC and AC-OH. Figure 2. FTIR spectra of AC and AC-OH Figure 3. FTIR spectra of AC and AC-TiO2. According to the Fourier transform infrared spectrum shown in Figure 2, the peaks
of the AC surface before and after hydroxylation treatment are different from one sample
to another. For AC, the peak located at 1579 cm−1 is assigned to the stretching vibration of
C=C, whereas the band observed at 1259 cm−1 is attributed to the bending vibration of C-
H in the methylene group. At the same time, the spectrum of AC-OH displayed a visible
change due to the hydroxylation steps. The new band that appeared at 3415 cm−1 is asso-
ciated with hydroxyl groups’ stretching vibration (-OH). Accordingly, the chemical
Figure 2. FTIR spectra of AC and AC OH. Figure 3. FTIR spectra of AC and AC-TiO2. According to the Fourier transform infrared spectrum shown in Figure 2, the peaks
of the AC surface before and after hydroxylation treatment are different from one sample
to another. For AC, the peak located at 1579 cm−1 is assigned to the stretching vibration of
C=C, whereas the band observed at 1259 cm−1 is attributed to the bending vibration of C-
H in the methylene group. At the same time, the spectrum of AC-OH displayed a visible
change due to the hydroxylation steps. The new band that appeared at 3415 cm−1 is asso-
ciated with hydroxyl groups’ stretching vibration (-OH). Accordingly, the chemical
Figure 3. FTIR spectra of AC and AC-TiO2. According to the Fourier transform infrared spectrum shown in Figure 2, the peaks
of the AC surface before and after hydroxylation treatment are different from one sample
to another. For AC, the peak located at 1579 cm−1 is assigned to the stretching vibration
of C=C, whereas the band observed at 1259 cm−1 is attributed to the bending vibration of
C-H in the methylene group. At the same time, the spectrum of AC-OH displayed a visible
change due to the hydroxylation steps. The new band that appeared at 3415 cm−1 is associ-
ated with hydroxyl groups’ stretching vibration (-OH). Accordingly, the chemical structure
of the synthesized samples, the bands centered at around 1720 cm−1 and 1105 cm−1, are
attributed to the presence of the C=O and C-O groups, respectively. Figure 3. FTIR spectra of AC and AC-TiO2. According to the Fourier transfor
Figure 3. 3.1. Morphological Properties
3.1. Morphological Properties According to the Fourier transform infrared spectrum shown in Figure 2, the pe
of the AC surface before and after hydroxylation treatment are different from one sam
to another. For AC, the peak located at 1579 cm−1 is assigned to the stretching vibratio
C=C, whereas the band observed at 1259 cm−1 is attributed to the bending vibration o
H in the methylene group. At the same time, the spectrum of AC-OH displayed a vis
change due to the hydroxylation steps. The new band that appeared at 3415 cm−1 is a
ciated with hydroxyl groups’ stretching vibration (-OH). Accordingly, the chem
Figure 2. FTIR spectra of AC and AC-OH. water. Figure 2. FTIR spectra of AC and AC-OH. Figure 3. FTIR spectra of AC and AC-TiO2. According to the Fourier transform infrared spectrum shown in Figure 2, the p
of the AC surface before and after hydroxylation treatment are different from one sam
to another. For AC, the peak located at 1579 cm−1 is assigned to the stretching vibratio
C=C, whereas the band observed at 1259 cm−1 is attributed to the bending vibration o
H in the methylene group. At the same time, the spectrum of AC-OH displayed a vi
change due to the hydroxylation steps. The new band that appeared at 3415 cm−1 is a
ciated with hydroxyl groups’ stretching vibration (-OH). Accordingly, the chem
Figure 3. FTIR spectra of AC and AC-TiO2. According to the Fourier transform infrared spectrum shown in Figure 2, the pea
of the AC surface before and after hydroxylation treatment are different from one sam
to another. For AC, the peak located at 1579 cm−1 is assigned to the stretching vibrati
of C=C, whereas the band observed at 1259 cm−1 is attributed to the bending vibration
C-H in the methylene group. At the same time, the spectrum of AC-OH displayed a visi
change due to the hydroxylation steps. The new band that appeared at 3415 cm−1 is ass
ated with hydroxyl groups’ stretching vibration (-OH). Accordingly, the chemical structu
of the synthesized samples, the bands centered at around 1720 cm−1 and 1105 cm−1,
attributed to the presence of the C=O and C O groups respectively Figure 2. FTIR spectra of AC and AC-OH. Figure 2. FTIR spectra of AC and AC-OH. water. Figure 2. FTIR spectra of AC and AC-OH Figure 2. FTIR spectra of AC and AC-OH. Figure 2. 3.1. Morphological Properties
3.1. Morphological Properties SEM images of AC (a–c), AC-OH (d–f), and AC-TiO2 (g–i). g
g
3 2 S
f
P
i
3.2. Surface Properties 3.2. Surface Properties
Figures 2 and 3 show the FTIR analysis for all samples to investigate the surface prop-
erties and the stability of synthesized samples in liquid media. Starting by measuring the
ZP values of all samples, it was found that the ZP of AC-OH is less than 20 mV, suggesting
Figures 2 and 3 show the FTIR analysis for all samples to investigate the surface
properties and the stability of synthesized samples in liquid media. Starting by measuring
the ZP values of all samples, it was found that the ZP of AC-OH is less than 20 mV,
suggesting the good stability of the materials. Although, ZP results confirmed the successful
addition of hydroxyl groups at the AC surface, as supported by noticeable decreases in
ZP. The surface charge of the particles has a potential effect on catalytic activity, as it Appl. Sci. 2023, 13, 8074 5 of 14
ddition 5 of 14
ddition could involve such interaction with pharmaceutical pollutants. The results on the AC-TiO2
surface displayed a marked decrease in the zeta potential from 8 mV for AC to −14 mV for
AC-TiO2. The negative surface charge could play a key role in the adsorption of pollutants
from the water. surface charge of the particles has a potential effect on catalytic activity, as it could involve
such interaction with pharmaceutical pollutants. The results on the AC-TiO2 surface dis-
played a marked decrease in the zeta potential from 8 mV for AC to −14 mV for AC-TiO2. The negative surface charge could play a key role in the adsorption of pollutants from the
water
of hydroxyl groups at the AC surface, as supported by noticeable decreases in ZP. The
surface charge of the particles has a potential effect on catalytic activity, as it could involve
such interaction with pharmaceutical pollutants. The results on the AC-TiO2 surface dis-
played a marked decrease in the zeta potential from 8 mV for AC to −14 mV for AC-TiO2
The negative surface charge could play a key role in the adsorption of pollutants from the Figure 2. FTIR spectra of AC and AC-OH. Figure 3. FTIR spectra of AC and AC-TiO2. 3.4. Adsorption of Atenolol and Propranolol
3.4. Adsorption of Atenolol and Propranolol 3.4. Adsorption of Atenolol and Propranolol
3.4. Adsorption of Atenolol and Propranolol p
f
p
The adsorption of AT and PR was carried out in the presence of AC and AC-OH. A
commercial activated carbon (AC) was also evaluated for removing AT and PR from con-
taminated water. To investigate the parameter effects on the adsorption of pharmaceutical
products, temperature, initial concentration, and pH were studied in terms of adsorption
capacity. The results are shown in detail in the Supplementary File. As seen in Figures S2–
S4, the high temperature was not suitable for the adsorption of AT nor PR molecules due
to their limited temperature stability. The adsorption capacity increased as the concentra-
tion of pollutants increased to achieve the equilibrium phase, indicating its saturation
[14,26,35]. Measurements on the effect of pH displayed that the adsorption of pharmaceu-
tical molecules could have been performant in basic media, while the acidic solution
avoided competition with a proton. The removal capacities of the samples, which had the
same experimental conditions, i.e., the synthetic and the commercial AC, are reported in
Figure 5. The results show that both samples adsorbed the pharmaceutical products in
two distinct phases. A rapid adsorption process describes the first phase, while equilib-
rium steps characterize the second phase. The large number of active sites available at the
AC surface for the adsorption of AT and PR explains this result. Meanwhile, over 60 min,
the main part of these active sites became saturated by adsorbate, resulting in limited
The adsorption of AT and PR was carried out in the presence of AC and AC-OH. A commercial activated carbon (AC) was also evaluated for removing AT and PR from
contaminated water. To investigate the parameter effects on the adsorption of pharma-
ceutical products, temperature, initial concentration, and pH were studied in terms of
adsorption capacity. The results are shown in detail in the Supplementary File. As seen
in Figures S2–S4, the high temperature was not suitable for the adsorption of AT nor PR
molecules due to their limited temperature stability. The adsorption capacity increased as
the concentration of pollutants increased to achieve the equilibrium phase, indicating its
saturation [14,26,35]. Measurements on the effect of pH displayed that the adsorption of
pharmaceutical molecules could have been performant in basic media, while the acidic solu-
tion avoided competition with a proton. 3.1. Morphological Properties
3.1. Morphological Properties At the same time, the spectrum of AC-OH displayed a visible
change due to the hydroxylation steps. The new band that appeared at 3415 cm−1 is asso-
ciated with hydroxyl groups’ stretching vibration (-OH). Accordingly, the chemical
According to the Fourier transform infrared spectrum shown in Figure 2, the peaks
of the AC surface before and after hydroxylation treatment are different from one sample
to another. For AC, the peak located at 1579 cm−1 is assigned to the stretching vibration of
C=C, whereas the band observed at 1259 cm−1 is attributed to the bending vibration of C-
H in the methylene group. At the same time, the spectrum of AC-OH displayed a visible
change due to the hydroxylation steps. The new band that appeared at 3415 cm−1 is asso-
ciated with hydroxyl groups’ stretching vibration (-OH). Accordingly, the chemical
According to the Fourier transform infrared spectrum shown in Figure 2, the peaks
of the AC surface before and after hydroxylation treatment are different from one sample
to another. For AC, the peak located at 1579 cm−1 is assigned to the stretching vibration
of C=C, whereas the band observed at 1259 cm−1 is attributed to the bending vibration of
C-H in the methylene group. At the same time, the spectrum of AC-OH displayed a visible
change due to the hydroxylation steps. The new band that appeared at 3415 cm−1 is associ-
ated with hydroxyl groups’ stretching vibration (-OH). Accordingly, the chemical structure
of the synthesized samples, the bands centered at around 1720 cm−1 and 1105 cm−1, are
attributed to the presence of the C=O and C-O groups, respectively. Appl. Sci. 2023, 13, 8074 6 of 14 6 of 14 A comparison between the FTIR spectra of AC and AC-TiO2 is shown in Figure 3. The stretching vibration of the hydroxyl group registered at 3400 cm−1 is assigned to the
physisorbed surface water [34]. A slight shift to a lower wavenumber is observed and
explained by the presence of TiO2 on the AC surface. According to Loo et al., the peak that
appeared at 768 cm−1 is assigned to the stretching vibration of Ti-O [34]. p
g
p
p
y
A comparison between the FTIR spectra of AC and AC-TiO2 is shown in Figure 3. The stretching vibration of the hydroxyl group registered at 3400 cm−1 is assigned to the
physisorbed surface water[34]. 3.1. Morphological Properties
3.1. Morphological Properties A slight shift to a lower wavenumber is observed and ex-
plained by the presence of TiO2 on the AC surface. According to Loo et al., the peak that
appeared at 768 cm−1 is assigned to the stretching vibration of Ti-O [34]. 3.3. Thermal Properties
3.3. Thermal Properties DSC analysis was performed to investigate the thermal properties of AC and AC-OH. AC samples produced a higher endothermic peak. This peak detected around 90 ◦C cor-
responds to the dehydration of the adsorbents. In addition, AC displayed an exothermic
peak from 410 to 500 ◦C associated with the degradation of cellulose, lignin, and hemicel-
lulose. DSC thermograms of AC-OH (Figure 4) display two endothermic peaks around
90 and 400 ◦C associated with the dehydration and dihydroxylations of the date stem. All
of these results correspond to the literature as well as SEM and IR data. p
DSC analysis was performed to investigate the thermal properties of AC and AC-
OH. AC samples produced a higher endothermic peak. This peak detected around 90 °C
corresponds to the dehydration of the adsorbents. In addition, AC displayed an exother-
mic peak from 410 to 500 °C associated with the degradation of cellulose, lignin, and hem-
icellulose. DSC thermograms of AC-OH (Figure 4) display two endothermic peaks around
90 and 400 °C associated with the dehydration and dihydroxylations of the date stem. All
of these results correspond to the literature as well as SEM and IR data. Figure 4. DSC analysis of AC and AC-OH. 3 4 Adsorption of Atenolol and Propranolol
Figure 4. DSC analysis of AC and AC-OH. 3.4. Adsorption of Atenolol and Propranolol Figure 4. DSC analysis of AC and AC-OH. Figure 4. DSC analysis of AC and AC-OH. 3.4. Adsorption of Atenolol and Propranolol
3.4. Adsorption of Atenolol and Propranolol The removal capacities of the samples, which had
the same experimental conditions, i.e., the synthetic and the commercial AC, are reported
in Figure 5. The results show that both samples adsorbed the pharmaceutical products in
two distinct phases. A rapid adsorption process describes the first phase, while equilibrium
steps characterize the second phase. The large number of active sites available at the AC
surface for the adsorption of AT and PR explains this result. Meanwhile, over 60 min, the
main part of these active sites became saturated by adsorbate, resulting in limited access
to more molecules in the solution. Therefore, the second step was reached to achieve the
adsorption equilibrium [14]. Appl. Sci. 2023, 13, 8074 7 of 14
hed to Figure 5. Removal capacity of (a) AT and (b) PR over AC, AC-OH and commercial AC. Figure 5. Removal capacity of (a) AT and (b) PR over AC, AC-OH and commercial AC. Figure 5. Removal capacity of (a) AT and (b) PR over AC, AC-OH and commercial AC. Figure 5. Removal capacity of (a) AT and (b) PR over AC, AC-OH and commercial AC. A comparison of the adsorption capacity of commercial and prepared AC shows that
AC synthesized from date stems produced a higher adsorption uptake (60%) than com-
mercial AC (32%). This trend can be explained by the key role of treatment and carboni-
zation in this work. It was found that our prepared AC's equilibrium time is longer than
the commercial AC's. Interestingly, the best performance is observed for the AC-OH sam-
ple, where the adsorption capacity is over 93% for the removal of PR in 120 min. The ad-
sorption kinetic is also faster with AC-OH because the equilibrium was reached after 60
min, and only 10 min is required to adsorb 56% of the PR. This result can be explained by
the negative charge surface of AC-OH, as supported by the Zeta potential measurement. For the atenolol molecule, the performance of AC and AC-OH is still higher than that of
AC, but the adsorption was more difficult than for propranolol. Indeed, 67% of the AT
was adsorbed on AC-OH compared to 36% and 23% for AC (from date stem) and com-
mercial AC, respectively. A comparison of the adsorption capacity of commercial and prepared AC shows
that AC synthesized from date stems produced a higher adsorption uptake (60%) than
commercial AC (32%). 3.4. Adsorption of Atenolol and Propranolol
3.4. Adsorption of Atenolol and Propranolol This trend can be explained by the key role of treatment and
carbonization in this work. It was found that our prepared AC’s equilibrium time is longer
than the commercial AC’s. Interestingly, the best performance is observed for the AC-OH
sample, where the adsorption capacity is over 93% for the removal of PR in 120 min. The
adsorption kinetic is also faster with AC-OH because the equilibrium was reached after
60 min, and only 10 min is required to adsorb 56% of the PR. This result can be explained
by the negative charge surface of AC-OH, as supported by the Zeta potential measurement. For the atenolol molecule, the performance of AC and AC-OH is still higher than that of
AC, but the adsorption was more difficult than for propranolol. Indeed, 67% of the AT was
adsorbed on AC-OH compared to 36% and 23% for AC (from date stem) and commercial
AC, respectively. 3.5. Photocatalytic Degradation of Atenolol and Propranolol
3.5. Photocatalytic Degradation of Atenolol and Propranolol The effect of TiO2 concentration is considered the first parameter that can affect the
removal efficiency of the catalyst. The photocatalytic activity of AC-TiO2 was measured
The effect of TiO2 concentration is considered the first parameter that can affect the
removal efficiency of the catalyst. The photocatalytic activity of AC-TiO2 was measured for
various concentrations of TiO2 (30%, 50%, and 70%); the results are shown in Figure S6. The
results show that AT and PR’s photocatalytic degradation depends on the TiO2 quantity. Appl. Sci. 2023, 13, 8074 8 of 14 8 of 14 While the TiO2 concentration increased, photocatalytic degradation increased. The rise
of photocatalyst radicals can explain this. The degradation continued until reaching an
optimum close to 50%. Measurements on the AC-OH-supported TiO2 were investigated
regarding adsorption capacity for both molecules AT and PR. Figure 6 depicts the results
obtained for the photocatalytic efficiency of AC-OH/TiO2 and AC-TiO2. S6. The results show that AT and PR s photocatalytic degradation depends on the TiO2
quantity. While the TiO2 concentration increased, photocatalytic degradation increased. The rise of photocatalyst radicals can explain this. The degradation continued until reach-
ing an optimum close to 50%. Measurements on the AC-OH-supported TiO2 were inves-
tigated regarding adsorption capacity for both molecules AT and PR. Figure 6 depicts the
results obtained for the photocatalytic efficiency of AC-OH/TiO2 and AC-TiO2. Figure 6. Removal of PR (a) with and (b) without light using AC, TiO2, AC-OH, AC-OH-/TiO2, and
AC-TiO2 catalysts. Figure 6. Removal of PR (a) with and (b) without light using AC, TiO2, AC-OH, AC-OH-/TiO2, and
AC-TiO2 catalysts. Figure 6. Removal of PR (a) with and (b) without light using AC, TiO2, AC-OH, AC-OH-/TiO2, and
AC-TiO2 catalysts. Figure 6. Removal of PR (a) with and (b) without light using AC, TiO2, AC-OH, AC-OH-/TiO2, and
AC-TiO2 catalysts. According to the obtained results, it is clear that AC-OH/TiO2 can eliminate more
than 45% of PR, while AC-TiO2 achieves 94% degradation. Photolysis and pure TiO2 are
tested separately to understand the high degradation capacity. Only 10% PR removal is
obtained for the materials, suggesting the potential role of the coating process for AC-OH
and TiO2. According to the obtained results, it is clear that AC-OH/TiO2 can eliminate more
than 45% of PR, while AC-TiO2 achieves 94% degradation. Photolysis and pure TiO2 are
tested separately to understand the high degradation capacity. 3.5. Photocatalytic Degradation of Atenolol and Propranolol
3.5. Photocatalytic Degradation of Atenolol and Propranolol Only 10% PR removal is
obtained for the materials, suggesting the potential role of the coating process for AC-OH
and TiO2. Experiments were carried out in the presence of and without light to demonstrate the
beneficial effect of irradiation light combined with AC-OH-TiO2 and AC-TiO2. Figure 7
demonstrates that light is combined with AC-TiO2 to obtain high adsorption uptake. The Appl. Sci. 2023, 13, 8074 9 of 14
ate the 9 of 14
ate the removal of PR and AT by AC-OH-TiO2 and AC-TiO2 without light is mainly due to their
adsorption on the active surface. Results showed that the photocatalytic degradation
efficiency increased significantly for all AC-TiO2 composites compared to pure TiO2. When
(PR and AT) are adsorbed on the AC surface, they react with reactive radicals by an
oxidation reaction; this improves the catalyst activity. Hayati et al. [36] confirmed that AC
is very important because it could act as an electron sink, which allows for the interfacial
transfer of photo-induced electrons from TiO2 to AC and the inhibition of the electron
recombination rate. g
g
p
p
removal of PR and AT by AC-OH-TiO2 and AC-TiO2 without light is mainly due to their
adsorption on the active surface. Results showed that the photocatalytic degradation effi-
ciency increased significantly for all AC-TiO2 composites compared to pure TiO2. When
(PR and AT) are adsorbed on the AC surface, they react with reactive radicals by an oxi-
dation reaction; this improves the catalyst activity. Hayati et al.[36]] confirmed that AC is
very important because it could act as an electron sink, which allows for the interfacial
transfer of photo-induced electrons from TiO2 to AC and the inhibition of the electron
recombination rate. Figure 7. Removal of AT (a) with and (b) without light using AC, TiO2, AC-OH, AC-OH/TiO2, and
AC-TiO2 catalysts. S bili
d
bili
f h
d
i l
Figure 7. Removal of AT (a) with and (b) without light using AC, TiO2, AC-OH, AC-OH/TiO2, and
AC-TiO2 catalysts. Figure 7. Removal of AT (a) with and (b) without light using AC, TiO2, AC-OH, AC-OH/TiO2, and
AC-TiO2 catalysts. Figure 7. Removal of AT (a) with and (b) without light using AC, TiO2, AC-OH, AC-OH/TiO2, and
AC-TiO2 catalysts. 3.6. Stability and Reusability of the Prepared Materials
3.6. Stability and Reusability of the Prepared Materials 3.6. Stability and Reusability of the Prepared Materials
3.6. 3.5. Photocatalytic Degradation of Atenolol and Propranolol
3.5. Photocatalytic Degradation of Atenolol and Propranolol Stability and Reusability of the Prepared Materials The reusability of the prepared materials is investigated and evaluated. The AC-
based adsorbent is tested for various adsorption cycles, and the results are displayed in
The reusability of the prepared materials is investigated and evaluated. The AC-based
adsorbent is tested for various adsorption cycles, and the results are displayed in Figure 8. Figure 8. From the recyclability test, it was established that the system could work with a
removal efficiency close to 50% for the studied molecules (AT, 46%; PR, 58%) for a minimum
of four cycles. After each adsorption cycle, the adsorbent AC-OH is used for the desorption
system, in which the leaching solvent is methanol. The histogram of the removal of AT and
PR after each cycle is represented in Figure 8. As seen, for the PR removal, in the first cycle,
percent recovery rates of 92% were reached in 2 h, while the second cycle shifted to 87%,
which can be considered appreciable results for the recycled adsorbent. The same trend
was observed for the removal of AT, which presents a slight decrease from 70% to 65%. Importantly, the developed materials had good recyclability, reaching 52% of PR removal Appl. Sci. 2023, 13, 8074 10 of 14 10 of 14 over the fourth cycle. Accordingly, the obtained results could be considered a suitable and
stable adsorbent for removing pharmaceutical products. EVIEW
10 of 15 over the fourth cycle. Accordingly, the obtained results could be considered a suitable and
stable adsorbent for removing pharmaceutical products. VIEW
10 of 15 over the fourth cycle. Accordingly, the obtained results could be considered a suitable and
stable adsorbent for removing pharmaceutical products. EVIEW
10 of 15 Figure 8. Effect of regeneration cycle on adsorption removal for PR and AT pharmaceutical contam-
i
t
Figure 8. Effect of regeneration cycle on adsorption removal for PR and AT pharmaceutical contaminants. Figure 8. Effect of regeneration cycle on adsorption removal for PR and AT pharmaceutical contam-
Figure 8. Effect of regeneration cycle on adsorption removal for PR and AT pharmaceutical contaminants. inants. From the recyclability test, it was established that the system could work with a re-
moval efficiency close to 50% for the studied molecules (AT, 46%; PR, 58%) for a minimum
of four cycles. 3.5. Photocatalytic Degradation of Atenolol and Propranolol
3.5. Photocatalytic Degradation of Atenolol and Propranolol After each adsorption cycle, the adsorbent AC-OH is used for the desorp-
tion system, in which the leaching solvent is methanol. The histogram of the removal of
AT and PR after each cycle is represented in Figure 8. As seen, for the PR removal, in the
first cycle, percent recovery rates of 92% were reached in 2 h, while the second cycle
The adsorption capacities of the pharmaceutical molecules were compared with data
already published using other adsorbents. Table 1 summarizes the maximum adsorption
capacity over various adsorbents for treating AT and PR. Comparatively, it was found that
AC-OH showed a better adsorption capacity for AT (288 mg/g) and PR (339 mg/g) com-
pared to the other adsorbents, such as granular activated carbon, hematite nanoparticles,
and activated carbon fiber. Interestingly, this finding can open a new prospect to evaluate
the prepared materials for other toxic molecules on a large scale, like the industrial scale. first cycle, percent recovery rates of 92% were reached in 2 h, while the second cycle
shifted to 87%, which can be considered appreciable results for the recycled adsorbent. The same trend was observed for the removal of AT, which presents a slight decrease
from 70% to 65%. Importantly, the developed materials had good recyclability, reaching
52% of PR removal over the fourth cycle. Accordingly, the obtained results could be con-
sidered a suitable and stable adsorbent for removing pharmaceutical products. The adsorption capacities of the pharmaceutical molecules were compared with data
already published using other adsorbents. Table 1 summarizes the maximum adsorption
capacity over various adsorbents for treating AT and PR. Comparatively, it was found
that AC-OH showed a better adsorption capacity for AT (288 mg/g) and PR (339 mg/g)
compared to the other adsorbents, such as granular activated carbon, hematite nanopar-
ticles and activated carbon fiber Interestingly this finding can open a new prospect to
In addition, it will be important to evaluate the efficiency of AC-TiO2 on the pho-
todegradation uptake. It was clear that AC-TiO2 performs well on the photodegradation of
AT and PR in liquid solution. Table 2 reports the photocatalytic degradation capacity using
AC-TiO2 compared to other commercial photocatalysts reported in the literature. However,
the photocatalytic degradation of pollutants by TiO2 has been extensively studied, while
there are few reports of utilizing AC-TiO2 to degrade atenolol and propranolol (Table 2). 3.5. Photocatalytic Degradation of Atenolol and Propranolol
3.5. Photocatalytic Degradation of Atenolol and Propranolol It can be observed that AC-TiO2 is an efficient candidate to eliminate AT and PR, as com-
pared to the other catalysts. It is interesting to note that AC-TiO2 is efficient in treating
concentrated solutions of AT and PR in a short time compared to data already published
in the literature. It should also be reminded that AC-TiO2 is inexpensive as it is prepared
from a lignocellulosic agro-waste. g y
g
p
evaluate the prepared materials for other toxic molecules on a larg
i l
l
3.7. Comparison between the Adsorption and the Photocatalysis Methods Comparison of the adsorption capacity of AT and PR over various adsorbents. Table 2. Comparison between photocatalytic degradation of (AT and PR) in this study with other
catalysts reported in the literature. Catalyst
Light Source
Concentration
(mg/L)
Time (h) to
Reach Maximal
Degradation
References
Propranolol
Aeroxide TiO2 P25
Low-pressure mercury lamp
26
3 h (92%)
[9]
AC-TiO2
UV-lamp
50
2 h (94%)
This work
Atenolol
Degussa P25 TiO2
Xe lamp
15
1 h (100%)
[42]
Ag-TiO2
High-pressure mercury lamp
20
0.5 h (92%)
[43]
TiO2/Salicylaldehyde-
NH2-MIL-101
Xe lamp
10
1 h (82%)
[44]
Quartz fiber–TiO2
High-pressure mercury lamp
0.002
6 h (50%)
[45]
Aeroxide TiO2 P25
Low-pressure mercury lamp
80
3 h (87%)
[9]
AC-TiO2
UV-lamp
50
2 h (73%)
This work Table 2. Comparison between photocatalytic degradation of (AT and PR) in this study with other
catalysts reported in the literature. Interestingly, no secondary contamination can be caused by this eco-friendly adsorp-
tion during water treatment. To date, wastewater treatment by adsorption can be used in
full-scale applications, and very effective results are obtained using this method [15,16,46,47]. On the other, to assess the possible environmental impact and the safety of the whole pro-
cess, the absence of toxic effects of the process effluents must be guaranteed. Accordingly,
the adsorption process is more efficient than photodegradation methods. g y
g
p
evaluate the prepared materials for other toxic molecules on a larg
i l
l
3.7. Comparison between the Adsorption and the Photocatalysis Methods evaluate the prepared materials for other toxic molecules on a larg
i l
l
3.7. Comparison between the Adsorption and the Photocatalysis Methods trial scale. Table 1. Comparison of the adsorption capacity of AT and PR over various adsorbents. sorbent
Maximum Adsorption Capacity
(mg/g)
References
ste-biomass-derived activated car-
n
183.7
[37]
aphene oxide
93.0
[35]
anular activated carbon
1.2
[14]
tivated palm kernel shell
0.2
[37]
ltiwalled carbon nanotube
5.1
[38]
rncob biochar-Mt
90.0
[39]
119.7
This work
-OH
288.0
This work
aphene oxide
68.0
[35]
As mentioned in the introduction, this work comprehensively compared two meth-
ods for the water treatment, i.e., adsorption and photodegradation techniques, using the
same support like AC-OH and AC-TiO2 for adsorption and photodegradation, respectively. Despite the interesting results obtained in the above section for both processes, a distin-
guishing difference can be illustrated in many aspects, particularly the reusability and the
cost. Accordingly, the most useful and more suitable methods for wastewater treatment can
be selected. On the one hand, the photocatalytic degradation of pharmaceutical products is
based on utilizing TiO2 nanoparticles, which represents one of the most promising methods
to decontaminate water containing organic pollutants, such as AT and PR. In its nano-
metric form, titanium dioxide is considered the first interesting catalyst for photocatalytic
wastewater treatments, as it presents high stability. Also, in light of the results obtained
in this work, it was found that TiO2 incorporated over AC is attractive due to its highly
reactive surfaces, which make them a good photocatalyst of pollutants. Unlike the high
energy consumption caused by the UV light during the sorbent activation, nanoparticle
powders can be released in treated water, contaminating the environment. As the toxicity
of the environment is not accepted to any degree, photodegradation via AC-TiO2 is limited Appl. Sci. 2023, 13, 8074
11 of 14
and cannot be developed on a large scale, including any industrialization of the process. However, the adsorption process represents an appreciable removal capacity of up to 89%
of AT and PR pharmaceutical pollutants. Likewise, the adsorption methods are widely
employed since it provides many advantages, such as low energy consumption, strong
reusability, cost-effectiveness, and easy handling. Table 1. Comparison of the adsorption capacity of AT and PR over various adsorbents. g y
g
p
evaluate the prepared materials for other toxic molecules on a larg
i l
l
3.7. Comparison between the Adsorption and the Photocatalysis Methods Pharmaceutical
Molecules
Adsorbent
Maximum Adsorption
Capacity (mg/g)
References
Atenolol
Waste-biomass-derived activated carbon
183.7
[37]
Graphene oxide
93.0
[35]
Granular activated carbon
1.2
[14]
Activated palm kernel shell
0.2
[37]
Multiwalled carbon nanotube
5.1
[38]
Corncob biochar-Mt
90.0
[39]
AC
119.7
This work
AC-OH
288.0
This work
Propranolol
Graphene oxide
68.0
[35]
Activated carbon fiber
0.3
[40]
Smectite clay mineral montmorillonite
161
[41]
AC
202
This work
AC-OH
339.0
This work
Table 2. Comparison between photocatalytic degradation of (AT and PR) in this study with other
catalysts reported in the literature. Catalyst
Light Source
Concentration
(mg/L)
Time (h) to
Reach Maximal
Degradation
References
Propranolol
Aeroxide TiO2 P25
Low-pressure mercury lamp
26
3 h (92%)
[9]
AC-TiO2
UV-lamp
50
2 h (94%)
This work
Atenolol
Degussa P25 TiO2
Xe lamp
15
1 h (100%)
[42]
Ag-TiO2
High-pressure mercury lamp
20
0.5 h (92%)
[43]
TiO2/Salicylaldehyde-
NH2-MIL-101
Xe lamp
10
1 h (82%)
[44]
Quartz fiber–TiO2
High-pressure mercury lamp
0.002
6 h (50%)
[45]
Aeroxide TiO2 P25
Low-pressure mercury lamp
80
3 h (87%)
[9]
AC-TiO2
UV-lamp
50
2 h (73%)
This work Appl. Sci. 2023, 13, 8074 11 of 14 11 of 14 and cannot be developed on a large scale, including any industrialization of the process. However, the adsorption process represents an appreciable removal capacity of up to 89%
of AT and PR pharmaceutical pollutants. Likewise, the adsorption methods are widely
employed since it provides many advantages, such as low energy consumption, strong
reusability, cost-effectiveness, and easy handling. and cannot be developed on a large scale, including any industrialization of the process. However, the adsorption process represents an appreciable removal capacity of up to 89%
of AT and PR pharmaceutical pollutants. Likewise, the adsorption methods are widely
employed since it provides many advantages, such as low energy consumption, strong
reusability, cost-effectiveness, and easy handling. Table 1. Comparison of the adsorption capacity of AT and PR over various adsorbents. Pharmaceutical
Molecules
Adsorbent
Maximum Adsorption
Capacity (mg/g)
References
Atenolol
Waste-biomass-derived activated carbon
183.7
[37]
Graphene oxide
93.0
[35]
Granular activated carbon
1.2
[14]
Activated palm kernel shell
0.2
[37]
Multiwalled carbon nanotube
5.1
[38]
Corncob biochar-Mt
90.0
[39]
AC
119.7
This work
AC-OH
288.0
This work
Propranolol
Graphene oxide
68.0
[35]
Activated carbon fiber
0.3
[40]
Smectite clay mineral montmorillonite
161
[41]
AC
202
This work
AC-OH
339.0
This work Table 1. 4. Conclusions We have compared the adsorption and the photodegradation methods in wastewater
treatment, particularly the removal of pharmaceutical products (AT and PR). In this regard,
biomasses based on date stem were activated and calcinated to prepare an activated carbon
(AC). The AC materials were modified by a hydroxylation strategy to increase the hydroxyl Appl. Sci. 2023, 13, 8074 12 of 14 12 of 14 groups over the AC surface, resulting in AC-OH. In addition, to ensure the photodegrada-
tion methods, AC was impregnated into TiO2 solution to produce AC-TiO2. The prepared
materials were characterized and tested for the removal of AT and PR. The results show
that the obtained adsorbent exhibited high adsorption capacity for both molecules. The
core of the adsorption mechanism involved interactions such as an electrostatic attrac-
tion between adsorbate pharmaceutical molecules and AC-OH adsorbent in the aqueous
medium. AC-OH regeneration was studied through four adsorption–desorption cycles and
found to have a recovery rate of more than 50% after adsorption. A comparison between
the treatment methods proved that adsorption is more suitable for removing pollutants
from water, as it presents low energy consumption. The study facilitates the preparation of
recyclable and stable adsorbent material for wastewater treatment. Supplementary Materials: The following supporting information can be downloaded at: https:
//www.mdpi.com/article/10.3390/app13148074/s1, Table S1: Properties of atenolol and propra-
nolol; Figure S1: Chemical structure of propranolol and atenolol; Figure S2: The effect of temperature
on the adsorption capacity of AT and PR; Figure S3: Effect of concentration variation in the adsorption
capacity of AT and PR; Figure S4: The effect of pH variation in the removal of (a) atenolol and (b)
propranolol; Table S2: Thermodynamic parameters for Langmuir and Freundlich models; Figure S5:
Thermodynamic adsorption of AT and PR on AC-OH; Table S3: Thermodynamic adsorption parame-
ters for AT and PR; Figure S6: Removal capacity of (a) PR and (b) AT by AC doped with various %
TiO2. Author Contributions: B.S., P.N.F., J.C. and V.M. were involved in the investigation. B.S., N.B., J.V. and G.L.D. were involved in the writing, supervision, and funding acquisition. F.L.D. was involved
in the supervision. All authors have read and agreed to the published version of the manuscript. Institutional Review Board Statement: Not applicable. Institutional Review Board Statement: Not applicable. Informed Consent Statement: Not applicable. Data Availability Statement: Complementary data can be obtained upon request. Conflicts of Interest: The authors declare no conflict of interest. Conflicts of Interest: The authors declare no conflict of interest. 4. Conclusions Funding: This work was financially supported by the University of Rouen Normandy, INSA Rouen
Normandy, the Centre National de la Recherche Scientifique (CNRS), the European Regional Devel-
opment Fund (ERDF), Labex SynOrg (ANR-11-LABX-0029), the Carnot Institut I2C, the Graduate
School for Research Xl-Chem (ANR-18-EURE-0020 XL CHEM), and by the Region Normandie and
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40. Disclaimer/Publisher’s Note: The statements, opinions and data contained in all publications are solely those of the individual
author(s) and contributor(s) and not of MDPI and/or the editor(s). MDPI and/or the editor(s) disclaim responsibility for any injury to
people or property resulting from any ideas, methods, instructions or products referred to in the content. References Struct. 2019, 1180, 523–531. [CrossRef] Disclaimer/Publisher’s Note: The statements, opinions and data contained in all publications are solely those of the individual
author(s) and contributor(s) and not of MDPI and/or the editor(s). MDPI and/or the editor(s) disclaim responsibility for any injury to
people or property resulting from any ideas, methods, instructions or products referred to in the content. Disclaimer/Publisher’s Note: The statements, opinions and data contained in all publications are solely those of the individual
author(s) and contributor(s) and not of MDPI and/or the editor(s). MDPI and/or the editor(s) disclaim responsibility for any injury to
people or property resulting from any ideas, methods, instructions or products referred to in the content.
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https://openalex.org/W3102997306
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https://www.nature.com/articles/s41524-018-0072-0.pdf
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English
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Design of high-strength refractory complex solid-solution alloys
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npj computational materials
| 2,018
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cc-by
| 8,887
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Received: 8 November 2017 Revised: 26 February 2018 Accepted: 7 March 2018
1Ames Laboratory, U.S. Department of Energy, Iowa State University, Ames, IA 50011, USA; 2Mechanical Engineering, Iowa State University, Ames, IA 50011, USA; 3Materials
Science & Engineering, Iowa State University, Ames, IA 50011, USA and 4Mechanical Engineering & Mechanics, Lehigh University, Bethlehem, PA 18015, USA
Correspondence: Prashant Singh (prashant@ameslab.gov) or Duane D. Johnson (ddj@ameslab.gov, ddj@iastate.edu) ARTICLE
OPEN
Design of high-strength refractory complex solid-solution
alloys Prashant Singh1, Aayush Sharma2, A. V. Smirnov1, Mouhamad S. Diallo2, Pratik K. Ray1,3, Ganesh Balasubramanian4 and Duane D. Johnson
1,3 Nickel-based superalloys and near-equiatomic high-entropy alloys containing molybdenum are known for higher temperature
strength and corrosion resistance. Yet, complex solid-solution alloys offer a huge design space to tune for optimal properties at
slightly reduced entropy. For refractory Mo-W-Ta-Ti-Zr, we showcase KKR electronic structure methods via the coherent-potential
approximation to identify alloys over five-dimensional design space with improved mechanical properties and necessary global
(formation enthalpy) and local (short-range order) stability. Deformation is modeled with classical molecular dynamic simulations,
validated from our first-principle data. We predict complex solid-solution alloys of improved stability with greatly enhanced
modulus of elasticity (3× at 300 K) over near-equiatomic cases, as validated experimentally, and with higher moduli above 500 K
over commercial alloys (2.3× at 2000 K). We also show that optimal complex solid-solution alloys are not described well by classical
potentials due to critical electronic effects. npj Computational Materials (2018) 4:16 ; https://doi.org/10.1038/s41524-018-0072-0 INTRODUCTION (δ), crystal structure, valence electron concentration (VEC), and
electronegativity difference (Δχ) play a similar role in high-entropy
alloy formation. The production of several single- or multiphase
alloys with face-centered cubic (A1), body-centered cubic (BCC or
A2),
hexagonal
close-packed
(A3),
or
cubic
diamond
(A4)
structures exhibiting enhanced high-temperature strength, ducti-
lity, fracture and creep resistance to corrosion,7–10,13,14 and
thermal stability15 validates the concept of HEAs.7 MoWVNbTa,
e.g., with a density of 12.2 g/cm3, has a reported usable strength
up to 1873 K.4 Nickel-based
superalloys
exhibit
high-temperature
strength,
toughness, and oxidation resistance in harsh environments.1
Improving existing single-crystal alloys is unlikely as melting is
near 1350 °C, and, heat treatment lowers this to ~ 1270 °C. In high-
speed turbines, melting reduces below 1250 °C at the zone
between the bond coat (e.g., NiAl) and the single-crystal blade.2 As
such, the engine efficiency and thrust-to-weight ratio can be
improved by a guided search for new materials. High-entropy
alloys based on refractory elements may achieve higher tempera-
ture operation with superior creep strength.3 Typical refractory
high-entropy alloys exhibit a yield strength of 500–700 MPa at
1200 °C, surpassing Ni-based superalloys.4 Indeed, at elevated
temperatures
Mo-based
alloys
show
good
thermal
(higher
conductivities with lower strains5) and mechanical (machinability)6
properties, making them promising candidates. Nonetheless, from an alloy design perspective, complex solid-
solution alloys (CSAs) offer a huge design space to tune properties,
especially considering the strong effects alloying has on electronic
properties (“band” filling, hybridization, Fermi-surface nesting, …),
phase stability, and structure. The CSAs comprised of whole
composition (Gibbs) space, however, high-entropy alloys are a
subset of it. Optimized CSAs offer a slightly reduced entropy with
a
single-phase
region,
or
two-phase
region
for
enhanced
mechanical properties, existing in a desired operational tempera-
ture range.16–18 Almost all high-entropy alloys for which mechanical properties
have been reported are based on Cr-Fe-Co-Ni with other elements
added, e.g., Al,7 Mn,8 Mo,9 and Ti.10 CoCrFeNi exhibits very high
compression strength at 300 K, often exceeding 1500 MPa. www.nature.com/npjcompumats Received: 8 November 2017 Revised: 26 February 2018 Accepted: 7 March 2018 Published in partnership with the Shanghai Institute of Ceramics of the Chinese Academy of Sciences Design and assessment Design and assessment
First, we exemplify in Fig. 1, top panel, our accuracy for ΔEform vs. x
in Ta1−xWx, which agrees well with measured values (within 5%),
and ordering enthalpies are low (<310 K) compared to melting. Also, we show results for specific ordered cells, which are
compared to and agree well with other reliable band-structure
methods [e.g., VASP pseudo-potential38 and full-potential linear-
augmented plane wave39]. For Mox(WTaTiZr)1−x in Fig. 1 (bottom
panel), we find that A2 is favored over A1 or A3, and that
increasing %Mo (larger x) helps stabilize A2. So, in this work, we
focus on A2 phase of (Mo-W)-Ta-(Ti-Zr) alloy. For x ≳0.4 A4 phase
competes with A2, and Frank-Kasper phases, like C15-Mo2(Ti-Zr),
may be anticipated. Usually, elements from group IIA/IVA of the
periodic table, e.g., Al/Si, are added to stabilize or change, e.g.,
oxidation resistance. However, we find that adding Al stabilizes A2
phase up to 20% Mo, and similar behavior of Al addition has been 1. Size: solute and host atomic radii (in elemental solid) must
differ by <15%.12,21 For CSAs, with r = PN
i¼1 ciri, size limit in
terms of standard deviation is sensible: 0 ≤δ ≤6%, with δ =
100% × Pn
i¼1 ci r2
i r2
=r2
1=2. P
i¼1
i
i
=
2. Lattice: similar crystal structures for solute and host. 3. VEC: large solubility when solute and host have the same
VEC. A metal dissolves one of higher (lower) valency to a
greater (lesser) extent. 4. χ’s: if Δχ is too great, metals tend to form intermetallic
compounds, not solid solutions. 5. ΔEform: for −11 ≲ΔEform ≲5 mRy CSAs stabilized in usable
T’s. A few comments are warranted. In #1, the 6–6.8% achieves 15%
rule for CSAs with ~50% confidence level, an inequality also found
empirically.27,28 Extending #3 via electronic density of states
concepts, A2 forms for 4 < VEC < 6 as stability increases when
bonding d-states fill, and is maximal when half-filled (VEC ≈6);
antibonding states fill with VEC > 6 (above a pseudogap, see
Results) and stability decreases. INTRODUCTION The tuned and proposed refractory
quinary alloys and their properties are placed in context to Hume-
Rothery-type design targets and compared to experiments. if
ΔEform < 0. To
predict
mechanical
behavior
(e.g.,
E)
vs. temperature (T) rapidly, we performed extensive molecular
dynamics (MD) simulations based on semi-empirical potentials,
validated in part by first-principles results (and also highlighting
limitations of such methods). The tuned and proposed refractory
quinary alloys and their properties are placed in context to Hume-
Rothery-type design targets and compared to experiments. design limits. We use the above criteria to restrict search space for
mechanical simulations. Here, via the KKR-CPA, we search all CSAs without restrictions
on {cα}, or the need for large supercells, as A1, A2 (A3) have only 1
(2) atoms per cell. In this quinary, atomic size of Zr (1.60 Å) is
largest, followed by Ti, Ta, and W, Mo (1.46, 1.43, and 1.37, 1.36 Å),
where bandwidths (inversely related to atomic size) and alloy
hybridization determine the effect of size.21 For χ (or Δχ’s),
reflecting solubility and vibrational entropy,34,36 (W, Mo) have
largest χ (2.36, 2.16), followed by (Ti, Ta, Zr) with (1.54, 1.50, 1.33). From Δχ (Mo, W) would have the largest solubility (mixing) range,
while %Zr is smaller based on δ. Larger %W increases “E” for
engineering needs, but increases weight, and %Zr reduces Ti
content while positively impacting flow stress.37 INTRODUCTION Strains
in as-cast condition do not often exceed 5–7%, albeit a few exhibit
25–33%.10,11 Annealing does improve ductility of as-cast alloys.11
As with conventional alloys, a rapid decrease in strength (i.e.,
Young’s modulus, E) occurs above 0.6 of the melting temperature
Tm, and the strength of alloys approaches 100 MPa at 1273 K.7 Here we narrow the design of high-strength, refractory (Mo-W)-
Ta-(Ti-Zr) alloys via KKR electronic structure methods within
density functional theory (DFT) using the coherent-potential
approximation (CPA) to handle chemical disorder and thermo-
dynamic averaging.16–19 The well-established KKR-CPA predicts
structural properties [e.g., Young’s (E) or bulk modulus (B)], and
phase stability (ΔEform vs. {cα}), as well as short-range order (SRO)
via thermodynamic linear response,18,20–23 a method, in particular,
that revealed the origin for Hume-Rothery’s size-effect rule.21,24
Notably, global stability (ΔEform) and local instability (SRO) should
be jointly assessed: while segregation is expected for ΔEform > 0,
SRO can be segregating from local compositional instabilities even Here we narrow the design of high-strength, refractory (Mo-W)-
Ta-(Ti-Zr) alloys via KKR electronic structure methods within
density functional theory (DFT) using the coherent-potential
approximation (CPA) to handle chemical disorder and thermo-
dynamic averaging.16–19 The well-established KKR-CPA predicts
structural properties [e.g., Young’s (E) or bulk modulus (B)], and
phase stability (ΔEform vs. {cα}), as well as short-range order (SRO)
via thermodynamic linear response,18,20–23 a method, in particular,
21 24 High-entropy alloys consist of N (≥5) elements in near-
equiatomic compositions (cα ~ 1/N), giving maximal point (mixing)
entropy (Spt = −PN
α¼1 cα lncα ! max lnN), that may better form solid
solutions due to a compromise between the large Spt and a
formation (mixing) energy ΔEform that is not too positive (strongly
clustering) nor too negative (strongly ordering).7 As for binary
solid solutions, Hume-Rothery’s rules12 for atomic size difference that revealed the origin for Hume-Rothery’s size-effect rule.21,24
Notably, global stability (ΔEform) and local instability (SRO) should
be jointly assessed: while segregation is expected for ΔEform > 0,
SRO can be segregating from local compositional instabilities even Published in partnership with the Shanghai Institute of Ceramics of the Chinese Academy of Sciences P. Singh et al. 2 if
ΔEform < 0. To
predict
mechanical
behavior
(e.g.,
E)
vs. temperature (T) rapidly, we performed extensive molecular
dynamics (MD) simulations based on semi-empirical potentials,
validated in part by first-principles results (and also highlighting
limitations of such methods). Design and assessment Indeed, A2 CSAs are observed
when VEC is 5 ± 1.29 For 6.8 ≤VEC ≤8 other phases compete, e.g.,
Fe-Cr has VEC = 7 (like Mn) and constituent’s structure are both
A2, yet the CSA is unstable to the σ-phase, as often appears.27
Again, from band filling, A1 becomes more stable for VEC > 8.30
CSAs are indeed observed to form within these rules.31 ΔEform
lower limit in #5 is set by −TaSpt, where annealing temperature
(needed for kinetics) is Ta ~ 0.55 Tm (~1000–1650 K for refractories);
upper limit is set such that miscibility gap TMG
c
< Ta (where 158 K ~
1 mRy). For δ > 5%, CSAs with ΔEform > 5 mRy form complex
phases, but tend to form metastable metallic glasses for ΔEform
< −11 mRy.32 Considering binaries and supercells, these limits for
CSA formation are supported.33 Fig. 1
(Top) Calculated formation energies (ΔEform) for TaxW1−x
agree well with measured values. (Bottom) For Mox(WTaTiZr)1−x,
(ΔEform) vs. x showing relative stability of A1, A2, and A3 phases. While A2 is most favored, positive ΔEform indicates segregation
tendency, so ΔEform ≈0 stabilizes the A2 phase pp
As we have shown, transition temperatures from α (CSA) to β
(ordered or segregated) phases are well estimated from calculated
ΔEform’s:34,35 For segregating CSAs (ΔEform > 0), TMG
c
≈ΔEform/Spt;34
and, for ordering CSAs with ΔEα!β
form = ΔEα
form ΔEβ
form > 0, the
order-disorder transition is Tod
c ≈ΔEα!β
form.35 Notably, #4 also reveals
if vibrations are important, as vibrational entropy in binaries
correlates as ΔSvib = −Δχ/3 (±0.06Δχ).36 Thus, we may quickly
estimate
Tc
for
d-band
CSAs
as
Tα!β
c
Tα!β
c;pt
1 þ ΔSα!β
vib =ΔSα!β
c;pt
h
i1
, which reproduces measured trends with-
out phonon calculations.34 These estimates are within 5–10%.34,35 As a predictive guide, we use KKR-CPA results to tune (ΔEform, δ,
VEC, and Δχ) vs. {cα} to find (Mo-W)-Ta-(Ti-Zr) alloys in five-
dimensional (5D) space with better stability and mechanical
properties. Results identify the stability of competing phases,
possible multiphase regions, electronic properties, and practical Fig. 1
(Top) Calculated formation energies (ΔEform) for TaxW1−x
agree well with measured values. (Bottom) For Mox(WTaTiZr)1−x,
(ΔEform) vs. x showing relative stability of A1, A2, and A3 phases. npj Computational Materials (2018) 16
Published in partnership with the Shanghai Institute of Ceramics of the Chinese Academy of Sciences Hume-Rothery design targets Hume-Rothery design targets High-entropy alloys contain elements with cα ~ 35–12 at.% (N =
3–8). Trial and error has led to alloys with simple crystal structures,
and a few with extraordinary properties,25 e.g., formability using
size disparate elements for confusion by design.26 For CSA design
of phase stability and of electronic and mechanical behavior,
targets for DFT-based KKR-CPA are limited by extending Hume-
Rothery12 criteria: P. Singh et al. 3 and detail the electronic structure (dispersion and density of
states), and the thermodynamic SRO (incipient ordering) for alloy
design. seen in other alloys too.19 On the other hand, Si addition comes
out to be energetically less favorable than Al addition. High-throughput assessments. For (Mo-W)-Ta-(Ti-Zr) results are
most easily presented in a cut through 5D {cα} space to visualize
with only two parameters (x, y) along lines or planes (Fig. 2),
changing {cα} in obvious ways. For fast screening of (Mo-W)-Ta-(Ti-
Zr) 5D composition design space, we used an estimate for lattice
constant to perform “high-throughput”40–46 calculations to dis-
cover the best alloys in terms of phase stability and/or mechanical
behavior. Specifically, we estimated alloy lattice constants via
Vegard’s rule, which is the concentration-weighted sum of
volume-optimized elemental lattice constants in the parent alloys
(A2) phase, or, simply, aalloy = P
i cX
i aX
i
, where i = 1, 5 and X =
Mo, W, Ta, Ti, Zr. The estimated lattice constants are within 1–3%
with respect to the optimized lattice constants for all considered
compositions. To down-select regions of interest, we perform the
calculation over the entire design space and chose increments in
{cα} every 5% to sweep whole 5D space (Fig. 2). For selected alloys,
we perform full lattice optimization to determine ΔEform and B, Assessment and validation. We now assess CSAs that best satisfy
design criteria, and local stability. Along with other targets, KKR-
CPA ΔEform vs. {cα} for (Mo-W)xTay(Ti-Zr)1−x−y are shown in Fig. 2. Clearly, ΔEform for equiatomic case is too positive (+12.7 mRy), and
decomposition is expected (with TMG
c
= 1244 K from estimates in
Hume-Rothery section). Our calculated SRO also indicates phase
decomposition at spinodal Tsp = 1240 K, agreeing with TMG
c
, in the
near-equiatomic and Ti-Zr-rich alloys (Fig. 3). This predicted
segregation is corroborated by our X-ray diffraction experiments
(Fig. 4a) that indicate presence of two (major/minor) phases. The
phases were indexed as a disordered A2 phase with Im3m space
group, and a minor phase of Fd3m space group. The A2 lattice
parameter
was
measured
as
3.1713 Å
(standard
deviation:
0.0002 Å). Figure 4b shows the scanning electron microscope
(SEM) micrograph of the alloy with a two-phase alloy evident. The
major phase (A2) is Mo-, W-, and Ta-rich, with small amounts of Ti
and Zr incorporated in it. Given the higher melting temperatures
of Mo, W, and Ta, the major phase is likely to be the primary
solidifying phase during the final step of casting. As this phase
forms during casting, Ti and Zr are rejected into the surrounding
liquid, which subsequently freezes. Hence, the minor phase is Ti
and Zr rich and incorporates small amounts of the refractory
metals. p
g
g p
cover the best alloys in terms of phase stability and/or mechanical
behavior. Specifically, we estimated alloy lattice constants via
Vegard’s rule, which is the concentration-weighted sum of
volume-optimized elemental lattice constants in the parent alloys
(A2) phase, or, simply, aalloy = P
i cX
i aX
i
, where i = 1, 5 and X =
Mo, W, Ta, Ti, Zr. The estimated lattice constants are within 1–3%
with respect to the optimized lattice constants for all considered
compositions. To down-select regions of interest, we perform the
calculation over the entire design space and chose increments in
{cα} every 5% to sweep whole 5D space (Fig. 2). For selected alloys,
we perform full lattice optimization to determine ΔEform and B, Fig. 2
ΔEform and B (inset) vs. (x, y) for (MoW)xTay(TiZr)1−x−y, a cut
through 5D {cα} space containing equiatomic composition (C1), and
plotted with vertical (dashed) lines of constant VEC (4–6) and
contours of constant δ (1–6). Besides global stability (ΔEform), alloys
exhibit local instability (SRO) to segregation (triangles) or ordering
(circles). DFT results are every 5% and interpolated. Maximal B is
near C7–10 with ~300 GPa, where ΔEform ~ 0 and segregation is lost
(Fig. 3) To visualize key alloying effects for these CSAs, we plot in Fig. 5
the electronic dispersion and projected total density of states
(TDOS), referenced to each alloy’s Fermi energy, EF. With disorder,
dispersion exhibits broadening in E and k, showing that k is a
“good” (on the scale of the Brillouin zone (BZ)) but not an exact
quantum number (as for zero-width, ordered bands); the width
dk l1
e
(le is the electron-scattering length) and gives rise to
increased residual resistivity, as may be calculated.47 Guided by such details, we can improve CSA properties. The
equiatomic alloy has a TDOS with EF not yet in the pseudogap
between bonding and antibonding states (top, Fig. 5), so this alloy
does not satisfy the design criteria. The VEC (the average electrons
per atom outside the closed shells of the component atoms) is a
dominant factor in controlling the phase stability of the alloys. The
electronic states present on/near the EF are chemically most
active, which affect the chemical property of the alloy, i.e., more
states at EF destabilizes the alloy. This means, for such cases,
adding or removing electron we can manipulate the electronic
properties very quickly. By integrating states from EF to the
pseudogap for equiatomi case, 0.2 electrons are needed to fill Fig. 2
ΔEform and B (inset) vs. (x, y) for (MoW)xTay(TiZr)1−x−y, a cut
through 5D {cα} space containing equiatomic composition (C1), and
plotted with vertical (dashed) lines of constant VEC (4–6) and
contours of constant δ (1–6). Besides global stability (ΔEform), alloys
exhibit local instability (SRO) to segregation (triangles) or ordering
(circles). DFT results are every 5% and interpolated. Maximal B is
near C7–10 with ~300 GPa, where ΔEform ~ 0 and segregation is lost
(Fig. 3) Fig. 2
ΔEform and B (inset) vs. (x, y) for (MoW)xTay(TiZr)1−x−y, a cut
through 5D {cα} space containing equiatomic composition (C1), and
plotted with vertical (dashed) lines of constant VEC (4–6) and
contours of constant δ (1–6). Besides global stability (ΔEform), alloys
exhibit local instability (SRO) to segregation (triangles) or ordering
(circles). DFT results are every 5% and interpolated. Maximal B is
near C7–10 with ~300 GPa, where ΔEform ~ 0 and segregation is lost
(Fig. 3) Fig. 3
For three alloys in Fig. 2, SRO correlations (top) αμν(k;1.15 Tsp) and (bottom) energies Sð2Þ
μν (k;1.15 Tsp) plotted along high-symmetry lines
in the Brillouin zone: (left) C1 (x = 2/5, y = x/2) with αTiZr(Γ) clustering with Tsp = 1240 K; (middle) C6 (x = 4/5, y = 1/10) with αZrMo(Γ) clustering
with Tsp = 500 K; and (right) C7 (x = 4/5, y = 1/8) with αTiMo(k0) with incommensurate ordering k0
j
j ¼ 0:7|N–H| with Tsp = 298 K. For C1 [C6], Ti-
Zr [Zr-Mo] pairs dominate correlations, but clustering is driven by Sð2Þ
ZrMo(Γ). In C7, Ti-Mo dominate correlations, but Ti-Mo and Ta-W drive
ordering
bli h d i
hi
i h h
Sh
h i
i
f C
i
f h
Chi
d
f S i
j C
i
l
i l (
) Fig. 3
For three alloys in Fig. Design and assessment While A2 is most favored, positive ΔEform indicates segregation
tendency, so ΔEform ≈0 stabilizes the A2 phase 018) 16
Published in partnership with the Shanghai Institute of Ceramics of the Chinese Academy of Sciences 2, SRO correlations (top) αμν(k;1.15 Tsp) and (bottom) energies Sð2Þ
μν (k;1.15 Tsp) plotted along high-symmetry lines
in the Brillouin zone: (left) C1 (x = 2/5, y = x/2) with αTiZr(Γ) clustering with Tsp = 1240 K; (middle) C6 (x = 4/5, y = 1/10) with αZrMo(Γ) clustering
with Tsp = 500 K; and (right) C7 (x = 4/5, y = 1/8) with αTiMo(k0) with incommensurate ordering k0
j
j ¼ 0:7|N–H| with Tsp = 298 K. For C1 [C6], Ti-
Zr [Zr-Mo] pairs dominate correlations, but clustering is driven by Sð2Þ
ZrMo(Γ). In C7, Ti-Mo dominate correlations, but Ti-Mo and Ta-W drive
ordering Published in partnership with the Shanghai Institute of Ceramics of the Chinese Academy of Sciences npj Computational Materials (2018) 16 P. Singh et al. Fig. 4
a X-ray diffraction pattern from the equiatomic alloy; b backscattered SEM of the equiatomic alloy—the brighter contrast is the (Mo, W,
Ta)-based solid solution, while the darker phase is the (Ti, Zr)-rich phase. The scale bar is 300 μm. Composition in major phase (Im−3m) of Mo/
W/Ta/Ti/Zr is 22.96 (1.79)/33.63 (2.57)/28.31 (0.44)/11.19 (1.79)/3.90 (0.52); and composition in minor phase (Fd(−3)m) of Mo/W/Ta/Ti/Zr is 8.44
(0.82)/0.89 (0.15)/3.06 (0.22)/32.61 (0.35)/55.00 (0.87). Phase compositions as determined using EDS. Compositions are provided in at.%. Standard deviations are provided in parentheses 4 Fig. 4
a X-ray diffraction pattern from the equiatomic alloy; b backscattered SEM of the equiatomic alloy—the brighter contrast is the (Mo, W,
Ta)-based solid solution, while the darker phase is the (Ti, Zr)-rich phase. The scale bar is 300 μm. Composition in major phase (Im−3m) of Mo/
W/Ta/Ti/Zr is 22.96 (1.79)/33.63 (2.57)/28.31 (0.44)/11.19 (1.79)/3.90 (0.52); and composition in minor phase (Fd(−3)m) of Mo/W/Ta/Ti/Zr is 8.44
(0.82)/0.89 (0.15)/3.06 (0.22)/32.61 (0.35)/55.00 (0.87). Phase compositions as determined using EDS. Compositions are provided in at.%. Standard deviations are provided in parentheses Fig. 5
For C1, C6, and C7 in Fig. 2, the electronic dispersion along
Brillouin zone high-symmetry lines, and the projected total density
of states (TDOS). Effects of Al doping is also shown (bottom). By
tuning {cα} to add electrons, shift dispersion, or change disorder, the
pseudogap is reached near EF (0), better stabilizing the alloy and
altering segregation when scaled by bandwidth (inverse atomic size), and so the
behavior of the alloy dispersion is fairly generic and predomi-
nantly determined by relative composition and size, hybridization,
and band filling. Chemical SRO From KKR-CPA linear response (see Methods), we predict (Fig. 3)
Warren-Cowley SRO (or atomic pair correlations) αμν(k;T), whose
largest peak at wavevector k0 reveals the unstable (Fourier) modes
to ordering, or clustering at Γ = (000). As an alloying guide, SRO
identifies pairs driving the instability, and predicts the spinodal
Tsp, where α1
μν k0; Tsp
= 0 signifying the absolute instability to
this chemical fluctuation.18,19 In real space, pair probabilities are
Pμν
ij ¼ ci
μcj
ν 1 αij
μν
, with αi≠j
μν = 0 for no SRO, and α < 0 (α > 0)
indicates
ordering
(clustering)
with
bounds
of
−
min cμ; cν
2 cμcν
1 αi≠j
μν 1. Fig. 5
For C1, C6, and C7 in Fig. 2, the electronic dispersion along
Brillouin zone high-symmetry lines, and the projected total density
of states (TDOS). Effects of Al doping is also shown (bottom). By
tuning {cα} to add electrons, shift dispersion, or change disorder, the
pseudogap is reached near EF (0), better stabilizing the alloy and
altering segregation
μ
Near-equiatomic alloys in Fig. 3 have maximal SRO peaks in αμν(k0
= Γ;T > Tsp) signaling spinodal (infinite wavelength) decomposition in
specified pairs at Tsp of 1240 K for C1, and at 500 K for C6. This 60%
drop in Tsp is unsurprising given that ΔEform reduces with Mo-W and
Ta addition (Fig. 2). For C7, where ΔEform has become slightly
negative due to movement of bands present at Γ away from EF, a
weak incommensurate (long-period) ordering is found with SRO
peak (Fig. 3) at 70% along N–H at k0 = (0.85, 0.15, 0). This SRO
arises from Fermi-surface nesting,48 with contributions at a radius of bonding states and improved stability. More at.%Mo-W (VEC = 6)
adds electrons, moving EF up (Fig. 5), and ΔEform reduces to
stabilize CSAs (Fig. 2). Adding small %Ta helps in altering states
near EF: the flat bands near Γ in Fig. 5 are moves from EF for C7,
lowering ΔEform, shown in Supplementary Figs. 2 and 3. We show
in Fig. 3 that the SRO changes from clustering in C6 to ordering in
C7, while ΔEform ~ 0. Here ΔEform reduces quickly for MoW with a
small %Ta and %TiZr, while bulk modulus (B) increases quickly
(inset Fig. 2). To promote oxide-scale formation for protection, and light-
weighting, Al is often added. In Fig. 5, 5% Al added at the expense
of Ta to C6 (whose ΔEform = +0.70 mRy) increases disorder
broadening (from Al sp-d hybridization) and causes d-state around
Γ (predominantly TiZr) to again straddle at EF. This Fermi-surface
feature energetically destabilizes the alloy making ΔEform much
more positive (+6.8 mRy, with TMG
c
= 828 K), which is also visible in
SRO showing strong clustering behavior at Tsp = 780 K (see
Supplementary Fig. 4). The most significant Al-Mo pair suggest
that Al will segregate to surfaces due its faster kinetics, as needed
for oxide formation, i.e., adding Al at the expense of Ta or TiZr
decreases VEC and drops EF into localized d-states, reduces
stability; so a balance must be struck by keeping some Ta and TiZr
and making VEC high enough to be near ΔEform ~ 0 but with a
large B (Fig. 2). Unlike in other systems, Al is not generically a good
A2 stabilizer, as it leads to larger electron scattering for reduced
stability, increased resistivity, and decreased thermal transport,
see ref. 18 and references therein. Chemical SRO Notably, the dispersion of A2 metals is canonical 2018) 16
Published in partnership with the Shanghai Institute of Ceramics of the Chinese Academy of Sciences mputational Materials (2018) 16
Published in partnership with the Shanghai Institute of Ceramics of the Chine P. Singh et al. 5 k0
j
j ~ 0.86, as confirmed along Γ-H (Fig. 3). [SRO is B2 type if it peaks
at k0 = H = {100}, commensurate with A2 lattice.] For theory and
detailed examples, see refs. 18,19 We also show, in Supplementary Fig. 4, that 5% Al addition to the C6 alloy instigates a clustering instability. The Al-Mo pair drives spinodal decomposition at Tsp of 780 K, which
shows the tendency of Al to phase separate from Mo, an indication
that Al’s clustering tendency might be helpful in promoting stable
oxide layer at high temperatures. These results indicate that alloying
may improve oxidation behavior, just as for Fe-Cr with a narrow
window for chromia formation. Clearly, KKR-CPA methods address
profound electronic and alloying effects not possible from effective
potentials, or methods that approximate disorder by ordered
configurations. with higher compression. At very high strain the interplay
between edge and screw dislocations can be visualized via the
band dynamics (Fig. 6b-4). k0
j
j ~ 0.86, as confirmed along Γ-H (Fig. 3). [SRO is B2 type if it peaks
at k0 = H = {100}, commensurate with A2 lattice.] For theory and
detailed examples, see refs. 18,19 We also show, in Supplementary Fig. 4, that 5% Al addition to the C6 alloy instigates a clustering instability. The Al-Mo pair drives spinodal decomposition at Tsp of 780 K, which
shows the tendency of Al to phase separate from Mo, an indication
that Al’s clustering tendency might be helpful in promoting stable
oxide layer at high temperatures. These results indicate that alloying
may improve oxidation behavior, just as for Fe-Cr with a narrow
window for chromia formation. Clearly, KKR-CPA methods address
profound electronic and alloying effects not possible from effective
potentials, or methods that approximate disorder by ordered
configurations. y
For engineering, Young’s modulus E = 3(1–2ν)B is pertinent, so
Poisson’s ratio ν is also key. Small-deformation MD simulations
determined E and ν at 300 K, and E vs. T was found from the elastic
stress–strain curve (Fig. 6a). The KKR-CPA energy vs. a (A2 lattice
constants) at {cα} determines the equilibrium a0, ΔEform, and B (Fig. Deformation analysis E in equiatomic C1, we performed indentation on samples
prepared by arc-melting (see Methods), in Fig. 6c, and show that
value from measurement 104 ± 12 GPa at 300 K compared very
well to our predictions 115 GPa from KKR-CPA and 120 GPa
from MD. As B changes slowly for binary Mo-W (Fig. 6d),
the Poisson effect (variation of ν) controls strength, which requires
W- or Mo-rich alloys for larger E values (Fig. 6d). Similarly, for
quinary (Mo1−zWz)0.85Ta0.10(TiZr)0.05, we find that C10 (z = 0.50)
has strength similar to C4 (Fig. 6c). Whereas we predict a region
around C10 (z = 0.05, highlighted in Fig. 6d, which is perpendi-
cular to plane in Fig. 2 at C10) that shows both enhanced stability
and E (Fig. 6c). For these CSAs, we find 3× larger E than high-
entropy alloys at 300 K, and alloys like C10 have a much larger, less
temperature-dependent modulus (Fig. 6c) above 500 K (2.3× at
2000 K) over existing commercial TZM alloys, and lie midway
between pure Mo and W, unlike TZM alloys. Mechanical properties in CSAs have been studied at macro- and
microscopic levels,49,50 but deformation analysis is key to establish
high-T structural candidates. We perform quasi-static uniaxial
loading via MD simulations (see Methods) by deforming an ideal
single-crystal alloy in small but finite steps and equilibrating after
each step. For equiatomic case, <100> compression (Fig. 6a)
reveals a smooth stress–strain curve signaling simple plastic flow. In contrast, C3 (0.425 at.%Mo) ideal crystal has stress drops and
strain-hardening triggered by <111> dislocations; a stress drop at
0.065 strain marks the initiation of dislocation with A2 Burgers
vector, b = 1
2<111>, from 77 to 2000 K. 2
Snapshots of the evolution show that dislocations (edge and
screw type) triggered these instabilities (Fig. 6b). The defect
mobility is affected by local distortions caused by the different
sizes and modulus of the solutes. The rise and drop in stress with
increasing strain in the ideal crystal corresponds to the defect
evolution where new dislocations occur after every major stress
drop followed by strain-hardening due to dislocation interactions
and drag. An investigation of the local structural environment (Fig. 6b) reveals deviation from perfect A2, as yielding occurs for 300 K. Chemical SRO 6d), all used in Fig. 2. We compare temperature-dependence of E,
in Fig. 6c, calculated from MD, KKR-CPA (using Grüneisen
approximation at low T), and experiments for commercial Mo-
rich TZM alloy,3 which again validate theory results. As MD is
performed on ideal crystals, an “ideal” yield strength is obtained,
with a qualitative relative change vs. temperature. Deformation analysis Shear bands (black) are promoted, denoting deformed regions Finally, one notable point, albeit not surprising, the classical MD
simulations fail to represent properly the alloys that crossover
from ΔEform positive to negative (e.g., C4 to C7 or C3 to C10) in
which electronic dispersion (not addressed by semi-empirical
potentials) is controlling the materials physics. Hence, we plot only
C10 KKR-CPA values in Fig. 6c, as MD values of E vs. T for C10 and Fig. 6
a, bottom Simulated stress–strain for uniaxial quasi-static compression at 300 K on ideal crystals for equiatomic C1 alloy, which exhibits
simple plastic flow, and for C4 alloy, where stress drops arise from dislocation motion and annihilation. a, top Stress–strain vs. T from 77 to
1100 K for C4 alloy. b C4 strained elastically to 0.065 (b-1, blue), then, at yield, shear bands appear (b-2, black) accompanied by dislocations. At
high strain rates (~0.3), stronger edge (red) and screw (blue) components are found (b-4) with Burgers vector (green). c For (non)equiatomic
alloys, E vs. T from classical MD [diamonds], KKR-CPA results [squares, extended to 600 K via Grüniesen theory, then extrapolated (dotted
lines)], and measurements (Expt) for W, Mo, commercial TZM,3 and C1 alloy (present experiments). d For validation in A2 MozW1−z, measured
(black symbols) and KKR-CPA results (blue lines and circles) for B, E (GPa), lattice constant a (Å), and density ρ (Mg/m3), with Poisson ratio (ν)
from MD. Also, predicted values are shown for quinary (Mo1−zWz)0.85Ta0.10(TiZr)0.05 [red lines and squares], where C10 (z = 0.5) response is
similar to C4 in Fig. 6c. Design region: region around quinary z = 0.05 (denoted C10, at Mo-rich end of a line perpendicular to plane at C10 in
Fig. 2) shows enhanced E (above Mo) and better T-dependent slope (Fig. 6c) from a favorable Poisson effect (green area in Fig. 6d). Above
500 K, C10 has larger, less T-dependent E than TZM (2.3× at 2000 K) Fig. 6
a, bottom Simulated stress–strain for uniaxial quasi-static compression at 300 K on ideal crystals for equiatomic C1 alloy, which exhibits
simple plastic flow, and for C4 alloy, where stress drops arise from dislocation motion and annihilation. a, top Stress–strain vs. T from 77 to
1100 K for C4 alloy. b C4 strained elastically to 0.065 (b-1, blue), then, at yield, shear bands appear (b-2, black) accompanied by dislocations. Published in partnership with the Shanghai Institute of Ceramics of the Chinese Academy of Sciences Deformation analysis At
high strain rates (~0.3), stronger edge (red) and screw (blue) components are found (b-4) with Burgers vector (green). c For (non)equiatomic
alloys, E vs. T from classical MD [diamonds], KKR-CPA results [squares, extended to 600 K via Grüniesen theory, then extrapolated (dotted
lines)], and measurements (Expt) for W, Mo, commercial TZM,3 and C1 alloy (present experiments). d For validation in A2 MozW1−z, measured
(black symbols) and KKR-CPA results (blue lines and circles) for B, E (GPa), lattice constant a (Å), and density ρ (Mg/m3), with Poisson ratio (ν)
from MD. Also, predicted values are shown for quinary (Mo1−zWz)0.85Ta0.10(TiZr)0.05 [red lines and squares], where C10 (z = 0.5) response is
similar to C4 in Fig. 6c. Design region: region around quinary z = 0.05 (denoted C10, at Mo-rich end of a line perpendicular to plane at C10 in
Fig. 2) shows enhanced E (above Mo) and better T-dependent slope (Fig. 6c) from a favorable Poisson effect (green area in Fig. 6d). Above
500 K, C10 has larger, less T-dependent E than TZM (2.3× at 2000 K) npj Computational Materials (2018) 16 ublished in partnership with the Shanghai Institute of Ceramics of the Chinese Academy of Sciences P. Singh et al. 6 C10 are similar to C4, whereas C10 values from first principles
increases over C10, as expected from Fig. 6d. verified similar hybrid potential parameter combinatorial technique for
high-entropy alloy, like Al10CrCoFeNi.19 In A2 lattice60, with dimensions
(30 × 30 × 30)
a
(54 000
atoms),
we
distributed
five
elements
via
composition to form (Mo-W)-Ta-(Ti-Zr) solid solutions. Initially, the lattice
was melted at 4000 K for 90 ps, followed by a quench to 300 K within 10 ns. Uniaxial deformation was performed after equilibrating and relaxing the
structure at high strain, as detailed in Supplementary Video 1.19 c eases o e C 0, as e pected
o
g. 6d. From a design perspective, in general, alloys in CSAs have
superior properties over near-equiatomic alloys (so-called high-
entropy alloys), although the design space becomes enormous. Using a first-principles KKR-CPA, we predicted the relative phase
stability, dispersion, SRO (i.e., incipient long-range order, including
Tc) and its electronic origin, and mechanical properties over all
compositions as a design guide. Using electronic alloy design
concepts and criteria, we identified higher-strength refractory
(Mo-W)-Ta-(Ti-Zr) alloys from materials physics and engineering
perspectives. Chemical SRO From KKR-CPA linear response, we calculate SRO parameters, αμν(k;T), for μ-
ν pairs,18,19 as detailed elsewhere.20–23,48 Dominant pairs driving SRO are identified from pair-interchange energies, Sði;jÞ
μν ðTÞ, or curvature (concen-
tration second variation) of the KKR-CPA grand potential, yielding energy
cost for concomitant fluctuations of ci
μ, cj
ν at atomic sites i, j. Sð2Þ
μν ðk; TÞ
reveals the unstable (Fourier) modes with ordering wavevector k0 (or
clustering at (000)), identifies the origin for phase transitions, and dictates
the SRO: α1
μν ðk; TÞ = [cμ(δμν −cν)]−1
δμνc1
μ
þ c1
N
h
−kBT
ð
Þ1Sð2Þ
μν ðk; TÞ
i
. The spinodal temperature, where α1
μν k0; Tsp
= 0, signifies an absolute
instability to this fluctuation and provides an estimate for TMG
c
or Tod
c .18,19,57
For N > 2, pairs driving ordering (clustering) will not necessarily be the
same pairs that peak in the SRO due to the matrix inversion that relates
them (Fig. 3). Nanoindentation Nanoindentation
utilized
a
tribo-indenter
HYSITRON
TI-900
with
a
Berkovich (3 μm) tip. The indenter control module applies a trapezoidal
load on the sample for 10 s, followed by 5 s rest, and unloads in 10 s. To
calibrate the sample measurements, which also determines the best
applied load and optimum contact depth, the alloy was scanned (15
measurements) on an arbitrarily chosen sample location to optimize for
force vs. displacement. For a minimum of 200 nm of contact depth, a
6000 μN load was found to suffice. With these set, we indented the alloy at
30 manually chosen locations to measure the sample’s elastic response; for
the equiatomic case, the mean values were as follows: Young’s modulus of
103.73 ± 11.49 GPa; hardness of 4.6 ± 0.34 GPa; and contact depth of
231.18 ± 8.74 nm. Data availability The authors declare that the data supporting the findings of this study are
available within the paper and supplement. Also, the data that support the
plots within this paper and other findings of this study are available from
the corresponding author upon reasonable request. DFT methods KKR electronic structure is used with the CPA to handle chemical
disorder;16,17 screened CPA addresses Friedel screening from charge
correlations.17 Scalar-relativistic effects are included (no spin orbit). Generalized gradient approximation to exchange correlation was included
through use of libXC libraries.51 CSAs require only one-atom (two-atom)
cells for A1, A2 (A3). BZ integrations were performed with Monkhorst-Pack
k-point method,52 with 12 × 12 × 12 (6) for A1, A2 (A3) meshes. We used
300 k-points in the irreducible BZ to visualize dispersion along symmetry
lines. Each scatterer’s radii were defined by neutral “atoms in cell”, with
interstitial divided proportionally to each scatterer, to improve radial
density representation near saddle points in the electronic density.53,54 We
chose Lmax = 3 spherical-harmonic basis to include s-, p-, d-, and f-orbital
symmetries. Shallow core states were included in the valence in all
calculations. A variational potential zero v0 was used to yield kinetic
energies nearing those of full-potential methods.55 For self-consistent
densities, complex-energy contour integration56 used 20-point Gauss-
Legendre semicircular contour. ACKNOWLEDGEMENTS Work supported by the U.S. Department of Energy (DOE), Office of Science, Basic
Energy Sciences, Materials Science & Engineering Division for theory/code develop-
ment, and by the Office of Fossil Energy, Cross-cutting Research for application and
validation for specific HEAs. Research was performed at Iowa State University and
Ames Laboratory, which is operated by ISU for the U.S. DOE under contract DE-AC02-
07CH11358. Work by A.S., M.S.D., and G.B. supported by the Office of Naval Research
(grant N00014-16-1-2548), with computing resources from the Department of
Defense High-Performance Computing Modernization Program. Synthesis and characterization Synthesis and characterization The equiatomic MoWTaTiZr was synthesized by arc-melting pellets of
elemental powder blends (Alfa Aesar, purity ≥99.9%) in an ultra-high-purity
argon atmosphere on water-cooled copper hearth. Powders were used to
reduce the large macro-segregation that occurs during casting when using
elemental chips. With the significant difference in melting temperatures
(3695 K for W vs. 1941 K for Ti) a three-step melting process was adopted. Step 1: W and Ta powders were mixed thoroughly in a SPEX 8000 mill, and
pressed using a Carver hydraulic press; and the pellet was then arc-melted. Step 2: elemental blends of Mo, Ti, and Zr were similarly mixed, pressed,
and arc-melted. Step 3: both arc-melted buttons were re-melted together
for a total of four times to ensure better homogeneity. p
Based on our calculation, we designed a Mo-rich region of
improved stability with enhanced Young’s moduli over high-
entropy alloys, as we confirmed experimentally, and an improved
temperature-dependence above 500 K (2.3× at 2000 K) over
existing commercial alloys. Our electronic structure approaches
and
analysis
of
alloying
and
stability
(formation
energies,
dispersion, and short-range ordering) highlight how instructive
these details are in guiding design. The techniques are quite
general for assessing any arbitrary CSAs, where alloying and
nontrivial electronic effects play a key role. Phase analyses were carried out using a Philips PANalytical X-Ray
Diffractometer, in a Bragg-Brentano geometry using Cu-Kα radiation. Microstructure and phase compositions were analyzed using a FEI Helios
NanoLab G3UC SEM, equipped with Oxford Energy Dispersive Spectro-
scopy system. Accelerating voltages of 10–15 kV were employed for
imaging and compositional analyses. Compositions were measured at
seven different locations for each phase, with the average composition
and X-ray diffraction shown in Fig. 4. The diffraction pattern indicated the
presence of two phases, indexed as a BCC (A2) phase with lattice
parameter 3.1713(2) Å and a minor phase with Fd3m space group, like for
B32 (NaTl prototype) or C15 (MgCu2 prototype) structures, with lattice
constant 7.6148(9) Å. Deformation analysis Temperature-dependent deformation (most relevant
the elastic behavior) in selected set of alloys was modeled using
classical MD simulations, validated from first-principles data; we
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Thesis, Naval Postgraduate School (1963). Published in partnership with the Shanghai Institute of Ceramics of the Chinese Academy of Sciences © The Author(s) 2018 P. Singh et al. P. Singh et al. 8 adaptation, distribution and reproduction in any medium or format, as long as you give
appropriate credit to the original author(s) and the source, provide a link to the Creative
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regulation or exceeds the permitted use, you will need to obtain permission directly
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Mediterranean versus vegetarian diet for cardiovascular disease prevention (the CARDIVEG study): study protocol for a randomized controlled trial
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* Correspondence: francesco.sofi@unifi.it
1Department of Experimental and Clinical Medicine, School of Human Health
Sciences, University of Florence, Largo Brambilla 3, 50134 Florence, Italy
2Unit of Clinical Nutrition, Careggi University Hospital, Florence, Italy
Full list of author information is available at the end of the article Sofi et al. Trials (2016) 17:233
DOI 10.1186/s13063-016-1353-x Sofi et al. Trials (2016) 17:233
DOI 10.1186/s13063-016-1353-x Open Access Mediterranean versus vegetarian diet for
cardiovascular disease prevention (the
CARDIVEG study): study protocol for a
randomized controlled trial Francesco Sofi1,2,3*, Monica Dinu1, Giuditta Pagliai1, Francesca Cesari1,4, Rossella Marcucci1,4
and Alessandro Casini1,2 Waist circumference >88 cm (women) or >102 cm
(men) Methods/design The term Mediterranean diet has been widely used to
describe the traditional dietary habits of people in Crete,
South Italy and other Mediterranean countries during
the decade of the 1960s. This dietary pattern is charac-
terized by plentiful plant-derived foods (fruits, vegeta-
bles, breads, other forms of cereals, beans, nuts and
seeds), olive oil as the principal source of fat, moderate
amounts of dairy products (mainly cheese and yogurt),
low-to-moderate amounts of fish and meat and a moder-
ate consumption, usually with meals. Since the results of
the first data from the Seven Countries Study, several
studies in different populations have established a bene-
ficial role for the main components of the Mediterra-
nean diet on the occurrence of cardiovascular and
chronic degenerative diseases [8]. Recently, a meta-
analysis conducted by our group has revealed, in a popu-
lation of more than 2 million people, that a strict adher-
ence to a Mediterranean dietary pattern is associated
with a significant improvement in health status, as seen
by a significant reduction in overall mortality (10 %) and
incidence of and/or mortality from cardiovascular dis-
eases (9 %) [9]. Abstract Background: Nutrition is able to alter the cardiovascular health of the general population. However, the optimal
dietary strategy for cardiovascular disease prevention is still far from being defined. Mediterranean and vegetarian
diets are those reporting the greatest grade of evidence in the literature, but no experimental studies comparing
these two dietary patterns are available. Methods/design: This is an open randomized crossover clinical trial including healthy subjects with a low-to-
medium cardiovascular risk profile, characterized by being overweight and by the presence of at least an additional
metabolic risk factor (abdominal obesity, high total cholesterol, high LDL cholesterol, high triglycerides, impaired
glucose fasting levels) but free from medications. A total of 100 subjects will be included and randomly assigned to
two groups: Mediterranean calorie-restricted diet (n = 50) and vegetarian calorie-restricted diet (n = 50). The
intervention phases will last 3 months each, and at the end of intervention phase I the groups will be crossed over. The two diets will be isocaloric and of three different sizes (1400 – 1600 – 1800 kcal/day), according to specific
energy requirements. Adherence to the dietary intervention will be established through questionnaires and 24-h
dietary recall. Anthropometric measurements, body composition, blood samples and stool samples will be obtained
from each participant at the beginning and at the end of each intervention phase. The primary outcome measure
will be change in weight from baseline. The secondary outcome measures will be variations of anthropometric and
bioelectrical impedance variables as well as traditional and innovative cardiovascular biomarkers. Discussion: Despite all the data supporting the efficacy of Mediterranean and vegetarian diets on the prevention
of cardiovascular diseases, no studies have directly compared these two dietary profiles. The trial will test whether
there are statistically significant differences between these dietary profiles in reducing the cardiovascular risk burden
for the general population. Trial registration: ClinicalTrials.gov NCT02641834 Trial registration: ClinicalTrials.gov NCT02641834 Keywords: Diet, Prevention, Cardiovascular disease, Mediterranean, Vegetarian © 2016 Sofi et al. Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and
reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to
the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver
(http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Sofi et al. Abstract Trials (2016) 17:233 Page 2 of 8 Page 2 of 8 Study design and setting The randomized, open, crossover clinical trial will be
conducted at the Unit of Clinical Nutrition of the
Careggi University Hospital, Florence, Italy. A crossover
design will be implemented to allow comparison of the
vegetarian and Mediterranean diets within the same in-
dividual. Participants will act as their own controls in
crossover studies, so individual differences will be con-
trolled for, making the error variance smaller and subse-
quently reducing the sample size required to find a
significant effect due to increased statistical power. This
design will also be adopted in an effort to minimize at-
trition and to maximize participant interest and compli-
ance by enabling each participant to experience both
diet conditions. The study design follows the SPIRIT
guidelines (see Additional files 1 and 2). Background systematic review with a meta-analysis on more than
120,000 vegetarians, showing that adherence to a vege-
tarian dietary pattern helps to determine, among case-
control studies, lower levels of the most important risk
factor for chronic disease, along with a reduced risk of
occurrence for ischemic heart disease (–25 %) when co-
hort prospective studies were taken into account [10]. g
Nutrition is able to substantially alter the health status
of the general population [1]. In industrialized countries
the most important association between diet and health
is the relationship with cardiovascular disease, the lead-
ing cause of death and disability worldwide. Therefore,
the ability to identify with certainty the relationship be-
tween diet and cardiovascular disease appears to be a
key element in the implementation of specific primary
prevention strategies [2]. Recent studies have focussed
their interest on the impact of a whole dietary approach
rather than on isolating single nutrients on the occur-
rence of cardiovascular disease; it is recognized that ana-
lyses of single nutrients ignore the important and
complex interactions between components of a diet and,
more importantly, ignore the fact that people do not eat
isolated nutrients [3, 4]. However, an optimal dietary
strategy for the prevention of cardiovascular disease has
not been found [5]. Despite all these findings, however, to the best of our
knowledge, no randomized controlled trial that com-
pares, in the same group of patients, the efficacy of nu-
tritional interventions based on Mediterranean and
vegetarian dietary patterns is available in the literature. To date, it is unclear whether the supposed health bene-
fits for vegetarians can be attributed to the absence of
meat in the diet, to the increased consumption of par-
ticular food component(s), to the pattern of foods eaten
within the vegetarian diet or to other healthy lifestyle
components often associated with vegetarianism. Hence, we aimed to design this randomized, open,
crossover clinical trial that will test whether there is a
difference between a vegetarian calorie-restricted diet
and a Mediterranean calorie-restricted diet in reducing
total weight and ameliorating the cardiovascular risk
profile of a clinically healthy group of subjects. Several models of diet have been imposed on public
attention, but those that have received the most interest
are the Mediterranean and vegetarian diets [6, 7]. These
dietary patterns seem to exert protective effects on blood
pressure, lipid profiles, cardiovascular diseases and meta-
bolic parameters. Eligibility criteria Eligible participants will be clinically healthy subjects
(aged 18–75 years) with a low-to-medium cardiovascular
risk profile (1–5 % according to the guidelines of the
European Society of Cardiology) [11], determined by be-
ing overweight (body mass index >25.1 kg/m2) and by
the concomitant presence of at least one of the following
criteria: A vegetarian diet is a dietary profile characterized by
abstention from consuming meat and meat products,
poultry, seafood and flesh from any other animal. In the
past few decades, some case-control and cohort pro-
spective studies reported beneficial effects of this dietary
profile on the occurrence of cardiovascular and neoplas-
tic disease. Very recently, our group conducted a Sofi et al. Trials (2016) 17:233 Page 3 of 8 Page 3 of 8 Page 3 of 8 Circulating levels of total cholesterol >190 mg/dL,
not on drug treatment (measured no more than
3 months prior to the start of the study) per day for men. Participants will be asked not to alter
their exercise habits during the study. Standardized baseline assessment for both groups will
include a questionnaire regarding demographic informa-
tion, risk factors and co-morbidities. Moreover, at the
baseline visit, participants will be educated about the
aims and methods of the clinical trial. The subjects who
agree to participate in the study, after signing the in-
formed consent, will be included and randomly divided
into two groups, each assigned to consume first either
the vegetarian or Mediterranean diet. Each participant,
before starting, needs to complete a 3-day dietary record
(two weekdays and one weekend day). A dietician will
analyse all the 3-day dietary records using a country-
specific food nutrient database. Circulating levels of LDL cholesterol >115 mg/dL,
not on drug treatment (measured no more than
3 months prior to the start of the study) Circulating levels of triglycerides >150 mg/dL, not
on drug treatment (measured no more than
3 months prior to the start of the study) Circulating levels of fasting blood glucose >110 mg/
dL but <126 mg/dL, not on drug treatment
(measured no more than 3 months prior to the start
of the study) Exclusion criteria are the presence of a current serious
illness or unstable condition that requires physician
supervision of diet or physical activity (e.g. Interventions and participant timeline p
p
This clinical randomized study of vegetarian and Medi-
terranean diets will use a crossover design with two
intervention periods. After a 2-week run-in period, the
eligible participants will be randomly assigned into two
groups: either the group which will receive a vegetarian
diet or the group which will receive a Mediterranean
diet. Following the first intervention phase, the partici-
pants will be crossed over in order to obtain the second
intervention phase. Each diet period will be 3 months
long. The vegetarian diet will not contain meat, poultry
or fish but will contain eggs and dairy, in addition to
plant-based foods, such as fruits, vegetables, whole
grains, legumes, nuts and seeds. The Mediterranean diet
will contain all foods, including meat, poultry, fish, eggs,
and dairy. However, red meat will be limited to once per
week, poultry will be limited to ≤3 times per week and
fish will be recommended two to three times per week. Both diets will derive approximately 25–30 % of energy
from fat, 15–120 % from protein and the remainder
from (primarily complex) carbohydrate. The vegetarian
and Mediterranean diets will be calorie-restricted and
isocaloric, supplying 1400 kcal/day for women and
1600 kcal/day for men with a weight <90 kg at baseline
and 1600 kcal/day for women and 1800 kcal/day for
men with a weight >90 kg at baseline. No meals or sup-
plements will be provided. Participants will prepare their
meals or eat at restaurants. For both diets, alcoholic bev-
erages are limited to one per day for women and two Compliance with the intervention is critical to the suc-
cess of this project and will be achieved using behaviour
change strategies including self-monitoring and regular
phone calls for dietary counselling. Furthermore, a diet-
ician will provide the participants with a detailed 1-week
menu plan for each dietary period, with all food ingredi-
ents expressed in weight and/or volume measures, and a
handout containing details on their assigned diet, includ-
ing food groups that can be included and ones that
should be avoided. The vegetarian menu plan will also
include recipes for preparing meals. Sessions for the two
groups are similar in duration and content, except with
regard to dietary details, and group leaders will be
instructed to make no comment favouring one diet over
the other or indicating their own dietary habits. Eligibility criteria recent myo-
cardial infarction, chronic liver disease, inflammatory
bowel diseases); pregnancy or intention to become preg-
nant in the next 18 months; lactation; current or recent
(past 6 months) participation in weight loss treatment
program or use of weight loss medication; no regular in-
take of meat, fish or poultry for the past month. The study procedures are depicted in Fig. 1. There will
be five clinical evaluations of the study population: one
before the dietary intervention (Time 0), one 1.5 month
after the start of the first dietary intervention (Time 1),
one 3 months after the start of the first dietary interven-
tion and at the time of intersection between the two
groups (Time 2), one 4.5 months after the start of the
study and 1.5 month from the intersection (Time 3), and
the last one 6 months after the start of the study and
3 months from the intersection (Time 4). This design
was chosen to ensure that there will be adequate time to
achieve steady-state levels of lipid, glucometabolic, in-
flammatory and oxidative stress parameters. Interventions and participant timeline Participants may discontinue the intervention or with-
draw from the study for the following reasons: (1) at the
request of the participant or (2) if the investigator con-
siders that a participant’s health will be compromised
due to adverse events or concomitant illnesses that de-
velop after entering the study. Outcomes
Primary outcome
The primary outcome is total weight change from
baseline. Recruitment and randomization Male and female participants will be recruited by trial
personnel using advertisements in local media, newspa-
pers, social media, sheets and official websites. They will
also recruit from a pre-existing database of participants
and from friends or relatives of the hospital and univer-
sity staff. Oxidative stress markers’ change from baseline (total
antioxidant profile, parameters of lipid peroxidation) After approval and completion of the initial assess-
ment, subjects will be formally entered into the study
and randomized with a 1:1 randomization to study arms
by a statistician, using a web-based online randomization
procedure. Randomization will be stratified by age. The
allocation concealment will be ensured using a central-
ized service, and it will not be possible for the investiga-
tors to know the allocation sequence in advance. Secondary outcomes
The secondary outcomes are: The secondary outcomes are: Fat mass change from baseline Body mass index (BMI) change from baseline Body mass index (BMI) change from baseline Lipid profile change from baseline (total cholesterol,
LDL cholesterol, HDL cholesterol, triglycerides) g y
Glycemic profile change from baseline (fasting
glucose, insulin, HbA1c) Inflammatory parameters’ change from baseline [hs-
CRP (high-sensitivity C-reactive protein), circulating
levels of inflammatory cytokines: IL-1ra (interleukin-
1ra), IL-1β (interleukin-1 beta), IL-2 (interleukin-2),
IL-4 (interleukin-4), IL-6 (interleukin-6), IL-8 (inter-
leukin-8), IL-10 (interleukin-10), IL-12 (interleukin-
12), IL-17 (interleukin-17), IL-18 (interleukin-18),
TNF-α (tumor necrosis factor alpha), IFN-γ (inter-
feron gamma), VEGF (vascular endothelial growth
factor), MCP-1 (monocyte chemoattractant protein-
1), IP-10 (IFN-γ-inducible protein 10)] Inflammatory parameters’ change from baseline [hs-
CRP (high-sensitivity C-reactive protein), circulating
levels of inflammatory cytokines: IL-1ra (interleukin-
1ra), IL-1β (interleukin-1 beta), IL-2 (interleukin-2),
IL-4 (interleukin-4), IL-6 (interleukin-6), IL-8 (inter-
leukin-8), IL-10 (interleukin-10), IL-12 (interleukin-
12), IL-17 (interleukin-17), IL-18 (interleukin-18),
TNF-α (tumor necrosis factor alpha), IFN-γ (inter-
feron gamma), VEGF (vascular endothelial growth
factor), MCP-1 (monocyte chemoattractant protein-
1), IP-10 (IFN-γ-inducible protein 10)] Primary outcome The primary outcome is total weight change from
baseline. Sofi et al. Trials (2016) 17:233 Page 4 of 8 Fig. 1 Organization of the intervention study Secondary outcomes alpha < 0.05, for two groups, with a mean difference be-
tween groups from 2 to 3.5 kg and a standard deviation
between 1.6 and 3.9, a sample size of at least 50 in each
group of the study was required. It is projected that 100
subjects will be required in the final database and 10–
25 % more must be randomized to achieve this number of
completed subjects. These projections will be reviewed
throughout the course of the study. Losses will be
included in the intention-to-treat but not in the per-
protocol analyses. The sample size calculation was per-
formed using an online calculator software (available at
http://www.powerandsamplesize.com). Secondary outcomes
The secondary outcomes are: Adherence and acceptability In order to assess diet compliance, participants will be
contacted at least twice during the study period. A diet-
ician will make unannounced telephone calls to each
participant to administer a 24-h diet recall. Adherence
to the vegetarian diet will be measured as the absence of
meat and fish from the dietary recalls. Participants in
the Mediterranean group will be considered adherent if
their food records report a great adherence (≥10 points
on the 9-item literature-based Adherence Score Tool) to
the Mediterranean diet. Data collection Follow-up assessments and data collection will be under-
taken at the Unit of Clinical Nutrition of the Careggi
University Hospital, Florence, Italy, by trial personnel. All
subjects
will
be
examined
between
6.30
and
9.30 a.m. after a 12-h fasting period. Blinding serum, and then stored at –80 °C until analysis. The fol-
lowing biochemical measurements will be evaluated:
complete blood count, lipid profile (total cholesterol, LDL
cholesterol, HDL cholesterol, triglycerides), glucose profile
(fasting glucose, insulin, HbA1c), liver function tests (as-
partate aminotransferase, alanine transaminase, gamma-
glutamyl transferase, alkaline phosphatase), renal function
tests (serum creatinine, urea, uric acid), mineral profile
(sodium, potassium, magnesium, calcium), iron metabol-
ism (iron, ferritin), vitamin profile (vitamin B12, folic acid),
pro-inflammatory and anti-inflammatory profile [hs-CRP
(high-sensitivity C-reactive protein), circulating levels of
inflammatory cytokines: IL-1ra (interleukin-1ra), IL-1β
(interleukin-1 beta), IL-2 (interleukin-2), IL-4 (interleukin-
4), IL-6 (interleukin-6), IL-8 (interleukin-8), IL-10 (inter-
leukin-10), IL-12 (interleukin-12), IL-17 (interleukin-17),
IL-18 (interleukin-18), TNF-α (tumor necrosis factor
alpha), IFN-γ (interferon-gamma), VEGF (vascular endo-
thelial growth factor), MCP-1 (monocyte chemoattractant
protein-1), IP-10 (IFN-γ-inducible protein 10)], as well as
antioxidant profile (total antioxidant profile, parameters of
lipid peroxidation) and parameters related to vascular
endothelial function such as circulating endothelial pro-
genitor and circulating endothelial cell count. In this trial, blinding of participants and dieticians is not
possible because of obvious differences between the
intervention diets; however, outcome measures in the
present study cannot be easily influenced by the obser-
ver. In addition, trial personnel who will enrol partici-
pants, outcome assessors and data analysts will be
blinded to treatment allocation, and an employee outside
of the research team will enter data into the computer
in separate datasheets. On the other hand, making the
trial open rather than blinded may improve recruitment. Stool samples Stool samples (four or five scoops totalling 4 g) will be
collected before and after each intervention phase. Stool
sample collection kits, including containers, will be pro-
vided for the participants. It is optional for the partici-
pants to provide the stool samples, so they can continue
participating in the study even if they choose not to pro-
vide stool samples. At Time 2 and Time 4 participants will complete a
modified version of the Food Acceptability Question-
naire asking participants to answer questions regarding
the feasibility, the acceptability and the satisfaction/dis-
satisfaction with both diets. This questionnaire also asks
respondents to indicate whether they have frequently ex-
perienced any of the following perceived benefits or ad-
verse effects during the intervention period: changes in
digestion and gastrointestinal function, increased or de-
creased energy, better or worse sleep than usual and
self-perceived quality of life. Sample size The sample size was determined on the basis of previous
studies conducted to test the efficacy of a vegetarian diet
on patients with type 2 diabetes mellitus [12]. To achieve
an effect size between 1.25 and 2.1 for a power of 80 % at Page 5 of 8 Sofi et al. Trials (2016) 17:233 Page 5 of 8 Anthropometric measurements and body composition Anthropometric measurements and body composition
Weight and height will be measured using a stadiometer. Body mass index (BMI) will be calculated as weight
(kg)/height (m)2. The body composition will be deter-
mined with a bioelectrical Body Composition Analyzer
device (Tanita, model TBF-410) at baseline and follow-
up visits. Data management Data will be collected in an electronic database. Identifi-
able data will not be recorded in the database or other
documents, and participants will be identified by a
unique trial ID only. Hard copies of data sheets linking
the participant identification number to the person’s
contact details will be kept securely in a locked filing
cabinet in a locked office, accessible only to key research
team members. Participant files and other source data
(including copies of protocols, questionnaires, original
reports of test results, correspondence, records of in-
formed consent and other documents pertaining to the
conduct of the study) will be kept for the maximum
period of time permitted by the institution. Blood samples Statistical analyses will be performed using SPSS soft-
ware for Macintosh (SPSS Inc., Chicago, IL, USA). Out-
comes will be analysed by intention-to-treat and on-
treatment procedures. Histograms and box plots will be Blood samples will be collected at the beginning and at
the end of each intervention phase. Blood samples will be
centrifuged at 3000 rpm for 15 minutes, aliquoted to yield Sofi et al. Trials (2016) 17:233 Page 6 of 8 Page 6 of 8 used to assess the distributional assumptions and to
check for possible outliers. Log transformations will be
applied, where appropriate, in order to render the out-
come distributions closer to the normal. Bootstrap tech-
niques will be used if this does not achieve reasonable
normality to the extent that it may influence the proper-
ties of the regression analysis. Continuous variables that
follow an approximately normal distribution will be
summarized using the mean and standard deviations. Categorical variables will be presented in terms of fre-
quencies and percentages. Before starting the data ana-
lysis,
the
level,
pattern
and
likely
causes
of
the
missingness in the baseline variables and outcomes will
be investigated by forming appropriate tables. This infor-
mation will be used to determine whether the level and
type of missing data has the potential to introduce bias
into the analysis results or substantially reduce the preci-
sion of estimates for the proposed statistical methods. withdrawal will be documented in the participant re-
cords for the subsequent analysis in the interpretation of
the results. Sensitivity analyses will be undertaken, based on the
assumption that missing outcomes are the worst pos-
sible, or the best possible, in different randomization
groups. If these show that conclusions may differ based
on missing values, then supplementary multiple imput-
ation for missing values will be undertaken. These ana-
lyses will account for results of any losses to follow-up
insofar as they pertain to differences in measured vari-
ables (i.e. under the assumption of missing at random). g
For questionnaire items related to acceptability, differ-
ences between responses during the vegetarian and
Mediterranean diet phases will be tested using the Wil-
coxon matched-pairs signed ranks test. The independent
samples Mann-Whitney U test will be used to compare
the diet groups. Blood samples To test for differences in reported bene-
fits and adverse effects of the diets, the chi-square test
for independent samples will compare the two diet
groups regarding frequency of changes in reported
symptoms from baseline to final time points, and
paired-comparison
t
tests
will
assess
within-group
changes over time. A P value < 0.05 will be considered
statistically significant. All data will be treated as paired samples from a cross-
over study. The two interventions will be analysed by
taking into account both periods in the two groups of
subjects at different stages. The primary outcome, total
weight change from baseline, will be analysed within
each group using paired comparison t tests to test
whether the changes from baseline to 3 months, from
baseline to 6 months and from 3 to 6 months will be
statistically significant. The absolute change (mean value
at baseline subtracted from the mean value after inter-
vention for each subject) will be estimated with inde-
pendent t sample tests. One-way analysis of variance will
be used for testing differences between changes in the
vegetarian and Mediterranean intervention diet groups. A linear regression analysis (after checking regression
assumptions), adjusting for age, gender, smoking habits
and sedentary lifestyle, will be performed in order to
compare the effect of the two different treatments. Data
for the general linear model for repeated measurements
will be reported as geometric means with their standard
errors. A significant effect will indicate that the change
from baseline to the vegetarian diet phase will be differ-
ent from the change from baseline to the Mediterranean
diet phase. Secondary outcome variables will be analysed
similarly. Monitoring Given the limited objectives and its short-term nature,
this trial will be monitored by the protocol team and the
local Institutional Review Board, without the use of a
formal data monitoring committee. Data access will be
restricted
to
trained
staff
with
unique
password-
protected accounts. Adverse events such as unfavourable
and unintended signs, abnormal laboratory findings,
symptoms or diseases temporally associated with the
intervention diet will be collected from the time of
randomization until the final 6-month follow-up visit for
each participant, whether or not considered related to
the
intervention study. All adverse
events will be
followed up until they are resolved. Trial status At the time of manuscript submission, the enrolment of
clinically healthy subjects is ongoing. Discussion Because of the growing evidence in favour of the link be-
tween red and processed meat and cardiovascular dis-
ease risk [13], cancer [14], diabetes [15] and overall
mortality [16], the interest in vegetarian diets has in-
creased. Over the last few years, the number of subjects
who began to adopt a plant-based dietary pattern has in-
creased with respect to the past, when the population of
vegetarians was limited to only a few and selected co-
horts [17]. This increase has been mainly attributed to
ethical and environmental motivations, as well as to
health-related concerns [18]. Received: 18 January 2016 Accepted: 21 April 2016 Received: 18 January 2016 Accepted: 21 April 2016 Received: 18 January 2016 Accepted: 21 April 2016 Competing interests The results from the trial will be submitted for publi-
cation in a peer-reviewed journal irrespective of the out-
come. The final report will follow the CONSORT 2010
guidelines. Authorship of presentations and reports re-
lated to the study will be in the name of the collabora-
tive group. The authors declare that they have no competing interests and the research
is not being supported by any commercial interests. Authors’ contributions
d h
d FS conceived the study, participated in the design of the study and writing
of the study protocol and prepared the final version of the manuscript. He is
responsible for recruitment, clinical evaluations and blood analyses. MD
participated in the design of the study and writing of the study protocol and
is currently screening and instructing subjects regarding the protocol. GP
participated in the design of the study and writing of the study protocol and
is currently screening and instructing subjects regarding the protocol. FC is
responsible for the evaluation of all the laboratory parameters and
participated in the design of the study. RM participated in the critical
revision of the manuscript and is currently screening and recruiting the
participants. AC participated in the design of the study and critical revision
of the manuscript for important intellectual content. All authors read and
approved the final manuscript. Acknowledgements
Th
h
k
l The authors acknowledge all the nurses and administrative staff of the
Department of Geriatric Medicine of the Careggi University Hospital of
Florence, Italy for their support in conducting the clinical trial. Ethics and dissemination The study will be conducted in accordance with the
Declaration of Helsinki and the Data Protection Act. Trial personnel will obtain informed consent from all
participants prior to inclusion (see Additional file 3). All
patients must agree to participate voluntarily and will be
free to withdraw from the study at any time. Multiple strategies will be employed to reduce attri-
tion, including an accurate recruitment, a structured and
time-limited protocol, the inclusion of a run-in period,
the limitation of the burden and inconvenience of data
collection on the participants and the development of a
trusting and collaborative relationship between research
units and participants. If participants do not attend a
scheduled appointment, a maximum of three telephone
calls will be made and one email sent prior to withdraw-
ing the participant from the study. If a participant wishes
to withdraw from the study intervention, the reason for The study has received ethical approval by the Tus-
cany Regional Ethics Committee (REC) of the University
Hospital of Careggi under the number SPE 15.054. REC
approval included the trial protocol, information sheet
and consent form, questionnaires, interviews, any other
written
information
that
will
be
provided
to
the Sofi et al. Trials (2016) 17:233 Page 7 of 8 participants and any advertisements that will be used
during the study. The trial is registered at the clinical
trial registration (ClinicalTrials.gov: NCT02641834, date
of registration: 29 December 2015) in accordance with
the International Committee of Medical Journal Editors
(ICMJE) requirements. Additional files Any amendments to the protocol and information pro-
vided to participants will be submitted to the REC for ap-
proval prior to implementation. Substantial amendments
may only be implemented after written REC approval has
been obtained, whereas non-substantial amendments can
be implemented without written approval from the REC. The Chief Investigator will have to ensure that the partici-
pant’s privacy is maintained. Data and source documents
will be stored in such a way that they can be accessed at a
later date for the purposes of monitoring or inspection by
the REC. At the end of the study, participants will be able
to request a copy of the results of the study from the Chief
Investigator. Additional file 1: SPIRIT Checklist. (DOC 120 kb)
Additional file 2: SPIRIT time schedule. (PDF 35 kb)
Additional file 3: Informed consent form. (DOC 220 kb) Additional file 1: SPIRIT Checklist. (DOC 120 kb)
Additional file 2: SPIRIT time schedule. (PDF 35 kb) Additional file 3: Informed consent form. (DOC 220 kb) Abbreviations
b d BMI: body mass index; HbA1c: glycated haemoglobin; HDL: high-density
lipoprotein; hs-CRP: high-sensitivity C-reactive protein; IL-1ra: interleukin-1
receptor antagonist; IFN-γ: interferon gamma; IL-1β: interleukin-1 beta; IL-
2: interleukin-2; IL-4: interleukin-4; IL-6: interleukin-6; IL-8: interleukin-8; IL-
10: interleukin-10; IL-12: interleukin-12; IL-17: interleukin-17; IL-18: interleukin-
18; IP-10: IFN-γ-inducible protein 10; LDL: low-density lipoprotein; MCP-
1: monocyte chemoattractant protein-1; REC: Regional Ethics Committee;
TNF-α: tumor necrosis factor alpha; VEGF: vascular endothelial growth factor. Author details
1D
f 1Department of Experimental and Clinical Medicine, School of Human Health
Sciences, University of Florence, Largo Brambilla 3, 50134 Florence, Italy. 2Unit of Clinical Nutrition, Careggi University Hospital, Florence, Italy. 3Don
Carlo Gnocchi Foundation Italy, Onlus IRCCS, Florence, Italy. 4Unit of
Atherothrombotic Diseases, Careggi University Hospital, Florence, Italy. There are several beneficial nutrients that are abun-
dant in Mediterranean and vegetarian diets, such as
monounsaturated fatty acids and high amounts of fiber
and antioxidants; both diets also feature a low intake of
total and saturated fats. However, to date, no studies are
available that evaluate the effect of both diets in the
same group of subjects at different time points. The
comparison between vegetarian and Mediterranean diet-
ary patterns in terms of cardiovascular risk prevention
will be of paramount clinical significance for the general
population and will help to improve understanding of
the
possible
metabolic
mechanisms
underlying
the
health benefits associated with the adherence to either
diet on ameliorating the cardiovascular risk profile of
clinically healthy subjects. Sofi et al. Trials (2016) 17:233 Page 8 of 8 Sofi et al. Trials (2016) 17:233 4. Chahoud G, Aude W, Mehta JL. Dietary recommendation in prevention and
treatment of coronary artery disease. Do we have the ideal diet yet? Am J
Cardiol. 2004;94:1260–7. 5. WHO. Prevention of cardiovascular disease. Guideline for assessment and
management of cardiovascular risk. 2007. 6. Rees K, Hartley L, Flowers N, Clarke A, Hooper L, Thorogood M, et al. ‘Mediterranean’ dietary pattern for the primary prevention of cardiovascu
disease. Cochrane Database Syst Rev. 2013;8:CD009825. 6. Rees K, Hartley L, Flowers N, Clarke A, Hooper L, Thorogood M, et al. ‘Mediterranean’ dietary pattern for the primary prevention of cardiovascular
disease. Cochrane Database Syst Rev. 2013;8:CD009825. 7. Ha V, de Souza RJ. “Fleshing out” the benefits of adopting a vegetarian diet. J Am Heart Assoc. 2015;4:e002654. 7. Ha V, de Souza RJ. “Fleshing out” the benefits of adopting a vegetarian diet. J Am Heart Assoc. 2015;4:e002654. 8. Keys A, Menotti A, Karvonen MJ, Aravanis C, Blackburn H, Buzina R, et al. The
diet and 15-year death rate in the Seven Countries Study. Am J Epidemiol. 1986;124:903–15. 8. Keys A, Menotti A, Karvonen MJ, Aravanis C, Blackburn H, Buzina R, et al. The
diet and 15-year death rate in the Seven Countries Study. Am J Epidemiol. 1986;124:903–15. 9. Sofi F, Macchi C, Abbate R, Gensini GF, Casini A. Mediterranean diet and
health status: an updated meta-analysis and a proposal for a literature-
based adherence score. Public Health Nutr. 2014;17:2769–82. 10. Dinu M, Abbate R, Gensini GF, Casini A, Sofi F. Vegetarian, vegan diets and
multiple health outcomes: a systematic review with meta-analysis of
observational studies. Crit Rev Food Sci Nutr. 2016. doi:10.1080/10408398. 2016.1138447. 11. European Guidelines on cardiovascular disease prevention in clinical
practice (version 2012)’ The Fifth Joint Task Force of the European Society
of Cardiology and Other Societies on Cardiovascular Disease Prevention in
Clinical Practice (constituted by representatives of nine societies and by
invited experts) * Developed with the special contribution of the European
Association for Cardiovascular Prevention & Rehabilitation (EACPR). Eur
Heart J. 2012;33:1635–1701. 12. Mishra S, Xu J, Agarwal U, Gonzales J, Levin S, Barnard ND. A multicenter
randomized controlled trial of a plant-based nutrition program to reduce
body weight and cardiovascular risk in the corporate setting: the GEICO
study. Eur J Clin Nutr. 2013;67:718–24. 13. Abete I, Romaguera D, Vieira AR, Lopez De Munain A, Norat T. References
GBD 1. GBD 2013 Risk Factors Collaborators. Global, regional, and national
comparative risk assessment of 79 behavioural, environmental and
occupational, and metabolic risks or clusters of risks in 188 countries, 1990-
2013: a systematic analysis for the Global Burden of Disease Study 2013. Lancet. 2015;386:2287–323. 2. Oliveira GBF, Avezum A, Roever L. Cardiovascular disease burden: evolving
knowledge of risk factors in myocardial infarction and stroke through
population-based research and perspectives in global prevention. Front
Cardiovasc Med. 2015;2:32. 2. Oliveira GBF, Avezum A, Roever L. Cardiovascular disease burden: evolving
knowledge of risk factors in myocardial infarction and stroke through
population-based research and perspectives in global prevention. Front
Cardiovasc Med. 2015;2:32. 3. Jacobs DR, Tapsell LC. Food, not nutrients, is the fundamental unit in
nutrition. Nutr Rev. 2007;65:439–50. 3. Jacobs DR, Tapsell LC. Food, not nutrients, is the fundamental unit in
nutrition. Nutr Rev. 2007;65:439–50. Page 8 of 8 Sofi et al. Trials (2016) 17:233 Association
between total, processed, red and white meat consumption and all-cause,
CVD and IHD mortality: a meta-analysis of cohort studies. Br J Nutr. 2014;112:762–75. 14. Lippi G, Mattiuzzi C, Cervellin G. Meat consumption and cancer risk: a critical
review of published meta-analyses. Crit Rev Oncol Hematol. 2016;97:1–14. 15. Kim Y, Keogh J, Clifton P. A review of potential metabolic etiologies of the
observed association between red meat consumption and development of
type 2 diabetes mellitus. Metabolism. 2015;64:768–79. 16. Wang X, Lin X, Ouyang YY, Liu J, Zhao G, Pan A, et al. Red and processed
meat consumption and mortality: dose-response meta-analysis of
prospective cohort studies. Public Health Nutr. 2015;6:1–13. 17. Leitzmann C. Vegetarian nutrition: past, present, future. Am J Clin Nutr. 2014;100:496S–502S. 18. De Backer CJ, Hudders L. From meatless Mondays to meatless Sundays:
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Leitzmann C. Vegetarian nutrition: past, present, future. Am J Clin Nutr.
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MULTIPLICATION OF Cattley guava BY DIFFERENT TECHNIQUES AND VARIABILITY AMONG GENOTYPES IN VIGOR AND ROOTING
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Cerne
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cc-by
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CERNE CERNE CERNE Marlon Altoé Biazatti1a+, Claudia Sales Marinho2a, Mariana Barreto de Souza Arantes1b,
Denilson de Oliveira Guilherme3 Marlon Altoé Biazatti1a+, Claudia Sales Marinho2a, Mariana Barreto de Souza Arantes1b,
Denilson de Oliveira Guilherme3 379
1 Municipal Secretary of Agriculture and Fisheries Development, Espirito Santo, Brazil - ORCID: 0000-0001-6282-
8661
2 Northern Fluminense State University Darcy Ribeiro, Campos dos Goytacazes, Rio de Janeiro, Brazil - ORCID:
0000-0001-6636-6468a, 0000-0001-9755-0671b
3 Dom Bosco Catholic University, Campo Grande, Mato Grosso do Sul , Brazil - ORCID: 0000-0001-6006-6966 MULTIPLICATION OF Cattley guava BY DIFFERENT TECHNIQUES AND
VARIABILITY AMONG GENOTYPES IN VIGOR AND ROOTING BIAZATTI, M. A, MARINHO, C. S, ARANTES, M. B. S, GUILHERME, D. O. Multiplication
of Cattley guava by different techniques and variability among genotypes in vigor and
rooting . CERNE, v. 24, n. 4, p. 379-386, 2018. Herbaceous cuttings of Psidium. cattleyanum from the fi eld do not take root. Cuttings of Psidium. cattleyanum resist at temperatures with averages around 39.3 ºC. There is genetic variability justifying the selection of cattley guava genotypes. Mini-cuttings make better rooting, therefore with high variability between genotypes Cuttings of Psidium. cattleyanum resist at temperatures with averages around 39.3 ºC. There is genetic variability justifying the selection of cattley guava genotypes. INTRODUCTION Rooting potential of herbaceous, semi-hardwood
and mini-cuttings Brazilian guava and cattley guava (Psidium sp.) are
native plant species of South America and are widespread
throughout the main biomes of Brazil. Fruits of some
species are consumed by wild animals and extracted
by local human populations (Franzon et al., 2009). The confirmation that these fruits possess beneficial
substances (Hister et al., 2017) has generated a demand
for consumption and the establishment of orchards,
which has stimulated interest in the propagation of these
plants. Research has also found that some cattley guava
genotypes show promise for improving rootstocks or
commercial canopies of guavas, since some genotypes of
P. cattleyanum, P. friedrichsthalianun and P. guineense were
identified as resistant to the galling nematode Meloidogyne
enterolobii, which causes a disease with serious impacts
on guava culture (Almeida et al., 2009; Miranda et al.,
2012; Costa et al., 2012; Bizatti et al., 2016). Plants originated from seed propagation of two
accessions of P. cattleyanum (115 and 117) determined to
be resistant to M. enterolobii by Miranda et al. (2012) and
Biazatti et al. (2016). Some plants were cultivated under
field conditions (for supplying herbaceous and semi-
hardwood cuttings), while the remainder were used to
produce mini-stumps (for supplying mini-cuttings) and
kept in greenhouse under 50% polypropylene screens
(Sombrite®). Field plants and mini-stumps were both
sown in March 2009 and transplanted in January 2011. At
the time of the installation of the experiments, the plants
in the field and in greenhouse were already producing
flowers and were about 22 months old. The
experimental
design
was
completely
randomized in a factorial scheme with the treatments
being different propagule or propagation techniques
(herbaceous and semi-hardwood cuttings from mother
plants cultivated in the field and by mini-cuttings), with
five repetitions and six propagules per plot. According to Franzon et al. (2009), the most widely
used propagation method for species of cattley guava is by
seed, which results in great genetic variability. Therefore,
vegetative propagation of these plants is desirable for the
selection and fixation of characteristics. However, cloning
adult plants has low rooting rate for cuttings (Schwengber
et al., 2000), which makes it difficult to select and fix
characteristics observed in the field. The mini-stumps were cultivated in 5L plastic pots
filled with a commercial Pinus sp. bark-based substrate. INTRODUCTION The mini-stumps were fertilized with 7.6 g of urea,
24.7 g of simple superphosphate and 2.8 g of potassium
chloride per pot, divided among three applications at
14-day intervals 14-day intervals. The mini-stumps also
received leaf fertilization with zinc sulphate (1 g.L-1),
manganese sulphate (1.5 g.L-1), boric acid (0.5 g.L-1) and
urea (1.5 g.L-1) ten days after the last fertilization (Altoé et
al., 2011). About ten days after this fertilization the plants
were pruned, leaving each mini-stump with three to four
pairs of leaves. The mini-cuttings used for rooting were
prepared from new sprouts emitted 30 days after pruning. The plants cultivated in the field were approximately 1.5
m of high and sprouts were collected from the median
region between the top of the crown and 50 cm above
ground level. The plants had half their crowns pruned at
about ten days after fertilization, leaving them with four
to five pairs of leaves; the other half of the crown was left
un-pruned so as to allow the removal of semi-hardwood
and herbaceous cuttings from the same plant. In the juvenile stage, however, the mini-cutting
technique has been shown to achieve high rooting
percentages. This technique can be used to keep clonal
mini-gardens of guava and cattley guava in protected
nurseries. These plants can be maintained in containers
and, after pruning the apices, emit sprouts that are
collected at regular intervals and staked in a greenhouse,
thus giving rise to new plants (Marinho et al., 2009; Altoé
et al., 2011). The mini-cutting technique has advantages
over conventional techniques of using herbaceous
cuttings, including: dispensing with the clonal field garden;
greater ease in pest and disease control; greater ease of
rooting propagules (mini-cuttings); and reduced time for
the formation of new plants (Wendling and Dutra, 2008). The objectives of this work were to rescue adult
plants of Psidium cattleyanum by herbaceous and semi-
hardwood cuttings, establish clonal mini-gardens and select
genotypes of cattley guava with greater rooting potential
and vigor when multiplied by the mini-cutting technique. Trees
were
fertilized
according
to
recommendations for planting ‘Paluma’ guava (Natale
et al., 1996). Chemical analysis of soil samples from the
experimental area showed the following characteristics
between 0-20 cm deep: pH 5.5; 141 mg.dm-3 K; 11
mg.dm-3 P; 2 cmolc.dm-3 Ca; 1.3 cmolc.dm-3 Mg; 4.2 cmolc. dm-3 H+Al; absence of Al; and 3.7 cmolc.dm-3 SB. Each MULTIPLICATION OF CATTLEY GUAVA BY DIFFERENT TECHNIQUES AND VARIABILITY AMONG GENOTYPES IN
VIGOR AND ROOTING CERNE BIAZATTI et al. ABSTRACT Cattley guava (Psidium catteyanum Sabine) is a widespread native plant species of South
America and constitutes important genetic resources for the improvement of guava
trees. Fruits of these species are consumed by wild animals and extracted by local human
populations. However, the vegetative propagation of adult plants, which is necessary for
fi xing desired characteristics, has been ineffi cient. The objective of this work was to evaluate
the rescue of adult plants of P. cattleyanum by herbaceous and semi-hardwood cuttings for
the establishment of clonal mini-gardens and to evaluate the rooting potential of mini-
cuttings of different genotypes. The experimental design was completely randomized
in a factorial scheme with the treatments being different propagule or propagation
techniques (herbaceous and semi-hardwood cuttings from mother plants cultivated in
the fi eld and by mini-cuttings), with fi ve repetitions and six propagules per plot. The
potential for multiplication by the mini-cutting technique and plant vigor were evaluated
for 20 genotypes of cattley guava during three seasons of the year (autumn, winter and
summer). The use of semi-hardwood cuttings is feasible for the rescue of adult plants and
the establishment of clonal mini-gardens. The mini-cutting technique provided the highest
rooting percentage, and was most effi cient in summer. The genotypes evaluated varied in
rooting percentage and plant vigor. 379 MULTIPLICATION OF CATTLEY GUAVA BY DIFFERENT TECHNIQUES AND VARIABILITY AMONG GENOTYPES IN
VIGOR AND ROOTING MATERIAL AND METHODS Three experiments were performed in a
greenhouse under polypropylene screens in Campos dos
Goytacazes, municipality of Rio de Janeiro State, Brazil
(21º 48’S, 41º 20’W). BIAZATTI et al. 380 MULTIPLICATION OF CATTLEY GUAVA BY DIFFERENT TECHNIQUES AND VARIABILITY AMONG GENOTYPES IN
VIGOR AND ROOTING CERNE of the plants grown in this soil received 400 grams of
nitrogen, 100 grams of phosphorus and 80 grams of
potassium. Fertilization with N and K was divided among
three applications during the rainy season. The fertilizers
were applied in the projection of the canopy at 0.25 m,
in a radius of 0.5 m from the plant trunk. out. In the first, eleven genotypes from accession 115
were evaluated during three seasons of staking (autumn,
winter and summer), with four replicates with each
plot composed of five mini-cuttings. In the second
experiment, nine genotypes from accession 117 were
evaluated during two seasons of staking (autumn and
summer), with four replicates and each plot composed
of five mini-cuttings per genotype. The experimental
design was completely randomized with the treatments
consisting of genotypes, four replicates and five mini-
cuttings per plot. The data of each seasons of staking
were submitted to joint experimental analysis, with each
season being considered an environment. Thirty days after pruning, the herbaceous cuttings
used for rooting were prepared from the new sprouts
emitted. Semi-hardwood cuttings were removed from
the sprouts of previous growth. The plants of the
different forms of cultivation (protected or in the field),
had their respective herbaceous, semi-hardwood and
mini-cuttings prepared, staked and evaluated for survival,
callus formation and rooting capacity. The mini-stumps were fertilized and pruned
according to the methodology previously described. The
mini-cuttings from accession 115 had a length of 3.5 to
5.5 cm and diameters ranging from 1.3 to 2.0 mm. On
the other hand, the mini-cuttings from accession 117 had
lengths varying between 4.5 and 6.0 cm and diameters
between 1.7 and 2.5 mm. The herbaceous, semi-hardwood and mini-
cuttings were prepared with two pairs of leaves, from
which the basal leaf pair was removed and the apical pair
had their limb reduced by half. The mini-cuttings had lengths ranging from 3.5
to 6.0 cm, and diameters of 1.3 to 2.5 mm. The semi-
hardwood cuttings had lengths ranging from 4.5 to 7.5
cm and diameters of 2.5 to 3.5 mm. Vigor of young plants from rooted mini-cuttings of
different genotypes of Psidium cattleyanum This experiment used mini-stumps formed from
seeds from accessions 115 and 117, and grown in a
greenhouse. The experimental design was completely
randomized, with the treatments consisting of eleven
genotypes (ten from accession 115 and one from
accession 117), with six replicates and one plant per plot. The data obtained were submitted to analysis of
variance with the means of treatments being compared
by the Duncan test at p<0.05. The plantlets from rooted mini-cuttings were
transplanted in February 2012 into 500 mL plastic bags filled
with Basaplant® substrate where they remained for 75 days. After this period they were transplanted into 3.8 L conical
pots filled Basaplant® substrate. The treatments received
fertilization at the dosage of 6 g.L-1 of simple superphosphate,
30 g.L-1 of lime and 6.6 g.L-1 of Osmocote® slow-release
fertilizer with a 14-14-14 formulation and mean release
time predicted for three months at the mean temperature
of 24 o C. BIAZATTI et al. MATERIAL AND METHODS The herbaceous
cuttings had lengths ranging from 3.5 to 5.5 cm and
diameters of 1.5 to 3.5 mm, respectively. Staking of mini-cuttings was carried out in
autumn, winter and summer of 2011, following the same
procedures described previously. The survival (characterized by the maintenance
of green-colored leaves), percentage of callus formation
and percentage of rooting of the mini-cuttings were
evaluated. A mini-cutting was considered rooted if the
size of the root was greater than one centimeter. Staking of the cattley guava was performed
between 6 and 9h. The three types of cuttings were
placed to be rooted in 50 cm3 tubs filled with Basaplant®
substrate in a chamber under 60% polypropylene screens
(Sombrite®) with intermittent misting by Fogger® micro-
nebulizers with a flow rate of 7 L.h-1 under pressure of 4.0
kgf.cm-2. Based on the procedures adopted by Altoé el
at. (2011), the environment was controlled by scheduled
sprays lasting 15 s at 10 min intervals for a period of
10 days. After this period, nocturnal nebulization was
suspended between 23 and 04 h; the cuttings were then
maintained in this regime for another 50 days. After this
period the plantlets were acclimated with irrigation by
a fine sieve irrigator. About 70 days after staking the
percentages of survival, callus formation and rooting
were evaluated. The data obtained were submitted to analysis of
variance with the means of treatments being compared
by the Scott Knott test at p<0.05. RESULTS AND DISCUSSION Rooting potential of herbaceous, semi-hardwood
and mini-cuttings Survival, callus formation and rooting were
influenced by the cutting type and accession origin. Herbaceous cuttings of the two accessions had
low survival percentages and no callus formation or
rooting (Table 1). Plants in the juvenile phase exhibited low
flowering and greater rooting capacity. Andrejow et
al. (2009) recommended the use of minicuttings from
mini-stumps of seminiferous origin for the commercial
propagation of Pinus taeda, since juvenility favored
rooting in this species. TABLE 1 Mean percentages for survival, callus formation and
rooting of herbaceous, semi-hardwood and mini-
cuttings of two accessions of Psidium cattleyanum
cultivated in the field and in a greenhouse. Type of
propagule
Accessions
Survival
Callus
Rooting
(%)
Herbaceous
115
10 c
0.0 d
0.0 c
Herbaceous
117
3.3 c
0.0 d
0.0 c
Mini-cuttings
115
83.3 a
73.3 a
56.7 a
Mini-cuttings
117
20.0 b
16.7 c
13.3 b
Semi-hardwood
115
83.3 a
26.7 b
6.7 bc
Semi-hardwood
117
20.0 b
13.3 c
3.3 c
CV (%)
17.6
28.1
51.0
Means followed by the same lowercase letter in a column constitute a statistically
homogenous group according to the Scott Knott test at p<0.05. However, there are different degrees of juvenility
within individual plant since the lower part of a tree trunk
has physiologically younger tissues because they have
experienced fewer cells divisions (Fachinello, 2005). Other environmental conditions, such as greater
shading by mother plants kept in nurseries (mini-stumps),
may have contributed to the results obtained. According
to Casagrande Junior et al. (1999), increased shade by
cattley guava mother plants causes an increase in starch
content and a reduction in the content of reducing
carbohydrates, soluble carbohydrates and phenolic
compounds, which are conditions that can positively
influence rooting in this species. Means followed by the same lowercase letter in a column constitute a statistically
homogenous group according to the Scott Knott test at p<0.05. Means followed by the same lowercase letter in a column constitute a statistically
homogenous group according to the Scott Knott test at p<0.05. Mini-cuttings of accession 115 had higher survival,
callus formation and rooting percentages than those of
accession 117. Rooting of the two accessions was higher
when they were propagated by mini-cuttings. The semi-
hardwood cuttings of accession 115 also had higher
survival and callus formation than those of accession 117,
however, the rooting percentage was equally low for
both accessions when propagated by this method. MULTIPLICATION OF CATTLEY GUAVA BY DIFFERENT TECHNIQUES AND VARIABILITY AMONG GENOTYPES IN
VIGOR AND ROOTING CERNE About 140 days after the last transplanting, the
diameter of the stem (mm) at a height of 20 cm above
the collar, plant height (cm) and number of leaf pairs
were evaluated. plants grown both in the field and in the greenhouse
had bloomed. Plants in the field had already produced
flowers and fruits while the mini-stumps grown in the
greenhouse, which experienced successive pruning, did
not produce more flowers, which may explain the low
rooting percentages obtained, mainly for the cuttings
from the field. The data obtained were submitted to analysis of
variance with the means of treatments being compared
by the Scott Knott test at p<0.05. Several factors may be related to the higher
rooting percentage for mini-cuttings in relation to semi-
hardwood cuttings. The age of sprouting and the degree
of juvenility of the tissues differed between the two. The
sprouts from the plants in the field were collected above
50 cm from the soil. On the other hand, the sprouts
emitted by the mini-stumps were emitted between
the collar of the plants and an average height of 15 cm,
characterizing a greater degree of juvenility in relation to
the propagules collected in the field. BIAZATTI et al. Survival, callus formation and rooting of mini-cuttings Survival, callus formation and rooting of mini-cuttings Plants obtained by seminiferous propagation
(22 months of age) were transplanted in January 2011
into 5-liter plastic pots filled with commercial Pinus sp. bark-based substrate, where they began to be grown
in mini-stumps systems. Two experiments were carried 381 MULTIPLICATION OF CATTLEY GUAVA BY DIFFERENT TECHNIQUES AND VARIABILITY AMONG GENOTYPES IN
VIGOR AND ROOTING Survival, callus formation and rooting of mini-cuttings U1
80 bB 80 bB 100 aA 80 bB 80 bB 100 aA 5 dB
7 cB 60 cA
U2
78 bB 90 aA 90 aA 78 bB 90 aA
85 bA 13 cB 5 cB 60 cA
U3
78 bB 84 aB 100 aA 78 bB 84 aA
75 cB
11cB 0 cC 30 eA
U4
78 bB 76 bB 95 Ba 78 bB 76 bB
95 aA 39 aB 24 aC 55 cA
U5
67 cB 47 dC 100 aA 67 cB 47 dC 100 aA 4 dC 27 aB 60 cA
U6
87 aB 87 aB 95 Ba 87 aA 87 aA
70 cB 25 bB 28 aB 40 dA
U8
88 aB 70 bB 90 bA 88 aA 70 bB 85 bA
4 dC 15 bB 60 cA
U9
62 cB 43dC 100 aA 62 cB 43 dC 95 aA 10 cB 12 bB 45 dA
U11
83 aB 75 bC 100 aA 83 aB 75 bC 100 aA 17 cC 33 aB 90 aA
U14
78 bB 25 eC 100 aA 78 bB 25 eC 96 aA 11Cb 17 bB 75 bA
U15
42 dC 57 eC 90 bA 42 dC 57 cB
90 aA 26bB 19 aB 40 dA
CV (%)
6.66
6.78
23.15
Means followed by the same lowercase letter in a column and the same upper
case letter in a row constitute a statistically homogenous group according to the
Scott-Knott test at p<0.05. Genotypes
Survival (%)
Callus (%)
Rooting (%)
May
Dec. May
Dec. May
Dec. MULTIPLICATION OF CATTLEY GUAVA BY DIFFERENT TECHNIQUES AND VARIABILITY AMONG GENOTYPES IN
VIGOR AND ROOTING MULTIPLICATION OF CATTLEY GUAVA BY DIFFERENT TECHNIQUES AND VARIABILITY AMONG GENOTYPES IN
VIGOR AND ROOTING 13.3 to 57% for accessions 117 and 115, respectively,
which can be attributed to differences in propagation
techniques and types of propagules, such as greater
exposure to light, higher lignification of tissues and less
juvenility of cuttings from the field, among other factors. Staking in summer resulted in mini-cutting
survival of between 90 and 100%. The worst index for
callus formation during this season was 70% for U6. A
rooting percentage of 90% was observed for U11 in
summer, making this genotype stand out in relation to
the others in terms of mini-cutting rooting. In general,
the best season, among those evaluated, for survival of
mini-cuttings was summer. Genotype U2 was the only
one to have its highest mini-cutting survival in more than
one season, with values of 90% for both winter and
summer (Table 2). According to the results of the present study, the
use of semi-hardwood propagules is recommended for
the rescue selections of P. cattleyanum that are under
field conditions. Although this type of cutting does not
produce results as satisfactory as mini-cuttings, its use
is necessary when the establishment of clonal mini-
gardens from materials selected under field conditions is
desired. After establishment of clonal mini-gardens, mini-
cuttings would be the most appropriate technique for P. cattleyanum multiplication. In the experiment performed with the genotypes
from accession 117 (C), winter could not be evaluated
because the mini-stumps did not produce a sufficient
number of mini-cuttings. Survival and callus formation for mini-cuttings
were higher for staking done in summer than autumn for
all the evaluated genotypes. This period was also more
favorable than autumn for rooting by the genotypes C5,
C9 and C15 (Table 3). Survival, callus formation and rooting of mini-cuttings Survival, callus formation and rooting of mini-cuttings The performance of each of the 11 genotypes
from accession 115 (U) was dependent on the season
in which the rooting was performed. The interaction
between genotype and season of rooting was significant
in relation to the survival of mini-cuttings. Among the factors that may have contributed to
the higher survival rates for mini-cuttings in summer are
physiological conditions and appropriate temperature,
humidity and management, as well as the genetic
potential of the material. For the autumn season, the genotypes with the
greatest mini-cutting survival were U6, U8 and U11. However, despite having a lower survival percentage than
these genotypes, genotype U4 stood out with 39% rooting
during this period. In winter, the genotypes with the highest
survival rate were U2, U3 and U6, while those with the
highest rooting were U4, U5, U6 and U11 (Table 2). Altoé et al. (2011) evaluated the rooting potential
of P. cattleyanum mini-cuttings from mini-stumps formed
by seminiferous propagation. At 226 days after sowing,
stem coppicing was performed for the formation of mini-
stumps. Mini-cuttings were collected from 49 to 229 TABLE 2 Mean percentages for survival, callus formation
and rooting of mini-cuttings of Psidium cattleyanum
(accession 115) in autumn (Aut), winter (Win) and
summer (Sum) staking seasons. TABLE 3 Mean percentages for survival, callus formation
and rooting of mini-cuttings of Psidium cattleyanum
(accession 115) in autumn (Aut), winter (Win) and
summer (Sum) staking seasons. Genotypes
Survival (%)
Callus (%)
Rooting (%)
Aut. Win. Sum. Aut. Win. Sum. Aut. Win. Sum. BIAZATTI et al. RESULTS AND DISCUSSION The degree of lignification of the cuttings also
interferes with their rooting. For vegetative propagation
of Vochysia bifalcata, the use of epicormic shoots induced
by stem coppicing provided better adventitious rooting
than stem bending, which was associated with a lower
degree of lignification (Rickly et al., 2015). There was no rooting of the herbaceous cuttings
of the accessions of Psidium cattleyanum evaluated in the
present work. Rodriguez et al. (2016) obtained 98%
rooting for herbaceous cuttings of juvenile plants of P. cattleyanum, while Altoé et al. (2011) obtained above
90% rooting for mini-cuttings of the same. In the present work, low rooting percentages
were obtained for semi-hardwood cuttings (between
3.3 and 6.7%), which were similar to the 5.2% rooting
percentage reported by Schwengber et al. (2000)
for semi-hardwood cuttings of P. cattleyanum in an
intermittent nebulization system for a period of 80 days. The cattley guava plants of the present study had
passed the juvenile period, since at 22 months of age Mini-cuttings had a higher rooting percentage than
semi-hardwood cuttings, with percentages varying from 382 BIAZATTI et al. Survival, callus formation and rooting of mini-cuttings C2
42cB
83 aA
32dB
83 aA
0 bA
8 bA
C5
68 aB
100 aA
68 bB
100 aA
5 bB
33 aA
C6
79 aB
100 aA
79 aB
100 aA 25 aA 15 bA
C7
74 aB
92 aA
74 aB
92 aA
20 aA 25 aA
C8
62 bB
92 aA
62 bB
92 aA
16 aA 25 aA
C9
57 bB
92 aA
50 cB
92 aA
6 bB
25 aA
C11
79 aB
92 aA
79 aB
92 aA
15 aA 16 bA
C14
63 bB
92 aA
63 bB
92 aA
5 bA
8 bA
C15
79 aB
93 aA
79 aB
93 aA
10 bB 35 aA
CV (%)
10.06
10.18
51.42
Means followed by the same lower case letter in a column and same upper case
letter in a row constitute a statistically homogenous group according to the Scott-
Knott test at p<0.05. 383 MULTIPLICATION OF CATTLEY GUAVA BY DIFFERENT TECHNIQUES AND VARIABILITY AMONG GENOTYPES IN
VIGOR AND ROOTING CERNE propagation period, the degree of lignification of the
cuttings and the local climatic conditions. While warmer
temperatures have been shown favorable for rooting
by Psidium sp., this has not been necessarily verified
for other plants. Brondani et al. (2010) observed that
rooting of mini-cuttings of genotypes from Eucalyptus
hybrid varied according to genotype and were very
sensitive to seasonality and temperature oscillations. The best rooting rates were recorded in the colder
seasons, when they ranged from 19.6% to 56.2%, and
the lowest in the hottest seasons, when they ranged
4.62% to 8.50%. In the present work, the highest
rooting indexes for genotypes from accession 115 were
obtained in the summer and ranged from 30 to 90%,
while in winter it ranged from 0 to 33%. days after stem coppicing and were considered juveniles. These authors obtained survival rates of between 92%
and 100% in summer. On the other hand, Brondani
et al. (2010) found that mini-cuttings of Eucalyptus sp. experienced their lowest survival during the spring and
summer, when the highest temperatures were recorded. Air relative humidity always stayed above 80% in
all three experimental periods, while temperature varied
according to the time of the year, highlighting staking
done in summer during which maximum temperatures
reached 42 ºC and minimum temperatures were always
above 20 ºC. Thus, mini-cuttings of P. cattleyanum can be
considered able to survive high temperatures. BIAZATTI et al. Survival, callus formation and rooting of mini-cuttings High survival rates in conditions of high temperature,
as seen for mini-cuttings of P. cattleyanum, it is not very
common, since special care must be taken with herbaceous
and semi-hardwood cuttings due to increased transpiration
rate, which can inducing wilting (Fachinello et al., 2005). However, our results indicate that the maintenance of
moisture by nebulization was efficient and did not allow
dehydration and death of cuttings. Some of the genotypes had their low rooting
indexes in more than one season, which was the case for
genotypes U9 and U3 from mini-cuttings of accession 115,
and genotype C9 from mini-cuttings of accession 117. Some genotypes also had higher rooting in more than one
season, such as U11 in winter and summer, U4 in autumn
and winter, and C7 and C8 in autumn and summer. This
shows the variability for rooting among the genotypes
of accessions 115 and 117, and demonstrates the need
to select individuals with greater rooting potential for
clonal propagation. The present work also confirms that
P. cattleyanum can have satisfactory rooting percentages
when propagated by the mini-cutting technique. High temperatures, however, may be beneficial
for rooting for some species. Cuttings of guava plants,
for example, have higher rooting in seasons of higher
temperatures (Tavares et al., 1995). During the rooting
process, high temperatures related to light exposure
favor the metabolism of photoassimilates, which are
required as carbohydrate reserves in root formation
(Fachinello et al., 2005). Vigor of young plants from rooted mini-cuttings of
different genotypes of Psidium cattleyanum Vigor of young plants from rooted mini-cuttings of
different genotypes of Psidium cattleyanum The staking performed in summer was, in
general, the most beneficial for callus formation, which
is a further indication that the environmental conditions
of this period were favorable for rooting of P. cattleyanum
by the mini-cutting technique. According Fachinello et
al. (2005), callus formation usually occurs in conditions
favorable to rooting, which is characterized as an irregular
mass of parenchymal cells in varied states of lignification. The genotypes U15, U14, U11, U12, and U7 of
accession 115 and the entire set of genotypes of 117 (C)
had the highest plant heights. Regarding the diameter of
the stem at 20 cm from the collar, the plants coming from
accession 117 stood out in relation to the genotypes
of accession 115. The plants of accession 117 and the
genotypes U5 and U7 of accession 115 had fewer pairs
of leaves when compared to the other genotypes of
accession 115 (Table 4). The fact that staking in summer had the highest
mini-cutting rooting capacity may be associated with
the higher temperatures, which averaged around 39.3
ºC, 22.8 ºC and 28.7 ºC during the summer, autumn
and winter, respectively. Zietemann and Roberto (2007)
found that the best time to collect and prepare cuttings
of Paluma and Século XXI cultivars was in the summer. Furthermore, Stuepp et al. (2017) also observed that
summer was the best season for rooting by cuttings of
Melaleuca alternifolia. Although they had fewer pairs of leaves in relation
to the other genotypes, plants of accession 117 had larger
leaves, which was a visually prominent characteristic of
this accession. Some genotypes stood out in more than one vigor
characteristic, specifically the genotypes U15, U14, U11
and U12 in relation to height and the number of leaf
pairs, and accession 117 in relation to the stem diameter
at 20 cm from the collar, at 140 days after staking. According to Fachinello et al. (2005), the optimal
temperature for rooting by cuttings is quite variable,
and is dependent on the peculiarities of the plants, the Altoé et al. (2011) reported differences among P. guineense, P. cattleyanum and P. guajava, with greater vigor 384 MULTIPLICATION OF CATTLEY GUAVA BY DIFFERENT TECHNIQUES AND VARIABILITY AMONG GENOTYPES IN
VIGOR AND ROOTING CERNE ALTOÉ, J. A.; MARINHO, C. S.; COSTA TERRA, M. I. DA;
BARROSO, D. G. Propagação de araçazeiro e goiabeira
via miniestaquia de material juvenil. Bragantia, Campinas,
v.70, n.2, p.312-318, 2011. Vigor of young plants from rooted mini-cuttings of
different genotypes of Psidium cattleyanum p
y
140 days after transplanting of rooted and
acclimated mini-cuttings. Genotypes
Height
(cm)
Diameter
(mm)
Number of leaf
pairs
U15
136.50 a
5.30 b
36.67 a
U4
124.33 b
4.82 b
35.33 a
U9
124.83 b
5.06 b
34.50 a
U6
127.00 b
4.95 b
34.33 a
U14
134.83 a
5.31 b
37.17 a
U11
131.17 a
5.43 b
35.83 a
U13
129.50 b
5.06 b
35.00 a
U12
136.33 a
5.11 b
36.67 a
U7
135.50 a
5.32 b
33.50 b
U5
117.50 b
4.91 b
31.00 b
Accession 117
139.17 a
6.98 a
31.33 b
CV (%)
6.89
7.34
8.37
Means followed by the same lower case letter in a column constitute a statistically
homogenous group according to the Scott-Knott test at p<0.05. BIZATTI, M. A.; SOUZA, R.M; MARINHO, C.S.; GUILHERME,
D.O; CAMPOS, G.S.; GOMES, V.M.; BREMENKAMP, C.A. Resistência de genótipos de araçazeiros a Meloidogyne
enterolobii. Ciência Rural, Santa Maria, v.46, n.3, p.418-
420, 2016. BRONDANI, G.E.; WENDLING, I.; GROSSI, F.; DUTRA,
L.F.; ARAUJO, M.A. Miniestaquia de Eucalyptus benthamii
x Eucalyptus dunnii: (II) sobrevivência e enraizamento
de miniestacas em função das coletas e estações do ano. Ciência Florestal, v.20, n.3, p.453-465,2010. CASAGRANDE JUNIOR, J. G., BIANCHI, V. J., STRELOW, E. Z., BACARIN, M. A. E FACHINELLO, J. C. Influência do
sombreamento sobre os teores de carboidratos e fenóis em
estacas semilenhosas de araçazeiro. Pesquisa Agropecuária
Brasileira, v. 34, n. 12, p. 2219-2223, 1999. Means followed by the same lower case letter in a column constitute a statistically
homogenous group according to the Scott-Knott test at p<0.05. COSTA, S.R., SANTOS, C.A.F., CASTRO, J.M.C. Assessing Psidium
guajava × P. guineense Hybrids Tolerance to Meloidogyne
enterolobii. Acta Horticulturae, p.59-66, 2012. of P. guava in relation to cattley guava for plants from mini-
cuttings. For P. guineense and P. cattleyanum, the mean
diameter of the stem reached 7 mm at 140 days after
transplanting, performed after rooting and acclimation of
mini-cutting sprouts, while for P. guajava the diameter of
the stem reached 8 mm 110 days after transplanting. FACHINELLO, J.C.; HOFFMANN, A.; NACHTIGAL, J.C.;
KERSTEN, E.; HOFFMANN, A.; NACHTIGAL, J.C.;
KERSTEN, E. Propagação de plantas frutíferas. Brasília:
Embrapa Informacão Tecnológica, 2005. 221p. FRANZON, R.C., CAMPOS, L.Z. DE O.; PROENÇA, C.E.B.,
SOUSA-SILVA, J.C. Araçás do gênero Psidium: principais
espécies, ocorrências, descrição e usos. Planaltina, DF:
Embrapa Cerrados, 2009. 48p. CONCLUSIONS Herbaceous cuttings of Psidium. cattleyanum
from the field do not take root, making it necessary to
use semi-hardwood cuttings for the rescue and initial
establishment of clonal mini-gardens. Mini-cuttings root
better, with high variability among genotypes in the
rooting potential as well as plant vigor. The best season
for collecting mini-cuttings is summer, when higher
rooting potentials can be achieved. MARINHO, C. S.; MILHEM, L. M. A.; ALTOÉ, J. A. BARROSO,
D. G. ; POMMER, C. V. Propagação da goiabeira por
miniestaquia. Revista Brasileira de Fruticultura, v. 31,
n. 2, p. 607-611, 2009. MIRANDA, G. B.; SOUZA, R. M. DE; GOMES, V. M.;
FERREIRA, T. DE F.; ALMEIDA, A. M. Avaliação de acessos
de Psidium sp. quanto à resistência a Meloidogyne enterolobii. Bragantia. Campinas, v.71, n.1, p. 52-58, 2012 Vigor of young plants from rooted mini-cuttings of
different genotypes of Psidium cattleyanum The differences in height, diameter and number of
leaf pairs found among the different genotypes demonstrate
the genetic variability of P. cattleyanum, and thus justifying
its use for the selection of superior genotypes. HISTER, C.A.L.; BOLIGON, A.A.; LAUGHINGHOUSE, H.D.;
TEDESCO, S.B. Determination of phenolic compounds and
assessment of the genotoxic and proliferative potential of
Psidium cattleianum Sabine (Myrtaceae) fruits. Caryologia,
v.70, p. 350-356, 2017. BIAZATTI et al. REFERENCES NATALE, W., COUTINHO, E.L.M., BOARETTO, A.E.,
PEREIRA, F.M. Goiabeira: calagem e adubação. Jaboticabal. FUNEP, 1996. 22p. ANDREJOW, G.M.P.; HIGA, A.R. Potencial de enraizamento de
miniestacas de Pinus taeda L. provenientes de brotação apical
de mudas jovens. Floresta, v.39, n.4, p.897-903, 2009. RICKLI, H. C. ; BONA, C.; WENDLING, I.; KOEHLER,
H. S.; ZUFFELLATO-RIBAS, K.C. Origem de brotações
epicórmicas
e
aplicação
de
ácido
indolilbutírico
no enraizamento de estacas de Vochysia bifalcata
Warm. Ciência Florestal, v. 25, n. 2, p. 385-393 , 2015. ALMEIDA, E. J. ; SANTOS, J. M.; MARTINS, A.B.G. Resistência
de goiabeiras e araçazeiros a Meloidogyne mayaguensis. Pesquisa Agropecuária Brasileira, Brasília, v.44, n. 4, p. 421-423, 2009. BIAZATTI et al. 385 MULTIPLICATION OF CATTLEY GUAVA BY DIFFERENT TECHNIQUES AND VARIABILITY AMONG GENOTYPES IN
VIGOR AND ROOTING TAVARES , M. S.W.; KERSTEN, E. ; SIEWERDT, F. Efeitos do
ácido indolbutírico e da época de coleta no enraizamento
de estacas de goiabeira (Psidium guajava L.). Scientia
agrícola, Piracicaba, v.52, n.2, p.310-317, 1995. RODRIGUEZ, E.A.G.; PADRELLA, E.A.; SOUZA, P.V.D.;
SHAFER, G. Propagação assexuada de araçazeiro (Psidium
cattleianum Sabine) por estacas de folhas e ramos jovens. Revista Árvore, v. 40, n.4, p.707-714, 2016. SCHWENGBER, J.E.; DUTRA, L.; KERSTEN, E. Efeito do
sombreamento da planta matriz e do PVP no enraizamento
de estacas de ramos de araçazeiro (P. cattleyanum Sabine). Revista Brasileira de Agrociência, v.6, n.1, p.30-34, 2000. WENDLING, I.; DUTRA, L.F. Solução nutritiva para
condução
de
minicepas
de
erva-mate
(Ilex
paraguariensis St. Hil.). Colombo, Embrapa Florestas,
2008. 5p. STUEPP, C. A.; FRAGOSO, R. O. ; MONTEIRO, P. H. R.;
KRATZ, D. ; WENDLING, I. ; ZUFFELLATO-RIBAS, K. C. Use of renewable substrates for ex vitro production of
Melaleuca alternifolia cheel clonal plants by mini-cuttings
technique. Cerne, v. 23. n. 4, p. 395-402, 2017. ZIETEMANN, C.; ROBERTO, S. R. Efeito de diferentes
substratos e épocas de coleta no enraizamento de estacas
herbáceas de goiabeira, cvs. Paluma e Século XXI. Revista
Brasileira de Fruticultura, v. 29, n.1, p.31-36, 2007. 386 BIAZATTI et al.
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Mélanie Fradette
Commission scolaire Beauce-Etchemin
Développer la littératie des
apprenants grâce à
l’intégration des TIC
doi:10.18162/fp.2016.a97
C HRONIQUE • Milieu scolaire
L’intégration des technologies de l’information (TIC) en
éducation peut maintenant permettre à l’enseignant et aux
différents professionnels qui interviennent auprès des élèves
d’avoir accès aux mêmes commentaires métalinguistiques
(Gombert, 1990) de ceux-ci après l’enseignement systématique
de notions, de concepts ou de stratégies liés au développement
de la littératie.
Développer la littératie de l’ensemble des apprenants constitue un
incontournable du système scolaire au XXIe siècle. « La littératie
est l’aptitude à comprendre et à utiliser l’information écrite dans
les différents genres de textes proposés en vue d’accroitre les
compétences pour pouvoir acquérir de nouvelles connaissances,
résoudre des problèmes et former son sens critique » (Granger
et Dubé, 2014). Pour développer la littératie, avoir accès aux
connaissances déclaratives, conditionnelles et procédurales de
tous les élèves, et plus particulièrement des élèves en difficulté
d’apprentissage, devient un atout majeur pour les enseignants et
pour les professionnels.
Une exploration menée en 2015 auprès d’apprenants de 12 et
13 ans nous a permis de constater tout le potentiel de ce travail
partagé grâce à certains outils numériques en ligne. En effet,
dans le cadre d’une recherche menée dans notre milieu de
travail, nous avons utilisé une application de partage nommée
Explain everything qui a permis tant à l’enseignant, au conseiller
pédagogique et au chercheur d’avoir accès en même temps
aux différentes traces d’apprentissage de l’élève. Cette façon de
75 •
Formation et profession 24(2), 2016
CHRONIQUE
Développer la littératie des apprenants grâce à l’intégration des TIC
procéder a permis à l’équipe d’avoir accès aux commentaires métagraphiques de chacun des apprenants
concernés par l’essai, soit 44 élèves de la première secondaire.
Des applications telles qu’Explain everything permettent maintenant de consigner en ligne les
enregistrements audio et vidéo des élèves afin d’analyser ces mêmes données, analyse commune qui
améliorera la cohérence dans les interventions à différents niveaux. Par exemple, dans une école, cette
façon de procéder devrait permettre à l’enseignant, à l’enseignant-ressource et à l’orthopédagogue
d’intervenir plus efficacement et plus rapidement, en offrant une rétroaction ciblée en fonction des
conceptions erronées des apprenants en difficulté (Whitten, Esteves et Woodrow, 2012).
Quand plusieurs intervenants travaillent auprès du même apprenant sur le plan des apprentissages,
le partage des traces recueillies en classe permet à ceux-ci de connaitre immédiatement ce qui sera
à travailler lors de la prochaine rencontre avec l’élève concerné. Ce partage permet donc que tous les
intervenants travaillent à partir de la même trace plutôt que de dédoubler celle-ci. Cela permet aussi
aux intervenants de gagner du temps de concertation puisque tous ont accès à la même information en
simultané. Il en résulte donc un gain de temps, temps qui sera réinvesti auprès de l’apprenant.
Permettre à ces intervenants d’avoir accès aux commentaires métalinguistiques des élèves après
l’enseignement systématique de notions, de concepts ou de stratégies offre la possibilité à ceux-ci
d’intervenir plus efficacement en offrant une rétroaction ciblée en fonction des conceptions erronées
des apprenants. Nous savons qu’une rétroaction efficace constitue un facteur contribuant à la réussite
des apprentissages de l’élève (Hattie, 2009).
Il y a quelques années seulement, cette façon de procéder apparaissait inimaginable à cause du temps
exigé pour ce faire. Maintenant, grâce à l’intégration des TIC en éducation, cela devient possible
puisque les outils de consignation en ligne permettent de recueillir les enregistrements audio et vidéo
des apprenants et d’analyser ces données afin d’intervenir rapidement si certaines conceptions s’avèrent
erronées.
Comment procède-t-on?
En classe, tous les apprenants doivent réinvestir leur connaissance de ce qui a été enseigné par
rapport à une tâche proposée par l’enseignant, tâche réalisée à l’aide d’une application comme Explain
everything. Cette dernière permet à l’utilisateur d’annoter, d’animer et de narrer des explications et des
présentations. Celles-ci peuvent donc ensuite être partagées à un auditoire précis.
Dans le cadre de ce projet, l’auditoire est constitué des différents intervenants. Ce partage, sous forme
de vidéo, permet donc aux intervenants de suivre en collaboration l’évolution de la compréhension des
élèves ciblées. La régulation de toutes les interventions sera donc davantage concertée.
Cette nouvelle façon de faire change les pratiques des différents intervenants puisque toutes les
interventions sont traitées plus étroitement avec la planification des apprentissages de l’enseignant en
classe.
Formation et profession 24(2), 2016
•
76
Quels sont les principaux gains?
Le partage en ligne des commentaires métalinguistiques des apprenants entre les intervenants concernés
permet de suivre leur progression en temps réel et évite le dédoublement des traces demandées à
l’élève. Ces traces peuvent aussi être accessibles aux parents, leur permettant ainsi de contribuer à
l’apprentissage de leur enfant. Un gain de temps, tant pour l’élève que pour les différents intervenants,
devient également possible grâce à ce moyen d’intervention. En effet, nous mettons trop souvent de
côté le temps devant être alloué à la concertation, faute de disponibilités dans les différents horaires
des intervenants (Ministère de l’Éducation, 2003). Aussi, dans un contexte où l’orthopédagogue ne voit
l’élève qu’une fois toutes les deux semaines, cette façon de faire permet à celui-ci de cibler encore plus
efficacement ses interventions.
L’intégration des TIC en éducation est un vecteur de changement dans ce domaine. Les différents
outils (principalement les outils mobiles) nous permettent de travailler autrement afin que les
interventions des différents intervenants soient plus cohérentes aux yeux de l’apprenant, lui permettant
ainsi d’augmenter son niveau de littératie plus rapidement.
Références
Gombert, J.-É. (1990). Le développement métalinguistique. Paris : PUF.
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toute la différence. Repéré à
http://www.aqpf.qc.ca/contentDocuments/0BC6372B-7054-D219-67E4E83C82860C36.ppt
Hattie, J. (2009). Classement de Hattie : liste de facteurs pour la réussite scolaire. Repéré à
http://visible-learning.org/fr/john-hattie-classement-facteurs-reussite-apprentissage/
Ministère de l’Éducation. (2003). Les difficultés d’apprentissage à l’école : Cadre de référence pour guider l’intervention. Repéré à
http://www.education.gouv.qc.ca/fileadmin/site_web/documents/dpse/adaptation_serv_compl/19-7051.pdf
Whitten, É., Esteves, K. J. et Woodrow, A. (2012). La réponse à l’intervention : un modèle efficace de différenciation. Montréal,
QC : Chenelière Éducation.
Pour citer cet article
Fradette, M. (2016). Développer la littératie des apprenants grâce à l’intégration des TIC. Formation et profession 24(2), 7577. http://dx.doi.org/10.18162/fp.2016.a97
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Effect of a cover crop on the aphid incidence is not explained by increased top-down regulation
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To cite this version: Jeniffer K Alvarez-Baca, Xiomara Montealegre, Cécile Le Lann, Joan van Baaren, Blas Lavandero. Effect of a cover crop on the aphid incidence is not explained by increased top-down regulation. PeerJ,
2022, 10, pp.e13299. 10.7717/peerj.13299. hal-03690434 Effect of a cover crop on the aphid incidence is not
explained by increased top-down regulation
Jeniffer K Alvarez-Baca, Xiomara Montealegre, Cécile Le Lann, Joan van
Baaren, Blas Lavandero Distributed under a Creative Commons Attribution 4.0 International License HAL Id: hal-03690434
https://hal.science/hal-03690434v1
Submitted on 12 Apr 2023 L’archive ouverte pluridisciplinaire HAL, est
destinée au dépôt et à la diffusion de documents
scientifiques de niveau recherche, publiés ou non,
émanant des établissements d’enseignement et de
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archive for the deposit and dissemination of sci-
entific research documents, whether they are pub-
lished or not. The documents may come from
teaching and research institutions in France or
abroad, or from public or private research centers. Distributed under a Creative Commons Attribution 4.0 International License ABSTRACT Background. Cover crops can be used as a habitat management strategy to enhance the
natural enemies and their temporal synchronization with a target pest. We examined
the effect of winter oat intercropping within organic plum orchards on the natural
enemy abundance and seasonal dynamics on the biological control of plum aphids in
spring in Central Chile. Methods. We compared the incidence and abundance of natural enemies and aphid
pests from winter to the end of spring using two treatments: (1) plum trees with an
oat cover crop (OCC) and (2) plum trees without a cover crop but with spontaneous
vegetation (SV). We hypothesized that cover crops allow the development of winter
cereal aphids, promoting the early arrival of natural enemies in spring, resulting in an
earlier control of plum aphids. Results. Winter cereal aphids developed well on the OCC, and as a result, a lower
plum aphid incidence in spring was observed when compared to the SV. However,
the abundance of natural enemies and the parasitism rates cannot explain the positive
impacts of the oat cover crop on the aphid populations as there were no differences
between treatments. A potential effect of the oat due to chemical and/or physical stimuli
(bottom-up effects) could help to explain these results. Submitted 1 October 2021
Accepted 29 March 2022
Published 24 May 2022
Corresponding author
Blas Lavandero, blavandero@utalca.cl
Academic editor
Daniel Silva
Additional Information and
Declarations can be found on
page 17
DOI 10.7717/peerj.13299
Copyright
2022 Alvarez-Baca et al. Distributed under
Creative Commons CC-BY 4.0
OPEN ACCESS Submitted 1 October 2021
Accepted 29 March 2022
Published 24 May 2022
Corresponding author
Blas Lavandero, blavandero@utalca.cl
Academic editor
Daniel Silva
Additional Information and
Declarations can be found on
page 17
DOI 10.7717/peerj.13299 Subjects Agricultural Science, Ecology, Entomology, Plant Science, Zoology
Keywords Aphidius platensis, Myzus persicae, Brachycaudus helichrysi, Avena sativa, Prunus
domestica, Winter refuge, Cover crops, Aphids How to cite this article Alvarez-Baca JK, Montealegre X, Le Lann C, Van Baaren J, Lavandero B. 2022. Effect of a cover crop on the aphid
incidence is not explained by increased top-down regulation. PeerJ 10:e13299 http://doi.org/10.7717/peerj.13299 Effect of a cover crop on the aphid
incidence is not explained by increased
top-down regulation Jeniffer K. Alvarez-Baca1,2, Xiomara Montealegre2, Cécile Le Lann1, Joan Van
Baaren1 and Blas Lavandero2 Jeniffer K. Alvarez-Baca1,2, Xiomara Montealegre2, Cécile Le Lann1, Joan Van
Baaren1 and Blas Lavandero2 Jeniffer K. Alvarez-Baca1,2, Xiomara Montealegre2, Cécile Le Lann1, Joan Van
Baaren1 and Blas Lavandero2 1 CNRS, ECOBIO (écosystèmes, biodiversité, évolution)—UMR 6553, Université Rennes I, Rennes, Bretagne,
France 2 Laboratorio de Control Biológico, Universidad de Talca, Talca, Maule, Chile INTRODUCTION Important regulating ecosystem services such as natural pest control in agroecosystems
depend on high levels of biodiversity. Therefore, conservation practices such as those carried
out with conservation biological control can increase the effectiveness of pest control by the
utilization of natural enemies to reduce their mortality and provide alternative resources
through manipulation of the environment (Landis, Wratten & Gurr, 2000; Gurr et al.,
2017). Increased plant diversity enhances natural enemy survival and activity by providing
food sources (i.e., nectar, pollen and honeydew), overwintering shelter and/or alternative
prey/host species, which consequently could result in greater pest control (Landis, Wratten
& Gurr, 2000; Pickett, Roltsch & Corbett, 2004; Cardinale et al., 2009; Quijas, Schmid & Copyright
2022 Alvarez-Baca et al. Distributed under
Creative Commons CC-BY 4.0 Distributed under
Creative Commons CC-BY 4.0 Balvanera, 2010; Gurr et al., 2017; Gontijo, 2019). Higher natural enemy abundances are
expected in agroecosystems with a higher cultivated and spontaneous plant diversity than
in more simple agroecosystems (e.g., monocultures) (Rusch, Bommarco & Ekbom, 2016;
Begg et al., 2017; Perović et al., 2018). Increasing plant diversity can be achieved by different
means: (1) by using intercropping, which consists of cultivating two crops at the same time,
such as cereals and leguminous crops (Ben-Issa, Gomez & Gautier, 2017); (2) by adding a
ground cover crop in between cultivated trees in orchards (Silva et al., 2010); (3) by adding
flower strips within and around the fields (Balzan, Bocci & Moonen, 2016; Hatt et al., 2017);
and (4) by allowing the growth of spontaneous vegetation around the target crop plant
(Bugg & Waddington, 1994). For the three first cases, the added taxonomic plant diversity is
low, with one or a few plant species added, but plant selection is aimed at attracting specific
natural enemies that attack the target pest. In the latter case, the taxonomic plant diversity
is higher; however, the functional diversity may not be considered in terms of the specific
benefit of decreasing the target pest. Spontaneous vegetation has been shown to attract
natural enemies (Denys & Tscharntke, 2002). However, positive, neutral, and even negative
effects of increased plant diversity on natural enemy populations have been observed in
different agricultural systems (Poveda, Gómez & Martínez, 2008; Letourneau et al., 2009)
and are context-dependent (Thies & Tscharntke, 1999; Thomson & Hoffmann, 2013; Karp
et al., 2018). Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 INTRODUCTION Additionally, even when the abundance of natural enemies is enhanced, it
does not always translate into a greater pest control (Andow, 1991). y
g
p
Even if the spontaneous vegetation could have positive effects in some instances, it is
important to select the right plant diversity (functional diversity) rather than to just increase
taxonomic diversity (Gagic et al., 2015; Dainese et al., 2019). For instance, the addition of
plants may create reservoirs of pests (Blitzer et al., 2012; Paredes, Cayuela & Campos, 2013)
and/or enhance negative interactions among natural enemies such as intra/inter-guild
competition, predation (Irvin et al., 2006; Lundgren, Wyckhuys & Desneux, 2009; Blitzer et
al., 2012; Paredes, Cayuela & Campos, 2013; Gómez-Marco, Urbaneja & Tena, 2016) and
hyperparasitism (Van Nouhuys & Lei, 2004; Schooler, De Barro & Ives, 2011; Jeavons et al.,
2022). Primary parasitoids could be hyperparasitized by secondary parasitoids, and/or their
mummies could be consumed by generalist predators (Snyder & Ives, 2001), which could
reduce the strength of top-down control of pests (Sanders et al., 2011). Therefore, multiple
trophic levels need to be considered to improve biological conservation methods. Moreover,
studying multiple natural enemy guilds potentially participating in pest control together
(Jonsson et al., 2010; Tena et al., 2015) also appears to be crucial to understanding their
functional redundancy or complementary nature and may lead to management strategies
to reduce negative interactions (Irvin et al., 2006; Lundgren, Wyckhuys & Desneux, 2009;
Gómez-Marco, Urbaneja & Tena, 2016). The synchronization and temporal overlapping of pests and their natural enemies
are fundamental for the outcome of natural pest control (Welch & Harwood, 2014). For instance, Van Nouhuys & Lei (2004) showed a better synchronization between the
parasitoid Cotesia melitaearum Wilkinson (Hymenoptera, Braconidae) and its butterfly
host Melitaea cinxia L. (Lepidoptera, Nymphalidae) at the beginning of the growing
season and at warmer temperatures. This resulted in greater pest control, which has been Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 2/28 demonstrated as well for other agricultural systems (Landis & Van Der Werf, 1997; Van
Nouhuys & Lei, 2004). By contrast, when synchronization between natural enemies and
pests is weak (Landis & Van Der Werf, 1997; Landis, Wratten & Gurr, 2000; Yang et al.,
2017), a slight delay in the arrival of natural enemies can lead to a high pest growth rate and
to ineffective biological control (Raymond, Ortiz-Martínez & Lavandero, 2015; Yang et al.,
2017). INTRODUCTION To ensure synchronization and efficient pest control, it is thus essential that natural
enemies arrive before their host or prey (Landis & Van Der Werf, 1997; Landis, Wratten &
Gurr, 2000; Yang et al., 2017). In perennial crops like fruit orchards, the early arrival of natural enemies was shown
to be possible by the establishment of ground cover crops, i.e., single plant species or
a mix of plants sown in the inter-rows between fruit trees or growing spontaneous
vegetation (Simoes et al., 2014; Gómez-Marco, Urbaneja & Tena, 2016; Bowers et al., 2020). Cover crops can increase the abundance of natural enemies (Aguilar-Fenollosa et al.,
2011; Aguilar-Fenollosa & Jacas, 2013) and reduced pest populations (Dong et al., 2005;
Irvin et al., 2006; Aguilar-Fenollosa et al., 2011; Gómez-Marco et al., 2016; Gómez-Marco,
Urbaneja & Tena, 2016). For instance, in peach orchards, a cover crop of Medicago sativa L. (Fabaceae) increased predator densities, especially spiders, while reducing the population
of leaf miner Lyonetia clerkella L. (Lepidoptera, Lyonetiidae) (Dong et al., 2005). However,
few studies have evaluated the effect of intercropping on functional redundancies and niche
complementarities among natural enemy guilds, as most of these studies have focused on
single natural enemy guilds. In addition, these studies were performed during the growing
season, and there are no studies on the effect of increasing populations of natural enemies in
winter with alternative hosts to enhance their arrival and control pest populations in spring. Among the many pest species attacking plum orchards, aphids are the most important
(Symmes et al., 2012; Cichon et al., 2013). They can cause direct as well as indirect damage,
as they are the main viral disease vectors of the plum pox virus (Dragoyski, Stefanova &
Kamenova, 2011) with resulting important economic losses (Cambra et al., 2006). In this study, we investigated whether intercropping an oat cover within orchards before
winter may induce the early arrival of natural enemies by providing alternative hosts
and thus promote the biological control of aphid pests infesting plum orchards in spring
compared to spontaneous vegetation. Previous studies have shown that aphid populations
on cereals during the winter in Chile, as well as their natural enemies such as parasitoids
and predators, are present (Ortiz-Martínez & Lavandero, 2018; Alfaro-Tapia et al., 2021). Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 MATERIALS & METHODS Field experiments were approved by ANID (Agencia Nacional de Investigación y
Desarrollo- Chile) project number 1180601. Farms belonged to a single owner who
willingly accepted to participate in the study and submitted their approval an allowance
for using the field sites to FONDECYT- ANID (Fondo Nacional de Ciencia y Tecnología. Chile) project number 1180601 ANID biosecurity committee. INTRODUCTION In addition, all aphid species attacking cereals and other wild graminaceous plants have not
been observed to attack or damage plum trees shoots (Blackman & Eastop, 2000; Blackman
& Eastop, 2007). However, plum aphids and aphids feeding in wild and cultivated Poaceae
share similar natural enemies (Starý, 1995). Moreover, from our previous studies we can
conclude that the main parasitoid species, Aphidius platensis (Hymenoptera, Braconiidae)
of both plum and cereal aphids such as Myzus persicae and Rhopalosiphum padi (Hemiptera,
Aphididae) respectively, are capable of shifting between aphid hosts (winter vs. spring host)
(Alvarez-Baca et al., 2020). We hypothesize that (1) inter-cropped oat between plum trees
attracts cereal aphids and their associated shared natural enemies during the winter, which
leads to (2) an early arrival of shared natural enemy populations compared to the arrival Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 3/28 of the main prevalent plum aphids in early spring. As a consequence, we expected (3) a
lower aphid incidence on plum trees in the treatment with an oat cover crop, (4) due to
a higher natural enemy abundance and parasitism rates on plum trees with no effect of
hyperparasitism on the primary parasitoids. Study area and experimental design The study area was located at the district of Codegua, region of O’Higgins, in the Central
Valley of Chile (34◦08′S; 70◦38′W). Four organic plum Prunus domestica L. (Rosaceae)
cv. ‘D’Agen’ farms with the same rootstock and cultivar, with similar management and
age structure (all orchards were planted from 2009 to 2013), were selected. Each farm
was at least 10 ha. All orchards were managed following organic production guidelines,
and neither synthetic pesticides nor fertilizers were used. The Central Valley of Chile is
characterized by a temperate Mediterranean climate, with dry summers and mild, rainy
winters (Sarricolea, Herrera-Ossandon & Meseguer-Ruiz, 2017). Temperatures vary from
25 to 35 ◦C in spring–summer (September–March) and between 3 to 13 ◦C in winter, with
precipitation ranging from 22 to 130 mm during spring and from 300 to 900 mm in winter
(June–August) (Montes et al., 2012; Directorate General of Civil Aviation of Chile, 2018). In
each farm, two treatments were established with four replicates (each replicate consisted of
a plot of 1 ha), resulting in a total of eight plots (see Table S1A for geographic coordinates of
each plot). The treatments were as follow: the oat cover crop (OCC) treatment, consisting
of four consecutive inter-rows of oat, Avena sativa L. (Poaceae) of at least 100 m long, with
inter-rows sown during the second week of May in autumn, and the treatment without oat
corresponding to four inter-rows with spontaneous vegetation (SV) (Fig. 1). Spontaneous
vegetation rows consisted of the naturally occurring plants, which were periodically cut
with a rotary cutter. Each tree row was separated by 5 m, and the space between plum trees
along the row was 4 m (Fig. 1), with minimum, maximum and average distances between
plots of 104.00 m, 665.58 m and 358.57 m respectively. (see Table S1B for more details). Tree management included regular mowing and pruning prior to the beginning of the
flowering in the spring season. All four farms received similar management as they were
all under the same company and certification guidelines. During spring, the SV treatment
plots presented a patchily distributed presence of weeds such as Malva spp., Anoda hastata
Cav. (Malvaceae), Taraxacum officinale L. (Asteraceae) and graminaceous species such as
Poa annua L., Lolium spp. (Poaceae) (see also Table S2). Both treatments in each plum plot
were established at least 10 rows away (about 50 m) from each other to avoid interaction
between treatments. Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 Study area and experimental design Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 4/28 Figure 1
Field experimental setup. Treatment distribution in one of the evaluated fields (spontaneous
vegetation (SV) and oat cover crop (OCC)). Plum trees, oats and spontaneous vegetation are shown. Gray
trees represent the plum trees evaluated. Aphids, natural enemies and hyperparasitoids were evaluated in
each treatment. Full-size
DOI: 10.7717/peerj.13299/fig-1 Figure 1
Field experimental setup. Treatment distribution in one of the evaluated fields (spontaneous
vegetation (SV) and oat cover crop (OCC)). Plum trees, oats and spontaneous vegetation are shown. Gray
trees represent the plum trees evaluated. Aphids, natural enemies and hyperparasitoids were evaluated in
each treatment. Full-size
DOI: 10.7717/peerj.13299/fig-1 Insect sampling Aphids and their natural enemies were sampled over eight sampling dates from July 2018
(winter) to the end of the plum growing in November 2018 (spring). One week later the oat
was cut out. Three sampling sessions were performed during winter (1: July 10th, 2: August
8th and 3: September 9th) with a monthly interval between sampling dates to monitor the
establishment of insects in the oat inter-rows. There were five sampling dates in spring (4:
September 25th, 5: October 9th and 6: 23th, 7: November 6th and 8: 20th) with an interval
of 15 days between sampling dates to accurately record aphid colonization and breakdown
that normally occurs in plum orchards (González, 1989). Both the inter-rows and the plum
trees were studied to record the aphids and their associated natural enemies. Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 Aphid and parasitoid sampling on plum trees During the winter months, plum trees were sampled for aphid eggs and colonies to ensure
that the arrival of the first aphids and parasitoids would be detected in the study site, as
aphids may feed as early as flowers bloom on plum trees (Grechi et al., 2008; Dedryver, Le
Ralec & Fabre, 2010). A total of 169 aphid species have been reported in Chile, 128 of them
having been introduced and many of these constituting important agricultural pests (Nieto
Nafría et al., 2016). Of these, a group of five species has been related to plum trees in Chile
(see Nieto Nafría et al., 2016); however, the complete assembly of related parasitoids has
never been studied. Spring sampling was realized as follows: In each plot, 20 randomly selected trees were
sampled by collecting all living and parasitized aphids (i.e., mummies) (Colfer & Rosenheim,
2001) on 20 shoots/tree. Living aphids were kept in a 50 mL tube with plant material inside Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 5/28 to provide them a food source. Then, samples were taken back to the laboratory, where
they were separated and counted. Aphids were determined to species level, following
taxonomic keys (Blackman & Eastop, 2000; Blackman & Eastop, 2007; Nieto Nafría et al.,
2016). Aphid mummies collected on the field were individualized in 1.5 mL Eppendorf
tubes (with a small hole in the tip to let air pass) until adult parasitoid emergence in the
laboratory. They were maintained under controlled conditions in climatic chambers (20 ±
1 ◦C, 65 ± 10% RH and 16L: 8D). The emergence of parasitoids was checked once daily. In addition, as living aphids were potentially parasitized, they were kept on hydrated plum
leaves until mummy formation under the conditions mentioned above. Once mummies
were formed, they were also isolated in Eppendorf tubes until emergence. If there was
no mummification after 10 days, the aphids were discarded, as the development time is
around 6-8 days on this species (Zamani et al., 2007). After their emergence, parasitoids
and hyperparasitoids were identified using taxonomic keys (Starý, 1995; Tomanovic et
al., 2014). Parasitism and hyperparasitism (i.e., secondary parasitoid developing at the
expense of a primary parasitoid) (Finke & Denno, 2005) rates were calculated as incidence,
considering the number of parasitized and hyperparasitized shoots from the collected
shoots with aphids. Aphid and parasitoid sampling on the inter-rows The density of aphids is scarce during the winter months, making it very difficult to find
aphid colonies; thus, the aphid abundance was recorded by randomly walking through the
middle of the inter-rows in a transect of 100 m during a period of 40 min by two observers. For the OCC treatment, live aphids and mummies were collected on the oat plants in
the inter-rows, and for the treatment SV aphids from spontaneous graminaceous plants
found along the inter-rows were also collected. All the material collected was taken back
to the laboratory, where the number of winged and apterous aphid adults, as well as aphid
nymphs and mummies was assessed. Living potentially parasitized aphids were kept in
similar conditions as those explained before, except that aphids were kept on 10 cm high
wheat plantlets within small pots (h = 25 cm, Ø = 8 cm) until mummification under the
same climatic conditions. Parasitism rates were calculated as the number of mummified
aphids from the total number of collected aphids. In order to determine the density of aphids (number of aphids/tiller) and the parasitism
rates on the inter-rows during the spring, 5 sub-sampling points were randomly chosen
per plot. In each sampling point, all living aphids and mummies were sampled on 20 oat
tillers randomly selected in the same row selected for the plum tree sampling. All living
aphids were kept in a 50 mL tube with plant material inside as a food source until they
were transferred back to the laboratory. For the SV treatment, we looked specifically for
batches of wild graminaceous plants to follow the same procedure as described above. Aphids collected from both treatments were established in wheat plants (Triticum aestivum
L.) assuming they could be potentially parasitized and were kept in the same laboratory
conditions explained above until mummification. Parasitism rates were calculated as
previously explained. After aphids were transferred into wheat plants at the laboratory, In order to determine the density of aphids (number of aphids/tiller) and the parasitism
rates on the inter-rows during the spring, 5 sub-sampling points were randomly chosen
per plot. In each sampling point, all living aphids and mummies were sampled on 20 oat
tillers randomly selected in the same row selected for the plum tree sampling. Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 Aphid and parasitoid sampling on the inter-rows All living
aphids were kept in a 50 mL tube with plant material inside as a food source until they
were transferred back to the laboratory. For the SV treatment, we looked specifically for
batches of wild graminaceous plants to follow the same procedure as described above. Aphids collected from both treatments were established in wheat plants (Triticum aestivum
L.) assuming they could be potentially parasitized and were kept in the same laboratory
conditions explained above until mummification. Parasitism rates were calculated as
previously explained. After aphids were transferred into wheat plants at the laboratory, Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 6/28 aphid mortality in the SV treatment was around 40–50%, whereas the remaining aphid
species were able to establish under laboratory conditions. Natural enemy abundances During the spring, yellow pan traps as well as pitfall traps were placed under the plum
trees in order to determine the abundance of the main natural enemy groups. Yellow
pan traps consisted of a plastic container (Ø = 26 cm, h = 10 cm) placed above ground
level containing a solution of 400 mL of water and a few drops of detergent in order to
diminish the water surface tension (De La Poza et al., 2005; Cheli & Corley, 2010; Droege et
al., 2010; Albajes et al., 2013). They were used to sample populations of coccinellids (adults
and larvae) (Coleoptera, Coccinellidae), syrphid flies (hoverflies) (Diptera, Syrphidae) and
adult aphid parasitoids (Hymenoptera, Braconiidae). The pitfall traps consisted of a plastic
cup of (Ø = 15 cm, h = 20 cm) buried at ground level, containing the same solution as
mentioned above to collect carabid beetles (Coleoptera, Carabidae) and spiders (Araneae). Three yellow pan traps and three pitfall traps were placed per treatment per replicate (12
in total per treatment per trap type), with a 50m distance between traps as in Raymond,
Ortiz-Martínez & Lavandero (2015). Sweep–net strokes were also used to collect flying
individuals: coccinellid beetles, hoverflies and adult aphid parasitoids following a 20 m
transect on each treatment (100 net strokes/transect) (Kogan & Pitre, 1980). All traps were
opened for 15 days, after which trapped individuals were collected. Traps were then cleaned
and filled with a new water solution. For all the types of traps, the collected specimens were
individualized in 1.5 mL plastic tubes containing 95% alcohol, then they were counted and
morphologically identified at the family level (Triplehorn & Johnson, 2005). The groups of
natural enemies included in the analysis were: coccinellid beetles, hoverflies, adult aphid
parasitoids sampled in the field (parasitoids emerged from aphids and mummies collected
in the field were not included in this analysis), carabid beetles and spiders. For the analysis,
the total number of individuals collected from each trap type (pan traps, pitfall traps and
net strokes) was joined as a single value per plot (N = 4) per sampling date. These data
were used to calculate the abundance of each group of natural enemies as well as the total
natural enemy abundance. Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 Statistical analyses For the winter data, no statistical analysis was performed for the inter-rows, as the
sampling effort on the inter-rows between the two treatment plots was not comparable
in terms of abundance. For this reason, we determined the date of appearance and the
presence/absence of the aphids, parasitoids and hyperparasitoids from the beginning of the
winter until the end of the sampling in spring. Moreover, although absolute abundances
could not be compared, we still established different intervals of abundances (1–100,
101–500 and >500) individuals per treatment on each group of insects found to have a
general description of their dynamics over the time. In order to assess the spatial autocorrelation of the aphid incidence as a function of
distance between study sites (Diggle, Tawn & Moyeed, 1998; Diniz-Filho, Bini & Hawkins,
2003), the Moran’s Index (Moran, 1950) was calculated using the total aphid incidence Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 7/28 per farm (4 farms) and the geographical coordinates (longitude and latitude) of each
farm using the spatial autocorrelation tool of the software ArcGis v. 10.8 (Esri, 2019). The
H0 of the spatial autocorrelation analysis assumes a random distribution of the values. Positive values of Moran’s I indicate an aggregate distribution pattern whereas negative
values show a trend towards dispersion. Z-score represents the standard variations, and
the higher the Z values, the lower the p values. When p values < 0.05, H0 is rejected. No
spatial autocorrelation of aphid incidence across study sites was observed (Moran’s I index
= −0.88, p = 0.28, z-score = −1.09) and aphids showed a random spatial distribution
pattern. During spring on the plum trees, GLMMs were performed using treatments (OCC and
SV) and the sampling dates as fixed factors, and the identities of the trees nested within
the farm were used as random factors. To avoid zero inflated distributions, the number of
aphids per shoot was converted into a proportion of shoot with aphids per plum tree. The
aphid incidence was calculated as the proportion of shoots with aphids from the shoots
without aphids per plum tree. The incidence of parasitized aphids was calculated as the
proportion of shoots containing mummies from the shoots infested with aphids (i.e., at least
one mummy found in the shoots with aphids). Statistical analyses In addition, the incidence of hyperparasitized
aphids was calculated as the proportion of shoots containing hyperparasitized mummies
from the shoots containing only mummies parasitized by primary parasitoids. Five sampling
dates were considered for the aphid incidence and incidence of parasitism, whereas three
sampling dates were used for the incidence of hyperparasitism as on dates 4 and 5 no
hyperparasitoid was found. Those three response variables were analyzed assuming a
binomial distribution with a logit function for proportional data. Total natural enemy
abundance and the abundance of each natural enemy group was analyzed assuming a
negative binomial distribution for counting data (see additional information on Table S3
for the selected model). All the analyses were performed using the R package 3.6.5 (R Core Team, 2019). Statistical models were fitted according to the structure of the data. Generalized mixed
models (GLMMs) were conducted using the lme4 package (Bates et al., 2015). The Akaike
information criteria (AIC) was used to compare the different models after performing
an ANOVA type II in the car package following a step-wise regression method (Fox et al. 2016). Post hoc pairwise comparisons were carried out using Tukey tests, correcting for
multiple comparisons with the single-step method using the Multcomp package (Hothorn,
Bretz & Westfall, 2008). Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 RESULTS Sampling date
treatments
7/10
Date 1
8/08
Date 2
9/11
Date 3
9/25
Date 4
10/9
Date 5
10/23
Date 6
11/6
Date 7
11/20
Date 8
Aphids
SV
+
++
++
+
++
++
++
+++
OCC
++
++
++
++
+++
+++
+++
++
Parasitoids
SV
+
+
+
+
+
+
+
+
OCC
+
+
+
+
++
++
++
++
Hyperparasitoids
SV
–
–
–
+
+
+
+
+
OCC
+
–
–
–
+
+
+
+
appeared at the fifth sampling date in the OCC treatment and remained present until the
end of spring, whereas in the SV treatment, they appeared earlier: once at the first sampling
date and again at the fourth sampling date until the end of the season. In both treatments,
their presence was scarcer when compared to that of parasitoids. appeared at the fifth sampling date in the OCC treatment and remained present until the
end of spring, whereas in the SV treatment, they appeared earlier: once at the first sampling
date and again at the fourth sampling date until the end of the season. In both treatments,
their presence was scarcer when compared to that of parasitoids. appeared at the fifth sampling date in the OCC treatment and remained present until the
end of spring, whereas in the SV treatment, they appeared earlier: once at the first sampling
date and again at the fourth sampling date until the end of the season. In both treatments,
their presence was scarcer when compared to that of parasitoids. During the spring, a total of 4,865 aphids in the SV treatment were recorded, from
which 76.81% corresponded to Brachycaudus helichrysi, 19.67% to Aphis spiraecola and
3.51% to Myzus persicae. Additionally, 2,752 aphids were collected in the OCC treatment;
among these, 66.13% corresponded to B. helichrysi, 27.94% to A. spiraecola and 5.92%
to M. persicae. The total aphid incidence was 3% in the SV treatment and 1% in the
OCC treatment. The aphid incidence in plum trees differed per sampling date (GLMM:
χ2 = 114.16, Df = 4, p < 0.0001) (Fig. 2A) and per treatment (GLMM: χ2 = 19.45, Df =
1, p < 0.001) (Fig. 2B), with more aphids in the SV treatment at all dates and the highest
incidence of aphid infested shoots at the end of spring with no significant interactions
(p = 0.87). RESULTS During the winter, on the plum trees, we did not find any aphid eggs or any nymphs
or adults. On the inter-rows, aphids, parasitoids and hyperparasitoids arrived from the
first date of winter sampling (July 10th) and increased as the season progressed (Table 1). Aphids were present in the OCC treatment during all sampling dates. For the parasitoids, we
observed a similar pattern, as they were present from sampling date 1 through all the dates
as the season progressed, with a higher incidence in the OCC treatment. Hyperparasitoids Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 8/28 Table 1
Temporal presence/absence of aphids, parasitoids and hyperparasitoids sampled in the inter-
rows on both spontaneous vegetation (SV) and oat cover crop (OCC) treatments from the beginning
of the winter until the end of the sampling in spring 2018. Signs represent presence (+) or absence (–) of
aphids, parasitoids and hyperparasitoids on each sampling date (dates 1–8). +: 1-100; ++: 101-500; +++:
>500 individuals; –: absence. Table 1
Temporal presence/absence of aphids, parasitoids and hyperparasitoids sampled in the inter-
rows on both spontaneous vegetation (SV) and oat cover crop (OCC) treatments from the beginning
of the winter until the end of the sampling in spring 2018. Signs represent presence (+) or absence (–) of
aphids, parasitoids and hyperparasitoids on each sampling date (dates 1–8). +: 1-100; ++: 101-500; +++:
>500 individuals; –: absence. Table 1
Temporal presence/absence of aphids, parasitoids and hyperparasitoids sampled in the inter-
rows on both spontaneous vegetation (SV) and oat cover crop (OCC) treatments from the beginning
of the winter until the end of the sampling in spring 2018. Signs represent presence (+) or absence (–) of
aphids, parasitoids and hyperparasitoids on each sampling date (dates 1–8). +: 1-100; ++: 101-500; +++:
>500 individuals; –: absence. Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 RESULTS There were no significant differences in the proportion of shoots with parasitized
aphids (incidence of parasitism) between sampling dates (GLMM: χ2 = 7.50, Df = 4,
p = 0.11) (Fig. 2C) or among treatments (GLMM: χ2 = 3.62, Df = 1, p = 0.06) (Fig. 2D). The proportion of shoots with parasitized aphids tended to increase in both treatments
as the season went on until the last sampling date with a very low parasitism incidence
(no interaction, p = 0.99). In addition, the incidence of hyperparasitism did not differ
between sampling dates (GLMM: χ2 = 1.30, Df = 2, p = 0.52) (Fig. 2E) or between
treatments (GLMM: χ2 = 0.47, Df = 1, p = 0.49) (Fig. 2F). Nevertheless, it tended to show
a similar pattern to the incidence of parasitism, with a slight increase over the season in
both treatments, with the highest incidence during the last sampling date (no interaction,
p = 0.10). From all the natural enemies recorded, adult aphid parasitoids were the most abundant,
followed by carabid beetles, coccinellid beetles, spiders and hoverflies (Table S4). For the
total natural enemy abundance, there were differences among sampling dates (GLMM: Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 9/28 Figure 2
Seasonal variation of total aphids, parasitoids and hyperparasitoids incidence o
Seasonal variation during five sampling dates in spring 2018 and difference between treatmen
aphid, parasitoid and hyperparasitoid incidence on plums trees. Spontaneous vegetation SV
oat cover crop OCC (black). (A) Mean (± SE) proportion of shoots with aphids per samplin
mean (± SE) proportion of shoots with aphids per treatment; (C) mean (± SE) proportion o
parasitized aphids per sampling date; (D) mean (± SE) proportion of shoots with parasitized
treatment; (E) mean (± SE) proportion of shoots with hyperparasitized aphids per sampling
mean (± SE) proportion of shoots with hyperparasitized aphids (continued on next page...)
Full-size
DOI: 10.7717/pee Figure 2
Seasonal variation of total aphids, parasitoids and hyperparasitoids incidence on plum trees. Seasonal variation during five sampling dates in spring 2018 and difference between treatments of total
aphid, parasitoid and hyperparasitoid incidence on plums trees. Spontaneous vegetation SV (gray) and
oat cover crop OCC (black). Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 Figure 2 (...continued) g
per treatment. Different letters indicate a significant difference between treatments and sampling dates
and ‘ns’ non-significant differences. Tukey HSD post hoc tests (P < 0.05). Asterisks indicate significant dif-
ferences: ‘***’ P < 0.001, ‘**’ P < 0.01 ‘*’ P < 0.05, ‘ns.’ non-significant P > 0.05. (Date 4: September
25th, date 5: October 9th, date 6: October 23th, date 7: November 6th and date 8: November 20th). χ2 = 156.99, Df = 4, p < 0.0001) (Fig. 3A) but not between treatments (GLMM: χ2 = 2.50,
Df = 1, p = 0.11) (Fig. 3B), with an increase in the abundance over time in both treatments
(no interaction p = 0.25). Nevertheless, coccinellid beetles increased over time (GLMM:
χ2 = 172.27, Df = 4, p < 0.0001) (Fig. 3C) and were more abundant in SV than in OCC
(χ2 = 29.10, Df = 1, p < 0.0001) (Fig. 3D). A higher abundance for the SV treatment was
observed mainly on dates 7 and 8 compared to the OCC treatment, without any significant
interactions (p = 0.14). For carabid beetles, we found differences in the sampling date
(GLMM: χ2 = 61.76, Df = 4, p < 0.0001) (Fig. 3E) but not between the treatments
(GLMM: χ2 = 0.05, Df = 1, p = 0.82) (Fig. 3F), with an important increase at the end
of the season (last sampling date) (interaction, p = 0.46). For the adult aphid parasitoids,
significant differences among sampling dates (GLMM: χ2 = 72.84, Df = 4, p < 0.0001)
(Fig. 4A) but not between treatments (GLMM: χ2 = 0.98, Df = 1, p = 0.32) (Fig. 4B)
were found, for which the highest abundance was during date 7, but this decreased for the
last sampling date (no interaction, p = 0.87). In the case of the hoverflies, there were no
differences between sampling dates (GLMM: χ2 = 5.83, Df = 4, p = 0.21) (interaction,
p = 0.73) (Fig. 4C) or among treatments (GLMM: χ2 = 0.22, Df = 1, p = 0.64) (Fig. 4D). Finally, there were differences in the abundance of spiders among sampling dates (GLMM:
χ2 = 28.82, Df = 4, p < 0.0001) (Fig. 4E), but this did not differ between treatments
(GLMM: χ2 = 0.00, Df = 1, p = 0.96) (Fig. 4F). In both treatments, we observed the
highest abundance at the end of the season (interaction, p = 0.29). Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 RESULTS (A) Mean (± SE) proportion of shoots with aphids per sampling date; (B)
mean (± SE) proportion of shoots with aphids per treatment; (C) mean (± SE) proportion of shoots with
parasitized aphids per sampling date; (D) mean (± SE) proportion of shoots with parasitized aphids per
treatment; (E) mean (± SE) proportion of shoots with hyperparasitized aphids per sampling date; and (F)
mean (± SE) proportion of shoots with hyperparasitized aphids (continued on next page...)
Full-size
DOI: 10.7717/peerj.13299/fig-2 Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 10/28 DISCUSSION Our results showed that the OCC treatment attracted cereal aphids and their associated
natural enemies during the winter as proposed by our first hypothesis, which leads to the
early arrival of shared natural enemies prior to the arrival of the plum aphids (second
hypothesis). In concordance with our third hypothesis, we found a lower aphid incidence
in the OCC treatment compared to the SV treatment on the plum trees. However, this
was not due to a higher parasitism incidence or higher abundances of natural enemies. Moreover, no effect on the fourth trophic level was found, as we have no evidence for
greater hyperparasitism of aphid colonies on plum trees in any of the two treatments
(fourth hypothesis). Although the results provide evidence that the oat inter-row can be
beneficial to decrease aphid densities, this is not due to an increase of activity or abundance
of natural enemies. During winter, we ensured the early arrival of aphid parasitoids on the oat inter-rows
before the arrival of the target pest early in spring. Cover crops are used as overwintering
resources and can harbor alternative host species for aphid parasitoids during a considerable
time span (Welch & Harwood, 2014). Assuming that parasitoids on the cover crops will Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 11/28 Figure 3
Seasonal abundance of the main natural enemies recorded on plum trees. Seasonal abundance
during five sampling dates in spring 2018 and difference between treatments of the main natural enemies
recorded in sampling traps. Spontaneous vegetation SV (gray) and oat cover crop OCC (black). (A) Mean
(± SE) abundance of total natural enemies per sampling date; (B) mean (± SE) abundance of total nat-
ural enemies per treatment; (C) mean (± SE) abundance of coccinellids per sampling date; (D) mean (±
SE) abundance of coccinellids per treatment; (E) mean (± SE) abundance of carabid beetles per sampling
date; and (F) mean (± SE) abundance of carabid beetles per treatment. (continued on next page...)
Full-size
DOI: 10.7717/peerj.13299/fig-3 Figure 3
Seasonal abundance of the main natural enemies recorded on plum trees. Seasonal abundance
during five sampling dates in spring 2018 and difference between treatments of the main natural enemies
recorded in sampling traps. Spontaneous vegetation SV (gray) and oat cover crop OCC (black). Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 DISCUSSION (A) Mean
(± SE) abundance of total natural enemies per sampling date; (B) mean (± SE) abundance of total nat-
ural enemies per treatment; (C) mean (± SE) abundance of coccinellids per sampling date; (D) mean (±
SE) abundance of coccinellids per treatment; (E) mean (± SE) abundance of carabid beetles per sampling
date; and (F) mean (± SE) abundance of carabid beetles per treatment. (continued on next page...)
Full-size
DOI: 10.7717/peerj.13299/fig-3 Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 12/28 Figure 3 (...continued)
Different letters indicate a significant difference between treatments and sampling dates and ‘ns’ non-
significant differences. Tukey HSD post hoc tests (P < 0.05). Asterisks indicate significant differences: ‘***’
P < 0.001, ‘**’ P < 0.01 ‘*’ P < 0.05, ‘ns.’ non-significant P > 0.05. (Date 4: September 25th, date 5: Octo-
ber 9th, date 6: October 23th, date 7: November 6th and date 8: November 20th). eventually move from the cover crop to the adjacent crop plants (Landis, Wratten & Gurr,
2000; Welch & Harwood, 2014), this would therefore increase biological control avoiding
pest outbreaks (e.g., aphids damaging fruit crop shoots). During spring, there were more
parasitoids in the inter-rows in the OCC treatment, which acted as a great source of
alternative hosts (cereal aphids) when compared to the SV treatment. However, even when
the aphid incidence on plum trees was lower in the OCC treatment (56% less) compared to
the SV treatment, this was a result of neither the parasitism rate nor the predator abundance
(top-down effects). One possible explanation would be that the cereal aphid parasitoids
do not switch in sufficient numbers to plum trees to control plum aphids, although in the
laboratory this has been shown to be possible (Alvarez-Baca et al., 2020). It is also possible
that parasitoids showed a greater preference for cereal aphids compared to plum aphids,
being strongly influenced by the host from which they emerged (Morris & Fellowes, 2002). g
g y
y
y
g
(
,
)
When comparing the oat cover crop to spontaneous vegetation, the resource
specialization hypothesis predicts that the increased plant diversity enhances the diversity of
higher trophic levels by favoring species specialized on the additional resources (Hutchinson,
1959). Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 DISCUSSION If the spontaneous vegetation present is abundant and persistent (which was not the
case for our study), greater pest control could be achieved as: (1) a more diverse vegetation
would attract more diverse natural enemies (top-down effect) (Root, 1973; Poveda, Gómez
& Martínez, 2008), and (2) a patchy/complex distributed area would reduce herbivore
populations (Root, 1973). However, the OCC treatment, which had only one plant species
(oat) but with a high plant density and coverage, and which was specifically sown to
attract cereal aphids, showed a greater effect on aphid plum populations. It was showed
that functionally diversified cover crops that increase functional diversity (attraction of
parasitoids and predators that affect the target pest species) could enhance ecosystem
services as pest control (Heemsbergen et al., 2004; Sattler et al., 2020). In our study system,
the oat inter-row had not only a more homogeneous cover but also a higher functional value
than the spontaneous vegetation. In the SV treatment, wild graminaceous plants, that can be
attacked by cereal aphid hosts for target parasitoids, were reduced in proportion compared
to introduced weeds from other plant families (Malvaceae, Asteraceae, Convolvulaceae). Moreover, the other weeds also did not sustain important populations of alternative hosts
of the target natural enemies of this study (see results, Fig. 3). In our study, two explanations can be provided to explain the absence of a link between
the higher abundance of natural enemies and a decrease of aphid populations. The first
one is the possible negative interactions between natural enemies, and the second one
is linked to bottom-up effects. Negative interactions among natural enemies may have
disrupting effects on pest suppression, interactions such as intraguild predation (i.e.,
two predator species share the same prey species and could also feed on each other) Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 13/28 Figure 4
Seasonal variation of natural enemies in traps. Seasonal abundances during five
dates in spring 2018 and difference between treatments of the main natural enemies recorde
traps. Spontaneous vegetation SV (gray) and oat cover crop OCC (black). DISCUSSION An
increased abundance of the natural enemies present in SV treatment could be related to
the increased abundance of their prey (Kandel, Tilmon & Shuster, 2016; Reznik et al., 2017). Likewise, hyperparasitoids are known to have negative impacts on parasitoid survival
rates, with disrupting consequences on the population build-up of the primary parasitoid
species affecting the outcome of biological control (Sullivan & Völkl, 1999; Tougeron &
Tena, 2019). For instance, in Nagasaka, Takahasi & Okabayashi (2010), hyperparasitism
rates on a group of Aphidiinae species, mainly Aphidius colemani Viereck (Hymenoptera,
Braconidae) in sweet pepper and eggplant greenhouses using banker plants varied from
35% to 70% along the season, reducing the primary parasitism rates to less than 20% in
one of the four years of sampling, with negative consequences on the control of aphids. By
contrast, in our study, hyperparasitism did not seem to explain the absence of differences in
parasitism rates in both treatments. These findings are in agreement with those of a study
by Plećaš et al. (2014), where no differences of hyperparasitism rates (average of 10% or
less) between simple and complex landscapes or between large and small-field landscapes
were found, with no repercussion on the control of cereal aphids by parasitoids. Another explanation is that the oat cover crops had a negative effect on the plum aphids
through chemical and/or physical stimuli (bottom-up effects). During their host-plant
selection process, herbivorous insects have to cope with different semiochemical cues from
the plants as well as plant physical characteristics (i.e., color, shape and texture) (Bernays &
Chapman, 1994). In addition, cover crops may release chemicals that affect movement and
feeding of aphids (Beizhou et al., 2011), for instance, there is previous evidence of A. sativa
as a banker plant acting as a repellent on the same aphid species if pre colonized (Glinwood
& Pettersson, 2000) and therefore could possibly also be repellent to other aphid species. They could also interfere with their ability to locate their host plant due to a lack of a clear
olfactory stimuli resulting from the release of odor masking substances (Kennedy, Booth
& Kershaw, 1961). DISCUSSION (A) Mean (± SE)
of adult aphid parasitoids per sampling date; (B) mean (± SE) abundance of adult aphid par
treatment; (C) mean (± SE) abundance of hoverflies per sampling date; (D) mean (± SE) ab
hoverflies per treatment; (E) mean (± SE) abundance of spiders per (continued on next pag
Full-size
DOI: 10.7717/pe Figure 4
Seasonal variation of natural enemies in traps. Seasonal abundances during five
dates in spring 2018 and difference between treatments of the main natural enemies recorded
traps. Spontaneous vegetation SV (gray) and oat cover crop OCC (black). (A) Mean (± SE) Figure 4
Seasonal variation of natural enemies in traps. Seasonal abundances during five sampling
dates in spring 2018 and difference between treatments of the main natural enemies recorded in sampling
traps. Spontaneous vegetation SV (gray) and oat cover crop OCC (black). (A) Mean (± SE) abundance
of adult aphid parasitoids per sampling date; (B) mean (± SE) abundance of adult aphid parasitoids per
treatment; (C) mean (± SE) abundance of hoverflies per sampling date; (D) mean (± SE) abundance of
hoverflies per treatment; (E) mean (± SE) abundance of spiders per (continued on next page...)
Full-size
DOI: 10.7717/peerj.13299/fig-4 Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 14/28 Figure 4 (...continued)
sampling date; and (F) mean (± SE) abundance of spiders per treatment. Different letters indicate a signif-
icant difference between treatments and sampling dates and ‘ns’ non-significant differences. Tukey HSD
post hoc tests (P < 0.05). Asterisks indicate significant differences: ‘***’ P < 0.001, ‘**’ P < 0.01 ‘*’ P <
0.05, ‘ns.’ non-significant P > 0.05. (Date 4: September 25th, date 5: October 9th, date 6: October 23th,
date 7: November 6th and date 8: November 20th). (Polis, Myers & Holt, 1989; Lucas, 2005; Meisner et al., 2011; Traugott et al., 2012) and
hyperparasitism (Finke & Denno, 2005; Jeavons et al., 2022). Our study would suggest
that there is no relationship between the main predator abundances and the incidence
of parasitism. Although coccinellid beetle abundance was higher in the SV treatment
than in the OCC treatment, no measurable difference for the parasitism rates was found. However, we do not provide any direct evidence of intraguild predation or coincidental
intraguild predation in this study; therefore, we cannot rule out this possibility. Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 DISCUSSION Therefore, in our study, we speculate that oat in the OCC treatment
might not allow plum aphids to reach plum trees because of odors emitted, making the
crop difficult to be perceived by the herbivore, supporting the associational resistance
hypothesis (Tahvanainen & Root, 1972), whereas in the case of the SV treatment the lesser
vegetational density, as plants with available aphid hosts were less present between rows, Another explanation is that the oat cover crops had a negative effect on the plum aphids
through chemical and/or physical stimuli (bottom-up effects). During their host-plant
selection process, herbivorous insects have to cope with different semiochemical cues from
the plants as well as plant physical characteristics (i.e., color, shape and texture) (Bernays &
Chapman, 1994). In addition, cover crops may release chemicals that affect movement and
feeding of aphids (Beizhou et al., 2011), for instance, there is previous evidence of A. sativa
as a banker plant acting as a repellent on the same aphid species if pre colonized (Glinwood
& Pettersson, 2000) and therefore could possibly also be repellent to other aphid species. Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 supports the resource concentration hypothesis (Root, 1973). The pest density is reduced in
a more diverse and patchy habitat (Root, 1973; Poveda, Gómez & Martínez, 2008), including
a more diverse chemical habitat due to mixed volatiles from different plant species (Price
et al., 1980). On the other hand, cover crops, as well as providing refuge and alternative hosts,
can be a sugar source for adult parasitoids through the provision of nectar and/or the
honeydew produced by the aphids (Bugg & Waddington, 1994; Irvin et al., 2006; Vollhardt
et al., 2010; Balzan, Bocci & Moonen, 2016; Luquet et al., 2021). In agroecosystems, nectar
and honeydew are the most common available sources of sugar for natural enemies,
especially parasitoids, which require non-prey food as part of their diet to increase their
survival and fecundity (Wäckers, Van Rijn & Heimpel, 2008; Vollhardt et al., 2010). In our
study, the OCC treatment clearly provided parasitoids a higher and constant source of
honeydew compared to the SV. Previous studies have shown that honeydew can be as good
as flower nectar in terms of quality (Vollhardt et al., 2010; Monticelli et al., 2020; Rand &
Waters, 2020), as well as being the predominant source of sugar depending on the system
(e.g., Luquet et al., 2021). Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 DISCUSSION Therefore, the OCC treatment would offer more resources, such
as sugar and alternative hosts, to parasitoids. The high coverage area of the oat through all
the inter-row and the temporal availability suggest that parasitoids could possibly remain
foraging in the cover crop without dispersing to the plum trees (Table 1). In contrast,
the SV treatment, patchy distribution with less cover would offer fewer resources, forcing
parasitoids to disperse. However, whether they disperse to the plum trees instead of other
crop systems is not clear. Even when both spontaneous vegetation and cover crops habitat management strategies
are beneficial for biological control, we highlight the importance of focusing on a functional
plant value instead of a taxonomic diversity (Gagic et al., 2015). Spontaneous vegetation
can be easily promoted by farmers, does not require soil management, and can provide
some functional plant diversity. However, low plant coverage and other problems such as
the proliferation of invasive plant species or plants that act as a source of an insect pest could
limit its usefulness (Venzon et al., 2019). In our study, although spontaneous vegetation
did provide natural enemies, the decrease of plum aphid abundance was only achieved by
the use of A. sativa. When carefully selected, inter cropping can offer many benefits such
as: improving soil health by fixing nitrogen (Blanco-Canqui, Claassen & Presley, 2012),
protecting soil from erosion, enhancing soil organic matter by providing a high biomass
production (Isik et al., 2009; Nielsen et al., 2015), increasing water quality (Dabney, Delgado
& Reeves, 2001), preventing weed plant growth (Brust, Claupein & Gerhards, 2014; Finney
et al., 2017) by releasing growth inhibitors at high concentrations in the roots and shoots
(Kato-Noguchi et al., 1994; Kato-Noguchi, Mizutani & Hasegawa, 1994). Specifically, there
is evidence that A. sativa can have other benefits in addition to those previously mentioned
such as: increasing mycorrhizal fungi populations and microbial biomass (Benitez, Taheri
& Lehman, 2016), increasing earthworm populations compared to plots without cover
crops (Roarty, Hackett & Schmidt, 2017). DISCUSSION Moreover, as well as other cereals, oat is part of
the banker plant system that provides alternative hosts for a parasitoid or predator of a
target crop pest (Micha et al., 2000; Andorno & López, 2014) (for more beneficial examples, Even when both spontaneous vegetation and cover crops habitat management strategies
are beneficial for biological control, we highlight the importance of focusing on a functional
plant value instead of a taxonomic diversity (Gagic et al., 2015). Spontaneous vegetation
can be easily promoted by farmers, does not require soil management, and can provide
some functional plant diversity. However, low plant coverage and other problems such as
the proliferation of invasive plant species or plants that act as a source of an insect pest could
limit its usefulness (Venzon et al., 2019). In our study, although spontaneous vegetation
did provide natural enemies, the decrease of plum aphid abundance was only achieved by
the use of A. sativa. When carefully selected, inter cropping can offer many benefits such
as: improving soil health by fixing nitrogen (Blanco-Canqui, Claassen & Presley, 2012), Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 16/28 see Table S5). All of these ecosystem services, in addition to promote an early establishment
of natural enemies, and/or to have repellent effects on the plum aphid populations, are key
to develop a more sustainable approach. CONCLUSIONS We can conclude that oat cover crops contribute positively to the control of aphid
populations in plum orchards through an apparent bottom-up effect through physical
and/or olfactive barriers for plum-associated aphids from the oat cover crop. In addition, it
is important to mention that future studies should consider the effect of this or other cover
crops on the assemblage of parasitoids and predators to fully understand the dynamics and
consequences on aphid control and their natural enemies. Further studies on the species
composition and food web structure in orchards with or without cover crops are needed
to unravel the direct and indirect effects of these interactions on pest control. Funding This study was funded by Fondo Nacional de Desarrollo Científico y Tecnológico
(FONDECYT) Regular Grant No 1180601 to Blas Lavandero. Jeniffer K. Alvarez-Baca was
funded by the ANID-PFCHA/BECAS DE DOCTORADO NACIONAL/2018-21181816. Blas Lavandero and Jeniffer K. Alvarez-Baca were supported by ANID/PIA/ACT192027. The funders had no role in study design, data collection and analysis, decision to publish,
or preparation of the manuscript. Grant Disclosures The following grant information was disclosed by the authors:
Fondo Nacional de Desarrollo Científico y Tecnológico (FONDECYT): 1180601. The ANID-PFCHA/BECAS DE DOCTORADO NACIONAL/2018-21181816. ANID/PIA/ACT192027. The following grant information was disclosed by the authors: g g
y
Fondo Nacional de Desarrollo Científico y Tecnológico (FONDECYT): 1180601. The ANID-PFCHA/BECAS DE DOCTORADO NACIONAL/2018-21181816. The ANID-PFCHA/BECAS DE DOCTORADO NACIONAL/2018-21181816. ANID/PIA/ACT192027. ACKNOWLEDGEMENTS The authors would like to thank Cinthya Villegas, Nuri Cabrera, Angela Barros, Macarena
Guiachetti, Clémetine Denis, Johanna Parise and Armando Alfaro-Tapia for their assistance
in the field and laboratory work. We are also grateful to Nicolás Gonzalez and Teresa Vallejos
(Fundo Las Delicias) for letting us establish the experimental plots. Competing Interests The authors declare there are no competing interests. The authors declare there are no competing interests. Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 Author Contributions • Jeniffer K. Alvarez-Baca conceived and designed the experiments, performed the
experiments, analyzed the data, prepared figures and/or tables, authored or reviewed
drafts of the paper, and approved the final draft. • Jeniffer K. Alvarez-Baca conceived and designed the experiments, performed the
experiments, analyzed the data, prepared figures and/or tables, authored or reviewed
drafts of the paper, and approved the final draft. Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 • Xiomara Montealegre performed the experiments, analyzed the data, prepared figures
and/or tables, and approved the final draft. • Cécile Le Lann analyzed the data, authored or reviewed drafts of the paper, and approved
the final draft. • Joan Van Baaren analyzed the data, authored or reviewed drafts of the paper, and
approved the final draft. • Blas Lavandero conceived and designed the experiments, performed the experiments,
analyzed the data, authored or reviewed drafts of the paper, and approved the final draft. Supplemental Information Supplemental information for this article can be found online at http://dx.doi.org/10.7717/
peerj.13299#supplemental-information. Supplemental information for this article can be found online at http://dx.doi.org/10.7717/
peerj.13299#supplemental-information. Supplemental information for this article can be found online at http://dx.doi.org/10.7717/ peerj.13299#supplemental-information. Field Study Permissions The following information was supplied relating to field study approvals (i.e., approving
body and any reference numbers): The following information was supplied relating to field study approvals (i.e., approving
body and any reference numbers): Field experiments were approved by ANID (Agencia Nacional de Investigación y
Desarrollo- Chile) (No. 1180601). Farms belonged to a single owner who willingly accepted
to participate in the study and submitted their approval an allowance for using the field
sites to FONDECYT- ANID (Fondo Nacional de Ciencia y Tecnología. Chile). Data Availability The following information was supplied regarding data availability: The following information was supplied regarding data availability: The raw data is available in the Supplemental File. The raw data is available in the Supplemental File. Alvarez-Baca et al. (2022), PeerJ, DOI 10.7717/peerj.13299 REFERENCES Aguilar-Fenollosa E, Ibáñez Gual MV, Pascual-Ruiz S, Hurtado M, Jacas JA. 2011. Effect of ground-cover management on spider mites and their phytoseiid natural
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Correction: Rapid Diagnosis of Lung Tumors, a Feasability Study Using Maldi-Tof Mass Spectrometry
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Correction: Rapid Diagnosis of Lung Tumors,
a Feasability Study Using Maldi-Tof Mass
Spectrometry Geoffrey Brioude, Fabienne Brégeon, Delphine Trousse, Christophe Flaudrops,
Véronique Secq, Florence De Dominicis, Eric Chabrière, Xavier-Benoit D’journo,
Didier Raoult, Pascal-Alexandre Thomas The seventh author’s name is spelled incorrectly. The correct name is Eric Chabrière. CORRECTION 1.
Brioude G, Brégeon F, Trousse D, Flaudrops C, Secq V, De Dominicis F, et al. (2016) Rapid Diagnosis
of Lung Tumors, a Feasability Study Using Maldi-Tof Mass Spectrometry. PLoS ONE 11(5):
e0155449. doi: 10.1371/journal.pone.0155449 PMID: 27228175 Reference a1111 Published: August 25, 2016 Copyright: © 2016 Brioude et al. This is an open
access article distributed under the terms of the
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unrestricted use, distribution, and reproduction in any
medium, provided the original author and source are
credited. PLOS ONE | DOI:10.1371/journal.pone.0162021
August 25, 2016 PLOS ONE | DOI:10.1371/journal.pone.0162021
August 25, 2016 1 / 1
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Hepatocyte-Specific Depletion of UBXD8 Induces Periportal Steatosis in Mice Fed a High-Fat Diet
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RESEARCH ARTICLE Hepatocyte-Specific Depletion of UBXD8
Induces Periportal Steatosis in Mice Fed a
High-Fat Diet Norihiro Imai1,2☯, Michitaka Suzuki1☯, Kazuhiko Hayashi2, Masatoshi Ishigami2,
Yoshiki Hirooka2, Takaya Abe3, Go Shioi3, Hidemi Goto2, Toyoshi Fujimoto1* Norihiro Imai1,2☯, Michitaka Suzuki1☯, Kazuhiko Hayashi2, Masatoshi Ishigami2,
Yoshiki Hirooka2, Takaya Abe3, Go Shioi3, Hidemi Goto2, Toyoshi Fujimoto1* 1 Department of Anatomy and Molecular Cell Biology, Nagoya University Graduate School of Medicine,
Nagoya, Japan, 2 Department of Gastroenterology and Hepatology, Nagoya University Graduate School of
Medicine, Nagoya, Japan, 3 Laboratory for Animal Resources and Genetic Engineering, RIKEN Center for
Developmental Biology, Kobe, Japan ☯These authors contributed equally to this work. * tfujimot@med.nagoya-u.ac.jp Data Availability Statement: All relevant data are
within the paper and its Supporting Information files. Funding: This work was supported by Grants-in-Aid
for Scientific Research of the Ministry of Education,
Culture, Sports, Science, and Technology of the
Japanese Government (to MS [26860131] and TF
[24390045, 25126710]). The funder had no role in
study design, data collection and analysis, decision to
publish, or preparation of the manuscript. Abstract We showed previously that UBXD8 plays a key role in proteasomal degradation of lipidated
ApoB in hepatocarcinoma cell lines. In the present study, we aimed to investigate the func-
tions of UBXD8 in liver in vivo. For this purpose, hepatocyte-specific UBXD8 knockout
(UBXD8-LKO) mice were generated. They were fed with a normal or high-fat diet, and the
phenotypes were compared with those of littermate control mice. Hepatocytes obtained
from UBXD8-LKO and control mice were analyzed in culture. After 26 wk of a high-fat diet,
UBXD8-LKO mice exhibited macrovesicular steatosis in the periportal area and microvesi-
cular steatosis in the perivenular area, whereas control mice exhibited steatosis only in the
perivenular area. Furthermore, UBXD8-LKO mice on a high-fat diet had significantly lower
concentrations of serum triglyceride and VLDL than control mice. A Triton WR-1339 injec-
tion study revealed that VLDL secretion from hepatocytes was reduced in UBXD8-LKO
mice. The decrease of ApoB secretion upon UBXD8 depletion was recapitulated in cultured
primary hepatocytes. Accumulation of lipidated ApoB in lipid droplets was observed only in
UBXD8-null hepatocytes. The results showed that depletion of UBXD8 in hepatocytes sup-
presses VLDL secretion, and could lead to periportal steatosis when mice are fed a high-fat
diet. This is the first demonstration that an abnormality in the intracellular ApoB degradation
mechanism can cause steatosis, and provides a useful model for periportal steatosis, which
occurs in several human diseases. OPEN ACCESS Citation: Imai N, Suzuki M, Hayashi K, Ishigami M,
Hirooka Y, Abe T, et al. (2015) Hepatocyte-Specific
Depletion of UBXD8 Induces Periportal Steatosis in
Mice Fed a High-Fat Diet. PLoS ONE 10(5):
e0127114. doi:10.1371/journal.pone.0127114 Academic Editor: Patricia Aspichueta, University of
Basque Country, SPAIN Academic Editor: Patricia Aspichueta, University of
Basque Country, SPAIN Academic Editor: Patricia Aspichueta, University of
Basque Country, SPAIN
Received: December 26, 2014
Accepted: April 10, 2015
Published: May 13, 2015
Copyright: © 2015 Imai et al. This is an open access
article distributed under the terms of the Creative
Commons Attribution License, which permits
unrestricted use, distribution, and reproduction in any
medium, provided the original author and source are
credited. Academic Editor: Patricia Aspichueta, University of
Basque Country, SPAIN
Received: December 26, 2014
Accepted: April 10, 2015
Published: May 13, 2015
Copyright: © 2015 Imai et al. This is an open access
article distributed under the terms of the Creative
Commons Attribution License, which permits
unrestricted use, distribution, and reproduction in any
medium, provided the original author and source are
credited. Data Availability Statement: All relevant data are
within the paper and its Supporting Information files. UBXD8 Depletion Induces Periportal Steatosis factors [3,4], but other abnormalities can also cause steatosis, either on their own or in combi-
nation with other conditions [1]. Genetically manipulated mouse models have shown that de-
fects in lipid metabolism are conductive to steatosis and/or steatohepatitis [5]. factors [3,4], but other abnormalities can also cause steatosis, either on their own or in combi-
nation with other conditions [1]. Genetically manipulated mouse models have shown that de-
fects in lipid metabolism are conductive to steatosis and/or steatohepatitis [5]. Hepatocytes in steatotic liver harbor a large number of lipid droplets (LDs) in the cyto-
plasm. The LD is an organelle that exists in many types of cells and stores lipid esters, mainly
triglycerides (TG) and cholesterol esters, which are mobilized for various physiological pro-
cesses such as β-oxidation and membrane biogenesis [6,7]. Thus, the presence of LDs is impor-
tant for normal cell physiology. However, the excess LDs in steatotic liver indicate some
abnormality that could be related to overproduction of lipid esters or a deficiency in lipid ester
hydrolysis and use. In hepatocytes, lipid esters stored in LDs are utilized for synthesis of very low-density lipo-
proteins (VLDL) [8]. VLDL formation occurs by co-translational and post-translational lipida-
tion of apolipoprotein B (ApoB), and mature VLDL is secreted as a lipid ester–laden particle
containing an ApoB molecule [9]. For synthesis of VLDL, fatty acids (FAs) generated by hydro-
lysis of lipid esters in LDs are used preferentially over FAs that are newly synthesized or incor-
porated from the extracellular milieu [8]. Due to this preference for lipids stored in LDs, a
decrease in VLDL synthesis and/or secretion may lead to excessive accumulation of LDs in he-
patocytes. For example, patients with hypobetalipoproteinemia, who have low plasma VLDL
levels due to genetic abnormalities in the ApoB molecule, are susceptible to steatosis [10]. Because of its importance in systemic lipid homeostasis, VLDL secretion from hepatocytes
is tightly regulated, primarily through degradation of ApoB proteins rather than transcriptional
regulation. Proteasomal degradation of poorly lipidated ApoB at the Sec61 translocon has been
characterized in detail, but ApoB after lipidation is also degraded in the ER or post-ER com-
partments [11,12,13]. We previously showed that lipidated ApoB is subjected to ubiquitination
and degradation in the vicinity of LDs, and that UBXD8 plays a major role in this process
[14,15,16]. UBXD8, a hairpin-shaped protein anchored to the cytoplasmic surface of LDs and
the ER, binds to p97/VCP and ubiquitinated proteins through its UBX and UBA domains, re-
spectively [16,17]. In the hepatocarcinoma cell line Huh7, UBXD8 is engaged in transporting
ubiquitinated ApoB to proteasomes, and knockdown of UBXD8 causes aberrant accumulation
of ApoB in the ER lumen facing LDs [16]. Our previous result led us to hypothesize that dysfunction of UBXD8 may cause abnormali-
ties in systemic lipid metabolism. In this study, in order to address that possibility in the physi-
ological setting, we generated a hepatocyte-specific UBXD8-deficient mouse and studied its
phenotype in comparison to normal littermates. UBXD8-deficient mice fed a high-fat diet de-
veloped macrovesicular steatosis in the periportal area (zone 1) of the liver lobule, whereas con-
trol mice did not. Moreover, hepatocyte-specific UBXD8-deficient mice had significantly lower
levels of serum VLDL and TG than control mice. These results indicated that deficiency of
UBXD8 in hepatocytes compromises LD functionality, decreases VLDL secretion, and predis-
poses to steatosis. Introduction Steatosis (fatty liver) is highly prevalent in Western countries and may lead to steatohepatitis,
cirrhosis, and liver cancer [1,2]. Western-style diets, as well as metabolic disorders such as obe-
sity, insulin resistance, and type 2 diabetes mellitus, have been characterized as major risk Competing Interests: The authors have declared
that no competing interests exist. 1 / 19 PLOS ONE | DOI:10.1371/journal.pone.0127114
May 13, 2015 Morphological analysis of liver A small piece of liver from the left lateral lobe was excised from anesthetized mice after a 12-h
fast and exsanguination; the samples were fixed in 10% neutral buffered formalin. Paraffin sec-
tions were stained with hematoxylin and eosin (H&E) or Sirius red and observed using a
BZ-X700 microscope (Keyence, Osaka, Japan). Micrographs were collected from randomly cho-
sen 1 mm × 1.5 mm areas. Samples were classified as exhibiting perivenular microvesicular stea-
tosis when more than 10% of hepatocytes in zones 2 and 3 harbored small vesicles, and as
exhibiting periportal macrovesicular steatosis when more than 30% of periportal zones (zone 1)
contained hepatocytes harboring large vesicles. For electron microscopy, liver was perfusion-fixed with 2.5% glutaraldehyde and 2% formal-
dehyde in 0.1 mol/l sodium cacodylate buffer, post-fixed with 1% osmium tetroxide and 0.1%
potassium ferrocyanide in the same buffer, dehydrated, and embedded in Quetol-812. Ultrathin
sections counterstained with uranyl acetate and lead citrate were observed using a JEOL1011
electron microscope (JEOL, Tokyo, Japan). Materials and Methods
Antibodies Rabbit anti-UBXD8 antibody (GeneTex, Irvine, CA), goat anti-albumin antibody (Bethyl Lab-
oratories, Montgomery, TX), goat anti–apolipoprotein B antibody (Rockland Immunochem-
icals, Limerick, PA), rabbit anti–β-actin antibody (Sigma–Aldrich, St. Louis, MO), and
secondary antibodies conjugated to horseradish peroxidase (Thermo Fisher Scientific, Wal-
tham, MA) or fluorochromes (Thermo Fisher Scientific; Jackson ImmunoResearch Lab, West
Grove, PA) were obtained from the indicated suppliers. 2 / 19 PLOS ONE | DOI:10.1371/journal.pone.0127114
May 13, 2015 UBXD8 Depletion Induces Periportal Steatosis PCR Genotyping of Ubxd8flox/flox mice was performed by PCR of tail genomic DNA obtained from
4-wk-old mice (Fig 1A and 1B). Primers were as follows: for loxP, forward primer: 5’-CCAA
CCTCTGTGGGTCCTC-3’; reverse primer: 5’-TAACTCAGATCCCCAATCGC-3’; for albu-
min-Cre, forward primer: 5’-TTTGCCTGCATTACCGGTCGATGCAAC -3’; reverse primer:
5’-TGCCCCTGTTTCACTATCCAGGTTACGGA-3’. Because tail genomic DNA was identical
between the control (Cre-/-, Ubxd8flox/flox) and UBXD8-LKO (Cre+/-, Ubxd8flox/flox) mice, verifi-
cation of UBXD8 knockout in liver was performed by Western blotting, as described below. Animals Mice with exon 1 of Ubxd8 flanked by two LoxP sites (Ubxd8flox/flox) (Accession No. CDB0956K: http://www.cdb.riken.jp/arg/mutant%20mice%20list.html) (A) were generated in
a mixed genetic background of C57BL/6N and CBA, as described (http://www.cdb.riken.jp/
arg/Methods.html). The Ubxd8flox/flox mice were crossed with mice expressing the Cre recom-
binase driven by the albumin promoter (Jackson Laboratory, Bar Harbor, ME; B6.Cg-Tg(Alb-
cre)21Mgn/J) to generate hepatocyte-specific UBXD8 knockout (UBXD8-LKO) mice (Fig 1A). The UBXD8-LKO mice and their age-matched littermate controls (Cre-/-, Ubxd8flox/flox) were
maintained in temperature- and humidity-controlled specific pathogen-free conditions with a
12-h light/dark cycle and free access to food and water. Both UBXD8-LKO and the control mice were divided into two dietary groups: (1) normal
chow diet (ND: CLEA Rodent Diet CE-2, 4.6% fat, CLEA Japan, Tokyo, Japan), and (2) high-
fat diet (HFD: CLEA Rodent Diet Quick Fat, 14.4% fat, CLEA Japan). The diets started when
the mice were 4 wk of age and continued until the end of the experiments. The mice were anes-
thetized by intraperitoneal injection of sodium pentobarbital (50 mg/kg; Somnopentyl, Kyor-
itsu Seiyaku, Tokyo, Japan). All animal experiments conformed to the Guidelines for Proper
Conduct of Animal Experiments of the Science Council of Japan and were approved by the An-
imal Experimentation Committee of the Nagoya University Graduate School of Medicine (Ap-
proval ID: 26211). Analysis of liver lipids Lipids were extracted from frozen liver specimens with a mixture of chloroform/methanol
(2:1) using Folch’s method [20]. Concentrations of TG, total cholesterol, and free cholesterol
were assayed enzymatically using the TG-E test colorimetric kit, T-Cho E kit (Wako Pure
Chemical Industries, Osaka, Japan), and Determiner L FC kit (Kyowa Medex, Tokyo, Japan),
respectively. Biochemical analysis of blood samples Blood samples were collected from 30-wk-old mice after 12 h of fasting. Serum levels of total
protein, albumin, total bilirubin, glucose, TG, phospholipid, free FAs, total cholesterol, 3 / 19 PLOS ONE | DOI:10.1371/journal.pone.0127114
May 13, 2015 UBXD8 Depletion Induces Periportal Steatosis Fig 1. Hepatocyte-specific deletion of UBXD8 in mice. (A) PCR genotyping. The 187-bp and 245-bp products were obtained from wild-type and
Ubxd8flox/flox mice, respectively. (B) Western blot showing liver-specific depletion of UBXD8 in the UBXD8-LKO mouse. Tissue lysates were prepared from
control (Cre-/-, Ubxd8flox/flox) and UBXD8-LKO (Cre+/-, Ubxd8flox/flox) mice, and an equal amount (30 μg) of protein was loaded for each lane in
SDS-PAGE. (C) Western blot showing depletion of UBXD8 in hepatocytes isolated from the UBXD8-LKO mouse. Fig 1. Hepatocyte-specific deletion of UBXD8 in mice. (A) PCR genotyping. The 187-bp and 245-bp products were obtained from wild-type and
Ubxd8flox/flox mice, respectively. (B) Western blot showing liver-specific depletion of UBXD8 in the UBXD8-LKO mouse. Tissue lysates were prepared from
control (Cre-/-, Ubxd8flox/flox) and UBXD8-LKO (Cre+/-, Ubxd8flox/flox) mice, and an equal amount (30 μg) of protein was loaded for each lane in
SDS-PAGE. (C) Western blot showing depletion of UBXD8 in hepatocytes isolated from the UBXD8-LKO mouse. doi:10.1371/journal.pone.0127114.g001 doi:10.1371/journal.pone.0127114.g001 esterified cholesterol, free cholesterol, aspartate aminotransferase (AST), alanine aminotrans-
ferase (ALT), lactate dehydrogenase, and alkaline phosphatase (ALP) were measured by SRL
(Tokyo, Japan). Analysis of serum lipoprotein profiles using gel-filtration high-performance
liquid chromatography (HPLC; LipoSEARCH) was performed by Skylight Biotech (Akita,
Japan) [18]. The size of lipoproteins was defined as follows: CM, > 80 nm; VLDL, 30–80 nm;
LDL, 16–30 nm; HDL, 8–16 nm [19]. Primary hepatocytes in culture Hepatocytes were isolated from mouse liver by the two-step collagenase perfusion method
[22,23]. Briefly, Hank’s buffered salt solution followed by collagenase digestion medium was
perfused through a cannula inserted from superior vena cava. After the viability was checked,
3 × 106 cells were plated in a 60-mm dish in DMEM supplemented with 10% FBS and antibiot-
ics, and kept under an atmosphere of 95% air and 5% CO2 at 37°C. ApoB secretion was analyzed using cells 1 day after the isolation. The culture medium was
replaced with fresh medium, and then collected at 0, 1, 3, 6, 12, and 24 h. Samples were sub-
jected to SDS-PAGE, western blotting, and densitometry to quantitate the amount of ApoB se-
creted into the medium. ApoB levels were normalized against the number of cells each sample,
calculated from the amount of albumin secreted into the culture medium. For immunofluorescence labeling of ApoB, cells were fixed with a mixture of 3% formalde-
hyde and 0.01% glutaraldehyde in 0.1 mol/l phosphate buffer for 15 min, and then permeabi-
lized with 0.01% digitonin in PBS for 30 min before blocking and incubation with goat anti-
ApoB antibody (Bethyl Laboratories). LDs and nuclei were stained with BODIPY493/503
(Thermo Fisher Scientific) and bisBenzimide H33342 trihydrochloride (Hoechist, Sigma-Al-
drich), respectively. Images were captured using an Axiovert 200M fluorescence microscope
(Carl Zeiss, Jena, Germany) equipped with an Apochromat 63X lens with a 1.40 numerical ap-
erture. Images were obtained using the Apotome processing system. Cells and transfection HepG2 cells were obtained from the Japanese Collection of Research Bioresources Cell Bank
and cultured in Dulbecco’s modified Eagle’s medium (DMEM) supplemented with 10% fetal
bovine serum (FBS) and antibiotics at 37°C in a humidified atmosphere containing 5% CO2. Oleic acid (OA; Sigma-Aldrich) was mixed with FA-free bovine serum albumin (BSA) (Wako
Pure Chemical Industries, Osaka, Japan) at a molar ratio of 6:1 and applied at a final concentra-
tion of 0.4 mmol/l. Cells were transfected with small interfering RNA (siRNA) with Lipofecta-
mine 2000 (Thermo Fisher Scientific). VLDL secretion assay To estimate lipoprotein secretion from liver, mice fasted for 2 h were injected with Triton WR-
1339 (500 mg/kg body weight; Sigma–Aldrich) to inhibit lipoprotein lipase [21]. Blood samples 4 / 19 PLOS ONE | DOI:10.1371/journal.pone.0127114
May 13, 2015 UBXD8 Depletion Induces Periportal Steatosis were obtained from the tail vein before and 1 and 2 h after the Triton WR-1339 injection. Serum TG was measured by enzymatic methods using the TG-E test colorimetric kit. were obtained from the tail vein before and 1 and 2 h after the Triton WR-1339 injection. Serum TG was measured by enzymatic methods using the TG-E test colorimetric kit. Western blotting Proteins extracted from mouse tissue were electrophoresed by SDS-PAGE and electrotrans-
ferred to nitrocellulose filters. The Western blot signal was converted to chemiluminescence
and captured on a Light-Capture II imager (ATTO, Tokyo, Japan). The relative intensity of sig-
nals was measured using CS Analyzer 3 software (ATTO). Quantitative real time-PCR analysis Total RNA was isolated from frozen liver with TRIzol reagent (Thermo Fisher Scientific) and
reverse transcribed into cDNA using ReverTraAce qPCR kit (TOYOBO, Osaka, Japan). Ex-
pression analysis was performed by quantitative real-time PCR with Brilliant 3 Ultra-Fast
SYBR Green QPCR master mix (Agilent Technologies, Santa Clara, CA), using Hprt as the in-
ternal control. The TaqMan probes used for PCR amplification were obtained from Applied
Biosystems (Thermo Fisher Scientific). 5 / 19 PLOS ONE | DOI:10.1371/journal.pone.0127114
May 13, 2015 UBXD8 Depletion Induces Periportal Steatosis Pulse-chase experiment HepG2 cells transfected with control or UBXD8 siRNA (GE Healthcare Bio-Sciences, Piscataway,
NJ) were incubated in methionine/cysteine-free DMEM for 60 min, pulsed with 35 mCi/ml 35S-
methionine/cysteine (PerkinElmer, Waltham, MA) for 30 min, and chased with cold methionine/
cysteine for various periods of time. OA (0.4 mmol/l) in complex with FA-free BSA was adminis-
tered simultaneously with the pulse label and kept in the culture medium during the chase period. ApoB immunoprecipitated from the medium and cell lysate was subjected to Western blotting
and quantitated using a Typhoon scanner (GE Healthcare Bio-Sciences). Statistical analysis Statistical significance was analyzed either by Fisher’s exact test or Student’s t test, as appropri-
ate, using SPSS ver. 20 (IBM, Armonk, NY). All data are expressed as means ± SEM. All tests
were two-sided, and P values less than 0.05 were considered to represent statistically significant
differences. Box plots Box plots were prepared using BoxPlotR, provided at http://boxplot.tyerslab.com/ [24]. DNA microarray analysis DNA microarray analysis was performed by Kurabo Industries. Briefly, total RNA cleaned up
with the RNeasy MinElute Cleanup Kit (QIAGEN, Hilden, Germany) was applied to GeneChip
Mouse Gene ST Array (Affymetrix, Santa Clara, CA). Scanning was performed on a GeneChip
Scanner 3000 (Affymetrix), and the image was analyzed using GeneChip Operating Software
(ver1.4) and Expression Console Software ver.1.2.1 (Affymetrix). Generation of hepatocyte-specific UBXD8 knockout mouse UBXD8-LKO mice (Cre+/-, Ubxd8flox/flox) were born at Mendelian ratios and grew without ex-
hibiting any outward differences from littermate controls (Cre-/-, Ubxd8flox/flox). Over the
course of repeated matings between UBXD8-LKO and control mice, the conditional knockout
animals were born at the same rate as controls [UBXD8-LKO:control = 120:141 (female),
122:140 (male)], demonstrating that liver-specific deletion of UBXD8 did not significantly in-
fluence general development. Western blotting analysis confirmed lack of UBXD8 expression
in the liver of UBXD8-LKO mice, whereas in other organs, including brain, lung, spleen, and
kidney, UBXD8 was expressed at levels identical to those in controls (Fig 1C). The absence of
UBXD8 expression in hepatocytes per se was confirmed by using primary hepatocytes obtained
from UBXD8-LKO mice (Fig 1D). The result showed that UBXD8-LKO mice lacked UBXD8
expression specifically in hepatocytes. UBXD8 Depletion Induces Periportal Steatosis Fig 2. Body weight, liver weight, and blood chemistry results of mice fed a normal diet. Control and UBXD8-LKO mice (30 wk old) were fed a normal
diet for 26 wk. 15 females (A) and 15 males (B) were examined for each group. Center lines show the medians; box limits indicate the 25th and 75th
percentiles; whiskers extend 1.5 times the interquartile range (IQR) from the 25th and 75th percentiles; and outliers are represented by dots. The notches are
defined as ± 1.58*IQR/sqrt(n) and represent the 95% confidence interval for each median. Indices marked with an asterisk (*) differed significantly between
the two groups (P < 0.05; non-paired Student's t test). Numerical data (means ± SEM) and data on additional indices are shown in Table 1. BW: body weight;
LW: liver weight; Glu: glucose; FFA: free fatty acid; T-Cho: total cholesterol. Fig 2. Body weight, liver weight, and blood chemistry results of mice fed a normal diet. Control and UBXD8-LKO mice (30 wk old) were fed a normal
diet for 26 wk. 15 females (A) and 15 males (B) were examined for each group. Center lines show the medians; box limits indicate the 25th and 75th
percentiles; whiskers extend 1.5 times the interquartile range (IQR) from the 25th and 75th percentiles; and outliers are represented by dots. The notches are
defined as ± 1.58*IQR/sqrt(n) and represent the 95% confidence interval for each median. Indices marked with an asterisk (*) differed significantly between
the two groups (P < 0.05; non-paired Student's t test). Numerical data (means ± SEM) and data on additional indices are shown in Table 1. BW: body weight;
LW: liver weight; Glu: glucose; FFA: free fatty acid; T-Cho: total cholesterol. doi:10.1371/journal.pone.0127114.g002 difference in the opposite direction was seen in mice of the other sex. For example, serum phos-
pholipid level in males was lower in UBXD8-LKO mice than in controls, whereas in females it
was higher in UBXD8-LKO. On the other hand, the serum ALP level in the UBXD8-LKO mouse was 1.35-fold higher in
females and 1.27-fold higher in males. This observation might suggest minor damage in
UBXD8-null hepatocytes; however, the levels of other enzymes that should also increase in
serum upon liver damage, i.e., AST, ALT, and lactate dehydrogenase, did not change. There-
fore, it seemed unlikely that liver damage had occurred. Moreover, histological analysis of liver
paraffin sections stained with H&E did not reveal any difference between UBXD8-LKO and
control mice or any sign of hepatic damage or steatosis (S1 Fig). This result confirmed that de-
pletion of UBXD8 alone did not cause significant changes in liver histology and function up to
30 wk of age when mice were fed a normal diet. We maintained several mice from both cohorts
to 65 wk of age on the normal diet, but they did not exhibit particular histological differences
or abnormalities in their blood tests (data not shown). UBXD8-LKO mice fed a normal diet did not differ significantly from
controls UBXD8-LKO mice and littermate controls were kept on a normal diet for 26 wk after weaning,
and 15 males and 15 females from each group (i.e., 60 mice in total) were examined at 30 wk of
age. As shown in Fig 2 and Table 1, UBXD8-LKO and control mice exhibited statistically sig-
nificant differences in body weight, liver weight, and serum total protein in females and serum
phospholipid in males. For all four indices, however, the difference was relatively small, and a 6 / 19 PLOS ONE | DOI:10.1371/journal.pone.0127114
May 13, 2015 UBXD8-LKO mice fed a high-fat diet developed periportal macroscopic
steatosis When mice were fed a high-fat diet for 26 wk, from the time of weaning to the age of 30 wk, sever-
al significant differences were observed between UBXD8-LKO and control mice (Fig 3, Table 2). 7 / 19 PLOS ONE | DOI:10.1371/journal.pone.0127114
May 13, 2015 UBXD8 Depletion Induces Periportal Steatosis Table 1. Body weight, liver weight, and blood chemistry results of mice fed a normal diet. Normal diet
Female
Male
Control
UBXD8-LKO
P value
Control
UBXD8-LKO
P value
Parameter
Body weight (g)
24.16±0.69
22.33±0.36
0.026*
29.08±0.80
30.54±1.10
0.292
Liver weight (g)
1.01±0.03
0.90±0.02
0.030*
1.14±0.02
1.15±0.03
0.77
Liver/Body ratio (%)
4.17±0.08
4.06±0.07
0.333
3.94±0.10
3.81±0.09
0.349
Serum parameter
Total protein (g/dL)
4.86±0.09
4.56±0.06
0.012*
4.68±0.05
4.54±0.05
0.064
Albumin (g/dL)
3.27±0.04
3.20±0.03
0.251
3.03±0.04
2.97±0.04
0.368
Total bilirubin (mg/dL)
0.072±0.008
0.094±0.010
0.101
0.070±0.004
0.068±0.004
0.749
Glucose (mg/dL)
142.00±8.79
157.93±7.65
0.183
135.07±7.36
126.20±9.93
0.479
Triglyceride (mg/dL)
19.20±2.51
15.87±1.19
0.242
24.60±2.15
26.67±3.94
0.649
Phospholipid (mg/dL)
109.93±4.28
117.67±3.78
0.187
138.67±4.64
123.20±5.61
0.043*
Free fatty acid (μEQ/L)
536.93±46.19
482.27±20.01
0.287
531.13±23.81
577.67±34.21
0.274
Total cholesterol (mg/dL)
53.53±2.59
54.00±1.85
0.885
62.93±2.88
55.87±3.14
0.109
Esterified cholesterol (mg/dL)
39.67±2.10
38.87±1.42
0.755
46.87±2.19
41.47±2.24
0.097
Free cholesterol (mg/dL)
13.87±0.63
15.13±0.55
0.144
16.07±0.88
14.40±0.97
0.216
Aspartate aminotransferase (IU/L)
98.07±15.29
156.07±31.53
0.109
143.80±28.36
109.07±10.31
0.26
Alanine aminotransferase (IU/L)
30.53±2.33
54.27±12.94
0.082
37.47±3.77
37.60±2.55
0.977
Lactate Dehydrogenase (IU/L)
439.93±79.38
384.60±45.71
0.551
573.47±77.05
499.47±34.49
0.388
Alkaline phosphatase (IU/L)
358.53±17.10
484.73±37.08
0.004*
229.73±10.09
291.27±22.07
0.017*
Comparison of control and UBXD8-LKO mice (30 wk old) fed a normal diet. For each group, 15 females and 15 males were examined. P values were
obtained by non-paired Student's t test. Selected data sets are presented as box plots in Fig 2. n = 15. All data are presented as mean ± SE. P values are the results of non-paired Student's t test
(*: P<0.05). Comparison of control and UBXD8-LKO mice (30 wk old) fed a normal diet. For each group, 15 females and 15 males were examined. P values were
obtained by non-paired Student's t test. Selected data sets are presented as box plots in Fig 2. n = 15. All data are presented as mean ± SE. P values are the results of non-paired Student's t test
(*: P<0.05). doi:10.1371/journal.pone.0127114.t001 Under these conditions, as before, we examined 15 females and 15 males from each group, i.e., 60
mice in total. For many indices, statistically significant differences were seen only in females or
males, but under these conditions a difference in the same direction also occurred in the other sex. Three major differences were observed. First, UBXD8-LKO mice had lower body weight than
control mice (0.887-fold in females and 0.897-fold in males). Comparison of control and UBXD8-LKO mice (30 wk old) fed a normal diet. For each group, 15 females and 15 males were examined. P values were
obtained by non-paired Student's t test. Selected data sets are presented as box plots in Fig 2. n = 15. All data are presented as mean ± SE.
P values are the results of non-paired Student's t test PLOS ONE | DOI:10.1371/journal.pone.0127114
May 13, 2015 UBXD8 Depletion Induces Periportal Steatosis Fig 3. Body weight, liver weight, and blood chemistry results of mice fed a high-fat diet. Control and UBXD8-LKO mice (30 wk old) fed a high-fat diet for
26 wk. 15 females (A) and 15 males (B) were examined for each group. Indices marked with an asterisk (*) differed significantly between the two groups
(P < 0.05; non-paired Student's t test). Box plots were prepared in the same manner as Fig 2. Numerical data (means ± SEM) and data on additional indices
are shown in Table 2. BW: body weight; LW: liver weight; Glu: glucose; FFA: free fatty acid; T-Cho: total cholesterol. Fig 3. Body weight, liver weight, and blood chemistry results of mice fed a high-fat diet. Control and UBXD8-LKO mice (30 wk old) fed a high-fat diet for
26
k 15 f
l
(A)
d 15
l
(B)
i
d f
h
I di
k d
i h
i k (*) diff
d i
ifi
l b
h Fig 3. Body weight, liver weight, and blood chemistry results of mice fed a high-fat diet. Control and UBXD8-LKO mice (30 wk old) fed a high-fat diet for
26 wk. 15 females (A) and 15 males (B) were examined for each group. Indices marked with an asterisk (*) differed significantly between the two groups
(P < 0.05; non-paired Student's t test). Box plots were prepared in the same manner as Fig 2. Numerical data (means ± SEM) and data on additional indices
are shown in Table 2. BW: body weight; LW: liver weight; Glu: glucose; FFA: free fatty acid; T-Cho: total cholesterol. doi:10.1371/journal.pone.0127114.g003 and free cholesterol in liver did not differ significantly between UBXD8-LKO mice and controls,
probably due to the presence of microvesicular steatosis in a wide area of the lobule in both
groups (Fig 4B). Macrovesicular steatosis in UBXD8-LKO mice was not accompanied by inflam-
matory changes (Fig 4A) or fibrosis (data not shown). Insulin sensitivity was also unchanged be-
tween UBXD8-LKO and control mice (data not shown). Second, serum TG and free FA were
lower in the UBXD8-LKO mice than in controls (TG: 0.665-fold in females and 0.632-fold times
in males; free FA: 0.899-fold in females and 0.853-fold in males). Third, serum AST and ALP
were higher in UBXD8-LKO mice than in control (AST, 1.74-fold in females and 1.30-fold in
males; ALP, 2.23-fold in females and 1.52-fold in males). Under these conditions, as before, we examined 15 females and 15 males from each group, i.e., 60
mice in total. For many indices, statistically significant differences were seen only in females or
males, but under these conditions a difference in the same direction also occurred in the other sex. Three major differences were observed. First, UBXD8-LKO mice had lower body weight than
control mice (0.887-fold in females and 0.897-fold in males). Second, serum TG and free FA were
lower in the UBXD8-LKO mice than in controls (TG: 0.665-fold in females and 0.632-fold times
in males; free FA: 0.899-fold in females and 0.853-fold in males). Third, serum AST and ALP
were higher in UBXD8-LKO mice than in control (AST, 1.74-fold in females and 1.30-fold in
males; ALP, 2.23-fold in females and 1.52-fold in males). Liver histology also differed notably between UBXD8-LKO mice and controls. In both
groups, microvesicular steatosis was prominent in the perivenular area (zone 3) and transition
area (zone 2). However, macrovesicular steatosis in the periportal area (zone 1) was observed
exclusively in UBXD8-LKO mice (Fig 4A). Electron microscopy confirmed that macrovesicular
structures in the periportal hepatocytes of UBXD8-LKO mice were large LDs. These LDs were
structurally similar to those in microvesicular steatotic cells, but were often surrounded by
abundant glycogen granules (S2 Fig). In UBXD8-LKO mice, periportal macrovesicular steatosis was seen more frequently in fe-
males than in males (Table 3), consistent with the finding that serum AST and ALP levels were
much higher in females (Fig 3, Table 2). On the other hand, the amounts of TG, total cholesterol, 8 / 19 PLOS ONE | DOI:10.1371/journal.pone.0127114
May 13, 2015 PLOS ONE | DOI:10.1371/journal.pone.0127114
May 13, 2015 UBXD8 Depletion Induces Periportal Steatosis Table 2. Body weight, liver weight, and blood chemistry results of mice fed a high-fat diet. High-fat diet
Female
Male
Control
UBXD8-LKO
P value
Control
UBXD8-LKO
P value
Parameter
Body weight (g)
39.63±1.79
35.18±1.43
0.063
43.51±1.13
39.04±1.51
0.025*
Liver weight (g)
1.44±0.12
1.34±0.09
0.518
1.82±0.15
1.60±0.15
0.326
Liver/Body ratio (%)
3.61±0.19
3.79±0.16
0.512
4.17±0.30
4.03±0.24
0.729
Serum parameter
Total protein (g/dL)
4.78±0.04
4.89±0.09
0.309
4.77±0.05
4.68±0.07
0.332
Albumin (g/dL)
3.25±0.04
3.28±0.05
0.621
3.04±0.04
2.95±0.05
0.24
Total bilirubin (mg/dL)
0.060±0.007
0.094±0.008
0.005*
0.050±0.002
0.057±0.003
0.147
Glucose (mg/dL)
230.53±11.66
213.53±12.12
0.321
211.40±11.47
208.87±10.42
0.871
Triglyceride (mg/dL)
59.67±5.14
39.67±4.93
0.009*
76.73±6.28
48.47±6.89
0.005*
Phospholipid (mg/dL)
162.07±8.69
183.60±9.34
0.103
203.87±6.33
187.00±8.45
0.122
Free fatty acid (μEQ/L)
724.20±41.04
651.27±43.04
0.23
639.87±32.13
545.67±24.26
0.027*
Total cholesterol (mg/dL)
88.93±5.58
94.07±5.81
0.529
110.13±3.78
97.73±5.45
0.072
Esterified cholesterol (mg/dL)
69.07±4.27
69.87±4.50
0.898
84.20±2.85
73.87±4.05
0.046*
Free cholesterol (mg/dL)
19.87±1.37
24.20±1.41
0.037*
25.93±1.02
23.87±1.46
0.257
Aspartate aminotransferase (IU/L)
99.67±7.16
173.53±16.36
<0.0001*
89.20±11.23
115.80±11.87
0.115
Alanine aminotransferase (IU/L)
44.40±8.86
85.87±9.27
0.003*
57.93±17.46
54.60±12.76
0.879
Lactate Dehydrogenase (IU/L)
570.73±84.71
486.87±40.20
0.379
478.93±49.36
513.93±54.61
0.638
Alkaline phosphatase (IU/L)
280.80±12.96
624.80±80.54
<0.0001*
226.87±19.98
344.07±55.82
0.058
Comparison of control and UBXD8-LKO mice (30 wk old) fed a high-fat diet for 26 wk. For each group, 15 females and 15 males were examined. P values
were obtained by non-paired Student's t test. Selected data sets are presented as box plots in Fig 3. n = 15. All data are presented as mean ± SE. P
values are the results of non-paired Student's t test
(*: P<0.05). Table 2. Body weight, liver weight, and blood chemistry results of mice fed a high-fat diet. Comparison of control and UBXD8-LKO mice (30 wk old) fed a high-fat diet for 26 wk. For each group, 15 females and 15 males were examined. P values
were obtained by non-paired Student's t test. Selected data sets are presented as box plots in Fig 3. n = 15. All data are presented as mean ± SE. P
values are the results of non-paired Student's t test
(*: P<0.05). doi:10.1371/journal.pone.0127114.t002 was significantly lower in UBXD8-LKO mice than in controls, in both females and males
(Fig 6), indicating that the absence of UBXD8 from hepatocytes led to a decrease in lipoprotein
secretion. was significantly lower in UBXD8-LKO mice than in controls, in both females and males
(Fig 6), indicating that the absence of UBXD8 from hepatocytes led to a decrease in lipoprotein
secretion. We suspected that the lack of UBXD8 might have down-regulated VLDL secretion indirect-
ly by influencing expression of other molecules. To investigate this possibility, we measured
mRNAs related to VLDL synthesis. However, neither quantitative real time-PCR (S3 Fig) nor
microarray analysis (S1 Table) revealed any significant difference between UBXD8-LKO mice
and the controls. Thus, the observed decrease in serum VLDL-TG was caused by the loss of
UBXD8 function in hepatocytes. VLDL in UBXD8-LKO mice In light of the finding that the serum TG level was significantly lower in UBXD8-LKO mice
than controls under a high-fat diet, we analyzed the lipoprotein profile to measure TG in lipo-
protein fractions (Fig 5A). TG in VLDL (VLDL-TG) was lower in UBXD8-LKO mice than in
controls, and the difference became significantly larger when the animals were fed a high-fat
diet (Fig 5B). The TG-to-cholesterol ratio in VLDL was also lower in UBXD8-LKO mice than
in controls whether mice were fed a normal or a high-fat diet (Fig 5C). Considering that TG
and cholesterol are largely present in the core and the outer phospholipid monolayer of the
VLDL particle, respectively, these results suggested that lipidation of ApoB (i.e., loading of TG
to nascent ApoB) is defective in the UBXD8-null hepatocytes. The low TG level in UBXD8-LKO mice also suggested that the absence of UBXD8 sup-
pressed secretion from hepatocytes. To address this possibility, we measured serum TG after
injection of Triton WR-1339, which inhibits lipoprotein lipase and thereby suppresses lipopro-
tein degradation [21]. The result clearly showed that TG level after Triton WR-1339 injection 9 / 19 PLOS ONE | DOI:10.1371/journal.pone.0127114
May 13, 2015 UBXD8-deficient hepatocytes were decreased in ApoB secretion To more directly measure the effect of UBXD8 deficiency on VLDL secretion, we cultured hepa-
tocytes isolated from livers of UBXD8-LKO and control mice, and compared the amount of
ApoB secreted into the culture medium. Based on the in vivo result that the serum albumin level
was equivalent between UBXD8-LKO and control mice (Tables 1 and 2), we used secreted albu-
min as the normalization standard. ApoB secretion from the UBXD8-deficient hepatocytes was
lower than that from controls in standard culture medium, i.e., DMEM and 10% FBS (Fig 7A). The difference became more evident and significant when 0.4 mmol/l OA was added to the 10 / 19 PLOS ONE | DOI:10.1371/journal.pone.0127114
May 13, 2015 UBXD8 Depletion Induces Periportal Steatosis Fig 4. High-fat diet caused periportal steatosis in UBXD8-LKO mice. (A) Histology of liver sections obtained from control and UBXD8-LKO mice (30 wk
old) fed a high-fat diet for 26 wk. The perivenular area (zone 3) of both groups showed steatosis of the predominantly microvesicular type, whereas the
periportal area (zone 1) showed macrovesicular steatosis only in UBXD8-LKO mice. CV: central vein, PV: portal vein. (B) Analysis of lipids extracted from
livers of control and UBXD8-LKO mice fed a high-fat diet for 26 wk. TG, total cholesterol, and free cholesterol did not exhibit significant differences between
the two groups (n = 5; means ± SEM). Fig 4. High-fat diet caused periportal steatosis in UBXD8-LKO mice. (A) Histology of liver sections obtained from control and UBXD8-LKO mice (30 wk
old) fed a high-fat diet for 26 wk. The perivenular area (zone 3) of both groups showed steatosis of the predominantly microvesicular type, whereas the
periportal area (zone 1) showed macrovesicular steatosis only in UBXD8-LKO mice. CV: central vein, PV: portal vein. (B) Analysis of lipids extracted from
livers of control and UBXD8-LKO mice fed a high-fat diet for 26 wk. TG, total cholesterol, and free cholesterol did not exhibit significant differences between
the two groups (n = 5; means ± SEM). Fig 4. High-fat diet caused periportal steatosis in UBXD8-LKO mice. (A) Histology of liver sections obtained from control and UBXD8-LKO mice (30 wk
old) fed a high-fat diet for 26 wk. The perivenular area (zone 3) of both groups showed steatosis of the predominantly microvesicular type, whereas the
periportal area (zone 1) showed macrovesicular steatosis only in UBXD8-LKO mice. CV: central vein, PV: portal vein. Discussion In this study, we showed that hepatocyte-specific UBXD8-deficient mice fed a high-fat diet de-
velop periportal macrovesicular steatosis accompanied by a decrease in VLDL secretion. The
phenotype was distinct from that of the majority of mouse steatosis models generated by either
dietary or genetic manipulation, in which blood TG levels are higher than or equivalent to
those of controls [5,26]. Steatosis with abnormal VLDL secretion has been observed in several mouse models: mice
fed a methionine- and choline-deficient (MCD) diet [27], liver-specific microsomal triglyceride
transfer protein (MTP)-knockout mice [28], mice heterozygously expressing the ApoB 38.9
mutant [29], methionine adenosyltransferase 1A-knockout mice [30] and glycine N-methyl-
transferase-knockout mice [31]. In these models, VLDL secretion was reduced due to a defect
in an early step of lipoprotein formation: the MCD diet as well as depletion of either methio-
nine adenosyltransferase 1A impairs VLDL formation by suppressing phosphatidylcholine
synthesis [32]; in the absence of glycine N-methyltransferase, a high level of S-adenosylmethio-
nine disrupts VLDL assembly [31]; MTP depletion and the truncated ApoB mutant hinder co-
translational processes by inhibiting lipidation [33] and perturbing TG packaging, respectively. Unlike other secretory proteins, ApoB secretion is regulated mainly by proteasomal degrada-
tion of poorly lipidated nascent polypeptide [11]. In both MTP-KO and ApoB 38.9 mutant
mice, the reduction in VLDL was caused by activation of this mechanism. What, then, was the cause of a similar abnormality, i.e., steatosis with decreased VLDL se-
cretion, in UBXD8-LKO mice? Our previous study showed that UBXD8 plays a critical role in
degrading ApoB after lipidation [16], which is distinct from the co-translational mechanism
that deals with poorly lipidated ApoB at the translocon [11,13]. We also showed that knock-
down of UBXD8 induces accumulation of lipidated ApoB on the LD surface facing the ER
lumen [16]. Furthermore, we found that serum VLDL in the UBXD8-LKO mouse showed a
lower TG-to-cholesterol ratio than did that in the control mouse (Fig 5C), suggesting a defect
in the ApoB lipidation process. Based on these results, we speculate that the abnormalities that
we observed in the UBXD8-LKO mouse were caused as follows. When the UBXD8-dependent
ApoB degradation mechanism is compromised, lipidated ApoB accumulates at the interface
between LDs and the ER [15,16]. Feeding 5 females and 15 males were examined by microscopy of paraffin sections stained with H&E. Statistical
Fisher’s exact test. For both control and UBXD8-LKO mice, 15 females and 15 males were examined by microscopy of paraffin sections stained with H&E. Statistical
significance of the data was analyzed by Fisher’s exact test. *P<0.001 by Fisher's exact test. doi:10.1371/journal.pone.0127114.t003 UBXD8 Depletion Induces Periportal Steatosis Table 3. Histological evaluation of liver at 30 wk of age. Control
UBXD8-LKO
Feeding
Normal diet
High-fat diet
Normal diet
High-fat diet
Sex
Female
Male
Female
Male
Female
Male
Female
Male
Perivenular microvesicular steatosis
0/15
0/15
6/15
12/15
0/15
0/15
6/15
8/15
Periportal macrovesicular steatosis
0/15
0/15
0/15*
1/15
0/15
0/15
9/15*
4/15
For both control and UBXD8-LKO mice, 15 females and 15 males were examined by microscopy of paraffin sections stained with H&E. Statistical
significance of the data was analyzed by Fisher’s exact test. *P<0.001 by Fisher's exact test. Table 3. Histological evaluation of liver at 30 wk of age. Table 3. Histological evaluation of liver at 30 wk of age UBXD8-deficient hepatocytes were decreased in ApoB secretion (B) Analysis of lipids extracted from
livers of control and UBXD8-LKO mice fed a high-fat diet for 26 wk. TG, total cholesterol, and free cholesterol did not exhibit significant differences between
the two groups (n = 5; means ± SEM). doi:10.1371/journal.pone.0127114.g004 culture medium (Fig 7A). A similar decrease in ApoB secretion was observed in HepG2, a hepa-
tocellular cell line that retains the ability to secrete ApoB [25], when UBXD8 was knocked down
by siRNA transfection (Fig 7B). These results confirmed that the decrease in serum VLDL-TG in
the UBXD8-LKO mouse was caused by downregulation of VLDL secretion from hepatocytes. Finally, the ApoB-crescent, an LD–ER amalgamation structure that indicates aberrant accu-
mulation of lipidated ApoB [14,15], was observed in primary hepatocytes obtained from
UBXD8-LKO mice, but not in those from control mice (Fig 7C). Although the frequency of
ApoB-crescents was low, this result indicated that UBXD8 in normal hepatocytes is also en-
gaged in proteasomal degradation of lipidated ApoB, as shown previously in hepatocarcinoma
cell lines [15,16]. culture medium (Fig 7A). A similar decrease in ApoB secretion was observed in HepG2, a hepa-
tocellular cell line that retains the ability to secrete ApoB [25], when UBXD8 was knocked down
by siRNA transfection (Fig 7B). These results confirmed that the decrease in serum VLDL-TG in
the UBXD8-LKO mouse was caused by downregulation of VLDL secretion from hepatocytes. Finally, the ApoB-crescent, an LD–ER amalgamation structure that indicates aberrant accu-
mulation of lipidated ApoB [14,15], was observed in primary hepatocytes obtained from
UBXD8-LKO mice, but not in those from control mice (Fig 7C). Although the frequency of
ApoB-crescents was low, this result indicated that UBXD8 in normal hepatocytes is also en-
gaged in proteasomal degradation of lipidated ApoB, as shown previously in hepatocarcinoma
cell lines [15,16]. the UBXD8-LKO mouse was caused by downregulation of VLDL secretion from hepatocytes. Finally, the ApoB-crescent, an LD–ER amalgamation structure that indicates aberrant accu-
mulation of lipidated ApoB [14,15], was observed in primary hepatocytes obtained from
UBXD8-LKO mice, but not in those from control mice (Fig 7C). Although the frequency of
ApoB-crescents was low, this result indicated that UBXD8 in normal hepatocytes is also en-
gaged in proteasomal degradation of lipidated ApoB, as shown previously in hepatocarcinoma
cell lines [15,16]. 11 / 19 PLOS ONE | DOI:10.1371/journal.pone.0127114
May 13, 2015 PLOS ONE | DOI:10.1371/journal.pone.0127114
May 13, 2015 Discussion This aberrant ApoB accumulation is likely to disturb the nor-
mal lipidation process, which involves utilization of lipids in LDs at the LD–ER interface [8],
eventually leading to a decrease in VLDL secretion (Fig 8). On the other hand, an in vitro study
indicated that UBXD8 functions as a sensor for unsaturated FA, thereby regulating TG synthe-
sis [17]. Lack of this functionality may contribute to the development of steatosis, but it is not
likely to cause the decrease of serum TG, VLDL, and ApoB secretion that was observed in the
UBXD8-LKO mouse. 12 / 19 PLOS ONE | DOI:10.1371/journal.pone.0127114
May 13, 2015 UBXD8 Depletion Induces Periportal Steatosis the VLDL portion. FG: free glycerol. (B) VLDL-TG was lower in UBXD8-LKO mice than in normal mice, even when they were fed a normal diet. The difference
between the control and UBXD8-LKO mouse became significantly larger when mice were fed a high-fat diet. P values were obtained by non-paired Student's
t test (n = 3; means ± SEM). (C) The TG-to-cholesterol ratio in VLDL tended to be lower in the UBXD8-LKO than in the control mouse. P values were obtained
by non-paired Student's t test (n = 3; means ± SEM). doi:10.1371/journal.pone.0127114.g005 doi:10.1371/journal.pone.0127114.g005 When the UBXD8-LKO mice were fed a normal diet, they did not exhibit any difference rela-
tive to controls. A high-fat diet induced macrovesicular steatosis in the periportal region of the
UBXD-deficient liver, but even in this condition, neither inflammation nor fibrosis was ob-
served. The mild phenotype of the UBXD8-LKO mouse suggests that the UBXD8-dependent
mechanism plays a relatively minor role in intracellular ApoB degradation. When the UBXD8--
dependent mechanism is not working normally, it is likely that other post-translational ApoB
degradation mechanisms, which may be collectively called "post-ER presecretory proteolysis"
[12], are up-regulated, so that the abnormality became apparent only upon exposure to an addi-
tional stress (e.g., a high-fat diet). Nevertheless, the results of this study show for the first time
that a defect in a degradation mechanism of ApoB after lipidation could lead to steatosis. Notably, UBXD8-LKO mice fed a high-fat diet developed steatosis in the periportal zone,
whereas control mice did not. Periportal steatosis was previously observed in ATGL-knockout
mice [34] and CGI58-knockout mice [35]. ATGL and its activator, CGI58, are engaged in hy-
drolyzing TG to generate FAs [36]; consequently, preferential LD accumulation in periportal
hepatocytes in mice lacking either ATGL or CGI58 might suggest zonation of the liver lobule
with respect to TG hydrolysis activity [37,38]. There is no consensus view on zonation in the
normal liver in regard to VLDL secretion [38,39]; however, upon exposure to endotoxin, VLDL secretion is up-regulated, primarily in periportal hepatocytes [40]. This observation sug-
gests that periportal hepatocytes have a greater potential to produce VLDL than hepatocytes in
other zones. We speculate that the increase in VLDL secretion in animals receiving a high-fat Fig 6. TG secretion was lower in UBXD8-LKO mice than in controls. TG secretion estimated by the Triton WR-1339 injection method. UBXD8 Depletion Induces Periportal Steatosis Fig 5. Analysis of serum lipoproteins. (A) Lipoprotein profile obtained by gel filtration–HPLC of mouse serum at 30 wk old. A representative result on TG
(blue) and total cholesterol (red) is shown for sera of normal and UBXD8-LKO male mice fed a normal (A) or a high-fat diet (B). Sera from female mice gave
similar results. Sera for the UBXD8-LKO group fed a high-fat diet were taken from mice showing periportal steatosis. Lower panels show a magnified view of Fig 5. Analysis of serum lipoproteins. (A) Lipoprotein profile obtained by gel filtration–HPLC of mouse serum at 30 wk old. A representative result on TG
(blue) and total cholesterol (red) is shown for sera of normal and UBXD8-LKO male mice fed a normal (A) or a high-fat diet (B). Sera from female mice gave
similar results. Sera for the UBXD8-LKO group fed a high-fat diet were taken from mice showing periportal steatosis. Lower panels show a magnified view of PLOS ONE | DOI:10.1371/journal.pone.0127114
May 13, 2015 13 / 19 UBXD8 Depletion Induces Periportal Steatosis Fig 7. Comparison of cultured cells. (A) Cultured primary hepatocytes obtained from the UBXD8-LKO mice secreted lower levels of ApoB than cells
obtained from the control mice. Hepatocytes obtained from female mice fed a normal diet until 12 wk of age were cultured, and ApoB and albumin secreted
into the culture medium were examined by densitometry of Western-blot signals. The albumin signal was used for normalization. The amount of secreted
ApoB was lower in hepatocytes obtained from UBXD8-LKO mice than in those obtained from control mice, whether the cells were cultured in the normal
medium (DMEM + 10% FBS) (left) or in the medium supplemented with 0.4 mmol/l OA (right). P values were obtained by non-paired Student's t test (n = 3;
means ± SEM). (B) HepG2 cells transfected with control or UBXD8 siRNA were pulse-labeled with 35S-methionine and treated with 0.4 mmol/l oleic acid. ApoB immunoprecipitated from the medium at 1 and 3 h was subjected to SDS-PAGE and quantitated by radiography. ApoB secreted in the medium is
shown as the ratio relative to total cellular ApoB immediately after pulse-labeling. (C) Primary hepatocytes obtained from UBXD8-LKO mice showed ApoB-
crescent structures. The ApoB-crescent was observed as a crescent-shaped ApoB labeling (red) adjacent to LDs (green). Nuclei were stained with Hoechst
dye (blue). The ApoB-crescent was present only in cells derived from UBXD8-LKO mice, and not in those obtained from control mice. Cells were cultured in
the presence of 1.2 mmol/l OA. d i 10 1371/j
l
0127114 007 Fig 7. Comparison of cultured cells. (A) Cultured primary hepatocytes obtained from the UBXD8-LKO mice secreted lower levels of ApoB than cells
obtained from the control mice. Hepatocytes obtained from female mice fed a normal diet until 12 wk of age were cultured, and ApoB and albumin secreted
into the culture medium were examined by densitometry of Western-blot signals. The albumin signal was used for normalization. The amount of secreted
ApoB was lower in hepatocytes obtained from UBXD8-LKO mice than in those obtained from control mice, whether the cells were cultured in the normal
medium (DMEM + 10% FBS) (left) or in the medium supplemented with 0.4 mmol/l OA (right). P values were obtained by non-paired Student's t test (n = 3;
means ± SEM). (B) HepG2 cells transfected with control or UBXD8 siRNA were pulse-labeled with 35S-methionine and treated with 0.4 mmol/l oleic acid. Control and
UBXD8-LKO mice, both male and female, were fed a normal diet until 30–33 wk of age. Serum TG levels were measured before and 1 and 2 h after the Triton
WR-1339 injection. P values were obtained by non-paired Student's t test (n = 4; means ± SEM). Fig 6. TG secretion was lower in UBXD8-LKO mice than in controls. TG secretion estimated by the Triton WR-1339 injection method. Control and
UBXD8-LKO mice, both male and female, were fed a normal diet until 30–33 wk of age. Serum TG levels were measured before and 1 and 2 h after the Triton
WR-1339 injection. P values were obtained by non-paired Student's t test (n = 4; means ± SEM). doi:10.1371/journal.pone.0127114.g006 PLOS ONE | DOI:10.1371/journal.pone.0127114
May 13, 2015 14 / 19 PLOS ONE | DOI:10.1371/journal.pone.0127114
May 13, 2015 ApoB immunoprecipitated from the medium at 1 and 3 h was subjected to SDS-PAGE and quantitated by radiography. ApoB secreted in the medium is
shown as the ratio relative to total cellular ApoB immediately after pulse-labeling. (C) Primary hepatocytes obtained from UBXD8-LKO mice showed ApoB-
crescent structures. The ApoB-crescent was observed as a crescent-shaped ApoB labeling (red) adjacent to LDs (green). Nuclei were stained with Hoechst
dye (blue). The ApoB-crescent was present only in cells derived from UBXD8-LKO mice, and not in those obtained from control mice. Cells were cultured in
the presence of 1.2 mmol/l OA. doi:10.1371/journal.pone.0127114.g007 diet may also be carried out preferentially by periportal hepatocytes. When VLDL secretion in-
creases, the levels of aberrant ApoB that needs to be degraded by post-translational mecha-
nisms should also increase. In this study, periportal steatosis in the UBXD8-LKO mouse
probably became evident due to this additional requirement imposed by a high-fat diet. In human, periportal steatosis is observed only in a limited number of diseases, such as
AIDS, malnutrition, and kwashiorkor [41]. It is rare in adult non-alcoholic fatty liver disease
(NAFLD), but it occurs with a higher frequency in pediatric NAFLD [42]. It is not clear why
steatosis in these diseases occurs in the periportal zone, but the results reported here, as well as
the results of ATGL-knockout and CGI58-knockout mouse studies, might provide clues about
pathogenesis. Another notable observation in this study was that female UBXD8-LKO mice exhibited ab-
normalities in more indices than male mice. A similar gender difference has been observed in a
few other non-alcoholic steatohepatitic (NASH) mouse models, but in most others, especially
those induced by a high-fat diet, males exhibit more severe phenotype than females [43]. On
the other hand, although some studies have shown that NASH in human patients above 50 15 / 19 UBXD8 Depletion Induces Periportal Steatosis Fig 8. Diagram of ApoB lipidation and VLDL maturation in normal and UBXD8-deficient hepatocytes. In normal hepatocytes, lipidated ApoB destined for proteasomal degradation is translocated to the
cytoplasmic side and subjected to ubiquitination by a UBXD8-dependent mechanism. In the absence of
UBXD8, lipidated ApoB accumulates at the ER–LD interface and disturbs the normal ApoB lipidation
process. This probably results in a decrease in VLDL-TG secretion in UBXD8-null hepatocytes. doi:10.1371/journal.pone.0127114.g008 Fig 8. Diagram of ApoB lipidation and VLDL maturation in normal and UBXD8-deficient hepatocytes. In normal hepatocytes, lipidated ApoB destined for proteasomal degradation is translocated to the
cytoplasmic side and subjected to ubiquitination by a UBXD8-dependent mechanism. In the absence of
UBXD8, lipidated ApoB accumulates at the ER–LD interface and disturbs the normal ApoB lipidation
process. This probably results in a decrease in VLDL-TG secretion in UBXD8-null hepatocytes. doi:10.1371/journal.pone.0127114.g008 doi:10.1371/journal.pone.0127114.g008 years old is more prevalent in women than in men, other studies have reported that the male–
female distribution of NASH varies by ethnicity [44]. Thus, many uncertainties remain regard-
ing whether and how gender affects the incidence of steatosis and related liver diseases. These
observations emphasize the importance of examining mice of both sexes, especially when
studying genetically engineered mouse models for the first time. The amino-acid sequences of human and mouse UBXD8 are almost identical (97.75% iden-
tity, 99.32% similarity), but steatosis due to UBXD8 dysfunction has not been reported in hu-
mans. We suspect that this is because UBXD8 is expressed in many organs, so that mutations
that severely compromise its functionality may be fatal. Indeed, we found that systemic deple-
tion of UBXD8 in mouse is lethal at an early stage of embryonic development (Suzuki and Fuji-
moto, unpublished observation). On the other hand, mutations with relatively mild effects on
UBXD8 function may not cause apparent phenotypes. However, individuals with such UBXD8 16 / 19 PLOS ONE | DOI:10.1371/journal.pone.0127114
May 13, 2015 UBXD8 Depletion Induces Periportal Steatosis mutations may be predisposed to diseases, which manifest under unfavorable conditions. Therefore, we believe that UBXD8 mutations in human samples warrant further studies. Supporting Information S1 Fig. Histology of liver sections obtained from control and UBXD8-LKO mice (30 wk
old) fed a normal diet for 26 weeks. No pathological changes were observed in either group. CV: central vein, PV: portal vein. (DOCX) S1 Fig. Histology of liver sections obtained from control and UBXD8-LKO mice (30 wk
old) fed a normal diet for 26 weeks. No pathological changes were observed in either group. CV: central vein, PV: portal vein. (DOCX) S2 Fig. Electron microscopy of hepatocytes in vivo. (A) Hepatocytes in the perivenular zone
of control mice. Cells had many LDs of less than 2 μm in diameter. (B) Hepatocytes in the peri-
portal zone of UBXD8-LKO mice. Large LDs, often more than 5 zm in diameter, were observed
in close association with clusters of glycogen granules. (DOCX) S2 Fig. Electron microscopy of hepatocytes in vivo. (A) Hepatocytes in the perivenular zone
of control mice. Cells had many LDs of less than 2 μm in diameter. (B) Hepatocytes in the peri-
portal zone of UBXD8-LKO mice. Large LDs, often more than 5 zm in diameter, were observed
in close association with clusters of glycogen granules. S3 Fig. Quantitative real-time PCR analysis. Liver samples were examined from 30-wk-old
female mice fed a normal or a high-fat diet. The level of gene expression was normalized using
Hprt as the standard (means ± SEM). No significant difference was observed in any mRNA. (DOCX) S1 Table. DNA microarray analysis. Liver samples were taken from control and UBXD8-LKO
female mice of 30 wk old, which were fed a normal diet or a high-fat diet, and exhibited the typ-
ical histological feature as shown in Fig 4A and S1 Fig. One mouse was used for each
experimental group. (XLS) Acknowledgments We thank Dr. Naoya Asai (Nagoya University Graduate School of Medicine) for invaluable ad-
vise on histological analysis of liver sections, and Dr. Masayuki Komatsu (Niigata University
School of Medicine) for kind help in generating the UBXD8-LKO mouse. Author Contributions Conceived and designed the experiments: MS TF. Performed the experiments: NI TA GS. Ana-
lyzed the data: NI MS TF. Contributed reagents/materials/analysis tools: MS. Wrote the paper:
NI TF. Study supervision: KH MI YH TF. Administrative support: HG. Conceived and designed the experiments: MS TF. Performed the experiments: NI TA GS. Ana-
lyzed the data: NI MS TF. Contributed reagents/materials/analysis tools: MS. Wrote the paper:
NI TF. Study supervision: KH MI YH TF. Administrative support: HG. PLOS ONE | DOI:10.1371/journal.pone.0127114
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372–379. PMID: 15723436 19 / 19
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The effect of muscovite on the microstructural evolution and rheology of quartzite in general shear
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Journal of structural geology
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The effect of muscovite on the microstructural evolution
and rheology of quartzite in general shear
L. Tokle, G. Hirth, H. Stünitz L. Tokle, G. Hirth, H. Stünitz To cite this version: L. Tokle, G. Hirth, H. Stünitz. The effect of muscovite on the microstructural evolution and
rheology of quartzite in general shear. Journal of Structural Geology, 2023, 169, pp.104835. 10.1016/j.jsg.2023.104835. insu-04043834 Distributed under a Creative Commons Attribution 4.0 International License A R T I C L E I N F O Keywords:
Quartz
Muscovite
Rheology
Crust
Deformation We conducted general shear experiments on synthetic mixtures of quartz and muscovite aggregates at 800 ◦C and
1.5 GPa with 0.1 wt% H2O added in the Griggs apparatus to investigate the role of muscovite content on the
microstructural evolution and rheological properties of quartz aggregates. Muscovite content varied between 0,
5, 10 and 25% muscovite. Mechanically, the sample strengths decrease with an increase in muscovite content. At
high strains muscovite grains align sub-parallel to the shear plane with C′- bands commonly observed in the
muscovite-bearing samples. The presence of muscovite has significant influence on the amount of dynamic
recrystallization in quartz; at high strains the pure quartz sample completely recrystallizes while only ~5% of the
quartz in the 25% muscovite sample is dynamically recrystallized at similar strains. The presence of muscovite
also has a significant influence on crystallographic preferred orientations (CPO) and grain shape preferred ori
entations (SPO) of quartz at high strains. At high strains, muscovite is interpretated to deform primarily by basal
glide and dissolution-precipitation creep. Finally, our mechanical results fit well with rheological mixing models,
where we estimate aggregates with 25% muscovite may deform 1–2 orders of magnitude faster than pure quartz
aggregates at conditions near the brittle-ductile transition. plastic deformation in micas complex. The effect of muscovite on the microstructural evolution and rheology of
quartzite in general shear L. Tokle a,b,d,*, G. Hirth b, H. Stünitz c,d a Structural Geology and Tectonics Group, Geological Institute, Department of Earth Sciences, ETH Zürich, Sonneggstrasse 5, 8092, Zürich, Switzerland
b Department of Earth, Environmental and Planetary Sciences, Brown University, Providence, RI, 02912, USA
c Institut des Sciences de la Terre d’Orl´eans (ISTO), UMR 7327, 1A, Rue de la Ferollerie, Universit´e d’Orl´eans, 45100, Orl´eans, France
d Department of Geosciences, University of Tromsø, 9037, Tromsø, Norway * Corresponding author. Structural Geology and Tectonics Group, Geological Institute, Department of Earth Sciences, ETH Zürich, Sonneggstrasse 5, 8092, Zürich,
Switzerland.
E-mail address: leif.tokle@erdw.ethz.ch (L. Tokle). HAL Id: insu-04043834
https://insu.hal.science/insu-04043834v1
Submitted on 24 Mar 2023 L’archive ouverte pluridisciplinaire HAL, est
destinée au dépôt et à la diffusion de documents
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lished or not. The documents may come from
teaching and research institutions in France or
abroad, or from public or private research centers. Distributed under a Creative Commons Attribution 4.0 International License Journal of Structural Geology 169 (2023) 104835 Available online 13 March 2023
0191-8141/© 2023 The Authors. Published by Elsevier Ltd. This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/).
https://doi.org/10.1016/j.jsg.2023.104835
Received 28 June 2022; Received in revised form 23 January 2023; Accepted 28 February 2023 Available online 13 March 2023
0191-8141/© 2023 The Authors. Published by Elsevier Ltd. This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/).
* Corresponding author. Structural Geology and Tectonics Group, Geological Institute, Department of Earth Sciences, ETH Zürich, Sonneggstrasse 5, 8092, Zürich,
Switzerland.
E-mail address: leif.tokle@erdw.ethz.ch (L. Tokle).
https://doi.org/10.1016/j.jsg.2023.104835
Received 28 June 2022; Received in revised form 23 January 2023; Accepted 28 February 2023 * Corresponding author. Structural Geology and Tectonics Group, Geological Institute, Department of Earth Sciences, ETH Zürich, Sonneggstrasse 5, 8092, Zürich,
Switzerland.
E-mail address: leif.tokle@erdw.ethz.ch (L. Tokle).
https://doi.org/10.1016/j.jsg.2023.104835
d
d
d f
d
b ogy and Tectonics Group, Geological Institute, Department of Earth Sciences, ETH Zürich, Sonneggstrasse 5, 8092, Zürich, 2.2. Experimental procedures The sample assembly and deformation geometry are shown in Fig. 1. Alumina shear pistons were cut at 45◦to each other to produce an
inclined-piston shear geometry. The shear pistons were jacketed in a Pt
sleeve with Ni foil inserted between the alumina shear pistons and the Pt
jacket. The starting material powder is placed between the two shear
pistons with 0.1 wt% water added, and the assembly is weld-sealed
using Pt cups at the ends of the shear pistons. As is true for all un
drained experiments, the exact pH2O and potential for gradients within
the sample is not measured; however, the lack of significant variation in
microstructure within each sample (section 3.2), indicates uniform
pH2O at the sample-scale. For comparison with previous work, we
calculate water fugacity assuming that pH2O is equal to the confining
pressure. NaCl is used as the confining medium. All deformation ex
periments were conducted at 800 ◦C, 1.5 ± 0.1 GPa confining pressure,
and a shear strain rate ~1.6–3.2 × 10−5 s−1. p
p
g
p
A potential consequence of the high temperatures that are necessary
to experimentally deform quartz at dislocation creep conditions is that
muscovite and biotite can breakdown at these temperatures through the
loss of hydroxyls, referred to as dehydroxylation, resulting in either the
neocrystallization of new phases or partial melting (Guggenheim et al.,
1987; Rubie and Brearley, 1987; Brearley and Rubie, 1990; Mazzucato
et al., 1999; Mariani et al., 2006). This has limited most deformation
experiments at low confining pressures on muscovite and biotite to T ≤
400 ◦C (Kronenberg et al., 1990; Shea and Kronenberg, 1992, 1993;
Mares and Kronenberg, 1993). Low pressure shear experiments con
ducted by Mariani et al. (2006), show that samples with high pore-fluid
pressure can inhibit muscovite breakdown at temperatures up to 700 ◦C. While at high pressures, ≥1.0 GPa, and high temperatures, ≥700 ◦C, it
has been shown that the kinetics for breakdown in micas are slow
relative to the timescales of rock deformation experiments (Rubie and
Brearley, 1987; Brearley and Rubie, 1990) and that both muscovite and
biotite are largely stable over the time scale of experimental studies (e.g. ≤100 h) with only minor amounts of breakdown products observed in
select regions in only a few samples of quartz-muscovite aggregates
(Tullis and Wenk, 1994) and pure biotite aggregates (Holyoke and
Tullis, 2006a, 2006b, 2006c). 1. Introduction In this study, we investigate the influence of muscovite on the
strength of quartz aggregates. The aggregate strength, or aggregate
rheology, depends on the phase abundance, phase distribution, phase
strength contrast, and the active deformation mechanisms in each phase,
all of which can change with variations in pressure, temperature, stress,
strain rate, and increasing strain (Handy 1990, 1994, Holyoke and
Tullis, 2006). Rheological mixing models have been developed to
quantify the aggregate viscosity of two-phase materials by utilizing
end-member flow laws for the different materials (e.g., Tullis et al.,
1991; Huet et al., 2014; Rast and Ruh, 2021). Micas are a ubiquitous accessory phase found throughout the con
tinental crust; however, the quantitative effects of micas on the ductile
strength of the continental crust are poorly constrained. Thus, rheologic
models for the continental crust are typically based on single phase flow
laws for quartz and/or feldspar. Deformation experiments on mica sin
gle crystals show that micas are weak relative to quartz, with a highly
nonlinear rheology; micas deform primarily by kinking and slip along
their basal plane (e.g., Bell et al., 1986; Meike 1989; Kronenberg et al.,
1990; Mares and Kronenberg, 1993). In addition, deformation experi
ments on fine-grained muscovite aggregates show a Newtonian rheology
(Mariani et al., 2006). Naturally deformed mica shows evidence for a
range of deformation processes, including basal slip, kinking, and
diffusion creep (Bell et al., 1986; Bell and Cuff 1989; Hippertt 1994;
Mulch et al., 2006), and exhibit a newly described type of defect termed
“ripplocations” (Aslin et al., 2019), making the characterization of The role of micas on polyphase aggregate rheology has been inves
tigated in several experimental studies, including work on quartz
–muscovite aggregates (Tullis and Wenk, 1994), biotite-rich gneiss
(Holyoke and Tullis, 2006a;b), and mica–quartz/feldspar aggregates
(Gottschalk et al., 1990; Shea and Kronenberg, 1992, 1993; Rawling
et al., 2002). Of these studies, only Holyoke and Tullis (2006aa,b) and Journal of Structural Geology 169 (2023) 104835 L. Tokle et al. Tullis and Wenk (1994) performed experiments at conditions where
quartz deforms by dislocation creep. Tullis and Wenk (1994) deformed
synthetically mixed powders of quartz and muscovite in axial
compression with a volume percent of muscovite ranging from 0 to
100%. Strong crystallographic preferred orientations (CPO) of musco
vite grains show alignment of the basal plane perpendicular to the σ1
direction. 2.2. Experimental procedures The one example of a dehydration reac
tion in mica-bearing aggregates at high temperatures and high pressures
are the deformation experiments conducted by Holyoke and Tullis
(2006c) of Gneiss Minuti; however, the dehydration reaction was a
result of the polyphase starting material and deformation conditions and
not the stability of biotite. Three types of experiments were conducted on each of the prepared
starting powders: hydrostatic annealing for 34 h, high strain (γ ≈4.0)
experiments that achieved nominally steady state flow, and low strain
experiments that were quenched when samples reached peak stress (γ ≈
0.6). To preserve the microstructures, at the end of each experiment the
temperature was lowered at a rate of 4 ◦C/s to 200 ◦C. The confining
pressure decreased by ~250 MPa during the initial temperature drop
and was subsequently lowered to room pressure and temperature while
maintaining a modest differential stress to suppress decompression
cracking. 2.3. Image analysis After experiments, samples were impregnated in epoxy and standard
petrographic thin sections were prepared perpendicular to the shear
plane, parallel to the shear directions, and polished to first-order grey
colors for quartz. Photomicrographs were taken with circular polarized
and crossed polarized light for microstructural analysis. Circular polar
ized light micrographs were used to analyze grain size, SPO, CPO, and
sample-scale phase maps. Cross-polarized light and back-scatter electron
(BSE) images were used to examine deformation microstructures. 2D
Phase maps were created in ImageJ to estimate the volume percent of
each phase as well as the amount of quartz dynamic recrystallization by
comparing the phase maps of relict grains and dynamically recrystal
lized grains. The term “relict” quartz grain is used for grains that are
interpreted to remain largely unrecrystallized and typically have a grain
size ≥50 μm. We designed a series of deformation experiments in the Griggs
apparatus to investigate the role of muscovite content on quartz
rheology and microstructural evolution. Care was taken to avoid sig
nificant chemical breakdown of muscovite in order to study only me
chanical effects of mixing quartz and mica. We conducted general shear
experiments to low and high strains on synthetically prepared quartz
aggregates with 0–25 vol% muscovite to explore how the presence of
muscovite influences a) dynamic recrystallization in quartz; b) the
evolution of quartz crystallographic preferred orientations (CPO) and
grain shape preferred orientations (SPO) with increasing strain; c) strain
localization in a quartz-rich rock; and d) the effective viscosity of a
muscovite-bearing quartzite. SPOs were analyzed using grain boundary maps of relict quartz
grains. We used the SURFOR (SURFace ORientation) method in 5-degree
increments to quantify the surface fabric of the grain boundary maps in
relation to the shape, size, and orientation of the two-dimensional sur
faces relative to the deformation geometry (Panozzo, 1984). The
orientation of the long axis of grains is displayed in length-weighted rose
diagrams, where the average length of each 5-degree increment is
normalized by the maximum average length whereas the average grain
shape is represented by the long particle axis (b-axis) and the short
particle axis (a-axis). The aspect ratio of the average grain shape is
determined by taking the long particle axis divided by the short particle
axis for each grain boundary map. 1. Introduction This orientation is not favorable for glide and thus does not
illustrate the role of muscovite on weakening in shear zones. Holyoke
and Tullis (2006a, 2006b) conducted general shear experiments on
gneiss, investigating the phase strength contrast (PSC) between quartz,
feldspar, and biotite and how the PSC affected strain localization and the
mechanisms by which strain localization initiates. Holyoke and Tullis
(2006a) concluded that stress concentrations at the tips of biotite grains
promoted interconnection of weak layers with increasing strain. As a
consequence of using a natural rock, Holyoke and Tullis (2006a, b)
performed experiments at a single volume percent of mica (~13%). bath and the slurry was mixed until the acetone completely evaporated
and no visible clumps remained (e.g. de Ronde et al., 2005). This pro
cedure mitigates grain size and density sorting, as well as mineral
segregation. 2.1. Starting material Samples were prepared by mixing powders derived from Black Hills
Quartzite (BHQ) and Black Hills Muscovite (BHM), the same materials
used by Tullis and Wenk (1994). The BHQ powder was sieved to a grain
size of 63–100 μm while the BHM powder was sieved to a grain size of
45–73 μm. Powders were prepared with 0, 5, 10, and 25% muscovite by
volume. Quartz and muscovite powders were first mixed together in an
acetone slurry in a glass beaker. The beaker was placed in an ultrasonic Crystallographic preferred orientations (CPOs) were measured using
computer-integrated polarized (CIP) microscopy (Panozzo Heilbronner
and Pauli, 1993; Heilbronner and Tullis, 2006). CIP maps are con
structed from the central region of each sample, where strain is most
uniform. Quartz CPOs were derived from the freeware Image SXM 2 L. Tokle et al. Journal of Structural Geology 169 (2023) 104835 Fig. 1. Illustration of the all-salt assembly and general shear sample for the Griggs apparatus. a) cross-sectional view of the sample assembly. b) 3D cross-sectional
view perpendicular to the shear plane of the jacketed sample prior to deformation. Modified after Pec et al. (2012). Fig. 1. Illustration of the all-salt assembly and general shear sample for the Griggs a
view perpendicular to the shear plane of the jacketed sample prior to deformation. M Fig. 1. Illustration of the all-salt assembly and general shear sample for the Griggs apparatus. a) cross-sectional view of the sample assembly. b) 3D cross-sectional
view perpendicular to the shear plane of the jacketed sample prior to deformation. Modified after Pec et al. (2012). (http://www.ImageSXM.org.uk) and the ‘Lazy pole’ macro from the CIP
database (https://earth.unibas.ch/micro/). Lower hemisphere pro
jections are used to plot the quartz c-axes. 3.1. Mechanical data 3.1. Mechanical data As shown in Fig. 2, sample strengths decrease with an increase in
muscovite content. This result is consistent with previous experimental
studies on polyphase aggregates that analyzed the influence of
increasing amounts of weaker phases, including halite–calcite (Jordan,
1987),
muscovite–quartz
(Tullis
and
Wenk,
1994),
cam
phor–octachloropropane (Bons and Urai, 1994), and anorthite–diopside
(Dimanov and Dresen, 2005). The pure quartz high strain sample
reached a peak shear stress of 440 MPa at γ ≈0.8, followed by strain
weakening to a stress of 285 MPa at γ ≈2.4 and a nonlinear increase in
stress to 310 MPa at γ ≈4.0. In comparison, the 25% muscovite sample 2.4. Data processing Plot of shear stress versus shear strain for the peak stress/low strain
(dashed lines) and high strain (solid lines) experiments. Fig. 2. Plot of shear stress versus shear strain for the peak stress/low strain
(dashed lines) and high strain (solid lines) experiments. 2.4. Data processing The Griggs apparatus uses an external load cell to measure the force
applied to the sample column. The displacement of the σ1 piston is
measured using a direct current displacement transducer with a reso
lution of 1 μm. Experimental data are digitally recorded at a sampling
rate of 1 Hz and processed by the open source MATLAB program RIG
(http://mpec.scripts.mit.edu/peclab/software/). Piston displacement
was corrected for apparatus compliance while the force was corrected
for friction based on a set of calibration tests. The samples thin by ~40%
in the high strain experiments; we assume that the thinning is contin
uous with increasing piston displacement. The mechanical data are
corrected for shear zone thinning and forcing block area change with
increasing shear strain, as well as variations in confining pressure. Shear
stresses and shear strain rates were converted to equivalent stress (σeqv
= 2τ were τ is shear stress) and equivalent strain rate (˙εeqv =
˙γ̅̅
3
√, where ˙γ
is shear strain). All experimental data are summarized in Table 1. in the high strain experiments; we assume that the thinning is contin
uous with increasing piston displacement. The mechanical data are
corrected for shear zone thinning and forcing block area change with
increasing shear strain, as well as variations in confining pressure. Shear
stresses and shear strain rates were converted to equivalent stress (σeqv
= 2τ were τ is shear stress) and equivalent strain rate (˙εeqv =
˙γ̅̅
3
√, where ˙γ
is shear strain). All experimental data are summarized in Table 1. Table 1
Experimental conditions. Synthetic Quartz-Muscovite Aggregates Annealed and Deformed in General
Shear at T = 800 ◦C and P = 1.5 GPa. Experiment
No. Ms. (%)
Shear
strain,γ
Shear
strain rate,
˙γ (s−1)
Shear
stressa, τ
(MPa)
Final
Thickness,
(mm)
372LT
0
0
0
0
1.60
394LT
5
0
0
0
1.60
396LT
10
0
0
0
1.70
398LT
25
0
0
0
1.70
370LT
0
0.7
1.3 × 10−5
535
1.40
385LT
5
0.6
1.3 × 10−5
283
1.40
390LT
10
0.5
1.2 × 10−5
178
1.45
392LT
25
0.6
1.5 × 10−5
81
1.45
379LT
0
3.9
1.6 × 10−5
310
0.95
382LT
5
3.9
2.7 × 10−5
224
1.00
389LT
10
4.3
3.2 × 10−5
170
0.90
391LT
25
4.0
3.2 × 10−5
60
0.90
a The shear stress listed in Table 1 is the final stress. Fig. 2. a The shear stress listed in Table 1 is the final stress. Table 1 Experimental conditions. Synthetic Quartz-Muscovite Aggregates Annealed and Deformed in General
Shear at T = 800 ◦C and P = 1.5 GPa. Experiment
No. Ms. (%)
Shear
strain,γ
Shear
strain rate,
˙γ (s−1)
Shear
stressa, τ
(MPa)
Final
Thickness,
(mm)
372LT
0
0
0
0
1.60
394LT
5
0
0
0
1.60
396LT
10
0
0
0
1.70
398LT
25
0
0
0
1.70
370LT
0
0.7
1.3 × 10−5
535
1.40
385LT
5
0.6
1.3 × 10−5
283
1.40
390LT
10
0.5
1.2 × 10−5
178
1.45
392LT
25
0.6
1.5 × 10−5
81
1.45
379LT
0
3.9
1.6 × 10−5
310
0.95
382LT
5
3.9
2.7 × 10−5
224
1.00
389LT
10
4.3
3.2 × 10−5
170
0.90
391LT
25
4.0
3.2 × 10−5
60
0.90
a The shear stress listed in Table 1 is the final stress. Fig. 2. Plot of shear stress versus shear strain for the pea
(dashed lines) and high strain (solid lines) experiments. Experimental conditions. Experimental conditions. Synthetic Quartz-Muscovite Aggregates Annealed and Deformed in General
Shear at T = 800 ◦C and P = 1.5 GPa. Experiment
No. Ms. (%)
Shear
strain,γ
Shear
strain rate,
˙γ (s−1)
Shear
stressa, τ
(MPa)
Final
Thickness,
(mm)
372LT
0
0
0
0
1.60
394LT
5
0
0
0
1.60
396LT
10
0
0
0
1.70
398LT
25
0
0
0
1.70
370LT
0
0.7
1.3 × 10−5
535
1.40
385LT
5
0.6
1.3 × 10−5
283
1.40
390LT
10
0.5
1.2 × 10−5
178
1.45
392LT
25
0.6
1.5 × 10−5
81
1.45
379LT
0
3.9
1.6 × 10−5
310
0.95
382LT
5
3.9
2.7 × 10−5
224
1.00
389LT
10
4.3
3.2 × 10−5
170
0.90
391LT
25
4.0
3.2 × 10−5
60
0.90
a The shear stress listed in Table 1 is the final stress. p
Synthetic Quartz-Muscovite Aggregates Annealed and Deformed in General
Shear at T = 800 ◦C and P = 1.5 GPa. Fig. 2. Plot of shear stress versus shear strain for the peak stress/low strain
(dashed lines) and high strain (solid lines) experiments. 3 L. Tokle et al. Journal of Structural Geology 169 (2023) 104835 3.2. Microstructural observations 3.2. Microstructural observations only achieved a steady state flow stress of 60 MPa and no strain weak
ening is observed. The magnitude of strain weakening observed for
muscovite-bearing samples with 5% and 10% muscovite is more modest
than that observed for the pure quartz sample. The low strain experi
ments all record higher shear stresses than the high strain experiments
for the same volume percent of muscovite; however, the variation in
stress for all the muscovite-bearing samples, for the same volume
percent of muscovite, are approximately within experimental error
(±30 MPa, Holyoke and Kronenberg, 2010). While the low strain pure
quartz sample is stronger than the high strain sample, they are both
consistent with previous experiments on quartz deformed at similar
deformation conditions in the shear geometry (Supplementary Fig. S1). The raw mechanical data and hit point calculations are plotted in Sup
plementary Fig. S2. Here we outline the microstructural characteristics of the hydro
statically annealed and deformed samples to illustrate how the presence
of muscovite influences the amount of dynamic recrystallization, the
development of S–C–C’ fabrics and the evolution of quartz CPO. 3.2.1. Hydrostatically annealed samples Hydrostatically annealed samples help characterize the microstruc
ture prior to deformation. Quartz grains in all hydrostatically annealed
samples show undulatory extinction, and evidence for grain crushing
and microcracking; the crushed material heals to form small grains
ranging from 10 to 15 μm in diameter (Fig. 3). We interpret that grain
crushing and microcracking occur during pressurization of the originally
porous sample, where grain boundaries and microcracks within crushed
quartz can be filled with smaller neocrystallized muscovite (see green
arrows in Fig. 3d and Supplementary Fig. S3). Neocrystallized muscovite icrostructures of quartz-muscovite samples at hydrostatic conditions. The shear plane is parallel to the horizontal p
in cross-polarized light. Qz – quartz and Ms – muscovite. d) green arrows show muscovite within quartz microcra
n this figure legend, the reader is referred to the Web version of this article.) Fig. 3. Polarized light microstructures of quartz-muscovite samples at hydrostatic conditions. The shear plane is parallel to the horizontal plane of each micrograph. Photomicrographs taken in cross-polarized light. Qz – quartz and Ms – muscovite. d) green arrows show muscovite within quartz microcracks. (For interpretation of
the references to color in this figure legend, the reader is referred to the Web version of this article.) 4 Journal of Structural Geology 169 (2023) 104835 L. Tokle et al. (Fig. 4). In the pure quartz sample, a foliation defined by the shape of
relict quartz grains developed at an angle 35–40◦antithetic to the shear
plane, where antithetic refers to rotations opposite the shearing direc
tion with the shear plane representing 0◦. This sample also shows a
higher fraction of recrystallized grains in bands parallel to the foliation
plane. In the 5% and 10% muscovite samples, a foliation formed ~30◦
antithetic to the shear plane; the muscovite grains in the 5% muscovite
sample remain isolated with no obvious SPO, while muscovite grains are
more interconnected in the 10% muscovite sample (Fig. 4c). At the
sample-scale, the 25% muscovite sample has a weak foliation defined
primarily by an SPO of muscovite oriented 15◦antithetic from the shear
plane (Fig. 4f), a much lower angle than observed in the other low strain
experiments. Similar to the hydrostatic experiments, the 10% and 25%
muscovite samples have a notable number of muscovite grains oriented
sub-parallel to the shear plane (Fig. 4e and f). 3.2.1. Hydrostatically annealed samples Fine extinction bands, as
defined by Derez et al., 2015, are observed in relict quartz grains in all
low strain samples (Fig. 4). All muscovite-bearing samples have minor
amounts of reaction products (Supplementary Fig. S5). grains are defined as new muscovite grains, interpreted to form either
through dissolution and precipitation or compositional change. EDS
analysis shows the neocrystallized muscovite are in fact muscovite and
not a reaction product from any potential muscovite breakdown reac
tion (Supplementary Fig. S4). In the muscovite-bearing samples, the
muscovite grains do not develop a strong preferred orientation; how
ever, a notable amount of muscovite aligns sub-parallel to the shear
plane in the 10% and 25% muscovite samples (Fig. 3c–f), while in the
5% muscovite sample, muscovite grains are mostly isolated (Fig. 3b). Grain crushing in quartz is most prominent in the pure quartz, 5% and
10% muscovite samples. All muscovite-bearing samples show minor
amounts of reaction products (Supplementary Fig. S3). 3.2.3. High strain samples At high strains, the quartz microstructures change dramatically with
an increase in muscovite content (Figs. 5 and 6). The extent of dynamic
recrystallization in quartz decreases as the volume percent of muscovite
increases. Microstructures for the pure quartz sample indicate homog
enous deformation with near complete (>97%) dynamic recrystalliza
tion (Figs. 5a and 6a). Relict quartz grains form elongated ribbons in an
orientation consistent with the imposed shear direction, defining a
foliation ~12◦antithetic from the shear plane (Fig. 5a). Additionally,
fine extinction bands are observed in relict quartz grains in all high
strain samples (Figs. 5–7 and Supplementary Fig. S6). The 5% muscovite
sample shows ~85% dynamic recrystallization of quartz, while the
majority of muscovite grains in the 5% muscovite sample align at a small
angle (<10◦) to the shear plane (i.e., close to the C-plane), and “mica
fish” are observed in orientations consistent with the imposed sense of
shear (Figs. 5b and 6b). Many muscovite grains remain isolated, with
shapes conforming to the adjacent quartz ribbons. i i
All muscovite-bearing samples deformed to high strains develop
muscovite-rich (Ms) C′- bands. These shear bands are sub-planar (i.e.,
sub-linear in 2D) and are distributed throughout the sample. In the 5%
muscovite sample, Ms C′-bands develop at an orientation ~30◦synthetic
to the shear plane and extend up to 150 μm in length (Figs. 6b and 8). Ms
C′-bands in the 10% muscovite sample develop at a wider range of
orientations than in the 5% muscovite sample, ranging from 15 to 30◦
synthetic to the shear plane, and are typically longer than the Ms C′-
bands observed in the 5% muscovite sample, extending up to 500 μm in
length (Fig. 6c). In the 25% muscovite sample, muscovite is weakly
interconnected throughout the sample producing more numerous, but
less distinct Ms C′-bands (Fig. 6d). Another microstructural feature that develops along C′-planes in all
the high strain muscovite-bearing samples are linear bands defined
primarily by recrystallized quartz grains and pores (interpreted to have
been fluid-filled during the experiment) that often extend from musco
vite grains (Fig. 9a). We call these features C′-bands because they are
also sub-planar and form in the same orientation as the Ms C′-bands. The
majority of C′-bands do not contain muscovite (Fig. 3.2.2. Low strain (peak stress) samples The effect of muscovite on microstructural evolution is minimal at
low strains. The low strain samples, which achieve peak stress between
γ = 0.5–0.75, develop weak foliations defined primarily by the SPO of
quartz in the pure quartz and 5% muscovite samples and by both the
SPO of quartz and muscovite in the 10% and 25% muscovite samples In comparison to the pure quartz sample, dynamic recrystallization 5
Fig. 4. Polarized light microstructures of quartz-
muscovite samples at low strain. Shear plane is par
allel with the horizontal plane of each micrograph
with a dextral sense of shear. Photomicrographs taken
in cross-polarized light. Qz – quartz and Ms –
muscovite. Red arrows in b,c) show examples of
quartz grains with deformation lamellae. k The green
arrow in d) shows an example of a quartz-muscovite
phase boundary and the blue arrow shows an
example of a quartz-quartz grain boundary. (For
interpretation of the references to color in this figure
legend, the reader is referred to the Web version of
this article.) Fig. 4. Polarized light microstructures of quartz-
muscovite samples at low strain. Shear plane is par
allel with the horizontal plane of each micrograph
with a dextral sense of shear. Photomicrographs taken
in cross-polarized light. Qz – quartz and Ms –
muscovite. Red arrows in b,c) show examples of
quartz grains with deformation lamellae. k The green
arrow in d) shows an example of a quartz-muscovite
phase boundary and the blue arrow shows an
example of a quartz-quartz grain boundary. (For
interpretation of the references to color in this figure
legend, the reader is referred to the Web version of
this article.) Journal of Structural Geology 169 (2023) 104835 L. Tokle et al. (Fig. 5c). Only ~5% dynamic recrystallization is observed in the 25%
muscovite sample, where recrystallization is primarily localized at
quartz-quartz grain boundaries (Figs. 5d and 6d). Relict quartz grains
are only modestly elongated in the 25% muscovite sample, but still
define a foliation oriented ~20◦antithetic from the shear plane. All high
strain muscovite-bearing samples exhibit minor amounts of reaction
products at muscovite grain boundaries that can be observed from the
bright needle-shaped grains in Fig. 9a and Supplementary Fig. S7. These
reaction products may indicate a change in chemical composition of the
muscovite, while the muscovite can still be identified as muscovite. of quartz is less extensive in the muscovite-bearing samples (Fig. 3.2.2. Low strain (peak stress) samples 4), with
the 25% muscovite sample showing the least amount of quartz recrys
tallization (Fig. 4). In the muscovite-bearing samples, dynamic recrys
tallization occurs at quartz grain boundaries and is rarely observed at
quartz-muscovite phases boundaries (Fig. 4). Fig. 5. Polarized light microstructures of quartz-
muscovite samples at high strain. d) Blue arrows
highlight quartz-quartz grain boundaries while green
arrows highlight quartz-muscovite phase boundaries.
Shear plane is parallel with the horizontal plane of
each micrograph with a dextral sense of shear. Pho
tomicrographs taken in cross-polarized light. Qz –
quartz and Ms – muscovite. (For interpretation of the
references to color in this figure legend, the reader is
referred to the Web version of this article.) 3.2.3. High strain samples 9a), however there
are some C′-bands that contain a small amount of neocrystallized
muscovite and in a few cases, the C′-bands contain a mixture of quartz
and neocrystallized muscovite (Fig. 9b and c). C′-bands range in length
up to 100 μm and are typically defined by the spacing between
muscovite grains (Fig. 9). In the 5% and 10% muscovite samples, local The addition of 10% and 25% muscovite promotes significant
changes in the quartz microstructures. The amount of dynamic recrys
tallization of quartz decreases and the relict quartz grains remain more
equant, indicating smaller amounts of intragranular strain. For example,
muscovite-filled quartz microcracks, where the cracks are interpreted to
form during pressurization similar to Fig. 3d, can be observed in the high
strain 25% muscovite sample (Fig. 7a). In the 10% muscovite sample,
~30% dynamic recrystallization is observed (Figs. 5c and 6c). Relict
quartz grains in the 10% muscovite sample are moderately elongated
and rotate in the direction of shear, producing an SPO and partly
defining a foliation oriented 20–25◦antithetic from the shear plane 6 L. Tokle et al. Journal of Structural Geology 169 (2023) 104835 Fig. 6. Polarized light microstructures of the high strain samples using a circular polarizer. Shear plane is parallel with the horizontal plane of each micrograph with
a dextral sense of shear. The color of quartz ranges from black to light grey while muscovite is distinctively lighter grey to white. In the 10% muscovite sample, the
muscovite grains are a darker grey but still distinguishable due to their characteristic shape and orientation. In each micrograph, the alumina shear piston(s) can be
observed in the top and/or bottom of each photo for reference. Fig. 6. Polarized light microstructures of the high strain samples using a circular polarizer. Shear plane is parallel with the horizontal plane of each micrograph with
a dextral sense of shear. The color of quartz ranges from black to light grey while muscovite is distinctively lighter grey to white. In the 10% muscovite sample, the
muscovite grains are a darker grey but still distinguishable due to their characteristic shape and orientation. In each micrograph, the alumina shear piston(s) can be
observed in the top and/or bottom of each photo for reference. Fig. 7. Cross-polarized light and backscatter electron
photomicrographs from the high strain muscovite-
bearing samples. a) blue arrows highlight muscovite
filling an intragranular crack in two quartz grains. 3.2.3. High strain samples (For interpretation
of the references to color in this figure legend, the
reader is referred to the Web version of this article.)
Fig. 9. Backscatter Electron images of C′-bands in the 10% muscovite sample that originate and terminate at the tip of muscovite grains. a) C′- bands are largely
made of equant quartz grains and surrounded by void space highlighted by blue arrows. b) An example of neocrystallized muscovite (green arrows) mixing with
recrystallized quartz grains and c) shows an example where there is significant mixing between neocrystallized muscovite (green arrow) and recrystallized quartz. b,
c) Red arrows highlight relict/original muscovite grains. The yellow arrow in a) highlights potential reaction products from muscovite compositional change. The
shear plane is parallel with the horizontal plane of each micrograph with a dextral sense of shear. Muscovite (Ms) grains are lighter grey and quartz (Qz) darker grey. Portions of muscovite grains are plucked during sample preparation. (For interpretation of the references to color in this figure legend, the reader is referred to the
Web version of this article.)
L. Tokle et al. Journal of Structural Geology 169 (2023) 104835 L. Tokle et al. Fig. 8. Cross-polarized and plane light micrographs
of high strain 5% muscovite sample. Shear plane is
parallel with the horizontal plane with a dextral sense
of shear. Ms C′-band defined by alignment of
muscovite in the C′-orientation in a) cross-polarized
light and b) plane light (highlighted by the red ar
rows). Blue arrows show several examples of neo
crystallized muscovite grains aligned in the C-plane. Qz – quartz and Ms – muscovite. (For interpretation
of the references to color in this figure legend, the
reader is referred to the Web version of this article.) Fig. 9. Backscatter Electron images of C′-bands in the 10% muscovite sample that originate and terminate at the tip of muscovite grains. a) C′- bands are largely
made of equant quartz grains and surrounded by void space highlighted by blue arrows. b) An example of neocrystallized muscovite (green arrows) mixing with
recrystallized quartz grains and c) shows an example where there is significant mixing between neocrystallized muscovite (green arrow) and recrystallized quartz. b,
c) Red arrows highlight relict/original muscovite grains. The yellow arrow in a) highlights potential reaction products from muscovite compositional change. The
shear plane is parallel with the horizontal plane of each micrograph with a dextral sense of shear. 3.2.4. Shape Preferred Orientations (SPO)
The SPO of relict quartz grains systematically decreases with an 3.2.3. High strain samples b)
purple arrows highlight serrated phase boundaries at
quartz-muscovite phase boundaries where the arrows
define the high stress orientation. c,d) Examples of
phase mixing between dynamically recrystallized
quartz and neocrystallized muscovite highlighted by
green arrows, where red arrows highlight relict
muscovite grains. c) also shows two examples where
recrystallized quartz grains are pinned by muscovite
(yellow arrows). The shear plane is parallel with the
horizontal plane of each micrograph with a dextral
sense of shear. (For interpretation of the references to
color in this figure legend, the reader is referred to
the Web version of this article.) phase mixing is observed where muscovite grains are intermixed with
dynamically recrystallized quartz grains (Fig. 7c and d, 8). Regions of
phase mixing occur sub-parallel to the C-plane between two quartz
grains or in the C′-plane with modest amounts of dynamic recrystalli
zation. Phase mixing is not as prevalent in the 25% muscovite sample,
with mixing primarily localized to the C′-planes, presumably due to a
lack of quartz recrystallization. relaxation of strain compatibility constraints at muscovite-quartz phase
boundaries by easy slip in the muscovite, which reduces strain rate
gradients (and thus dynamic recrystallization) within the relict quartz
grains. Microstructural evidence for quartz and muscovite dissolution is
observed in all muscovite-bearing high strain samples. Serrated quartz-
muscovite phase boundaries in high stress orientations are observed
locally in all the high strain muscovite-bearing samples (Fig. 7b). The
serrated phase boundaries are normal to σ1, a favorable orientation for
quartz dissolution (e.g., Shimizu, 1995). In addition, Figs. 7–9 show
neocrystallized muscovite grains aligned subparallel to the shear plane Quartz grains that are bounded by muscovite appear to deform ho
mogeneously without recrystallizing (e.g., Fig. 5d); microstructures
illustrating this “shielding” effect of muscovite are present in all the
muscovite-bearing samples (Figs. 4–6). This observation suggests a 7 Journal of Structural Geology 169 (2023) 104835
Fig. 8. Cross-polarized and plane light micrographs
of high strain 5% muscovite sample. Shear plane is
parallel with the horizontal plane with a dextral sense
of shear. Ms C′-band defined by alignment of
muscovite in the C′-orientation in a) cross-polarized
light and b) plane light (highlighted by the red ar
rows). Blue arrows show several examples of neo
crystallized muscovite grains aligned in the C-plane. Qz – quartz and Ms – muscovite. 3.2.3. High strain samples Surface orientation distribution (SURFO
functions of relict quartz grains for all quar
–muscovite samples. The aspect ratio for each sam
is plotted in black in the bottom right. The red l
represents the expected orientation of the long axis
the finite strain ellipse (red numbers indicating t
expected angle between the long axis of the strain
lipse with the shear plane). The measured angle b
tween the maximum of the rose diagram and the she
plane is represented in blue in the top left, where 0◦
parallel with the shear plane. The shear plane is in t
east-west orientation with a dextral sense of she
(For interpretation of the references to color in t
figure legend, the reader is referred to the Web versi
of this article.)
L. Tokle et al. Fig. 10. Surface orientation distribution (SURFOR)
functions of relict quartz grains for all quartz
–muscovite samples. The aspect ratio for each sample
is plotted in black in the bottom right. The red line
represents the expected orientation of the long axis of
the finite strain ellipse (red numbers indicating the
expected angle between the long axis of the strain el
lipse with the shear plane). The measured angle be
tween the maximum of the rose diagram and the shear
plane is represented in blue in the top left, where 0◦is
parallel with the shear plane. The shear plane is in the
east-west orientation with a dextral sense of shear. (For interpretation of the references to color in this
figure legend, the reader is referred to the Web version
of this article.) shear plane and similar grain aspect ratios of 1.44, 1.37, and 1.32,
respectively. In contrast, the 25% muscovite sample has a long axis
oriented ~15◦antithetic to the shear plane with an aspect ratio of 1.25
(Fig. 10); this SPO likely reflects the influence of an initial SPO, as
observed in the 25% muscovite hydrostatic sample. The quartz grain
aspect ratios for the low strain samples decrease modestly, but system
atically with increasing muscovite content. l quartz SPO (Fig. 11). The change in aspect ratio between the hydrostatic
and high strain samples decreases systematically with increasing
muscovite content. 3.2.3. High strain samples Muscovite (Ms) grains are lighter grey and quartz (Qz) darker grey. Portions of muscovite grains are plucked during sample preparation. (For interpretation of the references to color in this figure legend, the reader is referred to the
Web version of this article.) Fig. 9. Backscatter Electron images of C′-bands in the 10% muscovite sample that originate and terminate at the tip of muscovite grains. a) C′- bands are largely
made of equant quartz grains and surrounded by void space highlighted by blue arrows. b) An example of neocrystallized muscovite (green arrows) mixing with
recrystallized quartz grains and c) shows an example where there is significant mixing between neocrystallized muscovite (green arrow) and recrystallized quartz. b,
c) Red arrows highlight relict/original muscovite grains. The yellow arrow in a) highlights potential reaction products from muscovite compositional change. The
shear plane is parallel with the horizontal plane of each micrograph with a dextral sense of shear. Muscovite (Ms) grains are lighter grey and quartz (Qz) darker grey. Portions of muscovite grains are plucked during sample preparation. (For interpretation of the references to color in this figure legend, the reader is referred to the
Web version of this article.) increase in muscovite content (Fig. 10). In hydrostatic samples, the pure
quartz, 5%, and 10% muscovite samples all exhibit nearly random SPOs
with average grain aspect ratios of 1.08, 1.03, and 1.03, respectively. The 25% muscovite hydrostatic sample shows a weak SPO with a long
axis oriented ~25◦antithetic with respect to the shear plane with an
average grain aspect ratio of 1.15 (Fig. 10). in regions of quartz recrystallization, suggesting neocrystallized
muscovite grew in these locations at hydrostatic conditions or during
deformation. Based on the deformation microstructures, most neo
crystallized muscovite grains are observed at distances of ~20–30 μm
from relict muscovite grains (Fig. 7c and d, 9) but a few grains are
observed at distances up to ~100 μm (see blue arrows in Fig. 8). At low strain, the role of muscovite on SPO is minimal, except for the
sample with 25% muscovite. The pure quartz, 5%, and 10% muscovite
samples all show an SPO with long axes oriented 25–30◦antithetic to the 3.2.4. Shape Preferred Orientations (SPO)
The SPO of relict quartz grains systematically decreases with an 8 8 Journal of Structural Geology 169 (2023) 104835 L. Tokle et al. Journal of Structural Geology 169 (2023) 1048
Fig. 10. 3.2.3. High strain samples The pure quartz and 5% muscovite samples show a
significant increase in the aspect ratio from the hydrostatic sample to the
high strain sample, while there is only a minimal change in the aspect
ratio with strain in the 10% and 25% muscovite samples. In the pure
quartz and 5% muscovite high strain samples, large aspect ratio grains
or “ribbon” grains are observed; while in the 10% and 25% muscovite
high strain samples no large aspect ratio grains are observed (Fig. 11). Quartz ribbons are orientated within ~15◦of the shear plane. Quartz
grains with smaller aspect ratios show a greater spread in the long axis
orientations with orientations as high as 35◦away from the shear plane
in the pure quartz and 5% muscovite samples and 40◦in the 10% and
25% muscovite samples (Fig. 11). The influence of muscovite on quartz SPO is more obvious at high
strain. The pure quartz and 5% muscovite samples exhibit quartz SPOs
with long axes oriented 10–15◦antithetic from the shear plane with
average aspect ratios of 3.93 and 3.46, respectively. The long axes for
the 10% and 25% muscovite samples are oriented 15–20◦antithetic
from the shear plane with average aspect ratios of 2.28 and 1.80,
respectively. In high strain samples, the particle long-axis maxima are
oriented approximately parallel to the finite elongation direction
calculated based on the sample strain (Fig. 10). For the low strain
samples, the particle long-axis maxima are oriented near the finite
elongation direction but rotated further towards the shear plane
(Fig. 10). 3.2.5. Crystallographic Preferred Orientation (CPO) Muscovite content also influences the development of quartz CPO,
where Fig. 12 shows the pole figures and pole figure maximum (multi
ples of a uniform distribution) for all samples. Fig. 13 shows the CIP
maps for the high strain samples. Grain boundary maps of relict quartz
grains were constructed from the CIP maps in Fig. 13 of the high strain
samples to highlight variations in quartz strain based on c-axis Plotting the quartz porphyroclast aspect ratio against both the
normalized frequency and orientation of the long particle axis for all the
samples emphasizes the influence of muscovite on the evolution of 9 Journal of Structural Geology 169 (2023) 104835 L. Tokle et al. Fig. 11. The top row shows plots of quartz grain aspect ratio versus normalized frequency for the hydrostatic, low strain, and high strain samples. The bottom row
shows plots of aspect ratio versus orientation of the long particle axis for the hydrostatic, low strain, and high strain samples. 0 and 180 represent the orientation of
the shear plane. The data used to construct these plots comes from the same SURFOR analyses used to plot the rose diagrams in Fig. 10. Long axis angle orientations
follow the same convention used in Fig. 10. Fig. 11. The top row shows plots of quartz grain aspect ratio versus normalized frequency for the hydrostatic, low strain, and high strain samples. The bottom row
shows plots of aspect ratio versus orientation of the long particle axis for the hydrostatic, low strain, and high strain samples. 0 and 180 represent the orientation of
the shear plane. The data used to construct these plots comes from the same SURFOR analyses used to plot the rose diagrams in Fig. 10. Long axis angle orientations
follow the same convention used in Fig. 10. Fig. 12. Area-weighted pole figures for quartz c-axis orientations. Contours are set at 0.5 times the uniform distribution with maxima for each pole figure presented
to the bottom left of each corresponding pole figure. The shear plane is in the east-west orientation with a dextral sense of shear. The white arrows around the 100%
quartz hydrostatic pole figure define the axial shortening direction. Fig. 12. Area-weighted pole figures for quartz c-axis orientations. Contours are set at 0.5 times the uniform distribution with maxima for each pole figure presented
to the bottom left of each corresponding pole figure. 3.2.5. Crystallographic Preferred Orientation (CPO) The shear plane is in the east-west orientation with a dextral sense of shear. The white arrows around the 100%
quartz hydrostatic pole figure define the axial shortening direction. At low strains, the pure quartz sample develops a quartz CPO with c-
axes aligned sub-parallel to the axial shortening direction (Fig. 12). In high strain samples, the strength of the quartz CPO decreases with
increasing muscovite content. In addition, the orientation of the CPO
with respect to the shear plane varies with muscovite content (Fig. 12). In the 100% quartz sample, c-axes align approximately normal to the
shear plane, rotated slightly synthetically with the sense of shear, orientations (Fig. 14). At low strains, the pure quartz sample develops a quartz CPO with c-
axes aligned sub-parallel to the axial shortening direction (Fig. 12). At low strains, the pure quartz sample develops a quartz CPO with c-
axes aligned sub-parallel to the axial shortening direction (Fig. 12). All the hydrostatic samples exhibit a random quartz c-axis texture
(Fig. 12). The CIP maps for the hydrostatic and low strain samples are
illustrated in Supplementary Figs. S8 and S9, respectively. Crushed
quartz grains in the hydrostatic samples are easily identified in the CIP
maps, displaying a significantly smaller grain size, 10–15 μm, than the
starting grain size (Supplementary Fig. S10). In high strain samples, the strength of the quartz CPO decreases with
increasing muscovite content. In addition, the orientation of the CPO
with respect to the shear plane varies with muscovite content (Fig. 12). In the 100% quartz sample, c-axes align approximately normal to the
shear plane, rotated slightly synthetically with the sense of shear, In high strain samples, the strength of the quartz CPO decreases with
increasing muscovite content. In addition, the orientation of the CPO
with respect to the shear plane varies with muscovite content (Fig. 12). In the 100% quartz sample, c-axes align approximately normal to the
shear plane, rotated slightly synthetically with the sense of shear, 10 Journal of Structural Geology 169 (2023) 104835 L. Tokle et al. Journal of Structural Geology 169 (2023) 104835
indicative of dominantly basal <a> slip. With low muscovite contents,
c-axes also align normal to the shear plane, but with increasing
muscovite content
the c-axis maxima progressively become more
parallel to the axial shortening direction. In Fig. 12 we also highlight differences between the CPO of relict and
recrystallized grains as a function of muscovite content The c-axes of
Fig. 13. C-axis orientation images of quartz for the
high strain samples. Corresponding pole figures for
each orientation map are located in the bottom left
corner. The shear plane for each map is parallel to the
horizontal plane of the image with a dextral sense of
shear. Color lookup table found in the bottom right of
the figure. The scale bar is 400 μm and found at the
bottom right for each CIP map. (For interpretation of
the references to color in this figure legend, the
reader is referred to the Web version of this article.)
Fig. 14. orientations (Fig. 14). Plots of aspect ratio versus orientation of the
long particle axis for the high strain samples. Data are
color-coded to represent the particle (e.g., grains) c-
axis orientation. The color lookup table is represented
in the top right of figure. 0 and 180 represent the
orientation of the shear plane. SURFOR analyses were
performed on relict quartz grains from the CIP maps
in Fig. 13. The white arrows around the color look up
table define the axial shortening direction. Long axis
angle orientations follow the same convention used in
Fig. 10. (For interpretation of the references to color
in this figure legend, the reader is referred to the Web
version of this article.) indicative of dominantly basal <a> slip. With low muscovite contents,
c-axes also align normal to the shear plane, but with increasing
muscovite content
the c axis maxima progressively become more
parallel to the axial shortening direction. In Fig. 12 we also highlight differences between the CPO of relict an
recrystallized grains as a function of muscovite content The c axes
Fig. 14. Plots of aspect ratio versus orientation of t
long particle axis for the high strain samples. Data a
color-coded to represent the particle (e.g., grains)
axis orientation. The color lookup table is represent
in the top right of figure. 0 and 180 represent t
orientation of the shear plane. SURFOR analyses we
performed on relict quartz grains from the CIP ma
in Fig. 13. The white arrows around the color look
table define the axial shortening direction. Long ax
angle orientations follow the same convention used
Fig. 10. (For interpretation of the references to col
in this figure legend, the reader is referred to the W
version of this article.) Fig. 14. Plots of aspect ratio versus orientation of the
long particle axis for the high strain samples. Data are
color-coded to represent the particle (e.g., grains) c-
axis orientation. The color lookup table is represented
in the top right of figure. 0 and 180 represent the
orientation of the shear plane. SURFOR analyses were
performed on relict quartz grains from the CIP maps
in Fig. 13. The white arrows around the color look up
table define the axial shortening direction. Long axis
angle orientations follow the same convention used in
Fig. 10. orientations (Fig. 14). Plots of aspect ratio versus orientation of the
long particle axis for the high strain samples. Data are
color-coded to represent the particle (e.g., grains) c-
axis orientation. The color lookup table is represented
in the top right of figure. 0 and 180 represent the
orientation of the shear plane. SURFOR analyses were
performed on relict quartz grains from the CIP maps
in Fig. 13. The white arrows around the color look up
table define the axial shortening direction. Long axis
angle orientations follow the same convention used in
Fig. 10. (For interpretation of the references to color
in this figure legend, the reader is referred to the Web
version of this article.)
L. Tokle et al. Fig. 13. C-axis orientation images of quartz for the
high strain samples. Corresponding pole figures for
each orientation map are located in the bottom left
corner. The shear plane for each map is parallel to the
horizontal plane of the image with a dextral sense of
shear. Color lookup table found in the bottom right of
the figure. The scale bar is 400 μm and found at the
bottom right for each CIP map. (For interpretation of
the references to color in this figure legend, the
reader is referred to the Web version of this article.) indicative of dominantly basal <a> slip. With low muscovite contents,
c-axes also align normal to the shear plane, but with increasing
muscovite content, the c-axis maxima progressively become more
parallel to the axial shortening direction. In Fig. 12 we also highlight differences between the CPO of relict and
recrystallized grains as a function of muscovite content. The c-axes of
Fig. 14. Plots of aspect ratio versus orientation of the
long particle axis for the high strain samples. Data are
color-coded to represent the particle (e.g., grains) c-
axis orientation. The color lookup table is represented
in the top right of figure. 0 and 180 represent the
orientation of the shear plane. SURFOR analyses were
performed on relict quartz grains from the CIP maps
in Fig. 13. The white arrows around the color look up
table define the axial shortening direction. Long axis
angle orientations follow the same convention used in
Fig. 10. (For interpretation of the references to color
in this figure legend, the reader is referred to the Web
version of this article.) Fig. 14. 4.1. Effect of muscovite on the development of c-axis fabrics in quartz Muscovite plays an important role in the development of quartz c-
axis fabrics in our deformed samples. At low strains, where only modest
dynamic recrystallization is achieved, some c-axes in the pure quartz
sample align sub-parallel to the axial shortening direction, consistent
with previous general shear quartz experiments (Heilbronner and Tullis,
2006), numerical simulations employing Taylor-Bishop-Hill models
(Lister et al., 1978; Lister and Hobbs, 1980), and viscoplastic
self-consistent (VPSC) models (Morales et al., 2011) for quartz in shear. At high strains, with a high degree of dynamic recrystallization, the
c-axes align approximately normal to the shear plane, indicative of
dominantly basal <a> slip (Figs. 12 and 13), which is also consistent
with previous experimental work on quartz conducted in the general
shear geometry at similar deformation conditions (Heilbronner and
Tullis, 2006; Richter et al., 2018). These observations suggest that as the
sample dynamically recrystallizes, the orientation of recrystallized
grains and some relict grains rotate synthetically with the shear sense
developing preferred orientations of basal planes near the shear plane. However, a significant fraction of relict quartz grains maintains c-axis
orientations at large angles to the shear plane, even at shear strains
exceeding 4 (see Figs. 7 and 8 in Heilbronner and Tullis, 2006; Richter
et al., 2018, and Fig. 13a). For the deformation conditions of our sam
ples, muscovite is mechanically weaker than quartz, and therefore strain
is partitioned into muscovite in the muscovite-bearing samples. This
results in a lower extent of dynamic recrystallization of quartz in sam
ples with higher muscovite contents and less strain accumulation in
quartz. As a result, quartz c-axis rotation into the basal <a> c-axis fabric
orientation is suppressed, leaving a larger number of relict quartz grains
with c-axes at a large angle to the shear plane. i
The correlation between increasing muscovite content and weak
ened quartz c-axis fabric in the high strain muscovite-bearing samples is
also consistent with the quartz-muscovite axial compression experi
ments conducted by Tullis and Wenk (1994) as well as naturally
deformed micaceous quartzites (Song and Ree, 2007; Little et al., 2015;
Hunter et al., 2016, 2019) and graphite bearing quartzites (Krabbendam
et al., 2003). The naturally deformed samples analyzed by Song and Ree
(2007) and Krabbendam et al. (2003) show a weakening in CPO strength
as well as a change to a more random quartz c-axis fabric while the
samples analyzed by Little et al. orientations (Fig. 14). (For interpretation of the references to color
in this figure legend, the reader is referred to the Web
version of this article.) parallel to the axial shortening direction. In Fig. 12 we also highlight differences between the CPO of relict and
recrystallized grains as a function of muscovite content. The c-axes of parallel to the axial shortening direction. In Fig. 12 we also highlight differences between the CPO of relict and
recrystallized grains as a function of muscovite content. The c-axes of indicative of dominantly basal <a> slip. With low muscovite contents,
c-axes also align normal to the shear plane, but with increasing
muscovite content, the c-axis maxima progressively become more 11 Journal of Structural Geology 169 (2023) 104835 L. Tokle et al. random quartz c-axis fabrics, while at high strains some quartz c-axes
align antithetically to the shear sense, similar to the low strain pure
quartz sample, especially the 25% muscovite sample, shows the least
amount of dynamic recrystallization in quartz (Fig. 12). In addition, the
long axis orientations for the high strain 25% muscovite sample are
similar to the low strain pure quartz sample, even though the bulk shear
strain in the 25% muscovite high strain sample is ~4 (Fig. 11). These
observationst suggest that due to strain partitioning into the weaker
muscovite, not enough strain was accumulated in the quartz to produce
a c-axis fabric at low strains. Additionally, the similar quartz c-axis
fabrics between the low strain pure quartz sample and the high strain
muscovite-bearing samples indicate similar processes that lead to the
development of the c-axis fabrics sub-parallel to the axial shortening
direction. One possibility is the effect of the coaxial shortening in gen
eral shear experiments. General shear experiments conducted in the
Griggs apparatus contain significant coaxial shortening, where high
strain experiments (γ > 3.5) thin between ~30 and 50% relative to a
hydrostatic experiment (Table 1; see also, Heilbronner and Tullis, 2006). If quartz, the more competent and mechanically isotropic phase in the
muscovite-bearing samples, accommodates a larger part of the short
ening component of the strain and muscovite, the weaker and me
chanically anisotropic phase, accommodates the larger part of the
simple shear component of the strain, this would lead quartz c-axes to
align in the orientation of coaxial shortening. Tullis et al. orientations (Fig. 14). (1973) have
shown that in the absence of dynamic recrystallization quartz grains
tend to rotate towards the axial shortening direction, i.e. in our case an
antithetic orientation to the shear sense. relict grains in the pure quartz sample are primarily orientated
perpendicular to the shear plane (Figs. 12 and 13). In contrast, a larger
fraction of c-axes are oriented sub-parallel to the axial shortening di
rection in all of the muscovite-bearing samples (Figs. 12 and 13). The c-
axes for the recrystallized quartz grains show the same spread in ori
entations as the relict grains but with stronger maxima. In Fig. 14 we illustrate relationships between grain aspect ratio, the
orientation of the particle long axis, and the c-axis orientations of relict
quartz grains from the high strain samples. In all samples, quartz grains
with Y-max c-axis orientations (c-axes align parallel to the Y direction of
the strain ellipse) or with c-planes parallel to the shear plane have the
largest aspect ratios, suggesting that the dominant slip systems are basal
<a> and prism <a> slip, consistent with single crystal data (Muto et al.,
2011; Stünitz et al., 2017). In the 10% and 25% muscovite samples, the
number of grains with c-axes oriented antithetically to the shear plane
increases. These have similar low aspect ratios to grains oriented with
c-axes sub-parallel to the shear plane. The lower degree CPO and more
variable rotation of quartz grains suggests that as the volume percent of
muscovite increases, more strain is partitioned into muscovite and less
strain is accommodated by quartz. 4.1. Effect of muscovite on the development of c-axis fabrics in quartz (2015) and Hunter et al. (2016) show a
weakening in CPO strength but the general c-axis pattern remains, even
though the samples in all four studies cover a wide range in secondary
phase abundance. 4. Discussion Our results demonstrate that muscovite plays an important role on
the strength and microstructural evolution of mica-bearing quartzites. Below we discuss how the observed changes in microstructural devel
opment constrain the role of muscovite on grain scale deformation
processes and compare our results to a combination of flow laws and
rheological models for the aggregate viscosity of a mica-bearing
quartzite. Strain partitioning into the muscovite and the suppression of dy
namic recrystallization in quartz, may also cause relict quartz grains to
deform primarily by glide-dominated dislocation creep without the
involvement of grain boundary processes resulting in an antithetically
rotated c-axis fabric similar to that in observed in low strain pure quartz
experiments (Heilbronner and Tullis 2006), as well as the
Taylor-Bishop-Hill and VPSC numerical models (Lister et al., 1978;
Lister and Hobbs, 1980; Morales et al., 2011). Through the analysis of a
natural shear zone, Kilian et al. (2011b) showed that quartz porphyr
oclasts (e.g., largely unrecrystallized grains) may align antithetically to
the global shear sense if such grains are mechanically stronger than the
matrix. The change in c-axis orientation is induced by local kinematics
of the unrecrystallized grains during strain partitioning. Such a situation
can also arise in our experiments where the unrecrystallized quartz
grains represent the mechanically strongest phase of the aggregate. In
both models, relict quartz grains will dynamically recrystallize with
increasing strain, which can be observed in the 5 and 10% high strain
muscovite-bearing samples, however the strain accumulated in the relict
quartz grains in the high strain 25% muscovite sample was not high
enough to produce significant recrystallization. 4.2. Aggregate viscosity The development of quartz c-axis fabrics sub-parallel to the axial
shortening direction in the high strain muscovite bearing samples may
be related to strain partitioning in the quartz-muscovite aggregates, in
addition to details of the deformation mechanism of the unrecrystallized
relict grains. At low strains, the muscovite-bearing samples show To quantify the influence of muscovite content on the strength of
quartz aggregates we compare our results with rheological mixing
models. The theoretical bounds to all rheological mixing models for two 12 Journal of Structural Geology 169 (2023) 104835 L. Tokle et al. term (required for extrapolation to natural conditions); in equations (1)
and (2) we denote A
′ as the preexponential factor times the H2O fugacity
term (e.g. A
′
Qz = AQzfr
H2O) where r is the H2O fugacity exponent. phase aggregates are the iso-strain-rate and iso-stress models. In the iso-
strain-rate model, which defines the upper strength bound for a two-
phase aggregate, the strong and weak phases deform at the same
strain rate (i.e., the strong phase must deform at the applied strain rate). phase aggregates are the iso-strain-rate and iso-stress models. In the iso-
strain-rate model, which defines the upper strength bound for a two-
phase aggregate, the strong and weak phases deform at the same
strain rate (i.e., the strong phase must deform at the applied strain rate). The iso-stress model provides a lower strength bound; in this case, both
phases deform at the same stress, thereby partitioning more of the strain
(strain rate) into the weaker phase. These bounds are defined by equa
tions (1) and (2) for a two-phase quartz-muscovite aggregate, The iso-stress model provides a lower strength bound; in this case, both
phases deform at the same stress, thereby partitioning more of the strain
(strain rate) into the weaker phase. These bounds are defined by equa
tions (1) and (2) for a two-phase quartz-muscovite aggregate, based on averaging A, Q, and n between the two end-member phases,
where the subscript ‘agg’ refers to the aggregate. The Tullis mixing
model is defined by equations (3)–(6); this model does a good job
describing the variation in strength of two-phase aggregates with
changing phase proportions in axial compression experiments (e.g.,
anorthite-diopside aggregates; Dimanov and Dresen, 2005). 4.2. Aggregate viscosity ˙ε = φQzA
′
QzσnQze
−QQz
RT + φMsAMsσnMse
−QMs
RT
(1)
σ = φQz
(
e
QQz
RT
A
′
Qz
˙ε
) 1
nQz
+ φMs
(
e
QMs
RT
AMs
˙ε
) 1
nMs
(2) (1) nagg = 10φQzlog (nQz)+φMslog (nMs)
(3)
Aagg = 10
[
log AQz(nagg−nMs)−log AMs(nagg−nQz)
nQz−nMs
]
(4)
Qagg = QQz
(
nagg −nMs
)
−QMs
(
nagg −nQz
)
nQz −nMs
(5) nagg = 10φQzlog (nQz)+φMslog (nMs)
(3)
Aagg = 10
[
log AQz(nagg−nMs)−log AMs(nagg−nQz)
nQz−nMs
]
(4)
Qagg = QQz
(
nagg −nMs
)
−QMs
(
nagg −nQz
)
nQz −nMs
(5) (3) (2) (4) where φi is the volume fraction of quartz (Qz) or muscovite (Ms) and A,
Q, and n are the pre-exponential factors, activation enthalpies, and stress
exponents of the end-member flow laws (Tullis et al., 1991; Handy
1994). These relationships can be modified to account for a H2O fugacity (5) l
1994). These relationships can be modified to account for a H2O fugacity
Qagg =
nQz −nMs
(5)
Fig. 15. Plots of differential stress versus strain rate comparing the experimental data for basal slip in a) muscovite from Mares and Kronenberg (1993), b) biotite
from Kronenberg et al. (1990), and c) a natural mica schist in the x45z orientation from Shea and Kronenberg (1992). Solid lines represent the respective power law
flow laws, the dashed lines represent the exponential flow laws, and the dotted lines represent the exponential flow law that incorporates a stress squared term (see
text). Flow law parameters for the biotite and mica schist flow laws incorporating the stress squared term are Cbio_easy = 4e-9, Cbio_hard = 2e-12, α_bio = 0.41, and
Q_bio = 82 kJ/mol and C_MS = 6e-15, α_MS = 0.15, and Q_MS = 89 kJ/mol, respecitvely. The differential stress plotted for muscovite in Mares and Kronenberg
(1993) is the final stress. The confining pressure is not the same for the mechanical data in each plot, however there is no clear pressure dependence within the data
and therefore the confining pressure is not distinguished. Fig. 15. Plots of differential stress versus strain rate comparing the experimental data for basal slip in a) muscovite from Mares and Kronenberg (1993), b) biotite
from Kronenberg et al. (1990), and c) a natural mica schist in the x45z orientation from Shea and Kronenberg (1992). 4.2. Aggregate viscosity This
process was repeated for biotite and mica schist based on the mechanical
data from Kronenberg et al. (1990) and Shea and Kronenberg. (1992),
respectively (Fig. 15). These modified exponential flow laws provide a
better estimate for mica strength at low stress conditions (Fig. 16 and
Supplementary Fig. S14). For reference, we compare the mechanical
data and flow laws for muscovite, biotite, and mica schist from Mares
and Kronenberg (1993), Kronenberg et al. (1990), and Shea and Kro
nenberg (1992), respectively, to each other (Fig. 15). l Fig. 16. Plot showing the extrapolation of the exponential muscovite flow law
developed by Mares and Kronenberg (1993) [MK93] using the formula: ˙ε =
Aexp(ασ)exp
(−Q
RT
)
, and the exponential and power law flow laws developed in
this study using the mechanical data from Mares and Kronenberg (1993)
labeled modified. See the text and supplementary material for flow law equa
tions and mechanical used to derive the flow laws. and temperature may promote dissolution-precipitation creep, owing to
the increased solubility of SiO2 (e.g., Manning, 2018). However, given
these caveats we are confident that the muscovite (and biotite) power
law flow laws can be applied to the relatively higher stress geologic
conditions from the middle continental crust to near the brittle-plastic
transition. l For dislocation creep in quartz, we use flow law parameters of A =
8.3e-13 MPa-n s−1, n = 3, Q = 115 kJ/mol, and r = 1.2 from Tokle and
Hirth (2021) (where A is modified from Tokle et al., 2019). The Hirth
et al. (2001) flow law significantly underestimates the strength of the
high strain pure quartz sample (Fig. 17). Based on this observation,
Tokle et al. (2019) compared the mechanical data from 21 experimental
studies on dislocation creep in quartz – finding evidence for a transition
in the rate-limiting slip system for quartz aggregates with decreasing
temperature. The condition where the change in flow law parameters is
observed also correlates well with conditions where a transition from
prism <a> to basal <a> quartz c-axis fabrics is observed. Our me
chanical and CPO data for the pure quartz sample agrees well with the
lower temperature flow law constrained by Tokle et al. (2019) (Fig. 17). The application of a power-law flow law for muscovite (and biotite)
comes with several caveats. 4.2. Aggregate viscosity ˙ε = Aaggσnagge
−Qagg
RT (6) To apply these rheological mixing models, we need power-law flow
law parameters for each end-member phase. For this analysis we
developed power-law flow law parameters for muscovite based on the
mechanical data from Mares and Kronenberg (1993) and used flow law
parameters for quartz from Tokle et al. (2019). A limitation to all
rheological mixing models is that they are based on the deformation
mechanisms modeled by the end member flow laws and do not explicitly
account for the possibility of intergranular processes such as grain
boundary sliding and pressure solution that may be promoted in
multiphase aggregates. In the case of quartz and muscovite, the
muscovite flow law was developed based on single crystal deformation
experiments where the single crystal was oriented for easy basal slip
while the quartz flow law is based on deformation experiments of
polycrystalline quartz aggregates. Microstructural evidence from our
muscovite-bearing samples suggests grain boundary diffusion processes
such as dissolution-precipitation creep are active to some degree (as
discussed in the next section); however, there are currently no flow laws
available to accurately describe the participation of other mechanisms. i Mares and Kronenberg (1993) define a directional anisotropy for
basal slip in muscovite for “easy” slip directions [100] & [110] and
“hard” slip directions [310] & [010], similar to biotite (Kronenberg
et al., 1990). However, based on the mechanical data from Mares and
Kronenberg (1993) it is unclear whether there is directional anisotropy
in muscovite (Fig. 15). The mechanical data for samples oriented 45◦to
the basal plane (001) with slip directions of [310] and [010] provide a
good approximation of the average stress for all of the muscovite me
chanical data from Mares and Kronenberg (1993) (Fig. 15, Supple
mentary Fig. S11). Therefore, we use the dataset from experiments with
[310] and [010] slip directions to define a power-law flow law for
muscovite, with parameters of n = 25, Q = 45 kJ/mol, and A = 2e-40
MPa-n s−1 (see supplementary material). In addition, we use the same
mechanical data to develop a new exponential flow law for muscovite
incorporating a stress squared term (e.g., dislocation density term)
(Frost and Ashby, 1982). The flow law takes the form, ˙ε =
Cσ2 exp
(ασ −Q
RT
)
, where C = 1e-12, α = 0.5, and Q = 47 kJ/mol. 4.2. Aggregate viscosity Solid lines represent the respective power law
flow laws, the dashed lines represent the exponential flow laws, and the dotted lines represent the exponential flow law that incorporates a stress squared term (see
text). Flow law parameters for the biotite and mica schist flow laws incorporating the stress squared term are Cbio_easy = 4e-9, Cbio_hard = 2e-12, α_bio = 0.41, and
Q_bio = 82 kJ/mol and C_MS = 6e-15, α_MS = 0.15, and Q_MS = 89 kJ/mol, respecitvely. The differential stress plotted for muscovite in Mares and Kronenberg
(1993) is the final stress. The confining pressure is not the same for the mechanical data in each plot, however there is no clear pressure dependence within the data
and therefore the confining pressure is not distinguished. Fig. 15. Plots of differential stress versus strain rate comparing the experimental data for basal slip in a) muscovite from Mares and Kronenberg (1993), b) biotite
from Kronenberg et al. (1990), and c) a natural mica schist in the x45z orientation from Shea and Kronenberg (1992). Solid lines represent the respective power law
flow laws, the dashed lines represent the exponential flow laws, and the dotted lines represent the exponential flow law that incorporates a stress squared term (see
text). Flow law parameters for the biotite and mica schist flow laws incorporating the stress squared term are Cbio_easy = 4e-9, Cbio_hard = 2e-12, α_bio = 0.41, and
Q_bio = 82 kJ/mol and C_MS = 6e-15, α_MS = 0.15, and Q_MS = 89 kJ/mol, respecitvely. The differential stress plotted for muscovite in Mares and Kronenberg
(1993) is the final stress. The confining pressure is not the same for the mechanical data in each plot, however there is no clear pressure dependence within the data
and therefore the confining pressure is not distinguished. 13 Journal of Structural Geology 169 (2023) 104835 L. Tokle et al. Fig. 16. Plot showing the extrapolation of the exponential muscovite flow law
developed by Mares and Kronenberg (1993) [MK93] using the formula: ˙ε =
Aexp(ασ)exp
(−Q
RT
)
, and the exponential and power law flow laws developed in
this study using the mechanical data from Mares and Kronenberg (1993)
labeled modified. See the text and supplementary material for flow law equa
tions and mechanical used to derive the flow laws. 4.2. Aggregate viscosity We use a water fugacity of 4840 MPa for the quartz
flow laws. The shear stresses and shear strain rates for the four high strain
samples were converted to equivalent stresses and strain rates. Error bars of
±30 MPa are plotted following Holyoke and Kronenberg (2010). p
p
While dissolution precipitation creep likely plays an important role
in the redistribution and interconnection of muscovite with increasing
strain, several observations suggest basal slip remains the rheologically-
controlling mechanism in our samples. First, in the high strain samples,
neocrystallized muscovite grains are common but not ubiquitous
throughout all the muscovite-bearing samples. If dissolution-
precipitation creep were the dominant deformation mechanism
throughout the muscovite-bearing samples, one might expect more
prevalent precipitation of muscovite into the fluid-filled spaces as shown
in Fig. 9a, but this is not commonly observed. Second, if dissolution
precipitation had been the dominant deformation mechanism, one
might also expect to see widespread neocrystallizion of muscovite in the
low strain samples, but this is not observed. Third, the observation that
quartz-muscovite samples deformed in axial compression (Tullis and
Wenk, 1994) show less weakening than our general shear experiments
for a given volume percent of muscovite (Fig. 18), suggests muscovite
grain orientation is important to the strength of mica-bearing samples. In contrast, if solution-precipitation creep were the dominant defor
mation mechanism we’d expect a similar weakening effect regardless of
deformation geometry. Fourth, the diffusion length scale (e.g. the relict
quartz grain size) is likely too large to allow for dissolution-precipitation
creep to be the dominant mechanism throughout the aggregate over the
duration of these experiments. However, as outlined in the next section,
dissolution-precipitation creep is important to mechanical and micro
structural evolution through the formation of C′
bands in our
mica-bearing aggregates. For comparison, previous work on samples deformed in axial
compression shows much less weakening with increasing muscovite
content (Fig. 18b). As illustrated in Fig. 18d, quartz-muscovite samples
deformed in axial compression (Tullis and Wenk, 1994) plot near the
iso-strain-rate model. However, the effective viscosity of their pure
muscovite sample is significantly greater than that predicted by the
single crystal muscovite flow law (Fig. 18d); this observation likely re
flects the role of muscovite grain orientation. 4.2. Aggregate viscosity The muscovite flow law is
calibrated using experiments on well-oriented muscovite single-crystals;
in the axial compression experiments, the basal planes of the muscovite
grains rotate to become sub-perpendicular to the shortening direction,
resulting in strain hardening. In contrast, for the general shear geometry,
micas often align sub-parallel to the shear plane, which favors easy slip
along the basal plane, making the aggregate mechanically weak. 4.2. Aggregate viscosity The three grey curves
are muscovite flow laws developed based on the mechanical data from Mares
and Kronenberg (1993) - MK93. The dashed curve (the weakest flow law) is the
exponential relationship developed by Mares and Kronenberg (1993). The
dash-dot curve is an exponential flow law developed in this study incorporating
a stress squared term and the solid line is a power law flow law developed in
this study (for flow law parameters, see text). The solid black curve represents
the quartz flow law defined by Tokle et al. (2019) - T19 - where A = 8.3e-13
MPa-n s−1 and the black dashed curve represents the quartz flow law defined by
Hirth et al. (2001) - H01. We use a water fugacity of 4840 MPa for the quartz
flow laws. The shear stresses and shear strain rates for the four high strain
samples were converted to equivalent stresses and strain rates. Error bars of
±30 MPa are plotted following Holyoke and Kronenberg (2010). deformation mechanisms are active in muscovite. In the high strain
muscovite-bearing samples, muscovite grains align parallel to sub-
parallel to the shear plane suggesting grain rotation by basal slip. In
addition, all muscovite-bearing samples show varying degrees of evi
dence for neocrystallized muscovite, suggesting a component of
dissolution-precipitation creep (Figs. 7–9). Dissolution-precipitation
creep is a serial process involving the dissolution, diffusion, and pre
cipitation of material from regions of high stress (i.e., high chemical
potential) to low stress and has been well documented in naturally
deformed rocks containing micas (Bell and Cuff, 1989; Hippertt, 1994;
Wintsch et al., 1995; Wintsch and Yi, 2002; Mulch et al., 2006) and has
been proposed to help accommodate shape changes during the forma
tion of mica fish (Mulch et al., 2006). Dissolution-precipitation creep
may also be an important deformation mechanism at high strains, where
it has been shown that mass transfer by dissolution-precipitation is faster
in the direction parallel to the mylonitic foliation than when the micas
are at high angles to the foliation (Thompson and Connolly, 1990;
Fischer and Paterson, 1992; Zhang et al., 1994; Farver and Yund, 1999). The alignment of muscovite parallel to the shear plane is
strain-dependent and all the low and high strain muscovite-bearing
samples are weaker than the pure quartz samples (Fig. 2). 4.2. Aggregate viscosity These ob
servations suggest that either i) there are enough muscovite grains
aligned in weak orientations prior to deformation to reduce the strength
of the aggregate at low strains through basal slip, ii) another deforma
tion mechanism such as dissolution-precipitation creep may promote
weakening at both low and high strains, or iii) a combination of multiple
deformation mechanisms are active that aid in muscovite aligning sub
parallel to the shear plane. Fig. 17. Plot of log strain rate versus log stress comparing the high strain
mechanical data with quartz and muscovite flow laws. The three grey curves
are muscovite flow laws developed based on the mechanical data from Mares
and Kronenberg (1993) - MK93. The dashed curve (the weakest flow law) is the
exponential relationship developed by Mares and Kronenberg (1993). The
dash-dot curve is an exponential flow law developed in this study incorporating
a stress squared term and the solid line is a power law flow law developed in
this study (for flow law parameters, see text). The solid black curve represents
the quartz flow law defined by Tokle et al. (2019) - T19 - where A = 8.3e-13
MPa-n s−1 and the black dashed curve represents the quartz flow law defined by
Hirth et al. (2001) - H01. We use a water fugacity of 4840 MPa for the quartz
flow laws. The shear stresses and shear strain rates for the four high strain
samples were converted to equivalent stresses and strain rates. Error bars of
±30 MPa are plotted following Holyoke and Kronenberg (2010). Fig. 17. Plot of log strain rate versus log stress comparing the high strain
mechanical data with quartz and muscovite flow laws. The three grey curves
are muscovite flow laws developed based on the mechanical data from Mares
and Kronenberg (1993) - MK93. The dashed curve (the weakest flow law) is the
exponential relationship developed by Mares and Kronenberg (1993). The
dash-dot curve is an exponential flow law developed in this study incorporating
a stress squared term and the solid line is a power law flow law developed in
this study (for flow law parameters, see text). The solid black curve represents
the quartz flow law defined by Tokle et al. (2019) - T19 - where A = 8.3e-13
MPa-n s−1 and the black dashed curve represents the quartz flow law defined by
Hirth et al. (2001) - H01. 4.2. Aggregate viscosity Based on both experimental and natural
observations, micas appear to deform by glide-controlled mechanisms,
referred to as low-temperature plasticity or Peierls creep (Bell et al.,
1986; Meike 1989; Kronenberg et al., 1990; Mares and Kronenberg,
1993; Mariani et al., 2006; Aslin et al., 2019), which include exponential
relationships with stress and temperature. Application of a power law
flow law for micas is thus a simplifying assumption that allows one to
estimate the influence of micas on aggregate rheologies through rheo
logical mixing models outlined in equations (3)–(6); however, power
law flow laws for micas should not be extrapolated to low stress con
ditions because of the differences in power law and exponential rheol
ogies (Fig. 16). The creation of voids in kink bands and ripplocations in
naturally deformed micas suggests a large activation volume in mica
deformation mechanisms, implying pressure could play an important
role on the strength of mica. Additionally, if micas are deforming by a
glide-controlled
mechanism,
the
stress
exponent
will
be
temperature-dependent (Frost and Ashby, 1982; Burdette and Hirth,
2022). Extrapolating mica flow laws to lower stress eclogite facies
conditions is also problematic, because the combination of high pressure l
To compare the experimental data to the mixing models we use a
strain rate of 2 × 10−5 s−1 and a water fugacity of 4840 MPa (calculated
assuming water-saturated conditions using the data from Pitzer and
Sterner (1994) and the Wither’s fugacity calculator (https://publish. uwo.ca/~awither5/fugacity/index.htm)). To calculate the effective
viscosity, shear stresses and shear strain rates were converted to
equivalent stresses (σeqv = 2τ, where τ is shear stress) and equivalent
strain rates (˙εeqv =
˙γ̅̅
3
√, where ˙γ is shear strain rate) (Paterson and
Olgaard, 2000), where effective viscosity = σeqv
2˙εeqv . At the experimental conditions of this study, the 10% and 25%
muscovite samples have an effective viscosity of approximately a factor
2 and 6 lower than the quartz flow law viscosity (Fig. 18a). The rheo
logical mixing model from Tullis et al. (1991) provides an excellent
description of the role of muscovite content on the effective viscosity for
muscovite contents up to 25% (Fig. 18c). 14 Journal of Structural Geology 169 (2023) 104835 L. Tokle et al. Fig. 17. Plot of log strain rate versus log stress comparing the high strain
mechanical data with quartz and muscovite flow laws. 4.4. Muscovite and quartz C′-bands In the bottom right
side of a,b) cartoons of the deformation geometries
are shown to illustrate a) the general shear geometry
and b) the axial compression geometry with the ver
tical arrows representing the axial shortening direc
ton. The y-axis is scaled to the same range (2.2 orders
of magnitude) in all plots for direct comparison. Fig. 19. Phase maps of the high strain muscovite-bearing samples. White regions represent muscovite and black regions represent quartz. The shear plane
map is parallel to the horizontal plane of the image with a dextral sense of shear. Red lines are drawn in to show the location of C′-bands. (For interpretatio
references to color in this figure legend, the reader is referred to the Web version of this article.) Fig. 19. Phase maps of the high strain muscovite-bearing samples. White regions represent muscovite and black regions represent quartz. The shear plane for each
map is parallel to the horizontal plane of the image with a dextral sense of shear. Red lines are drawn in to show the location of C′-bands. (For interpretation of the
references to color in this figure legend, the reader is referred to the Web version of this article.) Fig. 19. Phase maps of the high strain muscovite-bearing samples. White regions represent muscovite and black regions represent quartz. The shear plane for each
map is parallel to the horizontal plane of the image with a dextral sense of shear. Red lines are drawn in to show the location of C′-bands. (For interpretation of the
references to color in this figure legend, the reader is referred to the Web version of this article.) drawn in, the isolated muscovite grains become more interconnected. In
the 10% muscovite sample, muscovite grains are less isolated where C′-
bands and Ms C′-bands develop, and together, the mica and the C′-bands
create a more interconnected network in 2D (Fig. 19). In the 25%
muscovite sample, muscovite already forms an interconnected network drawn in, the isolated muscovite grains become more interconnected. In
the 10% muscovite sample, muscovite grains are less isolated where C′-
bands and Ms C′-bands develop, and together, the mica and the C′-bands
create a more interconnected network in 2D (Fig. 19). 4.4. Muscovite and quartz C′-bands Microstructural observations show several deformation mechanisms
are active during the deformation experiments. Quartz deforms pri
marily by dislocation creep where the pure quartz high strain sample
develops a strong basal <a> c-axis fabric while in all the deformation
experiments quartz shows dynamic recrystallization indicative of
dislocation creep (Figs. 4–9). Serrated phase boundaries in contact with
muscovite grains sub-orthogonal to the axial shortening direction in
both the low and high strain experiments suggest some quartz is dis
solved; however, based on microstructural observations the amount of
dissolved quartz is limited and localized. The development and evolution of C′-bands, Ms C′-bands, and the
localization of fluids through the development of these bands can lead to
local and/or global interconnection of weak layer networks with
increasing strain. We propose that the connection of C′-bands with
muscovite grains promotes increased interconnection of weak layers
within the aggregate. Fig. 19 (see also Fig. 13) shows phase maps for the
high strain muscovite-bearing samples with and without C′-bands
highlighted. Without the C′-bands, through-going layers of muscovite
are not observed in the 5% muscovite sample, however, with C′-bands The analysis of the muscovite-bearing samples shows several 15 Journal of Structural Geology 169 (2023
drawn in, the isolated muscovite grains become more interconnected. In
the 10% muscovite sample, muscovite grains are less isolated where C′-
bands and Ms C′-bands develop, and together, the mica and the C′-bands
create a more interconnected network in 2D (Fig. 19). In the 25%
muscovite sample, muscovite already forms an interconnected network
in 2D, however C′-bands are still observed at quartz grain bou
creating an even more interconnected network of C′-bands and
bands (Fig. 19). C’-bands observed in other experimental studies have bee
preted to promote weakening. Holyoke and Tullis (2006a) ob
Fig. 18. Plots of log viscosity versus volume
of muscovite for a) the high strain samples
axial compression experiments on ‘as-is’
muscovite aggregates from Tullis and Wenk
c,d) Plots of log viscosity versus volume fra
muscovite comparing the viscosity of the
strain muscovite-bearing aggregates and d) th
and Wenk (1994) aggregates to the isostress,
rate, and Tullis et al. (1991) rheological
models. For a,c) the water fugacity is 4840 M
in b,d) the water fugacity used for the flow
lowered from 4840 to 1100 MPa to account
lower water content of the as-is samples, an
the observed viscosity of the pure. 4.4. Muscovite and quartz C′-bands In all p
thick black horizontal lines represent the qu
muscovite viscosities based on the n = 3 flow
Tokle et al. (2019) and a power law flow law
based on the mechanical data from Mares a
nenberg (1993), see text for flow law details
the grey regions represents the biotite single
flow laws for easy and hard slip orientations
from Kronenberg et al. (1990). In the botto
side of a,b) cartoons of the deformation geo
are shown to illustrate a) the general shear g
and b) the axial compression geometry with
tical arrows representing the axial shortenin
ton. The y-axis is scaled to the same range (2. of magnitude) in all plots for direct compari
Fig. 19. Phase maps of the high strain muscovite-bearing samples. White regions represent muscovite and black regions represent quartz. The shear plane
map is parallel to the horizontal plane of the image with a dextral sense of shear. Red lines are drawn in to show the location of C′-bands. (For interpretatio
references to color in this figure legend, the reader is referred to the Web version of this article.)
L. Tokle et al. Journal of Structural Geology 169 (2023) 104835 L. Tokle et al. Fig. 18. Plots of log viscosity versus volume fraction
of muscovite for a) the high strain samples and b)
axial compression experiments on ‘as-is’ quartz-
muscovite aggregates from Tullis and Wenk (1994). c,d) Plots of log viscosity versus volume fraction of
muscovite comparing the viscosity of the c) high
strain muscovite-bearing aggregates and d) the Tullis
and Wenk (1994) aggregates to the isostress, isostrain
rate, and Tullis et al. (1991) rheological mixing
models. For a,c) the water fugacity is 4840 MPa while
in b,d) the water fugacity used for the flow law was
lowered from 4840 to 1100 MPa to account for the
lower water content of the as-is samples, and match
the observed viscosity of the pure. In all plots, the
thick black horizontal lines represent the quartz and
muscovite viscosities based on the n = 3 flow law by
Tokle et al. (2019) and a power law flow law derived
based on the mechanical data from Mares and Kro
nenberg (1993), see text for flow law details. In c,d),
the grey regions represents the biotite single crystal
flow laws for easy and hard slip orientations derived
from Kronenberg et al. (1990). 4.4. Muscovite and quartz C′-bands In the 25%
muscovite sample, muscovite already forms an interconnected network in 2D, however C′-bands are still observed at quartz grain boundaries
creating an even more interconnected network of C′-bands and Ms C′-
bands (Fig. 19). C’-bands observed in other experimental studies have been inter
preted to promote weakening. Holyoke and Tullis (2006a) observed 16 Journal of Structural Geology 169 (2023) 104835 L. Tokle et al. and Vielzeuf and Holloway (1988) shows that our samples are near the
conditions where break down occurs to form aluminosilicate + melt;
while stability fields for H2O undersaturated conditions indicate
muscovite is stable at our deformation conditions (Rubie and Brearley,
1987; Vielzeuf and Holloway, 1988). The kinetics for these reactions at
1.0 GPa are very slow relative to the duration of our deformation ex
periments. Given the presence of reaction products in all of the
muscovite-bearing samples, partial dehydroxylation of muscovite
cannot be entirely ruled out. As noted by Mariani et al. (2006), as OH are
lost during muscovite dehydroxylation, the remaining Al–OH bonds are
strengthened inhibiting further dehydroxylation, which suggests that
partial dehydroxylation in muscovite may have occurred in our samples,
but reached a stable equilibrium. Based on these observations, we are
confident that muscovite is stable throughout our experiments and the
reaction products have little to no effect on our mechanical or micro
structural analyses. C′-band microstructures in their low phase strength contrast (PSC)
general shear experiments on mica-rich gneiss. In their high PSC ex
periments, Holyoke and Tullis (2006a) observed small-scale faults
emanating from biotite grains that lead to through-going weak zones. Similar C′-band structures have been observed in other experimental
studies, including quartz-iron oxide (Gonçalves et al., 2014) and
plagioclase (Stünitz and Tullis, 2001) aggregates; in these studies, the
C′-bands are defined by fine-grained reaction products, which were
inferred to promote weakening. Additionally, numerical studies have
also shown that the development of C′-bands promote weakening in
mica-bearing aggregates (Johnson et al., 2004; Finch et al., 2020; Rast
and Ruh, 2021). i Fluid-filled pores aligned within C′-bands highlight the presence and
redistribution of fluids into low stress orientations with increasing
strain. Similar pore networks are preserved in experimentally deformed
partially molten dunite (Holtzman et al., 2003), fluid-rich quartzite
(Palazzin et al., 2018; Okazaki et al., 2021), and inferred from micro
structures in naturally deformed quartz-rich rocks (Hippertt, 1994;
Mancktelow et al., 1998; Geraud et al., 1995; Fusseis et al., 2009). 4.6. Implications for crustal rheology To provide a first order estimate of the effect of muscovite on quartz
rheology we plot stress versus depth plots as well as plots showing the
increase in strain rate for a given temperature and stress for aggregates
with 5, 10, and 25% muscovite using the Tullis et al. (1991) mixing law
with the muscovite power law flow law and the n = 3 and n = 4 quartz
flow laws from Tokle et al. (2019) (Fig. 20). At depths greater than
approximately 15–20 km, the extrapolation of the flow laws suggests
that muscovite is the more viscous phase (owing to the high stress
exponent and low activation enthalpy for the muscovite flow law). This
observation is nominally supported by deformation microstructures,
such as biotite micro-boudins in a granitic protomylonite (see Fig. 7d in
Gottardi et al., 2020). However, as outlined in section 4.3, the possibility
that the presence of mica promotes dissolution-precipitation creep at 4.4. Muscovite and quartz C′-bands In
addition, C′-bands promote phase mixing which can lead to a switch
from grain size insensitive to grain size sensitive deformation mecha
nisms (Kilian et al., 2011a). With smaller grains and localization of
fluids enhancing diffusion in the both the C′-bands and parallel to the
foliation plane, grain size sensitive creep may play an important role in
the microstructural evolution of mica-bearing aggregates. 4.5. Muscovite stability The presence of neocrystallized muscovite through dissolution and
precipitation is the best evidence highlighting the stability of muscovite
in our samples (Fig. 9 and Supplementary Fig. S4). Extrapolation of the
Qz + Ms + H2O stability fields developed by Rubie and Brearley (1987) Fig. 20. Plot
fraction of mu
effect of musc
rheology. The
strain rates in
(1991) mixing
extrapolated
(2019) and th
Fig. 15–17). I
The thin blac
vertical maxi
tion 7a in Zob
and a ratio o
sure of λ = 0. thick black l
horizontal m
equation 7c in
0.6 and λ = 0 17
Fig. 20. Plots of stress versus depth and volume
fraction of muscovite versus strain rate estimating the
effect of muscovite on the quartz-muscovite aggregate
rheology. The stress versus depth plots a,b) and the
strain rates in c,d) are calculated using the Tullis et al. (1991) mixing law with the a,c) n = 4 and b,d) n = 3
extrapolated quartz flow laws from Tokle et al. (2019) and the muscovite power law flow law (see
Fig. 15–17). In a,b) the thermal gradient is 30 ◦C/km. The thin black line is the frictional stress assuming a
vertical maximum principal stress defined by equa
tion 7a in Zoback and Townend (2001) with μ = 0.85
and a ratio of pore fluid pressure to lithostatic pres
sure of λ = 0.4, following Behr and Platt (2011). The
thick black line is the frictional stress assuming a
horizontal maximum principal stress defined by
equation 7c in Zoback and Townend (2001) with μ =
0.6 and λ = 0.6 following Tokle and Hirth (2021). Fig. 20. Plots of stress versus depth and volume
fraction of muscovite versus strain rate estimating the
effect of muscovite on the quartz-muscovite aggregate
rheology. The stress versus depth plots a,b) and the
strain rates in c,d) are calculated using the Tullis et al. (1991) mixing law with the a,c) n = 4 and b,d) n = 3
extrapolated quartz flow laws from Tokle et al. (2019) and the muscovite power law flow law (see
Fig. 15–17). In a,b) the thermal gradient is 30 ◦C/km. The thin black line is the frictional stress assuming a
vertical maximum principal stress defined by equa
tion 7a in Zoback and Townend (2001) with μ = 0.85
and a ratio of pore fluid pressure to lithostatic pres
sure of λ = 0.4, following Behr and Platt (2011). Author statement Lusk et al. (2021) developed a dislocation creep flow law for quartz
that predicts strain rates approximately one order of magnitude faster
than existing dislocation creep flow laws at geologic conditions; how
ever, their faster flow law can be explained by the rheological influence
of micas on quartz rheology. They use a combination of deformation
experiments and estimates from naturally deformed quartz-rich rocks to
constrain a dislocation creep flow law in quartz. The naturally deformed
rocks used in their analysis come from shear zones in northwest Scotland
where the shear zones are estimated to range from several kilometers to
~100 m in thickness over a range of mid-crustal temperature and
pressure conditions (Lusk and Platt, 2020). Mineralogically, the shear
zones primarily contain quartz, mica, and feldspar where quartz largely
deforms by dislocation creep, however evidence for pressure solution
creep in fine-grained quartz-mica layers is observed (Lusk and Platt,
2020). At all deformation conditions micas or mica-rich layers define the
foliation of the shear zone and are the weakest phase at all conditions
where there is no overprinted annealing (see Fig. 7 in Lusk and Platt,
2020). We also highlight the microstructural similarity between our
high strain muscovite-bearing samples and the micaceous quartzite from
domain 2a characterized by Lusk and Platt (2020) (see Fig. 8a in Lusk
and Platt, 2020). Strain rates for these shear zones were determined
based on the estimated minimum displacement rate across the shear
zone width; therefore, the strain rate estimates represent deformation
accommodated by all phases (quartz, micas, and feldspar) and defor
mation mechanisms (dislocation creep, basal glide, pressure solution,
etc). Lusk et al. (2021) assume in their analysis that these strain rates
represent dislocation creep in quartz while also highlighting that their
strain rate estimates are significantly faster than predicted from existing
dislocation creep flow laws for quartzite (see Fig. 10 in Lusk et al.,
2021). We suggest the presence of mica in their samples could account
for this apparent discrepancy. As shown in Fig. 20c and d, accounting for
the influence of 10–25% mica (in the range of what is apparent in the
micrographs presented in Lusk and Platt, 2020), strain rates at natural
conditions can be enhanced by approximately an order of magnitude or
more relative to pure quartz aggregates. Acknowledgements L.T. would like to thank Renee Heilbronner, Rudiger Kilian, Bettina
Richter, and Sina Marti for their assistance with learning and operating
the CIP-related programs as well as Luiz Morales for his assistance on the
SEM. L.T. would also like to thank Andreas Kronenberg for his discus
sions on muscovite and biotite rheology and Caroline Seyler for sharing
code related to the rheological mixing models in Fig. 18. Willy and
Pascal Tschudin are also acknowledged for making the petrographic thin
sections of the samples. Elisabetta Mariani, Jun Muto, and Virginia Toy
are acknowledged for their helpful and constructive comments that
improved the manuscript. Data availability Data used in this study are available through the ETH Research
Collection (https://doi.org/10.3929/ethz-b-000603035). Declaration of competing interest The authors declare that they have no known competing financial
interests or personal relationships that could have appeared to influence
the work reported in this paper. Author statement While quartz is one of the most
important minerals defining the rheology of the middle crust, the in
fluence of micas on crust rheology should not be ignored. All authors listed on this manuscript contributed to its production. L. T. conducted the deformation experiments, microstructural analyses,
and rheological calculations as well as wrote the initial manuscript draft. All authors contributed to the conception of the paper. G.H. and H.S. assisted in interpreting microstructural and mechanical data, and
contributed to editing the manuscript. 4.5. Muscovite stability The
thick black line is the frictional stress assuming a
horizontal maximum principal stress defined by
equation 7c in Zoback and Townend (2001) with μ =
0.6 and λ = 0.6 following Tokle and Hirth (2021). 17 Journal of Structural Geology 169 (2023) 104835 L. Tokle et al. nearly complete recrystallization in the pure quartz sample to ~5%
recrystallization in the 25% muscovite sample. nearly complete recrystallization in the pure quartz sample to ~5%
recrystallization in the 25% muscovite sample. higher pressure and temperature conditions must be acknowledged. At
more shallow depths our results indicate an aggregate with 25%
muscovite has a strength ~25% lower than 100% quartz for a strain rate
of 10−13 s−1 near the brittle-viscous transition (Fig. 20a and b). Simi
larly, for a given stress, the muscovite-bearing aggregates are predicted
to deform at a faster strain rate (Fig. 20c and d). For example, at 100
MPa a 100% quartz aggregate is predicted to deform approximately two
orders of magnitude slower than an aggregate with 25% muscovite
(Fig. 20c and d). This effect becomes less significant with increasing
temperature/depth or decreasing stress based on the muscovite power
law flow law; however, with decreasing stress the muscovite power law
flow law likely overestimates muscovite strength suggesting muscovite
may still significantly weaken quartz-muscovite aggregates at low stress
conditions (Fig. 16). l - The fabric strength of the high strain quartz CPO decreases with
increasing muscovite content. The orientation of quartz CPO also
varies with muscovite content, with the pure quartz c-axes aligning
approximately normal to the shear plane while the c-axes in the 25%
muscovite sample are approximately parallel to the axial shortening
direction. - At high strains, muscovite largely aligned in the C-plane, however,
all muscovite-bearing samples develop rheologically weak layers in
the C′-planes, either through the connection of muscovite grains (Ms
C′-bands) or through localized quartz recrystallization (C′-bands). - At high strains, muscovite largely aligned in the C-plane, however,
all muscovite-bearing samples develop rheologically weak layers in
the C′-planes, either through the connection of muscovite grains (Ms
C′-bands) or through localized quartz recrystallization (C′-bands). Appendix A. Supplementary data Supplementary data to this article can be found online at https://doi. org/10.1016/j.jsg.2023.104835. Behr, W.M., Platt, J.P., 2011. A naturally constrained stress profile through the middle
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English
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MiR-27a-3p and miR-30b-5p inhibited-vitamin D receptor involved in the progression of tuberculosis
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Frontiers in microbiology
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cc-by
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TYPE Original Research
PUBLISHED 11 October 2022
DOI 10.3389/fmicb.2022.1020542 TYPE Original Research
PUBLISHED 11 October 2022
DOI 10.3389/fmicb.2022.1020542 TYPE Original Research
PUBLISHED 11 October 2022
DOI 10.3389/fmicb.2022.1020542 MiR-27a-3p and miR-30b-5p
inhibited-vitamin D receptor
involved in the progression of
tuberculosis OPEN ACCESS
EDITED BY
Jianping Xie,
Southwest University, China
REVIEWED BY
Carmen Judith Serrano,
Mexican Social Security Institute
(IMSS), Mexico
Suraj P. Parihar,
University of Cape Town, South Africa
*CORRESPONDENCE
Mingying Jiang
591641804@qq.com
Shiming Yang
Yangshiming@tmmu.edu.cn
Hui Lin
linhpf1@163.com
†These authors have contributed
equally to this work and share first
authorship
SPECIALTY SECTION
This article was submitted to
Microbial Immunology,
a section of the journal
Frontiers in Microbiology
RECEIVED 16 August 2022
ACCEPTED 20 September 2022
PUBLISHED 11 October 2022
CITATION
Xiao M, Yang S, Zhou A, Li T, Liu J,
Chen Y, Luo Y, Qian C, Yang F, Tang B,
Li C, Su N, Li J, Jiang M, Yang S and
Lin H (2022) MiR-27a-3p
and miR-30b-5p inhibited-vitamin D
receptor involved in the progression
of tuberculosis. Front. Microbiol. 13:1020542. d i 10 3389/f
i b 2022 1020542 Min Xiao1†, Song Yang2†, An Zhou1†, Tongxin Li2†, Jingjing Liu1,
Yang Chen1, Ya Luo1, Chunfang Qian2, Fuping Yang2,
Bo Tang1, Chunhua Li1, Na Su2, Jing Li1, Mingying Jiang2*,
Shiming Yang1* and Hui Lin1* 1Department of Gastroenterology, Xinqiao Hospital, Army Medical University, Chongqing, China,
2Chongqing Public Health Medical Center, Southwest University, Chongqing, China †These authors have contributed
equally to this work and share first
authorship Background: MicroRNAs (miRNAs) play a vital role in tuberculosis (TB). Vitamin
D receptor (VDR), an miRNA target gene, and its ligand, vitamin D3 (VitD3),
have been reported to exert protective effects against TB. However, whether
miRNAs can affect the progression of TB by targeting VDR has not been
reported. Materials and methods: Research subjects were selected according to
defined inclusion criteria. A clinical database of 360 samples was established,
including the subjects’ demographic information, miRNA expression profiles
and cellular experimental results. Two candidate miRNAs, miR-27a-3p, and
miR-30b-5p, were identified by a high-throughput sequencing screen and
validated by qRT–PCR assays. Univariate and multivariate statistical analyses
were performed. VDR and NF-kB p65 protein levels were detected by Western
blot assays. Proinflammatory cytokine expression levels were detected
by enzyme-linked immunosorbent assay (ELISA). Luciferase assays and
fluorescence-activated cell sorting (FACS) were further applied to elucidate
the detailed mechanisms. CITATION
Xiao M, Yang S, Zhou A, Li T, Liu J,
Chen Y, Luo Y, Qian C, Yang F, Tang B,
Li C, Su N, Li J, Jiang M, Yang S and
Lin H (2022) MiR-27a-3p
and miR-30b-5p inhibited-vitamin D
receptor involved in the progression
of tuberculosis. Front. Microbiol. 13:1020542. doi: 10.3389/fmicb.2022.1020542 Front. Microbiol. Background (Liu et al., 2006; White, 2012). It has been reported that the
VitD3 levels in patients with active TB are lower than those in
control individuals (Nnoaham and Clarke, 2008). Studies have
shown that VitD3 is a protective factor in TB (Baeke et al., 2010). Studies have also reported that VDR, a receptor of VitD3, plays a
vital role in TB. A decrease in VDR protein levels causes defects
in VDR signaling, which impairs immunity against TB (Selvaraj
et al., 2009). Polymorphisms in VDR, such as ApaI, BsmI, FokI,
and TaqI, might affect susceptibility to TB (Joshi et al., 2014; Wu
et al., 2015). It has been reported that miR-1204 is able to target
VDR in breast cancer, leading to a poor prognosis (Liu X. et al.,
2018). MiR-125a can target VDR to promote the occurrence
and progression of liver fibrosis (He et al., 2021). Therefore, we
wanted to explore whether any particular miRNAs are involved
in TB regulation and are likely to depress TB by targeting VDR. Tuberculosis (TB) is one of the top 10 causes of death
and the leading cause attributable to a single infectious
agent (Mycobacterium tuberculosis), ranking above HIV/AIDS. Approximately 1.7 billion people have contracted and been
infected with M. tuberculosis worldwide, and 1.7 million people
die from TB each year (Daley, 2019; Sinha and Hochberg, 2019;
World Health Organization [WHO], 2019). Mycobacterium
tuberculosis, the pathogen that causes TB, is an intracellular
parasitic bacterium that infects humans. M. tuberculosis
can inhibit the host immune response and escape immune
surveillance (Goldberg et al., 2014). It is difficult to completely
remove M. tuberculosis from the host, and once a host becomes
infected, M. tuberculosis mostly causes latent infection and has
a symbiotic relationship with the host (Jagielski et al., 2016). There are many theories about the mechanism underlying the
intracellular pathogenesis of M. tuberculosis. However, these
theories have not yet led to effective anti-TB treatments (Pieters,
2008; Jiang et al., 2018). The diagnosis of TB also needs to be
improved and supplemented (McNerney et al., 2012). For these
reasons, further research and exploration of the diagnosis and
treatment of TB are still urgently needed. To determine whether miRNA expression and VDR protein
levels are correlated in TB, we studied these factors in a TB
group and a control group. MiR-27a-3p and miR-30b-5p
inhibited-vitamin D receptor
involved in the progression of
tuberculosis 13:1020542. doi: 10.3389/fmicb.2022.1020542 COPYRIGHT
© 2022 Xiao, Yang, Zhou, Li, Liu, Chen,
Luo, Qian, Yang, Tang, Li, Su, Li, Jiang,
Yang and Lin. This is an open-access
article distributed under the terms of
the Creative Commons Attribution
License (CC BY). The use, distribution
or reproduction in other forums is
permitted, provided the original
author(s) and the copyright owner(s)
are credited and that the original
publication in this journal is cited, in
accordance with accepted academic
practice. No use, distribution or
reproduction is permitted which does
not comply with these terms. Results: Differential miRNA expression profiles were obtained, and miR-
27a-3p and miR-30b-5p were highly expressed in patients with TB. These
results showed that the two miRNAs were able to induce M1 macrophage
differentiation and inhibit M2 macrophage differentiation. Further experiments
showed that the two miRNAs decreased the VDR protein level and increased
proinflammatory cytokine secretion by macrophages. Mechanistically, the
miRNAs targeted the 3′ untranslated region (3′UTR) of the VDR mRNA
and thereby downregulated VDR protein levels by post-transcriptional
regulation. Then, due to the reduction in VDR protein levels, the NF-kB
inflammatory cytokine signaling pathway was activated, thus promoting the
progression of TB. Conclusion: Our study not only identified differentially expressed miRNAs
between the TB and control groups but also revealed that miR-27a-3p and 01 Frontiers in Microbiology frontiersin.org Xiao et al. 10.3389/fmicb.2022.1020542 miR-30b-5p regulate proinflammatory cytokine secretion and macrophage
differentiation through VDR in macrophages. Thus, these two miRNAs
influence the progression of TB. tuberculosis, vitamin D receptor, microRNA, macrophages, differentiation Background Subjects came from two medical
institutions in Chongqing, and 181 TB patients and 179 control
individuals were selected according to the inclusion criteria. A case report form including gender, living situation, education,
cigarette smoking, body mass index (BMI), hypertension, etc.,
was used to obtain demographic information from the subjects. Peripheral venous blood samples collected from subjects were
used for high-throughput sequencing and qRT–PCR validation. After univariate analysis and data processing, logistic regression
analysis was performed, and two TB-associated miRNAs
were screened. Finally, the two miRNAs were studied both
phenotypically and mechanistically in monocytes by cytological
experiments (Figure 1). MicroRNAs (MiRNAs) play vital roles in promoting the
progression of many diseases (Bertoli et al., 2015; Rupaimoole
and Slack, 2017; Dai et al., 2022; Ren et al., 2022). MiRNAs
can cleave or repress the mRNAs of target genes through the
RNA-induced silencing complex (RISC) (Bartel, 2004; Mohr and
Mott, 2015). Studies have reported that miR-155 expression is
enriched in active TB (Etna et al., 2018). MiR-29a, miR-21, miR-
99b, miR-652, and miR-146 were identified as potential novel
biomarkers of TB and could be used to predict responses to
treatment (Barry et al., 2018). The high expression of certain
miRNAs in TB suggests that some miRNAs are related to the
progression of TB. Case-control study Vitamin D3 (VitD3), a steroid hormone, is thought to
exert anti-inflammatory effects and play a vital function in
innate immunity against intracellular pathogens (Wallis and
Zumla, 2016). Studies have reported that VitD3 plays an
important role in innate immunity against TB (Bekele et al.,
2018; Jimenez-Sousa et al., 2018; Ayelign et al., 2020). VitD3
exerts its biological effects by binding to the vitamin D
receptor (VDR) complex (Heikkinen et al., 2011; Cui et al.,
2018), which activates and regulates multiple cellular pathways Human subjects were recruited for this study mainly from
Xinqiao Hospital and Chongqing Public Health Medical Center
between June 1, 2019, and December 31, 2019. Demographic
information,
clinical
information,
and
peripheral
blood
specimens were collected from 360 subjects. Approximately
181 subjects were recruited into the case group, and 179
subjects were recruited into the control group, excluding
previous exposure to TB. Frontiers in Microbiology 02 frontiersin.org Xiao et al. 10.3389/fmicb.2022.1020542 FIGURE 1
Flow chart. The summary of the current study’s logical flow. Flow chart. The summary of the current study’s logical flow. The patients were selected according to the following
criteria: (1) patient was older than 18 years of age, of either
sex; (2) patient was Han Chinese with a family that had
lived in Chongqing for more than two generations; (3) patient
had poisoning symptoms such as sputum, hemoptysis and
emaciation, fatigue, night sweating, or low fever; (4) patient
had at least one radiographic examination (X-ray and CT)
suggesting pulmonary TB lesions; (5) patient had positive
results on TB diagnostic tests such as sputum smear, sputum
culture or blood molecular biology; (6) patient had Swiss cheese
lesions or granuloma formation by pathological biopsy; and
(7) patient was diagnosed with secondary pulmonary TB based
on the symptoms, radiographic examination, etiological and
pathological findings, regardless of whether they affected a
single lung or both lungs and regardless of the presence of
extrapulmonary TB. generations was eligible; (3) Individual without active or
latent TB identified by clinical manifestations, radiographic
examination and Purified Protein Derivative (PPD) tests
was eligible. (4) Who with a history of TB exposure was
excluded; or (5) Other exclusion criteria were the same
as the TB group. Additionally, we collected clinical samples of peripheral
venous blood for experimental studies, and from these samples,
we isolated peripheral blood mononuclear cells (PBMCs)
and plasma following appropriate experimental methods for
subsequent research. Case-control study All the data are available, and our research
has been approved by the Xinqiao Hospital Ethics Committee. Frontiers in Microbiology RNA sequencing Following the manufacturer’s protocol for RNAiso Plus
reagent (Takara Bio, Osaka, Japan), we extracted total RNA from
the PBMCs of control individuals and TB patients. To obtain
the miRNA differential expression profiles between TB patients
and control individuals, the PBMC samples of five TB patients
and five control individuals were selected to match the age and
sex of the subjects. After total RNA extraction from PBMCs,
we reverse transcribed the RNA into cDNA with the PolyA
RT–PCR method. The cDNA was amplified by qPCR and then
purified by PAGE. The differential miRNA expression profile
was obtained by using high-throughput sequencing technology
(LC-bio Technologies Co., Ltd., Hangzhou, China). Reverse transcription and
miRNA/mRNA qRT–PCR Total RNA was extracted with RNAiso Plus reagent (TaKaRa
Bio, T9109). PrimeScript RT reagent kit with gDNA eraser
(TaKaRa Bio, RR047A), SYBR qRT–PCR (TaKaRa Bio R4130-
03) and the MiR-X miRNA First-Strand Synthesis Kit were
used to reverse transcribe cDNA from mRNA and miRNA,
respectively. The cDNA was analyzed by a qPCR kit (TaKaRa
Bio RR820A) and GoTaq qPCR Master Mix (Promega, A6001,
Madison, WI, United States) with a QuantStudio 3 and
ViiATM7 quantitative real-time PCR instrument (Applied
Biosystems, Waltham, MA, United States, with technical
support by BioWavelet Co., Ltd., Chongqing, China). Gene-
specific primers, oligo-dTs and random primers for the reverse
transcription of miRNAs were synthesized by GeneCopoeia
(Guangzhou, China) and Sangon Biotech (Shanghai, China). Culture medium and plasma analysis
by enzyme-linked immunosorbent
assay The proinflammatory cytokine levels in the culture medium
and concentration of 1, 25 (OH)2 D3 in plasma samples
were measured by ELISA. The ELISA kits were purchased
from 4A BIOTECH company (Beijing, China), and the three
proinflammatory cytokines that were assessed were interleukin-
1 beta (IL-1β) (CHE0001, 96t), interleukin-6 (IL-6) (CHE0009,
96t), and tumor necrosis factor alpha (TNF-α) (CHE0019, 96t). The minimum concentration that could be detected was 7 pg/ml
for all three kits. Centrifugation was performed at 800 rpm/min
for 5 min to remove cells and obtain culture medium. Peripheral
venous blood was treated with the anticoagulant EDTA and
centrifuged (1100 rpm, 15 min) to obtain plasma. Cell culture
medium and plasma were detected by ELISA. The reference
range of 1, 25 (OH)2 D3 ELISA kit (EHC9044) is 15–
60 ng/ml. All the experiments were performed in accordance
with protocols of reagent kits. All experiments were repeated at
least two times in triplicate. Peripheral blood mononuclear cells
and plasma specimens Patients were excluded according to the following criteria:
(1) patient had consanguineous parents; (2) patient had other
severe diseases (cancer, immune deficiency disease, pulmonary
abscess, etc.); or (3) patient had latent TB. Peripheral venous blood was collected, treated with the
anticoagulation agent ethylenediaminetetraacetic acid (EDTA),
and centrifuged to isolate blood cells and plasma. PBMCs in
blood were separated by using density gradient centrifugation
(Böyum and Scand, 1968; Harris and Ukayiofo, 1969). Blood was
added down the wall of a tube containing human lymphocyte
separation medium (Dakewe Co., Beijing, China, 711101X),
and the PBMCs in the blood were purified by density gradient The control individuals were selected according to the
following inclusion and exclusion criteria: (1) Individual
who was older than 18 years of age, of either sex was
eligible;
(2)
Individual
who
was
Han
Chinese
with
a
family that had lived in Chongqing for more than two Frontiers in Microbiology 03 frontiersin.org 10.3389/fmicb.2022.1020542 Xiao et al. centrifugation (800 × g, 30 min). Plasma and PBMC specimens
were stored at −80◦C and in liquid nitrogen, respectively. The PBMCs used for RNA sequencing and miRNA/mRNA
qRT–PCR were obtained from both TB patients and control
individuals. PBMCs used for other cytological experiments
were obtained from volunteers in the lab. Plasma specimens
were used to measure concentration of 1, 25 (OH)2 D3 by
enzyme-linked immunosorbent assay (ELISA) assay. Biotechnology Co., Ltd. (Shanghai, China) Primary PBMCs
were purified from the peripheral venous blood of the subjects
by density gradient centrifugation as described above. We
used DMEM and RPMI 1640 medium (HyClone, Logan, UT,
United States) to culture HEK-293T cells and monocytes
(THP-1, U-937, and PBMCs), respectively. We supplemented
the culture media with 10% FBS (HyClone, Logan, UT,
United States), 0.1 mg/ml streptomycin and 100 U/ml penicillin
(Beyotime, Beijing, China). We cultured cells in an incubator
(Thermo Fisher, Waltham, MA, United States) at 37◦C, 1 atm
and 5% CO2. Plasmid, microRNA mimic and
microRNA inhibitor transfection The VDR coding sequence (CDS) was subcloned into
pCDNA3.1 (+) by Sangon Biotech. We purchased pmirGLO
dual luciferase plasmids carrying the VDR 3′ untranslated
region (3′UTR) from YouBio Biological Company (Changsha,
China). We named these plasmids WT, 1WT1, 1WT2,
1WT3, 1WT4, 1WT5, 1WT6, 1WT7, and 1WT8 and
the corresponding mutant plasmids MUT1, MUT2, 1MUT4,
1MUT6, and 1MUT8. We synthesized the miRNA mimics
and
inhibitors
by
GeneCopoeia
Company
(Guangzhou,
China) and RiboBio (Guangzhou, China). We transfected
the pmirGLO plasmids, miRNA mimics, and inhibitors into
cells with Lipofectamine 3000 (Thermo Fisher, Waltham,
MA, United States) and analyzed the cells at 48 h post-
transfection. MiRNA mimics with Sulfo-Cyanine5 (Cy-5) dye Frontiers in Microbiology Statistical analysis Continuous variable data are displayed as the mean ± SD,
and categorical variable data are displayed as percentages
according to the case group and control group. Statistical
analyses were performed with SPSS 26.0 software, and VDR
and miRNA expression levels were analyzed by GraphPad
Prism 8.0. Univariate difference analysis was applied to
all factors between the case group and control group. Logistic regression analysis was applied to the association
between miRNA expression and other factors in the 360
subjects. Logistic regression and Pearson’s rank correlation
test
were
used
to
calculate
the
correlation
coefficients. For comparisons, the Mann–Whitney U-test was used if
no
significantly
different
variances
existed
between
the Luciferase reporter assay After
reaching
50%
confluence,
HEK-293T
cells
were
prepared
for
exogenous
nucleic
acid
transfection. The
pmirGLO-VDR-3′UTR
plasmids
(WT,
1WT1,
1WT2, 1WT3, 1WT4, 1WT5, 1WT6, 1WT7, 1WT8,
MUT1,
MUT2,
1MUT4,
1MUT6,
and
1MUT8)
were
transfected
into
HEK-293T
cells,
and
either
200
nM
miRNA mimics or 200 nM miRNA inhibitors were also
transfected
at
the
same
time. Forty-eight
hours
later,
we
measured
the
luciferase
activity. All
transfection
experiments we performed were repeated at least three
times
in
triplicate,
and
the
luciferase
activity
data
were normalized. Cell culture and reagents We purchased the THP-1 and U-937 cell lines from
the Shanghai Institute for Biological Sciences (Shanghai,
China). The HEK-293T cell line was ordered from the
National
Infrastructure
of
Cell
Line
Resource
(Beijing,
China). We genotyped all cell lines and tested them for
mycoplasma contamination though Shanghai Biowing Applied Frontiers in Microbiology 04 frontiersin.org Xiao et al. 10.3389/fmicb.2022.1020542 10.3389/fmicb.2022.1020542 were transfected into monocytes, and the transfection efficiency
was observed by fluorescence microscopy (OLYMPUS IX83,
UIS2 optical system). All experiments were repeated at
least three times. PBMCs were first induced to differentiate into M0 macrophages
by stimulation with human colony stimulating factor (h-
CSF) (20 nM) for 5 days. Then, they were polarized into
M1 or M2 macrophages as described above. Macrophage
polarization was confirmed by flow cytometric analysis. We
used cell surface markers to identify M0 (CD11b and CD68),
M1 (CD40, CD64, CD86, etc.) and M2 (CD163, CD206,
CD180, etc.) macrophages. After polarization was completed,
we washed the cells once with PBS, scraped them gently
and transferred them into fluorescence-activated cell sorting
(FACS) tubes. We used fluorochrome-tagged monoclonal
antibodies (Dakewe Co., Beijing, China) to stain the cells. CD11b (Pacific Blue) was used to identify M0 macrophages,
CD64 (FITC) was used to identify M1 macrophages, and
CD206 (PE) and CD163 (CY 7) were used to identify M2
macrophages. After labeling, we washed and resuspended the
cells in PBS at least two times, and we analyzed the cells with
FlowJo v10.5.3 by a Gallios flow cytometer (Beckman Coulter,
Pasadena, CA, United States). All experiments were repeated at
least three times. MicroRNA post-transcriptional
regulation We transfected the mimics into cells with the Lipofectamine
3000 reagent. The cells were cultivated for 36 h, and then the
transcription inhibitor actinomycin D (Act D) (CST, Boston,
MA, United States) was added to the cell cultures. Subsequently,
we measured VDR mRNA expression by qRT–PCR in the
treatment and control groups at 0, 3, 6, and 9 h. Additionally, we
measured the expression levels of miR-27a and miR-30b-5p to
assess the transfection efficiency. All experiments were repeated
at least three times. Protein extraction and western blot We harvested and lysed cells with 5 × loading buffer
(Beyotime, Beijing, China) after culture for 48 h. We fully
lysed the cell lysates with a vortex mixer (Thermo Fisher,
Waltham, MA, United States) at 3000 rpm. The protein
samples were then incubated in a dry bath incubator (Thermo
Fisher, Waltham, MA, United States) at 100◦C for 10 min
to denature the proteins. We subjected protein samples to
SDS–PAGE for gel electrophoresis, transferred the gel to
PVDF membranes (Millipore, Boston, MA, United States)
for transfer electrophoresis, and then exposed them by
ECL (Thermo Fisher, Waltham, MA, United States). We
purchased
primary
antibodies
against
VDR
(D2K6W)
and GAPDH (D4C6R) from Cell Signaling Technology
(CST, Boston, MA, United States). We obtained HRP-
conjugated antibody (ZB-2301, ZB-2305) from ZSGB-Bio
Company (Beijing, China). All experiments were repeated at
least three times. Cell differentiation and flow cytometry
assay Monocytes were differentiated into different macrophage
subsets by stimulation with different cytokines. THP-1 and
U-937 cells were induced to polarize into M0 macrophages
after stimulation by phorbol 12-myristate 13-acetate (PMA)
(100 nM) 24 h later. Then, they were polarized to M1
macrophages after stimulation with lipopolysaccharide (LPS)
(100 nM) and interferon-gamma (IFN-γ) (20 nM) or polarized
to M1 macrophages after stimulation with interleukin-4 (IL-
4) (20 nM) and interleukin-13 (IL13) (20 nM) 48 h later. Frontiers in Microbiology 05 frontiersin.org Xiao et al. 10.3389/fmicb.2022.1020542 TABLE 1 General information of the case control study (N = 360). TABLE 1 General information of the case control study (N = 360). Univariate factor
Statistic
Total
(n = 360)
Control
(n = 179)
TB
(n = 181)
X2/t/
Z-value
P-value
Gender (n, %)
Male
238 (66.11)
103 (57.54)
135 (74.59)
11.669
0.001
Female
122 (33.89)
76 (42.46)
46 (25.41)
Age
Mean ± sd
50.51 ± 15.15
53.44 ± 12.41
47.61 ± 16.98
3.72
<0.001
Habitat (n, %)
Town
172 (47.78)
120 (67.04)
52 (28.73)
52.938
<0.001
Rural area
188 (52.22)
59 (32.96)
129 (71.27)
Education (n, %)
Primary school
129 (35.83)
55 (30.73)
74 (40.88)
26.344
<0.001
Junior high school
65 (18.06)
51 (28.49)
14 (7.73)
Senior high school
84 (23.33)
36 (20.11)
48 (26.52)
College
82 (22.78)
37 (20.67)
45 (24.86)
Income (10,000¥/year)
Mean ± sd
4.73 ± 3.29
5.32 ± 3.75
4.15 ± 2.65
3.406
0.001
Cigarette (n, %)
Smoking
123 (34.17)
35 (19.55)
88 (48.62)
31.186
0.001
No smoking
197 (54.72)
125 (69.83)
72 (39.78)
Quit smoking
40 (11.11)
19 (10.61)
21 (11.6)
Alcohol (n, %)
Drinking
102 (28.33)
36 (20.11)
66 (36.46)
12.645
0.002
No drinking
221 (61.39)
125 (69.83)
96 (53.04)
Quit drinking
37 (10.28)
18 (10.06)
19 (10.5)
BMI
Mean ± sd
21.67 ± 3.5
23.27 ± 3.05
20.09 ± 3.2
9.642
<0.001
Hypertension (n, %)
No
335 (93.06)
168 (93.85)
167 (92.27)
0.352
0.553
Yes
25 (6.94)
11 (6.15)
14 (7.73)
Diabetes (n, %)
No
335 (93.06)
175 (97.77)
160 (88.4)
12.221
<0.001
Yes
25 (6.94)
11 (6.15)
14 (7.73)
Coronary heart disease
(n, %)
No
353 (98.06)
174 (97.21)
179 (98.9)
1.345
0.246
Yes
7 (1.94)
5 (2.79)
2 (1.1)
We counted basic and clinic information for human subjects and performed a univariate analysis of each factor. Among them, gender, age, habitat, education, income, smoking, drinking,
and diabetes were significantly different in the Tuberculosis group. Cell differentiation and flow cytometry
assay And lower body mass index (BMI) was more common in TB group. We also found that diabetes was more common in the TB
group than in the control group. Altogether, these results
indicated that TB is a disease associated with many univariate
factors. two groups. To calculate the p-value, the unpaired t-test
analysis was performed. MiR-27a-3p and miR-30b-5p are highly
expressed in the tuberculosis group Model 2: Model 1 correction factors + cigarette, alcohol. Model 3: Model 1 + Model 2 correction factors + hypertension, diabetes,
coronary heart disease. miR-27a-3p and miR-30b-5p have a significant association with
TB. miR-30b-5p had significantly higher expression in the TB group
(Figure 2). miR-30b-5p had significantly higher expression in the TB group
(Figure 2). MiR-27a-3p and miR-30b-5p are highly
expressed in the tuberculosis group We tried to determine whether any miRNAs that might
influence TB progression were expressed at higher levels in the
TB group than in the control group. MiRNA expression was
measured in two steps. First, we performed high-throughput
sequencing to determine the differential miRNA expression
profile between the two groups (GES207224). Second, qRT–
PCR was used in a case–control study to verify the miRNAs
that were identified as being highly expressed in the differential
expression profiles. These studies revealed that 8 out of 47
differentially expressed miRNAs were upregulated and 15 were
downregulated in the TB patient group compared with the
control group (Supplementary Figures 1A–C). We verified the
expression of these eight miRNAs in 179 control individuals and
181 TB patients, and the results indicated that miR-27a-3p and We collected general information about the subjects, such
as age, sex, residence, and education, and analyzed this
information by using univariate statistics (Table 1). Based on
this basic information, there were significant differences in sex
and age between the case and control groups. The TB group
had a greater proportion of males and younger ages than the
control group. Patients from rural areas and with low incomes
and lower education levels accounted for a larger proportion
of the case group. In addition, habits such as smoking and
drinking also differed significantly between the case and control
groups. Smoking and drinking behaviors seemed to increase
susceptibility to TB. Poor nutrition, as indicated by a lower
BMI, was more common in the TB group. These results are
consistent with those of a previous report (Panda et al., 2019). Frontiers in Microbiology 06 frontiersin.org Xiao et al. 10.3389/fmicb.2022.1020542 FIGURE 2
MiR-27a-3p and miR-30b-5p expression was higher in the tuberculosis group than in the control group. The qRT–PCR was used to validate the
eight upregulated miRNAs (181 TB patients, 179 control individuals). MiR-27a-3p and miR-30b-5p were highly expressed in the TB group. The
expression of four miRNAs (miR-30d-3p, miR-301-3p, miR-326, and miR-6516-3p) was not different between the TB group and the control
group, and the remaining two miRNAs (miR-339-3p and miR-1291) were low expressed in the TB group. *P < 0.05, **P < 0.01, ***P < 0.001,
****P < 0.0001, ns = not significant. TABLE 2 Correlation between miR-27a-3p, miR-30b-5p and tuberculosis (Binary logistics regression). MiR-27a-3p and miR-30b-5p are highly
expressed in the tuberculosis group miRNA
Model
B-value
SEM
Wald
P-value
OR
OR
Lower limit
Upper limit
hsa-miR-30b-5p
Uncorrected
0.184
0.079
5.47
0.019
1.202
1.03
1.403
Model 1
0.257
0.095
7.359
0.007
1.293
1.074
1.556
Model 2
0.231
0.097
5.71
0.017
1.26
1.042
1.523
Model 3
0.209
0.101
4.306
0.038
1.233
1.012
1.502
hsa-miR-27a-3p
Uncorrected
0.258
0.073
12.626
0.001
1.294
1.123
1.492
Model 1
0.32
0.089
12.931
0.001
1.377
1.157
1.64
Model 2
0.297
0.092
10.439
0.001
1.346
1.124
1.612
Model 3
0.279
0.097
8.258
0.004
1.321
1.093
1.598
Model 1: Correction factors: gender, age, BMI. Model 2: Model 1 correction factors + cigarette, alcohol. Model 3: Model 1 + Model 2 correction factors + hypertension, diabetes,
coronary heart disease. miR-30b-5p had significantly higher expression in the TB group
(Figure 2). MiR-27a-3p and miR-30b-5p have a
significant association with
tuberculosis after adjusting for
miR-27a-3p and miR-30b-5p have a significant association with
TB. MiR-27a-3p and miR-30b-5p promote
proinflammatory cytokine expression FIGURE 2
MiR-27a-3p and miR-30b-5p expression was higher in the tuberculosis group than in the control group. The qRT–PCR was used to validate the
eight upregulated miRNAs (181 TB patients, 179 control individuals). MiR-27a-3p and miR-30b-5p were highly expressed in the TB group. The
expression of four miRNAs (miR-30d-3p, miR-301-3p, miR-326, and miR-6516-3p) was not different between the TB group and the control
group, and the remaining two miRNAs (miR-339-3p and miR-1291) were low expressed in the TB group. *P < 0.05, **P < 0.01, ***P < 0.001,
****P < 0.0001, ns = not significant. TABLE 2 Correlation between miR-27a-3p, miR-30b-5p and tuberculosis (Binary logistics regression). TABLE 2 Correlation between miR-27a-3p, miR-30b-5p and tuberculosis (Binary logistics regression). miRNA
Model
B-value
SEM
Wald
P-value
OR
OR
Lower limit
Upper limit
hsa-miR-30b-5p
Uncorrected
0.184
0.079
5.47
0.019
1.202
1.03
1.403
Model 1
0.257
0.095
7.359
0.007
1.293
1.074
1.556
Model 2
0.231
0.097
5.71
0.017
1.26
1.042
1.523
Model 3
0.209
0.101
4.306
0.038
1.233
1.012
1.502
hsa-miR-27a-3p
Uncorrected
0.258
0.073
12.626
0.001
1.294
1.123
1.492
Model 1
0.32
0.089
12.931
0.001
1.377
1.157
1.64
Model 2
0.297
0.092
10.439
0.001
1.346
1.124
1.612
Model 3
0.279
0.097
8.258
0.004
1.321
1.093
1.598
Model 1: Correction factors: gender, age, BMI. Model 2: Model 1 correction factors + cigarette, alcohol. Model 3: Model 1 + Model 2 correction factors + hypertension, diabetes,
coronary heart disease. Model 1: Correction factors: gender, age, BMI. MiR-27a-3p and miR-30b-5p promote
proinflammatory cytokine expression
and the differentiation of M1
macrophages To determine whether the associations of miR-27a-3p
and miR-30b-5p with TB confounded the effects of the
other univariate factors, we corrected the other univariate
factors. These two miRNAs, together with previously identified
univariate factors related to TB, were analyzed by binary logistic
regression (Table 2) and corrected with Model 1, Model 2,
and Model 3. Multivariate statistical analysis revealed that after
adjusting for the univariate factors in Model 1, Model 2, and
Model 3, the two miRNAs were still closely associated with and
highly expressed in the TB group. The results indicated that Proinflammatory cytokines (IL-1β, IL-6, and TNF-α) were
reported to play crucial roles in promoting the progression of
TB (Nair et al., 2009; Gong et al., 2019; Ravan et al., 2019). To
determine whether miR-27a-3p and miR-30b-5p are related to
TB progression by regulating the secretion of proinflammatory
cytokines, we transfected miR-27a-3p and miR-30b-5p mimics
and inhibitors into cells and measured proinflammatory
cytokine secretion. The results indicated that IL-1β and IL-6
secretion significantly increased in monocytes overexpressing Frontiers in Microbiology 07 frontiersin.org 10.3389/fmicb.2022.1020542 Xiao et al. miR-27a-3p and miR-30b-5p in M1 macrophages. After
transfection for 48 h, we observed high expression of
these two miRNAs in the experimental group by qPCR
(Figure 4A). Moreover, under microscopy, the transfected
cells exhibited strong fluorescence signals corresponding
to
these
two
miRNAs
(Figure 4E). The
above
results
indicated the successful overexpression of the two miRNAs in
monocytes. either miR-27a-3p or miR-30b-5p. When miR-27a-3p or miR-
30b-5p was knocked down, IL-1β and IL-6 secretion by
monocytes was significantly reduced (Figures 3A,B). Similarly,
the secretion of TNF-α was significantly increased in monocytes
overexpressing miR-27a-3p or miR-30b-5p. In contrast, TNF-α
expression was significantly decreased when either miR-27a-
3p or miR-30b-5p was knocked down (Figure 3C). The above
results indicated that miR-27a-3p and miR-30b-5p can promote
proinflammatory cytokine secretion by monocytes. either miR-27a-3p or miR-30b-5p. When miR-27a-3p or miR-
30b-5p was knocked down, IL-1β and IL-6 secretion by
monocytes was significantly reduced (Figures 3A,B). Similarly,
the secretion of TNF-α was significantly increased in monocytes
overexpressing miR-27a-3p or miR-30b-5p. In contrast, TNF-α
expression was significantly decreased when either miR-27a-
3p or miR-30b-5p was knocked down (Figure 3C). The above
results indicated that miR-27a-3p and miR-30b-5p can promote
proinflammatory cytokine secretion by monocytes. MiR-27a-3p and miR-30b-5p target the
3′ untranslated region of the vitamin D
receptor mRNA As previously predicted, the 3′UTR of VDR mRNA contains
one binding site for miR-27a-3p and seven binding sites for
miR-30b-5p (Figure 5A). We synthesized a pmirGLO reporter
plasmid carrying the VDR sequence as well as a plasmid
carrying mutant VDR sequences (Figure 5C). When miR-27a-
3p and miR-30b-5p were overexpressed in HEK-293T cells
transfected with the WT plasmid, the relative luciferase activity
levels were significantly reduced (Figures 5B,D,F). When
miR-30b-5p and miR-27a-3p were overexpressed in HEK-
293T cells transfected with the MUT1 and MUT2 plasmids,
respectively, the relative luciferase activity levels reverted to the
previous levels (Figures 5B,E,G). Furthermore, we transfected
the truncated mutant plasmids (1WT1-8) into HEK-293T
cells and overexpressed either miR-27a-3p or miR-30b-5p. Both miR-27a-3p and miR-30b-5p significantly decreased the
relative luciferase activities in the cells transfected with the
1WT4, 1WT6, and 1WT8 plasmids. When miR-27a-3p and
miR-30b-5p were overexpressed in HEK-293T cells transfected
with the corresponding mutant plasmids (1MUT4, 1MUT6,
and 1MUT8), the relative luciferase activities reverted to the
previous levels (Figures 5B,H–J). The experiments described
above indicate that there are binding sites in the 3′UTR of MiR-27a-3p and miR-30b-5p promote
proinflammatory cytokine expression
and the differentiation of M1
macrophages Then, we measured the VDR protein levels in the
experimental and control groups and found that miR-
27a-3p and miR-30b-5p downregulated the protein level
of VDR in the experimental group (Figure 4C). To fully
elaborate
these
results,
we
knocked
down
either
miR-
27a-3p
or
miR-30b-5p
expression
in
M1
macrophages. MiRNA
expression
and
protein
levels
were
measured
separately after transfection with inhibitors. A significant
decrease
in
miRNA
expression
(Figure
4B)
and
a
significant increase in VDR protein levels (Figure 4D)
were
observed. However,
in
non-activated
monocytes,
neither miRNA significantly altered VDR protein expression
(Supplementary Figures 3A–E). These results indicated that
miR-27a-3p and miR-30b-5p are significantly involved in
downregulating the protein level of VDR in activated M1
macrophages. Monocytes
were
induced
to
differentiate
by
using
established protocols (Zajac et al., 2013; Genin et al., 2015;
Taniguchi et al., 2015). Following these protocols, monocytes
were successfully induced to polarize into M1 and M1
macrophages (Figure 3D). To explore how miR-27a-3p and
miR-30b-5p regulated and induced the differentiation of
monocytes into macrophages, miR-27a-3p and miR-30b-5p
mimics were transfected into monocytes, which were then
induced to polarize into either M1 or M2 macrophages by
using the previously described protocols. The cell surface
expression of CD (cluster of differentiation) markers was
measured to determine the differentiation ratio to assess the
relationship between these two miRNAs and macrophage
differentiation. Forty-eight
hours
after
transfection
with
the two miRNAs and the induction of differentiation, the
numbers of M0 (CD11b), M1 (CD64), and M2 (CD163,
CD206) macrophages in each group were detected with flow
cytometry. Generally, compared with that in the control group,
the proportion of M1 macrophages was significantly higher
in
the
experimental
group. Correspondingly,
compared
with that in the control group, the proportion of M1
macrophages was significantly lower in the experimental
group (Figures 3E–G). The above results indicated that miR-
27a-3p and miR-30b-5p can promote monocytes differentiation
into M1 macrophages but inhibit differentiation into M1
macrophages. MiR-27a-3p and miR-30b-5p
downregulate the vitamin D receptor
protein level We predicted the downstream target genes of these
two miRNAs. ENCORI database prediction suggested that
the VDR complex (VDR/RXR-β) might be one downstream
target gene of miR-27a-3p and miR-30b-5p (Table 3). There
were possible binding sites of miR-27a-3p and miR-30b-5p
in VDR target genes (Table 4). Moreover, the expression
of VDR measured by qRT–PCR and the level of VitD3
detected by ELISA were significantly reduced in the TB
group compared with the control group (Supplementary
Figures 2A–D), suggesting that the two factors were also
significantly related to TB. To prove whether the two miRNAs
could regulate the protein level of VDR, we overexpressed Frontiers in Microbiology 08 frontiersin.org Xiao et al. 10.3389/fmicb.2022.1020542 FIGURE 3
MiR-27a-3p and miR-30b-5p promote proinflammatory cytokine expression and induce monocytes differentiation into M1 macrophages while
inhibiting monocytes differentiation into M2 macrophages. (A) The expression of IL-1β in monocytes (THP-1, U-937, and PBMCs) when
miR-27a-3p and miR-30b-5p were overexpressed or knocked down. Changes in the levels of inflammatory cytokines in culture media were
measured by ELISA 48 h later. When miR-27a-3p and miR-30b-5p were overexpressed, IL-1β cytokine secretion was significantly increased in
the treatment group compared with the control group. IL-1β cytokine secretion was obviously decreased in the treatment group compared with
the control group when the miRNAs were knocked down. (B) The expression of IL-6 in monocytes significantly increased when miR-27a-3p and
miR-30b-5p were overexpressed. IL-6 cytokine secretion was decreased when the miRNAs were knocked down. (C) The expression of TNF-α in
monocytes significantly increased when miR-27a-3p and miR-30b-5p were overexpressed. TNF-α cytokine secretion was decreased when the
miRNAs were knocked down. (D) Phorbol 12-myristate 13-acetate (PMA) (100 nM) was added to THP-1 and U-937 culture medium, and human
colony-stimulating factor (h-CSF) (20 nM) was added to PBMCs culture medium. THP-1 and U-937 had differentiated into M0 macrophages
24 h later, and PBMCs had differentiated into M0 macrophages 5 days later. Then, lipopolysaccharide (LPS) (100 nM) and interferon-gamma
(IFN-γ) (20 nM) were added to induce differentiation into M1 macrophages, while interleukin-4 (IL-4) (20 nM) and interleukin-13 (IL13) (20 nM)
were added to induce differentiation into M2 macrophages. After 48 h, the shapes of cells gradually changed, It showed different types of M1
and M2 macrophages. (E) Compared with the negative control, miR-27a-3p and miR-30b-5p could significantly induce PBMCs differentiation
into M1 macrophages (CD64). Conversely, miR-27a-3p and miR-30b-5p significantly inhibited PBMCs differentiation into M2 macrophages
(CD163). MiR-27a-3p and miR-30b-5p
downregulate the vitamin D receptor
protein level (F) miR-27a-3p and miR-30b-5p also significantly induced U-937 differentiation into M1 macrophages (CD64) and similarly inhibited
U-937 differentiation into M2 macrophages (CD163). (G) The same phenotypes were also validated in THP-1. *P < 0.05, **P < 0.01, ***P < 0.001,
****P < 0.0001, ns = not significant. FIGURE 3
MiR-27a-3p and miR-30b-5p promote proinflammatory cytokine expression and induce monocytes differentiation into M1 macrophages while
inhibiting monocytes differentiation into M2 macrophages. (A) The expression of IL-1β in monocytes (THP-1, U-937, and PBMCs) when FIGURE 3
MiR-27a-3p and miR-30b-5p promote proinflammatory cytokine expression and induce monocytes differentiation into M1 macrophages while
inhibiting monocytes differentiation into M2 macrophages. (A) The expression of IL-1β in monocytes (THP-1, U-937, and PBMCs) when
miR-27a-3p and miR-30b-5p were overexpressed or knocked down. Changes in the levels of inflammatory cytokines in culture media were
measured by ELISA 48 h later. When miR-27a-3p and miR-30b-5p were overexpressed, IL-1β cytokine secretion was significantly increased in
the treatment group compared with the control group. IL-1β cytokine secretion was obviously decreased in the treatment group compared with
the control group when the miRNAs were knocked down. (B) The expression of IL-6 in monocytes significantly increased when miR-27a-3p and
miR-30b-5p were overexpressed. IL-6 cytokine secretion was decreased when the miRNAs were knocked down. (C) The expression of TNF-α in
monocytes significantly increased when miR-27a-3p and miR-30b-5p were overexpressed. TNF-α cytokine secretion was decreased when the
miRNAs were knocked down. (D) Phorbol 12-myristate 13-acetate (PMA) (100 nM) was added to THP-1 and U-937 culture medium, and human
colony-stimulating factor (h-CSF) (20 nM) was added to PBMCs culture medium. THP-1 and U-937 had differentiated into M0 macrophages
24 h later, and PBMCs had differentiated into M0 macrophages 5 days later. Then, lipopolysaccharide (LPS) (100 nM) and interferon-gamma
(IFN-γ) (20 nM) were added to induce differentiation into M1 macrophages, while interleukin-4 (IL-4) (20 nM) and interleukin-13 (IL13) (20 nM)
were added to induce differentiation into M2 macrophages. After 48 h, the shapes of cells gradually changed, It showed different types of M1
and M2 macrophages. (E) Compared with the negative control, miR-27a-3p and miR-30b-5p could significantly induce PBMCs differentiation
into M1 macrophages (CD64). Conversely, miR-27a-3p and miR-30b-5p significantly inhibited PBMCs differentiation into M2 macrophages
(CD163). (F) miR-27a-3p and miR-30b-5p also significantly induced U-937 differentiation into M1 macrophages (CD64) and similarly inhibited
U-937 differentiation into M2 macrophages (CD163). (G) The same phenotypes were also validated in THP-1. MiR-27a-3p and miR-30b-5p
downregulate the vitamin D receptor
protein level *P < 0.05, **P < 0.01, ***P < 0.001,
****P < 0.0001, ns = not significant. 09 Frontiers in Microbiology frontiersin.org Xiao et al. 10.3389/fmicb.2022.1020542 TABLE 3 ENCORI miRNA-mRNA Interactions. TABLE 3 ENCORI miRNA-mRNA Interactions. miRNA_ID
miRNA_name
Gene_ID
Gene_name
Gene_type
Chromosome
MIMAT0000420
hsa-miR-30b-5p
ENSG00000111424
VDR
protein_coding
chr12
MIMAT0000420
hsa-miR-30b-5p
ENSG00000111424
RXRB
protein_coding
chr6
MIMAT0000084
hsa-miR-27a-3p
ENSG00000111424
VDR
protein_coding
chr12
MIMAT0000084
hsa-miR-27a-3p
ENSG00000204231
RXRB
protein_coding
chr6
ENCORI data base prediction suggested that VDR complex (VDR/RXR-β) might be one of the downstream target genes of miR-27a-3p and miR-30b-5p. TABLE 4 MicroRNA (MiRNA) target predictions based on miRanda. miRNA
Target_gene
Score
Energy
miRNA_start
miRNA_end
CDS_UTR3_start
CDS_UTR3_end
hsa-miR-27a-3p
VDR
151
−19.36
2
19
3019
3037
hsa-miR-30b-5p
VDR
120
−8.56
2
8
1254
1275
hsa-miR-30b-5p
VDR
118
−9.47
2
20
1638
1660
hsa-miR-30b-5p
VDR
117
−12.15
3
20
1099
1119
hsa-miR-30b-5p
VDR
117
−9.67
2
21
1710
1731
hsa-miR-30b-5p
VDR
116
−9.45
2
20
210
231
hsa-miR-30b-5p
VDR
112
−5.69
3
21
2317
2338
hsa-miR-30b-5p
VDR
110
−6.6
2
11
1007
1028
hsa-miR-30b-5p
VDR
110
−14.65
3
21
1401
1425
MiRanda data base was used to predict the possible binding sites of miR-27a-3p and miR-30b-5p on VDR target gene. MiRanda data base was used to predict the possible binding sites of miR-27a-3p and miR-30b-5p on VDR target gene. FIGURE 4
MiR-27a-3p and miR-30b-5p downregulate the protein levels of VDR in activated M1 macrophages. (A) The relative expression of miRNAs after
transfection with miR-27a-3p and miR-30b-5p mimics in monocytes. (B) The relative expression of miRNAs when transfected with inhibitors. (C) VDR protein levels were obviously decreased when miR-27a-3p and miR-30b-5p mimics were transfected for 48 h, compared with the
negative control group. (D) When transfected with miR-27a-3p and miR-30b-5p inhibitors, VDR protein levels were clearly upregulated
compared with that in the negative control group. (E) The efficiency of the transfection was observed by fluorescence microscopy when
miR-27a-3p and miR-30b-5p with Sulfo-Cyanine5 (Cy-5) dye were transfected into monocytes for 48 h. *P < 0.05, **P < 0.01, ***P < 0.001,
****P < 0.0001, ns = not significant. FIGURE 4
MiR-27a-3p and miR-30b-5p downregulate the protein levels of VDR in activated M1 macrophages. (A) The relative expression of miRNAs after
transfection with miR-27a-3p and miR-30b-5p mimics in monocytes. (B) The relative expression of miRNAs when transfected with inhibitors. MiR-27a-3p and miR-30b-5p
downregulate the vitamin D receptor
protein level (J) The relative luciferase activity of the 1WT8-VDR-3′UTR-pmirGLO plasmids and
MUT8-VDR-3′UTR-pmirGLO plasmids after miR-27a-3p overexpression or knock down. *P < 0.05, **P < 0.01, ***P < 0.001, ****P < 0.0001,
ns = not significant. GU
5
MiR-27a-3p and miR-30b-5p could bind to the 3′UTR of VDR mRNA. (A) The potential binding sites of miR-27a-3p and miR-30b-5p in the
3′UTR of VDR mRNA were predicted with the ENCORI database. (B) Red fluorescence was observed by fluorescence microscopy 48 h after
transfection of HEK-293T with miR-27a-3p-Cy-5 and miR-30b-5p-Cy-5 mimics. (C) The sequences of the two miRNAs, wild-type plasmids and
mutant-type plasmids. (D,E) The relative luciferase activity of the WT/MUT1-VDR-3′UTR-pmirGLO plasmid after miR-30b-5p overexpression. (F,G) The relative luciferase activity of the WT/MUT2- VDR-3′UTR-pmirGLO plasmids after miR-27a-3p overexpression. (H) The relative
luciferase activity of the 1WT4-VDR-3′UTR-pmirGLO plasmids and MUT4-VDR-3′UTR-pmirGLO plasmids after miR-30b-5p overexpression or
knock down. (I) The relative luciferase activity of the 1WT6-VDR-3′UTR-pmirGLO plasmids and MUT6-VDR-3′UTR-pmirGLO plasmids after
miR-30b-5p overexpression or knock down. (J) The relative luciferase activity of the 1WT8-VDR-3′UTR-pmirGLO plasmids and
MUT8-VDR-3′UTR-pmirGLO plasmids after miR-27a-3p overexpression or knock down. *P < 0.05, **P < 0.01, ***P < 0.001, ****P < 0.0001,
ns = not significant. Vitamin D receptor reverses the effects
of miR-27a-3p or miR-30b-5p on
proinflammatory cytokine expression
and macrophage differentiation MiR-27a-3p and miR-30b-5p
downregulate the vitamin D receptor
protein level (C) VDR protein levels were obviously decreased when miR-27a-3p and miR-30b-5p mimics were transfected for 48 h, compared with the
negative control group. (D) When transfected with miR-27a-3p and miR-30b-5p inhibitors, VDR protein levels were clearly upregulated
compared with that in the negative control group. (E) The efficiency of the transfection was observed by fluorescence microscopy when
miR-27a-3p and miR-30b-5p with Sulfo-Cyanine5 (Cy-5) dye were transfected into monocytes for 48 h. *P < 0.05, **P < 0.01, ***P < 0.001,
****P < 0.0001, ns = not significant. 10 Frontiers in Microbiology frontiersin.org Xiao et al. 10.3389/fmicb.2022.1020542 FIGURE 5
MiR-27a-3p and miR-30b-5p could bind to the 3′UTR of VDR mRNA. (A) The potential binding sites of miR-27a-3p and miR-30b-5p in the
3′UTR of VDR mRNA were predicted with the ENCORI database. (B) Red fluorescence was observed by fluorescence microscopy 48 h after
transfection of HEK-293T with miR-27a-3p-Cy-5 and miR-30b-5p-Cy-5 mimics. (C) The sequences of the two miRNAs, wild-type plasmids and
mutant-type plasmids. (D,E) The relative luciferase activity of the WT/MUT1-VDR-3′UTR-pmirGLO plasmid after miR-30b-5p overexpression. (F,G) The relative luciferase activity of the WT/MUT2- VDR-3′UTR-pmirGLO plasmids after miR-27a-3p overexpression. (H) The relative
luciferase activity of the 1WT4-VDR-3′UTR-pmirGLO plasmids and MUT4-VDR-3′UTR-pmirGLO plasmids after miR-30b-5p overexpression or
knock down. (I) The relative luciferase activity of the 1WT6-VDR-3′UTR-pmirGLO plasmids and MUT6-VDR-3′UTR-pmirGLO plasmids after
miR-30b-5p overexpression or knock down. (J) The relative luciferase activity of the 1WT8-VDR-3′UTR-pmirGLO plasmids and
MUT8-VDR-3′UTR-pmirGLO plasmids after miR-27a-3p overexpression or knock down. *P < 0.05, **P < 0.01, ***P < 0.001, ****P < 0.0001,
ns = not significant. FIGURE 5 GU
5
MiR-27a-3p and miR-30b-5p could bind to the 3′UTR of VDR mRNA. (A) The potential binding sites of miR-27a-3p and miR-30b-5p in the
3′UTR of VDR mRNA were predicted with the ENCORI database. (B) Red fluorescence was observed by fluorescence microscopy 48 h after
transfection of HEK-293T with miR-27a-3p-Cy-5 and miR-30b-5p-Cy-5 mimics. (C) The sequences of the two miRNAs, wild-type plasmids and
mutant-type plasmids. (D,E) The relative luciferase activity of the WT/MUT1-VDR-3′UTR-pmirGLO plasmid after miR-30b-5p overexpression. (F,G) The relative luciferase activity of the WT/MUT2- VDR-3′UTR-pmirGLO plasmids after miR-27a-3p overexpression. (H) The relative
luciferase activity of the 1WT4-VDR-3′UTR-pmirGLO plasmids and MUT4-VDR-3′UTR-pmirGLO plasmids after miR-30b-5p overexpression or
knock down. (I) The relative luciferase activity of the 1WT6-VDR-3′UTR-pmirGLO plasmids and MUT6-VDR-3′UTR-pmirGLO plasmids after
miR-30b-5p overexpression or knock down. Vitamin D receptor reverses the effects
of miR-27a-3p or miR-30b-5p on
proinflammatory cytokine expression
and macrophage differentiation that miR-27a-3p or miR-30b-5p promote the expression of
proinflammatory cytokines in activated M1 macrophages
by inhibiting the expression of VDR. Similarly, based on
previous
experiments,
we
transfected
either
miR-27a-3p
or miR-30b-5p into monocytes after VDR overexpression. The
results
showed
that
macrophage
differentiation
in
the experimental group reverted to the previous levels
after VDR overexpression (Figures 6D–F). Gating strategy
for
flow
cytometry
assay
is
shown
in
Supplementary
Figure 5. These experiments suggest that miR-27a-3p and
miR-30b-5p induced M1 macrophage differentiation and
inhibited
M2
macrophage
differentiation
by
inhibiting
VDR. By repressing vitamin D receptor
protein expression, miR-27a-3p and
miR-30b-5p activate the NF-kB
signaling pathway and subsequently
promote proinflammatory cytokine
secretion and macrophage
differentiation VDR expression was highly expressed in both M1 and
M2 macrophages, and expression in the latter was higher
than that in the former (Figure 7A). MiR-27a-3p and miR-
30b-5p expression are highly expressed in M1 macrophages,
but lowly expressed in M2 macrophages (Figures 7B,C). We also found that there was a protein–protein interaction
between VDR and NF-kB p65 and that VDR significantly
inhibited NF-kB p65 protein expression (Figures 7D,E). Complete
strips
images
of
western
blot
are
shown
in
Supplementary Figures 6–8. This finding suggests that one of
the ways in which miRNAs regulate proinflammatory cytokine
secretion and macrophage differentiation is by decreasing VDR
protein levels, which at the same time activates the NF-kB
signaling pathway and finally promotes the progression of
TB. Macrophages have a variety of physiological functions,
including tissue repair, osteoclasts, antigen and antibody uptake,
phagocytosis, antimicrobial effects, and antigen presentation,
among others (Chistiakov et al., 2018). Macrophages have
plasticity and phenotypic heterogeneity, can be induced to
differentiate into M1 classical and M2 alternative activation
forms, and play important roles in promoting and inhibiting
inflammation in chronic inflammatory diseases (Parisi et al.,
2018). Generally, M1 macrophages appear in the earlier
stage of inflammation and can kill and remove pathogens
and damaged cells, while M2 macrophages promote the
regeneration and homeostasis of damaged tissues in the later
stage (Atri et al., 2018; Zhou et al., 2019). Therefore, remodeling
macrophage polarization to regulate the inflammatory process
is considered a new prospective approach to treat inflammatory
diseases. Many determinant factors can stimulate and induce
macrophage polarization and shape macrophage phenotype
and function, including metabolism and microbial metabolites,
cellular metabolites, damaged cells, activated lymphocytes,
miRNAs, inflammatory cytokines, interferon regulator factors,
and epigenetic factors. Vitamin D receptor reverses the effects
of miR-27a-3p or miR-30b-5p on
proinflammatory cytokine expression
and macrophage differentiation VDR mRNA that can be effectively bound by miR-30b-5p and
miR-27a-3p. Previous studies have suggested that miRNAs impact target
genes and downregulate their expression by post-transcriptional
regulation (Correia De Sousa et al., 2019). Act D can
inhibit cell transcriptional activity. Therefore, we treated cells
overexpressing the two miRNAs with act D (Supplementary
Figures 4A–F). The VDR protein level was significantly
decreased compared with that in the control group when miR-
27a-3p or miR-30b-5p was overexpressed in M1 macrophages
(Supplementary Figures 4G–I). These results indicated that
these two miRNAs could regulate VDR protein expression at the
mRNA level, namely, by reducing the stability of VDR mRNA. Previous
experiments
showed
that
miR-27a-3p
and
miR-30b-5p
can
promote
proinflammatory
cytokine
secretion. Based on previous experiments, the VDR plasmid
was overexpressed in cells first, and the cells were then
transfected with miR-27a-3p or miR-30b-5p. The results
showed that the proinflammatory cytokine levels in the
experimental group reverted to the previous levels after VDR
overexpression (Figures 6A–C). These experiments suggest Frontiers in Microbiology 11 frontiersin.org 10.3389/fmicb.2022.1020542 Xiao et al. 2021). MiRNAs are expected to become new biomarkers for
diagnosis, therapy prognosis prediction and treatment in breast
cancer (Bertoli et al., 2015). Studies have shown that miRNAs
target VDR in breast carcinoma and liver fibrosis and then
affect disease progression (Liu X. et al., 2018; He et al.,
2021), but whether these miRNAs are differentially expressed
in TB is still unclear. It has been reported that miRNAs
such as miR-92a-3p and miR-155 are highly expressed in
TB and have an impact on the occurrence of the disease
(Wu et al., 2012; Wang et al., 2018), but much work still
remains to be done to clarify the mechanisms underlying
this phenomenon. Some studies have shown that miRNAs
play a vital role in the regulation of inflammatory cytokines
(Zumkehr et al., 2018; Ban et al., 2020; Zhang et al., 2021)
and that increased proinflammatory cytokine secretion by
PBMCs or macrophages stimulated by other known factors
can promote wound healing (Xie et al., 2021). Therefore,
we wanted to screen miRNAs and investigate whether
they meaningfully affect disease progression through known
inflammatory pathways in TB. To determine which miRNAs
can modulate the pathogenesis of TB and how they exert this
function, the screened miRNAs should meet two conditions:
first, they must be differentially expressed in TB. Second,
they should have some target gene with a close connection
to TB. Vitamin D receptor reverses the effects
of miR-27a-3p or miR-30b-5p on
proinflammatory cytokine expression
and macrophage differentiation Therefore, we chose to detect the
differential expression of miRNAs in macrophages for the study
of TB. Taken together, the above results indicate that miR-27a-3p
and miR-30b-5p play vital roles in promoting the progression
of TB. On the one hand, by targeting and downregulating
VDR mRNA expression, these two miRNAs upregulate the
NF-kB signaling pathway and lead to the increased secretion
of proinflammatory cytokines, thus promoting the progression
of TB. On the other hand, by inducing the differentiation
of classically activated M1 macrophages, these two miRNAs
mediate antibacterial defenses in patients with TB (Figure 7F). Vitamin D receptor pathway activation shows certain anti-
inflammatory effects. Research shows that the activation of
VDR signaling represses inflammation and transforms Kupffer
cells from a proinflammatory to an anti-inflammatory state
(Dong et al., 2020). Another study suggested that VDR signaling Frontiers in Microbiology Discussion MicroRNAs regulate biological processes by targeting genes,
thereby influencing the development of diseases (Huang et al., Frontiers in Microbiology 12 frontiersin.org Xiao et al. 10.3389/fmicb.2022.1020542 D receptor (VDR) reverses miR-27a-3p and miR-30b-5p mediated inflammatory cytokine expression and macrophage differentiation. 27a-3p, miR-30b-5p and negative control mimics were overexpressed in activated M1 macrophages. In addition, miR-27a-3p,
-5p and negative control mimics together with VDR plasmids were transfected in another group. After 48 h, the levels of the cytokine
he activated M1 macrophages of both groups were measured. (B,C) The relative levels of IL-6, TNF-α in the activated M1 macrophages
DR and negative control groups. (D) miR-27a-3p, miR-30b-5p and negative control mimics were overexpressed in PBMC M1
hages as a control group, while miR-27a-3p, miR-30b-5p and negative control mimics together with VDR plasmids were transfected
VDR-OE group. The proportion of PBMCs expressing CD64 (marker of M1 macrophages) and CD206 (marker of M2 macrophages)
ermined by flow cytometry. (E) The proportion of U-937 expressing CD64 and CD206 were determined by flow cytometry. (F) The
on of THP-1 expressing CD64 and CD206 were determined by flow cytometry. *P < 0.05, **P < 0.01, ***P < 0.001, ****P < 0.0001,
ignificant. FIGURE 6 FIGURE 6
Vitamin D receptor (VDR) reverses miR-27a-3p and miR-30b-5p mediated inflammatory cytokine expression and macrophage differentiation. (A) MiR-27a-3p, miR-30b-5p and negative control mimics were overexpressed in activated M1 macrophages. In addition, miR-27a-3p,
miR-30b-5p and negative control mimics together with VDR plasmids were transfected in another group. After 48 h, the levels of the cytokine
IL-1β in the activated M1 macrophages of both groups were measured. (B,C) The relative levels of IL-6, TNF-α in the activated M1 macrophages
of the VDR and negative control groups. (D) miR-27a-3p, miR-30b-5p and negative control mimics were overexpressed in PBMC M1
macrophages as a control group, while miR-27a-3p, miR-30b-5p and negative control mimics together with VDR plasmids were transfected
into the VDR-OE group. The proportion of PBMCs expressing CD64 (marker of M1 macrophages) and CD206 (marker of M2 macrophages)
were determined by flow cytometry. (E) The proportion of U-937 expressing CD64 and CD206 were determined by flow cytometry. (F) The
proportion of THP-1 expressing CD64 and CD206 were determined by flow cytometry. *P < 0.05, **P < 0.01, ***P < 0.001, ****P < 0.0001,
ns=not significant. 13 13 Frontiers in Microbiology frontiersin.org Xiao et al. Discussion 10.3389/fmicb.2022.1020542 FIGURE 7
An opposite trend of VDR and miRNA expression has been observed and VDR can inhibit the expression of NF-kB p65 in macrophages. (A) The
relative expression of VDR in PBMC–derived M0, M1, and M2 macrophages significantly increased successively, as determined by qRT–PCR and
Western blot assay. (B) The relative expression of miR-27a-3p in PBMC-derived M0, M1, and M2 macrophages. Compared with M0
macrophages, the relative expression of miR-27a-3p in M1 macrophages was significantly increased, but it was significantly decreased in M2
macrophages. (C) Compared with M0 macrophages, the relative expression of miR-30b-5p in M1 macrophages was also significantly increased,
but it also significantly decreased in M2 macrophages. (D) After overexpression of VDR in PBMC-derived M1 and M2 macrophages, the
expression of NF-kB p65 was measured by qRT–PCR and Western blot assay. Compared with the control group, the expression of NF-kB p65
was significantly decreased in M1 and M2 macrophages, which was opposite to the VDR expression trend. (E) After knocking down VDR
expression in PBMC-derived M1 and M2 macrophages, the expression of NF-kB p65 was measured by qRT–PCR and Western blot assay. Compared with the control group, the expression of NF-kB p65 was significantly increased in M1 and M2 macrophages, which was also
opposite to the VDR expression trend. (F) Mechanism chart. MiR-27a-3p and miR-30b-5p inhibit the VDR protein levels by targeting VDR mRNA. The decrease of VDR activated NF-kB signaling pathway and increased the secretion of proinflammatory cytokines and simultaneously, induced
t
diff
ti ti
i t
M1
h
*P
0 05 **P
0 01 ***P
0 001 ****P
0 0001
t i
ifi
t FIGURE 7 FIGURE 7
An opposite trend of VDR and miRNA expression has been observed and VDR can inhibit the expression of NF-kB p65 in macrophages. (A) The
relative expression of VDR in PBMC–derived M0, M1, and M2 macrophages significantly increased successively, as determined by qRT–PCR and
Western blot assay. (B) The relative expression of miR-27a-3p in PBMC-derived M0, M1, and M2 macrophages. Compared with M0
macrophages, the relative expression of miR-27a-3p in M1 macrophages was significantly increased, but it was significantly decreased in M2
macrophages. (C) Compared with M0 macrophages, the relative expression of miR-30b-5p in M1 macrophages was also significantly increased,
but it also significantly decreased in M2 macrophages. (D) After overexpression of VDR in PBMC-derived M1 and M2 macrophages, the
expression of NF-kB p65 was measured by qRT–PCR and Western blot assay. Compared with the control group, the expression of NF-kB p65
was significantly decreased in M1 and M2 macrophages, which was opposite to the VDR expression trend. (E) After knocking down VDR
expression in PBMC-derived M1 and M2 macrophages, the expression of NF-kB p65 was measured by qRT–PCR and Western blot assay. Compared with the control group, the expression of NF-kB p65 was significantly increased in M1 and M2 macrophages, which was also
opposite to the VDR expression trend. (F) Mechanism chart. MiR-27a-3p and miR-30b-5p inhibit the VDR protein levels by targeting VDR mRNA. The decrease of VDR activated NF-kB signaling pathway and increased the secretion of proinflammatory cytokines and simultaneously, induced
monocytes differentiation into M1 macrophages. *P < 0.05, **P < 0.01, ***P < 0.001, ****P < 0.0001, ns = not significant. induces macrophage differentiation and skews myelofibrosis
(Wakahashi et al., 2019). The NF-kB pathway is considered to
play a vital role in regulating inflammation. A study showed that
the activation of NF-kB promotes M1 macrophage polarization
and proinflammatory cytokine secretion, thereby promoting
inflammatory disease progression (Lv et al., 2020). Research
shows that VDR blocks NF-kB activation by decreasing the levels of the IKK complex (Chen et al., 2013), which was
confirmed in our study. Many miRNAs target VDR in a specific
manner. Through bioinformatics prediction and validation, we
identified VDR as the target gene of the two miRNAs in this
study. We also found that VDR could reverse the progression
of M1 macrophage polarization and proinflammatory cytokine
secretion induced by miRNAs. Frontiers in Microbiology 14 frontiersin.org Xiao et al. 10.3389/fmicb.2022.1020542 Supplementary material The datasets presented in this study are deposited in the
NCBI GEO repository, accession number GSE207224, available
at https://www.ncbi.nlm.nih.gov/geo/query/acc.cgi?acc=GSE20
7244. The Supplementary Material for this article can be found
online at: https://www.frontiersin.org/articles/10.3389/fmicb. 2022.1020542/full#supplementary-material 2022.1020542/full#supplementary-material Conflict of interest The authors declare that the research was conducted in the
absence of any commercial or financial relationships that could
be construed as a potential conflict of interest. In conclusion, this study identified miR-27a-3p and miR-
30b-5p in TB patients. Both miRNAs target VDR mRNA,
promote proinflammatory cytokine expression, and induce
the polarization of monocytes into M1 macrophages while
inhibiting the polarization of monocytes into M2 macrophages. Therefore, we conclude that the high expression of these two
miRNAs is credibly related to the progression of TB. Publisher’s note All claims expressed in this article are solely those of the
authors and do not necessarily represent those of their affiliated
organizations, or those of the publisher, the editors and the
reviewers. Any product that may be evaluated in this article, or
claim that may be made by its manufacturer, is not guaranteed
or endorsed by the publisher. Funding This work was supported by the National Natural Science
Foundation of China (81773486). Author contributions All authors listed have made a substantial, direct, and
intellectual
contribution
to
the
work,
and
approved
it
for publication. Ethics statement Therefore, in our study, we first screened miRNAs
differentially expressed in TB and then investigated the
function and mechanism of the identified miRNAs. Through
comparisons of TB patients and controls, high-throughput
sequencing and qRT–PCR were used to screen miR-27a-3p and
miR-30b-5p, which were expressed at significantly higher levels
in the TB group. Western blot experiments confirmed that the
two miRNAs significantly inhibited VDR protein expression
in differentiated macrophages but not in undifferentiated
macrophages. Further experiments showed that miR-27a-3p
or miR-30b-5p could significantly downregulate VDR mRNA
expression in activated M1 macrophages. The miR-27a-3p and
miR-30b-5p binding sites in the 3′UTR of VDR mRNA were
verified by dual-luciferase assays. More specifically, ELISA and
flow cytometry showed that the two miRNAs could promote
M1 macrophage polarization and proinflammatory cytokine
secretion. Moreover, after VDR overexpression, macrophage
differentiation and proinflammatory cytokine secretion were
reversed to a certain extent. The above results suggest that miR-
27a-3p and miR-30b-5p induce M1 macrophage differentiation
and upregulate the expression of proinflammatory cytokines
by targeting VDR. Moreover, we found that the roles of these
miRNAs in TB were previously reported in two different studies
(Xin et al., 2016; Liu F. et al., 2018). These two studies clearly
illustrated the important regulatory roles of these two miRNAs
in TB. However, the relationship of miR-27a-3p and miR-30b-
5p with VDR protein levels was studied here for the first
time. The studies involving human participants were reviewed
and approved by Xinqiao Hospital Ethics Committee. The
patients/participants provided their written informed consent to
participate in this study. Baeke, F., Takiishi, T., Korf, H., Gysemans, C., and Mathieu, C. (2010). Vitamin
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Rosabetty Muñoz: entre el agua y la furia
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América sin nombre, no 16 (2011) 113-120
ISSN: 1577-3442 / eISSN: 1989-9831
Mª Ángeles Pérez López
ROSABETTY MUÑOZ:
ENTRE EL AGUA Y LA FURIA
Mª ÁNGELES PÉREZ LÓPEZ
Universidad de Salamanca, España
mapl@usal.es
Poeta y profesora titular de Literatura Hispanoamericana en la Universidad de Salamanca. Es autora
del prólogo a Mío Cid Campeador de Vicente Huidobro (UAM,
1997), de Los signos infinitos. Un
estudio de la obra narrativa de
Vicente Huidobro (AEELH, 1998)
y de la introducción a Páginas
en blanco de Nicanor Parra (Salamanca/Patrimonio Nacional,
2001), así como de varios artículos
sobre Óscar Hahn y Gonzalo Rojas, en el ámbito chileno. También
es responsable de varios artículos,
ediciones y monográficos sobre
poesía argentina, venezolana y de
género (ss. XX-XXI).
RESUMEN
En el presente artículo se analizan los poemarios Hijos (1991), Ratada (2005) y En nombre de
ninguna (2008) de Rosabetty Muñoz (Ancud, 1960) para señalar los elementos que conforman
el carácter distópico de su obra y la atraviesan como si fuera un cuerpo: el cuerpo físico del país
–la geografía de Chiloé y su cultura depredada–; el cuerpo de la mujer que es sujeto del poema
y en su condición de madre engendra el agua y la furia, pues será convertida por el poema en
archipiélago y dará lugar a una desazonada revisión del mito materno dentro de lo que he llamado poética de la culpa; y por último, el cuerpo del poema como espacio horadado en el que
los tres libros propuestos entran sin temor en las zonas del tabú o lo siniestro y sorprenden y
conmocionan por su violencia verbal.
Palabras clave: Rosabetty Muñoz, poesía chilota, distopía, maternidad.
Cubierta de Baile de Señoritas.
ABSTRACT
This article analyses the collection of poems Hijos (1991), Ratada (2005) and En nombre
de ninguna (2008) by Rosabetty Muñoz (Ancud, 1960) to highlight the elements that shape
the dystopic nature of her work, cutting across it as if it were a body, the physical body of a
country – the geography of Chiloe and its devasted culture. The female body, the subject of the
poem in the form of a mother, brings forth water and fury, which is turned into an archipelago
by the poem which creates a distressed revision of the maternity myth which I have called the
poética de la culpa. Finally, the body of the poem becomes a carved out space in which the three
books proposed enter fearlessly into tabu topics or into the sinister or the surprising that shock
by its verbal violence.
Key words: Rosabetty Muñoz, Chilote poetry, dystopia, maternity.
En su conjunto, la poesía de Rosabetty
Muñoz (Ancud, 1960) se inscribe de modo
inequívoco en los márgenes que define la geografía de Chiloé, con una señalada vocación
de pertenencia a un espacio físico –el sur de
Chile–, cuyo imaginario reescribe en términos antiutópicos tal como ha advertido Óscar
Galindo (2001, pp. 223-233). La destrucción
de los anclajes que erigían ese imaginario será
particularmente demoledora: la miseria acam-
pa en medio de lugares todavía semivírgenes
y el topos se recubre de dolor. Dominado
por la noción de colectividad (Canto de una
oveja del rebaño, Santiago, Ariel, 1981; Valdivia, El Kultrún, 19941); por el dolor como
«único lenguaje/ que traspasará la historia»
(En lugar de morir, Santiago, Cambio, 1986);
por el cuidado de la especie (Hijos, Valdivia,
El Kultrún, 1991); la configuración simbólica
de un espacio cultural (Baile de señoritas,
113
1
Con algunos cambios mínimos.
Véase el análisis de Marcelo
Pellegrini (2006, pp. 147 y ss.).
Rosabetty Muñoz:
entre el agua y la furia
Mª ÁNGELES PÉREZ LÓPEZ
América sin nombre, no 16 (2011) 113-120
2
Se trata de la edición revisada
y comercial, pues hay una edición artesanal de 2005 a cargo
de Ricardo Mendoza, de cinco
ejemplares hechos a mano con
gasa quirúrgica para adherir
el poema a la página, que he
podido consultar por cortesía
de la autora. Cito por la edición
de 2008.
3
Cito por la edición digital de
los poemas en el Proyecto Patrimonio, en http://www.letras.
s5.com/archivorosabetty.htm
(fecha de consulta: 1 de julio
de 2011).
4
Así lo recuerda el escritor Francisco Coloane en «El Chiloé del
niño», El Mercurio, 9 de noviembre de 2001.
5
En el poema «Bucaneros», p. 19.
Valdivia, El Kultrún, 1994; La Santa. Historia de su elevación, Santiago, Lom, 1998;
Sombras en el Rosselot, Santiago, Lom, 2002);
la podredumbre y la violencia que corporeizan las ratas (Ratada, Santiago, LOM, 2005)
o el desamparo que engendra el aborto (En
nombre de ninguna, Valdivia, El Kultrún,
20082), presenta un carácter distópico que
atraviesa los diversos estratos del territorio
como si fuera un cuerpo: el de la mujer que es
sujeto del poema y en su condición de madre
engendra el agua y la furia; el cuerpo físico
del país –ese sur del sur abierto a todas las
significaciones– y por último, el cuerpo del
poema como espacio horadado.
también de pérdidas: la topografía que recorre
Hijos presenta al yo poético como puente y
canal –así en el bellísimo «Caucahué», que
recuerda el sentido etimológico del término
(«lugar de gaviotas grandes»4) cuando dice:
«Cada clavo es bello en el orden final./ La
suma de todo te devolverá a mis brazos/ como
la gaviota que se posa sobre la catedral/ cada
tarde»– y la madre como el único anclaje posible («hijos buscando una madre que cuelgue
el sol/ del que será su puerto para siempre»).
Mientras, el padre es «un callejón de casas altas/ y ventanas oscuras» cuya búsqueda tiene
resonancias históricas y míticas:
Conocerás a tu padre.
Él es un callejón de casas altas
y ventanas oscuras.
De estas que hay en las islas.
En la última ventana, una luz.
Y uno recorre toda la calle
y todas las piezas
buscando esa luz.
(«Tranqui»)
Cuerpo y territorio: el poemario Hijos
El primer poema de Hijos propone una
traslación metafórica que convierte el cuerpo
en territorio y a su vez, éste en cuerpo. Como si hubiese que marcar los accidentes del
terreno, la descripción espacial se adueña del
poema y transforma el yo lírico en isla, o mejor, en archipiélago, fragmentando el cuerpo
del texto que, como el lugar descrito, expulsa
de sí cualquier idealización:
Por otro lado, se intensifica la relación
arriba apuntada entre género y territorio,
porque aunque las marcas de género no están
presentes en todos los poemas, en aquellos en
que sí aparecen delimitan un campo extraordinariamente fecundo, el de la mujer-madre
que es también archipiélago con todos sus
vástagos disgregados (desmembrados de ella
y de sí):
«Travesía»
La geografía de mis interiores
a tu disposición
tripulante amado.
Para que vayas bordeando los puertos
de las gastadas vísceras
donde almaceno residuos de vidas anteriores.
El de crecidos ojos
recolecta brújulas, mascarones de proa
revisa los velámenes
y emprende el viaje.
Para adormecerlo repito nombres
de islas mancornadas, lluviosas
resplandecientes de estrellas y abandonadas.
Así, el archipiélago va quedando señalado
por viajeros intrépidos que revelan los misterios
de una tierra tan poco parecida al paraíso3.
Rosabetty Muñoz:
entre el agua y la furia
Mª ÁNGELES PÉREZ LÓPEZ
Crezco desproporcionada.
Como piedrecitas se disgregan los vástagos
en los caminos
que ya son surcos
que son líneas,
que se pierden...
(«Añihué)
Si en Baile de señoritas el archipiélago tendrá «maternal consistencia»5, aquí la
madre-isla es soberana de un territorio de
náufragos, de mapas invadidos por lo ajeno,
por la depredación:
Bajo el signo de la distopía, el cuerpo (en
sus gastadas vísceras) y la tierra (tan poco parecida al paraíso) aproximan sus límites en un
esfuerzo metafórico muy notable que recorre
el libro. Los poemas llevan por título islas,
islotes y canales de Chiloé: Chacao, Lacao,
Doña Sebastiana, Quinchao, Aulín y un largo
etcétera, en una geografía que es amorosa y
(…) No me cansaré de cruzar el canal
para palparte y mirarte
aunque me vaya confundiendo
con tanto náufrago
que huye de los invasores.
(«Mechuque»)
114
América sin nombre, no 16 (2011) 113-120
Que la hablante se mida a sí y a los otros
en términos espaciales y geométricos («El
perímetro de mi vida/ llenándote el globo del
ojo»), atempera la parte emotiva y desgarrada
del poemario, porque la madre va nombrando
el mundo para los hijos y buscando las palabras que cartografían la realidad chilota: lo
pobre, lo miserable, la ausencia, la pedrada, el
goce dolorido. Como dueña de las palabras,
la madre enseña también lo terrible, el peso
innoble de la vida, y cuida de sus débiles crías
hasta que éstas se vuelvan «jueces implacables» (del poema «Cheniao») pues es tremenda la presión que ejerce el hijo desde el útero6.
Al tiempo, la imbricación con el territorio
es tan fuerte que constituye, vertebralmente,
la masa de la psique: cuando en el impactante
poema final «No se crían hijos para verlos
morir», dice la poeta: «La ansiedad es un arrecife/ donde acerados corales/ hieren los cuerpos amados», reconfigura distópicamente un
imaginario que ella misma ha subrayado por
su relevancia. En una larga entrevista concedida a Yanko González Cangas, afirmaba Muñoz: «percibo mi trabajo como un proyecto
circular en cuyo centro está Chiloé y toda su
carga en una especie de estallido primigenio,
como el poderoso inicio del universo. Desde
ahí, la palabra poética se hace cargo de juntar
algunos fragmentos y va dando cuenta de esta
astillada realidad que funde un antes con el
presente y que apuesta por un devenir donde
este procedimiento es esencial» (González
Cangas, 1999).
De un lado, se problematiza el espacio
geográfico y cultural, que en una lectura de
tipo sociológico ha sido abordado como el
esfuerzo por «exhibir la tremenda desigualdad de poder que hay en la pugna entre las
fuerzas de la maternidad y las del capital
foráneo continental y su base política que
han irrumpido en una tierra imaginada con
un pasado de comunión», en palabras de
Sergio Mansilla (2002)7, quien pone el énfasis
en aquellos significantes cuya connotación es
ideológica.
De otro, se introduce la noción de distrofia en la experiencia misma de la maternidad,
que en lugar de ser el espacio arcádico al que
se refiere Iván Carrasco (1991, pp. 7-10) en
su prólogo al libro, resulta, en mi opinión,
severamente problematizado. Al señalar ambos aspectos, propongo no reducir Hijos a
la presencia de aquellos ideologemas que
permitan una lectura de tipo historicista o
sociologicista, como la presencia de lo militar con su carga autoritaria y represiva en el
contexto dictatorial chileno, sino ensancharlo
hasta incluir también la fractura de aquellos
elementos del imaginario cultural por los que
la mujer debe ser una «suficientemente buena
madre»8. Veremos agudizado este aspecto en
su último libro, pero ya Hijos articula una
desazonada revisión del mito materno al
sugerir, con Simone de Beauvoir, Adrienne
Rich y Julia Kristeva, que el deseo femenino es ambiguo en lugar de ser maternal o
anti-maternal, de modo que la ambivalencia
sería la característica de la maternidad9. Así,
el dolor muñociano no es solo histórico sino
que también se vincula al género y alcanza lo
ontológico y lo existencial.
Ratada: discrepancia y género
El epígrafe que abre Ratada sitúa el libro
como una relación oscura transitada por el
miedo y la pena: «Mi madre dice que cuando
uno tiene una pena muy grande o mucho miedo, se le llena la cabeza de piojos. Ella lo ha
visto: Todos esos bichos están dentro de uno,
eso dice» (Muñoz, 2005).
La cartografía poética de Chiloé que había
desarrollado Hijos y después había sido nutrida en sus aspectos más intensos e inquietantes
por Baile de señoritas, La Santa y Sombras
en el Rosselot, va a alcanzar su paroxismo en
Ratada, cuyo título resulta suficientemente
expresivo. El territorio se seca, los adjetivos
se nublan y oscurecen, el bestiario se puebla
de gusanos y ratas y por último, la violencia
asociada a la miseria se infiltra en la totalidad
del libro, que ha sido leído por Iván Carrasco
como alegoría de la dictadura militar en Chile.
De ese modo, el libro vendría a ser la «culminación de una poesía crítica, contingente e
intercultural» (Carrasco, 2006, pp. 45-67) que
ofrece una visión apocalíptica de la sociedad
chilena de las últimas décadas del XX.
En este sentido, un poema como «(rumor
de carnicería)» afila su corte:
Cubierta de Ratada.
6
Leemos en «Llingua»: «Tremendo
es sentirte/ presionando desde
la oscuridad./ Habré de verte,
inevitable/ doblando las calles/
las mismas esquinas/ donde tu
padre y yo nos guarecíamos/ de
lloviznas interminables».
7
El capítulo dedicado a la poeta
lleva por título «Rosabetty Muñoz: Condenada a los cantos
lastimeros» y en él analiza hasta
Baile de señoritas inclusive.
8
Me refiero al conocido término
acuñado por Donald Winnicott
–«the good enough mother»–
para referirse a la relación entre
madre e hijo (Winnicott, 1998).
9
Véase la panorámica trazada
por Lorena Saletti Cuesta (2008,
pp.169-183).
Despierta el pueblo
en su gris acostumbrado.
Rumor de carnicería
y sangre goteando desde las presas.
Tras el vidrio enrojecido,
tras el filo del cuchillo,
115
Rosabetty Muñoz:
entre el agua y la furia
Mª ÁNGELES PÉREZ LÓPEZ
América sin nombre, no 16 (2011) 113-120
un gesto dulce atraviesa la calle
y se deshace, mínimo
en la espesura del aire.
(Muños, 2005, p. 15)
Los soldados que desfilan por el libro impregnan de una enrarecida atmósfera de lujuria
el degradado espacio chilote y pervierten cualquier resquicio arcádico del imaginario centralino (tanto santiaguino como occidental):
Rosabetty Muñoz.
10
En «se triza el mundo conocido»
de Ratada leemos: «Primero fue
una trizadura/ en el mundo
conocido./ Y luego, el hueso
expuesto/ la sangre detenida,/
cadáveres sosteniendo/ pocillos
de cloro/ en el hueco de la
mano.» (p. 45).
11
En la entrevista concedida a
Ignacio Vidaurrázaga con el título «La poesía es un espacio de
resistencia» que se publicó en El
Mostrador el 13 de febrero de
2006. En el Proyecto Patrimonio: http://www.letras.s5.com/
archivorosabetty.htm, fecha de
consulta: 1 de agosto de 2011.
12
En la ya citada entrevista de
Yanko González Cangas.
13
En el Proyecto Patrimonio,
en la dirección electrónica
http://www.letras.s5.com/
rm2404051.htm (fecha de consulta: 5 de septiembre de 2011).
14
En Baile de señoritas ya está empleado por extenso este recurso:
«Mujerío III», «El atisbo».
15
A partir de los estudios de Martin Lienhard sobre la escritura
oralizante (aquella en la que
están presentes elementos temáticos, enunciativos y poéticos
atribuibles al discurso oral de
los marginados) y de Mauricio
Ostria sobre la oralidad ficticia
(aquella que imita la oralidad
en escritos de naturaleza literaria), Yenny Ariz Castillo (2005,
pp.63-82) aborda la poética de
Rosabetty Muñoz y de la también chilota Sonia Caicheo.
Rosabetty Muñoz:
entre el agua y la furia
Mª ÁNGELES PÉREZ LÓPEZ
(nada les ilumina más)
Ningún movimiento en el follaje.
Ni pájaros baten alas
ni suena el río en su tajo.
Se diría un cristal enverdecido
esta tarde ardiente.
A orillas del mar
soldaditos montan
a las chicas del pueblo
mientras espían los hijos
de contingentes anteriores.
Son niños sin barcos
cruzándoles las pupilas.
Nada les ilumina más
que el hallazgo de una rata viva
a quien sacarle los ojos.
(Muñoz, 2005, p. 11)
La fusión con el territorio que apuntábamos en Hijos se hace también expresa, de modo que el cuerpo de la hablante es el secarral
del odio y del vivir en el que transcurre Ratada: «La ventana se fue incrustando/ musgosa
en los bordes./ Y ahora soy cerro/ –cuerpada
amenazante–/ mi sexo: este río a borbotones.»
(en «finos cuchillos», Muñoz, 2005 p. 29).
Es el cuerpo, entonces, lamido y saboreado
por las ratas –en el poema titulado «flamean
trapos azules»–, y son éstas las que lamen y
saborean un territorio acosado por el miedo,
el zarpazo y la trizadura10 (término preferido
de Muñoz, que había iniciado Hijos con el
siguiente epígrafe «Busquemos un lugar/ para
incluirnos entre los inmortales./ Un nidito/
en la trizadura del tiempo.»).
Justamente la condición de mujer es la
más golpeada por esa experiencia atroz que
supone el libro, lo que establece su discrepancia con respecto a una visión armónica
de la vinculación entre género y espacio,
tal como ha señalado la propia Rosabetty:
116
«Apuesto ahora más por poner atención a los
cambios evidentes, dejando claras la crisis y
el desmoronamiento; me parece peligroso e
irresponsable contribuir a la imagen de un
Chiloé incontaminado y paradisíaco. Por eso,
considero que Ratada es un punto alto de mi
escritura, allí se concentra el sedimento de los
males que acechan este tiempo y que trascienden ampliamente los cercos geográficos»11.
En el mismo sentido, me permito indicar
que la autora evita también la imagen de una
hablante incontaminada y paradisíaca, rompiendo con los límites tanto de lo lírico como
de lo genérico, aunque el empleo del primer
término viene motivado por la vinculación
genealógica que Muñoz propone con lo lárico
teilleriano, con quien suscribe la definición
del poeta con el «guardián del mito»12.
Como ha escrito Naín Nómez, en Ratada
se rastrean «los intersticios del mundo rural
del sur de Chile, que su imaginario [el de
la autora] convierte en una visión ampliada
de las situaciones concretas de los seres humanos. La borrosa actividad del pueblo casi
inmutable, con su vida reprimida y detenida,
empozado en su desgaste rutinario, es sacudida por la invasión de las ratas. Ellas por un
lado remueven el hastío y la insatisfacción
de la existencia pueblerina, y por otro, convierten su destrucción en un movimiento de
intercambio entre ratas y seres humanos que
se identifican y se repelen»13.
El clímax de la propuesta antiutópica muñociana puede leerse aquí:
(huele a esencias)
No esperen una postal amable
deste pueblo de mierda.
Aparte del mar encabritado
además de las ratas
devorándose entre ellas,
aún después de los cadáveres;
el asunto huele a esencias.
Para estar aquí
hace falta estar vencido.
(Muñoz, 2005, p. 9)
pues como vemos, la poeta parece escribirnos
una antipostal y al emplear el vulgarismo
deste hace suya la voz popular con su carga
expresiva14, empleando el procedimiento de la
oralidad ficticia o «recreación de la oralidad»15.
América sin nombre, no 16 (2011) 113-120
El poema concluye con la noción de derrota,
que acompaña a la de culpa sobre la que volveré más adelante; a partir de ambas Muñoz
construye ese sur del sur arrasado por la violencia y la depredación: sociohistórica, como
señala Carrasco, pero también vinculada a
la reflexión metapoética, porque el discurso
es altamente precario (ya en su primer libro
afirmaba el yo lírico: «espero más de lo que
puedo decir»16), aunque la hablante esté, a
pesar de todo, dispuesta a seguir nombrando mientras su cuerpo siga sosteniendo el
mundo: «la palabra dispuesta a retener/ este
mundo en descalabro» –del poema «se triza
del mundo conocido» (Muñoz, 2005 p. 45).
Como leemos en el penúltimo poema, «tal vez
otras ciudades»:
católica, los misterios gozosos, dolorosos,
gloriosos y luminosos. En nombre de ninguna
hace referencia a los misterios gozosos y dolorosos del devocionario y reescribe diversas
letanías para incidir sobre un aspecto crucial:
la poética de la culpa17. Dentro del paradigma
de lo religioso, el poema que da título al libro
se expresa en los siguientes términos:
Se suceden en procesión
hacia el altar de la sangre
estas jovencitas
con sus crías en bolsas negras.
Hay otras debajo de las tablas del piso
y enterradas con las flores del jardín
En pecado mortal
están las hijas de la patria.
La gracia ha de caer en llamaradas
sobre las ruinas
sobre cada árbol, cerro, hendedura.
Un santo oficio sobre la naturaleza.
Actúan ellas en nombre de ninguna (Muñoz, 1998)18.
Ni en el nombre de María ni en el nombre
del padre, cuya ley es transgredida en uno de
sus más importantes mandatos: No matarás.
Por eso el libro se escribe en el nombre de
ninguna: el anonimato provee de gravedad lo
acontecido, cuya mancha parece extenderse
e impregnarlo todo como aceite funeral. La
orfandad vallejiana (recordada cuando en
«Lejos del buen lugar» se nombran los «húmeros confundidos») es atravesada por la ironía con la que se cita a «las hijas de la patria»
y el lenguaje se vuelve denso y grave como
la gravedad de su caída (del poema «Vuelo y
caída»19). Al respecto, ha afirmado Mansilla
(2002) que Muñoz «desarrolla una escritura
que evidencia marcas de un sujeto femenino
católico» y cuya poesía «está centrada en el
tema de la orfandad, de la soledad mortal de
ser ‘otro’ en un mundo hecho a la mala».
Siguiendo ese lenguaje cristológico, en
el que cada muchachita violada que aborta
sostiene su pesada cruz al hombro, el libro de
Muñoz recorre varias estaciones del calvario:
la de las muñecas rotas, perdidas o abortadas (ellas también), como transfiguraciones
monstruosas de los hijos; la de los fetos abandonados en los basureros y la de los niños
muertos como angelitos descoloridos que
apenas si dejan «una cicatriz/ esta línea finísima en el útero»20.
En la primera estación del calvario, las
muñecas conforman un «Álbum familiar» en
el que cada poema es una estampa degradada
por el paso del tiempo. Su ámbito es campesi-
Y tal vez mi cuerpo
con sus grietas y copas
se levantará otra vez.
Armaríamos entonces, otras ciudades:
éstas tan frágiles hicimos.
(Muñoz, 2005, p. 71)
En este sentido, ha afirmado Mansilla que
Rosabetty Muñoz continúa pronunciando
con una voluntad de «exorcismo de esa zona
oscura del yo lírico en la que habitan los demonios, miedos y obsesiones más pertinaces:
el sentirse culpable de ser y de pensar el ser,
el temor existencial a la soledad, el terror a la
nada y a la ausencia, la angustia desgarradora
por la irrupción de la modernidad secular que
carcome la cultura heredada de los mayores,
la negación de sí misma y el consiguiente rol
de víctima que la mujer asume —hablo de la
mujer en la poesía de Muñoz— en el marco
de relaciones de poder profunda y sostenidamente opresivas para el sujeto femenino»
(Mansilla, 2002).
Maternidad y distopía: En nombre de ninguna
¿En nombre de quién se describe la doliente relación con el hijo que se alberga y al
que se quiere expulsar? No, desde luego, en
el nombre de María, encarnación del mito
materno y a quien se dedican, en la liturgia
117
16
Cito por el Proyecto Patrimonio, en la dirección electrónica
http://letras.s5.com/
rm140511.html (fecha de
consulta: 20 de septiembre de
2011).
17
Aunque voy a centrarme en este
aspecto dentro del libro En nombre de ninguna, resulta interesante tener en cuenta que ya en
Baile de señoritas se expresa lo
siguiente: «La visión no es clara/
pero supone un pueblo hundido/
por el peso de la culpa» (del
poema «Pisadas en la arena»,
p. 36) o en «Perspectiva» del
mismo libro: «La culpa es un
cuervo sobrevolando/ la ceguedad» (p. 25). Y en el poema «La
culpa» de La Santa leemos: «La
culpa. La culpa./ Nos enseñan a
hervir en su caldo./ Nos oprime
el pecho» (p. 27).
18
En la edición artesanal de 2005,
el poema concluía con los siguientes versos: «Fue un año
de exterminio./ Cisnes de cuello negro/ caían en bandada;/
muertas ya las frágiles raíces/
los nenúfares sostenían a duras
penas/ sus hojas flotantes», que
ahora han pasado a formar parte del inicio del poema «Vuelo y
caída». En ningún caso indico la
página porque el libro no está
numerado sino adornado, en
el pie de página, por pequeños
angelitos que remiten al lenguaje
religioso del texto y facilitan
la identificación entre niños y
ángeles.
19
Igualmente titulado que otro poema de Baile de señoritas donde
se lee: «La honda se estira./
Basta una piedra certera./ Caer
replegadas de alas/ ojos abatidos.// La profunda indefensión/
de las vivientes que expusimos el
pecho.» (p. 24).
20
También en La Santa hallamos
tres partes o estaciones, solo
que en ese libro corresponden
a las etapas de la elevación a
los altares. Véase el artículo de
Amelia Moreno (2006).
Rosabetty Muñoz:
entre el agua y la furia
Mª ÁNGELES PÉREZ LÓPEZ
América sin nombre, no 16 (2011) 113-120
21
Leemos en el poema «Aguas»,
incorporado a la edición de
2008: «No se habla de los ríos
ocultos./ No se nombran sus
aguas/ ni se intenta oír el curso
de cristal./ Permanece ahí/ reserva y fondo de otro paisaje./
La palabra y el agua tienen ese
pacto secreto/ celo de decir/
que cubre la desnuda transparencia./ Celo de borboteo
imposible».
no y los juguetes que aparecen están también
degradados por el «olor nauseabundo» que
convierte cada muñeca rota en feto roto:
Esta, la de la foto, es la misma que jugaba con su
muñeca todo el día y en la noche la arropaba para que
no sienta frío ni miedo. Se resistió a tirarla cuando
perdió un ojo. Siguió negándose cuando cayó sobre
la estufa y se quemó el brazo de goma. Y cuando se
le apelmazó el pelo. Y cuando quedó con una sola
pierna.
Es la misma. Sin señales de pena, posa con los restos
del recién nacido sobre los trapos con los que limpió
el piso.
El álbum resulta, en mi opinión, de extraordinaria relevancia porque se produce el
deslizamiento de lo familiar a lo monstruoso.
Las muñecas se vuelven monstruosas. Aparentemente familiares y en realidad siniestras.
Leemos más adelante:
Ocupando toda la mirada: un primer plano del rostro
y torso de la abuela. Se ha colgado cuanta bisutería
guardaba en el baúl de madera ; el chal que lleva sobre
los hombros se lo trajo de Italia una hija monja.
Sostiene algo envarada, una guagua famélica de
rodillas y codos como agujas. Se ve que trata de
mantener erguida la cabeza enorme, se ve que carga
con una comprensión demasiado intensa para su
tamaño, como si pidiera disculpas por su esmirriada
materia carnal.
Justamente su cercanía con lo aparentemente inocente es lo que permite el deslizamiento hacia lo siniestro tal como fue
formulado por Freud (1979): las muñecas del
libro rompen con las reglas de armonía y proporción e introducen el desconcierto, el terror
y la angustia. La negatividad de las emociones
desencadenadas tiñe el libro en su totalidad
porque el movimiento es doble y siempre
cruel: las muñecas del álbum son los hijos
clausurados por el aborto y a su vez, las que
habrían sido madres también son muñequitas
destruidas, figuraciones de lo siniestro en su
turbación más potente:
Rosabetty Muñoz:
entre el agua y la furia
Mª ÁNGELES PÉREZ LÓPEZ
A fines de ese año empezó a llenar el vestido y la
confinaron en la pieza con una sola ventana que daba
al gallinero. Casi al mismo tiempo, en la cancagua
empezó a crecer una flor buscando aire por la abertura del caño. Tenía aspecto pavoroso y un olor nauseabundo, por eso su madre le regó agua hirviente.
En este poema extraordinario, que solo
desvela parte de su materia narrativa y perturba terriblemente al cuestionar la integridad e
identidad tanto moral como física y psíquica
de sus dos protagonistas, hallamos una de
las situaciones que según Freud hace surgir
en nosotros el sentimiento de lo ominoso:
dudamos de si el ser animado está vivo y su
inversa. La muchachita con su vestido amplio
de colores brillantes parece una preciosa (y
terrible) muñeca inanimada. Al ser confinada
a una pieza como si fuese un sepulcro, se ratifica su condición inanimada y se acentúa la
dimensión mortuoria del poema, mientras la
piedra de cancagua cobra vida que su madre se
encarga –también– de sofocar. El empleo del
adjetivo pavoroso nos introduce en ese mismo
ámbito de lo ominoso o siniestro (Umheimlich), que en la propuesta freudiana procede
justamente de lo que es familiar (Heimlich) y
arrastra la percepción de lo secreto, lo oculto,
aquello que no debiera manifestarse y sin
embargo, se manifiesta21. Consciente de la
transgresión de ese tabú, en dos poemas repite
la hablante de Rosabetty Muñoz que «no es
tiempo de amarrar la lengua». Sus protagonistas se amarrarán el cuerpo para malograr
el embarazo, pero ella no podrá dejar de pronunciar esta verdad temible y oscura:
«Boca de río»
Ay del cuerpo abierto en canal
despojado de su niño
en operación de urgencia
(sobre la mesa de la cocina).
Ay de la que se entierra un palillo
o un tallo de apio o una rama de espino.
Ay de la que se toma una taza de cloro.
Ay de la que se acuesta boca abajo
mientras su amiga le salta encima.
Ay de la boca de río que la contiene
y de esa agua ya para siempre turbia.
Pidió por semanas el crujiente vestido a cuadros de
brillantes colores y muy amplio. Con él puesto, se
sentaba frente a la casa sobre una estufa de cancagua
rota que tapaba estirando el ruedo de la falda. Así,
tiesa y orgullosa, como heroína de novela, esperaba
horas y horas probando gestos recatados y las manos
ordenadas en el regazo.
Aquel cuyo espanto le obliga a volver la vista
habrá de inclinarse y anegar sus ojos
ante la niña de vientre hinchado.
Habrá de dolerse.
118
América sin nombre, no 16 (2011) 113-120
breves que unifica la voz de la hablante («a mi
vientre/ amarro una culebra/ en la garganta/
el pesado colmillo/ toda la noche/ guijarros
de niño macerando»23), Muñoz convoca una
comunidad de hablantes a las que hace partícipes, en el ámbito rural en la que se sitúa
su libro, de esa poética de la culpa que evita
visiones maniqueas y donde cada víctima es
también victimario.
No en el nombre de Santa María, Santa
Madre de Dios, Santa Virgen de las vírgenes,
Madre purísima, Madre castísima, Madre virginal, Virgen prudentísima, Virgen digna de
alabanza, Virgen poderosa, Virgen clemente,
Reina de la familia o Reina de la paz, sino en
nombre de ninguna.
Ahora no es tiempo de amarrar la lengua.
Las otras dos estaciones del calvario a las
que me refería antes, bajo el título general de
«La sombra de la hija», apuntan entonces en
esa dirección opresiva e inciden en la que he
llamado poética de la culpa, cuyos tintes son
escatológicos –en su doble sentido (tanto por
lo que el libro tiene de desecho del cuerpo
como de final de mundo)–:
Mi madre borda en el extremo de la mesa pronunciando frases apocalípticas. Señala con aguja
acusadora, todo lo que se nos viene encima. A dos
manos protejo mis oídos pero los letreros luminosos
zumban instalándose en el pueblo, el estruendo de
las risotadas en la televisión, la basura acumulada en
los caminos vecinales, vísceras de animales cuelgan
de los cercos.
Mi madre ahora mueve la cabeza lado a lado reprobando. Dice que nos encaminamos al fin.
El cuerpo violentado del poema
Como un cuerpo vivo y en crecimiento, la
obra de Rosabetty Muñoz va abriendo líneas
muy notables24 que los siguientes poemarios
exploran de modo detenido. Así ocurre con
su primer libro, Canto de una oveja del
rebaño, que establecía la vinculación con lo
tribal y una fuerte noción de arraigo y pertenencia luego explorada en Hijos a partir de
la cartografía poética de Chiloé. Este libro, a
su vez, abre para la autora la experiencia de
la maternidad en el lenguaje que engendrará
sus siguientes libros: Ratada y En nombre
de ninguna. En todos ellos, se hace expresa
una violencia que es también verbal y que va
agudizándose de manera inflexible hasta secar
cualquier margen de respiro.
Los libros aquí analizados muestran los
principales recursos con los que la autora
logra esa violencia verbal: el empleo del poema breve; la resolución de finales a menudo
abruptos, a modo de filos agudos y cortantes;
el empleo de la elipsis por una hablante que
asume diversas posibilidades polifónicas25;
el uso frecuente de la sangría para dar aire y
relevancia a algunos versos en particular; la
presencia de metáforas degradantes y un bestiario de lo monstruoso; el carácter precario
del discurso poético; la presencia de lo escatológico en su doble dimensión de lo abyecto
y lo apocalíptico; la construcción distópica de
un espacio-cuerpo que deconstruye de modo
inclemente tanto las imágenes arcádicas del
sur de Chile como del cuerpo de la mujer en
tanto espacio inocente y feraz, y por último,
la construcción orgánica de cada libro como
un proyecto coherente, pleno y cerrado que
Lo más relevante, sin embargo, es que la
poética de la culpa es vertebral en el libro, es
decir, no está fuera del yo que enuncia, sino
que éste participa, íntima y terriblemente, de
su conformación. Uno de los elementos notables de la producción de Rosabetty Muñoz,
y en especial de En nombre de ninguna, es la
polifonía de voces22: enuncia el discurso tanto
la muchacha que es recriminada por la madre
–en el poema que acabamos de leer–, como la
madre que ejerce su poder cruel y omnímodo:
Todavía estás ahí, agazapada con el dedo en la boca
(ahora, de adulta, llama la atención ese pulgar pálido
y delgado). Obligada por la circunstancia, escondí a
la Yoya en agosto y te ayudé incluso a buscarla por
cada rincón de la casa. Entre lágrimas dormiste tanto
tiempo. Tal vez por eso, cuando apareció bajo el árbol de navidad con ropa nueva y recién pintados los
ojos, la miraste sin tocarla e iniciaste desesperada el
rito incansable del dedo.
(Ya había experimentado con dejar objetos ocultos.
Objetos que me causan placer. Hacía un esfuerzo por
olvidarlos para hallarlos de pronto, inesperadamente.
Ejercitaba el perder y recuperar pero trampeaba con
los tiempos, escamoteaba la posibilidad de la pérdida
total, definitiva).
Ahí radica, en mi opinión, la intensidad de
la propuesta muñociana. A diferencia de Hago la muerte (1987), magnífico libro de la venezolana Maritza Jiménez, quien exploró sin
concesiones el territorio del aborto en poemas
119
Rosabetty Muñoz.
22
En la entrevista concedida varios
años antes a Yanko González
Cangas, había afirmado: «Me
interesa una palabra que une
a su propia substancia, la de
otros. No soy yo la que habla,
cuando menos no soy solamente
yo, sino varios y ampliando esta
capacidad, soy capaz de contenerlos. Reconozco señas de esto
que te digo: he asumido personajes como oveja (despojada de
identidad, una más del rebaño),
bailarina, señoritas en estado de
desaparición, etc.». (González
Cangas, 1999).
23
El subrayado es mío.
24
Conviene anotar varios de los reconocimientos y distinciones obtenidos por la autora: Mención
de Honor en el Premio Municipal
de Poesía de Santiago (19921999); Mención de Honor del
Premio Pablo Neruda (1996);
Premio Pablo Neruda por el
conjunto de su trabajo (2000);
Beca Fundación Andes (2000);
Premio del Consejo Nacional del
Libro por Sombras en El Rosselot
como mejor obra inédita (2002)
y nominada al Premio Altazor
(2009) por el libro En nombre
de ninguna.
25
En los términos de Yenny Ariz
(2005, pp. 69-70), se trata de
un «sujeto múltiple» ya que
«puede adoptar el rol de santa,
esposa, madre, viuda, amante,
prostituta, ciudadana. Además
es un sujeto situado en un sector
marginal».
Rosabetty Muñoz:
entre el agua y la furia
Mª ÁNGELES PÉREZ LÓPEZ
América sin nombre, no 16 (2011) 113-120
aspira a agotar su sentido al entrar sin temor
en las zonas del tabú o lo siniestro y sorprende y conmociona por su violencia verbal.
Porque ahora «no es tiempo de amarrar la
lengua», «no es tiempo del zumbido necio/ de
la decepción» (Muñoz, 2008).
Bibliografía
Ariz Castillo, Yenny (2005), «La loba y la
luciérnaga. La heterogeneidad del discurso
poético de Rosabetty Muñoz y Sonia Caicheo», Acta literaria 31, pp. 63-82.
Carrasco, Iván (1991), «La poesía de Rosabetty Muñoz», prólogo de Hijos, Valdivia,
El Kultrún, pp. 7-10.
Carrasco, Iván (2006), «Ratada de Rosabetty Muñoz: metáforas de un tiempo cruel», Revista chilena de literatura 69, pp. 45-67. Disponible
electrónicamente en http://www.scielo.cl/
scielo.php?script=sci_arttext&pid=S071822952006000200003&lng=es&nrm=iso
(fecha de consulta: 15 de septiembre de
2011).
Coloane, Francisco (2001), «El Chiloé del
niño», El Mercurio, 9 de noviembre.
Freud, Sigmund, (1979), Lo siniestro, Barcelona, José J. de Olañeta.
Galindo, Óscar (2001), «El imaginario insular
antiutópico en la poesía chilena reciente»,
en Carmen Alemany Bay, Remedios Mataix, José Carlos Rovira y Pedro Mendiola
Oñate (eds.), La isla posible. Actas del
III Congreso de la Asociación Española
de Estudios Literarios Hispanoamericanos, Universidad de Alicante-AEELH,
pp. 223-233.
González Cangas, Yanko (1999), Héroes civiles & Santos Laicos: palabra y periferia:
trece entrevistas a escritores del sur de Chile, Valdivia, Barba de Palo Ediciones. Recogido en el Proyecto Patrimonio: http://
www.letras.s5.com/archivorosabetty.htm
(fecha de consulta: 10 de julio de 2011).
Rosabetty Muñoz:
entre el agua y la furia
Mª ÁNGELES PÉREZ LÓPEZ
120
Mansilla, Sergio (2002), El paraíso vedado.
Ensayos sobre poesía chilena del contragolpe 1975-1995, Fucecchio, European
Press Academic Publishing. Cito por la
edición de Paginadura que está disponible en la revista electrónica Katharsis, en
la dirección http://www.revistakatharsis.
org/paraiso.pdf (fecha de consulta: 12 de
junio de 2011).
Moreno, Amelia (2006), «El camino hacia la
Santidad: La Santa. Historia de su elevación de Rosabetty Muñoz», Villaletras.
Reproducido en la página electrónica del
Proyecto Patrimonio, en http://www.letras.s5.com/rm020306.htm (fecha de consulta: 5 de agosto de 2011).
Muñoz, Rosabetty (1981), Canto de una oveja del rebaño, Santiago, Ariel.
– (1986), En lugar de morir, Santiago, Cambio.
– (1994), Canto de una oveja del rebaño,
Valdivia, El Kultrun.
– (1991), Hijos, Valdivia, El Kultrún.
– (1994), Baile de señoritas, Valdivia, El Kultrún.
– (1998), La Santa. Historia de su elevació,
Santiago, Lom.
– (2002), Sombras en el Rosselot, Santiago,
Lom.
– (2005), Ratada, Santiago, Lom.
– (2008), En nombre de ninguna, Valdivia,
El Kultrún.
Pellegrini, Marcelo (2006), Confróntese con
la sospecha. Ensayos críticos sobre poesía
chilena de los 90, Santiago, Editorial Universitaria.
Saletti Cuesta, Lorena (2008), «Propuestas
teóricas feministas en relación al concepto
de maternidad», Clepsydra 7 (enero de
2008), pp. 169-183.
Winnicott, Donald W. (1998), Los bebés y sus
madres, Buenos Aires, Paidós.
Fecha de recepción: 29/07/2011
Fecha de aprobación: 24/10/2011
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Indonesian
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PELATIHAN PENERAPAN MODEL PEMBELAJARAN KOOPERATIF BERBANTUAN KANCING GEMERINCING
|
Jurnal Pengabdian Kepada Masyarakat
| 2,021
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cc-by
| 2,562
|
PELATIHAN PENERAPAN MODEL PEMBELAJARAN KOOPERATIF BERBANTUAN
KANCING GEMERINCING Oleh
Tetty Natalia Sipayung
Universitas Katolik Santo Thomas
E-mail: tetty_sipayung@ust.ac.id Oleh
Tetty Natalia Sipayung
Universitas Katolik Santo Thomas
E-mail: tetty_sipayung@ust.ac.id Abstract: Teachers as educators are expected to help
students improve their knowledge. Therefore, it is
necessary for teachers to know the application of
learning models, especially in mathematics, which is one
of the important subjects in the field of education. Many
teachers use conventional learning models. It is less
effective and boring for students. One of the learning
models that are considered very good to be applied is the
cooperative learning model assisted by jingling buttons. Through community service activities in class VII SMP
HKBP Lubuk Pakam, the learning model was applied. The form of activity is carried out with lectures and
practice. The result is that teachers and students
understand the application of the jingling button-based
learning model and the students are also seen to be
active and enthusiastic in learning, even trying hard to
answer the math problems given correctly and quickly
until the buttons obtained by the group run out. Article History:
Received: 05-06-2021
Revised: 17-07-2021
Accepted: 27-07-2021 Keywords:
cooperative, rattling
buttons. 283
J-Abdi
Jurnal Pengabdian Kepada Masyarakat
Vol.1, No.3 Agustus 2021 283
J-Abdi
Jurnal Pengabdian Kepada Masyarakat
Vol.1, No.3 Agustus 2021 PENDAHULUAN Matematika merupakan salah satu mata pelajaran yang diajarkan di semua jenjang
pendidikan dan memiliki peran yang sangat penting dalam penguasaan ilmu pengetahuan
dan teknologi. Pada umumnya para siswa mengganggap bahwa matematika merupakan
pelajaran yang sulit dipahami sehingga tidak sedikit siswa yang takut pada mata pelajaran
matematika. Jariswardana, L., Yerizon, dan A. Nilawasti Z. (2012: 81) menyatakan bahwa
masih banyak siswa yang tidak serius dalam mempelajari mata pelajaran matematika,
sehingga siswa lebih banyak menunggu hasil jawaban dari siswa yang mengerti. Selain itu
siswa lebih nyaman bertanya kepada temannya daripada bertanya langsung kepada guru
mengenai materi yang mereka tidak mengerti. Mengingat hal tersebut, maka diharapkan
dalam proses pembelajaran matematika guru mampu memilih model pembelajaran yang
dapat menjadikan siswa dapat mengembangkan potensi yang tersimpan dalam dirinya
sehingga siswa dapat termotivasi untuk belajar matematika dan dapat meningkatkan
pemahaman siswa. p
Dalam proses pembelajaran masih banyak guru yang menggunakan metode
konvensional dengan metode ceramah. Metode ini dirasa tidak efektif dan membosankan
bagi siswa. Padahal metode pembelajaran memegang peranan penting dalam proses
kegiatan belajar-mengajar. Untuk itu dalam proses pembelajaran matematika guru harus http://bajangjournal.com/index.php/J-ABDI ISSN: 2797-9210 (Print) | 2798-2912(Online) ISSN: 2797-9210 (Print) | 2798-2912(Online) 284 J-Abdi
Jurnal Pengabdian Kepada Masyarakat
Vol.1, No.3, Agustus 2021 mampu memilih model pembelajaran yang dapat menjadikan siswa dapat mengembangkan
potensi yang tersimpan dalam dirinya sehingga siswa dapat termotivasi untuk belajar
matematika dan tidak menganggap bahwa pelajaran matematika sebagai pelajaran yang sulit
bahkan
menganggap
bahwa
pelajaran
matematika
merupakan
pelajaran
yang
menyenangkan. Model pembelajaran yang diterapkan dapat dibantu dengan menggunakan
alat yang dapat mempermudah proses pembelajaran. y
g
p
p
p
p
j
Salah satu upaya yang dapat dilakukan yaitu dengan menerapkan pembelajaran
kooperatif berbantuan kancing gemerincing. Model pembelajaran dianggap baik untuk
diterapkan dalam pembelajaran matematika adalah model pembelajaran kooperatif
berbantuan kancing gemerincing yang dinilai memiliki berbagai keunggulan hal ini
dikarenakan di dalam pembelajaran matematika diharapkan semua siswa berpartisipasi
aktif dan tidak terkesan monoton hanya satu siswa saja yang berperan aktif. Nurgaeni, E. (2016) menyatakan bahwa pembelajaran kooperatif teknik kancing
gemerincing merupakan salah satu teknik pembelajaran kooperatif yang bisa digunakan
dalam semua mata pelajaran dan untuk semua tingkat usia anak didik serta melatih kerja
sama dan tanggung jawab dalam diri siswa. Dengan begitu siswa terlibat aktif dalam proses
pembelajaran bekerja sama dengan temannya, saling bertukar pikiran, menanggapi,
mengemukakan pendapat, berbagi informasi tanpa harus merasa sungkan, takut dan
diharapkan akan lebih mudah memahami materi karena siswa sama-sama diberi
kesempatan untuk berpendapat di dalam kelompok. p
p
p
p
Arsela, Nonik. (2016: 4) menyatakan ada beberapa langkah-langkah pelaksanaan
pembelajaran kooperatif tipe kancing gemerincing adalah sebagai berikut: Arsela, Nonik. (2016: 4) menyatakan ada beberapa langkah-langkah pelaksanaan
pembelajaran kooperatif tipe kancing gemerincing adalah sebagai berikut: 1. Guru menyediakan sebuah kotak kecil yang berisi kancing-kancing (bisa juga benda-
benda kecil lainnya, kacang merah, biji kenari, potongan sedotan, batang-batang lidi,
sendok es krim). 2. Sebelum kelompok memulai tugasnya, setiap masing-masing kelompok mendapatkan dua
buah atau tiga buah kancing (jumlah kancing tergantung pada sukar atau tidaknya soal
yang diberikan). 3. Setiap kali seorang siswa berbicara atau menjawab soal dalam satu kancing yang dimiliki
kelompok mengeluarkan pendapat siswa harus menyerahkan salah satu kancingnya dan
meletakkannya di tengah-tengah. 4. Setiap akan berbicara atau menjawab soal, siswa yang berbicara atau menjawab soal
haruslah orang yang berbeda dalam satu kelompok. 5. Jika semua kancing dalam kelompok sudah habis, sedangkan tugasbelum selesai,
kelompok boleh mengambil kesepakatan untuk membagikancing lagi untuk mengulangi
prosedurnya kembali. Melalui pembelajaran kooperatif kancing gemerincing ini diharapkan siswa dapat
berpacu untuk aktif menjawab atau berbicara dan diharapkan semua berpartisipasi dalam
belajar. http://bajangjournal.com/index.php/J-ABDI ISSN: 2797-9210 (Print) | 2798-2912(Online) Semua siswa diberi kesempatan yang sama. Sebagai guru yang disebut pengajar harus mampu mendobrak keadaan siswa menjadi
individu yang berkepribadian prima yang mampu mengembangkan pengetahuan,
keterampilan, nilai dan sikap. Ini penting sebagai fondasi untuk membekali mereka mencapai
apa yang dicita-citakannya kelak. Melihat rendahnya motivasi belajar siswa dalam pembelajaran matematika maka
diperlukan suatu program yang dapat bermanfaat bagi guru dan membantu siswa dalam ISSN: 2797-9210 (Print) | 2798-2912(Online) http://bajangjournal.com/index.php/J-ABDI 285 285
J-Abdi
Jurnal Pengabdian Kepada Masyarakat
Vol.1, No.3 Agustus 2021 meningkatkan motivasi belajar matematika siswa yaitu dengan adanya program pengabdian
pada masyarakat berupa pelatihan penerapan model pembelajaran kooperatif berbantuan
kancing gemerincing dalam pembelajaran matematika. Melalui pembelajaran ini juga tingkat pemahaman siswa menjadi lebih mudah
diketahui. Menyadari akan manfaat model pembelajaran kooperatif berbantuan kancing
gemerincing dalam proses pembelajaran dan melihat kenyataan bahwa model pembelajaran
kooperatif sudah mulai diarahkan dalam penerapan kurikulum 2013, maka perlu diadakan
kegiatan pengabdian masyarakat untuk mengetahui lebih lanjut penerapan dan respon aktif
siswa terhadap model pembelajaran kooperatif berbantuan kancing gemerincing dalam
mengukur tingkat pemahaman matematika siswa. g
g
p
Pengabdian pada masyarakat ini dilakukan pada siswa kelas VII SMP HKBP Lubuk
Pakam. SMP HKBP Lubuk Pakam merupakan salah satu sekolah kecil yang letaknya strategis
di pusat kota Lubuk Pakam dan terakreditasi B. Lokasi dan Gedung sekolah tersebut dapat
dilihat pada gambar berikut: Gambar 1 Lokasi dan Gedung Sekolah Gambar 1. Lokasi dan Gedung Sekolah Gambar 1. Lokasi dan Gedung Sekolah g
Alasan pemilihan sekolah tersebut sebagai tempat pelaksanaan kegiatan pengabdian
pada masyarakat dikarenakan sekolah tersebut merupakan salah satu sekolah yang
mendapat bantuan subsidi dari pemerintah. Tidak hanya dari pembiayaan operasional
menyangkut penyediaan fasilitas sarana dan prasarana sekolah tersebut yang memerlukan
perhatian pemerintah namun juga kualitas pembelajaran di sekolah tersebut. Adapun tujuan umum dari pelaksanaan kegiatan ini yaitu untuk membantu pihak
sekolah khususnya terkait pelaksanaan pembelajaran yang aktif dan bersifat kooperatif. Namun yang menjadi tujuan khususnya adalah: (1) untuk mengetahui apakah siswa-siswa
kelas VII SMP HKBP Lubuk Pakam memahami model pembelajaran kooperatif berbantuan
kancing gemerincing dalam pembelajaran matematika; dan (2) untuk mengetahui
pencapaian keaktifan siswa pada pembelajaran matematika di kelas VII SMP HKBP Lubuk
Pakam dengan menggunakan model pembelajaran kooperatif berbantuan kancing
gemerincing. Selain itu diharapkan melalui kegiatan pengabdian masyarakat ini dapat
memberikan kontribusi positif bagi Universitas Katolik Santo Thomas dan menciptakan
kebermanfaatan antara Universitas Katolik Santo Thomas Sumatera Utara dengan
masyarakat di lingkungan sekolah. http://bajangjournal.com/index.php/J-ABDI ISSN: 2797-9210 (Print) | 2798-2912(Online) http://bajangjournal.com/index.php/J-ABDI ISSN: 2797-9210 (Print) | 2798-2912(Online) ISSN: 2797-9210 (Print) | 2798-2912(Online) 286
J-Abdi
Jurnal Pengabdian Kepada Masyarakat
Vol.1, No.3, Agustus 2021 286 METODE Kegiatan pengabdian masyarakat merupakan salah satu unsur dari tri darma
Perguruan Tinggi yang dilakukan dosen sebagai pengabdi yang bertujuan untuk membantu
sekelompok masyarakat dalam hal ini adalah kelompok siswa dan guru di sekolah. Program
ini diharapkan juga memberikan kontribusi positif bagi Universitas Katolik Santo Thomas
Sumatera Utara dan menciptakan kebermanfaatan antara Universitas Katolik Santo Thomas
Sumatera Utara dengan masyarakat di lingkungan sekolah. Adapun alat yang digunakan dalam kegiatan pengabdian masyarakat ini adalah
kancing gemerincing yang sudah dipersiapkan pengabdi. Kegiatan pengabdian ini
dilaksanakan di SMP HKBP Lubuk Pakan dengan subjek pengabdian yaitu siswa kelas VII dan
guru. Pengabdian pada masyarakat ini menerapkan bentuk ceramah dan praktek yaitu
melalui pelatihan dengan tahapan-tahapan berikut: - Pengenalan
tentang
model
pembelajaran
kooperatif
berbantuan
kancing
gemerincing. - Pengenalan
tentang
model
pembelajaran
kooperatif
berbantuan
kancing
gemerincing. - Pemberian makalah. - Pelatihan penerapan pembelajaran. - Diskusi tanya-jawab antara peserta dengan pemateri. Pengenalan
Tentang
Model
Pembelajaran
Kooperatif
Berbantuan
Kancing
Gemerincing Langkah awal pengabdi melakukan kegiatannya yaitu dengan memberikan pengetahuan
secara teoritis tentang model pembelajaran kooperatif berbantuan kancing gemerincing. Adapun kancing yang sudah dipersiapkan seperti terlihat pada gambar berikut: Gambar 2. Kancing
Pemberian Makalah
Pengabdi sebelumnya sudah mempersiapkan makalah yang berhubungan dengan kegiatan
yang akan dilaksanakan. Namun makalah tersebut hanya diberikan kepada kepala sekolah
dan guru. Pedoman dari pelaksanaan kegiatan pengabdian masyarakat tersebut tersusun
dalam makalah tersebut. Gambar 2. Kancing Gambar 2. Kancing Pemberian Makalah Pengabdi sebelumnya sudah mempersiapkan makalah yang berhubungan dengan kegiatan
yang akan dilaksanakan. Namun makalah tersebut hanya diberikan kepada kepala sekolah
dan guru. Pedoman dari pelaksanaan kegiatan pengabdian masyarakat tersebut tersusun
dalam makalah tersebut. Pengabdi sebelumnya sudah mempersiapkan makalah yang berhubungan dengan kegiatan
yang akan dilaksanakan. Namun makalah tersebut hanya diberikan kepada kepala sekolah
dan guru. Pedoman dari pelaksanaan kegiatan pengabdian masyarakat tersebut tersusun
dalam makalah tersebut. Pelatihan Penerapan Pembelajaran Pelatihan Penerapan Pembelajaran
Adapun langkah-langkah pembelajaran kooperatif berbantuan kancing gemerincing
adalah sebagai berikut: p
j
Adapun langkah-langkah pembelajaran kooperatif berbantuan kancing gemerincing
adalah sebagai berikut: 1. Guru menyiapkan satu kotak kecil berisi kancing-kancing. 2. Setiap kelompok mendapatkan tiga buah kancing. 3. Setiap kali seorang siswa dalam kelompokmya menjawab benar pertanya
pengabdi, dia harus menyerahkan salah satu kancingnya. 4. Jika kancingnya sudah habis, maka kelompok tersebutlah yang menang. Situasi pelaksanaan pembelajaran dapat dilihat pada gambar berikut ini: Gambar 4. Situasi Pembelajaran di Kelas Gambar 4. Situasi Pembelajaran di Kelas Pada gambar tersebut menunjukkan salah seorang siswa berusaha menjawab dengan
menyelesaikan soal yang diberikan oleh pengabdi kepada kelompok siswa. Penyelesaian soal
disajikan tidak hanya di buku siswa namun disajikan di whiteboard. Di k
i T
J
b A t
P
t d
P
bdi Pada gambar tersebut menunjukkan salah seorang siswa berusaha menjawab dengan
menyelesaikan soal yang diberikan oleh pengabdi kepada kelompok siswa. Penyelesaian soal
disajikan tidak hanya di buku siswa namun disajikan di whiteboard. j
y
j
Diskusi Tanya-Jawab Antara Peserta dengan Pengabdi y
g
g
Tahap ini merupakan tahapan terakhir dari serangkaian kegiatan yang telah disusun. Pengabdi memberi kesempatan kepada peserta untuk beriteraksi melalui tanya jawab. Tahap ini merupakan tahapan terakhir dari serangkaian kegiatan yang telah disusun. Pengabdi memberi kesempatan kepada peserta untuk beriteraksi melalui tanya jawab. http://bajangjournal.com/index.php/J-ABDI 287
J-Abdi
Jurnal Pengabdian Kepada Masyarakat
Vol.1, No.3 Agustus 2021
Gambar 3. Pengabdi Berpedoman Pada Makalah
Pelatihan Penerapan Pembelajaran
Adapun langkah langkah pembelajaran kooperatif berbantuan kancing gemerincing 287 J-Abdi
Jurnal Pengabdian Kepada Masyarakat
Vol.1, No.3 Agustus 2021 Gambar 3. Pengabdi Berpedoman Pada Makalah g
Pelatihan Penerapan Pembelajaran http://bajangjournal.com/index.php/J-ABDI ISSN: 2797-9210 (Print) | 2798-2912(Online) ISSN: 2797-9210 (Print) | 2798-2912(Online) 288
J-Abdi
Jurnal Pengabdian Kepada Masyarakat
Vol.1, No.3, Agustus 2021
Gambar 5. Tanya Jawab Peserta dan Pengabdi J-Abdi
Jurnal Pengabdian Kepada Masyarakat
Vol.1, No.3, Agustus 2021 Gambar 5. Tanya Jawab Peserta dan Pengabdi Gambar 5. Tanya Jawab Peserta dan Pengabdi Gambar 5. Tanya Jawab Peserta dan Pengabdi HASIL Dari kegiatan pelatihan penerapan model pembelajaran kooperatif berbantuan
kancing gemerincing, diperoleh hasil sebagai berikut: Dari kegiatan pelatihan penerapan model pembelajaran kooperatif berbantuan
kancing gemerincing, diperoleh hasil sebagai berikut: 1. Model pembelajaran kooperatif berbantuan kancing gemerincing ini merupakan model
pembelajaran dalam bentuk permainan edukatif yang dapat diterapkan khususnya
dalam pembelajaran matematika untuk menigkatkan pemahaman siswa akan materi
yang sudah dipelajari. Prinsip kerja pembelajaran dengan model pembelajaran
kooperatif berbantuan kancing gemerincing adalah dengan dimulai guru menyampaikan
materi pelajaran. Kemudian dilanjutkan siswa dibagi atas 5 kelompok. Masing-masing
kelompok diberi 3 buah kancing. Guru membaca soal-soal, dan siswa dalam
kelompoknya berusaha untuk menjawab soal-soal yang dibacakan. Setiap kelompok
yang menjawab benar, memberikan 1 butir kancingnya untuk diletakkan di meja guru
(dikembalikan kepada guru). Jika kancing yang diberikan telah habis, maka kelompok
tersebutlah yang jadi pemenangnya. Dengan adanya model pembelajaran kooperatif
berbantuan kancing gemerincing ini selain dapat meningkatkan kemampuan
menyelesaikan soal-soal matematika, siswa juga dapat belajar sambil bermain. 1. Model pembelajaran kooperatif berbantuan kancing gemerincing ini merupakan model
pembelajaran dalam bentuk permainan edukatif yang dapat diterapkan khususnya
dalam pembelajaran matematika untuk menigkatkan pemahaman siswa akan materi
yang sudah dipelajari. Prinsip kerja pembelajaran dengan model pembelajaran
kooperatif berbantuan kancing gemerincing adalah dengan dimulai guru menyampaikan
materi pelajaran. Kemudian dilanjutkan siswa dibagi atas 5 kelompok. Masing-masing
kelompok diberi 3 buah kancing. Guru membaca soal-soal, dan siswa dalam
kelompoknya berusaha untuk menjawab soal-soal yang dibacakan. Setiap kelompok
yang menjawab benar, memberikan 1 butir kancingnya untuk diletakkan di meja guru
(dikembalikan kepada guru). Jika kancing yang diberikan telah habis, maka kelompok
tersebutlah yang jadi pemenangnya. Dengan adanya model pembelajaran kooperatif
berbantuan kancing gemerincing ini selain dapat meningkatkan kemampuan
menyelesaikan soal-soal matematika, siswa juga dapat belajar sambil bermain. y
j g
p
j
2. Siswa kelas VII SMP HKBP Lubuk Pakam mampu memahami dan melaksanakan praktik
penerapan model pembelajaran kooperatif berbantuan kancing gemerincing dengan
baik. Mereka terlihat semangat dan berusaha keras untuk menjawab soal-soal dengan
benar dan cepat dalam kelompoknya. Setelah semua tahapan pelaksanaan kegiatan
dilalui, dilakukan pengumuman kelompok yang unggul. Kelompok siswa yang unggul
dengan skor tertinggi berdiri di depan kelas dengan wajah yang tersenyum lega seperti
terlihat pada gambar berikut: 2. PENGAKUAN/ACKNOWLEDGEMENTS Penulis berterimakasih kepada Lembaga Penelitian dan Pengabdian Kepada
Masyarakat (LPPM) Universitas Katolik Santo Thomas atas dukungan dan pembiayaan yang
diberikan sehingga pelaksanaan dan pelaporan hasil serta publikasi melalui artikel ini dapat
dilakukan dengan baik. KESIMPULAN Kesimpulan dari kegiatan pelatihan yang telah dilakukan adalah: 1. Siswa memahami model pembelajaran yang diterapkan; 2. Siswa terlihat aktif dan bersemangat dalam belajar matematika Online) http://bajangjournal.com/index.php/J-ABDI ISSN: 2797-9210 (Print) | 2798-2912(Online) http://bajangjournal.com/index.php/J-ABDI 289
J-Abdi
Jurnal Pengabdian Kepada Masyarakat
Vol.1, No.3 Agustus 2021
Gambar 6. Kelompok Siswa yang Unggul 289 Gambar 6. Kelompok Siswa yang Unggul Gambar 6. Kelompok Siswa yang Unggul DISKUSI DISKUSI
Dari pelatihan yang dilakukan maka dapat diberikan berbagai hasil evaluasi sebagai
berikut: Dari pelatihan yang dilakukan maka dapat diberikan berbagai hasil evaluasi sebagai
berikut: 1. Setelah mengadakan pelatihan penerapan model pembelajaran kooperatif berbantuan
kancing gemerincing, siswa semakin termotivasi untuk menyelesaikan soal-soal
matematika dengan baik, benar dan cepat. 1. Setelah mengadakan pelatihan penerapan model pembelajaran kooperatif berbantuan
kancing gemerincing, siswa semakin termotivasi untuk menyelesaikan soal-soal
matematika dengan baik, benar dan cepat. 2. Pelatihan model pembelajaran kooperatif berbantuan kancing gemerincing ini adalah
yang pertama kali mereka dapatkan di lingkungan sekolah. 2. Pelatihan model pembelajaran kooperatif berbantuan kancing gemerincing ini adalah
yang pertama kali mereka dapatkan di lingkungan sekolah. DAFTAR REFERENSI [1] Arsela, Nonik. Pengaruh Model Pembelajaran Kooperatif Tipe Kancing Gemerincing
Terhadap Hasil Belajar Siswa Pada Mata Pelajaran Fisika di SMA N 2 Ujung Batu. Skripsi. Tidak diterbitkan. Program Studi Fisika. Universitas Pasir Pangaraian Kabupaten Rokan
Hulu, 2016. [2] Jariswardana, L., Yerizon, dan A. Nilawasti Z. “Meningkatkan Motivasi Belajar Matematika
Siswa Dengan Penerapan Model Pembelajaran Kooperatif Tipe Think Talk Write.” Jurnal
Pendidikan Matematika”. Vol. 1 No.2. (2012): 81-86. [2] Jariswardana, L., Yerizon, dan A. Nilawasti Z. “Meningkatkan Motivasi Belajar Matematika
Siswa Dengan Penerapan Model Pembelajaran Kooperatif Tipe Think Talk Write.” Jurnal
Pendidikan Matematika”. Vol. 1 No.2. (2012): 81-86. [3] Nurgaeni, E. Penerapan Model Pembelajaran Kooperatif Teknik Kancing Gemerincing
Untuk Meningkatkan Aktivitas dan Hasil Belajar Siswa Pada Pelajaran Sosiologi Kelas XI
IPS 2 SMA AL Islam 1 Surakarta Tahun 2015/2016. Skripsi. Tidak diterbitkan. Fakultas
Keguruan dan Ilmu Pendidikan Universitas Sebelas Maret Surakarta, 2016. http://bajangjournal.com/index.php/J-ABDI ISSN: 2797-9210 (Print) | 2798-2912(Online) ABDI ISSN: 2797-9210 (Print) | 2798-2912(Online) 290
J-Abdi
Jurnal Pengabdian Kepada Masyarakat
Vol.1, No.3, Agustus 2021 12(Online) http://bajangjournal.com/index.php/J-ABDI ISSN: 2797-9210 (Print) | 2798-2912(Online) http://bajangjournal.com/index.php/J-ABDI
|
https://openalex.org/W2982681138
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https://www.nature.com/articles/s41467-019-12857-4.pdf
|
English
| null |
Conductive 2D metal-organic framework for high-performance cathodes in aqueous rechargeable zinc batteries
|
Nature communications
| 2,019
|
cc-by
| 9,548
|
ARTICLE Results
S
h
i g
y
p
Despite all these advantages, rechargeable ZBs have several
obstacles that need to be addressed before they can hope to
replace LIBs in terms of electrochemical performance15,16. In
particular, the development of a new high-performance cathode is
crucial for the commercialization of ZBs. α-MnO2 with a 2 × 2
tunnel structure has been used14 as a rechargeable ZB cathode, in
which the large tunnels facilitate Zn2+ ion diffusion within the
host structure, providing high capacity and rate performance. These materials, however, are associated with low cyclability that
can be attributed15,16 to an unstable phase transition from a
tunneled to a layered structure with simultaneous Mn2+ dis-
solution during the discharge–charge process. Vanadium-based
cathodes8,17 also provide high capacity and rate performance,
although the costliness of vanadium prohibits large-scale energy
storage applications. Recently, organic-based cathodes, such as
quinone derivatives, have been investigated because they are low
cost, ubiquitous, and lightweight compared with inorganic
cathodes13,18. Dissolution issues, however, during battery cycling
inhibit the use of quinone derivatives in ZBs. In an effort to
improve the stability of the quinone-based materials, poly-
merization19, carbon composites20, and an extended analog13
have all been explored: the dissolution issues, however, of organic
cathodes remain a drawback. Reflecting on all these difficulties,
the development of new materials for ZB cathodes is a necessity. Synthesis and characterization of Cu3(HHTP)2. Cu3(HHTP)2
was synthesized according to a previously reported procedure28
and applied as the cathode material for aqueous rechargeable ZBs
(Fig. 1a). PXRD analysis confirmed that the as-synthesized
Cu3(HHTP)2 comprises (Fig. 1b) hexagonal 2D sheets stacked in
a slipped-parallel configuration along the c axis29,34. Cu3(HHTP)2
was indexed based on a hexagonal unit cell (Fig. 2a) with the
space group P6/mmm. The lattice parameters were calculated to
be a = b = 21.2 Å and c = 6.6 Å with Rietveld refinement (Rp =
3.41, Rwp = 4.52, χ2 = 3.06). The morphology of Cu3(HHTP)2
was also investigated by field-emission scanning electron micro-
scopy (FE-SEM). The shape of Cu3(HHTP)2 is similar28 (Fig. 2b
and Supplementary Fig. 1a, b) to that of the uniform rods of
Ni3(HHTP)2. The electrical conductivity of Cu3(HHTP)2 powder
and Cu3(HHTP)2 electrode composite (60 wt% Cu3(HHTP)2,
20 wt% acetylene black, and 20 wt% PVDF) were measured on a
pressed pellet using the two-point probe method. The con-
ductivities obtained were 0.01 and 0.04 S cm−1 for Cu3(HHTP)2
powder and electrode composite, respectively. Results
S
h
i The electrical
conductivity of a bulk Cu3(HHTP)2 electrode matches well the
previously reported values29. p
y
p
A transmission electron microscopy (TEM) image also reveals
(Supplementary Fig. 2a) the one-dimensional (1D) nanorod
structure of Cu3(HHTP)2. The length of the Cu3(HHTP)2
nanorods extends (Fig. 2b and Supplementary Fig. 1a, b, and
2a) a few micrometers with diameters of around 20–500 nm. In
addition, a low dose—high resolution transmission electron
microscopy (LD—HRTEM) image (Fig. 2d) enlarged from the
selected yellow area in Fig. 2c (selected from Supplementary
Fig. 2b) shows large pores with diameters of ~2.0 nm with a
honeycomb arrangement viewed along the [001] direction. An
enlarged LD-HRTEM image (Fig. 2g) from the selected area in
Fig. 2e shows parallel Cu3(HHTP)2 nanorods along the [010]
zone axis with a lattice distance of 2.0 nm for the (100) crystal
plane. Fast Fourier transform (FFT) (Fig. 2f) from the selected
area (Fig. 2e) indicates clearly that the Cu3(HHTP)2 nanorods
have well developed (100) and (200) planes. These planes
indicate28 that the as-synthesized Cu3(HHTP)2 is highly crystal-
line in nature with the [100] axis being the preferred orientation
for the 1D nanorods. The unique structure of Cu3(HHTP)2, along
with the shape of the 1D nanorods and the large pores, facilitate
the diffusion of Zn2+ ions during the discharge–charge process. In addition, scanning electron microscopy-energy-dispersive X-
ray spectroscopy (SEM-EDX) was used to verify (Supplementary
Fig. 1c, d) the C, O, and Cu content of the Cu3(HHTP)2 particles. Conductive metal-organic frameworks (MOFs) provide excel-
lent platforms for resolving dissolution issues, related to organic-
based cathodes. In these MOFs, the active organic species are
immobilized by metal-ligand coordinate covalent bonds. In
addition, their porous structures and electrical conductivities are
favorable to ion and electron transport in the framework,
improving high rate capability and cyclability. The potential
applications of these materials in batteries has been confirmed,
with high performance being achieved in electrochemical double-
layer capacitors21,22 and Na+ storage23, as well as in reports of
their use in various battery systems24–27. y y
We introduce the idea of utilizing a two-dimensional (2D)
conductive MOF, Cu3(HHTP)2 (HHTP = 2,3,6,7,10,11-hexahy-
droxytriphenylene)28, as the cathode material for rechargeable
aqueous ZBs. Electrical conductivity (0.2 S cm−1, four-point
probe, single crystal)28 and large pores (~2 nm) facilitate elec-
tron and Zn2+ ion transport to active sites. ARTICLE ARTICLE NATURE COMMUNICATIONS | https://doi.org/10.1038/s41467-019-12857-4 S
ocietal interest in energy storage systems (ESSs) has been
increasing rapidly with the need to utilize and distribute
effectively electricity generated using renewable energy
sources1–3. Among the most suitable candidates for energy sto-
rage are lithium-ion batteries (LIBs) since they provide high
performance in mobile devices, such as cellular phones and lap-
tops. Their utilization, however, in large-scale applications, such
as electric vehicles, is inhibited by high material costs and safety
concerns4,5. In order to resolve the limitations of LIBs, numerous
investigations4–7 have been focused on greener electrode mate-
rials
and
aqueous
electrolytes. From
these
perspectives,
rechargeable aqueous zinc batteries (ZBs) have recently attrac-
ted8–13 considerable attention for use in large-scale ESSs because
of their high theoretical capacity (820 mAh g−1), their low toxi-
city, and the relatively low cost of zinc14. Furthermore, ZBs
operate in aqueous electrolytes4,5, thereby gaining additional
advantages related to safety, cost, and rate performance. capacities in rechargeable aqueous ZBs are the first example in
MOFs and one of the highest reported values for cathodes with
open-framework structures, including Prussian Blue analogs31–33
that have exhibited substantially smaller values of <70 mAh g−1 at
similar current densities. In addition, the high diffusion rate of Zn2
+ ions and low interfacial resistance by the insertion of hydrated
Zn2+ ions allows Cu3(HHTP)2 to follow the intercalation pseudo-
capacitance mechanism. As a consequence, Cu3(HHTP)2 achieves a
high rate performance and cyclability, indicating that 75.0% of the
initial capacity (124.4 mAh g−1) is maintained after 500 cycles at an
extremely high current density of 4000 mA g−1 (~18 C). This work
reveals the reason for the observed high rate performance and
charge-storage mechanism of the Cu3(HHTP)2, which is poised
to facilitate the development of 2D conductive MOFs for energy
storage. Conductive 2D metal-organic framework for
high-performance cathodes in aqueous
rechargeable zinc batteries Kwan Woo Nam
1,7, Sarah S. Park
1,7, Roberto dos Reis
2,3, Vinayak P. Dravid2,3, Heejin Kim4,
Chad A. Mirkin
1 & J. Fraser Stoddart
1,5,6* Kwan Woo Nam
1,7, Sarah S. Park
1,7, Roberto dos Reis
2,3, Vinayak P. Dravid2,3, Heejin Kim4,
Chad A. Mirkin
1 & J. Fraser Stoddart
1,5,6* Currently, there is considerable interest in developing advanced rechargeable batteries that
boast efficient distribution of electricity and economic feasibility for use in large-scale energy
storage systems. Rechargeable aqueous zinc batteries are promising alternatives to lithium-
ion batteries in terms of rate performance, cost, and safety. In this investigation, we employ
Cu3(HHTP)2, a two-dimensional (2D) conductive metal-organic framework (MOF) with large
one-dimensional channels, as a zinc battery cathode. Owing to its unique structure, hydrated
Zn2+ ions which are inserted directly into the host structure, Cu3(HHTP)2, allow high dif-
fusion rate and low interfacial resistance which enable the Cu3(HHTP)2 cathode to follow the
intercalation pseudocapacitance mechanism. Cu3(HHTP)2 exhibits a high reversible capacity
of 228 mAh g−1 at 50 mA g−1. At a high current density of 4000 mA g−1 (~18 C), 75.0% of
the initial capacity is maintained after 500 cycles. These results provide key insights into
high-performance, 2D conductive MOF designs for battery electrodes. 1 Department of Chemistry, Northwestern University, Evanston, IL 60208, USA. 2 Department of Materials Science and Engineering, Northwestern University,
Evanston, IL 60208, USA. 3 Northwestern University Atomic and Nanoscale Characterization Experimental (NUANCE) Center, Northwestern University,
Evanston, IL 60208, USA. 4 Electron Microscopy Research Center, Korea Basic Science Institute, 169-148 Gwahak-roYuseong-guDaejeon 34133, Republic of
Korea. 5 Institute for Molecular Design and Synthesis, Tianjin University, 92 Weijin RoadNankai DistrictTianjin 300072, China. 6 School of Chemistry,
University of New South Wales, Sydney, NSW 2052, Australia. 7These authors contributed equally: Kwan Woo Nam, Sarah S. Park. *email: stoddart@northwestern.edu 1 NATURE COMMUNICATIONS | (2019) 10:4948 | https://doi.org/10.1038/s41467-019-12857-4 | www.nature.com/naturecommunications NATURE COMMUNICATIONS | https://doi.org/10.1038/s41467-019-12857-4 Zn/Zn2+) may be attributed to a two-electron uptake asso-
ciated with the HHTP linkers. A detailed redox reaction
mechanism is discussed in the upcoming sections. The initial
reversible capacity is 228 mAh g−1 at a rate of 50 mA g−1, fol-
lowed by a capacity of 215 mAh g−1 in the second cycle, and the
voltage profiles and capacity are retained (Fig. 3a and Supple-
mentary Fig. 4) for 30 cycles. These reversible capacities are quite
remarkable, providing some of the highest reported values for
cathodes with open-framework structures, including Prussian
Blue analogs31–33, that have been applied (Supplementary
Table 1) to aqueous rechargeable ZBs. a 90% active materials loading electrode is almost identical to that
of a 60% active materials loading electrode. Furthermore, at an
extremely high current density of 4000 mA g−1 (~18 C), 75.0% of
the initial capacity (124.4 mAh g−1) was maintained (Fig. 3d)
after 500 cycles. This cyclability reflects the structural stability of
Cu3(HHTP)2 during repeated (de)intercalation of the Zn2+ ions. Origin of high rate performance of Cu3(HHTP)2. In order to
investigate more detailed reasons for the high rate performance of
Cu3(HHTP)2, diffusion coefficient and interfacial resistance stu-
dies were carried out. The Zn2+ ion diffusion coefficient of
Cu3(HHTP)2 was obtained by applying galvanostatic intermittent
titration technique (GITT) measurements; See the Supplementary
Note 1 for details. The overall diffusion coefficient of Zn2+ ions in
Cu3(HHTP)2 over the whole potential range was 3.9 × 10−10 cm2 s−1
(Supplementary Fig. 6), which is similar to that of single crystalline
Zn0.25V2O5·nH2O nanobelts8. Specifically, by excluding the loss of
diffusion coefficient from the high overpotential of the copper
redox region, attributed to the self-discharge, and calculating the
diffusion coefficient only with the main redox region of the
quinoid, the diffusion coefficient of Zn2+ ions in Cu3(HHTP)2
showed 1.2 × 10−9 cm2 s−1 (Supplementary Fig. 6), indicating
fast redox reactions. q
g
In order to verify the influence of the Cu3(HHTP)2 2D
structure with large pores on the electrochemical performance, we
conducted rate-capability tests. In these electrochemical tests,
Cu3(HHTP)2 demonstrated excellent rate capability (Fig. 3b). The
Cu3(HHTP)2 electrode exhibited capacities of 191.4, 189.2, 152.4,
and 124.5 mAh g−1 when the current density was increased,
respectively, by 2, 4, 10, and 80 times (100, 200, 500, and 4000
mA g−1) from 50 mA g−1. NATURE COMMUNICATIONS | https://doi.org/10.1038/s41467-019-12857-4 2D
MOF
–
+
Separator
Zn
Electrolyte
V
Hydrated
Zn2+
Anode
Cathode
3M Zn(CF3SO3)2
in water
~ 2 nm
Hydrated Zn2+
a
b
c
Cu3(HHTP)2
O
Cu
O
O
O
O
Cu
O
O
O
O
Cu
O
O
O
O
Cu
O
O
O
O Cu
O
O
O
O
Cu
O
O
O
O
Cu
O
O
O
O
Cu
O
O
O
0
2.3–
Zn2+
1.15
+ 1.15 Zn2+
+ 2.3 e–
Fig. 1 Zn-Cu3(HHTP)2 chemistry. a Schematic illustration of the rechargeable Zn-2D MOF cell. b Structure of Cu3(HHTP)2, which when viewed down the c
axis, exhibits slipped-parallel stacking of 2D sheets with a honeycomb lattice. The cyan, red, and gray spheres represent Cu, O, and C atoms, respectively. The H atoms are omitted for the sake of clarity. c Expected redox process in the coordination unit of Cu3(HHTP)2 2D
MOF
–
+
Separator
Zn
Electrolyte
V
Hydrated
Zn2+
Anode
Cathode
3M Zn(CF3SO3)2
in water
a
c ~ 2 nm
Hydrated Zn2+
b
Cu3(HHTP)2
O
Cu
O
O
O
O
Cu
O
O
O
O
Cu
O
O
O
O
Cu
O
O
O
O Cu
O
O
O
O
Cu
O
O
O b a V c c
O
Cu
O
O
O c
O
Cu
O
O
O
0
Zn2+
1.15
+ 1.15 Zn2+
+ 2.3 e– O
Cu
O
O
O
2.3– 0
Zn2+
1.15
+ 1.15 Zn2+
+ 2.3 e– Fig. 1 Zn-Cu3(HHTP)2 chemistry. a Schematic illustration of the rechargeable Zn-2D MOF cell. b Structure of Cu3(HHTP)2, which when viewed down the c
axis, exhibits slipped-parallel stacking of 2D sheets with a honeycomb lattice. The cyan, red, and gray spheres represent Cu, O, and C atoms, respectively. The H atoms are omitted for the sake of clarity. c Expected redox process in the coordination unit of Cu3(HHTP)2 aqueous solution of Zn(CF3SO3)2 indicates (Supplementary
Fig. 3) that the Zn2+ insertion and extraction reaction is rever-
sible. The reaction of Zn2+ ions with Cu3(HHTP)2 occurs
reversibly at approximately 0.65/1.10 V and 0.90/1.21 V (vs. Zn/
Zn2+), respectively. Galvanostatic tests revealed that this rever-
sibility is reflected (Fig. 3a) in the voltage profiles, with plateaus at
the corresponding voltages. The first discharge plateau at ~0.90 V
(vs. Zn/Zn2+) originates from the redox process between Cu2+
and Cu+. Furthermore, the second discharge plateau at 0.65 V
(vs. Results
S
h
i In particular,
we anticipate that the redox activity of the quinoid units of
HHTP28–30 with Zn2+ insertion will promote the performance of
the cathode. Here, on account of these properties, we have tested the elec-
trochemical
performance
of
the
Cu3(HHTP)2
cathode. Cu3(HHTP)2 shows redox switching at 1.06 V and 0.88 V vs. Zn/
Zn2+ with the highest reversible capacity of 228 mAh g−1 at
50 mA g−1 to the best of our knowledge. These reversible Electrochemical performance of Cu3(HHTP)2. A cyclic vol-
tammogram of Cu3(HHTP)2 thin film on SUS foil in a 3.0 M Electrochemical performance of Cu3(HHTP)2. A cyclic vol-
tammogram of Cu3(HHTP)2 thin film on SUS foil in a 3.0 M NATURE COMMUNICATIONS | (2019) 10:4948 | https://doi.org/10.1038/s41467-019-12857-4 | www.nature.com/naturecommunications 2 ARTICLE NATURE COMMUNICATIONS | (2019) 10:4948 | https://doi.org/10.1038/s41467-019-12857-4 | www.nature.com/naturecommunications NATURE COMMUNICATIONS | https://doi.org/10.1038/s41467-019-12857-4 We assume the large pore size of
Cu3(HHTP)2 supports the insertion of hydrated Zn2+ ions. In
order to confirm the importance of H2O, the performance of
Cu3(HHTP)2 was studied in an organic electrolyte. On account of
the high interfacial resistance caused by the organic electrolyte,
the initial discharge capacity of Cu3(HHTP)2 decreased to
144 mAh g−1 at a rate of 50 mA g−1, and the subsequent charging
reaction almost did not occur because of the high overpotential
(Supplementary Fig. 9a). This phenomenon which is also
evident35–37 in the case of Mg2+ ions in organic electrolytes, is
caused by the strong interaction of divalent ions with the cathode,
i.e., extracting of divalent ions from the host electrode is
unfavorable35–37. As a result of this phenomenon, the capacity
retention of Cu3(HHTP)2 in the organic electrolyte was almost
zero (Supplementary Fig. 9b). In total, the origin of the high rate desolvation energy35 and the Coulombic repulsion from the
interface36–38. Existence of H2O in the discharged electrode was
tested with thermogravimetric analysis (TGA). The TGA profile
of the discharged electrode showed a 26.9% weight loss between
120 and 300 °C (Supplementary Fig. 8), indicating that the low
interfacial resistance of Cu3(HHTP)2 in the aqueous electrolyte
can be attributed to the insertion of H2O with Zn2+ ions during
the discharge reaction. We assume the large pore size of
Cu3(HHTP)2 supports the insertion of hydrated Zn2+ ions. In
order to confirm the importance of H2O, the performance of
Cu3(HHTP)2 was studied in an organic electrolyte. On account of
the high interfacial resistance caused by the organic electrolyte,
the initial discharge capacity of Cu3(HHTP)2 decreased to
144 mAh g−1 at a rate of 50 mA g−1, and the subsequent charging
reaction almost did not occur because of the high overpotential
(Supplementary Fig. 9a). This phenomenon which is also
evident35–37 in the case of Mg2+ ions in organic electrolytes, is
caused by the strong interaction of divalent ions with the cathode,
i.e., extracting of divalent ions from the host electrode is
unfavorable35–37. As a result of this phenomenon, the capacity
retention of Cu3(HHTP)2 in the organic electrolyte was almost
zero (Supplementary Fig. 9b). In total, the origin of the high rate Electronic states analysis during discharge–charge. With a view
to investigating changes in the electronic states of Cu3(HHTP)2
during discharge-charge, X-ray photoelectron spectroscopy (XPS)
was conducted on the Zn, O, and Cu elements. NATURE COMMUNICATIONS | https://doi.org/10.1038/s41467-019-12857-4 NATURE COMMUNICATIONS | https://doi.org/10.1038/s41467-019-12857-4 b
c
f
(200) 1 nm
2.0 nm
2.0 nm
(100) 2 nm
d
g
e
Observed
Calculated
Observed–calculated
Bragg position
(100)
(200)
(210)
(001)
(220)
(112)
2θ (°)
Intensity (a.u.)
5
10
15
20
25
30
35
40
45
50
a
Fig. 2 2D Chemical structure and structural analysis of Cu3(HHTP)2. a Rietveld refinement of PXRD patterns. b FE-SEM image of Cu3(HHTP)2, scale bar:
200 nm. c LD-HRTEM image of Cu3(HHTP)2 at a low resolution, scale bar: 20 nm. d LD-HRTEM image of Cu3(HHTP)2 along the [001] zone axis,
indicating a hexagonal pore packing with d100 = 2.0 nm, scale bar: 2 nm. e–g LD-HRTEM images at (e) low and (g) high resolution along the [010]
direction. Scale bars in (e) and (g) are 50 and 2 nm, respectively. f An FFT pattern of the yellow square in (e), scale bar: 2 nm−1 Observed
Calculated
Observed–calculated
Bragg position
(100)
(200)
(210)
(001)
(220)
(112)
2θ (°)
Intensity (a.u.)
5
10
15
20
25
30
35
40
45
50
a Intensity (a.u.) b b d 2.0 nm
d d c c f e e f
(200) 1 nm
(100) 2 nm g 2.0 nm
g Fig. 2 2D Chemical structure and structural analysis of Cu3(HHTP)2. a Rietveld refinement of PXRD patterns. b FE-SEM image of Cu3(HHTP)2, scale bar:
200 nm. c LD-HRTEM image of Cu3(HHTP)2 at a low resolution, scale bar: 20 nm. d LD-HRTEM image of Cu3(HHTP)2 along the [001] zone axis,
indicating a hexagonal pore packing with d100 = 2.0 nm, scale bar: 2 nm. e–g LD-HRTEM images at (e) low and (g) high resolution along the [010]
direction. Scale bars in (e) and (g) are 50 and 2 nm, respectively. f An FFT pattern of the yellow square in (e), scale bar: 2 nm−1 properties of Cu3(HHTP)2 is thought to be a consequence of the
high diffusion rate of Zn2+ ions in the cathode and low interfacial
resistance by the hydrated Zn2+ ion insertion. desolvation energy35 and the Coulombic repulsion from the
interface36–38. Existence of H2O in the discharged electrode was
tested with thermogravimetric analysis (TGA). The TGA profile
of the discharged electrode showed a 26.9% weight loss between
120 and 300 °C (Supplementary Fig. 8), indicating that the low
interfacial resistance of Cu3(HHTP)2 in the aqueous electrolyte
can be attributed to the insertion of H2O with Zn2+ ions during
the discharge reaction. NATURE COMMUNICATIONS | https://doi.org/10.1038/s41467-019-12857-4 These results correspond to capacity
retentions of 89.0%, 88.0%, 70.9%, and 57.9%, respectively, with
respect to the initial capacity of 215.0 mAh g−1. Moreover, the
Cu3(HHTP)2 electrodes show promising cycling stability. At a
current density of 500 mA g−1 (~2 C), 75.0% of the initial
capacity (152.5 mAh g−1) was maintained (Fig. 3c) after 100
cycles. In addition, by increasing the mass loading of active
materials from 60 to 90%, although the initial capacity decreased
slightly to 125 mAh g−1 at 500 mA g−1 (Supplementary Fig. 5a),
the retention of capacity after 100 cycles was 76% of the initial
capacity (Supplementary Fig. 5b). This capacity retention for Furthermore, an interfacial resistance between the electrode
and the electrolyte was studied in order to determine the rate
performance of electrode materials. In order to investigate the
interfacial resistance of the Cu3(HHTP)2 electrode, an electro-
chemical impedance spectroscopy (EIS) investigation was con-
ducted with symmetric cells of the Cu3(HHTP)2 electrodes in
aqueous or organic electrolytes. Notably, the interfacial resistance
of Cu3(HHTP)2 showed 150 and 16,000 Ω cm2 (Supplementary
Fig. 7), and obtained conductivities from these interfacial
resistances of Zn2+ ions are 0.7 × 10−2 and 0.6 × 10−5 S cm−1
(Supplementary Fig. 7) in aqueous and organic electrolytes,
respectively. In recent studies, the insertion of carrier ions with
H2O molecules has been suggested as the reason for low
interfacial
resistance,
because
the
H2O
can
decrease
the 3 ARTICLE NATURE COMMUNICATIONS | https://doi.org/10.1038/s41467-019-12857-4 a
b
c
d
1st
2nd
3th
4th
5th
10th
20th
30th
0.4
0.6
0.8
1.0
1.2
1.4
Rate: 50 mA g−1
Cut off: 0.5~1.3 V
a
b
c
d
e
0
50
100
150
200
250
Specific capacity (mAh g−1)
0.4
0.6
0.8
1.0
1.2
1.4
Voltage (V vs. Zn/Zn2+)
Voltage (V vs. Zn/Zn2+)
300
0
50
100
150
200
250
Specific capacity (mAh g−1)
300
Unit: mA g−1
50
100
200
500
4000
0
100
200
300
400
Discharge capacity (mAh g−1)
Discharge capacity (mAh g−1)
50
150
250
350
450
Rate: 500 mA g−1
Rate: 4000 mA g−1
Coloumbic efficiency (%)
0
20
40
60
80
100
0
100
200
300
400
50
150
250
350
Coloumbic efficiency (%)
0
20
40
60
80
100
450
0
20
40
60
80
100
Cycle number
0
Cycle number
100
200
300
400
500
Fig. 3 Electrochemical performance of Cu3(HHTP)2. a, b Discharge–charge voltage profiles of Cu3(HHTP)2 at a 50 mA g−1 and b various current densities. The green dots labeled with (a–e) in (a) are states where XPS analysis in Fig. 4b, c was conducted. c, d Cycling performance of Cu3(HHTP)2 at current
densities of c 500 mA g−1 and d 4000 mA g−1 b
0
50
100
150
200
250
Specific capacity (mAh g−1)
0.4
0.6
0.8
1.0
1.2
1.4
Voltage (V vs. Zn/Zn2+)
300
Unit: mA g−1
50
100
200
500
4000 a
1st
2nd
3th
4th
5th
10th
20th
30th
0.4
0.6
0.8
1.0
1.2
1.4
Rate: 50 mA g−1
Cut off: 0.5~1.3 V
a
b
c
d
e
Voltage (V vs. Zn/Zn2+)
0
50
100
150
200
250
Specific capacity (mAh g−1)
300 Specific capacity (mAh g−1) d
Discharge capacity (mAh g−1)
Rate: 4000 mA g−1
0
100
200
300
400
50
150
250
350
Coloumbic efficiency (%)
0
20
40
60
80
100
450
0
Cycle number
100
200
300
400
500 c
0
100
200
300
400
Discharge capacity (mAh g−1)
50
150
250
350
450
Rate: 500 mA g−1
Coloumbic efficiency (%)
0
20
40
60
80
100
0
20
40
60
80
100
Cycle number d
) c Fig. 3 Electrochemical performance of Cu3(HHTP)2. a, b Discharge–charge voltage profiles of Cu3(HHTP)2 at a 50 mA g−1 and b various current densities. The green dots labeled with (a–e) in (a) are states where XPS analysis in Fig. 4b, c was conducted. NATURE COMMUNICATIONS | https://doi.org/10.1038/s41467-019-12857-4 After inserting
Zn2+ ions into the Cu3(HHTP)2, the Zn 2p peaks appear and
disappear (Fig. 4a and Supplementary Fig. 10) at the discharged
and charged states, respectively; this behavior is a consequence
of the reversible insertion/extraction of Zn2+ into/from the
Cu3(HHTP)2 cathodes. The quinoid peak at 532 eV shifts
(Fig. 4b) to a benzoid peak at 533 eV in the O 1s spectrum, while
discharging from 0.8 V (point b in Fig. 3a) to a fully discharged
state (point c in Fig. 3a). The peaks which had shifted returned to
their original positions, while charging from the fully discharged
state (point c in Fig. 3a) to 1.15 V (point d in Fig. 3a). This shift
reveals that the second plateau (Fig. 3a), which exists during the
discharge process, originates from the quinoid structure acting as
a redox center. Based on these XPS results, we infer that the URE COMMUNICATIONS | (2019) 10:4948 | https://doi.org/10.1038/s41467-019-12857-4 | www.nature.com/naturecommunications 4 4 ARTICLE NATURE COMMUNICATIONS | https://doi.org/10.1038/s41467-019-12857-4 NATURE COMMUNICATIONS | https://doi.org/10.1038/s41467-019-12857-4 NATURE COMMUNICATIONS | https://doi.org/10.1038/s41467-019-12857-4 c
d
e
f
Pristine
[100]
Discharged
a
Pristine
(100)
(200)
1st fully charged
1st fully discharged
500th fully charged at 4000 mA g−1
4
8
12
16
20
24
28
2θ (°)
Intensity (a.u.)
Discharge state
Average distance for (100) : 1.87 nm
18.7 nm
0
5
10
15
20
25
30
Distance (nm)
b
O Kα1
Zn Kα1
C Kα1
Cu Kα1
[100]
1.87 nm
Fig. 5 Structure analysis during discharge–charge. a PXRD patterns of the Cu3(HHTP)2 electrode in the pristine, first fully discharged/charged states at a
rate of 50 mA g−1, and 500th fully charged states at a rate of 4000 mA g−1. b Scanning transmission electron microscopy (STEM) image of the fully
discharged Cu3(HHTP)2 alongside its EDX elemental mapping with respect to C, Cu, O, and Zn, suggesting uniform Zn insertion over the electrode, scale
bar: 100 nm. c An LD-HRTEM image of discharged Cu3(HHTP)2 viewed down the [010] zone axis. An inset in (c) shows a magnified area depicting the
(100) plane, scale bar: 20 nm. d Measurements of the (100) interplanar distances from the white boxed area in (c) indicate the average d100 = 1.87 nm. e, f SAD patterns from Cu3(HHTP)2 at (e) pristine and (f) discharged states used to confirm the interplanar distances of (100). The arrows and scale bar
indicate the [100] direction and 2 nm−1, respectively a
Pristine
(100)
(200)
1st fully charged
1st fully discharged
500th fully charged at 4000 mA g−1
4
8
12
16
20
24
28
2θ (°)
Intensity (a.u.) c
1.87 nm d
Discharge state
Average distance for (100) : 1.87 nm
18.7 nm
0
5
10
15
20
25
30
Distance (nm) d c e b b Fig. 5 Structure analysis during discharge–charge. a PXRD patterns of the Cu3(HHTP)2 electrode in the pristine, first fully discharged/charged states at a
rate of 50 mA g−1, and 500th fully charged states at a rate of 4000 mA g−1. b Scanning transmission electron microscopy (STEM) image of the fully
discharged Cu3(HHTP)2 alongside its EDX elemental mapping with respect to C, Cu, O, and Zn, suggesting uniform Zn insertion over the electrode, scale
bar: 100 nm. c An LD-HRTEM image of discharged Cu3(HHTP)2 viewed down the [010] zone axis. An inset in (c) shows a magnified area depicting the
(100) plane, scale bar: 20 nm. NATURE COMMUNICATIONS | https://doi.org/10.1038/s41467-019-12857-4 d Measurements of the (100) interplanar distances from the white boxed area in (c) indicate the average d100 = 1.87 nm. e, f SAD patterns from Cu3(HHTP)2 at (e) pristine and (f) discharged states used to confirm the interplanar distances of (100). The arrows and scale bar
indicate the [100] direction and 2 nm−1, respectively in the reduction reaction; See the Supplementary Note 2 for
details. In the density of states (DOS) analysis (Supplementary
Fig. 11), the electronic states just above the Fermi level consist of
O, C, and Cu. This result supports the observed redox events
occurring at these atoms. Furthermore, both peaks of O 1s and
Cu 2p of the charged electrode after 500 cycles at a rate of 4000
mA g−1 (Fig. 4b, c) are more or less similar to those of the
pristine
electrode,
indicating
that
the
redox
reaction
of
Cu3(HHTP)2 is highly reversible. quinoid structure is involved in the redox reaction; a similar
redox mechanism was reported26 for Cu(2,7-AQDC) MOF (2,7-
H2AQDC = 2,7-anthraquinonedicarboxylic acid), where oxygen
and copper are the redox centers for LIBs. Similarly, the presence
of transition metals involved in the redox reaction in our system
causes the peaks of Cu2+ satellites in the pristine state to dis-
appear (Fig. 4c). The Cu 2p peaks then separate into lower
binding-energy peaks between the pristine state (point a in
Fig. 3a) and 0.8 V (point b in Fig. 3a) in the Cu 2p spectrum
(Fig. 4c). There is then no further shift in the Cu 2p peaks that lie
between 0.8 V (point b in Fig. 3a) and 1.15 V (point d in Fig. 3a). As expected, the initial Cu 2p spectrum was reinstated, including
its original profiles, between 1.15 V (point d in Fig. 3a) and the
fully charged state (point e in Fig. 3a). From these changes in the
Cu 2p peaks, the first plateau (Fig. 3a) that appears during the
discharge process can be attributed to a partial redox reaction
from Cu2+ to Cu+. Consequently, these XPS analyses suggest that
both the quinoid component and the copper in Cu3(HHTP)2
participate as redox centers during the discharge–charge process. The theoretical capacity of Cu3(HHTP)2 should be 197 mAh g−1,
when using the quinoid structure as the redox center and
inserting Zn2+ ions with two electrons. The initial capacity
determined (Fig. NATURE COMMUNICATIONS | https://doi.org/10.1038/s41467-019-12857-4 c, d Cycling performance of Cu3(HHTP)2 at current
densities of c 500 mA g−1 and d 4000 mA g−1 a
b
c
Zn 2p
Pristine
Fully discharged
Fully charged
Zn 2p3/2
Zn 2p1/2
Binding energy (eV)
1060
1050
1040
1030
1020
1010
Intensity (a.u.)
Intensity (a.u.)
Intensity (a.u.)
Binding energy (eV)
538
536
534
532
530
528
526
O 1s
Observed
Quinoid
Benzoid
Fitting
a: pristine
b: 0.8 V
c: 1st fully
discharged
d: 1.15 V
500th fully charged
at 4000 mA g−1
e: 1st fully
charged
960
950
940
930
Binding energy (eV)
a: pristine
b: 0.8 V
c: 1st fully discharged
d: 1.15 V
e: 1st fully charged
500th fully charged at 4000 mA g−1
Cu 2p
Observed
Fitting
Cu2+ satellite
Cu2+ satellite
Cu 2p1/2
Cu 2p3/2
d
Electron density
Low
High
O
Cu
Fig. 4 Electronic states analysis during discharge–charge. a–c Ex situ XPS spectra of a Zn 2p, b O 1 s, and c Cu 2p. d Changes of electron density upon the
reduction of Cu3(HHTP)2 a
Zn 2p
Pristine
Fully discharged
Fully charged
Zn 2p3/2
Zn 2p1/2
Binding energy (eV)
1060
1050
1040
1030
1020
1010
Intensity (a.u.) b
Intensity (a.u.)
Binding energy (eV)
538
536
534
532
530
528
526
O 1s
Observed
Quinoid
Benzoid
Fitting
a: pristine
b: 0.8 V
c: 1st fully
discharged
d: 1.15 V
500th fully charged
at 4000 mA g−1
e: 1st fully
charged b Intensity (a.u.) d
Electron density
Low
High
O
Cu c
Intensity (a.u.)
960
950
940
930
Binding energy (eV)
a: pristine
b: 0.8 V
c: 1st fully discharged
d: 1.15 V
e: 1st fully charged
500th fully charged at 4000 mA g−1
Cu 2p
Observed
Fitting
Cu2+ satellite
Cu2+ satellite
Cu 2p1/2
Cu 2p3/2 d c Fig. 4 Electronic states analysis during discharge–charge. a–c Ex situ XPS spectra of a Zn 2p, b O 1 s, and c Cu 2p. d Changes of electron density upon the
reduction of Cu3(HHTP)2 NATURE COMMUNICATIONS | (2019) 10:4948 | https://doi.org/10.1038/s41467-019-12857-4 | www.nature.com/naturecommunications 5 ARTICLE NATURE COMMUNICATIONS | https://doi.org/10.1038/s41467-019-12857-4 12b, d), is almost
the same (Supplementary Fig. 12a, c) as that of Cu3(HHTP)2 in a
pristine state. In addition, ion-exchange from Cu2+ to Zn2+ ions
is endothermic by 0.8 eV per ion, according to DFT calculations
(Supplementary
Fig. 13),
indicating
the
high
stability
of
Cu3(HHTP)2 against Zn2+ substitution. Consequently, the PXRD
results lead us to infer that the Zn2+ ions are accommodated in
the large pores of Cu3(HHTP)2, thus enabling high long-term
stability while cycling at a high rate. Charge-storage
mechanism
of
Cu3(HHTP)2. In
order
to
understand the charge-storage mechanism of Cu3(HHTP)2, CV
measurements were carried out using various scan rates (Fig. 6a). Currents depending on the scan rates study enables determining b-
values from the equation of a power law40–45: i = aνb where i is the
current (A), v is the potential scan rate (V s−1), a and b are arbitrary
coefficients. Generally, battery electrode materials are characterized
by b = 0.5, indicating a semi-infinite diffusion process40–45, whereas
the closer the b-values are to 1, the closer to the capacitive con-
tribution. The b-values are the slope obtained by plotting the peak
currents (i) and scan rates (ν) in a log plot (Supplementary Fig. 14a)
with an assumption that the current obeys the power-law rela-
tionship. The b-values of Cu3(HHTP)2 are above 0.85 within all
operating voltage ranges (Fig. 6b), indicating the operating
mechanism is not dominated by diffusion. Confirmation of inserting Zn2+ ions into the pore structure of
Cu3(HHTP)2. The uniform presence of Zn2+ ions in Cu3(HHTP)2
nanorods was confirmed (Fig. 5b) by EDX chemical mapping
which shows uniform distribution of Zn ions over the entire
electrode area at the fully discharged state. In order to elucidate
the consequences of the insertion of Zn2+ ions into the pores of
Cu3(HHTP)2, the lattice parameter changes were analyzed
(Fig. 5c) with LD-HRTEM in the discharged state. Significantly,
after inserting Zn2+ ions into Cu3(HHTP)2 nanorods, the lattice
distance of the (100) plane (inset of Fig. 5c, d) decreases slightly
to 1.87 nm, demonstrating the same tendency observed (Fig. 5a)
in the PXRD patterns. In addition, selected-area diffraction pat-
terns from pristine and discharged samples (Fig. 5e, f) demon-
strate that the (100) lattice distance decreases from 2.01(±0.01)
nm to 1.90(±0.01) nm, in the consequent interaction of divalent
cations inserted into the pores of the framework. NATURE COMMUNICATIONS | https://doi.org/10.1038/s41467-019-12857-4 NATURE COMMUNICATIONS | https://doi.org/10.1038/s41467-019-12857-4 0.6
Current (A g−1)
−4
−2
0
2
4
6
0.7
0.8
0.9
1.0
1.1
1.2
Capacitive
a
b
c
d
0.4
Current (A g−1)
0
−20
20
40
Unit: mV s−1
0.5
1.0
2.0
3.0
4.0
5.0
0.6
0.8
1.0
1.2
1.4
b-value
0.8
0.9
1.0
1.1
0.5
Voltage (Zn vs. Zn/Zn2+)
Voltage (Zn vs. Zn/Zn2+)
Voltage (Zn vs. Zn/Zn2+)
0.6
0.7
0.8
0.9
1.0
1.1
1.2
1.3
Open-circuit voltage (V)
Voltage (V vs. Zn/Zn2+)
Time (days)
−2.0
−1.5
−1.0
−0.5
0.0
0.5
1.0
1.5
0
1
2
3
4
5
0
50
100
Specific capacity (mAh g−1)
150 200 250 300
0.4
0.8
1.2
1.6
Before self-discharge
After self-discharge
Rate: 0.5 mV s−1
Fig. 6 Charge-storage mechanism of Cu3(HHTP)2. a Cyclic voltammograms of Cu3(HHTP)2 recorded at different scan rates. b b-values for the
Cu3(HHTP)2 electrodes plotted as a function of the potential for cathodic scans. c Capacitive and diffusion currents contributed to the charge-storage of
Cu3(HHTP)2 at the rate of 0.5 mV s−1. d A self-discharge profile of Cu3(HHTP)2. The inset shows voltage profiles for the self-discharge test before and
after storage b
b-value
0.8
0.9
1.0
1.1
0.5
Voltage (Zn vs. Zn/Zn2+)
0.6
0.7
0.8
0.9
1.0
1.1
1.2
1.3 a
0.4
Current (A g−1)
0
−20
20
40
Unit: mV s−1
0.5
1.0
2.0
3.0
4.0
5.0
0.6
0.8
1.0
1.2
1.4
Voltage (Zn vs. Zn/Zn2+) b Voltage (Zn vs. Zn/Zn2+) d
Open-circuit voltage (V)
Voltage (V vs. Zn/Zn2+)
Time (days)
−2.0
−1.5
−1.0
−0.5
0.0
0.5
1.0
1.5
0
1
2
3
4
5
0
50
100
Specific capacity (mAh g−1)
150 200 250 300
0.4
0.8
1.2
1.6
Before self-discharge
After self-discharge 0.6
Current (A g−1)
−4
−2
0
2
4
6
0.7
0.8
0.9
1.0
1.1
1.2
Capacitive
c
Voltage (Zn vs. Zn/Zn2+)
Rate: 0.5 mV s−1 d c Fig. 6 Charge-storage mechanism of Cu3(HHTP)2. a Cyclic voltammograms of Cu3(HHTP)2 recorded at different scan rates. b b-values for the
Cu3(HHTP)2 electrodes plotted as a function of the potential for cathodic scans. c Capacitive and diffusion currents contributed to the charge-storage of
Cu3(HHTP)2 at the rate of 0.5 mV s−1. d A self-discharge profile of Cu3(HHTP)2. The inset shows voltage profiles for the self-discharge test before and
after storage robustly when Zn2+ ions are inserted/extracted into/from
Cu3(HHTP)2. Similarly, the morphology of the Cu3(HHTP)2,
after Zn2+ ion insertion (Supplementary Fig. NATURE COMMUNICATIONS | https://doi.org/10.1038/s41467-019-12857-4 3a), however, for Cu3(HHTP)2 is 228 mAh g−1,
revealing that these Cu3(HHTP)2 cathodes can obtain 2.3 elec-
trons (Fig. 1c). In light of these XPS results, the additional dis-
charge capacity of Cu3(HHTP)2, equivalent to 0.3 electrons, can
be derived from the redox events of Cu2+. In order to identify
the redox center of Cu3(HHTP)2, density functional theory (DFT)
calculations were performed. When supplying 6.9 extra electrons
to Cu3(HHTP)2, Cu atom, as well as to the linker, takes of the
additional electron (Fig. 4d), indicating that Cu atoms participate Structure analysis during discharge–charge. The PXRD patterns
of Cu3(HHTP)2 in the discharged (inserting Zn2+ ions into
Cu3(HHTP)2) electrode demonstrate that the (100) peak has a
slight right-side shift from 4.70° to 4.85°, revealing (Fig. 5a) that
the pore size in Cu3(HHTP)2 decreases from 19.3 to 18.7 Å. This
change indicates that inserting Zn2+ ions into Cu3(HHTP)2
decreases the pore size of Cu3(HHTP)2 as a result of the elec-
trostatic interaction between divalent Zn2+ cations and the oxy-
gen anion of the host structure. With the exception of peak shifts
following Zn2+ insertion, no changes (appearance or dis-
appearance of peaks) are observed, indicating that the discharge
process does not include H+ insertion accompanied by the for-
mation of the Zn(OH)2 analog39. After the charge process
(extracting Zn2+ ions from Cu3(HHTP)2), the PXRD peaks in the
charged electrode return fully (Fig. 5a) to the position of the
original pristine state. In addition, after 500 cycles at a rate of
4000 mA g−1, the PXRD patterns of Cu3(HHTP)2 are identical
(Fig. 5a) to those of the pristine state. This observation implies
that the inserted Zn2+ ions only affect the pore size of the host
structure and that the structure of Cu3(HHTP)2 is maintained URE COMMUNICATIONS | (2019) 10:4948 | https://doi.org/10.1038/s41467-019-12857-4 | www.nature.com/naturecommunications 6 ARTICLE ARTICLE NATURE COMMUNICATIONS | https://doi.org/10.1038/s41467-019-12857-4 kinetics are not limited by the diffusion of the cations. As a
consequence, the advantage of batteries (high capacitance) and
supercapacitors (high rate) are integrated into one system. In
addition, a self-discharge test46 was carried out to confirm the
ability of charge-storage, and Cu3(HHTP)2 showed (Fig. 6d)
remarkably low self-discharge rate of 0.003 V h−1. The loss of the
capacity during self-discharge mainly occurs near the Cu redox
region
above
0.9 V,
agreeing
well
with
the
GITT
study
(Supplementary Fig. 6). Furthermore, after 5 days of storage,
83% of the initial capacity was still maintained (inset of Fig. 6d)
and therefore proving its outstanding stability in the fully
charged state. order to avoid MOF structure degradation under electron beams, images were
collected at dose rates below 20 e−/pixel/s and the cumulative dose in the range of
15–20 e−/A[2 48. For selected-area diffraction (SAD), the electron beam was spread
out and with data acquired at low magnification to avoid sample damage. SAD
Patterns were collected using a Gatan OneView camera. EDX data were collected
using an SDD EDX detector. Electrochemical tests. In order to investigate the electrochemical performance of
Cu3(HHTP)2 as a cathode in zinc batteries, coin cells with a two-electrode con-
figuration—which comprise a Cu3(HHTP)2 cathode and a Zn-film anode (100 μm
in thickness)—were assembled. The Cu3(HHTP)2 electrode was first of all prepared
by making a slurry containing Cu3(HHTP)2:acetylene black:poly(vinylidene
difluoride) (PVDF) in the ratio of 60:20:20 or 90:5:5 in 1-methyl-2-pyrrolidinone
(NMP), respectively. The slurry was then cast onto stainless steel (SUS 304) foil,
followed by drying at 70 °C in a vacuum oven. The mass loading of the active
material in each electrode was 2 mg cm−2. The electrolyte solution was 3 M and
0.25 M zinc trifluoromethanesulfonate (Zn(CF3SO3)2) in deionized H2O and
acetonitrile (MeCN), respectively. All cells were aged for 1 h prior to initiating
electrochemical processes to ensure good soaking of the electrolyte solution into
the electrodes. The cells were cycled in the voltage range of 0.5–1.3 V (vs. Zn/
Zn2+). All measurements were made at 25 °C using a battery tester (BST8-300-
CST, MTI, USA). All galvanostatic measurements were recorded in the constant
current mode (no constant voltage steps). CV was carried out using coin cells with
a two-electrode configuration, which comprise the Cu3(HHTP)2 cathode and the
Zn-film anode (Reference 600 potentiostat, Gamry Instruments, USA). Data availability The authors declare that all the relevant data are available within the paper and its
Supplementary Information file or from the corresponding author upon reasonable
request. Received: 8 June 2019; Accepted: 1 October 2019; Characterization. The morphology of powder and elementary analysis was
obtained by field-emission scanning electron microscopy (FE-SEM, Hitachi S-
4800) with implemented energy-dispersive X-ray spectroscopy (EDX, Oxford Aztec
X-max 80 SDD EDX detector). Images were acquired at a working distance of
7 mm with an electron beam energy of 20 kV and emission current of 20 µA. In
order to investigate the H2O content after the discharge process, thermogravimetric
analysis (TGA, Netzsch Jupiter) was performed by raising the temperature from
room temperature to 300 °C at a ramp rate of 5 °C min−1 under an Ar flow. Powder X-ray diffraction (PXRD, STOE STADI-P) with Cu-Kα1 radiation was
measured through transmission geometry for crystal structure analysis by scanning
in the 2θ range of 2°–90° with scan steps of 0.015° with accelerating voltage and
current of 40 kV and 40 mA. For the characterization of Cu3(HHTP)2 at different
charge and discharge states, the cells were opened and rinsed with deionized H2O
inside a glove-box. The oxidation states of electrodes were analyzed by X-ray
photoelectron spectroscopy (XPS, Thermo scientific ESCALAB 250Xi). Each
sample was dried under vacuum for 1 h prior to XPS measurements. For the ex situ
XPS characterization of Cu3(HHTP)2 at different charge and discharge states, the
cells were opened and rinsed with deionized H2O inside a glove-box. The electrical
conductivity of Cu3(HHTP)2 was measured by the two-point probe method at
25 °C. A pellet was placed on a home-built in situ pellet press47 and connected to
an electrometer (Keithley 4200-SCS). The current-voltage (I–V) measurements
were performed at 25 °C by sweeping the voltage. Discussion
I In summary, we have demonstrated a Cu3(HHTP)2 2D con-
ductive MOF that may be utilized as a ZB cathode. The solid-state
structure of Cu3(HHTP)2, with a high diffusion rate of Zn2+ ions,
and low interfacial resistance caused by the insertion of hydrated
Zn2+ ions, as a result of the large open channel structures, pro-
vides an increased rate performance and cyclability compared
with those of conventional organic-based materials. In addition,
the
kinetic
analyses
of
the
electrochemical
behavior
of
Cu3(HHTP)2 obtained by CV suggest that the charge-storage
mechanism of Cu3(HTTP)2 is intercalation pseudocapacitance,
indicating that the mechanism is not determined by diffusion. Furthermore, XPS measurements and DFT calculations suggest
that Cu3(HHTP)2 utilizes both copper and the quinoid structure
as redox-active sites, increasing the specific capacity of the
material. In addition, the PXRD and LD-HRTEM data indicate
that inserted Zn2+ ions are stored in the Cu3(HHTP)2 pores. These findings point to the potential of these cathodes for use in
large-scale applications. This investigation paves the way for the
further exploration of 2D conductive MOFs with other transition
metals that could increase their redox potential, thus improving
the performance of 2D conductive MOF-based ZB cathodes. DFT calculations. These calculations were performed using the
Perdew–Burke–Ernzhof (PBE) exchange-correlation functional49 and the
projector-augmented wave (PAW) method50 as implemented in the VASP51. An
energy cutoff of 520 eV was used and the gamma centered single k-point was
sampled for integration because of the large cell size. A Grimme’s dispersion
correction (D3) with a zero damping was also applied52. The convergence criteria
were 10−6 eV and 0.02 eV Å−1 for the electronic and ionic cycles, respectively. The
monolayer of Cu3(HHTP)2 was assumed because the long-range order of
Cu3(HHTP)2 has not yet been identified. In order to avoid a fictitious interaction
between layers, the vacuum layer along the z-direction was set to be ~20 Å so that
the lattice size was 21 × 21 × 20 Å. In order to represent the reduction of
Cu3(HHTP)2, we supplied extra electrons to the pristine state and the charge-
density difference between the reduced and pristine states was illustrated using the
VESTA software53. In order to estimate the ion-substitution energy, we employed
the hydrated Zn2+ and Cu2+ states as the reference. To this end, an implicit solvent
model54 was applied and a higher energy cutoff (650 eV) was used. Methods
M
i l Materials. All commercially available reagents and solvents were purchased from
Sigma-Aldrich and used as received without further purification. Zn and SUS films
were purchased from Goodfellow. All the parts for making coin cells were obtained
from Pred Materials International. Cu3(HHTP)2 was prepared according to a
previously reported procedure28, washed with deionized H2O and Me2CO,
respectively, and dried in air. ARTICLE EIS mea-
surements were performed on symmetric cells over the frequency range of 0.01
Hz–1 MHz with an input voltage amplitude of 10 mV (Reference 600 potentiostat,
Gamry Instruments, USA). NATURE COMMUNICATIONS | https://doi.org/10.1038/s41467-019-12857-4 This result
verifies the fact that Zn2+ ions are inserted into the pores in
MOFs in a battery system. y
Furthermore, for quantitative analysis of capacitance, the scan
rate dependence of the current was plotted (Supplementary
Fig. 14b). The capacitive effect (k1ν) and diffusion-controlled
insertion (k2ν1/2) could be calculated with the plot, see the
Supplementary Note 3 for details. The capacitive contribution
was 83% (Fig. 6c) out of the total current, at a scan rate of 0.5 mV
s−1, indicating the total energy storage in Cu3(HHTP)2 arises
from a capacitive process rather than the solid-state diffusion of
Zn2+ in Cu3(HHTP)2. Unlike a non-Faradaic surface adsorption
present in the typical responses of a capacitor, reversible redox
peaks on CV profiles (Fig. 6a, c) and the reversible shifts of (100)
peaks in PXRD (Fig. 5a) during the discharge–charge process
were observed, indicating that the Cu3(HHTP)2 follows an
intercalation pseudocapacitance charge-storage mechanism41–45. In this mechanism, charge-storage occurs by intercalation/de-
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acknowledge support by the Air Force Office of Scientific Research under Award
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The authors declare no competing interests. p
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The cost of monitoring warfarin in patients with chronic atrial fibrillation in primary care in Sweden
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BioMed Central BioMed Central The cost of monitoring warfarin in patients with chronic atrial
fibrillation in primary care in Sweden Address: 1Institute of Clinical Sciences, Göteborg University, Göteborg, Sweden and Nordic Health Economic Research AB, Göteborg, Sweden,
2AstraZeneca Sverige AB, Södertälje, Sweden, 3Neurotec Department, Karolinska Institutet, Stockholm, Sweden and 4Center of Family Medicine,
Karolinska Institutet, Huddinge and Department of Medicine, Solna, Sweden Email: Ingela Björholt* - inb@nheresearch.se; Stina Andersson - stina.andersson@astrazeneca.se; Gunnar H Nilsson - gunnar.nilsson@sll.se;
Ingvar Krakau - ingvar.krakau@medks.ki.se * Corresponding author Published: 26 February 2007
BMC Family Practice 2007, 8:6
doi:10.1186/1471-2296-8-6
This article is available from: http://www.biomedcentral.com/1471-2296/8/6
© 2007 Björholt et al; licensee BioMed Central Ltd. This is an Open Access article distributed under the terms of the Creative C
which permits unrestricted use, distribution, and reproduction in any mediu Received: 4 April 2006
Accepted: 26 February 2007 Published: 26 February 2007
BMC Family Practice 2007, 8:6
doi:10.1186/1471-2296-8-6
Re
Ac
This article is available from: http://www.biomedcentral.com/1471-2296/8/6
© 2007 Björholt et al; licensee BioMed Central Ltd BMC Family Practice 2007, 8:6
doi:10.1186/1471-2296-8-6 This article is available from: http://www.biomedcentral.com/1471-2296/8/6 j
;
This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/2.0),
which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. Abstract Background: Warfarin is used for the prevention of stroke in chronic atrial fibrillation. The
product has a narrow therapeutic index and to obtain treatment success, patients must be
maintained within a given therapeutic range (International Normalised Ratio;INR). To ensure a wise
allocation of health care resources, scrutiny of costs associated with various treatments is justified. The objective of this study was to estimate the health care cost of INR controls in patients on
warfarin treatment with chronic atrial fibrillation in primary care in Sweden. Methods: Data from various sources were applied in the analysis. Resource consumption was
derived from two observational studies based on electronic patient records and two Delphi-panel
studies performed in two and three rounds, respectively. Unit costs were taken from official
databases and primary health care centres. Results: The mean cost of one INR control was SEK 550. The mean costs of INR controls during
the first three months, the first year and during the second year of treatment were SEK 6,811, SEK
16,244 and SEK 8,904 respectively. Conclusion: INR controls of patients on warfarin treatment in primary care in Sweden represent
a substantial cost to the health care provider and they are particularly costly when undertaken in
home care. The cost may however be off-set by the reduced incidence of stroke. stroke of 5% [6]. Of all ischemic strokes, about 16% are
related to non-valvular AF, and in patients over 75 years
of age this frequency increases to one third [6]. BMC Family Practice Open Access Frequency of INR controls The frequency of INR controls during the initiation phase
and during established treatment was derived from two
retrospective studies of electronic patient records
[3,13,14]. Both studies were performed in Stockholm,
where patients on warfarin routinely are managed in pri-
mary care. In today's climate of increasing scrutiny of health care
costs, an analysis of costs associated with the use of warfa-
rin is justified. The cost of warfarin per se is low, but INR
monitoring is likely to be associated with the use of large
resources. Firstly, because INR controls are both frequent
and resource-consuming for each patient concerned, and
secondly because treatment of warfarin is used in such
broad groups of patients. Furthermore, when complica-
tions occur, the treatment costs may rise substantially. One study was performed on patients with CAF during the
initiation phase of warfarin treatment (the first three
months of treatment) [13]. Twelve primary health care
(PHC) centres from five different health care districts in
Stockholm County with a registered population of 203,
407 individuals included 144 patients. In the other study, five PHC centres with a registered pop-
ulation of 75,146 participated. Twenty-five patients with
CAF, who had received a minimum of 30 days treatment
were randomly selected for a detailed review of the clinical
management of warfarin treatment [3,14]. Of those, five
patients had been treated for less than three months, one
had been on treatment for 11 months and 19 had been on
treatment for more than one year. All patients in the initi-
ation phase of treatment were excluded and data from the
remaining patients (n = 20) were used to represent the fre-
quency of INR controls in established patients, defined as
treatment for 12 months or more. Information on the fre-
quency of INR controls between four and 11 months
treatment was not available and an assumption of a linear
decline was applied, based on available data on the fre-
quency of INR controls during month three and month
12. The cost-effectiveness has been studied in the prevention
of stroke in non-valvular atrial fibrillation, which is the
most common diagnosis for warfarin treatment [7-12]. These studies were performed in varying sub-sets of
patients, and the conclusions were that treatment with
warfarin was cost-effective (and sometimes cost-saving). Background g
The prevalence of chronic atrial fibrillation (CAF) has
been estimated at 1% of the total population of Sweden
[1,2], and a recent study demonstrated a prevalence of 0.6
in primary health care [3]. The corresponding figure from
the U.S. for the occurrence of atrial fibrillation has been
estimated at 0.9 [4,5]. The prevalence of AF increases as
patients grow older. Atrial fibrillation is a potentially dis-
abling and fatal disorder, due to an annual incidence of Oral anticoagulant drugs, i.e. vitamin K antagonists, are
used for the prevention of stroke in CAF and their efficacy
has been demonstrated in a large number of studies [6]. However, warfarin has a narrow therapeutic index and to
obtain treatment success, the patients must be maintained Page 1 of 8
(page number not for citation purposes) Page 1 of 8
(page number not for citation purposes) BMC Family Practice 2007, 8:6 http://www.biomedcentral.com/1471-2296/8/6 http://www.biomedcentral.com/1471-2296/8/6 The objective of this health economic assessment is to
estimate the health care cost of monitoring warfarin in
patients with CAF managed in primary care in Sweden. within a given therapeutic range. This is defined as the
International Normalised Ratio (INR) and the most com-
monly recommended range is INR 2–3. If the INR is
below range, the patient will be at risk of thromboembo-
lism and if the INR is above range, the patients will be at
risk of experiencing a hemorrhagic event. Furthermore,
warfarin interacts with certain types of food, alcohol and
many other drugs. Thus the management of patients on
warfarin requires frequent monitoring and dose adjust-
ment in order to maximise the time the patient spends
within the therapeutic INR range. In Sweden, such con-
trols are usually carried out in dedicated anticoagulation
clinics in hospitals or in routine primary care. Methods The term "INR controls" is below defined as all aspect
involved in the monitoring of warfarin, including prepa-
rations and follow-up. Frequency of INR controls All studies included an estimate of the cost of warfarin
including costs of INR monitoring, but none reported the
detailed resource consumption related to INR monitor-
ing. The estimates were therefore either derived from tar-
iffs or gross estimates. All but two were carried out based
on data from the U.S. Of the non-U.S. studies, one was
from the U.K. and one from Sweden and both were based
on management of patients in a hospital setting [10,11]. To be able to estimate the costs of a particular health care
activity, various kinds of data from different sources must
be available. These include (i) the type and number of
health care or other resources that are involved, (ii) the
frequency by which such resources are used, (iii) the unit
costs of all individual cost items. In the case of the cost of
monitoring of warfarin, this is particularly complicated as
an INR control is not a defined entity, on the contrary it
might involve different kinds of resources depending on
different organisations and individual preferences. As
many of the patients under warfarin treatment are old and
frail, a certain proportion of the patients are subject to
domiciliary care. Resources consumed per INR control The type and number of resources consumed at INR con-
trols were investigated in two Delphi-panel studies [15]). In such panels standardised techniques are used to sys-
tematically collect and collate informed judgments from a
group of experts on specific questions or issues [16-20]. The respondents are anonymous to each other and the
study is performed in different rounds. The respondents in both Delphi-panels were health care
personnel. One was performed in three rounds and had
the objective to study the resource use of patients whose
INR controls were carried out onsite at a PHC centre. Page 2 of 8
(page number not for citation purposes) http://www.biomedcentral.com/1471-2296/8/6 BMC Family Practice 2007, 8:6 http://www.biomedcentral.com/1471-2296/8/6 Hence the average annual working hours of patient-
related time (Ann_pat_TIME) was estimated at 1,150
(0.73*1576) for GPs and 1,340 (0.85*1576) for RNs and
DNs. Hence the average annual working hours of patient-
related time (Ann_pat_TIME) was estimated at 1,150
(0.73*1576) for GPs and 1,340 (0.85*1576) for RNs and
DNs. Thirty-four general practitioners (GPs) and 10 registered
nurses (RNs) from 34 PHC centres in Stockholm partici-
pated. The other Delphi panel investigated the resource
consumption for patients managed in home care. It was
performed in two rounds and 49 district nurses (DNs)
from all over Sweden were enrolled. The gross payroll expenses of a patient-related hour
(Gross_payroll_exp_pat_hour) was In the application of the Delphi technique in the studies
referred to in this article, the expert panel members were
randomly selected from GPs and RNs in primary care in
Stockholm and DNs in Sweden respectively. The panel
members were asked to estimate patient-related time
defined as time spent in preparation before the INR con-
trol, direct time spent together with the patient and fol-
low-up in connection with the control. Total patient-
related time spent by GPs and RNs respectively was
regarded as a reflection of resources used in INR controls,
apart from the work undertaken by laboratory staff and
the cost of transportation to and from patients in home
care, which were calculated separately. The costs were esti-
mated by multiplying the various resources by their
respective unit cost. Gross payroll expenses
Ann pat
TIME
_
_
_
_ Hence the "Gross_payroll_exp_pat_hour" was SEK 755
(868,977/1,150) for GPs, SEK 286 (382,508/1,340) for
RNs and SEK 308 (412,482/1,340) for DNs. Sample and transportation costs The work undertaken by laboratory staff was not investi-
gated in the Delphi panels. Therefore, tariff prices for tak-
ing the sample (SEK 80) and the analysis of the sample
(SEK 42) were used in the calculations. These costs were
derived from Nyby PHC centre. The cost for car transportation was estimated to be SEK
2.50 per kilometre for a small or mid-sized car (Swedish
Consumer Agency in Stockholm). Resources consumed per INR control The balance-sheets of PHC centres include gross payroll
costs as well as overhead and administrative costs such as
rental and maintenance of the localities, capital costs and
telephone. These costs were denoted "other costs" and
were added to the payroll expenses to obtain a total cost
of a patient-related hour. The accounts of three PHC cen-
tres, one big (Gustavsberg), one middle-sized (Österåker)
and one small centre (Nyby), showed the average of
"other costs" was 40% of total cost. Cost of a patient-related hour f
p
Gross payroll expenses were defined as the average annual
costs (salary, security fees and pensions) of GPs, RNs and
DNs in the County Council of Stockholm in Sweden. It
was SEK 868, 977 for a GP, SEK 382,508 for an RN and
SEK 412, 482 for a DN. Thus the cost of a patient-related hour based on "Other
costs" being 40% was SEK 1259 (755/0.40) for a GP
('GP_hour_COST'), SEK 476 (286/0.40) for an RN
('RN_hour_COST') and SEK 513 (308/0.40) for a DN
(DN_hour_COST). The average annual working hours in 2003 for full-time
employees in the health care sector was 1,576, which was
derived from a labour force survey performed by Statistics
Sweden (unpublished data). The patient-related time was
estimated to be 73% for the GPs. This figure was based on
a survey performed by The Swedish Institute for Health
Economics in 1999–2000 in which four different special-
ities were represented including GPs (n = 81) [21]. GPs
reported they spend 50% of their total working-hours in
face-to-face consultations with patients, and another 23%
of their time for administrative work directly related to
patients. This means 73% of the working-hours are allo-
cated to patient-related work. We estimated the patient-
related time for RNs and DNs to 85% based on the
assumption that patient-related time is greater for nurses
than for GPs. Estimate of costs Cost of INR controls at primary care centres
d
d d
h Unit cost calculation Unit costs were based on data from 2003, estimated from
the perspective of the health care provider and expressed
in SEK (SEK 1 = € 0.11). Where costs have been reported
in $ or in publications referenced in this article, the fol-
lowing exchange rates have been used; $1 = SEK 7.61 and
1 = SEK13.88. All exchange rates are as of June 30, 2004. The following formula was applied for calculation of the
total
cost
of
a
patient-related
hour
including
"Gross_payroll_exp_pat_hour " as well as "Other costs": Gross payroll
pat
hour
Proportion other
costs
_
_exp_
_
_
_
1− Gross payroll
pat
hour
Proportion other
costs
_
_exp_
_
_
_
1− Proportion other
costs
_
_
1− where 'GPRN_control_COST' and 'GP_control_COST' have
been defined before and ['GP_hour_COST' * ('GPRN_TIME' + 'GPRN_exTIME')
+'RN_hour_COST' * ('RN_TIME' +'RN_exTIME')] +
'Sample_COST' + 'Analysis_COST' 'GPRN_PROP' = Share of PHC centres where doctors are
routinely assisted by a nurse, where 'RN_TIME' = Mean time nurses spend on one INR control, 'DN_hour_COST' and 'Analysis_COST' have been previ-
ously defined and where 'RN_exTIME' = Mean time for an RN when a patient does
not appear for a scheduled visit. 'DN_TIME' = Mean time district nurses spend on one INR
control visit, 'Sample_COST' = Cost of taking the blood sample by lab-
oratory staff and 'Transp_COST' = Cost per kilometre by car (Swedish Con-
sumer Agency), 'Analysis_COST' = Cost of analysing the blood sample. 'Transp_KM' = Mean distance per INR control, return trip
and Similarly, the cost of an INR control when the GP was not
routinely assisted by an RN (GP_control_COST) was * ['GP_hour_COST'* ('GP_TIME' + 'GP_exTIME')] +
'Sample_COST' + 'Analysis_COST' 'DN_exTIME' = Extra time per INR control due to INR con-
trol visits undertaken in vain. where Costs of INR control in primary care
Total cost of an INR control undertaken in primary care
('TOT_control_COST') was 'GP_hour_COST', 'Sample_COST' and 'Analysis_COST'
have been defined before and ('PHC_PROP' * 'PHC_control_COST') + ('HOME_PROP'
* 'HOME_control_COST') 'GP_TIME' = Mean time GPs, not routinely assisted by a
nurse, spend on one INR control, where Cost of INR controls at primary care centres PHC centres were divided into such centres where GPs
were routinely assisted by an RN in the management of
INR controls for warfarin patients and such centres where Page 3 of 8
(page number not for citation purposes) (page number not for citation purposes) http://www.biomedcentral.com/1471-2296/8/6 BMC Family Practice 2007, 8:6 ('GPRN_PROP' * 'GPRN_control_COST') + (GP_PROP *
GP_control_COST)
where ('GPRN_PROP' * 'GPRN_control_COST') + (GP_PROP *
GP_control_COST) GPs did not co-operate with an RN on a regular basis for
these controls. All costs are expressed as mean costs. The cost of an INR control for GPs with an RN
('GPRN_control_ COST') was where 'GP_PROP = Share of GPs, not routinely assisted by a
nurse, 'GP_hour_COST' and 'RN_hour_COST' have been
defined above, Cost of INR controls in home care
The
total
cost
per
INR
home
care
visit
('HOME_control_COST') was: 'GPRN_TIME' = Mean time GPs, routinely assisted by a
nurse, spend on one INR control, 'GPRN_exTIME' = Mean extra time for GPs, routinely
assisted by an RN, when a patient does not appear for a
scheduled visit. ['DN_hour_COST' * ('DN_TIME'+ 'DN_exTIME')] +
(Transp_COST * Transp_KM) + 'Analysis_COST'
where ['DN_hour_COST' * ('DN_TIME'+ 'DN_exTIME')] +
(Transp_COST * Transp_KM) + 'Analysis_COST' where where 'GP_exTIME' = Mean extra time for GPs, not routinely
assisted by an RN, when a patient does not appear for a
scheduled INR control. 'PHC_control_COST' and 'HOME_control_COST' have
been previously defined and 'PHC_PROP' = Proportion of INR controls undertaken at
a PHC centre and 'PHC_PROP' = Proportion of INR controls undertaken at
a PHC centre and Accordingly the total cost of an INR control when the
patient
is
managed
onsite
at
a
PHC
centre
('PHC_control_COST) was 'HOME_PROP' = Proportion of INR controls undertaken
in the patient's home. 'HOME_PROP' = Proportion of INR controls undertaken
in the patient's home. Page 4 of 8
(page number not for citation purposes) http://www.biomedcentral.com/1471-2296/8/6 http://www.biomedcentral.com/1471-2296/8/6 BMC Family Practice 2007, 8:6 http://www.biomedcentral.com/1471-2296/8/6 hours/visit for the RNs ('RN_exTIME'), when allocated to
such INR controls which actually took place. Sensitivity analyses Although this analysis provides the most accurate assess-
ment of the economic impact of INR controls in primary
care available to date, a number of uncertainties in the
estimates of resource use and unit costs were identified
and explored in a series of sensitivity analyses. The follow-
ing analyses were performed: (i) reduction/increase of the
time GPs (GPRN_TIME and GP_TIME and DNs
(DN_TIME) used for INR controls, (ii) the proportion of
home visits ('HOME_PROP') was lower/higher, (iii)
'Other costs' were lower/higher, (iv) the costs incurred by
laboratory staff ('Sample_COST') and analysis of the sam-
ple (Analysis_COST') were lower/higher. In the PHC centre Delphi study, the respondents reported
that 11.6% of their patients were unable to come to the
PHC centre for monitoring of INR. In these cases, the
monitoring of the patients was undertaken by DNs in
home care. The study in domiciliary care demonstrated that the mean
time spent on INR controls in the patient's home was 1.47
hours (88.2 minutes, CI 95% 76.8 – 99.6 minutes)
('DN_TIME'). On average, the district nurse travelled 13.7
kilometres (95% CI 9.0;18.4) by car for each home visit
('Transp_KM'). In 8.2% of the times, the visit was in vain
as the patient was not at home. Each such visit took on
average 45 minutes (95% CI 33.1;56.1), representing a
mean of 0.059 hours per INR control ('DN_exTIME). Cost per patient hours/visit for the RNs ('RN_exTIME'), when allocated to
such INR controls which actually took place. hours/visit for the RNs ('RN_exTIME'), when allocated to
such INR controls which actually took place. Total cost of INR controls during the initiation phase (first
three months of treatment), during the first year (includ-
ing the initiation phase) and during subsequent years of
treatment
was
obtained
by
multiplying
TOT_control_COST with the monitoring frequencies
observed in or derived from the two retrospective studies
on electronic patient records mentioned above [4,13,14]. Where the GP managed INR controls without routinely
cooperating with an RN, the mean time used for a stand-
ard INR control was 0.29 hours (17.6 minutes, 95% CI
10.6;24.6) ('GP_TIME'). The extra time spent due the
patient's failure to show up for the scheduled visit was 5
minutes (95% CI 2.7 – 7.3). It was reported to happen in
11% of the scheduled visits and, accordingly, the mean
extra
time
per
INR
control
was
0.009
hours
('GP_exTIME'). In addition to the work undertaken by the
GP, and RN where applicable, laboratory personnel was
involved in taking ('Sample_COST') and analysing the
blood sample ('Analysis_COST'). Cost of monitoring warfarin
All variables are defined and referenced above. The number of INR controls between month three and
month 12 was estimated at 17.14. Cost of INR controls at PHC
The cost of an INR control for GPs routinely assisted by a
nurse ('GPRN_control_ COST') was SEK 525 ([1,259 *
(0.168 +0.012) + 476 (0.357+0.014)] + 80 + 42) Frequency of INR controls In the study on new patients on warfarin, 1,721 INR con-
trols were registered during a follow-up time of 12,688
days, resulting in an average number of INR controls dur-
ing the first three months of treatment of 12.38 (95% CI:
11.3–12.6) per patient [13]. The mean number of visits
during month three was 2.6. Of all INR controls in primary care, 88.4% were carried
out at a PHC centre ('PHC_PROP') and 11.6% in a
patient's home ('HOME_PROP'). The group of 20 established patients, from Nilsson et al
had a mean follow-up time of 0.55 years in the study [3]
and the annual frequency of visits was 16.18 (95%
CI:11.37–21.02, resulting in a mean number of 1.35 con-
trols per month. http://www.biomedcentral.com/1471-2296/8/6 http://www.biomedcentral.com/1471-2296/8/6 BMC Family Practice 2007, 8:6 The cost per INR control was SEK 120 – 479 [7,10,11]. These studies had varying objectives, none of which were
to report on the cost of monitoring warfarin. Such costs
were therefore not computed in a detailed fashion, and
some of them may have been inadvertently omitted,
while we have been able to measure them in our study. In
previous studies the cost of monitoring warfarin was a
gross estimate applied as one out of many variables in
cost-effectiveness analyses, and few details were given on
how it was calculated. In some cases the cost represented
the tariff price of the actual test [10], while others had also
included a gross estimate of the cost of monitoring [7]. In
one study the cost of monitoring had been obtain from a
telephone survey of a few pharmacies and laboratories
[9]. The methods for estimating the costs related to INR
controls were thus subject to large variation. Moreover
they were derived from different health care settings and
based on estimates from a range of different countries. A
direct comparison with the results from our study is there-
fore inappropriate, although we note that the post-initial-
phase costs we obtain are similar to the upper bound
found in previous studies and that the costs of the initial
phase are quite high. It is also unsuitable to directly com-
pare our results with those of the Swedish study by Gus-
tafsson published in 1992, which reports the lowest
estimate of monitoring costs (SEK 120/visit, 2,160 annual
costs) [10] as it was based on an estimate of the costs in a
hospital setting, which may refer to an anticoagulation
clinic although not specifically stated. Costs of INR control in home care
The
cost
of
an
INR
control
in
home
care
(HOME_control_COST) was SEK 861 (513* (1.470 +
0.059) + (2.50 * 13.7) + 42) Cost of an INR control in primary care
The mean cost of an INR control in primary care
('TOT_control_COST') was SEK 550 ((0.884 * 509) +
(0.116* 861)) Cost of an INR control in primary care
The mean cost of an INR control in primary care
('TOT_control_COST') was SEK 550 ((0.884 * 509) +
(0.116* 861)) Cost of an INR control in primary care
The mean cost of an INR control in primary care
('TOT_control_COST') was SEK 550 ((0.884 * 509) +
(0.116* 861)) Sensitivity analysis The following analyses were performed: (i) the time used
for INR controls was reduced/increased by 5 minutes for
GPs ('GPRN_TIME' and 'GP_TIME') and 20 minutes for
DNs ('DN_TIME'), (ii) the proportion of home visits was
5% lower/20% higher ('HOME_PROP'), (iii) other cost
were 30% (lower)/50% (higher) (iv) the cost incurred by
laboratory
staff
('Sample_COST')
and
analysis
('Analysis_COST') of the sample was 20% lower/20%
higher. The results are given in Table 2. Total cost per patient The costs of INR controls per patient based on varying
treatment periods are given in Table I. Resource use per INR controls In 29% of the PHC centres, an RN was routinely involved
in the management of warfarin patients ('GPRN_PROP'). The mean time per INR control was 0.17 hours (10.1 min-
utes, 95% confidence interval, CI, 5.4; 14.8) for GPs
('GPRN_TIME') and 0.36 hours (21.4 minutes, 95% CI
11.0; 31.8) for the RNs ('RN_TIME'). The mean extra time
used for a missed appointment by a patient was 6.6 min-
utes (95% CI 0.3 – 12.9) for GPs and 4.9 minutes (95%
CI 2.0 – 7.8) for RNs. When taking the frequency of
missed visits into consideration, 11% for the GPs and
17% for the RNs, the mean extra time for "no-shows" was
0.012 hours/visit for the GPs ('GPRN_exTIME') and 0.014 The cost of an INR control for GPs working without rou-
tinely being assisted by an RN ('GP_control_COST') was:
SEK 503 ([1,259 * (0.293 + 0.009)] + 80 + 42) The cost of an INR control carried out onsite at a PHC cen-
tre (PHCcontrolCO) was SEK 509 ((0.29 * 525) + (0.71 *
503)) Page 5 of 8
(page number not for citation purposes) Page 5 of 8
(page number not for citation purposes) Page 5 of 8 Discussion We have used results from four studies to estimate the cost
of INR controls in patients on warfarin treatment man-
aged in primary care in Sweden. The results demonstrated
that substantial health care resources are consumed in the
effort to maintain the patients within their recommended
therapeutic INR intervals. In the base-case analysis, the
cost per monitoring visit was SEK 550 and the cost per
patient for the first three months of treatment was SEK
6,811. Furthermore the cost of INR controls for the first
year of treatment and the second year of treatment was
SEK 16,244 and 8,904 respectively. In sensitivity analyses,
the cost per INR control ranged from SEK 438 to 663,
where the lowest and highest figures reflected a scenario
where the time for the management of the patient had
been decreased and increased, respectively. Consequently,
the result of the analysis is sensitive to the correctness of
the time reported in the Delphi panel studies. The annual number of INR controls in patients with AF
has previously been reported to be 13.7 [7], 17.3 [11] and
18 [10] and thus they were in the same order of magni-
tude for established patients as in our study (16.18). To our knowledge, the data in our study represent the
most detailed analysis of the resources consumed and
their costs in the monitoring of warfarin patients that is
available to date. Although our approach represents a comprehensive
undertaking, the result has its limitations. The frequency
of visits was, for example, based on the actual number of
visits as registered in patient records. The observed
number may be underestimated as INR control may have
been carried out elsewhere, which may have been omitted The annual costs for INR controls have in other studies
been reported to be between SEK 2,160 and 8,315 [7-11]. Page 6 of 8
(page number not for citation purposes)
Table 1: Costs of INR controls/patient in primary care in Sweden. Cost/monitoring visit: SEK 550. Length of period
No. of INR moni toring visits
Total cost (SEK)
Initiation phase
3 months
12.38
6,811
First treatment year, including initiation phase
12 months
29.52
16,244
Second year
annual
16.18
8,904*
* undiscounted cost Page 6 of 8
(page number not for citation purposes)
Table 1: Costs of INR controls/patient in primary care in Sweden. Cost/monitoring visit: SEK 550. Length of period
No. Conclusion Warfarin is used for the prevention of stroke in CAF-
patients. In a recent study the life-time direct costs of
stroke in Sweden was estimated to SEK 513,800, including
hospitalizations, drugs, outpatient visits, nursing home
and domestic aid [22]. The annual incidence of stroke in
CAF has been estimated to 5% [6], and warfarin has been
demonstrated to reduce this risk by approximately 60%
[23]. Taken together, this indicates a potential annual cost
reduction of SEK 15,000 per patient treated, due to the
reduced incidence of stroke. Our study shows that the cost
of monitoring patients after the initiation phase of treat-
ment is SEK 8,900 per year. Hence, the cost of such INR
controls might be completely offset by the reduction in
the cost of stroke even with the higher costs obtained in
this study as compared with previous research. This rough
calculation puts the cost of INR controls into perspective,
but as it disregards other aspects of the treatment, such as
costs and health consequences of complications and the INR controls of patients on warfarin treatment in primary
care in Sweden represent a substantial cost to the health
care provider. The cost exceeds SEK 16,000 during the first
year of treatment and it amounts to almost SEK 9,000 per
patient during subsequent years. INR controls are particu-
larly costly when undertaken in home care. However, war-
farin prevents stroke in CAF, and the cost of monitoring
may be off-set by the reduced incidence of this disorder. Discussion of INR moni toring visits
Total cost (SEK)
Initiation phase
3 months
12.38
6,811
First treatment year, including initiation phase
12 months
29.52
16,244
Second year
annual
16.18
8,904*
* undiscounted cost Table 1: Costs of INR controls/patient in primary care in Sweden. Cost/monitoring visit: SEK 550. Length of period
No. of INR moni toring visits
Total cost (SEK)
Initiation phase
3 months
12.38
6,811
First treatment year, including initiation phase
12 months
29.52
16,244
Second year
annual
16.18
8,904*
* undiscounted cost Table 1: Costs of INR controls/patient in primary care in Sweden. Cost/monitoring visit: SEK 550. http://www.biomedcentral.com/1471-2296/8/6 BMC Family Practice 2007, 8:6 Table 2: Sensitivity analyses. Base case
Visit
Months
1 – 3
1st yr
2nd yr*)
Base case
550
6,811
16,244
8,904
Shorter time
Doctors - 5 minutes
District nurses - 20 minutes
438
5,417
12,920
7,083
Longer time
Doctors + 5 minutes
District nurses + 20 minutes
663
8,204
19,567
10,726
Home visits
5%
527
6,524
15,559
8,529
20%
580
7,176
17,116
9,382
Other costs
30%
488
6,044
14,415
7,902
50%
637
7,884
18,804
10,308
Laboratory staff and analysis
Cost 20% lower
528
6,532
15,578
8,540
Cost 20% higher
573
7,090
16,909
9,269
*) Undiscounted costs Table 2: Sensitivity analyses. Table 2: Sensitivity analyses. Cost 20% lower Cost 20% higher timing of events, the result of the calculation should inter-
preted with caution. A full health economic evaluation of
the cost-effectiveness of warfarin is a complex analysis,
where all relevant aspects of the treatment should be
included. in the patient records. A further limitation of our study is
that it did not include societal costs, as costs incurred by
patients and or their care providers were not taken into
consideration. The same applies to the provision of trans-
portation for patients unable to organise their own travel
to the PHC. Competing interests The study was supported by AstraZeneca Sverige AB. SA is
a senior health economist at AstraZeneca Sverige AB. *) Undiscounted costs Pre-publication history p
y
The pre-publication history for this paper can be accessed
here: p
y
The pre-publication history for this paper can be accessed
here: gy
J
2. Wändell PE: Five-year mortality in men and women with atrial
fibrillation. Scand J Prim Health Care 2001, 19:112-116. http://www.biomedcentral.com/1471-2296/8/6/prepub http://www.biomedcentral.com/1471-2296/8/6/prepub 3. Nilsson G, Björholt I: Occurrence and quality of anticoagulant
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atrial fibrillation in a Swedish community. Scand J Prim Health
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2003, 4:3. 15. References 1. Asplund K, Beerman B, Bergfeldt L, Blomström P, Blomström Lun-
dqvist C, Boman K, Britton M, Dale J, Edvardsson N, Forfang K, God-
tfredsen J, Gustafsson C, Juul-Möller S, Norrving B, Olsson B,
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mendations from a workshop arranged by the Medical Prod-
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Cardiology. Eur
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1993,
14:1427-1433. Authors' contributions IB performed the health economic analysis. IB, SA, GHN
and IK interpreted the results of the analysis and drafted
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7:2079-2094. 23.
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scientist can read your work free of charge
"BioMed Central will be the most significant development for
disseminating the results of biomedical research in our lifetime."
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BioMedcentral Publish with BioMed Central and every
scientist can read your work free of charge )
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|
https://openalex.org/W1976088617
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https://journals.plos.org/plosone/article/file?id=10.1371/journal.pone.0017446&type=printable
|
English
| null |
Polyamide-Scorpion Cyclam Lexitropsins Selectively Bind AT-Rich DNA Independently of the Nature of the Coordinated Metal
|
PloS one
| 2,011
|
cc-by
| 13,985
|
Abstract Cyclam was attached to 1-, 2- and 3-pyrrole lexitropsins for the first time through a synthetically facile copper-catalyzed
‘‘click’’ reaction. The corresponding copper and zinc complexes were synthesized and characterized. The ligand and its
complexes bound AT-rich DNA selectively over GC-rich DNA, and the thermodynamic profile of the binding was evaluated
by isothermal titration calorimetry. The metal, encapsulated in a scorpion azamacrocyclic complex, did not affect the
binding, which was dominated by the organic tail. Citation: Lo ATS, Salam NK, Hibbs DE, Rutledge PJ, Todd MH (2011) Polyamide-Scorpion Cyclam Lexitropsins Selectively Bind AT-Rich DNA Independently of the
Nature of the Coordinated Metal. PLoS ONE 6(5): e17446. doi:10.1371/journal.pone.0017446 Editor: Nediljko Budisa, Berlin Institute of Technology, Germany Received September 8, 2010; Accepted February 3, 2011; Published May 9, 2 Copyright: 2011 Lo et al. This is an open-access article distributed under the terms of the Creative Commons Attribution License,
use, distribution, and reproduction in any medium, provided the original author and source are credited. t al. This is an open-access article distributed under the terms of the Creative Commons Attribution License, which permits unrestricted
roduction in any medium, provided the original author and source are credited. Funding: This work was supported by the University of Sydney, via a Major Equipment Grant for the purchase of the isothermal titration calorimeter. Schro¨dinger, Inc. provided software and hardware used for the generation of Figure 5. The funders had no other role in study design, data collection, decision to
publish, or preparation of the manuscript. Competing Interests: One of the authors (NKS) is an employee of Schro¨dinger, Inc, who developed software used in the analysis o
not alter the authors’ adherence to all the PLoS ONE policies on sharing data and materials. The authors have declared that no othe One of the authors (NKS) is an employee of Schro¨dinger, Inc, who developed software used in the analysis of data. This affiliation does
erence to all the PLoS ONE policies on sharing data and materials. The authors have declared that no other competing interests exist * E-mail: matthew.todd@sydney.edu.au of
targeting
reactive
chemical
functionality
to
the
double
helix.[48–49]
Given
the
potential
of
metal-based
artificial
nucleases and imaging agents, it is surprising that only a relatively
small number of lexitropsin-metal conjugates have been reported. Abstract Dervan has described the use of a lexitropsin-EDTA-Fe complex
for ‘‘affinity cleaving’’ near AT-rich sites.[50–52] Ferrocene has
been used to connect two polyamide strands.[53] Iron-bleomycin
analogs have been attached to lexitropsins at the N-[54–55] and C-
[56–57] termini, showing that the polyamide can overturn the
inherent GC-selectivity of the bleomycin portion. Bleomycin
analogs have also been attached to lexitropsins in conjunction with
cobalt.[58] Copper- salen,[59] -phenanthroline,[60–61] –pep-
tide[62] and –bipyridine[63–64] complexes have been conjugated
to lexitropsins, as well as a copper complex consisting of an N-
terminal peptide and C-terminal intercalator.[65] Other metal
complexes associated with lexitropsins include manganese,[66]
vanadium,[67] tungsten,[68] platinum[69–71] and the radionu-
clide technetium-99m.[72] The first example of a zinc complex
attached to a lexitropsin was only recently reported.[73] To date
there have been no reports of lexitropsins bound to azamacro-
cycles or azamacrocyclic complexes, which is surprising given how
widely such frameworks are used in coordination chemistry.[74]
The thermodynamics of DNA binding with lexitropsin-metal
complex conjugates have not been examined, nor has the effect of
varying the metal coordinated within the same lexitropsin analog
been investigated. It is also frequently the case that metal-
lexitropsin
conjugates are not characterized prior to their
interaction with DNA, and are assumed to form in situ. This
report addresses these areas. Polyamide-Scorpion Cyclam Lexitropsins Selectively Bind
AT-Rich DNA Independently of the Nature of the
Coordinated Metal Anthony T. S. Lo3, Noeris K. Salam1, David E. Hibbs2, Peter J. Rutledge3, Matthew H. Todd3*
1 Schro¨dinger, Inc., New York, New York, United States of America, 2 Faculty of Pharmacy, University of Sydney, Sydney, New South Wales, Australia, 3 School of
Chemistry, University of Sydney, Sydney, New South Wales, Australia PLoS ONE | www.plosone.org Introduction The sequence-selective binding of small molecules to DNA is an
important area of research because through such binding it may
be possible to control gene expression, which has significant
implications for new therapeutics.[1–5] Small molecule-based
metal complexes are particularly sought-after in this regard since
DNA binding may be used to trigger reactivity, unleashing
chemical activity at a specific sequence of genetic information that
is associated with disease.[6–7] Many naturally-occurring small molecules are known to bind
DNA with sequence selectivity, most notably the polyamide class of
minor groove binders that includes distamycin and netropsin,
known generically as the lexitropsins.[8–12] Distamycin and
netropsin selectively bind AT-rich regions of DNA, sequences that
are important for example because of the widespread occurrence of
the TATA box transcription factor binding site in the genome.[13]
Lexitropsins are structurally simple molecules possessing features
that are well-suited for minor groove binding: they are curved
(although this is not an absolute requirement[14]), flat and contain
well-positioned hydrogen bonding groups, positively charged end
groups and strategically placed van der Waals contacts [15–16] groups and strategically placed van der Waals contacts.[15–16]
With such a well-evolved scaffold for interaction with DNA, it is
unsurprising that there has been a great deal of interest in tailoring
the basic design to build in greater sequence-selectivity and adapt
these structures to develop new types of drugs.[17–36] Much has
been learned about how to modify lexitropsin structures to achieve
binding to bespoke DNA sequences[9,37–42] or to improve
physicochemical and pharmacokinetic properties.[26,43–47] There has been much interest in the attachment of chemically
active groups such as alkylating agents to lexitropsins in the hope We recently became interested in the attachment of azamacro-
cycles to motifs that recognize biological molecules. We have May 2011 | Volume 6 | Issue 5 | e17446 1 May 2011 | Volume 6 | Issue 5 | e17446 Cyclam-Based Lexitropsins binding DNA, and the influence of each feature is discussed in
more detail below. previously demonstrated that it is possible to influence an
azamacrocycle’s interaction with DNA by changing the nature
of an amino acid appended to the macrocycle,[75] and created a
metal complex whose primary coordination environment changes
in response to the binding of a protein.[76] For a more general
approach to the study of azamacrocycle-DNA interactions, a
generic method for ensuring proximity of the azamacrocycle
complex to DNA is required. Introduction Titration
with copper(II) chloride in methanol led to the appearance of a
peak
in
the
UV-visible
spectrum
(lmax = 590 nm,
e =
414 M21cm21) that reached a maximum absorbance with the
addition of one equivalent of CuCl2, indicating the formation of a
well-defined complex (Figure 2). The lmax is similar to previously-
reported scorpion cyclam complexes of copper.[76] The sharpness
of the transition at one equivalent of added metal salt is notable
(Figure 2, inset), and implies a high association constant between
the metal ion and ligand as has been seen with related complexes
(although this was not quantified as part of the current study). [81–82] A complexation stoichiometry of 1:1 was confirmed
by a Job plot measured at the lmax of 590 nm (Figure S22;
for a titration curve between CuCl2 and compound 4c, see Figure
S23). Synthesis The targets of the synthesis were lexitropsin-cyclam conjugates
4a–c (Figure 1), formed by the union of the polyamide binding
motif and the azamacrocycle through the synthetically facile
copper-catalyzed azide-alkyne Huisgen cycloaddition (a so-called
‘click’ reaction).[78] Compounds 1a–c[79–80] and propargylated
cyclam[81] were prepared
according to literature
methods
(Scheme S1 and Text S1). Four aspects of these structures are of
interest in comparison to literature lexitropsins: a) lack of the N-
terminal formamido group, b) attachment of an unprecedented
group (cyclam) to the C terminus, c) inclusion of an alkyl spacer
between the azamacrocycle and the recognition motif and d)
complexation of metal ions (copper and zinc). It was anticipated
that these features would combine to provide structures capable of 1H NMR titration was used to examine the complexation
between the model ligand 4a and zinc(II) chloride in CD3OD by
the addition of the metal salt in 0.2-equivalent increments to a
solution of 4a up to a maximum of 1.2 equivalents (Figure 3). While much of the 1H NMR spectrum is complex, disappearance
of the signal due to the triazole proton at 7.91 ppm can be
conveniently monitored during the addition. The titration clearly
shows a 1:1 complexation stoichiometry. The appearance of
several new peaks in the 7.9–8.3 ppm region of the spectrum
indicates the presence of interconverting species in solution that
are presumably cyclam conformational isomers/diastereomers. This is supported by an approximately 1:1 correspondence
between the integral for the peaks shown at 0 equivalents of
added ZnCl2 and the new peaks shown in the spectrum after
addition of 1.50 equivalents of metal salt. Figure 1. Scheme for reagents and conditions employed in
ligand synthesis. i) EDC?HCl, HOBt, N,N-diisopropylethylamine, 3-
azidopropylamine, dichloromethane, rt; ii) CuI (10 mol%), sodium
ascorbate (20 mol%), tBuOH/water (1:1), propargyl tri-boc protected
cyclam, rt; (iii) TFA/dichloromethane (1:5), 6 h, rt, (iv) CuCl2 or ZnCl2
solution in methanol, 5 min, rt. doi:10.1371/journal.pone.0017446.g001 Introduction If azamacrocycles can be reliably
targeted in this way, it becomes possible to study their labeling and
nuclease functions for diverse applications. This report describes
the first synthesis of lexitropsin-cyclam complexes and the nature
of their interaction with oligonucleotides. Cyclam was chosen as
the azamacrocycle in this study since this ligand has found wide
use in biology and medicine owing to its robust and well
characterized coordination chemistry.[77] 1) Ligand Synthesis. The pyrrole acids 1a–c were coupled
with commercially-available 3-aminopropyl azide to give 2a–c
which were coupled to the protected propargyl cyclam in good
yields. Removal of the Boc groups to give the free amines
proceeded smoothly. It was noted that intermediates in the
synthesis of 1 containing deprotected amines (i.e. after removal of
Boc groups from the aminopyrrole moiety) decomposed after a few
hours at room temperature, and were therefore typically used
immediately after isolation. Compounds 2 and 3 were found to be
hygroscopic, but were effectively handled (and weighed) as
ethereal solutions. 2) Metal Complexation. Given the novelty of these cyclam
ligands it was important to characterize their metal complexation
prior to assessing their interactions with DNA. Model compound
4a, containing a single pyrrole in the side chain, was employed for
these studies as representative of the other compounds. Titration
with copper(II) chloride in methanol led to the appearance of a
peak
in
the
UV-visible
spectrum
(lmax = 590 nm,
e =
414 M21cm21) that reached a maximum absorbance with the
addition of one equivalent of CuCl2, indicating the formation of a
well-defined complex (Figure 2). The lmax is similar to previously-
reported scorpion cyclam complexes of copper.[76] The sharpness
of the transition at one equivalent of added metal salt is notable
(Figure 2, inset), and implies a high association constant between
the metal ion and ligand as has been seen with related complexes
(although this was not quantified as part of the current study). [81–82] A complexation stoichiometry of 1:1 was confirmed
by a Job plot measured at the lmax of 590 nm (Figure S22;
for a titration curve between CuCl2 and compound 4c, see Figure
S23). 2) Metal Complexation. Given the novelty of these cyclam
ligands it was important to characterize their metal complexation
prior to assessing their interactions with DNA. Model compound
4a, containing a single pyrrole in the side chain, was employed for
these studies as representative of the other compounds. Isothermal Titration Calorimetry y
The DNA binding characteristics of cyclam-lexitropsin conju-
gates 4, 5 and 6 were examined using two palindromic
oligonucleotides
d-(GGGATATATCCC)2
(oligo
I)
and
d-
(GGGCGGCCGCCC)2 (oligo II). The GC rich ends were chosen
to stabilise the DNA duplex and encourage annealing; these
sequences
have
melting
temperatures
of
36uC
and
48uC
respectively, meaning that they are duplexes under the conditions
of the ITC experiments (25uC). The middle section of the
oligonucleotide sequences was designed to probe for AT vs. GC
selectivity, and the question arose as to whether the exact sequence
of the bases in the variable region is important. Netropsin binds
less well to alternating AT sequences than continuous runs (2 or
more) of the two bases.[83] Bisbenzimidazole minor groove
binders are very sensitive to the precise arrangement, and even
sequence direction, of the bases within an AT-rich sequence[84] Figure 1. Scheme for reagents and conditions employed in
ligand synthesis. i) EDC?HCl, HOBt, N,N-diisopropylethylamine, 3-
azidopropylamine, dichloromethane, rt; ii) CuI (10 mol%), sodium
ascorbate (20 mol%), tBuOH/water (1:1), propargyl tri-boc protected
cyclam, rt; (iii) TFA/dichloromethane (1:5), 6 h, rt, (iv) CuCl2 or ZnCl2
solution in methanol, 5 min, rt. doi:10.1371/journal.pone.0017446.g001 May 2011 | Volume 6 | Issue 5 | e17446 PLoS ONE | www.plosone.org 2 Cyclam-Based Lexitropsins Figure 2. UV-vis spectrum for the titration of a solution of CuCl2 with compound 4a in methanol (graphical representation of raw
data). The increase in absorbance reaches a maximum after the addition of 1 eq CuCl2 (inset). doi:10.1371/journal.pone.0017446.g002 Figure 2. UV-vis spectrum for the titration of a solution of CuCl2 with compound 4a in methanol (graphical representation of raw
data). The increase in absorbance reaches a maximum after the addition of 1 eq CuCl2 (inset). doi:10.1371/journal.pone.0017446.g002 The concentrations of oligonucleotide and complex were
10 mM and 1000 mM respectively. Each injection (2 mL) by the
calorimeter contained 1 equivalent of ligand with respect to the
oligonucleotide. Control titrations were performed with ethidium
bromide to validate this experimental method. EtBr was chosen
for convenience; despite being an intercalator, it was important to
verify correspondence between experimental and literature ITC
values. Isothermal Titration Calorimetry The values obtained for coordination of ethidium bromide
with
the
AT-rich
oligonucleotide
(DG = 227.6 kJ
mol21,
DH = 244.8 kJ mol21, DS = 256.9 J mol21 K21) are in broad
agreement with those in the literature for the titration between
ethidium bromide and the related poly[d(A-T)]-poly[d(A-T)]
(DG = 238.1 kJ mol21, DH = 241.8 kJ mol21, DS = 212.6 J
mol21 K21),[87] and as expected given its intercalative binding
mode, similar binding constants were obtained for the AT-rich
and GC-rich oligonucleotides (ca. 0.76105 M21). yet synthetic hairpin polyamides do not appear to exhibit this
sensitivity.[85] Given the difficulty of predicting the behaviour of a
novel lexitropsin, no attempt was made to pre-judge the behaviour
of the present complexes and design specific cognate sequences. However a d(polyA).d(polyT) sequence was avoided since such
oligonucleotides have unusual structures and hydration character-
istics that might obfuscate a fair comparison with the GC-rich
sequence.[86–88] The middle sequence of six bases is long enough
to give meaningful binding data based on what is known of the
distamycin/netropsin binding site.[15–16,42,89] and the n+1 rule
of thumb of lexitropsin binding.[90] Short, model oligomers of this
type are accurate models for binding characteristics with longer
DNA sequences.[91] DNA binding studies with small molecules are very sensitive to
the salt concentration of the solution.[65,79–80,92] HEPES buffer
was chosen for all experiments based on literature prece-
dents.[63,93] Ethylenediaminetetraacetic acid (EDTA) is some-
times also employed in DNA binding experiments of this type, but
was not added in the present study since its metal-coordinating
ability has the potential to make the role of the metal in the ligand
complex ambiguous. The data obtained gave Ka, DH and DS values for each
titration, as well as stoichiometry of binding; values of DG are
calculated (Table 1). No detectable binding was observed between
either oligonucleotide and the mono- or di-pyrrole compounds 4a
and 4b, cyclam itself and its copper and zinc complexes, as well as Figure 3. Zinc(II) chloride titration with model compound 4a monitored by 1H NMR spectroscopy. The ratio of the integrals of the
starting material (d 7.91 ppm) vs. the other peaks reaches a maximum after the addition of 1 eq ZnCl2 (inset). doi:10.1371/journal.pone.0017446.g003 Figure 3. Zinc(II) chloride titration with model compound 4a monitored by 1H NMR spectroscopy. The ratio of the integrals of the
starting material (d 7.91 ppm) vs. Isothermal Titration Calorimetry the other peaks reaches a maximum after the addition of 1 eq ZnCl2 (inset). doi:10.1371/journal.pone.0017446.g003 May 2011 | Volume 6 | Issue 5 | e17446 3 Cyclam-Based Lexitropsins Table 1. Binding data for selected ligands and complexes with d-(GGGATATATCCC)2 (I) and d-(GGGCGGCCGCCC)2 (II). nd = no
detectable binding. for selected ligands and complexes with d-(GGGATATATCCC)2 (I) and d-(GGGCGGCCGCCC)2 (II). nd = no Table 1. Binding data for selected ligands and complexes with d-(GGGATATATCCC)2 (I) and d-(GGGCGGCCGCCC)2 (II). nd = no
detectable binding. g
Sample
Oligo
No. sites
Ka (6105 M21)
DH (kJ mol21)
DS (J mol21 K21)
DG (kJ mol21)
4c
II
nd
-
-
-
-
I
2.360.1
2.760.3
219.960.6
37.462.2
23161.8
5c
II
nd
-
-
-
-
I
2.360.2
1.260.2
220.261.7
29.565.9
22964.9
6c
II
nd
-
-
-
-
I
2.560.2
1.560.3
220.862.0
29.566.9
23065.7
All entries are averages of two titration experiments. For a description of the calculation of errors, see Text S1.doc and Spreadsheet S1.xls. doi:10.1371/journal.pone.0017446.t001 a cyclam-triazole compound (plus its copper and zinc complexes)
with a benzyl sidechain in place of the oligopyrrole moiety.[76]
(See Figure S24) Selectivity of binding While compound 4c and its metal complexes bind the AT-rich
oligonucleotide I reasonably strongly, there is no detectable
binding with the GC-rich oligonucleotide II, indicating that these
lexitropsins distinguish AT-rich regions of DNA very effectively. It
is usual for lexitropsins to exhibit a selectivity for certain regions of
bases, but typically some binding is observed between the
lexitropsin and non-cognate sequences; for example netropsin
binds to poly[d(GC)].poly[d(GC)] with 38% of the enthalpy
change with which it binds poly[d(AT)].poly[d(AT)].[91] The
complete absence of observable binding with the GC-rich
sequence, as is the case here, is unusual. This level of selectivity
presumably arises from multiple disfavoured interactions in the
binding with the GC-rich oligonucleotide; the enthalpic penalty
for base:lexitropsin mismatch is not linearly additive, with single
mismatches being quite well tolerated far better than multiple
mismatches.[94] Strong
binding
was
observed
between
the
three-pyrrole
conjugate 4c and both of its metal complexes 5c and 6c with
the AT-rich oligonucleotide I (Figure 4), but no binding was
observed between any of these compounds and the GC-rich
oligonucleotide II. The strength of the interactions between the
AT-rich oligonucleotide and the unmetallated ligand 4c, its
copper complex 5c and zinc complex 6c were approximately of
the same magnitude (Table 1). General remarks The binding of the three-pyrrole compound and its complexes
to AT-rich DNA occurred with a binding constant of ca. 1–
36105 M21. This strength of association compares favourably
with other metal complex derivatives of lexitropsins noted in the
introduction and related three-pyrrole lexitropsins,[89] but is less
than that of natural lexitropsins such as distamycin itself, which
has a reported Ka of ca. 36108 M21 for related sequences.[87] Cyclam as a new C terminal modification The greatest variation in the structure of these new lexitropsins
compared to known analogs is the addition of cyclam (an
alkylamine ring) to the C-terminus. A C-terminal methylene
spacer between the pyrrole rings and the cyclam was employed in
the design, since methylene groups form favourable van der Waals
interactions with terminal A/T base pairs,[95] and the attachment
of alkylamines to lexitropsins without such a spacer leads to poor
DNA binding characteristics.[96] Cyclam is an important modification because the nature of the
C-terminal alkylamine can significantly alter lexitropsin binding
strength. Apparently trivial changes to the alkylamine tail of
lexitropsins can change their binding affinity for their cognate
sequence by up to two orders of magnitude (Table S1, Entries 1–
2).[96] Significant changes in the identity of the heterocyclic bases
in lexitropsins with alkylamine tails can affect their binding
abilities to a lesser degree (Table S1, Entries 3–4).[42] Thus while
selectivity for nucleic acid sequences can obviously be imparted by
certain sequences of Py and Im components, the nature of the
alkylamine tail also makes an essential contribution to the overall
binding strength. To verify whether the cyclam in the ligand is well placed to form
favourable interactions with the phosphate backbone, molecular
modeling was carried out on the complex formed between the AT-
rich oligonucleotide and compound 4c (as representative of all the
ligands tested). The interaction was modeled by taking the
geometry-optimized DNA oligonucleotide and after inserting an
optimized dimer of cyclam ligands into the minor groove, the
resulting DNA-dimer complex was then subjected to geometry
optimization. The results of this procedure can be seen in Figure 5. Whether a lexitropsin tail is in the correct position to interact with The lexitropsin conjugates described herein clearly show that
cyclam is well tolerated as a C-terminal modification to natural
minor groove binders. Both the unmetallated ligand and metal
complexes containing zinc and copper are tolerated to approxi-
mately the same degree, though the former has a slightly higher
binding affinity. Cyclam as a new C terminal modification While this may at first seem surprising on purely
electrostatic grounds (discussed further below), it should be
remembered that the unmetallated cyclam ring, drawn as neutral
in Figure 1 will be doubly protonated at neutral pH.[97] Interestingly C-terminal alkylamine tails on other minor groove
binders can act as a GC-directing motif, for example the
piperazine ring in the compound Hoechst 33258, which exerts
this change essentially on the steric grounds of requiring a wider
minor groove.[98] The azamacrocycle cyclam does not have this
effect in analogs 4c–6c. Figure 5. Model of the interaction between the AT-rich
oligonucleotide and ligand 4c. doi:10.1371/journal.pone.0017446.g005 Number of pyrroles required for binding The results above clearly show that three pyrroles are required
for synthetic lexitropsins of this type to bind to AT-rich DNA, a
figure that is consistent with the literature for related com- Figure 4. Representative binding affinity data for ligand 4c (left), 5c (centre) and 6c (right) to ANT-rich oligonucleotide I. doi:10.1371/journal.pone.0017446.g004 Figure 4. Representative binding affinity data for ligand 4c (left), 5c (centre) and 6c (right) to ANT-rich oligonucleotide I. doi:10.1371/journal.pone.0017446.g004 Figure 4. Representative binding affinity data for ligand 4c (left), 5c (centre) and 6c (right) to ANT-rich oligonucleotide I. doi:10.1371/journal.pone.0017446.g004 PLoS ONE | www.plosone.org May 2011 | Volume 6 | Issue 5 | e17446 PLoS ONE | www.plosone.org 4 Cyclam-Based Lexitropsins pounds.[1,79] While naturally-occurring netropsin has only two
pyrroles, the two charged groups at either end of the structure (and
analogs[58,68]) can compensate by giving rise to favourable
electrostatic interactions with the helix.[16] Metal preference and metallated vs. unmetalated ligands Metal preference and metallated vs. unmetalated ligands
The cyclam-lexitropsin conjugates described here show essen-
tially the same binding characteristics whether the cyclam is
unmetalated vs. when copper or zinc is coordinated. The
implication is that the metal complex plays no role in binding. The similar size of these conjugates to literature examples in which
the metal is known to interact with the DNA, suggest that the
cyclam should be geometrically able to do so. One possible
explanation for the apparent absence of metal-DNA interactions
in our systems is that the scorpion ligand structure, in which the
triazole is coordinated to the metal ion, effectively hides the metal
and prevents it from binding the oligonucleotide. In contrast to
previous results with an avidin/biotin couple,[76] it appears that
binding of the DNA does not lead to altered metal coordination in
the scorpion complex. In a report of a cobalt-bleomycin-
lexitropsin compound the metal-free ligand had a binding affinity
with its target (4.756104 M21) that was only slightly lower than
that for the metalated version (2.266105 M21) and a similar
‘‘shielding’’ of the metal from the DNA backbone by bulky ligand
substituents was proposed.[58] In contrast Li et al. recently
reported a Zn-lexitropsin conjugate based on the bis(2-benzimi-
dazolyl-methyl)amine scaffold, in which the metal is available for
coordination, and which exhibited a 3-fold enhancement of
affinity for AT-rich oligonucleotides compared to the metal-free
ligand.[73] PLoS ONE | www.plosone.org Conclusion A consideration of both binding enthalpy and entropy is
important, rather than solely the binding free energy, since
enthalpic and entropic changes in small molecule-DNA binding
can compensate for one another to give a misleading free energy
change.[87] ITC can give valuable information above and beyond
what may be gleaned from other analytical methods.[105–106]
Certain mechanisms of DNA binding can give rise to specific
signatures in the resulting thermodynamic data – thus minor
groove binding interactions tend to entropically driven, while
intercalation is often enthalpically-driven; lexitropsins are an
exception to this rule of thumb and the –TDS term for lexitropsin-
DNA binding can be large.[107] The magnitude and selectivity of the binding exhibited by these
cyclam-polyamide compounds is gratifying for the reasons detailed
above. Despite lacking a terminal formamide, not necessarily
incorporating an optimized DNA sequence for binding, and in the
face of literature precedent showing that unoptimised alkylamines
can significantly reduce the binding efficiency of lexitropsins, the
Ka values observed for the three conjugates that exhibit binding
are high, with complete selectivity for the AT-rich oligonucleotide
over the GC-rich sequence. The data (and modeling) show that in
the cases studied, there was little influence of the nature of the
cyclam and coordinated metal on the degree of DNA binding. This arises because once the lexitropsin binds as a dimer in the
minor groove, the cyclam is positioned beyond the backbone of
the DNA helix. The lexitropsins 4c–6c do not show the enthalpy-entropy
compensation
that
is
expected[87,108]
but
not
absolutely
required[109] in drug-receptor interactions. The binding is
enthalpy-dominated, but not overwhelmingly so, with entropy
accounting for 30–40% of the change in free energy upon binding. The entropic gain is largest for the unmetallated ligand. The
favourable gain in entropy upon binding the lexitropsins may arise
from the loss of some DNA-bound water from the ‘spine of
hydration’.[110–111] though there is still disagreement as to
whether there is net water loss or gain upon minor groove binding
more generally.[107] The fact that, in contrast to distamycin
itself,[87] this gain in entropy is not offset by the sizeable
conformational constraint imposed on the lexitropsin by the
binding event,[16,112] may be due to the lower binding affinity of
these synthetic vs. the natural ligands. There is considerable scope for modifying these structures to
optimize binding, and to position the cyclam and its complexes for
interaction with the DNA backbone. Binding stoichiometry Another future application of complexes of this type is as
imaging agents for the presence of specific DNA sequences using
complexes whose optical properties change upon binding. The
attachment of cyclams also offers potential improvements in the
cell permeability of the resulting lexitropsins: it is known that zinc
sensors based on related triazole-cyclam motifs are cell-perme-
able,[81] while hairpin polyamides themselves have limited
cellular penetration.[9] g
y
The compounds in the present work bind with a 2:1
stoichiometry to AT-rich oligonucleotides, despite being pyrrole
rich and being potentially multiply charged under the conditions
employed. It is known that lexitropsins can bind to DNA and
oligonucleotides with either a 1:1[16,113] or 2:1[114–116]
stoichiometry depending on factors including the nucleobase
sequence and the identity and concentration of the ligand.[117]
The level of cooperativity in binding also depends on the base
sequence and the nature of the polyamide.[42,118] Pyrrole-based
polyamides (in contrast to those containing other heterocycles such
as imidazoles) often bind with negative cooperativity, which can
arise
from
a
positive
enthalpic
cooperativity
but
strongly
unfavourable entropic factors for the binding of the second
ligand.[119–120] However, there are cases where little coopera-
tivity is shown.[121] It is sometimes expected that pyrrole-based
lexitropsins will bind with 1:1 stoichiometry because DNA
sequences consisting exclusively of A and T bases have a narrower
minor groove, but this is not always the case.[115] Charge is an
important factor in determining binding stoichiometry; it is
expected that monocationic lexitropsins will bind oligonucleotides
with a 2:1 stoichiometry, unlike dicationic netropsin that typically
binds with 1:1 stoichiometry.[119] N-Terminal changes Removal of the N-formamido moiety from lexitropsins can
significantly reduce their binding affinity for DNA,[89,99] but
does not necessarily eliminate it.[100] Many analogs are known in
which this group has been replaced with related structures that
modify binding affinities,[44,99,101–102] and significant changes
in this region have been tolerated, for example some of the metal
complex-lexitropsin
conjugates
described
in
the
introduc-
tion.[55,60,65,72] However, the reduction in binding affinity for
Py-Py-Py (the lexitropsin scaffold of interest here) when the N-
formamido moiety is removed is smaller than for other lexitropsins
(one order of magnitude, from ca. 105 to ca. 104 M21 for
formamide-PyPyPy vs. PyPyPy, Table S1, Entries 5–6).[89] It is
thought that the formamide affects the way the molecule stacks as
a dimer in the minor groove,[89] but poly-Py lexitropsins can bind
as monomers.[42] The effect of removing the N-formyl group also
varies with lexitropsin structure, and the effects are different for
hairpin- and cross-linked lexitropsins.[103] As might be expected
from these observations, the binding affinities observed for the
novel lexitropsin conjugates in the present work imply that the
removal of the terminal N-formamido is not prohibitive for
binding. Figure 5. Model of the interaction between the AT-rich
oligonucleotide and ligand 4c. doi:10.1371/journal.pone.0017446.g005 PLoS ONE | www.plosone.org PLoS ONE | www.plosone.org May 2011 | Volume 6 | Issue 5 | e17446 PLoS ONE | www.plosone.org 5 Cyclam-Based Lexitropsins data. However since there is no such discontinuity, binding is
either statistical (no cooperativity) or there is cooperativity but two
molecules of the lexitropsin bind simultaneously to a single
oligonucleotide, rather than in a statistical 1:1 binding.[118,120]
Such cooperativity has been shown for the binding of distamycin
to d(CGCATATATGCG)2.[122] Hence the value for Ka should
formally be thought of as a combination of the two contributing
binding events, i.e. (K1K2)1/2. the minor groove depends on both the lexitropsin structure and its
mode of binding.[104] It is clear here, however, that the expected
binding mode is observed for the lexitropsin in the minor groove
(offset stacked dimer), yet the cyclam is situated well outside the
double helix and appears to form no favourable interactions with
the DNA backbone. An identical mode of binding was seen when
one of the metal complexes (6c) was modeled in this way. Conclusion Of particular interest will be
to vary the structure of the scorpion ligand to facilitate metal
interaction with the DNA helix upon binding, so as to permit the
future development of sequence-specific DNA cleavage. Future
study of the potential nuclease activity of the metal centre would
likely employ the related azamacrocycle cyclen, the metal
complexes of which are known to promote phosphodiester
cleavage in model systems[123] and AT-specific oligonucleotide
binding (when conjugated to intercalating moieties).[124] The
synthetic accessibility of these conjugates makes such optimization
and diversification straightforward. PLoS ONE | www.plosone.org Cyclam-Based Lexitropsins The stock ligand
solution (1000 mM) was diluted to a concentration of 10 mM with
the buffer solution prior to ITC experiments and was titrated into
the DNA solution. Single stranded DNA oligos were supplied by
Geneworks and dissolved in buffer (10 mM HEPES, 100 mM
sodium chloride, pH 7.0) and shaken gently at 25uC for 2 days to
yield double stranded oligonucleotides to a stock concentration of
100 mM determined using a Nanodrop 1000 spectrophotometer
(Thermo scientific version 3.6.0). A correction was made for the
heat of dilution of the ligands, estimated from the peaks obtained
from injections at the end of a given ITC experiment (following
saturation). Calorimetry. DNA binding studies were performed on an
iTC200 Microcalorimeter made of HastelloyH Alloy C-276. The
system was operated at 25uC with a coin cell design with a
capacity of 200 mL and a titration syringe with a capacity of
40 mL. The amount injected was 2 mL per 150 seconds with a
stirring rate of 1000 rpm. The stock solution of DNA in the
calorimeter chamber was 10 mM in 10 mM HEPES buffer
containing 100 mM NaCl and the ligand. The stock ligand
solution (1000 mM) was diluted to a concentration of 10 mM with
the buffer solution prior to ITC experiments and was titrated into
the DNA solution. Single stranded DNA oligos were supplied by
Geneworks and dissolved in buffer (10 mM HEPES, 100 mM
sodium chloride, pH 7.0) and shaken gently at 25uC for 2 days to
yield double stranded oligonucleotides to a stock concentration of
100 mM determined using a Nanodrop 1000 spectrophotometer
(Thermo scientific version 3.6.0). A correction was made for the
heat of dilution of the ligands, estimated from the peaks obtained
from injections at the end of a given ITC experiment (following
saturation). Complexation
of
copper(II)
and
zinc(II)
cyclam
derivatives (E). To N-functionalized cyclam (1.0 eq) was
added
copper(II)
chloride
or
zinc(II)
chloride
solution
in
methanol (73.4 mM, 1.0 eq) and stirring was continued at rt for
10 min. Methanol was evaporated in vacuo and HEPES buffer
(10 mM containing 100 mM NaCl) was added to give a final
ligand concentration of 1000 mM. Cyclam-Based Lexitropsins measurements were taken of cyclam complex (1.0 eq) dissolved in
methanol (1 mL). Copper(II) chloride (73.4 mM) was added in 0.2
eq aliquots until 2 eq had been added. Measurements were taken
after 30 s of stirring. For the Job plot a series of metal and ligand
mixtures was prepared, such that the total molarity was the same
while changing the metal and ligand ratio at 0.2 eq intervals.[125]
The maximum absorbance obtained from these solutions at a
particular wavelength was plotted against the mole ratio of ligand. NMR. 1H and
13C Nuclear Magnetic Resonance spect-
roscopy was performed on either a Bruker Avance DPX 200
Spectrometer or a Bruker Avance DPX 300 Spectrometer. For the
zinc titration experiment, the cyclam ligands were dissolved in
CD3OD (to 5.6 mM) and a solution of zinc(II) chloride in CD3OD
(73.4 mM) was titrated to 1.2 eq in 0.2 eq increments. TFA deprotection of Boc groups (C). To the Boc-protected
compound (1.0 eq) in anhydrous dichloromethane (300 mM) was
added trifluoroacetic acid (10 eq) dropwise and stirring was
continued at rt for 6 h. The reaction was cooled to 0uC before the
addition of water (same volume as dichloromethane). Sodium
hydroxide (1 M) was added dropwise until pH 10 was reached. The mixture was extracted with chloroform (3 times). The
combined organic phases were dried (Na2SO4) and concentrated
under reduced pressure. Base deprotection of ester group (D). To the ester-
protected compound (1.0 eq) in a mixture of water/methanol
(1:1, 5 mM) was added sodium hydroxide (0.25 M, 4.0 eq) and the
solution was heated at reflux for 3 h under nitrogen. The reaction
mixture was washed with ethyl acetate (2 times) and the aqueous
phase was acidified to pH 3 with hydrochloric acid (1 M) and was
extracted with ethyl acetate (3 times). The combined organic
phases were dried (Na2SO4) and concentrated under reduced
pressure. Calorimetry. DNA binding studies were performed on an
iTC200 Microcalorimeter made of HastelloyH Alloy C-276. The
system was operated at 25uC with a coin cell design with a
capacity of 200 mL and a titration syringe with a capacity of
40 mL. The amount injected was 2 mL per 150 seconds with a
stirring rate of 1000 rpm. The stock solution of DNA in the
calorimeter chamber was 10 mM in 10 mM HEPES buffer
containing 100 mM NaCl and the ligand. C) Molecular Modeling DNA oligonucleotide d-(GGGATATATCCC)2 was construct-
ed as the B-form regular helix using the Maestro 9.1 (Maestro,
v9.1.107, Schro¨dinger, LLC) graphical user interface. Cyclam
ligand structures were built, manipulated and adjusted for
chemical correctness using Maestro, employing MacroModel 9.8
(Macro-Model, v9.8, Schro¨dinger, LLC). Geometry minimizations
were performed on all cyclam ligands using the OPLS_2005
(MacroModel) force field and the Truncated Newton Conjugate
Gradient (TNCG). Optimizations were converged to a gradient
RMSD below 0.05 kJ/mol or continued to a maximum of 1000
iterations, at which point there were negligible changes in RMSD
gradients. Metal complex synthesis for ITC experiments: to the ligand (1
eq) was added a solution of copper(II) chloride solution (73.4 mM,
1.0 eq) in methanol or zinc(II) chloride solution (73.4 mM, 1.0 eq)
in methanol. The methanol was removed under reduced pressure
and HEPES buffer (10 mM with 100 mM NaCl) was added to
obtain a final stock ligand concentration of 1000 mM which was
kept at 0uC. These complexes were used directly in DNA binding
studies. A) General Procedures Synthesis. Novel compounds are described below; all other
compounds are described in the Scheme S1 and Text S1. The
procedure used for the couplings of the 1-methylpyrroles into longer
chains was adapted from literature[79–80] but using EDC?HCl
and HOBt as the coupling reagents. The oligonucleotides d-
(GGGATATATCCC)2 and d-(GGGCGGCCGCCC)2 and were
purchased from Geneworks (Adelaide, Australia; HPLC purified). Reagents were obtained from Sigma Aldrich, Fluka, Novabiochem
or Alfa Aesar and used directly without further purification. Milli-Q
water was used in all physical measurements. NMR spectra for
novel compounds are provided along with the .dx files (NMR Data
S1.zip) which may be read by any NMR processing software. Given the 2:1 binding stoichiometry of lexotropsins 4c–6c to
oligo I, it might be expected that the association constants for the
first and second binding events could be deconvoluted, or that the
two binding events would be clear from a discontinuity in the ITC UV-vis. UV-vis spectra were recorded on a Cary 4E UV-vis
spectrophotometer between 290 and 900 nm using a 1 cm61 cm
quartz cuvette. For the copper(II) complex titration experiment, UV-vis. UV-vis spectra were recorded on a Cary 4E UV-vis
spectrophotometer between 290 and 900 nm using a 1 cm61 cm
quartz cuvette. For the copper(II) complex titration experiment, PLoS ONE | www.plosone.org May 2011 | Volume 6 | Issue 5 | e17446 May 2011 | Volume 6 | Issue 5 | e17446 6 Cyclam-Based Lexitropsins D) Synthesis of Novel Compounds N-(3-Azidopropyl)-1-methylpyrrole-2-carboxamide
2a. 1-Methylpyrrole-2-carboxylic acid 1a (0.24 g, 2.0 mmol, 1 eq)
and
3-azidopropylamine
(0.26 g,
2.6 mmol,
1.3
eq)
were
coupled using general procedure A with purification by flash
column chromatography (1:1 ethyl acetate/hexane, RF 0.31)
yielding 2a (0.34 g, 82%) as a light yellow oil; IR (ATR) 2091,
1631 cm21; 1H NMR (200 MHz, CDCl3) d 6.69–7.72 (1H, m,
Ar), 6.51 (1H, dd, J 3.9 & 1.6, Ar), 6.07 (1H, dd, J 3.9 & 2.6,
Ar), 5.96–6.05 (1H, br s, NH), 3.94 (3H, s, CH3), 3.46 (2H, t, J
6.6 Hz, H1), 3.41 (2H, t, J 6.6 Hz, H3), 1.86 (2H, qn, J 6.6 Hz,
H2) (Figure S1); 13C NMR (50.3 MHz, CDCl3) d 161.9 (C = O),
127.4 (Ar), 125.2 (Ar), 111.5 (Ar), 106.7 (Ar), 48.8, 36.2, 36.0,
28.6 (Figure S2); MS (APCI) m/z 108.0 (C6H8NO+, 86%),
208.0 (MH+, 29%); HRMS (APCI) calcd for C9H14N5O+
208.11984 found 208.11929 (MH+). B) Typical General Synthetic Procedures For cyclam-based compounds an NMR assignment convention (
)
(
)
(
)
2.52 (2H, m, Hc), 2.12–2.23 (2H, m, Hi), 1.80–1.96 (2H, m, Hd),
13 1.63 1.79 (2H, m, H ), 1.43 (27H, s, 3 C(CH3)3) (Figure S9);
C
NMR (50.3 MHz, CDCl3) d 162.1, 159.3, 155.8, 155.6, 128.3,
125.5, 122.9, 121.6, 119.1, 111.9, 107.3, 103.6, 79.6, 46.0–47.8
(several peaks), 36.8, 36.5, 36.3, 29.9, 28.5 (Figure S10); MS (ESI)
m/z 868.4 (MH+, 56%), 890.6 (MNa+, 100%); HRMS (ESI) calcd
for C43H70N11O8
+ 868.54088 found 868.54034 (MH+). 43
70
11
8
(
)
Tri-tert-butyl 11-((1-(3-(1-methyl-4-(1-methyl-4-(1-methyl-
1H-pyrrole-2-carboxamido)-1H-pyrrole-2-carboxamido)-1H-
pyrrole-2-carboxamido)propyl)-1H-1,2,3-triazol-4-yl)methyl)-
1,4,8,11-tetraazacyclotetradecane-1,4,8-tricarboxylate
3c[81]. Tri-Boc propargyl cyclam (47 mg, 0.088 mmol, 0.93 eq) and
methylpyrrole azide 2c (43 mg, 0.095 mmol, 1 eq) were reacted
together according to procedure B yielding a light yellow oil, which
was purified by flash column chromatography (ethyl acetate, RF
0.31) yielding 3c (73 mg, 78%) as a hygroscopic white gum; IR
(ATR) 3316, 2975, 2935, 1685 cm21;
1H NMR (300 MHz,
CDCl3) d 8.07–8.55 (1H, br s, NH), 8.25–8.56 (2H, m, NH), 7.52
(1H, s, Hg), 6.70–6.90 (5H, m, Ar), 6.46–6.54 (1H, m, Ar), 6.02–
6.08 (1H, m, Ar), 4.39 (2H, m, Hh), 3.92 (3H, s, NCH3), 3.86 (3H, s,
NCH3), 3.82 (3H, s, NCH3), 3.62–3.80 (2H, m, Hj), 3.00–3.60
(14H, m, Ha,f), 2.52–2.65 (2H, m, Hb), 2.30–2.50 (2H, m, Hc), 2.10–
2.22 (2H, m, Hi), 1.80–1.95 (2H, m, Hd), 1.60–1.75 (2H, m, He),
1.42 (27H, s, 3 C(CH3)3) (Figure S11); 13C NMR (50.3 MHz,
CDCl3) d 162.1, 159.5, 159.0, 155.8, 128.3, 125.5, 123.0, 122.8,
121.7, 119.4, 119.2, 112.2, 107.3, 104.0, 103.6, 79.6, 44–50 (several
peaks), 36.7, 36.6, 30.0, 28.4 (Figure S12); MS (ESI) m/z 1012.8
(MNa+, 100%); HRMS (ESI) calcd for C49H76N13O9
+ 990.58890
found 990.58835 (MH+). 13C NMR (75.5 MHz, CDCl3) d 161.9 (C= O), 159.6 (C=O),
159.0 (C =O), 128.4 (Ar), 125.3 (Ar), 123.2 (Ar), 122.9 (Ar), 121.5
(Ar), 121.3 (Ar), 119.5 (Ar), 119.0 (Ar), 112.3 (Ar), 107.3 (Ar), 104.0
(Ar), 103.5 (Ar), 49.2, 36.8, 36.7, 36.4, 36.4, 28.8 (Figure S6); MS
(ESI) m/z 452.1 (MH+, 68%), 474.3 (MNa+, 75%); HRMS (ESI)
calcd for C21H25N9NaO3
+ 474.19781 found 474.19726 (MNa+). For cyclam-based compounds an NMR assignment convention
is used as shown in Figure 6. g
Tri-tert-butyl
11-((1-(3-(1-methyl-1H-pyrrole-2-carboxa-
mido)propyl)-1H-1,2,3-triazol-4-yl)methyl)-1,4,8,11-tetraaz-
acyclotetradecane-1,4,8-tricarboxylate 3a[76]. B) Typical General Synthetic Procedures (
y
) y
g
(
g
)
yg
p
white gum; IR (ATR) 3337, 2974, 1681 cm21;
1H NMR
(300 MHz, CDCl3) d 8.05 (1H, s, NH), 7.50 (1H, s, Hg), 6.55–
6.80 (5H, m, Ar, NH), 6.08 (1H, dd, J 3.9, 2.6 Hz, Ar), 4.38–4.50
(2H, m, Hh), 3.95 (3H, s, N(CH3)), 3.88 (3H, s, N(CH3)), 3.68–3.78
(2H, m, Hj), 3.20–3.45 (14H, m, Ha,f), 2.57–2.65 (2H, m, Hb), 2.36–
2 52 (2H
Hc) 2 12 2 23 (2H
Hi) 1 80 1 96 (2H
Hd) N-(3-Azidopropyl)-1-methyl-4-(1-methyl-4-(1-methyl-1H-py-
rrole-2-carboxamido)-1H-pyrrole-2-carboxamido)-1H-pyrro-
le-2-carboxamide 2c. Pyrrole amide carboxylic acid 1c (104 mg,
0.42 mmol, 1 eq) and 3-azidopropylamine (55 mg, 0.55 mmol, 1.3
eq) were coupled using procedure A. The residue was purified by
flash column chromatography (ethyl acetate, RF 0.59) yielding 2c
(122 mg, 96%) as a light yellow oil; 1H NMR (300 MHz, CDCl3) d
8.46 (1H, br s, NH), 8.15 (1H, br s NH), 8.05 (1H, br s, NH), 6.88–
6.94 (3H, m, Ar), 6.80–6.82 (1H, m, Ar), 6.68–6.71 (1H, m, Ar),
6.61–6.67 (1H, m, Ar), 6.21–6.25 (1H, m, Ar), 4.09 (3H, s, NCH3),
3.98 (3H, s, NCH3), 3.95 (3H, s, NCH3), 3.42–3.70 (4H, m,
CH2CH2CH2N3), 1.93–2.10 (2H, m, CH2CH2CH2N3) (Figure S5);
13C NMR (75 5 MH
CDCl ) d 161 9 (C
O) 159 6 (C
O) N-(3-Azidopropyl)-1-methyl-4-(1-methyl-4-(1-methyl-1H-py-
rrole-2-carboxamido)-1H-pyrrole-2-carboxamido)-1H-pyrro-
le-2-carboxamide 2c. Pyrrole amide carboxylic acid 1c (104 mg,
0.42 mmol, 1 eq) and 3-azidopropylamine (55 mg, 0.55 mmol, 1.3
eq) were coupled using procedure A. The residue was purified by
flash column chromatography (ethyl acetate, RF 0.59) yielding 2c
(122 mg, 96%) as a light yellow oil; 1H NMR (300 MHz, CDCl3) d
8.46 (1H, br s, NH), 8.15 (1H, br s NH), 8.05 (1H, br s, NH), 6.88–
6.94 (3H, m, Ar), 6.80–6.82 (1H, m, Ar), 6.68–6.71 (1H, m, Ar),
6.61–6.67 (1H, m, Ar), 6.21–6.25 (1H, m, Ar), 4.09 (3H, s, NCH3),
3.98 (3H, s, NCH3), 3.95 (3H, s, NCH3), 3.42–3.70 (4H, m,
CH2CH2CH2N3), 1.93–2.10 (2H, m, CH2CH2CH2N3) (Figure S5);
13C NMR (75.5 MHz, CDCl3) d 161.9 (C= O), 159.6 (C=O),
159.0 (C =O), 128.4 (Ar), 125.3 (Ar), 123.2 (Ar), 122.9 (Ar), 121.5
(Ar), 121.3 (Ar), 119.5 (Ar), 119.0 (Ar), 112.3 (Ar), 107.3 (Ar), 104.0
(Ar), 103.5 (Ar), 49.2, 36.8, 36.7, 36.4, 36.4, 28.8 (Figure S6); MS
(ESI) m/z 452.1 (MH+, 68%), 474.3 (MNa+, 75%); HRMS (ESI)
calcd for C21H25N9NaO3
+ 474.19781 found 474.19726 (MNa+). B) Typical General Synthetic Procedures B) Typical General Synthetic Procedures Peptide coupling (A). To the carboxylic acid (1.0 eq) and
amine (1.3 eq) in anhydrous dichloromethane (solution is ca. 125 mM in acid) were added EDC?HCl (1.2 eq), HOBt (1.2 eq)
and N,N-diisopropylethylamine (3.0 eq). The reaction mixture was
stirred at rt under nitrogen for 12 h. Sodium bicarbonate solution
(10% w/v) was added dropwise to the reaction mixture until
pH 10 was reached and the reaction mixture was extracted with
dichloromethane (3 times). The combined organic phases were
dried (Na2SO4) and concentrated under reduced pressure. ‘Click’ reaction (B). Alkyne (0.93 eq) and azide (1.0 eq) were
dissolved in a mixture of water/tert-butanol (1:1, to give 100 mM
solution in azide) and stirred at 27uC under nitrogen. A solution of
copper(II) sulfate pentahydrate (0.31 mmol, 0.1 eq) and sodium
ascorbate (0.62 mmol, 0.2 eq) in water (to give a solution that was
125 mM in copper) was added to the reaction mixture and stirring
was continued for 16 h. The reaction was quenched with saturated
sodium bicarbonate solution until pH 10 was reached and the
mixture extracted with dichloromethane (3 times). The combined
organic phases were dried (Na2SO4) and concentrated under
reduced pressure. ‘Click’ reaction (B). Alkyne (0.93 eq) and azide (1.0 eq) were
dissolved in a mixture of water/tert-butanol (1:1, to give 100 mM
solution in azide) and stirred at 27uC under nitrogen. A solution of
copper(II) sulfate pentahydrate (0.31 mmol, 0.1 eq) and sodium
ascorbate (0.62 mmol, 0.2 eq) in water (to give a solution that was
125 mM in copper) was added to the reaction mixture and stirring
was continued for 16 h. The reaction was quenched with saturated
sodium bicarbonate solution until pH 10 was reached and the
mixture extracted with dichloromethane (3 times). The combined
organic phases were dried (Na2SO4) and concentrated under
reduced pressure. N-(3-Azidopropyl)-1-methyl-4-(1-methyl-1H-pyrrole-2-ca-
rboxamido)-1H-pyrrole-2-carboxamide
2b. B) Typical General Synthetic Procedures Tri-Boc pro-
pargyl cyclam (0.70 g, 1.30 mmol, 0.93 eq) and azide 2a (0.29 g,
1.4 mmol, 1 eq) were reacted together according to procedure B,
giving a white gum which was purified by flash column
chromatography (ethyl acetate, RF 0.20) yielding 3a (0.79 g, 81%)
as a white solid; mp 72–74uC; IR (ATR) 3366, 1687, 1544 cm21;
1H NMR (300 MHz, CDCl3) d 7.51 (1H, br s, Hg), 6.69–6.72 (1H,
m, Ar), 6.59–6.66 (1H, m, Ar), 6.30–6.57 (1H, br s, NH), 6.05–6.09
(1H, m, Ar), 4.44 (2H, t, J 6.7 Hz, Hh), 3.93 (3H, s, NCH3), 3.74
(2H, s, Hf), 3.68–3.85 (2H, m, Hj), 3.20–3.50 (12H, m, Ha), 2.58–
2.70 (2H, m, Hb), 2.40–2.50 (2H, m, Hc), 2.16–2.36 (2H, m, Hi),
1.80–2.00 (2H, m, Hd), 1.65–1.80 (2H, m, He), 1.44 (27H, s,
C(CH3)3) (Figure S7); 13C NMR (50.3 MHz, CDCl3) d 162.0,
155.4, 155.1, 127.5, 125.1, 122.6, 111.8, 79.1, 77.6, 77.0, 76.4,
59.9, 46.0–47.5 (multiple peaks), 36.3, 35.9, 30.1, 28.1 (Figure S8);
MS (ESI) m/z 746.3 (MH+, 61%), 768.3 (MNa+, 100%), HRMS
(ESI) calcd for C37H64N9O7
+ 746.49287 found 746.49162 (MH+). N-(3-(4-((1,4,8,11-Tetraazacyclotetradecan-1-yl)methyl)-1H-
1,2,3-triazol-1-yl)propyl)-1-methyl-1H-pyrrole-2-carboxamide
4a[81]. Monomethylpyrrole tri-Boc-protected cyclam 3a (0.55 g,
0.74 mmol 1 eq) was deprotected according to general procedure C
yielding 4a as a colourless oil. The product was purified by reverse
phase HPLC (2% CH3CN for 5 min, ramping to 60% over 40 min,
tR 20.7 min, Alltech-Altima C18 column (10 mm, 22 mm ID,
300 mm, 7 mL/min)) to yield compound 4a (0.24 g, 72%) as a
white foam; IR (ATR) 3272, 1634, 1546 cm21; 1H NMR (200 MHz,
CDCl3) d 7.51 (1H, s, Hg), 6.95 (1H, br s, NH), 6.48–6.55 (1H, m, Ar),
6.40–6.48 (1H, m, Ar), 5.80–5.90 (1H, m, Ar), 4.25 (2H, t, J 6.2 Hz,
Hh), 3.75 (3H, s, NCH3), 3.63 (2H, s, Hf), 3.16 (2H, m, Hj), 2.20–2.70
(16H, m, Ha,b,c), 1.87–2.10 (2H, m, Hi), 1.58–1.66 (2H, m, Hd), 1.60–
1.58 (2H, m, He) (Figure S13); 13C NMR (75.5 MHz, CDCl3) d
162.0, 143.8, 127.4, 125.1, 122.6, 111.7, 106.7, 54.1, 52.2, 50.4, 49.0,
48.8, 48.3, 47.6, 47.4, 46.8, 46.7, 36.2, 35.7, 30.1, 28.4, 25.7 (Figure
S14); MS (ESI) m/z 446.3 (MH+, 92%), HRMS (ESI) calcd for
C22H40N9O+ 446.33558 found 446.33463 (MH+). Figure 6. NMR spectroscopy assignment convention for
molecules containing cyclam. doi:10.1371/journal.pone.0017446.g006 N-(3-4-((1,4,8,11-Tetraazacyclotetradecan-1-yl)methyl)-1H-
1,2,3-trizol-1-yl)propyl)-1-methyl-4-(1-methyl-1H-pyrrole-2-
carboxamido)-1H-pyrrole-2-carboxamide 4b[81]. Bismeth-
ylpyrrole tri-Boc-protected cyclam 3b (278 mg, 0.32 mmol, 1 eq) N-(3-4-((1,4,8,11-Tetraazacyclotetradecan-1-yl)methyl)-1H-
1,2,3-trizol-1-yl)propyl)-1-methyl-4-(1-methyl-1H-pyrrole-2-
carboxamido)-1H-pyrrole-2-carboxamide 4b[81]. B) Typical General Synthetic Procedures Methylpyrrole
amide carboxylic acid 1b (104 mg, 0.42 mmol, 1 eq) and 3-
azidopropylamine (55 mg, 0.55 mmol, 1.3 eq) were coupled
according to procedure A, with purification by flash column
chromatography (ethyl acetate, RF 0.59) yielding 2b (122 mg,
88%) as a light yellow oil; IR (CHCl3) 3326, 2096, 1640,
1535 cm21; 1H NMR (300 MHz, CDCl3) d 7.74 (1H, br s, NH), PLoS ONE | www.plosone.org PLoS ONE | www.plosone.org May 2011 | Volume 6 | Issue 5 | e17446 7 PLoS ONE | www.plosone.org Cyclam-Based Lexitropsins 7.09–7.11 (1H, m, Ar), 6.73–6.77 (1H, m, Ar), 6.66–6.70 (1H, m,
Ar), 6.55–6.57 (1H, m, Ar), 6.05–6.15 (2H, m, Ar), 3.95 (3H, s,
NCH3), 3.86 (3H, s, NCH3), 3.35–3.55 (4H, m, CH2CH2CH2N3),
2.74–3.25 (1H, br s, NH), 1.77–1.88 (2H, m, CH2CH2CH2N3)
(Figure S3); 13C NMR (75.5 MHz, CDCl3) d 161.8 (C = O), 159.4
(C = O), 128.5 (Ar), 125.4 (Ar), 123.2 (Ar), 121.3 (Ar), 118.9 (Ar),
112.0 (Ar), 107.4 (Ar), 103.5 (Ar), 49.4, 36.9, 36.8, 36.5, 28.9
(Figure S4); HRMS (APCI) calcd for C15H19N7NaO2
+ 352.14979
found 352.14924 (MNa+). Tri-tert-butyl 11-((1-(3-(1-methyl-4-(1-methyl-1H-pyrrole-
2-carboxamido)-1H-pyrrole-2-carboxamido)propyl)-1H-1,2,
3-triazol-4-yl)methyl)-1,4,8,11-tetraazacyclotetradecane-1,4,
8-tricarboxylate 3b[76]. Tri-Boc propargyl cyclam (209 mg,
0.39 mmol, 0.93 eq) and azide 2b (138 mg, 0.42 mmol, 1 eq) were
reacted together according to general procedure B yielding a light
yellow oil, which was purified by flash column chromatography
(ethyl acetate, RF 0.18) yielding 3b (284 mg, 78%) as a hygroscopic Tri-tert-butyl 11-((1-(3-(1-methyl-4-(1-methyl-1H-pyrrole-
2-carboxamido)-1H-pyrrole-2-carboxamido)propyl)-1H-1,2,
3-triazol-4-yl)methyl)-1,4,8,11-tetraazacyclotetradecane-1,4,
8-tricarboxylate 3b[76]. B) Typical General Synthetic Procedures Tri-Boc propargyl cyclam (209 mg,
0.39 mmol, 0.93 eq) and azide 2b (138 mg, 0.42 mmol, 1 eq) were
reacted together according to general procedure B yielding a light
yellow oil, which was purified by flash column chromatography
(ethyl acetate, RF 0.18) yielding 3b (284 mg, 78%) as a hygroscopic
white gum; IR (ATR) 3337, 2974, 1681 cm21;
1H NMR
(300 MHz, CDCl3) d 8.05 (1H, s, NH), 7.50 (1H, s, Hg), 6.55–
6.80 (5H, m, Ar, NH), 6.08 (1H, dd, J 3.9, 2.6 Hz, Ar), 4.38–4.50
(2H, m, Hh), 3.95 (3H, s, N(CH3)), 3.88 (3H, s, N(CH3)), 3.68–3.78
(2H, m, Hj), 3.20–3.45 (14H, m, Ha,f), 2.57–2.65 (2H, m, Hb), 2.36–
2.52 (2H, m, Hc), 2.12–2.23 (2H, m, Hi), 1.80–1.96 (2H, m, Hd),
1.63–1.79 (2H, m, He), 1.43 (27H, s, 3 C(CH3)3) (Figure S9); 13C
NMR (50.3 MHz, CDCl3) d 162.1, 159.3, 155.8, 155.6, 128.3,
125.5, 122.9, 121.6, 119.1, 111.9, 107.3, 103.6, 79.6, 46.0–47.8
(several peaks), 36.8, 36.5, 36.3, 29.9, 28.5 (Figure S10); MS (ESI)
m/z 868.4 (MH+, 56%), 890.6 (MNa+, 100%); HRMS (ESI) calcd
for C43H70N11O8
+ 868 54088 found 868 54034 (MH+) (ethyl acetate, RF 0.18) yielding 3b (284 mg, 78%) as a hygroscopic
white gum; IR (ATR) 3337, 2974, 1681 cm21;
1H NMR
(300 MHz, CDCl3) d 8.05 (1H, s, NH), 7.50 (1H, s, Hg), 6.55–
6.80 (5H, m, Ar, NH), 6.08 (1H, dd, J 3.9, 2.6 Hz, Ar), 4.38–4.50
(2H, m, Hh), 3.95 (3H, s, N(CH3)), 3.88 (3H, s, N(CH3)), 3.68–3.78
(2H, m, Hj), 3.20–3.45 (14H, m, Ha,f), 2.57–2.65 (2H, m, Hb), 2.36–
2.52 (2H, m, Hc), 2.12–2.23 (2H, m, Hi), 1.80–1.96 (2H, m, Hd),
1.63–1.79 (2H, m, He), 1.43 (27H, s, 3 C(CH3)3) (Figure S9); 13C
NMR (50.3 MHz, CDCl3) d 162.1, 159.3, 155.8, 155.6, 128.3,
125.5, 122.9, 121.6, 119.1, 111.9, 107.3, 103.6, 79.6, 46.0–47.8
(several peaks), 36.8, 36.5, 36.3, 29.9, 28.5 (Figure S10); MS (ESI)
m/z 868.4 (MH+, 56%), 890.6 (MNa+, 100%); HRMS (ESI) calcd
for C43H70N11O8
+ 868.54088 found 868.54034 (MH+). p
(TIF) 2.70 (2H, m, Hb), 2.50–2.63 (2H, m, Hc), 2.15–2.25 (2H, m, Hi),
1.80–1.90 (2H, m, Hd), 1.65–1.75 (2H, m, He) (Figure S15); 13C Figure S1
CDCl3, 400 MHz
1H NMR spectrum of N-(3-
azidopropyl)-1-methylpyrrole-2-carboxamide (2a). (TIFF) NMR (50.3 MHz, CDCl3) 161.7, 159.4, 144.4, 128.0, 125.4,
123.0, 121.7, 119.1, 122.2, 106.9, 104.6 103.5, 54.5, 53.4, 53.1,
52.6, 50.2, 49.0, 48.4, 48.0, 47.2, 46.6, 36.4, 36.2, 29.4, 27.1, 25.0
(Figure S16); MS (ESI) m/z 568.3 (MH+, 100%); HRMS (ESI)
calcd for C28H46N11O2
+ 568.38359 found 568.38305 (MH+). Figure S2
CDCl3, 50.3 MHz
13C NMR spectrum of N-(3-
azidopropyl)-1-methylpyrrole-2-carboxamide (2a). (TIFF) 28
46
11
2
(
)
N-(3-(4-((1,4,8,11-Tetraazacyclotetradecan-1yl)methyl)-1H-
1,2,3-triazol-1-yl)propyl)-1-methyl-4-(1-methyl-4-(1-methyl-1H-
pyrrole-2-carboxamido)-1H-pyrrole-2-carboxamido)-1H-pyrr-
ole-2-carboxamide 4c[81]. Three-methylpyrrole tri-Boc-prot-
ected cyclam 3c (70 mg, 0.074 mmol, 1 eq) was deprotected
according to general procedure C yielding compound 4c (41 mg,
98%) as a pale yellow gum without any further purification; IR
(ATR) 3267, 2924, 1635 cm21; 1H NMR (300 MHz, CDCl3) d
9.35 (2H, br s, 2 NH), 7.67 (1H, s, Hg), 7.51 (1H, br s, NH), 7.42–
7.47 (1H, m, Ar), 7.38–7.42 (1H, m, Ar), 7.05–7.16 (1H, m, Ar),
6.88–6.95 (1H, m, Ar), 6.81–6.88 (1H, m, Ar), 6.65–6.75 (1H, m,
Ar), 5.97–6.06 (1H, m, Ar), 5.00–5.85 (3H, br s, NH), 4.30–4.40
(2H, m, Hh), 3.93 (3H, s, NCH3), 3.88 (3H, s, NCH3), 3.81 (3H, s,
NCH3), 3.48–3.58 (2H, m, Hf), 3.27–3.40 (2H, m, Hj), 2.65–2.90
(12H, m, Ha), 2.51–2.62 (2H, m, Hb), 2.43–2.51 (2H, m, Hc), 2.10–
2.20 (2H, m, Hi), 1.72–1.80 (2H, m, Hd), 1.60–1.72 (2H, m, He)
(Figure S17); 13C NMR (75.5 MHz, CDCl3) d 162.0, 159.3, 158.9,
144.1, 128.1, 125.2, 123.3, 122.3, 122.2, 122.0, 121.8, 119.3, 118.8,
114.7, 112.8, 107.1, 103.6, 54.3, 50.0, 48.8, 48.5, 48.2, 47.7, 47.2,
46.1, 45.3, 36.9, 36.6, 36.5, 29.6, 29.2, 23.9 (Figure S18); MS (ESI)
m/z 690.3 (MH+, 100%), HRMS (ESI) calcd for C34H52N13O3
+
690.43161 found 690.43152 (MH+). N-(3-(4-((1,4,8,11-Tetraazacyclotetradecan-1yl)methyl)-1H-
1,2,3-triazol-1-yl)propyl)-1-methyl-4-(1-methyl-4-(1-methyl-1H-
pyrrole-2-carboxamido)-1H-pyrrole-2-carboxamido)-1H-pyrr-
ole-2-carboxamide 4c[81]. (TIFF) Figure S4
CDCl3, 75.5 MHz
13C NMR spectrum of N-(3-
azidopropyl)-1-methyl-4-(1-methyl-1H-pyrrole-2-carboxamido)-1H-
pyrrole-2-carboxamide (2b). (TIFF) Figure S5
CDCl3, 300 MHz
1H NMR spectrum of N-(3-
Azidopropyl)-1-methyl-4-(1-methyl-4-(1-methyl-1H-pyrrole-2-carb-
oxamido)-1H-pyrrole-2-carboxamido)-1H-pyrrole-2-carboxamide
(2c). (TIFF) (12H, m, Ha), 2.51–2.62 (2H, m, Hb), 2.43–2.51 (2H, m, Hc), 2.10–
2.20 (2H, m, Hi), 1.72–1.80 (2H, m, Hd), 1.60–1.72 (2H, m, He)
13 Figure S6
CDCl3, 75.5 MHz
13C NMR spectrum of N-(3-
azidopropyl)-1-methyl-4-(1-methyl-4-(1-methyl-1H-pyrrole-2-car-
boxamido)-1H-pyrrole-2-carboxamido)-1H-pyrrole-2-carboxa-
mide (2c). (TIFF) (Figure S17); 13C NMR (75.5 MHz, CDCl3) d 162.0, 159.3, 158.9,
144.1, 128.1, 125.2, 123.3, 122.3, 122.2, 122.0, 121.8, 119.3, 118.8, 114.7, 112.8, 107.1, 103.6, 54.3, 50.0, 48.8, 48.5, 48.2, 47.7, 47.2,
46.1, 45.3, 36.9, 36.6, 36.5, 29.6, 29.2, 23.9 (Figure S18); MS (ESI) m/z 690.3 (MH+, 100%), HRMS (ESI) calcd for C34H52N13O3
+
690.43161 found 690.43152 (MH+). Figure S7
CDCl3, 300 MHz 1H NMR spectrum of tri-tert-butyl
11-((1-(3-(1-methyl-1H-pyrrole-2-carboxamido)propyl)-1H-1,2,3-
triazol-4-yl)methyl)-1,4,8,11-tetraazacyclotetradecane-1,4,8-trica-
rboxylate (3a). (TIFF) Complex 5a. Copper(II) chloride was complexed with 4a (2.0 mg,
4.50 mmol, 1.0 eq) according to general procedure D. The solution
was made up to 3 mL in methanol to a final concentration of
1
1 Complex 5a. Copper(II) chloride was complexed with 4a (2.0 mg,
4.50 mmol, 1.0 eq) according to general procedure D. The solution
was made up to 3 mL in methanol to a final concentration of Complex 5a. Copper(II) chloride was complexed with 4a (2.0 mg,
4.50 mmol, 1.0 eq) according to general procedure D. The solution
was made up to 3 mL in methanol to a final concentration of
1.50 mM; UV-vis (MeOH) lmax =590 nm, e =414 M21 cm21;
MS (ESI) m/z 543.0 (C22H39
35ClCuN9O+, 100%). Complex 6a. Zinc(II) chloride was complexed with 4a (3.2 mg,
7 2 mmol 1 0 eq) according to general procedure D MS (ESI) m/ p
1.50 mM; UV-vis (MeOH) lmax =590 nm, e =414 M21 cm21;
MS (ESI) m/z 543.0 (C22H39
35ClCuN9O+, 100%). Figure S8
CDCl3, 50.3 MHz 13H NMR spectrum of Tri-tert-
butyl
11-((1-(3-(1-methyl-1H-pyrrole-2-carboxamido)propyl)-1H-
1,2,3-triazol-4-yl)methyl)-1,4,8,11-tetraazacyclotetradecane-1,4,8-
tricarboxylate (3a). (TIFF) (
)
(
)
Complex 6a. Zinc(II) chloride was complexed with 4a (3.2 mg,
7.2 mmol, 1.0 eq) according to general procedure D. MS (ESI) m/
z 581.0 (multiplet). 1H NMR spectrum shown as Figure S19. Complex 6a. Zinc(II) chloride was complexed with 4a (3.2 mg, 7.2 mmol, 1.0 eq) according to general procedure D. MS (ESI) m/
z 581.0 (multiplet). 1H NMR spectrum shown as Figure S19. (
p
)
p
g
Complex 5b. B) Typical General Synthetic Procedures Bismeth-
ylpyrrole tri-Boc-protected cyclam 3b (278 mg, 0.32 mmol, 1 eq) N-(3-4-((1,4,8,11-Tetraazacyclotetradecan-1-yl)methyl)-1H-
1,2,3-trizol-1-yl)propyl)-1-methyl-4-(1-methyl-1H-pyrrole-2-
carboxamido)-1H-pyrrole-2-carboxamide 4b[81]. Bismeth-
ylpyrrole tri-Boc-protected cyclam 3b (278 mg, 0.32 mmol, 1 eq) Figure 6. NMR spectroscopy assignment convention for
molecules containing cyclam. doi:10.1371/journal.pone.0017446.g006 PLoS ONE | www.plosone.org May 2011 | Volume 6 | Issue 5 | e17446 8 Cyclam-Based Lexitropsins (96%), 875.1 (100%), 797.4 (93%), 795.3 (82%). 1H NMR
spectrum shown as Figure S21. p
(TIF) Three-methylpyrrole tri-Boc-prot-
ected cyclam 3c (70 mg, 0.074 mmol, 1 eq) was deprotected
according to general procedure C yielding compound 4c (41 mg,
98%) as a pale yellow gum without any further purification; IR
(ATR) 3267, 2924, 1635 cm21; 1H NMR (300 MHz, CDCl3) d
9.35 (2H, br s, 2 NH), 7.67 (1H, s, Hg), 7.51 (1H, br s, NH), 7.42–
7.47 (1H, m, Ar), 7.38–7.42 (1H, m, Ar), 7.05–7.16 (1H, m, Ar), Figure S3
CDCl3, 300 MHz
1H NMR spectrum of N-(3-
azidopropyl)-1-methyl-4-(1-methyl-1H-pyrrole-2-carboxamido)-1H-
pyrrole-2-carboxamide (2b). (TIFF) Supporting Information p
(
)
NMR (200 MHz, CDCl3) d 8.75 (1H, br s, NH), 7.65 (1H, s,
Hg), 7.32–7.36 (1H, m, Ar), 6.80–6.90 (2H, m, Ar), 6.70–7.76 (1H,
m, Ar), 6.57–6.68 (1H, m, Ar), 6.05–6.13 (1H, m, Ar), 4.40–4.50
h Scheme S1
Synthetic Scheme for Supporting Information
Compounds. (TIF) (2H, m, Hh), 3.96 (3H, s, NCH3), 3.87 (3H, s, NCH3), 3.65–3.70
(2H, m, Hf), 3.36–3.43 (2H, m, Hj), 2.70–2.85 (12H, m, Ha), 2.64–
b
i (
)
(TIFF) Figure S18
CDCl3, 75.5 MHz 13C NMR spectrum of N-(3-(4-
((1,4,8,11-tetraazacyclotetradecan-1yl)methyl)-1H-1,2,3-triazol-1-
yl)propyl)-1-methyl-4-(1-methyl-4-(1-methyl-1H-pyrrole-2-carboxa-
mido)-1H-pyrrole-2-carboxamido)-1H-pyrrole-2-carboxamide (4c). (TIFF) We would like to thank Assoc. Prof. Jacqueline Matthews, Prof. Joel
Mackay, Dr. Ron Clarke and Dr. Hank De Bruyn for their help with the
nanodrop and ITC instruments, Mingfeng Yu and Taliesha Paine
(University of Sydney) for a sample of cyclam and preliminary experiments,
respectively. We thank Prof. David Wemmer (UC Berkeley) for helpful
comments. We would like to thank Assoc. Prof. Jacqueline Matthews, Prof. Joel
Mackay, Dr. Ron Clarke and Dr. Hank De Bruyn for their help with the
nanodrop and ITC instruments, Mingfeng Yu and Taliesha Paine
(University of Sydney) for a sample of cyclam and preliminary experiments,
respectively. We thank Prof. David Wemmer (UC Berkeley) for helpful
comments. Figure S19
300 MHz, MeOD, 1H NMR spectrum of mono-
pyrrole zinc chloride cyclam complex (6a). (TIFF) (TIFF) Copper(II) chloride was complexed with 4b
(8.8 mg, 15.5 mmol, 1.0 eq) according to procedure D. The solution
was made up to 3 mL in methanol to a final concentration of
5.2 mM; UV-vis (MeOH) lmax = 615 nm, e = 113.8 M21 cm21;
MS (ESI) m/z 665.3 (C28H45
35ClCuN11O2
+, 100%), 667.3
(C28H45
37ClCuN11O2
+,
86%);
HRMS
(ESI)
calcd
for
C28H45
35ClCuN11O2
+ 665.27422 found 665.27305 ((M-Cl)+), calcd
for C28H45
37ClCuN11O2
+ 667.27242 found 667.27176 ((M-Cl)+). Figure S9
CDCl3, 300 MHz 1H NMR spectrum of tri-tert-butyl
11-((1-(3-(1-methyl-4-(1-methyl-1H-pyrrole-2-carboxamido)-1H-py-
rrole-2-carboxamido)propyl)-1H-1,2,3-triazol-4-yl)methyl)-1,4,8,11-
tetraazacyclotetradecane-1,4,8-tricarboxylate (3b). (TIFF) was made up to 3 mL in methanol to a final concentration of
5.2 mM; UV-vis (MeOH) lmax = 615 nm, e = 113.8 M21 cm21;
MS (ESI) m/z 665.3 (C28H45
35ClCuN11O2
+, 100%), 667.3
(C28H45
37ClCuN11O2
+,
86%);
HRMS
(ESI)
calcd
for
C28H45
35ClCuN11O2
+ 665.27422 found 665.27305 ((M-Cl)+), calcd
for C28H45
37ClCuN11O2
+ 667.27242 found 667.27176 ((M-Cl)+). Figure S10
CDCl3, 50.3 MHz 13C NMR spectrum of tri-tert-
butyl 11-((1-(3-(1-methyl-4-(1-methyl-1H-pyrrole-2-carboxamido)-
1H-pyrrole-2-carboxamido)propyl)-1H-1,2,3-triazol-4-yl)methyl)-1,
4,8,11-tetraazacyclotetradecane-1,4,8-tricarboxylate (3b). (TIFF) Complex 6b. Zinc(II) chloride was complexed with 4b (2.7 mg,
4.8 mmol, 1.0 eq) according to procedure D. MS (ESI) m/z 583.3
(100%). 1H NMR spectrum shown as Figure S20. Complex 5c. Copper(II) chloride was complexed with 4c
(0.94 mg, 1.36 mmol, 1.0 eq) according to procedure D. The
solution was made up to 3 mL in to a final concentration of
1
1 Complex 5c. Copper(II) chloride was complexed with 4c
(0.94 mg, 1.36 mmol, 1.0 eq) according to procedure D. The
solution was made up to 3 mL in to a final concentration of
0.45 mM; UV-vis (MeOH) lmax = 615 nm, e = 162.7 M21 cm21;
IR (ATR) 3446, 2925, 1640, 1548, 1414, 1254, 1114, 742 cm21;
MS (ESI) m/z 543.0 (C22H39
35ClCuN9O+, 100%). Figure S11
CDCl3, 300 MHz 1H NMR spectrum of tri-tert-
butyl 11-((1-(3-(1-methyl-4-(1-methyl-4-(1-methyl-1H-pyrrole-2-ca-
rboxamido)-1H-pyrrole-2-carboxamido)-1H-pyrrole-2-carboxami-
do)propyl)-1H-1,2,3-triazol-4-yl)methyl)-1,4,8,11-tetraazacyclotetr-
adecane-1,4,8-tricarboxylate (3c). (TIFF) Complex 6c. Zinc(II) chloride was complexed with 4c (1.5 mg,
2.2 mmol, 1.0 eq) according to procedure D. MS (ESI) m/z 876.0 PLoS ONE | www.plosone.org May 2011 | Volume 6 | Issue 5 | e17446 9 Cyclam-Based Lexitropsins Figure S12
CDCl3, 50.3 MHz 13C NMR spectrum of tri-tert-
butyl
11-((1-(3-(1-methyl-4-(1-methyl-4-(1-methyl-1H-pyrrole-2-
carboxamido)-1H-pyrrole-2-carboxamido)-1H-pyrrole-2-carboxa-
mido)propyl)-1H-1,2,3-triazol-4-yl)methyl)-1,4,8,11-tetraazacyclo-
tetradecane-1,4,8-tricarboxylate (3c). (TIFF) Figure S21
300 MHz, MeOD, 1H NMR spectrum of tri-pyrrole
zinc chloride cyclam complex (6c). (TIFF) Figure S22
[125] Job plot for formation of complex between
copper(II) and ligand 4a. (TIFF) (TIFF) Figure S13
CDCl3, 200 MHz 1H NMR spectrum of N-(3-(4-
((1,4,8,11-tetraazacyclotetradecan-1-yl)methyl)-1H-1,2,3-triazol-1-
yl)propyl)-1-methyl-1H-pyrrole-2-carboxamide (4a). (TIFF) Figure S23
UV-vis spectrum for the titration of a solution of
CuCl2 with compound 4c in methanol (graphical representation of
raw data). (TIFF) Figure S14
CDCl3, 75.5 MHz 13C NMR spectrum of N-(3-(4-
((1,4,8,11-tetraazacyclotetradecan-1-yl)methyl)-1H-1,2,3-triazol-1-
yl)propyl)-1-methyl-1H-pyrrole-2-carboxamide (4a). (TIFF) Figure S24
Example ITC curve for GC-rich oligonucleotide
illustrating no observable binding; titration of 1000 mM 4c to
10 mM GC oligo (oligo II). (TIFF) Figure S15
CDCl3, 200 MHz 1H NMR spectrum of N-(3-4-
((1,4,8,11-tetraazacyclotetradecan-1-yl)methyl)-1H-1,2,3-trizol-1-yl)
propyl)-1-methyl-4-(1-methyl-1H-pyrrole-2-carboxamido)-1H-pyr-
role-2-carboxamide (4b). (TIFF) Spreadsheet S1
Error calculations for Table 1. (XLS) Text S1
Procedures for preparation of known compounds, and
description of entropy error calculations. (DOC) Figure S16
CDCl3, 50.3 MHz 13C NMR spectrum of N-(3-4-
((1,4,8,11-tetraazacyclotetradecan-1-yl)methyl)-1H-1,2,3-trizol-1-yl)
propyl)-1-methyl-4-(1-methyl-1H-pyrrole-2-carboxamido)-1H-pyr-
role-2-carboxamide (4b). (TIFF) Table S1
Effect of structural modifications of lexitropsins on
binding
affinities
for
compound
4c
vs. selected
literature
compounds. (DOC) Figure S17
CDCl3, 300 MHz 1H NMR spectrum of N-(3-(4-
((1,4,8,11-tetraazacyclotetradecan-1yl)methyl)-1H-1,2,3-triazol-1-yl)
propyl)-1-methyl-4-(1-methyl-4-(1-methyl-1H-pyrrole-2-carboxa-
mido)-1H-pyrrole-2-carboxamido)-1H-pyrrole-2-carboxamide
(4c). (TIFF) NMR Data S1
Raw NMR data files (.dx) for compounds 2–4
(1H and 13C) and 6 (1H). (
)
ZIP Author Contributions Conceived and designed the experiments: AL PJR MHT. Performed the
experiments: AL NS. Analyzed the data: AL DH PJR MHT. Contributed
reagents/materials/analysis tools: NKS. Wrote the paper: ATSL PJR
MHT. Conceived and designed the experiments: AL PJR MHT. Performed the
experiments: AL NS. Analyzed the data: AL DH PJR MHT. Contributed
reagents/materials/analysis tools: NKS. Wrote the paper: ATSL PJR
MHT. Figure S20
300 MHz, MeOD, 1H NMR spectrum of di-pyrrole
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Monitoring Braided River-Bed Dynamics at Sub-Event Time Scale Using Time Series of Sentinel-1 SAR Imagery
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Article
Monitoring Braided River-Bed Dynamics at the Sub-Event Time
Scale Using Time Series of Sentinel-1 SAR Imagery Daniele Rossi *,†
, Guido Zolezzi ‡
, Walter Bertoldi ‡
and Alfonso Vitti ‡ Department of Civil, Environmental and Mechanical Engineering, University of Trento, Via Mesiano 77,
38123 Trento, Italy; guido.zolezzi@unitn.it (G.Z.); walter.bertoldi@unitn.it (W.B.); alfonso.vitti@unitn.it (A.V.)
* Correspondence: daniele.rossi@unitn.it
† Current address: Easter Alps River Basin District, Piazza A. Vittoria 5, 38122 Trento, Italy. ‡ These authors contributed equally to this work. Department of Civil, Environmental and Mechanical Engineering, University of Trento, Via Mesiano 77,
38123 Trento, Italy; guido.zolezzi@unitn.it (G.Z.); walter.bertoldi@unitn.it (W.B.); alfonso.vitti@unitn.it (A.V.)
* Correspondence: daniele.rossi@unitn.it
† Current address: Easter Alps River Basin District, Piazza A. Vittoria 5, 38122 Trento, Italy. ‡ These authors contributed equally to this work. Department of Civil, Environmental and Mechanical Engineering, University of Trento, Via Mesiano 77,
38123 Trento, Italy; guido.zolezzi@unitn.it (G.Z.); walter.bertoldi@unitn.it (W.B.); alfonso.vitti@unitn.it (A.V.)
* Correspondence: daniele.rossi@unitn.it
† Current address: Easter Alps River Basin District, Piazza A. Vittoria 5, 38122 Trento, Italy. ‡ These authors contributed equally to this work. Abstract: Remote sensing plays a central role in the assessment of environmental phenomena
and has increasingly become a powerful tool for monitoring shorelines, river morphology, flood-
wave delineation and flood assessment. Optical-based monitoring and the characterization of river
evolution at long time scales is a key tool in fluvial geomorphology. However, the evolution occurring
during extreme events is crucial for the understanding of the river dynamics under severe flow
conditions and requires the processing of data from active sensors to overcome cloud obstructions. This work proposes a cloud-based unsupervised algorithm for the intra-event monitoring of river
dynamics during extreme flow conditions based on the time series of Sentinel-1 SAR data. The
method allows the extraction of multi-temporal series of spatially explicit geometric parameters at
high temporal and spatial resolutions, linking them to the hydrometric levels acquired by reference
gauge stations. The intra-event reconstruction of inundation dynamics has led to (1) the estimation of
the relationship between hydrometric level and wet area extension and (2) the assessment of bank
erosion phenomena. In the first case, the behavior exhibits a change when the hydrometric level
exceeds 1 m. In the second case, the erosion rate and cumulative lateral erosion were evaluated. The
maximum erosion velocity was greater than 1 m/h, while the cumulative lateral erosion reached
130 m. Citation: Rossi, D.; Zolezzi, G.;
Bertoldi, W.; Vitti, A. Monitoring
Braided River-Bed Dynamics at the
Sub-Event Time Scale Using Time
Series of Sentinel-1 SAR Imagery. Remote Sens. 2023, 15, 3622. https://
doi.org/10.3390/rs15143622 Keywords: SAR; gravel-bed rivers; morphodynamics; flood dynamics; river bank erosion Academic Editors: Michael Nones,
Paolo Paron and Maria Nicolina Papa remote sensing remote sensing remote sensing Article
Monitoring Braided River-Bed Dynamics at the Sub-Event Time
Scale Using Time Series of Sentinel-1 SAR Imagery Time series of SAR acquisitions, provided by Sentinel-1 satellites, were analyzed to quantify
changes in the wet area of a reach of the Tagliamento river under different flow conditions. The
algorithm, developed within the Python-API of GEE, can support many types of analyses of river
dynamics, including morphological changes, floods monitoring, and bio-physical habitat dynamics. The results encourage future advancements and applications of the algorithm, specifically exploring
SAR data from ICEYE and Capella Space constellations, which offer significantly higher spatial and
temporal resolutions compared to Sentinel-1 data. 1. Introduction Rivers and their floodplains are among the most complex, dynamic, and diverse
ecosystems on Earth, providing major economic, health, cultural, scientific, and educational
ecosystem services [1,2]. Despite accounting for just 1.4% of the land surface area, riparian
zones provide at least 25% of all terrestrial ecosystem services [3]. Rivers’ dynamic behavior
originates from the continuous interaction between variable flow, sediment transport and
associated morphological change, and ecological feedback, mainly through aquatic and
riparian vegetation [4–6]. Most of these dynamic processes occur during floods, which are
characterized by the increase in flowing discharge, often associated with a large widening
of the inundated areas, both inside the active channel and in adjacent zones. The possibility
of understanding, quantifying, and predicting river evolution strongly depends on our
ability to monitor what happens during these events, which in some cases last for only a Copyright:
© 2023 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access article
distributed
under
the
terms
and
conditions of the Creative Commons
Attribution (CC BY) license (https://
creativecommons.org/licenses/by/
4.0/). https://www.mdpi.com/journal/remotesensing Remote Sens. 2023, 15, 3622. https://doi.org/10.3390/rs15143622 Remote Sens. 2023, 15, 3622 2 of 24 few hours or days but can shape the riverbed morphology for the following months and
years [7,8]. The accurate monitoring of the dynamics of rivers and floodplains plays a vital
role in improving river management practices and achieving the objectives outlined in
the Water Framework and Flood Directives at the European level (2000/60/EC [9] and
2007/60/EC [10]). Moreover, these directives promote the development of proper flood
forecasting and monitoring systems, aiming at preventing high socio-economical losses and
at planning a variety of flood-management alternatives [11]. Recent studies have demon-
strated that estimation of rainfall provided from the Integrated Multi-satellite Retrievals
(IMERG) algorithm for the Global Precipitation Measurement constellation coupled with
the mesoscale Weather Research Forecasting (WRF) model [12] can be effectively utilized
to accomplish these objectives and fulfill the requirements of the directives [13]. In the last decade, advances in remote sensing technologies and the computational
ability to process vast datasets are increasing at unprecedented speed and have revolu-
tionized the way we quantify and assess river systems [14], offering new sources of high
resolution, multidimensional data across wide spatial scales and at multiple time scales,
towards a data-rich geomorphological science [15]. 1. Introduction The availability of different satellite
imagery, often freely accessible, can be coupled with various cloud computing platforms
and distributed systems such as Google Earth Engine (GEE), Sentinel Hub, Open Data
Cube, openEO, and others [16]. Satellite images, and in particular the freely available Landsat and Sentinel-2 multi-
spectral images, have been successfully used for river mapping since the 1990s [17],
with continuous improvements since then, towards the accurate evaluation of channel
width [18], river centerline and sinuosity [19], and, more in general, for mapping surface
water extent and dynamics [20–22]. However, approaches based on optical data in the visible and near-infrared range suffer
from strong limitations due to the adverse atmospheric conditions that often characterize
flood events. Particularly in the case of relatively small catchments (areas smaller than
104–105 km2), flood peaks occur shortly after rain events, implying that cloud coverage is
very likely to persist, reducing the possibility of effectively monitoring large river areas. On the contrary, satellites carrying active radar sensors operating in the microwave range
are not affected by cloud coverage and therefore provide an attractive way to remotely track
the dynamics of rapidly changing river systems. Indeed, Synthetic Aperture Radar (SAR)
has played a crucial role in identifying wet and dry classes due to its ability to provide
data regardless of the weather conditions or time of observation. Numerous techniques
have been developed to fully exploit the potential of SAR data. In the early studies,
flood stage measurement, braided river patterns, and river discharge were manually
performed by the operator [23–25]. More recently, flood monitoring and river morphology
assessments are performed by employing the RGB composition of a reference image (e.g.,
pre-flood) and a target image (e.g., post-flood), followed by a threshold technique such as
the seed-growing segmentation, Maximum Likelihood, or K-means [26–31]. Morphological
operators (opening and closing), followed by a K-means thresholding algorithm and
a fuzzy logic classifier have been successfully applied to map flooded vegetation [32]
and distinguish water surfaces from artifacts caused by heavy precipitation or wet snow [33]. Opening and closing operators, coupled with Support Vector Machine (SVM) [34] and
watershed by immersion segmentation [35], are employed, respectively, for extracting river
linear features and segmenting the river channel. However, the application to SAR datasets of fully automated thresholding algorithms,
such as the one proposed by Otsu, are still challenging for the scientific community [36,37]. 1. Introduction For example, the target class often covers only a small portion of the overall scene, failing to
clearly emerge in the histogram of the entire image. Under these circumstances, parametric
methods, which typically necessitate the estimation of probability distribution functions
for the two target objects (dry soil and wet area, in our case), are not feasible. In this
context, several techniques of image splitting and sub-image bimodality testing come into
play [38–41]. Remote Sens. 2023, 15, 3622 3 of 24 In the last decade, numerous studies have focused on extracting water streams and
water bodies using various approaches that utilize deep neural networks [42–47]. A more
detailed description of the aforementioned papers is provided in Section 2. p
p p
p
To improve the efficacy of these methods, in this work, we present the development of
an unsupervised and cloud-based algorithm for the near-real-time analysis of stack SAR
images. In the workflow, which is described in detail in Section 3, we accomplish the
following objectives: (i)
We incorporate water flow level information through metadata enrichment to facili-
tate the automatic extraction and monitoring of inundation dynamics at a sub-event
temporal scale; p
(ii)
We evaluate the denoising of speckle using three edge-stopping functions; and (iii)
We apply a Self-Adaptive Thresholding Approach (SATA) based on the Otsu Algorithm. The algorithm is then tested and verified on a 13 km long reach of the Tagliamento
River (Italy), a large, braided gravel bed river, recognized as the most natural and dynamic
large river in the European Alps. Furthermore, the availability of imagery at the sub-event
time scale, as opposed to the standard before–after-flood approach, allows the observation
and quantification of lateral bank erosion and channel dynamics during the flood event
and with accurate timing as a function of water level and inundation duration. The paper is organized as follows: Section 2 contains a review of the existing methods
that allow river-channel segmentation based on SAR data; Section 3 presents the theoretical
approach and describes the details of the computation steps and the dataset; Section 4
illustrates the case study, and Section 5 shows the results of mapping river-inundated areas
and morphological change during the flood events that occurred from 2018 to 2020. Discus-
sion on perspectives and limitations of the present work, along with the geomorphological
significance and main concluding remarks, is provided in Section 6. 2. Related Works thors also verified the possibility of monitoring water bodies: lakes, wetlands, and rivers. For the case of rivers, water channels were automatically extracted by means of an intensity
threshold, whereas active channels and sediment bars were visually outlined. Active
channel widening and narrowing were highlighted [30]. Obida et al. (2019) [49] applied the K-means unsupervised methodology to cluster
Sentinel 1 data for the purpose of extracting the river network of the Niger delta. Subse-
quently, the centerline of the river network was extracted and compared with manually
derived centerlines from imagery acquired in the visible range. g
y
q
g
Moharrami et al. [37] employed a simple Otsu algorithm applied to the histogram
of an entire Sentinel 1 image to delineate the flooded areas in North Iran for the extreme
event of March 2019. In this case, the estimation of the threshold value is particularly
challenging, because the target class typically constitutes only a minor portion of the image,
and therefore, the histogram does not exhibit a bimodal distribution. One additional
aspect is the utilization of a single threshold value for clustering the entire image. Several
approaches can be used to address this issue. pp
In order to parameterize the distribution functions from the histogram of the two
classes (dry soil and water), Chini et al. [39] introduced a Hierarchical Split-Based Approach
(HSBA) to divide the image into tiles, each with an equal proportion of pixels belonging
to the two classes of interest. To achieve this, they checked that the histogram was clearly
bimodal, and the parametrization of the distribution function performed well. To cluster the
image, they applied a Regional Growing (RG) algorithm. The threshold for the seeds and
the tolerance criterion to stop the growing process were selected based on the distribution
of the target class estimated by HSBA. Ciecholewski [35] proposed a two-step global threshold approach for segmenting
the river channels. Firstly, the polarimetric ALOS PALSAR image is clustered using a
watershed using the immersion algorithm. Secondly, in order to reduce over-segmentation,
surrounding sub-regions are iteratively merged by maximizing the average contrast. The al-
gorithm was compared with three other approaches: multilevel image thresholding using
Otsu’s method (Otsu), Fast Random Walker (FRW), and Active Contour Without Edges
(ACWE) on a reach of Sungai Kampar River channel. g
p
Cao et al. 2. Related Works [40] proposed subdividing the image into tiles of a fixed dimension s × s
and applying the Bimodality Test (BT) to identify the tiles that exhibit a bimodal histogram. The histograms were smoothed using a Gaussian convolution kernel. The mode value of
the water portion of the histogram was utilized as the threshold for identifying the core
water area. Lastly, a region-growing algorithm (RGA) was employed to generate a spatially
homogeneous water map. Donchyts et al. [38] introduced an extension of non-parametric detection methods,
such as the histogram-based Otsu thresholding algorithm. They incorporated the Canny
edge filter to identify the edges between water and dry soil and subsequently computed
the histogram using the pixels enclosed within an area surrounding those edges. In this
particular case, the histogram obtained displayed a distinct bimodal shape, indicating the
suitability of the Otsu thresholding algorithm. Finally, Tan et al. [41] developed a self-adaptive thresholding algorithm, derived from
the Otsu approach, for automatic water extraction using Sentinel-1 Synthetic Aperture
Radar (SAR) imagery. This algorithm incorporates the side-looking characteristic of SAR
data by subdividing the S1 scene into uniform tiles based on the distance to the orbit. The goodness of the classification was evaluated using the Jeffries–Matusita (JM) distance
function. Compared to five other traditional segmentation algorithms (Otsu, Moments,
Mean, Isodata, and Minerror), the proposed method achieved the highest overall accuracy. 2. Related Works The detection of flood areas, the extraction of water surfaces, and the monitoring of
river morphology have a lowest common denominator: the accurate clustering of images. In the existing literature, different approaches can be found, whose complexity also depends
on the historical moment in which the research was conducted. Brakenridge et al. (1994) [23] and Smith et al. (1995) [24] employed a fixed threshold
value for clustering ERS-1 imagery. Brakenridge et al. quantified the flood stage by
establishing a correlation between the extent of the 1993 flood of the Mississippi River and
high-quality topographic data. On the other hand, Smith et al. examined the correlation
between multitemporal surface area of water water and discharge measurements for a
braided glacial river in British Columbia. Nykanen et al. (1998) [25] classified the connected braided system by first manually
selecting the upstream part of a known channel and then selecting the disconnected sections
that visually appeared to be part of active channels. After approximately one hour of
image reworking, the binary classification was completed. They also attempted to use an
Unsupervised Bayesian Classification algorithm in order to fully automate the procedure,
but the result was a poorly connected braided channel network. More recently, Klemenjak et al. [34] presented an algorithm for the automatic extraction
of river networks that can be applied to multi-temporal or multi-polarized high-resolution
SAR data (TerraSAR-X). The method is implemented using the Support Vector Machine and
is based on the supervised classification of morphological profiles. They found that in the
presence of bridges or power lines the procedure could produce gaps in the river network. In these cases, the choice of polarization could improve the accuracy of the method. Amitrano et al. (2015) [48] presented a framework for the treatment of multi-temporal
Synthetic Aperture Radar (SAR) images that defines an intermediate product between L1
and L2 named L1–α through the fusion between the intensities of the reference and test
images and their coherence into a false-color RGB image. The above-mentioned framework
was applied to the assessment of morphological variations due to flood events [31]. The au- Remote Sens. 2023, 15, 3622 4 of 24 thors also verified the possibility of monitoring water bodies: lakes, wetlands, and rivers. For the case of rivers, water channels were automatically extracted by means of an intensity
threshold, whereas active channels and sediment bars were visually outlined. Active
channel widening and narrowing were highlighted [30]. 3. Materials and Methods IW product is Sentinel-1’s primary opera-
tional mode over land, and it is available in dual polarization, namely vertically emitted,
vertically received (VV) or vertically emitted, horizontally received (VH). The vertical
polarization, interacting with the Earth’s surface, can return to the satellite sensor in the
vertical plane or in the horizontal one. Before ingesting the imagery into the Engine’s
database, Google applies the required standard preprocessing to the Sentinel-1 Ground
Range Detected (GRD) product. This preprocessing involves updating the orbit informa-
tion, removing image border noise, modeling the thermal noise, calibrating the images
radiometrically, and applying terrain correction. −35 decibels (dB) and slightly positive values. IW product is Sentinel-1’s primary opera-
tional mode over land, and it is available in dual polarization, namely vertically emitted,
vertically received (VV) or vertically emitted, horizontally received (VH). The vertical
polarization, interacting with the Earth’s surface, can return to the satellite sensor in the
vertical plane or in the horizontal one. Before ingesting the imagery into the Engine’s
database, Google applies the required standard preprocessing to the Sentinel-1 Ground
Range Detected (GRD) product. This preprocessing involves updating the orbit informa-
tion, removing image border noise, modeling the thermal noise, calibrating the images
radiometrically, and applying terrain correction. y
pp y
g
This work proposes the implementation of a processing chain as follows: nriching the image stack with hydrometric data; •
Applying the radiometric slope correction algorithm; •
Reducing speckle noise; •
Extracting the wet channel with a Self-Adaptive Thresholding Approach; and •
Output functions. Each function was structured in a main body and sub-functions with the purpose of
allowing sequential calls needed from the time series of images. GEE’s architecture is based on a client/server programming model. Under this archi-
tecture, the client libraries provide a user-friendly programming environment, recording
the computational chain and sending it to the server for the execution. This implies that
it is impossible to combine Earth Engine library calls (server side) with local processing
operations (client side). The procedure has three points where the client site and server
side exchange inputs and outputs: the image query step, the upload of hydrometric data,
and the output step, which can save scatter plots, time series of water masks, and data
dictionaries (Figure 1). Figure 1. Workflow diagram of the proposed framework for mapping the braided channel area at
sub-event time scale using time series of Sentinel-1 imagery (red diamond). 3. Materials and Methods This work proposes an unsupervised methodology based on the Google Earth Engine
cloud infrastructure for the continuous monitoring of river dynamics during flood events
using freely available Sentinel-1 imagery. The proposed method utilizes the Level 1 (L1)— Remote Sens. 2023, 15, 3622 5 of 24 5 of 24 GRD—product of Synthetic Aperture Radar (SAR) imagery acquired from Sentinel-1 in the
Interferometric Wide swath (IW) mode. Sentinel-1 is a C-band active sensor operating at a
center frequency of 5.405 GHz, which corresponds to a wavelength of ≈5.5 cm. The sensor
returns images at a pixel spacing of 10 m, and the pixel values typically range between
−35 decibels (dB) and slightly positive values. IW product is Sentinel-1’s primary opera-
tional mode over land, and it is available in dual polarization, namely vertically emitted,
vertically received (VV) or vertically emitted, horizontally received (VH). The vertical
l
i
ti
i t
ti
ith th E
th’
f
t
t
th
t llit
i
th GRD—product of Synthetic Aperture Radar (SAR) imagery acquired from Sentinel-1 in the
Interferometric Wide swath (IW) mode. Sentinel-1 is a C-band active sensor operating at a
center frequency of 5.405 GHz, which corresponds to a wavelength of ≈5.5 cm. The sensor
returns images at a pixel spacing of 10 m, and the pixel values typically range between
−35 decibels (dB) and slightly positive values. IW product is Sentinel-1’s primary opera-
tional mode over land, and it is available in dual polarization, namely vertically emitted,
vertically received (VV) or vertically emitted, horizontally received (VH). The vertical
polarization, interacting with the Earth’s surface, can return to the satellite sensor in the
vertical plane or in the horizontal one. Before ingesting the imagery into the Engine’s
database, Google applies the required standard preprocessing to the Sentinel-1 Ground
Range Detected (GRD) product. This preprocessing involves updating the orbit informa-
tion, removing image border noise, modeling the thermal noise, calibrating the images
radiometrically, and applying terrain correction. GRD—product of Synthetic Aperture Radar (SAR) imagery acquired from Sentinel-1 in the
Interferometric Wide swath (IW) mode. Sentinel-1 is a C-band active sensor operating at a
center frequency of 5.405 GHz, which corresponds to a wavelength of ≈5.5 cm. The sensor
returns images at a pixel spacing of 10 m, and the pixel values typically range between −35 decibels (dB) and slightly positive values. 3.1. Image Selection and Metadata Enrichment 3.1. Image Selection and Metadata Enrichment Images are selected on the basis of a spatial query of the region of interest and a query
of the time interval of the flood event. After the initial image query, the metadata of the
images are enriched with the hydrometric level registered at the time of image acquisition. This operation is of utmost importance for subsequent analysis as it allows for the deter-
mination of inundation dynamics in conjunction with hydrometric levels. This, in turn,
facilitates the inference of the relationship between flooded areas and water discharge. The water-level time series, composed of the date in a string format and the water
level in a decimal floating-point format, are firstly converted into a collection of images
and then joined with the SAR image collection. The resulting collection contains paired
elements composed of the metadata and all the bands of the primary SAR collection and
the matching element from the hydrometric level collection. The matching criterion is time-
dependent, and SAR images are associated with the nearest water level value according to
the following expression: Pixel =
(
hi
i f tSAR ∈[ti; ti+1/2)
hi+1
i f tSAR ∈[ti+1/2; ti+1]
(1) (1) where hi and hi+1 correspond to the water level at time ti and ti+1, respectively, tSAR is the
SAR acquisition time, and ti+1/2 = (ti + ti+1)/2. 3. Materials and Methods The time-varying water
level is represented by the blue line. Figure 1. Workflow diagram of the proposed framework for mapping the braided channel area at
sub-event time scale using time series of Sentinel-1 imagery (red diamond). The time-varying water
level is represented by the blue line. Previous research has demonstrated that, in scenarios characterized by non-windy
conditions and the absence of stream water, VV polarization exhibits superior accuracy
to VH polarization [50]. This is attributed to the sensitivity of VV polarization to water
surface roughness. VH is generated from the interaction with the tree crowns (volumetric
scattering), and part of the backscatter is redirected towards the water channel, causing
misclassification [51]. In the case of large gravel bed rivers without vegetation in the active
channel, the rippling water surface of the river prevents the exploitation of VV polarization,
suggesting the use of the VH one. Remote Sens. 2023, 15, 3622 6 of 24 3.2. Radiometric Terrain Correction 2023, 15, 3622 7 of 24 hillslope without vegetation into the 2D domain of the SAR images and thus considering it
as a surface of isotropic scatterers (Equation (3)): hillslope without vegetation into the 2D domain of the SAR images and thus considering it
as a surface of isotropic scatterers (Equation (3)): γ0
f = γ0 ·
tan(π/2 −θi)
tan(π/2 −θi + αr),
(2) γ0
f = γ0 ·
tan(π/2 −θi)
tan(π/2 −θi + αr),
(2)
γ0
f = γ0 · cos(αaz) · cos(π/2 −θi + αr)
cos(π/2 −θi + αr)
,
(3) (2) γ0
f = γ0 · cos(αaz) · cos(π/2 −θi + αr)
cos(π/2 −θi + αr)
,
(3) (3) where γ0
f and γ0 are, respectively, the backscatter on a flat terrain and the backscatter on
a tilted terrain, αaz and αr are the terrain slope in the azimuth direction and in the range
direction. θi represents the incidence angle of the SAR signal with the Earth’s surface. 3.2. Radiometric Terrain Correction Due to the side-looking configuration of SAR sensors, there are a number of geometric
and radiometric distortions that arise from the 2D imaging processing of the 3D Earth
surfaces and are intrinsically linked to the local orientation of the surface, which need
correction and reduction. In the ideal case of a flat surface, the distortion is a specific
geometric compression of the ground in the slant range, with increasing distortion moving
from the furthest to the nearest range area. The conversion of the slant range to ground
range is typically performed by the radar processor prior to image creation. This conversion
facilitates accurate distance measurements by accounting for the radar geometry [52]. On the other hand, radiometric distortions caused by terrain orthography need to be
corrected using an analytical approach [53–58]. Terrain slopes cause significant variations
(radiometric distortions) on radar backscatter values, depending on the angle and aspect
of the surface and on the radar configuration, in terms of frequency, polarization, and as-
cending or descending path. Foreshortening, layover, and shadowing can be included
among these effects. The first two happen when the slope is facing towards the sensor,
while shadowing occurs on the opposite side of the slope. Foreshortening occurs when
the slope in the range direction (αr) is less than the incidence angle (θi), whereas layover
appears when the slope exceeds the incidence angle. Shading or shadowing of the opposite
side of the slope occurs when the angle αr > 90o −θi. In applications related to land monitoring, an accurate backscatter measurement has
a central role and allows robust land-cover classification. Therefore, radiometric slope
correction is needed in order to reduce these topographic effects on backscattering values and
to provide imagery in which pixel values are properly related to the radar backscatter of the
scene. In the literature, there are different approaches aiming at reducing radiometric distortion. In this work, two physical models have been taken into account. These models propose
an exact solution for the compensation of slope-induced variations in the backscattered
energy. Hoekman [59] considers the effects of forested reliefs on the radar backscatter,
as an opaque volume composed of isotropic scatterer elements (Equation (2)), whereas
Ulander [54] derives an equation for the radiometric correction, projecting the 3D model of Remote Sens. 3.3. Denoising The goal of this framework step is to reduce the intrinsic noise of Sentinel 1 SAR
images, a granular pattern distribution called speckle that affects the SAR images. This
effect is due to the sum of constructive and destructive superpositions of the backscattered
signal after the interaction with the target area. In general, the task of all despeckling
methods is to reduce the speckle noise without losing fine details and edges of features. Among the approaches used for SAR images despeckling, Bayesian methods [60–64], non-
Bayesian algorithms [65–67], hybrid approaches, and also new methodologies based on
machine learning algorithms can be mentioned. Comprehensive recent reviews of these
methodologies can be found in [68–70]. In this paper, the non-Bayesian model proposed by Perona and Malik (1990) [65]
was used, which is based on the Gaussian kernel convolution and maintains an accurate
location of feature edges during the process of image smoothing and restoration, through
the following definition of a scale space: (
It = ∆(c(x, y, t)∇I)
I(t=0) = I0
(4) (4) where It = ∂I/∂t is the partial time derivative of the intensity image, I0 is the initial intensity
image, and ∆and ∇are divergence and gradient operators, respectively. The diffusion
coefficient c(x, y, t) is a function of the gradient magnitude of the image. The primary task
of the diffusion coefficient is to prioritize smoothing within a region rather than smoothing
across its boundaries. This objective can be accomplished by ensuring that the conduction
coefficient is a monotonically decreasing function equal to 1 within the interior of each
region and 0 at the boundaries. The setting of the diffusion coefficient function is discussed
in the next paragraph. As noticed by [71,72], Gaussian kernel-based methods are equivalent to the solution
to the diffusion Equation (Equation (4)), which, neglecting the hierarchy of the image
levels, reduce both image noise and the definition of object boundaries. With the aim of
overcoming these limitations, Perona, P. & Malik, J. [65] defined the diffusion coefficient as
a function of the gradient magnitude of the image c = g(∥∇I∥). This function, called the
edge stopping function, ensures a higher rate of diffusion within homogeneous regions
and avoids the blurring of the feature boundaries characterized by high values of ∥∇I∥. Remote Sens. 2023, 15, 3622 8 of 24 Three edge stopping functions were tested. 3.3. Denoising The first two (Equations (5) and (6))
were proposed by Perona and Malik [65], and the third (Equation (7)) was proposed by
Black et al. [73]: c1 = e−(∥∇I∥/K)2,
(5)
c2 =
1
1 + (∥∇I∥/K)2 ,
(6)
c3 =
1
2
1 −
∥∇I∥
K
√
2
22
: ∥∇I∥≤K
√
2
0 : otherwise,
(7) (5) (6) (7) where ∥∇I∥is the gradient magnitude of the image I, and K is a constant parameter that
allows for the adjustment of the noise filter. Its value is typically determined through
experimental selection or by considering the noise characteristics present in the image. In the present work, it was set to 3. Figure 2 illustrates the distinct smoothing effects of
the three functions mentioned earlier. The c1 function stops the diffusion starting from a
small gradient value, whereas c2 needs a higher gradient value in order to stop diffusion. The c3 function stops the diffusion at low gradient values, preserving very fine details. So c2 privileges wide regions over small ones, c1 privileges high contrast edges versus
lower-contrast edges, and c3 reduces the diffusion even more rapidly than c1 and stops
diffusion where the gradient is very low. The most appropriate edge-stopping function in our case is c1, as it adequately smooths
homogeneous regions while preserving border lines. Figure 2. Illustration of the varying smoothing effects of Perona and Malik’s model using different
edge-stopping functions on Sentinel-1 imagery. From left to right: original VH band, denoised images
using Equations (5)–(7). The three denoising functions are plotted in the bottom sub-panels as a
function of the gradient magnitude of the image. The x-axis represents the gradient magnitude of I
∥∇I∥, while the y-axis represents the value of c(∥∇I∥). Figure 2. Illustration of the varying smoothing effects of Perona and Malik’s model using different
edge-stopping functions on Sentinel-1 imagery. From left to right: original VH band, denoised images
using Equations (5)–(7). The three denoising functions are plotted in the bottom sub-panels as a
function of the gradient magnitude of the image. The x-axis represents the gradient magnitude of I
∥∇I∥, while the y-axis represents the value of c(∥∇I∥). Figure 2. Illustration of the varying smoothing effects of Perona and Malik’s model using different
edge-stopping functions on Sentinel-1 imagery. From left to right: original VH band, denoised images
using Equations (5)–(7). 3.3. Denoising The three denoising functions are plotted in the bottom sub-panels as a
function of the gradient magnitude of the image. The x-axis represents the gradient magnitude of I
∥∇I∥, while the y-axis represents the value of c(∥∇I∥). 3.4. Self-Adaptive Thresholding Approach to River Water Delineation Image segmentation is the process by means of which two or more classes or objects
are identified in an image. Various techniques are widely used in research fields such as Remote Sens. 2023, 15, 3622 9 of 24 9 of 24 medical applications, the recognition and tracking of objects, and environmental analysis,
including the delineation of river and waterbodies from optical, multispectral and radar
data. Two groups can be mentioned: traditional methods (e.g., edge detection, cluster-
ing, random forest, support vector machine, Markov random field, statistical algorithm),
and segmentation processes based on the latest Deep Learning (DL) methods (ANN, CNN,
and others) [74]. As described in the introduction, in our case, the water class covers only a small
portion of the entire scene, leading to a unimodal histogram that represents mainly the dry
soil class. Such a histogram makes the Otsu thresholding method almost impossible to use. As described in the introduction, in our case, the water class covers only a small
portion of the entire scene, leading to a unimodal histogram that represents mainly the dry
soil class. Such a histogram makes the Otsu thresholding method almost impossible to use. In order to obtain a bimodal distribution that allows the computation of a reliable threshold
value, a suitable subset of the image (Ai) is needed. To this end, the proposed self-adaptive
thresholding approach is composed of two cycles (i = 0, 1) of the following steps (Figure 1): In order to obtain a bimodal distribution that allows the computation of a reliable threshold
value, a suitable subset of the image (Ai) is needed. To this end, the proposed self-adaptive
thresholding approach is composed of two cycles (i = 0, 1) of the following steps (Figure 1): (i)
Image binarization process using the threshold value ti; (ii)
Identification of the wet–dry edges Ei using the Canny Edge filter [75]; (iii)
Delineation of the area Ai applying a buffer (Bd) around the edges Ei; (iv)
Histogram sampling within the area Ai; (iv)
Histogram sampling within the area Ai; (v)
Evaluation of the threshold ti+1 applying the Otsu algorithm. On the first run (i = 0), the threshold t0 is manually set to −20 dB, representing an
initial threshold attempt. After the second run (i = 1), the algorithm outputs the final
threshold t2, which is then used to extract the water mask. 3.4. Self-Adaptive Thresholding Approach to River Water Delineation Figure 3 illustrates the conceptual
scheme depicting the definition of the edges Ei and the area Ai for the i-th step. After binarizing the image using ti (step i of the procedure), the Canny Edge filter is
applied to the resulting binary image (step ii of the procedure). Before the edge-detection
step, the image is convolved with a Gaussian filter with the parameter σ set to 1. The edges
are subsequently defined as those pixels where the magnitude of the gradient exceeds 1. The area Ai, where the histogram is sampled, is defined by buffering the edges Ei by a
distance Bd (step iii of the procedure). The choice of buffer amplitude Bd is bounded by
the channel width. At low discharges, the channel width is narrow, whereas it is wider at
high discharges. The optimal buffer amplitude is the one that samples half of its area in
the channel and the remaining half on dry land, without including other land classes such
as vegetation or urban areas with higher backscatter values. In Section 5.1, the impact of
the choice of parameters will be presented and analyzed, specifically highlighting that the
optimal selection for our specific case is Bd = 50 m. Figure 3. Conceptual scheme of the thresholding algorithm. The first two panels depict the definition
of the wet–dry edges, denoted as Ei, based on the threshold ti. Meanwhile, the right panel illustrates
the area Ai generated around these edges with a distance Bd, within which the Otsu algorithm is
subsequently applied. Figure 3. Conceptual scheme of the thresholding algorithm. The first two panels depict the definition
of the wet–dry edges, denoted as Ei, based on the threshold ti. Meanwhile, the right panel illustrates
the area Ai generated around these edges with a distance Bd, within which the Otsu algorithm is
subsequently applied. Remote Sens. 2023, 15, 3622 10 of 24 10 of 24 To reduce the computational time and implement an efficient automatic procedure,
we selected a thresholding method (step vs. procedure) with low consumption of com-
putational resources, namely the Otsu thresholding algorithm [76], which is simple to
implement and has a similar accuracy to more complex methods [77]. The Otsu threshold-
ing algorithm, initially implemented by Donchyts et al. [38], was optimized with the aim of
ingesting a stack of images. 3.4. Self-Adaptive Thresholding Approach to River Water Delineation The algorithm is applied to the decibel (dB) histogram sampled
into the area Ai of every SAR image and is based on the maximization of the inter-class
variance, defined as σ2
B = ω0 · (µ0 −µT)2 + ω1 · (µ1 −µT)2
(8) (8) where σ2
B is the inter-class variance, ω0 and ω1 are the probabilities of class occurrence, µ0,
µ1 are the class mean levels, and µT is the total mean level. µ0 =
t
∑
i=1
i · pi
ω0
;
(9)
µ1 =
L
∑
i=t+1
i · pi
ω1
(10)
ω0 =
t
∑
i=1
pi;
(11)
ω1 =
L
∑
i=t+1
pi;
(12) (9) (9) (10) (11) (12) where L is the number of levels and pi is defined as the ratio ni/N. ni denotes the number
of pixels at level i, and N is the total number of pixels. As mentioned earlier, the successful application of the Otsu algorithm relies on the
presence of a distinct bimodal distribution in the histogram. In the scenario where the
edge Ei is placed in areas where portions of the image are occupied mainly by water with a
small proportion of dry sediments, Ai will be formed mainly by the water class, resulting
in a unimodal histogram (Figure 4A). Similarly, if Ei is placed where mainly dry soil is
present, Ai will be formed mainly through dry pixels (Figure 4B). In both cases, the Otsu’s
thresholding algorithm will yield an unreliable threshold. To avoid this, the proposed Self-
Adaptive thresholding approach takes advantage of the second run to adjust the position
of the wet–dry edges Ei until the sampling area Ai includes approximately 50% of pixels
from each class (Figure 4C). In Section 5.1, we will describe the gradual improvement in
the bimodality characteristic of the histogram, which is achieved through two cycles of
the procedure. Furthermore, we will report the threshold values and the corresponding
relative binary masks for the specific case study. 11 of 24 Remote Sens. 2023, 15, 3622 Figure 4. Examples demonstrating the effect of positioning the wet–dry edges Ei on histogram
sampling and the resulting water mask. Row (A) displays the unimodal histogram generated when
the wet–dry edges Ei are positioned in areas of the image predominantly occupied by water, with a
small proportion of dry sediments. 3.4. Self-Adaptive Thresholding Approach to River Water Delineation Conversely, row (B) shows the unimodal histogram generated
when Ei are placed in areas of the image predominantly occupied by dry sediments. Row (C)
represents the case when Ei guarantees that the sampling area Ai includes approximately 50% of
pixels from each class. The backscatter cross-section highlights the threshold value as a yellow square. 4 Case Study Figure 4. Examples demonstrating the effect of positioning the wet–dry edges Ei on histogram
sampling and the resulting water mask. Row (A) displays the unimodal histogram generated when
the wet–dry edges Ei are positioned in areas of the image predominantly occupied by water, with a
small proportion of dry sediments. Conversely, row (B) shows the unimodal histogram generated
when Ei are placed in areas of the image predominantly occupied by dry sediments. Row (C)
represents the case when Ei guarantees that the sampling area Ai includes approximately 50% of
pixels from each class. The backscatter cross-section highlights the threshold value as a yellow square. 4. Case Study The proposed algorithm has been applied and tested on the Tagliamento river (north
east Italy), a large gravel bed braided river recognized as a reference fluvial system for its
near-natural dynamics [78]. Its catchment covers an area of about 2700 km2 from the Italian
Alps to the Adriatic Sea, with a total length of 178 km. The study focuses on a 13 km long
reach located in the foothill area of Friulian Pre-Alps, downstream of the Pinzano gorge
(Figure 5). It has a mean longitudinal gradient equal to 3.4 m/km and the active channel
reaches a width of 1000 m. During flood events, this section of the river shows significant
variations in the water surface area, induced by the inundation of lateral channels and
sediment bars. The reach is also morphologically active, showing frequent erosion of banks
and vegetated islands. The hydrologic regime of the Tagliamento river can be classified as a pluvio-nival
regime [78]. The snow melt during the spring season (April–June) sustains the discharge
(Figure 6A), ensuring a period of significant mobility of the riverbed, particularly when
associated with rain events. Major floods generally occur in autumn, when heavy rains are
more likely, with humid air masses moving north from the sea. In the present work, we
used data from the hydrometric station in Venzone, about 20 km upstream of the study
reach, with a particular focus on the floods that occurred on October 2018, November 2019,
and December 2020 (black arrows in Figure 6B). 12 of 24 Remote Sens. 2023, 15, 3622 Figure 5. Location of the Tagliamento catchment in north east Italy (frame A) and aerial view of the
study site (frame B). Frame (C) displays the longitudinal profile of the river bed, with the red box
highlighting the investigated reach. Figure 5. Location of the Tagliamento catchment in north east Italy (frame A) and aerial view of the
study site (frame B). Frame (C) displays the longitudinal profile of the river bed, with the red box
highlighting the investigated reach. Figure 5. Location of the Tagliamento catchment in north east Italy (frame A) and aerial view of the
study site (frame B). Frame (C) displays the longitudinal profile of the river bed, with the red box
highlighting the investigated reach. Figure 6. 4. Case Study (A) seasonal flow variation from 2002 to 2022, and (B) flow regime for the years 2018, 2019,
and 2020, as measured at the Venzone gouging station. In panel (B), the gray solid line and the two
gray dashed lines are the median, the maximum, and the minimum value for every single day in the
period 2002–2022, respectively. Figure 6. (A) seasonal flow variation from 2002 to 2022, and (B) flow regime for the years 2018, 2019,
and 2020, as measured at the Venzone gouging station. In panel (B), the gray solid line and the two
gray dashed lines are the median, the maximum, and the minimum value for every single day in the
period 2002–2022, respectively. The new Digital Elevation Model (DEM) of Italy presented by [79] was used to im-
plement the radiometric terrain correction. The DEM was generated through Delaunay
tessellation of a heterogeneous dataset, coming from different Italian public bodies. Its
vertical accuracy was assessed on an independent set of control points and, in the region of
interest, is less than 2 m, which is considered sufficient for the study objectives. The spatial
resolution is compatible with the 10 m pixel size of Sentinel-1 imagery. The correction of the radiometric distortions was performed using the volumetric
model (Equation (2)), as suggested by [57,80], for case studies with predominant agricul-
tural land use. 5.1. Sensitivity Analysis 5.1. Sensitivity Analysis Three hundred Sentinel-1 images entirely covering the study reach were analyzed,
in the time spans from January 2014 to June 2021. During this period, the hydrometric level
at the Venzone gauging station ranged from a low flow up to 4.27 m, which was reached
during the flood event named Vaia, which occurred at the end of October 2018. At low
flow, particularly during summer, the river bed is often completely dry, due to a natural
down-welling process in the huge alluvial sediment deposit [81]. To avoid issues with a
completely dry reach, we selected images with a corresponding water level at Venzone
larger than 0.25 m. g
For each image, the procedure outlined in Section 3 and Figure 1 was applied, obtaining
a classified map of the water surface extension and the estimated value of the threshold ti
that better differentiates between water and dry sediments. The influence of the buffer amplitude Bd on the threshold ti was investigated through
a sensitivity analysis, varying the buffer amplitude from 50 m to 300 m. The 300 values
of ti were then interpolated using a non-parametric kernel distribution with a Gaussian
normal distribution function with mean equal to ti and a bandwidth of 0.25 dB. Figure 7 shows the effect of increasing the buffer distance from 50 m to 300 m. It is
worth pointing out that the active corridor width is about 1000 m, with single channels of
the braided network being 50 m to several hundred meters wide. It is therefore reasonable to
expect a buffer distance in the proposed range. The comparison between the six probability
distribution functions and the fitting curve of the most likely threshold values (Figure 7)
shows that, for increasing values of the buffer amplitude, the mode shifts towards positive
values. This effect is due to the progressive inclusion of pixels representing other land
classes, such as vegetation, characterized by volume backscattering, and thus with a
stronger backscatter than water and dry sediments. Most probable values of the threshold
ti range between −19 and −20 dB, with a maximum mode difference of about 1.5 dB. A higher value of the threshold results in more pixels classified as water. Differences are,
however, limited, in terms of mapping of the main channels. 5.1. Sensitivity Analysis To keep the procedure simple
and automated, our suggestion is to select the lower value of the buffer distance to avoid
including a significant number of pixels belonging to other land use classes. g
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Moreover, the influence of the first value VH0 was tested for Bd equal to 50 and
100 m, running a second cycle of the thresholding algorithm and imposing the threshold
estimate in the first cycle as the initial value. Figure 8 shows the histograms of the pixels
included in the area Ah with the estimated threshold ti represented by the red vertical
line. The second run shows a better separation of the two classes, with a clearly bimodal
distribution. However, the values of the threshold are only slightly different, resulting in
an estimated area of the water surface that differs mainly because of sparse, isolated pixels
(red pixels in the right panel in Figure 8). The histograms in the case of Bd equal to 100 m
further confirm that, with a wider buffer it is likely the area Ah that includes a third class
of land use (vegetation in this case), represented by the third peak at -14 dB that appears
clearly on the right of the histograms after the second run. y
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In summary, the sensitivity analysis indicated that running the algorithm with a buffer
width Bd of 50 m yielded favorable results. Additionally, it confirmed the advantages of
using a double cycle approach, as it produced histograms with a more distinct bimodal
characteristic and reduced the dependence on the initial VH0 value. 5. Results In this section, we start by presenting the sensitivity analysis of the thresholding
parameters; then, the calibrated procedure is applied to three flood events in October 2018,
November 2019, and December 2020, with return intervals of approximately 10, 4 and
3 years, respectively. In particular, we quantified (i) the area inundated by water as a
function of the water level and (ii) the lateral bank erosion rate. Remote Sens. 2023, 15, 3622 13 of 24 13 of 24 5.2. Inundation Dynamics The results of the classification of the water surface area for the 300 images from
2014 to 2021 are shown in Figure 9, in terms of the proportion of total active corridor area
inundated by water as a function of the hydrometric level at the Venzone gauging station. Hydrometric data were shifted back by 1 h with respect to the image timing, to take into
account the flood propagation from Venzone to the study reach. The 1 h shift has been
evaluated, referring to a second gauging station and approximated hydraulic computations. 14 of 24 14 of 24 Remote Sens. 2023, 15, 3622 Figure 7. Comparison of the interpolated probability density functions obtained in the six cases, with
Bd varying from 50 to 300 m (left) and fitting of the most likely threshold values with prediction
bounds and residuals (right). Figure 7. Comparison of the interpolated probability density functions obtained in the six cases, with
Bd varying from 50 to 300 m (left) and fitting of the most likely threshold values with prediction
bounds and residuals (right). Figure 8. Histograms and the corresponding threshold values obtained after the first and second
run of the Otsu thresholding algorithm (first and second column, respectively) in the cases of buffer
width Bd set to 50 and 100 m (first and second row, respectively). The panels on the right illustrate
the classification differences between the first and second run. The red pixels represent areas that
changed from being classified as water after the first run to being classified as dry soil after the
second run. Figure 8. Histograms and the corresponding threshold values obtained after the first and second
run of the Otsu thresholding algorithm (first and second column, respectively) in the cases of buffer
width Bd set to 50 and 100 m (first and second row, respectively). The panels on the right illustrate
the classification differences between the first and second run. The red pixels represent areas that
changed from being classified as water after the first run to being classified as dry soil after the
second run. 5.2. Inundation Dynamics Figure 9 shows two distinct behaviors: (i) for a water level between 0.25 m and 1 m
(red points), the proportion of wet areas increases markedly from 20% to 60%; (ii) for
a water level higher than 1 m (blue points) the proportion of wet areas increases less
rapidly, reaching 100%, i.e., full inundation of the active corridor, for a water level of
about 3 m. At flow levels lower than 1 m, the number of channels increases significantly,
with the activation of lateral channels and submergence of low bars. For higher water
levels, channels start to merge, and the higher bars and vegetated islands are submerged. The values observed from this analysis are similar to what has been observed on shorter
reaches by [82,83], who used field surveys and fixed cameras. 15 of 24 Remote Sens. 2023, 15, 3622 Figure 9. (A) Water level recorded at the gauging station of Venzone from 2014 to 2021; (B) wet area
proportion for the 300 analyzed images. Figure 9. (A) Water level recorded at the gauging station of Venzone from 2014 to 2021; (B) wet area
proportion for the 300 analyzed images. The potentiality of the SAR images mapping is well expressed by the analysis at the
single flood scale, for the events in the October 2018, November 2019, and December 2020
scale (red, yellow, and green arrows in Figure 9A). Figure 10 shows the hydrographs (blue
line) registered at the Venzone gauging station and the corresponding time evolution of
wet area proportion evaluated at the reach scale (magenta line), for the three events. At the
top of each panel, the red points show the acquisition time of the SAR Sentinel-1 images,
whereas green points show the available multi-spectral Sentinel-2 images, highlighting the
impossibility of evaluating the during-flood dynamics with this passive sensor. The analysis shows that in all three events, the entire active corridor was inundated
(values of the wet area have a proportion up to 1). Moreover, despite the observed changes
in the local configuration of the channel network, the analysis shows little variations in
the wet area’s proportion before and after the flood, indicating a sort of equilibrium at the
reach scale. 5.2. Inundation Dynamics The large variability of the blue points in Figure 9B shows that, particularly at
low flow, the channel network configuration may change not only in terms of the location
of the channel, but also in terms of the total wet area. Figure 11 reports with more details the inundation dynamics observed during the
event in 2019. November 2019 was a very rainy month, with high flows occurring during
the entire month, and five subsequent peaks, with the highest reaching more than 3.5 m. The first five panels show 5 of the 14 classified SAR images for this month, with water level
ranging from 0.31 m to 3.29 m. The images help to visualize the increase in the wet area
for higher values of the flow level. Moreover, the classified maps show the changes in the
channel network before and after the flood, with several channels formed/closed at high
flow. The red box in the bottom-left part of the reach highlights a local example of lateral
bank erosion. To better observe the morphological changes, a zoomed-in image in the red
box is reported in the right panel of Figure 11, with the channel location before the flood
mapped in blue and the channel after the flood in red. Bank erosion occurred along 340 m,
with an average retreat of about 130 m. The high temporal resolution of the Sentinel-1 images allows a detailed investigation
of the processes of bank erosion. In Figure 12, the time evolution of the cumulative bank
erosion (in red) and the erosion velocity (in green) are reported, compared to the flow level
(in blue). The analysis shows no erosion during the first three smaller floods, with the
bank retreat starting during the major peak. In this phase, the bank was eroded at a rate
larger than 1 m/h. The erosion continued for several days, with a rate of tens of cm per
hour, even if the flow level decreased to values lower than those of the first three floods. These observations support previous studies, pointing out the role of major floods and
bank saturation for the initiation of bank erosion [84]. 16 of 24 Remote Sens. 2023, 15, 3622 Figure 10. Temporal evolution of water level (blue line) and the corresponding proportion of wet
area s (magenta line) for the three floods in October 2018, November 2019, and December 2020 (top to
bottom panels, respectively). 6.1. Potential Implications for Fluvial Geomorphology and River Management 6.1. Potential Implications for Fluvial Geomorphology and River Management 6.1. Potential Implications for Fluvial Geomorphology and River Management The framework was tested on a 13 km long section of the Tagliamento River, a large
and dynamic gravel bed river, where significant changes in the channel network occur fre-
quently. This gave us the opportunity to test the advantages of SAR data to investigate river
dynamics at the sub-flood temporal scale. Indeed, SAR imagery is not affected by cloud
cover, and this is a foremost advantage when considering flood dynamics. Figure 10 shows
the significant difference in usable images considering Sentinel-1 and Sentinel-2 missions,
with the latter negatively affected by clouds. Multi-spectral Sentinel-2 imagery provides
only before–after flood mapping, rarely allowing for detailed monitoring during floods. y
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The application was successful in computing the relation between the proportion of
the wet area in the active channel and flow level, using 300 images over a period of 7 years. Similar analysis on close-by reaches made in the past [82,83] involved time-consuming field
measurements and the installation of fixed cameras to overcome the lack of remotely sensed
imagery at a high flow. The possibility of easily extending this application to other reaches
on the same river and in other catchments opens up new perspectives for river managers,
as it provides the opportunity to assess changes caused by human intervention or by natural
processes, in both the inundation dynamics and temporal evolution of the morphology. From a management perspective, the proposed method has a twofold relevance
for both environmental protection and hydraulic risk mitigation. Indeed, the relationship
between the time-varying wet area and the river flood stage can be considered as a proxy
for assessing the availability and temporal dynamics of aquatic habitats in the target reach. This is particularly relevant in braided or multi-thread rivers, where habitat evaluation
with standard, field-based methods still poses relevant challenges [85]. Information made
available through the proposed method can support decision-making processes associated
with ecological flow design because it readily quantifies the maximum possible spatial
extent of aquatic available habitat under a broad set of flow conditions. Furthermore, its
capability of providing information with high temporal resolution on channel inundation
during floods greatly facilitates the assessment of inundation risk areas, which is at the
basis of prevention measures for mitigating flood risk. 5.2. Inundation Dynamics Red dots are the available Sentinel-1 images and the green dots are the
Sentinel-2 available images with cloud cover less than 15%. Figure 10. Temporal evolution of water level (blue line) and the corresponding proportion of wet
area s (magenta line) for the three floods in October 2018, November 2019, and December 2020 (top to
bottom panels, respectively). Red dots are the available Sentinel-1 images and the green dots are the
Sentinel-2 available images with cloud cover less than 15%. Figure 10. Temporal evolution of water level (blue line) and the corresponding proportion of wet
area s (magenta line) for the three floods in October 2018, November 2019, and December 2020 (top to
bottom panels, respectively). Red dots are the available Sentinel-1 images and the green dots are the
Sentinel-2 available images with cloud cover less than 15%. Figure 11. Maps of the estimated wet area during the floods in November 2019, for different values
of the water level. The red box locates a major lateral bank erosion event highlighted in the last panel
on the right. Figure 11. Maps of the estimated wet area during the floods in November 2019, for different values
of the water level. The red box locates a major lateral bank erosion event highlighted in the last panel
on the right. 17 of 24 17 of 24 Remote Sens. 2023, 15, 3622 Figure 12. Time evolution of the cumulative lateral erosion (red line) and erosion rate (green line),
compared to the flow level measured at the Venzone gauging station (blue line). Figure 12. Time evolution of the cumulative lateral erosion (red line) and erosion rate (green line),
compared to the flow level measured at the Venzone gauging station (blue line). 6.1. Potential Implications for Fluvial Geomorphology and River Management In the global context of increasing
anthropogenic stressors on river systems at multiple scales [86], as well as the rising impact Remote Sens. 2023, 15, 3622 18 of 24 18 of 24 of climate stressors that can influence flood frequency, duration, and intensity, the proposed
algorithm can be critical in disentangling those relations. It is particularly valuable during
periods when other remote sensing sources may be limited, especially during flood events. p
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Furthermore, the proposed mapping procedure proved valid in quantifying river bank
erosion rates at the scale of single floods. Bank erosion is a relevant morphological process
that affects river evolution and ecology [87]. Predicting and modeling river bank erosion is
a challenging task because it strongly depends on local effects as well as a combination of
hydraulic and geotechnical processes of the river and the bank itself, including the root
reinforcement in the presence of riparian vegetation. To improve our ability to model this
process, more observations and quantitative data are essential. Recently, [88] proposed
a global inventory of riverbank erosion, based on Landsat imagery of the last 20 years,
confirming channel width as the main control but also highlighting large variability among
rivers. Our application showed that SAR data can be successfully used to quantify riverbank
erosion at the event scale, producing valuable information on the erosion rate at a daily
scale, compared to the monthly/yearly scale of previous remote sensing applications. This
allowed for an accurate evaluation of when the bank erosion process started, as well as
the relationship with the flow level and its variations in time. Similarly to what has
been discussed for the mapping of wet areas, the proposed procedure has the potential
to detect bank erosion events at a much finer temporal scale, providing highly valuable
data for river management but also for the calibration and validation of morphological
numerical models. These observations can help with understanding the response of rivers
with complex morphology to climate and anthropogenic stressors, quantifying the lateral
shift of channels and their morphological dynamics. This algorithm is focused on the analysis at the flood-event time scale, while the river
management shall also consider longer-term effects. It is known that the river morphology
can be heavily modified because of anthropogenic stressors and also due to climate vari-
ability. 6.1. Potential Implications for Fluvial Geomorphology and River Management Despite the possibility of extracting multi annual time-series of the wet area also
covering flood events for the same reach, the application of our algorithm can also provide
relevant information at those longer time scales. 6.2. Advantages, Limitations, and Further Development of the Proposed Procedure 6.2. Advantages, Limitations, and Further Development of the Proposed Procedure This paper presented an unsupervised and cloud-based algorithm, developed within
the Python API of Google Earth Engine, that allows the processing of a Sentinel-1 image
stack for the automatic detection of river flood dynamics and the associated morphological
evolution. As recently pointed out by [89], GEE is a computing platform that can help
geomorphologists (and other scientists) using huge amounts of spatially and temporally
rich data (in the order of petabytes), overcoming the limitations caused by computing and
data storage costs. Remote sensing data significantly transformed fluvial geomorphology
in the last decade [14], with most applications involving multi-spectral passive aerial or
satellite imagery [90]. Active SAR satellite data such as Sentinel-1 imagery have been
demonstrated to provide a valuable asset to map inundated areas [49,91,92], with high
accuracy of the water mapping when compared to other sources. Our investigation confirms the potential of this technique and shows that an unsuper-
vised, cloud-based algorithm produces accurate results, with limited need for parameter
calibration. In particular, the analysis pointed out the effect of the buffer distance from
the estimated edges Bd and of the starting value of the backscattering threshold VH0
needed to compute the initial wet–dry edges. We showed that a relatively small buffer
width (compared to the channel width) seems more appropriate to avoid including other
land classes in the area of interest where the histograms will be produced. Furthermore,
through the sensitivity analysis, we demonstrated that, with a second cycle of the Otsu
function [76], and with the first computed threshold as starting point for the second run,
we can increase the accuracy of the model, making the threshold value independent of the
initial attempt value VH0 and producing a more clearly bimodal histogram. In this way,
the selected Otsu thresholding algorithm is most efficient. However, differences are not Remote Sens. 2023, 15, 3622 19 of 24 19 of 24 large, and a cost/benefit analysis depends on the objectives of the study. Our approach
extends the method proposed by Donchyts et al. [38] and differs from those presented
by Chini et al. [39], Cao et al. [40], and Tan et al. [41]. Indeed, after the tiling process of
the images, their methods need to identify the tiles that are more suitable for evaluating
the threshold. 6.2. Advantages, Limitations, and Further Development of the Proposed Procedure This was achieved by applying methods such as the Jeffries–Matusita (JM)
distance function [93], the Bimodality Test (BT) [94], and the KMM algorithm proposed by
Ashman [95]. The self-adaptive Otsu algorithm proposed in this paper adjusts the sampling
area in such a way that the number of wet pixels is approximately equal to the number of
dry pixels. Therefore, the method does not require a bimodality check of the histogram. y p
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Moreover, the proposed procedure is designed to enrich the imagery metadata through
flow levels at the time of image acquisition. Wherever such flow data are available, the GEE
procedure automatically extracts images above, below, or in between the defined thresholds,
allowing for correlations to be established between the wet area and flow rate and last but
not least significantly reducing the computation time and the operator intervention. This
approach can be also applied to other fields of research. Integrating data coming from the
near-daily monitoring of river surface temperature (RST) using satellite-based observations
could provide valuable support for analyzing the impact of climate change on rivers [96],
the study of the interaction between hydro-thermopeaking downstream the hydropower
plants and summer heatwaves [97], and the improvement in the quality monitoring of river
water [98]. As described in Section 3.3, the value of K was set manually at a fixed value. However,
an alternative approach suggests choosing K based on the estimation of the noise level
present in the image. As highlighted by Singh et al. [69], the distribution that best represents
the statistical distribution of speckle noise in SAR images is a generalized Gamma probabil-
ity distribution [99,100]. We propose modifying the fixed-value approach by considering K
as a function of the variance of the generalized Gamma distribution function. The planimetric output for the flooded areas exhibits jaggedness as a result of speck-
ling in SAR data caused by both existing vegetation and water motion, which creates a
rippling effect on the water surface. Despite the application of denoising operations, the in-
herent variability of the backscatter signal has made it challenging to achieve continuous
classification, thereby posing a challenge for future development of the methodology. The
uncertainty in SAR-based flood mapping related to the speckle phenomenon has been
addressed in many studies [101,102]. The methodologies that address this issue range
from denoising approaches in the preprocessing phase to complex and computationally
intensive clustering techniques. 6.2. Advantages, Limitations, and Further Development of the Proposed Procedure Taking inspiration from these studies and ensuring that
performance will not be compromised, we intend to reduce fragmentation by incorporating
an additional step of regional growing (RG) into the proposed approach [103]. Furthermore, another element of uncertainty in the delineation of flooded areas is
related to the presence in silico of nearby dense canopy cover that induces a higher fre-
quency of misclassification. This is due to the interaction of the C-band SAR signal with
the treetops, which prevents the signal from reaching the water’s surface [104]. A potential
advancement in the proposed processing chain could involve the integration of C-band
and L-band SAR sensors, as suggested by Pierdicca et al. [105]. This coupling of different
SAR wavelengths has the potential to enhance the accuracy and robustness of the flood
area delineation process. Another element that influences the accuracy and robustness of the water surface
delineation, while also reducing planimetric fragmentation of the braided river network,
is the ground resolution of the SAR data. Sentinel-1 images, with a ground resolution
of 5 m × 20 m and pixel spacing of 10 m × 10 m, limit the application to rivers larger
than a few hundred meters, thereby excluding channels smaller than pixel size. Higher
ground-resolution satellites already exist (e.g., COSMO SkyMed and ICEYE) although they
are not easily available as Sentinel-1. However, the fast-evolving number and technological
capabilities of satellites will soon provide freely accessible imagery at meter or sub-meter Remote Sens. 2023, 15, 3622 20 of 24 20 of 24 resolution, opening the possibility of integrating multi-mission data and achieving sub-
daily monitoring of river dynamics during flood events. resolution, opening the possibility of integrating multi-mission data and achieving sub-
daily monitoring of river dynamics during flood events. y
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Currently, the processing chain is implemented for the VH band of Sentinel-1 data. With the aim of enhancing the accuracy and robustness of the flood-area-delineation process,
we intend to further couple the two bands VH and VV in the processing chain. The current process requires minimal computational effort, enabling the analysis of
15–20 images of a flood event within a few minutes. Author Contributions: Conceptualization: A.V., W.B. and G.Z. Data curation: D.R. Formal analysis:
D.R. and A.V. Methodology: D.R., A.V. and W.B. Software: D.R. Supervision: A.V., W.B. and G.Z. Writing—original draft: D.R. Writing—review & editing. A.V., W.B. and G.Z. 6.2. Advantages, Limitations, and Further Development of the Proposed Procedure All authors have read
and agreed to the published version of the manuscript. Funding: The authors acknowledge the Italian Ministry of Education, Universities and Research
(MUR) in the framework of the project DICAM-EXC (Departments of Excellence 2023–2027, grant
L232/2016). Data Availability Statement: The The Level 1 (L1) GRD product of Synthetic Aperture Radar (SAR)
imagery acquired from Sentinel-1 and associated metadata are available at the Earth Engine’s public
data archive: https://developers.google.com/earth-engine/datasets/catalog/COPERNICUS_S1
_GRD (accessed on 1 January 2022). Conflicts of Interest: The authors declare no conflict of interest. References 1. Anderson, E.P.; Jackson, S.; Tharme, R.E.; Douglas, M.; Flotemersch, J.E.; Zwarteveen, M.; Lokgariwar, C.; Montoya, M.; Wali, A.;
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The average conformation tensor of inter-atomic bonds as an alternative state variable to the strain tensor: definition and first application ś the case of nanoelasticity
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The average conformation tensor of inter-atomic bonds
as an alternative state variable to the strain tensor:
definition and first application - the case of
nanoelasticity
Thierry Désoyer Thierry Désoyer To cite this version: Thierry Désoyer. The average conformation tensor of inter-atomic bonds as an alternative state
variable to the strain tensor: definition and first application - the case of nanoelasticity. Journal
of Theoretical, Computational and Applied Mechanics, 2023, pp.1-18. 10.46298/jtcam.7366. hal-
01654624v5 Distributed under a Creative Commons Attribution 4.0 International License The average conformation tensor of inter-atomic bonds
as an alternative state variable to the strain tensor:
definition and first application ś the case of
nanoelasticity History
Received
Apr 14, 2021
Accepted
May 1, 2023
Published
Jun 6, 2023 Associate Editor
Laszlo S. Toth Thierry Désoyer Reviewer
Ranganathan Parthasarathy Aix Marseille Université, CNRS, Centrale Marseille, LMA, 4, impasse Nikola Tesla, F-13453, Marseille, France Most of the mechanical models for solid state materials are in a methodological framework where a strain
tensor, whatever it is, is considered as a thermodynamic state variable. As a consequence, the Cauchy
stress tensor is expressed as a function of a strain tensorÐand, in many cases, of one or more other state
variables, such as the temperature. Such a choice for the kinematic state variable is clearly relevant in the
case of infinitesimal or finite elasticity. However, one can ask whether an alternative state variable could
not be considered. In the case of finite elastoplasticity, the choice of a strain tensor as the basic, kinematic
state variable is not totally without issue, in particular in relation to the physical meaning of the internal
state variable describing the permanent strains. In any case, this paper proposes an alternative to the
strain tensor as a state variable, which is not based on the deformation (Lagrangian) gradient: the average
conformation tensor of inter-atomic bonds. The purpose, however, is restricted to (1) a particular type of
materials, namely the pure substances (copper or aluminium, for instance), (2) the nanoscale, and (3) the
case of elasticity. The very simple case of two atoms of a pure substance in the solid state is first considered. It is shown that the kinematics of the inter-atomic bond can be characterized by a so called łconformationž
tensor, and that the tensorial internal force acting on it can be immediately deduced from a single scalar
function, depending only on the conformation tensor: the state potential of free energy (or interaction
potential). Using an averaging procedure, these notions are then extended to a finite set of atoms, namely
an atom and its first neighbours, which can be seen as the łunit cellž of a pure substance in the solid state
considered as a discrete medium. They are also transposed to the Continuum case, where an expression of
the Cauchy stress tensor is proposed as the first derivative of a state potential of density (per unit mass) of
average free energy of inter-atomic bonds, which is an explicit function of the average conformation
tensor of inter-atomic bonds. HAL Id: hal-01654624
https://hal.science/hal-01654624v5
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Computational and
Applied Mechanics The average conformation tensor of inter-atomic bonds
as an alternative state variable to the strain tensor:
definition and first application ś the case of
nanoelasticity By applying a standard procedure in Continuum Thermodynamics, it is then
shown that the objective part of the material derivative of this new state variable, at least in the case
when the pure substance can be considered as an elastic medium, is equal to the symmetric part of the
Eulerian velocity gradient, that is the rate of deformation tensor. In the case of uniaxial tension, a simple
relationship is eventually set out between the average conformation tensor and a strain tensor, which is
correctly approximated by the usual infinitesimal strain tensor as long as the conformation variations
(from an initial state of conformation) are łsmallž. From this latter result, and assuming an elastic behavior,
a simple expression for the state potential of density of average free energy is inferred, showing great
similarities withÐbut not equivalent toÐthe classical model of isotropic, linear elasticity (Hooke’s law). Keywords: solid state, inter-atomic bonds, conformation tensor, continuum mechanics, Cauchy stress tensor,
continuum thermodynamics, uniaxial tension, elasticity model 1 Introduction The fact is
that the multitude of experimental results concerning the mechanical behavior of materials
in the solid state does not disprove this assumption, where some component (in a prescribed
basis) of the stress tensor undoubtedly depends on some component of a strain tensor. It is also
true that the numerical simulations based on mechanical models obeying Equation (1) most
often lead to physically relevant results. However, neither the experiments nor the numerical
simulations definitely prove that a strain tensor 𝑺is the first and only kinematic variable which
can be associated with 𝝈. At the very least, the question can be asked about the existence of an
alternative kinematic variable. Although it seems without much interest in the elastic case, the
question of whether an alternative to a strain tensor 𝑺could be used to express the stress tensor
𝝈is therefore not without interest. The same question is both relevant and interesting when mechanical models more advanced
than elasticity models are considered, where, in addition to 𝑺, other state variables (the internal
variables) have to be taken into account. Such models are clearly outside the scope of this study,
which is only devoted to elasticity. It is however interesting to mention them, but only in this
introduction, because they confirm the interest of looking for an alternative kinematic variable to
a strain tensor. The elastoplasticity models are well known examples of such models. In the
presence of finite strains, elastoplasticity models are generally based on the assumption that
the deformation (Lagrangian) gradient tensor 𝑻must follow a multiplicative decomposition
into an elastic part 𝑻𝑒and a plastic part 𝑻𝑝. In the vast majority of cases, the decomposition
𝑻= 𝑻𝑒· 𝑻𝑝is selected (Mandel 1972; Asaro 1983; Boyce et al. 1989). However, it has to be said
that this choice is never clearly justified, either kinematically or physically. Moreover, this way of
decomposing 𝑻assumes the existence of a so-called intermediate configuration of the considered
solid, which acts as a reference configuration for the calculation of 𝑻𝑒. Nevertheless, when the initial (reference) and current configurations are pure geometrical
and kinematical concepts, the intermediate configuration can be defined only on the basis of
a condition on the internal forces, namely that the stress field vanishes, at least locally. The
definition of the intermediate configuration is therefore constrained by the mechanical model. 1 Introduction Any mechanical behavior model for a solid state material is defined by a set of constitutive
equations, one of these equations generally linking the Cauchy stress tensor 𝝈to a strain tensor
𝑺and, if necessary, to so called internal variables (Coleman and Owen 1974), such as a plastic
strain tensor or a damage variable. In most casesÐand for the constitutive equations to be 1
18 Thierry Désoyer Average conformation tensor of inter-atomic bonds thermodynamically admissibleÐthe stress-strain equation is obtained by differentiating a state
potential of density (per unit mass) of Helmholtz free energy 𝜓, namely 𝝈= 𝜌𝜕𝜓
𝜕𝑺
(1 𝝈= 𝜌𝜕𝜓
𝜕𝑺 (1) where 𝜌is the density of the material. Thus, like the eventual internal variables and, in
thermomechanics, the temperature, a strain tensor 𝑺is one of the variables on which 𝜓depends,
in other words, it is a state variable. Let us first recall that the tensor field of current strains
𝑺(𝒙𝑡,𝑡) links the current configuration (i.e. the set of position vectors of the particles of a solid at
current time 𝑡: Ω𝑡= {𝒙𝑡} ∈R3) to a reference one (Ω𝑟= {𝒙𝑟} ∈R3), most often equal to the
initial configuration. More precisely, and at the local level, i.e. at any point of the solid, denoting
by 𝝋the Lagrangian description of the solid motion (such that 𝒙𝑡= 𝝋(𝒙𝑟,𝑡)), 𝑺is built from the
gradient of this description, 𝑻= grad𝐿𝝋, usually called the local deformation gradient. In other
words, a strain tensor, by construction, is irreducibly linked to a Lagrangian gradient, which itself
links Ω𝑡to Ω𝑟, whatever the evolution of the configuration between 𝑡𝑟and 𝑡. Since the pioneer work of Eringen (1980), among others, this way of building a mechanical
model has been widely and successfully used. Most of the proven mechanical models are built in
this way. They are sometimes calledÐat least in the isotropic, elastic case, for which 𝑺is the
only state variable to be taken into accountÐhyper-elastic models to underline that the 𝝈−𝑺
relationship derives from a state potential (Adkins 1961; Fu and Ogden 2001). The important point
that must be emphasized is that all these models are actually based on an implicit assumption,
namely that the only kinematic variable which can be associated with the Cauchy stress tensor
is a strain tensorÐor, in the elastoplastic case, an elastic part of a strain tensor. Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org 1 Introduction In
other words, the intermediate configuration for a given model is not the same as that for another
model, when the real configurationsÐinitial and currentÐare always the same, irrespective
of the model. Moreover, apart from some very particular and simple cases, like that of the
uniaxial tension of a laboratory specimen, the intermediate configuration cannot be observed: it
is fictitious and, consequently, physically questionable. It is nevertheless from this ill-defined Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org 2
18 Thierry Désoyer Average conformation tensor of inter-atomic bonds concept that a plastic deformation tensor 𝑺𝑝and an elastic deformation tensor 𝑺𝑒are proposed. As for the elastoplasticity models based on an additive decomposition of the rate of deformation
tensor 𝑫in an elastic part 𝑫𝑒and a plastic part 𝑫𝑝(Rice 1971), they purely and simply ignore
the issue of how the elastic and plastic strains might be described, which does not make it easy to
understand their physical meaning. At best, these last remarks, linked to the previous ones on the intermediate configuration,
leave open the question of the physical meaning of 𝑺𝑒and 𝑺𝑝. At worst, they sow doubt on their
physical relevance. At the very least, this calls for considering that the choice of the deformation
(Lagrangian) gradient tensor 𝑻as the basic, kinematical quantity, from which all the other
kinematical quantities are deduced, and, in the first place, the strain tensors, raises some difficult,
if not insoluble, issues. In any case, the present paper deals with the problem of the existence of
a state variableÐdenoted by 𝚪in the continuous caseÐas an alternative to a strain tensor 𝑺
and, more generally, without any connection with the Lagrangian gradient of some vector field. Formally, and due to the fact that this problem is closely linked to that of the definition of the
Cauchy stress tensor 𝝈, the main question asked in this paper is the following one: does 𝚪≠𝑺exist and does Υ(𝚪, . . .) exist such that 𝝈= 𝜌𝜕Υ
𝜕𝚪? (2) (2) where Υ denotes the state potential of the Helmholtz free energy density (per unit mass), and where
the state variable 𝚪, if it exists, must be physically relevant and, especially, objective (Eringen
1980; Murdoch 2003; Liu 2004). 1 Introduction It should be mentioned that, beyond the above usual mechanical
continuum approaches, other works exist where the problem of defining the Cauchy stress
tensor 𝝈in terms of quantities other than a strain tensor is addressed. One can quote (Kuzkin
et al. 2015) where 𝝈is expressed in terms of averaged interparticle distances and forces. In that
paper, the solids are indeed discrete. The approach followed there and the present approach
have a point in common where the basic kinematic quantity, the conformation tensor, is first
defined in the discrete case. However, their purpose is not exactly the same: while the emphasis
is put on the definition of 𝝈from the interparticle forces in (Kuzkin et al. 2015), the Cauchy
stress tensor is defined in the present study only in the continuous case, and after the notion of
conformationÐinitially introduced in the discrete caseÐhas been transposed to the continuous
case, under precisely defined conditions. For the sake of enhancement of the main new ideas, the question asked in Equation (2) is
applied only to pure substances in the solid state, in the restricted sense of substances made up of
only one type of atom, and not only one type of molecules. Metallic crystals are a good example
of pure substance, in which defects, punctual or linear (dislocations), can exist. Although it
will be only illustrated for perfect defect-free crystals in this study, the notion of conformation
remains valid for crystals with defects, it is important to underline it. Moreover, the present
study is limited to the elastic case (in the case of a crystal with defects, it must be then assumed
that they are in constant number and, for dislocations at least, immobile). Although the issues
linked to the usual way of modeling the elastoplastic strains are one of the reasons to look for an
alternative to a strain tensor as a state variable, it is indeed necessary to demonstrate that an
alternative variable to 𝑺can be found in elasticity since, in most of the materials, the mechanical
behavior is first elastic before becoming, possibly, elastoplastic. Another important limitation is
imposed to the purpose of this study. It relates to the spatial scale at which 𝚪is defined. As will
be seen, the elementary variable from which 𝚪is deduced is defined for two atoms of a pure
substance in the solid state. Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org 1 Introduction As a consequence, a clear physical meaning can be given to this new
state variable only at the atomic scale, and the field described by 𝚪is really relevant only at the
nanoscaleÐthat of a grain in a metallic material, for instance. No micro-macro methods will be
used in the present paper to investigate the physical meaning of the conformation tensor at
larger scales. By contrast, an equivalent continuous medium (in the sense of an equivalence of
energy, in the present case) will be associated to the real material where the conformation field,
observed at the nanoscale, is discrete. The paper is organized as follows. Two atoms of a pure substance in the solid state, that is to
say linked by an inter-atomic bond, are considered in Section 2, in order to precisely define the
basic kinematical and force-like quantities, namely, the conformation tensor of the inter-atomic Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org 3
18 Thierry Désoyer Average conformation tensor of inter-atomic bonds bond and the associated, internal force tensor. The discrete modeling of a łunit cellž defined by
an atom and its first neighbours is addressed in Section 3, where an average conformation tensor
is defined, with a clear geometrical interpretation, as well as a tensor of average internal forces. Section 4 is devoted to the Continuum description of a pure substance in the solid state, where a
continuous, quasi-uniform field of average conformation is first defined. As a direct consequence
of the fact that the energy of the (real) discrete unit cell and that of the (fictitious) continuous one
are equal, an average internal forces tensor (per unit mass) is next proposed. Directly linked to
the latter, a definition is finally proposed for the Cauchy stress tensor. The quantities defined in
Section 4 are considered from a thermodynamic point of view in Section 5. An expression is then
given for the objective part of the material derivative of the average conformation tensor, which
turns out to be the only possible one when the considered pure substance has an elastic behavior. The uniaxial tension is examined in Section 6, for which a relationship is easily established
between the average conformation tensor and a strain tensor. The particular case of łsmallž,
elastic conformation variations (with respect to an initial state of conformation) is also discussed. 2 Inter-atomic bond conformation tensor and internal force tensor Let 𝑎and 𝑏be two atoms of a pure substance in the solid state, that is to say, two atoms linked
by a so-called łinter-atomic bondž (e.g., a metallic bond). In this section, these two atoms are
assimilated to an isolated system, in the thermodynamic sense of the word. They are therefore
assumed to have no interaction of any kind with the other atoms of the pure substance that
surround them. On the other hand, they do interact with each other, a force resulting from this
interaction. The characteristic size of these atoms is given by the Bohr radius, which is approximately
5 × 10−2 nm, when the radius of an atomic nucleus is approximately 5 × 10−7 nm: at the atomic
scale, the nuclei can be considered as points. Furthermore, the mass of a nucleon is approximately
10−27 kg when that of an electron is approximately 10−30 kg: the mass of an atom is mainly
concentrated in its nucleus. The distance between the nuclei is denoted by 𝑟Ðwhich has the same 2D representation of two atoms 𝑎and 𝑏of a pure
substance in the solid state and of the inter-atomic
bond linking 𝑎and 𝑏Ðthe scale is thus
approximately 10−1 nm. The mass of each atom is
mainly concentrated in its nucleus, which is
considered as a point. The distance between the
nuclei is 𝑟and the unit vector of the direction
defined by the nuclei is ±𝒏. The dashed circles
provide a simplistic image of the electron clouds. 2D representation of two atoms 𝑎and 𝑏of a pure
substance in the solid state and of the inter-atomic
bond linking 𝑎and 𝑏Ðthe scale is thus
approximately 10−1 nm. The mass of each atom is
mainly concentrated in its nucleus, which is
considered as a point. The distance between the
nuclei is 𝑟and the unit vector of the direction
defined by the nuclei is ±𝒏. The dashed circles
provide a simplistic image of the electron clouds. ±𝒏
𝑟
nucleus (point) of atom 𝑎
nucleus (point) of atom 𝑏 ±𝒏
𝑟
nucleus (point) of atom 𝑎
nucleus (point) of atom 𝑏 nucleus (point) of atom 𝑎 nucleus (point) of atom 𝑏 value for all the observers in classical physicsÐand the unit vector of the direction defined by the
nuclei, by ±𝒏, see Figure 1. 1 Introduction From it, an expression for the state potential of the density of free energy is inferred, which
shows clear similarities withÐbut is not equivalent toÐthat defining the classical model of
isotropic, linear elasticity (Hooke’s law). Note finally that all the arguments, hypotheses and equations detailed in this study concern a
łfrozenž state of a pure substance in the solid state, observed at the generic time 𝑡. In other words,
the thermal and viscid effects are not taken into account. As a consequence, the thermodynamic
concepts of internal energy and Helmholtz free energy are equivalent. The latter will be
systematically used in all this paper. Figure 1 Tr 𝑵= Tr 𝑵· 𝑵= Tr 𝑵· 𝑵· 𝑵= 1. Tr 𝑵= Tr 𝑵· 𝑵= Tr 𝑵· 𝑵· 𝑵= 1. (5) n other words, 𝑵is a uniaxial tensor with 1 as sole non-zero eigenvalue. The conformation
ensor1 of the inter-atomic bond is then defined by (6) 𝑪= ln(𝑟)𝑵. The only non-zero eigenvalue of the symmetric tensor 𝑪defined by Equation (6) is ln(𝑟). In
other words, 𝑪is a uniaxial tensor. Since it is defined as the product of two objective quantities, it
is also an objective quantity. The only non-zero eigenvalue of the symmetric tensor 𝑪defined by Equation (6) is ln(𝑟). In
other words, 𝑪is a uniaxial tensor. Since it is defined as the product of two objective quantities, it
is also an objective quantity. The energy of the inter-atomic bond linking atom 𝑎and atom𝑏is then classically characterized
by a state potential 𝑝(𝑟) = 𝑞(𝑟(𝑟)) commonly called interaction potentialÐa pair potential, in this
case, since the system under consideration reduces to two atoms. No particular expression is
given to 𝑝(𝑟) in this study. It should just be noted that the minimum of this state potential is
obtained for 𝑟= 1, that is, following Equation (3), 𝑟= 𝑟𝑟. In the same classical way, the algebraic
value of the internal force undergone by the atoms is directly given by the first derivative of the
state potential 𝑓= 𝑝′(𝑟) = 1
𝑟𝑟
𝑞′(𝑟)
(7) 𝑓= 𝑝′(𝑟) = 1
𝑟𝑟
𝑞′(𝑟) (7) since 𝑟= 𝑟/𝑟𝑟, see Equation (3). In Equation (7), 𝑝′ (resp. 𝑞′) denotes the first derivative of 𝑝(resp. of 𝑞). It will be conventionally assumed in the study that 𝑓> 0 (resp. 𝑓< 0) when the internal
force is a tensile one (resp. a compressive one). Furthermore, the direction of the internal force is
that defined by the two atomic nuclei, ±𝒏. Hence, the internal force vector is given by 𝒇= ±𝑓𝒏. Like the vector of the relative position of the two nuclei, ±𝑟𝒏, 𝒇is an objective quantity. Another expression for the internal force can be proposed, which will make it possible to
once again overcome the problem of the non-uniqueness of the unit vector of the direction
defined by the two nuclei. The state potential is first rewritten as a function 𝑢(𝑪). For the value
of this function for a given conformation tensor 𝑪to be an objective quantity, the state potential
𝑢must depend only on the invariants of 𝑪, which are linked, as previously mentioned. 2 Inter-atomic bond conformation tensor and internal force tensor Both these quantities are objective, and their product, ±𝑟𝒏, is nothing
more than the vector of the relative position of the atomic nuclei. The length of the bond when
no force is applied can be considered as a characteristic length, denoted by 𝑟𝑟(depending on the
temperature, which however will not be taken into account in this study, where all thermal
effects are neglected). Then, the normalized length of the inter-atomic bondÐor, equivalently, the value for all the observers in classical physicsÐand the unit vector of the direction defined by the
nuclei, by ±𝒏, see Figure 1. Both these quantities are objective, and their product, ±𝑟𝒏, is nothing
more than the vector of the relative position of the atomic nuclei. The length of the bond when
no force is applied can be considered as a characteristic length, denoted by 𝑟𝑟(depending on the
temperature, which however will not be taken into account in this study, where all thermal
effects are neglected). Then, the normalized length of the inter-atomic bondÐor, equivalently, the Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org 4
18 Thierry Désoyer Average conformation tensor of inter-atomic bonds 1 In chemistry, the word łconformationž refers to the spatial arrangement of atoms, linked by inter-atomic bonds, in a
given molecule. However, as far as the author is aware, the chemists do not give a tensorial representation to the
conformation. normalized distance between the two nucleiÐis defined by malized distance between the two nucleiÐis defined by (3) 𝑟= 𝑟/𝑟𝑟. 𝑟= 𝑟/𝑟𝑟. Since 𝑟and 𝑟𝑟are objective quantities, so is 𝑟. The problem of the non-uniqueness of the unit
vector of the direction defined by the two nuclei, ±𝒏, is solved by considering the second-order
tensor 𝑵= 𝒏⊗𝒏= (−𝒏) ⊗(−𝒏). (4) As defined by Equation (4), 𝑵is a symmetric, positive-definite tensor. Its first three invariants are
not independent since Tr 𝑵= Tr 𝑵· 𝑵= Tr 𝑵· 𝑵· 𝑵= 1. (5) Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org 2ln(𝑟)
𝑟
𝑢′ = 𝑟𝑟𝑝′ = 𝑞′ = 𝑟𝑟𝑓
(9) 3 Average conformation tensor of inter-atomic bonds and average
internal forces tensor: Discrete case Any atom of a pure substance has an inter-atomic bond with some of its neighbours, the first ones
but also the second if not the third ones, the fourth... However, the interactions between an atom
and its first neighbours are clearly dominant. In any case, the latter are the only ones which will be
considered subsequently. For metallic materials, at least, this restriction of the range of interactions
allows to consider the domain 𝐷of the Euclidean space E occupied by an atomÐnumbered 1
throughout this paragraphÐof a pure substance and its first neighbours as a morphological
characteristic of the material (the łunit cellž, in crystallography), see Figure 2. According to 𝒆1
𝒆2
𝒆3
b𝑪1 = 1
12
Í12
𝑗=1 𝑪1,𝑗+1 = 1
12
Í12
𝑗=1 ln(𝑟1,𝑗+1)𝑵1,𝑗+1
2
3
4
5
6
7
𝑟1,2
8, 11
9, 12
10, 13
1
±𝒏1,5
𝐷 b𝑪1 = 1
12
Í12
𝑗=1 𝑪1,𝑗+1 = 1
12
Í12
𝑗=1 ln(𝑟1,𝑗+1)𝑵1,𝑗+1 Example of a material domain (a łunit cellž) 𝐷Ðan hexagonal close-packed pattern, here. The seven
atomic nucleiÐreduced to points in this studyÐbelonging to the plane of the figure, including the
central one numbered 1, are represented by black discs. An indication of the position of the six other
atomic nuclei, which are out of the plane, is given by the grey discs. Each of them correspond to the
projection, following 𝒆3 and in the plane (1, 𝒆1, 𝒆2) of two atoms, one above the plane (numbered 8, for
instance), the other one below the plane (numbered 11, for instance). Thus defined, the unit cell 𝐷is a
cuboctahedron, i.e. a convex polyhedron with 14 faces and 12 inter-atomic bonds are to be taken into
account, i.e. that of atom 1 with its 12 first neighbours. Each of these inter-atomic bonds is geometrically
characterized by an elementary conformation tensor 𝑪1,𝑗+1 = ln(𝑟1,𝑗+1)𝑵1,𝑗+1, with 𝑟1,𝑗+1 = 𝑟1,𝑗+1/𝑟𝑟and
𝑵1,𝑗+1 = (±𝒏1,𝑗+1) ⊗(±𝒏1,𝑗+1), see also Equation (6). The average conformation tensor b𝑪1 is built from
these elementary tensors as shown in the figure and Equation (12). Figure 2 the concepts defined in Section 2, the bond between atom 1 and one of its first neighbours,
𝑗+ 1, is fully characterized by the elementary conformation tensor 𝑪1,𝑗+1 = ln(𝑟1,𝑗+1)𝑵1,𝑗+1
where 𝑟1,𝑗+1 = 𝑟1,𝑗+1/𝑟𝑟and 𝑵1,𝑗+1 = (±𝒏1,𝑗+1) ⊗(±𝒏1,𝑗+1). Tr 𝑵= Tr 𝑵· 𝑵= Tr 𝑵· 𝑵· 𝑵= 1. The
square of the Euclidean norm of the conformation tensor, 𝑪: 𝑪= ln2(𝑟), is then considered as
the only variable on which 𝑢depends. Obviously, the state of free energy of the inter-atomic
bond is the same whether the state potential of free energy is expressed as a function of 𝑟or 𝑟or
𝑪. Thus, the relation 𝑢(𝑪: 𝑪) = 𝑞(𝑟) = 𝑝(𝑟(𝑟)) (8) is necessarily verified. Given that 2ln(𝑟)
𝑟
𝑢′ = 𝑟𝑟𝑝′ = 𝑞′ = 𝑟𝑟𝑓 (9) 1 In chemistry, the word łconformationž refers to the spatial arrangement of atoms, linked by inter-atomic bonds, in a
given molecule. However, as far as the author is aware, the chemists do not give a tensorial representation to the
conformation. Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org 5
18 Thierry Désoyer Average conformation tensor of inter-atomic bonds where 𝑢′ denotes the first derivative of 𝑢, and given also that, in agreement with Equation (6) where 𝑢′ denotes the first derivative of 𝑢, and given also that, in agreement with Equation (6) 𝜕𝑢
𝜕𝑪= 𝑢′ 𝜕(𝑪: 𝑪)
𝜕𝑪
= 2𝑢′𝑪= 2 ln(𝑟)𝑢′𝑵,
(10) (10) the following internal force tensor can then be defined, according to Equation (9): the following internal force tensor can then be defined, according to Equation (9): he following internal force tensor can then be defined, according to Equation (9): 𝑭= 1
𝑟
𝜕𝑢
𝜕𝑪= 𝑓𝑵. (11 𝑭= 1
𝑟
𝜕𝑢
𝜕𝑪= 𝑓𝑵. (11) Indeed, thus defined, the symmetric tensor 𝑭has a single non-zero eigenvalue, 𝑝′(𝑟), which is the
algebraic value 𝑓of the internal force, see Equation (7). Note also that all the quantities appearing
on the right hand side of Equation (11) are objective. As a consequence, 𝑭is an objective quantity. Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org Figure 2 3 Average conformation tensor of inter-atomic bonds and average
internal forces tensor: Discrete case The average conformation tensor b𝑪1
of atom 1 can then be simply defined as b𝑪1 = 1
𝑁𝑙
𝑁𝑙
Õ
𝑗=1
𝑪1,𝑗+1 = 1
𝑁𝑙
𝑁𝑙
Õ
𝑗=1
ln(𝑟1,𝑗+1)𝑵1,𝑗+1
(12) (12) where 𝑁𝑙is the number of inter-atomic bonds of atom 1 (or, equivalently, the number of its first
neighbours). In Figure 2, 𝑁𝑙= 12. Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org 6
18 Thierry Désoyer Average conformation tensor of inter-atomic bonds Like 𝑪in Equation (6), the tensor b𝑪1 is symmetric. Unlike 𝑪, it has generally three different
non-zero eigenvalues. Since it is defined as the sum of objective quantities, b𝑪1 is an objective
quantity. Its trace is Tr b𝑪1 = 1
𝑁𝑙
𝑁𝑙
Õ
𝑗=1
(𝑪1,𝑗+1 : 𝑮) = 1
𝑁𝑙
𝑁𝑙
Õ
𝑗=1
ln(𝑟1,𝑗+1)
(13) (13) where 𝑮is the metric tensor. Denoting byb𝑟the geometric mean of 𝑟= 𝑟/𝑟𝑟, the first invariant of
b𝑪1 is then simply such that where 𝑮is the metric tensor. Denoting byb𝑟the geometric mean of 𝑟= 𝑟/𝑟𝑟, the first invariant of
b𝑪1 is then simply such that Tr b𝑪1 = ln(b𝑟
1) = ln(b𝑟1/𝑟𝑟). (14) Tr b𝑪1 = ln(b𝑟
1) = ln(b𝑟1/𝑟𝑟). (14) From this first result, a geometrical interpretation of the three eigenvalues ˆ𝑐1𝑘Ðwhich are real
since b𝑪1 is symmetricÐand the three eigenvectors ˆ𝒑1𝑘Ðwhich are mutually orthogonal since
b𝑪1 is symmetricÐof the average conformation tensor can be deduced. The partition of b𝑪1 in
spherical and deviatoric parts immediately gives From this first result, a geometrical interpretation of the three eigenvalues ˆ𝑐1𝑘Ðwhich are real
since b𝑪1 is symmetricÐand the three eigenvectors ˆ𝒑1𝑘Ðwhich are mutually orthogonal since
b𝑪1 is symmetricÐof the average conformation tensor can be deduced. The partition of b𝑪1 in
spherical and deviatoric parts immediately gives b𝑪1 : ( ˆ𝒑1𝑘⊗ˆ𝒑1𝑘) = 1
3 Tr b𝑪1 + dev(b𝑪1) : ( ˆ𝒑1𝑘⊗ˆ𝒑1𝑘)
(15) (15) or, equivalently, due to Equation (14): equivalently, due to Equation (14): b𝑪1 : ( ˆ𝒑1𝑘⊗ˆ𝒑1𝑘) = 1
3 ln
b𝑟1
𝑟𝑟
+ dev(b𝑪1) : ( ˆ𝒑1𝑘⊗ˆ𝒑1𝑘)
(16) (16) from which we get, noting that b𝑪1 : ( ˆ𝒑1𝑘⊗ˆ𝒑1𝑘) = ˆ𝑐1𝑘and dev(b𝑪1) : ( ˆ𝒑1𝑘⊗ˆ𝒑1𝑘) = ˆ𝑐1𝑘
𝑑: from which we get, noting that b𝑪1 : ( ˆ𝒑1𝑘⊗ˆ𝒑1𝑘) = ˆ𝑐1𝑘and dev(b𝑪1) : ( ˆ𝒑1𝑘⊗ˆ𝒑1𝑘) = ˆ𝑐1𝑘
𝑑: 𝑟𝑟exp(3ˆ𝑐1𝑘) = b𝑟1 exp(3ˆ𝑐1𝑘
𝑑)
(17) 𝑟𝑟exp(3ˆ𝑐1𝑘) = b𝑟1 exp(3ˆ𝑐1𝑘
𝑑) (17) where ˆ𝑐1𝑘
𝑑denotes the 𝑘−th eigenvalue of dev(b𝑪1). Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org 3 Average conformation tensor of inter-atomic bonds and average
internal forces tensor: Discrete case (20) Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org Thierry Désoyer Average conformation tensor of inter-atomic bonds 4
5
6
spherical case
real conformation
7
3
2
1
1
average conformation tensor
𝑟𝑟exp(3ˆ𝑐1𝑘)
general case (non spherical)
ˆ𝒑12
average conformation tensor
real conformation
ˆ𝒑11
3
7
4
6
2
1
1
5
𝑟𝑟exp(3ˆ𝑐11)
𝑟𝑟exp(3ˆ𝑐12) 4
5
6
spherical case
real conformation
7
3
2
1
1
average conformation tensor
𝑟𝑟exp(3ˆ𝑐1𝑘) spherical case 1
average conformation tensor
𝑟𝑟exp(3ˆ𝑐1𝑘) 4
5
6
real conformation
7
3
2
1 average conformation tensor average conformation tensor real conformation gener
real conformation
3
7
4
6
2
1
5 e (non spherical)
ˆ𝒑12
average conformation tensor
ˆ𝒑11
1
𝑟𝑟exp(3ˆ𝑐11)
𝑟𝑟exp(3ˆ𝑐12) general case (non spherical)
ˆ𝒑12
average conformation tensor
real conformation
ˆ𝒑11
3
7
4
6
2
1
1
5
𝑟𝑟exp(3ˆ𝑐11)
𝑟𝑟exp(3ˆ𝑐12) real conformation average conformation tensor real conformation average conformation tensor Interpretation of the eigenvalues and eigenvectors of the average conformation tensor. For the sake of
simplicity, the figure is limited to the plane (1, 𝒆1, 𝒆2), see Figure 2. The real (discrete) conformations of
the inter-atomic bonds are on the left part of the figure, their representation according to the average
conformation tensor, on the right part. The averaging process is inevitably accompanied by a loss of
information which makes it impossible to know the position of the first neighbours (grey discs in the real
conformation) of atom 1 (black disc). By contrast, it is possible to define the perimeterÐthe surface in
3𝐷Ðto which they belong on average. Thus, in the spherical case (upper part of the figure) where the
three eigenvalues of the average conformation tensor are equal to ˆ𝑐1𝑘= 1/3 ln(ˆ𝑟), the first neighbours of
atom 1 belong in average to the circle of radius ˆ𝑟= 𝑟𝑟ˆ𝑟= 𝑟𝑟exp(3ˆ𝑐1𝑘). In the non spherical case (lower
part of the figure), they belong to the ellipse with semi-axes 𝑟𝑟exp(3ˆ𝑐11) and 𝑟𝑟exp(3ˆ𝑐12) oriented along
ˆ𝒑11 and ˆ𝒑12Ðin the 3𝐷case, to the ellipsoid with semi-axes 𝑟𝑟exp(3ˆ𝑐11), 𝑟𝑟exp(3ˆ𝑐12) and 𝑟𝑟exp(3ˆ𝑐13),
oriented along ˆ𝒑11, ˆ𝒑12 and ˆ𝒑13. Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org 3 Average conformation tensor of inter-atomic bonds and average
internal forces tensor: Discrete case The geometrical interpretation of this result
is given in the caption of Figure 3. The energy of the 𝑁𝑙inter-atomic bonds of atom 1Ðin other words, the conformation energy
of the discrete domain 𝐷Ðcan be expressed as a function 𝑈of the 𝑁𝑙elementary conformation
tensors 𝑪1,𝑗+1. More precisely, so that the value of this function is an objective quantity, 𝑈can
depend on: • the Euclidean norm of the elementary conformation tensorsÐwhich are objective, see Section 2Ð,
i.e. the distances 𝑟1,𝑗+1 between atom 1 and its 𝑁𝑙first neighboursÐthe single non-zero eigenvalue
of the elementary conformation tensor 𝑪1,𝑗+1 is indeed ln(𝑟1,𝑗+1) = ln(𝑟1,𝑗+1/𝑟𝑟)Ð, and • the Euclidean norm of the elementary conformation tensorsÐwhich are objective, see Section 2Ð,
i.e. the distances 𝑟1,𝑗+1 between atom 1 and its 𝑁𝑙first neighboursÐthe single non-zero eigenvalue
of the elementary conformation tensor 𝑪1,𝑗+1 is indeed ln(𝑟1,𝑗+1) = ln(𝑟1,𝑗+1/𝑟𝑟)Ð, and • the łcrossedž invariants (Spencer 1971; Boehler 1987) of these elementary tensorsÐsince these
tensors are objective, their łcrossedž invariants are also objectiveÐ, i.e. the angles between
inter-atomic bonds. Indeed, the łcrossedž invariant of the uniaxial tensors 𝑪1,𝑝and 𝑪1,𝑞simply
reads 𝑪1,𝑝: 𝑪1,𝑝= ln(𝑟1,𝑝) ln(𝑟1,𝑞) 𝑵1,𝑝: 𝑵1,𝑞= ln(𝑟1,𝑝) ln(𝑟1,𝑞) cos2(𝜔𝑝,𝑞)
(18) 𝑪1,𝑝: 𝑪1,𝑝= ln(𝑟1,𝑝) ln(𝑟1,𝑞) 𝑵1,𝑝: 𝑵1,𝑞= ln(𝑟1,𝑝) ln(𝑟1,𝑞) cos2(𝜔𝑝,𝑞) (18) where 𝜔𝑝,𝑞is the angle between inter-atomic bonds 1 −𝑝and 1 −𝑞. where 𝜔𝑝,𝑞is the angle between inter-atomic bonds 1 −𝑝and 1 −𝑞. No particular expression of the multi-body potential 𝑈is given in this study. By contrast, it is
postulated that there exists a state potential U of average free energy depending only on the
average conformation tensor of the 𝑁𝑙inter-atomic bonds belonging to the unit cell 𝐷, b𝑪1, and
such that No particular expression of the multi-body potential 𝑈is given in this study. By contrast, it is
postulated that there exists a state potential U of average free energy depending only on the
average conformation tensor of the 𝑁𝑙inter-atomic bonds belonging to the unit cell 𝐷, b𝑪1, and
such that U(b𝑪1) = 1
𝑁𝑙
𝑈(𝑪1,2, 𝑪1,3, . . . , 𝑪1,𝑁𝑙+1). (19) (19) Following the procedure presented in Section 2, the average internal forces tensor acting on the
inter-atomic bonds is then defined by b𝑭1 = 1
b𝑟1
𝜕U
𝜕b𝑪1 . (20) b𝑭1 = 1
b𝑟1
𝜕U
𝜕b𝑪1 . (20) b𝑭1 = 1
b𝑟1
𝜕U
𝜕b𝑪1 . 4 Average conformation tensor of inter-atomic bonds, average inter-
nal forces tensor and Cauchy stress tensor: continuum approach The intrinsically atomistic nature of the matter has been taken into account in the discrete
approach detailed in Section 3. However, this approach leads to a tensorial expression of the
average internal forces from which it is not so easy to study the distribution of the forces in a
given domain (a grain in a metallic material, for instance) and, in particular, how these forces are
mutually balanced. It is therefore interesting to seek to associate to the real, discrete medium
an equivalent continuous medium, fictitious, for which the equilibrium equations (balance of
momentum) are well known, namely div𝐸(𝝈) + 𝜌𝒇𝑚= 0 where 𝒇𝑚is the density (per unit mass)
of body forces ans where div𝐸denotes the Eulerian divergence. In the present section and the following ones, any part of a pure substance in the solid state,
whatever its volume, is therefore considered as a continuum medium. A continuous field of
average conformation is supposed to exist in this domain. However, such a field is only physically
relevant if its link with the real, discrete state of inter-atomic bonds is precisely defined. In a very
first step, this requires to precise the scale at which the problem must be addressed. Since the
average conformation tensor has been clearly defined for a nanoscopic domain (the unit cell), and
only in this case, see Equation (12), the nanoscopic scale appears to be the right one. The fact that
the matter, first of all its mass, has undoubtedly a discrete distribution at this scale does not
seem to be a priori compatible with the idea of its description as a continuum. As we will see,
this apparent incompatibility can be overcame, provided that the continuous field of average
conformation is precisely defined, and then physically relevant. A fictitious, continuum domain Δ is thus associated to the real, discrete unit cell 𝐷considered
in Section 3. Figure 3 • From the average internal forces tensor b𝑭1, the algebraic value of the average force acting on the Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org 8
18 Thierry Désoyer Average conformation tensor of inter-atomic bonds bond between atoms 1 and 𝑗+ 1, whose orientation is characterized by the tensor 𝑵1,𝑗+1, is
immediately deduced, which reads bond between atoms 1 and 𝑗+ 1, whose orientation is characterized by the tensor 𝑵1,𝑗+1, is
immediately deduced, which reads b𝐹1,𝑗+1 = b𝑭1 : 𝑵1,𝑗+1. (21 b𝐹1,𝑗+1 = b𝑭1 : 𝑵1,𝑗+1. (21) The net force resulting from all the forces exerted on atom 1 by its 𝑁𝑙neighbours being zero
(static equilibrium), the latter are necessarily such that 𝑁𝑙
Õ
𝑗=1
b𝐹1,𝑗+1𝑵1,𝑗+1 = 0. (22) 𝑁𝑙
Õ
𝑗=1
b𝐹1,𝑗+1𝑵1,𝑗+1 = 0. 𝑁𝑙
Õ
b𝐹1,𝑗+1𝑵1,𝑗+1 = 0. (22) 4 Average conformation tensor of inter-atomic bonds, average inter-
nal forces tensor and Cauchy stress tensor: continuum approach Figure 3 For the average free energy of the inter-atomic bonds to be an objective quantity, the state
potential U must actually depend only on the three invariants of b𝑪1 or, equivalently, on its three
eigenvalues. Since b𝑪1 and b𝑟1 are objective quantities, b𝑭1 is an objective quantity. This symmetric
tensor has generally three different, non-zero eigenvalues. b Three points can finally be emphasized about the average conformation tensor b𝑪1 and the
average internal forces tensor b𝑭1, namely: • The average conformation tensor can be defined if the considered pure substance has defects,
punctual (e. g. vacancy defects) or linear (dislocations). In coherence with the assumption of
elastic behavior retained in all these studies, it is only required that these defects are in constant
number and, for dislocations at least, immobile. • The average conformation tensor can be defined if the considered pure substance has defects,
punctual (e. g. vacancy defects) or linear (dislocations). In coherence with the assumption of
elastic behavior retained in all these studies, it is only required that these defects are in constant
number and, for dislocations at least, immobile. • The directions of anisotropy ±𝒏1,𝑗+1 (those represented by the line segments in Figure 2,
for instance) could be simply taken into account by uniaxial tensors 𝑵1,𝑗+1 = (±𝒏1,𝑗+1) ⊗
(±𝒏1,𝑗+1), with 1 as the single non-zero eigenvalue. The tensors 𝑵1,𝑗+1 would then be new state
variables on which the average free energy U, see Equation (19), would depend, via łcrossedž
invariants (Boehler 1987), such that b𝑪1 : 𝑵1,𝑗+1. The immediate consequence of such a choice
would be that the tensor of average internal forces, b𝑭1, see Equation (20), and that of average
conformation, b𝑪1, would not have the same eigenvectors. Although the mechanical behavior of
crystalline structure, such as the one illustrated in Figure 2, is undoubtedly anisotropic, the
directions of anisotropy 𝑵1,𝑗+1 will be ignored in the following sections, in order to focus our
attention on the main concept introduced in this study, namely the average conformation tensor
of inter-atomic bonds. Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org 4 Average conformation tensor of inter-atomic bonds, average inter-
nal forces tensor and Cauchy stress tensor: continuum approach The latter is said to be łequivalentž to the former
insofar as: i) their volumes are equal: vol(𝐷) = vol(Δ); ii) the continuous field of average conformation
acting in Δ, 𝚪(𝒙), is supposed to have łslowž spatial variationsÐconsequently, 𝚪exists such that ∀𝒙∈Δ,
𝚪(𝒙) ≈𝚪; iii) the average conformation tensor associated to the real, discrete unit cell 𝐷, b𝑪1, and the one
characterizing approximately the continuous field of average conformation acting in Δ are equal: 𝚪= b𝑪1;
iv) the mechanical energy of the inter-atomic bonds, which is the only energy considered in this study, is
the same in the discrete case and in the continuous case. In other words, the free energy of 𝐷Ð12U(b𝑪1),
according to Equation (19)Ðand that of Δ are equal, as shown in Equation (24), where Υ denotes the state
potential of free energy density (per unit mass), supposed to depend only on 𝚪. Figure 4 The average internal forces tensor acting on the inter-atomic bonds, actually being a density
(per unit mass) of internal forces, is then given by, as in Section 3, 𝚽= 1
ˆ𝑟
𝜕Υ
𝜕𝚪
(25 𝚽= 1
ˆ𝑟
𝜕Υ
𝜕𝚪 (25) where, according to Equation (14), ˆ𝑟= 𝑟𝑟exp(Tr 𝚪). In strict logic, the internal forces define a
continuous field in Δ, 𝚽(𝒙). However, like those of average conformation and density, this field
is quasi-uniform and such that ∀𝒙∈Δ, 𝚽(𝒙) ≈𝚽. If the state potential of average free energy density Υ depends only on the three invariants
of 𝚪, the quantity Υ(𝚪) is objective. Since ˆ𝑟is an objective quantity, 𝚽is thus also an objective
quantity. The average internal forces tensor as defined in Equation (25), however, is never taken
into account in Continuum Mechanics, where the basic force-like quantity unanimously used is
the Cauchy stress tensor, 𝝈. It is suggested here that the latter can be directly deduced from
Equation (25), on the basis of a simple dimensional analysis. It reads as 𝝈= 𝜌ˆ𝑟𝚽= 𝜌𝜕Υ
𝜕𝚪. (26) 𝝈= 𝜌ˆ𝑟𝚽= 𝜌𝜕Υ
𝜕𝚪. (26) It has been underlined previously that Υ must actually depend on the three invariants of 𝚪Ðand
only on them if the anisotropy of the pure substance is not taken into account, which is the case
in the present study, as stipulated in the last part of Section 3. 4 Average conformation tensor of inter-atomic bonds, average inter-
nal forces tensor and Cauchy stress tensor: continuum approach The latter is said to be łequivalentž to the former
insofar as: i) their volumes are equal: vol(𝐷) = vol(Δ); ii) the continuous field of average conformation
acting in Δ, 𝚪(𝒙), is supposed to have łslowž spatial variationsÐconsequently, 𝚪exists such that ∀𝒙∈Δ,
𝚪(𝒙) ≈𝚪; iii) the average conformation tensor associated to the real, discrete unit cell 𝐷, b𝑪1, and the one
characterizing approximately the continuous field of average conformation acting in Δ are equal: 𝚪= b𝑪1;
iv) the mechanical energy of the inter-atomic bonds, which is the only energy considered in this study, is
the same in the discrete case and in the continuous case. In other words, the free energy of 𝐷Ð12U(b𝑪1),
according to Equation (19)Ðand that of Δ are equal, as shown in Equation (24), where Υ denotes the state
potential of free energy density (per unit mass), supposed to depend only on 𝚪. 𝒆1
𝒆2
𝒆3
Δ
equivalent continuous unit cell
2
3
4
5
6
7
𝑟1,2
8, 11
9, 12
10, 13
±𝒏1,5
1
b𝑪1 = 1
12
Í12
𝑗=1 𝑪1,𝑗+1
𝐷
real, discrete unit cell
∀𝒙∈Δ, 𝚪(𝒙) ≈𝚪= b𝑪1 equivalent continuous unit cell 𝒆1
𝒆2
𝒆3
Δ
equivalent continuous unit cel
2
3
4
5
6
7
𝑟1,2
8, 11
9, 12
10, 13
±𝒏1,5
1
b𝑪1 = 1
12
Í12
𝑗=1 𝑪1,𝑗+1
𝐷
real, discrete unit cell
∀𝒙∈Δ, 𝚪(𝒙) ≈𝚪= b𝑪1 real, discrete unit cell 𝒆1
𝒆2
𝒆3
Δ
equivalent continuous unit ce
2
3
4
5
6
7
𝑟1,2
8, 11
9, 12
10, 13
±𝒏1,5
1
b𝑪1 = 1
12
Í12
𝑗=1 𝑪1,𝑗+1
𝐷
real, discrete unit cell
∀𝒙∈Δ, 𝚪(𝒙) ≈𝚪= b𝑪1 ∀𝒙∈Δ, 𝚪(𝒙) ≈𝚪= b𝑪1 b𝑪1 = 1
12
Í12
𝑗=1 𝑪1,𝑗+1 b𝑪1 = 1
12
Í12
𝑗=1 𝑪1,𝑗+1 b𝑪1 = 1
12
Í12
𝑗=1 𝑪1,𝑗+1 [Left] Example of a real, discrete domain 𝐷Ðthe unit cell of an hexagonal close-packed pattern, as in
Figure 2. [Right] Equivalent continuous unit cell Δ. 4 Average conformation tensor of inter-atomic bonds, average inter-
nal forces tensor and Cauchy stress tensor: continuum approach These two domains are said to be equivalent if and only if all the following conditions
are verified: • their volumes are equal: vol(𝐷) = vol(Δ), see also Figure 4, • their volumes are equal: vol(𝐷) = vol(Δ), see also Figure 4, • the continuous field of average conformation acting in Δ, 𝚪(𝒙), has łslowž spatial variationsÐin
the sense that there exists a constant tensor 𝚪such that ∀𝒙∈Δ, 𝚪(𝒙) ≈𝚪Ðand is equal to the
average conformation tensor defined in the discrete caseÐand therefore has the same physical
meaning as it, cf. Section 3, in particular Figure 3: 𝚪= b𝑪1, • the energy of the discrete medium 𝐷Ðwhich reduces to the energy of the inter-atomic bonds in
the present studyÐis equal to that of the continuum medium Δ. The calculation of this latter is
based on the assumption that there exists a state potential of free energy density (per unit mass)
Υ, depending only 𝚪. Thus, from Equation (19), we have • the energy of the discrete medium 𝐷Ðwhich reduces to the energy of the inter-atomic bonds in
the present studyÐis equal to that of the continuum medium Δ. The calculation of this latter is
based on the assumption that there exists a state potential of free energy density (per unit mass)
Υ, depending only 𝚪. Thus, from Equation (19), we have 𝑈(𝑪1,2, 𝑪1,3, . . . , 𝑪1,𝑁𝑙+1) = 𝑁𝑙U(b𝑪1) ≈
∫
Δ
𝜌(𝒙)Υ(𝚪)d𝑉. (23) (23) As we will see later, the quasi-uniformity of the average conformation field acting in Δ implies
that of the density 𝜌, see Section 5 and equation (44). We immediately infer that Equation (23)
can be rewritten as 𝑈(𝑪1,2, 𝑪1,3, . . . , 𝑪1,𝑁𝑙+1) = 𝑁𝑙U(b𝑪1) ≈𝜌vol(Δ)Υ(𝚪). 𝑈(𝑪1,2, 𝑪1,3, . . . , 𝑪1,𝑁𝑙+1) = 𝑁𝑙U(b𝑪1) ≈𝜌vol(Δ)Υ(𝚪). (24 . . , 𝑪1,𝑁𝑙+1) = 𝑁𝑙U(b𝑪1) ≈𝜌vol(Δ)Υ(𝚪). (24) (24) Thierry Désoyer Average conformation tensor of inter-atomic bonds 𝒆1
𝒆2
𝒆3
Δ
equivalent continuous unit cell
2
3
4
5
6
7
𝑟1,2
8, 11
9, 12
10, 13
±𝒏1,5
1
b𝑪1 = 1
12
Í12
𝑗=1 𝑪1,𝑗+1
𝐷
real, discrete unit cell
∀𝒙∈Δ, 𝚪(𝒙) ≈𝚪= b𝑪1
[Left] Example of a real, discrete domain 𝐷Ðthe unit cell of an hexagonal close-packed pattern, as in
Figure 2. [Right] Equivalent continuous unit cell Δ. Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org 4 Average conformation tensor of inter-atomic bonds, average inter-
nal forces tensor and Cauchy stress tensor: continuum approach If choosing the invariants Tr 𝚪,
Tr(𝚪· 𝚪) and Tr(𝚪· 𝚪· 𝚪), the Cauchy stress tensor then reads 𝝈= 𝜌
𝜕Υ
𝜕Tr 𝚪𝑮+ 2
𝜕Υ
𝜕Tr 𝚪· 𝚪𝚪+ 3
𝜕Υ
𝜕Tr 𝚪· 𝚪· 𝚪𝚪· 𝚪
. (27) (27) This equation shows that, in the case of isotropic elasticity, the average conformation tensor 𝚪and
the Cauchy stress tensor 𝝈have the same eigenvectors. Furthermore, as defined by Equation (26)
or Equation (27), and since 𝜌, ˆ𝑟and 𝚽are objective quantities, 𝝈is an objective quantity. However,
above all, such a definition of the Cauchy stress tensor is a satisfactory answer to the central
question asked in the present study, as shown in Equation (2): 𝑺denoting some strain tensor,
𝚪≠𝑺existsÐphysically relevant and, especially, objectiveÐand Υ(𝚪) existsÐis only supposed to
exist, at the moment, with the general definition given by Equation (24)Ðsuch that 𝝈= 𝜌𝜕Υ/𝜕𝚪. It must be recalled, however, that the stresses defined by Equation (26) are relative to a łfrozenž
state of a pure substance in the solid state, in other words, they do not take into account possible
viscid effects. There is a clear analogy between the previous definition of the Cauchy stress tensor and that,
usual in Solid Mechanics, where the relation between 𝝈and a strain tensor 𝑺is also obtained Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org 10
18 Thierry Désoyer Average conformation tensor of inter-atomic bonds by differentiating a state potential of free energy density, see Equation (1). The two points of
view differ in an essential way: when a strain tensor 𝑺, whatever it is, is intrinsically linked to a
reference configuration, see Section 1, the average conformation tensor 𝚪is independent of any
reference configuration: its definition involves only a reference length 𝑟𝑟∈R+, which has been
precisely defined in Section 2, i.e. for only two isolated atoms, interacting only with each other. In other words, the average conformation tensor is defined on the current configuration at any
time 𝑡only (that of Δ on Figure 4 for example, that can be noted Δ𝑡∈R3)Ðin the sense that it
is not linked to any Lagrangian gradientÐwhen a strain tensor is intrinsically linked to the
transformation between a reference configuration (time 𝑡𝑟; Δ𝑟∈R3 in the case of Figure 4) and
the current configuration since it is built from the deformation gradient 𝑻, see Section 1, which
irreducibly links these two configurations, whatever the evolution between times 𝑡𝑟and 𝑡. 4 Average conformation tensor of inter-atomic bonds, average inter-
nal forces tensor and Cauchy stress tensor: continuum approach It can
be also noted that, more generally, no Lagrangian gradient of any physical quantity has been
used in Sections 2 and 3 of this study, nor in the present section. It should finally be noted that, if the transposition to the continuous case of the equilibrium
equation of the discrete case, see Equation (22), is none other than the linear balance momentum
equation, that is, in the quasi-static case and neglecting the mass forces, such as those due to
gravity, div𝐸(𝝈) = 0, (28) the relation between the Cauchy stress tensor 𝝈(continuum case) and the inter-atomic forces
discussed in Section 3, see Equation (21), is far from being obvious. This relation will not be
studied in this paper, where the emphasis is clearly put on the geometrical notion of conformation. It should be studied in future studies, for instance based on (Parthasarathy et al. 2018) where the
notions of static stress and vibration stress are defined at the atomic scale, on the basis of a
refined description of atomic motions. Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org 5 Thermodynamics and material derivative of the average conforma-
tion tensor of inter-atomic bonds An alternative and local expression for the first law of the Thermodynamics, see
Equation (29), is then immediately deduced, namely 𝜌¤Υ + 𝜌𝑇¤𝑠= 𝝈: 𝑫 (30) 11
18 Thierry Désoyer Average conformation tensor of inter-atomic bonds which can be rewritten, since Υ, like 𝑒, depends only on 𝚪, as 𝜌𝑇¤𝑠= 𝝈: 𝑫−𝜌𝜕Υ
𝜕𝚪: ¤𝚪. (31 𝜌𝑇¤𝑠= 𝝈: 𝑫−𝜌𝜕Υ
𝜕𝚪: ¤𝚪. (31) The local expression of the second principle of the ThermodynamicsÐwhich expresses that the
(per unit volume) dissipated power or intrinsic dissipation, 𝜔, is non-negativeÐreads, in the
isothermal case, 𝜔= 𝜌𝑇¤𝑠⩾0,
∀𝚪,
∀𝑫
(32) 𝜔= 𝜌𝑇¤𝑠⩾0,
∀𝚪,
∀𝑫 (32) where the quantifiers indicate that this inequality must always be fulfilled, that is, whatever the
mechanical state, 𝚪, and whatever the evolution, 𝑫. From Equation (31), Equation (32) can be
immediately rewritten as where the quantifiers indicate that this inequality must always be fulfilled, that is, whatever the
mechanical state, 𝚪, and whatever the evolution, 𝑫. From Equation (31), Equation (32) can be
immediately rewritten as 𝜔= 𝝈: 𝑫−𝜌𝜕Υ
𝜕𝚪: ¤𝚪⩾0,
∀𝚪,
∀𝑫
(33) 𝜔= 𝝈: 𝑫−𝜌𝜕Υ
𝜕𝚪: ¤𝚪⩾0,
∀𝚪,
∀𝑫 (33) or, equivalently, due to Equation (26), 𝜔= 𝝈: (𝑫−¤𝚪) ⩾0,
∀𝚪,
∀𝑫. (34) 𝜔= 𝝈: (𝑫−¤𝚪) ⩾0,
∀𝚪,
∀𝑫. (34) Therefore, the material derivative of the average conformation tensor turns out to be constrained
by the Thermodynamics, that is to say that 𝚪is an internal state variable (Coleman and Owen 1974). By definition, the mechanical behavior of a material is referred to as elastic when the intrinsic
dissipation 𝜔is zero for all the states and evolutions. However, it should be kept in mind here
that the material derivative of an objective, non scalar quantity, cannot be objective (Garrigues
2007). As is also the case for ¤𝚪, which is necessarily the sum of an objective part ˆ𝚪Ðdirectly
linked to the material derivative of its eigenvalues which, on the contrary, are objectiveÐand a
non objective part ˇ𝚪Ðdue to the material derivative of its eigenvectors, which cannot be objective. With the hypothesis of elasticity, this latter remark makes it possible to write 𝜔= 𝝈: (𝑫−¤𝚪) = 𝝈: (𝑫−( ˆ𝚪+ ˇ𝚪)) = 0,
∀𝚪,
∀𝑫. (35) (35) A first condition for this equality to be ever verified is easy to get since the rate of deformation
tensor, 𝑫, is objective. It simply reads ˆ𝚪= 𝑫. (36) ˆ𝚪= 𝑫. 5 Thermodynamics and material derivative of the average conforma-
tion tensor of inter-atomic bonds Like a strain tensor 𝑺in the classical, thermodynamic approach to the modeling of the mechanical
behavior of materials in the solid state, the average conformation tensor of inter-atomic bonds
defined in Section 4, 𝚪, is now considered as a state variable. By contrast, and unlike the material
derivative of 𝑺, which is fully determined by the kinematics of the considered body, the material
derivative of 𝚪is a priori unknown. The purpose of this section is to determine the latter,
following a thermodynamic approach. As previously mentioned, however, it is here restricted to
the elastic case. From a nanoscopic point of view, this means that, at any time of the evolution of
the pure substance considered in the solid state: p
• each atom has the same first neighbours. Defects such as dislocations can exist in the lattice, but
in constant number and immobile (in other words, no plasticity), • each atom has the same first neighbours. Defects such as dislocations can exist in the lattice, but
in constant number and immobile (in other words, no plasticity), • each atom is always bonded to its first neighbours by active inter-atomic bonds. These bonds can
vary in length and direction but they cannot disappear or break (in other words, no damage) Neglecting all the thermal effects (that is, in particular, ¤𝑇= 0, where 𝑇is the absolute
temperature and where ¤𝑇denotes its material derivative), the first law of the Thermodynamics
reduces to (Coleman and Gurtin 1967; Garrigues 2007) Neglecting all the thermal effects (that is, in particular, 𝑇= 0, where 𝑇is the absolute
temperature and where ¤𝑇denotes its material derivative), the first law of the Thermodynamics
reduces to (Coleman and Gurtin 1967; Garrigues 2007) 𝜌¤𝑒= 𝝈: 𝑫
(29 (29) 𝜌¤𝑒= 𝝈: 𝑫 where 𝑒is the state potential of the density (per unit mass) of average internal energy, depending
only on 𝚪in the present case, and 𝑫, the rate of deformation tensor, i.e. the symmetric part of the
Eulerian velocity gradient. The state potentials of the density of average internal energy 𝑒and of the average free
energy Υ are related by 𝑒= Υ + 𝑠𝑇where 𝑠is the state function of the density (per unit mass)
of entropy. Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org 5 Thermodynamics and material derivative of the average conforma-
tion tensor of inter-atomic bonds (39) It may also be noted that, from the expression of the average conformation tensor in the
orthonormal basis defined by its eigenvectors, namely It may also be noted that, from the expression of the average conformation tensor in the
orthonormal basis defined by its eigenvectors, namely 𝚪=
3
Õ
𝑘=1
𝛾𝑘(𝑷𝑘⊗𝑷𝑘)
(40 (40) which immediately gives the material derivative form which immediately gives the material derivative form ¤𝚪=
3
Õ
𝑘=1
¤𝛾𝑘(𝑷𝑘⊗𝑷𝑘) +
3
Õ
𝑘=1
𝛾𝑘( ¤𝑷𝑘⊗𝑷𝑘+ 𝑷𝑘⊗¤𝑷𝑘)
(41) (41) the objective part of ¤𝚪, according to Equation (36)Ðand due to the fact that the material derivatives
of the eigenvalues 𝛾𝑘are objectiveÐ, is such that the objective part of ¤𝚪, according to Equation (36)Ðand due to the fact that the material derivatives
of the eigenvalues 𝛾𝑘are objectiveÐ, is such that ˆ𝚪= 𝑫=
3
Õ
𝑘=1
¤𝛾𝑘(𝑷𝑘⊗𝑷𝑘)
(42) (42) and the non objective part of ¤𝚪, according to Equation (37)Ðand due to the fact that the material
derivatives of the eigenvectors 𝑷𝑘are non objectiveÐis such that and the non objective part of ¤𝚪, according to Equation (37)Ðand due to the fact that the material
derivatives of the eigenvectors 𝑷𝑘are non objectiveÐis such that ˇ𝚪=
3
Õ
𝑘=1
𝛾𝑘((𝑾· 𝑷𝑘) ⊗𝑷𝑘+ 𝑷𝑘⊗(𝑾· 𝑷𝑘)) =
3
Õ
𝑘=1
𝛾𝑘( ¤𝑷𝑘⊗𝑷𝑘+ 𝑷𝑘⊗¤𝑷𝑘). (43) (43) As defined by Equation (37) or Equation (43), ˇ𝚪is a traceless tensor, i.e. Tr ¤𝚪= Tr 𝑫. Furthermore, from the local expression of the law of conservation of mass, we also have
Tr 𝑫= −¤𝜌/𝜌. Consequently, Tr ¤𝚪= −¤𝜌
𝜌
(44) Tr ¤𝚪= −¤𝜌
𝜌 (44) or, equivalently, due to Equation (14)Ðwhere 𝚪can be substituted to b𝑪1 since these two tensors
are equal, see Section 4: or, equivalently, due to Equation (14)Ðwhere 𝚪can be substituted to b𝑪1 since these two tensors
are equal, see Section 4: ¤b𝑟
𝑟𝑟
= −¤𝜌
𝜌. (45 ¤b𝑟
𝑟𝑟
= −¤𝜌
𝜌. (45) Denoting by 𝜌0 (resp. by b𝑟0) the density (resp. the average distance between the atomic nuclei) at
some initial time, Equation (45) immediately gives Denoting by 𝜌0 (resp. by b𝑟0) the density (resp. the average distance between the atomic nuclei) at
some initial time, Equation (45) immediately gives b𝑟
b𝑟0
= 𝜌0
𝜌
(46 b𝑟
b𝑟0
= 𝜌0
𝜌 (46) which means that, if 𝜌→0, then b𝑟→∞, and if 𝜌→∞, then b𝑟→0. 5 Thermodynamics and material derivative of the average conforma-
tion tensor of inter-atomic bonds (36) It is not so immediate to give a mathematical expression for ˇ𝚪, knowing that its scalar product
with 𝝈must always be equal to zero, see Equation (35). The skew-symmetric part of the Eulerian
velocity gradient, 𝑾, is here helpful. It is such that, whatever the vector 𝒂, the vector defined by
𝑾· 𝒂is orthogonal to 𝒂. Applied to the eigenvectors of 𝚪, 𝑷𝑘Ðwhich are the same as those of
the Cauchy stress tensor in the isotropic case, see Equation (27)Ðthis inherent property of the
skew-symmetric tensors ensures that the following symmetric tensor (𝛾𝑘denote the eigenvalues
of 𝚪): ˇ𝚪=
3
Õ
𝑘=1
𝛾𝑘((𝑾· 𝑷𝑘) ⊗𝑷𝑘+ 𝑷𝑘⊗(𝑾· 𝑷𝑘))
(37) (37) is such that its scalar product with 𝝈is always equal to zero, whatever the observer. Since 𝑾
is a non objective quantity, ˇ𝚪as defined by Equation (37) is a non objective quantity. From
Equations (36) and (37), we immediately get that is such that its scalar product with 𝝈is always equal to zero, whatever the observer. Since 𝑾
is a non objective quantity, ˇ𝚪as defined by Equation (37) is a non objective quantity. From
Equations (36) and (37), we immediately get that ¤𝚪= 𝑫+
3
Õ
𝑘=1
𝛾𝑘((𝑾· 𝑷𝑘) ⊗𝑷𝑘+ 𝑷𝑘⊗(𝑾· 𝑷𝑘))
(38) (38) is a condition for the intrinsic dissipation 𝜔, see Equation (35), to be always zero, whatever
the observer. It must however be noticed that this condition is sufficient but not necessary: by Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org Thierry Désoyer Average conformation tensor of inter-atomic bonds multiplying the second term on the right hand side of Equation (37) by any real number, another
expression for ˇ𝚪is obtained which is also such that its scalar product with 𝝈is equal to zero. In
any event, the expression for ˇ𝚪must be such that its scalar product with 𝝈is equal to zero. Accordingly, the power density (per unit volume) of internal forces, 𝜋int = −𝝈: 𝑫, can always be
written as 𝜋int = −𝝈: ¤𝚪. (39 𝜋int = −𝝈: ¤𝚪. Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org 5 Thermodynamics and material derivative of the average conforma-
tion tensor of inter-atomic bonds Since the mass of an atom
is essentially concentrated in its nucleus (see the very first part of Section 2), these two limit
cases are formally satisfactory. It must be underlined, however, that they are physically irrelevant,
at least in the present study: the first one, b𝑟→∞, because the length of an inter-atomic bond,
that is to say, the distance between two atomic nuclei, is always finite in the solid state; the
second one, b𝑟→0, because the fusion of atomic nuclei is obviously not an elastic phenomenon. Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org 13
18 Thierry Désoyer Average conformation tensor of inter-atomic bonds Example of an elasticity model based on the conformation tensor As noted previously, the average conformation tensor, 𝚪, is not a strain tensor, 𝑺, because its
definition does not depend upon any Lagrangian gradient. However, from an experimental
point of view, it is not without interest to seek for a relationship between 𝚪Ðat least some of its
componentsÐand 𝑺, whatever this strain tensor is: at the microscopic scale, the tensor 𝑺Ðat
least some of its componentsÐis indeed measurable when the tensor 𝚪is only accessible by
measurements at the nanoscale. Such a relationship can be easily defined in the case of uniaxial
tension, which is also interesting when the conformation variations (from an initial state of
conformation) are łsmallž and reversible, in the sense that it suggests a certain mathematical
expression of the state potential of specific free energy Υ introduced in Section 4. Consider the 𝒆2
𝒆1
𝐿0
𝑊0
𝒆3
𝑂
𝑥01 ∈[0, 𝐿0]
𝑥02 ∈[−𝑊0/2, 𝑊0/2]
𝑥03 ∈[−𝑇0/2, 𝑇0/2]
𝑡⩾0
𝑑𝐿1 (0,𝑥02,𝑥03,𝑡) = 0
𝑑𝐿1 (𝐿0,𝑥02,𝑥03,𝑡) = 𝐿0𝛼𝑡with 𝛼> 0
5
2D representation of the gauge section of a flat tensile specimen. The Lagrangian displacement field is
denoted by 𝒅𝐿(𝒙0,𝑡), where 𝒙0 is the initial position vectorÐfor the observer defined by point 𝑂and
the orthonormal basis (𝒆1, 𝒆2, 𝒆3)Ðof some point of the gauge section, and where 𝑡denotes the time. The lateral edges of the gauge section are free from external stress while its upper and lower edges are
such that only the components following 𝒆2 and 𝒆3 of the external stress vector are zero. Moreover, the
constraint 𝑑𝐿2 (𝑥01, 0,𝑥03,𝑡) = 0 is added to the kinematic boundary conditions to avoid any rigid body
motion. All these boundary conditions and constraints are such that the Lagrangian gradient field of
𝒅𝐿Ðand consequently, any strain field, whatever the considered strain tensor 𝑺isÐis uniform in the entire
gauge section. Eventually, it may be noted that, from the kinematic boundary condition on the upper edge
of the gauge section, it is immediately deduced that 𝛼𝑡is nothing else than the axial strain of the gauge
section, usually denoted by 𝜖11 in the case of infinitesimal strains. Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org Example of an elasticity model based on the conformation tensor 𝒆2
𝒆1
𝐿0
𝑊0
𝒆3
𝑂
𝑥01 ∈[0, 𝐿0]
𝑥02 ∈[−𝑊0/2, 𝑊0/2]
𝑥03 ∈[−𝑇0/2, 𝑇0/2]
𝑡⩾0
𝑑𝐿1 (0,𝑥02,𝑥03,𝑡) = 0
𝑑𝐿1 (𝐿0,𝑥02,𝑥03,𝑡) = 𝐿0𝛼𝑡with 𝛼> 0 𝒆2
𝒆1
𝐿0
𝑊0
𝒆3
𝑂
𝑥01 ∈[0, 𝐿0]
𝑥02 ∈[−𝑊0/2, 𝑊0/2]
𝑥03 ∈[−𝑇0/2, 𝑇0/2]
𝑡⩾0
𝑑𝐿1 (0,𝑥02,𝑥03,𝑡) = 0
𝑑𝐿1 (𝐿0,𝑥02,𝑥03,𝑡) = 𝐿0𝛼𝑡with 𝛼> 0 2D representation of the gauge section of a flat tensile specimen. The Lagrangian displacement field is
denoted by 𝒅𝐿(𝒙0,𝑡), where 𝒙0 is the initial position vectorÐfor the observer defined by point 𝑂and
the orthonormal basis (𝒆1, 𝒆2, 𝒆3)Ðof some point of the gauge section, and where 𝑡denotes the time. The lateral edges of the gauge section are free from external stress while its upper and lower edges are
such that only the components following 𝒆2 and 𝒆3 of the external stress vector are zero. Moreover, the
constraint 𝑑𝐿2 (𝑥01, 0,𝑥03,𝑡) = 0 is added to the kinematic boundary conditions to avoid any rigid body
motion. All these boundary conditions and constraints are such that the Lagrangian gradient field of
𝒅𝐿Ðand consequently, any strain field, whatever the considered strain tensor 𝑺isÐis uniform in the entire
gauge section. Eventually, it may be noted that, from the kinematic boundary condition on the upper edge
of the gauge section, it is immediately deduced that 𝛼𝑡is nothing else than the axial strain of the gauge
section, usually denoted by 𝜖11 in the case of infinitesimal strains. 2D representation of the gauge section of a flat tensile specimen. The Lagrangian displacement field is
denoted by 𝒅𝐿(𝒙0,𝑡), where 𝒙0 is the initial position vectorÐfor the observer defined by point 𝑂and
the orthonormal basis (𝒆1, 𝒆2, 𝒆3)Ðof some point of the gauge section, and where 𝑡denotes the time. The lateral edges of the gauge section are free from external stress while its upper and lower edges are
such that only the components following 𝒆2 and 𝒆3 of the external stress vector are zero. Moreover, the
constraint 𝑑𝐿2 (𝑥01, 0,𝑥03,𝑡) = 0 is added to the kinematic boundary conditions to avoid any rigid body
motion. All these boundary conditions and constraints are such that the Lagrangian gradient field of
𝒅𝐿Ðand consequently, any strain field, whatever the considered strain tensor 𝑺isÐis uniform in the entire
gauge section. Example of an elasticity model based on the conformation tensor (49) From Equation (47), the uniform field of the Eulerian velocity gradient 𝒗is also deduced: m Equation (47), the uniform field of the Eulerian velocity gradient 𝒗is also deduced: From Equation (47), the uniform field of the Eulerian velocity gradient 𝒗is also deduced: grad𝐸(𝒗) =
𝛼
1 + 𝛼𝑡(𝒆1 ⊗𝒆1) +
¤𝑔(𝑡)
1 + 𝑔(𝑡) (𝒆2 ⊗𝒆2 + 𝒆3 ⊗𝒆3). (50) (50) Hence, since the tensor grad𝐸(𝒗) thus defined turns out to be symmetric: Hence, since the tensor grad𝐸(𝒗) thus defined turns out to be symmetric: 𝑫= sym(grad𝐸(𝒗)) = grad𝐸(𝒗),
𝑾= skw(grad𝐸(𝒗)) = 0. (51 (51) The solution to Equation (38) governing the material derivative of 𝚪is then immediately obtained. It reads at any time (and at any point, since the field defined by 𝚪is uniform in the entire gauge
section) Γ11(𝑡) −Γ11(0) = ln(1 + 𝛼𝑡),
Γ22(𝑡) −Γ22(0) = ln(1 + 𝑔(𝑡)) = Γ33(𝑡) −Γ33(0),
Γ𝑖𝑗(𝑡) −Γ𝑖𝑗(0) = 0 when 𝑖≠𝑗. (52) (52) There is no physical argument to claim that the initial state of average conformation 𝚪(0)
vanishes. Quite the contrary, from Equation (17) and Figure 3, 𝚪(0) ≠0 describes a quite realistic
physical condition, namely that the first neighbours of some atom initially belong to the ellipsoid
with semi-axes 𝑟𝑟exp(3𝛾1
0), 𝑟𝑟exp(3𝛾2
0) and 𝑟𝑟exp(3𝛾3
0), oriented along 𝑷1
0, 𝑷2
0 and 𝑷3
0 (here, 𝛾𝑖
0
denotes the 𝑖-th eigenvalue of 𝚪(0) and 𝑷𝑖
0, its 𝑖-th eigenvector; it can also be recalled that 𝑟𝑟is a
reference length). However, and in order to facilitate the presentation of the main results, it
will be assumed here that 𝚪(0) = 0Ðwhich is also a realistic condition, but very particular in
the sense that the first neighbours of some atom initially belong to the sphere with a radius 𝑟𝑟. With this initial condition, Γ11(𝑡) is nothing else than the true (natural) longitudinal strain, and
Γ22(𝑡) = Γ33(𝑡), the true transverse strain. But it is well known that the true strains, as long as
they remain łsmallž, are adequately approximated by the corresponding components of the
infinitesimal strain tensor, see Equation (49). Thus, when 𝛼𝑡≪1 and |𝑔(𝑡)| ≪1, Equation (52)
simply becomes Γ11(𝑡) ≈𝜖11(𝑡) = 𝛼𝑡,
Γ22(𝑡) = Γ33(𝑡) ≈𝜖22(𝑡) = 𝜖33(𝑡) = 𝑔(𝑡),
Γ𝑖𝑗(𝑡) = 𝜖𝑖𝑗(𝑡) = 0 when 𝑖≠𝑗. Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org Example of an elasticity model based on the conformation tensor Eventually, it may be noted that, from the kinematic boundary condition on the upper edge
of the gauge section, it is immediately deduced that 𝛼𝑡is nothing else than the axial strain of the gauge
section, usually denoted by 𝜖11 in the case of infinitesimal strains. Figure 5 gauge section of a flat tensile specimen whose dimensions are defined in Figure 5 and whose
constitutive material is a pure mono-atomic one. The pure metals are an example of such materials,
which are however often, at the microscopic or larger scale, in the form of polycrystals, i.e. a set
of crytallites or grains of varying sizes and orientations, and separated by grain boundaries. Obviously, the concept of conformation, and even more this of average conformation, introduced
in the present study do not make sense physically on the interfaces that are the grain boundaries. So we must also assumed that the constitutive material of the specimen has no grain boundaries,
which means that it is not only mono-atomic but also monocrystalline. In other words, the
characteristic size of the specimen (e.g. 𝐿0, see Figure 5) must be approximately this of the crystal
of its constitutive material. Due to the kinematic boundary conditions, the Lagrangian description of the displacement
field of the points of the gauge section, 𝒅𝐿, is simpleÐfor the observer defined by point 𝑂and the
orthonormal basis (𝒆1, 𝒆2, 𝒆3), see Figure 5. It reads (47) 𝒅𝐿(𝒙0,𝑡) = 𝑥01𝛼𝑡𝒆1 + 𝑥02𝑔(𝑡)𝒆2 + 𝑥03𝑔(𝑡)𝒆3 14
18 Thierry Désoyer Average conformation tensor of inter-atomic bonds where 𝛼> 0 and where the function 𝑔(𝑡), such that 𝑔(𝑡0 = 0) = 0 and 𝑔′(𝑡) < 0, ∀𝑡, does not
have to be more specified here. From the Lagrangian gradient of 𝒅𝐿, which defines a uniform
field in the gauge section, the field of deformation gradient is immediately deduced, namely (48) 𝑻= grad𝐿(𝒅) + 𝑮= (1 + 𝛼𝑡)(𝒆1 ⊗𝒆1) + (1 + 𝑔(𝑡))(𝒆2 ⊗𝒆2 + 𝒆3 ⊗𝒆3). (48) It may here be noted that any strain field, whatever the considered strain tensor 𝑺, inherits the
property of uniformity of 𝑻, including the infinitesimal strain field: It may here be noted that any strain field, whatever the considered strain tensor 𝑺, inherits the
property of uniformity of 𝑻, including the infinitesimal strain field: 𝝐= 𝛼𝑡(𝒆1 ⊗𝒆1) + 𝑔(𝑡)(𝒆2 ⊗𝒆2 + 𝒆3 ⊗𝒆3). (49) 𝝐= 𝛼𝑡(𝒆1 ⊗𝒆1) + 𝑔(𝑡)(𝒆2 ⊗𝒆2 + 𝒆3 ⊗𝒆3). Example of an elasticity model based on the conformation tensor (53) (53) Γ22(𝑡) = Γ33(𝑡) ≈𝜖22(𝑡) = 𝜖33(𝑡) = 𝑔(𝑡), In other words, in the case of uniaxial tension restricted to small strains, and for the observer
defined by point 𝑂and the orthonormal basis (𝒆1, 𝒆2, 𝒆3), see Figure 5, 𝚪≈𝝐. In no way can this
particular result be generalized, mainly because, as already mentioned, 𝚪is not a strain tensor. However, this same result suggestsÐbut definitely not provesÐthat, in the case of small, elastic
variations of conformation, that is to say when the eigenvalues of 𝚪are such that |𝛾𝑘| ≪1, an
expression of the average specific free energy of the inter-atomic bonds could be analogous to
that underlying the very classical isotropic, linear elasticity model, namely In other words, in the case of uniaxial tension restricted to small strains, and for the observer
defined by point 𝑂and the orthonormal basis (𝒆1, 𝒆2, 𝒆3), see Figure 5, 𝚪≈𝝐. In no way can this
particular result be generalized, mainly because, as already mentioned, 𝚪is not a strain tensor. However, this same result suggestsÐbut definitely not provesÐthat, in the case of small, elastic
variations of conformation, that is to say when the eigenvalues of 𝚪are such that |𝛾𝑘| ≪1, an
expression of the average specific free energy of the inter-atomic bonds could be analogous to
that underlying the very classical isotropic, linear elasticity model, namely Υ(𝚪) =
1
2𝜌0
(𝜆(Tr 𝚪)2 + 2𝜇Tr 𝚪· 𝚪) with 𝜇> 0 and 𝜆> −2
3𝜇
(54) (54) 15
18 Thierry Désoyer Average conformation tensor of inter-atomic bonds where 𝜌0 is the initial density, and where 𝜆and 𝜇are analogous to the Lamé parameters. From
Equation (54), and in agreement with the general expression of the Cauchy stress tensor previously
defined, see Equation (26), we get 𝝈= 𝜌
𝜌0
(𝜆Tr 𝚪𝑮+ 2𝜇𝚪). (55 𝝈= 𝜌
𝜌0
(𝜆Tr 𝚪𝑮+ 2𝜇𝚪). (55) With the additional hypothesis that 𝜌/𝜌0 ≈1, which is not inadmissible in the case of infinitesimal
strains, Equation (55) is therefore equivalent to the famous Hooke’s law, where the infinitesimal
strain tensor is replaced by the average conformation tensor 𝚪. Example of an elasticity model based on the conformation tensor But when Hooke’s law is such
that the initial stresses are zeroÐsince, from the definition of the strains with respect to an initial
state, the latter are zero at initial time ś, the stresses defined by Equation (55) might well be non
zero since the initial state of conformation has no reason to be zeroÐin Equation (53), it has been
assumed that 𝚪(0) = 0 only for the sake of brevity. If one accepts, for łsmallž conformation variations, Equation (55) as isotropic, elasticity
model, a generic structural problem based on the average conformation tensor can be formulated. In agreement with one of the main hypotheses adopted in this study, it relates only to structures
whose constitutive material is a pure substance in the solid state. As always in the field of
Mechanics, two equivalent formulations of the problem can be envisaged, a Lagrangian one and
an Eulerian one. To highlight the fact that 𝚪is without any connection with the Lagrangian
gradient of some vector field, the problem is here written in Eulerian description, for the material
fieldsÐsuch that 𝚪𝐸(𝒙𝑡,𝑡), Eulerian field of the average conformation existing in the current
configuration, Ω𝑡, of the considered structureÐas well as for the differential operatorsÐsuch that
div𝐸(𝝈), Eulerian divergence of the stress field. The Eulerian field of the current position vector
of the points of the considered structure is denoted by 𝚵𝐸(𝒙𝑡,𝑡) (thus, trivially, 𝚵𝐸(𝒙𝑡,𝑡) = 𝒙𝑡). The data of the problem are: • the material parameters 𝜇> 0 and 𝜆> −(2/3)𝜇, • the material parameters 𝜇> 0 and 𝜆> −(2/3)𝜇, • the material parameters 𝜇> 0 and 𝜆> −(2/3)𝜇, • the initial configuration for any observer of the considered structure, Ω0, • the initial fields of density 𝜌0(𝒙0) = 𝜌0 of average conformation 𝚪0(𝒙0) = 0, and of Cauchy
stresses 𝝈0(𝒙0) = 0, • the velocity field, 𝑽𝑡(𝒙𝑡), acting on the part 𝜕Ω𝑉
𝑡of the current boundary 𝜕Ω𝑡of the structure,
and the stress vector rate field, 𝒇𝑡(𝒙𝑡), acting on the part 𝜕Ω𝑓
𝑡of 𝜕Ω𝑡, i
𝒇
g
p
𝑡
• the field of density of body forces, 𝒇𝑚(𝒙𝑡), acting in Ω𝑡, e.g. 𝒇𝑚= 0 or 𝒇𝑚= 𝒈, gravitational
acceleration. • the field of density of body forces, 𝒇𝑚(𝒙𝑡), acting in Ω𝑡, e.g. 𝒇𝑚= 0 or 𝒇𝑚= 𝒈, gravitational
acceleration. Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org Example of an elasticity model based on the conformation tensor The static equilibrium problem is then to find the current configuration, Ω𝑡, and the fields defined
on the whole configuration 𝚵𝐸(𝒙𝑡,𝑡), 𝜌𝐸(𝒙𝑡,𝑡), 𝚪𝐸(𝒙𝑡,𝑡) and 𝝈𝐸(𝒙𝑡,𝑡) such that ) = 𝒙𝑡}
rad𝐸( ¤𝚵) Ω𝑡= {𝚵𝐸(𝒙𝑡,𝑡) = 𝒙𝑡}
¤𝜌𝐸= −𝜌𝐸Tr grad𝐸( ¤𝚵)
¤𝚪𝐸= sym(grad𝐸( ¤𝚵)) + 2
3
Õ
𝑘=1
𝛾𝑘
𝐸sym((skw(grad𝐸( ¤𝚵)) · 𝑷𝑘
𝐸) ⊗𝑷𝑘
𝐸)
𝝈𝐸= 𝜌𝐸
𝜌0
(𝜆Tr 𝚪𝐸𝑮+ 2𝜇𝚪𝐸)
div𝐸(𝝈) + 𝜌𝐸𝒇𝑚= 0
(56) Ω𝑡= {𝚵𝐸(𝒙𝑡,𝑡) = 𝒙𝑡}
¤𝜌𝐸= −𝜌𝐸Tr grad𝐸( ¤𝚵) (56) satisfying the initial conditions (𝑡0 = 0) satisfying the initial conditions (𝑡0 = 0) Ω0 = {𝚵𝐸(𝒙0, 0) = 𝒙0}
𝜌𝐸(𝒙0, 0) = 𝜌0(𝒙0) in Ω0
𝚪𝐸(𝒙0, 0) = 𝚪0(𝒙0) in Ω0
𝝈𝐸(𝒙0, 0) = 𝝈0(𝒙0) in Ω0,
(57) Ω0 = {𝚵𝐸(𝒙0, 0) = 𝒙0}
𝜌𝐸(𝒙0, 0) = 𝜌0(𝒙0) in Ω0
𝚪𝐸(𝒙0, 0) = 𝚪0(𝒙0) in Ω0
(57) Ω0 = {𝚵𝐸(𝒙0, 0) = 𝒙0}
𝜌𝐸(𝒙0, 0) = 𝜌0(𝒙0) in Ω0
𝚪𝐸(𝒙0, 0) = 𝚪0(𝒙0) in Ω0
𝝈𝐸(𝒙0, 0) = 𝝈0(𝒙0) in Ω0, (57) 𝜌𝐸(𝒙0, 0)
𝜌0(𝒙0) in Ω0
𝚪𝐸(𝒙0, 0) = 𝚪0(𝒙0) in Ω0
𝝈(
0)
𝝈(
) i
Ω
(57) 𝜌𝐸(
0, )
𝜌0(
0)
0
𝚪𝐸(𝒙0, 0) = 𝚪0(𝒙0) in Ω0
𝝈𝐸(𝒙0, 0) = 𝝈0(𝒙0) in Ω0,
(57 𝚪𝐸(𝒙0, 0) = 𝚪0(𝒙0) in Ω0
𝝈𝐸(𝒙0, 0) = 𝝈0(𝒙0) in Ω0, along with the boundary conditions (𝒏𝐸is the outward unit normal vector to 𝜕Ω𝑓
𝑡) along with the boundary conditions (𝒏𝐸is the outward unit normal vector to 𝜕Ω𝑓
𝑡) ¤𝚵𝐸(𝒙𝑡,𝑡) = 𝑽𝑡(𝒙𝑡) on 𝜕Ω𝑉
𝑡,
¤𝝈𝐸(𝒙𝑡,𝑡) · 𝒏𝐸(𝒙𝑡,𝑡) = 𝒇𝑡(𝒙𝑡) on 𝜕Ω𝑓
𝑡 ¤𝚵𝐸(𝒙𝑡,𝑡) = 𝑽𝑡(𝒙𝑡) on 𝜕Ω𝑉
𝑡,
¤𝝈𝐸(𝒙𝑡,𝑡) · 𝒏𝐸(𝒙𝑡,𝑡) = 𝒇𝑡(𝒙𝑡) on 𝜕Ω𝑓
𝑡 (58) Thierry Désoyer Average conformation tensor of inter-atomic bonds with 𝜕Ω𝑉
𝑡∩𝜕Ω𝑓
𝑡= ∅and 𝜕Ω𝑉
𝑡∪𝜕Ω𝑓
𝑡= 𝜕Ω𝑡. In Equation (56), the number of equations is equal to the number of unknown fieldsÐthat is,
16 scalar fields, taking into account the symmetry of 𝚪and that of 𝝈Ð, which is a necessary
condition for the static equilibrium problem to be well-posed. However, existence and uniqueness
of solutions would require further study, which could be subjected to some constraints, in addition
to that on the Lamé parameters, see Equation (54), and that on the boundary conditions, see
Equation (58). In any case, it must be again emphasized that the structural problem here defined
is different from the usual one, based on the infinitesimal strain tensor. 7 Conclusion Nevertheless, the
process followed in Sections 2 to 5 seems to be broad enough to be applied to materials which are
not pure substances, that is to say, materials composed of at least two types of atoms. A precise
theoretical study, however, aiming to prove that the notion of the average conformation tensor of
inter-atomic bonds is relevant for this kind of materials in the solid state, still remains to be done. g
q
tensor. However, for these results to be of a real importance in the field of Solid Mechanics, they must be
expanded and/or enhanced from two points of viewÐin addition to the consideration of the
second, the third, ..., the umpteenth neighbours, which, however, is not a real problem, since an
average conformation tensor, quite similar to that defined in this study, can be easily defined for
each of these neighbours. The first is related to the class of materials to which these results can
be actually applied. In the present paper, this class was restricted to pure substances in the solid
state, in order to focus on the main idea of this study, as noted in Section 1. Nevertheless, the
process followed in Sections 2 to 5 seems to be broad enough to be applied to materials which are
not pure substances, that is to say, materials composed of at least two types of atoms. A precise
theoretical study, however, aiming to prove that the notion of the average conformation tensor of
inter-atomic bonds is relevant for this kind of materials in the solid state, still remains to be done. Future studies should also investigate the problem of the irreversible mechanical behaviorÐin
the sense of a non-zero intrinsic dissipationÐof materials, which is always observed, whatever
the material, when the supplied, mechanical energy becomes too high. More precisely, and
considering that the thermodynamic results obtained in this study are valid in the only case of an
elastic behavior, the following questions must be answered. g q
1. Which state variable(s) must be added to the average conformation tensor of inter-atomic bonds
in a physically relevant model of the irreversible mechanical behavior (elastoplastic, for instance)
of materials? 1. Which state variable(s) must be added to the average conformation tensor of inter-atomic bonds
in a physically relevant model of the irreversible mechanical behavior (elastoplastic, for instance)
of materials? 2. Example of an elasticity model based on the conformation tensor Thus, it is inevitable
that the solution of the latter, which involves only the symmetric part of the displacement
Lagrangian gradient, is generally different from that of Equation (56), where both the symmetric
and skew-symmetric parts of the velocity Eulerian gradient appear. 7 Conclusion How is (are) the material derivative(s) of this (these) state variable(s), including that of the
average conformation tensor of inter-atomic bonds, constrained by the Thermodynamics? If precise and rigorous answers can be given to these questions, the average conformation tensor
of inter-atomic bonds might become, as an alternative to a strain tensor, an interesting new state
variable, in the essential sense that it is independent of the transformation linking the current
configuration to the reference configuration, like the absolute temperature and the density. 7 Conclusion The three main results achieved in this study, in the case when a pure substance in the solid state
is considered as a Continuum, are the following ones. The three main results achieved in this study, in the case when a pure substance in the solid state
is considered as a Continuum, are the following ones. 1. As a state variable, the average conformation tensor of inter-atomic bonds is an objective and
relevant variable. Furthermore, and as opposed to a strain tensor, the average conformation
tensor is independent of the transformation linking the current configuration to the reference (or
initial) one. 1. As a state variable, the average conformation tensor of inter-atomic bonds is an objective and
relevant variable. Furthermore, and as opposed to a strain tensor, the average conformation
tensor is independent of the transformation linking the current configuration to the reference (or
initial) one. 2. Apart from the viscid effects, the Cauchy stress tensor can always be expressed as a function of
the average conformation tensor, which is the first derivative of a state potential of the free
energy density (per unit mass) of the inter-atomic bonds. 3. When the mechanical behavior of a pure substance can be considered as elastic, the objective part
of the material derivative of the average conformation tensor is equal to the rate of deformation
tensor. 3. When the mechanical behavior of a pure substance can be considered as elastic, the objective part
of the material derivative of the average conformation tensor is equal to the rate of deformation
tensor. However, for these results to be of a real importance in the field of Solid Mechanics, they must be
expanded and/or enhanced from two points of viewÐin addition to the consideration of the
second, the third, ..., the umpteenth neighbours, which, however, is not a real problem, since an
average conformation tensor, quite similar to that defined in this study, can be easily defined for
each of these neighbours. The first is related to the class of materials to which these results can
be actually applied. In the present paper, this class was restricted to pure substances in the solid
state, in order to focus on the main idea of this study, as noted in Section 1. References Finite-temperature stress calculations in atomic
models using moments of position. Journal of Physics: Condensed Matter 30(26):265901. [doi]. Rice, J. R. (1971). Inelastic constitutive relations for solids: an internal-variable theory and its
application to metal plasticity. Journal of the Mechanics and Physics of Solids 19(6):433ś455. [doi]. Spencer, A. J. M. (1971). Theory of Invariants. Mathematics. Ed. by A. C. Eringen. Vol. 1. Elsevier,
pp 239ś353. [doi]. Open Access
This article is licensed under a Creative Commons Attribution 4.0 International License,
which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long
s you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license,
nd indicate if changes were made. The images or other third party material in this article are included in the article’s
Creative Commons license, unless indicated otherwise in a credit line to the material. If material is not included in the
rticle’s Creative Commons license and your intended use is not permitted by statutory regulation or exceeds the
ermitted use, you will need to obtain permission directly from the authorsśthe copyright holder. To view a copy of
his license, visit creativecommons.org/licenses/by/4.0. Authors’ contributions
The author confirms sole responsibility for carrying the study and writing the manuscript. Supplementary Material
None. Acknowledgements
The author would like to warmly thank André Dragon, Emeritus Research Director at the
rench National Center for Scientific Research, for his encouragement during the long maturation phase of the ideas
nd concepts presented in the paper. Ethics approval and consent to participate
Not applicable. Consent for publication
Not applicable. Competing interests
The authors declare that they have no competing interests. ournal’s Note
JTCAM remains neutral with regard to the content of the publication and institutional affiliations. ational and Applied Mechanics
June 2023
jtcam.episciences.org
18
18 Open Access
This article is licensed under a Creative Commons Attribution 4.0 International License,
which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long
as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license,
and indicate if changes were made. The images or other third party material in this article are included in the article’s
Creative Commons license, unless indicated otherwise in a credit line to the material. References Adkins, J. E. (1961). Large elastic deformations. Progress in Solid Mechanics. Ed. by I. N. Sneddon
oretical, Computational and Applied Mechanics
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18 Adkins, J. E. (1961). Large elastic deformations. Progress in Solid Mechanics. Ed. by I. N. Sneddon J. E. (1961). Large elastic deformations. Progress in Solid Mechanics. Ed. by I. N. Sneddon Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org 17
18 Thierry Désoyer Average conformation tensor of inter-atomic bonds and R. Hill. Vol. 2. North-Holland Publishing Company, pp 3ś59. and R. Hill. Vol. 2. North-Holland Publishing Company, pp 3ś59. Asaro, R. J. (1983). Crystal plasticity. Journal of Applied Mechanics 50(4b):921ś934. [doi]. Boehler, J. P. (1987). Applications of Tensor Functions in Solid Mechanics. Springer. [doi], [oa]. Asaro, R. J. (1983). Crystal plasticity. Journal of Applied Mechanics 50(4b):921ś934. [doi]. Boehler, J. P. (1987). Applications of Tensor Functions in Solid Mechanics. Springer. [doi], [oa Asaro, R. J. (1983). Crystal plasticity. Journal of Applied Mechanics 50(4b):921ś934. [doi]. Boyce, M. C., G. G. Weber, and D. M. Parks (1989). On the kinematics of finite strain plasticity. Journal of the Mechanics and Physics of Solids 37(5):647ś665. [doi]. Coleman, B. and M. Gurtin (1967). Thermodynamics with internal state variables. The Journal of
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Continuum Mechanics and Thermodynamics 16(1-2):177ś183. [doi]. Mandel, J. (1972). Plasticité classique et viscoplasticité. Springer. isbn: 9783211811979. Murdoch, A. I. (2003). Objectivity in classical continuum physics: a rationale for discarding the
‘principle of invariance under superposed rigid body motions’ in favour of purely objective
considerations. Continuum Mechanics and Thermodynamics 15(3):309ś320. [doi]. Parthasarathy, R., A. Misra, and L. Ouyang (2018). Spencer, A. J. M. (1971). Theory of Invariants. Mathematics. Ed. by A. C. Eringen. Vol. 1. Elsevier,
pp 239ś353. [doi]. References If material is not included in the
article’s Creative Commons license and your intended use is not permitted by statutory regulation or exceeds the
permitted use, you will need to obtain permission directly from the authorsśthe copyright holder. To view a copy of
this license, visit creativecommons.org/licenses/by/4.0. Authors’ contributions
The author confirms sole responsibility for carrying the study and writing the manuscrip
Supplementary Material
None. Supplementary Material
None. Acknowledgements
The author would like to warmly thank André Dragon, Emeritus Research Director at the
French National Center for Scientific Research, for his encouragement during the long maturation phase of the ideas
and concepts presented in the paper. Ethics approval and consent to participate
Not applicable. Ethics approval and consent to participate
Not applicable. Consent for publication
Not applicable. Competing interests
The authors declare that they have no competing interests. Competing interests
The authors declare that they have no competing interests. Journal’s Note
JTCAM remains neutral with regard to the content of the publication and institutional affiliations. Journal of Theoretical, Computational and Applied Mechanics
June 2023
jtcam.episciences.org
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Supplementary figures and legends from Extracellular Matrix Receptor Expression in Subtypes of Lung Adenocarcinoma Potentiates Outgrowth of Micrometastases
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A
AVG Log2 expression
Glycoproteins
0.2
0.1
0
-0.1
p=7.17E-13
ns
p=6.07E-13
ECM Affiliated
0.2
0.1
0
-0.1
p=1.90E-33
p=9.61E-10
p=2.60E-11
ECM Regulators
0.2
0.1
0
-0.1
p=7.45E-26
p=4.06E-7
p=3.22E-10
Secreted
0.2
0.1
0
p=2.93E-16
ns
p=1.90E-12
D
VCAN
HMMR
0
1
2
3
-1
-2
-3
AVG Log2 expression
0
1
2
3
-1
-2
-3
DCC cohort:
Alveolar (n=178)
DASC-like (n=264)
p=2.55E-46
p=6.26E-30
TRU (n=159)
PP (n=152)
PI (n=131)
DCC cohort:
E
ns
p=8.11E-9
p=2.82E-6
p=1.30E-44
p=6.44E-28
p=5.31E-9
HMMR
VCAN
HMMR Isoforms
TRU
PP
PI
TRU
PP
PI
TRU
PP
PI
TRU
PP
PI
v1
v2
v3
v4
8
6
4
2
0
Log2(TPM)
B
p=3.32E-8
ns
p=4.45E-5 p=0.04
C
VST expression
0
2
4
-2
-4
CD44
p=5.87E-9
ns
p=5.14E-10
10
0
5
-5
p=6.31E-7
ns
ns
HAS1
0
5
10
-10
-5
ns
ns
p=1.22E-3
HAS2
p=0.02
HAS3
p=1.45E-5
p=4.57E-6
0
2
6
-6
-4
-2
4
VST expression
p=4.95E-5
HYAL1
p=1.24E-30
p=1.23E-5
0
2
6
-2
4
T expression
0
4
2
ns
HYAL2
p=2.55E-18
ns A
AVG Log2 expression
Glycoproteins
0.2
0.1
0
-0.1
p=7.17E-13
ns
p=6.07E-13
ECM Affiliated
0.2
0.1
0
-0.1
p=1.90E-33
p=9.61E-10
p=2.60E-11
ECM Regulators
0.2
0.1
0
-0.1
p=7.45E-26
p=4.06E-7
p=3.22E-10
Secreted
0.2
0.1
0
p=2.93E-16
ns
p=1.90E-12
D
VCAN
HMMR
0
1
2
3
-1
-2
-3
AVG Log2 expression
0
1
2
3
-1
-2
-3
DCC cohort:
Alveolar (n=178)
DASC-like (n=264)
p=2.55E-46
p=6.26E-30
TRU (n=159)
PP (n=152)
PI (n=131)
DCC cohort:
E
ns
p=8.11E-9
p=2.82E-6
p=1.30E-44
p=6.44E-28
p=5.31E-9
HMMR
VCAN
HMMR Isoforms
TRU
PP
PI
TRU
PP
PI
TRU
PP
PI
TRU
PP
PI
v1
v2
v3
v4
8
6
4
2
0
Log2(TPM)
B
p=3.32E-8
ns
p=4.45E-5 p=0.04
C
VST expression
0
2
4
-2
-4
CD44
p=5.87E-9
ns
p=5.14E-10
10
0
5
-5
p=6.31E-7
ns
ns
HAS1
0
5
10
-10
-5
ns
ns
p=1.22E-3
HAS2
p=0.02
HAS3
p=1.45E-5
p=4.57E-6
0
2
6
-6
-4
-2
4
VST expression
p=4.95E-5
HYAL1
p=1.24E-30
p=1.23E-5
0
2
6
-2
4
T expression
0
4
2
ns
HYAL2
p=2.55E-18
ns A
AVG Log2 expression
Glycoproteins
0.2
0.1
0
-0.1
p=7.17E-13
ns
p=6.07E-13
ECM Affiliated
0.2
0.1
0
-0.1
p=1.90E-33
p=9.61E-10
p=2.60E-11
ECM Regulators
0.2
0.1
0
-0.1
p=7.45E-26
p=4.06E-7
p=3.22E-10
Secreted
0.2
0.1
0
p=2.93E-16
ns
p=1.90E-12
TRU (n=159)
PP (n=152)
PI (n=131)
DCC cohort: A A
D
VCAN
HMMR
0
1
2
3
-1
-2
-3
AVG Log2 expression
0
1
2
3
-1
-2
-3
DCC cohort:
Alveolar (n=178)
DASC-like (n=264)
p=2.55E-46
p=6.26E-30
TRU (n=159)
PP (n=152)
PI (n=131)
DCC cohort:
TCGA cohort:
Normal (n=45)
Alveolar-Med (n=85)
Alveolar-High (n=81)
Alveolar-Low (n=64)
E
0
5
-5
ns
p=8.11E-9
p=2.82E-6
-10
-5
0
5
p=1.30E-44
p=6.44E-28
p=5.31E-9
HMMR
VCAN
AVG Log2 expression
HMMR Isoforms
TRU
PP
PI
TRU
PP
PI
TRU
PP
PI
TRU
PP
PI
v1
v2
v3
v4
8
6
4
2
0
Log2(TPM)
B
p=3.32E-8
ns
p=4.45E-5 p=0.04
C
TCGA cohort:
PI (n=78)
TRU (n=89)
PP (n=63)
Normal (n=45)
VST expression
0
2
4
-2
-4
CD44
p=5.87E-9
ns
p=5.14E-10
10
0
5
-5
p=6.31E-7
ns
ns
HAS1
0
5
10
-10
-5
ns
ns
p=1.22E-3
HAS2
p=0.02
HAS3
p=1.45E-5
p=4.57E-6
0
2
6
-6
-4
-2
4
VST expression
p=4.95E-5
HYAL1
p=1.24E-30
p=1.23E-5
0
2
6
-6
-4
-2
4
VST expression
-2
0
4
-4
2
ns
HYAL2
p=2.55E-18
ns
-15
-10 D
HMMR Isoforms
TRU
PP
PI
TRU
PP
PI
TRU
PP
PI
TRU
PP
PI
v1
v2
v3
v4
8
6
4
2
0
Log2(TPM)
B
p=3.32E-8
ns
p=4.45E-5 p=0.04
C
VST expression
0
2
4
-2
-4
CD44
p=5.87E-9
ns
p=5.14E-10
10
0
5
-5
p=6.31E-7
ns
ns
HAS1
10
ns
ns
p=1.22E-3
HAS2
p=0.02
HAS3
p=1.45E-5
p=4.57E-6
6 C
VST expression
0
2
4
-2
-4
CD44
p=5.87E-9
ns
p=5.14E-10
10
0
5
-5
p=6.31E-7
ns
ns
HAS1
5
10
ns
ns
p=1.22E-3
HAS2
p=0.02
HAS3
p=1.45E-5
p=4.57E-6
2
6
4
ssion C
VST expression
0
2
4
-2
-4
CD44
p=5.87E-9
ns
p=5.14E-10
10
0
5
-5
p=6.31E-7
ns
ns
HAS1 HMMR Isoforms
TRU
PP
PI
TRU
PP
PI
TRU
PP
PI
TRU
PP
PI
v1
v2
v3
v4
8
6
4
2
0
Log2(TPM)
B
p=3.32E-8
ns
p=4.45E-5 p=0.04 C B B D
VCAN
HMMR
0
1
2
3
-1
-2
-3
AVG Log2 expression
0
1
2
3
-1
-2
-3
DCC cohort:
Alveolar (n=178)
DASC-like (n=264)
p=2.55E-46
p=6.26E-30
TCGA cohort:
Normal (n=45)
Alveolar-Med (n=85)
E
0
5
-5
ns
p=8.11E-9
p=2.82E-6
-10
-5
0
5
p=1.30E-44
p=6.44E-28
p=5.31E-9
HMMR
VCAN
AVG Log2 expression
HMMR Isoforms
TCGA cohort:
PI (n=78)
TRU (n=89)
PP (n=63)
Normal (n=45)
0
5
10
-10
-5
ns
ns
p=1.22E-3
p 0.02
p=1.45E-5
p=4.57E-6
0
2
6
-6
-4
-2
4
VST expression
p=4.95E-5
HYAL1
p=1.24E-30
p=1.23E-5
0
2
6
-6
-4
-2
4
VST expression
-2
0
4
-4
2
ns
HYAL2
p=2.55E-18
ns
-15
-10 D
VCAN
HMMR
0
1
2
3
-1
-2
-3
AVG Log2 expression
0
1
2
3
-1
-2
-3
DCC cohort:
Alveolar (n=178)
DASC-like (n=264)
p=2.55E-46
p=6.26E-30
HMMR Isoforms
0
5
10
-10
-5
ns
ns
p=1.45E-5
0
2
6
-6
-4
-2
4
VST expression
p=4.95E-5
HYAL1
p=1.24E-30
p=1.23E-5
6
4
on
4
2
ns
HYAL2
p=2.55E-18
ns D DASC like (n 264)
TCGA cohort:
Normal (n=45)
Alveolar-Med (n=85)
Alveolar-High (n=81)
Alveolar-Low (n=64)
E
0
5
-5
ns
p=8.11E-9
p=2.82E-6
-10
-5
0
5
p=1.30E-44
p=6.44E-28
p=5.31E-9
HMMR
VCAN
AVG Log2 expression
TCGA cohort:
PI (n=78)
TRU (n=89)
PP (n=63)
Normal (n=45)
0
2
-6
-4
-2
4
VST expressio
-2
0
-4
2
-15
-10 TCGA cohort:
Normal (n=45)
Alveolar-High (
E
-10
-5
0
5
p=1.30E-44
p=6.44E-28
p=5.31E-9
HMMR
AVG Log2 expression
-
- E TCGA cohort:
Normal (n=45)
Alveolar-Med (n=85)
Alveolar-High (n=81)
Alveolar-Low (n=64) Supplementary Figure S1 (A) Mean normalized log2 expression values of genes encoding various lung ECM
components were plotted across the TRU, PP, and PI subtypes. Tumors are from the
DCC cohort. (B) Transcript per million (TPM) log2 expression of HMMR isoforms from
TCGA were plotted for tumors classified as in (A). (C) CD44, HAS1-3, HYAL1, and 2
VST expression values plotted across normal lung tissue and LUADs from TCGA
classified as in (A). (D) Expression of HMMR and VCAN across tumors from DCC
classified based on an alveolar lineage signature, which segregated the cohort into two
clusters (alveolar-high or distal stem cell–like (DASC-like)). (E) TCGA tumors analyzed
as in (D) clustered into 3 groups (Alveolar-high, alveolar-medium, or alveolar-low). HMMR and VCAN expression were plotted for each and compared to normal tissue. p-
values calculated by Student’s t-test. ns=not significant. GeneSymbol
GO: Molecular Function
score
Interaction
score
Combined score
ITGB1
2.28141
2.36059
4.642
ITGA5
2.5155
2.08184
4.59734
PTPRC
2.3192
1.86923
4.18843
ITGAV
1.79239
2.28141
4.0738
THY1
1.8982
1.92923
3.82743
VCAM1
1.33121
1.99887
3.33008
HSPD1
1.65302
1.46297
3.11599
HMMR
1.54768
1.55441
3.10209
TFRC
1.34356
1.6704
3.01396
PLAUR
0.794746
2.08184
2.876586
USP14
2.15647
0.285412
2.441882
CD14
1.11508
0.285412
1.400492
CFTR
-1.03837
-0.285412
-1.323782
GGT1
-1.4575
-0.285412
-1.742912
IL6R
-1.91344
-0.285412
-2.198852
GGTLC1
-1.15647
-1.5682
-2.72467
BCAM
-1.45211
-1.71714
-3.16925
LPL
-1.65302
-1.54768
-3.2007
PLA2G1B
-1.54768
-1.70738
-3.25506
FGFR2
-1.94562
-1.91344
-3.85906
IL6ST
-2.21447
-1.76953
-3.984
DPP4
-2.15647
-2.08184
-4.23831
APOH
-2.15647
-2.08184
-4.23831 Supplementary Table S1 Extended list of genes (overall FDR p-value<0.05) from ToppGene network analysis
from Figure 1. Score=-log p-value; +/- based on fold change. Supplementary Table S1 H2030
B
C
-1
-2
1
2
3
0
-3
0
-1.5 -1 -0.5
0.5
1.5
HMMR mRNA
R=0.56
p=<0.0001
HMMR CNV
1
D
-4
4
-4
mir-34c
4
2
-2
2
-2
8
6
10
R=-0.2117
p=1.24E-5
-6
-4
4
-4
mir-34b
HMMR
R=-0.2589
p=7.65E-8
4
2
-2
2
-2
8
6
-6
10
PC9
H2030
Relative miR-34a
1E+0
1E+1
1E+2
1E+3
1E+4
1E+5
1E+6
Con
miR-34a
Mimic
H1693
H1573
H23
H1792
HUVEC
HPF
HMEC-L
A
H2030
PC9
HCC-827
HCC-4006
H2347
H358
H441
H1975
H1650
HMMR
Tubulin
Distant metastasis-Free
Survival (%)
100
50
0
J
MSKCC2 (n=102)
HMMR High
HMMR Low
p=0.0490
Recurrence-Free
Survival (%)
100
50
0
Samsung (n=62)
HMMR High
HMMR Low
p=0.0024
I
H
Progression-Free
Survival (%)
100
50
0
HMMR High
HMMR Low p=0.0097
TCGA (n=324)
105:5’ UUGUAUUUAAUUUUAACUGCCAA 3’
3’ UGUUGGUCGAUUCUGUGACGGU 5’
hsa-miR-34a
3’UTR-WT
3’UTR-mutant
105:5’ UUGUAUUUAAUUUUAUCAGGCUA 3’
| | | | | | |
HMMR
E
F
G
Con
miR-34a (40nM)
miR-34a (100nM)
HMMR
GAPDH
HMMR H1693
H1573
H23
H1792
HUVEC
HPF
HMEC-L
A
H2030
PC9
HCC-827
HCC-4006
H2347
H358
H441
H1975
H1650
HMMR
Tubulin H2030
B
C
-1
-2
1
2
3
0
-3
0
-1.5 -1 -0.5
0.5
1.5
HMMR mRNA
R=0.56
p=<0.0001
HMMR CNV
1
D
-4
4
-4
mir-34c
4
2
-2
2
-2
8
6
10
R=-0.2117
p=1.24E-5
-6
-4
4
-4
mir-34b
HMMR
R=-0.2589
p=7.65E-8
4
2
-2
2
-2
8
6
-6
10
PC9
H2030
Relative miR-34a
1E+0
1E+1
1E+2
1E+3
1E+4
1E+5
1E+6
Con
miR-34a
Mimic
H1693
H1573
H23
H1792
HUVEC
HPF
HMEC-L
A
H2030
PC9
HCC-827
HCC-4006
H2347
H358
H441
H1975
H1650
HMMR
Tubulin
s-Free
)
100
J
MSKCC2 (n=102)
ree
)
100
Samsung (n=62)
I
H
ee
100
TCGA (n=324)
105:5’ UUGUAUUUAAUUUUAACUGCCAA 3’
3’ UGUUGGUCGAUUCUGUGACGGU 5’
hsa-miR-34a
3’UTR-WT
3’UTR-mutant
105:5’ UUGUAUUUAAUUUUAUCAGGCUA 3’
| | | | | | |
HMMR
E
F
G
Con
miR-34a (40nM)
miR-34a (100nM)
HMMR
GAPDH
HMMR A H1792 C
-1
-2
1
2
3
0
-3
0
-1.5 -1 -0.5
0.5
1.5
HMMR mRNA
R=0.56
p=<0.0001
HMMR CNV
1
PC9
H2030 D
-4
4
-4
mir-34b
HMMR
R=-0.2589
p=7.65E-8
4
2
-2
2
-2
8
6
-6
10 H2030
B
C
-1
-2
1
2
3
0
-3
0
-1.5 -1 -0.5
0.5
1.5
HMMR mRNA
R=0.56
p=<0.0001
HMMR CNV
1
D
-4
4
mir-34b
HMMR
R=-0.2589
p=7.65E-8
4
2
-2
2
-2
8
6
-6
10
PC9
H2030
E H2030
B D C B E HMMR CNV
-4
4
-4
mir-34c
4
2
-2
2
-2
8
6
10
R=-0.2117
p=1.24E-5
-6
-4
Relative miR-34a
1E+0
1E+1
1E+2
1E+3
1E+4
1E+5
1E+6
Con
miR-34a
Mimic
105:5’ UUGUAUUUAAUUUUAACUGCCAA 3’
3’ UGUUGGUCGAUUCUGUGACGGU 5’
hsa-miR-34a
3’UTR-WT
3’UTR-mutant
105:5’ UUGUAUUUAAUUUUAUCAGGCUA 3’
| | | | | | |
HMMR
E
F
G
Con
miR-34a (40nM)
miR-34a (100nM)
HMMR
GAPDH
HMMR -4
-4
mir-34c
4
2
-2
2
-2
8
6
10
-6
Relative miR-34a
1E+0
1E+1
1E+2
1E+3
1E+4
1E+5
1E+6
Con
miR-34a
Mimic
HMMR
F
G
Con
miR-34a (40nM)
miR-34a (100nM)
HMMR
GAPDH Relative miR-34a
1E+0
1E+1
1E+2
1E+3
1E+4
1E+5
1E+6
Con
miR-34a
Mimic
F F G Con Distant metastasis-Free
Survival (%)
100
50
0
J
MSKCC2 (n=102)
0
20
40
60
Survival (Months)
HMMR High
HMMR Low
p=0.0490
Recurrence-Free
Survival (%)
100
50
0
0
20
40
60
Survival (Months)
Samsung (n=62)
HMMR High
HMMR Low
p=0.0024
I
H
Progression-Free
Survival (%)
100
50
0
0
20
40
60
Survival (Months)
HMMR High
HMMR Low p=0.0097
TCGA (n=324) Distant metastasis-Free
Survival (%)
100
50
0
J
MSKCC2 (n=102)
0
20
40
60
Survival (Months)
HMMR High
HMMR Low
p=0.0490
0
4 I J H MSKCC2 (n=102) Supplementary Figure S2 (A) Western blot of HMMR in cell lysates extracted from the indicated LUAD (black) and
stromal (red) cell lines including human pulmonary fibroblasts (HPF), human
microvascular endothelial cells (HMEC-L), and human umbilical vein endothelial cells
(HUVEC). (B) Immunofluorescent staining of HMMR (red) and DAPI (blue) in H2030
parental cells in culture. Scale bar is 50um. (C) Correlation between HMMR CNV and
mRNA expression. Annotation of representative cell lines used in our functional
experiments (H2030 and PC9) indicates likely HMMR amplification in PC9 cells. Data
plots, amplification criteria, and correlation calculations were obtained directly from the
Cancer Cell Line Encyclopedia (CCLE) portal. (D) Correlation of HMMR expression with
mir-34b and mir-34c as in Fig. 2A. (E) 3’-UTR of HMMR with the indicated mutations
used in the reporter assays. (F) qRT-PCR confirming ectopic expression of miR-34a in
H2030-BrM3 samples from Fig. 2F. (G) H2030-BrM3 cells were transfected with
increasing concentrations of the control or miR-34a mimic. HMMR protein was assessed
by Western blot. (H) Progression-free survival (including time to new loco-regional
tumors) of TCGA LUAD patients based on the median expression of HMMR in primary
tumors. (I) Recurrence-free survival of Samsung LUAD patients stratified as in (H). (J)
Distant metastasis-free survival of MSKCC2 LUAD patients stratified as in (H). p-values
calculated by log-rank test. HMMR
cg00909706-MIR34A
0.387624
1.65E-16
cg04329551-MIR34A
0.23725
8.74E-07
cg09994773-MIR34A
0.0856698
0.0794819 Supplementary Table S3 Correlation between MIR34A methylation (as a function of array probe β values) with
mir-34a or HMMR expression in concordant LUAD samples from TCGA. p-values
calculated by Spearman correlation. 0
0.5
1
1.5
C
shCon
shHMMRa
Relative HMMR mRNA
shCon
shHMMRa
shHMMRb
A
D
shCon
shHMMRa shHMMRb
0
2
4
6
2.0E5
1.5E5
1.0E5
0.5E5
2.5E5
(p/sec/cm2/sr)
ns
ns
Lung tumor burden
(BLU, Day 7)
-DOX
+DOX
0
0.5
1
1.5
shCon
shHMMRa
Relative HMMR mRNA
HMMRv1
HMMRv2
HMMRv3
HMMRv4
B
0
200
400
600
800
0
5
10
15
20
25
shCon (n=5)
shHmmr (n=5)
DOX
+
+
Hmmr
Tubulin
shCon
shHmmr
E
p=0.016
Lung tumor burden (BLU)
D
F
shCon
shHmmr
4E7
3E7
2E7
1E7
5E7
p/sec/cm2/sr)
0
2000
4000
6000
8000
p=0.0025
G
Lung tumor burden
(BLU, Day 22) 0
0.5
1
1.5
Relative HMMR mRNA
shCon
shHMMRa
shHMMRb
A
-DOX
+DOX
0
0.5
1
1.5
shCon
shHMMRa
Relative HMMR mRNA
HMMRv1
HMMRv2
HMMRv3
HMMRv4
B 0
0.5
1
1.5
Relative HMMR mRNA
shCon
shHMMRa
shHMMRb
A
-DOX
+DOX 0
0.5
1
1.5
shCon
shHMMRa
Relative HMMR mRNA
HMMRv1
HMMRv2
HMMRv3
HMMRv4
B B A HMMRv1
HMMRv2
HMMRv3
HMMRv4 D
shCon
shHMMRa shHMMRb
0
2
4
6
2.0E5
1.5E5
1.0E5
0.5E5
2.5E5
(p/sec/cm2/sr)
ns
ns
Lung tumor burden
(BLU, Day 7) C
shCon
shHMMRa D C DOX
+
+
Hmmr
Tubulin
shCon
shHmmr
E E shCon
shHmmr
4E7
3E7
2E7
1E7
5E7
(p/sec/cm2/sr)
0
2000
4000
6000
8000
p=0.0025
G
Lung tumor burden
(BLU, Day 22) G 0
200
400
600
800
0
5
10
15
20
25
shCon (n=5)
shHmmr (n=5)
p=0.016
Lung tumor burden (BLU)
Days
F F Supplementary Figure S3 (A) HMMR mRNA in H2030-BrM3 cells stably expressing the indicated shRNAs and
cultured in the absence or presence of DOX was measured by qRT-PCR and
normalized to GAPDH. (B) Isoform specific mRNA expression of HMMR of cell lines
used in (A) was measured by qRT-PCR and normalized to GAPDH. (C) Representative
lung H&E from mice harvested at endpoint in Fig. 3C. (D) BLU signal of lungs from Day
7 in Fig. 3E, showing tumor burden before DOX treatment. (E) Validation of Hmmr
knockdown in murine LUAD cells (368T1) by Western blot. (F) Murine LUAD cells with
the indicated shRNA were injected into the tail vein of mice and lung tumor burden
measured as in Fig. 3. (G) BLU signal of extracted lungs from (F) at endpoint (Day 22)
with representative images. B
C
DOX
+
+
shCon
shHMMRa
HMMR
Tubulin
PC9 BrM3
Lung
Liver
Bone
Adrenal
1.0E5
0.8E5
0.6E5
0.4E5
0.2E5
(p/sec/cm2/sr)
1.0E6
0.8E6
0.6E6
0.4E6
0.2E6
(p/sec/cm2/sr)
2.0E6
1.5E6
1.0E6
0.5E6
(p/sec/cm2/sr)
Brain
A
0
5
10
15
20
25
H2030
Parental
H2030
BrM3
PC9
Parental
PC9
BrM3
Relative
HMMR mRNA
p=1.35E-5
cohort
Days to metastasis
(any site)
Days to brain
metastasis
Days to extra-
cranial metastasis
shCon
(n=19)
20.1
34.6
30.5
shHMMRa
(n=10)
59.5
p=1.05E-02
88.5
p=8.51E-04
81.4
p=4.16E-03
shHMMRb
(n=14)
62.6
p=6.90E-04
89.1
p=2.54E-05
59.2
p=3.56E-02
D
Supplementary Figure S4
(A) HMMR mRNA expression was measured via qRT-PCR from H2030, PC9, and
their metastatic BrM3 cell populations and normalized to GUSB. (B) Validation of
HMMR knockdown in PC9-BrM3 cells by Western blot. (C) Representative
bioluminescent images confirming metastasis formation by BrM3 cells in brain
and extra-cranial tissue including adrenal, lung, liver, and limb bone. (D) Average
days to metastasis detection (overall or site specific) using the same cohort as in
Fig. 4A. Note: some animals developed metastasis in one site but not the other. Supplementary Figure S3 B
DOX
+
+
shCon
shHMMRa
HMMR
Tubulin
PC9 BrM3
A
0
5
10
15
20
25
H2030
Parental
H2030
BrM3
PC9
Parental
PC9
BrM3
Relative
HMMR mRNA
p=1.35E-5 A
0
5
10
15
20
25
H2030
Parental
H2030
BrM3
PC9
Parental
PC9
BrM3
Relative
HMMR mRNA
p=1.35E-5 B
DOX
+
+
shCon
shHMMRa
HMMR
Tubulin
PC9 BrM3 B A C
Lung
Liver
Bone
Adrenal
1.0E5
0.8E5
0.6E5
0.4E5
0.2E5
(p/sec/cm2/sr)
1.0E6
0.8E6
0.6E6
0.4E6
0.2E6
(p/sec/cm2/sr)
2.0E6
1.5E6
1.0E6
0.5E6
(p/sec/cm2/sr)
Brain C cohort
Days to metastasis
(any site)
Days to brain
metastasis
Days to extra-
cranial metastasis
shCon
(n=19)
20.1
34.6
30.5
shHMMRa
(n=10)
59.5
p=1.05E-02
88.5
p=8.51E-04
81.4
p=4.16E-03
shHMMRb
(n=14)
62.6
p=6.90E-04
89.1
p=2.54E-05
59.2
p=3.56E-02
D D Supplementary Figure S4 Supplementary Figure S4 (A) HMMR mRNA expression was measured via qRT-PCR from H2030, PC9, and
their metastatic BrM3 cell populations and normalized to GUSB. (B) Validation of
HMMR knockdown in PC9-BrM3 cells by Western blot. (C) Representative
bioluminescent images confirming metastasis formation by BrM3 cells in brain
and extra-cranial tissue including adrenal, lung, liver, and limb bone. (D) Average
days to metastasis detection (overall or site specific) using the same cohort as in
Fig. 4A. Note: some animals developed metastasis in one site but not the other. p-values calculated by students t-test 0
5
10
15
20
25
0
20
40
60
80
100
0
20
40
60
80
GFP+
clusters/section
p=0.04
B
0
5
10
15
shCon
shHMMRa
shHMMRb
% Adhered cells
D
C
p=0.007
p=0.002
shCon
shHMMRa
shHMMRb
Wound Closure
p=0.0002
p=0.01
Avg Cells/Field
shCon
shHMMRb
i
ii
0
20
40
60
80
100
A
%Ki67+/GFP+
cells/section
shCon
shHMMRa
shCon
shHMMRa
shHMMRa
in
out
E
COLIV
GFP
DAPI
COLIV
GFP
DAPI
COLIV
GFP
DAPI
in transition
Supplementary Figure S5
(A) The % Ki67-positive/GFP-positive proliferating tumor cells in the lungs at day 2. (B) Number of GFP-
positive clusters per lung section at day 14 as in Fig. 5E. (C) H2030-BrM3 cells expressing the indicated
shRNAs cultured in the presence of DOX were subjected to a scratch assay (i) and the ability of the cells
to close the wound after 16 hours was measured. (ii) Migration through a Boyden chamber was
measured after 10 hours. (D) H2030-BrM3 cells expressing the indicated shRNAs cultured in DOX were
allowed to adhere for 90 minutes to an endothelial cell monolayer (HUVEC) and % adherence was
measured as a function of luciferase activity. (E) Representative images of cells that were quantified as
intravasated, in transition, or extravasated in Fig. 5G. Scale bars indicate 25µm. Supplementary Figure S4 0
5
10
15
20
25
0
20
40
60
80
100
0
20
40
60
80
GFP+
clusters/section
p=0.04
B
C
p=0.007
p=0.002
shCon
shHMMRa
shHMMRb
Wound Closure
p=0.0002
p=0.01
Avg Cells/Field
shCon
shHMMRb
i
ii
0
20
40
60
80
100
A
%Ki67+/GFP+
cells/section
shCon
shHMMRa
shCon
shHMMRa
shHMMRa C i B A A ii 0
5
10
15
shCon
shHMMRa
shHMMRb
% Adhered cells
D
in
out
E
COLIV
GFP
DAPI
COLIV
GFP
DAPI
COLIV
GFP
DAPI
in transition 0
5
10
15
shCon
shHMMRa
shHMMRb
% Adhered cells
D a
b
in
out
E
COLIV
GFP
DAPI
COLIV
GFP
DAPI
COLIV
GFP
DAPI
in transition D E D Supplementary Figure S5 Supplementary Figure S5 (A) The % Ki67-positive/GFP-positive proliferating tumor cells in the lungs at day 2. (B) Number of GFP-
positive clusters per lung section at day 14 as in Fig. 5E. (C) H2030-BrM3 cells expressing the indicated
shRNAs cultured in the presence of DOX were subjected to a scratch assay (i) and the ability of the cells
to close the wound after 16 hours was measured. (ii) Migration through a Boyden chamber was
measured after 10 hours. (D) H2030-BrM3 cells expressing the indicated shRNAs cultured in DOX were
allowed to adhere for 90 minutes to an endothelial cell monolayer (HUVEC) and % adherence was
measured as a function of luciferase activity. (E) Representative images of cells that were quantified as
intravasated, in transition, or extravasated in Fig. 5G. Scale bars indicate 25µm. Supplementary Figure S5 0
5
10
15
H2030
BrM3
PC9
BrM3
HUVEC HPF
A
-HSE
+HSE
HA
GFP
DAPI
HA
GFP
DAPI
F
+HSE
HA
GFP
DAPI
E
Par
Par
BrM3
BrM3
H2030
PC9
HUVEC
HPF
Relative VCAN mRNA
D
VCAN
GFP
DAPI
VCAN
GFP
DAPI
B
Day 2
Day 14
HA
COLIV
GFP
DAPI
I
G
HA (ng/ml/1e4 cells)
Staining control
Staining control
0
500
1000
1500
2000
H2030 BM3
C8S
HA (ng/ml)
H2030
mAstrocytes
0
0.5
1.0
1.5
2.0
20
30
40
50
HA
EMCN
GFP
DAPI
HA
EMCN
GFP
DAPI
Mean GFAP Intensity
80
60
40
20
R=0.682
p=<0.0001
C
Day 2
Day 14
0
0
80
60
40
20
H +HSE
HA
GFP
DAPI
B
control A
-HSE
+HSE
HA
GFP
DAPI
HA
GFP
DAPI
B
Staining control A
-HSE
HA
GFP
DAPI
Staining VCAN
GFP
DAPI
B
Day 2 VCAN
GFP
DAPI
VCAN
GFP
DAPI
B
Day 2
Day 14 B A VCAN
GFP
DAPI
Day 14 0
5
10
15
H2030
BrM3
PC9
BrM3
HUVEC HPF
D
HA (ng/ml/1e4 cells) D HA
EMCN
GFP
DAPI
Day 14 HA
EMCN
GFP
DAPI
HA
EMCN
GFP
DAPI
C
Day 2
Day 14 HA
EMCN
GFP
DAPI
C
Day 2 C HA
COLIV
GFP
DAPI
G F
+HSE
HA
GFP
DAPI
Staining control F
+HSE
HA
GFP
DAPI
E
Par
Par
BrM3
BrM3
H2030
PC9
HUVEC
HPF
Relative VCAN mRNA
Staining control
0
0.5
1.0
1.5
2.0
20
30
40
50 F
+HSE
HA
GFP
DAPI
E
Par
Par
BrM3
BrM3
H2030
PC9
HUVEC
HPF
Relative VCAN mRNA
HA
COLIV
GFP
DAPI
G
Staining control
0
0.5
1.0
1.5
2.0
20
30
40
50 E
Par
Par
BrM3
BrM3
H2030
PC9
HUVEC
HPF
Relative VCAN mRNA
0
0.5
1.0
1.5
2.0
20
30
40
50 G F E I
0
500
1000
1500
2000
H2030 BM3
C8S
HA (ng/ml)
H2030
BrM3
mAstrocytes Mean GFAP Intensity
Mean HA Intensity
80
60
40
20
R=0.682
p=<0.0001
0
0
80
60
40
20
H I I H Supplementary Figure S6 (A) The specificity of HA staining via a fluorescent HA-binding protein (HABP) was
confirmed by pre-treating lung tissue sections from Fig. 6A with control (-HSE) or
recombinant hyaluronidase (+HSE) prior to staining. (B) Lung tissue was collected as in
Fig. 6A. GFP-positive tumor cells (green) and VCAN (red). Arrows point to areas of
stromal VCAN. (C) Lung tissue was collected as in Fig 6A. GFP-positive tumor cells
(green) with HA (red), endomucin (white), and DAPI (blue). Arrows indicate endomucin-
positive cells that do not overlap with HA. (D) HA in conditioned media of tumor cells,
HUVECs, and HPFs was measured by ELISA. (E) VCAN mRNA expression was
measured via qRT-PCR in the indicated cell lines. (F) Brain tissue section from Fig. 6C
treated with HSE to confirm specificity of HA staining in brain metastasis. (G) Brain
tissue was collected as in Fig. 6E. Arrows point to COLIV-positive cells that do not
express HA (red). COLIV-positive endothelial cells (white); GFP-positive tumor cells
(green); DAPI (blue). All scale bars are 50µm. (H) Correlation between mean intensity of
GFAP and peri-tumoral HA staining at 15 days in lesions that stained positively for both
HA and GFAP (n=3mice). (I) Secreted HA in conditioned media of tumor cells and
murine astrocytes as measured by ELISA. Supplementary Figure S6 0
2
4
6
8
10
shCon
shHMMRa shHMMRb
Relative Growth
A
C
Organoid outgrowth
10% FBS
0.2% FBS
0
1
2
3
4
5
6
7
shCon
shHMMRa
-DOX
+DOX
p=0.001
0
20
40
60
80
100
120
vehicle
HSE
D
HA (ng/ml)
0
5
10
15
20
25
30
shCon
shHMMRa
+Astrocytes
%Ki67+/GFP+
cells/section
H
p=0.45
TRU (n=159)
PP (n=152)
PI (n=131)
DCC cohort:
AVG Log2 expression
Basement membrane
0.2
0.1
-0.1
0
B
p=8.78E-6
p=7.16E-9
p=1.68E-18
FBS
0 15 30 60
pERK
tERK
+DOX
G
180 240 0 15 30 60 180 240
-DOX
shHMMRa
GAPDH
0
2
4
6
8
10
12
shHMMRb
E
+Astrocytes
-DOX
+DOX
Organoid outgrowth
p=0.04
PC9 BrM3 +Astrocytes
F
Organoid outgrowth
0
0.2
0.4
0.6
0.8
1
1.2
shCon
shHMMRa
p=1.28E-6 0
2
4
6
8
10
shCon
shHMMRa shHMMRb
Relative Growth
A
C
Organoid outgrowth
10% FBS
0.2% FBS
0
1
2
3
4
5
6
7
shCon
-DO
TRU (n=159)
PP (n=152)
PI (n=131)
DCC cohort:
AVG Log2 expression
Basement membrane
0.2
0.1
-0.1
0
B
p=8.78E-6
p=7.16E-9
p=1.68E-18 C
Organoid outgrowth
0
1
2
3
4
5
6
7
shCon
shHMMRa
-DOX
+DOX
p=0.001
2) B C A 0
20
40
60
80
100
120
vehicle
HSE
D
HA (ng/ml)
E 0
2
4
6
8
10
12
shHMMRb
E
+Astrocytes
-DOX
+DOX
Organoid outgrowth
p=0.04 0
20
40
60
80
100
120
vehicle
HSE
D
HA (ng/ml)
0
2
4
6
8
10
12
shHMMRb
E
+Astrocytes
-DOX
+DOX
Organoid outgrowth
p=0.04
F
O
id
h 0
20
40
60
80
100
120
vehicle
HSE
D
HA (ng/ml)
0
2
4
6
8
10
12
shHMMRb
E
+Astrocytes
-DOX
+DOX
Organoid outgrowth
p=0.04
PC9 BrM3 +Astrocytes
F
Organoid outgrowth
0
0.2
0.4
0.6
0.8
1
1.2
shCon
shHMMRa
p=1.28E-6 PC9 BrM3 +Astrocytes
F
Organoid outgrowth
0
0.2
0.4
0.6
0.8
1
1.2
shCon
shHMMRa
p=1.28E-6 E F D D 0
5
10
15
20
25
30
shCon
shHMMRa
+Astrocytes
%Ki67+/GFP+
cells/section
H
p=0.45 FBS
0 15 30 60
pERK
tERK
+DOX
G
180 240 0 15 30 60 180 240
-DOX
shHMMRa
GAPDH H G Supplementary Figure S7 (A) H2030-BrM3 cells with the indicated shRNAs were cultured as monolayers in 10%
or 0.2% fetal bovine serum (FBS) medium containing DOX. Cell viability was measured
by Alamar blue and normalized to day 0. (B) Mean normalized log2 expression values of
genes encoding BM components were plotted across the TRU, PP, and PI subtypes. Tumors are from the DCC cohort. p-values calculated by Student’s t-test. (C) The same
experiment as shown in Fig. 7B, but including samples that were mock-treated
compared to DOX-treated samples. This demonstrates that DOX does not have off
target effects in this assay. (D) To validate degradation of HA in HSE-treated samples,
secreted HA was measured by ELISA following treatment of H2030-BrM3 cells with
mock or HSE for 6 hours in culture. (E) H2030-BrM3 organoids expressing an
independent shRNA (b) against HMMR were co-cultured with astrocytes in the presence
or absence of DOX and outgrowth was measured as in Fig. 7D. (F) Outgrowth of PC9-
BrM3 cells with the indicated shRNAs co-cultured and quantified as in (E) in the
presence of DOX. Plotted are pooled data from biological replicates (n=3). (G) H2030-
BrM3 cells stably expressing shHMMRa were cultured in monolayers in the absence or
presence of DOX. Cells were serum starved overnight and FBS was added for the
indicated time (minutes) and harvested for Western blot. (H) H2030-BrM3 cells with the
indicated shRNAs were cultured as in Fig. 7C. Organoids were harvested at day 7,
sectioned and stained for GFP, Ki67, and DAPI. The percent Ki67-positive/GFP-positive
proliferating tumor cells were quantified. Tumor cell proliferation was not significantly
altered. Supplementary Figure S7 Fig2C
BrM3
Parental
H2030
HMMR
Tubulin
75
100
150
250
50
Fig2G
75
100
150
250
Con
miR-34a
H2030
BrM3
PC9
BrM3
37
25
Con
miR-34a
75
100
150
250
37
25
HMMR
HMMR
GAPDH
GAPDH
Fig2H
Tubulin
50
37
HMMR
75
100
150
250
Tubulin
50
37
HMMR
75
100
150
250
H1650
Con
miR-34a
H358
Con
miR-34a
FigS2A
50
HMMR
75
100
150
250
Tubulin
H2030
PC9
HCC-827
HCC-4006
H2347
H358
H441
H1975
H1650
H1693
H1573
H23
H1792
HUVEC
HPF
HMEC-L
H2030
PC9
50
37
25
GAPDH
75
100
150
250
HMMR
Con
miR-34a (100nM)
miR-34a (40nM)
FigS2G
Fig3A
50
37
25
75
100
150
250
HMMR
Tubulin
DOX
+
+
+
shCon
shHMMRa
shHMMRb
50
37
75
100
150
250
Hmmr
Tubulin
DOX
+
+
shCon
shHmmr
FigS3E Fig2C
BrM3
Parental
H2030
HMMR
Tubulin
75
100
150
250
50
Fig2G
75
100
150
250
Con
miR-34a
H2030
BrM3
PC9
BrM3
37
25
Con
miR-34a
75
100
150
250
37
25
HMMR
HMMR
GAPDH
GAPDH
Fig2H
Tubulin
50
37
HMMR
75
100
150
250
Tubulin
50
37
HMMR
75
100
150
250
H1650
Con
miR-34a
H358
Con
miR-34a BrM3
Pare
HMMR
Tubulin
75
100
150
250
50
75
100
150
250
Con
miR-34a
37
25
Con
miR-34
75
100
150
250
37
25
HMMR
HMMR
GAPDH
GAPDH
Tubulin
50
37
HMMR
75
100
150
250
Tubulin
50
37
HMMR
75
100
150
250
Con
miR-34
Con
miR-34
FigS2A
50
HMMR
75
100
150
250
Tubulin
H2030
PC9
HCC-827
HCC-4006
H2347
H358
H441
H1975
H1650
H1693
H1573
H23
H1792
HUVEC
HPF
HMEC-L
H2030
PC9
50
37
25
GAPDH
75
100
150
250
HMMR
Con
miR-34a (100nM)
miR-34a (40nM)
FigS2G
Fig3A
50
37
25
20
75
100
150
250
HMMR
Tubulin
DOX
+
+
+
shCon
shHMMRa
shHMMRb
50
37
75
100
150
250
Hmmr
Tubulin
DOX
+
+
shCon
shHmmr
FigS3E HMMR Tubulin
50
75
37
25
75
37
25
H
H
GAPDH
GAPDH
Tubulin
50
37
75
Tubulin
50
37
75
FigS2A
50
HMMR
75
100
150
250
Tubulin
H2030
PC9
HCC-827
HCC-4006
H2347
H358
H441
H1975
H1650
H1693
H1573
H23
H1792
HUVEC
HPF
HMEC-L
H2030
PC9
M)
M)
FigS2G
Fig3A
a
b
FigS3E Tubulin FigS2A
50
HMMR
75
100
150
250
Tubulin
H2030
PC9
HCC-827
HCC-4006
H2347
H358
H441
H1975
H1650
H1693
H1573
H23
H1792
HUVEC
HPF
HMEC-L
H2030
PC9
50
37
25
GAPDH
75
100
150
250
HMMR
Con
miR-34a (100nM)
miR-34a (40nM)
FigS2G
Fig3A
50
37
25
20
75
100
150
250
HMMR
Tubulin
DOX
+
+
+
shCon
shHMMRa
shHMMRb
50
37
75
100
150
250
Hmmr
Tubulin
DOX
+
+
shCon
shHmmr
FigS3E FigS2A
50
HMMR
75
100
150
250
Tubulin
H2030
PC9
HCC-827
HCC-4006
H2347
H358
H441
H1975
H1650
H1693
H1573
H23
H1792
HUVEC
HPF
HMEC-L
H2030
PC9
(100nM)
(40nM)
FigS2G
Fig3A
Con
HMMRa
HMMRb
Con
Hmmr
FigS3E H1792 H23 50
37
25
GAPDH
75
100
150
250
HMMR
Con
miR-34a (100nM)
miR-34a (40nM)
FigS2G
Fig3A
50
37
25
20
75
100
150
250
HMMR
Tubulin
DOX
+
+
+
shCon
shHMMRa
shHMMRb
50
37
75
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Tubulin
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FigS3E Tubulin Tubulin FigS4B
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Tubulin
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Supplementary Figure S8
All uncropped western blots are provided for their corresponding figures. Supplementary Figure S7 FigS4B
DOX
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Tubulin
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English
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MicroRNA response to hypoxic stress in soft tissue sarcoma cells: microRNA mediated regulation of HIF3α
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BMC cancer
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RESEARCH ARTICLE Open Access Gits et al. BMC Cancer 2014, 14:429
http://www.biomedcentral.com/1471-2407/14/429 * Correspondence: e.wiemer@erasmusmc.nl
1Department of Medical Oncology, Erasmus University Medical Center –
Erasmus MC Cancer Institute, Rotterdam, the Netherlands
3Department of Medical Oncology, Erasmus MC Cancer Institute, Erasmus
University Medical Center, Rm Be422, Wytemaweg 80, 3015 CN Rotterdam,
the Netherlands
Full list of author information is available at the end of the article MicroRNA response to hypoxic stress in soft
tissue sarcoma cells: microRNA mediated
regulation of HIF3α Caroline MM Gits1, Patricia F van Kuijk1, Jonneke CWM de Rijck1, Nikky Muskens1, Moniek BE Jonkers1,
Wilfred F van IJcken2, Ron HJ Mathijssen1, Jaap Verweij1, Stefan Sleijfer1 and Erik AC Wiemer1,3* Abstract Background: Hypoxia is often encountered in solid tumors and known to contribute to aggressive tumor behavior,
radiation- and chemotherapy resistance resulting in a poor prognosis for the cancer patient. MicroRNAs (miRNAs)
play a role in the regulation of the tumor cell response to hypoxia, however, not much is known about the
involvement of miRNAs in hypoxic signalling pathways in soft tissue sarcomas (STS). Method: A panel of twelve STS cell lines was exposed to atmospheric oxygen concentrations (normoxia) or 1%
oxygen (hypoxia) for up to 48 h. Hypoxic conditions were verified and miRNA expression profiles were assessed by
LNA™oligonucleotide microarrays and RT-PCR after 24 h. The expression of target genes regulated by hypoxia
responsive miRNAs is examined by end-point PCR and validated by luciferase reporter constructs. Results: Exposure of STS cell lines to hypoxic conditions gave rise to upregulation of Hypoxia Inducible Factor
(HIF) 1α protein levels and increased mRNA expression of HIF1 target genes CA9 and VEGFA. Deregulation of
miRNA expression after 24 h of hypoxia was observed. The most differentially expressed miRNAs (p < 0.001) in
response to hypoxia were miR-185-3p, miR-485-5p, miR-216a-5p (upregulated) and miR-625-5p (downregulated). The well-known hypoxia responsive miR-210-3p could not be reliably detected by the microarray platform most
likely for technical reasons, however, its upregulation upon hypoxic stress was apparent by qPCR. Target prediction
algorithms identified 11 potential binding sites for miR-485-5p and a single putative miR-210-3p binding site in the
3’UTR of HIF3α, the least studied member of the HIF family. We showed that HIF3α transcripts, expressing a 3’UTR
containing the miR-485-5p and miR-210-3p target sites, are expressed in all sarcoma cell lines and upregulated
upon hypoxia. Additionally, luciferase reporter constructs containing the 3’UTR of HIF3α were used to demonstrate
regulation of HIF3α by miR-210-3p and miR-485-5p. Conclusion: Here we provide evidence for the miRNA mediated regulation of HIF3α by hypoxia responsive miRNAs
in STS, which may help to tightly regulate and fine-tune the hypoxic response. This provides a better insight into
the mechanisms underlying the hypoxic response in STS and may ultimately yield information on novel prognostic
and predictive markers or targets for treatment. Keywords: miRNA, Hypoxia, HIF3α, Soft tissue sarcomas, miR-210-3p, miR-485-5p © 2014 Gits et al.; licensee BioMed Central Ltd. Abstract This is an Open Access article distributed under the terms of the Creative
Commons Attribution License (http://creativecommons.org/licenses/by/2.0), which permits unrestricted use, distribution, and
reproduction in any medium, provided the original work is properly credited. The Creative Commons Public Domain
Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article,
unless otherwise stated. Gits et al. BMC Cancer 2014, 14:429
http://www.biomedcentral.com/1471-2407/14/429 Gits et al. BMC Cancer 2014, 14:429
http://www.biomedcentral.com/1471-2407/14/429 Gits et al. BMC Cancer 2014, 14:429
http://www.biomedcentral.com/1471-2407/14/429 Page 2 of 13 Cell culture A panel of 12 soft tissue sarcoma cell lines was used,
consisting of the fibrosarcoma cell lines HT1080, SW684
and BG-8, the liposarcoma cell line SW872, the leiomyo-
sarcoma cell lines SK-UT-1 and SK-LMS-1, the synovial
sarcoma cell line SW982 and the rhabdomyosarcoma
cell lines RH30, A204, A673, RD and SJCRH30. Note
that the A673 (ATCC®CRL-1598) cell line is now listed
on the ATCC website as Ewing sarcoma. The myxoid
fibrosarcoma cell line BG-8 was a kind gift from Dr. A. Carnero (Centro Nacional de Investigaciones Oncológicas,
Madrid, Spain); HT1080, SK-UT-1, RD and RH-30 were
acquired from Dr. M. Debiec-Rychter (KU Leuven, Leu-
ven, Belgium) and SJCRH30 was obtained from Dr. L. Alberti (Université de Lyon, Centre Léon Bérard, Lyon,
France). All further cell lines were obtained from the
ATCC, Rockville, MD, USA. The cell lines were cultured
in RPMI 1640/GlutaMAX (Invitrogen, Bleiswijk, The
Netherlands) supplemented with 10% fetal bovine serum,
at 37°C, 5% CO2. Tumor hypoxia and the accompanying biochemical
and cellular changes in the tumor cells contribute to ag-
gressive tumor behavior, and radiation- and chemother-
apy resistance in many tumor types, including STS
[12,13]. STS is a group of relatively rare tumors of mes-
enchymal origin in which currently more than 50 differ-
ent histological subtypes are recognized. STS have been
reported to present with hypoxic areas resulting in in-
creased tumor proliferation, distant metastases and
shorter overall disease survival [14,15]. Given the poor
prognosis STS patients face with, a median overall sur-
vival of only 1 year for patients presenting with meta-
static disease, more insight is needed into the effects of
hypoxia in STS and how hypoxia is regulated in STS. Background oncomiR, having either a tumor suppressive or an onco-
genic role [17-20]. MiRNA expression can be influenced
by changes in the tumor microenvironment [21,22] in-
cluding conditions like tumor hypoxia [23-26]. The
miRNA response to hypoxia, which is often cell-type
specific, suggests miRNAs are intimately involved in the
cellular reaction to hypoxia [23,24,26] and some are in
turn involved in feedback mechanisms that regulate HIF
[27-32]. Interestingly, many hypoxia responsive miRNAs
(HRMs) are also upregulated in cancer suggesting they
also function in tumorigenesis and/or tumor progression
[26]. As opposed to the role of HRMs in the major can-
cer types relatively little is known about the role of hyp-
oxic miRNAs in STS. In this study, we describe the
miRNA response to hypoxic stress in sarcoma cell lines
revealing the involvement of miRNAs in the hypoxic
signalling in STS. Hypoxia is a condition of reduced oxygen tension that is
often encountered in solid tumors including soft tissue
sarcomas (STS) when they outgrow their blood supply. The tumor cells respond to the hypoxic conditions by
inducing genes that regulate various biological processes
including cellular proliferation, apoptosis, metabolism,
angiogenesis and migration [1]. A key element in the re-
sponse to hypoxia is the upregulation of HIF1, a member
of the family of hypoxia inducible factors (HIFs) also
comprising HIF2 and HIF3 [2]. These transcription fac-
tors consist of a tightly controlled alpha (HIFα), and a
constitutively activated beta subunit (HIFβ or ARNT
family). Upon hypoxia, the alpha subunit is stabilized,
translocated to the nucleus, where it dimerizes to the
beta subunit. The HIF complex binds to hypoxia respon-
sive elements (HREs) in gene promoters, thereby in-
ducing the transcription of genes important for the
adaption to low oxygen concentrations. HIF1α and
HIF2α have similar protein domain structures, are regu-
lated in a similar fashion and share several target genes
[3], although their expression patterns differ in some tis-
sues and some unique target genes have been identified
[4]. The function(s) of HIF3α and the way it is regulated
are still largely unknown. Complicating the study of
HIF3α is the fact that alternative splice variants are rec-
ognized coding for at least six isoforms, with structural
and functional differences [5-7]. HIF3α is regulated by
HIF1 at the transcriptional level and exerts an inhibitory
effect on HIF1α or HIF-dependent gene regulation, in a
cell-type specific manner [5-11]. cDNA-synthesis Total RNA was isolated using RNAbee (Tel Test Inc.,
Friendswood, TX, USA) according to the manufacturer’s
recommendation. The RNA concentration and quality
were determined on a Nanodrop-1000 (Nanodrop Tech-
nologies, Wilmington, DE, USA). cDNA synthesis
RNA (1 μg) was reversed transcribed using the High
Capacity cDNA Reverse Transcription Kit (Applied Bio-
systems) according to the manufacturer’s protocol. The
resulting cDNA was used to perform qPCR and end-
point PCR analysis. qPCR analysis of miRNA qPCR analysis of miRNA
MiR-210-3p expression was examined using TaqManW
MicroRNA Assays (Applied Biosystems, Nieuwerkerk
aan den IJssel, The Netherlands). In brief, total RNA
(50 ng) was reverse transcribed using specific miRNA
primers and the TaqManW MicroRNA Reverse Tran-
scription Kit (Applied Biosystems). The resulting cDNA
was used as input in a quantitative real-time PCR
(qPCR) using the miRNA specific primer/probe mix to-
gether with the TaqManW Universal PCR Master Mix
No AmpErase® UNG (Applied Biosystems) according to
manufacturer’s protocol. qPCR data were analyzed with Hypoxic experiments
h
ll l The 12 cell lines comprising the soft tissue sarcoma
panel were cultured under standard conditions and
seeded in 6 well culture plates or 9 cm cell culture
dishes (miRNA profiling experiment) in duplicate at
such a cell density that 50% confluency was reached
after 48 h. Subsequently half of the culture plates was
kept under standard, normoxic (21% O2) culture condi-
tions whereas the other half was transferred to a hypoxic
incubator and cultured at 37°C, 5% CO2, 1% O2 for 6 h
to 48 h as indicated. After the appropriate normoxic/
hypoxic incubation period cells were rapidly washed
with ice-cold PBS after which total RNA was isolated MicroRNAs (miRNAs) are small (~23 nt) non-protein
coding RNA molecules that negatively regulate gene ex-
pression. MiRNAs play essential roles in a wide variety
of cellular processes, such as differentiation, cell cycle
regulation, metabolism, apoptosis and stem cell main-
tenance and are associated with various diseases includ-
ing cancer [16]. Most cancers display a deregulated
miRNA expression profile when compared to relevant
normal tissues. Some miRNAs may function as an Gits et al. BMC Cancer 2014, 14:429
http://www.biomedcentral.com/1471-2407/14/429 Page 3 of 13 Gits et al. BMC Cancer 2014, 14:429
http://www.biomedcentral.com/1471-2407/14/429 Gits et al. BMC Cancer 2014, 14:429
http://www.biomedcentral.com/1471-2407/14/429 (three separate wells/9 cm dish) and total protein lysates
(three separate wells) were prepared. (three separate wells/9 cm dish) and total protein lysates
(three separate wells) were prepared. SDS software (version 2.4, Applied Biosystems). MiRNA
expression was normalized using RNU43 expression and
the comparative CT-method [34]. End-point PCR analysis cDNA (50 ng) was used to perform endpoint PCR using
1 × Green Go Taq Flexi Buffer, 1.25U Go Taq Flexi poly-
merase, 200 μM dNTP mix, 1.5 mM MgCl2 and 300 nM
forward and reverse primer of HIF3α (Additional file 1:
Table S1a) on a thermal cycler using the following PCR-
program: 2 min 95°C, 30-40 cycles of (45 sec 95°C,
45 sec 60-65°C, 45 sec 72°C), 5 min 72°C. PCR-products
were analyzed on a 1.5% agarose gel in 0.5 × TBE buffer
with 0.5 μg/ml ethidium bromide. qPCR analysis of mRNAs MiRNA profiling was performed essentially as previously
described [33]. In brief, 1 μg total RNA was fluorescently
labeled with Cy3 using the ULS™aRNA Labeling Kit
(Kreatech Diagnostics, Amsterdam, The Netherlands). Labeled RNA was hybridized with locked nucleic acid
(LNA™) modified oligonucleotide capture probes (Exi-
qon) spotted in duplicate on Nexterion E slides. The
capture probe set (based on miRBase version 10, annota-
tion version 13) contains 1344 probes of which 725 are
capable of detecting human miRNAs. Hybridized slides
were scanned and median spot intensity was determined
using ImaGene software (BioDiscovery Inc., Hawthorne,
CA, USA). After background subtraction, expression
values
were
quantile
normalized
using
R
software
(http://cran.r-project.org;
version
2.15.2,
release
oct. 2012), low expressed miRNAs and obvious outliers/bad
spots were removed, and duplicate spots were averaged. Outliers/bad spots were identified by determining the
average expression value of each miRNA and examining
whether duplicate spots differ from the average (>2 ×
greater or >5 × smaller). Flagged spots were checked by
eye to determine why the signal is aberrant e.g. a speck
of dust or printing error. Only in case of an apparent
technical error, noted in less than 1% of the spots, a spot
was discarded. For each expression value, the ratio to the
geometric mean of the samples was log2 transformed. These values were used to determine differentially
expressed miRNAs. Hierarchical clustering analyses were
performed in Spotfire (Spotfire DecisionSite 9.1, Tibco
Software, Somerville, MA. USA). cDNA (45 ng) was used to perform qPCR using the pri-
mer/probe mix from the TaqManW Gene Expression As-
says of human VEGFA (assay ID Hs00900055_m1) and
CA9 (assay ID Hs00154208_m1) with exon spanning
probes, and TaqManW Universal PCR Master Mix using
the 7500 Fast Real-Time PCR system (all Applied Bio-
systems)
according
to
the
manufacturer’s
protocol. HPRT was used as a housekeeper gene for normalization
purposes using the comparative CT-method. qPCR data
was analyzed with SDS software (Applied Biosystems). Protein extraction
C ll
h Cells were harvested in MCB lysis buffer (50 mM Tris–
HCl pH 7.5, 50 mM NaCl, 10% glycerol, 1% NP-40, 0.5%
Na-deoxycholate, 20 mM NaF) supplemented with a
cocktail of protease and phosphatase inhibitors. Lysates
were thoroughly vortexed and further lysed by two sub-
sequent freeze-thaw cycles using liquid nitrogen. Cell
debris was spun down and protein concentration was
determined by a Bradford assay (BioRad, Veenendaal,
The Netherlands). Western blotting To determine whether the putative promoter regions of
miR-216a-5p, miR-185-3p and miR-625-5p contain hyp-
oxia responsive elements (HRE) we downloaded 600 bp
of 5’ flanking sequences for each of the three miRNA
genes from the Ensembl Genome Browser release 72
(http://www.ensembl.org). We scanned the flanking se-
quences for the presence of consensus HREs (A/GCGTG)
and imperfect HREs. Mimic transfections MiRIDIAN microRNA mimics (Thermo Scientific, Etten-
Leur, Netherlands) of hsa-miR-210-3p and hsa-miR-485-
5p and miRIDIAN microRNA Mimic Negative Control
#1 (Thermo Scientific) were transfected in a final concen-
tration of 50 nM using DharmaFECT1 transfection
reagent (Thermo Scientific) 24 h after cell seeding. Transfection efficiency was optimized to >95% using
fluorescent mimics. Western blotting Twenty μg of total protein was subjected to SDS-PAGE. Proteins were transferred to a PVDF membrane followed
by blocking of the membrane in 5% non-fat dry milk in
PBS-Tween (Phosphate buffered saline, 0.05% (v/v) Tween
20) to prevent non-specific antibody binding. Primary and
secondary antibody incubations were carried out in the
same buffer using anti-HIF1α (610958, mouse monoclo-
nal, 1:500, BD Biosciences, Breda, The Netherlands), anti- Gits et al. BMC Cancer 2014, 14:429
http://www.biomedcentral.com/1471-2407/14/429 Page 4 of 13 Gits et al. BMC Cancer 2014, 14:429
http://www.biomedcentral.com/1471-2407/14/429 HIF3α (ab10134, rabbit polyclonal, 1:500, Abcam, Cam-
bridge, UK) and anti-β-Actin (AC-15, mouse monoclonal,
1:5000, Sigma-Aldrich, Zwijndrecht, The Netherlands)
as a loading control. As secondary antibody HRP-
conjugated goat-anti-mouse (1:10000, Santa Cruz Bio-
technology, Heidelberg, Germany) or goat-anti-rabbit
(1:10000, Jackson Immunoresearch, Suffolk, UK) anti-
bodies were used. Antibody incubations were followed
by enhanced chemoluminescence (Supersignal West
Pico Chemiluminescent Substrate, Thermo Scientific)
and visualized on film (Amersham Hyperfilm ECL, GE
Healthcare, Diegem, Belgium). Reporter Assay System, Promega) was added, immedi-
ately followed by quantitation of the firefly luciferase
activity on a luminometer (Aspekt Fluoroskan). Subse-
quently, Stop & GloW Reagent (Dual LuciferaseW Reporter
Assay System, Promega) was added to the mixture, imme-
diately followed by quantitation of the Renilla luciferase
activity. Relative luciferase signals of duplicates were aver-
aged, values (n = 3) were normalized, and average and
standard deviations were calculated. Significant differ-
ences in luciferase activity were determined by two-
sample t-tests. HIF3α (ab10134, rabbit polyclonal, 1:500, Abcam, Cam-
bridge, UK) and anti-β-Actin (AC-15, mouse monoclonal,
1:5000, Sigma-Aldrich, Zwijndrecht, The Netherlands)
as a loading control. As secondary antibody HRP-
conjugated goat-anti-mouse (1:10000, Santa Cruz Bio-
technology, Heidelberg, Germany) or goat-anti-rabbit
(1:10000, Jackson Immunoresearch, Suffolk, UK) anti-
bodies were used. Antibody incubations were followed
by enhanced chemoluminescence (Supersignal West
Pico Chemiluminescent Substrate, Thermo Scientific)
and visualized on film (Amersham Hyperfilm ECL, GE
Healthcare, Diegem, Belgium). Reporter Assay System, Promega) was added, immedi-
ately followed by quantitation of the firefly luciferase
activity on a luminometer (Aspekt Fluoroskan). Subse-
quently, Stop & GloW Reagent (Dual LuciferaseW Reporter
Assay System, Promega) was added to the mixture, imme-
diately followed by quantitation of the Renilla luciferase
activity. Relative luciferase signals of duplicates were aver-
aged, values (n = 3) were normalized, and average and
standard deviations were calculated. Significant differ-
ences in luciferase activity were determined by two-
sample t-tests. Cloning Hypoxia responsive miRNAs in soft tissue sarcoma cells
In order to examine the miRNA response to hypoxia in
sarcomas, a panel of 12 soft tissue sarcoma cell lines was
cultured for 0 h, 6 h, 24 h and 48 h under hypoxic (1%
oxygen) or normoxic (21% oxygen) conditions. Exposure
to hypoxic conditions was verified by the upregulation
of HIF1α protein levels, which is one of the earliest
markers of hypoxia. HIF1α protein, being degraded
under normoxic conditions, is stabilized during hypoxia. As expected, HIF1α protein levels were significantly in-
creased upon hypoxic stress (Figure 1A). In all 12 cell
lines examined peak HIF1α levels were observed at the
6 h time point which decreased after 24 h and 48 h
of hypoxia as shown for 5 representative cell lines
(Figure 1A). As a consequence of HIF1α upregulation,
the transcription of specific HIF1 target genes like CA9
and VEGFA was slightly induced after 6 h and further
increased after 24-48 h of hypoxia, as shown for 5 repre-
sentative cell lines (Figure 1B, C). Note that in particular
the increase in CA9 varies considerably between cell
lines. The carbonic anhydrase CA9 is a member of a
zinc metalloenzyme family that catalyses the reversible
hydration of carbon dioxide to carbonic acid [35,36]. CA9 is a transmembrane protein which is found overex-
pressed in numerous tumor types and induced under
hypoxic conditions. Similarly HIF1α stimulates the ex-
pression
of
the
vascular
endothelial
growth
factor
(VEGFA) which functions as an signal mediating vascu-
logenesis and angiogenesis [37]. Fragments of the 3’UTR of HIF3α (HIF3α-short: 817 bp
fragment, HIF3α-long: 3807 bp fragment) were PCR
amplified from human genomic DNA (Promega, Leiden,
The Netherlands) introducing a XhoI (5’-end) and a
NotI site (3’-end). The PCR products were cloned in
PCR®-Blunt (Invitrogen), followed by a XhoI and NotI
restriction and ligation in the psiCHECK™-2 vector (Pro-
mega) behind a Renilla luciferase gene. The psiCHECK-
2 vector also contains a firefly luciferase gene, which was
used for normalization. The resulting constructs are psi-
CHECK2/HIF3α-short and psiCHECK2/HIF3α-long. Site
directed mutagenesis (QuickChange II XL, site directed
mutagenesis kit, Agilent Technologies, Amsterdam, The
Netherlands) was performed to mutate miR-210-3p and
miR-485-5p target sites in the 3’UTR of HIF3α in psi-
CHECK2/HIF3α-short (Additional file 1: Figure S1). Pri-
mer sequences used for cloning and mutagenesis are
listed in Additional file 1: Table S1b and S1c. Luciferase assay PsiCHECK-2/HIF3α-short and psiCHECK2/HIF3α-long
constructs were transfected using Fugene HD transfec-
tion reagent (Promega) 24 h after cell seeding, or when
mimics were used, 24 h after miRNA mimic transfec-
tion, according to recommendations by the manufac-
turer. After 24 hours the cells were washed with PBS
and lysed by Passive Lysis Buffer (Dual LuciferaseW Re-
porter Assay System, Promega) for 30 min on a shaker
platform. Lysates were transferred to white 96-wells mi-
croplates. Luciferase Assay Reagent II (Dual LuciferaseW Next, the miRNA expression profile was analyzed using
microarrays containing LNA™oligonucleotide capture Gits et al. BMC Cancer 2014, 14:429
http://www.biomedcentral.com/1471-2407/14/429 Page 5 of 13 Page 5 of 13 Figure 1 Hypoxia induces HIF1α protein levels and CA9 and VEGFA transcription in soft tissue sarcoma cell lines. (A) HIF1α protein
levels are stabilized and increase during hypoxia. Cell lines were cultured under hypoxia (H) or normoxia (N), after the indicated times cell lysates
were prepared and analysed by Western blotting for HIF1α expression. HIF1α levels peak at 6 hours of hypoxia. Upon prolonged hypoxia (24 and
48 hours) HIF1α protein levels decrease, but remain increased compared to the HIF1α levels detected in cells cultured under normoxic
conditions. β-Actin was used as a loading control. (B,C) mRNA levels of HIF1 target genes CA9 (B) and VEGFA (C) are upregulated during hypoxia
(grey bars) compared to normoxia (black bars). CA9 and VEGFA expression was determined by RT-PCR and normalized to the expression of HPRT. Bars indicate average fold change of mRNA expression ± S.D.(n = 2) compared to the levels detected at 0 h which are arbitrarily set at 1. Statistical
significance between CA9 and VEGF expression in normoxic and hypoxic samples at the various time points was determined by two-sample
t-tests: * = p < 0.05, ** = p < 0.005, *** = p < 0.0005. The complete panel of 12 soft tissue sarcoma cell lines was examined, the results obtained with
five representative cell lines are shown. Figure 1 Hypoxia induces HIF1α protein levels and CA9 and VEGFA transcription in soft tissue sarcoma cell lines. (A) HIF1α protein
levels are stabilized and increase during hypoxia Cell lines were cultured under hypoxia (H) or normoxia (N) after the indicated times cell lysates a induces HIF1α protein levels and CA9 and VEGFA transcription in soft tissue sarcoma cell lines. Luciferase assay (A) HIF1α protein Figure 1 Hypoxia induces HIF1α protein levels and CA9 and VEGFA transcription in soft tissue sarcoma cell line levels are stabilized and increase during hypoxia. Cell lines were cultured under hypoxia (H) or normoxia (N), after the indicated times cell lysates
were prepared and analysed by Western blotting for HIF1α expression. HIF1α levels peak at 6 hours of hypoxia. Upon prolonged hypoxia (24 and
48 hours) HIF1α protein levels decrease, but remain increased compared to the HIF1α levels detected in cells cultured under normoxic
conditions. β-Actin was used as a loading control. (B,C) mRNA levels of HIF1 target genes CA9 (B) and VEGFA (C) are upregulated during hypoxia
(grey bars) compared to normoxia (black bars). CA9 and VEGFA expression was determined by RT-PCR and normalized to the expression of HPRT. Bars indicate average fold change of mRNA expression ± S.D.(n = 2) compared to the levels detected at 0 h which are arbitrarily set at 1. Statistical
significance between CA9 and VEGF expression in normoxic and hypoxic samples at the various time points was determined by two-sample
t-tests: * = p < 0.05, ** = p < 0.005, *** = p < 0.0005. The complete panel of 12 soft tissue sarcoma cell lines was examined, the results obtained with
five representative cell lines are shown. were compared. Unsupervised hierarchical clustering
based on the miRNA expression profiles of 407 miRNAs
grouped the cell lines on cell type rather than on
exposure to hypoxia (Figure 2A), which implies that the probes
capable
of
detecting
725
human
miRNAs. Since HIF1 target genes were clearly induced after 24 h of
hypoxia, miRNA expression levels of cell lines that were
cultured for 24 h under normoxic or hypoxic conditions Gits et al. BMC Cancer 2014, 14:429
http://www.biomedcentral.com/1471-2407/14/429 Page 6 of 13 Gits et al. BMC Cancer 2014, 14:429 http://www.biomedcentral.com/1471-2407/14/429 Figure 2 (See legend on next page.) Figure 2 (See legend on next page.) Figure 2 (See legend on next page.) Figure 2 (See legend on next page.) Page 7 of 13 Gits et al. BMC Cancer 2014, 14:429
http://www.biomedcentral.com/1471-2407/14/429 (
g
p
p g )
Figure 2 Hypoxia induces changes in miRNA expression. (A) Unsupervised hierarchical clustering using miRNA expression data (407 miRNAs)
of hypoxic (H) and normoxic (N) cell line samples does not discriminate the hypoxic and normoxic samples. The hypoxic samples cluster together
with their normoxic counterparts. Luciferase assay (B) The most significant differentially expressed miRNAs (two-sample t-test, p < 0.05) between cell lines that
were cultured under normoxic and hypoxic conditions are used for a supervised hierarchical clustering. The expression of these 32 miRNAs
can distinguish hypoxic from normoxic sarcoma cell line samples. (C) The four most significant (P < 0.001) differentially expressed miRNAs
(miR-485-5p, miR-216a-5p, miR-185-3p and miR-625-5p) discriminate sarcoma cell lines that were cultured under normoxic conditions from those
cultured under hypoxic conditions in a supervised hierarchical clustering. (D) MiR-210-3p is upregulated during hypoxia. RT-PCR was used to
determine miR-210-3p levels in normoxic (black bars) and hypoxic (grey bars) samples from five representative sarcoma cell lines. Expression is
normalized against RNU43 expression. Bars indicate average expression fold change ± S.D. (n = 2) of miR-210-3p compared to the expression
at 0 h. Statistical significance between expression in normoxic and hypoxic samples at a time point were determined by two-sample t-tests:
* = p < 0.05, ** = p < 0.005, *** = p < 0.0005. The different cell lines are indicated by a color code that identifies their tumor of origin: with synovial
sarcoma (yellow); Ewing sarcoma (green); rhabdomyosarcoma (purple); leiomyosarcoma (blue); liposarcoma (orange) and fibrosarcoma (red). the Ensembl Genome Browser release 72 (http://www. ensembl.org) the HIF3α transcript variants 003 and 201
(consistent with HIF3α transcription variant 1, 2 and 3
according
to
GenBank
(http://www.ncbi.nlm.nih.gov/
genbank)) contain a long 3’UTR of 3811 bp which in-
cludes the potential miR-210-3p and miR-485-5p binding
sites. In order to determine whether these transcripts are
expressed in our sarcoma cell line panel we used an
adapted RT-PCR procedure involving an end-point PCR
and specific primers located in the 3’UTR (primer sites are
indicated in Figure 3B, primer sequences are listed in
Additional file 1: Table S1a). HIF3α transcripts containing
a long 3’UTR harboring the mentioned miRNA binding
sites could be detected in all cell lines and were upregu-
lated in time under hypoxic conditions (Figure 3D). changes in miRNA expression due to hypoxia are rela-
tively minor. One major cluster branch contains the
rhabdomyosarcoma cell lines and the synovial sarcoma
cell line, the other branch contains the other cell lines
(leiomyosarcoma,
liposarcoma
and
fibrosarcoma
cell
lines). MiR-485-5p and miR-210-3p target HIF3α MiR 485 5p and miR 210 3p target HIF3α
The effects of miR-210-3p and miR-485-5p overexpression
on HIF3α, protein levels were examined by immunoblot-
ting. The sarcoma cell lines SW872 (liposarcoma) and SK-
UT-1 (leiomyosarcoma) were transfected with mimics of
miR-210-3p, miR-485-5p or a scrambled negative con-
trol. 48 h post-transfection the cells were exposed to hyp-
oxia for 24 h to induce HIF3α. Figure 4A clearly shows
that overexpression of the miRNA mimics resulted in a
reduced induction of HIF3α when compared to the
HIF3α protein levels observed in cells transfected with a
scrambled control mimic (mneg). The detected HIF3α
protein has a relative molecular weight of approximately
70 kDa which is in line with the predicted molecular
weight of the HIF3α proteins encoded by the 003 or 201
HIF3α transcript variants. Luciferase assay Supervised hierarchical clustering using the 32 most
differentially expressed miRNAs (p < 0.05; Additional file
1: Table S2) between cell lines exposed to hypoxia or nor-
moxia clearly separated the hypoxic from the normoxic
samples (Figure 2B). Fifteen miRNAs were upregulated
during hypoxia, while 17 miRNAs were downregulated. The SJCRH30 rhabdomyosarcoma cell line cultures under
hypoxia was the only sample that misclustered, which in-
dicates that the hypoxia induced miRNA response in this
cell line was apparently weak. The top four differentially
expressed miRNAs (p < 0.001) consisted of miR-185-3p,
miR-485-5p, miR-216a-5p and miR-625-5p (Figure 2C;
Additional file 1: Table S2). Only miR-625-5p was down-
regulated in most hypoxic samples, whereas the other
three miRNAs were predominantly upregulated. MiR-
210-3p, a commonly found hypoxia responsive miRNA
(HRM), was not reliably detected on our microarray plat-
form. Therefore the miR-210-3p expression in normoxic
and hypoxic sarcoma cell line samples was separately de-
termined by qPCR, which revealed a significant upregula-
tion of miR-210-3p in all cell lines after 24 h of hypoxia
(Figure 2D). HIF3α transcripts are expressed and upregulated under
hypoxia in sarcoma cell lines Luciferase ac-
tivity in SW872 hypoxic lysates was reduced to 57% and
65% in the HIF3α-short and HIF3α-long transfectants,
respectively, when compared to the levels seen at nor-
moxic circumstances (Figure 4B, left panel). In the hyp-
oxic SK-UT-1 lysates the luciferase activity was decreased
to 79% and 67% in the HIF3α-short and HIF3α-long
transfectants, respectively (Figure 4B, right panel). These
results indicate that during 24 h hypoxia the 3’UTR
of HIF3α is targeted, most likely by hypoxia responsive
miRNAs, causing a reduction of the luciferase activity. (Figure 4C, left panel). Overexpression of miR-485-5p de-
creased luciferase activity to 52% in SK-UT-1 cells trans-
fected with psiCHECK2/HIF3α-short and further reduced
luciferase activity to 24% in the HIF3α-long transfectants
(Figure 4C, right panel). To prove whether the regulation of HIF3α is due to
direct binding of miR-210-3p and miR-485-5p to target
sites in the 3’UTR, the predicted binding sites were
mutated to prevent miRNA binding (Additional file 1:
Figure S1). Since the regulatory effect of the single miR-
485-5p site present in the HIF3α-short construct was
greater than the effect of the additional miR-485-5p
binding sites present in the HIF3α-long construct, only
the miR-485-5p target site in the HIF3α-short construct
was mutated. The presence of a mutated miR-210-3p
binding site significantly increased (SW872) or restored
(SK-UT-1) luciferase activity (Figure 4D). Mutation of
the miR-485-5p target site did not affect luciferase activ-
ity in SW872 cells and restored luciferase activity to
some extent in the SK-UT-1 cells. We conclude that
miR-210-3p directly regulates HIF3α whereas the regula-
tion observed with miR-485-5p is primarily due to an in-
direct effect. However, we cannot rule out that direct
regulation of HIF3α does occur mediated by one or
more of the additional miR-485-5p binding sites in the
HIF3α 3’UTR. To examine whether downregulation of HIF3α is medi-
ated by miR-210-3p and/or miR-485-5p we transfected
miRNA mimics for miR-210-3p and miR-485-5p in
SW872 and SK-UT-1 cells, after 24 h followed by the
transfection of the psiCHECK2/HIF3α 3’UTR luciferase
reporter constructs. Compared to the scrambled negative
control (mneg), miR-210-3p overexpression decreased the
luciferase activity to 36% and 41% in SW872 (Figure 4C,
left panel) and 37% and 43% in SK-UT-1 (Figure 4C, right
panel) in the HIF3α-short and HIF3α-long transfectants
respectively. MiR-485-5p
overexpression
reduced
the
luciferase activity to 61% in the HIF3α-short construct
in the SW872 cell line. HIF3α transcripts are expressed and upregulated under
hypoxia in sarcoma cell lines Figure 3 The 3’UTR of HIF3α contains putative miR-210-3p and miR-485-5p binding sites and is expressed in sarcoma cell lines. (A) Schematic representation of the 3’UTR of the HIF3α transcript variants 003 and 201 (http://www.ensembl.org, release 72). Depicted are
predicted target sites of miR-210-3p (open box) and miR-485-5p (black boxes). (B) Arrows indicate location of primers used to detect the presence
of HIF3α 3’UTR transcripts. A 212 bp and 313 bp amplification product indicate expression of the 3’UTR of HIF3α transcription variants 003 and
201. (C) Lines designate the HIF3α 3’UTR fragments (HIF3α-short, HIF3α-long) which were cloned into the psiCHECK-2 luciferase reporter to verify
regulation of HIF3α by miRNAs. (D) End-point RT-PCR was used to determine the presence of HIF3α 3’UTR transcripts and their induction upon
hypoxia. Depicted are EtBr stained PCR amplification fragments of 212 and 313 bp derived from HIF3α 3’UTR cDNA and an amplified 336 bp HPRT
fragment as input control. The results obtained with five representative cell lines are shown. Figure 3 The 3 UTR of HIF3α contains putative miR-210-3p and miR-485-5p binding sites and is expressed in sarcoma cell lines. (A) Schematic representation of the 3’UTR of the HIF3α transcript variants 003 and 201 (http://www.ensembl.org, release 72). Depicted are
predicted target sites of miR-210-3p (open box) and miR-485-5p (black boxes). (B) Arrows indicate location of primers used to detect the presence
of HIF3α 3’UTR transcripts. A 212 bp and 313 bp amplification product indicate expression of the 3’UTR of HIF3α transcription variants 003 and
201. (C) Lines designate the HIF3α 3’UTR fragments (HIF3α-short, HIF3α-long) which were cloned into the psiCHECK-2 luciferase reporter to verify
regulation of HIF3α by miRNAs. (D) End-point RT-PCR was used to determine the presence of HIF3α 3’UTR transcripts and their induction upon
hypoxia. Depicted are EtBr stained PCR amplification fragments of 212 and 313 bp derived from HIF3α 3’UTR cDNA and an amplified 336 bp HPRT
fragment as input control. The results obtained with five representative cell lines are shown. miR-485-5p. The SW872 an SK-UT-1 cell lines were
transfected with the psiCHECK2/HIF3α-short and psi-
CHECK2/HIF3α-long constructs. The next day the cells
were exposed to hypoxia for 24 h, after which the lucifer-
ase activity in cell lysates was determined. HIF3α transcripts are expressed and upregulated under
hypoxia in sarcoma cell lines When ten additional putative bind-
ing sites for miR-485-5p were introduced in the HIF3α-
long transfectant, the luciferase activity dropped to 45% HIF3α transcripts are expressed and upregulated under
hypoxia in sarcoma cell lines Candidate
target
genes
for
the
most
differentially
expressed miRNAs identified in the microarray analysis
were predicted using TargetScanHuman 6.2 (http://www. targetscan.org/) [38]. When we focused on genes known
to play a role in the hypoxic response it was noted that
miR-485-5p has as much as 11 potential binding sites in
the 3’UTR of HIF3α, the less studied member of the family
of hypoxia inducible factors. Also miR-210-3p has a single
putative binding site in this transcript (Figure 3A). Several
human HIF3α transcripts exist due to alternative splicing,
coding for different HIF3α isoforms [5-7]. According to To demonstrate that during hypoxia HIF3α is regulated
by hypoxia responsive miRNAs, a short (HIF3α-short,
817 bp) and a long (HIF3α-long, 3807 bp) fragment of
the HIF3α 3’UTR (variants 003/201) (Figure 3C) were
cloned in a psiCHECK2 luciferase reporter. The psi-
CHECK2/HIF3α-short construct encompassed the puta-
tive miR-210-3p binding site and the first miR-485-5p
binding
site. The
psiCHECK2/HIF3α-long
construct
included an additional 10 potential binding sites for Gits et al. BMC Cancer 2014, 14:429 Page 8 of 13 Gits et al. BMC Cancer 2014, 14:429
http://www.biomedcentral.com/1471-2407/14/429 http://www.biomedcentral.com/1471-2407/14/429 Figure 3 The 3’UTR of HIF3α contains putative miR-210-3p and miR-485-5p binding sites and is expressed in sarcoma cell lines. (A) Schematic representation of the 3’UTR of the HIF3α transcript variants 003 and 201 (http://www.ensembl.org, release 72). Depicted are
predicted target sites of miR-210-3p (open box) and miR-485-5p (black boxes). (B) Arrows indicate location of primers used to detect the presence
of HIF3α 3’UTR transcripts. A 212 bp and 313 bp amplification product indicate expression of the 3’UTR of HIF3α transcription variants 003 and
201. (C) Lines designate the HIF3α 3’UTR fragments (HIF3α-short, HIF3α-long) which were cloned into the psiCHECK-2 luciferase reporter to verify
regulation of HIF3α by miRNAs. (D) End-point RT-PCR was used to determine the presence of HIF3α 3’UTR transcripts and their induction upon
hypoxia. Depicted are EtBr stained PCR amplification fragments of 212 and 313 bp derived from HIF3α 3’UTR cDNA and an amplified 336 bp HPRT
fragment as input control. The results obtained with five representative cell lines are shown. Figure 3 The 3’UTR of HIF3α contains putative miR-210-3p and miR-485-5p binding sites and is expressed in sa UTR of HIF3α contains putative miR-210-3p and miR-485-5p binding sites and is expressed in sarcoma cell lines. Discussion STS, like all solid tumors, can present with hypoxic areas,
a state which is associated with disease progression and Page 9 of 13 Page 9 of 13 Gits et al. BMC Cancer 2014, 14:429 Gits et al. BMC Cancer 2014, 14:429
http://www.biomedcentral.com/1471-2407/14/429 http://www.biomedcentral.com/1471-2407/14/429 Figure 4 (See legend on next page.) Figure 4 (See legend on next page.) Page 10 of 13 Gits et al. BMC Cancer 2014, 14:429
http://www.biomedcentral.com/1471-2407/14/429 (See figure on previous page.)
Figure 4 HIF3α is regulated by miR-210-3p and miR-485-5p. (A) MiR-210-3p and miR-485-5p mimic overexpression reduce HIF3α protein
induction under hypoxic conditions. The sarcoma cell lines SW872 and SK-UT-1 were transfected with mimics of miR-210-3p (m210), miR-485-5p
(m485) and a scrambled negative control mimic (mneg). 48 h post-transfection cells were cultured under hypoxic conditions (1% O2) for 24 h. Subsequently total protein lysates were prepared and analysed by Western blotting for HIF3α protein expression. β-Actin is used as a loading
control. (B) Hypoxia responsive miRNAs target HIF3α 3’UTR. SW872 and SK-UT-1 cell lines were transfected with psiCHECK 2 constructs containing
short and long 3’UTR fragments of HIF3α. 24 h later the cells were exposed to hypoxia for 24 h. Bars indicate average luciferase activity ± SD
(n = 3) measured in hypoxic cell lysates relative to the luciferase activity in normoxic cell lysates which is arbitrarily set at 100. (C) MiR-210-3p and
miR-485-5p regulate HIF3α. SW872 and SK-UT-1 cell lines were transfected with mimics of miR-210-3p (m210), miR-485-5p (m485) or a scrambled
control mimic (mneg) followed after 24 h by a transfection with psiCHECK 2 constructs containing short and long fragments of the HIF3α 3’UTR. Bars indicate average luciferase activity ± SD (n = 3) measured in cell lysates after 24 h. (D) MiR-210-3p and miR-485-5p regulate HIF3α. SW872
and SK-UT-1 cell lines were transfected with mimics of miR-210-3p (m210), miR-485-5p (m485) or a scrambled control mimic (mneg) followed,
after 24 h, by a transfection with a psiCHECK 2-HIF3α-short construct containing either wild-type (WT) or mutated (mut) miR-210-3p and
miR-485-5p binding sites. Bars indicate average luciferase activity ± SD (n = 3) measured in cell lysates. Statistical significance was determined by
two-sample t-tests: * = p < 0.05, ** = p < 0.005, *** = p < 0.0005. independent mechanisms (reviewed in [44,45]). Discussion Some
HRMs, such as miR-210-3p, contain hypoxia responsive
elements (HREs) in their promoter region and are dir-
ectly regulated by the HIF1 transcription factor in re-
sponse to hypoxia [26,46,47]. Although HIF1 is generally
known as a transcriptional activator, it can also function
as a transcriptional repressor [48], which could account
for the downregulated miRNAs under hypoxic condi-
tions. Another HIF-dependent mechanism by which
hypoxia responsive miRNAs are regulated is via a HIF1
induced transcription factor, such as TWIST, which in-
duces miR-10b expression [49]. A HIF-independent
mechanism involved in the regulation of HRMs is e.g. the induction of Akt2 upon hypoxia, which in turn upre-
gulates miR-21 [50]. Also deregulation of the miRNA
biogenesis during hypoxia could contribute to altered
miRNA expression levels. Recently it was reported that
hypoxia enhanced the association between EGFR and
Ago2, resulting in increased Ago2-phosphorylation and
reduced binding of Dicer to Ago2, thereby inhibiting
miRNA processing [51]. In contrast, in another study
hypoxia did not alter the expression of key miRNA ma-
chinery proteins (i.e. Drosha, Exp5, Dicer, Ago2 and
DP103) in human trophoblasts [52]. In order to deter-
mine whether our top hypoxia responsive miRNAs
(miR-185-3p; miR-485-5p; miR-216a-5p and miR-625-
5p) contain HREs in their putative promoter region we
screened 600 bp flanking sequences upstream of the
transcription start site of the primary miRNA. With the
exception of miR-485-5p of which the gene resides in a
densely packed miRNA cluster on chromosome 14, the
genes for miR-185-3p, miR-216a-5p and miR-625-5p are
not clustered. No consensus HRE (A/GCGTG) could be
detected upstream of miR-625-5p (which was downregu-
lated during hypoxia), whereas miR-216a-5p contains a
‘ACGTGC’(position -42 to -37) and miR-185-3p contains
a ‘CCGTG’(position -305 to -301). Although the latter
HRE does not perfectly match the consensus HRE se-
quence, imperfect HREs have been found to be functional bad prognosis [14,15]. To date, little is known about the
involvement of miRNAs in the hypoxic response of STS. Greither et al. reported that the expression of miR-210-
3p, a well-known hypoxia responsive miRNA, is associ-
ated with poor survival in STS [39]. We identified 32
miRNAs that are deregulated upon hypoxia in a panel of
12 soft tissue sarcoma cell lines. Particularly, miR-185-
3p, miR-485-5p, miR-216a-5p were significantly upregu-
lated, while miR-625-5p was significantly downregulated. In addition we detected induction of miR-210-3p upon
hypoxia using a RT-PCR procedure. Discussion Besides
transcriptional
regulation
of
HIF3α by HIF1 and oxygen dependent degradation of
HIF3α proteins, we provide evidence for an additional
layer of regulation of HIF3α, i.e. miRNAs that act on the
translational level. These different mechanisms can com-
plement one another in fine tuning HIF3α expression. This may be critical because of the versatile role HIF3α
plays in the hypoxic response. [11,53,54]. Therefore it is possible that miR-216a-5p and
miR-185-3p are regulated by HIF1. Since miR-210-3p is considered a general responder to
hypoxia irrespective of cell-type and exact hypoxic con-
ditions, its function is thought to be universal. MiR-210-
3p has been demonstrated to have a role in e.g. cell
proliferation, angiogenesis, apoptosis, DNA repair and
mitochondrial metabolism (reviewed in [55-57]). The
function of other, less commonly deregulated HRMs is
poorly understood, but these miRNAs are likely to have
a cell-type specific function. Not much is known about
miR-485-5p. This miRNA was downregulated in ependy-
momas [58] and suppressed dendritic spine development
in rats [59]. Furthermore miR-485-5p was downregu-
lated in Alzheimers disease [60] and malignant serous
ovarian tumors, and correlated with FIGO grade in the
latter [61]. Computational analysis predicted as much as
eleven putative miR-485-5p binding sites in the 3’UTR
of HIF3α. Also miR-210-3p has a potential binding site
in the 3’UTR of this member of the family of hypoxia
inducible factors. Note that there are only two HIF3α
transcripts (variants 003 and 201) listed (http://www. ensembl.org; release 72) that habor a 3’UTR long
enough to encompass all miR-485-5p binding sites in
addition to the miR-210-3p site. At least two other
HIF3α transcripts that contain a smaller 3’UTR (478 bp
in variant 006 and 287 bp in variant 007) also contain
the miR-210-3p binding site suggesting that the HIF3α
isoforms they encode may be controlled by miR-210-3p. We demonstrated that HIF3α is regulated by miR-210-
3p and in an indirect fashion by miR-485-5p. We also
showed that HIF3α mRNA levels are induced upon hyp-
oxia as expected of a hypoxia inducible factor. Under
the same conditions, however, the expression of hypoxia
responsive miRNAs like miR-210-3p and miR-485-5p is
upregulated that affect HIF3α protein expression. We
postulate that miRNAs help to fine-tune HIF3α protein
expression and in this way regulate the cellular hypoxic
response. Discussion In all cell lines ex-
amined, our array platform did not detect a significant
upregulation of miR-210-3p expression upon hypoxia. In
fact, expression levels detected were too low to be con-
sidered for subsequent analyses. This is most likely due
to the fact that the LNA capture probe for miR-210-3p
was not optimally designed. Exiqon varies both length
and LNA contents of the capture probes to obtain a Tm
normalized probe with appropriate affinity for its target
miRNA. Although the design and composition of the
capture probes are proprietary information we learned
that Exiqon has redesigned the miR-210-3p capture
probe in subsequent versions of the capture probe set. A
subset of the deregulated miRNAs, i.e. miR-185-3p, miR-
191,
miR-210-3p,
miR-373
(upregulated),
miR-148b,
miR-181b and miR-342-5p (downregulated), was previ-
ously identified as hypoxia responsive miRNAs (HRM) in
other studies involving different cancer types [40-43]. These miRNAs may be regarded as general responders to
hypoxia. However the majority of miRNAs we detected
has not been previously associated with hypoxia suggest-
ing a cell-type specific miRNA response, as has been re-
ported before [25,44]. The molecular mechanisms responsible for miRNA
deregulation in response to hypoxia are for a large part
still unclear as is the precise role of each of the HRM in
the hypoxia response. As the key response to hypoxic
conditions is the stabilization of HIF1, HRMs can be
regulated by HIF-dependent or, alternatively, by HIF- Page 11 of 13 Gits et al. BMC Cancer 2014, 14:429
http://www.biomedcentral.com/1471-2407/14/429 promoter region [5,7,11]. This probably accounts for the
increased HIF3α mRNA expression upon hypoxia. In
addition HIF3α can be regulated at the protein level. HIF1α and HIF2α contain an oxygen dependent degrad-
ation domain (ODDD), which harbors two conserved
prolines that can be hydroxylated by prolyl hydroxylases
(PHDs) in presence of oxygen. This marks the proteins
for proteasomal degradation via the von Hippel-Lindau
(VHL) E3 ubiquitin ligase complex. It was postulated
that HIF3α, in contrast with HIF1α and HIF2α, is not
regulated at the level of protein stability, since the longer
HIF3α transcripts miss part of the ODDD and the
shorter isoforms lack the entire ODDD. This renders
them less prone to hydroxylation and subsequent pro-
teasomal
degradation
[11]. However,
other
studies
showed that the remaining proline residue in the ODDD
of HIF3α transcripts is targeted by VHL and subjected
to proteasomal degradation in an oxygen dependent
manner
[5,6]. Discussion They can do so by affecting the translation of
specific HIF3α transcripts, however, we cannot rule out
that part of the regulation takes place via HIF3α mRNA
degradation. Although HRMs targeting HIF3α has never
been documented before, miRNA regulation of HIFs is
not uncommon: miR-155 [46], miR-424 [28], and the
miR-17-92 cluster [30] are known to target HIF1α. Thus
HIFs can induce the expression of miRNAs, and in turn,
miRNAs can also target HIFs. Our understanding of the regulation of HIF3α and its None of the HIF3α variants are likely to act as potent
transcription factors, since they lack a C-terminal trans-
activation domain. However, they can have an effect
on HRE-driven gene expression, depending on the level
of HIFβ [5,8,10]. When HIFβ is not limiting, it will
dimerize with HIF1α, HIF2α and HIF3α to induce a sub-
set of hypoxia regulated genes. HIF1α/HIFβ and HIF2α/
HIFβ complexes will associate with HRE sequences,
while the HIF3α/HIFβ complexes likely bind a response
element different from the canonical HRE, to maximize
hypoxia induced gene expression [5]. When HIFβ is lim-
iting, HIF3α will either compete with HIF1α and HIF2α
for binding with HIFβ [8], or HIF3α will associate with
HIF1α and HIF2α [5,10], both resulting in decreased
capability to bind HRE sequences and diminished tran-
scription of HIF target genes. As such, HIF3α splice vari-
ants will not act as global regulators of gene expressions,
but may modulate specific genes in a cell type dependent
manner [5,11]. Additional file 5. Heikkila M, Pasanen A, Kivirikko KI, Myllyharju J: Roles of the human
hypoxia-inducible factor (HIF)-3alpha variants in the hypoxia response. Cell Mol Life Sci 2011, 68(23):3885–3901. Additional file 1: Table S1. Primers used for PCR and cloning. (A)
Primers used for end-point RT-PCRs of HIF3α 3’UTR fragments, resulting
in amplification products of 212 bp (Fw/Rv1) and 313 bp (Fw/Rv2). Amplification of HPRT (product of 335 bp) was used as input control. (B)
Primers used for cloning HIF3α-short and HIF3α-long 3’UTR constructs. (C) Primers used for site mutagenesis of predicted miR-485-5p and
miR-210-3p binding sites in HIF3α-short 3’UTR constructs. Table S2
Differentially expressed miRNAs (p<0.05) between cell lines that were
cultured under hypoxic and normoxic conditions. P-values of two-sample
t-test as well as fold change in miRNA expression and miRNA genomic
locations are indicated. False Discovery Rate (FDR) for the top four
miRNAs are: hsa-miR-185-3p (FDR 0.002893); hsa-miR-485-5p
(FDR 0.004466); hsa-miR-216a-5p (FDR 0.068687) and hsa-miR-625-5p
(FDR 0.112324). Figure S1 Predicted 3’UTR target sites in HIF3α for
miR-210-3p and miR-485-5p and the mutations that have been generated
in the target site sequence where the miRNA seed sequence (bold) binds. The wild-type (WT) and mutated (mut) sites in HIF3α-short are shown. The vertical lines represent possible base pairing between miRNA and
3’UTR target site, and the x’s indicate abrogated base pairing where
nucleotides are mutated (red). The resulting mutated 3’UTR fragments
were cloned into the psiCHECK-2 luciferase reporter. 6. Maynard MA, Qi H, Chung J, Lee EH, Kondo Y, Hara S, Conaway RC,
Conaway JW, Ohh M: Multiple splice variants of the human HIF-3 alpha
locus are targets of the von Hippel-Lindau E3 ubiquitin ligase complex. J Biol Chem 2003, 278(13):11032–11040. 7. Pasanen A, Heikkila M, Rautavuoma K, Hirsila M, Kivirikko KI, Myllyharju J:
Hypoxia-inducible factor (HIF)-3alpha is subject to extensive alternative
splicing in human tissues and cancer cells and is regulated by HIF-1 but
not HIF-2. Int J Biochem Cell Biol 2010, 42(7):1189–1200. 8. Hara S, Hamada J, Kobayashi C, Kondo Y, Imura N: Expression and
characterization of hypoxia-inducible factor (HIF)-3alpha in human
kidney: suppression of HIF-mediated gene expression by HIF-3alpha. Biochem Biophys Res Commun 2001, 287(4):808–813. 9. Maynard MA, Evans AJ, Hosomi T, Hara S, Jewett MA, Ohh M: Human
HIF-3alpha4 is a dominant-negative regulator of HIF-1 and is
down-regulated in renal cell carcinoma. FASEB J 2005, 19(11):1396–1406. 10. Conclusion Our understanding of the regulation of HIF3α and its
role in the hypoxic response is still rather limited. Re-
ports in the literature are sometimes contradictory or
difficult to compare as they focus on different HIF3α
splice variants in different cell types. It is clear that
HIF3α can be regulated at different levels. Transcription
of HIF3α can be induced by HIF via HREs in the In conclusion, this study describes, in addition to miR-
210-3p, a new panel of HRMs in hypoxic sarcoma cells. In turn, two of these HRMs, i.e. miR-210-3p and miR-
485-5p, regulate HIF3α in a direct or indirect fashion,
respectively. Fine-tuning of HIF3α expression is of great
importance for the hypoxic response, since HIF3α affects
HIF1/2-induced gene expression. Keeping these negative Gits et al. BMC Cancer 2014, 14:429
http://www.biomedcentral.com/1471-2407/14/429 Page 12 of 13 Gits et al. BMC Cancer 2014, 14:429
http://www.biomedcentral.com/1471-2407/14/429 Gits et al. BMC Cancer 2014, 14:429
http://www.biomedcentral.com/1471-2407/14/429 feedback loops under tight control enables the cells to
adapt to hypoxic conditions. Deregulation of these mech-
anisms, e.g. by therapeutic modulation of levels of miR-
NAs that are important for the hypoxic response, may
inhibit the adaptive potential of the cells, and reduce
their resistance against radiation and systemic agents. 2. Wang GL, Semenza GL: General involvement of hypoxia-inducible factor
1 in transcriptional response to hypoxia. Proc Natl Acad Sci U S A 1993,
90(9):4304–4308. 3. Ema M, Taya S, Yokotani N, Sogawa K, Matsuda Y, Fujii-Kuriyama Y: A novel
bHLH-PAS factor with close sequence similarity to hypoxia-inducible
factor 1alpha regulates the VEGF expression and is potentially involved
in lung and vascular development. Proc Natl Acad Sci U S A 1997,
94(9):4273–4278. 4. Hu CJ, Wang LY, Chodosh LA, Keith B, Simon MC: Differential roles of
hypoxia-inducible factor 1alpha (HIF-1alpha) and HIF-2alpha in hypoxic
gene regulation. Mol Cell Biol 2003, 23(24):9361–9374. Authors’ contributions CG, SS, JV, EW conceived the study. CG, EW, SS, RM, JV were involved in
the design and coordination of the study. CG, PK, JR, MJ and NM performed
qPCR, end-point PCR and Western blotting experiments. CG, WIJ, MJ carried
out miRNA expression profiling CG, NM, EW participated in cloning
experiments and luciferase reporter assays. CG, PK, WIJ, SS, RM, JV and EW
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1 1Department of Medical Oncology, Erasmus University Medical Center –
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Published: 13 June 2014 Received: 2 September 2013 Accepted: 29 May 2014
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Curine Inhibits Macrophage Activation and Neutrophil Recruitment in a Mouse Model of Lipopolysaccharide-Induced Inflammation
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Received: 18 September 2019; Accepted: 22 October 2019; Published: 3 December 2019 Abstract: Curine is a bisbenzylisoquinoline alkaloid (BBA) with anti-allergic, analgesic, and anti-
inflammatory properties. Previous studies have demonstrated that this alkaloid is orally active
at non-toxic doses. However, the mechanisms underlying its anti-inflammatory effects remain
to be elucidated. This work aimed to investigate the effects of curine on macrophage activation
and neutrophil recruitment. Using a murine model of lipopolysaccharide (LPS)-induced pleurisy,
we demonstrated that curine significantly inhibited the recruitment of neutrophils in association
with the inhibition of cytokines tumor necrosis factor (TNF-α), interleukin (IL)-1β, IL-6, monocyte
chemotactic protein (CCL2/MCP-1) as well as leukotriene B4 in the pleural lavage of mice. Curine
treatment reduced cytokine levels and the expression of iNOS in in vitro cultures of macrophages
stimulated with LPS. Treatment with a calcium channel blocker resulted in comparable inhibition
of TNF-α and IL-1β production, as well as iNOS expression by macrophages, suggesting that the
anti-inflammatory effects of curine may be related to the inhibition of calcium-dependent mechanisms
involved in macrophage activation. In conclusion, curine presented anti-inflammatory effects that
are associated with inhibition of macrophage activation and neutrophil recruitment by inhibiting
the production of inflammatory cytokines, LTB4 and nitric oxide (NO), and possibly by negatively
modulating Ca2+ influx. Keywords: Curine; alkaloid; macrophage; neutrophil; lipopolysaccharide Key Contribution: This study attempts to contribute to the elucidation of mechanisms involved in
the anti-inflammatory action of curine, an orally active alkaloid. toxins toxins toxins www.mdpi.com/journal/toxins Curine Inhibits Macrophage Activation and
Neutrophil Recruitment in a Mouse Model of
Lipopolysaccharide-Induced Inflammation Jaime Ribeiro-Filho 1,*
, Fagner Carvalho Leite 2, Andrea Surrage Calheiros 3,
Alan de Brito Carneiro 3, Juliana Alves Azeredo 3, Edson Fernandes de Assis 3,
Celidarque da Silva Dias 4, Márcia Regina Piuvezam 2 and Patrícia T. Bozza 3 Jaime Ribeiro-Filho 1,*
, Fagner Carvalho Leite 2, Andrea Surrage Calheiros 3,
Alan de Brito Carneiro 3, Juliana Alves Azeredo 3, Edson Fernandes de Assis 3,
Celidarque da Silva Dias 4, Márcia Regina Piuvezam 2 and Patrícia T. Bozza 3 1
Laboratório de Investigação em Genética e Hematologia Translacional, Instituto Gonçalo Moniz, FIOCRUZ,
Salvador 40296-710, Brazil 2
Laboratório de Imunofarmacologia, Departamento de Fisiologia e Patologia, UFPB, João Pessoa 58051-900,
Brazil; fagnercarvalho.farm@gmail.com (F.C.L.); mrpiuvezam@ltf.ufpb.br (M.R.P.) g
g
p
p
3
Laboratório de Imunofarmacologia, Instituto Oswaldo Cruz, FIOCRUZ, Rio de Janeiro 21040-360, Brazil;
andrea.surrage@gmail.com (A.S.C.); alan.fiocruz@gmail.com (A.d.B.C.); jazeredo@ioc.fiocruz.br (J.A.A.);
edassis@ioc.fiocruz.br (E.F.d.A.); pbozza@gmail.com (P.T.B.) p
g
4
Laboratório de Fitoquímica, Departamento de Ciências Farmacêuticas, UFPB, João Pessoa 58051-900, Brazil;
celidarquedias@ltf.ufpb.br 4
Laboratório de Fitoquímica, Departamento de Ciências Farmacêuticas, UFPB, João Pessoa 58051-900, Brazil;
celidarquedias@ltf.ufpb.br *
Correspondence: jaime.ribeiro@fiocruz.br; Tel.: +55-71-3176-2226 1. Introduction Macrophages work as detectors of inflammatory signals, including those produced by the host
and the derived from microorganisms, such as lipopolysaccharide (LPS) [1]. LPS signaling through
TLR4 induces macrophage activation by regulating intracellular pathways involved in cytokine, Toxins 2019, 11, 705; doi:10.3390/toxins11120705 www.mdpi.com/journal/toxins 2 of 12 Toxins 2019, 11, 705 lipid mediator and oxygen reactive species (ROS) production, in a process regulated by calcium
signaling [2,3]. The mediators released by activated macrophages play critical roles in neutrophil
recruitment and activation, and therefore, influence the progress of immune responses as well as the
development of many inflammatory diseases [4,5]. Curine (Figure 1A) is the principal bisbenzilisoquinoline alkaloid (BBA) obtained from
Chondrodendron platyphyllum (Menispermaceae). Earlier studies reported that this alkaloid, as well as
the structurally related compounds isocurine and 12-O-metilcurine, have promising pharmacological
effects [6] corroborating ethnopharmacological data which points C. phatyphyllum as a plant with
medicinal properties [7]. Studies have shown that BBA are bioactive natural compounds presenting
anti-inflammatory, anti-allergic, and analgesic activities [8] and there is evidence that their mechanism
of action involves a direct inhibition of calcium channels [6,9,10]. Studies carried out by our group have demonstrated the effects of curine treatment in an
experimental model of allergic asthma. The oral administration of this compound to allergic mice
significantly inhibited eosinophilic inflammation and airway hyper-responsiveness (AHR), which are
critical hallmarks of the allergic response in this model. In addition, curine prevented lipid body
formation and cytokine production in vivo, suggesting that it has an inhibitory role in eosinophil
activation. A similarity between the anti-allergic effects of curine and verapamil (a calcium channel
blocker) as well as inhibition of calcium-induced tracheal contraction by curine strongly suggested
that its anti-allergic effects are associated with modulation of calcium-dependent responses [11]. These
findings were affirmed by another study in which we demonstrated the anti-allergic effects of curine
and verapamil in a mice model of mast cell activation. In addition to inhibiting the scratching behavior,
the oral treatment with curine prevented the anaphylactic shock reaction in systemically-challenged
mice. Additionally, these treatments inhibited the production of lipid mediators and cytokines
associated with mast cell activation [12]. Importantly, an analysis of physical, behavioral, histological,
hematologic and biochemical parameters revealed that the oral treatment with curine for seven
consecutive days did not induce evident toxicity in mice [11]. 1. Introduction Additionally, this alkaloid presented
analgesic effects that were not associated with an activity in the central nervous system but involve
anti-inflammatory mechanisms [13]. Accumulating evidence places curine as a potent anti-inflammatory and anti-allergic compound
with low-toxicity. Through both in vivo and in vitro studies, we have described the general
pharmacological properties of this alkaloid. However, the mechanisms underlying its anti-inflammatory
effects are still poorly understood. Therefore, the objective of this study was to investigate the effects
of curine on macrophage activation and neutrophil recruitment in a mouse model of LPS-induced
inflammation. Here we analyze the impact of inflammatory mediator production modulation as well
as the importance of calcium influx inhibition in the anti-inflammatory mechanisms of curine. 2.1. Curine Inhibits Neutrophil Recruitment in LPS-Challenged Mice Effect of curine on neutrophil recruitment in lipopolysaccharide (LPS)-induced pleurisy. (A) The chemical structure of curine. Total leukocytes (B) and neutrophils (C) per pleural lavage of
C57Bl/6 mice orally pre-treated with curine (2.5 mg/kg) or dexamethasone (2 mg/kg), counted under
light microscopy 4h after LPS-challenge. Results are expressed as means ± SD from at least six animals. + significant difference (p < 0.05) from the unchallenged group; * significant difference (p < 0.05) from
the untreated LPS-challenged group. Statistical significance was determined with one-way ANOVA
and post hoc Tukey test. Figure 1. Effect of curine on neutrophil recruitment in lipopolysaccharide (LPS)-induced pleurisy. (A)
The chemical structure of curine. Total leukocytes (B) and neutrophils (C) per pleural lavage of
C57Bl/6 mice orally pre-treated with curine (2.5 mg/kg) or dexamethasone (2 mg/kg), counted under
light microscopy 4h after LPS-challenge. Results are expressed as means ± SD from at least six animals. + significant difference (p < 0.05) from the unchallenged group; * significant difference (p < 0.05) from
the untreated LPS-challenged group. Statistical significance was determined with one-way ANOVA
and post hoc Tukey test. Figure 1. Effect of curine on neutrophil recruitment in lipopolysaccharide (LPS)-induced pleurisy. (A) The chemical structure of curine. Total leukocytes (B) and neutrophils (C) per pleural lavage of
C57Bl/6 mice orally pre-treated with curine (2.5 mg/kg) or dexamethasone (2 mg/kg), counted under
light microscopy 4h after LPS-challenge. Results are expressed as means ± SD from at least six animals. + significant difference (p < 0.05) from the unchallenged group; * significant difference (p < 0.05) from
the untreated LPS-challenged group. Statistical significance was determined with one-way ANOVA
and post hoc Tukey test. C57Bl/6 mice orally pre treated with curine (2.5 mg/kg) or dexamethasone (2 mg/kg), counted under
light microscopy 4h after LPS-challenge. Results are expressed as means ± SD from at least six animals. + significant difference (p < 0.05) from the unchallenged group; * significant difference (p < 0.05) from
the untreated LPS-challenged group. Statistical significance was determined with one-way ANOVA
and post hoc Tukey test
light microscopy 4h after LPS-challenge. Results are expressed as means ± SD from at least six animals. + significant difference (p < 0.05) from the unchallenged group; * significant difference (p < 0.05) from
the untreated LPS-challenged group. Statistical significance was determined with one-way ANOVA
and post hoc Tukey test. 2 2 Cu i e I hibit I fla
ato y Mediato P odu tio i
Vi o
2.2. Curine Inhibits Inflammatory Mediator Production in Vivo 2.2. Curine Inhibits Inflammatory Mediator Production in Vivo
Based on our finding of increased neutrophil recruitment in response to the LPS challenge, we
analyzed the effect of curine treatment on the production of mediators involved in neutrophil
recruitment and inflammation. Supernatants obtained from the pleural lavages of LPS-challenged
mice presented increased levels of inflammatory mediators (Figure 2, A–F), in comparison to
unstimulated animals. Curine treatment was observed to significantly inhibit the production of
interleukin (IL)-6, tumor necrosis factor (TNF)-α, monocyte chemotactic protein (MCP)-1/CCL2,
keratinocyte-derived chemokine (KC/CXCL1) and leukotriene B4 (LTB4), thereby providing evidence
of a link between the inhibitory effect of curine on neutrophil recruitment and associated
Based on our finding of increased neutrophil recruitment in response to the LPS challenge,
we analyzed the effect of curine treatment on the production of mediators involved in neutrophil
recruitment and inflammation. Supernatants obtained from the pleural lavages of LPS-challenged mice
presented increased levels of inflammatory mediators (Figure 2A–F), in comparison to unstimulated
animals. Curine treatment was observed to significantly inhibit the production of interleukin (IL)-6,
tumor necrosis factor (TNF)-α, monocyte chemotactic protein (MCP)-1/CCL2, keratinocyte-derived
chemokine (KC/CXCL1) and leukotriene B4 (LTB4), thereby providing evidence of a link between the
inhibitory effect of curine on neutrophil recruitment and associated inflammatory mediator production. 2.1. Curine Inhibits Neutrophil Recruitment in LPS-Challenged Mice An intrapleural administration of LPS was observed to induce a significant increase in the number
of neutrophils in the pleural lavages of C57Bl/6 mice (Figure 1B). The oral treatment with curine
(2.5 mg/kg) or dexamethasone (2 mg/kg) 1 h prior to the LPS challenge caused a significant reduction
in neutrophil counts (Figure 1B) in comparison with the group of untreated and challenged mice, thus
demonstrating the inhibitory role played by curine with regard to neutrophil recruitment during the
pleural inflammation. 3 of 12
3 of 13 Toxins 2019, 11, 705
T
i
11
FO Figure 1. Effect of curine on neutrophil recruitment in lipopolysaccharide (LPS)-induced pleurisy. (A)
The chemical structure of curine. Total leukocytes (B) and neutrophils (C) per pleural lavage of
C57Bl/6 mice orally pre-treated with curine (2.5 mg/kg) or dexamethasone (2 mg/kg), counted under
light microscopy 4h after LPS-challenge. Results are expressed as means ± SD from at least six animals. + significant difference (p < 0.05) from the unchallenged group; * significant difference (p < 0.05) from
the untreated LPS-challenged group. Statistical significance was determined with one-way ANOVA
and post hoc Tukey test. Figure 1. Effect of curine on neutrophil recruitment in lipopolysaccharide (LPS)-induced pleurisy. (A) The chemical structure of curine. Total leukocytes (B) and neutrophils (C) per pleural lavage of
C57Bl/6 mice orally pre-treated with curine (2.5 mg/kg) or dexamethasone (2 mg/kg), counted under
light microscopy 4h after LPS-challenge. Results are expressed as means ± SD from at least six animals. + significant difference (p < 0.05) from the unchallenged group; * significant difference (p < 0.05) from
the untreated LPS-challenged group. Statistical significance was determined with one-way ANOVA
and post hoc Tukey test. Figure 1 Effect of curine on neutrophil recruitment in lipopolysaccharide (LPS)-induced pleurisy (A)
Figure 1. Effect of curine on neutrophil recruitment in lipopolysaccharide (LPS)-induced pleurisy. Figure 1. Effect of curine on neutrophil recruitment in lipopolysaccharide (LPS)-induced pleurisy. (A)
The chemical structure of curine. Total leukocytes (B) and neutrophils (C) per pleural lavage of
C57Bl/6 mice orally pre-treated with curine (2.5 mg/kg) or dexamethasone (2 mg/kg), counted under
light microscopy 4h after LPS-challenge. Results are expressed as means ± SD from at least six animals. + significant difference (p < 0.05) from the unchallenged group; * significant difference (p < 0.05) from
the untreated LPS-challenged group. Statistical significance was determined with one-way ANOVA
and post hoc Tukey test
Figure 1. y
inflammatory mediator production.
2.3. Curine Inhibits Macrophage Activation in Vitro Concentrations of interleukin (IL)-1β (A), IL-6 (B), tumor necrosis factor (TNF)-α (C), CCL2/monocyte
chemotactic protein (MCP)-1 (D), keratinocyte-derived chemokine (KC/CXCL-1) (E) and leukotriene B4
(LTB4)(F) in the pleural lavages of C57Bl/6 mice orally pre-treated with curine (2.5 mg/kg) or dexamethasone
(2 mg/kg). These results are expressed as the mean ± SD of at least 6 animals. + significant difference
(p < 0.05) from the unchallenged group; * significant difference (p < 0.05) from the untreated LPS-challenged
group. Statistical significance was determined with one-way ANOVA and post hoc Tukey test. Assay
range of IL-1β: 10.36–60,631 pg/mL; IL-6: 0.74–12,053 pg/mL; TNF-α: 5.86–59,626 pg/mL; CCL2/MCP-1:
22.4–41,873 pg/mL; KC/CXCL1: 3.2–182 pg/mL and LTB4: 3.9–500 pg/mL. Toxins 2019, 11, x FOR PEER REVIEW
5 of 13 pg/mL. 2.3. Curine Inhibits Macrophage Activation in Vitro
As activated macrophages are crucially involved in the production of mediators in early
inflammatory events, we analyzed the direct effects of curine on macrophage activation by
investigating its interference on cytokine production in vitro. Figure 3 shows that stimulation of
peritoneal macrophage cultures with LPS increased the levels of IL-1β, IL-6 and TNF-α in comparison
with control cells. Pre-treatment with curine at 1 or 10 µM significantly reduced the levels of these
cytokines in the supernatants indicating that this BBA inhibits TLR-4 mediated macrophage
activation in vitro (Figure 3). pg/mL. 2.3. Curine Inhibits Macrophage Activation in Vitro
As activated macrophages are crucially involved in the production of mediators in early
inflammatory events, we analyzed the direct effects of curine on macrophage activation by
investigating its interference on cytokine production in vitro. Figure 3 shows that stimulation of
peritoneal macrophage cultures with LPS increased the levels of IL-1β, IL-6 and TNF-α in comparison
with control cells. Pre-treatment with curine at 1 or 10 µM significantly reduced the levels of these
cytokines in the supernatants indicating that this BBA inhibits TLR-4 mediated macrophage
activation in vitro (Figure 3). Figure 3. Effects of curine treatment on macrophage activation 4 h after LPS challenge. Concentrations
of IL-1β (A), IL-6 (B) and TNF-α (C) in the supernatants of peritoneal macrophage cultures treated
with curine (1 or 10 μM) 4h after the stimulus with LPS (500 ng/mL). Results are expressed as means
± Standard Error of Mean (SEM) of two experiments performed in triplicate. + significant difference
(p < 0.05) from the unchallenged cells; * significant difference (p < 0.05) from the untreated LPS-
challenged cells. y
inflammatory mediator production.
2.3. Curine Inhibits Macrophage Activation in Vitro As activated macrophages are crucially involved in the production of mediators in early
inflammatory events, we analyzed the direct effects of curine on macrophage activation by investigating
its interference on cytokine production in vitro. Figure 3 shows that stimulation of peritoneal
macrophage cultures with LPS increased the levels of IL-1β, IL-6 and TNF-α in comparison with
control cells. Pre-treatment with curine at 1 or 10 µM significantly reduced the levels of these cytokines
in the supernatants indicating that this BBA inhibits TLR-4 mediated macrophage activation in vitro
(Figure 3). 4 of 12
13 Toxins 2019, 11, 705
Toxins 2019 11 x Figure 2. Effects of curine pre-treatment on in vivo cytokine production 4h after LPS challenge. Concentrations of interleukin (IL)-1β (A), IL-6 (B), tumor necrosis factor (TNF)-α (C), CCL2/monocyte
chemotactic protein (MCP)-1 (D), keratinocyte-derived chemokine (KC/CXCL-1) (E) and leukotriene
B4 (LTB4)(F) in the pleural lavages of C57Bl/6 mice orally pre-treated with curine (2.5 mg/kg) or
dexamethasone (2 mg/kg). These results are expressed as the mean ± SD of at least 6 animals. +
significant difference (p < 0.05) from the unchallenged group; * significant difference (p < 0.05) from
the untreated LPS-challenged group. Statistical significance was determined with one-way ANOVA
and post hoc Tukey test. Assay range of IL-1β: 10.36–60,631 pg/mL; IL-6: 0.74–12,053 pg/mL; TNF-α:
5.86–59,626 pg/mL; CCL2/MCP-1: 22.4–41,873 pg/mL; KC/CXCL1: 3.2–182 pg/mL and LTB4: 3.9–500
pg/mL
Figure 2. Effects of curine pre-treatment on in vivo cytokine production 4h after LPS challenge. Concentrations of interleukin (IL)-1β (A), IL-6 (B), tumor necrosis factor (TNF)-α (C), CCL2/monocyte
chemotactic protein (MCP)-1 (D), keratinocyte-derived chemokine (KC/CXCL-1) (E) and leukotriene B4
(LTB4)(F) in the pleural lavages of C57Bl/6 mice orally pre-treated with curine (2.5 mg/kg) or dexamethasone
(2 mg/kg). These results are expressed as the mean ± SD of at least 6 animals. + significant difference
(p < 0.05) from the unchallenged group; * significant difference (p < 0.05) from the untreated LPS-challenged
group. Statistical significance was determined with one-way ANOVA and post hoc Tukey test. Assay
range of IL-1β: 10.36–60,631 pg/mL; IL-6: 0.74–12,053 pg/mL; TNF-α: 5.86–59,626 pg/mL; CCL2/MCP-1:
22.4–41,873 pg/mL; KC/CXCL1: 3.2–182 pg/mL and LTB4: 3.9–500 pg/mL. Toxins 2019, 11, x FOR PEER REVIEW
5 of 13 Figure 2. Effects of curine pre-treatment on in vivo cytokine production 4h after LPS challenge. y
inflammatory mediator production.
2.3. Curine Inhibits Macrophage Activation in Vitro Concentrations of interleukin (IL)-1β (A), IL-6 (B), tumor necrosis factor (TNF)-α (C), CCL2/monocyte
chemotactic protein (MCP)-1 (D), keratinocyte-derived chemokine (KC/CXCL-1) (E) and leukotriene
B4 (LTB4)(F) in the pleural lavages of C57Bl/6 mice orally pre-treated with curine (2.5 mg/kg) or
dexamethasone (2 mg/kg). These results are expressed as the mean ± SD of at least 6 animals. +
significant difference (p < 0.05) from the unchallenged group; * significant difference (p < 0.05) from
the untreated LPS-challenged group. Statistical significance was determined with one-way ANOVA
and post hoc Tukey test. Assay range of IL-1β: 10.36–60,631 pg/mL; IL-6: 0.74–12,053 pg/mL; TNF-α:
5.86–59,626 pg/mL; CCL2/MCP-1: 22.4–41,873 pg/mL; KC/CXCL1: 3.2–182 pg/mL and LTB4: 3.9–500
/
L
Figure 2. Effects of curine pre-treatment on in vivo cytokine production 4h after LPS challenge. Concentrations of interleukin (IL)-1β (A), IL-6 (B), tumor necrosis factor (TNF)-α (C), CCL2/monocyte
chemotactic protein (MCP)-1 (D), keratinocyte-derived chemokine (KC/CXCL-1) (E) and leukotriene B4
(LTB4)(F) in the pleural lavages of C57Bl/6 mice orally pre-treated with curine (2.5 mg/kg) or dexamethasone
(2 mg/kg). These results are expressed as the mean ± SD of at least 6 animals. + significant difference
(p < 0.05) from the unchallenged group; * significant difference (p < 0.05) from the untreated LPS-challenged
group. Statistical significance was determined with one-way ANOVA and post hoc Tukey test. Assay
range of IL-1β: 10.36–60,631 pg/mL; IL-6: 0.74–12,053 pg/mL; TNF-α: 5.86–59,626 pg/mL; CCL2/MCP-1:
22.4–41,873 pg/mL; KC/CXCL1: 3.2–182 pg/mL and LTB4: 3.9–500 pg/mL. Toxins 2019, 11, x FOR PEER REVIEW
5 of 13 Figure 2. Effects of curine pre-treatment on in vivo cytokine production 4h after LPS challenge. Concentrations of interleukin (IL)-1β (A), IL-6 (B), tumor necrosis factor (TNF)-α (C), CCL2/monocyte
chemotactic protein (MCP)-1 (D), keratinocyte-derived chemokine (KC/CXCL-1) (E) and leukotriene
B4 (LTB4)(F) in the pleural lavages of C57Bl/6 mice orally pre-treated with curine (2.5 mg/kg) or
dexamethasone (2 mg/kg). These results are expressed as the mean ± SD of at least 6 animals. +
significant difference (p < 0.05) from the unchallenged group; * significant difference (p < 0.05) from
the untreated LPS-challenged group. Statistical significance was determined with one-way ANOVA
and post hoc Tukey test. Assay range of IL-1β: 10.36–60,631 pg/mL; IL-6: 0.74–12,053 pg/mL; TNF-α:
5.86–59,626 pg/mL; CCL2/MCP-1: 22.4–41,873 pg/mL; KC/CXCL1: 3.2–182 pg/mL and LTB4: 3.9–500
/
L
Figure 2. Effects of curine pre-treatment on in vivo cytokine production 4h after LPS challenge. 2.4. Effects of Calcium Influx Inhibition on Macrophage Activation
2.4. Effects of Calcium Influx Inhibition on Macrophage Activation 2.4. Effects of Calcium Influx Inhibition on Macrophage Activation
2.4. Effects of Calcium Influx Inhibition on Macrophage Activation 2.4. Effects of Calcium Influx Inhibition on Macrophage Activation
2.4. Effects of Calcium Influx Inhibition on Macrophage Activation 2.4. Effects of Calcium Influx Inhibition on Macrophage Activation
2.4. Effects of Calcium Influx Inhibition on Macrophage Activation Our group recently demonstrated that curine and verapamil presented anti-allergic effects that
might be associated with calcium signaling modulation [11,12]. To evaluate the importance of
calcium influx inhibition on macrophage activation, as well as its potential participation in curine
anti-inflammatory mechanisms, we made a comparison between the effects of curine and verapamil
on macrophage activation. As shown in Figure 4, treatment with curine or verapamil at the same
concentration induced a similar inhibition in IL-1β (A) and TNF-α (B) production, which suggests that
the effects of curine on macrophage activation might be dependent on calcium influx inhibition. Our group recently demonstrated that curine and verapamil presented anti-allergic effects that
might be associated with calcium signaling modulation [11,12]. To evaluate the importance of
calcium influx inhibition on macrophage activation, as well as its potential participation in curine
anti-inflammatory mechanisms, we made a comparison between the effects of curine and verapamil
on macrophage activation. As shown in Figure 4, treatment with curine or verapamil at the same
concentration induced a similar inhibition in IL-1β (A) and TNF-α (B) production, which suggests
that the effects of curine on macrophage activation might be dependent on calcium influx inhibition. Figure 4. Effects of calcium influx inhibition on macrophage activation. Concentrations of IL-1β (A),
TNF-α (B) in the supernatants of peritoneal macrophage cultures treated with curine or verapamil (1
or 10 μM) were evaluated 4 h after LPS challenge. Results are expressed as means ± SEM from two
experiments performed in triplicate. + significant difference (p < 0.05) from the unchallenged cells; *
significant difference (p < 0.05) from the untreated LPS-challenged cells. Statistical significance was
determined with one-way ANOVA and post hoc Tukey test. Assay range of IL-1β: 15.6–1000 pg/mL
and TNF-α: 31.3–2000 pg/mL. Figure 4. Effects of calcium influx inhibition on macrophage activation. Concentrations of IL-1β (A),
TNF-α (B) in the supernatants of peritoneal macrophage cultures treated with curine or verapamil
(1 or 10 µM) were evaluated 4 h after LPS challenge. Results are expressed as means ± SEM from two
experiments performed in triplicate. y
inflammatory mediator production.
2.3. Curine Inhibits Macrophage Activation in Vitro Statistical significance was determined with one-way ANOVA and post hoc Tukey
test. Assay range of IL-1β and IL-6: 15.6–1000 pg/mL and TNF-α: 31.3–2000 pg/mL. Figure 3. Effects of curine treatment on macrophage activation 4 h after LPS challenge. Concentrations
of IL-1β (A), IL-6 (B) and TNF-α (C) in the supernatants of peritoneal macrophage cultures treated
with curine (1 or 10 µM) 4h after the stimulus with LPS (500 ng/mL). Results are expressed as
means ± Standard Error of Mean (SEM) of two experiments performed in triplicate. + significant
difference (p < 0.05) from the unchallenged cells; * significant difference (p < 0.05) from the untreated
LPS-challenged cells. Statistical significance was determined with one-way ANOVA and post hoc
Tukey test. Assay range of IL-1β and IL-6: 15.6–1000 pg/mL and TNF-α: 31.3–2000 pg/mL. Figure 3 Effects of curine treatment on macrophage activation 4 h after LPS challenge Concentrations
Figure 3. Effects of curine treatment on macrophage activation 4 h after LPS challenge. Concentratio Figure 3. Effects of curine treatment on macrophage activation 4 h after LPS challenge. Concentrations
of IL-1β (A), IL-6 (B) and TNF-α (C) in the supernatants of peritoneal macrophage cultures treated
with curine (1 or 10 μM) 4h after the stimulus with LPS (500 ng/mL). Results are expressed as means
± Standard Error of Mean (SEM) of two experiments performed in triplicate. + significant difference
(p < 0.05) from the unchallenged cells; * significant difference (p < 0.05) from the untreated LPS-
challenged cells. Statistical significance was determined with one-way ANOVA and post hoc Tukey
test. Assay range of IL-1β and IL-6: 15.6–1000 pg/mL and TNF-α: 31.3–2000 pg/mL. Figure 3. Effects of curine treatment on macrophage activation 4 h after LPS challenge. Concentrations
of IL-1β (A), IL-6 (B) and TNF-α (C) in the supernatants of peritoneal macrophage cultures treated
with curine (1 or 10 µM) 4h after the stimulus with LPS (500 ng/mL). Results are expressed as
means ± Standard Error of Mean (SEM) of two experiments performed in triplicate. + significant
difference (p < 0.05) from the unchallenged cells; * significant difference (p < 0.05) from the untreated
LPS-challenged cells. Statistical significance was determined with one-way ANOVA and post hoc
Tukey test. Assay range of IL-1β and IL-6: 15.6–1000 pg/mL and TNF-α: 31.3–2000 pg/mL. Toxins 2019, 11, 705
(p < 0.05) fro
challenged ce 5 of 12
S
ey 2.4. Effects of Calcium Influx Inhibition on Macrophage Activation
2.4. Effects of Calcium Influx Inhibition on Macrophage Activation + significant difference (p < 0.05) from the unchallenged cells;
* significant difference (p < 0.05) from the untreated LPS-challenged cells. Statistical significance was
determined with one-way ANOVA and post hoc Tukey test. Assay range of IL-1β: 15.6–1000 pg/mL
and TNF-α: 31.3–2000 pg/mL. 2 5 C
i
I hibi
Ni i O id (NO) P
d
i
b R
l i
iNOS E
i
i
M
h Figure 4 Effects of calcium influx inhibition on macrophage activation Concentrations of IL 1β (A)
Figure 4. Effects of calcium influx inhibition on macrophage activation. Concentrations of IL-1β (A), Figure 4. Effects of calcium influx inhibition on macrophage activation. Concentrations of IL-1β (A),
TNF-α (B) in the supernatants of peritoneal macrophage cultures treated with curine or verapamil (1
or 10 μM) were evaluated 4 h after LPS challenge. Results are expressed as means ± SEM from two
experiments performed in triplicate. + significant difference (p < 0.05) from the unchallenged cells; *
significant difference (p < 0.05) from the untreated LPS-challenged cells. Statistical significance was
determined with one-way ANOVA and post hoc Tukey test. Assay range of IL-1β: 15.6–1000 pg/mL
and TNF α: 31 3 2000 pg/mL
Figure 4. Effects of calcium influx inhibition on macrophage activation. Concentrations of IL-1β (A),
TNF-α (B) in the supernatants of peritoneal macrophage cultures treated with curine or verapamil
(1 or 10 µM) were evaluated 4 h after LPS challenge. Results are expressed as means ± SEM from two
experiments performed in triplicate. + significant difference (p < 0.05) from the unchallenged cells;
* significant difference (p < 0.05) from the untreated LPS-challenged cells. Statistical significance was
determined with one-way ANOVA and post hoc Tukey test. Assay range of IL-1β: 15.6–1000 pg/mL
and TNF-α: 31.3–2000 pg/mL. 3. Discussion
3. Discussion The bisbenzylisoquinoline alkaloids (BBA) constitute a group of secondary metabolites that
exert numerous biological effects. The medicinal properties of BBA-rich plants and isolated
compounds have been demonstrated in different experimental models, indicating that this class of
substances presents promising anti-allergic and anti-inflammatory activities [15,16]. Our group
found that curine, a BBA identified as the main constituent of Chondrodendron platyphyllum
(Menispermaceae), is an orally active alkaloid with potent immunomodulatory effects and low
toxicity
which therefore makes it a promising candidate in the development of new anti-
The bisbenzylisoquinoline alkaloids (BBA) constitute a group of secondary metabolites that exert
numerous biological effects. The medicinal properties of BBA-rich plants and isolated compounds
have been demonstrated in different experimental models, indicating that this class of substances
presents promising anti-allergic and anti-inflammatory activities [15,16]. Our group found that curine,
a BBA identified as the main constituent of Chondrodendron platyphyllum (Menispermaceae), is an orally
active alkaloid with potent immunomodulatory effects and low toxicity, which therefore makes it a
promising candidate in the development of new anti-inflammatory drugs [16]. toxicity, which therefore makes it a promising candidate in the development of new anti-
inflammatory drugs [16]. In a worldwide context, questions have been raised concerning the efficacy and safety of
currently available medications [17]. Although corticosteroids, non-steroidal anti-inflammatory
drugs (NSAIDs) and other conventional drugs effectively relieve most inflammatory symptoms, in
specific conditions these are not effective or can cause significant side effects [18] Accordingly the
In a worldwide context, questions have been raised concerning the efficacy and safety of currently
available medications [17]. Although corticosteroids, non-steroidal anti-inflammatory drugs (NSAIDs)
and other conventional drugs effectively relieve most inflammatory symptoms, in specific conditions
these are not effective, or can cause significant side effects [18]. Accordingly, the development of novel,
safe and effective drugs is imperative to improving anti-inflammatory therapy. specific conditions these are not effective, or can cause significant side effects [18]. Accordingly, the
development of novel, safe and effective drugs is imperative to improving anti-inflammatory
therapy. Although inflammatory diseases differ in various aspects, some evidence has consistently
shown that macrophages and neutrophils perform essential functions in the initiation and
development of many inflammatory conditions [19]. The present mouse model of LPS-induced
inflammation, used to characterize the effects of curine on macrophage activation and neutrophil
recruitment, demonstrated new anti-inflammatory properties of this alkaloid compound. a
pg/
2.5. Curine Inhibits Nitric Oxide (NO) Production by Regulating iNOS Expression in Macrophages Results are expressed as means ± SEM from two experiments performed in triplicate. +
significant difference (p < 0.05) from the unchallenged cells; * significant difference (p < 0.05) from the
untreated LPS-challenged cells. Statistical significance was determined with one-way ANOVA and
post hoc Tukey test. Figure 5. Effects of curine on nitric oxide (NO) production and iNOS expression. Concentrations of
nitrite (A) in the supernatants of peritoneal macrophages treated with curine or verapamil (1 or 10
µM) 24 h after LPS challenge. iNOS expression (B) was analyzed by Western blotting 18 h after LPS
stimulus. Results are expressed as means ± SEM from two experiments performed in triplicate. +
significant difference (p < 0.05) from the unchallenged cells; * significant difference (p < 0.05) from the
untreated LPS-challenged cells. Statistical significance was determined with one-way ANOVA and
post hoc Tukey test. a
pg/
2.5. Curine Inhibits Nitric Oxide (NO) Production by Regulating iNOS Expression in Macrophages pg/
I h b
O d ( O)
d
b
l
O E
h
2.5. Curine Inhibits Nitric Oxide (NO) Production by Regulating iNOS Expression in Macrophages 2.5. Curine Inhibits Nitric Oxide (NO) Production by Regulating iNOS Expression in Macrophages
It has been demonstrated that LPS stimulates the synthesis of NO via IL-1β, TNF-α, and IFN-γ [14]. Figure 5A illustrates the effects of curine on NO production. The supernatants of LPS-stimulated
peritoneal macrophages presented significantly increased concentrations of nitrite, which was
significantly decreased by curine treatment. Moreover, while LPS stimulation was found to induce
increased expression of iNOS by macrophages, treatment with curine or verapamil reduced the
expression of this enzyme (Figure 5B). These findings suggest that the inhibition of NO production
through the curine-mediated regulation of iNOS expression could be associated with calcium
influx inhibition. 6 of 12
uction
influx Toxins 2019, 11, 705
expression of thi
through the curin hibition. Figure 5. Effects of curine on nitric oxide (NO) production and iNOS expression. Concentrations of
nitrite (A) in the supernatants of peritoneal macrophages treated with curine or verapamil (1 or 10
μM) 24h after LPS challenge. iNOS expression (B) was analyzed by Western blotting 18 h after LPS
stimulus. Results are expressed as means ± SEM from two experiments performed in triplicate. +
significant difference (p < 0.05) from the unchallenged cells; * significant difference (p < 0.05) from the
untreated LPS-challenged cells. Statistical significance was determined with one-way ANOVA and
post hoc Tukey test. Figure 5. Effects of curine on nitric oxide (NO) production and iNOS expression. Concentrations of
nitrite (A) in the supernatants of peritoneal macrophages treated with curine or verapamil (1 or 10
µM) 24 h after LPS challenge. iNOS expression (B) was analyzed by Western blotting 18 h after LPS
stimulus. Results are expressed as means ± SEM from two experiments performed in triplicate. +
significant difference (p < 0.05) from the unchallenged cells; * significant difference (p < 0.05) from the
untreated LPS-challenged cells. Statistical significance was determined with one-way ANOVA and
post hoc Tukey test. Figure 5. Effects of curine on nitric oxide (NO) production and iNOS expression. Concentrations of
nitrite (A) in the supernatants of peritoneal macrophages treated with curine or verapamil (1 or 10
μM) 24h after LPS challenge. iNOS expression (B) was analyzed by Western blotting 18 h after LPS
stimulus. 3. Discussion
3. Discussion On the other hand, the release of products involved in monocyte/macrophage influx and activation,
such as MCP-1, by neutrophils can also affect macrophage function [29]. Here, MCP-1 production was
found to be significantly inhibited by curine, which suggests that cross-talk between neutrophils and
macrophages could be impaired by curine treatment. Our previous work has demonstrated that curine can exert anti-allergic effects associated with
the inhibition of calcium influx [11,12,16]. Using tracheal rings preparations kept in Ca2+-free
medium, depolarized with KCl and stimulated with cumulative addition of Ca2+, Ribeiro-Filho and
colleagues [11] demonstrated ex-vivo that curine pre-treatment significantly inhibited calcium-induced
trachea contractile response, suggesting that curine inhibits the influx of calcium via blockade of
voltage-dependent Ca2+ channels in the rat tracheal smooth muscle. In addition, Medeiros and
collaborators [10] demonstrated that curine decreased intracellular Ca2+ transients in A7r5 cells, which
indicated that this alkaloid can have a direct inhibitory effect on L-type Ca2+ channels in vascular
smooth muscle cells. Here we hypothesized that calcium influx inhibition would impair macrophage
activation, which could be partially responsible for the anti-inflammatory effects associated with
curine treatment. To confirm this, we compared the impact of verapamil and curine on cytokine
production by LPS-stimulated macrophages, as a parameter to evaluate macrophage activation. When
administered under identical conditions (concentrations and time of pre-treatment), verapamil and
curine demonstrated similar inhibitory effects, suggesting that the modulation of calcium influx is
indeed a potential mechanism by which curine inhibits the inflammatory response. Curine was also found to significantly decrease nitrite concentrations in the supernatants of
macrophages stimulated with LPS, indicating that nitric oxide (NO) production was inhibited in vitro. This finding adds to the role played by curine in macrophage activation, since NO production
is a hallmark of activated macrophages [14]. Importantly, recent reports have demonstrated that
NO, in association with other ROS, is critically involved in neutrophil extracellular trap (NET)
formation [30]. Curiously, it was also recently reported that neutrophils might participate in the
resolution of inflammation mediated by reparative macrophages [5]. It has been well established that
LPS and inflammatory cytokines stimulate NO production by inducing iNOS expression [31]. Here,
we demonstrated that curine and verapamil inhibited the expression of iNOS in LPS-stimulated murine
macrophages, which thereby provides evidence of the inhibitory effect of these drugs on NO production. 3. Discussion
3. Discussion Our
findings indicate that orally administered curine inhibited the recruitment of neutrophils to the
pleural cavity of LPS-challenged mice Accordingly curine treatment reduced levels of IL-6 TNF-α
Although inflammatory diseases differ in various aspects, some evidence has consistently shown
that macrophages and neutrophils perform essential functions in the initiation and development of
many inflammatory conditions [19]. The present mouse model of LPS-induced inflammation, used to
characterize the effects of curine on macrophage activation and neutrophil recruitment, demonstrated
new anti-inflammatory properties of this alkaloid compound. Our findings indicate that orally
administered curine inhibited the recruitment of neutrophils to the pleural cavity of LPS-challenged
mice. Accordingly, curine treatment reduced levels of IL-6, TNF-α, CCL2/MCP-1, and LTB4 in the
pleural lavages of these animals, providing evidence of a link between the inhibitory effect of this
alkaloid on neutrophil in association with the production of inflammatory mediators. pleural cavity of LPS-challenged mice. Accordingly, curine treatment reduced levels of IL-6, TNF-α,
CCL2/MCP-1, and LTB4 in the pleural lavages of these animals, providing evidence of a link between
Neutrophils can rapidly migrate to sites of inflammation [20] in response to inflammatory signals
such as chemokines and cytokines produced by resident cells [1]. The chemokine CXCL1 (also known
as KC in mice) plays a critical role in neutrophil recruitment and activation by signaling via CXCR2 on
these cells [21]. Previous studies have also demonstrated that LTB4 acts as an essential chemotactic
agent [22,23] by stimulating the recruitment of neutrophils via BLT1 receptor activation [24]. It follows
that the inhibitory effect of curine on KC/CCL1 and LTB4 production might therefore directly impact
neutrophil recruitment. Additionally, LPS-induced cytokines, including TNF-α and IL-β, can directly Toxins 2019, 11, 705 7 of 12 affect neutrophil recruitment by stimulating the expression of adhesion molecules, including selectins
and integrins [25–27]. As activated macrophages are one of the most critical sources of mediator production in the
early phase of inflammation [28], we hypothesized that the inhibition of neutrophil recruitment and
cytokine production in the pleural lavage induced by curine might be associated with decreased
macrophage activation. Our data show that the production of IL-6, IL-β, and TNF-α was inhibited in
murine macrophages stimulated with curine in vitro, which indicates that this compound may regulate
neutrophil recruitment by inhibiting the production of key inflammatory mediators in macrophages. 3. Discussion
3. Discussion curine affects signaling pathways involved in lipid mediator synthesis, possibly due to interference
in leukocyte activation. Finally, the present findings suggest that the anti-inflammatory and analgesic
effects of curine are also related to the inhibition of critical mediators of inflammatory pain, including
IL 1β TNF
d NO [34 36] y p
g
In conclusion, curine was shown to exert anti-inflammatory effects associated with the inhibition
of macrophage activation and neutrophil recruitment, as well as reduced production of inflammatory
cytokines, LTB4, NO and the modulation of Ca2+ influx (Figure 6). IL-1β, TNF-α, and NO [34–36]. In conclusion, curine was shown to exert anti-inflammatory effects associated with the inhibition
of macrophage activation and neutrophil recruitment, as well as reduced production of inflammatory
k
O
d h
d l
f
fl In conclusion, curine was shown to exert anti-inflammatory effects associated with the inhibition
of macrophage activation and neutrophil recruitment, as well as reduced production of inflammatory
cytokines, LTB4, NO and the modulation of Ca2+ influx (Figure 6). IL-1β, TNF-α, and NO [34–36]. In conclusion, curine was shown to exert anti-inflammatory effects associated with the inhibition
of macrophage activation and neutrophil recruitment, as well as reduced production of inflammatory
k
O
d h
d l
f
fl okines, LTB4, NO and the modulation of Ca influx (Figure 6). Figure 6. Schematic diagram illustrating a potential mechanism of action by curine on macrophage
activation and neutrophil recruitment. The inhibition of calcium influx could be affecting signaling
pathways associated with the synthesis of NO, LTB4 and cytokines, which could impair neutrophil
recruitment. Importantly, the possibility that curine may interfere with other cell targets cannot be
ruled out. Figure 6. Schematic diagram illustrating a potential mechanism of action by curine on macrophage
activation and neutrophil recruitment. The inhibition of calcium influx could be affecting signaling
pathways associated with the synthesis of NO, LTB4 and cytokines, which could impair neutrophil
recruitment. Importantly, the possibility that curine may interfere with other cell targets cannot be
ruled out. (
g
) Figure 6. Schematic diagram illustrating a potential mechanism of action by curine on macrophage
activation and neutrophil recruitment. The inhibition of calcium influx could be affecting signaling
pathways associated with the synthesis of NO, LTB4 and cytokines, which could impair neutrophil
recruitment. Importantly, the possibility that curine may interfere with other cell targets cannot be
ruled out. Figure 6. 3. Discussion
3. Discussion Schematic diagram illustrating a potential mechanism of action by curine on macrophage
activation and neutrophil recruitment. The inhibition of calcium influx could be affecting signaling
pathways associated with the synthesis of NO, LTB4 and cytokines, which could impair neutrophil
recruitment. Importantly, the possibility that curine may interfere with other cell targets cannot be
ruled out. 3. Discussion
3. Discussion This finding further corroborates the impact of curine on TNF-α and IL-1β production and lends
support to the notion that curine negatively modulates macrophage activation through the inhibition
of a calcium-dependent response. In fact, studies have shown that calcium-dependent signaling
potentiates macrophage activation [32] and stimulates proinflammatory cytokine production [33] in
these cells. Therefore, further studies addressing the role of curine in modulating calcium influx and
associated signaling pathways in immune cells, including macrophages, will contribute to characterize
the molecular mechanism of action of curine as an anti-inflammatory compound. We previously reported that a single dose of curine administered orally as pre-treatment exhibited
anti-inflammatory and analgesic effects in mice [13]. Our investigation of the analgesic effects of curine
revealed that instead of acting by way of neurogenic mechanisms, curine acts through anti-inflammatory
mechanisms associated with the inhibition of PGE2 production. These findings are in line with our
previous work which demonstrated that curine inhibited the synthesis of cysteinyl leukotrienes and
PGD2 by mast cells [12]. Taken together, these findings indicate that curine affects signaling pathways 8 of 12
These
nthesis Toxins 2019, 11, 705
through anti-inf
findings are in li involved in lipid mediator synthesis, possibly due to interference in leukocyte activation. Finally,
the present findings suggest that the anti-inflammatory and analgesic effects of curine are also related
to the inhibition of critical mediators of inflammatory pain, including IL-1β, TNF-α, and NO [34–36]. In conclusion, curine was shown to exert anti-inflammatory effects associated with the inhibition
of macrophage activation and neutrophil recruitment, as well as reduced production of inflammatory
cytokines, LTB4, NO and the modulation of Ca2+ influx (Figure 6). curine affects signaling pathways involved in lipid mediator synthesis, possibly due to interference
in leukocyte activation. Finally, the present findings suggest that the anti-inflammatory and analgesic
effects of curine are also related to the inhibition of critical mediators of inflammatory pain, including
IL-1β, TNF-α, and NO [34–36]. In conclusion, curine was shown to exert anti-inflammatory effects associated with the inhibition
of macrophage activation and neutrophil recruitment, as well as reduced production of inflammatory
cytokines LTB4 NO and the modulation of Ca2+ influx (Figure 6) involved in lipid mediator synthesis, possibly due to interference in leukocyte activation. Finally,
the present findings suggest that the anti-inflammatory and analgesic effects of curine are also related
to the inhibition of critical mediators of inflammatory pain, including IL-1β, TNF-α, and NO [34–36]. 4.5. Leukocyte Counting Leukocytes were counted under light microscopy after diluting the pleural lavage samples in Turk
fluid (2% acetic acid). Differential counts were performed under an objective lens at 100× magnification
after staining by the May–Grunwald–Giemsa method. 4.1. Preparation of Curine Solution Curine was purified from the total tertiary alkaloid fraction (TTA) obtained from the root bark
of Chondrodendron platyphyllum Hil St. (Miers) as previously described [13]. The TTA was submitted
to column chromatography followed by thin-layer chromatography (TLC) purification, from which
curine was obtained in the form of a crystal. The chemical structure was analyzed by spectroscopy and
comparison with the literature data [37]. The purity of curine was analyzed by NMR 13C and NMR 1H
(CDCl3, 400 MHz) data from the crystals when compared to the literature data [13] and the substance
was considered spectroscopically pure. After purification, 1 mg of the crystal was dissolved in 50 µL
of 1 N HCl and 500 µL of distilled water. The pH was adjusted (between 7–8) with 1 N NaOH and
volume was adjusted to 1000 µL, with dilutions performed in phosphate-buffered saline (PBS). The use
of C. platyphyllum in the present study was registered in the National System of Genetic Heritage
Management and Associated Traditional Knowledge (SisGen, protocol A84A87E). Toxins 2019, 11, 705 9 of 12 4.3. Treatments For in vivo experimentation, animals (6–8 per group) were randomly assigned by body weight
for single oral pre-treatment with curine (2.5 mg/kg), dexamethasone (2 mg/kg) or PBS (negative
control). All treatments were performed by simple awake gavage [38,39] 1 h prior to LPS challenge. Briefly, treatments (0.1 mL/10 g body weight) were administered using a 31 mm long, 1 mm diameter
reusable curved stainless-steel feed needle containing a 1.7 mm ball at the tip (Bronther, Ribeirão Preto,
SP, Brazil). The gavage needle was gently inserted into the oral cavity, ensuring the correct passage
through the esophagus. For in vitro experiments, cells were treated with curine or verapamil 1 or
10 µM) or PBS 1 h before stimulation. Curine dosage (2.5 mg/kg) was based on results obtained by
Ribeiro-Filho and colleagues [11]. 4.2. Animals Male C57Bl/6 mice (age 6–8 weeks) weighing 20–30 g obtained from the Oswaldo Cruz (Fiocruz,
Rio de Janeiro, Brazil) were maintained with food and water ad libitum in cages at room temperature
ranging from 22 to 24 ◦C under a 12 h light/dark cycle. This study was carried out in accordance
with the recommendations established by the Brazilian National Council for the Control of Animal
Experimentation (CONCEA). All experimental protocols were approved by the Animal Welfare
Committee of the Oswaldo Cruz Foundation (CEUA/FIOCRUZ-RJ, protocol #L-002/08). 4.6. Peritoneal Macrophage Cultures Peritoneal macrophages from C57Bl/6 mice were obtained four days after the injection of 4%
thioglycollate. The peritoneal cavity was washed with RPMI 1640 medium supplemented with
100 U/mL penicillin and 100 µg/mL streptomycin (Thermo Fisher Scientific, Waltham, MA, USA). Cells
were adjusted to 2 × 106/mL and plated on 24-well culture plates (500 µL) at 37 ◦C under 4% CO2
overnight. Following incubation, cells were pre-treated with curine, or alternatively with verapamil,
(both at 1 or 10 µM) and stimulated with LPS (500 ng/mL) 1 h later. Of note, curine pre-treatment (at
either 1 or 10 µM) did not affect cell viability, which was higher than 90% in all experiments. 4.4. LPS-Induced Pleurisy Male C57Bl/6 mice (n = 6–8) were orally pre-treated with curine (2.5 mg/kg) or dexamethasone
(2 mg/Kg) 1 h prior to the pleurisy protocol [40]. Animals were anesthetized with isoflurane (Forane™,
Abbott, São Paulo, SP, Brazil) and challenged through an intrathoracic (i.t) injection of LPS (250 ng/cavity)
dissolved in 100 µL of PBS. A group of mice receiving the same volume of PBS was used as the
control. Four hours following the LPS injection, the animals were euthanized by CO2 and the pleura
was surgically exposed. Pleural lavage was collected by washing the pleural cavity with 1 mL of
heparinized PBS (20 U/mL). 4.10. Statistical Analyses Data were analyzed by one-way ANOVA followed by Tukey’s post-test using GraphPad Prism
software version 5.02 (GraphPad, San Diego, CA, USA, 2016). Values of in vivo experiments are
expressed as means ± SD and values of in vitro assays as means ± Standard Error of Mean (SEM). Statistical significance was considered when p < 0.05. Author Contributions: Conceptualization: J.R.-F., P.T.B.; experiments were conducted by: J.R.-F., F.C.L., A.S.C.,
A.d.B.C., J.A.A. and E.F.d.A.; data analysis: J.R.-F., P.T.B. and M.R.P.; contribution with reagents/materials/analytical
tools: C.d.S.D.; writing of manuscript: J.R.-F.; critical review: P.T.B. and M.R.P. Funding: This work was supported by PRONEX/MCT, CNPq, FAPERJ and INCT-Cancer. Funding: This work was supported by PRONEX/MCT, CNPq, FAPERJ and INCT-Cancer. Acknowledgments: The authors would like to thank Cristiane Zanon de Sousa for technical assistance and are
grateful to Andris K. Walter for English language revision and copyediting assistance. Acknowledgments: The authors would like to thank Cristiane Zanon de Sousa for technical assistance and are
grateful to Andris K. Walter for English language revision and copyediting assistance. Conflicts of Interest: The authors declare no conflicts of interest. Conflicts of Interest: The authors declare no conflicts of interest. Conflicts of Interest: The authors declare no conflicts of interest. 4.9. SDS-PAGE and Western Blotting Eighteen hours after LPS stimulus, Western blot was used to analyze iNOS expression. Briefly, cells
were washed in PBS buffer and homogenized with 10 mM Tris-HCl buffer (pH 7.4), 150 mM NaCl, 0.5%
triton X-100, 10% glycerol (v/v), 0.1 mM EDTA, 1 mM Dithiothreitol (DTT) and a cocktail of protease
inhibitors (Roche Diagnostics GmbH, Mannheim, Germany). Proteins from the cell homogenate were
separated by polyacrylamide gels in the presence of 10% SDS at a constant current of 16 mA. Full-range
rainbow molecular weight markers (RPN800E, GE Healthcare Life Sciences, Piscataway, NJ, USA)
were used as a relative molecular mass standard. After running the gels, samples were transferred at
200 mA (2.7 mA/cm2) to a nitrocellulose membrane using 25 mM Tris–HCl and 192 mM glycine, pH 8.3,
at 4 ◦C for 120 min. The membranes were then blocked with Tris-buffered saline (TBS)-0.5 tween 20
and 5% milk for 1 h at room temperature, incubated with a polyclonal antibody (1:1000) against iNOS
(BD-610333) for 18 h at 4 ◦C, followed by incubation with a secondary antibody (anti-rabbit IgG-HRP,
PI.1000, Vector Laboratories) for 1 h at room temperature. Reactions were developed using a Super
Signal West Pico Chemiluminescent Substrate (Thermo Fisher Scientific, Rockford, IL, USA). 4.7. Cytokine and LTB4 Analysis Samples of the pleural lavage were centrifuged at 500 g for 8 min at 4 ◦C to obtain the supernatants. The concentrations of IL-1β, IL-6, TNF-α, CCL2/MCP-1 and KC/CXCL-1 in these supernatants were
determined using a multiplex fluorescent microbead immunoassay (Bio-Rad Laboratories, Hercules,
CA, USA). Cytokine levels were quantified using a Luminex technology (Bio-Plex Workstation; Bio-Rad
Laboratories, Hercules, CA, USA). Data analysis was performed using Bio-Plex software (Bio-Rad
Laboratories, Hercules, CA, USA). The concentrations of LTB4 in the pleural lavages, as well as 10 of 12 Toxins 2019, 11, 705 cytokines in the supernatants of macrophage cultures, were analyzed using ELISA kits in accordance
with the manufacturer’s instructions (Cayman Chemical, Ann Arbor, MI, USA: LTB4 and R&D Systems,
Minneapolis, MN, USA: Cytokines). All analyses were performed 4 h after stimulation with LPS. 4.8. Nitrite Quantification For NO2−determination, 100 µL of macrophage culture supernatant was removed 24 h after
LPS stimulus and incubated with Griess reagent (1% sulfanilamide and 0.1% naphthylenediamine
hydrochloride in 2.5% H3PO4) for 10 min at room temperature. The readings were performed at 540 nm
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Characterization of a Novel Cotton Subtilase Gene GbSBT1 in Response to Extracellular Stimulations and Its Role in Verticillium Resistance
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RESEARCH ARTICLE OPEN ACCESS Citation: Duan X, Zhang Z, Wang J, Zuo K (2016)
Characterization of a Novel Cotton Subtilase Gene
GbSBT1 in Response to Extracellular Stimulations
and Its Role in Verticillium Resistance. PLoS ONE 11
(4): e0153988. doi:10.1371/journal.pone.0153988 Editor: Xianlong Zhang, National Key Laboratory of
Crop Genetic Improvement, CHINA Editor: Xianlong Zhang, National Key Laboratory of
Crop Genetic Improvement, CHINA Crop Genetic Improvement, CHINA
Received: February 1, 2016
Accepted: April 6, 2016
Published: April 18, 2016
Copyright: © 2016 Duan et al. This is an open
access article distributed under the terms of the
Creative Commons Attribution License, which permits
unrestricted use, distribution, and reproduction in any
medium, provided the original author and source are
credited. Crop Genetic Improvement, CHINA
Received: February 1, 2016
Accepted: April 6, 2016
Published: April 18, 2016
Copyright: © 2016 Duan et al. This is an open
access article distributed under the terms of the
Creative Commons Attribution License, which permits
unrestricted use, distribution, and reproduction in any
medium, provided the original author and source are
credited. Accepted: April 6, 2016 Published: April 18, 2016 Published: April 18, 2016 Copyright: © 2016 Duan et al. This is an open
access article distributed under the terms of the
Creative Commons Attribution License, which permits
unrestricted use, distribution, and reproduction in any
medium, provided the original author and source are
credited. Data Availability Statement: All relevant data are
within the paper and its Supporting Information files. Characterization of a Novel Cotton Subtilase
Gene GbSBT1 in Response to Extracellular
Stimulations and Its Role in Verticillium
Resistance Xingpeng Duan1, Zhidong Zhang1, Jin Wang2, Kaijing Zuo1* 1 Plant Biotechnology Research Center, School of Agriculture and Life Sciences, Shanghai Jiao Tong
University, Shanghai, China, 2 Biotechnology Research Institute, Chinese Academy of Agricultural
Sciences, Beijing, China a1111 * kjzuo@sjtu.edu.cn Abstract Verticillium wilt is a disastrous vascular disease in plants caused by Verticillium dahliae. Verticillium pathogens secrete various disease-causing effectors in cotton. This study iden-
tified a subtilase gene GbSBT1 from Gossypium babardense and investigated the roles
against V. dahliae infection. GbSBT1 gene expression is responsive to V. dahliae defense
signals, jasmonic acid, and ethylene treatments. Moreover, the GbSBT1 protein is mainly
localized in the cell membrane and moves into the cytoplasm following jasmonic acid and
ethylene treatments. Silencing GbSBT1 gene expression through virus-induced GbSBT1
gene silencing reduced the tolerance of Pima-90 (resistant genotype), but not facilitated the
infection process of V. dahliae in Coker-312 (sensitive genotype). Moreover, the ectopically
expressed GbSBT1 gene enhanced the resistance of Arabidopsis to Fusarium oxysporum
and V. dahliae infection and activated the expression levels of defense-related genes. Fur-
thermore, pull-down, yeast two-hybrid assay, and BiFC analysis revealed that GbSBT1
interacts with a prohibitin (PHB)-like protein expressed in V. dahliae pathogens during infec-
tion. In summary, GbSBT1 recognizes the effector PHB protein secreted from V. dahliae
and is involved in Verticillium-induced resistance in cotton. Plant materials and pathogen culture Cotton seeds (G. barbadense variety Pima-90 and Gossypium hirsutum variety Coker-312)
were soaked in corrosive sublimate (1/1000, v/v) for 5 min and then washed three times with
sterile water. The aseptic seeds were grown in MS medium, and 1-week-old cotton seedlings
were used in subsequent experiments. Wild-type (WT; ecotype Columbia, Col-0) and trans-
genic Arabidopsis plants were grown in a greenhouse under long-day conditions (22°C, 16/8 h
light/dark). The defoliating isolate V991 of V. dahliae was grown on Czapek’s medium agar medium
(NaNO3, 0.3% w/v; MgSO4, 0.1% w/v; KH2PO4, 0.1% w/v; FeSO4, 0.0002% w/v; KCl, 0.1% w/v;
sucrose, 3% w/v; and agar 3% w/v; pH 6.0) for 7 days [15]. Conidial spores were harvested and
adjusted to 1 × 106 spores mL−1 with sterile distilled water. For F. oxysporum, the isolate was
inoculated on Bilai’s medium plates. After 4 days, conidial spores were harvested and adjusted
to 1 × 106 spores mL−1 with sterile distilled water. V. dahliae and F. oxysporum spore suspen-
sions were then used in the inoculation experiments in cotton and Arabidopsis, respectively. GbSBT1 Response to Stimulations and Verticillium salicylate-mediated innate immunity in host plants [4]. In the absence of its corresponding R
protein (Ve1), the Verticillium effector Ave1 functions in the apoplast of host plants to pro-
mote pathogenicity [3]. Nevertheless, the mechanism by which these effectors from Verticil-
lium pathogens are recognized or primed by host plants remains largely unknown. Competing Interests: The authors have declared
that no competing interests exist. Subtilisin-like proteases (subtilase) are extracellular and broad-spectrum serine proteases
containing a catalytic triad motif that consists of aspartate, histidine, and serine [8]. The subti-
lase gene family in Arabidopsis is composed of 56 members classified into six distinct subfami-
lies [9,10]. Recent studies have revealed that subtilase genes are specifically induced following
pathogenic infection and are hypothesized to be involved in pathogen recognition and immune
priming. SBT3.3 rapidly responds to pathogenic infection and activates innate immunity pre-
ceding the activation of SA responsive genes [11]. P69, the first identified plant subtilase to be
identified located in the vacuole and intercellular space, is specifically responsible for the in
vivo pathogenesis-associated processing of LRP (a leucine-rich repeat protein) [12,13]. Fur-
thermore, AtSBT1.1 specifically cleaves proAtPSK4 into the mature peptide growth factor
AtPSK4 to promote callus formation in culture and fungal resistance in Arabidopsis [14]. Com-
bined data indicate that subtilases function as catalytic proteases to recognize pathogenic
attacks [10]. This study characterized an extracellular subtilase gene (GbSBT1) from the Gossypium bar-
badense variety Pima-90. GbSBT1 knockdown reduced the defenses of G. barbadense against
V. dahliae attack, and the cotton plants exhibited a more severe wilting phenotype than the
control plants. Ectopically expressed GbSBT1 gene enhanced the disease tolerance of Arabidop-
sis against F. oxysporum and V. dahliae. Importantly, GbSBT1 interacted with the protein pro-
hibitin (PHB) secreted by V. dahliae. Our results proved that GbSBT1 functions as a sensing
protein during V. dahliae infection and activates downstream resistance response in cotton. Introduction Funding: This work was supported by the Basic
Research Project of MOST in China (973 Project)
(2013CB733903), the National High-Tech (863)
Program of China (No. 2012AA02A703), the Natural
Science Foundation of China (31071458) and China
Transgenic Program (2013AA08005-003). The
funders had no role in study design, data collection
and analysis, decision to publish, or preparation of
the manuscript. Verticillium wilt, a devastating disease of more than 200 crops worldwide, is typically caused
by the soil-borne fungus Verticillium dahliae [1]. V. dahliae secretes various effectors to evade
the guard system or destroy the innate immune system of host plants [2,3,4,5]. The V. dahliae
genome encodes approximately 780 secreted proteins containing signal peptides as candidate
effectors [6]. These secreted proteins, including diverse polysaccharide lyases, could cleave dif-
ferent forms of pectins in host plants to help Verticillium wilt-causing pathogens invade xylem
vessels [3,7]. V. dahliae also secretes isochorismatases (without signal peptide) that suppress PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 1 / 20 GbSBT1 gene isolation from sea-island cotton To clone the subtilase gene from sea-island cotton, first-strand cDNA was synthesized from
1 μg of total RNA by using PrimeScript RT reagents and a gDNA Eraser kit (TaKaRa, Japan). The synthesized first-strand cDNA served as the template in reverse transcript polymerase
chain reaction (RT-PCR). Gene-specific primers (S1 Table) were used to amplify the full-length
subtilase gene. The PCR reactions (25 μL) contained 10 ng first-strand cDNA, 1 U ExTaq, 10
pM dNTPs, 5 pM MgCl2, and 10 pM primers. RT-PCR was performed under the following 2 / 20 PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 GbSBT1 Response to Stimulations and Verticillium conditions: initial reaction at 94°C for 5 min, followed by 30 cycles at 94°C for 30 s, 54°C for 30
s, 72°C for 2 min and 30 s, and 72°C for 10 min. The amplified gene was cloned into the
pGEM-T vector (Clontech, USA) and then confirmed by DNA sequencing. The cloned subti-
lase gene was named GbSBT1. The conservative domains of GbSBT1 (the signal peptide, the putative inhibitor domain,
and the putative catalytic sites) were searched online through the domain Blast (www.ncbi. nlm.nih.gov). We aligned GbSBT1 with the subtilase proteins of three organisms by using Bioe-
dit to analyze the relationship of GbSBT1 with other subtilases. A neighbor-joining tree of dif-
ferent subtilases was constructed using MEGA 3.0 [16]. Expression pattern analysis of the GbSBT1 gene Cotton seeds were soaked in corrosive sublimate (1/1000, v/v) for 5 min and then washed three
times with sterile water. The aseptic seeds were grown in MS medium at the appropriate condi-
tion (28±2°C, 14/10 h light/dark), and 2-week-old cotton seedlings were used in subsequent
experiments. Sterilized young cotton seedlings were placed in V991 suspension liquid (1 × 106
conidia mL−1). Cotton roots were harvested at 2, 4, 6, 8, 12, 24, 36, and 48 h after inoculation. Cotton roots inoculated with 1/2MS medium without mycelia served as the control. Total
RNA was extracted using RNA prep Pure Plant Kit (DP441; Tiangen, China) in accordance
with the manufacturer’s instructions. The expression pattern of the GbSBT1 gene was analyzed using qRT-PCR in accordance
with the manual of SYBR premix Ex-Taq (Takara, Japan) in a DNA Engine Option 3 System
(MJ Research, USA). The ubiquitin gene was amplified using the primers as endogenous con-
trols. Changes in gene expression were calculated using the comparative ΔCT method. Each
sample was repeated at least thrice, and the amplification results were analyzed using the
Option 3 software. The primers used in qRT-PCR are listed in S1 Table. Subcellular localization of GbSBT1 protein To investigate the subcellular localization of the GbSBT1 protein, we cloned the coding region
of the GbSBT1 gene and its ORF without signal peptide-encoding nucleotides into the
pEG101-YFP vector to generate pEG101-(CaMV35S::GbSBT1 or GbSBT14SP-YFP::NOS) con-
structs. The recombinant plasmids were transformed into the Agrobacterium strain EHA105. Nearly fully expanded 3-week-old tobacco (Nicotiana benthamiana) leaves were infiltrated
with the Agrobacterium that was diluted into OD600 of 0.6–0.8 with the solution (10 mM
MES, pH 5.6; 10 mM MgCl2, and 150 mM acetosyringone). After 2–4 days, the fluorescence
signals in infiltrated leaves were analyzed through confocal microscopy (Leica TCS SP5). To determine whether or not GbSBT1 is localized on the cell membrane, we co-expressed
the GbSBT1-GFP fusion protein with plasma membrane integral protein PIP1-mCherry (cell
membrane-localized) in tobacco leaf epidermal cells according to the above-mentioned
method. Three days after infiltration, the tobacco leaves were cut into strips and then digested
into the protoplasts according to the reported method [17]. Confocal images of tobacco proto-
plasts expressing both GbSBT1-GFP and plasma membrane integral protein PIP1-mCherry
proteins were observed. Generation of transgenic GbSBT1 Arabidopsis plants and pathogen
resistance analysis Wild-type Arabidopsis thaliana plants (ecotype Columbia, Col-0) were grown in the green-
house under long-day conditions (22°C, 16/8 h light/dark) according to Huang et al. [20]. We
cloned the coding region of the GbSBT1 gene into the pDONR201 vector to generate the
pDONR-GbSBT1 construct. The GbSBT1 gene was then recombined into the pEG101 vector
via the Gateway LR recombination reaction (Invitrogen, CA, USA) to generate the pEG101-
35S::GbSBT1::NOS expression cassette. The construct was transferred into Agrobacterium
tumefaciens GV3101 and then introduced into Arabidopsis (ecotype Columbia) plants using
the floral dip method [21]. Fully mature seeds were collected and screened by 20 mg L−1
BSATA. Herbicide-resistant plants were confirmed via PCR and self-crossed to generate
homogenous T3 lines. The WT and transgenic lines were grown in a greenhouse for 2 weeks and then used for F. oxysporum and V. dahliae resistance analysis. The leaves of the WT and transgenic lines were
inoculated with 10 μL conidial suspensions (1 × 107 conidia ml−1) of F. oxysporum and V. dah-
liae. Distilled water with 0.2% Tween-20 without conidia served as the control. The severity of
the disease in the WT and transgenic GbSBT1 lines was assessed after a week. At least three bio-
logical replicates were performed in the F. oxysporum and V. dahliae resistance analysis. Virus-induced GbSBT1 gene silencing (VIGS) in cotton and V. dahliae
resistance analysis VIGS was used to investigate the function of the SBT1 gene in resistant (Pima-90) and sensitive
genotypes (Coker-312) as previously described method [18,19]. GbSBT1 and GhSBT1 gene-
specific fragments (corresponding to the 225th-448th amino acids (aa) in the GbSBT1 protein 3 / 20 PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 GbSBT1 Response to Stimulations and Verticillium and not detected in other genes at the genomic level) were amplified using gene-specific prim-
ers (S1 Table) and then inserted into the pDONR201 vector. The GbSBT1-specific fragment
was subsequently recombined with the pYL156 vector. Plasmids containing the binary TRV
vectors pTRV-RNA1, pTRV-RNA2, and pYL156 derivatives were transformed into Agrobacter-
ium strain GV3101. Agrobacterium strains with different derivatives were grown in LB medium
containing 50 μg mL−1 kanamycin, 50 μg mL−1 rifampicin, 10 mM MES, and 200 μM acetosyr-
ingone. The Agrobacterium cultures were harvested by centrifugation, resuspended in a solu-
tion (10 mM MES and 200 μM MgCl2), and then incubated for at least 3 h at room
temperature. The Agrobacterium harboring pTRV-RNA1 was mixed with the Agrobacterium harboring
pTRV-RNA2 and pTRV-GbSBT1 or pTRV-GhSBT1 at a 1:1 ratio. A needle-free injection
syringe was used to inject the mixed Agrobacterium cultures into the cotyledons of 2-week-old
cotton plants. The injected cotton plants were grown in a greenhouse for 2 weeks to repress
GbSBT1 or GhSBT1 gene expression. Conidial suspensions of V. dahliae isolate V991 (1 × 106 spores mL−1) were stem-inoculated
into both control and VIGS plants by using a syringe needle approximately 1 cm below the coty-
ledons [19]. After 7 days, the disease symptom, which was divided into 5 levels (level 0–4) on the
basis of severity, was investigated in the cotton seedlings. The plant disease indexes (DI) were
then calculated as follows: DI = (∑(n × number of seedlings at level n))/(4 × number of total seed-
lings × 100), where n denotes the severity of the disease level of the cotton seedlings [19]. VIGS
experiments were repeated at least thrice using more than 10 cotton plants for each constructs. To analyze V. dahliae infection in the control and VIGS, diaminobenzidine (DAB) staining
of cotton leaves was performed as previously described [19]. The DAB staining experiments
were repeated at least thrice. Identification of GbSBT1-interacting proteins through pull-down assay The Agrobacterium strain GV3101 containing the pEG101-35S::GbSBT1-GFP::Nos plasmid and
the control plasmid were transformed into cotton cotyledons for the GbSBT1-GFP fusion pro-
tein or GFP expression (control). After 12 h, V. dahliae V991 was inoculated into the cotyle-
dons of Coker-312. The total proteins of the cotton cotyledons expressing the GbSBT1-GFP
fusion protein or the GFP protein were extracted after 24 h for pull-down assay. This assay was
performed in accordance with the protocol of FOCUS Plant Proteome (Sangon, China), which
is briefly described below. The GFP monoclonal antibody was covalently linked to Sepharose beads and washed twice
with washing buffer. The extracted total protein of the cotton cotyledons inoculated with V991
was loaded into the column and then incubated with the GFP antibody beads. After 30 min of
incubation, the Sepharose beads combined with GFP antibody-cotton proteins were washed
thrice. Finally, GbSBT1-interacting candidates were eluted with the lysis buffer and then col-
lected in the loading buffer. The eluted proteins were confirmed via SDS-PAGE. The GbSBT1-interacting proteins and
the control (GFP-binding) were identified using Nano-Liquid Chromatography (UltiMate3000
RSLCnano Liquid Chromatography, Bruker Daltonics) and Quadrupole-Time-of-Flight Mass
Spectrometer (maXis impact UHR-TOF MS, Thermofisher). The sequenced peptides were
mapped to the V. dahliae genome and annotated by the hits. The GbSBT1-interacting proteins
without background noise were then analyzed further. Expression analysis of defense-related genes and trypan blue staining
of Arabidopsis leaves followed by pathogen inoculation qRT-PCR was used to analyze the expression patterns of defense-related genes in WT and
transgenic Arabidopsis plants after pathogen inoculation. Leaves of the WT and transgenic PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 4 / 20 GbSBT1 Response to Stimulations and Verticillium Arabidopsis plants were collected for RNA isolation in different intervals after F. oxysporum
inoculation. qRT-PCR analysis was performed as described above [20]. The primers used in
qRT-PCR are listed in S1 Table, and in Arabidopsis, Actin 2 was chosen as the control. Each
sample was repeated at least thrice, and the amplification results were analyzed using the
Option 3 software. Conidial suspensions of F. oxysporum were inoculated on leaves of 4-week-old WT and
transgenic GbSBT1 Arabidopsis lines for 2 days. To determine pathogen colonization, the inoc-
ulated leaves were stained with trypan blue [19]. The leaves were boiled in a lactophenol-trypan
blue solution (10 mL lactic acid, 10 mL glycerol, 10 mg phenol, and 10 mg trypan blue dis-
solved in 10 mL distilled water) for 2 min and then cleared with chloral hydrate (2.5 g mL−1)
overnight. The trypan blue staining experiments were repeated at least thrice. PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 Expression pattern of GbSBT1 gene following V. dahliae inoculation qPCR was used to analyze the expression pattern of GbSBT1 in various tissues of sea-island cot-
ton. Fig 3A shows that the GbSBT1 gene was ubiquitously expressed in all of the tested tissues. Among the tested tissues, GbSBT1 expressed much higher in root where the V. dahliae enters
through the roots more often than other organs. In Arabidopsis, the induction of the SBT3.3 gene was transient; that is, its expression peaked
at 48 h post-inoculation (hpi) of the bacterial pathogen Pseudomonas syringae DC3000 and
then abruptly decayed thereafter [11]. When cotton plants were inoculated with the V991
strain, GbSBT1 expression in the roots decreased within 24 h, significantly increased thereafter,
and then peaked at 48 hpi (Fig 3B). The rapid increase in GbSBT1 expression suggests that
GbSBT1 is associated with cotton resistance to Verticillium. Identification of the GbSBT1 gene and phylogenetic analysis Our previous study revealed more than 100 differentially expressed genes from the Verticil-
lium-resistant cotton variety 7124 by using subtractive suppression hybridization [15]. Among
these differentially expressed genes, the cDNA upregulated by V. dahliae attack was further
studied in this work. The full-length cDNA was cloned by RT-PCR and was confirmed by
DNA sequencing. This gene encoded a protein containing an evolutionary conserved structure
that is highly similar to the subtilase proteins of other plants; thus, this gene was named
GbSBT1 and was deposited in GenBank (Accession NO: KT336228). The GbSBT1 gene encodes a protein containing 769 aa, corresponding to a molecular mass
of 81.78 kDa and a pI of 6.34. The GbSBT1 protein contains a putative signal peptide, an inhib-
itor domain, five conserved active sites (Ser-544, Asp-145, and His-223), and two catalytic tri-
ads of serine protease (Fig 1). A neighbor-joining phylogenetic tree of 19 subtilases indicated
that that GbSBT1 is closely related to AtSBT5.2 (Fig 2). In Arabidopsis, AtSBT5.2 exhibits
oxido-reductase activity and responds to an external biotic stimulus [10], indicating that the
GbSBT1 gene may function in biotic stress response. Yeast two-hybrid assay and BiFC confirmation in vivo To test protein interaction in vitro, we cloned the genes encoding the benzodiazepine receptor
family protein (Accession NO: XP_009649206), peptidyl-tRNA hydrolase (Accession NO:
XP_009656275), PHB (Accession NO: XP_009649890), and GbSBT1 into both pGBKT7 and
pGADT7 vectors. The yeast two-hybrid assay was performed using a Yeast Transformation
System kit (Clontech, CA, USA) in accordance with the manufacturer’s protocol. The trans-
formed AH109 yeast cells were grown on SD/-T-L and then incubated at 28°C for 3 days. The
positive colonies were subsequently transferred into the selective and stringent SD/-T-L-H
medium supplemented with 2 mM 3-AT medium. For BiFC analysis, the coding region of GbSBT1 was cloned into pEarleyGate202 vector and
PHB was cloned into pEarley-Gate201 vector. These vectors were transformed into the Agro-
bacterium strains EHA105. Equal volume suspensions of different Agrobacterium strains car-
rying GbSBT1-pEarleyGate202, PHB- pEarley-Gate201, p19 protein were mixed prior to
infiltration. The re-suspended cells were infiltrated into leaves of tobacco plants as described PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 5 / 20 GbSBT1 Response to Stimulations and Verticillium previously. The fluorescence signals in infiltrated leaves were analyzed through confocal
microscopy (Leica TCS SP5). previously. The fluorescence signals in infiltrated leaves were analyzed through confocal
microscopy (Leica TCS SP5). PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 GbSBT1 protein is localized in the plasma membrane and is affected by
jasmonic acid (JA) and ethylene To analyze GbSBT1 subcellular localization, we expressed the ORF of the GbSBT1 gene fused
with eYFP in tobacco leaves. As shown in Fig 4A, GbSBT1-eYFP fluorescence signals were
detected in the plasma membrane. When magnifying the accumulation area, GbSBT1-eYFP
signals were unevenly distributed in the cell membrane (Fig 4A), which provides the conduits
for the exchange of informational molecules that are central to cell growth and defense
response in plants. When GbSBT1 without the signal peptide was expressed in tobacco leaves,
GbSBT1 (no SP)-YFP signals were uniformly distributed in the plasma membrane. The co-
localization signals with plasma membrane integral protein PIP1-mcherry further demonstrate
that GbSBT1 mostly targets the cell membrane (Fig 4B). Overall, GbSBT1 is mainly localized
in the cell membrane. GbSBT1 extracellular localization may be linked to the acceptance of
external signals. Verticillium wilt Ve1-mediated resistance is compromised in the Arabidopsis JA response
mutant jar1-1 [22], and the JA signaling pathway can be activated in cotton by inoculation PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 6 / 20 PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 GbSBT1 Response to Stimulations and Verticillium Fig 1. Multiple sequence alignment analysis of GbSBT1 and other plant subtilases. GbSBT1 (KT336228, Gossypium barbadense), subtilase-like
(XP_007017870, Theobroma cacao), SBT5.2 (NP_564107, Arabidopsis thaliana), SBT-like (AAM65424, A. thaliana). SP: signal peptide; Inhibitor I9: serine
protease inhibitor domain; black triangles indicate conserved active sites; blank triangles indicate catalytic triads of serine protease; and blank box A
indicates PA/protease or protease-like domain interface. GbSBT1 Response to Stimulations and Verticillium Fig 1. Multiple sequence alignment analysis of GbSBT1 and other plant subtilases. GbSBT1 (KT336228, Gossypium ba
(XP_007017870, Theobroma cacao), SBT5.2 (NP_564107, Arabidopsis thaliana), SBT-like (AAM65424, A. thaliana). SP: sig
protease inhibitor domain; black triangles indicate conserved active sites; blank triangles indicate catalytic triads of serine pro
indicates PA/protease or protease-like domain interface. doi:10.1371/journal.pone.0153988.g001 Fig 1. Multiple sequence alignment analysis of GbSBT1 and other plant subtilases. GbSBT1 (KT336228, Gossypium barbadense), subtilase-like
(XP_007017870, Theobroma cacao), SBT5.2 (NP_564107, Arabidopsis thaliana), SBT-like (AAM65424, A. thaliana). SP: signal peptide; Inhibitor I9: serine
protease inhibitor domain; black triangles indicate conserved active sites; blank triangles indicate catalytic triads of serine protease; and blank box A
indicates PA/protease or protease-like domain interface. Fig 1. Multiple sequence alignment analysis of GbSBT1 and other plant subtilases. GbSBT1 (KT336228, Gossypium barbadense), subtilase-like
(XP_007017870, Theobroma cacao), SBT5.2 (NP_564107, Arabidopsis thaliana), SBT-like (AAM65424, A. thaliana). SP: signal peptide; Inhibitor I9: serine
protease inhibitor domain; black triangles indicate conserved active sites; blank triangles indicate catalytic triads of serine protease; and blank box A
indicates PA/protease or protease-like domain interface. doi:10.1371/journal.pone.0153988.g001 with V. dahliae [19,23], suggesting that cotton Verticillium resistance is related to JA signal
transduction. To elucidate whether or not phytohormones affect GbSBT1 localization, we
treated the cotton seedlings with methyl jasmonate and ethylene. Similar to the normal condi-
tion, GbSBT1 was unevenly localized in the cell membrane prior to the treatments with ethe-
phon (1 mM) and JA (10 ppm). GbSBT1-YFP signal was induced and moved into cytoplasm
after spraying these phytohormones (Fig 4A). Tracking the movement of the GbSBT1-YFP
complex in vivo revealed that GbSBT1 particles rapidly moved along microfilaments in the
cytoplasm (S1 Video). The movement of the GbSBT1 protein from the cell membrane into the
cytoplasm suggests that GbSBT1 senses the combined signals of ethylene and JA treatments. PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 7 / 20 GbSBT1 Response to Stimulations and Verticillium Fig 2. Phylogenetic analysis of GbSBT1 including the subtilases of different plant species. Nineteen of
the complete amino acid sequences of subtilases were used to generate the neighbor–joining tree, and the
numbers next to each node provide bootstrap values from 1000 replicates. The GbSBT1 gene is marked by
“◆.” GbSBT1 (KT336228, Gossypium barbadense), SBT-like Picea abies (BAA13135, Picea sitchensis),
AtSBT5.2 (NP_564107, Arabidopsis thaliana), SBT-like1 Theobroma cacao (XP_007017870, T. cacao),
SBT-like2 T. cacao (XP_007017871, T. cacao), SBT Arabidopsis lyrata (XP_002893091, A. lyrata), SBT-like1
A. thaliana (AAM65424, A. thaliana), SBT-like1 Morus notabilis (EXB60669, M. notabilis), SBT1 Medicago
truncatula (XP_003603196, M. truncatula), SBT2 M. truncatula (XP_003603807, M. truncatula), SBT1
Glycine max (NP_001236511, G. max), SBT2 G. max (NP_001238252, G. max), SBT-like G. max
(AAK53589, G. max), SBT-like2 A. thaliana (NP_564106, A. thaliana), SBT-like Aegilops tauschii
(EMT32761, A. tauschii), SBT-like3 T. cacao (XP_007028364, T. cacao), SBT-like2 M. notabilis (EXB44295,
M. notabilis), SBT-like3 M. notabilis (EXB44294, M. notabilis), SBT-like3 A. thaliana (NP_565309, A. thaliana). doi:10.1371/journal.pone.0153988.g002 Fig 2. Phylogenetic analysis of GbSBT1 including the subtilases of different plant species. Nineteen of
the complete amino acid sequences of subtilases were used to generate the neighbor–joining tree, and the
numbers next to each node provide bootstrap values from 1000 replicates. The GbSBT1 gene is marked by
“◆.” GbSBT1 (KT336228, Gossypium barbadense), SBT-like Picea abies (BAA13135, Picea sitchensis),
AtSBT5.2 (NP_564107, Arabidopsis thaliana), SBT-like1 Theobroma cacao (XP_007017870, T. cacao),
SBT-like2 T. cacao (XP_007017871, T. cacao), SBT Arabidopsis lyrata (XP_002893091, A. lyrata), SBT-like1
A. thaliana (AAM65424, A. thaliana), SBT-like1 Morus notabilis (EXB60669, M. notabilis), SBT1 Medicago
truncatula (XP_003603196, M. truncatula), SBT2 M. truncatula (XP_003603807, M. truncatula), SBT1
Glycine max (NP_001236511, G. max), SBT2 G. max (NP_001238252, G. max), SBT-like G. max
(AAK53589, G. max), SBT-like2 A. thaliana (NP_564106, A. thaliana), SBT-like Aegilops tauschii
(EMT32761, A. tauschii), SBT-like3 T. cacao (XP_007028364, T. cacao), SBT-like2 M. notabilis (EXB44295,
M. notabilis), SBT-like3 M. notabilis (EXB44294, M. notabilis), SBT-like3 A. thaliana (NP_565309, A. thaliana). doi:10.1371/journal.pone.0153988.g002 PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 GbSBT1 Response to Stimulations and Verticillium Fig 3. Induced GbSBT1 expression following V. dahliae V991 infection. (A) Expression analysis of the GbSBT1 gene in vegetative tissues (roots, stems,
and leaves) via qPCR. The Ubiquitin gene is used as an internal control. At least three biological replicates were performed. (B) Expression analysis of
GbSBT1 in roots following V. dahliae strain V991 infection. The comparative CT method is adopted, and the expression is normalized. Each sample was
repeated at least thrice. Error bars represent SE. Double asterisks represent a significant expression change of GbSBT1 compared to uninfected condition
(P < 0.01) in t-test. Fig 3. Induced GbSBT1 expression following V. dahliae V991 infection. (A) Expression analysis of the GbSBT1 gene in vegetative tissues (roots, stems,
and leaves) via qPCR. The Ubiquitin gene is used as an internal control. At least three biological replicates were performed. (B) Expression analysis of
GbSBT1 in roots following V. dahliae strain V991 infection. The comparative CT method is adopted, and the expression is normalized. Each sample was
repeated at least thrice. Error bars represent SE. Double asterisks represent a significant expression change of GbSBT1 compared to uninfected condition
(P < 0.01) in t-test. doi:10.1371/journal.pone.0153988.g003 the control plants (Fig 5J). This result suggests that GbSBT1 knockdown in cotton plants
increases plant susceptibility to V. dahliae infection. The subtilase 1 gene in Coker-312 was further silenced and the disease symptom was inves-
tigated to validate the effect of subtilase 1 gene expression on V. dahliae resistance in different
genotypes (resistant: Pima-90; sensitive: Coker-312). Ten days after inoculation, the GhSBT1-
silenced and control plants were both severely affected, and the bottom leaves began to defoli-
ate (right panel, Fig 5E). As the infection progressed, the control and silenced plants still
showed no obvious difference in symptoms. The disease index showed no significant difference
between the control and VIGS plants (Fig 5J). These results demonstrated that subtilase1 sup-
pression in the sensitive genotype failed to facilitate V. dahliae infection and that the GbSBT1
gene is involved in R-gene resistance. Reactive oxygen accumulation is related to hypersensitive cell death, which could lead to the
spontaneous formation of lesions in plants. In addition, H2O2 accumulation could impede V. dahliae infection in cotton [5]. The changes in H2O2 levels in the control and VIGS cotton
plants were observed through DAB staining to investigate whether or not high levels of H2O2
are produced during V. dahliae infection. As shown in Fig 5I, control Pima-90 plants have no
DAB staining. Conversely, the VIGS plants showed obvious DAB staining in the leaf vessels,
indicating that V. dahliae pathogens ingress into cotton plants and induce H2O2 accumulation. Knockdown of GbSBT1 gene expression results in lost resistance of
cotton plants to V. dahliae infection We generated GbSBT1 gene-silenced cotton plants through VIGS to study the function of the
GbSBT1 gene during V. dahliae infection. After growing in a greenhouse for 7 days, the V. dah-
liae resistance of the control (Pima-90) and VIGS plant lines was subsequently examined and
quantified. qPCR results showed that GbSBT1 was successfully repressed in VIGS plants. Results indicated that GbSBT1 expression in the VIGS plants was repressed significantly
(about 76% lower than control) compared with control plants (S1 Fig). The GbSBT1 gene-
silenced and control plants were inoculated with V. dahliae strain V991. As shown in Fig 5A,
GbSBT1-silenced plants grew as normal as the control plants before fungal inoculation. Ten
days after inoculation, the silenced plants began to display disease symptoms in the form of
margin-wilted leaves; by contrast, the control cotton plants grew normally (Fig 5B). Thirteen
days after inoculation, the GbSBT1-silenced plants were severely affected and the majority of
leaves turned yellow and tended to wilt (Fig 5C, right panel). Moreover, the rate of diseased
plants and the disease index were significantly higher in the GbSBT1-silenced plants than in PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 8 / 20 Ectopically expressed GbSBT1 gene in Arabidopsis confers disease
resistance to F. oxysporum and V. dahliae (E–G) Disease symptoms in Gossypium
hirsutum Coker-312 and the VIGS plants inoculated with V. dahliae strain V991; (H) Enlarged region of disease symptoms on leaf of Coker-312 inoculated
with V. dahliae strain V991. Left panels: Coker-312; right panels: Coker-312 containing silenced GhSBT1 gene; dpi: days post-inoculation. (I–I/II) DAB
staining in the control and VIGS cotton leaves of G. barbadense after V. dahliae V991 inoculation. (J) Disease index measurement in Pima-90 and Coker-312
cotton plants after inoculation with V991. VIGS experiments were repeated at least three times with more than 10 cotton plants for each construct. Double
asterisks represent significant difference between VIGS plants and wild-type plants (P < 0.01) in t-test. d i 10 1371/j
l
0153988 005 Fig 5. Reduced resistance of cotton to Verticillium dahliae after GbSBT1 gene silencing. (A–C) Disease symptoms in Gossypium barbadense Pima-90
and the VIGS plants inoculated with V. dahliae strain V991; (D) Enlarged region of disease symptoms on leaf of Pima-90 inoculated with V. dahliae strain
V991. Left panels: Pima-90; right panels: Pima-90 containing silenced GbSBT1 gene; dpi: days post-inoculation. (E–G) Disease symptoms in Gossypium Fig 5. Reduced resistance of cotton to Verticillium dahliae after GbSBT1 gene silencing. (A–C) Disease symptoms in Gossypium barbadense Pima-90
and the VIGS plants inoculated with V. dahliae strain V991; (D) Enlarged region of disease symptoms on leaf of Pima-90 inoculated with V. dahliae strain
V991. Left panels: Pima-90; right panels: Pima-90 containing silenced GbSBT1 gene; dpi: days post-inoculation. (E–G) Disease symptoms in Gossypium
hirsutum Coker-312 and the VIGS plants inoculated with V. dahliae strain V991; (H) Enlarged region of disease symptoms on leaf of Coker-312 inoculated
with V. dahliae strain V991. Left panels: Coker-312; right panels: Coker-312 containing silenced GhSBT1 gene; dpi: days post-inoculation. (I–I/II) DAB
staining in the control and VIGS cotton leaves of G. barbadense after V. dahliae V991 inoculation. (J) Disease index measurement in Pima-90 and Coker-312
cotton plants after inoculation with V991. VIGS experiments were repeated at least three times with more than 10 cotton plants for each construct. Double
asterisks represent significant difference between VIGS plants and wild-type plants (P < 0.01) in t-test. doi:10.1371/journal.pone.0153988.g005 than in the transgenic leaves (Fig 6). The disease spot diameter was also significantly smaller in
the transgenic plants (0.36 ± 0.31 mm) than in the control plants (2.52 ± 0.66 mm). Similarly,
necrotic lesions of V. Ectopically expressed GbSBT1 gene in Arabidopsis confers disease
resistance to F. oxysporum and V. dahliae To better understand the molecular mechanisms of GbSBT1 in the immune response, we gen-
erated and self-crossed transgenic GbSBT1 Arabidopsis plants. After three rounds of self-cross-
ing, two homologous lines showing different expression levels of the GbSBT1 gene were
randomly selected and subjected to F. oxysporum and V. dahliae challenge. qPCR analysis of
GbSBT1 expression levels in transgenic Arabidopsis lines OEX1 and OEX2 were carried out (S2
Fig). Obvious differences in disease symptoms between the WT and transgenic plants were
observed at 2 days post-inoculation (dpi). The necrotic lesions were larger in the WT leaves 9 / 20 PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 GbSBT1 Response to Stimulations and Verticillium Fig 4. Extracellular localization of the GbSBT1 protein in tobacco leaves determined through confoca
microscopy. (A) Localization of GbSBT1-YFP in tobacco leaves; localization of GbSBT1 (without signal
peptide)-YFP in tobacco leaves; localization of GbSBT1-YFP in tobacco leaves under JA treatment;
localization of GbSBT1-YFP in tobacco leaves under ethylene treatment. Arrows indicate the difference in
protein localization between normal and phytohormone treatments; (B) GbSBT1 protein co-localized with
plasma membrane integral protein PIP1 on the cell membrane using protoplast and tobacco lead epidermal
cells as the protein expressing materials. Upper panels: protoplast; lower panels: tobacco leaf epidermal
cells. doi:10.1371/journal.pone.0153988.g004
3988
April 18 2016
10 / 2 Fig 4. Extracellular localization of the GbSBT1 protein in tobacco leaves determined through confocal
microscopy. (A) Localization of GbSBT1-YFP in tobacco leaves; localization of GbSBT1 (without signal
peptide)-YFP in tobacco leaves; localization of GbSBT1-YFP in tobacco leaves under JA treatment;
localization of GbSBT1-YFP in tobacco leaves under ethylene treatment. Arrows indicate the difference in
protein localization between normal and phytohormone treatments; (B) GbSBT1 protein co-localized with
plasma membrane integral protein PIP1 on the cell membrane using protoplast and tobacco lead epidermal
cells as the protein expressing materials. Upper panels: protoplast; lower panels: tobacco leaf epidermal
cells. doi:10.1371/journal.pone.0153988.g004 10 / 20 PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 GbSBT1 Response to Stimulations and Verticillium Fig 5. Reduced resistance of cotton to Verticillium dahliae after GbSBT1 gene silencing. (A–C) Disease symptoms in Gossypium barbadense Pima-90
and the VIGS plants inoculated with V. dahliae strain V991; (D) Enlarged region of disease symptoms on leaf of Pima-90 inoculated with V. dahliae strain
V991. Left panels: Pima-90; right panels: Pima-90 containing silenced GbSBT1 gene; dpi: days post-inoculation. Ectopically expressed GbSBT1 gene in Arabidopsis confers disease
resistance to F. oxysporum and V. dahliae dahliae on Arabidopsis leaves were smaller in the transgenic plants than
in the WT plants (Fig 7). This result suggests that GbSBT1 overexpression inhibits the spread
of necrotic lesions in transgenic leaves. Moreover, the control plants showed more pathogen
aggregates near their leaf vessels, whereas the transgenic plants showed a negative result for try-
pan blue staining (Fig 8). As the infection progressed, the control plants wilted, whereas the
transgenic GbSBT1 plants grew normally. These results demonstrate that the ectopic expres-
sion of GbSBT1 confers the increased tolerance of Arabidopsis against F. oxysporum infection. Overexpression of GbSBT1 gene in Arabidopsis enhances the
expression of defense-related genes Given their consistent resistance effects on GbSBT1-overexpressing Arabidopsis plants and
VIGS cotton plants, the transcripts of the genes involved in JA and immune transduction were PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 11 / 20 GbSBT1 Response to Stimulations and Verticillium Fig 6. Enhanced disease resistance of Arabidopsis against Fusarium oxysporum after GbSBT1 overexpression. Wild-type (WT): Arabidopsis
Columbia type Col-0; OEX: transgenic GbSBT1 lines. Left panels: un-inoculated plants; right panels: plants 2 days after F. oxysporum inoculation. (A–B) WT
plants 0 and 2 days after ddH2O inoculation; (C–D) WT plants 0 and 2 days after F. oxysporum inoculation; (E–F) transgenic GbSBT1 plants 0 and 2 days
after inoculation with ddH2O containing 0.2% Tween-20; (G–H) transgenic GbSBT1 plants 0 and 2 days after F. oxysporum inoculation. At least three
biological replicates were performed in the F. oxysporum resistance analysis. Fig 6. Enhanced disease resistance of Arabidopsis against Fusarium oxysporum after GbSBT1 overexpression. Wild-type (WT): Arabidopsis
Columbia type Col-0; OEX: transgenic GbSBT1 lines. Left panels: un-inoculated plants; right panels: plants 2 days after F. oxysporum inoculation. (A–B) WT
plants 0 and 2 days after ddH2O inoculation; (C–D) WT plants 0 and 2 days after F. oxysporum inoculation; (E–F) transgenic GbSBT1 plants 0 and 2 days
after inoculation with ddH2O containing 0.2% Tween-20; (G–H) transgenic GbSBT1 plants 0 and 2 days after F. oxysporum inoculation. At least three
biological replicates were performed in the F. oxysporum resistance analysis. Fig 6. Enhanced disease resistance of Arabidopsis against Fusarium oxysporum after GbSBT1 overexpression. Wild-type (WT): Arabidopsis
Columbia type Col-0; OEX: transgenic GbSBT1 lines. Left panels: un-inoculated plants; right panels: plants 2 days after F. oxysporum inoculation. (A–B) WT
plants 0 and 2 days after ddH2O inoculation; (C–D) WT plants 0 and 2 days after F. oxysporum inoculation; (E–F) transgenic GbSBT1 plants 0 and 2 days
after inoculation with ddH2O containing 0.2% Tween-20; (G–H) transgenic GbSBT1 plants 0 and 2 days after F. oxysporum inoculation. At least three
biological replicates were performed in the F. oxysporum resistance analysis. doi:10.1371/journal.pone.0153988.g006 analyzed in Arabidopsis. The expression levels of PR-2 and PDF1.2 were upregulated in the
overexpressing lines following F. oxysporum inoculation (Fig 9). PR-2 was induced, peaked at 4
dpi, and then abruptly decreased. The highest level of PR-2 expression was nearly 10 times that
of the WT plants at 4 dpi. PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 GbSBT1 Response to Stimulations and Verticillium Fig 7. Enhanced disease resistance of Arabidopsis against V. dahliae after GbSBT1 overexpression. Wild-type (WT): Arabidopsis Columbia type Col-
0; OEX: transgenic GbSBT1 lines. Left panels: un-inoculated plants; right panels: plants 2 days after V. dahliae inoculation. (A–B) WT plants 0 and 2 days
after ddH2O inoculation; (C–D) WT plants 0 and 2 days after V. dahliae inoculation; (E–F) transgenic GbSBT1 plants 0 and 2 days after inoculation with
ddH2O containing 0.2% Tween-20; (G–H) transgenic GbSBT1 plants 0 and 2 days after V. dahliae inoculation. At least three biological replicates were
performed in the V. dahliae resistance analysis. Fig 7. Enhanced disease resistance of Arabidopsis against V. dahliae after GbSBT1 overexpression. Wild-type (WT): Arabidopsis Columbia type Col-
0; OEX: transgenic GbSBT1 lines. Left panels: un-inoculated plants; right panels: plants 2 days after V. dahliae inoculation. (A–B) WT plants 0 and 2 days
after ddH2O inoculation; (C–D) WT plants 0 and 2 days after V. dahliae inoculation; (E–F) transgenic GbSBT1 plants 0 and 2 days after inoculation with
ddH2O containing 0.2% Tween-20; (G–H) transgenic GbSBT1 plants 0 and 2 days after V. dahliae inoculation. At least three biological replicates were
performed in the V. dahliae resistance analysis. Fig 7. Enhanced disease resistance of Arabidopsis against V. dahliae after GbSBT1 overexpression. Wild-type (WT): Arabidopsis Columbia type Col-
0; OEX: transgenic GbSBT1 lines. Left panels: un-inoculated plants; right panels: plants 2 days after V. dahliae inoculation. (A–B) WT plants 0 and 2 days
after ddH2O inoculation; (C–D) WT plants 0 and 2 days after V. dahliae inoculation; (E–F) transgenic GbSBT1 plants 0 and 2 days after inoculation with
ddH2O containing 0.2% Tween-20; (G–H) transgenic GbSBT1 plants 0 and 2 days after V. dahliae inoculation. At least three biological replicates were
performed in the V. dahliae resistance analysis. doi:10.1371/journal.pone.0153988.g007 PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 Overexpression of GbSBT1 gene in Arabidopsis enhances the
expression of defense-related genes PDF1.2 induction was peaked at 4 dpi; the highest expression of this
gene was approximately 98.8 times as that of the control plants. The increased expression of
PRs in GbSBT1 OEX lines contributed to the resistant phenotype. The activation of mitogen-activated protein kinases (MAPKs) is linked to innate immune
responses [24,25]. The expression levels of MPK6 and MPK3 were assessed in the WT plants
and GbSBT1 OEX lines to demonstrate whether or not the enhanced resistance phenotype is
mediated by GbSBT1 expression (Fig 9). After F. oxysporum inoculation, the expression levels
of MPK6 and MPK3 were higher in the GbSBT1 OEX lines than in the WT plants. MAPK acti-
vation in the GbSBT1 OEX lines indicates that GbSBT1 is a positive regulator of induced resis-
tance response. 12 / 20 PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 GbSBT1 Response to Stimulations and Verticillium Fig 8. Trypan blue staining of Fusarium oxysporum-inoculated leaves. (A) Wild-type (WT) plants inoculated with F. oxysporum; (B) 20×magnification of
the infected area in WT; (C) GbSBT1 overexpression in F. oxysporum-inoculated Arabidopsis leaves; (D) 20×magnification of the infected area in GbSBT1-
overexpressing Arabidopsis. The trypan blue staining experiments were repeated at least three times. Fig 8. Trypan blue staining of Fusarium oxysporum-inoculated leaves. (A) Wild-type (WT) plants inoculated with F. oxysporum; (B) 20×magnification of
the infected area in WT; (C) GbSBT1 overexpression in F. oxysporum-inoculated Arabidopsis leaves; (D) 20×magnification of the infected area in GbSBT1-
overexpressing Arabidopsis. The trypan blue staining experiments were repeated at least three times. doi:10.1371/journal.pone.0153988.g008 Gene enrichment analysis also revealed that most of the secreted proteins participated in signal
transduction and protein transport. The Het-C protein (gi|697081603), similar to the sugar
ester transfer protein, drastically impairs ascospore production [26]. In summary, most of the
secreted proteins are involved in cell wall biogenesis and hyphal growth during pathogenic
ingression into host plants. Gene enrichment analysis also revealed that most of the secreted proteins participated in signal
transduction and protein transport. The Het-C protein (gi|697081603), similar to the sugar
ester transfer protein, drastically impairs ascospore production [26]. In summary, most of the
secreted proteins are involved in cell wall biogenesis and hyphal growth during pathogenic
ingression into host plants. To further confirm which protein directly interacts with GbSBT1 during V. dahliae ingres-
sion into cotton, three proteins (based on the number of detected peptides in pull-down assay) Fig 9. qPCR analysis of gene expression in WT and transgenic GbSBT1 lines after F. oxysporum
infection. Gene expression levels were normalized to the constitutive ACT2 gene expression. Data
represent the mean of gene expression levels with SD at different infection stages; n = 3 replicates. dpi: days
post-inoculation. Error bars represent the standard deviation for three biological experiments, and three
technical replicates were analyzed. Statistical significance was determined using two-tailed unpaired
Student’s t-tests, and P values <0.05 were considered statistically significant (** for P values <0.01). doi:10.1371/journal.pone.0153988.g009 Fig 9. qPCR analysis of gene expression in WT and transgenic GbSBT1 lines after F. oxysporum Fig 9. qPCR analysis of gene expression in WT and transgenic GbSBT1 lines after F. oxysporum
infection. Gene expression levels were normalized to the constitutive ACT2 gene expression. GbSBT1 interacts with PHB protein secreted by V. dahliae strain V991 The GbSBT1-interacting proteins were identified using GFP monoclonal antibody by extract-
ing the total proteins of the V. dahliae-inoculated cotton leaves to characterize whether or not
GbSBT1 senses the infection signals from pathogens, the total proteins of cotton leaves inocu-
lated with V. dahliae were extracted to identify the GbSBT1 interacting proteins using GFP
monoclonal antibody. The pull-down results indicated that 128 proteins were characterized
after NLM analysis including 15 secreted proteins and 113 unsecreted proteins (S2 Table). Gene ontology showed that these secreted proteins were assigned to biological processes,
including metabolic process, pigmentation, and response to stimulus. After searching the func-
tions of the homologes online, 15 secreted proteins containing a 15–30 aa signal peptide were
found to be involved in protein translocation across organelles or cell membrane (Table 1). 13 / 20 PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 GbSBT1 Response to Stimulations and Verticillium Table 1. GbST1-interacting proteins secreted from V. dahliae V991. Protein
accession
Protein putative identity
Signal peptide
Peptide
Score
gi|697086726
peptidyl-tRNA hydrolase
MSDTLHLILTTSAVTFLSGFALGVFAI
13
378
gi|697069413
prohibitin
MAAALNFISKAAVPAFFGASLLSTAI
3
95
gi|697065929
acetyl-CoA acetyltransferase
MANLPSVYIVSAARTPVGSFLGSLSSLSAV
3
75
gi|697067287
oligosaccharyltransferase alpha subunit
MRAFAIATGLLSLVSAAVASSD
4
60
gi|697067481
carbamoyl-phosphate synthase arginine-
specific large chain
MPSAMACSLAGRAPAVLRHGRRMALPVRSFTSLTAASKSFTPAQSQ
3
59
gi|697088233
zinc transporter SLC39A9
MGGLFLLLVLCAVMAVASFLAG
4
59
gi|697067381
uridylate kinase
MHATPRTLWRSLPTACTASRIASST
4
54
gi|697086240
phosphoribosylaminoimidazole-
succinocarboxamide synthase
MSSSAPLTTLSLPSLERIASGK
2
44
gi|697066901
disulfide-isomerase erp38
MVLLKSFVLGALAATAAAK
3
36
gi|697068043
benzodiazepine receptor family protein
MTTFIPALTLPRQVFDHPATSILLPIALGTAVGYTSSR
3
29
gi|697089965
CTP synthase
MKYLLVSGGVISGPLRRAFCS
2
28
gi|697081603
Het-C protein
MASFHFGKGSWFLVFCIVLVLLPGRAAAF
2
25
gi|697068103
helicase SWR1
MAGLAAGFSSSPPGRGF
2
20
gi|697071463
short-chain dehydrogenase/reductase SDR
MAAHRSATRALARAFTARTAAA
2
18
gi|697077881
hypothetical protein VDAG_09776
MSSNTLDNTALLATGICMVILTSAVFGF
2
18
The proteins listed here were all detected at least thrice. The signal peptides were predicted by SignalP 4.1 online. “Peptide” indicates the number of
detected peptide in the putative protein. Putative proteins were removed if number of detected peptide less than two (Peptide<2).The score indicates the
total number of detection in the pellet pulled down by the antibody after digestion. Table 1. GbST1-interacting proteins secreted from V. dahliae V991. The proteins listed here were all detected at least thrice. The signal peptides were predicted by SignalP 4.1 online. “Peptide” indicates the number of
detected peptide in the putative protein. Putative proteins were removed if number of detected peptide less than two (Peptide<2).The score indicates the
total number of detection in the pellet pulled down by the antibody after digestion. The proteins listed here were all detected at least thrice. The signal peptides were predicted by SignalP 4.1 online. “Peptide” indicates the number of
detected peptide in the putative protein. Putative proteins were removed if number of detected peptide less than two (Peptide<2).The score indicates the
total number of detection in the pellet pulled down by the antibody after digestion. The proteins listed here were all detected at least thrice. The signal peptides were predicted by SignalP 4.1 online. “Peptide” indicates the number of
detected peptide in the putative protein. Putative proteins were removed if number of detected peptide less than two (Peptide<2).The score indicates the
total number of detection in the pellet pulled down by the antibody after digestion. doi:10.1371/journal.pone.0153988.t001 were tested their interactions with GbSBT1 in yeast-two-hybridization. Data
represent the mean of gene expression levels with SD at different infection stages; n = 3 replicates. dpi: days
post-inoculation. Error bars represent the standard deviation for three biological experiments, and three
technical replicates were analyzed. Statistical significance was determined using two-tailed unpaired
Student’s t-tests, and P values <0.05 were considered statistically significant (** for P values <0.01). doi:10 1371/journal pone 0153988 g009 Fig 9. qPCR analysis of gene expression in WT and transgenic GbSBT1 lines after F. oxysporum
infection. Gene expression levels were normalized to the constitutive ACT2 gene expression. Data
represent the mean of gene expression levels with SD at different infection stages; n = 3 replicates. dpi: days
post-inoculation. Error bars represent the standard deviation for three biological experiments, and three
technical replicates were analyzed. Statistical significance was determined using two-tailed unpaired
Student’s t-tests, and P values <0.05 were considered statistically significant (** for P values <0.01). doi:10.1371/journal.pone.0153988.g009 doi:10.1371/journal.pone.0153988.g009 PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 14 / 20 Discussion V. dahliae secretes various effectors for its invasion and colonization in cotton. For instance, V. dahliae secretes pectinase or xylanase to degrade the cell wall of the elements of the vascular
system and disrupt water transport in cotton [7]. The isochorismatase VdIsc1 is also secreted
by V. dahliae to suppress the salicylate-mediated innate immunity of host cells [4]. Although
the effector candidates have been identified in the V. dahliae genome and the functions of sev-
eral effectors have been recently characterized, little is known about how the cotton plant inter-
feres with the infection and colonization of the filamentous pathogen V. dahliae. In this study,
we analysis the function of GbSBT1 and provide the evidences that GbSBT1 is involved in Ver-
ticillium-induced resistance in cotton. Host proteases are important defense components against pathogens [27]. Host plants use
proteases to monitor or facilitate effector-mediated degradation and subsequently activate
effector-triggered immunity [28,29,30]. The extracellular subtilase P69C specifically processes
an extracellular leucine-rich repeat LRP protein in tomato to initiate various signaling pro-
cesses [31]. In Arabidopsis, SBT3.3 expression initiates a durable auto-induction mechanism
that activates the salicylate-dependent expression of defense genes for amplified immune
response [11]. Whether or not the GbSBT1 protein activates immune response remains
unknown. Similar to the reported subtilases, GbSBT1 is localized in the cell membrane and in
the extracellular apoplast, where V. dahliae ingression into cotton plant occurs and which
serves as the recognition site between cotton plant and V. dahliae. In contrast to the SBT3.3
gene in Arabidopsis, the GbSBT1 gene is activated by JA and ethylene treatments instead of SA
stimulus, demonstrating that JA signaling is required for the resistance of cotton plant against
V. dahliae [23]. Moreover, the GbSBT1 protein moves from the cell membrane into the cyto-
plasm after V. dahliae attack and JA treatment, indicating that GbSBT1 is related to JA-induced
resistance against V. dahliae [23]. The JA-responsive gene PDF1.2 encodes a protein that exhibits antimicrobial activity,
which is dependent on COI1 and EIN2, and is correlated with resistance to necrotrophic path-
ogens [32,33]. Increased PDF1.2 expression indicated that GbSBT1 overexpression in Arabi-
dopsis can induce the JA signaling pathway when responding to F. oxysporum attack. GbSBT1
overexpression in Arabidopsis also enhanced resistance against F. oxysporum and upregulated
the expression of the PR1 and PR2 genes after fungal inoculation. Correspondingly, GbSBT1
knockdown in Pima-90 resulted in lost resistance to V. As shown in Fig 10A,
GbSBT1 did not interact with the benzodiazepine receptor family protein and peptidyl-tRNA
hydrolase, whereas the yeast cells co-transformed with GbSBT1 and PHB grew on the selective
medium SD/-T-L-H. This result indicates that GbSBT1 can directly bind to PHB. Fig 10. Interaction between GbSBT1 and prohibitin secreted by Verticillium dahliae. (A) The yeast cells
co-expressing GbSBT1 and benzodiazepine receptor family protein or peptidyl-tRNA hydrolase could not
grow on the selective medium SD/-T-L-H, whereas the yeast cells co-transformed with GbSBT1 and
prohibitin could grow on the selective medium SD/-T-L-H; (B-C) BiFC of epidermal cells co-expressing split
YFP fusions of GbSBT1 and prohibitin or empty vector controls. Combinations of N- and C-terminal YFP
fragments (Yn and Yc, respectively) were infiltrated as vector controls or fused to the N terminus of GbSBT1
and prohibitin as follows: B: GbSBT1-Yc and prohibitin -Yn, Scale bar: 25 μm; C: vector-Yc and vector-Yn,
Scale bar: 10 μm. The interaction and co-localization were observed at the plasma membrane. Right is the
corresponding bright-field
10 13 1/
01 3988 010 Fig 10. Interaction between GbSBT1 and prohibitin secreted by Verticillium dahliae. (A) The yeast cells
co-expressing GbSBT1 and benzodiazepine receptor family protein or peptidyl-tRNA hydrolase could not
grow on the selective medium SD/-T-L-H, whereas the yeast cells co-transformed with GbSBT1 and
prohibitin could grow on the selective medium SD/-T-L-H; (B-C) BiFC of epidermal cells co-expressing split
YFP fusions of GbSBT1 and prohibitin or empty vector controls. Combinations of N- and C-terminal YFP
fragments (Yn and Yc, respectively) were infiltrated as vector controls or fused to the N terminus of GbSBT1
and prohibitin as follows: B: GbSBT1-Yc and prohibitin -Yn, Scale bar: 25 μm; C: vector-Yc and vector-Yn,
Scale bar: 10 μm. The interaction and co-localization were observed at the plasma membrane. Right is the
corresponding bright-field doi:10.1371/journal.pone.0153988.g010 doi:10.1371/journal.pone.0153988.g010 15 / 20 PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 GbSBT1 Response to Stimulations and Verticillium Bimolecular fluorescence complementation (BiFC) analysis was used to confirm the interac-
tion between GbSBT1 and PHB in vivo. Fluorescence formed through formation of a fluores-
cent complex comprising of two fragments of YFP could be observed in the plasma membrane
of tobacco leaf cells, indicating that PHB and GbSBT1 actually interacted in plants and as pre-
dicted (Fig 10B and 10C). PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 Discussion dahliae and reduced expression of the
PR genes (S3 Fig). The changes in the expression of PR genes in both Arabidopsis and cotton
plants indicate that GbSBT1 gene expression activates induced resistance. Furthermore, the
MPK6 and MPK3 genes that are associated with innate immune response were activated by
GbSBT1 gene expression in Arabidopsis, demonstrating that GbSBT1 plays important roles in
innate immune responses. Considering that the SBT1 protein has no amino acid difference
between from Coker-312 (sensitive to V. dahliae) and Pima-90 (resistant to V. dahliae), so we
silenced the SBT1 gene in two genetic backgrounds and investigated their disease symptoms. The lost resistance to V. dahliae in Pima-90 and the absence of severe susceptibility of Coker-
312 shows that the GbSBT1 gene is involved in R-gene resistance. PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 16 / 20 GbSBT1 Response to Stimulations and Verticillium In tomato, cysteine protease is required for Cf2-dependent disease resistance and auto-
necrosis suppression. During incompatible interaction, Avr2 physically interacts with and
inhibits the extracellular Cys-protease Rcr3 in resistant tomato varieties [34]. The localization
of GbSBT1 protein made it possible for its recognition with protein secreted by V. dahliae. Therefore, we employed the pull-down assay to identify GbSBT1-interacting proteins and thus
analyze further the role of GbSBT1 in Verticillium resistance. A total of 15 secreted proteins in
V991 pathogen were identified as candidates. Searching for the functions of the homologs of
these proteins revealed that the secreted proteins are likely related to the pathogenicity of V. dahliae during the invasion of host plants. The first type of secreted proteins, such as Het-C
protein (gi|697081603), is required for hyphal and spore growth, and deletion of these genes
results in the loss of cell wall integrity. The second type of secreted proteins facilitates pathogen
evasion from host surveillance. All of the pull-down proteins of V. dahliae are involved in path-
ogenicity, indicating that GbSBT1 may effectively recognize the effectors of V. dahliae. To confirm further which specific effector interacts with GbSBT1, we determined the inter-
action of three proteins in the yeast two-hybrid system and confirmed that PHB is the
GbSBT1-interactor. PHB, which is localized in the cell membrane, is a highly conserved protein
exhibiting a common structure and a domain that is similar to that of other organisms. Discussion In
human, the PHB1 of the host binds to RtxA1-D2, and downregulation of PHB1 genes by small
interfering RNAs reduces RtxA1-D2 cytotoxicity against HeLa cells. PHB1 is directly involved
in RtxA1 cytotoxicity when Vibrio cholerae infects HeLa cells [35]. Furthermore, the Vi capsu-
lar polysaccharide of Salmonella typhi targets the PHB family in intestinal epithelial cells and
suppresses early inflammatory responses [36]. These findings reveal that PHB modulates early
inflammatory responses during infection. In plants, PHB3 affects NO accumulation and NO-
mediated processes [37]. Moreover, a PHB3 mutant exhibits an extreme constitutive ethylene
response in etiolated seedlings and reduces ethylene-inducible genes, such as AtEBP and
PDF1.2, suggesting that AtPHB3 plays dual roles in ethylene signaling [38]. These findings
indicate that PHB is associated with inflammatory response in human, and ethylene or NO
mediated cellular responses in plants. In this study, we found that a PHB interacts with
GbSBT1 by using pull-down and yeast two-hybrid assays. Based on the function of GbSBT1
during Verticillium ingression, we hypothesized that the PHB from V. dahliae interacts with
GbSBT1 and then activates the transcription of genes related to Verticillium resistance signal-
ing in cotton. However, the mechanism underlying GbSBT1-PHB interaction and the roles of
PHB in Verticillium resistance warrant further investigation. Acknowledgments We thank Dr. Guiliang Jian for providing the defoliating isolate V991 of V. dahliae. Author Contributions Conceived and designed the experiments: KJZ XPD. Performed the experiments: XPD. Ana-
lyzed the data: XPD ZDZ. Contributed reagents/materials/analysis tools: XPD JW. Wrote the
paper: KJZ XPD. Supporting Information S1 Fig. qPCR analysis of GbSBT1 expression in Mock and VIGS plants. VIGS experiments
were repeated at least three times with more than 10 cotton plants for each construct. Double
asterisks represent significant difference between VIGS plants and wild-type plants (P < 0.01)
in t-test. S2 Fig. qPCR analysis of GbSBT1 expression levels in transgenic Arabidopsis lines OEX1
and OEX2. The comparative CT method is adopted, and the expression is normalized. Each
sample was repeated at least thrice. Error bars represent SE. Double asterisks represent a signif-
icant expression change of GbSBT1 compared to uninfected condition (P < 0.01) in t-test. (PDF) S3 Fig. qPCR analyses of PR1 and PR2 expression in Gossypium babardense (Pima-90) and
its VIGS plants 10 days after V. dahliae strain V991 inoculation. Total RNA was isolated 17 / 20 PLOS ONE | DOI:10.1371/journal.pone.0153988
April 18, 2016 GbSBT1 Response to Stimulations and Verticillium from leaves of the control and inoculated VIGS cotton plants. Changes in the expression of
defense-related genes, including PR1 and PR2, were analyzed via qRT-PCR. The ubiquitin7
gene (DQ116441) of cotton plant served as an internal control. The primers (GbPR1 and
GbPR2) used in qRT-PCR analysis are listed in S1 Table. Gene expression levels were normal-
ized to the constitutive Ubiquitin gene expression. The expression levels are the means with
SD; n = 3 replicates. dpi: days post-inoculation. Double asterisks represent a very significant
difference between VIGS plants and wild-type plants (P < 0.01) in t-test. (PDF) S1 Table. The sequence and primers used in this study. (DOCX) PLOS ONE | DOI:10.1371/journal.pone.0153988
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Power Doppler ultrasound and contrast-enhanced ultrasound demonstrate non-invasive tumour vascular response to anti-vascular therapy in canine cancer patients
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Scientific reports
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cc-by
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Power Doppler ultrasound and
contrast-enhanced ultrasound
demonstrate non-invasive tumour
vascular response to anti-vascular
therapy in canine cancer patients Received: 4 September 2018
Accepted: 7 June 2019
Published: xx xx xxxx Eline Abma 1,2, Emmelie Stock3, Ward De Spiegelaere 4, Leen Van Brantegem5,
Katrien Vanderperren3, Yicheng Ni6, Matthijs Vynck7, Sylvie Daminet1, Kaat De Clercq 8 &
Hilde de Rooster1,2 Combretastatin A4-phosphate (CA4P) is an anti-vascular agent which selectively shuts down blood
supply in tumours, resulting in extensive tumour necrosis. The aim of this study was to assess in vivo,
non-invasive ultrasound techniques for the early evaluation of tumour perfusion following CA4P
treatment of spontaneous tumours. Eight dogs that bore spontaneous tumours were enrolled and were
subsequently treated with a single dose of intravenous CA4P. Perfusion of tumours was evaluated by
power Doppler ultrasound (PDUS) pre-treatment (0 h), during the injection (10 min, 20 min, 30 min) and
after CA4P infusion (24 and 72 h). Vascularity index (VI) of the tumour tissue was quantitatively analysed
and accuracy was verified by correlation analysis with the results of immunohistochemical evaluation
of microvessel density (MVD). Central and peripheral perfusion was evaluated by contrast-enhanced
ultrasound (CEUS) pre-treatment and at 72 h post-treatment. Post-treatment, PDUS demonstrated a
significant decrease in VI within 10 min of CA4P infusion. CEUS parameters demonstrated a significant
decrease in blood velocity and volume in the central aspect of the tumour. Histology revealed a 4.4-fold
reduction (p < 0.001, 95% CI [2.2,9.4]) in MVD and a 4.1-fold increase (p = 0.003, 95% CI [1.4,11.8]) in
necrotic tumour tissue. A strong correlation between PDUS results and immunohistochemical results
was found (Pearson R2 = 0.957, p < 0.001). Furthermore, the findings of PDUS were supported by
the objective results of the CEUS analyses. These data suggest a role for ultrasound in real-time, non-
invasive monitoring of tumour vascular response as an early indicator of CA4P treatment efficacy. Tumour vasculature is crucial for survival, growth, and spread of tumours and is a promising pharmacological
target in anti-cancer strategies1,2. Vascular targeting exploits the morphological differences between tumour and
normal vasculature3–9. Whereas antiangiogenic agents (AAA’s) prevent formation of new blood vessels, vascular
disrupting agents (VDA’s) destroy the tumour neovasculature10,11. 1Small Animal Department, Faculty of Veterinary Medicine, Ghent University, Salisburylaan 133, B-9820, Merelbeke,
Belgium. 2Cancer Research Institute Ghent (CRIG), Medical Research Building, University Hospital Ghent, De
Pintelaan 185, B-9000, Ghent, Belgium. 3Department of Medical Imaging and Orthopedics of Small Animals,
Faculty of Veterinary Medicine, University of Ghent, Salisburylaan 133, B-9820, Merelbeke, Belgium. www.nature.com/scientificreports www.nature.com/scientificreports www.nature.com/scientificreports Received: 4 September 2018
Accepted: 7 June 2019
Published: xx xx xxxx Power Doppler ultrasound and
contrast-enhanced ultrasound
demonstrate non-invasive tumour
vascular response to anti-vascular
therapy in canine cancer patients 4Department
of Morphology, Faculty of Veterinary Medicine, Ghent University, Salisburylaan 133, B-9820, Merelbeke, Belgium. 5Department of Pathology, Bacteriology and Poultry Diseases, Faculty of Veterinary Medicine, Ghent University,
Salisburylaan 133, B-9820, Merelbeke, Belgium. 6Theragnostic Lab, Department of Imaging and Pathology, KU
Leuven, Herestraat 49, B-3000, Leuven, Belgium. 7Department of Data Analysis and Mathematical Modeling,
Faculty of Bioscience Engineering, Ghent University, Coupure links 653, B-9000, Ghent, Belgium. 8Laboratory of
Pharmaceutical Technology, Ghent University, Ottergemsesteenweg 460, B-9000, Ghent, Belgium. Correspondence
and requests for materials should be addressed to E.A. (email: Eline.abma@ugent.be) Scientific Reports | (2019) 9:9262 | https://doi.org/10.1038/s41598-019-45682-2 1 www.nature.com/scientificreports/ Dog n°
Characteristics (breed, sex, age, weight)
Tumour type, localization, size
1
Mixed breed, F, 7.5 y, 13 kg
Adenocarcinoma, mammary gland, 30.2 cm3
2
American Staffordshire, Mn, 14.1 y, 36 kg
Soft tissue sarcoma, right carpus, 252.7 cm3
3
Golden Retriever, Mn, 10.7 y, 31 kg
Chondrosarcoma, left elbow, 339.6 cm3
4
Münsterlander, Fn, 4.8 y, 21 kg
Soft tissue sarcoma, perineal, 897.2 cm3
5
American Staffordshire, Mn, 10.0 y, 38 kg
Mastocytoma, left carpus, 112.5 cm3
6
Whippet, Fn, 7.8 y, 13 kg
Soft tissue sarcoma, right carpus, 0.6 cm3
7
Mixed breed, F, 8.4 y, 12 kg
Adenocarcinoma, mammary gland, 0.7 cm3
8
Bernese mountain dog, Mn, 7.5 y, 38 kg
Histiocytic sarcoma, facial, 25.0 cm3
Table 1. Patient characteristics and tumour type of the dogs treated with combretastatin A4-phosphate. Abbreviations: F, Female; Fn, Female neutered; M, Male; Mn, Male neutered; y: age in years. Table 1. Patient characteristics and tumour type of the dogs treated with combretastatin A4-phosphate. Abbreviations: F, Female; Fn, Female neutered; M, Male; Mn, Male neutered; y: age in years. Table 1. Patient characteristics and tumour type of the dogs treated with combretastatin A4-phosphate. Abbreviations: F, Female; Fn, Female neutered; M, Male; Mn, Male neutered; y: age in years. Combretastatin A4-phosphate (CA4P) is the best known VDA. It depolymerizes the microtubules of imma-
ture vessel endothelial cells, inducing vessel occlusion and resulting in shutdown of tumour perfusion within
an hour of administration6,12,13. This drug has been subjected to a range of combined-therapy trials, including
surgery, anti-angiogenic therapy, chemotherapy, and radiotherapy14–21. Power Doppler ultrasound and
contrast-enhanced ultrasound
demonstrate non-invasive tumour
vascular response to anti-vascular
therapy in canine cancer patients Considering the success of anti-vascular
therapies and their future prospects, efficient screening methods of treatment response are highly sought-after.hf fit
The gold standard to assess the therapeutic effect of anti-vascular therapy on tumour vascularisation is immu-
nohistochemical determination of microvessel density (MVD) (maximal number of blood vessels per unit area
of section) in pre- and post-treatment surgical biopsies22. Given the invasive nature of sequential biopsies and the
repeated need for anaesthesia, immunohistochemical MVD assessment has limited utility in a clinical setting. Thus, there is a clinical interest in non-invasive yet accurate imaging techniques that allow serial assessment of
tumour perfusion in situ, enabling visualization of therapy response.f p
g
py
p
Current non-invasive imaging modalities to effectively evaluate the vascular response to CA4P and other VDA’s
in rodents, rabbits, and men include dynamic contrast-enhanced magnetic resonance imaging (DCE-MRI)23–28,
diffusion-weighted imaging25,29, perfusion computed tomography30, positron emission tomography (PET)31, biolu-
minescence imaging (BLI)26,28,32,33, photoacoustic imaging (PAI)34,35, and dynamic contrast-enhanced (DyCE) fluo-
rescent imaging36. Recently, contrast-enhanced ultrasound (CEUS) assessment in tumour-bearing mice was added to
this list26,37–39. Power Doppler ultrasound (PDUS) has been used to assess vascularity in a range of animal and human
tumours22,40–43 and for detection of blood flow changes following anti-vascular treatment32,44–46. It was recently found
to be a reliable technique for the in vivo assessment of tumour angiogenesis41, but it has not yet been evaluated if this
modality can be used as a reliable, non-invasive alternative to biopsies to asses CA4P treatment response. Considering
that CA4P has been shown to reduce tumour blood flow within the first hour of therapy, well before vessels can regress,
PDUS might provide a more veracious assessment of early response than immunohistochemistry.t g
p
y
p
y
In this study, we performed PDUS to assess the vascularity index (VI) before, during, and after a single dose
of intravenous CA4P in a variety of spontaneous superficial solid tumours in dogs. Additionally, we used CEUS
to quantitatively evaluate the intratumoural perfusion, both in the central and peripheral regions of the tumours. Power Doppler ultrasound and
contrast-enhanced ultrasound
demonstrate non-invasive tumour
vascular response to anti-vascular
therapy in canine cancer patients To verify the accuracy of PDUS, a correlation analysis was performed on the PDUS results and the results of con-
ventional MVD determined by immunohistochemistry, at 72 h post-treatment.h y
y
p
The aim of this work was to conduct a proof-of-principle study to assess the feasibility of using PDUS and
CEUS as methods for assessing early tumour vascular inhibition by CA4P in clinical studies involving spontane-
ous, superficial solid tumours. Results
i Patient characteristics. Eight dogs entered the study. Baseline characteristics of participating patients are
summarized in Table 1 and are further described elsewhere45. The study cohort consisted of four males and four
females, belonging to six different breeds, and included five mesenchymal tumours, two epithelial tumours, and
one round-cell tumour. Tumour vascularity as assessed by power Doppler ultrasound. Pre-treatment (pre-CA4P), there
appeared to be a marked variability in the tumour perfusion as evaluated by PDUS (Table 2). The sarcomas were
less well vascularized pre-treatment than the carcinomas and the mastocytoma. After 10 min of CA4P infusion,
an overall significant decrease in VI was measured (p = 0.039) (Fig. 1). Although not every VI continued to
decrease to the same extent, and three VI’s even demonstrated a slight increase between 24 and 72 h post-infusion
(PI), overall the decrease in VI remained significant until 72 h PI. Quantitative analysis of contrast-enhanced ultrasound. Tumour perfusion parameters assessed by
CEUS also revealed the sarcomas to be less well vascularized pre-treatment than the carcinomas and the masto-
cytoma (Table 2). A difference in blood flow parameters of the tumour centre was evident in all tumour types after
CA4P administration (Figs 2–4). Overall, a significant decrease in tumour blood volume [characterized by the peak
enhancement (PE) (p = 0.001) and wash-in area-under-curve (WiAUC) (p = 0.001)] was observed after CA4P
administration. Furthermore, a significantly slower blood flow velocity [characterized by the time to peak (TTP)
(p = 0.003) and rise time (RT) (p = 0.006)] were present. Additionally, a significant increase (p = 0.019) of the resi-
dence time of blood in the tumour [characterized by the mean transit time (mTT)] was noted. Interestingly, blood
flow parameters at the tumour periphery did not significantly alter after treatment in any of the dogs. Results
i Scientific Reports | (2019) 9:9262 | https://doi.org/10.1038/s41598-019-45682-2 2 www.nature.com/scientificreports/ www.nature.com/scientificreports/ Dog n°,
tumour type
PDUS
CEUS
Histology
Vascularity Index (Vessels tumour area−1)
CEUS Parameters (Central tumour in vivo)
Necrotic tumoural tissue
(Necrosis tumour area−1)
Microvessel density
(Vessels tumour area−1)
(In vivo)
PE (au)
WiAUC (au)
TTP (s)
RT (s)
mTT (s)
(Ex vivo)
(Ex vivo)
base
10 min
20 min
30 min
24 h
72 h
Base
72 h
Base
72 h
Base
72 h
Base
72 h
Base
72 h
base
72 h
base
72 h
1, C
0.48
0.37
0.23
0.14
0.10
0.04
3536
229
11553
2618
15.22
50.29
8.84
15.98
52.92
110.78
0.015
0.110
0.54
0.03
2, S
0.17
0.11
0.09
0.09
0.04
0.07
3247
1021
15600
8340
18.38
31.82
7.87
14.74
30.09
64.05
0.001
0.215
0.21
0.06
3, S
0.15
0.12
0.06
0.03
0.03
0.03
14
1
91
3
16.89
18.00
7.66
11.22
6.60
51.96
0.012
0.853
0.09
0.02
4, S
0.04
0.04
0.03
0.01
0.02
0.01
1357
610
4933
2760
14.27
16.53
5.90
7.34
32.37
50.06
0.013
0.023
0.03
0.02
5, M
0.26
0.23
0.16
0.20
0.20
0.24
2535
363
19967
1657
20.08
31.15
3.58
17.51
31.79
60.17
0.009
0.014
0.27
0.24
6, S
0.23
0.20
0.21
0.19
0.16
0.20
2170
2757
12940
25567
24.13
23.73
9.46
10.06
34.99
36.12
0.180
0.110
0.22
0.19
7, C
0.30
0.28
0.23
0.18
0.09
0.04
5407
3953
24967
20033
22.05
20.09
11.95
8.17
49.37
48.55
0.027
0.613
0.29
0.02
8, S
0.19
0.17
0.13
0.12
0.10
0.05
396
68
1374
185
19.40
38.21
3.52
9.18
52.50
61.41
0.158
0.404
0.20
0.06 Table 2. Vascularity index and CEUS parameters in vivo, and the relative amount of necrotic tumoural tissue
and microvessel density ex vivo, pre-treatment and 72 hours after intravenous CA4P administration (75 mg m−2)
in dogs with cancer Abbreviations: CEUS, Contrast-enhanced ultrasound; CA4P, Combretastatin A4-
phosphate; PDUS, Power Doppler ultrasound; PE, Peak enhancement; AU, Arbitrary unit, WiAUC, Wash-in
area-under-curve; TTP, Time to peak; RT, Rise time; mTT, Mean transit time; C, Carcinoma; S, Sarcoma; M,
Mastocytoma. Table 2. Table 2. Vascularity index and CEUS parameters in vivo, and the relative amount of necrotic tumoural tissue
and microvessel density ex vivo, pre-treatment and 72 hours after intravenous CA4P administration (75 mg m−2)
in dogs with cancer Abbreviations: CEUS, Contrast-enhanced ultrasound; CA4P, Combretastatin A4-
phosphate; PDUS, Power Doppler ultrasound; PE, Peak enhancement; AU, Arbitrary unit, WiAUC, Wash-in
area-under-curve; TTP, Time to peak; RT, Rise time; mTT, Mean transit time; C, Carcinoma; S, Sarcoma; M,
Mastocytoma. Results
i Vascularity index and CEUS parameters in vivo, and the relative amount of necrotic tumoural tissue
and microvessel density ex vivo, pre-treatment and 72 hours after intravenous CA4P administration (75 mg m−2)
in dogs with cancer Abbreviations: CEUS, Contrast-enhanced ultrasound; CA4P, Combretastatin A4-
phosphate; PDUS, Power Doppler ultrasound; PE, Peak enhancement; AU, Arbitrary unit, WiAUC, Wash-in
area-under-curve; TTP, Time to peak; RT, Rise time; mTT, Mean transit time; C, Carcinoma; S, Sarcoma; M,
Mastocytoma. Figure 1. Tumour vascularization as measured by power Doppler ultrasound of a mammary gland
adenocarcinoma (dog 1). (A) before intravenous CA4P treatment, (B) 24 h after treatment, (C) 72 h after
treatment at matched locations. A decrease in central tumour vascularization is clearly noticeable (Scale
bar = 3 cm). Figure 1. Tumour vascularization as measured by power Doppler ultrasound of a mammary gland
adenocarcinoma (dog 1). (A) before intravenous CA4P treatment, (B) 24 h after treatment, (C) 72 h after
treatment at matched locations. A decrease in central tumour vascularization is clearly noticeable (Scale
bar = 3 cm). Scientific Reports | (2019) 9:9262 | https://doi.org/10.1038/s41598-019-45682-2 3 www.nature.com/scientificreports/ www.nature.com/scientificreports/ www.nature.com/scientificreports/ Figure 2. Tumour evaluation after CA4P treatment using contrast-enhanced ultrasound (CEUS) of a
mammary gland adenocarcinoma at a matched location (dog 1). The left side of the image corresponds to the
CEUS image of the tumour, the right side to the B-mode ultrasound. (A) before intravenous CA4P treatment,
(B) 24 h after treatment. There is a large diffuse uptake of microbubble contrast throughout the entire tumour
before treatment. In contrast, 24 h after treatment, uptake of microbubble contrast has greatly diminished in the
central tumour, indicating a decrease in central tumour vascularization (Scale bar = 3 cm). Figure 2. Tumour evaluation after CA4P treatment using contrast-enhanced ultrasound (CEUS) of a
mammary gland adenocarcinoma at a matched location (dog 1). The left side of the image corresponds to the
CEUS image of the tumour, the right side to the B-mode ultrasound. (A) before intravenous CA4P treatment,
(B) 24 h after treatment. There is a large diffuse uptake of microbubble contrast throughout the entire tumour
before treatment. In contrast, 24 h after treatment, uptake of microbubble contrast has greatly diminished in the
central tumour, indicating a decrease in central tumour vascularization (Scale bar = 3 cm). Figure 3. Regions of interest were manually drawn on the contrast-enhanced ultrasound (CEUS) image of
Fig. Results
i 2: Yellow encompasses the entire tumour, green outlines the peripheral one-third radius, and magenta
contains the centre two-thirds radius of the tumour. (C) Before intravenous CA4P treatment, (D) 24 h after
treatment (Scale bar = 3 cm). Figure 3. Regions of interest were manually drawn on the contrast-enhanced ultrasound (CEUS) image of
Fig. 2: Yellow encompasses the entire tumour, green outlines the peripheral one-third radius, and magenta
contains the centre two-thirds radius of the tumour. (C) Before intravenous CA4P treatment, (D) 24 h after
treatment (Scale bar = 3 cm). Scientific Reports | (2019) 9:9262 | https://doi.org/10.1038/s41598-019-45682-2 4 www.nature.com/scientificreports/ www.nature.com/scientificreports/ www.nature.com/scientificreports
tificreports/
Figure 4. Tumour evaluation after CA4P treatment of a mastocytoma using contrast-enhanced ultrasound
(CEUS) of 3 regions of interest (ROI) (dog 5). Time-intensity curves of ROIwhole (yellow), ROIperiphery (green),
and ROIcentre (magenta). (A) before treatment, (B) 72 h after treatment. An obvious decrease in tumour
vascularization is noted by CEUS in all three ROI’s, but is most prominent in tumour centre. Figure 4. Tumour evaluation after CA4P treatment of a mastocytoma using contrast-enhanced ultrasound
(CEUS) of 3 regions of interest (ROI) (dog 5). Time-intensity curves of ROIwhole (yellow), ROIperiphery (green),
and ROIcentre (magenta). (A) before treatment, (B) 72 h after treatment. An obvious decrease in tumour
vascularization is noted by CEUS in all three ROI’s, but is most prominent in tumour centre. Figure 5. Histopathological section of the central part of a chondrosarcoma (dog 3), 72 h after intravenous
CA4P administration. The vessel has been obstructed by a thrombus (asterisk) and necrosis of the endothelial
cell lining (arrowheads) is visible (Haemotoxylin and Eosin. Scale bar = 50 µm). Figure 5. Histopathological section of the central part of a chondrosarcoma (dog 3), 72 h after intravenous
CA4P administration. The vessel has been obstructed by a thrombus (asterisk) and necrosis of the endothelial
cell lining (arrowheads) is visible (Haemotoxylin and Eosin. Scale bar = 50 µm). Histopathological assessment of tumour necrosis and microvessel density.
Pre-treatment and
post-CA4P results for all patients are listed in Table 2. Power Doppler ultrasound was highly correlated with the MVD determinations on the anti vWF stain-
ing (Pearson R2 = 0.957, p < 0.001). There was no significant correlation between any of the CEUS parameters
and the MVD: PE (R2 = 0.397, p = 0.33), WiAUC (R2 = −0.166, p = 0.695), TTP (R2 = −0.217, p = 0.605), RT
(R2 = 0.395, p = 0.333), and mTT (R2 = 0.078, p = 0.854). Correlation of ultrasound parameters with (immuno)histopathological findings. For both the
treated and pre-treated dogs, correlations between PDUS and MVD and between CEUS and MVD are illustrated
in Fig. 7. Power Doppler ultrasound was highly correlated with the MVD determinations on the anti vWF stain-
ing (Pearson R2 = 0.957, p < 0.001). There was no significant correlation between any of the CEUS parameters
and the MVD: PE (R2 = 0.397, p = 0.33), WiAUC (R2 = −0.166, p = 0.695), TTP (R2 = −0.217, p = 0.605), RT
(R2 = 0.395, p = 0.333), and mTT (R2 = 0.078, p = 0.854). Histopathological assessment of tumour necrosis and microvessel density.
Pre-treatment and
post-CA4P results for all patients are listed in Table 2. Histopathological assessment of tumour necrosis and microvessel density. Pre-treatment and
post-CA4P results for all patients are listed in Table 2. p
p
Areas of necrosis were characterized by loss of tissue architecture, eosinophilic cellular debris, pyknosis of
nuclei and/or nuclear fragmentation. The estimated overall ratio for necrosis was 0.08 (95% CI [0.02 to 0.19])
before treatment and 0.33 (95% CI [0.01 to 0.82]) 72 h after treatment, corresponding to an overall 4.1-fold
increase in necrosis of the tumour after a single dose of CA4P (p = 0.003, 95% CI [1.39 to 11.81]). Several tumours
demonstrated a heterogeneous response within one biopsy sample. Areas of necrotic cells were interspersed with
areas of mitotic cells. In some tumours, large areas of the tumour had undergone complete cellular degeneration
and only a few viable cells remained. These viable cells were arranged concentrically around the remaining patent
blood vessels. In contrast, vessels that were blocked, resulting in complete vascular occlusion, were surrounded
by necrotic tumour cells. The endothelial cells of these obstructed vessels were fragmented and in several of the
blocked tumour vessels, thrombi were observed. (Fig. 5). ,
( g
)
Concerning the MVD, the sarcomas demonstrated a lower MVD pre-treatment than the carcinomas and the
mastocytoma, supporting the CEUS and PDUS findings. The number of tumour microvessels, identified by the
von-Willebrand factor (vWF) staining, was observed to have decreased significantly 72 h after treatment (Fig. 6). The estimated ratio of MVD was 0.22 (95% CI [0.09 to 0.36]) pre-treatment versus 0.05 (95% CI [0.03 to 0.08])
post-treatment, corresponding to a 4.4-fold reduction (p < 0.001, 95% CI [2.23 to 9.39]) in tumour microvessels
72 h after a single dose of CA4P. Scientific Reports | (2019) 9:9262 | https://doi.org/10.1038/s41598-019-45682-2 5 www.nature.com/scientificreports/ www.nature.com/scientificreports/ Figure 6. Microvessel density counting in a mammary gland adenocarcinoma (dog 7), (A) Two weeks before
CA4P treatment, (B) 72 h after CA4P treatment. A decrease in microvessel density is clearly noticeable (Anti-
von Willebrand Factor. Scale bar = 100 µm). Figure 6. Microvessel density counting in a mammary gland adenocarcinoma (dog 7), (A) Two weeks before
CA4P treatment, (B) 72 h after CA4P treatment. A decrease in microvessel density is clearly noticeable (Anti-
von Willebrand Factor. Scale bar = 100 µm). Correlation of ultrasound parameters with (immuno)histopathological findings. For both the
treated and pre-treated dogs, correlations between PDUS and MVD and between CEUS and MVD are illustrated
in Fig. 7. Discussion The harmonic signal produced by the
MB’s is greater than that of the surrounding tissue, making CEUS a very sensitive imaging technique, well suited
for the evaluation of blood flow in functional vessels56.ti l
After CA4P administration, all tumours demonstrated significant changes in the CEUS perfusion characteristics. Pre-treatment, CEUS demonstrated a rapid inflow of the MB’s into the entire tumour, a distinctive feature of malig-
nant tumours55,57, followed by a slow clearance. Post-treatment, the time constant for contrast to reach the tumour
(TTP) was increased, likely indicating a less aggressive behaviour of the tumour after CA4P treatment. Together with
a significant drop in tumour blood volume (PE and WiAUC) and increase in tumour transit time (RT and mTT),
it is possible that CA4P treatment induced a slower tumour progression, despite a continued growth of the tumour
if no adjuvant therapy is administered58. Of particular interest was that the software for analysis of the CEUS data
allowed for an easy and objective distinction between the measurements of tumour centre versus periphery, which is
important in the determination of drug efficacy and prognosis. Results post-CA4P-treatment clearly demonstrated
a high susceptibility of the tumour centre to necrosis formation while the perfusion of the tumour periphery was
consistently poorly affected, which is in accordance with previous research3,6,47,59.i y
yf
Although the CEUS parameters demonstrated significant reduction in perfusion in the tumour centre, the
correlation between the CEUS parameters and the gold standard MVD failed to reach statistical significance. In
the study carried out by Zhang and colleagues39, the CEUS parameter maximum intensity (IMAX) was found
to be closely correlated with MVD. This parameter represents the average US contrast agent concentration of
the analysis region of interest (ROI) (tumour tissue) relative to that of the reference ROI (healthy tissue) which
is assumed to be 100%. Calculating the IMAX necessitates obtaining images including both tumour tissue and
healthy tissue in the same image. This is perfectly feasible in rodent tumour models, with tumours reaching only
several mm’s in diameter. However, in pet animal or human patients with spontaneous tumours, which can easily
reach several cm’s in diameter, it is not possible to obtain images containing both tumoural and healthy tissue. Additionally, for some tumours it can be difficult to distinguish healthy tissue from tumour infiltrated tissue,
based on US alone. Therefore, IMAX is not always a useful parameter in a clinical setting. Discussion In this study, PDUS was compared with histopathology and assessed as a technique for the in vivo assessment of
spontaneous tumour vascular response to CA4P treatment. Additionally, the reduction in tumour blood velocity
was assessed by means of CEUS. Power Doppler ultrasound (US), CEUS and histopathology each revealed vas-
cular shutdown with considerable necrosis within a 72 h period post-treatment. p
p
Ideally, clinical monitoring tools should be non-invasive, allowing for serial assessments of the same tumour
mass without risk for the patient. Currently, the gold standard to assess the therapeutic effect of anti-vascular
therapy on tumour vascularisation is microscopic determination of MVD in pre- and post-treatment histologi-
cal tissue sections22. To improve blood vessel detection on histological slides, immunohistochemical staining of
endothelial cell markers is performed. However, in addition to tissue biopsy being an invasive monitoring tech-
nique, early treatment response of anti-vascular agents such as CA4P can be misjudged in post-treatment biop-
sies; as several VDA’s induce changes in tumour blood perfusion well before vessel regression becomes apparent
on histopathological tissue sections22.h p
g
The need for non-invasive techniques allowing early evaluation of clinical patients treated with fast-acting
anti-vascular treatments is evident. To date, non-invasive techniques such as DCE-MRI, PET, and near-infrared
spectroscopy have been explored to demonstrate changes in tumour perfusion and viability in both rodent
tumour models and human patients13,23,27,47. However, these techniques are not always readily available and they
are expensive, and some require ionizing radiation (PET) and/or heavy sedation or even general anaesthesia of
the patient (DCE-MRI, PET). In contrast, US is assumed to be a promising angiogenesis assessment modality, as
it is a widely available, non-radioactive, real-time and cost-effective alternative for above-mentioned techniques39. Additionally, CEUS is also suitable for use in patients with renal and hepatic failure because of the pulmonary
elimination of the contrast agent48. Scientific Reports | (2019) 9:9262 | https://doi.org/10.1038/s41598-019-45682-2 6 www.nature.com/scientificreports/ Figure 7. Scatter plot revealing the correlation between the power Doppler ultrasound (PDUS) and the
microvessel density (R2 = 0.957; p < 0.001). The X- and Y-axes are expressed as the ratios between pre- and post
CA4P measurements. Figure 7. Scatter plot revealing the correlation between the power Doppler ultrasound (PDUS) and the
microvessel density (R2 = 0.957; p < 0.001). The X- and Y-axes are expressed as the ratios between pre- and post
CA4P measurements. Discussion Vascular imaging such as US allows quantification of the number and spacing of blood vessels and to assess
blood flow in a non-invasive and functionally relevant way. Therefore, US has the potential to assess the immedi-
ate efficacy of anti-vascular therapy49. Power Doppler US is a technique that displays the strength of the amplitude
in colour, rather than speed or direction information, by using the amplitude of a Doppler shift to detect moving
matter50. Noise is assigned a uniform colour that remains constant while flow is shown as a contrasting colour. As
a result, PDUS has three to five times the sensitivity of conventional colour Doppler for the detection of flow50,51. Although the sensitivity of the technique certainly varies with both vessel calibre and flow rate, previous studies
have demonstrated Doppler detection of flow through tumour vessels as small as 10–20 μm52,53.hi ppl
g
μ
The results of the PDUS clearly confirmed that CA4P treatment of spontaneous solid tumours in dogs resulted
in an acute tumour vascular response within 10 min after start of the infusion. The statistically significant corre-
lation between intratumoural VI and the gold standard MVD at 72 h supports the hypothesis that PDUS offers
an objective and reliable assessment of the tumour vascularity at the time of US scanning in an in vivo and in situ
manner22,41,43,44. Standardized power Doppler settings and image-processing protocols enable a precise and objec-
tive evaluation of the VI and make PDUS a convenient and immediately applicable way to determine the efficacy
of anti-vascular agents in a therapeutic setting.hl g
p
g
The susceptibility of PDUS to flash artefacts, because of its high motion sensitivity, is one of its major limi-
tations. Patient cooperation is necessary to decrease artefacts resulting from excessive movement (e.g. panting),
as prominent soft-tissue motion may preclude the use of PDUS. For human patients, this is not likely to form
a problem; veterinary patients may need sedation with drugs known not to interfere with vascularisation (i.e. Butorphanol, MSD, Brussel, Belgium)54 if highly excited or fearful.hli g
g y
The CEUS contrast agent SonoVueTM consists of sulfur hexafluoride-filled microbubbels (MB’s) in a phospho-
lipid shell48. The mean diameter of the sulfur hexafluoride-filled MB’s is 2.5 µm, resulting in a strictly intravascular
trajectory of the bubbles without any interstitial component55. At low acoustic power, alternating expansion and
contraction of the MB’s result in a vibration, generating harmonic echoes. Discussion Notwithstanding the
fact that the CEUS parameters assessed in the current research were not significantly correlated to the MVD
results, previous research demonstrated that CEUS provides an excellent non-invasive quantitative and quali-
tative alternative for tissue biopsies, as it has proven to be at least as sensitive a method for tumour angiogenesis Scientific Reports | (2019) 9:9262 | https://doi.org/10.1038/s41598-019-45682-2 7 www.nature.com/scientificreports/ www.nature.com/scientificreports/ Figure 8. A representative slide of microvessel density counting in a mammary gland adenocarcinoma (dog 7)
before treatment with CA4P, before (A) and after (B) application of an H-DAB filter (Anti-von Willebrand
Factor. Scale bar = 100 µm). Figure 8. A representative slide of microvessel density counting in a mammary gland adenocarcinoma (dog 7)
before treatment with CA4P, before (A) and after (B) application of an H-DAB filter (Anti-von Willebrand
Factor. Scale bar = 100 µm). monitoring as histopathology39,60. In this research, CEUS was not considered a reliable alternative, but rather an
excellent adjunct to PDUS to assess tumour blood velocity between the different tumour areas before and after
CA4P treatment. The necessity for intravenous administration and the availability of the MB’s and the dedicated
software can be considered as drawbacks for the use of CEUS. However, the authors are of the opinion that the
addition of CEUS to PDUS is relevant and beneficial, and the combination of these imaging modalities is an
attractive and preferable alternative to sequential biopsies for the evaluation of CA4P treatment response.h monitoring as histopathology39,60. In this research, CEUS was not considered a reliable alternative, but rather an
excellent adjunct to PDUS to assess tumour blood velocity between the different tumour areas before and after
CA4P treatment. The necessity for intravenous administration and the availability of the MB’s and the dedicated
software can be considered as drawbacks for the use of CEUS. However, the authors are of the opinion that the
addition of CEUS to PDUS is relevant and beneficial, and the combination of these imaging modalities is an
attractive and preferable alternative to sequential biopsies for the evaluation of CA4P treatment response.h There are some limitations to this clinical trial. Only a small number of patients with a variety of tumour types
and stages were assessed. Additionally, only dogs with superficial tumours were enrolled in this proof-of-concept
study because a superficial location made it practical and acceptable to obtain a 72 h post-treatment tumour
biopsy. Discussion Lastly, due to ethical regulations, only tumoural tissue was biopsied and imaged by PDUS and CEUS,
while healthy tissue was not evaluated. Therefore, it cannot be confirmed that the effect of CA4P was truly limited
to tumoural tissue without healthy tissue being affected at all. Conclusionh This research confirms that measurement of the intratumoural VI by means of PDUS is correlated highly with
the conventional MVD assay and is potentially useful for clinical monitoring of CA4P treatment. Assessment of
the CEUS parameters support these findings and additionally prove primary response location to be the tumour
centre. Additionally, our results emphasize that dogs with spontaneous cancer offer a novel and relevant model
for studies of vascular disrupting therapy. p
g
py
Considering the US results of this study, the clinical value of this non-invasive modality warrants fur
exploration and development of this technology during assessment of vascular targeting therapies. Methods All CA4P solutions were prepared in a biological safety cabinet and were administered within 30 min of
preparation as an intravenous infusion at a dose of 75 mg m−2 61, over a time span of 30 min using a volumetric
pump. Power Doppler ultrasound imaging. To obtain the PDUS images, a linear 12-5 MHz transducer was used
on a dedicated ultrasound machine (Philips, iU22 xMATRIX, Philips Medical Systems, Bothell, WA, USA), oper-
ated at a Doppler gain of 76%, low persistence, pulse repetition frequency 500 Hz, and wall filter 47 Hz. The depth
and position of the focus (single focus) were adapted based on the size of the tumour. The settings were standard-
ized and repeated at each imaging session. The plane with maximum vascular signals was found by slowly moving
the probe over the tumour, both in longitudinal and transverse orientation. The colour window was reduced in
size to just cover the tumour to improve the colour sensitivity and frame rate. Stable vascular images and movies
were captured and stored for quantitative analyses and the scan plane was documented to enable future scanning
at the identical location. During the CA4P infusion, PDUS was performed at the identical tumour location at 10,
20 and 30 min. The PDUS examinations were repeated at 24 and 72 h PI at matched locations. At a later occasion,
the captured images were retrieved and the boundary of the tumour was manually delineated on the computer
with the use of the software Fiji®
62. The density of the vascular signals within the demarcated tumour was then
calculated and expressed as the VI (the number of vessels in demarcated tumour to total area of demarcated
tumour) by a researcher blinded to patient identification and tumour treatment status. Contrast-enhanced ultrasound imaging. As described in our previous study, to perform the CEUS,
a MB contrast agent (Sonovue®, Bracco, Milan, Italy), consisting of lipid-stabilized MB’s with a sulphur hex-
afluoride gas core, was injected IV as a bolus (0.04 mL kg−1) immediately followed by a 2.5 mL flush of sterile
saline (Mini-Plasco NaCl 0.9%, Braun, Diegem, Belgium)45. Images were acquired using a linear 12-5 MHz probe. Machine settings were standardized: gain optimized to start with a nearly black baseline image (suppression
background signal), dynamic range 50, mechanical index 0.09, and persistence off. Methods The depth and position of the
focus (single focus) were adapted based on the size of the tumour. During pre-treatment scanning, the scan plane
was recorded for future assessment. All dogs received three injections of contrast media. Based on pre-existing
knowledge, the second and third injection results were used since they resulted in more consistent enhancement
than the first injection63. Between injections, the output power was adjusted to maximum with continued imaging
of the tumour until background echogenicity was similar to pre-injection levels, indicating destruction of most
residual contrast bubbles. In our experience, complete wash-out of the MBs was accomplished within 120 s, there-
fore the time frame for data collection was set at 0–120 s.t After CA4P infusion, CEUS was repeated at a matched tumour location at 72 h PI. All CEUS studies were
digitally registered as movie clips (10 frames/sec) for two min after bolus injection. Clips were then exported to
an offline computer, where they were randomized and anonymized. Subsequently, the clips were analysed using
integrated dedicated specialized computer software (VueBox®, Bracco Suisse, Geneva, Switzerland) for objective
quantitative analysis. Per study, three tumour ROI (whole tumour, tumour periphery, and tumour centre) were
drawn manually on the CEUS image (Fig. 3). The first ROI encompassed the entire tumour. Second, the analysis
ROI of the tumour periphery was drawn to outline the outer one-third radius of the tumour. Finally, the analysis
ROI of the tumour centre was manually drawn inside the two-thirds radius of the tumour. Subsequently, mean
pixel intensities and time-intensity curves were created for each ROI. The curves were then analysed for perfusion
parameters representing blood volume and blood velocity. Histopathological analysis and immunohistochemistry. The tumour tissue samples were fixed
in a 10% buffered formalin solution, embedded in paraffin, and sectioned at 4 μm. Per biopsy, four sections
were cut at different depth within the biopsy to acquire technical replicate sections. Two sections with a 12 μm
interstice were stained with Haematoxylin and Eosin (HE) for the histopathological evaluation of necrosis. For evaluation of the MVD, two sections with a 12 μm interstice were stained with the endothelial cell marker
(vWF). Deparaffinized and hydrated sections underwent pre-treatment by 15 min incubation with Proteinase K
S300402-2 (Agilent, Santa Clara, CA95051, USA) and subsequently by 5 min incubation with H2O2 solution to
block the endogenous peroxidase activity. After rinsing, the sections were incubated with the primary antibody,
i.e. Methods Dogs. Dogs with histopathologically confirmed, superficial and well-defined solid tumours, suitable for US
examination, were enrolled. Specifications on patient selection have been described elsewhere45. Approval was obtained from the local research Ethical Committee (approval no. EC2015/143 and EC2016/66)
of the Faculty of Veterinary Medicine of Ghent University, Belgium and from the Deontological Committee of
the Federal Public Service of Health, Food Chain Safety and Environment, Belgium. The study protocol adhered
to the guidelines and regulations of the European Communities Council Directive (86/609/EEC)/principles of lab-
oratory animal care (NIH publication No. 85-23, revised 1985). Written informed consent was obtained from all 8 Scientific Reports | (2019) 9:9262 | https://doi.org/10.1038/s41598-019-45682-2 www.nature.com/scientificreports/ patient owners before entry into the study. The use of CA4P in canine patients was approved (approval number
0002588) by the Belgian Federal Agency for Medicines and Health Products (FAMHP). patient owners before entry into the study. The use of CA4P in canine patients was approved (approval number
0002588) by the Belgian Federal Agency for Medicines and Health Products (FAMHP). Histologic tumour assessment. Pre-treatment tumour assessment consisted first of histopathological
necrosis assessment and immunohistochemical MVD evaluation. A preliminary PDUS determined the imag-
ing plane with maximum tumour perfusion and subsequently, after patient sedation, at least dual 6-mm punch
biopsies were taken in this region. Further evaluation by medical imaging was then postponed for a minimum of
two weeks, to preclude any influence (i.e. presence of air or suture material in the tumour) caused by the biopsy
taking. 72 h following the CA4P-treatment and after all other assessments were completed, 6-mm punch biopsies
were taken in the vicinity of the pre-treatment biopsies. Preparation and administration of sterile CA4P solutions. Specifications on the preparation and
administration of CA4P have been described in our previous study45. Lyophilized CA4P (GMP quality) with
a purity of >99% was purchased from Selleck Chemicals LLC (Houston, Texas, USA), and stored under light
exclusion at a temperature of −20 °C. For the preparation of every personalized solution, the drug was accurately
weighed (Mettler Toledo XS 204; readability 0.1 mg) and reconstituted in a sterile phosphate buffered saline (PBS)
(Thermo Fisher Scientific, Erembodegem, Belgium) solution. Subsequently, the required volume of CA4P solu-
tion was pipetted and transferred to sterile amber vials. Finally, PBS was added until a final volume of 10 mL was
reached. Methods polyclonal rabbit-anti human vWF antibody A0082 (Agilent, Santa Clara, CA95051, USA) was applied at Scientific Reports | (2019) 9:9262 | https://doi.org/10.1038/s41598-019-45682-2 9 www.nature.com/scientificreports/ 1:1600 dilution for 30 min at room temperature. Subsequently, HRP was linked to the primary antibodies using
Envision Link Rabbit kit K401111-2 (Agilent, Santa Clara, CA95051, USA). Sections were then rinsed, incubated
with 3,3′-diaminobenzidine solution, and counterstained with Haematoxylin. y
Histological assessment of all biopsies was performed with the use of a Leica light microscope (Leica DMLB®,
Leica Microsystems, Germany). Slides were first scanned at low power (×20) to identify tumoural tissue. Five
fields within tumoural tissue per section were then selected randomly as counting frame at higher power (×100). Density measures were obtained by overlaying a grid on the counting frame and quantifying the crossing points
that hit the area of interest, with the use of the Fiji® software. In every HE-stained section, the relative amount
of necrotic tumour tissue was expressed as the ratio of necrotic tumour tissue to the total tumour area. The
averages of the five ratios were then calculated for each tumour biopsy. Microvessel counts were calculated in
every vWF-stained section, based on the total number of vWF-positive structures within the tumour area and
expressed as the MVD (ratio of tumour blood vessels mm−2 of tumour tissue). The averages of the five MVDs
were then calculated for each tumour biopsy. Only uninterrupted round vWF-positive structures containing a
lumen were counted as microvessels. Larger vessels with thick muscular walls and vessels with a lumen greater
than approximately eight red blood cells were excluded, as suggested by Bosari and colleagues64. All measure-
ments were performed blinded to patient identification and tumour treatment status. To facilitate recognition of
vWF-positive structures, a H-DAB filter was applied within the FiJi® software. Figure 8 shows a representative
case of MVD counting. Statistical analysis. The statistical analyses were performed as described previously45. Except for the histo-
logical data, all data were analysed with nonparametric paired tests due to the non-normal distribution of the data
using R (version 3.4.1). The Wilcoxon signed rank test and Friedman’s test (package stats, version 3.3.1) were used
for comparing paired samples across two or more time points respectively. The Mack-Skilling’s test was used as
replicated measures variant of the Friedman’s test accounting for multiple replicates per sample in the CEU data
(package asbio, version 1.5). Methods Post hoc analysis of Friedman’s tests was performed using Wilcoxon signed rank tests
and all p-values were corrected using the Holm-Bonferroni method (package stats, version 3.3.1). A two-sided
p-value of ≤0.05 was considered to indicate statistical significance. p
gi
Also the histological data, i.e. necrosis and blood vessel density data, were analysed as described in our previous
study45, using generalized linear mixed models to account for variability of individual patients and biopsies using
random effects. The package lme4 (version 1.1) was used in R (version 3.4.1). Given evidence of overdispersion, neg-
ative binomial generalized linear mixed models were fitted with the number of blood vessels or the necrosis surface
as an outcome, treatment as a fixed effect, along with a random intercept and random slope to allow for differences in
treatment effect between individual patients and control for correlation among replicated measurements. An offset
was added to control the reference area of tumour tissue assessed in each counting frame. g
The Pearson correlation coefficient was calculated and evaluated for statistical significance (package stats,
version 3.3.1) to examine the correlation between PDUS and the MVD, and between the individual CEUS param-
eters and the MVD. Ethics approval and consent to participate. The study protocol adhered to the European Communities
Council Directive (86/609/EEC)/principles of laboratory animal care (NIH publication No. 85-23, revised 1985). Approval was obtained from the local research Ethical Committee (Approval No. EC2015/143 and EC2016/66) of
the Faculty of Veterinary Medicine of Ghent University, Belgium and from the Deontological Committee of the
Federal Public Service of Health, Food Chain Safety and Environment, Belgium. Written informed consent was
obtained from all patient owners before entry into the study. The use of CA4P in canine patients was approved
(approval number 0002588) by the Belgian Federal Agency for Medicines and Health Products (FAMHP). Data Availability
The datasets used and/or analysed during the current study are available from the corresponding author on rea-
sonable request. y
The datasets used and/or analysed during the current study are available from the corresponding author on rea-
sonable request. Scientific Reports | (2019) 9:9262 | https://doi.org/10.1038/s41598-019-45682-2 References 1. Denekamp, J. The tumour microcirculation as a target in cancer therapy: a clearer perspective. European Journal of Clinica
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59. Tozer, G. et al. © The Author(s) 2019 Additional Informationh Competing Interests: The authors declare no competing interests. Publisher’s note: Springer Nature remains neutral with regard to jurisdictional claims in published maps an
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Quality of Life in Children with Primary Antibody Deficiency
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Journal of clinical immunology
| 2,014
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cc-by
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Quality of Life in Children with Primary Antibody Deficiency
P. Titman & Z. Allwood & C. Gilmour & C. Malcolmson &
C. Duran-Persson & C. Cale & G. Davies & H. Gaspar &
A J P. Titman & Z. Allwood & C. Gilmour & C. Malcolmson &
C. Duran-Persson & C. Cale & G. Davies & H. Gaspar &
A. Jones # The Author(s) 2014. This article is published with open access at Springerlink.com
Received: 4 October 2013 /Accepted: 20 June 2014 /Published online: 9 July 2014 # The Author(s) 2014. This article is published with open access at Springerlink.com
Received: 4 October 2013 /Accepted: 20 June 2014 /Published online: 9 July 2014 Abstract Primary antibody deficiency disorders (PADs) can
have an excellent outlook if diagnosed early and treated
appropriately, but require lifelong treatment with immuno-
globulin replacement. Some carry risks of inflammatory com-
plications even with optimal treatment. Quality of life (QoL)
and the psychological impact of PADs has been relatively little
studied, particularly in children. The purpose of this study was
to evaluate QoL and psychological impact in a large group of
children affected by a range of PADs, as well as a group with
transient hypogammaglobulinemia of infancy (THI). Both
parental and, where appropriate, child ratings, were collected
using standardised questionnaires (PedsQL and SDQ). Higher
rates of psychological difficulties, particularly emotional and
peer-relationship difficulties were found in children with PAD
when compared with healthy controls. Quality of life was
poorer than in healthy controls, and also worse than in chil-
dren affected by diabetes mellitus. Variations in QoL and the
degree of psychological difficulties were found between spe-
cific diagnostic groups, with children affected by THI being
amongst those with the lowest scores for QoL. Further studies
are needed to corroborate and extend these findings, but this
study confirms previous findings that primary antibody defi-
ciency has a significant impact on quality of life and psycho-
logical well-being, and additionally suggests that the impact varies according to severity of the underlying condition. For
those with significant difficulties psychological intervention at
an early stage may be beneficial. Keywords Primary antibody deficiency . quality of life . psychological difficulty . immunoglobulin . children DOI 10.1007/s10875-014-0072-x
J Clin Immunol (2014) 34:844–852 DOI 10.1007/s10875-014-0072-x
J Clin Immunol (2014) 34:844–852 ORIGINAL RESEARCH H. Gaspar
Institute of Child Health, University College London, London, UK,
UK Introduction Primary antibody deficiency syndromes (PADs) account for
the majority of primary immunodeficiency disorders [1]. Common Variable Immunodeficiency (CVID) occurs most
frequently in the population, but in children single gene dis-
orders are relatively more frequent, including X-linked agam-
maglobulinemia (XLA), hyper-IgM syndromes, rare autoso-
mal recessive agammaglobulinemias, and a variety of less
clearly defined disorders where antibody deficiency is the
major defect. Some children who have undergone stem cell
transplantation or gene therapy for severe forms of PID have
incomplete immune reconstitution and have long-term anti-
body deficiency. All forms of PAD carry a risk of long-term organ damage
as a result of repeated or chronic infections. Some are also
associated with other complications, including gastro-
intestinal inflammatory disorders, autoimmune disease, liver
disease, granulomatous disease, lymphoproliferative disease,
and occasionally malignancy. However, with early diagnosis
and optimal treatment the long-term outlook can be excellent
[2]. Electronic supplementary material The online version of this article
(doi:10.1007/s10875-014-0072-x) contains supplementary material,
which is available to authorized users. P. Titman: Z. Allwood: C. Gilmour: C. Malcolmson:
C. Duran-Persson: C. Cale: G. Davies: A. Jones (*)
Immunology Department, Great Ormond Street Hospital,
London WC1N 3JH, United Kingdom
e-mail: alison.jones@gosh.nhs.uk P. Titman: Z. Allwood: C. Gilmour: C. Malcolmson:
C. Duran-Persson: C. Cale: G. Davies: A. Jones (*)
Immunology Department, Great Ormond Street Hospital,
London WC1N 3JH, United Kingdom
e-mail: alison.jones@gosh.nhs.uk The mainstay of treatment for PAD is immunoglobulin
(antibody) replacement. Immunoglobulin can be administered
intravenously (IVIg) every 3–4 weeks, or subcutaneously
(SCIg) every 1–2 weeks. The aims of treatment are to main-
tain good health, prevent infections, prevent or arrest progres-
sion of complications, and maintain good quality of life. In J Clin Immunol (2014) 34:844–852 845 perceiving that the study would involve extra visits to hospital. 68 children, 48 boys (70 %) and 20 girls (30 %) enrolled in the
study. 43 children aged 4 years and above were eligible for the
psychological difficulties and QoL study. These included 28
boys (65 %) and 15 girls (35 %), with a mean age of 10 years
8 months, range 5 – 16 years. One girl was withdrawn after the
enrolment visit because the family no longer wished to
participate. recent years increased experience and more aggressive treat-
ment with immunoglobulin, as well as better awareness and
earlier diagnosis have led to improvements in the long-term
outlook for physical health in patients with PADs [3]. Methods Children attending a specialist/tertiary immunology service
with known or suspected antibody deficiency were invited to
take part in a study investigating a range of aspects of PAD in
children. Informed consent, and assent where appropriate, was
obtained from all participants. For the purposes of this study children were eligible if they
were affected by a primary immunodeficiency requiring long-
term immunoglobulin replacement, and in whom corrective
treatment by stem cell transplantation or gene therapy was not
indicated or, in the case of boys with CD40 ligand deficiency,
no donor was available. In addition a small group of children
with THI were studied. 1 According to European Society for Immunodeficiency (ESID) diagnos-
tic criteria 2 Diagnosis not confirmed but suggestive according to ESID criteria 2 Diagnosis not confirmed but suggestive according to ESID criteria 3 ICF syndrome (1), Activation-induced cytidine deaminase deficiency
(autosomal recessive hyper-IgM deficiency) (1), Nijmegen breakage
syndrome (1), Emanuel syndrome (chromosome 11/22 balanced translo-
cation) with hypogammaglobulinemia (1), IPEX-like syndrome (1), un-
defined (4) Introduction How-
ever, the impact of PAD and its treatment on quality of life
(QoL) has been relatively little studied. PADs carry potentially
wide-ranging impacts psychologically, emotionally and prac-
tically for the whole family. Affected children (and their
families) have to come to terms with a lifelong medical
condition that requires treatment involving regular needles
and considerable time input. In some disorders the long term
outlook is more uncertain because of the risk of non-infective
complications. 37 children were receiving long-term immunoglobulin re-
placement, 35 subcutaneously, and 2 intravenously. Addition-
ally, 1 child had received subcutaneous immunoglobulin for
approximately 10 years and was able to discontinue during the
course of the study because of normalisation of immunoglob-
ulin levels. 5 further children with probable THI were not on
replacement immunoglobulin. Children affected by transient hypogammaglobulinemia of
infancy (THI) suffer from repeated infections in the first few
years of life, and have low immunoglobulin levels that nor-
malise over time [4]. Serious life-threatening infections are
rare in this group, and immunoglobulin replacement is not
usually indicated. Nevertheless their general health can be
significantly affected. There is no diagnostic test to confirm
THI, and the diagnosis can only be certain in retrospect, once
immunoglobulin levels have normalized. Primary diagnosis is shown in Table I. For analysis of
results by diagnosis the children with ‘CVID’ and ‘possible
CVID’ have been amalgamated as ‘Combined’. Measures The aims of this study were to assess the impact on quality
of life and on psychological, emotional and behavioural
wellbeing in children affected by a range of PADs. The study
included both child self-rating and parent-rating of the impact
on the child’s QoL. Diagnostic categories of antibody defi-
ciency were also compared to determine whether potentially
more serious conditions have a greater impact.. Standardised self-report questionnaires were used to assess
psychological difficulties and quality of life. Standardised self-report questionnaires were used to assess
psychological difficulties and quality of life. Questionnaires were given to the parents and child (if
appropriate) at the enrolment visit for the study; these visits
were timed to coincide with routine follow-up out-patient
clinic appointments, and did not take place on the same day Table 1 PID diagnosis in study participants
Diagnosis
Number Percent
Confirmed CVID1
13
30
Possible CVID2
3
7
Other PID3
9
21
X-Linked Agammaglobulinemia
5
12
Antibody deficiency post Bone Marrow Transplant
for PID4
4
9
CD40 Ligand deficiency (no BMT) 5
3
7
(Probable) Transient hypogammaglobulinemia of
Infancy (THI)
6
14
TOTAL
43
100
1 According to European Society for Immunodeficiency (ESID) diagnos-
tic criteria
2 Diagnosis not confirmed but suggestive according to ESID criteria
3 ICF syndrome (1), Activation-induced cytidine deaminase deficiency
(autosomal recessive hyper-IgM deficiency) (1), Nijmegen breakage
syndrome (1), Emanuel syndrome (chromosome 11/22 balanced translo-
cation) with hypogammaglobulinemia (1), IPEX-like syndrome (1), un-
defined (4)
4 X-linked severe combined immunodeficiency (2), PNP deficiency (1),
undefined (1)
5 No donor available for stem cell transplantation Table 1 PID diagnosis in study participants
Diagnosis
Number Percent
Confirmed CVID1
13
30
Possible CVID2
3
7
Other PID3
9
21
X-Linked Agammaglobulinemia
5
12
Antibody deficiency post Bone Marrow Transplant
for PID4
4
9
CD40 Ligand deficiency (no BMT) 5
3
7
(Probable) Transient hypogammaglobulinemia of
Infancy (THI)
6
14
TOTAL
43
100
1 According to European Society for Immunodeficiency (ESID) diagnos-
ti
it i Table 1 PID diagnosis in study participants 43 parents and 39 children completed the PedsQL. 43 parents and 39 children completed the PedsQL. Quality of Life Pediatric Quality of Life (PedsQL) [6, 7]. This is a widely used generic standardised measure of
health related quality of life. It includes subscales measuring
quality of life in four domains: physical, emotional, social and
school. Parents of children aged 5 and above completed the
parent report version of the questionnaire and children aged 5
and above completed the self-report version. The results from
this study were compared with the normative values
established in the UK standardization study of this measure
[17], because these were considered to be the most appropriate
comparison group, given the measure has not been used
routinely for other patient groups within the hospital. Children’s own ratings for total difficulties were higher
than those of healthy children but this difference did not reach
significance (p=0.1). For individual subscale ratings chil-
dren’s own scores for emotional difficulties were significantly
higher than those for healthy children (p<0.05). Parent and child ratings on the SDQ were significantly
correlated (r=0.63, p<0.01) indicating a high level of agree-
ment on psychological difficulties. Quality of Life Severity of antibody deficiency can be assessed in various
ways. These include the long term impact of the condition and
the likelihood that it will result in serious health problems as
an adult, the number and frequency of infections and use of
antibiotics, and the impact of the illness on quality of life as
perceived by the child or parent. Participants 85 families were approached to take part in the wider study
and 80 % consented to participate. Reasons for non-
participation included families repeatedly not attending ap-
pointments, not having time to complete measures and 4 X-linked severe combined immunodeficiency (2), PNP deficiency (1),
undefined (1) 5 No donor available for stem cell transplantation 5 No donor available for stem cell transplantation J Clin Immunol (2014) 34:844–852 846 as immunoglobulin infusions. Assistance was provided by the
research nurse if necessary. PAD. The rating scale was shown to be reliable by assessing
inter-rater reliability between a consultant immunologist and
an experienced clinical nurse specialist (r=0.83, p<0.001). Psychological Difficulties Strengths and difficulties question-
naire (SDQ) [5]. Ethical approval for the study was granted by the Great
Ormond Street Hospital/Institute of Child Health/UCL ethics
committee. This is a widely used standardised screening measure for
common psychological difficulties in childhood and has been
shown to have good reliability and validity. One parent of all
children aged 4 – 16 completed the parent report version of the
questionnaire, and children aged 11 or above completed the
self-report version. This questionnaire measures 4 areas of
psychological difficulties: conduct (behaviour) problems,
emotional difficulties, hyperactivity, and peer relationship
difficulties, which can be combined to give a total difficulties
score. In addition, it includes a measure of prosocial behavior
– this is a measure of positive behaviour and is not included in
the total difficulties score. It also includes an impact score
which measures the perceived impact of the child’s difficulties
on their day to day life at home and at school. Children under
the age of 4 were not included because younger children do
not present with the types of psychological difficulties
assessed by this measure. This is a widely used standardised screening measure for
common psychological difficulties in childhood and has been
shown to have good reliability and validity. One parent of all
children aged 4 – 16 completed the parent report version of the
questionnaire, and children aged 11 or above completed the
self-report version. This questionnaire measures 4 areas of
psychological difficulties: conduct (behaviour) problems,
emotional difficulties, hyperactivity, and peer relationship
difficulties, which can be combined to give a total difficulties
score. In addition, it includes a measure of prosocial behavior Psychological Outcome 43 parents and 19 children completed the SDQ. Figure 1
shows mean total SDQ scores for both parent and child reports
for psychological difficulties. Figures 2 and 3 show mean
parent and child SDQ score for the same four individual
SDQ subscales. All scores were compared to normative values
for the UK population. In order to focus more specifically on
children with long-term antibody deficiency these analyses
were also carried out excluding the THI group, but this did not
affect the overall results, so data are presented for the whole
cohort. Parents of children with PAD reported significantly higher
overall rates of psychological difficulties compared to norma-
tive values for healthy children. By subscale children with
PAD had higher rates of emotional difficulties, peer relation-
ship difficulties and hyperactivity, but no significant differ-
ence in behavioural (conduct) difficulties. There were no
differences in ratings of prosocial behaviour (data not shown). (i)
Whole group Figure 4 shows parent-rated quality of life for children with
PAD compared with healthy children and also with children
affected by diabetes mellitus reported in the UK
standardisation study for the PedsQL (Upton et al. 2005). These children were chosen as an illness comparison group
because diabetes mellitus is also a lifelong condition that
requires regular medication, including frequent needles and
blood tests. Since there is no standardized measure available for rating
severity of an immunodeficiency, a 5 point clinician severity
rating scale was developed for this study, with 5 indicating the
most severe, and 1 the least severe conditions (see Online
Resource 1). Severity ratings were based on clinician’s assess-
ments of whether or not the condition was lifelong, and the
presence of, or potential for, complications of the underlying 847 J Clin Immunol (2014) 34:844–852 Fig. 1 Mean total parent and
child SDQ scores for
psychological difficulties
(including conduct, emotional,
peer relationship and
hyperactivity scores). Higher
scores indicate more difficulties,
with a maximum possible score of
40. Error bars indicate 95 %
confidence intervals; and
statistically significant differences
are indicated by an asterisk * (ii)
By diagnostic group (ii)
By diagnostic group Children’s own ratings of overall quality of life and sub-
scale scores are shown in Fig. 5, also compared with healthy
children and children with diabetes. Figures 6 and 7 show the mean overall QoL rating for
parents and children respectively, by diagnostic group. The
numbers of children in each group were small, so no statistical
analysis was possible, and results should therefore be
interpreted with caution. The ‘Other PID’ group reported the
lowest quality of life scores. Parents of children with PAD reported significantly lower
quality of life in their children on all the subscales of the
PedsQL when compared with healthy UK children. In addi-
tion, parents’ ratings were lower than parents of children with
diabetes for all subscales, with the exception of the emotional
subscale. A similar pattern was observed for child ratings of QoL;
children with PAD reported significantly lower QoL com-
pared to healthy children on all subscales (including the
overall score) of the PedsQL, and lower scores than chil-
dren with diabetes on all subscales except the emotional
subscale. Severity of Illness Mean clinician severity ratings for each of the diagnostic groups
is shown in Fig. 8. Comparison of these scores with the parent
and child reported QoL and parental reports of psychological
difficulties reveals very low correlation (parent or child report
of quality of life: r=–0.09 and r=–0.26 respectively; parental
report of psychological difficulties: r=0.19) In particular, whilst
the clinician severity rating for THI was the lowest of all the Parent and child ratings on PedsQL were very strongly
correlated (r=0.79) indicating high levels of agreement on
quality of life between parents and children. Fig. 2 Mean parent rated SDQ
individual subscale scores. Higher scores indicate higher
levels of psychological
difficulties with a maximum
possible score of 10. Error bars
indicate 95 % confidence
intervals; statistically significant
differences are indicated by an
asterisk * J Clin Immunol (2014) 34:844–852 848 Fig. 3 Mean child rated
individual SDQ subscale scores. Higher scores indicate higher
levels of psychological difficulty
with a maximum possible score of
10.. Error bars are only shown for
the emotional subscale; the
intervals for other subscales are
too large due to the small number
of children who were old enough
to complete this measure. Statistically significant
differences are indicated by an
asterisk * conditions, both children and parents in this group reported
relatively poor QoL and high rates of psychological difficulties,
second only in severity to the ‘Other PID’ group. where the most common types of difficulty children experi-
ence are conduct or behavioural problems. However, it is
consistent with studies in children with other types of primary
immunodeficiencies [9, 10], which have also found higher
rates of emotional and or peer relationship difficulties in
affected children. At present there are no intervention studies
specifically with children with these types of medical condi-
tions. However, it is likely that treatments based on family
oriented cognitive behavioural principles, which have been
found to be effective with unaffected children with these types
of psychological difficulties may be appropriate, but further
research is needed on evaluating treatment approaches Discussion This current study shows that children with a range of primary
antibody deficiencies have higher rates of psychological dif-
ficulties compared to healthy children. This is consistent with
findings in many other types of chronic illness in childhood,
where children have also been shown to be at higher risk of
psychological disorders [8]. Specifically, children in this study
had higher rates of emotional difficulties, peer relationship
difficulties and hyperactivity, but did not have higher rates of
behavioural (conduct) disorders. These differences are clini-
cally meaningful and equivalent to moderate to large effect
sizes, representing the highest (most affected) 20 % of chil-
dren in the general population in terms of levels of psycho-
logical difficulties. This pattern of psychological difficulties is
in contrast to studies of children in the general population, Both children and parents reported lower levels of QoL
than healthy children, but, perhaps more surprisingly, they
also reported lower QoL than a comparison group of children
with diabetes mellitus. This comparison group was chosen
because it has similar implications to PAD, being a lifelong
disorder, requiring treatment with regular needles, and carry-
ing significant risks of life-threatening and life-limiting com-
plications. The finding of worse QoL in children with PAD
than those with diabetes is unexpected in light of the belief Fig. 4 Mean parent rated overall quality of life and subscale scores for
children with PAD, compared both with healthy children and with a group
of children with diabetes mellitus included in the UK standardization
study of the PedsQL [17]. Higher scores indicate better QoL and there is a
maximum score of 100. Error bars indicate 95 % confidence intervals;
statistically significant differences are indicated by an asterisk * Fig. 4 Mean parent rated overall quality of life and subscale scores for
children with PAD, compared both with healthy children and with a group
of children with diabetes mellitus included in the UK standardization
study of the PedsQL [17]. Higher scores indicate better QoL and there is a
maximum score of 100. Error bars indicate 95 % confidence intervals;
statistically significant differences are indicated by an asterisk * Fig. 4 Mean parent rated overall quality of life and subscale scores for
children with PAD, compared both with healthy children and with a group
of children with diabetes mellitus included in the UK standardization study of the PedsQL [17]. Discussion Higher scores indicate better QoL and there is a
maximum score of 100. Error bars indicate 95 % confidence intervals;
statistically significant differences are indicated by an asterisk * 849 J Clin Immunol (2014) 34:844–852 Fig. 5 Mean child rated overall quality of life and subscale scores
compared both with healthy children and with a group of children with
diabetes mellitus included in the UK standardization study of the PedsQL
[17]. Higher scores indicate better QoL and there is a maximum score of
100.. Error bars indicate 95 % confidence intervals; statistically signifi-
cant differences are indicated by an asterisk * Fig. 5 Mean child rated overall quality of life and subscale scores
compared both with healthy children and with a group of children with
diabetes mellitus included in the UK standardization study of the PedsQL [17]. Higher scores indicate better QoL and there is a maximum score of
100.. Error bars indicate 95 % confidence intervals; statistically signifi-
cant differences are indicated by an asterisk * amongst clinicians that QoL can be ‘normal’ in children with
PADs provided that treatment is optimised. A noticeable
finding is that scores relating to school were particularly
low; which might reflect a sense of isolation resulting from
fear of infections or of difference from peers. The data for the
comparison group of children with diabetes was taken from
the UK standardization of the quality of life measure [7] but in
future research it would be important to collect data on a
matched control group if possible. amongst clinicians that QoL can be ‘normal’ in children with
PADs provided that treatment is optimised. A noticeable
finding is that scores relating to school were particularly
low; which might reflect a sense of isolation resulting from
fear of infections or of difference from peers. The data for the
comparison group of children with diabetes was taken from
the UK standardization of the quality of life measure [7] but in
future research it would be important to collect data on a
matched control group if possible. studies have compared QoL in adults and children affected by
PADs with healthy controls and other chronic diseases. These
suggest that QoL in adults with CVID is worse than in healthy
controls and patients with congestive heart failure or diabetes
mellitus [14, 15], but QoL in adult males with XLA is similar
to healthy controls [16, 17]. Fig. 6 Mean parent rated overall
quality of life by diagnostic group
Higher scores indicate better QoL
and there is a maximum score of
100. For analysis of results by
diagnosis the children with
‘CVID’ and ‘possible CVID’
have been amalgamated as
‘Combined’ Discussion Whilst most other studies of children with PIDs have also
shown a significant impact on QoL when compared to healthy
controls, results have varied when compared to other health
conditions. Zebracki et al. [18] found that parents reported
lower QoL in children with various PIDs (all requiring IVIg)
than in healthy controls, but similar to children with juvenile
arthritis. Mozaffari et al. [19] found self-reported QoL in
children with PIDs was lower than for healthy aged-matched
controls. A study of children and adolescents affected by X-
linked agammaglobulinemia, which included both parental
and self-reporting, showed poorer QoL in affected boys than
in healthy controls, but better than in children with rheumatic
disorders [20]. These paediatric studies have been performed
in populations from diverse geographical backgrounds, and
the availability of early diagnosis and access to optimal treat-
ment may vary, but the findings show consistently that quality
of life in children with PID is worse in all groups than in A possible confounding factor is that timing of completion
of questionnaires in relation to immunoglobulin infusions
could have had an impact on responses, particularly if there
were associated adverse reactions. However, none of the
children received their infusions on the day of completing
questionnaires, and there were no significant adverse reactions
in any of the participants during the course of the study. All
children were well-established and stable on long-term
treatment A small number of previous studies have investigated QoL
in PADs. Several have focussed on comparison between IVIg
and SCIg, demonstrating broadly improved QoL in both
adults and children who switch from IV to SC treatment,
particularly when treatment is given at home [11–13]. Other Fig. 6 Mean parent rated overall
quality of life by diagnostic group
Higher scores indicate better QoL
and there is a maximum score of
100. For analysis of results by
diagnosis the children with
‘CVID’ and ‘possible CVID’
have been amalgamated as
‘Combined’ J Clin Immunol (2014) 34:844–852 850 Fig. 7 Mean child rated overall
quality of life by diagnostic group
Higher scores indicate better QoL
and there is a maximum score of
100. For analysis of results by
diagnosis the children with
‘CVID’ and ‘possible CVID’
have been amalgamated as
‘Combined’ healthy controls. Future research should focus on determining
what factors are related to variation in QoL, such as the impact
of the effectiveness of treatment in improving QoL. managed with antibiotics. Discussion They are monitored with regular
blood tests to ensure that immunoglobulin levels are improv-
ing, and reassurance to parents that the likely outcome will be
normality. However, these findings suggest that the impact of
THI on children and families is greater than expected, and
may raise questions about management of such children. It is
also possible that this reflects the relatively short time that the
parents have had to adjust to their child’s condition, since the
children with THI were somewhat younger and therefore there
will have been a shorter time since diagnosis. Additionally the
uncertainty about the long-term outlook may contribute to the
findings. Further studies are needed in this group to determine
if this result is replicated and to establish whether the impact is
significant enough in some cases to justify more aggressive
treatment – in particular whether more of these children might
benefit from short to medium-term immunoglobulin
replacement. A range of antibody deficiency disorders were included in
the study. Variations in QoL were observed between diagnos-
tic groups but the small numbers in each group did not permit
assessment of significance. At the moment, these results must
be interpreted with caution given the small numbers of partic-
ipants in this sample, however, this is an important area to
study in future and may explain variations in impact of PADs
on QOL seen in previous studies. For example, boys affected
by XLA and children in the post-BMT group reported higher
levels of QoL, consistent with the low incidence of non-
infectious complications in these two groups. Children with
CVID and ‘other’ PAD reported lower QoL, consistent with
the higher incidence of other complications they experience. However, surprisingly, for the small group of boys with CD40
ligand deficiency (which carries a high risk of liver disease
and other complications) parental QoL ratings were higher
than for all other groups. Conversely, parent reports for the
group with ‘probable THI’ reported lower QoL than all groups
except 'other PAD'. THI is not associated with serious infec-
tions or complications, and affected children are usually There have been no previous attempts to correlate QoL
with severity of underlying disorders. Objective ratings of
severity of illness by clinicians revealed discrepancies with
the child and parents’ ratings of the impact on QoL. References References other PAD, and post-BMT PAD are rated as intermediate, and
THI is significantly milder. These perceptions do not tally
with the QoL data, and this illustrates the importance of
considering patient/parent reported outcomes, as well as more
‘objective’ ratings based on clinical experience. other PAD, and post-BMT PAD are rated as intermediate, and
THI is significantly milder. These perceptions do not tally
with the QoL data, and this illustrates the importance of
considering patient/parent reported outcomes, as well as more
‘objective’ ratings based on clinical experience. 1. Gathmann B, Binder N, Ehl S, Kindle G. ESID registry working
party. The european internet-based patient and research database for
primary immunodeficiencies: update 2011. Clin Exp Immunol. 2012;167(3):479–91. When the study was established it was hoped that compar-
isons could be made between children receiving IVIg and
SCIg. However, the majority of children on long-term immu-
noglobulin at this centre are on SCIG, only 2 children in this
cohort receiving their immunoglobulin intravenously. It was
therefore not possible to compare the two groups in terms of
QoL or psychological difficulties. Previous research has dem-
onstrated improved QoL for both children and adults when
moving from IVIG to SCIG, with emphasis on the impact of
home versus hospital-based therapy. 2. Wood P, Stanworth S, Burton J, Jones A, Peckham DG, Green T,
et al. UK primary Immunodeficiency network. Recognition, clinical
diagnosis and management of patients with primary antibody defi-
ciencies: a systematic review. Clin Exp Immunol. 2007;149(3):410–
23. 3. Resnick ES, Moshier EL, Godbold JH, Cunningham-Rundles C. Morbidity and mortality in common variable immune deficiency over
4 decades. Blood. 2012;119(7):1650–7. 4. Moschese V, Graziani S, Avanzini MA, Carsetti R, Marconi M, La
Rocca M, et al. A prospective study on children with initial diagnosis
of transient hypogammaglobulinemia of infancy: results from the
Italian Primary Immunodeficiency Network. Int J Immunopathol
Pharmacol. 2008;21(2):343–52. There are limitations to this study which mean the results
do need to be seen as preliminary; future research should
address these if possible. Firstly, the results from the PAD
group were compared with normative values for the standard-
ized measures rather than with a matched control group of
children. Future research should include an appropriate con-
trol group, for example contemporaneous controls with other
medical conditions treated at the same hospital. References In addition
this was a cross sectional study so it was not possible to relate
results to the child’s medical treatment, and in particular
whether infections were well controlled and if they were
receiving optimal treatment. Although the overall numbers
of patients was relatively high compared to other studies of
children with these rare conditions, the numbers in individual
diagnostic groups and age groups were relatively small, lim-
iting the comparisons that could be made. Future studies
should ideally have enough power to investigate these factors,
which may have an important impact on both psychological
outcome and QoL but could not be included in this study. 5. Goodman R. The extended version of the strengths and difficulties
questionnaire as a guide to child psychiatric caseness and consequent
burden. J Child Psychol Psychiatry. 1999;40:791–9. 6. Varni JW, Seid M, Kurtin PS. PedsQL 4.0: reliability and validity
of the pediatric quality of life inventory version 4.0 generic core
scales in healthy and patient populations. Med Care. 2001;39(8):
800–12. 7. Upton P, Eiser C, Cheung I, Hutchings H, Jenney M, Maddocks A,
Russell I and Williams JG. Measurement properties of the UK-
English version of the Pediatric Quality of Life Inventory™4.0
(PedsQL™) generic core scales. Health and Quality of Life
Outcomes. 2005;3:22 8. Glazebrook C, Hollis C, Heussler H, Goodman R, Coates L. Detecting emotional and behavioural problems in paediatric clinics. Child Care Health Dev. 2003;29:141–9. 9. Skucek E, Butler S. Social outcome in children treated by
haematopoietic cell transplant for congenital immunodeficiency. Bone Marrow Transplantation. 2011;46:1314–20. 10. Cole TS, Jones L, Mc Grogan P, Pearce M, Flood T, Cant A, et al. Emotional and behavioural difficulties in chronic granulomatous
disease. Arch Dis Child. 2012;97:87. 11. Gardulf A, Nicolay U, Asensio O, Bernatowska E, et al. Children and
adults with primary antibody deficiencies gain quality of life by
subcutaneous IgG self-infusions at home. J All Clin Immunol. 2004;114(4):936–42. 12. Gardulf A, Borte M, Ochs H, Nicolay U, et al. Prognostic factors for
health-related quality of life in adults and children with primary
antibody deficiencies receiving SCIG home therapy. Clin Immunol. 2008;126:81–8. Discussion According
to clinician ratings, CD40 ligand deficiency is the ‘most
severe’ of the PAD disorders in this study, while XLA, CVID, Fig. 8 Mean clinician severity
ratings for each of the diagnostic
groups. The maximum score is 5,
indicating most severe. For
analysis of results by diagnosis
the children with ‘CVID’ and
‘possible CVID’ have been
amalgamated as ‘Combined’ J Clin Immunol (2014) 34:844–852 851 17. Howard V, Greene JM, Pahwa S, Winkelstein JA, Boyle JM,
Kocak M, et al. The health status and quality of life of adults
with X-linked agammaglobulinemia. Clin Immunol. 2006;118:
201–8. 18. Zebracki KP, Hostoffer TM, Duff K, Drotar D. Health-related
quality of life of children with primary immunodeficiency 20. Aghamohammadi A, Movahedi M, Gharagozlou M, Entezari
N. Health-Related Quality of Life in Primary Immune Deficient
Patients Iran. J Allergy Asthma Immunol. 2006;5(1):23–7. 19. Mozaffari H, Pourpak Z, Pourseyed S, Moin M, Farhoodi A disease: a comparison study. Ann Allergy Asthma Immunol.
2004;93:557–61.
19. Mozaffari H, Pourpak Z, Pourseyed S, Moin M, Farhoodi A
20. Aghamohammadi A, Movahedi M, Gharagozlou M, Entezari
N. Health-Related Quality of Life in Primary Immune Deficient
Patients Iran. J Allergy Asthma Immunol. 2006;5(1):23–7. disease: a comparison study. Ann Allergy Asthma Immunol.
2004;93:557–61. Conclusions This study confirms previous findings that primary antibody
deficiency has a significant impact on quality of life and
psychological well-being, and additionally suggests that the
impact varies according to severity of the underlying condi-
tion. For children with significant difficulties psychological
intervention at an early stage may be beneficial. 13. Nicolay U, Kiessling P, Berger M, Gupta S, Yel LR, Gardulf C, et al. Health-related quality of life and treatment satisfaction in North
American patients with primary immunedeficiency diseases receiv-
ing subcutaneous IgG self-infusions at home. J Clin Immunol. 2006;26(1):65–72. 14. Tcheurekdjian H, Palermo T, Hostoffer R. Quality of life in
common variable immunodeficiency requiring intravenous im-
munoglobulin therapy. Ann Allergy Asthma Immunol. 2004;93:
160–5. Acknowledgments
Financial support for this study was provided by
Great Ormond Street Hospital Children’s Charity. The authors declare
that they have no conflict of interest. 15. Quinti I, Di Pietro C, Martini H, Pesce AM, Lombardi F,
Baumghartner M, et al. Health related quality of life in common
variable immunodeficiency. Yonsei Med J. 2012;53(3):603–10. 16. Winkelstein JA, Conley ME, James C, Howard V, Boyle J. Adults
with X-linked agammaglobulinemia: impact of disease on daily lives,
quality of life, educational and socioeconomic status, knowledge of
inheritance, and reproductive attitudes. Medicine (Baltimore). 2008;87(5):253–8. Open Access This article is distributed under the terms of the Creative
Commons Attribution License which permits any use, distribution, and
reproduction in any medium, provided the original author(s) and the
source are credited. 852 J Clin Immunol (2014) 34:844–852
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Corrigendum: Stepping to phase-perturbed metronome cues: multisensory advantage in movement synchrony but not correction
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Frontiers in human neuroscience
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cc-by
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GENERAL COMMENTARY
published: 19 August 2015
doi: 10.3389/fnhum.2015.00441 GENERAL COMMENTARY
published: 19 August 2015
doi: 10.3389/fnhum.2015.00441 A corrigendum on: Stepping to phase-perturbed metronome cues: multisensory advantage in movement synchrony
but not correction
by Wright, R. L., Spurgeon L. C., and Elliott, M. T. (2014). Front. Hum. Neurosci. 8:724. doi:
10.3389/fnhum.2014.00724 Stepping to phase perturbed metronome cues: multisensory advantage in movement synchrony
but not correction
by Wright, R. L., Spurgeon L. C., and Elliott, M. T. (2014). Front. Hum. Neurosci. 8:724. doi:
10.3389/fnhum.2014.00724 Due to an oversight, one of the co-author’s names was left out of the original article. The list of
authors in the original article has now been updated to include Laura C. Spurgeon who made
a significant contribution to this study, including its organization and conduct, as well as some
aspects of the design. Edited and reviewed by:
Petri Toiviainen,
University of Jyväskylä, Finland Petri Toiviainen,
University of Jyväskylä, Finland
*Correspondence:
Mark T. Elliott,
m.t.elliott@warwick.ac.uk The Author Contributions section of the original article were also updated to include Laura C. Spurgeon and the Acknowledgments section was further amended as necessary. *Correspondence:
Mark T. Elliott,
m.t.elliott@warwick.ac.uk The authors regret the earlier omission. This error does not change the scientific conclusions of
the article in any way. Received: 09 July 2015
Accepted: 20 July 2015
Published: 19 August 2015 The original article has been updated. Frontiers in Human Neuroscience | www.frontiersin.org Rachel L. Wright, Laura C. Spurgeon and Mark T. Elliott* Keywords: stepping, sensorimotor synchronization, multisensory integration, corrigendum, gait timing Citation: Wright RL, Spurgeon LC and Elliott MT
(2015) Corrigendum: Stepping to
phase-perturbed metronome cues:
multisensory advantage in movement
synchrony but not correction. Front. Hum. Neurosci. 9:441. doi: 10.3389/fnhum.2015.00441 Conflict of Interest Statement: The authors declare that the research was conducted in the absence of any commercial or
financial relationships that could be construed as a potential conflict of interest. Copyright © 2015 Wright, Spurgeon and Elliott. This is an open-access article distributed under the terms of the Creative
Commons Attribution License (CC BY). The use, distribution or reproduction in other forums is permitted, provided the original
author(s) or licensor are credited and that the original publication in this journal is cited, in accordance with accepted academic
practice. No use, distribution or reproduction is permitted which does not comply with these terms. August 2015 | Volume 9 | Article 441 Frontiers in Human Neuroscience | www.frontiersin.org
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THE EFFECT OF HOST GALAXIES ON TYPE Ia SUPERNOVAE IN THE SDSS-II SUPERNOVA SURVEY
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Astrophysical journal/The Astrophysical journal
| 2,010
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cc-by-sa
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25 Dust in our own Galaxy is usually corrected for using the dust maps of
Schlegel et al. (1998). South Africa 3 South African Astronomical Observatory, P.O. Box 9, Observatory 7935, South Africa 3 South African Astronomical Observatory, P.O. Box 9, Observatory 7935, South Africa
4 3 South African Astronomical Observatory, P.O. Box 9, Observatory 7935, South Africa
4 Department of Mathematics and Applied Mathematics, University of Cape Town, Rondebosch, 7701, S y,
,
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ent of Mathematics and Applied Mathematics, University of Cape Town, Rondebosch, 7701, South Africa p
pp
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5 Department of Physics & Astronomy, Wayne State University, Detroit, MI 48202, USA
6 pp
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5 Department of Physics & Astronomy, Wayne State University, Detroit, MI 48202, USA p
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6 Department of Physics & Astronomy, Rutgers the State University of New Jersey, Piscataway, NJ 08854, USA
7 epartment of Physics & Astronomy, Rutgers the State University of New Jersey, Piscataway, NJ 08854, USA
7 Harvard-Smithsonian Center for Astrophysics, 60 Garden Street, Cambridge, MA 02138, USA p y
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8 Department of Astronomy & Astrophysics, University of Chicago, Chicago, IL 60637, USA 9 Fermilab, P.O. Box 500, Batavia, IL 60510, USA p
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ro Cosmoparticle Physics, Department of Physics, Albanova Stockholm University, SE-106 91 Stockholm, Sweden 12 Department of Physics, Stockholm University, Albanova University Center, S-106 91 Stockholm, Sweden
13 Department of Physics, Stockholm University, Albanova University Center, S 106 91 Stockholm, Sweden
13 CEOU Department of Physics & Astronomy, Seoul National University, Seoul, Korea p
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14 Instituci´o Catalana de Recerca i Estudis Avan¸cats, E-08010 Barcelona, Spain
15 ¸
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15 Institut de F´ısica d’Altes Energies, E-08193 Bellaterra (Barcelona), Spain
6 p
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17 Space Telescope Science Institute, Baltimore, MD 21218, USA
18 y
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Space Telescope Science Institute, Baltimore, MD 21218, USA p
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18 Physics & Astronomy, University of Pennsylvania, Philadelphia, PA 19104, USA epa t e t o
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20 Department of Astronomy, Stockholm University, SE-106 91 Stockholm, Sweden p
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Cosmology Centre, Niels Bohr Institute, University of Copenhagen, Juliane Maries Vej 30, 2100 Copenhagen, Denmark
22 C
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Chil Received 2010 May 21; accepted 2010 August 3; published 2010 September 22 ABSTRACT We present an analysis of the host galaxy dependences of Type Ia Supernovae (SNe Ia) from the full three year
sample of the SDSS-II Supernova Survey. We re-discover, to high significance, the strong correlation between host
galaxy type and the width of the observed SN light curve, i.e., fainter, quickly declining SNe Ia favor passive
host galaxies, while brighter, slowly declining Ia’s favor star-forming galaxies. We also find evidence (at between
2σ and 3σ) that SNe Ia are ≃0.1 ± 0.04 mag brighter in passive host galaxies than in star-forming hosts, after
the SN Ia light curves have been standardized using the light-curve shape and color variations. This difference
in brightness is present in both the SALT2 and MCLS2k2 light-curve fitting methodologies. We see evidence for
differences in the SN Ia color relationship between passive and star-forming host galaxies, e.g., for the MLCS2k2
technique, we see that SNe Ia in passive hosts favor a dust law of RV = 1.0 ± 0.2, while SNe Ia in star-forming
hosts require RV = 1.8+0.2
−0.4. The significance of these trends depends on the range of SN colors considered. We
demonstrate that these effects can be parameterized using the stellar mass of the host galaxy (with a confidence of
>4σ) and including this extra parameter provides a better statistical fit to our data. Our results suggest that future
cosmological analyses of SN Ia samples should include host galaxy information. Key words: distance scale – galaxies: fundamental parameters – supernovae: general
Online-only material: color figures, machine-readable table Key words: distance scale – galaxies: fundamental parameters – supernovae: general
Online-only material: color figures, machine-readable table large samples, it is becoming increasingly important to under-
stand the systematic uncertainties (photometric calibration, SN
color variations, etc.) associated with using SNe Ia for cosmol-
ogy, including any additional physical parameters that could
reduce the intrinsic scatter of the population. 23 Clay Fellow.
24 Harvard-Smithsonian Center for Astrophysics Supernova Sample Clay Fellow.
24 Harvard-Smithsonian Center for Astrophysics Supernova Sample The Astrophysical Journal, 722:566–576, 2010 October 10
C⃝2010. The American Astronomical Society. All rights reserved. Printed in the U.S.A. The Astrophysical Journal, 722:566–576, 2010 October 10
C⃝2010. The American Astronomical Society. All rights reserved. Printed in the U.S.A. doi:10.1088/0004-637X/722/1/566 THE EFFECT OF HOST GALAXIES ON TYPE Ia SUPERNOVAE IN THE SDSS-II S Hubert Lampeitl , Mathew Smith
, Robert C. Nichol , Bruce Bassett
, David Cinabro , Benjamin Dilday ,
Ryan J. Foley7,23, Joshua A. Frieman8,9, Peter M. Garnavich10, Ariel Goobar11,12, Myungshin Im13, Saurabh W. Jha6,
John Marriner9, Ramon Miquel14,15, Jakob Nordin11,12, Linda ¨Ostman15, Adam G. Riess16,17, Masao Sako18, oley7,23, Joshua A. Frieman8,9, Peter M. Garnavich10, Ariel Goobar11,12, Myungshin Im13, Ryan J. Foley7,23, Joshua A. Frieman8,9, Peter M. Garnavich10, Ariel Goobar11,12, Myungs
John Marriner9, Ramon Miquel14,15, Jakob Nordin11,12, Linda ¨Ostman15, Adam G. Rie Ryan J. Foley7,23, Joshua A. Frieman8,9, Peter M. Garnavich10, Ariel Goobar11,12, Myungshin Im13, Saurabh W. Jha6,
John Marriner9, Ramon Miquel14,15, Jakob Nordin11,12, Linda ¨Ostman15, Adam G. Riess16,17, Masao Sako18, John Marriner9, Ramon Miquel14,15, Jakob Nordin11,12, Linda ¨Ostman15, Adam G. Riess16 riner9, Ramon Miquel14,15, Jakob Nordin11,12, Linda ¨Ostman15, Adam G. Riess16,17, Masao S Donald P. Schneider19, Jesper Sollerman20,21, and Maximilian Stritzinger21,22
1 I
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h PO1 3FX UK 1 Institute of Cosmology and Gravitation, University of Portsmouth, Portsmouth, PO1 3FX, UK
2 Astrophysics, Cosmology and Gravity Centre (ACGC), Department of Mathematics and Applied Mathematics, University of Cape Town, Rondebosch, 7701, 1 Institute of Cosmology and Gravitation, University of Portsmouth, Portsmouth, PO1 3FX, UK
2 A
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(ACGC) D
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d b 1 Institute of Cosmology and Gravitation, University of Portsmouth, Portsmouth, PO1 3FX, UK 23 Clay Fellow.
24 1. INTRODUCTION Alternatively, in a
study of 80 nearby SNe Ia, Nobili & Goobar (2008) found a
value of RV = 1.75 ± 0.27 for their whole sample and a lower
value of RV ∼1 if they restrict the sample to low reddening
values. These differences could suggest that the effects of dust
may also be dependent on the particular line of sight (Wood-
Vasey et al. 2007) or on the inclination of the host galaxies
(Masters et al. 2010). during the fitting of the supernova light curves by assuming a
single absorption law (RV) for all SNe, which minimizes the
scatter around the Hubble diagram (Tripp 1998). This process,
however, has led to a dust law that is significantly different from
the canonical value for our Galaxy (RV ≈3.1), e.g., Conley
et al. (2007) find RV ≈1 for nearby SNe Ia, while Kessler et al. (2009a) obtained a best fit of RV = 2.18±0.14(stat)±0.48(sys)
for the first year sample from the SDSS-II Supernova Survey. In
a recent near-infrared study of nearby SNe, Folatelli et al. (2010)
found RV ≈1–2 for their whole sample but obtained RV ≈3.2
if they exclude their most reddened objects. Alternatively, in a
study of 80 nearby SNe Ia, Nobili & Goobar (2008) found a
value of RV = 1.75 ± 0.27 for their whole sample and a lower
value of RV ∼1 if they restrict the sample to low reddening
values. These differences could suggest that the effects of dust
may also be dependent on the particular line of sight (Wood-
Vasey et al. 2007) or on the inclination of the host galaxies
(Masters et al. 2010). Table 1
Number of SNe in Our Sample Note. a Total SNe used in our analysis including spectroscopically confirmed
and photometrically classified SNe Ia. Note. a Total SNe used in our analysis including spectroscopically confirmed
and photometrically classified SNe Ia. for defining passive and star-forming host galaxies. In Section 3
we present our main results, while in Section 4 we discuss
these results in light of other work in the field. We conclude in
Section 5. Secondly, the details of the supernova progenitor system
could systematically vary between the different galaxy types. Our present theoretical understanding of SNe Ia suggests that
they are the thermonuclear explosion of a carbon–oxygen white
dwarf which has reached the Chandrasekhar limit (Whelan &
Iben 1973; Hillebrandt & Niemeyer 2000). 2. OBSERVATIONS AND DATA ANALYSIS
2.1. SDSS-II SN Sample In this analysis, we use the full data set from the SDSS-II
Supernova Survey (Frieman et al. 2008), which provides one of
the largest samples of SNe Ia currently available. The SDSS-II
SN Survey was a dedicated search for transient objects using the
SDSS 2.5 m telescope and imaging camera (York et al. 2000;
Gunn et al. 2006) to perform repeat imaging of the “Stripe 82”
region of the SDSS survey for three months a year from 2005 to
2007. The SDSS-II transient database contains many thousands
of potential SN candidates, out to z ∼0.5, of which ≃500
were spectroscopically confirmed as SNe Ia during the survey
period (Sako et al. 2008; Holtzman et al. 2008). The first year
(2005) of the SDSS-II SN sample was recently used for detailed
cosmological analyses (Kessler et al. 2009a; Sollerman et al. 2009; Lampeitl et al. 2010). Therefore, there are clear reasons to search for correlations
between the properties of Ia’s and the properties of their host
galaxies. For example, there is a well-established difference
between the rates of Ia’s in passive and star-forming galaxies,
potentially indicating two different paths or timescales for Ia’s
(Oemler & Tinsley 1979; van den Bergh 1990; Mannucci et al. 2005; Sullivan et al. 2006). There have also been indications
that the host galaxy type correlates with the observed residuals
on the SN Hubble diagram, even after standardizing each SN Ia
(Sullivan et al. 2003; Gallagher et al. 2008; Kelly et al. 2010). For example, Sullivan et al. (2010) recently reported that SNe
Ia in massive host galaxies are 0.08 mag brighter than those
in lower mass hosts after correction for the light-curve shape
and color (at a statistical significance of 4σ). Such correlations
would have important consequences for supernova surveys and
could improve the use of SNe Ia as “standard candles” (Wang
et al. 2009; Sullivan et al. 2010). p
For the host galaxy analysis presented herein, we focus on the
low-redshift part (z < 0.21) of the SDSS-II SN sample, where
the SN light curves are measured to high accuracy, with multiple,
high signal-to-noise ratio data points per light curve, and the k-
corrections are empirically determined to be more reliable, i.e.,
minimizing the influence of the UV-part of the SN spectrum
(see Foley et al. 2008; Kessler et al. 2009a). 1. INTRODUCTION The mechanism for
how the progenitor system accretes mass could be different
between galaxy types, either accretion from a nearby companion
star (which could have different metallicities depending on the
stellar populations in the host galaxy types) or the merger with
another white dwarf (Ruiter et al. 2009). 2. OBSERVATIONS AND DATA ANALYSIS
2.1. SDSS-II SN Sample Furthermore, the
efficiency of the SDSS-II SN Survey remains above 50% below
this redshift limit as demonstrated in Dilday et al. (2010a). To ensure that our SN sample is more complete, we also in-
clude photometric SNe Ia that have a light curve consistent with
being a Type Ia, based on the Bayesian light-curve fitting of Sako
et al. (2008), and a known host galaxy spectroscopic redshift. The likely non-Ia contamination within these additional photo-
metrically classified Ia’s is only ≃3% (Dilday et al. 2010a). We investigate the environmental dependences of SNe Ia by
studying the residuals on the Hubble diagram (around the best-
fit cosmology) as a function of host galaxy type. We further ask
if there are differences in the assumed dust law depending on
the type of the host galaxy. In Section 2, we outline the data used
in this analysis, which is taken from the full SDSS-II Supernova
Survey (Frieman et al. 2008). This sample of SNe Ia has several
advantages for such environmental studies including high survey
efficiency, multi-color (ugriz) photometry for all host galaxies
and a significant cosmological volume, thus providing a fair
sampling of the galaxy distribution. Also, the overall SN rate,
as a function of galaxy type, has been measured using this data
(M. Smith et al. 2010, in preparation). In total, this provides a sample of 361 supernovae (for
z < 0.21), of which 258 are spectroscopically confirmed. We
provide a breakdown of these SN numbers in Table 1 where
“Spec Confirm” gives just the spectroscopically confirmed SNe. In the following section, we describe the light-curve fitting
procedure and the host galaxy classification which lead to a
further reduction in the available SN sample (see Table 1). In Section 2, and the Appendix, we outline the details of
our analysis using two well-known public light-curve fitting
procedures: SALT2 (Guy et al. 2007) and MLCS2k2 (Jha et al. 2007; Kessler et al. 2009a). We also describe our methodology 1. INTRODUCTION Over the last decade, Type Ia Supernovae (SNe Ia) have be-
come important cosmological probes as they can be used to
measure distances to high redshift (z ≲1.5). In recent years, nu-
merous samples of SN Ia have been compiled, e.g., the Carnegie
Supernova Project (Hamuy et al. 2006), the Supernova Legacy
Survey (SNLS; Astier et al. 2006), ESSENCE (Wood-Vasey
et al. 2007), Sloan Digital Sky Survey (SDSS; Frieman et al. 2008), CfA24 (Hicken et al. 2009), and combined, we are ap-
proaching ∼1000 spectroscopically confirmed SNe Ia available
for cosmological analysis (Amanullah et al. 2010). With such One such parameter could be related to the environment of
the supernova. First and foremost, one would expect differences
in the colors of SNe Ia based on the different dust content of
their hosts, i.e., potential variations in local circumstellar dust
around the progenitor star (Wang 2005; Goobar 2008) and/
or differences in the global dust content of different galaxy
types.25 Despite these concerns, most analyses account for dust 566 HOST GALAXY DEPENDENCES OF SNe Ia No. 1, 2010 567 Table 1
Number of SNe in Our Sample
Selection
Spec Confirm
Totala
SALT
MLCS
SALT
MLCS
All SNe
258
361
After LC cut
192
187
253
256
After LC fitter limits
185
161
234
214
Valid host galaxy type
127
104
162
135
Passive
27
24
40
35
Star-forming
100
80
122
100
Note. a Total SNe used in our analysis including spectroscopically confirmed
and photometrically classified SNe Ia. Table 1
Number of SNe in Our Sample Table 1 during the fitting of the supernova light curves by assuming a
single absorption law (RV) for all SNe, which minimizes the
scatter around the Hubble diagram (Tripp 1998). This process,
however, has led to a dust law that is significantly different from
the canonical value for our Galaxy (RV ≈3.1), e.g., Conley
et al. (2007) find RV ≈1 for nearby SNe Ia, while Kessler et al. (2009a) obtained a best fit of RV = 2.18±0.14(stat)±0.48(sys)
for the first year sample from the SDSS-II Supernova Survey. In
a recent near-infrared study of nearby SNe, Folatelli et al. (2010)
found RV ≈1–2 for their whole sample but obtained RV ≈3.2
if they exclude their most reddened objects. 2.2. Fitting SN Light Curves We use the default modeling of internal dust as discussed in
Le Borgne & Rocca-Volmerange (2002) where a King profile
is used for the elliptical template, whilst a plane-parallel slab
distribution is used for spiral and irregular galaxies. Each
scenario is then evaluated at 69 different time-steps in their
evolution, thus resulting in 552 possible galaxy template spectra
covering a wide range of possible evolutionary scenarios. g
g
For our main SALT2 light-curve fitting analysis, we impose
the following additional criteria to our SN sample (described
in Section 2.1) to ensure robust measurements for the stretch
and color of each SN (based on our experience with the first
year SDSS-II SN cosmology analysis). First, we require at least
five epochs in all the SDSS gri passbands, with at least one
measurement before the light-curve maximum. We also require
that the reduced χ2 of the light-curve fit to the data in each filter
is less than 3. These cuts reject 108 SNe from our sample and
are shown in Table 1 labeled as “After LC cuts.” SALT2 reports for each individual SN an apparent brightness
(mB) in the B band, a stretch value (x1), and a color (or c) term,
which can then be used to calculate a distance modulus (μ)
using (1) μ = (mB −M) + αx1 −βc,
(1) where M is the “standardized” absolute SN Ia magnitude (at
x1 = c = 0), α describes the overall stretch law for the
sample, and β is the color law for the whole sample.26 We
only report the uncalibrated values of M from SALT2 which are
degenerate with our assumed value of H0. We are only interested
in relative differences in the absolute brightness of SNe, not the
true brightness. In most SN cosmological analyses, it is assumed
that these parameters are invariant to the type of host galaxy in
the sample and do not evolve with redshift, but there is no a
priori reason for such an assumption. These templates were fit to the galaxy fluxes (converted
from their model magnitudes after correcting them to the AB-
system), with the redshift fixed to the redshift of the SN or
host galaxy, to determine the best template for each host galaxy. The normalization is related to the total stellar mass of these
templates and is a free parameter which is determined as part of
the fitting procedure to the host. 2.2. Fitting SN Light Curves Several algorithms are available for fitting the light curves of
SNe and determining cosmological distances and SN properties. LAMPEITL ET AL. 568 Vol. 722 require that all SN host galaxies have a measured SDSS model
magnitude of r ⩽23. These two constraints remove 7% of our
SNe with either a missing or too faint host. We then visually
confirm each host, via inspection of images with and without the
SN present, to ensure that the correct host has been associated
with each SN. In six cases, where the host is extended or de-
blended into multiple objects by the SDSS automated software,
we adjust the host position to the center of the underlying galaxy. The two most common, publicly available, fitting methods are
SALT2 (Guy et al. 2007) and MLCS2k2 (Jha et al. 2007; Kessler
et al. 2009a); we use both of these techniques to explore the
dependences of our results on the details of the light-curve
analysis. For the main results of this paper, we use the public
SALT2 light-curve fitter and, in the Appendix, we provide a
similar analysis using MLCS2k2. We find that the results and
conclusions of this paper are consistent for both light-curve
fitting algorithms and different SN selection criteria. j
p
y g g
y
Each of the SNe Ia in our sample has a spectroscopic redshift,
either from the SN itself or its host galaxy. This redshift
is combined with the five SDSS photometric measurements
(model magnitudes in ugriz passbands corrected for Galactic
extinction) for the host galaxy to determine the star formation
rate (SFR) and stellar mass of each system, using the P´EGASE2
spectral energy distributions (Fioc & Rocca-Volmerange 1997,
1999) and the Z-PEG software package (Le Borgne & Rocca-
Volmerange 2002). In detail, we used the eight star-forming
scenarios, as listed in Table 1 of Le Borgne & Rocca-Volmerange
(2002), and assume a Kroupa (2001) initial mass function. In these scenarios, the SFR is defined for most galaxies via
SFR = ν × Mgas, where ν (in units of Gyr−1) ranges from
0.07 to 3.33, while for irregular galaxies, the SFR is defined as
SFR = 0.065M1.5
gas (Mgas is the density of gas in solar masses). 26 If the color term is interpreted as solely due to dust absorption, then the
relationship β = RB = RV + 1 should hold. However, such an interpretation is
probably too simplistic due to intrinsic variations of the SN color. 2.2. Fitting SN Light Curves We also use the best-fit template
to estimate the recent star formation rate of the host galaxy by
integrating the best-fit template over the last half a gigayear of
its evolution, e.g., if the best-fit template had an age of 8 Gyr,
then the recent SFR of the host was calculated over the period
of 8–7.5 Gyr. Error bars on these estimates were determined
by propagating the observed galaxy photometric errors. Our
technique is similar to that used by Sullivan et al. (2006), and
the Z-PEG software and the spectral energy distributions have
been used substantially in the literature (Glazebrook et al. 2004;
Grazian et al. 2006; M. Smith et al. 2010, in preparation). Based on the observed values of our SN stretch and color
distributions, we remove a further 19 light curves by imposing
the limits of −4.5 < x1 < 2 and −0.3 < c < 0.6, which
are labeled in Table 1 as “After LC fitter limits.” These limits
were empirically determined to remove SN events where SALT2
reports extreme values either for x1 or c not resembling the
majority of SN in our sample (see Figure 2), leaving 234 SNe
Ia for our main SALT2 analysis (as shown in Table 1). y
Following the usual SALT2 prescription, we determine M,
α, and β in Equation (1) by minimizing the scatter about a
fiducial redshift–distance relation. We adopt as the reference
cosmological model a flat universe with an energy density of
matter of ΩM = 0.272, taken from Komatsu et al. (2009), and
H0 = 65 km s−1 Mpc−1. We have confirmed that the main
results of this paper do not depend on the details of this assumed
cosmological model. To test the validity of our P´EGASE2-based methodology,
we have compared the stellar masses determined using the
photometric data on over 350,000 SDSS Main galaxies (taken
from DR4; Adelman-McCarthy et al. 2006) to masses derived
by Kauffmann et al. (2004) using a technique based on SDSS
spectral features. We find no mean difference between the two
mass estimates, with a variance of only 3%. 2.3. Host Galaxy Properties A key part of our analysis is the host galaxy properties for
each SN, which were determined using the techniques outlined
in detail in Smith (2008). We begin by matching SN positions,
within a 0.25 arcminute search radius, with SDSS galaxies
detected in the deep optical stacked images of “Stripe 82”
constructed from the SDSS-I/II photometry (Abazajian et al. 2009) and choose the closest match as the host galaxy. We also In Figure 1, we show the separation of host galaxies according
to their stellar mass and SFR obtained from the P´EGASE2
analysis above. We classify each host as either passive (i.e.,
shows no sign of recent star formation activity) or star-forming
(i.e., having evidence for recent star formation). To ensure a
clean separation between these two galaxy classes, we require
that the measured 1σ error on the estimated SFR for each galaxy
is smaller than the separation in SFR for the two classes of
galaxies, i.e., it is then unlikely that statistical errors on an No. 1, 2010
HOST GALAXY DE
Figure 1. Distribution of stellar mass and star formation rate (SFR) for
the complete sample of host galaxies used herein calculated using P´EGASE2. The (blue) open squares are star-forming host galaxies while solid (red) circles
are passive hosts. The open (gray) diamonds are host galaxies excluded because
either because of their large error bar (shown in gray), which makes their
classification less clear, or the fit to the SN light curve does not pass the selection
cuts discussed in the text. The dashed line shows the log(sSFR) < −10.5 limit
for star-forming galaxies discussed in the text. Passive galaxies (with zero SFR)
are artificially plotted at −4.75 to be displayed in this figure. (A color version of this figure is available in the online journal.) HOST GALAXY DEPENDENCES OF SNe Ia 569 No. 1, 2010 No. 1, 2010 No. 1, 2010
HOST GALAXY DEPENDENCES OF SNe Ia
569
Figure 1. Distribution of stellar mass and star formation rate (SFR) for
the complete sample of host galaxies used herein calculated using P´EGASE2. The (blue) open squares are star-forming host galaxies while solid (red) circles
are passive hosts. 3.1. Testing the SALT2 Stretch and Color Relations As discussed above, there is a clear trend for the x1 distribution
with host type, but no obvious trend for the color distribution. We
explored if the constants in Equation (1) (M, α, β) are dependent
on host type by using a Markov chain Monte Carlo (MCMC)
simulation where we minimize the χ2 for the fit to the distance
modulus versus redshift, as a function of (M, α, β) separately for
passive and star-forming galaxies. Fits were obtained by running
the MCMC chains with 50,000 accepted steps and adjusting the
step size empirically to achieve a typical frequency for accepted 2.3. Host Galaxy Properties Red solid
circles denote SNe in passive galaxies, whereas open blue squares indicate SNe
in star-forming galaxies. The dot-dashed box shows the restricted subsample
discussed in the text in Section 3.1. The histograms in the top panel of the
figure show the normalized distribution in c for the star-forming (blue open) and
passive (red solid) host galaxies. The right-hand panel shows similar histograms
but now for the x1 distributions. (A
l
i
f hi fi
i
il bl i
h
li
j
l ) Figure 1. Distribution of stellar mass and star formation rate (SFR) for
the complete sample of host galaxies used herein calculated using P´EGASE2. The (blue) open squares are star-forming host galaxies while solid (red) circles
are passive hosts. The open (gray) diamonds are host galaxies excluded because
either because of their large error bar (shown in gray), which makes their
classification less clear, or the fit to the SN light curve does not pass the selection
cuts discussed in the text. The dashed line shows the log(sSFR) < −10.5 limit
for star-forming galaxies discussed in the text. Passive galaxies (with zero SFR)
are artificially plotted at −4.75 to be displayed in this figure. (A color version of this figure is available in the online journal.) (A color version of this figure is available in the online journal.) distributions between SNe Ia with a rapid decline rate (small
x1 values), which favor passive galaxies, and brighter, slower
SNe (larger x1 values) that favor star-forming galaxies. This
result is clearly seen in the right-hand panel of Figure 2 and
can be quantified using a Kolmogorov–Smirnov test (K-S test),
where the probability for the two x1 distributions being drawn
from the same underlying parent distribution is only 10−7. This
result has been known for some time (Hamuy et al. 2000), but
it is reassuring that we can clearly recover this well-known
difference in the x1 distributions. individual SFR measurement can scatter a galaxy from one
host galaxy type to the other. We also exclude star-forming
host galaxies that have a specific SFR (i.e., sSFR; defined as
the SFR per stellar mass) in the range log(sSFR) < −10.5
as illustrated in Figure 1 as a dashed line. 2.3. Host Galaxy Properties This limit excludes
the locus of star-forming galaxies at the bottom of the blue
cloud of points in Figure 1, which are predominantly fit by the
P´EGASE2 lenticular galaxy scenario, thus leading to an unclear
interpretation of their star formation activity. These cuts and
limits ensure that we have two, well-separated, samples of host
galaxies. We show in Table 1 the numbers of SNe available in
these two host galaxy classes and note that many SNe have been
excluded from further analysis because of the ambiguity of their
host galaxy type. In Table 2, we provide the SN designation, host
galaxy coordinates, host galaxy stellar mass, and star formation
rate (derived from our best-fit P´EGASE2 model). We also
provide whether the SN was spectroscopically confirmed (sp) or
classified by just its light curve (lc), and if we classify the host
galaxy as passive (p) or star-forming (sf). More sophisticated
stellar population models could have been used to determine
the star formation histories of our host galaxies (Maraston et al. 2009) but we find that our classification of galaxies into two
broad classes of star formation activity is relatively unaffected
by the choice of templates (see Smith 2008 for more details). Also, our host galaxy analysis is in good agreement with a
simple cut on the color of the galaxies, e.g., dividing the galaxies
at u −r = 2.22 (Strateva et al. 2001). However, we note that in Figure 2 there is no clear separation
in the color term (c) of SNe with respect to host galaxy type, i.e.,
both populations span the same range in color. This agreement
is demonstrated in the top panel of Figure 2 and a K-S test of
the two c distributions has a probability of 0.24 of being drawn
from the same underlying parent distribution, i.e., no evidence
that they are drawn from different underlying distributions. This
observation seems counterintuitive, as we might expect some
differences in the global dust properties of these two host galaxy
types, and maybe even an inclination dependence for the disk
(star-forming) galaxies as outlined recently by Masters et al. (2010). This similarity in the color distributions implies that
the rest-frame colors of SNe are dominated either by local,
circumstellar dust, with the same color distributions, and/or
SNe Ia have the same intrinsic color variations in all galaxy
types. 2.3. Host Galaxy Properties The open (gray) diamonds are host galaxies excluded because
either because of their large error bar (shown in gray), which makes their
classification less clear, or the fit to the SN light curve does not pass the selection
cuts discussed in the text. The dashed line shows the log(sSFR) < −10.5 limit
for star-forming galaxies discussed in the text. Passive galaxies (with zero SFR)
are artificially plotted at −4.75 to be displayed in this figure. (A color version of this figure is available in the online journal.)
Figure 2. Observed distribution of the SALT2 x1 and c (color) values. Red solid
circles denote SNe in passive galaxies, whereas open blue squares indicate SNe
in star-forming galaxies. The dot-dashed box shows the restricted subsample
discussed in the text in Section 3.1. The histograms in the top panel of the
figure show the normalized distribution in c for the star-forming (blue open) and
passive (red solid) host galaxies. The right-hand panel shows similar histograms
but now for the x1 distributions. (A color version of this figure is available in the online journal.)
distributions between SNe Ia with a rapid decline rate (small Figure 2. Observed distribution of the SALT2 x1 and c (color) values. Red solid
circles denote SNe in passive galaxies, whereas open blue squares indicate SNe
in star-forming galaxies. The dot-dashed box shows the restricted subsample
discussed in the text in Section 3.1. The histograms in the top panel of the
figure show the normalized distribution in c for the star-forming (blue open) and
passive (red solid) host galaxies. The right-hand panel shows similar histograms
but now for the x1 distributions. (A color version of this figure is available in the online journal.) Figure 2. Observed distribution of the SALT2 x1 and c (color) values. Red solid
circles denote SNe in passive galaxies, whereas open blue squares indicate SNe
in star-forming galaxies. The dot-dashed box shows the restricted subsample
discussed in the text in Section 3.1. The histograms in the top panel of the
figure show the normalized distribution in c for the star-forming (blue open) and
passive (red solid) host galaxies. The right-hand panel shows similar histograms
but now for the x1 distributions. (A color version of this figure is available in the online journal ) Figure 2. Observed distribution of the SALT2 x1 and c (color) values. Host Properties Used in the Main SALT2 Analysis A portion is shown here for
guidance regarding its form and content.) Table 3
Best-fit Values for M, α, β as a Function of Host Galaxy Type
Host Galaxies
Restricteda
M
α
β
χ2
No. of SNe
Passive
No
−30.19 ± 0.03
0.16 ± 0.02
2.42 ± 0.16
34.46
40
Yes
−30.23 ± 0.05
0.18 ± 0.03
2.50 ± 0.41
12.60
27
Star-forming
No
−30.10 ± 0.01
0.12 ± 0.01
3.09 ± 0.10
143.63
122
Yes
−30.11 ± 0.02
0.16 ± 0.02
3.22 ± 0.20
94.55
89
Note. a Restricted range in allowed c and x1 as shown in Figure 2. Table 3 Table 3
Best-fit Values for M, α, β as a Function of Host Galaxy Type Note. a Restricted range in allowed c and x1 as shown in Figure 2. steps of ≈20%. One sigma errors on each parameter are provided
by marginalizing over the remaining other parameters from the
MCMC chains. We perform this analysis assuming an intrinsic
dispersion of σint = 0.14 mag, which is added in quadrature
to the errors on the distance modulus to achieve a reduced χ2
close to 1 (i.e., χ2/ndf ≈1; see Lampeitl et al. 2010 for further
discussion of this intrinsic dispersion). the residuals to the Hubble diagram (after removing the fiducial
redshift-distance relation) for the best-fit SALT2 parameters of
(M, α, β) = (−30.11, 0.12, 2.86), which were determined from
fitting the whole SN sample regardless of host galaxy type. As
can be seen, there is a visible offset between SNe in passive and
star-forming galaxies. g g
The interpretation for the other SALT2 parameters (α and β)
is less clear. First, we see no clear evidence for differences in α
with host galaxy type given the statistical errors. Next, the fitted
values of β (the color law) for star-forming galaxies do appear
to be larger than those found for passive galaxies, i.e., β values
for star-forming galaxies are above 3, while for passive galaxies
we find values below 3. The significance of this difference in
β varies between the full and restricted samples, which is not
too surprising, as excluding the outliers in the color range will
clearly increase the statistical error on the slope of the color law
seen in Table 3. The mean slope (β) is similar for both the full
and restricted sample. Host Properties Used in the Main SALT2 Analysis Host Properties Used in the Main SALT2 Analysis
Designation
Host Position
Stellar Mass
SFR
SN ID
IAU
α(J2000)
δ(J2000)
(log M⊙)
(log M⊙yr−1)
SNa
Hostb
Sample
1032
2005ez
03h07m11.s016
+01◦07′11.′′96
10.47+0.09
−0.07
N/A
sp
p
1580
2005fb
03h01m17.s544
−00◦38′38.′′63
7.72+1.00
−0.32
−0.98+1.02
−0.36
sp
sf
r
15421
2006kw
02h14m57.s912
+00◦36′09.′′80
10.17+0.12
−0.10
0.80+0.18
−0.22
sp
sf
r
11172
N/A
21h29m39.s120
−00◦12′07.′′88
10.18+0.14
−0.03
1.00+0.02
−0.33
lc
sf
r
. . . Notes. Hosts with negligible star formation rates are indicated with N/A and members of the restricted sample with r. a SN classification as an Ia based on spectra (sp) or light-curve shape (lc). b Our host classification either as passive (p) or star-forming (sf). (This table is available in its entirety in a machine-readable form in the online journal. A portion is shown here for
guidance regarding its form and content.)
Table 3
Best-fit Values for M, α, β as a Function of Host Galaxy Type
Host Galaxies
Restricteda
M
α
β
χ2
No. of SNe
Passive
No
−30.19 ± 0.03
0.16 ± 0.02
2.42 ± 0.16
34.46
40
Yes
−30.23 ± 0.05
0.18 ± 0.03
2.50 ± 0.41
12.60
27
Star-forming
No
−30.10 ± 0.01
0.12 ± 0.01
3.09 ± 0.10
143.63
122
Yes
−30.11 ± 0.02
0.16 ± 0.02
3.22 ± 0.20
94.55
89
Note. a Restricted range in allowed c and x1 as shown in Figure 2. Designation
Host Position
Stellar Mass
SFR
SN ID
IAU
α(J2000)
δ(J2000)
(log M⊙)
(log M⊙yr−1)
SNa
Hostb
Sample
1032
2005ez
03h07m11.s016
+01◦07′11.′′96
10.47+0.09
−0.07
N/A
sp
p
1580
2005fb
03h01m17.s544
−00◦38′38.′′63
7.72+1.00
−0.32
−0.98+1.02
−0.36
sp
sf
r
15421
2006kw
02h14m57.s912
+00◦36′09.′′80
10.17+0.12
−0.10
0.80+0.18
−0.22
sp
sf
r
11172
N/A
21h29m39.s120
−00◦12′07.′′88
10.18+0.14
−0.03
1.00+0.02
−0.33
lc
sf
r
. . . Notes. Hosts with negligible star formation rates are indicated with N/A and members of the restricted sample with r. a SN classification as an Ia based on spectra (sp) or light-curve shape (lc). Notes. Hosts with negligible star formation rates are indicated with N/A and members of the restricted sample with r. a SN classification as an Ia based on spectra (sp) or light-curve shape (lc). (This table is available in its entirety in a machine-readable form in the online journal. Table 2
Host Properties Used in the Main SALT2 Analysis Table 2 ab e
Host Properties Used in the Main SALT2 Analysis 3. RESULTS In Figure 2, we show the SALT2 output (x1 and c values
from Equation (1)) for our low-redshift sample of SNe. The
open (blue) squares represent SNe in host galaxies classified
as star forming as described in Section 2.3, whereas the solid
(red) circles represent SNe in passive galaxies. In agreement
with Sullivan et al. (2006), we find a clear difference in the x1 Vol. 722 LAMPEITL ET AL. 570 Figure 3. Hubble residuals as a function of redshift. The open blue squares denote SNe Ia in star-forming galaxies, while the solid red circles are SNe Ia in passive
galaxies. The dashed line is the reference absolute magnitude fit to the whole sample regardless of host galaxy type. We find that SNe Ia in passive host galaxies are
≃0.1 mag brighter than in star-forming hosts even after light-curve fitting. (A color version of this figure is available in the online journal ) . Hubble residuals as a function of redshift. The open blue squares denote SNe Ia in star-forming galaxies, while the solid red circles are SNe Ia in passive Figure 3. Hubble residuals as a function of redshift. The open blue squares denote SNe Ia in star-forming galaxies, while the solid red circles are SNe Ia in passive
galaxies. The dashed line is the reference absolute magnitude fit to the whole sample regardless of host galaxy type. We find that SNe Ia in passive host galaxies are
≃0.1 mag brighter than in star-forming hosts even after light-curve fitting. (A color version of this figure is available in the online journal.) 4.3. Mass Dependency As discussed in Section 2.3, we have classified our SN
host galaxies into two well-separated classes, namely passive
and star-forming. We initially separated the galaxies in this
way because previous studies of the properties, and rates, of
SNe Ia have shown clear correlations with the star formation
activity of the host (e.g., Hamuy et al. 2000; Sullivan et al. 2006; Mannucci et al. 2005; Dilday et al. 2010b). Gallagher
et al. (2008) showed that the measured metallicity for local SN
host galaxies was correlated to the residuals around the best-fit
distance–redshift relation, which has prompted some authors
to look for correlation with the host galaxy stellar mass as a
proxy for the metallicity (using the known mass–metallicity
relationship; Tremonti et al. 2004). Both Kelly et al. (2010) and
Sullivan et al. (2010) find such a correlation with stellar mass
and Sullivan et al. (2010) exploit this correlation to improve the
cosmological fits to the three year SNLS data set. We present here a first analysis of the SDSS-II Hubble
residuals as a function of the host galaxy stellar mass. The
advantage of such an analysis is that the host stellar mass is
a continuous parameter thus potentially avoiding uncertainties
associated with binning galaxies into two distinct samples. Unfortunately, estimating the stellar mass from broadband
photometry is challenging and therefore the measurements of
stellar mass can be noisy and potentially biased. For the analysis
below, we therefore restrict ourselves to the clean sample defined
in Section 2.3, i.e., we still do not include galaxies with an
ambiguous classification between star-forming and passive. In the Appendix, we provide a parallel analysis of our
data using the MLCS2k2 light-curve fitting technique and find
similar results to those seen in the SALT2 analysis in Section 3,
namely, differences in the absolute magnitude of SNe Ia between
passive and star-forming host galaxies, as well as differences in
the best-fit color laws (as represented by RV). This confirms that
our results are not sensitive to the details of how the light curves
were analyzed and suggests that the trends we see are either
inherent to the supernovae, especially as we still see a correlation
for the restricted sample of SN. 4.1. Systematic Uncertainties Before we interpret these results, it is important to understand
potential systematic uncertainties in our analysis. First, we have
tested if our result depends on the inclusion of a subset of
photometrically confirmed SNe. We see negligible changes in
the central values of M0, α, and β (for SALT2) which are
significantly smaller than the errors on these parameters. We
also verify the robustness of our results to reasonable changes
in the fiducial cosmological model and find no significant
effect as expected. Likewise, we have increased the redshift
range of the sample used in our analysis, e.g., increasing
the limit to z < 0.45, which more than doubles the size of
the sample but makes the sample more incomplete. We find
that the observed differences with host galaxy type are still
present, but the significance is decreased. This decrease in
significance is likely caused by the decrease in signal-to-noise
ratio for both the SN light curves and the galaxy photometry,
as well as increases in the sample incompleteness (both spectral
confirmations and Malmquist bias effects). The uncertainties
in the k-corrections are also increased as the UV part of the
SN spectrum becomes more important. We note that Sullivan
et al. (2010) see similar results but for the higher redshift
SNLS sample, thus suggesting that any decrease in significance
we witness is probably caused by observational issues rather
than evolution in the SN population. For these reasons, we
have chosen to focus on the cleanest, most efficient sample of
SDSS-II SN at z < 0.21. Host Properties Used in the Main SALT2 Analysis To ensure that our results are not driven by a few outliers,
we also perform our analyses on a restricted subset of SNe with
tighter allowed ranges of c and x1 values. This restricted sample
is illustrated in Figure 2 as the inner dot-dashed box and reduces
the sample from 162 SNe (see Table 1) to 116 SNe. In Table 3, we summarize our results for fitting M, α, β for
the full sample and the restricted subsample discussed above. We see a correlation between the host galaxy type and the
absolute magnitude (M) of the supernovae, i.e., after the SNe
have been standardized using the SALT2 light-curve fitting
algorithm, there is still a difference of ≃0.1 mag, with SNe
Ia in passive galaxies being brighter (more negative absolute
magnitudes). To illustrate this effect, we present in Figure 3 In Figure 4, we show the corrected absolute magnitude for
SNe in passive galaxies as a function of their fitted color and HOST GALAXY DEPENDENCES OF SNe Ia 571 No. 1, 2010 stretch values. The left-hand panels show the color-corrected
absolute magnitude as a function of x1, i.e., only the color part of
Equation (1) (βc) has been applied to mB. The right-
hand panels show the stretch-corrected absolute magnitude,
as a function of c, when only the stretch component of
Equation (1) (αx1) has been applied to the distance modulus. In the upper panels, we show the best-fitting law (Equation (1))
assuming the best-fit values of M, α, β for passive galaxies in
Table 3, i.e., (M, α, β)P = (−30.19, 0.16, 2.42), respectively. In the lower row of panels, we show the best-fit law again but
now assuming the best-fit parameters for star-forming galaxies,
namely (M, α, β)SF = (−30.10, 0.12, 3.09). light-curve fitting methodologies, e.g., a better representation
of local SNe in passive hosts within the MLCS2k2 training
sample or a more sophisticated parameterization of the x1 and c
distributions in SALT2 to better accommodate the fast declining
SNe Ia in passive hosts. 4.2. Intrinsic Dispersion Throughout this analysis, we have assumed an intrinsic dis-
persion for our SN sample of σint = 0.14 mag, which is
consistent with the value obtained for the first year SDSS-
II data analyzed in Lampeitl et al. (2010). In Table 3 (and
Table 5), we present the separate χ2 values for SNe in both pas-
sive and star-forming galaxies (for both SALT2 and MLCS2k2). The star-forming subsample has a reduced χ2 above unity, but
for passive hosts, the reduced χ2 value is now less than 1. This
observation suggests that SNe in passive galaxies would favor
a smaller intrinsic dispersion and are thus a more homogeneous
population, or the observed errors are more representative of the
scatter about the Hubble diagram. y
β
Comparing
the
top
and
bottom
left-hand
panels
in
Figure 4, it is clear we see that the amplitude (M) of the best-
fitted relationship is different between the two and clearly wrong
in the bottom panels (i.e., using the star-forming best-fit SALT2
parameters for SNe in passive galaxies). In Figure 5, we show
the same analysis as in Figure 4, but this time the data plotted is
for the star-forming SN sample. Again, we see that the amplitude
of the fitted law (Equation (1)) is different and inappropriate if
used to describe the wrong type of galaxy. To investigate this matter further, we have re-fit both the
passive and star-forming SN samples (with no restrictions in
c and x1) adjusting the intrinsic dispersion σint to a value that
gives a reduced χ2 close to 1. In the case where we fit the passive
sample with the parameters derived from just the passive sample
we find σint = 0.13, but these values give χ2 of 321 (for 122
SNe) for the star-forming sample. In the reverse, we fit the star-
forming sample with the best-fit star-forming parameters and
find σint = 0.17, where now the passive sample yields χ2 = 55
for 40 SNe. This result suggests that by using the larger σint
for SNe in passive hosts, we are effectively down-weighting
these SNe (by increasing their errors) because of the offset in M
between the SNe Ia in the two types of galaxies. 4.3. Mass Dependency of SNe
Full SN sample
−30.09 ± 0.01
0.13 ± 0.01
3.04 ± 0.07
0.072 ± 0.018
179.53
162
Restricted
−30.11 ± 0.01
0.16 ± 0.02
3.22 ± 0.30
0.088 ± 0.008
98.87
116 Table 5
Best-fit Values for RV and H0 as a Function of Host Galaxy Type Using
MLCS2k2 Table 5
Best-fit Values for RV and H0 as a Function of Host Galaxy Type Using
MLCS2k2
Data Set
AV Range
RV
H0
χ2
No. of SNe
Passive
Full
1.0+0.5
−0.1
66.67 ± 0.94
21.53
35
[0, 1]
1.0 ± 0.2
66.88 ± 0.95
19.82
33
Star-forming
Full
1.8 ± 0.1
62.75 ± 0.50
90.08
100
[0, 1]
1.8+0.2
−0.4
62.97 ± 0.53
63.22
89
Passive
Full
1.6+0.1
−0.2
68.63 ± 0.95
25.03
35
(No prior)
[−0.5, 1]
1.0+0.4
−0.3
66.73 ± 1.11
16.80
24
Star-forming
Full
1.7 ± 0.1
62.47 ± 0.49
80.05
100
(No prior)
[−0.5, 1]
1.6+0.3
−0.1
62.30 ± 0.53
60.69
85 preferentially higher stellar masses than the star-forming sub-
sample. A linear fit to the Hubble residuals is shown as the
inclined line (triple-dot-dashed) and has a slope of 0.069 ±
0.014 mag per log(M⊙). We see the same result, at the same
statistical significance, with our MLCS2k2 analysis in the
Appendix. Therefore, these results imply that adding an addi-
tional parameter, dependent on the host stellar mass, to Equation
(1) would give a better fit to the SDSS-II SN Hubble diagram. ( )
g
g
To quantify this statement, we have repeated our MCMC anal-
ysis in Section 3.1, but now minimizing over four parameters
(M, α, β, γ ) where calculating the distance modulus using μ = (mB −M) + αx1 −βc + γ mst,
(2) (2) where mst is defined as where mst is defined as (3) mst = log(mhost) −9.5,
(3) changed the fitted values of M, α, and β; they are close to
the values in Table 3 for star-forming hosts (which dominate the
whole sample). Secondly, we see a significant non-zero value for
γ at >4σ. Finally, we can compare the three- and four-parameter
fits (Equations (1) and (2), respectively) to the full SN sample,
regardless of host galaxy type, using the Bayesian Information where mhost is the stellar mass of the host in units of solar
mass derived from our P´EGASE2, fits to the host galaxy colors
(Section 2.3). 4.3. Mass Dependency However, further analysis is
required to conclusively determine the fundamental origin of the
observed correlations including potential improvements in the g
g
p
In Figure 6, we show the Hubble residuals as a func-
tion of stellar mass. As expected, the passive galaxies have 572 Vol. 722 LAMPEITL ET AL. 572
LAMPEITL ET AL. Vol. 722
Figure 4. Left panels: color-corrected absolute magnitudes of our SNe vs. their x1 parameters for our SN sample in passive host galaxies (without the c and x1
restrictions discussed in the text). Right panels: the x1-corrected absolute magnitudes vs. color (c) of the SNe. In the upper row we have applied to the data the best-fit
SALT2 parameters derived for the passive SN sample, whereas in the lower row we use the best-fit SALT2 parameter for the star-forming SN sample. The vertical
dashed lines indicate the restricted region in x1 and color discussed in Section 3.1 and shown as the inner dashed box in Figure 2. The inclined dashed line in the left
plots indicates the applied stretch-correction (αx1) and similarly the solid line in the right plots are the color-correction law (βc). (A color version of this figure is available in the online journal.) Figure 4. Left panels: color-corrected absolute magnitudes of our SNe vs. their x1 parameters for our SN sample in passive host galaxies (without the c and x1
restrictions discussed in the text). Right panels: the x1-corrected absolute magnitudes vs. color (c) of the SNe. In the upper row we have applied to the data the best-fit
SALT2 parameters derived for the passive SN sample, whereas in the lower row we use the best-fit SALT2 parameter for the star-forming SN sample. The vertical
dashed lines indicate the restricted region in x1 and color discussed in Section 3.1 and shown as the inner dashed box in Figure 2. The inclined dashed line in the left
plots indicates the applied stretch-correction (αx1) and similarly the solid line in the right plots are the color-correction law (βc). (A color version of this figure is available in the online journal.) Table 4
Best-fit Values (M, α, β, γ )
Data Set
M
α
β
γ
χ2
No. 4.3. Mass Dependency The results of this new analysis are presented in Table 4. First,
we see that adding an additional parameter has not significantly No. 1, 2010 1, 2010
HOST GALAXY DEPENDENCES OF SNe Ia
5
Figure 5. Same as Figure 4, but for SNe in star-forming host galaxies. The dashed lines are for the restricted subset of SNe discussed in Section 3.1. (A color version of this figure is available in the online journal.) HOST GALAXY DEPENDENCES OF SNe Ia 573 HOST GALAXY DEPENDENCES OF SNe Ia No. 1, 2010 Figure 5. Same as Figure 4, but for SNe in star-forming host galaxies. The dashed lines are for the restricted subset of SNe discussed in Section 3.1. (A color version of this figure is available in the online journal.) Figure 6. Residuals around the best-fit Hubble diagram as a function of host
galaxy stellar mass (calculated from P´EGASE2). The (red) solid circles are for
passive host galaxies, while the (blue) open squares are star-forming hosts. The
inclined triple-dot-dashed line is the best-fit to these data, while the dot-dashed
line is the fiducial three-parameter SALT2 fitted model (Equation (1)) without
regard to the host galaxy stellar mass or type. (A color version of this figure is available in the online journal.) 5. CONCLUSIONS We present an analysis of the host galaxy dependences for
the SDSS-II Supernova Survey. We have used 361 SNe Ia (see
Table 1) taken from the full three years of this survey and then
applied several data cuts to ensure that we have a clean, well-
understood, sample of low-redshift SNe (z < 0.21). We have
analyzed these data using two well-known light-curve fitting
routines (SALT2 and MLCS2k2) to demonstrate that our results
are not dependent on the details of the light-curve analysis. We
summarize below the main conclusions of this work. 1. We confirm, to high significance, the strong correlation
between host galaxy type and the observed width of
the light curve, i.e., quick decline rate SNe (small x1
values in SALT2) favor passive host galaxies, while bright,
slower decline SNe Ia (larger x1 values) favor star-forming
galaxies. This has been seen before by several authors. However, we find no correlation between the color of
individual SNe Ia and their host galaxy, as illustrated in
Figure 2. Figure 6. Residuals around the best-fit Hubble diagram as a function of host
galaxy stellar mass (calculated from P´EGASE2). The (red) solid circles are for
passive host galaxies, while the (blue) open squares are star-forming hosts. The
inclined triple-dot-dashed line is the best-fit to these data, while the dot-dashed
line is the fiducial three-parameter SALT2 fitted model (Equation (1)) without
regard to the host galaxy stellar mass or type. 2. We find that SNe Ia are ≃0.1 mag brighter in passive host
galaxies after light-curve fitting. This effect is true for both
SALT2 and MCLS2k2 analyses. The statistical significance
of this difference is between 2σ and 3σ dependent upon
the details of the fitting methodology and the inclusion of
outliers in the color and x1 distributions of these data. (A color version of this figure is available in the online journal.) Criteria (BIC; Liddle 2004). BIC is a penalized likelihood
statistic that accounts for models with different numbers of
parameters, and we find that the BIC score for Equation (2)
is 117 compared to 134 for Equation (1). The smaller BIC score
demonstrates that the additional parameter is justified. 3. We find evidence for differences in the SN color rela-
tionship between passive and star-forming host galaxies. For SALT2, we detect differences in β, with passive hosts
showing β ≃2.5 and star-forming hosts preferring β > 3. 5. CONCLUSIONS For MLCS2k2, we see a similar trend for passive hosts LAMPEITL ET AL. 574 Vol. 722 the Japan Participation Group, Johns Hopkins University, the
Joint Institute for Nuclear Astrophysics, the Kavli Institute
for Particle Astrophysics and Cosmology, the Korean Scien-
tist Group, the Chinese Academy of Sciences (LAMOST),
Los Alamos National Laboratory, the Max-Planck-Institute for
Astronomy (MPA), the Max-Planck-Institute for Astrophysics
(MPiA), New Mexico State University, Ohio State University,
University of Pittsburgh, University of Portsmouth, Princeton
University, the United States Naval Observatory, and the Uni-
versity of Washington. the Japan Participation Group, Johns Hopkins University, the
Joint Institute for Nuclear Astrophysics, the Kavli Institute
for Particle Astrophysics and Cosmology, the Korean Scien-
tist Group, the Chinese Academy of Sciences (LAMOST),
Los Alamos National Laboratory, the Max-Planck-Institute for
Astronomy (MPA), the Max-Planck-Institute for Astrophysics
(MPiA), New Mexico State University, Ohio State University,
University of Pittsburgh, University of Portsmouth, Princeton
University, the United States Naval Observatory, and the Uni-
versity of Washington. preferring a dust law with RV ≃1 and star-forming hosts
giving RV ∼2. The significance of these trends depends
on the color range considered, but is greater than 3σ for the
full SN sample considered herein. 4. We find that the required intrinsic dispersion for passive
galaxy hosts is smaller than that needed for the whole
SN sample (and for star-forming hosts), e.g., only σint =
0.13 mag is required to obtain a reduced χ2 close to unity
for passive hosts compared to 0.17 mag for the star-forming
sample. This lower intrinsic dispersion for passive hosts is
true for both SALT2 and MLCS2k2 light-curve fitters. 4. We find that the required intrinsic dispersion for passive
galaxy hosts is smaller than that needed for the whole
SN sample (and for star-forming hosts), e.g., only σint =
0.13 mag is required to obtain a reduced χ2 close to unity
for passive hosts compared to 0.17 mag for the star-forming
sample. This lower intrinsic dispersion for passive hosts is
true for both SALT2 and MLCS2k2 light-curve fitters. y
g
This work is based in part on observations made at the follow-
ing telescopes. The Hobby-Eberly Telescope (HET) is a joint
project of the University of Texas at Austin, the Pennsylvania
State University, Stanford University, Ludwig-Maximillians-
Universit¨at M¨unchen, and Georg-August-Universit¨at G¨ottingen. The HET is named in honor of its principal benefactors, William
P. Hobby and Robert E. Eberly. 5. CONCLUSIONS The Marcario Low-Resolution
Spectrograph is named for Mike Marcario of High Lonesome
Optics, who fabricated several optical elements for the instru-
ment but died before its completion; it is a joint project of the
Hobby-Eberly Telescope partnership and the Instituto de As-
tronom´ıa de la Universidad Nacional Aut´onoma de M´exico. The
Apache Point Observatory 3.5 m telescope is owned and oper-
ated by the Astrophysical Research Consortium. We thank the
observatory director, Suzanne Hawley, and site manager, Bruce
Gillespie, for their support of this project. The Subaru Telescope
is operated by the National Astronomical Observatory of Japan. The William Herschel Telescope is operated by the Isaac New-
ton Group on the island of La Palma in the Spanish Observatorio
del Roque de los Muchachos of the Instituto de Astrofisica de
Canarias. The W. M. Keck Observatory is operated as a scien-
tific partnership among the California Institute of Technology,
the University of California, and the National Aeronautics and
Space Administration; the observatory was made possible by
the generous financial support of the W. M. Keck Foundation. 5. We demonstrate that the dependence on host galaxy type
can be parameterized using the stellar mass of the host
galaxies. We show that a four-parameter fit to the distance
modulus of SNe Ia (M, β, α, γ )—where γ scales with
stellar mass—is better than the usual three-parameter model
given in Equation (1). For the data in Figure 6, we find
γ = 0.069 ± 0.014 or a 4σ detection of this parameter. These conclusions are in good agreement with other work,
especially Kelly et al. (2010) and Sullivan et al. (2010). In
particular, Sullivan et al. (2010) see the same trends in both
M and β discussed herein with a similar level of statistical
significance. This indicates that these trends are common to
several SN surveys and appear not to change significantly with
redshift. One possible cause for these correlations is a difference
in the host galaxy metallicity (see Gallagher et al. 2008), which
is correlated with the host stellar mass and host star formation
activity, and could affect the metallicity of the progenitor star
thus leading to changes in the peak brightness of SNe Ia. However, the origin of these correlations requires further study,
especially to ensure that deficiencies in the light-curve fitting
techniques are not directly responsible. A.1. Parameter and Sample Selection In addition to the SALT2 light-curve fitter in Section 2.2, we
also provide a parallel analysis based on the MLCS2k2 SNANA
light-curve technique (Jha et al. 2007; Kessler et al. 2009a,
2009b). In this way, we can determine if the correlations seen in
Section 3.1 are just an artifact of the light-curve analysis. As in
Section 2.2, we assume a flat cosmology of ΩM = 0.272 from
Komatsu et al. (2009) as well as assume that the true absolute
magnitude of SNe Ia is M = −19.44 (Kessler et al. 2009a) and
an intrinsic dispersion of σint = 0.14 mag. The authors thank the referees for their careful reading of the
paper. We also thank Mark Sullivan, Janine Pforr, and Isobel
Hook for helpful discussions during the course of this research. We thank Rick Kessler for his comments on an earlier draft of
this paper. H.L. and R.C.H. were supported by STFC, while
M.S. is funded by an SKA fellowship. M.I. acknowledges the
support from the grant no. 2009-0063616 from MEST. S.W.J. acknowledges support from U.S. Department of Energy grant
DE-FG02-08ER41562. p
int
g
In SALT2, the parameters α and β describe the global
stretch and color laws of SNe Ia and are determined through
minimizing the scatter around a cosmological model. MLCS2k2
takes a different approach in that the distance is both linearly
and quadratically dependent on the light-curve decline rate
parameter (Δ) compared to the purely linear dependence of x1
in SALT2. The global correction (analogous to α in SALT2)
is determined from a well-measured, low-redshift training set,
prior to fitting. Any excess color variation is assumed to be due
to extinction by dust in the host galaxy, and is parameterized
using the Cardelli et al. (1989) law, where the excess is
E(B−V ) = AV /RV . For our Galaxy, RV = 3.1, whilst previous
SN Ia studies favor values of RV ∼2.1 (see references in
Section 1). Funding for the creation and distribution of the SDSS and
SDSS-II has been provided by the Alfred P. Sloan Foundation,
the Participating Institutions, the National Science Foundation,
the U.S. Department of Energy, the National Aeronautics and
Space Administration, the Japanese Monbukagakusho, the Max
Planck Society, and the Higher Education Funding Council for
England. The SDSS Web site is http://www.sdss.org/. The SDSS is managed by the Astrophysical Research Consor-
tium for the Participating Institutions. 5. CONCLUSIONS The host galaxy dependences presented in this paper will be
important for future supernova cosmology surveys, which may
wish to exploit these dependences to minimize the scatter on
the SN Hubble diagram. This could be achieved by including
further parameters in the light-curve fitting or distance modulus
calculation (e.g., Equation (2)). We will explore these issues in
the future with the full SDSS-II SN Survey similar to the recent
analysis of Sullivan et al. (2010) for the SNLS. A.1. Parameter and Sample Selection The
dashed (red) lines represent SNe in passive galaxies, while the dash-dotted (blue)
lines are for SNe in star-forming galaxies and the solid lines for the full sample. Thin lines indicate the results for the restricted sample with 0 < AV < 1.0. (A color version of this figure is available in the online journal.) where ΔH0 is the difference in Hubble constants between
the two samples. Therefore, in Table 5, we see ΔH0
=
3.1 km s−1 Mpc−1 (assuming the standard AV prior distribution
and the full SN sample), which translates to a ≃0.12 mag
difference (using Equation (A1)), with SNe in passive galaxies
being brighter. This result is consistent with our SALT2 analysis
in Section 3.1 and demonstrates that this result is independent
of the details of the analysis. In addition, we impose further constraints on the determined
light-curve shape and fit probability. We follow the procedure
of Kessler et al. (2009a) and remove any object with a low
probability of being a SN Ia (i.e., those with P(Ia) < 10−3) or
which has an unphysical value of Δ < −0.4. These cuts remove
a further 42 events (Table 1). As the value of AV is dependent on
RV, we require that each SN satisfies the criteria above for all
values of RV used. Using the standard AV prior above, we are left
with 214 SNe Ia (labeled as “After LC fitter limits” in Table 1). To test the robustness of our results to outliers, we also restrict
the range of AV values allowed (to 0.0 < AV < 1.0), which
would reduce the sample to 198 SNe. Finally, we also apply
the same cuts on the host galaxy classifications as described
in Section 2.3 and presented as “Valid host galaxy type” in
Table 1. Table 5 also contains the best-fitting RV values, and we see a
difference between the RV laws for SNe in the passive and star-
forming galaxy samples: supernovae in passive galaxies appear
to favor RV ≃1 compared to RV ∼2 in star-forming galaxies. This difference in RV, as a function of host galaxy type, could be
worrying for SN cosmology analyses which typically use a fixed
value of RV for all SNe and often constrain the allowed range to
1.7 < RV < 2.5. A.1. Parameter and Sample Selection The Participating Institu-
tions are the American Museum of Natural History, Astrophys-
ical Institute Potsdam, University of Basel, Cambridge Univer-
sity, Case Western Reserve University, University of Chicago,
Drexel University, Fermilab, the Institute for Advanced Study, HOST GALAXY DEPENDENCES OF SNe Ia No. 1, 2010 575 Figure 7. Reduced χ2 as a function of RV from our MLCS2k2 analysis. The
dashed (red) lines represent SNe in passive galaxies, while the dash-dotted (blue)
lines are for SNe in star-forming galaxies and the solid lines for the full sample. Thin lines indicate the results for the restricted sample with 0 < AV < 1.0. (A color version of this figure is available in the online journal.) In this analysis, we attempt to constrain RV as a function of
host galaxy type. MLCS2k2 does not minimize the scatter on
the Hubble diagram but assumes a value for RV in the fitting
process. Thus, we allow RV to vary between 0.1 < RV < 4.0,
in increments of 0.1, and minimize the χ2 of the fit to the
Hubble diagram to determine the best-fitting RV value. For
AV, we assume a “standard” prior distribution in the fitting
process as outlined in Kessler et al. (2009a), who used P(AV ) =
exp (−AV /τ) with τ = 0.33, based on the first year SDSS-II
data. To quantify the effect of this assumption on our results, we
also consider the case where no prior on the AV distribution is
assumed, thus allowing it to take any value and mimicking the
SALT2 approach. pp
As with SALT2, and following the methodology of Kessler
et al. (2009a, 2009b), we require that each light curve in our
MLCS2k2 analysis has at least five photometric observations
in the SDSS gri passbands located between −20 and +60 days
relative to maximum light in the SN rest frame. Of these epochs,
at least one must be 2 or more days prior to maximum light, and
at least one must be 10 or more days past maximum light27, with
at least one epoch with an S/N > 5 in each of the passbands
(although not necessarily the same epoch each time). These
criteria ensure that we have well-measured light curves for 256
SNe at z < 0.21 (see Table 1 for details). Figure 7. Reduced χ2 as a function of RV from our MLCS2k2 analysis. 27 This additional cut compared to the SALT2 analysis in Section 3 only
affects 17 SNe and has no impact on the conclusions of this paper. A.1. Parameter and Sample Selection This range is consistent with our star-forming
SN samples (and the whole sample) but inconsistent with our
passive galaxy SN sample. ΔM = 5 log10(ΔH0),
(A1) A.2. MLCS2k2 Results g
This observed difference in Hubble constant can be due to
differences in the assumed absolute magnitude (ΔM) of SNe
in different galaxy types, and we can convert between the two
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https://openalex.org/W2962750643
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https://pure.mpg.de/pubman/item/item_3156120_11/component/file_3216339/Li_Dirac.pdf
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English
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Dirac Nodal Arc Semimetal PtSn<sub>4</sub>: An Ideal Platform for Understanding Surface Properties and Catalysis for Hydrogen Evolution
|
Angewandte Chemie
| 2,019
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cc-by
| 6,948
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Dirac Nodal Arc Semimetal PtSn4: An Ideal Platform for
Understanding Surface Properties and Catalysis for Hydrogen
Evolution Guowei Li+,* Chenguang Fu+, Wujun Shi+, Lin Jiao, Jiquan Wu, Qun Yang, Rana Saha,
Machteld E. Kamminga, Abhay K. Srivastava, Enke Liu, Aliza N. Yazdani, Nitesh Kumar,
Jian Zhang, Graeme R. Blake, Xianjie Liu, Mats Fahlman, Steffen Wirth, Gudrun Auffermann,
Johannes Gooth, Stuart Parkin, Vidya Madhavan, Xinliang Feng, Yan Sun+,* and
Claudia Felser+* Guowei Li+,* Chenguang Fu+, Wujun Shi+, Lin Jiao, Jiquan Wu, Qun Yang, Rana Saha,
Machteld E. Kamminga, Abhay K. Srivastava, Enke Liu, Aliza N. Yazdani, Nitesh Kumar,
Jian Zhang, Graeme R. Blake, Xianjie Liu, Mats Fahlman, Steffen Wirth, Gudrun Auffermann,
Johannes Gooth, Stuart Parkin, Vidya Madhavan, Xinliang Feng, Yan Sun+,* and
Claudia Felser+* Abstract: Conductivity, carrier mobility, and a suitable Gibbs
free energy are important criteria that determine the perfor-
mance of catalysts for a hydrogen evolution reaction (HER). However, it is a challenge to combine these factors into a single
compound. Herein, we discover a superior electrocatalyst for
a HER in the recently identified Dirac nodal arc semimetal
PtSn4. The determined turnover frequency (TOF) for each
active site of PtSn4 is 1.54 H2s@1 at 100 mV. This sets a bench-
mark for HER catalysis on Pt-based noble metals and earth-
abundant metal catalysts. We make use of the robust surface
states of PtSn4 as their electrons can be transferred to the
adsorbed hydrogen atoms in the catalytic process more
efficiently. In addition, PtSn4 displays excellent chemical and
electrochemical stabilities after long-term exposure in air and
long-time HER stability tests. stability is crucial for practical applications.[1] Many advanced
electrocatalysts have been designed and developed by
employing a variety of strategies.[2] However, a suitable lower
cost replacement of the benchmark Pt catalyst has not yet
been developed. The dominance of Pt as the best catalyst is an
inevitable result of several key characteristics. 1) The excel-
lent chemical stability of Pt provides active sites for obtaining
a high turnover frequency (TOF). 2) Its ultra-high electrical
conductivity guarantees fast electron transport and reduces
the Schottky barrier at the interface between the Pt and
adsorbates. Dirac Nodal Arc Semimetal PtSn4: An Ideal Platform for
Understanding Surface Properties and Catalysis for Hydrogen
Evolution 3) A suitable d-band center favors the metal-
adsorbate interaction and hydrogen release process.[3] Recent observations of unoccupied metallic topological
surface states (TSSs) suggest that certain noble metals, such as
Pt are in fact Z2 topological metals.[4] The metallic surface
states of these metals are protected by time reversal symmetry
and are robust against surface modification and defects under
ambient conditions.[5] These are precisely the conditions that
are beneficial for the various surface reactions that occur on
the crystal surface.[6] Our previous study on a range of
topological materials from bismuth chalcogenide topological
insulators[7] to Weyl semimetals,[8] demonstrated that each of
these could be promising candidates for use as catalysts. Angewandte
Chemie Angewandte
Chemie Angewan Research Articles German Edition:
DOI: 10.1002/ange.201906109
International Edition: DOI: 10.1002/anie.201906109 German Edition:
DOI: 10.1002/ange.201906109
International Edition: DOI: 10.1002/anie.201906109 Hydrogen Evolution Hydrogen Evolution Introduction The hydrogen evolution reaction (2H+ + 2e@ ! H2,
HER) that occurs at the solid–liquid interface plays a vital
role in clean energy conversion and for the understanding of
other complicated heterogeneous reactions. The use of
suitable catalysts that have high efficiency, selectivity, and A. N. Yazdani
Department of Chemistry, Carleton College
MN 55057 Northfield (USA)
Dr. J. Zhang, Prof. X. Feng
Department of Chemistry and Food Chemistry, Technische Univer-
sit-t Dresden
01062 Dresden (Germany)
Prof. V. Madhavan
Department of Physics and Frederick Seitz Materials Research
Laboratory, University of Illinois Urbana-Champaign
Urbana, Illinois 61801 (USA)
[+] These authors contributed equally to this work. Supporting information and the ORCID identification number(s) for
the author(s) of this article can be found under:
https://doi.org/10.1002/anie.201906109. T 2019 The Authors. Published by Wiley-VCH Verlag GmbH & Co. KGaA. This is an open access article under the terms of the Creative
Commons Attribution License, which permits use, distribution and
reproduction in any medium, provided the original work is properly
cited. [*] Dr. G. Li,[+] Dr. C. Fu,[+] Dr. L. Jiao, Q. Yang, Dr. E. Liu, N. Kumar,
S. Wirth, G. Auffermann, Dr. J. Gooth, Dr. Y. Sun,[+] Prof. C. Felser[+]
Max Planck Institute for Chemical Physics of Solids
01187 Dresden (Germany)
E-mail: Guowei.li@cpfs.mpg.de
Yan.Sun@cpfs.mpg.de
Claudia.Felser@cpfs.mpg.de
Dr. W. Shi[+]
School of Physical Science and Technology, ShanghaiTech University
201203 Shanghai (China)
Dr. J. Wu, Dr. X. Liu, Prof. M. Fahlman
Department of Physics, Chemistry and Biology (IFM), Linkçping
University
58183 Linkçping (Sweden)
Dr. R. Saha, Dr. A. K. Srivastava, Prof. S. Parkin
Max Planck Institute for Microstructure Physics
06120 Halle (Germany)
Dr. M. E. Kamminga, Dr. G. R. Blake
Zernike Institute for Advanced Materials, University of Groningen
9747 AG Groningen (The Netherlands)
A. N. Yazdani
Department of Chemistry, Carleton College
MN 55057 Northfield (USA)
Dr. J. Zhang, Prof. X. Feng
Department of Chemistry and Food Chemistry, Technische Univer-
sit-t Dresden
01062 Dresden (Germany)
Prof. V. Madhavan
Department of Physics and Frederick Seitz Materials Research
Laboratory, University of Illinois Urbana-Champaign
Urbana, Illinois 61801 (USA)
[+] These authors contributed equally to this work. Supporting information and the ORCID identification number(s) for
the author(s) of this article can be found under:
https://doi.org/10.1002/anie.201906109. T 2019 The Authors. Published by Wiley-VCH Verlag GmbH & Co. KGaA. Angew. Chem. Int. Ed. 2019, 58, 13107 – 13112
T 2019 The Authors. Published by Wiley-VCH Verlag GmbH & Co. KGaA, Weinheim Research Articles However, both topological insulators and Dirac/
Weyl semimetals exhibit very low carrier densities
around the Fermi level owing to weak electrostatic
screening. We approach this problem by considering
a topological nodal arc. In the case of Dirac node arc
semimetals, the band crossing points around the
Fermi level form a Dirac node arc in momentum
space. Many exotic properties, such as ultrahigh
magnetoresistivity, carrier mobility are related to
the Dirac fermions and topological surface states.[9]
This suggests the following question: can the Pt
atomic layer be combined with the exotic physical
properties related to the Dirac node arc to speed up
the HER process? To pursue this question, we examined the bulk
single crystal Dirac semimetal PtSn4. Recently, a high
density of conduction electrons and Dirac node arcs
were observed in single-crystalline PtSn4 and subse-
quently confirmed using de Haas-van Alphen quan-
tum oscillations.[9c,10] The extremely weak bonding
between the Sn-Pt-Sn layers of the compound enables
the exposure of the Pt skin without the presence of
metastable dangling bond surface states. We observe
an ultra-low resistivity of only 42 mWcm and a high
mobility of 200 cm2V@1s@1 at room temperature in
bulk single-crystalline PtSn4, where the robust surface
states are mainly derived from the p orbitals of Pt skin
atoms. These lend a considerable contribution to the
local density of states (DOS) near the Fermi Level and could
act as electron donors for adsorbed molecules. With the bulk
single crystal acting as both the cathode and catalyst for the
HER, Pt-like activity is exhibited together with a decrease in
Pt usage of 71% in mass. The TOF value for the PtSn4 bulk
single crystals reached 1.54 H2s@1 at 100 mV, surpassing those
of state-of-the-art Pt/C, MoS2, and other noble-metal based
catalysts. Of greater importance is the superior electrocata-
lytic stability of the single crystal after a long-time and high
current density test. These observations may be used to
develop a new design principle for high intrinsic electro-
chemical catalysts with defined active sites. Figure
Pt: a) T
plot fo
very cl
surface
surface
PtSn4 w
mobili Figure 1. Motivations for searching for advanced electrocatalysts beyond pure
Pt: a) The Pt mass ratios in binary compounds that include Pt. b) HER volcano
plot for PtSn4 and selected metal catalysts. The Gibbs free energy of PtSn4 is
very close to that of pure Pt. c) Band structure of Pt. Research Articles The metallic topological
surface states are shown in yellow. The bulk states (upper and lower parts) and
surface states (middle part) are separated by the red line. The band structure of
PtSn4 with non-closed Dirac node arc is also shown. d) The room temperature
mobility and conductivity of PtSn4 with the selected advanced electrocatalysts. a DGH* value of @0.28 eV, which is better than that of the Pt55
clusters, with a value of @0.33 eV. These results indicate that
the Pt atomic layer of the PtSn4 single crystal could be an ideal
surface for HERs. Figure 1c shows the band structure of Pt, and the
topological surface states above the Fermi energy on the
(111) surfaces owing to the bulk Z2 topological order can be
observed. Although the Z2 topological order does not exist in
PtSn4, it hosts a Dirac nodal arc in the bulk band structure
(Figure 1c).[9c] This results in a large density of states around
the Fermi level. Dirac electrons exist in the sheet, which
generally correspond to a large carrier mobility. Figure 1d
shows a comparison of the conductivity and mobility of
a selection of advanced HER catalysts, which indicates the
advantages of the PtSn4 single crystal. The mobilities of the
electrons and holes are very similar between 5 and 300 K and
reach 200 cm2V@1s@1 at room temperature, which is even
higher than that of back-gated MoS2, MoSe2, WS2, WSe2, and
black phosphorus on SiO2 substrates.[13] org
T 2019 The Authors. Published by Wiley-VCH Verlag GmbH & Co. KGaA, Weinheim
Angew. Chem. Int. Ed. 2019, 58, 13107 – 13112 Introduction This is an open access article under the terms of the Creative
Commons Attribution License, which permits use, distribution and
reproduction in any medium, provided the original work is properly
cited. 13107
Angew. Chem. Int. Ed. 2019, 58, 13107 – 13112
T 2019 The Authors. Published by Wiley-VCH Verlag GmbH & Co. KGaA, Weinheim [*] Dr. G. Li,[+] Dr. C. Fu,[+] Dr. L. Jiao, Q. Yang, Dr. E. Liu, N. Kumar,
S. Wirth, G. Auffermann, Dr. J. Gooth, Dr. Y. Sun,[+] Prof. C. Felser[+]
Max Planck Institute for Chemical Physics of Solids
01187 Dresden (Germany)
E-mail: Guowei.li@cpfs.mpg.de
Yan.Sun@cpfs.mpg.de
Claudia.Felser@cpfs.mpg.de
Dr. W. Shi[+]
School of Physical Science and Technology, ShanghaiTech University
201203 Shanghai (China)
Dr. J. Wu, Dr. X. Liu, Prof. M. Fahlman
Department of Physics, Chemistry and Biology (IFM), Linkçping
University
58183 Linkçping (Sweden)
Dr. R. Saha, Dr. A. K. Srivastava, Prof. S. Parkin
Max Planck Institute for Microstructure Physics
06120 Halle (Germany)
Dr. M. E. Kamminga, Dr. G. R. Blake
Zernike Institute for Advanced Materials, University of Groningen
9747 AG Groningen (The Netherlands) T 2019 The Authors. Published by Wiley-VCH Verlag GmbH & Co. KGaA. This is an open access article under the terms of the Creative
Commons Attribution License, which permits use, distribution and
reproduction in any medium, provided the original work is properly
cited. 13107 Angew. Chem. Int. Ed. 2019, 58, 13107 – 13112
T 2019 The Authors. Published by Wiley-VCH Verlag GmbH & Co. KGaA, Weinhe Figure 1. Motivations for searching for advanced electrocatalysts beyond pure
Pt: a) The Pt mass ratios in binary compounds that include Pt. b) HER volcano
plot for PtSn4 and selected metal catalysts. The Gibbs free energy of PtSn4 is
very close to that of pure Pt. c) Band structure of Pt. The metallic topological
surface states are shown in yellow. The bulk states (upper and lower parts) and
surface states (middle part) are separated by the red line. The band structure of
PtSn4 with non-closed Dirac node arc is also shown. d) The room temperature
mobility and conductivity of PtSn4 with the selected advanced electrocatalysts. Angewandte
Chemie
earch Articles Angewandte
Chem Research Articles Results and Discussion A homogeneous composition
and orientation can be observed from the uniform contrast of
the backscatter electron images (Figure 3b and Figure S8). A
thin lamella sample for high-resolution transmission electron
microscopy (TEM) was fabricated by focused ion beam
(FIB). Clear lattice fringes with an interplane distance of
0.32 nm, which correspond to the (200) plane of PtSn4 can be
seen from the lattice-resolved TEM image (Figure S9a,b). The high quality of the single crystal was further demon-
strated by an excellent match between the experimental and
simulated electron-diffraction patterns along the [010] direc-
tion (see the inset in Figure 3c and Figure S10). The atomic
structure of the PtSn4 single crystal was further investigated
with noise corrected high-resolution scanning TEM (HR-
STEM) (Figure 3c). The Sn-Pt-Sn stacking sequence was
retained, with a 100% occupancy of the Pt and Sn sites. of 37 mV is required, which is close to that of the Pt/C
nanostructure (28 mV) and much less than that of Pt foil
(71 mV). It should be noted that the PtSn4 single crystal
demonstrates a higher activity than that of even pure Pt foils
and Pt/C nanostructures (at higher current densities) in
alkaline media, although Pt has a much smaller DGH* value. This may be caused by the sluggish water dissociation kinetics
of Pt in alkaline media, which need not be considered under
acidic conditions. Thus, we calculated the water dissociation
energy barrier for the Pt (111) and PtSn4 (010) surfaces,
respectively. Indeed, as illustrated in Figure 4e, PtSn4 has
a much lower energy barrier of 0.41 eV than that for Pt
(0.91 eV). (
)
A Tafel analysis yields Tafel slopes of 39, 34, and
74 mVdec@1. for the PtSn4 single crystal, 20% Pt/C, and Pt
foil, respectively, implying a rapid HER rate with a Volmer-
Heyrovsky pathway as the rate-determining step (Figure 2b). The calculated HER exchange current density (j0) for the
PtSn4 single crystal is 0.585 mAcm@2, which is greater than
that of the nanostructure Pt/C catalyst (0.518 mAcm@2). This
indicates that PtSn4 is a superior electrocatalyst in alkaline
media, with a better performance compared with those of
nanostructures such as Pt3Ni nanowires (51 mV),[14] Pt-Ni
excavated nano-multipods (71 mV),[15] and PtSe2 nanofilms
(327 mV)[16] (Figure 2c and Table S5).[17] TOF for each active
site of PtSn4 is calculated to determine the intrinsic activity
(Figure S4, see the Supporting Information). Results and Discussion other nanostructured electrocatalysts (Fig-
ure 2d).[19] The multiple-step chrono po-
tentiometric process employed for the
PtSn4 electrode is displayed in Figure S5,
where the current density is increased from
10 to 110 mAcm@2, without an iR correc-
tion. Simultaneous changes in the current
densities and applied voltage demonstrat-
ed excellent mass transport, conductivity,
and mechanical robustness of the single
crystalline electrode.[20] We further investigated the long-term
electrochemical and chemical stability of
the single-crystal electrode. The PtSn4 bulk
single crystal shows excellent stability for
an increasing current of 20 to 300 mAcm@2,
with a total measurement time of 175 h. At
a constant overpotential of 46 mV, the
current density is maintained for approx-
imately 400 h without significant activity
loss (Figure 2e). Moreover, the HER ac-
tivity can be retained even after long-time
air exposure. As shown in Figure S6, the
polarization curves were recorded after
three-months of air exposure, and 10000
cyclic voltammetry sweeps, showing a sim-
ilar performance to that of the initial tests. Figure 2. Electrochemical performance of PtSn4 single-crystal catalyst. a) HER polarization
curves for the Cu wire, Pt foil, 20% Pt/C, and PtSn4 single crystal. b) Corresponding Tafel
plots for the Pt foil, 20% Pt/C, and PtSn4 single crystal in 1m KOH. c) Overpotential of the
PtSn4 single-crystal catalyst at 10 mAcm@2 and some recently reported results for HER
electrocatalysts. d) TOF values for the PtSn4 single-crystal catalyst and other recently reported
results for HER electrocatalysts. e) Current–time (i–t) chronoamperometric response of the
PtSn4 electrocatalyst for increasing current densities from 20–300 mAcm@2, at an over-
potential of 46 mV. The inset shows the changes in the current density during stirring of the
electrolyte with a magnetic bar. To better understand the origin of the
HER activity, the structure of the single crystal was deter-
mined by single-crystal X-ray diffraction (Table S1–S3). The
structure was solved in the centrosymmetric space group Ccca
(No. 68), with lattice parameters a = 6.4208(7), b = 11.3592-
(1), and c = 6.3766(7) c at 300 K. Figures 3a and S7 demon-
strate the layered structure of PtSn4, which is composed of
stacked Sn-Pt-Sn layers along the b axis with a Pt–Sn distance
of 2.7905(9) c (selected crystallographic data are provided in
the Supporting Information, CCDC 1841795 contain the
supplementary crystallographic data for this paper. These
data can be obtained free of charge from The Cambridge
Crystallographic Data Centre.). Results and Discussion Starting with Pt, we checked all of the PtxMy (M is a main
group element) binary compounds, and selectively short-
listed specific representative cases that has the lowest Pt
content with a certain M element. As shown in Figure 1a,
PtSn4 is chosen for this study because of its facile large-scale
synthesis and high electrical conductivity. As a widely ac-
cepted descriptor in prediction HER activity, the Gibbs free-
energy of the intermediate state, j DGH* j , was calculated for
different models (Figure S1 in the Supporting Informa-
tion).[11] A Pt55 metal cluster was also included for compar-
ison.[12] As shown in the Volcano plot (Figure 1b), Pt exhibits
the optimal level for H adsorption with a near zero value of
DGH* = @0.11 eV, suggesting the best electrocatalytic activity
from a thermodynamic viewpoint. In stark contrast, the
exposure of the Pt layer in the PtSn4 (010) plane resulted in With the above theoretical investigation and experimental
facts in mind, high quality PtSn4 single crystals were grown
out of an Sn-rich binary melt. The HER performance
evaluation of this single crystal was carried out in a conven-
tional three-electrode electrochemical cell in 1m KOH
electrolyte (the details are provided in the Methods section,
Figure S2). The obtained polarization curves are shown in
Figure 2a. A sharp increase in the cathode current with an
onset overpotential of approximately 0 mV was observed on
the PtSn4 single crystal, with a burst of gas bubbles that
appeared on the crystal surface (Figure S3 and Movie S1). To
achieve a current density of 10 mAcm@2, a low overpotential 13108 Angewandte
Chemie Angewandte
Chemie Research Articles Figure 2. Electrochemical performance of PtSn4 single-crystal catalyst. a) HER polarization
curves for the Cu wire, Pt foil, 20% Pt/C, and PtSn4 single crystal. b) Corresponding Tafel
plots for the Pt foil, 20% Pt/C, and PtSn4 single crystal in 1m KOH. c) Overpotential of the
PtSn4 single-crystal catalyst at 10 mAcm@2 and some recently reported results for HER
electrocatalysts. d) TOF values for the PtSn4 single-crystal catalyst and other recently reported
results for HER electrocatalysts. e) Current–time (i–t) chronoamperometric response of the
PtSn4 electrocatalyst for increasing current densities from 20–300 mAcm@2, at an over-
potential of 46 mV. The inset shows the changes in the current density during stirring of the
electrolyte with a magnetic bar. Angew. Chem. Int. Ed. 2019, 58, 13107 – 13112
T 2019 The Authors. Published by Wiley-VCH Verlag GmbH & Co. KGaA, Weinheim 1310
3107 – 13112
T 2019 The Authors. Published by Wiley-VCH Verlag GmbH & Co. KGaA, Weinheim
www.angewandte.org Results and Discussion A very large residual
resistivity ratio RRR = 1 (300 K)/ 1 (2 K) = 1000 was ob-
tained, together with a non-saturating quadratic magneto-
resistivity up to 9 T (Figure S11a), suggesting the high quality
of the single crystal. The positive slope of the Hall resistivity
as a function of applied magnetic field, as well as the positive
thermopower (Figure S11b), indicate that the holes were the
dominant charge carriers. This ultrahigh conductivity and
mobility may be derived from the unique Fermi surface and
band dispersion of the PtSn4 single-crystal, which is a general
characteristic of nodal arc semimetals. Indeed, our band
structure calculation showed a band crossing just below the
Fermi level (Figure S12). The (010) face Fermi surfaces were
constructed as shown in Figure 3e, which consist of large
electron and hole pockets.[9c] over the electron transport. The resistivity exhibits an ultra-
low value of 1 & 42 mWcm at room temperature, which is as
low as the values of pure Pt and Sn. A very large residual
resistivity ratio RRR = 1 (300 K)/ 1 (2 K) = 1000 was ob-
tained, together with a non-saturating quadratic magneto-
resistivity up to 9 T (Figure S11a), suggesting the high quality
of the single crystal. The positive slope of the Hall resistivity
as a function of applied magnetic field, as well as the positive
thermopower (Figure S11b), indicate that the holes were the
dominant charge carriers. This ultrahigh conductivity and
mobility may be derived from the unique Fermi surface and
band dispersion of the PtSn4 single-crystal, which is a general
characteristic of nodal arc semimetals. Indeed, our band
structure calculation showed a band crossing just below the
Fermi level (Figure S12). The (010) face Fermi surfaces were
constructed as shown in Figure 3e, which consist of large
electron and hole pockets.[9c] To understand the bonding character, the electron density
distribution and electron localization function (ELF) were
calculated. The total charge density distribution map is shown
in Figure 4a,b, demonstrating that the electronic charge is
almost completely distributed in the vicinity of the Pt and Sn
atoms. This indicates the presence of a metallic bond
character in the compound.[24] The ELF iso-surface value of
0.72 further highlights the metallic nature of the bonding
between Pt and Sn, and suggests a certain amount of electron
localization between the intralayer Sn atoms (Figure 4c). Results and Discussion The TOF values
of PtSn4 at 50 and 100 mV are 0.375 and 1.54 H2s@1,
respectively,
which
are
greater
than
those
of
Pt/C
(0.27 H2s@1
@
50 mV)
and
pure
Au-Ru
nanowires
(0.31 H2s@1 @ 50 mV),[18] and much greater than those of The in-plane resistivity (1) of the PtSn4 crystal was
measured in the temperature range 2–300 K, which displays
a linear temperature dependence above 50 K (Figure 3d),
reflecting the dominance of the acoustic phonon scattering 13109
www.angewandte.org www.angewandte.org Figure 3. Structure information of bulk single-crystal PtSn4. a) Crystal structure of the PtSn4 derived from the single-crystal XRD at 300 K. The
exposed Pt atomic layer was constructed as shown by the upper left panel. b) A typical SEM image of the obtained PtSn4 single crystal. c) HRTEM
image of the PtSn4 sample prepared using the focused ion beam technique (FIB). Inset: the selected area diffraction (SAED) pattern recorded
along the [010] crystal orientation. d) Temperature-dependent resistivity along the [010] direction. An ultralow 1 of 42 mWcm at room temperature
was observed. e) Calculated surface Fermi surface based on the semi-infinite model. The XPS results for the f) Pt 4f and g) Sn 3d. Angewandte
Chemie
Research Articles Angewandte
Chem Research Articles Research Articles Figure 3. Structure information of bulk single-crystal PtSn4. a) Crystal structure of the PtSn4 derived from the single-crystal XRD at 300 K. The
exposed Pt atomic layer was constructed as shown by the upper left panel. b) A typical SEM image of the obtained PtSn4 single crystal. c) HRTEM
image of the PtSn4 sample prepared using the focused ion beam technique (FIB). Inset: the selected area diffraction (SAED) pattern recorded
along the [010] crystal orientation. d) Temperature-dependent resistivity along the [010] direction. An ultralow 1 of 42 mWcm at room temperature
was observed. e) Calculated surface Fermi surface based on the semi-infinite model. The XPS results for the f) Pt 4f and g) Sn 3d. The main peak with a binding energy of 485.2 eV can be
attributed to Sn0 3d5/2.[22] All of these results are consistent
with the previous studies on Pt single crystal surface and Pt
alloys, where it was claimed that the formation of Pt@O
bonding is very difficult.[23] over the electron transport. The resistivity exhibits an ultra-
low value of 1 & 42 mWcm at room temperature, which is as
low as the values of pure Pt and Sn. www.angewandte.org
T 2019 The Authors. Published by Wiley-VCH Verlag GmbH & Co. KGaA, Weinheim
Angew. Chem. Int. Ed T 2019 The Authors. Published by Wiley-VCH Verlag GmbH & Co. KGaA, Weinheim
Angew. Chem. Int. Ed. 2019, 58, 13107 – 13112 Conclusion The surface
states donate electrons to the adsorbed H 1s orbital, and shift above
the Fermi level. Figure 4. Bonding information in the crystal and the electron transfer
mechanism. a) Contour plots of the total charge distribution of PtSn4 Figure 4. Bonding information in the crystal and the electron transfer
mechanism. a) Contour plots of the total charge distribution of PtSn4
in the (010) plane. The electronic charges are almost all distributed in
the vicinity of the Pt and Sn atoms. b) The 3D-electron localization
function mapping of the (010) surface shows that there is a weak
bonding between the in-plane Sn atoms. c) The 3D-electron local-
ization function (ELF), with an iso-surface value of 0.72. d) Atomically
resolved STM topography of the PtSn4 (010) surface. Inset: the
corresponding fast Fourier transform (FFT). The line profile measured
along the pink line in (d) indicates a lattice parameter of 0.451 nm;
the bias voltage was Vb=100 mV with a tunnel current of Iset=200 pA. e) The Gibbs free energy diagram of the PtSn4 (010) surface with an
exposed Sn layer, Pt layer, Pt metal (111) face, and Pt nanocluster
(55 atoms) calculated at the equilibrium potential of different models,
and the water dissociation energy berries on the Pt (111) and PtSn4
(010) surfaces. f) Band structure of the PtSn4 (010) surface with an
exposed Pt layer, but without H adsorption. The robust surface states
are along the direction C ! M in the Brillouin zone, located just
below the Fermi energy. g) Evolution of the Pt derived surfaces states
after hydrogen adsorption when exposing the Pt layer. The surface
states donate electrons to the adsorbed H 1s orbital, and shift above
the Fermi level. Results and Discussion e) The Gibbs free energy diagram of the PtSn4 (010) surface with an
exposed Sn layer, Pt layer, Pt metal (111) face, and Pt nanocluster
(55 atoms) calculated at the equilibrium potential of different models,
and the water dissociation energy berries on the Pt (111) and PtSn4
(010) surfaces. f) Band structure of the PtSn4 (010) surface with an
exposed Pt layer, but without H adsorption. The robust surface states
are along the direction C ! M in the Brillouin zone, located just
below the Fermi energy. g) Evolution of the Pt derived surfaces states
after hydrogen adsorption when exposing the Pt layer. The surface
states donate electrons to the adsorbed H 1s orbital, and shift above
the Fermi level. states along the C–M axis of the surface Brillouin zone
(Figures 4 f and Figure S18). The orbital analysis showed that
the surface states are mainly formed of p-like electronic states
from the topmost Pt layer (Figures S19a and S19b). To
investigate their interaction with hydrogen, the band struc-
tures of the hydrogen-covered surface were also determined. The hydrogen adsorption shifts the surface states above the
Fermi level (Figure 4g and Figure S20). This indicates the
transfer of electrons from the surface state to the hydrogen s-
like orbitals. The downshift of hydrogen bands to a position
far below the Fermi energy provided further proof of this
electron transfer (Figure S21). Acknowledgements We gratefully acknowledge Dr. Qiunan Xu and Dr. Yang
Zhang for helpful discussions. This work was financially
supported by the European Research Council (ERC Ad-
vanced Grant No. 291472 “Idea Heusler”) and ERC Ad-
vanced Grant (No. 742068). TOPMAT’. The calculations
were carried out at the HPC Platform of Shanghaitech
University. The ultrahigh chemical stability and defined crystal
surface of PtSn4 provides a good opportunity to investigate
the related activity mechanism. DFT calculations were
performed on the exposed (010) surface of the PtSn4 single
crystal. First, the exposure of Sn atoms was considered (the
computation details are provided in Supporting Information). Figure S15 displays the calculated surface band structure for
the (010) surface with an exposed Sn layer. The abrupt
breaking of the weak Sn–Sn bonding creates a Sn- derived
occupied s-type surface state that typically covers a broad
energy range of the surface Brillouin zone. After hydrogen
adsorption, the surface states corresponding to the Sn–H
occupied bonding states are submerged into the bulk valence
bands (Figure S16), with the H s orbital observed in the deep
bulk band (Figure S17). However, when the Pt layer is
exposed, the surfaces could not be passivated or eliminated by
hydrogen as there is no Fermi level pinning at the crystal
surface. Indeed, as shown in Figure S18, we observe surface How to cite: Angew. Chem. Int. Ed. 2019, 58, 13107–13112
Angew. Chem. 2019, 131, 13241–13246 Results and Discussion The
relatively high ELF value between the Sn atoms indicates the
weak covalent nature of the Sn-Sn bonds. Finally, to confirm
the exposure of the Pt layer, scanning tunneling microscopy
(STM) was used to examine the in situ surface structure of the
PtSn4 (010) surface (Figure S14a). The atomically resolved
image in Figure 4d visualizes a square Pt (010) net with an
interatomic distance of 0.45 nm at various points in the spirals,
which is identical to the bulk orientation and atomic model of
the PtSn4 (010) face, and in perfect agreement with the value
obtained by single-crystal X-ray diffraction. This is further
demonstrated by the significant difference in the DGH* values
of the Sn and Pt layers (Figure 4e). The electronic state of the elements on the PtSn4 single-
crystal surface was determined by X-ray photoelectron
spectroscopy (XPS). The XPS survey spectrum confirmed
the presence of Pt and Sn (Figure S13). As shown in
Figure 3 f, the main peak at a binding energy of 72.0 eV can
be assigned to zero-valence platinum. It is interesting to note
that no Pt-O oxidation states were observed (72.8 eV for Pt2+
and 74 eV for Pt4+).[21] The peak at lower binding energy
originates from the surface Pt in PtSn4 single crystal. This
confirms the ultra-high stability of the Pt sites in the crystal. 13110 Angewandte
Chemie Angewandte
Chemie Research Articles Figure 4. Bonding information in the crystal and the electron transfer
mechanism. a) Contour plots of the total charge distribution of PtSn4
in the (010) plane. The electronic charges are almost all distributed in
the vicinity of the Pt and Sn atoms. b) The 3D-electron localization
function mapping of the (010) surface shows that there is a weak
bonding between the in-plane Sn atoms. c) The 3D-electron local-
ization function (ELF), with an iso-surface value of 0.72. d) Atomically
resolved STM topography of the PtSn4 (010) surface. Inset: the
corresponding fast Fourier transform (FFT). The line profile measured
along the pink line in (d) indicates a lattice parameter of 0.451 nm;
the bias voltage was Vb=100 mV with a tunnel current of Iset=200 pA. Conclusion The bulk single-crystal PtSn4 exhibits Pt-like electrocata-
lytic activity as a catalyst for HERs. The ultra-high chemical
and electrochemical stability presented by this compound,
together with a significant decrease in Pt usage, makes it an
ideal candidate to replace Pt catalysts. The linear band
crossing in this semimetal provides large room-temperature
carrier mobility and conductivity, which can be attributed to
the high Fermi velocity of massless Dirac states.[25] This
facilitates the rapid charger transfer in the catalysis process
and thereby increases the HER kinetics. Intrinsic and stable
surface states were found in the Pt layer of the PtSn4 single
crystal. This led to the direct donation of electrons from the
occupied robust surface states to adsorbed hydrogen. Rather
than adopting the traditional approaches of creating active
sites by nanosizing, doping, straining, and edging, the present
study indicates that the manipulation of robust surface states,
as well as providing high conductivity and mobility, may be
used to provide a new guide for obtaining high-performance
catalysts. Figure 4. Bonding information in the crystal and the electron transfer
mechanism. a) Contour plots of the total charge distribution of PtSn4
in the (010) plane. The electronic charges are almost all distributed in
the vicinity of the Pt and Sn atoms. b) The 3D-electron localization
function mapping of the (010) surface shows that there is a weak
bonding between the in-plane Sn atoms. c) The 3D-electron local-
ization function (ELF), with an iso-surface value of 0.72. d) Atomically
resolved STM topography of the PtSn4 (010) surface. Inset: the
corresponding fast Fourier transform (FFT). The line profile measured
along the pink line in (d) indicates a lattice parameter of 0.451 nm;
the bias voltage was Vb=100 mV with a tunnel current of Iset=200 pA. e) The Gibbs free energy diagram of the PtSn4 (010) surface with an
exposed Sn layer, Pt layer, Pt metal (111) face, and Pt nanocluster
(55 atoms) calculated at the equilibrium potential of different models,
and the water dissociation energy berries on the Pt (111) and PtSn4
(010) surfaces. f) Band structure of the PtSn4 (010) surface with an
exposed Pt layer, but without H adsorption. The robust surface states
are along the direction C ! M in the Brillouin zone, located just
below the Fermi energy. g) Evolution of the Pt derived surfaces states
after hydrogen adsorption when exposing the Pt layer. Conflict of interest The authors declare no conflict of interest. Angew. Chem. Int. Ed. 2019, 58, 13107 – 13112
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English
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Skeleton-Based Clustering by Quasi-Threshold Editing
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Lecture notes in computer science
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cc-by
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c⃝The Author(s) 2022
H. Bast et al. (Eds.): Algorithms for Big Data, LNCS 13201, pp. 134–151, 2022.
https://doi.org/10.1007/978-3-031-21534-6_7 Keywords: Quasi-threshold graph · Trivially perfect graph · Graph editing ·
Graph clustering · Community detection Keywords: Quasi-threshold graph · Trivially perfect graph · Graph editing ·
Graph clustering · Community detection Skeleton-Based Clustering by Quasi-Threshold
Editing Ulrik Brandes1
, Michael Hamann2(B)
, Luise H¨auser2, and Dorothea Wagner2 ik Brandes1
, Michael Hamann2(B)
, Luise H¨auser2, and Dorothea Wagner2 1 ETH Z¨urich, Z¨urich, Switzerland
ubrandes@ethz.ch
2 Karlsruhe Institute of Technology, Karlsruhe, Germany
michael@content-space.de, ufziw@student.kit.edu, dorothea.wagner@kit.edu 1 ETH Z¨urich, Z¨urich, Switzerland
ubrandes@ethz.ch 1 ETH Z¨urich, Z¨urich, Switzerland
ubrandes@ethz.ch
2 Karlsruhe Institute of Technology, Karlsruhe, Germany
michael@content-space.de, ufziw@student.kit.edu, dorothea.wagner@kit.edu 2 Karlsruhe Institute of Technology, Karlsruhe, Germany
michael@content-space.de, ufziw@student.kit.edu, dorothea.wagner@kit.ed Abstract. We consider the problem of transforming a given graph into a quasi-
threshold graph using a minimum number of edge additions and deletions. Build-
ing on the previously proposed heuristic Quasi-Threshold Mover (QTM), we
present improvements both in terms of running time and quality. We propose
a novel, linear-time algorithm that solves the inclusion-minimal variant of this
problem, i.e., a set of edge edits such that no subset of them also transforms the
given graph into a quasi-threshold graph. In an extensive experimental evaluation,
we apply these algorithms to a large set of graphs from different applications and
find that they lead QTM to find solutions with fewer edits. Although the inclusion-
minimal algorithm needs significantly more edits on its own, it outperforms the
initialization heuristic previously proposed for QTM. 2
Preliminaries We consider simple undirected graphs G = (V,E) consisting of n := |V| nodes V that are
connected by a set of m := |E| edges E ⊂
V
2
, i.e., without self-loops or multi-edges. By N(u) we denote the set of neighbors of u ∈V and deg(u) := |N(u)| its degree. Further, let N[u] := N(u)∪{u} be the closed neighborhood of u. The subgraph induced
by a set of nodes X ⊂V is denoted G[X]. With Kn, Pn, and Cn we denote the complete
graph, path, and cycle on n nodes, respectively. These will be important as induced
subgraphs, and we write, say, kKn for k copies of Kn. Quasi-threshold graphs are graphs that contain neither a P4 nor a C4 as node-induced
subgraphs [34]. This is equivalent to an inductive construction in which the base case is
a single node and there are two construction operators: either a universal node (adjacent
to all previous nodes) is added, or the disjoint union of two quasi-threshold graphs is
formed. The inductive construction of a quasi-threshold graph immediately gives rise
to its skeleton forest referred to in the introduction. 1 It should not be lost on the reader that both names have social connotations [22]. 1
Introduction We consider the problem of clustering a graph by partitioning its nodes. Especially in
the context of social networks, this problem is often referred to as community detec-
tion. The approach taken here is to view community detection as a graph modification
problem. Specifically, Nastos and Gao [25] proposed to edit a given graph into a quasi-
threshold graph and use its connected components to determine the clustering. A quasi-threshold graph, also known as trivially perfect graph, is the transitive clo-
sure of a rooted forest [33], which can in turn be considered a skeleton of the graph. Figure 1 shows an example, and we provide a more detailed motivation for this partic-
ular approach in the next section. As minimizing the number of edits is N P-hard [25], the Quasi-Threshold Mover
(QTM) heuristic [4 SPP] starts from some rooted forest on the nodes of the input graph
and moves nodes within and between trees to reduce the edit distance between the input
graph and the transitive closure of the forest. Several improvements to QTM are proposed in this chapter. We reduce the run-
ning time of one round of node moves to linear and show that the edits incident to a
single node can be minimized using an additional path sorting step. This ultimately Skeleton-Based Clustering by Quasi-Threshold Editing Skeleton-Based Clustering by Quasi-Threshold Editing 135 Fig. 1. Example quasi-threshold graph. The skeleton is denoted by thick edges, its transitive clo-
sure is dashed, the root is the gray node. (Color figure online) Fig. 1. Example quasi-threshold graph. The skeleton is denoted by thick edges, its transitive clo-
sure is dashed, the root is the gray node. (Color figure online) leads to a linear-time algorithm for inclusion-minimal sets of edits. To also find smaller
solutions, we propose a randomization of local moves. From an extensive experimental
evaluation on empirical graphs we conclude that our modifications yields substantial
improvements over the original QTM algorithm in terms of the size of the edit set. U. Brandes et al. A formulation of community detection using the same kind of reasoning can be
developed as follows. Motivations for the vast majority of community detection meth-
ods generally state that the intention is to partition a graph into relatively dense sub-
graphs that are sparsely connected between them [17,28]. The idealized situation, with
an undisputed partition into communities, is a cluster graph defined as disjoint unions
of cliques or, equivalently, P3-free graph. Each connected component is a clique, and
these cliques are isolated from each other. How far is a given graph from a cluster graph, and where are its communities? On
an absolute scale, distance to the ideal situation is measured by counting the number
of edges that need to be added or deleted to complete cliques and make those cliques
independent. In cluster editing, a cluster graph of minimum edit distance is sought,
and its cliques induce a clustering of the original graph. The normalized number of
edges that do not have to be edited is known as performance [13], and cluster editing
is a special case of correlation clustering [1]. Numerous other clustering approaches
are based on objective functions that normalize the difference between a graph and the
cluster graph ideal by taking additional factors such as the number of clusters, size of
clusters, degree in clusters, etc. into account. Like cluster graphs, quasi-threshold graphs represent an idealized situation, which
we can think of as intersecting communities. To see this, we take two additional steps. g
,
p
We start from split graphs, which are defined as those graphs that have a par-
tition V = C ⊎P into a clique G[C] and an independent set G[P], or, equivalently,
(2K2,C4,C5)-free graphs. They represent the ideal case of a core-periphery struc-
ture [3], and are characterized by their degrees: if n > d1 ≥··· ≥dn ≥0 is the degree
sequence of a graph, then it is a split graph if and only if the kth Erd˝os-Gallai inequality
∑k
i=1 di ≤k(k −1) + ∑n
j=k+1 min{k,dj} is actually an equality for the corrected Dur-
fee number h = max{k : dk ≥k −1}. In this case, h nodes of highest degree induce
the clique and the others an independent set. 2.1
Motivation Many tasks in network analysis can be understood as first establishing an ideal, and
then recovering that ideal from an empirical situation or at least determining a degree
to which that ideal is met. Take the most elementary notion, network density, as an example. The two ideal-
ized situations, polar opposites of one another, are graphs nK1 of isolated nodes and
cliques Kn1. The number of edges in a graph is a straightforward measure of distance
from the ideal case of isolated nodes on an absolute scale of measurement. Since the
number
n
2
of edges in a clique varies with the number nodes n, density is often defined
as the relative number m/
n
2
of edges. 136 2.2
Related Work Quasi-threshold graphs can be recognized in linear time [8,34,4 SPP]. While the first
algorithm [34] computes a skeleton forest if G is a quasi-threshold graph, the other [8,
4 SPP] additionally computes a forbidden subgraph if G is not. As mentioned, quasi-threshold editing is N P-hard [25]. Due to its characteri-
zation via a finite set of finite forbidden subgraphs, it is fixed-parameter tractable
in the number of edits k [7]. In combination with the certifying recognition in lin-
ear time, this yields a simple O (6k × (n + m)) time algorithm. For the related prob-
lem of quasi-threshold deletion, where edges may be deleted but not added, improved
branching rules have been proposed, reducing the running time from O (4k × (n+ m))
to O (2.42k × (n + m)) [21]. Further, ordered enumeration of solutions is also possi-
ble with FPT delay [10]. A polynomial kernel of O (k7) nodes has been introduced
by Drange and Pilipczuk [15], who also show that the problem cannot be solved in
time 2ok ×nO (1) unless the Exponential Time Hypothesis fails. The first editing heuristic has been proposed by Nastos and Gao [25]. With Quasi-
Threshold Mover [4 SPP], the first editing heuristic with a running time close to linear
has been proposed. Recently, a study on techniques for computing exact solutions has
been published [18 SPP]. For the superclass of cographs, or P4-free graphs [9], the problem of inclusion-
minimal editing has recently been considered [11]. Instead of asking for a set of edge
edits of minimum cardinality, it asks for a set of edge edits such that no proper subset
yields a cograph. While cograph editing is also N P-hard [20], inclusion-minimal
cograph editing can be solved in linear time [11]. U. Brandes et al. The minimum number of edges that need
to be edited to turn a graph into a split graph, known as its splittance [19], is half
the difference between the two sides of the defining inequality, 1
2(∑n
j=h+1 dj −∑h
i=1 di). These edits can be chosen so that h nodes of highest degree induce the clique and the
remaining nodes the independent set. The computationally easy problem of split editing
becomes intractable, for instance, if adapted for density [5] instead of edge numbers or
for multiple cores [6]. By distinguishing a core from a periphery, split graphs also distinguish nodes that
are central (as members of the core) from others that are not (as members of the periph-
ery). Every node in the periphery is adjacent only to nodes in the core, and every node
in the core is adjacent to all other core nodes. Hence, the neighborhood of any periphery
node u ∈P is a subset of the closed neighborhood of any core node v ∈C, N(u) ⊆N[v]. This binary classification can be refined by comparing all pairs of nodes according to
this neighborhood inclusion property, known as the vicinal preorder [16]. Schoch and
Brandes [30] have shown retrospectively that this is actually the common ground of
standard notions of centrality. Graphs characterized by a total vicinal preorder are called threshold or nested
graphs [23,24] and therefore the ideal structure of an undisputed ranking of nodes by
centrality. Threshold editing is intractable, even if the input is a split graph [14], and for Skeleton-Based Clustering by Quasi-Threshold Editing 137 a number of reasons centrality has been defined via an abundance of indices rather than
the node ranking in a closest threshold graph. Threshold graphs are the (2K2,C4,P4)-free graphs and therefore a subclass of quasi-
threshold graphs. They can be constructed by adding one node at a time, either as a uni-
versal or isolated node, so that they have a skeleton that is a caterpillar. Each connected
component of a quasi-threshold graph, in turn, can be seen as a group of nested graphs
that intersect at their cores but may branch out into different peripheries. We have thus motivated quasi-threshold graphs as idealized structures of (disjoint
groups of) intersecting communities. Quasi-threshold editing yields a partition into
communities and in addition for each of them a centralized nesting structure repre-
sented by their skeleton tree. 3
Quasi-Threshold Mover (QTM) The Quasi-Threshold Mover algorithm, short QTM, iteratively improves the skeleton
forest to heuristically minimize the number of induced edits. It starts with a given skele-
ton forest, this may be the trivial skeleton where every node is a root which implies that
all edges are deleted. In each round, it iterates over all nodes u in a random order and
possibly moves u to a new position in the forest if this decreases the number of induced
edits. For this, it considers every node v ∈V \{u} as a parent for u. Further, a subset of 138 U. Brandes et al. the children of the new parent v may be adopted, i.e., moved below u. In the induced
quasi-threshold graph, u is then connected to v and all its ancestors as well as to all
adopted children and their descendants. Every neighbor x of u in this set of nodes saves
deleting the edges {u,x} but every non-neighbor y of u implies inserting the edge {u,y}. Therefore, we select the parent v and the children to adopt such that the number of u-
neighbors minus non-neighbors is maximized. Given a potential parent v, we always
adopt children whose subtrees contain more neighbors than non-neighbors of u. We
call those children close children. Using a DFS, we could determine for every node
how many neighbors and non-neighbors are above/below that node and thus allowing
the selection of the best parent and which children are close. However, this gives a
quadratic running time per round. Instead, QTM starts limited local searches starting
from the neighbors of u. They only visit one or two non-neighbors per neighbor. The
idea is that whenever a subtree contains more neighbors than non-neighbors, it will be
fully visited. Thus, the algorithm is able to determine all close children. Similarly, the
best parent is determined by propagating information upwards in the skeleton. As QTM
uses a priority queue to manage nodes during this bottom-up search, the running time
per round is O (n+mlogΔ), where Δ is the maximum degree. In the following, we present several novel improvements for QTM. In Sect. 3.1,
we show how to reduce the running time per round to linear in the number of nodes
and edges. Further, in Sect. 3.1
Linear Running Time To realize its bottom-up search, QTM needs to process nodes ordered by depth in the
forest. While it is straightforward to use a bucket per level in the forest, this has the
problem that this yields a running time linear in the depth of the deepest neighbor of u. It turns out, though, that we do not need to consider deep neighbors. More precisely,
we show that we can ignore neighbors at a depth of more than 2 × deg(u). Consider a
node v ∈N(u) with depth larger than 2 × deg(u). If u is connected to v in the edited
graph, this implies that u is also connected to all at least 2 × deg(u) ancestors of u. Among these, there can be at most the remaining deg(u) −1 neighbors and thus at
least deg(u)+1 non-neighbors. Thus, this implies deg(u)+1 edge insertions. Making u
a root in the forest, i.e., deleting all edges incident to u, causes just deg(u) edits and is
thus better. Therefore, we can ignore neighbors with depth larger than 2 × deg(u). We
can thus use a bucket per depth of the remaining neighbors which eliminates the log-
factor of the running time. 3
Quasi-Threshold Mover (QTM) 3.2, we present an additional path sorting step that modi-
fies the skeleton forest before every local move of a node u and yields a move that is
optimal with respect to the edits incident to u. This local optimality directly gives us
an inclusion-minimal algorithm as we show in Sect. 3.3. The last improvement is ran-
domization, in Sect. 3.4, we show how we can select uniformly at random among all
possible sets of edits incident to the moved node u. 3.2
Sorting Simple Paths QTM minimizes edits with respect to the choice of a parent and adopted children of that
parent. Here we show that an additional sorting step minimizes the edits incident to u Skeleton-Based Clustering by Quasi-Threshold Editing 139 in the edited graph independently of the chosen skeleton forest. For this, we consider
simple paths, which we define as a maximal path in the skeleton forest in which each
node has exactly one child except for the lowest node. Every node is thus part of exactly
one simple path, which may only consist of the node itself. A crucial observation is that
reordering nodes in simple paths is the only way the skeleton forest can be modified
without affecting the induced quasi-threshold graph. Lemma 1. Let G be a graph and T a corresponding skeleton forest. It holds that N[u] =
N[v] if and only if u and v are on the same simple path. Proof. If N[u] = N[v], then u and v are on the same simple path: Assume otherwise, i.e., that u and v are not on the same simple path in T. Consider
the path Puv between u and v in T. As it is not simple, it contains a node that is not its
lowest node and has at least a child x that is not on Puv. As x is not on Puv, either {u,x} ∈
E and {v,x} /∈E or vice-versa, depending on whether u is an ancestor of v or v an
ancestor of u. This is a contradiction to N[u] = N[v], thus u and v must be on the same
simple path. p
p
If u and v are on the same simple path, N[u] = N[v]: An edge {u,v} exists if and only if u and v are in an ancestor-descendant relationship
in the skeleton T. Consider a node u. All ancestors/descendants of u apart from its
simple path are also ancestors/descendants of all other nodes in its simple path. Further,
the nodes in its simple path form a clique. Therefore, N[u] = N[v]. ⊓⊔ Lemma 2. Let T, T ′ be two different skeletons that induce the same quasi-threshold
graph G. Then the simple paths of u in T and T ′ consist of the same nodes. Proof. Assume otherwise, i.e., that the simple paths of u in T and T ′ differ. 3.2
Sorting Simple Paths Then there
is a node x that is on the simple path of u in T but not in T ′ (or vice-versa, but assume
w.l.o.g. that it is in T). As x and u are on the same simple path in T, N[u] = N[x] by
Lemma 1. Lemma 1 also implies that u and x must be on the same simple path in T ′,
which is a contradiction to the existence of x and thus our assumption. Thus, the simple
paths of u must consist of the same nodes in T and T ′. ⊓⊔ Lemma 3. Let T, T ′ be two skeletons that induce the same quasi-threshold graph G. Then the only difference between T and T ′ is the reordering of simple paths. Lemma 3. Let T, T ′ be two skeletons that induce the same quasi-threshold graph G. Then the only difference between T and T ′ is the reordering of simple paths. U. Brandes et al. By Lemma 2, the simple path of u must consist of the same nodes in T and T ′. Therefore, we can replace the simple path in T by the simple path in T ′ without alter-
ing the resulting graph, and then search for a new pair u, v as described above. This
reordering of the simple path does not change any other simple path. Therefore, if we
apply this procedure repeatedly, it cannot find the same nodes again. Thus, this proce-
dure terminates after at most n steps. As every step just reorders a simple path, the only
difference between T and T ′ was reordering of simple paths. ⊓⊔ ⊓⊔ The main idea of path sorting is, before moving a node u, to move all its neighbors
to the top of their respective simple paths. Since it might unify simple paths and thus
enable reordering, u is first removed from the graph. This reordering makes it possible to
choose the lowest neighbor of a simple path as parent without needing to insert edges
to other non-neighbors in it. Note that the order in simple paths does not play a role
when adopting a node c as a child because all nodes in its path become neighbors of u
anyway. We show that this minimizes the number of edits incident to u by considering
an optimal set of edits and its skeleton forest and showing that our forest with reordered
simple paths does not yield more edits. Lemma 4. Consider a graph G = (V,E), a node u ∈V and a skeleton forest T. Apply-
ing QTM to u on T −which is T with u removed and simple paths reordered such that
neighbors of u are at the top of their simple paths minimizes the number of edits incident
to u. Proof. Let Q be the quasi-threshold graph with minimum edits incident to u and TQ
a skeleton forest of Q. Let T −
Q be TQ without u, children of u attached to u’s parent. This keeps all ancestor-descendant-relationships between all nodes except u and thus
all remaining edges. The reverse of this operation is exactly what QTM does: choosing
a parent and potentially adopting some of its children. Thus, QTM can find an optimal
set of edits incident to u in T −
Q . Lemma 3. Let T, T ′ be two skeletons that induce the same quasi-threshold graph G.
Then the only difference between T and T ′ is the reordering of simple paths. Proof. Assume otherwise, i.e., that there were two skeletons T, T ′ that imply the same
quasi-threshold graph G but differ more than just reordering of simple paths. A forest is
uniquely determined by specifying the set of ancestors of every node. Thus there must
be a node u such that the ancestors of u in T are different from the ancestors in T ′. As a
consequence, there is a node v that is an ancestor of u in T or T ′, but not in both. Assume
w.l.o.g. that v is an ancestor of u in T. Due to T, {u,v} ∈E. As {u,v} ∈E if and only
if v is an ancestor of u or v is a descendant of u, v must be a descendant of u in T ′. As u
is an ancestor of v in T, N[u] ⊇N[v]. As v is an ancestor of u in T ′, N[v] ⊇N[u] and
thus N[u] = N[v]. Due to Lemma 1, this implies that u and v are together on a simple
path in both T and T ′. Proof. Assume otherwise, i.e., that there were two skeletons T, T ′ that imply the same
quasi-threshold graph G but differ more than just reordering of simple paths. A forest is
uniquely determined by specifying the set of ancestors of every node. Thus there must
be a node u such that the ancestors of u in T are different from the ancestors in T ′. As a
consequence, there is a node v that is an ancestor of u in T or T ′, but not in both. Assume
w.l.o.g. that v is an ancestor of u in T. Due to T, {u,v} ∈E. As {u,v} ∈E if and only
if v is an ancestor of u or v is a descendant of u, v must be a descendant of u in T ′. As u
is an ancestor of v in T, N[u] ⊇N[v]. As v is an ancestor of u in T ′, N[v] ⊇N[u] and
thus N[u] = N[v]. Due to Lemma 1, this implies that u and v are together on a simple
path in both T and T ′. 140 U. Brandes et al. Since, by Lemma 3, T −and T −
Q differ only in the order
of nodes on simple paths, we show that the orderings of T −and T −
Q are equally good. p
p
,
g
Q
q
y g
Consider the parent p and children C of u in TQ. If p is the lower end of its simple
path in T −
Q , we obtain the same ancestor from the lowest node of p’s simple path in T −. Similarly, for an adopted child c ∈C, adoption of the highest node of c’s simple path
in T −yields the same descendants. If p is not the lower end of its simple path in T −
Q ,
we distinguish two cases: u adopted p’s only child or u is a leaf node in TQ. In the first
case, neither the position in p’s simple path nor its node order matters as any position
and node order gives the same neighbors and thus edits. If u is a leaf node in TQ and p is
not the lower end of its simple path, the node order matters as u is only connected to p
and p’s ancestors but not the nodes below p on p’s simple path Pp in T −
Q . By Lemma
3, Pp also exists in T −
Q . Every non-neighbor of u among p and its ancestors in Pp causes
an edge insertion while every neighbor of u below p causes an edge deletion. By moving
all neighbors of u to the top of Pp and choosing the lowest neighbor of u on Pp as parent,
we do not get any edits incident to nodes of Pp and thus minimize the edits among all
possible orderings of Pp. This shows that QTM finds a parent and children to adopt
on T −that minimize the number of edits incident to u. ⊓⊔ What remains to show is that maintaining and sorting all simple paths does not
increase the asymptotic running time of QTM. Simple paths are maintained explicitly Skeleton-Based Clustering by Quasi-Threshold Editing 141 in a dynamic array, every node stores its simple path and position in it. This allows us
to swap neighbors of the node to move u in constant time to the position of the first
non-neighbor in its simple path, we also store this position. U. Brandes et al. Moving nodes can cause
simple paths to be split or joined. We store simple paths ordered from lowest to highest
node. Whenever simple paths are split or merged, u is adjacent in the edited graph to the
upper part of the path either before or after the move. In a split, we remove the upper
part of the path from its end. In a merge, we add the nodes of the upper path to the lower
path. Both operations are thus linear in the number of neighbors of u before or after the
move. The running time analysis of QTM already accounts for running time linear in
the number of neighbors of u in the edited graph both before and after the move. Thus,
path sorting does not increase the asymptotic running time of QTM. 3.3
Inclusion-Minimal Editing With the local moving routine of QTM, we can incrementally insert the nodes of a
graph G into an initially empty graph. Due to Lemma 4, this minimizes the number of
edits in each step. Overall, this yields an inclusion-minimal editing of G, as it has also
been shown, e.g., for interval graphs [26]. The basic idea is that if there was a set of
superfluous edits, these edits could have been omitted already at the steps where they
were introduced, violating the local minimality guaranteed by Lemma 4. This inclusion-minimal editing algorithm can also be considered a one-pass stream-
ing algorithm. To add a node, we need the skeleton of the already seen nodes, which can
be stored in O (log(n)) bits per node. We only consider the edges of every node once,
the only constraint is that when we encounter a node u in the stream, we also need to
get all incident edges that are incident to the already seen nodes. 3.4
Randomized Choices To accelerate convergence, the original QTM algorithm moves a node u only if this
reduces the number of edits and there is no rule for breaking ties between moves. The
algorithm also never adopts children whose subtrees contain an equal number of neigh-
bors and non-neighbors, as this only swaps edge deletions for insertions. We call such
children indifferent children. We now propose to break ties by choosing uniformly at
random from the best options for u, even if this does not lead to an improvement. The
rationale is that on a plateau of equally good solutions only some may lead to better
solutions in the next move. The same technique can also be applied to the inclusion-
minimal editing, where a more diverse set of solutions can be obtained. This poses two challenges: we need to find all options, and we may count each of
them only once. In particular, different choices of a parent p and children C to adopt
might actually yield the same quasi-threshold graph and thus only one of them should
be considered. For instance, choosing a parent x without adopting any children is the
same as choosing x’s parent p as parent and adopting x. But we also cannot disregard p,
because adopting a second child of p would yield a different quasi-threshold graph. Since, according to Lemma 2, the set of simple paths is unique, we can resolve
the ambiguity by ensuring that a node u that is moved is inserted at the bottom of its
new simple path. The lowest node of a simple path does not have exactly one child, 142 U. Brandes et al. for otherwise the path would not end there. Accordingly, we ignore positions where u
adopts exactly one child. Thus, if a potential parent p has exactly one close child and no indifferent children,
we disregard it. If p has one close child, we must choose at least one indifferent child
and thus get 2ci −1 possibilities to choose among the ci indifferent children. If p has at
least two close children, we can choose an arbitrary subset of the indifferent children
and get 2ci possibilities. If p has no close children and at most one indifferent child,
we have only the single option of not adopting the child. 3.4
Randomized Choices If p has no close children
and ci ≥2 indifferent children, we have 2ci −ci possible choices among the indifferent
children that do not lead to exactly one child. In our algorithm, we propagate the number of choices upwards in our bottom-up
search together with the minimum number of required edits and the best parent. When
processing a node that is a suitable parent that achieves the same number of edits, we
choose it with a probability that is proportional to its number of choices for adopting
children divided by the total number of choices aggregated so far. As the number of
choices is exponential in the number of indifferent children, we store the logarithm of
the number of choices to avoid overflows or dealing with huge integers. While this intro-
duces rounding errors when adding numbers that are of different orders of magnitude,
in these cases the chances of choosing one parent instead of the other are vanishingly
small anyway. QTM already guarantees that we discover nodes whose subtree contains as many
neighbors as non-neighbors, so it is easy to select them. There are some cases though,
where QTM needs to be modified to propagate information about equally good parents. In particular, this is the case if the current candidate so far shows no benefit over isolat-
ing the node to move. In that case, QTM does not propagate any information as there is
always an ancestor of the current node that is at least as good. We adapt QTM to also
propagate information about equally good parents even if the number of saved edits
is 0. We however do not insert the parent p into the priority queue unless there is an
actual improvement over isolating the node to move. The reason for this is that if p is
a non-neighbor, it causes an additional edit that leads to −1 saved edits. This cannot be
compensated further up in the tree, as otherwise the path above p to the root contained
more u-neighbors than non-neighbors and choosing the parent of p as parent of u and
not adopting any children was better. 2 Our implementation is available at https://github.com/michitux/networkit/tree/upstream/qtm-
linear. 4
Experimental Evaluation We added our extensions to the original QTM implementation in C++ as part of Net-
worKit [31 SPP]2. All experiments were performed on an Intel Core i7-2600K CPU
with 32GB RAM. Each algorithms was executed ten times with ten different seeds and
randomly permuted node ids. By instance, we denote a combination of seed and (per-
muted) graph. Skeleton-Based Clustering by Quasi-Threshold Editing 143 Fig. 2. Comparison of the different variants of QTM on the COQ protein similarity dataset with
either no initialization or the initialization heuristic. Lines ending with a “x” are algorithms that
need edits for instances that are quasi-threshold graphs and are thus infinitely worse than the best
algorithm. Fig. 2. Comparison of the different variants of QTM on the COQ protein similarity dataset with
either no initialization or the initialization heuristic. Lines ending with a “x” are algorithms that
need edits for instances that are quasi-threshold graphs and are thus infinitely worse than the best
algorithm. Our algorithms are evaluated on two datasets. The first consists of 3964 connected
components of the COG protein similarity data [2,27]. Each connected component con-
sists of a symmetric matrix of similarities, and we construct an unweighted graph from
its non-negative entries. Even though the dataset does not include fully connected com-
ponents (i.e., cliques), 1666 components remain that are quasi-threshold graphs and do
not require any edits. We restrict parts of our analysis to the 716 graphs that require at
least 20 edits. As a second dataset we use 100 social networks of Facebook friendships
at US universities and colleges [32]. Unless noted otherwise, QTM is run for a maximum of 400 iterations. We stop
early if an iteration does not result in a node movement. With randomization enabled,
however, we do continue for up to 50 iterations without improvements if nodes had
more than one option. We use so-called performance profiles [12] to compare the number of edits achieved
by different algorithms. A performance profile indicates the fraction of instances on
which an algorithm performed within a specified percentage of the best algorithm with
the best seed on that graph. For readability, we sometimes divide the plots by vertical
lines indicating intervals of the x-axis with different linear scales. 4.1
Sorting Paths and Randomization We first examine the impact of sorting paths and randomization on the number of edits. In a 2×2×2-design, we combine no initialization (a spanning forest of isolated nodes)
and the previous initialization heuristic [4 SPP] with iterations that make or do not make
use of path sorting and randomization. Figure 2 shows the results for the full COG protein similarity dataset. Despite the
many instances that are, or are almost, quasi-threshold graphs, clear differences arise,
with the old variants performing the worst. As is to be expected, quasi-threshold graphs
are not always recognized without initialization. The variants with just sorting follow
with some margin. Here, the difference between the two initialization algorithms is U. Brandes et al. 144 Fig. 3. Comparison of the different variants of QTM on the Facebook 100 dataset with either no
initialization or the initialization heuristic. Fig. 3. Comparison of the different variants of QTM on the Facebook 100 dataset with either no
initialization or the initialization heuristic. Fig. 3. Comparison of the different variants of QTM on the Facebook 100 dataset with either no
initialization or the initialization heuristic. almost gone and no quasi-threshold graph requires any edits. This is not the case right
after the first iteration, though, so we can rule out that one iteration of this algorithm is
an alternative inclusion-minimal algorithm. The versions with just randomization performs even better than with just sorting
paths. However, here, some graphs are not recognized as quasi-threshold graphs and a
clear gap between the two initializations remains. With path sorting and randomization,
the performance is even better, regardless of the initialization 95% of the instances are
as good as the best algorithm and seed, and almost all instances are within 10% of the
best solution. For the Facebook 100 dataset, the results that are shown in Fig. 3 are slightly dif-
ferent. First, the instances are much more challenging with even the smallest requiring
more than ten thousand edits. There are slight differences between the different solu-
tions which mean that usually there is just one seed and algorithm that achieves the best
result on a graph, explaining why no algorithm has the best solution for more than 10%
of the instances. Also, we are no longer talking about 10% differences in the number
of edits, but at most 2.5%. Still, there are clear differences between the algorithm vari-
ants. 4.1
Sorting Paths and Randomization The original two variants need at least 0.5% more edits than the best solutions
on almost all instances while the variants with path sorting and randomization need at
most 0.5% more edits than the best solutions on almost all instances. The variants with
path sorting give a good improvement, but unlike in the COG protein similarity dataset,
the differences between the initializations remain. With randomization, the difference
between the two initializations is even larger than the difference between using just
randomization and using both path sorting and randomization. Overall, we can conclude that using path sorting and randomization significantly
improve the quality of the solutions. However, on the Facebook 100 dataset, initializa-
tion still seems to make a difference, indicating that even with these improvements we
are not able to escape all local minima. Next, we consider the inclusion-minimal editing
as initialization. Skeleton-Based Clustering by Quasi-Threshold Editing 145 Skeleton Based Clustering by Quasi Threshold Editing
145
Fig. 4. Comparison of the different initializations of QTM on the COQ protein similarity dataset
(top) and the Facebook 100 dataset (bottom). Fig. 4. Comparison of the different initializations of QTM on the COQ protein similarity dataset
(top) and the Facebook 100 dataset (bottom). 4.2
Initialization and Convergence Apart from the two original initialization methods, we consider three variants of the
inclusion-minimal editing that differ based on the order in which nodes are inserted. We consider a random order and descending or ascending by degree. For the inclusion-
minimal initialization, we also consider randomization of the chosen position in the
skeleton. First, we consider just the initialization itself in Fig. 4 for both datasets. Both plots
use as “best algorithm” the algorithm runs with the up to 400 iterations. For the COQ
protein similarity dataset, we can see that even just the initialization algorithms also
match some of the best solutions, which is to be expected as some of them require no
edits. No initialization corresponds to just deleting all edges, and we can see that for
some graphs this is very far from an optimal solution. The inclusion-minimal variants
clearly need less edits than the initialization heuristic, with the randomized order being
best and a not so clear distinction between ascending and descending order. Interest-
ingly, the variants without additional randomization seem to perform slightly better. On the Facebook 100 dataset, a large fraction of the edges is edited, such that even
just deleting all edges is less than 50% worse than what the best algorithm achieves. U. Brandes et al. 146 146
U. Brandes et al. Fig. 5. Comparison of the different initialization variants of QTM on the COQ protein similarity
dataset (top) and the Facebook 100 dataset (bottom) with both path sorting and randomization
after up to 400 iterations and after 20 iterations. Fig. 5. Comparison of the different initialization variants of QTM on the COQ protein similarity
dataset (top) and the Facebook 100 dataset (bottom) with both path sorting and randomization
after up to 400 iterations and after 20 iterations. The initialization heuristic actually needs more edits than just deleting all edges, an
observation already made by Brandes et al. [4 SPP]. The inclusion-minimal initializa-
tion algorithms perform much better than that, even though they do not match any best
results. Again, the randomized order is best, following by ascending and then descend-
ing degree order. We can also clearly see again that not randomizing the choices is
slightly better. This indicates that there might be potential for further optimizing choices
in the inclusion-minimal editing algorithm. 4.2
Initialization and Convergence The initialization heuristic actually needs more edits than just deleting all edges, an
observation already made by Brandes et al. [4 SPP]. The inclusion-minimal initializa-
tion algorithms perform much better than that, even though they do not match any best
results. Again, the randomized order is best, following by ascending and then descend-
ing degree order. We can also clearly see again that not randomizing the choices is
slightly better. This indicates that there might be potential for further optimizing choices
in the inclusion-minimal editing algorithm. Next, we consider how the choice of the initialization algorithm influences the result
after 20 iterations or up to 400 iterations with both path sorting and randomization
enabled. Figure 5 compares the results for both datasets. For the COQ protein similar-
ity dataset, the results are very close. The initialization heuristic wins both after 20 and
400 iterations, the inclusion-minimal editing with randomized order comes second. The
remaining variants follow, with the descending degree ordering being last. The differ-
ences are small, though, and in some cases the initialization seems to be more important
than the number of iterations. Skeleton-Based Clustering by Quasi-Threshold Editing 147 Fig. 6. Number of iterations used by QTM. The COQ protein similarity dataset only includes
graphs that require at least 20 edits. Whiskers extend to the 5th and 95th percentile. Fig. 6. Number of iterations used by QTM. The COQ protein similarity dataset only includes
graphs that require at least 20 edits. Whiskers extend to the 5th and 95th percentile. For the Facebook 100 dataset, the difference between 20 and 400 iterations is clearly
visible. While the initialization heuristic clearly wins, the number of iterations seems
more important than the initialization. This can be explained by the much larger and
more difficult graphs that also require more iterations as shown in Fig. 6. Here, we
exclude the ascending and descending degree ordered initialization to improve read-
ability. Without randomization, most instances of the COQ protein similarity dataset con-
verge within 10 iterations. On the Facebook 100 dataset, those algorithms require up to
40 iterations for most instances to converge. Enabling path sorting decreases the num-
ber of required iterations. As the initialization is not counted as an iteration, it is natural
that variants without initialization take an iteration longer in the median on the COQ
protein similarity dataset. 4.2
Initialization and Convergence The difference between the initialization heuristic and the
inclusion-minimal editing as initialization is small. With randomization enabled, most
instances of the Facebook 100 dataset use all 400 iterations that we allowed. With path
sorting enabled, some more instances converge earlier, i.e., either no move was possible
– which is unlikely here – or no improvement has been found for 50 iterations. For the
COQ protein similarity dataset, most instances finish in a bit more than 100 iterations. Again, this is less with path sorting. We conclude that the initialization heuristic introduced by Brandes et al. [4 SPP]
is still unmatched in results even though it is initially worse than the new inclusion-
minimal variants. For the inclusion-minimal editing, a random node order seems to
perform best. Path sorting leads not only to better results of QTM, but also faster con-
vergence. Randomization leads to a much larger number of iterations that yield some
improvements. Here, limiting the number of iterations is required to achieve reasonable
running times but still even with 20 iterations, randomization improves results. U. Brandes et al. 148 Fig. 7. Running time per edge and iteration vs. number of edges of QTM with initialization heuris-
tic, path sorting and randomization on graphs of the two datasets requiring at least 20 edits. Fig. 7. Running time per edge and iteration vs. number of edges of QTM with initialization heuris-
tic, path sorting and randomization on graphs of the two datasets requiring at least 20 edits. 4.3
Running Time Figure 7 shows the running time per edge and iteration in microseconds for QTM with
initialization heuristic, randomization and path sorting. Although this includes the time
for initialization, we normalized by the number of subsequent iterations. Since initial-
ization time is dominated by the iterations, which in turn are linear in the number of
edges, this normalized running time should be roughly constant. For the COQ pro-
tein similarity dataset, it actually decreases with increasing graph size. Given that this
happens in the range where these graphs have only hundreds of edges, initialization
overheads might play a role. For the Facebook 100 dataset, running times actually
increase slightly with graph size. Between the smallest and the largest graph, we see an
increase from around 0.4µs to 0.6µs. We examined CPU statistics and found increased
cache misses to be a likely explanation. The percentage of cache misses increases while
the number of instructions per edge and iteration is almost constant across the Face-
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Conclusion We have extended the fast quasi-threshold editing heuristic QTM with new path sort-
ing and randomization components. We have shown that path sorting both provides
new local optimality guarantees in theory and better results in practice. Our experimen-
tal results indicate that randomization indeed helps escaping local optima, but conver-
gence needs much longer, in particular for large graphs. Still, even with few iterations,
results are improved in practice. We also modified QTM into a linear-time algorithm
for inclusion-minimal edit sets, which serve well as initialization for QTM. While it
reduces the number of edits compared to the previous initialization heuristic, the final
result after convergence are slightly worse. Therefore, it would be interesting to investigate further ways to escape local minima,
e.g., by moving several nodes at once by some form of contraction. A recent master’s
thesis [29] extends QTM to the weighted quasi-threshold editing problem where every
node pair has a cost and the goal is to find a set of edits with minimum total cost. It Skeleton-Based Clustering by Quasi-Threshold Editing 149 shows that with non-uniform edit costs, QTM seems to get stuck in local minima and
investigates moving whole subtrees as a remedy. While moving subtrees helps, it also
significantly increases the running time. shows that with non-uniform edit costs, QTM seems to get stuck in local minima and
investigates moving whole subtrees as a remedy. While moving subtrees helps, it also
significantly increases the running time. Acknowledgement. This work was supported by the Deutsche Forschungsgemeinschaft (DFG,
German Research Foundation) under grants BR 2158/11-2 and WA 654/22-2 within the Priority
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255 (1996). https://doi.org/10.1016/0166-218X(96)00094-7 Skeleton-Based Clustering by Quasi-Threshold Editing 151 Open Access This chapter is licensed under the terms of the Creative Commons Attribution
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Multigene phylogeny supports diversification of four-eyed fishes and one-sided livebearers (Cyprinodontiformes: Anablepidae) related to major South American geological events
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RESEARCH ARTICLE Multigene phylogeny supports diversification
of four-eyed fishes and one-sided livebearers
(Cyprinodontiformes: Anablepidae) related to
major South American geological events Pedro F. Amorim*☯, Wilson J. E. M. Costa☯
Laboratory of Systematics and Evolution of Teleost Fishes, Institute of Biology, Federal University of Rio de
Janeiro, Rio de Janeiro, Rio de Janeiro, Brazil Pedro F. Amorim*☯, Wilson J. E. M. Costa☯ Pedro F. Amorim*☯, Wilson J. E. M. Costa☯
Laboratory of Systematics and Evolution of Teleost Fishes, Institute of Biology, Federal University of Rio de
Janeiro, Rio de Janeiro, Rio de Janeiro, Brazil a1111111111
a1111111111
a1111111111
a1111111111
a1111111111 ☯These authors contributed equally to this work. * pedro_f_a@hotmail.com OPEN ACCESS Citation: Amorim PF, Costa WJEM (2018)
Multigene phylogeny supports diversification of
four-eyed fishes and one-sided livebearers
(Cyprinodontiformes: Anablepidae) related to major
South American geological events. PLoS ONE 13
(6): e0199201. https://doi.org/10.1371/journal. pone.0199201 Editor: Zuogang Peng, SOUTHWEST UNIVERSITY,
CHINA Received: March 14, 2018
Accepted: June 4, 2018
Published: June 18, 2018
Copyright: © 2018 Amorim, Costa. This is an open
access article distributed under the terms of the
Creative Commons Attribution License, which
permits unrestricted use, distribution, and
reproduction in any medium, provided the original
author and source are credited. Copyright: © 2018 Amorim, Costa. This is an open
access article distributed under the terms of the
Creative Commons Attribution License, which
permits unrestricted use, distribution, and
reproduction in any medium, provided the original
author and source are credited. Data Availability Statement: All relevant data are
within the paper and its Supporting Information
files. All sequences developed by this study are
available from the GenBank database. Abstract The high diversity of Neotropical fishes has been attributed to major South American
palaeogeographic events, such as Andean uplift, rise of the Isthmus of Panama and marine
transgressions. However, the unavailability of temporal information about evolution and
diversification of some fish groups prevents the establishment of robust hypotheses about
correlations between species diversification and proposed palaeogeographical events. One
example is the Anablepidae, a family of teleost fishes found mostly in coastal habitats of
Central and South America, but also in some inner river basins of South America. Historical
aspects of the distribution patterns of the Anablepidae were never analysed and no accurate
estimation of time of its origin and diversification is presently available. A multi-gene analysis
was performed to estimate Anablepidae phylogenetic position, age and biogeography, com-
prising seven nuclear genes. The suborder Cyprinodontoidei was recovered in three major
clades, one comprising all the Old World Cyprinodontoidei and two comprising New World
lineages. Anablepidae was recovered as the sister group of the New World Poeciliidae, with
the Amazonian genus Fluviphylax as their sister group. The ages found for the origin and
diversification of Cyprinodontiformes were congruent with the pattern recorded for other ver-
tebrate groups, with an origin anterior to the Cretaceous-Paleogene (K-Pg) transition and
diversification during the Paleogene. The age estimated for the split between the Atlantic
and Pacific lineages of Anableps was congruent with the rise of Panamanian Isthmus. The
results suggest Miocene marine transgressions as determinant to the current distribution of
Jenynsia. Anablepidae (Cyprinodontiformes) biogeography and South American geological events of Jenynsia and all those included in Anableps and Oxyzygonectes live in coastal salt-water or
brackish-water habitats, whereas the remaining 12 species of Jenynsia inhabit freshwaters [2, 3,
4, 5, 6]. Pesquisa do Estado do Rio de Janeiro (http://www. faperj.br)(2016006328) for PFA. Competing interests: The authors have declared
that no competing interests exist. Competing interests: The authors have declared
that no competing interests exist. Regarding the fossil record, a monotypic extinct genus, Carrionellus White, 1927 from the
Early Miocene of Loja, Ecuador, was first described as a member of the Cyprinodontidae [7],
and later transferred to Anablepidae species [2]. However, after a detailed analysis of the type
series of Carrionellus diumortuus White, 1927, the genus was then realocated in the Cyprino-
dontidae family [8]. In a recent study two new monotypic genera from Middle Miocene of
Northern Argentina were described in the family Anablepidae, Tucumanableps Sferco, Herbst,
Aguilera & Mirande, 2017, recovered as the sister group of Anableps, and Sachajenynsia Sferco,
Herbst, Aguilera & Mirande, 2017, the sister of all other genera of Anablepidae except Oxyzy-
gonectes [9]. Species of Anableps exhibit one of the oddest adaptations among Cyprinodontiformes,
comprising prominent eyes that rise above their heads, with horizontally divided pupils with
an hourglass-like shape. This unique eye morphology allows them to simultaneously see aerial
and aquatic environments when swimming with the middle line of the eye at the water surface
[10]. These unusual morphological and behavioural traits attracted attention since the first
European travellers arrived in America, so records of Anableps date from the early 17th cen-
tury [11], more than 150 years prior to the formal description of the first species of the genus
[12]. The complexity of their eye makes these animals important organisms for studies of
embryogeny and gene expression (e.g. [13, 14, 15]). Furthermore, due to the presence of a
modified anal fin of males in a tubular gonopodium and a placenta-like tissue in females,
which together allow internal fertilization and viviparity [16, 17], Anableps and Jenynsia are
also models of studies involving reproduction and ontogeny (e.g. [18, 19, 20]). The geographical distribution of Anablepidae is restricted to Neotropical areas (Fig 1): Oxy-
zygonectes is a monotypic genus found in the Pacific coast of Central America; Anableps com-
prises three species inhabiting both the Pacific coast of Central America and the Atlantic coast Fig 1. Introduction Funding: The funders for the development of the
study were provided by Conselho Nacional de
Desenvolvimento Cientı´fico e Tecnolo´gico (http://
cnpq.br) (307349/2015-2) for WJEMC, and
Fundac¸ão Carlos Chagas Filho de Amparo à The family Anablepidae is a group of cyprinodontiform fishes comprising three recent genera,
Anableps Scopoli, 1777, Jenynsia Gu¨nther, 1866 and Oxyzygonectes Fowler, 1916, commonly
known as four-eyed fishes, one-sided livebearers, and white-eye, respectively [1]. Two species 1 / 14 PLOS ONE | https://doi.org/10.1371/journal.pone.0199201
June 18, 2018 Geographical distribution of the genera of Anablepidae. Oxyzygonectes in red, Anableps in yellow and Jenynsia in green. https://doi.org/10.1371/journal.pone.0199201.g001 Fig 1. Geographical distribution of the genera of Anablepidae. Oxyzygonectes in red, Anableps in yellow and Jenynsia in green. https://doi.org/10.1371/journal.pone.0199201.g001 2 / 14 PLOS ONE | https://doi.org/10.1371/journal.pone.0199201
June 18, 2018 PLOS ONE | https://doi.org/10.1371/journal.pone.0199201
June 18, 2018 Anablepidae (Cyprinodontiformes) biogeography and South American geological events of northern South America; and Jenynsia, the most species diverse genus of Anablepidae, com-
prising 14 species inhabiting the Parana´-Paraguay river system and coastal drainages of south-
eastern South America [2, 4, 21]. However, biogeographical historical events responsible for the
present distribution of the Anablepidae were never deeply explored [2]. Previous authors dis-
cussed the distribution of Anableps which could be related to the rise of the Panama Isthmus or
ancient events, but no conclusion was proposed [1, 2, 5]. Jenynsia presents a huge disjunct dis-
tribution when compared to other anablepid genera (Fig 1), but there is no available explanation
for this distribution pattern based on analytical tools for biogeographical inference. Here we
first provide a time-calibrated multi-gene phylogeny of the Anablepidae, discussing two possible
past historical scenarios that have shaped the present distribution of the main Anablepidae
components: (1) invasion of the most recent common ancestor into the Amazon basin through
Miocene marine transgressions followed by dispersion to south through ancient connections
between the Amazon and Parana´ river basins or (2) a dispersion along the eastern South Amer-
ica coast with an invasion to the freshwater habitats in the mouth of the La Plata river, during
Miocene, through marine transgression forming the Paranean Sea. Age estimates for the Anablepidae and other Neotropical cyprinodontoid groups are still
uncertain. Previous studies proposed the origin of the clade comprising Anablepidae and Poe-
ciliidae (sensu [1]) dating back to the Lower Cretaceous (130–110 Ma), before separation
between Africa and South America [22, 23, 24], but a recent time-calibrated analysis [25] esti-
mated the origin of Poecilinae and Anablepidae clade between the Upper Cretaceous and the
Early Palaeocene (62–67 Ma). In the current study, we analysed the largest dataset of genetic
information for Anablepidae to test its phylogenetic position among the Cyprinodontoidei
and to estimate time of origin and diversification of the family and their genera using three cal-
ibrating points based on well-known cyprinodontoid fossils. Taxonomic sampling, DNA extraction, PCR, and sequencing Taxonomic sampling, DNA extraction, PCR, and sequencing A total of 82 terminal taxa were used, including one species of Beloniformes, the sister group to
Cyprinodontiformes (e.g. [26, 27]), in which the analyses were rooted, and 81 species of Cyprino-
dontiformes, among which are represented all species of Anableps and Oxyzygonectes, and eight of
the 14 species of Jenynsia. Molecular data were obtained from specimens euthanized with buffered
solution of ethyl-3-amino-benzoat-methansulfonat (MS-222) at a concentration of 250 mg/l, for a
period of 10 minutes or more, until completely ceasing opercular movements, following the meth-
ods for euthanasia approved by CEUA-CCS-UFRJ (Ethics Committee for Animal Use of Federal
University of Rio de Janeiro; permit number: 01200.001568/2013-87). These individuals were
fixed and preserved in absolute ethanol. The dataset was complemented with sequences obtained
from GenBank, a complete list of taxa used in the analysis is presented in S1 Table. Seven nuclear
genes were sampled: ectodermal-neural cortex (ENC1), glycosyltransferase (GLYT), cardiac mus-
cle myosin heavy chain 6 alpha (MYH6), recombination activating gene 1 (RAG1), rhodopsin
(RHO), SH3 and PX domain-containing 3-like protein (SH3PX3) and tyrosine kinase exons 8–10
and introns 8–9 (X-SRC). The introns of X-SRC were excluded due to the high degree of variabil-
ity found, which produce highly ambiguous alignments. Total genomic DNA was extracted from muscle tissue of the right side of the caudal pedun-
cle using the DNeasy Blood & Tissue Kit (Qiagen), according to the manufacturer instructions. To amplify the fragments of the DNA, the primers provided in the S2 Table were used. Poly-
merase chain reactions (PCR) were performed in 30μl reaction mixtures containing 5x Green
GoTaq Reaction Buffer (Promega), 3.2 mM MgCl2, 1 μM of each primer, 75 ng of total geno-
mic DNA, 0.2 mM of each dNTP and 1U of Taq polymerase. The thermocycling profile was: PLOS ONE | https://doi.org/10.1371/journal.pone.0199201
June 18, 2018 3 / 14 Anablepidae (Cyprinodontiformes) biogeography and South American geological events (1) 1 cycle of 4 minutes at 94˚C; (2) 35 cycles of 1 minute at 92˚C, 1 minute at 50–63˚C and 1
minute at 72˚C; and (3) 1 cycle of 4 minutes at 72˚C. In all PCR reactions, negative controls
without DNA were used to check contaminations. Amplified PCR products were purified
using the Wizard SV Gel and PCR Clean-Up System (Promega). Sequencing reactions were
made by Macrogen Inc. (South Korea) using the BigDye Terminator Cycle Sequencing Mix
(Applied Biosystems). Phylogenetic analysis The dataset was analysed in the program PartitionFinder [30] to determine the best partition-
ing scheme and nucleotide substitution models. The optimal partition strategy is shown in S3
Table. The phylogenetic analyses were performed in the programs Garli 2.0 [31], for Maxi-
mum Likelyhood (ML) and MrBayes 3.2.6 [32], for Bayesian inference (BI). The support values
of the ML analysis were calculated by 1000 bootstrap replications [33]. For BI analysis, four
independent Markov Chain Monte Carlo (MCMC) were performed with 30 million genera-
tions each, sampling one of every 1,000 trees. The support values of the BI analysis are given by
posterior probability. The quality of the MCMC chains was evaluated in Tracer 1.6 [34], and a
25% burn-in was removed. Taxonomic sampling, DNA extraction, PCR, and sequencing Cycle sequencing reactions were performed in 10 μl reaction volumes
containing 1 μl BigDye 2.5, 1.55 μl 5x sequencing buffer (Applied Biosystems), 2 μl of the
amplified products (10–40ng), and 2 μl primer. The thermocycling profile was: (1) 35 cycles of
10 seconds at 96˚C, 5 seconds at 54˚C and 4 minutes at 60˚C. The sequencing reactions were
purified and denatured and the samples were run on an ABI 3130 Genetic Analyzer. Sequences
were edited using MEGA 6 [28] and aligned using ClustalW [29]. The DNA sequences were
translated into amino acids residues to test for the absence of premature stop codons or indels
using the program MEGA 6.0. PLOS ONE | https://doi.org/10.1371/journal.pone.0199201
June 18, 2018 Divergence-time estimation The divergence date analyses were performed in Beast v.1.8 [35, 36], using the concatenated
dataset and the same partitions as described above, and a normal uncorrelated relaxed clock
model, which emphasizes the minimum age and has been considered appropriate for fossil cal-
ibration points [37]. Bayesian inference was performed with 30 million generations, a sam-
pling frequency of 1000. The value of parameters of the analysis, convergence of the MCMC
chains, sample size and the stationary phase of the chains were evaluated using Tracer v. 1.6
[34]. A Yule speciation process for the tree prior [38] was used, establishing three calibration
points. The first one was placed at the stem comprising the genera Aphanius and Valencia. It
corresponds to the origin of the crown European cyprinodontoid clade [39], which was esti-
mated to have occurred at least 33 Ma on the basis of the oldest identifiable clade member, the
fossil Prolebias stenoura Sauvage, 1874 from the Lower Stampien (Lower Oligocene) of Puy-
de-Doˆme, France [40] (prior setting: lognormal distribution, mean = 33 and standard devia-
tion = 0.5). The second point was the node where Aphanius and Valencia diverge, correspond-
ing to the most ancient record with recognizable synapomorphies of Aphanius, the fossil
Aphanius chebianus (Obrhelova´, 1985) of the Ottnangian (Lower Miocene) of the Cheb basin,
Czech Republic ([41]; WJEMC, pers. observ.), with 17 Ma (prior setting: lognormal distribu-
tion, mean = 17 and standard deviation = 0.5). The third point was placed in the divergence
between Anableps and Jenynsia, this position corresponds to the Tucumanableps cionei Sferco,
Herbst, Aguilera & Mirande, 2017. This species is recognised as the sister goup of Anabelps
from the Meddle Miocene of the Rı´o Sali formation, Argentina [9], with 12 Ma (prior settings:
lognormal distribution, mean = 12 and standard deviation = 0.5). The position of each calibra-
tion points is also shown in Fig 2. PLOS ONE | https://doi.org/10.1371/journal.pone.0199201
June 18, 2018 4 / 14 Anablepidae (Cyprinodontiformes) biogeography and South American geological events Phylogenetic relationships The analyses of BI and ML (Fig 3) presented identical topologies and high supports for most
nodes. Both suborders of Cyprinodontiformes, Cyprinodontoidei, and Aplocheiloidei, were
recovered with high support values. Three main clades were found in Cyprinodontoidei, here
referred as clades A, B and C, clades A and C comprising New World taxa and clade B
restricted to Old World taxa (Fig 3). Both analyses did not recover Poeciliidae (sensu [1]) as
monophyletic, with their taxa appearing in three unrelated lineages: one, including African
procatopodines as part of the Old-World clade B, and two, comprising the subfamily Poecilii-
nae and the Amazonian genus Fluviphylax as unrelated parts of the New World clade A (Fig
3). The analyses highly supported Anablepidae as sister to the internal fertilizing family Poeci-
liidae (sensu [45]), as well as a clade containing Anablepidae, Poeciliidae, and Fluviphylax
(clade A). In Anablepidae the genus Oxyzygonectes was recovered as the sister group of Ana-
bleps and Jenynsia, and both subgenera of Jenynsia were also corroborated [2]. Time-calibrated analysis The Beast 1.8.3 time-calibrated analysis is shown in Fig 2. Divergence times and their esti-
mated 95% highest posterior density (HPD) intervals place the origin of Cyprinodontiformes
in the Upper Cretaceous (77.6 Ma). Subsequent diversification of Cyprinodontoidei in the
clades A, B and C occurred in Eocene (between 41.4–37.2 Ma). The currently recognised fami-
lies originated between Eocene and Miocene (38.1–19.6 Ma). Reconstructing ancestral habitat An analysis of ancestral states was used to infer possible past habitat scenarios without a priori
assumptions about states relationships [42]. Reconstruction of ancestral states were conducted
in the program RASP 3.02 [43] using the analytical approach Bayesian Binary MCMC (BBM)
[44]. The analysis was directed to historical pattern of habitats, based on: (A) freshwater and
(B) brackish water. Reconstructing ancestral habitat The reconstruction of ancestral habitats recovered the ancestor of Anablepidae as a brackish
water species (Fig 4). In the genus Jenynsia, the BBM analysis recovered the most recent com-
mon ancestor as a freshwater species, a condition kept in derived lineages, except in the clade
comprising J. lineata and J. darwini, wherein the analysis recovered the ancestor inhabiting
brackish waters. PLOS ONE | https://doi.org/10.1371/journal.pone.0199201
June 18, 2018 Phylogenetic relationships of Anablepidae The present study is congruent with most recent analyses of Cyprinodontiformes (e.g. [25, 39,
45]), where Poeciliidae (sensu [1],) is not corroborated. Similarly, the phylogenetic analyses
recovered three unrelated clades, presently receiving family status, Fluviphylacidae, Poeciliidae
and Procatopodidae [45] (Fig 3). Once again, the African clade Procatopodidae was recovered
as the sister group of a clade comprising Valenciidae and Aphaniidae [39, 45, 46], composing
the Clade B, and the New World lineages Poeciliidae and Fluviphylacidae, recovered in the
Clade A along with the Anablepidae (Fig 3). The proposed sister group relationships between
Anablepidae and Poeciliinae have been reported since the first molecular phylogenetic PLOS ONE | https://doi.org/10.1371/journal.pone.0199201
June 18, 2018 5 / 14 Anablepidae (Cyprinodontiformes) biogeography and South American geological events Fig 2. Time-calibrated analysis performed in Beast 1.8.3. Black circles indicate the position of the calibrations used. Bars represent the 95% highest posterior credibility intervals of divergence times. https://doi.org/10.1371/journal.pone.0199201.g002 Fig 2. Time-calibrated analysis performed in Beast 1.8.3. Black circles indicate the position of the calibrations used. Bars represent the 95% highest posterior credibility intervals of divergence times. Fig 2. Time-calibrated analysis performed in Beast 1.8.3. Black circles indicate the position of the calibrations used. Bars represent the 95% highest posterior credibility intervals of divergence times. https://doi.org/10.1371/journal.pone.0199201.g002 PLOS ONE | https://doi.org/10.1371/journal.pone.0199201
June 18, 2018 6 / 14 Anablepidae (Cyprinodontiformes) biogeography and South American geological events Fig 3. Maximum likelihood (ML) tree. ML tree with the same topology of the Bayesian Inference (BI) tree. Values on the nodes are relative to the Bootstrap of ML and
posterior probability of BI analyses respectively. Asterisks mean maximum values and dashes mean values under 60%. https://doi.org/10.1371/journal.pone.0199201.g003 Fig 3. Maximum likelihood (ML) tree. ML tree with the same topology of the Bayesian Inference (BI) tree. Values on the nodes are relative to the Bootstrap of ML and
posterior probability of BI analyses respectively. Asterisks mean maximum values and dashes mean values under 60%. Fig 3. Maximum likelihood (ML) tree. ML tree with the same topology of the Bayesian Inference (BI) tree. Values on the nodes are relative to the Bootstrap of ML and
posterior probability of BI analyses respectively. Asterisks mean maximum values and dashes mean values under 60%. https://doi.org/10.1371/journal.pone.0199201.g003 https://doi.org/10.1371/journal.pone.0199201.g003 analyses of Cyprinodontiformes [25, 47, 48], but the position of Fluviphylax as the sister group
of this clade was only suggested in recent studies [25, 45]. Phylogenetic relationships of Anablepidae In addition, this study supports relationships among genera of Anablepidae as proposed in
analyses exclusively based on morphological characters [1, 2], with Oxyzygonectes as the sister
group of the clade containing Jenynsia and Anableps. PLOS ONE | https://doi.org/10.1371/journal.pone.0199201
June 18, 2018 Timing of origin and diversification of the Anablepidae In contrast to previous phylogenetic studies where the distribution of the Cyprinodontoidei in
both the New and Old World was assumed to be result of continental drift between Africa and
South America in the Cretaceous [22, 24], the current time-calibrated analysis (see below) PLOS ONE | https://doi.org/10.1371/journal.pone.0199201
June 18, 2018 7 / 14 Anablepidae (Cyprinodontiformes) biogeography and South American geological events Fig 4. Analysis of evolution of ancestral habitat. BBM analysis based on the Bayesian Inference (BI) tree. Blue indicates
freshwater (A), and yellow indicates brackish water (B). Only Anablepidae is shown. https://doi.org/10.1371/journal.pone.0199201.g004 Fig 4. Analysis of evolution of ancestral habitat. BBM analysis based on the Bayesian Inference (BI) tree. Blue indicates
freshwater (A), and yellow indicates brackish water (B). Only Anablepidae is shown. https://doi.org/10.1371/journal.pone.0199201.g004 https://doi.org/10.1371/journal.pone.0199201.g004 indicated that the whole order Cyprinodontiformes had its origin in the Upper Cretaceous
(77.6 Ma, 95% HPD 106.6–57.0 Ma) and the diversification of the Cyprinodontoidei occurred
in the Eocene (41.4 Ma, 95% HPD 47.0–37.3 Ma), therefore much more recently than the com-
plete separation of Africa and South America (about 100 Ma). The origin of the Cyprinodonti-
formes clade just before the Cretaceous-Paleogene transition (K–Pg), followed by a great
diversification during the Paleogene, is a pattern also found in other animal groups, such as
placental mammals, crocodyliforms, birds and some other groups of teleost fishes (e.g. [49, 50,
51, 52, 53]). The K–Pg event has been associated with a mass extinction event that affected
great part of Earth’s biodiversity, as well as considered as an important event for the subse-
quent diversification of vertebrates [49, 54, 55, 56]. The results of the present analyses and the
biogeographic information previously published for Poeciliidae [25] indicates that the origin
of Anablepidae, and the clade composed by both families, have probably occurred in South
America. The origin of the Anablepidae is here estimated to have occurred during the Oligo-
cene (29.6 Ma, 95% HPD 34.7–24.5 Ma), followed by a split between the oviparous brackish
and marine genus Oxyzygonectes and the clade of viviparous anablepids comprising the brack-
ish and marine genus Anableps and the predominantly freshwater genus Jenynsia (27.9 Ma, PLOS ONE | https://doi.org/10.1371/journal.pone.0199201
June 18, 2018 8 / 14 Anablepidae (Cyprinodontiformes) biogeography and South American geological events 95% HPD 15.0–12.3 Ma), which diverged from each other in the Miocene (12.5 Ma, 95% HPD
28.7–16.2 Ma). Timing of origin and diversification of the Anablepidae The last time estimate is thus temporally congruent with the Miocene marine
transgressions in the Amazon basin [57, 58, 59]. The transition of South American marine fish
lineages to freshwater environments have been associated with Miocene marine transgres-
sions, followed by species diversification in freshwater habitats, as the Pebas Mega-wetland sys-
tem in the Amazon river basin and the Paranean Sea in the Parana´ river basin [57, 58]. Those
systems were complex ecosystems with different kinds of habitats, promoting diversification
of vertebrate and invertebrate lineages and adaptation to freshwater environments [60, 61, 62]. More recently an analysis concluded that marine to freshwater transition in South American
drums and pufferfishes was temporally coincident with Miocene marine transgressions in the
Amazon river basin [63]. Considering the result of the BBM analysis and that species of Ana-
bleps and Oxyzygonectes are restricted to coastal marine habitats of Central America and north-
ern South America (Fig 4), we postulate that Jenynsia is a marine-derived lineage, the origin of
the genus is associated with a transition of the ancestor from marine to freshwater environ-
ments favoured by Miocene marine transgressions. y
g
The present analysis found that the current geographical range of species of Jenynsia, (Fig
1) [2, 21], may be a consequence of an invasion to the freshwater environments and subse-
quent dispersal through the Pebas Mega-wetland system, combined with an ancient connec-
tion between the Amazon and Parana´ river basins [59, 64, 65]. Despite some divergences [61,
62, 63, 64, 65, 66], most authors agree that this connection lasted until the Late Miocene (11–
10 Ma) [59, 64, 65]. According to the time-calibrated analysis (Fig 2), species diversification of
Jenynsia occurred in the Early Pliocene (4.3 Ma, 95% HPD 5.9–3.0 Ma), after separation of the
Amazon and Parana´ river basins. The most recent ancestor of Jenynsia must have dispersed
along this ancient connection and subsequently invading the Paranean Sea, then reaching the
current distribution of the genus, which is partially coincident with the geographical range of
this marine transgression in the Parana´ river basin from Middle to Late Miocene [21, 67]. Timing of origin and diversification of the Anablepidae The
diversification of Jenynsia in Early Pliocene (4.6 Ma, 95% HPD 6.5–3.1 Ma) is congruent with
the regression of the Paranean Sea [59, 68], so that the current range of the species of Jenynsia
would be the result of the decrease of this marine transgression, as previously proposed for
some of the species of genus [67]. The present distribution pattern of Jenynsia is also similar to
that found for other aquatic organisms which the distribution is attributed to the Paranean
Sea, including the freshwater Crustacean families Palaemonidae, Sergestidae and Trichodacty-
lidae [69]. Both known fossil genera of Anablepiadae were found in an area previously occu-
pied by the Paranean Sea [9]. The presence of Tucumanableps, the sister group of Anableps,
and Sachajenynsia, the sister group of all genera of Anablepidae except Oxyzygonectes, in this
area also corroborates the ancient connections between Amazon and Parana´ river basins. This
also indicates that the ancestors of Jenynsia and other Anablepidea fossil species inhabited
Pebas Mega-wetland and Paranean Sea.The time-calibrated analysis inferred the divergence
between A. dowei, endemic to the Pacific coast of Central America, and the clade comprising
A. anableps and A. microlepis, two species endemic to northern South American coast,
occurred in the Early Pliocene (3.5 Ma, 95% HPD 5.5–2.0 Ma). This age is coincident with the
final stages of the rise of the Panamanian Isthmus [70], as previously suggested [2, 5]. How-
ever, due to the complex geological history of Central America and the absence of time infor-
mation, previously authors argued that this disjunctive distribution pattern could also be
caused by older events. The present time-calibrated analysis is the first to highly supports that
disjunction as a result of the rise of the Panamanian Isthmus. The only known fossil record of a recent anablepid genus consists of a premaxilla belonging
to an unidentified species of Jenynsia from the Late Pleistocene (230–125 Kyr) of Centinela del
Mar, Argentina [71]. The only extant anablepid species found in this area is J. lineata, for PLOS ONE | https://doi.org/10.1371/journal.pone.0199201
June 18, 2018 9 / 14 Anablepidae (Cyprinodontiformes) biogeography and South American geological events which an age of 1.4 Ma (95% HPD 2.4–0.6 Ma; Pleistocene) is herein estimated. Considering
the premaxilla morphology, the site localization, and the fossil age, we conclude that this fossil
probably represents a specimen of J. lineata or an extinct closely related species. Acknowledgments We are thankful to L.S. Macedo, F.S. Rangel-Pereira, M.A. Barbosa, J.L.O. Mattos, A.M. Katz,
C. Feltrin, and O.C. Simões for help during collecting trips; to J.L.O. Mattos and B.M. Camisão
for assistance in analyses; and to M. Loureiro for the loan of specimens. This study was funded
by FAPERJ (Fundac¸ão de Amparo à Pesquisa do Estado do Rio de Janeiro) and CNPq (Con-
selho Nacional de Desenvolvimento Cientı´fico e Tecnolo´gico). Collections were made with
permits provided by IBAMA (Instituto Brasileiro de Meio Ambiente e dos Recursos Naturais
Renova´veis) and ICMBio (Instituto Chico Mendes de Conservac¸ão da Biodiversidade). Project administration: Pedro F. Amorim, Wilson J. E. M. Costa. Project administration: Pedro F. Amorim, Wilson J. E. M. Costa. Resources: Pedro F. Amorim, Wilson J. E. M. Costa. Resources: Pedro F. Amorim, Wilson J. E. M. Costa. Software: Pedro F. Amorim, Wilson J. E. M. Costa. Supervision: Pedro F. Amorim, Wilson J. E. M. Costa. Validation: Pedro F. Amorim, Wilson J. E. M. Costa. Visualization: Pedro F. Amorim, Wilson J. E. M. Costa. Writing – original draft: Pedro F. Amorim, Wilson J. E. M. Costa. Writing – review & editing: Pedro F. Amorim, Wilson J. E. M. Costa. S1 Table. List of analysed species with respective GenBank accession numbers for each
analysed gene. Bold accession numbers are sequences first used in this study.
(DOC) S1 Table. List of analysed species with respective GenBank accession numbers for each
analysed gene. Bold accession numbers are sequences first used in this study. (DOC) Author Contributions Conceptualization: Pedro F. Amorim, Wilson J. E. M. Costa. Conceptualization: Pedro F. Amorim, Wilson J. E. M. Costa. References 1. Parenti LR. A Phylogenetic and Biogeographic Analysis of Cyprinodontiform fishes (Teleostei, Atherino-
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English
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Integrated Management of Childhood Illnesses implementation-related factors at 18 Colombian cities
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BMC public health
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cc-by
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García Sierra and Ocampo Cañas BMC Public Health (2020) 20:1122
https://doi.org/10.1186/s12889-020-09216-0 García Sierra and Ocampo Cañas BMC Public Health (2020) 20:1122
https://doi.org/10.1186/s12889-020-09216-0 Open Access © The Author(s). 2020 Open Access This article is licensed under a Creative Commons Attribution 4.0 International License,
which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give
appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if
changes were made. The images or other third party material in this article are included in the article's Creative Commons
licence, unless indicated otherwise in a credit line to the material. If material is not included in the article's Creative Commons
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The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the
data made available in this article, unless otherwise stated in a credit line to the data. Abstract Background: Integrated Management of Childhood Illnesses (IMCI) is a strategy developed by the World Health
Organization (WHO) and UNICEF in 1992. It was deployed as an integrated approach to improve children’s health in
the world. This strategy is divided into three components: organizational, clinical, and communitarian. If the
Integrated Management of Childhood Illnesses implementation-related factors in low- and middle-income countries
are known, the likelihood of decreasing infant morbidity and mortality rates could be increased. This work aimed to
identify, from the clinical component of the strategy, the implementation-related factors to Integrated Management
of Childhood Illnesses at 18 Colombian cities. Methods: A quantitative cross-sectional study was performed with a secondary analysis of databases of a study
conducted in Colombia by the Public Health group of Universidad de Los Andes in 2016. An Integrated Care Index
was calculated as a dependent variable and descriptive bivariate and multivariate analyses to find the relationship
between this index and the relevant variables from literature. Results: Information was obtained from 165 medical appointments made by nurses, general practitioners, and
pediatricians. Health access is given mainly in the urban area, in the first level care and outpatient context. Essential
medicines availability, necessary supplies, second-level care, medical appointment periods longer than 30 min, and
care to the child under 30 months are often related to higher rates of Integrated Care Index. Conclusion: Health care provided to children under five remains incomplete because it does not present the basic
minimums for the adequate IMCI’s implementation in the country. It is necessary to provide integrated care that
provides medicine availability and essential supplies that reduce access barriers and improve the system’s
fragmentation. Keywords: Health care, Infant mortality, IMCI, Primary health care * Correspondence: am.garcia987@uniandes.edu.co
Universidad de Los Andes, School of Medicine, Bogotá, Colombia Integrated Management of Childhood
Illnesses implementation-related factors at
18 Colombian cities Andrés Mauricio García Sierra*
and Jovana Alexandra Ocampo Cañas * Correspondence: am.garcia987@uniandes.edu.co
Universidad de Los Andes, School of Medicine, Bogotá, Colombia Implementation related factors Implementation related factors
Kiplagat (2014) mentioned that in Tanzania factors such
as personal training, monitoring, and vocation, lead to
improve health care and improve adherence to treat-
ments by families and infants [8]. It was also stated that
the availability of medications, vaccines, the correct fi-
nancing, and leadership by administrators can lead to
the improvement of the quality of children’s care [8]. On
the other hand, Rowe (2012) asserted that the presence
of
enough
equipment,
essential
medicines,
strategy
supervision visits and number of trainings not only de-
termine the performance of health workers, but also the
level of coverage of the intervention [9]. Therefore, by
gathering the basic minimums to offer a correct strategy,
better health care for children under five could be
achieved. Similarly, the strategy offers integrated man-
agement for childhood predominant illnesses, by achiev-
ing a reduction in infant mortality and morbidity [10]. Nevertheless, several international studies have shown
that it is not carried out and it is presumed to be that
the understanding of the motivations could improve
health care [11]. On the other hand, and considering Alma-Ata’s state-
ment, the conceptual framework of IMCI is close to Pri-
mary
Health
Care
(PHC). Specifically,
in
several
countries of the Americas region, where the strategy was
introduced, there has been a “Primary Health Care for
children” (PHC) [5]. Additionally, the IMCI focuses on
the first contact of children with the health system, thus,
it promotes health access and quality for this population
group [6]. Similarly to the development of PHC, the
IMCI has been deployed attending the specific needs
and capacities of each country in the region [5]. Although the impact of the strategy has not been doc-
umented given the lack of national coverage [12], it has
been identified a decrease in the infant mortality rate
that seems to be related to the inclusion of the strategy
in 2004 [13]. Moreover, there is no clarity about what
factors determine the implementation of the IMCI in
Colombia. In 2011, a document published by Universi-
dad Nacional defined the care conditions provided from
the clinical component of the strategy. Nevertheless, the
implementation-related
factors
were
not
identified. Thus, in 2016, the Universidad de Los Andes in agree-
ment with the Pan American Health Organization and
the Health Ministry assessed the integrated health care
received by children under five by practitioners formed © The Author(s). 2020 Open Access This article is licensed under a Creative Commons Attribution 4.0 International License,
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data made available in this article, unless otherwise stated in a credit line to the data. García Sierra and Ocampo Cañas BMC Public Health (2020) 20:1122 Page 2 of 10 Page 2 of 10 Background
IMCI strategy the main challenge was poor adherence by trained profes-
sionals in this strategy [6]. gy
In 1992, the World Health Organization (WHO) and
UNICEF developed a strategy for children’s health care,
known as Integrated care for childhood illnesses (IMCI). This strategy was designed as an integral approach to
improve children’s health in the world [1]. The IMCI
provides unified health care instead of separate manage-
ment of diseases affecting children under five. Moreover,
this approach also focuses on the reduction of morbidity
and mortality rates associated with the most common
diseases in childhood. The strategy is divided into three
components: organizational, clinical, and community. The IMCI approach has introduced several ways to miti-
gate infant risks in several action fronts. If the factors that influenced the implementation of
the IMCI strategy had been considered in the country, it
would have increased the probability of reducing the in-
fant mortality rate from 19.5 deaths per 1000 live births
in 1998 to 6.5 deaths in 2015. However, in 2013, there
were 11.6 deaths per 1000 live births (6.7). Since its
introduction in low-income countries, the IMCI strategy
has shown positive results in reducing infant mortality. Unfortunately, factors such as the availability of medica-
tions,
enough
technical
equipment,
and
permanent
training for health professionals have not been studied
in the Colombian context. Figure 1 illustrates the IMCI
strategy implementation-related factors and benefits in
the global context, regarding PHC [8]. According to the WHO, about 68 million children
around the world will die before reaching 5 years by
2030 [2]. Most of these deaths are caused by one of the
following diseases or a combination of them: acute re-
spiratory infection (ARI), acute diarrheal disease (ADD),
measles, malaria, and malnutrition [1, 3]. 70% of such
cases occur in low-income countries. Moreover, starting
from the fact that the IMCI was created in line with the
Millennium Development Goal (MDG) number four,
which indicated the need to reduce by two-thirds the in-
fant mortality by 2015, the correct application of the
strategy would allow the reduction of the expected mor-
bidity and mortality in the upcoming years [4]. National coverage Since 2004, more than 100 countries, including Colombia,
have adopted the components of the IMCI. Specifically,
the clinical component for the evaluation, treatment, and
prevention of sick children, as well as, counseling to care-
givers was mainly implemented [7]. When the strategy
was introduced in Colombia this year, it was based on the
right of every child to be treated with quality and warmth. It adopted a risk identification approach, of total integra-
tion, and was aimed at responding to the main causes of
morbidity and mortality of children in the country for the
next 10 years [7]. Despite all efforts of the Health Ministry
to implement the strategy in all country’s departments, García Sierra and Ocampo Cañas BMC Public Health (2020) 20:1122 Page 3 of 10 Fig. 1 Conceptual framework of Integrated Management for Childhood Illnesses implementation-related factors. The figure was made by the
authors regarding the key concepts found in the reference [8] in the clinical component of the strategy between 2012
and 2014. the PAHO Colombia website and the database was di-
vided as shown in Table 1, where the components indi-
cated
each
instrument
with
which
the
data
were
collected by the researchers of the primary study. The IMCI strategy provides children’s health monitor-
ing through promotional, preventive, and therapeutic ap-
proaches, as well as interactions with the child, the family,
health services, and other social sectors. Therefore, this
work will show an integrated care index that involves gen-
eral information, identification, evaluation, classification,
treatment, and counseling to children and their caregivers
in the most prevalent pathologies of childhood [14]. Moreover, framed in the clinical component of the strat-
egy,
this
work
is
aimed
at
identifying
the
IMCI
implementation-related factors at 18 Colombian cities. From the primary study, all the observations of the
IMCI consultation (i.e., containing the total of the calcu-
lated indicators) were taken as the eligible population
for this project. Subsequently, the indicators of all the
components were joined, and the observations that con-
tained missing data of the sociodemographic variables
were dismissed (i.e., health service’s type, geographical
area, complexity level, type of training, practitioner gen-
der, type of practitioner, IMCI strategy supervision,
health care provider, and consultation time). Methods To obtain all the available information, the observa-
tions containing the total data for the selected variables
were included in this study. It was considered the calcu-
lation of the indicators for each component, as well as
the observations that had a linking variable to make the
information crossing. Repeated observations were found
by the codes of the professionals observed and, there-
fore, 24 records were not used for the analysis. By having
the complete information, a total of 165 effective obser-
vations, an integrated care index (ICI) was proposed,
which correlated with each variable chosen. This index
was taken as a continuous variable and was interpreted
within the bivariate and multivariate analysis as the
dependent variable. The structure of ICI was obtained
from the WHO Health Facility Survey tool [15] and im-
plies the following: For children under 2 months, 24 in-
dicators (B2, C and D component) (Table 2) were
obtained in the primary study, while children from A cross-sectional study was performed with the database
of the study conducted in Colombia by the Public
Health group of Universidad de Los Andes in 2016 in
agreement with the Pan American Health Organization
and the Ministry of Health. The primary study was
called “Comprehensive evaluation of children by the hu-
man talent trained in the clinical component of IMCI
between 2,012 – 2,014”. Such work included the assess-
ment of the consultation of 189 practitioners who were
trained in the clinical component of the strategy be-
tween 2012 and 2014. The selection of these profes-
sionals was carried out through a probabilistic sampling
with municipal and health care providers representative-
ness. Moreover,
the
primary
study
included
the
characterization of the consultation provided by profes-
sionals trained in IMCI that were working as health care
personnel. Methods This information was obtained directly from García Sierra and Ocampo Cañas BMC Public Health (2020) 20:1122
Page 4 of 10 García Sierra and Ocampo Cañas BMC Public Health (2020) 20:1122 Page 4 of 10 Table 1 Primary database information
Components
Description
Observations
A Component
Information about the health service and health personnel
75 evaluated institutions
B1 Component
Evaluation of the child from 2 months to 5 years
162 evaluated children
B2 Component
Evaluation of the child under 2 months
27 evaluated children
B3 Component
Applicability of IMCI and training course
189 evaluated professionals
C Component
Verification of support facilities
75 evaluated institutions
D Component
Final interview with mother or companion
189 interviews
F Component
Review of medical records
189 revised medical records included cities such as Medellín, Cartagena, Cali, Neiva,
Bucaramanga, among others (Fig. 2). Likewise, the evalu-
ation was obtained for the 165 health professionals distrib-
uted at 70 health care providers. These institutions
represented the majority of the centers with the highest
influx of patients in the municipalities evaluated, as well
as the provision of services by insurers from both the con-
tributory and subsidized systems. The health professionals
evaluated included 103 women and 62 men. A total of 30
pediatricians, 91 general practitioners, and 44 nurses dis-
tributed by sex were evaluated, as shown in Fig. 3. 2 months to 5 years, 27 indicators were obtained in the
primary study (B1, C, and D component) (Table 2). In
this way, the ICI calculation for each observation in-
volves adding the number of indicators that were ob-
tained over the total of indicators for each age group. It
should be noted that the indicators that were used to
calculate this index were indicators designed and vali-
dated by PAHO Colombia. With the total calculation of the ICI, a descriptive ana-
lysis was carried out through the selected variables and
it was described concerning variables such as the type of
service, the scope of the service, consultation time, and
others. Consequently, the Student’s t-test and the z-test
were used to assess the statistical significance of the dif-
ference in means and proportions, respectively, between
the types of professionals in the variables considered. Subsequently, the relationship of the precoded variables
with the ICI was estimated. Pearson correlation coeffi-
cients for continuous variables and Chi-square tests for
categorical variables were used. Methods Finally, a multivariate
analysis was performed through a multiple regression by
ordinary least squares with adjustment for robust stand-
ard errors. This analysis was aimed at analyzing the rela-
tionship between the ICI’s natural logarithm of each
consultation with the independent variables that showed
a relationship in the bivariate analysis, including the
controls that the literature mentioned as relevant. y
g
Table 3 shows the distribution of the evaluated practi-
tioners by the variables of interest and discriminated by
type of practitioner, including the professional type mean
for the continuous variables. The mean age for all types of
professionals was 40 years, the mean age of children was
20 months, the meantime of each consultation was 31.5
min, and the professionals had trained at least twice in the
strategy. There were no statistically significant mean dif-
ferences in these variables between physicians and nurses
(P > 0.05). The type of training that predominated was vir-
tual, however, the difference was not statistically signifi-
cant (P > 0.05). The most trained professionals were the
pediatricians, however, the ones who most attended the
children were the general practitioners, as evidenced in
Fig. 3. Similarly, at least 33 health professionals were
trained less than three times in the strategy. This relation-
ship was less clear in the group of general practitioners. Figure 4 shows the consultation time distribution
spent by the health practitioners. The average time for
practitioners was 31 min per consultation. On average,
the nurses spent more time doing the IMCI consult-
ation, but this difference was not statistically significant
(P > 0.05). Of the 165 evaluated consultations, 119 corre-
sponded to a first level of care, 31 to a second level, and
15 to a third level. Similarly, 158 professionals were
assessed in the urban area, while 7 were from rural
areas, 90 consultations were made in public health ser-
vices, while 75 were in private services. Results The evaluation was obtained from 165 consultations car-
ried out with children under five. These evaluations were
distributed at 18 municipalities and 12 departments, in-
cluding Bogotá as a department. The municipalities Table 2 Indicators by each component from primary study
Component
Number of Indicators
B1 Component
21 indicators
B2 Component
18 indicators
C Component
5 indicators
D Component
1 indicator Regarding ICI distribution from the 165 health profes-
sionals, the minimum value of the index was 0 while the
highest was 0.62, for a range from 0 to 1. The above García Sierra and Ocampo Cañas BMC Public Health (2020) 20:1122 Page 5 of 10 Fig. 2 Distribution of research cities. The map was made by the authors using STATA 14 and the shapefile was obtained from the free open
access ArcGIS website Fig. 2 Distribution of research cities. The map was made by the authors using STATA 14 and the shapefile was obtained from the free open
access ArcGIS website Fig. 2 Distribution of research cities. The map was made by the authors using STATA 14 and the shapefile was obtained from the free open
access ArcGIS website Fig. 3 Distribution of health professionals by gender. Light blue shows the number of men and dark blue the number of women 3 Distribution of health professionals by gender. Results Light blue shows the number of men and dark blue the number of wome García Sierra and Ocampo Cañas BMC Public Health (2020) 20:1122 Page 6 of 10 Table 3 Sample Characterization Pediatrician (n = 30)
General Practitioner (n = 91)
Nurse (n = 44) 16
43
14
48
49.29 (11.60)
39.57 (9.69)
30.46 (11.53)
32.56 (24.76)
15.13 (17.40)
22.27 (17.72)
16
45
14
46
18
31
12
60
18
56
12
35
11
55
19
36
14
71
7
15
9
5
0
4
30
87
3
58
27
33
3.30 (2.11)
2.04 (1.01)
14
40
11
38
5
13
11
35
19
56
11
16
19
75
2
16
28
75
6
3 16
43
3
14
48
41
49.29 (11.60)
39.57 (9.69)
33.19 (8.20)
30.46 (11.53)
32.56 (24.76)
34.34 (12.67)
15.13 (17.40)
22.27 (17.72)
21.51 (17.57)
16
45
26
14
46
18
18
31
19
12
60
25
18
56
29
12
35
15
11
55
20
19
36
24
14
71
34
7
15
9
9
5
1
0
4
3
30
87
41
3
58
29
27
33
15
3.30 (2.11)
2.04 (1.01)
2.09 (1.58)
14
40
21
11
38
17
5
13
6
11
35
15
19
56
29
11
16
7
19
75
37
2
16
4
28
75
40
6
3
1 43
3
48
41
39.57 (9.69)
33.19 (8.20)
32.56 (24.76)
34.34 (12.67)
22.27 (17.72)
21.51 (17.57)
45
26
46
18
31
19
60
25
56
29
35
15
55
20
36
24
71
34
15
9
5
1
4
3
87
41
58
29
33
15
2.04 (1.01)
2.09 (1.58)
40
21
38
17
13
6
35
15
56
29
16
7
75
37
16
4
75
40
3
1 Male
16
43
3
Female
14
48
41
Practitioner’s ageab
49.29 (11.60)
39.57 (9.69)
33.19 (8.20)
Medical consultation’s timeac
30.46 (11.53)
32.56 (24.76)
34.34 (12.67)
Child’s age ad
15.13 (17.40)
22.27 (17.72)
21.51 (17.57)
Child’s gender
Male
16
45
26
Female
14
46
18
IMCI Chart booklet
Yes
18
31
19
No
12
60
25
IMCI Medical records
Yes
18
56
29
No
12
35
15
Supplies
Yes
11
55
20
No
19
36
24
Complexity level
First level
14
71
34
Second level
7
15
9
Third level
9
5
1
Geographical area
Rural
0
4
3
Urban
30
87
41
Health attention type
Public
3
58
29
Private
27
33
15
Number of trainingsa
3.30 (2.11)
2.04 (1.01)
2.09 (1.58)
Training type
Virtual
14
40
21
Presential
11
38
17
Mixed
5
13
6
Strategy supervision
Yes
11
35
15
No
19
56
29
Oral rehydration unit
Yes
11
16
7
No
19
75
37
Vaccine application centre
Yes
2
16
4
No
28
75
40
Essential medicines
Yes
6
3
1 García Sierra and Ocampo Cañas BMC Public Health (2020) 20:1122 Page 7 of 10 Table 3 Sample Characterization (Continued)
Pediatrician (n = 30)
General Practitioner (n = 91)
Nurse (n = 44)
No
24
88
43
Health services type
Scheduled consultation
23
76
42
Urgencies
7
15
2
a Mean (SD)
b Age in years
c Time in minutes
d age in months Table 3 Sample Characterization (Continued) statistically significant variables were essential medicines,
IMCI assessment, the second level of complexity, necessary
supplies, child age, and consultation time (p < 0.05). Results In this
sense, it was obtained that the provision of essential medi-
cines where the service is provided, increased the integrated
care rate by 37%. Moreover, when children under five were
attended at a second level of complexity, with the necessary
supplies and with the provision of an IMCI assessment
method, the ICI was improved by 18, 34, and 15%, respect-
ively. On the other hand, it was found that consultations that
took less than 30 min reflected a decrease in the ICI of more
than 10%. Finally, in the consultations where children be-
tween 40 and 60 months of age were treated, an average re-
duction of 30% was obtained in the ICI compared to those
under 30 months. Table 6 shows the percentage changes
from the multiple regression model. indicates that the model may explain the correlation be-
tween the variables only in this range. The average value
of the index was 0.36 for all the consultations without
differences by type of professional (p < 0.05). With the
achievement of the distribution of the ICI, the correl-
ation coefficients shown in Table 4 were obtained. The
variables that showed a positive association with the ICI
and that had statistical significance were essential medi-
cines, scheduled consultation, virtual training, IMCI
evaluation method, the second level of complexity, ne-
cessary supplies, IMCI medical records, IMCI chart
booklet and consultation time. That is, the professionals
who had mixed training and a method to evaluate the
IMCI, who attended at a second level, who had the neces-
sary supplies, who had the IMCI medical records with the
IMCI chart booklet and who invested more time in their
consultations, obtained a higher ICI. The variables that
showed a negative association with the ICI and that had
statistical significance were the geographic scope and the
age of the child. That is to say, the professionals who
attended in an urban environment and who attended lar-
ger children had lower integrated attention rates. Discussion
IMCI strategy Table 4 Correlation coefficients for the selected variables
ICI®
P-Value
CI 95%
Women practitioner
−0.02
0.37
−0.06 0.02
Schedule consultation
0.07
0.00
0.03 0.11
Essential medicine
0.09
0.05
0.00 0.18
Unsupervised strategy
−0.04
0.08
−0.08 0.00
Blended training
0.06
0.04
0.00 0.12
Number of trainings
0.01
0.23
−0.01 0.02
IMCI assessment
0.07
0.00
0.03 0.11
Private health care provider
0.01
0.77
−0.04 0.05
Urban area
−0.11
0.03
−0.21 -0.01
Second level complexity
0.10
0.00
0.05 0.15
Necessary supplies
0.14
0.00
0.10 0.17
IMCI medical records
0.07
0.00
0.03 0.11
IMCI chart booklet
0.11
0.00
0.07 0.15
Child age
−0.00
0.01
−0.00 -0.00
Consultation time
0.00
0.00
0.00 0.01
Nurse
−0.03
0.29
−0.10 0.03
Practitioner age
0.00
0.35
−0.00 0.00
Table 6 Multiple regression model with robust standard error
adjustment for percentage changes
ln ICI®
RSE
Essential medicines**
0.37
0.15
Scheduled consultation
−0.15
0.12
Virtual training
0.03
0.08
Blended training
0.01
0.09
IMCI assessment**
0.15
0.07
Urban area
0.09
0.10
Second level complexity**
0.18
0.07
Third level complexity
0.03
0.19
Necessary supplies***
0.34
0.06
IMCI chart booklet
0.05
0.08
IMCI medical records
0.10
0.07
10 min consultation*
−0.23
0.13
20 min consultation**
−0.16
0.08
40 min consultation
0.02
0.09
50 min consultation
−0.01
0.12
60 min consultation
0.00
0.10
70 min consultation
0.14
0.11
1–12 months child
−0.15
0.10
1-year child
−0.11
0.11
2-year child
−0.04
0.11
4-year child**
−0.22
0.11
5-year child***
−0.38
0.13
*** p < 0.01, ** p < 0.05, * p < 0.10 agencies. Similarly, in countries of the region such as Peru
or Bolivia, it has not been adequately documented owing to
low national coverage [12, 17]. This similarity may be due
to the lack of interest in the implementation of the strategy
by health professionals and health institutions for the
proper approach of children, as mentioned in the literature. Discussion
IMCI strategy IMCI is a cost-effective strategy that improves the quality
of medical care for the most common causes of morbidity
and mortality in children under five through evidence-
based medicine [16]. However, this study showed low rates
of integrated care management, reflecting the lack of moni-
toring of the strategy in strict control by the regulatory The results from the multiple regression model are shown
in Table 5. The explanatory variables included in this model
provide a 51% explanation of the dependent variable. The Fig. 4 Average length in minutes of consultation by Health practitioners Fig. 4 Average length in minutes of consultation by Health practitioners García Sierra and Ocampo Cañas BMC Public Health (2020) 20:1122 Page 8 of 10 agencies. Similarly, in countries of the region such as Peru
or Bolivia, it has not been adequately documented owing to
low national coverage [12, 17]. This similarity may be due
to the lack of interest in the implementation of the strategy
by health professionals and health institutions for the
proper approach of children, as mentioned in the literature. National Coverage the evaluation, communication, and the rational use of
antibiotics. In Colombia, it is not known whether continu-
ing medical education is improving skills in other areas,
such as vaccines and nutritional counseling, among others,
as well as the magnitude of these benefits [18]. The results
of this study indicate that the number of training sessions
does not affect the quality of care for children under five. However, professionals who received mixed training did
show better results without statistical significance. This
may suggest that this type of training should be received
by health practitioners to improve IMCI. A systematic literature review carried out by Amaral and
Victoria in 2008, concluded that the training improves Table 5 Multiple regression model with adjustment for robust
standard errors
ICI®
P-Value
CI 95%
Essential medicines
0.09
0.02
0.01 0.17
Scheduled consultation
−0.04
0.12
−0.09 0.01
Virtual training
−0.01
0.77
−0.04 0.03
Blended training
0.00
0.85
−0.05 0.06
IMCI assessment
0.07
0.00
0.04 0.11
Urban area
−0.05
0.03
−0.13 −0.03
Second level complexity
0.05
0.02
0.01 0.10
Third level complexity
0.04
0.24
−0.03 0.10
Necessary supplies
0.10
0.00
0.06 0.14
Not IMCI chart booklet
-0.03
0.14
−0.06 0.01
Not IMCI medical records
−0.02
0.22
−0.06 0.01
Child age
−0.00
0.04
−0.00 -0.00
Consultation time
0.00
0.01
0.00 0.00 Table 5 Multiple regression model with adjustment for robust
standard errors Implementation related factors Rowe in 2012 mentioned that the presence of sufficient
equipment, essential medicines, strategy supervision’s
visits, and the number of trainings, not only determine
the performance of health workers, but also the level of
intervention coverage [9]. Accordingly, the availability of
the necessary supplies and essential drugs could be influ-
ential factors in improving the applicability of IMCI. Strengthening these factors would result in an enhance-
ment of the strategy implementation process. Further-
more, a systematic review by Goga et al. explored the García Sierra and Ocampo Cañas BMC Public Health (2020) 20:1122 Page 9 of 10 Page 9 of 10 adequacy of implementation as a confounding factor in
clinical performance, although within a slightly different
context, decreased training time would seem to have the
same effect [19]. For this study, consultation time and
supervision of the strategy by control entities showed an as-
sociation with better medical care. The correct allocation of
time in consultation and receive the support of the institu-
tions where IMCI is used, will allow a strengthening of the
implementation of the strategy. In the first analyzes shown,
the evaluation, classification and treatment tables, the related
training materials (i.e., known as the IMCI chart booklet and
IMCI handbook), the training materials (i.e., to improve
communication with parents during the evaluation of their
children) and the follow-up guides to health personnel (i.e.,
to support the effective application of the clinical component
of the IMCI strategy) [4], have a positive association with the
quality of care, which is aligned with the fundamental princi-
ples of the IMCI strategy. However, this association loses its
significance when included in the multivariate model. Des-
pite the above, it is necessary to continue promoting the use
of these tools since it allows professionals to order the con-
sultation and obtain better clinical results. study tried to adjust the homoscedasticity principle when
adjusting the multivariate model with robust standard er-
rors. Likewise, it is important to consider that the results
consist only of internal validity, in such a way that they can-
not be applied outside the observations of the primary data-
base. Despite the above, the results obtained constitute a
starting point for further studies throughout Colombia. Moreover, the primary database had some level of bias
because this ended up being a convenience sampling. Conclusions The health care provided to children under five remains
incomplete due to the lack of basic minimums for the
correct IMCI implementation in Colombia. It is required
an integrated care that provides medicines and necessary
supplies, reducing access barriers and improving the
fragmentation of the system. Concerning the health care context, it was found that chil-
dren who were treated in urban facilities received a lower
level of care compared to the rural area, indicating the lack
of availability in the urban area. The mean time for consulta-
tions in rural areas lasts longer than those in the urban envir-
onment. Considering that time plays an important role in
integrated care, this finding may be influenced by the rela-
tionship discussed above and may offer future research de-
velopment topics to know the optimal consultation time for
IMCI. Besides, it was also found that the second level of
complexity provides a positive association with the integrated
care index. The fact that younger children receive more at-
tention and require more specialized services would be an
explanation of this finding. Although the IMCI strategy is
thought to be the first contact of the population with the
health system, the previously discussed finding indicates that
it can be extrapolated to the other levels of care, and the at-
tention in the first levels must be reinforced. Moreover, the fracture of the system is evidenced in
the achievement of integrated care in the second level of
care and rural areas. An articulation between the clinical,
institutional, and community component is required,
allowing the improvement in the factors. Despite the evidence found, it is important to carry
out studies with another methodological design and with
another type of sampling to establish causality and na-
tional representativeness, respectively. The general benefit of the IMCI strategy is to contrib-
ute to the reduction of the under-five mortality rate,
which is in line with MDG 4. The identification of the
factors that influenced integrated care for prevalent dis-
eases of childhood will help government agencies and
decision-makers to improve their implementation in
Colombia. These findings and recommendations will be
available to the territorial entities and results will also be
shared with other stakeholders that may include: service
providers, health professionals, and universities. ADD: Acute Diarrheal Disease; ARI: Acute Respiratory Infection; Complexity
level: The level of complexity of a health care provider is determined by the
number of differentiated tasks that make up the overall activity of an
establishment and the degree of development achieved by them. The first
levels of care give basic medical services while the third levels give more
specialized services; ICI: Integrated Care Index; IMCI: Integrated Management
for Childhood Illnesses; IMCI Medical Records: Availability of IMCI medical
records at health care providers; IMCI presential training: Face-to-face
trainings for professionals who work in health institutions, community health
programs, and other childhood care programs to contribute to providing
integrated management to childhood illnesses; IMCI scheduled Conclusions Although associations were found between other fac-
tors that influence integrated attention to childhood dis-
eases, when possible relationships were included in a
multivariate model, they lost their statistical significance. Aspects such as having an IMCI history, having a chart
of procedures, having types of training that motivate the
health professionals, and conducting the consultation in
the context of the external consultation should not be
overlooked. These factors could contribute to an alter-
nate way to achieve better care for children under five. Implementation related factors This implies that the results will only be inferred to the
health care providers at the time of the data collection,
without a national representativeness. Finally, this work
does not provide any insight or explanation of the re-
sults from the different actors involved in the process of
care to children. Thus, it is not possible to characterize
the dynamics that are immersed in the implementation
of the clinical component of the IMCI strategy. References 1. Li L, Hope LJ, Simon C, Jamie P, Susan S, Joy EL, Igor R, Harry C, Richard C,
Mengying L, Colin M, Robert EB. Global, regional, and national causes of
child mortality: an updated systematic analysis for 2.010 with time trends
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Mengying L, Colin M, Robert EB. Global, regional, and national causes of
child mortality: an updated systematic analysis for 2.010 with time trends
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criteria, both legal and evaluative, were considered: To guarantee the ethical aspects of the present investigation, the following
criteria, both legal and evaluative, were considered: criteria, both legal and evaluative, were considered:
According to Resolution 008430 of October 4, 1,993, of the Ministry of
Health, this research study can be considered as WITHOUT RISK, since it did
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h
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Tanzania. BMC Public Health. 2014;14(1):277 Available from: http://www. biomedcentral.com/1471-2458/14/277. Funding
Th
h The authors declare that the present research was fully funded by the
School of Medicine of Universidad de Los Andes. The funder had no role in
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Saúde, Educação. 2017;21(63):933–43. Epub March 20, 2.017. https://doi.org/
10.1590/1807-57622016.0718. Authors’ contributions
h d h
h d AG had the research idea, designed the work, found the databases, analyzed
the information, interpreted the analyzes, read, and approved the final
manuscript. JO hade made substantial contributions to the conception,
designed the work, analyzed the information, interpreted the analyzes, read,
and approved the final manuscript. 9. Rowe AK, Rowe SY, Holloway KA, Ivanovska V, Muhe L, et al. Does
shortening the training on Integrated Management of Childhood Illness
guidelines reduce its effectiveness? A systematic review. Health Policy Plan. 2012;27:179–93. 9. Rowe AK, Rowe SY, Holloway KA, Ivanovska V, Muhe L, et al. Does
shortening the training on Integrated Management of Childhood Illness
guidelines reduce its effectiveness? A systematic review. Health Policy Plan. 2012;27:179–93. 10. Christiane H, Anna V, Kerry V, Nigel R, Shamim Q. Experiences of training
and implementation of integrated management of childhood illness (IMCI)
in South Africa: a qualitative evaluation of the IMCI case management
training course. BMC Pediatr. 2009;9:62 Available from: http://www. biomedcentral.com/1471-2431/9/62. 10. Christiane H, Anna V, Kerry V, Nigel R, Shamim Q. Experiences of training
and implementation of integrated management of childhood illness (IMCI)
in South Africa: a qualitative evaluation of the IMCI case management
training course. BMC Pediatr. 2009;9:62 Available from: http://www. biomedcentral.com/1471-2431/9/62. Limitations Why first-level health care workers fail to follow guidelines for
managing severe disease in children in the Coast Region, the United Republic
of Tanzania. Bull World Health Organ. 2009;87:99–107 Available from: www. who.int/bulletin/volumes/87/2/08-050740.pdf. Accessed 20 Mar 2017. 7. Ministry of Health and Social Protection. Directorate of Epidemiology and
Demography. Analysis of the Health Situation (ASIS) COLOMBIA. Inst Nac
Salud. 2015:175. https://www.minsalud.gov.co/sites/rid/Lists/
BibliotecaDigital/RIDE/VS/ED/PSP/asis-2015.pdf. 7. Ministry of Health and Social Protection. Directorate of Epidemiology and
Demography. Analysis of the Health Situation (ASIS) COLOMBIA. Inst Nac
Salud. 2015:175. https://www.minsalud.gov.co/sites/rid/Lists/
BibliotecaDigital/RIDE/VS/ED/PSP/asis-2015.pdf. Received: 29 November 2019 Accepted: 6 July 2020 19. Goga AE, Muhe LM, Forsyth K, Chopra M, Aboubaker S, et al. Results of a
multi-country exploratory survey of approaches and methods for IMCI case
management training. Health Res Policy Syst. 2009;7:18. 19. Goga AE, Muhe LM, Forsyth K, Chopra M, Aboubaker S, et al. Results of a
multi-country exploratory survey of approaches and methods for IMCI case
management training. Health Res Policy Syst. 2009;7:18. Availability of data and materials The databases from which the present study is derived can be found on the
PAHO Colombia website. They are freely accessible and have an assignment
code for each observation to keep the information confidential. 13. Quiroz-Jiménez KS, Pulgarín-Piedrahita LM, Cardona-Arango D. Mortality of
children under 5 years after the implementation of the strategy integrated
care for childhood diseases (IMCI) - Antioquia, Colombia 2002–2011. Univ
Health. 2015;17(2):201–11. Available from: http://www.scielo.org.co/scielo. php?script=sci_arttext&pid=S0124-71072015000200006&lng=es&tlng=es. 13. Quiroz-Jiménez KS, Pulgarín-Piedrahita LM, Cardona-Arango D. Mortality of
children under 5 years after the implementation of the strategy integrated
care for childhood diseases (IMCI) - Antioquia, Colombia 2002–2011. Univ
Health. 2015;17(2):201–11. Available from: http://www.scielo.org.co/scielo. php?script=sci_arttext&pid=S0124-71072015000200006&lng=es&tlng=es. This section does not apply. This section does not apply. Competing interests
The authors have no conflict of interest to declare. Competing interests
The authors have no conflict of interest to declare. p
g
The authors have no conflict of interest to declare. 18. Bryce J, Victora CG, Habicht J-P, Vaughan JP, Black RE. The multicountry
evaluation of the integrated management of childhood illness strategy:
Lessons for the evaluation of public health interventions. Am J Public
Health. 2004;94:406–15. Received: 29 November 2019 Accepted: 6 July 2020 Consent for publication 17. Zamora G, Leader D, Lamb V. Dilberth, Mejia S, Martha. Evaluation of the
strategy “integrated care for prevalent childhood diseases” (IMCI) in health
services, Bolivia 1.999. Chilean Pediatr J. 2002;73(2):184–91. https://doi.org/
10.4067/S037041062002000200014. Limitations Being a cross-sectional study, the greatest limitation is the
impossibility of finding causal relationships. However, this Page 10 of 10 García Sierra and Ocampo Cañas BMC Public Health (2020) 20:1122 García Sierra and Ocampo Cañas BMC Public Health (2020) 20:1122 García Sierra and Ocampo Cañas BMC Public Health (2020) 20:1122 3. UNICEF press release Sept. 2.011; 2.011. Available from: http://www.reuters. com/article/2011/09/15/us-child-mortality-rate-idUSTRE78E42820110915. Accessed 20 Mar 2017. consultation: Is the consultation given with an integrated approach to child
health that focuses on the general well-being of the child. Preventive and
curative components are covered for its application and it is offered as
scheduled consultations; IMCI urgency consultation: Is the consultation given
with an integrated approach to child health that focuses on the general
well-being of the child. Therapeutic and curative components are covered
for its application and it is offered as consultations at ER; IMCI virtual
training: Training oriented through a virtual platform where the practices
were based on the simulation of cases; MDG: Millennium Development Goal;
PAHO: Pan American Health Organization; PHC: Primary Health Care; Strategy
supervision: Health care provider accompaniment to each consultation
offered under the IMCI strategy that allows identifying opportunities for
improvement and thus offering better health care; UNICEF: United Nations
Children’s Fund; WHO: World Health Organization 4. WHO, UNICEF. IMCI participant manual, adapted by the Ministry of Health. Atlanta: United Republic of Tanzania: ACT International. p. 2.004. 4. WHO, UNICEF. IMCI participant manual, adapted by the Ministry of Health. Atlanta: United Republic of Tanzania: ACT International. p. 2.004. 4. WHO, UNICEF. IMCI participant manual, adapted by the Ministry of Health. Atlanta: United Republic of Tanzania: ACT International. p. 2.004. 5. Hildegalda P, Josephine B: IMCI implementation in Tanzania: experiences,
challenges and lessons, Ifakara Health Institute, CREHS; 2.009. Available from:
http://www.crehs.lshtm.ac.uk/downloads/publications/Tanzania_IMCI_
policy_brief.pdf. Accessed 20 Mar 2017. 5. Hildegalda P, Josephine B: IMCI implementation in Tanzania: experiences,
challenges and lessons, Ifakara Health Institute, CREHS; 2.009. Available from:
http://www.crehs.lshtm.ac.uk/downloads/publications/Tanzania_IMCI_
policy_brief.pdf. Accessed 20 Mar 2017. 6. Nicholas D, Thomas L, Jacek S, Emmy M, Elizeus K, Brendan F, Scott F, Salim A,
Patrick K. Why first-level health care workers fail to follow guidelines for
managing severe disease in children in the Coast Region, the United Republic
of Tanzania. Bull World Health Organ. 2009;87:99–107 Available from: www. who.int/bulletin/volumes/87/2/08-050740.pdf. Accessed 20 Mar 2017. 6. Nicholas D, Thomas L, Jacek S, Emmy M, Elizeus K, Brendan F, Scott F, Salim A,
Patrick K. Publisher’s Note Springer Nature remains neutral with regard to jurisdictional claims in
published maps and institutional affiliations. Springer Nature remains neutral with regard to jurisdictional claims in
published maps and institutional affiliations. Springer Nature remains neutral with regard to jurisdictional claims in
published maps and institutional affiliations. 2. WHO, UNICEF. IMCI facilitator guide, adapted by the Ministry of Health. Atlanta: United Republic of Tanzania: ACT International. p. 2.004. 2. WHO, UNICEF. IMCI facilitator guide, adapted by the Minis
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Context-Based Structure Mining Methodology for Static Object Re-Identification in Broadcast Content
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Applied sciences
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Keywords: object detection; logical story unit detection (LSU); object re-ID Article
Context-Based Structure Mining Methodology for Static Object
Re-Identification in Broadcast Content shna Kumar Thirukokaranam Chandrasekar *
and Steven Verstockt Krishna Kumar Thirukokaranam Chandrasekar *
and Steven Verstockt IDLab, Ghent University—imec, 9052 Ghent, Belgium; steven.verstockt@ugent.be
* Correspondence: krishnakumar.tc@ugent.be; Tel.: +32-9-33-14920 Abstract: Technological advancement, in addition to the pandemic, has given rise to an explosive
increase in the consumption and creation of multimedia content worldwide. This has motivated
people to enrich and publish their content in a way that enhances the experience of the user. In this
paper, we propose a context-based structure mining pipeline that not only attempts to enrich the
content, but also simultaneously splits it into shots and logical story units (LSU). Subsequently, this
paper extends the structure mining pipeline to re-ID objects in broadcast videos such as SOAPs. We
hypothesise the object re-ID problem of SOAP-type content to be equivalent to the identification of
reoccurring contexts, since these contexts normally have a unique spatio-temporal similarity within
the content structure. By implementing pre-trained models for object and place detection, the pipeline
was evaluated using metrics for shot and scene detection on benchmark datasets, such as RAI. The
object re-ID methodology was also evaluated on 20 randomly selected episodes from broadcast SOAP
shows New Girl and Friends. We demonstrate, quantitatively, that the pipeline outperforms existing
state-of-the-art methods for shot boundary detection, scene detection, and re-identification tasks.
Citation: Thirukokaranam
Chandrasekar, K.K.; Verstockt, S. Context-Based Structure Mining
Methodology for Static Object
Re-Identification in Broadcast
Content. Appl. Sci. 2021, 11, 7266. https://doi.org/10.3390/app11167266
Academic Editors: Byung-Gyu Kim
and Dongsan Jun
Received: 27 June 2021
Accepted: 4 August 2021
Published: 6 August 2021
Publisher’s Note: MDPI stays neutral
with regard to jurisdictional claims in
published maps and institutional affil-
iations. Copyright: © 2021 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access article
distributed
under
the
terms
and
conditions of the Creative Commons
Attribution (CC BY) license (https://
creativecommons.org/licenses/by/
4.0/). applied
sciences applied
sciences applied
sciences Citation: Thirukokaranam
Chandrasekar, K.K.; Verstockt, S.
Context-Based Structure Mining
Methodology for Static Object
Re-Identification in Broadcast
Content. Appl. Sci. 2021, 11, 7266.
https://doi.org/10.3390/app11167266 1. Introduction Any video can essentially be broken down into several units. First, a video is a
collection of successive images; specific frames shown at a particular speed. Each frame
is one of the many still images that make up the video. Next, a group of uninterrupted
and coherent frames constitute a shot. Every frame belongs to a shot, which lasts for
a minimum of 1 s and is based on the frame rate of the broadcast video (which can be
anywhere between 20 to 60 frames per second). Enriching every frame of a video would be
computationally expensive and practically inefficient. Thus, we find it logical to consider a
shot as the fundamental unit of the video. Based upon these shots, the entire video can be
iteratively enriched with data, such as scene types, actions and events. Humans, on the other hand, tend to remember specific events or scenarios from a
video that they view during a video-retrieval process. Such an event could be a dialogue, an
action scene, or any series of shots unified by location or a dramatic incident [8]. Therefore,
it is events themselves which should be treated as an elementary retrieval unit in future
advanced video retrieval systems. Various terms denoting temporal video segments on a
level above shots, but below sequences, appear in the literature [9]. These include scenes,
logical units, logical story units, and topic units. The flow diagram on Figure 1 shows how
this space could be well-defined [10]. A logical story unit (LSU) could thus be a scene or
a topic unit, depending on the type of content. Our proposed pipeline can automatically
segment videos into logical story units. Figure 1. Pictorial representation of the structure of video, detailing the position and definition of a
logical story unit (LSU). As shown in the flow diagram, an LSU can either be a scene or a topic unit. This paper predominately focuses on normal scene- and topic-unit-type videos. Figure 1. Pictorial representation of the structure of video, detailing the position and definition of a
logical story unit (LSU). As shown in the flow diagram, an LSU can either be a scene or a topic unit. This paper predominately focuses on normal scene- and topic-unit-type videos. Researchers often address semantic mining and structure mining problems separately,
because they were historically applied to different domains. 1. Introduction Due to advances in storage and digital media technology, videos have become the
main source of visual information. The recording and accumulation of a large number of
videos has also become very easy, and many popular websites, including YouTube, Yahoo
Video, Facebook, Flickr, and Instagram, allow users to share and upload video content
globally. Today, we have arrived at the point where the volume of video that arrives on
the internet increases exponentially on a daily basis. Apart from this, there are very many
broadcast channels with enormous amounts of video content—shot and stored every sec-
ond. With such large collections of videos, it is very difficult to locate the appropriate video
files and extract information from them effectively. Moreover, with such a vast quantity of
data, even the suggestion list expands tremendously; thus, it is even more difficult to make
an efficient and informed decision. Large file sizes, the temporal nature of the content, and
the lack of proper indexing methods to leverage non-textual features, creates difficulty
in cataloguing and retrieving videos efficiently [1]. To address these challenges, efforts
are being made—in every direction—to bridge the gap between low-level binary video
representations and high-level text-based video descriptions (e.g., video categories, types or
genre) [2–7]. Due to the absence of structured intermediate representations, powerful video
processing methodologies which can utilise scene, object, person, or event information do
not yet exist. In this paper, we address this problem by proposing a framework involving
an improved semantic content mining approach, which obtains frame-level location and
object information across the video. The proposed architecture extracts semantic tags such
as objects, actions and locations from the videos, using them not only to obtain scene/shot
boundaries, but also to re-ID objects from the video. Received: 27 June 2021
Accepted: 4 August 2021
Published: 6 August 2021 Publisher’s Note: MDPI stays neutral
with regard to jurisdictional claims in
published maps and institutional affil-
iations. Copyright: © 2021 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access article
distributed
under
the
terms
and
conditions of the Creative Commons
Attribution (CC BY) license (https://
creativecommons.org/licenses/by/
4.0/). https://www.mdpi.com/journal/applsci Appl. Sci. 2021, 11, 7266. https://doi.org/10.3390/app11167266 Appl. Sci. 2021, 11, 7266 2 of 17 2 of 17 Since this paper deals with several video features/aspects, it is important to clearly
state the definitions for the various structures and components of a video as used in this
paper. 2.1.1. Image Classification and Localization Image classification and object recognition tasks have been investigated for a long time. Yet, for much of this period, there were no suitable general solutions available. This was
mainly attributed to the quality of training data and accessible computational hardware. Moreover, the classification accuracy when using a smaller, rather than a larger, number
of classes was observed to be greater [11]. However, performance in image-classification
tasks has been exponentially improved in open competitions, such as the Large Scale Visual
Recognition Challenge (ILSVRC) and MIT-Places-365. These competitions encouraged the
development of region proposal network (RPN)-based deep neural networks, including
AlexNet, GoogleNet and Vision Geometry Group (VGG). These networks have revolu-
tionised image classification and have opened doors, in all directions, for classification
and annotation. We use the VGG-16 network trained on MIT-Places-365 for obtaining
the place/location of a frame, because it is very generalised and the architecture could be
reused for further tasks, including the Dense Captioning of a frame that also has VGG-16
as its base architecture. In addition to classification tasks, the success of the above-mentioned challenges has
also fuelled research on localisation and detection tasks. Speed and accuracy have been
the major areas of focus and, based on these, there are two major types of object detection
models: (1) region-based convolution models, such as R-CNN and Faster RCNN, that split
the image into a number of sub-images, and (2) convolution models, such as Single Shot
Detector (SSD) and You Only Look Once (YOLO), that detect objects in a single run [12]. Even though the Faster RCNN have slightly higher accuracy, the latest version of YOLO
(YOLOv3 [12]) detects objects up to 20 times faster while retaining similar/acceptable
accuracy. Thus, our pipeline has a pre-trained YOLOv3 model that has been used for
detecting objects and persons in a frame. 1. Introduction However, during the last
decade, image recognition algorithms have improved exponentially, and deep learning
models, together with GPU/TPU computational hardware, allow very accurate real-time
detectors to be trained and served. This has paved the way to complex pipelines that can
be defined and reused across multiple domains. We have made use of these technological
advancements in defining a versatile semantic extraction pipeline that proves to address
multiple video analytic problems simultaneously. In summary, the main contributions of
this paper can be listed as follows: 1. We propose a flexible pipeline that can derive high-level features from detection
algorithms and semantically enrich a video by performing automatic video struc-
ture mining. This pipeline consolidates the frame-level place and object tags using
time-efficient deep neural networks in such a way that it could be used for further
enrichment tasks, such as re-ID. 2. Within the pipeline, we have implemented a novel boundary-detection algorithm to
cluster the temporally coherent, semantically closer segments into shots and LSUs. 2. Within the pipeline, we have implemented a novel boundary-detection algorithm to
cluster the temporally coherent, semantically closer segments into shots and LSUs. p
y
y
g
3. We also propose a novel multi-object re-ID algorithm-based on context similarity in
SOAP and broadcast content to generate object timelines. Appl. Sci. 2021, 11, 7266 3 of 17 3 of 17 The remainder of this paper is organised as follows. Section 2 reviews related work. Subsequently, Section 3 presents our methodology, which explains, in detail, the algorithms
used for semantic extraction, boundary prediction and object re-ID. The experimental set
up and model selection are presented in Section 4. Section 5 discusses the results, while
Section 6 concludes this paper and discusses the future work. 2.1. Semantic Extraction 2.1.1. Image Classification and Localization 2. Related Work This work elaborates the role of semantics in video analysis tasks such as video
structure mining and re-ID. Spatial semantics includes the objects and persons in, as well as
the location of, a frame. Temporal semantics includes actions, events, and their interactions
across the video. For a system to understand a video, therefore, the system requires the
ability to automatically comprehend such spatio-temporal relationships. In the following
subsections, we discuss various approaches for semantic extraction, LSU/shot boundary
detection and re-ID methodologies. 2.1. Semantic Extraction 2.2. Boundary Detection Shot and scene detection is one of the long-studied problems in video structure mining. There have been a lot of different approaches based on the different features used and the
different clustering methods available. In this subsection we discuss the latest approaches
for shot and LSU detection. In the existing works for shot boundary detection, there a prevailing and striking pattern
of similarities. We have come to the conclusion that boundary detection is performed by calcu-
lating or learning the deviation of features over adjacent frames. Widely used features include
RGB, HSV, or LUV colour histograms [17], background similarity [4], motion features [18], edge
ratio change and SIFT [19], and spectral features. Ref. [17] uses a spectral clustering algorithm
to cluster shots, while [18] proposes a new adaptive scene-segmentation algorithm that uses
the adaptive weighting of colour and motion similarity to distinguish between two shots. They
also propose an improved overlapping-links scheme to reduce shot grouping time. Recently,
deep features, extracted using CNN, were employed to obtain significant state-of-the-art re-
sults [20]. This team used an end-to-end trainable CNN model that was trained using a cross
entropy loss to detect shot transitions. In this work, we employ frame-level object-, person- and
location-type semantic descriptions as features to estimate shot boundaries. For scene detection, Stanislav Protasov et al. [14] proposed a pipeline that utilises
scene descriptions for keyframes of shots, while [15] proposed a pipeline that generates
sentences or captions based on objects in a keyframe. The former utilises a scene transition
graph to cluster similar shots to scenes, while the latter proposes to use Jaccard-similarity
for obtaining similarity between shots. As per survey [21], the LSU-detection task is
understood as a three-stage problem. In the first step, frames are grouped into shots. In the
second step, location, person and object descriptions are consolidated to obtain shot-level
descriptions. In the third stage, shot-level descriptions are used to cluster the shots into
story units, using a similarity metric and assumptions about the film structure. For shot
boundary detection, we have proposed and utilised the shot-detection algorithm defined
in our methodology. 2.1.2. Video Annotation There has also been research pertaining to video annotation. [13] proposed an event-
based approach to create text annotations, which infers high-level textual descriptions of
events. This method does not take into account the temporal flow or correlations between
different events in the same video. Thus, the approach does not have the ability to interact
or fuse multiple events into scenes or activities. As explained in the previous section, it is
important to search for and retrieve continuous blocks of video, often referred to as scenes
or story units. Stanislav Protasov et al. [14] proposed a pipeline with keyframe-based annotation of
scene descriptions, while [15] proposed a sentence-generation pipeline which provides de-
scriptions for keyframes based on the semantic information. Even though the techniques
produced acceptable results, the annotations still lacked information and faced information Appl. Sci. 2021, 11, 7266 4 of 17 losses. Torralba et al. [16], on the other hand, proposed a solution for semantic video anno-
tation that consists of per-frame annotations of scene tags. The per-frame annotations are
computationally expensive and often redundant. Therefore, we incorporated a pipeline that
takes into account the drawbacks of these previous methodologies. The pipeline obtains all
possible spatial information, ranging from the location to objects and persons, in the form
of textual descriptions for every nth frame of the video. This n depends on the frame rate
of the video and is adjusted so that textual descriptions are obtained for a minimum of
4 frames per second. 3. Methodology Based on the motivations explained in Section 1, we propose a pipeline that utilises
semantic descriptions and their co-occurrences across a video to address the fundamental
video processing challenges pertaining to structure mining and object re-ID tasks. The proposed
pipeline is shown in Figure 2. We follow a step-wise approach to explain the implementation
of the pipeline: 1. Semantic Extraction 2. Structure Mining 3. Similarity Estimation 4. Object Re-Identification 3.1. Semantic Extraction: Recognizing Objects, Places and Their Relations 3.1. Semantic Extraction: Recognizing Objects, Places and Their Relations In order to work with the high-level semantic features, it is important to have thorough
information regarding the composition of each frame (e.g., objects, persons, and places in
the frame). Since broadcast videos do not carry that much frame-level semantic information,
it is necessary for our pipeline to have a good model that can predict, with high accuracy, Appl. Sci. 2021, 11, 7266 5 of 17 the objects and places in a frame. As seen in Figure 2, frame-level semantic extraction is a
common step for all the tasks dealt with in the paper—from shot/LSU boundary prediction
to object timeline generation. the objects and places in a frame. As seen in Figure 2, frame-level semantic extraction is a
common step for all the tasks dealt with in the paper—from shot/LSU boundary prediction
to object timeline generation. Figure 2. Overview of the proposed pipeline. Given the input video, the framework extracts visual
features to obtain frame-level semantics. The enriched semantic information can then be used
for search and retrieval of video segments, predict shot and scene boundaries, and also to create
object timelines. Figure 2. Overview of the proposed pipeline. Given the input video, the framework extracts visual
features to obtain frame-level semantics. The enriched semantic information can then be used
for search and retrieval of video segments, predict shot and scene boundaries, and also to create
object timelines. 3.2. Structure Mining: Shot Boundary Detection Once we extract the visual features of the video frames, we utilise them to estimate the
similarity between frames. This, in turn, is used to predict the overall structure of the video
as shown in Figure 3. Broadcast videos generally have a frame rate of 24 fps. We process
every sixth frame of our video for computational advantage (4 frames/s). Furthermore, we
cluster temporally similar frames to form shot and story units. Figure 3. Overview of the framework for Shot Detection. Shot is defined as a group of continuous
frames without a cut. To predict shot boundaries, the framework utilises only frame-level visual
features from the given input video. Figure 3. Overview of the framework for Shot Detection. Shot is defined as a group of continuous
frames without a cut. To predict shot boundaries, the framework utilises only frame-level visual
features from the given input video. Feature Extraction We make use of low-level and mid-level visual information for predicting the high-
level features that are necessary to determine the semantic composition of a logical story
unit. In our approach we use object, person and location tags as high-level features for
detecting the LSU boundaries. To obtain the object and person annotations, the latest
version of the YOLO object detector [12], pre-trained on the COCO dataset [22], is used. COCO stands for Common Objects in Context. The dataset comprises of 1.5 million object
instances covering 80 object classes. Along with the object detector, the place or the location
of the scenes are predicted using the ResNet-50 CNN architecture, pretrained on the places-
365 dataset [11]. This dataset contains more than 10 million images in total, comprising
400+ unique scene categories [23]. Spatio-Temporal Visual Similarity Modelling As seen in Equation (1), semantic composition-based frame-similarity estimation is
composed of the following two sub parts: •
Semantic similarity scoring scheme •
Temporal model analysis Spatio-Temporal Visual Similarity Modelling In contrast to other approaches that use clustering for boundary detection, we con-
struct a similarity matrix that jointly describes spatial similarity and temporal proxim-
ity. The generic element Sij defines the similarity between frames i and j, as shown in
Equation (1). Sij = exp
−d2
1(ψ(xi), ψ(xj)) + α · d2
2(xi, xj)
2σ2
! (1) (1) where, ψ(xi) and ψ(xj) are the list of visual tags for the ith and jth frame, respectively. d2
1 is
the cosine distance between frame xi and xj, while d2
2 is the normalised temporal distance
between frame xi and frame xj. The parameter α tunes the relative importance of semantic Appl. Sci. 2021, 11, 7266 6 of 17 similarity and temporal distance. The effect of alpha on the similarity matrix is shown in
Figure 4. similarity and temporal distance. The effect of alpha on the similarity matrix is shown in
Figure 4. Figure 4. Effect of α (from left to right 0, 5, and 10) on similarity matrix Sij. Higher values of α enforce
temporal connections between nearby frames and increase the quality of the detected shots. Figure 4. Effect of α (from left to right 0, 5, and 10) on similarity matrix Sij. Higher values of α enforce
temporal connections between nearby frames and increase the quality of the detected shots. As shown in Figure 4, the effect of applying increasing values of α to the similarity
matrix is to raise the similarities of adjacent frames, thereby boosting the temporal correla-
tions of frames in the neighbourhood. At the same time, too high values of α would lead to
the boosting of the temporal correlation of very close neighbouring frames, thereby failing
to capture gradual shot changes. The final boundaries are created between frames that do
not belong to the same cluster. An experiment was conducted with the videos of the RAI
dataset, where values from 1 to 10 were provided for α, and its effect was studied. We found
that an α value of 5 performed well on average, for both gradual and sharp shot changes. Therefore, we use an α value of 5 for our shot boundary detection experiments, since it
provides the right amount of local temporal similarity for the prediction of boundaries. 3.2.2. Temporal Model Analysis 3.2.2. Temporal Model Analysis As per Equation (1) the temporal proximity is modelled using d2
2, which is the nor-
malised temporal distance between frames xi and xj. The normalised temporal distance
can be defined by Equation (4) d2
2(xi, xj) = | fi −fj|
l
(4) (4) where fi and fj are the index of frame xi and xj, respectively, and l is the total number of
frames in the video. 3.2.3. Boundary Prediction 3.2.1. Semantic Similarity Scoring Scheme We use the cosine similarity principle to measure inter-frame similarity; that is, we
measure the cosine angle between the two frame vectors of interest. The cosine similarity
between the ith and the jth frame is calculated by taking the normalised dot product
as follows: (2) sim(xi, xj) = ||ψ(xi)|| · ||ψ(xj)||
(2) where, ψ(xi) is the normalised vector based on the list of visual tags for frame xi. This
results in a spatial similarity matrix. The similarity measure is converted into a distance
measure based on the following Equation: where, ψ(xi) is the normalised vector based on the list of visual tags for frame xi. This
results in a spatial similarity matrix. The similarity measure is converted into a distance
measure based on the following Equation: d2
1(ψ(xi), ψ(xj)) = 1 −sim(xi, xj)
(3) (3) An example of utilising the spatial similarity matrix to retrieve the top four similar
frames from a video is shown in Figure 5. Figure 5. An example of utilising the spatial similarity matrix to retrieve top four similar frames from
a video. The video used is Season 5 Episode 21 of FRIENDS show. Figure 5. An example of utilising the spatial similarity matrix to retrieve top four similar frames from
a video. The video used is Season 5 Episode 21 of FRIENDS show. Appl. Sci. 2021, 11, 7266 7 of 17 3.2.2. Temporal Model Analysis 3.2.3. Boundary Prediction Based on Equation (1), the lower the value of Sij, the more dissimilar frames xi and
xj are. Thus, we calculate the shot boundary by thresholding Sij. In our experiments, 0.4
was used as the threshold value. The entire shot boundary detection algorithm is shown in
Algorithm 1. Algorithm 1: Shot boundary detection g
y
Input: List of frame-level objects and places tags
Output: Shot boundaries
1 shots = []
2 for i =1:n do
3
for j = 1:n do
4
place_sim(xi, xj) = ||ψ(xi)|| · ||ψ(xj)||
// ψ(xi) = normalised vector
of place tags for frame xi
5
obj_sim(xi, xj) = ||ψ(xi)|| · ||ψ(xj)|| // ψ(xi) = normalised vector of
object tags for frame xi
6
sim(xi, xj) = w1(place_sim) + w2(obj_sim)
w1+w2
7
d2
1(ψ(xi), ψ(xj)) = 1 −sim(xi, xj)
8
Sij = exp
−
d2
1(ψ(xi),ψ(xj))+α . d2
2(xi,xj)
2σ2
9 for i = 1:n do
10
if Si,i+1 < threshold then
11
shots.append(i) 3.4. Object Re-Identification We propose an algorithm that formulates unique object IDs using LSUs and frame-
level object detections, such that re-occurring objects are provided with the same ID. The
algorithm we propose is based on the following hypothesis: Hypothesis 1. If two shots Sa and Sb are similar, then the objects present in Sa and Sb are also similar. 3 4 1 Explanation Hypothesis 1. If two shots Sa and Sb are similar, then the objects present in Sa and Sb are also similar. 3.3. Similarity Estimation: Context Based Logical Story Unit Detection 3.3. Similarity Estimation: Context Based Logical Story Unit Detection Based on our experiments, we have deduced that normal broadcast content, such as
a SOAP episode or the news, often make use of multiple angles pertaining to the same
story unit.In more than 90% of the cases, these angles recur multiple times throughout the
video. Therefore, as shown in Figure 6, the context-based similarity estimation begins with
shot detection. Progressing from these estimated shot boundaries, frame-level semantic
descriptions are merged as follows: Lij = w1(place_sim) + w2(obj_sim)
w1 + w2
(5) (5) where w1 and w2 are the weights for place and object descriptions. In our experiments,
we have given more importance to place descriptions than to object descriptions, mainly
because the state-of-the-art object detection models do not have the ability to predict all the
objects in a frame. Moreover, the pre-trained place-detection model has the ability to cap-
ture the overall context of the shot location, and therefore has been deemed more important. Thus we have maintained w1 and w2 as 2 and 1, respectively, in all our experiments. Appl. Sci. 2021, 11, 7266 8 of 17 8 of 17 The shot-level similarity measure is calculated based on the joint similarity estimated
using Equation (5). An example of the similarity matrix of a video from RAI is shown in
Figure 7. The final similarity matrix is used along with the re-identification algorithm to
generate object timelines. Figure 6. Overview of the LSU-detection module. Given the input video, the framework extracts
audio–visual features to predict logical story unit boundaries based on semantic similarity between
temporally coherent shots. The final decision boundary is based on thresholding the distance between
consecutive shots. Figure 6. Overview of the LSU-detection module. Given the input video, the framework extracts
audio–visual features to predict logical story unit boundaries based on semantic similarity between
temporally coherent shots. The final decision boundary is based on thresholding the distance between
consecutive shots. Figure 7. Estimated shot similarity for RAI video 23353. The figure also shows key frames of a
selected LSU (red box). Figure 7. Estimated shot similarity for RAI video 23353. The figure also shows key frames of a
selected LSU (red box). 3.4.1. Explanation Multimedia broadcast content, such as SOAP, news, or talk shows, often reuse loca-
tions that conserve the objects that they contain. Then, based on the above hypothesis, the
objects are the same if they are present in the same location. For example, in Figure 8, Image
1 is frame 26070 of the video and image 2 is frame 27604. Although they are approximately
1500 frames apart, they both pertain to the same location, and thus the objects in them are
the same. An important point to note is that the hypothesis holds only for stationary/static Appl. Sci. 2021, 11, 7266 9 of 17 objects; if there are dynamic objects present in the shots (e.g., persons) the hypothesis will
fail. Our approach focuses only on static object re-identification—thus, the current paper
will only address problems of this kind. objects; if there are dynamic objects present in the shots (e.g., persons) the hypothesis will
fail. Our approach focuses only on static object re-identification—thus, the current paper
will only address problems of this kind. Figure 8. Example of multiple instance object class. This example is taken from the Season 4 Episode 16
of New Girl TV SOAP show. In the left side image (frame 26070) there are three different objects of the
class (vase) detected, while in the right image (frame 27604), there are two objects of this class detected. Figure 8. Example of multiple instance object class. This example is taken from the Season 4 Episode 16
of New Girl TV SOAP show. In the left side image (frame 26070) there are three different objects of the
class (vase) detected, while in the right image (frame 27604), there are two objects of this class detected. Based on the number of occurrences of a same class object in the same frame, the re-ID
algorithm is composed of two sub-parts: •
Single instance
•
Multiple instance •
Single instance
•
Multiple instance •
Single instance •
Multiple instance 3.4.2. Single Instance If there is just a single occurrence of the object in every frame it appears in throughout the
video, then by Hypothesis 1, the id for object O at frame n is given by Equation (6) as follows: On
id =
id = 1,
n = 0
Oa
id,
Sn
a > threshold,
id + 1,
Sn
a < threshold,
where (a = 1:n −1)
(6) On
id =
id = 1,
n = 0
Oa
id,
Sn
a > threshold,
id + 1,
Sn
a < threshold,
where (a = 1:n −1)
(6) (6) where in On
id is the object id at frame n, and Sn
a is the context-similarity measure between
the frame a and n as calculated in Equation (5). where in On
id is the object id at frame n, and Sn
a is the context-similarity measure between
the frame a and n as calculated in Equation (5). 3.4.3. Multiple Instance 3.4.3. Multiple Instance If there are multiple occurrences of the object, we propose a graph-based approach to
correctly localise the object in the frame. An example of this problem is shown in Figure 8. In such cases, where multiple objects of the same class exist, it is not only important to know
whether shot/LSU of the frames are similar, but also to know the spatial position/location
of the object in the frame, so that the object can be re-IDed correctly. Therefore, based on the bounding box co-ordinates of the detected objects, a location
graph is estimated using spatial distances between the objects, as shown in Figure 9. The idea
here is to generate and compare the graphs such that the IDs of the objects can be matched. Spatial Distance Estimation Spatial Distance Estimation Although, the 2-D Euclidean distance measure works well between frames with similar
angles across similar LSUs, there are cases where the angle and zoom changes across
similar LSUs. The topological information contained within the frame is also lost, making
it impossible to obtain a realistic distance estimation. To compensate for the topological
information, we propose to use depth maps, in combination with the location graph, to
estimate a more realistic spatial distance between the objects in a frame. To obtain depth
information, we use Dense Depth [24], pre-trained on NYU Depth V2 dataset [25]. The Appl. Sci. 2021, 11, 7266 10 of 17 estimated depth is used as a third dimension, and thereby the Euclidean measure is re-
calculated as shown in Figure 10. estimated depth is used as a third dimension, and thereby the Euclidean measure is re-
calculated as shown in Figure 10. Figure 9. Spatial location graph generated for a frame using the centre of the bounding box co-
ordinates and Euclidean distance between them. Figure 9. Spatial location graph generated for a frame using the centre of the bounding box co-
ordinates and Euclidean distance between them. Figure 10. Comparison of frame 26070 with its estimated depth. Using the depth and distance measures,
the actual distance between the two objects can be estimated. Figure 10. Comparison of frame 26070 with its estimated depth. Using the depth and distance measures,
the actual distance between the two objects can be estimated. Let x and y be the centre points of the objects Ox and Oy, respectively, in a frame. Then
the distance between them is given by: distance = |x −y|
(7) (7) The estimated depth has a range of values that are clipped between 10 and 1000,
where 10 is the closest and 1000 is the farthest. If the depth values at points x and y can be
represented as δ(x) and δ(y), the depth between the objects can be estimated by: depth = |δ(x) −δ(y)|
(8) (8) Finally, from Equations (7) and (8), the actual distance between the objects can be
calculated as follows: Finally, from Equations (7) and (8), the actual distance between the objects can be
calculated as follows:
q Dy
x =
q
(distance)2 + (depth)2
(9) (9) Spatial Location Graph For every frame with multiple instance objects, the spatial location graph is estimated
based upon the pairwise distance between the objects in the frame, using Equation (9). Let
Gi(O, D) and Gj(O, D) be the graphs with objects as nodes and their distances as edges for
two similar frames i and j. The objects in frame j are matched with the objects in i, based
on comparing the distances between the objects in j and i such that the difference between
the distances is always minimal. For instance, if frame i has 4 objects, Oi1, Oi2, Oi3, Oi4, of
which Oi1 and Oi2 belong to the same class, and D12
i , D13
i
denotes the distance between
objects, then to re-identify objects O1 in frame j, the sub-graph distances of Gi[O
′
1] and
Gi[O
′
2] are compared with Gi[O
′
1]. Oj1 is deduced to be the same as the object in i for which
the difference between distances is minimal. The overall object re-ID algorithm is shown in
Algorithm 2 while the complete re-ID pipeline is shown in Figure 11. Appl. Sci. 2021, 11, 7266 11 of 17 Algorithm 2: Multi-object re-ID. Input: Objects_list per frame, shot boundary and LSU similarity
Output: Object IDs per frame
1 shots = []
2 for object = object_list[0]:object_list[len(object_list)] do
3
if count(objects) in all_frames <= 1 then
4
single_instance.append(object)
5
else
6
multi_instance.append(object)
7 for object = single_instance[0]:single_instance[len(single_instance)] do
8
id = 1
9
for i = 1:class do
10
for i = 1:n do
11
if i==0 then
12
objectid = id
13
id = id + 1
14
else
15
if similarity( framen, 1 : framen−1 > threshold, then
16
Let frame a be the frame most similar to frame n
17
objectid = Oa
id
18
else
19
objectid = id
20
id = id + 1 Algorithm 2: Multi-object re-ID. 4.1. Dataset In this work, a thorough, objective, and accurate performance evaluation has been
carried out to evaluate the pipeline for shot boundary detection, LSU boundary detection
and object re-ID. j
To evaluate the proposed approach for shot and LSU boundary detection, we tested
the pipeline on the benchmark RAI dataset. This dataset is a collection of ten challenging
broadcasting videos from the Rai Scuola video archive, ranging from documentaries to talk
shows constituted by both simple and complex transitions. We evaluate our approach for object re-ID on randomly selected SOAP episodes. For
fair evaluation, we chose to validate our approach on two different sets of SOAP broadcast
content; namely, New Girl and Friends. We selected 10 episodes from Season 4 of New Girl
and 10 episodes from Season 3 of Friends as our final dataset for object re-ID. Spatial Location Graph Input: Objects_list per frame, shot boundary and LSU similarity
Output: Object IDs per frame
1 shots = []
2 for object = object_list[0]:object_list[len(object_list)] do
3
if count(objects) in all_frames <= 1 then
4
single_instance.append(object)
5
else
6
multi_instance.append(object)
7 for object = single_instance[0]:single_instance[len(single_instance)] do
8
id = 1
9
for i = 1:class do
10
for i = 1:n do
11
if i==0 then
12
objectid = id
13
id = id + 1
14
else
15
if similarity( framen, 1 : framen−1 > threshold, then
16
Let frame a be the frame most similar to frame n
17
objectid = Oa
id
18
else
19
objectid = id
20
id = id + 1 21 for object = multiple_instance[0]:multiple_instance[len(multiple_instance)] do
22
id = 1 21 for object = multiple_instance[0]:multiple_instance[len(multiple_instance)] do 21 for object = multiple_instance[0]:multiple_instance[len(multiple_instance)] do
22
id = 1
23
for i = 1:class do
24
for i = 1:n do
25
if i==0 then
26
objectid = id
27
id = id + 1
28
else
29
if similarity( framen, 1 : framen−1 > threshold, then
30
Let frame a be the frame most similar to frame n
31
object_list = graph_compare(Gn[O
′
class], Ga[O
′
class])
32
for object_id in object_list do
33
objectid = object_id
34
else
35
objectid = id
36
id = id + 1 Appl. Sci. 2021, 11, 7266 12 of 17 Figure 11. Proposed pipeline for multi-object re-ID. Given the input video, we estimate LSU and
objects per frame for the video. Based on the number of occurrences of the object in a frame, the
objects are categorised as single- and multi-instance objects. Subsequently using the inter-frame
similarity and graph-based algorithms, object IDs are created and visualised. Figure 11. Proposed pipeline for multi-object re-ID. Given the input video, we estimate LSU and
objects per frame for the video. Based on the number of occurrences of the object in a frame, the
objects are categorised as single- and multi-instance objects. Subsequently using the inter-frame
similarity and graph-based algorithms, object IDs are created and visualised. 4. Experiments To provide a comprehensive overview of the strengths of the pipeline, it was separately
evaluated on benchmark task-specific datasets. All the experiments were performed on a
Linux Intel(R) Core(TM) i5-7440HQ CPU system with a RAM capacity of GB; the GPU was
an NVidia GeForce 980 with 4 GB memory; and the operating system was Ubuntu version
16.04. The entire pipeline was implemented in Python 3.6 with the Pytorch deep learning
library. The datasets and evaluation metrics used for evaluating our pipeline are explained
in the following sections. 4.2. Evaluation Metrics We evaluated the pipeline based on three tasks: (1) accuracy of the shot boundary detection;
(2) accuracy of the LSU boundary detection; and (3) accuracy of the object re-ID algorithm. For all the experiments, we use the precision, recall, and f1-score for the evaluation of
our results. Precision, recall, and f1-score are computed based on the matched shots/LSU
with the ground truth. Furthermore, the results were graphically visualised and analysed
to promote insight. The precision measure refers to the fraction of rightly predicted boundaries from
total predictions, whereas recall measure denotes the fraction of boundaries rightly re-
trieved. If groundtruth refers to the list of ground-truth values and prediction refers to
the list of automatically predicted values, then precision and recall can be expressed as in
Equation (10). precision = |groundtruth ∩prediction|
|prediction|
recall = |groundtruth ∩prediction|
|groundtruth|
(10) precision = |groundtruth ∩prediction|
|prediction|
recall = |groundtruth ∩prediction|
|groundtruth|
(10) (10) Appl. Sci. 2021, 11, 7266 13 of 17 13 of 17 F-score, on the other hand, combines precision and recall measures; it is the harmonic
mean of the two. Traditional Fshot can be defined as follows: Fshot = 2 ·
precision · recall
precision + recall
(11) (11) As mentioned in earlier sections, the precision, recall, and f1 measure would not
suffice to validate the accuracy of the LSU boundary detection algorithm. The reason
for this is that humans and algorithms employ different ways of perceiving story units. Humans can relate changes in time and location to discontinuities in meaning, whereas an
algorithm solely depends on visual dissimilarity to identify discontinuities. This semantic
gap makes it impossible for algorithms to achieve fully correct detection results. Therefore,
as suggested in [9], we use coverage and overflow metrics to measure how well our LSU
boundary detection algorithm performs with respect to human labelled LSUs, using visual
features. That is, in addition to the precision, recall, and f1 measures, we propose to use
coverage and over f low measures to evaluate the number of frames that were correctly
clustered together. g
Coverage C measures the quantity of frames belonging to the same scene correctly
grouped together, while Overflow O evaluates to what extent frames not belonging to the
same scene are erroneously grouped together. 4.2. Evaluation Metrics Formally, given the set of automatically
detected scenes s = [s1, s2, ..., sm], and the ground truth g = [s1, s2, ..., sn], where each element
of s and g is a set of shot indexes, the coverage of scene s is proportional to the longest
overlap between si and gt: coverage = maxi=1 ... n#(si ∩gt)
#(gt)
(12) (12) over f low = ∑m
i=1 #(si/gt) · min(1, (si ∩gt))
#(gt−1) + #(gt+1)
(13) (13) Fscene combines the coverage and overflow measures and is the harmonic mean of the
two. For coverage, values closer to 1 indicate better performance, and for overflow, values
closer to 0 indicate better; thus we use 1 −over f low for calculating Fscene: Fscene combines the coverage and overflow measures and is the harmonic mean of the
two. For coverage, values closer to 1 indicate better performance, and for overflow, values
closer to 0 indicate better; thus we use 1 −over f low for calculating Fscene: Fscene = 2 · coverage × (1 −over f low)
coverage + (1 −over f low)
(14) (14) For the experiments pertaining to object re-ID, we make use of Accuracy metrics. Accuracy is the most intuitive performance measure; it is simply the ratio of correctly
predicted observations to total observations. In our scenario, the predicted observations are
labelled as True if they are correctly predicted, and False otherwise. Therefore, if the total
number True samples is denoted by True, and total number of False samples is denoted by
False, then Accuracy can be calculated as follows: Accuracy =
True
True + False
(15) (15) 5.1.1. Shot Boundary Detection In this study, to evaluate shot boundary detection, we have compared our framework
with state-of-the-art CNN-based fast shot boundary detection[20]. We have used 10 random
Internet Archive videos from the RAI dataset. Table 1 compares the precision, recall, and F-
score of our pipeline with this state-of-the-art algorithm. These experimental results show that
the state-of-the-art model performs extremely well on normal transitions, while performing
comparatively poorly on complex transitions. Our approach, on the other hand, has obtained Appl. Sci. 2021, 11, 7266 14 of 17 14 of 17 similar precision values for both complex and normal transitions. On average, our approach
has outperformed the state-of-the-art with an f1 measure of 0.92. similar precision values for both complex and normal transitions. On average, our approach
has outperformed the state-of-the-art with an f1 measure of 0.92. 5.1.2. LSU Boundary Detection In this study, we also evaluated LSU boundary detection by comparing the results
against two different algorithms for scene detection: [26], which uses a variety of visual and
audio features that are integrated in a Shot Transition Graph (STG); and [27], which uses a
spectral clustering algorithm and Deep Siamese network-based model to detect scenes. We
used the same 10 videos from the RAI dataset for validation. Table 2 tabulates the coverage
and overflow measures calculated based on the above methods. Our experimental results
indicate that the model in [26] has the highest coverage value of 0.8—but it also has a very
high overflow measure. Ref. [27] provides a comparatively better overflow result and overall
performance than [26]. Although our approach achieved a lower coverage measure, it has
obtained a very good overflow measure, which has resulted in a higher Fscore. Our approach,
with an average Fscore of 0.74, outperformed the other methods by more than 10%. Table 1. Performance comparison for shot detection using boundary-level metrics. Table 1. Performance comparison for shot detection using boundary-level metrics. Gygli et al. [20]
Our Approach
Video
Precision
Recall
Fshot
Precision
Recall
Fshot
23353
0.95
0.99
0.96
0.877
0.99
0.945
23357
0.91
0.97
0.939
0.874
0.99
0.940
23358
0.92
0.99
0.954
0.775
0.99
0.873
25008
0.94
0.94
0.94
0.849
0.99
0.918
25009
0.97
0.96
0.965
0.726
0.98
0.841
25010
0.93
0.94
0.935
0.955
0.99
0.977
25011
0.62
0.9
0.734
0.863
0.99
0.927
25012
0.66
0.89
0.758
0.890
0.890
0.89
Average
0.853
0.948
0.899
0.861
0.986
0.912 Table 2. Performance comparison for LSU detection using frame-level metrics. Lorenzo et al. [27]
Sidiropoulos et al. [26]
Our Approach
Video
Coverage
Overflow
Fscene
Coverage
Overflow
Fscene
Coverage
Overflow
Fscene
23553
0.82
0.40
0.69
0.63
0.20
0.70
0.66
0.0083
0.79
23557
0.77
0.24
0.76
0.73
0.47
0.61
0.65
0.2016
0.72
23558
0.77
0.37
0.69
0.89
0.64
0.51
0.73
0.1346
0.80
25008
0.42
0.06
0.58
0.72
0.24
0.74
0.41
0.0100
0.58
25009
0.95
0.76
0.39
0.69
0.53
0.56
0.67
0.124
0.76
25010
0.66
0.40
0.63
0.89
0.92
0.15
0.66
0.012
0.79
25011
0.70
0.14
0.77
0.94
0.92
0.15
0.61
0.048
0.74
25012
0.53
0.15
0.65
0.93
0.94
0.11
0.63
0.0400
0.76
Average
0.70
0.30
0.66
0.8
0.63
0.43
0.63
0.074
0.74
5.1.3. 5.2. Ablation Study In order to evaluate the importance of depth information in spatial distance estimation,
tests were conducted by selecting random frames of different angles from similar LSUs,
and distance was estimated with and without depth information. For example, as shown
Figure 12, distance and depth were measured for two different frames. Depth-based distance
using Equation (9) and normal Euclidean distance between the person object and the vase
object were estimated. On comparing the depth-based distance and Euclidean distance
between the two frames, it was seen that the error of the depth-based distance metric is
much less than the error of the Euclidean distance metric. The experiment was repeated for
10 different scenarios from 10 different episodes; depth-based distance error was estimated
to be at least six times smaller than the Euclidean distance error, on average. Figure 12. An example of ablation experiment to study the effect of depth in spatial distance estimation. Depth-based distance is found to be more comparable and less erroneous. Figure 12. An example of ablation experiment to study the effect of depth in spatial distance estimation. Depth-based distance is found to be more comparable and less erroneous. 5.1.2. LSU Boundary Detection These experimental results show that our object
re-ID algorithm performs at an average accuracy of 0.87. re-ID applied on the two SOAP series. These experimental results show that our object
re-ID algorithm performs at an average accuracy of 0.87. re-ID applied on the two SOAP series. These experimental results show that our object
re-ID algorithm performs at an average accuracy of 0.87. Table 3. Performance evaluation of object re-ID. Table 3. Performance evaluation of object re-ID. New Girl (10 episodes)
Friends (10 episodes)
Class
True
False
True
False
bed
29
0
152
0
bottle
604
153
51
14
refrigerator
23
0
56
0
sofa
76
0
306
13
dining table
202
11
87
12
vase
43
8
143
45
bowl
59
0
78
39
tv
-
-
51
0
cup
-
-
69
20
car
74
13
-
-
handbag
61
0
-
-
potted plant
20
0
-
-
Count
1212
187
993
143
Accuracy
0.866
0.874
5 2 Abl ti
St d 5.1.2. LSU Boundary Detection Object re-ID
In this study, to evaluate object re-ID, we have applied the algorithm on 10 random
episodes from Season 4 of New Girl and 10 random episodes from Season 3 of Friends TV
shows. The dataset does not possess ground truth labels. Thus, the approach was manually
validated—if the object was re-IDed correctly it was marked True; else it was marked False. The True and False values were consolidated per object class for all episodes of New Girl
and Friends separately, and the object classes that had a minimum of 20 occurrences in all
the episodes of SOAP put together were chosen to estimate the accuracy. The accuracy was
then calculated for each SOAP separately. Table 3 shows the accuracy results for the object Table 2. Performance comparison for LSU detection using frame-level metrics. Lorenzo et al. [27]
Sidiropoulos et al. [26]
Our Approach
Video
Coverage
Overflow
Fscene
Coverage
Overflow
Fscene
Coverage
Overflow
Fscene
23553
0.82
0.40
0.69
0.63
0.20
0.70
0.66
0.0083
0.79
23557
0.77
0.24
0.76
0.73
0.47
0.61
0.65
0.2016
0.72
23558
0.77
0.37
0.69
0.89
0.64
0.51
0.73
0.1346
0.80
25008
0.42
0.06
0.58
0.72
0.24
0.74
0.41
0.0100
0.58
25009
0.95
0.76
0.39
0.69
0.53
0.56
0.67
0.124
0.76
25010
0.66
0.40
0.63
0.89
0.92
0.15
0.66
0.012
0.79
25011
0.70
0.14
0.77
0.94
0.92
0.15
0.61
0.048
0.74
25012
0.53
0.15
0.65
0.93
0.94
0.11
0.63
0.0400
0.76
Average
0.70
0.30
0.66
0.8
0.63
0.43
0.63
0.074
0.74 In this study, to evaluate object re-ID, we have applied the algorithm on 10 random
episodes from Season 4 of New Girl and 10 random episodes from Season 3 of Friends TV
shows. The dataset does not possess ground truth labels. Thus, the approach was manually
validated—if the object was re-IDed correctly it was marked True; else it was marked False. The True and False values were consolidated per object class for all episodes of New Girl
and Friends separately, and the object classes that had a minimum of 20 occurrences in all
the episodes of SOAP put together were chosen to estimate the accuracy. The accuracy was
then calculated for each SOAP separately. Table 3 shows the accuracy results for the object Appl. Sci. 2021, 11, 7266 15 of 17 15 of 17 re-ID applied on the two SOAP series. 6. Conclusions and Future Work We have proposed and presented a flexible pipeline for the annotation, structure
mining, and re-ID of objects in broadcast videos by exploring the semantic composition
of this pipeline. The high-level features extracted from low- and mid-level visual features
provided useful information about various aspects of the analysed videos. A video-mining
approach was used to infer high-level semantic concepts from the low-level features
extracted from the videos. The results of this video data mining were further improved
by exploiting temporal correlations within the video and constructing new features from Appl. Sci. 2021, 11, 7266 16 of 17 them. Boundary prediction algorithms were proposed, which clustered and segmented
each video based on its structure. Furthermore, object re-ID was explored and adapted to
re-ID static objects in the videos. This helped us to create object timelines, which could
be interesting for a variety of applications. Our experiments show that our approach is
general enough for all broadcast videos, including different genres and languages. Upon
inspecting the failure cases, it was found that the selection of similarity threshold played
a vital role in the overall accuracy of the pipeline. Therefore, for future work, we would
look into adapting the similarity threshold automatically, which would further improve the
efficiency of the pipeline. Moreover, multi-modal features and effective methods to fuse
multi-modal information will be investigated. In addition, we would also further optimise
the spatial location graph to include dynamic/moving objects. Finally, the framework must
be evaluated on a large scale and the models should be improved accordingly. Author Contributions: Conceptualization, methodology, software, validation, formal analysis, inves-
tigation, resources, data curation and writing—original draft preparation: K.K.T.C.; writing—review
and editing, visualization, supervision, project administration, and funding acquisition: S.V. Both
authors have read and agreed to the published version of the manuscript. Funding: The research activities as described in this paper were funded by Ghent University, IMEC,
and the Flanders Innovation & Entrepreneurship (VLAIO) agency. Data Availability Statement: Rai Dataset: https://aimagelab.ing.unimore.it/imagelab/researchActivity. asp?idActivity=019. Conflicts of Interest: The authors declare no conflict of interest. References 1. Bagdanov, A.D.; Bertini, M.; Bimbo, A.D.; Serra, G.; Torniai, C. Semantic annotation and retrieval of video events using
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https://openalex.org/W2885475102
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https://www.nature.com/articles/s41598-018-30629-w.pdf
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English
| null |
Palaeozoic giant dragonflies were hawker predators
|
Scientific reports
| 2,018
|
cc-by
| 4,031
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Palaeozoic giant dragonflies were
hawker predators André Nel1, Jakub Prokop André Nel1, Jakub Prokop 2, Martina Pecharová2, Michael S. Engel 3,4 & Romain Garrous The largest insects to have ever lived were the giant meganeurids of the Late Palaeozoic, ancient
stem relatives of our modern dragonflies. With wingspans up to 71 cm, these iconic insects have been
the subject of varied documentaries on Palaeozoic life, depicting them as patrolling for prey through
coal swamp forests amid giant lycopsids, and cordaites. Such reconstructions are speculative as few
definitive details of giant dragonfly biology are known. Most specimens of giant dragonflies are known
from wings or isolated elements, but Meganeurites gracilipes preserves critical body structures, most
notably those of the head. Here we show that it is unlikely it thrived in densely forested environments
where its elongate wings would have become easily damaged. Instead, the species lived in more
open habitats and possessed greatly enlarged compound eyes. These were dorsally hypertrophied, a
specialization for long-distance vision above the animal in flight, a trait convergent with modern hawker
dragonflies. Sturdy mandibles with acute teeth, strong spines on tibiae and tarsi, and a pronounced
thoracic skewness are identical to those specializations used by dragonflies in capturing prey while
in flight. The Palaeozoic Odonatoptera thus exhibited considerable morphological specializations
associated with behaviours attributable to ‘hawkers’ or ‘perchers’ among extant Odonata. Received: 15 March 2018
Accepted: 1 August 2018
Published: xx xx xxxx Received: 15 March 2018
Accepted: 1 August 2018
Published: xx xx xxxx Despite rampant speculation as to the biology of gigantic insects from the Late Palaeozoic, particularly assump-
tions regarding their presumed predatory feeding and hunting behaviours, the most pertinent details regarding
morphology of Meganeuridae are essentially unknown. Owing to their relationship to modern dragonflies and
damselflies (Odonata), many details of odonate biology have been extended to the stem superorder Odonatoptera. Most critically, the anatomical details of the meganeurid head — especially their mouthparts and compound eyes
— are effectively unknown. Although Meganeura monyi is the iconic giant dragonfly, it is poorly preserved. Only
two prior fossils have been reported preserving such portions of giant dragonfly anatomy, viz. Meganeurula selysii
in which the head and thorax are unfortunately artefacts produced by over preparation (Fig. 1, Extended Data
Fig. Palaeozoic giant dragonflies were
hawker predators 1); these, Namurotypus sippeli where the head is exceptionally poorly preserved, and Erasipteroides valentini
revealing little more than the separation of the compound eyes (Supplementary Information), have formed the
basis for reconstructions1. However, a third fossil, the holotype of Meganeurites gracilipes from the well-known
Gzhelian outcrop of Commentry (France), has well-preserved head structures which have been long-ignored and
therefore never studied or considered in regard to the palaeobiology of these giants. The animal was preserved in
fine-grained micaceous sandstone and compressed during fossilization (Supplementary Information). The local
palaeoenvironment, approximately 300 Ma (Stephanian B/C), corresponds to a Pennsylvanian limnic biotope in
an intramontane basin adjacent to moorland facies2. www.nature.com/scientificreports www.nature.com/scientificreports www.nature.com/scientificreports Received: 15 March 2018
Accepted: 1 August 2018
Published: xx xx xxxx Results (see Supplementary Information for a detailed description of Meganeurites).h pp
y
p
g
The holotype of M. gracilipes is fairly complete, certainly by the standards of most known material of megan-
eurids, with the head, thorax, and much of the legs, wings, and basal part of the abdomen complete, albeit com-
pressed. The counter-part (MNHN.F.R53005) preserves the body in dorsal view (Figs 2 and 3), while the original
print, preserving the ventral view of the insect, was lost long ago. The mandibles are prominently preserved and 1Institut de Systématique, Evolution, Biodiversité, ISYEB, UMR 7205, CNRS, MNHN, UPMC, EPHE, Muséum national
d’Histoire naturelle, Sorbonne Universités, 57 rue Cuvier, CP 50, Entomologie, F-75005, Paris, France. 2Department
of Zoology, Faculty of Science, Charles University, Viničná 7, CZ-128 00, Praha 2, Czech Republic. 3Division of
Entomology, Natural History Museum, and Department of Ecology & Evolutionary Biology, 1501 Crestline Drive –
Suite 140, University of Kansas, Lawrence, Kansas, 66045-4415, USA. 4Division of Invertebrate Zoology, American
Museum of Natural History, Central Park West at 79th Street, New York, New York, 10024-5192, USA. André Nel and
Jakub Prokop contributed equally to this work. Michael S. Engel and Romain Garrouste jointly supervised this work. Correspondence and requests for materials should be addressed to A.N. (email: andre.nel@mnhn.fr) Scientific REPortS | (2018) 8:12141 | DOI:10.1038/s41598-018-30629-w 1 1 www.nature.com/scientificreports/ www.nature.com/scientificreports/ Figure 1. Meganeurula selysii (Brongniart, 1893), holotype MNHN R52939, head and prothorax. Ventral view
showing the false ‘mandibles’ carved in matrix (photograph Gaelle Doitteau, e-recolnat Project, MNHN). Scale
bar, 10 mm. Figure 1. Meganeurula selysii (Brongniart, 1893), holotype MNHN R52939, head and prothorax. Ventral view
showing the false ‘mandibles’ carved in matrix (photograph Gaelle Doitteau, e-recolnat Project, MNHN). Scale
bar, 10 mm. Figure 2. Meganeurites gracilipes Handlirsch, 1919, holotype MNHN R53005, head and fore leg. (a) dorsal
view; (b) reconstruction. f. frons, i1, i2 incisivum, lb. labrum, lat.oc. lateral ocellus, md. mandible, ml. molar
plate, m.oc. median ocellus, mx. Maxilla, occ. occipital triangle, v. vertex (photograph Gaelle Doitteau,
e-recolnat Project, MNHN, reconstruction M.P.). Scale bar, 10 mm. Figure 2. Meganeurites gracilipes Handlirsch, 1919, holotype MNHN R53005, head and fore leg. (a) dorsal
view; (b) reconstruction. f. frons, i1, i2 incisivum, lb. labrum, lat.oc. lateral ocellus, md. mandible, ml. molar
plate, m.oc. median ocellus, mx. Maxilla, occ. occipital triangle, v. vertex (photograph Gaelle Doitteau,
e-recolnat Project, MNHN, reconstruction M.P.). Scale bar, 10 mm. Figure 3. Results gracilipes, Meganeurula selysii (Figs 1 and 3, Extended Data Fig. 1), and Odonata. The more forward position of the legs makes grasping objects in front of the animal easier, as well as the manip-
ulation of materials held in front of the head, such as a prey item. In addition, the presence of strong spines on
the tibiae and tarsi, previously known for Meganeura monyi6,7, and present also in M. gracilipes, indicates that
together the thorax and legs of Meganeurites functioned as a”flying trap” for the capture of prey, a morphological
and behavioural suite identical to that of modern dragonflies and damselflies. gll
Unlike more basal, earlier-diverging Odonatoptera, Meganeurites has no trace of paranotal expansions (‘pro-
notal lobes’), or prothoracic winglets (Supplementary Information), and it is likely that such an absence is charac-
teristic of all Meganeuridae. Accordingly, meganeurid flight was more similar to those of extant dragonflies than
to those of any coeval “six-winged” Palaeodictyoptera8,9. Nevertheless, the absence of nodal flexion structure in
Meganeuridae probably prevented them from achieving flight performances similar to those of the true Odonata,
viz. with the capacity to twist and make abrupt, directional changes while in flight10. Accordingly, Meganeurites
was more likely an open-space, ecotone, or riparian forest predator. Using modern odonates as an analogue,
meganeurids would have been ‘hawkers’, patrolling above large rivers, ancient lakes, open forests, or even above
the canopy11,12, rather than ‘perchers’, who fly in rapid, zig-zag formations through relatively dense forest environ-
ments, with liana-like foliage already present during the Ghezlian13,14. In the latter habitats, the large wingspan
of M. gracilipes (ca. 320 mm) would have been a significant handicap to fly or even glide (Fig. 4). As is true for
modern hawker dragonflies, excellent visual acuity is critical for catching large, flying preys. This would have been
true for M. gracilipes. These large Meganeuridae were probably preying on large Palaeodictyoptera also present in
the palaeobiota of Commentry. p
y
Visual precision would also have been critical for Meganeurites to evade its own predators which were prob-
ably larger meganeurids, such as Meganeura monyi with its wingspan of ca. 700 mm, characteristic of the fauna
at Commentry. Flying and gliding vertebrates appeared ca. 30 myr later. Similar preying behaviours are known
for extant Anisoptera15. Meganeurites had enlarged compound eyes with broad dorsal portions, meeting medially
for significant portion of their length, as in extant hawker dragonflies (Fig. Results Meganeurites gracilipes Handlirsch, 1919, holotype MNHN R53005, general habitus. CuA cubitus
anterior, CuP cubitus posterior, ScA subcostal anterior (photograph Gaelle Doitteau, e-recolnat Project,
MNHN). Scale bar, 10 mm. Figure 3. Meganeurites gracilipes Handlirsch, 1919, holotype MNHN R53005, general habitus. CuA cubitus
anterior, CuP cubitus posterior, ScA subcostal anterior (photograph Gaelle Doitteau, e-recolnat Project,
MNHN). Scale bar, 10 mm. Scientific REPortS | (2018) 8:12141 | DOI:10.1038/s41598-018-30629-w 2 www.nature.com/scientificreports/ www.nature.com/scientificreports/ Figure 4. Meganeurites gracilipes Handlirsch, 1919, reconstruction. Pattern of coloration highly hypothetical,
adapted from extant relatives, caudal appendages of abdomen corresponding to Namurotypus sippeli
(reconstruction M.P.). Scale bar, 10 mm. Figure 4. Meganeurites gracilipes Handlirsch, 1919, reconstruction. Pattern of coloration highly hypothetical,
adapted from extant relatives, caudal appendages of abdomen corresponding to Namurotypus sippeli
(reconstruction M.P.). Scale bar, 10 mm. were strong, robust, and with large, sharply acute teeth, similar to those of extant Odonata (Fig. 2). The mandib-
ular form and dentition demonstrates that M. gracilipes, and likely all species of the family Meganeuridae, were
predators. The short antennae with a flagellum of Meganeurites probably had the same function in flight control
as those of extant Odonata3. The positions of the three simple eyes (ocelli) on vertex are in the same positions as
those of the extant dragonfly family Aeshnidae, supporting similar roles as the horizon detectors which contribute
to the balance body control during fast flight maneuvers4. were strong, robust, and with large, sharply acute teeth, similar to those of extant Odonata (Fig. 2). The mandib-
ular form and dentition demonstrates that M. gracilipes, and likely all species of the family Meganeuridae, were
predators. The short antennae with a flagellum of Meganeurites probably had the same function in flight control
as those of extant Odonata3. The positions of the three simple eyes (ocelli) on vertex are in the same positions as
those of the extant dragonfly family Aeshnidae, supporting similar roles as the horizon detectors which contribute
to the balance body control during fast flight maneuvers4. y
gl
g
As in Odonata, the thorax is slanted caudally, resulting in what is referred to as “thoracic skew”5, resulting in
a slight oblique orientation to the dorsal surface of the thorax and thereby angling the plane of the wings relative
to the longitudinal axis of the body. This skew was likely important for Meganeuridae, as it results in an anterior
displacement of the legs in M. Methods
M
i l Material studied. The two specimens MNHN.F.R53005 and MNHN R52939 are deposited in the collection
f Palaeontology, MNHN, Paris, France. Observation and description. Photographs were taken with a Nikon D800 digital camera with
AF-MicroNikkor 60 mm, using four optical fibers to improve the light. Original photographs were processed
using the image-editing software Adobe Photoshop CS6. Standard wing venation nomenclature is followed for
Odonatoptera31,32. Two Principal Component Analysis were performed to compare the morphology of the fossil
and extant Odonatoptera (Supplementary Information). Online Content. Additional Methods, Extended Data display items and Source Data are available in the
online version of the paper; references unique to these sections appear only in the online paper. Online Content. Additional Methods, Extended Data display items and Source Data are available in the
nline version of the paper; references unique to these sections appear only in the online paper. Data availability statement. All data generated or analyzed during this study are included in this
ublished article (and its Supplementary Information files). www.nature.com/scientificreports/ www.nature.com/scientificreports/ narrower than the thorax (Figs 3 and 4), suggesting that it is possible that its vision was less optimal than that of
modern Anisoptera with large compound eyes. The presence of dorsally adjoining eyes is a potential apomorphy
of the Meganeuridae (or the subfamily Tupinae), to be verified through the discovery of new fossils spanning the
diversity of this group. The widely separated compound eyes of the giant Erasipteroides valentini (Erasipteridae)27
led previous authors to consider erroneously that this was characteristic of all giant dragonflies28. On the contrary,
the morphological disparity of the compound eyes among Palaeozoic meganeurids was apparently as important
as it is today among modern dragonflies (Supplementary Information), suggesting a similar behavioural diversity
among these early odonatopterans. g
y
p
We performed two multivariate morphometric analyses on four fossil taxa and 21 extant Odonata in regards
to the morphology of the head, forelegs, thorax, and wings (Supplementary Information). The considerably large
sizes of the chosen Carboniferous and Jurassic Odonatoptera have a great influence on the results (Extended Data
Fig. 4). Nevertheless, the observation along axes 2 and 3 of the first analysis (raw data) minimizes the effect of
size and demonstrates that Meganeurites falls among the extant hawkers (Extended Data Fig. 5). We show that the
false ‘head’ of Meganeurula selysii and the rather poor preservation of the head of Erasipteroides valentini place
them well apart from all other taxa (Extended Data Figs 4–6). p
(
g
)
During the Late Carboniferous, there simultaneously existed comparatively small, damselfly-like
Odonatoptera29,30, probably living in densely forested environments, catching small prey along rivers or within
the forests themselves. Later, during the Permian, the Meganeuridae also diversified into a range of taxa, span-
ning sizes from gigantic to species whose wingspans more closely approximate those of extant Anisoptera7, and
confirming the co-existence of different life habits for these ancient flying predators. The discovery of evidence
relating to the palaeobiology of the charismatic, iconic, and giant dragonflies also reveals a remarkable consist-
ency in predatory biology, as well as a range of variants known still today, along the odonatopteran lineage over
the course of at least 300 million years. References 1. Kukalová-Peck, J. Carboniferous protodonatoid dragonfly nymphs and the synapomorphies of Odonatoptera and Ephemeroptera
(Insecta: Palaeoptera). Palaeodiversity 2, 169–198 (2009). y
Schneider, J. W. Taxonomie, Biostratigraphie und Palökologie der B 2. Schneider, J. W. Taxonomie, Biostratigraphie und Palökologie der Blattodea-Fauna aus dem Stefan von Commentry (Frankreich). Versuch einer Revision. Freiberger Forschungsh. (C) 384, 77–100 (1983).ll 3. Gewecke, M., Heinzel, H.-G. & Philippen, J. Role of antennae of the dragonfly Orthetrum cancellatum in flight control. Nature 249,
584–585 (1974).hl R., van Kleef, J. & Stange, G. The mapping of visual space by dragonfly lateral ocelli. J. Comp. Physiol. (A) 193, 495–513 (2007). ham, J. G. & Anthony, M. H. The skewness of the thorax in the Odonata. J. N. Y. Entomol. Soc. 11(3), 117–125 (1903). 4. Berry, R., van Kleef, J. & Stange, G. The mapping of visual space by dragonfly lateral ocelli. J. Comp. Physiol. (A) 193, 495–513 (2007)
5 N
dh
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gh
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5. Needham, J. G. & Anthony, M. H. The skewness of the thorax in the Odonata. J. N. Y. Entomol. Soc. 11(3), 117–125 (1903). h
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6. Brongniart, C. Sur un gigantesque Neurorthoptère, provenant des terrains houillers de Commentry (Allier). Compt. rend. hebdomadaires des séances Acad. Sci. 98, 832–833 (1884).fl 7. Nel, A.et al. Revision of Permo-Carboniferous griffenflies (Insecta: Odonatoptera: Meganisoptera) based upon new species and
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8. Wootton, R. J. & Kukalová-Peck, J. Flight adaptations in Palaeozoic Palaeoptera (Insecta). Biol. Rev. 75, 129–167 (2000). 9. Prokop, J. et al. Paleozoic nymphal wing pads support dual model of insect wing origins. Curr. Biol. 27, 263–269 (2017). 10 W
R J K k l
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k J N
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ld P Prokop, J. et al. Paleozoic nymphal wing pads support dual model o 10. Wootton, R. J., Kukalová-Peck, J., Newman, J. S. & Muzon, J. Smart engineering in the Mid-Carboniferous: how well could Paleozoic
dragonflies fly? Science 282, 749–751 (1998). ll
11. DiMichele, W. A. & Hook, R. W. Results 2, Extended Data Fig. 2). Among all
fossil and extant Odonatoptera, only the Aeshnidae and some ‘libelluloids’ (Macromiidae, some ‘Corduliidae’,
and Pantaliinae and Zyxommatinae among Libellulidae) have dorsally meeting compound eyes16–18, and are
‘hawkers’, “remaining in flight continuously throughout the day, and foraging in flight by swooping up to grab
insects passing overhead”19. Owing to the hypertrophied development of the dorsal portion of the compound
eyes and likely specialized ommatidia associated with such a condition, such dragonflies can more easily detect
objects (prey or predators) against the blue sky20–22. We can infer from the eyes’ shape that the condition was
similar for Meganeurites and that it would have also had excellent vision, consistent with the ‘hawker’ behaviour
implied by the size of its wings. Extant Aeshnidae have specialized ommatidia on dorsal part of the eyes, but,
unfortunately, the ommatidia are not preserved in the holotype of Meganeurites. Many of those extant taxa with
large and broadly confluent compound eyes in dorsal view are crepuscular, such as Zyxommatinae and Tholymis
(Libellulidae), Apomacromia (Corduliidae), Aeshna viridis, Limnetron (both Aeshnidae), or Gynacanthinae
(Extended Data Fig. 2)16,23–26. This is not the case for all dragonflies with broadly confluent compound eyes,
and some crepuscular gomphids have separated compound eyes. Accordingly, it is not possible to say with cer-
tainty that Meganeurites was similarly crepuscular, although this was most likely. The head of Meganeurites was Scientific REPortS | (2018) 8:12141 | DOI:10.1038/s41598-018-30629-w 3 Scientific REPortS | (2018) 8:12141 | DOI:10.1038/s41598-018-30629-w Author Contributions All authors prepared the manuscript; J.P., R.G., A.N. and M.P. prepared the figures; A.N. and R.G. designed the
program. References A new interpretation of dragon 32. Bechly, G. Morphologische Untersuchungen am Flügelgeäder der rezenten Libellen und deren Stammgruppenvertreter (Insecta;
Pterygota; Odonata), unter besonderer Berücksichtigung der Phylogenetischen Systematik und des Grundplanes der *Odonata. Petalura Spec. 2, 1–402 (1996). 32. Bechly, G. Morphologische Untersuchungen am Flügelgeäder der rezenten Libellen und deren Stammgruppenvertreter (Insecta;
Pterygota; Odonata), unter besonderer Berücksichtigung der Phylogenetischen Systematik und des Grundplanes der *Odonata. Petalura Spec. 2, 1–402 (1996). Acknowledgements g
We sincerely thank two anonymous referees for the very useful comments on the first version of the paper. This
work benefited from a grant of the French ‘Agence Nationale de la Recherche’ via the program ‘Investissements
d’avenir’ (ANR-11-INBS-0004-RECOLNAT). JP and MP gratefully acknowledge research support from the
Grant Agency of the Czech Republic No. 18-03118 S. The work of MSE was supported by US National Science
Foundation grant DEB-1144162. References Paleozoic terrestrial ecosystems. In A. K. Behrensmeyer et al., eds., Terrestrial ecosystems through
time. 205–325 (University of Chicago Press, 1992). y
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2. DiMichele, W. A. & Falcon-Lang, H. J. Fossil forests in growth position (T0 assemblages): origin, taphonomic biases and
palaeoecological significance. J. Geol. Soc. 168, 585–605 (2011). g
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13. Krings, M., Kerp, H., Taylor, E. L. & Taylor, T. N. Reconstruction of Pseudomariopteris busquetii, a vine-like Late Carboniferous-
Early Permian pteridosperm. Am. J. Bot. 88, 767–776 (2001). Early Permian pteridosperm. Am. J. Bot. 88, 767–776 (2001) y
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14. Falcon-Lang, H. A calamitalean forest preserved in growth position in the Pennsylvanian coal measures of South Wales: Implica
for palaeoecology, ontogeny and taphonomy. Rev. Palaeobot. Palynol. 214, 51–67 (2015).hlh p
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15. Pritchard, G. The prey of adult dragonflies in Northern Alberta. The Canadian Entomologist 96, 821–825 (1964).l 16. Watson, J. A. L. Apocordulia macrops, a new crepuscular gomphomacromiine dragonfly from South-East Australia (Odo
Corduliidae). J. Austral. Entomol. Soc. 9(4), 287–292 (1980). )
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17. Bechly, G. Phylogenetic systematics of Odonata. - homepage on Internet site: https://bechly.lima-city.de/phylosys.htm (2016). 18. Carle, F. L., Karl, M., Kjer, K. M. & May, M. L. A molecular phylogeny and classification of Anisoptera (Odonata). Arthropod
Phyl. 73, 281–301 (2015). 19. Olberg, R. M., Worthington, A. H., Fox, J. L., Bessette, C. E. & Loosemore, M. P. Prey size selection and distance estimation in
foraging adult dragonflies. J. Comp. Physiol. (A) 191, 791–797 (2005). Scientific REPortS | (2018) 8:12141 | DOI:10.1038/s41598-018-30629-w Scientific REPortS | (2018) 8:12141 | DOI:10.1038/s41598-018-30629-w 4 www.nature.com/scientificreports/ 20. Sherk, T. E. Development of the compound eyes of dragonflies (Odonata). III. Adult compound eyes. J. Exp. Zool. 203, 61–80 (1978). 21. Labhart, T. & Nilsson, D.-E. The dorsal eye of the dragonfly Sympetrum: specializations for prey detection against the blue sky. J. Comp. Physiol. 176, 437–453 (1995).hl 20. Sherk, T. E. Development of the compound eyes of dragonflies ( 20. Sherk, T. E. Development of the compound eyes of dragonflies (Odonata). III. Adult compound eyes. J. Exp. Zool. 203, 61 80 (1978). 21. Labhart, T. & Nilsson, D.-E. The dorsal eye of the dragonfly Sympetrum: specializations for prey detection against the blue sky. J. Comp. Physiol. References 176, 437–453 (1995).hl p
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2. Sauseng, M., Pabst, M.-A. & Kral, K. The dragonfly Libellula quadrimaculata (Odonata: Libellulidae) makes optimal use of the dorsa
fovea of the compound eyes during perching. Eur. J. Entomol. 100, 475–479 (2003).li fovea of the compound eyes during perching. Eur. J. Entomol. 100, 475–479 (2003). 23. Fraser, F. C. A handbook of the dragonflies of Australia with keys for the identification of all species. Proc. R. Zool. Soc. N. S. W. (pp. 1–67 (1960) p
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23. Fraser, F. C. A handbook of the dragonflies of Australia with keys for the identification of all species. Proc. R. Zool. Soc. N. S. W. (pp. 1–67 (1960). 24. Pinhey, E. C. G. D. (Odonata) of CentralAfrica. Occ. Pap. Rhodes-Livingstone Mus. 14, 1–97 (1961).l 25. Garrison, R. W., von Ellenrieder, N. & Louton, J. A. Dragonfly genera of the new world: an illustrated and annotated key to the
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27. Brauckmann, C., Koch, L. & Kemper, M. Spinnentiere (Arachnida) und Insekten aus den Vorhalle-Schichten (Namurium
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9. Jarzembowski, E. A. & Nel, A. The earliest damselfly-like insect and the origin of modern dragonflies (Insecta: Odonatoptera
Protozygoptera). Proc. Geol. Assoc. 113(2), 165–169 (2002).l 30. Nel, A., Bechly, G., Prokop, J., Béthoux, O. & Fleck, G. Systematics and evolution of Palaeozoic and Mesozoic damselfly-like
Odonatoptera of the ‘protozygopteran’ grade. J. Palaeont. 86(1), 81–104 (2012).l yg
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1. Riek, E. F. & Kukalová-Peck, J. A new interpretation of dragonfly wing venation based upon Early Carboniferous fossils from
Argentina (Insecta: Odonatoidea) and basic characters states in pterygote wings. Can. J. Zool. 62, 1150–1166 (1984). . Riek, E. F. & Kukalová-Peck, J. Additional Information Supplementary information accompanies this paper at https://doi.org/10.1038/s41598-018-30629-w.h Supplementary information accompanies this paper at https://doi.org/10.1038/s41598-018- Competing Interests: The authors declare no competing interests. Competing Interests: The authors declare no competing interests. Publisher's note: Springer Nature remains neutral with regard to jurisdictional claims in published maps and
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English
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Prophylactic antibiotics for postcataract surgery endophthalmitis: a systematic review and network meta-analysis of 6.8 million eyes
|
Scientific reports
| 2,022
|
cc-by
| 8,985
|
Ai Kato1,2, Nobuyuki Horita3, Ho Namkoong4, Eiichi Nomura1, Nami Masuhara2,
Takeshi Kaneko5, Nobuhisa Mizuki1 & Masaki Takeuchi1* Ai Kato1,2, Nobuyuki Horita3, Ho Namkoong4, Eiichi Nomura1, Nami Masuhara2,
Takeshi Kaneko5, Nobuhisa Mizuki1 & Masaki Takeuchi1* To reveal optimal antibiotic prophylactic regimen for postoperative endophthalmitis (POE), we
conducted systematic review and network meta-analysis. A total of 51 eligible original articles,
including two randomized controlled trials, were identified. In total, 4502 POE cases occurred in
6,809,732 eyes (0.066%). Intracameral injection of vancomycin had the best preventive effect (odds
ratio [OR] 0.03, 99.6% confidence interval [CI] 0.00–0.53, corrected P-value = 0.006, P-score = 0.945)
followed by intracameral injection of cefazoline (OR 0.09, 99.6% CI 0.02–0.42, corrected
P-value < 0.001, P-score = 0.821), cefuroxime (OR 0.18, 99.6% CI 0.09–0.35, corrected P-value < 0.001,
P-score = 0.660), and moxifloxacin (OR 0.36, 99.6% CI 0.16–0.79, corrected P-value = 0.003,
P-score = 0.455). While one randomized controlled trial supported each of intracameral cefuroxime
and moxifloxacin, no randomized controlled trial evaluated vancomycin and cefazoline. Sensitivity
analysis focusing on the administration route revealed that only intracameral injection (OR 0.19,
99.4% CI 0.12–0.30, corrected P-value < 0.001, P-score = 0.726) significantly decreased the risk of
postoperative endophthalmitis. In conclusion, intracameral injection of either vancomycin, cefazoline,
cefuroxime, or moxifloxacin prevented POE. Cataract surgery is the most commonly performed ophthalmologic procedure in many industrialized countries,
and its frequency continues to increase. An aging society and improved technologies are key factors augmenting
the number of cataract surgeries1. Endophthalmitis is a sight-threatening disorder caused by intraocular infec-
tion through endogenous or exogenous routes. Postoperative endophthalmitis (POE) is a possible complica-
tion of intraocular surgeries, particularly cataract surgery, and it can lead to loss of vision. The most common
cause of POE is bacteria from the eyelid flora2,3. Therefore, the use of perioperative antibiotics is a reasonable
strategy for reducing the occurrence of POE. In daily practice, various antibiotics have been used to prevent
endophthalmitis, and various routes of antibiotic administration have been proposed accordingly. However,
the benefit of antibiotic use has not been sufficiently clear until recently. Because the incidence of postcataract
surgery endophthalmitis is less than 0.1%, and it is difficult to design a randomized controlled trial (RCT) for
such a rare complication. Therefore, our practice has relied largely on evidence from observational studies. A meta-analysis is also helpful in overcoming disease rarity4. www.nature.com/scientificreports www.nature.com/scientificreports Prophylactic antibiotics
for postcataract surgery
endophthalmitis: a systematic
review and network meta‑analysis
of 6.8 million eyes
OPEN Ai Kato1,2, Nobuyuki Horita3, Ho Namkoong4, Eiichi Nomura1, Nami Masuhara2,
Takeshi Kaneko5, Nobuhisa Mizuki1 & Masaki Takeuchi1* Scientific Reports | (2022) 12:17416 www.nature.com/scientificreports/ www.nature.com/scientificreports/ Records identified from:
Databases (n = 1167)
PubMed 379, WOS 300
Cochrane 19, EMBASE 469
Records removed before
screening:
Duplicate records removed
(n = 588)
Records marked as ineligible
by automation tools (n = 0)
Records removed for other
reasons (n = 0)
Records screened
(n = 579)
Records excluded
(n = 456)
Reports sought for retrieval
(n = 123)
Reports not retrieved
(n = 0)
Reports assessed for eligibility
(n = 123)
Reports excluded (n = 84):
Not for prophylaxis (n = 3)
Not for antibiotics (n = 3)
Not for event frequency (n=5)
One arm study (n = 4)
Review/ Comment (n = 29)
Protocol (n = 3)
Duplicate data use (n = 18)
Non-English (n = 7)
Insufficient data (n = 7)
Erratum/ Retracted (n = 4)
Could not identify (n = 1)
Records identified from:
Citation searching (n = 114)
Reports assessed for eligibility
(n = 114)
Included studies
Qualitative review (n = 51)
Quantitative synthesis (n = 50)
Identification of studies via databases and registers
Identification of studies via other methods
Reports sought for retrieval
(n = 114)
Reports not retrieved
(n = 0)
Reports excluded (n = 105):
Not for cataract (n = 4)
Not for POE (n = 12)
Not for prophylaxis (n = 10)
Not for antibiotics (n = 29)
Not for frequency (n = 1)
Review/ Comment (n = 12)
Protocol (n = 1)
Duplicate data use (n = 34)
Non-English (n = 2)
Insufficient data (n = 1)
Identified by update search
(n = 4)
Figure 1. Preferred reporting items for systematic reviews and meta-analyses 2020 flow diagram. POE
postoperative endophthalmitis. Identification of studies via other methods Identification of studies via other methods Records identified from:
Citation searching (n = 114) Reports sought for retrieval
(n = 114) Reports not retrieved
(n = 0) Reports assessed for eligibility
(n = 123) Reports assessed for eligibility
(n = 114) Identified by update search
(n = 4) Included studies
Qualitative review (n = 51)
Quantitative synthesis (n = 50) Figure 1. Preferred reporting items for systematic reviews and meta-analyses 2020 flow diagram. POE
postoperative endophthalmitis. The current systematic review and network meta-analysis revealed the optimal antibiotic for preventing POE
using data from both randomized controlled trials and observational studies. Ai Kato1,2, Nobuyuki Horita3, Ho Namkoong4, Eiichi Nomura1, Nami Masuhara2,
Takeshi Kaneko5, Nobuhisa Mizuki1 & Masaki Takeuchi1* Published pairwise meta-analyses revealed that
perioperative intracameral vancomycin and moxifloxacin5, anterior chamber injection of moxifloxacin after
cataract surgery6, and intracameral cefuroxime and moxifloxacin after cataract surgery7 reduced the risk of
endophthalmitis compared with no antibiotic prophylaxis. However, each of these head-to-head meta-analyses
evaluated limited treatment options only. Therefore, the optimal antibiotic type and administration route for
endophthalmitis prevention are still not evident. 1Department of Ophthalmology and Visual Science, Yokohama City University Graduate School of Medicine,
3‑9 Fukuura, Kanazawa‑ku, Yokohama 236‑0004, Japan. 2Department of Ophthalmology, Chigasaki Municipal
Hospital, Chigasaki, Kanagawa, Japan. 3Chemotherapy Center, Yokohama City University Hospital, Yokohama,
Kanagawa, Japan. 4Department of Infectious Diseases, Keio University School of Medicine, Shinjuku, Tokyo,
Japan. 5Department of Pulmonology, Yokohama City University Graduate School of Medicine, Yokohama,
Kanagawa, Japan. *email: takeuchi@yokohama-cu.ac.jp | https://doi.org/10.1038/s41598-022-21423-w Scientific Reports | (2022) 12:17416 Scientific Reports | (2022) 12:17416 Results Study selection and characteristics. We found a total of 1167 and 114 articles by database search and
manual search, respectively (Fig. 1). After screening and full-text reading, 47 articles were found to be eligible
for our analysis. Approximately 1 year later, the updated database search detected four additional studies. (Fig. 1,
Supplementary Reference 1 and Supplementary Table 1). pp
y
pp
y
Among the 51 studies, 43 studies were retrospective observational studies, 6 were prospective observational
studies, and only 2 were RCTs (Table 1). The United States had the largest number of reports (N = 10), followed
by Spain (N = 7), India (N = 6), Brazil (N = 3), China (N = 3), and Sweden (N = 3). While 45 studies provided data
for head-to-head comparison in our study, 6 studies provided data for three or more treatment arms. Thirty-eight
reports (75%) designed an arm without prophylactic antibiotics. Single-drug intracameral cefuroxime (N = 15)
and single-drug intracameral moxifloxacin (N = 12) were the most widely used antibiotic regimens. The network
plot also revealed that the comparison between no prophylactic antibiotic and these two regimens was evaluated
most frequently (Fig. 2A).h The median number of eyes in a report was 25,001; however, the sample sizes varied greatly, ranging from
200 to 2,434,008. The total number of analyzed cases was 6,809,732, with 4502 endophthalmitis cases therein. Therefore, the raw event frequency was 0.066%.h h
y
Study quality was evaluated using the Newcastle–Ottawa Scale ranging from 7 to 9 (Table 1). The Cochrane
Risk of Bias Summary was also presented for two RCTs as Supplementary Fig. 1. Although the straightforward
clinical question of the current analysis made it easy to attain a high score on the scale, all observational studies
provided only unadjusted raw numbers of patients with and without endophthalmitis.i p
y
j
p
p
A study by Asencio11 was not used for quantitative synthesis because of the use of unspecified aminoglycoside
class agent and because it constituted an independent loop in the route model. Main analysis. www.nature.com/scientificreports/ CAZ ceftazidime, MFLX moxifloxacin, CPFX ciprofloxacin, OFLX ofloxacin, GFLX gatifloxacin, LVFX
levofloxacin, VCM vancomycin, NEOM neomycin, GM gentamycin, TB tobramycin, AZM azithromycin, CP
chloramphenicol, VCM vancomycin. ic intracameral, ed eye drop, ped pre-operative eye drop, irg irrigation, s
subconjunctival injection, pldg pledget. versus moxifloxacin eye drop; Asencio11, “aminoglycoside eyedrop plus subconjunctival gentamycin” versus
“aminoglycoside eyedrop plus irrigation with vancomycin plus gentamycin”; Bhatta14, “moxifloxacin intracam-
eral injection plus subconjunctival gentamycin” versus “subconjunctival gentamycin.”hh j
p
j
g
y
j
g
y
The network plot is shown in Fig. 2A. Overall, a moderate inconsistency was observed (I2 = 82%). The tota
umber of evaluated eyes was 6,141,523. y
A random-model network meta-analysis comprising of 36 reports revealed that intracameral vancomycin
had the best preventive effect for endophthalmitis with an OR of 0.03 (99.6% CI 0.00–0.53, Pc = 0.006, Fig. 3A). This treatment also had the highest P-score (0.945) among the 12 treatment options (Supplementary Table 2). Other antibiotics prevented POE were cefazoline intracameral injection (OR 0.09, 99.6% CI 0.02–0.42, Pc < 0.001,
P-score = 0.821), cefuroxime intracameral injection (OR 0.18, 99.6% CI 0.09–0.35, Pc < 0.001, P-score = 0.660),
and intracameral moxifloxacin (OR 0.36, 99.6% CI 0.16–0.79, Pc = 0.003, P-score = 0.455) (Fig. 3A, Supplemen-
tary Table 2). Although some other regimens had lower OR values, these regimens did not have a significant
prophylactic effect. Sensitivity analysis focusing on administration route. Data from 42 articles with 6,239,835 post-
surgical eyes were analyzed for this route-comparison analysis. Intracameral injection was compared with no
antibiotics in 31 studies, and this comparison involved the largest number of cases (Fig. 2B). According to this
network meta-analysis, two intracameral injection-related regimens (intracameral + subconjunctival injection,
OR 0.05, 99.4% CI 0.00–0.61, Pc = 0.010, P-score = 0.901; intracameral injection, OR 0.19, 99.4% CI 0.12–0.30,
Pc < 0.001, P-score = 0.637) significantly decreased POE risk (Fig. 3B, Supplementary Table 3). Of note, the route
with the lowest POE incidence and the highest P-score was intracameral + subconjunctival injection; however,
Bhatta14 was the only study who evaluated this route. The intra-cameral antibiotic doses used in the various
published literature were summarized in Table 1. The scatter plot for 31 studies that compared intracameral
injection and no antibiotic arms suggests marginal possibility of weak publication bias (Kendall test tau = 0.22,
P = 0.092 < 0.1, Supplementary Fig. 2). www.nature.com/scientificreports/ www.nature.com/scientificreports/ Study
Country
Design
Eyes
NOS
Arm 1
Arm 2
Arm 3–8
Vieira (2017) 55
Brazil
Retro
7195
7
ANY(ed)
ANY(ed) + MFLX(ic)
0.27 mg/0.05 mL
Wejde (2005) 56
Sweden
Pro
158,679
7
NONE
ANY(ic)
Yao (2013) 57
China
Retro
201,757
7
VCM 1 mg/0.1 mL(ic),
1%(irg) + TB(sc/top)
TB (irg/sc/top)
Yu-W-M (2008) 58
UK
Retro
37,170
7
NONE
CXM 1 mg/0.1 mL(ic)
CXM 50 mg/0.5 mL(sc) Table 1. Characteristics of included studies. RCT, randomized controlled trial; Pro, prospective
observational study; Retro, retrospective observational study. NOS, The Newcastle–Ottawa Scale. NONE,
no prophylactic antibiotics; CEZ, cefazoline; CXM, cefuroxime; CAZ, ceftazidime; MFLX, moxifloxacin;
CPFX, ciprofloxacin; OFLX, ofloxacin; GFLX, gatifloxacin; LVFX, levofloxacin; VCM, vancomycin; NEOM,
neomycin; AG, aminoglycoside; GM, gentamycin; TB, tobramycin; AZM, azithromycin; CP, Chloramphenicol. (ic), intracameral; (ed), eye drop; (ped), pre-operative eye drop; (irg), irrigation; (oint), ointment; (sc),
subconjunctival injection; (pldg), pledget; (top), topical. Table 1. Characteristics of included studies. RCT, randomized controlled trial; Pro, prospective h p
p
observational study; Retro, retrospective observational study. NOS, The Newcastle–Ottawa Scale. NONE, tl CEZ(ic)
CP(ed)
CP(ped)
CPFX(pldg)
CXM(ic)
M(irg)
CXM(sc)
LVFX(ed)
MFLX(ic)
NEOM(ped)
VCM(ic)
NONE
M(ic)+
X(ed)
Main model
B) Route model
C) Antibiotic model
ed
ic
ic+ed
ic+sc
irg
NONE
oint
ped
pldg
sc
AZM
CEZ
CP
CPFX
CXM
CXM+CPFX
CXM+LVFX
CXM+MFLX
CXM+OFLX
GFLX
LVFX
MFLX
MFLX+CPFX
MFLX+OFLX
NEOM
VCM
NONE
Figure 2. Network graphs. NONE no prophylactic antibiotics, CEZ cefazoline, CXM cefuroxime,
CAZ ceftazidime, MFLX moxifloxacin, CPFX ciprofloxacin, OFLX ofloxacin, GFLX gatifloxacin, LVFX
levofloxacin, VCM vancomycin, NEOM neomycin, GM gentamycin, TB tobramycin, AZM azithromycin, CP
chloramphenicol, VCM vancomycin. ic intracameral, ed eye drop, ped pre-operative eye drop, irg irrigation, sc
subconjunctival injection, pldg pledget. B) Route model
ed
ic
ic+ed
ic+sc
irg
NONE
oint
ped
pldg
sc CEZ(ic)
CP(ed)
CP(ped)
CPFX(pldg)
CXM(ic)
CXM(irg)
CXM(sc)
LVFX(ed)
MFLX(ic)
NEOM(ped)
VCM(ic)
NONE
CXM(ic)+
LVFX(ed)
A) Main model A) Main model C) Antibiotic model
AZM
CEZ
CP
CPFX
CXM
CXM+CPFX
CXM+LVFX
CXM+MFLX
CXM+OFLX
GFLX
LVFX
MFLX
MFLX+CPFX
MFLX+OFLX
NEOM
VCM
NONE ped Figure 2. Network graphs. NONE no prophylactic antibiotics, CEZ cefazoline, CXM cefuroxime, tllll Figure 2. Network graphs. NONE no prophylactic antibiotics, CEZ cefazoline, CXM cefuroxime,
CAZ ceftazidime, MFLX moxifloxacin, CPFX ciprofloxacin, OFLX ofloxacin, GFLX gatifloxacin, LVFX
levofloxacin, VCM vancomycin, NEOM neomycin, GM gentamycin, TB tobramycin, AZM azithromycin, CP
chloramphenicol, VCM vancomycin. ic intracameral, ed eye drop, ped pre-operative eye drop, irg irrigation, sc
subconjunctival injection, pldg pledget. Results Four eligible studies were excluded from the main analysis because they composited inde-
pendent loops: Tuñí-P54, azithromycin eye drop versus moxifloxacin eye drop; Jensen28, gatifloxacin eye drop Scientific Reports | (2022) 12:17416 | https://doi.org/10.1038/s41598-022-21423-w www.nature.com/scientificreports/ /
p
/
Study
Country
Design
Eyes
NOS
Arm 1
Arm 2
Arm 3–8
Akkach (2019) 8
Australia
Retro
5900
7
NONE
CP(ed)
Allen (1974) 9
USA
Retro
36,000
7
NONE
NEOM 0.5% (ped)
CP 0.4%(ped)
Anijeet (2010) 10
UK
Retro
16,606
7
NONE
VCM 1 mg/0.1 mL(ic)
Asencio (2014) 11
Spain
Retro
14,285
7
GM 40 mg/0.5 mL(sc) + AG(ed)
GM 0.08% (irg) + VCM
0.1%(irg) + AG(ed)
Barreau (2012) 12
France
Pro
5115
7
NONE
CXM(ic)
Barry (2007) 13
Ireland
RCT
16,211
9
NONE
CXM(ic)
LVFX(ed)
CXM(ic) + LVFX(ed)
Bhatta (2021)14
Nepal
Retro
111,983
7
MFLX 0.5 mg/0.1 mL(ic) + GM
20 mg/0.5 mL(sc)
GM 20 mg/0.5 mL(sc)
Bohigian (2007) 15
USA
Retro
5268
7
NONE
CPFX(pldg)
Cheng (2014) 16
Australia
Retro
99,448
7
NONE
CEZ(ic)
Colleaux (2000) 17
Canada
Retro
13,886
7
NONE
ANY(sc)
Daien (2016) 18
France
Retro
2,434,008
7
None
MFLX 0.5 mg/0.1 mL(ic)
Dave (2021) 19
India
Retro
66,967
7
NONE
CXM(ic)
Ferlini (2013) 20
Argentina
Retro
6001
7
NONE
MFLX 0.5 mg/0.1 mL(ic)
Friling (2019) 21
Sweden
Retro
109,534
7
NONE
CXM 1 mg/mL(ic)
Galvis (2014) 22
Colombia
Retro
2674
7
NONE
MFLX 0.25 mg/0.05 mL(ic)
Garat (2009) 23
Spain
Retro
18,579
7
NONE
CEZ 2.5 mg/0.1 mL(ic)
Garcia-S (2010) 24
Spain
Retro
13,652
7
NONE
CXM 1 mg/0.1 mL(ic)
Guo (2021) 25
Australia
Retro
42,877
7
CP(ed)
NONE
Haripriya (2019) 26
India
Retro
2,062,643
7
NONE
MFLX 0.5 mg/0.1 mL(ic)
Hollander (2004) 27
USA
Retro
2718
7
NONE
ANY(oint)
Jensen (2008) 28
USA
Retro
29,276
7
ANY(ed)
GFLX 0.3%(ed)
MFLX 0.5%(ed)
Katz (2015) 29
Israel
Retro
56,094
7
NONE
CXM(ic)
Kingrey (2019) 30
USA
Retro
30,649
7
ANY(top)
ANY(top) + VCM(ic)
Li (2018) 31
China
Retro
4210
7
NONE
CXM(ic)
Li (2019) 32
USA
Retro
32,526
7
ANY(top)
ANY(ic)
Lundström (2007) 33
Sweden
Pro
225,471
7
NONE
CXM(ic)
Ma (2020) 34
China
Retro
61,299
7
NONE
CXM 0.03% (irg)
Matsuura (2013) 35
Japan
Retro
34,752
7
NONE
MFLX 0.05–0.5 mg/mL(ic)
Melega (2019) 36
Brazil
RCT
3640
9
NONE
MFLX 0.15 mg/0.03 mL (ic)
Moser (2019) 37
Spain
Retro
55,984
7
OFLX 0.3%(top)
CEZ 2.4 mg/0.3 mL(ic) + OFLX
0.3%(top)
CEZ
2.4 mg/0.3 mL(ic) + MFLX(top)
Moshirfar (2007) 38
USA
Retro
20,013
7
GFLX(top)
MFLX(top)
Paiva (2016) 39
Brazil
Retro
200
7
NONE
MFLX 150-μg/0.03 mL (ic)
Porwal (2021) 40
India
Retro
19,853
7
NONE
CP 5 mg/mL(ed)
Råen (2013) 41
Norway
Retro
15,254
7
NONE
MFLX(ic)
Rahman (2015) 42
Ireland
Retro
16,975
7
NONE
CXM(ic)
Rathi (2020) 43
India
Pro
42,466
7
CXM 1 mg/0.1 mL(ic)
CXM1mg/0.1 mL(ic) + CPFX(top)
CXM1mg/0.1 mL(ic) + OFLX(top)
CXM1mg/0.1 mL(ic) + MFLX(top)
MFLX 0.5 mg/0.1 mL(ic)
MFLX
0.5 mg/0.1L(ic) + CPFX(top)
MFLX
0.5 mg/0.1 mL(ic) + OFLX(top)
MFLX
0.5 mg/0.1 mL(ic) + MFLX(top)
Rodriguez-C (2013) 44
Spain
Retro
19,463
7
NONE
CXM 1 mg/0.1 mL(ic)
Romero-A (2012) 45
Spain
Pro
25,001
7
NONE
CEZ 1 mg/0.1 mL(ic)
Rudnisky (2014) 46
Canada
Retro
75,295
7
NONE
MFLX(ic)
Rush (2015) 47
USA
Retro
20,719
7
NONE
VCM 1 mg/0.1 mL(ic)
Sharma (2015) 48
India
Pro
15,122
7
NONE
CXM 1 mg/0.1 mL(ic)
Shenoy (2021) 49
India
Retro
214,782
7
NONE
MFLX 0.5 mg/0.1 mL(ic)
Shorstein (2013) 50
USA
Retro
4916
7
NONE
CXM or MFLX 0.5 mg/0.1 mL,
2.5 mg/0.5 mL, 5 mg/mL(ic)
Shorstein (2021) 51
USA
Retro
204,655
7
CXM 1 mg/0.1 mL(ic)
MFLX 0.1%(ic)
Sobaci G (2009) 52
Turkey
Retro
6099
7
NONE
CXM(ic)
Tan (2012) 53
Singapore
Retro
50,177
7
CEZ 1 mg/0.1 mL(sc) + GM
8 mg/0.2 mL(sc)
CEZ 1 mg/0.1 mL(ic)
Tuñí-P (2018) 54
Spain
Retro
15,146
7
AZM(ed) 15 mg/g
CPFX(ed) 3 mg/ml
Continued https://doi.org/10.1038/s41598-022-21423-w www.nature.com/scientificreports/ NONE, no prophylactic antibiotics; CEZ, cefazoline; CXM, cefuroxime; MFLX,
moxifloxacin; VCM, vancomycin; CP, Chloramphenicol. (ic), intracameral; (ed), eye drop. Table 2. Pooled arm-level postoperative endophthalmitis frequency. Frequency was pooled using generic
inverse variance method. 95% CI: 95% confidence interval. About two or more articles were presented for
preventive option evaluation. NONE, no prophylactic antibiotics; CEZ, cefazoline; CXM, cefuroxime; MFLX,
moxifloxacin; VCM, vancomycin; CP, Chloramphenicol. (ic), intracameral; (ed), eye drop. Sensitivity analysis focusing antibiotic type. An additional network meta-analysis was conducted to
compare the antibiotic types as a sensitivity analysis. Two studies that made separate small loops were excluded
from the analysis: Yao57 compared vancomycin plus tobramycin and tobramycin; Moser37 comparing three arms;
ofloxacin, cefazoline plus ofloxacin, and cefazoline plus moxifloxacin. A random-model network meta-analysis
incorporating 6,396,287 cases from 40 studies revealed that vancomycin was associated with the lowest ophthal-
mitis risk (OR 0.03, 99.7% CI 0.00–0.57, Pc = 0.007) and the highest P-score of 0.930 (Figs. 2C, 3C, Supplemen-
tary Table 4). Cefazoline (OR 0.09, 99.7% CI 0.02–0.36, Pc < 0.001), cefuroxime (OR 0.19, 99.7% CI 0.10–0.36,
Pc < 0.001), and moxifloxacin (OR 0.36, 99.7% CI 0.16–0.81, Pc < 0.001) also prevented postsurgical endophthal-
mitis (Fig. 3C). No combination treatment decreased the risk of endophthalmitis in this model (Fig. 3C). Sensitivity analyses at single‑arm‑level incidence. The pooled arm-level endophthalmitis incidence
among eyes without antibiotics was 0.082% (95% CI 0.079–0.085, Table 2). Intracameral injection of vanco-
mycin (0.004%, 95%CI 0–0.024), cefazoline (0.011%, 95%CI 0.001–0.022), moxifloxacin (OR 0.019, 95% CI
0.017–0.021), and cefuroxime (OR 0.045, 95% CI 0.041–0.048) lowered the risk of endophthalmitis in patients
compared with those who did not use prophylactic antibiotics. www.nature.com/scientificreports/ The use of ointment (OR 0.10, 99.4% CI 0.00–8.77, P-score = 0.720) and
irrigation (OR 0.160, 99.4% CI 0.02–1.65, P-score = 0.668) resulted in lower OR values than intracameral injec-
tion; however, data for these administration routes are scarce (Fig. 3B). Scientific Reports | (2022) 12:17416 | https://doi.org/10.1038/s41598-022-21423-w www.nature.com/scientificreports/ www.nature.com/scientificreports/ Figure 3. Forest plots. Common comparator was no antibiotic prophylaxis (NONE). Please note that 99.6%
confidence interval (CI) for the main model, 99.4% CI for the route model, and 99.7% CI for the antibiotic
model were used. Please see Supplementary Table 7 for more detail. Pc, Bonferroni-corrected P value. Please see
Supplementary Table 7 for more detail. NONE no prophylactic antibiotics, CEZ cefazoline, CXM cefuroxime,
CAZ ceftazidime, MFLX moxifloxacin, CPFX ciprofloxacin, OFLX ofloxacin, GFLX gatifloxacin, LVFX
levofloxacin, VCM vancomycin, NEOM neomycin, GM gentamycin, TB tobramycin, AZM azithromycin, CP
chloramphenicol, VCM vancomycin. ic intracameral, ed eye drop, ped pre-operative eye drop, irg irrigation, sc
subconjunctival injection, pldg pledget. Figure 3. Forest plots. Common comparator was no antibiotic prophylaxis (NONE). Please note that 99.6%
confidence interval (CI) for the main model, 99.4% CI for the route model, and 99.7% CI for the antibiotic
model were used. Please see Supplementary Table 7 for more detail. Pc, Bonferroni-corrected P value. Please see
Supplementary Table 7 for more detail. NONE no prophylactic antibiotics, CEZ cefazoline, CXM cefuroxime,
CAZ ceftazidime, MFLX moxifloxacin, CPFX ciprofloxacin, OFLX ofloxacin, GFLX gatifloxacin, LVFX
levofloxacin, VCM vancomycin, NEOM neomycin, GM gentamycin, TB tobramycin, AZM azithromycin, CP
chloramphenicol, VCM vancomycin. ic intracameral, ed eye drop, ped pre-operative eye drop, irg irrigation, sc
subconjunctival injection, pldg pledget. Table 2. Pooled arm-level postoperative endophthalmitis frequency. Frequency was pooled using generic
inverse variance method. 95% CI: 95% confidence interval. About two or more articles were presented for
preventive option evaluation. NONE, no prophylactic antibiotics; CEZ, cefazoline; CXM, cefuroxime; MFLX,
moxifloxacin; VCM, vancomycin; CP, Chloramphenicol. (ic), intracameral; (ed), eye drop. Antibiotic
Studies (RCTs)
Eyes
Pooled frequency (%)
95% CI (%)
VCM(ic)
2 (0)
22,088
0.004
0.000–0.024
CEZ(ic)
4 (0)
70,249
0.011
0.000–0.022
MFLX(ic)
12 (1)
1,573,724
0.019
0.017–0.021
CP(ed)
4 (0)
55,498
0.027
0.011–0.043
CXM(ic)
15 (1)
1,450,272
0.045
0.041–0.048
NONE
39 (2)
2,987,583
0.082
0.079–0.085 Antibiotic
Studies (RCTs)
Eyes
Pooled frequency (%)
95% CI (%)
VCM(ic)
2 (0)
22,088
0.004
0.000–0.024
CEZ(ic)
4 (0)
70,249
0.011
0.000–0.022
MFLX(ic)
12 (1)
1,573,724
0.019
0.017–0.021
CP(ed)
4 (0)
55,498
0.027
0.011–0.043
CXM(ic)
15 (1)
1,450,272
0.045
0.041–0.048
NONE
39 (2)
2,987,583
0.082
0.079–0.085 Table 2. Pooled arm-level postoperative endophthalmitis frequency. Frequency was pooled using generic
inverse variance method. 95% CI: 95% confidence interval. About two or more articles were presented for
preventive option evaluation. www.nature.com/scientificreports/ described that POE
was most frequently caused by Staphylococcus epidermidis and that gram-negative organisms were rarely isolated
from this population61. Cataracts are an age-related condition, and elderly patients with a history of hospitaliza-
tion or previous antimicrobial therapy are likely to carry methicillin‐resistant S. aureus or methicillin‐resistant
S. epidermidis. From the perspective of antimicrobial spectrum, it is easy to explain why vancomycin, which is
effective for methicillin-resistant microbes, was highly effective in preventing endophthalmitis. Cefazoline is
a narrow-spectrum first-generation cephalosporin. That is especially effective against gram-positive bacteria,
and it may be an optimal agent to cover POE-causing microbes. Cefazoline is widely used to prevent wound
infection in various surgeries involving skin incisions62. Moxifloxacin is a broad-spectrum antibiotic that covers
gram-positive, gram-negative, and anaerobic bacteria63. However, moxifloxacin is usually not prescribed for the
treatment of gram-positive coccus infections because more potent antibiotics with narrower coverage are pre-
ferred in terms of bacterial resistance64. In fact, recent studies reported that the frequency of coagulase-negative
staphylococcus-resistant against moxifloxacin has increased to more than 50%65,66. Antibiotic agent for preven-
tion of postcataract surgery should be carefully considered. Regarding the results of the network meta-analysis
and the antimicrobial spectrum, vancomycin and cefazolin provided into the anterior chamber are attractive
options. Nevertheless, vancomycin and cefazoline have been evaluated in a small number of observational stud-
ies and in far fewer patients than cefuroxime and moxifloxacin (Tables 1, 2). We hope that more research will
evaluate intracameral vancomycin and cefazoline in the future. y
Limitations of this study should be mentioned. First, a majority of the articles used for quantitative syn-
thesis were observational studies without confounding factor adjustment (Table 1). The frequency of POE of
0.066% makes it very difficult to conduct high-quality RCTs and prospective studies. We also mentioned in the
“limitation” that the study year might influence the antibiotic efficacy results. In addition to the prophylactic
administration of antimicrobial agents, the development of postoperative endophthalmitis is also associated with
underlying diseases, therapeutic agents, incision type, disinfection, and intraoperative complications. However,
these factors were not considered in this study. Moreover, the registered protocol’s insufficient description, lack
of inquiry for the missing data, inclusion of conference abstract, possibility of clustered endophthalmitis, and
inconsistent results among pooled studies may be limitations of our study. Despite this limitation, our research
integrated the currently available data using a solid methodology. www.nature.com/scientificreports/ www.nature.com/scientificreports/ multiple interventions are present in a single subject59. Network meta-analysis allows us to estimate the relative
effects of all interventions by comparing direct and indirect evidence. multiple interventions are present in a single subject59. Network meta-analysis allows us to estimate the relative
effects of all interventions by comparing direct and indirect evidence. f
Among a wide variety of techniques, intracameral administration is currently the most reliable prophylaxis
procedure with accumulated evidence (Fig. 3A,B). Intracameral vancomycin and cefazoline injections led to the
best OR and P-scores in the main model (Fig. 3A, Supplementary Table 2). Cefuroxime and moxifloxacin via
intracameral injection with the next best OR were supported by more robust evidence from numerous studies
including one RCT for each drug (Table 1, Fig. 3A). These findings were validated by sensitivity analysis (Fig. 3C). To date, intracameral cefuroxime and moxifloxacin have been frequently evaluated on this topic; however, vanco-
mycin and cefazoline may work as superior preventive medications. Efficacy of antibiotics through other routes
such as ointment, irrigation, and subconjunctival injection were unclear. Furthermore, combination regimen
advantage could not be confirmed.h i
We detected only two RCTs on this topic during our search. The European Society of Cataract and Refractive
Surgeons multicenter study published in 2007 applied a 2 by 2 factorial design for 16,603 patients13. The use of
intracameral cefuroxime injection soon after surgery lowered the risk of POE, whereas topical perioperative
levofloxacin did not13. In 2019, Melega et al. reported another RCT that recruited 3640 patients. Intracameral
moxifloxacin injection reduced the occurrence of postcataract endophthalmitis. Two ultra-large-scale retro-
spective cohort studies also confirmed the effectiveness of prophylactic intracameral antibiotic administration. Daien et al. investigated data from more than 2 million subjects and concluded that intracameral cefuroxime
injection reduced the frequency of POE18. According to a recent Indian observational study with 2 million post-
surgical eyes, intracameral moxifloxacin lowered the incidence26. Based on these RCTs and large cohort studies,
intracameral cefuroxime and moxifloxacin were used as first-choice prophylaxis for POE after cataract surgery. lit
On the other hand, according to our network meta-analysis, vancomycin and cefazoline inoculated into the
anterior chamber might be a better choice. We would like to discuss the merit of vancomycin and cefazoline in
terms of antibacterial spectrum. Lalwani et al. reported that coagulase-negative staphylococcus accounted for 50
of 73 (68.4%) eyes as causative microbe of endophthalmitis after cataract surgery60. Fisch et al. www.nature.com/scientificreports/ Our data would help clinicians and researchers
select prophylactic antimicrobial administration after cataract surgery.i t
In conclusion, we performed the first network meta-analyses using data of more than 6.8 million eyes to iden-
tify efficacious antibiotic regimens to prevent POE. Multiple analyses confirmed the advantages of single-agent
intracameral antibiotic administration. Cumulative evidence suggests that intracameral injection of cefuroxime
and moxifloxacin decreased endophthalmitis. Vancomycin and cefazoline injected into the anterior chamber
may be a better option. Single-agent intracameral injection of either vancomycin, cefazoline, cefuroxime, or
moxifloxacin prevented POE, and we hope that in future, more research will evaluate intracameral vancomycin
and cefazoline in detail. Discussion We conducted the first network meta-analysis to comprehensively evaluate the efficacy of antibiotics admin-
istered for the prevention of POE in a population of 6.8 million eyes. This study highlighted the efficacy of
intracameral injection of cefuroxime and moxifloxacin in the prevention of POE in cataract surgery. Network
meta-analysis is an analytical method developed as an extension of pairwise meta-analysis and is useful when Scientific Reports | (2022) 12:17416 | https://doi.org/10.1038/s41598-022-21423-w Methods
O
i Pro-
phylactic antibiotics were categorized with a combination of antibiotic type and administration route for the
main analysis. Antibiotics type was grouped by generic names regardless of brand names. Administration routes
were categorized into followings: intracameral injection, eye drop, pre-operative eye drop, irrigation, subcon-
junctival injection, ointment, and pledget. A combined regimen of two or more antibiotics was also allowed. Quality assessment. The Newcastle–Ottawa Quality Assessment Scale for cohort studies was used for
quality assessment. This scale was originally designed for non-RCT studies. However, we used this scale for both
RCT and observational studies because each item of the scale is applicable even for an RCT. The Cochrane Risk
of Bias Tool was used to additionally evaluate the two RCTs. Data extraction. The two review authors (AK and MT) extracted the study characteristics, such as author
name, year of publication, country of origin, study title, type of antibiotic, route of administration, and number
of endophthalmitis events input into Excel sheet. The two review authors checked the original research papers
together to solve this once there was a disagreement. When this process did not work well, a third review author
(NH) made the decision. Primary outcome from the main analysis. In the main analysis, the frequencies of postcataract surgery
endophthalmitis were compared in terms of odds ratio (OR) as the primary endpoint using a random-model
network meta-analysis. Treatment arms were determined by the combination of antibiotic type and administra-
tion route, e.g., "intracameral cefuroxime injection". Non-specific categories were not included in the analysis. For example, "intracameral injection of any antibiotic" and "topical administration of vancomycin or moxifloxa-
cin" were excluded. "Topical" administration was not allowed as a category since it was too vague. Secondary outcomes from the sensitivity analysis. The secondary outcomes were also the frequen-
cies of postcataract surgery endophthalmitis compared and measured using OR. In the first sensitivity network
meta-analysis, treatments were categorized by administration route regardless of antibiotic type (route model). The second sensitivity network meta-analysis compared antibiotics ignoring administration maneuvers (antibi-
otic model).h )
Treatment-level endophthalmitis frequencies were calculated using a generic variance meta-analysis. The
Agresti and Coullb method was applied to estimate standard error68. Statistics. The proportion of eyes with endophthalmitis were compared between the two treatment groups
using ORs. When one or more cells were null in a two-by-two contingency table, 0.5 was added to all cells as con-
tinuity correction. Methods
O
i Overview. The protocol for this systematic review, which complied with the Preferred Reporting Items for
Systematic Reviews and Meta-Analyses (PRISMA) statement (Supplementary Table 5) has been registered on
the website of the University Hospitals Information Network (UMIN) Center (ID: UMIN000044376)67 [UMIN
Center. UMIN Clinical Trials Registry. Available at https://www.umin.ac.jp/ctr/index.htm. Accessed on Novem-
ber 25, 2021]. No industry sponsor had any role in our study. Scientific Reports | (2022) 12:17416 | https://doi.org/10.1038/s41598-022-21423-w www.nature.com/scientificreports/ Study search. The electronic database search formulas for PubMed, Web of Science Core Collection, Cochrane
Advanced Search, and Embase were composited by well-experienced investigators and are listed in Supplementary
Table 6. These databases were searched on May 28, 2021 without time period limitation. An explosion was used for the
Embase. Additional manual searches were performed independently by two review authors (AK and MT). References
in the review articles (Supplementary Reference 2) and eligible original articles (Table 1) were checked for this step. An
updated database search on PubMed was conducted on July 22, 2022.i p
y
A review author (NH) provided the EndNote file of candidate articles from database for two review authors
after duplication removal using EndNote function. At this step, an additional Excel file of the same list was made. The two review authors independently screened all studies in the file and marked potentially included articles
on the Excel sheet. The two review authors read the full text of articles that were marked by at least one review
author to eventually select eligible articles. When two authors could not resolve a disagreement, a third author
participated in the discussion accordingly (NH). Publication type and trial design. Both published randomized controlled trials and observational stud-
ies were included as long as they were written in English language and if they provided sufficient data. A confer-
ence abstract was also permitted as part of the search outcome in this study. Patients. Patients who underwent cataract surgery were included in this study. Cataract surgery included
phacoemulsification and aspiration, as well as intracapsular and extracapsular cataract extraction. The degree of
cataract hardness, length and location of the incision wound, concurrent intraocular lens insertion, and intraop-
erative complications were not considered. No exclusion criteria were set for age and comorbidities, such as diabetes and immune-compromised status Treatments. Perioperative antibiotics that were administered to patients via any route were accepted. Methods
O
i The logarithm of the ORs and their standard errors were pooled using frequentist weighted
least squares approach random-model network meta-analysis by the "netmeta" package in R (Gerta Rucker,
Freiburg, Germany)69,70. A no prophylactic antibiotic (NONE) arm was used as the common comparator, and
each prophylactic arm was tested for comparison with the NONE arm. P-values in the network meta-analy-
sis were Bonferroni-corrected to prevent an increase in alpha error due to multiple comparisons (corrected P
value, Pc). Similarly, the alpha values for each analysis were reduced, and the confidence intervals were adjusted
accordingly (Supplementary Table 7). Overall heterogeneity was assessed by the package. The P-score, which
makes ranking order on a 0–1 scale, a frequentist analog to the surface under the cumulative ranking curve, was
provided for each network meta-analysis model71. Scientific Reports | (2022) 12:17416 | https://doi.org/10.1038/s41598-022-21423-w www.nature.com/scientificreports/ I2 statistics used for heterogeneity evaluation was interpreted as: I2 = 0%, no heterogeneity; I2 > 0% and < 30%,
minimal heterogeneity; I2 ≥ 30% and < 60%, mild heterogeneity; I2 ≥ 60% and < 85%, moderate heterogeneity;
and I2 ≥ 85%, considerable heterogeneity. Data availabilityh y
The data supporting the findings of this study are available from the corresponding author upon reasonable
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Lancet 338, 1373–1376 (1991). 62. Bratzler, D. W. et al. Clinical practice guidelines for antimicrobial prophylaxis in surgery. Surg. Infect. (Larchmt). 14, 73–156 (2 63. Deramo, V. A., Lai, J. C., Fastenberg, D. M. & Udell, I. J. Acute endophthalmitis in eyes treated prophylactically with gatif
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64. Hooper, D. C. Fluoroquinolone resistance among Gram-positive cocci. The Lancet Infect Dis. 2, 530–538 (2002). A.K. and N.H. contributed equally to this paper. A.K., N.H., No. Mi. and M.T. designed the study. A.K., N.H.,
H.K. and M.T. contributed to the data collection. A.K., N.H. and M.T. analyzed data. A.K., N.H., E.N., Na.Ma.,
T.K. and M.T. wrote the manuscript. All authors reviewed the manuscript. Author contributions https://doi.org/10.1038/s41598-022-21423-w Scientific Reports | (2022) 12:17416 | www.nature.com/scientificreports/ Competing interests
N.H. received research grant from Daiichi Sankyo, and No. Mi. received research grant from Otsuka Pharma-
ceutical. Other authors declare no competing interests. p
g
N.H. received research grant from Daiichi Sankyo, and No. Mi. received research grant from Otsuka Pharma-
ceutical. Other authors declare no competing interests. Additional information
l
f
T Supplementary Information The online version contains supplementary material available at https://doi.org/
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Evaluation of group electronegativities and hardness (softness) of group 14 elements and containing functional groups through density functional theory and correlation with NMR spectra data
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Eclética química
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Evaluation of group electronegativities and hardness (soft-
ness) of group 14 elements and containing functional
groups through density functional theory and correlation
with NMR spectra data R. Vivas-Reyes*, A. Aria
Grupo de Química Cuántica y Computacional, Universidad de Cartagena, Facultad de Ciencias Naturales y Exactas,
Programa de Química, Cartagena-Colombia
*rvivasr@unicartagena.edu.co Abstract: Quantum Chemical calculations for group 14 elements of Periodic Table (C, Si, Ge, Sn, Pb)
and their functional groups have been carried out using Density Functional Theory (DFT) based reac-
tivity descriptors such as group electronegativities, hardness and softness. DFT calculations were per-
formed for a large series of tetracoordinated Sn compounds of the CH3SnRR’X type, where X is a halo-
gen and R and R’ are alkyl, halogenated alkyl, alkoxy, or alkyl thio groups. The results were interpret-
ed in terms of calculated electronegativity and hardness of the SnRR’X groups, applying a methodol-
ogy previously developed by Geerlings and coworkers (J. Phys. Chem. 1993, 97, 1826). These calcu-
lations allowed to see the regularities concerning the influence of the nature of organic groups RR’ and
inorganic group X on electronegativities and hardness of the SnRR’X groups; in this case, it was found
a very good correlation between the electronegativity of the fragment and experimental 119Sn chemi-
cal shifts, a property that sensitively reflects the change in the valence electronic structure of mole-
cules. This work was complemented with the study of some compounds of the EX and ER types, where
E= C, Si, Ge, Sn and R= CH3, H, which was performed to study the influence that the central atom has
on the electronegativity and hardness of molecules, or whether these properties are mainly affected for
the type of ligand bound to the central atom. All these calculations were performed using the B3PW91
functional together with the 6-311++G** basis set level for H, C, Si, Ge, F, Cl and Br atoms and the
3-21G for Sn and I atoms. Keywords: DFT Calculations; NMR; SnRR’X groups; electronegativity; hardness; softness. EQ10-AF 21/8/14 6:15 Page 69 EQ10-AF 21/8/14 6:15 Page 69 Introduction tronegativity has already a longstanding history,
the field of group hardness is considerably less
developed [3]. The concept of group electronega-
tivies is one of the oldest and most thoroughly
investigated properties with a variety of scales
[4]: due to the lack of a sharp definition of the
electronegativity concept itself, there are scales Concepts such as group quantities, elec-
tronegativities, hardness and softness are impor-
tant properties that have played a key role in the
organization and rationalization of chemical facts
and observations [1-3]. Whereas group elec- 69 Ecl. Quím., São Paulo, 33(3): 69-76, 2008 EQ10-AF 21/8/14 6:15 Page 70 In this study, electronegativities, hardness
and softness have been studied to several series of
tin compounds of the SnRR’R’’X type, where the
set of tin compounds in this study always contains
a methyl group (R’’= CH3) together with groups
X= F, Cl, Br, I and R= H, ph, OR, SR, Et, pr, Bu. These calculations will allow us to see the regular-
ities concerning the influence of the nature of the
organic groups RR’ and the inorganic group X on
electronegativities and hardness of the SnRR’X
fragments; in this case it was found a very good
correlation between the electronegativity of frag-
ments and 119Sn Chemical shifts, a property which
sensitively reflects the change in the valence elec-
tronic structure of molecules [15]. that were derived starting from experimental data
such as bond vibrational data [5], inductive
parameters [6], among others. An important
advance which has helped to solve this situation
is the definition of electronegativity by Iczkowski
and Margave as the negative of derivative of the
energy E of a system with respect to the number
of electrons N [7], later identified with the nega-
tive of chemical potential by Parr and cowokers
[8] within the context of Density Functional
Theory (DFT) [9]. The last step offered the possi-
bility of non empirical calculations of atomic,
group and molecular electronegativities [1,10]. In the other hand, the concepts of hardness
and softness were introduced by Pearson [11], but
only after the identification by Parr and Pearson
[12] of the atomic or molecular hardness as the
second derivative of the energy with respect to
the number of electrons and the softness as its
inverse, the way to a parameter-free evaluation
was paved. Introduction The use of the principle of hard and
soft acids and basis requieres taking into account
the group electronegativity of the corresponding
groups [5,6] and for this reason, it is impotant to
know if the comparative group electronegativities
of organometallic groups remain invariant in
isostructural molecules. This work was complemented with the
study of some compounds of the EX and ER
types, where E= C, Si, Ge, Sn and R= CH3, H and
a comparison between their electronegativity and
hardness (softness) was done in order to study the
influence that the central atom has on the elec-
tronegativity or hardness (softness), or whether
these properties are mainly affected by the type
of ligand bound to the central atom. Group electronegativity Among the most important trends found
(see Table 1), we can highlight for the first series
of compounds these ones: EF3 > ECl3 > EBr3 >
E(I)3 and EH3 > E(CH3)3. The first one shows
how the electronegativity decreases as X pro-
gresses down from Cl to I, while the second one
reflects the same behavior when H atoms are
replaced by CH3 fragments. These general trends
of group electronegativities showed a good cor-
relation with chemical intuition. However, it is
also necessary to look at the trends that may exist
between the different atoms with the different
substituents to estimate the role the electronega-
tivity of the central atom could have in these
cases. It is known that the electronegativity of a
group is primarily determined by the electroneg-
ativity of the central atom, but it is also known
that the electronegativity of the atoms bound to
the central atom has a clear effect on the elec-
tronegativity of the group [1]. The hardness of chemical species was
defined by Parr and Pearson [12]: (3) (3) If only integer values are used for N, this
expression can be rewritten as: If only integer values are used for N, this
expression can be rewritten as: (4) (4) Finally, the global softness is defined as
[25]: Finally, the global softness is defined as
25]: [25]: (5) (5) We can use the expressions (2), (4) and (5)
as working equations to calculate the group elec-
tronegativity, group hardness and softness. For a group G (e.g. the CH3 group), the
corresponding (neutral) radical was considered in
the geometry the group usually adopts when
being part of a molecule and not in the equilibri-
um geometry of the isolated radical. The CH3. radical, for example, is therefore considered in a
pyramidal geometry and not in the planar geom-
etry it adopts as an individual molecule. Within
this option, standard bonds, angles and distances
were used throughout this work using the stan-
dard structure given by Molden [26]. Theory and computational details The methodology developed by Geerlings
and coworkers [1-3] was applied in this case to a
series that contains atoms of the 14 group of
Periodic Table (C, Si, Ge, Sn, and Pb). Due to the
large amount of experimental data on Sn NMR
shifts that is available [13,14], this property can
be an ideal probe to characterize charge distribu-
tions and the influence that different substituents
have on it [15]. This methodology allows an eval-
uation of the discrepancies in electronegativity
scales and associated properties at uniform level. In DFT [9] the electronegativity c was
identified by Parr [8] as the negative of the partial
derivative of the energy E of an atomic or molec-
ular system with respect to the number of elec-
trons N, for a constant external (i.e. due to the
nuclei) potential u(r) [7]. A detailed discussion about the calculation
of hardness, softness, and electronegativity can
be found elsewhere [2,9], and only the relevant
expressions used for the evaluation of these quan-
tities are given below. The electronegativity (χ),
global hardness (h), and softness (S), are calcu-
lated within DFT as follows: In spite of computational advances and the
availability of large number of experimental data
[13,14], no many theoretical studies have been
reported for group electronegativities, hardness
and softness on molecules that contain atoms of
the fourth group [15-17]. Peregudov and his
group have done studies on this kind of com-
pounds [18-22], finding some good correlation
between experimental and theoretical values of
the electronegativity and experimental 19F NMR
spectroscopy data. (1) (1) Assuming
a
quadratic
relationship
between the energy and the number of electrons,
and using a finite difference approximation, one
can obtain from (1), Mulliken’s formula [23] for
the electronegativity: 70 Ecl. Quím., São Paulo, 33(3): 69-76, 2008 EQ10-AF 21/8/14 6:15 Page 71 The calculations were carried out at
B3PW91 fuctional [27, 28] together with the 6-
311++G** basis set [29] for H, C, Si, Ge, F, Cl
and Br and the 3-21G for Sn and I. All calcula-
tions were performed using the Gaussian 94 pro-
gram [30]. (2) (2) where IE and EA are the vertical ionisation ener-
gy and electron affinity of the system, respec-
tively. Moreover, theoretical justification was
given from Sanderson’s equalization principle
[24], stating that when two atoms or fragments
unite to form a molecule, their electronegativities
will adjust to the same intermediate value [8]. Group electronegativity The group electronegativies of the EX
groups decreased monotonically in the series X3Ge
> X3Sn > X3Si > X3C, but this trend changes when
the halogen is changed by methyl or H: (CH3)3Ge
> (CH3)3C > (CH3)3Sn > (CH3)3Si; H3Si > H3C>
H3Sn > H3Ge, and the electronegativity values
(eV) of the central atoms decrease in the series C
(2.55) > Ge (2.01) > Sn (1.96) > Si (1.90) [31]. The
absolute electronegativities of these atoms are
(eV): 6.27 for C; 4.60 for Si; 4.3 for Ge and 3.90
for Sn [32] and they decrease in the order C > Si >
Ge > Sn. On the other hand, the values of spectral
electronegativities of these elements are C (2.54) >
Ge (1.994) > Si (1.916) > Sn (1.884). From the
obtained results and the above mentioned data of
central atoms electronegativities, we can say that
the electronegativity values of X3E, (CH3)3E and
H3E groups show that there is no correlation with By calculating the radical (N electron sys-
tem), the cation (N-1 electron system) and the
anion (N+1 electron system) energies of the
group G, all at the same geometry (c.f. the
requirement of constant external potential u(r),
one can determine the ionization energy and elec-
tron affinity of G and thus the group quantities. In
the case of SnRR’R’’X the R’’= CH3 group was
always removed. 71 Ecl. Quím., São Paulo, 33(3): 69-76, 2008 EQ10-AF 21/8/14 6:15 Page 72 Table 2. Calculated electronegativity (χ, in eV),
hardness (η, in eV) and softness (S, in 10-2 eV-1) of
Me3SnCH3-nXn groups (n= 1, 2, 3) and experimen-
tal 119Sn chemical shifts (in ppm) [13-14]. Table 2. Calculated electronegativity (χ, in eV),
hardness (η, in eV) and softness (S, in 10-2 eV-1) of
Me3SnCH3-nXn groups (n= 1, 2, 3) and experimen-
tal 119Sn chemical shifts (in ppm) [13-14]. the scale of absolute electronegativities or another
of the earlier mentioned scales and, in this way, it
is not possible to estimate group electronegativities
based on the central atoms absolute electronegativ-
ities data for this kind of compounds. Ecl. Quím., São Paulo, 33(3): 69-76, 2008 †Calculated at B3PW91/3-21G level. 72
Ecl. Quím., São Paulo, 33(3): 69-76, 2008 Group electronegativity Molecule
Chemical Shifts
χ
η
S
Me3SnCH2Cl
4
4.64
2.94
16.98
Me3SnCHCl2
33
4.76
2.83
17.61
Me3SnCCl3
85
4.98
2.81
17.75
Me3SnCH2Br
6
4.67
2.92
17.13
Me3SnCHBr2
42
4.77
2.76
18.09
Me3SnCBr3
101
4.97
2.72
18.35 Molecule
Chemical Shifts
χ
η
S Other series of group electronegativities,
in which the central atom is always tin, was also
studied; in Table 2, a series of compounds of the
Me3SnCH3-nXn (X= Cl, Br) type is depicted. Substitution of a hydrogen atom in the methyl
group by a more electronegative halogen atom
(Cl, Br) results in the following trends for group
electronegativity: Me2SnCCl3 > Me2SnCHCl2 >
Me2SnCH2Cl and Me2SnCBr3 > Me2SnCHBr2 >
Me2SnCH2Br, nicely reflecting the hydrogen
substitution pattern. It can be noted in Table 2
that for a given number of halogen atoms, the
bromine derivatives are more electronegative
than the chlorine ones. Table 3 shows the same
trends for the MenSnX3-n (n= 1, 2, 3; X= Cl, Br, Table 3. Calculated electronegativity (χ, in eV),
hardness (η, in eV) and softness (S, in 10-2 eV-1) of
Me4-nSnXn groups (n= 1, 2, 3) and experimental
119Sn chemical shifts (in ppm), [13-14]. Molecule
Chemical Shifts
χ
η
S
Me3SnCl
164.2
4.56
3.27
15.26
Me2SnCl2
137.0
5.50
3.23
15.46
MeSnCl3
21.0
6.72
3.12
15.99
Me3SnBr
128.0
4.60
3.19
15.68
Me2SnBr2
70.0
5.51
3.03
16.49
MeSnBr3
-165.0
6.59
2.82
17.71
Me3SnI
38.6
4.29
3.14
15.92
Me2SnI2
-159.0
5.39
2.79
17.90 Molecule
Chemical Shifts
χ
η
S Table 1. Electronegativity (χ, in eV), hardness (η, in
e V) and softness (S, in 10-2 eV-1) of the EX3 frag-
ments calculated at B3PW91/6-311++G** level. Fragment
Electronegativity
Hardness
Softness I) groups, where the halogen exerts direct influ-
ence on the tin atom. In Table 4, evaluation of the electronega-
tivity of Me3-nSnHn compounds shows that this
property increases when systematically replacing
the methyl group in SnMe3 by a more elec-
tronegative hydrogen atom, which confirms
again the great influence that the substituents
have on the electronegativity of the molecule. Ecl. Quím., São Paulo, 33(3): 69-76, 2008 72 exceptions can be found in the cases of
Me3SnBun, Me3SnBus and Me3SnBut. Of course,
the small difference between the values makes
more difficult to affirm or refuse this trend. Group electronegativity The series Me3SnOR and Me3SnSR’ (with
R= H, Me, ipr, tBut and Ph and R’= Me, Et and
tBut) as can be seen in Table 5, resulted from
replacing the Me by more electronegative OR and
SR groups, shows that an increment in the elec-
tronegativity of the ligands brings as a consequence
an increase of electronegativity with respect to the
series of Me3SnR molecules (see Table 6). In general, as depicted in Tables 2-6, the
trends obtained from the electronegativity values
with the different groups and with different kind
of subtitutions on tin atom show an increment
when increasing the electron-withdrawing prop-
erties of substituents. In Table 6, the evolution of the calculated
electronegativity of Me3SnR compounds is
shown. As it can be seen, the effect of substitut-
ing a methyl by other alkyl group appears to be
small compared to substituting it by hydrogen
atoms or halogens, due to the lower difference
among the electronegativity values of the alkyl
substituents. However, a small trend can be
found for these molecules: in general terms, as
the substituents become bigger (in atom number
and volume), the electronegativity values
become greater. This is only a general trend and Ecl. Quím., São Paulo, 33(3): 69-76, 2008 Comparison with experimental data Several experimental measurable quanti-
ties have been postulated to correlate with sub-
stituent electronegativities. A great prospect aris-
es from the chemical shifts for which many
experimental values are available in literature
[13-14]. The results of calculations of group elec-
tronegativities, hardness and softness of
SnRR’R’’X 119Sn chemical shifts for the corre-
sponding compounds are given in the Tables 2-6. It is pleasing to notice that good linear rela-
tionships are observed between 119Sn chemical
shifts and the corresponding values of electronega- Table 5. Calculated electronegativity (χ, in eV),
hardness (η, in eV) and softness (S, in10-2 eV-1) of
Me3SnOR and Me3SnSR groups and experimental
119Sn chemical shifts (in ppm), [13-14]. Figure 1. Experimental δ(119Sn) vs Electrone-
gativity of Me2SnCHnX3-n groups (X= Cl, Br) (see
Table 2). Figure 2. Experimental δ(119Sn) vs Electronega-
tivity of Men+1SnH3-n compounds (see Table 4). Figure 1. Experimental δ(119Sn) vs Electrone-
gativity of Me2SnCHnX3-n groups (X= Cl, Br) (see
Table 2). Molecule
Chemical Shifts
χ
η
S
Me3SnOH
118.0
4.24
3.28
15.25
Me3SnOCH3
129.0
4.12
3.21
15.59
Me3SnOPri
109.0
4.06
3.10
16.14
Me3SnOBu
91.0
4.08
3.06
16.35
Me3SnOPh
134.3
4.31
3.07
16.30
Me3SnSCH3
90.0
4.02
3.04
16.46
Me3SnSEt
78.0
3.97
3.01
16.63
Me3SnSBu
55.5
3.88
2.93
17.05 Figure 1. Experimental δ(119Sn) vs Electrone-
gativity of Me2SnCHnX3-n groups (X= Cl, Br) (see
Table 2). Figure 1. Experimental δ(119Sn) vs Electrone-
gativity of Me2SnCHnX3-n groups (X= Cl, Br) (see
Table 2). Figure 1. Experimental δ(119Sn) vs Electrone-
gativity of Me2SnCHnX3-n groups (X= Cl, Br) (see
Table 2). Table 6. Calculated electronegativity (χ, in eV),
hardness (η, in eV) and softness (S, in10-2 eV-1) of
Me3SnR groups and experimental 119Sn chemical
shifts (in ppm), [13-14]. Molecule
Chemical Shifts
χ
η
S
Me4Sn
0.0
3.91
3.19
15.63
Me3SnEt
4.2
3.94
3.14
15.92
Me3SnPrn
-2.3
3.97
3.13
16.03
Me3SnPri
8.6
4.01
3.02
16.45
Me3SnBun
-1.0
3.96
3.13
16.03
Me3SnBus
3.3
4.00
3.06
16.34
Me3SnBut
19.5
3.93
3.03
16.50 Figure 2. Experimental δ(119Sn) vs Electronega-
tivity of Men+1SnH3-n compounds (see Table 4). Figure 2. Experimental δ(119Sn) vs Electronega-
tivity of Men+1SnH3-n compounds (see Table 4). Figure 2. Experimental δ(119Sn) vs Electronega-
tivity of Men+1SnH3-n compounds (see Table 4). 73 EQ10-AF 21/8/14 6:15 Page 74 Figure 3. Experimental 119Sn chemical shifts vs
Electronegativity of Me2SnOR and Me2SnSR
groups (see Table 5). Figure 5. Comparison with experimental data Experimental 119Sn Chemical shifts vs
values obtained via the dual correlation between
hardness and Electronegativity of Me4-nSnXn com-
pounds (Table 3). Figure 3. Experimental 119Sn chemical shifts vs
Electronegativity of Me2SnOR and Me2SnSR
groups (see Table 5). Figure 5. Experimental 119Sn Chemical shifts vs
values obtained via the dual correlation between
hardness and Electronegativity of Me4-nSnXn com-
pounds (Table 3). Group hardness and softness tivities (see Figures 1-3), all these relationships
characterized by large correlation coefficients. In this part, only the main trends for the
groups’ hardness will be considered. The results
for the groups’ softness are completely analo-
gous, since softness is simply the inverse of the
group hardness divided by two. The evolution of
the group hardness when going from up to down
in the IV group in periodic table is: CX3 > SiX3 >
GeX3 > SnX3 and CR3 > SiR3 > GeR3 > SnR3 (R=
H, CH3, ph), and the values of absolute hardness
of the atoms are: 5.00, 3.38, 3.35, and 3.05 for C,
Si, Ge and Sn respectively [9] and they decrease
in the order C > Si > Ge > Sn. It can be seen that
this last trend is the same as the ones found for
their corresponding groups when they act as cen-
tral atoms. This could mean that the group hard-
ness and softness are largely determined by the
hardness (or softness) of the central atoms. There are two groups (Me3SnR and Me3-
nSnXn) in which the relation is not so simple, but it
was also found a dependency with the hardness;
the relationships suggest a good correlation with
these quantities. A simple correlation with the elec-
tronegativity fails, but when including the hardness
in a dual correlation, it yields in both cases a fair
result as seen in Figures 4 and 5. These two series
will be discussed in more detail when the hardness
of these types of molecules will be analyzed. 119Sn CS= -172.086c-146.67h+1140.75 (Me3SnR);
r=0.968. 119Sn CS= -172.086c-146.67h+1140.75 (Me3SnR);
r=0.968. All these results suggest that a change in
119Sn chemical shifts data in this kind of com-
pounds qualitatively could reflect, with a large
degree of certainty, the corresponding change in
group electronegativities. As it can be seen in Table 2, replacing a
hydrogen atom of the methyl in the SnMe3 group
by a softer halogen (Cl, Br), systematically
decreases the hardness, which means that
increasing the number of halogens for these mol-
ecules continuously increases the group softness. The sequence for a given number of halogens
shows higher softness for the bromine than for
the chlorine-containing groups in agreement with
the higher softness of bromine compared to a
with the chlorine atom. When in Table 6 a methyl
group is replaced by a halogen (Cl, Br, I), the
result is also a decreasing value of hardness
(except for the mono and dichloro cases), in
accord with the hardness sequence (eV): CH3
(4.87) > Cl (4.70) > Br (4.24) [9]. On the other
hand, the introduction of a harder hydrogen atom Figure 4. Experimental 119Sn Chemical shifts vs
values obtained via the dual correlation between
hardness and electronegativity of Me3SnR com-
pounds (Table 6). Figure 4. Experimental 119Sn Chemical shifts vs
values obtained via the dual correlation between
hardness and electronegativity of Me3SnR com-
pounds (Table 6). Ecl. Quím., São Paulo, 33(3): 69-76, 2008 74 larities concerning the influence of the nature of
organic and inorganic groups on electronegativi-
ties. These data also could be used for interpreta-
tion of reactivity and how this reactivity is affect-
ed by the presence of different substituents and
groups in a molecule. replacing a softer methyl group results in an
increment of hardness (Table 3). A similar case
can be found in Table 5, when the replacement of
S by a harder O, makes the global group softness
decreases. Also for this last set of molecules, it is
shown that the hardness is affected by the nature
of the alkyl group in both cases. The comparison between the group elec-
tronegativities and experimental chemical shift
values is satisfactory and all these results sug-
gests that a change in 119Sn chemical shifts data
in this kind of compounds qualitatively reflects
with a large degree of certainty the corresponding
change in group electronegativities. 119Sn CS= -172.086c-146.67h+1140.75 (Me3SnR);
r=0.968. Figure 6 shows that there is a good cor-
relation between hardness (in addition with elec-
tronegativity) and the NMR chemical shifts of the
MenSnX4-n series; this good agreement can be due
to the fact that the change of a methyl group by an
halogen is more accentuated that when the change
is made for an alkyl group. In fact, the difference
in hardness values between the whole MenSnX4-n
series is 0.48, while the difference in the values of
the Me3SnR series is only 0.16. When a softer sub-
stituting group (e.g. methyl) is replaced by a hard-
er one (halogen), this causes the 119Sn resonance to
shift to lower values. In Table 3, two facts can be
observed: first, as the halide becomes heavier and
thus softer (Cl < Br < I), d(119Sn) values become
lower. Second, as the number of X (n= 1, 2, 3)
increases, the molecule becomes softer and again,
chemical shifts change to lower values (even neg-
ative ones). Exactly the contrary tendency is
observed in the SnMe4-nHn set. The inclusion of the 6-311++G** basis set
has a greater a influence on the values for the
group electronegativities, hardness and softness
for the Si, Ge, and Sn compounds than for the C
ones, which could be due to the fact that a greater
base set describes better the correlation effect,
which is important when the size of the atoms
enlarges; additionally, a diffuse function gives
better description of the anionic system. References [1] F.De Proft, W.Langenaeker , P.Geerlings, J.Phys.Chem. 97 (1993) 1826. [1] F.De Proft, W.Langenaeker , P.Geerlings, J.Phys.Chem. 97 (1993) 1826. Figure 6. Experimental δ(119Sn) of compounds vs
Hardness of Me2SnCHnX3-n group (X= Cl, Br) (see
Table 2). Figure 6. Experimental δ(119Sn) of compounds vs
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)
[2] P.Geerlings, F. De Proft, W. Langenaeker Chem Rev. 103,
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and
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The Effects of Practice on the Concurrent Performance of a Speech and Postural Task in Persons with Parkinson Disease and Healthy Controls
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Brigham Young University
Brigham Young University
BYU ScholarsArchive
BYU ScholarsArchive Faculty Publications The Effects of Practice on the Concurrent Performance of a
The Effects of Practice on the Concurrent Performance of a
Speech and Postural Task in Persons with Parkinson Disease and
Speech and Postural Task in Persons with Parkinson Disease and
Healthy Controls
Healthy Controls K. Bo Foreman
University of Utah Christopher Dromey
Brigham Young University, dromey@byu.edu Shawn Nissen
Brigham Young University
See next page for additional authors
Part of the Communication Sciences and Disorders Commons, and the Physical Therapy Commons
Original Publication Citation
Original Publication Citation
Foreman, K.B., Sondrup, S., Dromey, C., Jarvis, E., Nissen, S. & Dibble, L.E. (2013). The effects of
practice on the concurrent performance of a speech and postural task in persons with
Parkinson disease and healthy controls. Parkinson’s Disease, vol. 2013, Article ID 987621, 8
pages. Shawn Nissen
Brigham Young University
See next page for additional authors
Part of the Communication Sciences and Disorders Commons, and the Physical Therapy Commons
Original Publication Citation
Original Publication Citation
Foreman, K.B., Sondrup, S., Dromey, C., Jarvis, E., Nissen, S. & Dibble, L.E. (2013). The effects of
practice on the concurrent performance of a speech and postural task in persons with
Parkinson disease and healthy controls. Parkinson’s Disease, vol. 2013, Article ID 987621, 8
pages. This Peer-Reviewed Article is brought to you for free and open access by BYU ScholarsArchive. It has been
accepted for inclusion in Faculty Publications by an authorized administrator of BYU ScholarsArchive. For more
information, please contact ellen_amatangelo@byu.edu. Authors
Authors
K. Bo Foreman, Stuart Sondrup, Christopher Dromey, Eon Jarvis, Shawn Nissen, and Leland E. Dibble eman, Stuart Sondrup, Christopher Dromey, Eon Jarvis, Shawn Nissen, and Leland E. Dibble BYU ScholarsArchive Citation
BYU ScholarsArchive Citation Foreman, K. Bo; Sondrup, Stuart; Dromey, Christopher; Jarvis, Eon; Nissen, Shawn; and Dibble, Leland E.,
"The Effects of Practice on the Concurrent Performance of a Speech and Postural Task in Persons with
Parkinson Disease and Healthy Controls" (2013). Faculty Publications. 1751. https://scholarsarchive.byu.edu/facpub/1751 This Peer-Reviewed Article is brought to you for free and open access by BYU ScholarsArchive. It has been
accepted for inclusion in Faculty Publications by an authorized administrator of BYU ScholarsArchive. For more
information, please contact ellen_amatangelo@byu.edu. This peer-reviewed article is available at BYU ScholarsArchive: https://scholarsarchive.byu.edu/fac This peer-reviewed article is available at BYU ScholarsArchive: https://scholarsarchive.byu.edu/facpub/1751 Authors
Authors Hindawi Publishing Corporation
Parkinson’s Disease
Volume 2013, Article ID 987621, 8 pages
http://dx.doi.org/10.1155/2013/987621 Hindawi Publishing Corporation
Parkinson’s Disease
Volume 2013, Article ID 987621, 8 pages
http://dx.doi.org/10.1155/2013/987621 ,
1 University of Utah, Department of Physical Therapy, 520 Wakara Way, Salt Lake City, UT 84108, USA
2 Brigham Young University, Department of Communication Disorders, 120 MCKB, Provo, UT 84602, USA 1 University of Utah, Department of Physical Therapy, 520 Wakara Way, Salt Lake City, UT 84108, USA
2 Brigham Young University, Department of Communication Disorders, 120 MCKB, Provo, UT 84602, USA Correspondence should be addressed to K. Bo Foreman; bo.foreman@hsc.utah.edu Received 14 February 2013; Revised 15 May 2013; Accepted 23 May 2013 Academic Editor: Alice Nieuwboer Copyright © 2013 K. Bo Foreman et al. This is an open access article distributed under the Creative Commons Attribution License,
which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. Purpose. Persons with Parkinson disease (PD) demonstrate deficits in motor learning as well as bidirectional interference (the
performance of one task concurrently interferes with the performance of another task) during dual-task performance. Few studies
have examined the practice dosages necessary for behavioral change in rehabilitation relevant tasks. Therefore, to compare the
effects of age and PD on motor learning during dual-task performance, this pilot study examined persons with PD as well as
neurologically healthy participants during concurrent performance of postural and speaking tasks. Methods. Seven persons with
PD and 7 healthy age-matched and 10 healthy young control subjects were tested in a motion capture facility. Task performances
were performed concurrently and recorded during 3 time periods (acquisition (beginning and ending), 48-hour retention, and
1-week retention). Postural control and speech articulatory acoustic variables were measured. Results. Healthy young participants
consistently performed better than other groups on all measured postural and speech variables. Healthy young participants showed
decreased variability at retention, while persons with PD and healthy age-matched controls were unable to consistently improve
their performance as a result of practice. No changes were noted in the speech variables. Conclusion. The lack of consistent changes
in motor performance in any of the tasks, except in the healthy young group, suggests a decreased efficiency of motor learning in
the age-matched and PD groups and argues for increased practice dosages during balance training. 2. Methods 2.1. Design and Selection of Participants. This study included
3 groups: (1) persons with PD (PD group), (2) healthy age-
matched control participants (AM group), and (3) healthy
young adult control participants (HY group). Utilizing move-
ment velocity outcomes for between group effect sizes from
Dromey et al. [11] (Cohen’s 𝑑= 1.6) and Jessop et al. [8]
(Cohen’s 𝑑= 1.4) a priori power calculations indicated that
between 7 and 10 individuals in each group were needed to
provide 80% power with an alpha level of 0.05. The accessible
population for the PD group was individuals from our
facility’s Movement Disorders clinic. Inclusion criteria for the
PD group included a confirmed diagnosis of idiopathic PD
and mild to moderate disease severity (Hoehn and Yahr Stage
I–III). For the HY group, participants had to be between 18
and 40 years of age. All three groups had to have the physical
and cognitive abilities to actively participate in the study
procedures. Exclusion criteria included individuals who were
cognitively unable to understand or follow study instructions,
previous surgical management of PD, or individuals with
significant orthopaedic (i.e., fracture, moderate-to-severe
osteoarthritis) or neurological (i.e., stroke, traumatic brain
injury, and neuropathy) injury. The accessible population for
the AM and HY groups was from the university community
or relatives of the individuals with PD. A general exclusion
criterion for all groups was a history of concomitant medical
conditions that limited their ability to perform the proposed
testing. Individual performance of the postural control and
speech tasks was tested prior to the initial trials of dual-
task practice. A substantial dual-task deficit in both posture
and speech measures has been reported on previously [11]. For this study, the postural control and speech tasks were
performed simultaneously and were synchronized using an
auditory cue triggered from loading a second force plate that
emitted a loud sound when loaded over 10 Newtons. This
trigger placed a timestamp in both the auditory and motion
capture data for synchronization purposes and signaled the
subject to simultaneously perform the postural control and
speech tasks. Testing was performed over three time periods utilizing
a classic motor learning paradigm that used an acquisition
phase with a larger number of practice trials separated in
time from two retention phases with fewer trials [23, 24]. 1. Introduction All
testing was performed in the Motion Capture Core Facility
using an 8-camera Vicon Motion Analysis System (Vicon
Motion Systems, Centennial, CO, USA) and an Advanced
Medical Technologies Inc. force platform (OR6-7 series,
AMTI, Watertown, MA, USA). Speaking tasks were recorded
using a stereo headset with a microphone (Logitech, Inc.,
Newark, CA, USA) and a computer-based audio recording
program (Audacity, version 1.3.5). For testing, participants
wore black tight fitting clothing and no shoes. Passive
reflective markers were placed on bony prominences utilizing
a 15-segment full body standardized gait analysis marker set
(Plug-In Gait marker set; Vicon Motion Systems, Centennial,
CO) [21, 22]. Following marker placement, participants
were asked to stand in a comfortable position on the force
plate, which was covered with solid color butcher paper. To insure standardized foot position between test periods,
each individual’s feet were traced with a marking pen, and
these tracings were used as the starting position for all
trials. In addition, all subjects were instructed to begin trials
with their arms positioned comfortably at their side. Motion
capture data (marker trajectories and kinetic data) were
synchronized using Vicon Nexus Software (Vicon Motion
Systems, Centennial, CO, USA). While a recent study demonstrated that persons with PD
could benefit from dual-task practice during gait [5], to our
knowledge, no studies have examined changes in measures
of anticipatory postural control and stability as a result of
practice in dual-task conditions. In addition, it is unclear
if persons with PD can improve performance and retain
these changes over time when exposed to dosages of practice
commonly utilized in the clinic [15, 16].f To address this issue, this study examined the effects
of age and PD on practice-based changes in concurrent
postural task and speech motor task performance (dual-
task condition). The postural control and speech tasks were
chosen because of their limited response to pharmacological
treatment [17, 18]. Given the limitations of pharmacological
treatments, behavioural interventions such as practice may
be the most promising means of improving postural control
and speech in individuals with PD. Specifically, based on
previous research [11, 13], we hypothesized that persons with
PD would demonstrate performance deficits in concurrently
performed postural and speaking tasks when compared to
healthy age-matched and healthy young controls. 1. Introduction tasks (dual-task deficits) [3, 4]. Previous research suggests
that persons with PD can demonstrate retention of practiced
tasks (defined as learning) [5]. However, the retention is
generally not as good as the retention for persons without the
disease, and the overall rate of skill acquisition is slowed [6].f Parkinson disease (PD) is thought to begin in the peripheral
nervous system and progress to the central nervous system
through the enteric, autonomic, and olfactory pathways [1]. Only with neuronal cell loss in the midbrain does PD begin
to manifest its cardinal motor signs (akinesia, bradykinesia,
tremor, rigidity, and postural instability). Although these
motor signs are the most recognizable features of PD, the
neurology community is developing a greater appreciation of
deficits that extend beyond motor function [2]. One cause for disappointing intervention effects in neu-
rologic rehabilitation may be the lack of appropriate dosage
[7]. In support of this idea, studies that examined increased
practice of single task activities such as balance reactions
and volitional weight shifts in persons with PD have demon-
strated improved center of mass control and protective
stepping responses [8, 9]. Although persons with PD appear
to benefit from single-task practice, less is known about
their ability to benefit from practice in dual-task conditions. Two signs of PD that may have profound implications
for rehabilitation potential are the impairments of motor
learning and difficulty with performance of concurrent motor 2 Parkinson’s Disease Dual task conditions acutely degrade postural performance
[10–12] as well as gait steadiness and symmetry [13, 14] in
individuals with PD. 2.2. Tasks, Instrumentation, and Procedures. All subjects
signed an IRB-approved consent form prior to participating. The postural control task was a stationary base of support
rise to toes (RTT) movement during which participants were
instructed to the following “rise to your toes as fast as you
can and stay as high and stable as you can for 5 seconds.”
This task was selected because it required participants to
voluntarily move from a stable (full foot-to-ground contact)
to an unstable posture (only forefoot-to-ground contact) and
maintain a stable position. The RTT movement has been
used as a measure of postural control in previous studies
[11, 17]. The speech task involved the repetitive reading
of standardized sentences that were selected because they
allowed inferences about lingual excursions [11, 19, 20]. 1. Introduction In addition,
based on a research examining motor learning in PD [6],
we hypothesized that the effects of practice on concurrently
performed postural and speaking tasks would be different
for individuals with PD compared to neurologically healthy
individuals. 2. Methods In order to control for dopamine replacement medication
effects, persons with PD were tested at the same time each
day with testing of the PD subjects beginning approximately
1 hour after taking their medications. 2.3. Data Processing and Analysis. The independent variables
used for analysis were group assignment (PD group, AM
group, and HY group) and practice phase (beginning of
acquisition, end of acquisition, 48-hour retention, and 1-week
retention). The dependent variables used for data analyses for
the postural task were related to motor planning, postural
coordination, and postural stability.l Reaction time (RT) reflected the time from the go signal
until the onset of COP movement. Previous motor control
research supports that the processing time taken from a go
signal until movement onset reflects motor planning [23,
25]. Longer reaction times taken prior to the beginning of
movement are considered to reflect increased motor planning
demands. The recordings were analyzed with Praat software (ver-
sion 5.0.47; Amsterdam, Netherlands). The methods for data
reduction and analysis have been detailed previously [11]. The
speech acoustic measures were selected because they have
been associated in previous studies with changes in articu-
latory function in speakers with PD and have appeared to
be sensitive to dual-task interference and practice-mediated
improvements [11, 19, 20]. In order to visualize the biomechanical coordination of
the center of pressure during movement from the foot flat
to the on toes position, we chose two postural coordination
variables (center of pressure velocity (COP Vel) as well
as center of mass (COM) and center of pressure (COP)
difference) [26]. Center of pressure velocity was calculated
as the rate of change of the net center of pressure dur-
ing the initial 0.25 seconds of anterior COP movement. Greater COP velocity was interpreted as improved postural
coordination while reduced COP velocity was interpreted
as bradykinetic postural coordination. Center of pressure-
COM difference (COP-COM difference) was calculated as
the maximal difference between the sagittal plane locations
of the COP and the vertical projection of the COM onto the
floor. Previous research has shown that persons with greater
postural coordination allow a larger separation of the COP
and COM positions during postural control tasks than less
stable individuals [17, 27]. For each variable, the average of 3 consecutive trials
(or one “block”) was used as the representative dependent
variable. 2. Methods The first time period was the acquisition phase (day 1) in
which participants completed 21 dual-task trials segregated
into 7 blocks of 3 trials with 30 seconds rest between trials
and 2 minutes rest between blocks. The second and third
time periods were the 48-hour retention phase and the 1-
week retention phase, respectively. For both retention phases, Parkinson’s Disease 3 comfortable rate and loudness. The sentences on the paper
were printed using a large font and positioned on a stand
at a comfortable reading position for each subject. These
sentences were: “the boot on top is packed to keep” and “the
boy gave a shout at the sight of the cake”. These sentences
were selected because they included the corner vowels and
several diphthongs that allowed inferences about lingual
excursions via measurement of the first and second formants. The speech-specific dependent variables were articulatory
acoustic measures that reflected movements of the tongue
[29]. A diphthong is sometimes called a gliding vowel because
it is a combination of two adjacent vowels (as in boy). Diph-
thong duration was chosen to reflect diphthong transition
time in msec, which is a measure of how long it takes
to transition from the first to the second vowel. Formants
are prominent acoustic features in the speech signal that
change in frequency as the tongue moves during diphthong
articulation. The first and second formant (F1 or F2) fre-
quency change during the diphthong (transition extent in Hz)
was chosen to reflect tongue displacement; therefore, lower
frequency change reflected smaller articulatory excursions. The slopes of each formant transition (Hz/ms) were chosen to
reflect tongue velocity; therefore, smaller slopes reflect lower
velocities. The first formant reflected superior/inferior and
the second formant reflected anterior/posterior movement
of the tongue [29, 30]. The diphthong analyzed in the
standardized sentences included /}0/ (boy). participants completed 9 dual-task trials segregated into 3
blocks of 3 trials with 30 seconds rest between trials and 2
minutes rest between blocks. Testing (including participant
and laboratory setup) took approximately 45–60 minutes for
the acquisition phase and 20–30 minutes for the retention
phases. For each trial, data were collected from the time an
auditory cue was given until after the movement task was
completed. Participants were supervised closely during all
trials in order to prevent falls. Data gathered during trials
were stored on the laboratory computer for later analysis. 2. Methods During the acquisition phase, the first block was
used to represent the baseline, and the seventh block was used
to represent the end of acquisition. In order to examine the
participants’ initial performance on the retention day, rather
than have their performance be confounded by additional
practice, we utilized the first block for analysis during both
the 48-hour and one-week retention phases.i Changes in performance were defined as changes that
occurred during the acquisition phase, that is, between block
1 and block 7 of acquisition. Motor learning was defined as
changes that occurred between the acquisition phase and
the retention phases. Short-term learning was defined as the
difference between block 1 of acquisition and block 1 of the 48-
hour retention testing, while long-term learning was defined
as the difference between block 1 of acquisition and block 1 of
the one-week retention testing [23]. Once participants had reached the peak of their RTT
position, they were asked to remain stable for 5 seconds. The variable selected to reflect postural stability in peak heel
raise position was the vertical heel position coefficient of
variation (HH CV). The HH CV was calculated by dividing
the standard deviation of the heel position by the average heel
position during the middle 3 seconds of the RTT task [26]. In the context of the task constraints to remain as “stable as
possible,” increases in linear measures of variability such as
the coefficient of variation reflect reduced stability [28].h Because of the small sample size and the potential for
violations of the assumptions of parametric statistical tests,
we utilized nonparametric analyses. To examine between
group differences at baseline, for each dependent variable
we compared each group’s acquisition block 1 performance
using separate Kruskal-Wallis ANOVAs. Post hoc testing fil
The speaking task involved the production of two tar-
get sentences that were read from a sheet of paper at a 4 Parkinson’s Disease demonstrated the lowest HH CV value, and the PD group had
the highest HH CV at baseline (Table 2).if was performed as needed using Mann-Whitney 𝑈tests. To examine changes in performance during the acquisition
phase and between acquisition and retention phases within
groups, we compared acquisition block 1, acquisition block 7,
48-hour retention block 1, and 1-week retention block 1 using
separate Friedman ANOVAs. Post hoc testing was performed
as needed using Wilcoxon matched pairs tests. 2. Methods Within-group analysis demonstrated a significant differ-
ence as a result of practice (comparison between acquisition
and retention phases). Post hoc testing revealed that the
greatest improvements in HH CV were seen in the HY group
with significant decreases of 38% and 50% at 48-hour and
one-week followups, respectively, relative to acquisition (𝑃<
0.05). In contrast, there was no significant effect on HH CV
in the AM or the PD groups. For all dependent variables, the magnitude of change was
estimated by calculating the percent change from acquisition
block 1. The level of significance for all comparisons was set
at 0.05. All statistical analyses were performed with SPSS 19
(IBM Inc; Armonk, NY,USA) for Macintosh. 3.4. Articulatory Acoustic Measures. A significant difference
was found between the groups for /}0/ F2 slope for block 1 of
the acquisition phase (baseline) (𝑃= 0.04). Post hoc testing
revealed that the PD group produced significantly different
values relative to the AM and HY groups (Table 3).i 3. Results Overall, 24 participants completed the study (7 persons
with PD, 7 neurologically healthy age-matched controls, and
10 neurologically healthy young participants) (Table 1). All
participants that were recruited completed all testing periods. Within-group analysis demonstrated no significant dif-
ferences as a result of practice (comparison between acqui-
sition and retention phases) in any of the three groups (𝑃>
0.05) (Table 3). 3.1. Motor Planning. Analysis of reaction time results showed
no statistical differences between groups or over time (𝑃>
0.05). The observed reaction times were consistent with
those observed in other studies of dual-task paradigms [31]
(Table 2). 4. Discussion Based on our interest in the effects of motor learning
deficits on the ability to improve components of postural task
performance in persons with PD, in this preliminary study
we subjected persons with and without PD to commonly
utilized practice dosage amounts [15] of dual-task practice. As we hypothesized, persons with PD demonstrated per-
formance deficits in concurrently performed postural and
speaking tasks when compared to healthy age-matched and
healthy young controls. In addition, we hypothesized that
persons with PD would respond differently to practice than
neurologically healthy participants. Despite having the least
variability in measures of postural stability, the healthy young
participants were the only group that improved in HH CV
during acquisition and retention. Such results suggest that the
amount of practice necessary for postural task motor learning
in healthy young individuals does not appear sufficient to
drive changes in persons with PD or healthy elders. No
consistent effect of practice was noted in any of the groups
for the articulatory acoustic measures. 3.2. Postural Coordination. COP velocity results for block 1
of the acquisition phase (baseline) demonstrated a significant
difference between the groups (𝑃= 0.006). Post hoc testing
revealed that the HY group demonstrated significantly faster
COP velocity at baseline relative to the AM and PD groups
(𝑃< 0.04). The PD group demonstrated the slowest velocity
at baseline (Table 2). 3.2. Postural Coordination. COP velocity results for block 1
of the acquisition phase (baseline) demonstrated a significant
difference between the groups (𝑃= 0.006). Post hoc testing
revealed that the HY group demonstrated significantly faster
COP velocity at baseline relative to the AM and PD groups
(𝑃< 0.04). The PD group demonstrated the slowest velocity
at baseline (Table 2). Within-group analysis demonstrated that only the HY
group showed a significant difference as a result of prac-
tice (comparison between acquisition and retention phases)
(𝑃= 0.02). Post hoc testing revealed that the HY group
significantly increased their COP velocity from baseline to
the end of the acquisition phase by 18.7% (𝑃= 0.03). Center
of pressure velocity for the AM and PD groups was not
significantly altered at any phase of the study (Table 2).if i
A significant difference was found between the groups
in COP-COM difference for block 1 of the acquisition phase
(baseline) (𝑃= 0.003). Post hoc testing revealed the HY and
AM groups demonstrated a significantly larger COP-COM
difference relative to the PD group (𝑃< 0.01). 4. Discussion The PD group
demonstrated the smallest COP-COM difference at baseline. Within group-analysis demonstrated that none of the
groups showed significant differences in COP-COM differ-
ence as a result of practice (comparison between acquisition
and retention phases) (Table 2). i
A significant difference was found between the groups
in COP-COM difference for block 1 of the acquisition phase
(baseline) (𝑃= 0.003). Post hoc testing revealed the HY and
AM groups demonstrated a significantly larger COP-COM
difference relative to the PD group (𝑃< 0.01). The PD group
demonstrated the smallest COP-COM difference at baseline. 4.1. The Effects of Age and PD on the Efficiency of Acquisition
and Retention. Neurologically healthy young participants
consistently performed better on all measured postural and
speech variables. As evidence of the adverse effect of age
on the measured variables, most commonly the neurologi-
cally healthy age-matched control participants demonstrated
impaired postural control and speech performance relative
to the young participants. The effects of Parkinson’s disease
beyond age was specifically evident for our measures of COP
velocity and heel height variability where participants in the
PD group demonstrated substantially greater bradykinesia
and variability than the neurologically health groups (COP
velocity: PD = 155.49 mm/sec, AM = 247.84 mm/sec, HY
= 369.31 mm/sec at block one of acquisition; heel height f
Within group-analysis demonstrated that none of the
groups showed significant differences in COP-COM differ-
ence as a result of practice (comparison between acquisition
and retention phases) (Table 2). 3.3. Postural Stability. A significant difference was found
between the groups in HH CV for block 1 of the acquisition
phase (baseline) (𝑃= 0.02). Post hoc testing revealed that the
HY and AM groups demonstrated significantly less variability
at baseline relative to the PD group (𝑃< 0.02). The HY group 3.3. Postural Stability. A significant difference was found
between the groups in HH CV for block 1 of the acquisition
phase (baseline) (𝑃= 0.02). Post hoc testing revealed that the
HY and AM groups demonstrated significantly less variability
at baseline relative to the PD group (𝑃< 0.02). The HY group Parkinson’s Disease 5 Table 1: Participant demographics. 4. Discussion Groups
Variable
HY group
AM group
PD group
n (gender)
10 (M = 4; F = 6)
7 (M = 5; F = 2)
7 (M = 7; F = 0)
Age
25.50 (2.40)
70.50 (11.90)
68.70 (9.20)
Time since diagnosis
4.11 (2.31)
Disease severity∗(modified HY)
2 (1.5–3)
Taking carbidopa/levodopa
Yes: 6
No: 1
Dysarthria severity (1–10)∗
4.1 (1–7)
6-month fall history
>2 falls: 3
0–2 falls: 4
HY group: healthy young adult controls; AM group: healthy age-matched controls; PD group: persons with PD. ∗Median (range) Table 2: Values (SD) for each postural control measure at acquisition and retention phases for each group. Acquisition (baseline)
Acquisition (ending)
Retention 48 hrs
Retention 1 week
Block 1
Block 7
Block 1
Block 1
mean (SD)
mean (SD)
mean (SD)
mean (SD)
Reaction time (sec)
HY group
0.66 (0.16)
0.59 (0.14)
0.61 (0.10)
0.67 (0.11)
AM group
0.76 (0.21)
0.74 (0.36)
0.70 (0.25)
0.75 (0.29)
PD group
0.79 (0.20)
0.67 (0.36)
0.78 (0.22)
0.73 (0.10)
COP Vel (mm/sec)
HY group
381.39 (166.64)∗,#
473.26 (146.95)
446.85 (179.12)
503.16 (217.22)
AM group
263.30 (184.21)
227.08 (227.76)
331.05 (301.86)
238.58 (229.46)
PD group
97.13 (261.83)
113.45 (235.31)
108.02 (219.66)
139.39 (219.58)
COP COM diff (mm)
HY group
52.84 (21.69)∗
62.74 (26.56)
59.97 (24.40)
62.65 (22.95)
AM group
41.18 (26.45)
40.58 (9.75)
44.88 (19.60)
43.73 (14.40)
PD group
18.43 (25.80)
23.40 (23.15)
27.72 (21.49)
31.23 (26.52)
Heel Height CV (%)
HY group
3.86 (2.50)∗,∗∗
2.79 (4.10)
2.58 (1.70)
2.07 (3.30)
AM group
2.43 (4.70)
3.72 (8.80)
3.01 (22.50)
2.18 (13.80)
PD group
14.35 (5.08)
24.74 (43.30)
13.59 (43.90)
9.03 (27.50)
HY group: healthy young adult controls; AM group: healthy age-matched controls; PD group: persons with PD. All values: median (interquartile range). ∗Significant difference between groups. ∗∗Significant difference between acquisition block 1 (baseline) and block 1 at 48 hr retention and block 1 at 1 wk retention. #Significant difference between acquisition block 1 and 7. Table 2: Values (SD) for each postural control measure at acquisition and retention phases for each group. variability: PD = 26.40, AM = 6.80, HY = 4.20 at block one of
acquisition). commonly utilized practice dosage to the research design. We
theorized that the bidirectional interference [11] that occurs
between concurrently performed tasks would confound any
differences in motor learning between the groups. 4. Discussion The lack
of consistent changes in motor performance in any of the
postural tasks, except in the HY group, suggests a decreased
efficiency of motor learning in the AM and PD groups
and would suggest that additional amount of practice may
be necessary. While previous research has utilized differing
motor tasks and practice paradigms and typically examines
the single-task performance [33–35], our results add evidence
to the theory that a deficit in the retention of motor skill may
necessitate additional amounts of practice [4, 36]. In this study we examined a concurrently performed
postural control task and a speech task using a classic
motor learning paradigm [23, 24]. The postural control and
speech tasks were chosen because of their limited response to
pharmacological treatment [17, 18]. Given the limitations of
pharmacological treatments, behavioural interventions such
as practice may be the most promising means of improving
postural control and speech in individuals with PD. However,
since deficits in motor learning in individuals with PD or with
basal ganglia lesions may be due to limited amount of practice
[32], by limiting the number of practice trials, we introduced a 6 Parkinson’s Disease Table 3: Articulatory acoustic measures for /}0/ diphthong at acquisition and retention phases for each group. 4. Discussion Acquisition (Baseline)
Acquisition (Ending)
Retention 48 hrs
Retention 1 week
Block 1
Block 7
Block 1
Block 1
mean (SD)
mean (SD)
mean (SD)
mean (SD)
/}0/ duration (sec)
HY group
0.11 (0.03)
0.09 (0.04)
0.10 (0.03)
0.10 (0.03)
AM group
0.11 (0.05)
0.11 (0.04)
0.11 (0.04)
0.11 (0.04)
PD group
0.12 (0.03)
0.11 (0.02)
0.12 (0.02)
0.12 (0.03)
/}0/ F1 ext (Hz)
HY group
87.17 (60.83)
66.83 (84.08)
63.17 (44.42)
56.83 (77.75)
AM group
108.66 (66.39)
75.67 (45.25)
61.67 (77.00)
59.00 (68.50)
PD group
78.67 (80.83)
74.16 (48.33)
44.50 (56.12)
47.67 (24.67)
/}0/ F2 ext (Hz)
HY group
1066.00 (404.83)
938.17 (331.63)
997.33 (332.00)
915.00 (404.08)
AM group
1062.67 (302.67)
966.33 (248.08)
967.33 (273.92)
914.67 (231.17)
PD group
859.67 (219.00)
807.67 (290.00)
864.67 (268.33)
810.00 (308.17)
/}0/ F1 slope (Hz/ms)
HY group
−0.78 (0.46)
−0.80 (1.01)
−0.67 (0.52)
−0.65 (1.12)
AM group
−0.89 (1.34)
−0.70 (0.68)
−0.49 (1.20)
−0.76 (1.14)
PD group
−0.68 (0.96)
−0.70 (0.47)
−0.30 (0.70)
−0.39 (0.63)
/}0/ F2 slope (Hz/ms)
HY group
9.72 (3.20)
9.96 (4.22)
10.77 (4.58)
9.65 (4.93)
AM group
11.19 (6.16)
9.64 (4.68)
10.13 (4.79)
10.96 (3.76)
PD group
7.11 (2.62)∗
7.41 (2.67)
6.96 (1.04)
6.44 (3.46)
HY group: healthy young adult controls; AM group: healthy age-matched controls; PD group: persons with PD. All values: median (interquartile range). ∗Significant difference between groups. possible. Because of the exploratory nature of this project,
we did not perform corrections for multiple comparisons. Although our sample size was calculated using a priori power
calculations, the effect sizes calculated from this data were
smaller than those that we used and therefore we cannot
ruleout type II statistical errors. These smaller effect sizes
suggest that dual tasking may reduce the practice effect
on skill acquisition and imply that future studies will need
to employ design features to address this effect (increased
practice, larger samples). In addition, for the sake of internal
validity, the tasks used were constrained measurements of
postural and inferred vocal tract movement that were used for
both practice and testing. Our selected speaking task may not
have been challenging enough to reveal practice-mediated
improvements in articulatory acoustic measures. Lastly, for-
mal cognitive testing was not performed to assess learning
abilities. 4. Discussion That is, performance of both tasks at
the same time resulted in concurrent performance deficits
compared to individual performances of each task [38, 39]. 4.3. Limitations and Directions for Future Research. While
these results suggest that practice dosages for motor learning
may need to be different for persons with PD or advanced
age, they should be interpreted with caution. Based on our
research design, type I and type II statistical errors are 4. Discussion Future research should include a larger number of
subjects, utilize retention and transfer tasks, perform formal
cognitive testing, and examine varied dosages of practice to
elucidate the adequate dosage of practice to induce lasting
changes in postural and speech task performance in both
persons with PD and neurologically healthy elders. 4.2. Task Difficulty. Although the HY group demonstrated
improvements in postural coordination and postural stability
as a result of practice, consistent changes in speech task
performance in any group as a result of practice were lacking. One potential reason for this was that the stereotyped speak-
ing tasks that were used in this study utilized well-practiced
words for primary English speakers. Because our measures
of speech performance came from sentence production, the
extensive familiarity the subjects had with these words likely
limited our ability to observe any practice-related improve-
ment [37]. Another potential reason for the lack of practice-
related change in speech performance is that due to the
acute consequences of falls, participants chose to prioritize
postural stability over speaking. This lack of attention to a
nonprimary task could have diminished any practice-related
improvements. However, our previous research using these
tasks suggests that in the absence of explicit instructions for
prioritization, there appears to be bidirectional interference
on both tasks [11]. That is, performance of both tasks at
the same time resulted in concurrent performance deficits
compared to individual performances of each task [38, 39]. 4.2. Task Difficulty. Although the HY group demonstrated
improvements in postural coordination and postural stability
as a result of practice, consistent changes in speech task
performance in any group as a result of practice were lacking. One potential reason for this was that the stereotyped speak-
ing tasks that were used in this study utilized well-practiced
words for primary English speakers. Because our measures
of speech performance came from sentence production, the
extensive familiarity the subjects had with these words likely
limited our ability to observe any practice-related improve-
ment [37]. Another potential reason for the lack of practice-
related change in speech performance is that due to the
acute consequences of falls, participants chose to prioritize
postural stability over speaking. This lack of attention to a
nonprimary task could have diminished any practice-related
improvements. However, our previous research using these
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processing system,” Psychological Review, vol. 86, no. 3, pp. 214–
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English
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Selenium and Prostate Cancer: Analysis of Individual Participant Data From Fifteen Prospective Studies
|
Journal of the National Cancer Institute
| 2,016
|
cc-by
| 10,447
|
ARTICLE Selenium and Prostate Cancer: Analysis of Individual
Participant Data From Fifteen Prospective Studies
Naomi E. Allen, Ruth C. Travis, Paul N. Appleby, Demetrius Albanes,
Matt J. Barnett, Amanda Black, H. Bas Bueno-de-Mesquita,
Me´lanie Deschasaux, Pilar Galan, Gary E. Goodman, Phyllis J. Goodman,
Marc J. Gunter, Markku Helio¨vaara, Kathy J. Helzlsouer, Brian E. Henderson*,
Serge Hercberg, Paul Knekt, Laurence N. Kolonel, Christina Lasheras,
Jakob Linseisen, E. Jeffrey Metter, Marian L. Neuhouser, Anja Olsen,
Valeria Pala, Elizabeth A. Platz, Harri Rissanen, Mary E. Reid,
Jeannette M. Schenk, Meir J. Stampfer, P€ar Stattin, Catherine M. Tangen,
Mathilde Touvier, Antonia Trichopoulou, Piet A. van den Brandt,
Timothy J. ARTICLE Key; on behalf of the Endogenous Hormones, Nutritional
Biomarkers and Prostate Cancer Collaborative Group Affiliations of authors: Clinical Trial Service Unit and Epidemiological Studies Unit (NEA) and Cancer Epidemiology Unit (RCT, PNA, TJK), Nuffield Department of
Population Health, University of Oxford, Oxford, UK; Division of Cancer Epidemiology and Genetics, US National Cancer Institute, Bethesda, MD (DA, AB); Division of
Public Health Science (MJB, GEG, MLN), SWOG (formerly the Southwest Oncology Group) Statistical Center (PJG, CMT), and Cancer Prevention Program (JMS), Fred
Hutchinson Cancer Research Center, Seattle, WA; Department of Epidemiology (JMS) and Department of Biostatistics (CMT), University of Washington, Seattle, WA;
Department for Determinants of Chronic Diseases, National Institute for Public Health and the Environment (RIVM), Bilthoven, the Netherlands (HBBdM); Department
of Gastroenterology and Hepatology, University Medical Centre, Utrecht, the Netherlands (HBBdM); Department of Epidemiology and Biostatistics, School of Public
Health, Imperial College London, London, UK (HBBdM, MJG); Department of Social & Preventive Medicine, Faculty of Medicine, University of Malaya, Kuala Lumpur,
Malaysia (HBBdM); Sorbonne Paris Cite´ Epidemiology and Biostatistics Research Center, Nutritional Epidemiology Research Team, Inserm U1153, Inra U1125, Cnam,
University Paris 13, University Paris 5, University Paris 7, Bobigny, France (MD, PG, SH, MT); National Institute for Health and Welfare, Helsinki, Finland (MH, PK, HR);
The Prevention and Research Center Mercy Medical Center, Baltimore, MD (KJH); Department of Preventive Medicine, Norris Comprehensive Cancer Center, Keck
School of Medicine, University of Southern California, Los Angeles, CA (BEH); University of Hawaii Cancer Center, Honolulu, HI (LNK); Department of Functional
Biology, Faculty of Medicine, University of Oviedo, Asturias, Spain (CL); Institute of Epidemiology II, Helmholtz-Zentrum Mu¨ nchen, Neuherberg, Germany (formerly of
Division of Cancer Epidemiology, German Cancer Research Center, Heidelberg, Germany) (JL); Intramural Research Program, National Institute on Aging, Department
of Neurology, University of Tennessee Health Science Center, Memphis, TN (EJM); Danish Cancer Society Research Center, Copenhagen, Denmark (AO); Epidemiology
and Prevention Unit, Fondazione IRCCS Istituto Nazionale dei Tumori, 20133 Milan, Italy (VP); Department of Epidemiology, Johns Hopkins Bloomberg School of Public
Health, Baltimore, MD (EAP); Roswell Park Cancer Institute, New York, NY (MER); Department of Epidemiology, Harvard School of Public Health, Boston, MA (MJS);
Channing Division of Network Medicine, Brigham and Women’s Hospital, Harvard Medical School, Boston, MA (MJS); Department of Surgery and Perioperative
Sciences, Urology and Andrology, Umea˚ University, Umea˚, Sweden (PS); Hellenic Health Foundation, Athens, Greece (AT); Department of Epidemiology, GROW School
for Oncology and Developmental Biology, Maastricht University, the Netherlands (PAvdB) ARTICLE Correspondence to: Naomi E. ARTICLE Allen, BSc, MSc, DPhil, Clinical Trial Service Unit and Epidemiological Studies Unit, Nuffield Department of Population Health, University
of Oxford, Richard Doll Building, Oxford, UK OX3 7LF (e-mail: naomi.allen@ndph.ox.ac.uk). *Deceased. *Deceased. Received: February 4, 2016; Revised: April 15, 2016; Accepted: May 17, 2016 © The Author 2016. Published by Oxford University Press. y
y
This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/4.0/),
which permits unrestricted reuse, distribution, and reproduction in any medium, provided the original work is properly cited. JNCI J Natl Cancer Inst (2016) 108(11): djw153 doi: 10.1093/jnci/djw153
First published online July 6, 2016
Article Abstract There has been great interest in the possible role of selenium in
cancer prevention, largely because of its antioxidant properties,
although it also has other potentially anticarcinogenic effects
(1). The efficacy of selenium as a cancer prevention agent has
been tested in several randomized controlled trials although re-
sults have been inconsistent, perhaps because of the relatively
small number of cases (particularly of aggressive disease) iden-
tified during follow-up and different levels of baseline selenium
in the populations under study (2–6). Results from observational
studies are also conflicting (7–20); some have reported high
blood or nail selenium to be associated with a lower risk of total
prostate cancer (8,9) or aggressive disease (10–12) while others
have found no statistically significant association (13–20). Inserm (University of Paris, Paris, France), of which study details
are reported elsewhere (27,28). Data were not available for the
Uppsala Longitudinal Study of Adult Men (ULSAM) (20) or the
Honolulu Heart Program (9). Information on recruitment, informed consent, ethical ap-
proval, and inclusion criteria for all studies is available in the
original publications. Eight studies used a nested case-control
study design in populations with no organized screening pro-
gram but with varying levels of population-wide prostate-specific
antigen (PSA) testing (8,11,14–19); seven studies were observa-
tional investigations based within randomized controlled trials
(2,4,10,13,16,27,28) (Supplementary Table 1, available online). Individual participant data were requested for selenium con-
centrations measured in blood or nails (see Supplementary
Table 2, available online, for details of the assay methods), date
and age at sample collection, fasting status, marital status, eth-
nicity, educational attainment, family history of prostate can-
cer, height, weight, waist and hip circumference, smoking
status, and alcohol intake. Most studies included men of white
European ancestry; those studies that did include men of differ-
ent ethnic backgrounds included this as a matching criterion
(4,14,18). The Endogenous Hormones, Nutritional Biomarkers and
Prostate Cancer Collaborative Group (EHNBPCCG) was estab-
lished to conduct collaborative analyses of individual partici-
pant data from prospective studies on the associations of
circulating concentrations of hormones and nutritional bio-
markers with the subsequent risk of prostate cancer (21–26). The objective of the present study is to determine the associa-
tion between blood and nail selenium concentration and risk of
prostate cancer in 15 prospective studies and to evaluate this
association
by
stage
and
grade
of
disease
and
other
characteristics. Abstract Background: Some observational studies suggest that a higher selenium status is associated with a lower risk of prostate
cancer but have been generally too small to provide precise estimates of associations, particularly by disease stage and grade. y
y
This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/4.0/),
which permits unrestricted reuse, distribution, and reproduction in any medium, provided the original work is properly cited. N. E. Allen et al. |
2 of 8 N. E. Allen et al. |
2 of 8 Methods: Collaborating investigators from 15 prospective studies provided individual-participant records (from predomi-
nantly men of white European ancestry) on blood or toenail selenium concentrations and prostate cancer risk. Odds ratios of
prostate cancer by selenium concentration were estimated using multivariable-adjusted conditional logistic regression. All
statistical tests were two-sided. Results: Blood selenium was not associated with the risk of total prostate cancer (multivariable-adjusted odds ratio [OR] per
80 percentile increase ¼ 1.01, 95% confidence interval [CI] ¼ 0.83 to 1.23, based on 4527 case patients and 6021 control
subjects). However, there was heterogeneity by disease aggressiveness (ie, advanced stage and/or prostate cancer death,
Pheterogeneity ¼ .01), with high blood selenium associated with a lower risk of aggressive disease (OR ¼ 0.43, 95% CI ¼ 0.21 to
0.87) but not with nonaggressive disease. Nail selenium was inversely associated with total prostate cancer (OR ¼ 0.29, 95%
CI ¼ 0.22 to 0.40, Ptrend < .001, based on 1970 case patients and 2086 control subjects), including both nonaggressive (OR ¼ 0.33,
95% CI ¼ 0.22 to 0.50) and aggressive disease (OR ¼ 0.18, 95% CI ¼ 0.11 to 0.31, Pheterogeneity ¼ .08). Conclusions: Nail, but not blood, selenium concentration is inversely associated with risk of total prostate cancer, possibly
because nails are a more reliable marker of long-term selenium exposure. Both blood and nail selenium concentrations are
i t d
ith
d
d i k
f
i
di
hi h
t f
th
i
ti
ti g
y
Conclusions: Nail, but not blood, selenium concentration is inversely associated with risk of total prostate cancer, possibly
because nails are a more reliable marker of long-term selenium exposure. Both blood and nail selenium concentrations are
associated with a reduced risk of aggressive disease, which warrants further investigation. Identification of Studies and Collection of Data A detailed description of the EHNBPCCG is reported elsewhere
(21). In 2010, collaborators were invited to contribute data on
prediagnostic measures of nutritional biomarkers and prostate
cancer risk. Studies were identified from review articles, litera-
ture searches using PubMed, Web of Science, Cochrane Library,
and CancerLit (up to January 2013), and from discussions with
colleagues in order to identify unpublished data. Seventeen eligible studies were identified, of which 15 are
included in the current analysis, comprising 6497 men with
prostate cancer (case patients) and 8107 men without prostate
cancer (control subjects) (2, 4, 8, 10–19), including unpublished
data from the Prostate Cancer Prevention Trial (PCPT), provided
with kind permission by Phyllis Goodman, Catherine Tangen,
and
Jeannette
Schenk
from
the
Fred
Hutchinson
Cancer
Research Center (Seattle, WA); and from the SUpple´mentation
en VItamines et Mine´raux Anti-oXydants (SU.VI.MAX) Trial by
Pilar Galan, Me´lanie Deschasaux, and Mathilde Touvier, from Abstract Each study provided data on prostate cancer stage and grade,
if available. Tumor stage was categorized as localized if it was
TNM staging tumor (T)–node (N)-metastasis (M) categories of T2
or lower with no reported lymph node involvement or metasta-
ses, stage II or lower or equivalent; advanced if it was T3 or T4
and/or N1þ and/or M1, stage III or IV or equivalent; or stage un-
known. Aggressive disease was defined as T4 and/or N1þ and/or
M1, or stage IV disease and/or death from prostate cancer; nonag-
gressive disease was defined as TNM stage lower than T4 with no
reported lymph node involvement or metastases or the equiva-
lent, or unknown. Histological grade was categorized as low-
intermediate grade (Gleason sum < 8, or coded as well, moder-
ately, or poorly differentiated), high-grade (Gleason sum 8þ, or
coded as undifferentiated), or unknown. Our definition of high-
grade disease used in this and other analyses (23–26) is more
stringent than our previous collaborative analyses (which used
Gleason score of 7 or above) (21,22); while this will lead to identifi-
cation of relatively small numbers of high-grade tumours, it re-
duces the risk of misclassification of high-grade disease. ARTICLE Methods Identification of Studies and Collection of Data Statistical Analysis To provide a summary measure of risk, a linear trend was cal-
culated by replacing the categorical variable representing the
fifths of selenium with a continuous variable that was scored as
0, 0.25, 0.5, 0.75, and 1. As the midpoints of the lowest and highest
fifths are the 10th and 90th percentiles of the study-specific sele-
nium concentration, a unit change in this continuous trend vari-
able (which represents an 80th percentile increase) is comparable
with the relative risk comparing the highest with the lowest fifth. The cross-sectional associations between baseline charac-
teristics and blood and nail selenium concentrations are shown
in Supplementary Figure 1 (available online). Blood selenium
concentrations were slightly lower in men who were older, who
had a higher BMI, and who were current smokers and were
slightly higher in men who had fasted for longer at the time of
blood collection. Nail selenium concentrations were lower in
current smokers and slightly higher in men who were married
and highly educated. Conditional logistic regression was used to calculate odds ra-
tios (ORs) and their corresponding 95% confidence intervals
(CIs), conditioned on the matching variables within each study
and with additional adjustment for age at blood collection (ex-
act), body mass index (BMI ¼ <25, 25–27.4, 27.5–29.9, 30 kg/m2,
not known), height (170, 171–175, 176–180, >180 cm, not
known), marital status (married/cohabiting, not married/co-
habiting, not known), educational status (did not graduate from
high school/secondary school/college, high school/secondary
school/college graduates, university graduates, not known), and
cigarette smoking (never, past, current, not known). These fac-
tors were found to be associated with prostate cancer risk in
this dataset and hence were included in the final models. The associations of blood and nail selenium concentrations
with prostate cancer risk are shown in Figure 1A. After adjust-
ment for BMI, height, age, marital status, education, and smok-
ing status, the odds ratio per 80th percentile increase of blood
selenium concentration was 1.01 (95% CI ¼ 0.83 to 1.23, Ptrend ¼
.92), based on 4527 case patients and 6021 control subjects; for
nail selenium, the corresponding odds ratio was 0.29 (95%
CI ¼ 0.22 to 0.40, Ptrend < .001), based on 1970 case patients and
2086 control subjects. Statistical Analysis Blood and nail selenium concentrations were logarithmically
transformed for all statistical analyses to approximate a normal 3 of 8
|
JNCI J Natl Cancer Inst, 2016, Vol. 108, No. 11 respectively (Table 1). The duration of follow-up varied substan-
tially; in some studies (Baltimore Longitudinal Study of Aging
[BLSA], beta-Carotene and Retinol Efficacy Trial [CARET], Multi-
Ethnic Cohort [MEC], Prostate, Lung, Colorectal and Ovarian
Cancer Screening trial [PLCO], and Selenium and Vitamin E
Cancer Prevention Trial [SELECT]), more than 70% of men were
diagnosed less than five years following recruitment; in others
(European Prospective Investigation into Cancer and Nutrition-
Heidelberg [EPIC-Heidelberg], Netherlands Cohort Study [NLCS],
PCPT, Physicians’ Health Study [PHS] and SU.VI.MAX), more
than 70% of case patients were diagnosed five or more years af-
ter recruitment (Table 2). Age at diagnosis varied less widely, al-
though the SU.VI.MAX trial included a higher proportion of men
diagnosed at an early age (34% of case patients were diagnosed
at younger than age 60 years) compared with the other studies. The time period of diagnosis varied substantially between stud-
ies owing to the different time periods of recruitment and the
duration of follow-up. The proportion of case patients with ad-
vanced disease varied from 1.6% (PCPT) to 72% (NLCS). The pro-
portion of case patients with high-grade disease varied from
0.2% (MEC) to 16% (HPFS) (Table 2; see Supplementary Table 3,
available online, for details of the number of cases by stage,
grade, and other tumor characteristics by study). distribution. All analyses were run separately for blood and nail
selenium. Analysis of covariance was used to investigate geo-
metric mean differences in selenium concentration among the
controls by baseline characteristics, with adjustment for study
and age at blood collection. Tests for trend across the categories
were obtained by scoring the categories 1, 2, 3, etc., as required. Men were categorized into fifths of selenium concentration
with quintile cutpoints defined by the overall distribution
among control participants in all studies combined. This ap-
proach maximizes the ability to examine associations across
the full selenium distribution across all studies and assumes
that the differences in absolute values between studies are be-
cause of true population differences rather than assay differ-
ences between the studies (29). Analyses were also performed
with cutpoints defined by the study-specific quintiles of sele-
nium concentration. Statistical Analysis Adjustment for the potential confounders
listed above made little difference to the risk estimates (unad-
justed OR per 80 percentile increase was 1.02, 95% CI ¼ 0.85 to
1.24, Ptrend ¼ 0.81 for blood selenium; OR ¼ 0.36, 95% CI ¼ 0.27 to
0.48, Ptrend < .001 for nail selenium). Associations were qualita-
tively similar when the analysis was performed using study-
specific cutpoints although the risk estimate was attenuated for
nail measures, reflecting the narrower ranges of selenium con-
centration when using these cutpoints (Figure 1B). Heterogeneity in linear trends between studies was tested
by comparing the v2 values for models with and without a
(study) x (linear trend) interaction term. Tests for heterogeneity
of trends for the case-defined factors were obtained by fitting
separate models for each subgroup and assuming indepen-
dence of the odds ratios using a method analogous to a meta-
analysis. Tests for heterogeneity for the non-case-defined
factors were assessed with a v2-test of interaction between sub-
group and the continuous trend test variable. Further analyses
of the association of selenium with disease stage, aggressive-
ness, and grade were conducted by calculating odds ratios in
fifths of the distribution. All P values reported are two-tailed, and a P value of less
than .05 was considered statistically significant. All statistical
analyses were carried out using Stata (StataCorp LP, 2011, Stata
Statistical Software: Release 13, College Station, TX). In order to examine the association at the extremes of the
distribution, selenium concentration was categorized into dec-
iles and analyzed using overall cutpoints for all studies com-
bined. There remained no association with blood selenium
(multivariable-adjusted OR for the highest [midpoint ¼ 2092
nmol/L] vs lowest tenth [midpoint ¼ 792 nmol/L] ¼ 0.94, 95%
CI ¼ 0.71 to 1.23, Ptrend ¼ .69) and a strong inverse association
with nail selenium (OR for the highest [midpoint ¼ 1.08 ppm] vs
lowest tenth (midpoint ¼ 0.17 ppm) ¼ 0.25, 95% CI ¼ 0.17 to 0.37,
Ptrend < .001). Results Details of the 15 participating studies are shown in Table 1. Data were available for 4527 case patients and 6021 control sub-
jects for blood selenium and for 1970 cases and 2086 controls for
nail selenium. In European populations, median values in con-
trols were below 1130 nmol/L and 0.55 ppm for blood and nail
samples, respectively; studies in the United States had median
values higher than 1370 nmol/L and higher than 0.78 ppm, There was no evidence of heterogeneity between the con-
tributing studies in the linear association of blood selenium
concentration with risk (Pheterogeneity ¼ .59) (Figure 2A). There
was also no evidence of heterogeneity in the association of nail
selenium
concentration
with
risk
between
the
studies N. E. Allen et al. |
4 of 8 N. E. Allen et al. |
4 of 8 Table 1. Details of the studies and participants included*
Study
No. Mean (SD) age at
sample collection, y
Median (IQR) selenium concentration
(nmol/L for blood; ppm for nails)
Case patients
Control subjects
Case patients
Control subjects
Case patients
Control subjects
Blood selenium
BLSA (8)
55
55
69.1 (8.6)
68.8 (7.7)
1431 (1317–1671)
1532 (1418–1684)
CARET (13)
235
456
61.5 (6.1)
61.3 (6.2)
1462 (1280–1599)
1425 (1282–1595)
EPIC (17)
959
1,059
59.9 (5.8)
59.6 (5.8)
898 (791–1022)
910 (809–1027)
EPIC-Heidel (19)
148
291
57.4 (5.1)
57.8 (5.1)
1100 (1010–1230)
1100 (994–1210)
FMC (15)
51
92
65.5 (7.7)
65.4 (7.4)
709 (582–912)
734 (595–893)
MEC (18)
461
920
69.0 (7.0)
68.8 (7.1)
1708 (1582–1865)
1718 (1594–1871)
NPC (2)
41
123
66.9 (5.0)
66.8 (4.9)
1433 (1256–1570)
1433 (1241–1605)
PCPT (unpublished)
960
960
63.4 (5.5)
63.3 (5.6)
1687 (1544–1845)
1660 (1529–1830)
PHS (10)
794
794
59.0 (8.2)
58.8 (8.1)
1374 (1221–1532)
1371 (1223–1545)
PLCO (16)
723
879
65.1 (4.8)
64.8 (4.7)
1775 (1589–1946)
1797 (1605–2000)
SU.VI.MAX (unpublished)
100
392
55.1 (4.6)
55.0 (4.6)
1115 (1026–1252)
1127 (995–1254)
Nail selenium
CLUE II (14)
117
233
65.9 (7.5)
65.9 (7.5)
0.77 (0.68–0.86)
0.79 (0.70–0.87)
HPFS (11)
181
181
63.2 (6.4)
63.1 (6.4)
0.79 (0.70–0.91)
0.80 (0.73–0.94)
NLCS (12, 49)
1268
1268
62.7 (4.1)
62.7 (4.1)
0.51 (0.46–0.57)
0.54 (0.48–0.60)
SELECT (4)
404
404
63.3 (6.0)
62.7 (4.1)
0.87 (0.79–0.97)
0.88 (0.77–0.99)
*The numbers of case patients and control subjects are the number for whom selenium measurements were available. Results BLSA ¼ Baltimore Longitudinal Study of Aging;
CARET ¼ the beta-Carotene and Retinol Efficacy Trial; CLUE II ¼ Campaign against Cancer and Stroke (“Give us a Clue to Cancer”) Study; EPIC ¼ European Prospective
Investigation into Cancer and Nutrition; EPIC-Heidel ¼ EPIC-Heidelberg; FMC ¼ Finnish Mobile Clinic Health Examination Survey; HPFS ¼ Health Professionals Follow-
up Study; MEC ¼ Multiethnic Cohort; NLCS ¼ Netherlands Cohort Study; NPC ¼ Nutritional Prevention of Cancer Trial; PCPT ¼ Prostate Cancer Prevention Trial; PHS ¼
Physicians’ Health Study; PLCO ¼ Prostate, Lung, Colorectal and Ovarian Cancer Screening Trial; SELECT ¼ Selenium and Vitamin E Cancer Prevention Trial; SU.VI.MAX
¼ SUpple´mentation en VItamines et Mine´raux Anti-oXydants Trial. Table 1. Details of the studies and participants included* *The numbers of case patients and control subjects are the number for whom selenium measurements were available. BLSA ¼ Baltimore Longitudinal Study of Aging;
CARET ¼ the beta-Carotene and Retinol Efficacy Trial; CLUE II ¼ Campaign against Cancer and Stroke (“Give us a Clue to Cancer”) Study; EPIC ¼ European Prospective
Investigation into Cancer and Nutrition; EPIC-Heidel ¼ EPIC-Heidelberg; FMC ¼ Finnish Mobile Clinic Health Examination Survey; HPFS ¼ Health Professionals Follow-
up Study; MEC ¼ Multiethnic Cohort; NLCS ¼ Netherlands Cohort Study; NPC ¼ Nutritional Prevention of Cancer Trial; PCPT ¼ Prostate Cancer Prevention Trial; PHS ¼
Physicians’ Health Study; PLCO ¼ Prostate, Lung, Colorectal and Ovarian Cancer Screening Trial; SELECT ¼ Selenium and Vitamin E Cancer Prevention Trial; SU.VI.MAX
¼ SUpple´mentation en VItamines et Mine´raux Anti-oXydants Trial. *The numbers of case patients and control subjects are the number for whom selenium measurements were available. BLSA ¼ Baltimore Longitudinal Study of Aging;
CARET ¼ the beta-Carotene and Retinol Efficacy Trial; CLUE II ¼ Campaign against Cancer and Stroke (“Give us a Clue to Cancer”) Study; EPIC ¼ European Prospective
Investigation into Cancer and Nutrition; EPIC-Heidel ¼ EPIC-Heidelberg; FMC ¼ Finnish Mobile Clinic Health Examination Survey; HPFS ¼ Health Professionals Follow-
up Study; MEC ¼ Multiethnic Cohort; NLCS ¼ Netherlands Cohort Study; NPC ¼ Nutritional Prevention of Cancer Trial; PCPT ¼ Prostate Cancer Prevention Trial; PHS ¼
Physicians’ Health Study; PLCO ¼ Prostate, Lung, Colorectal and Ovarian Cancer Screening Trial; SELECT ¼ Selenium and Vitamin E Cancer Prevention Trial; SU.VI.MAX
¼ SUpple´mentation en VItamines et Mine´raux Anti-oXydants Trial. Table 2. Proportions of men with prostate cancer by selected characteristics in each study*
Study
No. Results of
case patients
Years from
sample
collection
to diagnosis, %
Age at
diagnosis, %
Year of
diagnosis, %
Stage of
disease†, %
Aggressive
disease†, %
Grade†, %
<5
5þ
<60 y 60-69 y 70þ y <1995 1995þ Loc Adv N/k
No
Yes N/k
Low-
interm High N/k
Blood selenium
BLSA (8)
55
70.9
29.1
3.6
27.3
69.1
74.5
25.5
–
–
100
0
12.7 87.3
78.2
7.3
14.5
CARET (13)
235
70.2
29.8
14.0
56.2
29.8
21.3
78.7
50.2 21.3 28.5 62.1 11.9 26.0
74.5
11.9 13.6
EPIC (17)
959
63.1
36.9
19.5
65.0
15.5
0.4
99.6
51.8 21.2 27.0 53.7 24.8 21.5
66.6
10.6 22.7
EPIC-Heidel (19)
148
23.0
77.0
16.2
71.6
12.2
0
100
76.4 23.0
0.7
92.6
6.8
0.6
89.2
9.5
1.4
FMC (15)
51
45.1
54.9
9.8
41.2
49.0
100
0
–
–
100
–
–
100
–
–
100
MEC (18)
461
93.7
6.3
7.2
33.4
59.4
0
100
–
–
100
0
5.6
94.4
95.2
0.2
4.6
NPC (2)
41
56.1
43.9
0
43.9
56.1
92.7
7.3
75.6 24.4
0
82.9 17.1
0
82.9
14.6
2.4
PCPT (unpublished)
960
21.3
78.7
1.6
50.5
47.9
0.1
99.9
95.7
1.6
2.7
96.5
0.8
2.7
93.0
4.7
2.3
PHS (10)
794
15.1
84.9
12.0
44.6
43.5
76.8
23.2
79.8 15.0
5.2
74.6 20.9
4.5
86.4
10.3
3.3
PLCO (16)
723
88.9
11.1
5.5
55.9
38.6
0
100
87.1 12.9
0
93.1
6.9
0
93.5
5.9
0.6
SU.VI.MAX (unpublished)
100
28.0
72.0
34.0
66.0
0
0
100
–
–
100
–
–
100
84.0
10.0
6.0
Nail selenium
CLUE II (14)
117
67.5
32.5
8.5
36.8
54.7
73.5
26.5
53.8 26.5 19.7 65.0 18.8 16.2
85.5
6.8
7.7
HPFS (11)
181
63.0
37.0
11.0
46.4
42.5
99.4
0.6
51.9 43.6
4.4
54.1 43.7
2.2
60.8
16.0 23.2
NLCS (12, 49)
1268
29.1
70.9
1.0
38.0
61.0
53.2
46.8
21.3 72.2
6.5
47.0 47.5
5.5
91.0
0.9
8.1
SELECT (4)
404
78.7
21.3
12.6
55.7
32.7
0
100
98.0
0
2.0
97.3
0.7
2.0
82.4
4.7
12.9
*The number of case patients in each of these categories by study is shown in Supplementary Table 3 (available online). Results BLSA ¼ Baltimore Longitudinal Study of Aging;
CARET ¼ the beta-Carotene and Retinol Efficacy Trial; CLUE II ¼ Campaign against Cancer and Stroke ("Give us a Clue to Cancer") Study; EPIC ¼ European Prospective
Investigation into Cancer and Nutrition; EPIC-Heidel ¼ EPIC-Heidelberg; FMC ¼ Finnish Mobile Clinic Health Examination Survey; HPFS ¼ Health Professionals Follow-
up Study; MEC ¼ Multiethnic Cohort; NLCS ¼ Netherlands Cohort Study; NPC ¼ Nutritional Prevention of Cancer Trial; PCPT ¼ Prostate Cancer Prevention Trial; PHS ¼
Physicians’ Health Study; PLCO ¼ Prostate Lung Colorectal and Ovarian Cancer Screening Trial; SELECT ¼ Selenium and Vitamin E Cancer Prevention Trial; SU VI MAX Table 2. Proportions of men with prostate cancer by selected characteristics in each study* ARTICLE *The number of case patients in each of these categories by study is shown in Supplementary Table 3 (available online). BLSA ¼ Baltimore Longitudinal Study of Aging;
CARET ¼ the beta-Carotene and Retinol Efficacy Trial; CLUE II ¼ Campaign against Cancer and Stroke ("Give us a Clue to Cancer") Study; EPIC ¼ European Prospective
Investigation into Cancer and Nutrition; EPIC-Heidel ¼ EPIC-Heidelberg; FMC ¼ Finnish Mobile Clinic Health Examination Survey; HPFS ¼ Health Professionals Follow-
up Study; MEC ¼ Multiethnic Cohort; NLCS ¼ Netherlands Cohort Study; NPC ¼ Nutritional Prevention of Cancer Trial; PCPT ¼ Prostate Cancer Prevention Trial; PHS ¼
Physicians’ Health Study; PLCO ¼ Prostate, Lung, Colorectal and Ovarian Cancer Screening Trial; SELECT ¼ Selenium and Vitamin E Cancer Prevention Trial; SU.VI.MAX
¼ SUpple´mentation en VItamines et Mine´raux Anti-oXydants Trial. *The number of case patients in each of these categories by study is shown in Supplementary Table 3 (available online). BLSA ¼ Baltimore Longitudinal Study of Aging;
CARET ¼ the beta-Carotene and Retinol Efficacy Trial; CLUE II ¼ Campaign against Cancer and Stroke ("Give us a Clue to Cancer") Study; EPIC ¼ European Prospective
Investigation into Cancer and Nutrition; EPIC-Heidel ¼ EPIC-Heidelberg; FMC ¼ Finnish Mobile Clinic Health Examination Survey; HPFS ¼ Health Professionals Follow-
up Study; MEC ¼ Multiethnic Cohort; NLCS ¼ Netherlands Cohort Study; NPC ¼ Nutritional Prevention of Cancer Trial; PCPT ¼ Prostate Cancer Prevention Trial; PHS ¼
Physicians’ Health Study; PLCO ¼ Prostate, Lung, Colorectal and Ovarian Cancer Screening Trial; SELECT ¼ Selenium and Vitamin E Cancer Prevention Trial; SU.VI.MAX
¼ SUpple´mentation en VItamines et Mine´raux Anti-oXydants Trial. †Stage of disease was defined as: localized if TNM was T2 or lower with no reported lymph node involvement or metastases, stage II or lower, or equivalent (ie, a tumor that
does not extend beyond the prostate capsule); advanced if TNM stage was T3 or T4 and/or N1þ and/or M1, stage III or IV, equivalent (ie, a tumor extending beyond the pros-
tate capsule and/or lymph node involvement and/or distant metastases), or unknown. Overall, 5315 (82%) of case patients had data on stage. Aggressive disease was defined
as T4 and/or N1þ and/or M1þ, or stage IV disease and/or death from prostate cancer. Overall, 5432 (84%) of case patients had data on disease aggressiveness.
‡Histological grade was categorized as low-intermediate grade (Gleason sum <8 or cases coded as well, moderately, or poorly differentiated), high-grade (Gleason sum
8þ or cases coded as undifferentiated), or unknown. Overall, 5900 (91%) of case patients had information on grade. *The number of case patients in each of these categories by study is shown in Supplementary Table 3 (available online). BLSA ¼ Baltimore Longitudinal Study of Aging;
CARET ¼ the beta-Carotene and Retinol Efficacy Trial; CLUE II ¼ Campaign against Cancer and Stroke ("Give us a Clue to Cancer") Study; EPIC ¼ European Prospective
Investigation into Cancer and Nutrition; EPIC-Heidel ¼ EPIC-Heidelberg; FMC ¼ Finnish Mobile Clinic Health Examination Survey; HPFS ¼ Health Professionals Follow-
up Study; MEC ¼ Multiethnic Cohort; NLCS ¼ Netherlands Cohort Study; NPC ¼ Nutritional Prevention of Cancer Trial; PCPT ¼ Prostate Cancer Prevention Trial; PHS ¼
Physicians’ Health Study; PLCO ¼ Prostate, Lung, Colorectal and Ovarian Cancer Screening Trial; SELECT ¼ Selenium and Vitamin E Cancer Prevention Trial; SU.VI.MAX
¼ SUpple´mentation en VItamines et Mine´raux Anti-oXydants Trial. Results †Stage of disease was defined as: localized if TNM was T2 or lower with no reported lymph node involvement or metastases, stage II or lower, or equivalent (ie, a tumor that
does not extend beyond the prostate capsule); advanced if TNM stage was T3 or T4 and/or N1þ and/or M1, stage III or IV, equivalent (ie, a tumor extending beyond the pros-
tate capsule and/or lymph node involvement and/or distant metastases), or unknown. Overall, 5315 (82%) of case patients had data on stage. Aggressive disease was defined
as T4 and/or N1þ and/or M1þ, or stage IV disease and/or death from prostate cancer. Overall, 5432 (84%) of case patients had data on disease aggressiveness. ‡Histological grade was categorized as low-intermediate grade (Gleason sum <8 or cases coded as well, moderately, or poorly differentiated), high-grade (Gleason sum
8þ or cases coded as undifferentiated), or unknown. Overall, 5900 (91%) of case patients had information on grade. ‡Histological grade was categorized as low-intermediate grade (Gleason sum <8 or cases coded as well, moderately, or poorly differentiated), high-grade (Gleason sum
8þ or cases coded as undifferentiated), or unknown. Overall, 5900 (91%) of case patients had information on grade. 5 of 8
|
JNCI J Natl Cancer Inst, 2016, Vol. 108, No. 11 Figure 1. Odds ratios (95% confidence intervals [CIs]) of prostate cancer associated with fifths of blood and nail selenium concentration, adjusted for age at blood collec-
tion, body mass index, height, marital status, education, and smoking. The Ptrend was calculated by replacing the fifths of selenium with a continuous variable that was
scored as 0, 0.25, 0.5, 0.75, and 1 in the conditional logistic regression model. Median concentrations in each fifth (using overall cutpoints) are: 874, 1184, 1467, 1677, and
1939 nmol/L for blood selenium and 0.46, 0.54, 0.63, 0.77, and 0.96 ppm for nail selenium. All statistical tests were two-sided. Results in the figures are presented as
squares and lines, representing the odds ratios and corresponding 95% confidence intervals, respectively. The position of the square indicates the value of the odds ra-
tio while the size of the square is inversely proportional to the variance of the logarithm of the odds ratio and indicates the amount of statistical information available
for that particular estimate. The open diamonds (the lateral points of which are the 95% CIs) represent the overall odds ratio for an 80th percentile increase in selenium
concentration. Results 80%le ¼ 80 percentile; CI ¼ confidence interval; OR ¼ odds ratio; Ptr ¼ Ptrend. Figure 1. Odds ratios (95% confidence intervals [CIs]) of prostate cancer associated with fifths of blood and nail selenium concentration, adjusted for age at blood collec-
tion, body mass index, height, marital status, education, and smoking. The Ptrend was calculated by replacing the fifths of selenium with a continuous variable that was
scored as 0, 0.25, 0.5, 0.75, and 1 in the conditional logistic regression model. Median concentrations in each fifth (using overall cutpoints) are: 874, 1184, 1467, 1677, and
1939 nmol/L for blood selenium and 0.46, 0.54, 0.63, 0.77, and 0.96 ppm for nail selenium. All statistical tests were two-sided. Results in the figures are presented as
squares and lines, representing the odds ratios and corresponding 95% confidence intervals, respectively. The position of the square indicates the value of the odds ra-
tio while the size of the square is inversely proportional to the variance of the logarithm of the odds ratio and indicates the amount of statistical information available
for that particular estimate. The open diamonds (the lateral points of which are the 95% CIs) represent the overall odds ratio for an 80th percentile increase in selenium
concentration. 80%le ¼ 80 percentile; CI ¼ confidence interval; OR ¼ odds ratio; Ptr ¼ Ptrend. Figure 2. Study-specific odds ratios (95% confidence intervals [CIs]) of prostate cancer per 80th percentile increase in (A) blood and (B) nail selenium concentration. The
odds ratios are calculated by conditioning on the matching variables within each study (but not further adjusted). Heterogeneity in linear trends between studies was
tested by comparing the v2 values for models with and without a (study) x (linear trend) interaction term. All statistical tests were two-sided. Results in the figures are
presented as squares and lines, representing the odds ratios and corresponding 95% confidence intervals, respectively. The position of the square indicates the value
of the odds ratio while the size of the square is inversely proportional to the variance of the logarithm of the odds ratio and indicates the amount of statistical informa-
tion available for that particular estimate. The open diamonds (the lateral points of which are the 95% CIs) represent the overall odds ratio for an 80th percentile in-
crease in selenium concentration. Results BLSA ¼ Baltimore Longitudinal Study of Aging; CARET ¼ the beta-Carotene and Retinol Efficacy Trial; CI ¼ confidence interval; CLUE
II ¼ Campaign against Cancer and Stroke (Give us a Clue to Cancer) Study; EPIC ¼ European Prospective Investigation into Cancer and Nutrition; EPIC-Heidel ¼ EPIC-
Heidelberg; FMC ¼ Finnish Mobile Clinic Health Examination Survey; HPFS ¼ Health Professionals Follow-up Study; MEC ¼ Multiethnic Cohort; NLCS ¼ Netherlands
Cohort Study; NPC ¼ Nutritional Prevention of Cancer Trial; PCPT ¼ Prostate Cancer Prevention Trial; PHS ¼ Physicians’ Health Study; PLCO ¼ Prostate, Lung, Colorectal
and Ovarian Cancer Screening Trial; SELECT ¼ Selenium and Vitamin E Cancer Prevention Trial; SU.VI.MAX ¼ SUpple´mentation en VItamines et Mine´raux Anti-
oXydants Trial. ARTICLE (Pheterogeneity ¼ .09) (Figure 2B), and the inverse association with
prostate cancer persisted after exclusion of the largest dataset
(NLCS) although it was attenuated (OR per 80th percentile in-
crease ¼ 0.69, 95% CI ¼ 0.50 to 0.94, Ptrend ¼ .02). (Pheterogeneity ¼ .09) (Figure 2B), and the inverse association with
prostate cancer persisted after exclusion of the largest dataset
(NLCS) although it was attenuated (OR per 80th percentile in-
crease ¼ 0.69, 95% CI ¼ 0.50 to 0.94, Ptrend ¼ .02). There were no statistically significant differences in the associ-
ation between nail selenium concentration and prostate cancer
risk by stage or grade of disease, although nail selenium was as-
sociated with a particularly low risk for aggressive disease (OR
per 80th percentile increase ¼ 0.18, 95% CI ¼ 0.11 to 0.31) com-
pared with nonaggressive disease (OR ¼ 0.33, 95% CI ¼ 0.22 to 0. 50, Pheterogeneity ¼ .08) (Figure 3B). There were no statistically significant differences in the associ-
ation between nail selenium concentration and prostate cancer
risk by stage or grade of disease, although nail selenium was as-
sociated with a particularly low risk for aggressive disease (OR
per 80th percentile increase ¼ 0.18, 95% CI ¼ 0.11 to 0.31) com-
pared with nonaggressive disease (OR ¼ 0.33, 95% CI ¼ 0.22 to 0. 50, Pheterogeneity ¼ .08) (Figure 3B). Results There was evidence of heterogeneity in the linear associa-
tion of blood selenium concentration with prostate cancer risk
according to disease aggressiveness (Pheterogeneity ¼ .01), with a
higher blood selenium concentration associated with a lower
risk of aggressive disease (OR per 80th percentile increase ¼
0.43, 95% CI ¼ 0.21 to 0.87), with no association with nonaggres-
sive disease (OR ¼ 1.12, 95% CI ¼ 0.89 to 1.41) (Figure 3A). The dif-
ferences in associations of blood selenium with risk by stage
and grade of disease were not statistically significant although
a reduced risk with high blood selenium was also seen for men
diagnosed with advanced-stage or high-grade disease. Analyses
of the relationship between overall fifths of blood selenium con-
centration and risk of prostate cancer by disease stage, aggres-
siveness, and grade are shown in Supplementary Figure 2
(available online). These findings support the linear trend esti-
mates although the numbers are small in some categories. Of the eight other factors examined, there was also evidence
of heterogeneity in the linear association of both blood and nail
selenium concentration with prostate cancer risk by smoking
status (Pheterogeneity ¼ .02 and .01, respectively) and for nail sele-
nium by family history (Pheterogeneity ¼ .04) (Figure 3). Results BLSA ¼ Baltimore Longitudinal Study of Aging; CARET ¼ the beta-Carotene and Retinol Efficacy Trial; CI ¼ confidence interval; CLUE
II ¼ Campaign against Cancer and Stroke (Give us a Clue to Cancer) Study; EPIC ¼ European Prospective Investigation into Cancer and Nutrition; EPIC-Heidel ¼ EPIC-
Heidelberg; FMC ¼ Finnish Mobile Clinic Health Examination Survey; HPFS ¼ Health Professionals Follow-up Study; MEC ¼ Multiethnic Cohort; NLCS ¼ Netherlands
Cohort Study; NPC ¼ Nutritional Prevention of Cancer Trial; PCPT ¼ Prostate Cancer Prevention Trial; PHS ¼ Physicians’ Health Study; PLCO ¼ Prostate, Lung, Colorectal
and Ovarian Cancer Screening Trial; SELECT ¼ Selenium and Vitamin E Cancer Prevention Trial; SU.VI.MAX ¼ SUpple´mentation en VItamines et Mine´raux Anti-
oXydants Trial. Figure 2. Study-specific odds ratios (95% confidence intervals [CIs]) of prostate cancer per 80th percentile increase in (A) blood and (B) nail selenium concentration. The
odds ratios are calculated by conditioning on the matching variables within each study (but not further adjusted). Heterogeneity in linear trends between studies was Figure 2. Study-specific odds ratios (95% confidence intervals [CIs]) of prostate cancer per 80th percentile increase in (A) blood and (B) nail selenium concentration. The
odds ratios are calculated by conditioning on the matching variables within each study (but not further adjusted). Heterogeneity in linear trends between studies was
tested by comparing the v2 values for models with and without a (study) x (linear trend) interaction term. All statistical tests were two-sided. Results in the figures are
presented as squares and lines, representing the odds ratios and corresponding 95% confidence intervals, respectively. The position of the square indicates the value
of the odds ratio while the size of the square is inversely proportional to the variance of the logarithm of the odds ratio and indicates the amount of statistical informa-
tion available for that particular estimate. The open diamonds (the lateral points of which are the 95% CIs) represent the overall odds ratio for an 80th percentile in-
crease in selenium concentration. Discussion measures, which showed no association with risk of total pros-
tate cancer (based on 4527 case patients and 6021 control sub-
jects) but an approximate halving in risk for aggressive disease
in men with high blood concentrations (based on 527 case
patients and 634 control subjects). Combining (using a weighted
average) our collaborative risk estimate with those from the two
blood-based studies that were unable to contribute data (9,20)
produced similar findings (OR for high vs low category of sele-
nium concentration ¼ 0.92, 95% CI ¼ 0.82 to 1.04). ARTICLE Four studies provided data on nail measures, which showed a
70% reduction in risk for total prostate cancer (based on 1970 case
patients and 2086 control subjects), with no statistically significant
difference by disease subgroups, although the association was
somewhat stronger for aggressive compared with nonaggressive
disease. The majority of the data are from a single study (NLCS),
which also had substantially lower selenium concentrations than
the other studies and a high proportion of advanced and aggres-
sive disease, owing to an enriched sampling of such cases. The apparent difference in risk observed for total prostate can-
cer between the blood and nail measures may partly be because
of the differences in case-mix across the studies. Compared with
studies with blood measures, those with nail measures contained
a higher proportion of advanced-stage (55% vs 14%) and aggres-
sive disease (38% vs 15%) and more men whose samples were
taken before 1995 (48% vs 18%). Widespread use of PSA testing
was introduced in many countries from the mid-1990s onwards
(although use has varied between populations) while PSA screen-
ing was used systematically in two of the collaborating studies
(PCPT and PLCO), contributing to an increase in the detection of
small, asymptomatic tumors in recent years (30). Our overall finding of a null association of total prostate can-
cer risk with blood selenium levels is consistent with findings
from the SELECT trial, which randomly assigned men to selenium
supplementation (200 mg/day L-selenomethionine) with or with-
out vitamin E (400 IU/d of all rac-a-tocopheryl acetate) for 5.5 years,
based on 848 cases (3). Discussion The position of the square indicates the value of the odds ratio while the size of the square is inversely proportional to the variance
of the logarithm of the odds ratio and indicates the amount of statistical information available for that particular estimate. The open diamonds (the lateral points of
which are the 95% CIs) represent the overall odds ratio for an 80th percentile increase in selenium concentration. CI ¼ confidence interval; het ¼ heterogeneity; OR ¼
odds ratio. Figure 3. Odds ratios (95% confidence intervals [CIs]) of prostate cancer associated with an 80th percentile increase across all studies combined in (A) blood and (B) nail
selenium concentration in selected subgroups, adjusted for age at blood collection, body mass index, height, marital status, education, and smoking. Tests for hetero-
geneity for the case-defined factors were obtained by fitting separate models for each subgroup and assuming independence of the odds ratios using a method analo-
gous to a meta-analysis. Tests for heterogeneity for the non-case-defined factors were assessed with a v2-test of interaction between subgroup and the continuous
trend test variable. All statistical tests were two-sided. Results in the figures are presented as squares and lines, representing the odds ratios and corresponding 95%
confidence intervals, respectively. The position of the square indicates the value of the odds ratio while the size of the square is inversely proportional to the variance
of the logarithm of the odds ratio and indicates the amount of statistical information available for that particular estimate. The open diamonds (the lateral points of
which are the 95% CIs) represent the overall odds ratio for an 80th percentile increase in selenium concentration. CI ¼ confidence interval; het ¼ heterogeneity; OR ¼
odds ratio. relatively high baseline serum selenium concentration in these
men (with a median of 1715 nmol/L in the SELECT trial). This is
because the NPC trial, designed to assess the efficacy of selenium
supplementation for the prevention of nonmelanoma skin can-
cer, found that selenium supplementation (as 200 mg/d selenium
in the form of selenized yeast) for an average of 4.5 years was as-
sociated with a statistically significant 52% reduction in prostate
cancer risk 13 years later (based on 63 cases), which was particu-
larly evident among men with a low baseline serum concentra-
tion (ie, <1290 nmol/L at entry to the trial) (2). Discussion This international collaboration has brought together and re-
analyzed almost all of the available data on the association of
blood and nail selenium concentrations and prostate cancer in-
cidence. The majority of the data were from studies with blood N. E. Allen et al. |
6 of 8 N. E. Allen et al. | Figure 3. Odds ratios (95% confidence intervals [CIs]) of prostate cancer associated with an 80th percentile increase across all studies combined in (A) blood and (B) nail
selenium concentration in selected subgroups, adjusted for age at blood collection, body mass index, height, marital status, education, and smoking. Tests for hetero-
geneity for the case-defined factors were obtained by fitting separate models for each subgroup and assuming independence of the odds ratios using a method analo-
gous to a meta-analysis. Tests for heterogeneity for the non-case-defined factors were assessed with a v2-test of interaction between subgroup and the continuous
trend test variable. All statistical tests were two-sided. Results in the figures are presented as squares and lines, representing the odds ratios and corresponding 95%
confidence intervals, respectively. The position of the square indicates the value of the odds ratio while the size of the square is inversely proportional to the variance
of the logarithm of the odds ratio and indicates the amount of statistical information available for that particular estimate. The open diamonds (the lateral points of
which are the 95% CIs) represent the overall odds ratio for an 80th percentile increase in selenium concentration. CI ¼ confidence interval; het ¼ heterogeneity; OR ¼
odds ratio. Figure 3. Odds ratios (95% confidence intervals [CIs]) of prostate cancer associated with an 80th percentile increase across all studies combined in (A) blood and (B) nail
selenium concentration in selected subgroups, adjusted for age at blood collection, body mass index, height, marital status, education, and smoking. Tests for hetero-
geneity for the case-defined factors were obtained by fitting separate models for each subgroup and assuming independence of the odds ratios using a method analo-
gous to a meta-analysis. Tests for heterogeneity for the non-case-defined factors were assessed with a v2-test of interaction between subgroup and the continuous
trend test variable. All statistical tests were two-sided. Results in the figures are presented as squares and lines, representing the odds ratios and corresponding 95%
confidence intervals, respectively. Funding Physicians’ Health Study was supported
by the US National Cancer Institute and the National Institutes
of
Health
(CA42182,
CA58684,
CA57374). Prostate,
Lung,
Colorectal and Ovarian Cancer Screening Trial was supported
by the US National Cancer Institute, the National Institutes of
Health (PLCO Cancer Screening Trial), and the Intramural
Research
Program. SUpplementation
en
Vitamines
et
Mineraux Anti-oXydants Trial was supported by the French
Ministry of Health/Direction Ge´ne´rale de la Sante´ Although it is possible that the inverse association found with
blood and nail selenium concentration and risk of aggressive
prostate cancer might be because of confounding, the analyses
were adjusted for a range of lifestyle factors in addition to the
matching factors used in the individual studies, none of which
materially influenced the risk estimates. There was also no statis-
tically significant heterogeneity in the association of blood or nail
selenium concentration with risk of prostate cancer according to
the number of years between blood collection and diagnosis,
which does not suggest that reverse causation has affected the
results, although this cannot be excluded. Finally, while there
was some evidence of statistical heterogeneity in the association
of selenium with risk by smoking status, the pattern of the associ-
ation differed between blood and nail measures and the statisti-
cally significant heterogeneity may have been because of chance
because of the large number of statistical tests performed. Relatively little is known about the performance of blood and
nail specimens as measures of long-term selenium status. Studies
have shown that both blood and nail measures are correlated with
selenium intake (r¼ 0.6 to 0.7) (34, 35) and with each other (r¼ 0.6)
(36). Nail clippings provide a measure of exposure over several
weeks up to six to 12 months before sample collection (37), with
good repeatability over several years (r ¼ 0.5 to 0.7) (38–40). Blood
levels represent shorter-term selenium exposure (1–2 weeks) (37),
although we have not identified data on the reproducibility of cir-
culating concentrations to determine its stability over the long
term. Thus, the differences in the findings for total prostate cancer
between blood and nail measures may suggest that longer-term
measures of selenium exposure are more relevant. Nonetheless, it
remains difficult to determine the extent to which circulating or
nail concentrations accurately reflect biological activity within
prostatic tissue (41), especially at higher levels of selenium intake,
when glutathione peroxidase activity is saturated (42). Funding This work was supported by Cancer Research UK (grant num-
bers C570/A11691, C8221/A19170). We thank the men who par-
ticipated in the collaborating studies, the research staff, the
collaborating laboratories, and the funding agencies in each of
the studies. BLSA was supported by the National Institute on
Aging Intramural Research Program, Prostate Spore Grant
(CA58236). CARET was supported by the US Department of
Health and Human Services and the National Institutes of
Health (U01 CA63673), Clinical Nutrition Research Unit (P30
DK35816). Campaign against Cancer and Stroke was supported
by the US National Cancer Institute, the National Institutes of
Health (CA94028), and the Department of Defense (DAMD1–94-
J-4265). European Investigation into Cancer and Nutrition was
supported by Cancer Research UK; Europe Against Cancer
Programme of the European Commission; German Cancer Aid;
German Cancer Research Center; German Federal Ministry of
Education
and
Research;
Danish
Cancer
Society;
Health
Research Fund of the Spanish Ministry of Health; Centros de
Investigacion Biomedica en Red Epidemiologıa y Salud Publica,
Barcelona, Spain; the participating regional governments and
institutions of Spain; Medical Research Council, UK; the Stroke
Association (UK); British Heart Foundation; Department of
Health (UK); Food Standards Agency (UK); Greek Ministry of
Education; Greek Ministry of Health and Social Solidarity;
Hellenic Health Foundation; Italian Association for Research
on Cancer; Italian National Research Council; Dutch Ministry
of Public Health, Welfare and Sports; Dutch Ministry of Health;
Dutch Prevention Funds; LK Research Funds; Dutch Zorg
Onderzoek Nederland; World Cancer Research Fund; Swedish
Cancer Society; Swedish Scientific Council; and Regional
Government of Skane, Sweden. EPIC-Heidelberg was sup-
ported by the German Federal Ministry of Education and
Research (FK 0313846A), Deutsche Krebshilfe (10-1793 Scholl). Finnish Mobile Clinic Health Examination was supported by
the Cancer Society of Finland. Health Professionals Follow-up
Study was supported by the US National Cancer Institute, the
National Institutes of Health (CA55075), and the National
Heart, Lung, and Blood Institute (HL35464). Multiethnic Cohort
was supported by the US National Cancer Institute and the
National Institutes of Health (P01 CA 33619, R37 CA 54281). Nutritional Prevention of Cancer Trial was supported by the
US National Cancer Institute and the National Institutes of
Health (RO1 CA49764). Netherlands Cohort Study was sup-
ported by the Dutch Cancer Society (UM 2009–4556). Prostate
Cancer Prevention Trial and Selenium and Vitamin E Cancer
Prevention Trial (SouthWest Oncology Group) were supported
by the US National Cancer Institute and the National Institutes
of Health (CA37429). Discussion Two smaller randomized trials of selenium
supplementation among men at a high risk of developing pros-
tate cancer (the SWOG S9917 and the Negative Biopsy Trial) also
showed no association with prostate cancer risk after three to five
years follow-up although these findings were based on small
numbers of cases (97 and 74, respectively) (5,6). It has been argued
that the lack of a protective effect may have been because of the Because a substantial proportion of PSA-detected cancers re-
main biologically indolent for many years (31), the identification
of factors that are associated with the development of clinically
aggressive cancers is important. Hence, our finding that both
blood and nail concentrations were associated with a lower risk
of aggressive prostate cancer is of potential etiological relevance. However, there are some data to suggest that, among men diag-
nosed with nonmetastatic disease, high doses of selenium 7 of 8
|
JNCI J Natl Cancer Inst, 2016, Vol. 108, No. 11 on screening history, as well as stage and grade of tumors, is
needed to examine these possible associations in more detail. on screening history, as well as stage and grade of tumors, is
needed to examine these possible associations in more detail. supplementation (140 mg/day or more) might be associated with
an increased risk of prostate cancer death (32). Moreover, the
SELECT trial also found that selenium supplementation was asso-
ciated with an increased risk of high-grade (Gleason score 7)
prostate cancer among men with high baseline selenium levels
but not among men with lower baseline nail levels (4). However,
the results of trials of the effect of selenium supplementation on
PSA velocity (used as a marker of disease progression) have been
inconsistent (6,33). Overall, owing to the low numbers of aggres-
sive cancers diagnosed in many populations (in the current anal-
yses, SELECT and NPC contributed 3 and 7 cases of aggressive
disease, respectively), trials of selenium supplementation for the
primary prevention of prostate cancer would have to be very large
to assess differences by tumor stage and grade and are unlikely to
be funded. Rather, further prospective studies in populations
with a relatively high incidence of aggressive disease are war-
ranted to investigate the association of long-term selenium con-
centration with disease incidence and progression. References Advanced prostate cancer risk in relation to toenail selenium levels. J Natl
Cancer Inst. 2013;105(18):1394–13401. 39. Krogh V, Pala V, Vinceti M, et al. Toenail selenium as biomarker: reproducibil-
ity over a one-year period and factors influencing reproducibility. J Trace Elem
Med Biol. 2003;17(Suppl 1):31–36. 13. Goodman GE, Schaffer S, Bankson DD, Hughes MP, Omenn GS. Predictors of
serum selenium in cigarette smokers and the lack of association with lung
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1069–1076. (
pp
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and prostate cancer risk: results from the European Prospective Investigation
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erols, carotenoids, retinol, and 15-isoprostane F(2t) in serum or urine with
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1161–1171. 45. Geybels MS, van den Brandt PA, Schouten LJ, et al. Selenoprotein gene vari-
ants, toenail selenium levels, and risk for advanced prostate cancer. J Natl
Cancer Inst. 2014;106(3):XXX-XXX. 46. Gerstenberger JP, Bauer SR, Van Blarigan EL, et al. References Phase III trial of selenium to prevent
prostate cancer in men with high-grade prostatic intraepithelial neoplasia:
SWOG S9917. Cancer Prev Res. 2011;4(11):1761–1769. 33. Stratton MS, Algotar AM, Ranger-Moore J, et al. Oral selenium supplementa-
tion has no effect on prostate-specific antigen velocity in men undergoing ac-
tive surveillance for localized prostate cancer. Cancer Prev Res. 2010;3(8):
1035–1043. 6. Algotar AM, Stratton MS, Ahmann FR, et al. Phase 3 clinical trial investigating
the effect of selenium supplementation in men at high-risk for prostate can-
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the effect of selenium supplementation in men at high-risk for prostate can-
cer. Prostate. 2013;73(3):328–335. 7. World Cancer Research Fund. Diet, nutrition, physical activity and prostate cancer. 2014. http://www.wcrf.org/sites/default/files/Prostate-Cancer-2014-Report.pdf. Accessed Feb 3, 2016. 34. Longnecker MP, Stram DO, Taylor PR, et al. Use of selenium concentration in
whole blood, serum, toenails, or urine as a surrogate measure of selenium in-
take. Epidemiology. 1996;7(4):384–390. 8. Brooks JD, Metter EJ, Chan DW, et al. Plasma selenium level before diagnosis
and the risk of prostate cancer development. J Urol. 2001;166(6):2034–2038. 35. Swanson CA, Longnecker MP, Veillon C, et al. Selenium intake, age, gender,
and smoking in relation to indices of selenium status of adults residing in a
seleniferous area. Am J Clin Nutr. 1990;52(5):858–862. 9. Nomura AM, Lee J, Stemmermann G, Combs GF Jr. Serum selenium and sub-
sequent risk of prostate cancer. Cancer Epidemiol Biomarkers Prev. 2000;9:
883–887. 36. Satia JA, King IB, Morris JS, Stratton K, White E. Toenail and plasma levels as
biomarkers of selenium exposure. Ann Epidemiol. 2006;16(1):53–58. 10. Li H, Stampfer MJ, Giovannucci EL, et al. A prospective study of plasma sele-
nium levels and prostate cancer risk. J Natl Cancer Inst. 2004;96(9):696–703. 37. Longnecker MP, Stampfer MJ, Morris JS, et al. A 1-y trial of the effect of high-
selenium bread on selenium concentrations in blood and toenails. Am J Clin
Nutr. 1993;57(3):408–413. 11. Yoshizawa K, Willett WC, Morris SJ, et al. Study of prediagnostic selenium
level in toenails and the risk of advanced prostate cancer. J Natl Cancer Inst. 1998;90(16):1219–1224. 38. Garland M, Morris JS, Rosner BA, et al. Toenail trace element levels as bio-
markers: reproducibility over a 6-year period. Cancer Epidemiol Biomarkers
Prev. 1993;2(5):493–497. 12. Geybels MS, Verhage BA, van Schooten FJ, Goldbohm RA, van den Brandt PA. Funding Genetic
studies may help to clarify the role of individual selenoproteins in
prostate carcinogenesis (19,43–48) although more work is needed
to elucidate the relationship of variants in genes that help to regu-
late selenium status with levels of functional biomarkers of sele-
nium and the influence of such variants as modifiers on the
relationship between selenium and prostate cancer risk. This collaborative re-analysis of the association of selenium
status and prostate cancer risk based on the totality of the
worldwide data shows that relatively high blood and nail sele-
nium concentrations are associated with a reduced risk of ag-
gressive
prostate
cancer. Further
investigation
in
large,
representative populations that have selenium measurements
from both blood and nail samples and that include information N. E. Allen et al. |
8 of 8 N. E. Allen et al. |
8 of 8 23. Crowe FL, Appleby PN, Travis RC, et al. Circulating Fatty Acids and Prostate
Cancer Risk: Individual Participant Meta-analysis of Prospective Studies. J
Natl Cancer Inst. 2014;106(9):XXX-XXX. Notes The authors are solely responsible for the study design; the col-
lection, analysis, and interpretation of the data; the writing of
the article; and the decision to submit the article for publication. All authors contributed to these analyses and read and ap-
proved the manuscript. The sponsors had no role in the study
design, data collection, data analysis, data interpretation, writ-
ing of the report, or the decision to publish. The authors have
no conflicts of interest to declare. ( )
24. Key TJ, Appleby PN, Travis RC, et al. Carotenoids, retinol, tocopherols, and
prostate cancer risk: pooled analysis of 15 studies. Am J Clin Nutr. 2015;102(5):
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risk of prostate cancer: a collaborative analysis of individual participant data
from six cohorts including 6875 cases and 8104 controls. Europ Urol. 2015;102:
1142–1157. All authors contributed to these analyses and read and ap-
proved the manuscript. The sponsors had no role in the study
design, data collection, data analysis, data interpretation, writ-
ing of the report, or the decision to publish. The authors have
no conflicts of interest to declare. 26. Travis RC, Appleby PN, Martin RM, et al. A meta-analysis of individual partici-
pant data reveals an association between circulating levels of IGF-I and pros-
tate cancer risk. Cancer Res. 2016; in press. 27. Thompson IM, Goodman PJ, Tangen CM, et al. The influence of finasteride on
the development of prostate cancer. N Engl J Med. 2003;349(3):215–224. References the development of prostate cancer. N Engl J Med. 2003;349(3):215–2 28. Hercberg S, Galan P, Preziosi P, et al. The SU.VI.MAX Study: a randomized,
placebo-controlled trial of the health effects of antioxidant vitamins and
minerals. Arch Intern Med. 2004;164(21):2335–2342. 1. Combs GF, Jr, Gray WP. Chemopreventive agents: selenium. Pharmacol
Therap. 1998;79(3):179–192. 29. Key TJ, Appleby PN, Allen NE, Reeves GK. Pooling biomarker data from differ-
ent studies of disease risk, with a focus on endogenous hormones. Cancer
Epidemiol Biomarkers Prev. 2010;19(4):960–965. 2. Duffield-Lillico AJ, Dalkin BL, Reid ME, et al. Selenium supplementation, base-
line plasma selenium status and incidence of prostate cancer: an analysis of
the complete treatment period of the Nutritional Prevention of Cancer Trial. BJU Int. 2003;91(7):608–612. 2. Duffield-Lillico AJ, Dalkin BL, Reid ME, et al. Selenium supplementation, base-
line plasma selenium status and incidence of prostate cancer: an analysis of
the complete treatment period of the Nutritional Prevention of Cancer Trial. BJU Int. 2003;91(7):608–612. ( )
30. Etzioni R, Gulati R, Falcon S, Penson DF. Impact of PSA screening on the inci-
dence of advanced stage prostate cancer in the United States: a surveillance
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selenium and vitamin e supplementation on prostate cancer risk. J Natl
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EL Selenium supplementation and prostate cancer mortality. J Natl Cancer
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English
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Identification and characterization of microRNAs in the flag leaf and developing seed of wheat (Triticum aestivum L.)
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BMC genomics
| 2,014
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cc-by
| 12,082
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* Correspondence: hxzhao212@nwsuaf.edu.cn
1State Key Laboratory of Crop Stress Biology for Arid Areas, Northwest A & F
University, Yangling 712100, Shaanxi, China
2College of Life Sciences, Northwest A & F University, Yangling 712100,
Shaanxi, China RESEARCH ARTICLE Open Access Han et al. BMC Genomics 2014, 15:289
http://www.biomedcentral.com/1471-2164/15/289 Han et al. BMC Genomics 2014, 15:289
http://www.biomedcentral.com/1471-2164/15/289 Identification and characterization of microRNAs
in the flag leaf and developing seed of wheat
(Triticum aestivum L.) Ran Han1,2, Chao Jian1,2, Jinyang Lv1,2, Yan Yan1,2, Qing Chi1,2, Zhanjie Li1,2, Qian Wang1,2, Jin Zhang1,2,
Xiangli Liu1,2 and Huixian Zhao1,2* © 2014 Han et al.; licensee BioMed Central Ltd. This is an Open Access article distributed under the terms of the Creative
Commons Attribution License (http://creativecommons.org/licenses/by/2.0), which permits unrestricted use, distribution, and
reproduction in any medium, provided the original work is properly credited. The Creative Commons Public Domain
Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article,
unless otherwise stated. Abstract Background: MicroRNAs (miRNAs) regulate various biological processes in plants. Considerable data are available
on miRNAs involved in the development of rice, maize and barley. In contrast, little is known about miRNAs and
their functions in the development of wheat. In this study, five small RNA (sRNA) libraries from wheat seedlings, flag
leaves, and developing seeds were developed and sequenced to identify miRNAs and understand their functions in
wheat development. Results: Twenty-four known miRNAs belonging to 15 miRNA families were identified from 18 MIRNA loci in wheat
in the present study, including 15 miRNAs (9 MIRNA loci) first identified in wheat, 13 miRNA families (16 MIRNA loci)
being highly conserved and 2 (2 MIRNA loci) moderately conserved. In addition, fifty-five novel miRNAs were also
identified. The potential target genes for 15 known miRNAs and 37 novel miRNAs were predicted using strict
criteria, and these target genes are involved in a wide range of biological functions. Four of the 15 known miRNA
families and 22 of the 55 novel miRNAs were preferentially expressed in the developing seeds with logarithm (log2)
of the fold change of 1.0 ~ 7.6, and half of them were seed-specific, suggesting that they participate in regulating
wheat seed development and metabolism. From 5 days post-anthesis to 20 days post-anthesis, miR164 and miR160
increased in abundance in the developing seeds, whereas miR169 decreased, suggesting their coordinating
functions in the different developmental stages of wheat seed. Moreover, 8 known miRNA families and 28 novel
miRNAs exhibited tissue-biased expression in wheat flag leaves, with the logarithm of the fold changes of 0.1 ~ 5.2. The putative targets of these tissue-preferential miRNAs were involved in various metabolism and biological
processes, suggesting complexity of the regulatory networks in different tissues. Our data also suggested that
wheat flag leaves have more complicated regulatory networks of miRNAs than developing seeds. Conclusions: Our work identified and characterised wheat miRNAs, their targets and expression patterns. This study
is the first to elucidate the regulatory networks of miRNAs involved in wheat flag leaves and developing seeds, and
provided a foundation for future studies on specific functions of these miRNAs. Keywords: MicroRNA, Triticum aestivum, Flag leaf, Seed development, Small RNA sequencing, Expression profile,
miRNA target © 2014 Han et al.; licensee BioMed Central Ltd. Background Wheat (Triticum aestivum L.) is a major staple crop for
human diet. With the increase in global population, the
shortage of food has become increasingly serious. There-
fore, improvement of wheat yield is vital for relieving
food shortages. Conventional breeding approaches via
manipulation of genetic variation have been successful
in improving the important agronomic traits of cereals;
however, further wheat improvement requires deep un-
derstanding of the molecular mechanisms that control
wheat growth and development [1]. Small RNAs (sRNAs) have been found to control cellular
metabolism, growth and differentiation, to maintain gen-
ome integrity, and to combat viruses and mobile genetics
elements in eukaryotes [2]. According to the present know-
ledge, these regulatory sRNAs are classified into micro-
RNAs (miRNAs), short interfering RNAs (siRNAs), and
Piwi-interacting RNAs in metazoans. miRNAs are pro-
duced from non-coding single-stranded RNA precursors
(pri-miRNAs) that are transcribed by RNA polymerase II to
generate an imperfect self-complementary, stem-loop sec-
ondary structure [3,4]. In higher plants, a pri-miRNA is
trimmed and spliced into an sRNA duplex consisting of an
miRNA and its complementary sequence (miRNA*) by
Dicer-like1 (DCL1) with the help of the dsRNA binding
protein HYL1 and the dsRNA methylase HEN1 [5-7]. A
mature miRNA, which is typically 20 nt to 22 nt long, is in-
corporated in the RNA-induced silencing complex to
down-regulate the expression of its target genes in trans
through a base pairing mechanism, whereas miRNA* is as-
sumed to be degraded [5,8]. miRNAs display near-perfect
complementarity to their target mRNAs and interfere with
target gene expression by mRNA cleavage, which occurs at
the 10th and 11th positions of miRNAs, or by inhibition of
translation in plants [9,10]. In plants, miRNAs are the sec-
ond most abundant sRNAs [11], acting as powerful en-
dogenous regulators. For example, many distinct miRNAs
target transcripts encoding for various transcription factors
that control plant development and phase transition in Ara-
bidopsis [12], rice [13] and maize [14], whereas others are
involved in biotic and abiotic stress responses [15,16]. The
number of annotated miRNAs in miRBase database has ex-
ponentially increased in recent years. To date, 7,390 miR-
NAs have been identified in the plant kingdom, and the
information has been deposited in miRBase (Release 20.0,
June 2013; http://www.mirbase.org). Abstract This is an Open Access article distributed under the terms of the Creative
Commons Attribution License (http://creativecommons.org/licenses/by/2.0), which permits unrestricted use, distribution, and
reproduction in any medium, provided the original work is properly credited. The Creative Commons Public Domain
Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article,
unless otherwise stated. Han et al. BMC Genomics 2014, 15:289
http://www.biomedcentral.com/1471-2164/15/289 Han et al. BMC Genomics 2014, 15:289
http://www.biomedcentral.com/1471-2164/15/289 Page 2 of 14 reflecting their fast-evolving and functionally diverging na-
ture [16,17]. Recent studies have investigated the functions
of miRNAs in the seed development of various plants, such
as Arabidopsis [18,19], rice [13,20,21], maize [22], barley
[23] and wheat [24]. Plants expressing the miR160-resistant
auxin response factor 17 (ARF17) may cause abnormal em-
bryo symmetry [18]. miR164 regulates NAC-domain target
genes in Arabidopsis, and perturbation of miR164-directed
regulation causes developmental abnormalities in embry-
onic, vegetative and floral organs [12]. miRNAs are involved
in many regulatory pathways that control seed development
in Arabidopsis; therefore, loss-of-function miRNA muta-
tions may lead to developmental defects or death [19]. miR156 targets squamosa promoter-binding protein-like 10
(SPL10) and SPL11, and the regulation of these targets pre-
vents premature gene expression during early embryo-
genesis [19]. In barley, it was found that the regulatory
functions of miRNAs peak during the transition between
the pre-storage and storage phases in seed development;
miRNAs regulate the development of cereal grain through
phytohormone response pathways [23]. A recent study has
found that miR397 overexpression improves rice yield by
increasing grain size and promoting panicle branching [21]. Therefore, understanding the involvement of miRNAs in
plant development is necessary to elucidate their functions
in seed development and to promote yield improvement
not only in rice but also in other cereal crops by manipulat-
ing related miRNA genes. Background However, most of
these miRNAs have been identified in plants whose whole
genome sequences are available; some of these plants in-
clude Oryza sativa (713), Populus trichocarpa (401), Arabi-
dopsis thaliana (337), Brachypodium distachyon (464) and
Zea mays (321). Similar to many gene regulatory systems,
miRNAs are both conserved and diverse among plant line-
ages. Some miRNAs are conserved in angiosperms or even
in embryophyta [16], whereas others are species specific, To date, less than 220 miRNAs have been identified in
wheat, 42 of which have been registered in the miRBase/
Triticum aestivum (Release 20.0, June 2013; http://www. mirbase.org) [25-29]. Considerable data are available on
the miRNAs involved in the development of rice, maize
and barley. In contrast, little is known about the miR-
NAs and their regulatory functions in the development
of wheat. Therefore, identification and functional ana-
lysis of miRNAs in wheat are urgently needed. Wheat development is a complex event wherein the
expansion and specialisation of different tissues are con-
trolled by complicated interactions of signalling and
gene regulation networks. The complex developmental
events crucial to the development of a mature grain
composed of the embryo, endosperm (starchy endo-
sperm and aleurone) and outside layer (seed coat and
pericarp)
take
approximately
40
days-post-anthesis
(DPA). Grain development can be divided into three
stages based on morphological changes and metabolite
accumulation: pre-storage, storage (or maturation) and
desiccation [30,31]. The pre-storage phase correspond-
ing to the first 5 DPA is featured by extensive mitotic ac-
tivity in both embryo and endosperm. The transition to
storage phase, characterised by dramatic transcriptional
changes, occurs at 5 DPA to 10 DPA; this transition ini-
tiates the differentiation of tissues that will constitute Page 3 of 14 Han et al. BMC Genomics 2014, 15:289
http://www.biomedcentral.com/1471-2164/15/289 Han et al. BMC Genomics 2014, 15:289
http://www.biomedcentral.com/1471-2164/15/289 redundant sequences (unique sequences). A total of
74,590,133 clean reads representing 19,872,325 unique
reads 18 nt to 30 nt long were obtained from deep se-
quencing of the five sRNA libraries (Table 1). The num-
ber of unique reads increased in flag leaves and
developing seeds of 5-d, 10-d and 20-d. This observa-
tion is consistent with a previous study, which found
the increasing unique signatures in developing barley
grain samples at 1 DPA to 5 DPA, 6 DPA to 10 DPA,
and 11 DPA to 15 DPA [23]. Background These data suggest that
wheat developing seeds have a more complex sRNA
population than vegetative tissues. the mature grain [30]. Throughout the storage phase,
which lasts up to approximately 25 DPA, aleurone and
embryonic tissues acquire desiccation tolerance, whereas
endosperm cells undergo endoreduplication and accu-
mulate storage metabolites (mainly starch and proteins)
[31]. Flag leaf is essential in wheat reproduction develop-
ment because it contributes approximately 45% to 58%
of the total photosynthetic activity [32] and approxi-
mately 41% to 43% of the carbohydrates for grain filling
[33]. Our long-term goal is to reveal the roles of miRNAs in
wheat development. The objective of this study is to sys-
tematically identify miRNA species in wheat tissues dur-
ing different developmental stages. To achieve this, we
sequenced five sRNA libraries from wheat seedlings, flag
leaves and immature seeds at 5 DPA (5-d seed), 10 DPA
(10-d seed) and 20 DPA (20-d seed), respectively, to
identify the miRNAs and understand their functions in
wheat flag leaf and seed development. We identified
known and novel miRNAs based on the presence of
their precursors in wheat EST databases or wheat gen-
ome shotgun-sequence assemblies and their abundance
as well as based on the detection of miRNA*. We also
predicated the potential targets for the identified miR-
NAs and then analysed the expression of their profiles. This study is the first to provide useful information for
uncovering the regulatory networks of miRNAs in wheat
flag leaves and developing seeds. Only 41,352,236 of the 74,590,133 redundant reads
(55.39%) and 11,028,735 of the 19,872,325 unique reads
(55.45%) were matched perfectly to wheat genome
shotgun-sequence
assemblies
(http://mips.helmholtz-
muenchen.de/plant/wheat/uk454survey/index.jsp)
(Table 1). The summary of sRNA sequencing in the five
libraries or tissues is listed in Additional file 1. We focused on the distribution of 18 nt to 26 nt reads
in the five libraries or tissues because most of the sRNAs
with known functions are 20 nt to 24 nt long. The size
distribution patterns of the sRNA reads in the five wheat
tissues suggest a distinct sRNA population in a particu-
lar wheat tissue or developmental stage (Figure 1). In the
seedlings, the most abundant sRNA reads were 24 nt
long (about 30%), followed by reads of 21 nt long (15%),
the typical length of canonical miRNAs (Figure 1). These
results are consistent with previous findings in Arabi-
dopsis [34], rice [13], soybean [35] and apple [36]. Background How-
ever, sRNA reads from flag leaves were characterised
with 24, 21 and 20 nt (27%, 30% and 22%, respectively)
as the major size classes (Figures 1). The distribution of
sRNA reads from flag leaves is similar to what has been
observed in a previous study [37]. sRNAs with different
sizes perform different functions. For example, post-
transcriptional gene silencing is usually mediated by
21 nt sRNAs, whereas gene silencing mediated by RNA-
dependent
DNA
methylation
and
heterochromatin Diverse sRNA population in different wheat tissues or
developmental stages All sequencing data were first processed by filtering
adaptor sequences and removing low-quality reads, and
reads with sequences larger than 30 nt and smaller than
18 nt using the SOAPnuke software (http://soap.gen-
omics.org.cn/) developed by BGIA, and clean reads
were generated for each sRNA library. Identical reads
were subsequently pooled to create a list of non- Table 1 Read statistics in five sRNA libraries
Tissue
Redundant
Unique
Clean reada
Wheat genome-matched readb
Clean reada
Wheat genome-matched readb
Seedlingsc
13,931,738
6,344,991 (45.54%)
3,670,844
1,947,422 (53.05%)
Flag leavesd
13,595,341
7,499,877 (55.17%)
3,089,194
1,823,512 (59.03%)
5-d seeds
14,569,411
8,436,803 (57.91%)
3,214,958
1,619,493 (50.37%)
10-d seeds
14,181,881
8,203,547 (57.85%)
3,857,235
2,114,232 (54.81%)
20-d seeds
18,311,762
10,833,109 (59.16%)
6,040,094
3,515,176 (58.20%)
Total
74,590,133
41,352,236 (55.39%)
19,872,325
11,028,735 (55.45%)
a 18 nt to 30 nt in length. b Referring to clean reads perfectly matched with wheat genome shotgun-sequence assemblies (http://mips.helmholtz-muenchen.de/plant/wheat/uk454survey/index.jsp). c Seedlings after vernalisation in the field (at five-leaf stage). d From heading wheat plants. Table 1 Read statistics in five sRNA libraries g
b Referring to clean reads perfectly matched with wheat genome shotgun-sequence assemblies (http://mips.helmholtz-muenchen.de/plant/wheat/uk454survey/index.jsp). c Seedlings after vernalisation in the field (at five-leaf stage). d From heading wheat plants. Han et al. BMC Genomics 2014, 15:289
http://www.biomedcentral.com/1471-2164/15/289 Page 4 of 14 Page 4 of 14 Figure 1 Size distribution of redundant and unique short RNA sequences. Number of redundant and unique small RNA (sRNA) sequences
from seedlings, flag leaves and immature seeds at 5 (5-d seeds), 10 (10-d seeds), and 20 (20-d seeds) days post-anthesis are shown separately. The frequency of redundant and unique 20 to 24 nt sRNAs in the seedlings, flag leaves and 5-d, 10-d and 20-d seeds are also shown, respectively. The frequency is expressed as a percentage of the total number of clean reads for each tissue. Figure 1 Size distribution of redundant and unique short RNA sequences. Number of redundant and unique small RNA (sRNA) sequences
from seedlings, flag leaves and immature seeds at 5 (5-d seeds), 10 (10-d seeds), and 20 (20-d seeds) days post-anthesis are shown separately. The frequency of redundant and unique 20 to 24 nt sRNAs in the seedlings, flag leaves and 5-d, 10-d and 20-d seeds are also shown, respectively. The frequency is expressed as a percentage of the total number of clean reads for each tissue. miRNAs in miRBase (Release 20.0, http://www.mirbase. org). Diverse sRNA population in different wheat tissues or
developmental stages As a result, 24 known miRNAs representing 15
miRNA families were identified from 18 MIRNA loci in
wheat (Table 2 and Additional file 2). Of these 24 known
miRNAs, 9 (9 MIRNA loci) have been registered in miR-
Base/Triticum aestivum (Release 20.0, http://www.mir-
base.org), and the remaining 15 (9 MIRNA loci) were
first identified in wheat in the present study (Additional
files 2, 3 and 4). Among the 15 known miRNAs (from 9
MIRNA loci in wheat), 6 pairs are miRNA/miRNA*. In
the present study, these known miRNAs/families were
sorted into two categories: highly conserved miRNAs
and moderately conserved miRNAs. The former miR-
NAs are conserved in all three dicots (Arabidopsis, soy-
bean and Populus) and three monocots (rice, maize and
Brachypodium) whose genome sequences are available;
the latter miRNAs are only conserved in some of these
plant species, but not in the all six plant species de-
scribed above (miRBase 20.0). Of the 15 known miRNA
families (18 MIRNA loci), 13 (16 MIRNA loci) are highly
conserved and 2 (2 MIRNA loci) are moderately con-
served (Table 2 and Additional file 2). maintenance are usually performed by 24 nt sRNAs
[38,39]. The sRNA reads from the 5-d, 10-d and 20-d seeds
shared similar size distribution patterns, with 24 nt as
the dominant class of sRNAs (Figure 1). The frequencies
of 24 reads decreased from the 5-d seeds to the 20-d
seeds, while 21 nt increased. This result is in agreement
with previous data on the early development of barley
seed samples at 1 DPA to 5 DPA, 6 DPA to 10 DPA, and
11 DPA to 15 DPA [23]. However, if unique sequences
are considered, 24 nt reads composed the predominant
class of sRNAs (approximately 55% to 70%) in all the
five libraries or tissues, as compared with the 20 to 23 nt
reads (3% to 15%) (Figure 1). The five sRNA libraries
shared less than 1.2% of the 21 nt sRNAs and less than
0.4% of the 24 nt sRNAs, indicating diverse sRNA popu-
lations in the tested tissues. Overall, these results indi-
cate that distinct pools of sRNA work in different wheat
tissues or developmental stages. sues
M)☆
0-d seeds
4048
4
0
246
1239
2213
18,239
68
9
89
0
65
0
0
1
nd Populus)
six plant sp
f the abund or tissu
ce (RPM
10-
bean and
all the six
ation of t bean an
all the
ation o es
☆
seeds
4048
4
0
246
1239
2213
18,239
68
9
89
0
65
0
0
1
Populus) a
plant spe
e abunda tissu
(RPM
10-d
n and
the six
n of t tissues
(RPM)☆
10-d see
40
2
12
22
18,2
an and Popu
the six plan
on of the ab PM)
0-d
and
e six
of th or tis
ce (RP
1
bean a
all the
ation o nd P
six
of th or tissues
ce (RPM)☆
10-d seeds
4048
4
0
246
1239
2213
18,239
68
9
89
0
65
0
0
1
bean and Populus)
all the six plant spe
ation of the abund an an
the s
on of Characterization of highly to moderately conserved
known miRNAs The abundance of these known miRNAs, as reflected in
normalised reads (reads per million of total miRNA reads,
RPM), was further compared in this study. The highly
conserved
miRNAs
or
families
showed
significant
variation among the families in all the five tissues
(Table 2 and Additional file 2). The highest read In this study, sRNA reads with sequence similarity above
90% to rRNAs, tRNAs, snRNAs and snoRNAs were re-
moved by BLASTN alignment against the data deposited
in Rfam 10.0 (http://rfam.janelia.org/), and unique sRNA
sequences perfectly matched to wheat genome shotgun-
sequence
assemblies
were
aligned
to
known
plant es or tissues
ance (RPM)☆
Logarithm of the fold change★
s
10-d seeds
20-d seeds
Total
Flag leaves
5-d seeds
10-d seeds
3
4048
4804
61835
1.3
−3.7
−1.9
3
4
11
127
2.3
−0.4
−2.1
1
0
8
12
1.0
0.0
-
5
246
244
976
−0.5
−0.6
0.3
6
1239
2350
13272
0.2
1.0
−0.9
0
2213
4623
20963
1.3
−1.7
−0.7
7
18,239
14,070
238182
1.2
−1.9
−1.6
7
68
19
199
−4.6
1.9
1.5
8
9
7
77
−0.6
−0.5
−1.5
7
89
102
2933
2.4
−3.2
−2.2
0
0
0
5
-
-
-
1
65
40
921
0.5
−1.7
−2.2
0
0
0
16
3.9
-
-
0
0
0
2
0.0
-
-
1
1
1
379
5.2
−3.3
−3.3
oybean and Populus) and three monocots (rice, maize and Brachypodium) whose genome sequences are available. M
in all the six plant species described above (miRBase 20.0, June 2013; http://www.mirbase.org). M). e ration of the abundance of a miRNA family in flag leave, 5-d seeds, 10-d seeds or 20-d seeds to the abundance of ★ Han et al. BMC Genomics 2014, 15:289
http://www.biomedcentral.com/1471-2164/15/289 Page 6 of 14 abundance (approximately 238,000 RPM) was detected
in the miR168 family and was 3.8 to 78 times more
abundant than the other miRNA families, including
miR156, miR166, miR167 and miR172, whose abun-
dance ranged from about 2,900 RPM to 62,000 RPM
(Table 2). Although low expression (976 RPM and 921
RPM, respectively) was observed for both miR164 and
miR396 families, their expression level was still about 4 to
200 times greater than any of the 6 remaining highly con-
served miRNA families (Table 2 and Additional file 2). Similarly, the two moderately conserved miRNA families
exhibited great variation in abundance between the fam-
ilies (Table 2). Novel miRNA species in wheat sRNA reads with no sequence similarity to known miR-
NAs were further analyzed for potential new miRNA
species. These unique sequences with 20 to 23 nt were
analyzed against wheat EST database (http://www.ncbi. nlm.nih.gov/nucest/?term=wheat)
or
wheat
genome
shotgun-sequence
assemblies
(http://mips.helmholtz-
muenchen.de/plant/wheat/uk454survey/index.jsp). The
EST sequences or the contigs from the wheat genome
shotgun-sequence assemblies that matched to the sRNA
reads were extracted from the databases and analyzed
for the existence of pre-miRNA sequences that can form
a hairpin secondary structure using miRNA prediction
software MIREAP (http://sourceforge.net/projects/mir-
eap/), the potential new miRNAs predicted meeting the
common criteria (see details in Methods). Then, novel
miRNAs were further identified based on both their
abundance (at least 5 RPM in at least one of the five tis-
sues examined) and the detection of miRNA*s, because
accumulations of miRNA*s are strong supporting evi-
dence for the cleavage by DCLs to produce functional
mature miRNAs during miRNA biogenesis in plants [5]. A total of 55 novel miRNAs corresponding to 54 pre-
cursors which can form qualified secondary structures
were identified in the present study (Table 3, Additional
file 5), and of which, 6 mature miRNA sequences were
previously described in wheat [24,26]. The detailed infor-
mation of all the 55 novel miRNAs, including the pre-
miRNA sequences and the structures, the loci of the
mature miRNA sequences and their miRNA*s, and the
alignments of all novel miRNAs to their precursor
sequences, were shown in Additional files 6 and 7. While, 53 miRNAs with abundance more than 5 RPM in
at least one of the five tissues tested but without miR-
NA*s detected were identified as candidate miRNAs
(Additional file 8), their loci, pre-miRNA sequences and
structures, and reads in deep sequencing were also list
in Additional files 6 and 7. A recent review [41] has Characterization of highly to moderately conserved
known miRNAs Variation in expression levels of different
miRNA species was also found in other plant species,
such as grapevine [40] and apple [36]. reported that 65.5% of the known miRNAs in wheat
begin with a 5′ uridine and that 56.5% are 21 nt long;
these properties are typical in miRNAs from other spe-
cies [42,43]. In the present study, 56.4% (31/55) of the
novel miRNAs started with a U at their 5′-end, and that
65.5% (36/55) are 21 nt long (Additional file 5). As been
found in Arabidopsis and apple, new species-specific
miRNAs are young miRNAs that have recently evolved
and are often expressed at a lower level than conserved
miRNAs [34,36,44]. This observation is also true for
most of the 55 novel miRNAs identified in the present
study (Table 3, Additional file 5). Target gene prediction for novel miRNAs To understand the functions of the novel miRNAs iden-
tified, the putative targets of these miRNAs were pre-
dicted by using a web-based psRNA Target program
(http://plantgrn.noble.org/psRNATarget/)
with
default
parameters given in the Methods section. Thirty-seven
of the 55 novel miRNAs (67.3%) had predicted targets
that met the criteria (Additional file 9). According to the
data in miRBase, 34 of the 42 (80.9%) wheat miRNAs
have predicted targets, which is a little more than our
result. As shown in Additional file 9, the predicted tar-
gets included transcript factors, protein kinases, en-
zymes, cellular components, receptors and transporters
involved in multiple cellular processes, indicating the ex-
tensive functions of miRNAs in gene regulation net-
works. For example, seed-specific tae-miR1127b which
were only present in developing seed (Additional file 5)
targeted riboflavin biosynthesis protein Rib gene/amino
acid permease gene, which function in seed development
[45,46]. This result is consistent with its functions re-
ported
earlier. Seed-specific
tae-miR9653
and
tae-
miR9661 targeted Zinc finger transcription factor-like
protein and F-box domain containing protein, respect-
ively (Additional file 9). These genes have important
functions throughout plant development [47,48]. Preferential expression of different miRNA species in
specific wheat tissues Knowledge about the temporal and spatial expression of
miRNAs might provide clues on where these miRNAs
function. In the present study, the availability of the five
sRNA datasets from the seedlings, flag leaves, 5-d seeds,
10-d seeds and 20-d seeds of wheat provided an oppor-
tunity to compare the expression profiles of these miR-
NAs in different tissues and developmental stages. The
datasets from Solexa sequencing indicated that the ma-
jority of the miRNAs including the known and the novel
miRNAs showed different levels of tissue-biased expres-
sion with logarithm (log2) of the fold changes of −4.6 ~
5.2 for the known miRNAs and −8.6 ~ 7.6 for the novel
miRNAs (Table 2 and Additional file 5), whereas the fold Han et al. Preferential expression of different miRNA species in
specific wheat tissues BMC Genomics 2014, 15:289
http://www.biomedcentral.com/1471-2164/15/289 Page 7 of 14 Page 7 of 14 Table 3 Summary of newly identified 55 novel miRNAs in the five wheat libraries or tissues
miRNA
Mature sequence(5′→3′)☆
Length
(nt)
Abundance (RPM)§
Seedlings
Flag leaves
Developing seeds
tae-miR1120b
UUCUUAUAUUGUGGGACAGAG
21
26
131
56
tae-miR1120c
UAAUAUAAGAACGUUUUUGAC
21
0
24
0
tae-miR1122b
AGACUUAUAUGUAGGAACGGA
21
0
0
10
tae-miR1122c
UCUAAUAUUAUGGGACGGAGG
21
4
8
4
tae-miR1127b
ACAAGUAUUUCUGGACGGAGG
21
0
0
17
tae-miR1130b
UCUUAUAUUAUGGGACGGAGG
21
0
10
0
tae-miR1137b
UCCGUUCCAGAAUAGAUGACC
21
9
13
28
tae-miR167c
UGAAGCUGCCAGCAUGAUCUGC
22
67
173
88
tae-miR1847
ACCUGCAGUUGGGCCAAUGAC
21
47
106
20
tae-miR2275
UUUGGUUUCCUCCAAUAUCUCG
22
0
0
12
tae-miR396
AACUGUGAACUCGCGGGGAUG
21
6
11
35
tae-miR397
UCACCGGCGCUGCACACAAUG
21
2
92
5
tae-miR5048
UUUGCAGGUUUUAGGUCUAAGU
22
1,142
1,274
0
tae-miR5049
AAUAUGGAUCGGAGGGAGUAC
21
1
13
1
tae-miR5062
UGAACCUUAGGGAACAGCCGCAU
23
510
1,509
2,932
tae-miR5175
UUCCAAAUUACUCGUCGUGGU
21
0
129
34
tae-miR5384
UGAGCGCGCCGCCGUCGAAUG
21
0
12
0
tae-miR6197
UCUGUAAACAAAUGUAGGACG
21
29
71
131
tae-miR7757
AUAAAACCUUCAGCUAUCCAUC
22
67
83
78
tae-miR9652-3P
AAGCUUAAUGAGAACAUGUG
20
0
14
1
tae-miR9652-5P
CCUGUUUGUCAUUAAGUUUCUU
22
2
0
10
tae-miR9653
UUUGAGACUUUGGCCAUGGCC
21
0
0
15
tae-miR9654a
UUCUGAAAGGCUUGAAGCGAAU
22
0
0
135
tae-miR9654b
UUCCGAAAGGCUUGAAGCGAAU
22
1
3
34
tae-miR9655
CAAGGGAAGGAAGUAGCCAAC
21
15
1
1047
tae-miR9656
CUUCGAGACUCUGAACAGCGG
21
0
0
18
tae-miR9657a
UGUGCUUCCUCGUCGAACGGU
21
0
0
46
tae-miR9657b
UUCGUCGGAGAAGCAUGUUGC
21
0
0
60
tae-miR9657c
CGUGCUUCCUCGUCGAACGGU
21
16
39
29
tae-miR9658
AUCGUUCUGGGUGAAUAGGCC
21
7
10
299
tae-miR9659
UCCAAUGGUUGUUCACGGCAUC
22
0
0
248
tae-miR9660
UUGCGAGCAACGGAUGAAUC
20
0
0
21
tae-miR9661
UGAAGUAGAGCAGGGACCUCA
21
2
1
27
tae-miR9662a
UUGAACAUCCCAGAGCCACCG
21
402
488
898
tae-miR9662b
UGAACAUCCCAGAGCCACCGG
21
0
488
821
tae-miR9663
AAGCGUAGUCGAACGAAUCUG
21
1,634
5,562
10,441
tae-miR9664
UUGCAGUCCUCGAUGUCGUAG
21
243
305
1122
tae-miR9665
GCUAGCAGUGUAAACUCAAAUCA
23
0
0
9
tae-miR9666a
CGGUAGGGCUGUAUGAUGGCGA
22
46
47
1,519
tae-miR9666b
CGGUUGGGCUGUAUGAUGGCGA
22
8,913
29
477
tae-miR9666c
GCCAUCAUACGUCCAACCGUG
21
10
0
0
tae-miR9667
AAAUAUGGCAAACAAUGAAUG
21
0
0
27
tae-miR9668
CCAAUGACAAGUAUUUUCGGA
21
0
10
9 mary of newly identified 55 novel miRNAs in the five wheat libraries or tissues Han et al. Preferential expression of different miRNA species in
specific wheat tissues BMC Genomics 2014, 15:289
http://www.biomedcentral.com/1471-2164/15/289 Page 8 of 14 Table 3 Summary of newly identified 55 novel miRNAs in the five wheat libraries or tissues (Continued)
tae-miR9669
UACUGUGGGCACUUAUUUGAC
21
9
0
0
tae-miR9670
AGGUGGAAUACUUGAAGAAGA
21
140
218
409
tae-miR9671
UGACUUUACACAACUGUCCGGC
22
6
13
0
tae-miR9672
CCACGACUGUCAUUAAGCAUC
21
92
366
36
tae-miR9673
UAAGAAGCAAAUAGCACAUG
20
4
14
11
tae-miR9674a
GCAUCAUCCAUCCUACCAUUC
21
143
346
337
tae-miR9674b
AUAGCAUCAUCCAUCCUACCC
21
362
453
817
tae-miR9675
UUUAUGAUCACUCUCGUUUUG
21
0
32
0
tae-miR9676
UGGAUGUCAUCGUGGCCGUACA
22
57
63
19
tae-miR9677
UGGCCGUUGGUAGAGUAGGAGA
22
1
9
344
tae-miR9678
UCUGGCGAGGGACAUACACUGU
22
4
0
411
tae-miR9679
CAGAACCAGAAUGAGUAGCUC
21
15
32
59
☆The mature sequence bold were previously described in wheat (Wei et al., 2009 [26]; Meng et al., 2013 [24]). §Abundance reflected by normalised reads (reads per million of total miRNA reads, RPM). *Including 5-d seeds, 10-d seeds, and 20-d seeds, thereby the abundance referring to the total of abundance of each miRNA in the three stages of
developing seeds. Table 3 Summary of newly identified 55 novel miRNAs in the five wheat libraries or tissues (Continued) the logarithm of the fold changes between 0.1 and 7.6
(Figure 3, Table 2 and Additional file 5). Of the 15
known miRNA families, 4 (miR169, miR166, miR164
and miR160) were preferentially expressed in the devel-
oping seeds (with the logarithm of the fold changes of
0.3 ~ 3.0 in the developing seeds, more than those in the
flag leaves) (Figure 3a, Table 2). From 5 DPA to 20 DPA,
miR164 and miR160 increased in abundance, whereas
miR169 decreased (Figure 3a, Table 2). This result sug-
gests that these miRNAs might have coordinating func-
tions in different developmental stages of wheat seed. The potential targets of these known miRNAs were pre-
dicted (Additional file 11). The expression patterns of
these miRNAs were closely related to their functions. miR160 and miR164 targeted Auxin response factor
(ARF) and NAC transcription factor (NAC), respectively
(Additional file 11), which control key steps in plant de-
velopment. Auxin is crucial in seed development pro-
cesses, including pattern formation, cell division and cell
expansion [49]. Plants expressing the miR160-resistant
ARF17 may cause abnormal embryo symmetry [18]. NAC genes have important functions in developmental
processes, such as auxin signalling and defence [50,51]. A recent research has revealed that NAC genes that
regulate senescence improve protein, zinc, and iron con-
tents in wheat grain [52]. Preferential expression of different miRNA species in
specific wheat tissues BMC Genomics 2014, 15:289 Page 9 of 14 http://www.biomedcentral.com/1471-2164/15/289 Figure 2 Comparison of the miRNA expression profiles determined by quantitative real-time RT-PCR (qPCR) and deep sequencing. a,
known miRNAs; b, novel miRNAs and candidate miRNAs. In qPCR, UBQ was used as the internal reference gene, and the relative expression of
each miRNA was calculated using a comparative CT (ΔΔCT) method. The miRNA sample with the lowest CT value that corresponds to the highest
expression level was selected as the calibrator, in which the expression level was set as 1.0. The relative expression levels of the same miRNA in
the other four samples were then normalised by comparing with the highest one in the tested tissues. Three independent biological replicates
were performed in this experiment. For each sample, qPCR was performed in triplicate. Each column represents the mean of three samples, and
error bars represent the standard deviation. In deep sequencing technology, read counts for each miRNA in one sample were normalised to Figure 2 Comparison of the miRNA expression profiles determined by quantitative real-time RT-PCR (qPCR) and deep sequencing a Figure 2 Comparison of the miRNA expression profiles determined by quantitative real-time RT-PCR (qPCR) and deep sequencing. a,
known miRNAs; b, novel miRNAs and candidate miRNAs. In qPCR, UBQ was used as the internal reference gene, and the relative expression of
each miRNA was calculated using a comparative CT (ΔΔCT) method. The miRNA sample with the lowest CT value that corresponds to the highest the miRNA expression profiles determined by quantitative real-time RT-PCR (qPCR) and deep sequencing. a, Figure 2 Comparison of the miRNA expression profiles determined by quantitative real-time RT-PCR (qPCR) and deep sequencing. a,
known miRNAs; b, novel miRNAs and candidate miRNAs. In qPCR, UBQ was used as the internal reference gene, and the relative expression of
each miRNA was calculated using a comparative CT (ΔΔCT) method. The miRNA sample with the lowest CT value that corresponds to the highest
expression level was selected as the calibrator, in which the expression level was set as 1.0. The relative expression levels of the same miRNA in
the other four samples were then normalised by comparing with the highest one in the tested tissues. Three independent biological replicates
were performed in this experiment. For each sample, qPCR was performed in triplicate. Each column represents the mean of three samples, and
error bars represent the standard deviation. Preferential expression of different miRNA species in
specific wheat tissues In deep sequencing technology, read counts for each miRNA in one sample were normalised to
reads per million of total miRNA reads (RPM). The relative expression of each miRNA was calculated by setting the highest RPM of each miRNA
across the five samples as 1.0, and the relative expression of the same miRNA in the other four samples was its RPM divided by the highest RPM. Figure 2 Comparison of the miRNA expression profiles determined by quantitative real-time RT-PCR (qPCR) and deep sequencing. a,
known miRNAs; b, novel miRNAs and candidate miRNAs. In qPCR, UBQ was used as the internal reference gene, and the relative expression of
each miRNA was calculated using a comparative CT (ΔΔCT) method. The miRNA sample with the lowest CT value that corresponds to the highest
expression level was selected as the calibrator, in which the expression level was set as 1.0. The relative expression levels of the same miRNA in
the other four samples were then normalised by comparing with the highest one in the tested tissues. Three independent biological replicates
were performed in this experiment. For each sample, qPCR was performed in triplicate. Each column represents the mean of three samples, and
error bars represent the standard deviation. In deep sequencing technology, read counts for each miRNA in one sample were normalised to
reads per million of total miRNA reads (RPM). The relative expression of each miRNA was calculated by setting the highest RPM of each miRNA
across the five samples as 1.0, and the relative expression of the same miRNA in the other four samples was its RPM divided by the highest RPM. Figure 2 Comparison of the miRNA expression profiles determined by quantitative real-time RT-PCR (qPCR) and deep sequencing. a,
known miRNAs; b, novel miRNAs and candidate miRNAs. In qPCR, UBQ was used as the internal reference gene, and the relative expression of
each miRNA was calculated using a comparative CT (ΔΔCT) method. The miRNA sample with the lowest CT value that corresponds to the highest
expression level was selected as the calibrator, in which the expression level was set as 1.0. The relative expression levels of the same miRNA in
the other four samples were then normalised by comparing with the highest one in the tested tissues. Three independent biological replicates
were performed in this experiment. For each sample, qPCR was performed in triplicate. Preferential expression of different miRNA species in
specific wheat tissues In the present study, the ex-
pression level of miR164 increased with wheat grain
development, from 135 RPM in the 5-d seeds to more
than 240 RPM in the 10-d and 20-d seeds (Table 2). This
result is consistent with the previously reported func-
tions of miR164. miR169 targets a CCAAT-box tran-
scription factor, which is involved in diverse processes,
such as embryo development, flowering time control
and root development [53]. The decreased abundance of
miR169 from the 5-d seeds to the 20-d seeds was change was the ratio of abundance of a miRNA or family
in flag leaves, 5-d seeds, 10-d seeds or 20-d seeds, to
abundance of the same miRNA or family in seedlings. The expression levels of randomly selected representa-
tive miRNA species in the five tissues were further de-
termined through quantitative real-time RT-PCR (qPCR)
using UBQ as the internal reference gene. The UBQ
gene was confirmed to be relatively stable in the tested
wheat tissues (data not shown). Results showed that the
relative abundance of almost all the miRNAs determined
by qPCR followed similar trends as the read numbers in
the libraries (Figure 2). However, we also observed a dis-
crepancy between the qPCR and the sequencing data for
novel miRNA tae-miR1127b (Figure 2b), which was
expressed at extremely low level in the tissues tested
(Additional file 5). This difference might be ascribed to
biases introduced to the very low abundant miRNA in
some RNA samples when polyadenylation and reverse-
transcription were performed with poly (T) adapters into
cDNAs using an miRNA cDNA synthesis kit (Takara,
Inc., Dalian, China). Thus, the miRNAs’ cDNAs used for
qPCR contained biases. Biases could have also been in-
troduced in the sequences of some samples during
library generation or sequencing. A contradiction be-
tween in vivo RNA levels and sequencing results for
miRNAs was also reported in grapevine [40] and apple
[36]. Further analysis showed that a very significant
correlation exists between the sequencing and the qPCR
data (Pearson coefficient R2 = 0.892, P < 0.01) (Additional
file 10), suggesting that the sequencing results are reliable. Therefore, the expression patterns of all the known
and the novel miRNAs identified were profiled based on
their sequencing results. Most of the known and the
novel miRNAs showed various degrees of tissue-biased
expression in the flag leaves or developing seeds, with Han et al. BMC Genomics 2014, 15:289
http://www.biomedcentral.com/1471-2164/15/289 Han et al. Preferential expression of different miRNA species in
specific wheat tissues Each column represents the mean of three samples, and
error bars represent the standard deviation. In deep sequencing technology, read counts for each miRNA in one sample were normalised to
reads per million of total miRNA reads (RPM). The relative expression of each miRNA was calculated by setting the highest RPM of each miRNA
across the five samples as 1.0, and the relative expression of the same miRNA in the other four samples was its RPM divided by the highest RPM. coordinated with its functions in seed development. Of the 55 novel miRNAs, 22 showed preferential expres-
sion in the different developmental stages of wheat seed
(Figure 3b), with the logarithm of the fold change of
1.0 ~ 7.6, and half of these miRNAs (tae-miR1122b, tae-
miR9653,
tae-miR9654a,
tae-miR9656,
tae-miR9657a,
tae-miR9659, tae-miR2275, tae-miR9665, tae-miR1127b,
tae-miR9660, tae-miR9657b and tae-miR9667) were seed
specific (Figure 3b, Additional file 5). This result sug-
gests that these novel miRNAs might participate in regu-
lating wheat seed development and metabolism. The
predicted targets for these seed-specific miRNAs in-
cluded transcript factors, enzymes, nucleosome/chroma-
tin
assembly
factor,
ribosome
recycling
factor
and
cellular components (Additional file 9), indicating the
extensive functions of miRNAs in wheat seed develop-
ment. For examples, tae-miR9657a, with an increasing
abundance from the 5-d seeds to the 20-d seeds, targets
a
nucleosome/chromatin
assembly
factor
which
is essential for DNA replication during cell proliferation. tae-miR1127b which increased in abundance from the 5-
d seeds to the 20-d seeds targets an amino acid perme-
ase gene, which is important for early seed development
and plays a crucial for the uptake of amino acids into
the endosperm and supplying amino acids for the devel-
oping embryo during early embryogenesis [45]. While,
tae-miR9661, with a decreasing expression pattern from
the 5-d seeds to the 20-d seeds, targets a F-box domain
containing protein in wheat (Additional files 3 and 5). This result is in accordance with a previous report that
F-box protein-encoding genes showed different tran-
script levels during seed development, suggesting the in-
volvement of F-box proteins in rice seed development
[54]. Of the 15 known miRNA families, 8 (miR396, miR168,
miR156, miR172, miR159, miR398, miR1318 and miR167)
showed different levels of preferential expression in wheat
flag leaves, with the logarithm of the fold changes ranged Han et al. BMC Genomics 2014, 15:289
http://www.biomedcentral.com/1471-2164/15/289 Page 10 of 14 Han et al. Preferential expression of different miRNA species in
specific wheat tissues BMC Genomics 2014, 15:289 To the best of our knowledge, this study is the first to
identify miRNAs with tissue-biased expression in wheat
flag leaves or seeds of different developmental stage on a
large scale. Sufficient wheat genome sequence data are
necessary to elucidate the functions of all miRNAs pref-
erentially expressed in wheat flag leaves or developing
seeds and to reveal the involved regulatory networks. Figure 3 Expression patterns of the known and the novel
miRNAs based on deep-sequencing datasets. a, Known miRNAs;
b, Novel miRNAs. The bars represent the scale of the relative
expression levels of miRNAs (MEAN centred). miRNA*s accumulation in specific wheat tissues
miRNA:miRNA* is excised by DCL1 to produce func-
tional mature miRNA, whereas miRNA* is assumed to
be gradually degraded during miRNA biogenesis [5]. However, previous studies have also suggested that miR-
NA*s can accumulate to a considerable level and down-
regulate their target genes in both plants and animals
[34,55,56]. Evidence
supporting
miRNA*-mediated
mRNA cleavage has been recently found in Medicago-
truncatula and maize [57,58]. In the present study, 17
miRNA*s for known mature miRNAs registered in
the miRbase/Tricum aestivum (Release 20.0) were de-
tected in at least one of the five libraries or tissues tested
(Additional file 12). About half of these miRNA*s had
relatively high tissue-biased accumulation in the devel-
oping seeds, flag leaves, or seedling. For examples, the
reads of miR171b* in the 5-d, 10-d and 20-d seeds were
88, 46 and 46, respectively, which are considerably
higher than those in the seedlings (1) and flag leaves
(3) (Additional file 12). The highest accumulation of
miR1127* was observed in the flag leaves (106 reads),
followed by the 20-d seeds (53 reads). Only 1 and 2
reads were detected in the seedlings and 5-d seeds,
respectively. The highest level of miR169* was observed
in the seedlings (28 reads), followed by the flag leaves (5
reads). However, mature miRNA sequences for miR171b*,
miR1127* and miR169* were not found in any of the five
tissues tested. These results suggested that miR171b*,
miR1127* and miR169* might be de facto miRNAs with
important regulatory functions in specific tissues and de-
velopmental stages. Among the 17 miRNA*s detected, 12
had no mature miRNA sequences detected in the five
libraries (Additional file 12). Figure 3 Expression patterns of the known and the novel
miRNAs based on deep-sequencing datasets. a, Known miRNAs;
b, Novel miRNAs. Preferential expression of different miRNA species in
specific wheat tissues The bars represent the scale of the relative
expression levels of miRNAs (MEAN centred). from 0.5 to 5.2 as well as more than those in the developing
seeds (Figure 3a, Table 2). Putative targets of these miRNAs
encode a wide range of proteins, including various tran-
scription factors, enzymes and argonaute (AGO) protein
(Additional file 11), which are involved in diverse develop-
mental and metabolic processes. Of the 55 novel miRNAs,
28 were characterised to have different degrees of flag leaf-
biased expression, with the logarithm of the fold changes
ranged from 0.1 to 5.2, whereas 4 (tae-miR1120c, tae-
miR1130b, tae-miR5384, and tae-miR9675) were detected
only in flag leaves (Figure 3b, Additional file 5), suggesting
that these novel miRNAs might participate in regulating
the development and metabolism in wheat flag leaves. Fourteen of the 28 novel miRNAs with flag leaf-biased ex-
pression had putative targets, including protein kinases, gly-
cosyltransferase, functional proteins (Histone H2B.1), and
enzymes (Additional file 9), all of which are important in
plant signalling pathway and metabolism. The above results
imply that the regulation networks of miRNAs in wheat
flag leaves are very complex. Overall, all our data suggested
that wheat flag leaves have more complicated regulatory
networks of miRNAs than developing seeds. The differential accumulation of miRNAs and miRNA*s
in specific tissues may be attributed to the different activ-
ities of proteins involved in sRNA biogenesis. Different
AGO proteins in Arabidopsis harbour sRNAs with different
5′-terminal nucleotides; thus, miRNAs and miRNA*s are
directed in different AGO complexes [59]. A recent study
revealed that different AGO-coding genes in rice have dif-
ferent levels of tissue-biased expression [20]. In the present
study,
miR168,
which
targets
an
AGO-coding
gene
(Ta.71657) and is the most abundant miRNA or family in
the five sRNA libraries, exhibited a tissue-preferential ex-
pression, with the highest read number in the flag leaves
(Table 2 and Additional file 11). Han et al. BMC Genomics 2014, 15:289
http://www.biomedcentral.com/1471-2164/15/289 Han et al. BMC Genomics 2014, 15:289
http://www.biomedcentral.com/1471-2164/15/289 Han et al. BMC Genomics 2014, 15:289
http://www.biomedcentral.com/1471-2164/15/289 Page 11 of 14 Page 11 of 14 Small RNA data analysis Small RNA libraries were constructed and sequenced for
the five wheat tissues. The sequencing data were depos-
ited in NCBI Gene Expression Omnibus (GEO, http://
www.ncbi.nlm.gov.geo/) under the accession number
GSE50524. All sequencing data were first processed by filtering 5'
adaptor contaminants from the 50 nt tags, removing the
low-quality reads and getting rid of the sequences larger
than 30 nt and sequences smaller than 18 nt using the
SOAPnuke software (http://soap.genomics.org.cn/) de-
veloped by BGI, sequences with over 50% homopolymer
or dinucleotide repeats were filtered out, and clean reads
were generated for each sRNA library. Identical reads
were subsequently pooled to create a list of non-
redundant sequences (unique sequences). The unique
sequences were aligned against wheat genome shotgun-
sequence assemblies (http://mips.helmholtz-muenchen. de/plant/wheat/uk454survey/index.jsp) [60], and those
matched to the wheat genome shotgun-sequence assem-
blies were kept for further analysis. Unique sequences
homologous (with sequence similarity above 90%) to
non-coding RNAs, including rRNAs, tRNAs, siRNAs,
snRNAs and snoRNAs, were removed by BLASTN
alignment against the data deposited in Rfam 10.0
(http://rfam.janelia.org/). The
remaining
sRNA
se-
quences were retained for miRNA identification. To
identify previously known miRNAs, these sRNA se-
quences were checked for an exact match (in terms of
sequence and length) to a known miRNA present in
miRBase (Release 20.0, http://www.mirbase.org). For
those known non-wheat reference miRNAs in the miR-
Base, their potential miRNA precursors in wheat gen-
ome and their processing patterns (miRNA/miRNA*
etc.) were further detected in the same way as novel
miRNAs which was described in following section. The
rest sRNA sequences were retained to predicate novel
miRNAs. The
potential
miRNA
precursors
were
searched by extracting the wheat EST sequences (http://
www.ncbi.nlm.nih.gov/nucest/?term=wheat) or the con-
tig sequences from wheat genome shotgun-sequence as-
semblies surrounding the aligned sRNA sequences, and Sufficient wheat genome sequence annotation data are
necessary to identify all miRNAs and their regulatory
functions. Our dataset provides a useful source of infor-
mation on miRNA regulation in wheat flag leaves and
developing seeds. Conclusion further use. Total RNA was isolated from each of these
samples using TRIzol reagent (Invitrogen, Grand Island,
NY, USA) according to the manufacturer’s instructions. Total RNA was extracted separately from the leaves, stems
and roots of the seedlings and then mixed with equal
amounts of individual parts. The integrity of the RNA sam-
ples was checked by 1% agarose gel electrophoresis. RNA
samples that passed the quality check were sent to BGI
(Shenzhen, China) for sRNA library construction and
Solexa sequencing using standard protocols on the Illumina
Hiseq 2000 platform. Five sRNA libraries from wheat seedlings, flag leaves, 5-
d, 10-d and 20-d seeds were sequenced in this study. Twenty-four known miRNAs belonging to 15 miRNA
families were identified from 18 MIRNA loci in wheat,
including 15 (9 MIRNA loci) first identified in wheat in
the present study, 13 miRNA families (16 MIRNA loci)
being highly conserved and 2 (2 MIRNA loci) moder-
ately conserved. In addition, fifty-five novel miRNAs
were also identified. The Potential target genes for 15
known miRNAs and 37 novel miRNAs were predicted
using strict criteria, and these target genes are involved
in a wide range of biological functions. Four of the 15
known miRNA families, including miR169, miR166,
miR164 and miR160 were preferentially expressed in the
developing seeds with the logarithm of the fold changes
of 0.3 ~ 3.0. From 5 days post-anthesis to 20 days post-
anthesis, miR164 and miR160 increased in abundance,
whereas miR169 decreased, suggesting that these miR-
NAs have coordinating functions in the different devel-
opmental stages of wheat seed. Twenty-two of the 55
novel miRNAs also preferentially expressed in the differ-
ent developmental stages of wheat seed with the loga-
rithm of the fold change of 1.0 ~ 7.6, and half of them
were seed-specific, suggesting that they participate in
regulating wheat seed development and metabolism. Eight known miRNA families and 28 novel miRNAs ex-
hibited different levels of tissue-biased expression in
wheat flag leaves, with the logarithm of the fold changes
ranged from 0.1 to 5.2. The potential targets of these
miRNAs were involved in a wide range of biological
functions, suggesting the complexity of the regulatory
networks in this tissue. Our data also suggested that
wheat flag leaves have more complicated regulatory net-
works of miRNA than developing seeds. Methods In addition,
novel miRNAs were further identified depending on
both the abundance of each sequence, which was nor-
malized as reads per million of total miRNA reads
(RPM) [65], and detection of miRNA*s. The sRNA se-
quences with abundance at least 5 RPM in at least one
of the five tissues examined and with miRNA* detected
were considered as novel miRNAs, while those had
abundance at least 5 RPM in at least one of the five tis-
sues tested but without miRNA*s detected were consid-
ered as candidate miRNAs. Quantification of miRNAs by qPCR [AF517839] as the internal reference gene [68], which was
confirmed to be relatively stable in the tested wheat tissues
in our laboratory. These products were used as templates
for qPCR. The qPCR was performed on a CFX96 Real-time
System (BIO-RAD, USA) using SYBR® Premix Ex TaqTM
II (TaKaRa, Dalian, China). The miRNA-specific forward
primer for each miRNA was designed based on the entire
miRNA sequence, and the universal reverse primer was de-
signed based on the adapter sequence, which was provided
by miRNA cDNA synthesis kit (Takara, Inc., Dalian, China)
(Additional file 13). The following qPCR program was used:
denaturation at 95°C for 30 s, followed by 40 cycles of 95°C
for 5 s and 60°C for 30 s. Melting curve analysis with a pro-
grammed temperature ramp from 45°C to 95°C in 5 min
was also performed to produce a dissociation curve for
verification of amplification specificity. All reactions were
run in triplicate. All primers used in this experiment are
shown in Additional file 9. testing their potential to form a hairpin secondary struc-
ture using RNAfold (http://rna.tbi.univie.ac.at/cgi-bin/
RNAfold.cgi) [61]. The characteristic hairpin structures
of miRNA precursors were used to predict novel miRNA
candidates using miRNA prediction software MIREAP
(http://sourceforge.net/projects/mireap/)
by
exploring
the secondary structures, the DCL1 cleavage sites and
the minimum free energy of the unannotated small RNA
tags. The program was run with following parameters:
Minimal miRNA sequence length (20); Maximal miRNA
sequence length (23); Minimal miRNA reference se-
quence length (20); Maximal miRNA reference sequence
length (23); Maximal copy number of miRNAs on refer-
ence (20); Maximal free energy allowed for a miRNA
precursor
(−18
kcal/mol);
Maximal
space
between
miRNA and miRNA* (300); Minimal base pairs of
miRNA and miRNA* (16); Maximal bulge of miRNA
and
miRNA*
(2);
Maximal
asymmetry
of
miRNA/
miRNA* duplex (2); Flank sequence length of miRNA
precursor (20). Quantification of miRNAs by qPCR Total RNA from each of the five tissues was extracted as
described above. miRNA abundance was detected accord-
ing to previous reports [66,67]. Briefly, total RNA (3 μg), in-
cluding miRNAs, was first polyadenylated and then reverse
transcribed with poly (T) adapters into cDNA using an
miRNA cDNA synthesis kit (Takara, Inc., Dalian, China)
according to the manufacturer’s instructions. The cDNA
products of each tissue were normalised using UBQ miRNA target prediction We predicted the potential targets of the newly identified
miRNAs using the web-based psRNA Target program
(http://plantgrn.noble.org/psRNATarget/). The
following
default parameters were used: Maximum expectation, 3;
Length for complementarity (between the miRNA and its
target) scoring, 20 [70]; Target accessibility-allowed max-
imum energy to unpair the target site (UPE), 25 [71]; Flank-
ing length around target site for target accessibility analysis,
17 bp in upstream/13 bp in downstream [72]; Range of cen-
tral mismatch leading to translational inhibition, 9 nt to
11 nt [73]. The custom plant transcript databases include
EST database (http://www.ncbi.nlm.nih.gov/nucest/?term=-
wheat) and UniGene database (http://www.ncbi.nlm.nih. gov/unigene/?term=wheat) of T.aestivum in NCBI and con-
tigs of T.aestivum [wheat gene index, release 12, http://
compbio.dfci.harvard.edu/cgi-bin/tgi/gimain.pl? gudb=wheat]. Methods Small RNA library construction and RNA sequencing
Winter wheat (T. aestivum L.) cultivar Xiaoyan 6 was used
in this experiment. Wheat plants were grown under natural
conditions in the experimental field of Northwest A & F
University, Yangling, China (longitude 108°E, latitude 34°
15′N) in 2009 to 2010. Wheat seedlings (at five-leaf stage
post-vernalisation), flag leaves of heading plants and imma-
ture seeds at 5 DPA (5-d seeds), 10 DPA (10-d seeds) and
20 DPA (20-d seeds) were collected. Three independent
biological replicates were included in the experiments. All
tissues mentioned above were frozen in liquid nitrogen im-
mediately after collection and then stored at −80°C until Han et al. BMC Genomics 2014, 15:289
http://www.biomedcentral.com/1471-2164/15/289 Page 12 of 14 Page 12 of 14 testing their potential to form a hairpin secondary struc-
ture using RNAfold (http://rna.tbi.univie.ac.at/cgi-bin/
RNAfold.cgi) [61]. The characteristic hairpin structures
of miRNA precursors were used to predict novel miRNA
candidates using miRNA prediction software MIREAP
(http://sourceforge.net/projects/mireap/)
by
exploring
the secondary structures, the DCL1 cleavage sites and
the minimum free energy of the unannotated small RNA
tags. The program was run with following parameters:
Minimal miRNA sequence length (20); Maximal miRNA
sequence length (23); Minimal miRNA reference se-
quence length (20); Maximal miRNA reference sequence
length (23); Maximal copy number of miRNAs on refer-
ence (20); Maximal free energy allowed for a miRNA
precursor
(−18
kcal/mol);
Maximal
space
between
miRNA and miRNA* (300); Minimal base pairs of
miRNA and miRNA* (16); Maximal bulge of miRNA
and
miRNA*
(2);
Maximal
asymmetry
of
miRNA/
miRNA* duplex (2); Flank sequence length of miRNA
precursor (20). After this analysis, novel miRNAs have
observed the following rules: (1) The set of reads from
the novel miRNA locus should account for more than
95% of all the precursor mapped small RNA reads, and
reliable novel miRNA reads should account for more
than 75% of the corresponding set of reads; (2) the
miRNA* reads should have two-nucleotide 3’ overhangs;
or (3) base-pairing between the miRNA and the other
arm of the hairpin, which includes the miRNA*, is ex-
tensive such that there are typically four or fewer mis-
matched miRNA bases, five mismatched bases being
allowed if the miRNA* was detected, mean-while, no
asymmetric bulges larger than two nucleotides and no
more than two asymmetric bulges should be present
within the miRNA/miRNA* duplex [62-64]. Methods After this analysis, novel miRNAs have
observed the following rules: (1) The set of reads from
the novel miRNA locus should account for more than
95% of all the precursor mapped small RNA reads, and
reliable novel miRNA reads should account for more
than 75% of the corresponding set of reads; (2) the
miRNA* reads should have two-nucleotide 3’ overhangs;
or (3) base-pairing between the miRNA and the other
arm of the hairpin, which includes the miRNA*, is ex-
tensive such that there are typically four or fewer mis-
matched miRNA bases, five mismatched bases being
allowed if the miRNA* was detected, mean-while, no
asymmetric bulges larger than two nucleotides and no
more than two asymmetric bulges should be present
within the miRNA/miRNA* duplex [62-64]. In addition,
novel miRNAs were further identified depending on
both the abundance of each sequence, which was nor-
malized as reads per million of total miRNA reads
(RPM) [65], and detection of miRNA*s. The sRNA se-
quences with abundance at least 5 RPM in at least one
of the five tissues examined and with miRNA* detected
were considered as novel miRNAs, while those had
abundance at least 5 RPM in at least one of the five tis-
sues tested but without miRNA*s detected were consid-
ered as candidate miRNAs. The relative abundance of each miRNA was calculated
by a comparative CT method (ΔΔCT) using the formula
2-ΔΔCT, where ΔΔCT= (CT miRNA −CT reference RNA) −
(CT calibrator −CT reference RNA) [69]. The miRNA sample
with the lowest CT value that corresponds to the highest
expression level was selected as the calibrator, in which
the expression level was set as 1.0. The relative expres-
sion levels of the same miRNA in the other four samples
were then normalised by comparing with the highest
one in the tested tissues. Additional file 1: Summary of small RNA sequencing in the five
wheat sRNA libraries or tissues.
Additional file 2: Known miRNAs identified in five wheat sRNA
libraries or tissues. Additional files Additional file 1: Summary of small RNA sequencing in the five
wheat sRNA libraries or tissues. Additional file 2: Known miRNAs identified in five wheat sRNA
libraries or tissues. Han et al. BMC Genomics 2014, 15:289
http://www.biomedcentral.com/1471-2164/15/289 Han et al. BMC Genomics 2014, 15:289
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Teaching Graphic Design for undergraduate students in Vietnam: a curriculum analysis
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TYPE
Original Research
01 May 2024
10.3389/feduc.2024.1354438
PUBLISHED
DOI
OPEN ACCESS
EDITED BY
Hiep Hung Pham,
Thanh Do University, Vietnam
REVIEWED BY
Nicos Souleles,
Cyprus University of Technology, Cyprus
Syamsul Nor Azlan Mohamad,
MARA University of Technology, Malaysia
Thanh-Thao Phan Thi,
Thanh Do University, Vietnam
Nguyen Quang Duy Vu,
Vietnam National University, Hanoi, Vietnam,
in collaboration with reviewer T-TPT
*CORRESPONDENCE
Tran Thi Le Quyen
quyenttl2@fe.edu.vn
RECEIVED 12
December 2023
April 2024
PUBLISHED 01 May 2024
ACCEPTED 10
CITATION
Quyen TTL, Liou S and Yang CH (2024)
Teaching Graphic Design for undergraduate
students in Vietnam: a curriculum analysis.
Front. Educ. 9:1354438.
doi: 10.3389/feduc.2024.1354438
COPYRIGHT
© 2024 Quyen, Liou and Yang. This is an
open-access article distributed under the
terms of the Creative Commons Attribution
License (CC BY). The use, distribution or
reproduction in other forums is permitted,
provided the original author(s) and the
copyright owner(s) are credited and that the
original publication in this journal is cited, in
accordance with accepted academic
practice. No use, distribution or reproduction
is permitted which does not comply with
these terms.
Teaching Graphic Design for
undergraduate students in
Vietnam: a curriculum analysis
Tran Thi Le Quyen*, Shyhnan Liou and Chia Han Yang
College of Planing and Design, Institute of Creative Industrial Design, National Cheng Kung University,
Tainan, Taiwan
Introduction: The present study aims to examine the effects of autonomy
policies implemented after 2014 on the undergraduate education of Graphic
Design in Vietnam. The focus is on how these policies have influenced the
transition of curricular content from traditional print-based principles to modern
digital design methodologies.
Methods: This study employs a targeted analysis of specialized knowledge
courses within Graphic Design programs, tracing their progression from
conventional design principles for the print medium to modern digital design
principles. It includes a comprehensive examination of curricular adjustments
made in response to the evolving digital landscape.
Results: The analysis reveals a significant shift in the curriculum post-2014,
from focusing predominantly on traditional design concepts such as typography,
layout, and color theory to embracing digital design principles suitable for online
platforms. These include responsive design, user experience/user interface,
motion graphics, and animation. Empirical data presented in the study highlights
the profound impact of increased institutional autonomy on this transformation.
Discussion: The transition to digital platforms marks a substantial development
in Graphic Design education, aligning with the growing acceptance of
interdisciplinary methodologies. The study discusses how these curricular
changes are a direct response to the dynamic requirements of contemporary
design practice, characterized by digital technology’s pervasive influence,
interactivity, and sustainability considerations. The results emphasize the
importance of adapting Graphic Design education to meet the demands of
the modern industry, ensuring that graduates are well-equipped to thrive in the
digital age.
KEYWORDS
Graphic Design, autonomy policies, undergraduate education, curriculum adjustment,
design education
1 Introduction
In recent years, a global trend toward enhancing university autonomy has been notable,
granting institutions greater independence in internal operations (Le, 2019). This shift is
pronounced in Vietnam, where the 2013 Law on Higher Education formalized institutional
autonomy (Vietnamese National Assembly, 2012). Vietnamese universities now have more
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10.3389/feduc.2024.1354438
occurring notably in 1926, 1940, 1969, and 1970 (Statement
of Principles on Academic Freedom and Tenure, 1940). The
significance of autonomy in Western higher education was
reaffirmed in the 1988 Bologna Magna Charta Universitatum,
emphasizing its pivotal role (University of Bologna, 1988).
Subsequently, the matter of autonomy was deliberated upon in
the 1992 International Conference in Sinaia, Romania, further
reflecting its global relevance (UNESCO European Centre for
Higher Education, 1992, p. 35).
University autonomy involves various dimensions and
connotations. It signifies the independence of higher education
institutions from governmental and societal control, underpinning
principles of academic freedom and democratic self-governance.
The core objective of university autonomy is to foster public
awareness, thereby promoting academic freedom and tenure
within educational institutions through established processes
(UNESCO European Centre for Higher Education, 1992, p. 40).
This, in turn, is intended to bolster the efficacy and quality of
higher education. A specific facet of academic independence,
curriculum autonomy, holds particular importance for educational
institutions (Le, 2019).
In practical terms, university autonomy empowers
institutions to make decisions related to their internal operations,
encompassing areas such as management, academics, finances, and
other critical domains, free from external governmental influence.
With the grant of autonomy, universities possess the discretion
to formulate their policies, recruit and manage faculty members
and staff, design and execute curriculum, allocate financial
resources, and establish their unique missions and objectives. This
intricate concept of university autonomy not only underlines the
institutional independence but also shapes the trajectory of higher
education systems on a global scale.
authority in shaping functions and academic programs, impacting
the nation’s higher education development (Hayden and
Lam, 2007; Salmi and Pham, 2019; Vo and Laking, 2020;
Mai et al., 2022).
While the ramifications of university autonomy have been
a subject of extensive research, there remains a significant gap
in the understanding of its practical implications, particularly in
the context of higher education curriculum design (Le, 2019).
To address this gap, this study focuses on the curriculum
framework of Graphic Design programs across 21 universities
in Vietnam. Graphic Design, although not entirely novel in
Vietnam, has historically occupied a specialized and somewhat
marginalized position within the academic landscape. Until the
1990s, only a single institution, the University of Industrial Fine
Art (2024), offered undergraduate programs in this field. However,
recent years have seen an emergence of universities introducing
Graphic Design specializations in response to the growing
demand for design-related professions, driven by technological
advancements, societal changes, and economic shifts (Cezzar,
2020). The field of Graphic Design is highly adaptable and
dynamic, and the educational curriculum must evolve in tandem
with changing market demands. This context makes Graphic
Design an ideal case study for assessing the impact of university
autonomy in Vietnam. This research seeks to examine the
differences in teaching Graphic Design to undergraduate students
in Vietnam before and after the implementation of university
autonomy. Additionally, it aims to identify the driving forces
that have prompted Vietnamese universities to adapt their
approaches to teaching Graphic Design at the undergraduate
level.
This study is significant as it sheds light on the nuanced
implications of university autonomy within the context
of curriculum design, particularly in the dynamic field of
Graphic Design education. By addressing the following research
questions, the study contributes to a more comprehensive
understanding of the multifaceted effects of autonomy on
Vietnamese higher education. Furthermore, the insights
generated have the potential to inform policy decisions and
pedagogical improvements, not only in Vietnam but also in the
broader global context.
2.2 University autonomy in Vietnam
The concept of university autonomy in Vietnam has historically
been closely intertwined with a centralized and governmentdriven higher education system, a legacy of the former Soviet
Union’s educational model (Ta. p Chí Cô. ng S?an, 2008). Under
this framework, universities operated with limited autonomy,
as all activities, management practices, student enrollment,
and educational quality were heavily influenced by principles
of centralization and political cohesion. Financial reliance on
government funding has been a defining characteristic of these
institutions, further reinforcing their limited autonomy. While
universities were allowed some flexibility in creating their own
curricula and teaching methods, they remained subject to the
overarching guidelines and study plans set forth by the Ministry of
Education and Training (MOET) (Ta. p Chí Cô. ng S?an, 2008).
Notably, the term “university autonomy” was not officially
enshrined in legislative documents in Vietnam from 1979 to
2005, despite its occasional mention in media reports (Vietnam
Political Bureau, 2011). It wasn’t until 2012 that the Vietnamese
National Assembly formally recognized and articulated the concept
of university autonomy within the legal framework (Vietnamese
National Assembly, 2012). The Law on Higher Education in
Vietnam, established in 2012, notably emphasized the autonomy of
1. How has the teaching of Graphic Design for undergraduate
students in Vietnam changed before and after the
implementation of autonomy policies?
2. What factors and motivations have driven Vietnamese
universities to modify their approaches to teaching Graphic
Design to undergraduate students?
2 Literature review
2.1 The concept of university autonomy
The concept of university autonomy has been a subject of
international discourse spanning several decades. It can be traced
back to the Academic Freedom and Tenure Declaration, 1915,
which initiated discussions and amendments over the years,
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10.3389/feduc.2024.1354438
TABLE 1 Graphic Design standard curriculum in Vietnam before 2014.
Graphic Design standard
curriculum before 2014
replaced existing courses with practical ones fostering skill
development (Nguyen, 2019). Questions, particularly in Graphic
Design, arose about admission transparency and curriculum
changes (Dang Nguyen, 2013). This research explores Graphic
Design teaching changes to undergraduates in Vietnam pre and
post-2014, aligning with enhanced university autonomy. It aims
to discern curriculum alterations and driving forces, illuminating
how university autonomy influences Graphic Design education,
providing insights into the evolving educational landscape.
Number of
credits
1. General Knowledge
33
2. Professional Specialization Knowledge
66
2.1 Basic Core Knowledge
19
2.2 Major Knowledge
27
2.3 Professional Internship
10
2.4 Graduation Thesis
10
3. Elective
73
Total
172
3 Methodology
This study employed a mixed-methods approach, utilizing both
secondary and primary data sources to comprehensively investigate
the teaching of Graphic Design in Vietnamese universities.
This study involves human participants and thus was reviewed
and approved by National Cheng Kung University (Taiwan)
ethics committee.
Source: Vietnam Ministry of Education and Training (2007, 2010). Prior to 2014, the credit
calculation method in Vietnam diverged from the present method.
higher education institutions in the country. According to Article
32, subsection 21 of this law, it is explicitly stated that higher
education institutions in Vietnam are granted the autonomy to
operate according to their own discretion (Vietnamese National
Assembly, 2012). This step marked a significant shift toward
advancing higher education in Vietnam and allowed universities
to exercise autonomy in five key domains, encompassing the
development of programs, curricula, and teaching strategies;
the organization of admission processes, training initiatives,
and graduation recognition; the management of organizational
structures; the mobilization, management, and utilization of
resources; and the facilitation of domestic and international
collaborations (Vietnamese National Assembly, 2012).
Over the course of time, a multitude of scholarly investigations
have been undertaken with the aim of delving into the notion of
university autonomy within the context of Vietnam (Le, 2019).
Nevertheless, it is important to note that the current body of
academic literature lacks research that delves into the precise effects
of autonomy on curriculum design. This research gap signifies a
significant area that has yet to be explored.
3.1 Secondary data
The secondary data source involves the examination of
curricula from 21 Graphic Design programs offered by various
universities in Vietnam. This secondary data is instrumental in
providing an overview of Graphic Design education within the
Vietnamese higher education landscape. To compile this dataset,
a list of 28 educational institutions in Vietnam offering Graphic
Design programs for the year 2023 was identified. Subsequently,
the official websites of these institutions were accessed to gather
information on the undergraduate curricula they provide. It
is noteworthy that, out of the initial 28 institutions, only
21 institutions made their Graphic Design program curricula
publicly accessible on their respective websites. For the other
seven programs, due to confidential policies of the respective
universities, their curricula are not disclosed, and thus, we can not
approach to collect.
2.3 University autonomy in designing
undergraduate Graphic Design curricula
in Vietnam
3.2 Primary data
In contrast, primary data collection hinges on in-depth
interviews with 12 respondents who serve as Graphic Design
lecturers and experts. This primary data source is instrumental
in providing nuanced, insider perspectives on Graphic Design
education in Vietnam. Written informed consent to participate in
this study was provided by the participants.
Mixed method combining both primary and secondary data
was employed as strategy for data analysis in numerous prior
studies in social sciences (e.g., Harrison and Reilly, 2011; Schram,
2014). With data collected from two sources, the reliability and
validity of data analysis are expected to be enhanced and ensured.
Prior to the year 2014, a standardized national curriculum
formulated by the Ministry of Education and Training (MOET)
was strictly mandated for implementation across all Vietnamese
universities, including Graphic Design programs. The Graphic
Design curriculum, in particular, adhered to a standardized
structure applied uniformly throughout the nation (Vietnam
Ministry of Education and Training, 2010). This curriculum
incorporated a core set of mandatory courses alongside a selection
of optional courses for student enrollment and academic planning
(Vietnam Ministry of Education and Training, 2021).
Table 1 illustrates the conversion of credits from the pre2014 system to the current one. The pivotal year 2014 marked
increased university autonomy, prompting substantial reforms in
higher education, including curriculum, admissions, and pedagogy.
Notably, a competency-based approach in curriculum development
Frontiers in Education
3.2.1 Characteristics of participants universities
and interviewees
Table 2 herein presents a comprehensive overview of the
characteristics of the 21 universities that were subjected to
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10.3389/feduc.2024.1354438
4 Results and discussion
TABLE 2 The basic profile of the sample of 21 studied universities.
Attribute
Ownership
Orientation
Frequency
Percentage
Public
7
33.33%
Private
14
66.67%
Design and
architect—
oriented
5
23.80%
Multidisciplinary
16
4.1 Differences in the overall structure of
Graphic Design curriculum before and
after autonomy policy in 2014
Analysis of curriculum structures indicates significant changes
in undergraduate Graphic Design programs post the 2014
autonomy policy implementation. Key findings are outlined
in Tables 4, 5. Since the initiation of the 2014 autonomy
policy, Vietnamese universities have significantly transformed
undergraduate Graphic Design curricula, particularly in credit
allocation. Table 4 indicates a notable shift, with the majority
reducing required credits compared to the pre-2014 standard. Two
universities (U20 and U21) maintained similar credit levels, while
the remaining 19 significantly reduced credits, ranging from 132
to 156. The average number of credits for Graphic Design courses
is now 141.05 (SD 16.28), a significant decrease from the pre-2014
standard.
Regarding curriculum structure, while the overall structure
remains relatively consistent pre and post-2014, Table 5 highlights
significant adjustments in each component. The pre-2014 standard
curriculum has General Knowledge and Professional Specialization
in Graphic Design In the post-2014 curricula of 21 universities,
a slight modification is noted in the former’s name, now
termed General Knowledge and Skills while the latter retains
its original designation as Professional Specialization in Graphic
Design.
76.20%
TABLE 3 Demographic descriptions of the interviewees.
Characteristic
Number of
interviewees
Gender
Male
6
Female
6
Age
35–50
11
51–65
1
Degree
PhD
4
Master
8
Work position
Manager
4
Lecturer
8
Experience
Over 15 years
5
5–15 years
6
Under 5 years
1
4.2 Distinctive aspects of curriculum
components
University
Ownership
Orientation
Public
4
Private
8
Design and
architect—oriented
3
Multidisciplinary
9
Examining both components indicates significant disparities
in the Graphic Design curriculum pre and post-2014.
General Knowledge and Skills, mandated by the Ministry
of Education and Training (MOET) before 2014, covered
topics like the Revolutionary Policies of the Vietnamese
Communist Party, Introduction to Education, and Vietnamese
Culture. Post-2014, with increased institutional autonomy,
universities expanded General Knowledge courses to include
Soft Skills, and Interdisciplinary Knowledge. This aims to
provide a holistic education meeting modern workforce
and societal needs.
In Professional Specialization in Graphic Design, both preand post-2014 curricula consist of five subject clusters. Post2014, there’s a more diverse range of subjects, including expanded
optional courses. The Specialized Knowledge cluster in Graphic
Design post-2014 offers increased opportunities to explore various
specializations within Graphic Design, introducing new ones like
Interaction Design and Animation and Motion Graphic Design.
These adjustments align with the evolving demands of the
Graphic Design industry, providing students a more comprehensive
educational experience.
In the subsequent subsections, a more in-depth exploration
of the specific modifications and the motivations driving these
changes will be provided.
examination in this study. These institutions represent a diverse
cross-section of Vietnamese higher education, each offering a
Graphic Design program, and as such, constitute a substantial basis
for the research investigation.
The primary data for this study was collected through in-depth
interviews with 12 knowledgeable and experienced respondents
who are Graphic Design lecturers and experts. These interviewees
possess a comprehensive understanding of the Graphic Design
curriculum development in Vietnamese universities, both pre- and
post-2014, making them well-qualified sources of insights into the
modifications, benefits, challenges, and motivations underpinning
program and course alterations. The interviewees were recruited
through a convenient network which had previously contacts with
one of the co-authors of this study. Their profiles and qualifications
are presented in Table 3 for reference.
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10.3389/feduc.2024.1354438
TABLE 4 Number of credits in 21 Graphic Design courses.
University No
General
Knowledge
Professional Specialization Knowledge
Major
Knowledge
Specialized
Knowledge
Professional Internship
and Graduation Thesis
Total credits
U1
28
50
39
15
132
U2
36
46
54
12
138
U3
48
21
48
15
132
U4
38
39
46
8
131
U5
47
46
29
15
137
U6
31
44
60
17
152
U7
29
81
19
9
138
U8
45
45
43
9
142
U9
20
49
41
10
120
U10
33
29
75
13
150
U11
26
22
70
12
130
U12
29
40
33
22
124
U13
53
46
48
15
162
U14
28
57
31
14
130
U15
32
45
53
20
150
U16
31
18
59
12
120
U17
23
36
41
15
121
U18
39
8
80
12
149
U19
29
53
43
31
156
U20
48
59
57
10
174
U21
50
41
71
12
174
35.38 (9.63)
41.67 (16.01)
49.52 (15.93)
14.19 (5.20)
141.05 (16.28)
Mean (SD)
4.3 Differences in General Knowledge
and Skills courses before and after the
autonomy policy in 2014
informatics, environmental considerations, and interdisciplinary
expertise.” (Interviewee 3)
Table 6 reveals two groups among the 21 surveyed universities:
16 multidisciplinary (U1-U16) and five Design/Architect-oriented
universities (U17-U21). The former offers a broader subject range,
introducing new subjects in General Knowledge and Skills, while
the latter maintains a curriculum akin to pre-2014. Interviewee
3 attributes Design/Architect-oriented universities’ reluctance to
change to human resource shortages, stating, “These institutions
may lack faculty in new disciplines. In multi-disciplinary universities,
new subjects may be taught by teachers from other departments.”
This curriculum gap highlights varied responses to autonomy.
Multi-disciplinary universities actively diversify, offering a
wide subject range reflecting contemporary Graphic Design’s
interdisciplinary nature. In contrast, Design/Architect-oriented
universities show inertia, possibly due to resource constraints
and faculty expertise. This underscores the heterogeneous nature
of Vietnam’s higher education response to autonomy, indicating
varying capacities for innovation. A comprehensive support system
and faculty development are crucial for a smoother transition.
The implementation of the autonomy policy in 2014 prompted
Vietnamese universities to revise their Graphic Design curricula,
introducing new subjects, particularly in the clusters of Knowledge
of Informatics, Technology, and Environment, Soft Skills, and
Interdisciplinary Knowledge (refer to Table 6). All interviewed
experts unanimously supported these additions, recognizing their
significance. These changes align with the rapid advancement of
technology and design tools and the need for students to gain a
comprehensive understanding of how their field integrates into the
broader economic and societal context. Interviewee 3 expressed this
perspective, stating:
“Graphic Design must adapt to a changing landscape. For
instance, a concert poster is not limited to physical displays
but extends to digital platforms like television, websites, and
apps. Therefore, modern designers need training in technology,
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10.3389/feduc.2024.1354438
TABLE 5 The differences regarding Graphic Design curriculum
before and after 2014.
Graphic Design
curriculum before
2014
Graphic Design curriculum
after 2014
1. General Knowledge
1. General Knowledge and Skills
1.1 General Knowledge (13
subjects)
1.1 General Knowledge (22 subjects)
1.2 Knowledge of Informatics,
Technology, and Environment (1
subject)
1.2 Knowledge of Informatics,
Technology, and Environment (7
subjects)
1.3 Soft Skills (0 subjects)
1.3 Soft Skills (6 subjects)
1.4 Interdisciplinary Knowledge
(0 subjects)
1.4 Interdisciplinary Knowledge (4
subjects)
2. Professional Specialization of
Graphic Design
2. Professional Specialization of
Graphic Design
2.1 Major Knowledge of Graphic
Design (8 subjects)
2.1 Major Knowledge of Graphic Design
(14 subjects)
2.2 Basic Core Knowledge of
Graphic Design (8 subjects)
2.2 Basic Core Knowledge of Graphic
Design (20 subjects)
2.3 Specialized Knowledge of
Graphic Design
2.3 Specialized Knowledge of Graphic
Design
2.3.1 Communication Design
(9 subjects)
2.3.1 Communication Design (15 subjects)
2.3.2 Interaction Design
(0 subject)
2.3.2 Interaction Design (4 subjects)
2.3.3 Animation and Motion
Graphic Design
(0 subject)
2.3.3 Animation and Motion Graphic
Design (13 subjects)
2.4 Professional Internship
(1 subject)
2.4 Professional Internship (1 subject)
2.5 Graduation Thesis (1 subject)
2.5 Graduation Thesis (1 subject)
exhibit the second greatest adoption rate, with both subjects being
adopted by 76.19% of the universities. Six out of eight subjects
have been incorporated into the curriculum framework by more
than 60% of educational institutions following the year 2014. Two
subjects History of Architecture and History Philosophy exhibit
notably lowest rates of 9.52%.
Substantial changes in the curriculum framework were
witnessed after 2014, as numerous institutions granted students
the freedom to select subjects across all knowledge domains. This
shift resulted in the introduction of twelve new subjects within the
basic knowledge group of specialized fields. However, it is worth
noting that the implementation rates for each of these new subjects
displayed significant disparities, ranging from 9.52 to 100%.
The inclusion of the Photography subject in the curriculum
of all universities has been universally embraced, with a 100%
adoption rate. Incorporating Photography into Graphic Design
education can enhance students’ visual awareness. Analyzing and
working with photographs helps students develop a keen eye for
composition, lighting, color, and other visual elements, which are
crucial skills in Graphic Design. Photography provides real-world
examples of design principles in action. Students can study how
photographs effectively communicate messages, evoke emotions,
and convey information, which can inspire and inform their own
design work (Interviewees No. 1, 2, 10, and 12). Encouraging
students to use Photography as a learning and inspiration tool while
fostering their creativity and broader design skills will lead to a
more comprehensive education (Interviewees No. 4 and 5).
The information in Table 7 shows that only four out of the
21 institutions include the subject of Ergonomics in their academic
curriculum. According to Interviewees 5, 8, and 9, the inclusion
of Ergonomics within the curriculum has the potential to cultivate
students who possess comprehensive knowledge of design and
are capable of producing genuinely practical and user-friendly
products.
Further research is needed to assess curriculum differences’ longterm impact on students’ skills and readiness for the evolving job
market and design industry.
“Some educational institutions may overlook the significance
of ergonomics in design, unaware of its broad and complex
nature involving how people interact with their surroundings.
The complexity of ergonomics instruction may pose challenges
within curriculum constraints, potentially leading other design
principles such as performance, utility, and aesthetics to take
precedence in certain educational establishments.”
4.4 The differences regarding Major
Knowledge of Graphic Design before and
after autonomy policy in 2014
In addition, there are also opinions (Interviewees No.11 and 12)
that the intricate nature of ergonomics might provide difficulties
in the teaching and learning process, particularly in educational
programmes that have limited time available. Ergonomics involves
a multifaceted body of knowledge that encompasses human
anatomy, psychology, engineering, and design principles, all
of which require substantial time to master thoroughly. In
an environment where curricula are densely packed and time
is a precious commodity, educators might struggle to deliver
comprehensive ergonomics training effectively. Students, on their
part, might find it challenging to assimilate the intricate concepts of
ergonomics within the limited time allotted for this subject matter.
This potential crunch may compel educational institutions to
reassess their curricular priorities. Consequently, some institutions
might make a deliberate choice to de-emphasize ergonomics in
Within the domain of Major Knowledge in Graphic Design,
eight subjects from the pre-2014 curriculum continue to be
offered by 21 studied universities (number 1–8 in Table 7). In
addition to this, a number of new courses have been introduced
in post-2014. Remarkably, all 21 surveyed universities offer a
course, namely Photography. This is followed by the following
subjects: Fundamentals of Graphic Design (76.19%), History of
Design (66.70%), and Design Thinking (57.14%).
Out of the 21 surveyed universities, it was found that only three
universities (U5, U7, U18) offer instruction subject Ancient Ethnic
Capital and three universities (U2, U9, U16) offer instruction
subject Basic of Sculpture. The subjects exhibiting the most
substantial level of adoption is Perspective with a rate of 80.95%.
The subjects Human Anatomy for Artists and Technical Drawing
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Frontiers in Education
TABLE 6 Differences in Teaching General Knowledge and Skills for Graphic Design before and after 2014.
General Knowledge and Skills
Before
2014
After 2014
Multi-disciplinary university
Course name
U1
U2
U3
U4
x
x
x
U5
U6
U7
U8
x
o
U9
Design/Architect-oriented
university
U10 U11 U12 U13
U14
U15
U16
U17
U18
U19
U20 U21
Percentage
x
x
x
x
47.62%
x
x
x
14.29%
General Knowledge
07
1
Revolutionary
Policies of the
Vietnamese
Communist Party
x
2
Culture and art line
of the Vietnamese
Communist Party
x
3
Military education
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
100%
4
Physical education
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
100%
5
Foreign language
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
100%
6
Vietnamese culture
x
x
o
x
x
o
x
x
x
x
x
x
x
x
x
71.43%
7
Aesthetic
x
x
x
x
x
x
x
x
61.90%
8
Study of artistry
x
9
Theory of fine art
x
10
Research methods
x
11
Introduction to
education
x
12
Basic principles of
Marxism- Leninism
x
13
Ho Chi Minh’s
ideology
x
14
Philosophy of
Marxism—Leninism
15
x
x
x
x
x
x
o
x
x
x
x
o
o
x
x
x
x
x
x
x
x
x
x
Political economics
of
Marxism—Leninism
x
16
Scientific socialism
17
History of Vietnam
Communist Party
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
o
x
x
x
x
x
x
x
x
x
14.29%
x
x
38.10%
9.52%
x
x
42.86%
x
x
100%
x
x
x
x
x
x
52.38%
x
x
x
x
x
52.38%
x
x
x
x
x
x
52.38%
x
x
x
x
x
x
52.38%
(Continued)
10.3389/feduc.2024.1354438
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x
o
x
14.29%
Quyen et al.
Frontiers in Education
TABLE 6 (Continued)
General Knowledge and Skills
Before
2014
After 2014
Multi-disciplinary university
Course name
U1
U2
U3
U4
U5
U6
U7
18
Introduction to law
x
x
x
x
x
x
x
19
Business ethic and
organizational
culture
20
Intellectual property
rights
x
21
Sociology
o
22
Psychology
U8
U9
x
U10 U11 U12 U13
x
x
x
x
x
Design/Architect-oriented
university
x
U14
U15
x
U16
U17
x
U18
U19
U20 U21
x
66.67%
x
x
x
x
Percentage
9.52%
x
x
x
o
o
x
47.62%
x
14.29%
x
19.05%
x
o
x
x
x
57.14%
x
x
x
85.71%
o
x
x
42.86%
x
o
x
Knowledge of Informatics, Technology, and Environment
Introduction to
computer basics
2
Computer Graphic
Design (2D)
x
3
Computer Graphic
Design (3D)
x
4
Printing technology
5
Environmental
health
6
Environment
7
Basic of
programming
08
1
x
x
x
o
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
o
o
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
o
x
61.90%
4.76%
x
19.05%
x
o
x
x
4.76%
Soft Skills
Entrepreneurship
2
Academic skills for
university success
3
Academic writing
skills
o
x
x
o
o
x
x
x
x
x
o
38.10%
x
19.05%
x
14.29%
(Continued)
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Frontiers in Education
TABLE 6 (Continued)
General Knowledge and Skills
Before
2014
After 2014
Multi-disciplinary university
09
Course name
U1
U2
4
Communication and
in-group working
skills
o
x
5
Presentation skill
6
Traditional musical
instrument
U3
U4
U5
o
U6
U7
x
o
x
o
U8
U9
Design/Architect-oriented
university
U10 U11 U12 U13
x
o
x
U14
U15
x
x
o
U16
U17
U18
U19
U20 U21
Percentage
47.62%
14.29%
x
4.76%
Interdisciplinary Knowledge
1
Principles of
management
o
o
2
Project management
o
x
3
Design management
o
x
4
General economics
o
x
x
14.29%
x
19.05%
x
o
14.29%
x
14.29%
x for compulsory subjects; o for optional ones.
10.3389/feduc.2024.1354438
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Quyen et al.
Frontiers in Education
TABLE 7 The differences regarding Basic Core Knowledge subject teaching for Graphic Design students before and after 2014.
Basic Core Knowledge
Before
2014
After 2014
Multi-disciplinary university
10
Course name
1
Human anatomy for artist
x
2
Perspective
x
3
Technical drawing
x
4
Visual communication
x
5
Research on Ancient
Ethnic Capital
x
6
Basic of Sculpture
x
7
History of Vietnam’s art
x
x
x
x
x
8
History of art
x
x
x
x
x
9
History of Design
x
x
10
History of world
civilization
11
History of Architecture
12
History Philosophy
13
Basic of decoration
x
14
Design Thinking
x
x
x
15
Fundamental of Graphic
Design
x
x
o
x
x
16
Photography
x
x
x
x
x
17
Ergonomic
18
Introduction to Graphic
Design
19
Industrial aesthetics
20
Monoprinting
x for compulsory subjects; o for optional ones.
U1
U2
U3
U4
U5
U6
U7
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
U8
U9
x
x
U10 U11 U12 U13 U14
x
U15 U16
U19
x
o
x
x
x
x
x
x
x
x
x
x
76.19%
x
x
x
x
x
x
x
x
x
x
x
80.95%
x
x
x
x
x
x
x
x
76.19%
x
x
x
66.67%
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
14.30%
x
x
x
x
o
x
x
14.30%
x
x
x
x
o
x
x
71.43%
x
x
x
x
o
x
x
71.43%
x
x
x
66.70%
x
x
o
o
o
x
x
x
x
x
x
x
o
x
x
x
x
x
9.52%
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
9.52%
x
33.33%
x
57.14%
x
x
o
x
76.19%
x
x
x
x
x
x
x
19.05%
x
o
x
100%
19.05%
x
x
x
x
o
x
x
x
x
x
x
28.57%
x
o
x
U20 U21 Percentage
x
x
x
U18
x
x
x
U17
x
x
o
x
o
x
x
28.57%
x
x
47.62%
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No
Design/Architect -oriented
university
Quyen et al.
Frontiers in Education
TABLE 8 Differences in Major Knowledge teaching subject for Graphic Design students: multi-disciplinary versus Design/Architect-oriented universities.
Major Knowledge
Before
2014
After 2014
Multi-disciplinary university
No
Course name
U1
U2
1
Art foundation
x
x
x
2
Principles of visual
graphic
x
x
3
Nature study
x
x
4
Drawing–form, still-life
x
5
Drawing–plaster statue,
portrait
6
7
x
U3
x
U4
U5
U6
x
x
x
x
U7
U8
U9
x
x
x
x
x
x
x
x
x
x
U10 U11 U12 U13 U14
x
x
x
x
x
x
x
Drawing–speed drawing
x
x
x
Advanced drawing
x
8
Water color
x
9
Basic illustration
10
11
12
Basic typography and
layout
x
x
x
x
x
13
Typography and
E-publication design
x
x
x
x
x
14
Visual development for
digital design
U17
U18
U19
U20 U21
Percentage
x
x
x
x
o
x
x
80.95%
x
x
x
x
x
x
x
x
80.95%
x
x
x
x
x
x
38.10%
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
100%
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
90.47%
x
x
x
x
x
o
x
x
x
x
o
x
x
x
x
80.95%
o
o
x
x
x
33.33%
x
19.05%
x
66.70%
x
x
o
x
U15 U16
x
x
x
x
Advanced illustration
o
x
o
Digital painting
o
x
x
x
x
x
x
o
x
x
x
x
x
x
x
x
x
x
x
x
x
x
o
x
x
x
x
x
o
x
o
o
38.10%
x
x
x
x
19.05%
x
x
x
x
x
x
x
100%
x
x
x
x
x
x
x
76.19%
o
x
33.33%
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10.3389/feduc.2024.1354438
x
11
x
x for compulsory subjects; o for optional ones.
Design/Architect–oriented
university
Quyen et al.
Frontiers in Education
TABLE 9 Differences in specialized knowledge courses teaching for Graphic Design students between different types of universities: multidisciplinary vs. Design/Architect-oriented.
Specialized knowledge
Before
2014
After 2014
Multi-disciplinary university
No
Course name
U1
U2
U3
U4
U5
U6
U7
U8
U9
Design/Architect—oriented
university
U10 U11 U12 U13 U14
U15 U16
U17
U18
U19
U20 U21
Percentage
x
x
x
x
x
66.67%
x
x
x
42.86%
x
x
x
38.10%
x
28.57%
Communication Design
12
Poster design
x
x
x
2
Postcard and calendar
design
x
x
x
3
Brochure and catalog
design
x
x
4
Information Graphic
Design
x
5
Logo design
x
6
Brand identity design
x
7
Exhibition
8
Portfolio design
9
Packaging design
x
10
Book cover design
x
11
Comic design
12
Book design and printing
technology
13
Communications and
advertising
x
14
Marketing and advertising
content design
o
15
Visual communication
project
o
x
x
x
x
x
x
x
o
o
o
x
x
x
x
x
x
x
x
x
x
x
x
o
x
o
x
x
x
x
x
x
x
o
x
x
o
o
o
o
x
o
o
o
o
o
o
x
x
x
x
o
o
o
x
x
x
x
x
x
x
x
x
x
57.14%
33.33%
x
28.57%
x
x
x
x
x
x
61.90%
x
x
33.33%
14.28%
o
o
o
x
o
x
x
o
o
x
o
x
x
o
x
x
o
x
x
x
x
x
x
x
o
x
x
x
x
x
x
x
x
x
o
o
o
x
o
o
x
x
x
o
x
x
33.33%
x
x
33.33%
x
x
x
57.14%
x
x
38.10%
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TABLE 9 (Continued)
Specialized knowledge
Before
2014
After 2014
Multi-disciplinary university
No
Course name
U1
U2
U3
U4
U5
U6
x
x
U7
U8
U9
Design/Architect—oriented
university
U10 U11 U12 U13 U14
U15 U16
U17
U18
U19
U20 U21
Percentage
Interaction Design
1
User experience design
o
2
User interface design
o
3
Web page design
o
4
Mobility applications
design
x
o
x
o
o
o
x
o
o
o
o
o
o
o
o
o
23.80%
14.28%
x
x
x
57.14%
19.05%
Motion Graphic Design and animation
13
Idea and script
development
2
Storyboarding
o
3
2D character animation
development
o
4
Traditional animation
principles
5
Background painting for
animation
6
Sound production
x
7
3D modeling and rigging
x
8
3D character animation
x
9
Game design and
development studio
x
10
Motion graphic
o
11
Visual effect
o
12
Film editing
o
13
Project motion graphic
product design
o
x for compulsory subjects; o for optional ones.
o
x
o
x
o
x
o
x
o
o
o
x
o
o
14.28%
o
23.80%
x
14.28%
x
23.80%
o
9.52%
x
x
o
x
28.57%
o
o
o
o
28.57%
o
9.52%
o
o
o
x
x
o
x
o
x
o
o
x
o
o
9.52%
x
28.57%
23.80%
14.28%
o
x
x
x
38.10%
10.3389/feduc.2024.1354438
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1
100%
x
x
x
x
x
In Graphic Design Knowledge, all 21 surveyed universities
maintain eight pre-2014 subjects (refer to Table 8, numbers 1–
8). Post-2014, new courses are introduced, notably Photography
(100%), Fundamentals of Graphic Design (76.19%), History of
Design (66.70%), and Design Thinking (57.14%). Three universities
offer instruction in two specific subjects, with Perspective having the
highest adoption rate at 80.95%. Human Anatomy for Artists and
Technical Drawing follow at 76.19%. Six of eight existing subjects
have been adopted by over 60% of institutions since 2014, while
three exhibit lower inclusion rates (14.30 to 28.60%).
A considerable transformation in the curriculum framework
was witnessed after 2014, when many institutions began to grant
students the freedom to select subjects across all knowledge
domains, introducing twelve new subjects within the Basic
Knowledge group of specialized fields. It’s important to highlight
that the implementation rates for these new subjects displayed
substantial variations, ranging from 9.52 to 100%.
The analysis further reveals that only four out of the 21
institutions include the subject of Ergonomics in their academic
curriculum. The addition of Ergonomics has the potential to
cultivate students with comprehensive knowledge in design,
capable of producing products that are genuinely practical and
user-friendly, as expressed by Interviewees No. 5, 8, and 9.
However, it is noted that the complexity of ergonomics, particularly
within curricula with time constraints, could be challenging to
teach and learn, and other design principles might be prioritized
above ergonomics. This suggests that certain institutions might
emphasize other facets of design, such as performance, utility, and
aesthetics, above ergonomics (Interviewees No. 11 and 12).
The subject Visual Communication which involves conveying
ideas through visual elements, is implemented by 66.67% of
universities both before and after 2014. It extends beyond
x
x
x
x
x
Graduation Thesis
x
x
x
x
x
x
x
x
x
x
x
4.5 Differences in Major Knowledge of
Graphic Design before and after the
autonomy policy in 2014
x for compulsory subjects; o for optional ones.
x
x
x
x
x
x
o
o
x
Professional
Internship
Course name
favor of topics that are perceived to be more critical or more
feasible to teach within the available time frame. This decision,
while practical on some fronts, risks depriving students of essential
knowledge and skills that are fundamental to ensuring safety,
efficiency, and wellbeing in various professional practices. Hence,
it is plausible that certain educational institutions may opt to
prioritize alternative factors above the emphasis on ergonomics.
The subject Visual Communication in the Graphic Design
curriculum was implemented by 66.67% of universities before
2014 and continued to be part of the curriculum after 2014.
Visual Communication involves conveying ideas through visual
elements like images, typography, symbols, colors, and layout. It’s
a broader concept that extends beyond Graphic Design. On the
other hand, Fundamentals of Graphic Design is a more specific
subject that focuses on core design principles and techniques for
creating visual content in various mediums. This subject was also
delivered by 66.67% of the universities. Both subjects are essential
in design education, providing students with a comprehensive
understanding of visual communication and design principles
(Interviewees No.2, 7, and 11).
x
x
x
x
x
x
x
x
x
x
x
o
x
U21
U20
U12 U13 U14 U15 U16 U17 U18 U19
U10 U11
U9
U8
U7
U1
U2
U3
U4
U5
U6
Design/Architect–oriented
university
Multi-disciplinary university
Defense
After 2014
Before
2014
TABLE 10 Differences in Graduation Thesis for Graphic Design students before and after 2014.
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Percentage
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Graphic Design to encompass broader communication concepts.
Fundamentals of Graphic Design, another fundamental subject, is
delivered by the same percentage of universities. These two subjects
are instrumental in design education, providing students with a
comprehensive understanding of visual communication and core
design principles (Interviewees No. 2, 7, and 11).
The observed changes in Major Knowledge in Graphic Design
highlight the evolving nature of design education in Vietnam. The
introduction of new subjects, along with varying adoption rates,
suggests that universities are adapting to the industry’s dynamic
demands and exploring opportunities to enhance their Graphic
Design programs. Moreover, the role of these subjects in fostering
well-rounded designers and equipping students with practical, realworld skills should not be underestimated. Further exploration is
needed to evaluate the impact of these changes on the preparedness
of Graphic Design graduates for the contemporary job market and
industry demands.
these specializations. Interviewees emphasize the digital landscape’s
growing importance, hinting at future growth.
The Graphic Design curriculum shift signifies universities
adapting to an evolving industry, offering diverse specializations
empowering students for desired career paths, enhancing job
market preparedness. Further exploration is needed to evaluate
the impact of the content changes of the units/lessons on the
preparedness of Graphic Design graduates for the contemporary
job market and industry demands.
4.7 Professional Internship and
Graduation Thesis in Graphic Design
programs: a comparative analysis before
and after 2014
In the domains of Professional Internship and Graduation
Thesis (See Table 10), no notable changes in composition before
and after 2014 are apparent. The Graphic Design curriculum’s
fundamental structure and purpose for these components
seem to have consistently endured. Essential prerequisites for
graduation, involving credit requirements and Graduation Thesis
completion, have persisted with minimal alteration, ensuring stable
academic standards.
Post-2014, a significant development is the widespread
integration of internship courses into the majority of
undergraduate Graphic Design programs, reaching approximately
95.23%. This aligns with higher education’s trend emphasizing
practical experience for students, recognizing the value of hands-on
learning in preparing for professional careers.
While Professional Internship courses are prevalent, there may
be variations in content and requirements across institutions,
allowing customization to regional and industry needs. The
continued structure of internship and thesis components
underscores their consistent and vital role in Graphic Design
education. The introduction of internships reflects a commitment
to enhancing students’ job market readiness. Further research
could explore internship program quality, outcomes, and their
impact on Graphic Design students’ professional development.
4.6 Differences in teaching
specializations for Graphic Design
students: multi-disciplinary versus
Design/Architect-oriented universities
The curriculum transformation for Graphic Design programs
in Vietnam underwent a significant shift before 2014, primarily
focusing on traditional Graphic Design. However, post-2014
witnessed a notable division, creating three specializations:
Communication Design, Interaction Design, and Motion Graphic
Design/Animation (See Table 9). This shift, propelled by university
autonomy and technological advancements, broadens skill sets
and employment opportunities. Students can now concentrate on
proficiencies aligned with specific career interests, addressing
market trends and technological advancements, enabling
tailored education to meet professional aspirations and diverse
job market demands.
Yet, differences in adopting specialized subjects exist between
multidisciplinary and Design/Architect-oriented universities.
Design/Architect-oriented institutions (U17 to U21) prioritize
communication-related subjects, with new additions, while
multidisciplinary universities (U1 to U17) have a higher proportion
of subjects from the two new knowledge groups.
Disparities may be attributed to political, financial, and
commercial factors. Some institutions may not fully comprehend
specialization importance, with the lack of an established labor
market in Vietnam potentially contributing to underestimating
their significance. Additionally, Interaction Design and Motion
Graphics/Animation fields require substantial infrastructure, often
lacking in public institutions, particularly those focused on design
and architecture.
The investment required for specialized subjects poses
challenges for some universities, involving time, effort, and
resources. Developing curricula, obtaining necessary resources,
and retaining faculty expertise are financially and professionally
demanding. University autonomy permits program alignment
with market demands and commercial goals. Institutions may
prioritize high-demand professions in a limited job market for
Frontiers in Education
5 Discussion
This study examines the current state of undergraduate Graphic
Design education in Vietnam, focusing on the impact of autonomy
rules implemented after 2014. Through a thorough analysis,
the researchers explore the extent to which these policies have
influenced the curricula offerings of higher education institutions,
leading to notable shifts in the field. A notable transition from
conventional design principles to the domain of digital design and
contemporary multidisciplinary approaches has been identified.
The empirical data presented in this study highlight the
significant structural transformation that has taken place in the
field of Graphic Design education, both prior to and subsequent
to the year 2014. This shift aligns closely with the observed trend
of heightened institutional autonomy. Prior to 2014, the curricula
mostly prioritized conventional design principles, with a particular
emphasis on elements such as Typography, Layout, Color Theory,
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and Print Manufacturing. In contrast, the landscape after the year
2014 demonstrates a notable shift toward digital design, reflecting
the exponential expansion of online platforms and digital media.
The current curricula include incorporating design principles
for websites, social media platforms, mobile applications, and
diverse digital platforms. The incorporation of responsive design
and user experience/user interface (UX/UI) design has become
an essential aspect of Graphic Design education. Students possess
the necessary abilities to create designs that effectively adjust
to a wide range of screen sizes and devices, with a focus on
delivering the best possible user experiences. Multimedia features,
including motion graphics, animation, and interactive design,
have become essential components in facilitating productive
collaboration between developers and producing functional and
visually captivating web designs. Courses have expanded their
scope to encompass global design trends and cultural awareness,
acknowledging the interdependent nature of our global society
and the necessity of creating for varied populations. The inclusion
of Specialized Knowledge courses in the curriculum is a response
to the current state of design practice, which is marked by the
prevalence of digital media, interaction, sustainability concerns,
and the need for a broad range of skills to navigate the demands
of the present-day design age effectively.
This study contributes to the literature on the impact of
university autonomy policies in Vietnam (e.g., Nguyen et al., 2016;
Vo and Laking, 2020; Do and Mai, 2022). Nevertheless, to the
best of our knowledge, this study is one of the first to specifically
focus on how university autonomy policies have influenced the
change in curriculum design among Vietnamese higher education
institutions, using the Graphic Design program as an example.
Another study that also examines the change in curriculum
design following autonomy policies is that of Vu et al. (2023). In
this work, the authors explore how mathematics-related subjects
in undergraduate business programs in Vietnam have evolved
since 2014.
development in Graphic Design and other creative disciplines by
exploring the need to adapt to evolving industry requirements.
Moreover, this study holds practical implications for
educational institutions and policymakers. It underscores the
importance of granting autonomy to universities, allowing them
to keep pace with the dynamism of design fields. Institutions
should focus on equipping students with a comprehensive skill
set that aligns with the demands of the digital age. As one of the
explorations of Graphic Design education in Vietnam, this study
paves the way for further research in the field, delving deeper
into the effectiveness of new curricula, the impact on student
outcomes, and the evolving roles of educators. It also offers a
valuable reference point for institutions in Vietnam and beyond
seeking to enhance their Graphic Design programs and prepare
students for the challenges of contemporary design practice.
Data availability statement
The original contributions presented in this study are included
in this article/supplementary material, further inquiries can be
directed to the corresponding author.
Ethics statement
The studies involving human participants were approved by
the National Cheng Kung University (Taiwan) Ethics Committee.
Written informed consent to participate in this study was provided
by the participants.
Author contributions
TQ: Formal analysis, Resources, Writing – original draft. SL:
Writing – review & editing. CY: Writing – review & editing.
6 Limitations and implications
Funding
While this study provides an early exploration of Graphic
Design education in Vietnam, it is essential to acknowledge its
limitations. The findings are based on empirical data collected
from a specific set of universities and may not fully represent the
entire spectrum of institutions in the country. Future research
is anticipated to address this limitation by incorporating more
inclusive data, encompassing both secondary sources (28 Graphic
Design programs nationwide) and primary sources (involving over
12 interviewees, as in the current study).
Furthermore, the study offers a snapshot of the state of Graphic
Design education at a specific time, i.e., cross sectional data by
nature. Future studies on this topic are suggested to collect data in
a longitudinal way in order to avoid this drawback.
This study has far-reaching implications in both theoretical
and practical contexts. The transition in Graphic Design curricula
indicates broader shifts in design education worldwide, where
traditional print-focused approaches are making way for digital and
interdisciplinary expertise. Together with future findings on the
content of the units/lessons, these studies can inform curriculum
Frontiers in Education
The authors declare that no financial support was received for
the research, authorship, and/or publication of this article.
Acknowledgments
This study would not have been possible without the
enthusiastic assistance of the participants and colleagues at my
institution. A heartfelt thanks to all of them for their support.
Conflict of interest
The authors declare that the research was conducted in the
absence of any commercial or financial relationships that could be
construed as a potential conflict of interest.
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10.3389/feduc.2024.1354438
Publisher’s note
organizations, or those of the publisher, the editors and the
reviewers. Any product that may be evaluated in this article, or
claim that may be made by its manufacturer, is not guaranteed or
endorsed by the publisher.
All claims expressed in this article are solely those of the
authors and do not necessarily represent those of their affiliated
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Evaluation of rural general practice experiences for pre-vocational medical graduates
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- CITATION McGrail MR, Chhabra J, Hays R. Evaluation of rural general practice experiences for pre-vocational medical graduates. Rural and Remote
Health 2023; 23: 7409. https://doi.org/10.22605/RRH7409 This work is licensed under a Creative Commons Attribution 4.0 International Licence Introduction The supply of new general practitioners (GPs) sufficient to meet a
population’s health needs, particularly in rural and remote areas,
continues to be a major global workforce distribution challenge. In
Australia, this remains a concern despite substantial investment in
rural workforce support . While approximately 40% of Australia’s
current registered specialists are GPs , this proportion is falling and
relies on recruitment of international medical graduates to address
local undersupply. Recent exit surveys of Australia’s graduating
medical students have found only 15% list ‘GP’ as their first-
preference career , indicating a potential for the GP workforce to
decrease further. 1
2
3 Opportunities to gain early postgraduate experience in smaller
rural settings, where medical workforce maldistribution is most
significant, are also commonly limited. Exceptions include
programs like Victoria’s Murray to Mountains rural community
internships
, where participants are embedded within primary
care and small community hospitals, and ‘rotate in’ to the larger
regional hospitals for their core rotations. Similarly, the
Queensland Rural Generalist Pathway coordinates rural
experiences from medical school to completion of specialty
training in rural medicine
. Other longitudinal clinical
placement models in smaller rural communities are available at
most Australian rural clinical schools
with results suggesting
improved location distribution of graduates
, but their full impact
may be eroded by more recent large hospital training. 16
17,18
19,20
21 Specialty training pathways in Australia commence after at least
one mandatory internship year of clinical ‘prevocational’ service. This is almost wholly completed in hospital environments in
metropolitan or large regional settings, with rotations through
narrower specialties such as internal medicine, surgery, obstetrics,
anaesthetics and emergency medicine. Many graduates also
complete some additional years of hospital-based experience
before formally joining a specialty training program. Final career
choices are often deferred until after gaining broader clinical
workplace experience, weighing up which professional and non-
professional aspects best fit with their interests
. While there is
now a formal curriculum for the ‘gap’ between undergraduate
(medical school) learning and specialty training , opportunities for
postgraduate experience in general practice or other community-
settings remain limited. This is a critical time for making long-term
decisions about preferred specialty and work settings
. On the
other hand, programs that provide meaningful experience in
general practice may either reinforce prior interest or even initiate
interest and uptake among junior doctors, potentially
redistributing specialty interests in line with community need . ABSTRACT: Introduction: Despite substantial investment in rural workforce
support, sustaining the necessary recruitment and retention of
general practitioners (GPs) in rural areas remains a challenge. Insufficient medical graduates are choosing a general/rural
practice career. Medical training at postgraduate level, particularly
for those ‘between’ undergraduate medical education and
specialty training, remains strongly reliant on hospital experience
in larger hospitals, potentially diverting interest away from
general/rural practice. The Rural Junior Doctor Training Innovation
Fund (RJDTIF) program offered junior hospital doctors (interns) an
experience of 10 weeks in a rural general practice, aiming to
increase their consideration of general/rural practice careers This
study aimed to evaluate the educational and potential workforce p
p
g
Methods: Up to 110 places were established during 2019–2020
for Queensland’s interns to undertake an 8–12-week rotation
(depending on individual hospital rosters) out of regional hospitals
to work in a rural general practice. Participants were surveyed
before and after the placement, although only 86 were invited due
to the disruption caused by the COVID-19 pandemic. Descriptive
quantitative statistics were applied to the survey data. Four semi-
structured interviews were conducted to further explore the
experiences post-placement, with audio-recordings transcribed
verbatim. Semi-structured interview data were analysed using
inductive, reflexive thematic analysis. Results: In total, 60 interns completed either survey, although only 25 were matched as completing both surveys. About half
(48%) indicated they had preferenced the rural GP term and 48%
indicated strong enthusiasm for the experience. General practice
was indicated as the most likely career option for 50%, other
general specialty 28% and subspecialty 22%. Likelihood to be
working in a regional/rural location in 10 years was indicated as
‘likely’ or ‘very likely’ for 40%, ‘unlikely’ for 24% and ‘unsure’ for
36%. The two most common reasons for preferencing a rural GP
term were experiencing training in a primary care setting (50%)
and gaining more clinical skills through increased patient exposure
(22%). The overall impact on pursuing a primary care career was
self-assessed as much more likely by 41%, but much less by 15%. Interest in a rural location was less influenced. Those rating the
term poor or average had low pre-placement enthusiasm for the
term. The qualitative analysis of interview data produced two
Keywords: themes: importance of the rural GP term for interns (hands-on
learning, skills improvement, influence on future career choice and
engagement with the local community), and potential
improvements to rural intern GP rotations. ABSTRACT: Conclusion: Most participants reported a positive experience
from their rural GP rotation, which was recognised as a sound
learning experience at an important time with respect to choosing
a specialty. Despite the challenges posed by the pandemic, this
evidence supports the investment in programs that provide
opportunities for junior doctors to experience rural general
practice in these formative postgraduate years to stimulate interest
in this much-needed career pathway. Focusing resources on those
who have at least some interest and enthusiasm may improve its
workforce impact. Australia, community, doctors, general practice, internship, medical education, postgraduate, workforce. choose that specialty
. From 2005 to 2014, Australia’s Department
of Health supported the Prevocational General Practice Placement
Programme (PGPPP), which was available to junior doctors
1–3 years after exiting medical school and built on the success of
the smaller Rural and Remote Area Placement Program
. However, a 2013 national review of rural health workforce
programs found the PGPPP had a ‘success’ rate of only 25%
participants enrolling in general practice specialty GP training
,
which partly justified its closure shortly thereafter. 13
14
15 Introduction 4,5
6
5,7,8
5 Weak evidence of other specific benefits from training
prevocational doctors in community and GP settings includes
experience of a wider variety of presentations of different acuity,
opportunities to improve communication skills and learn different
doctor–patient relationships, exposure to the interface between
primary and secondary/tertiary care, experience of chronic disease
management and preventative interventions, and opportunities to
understand the role of social and psychological factors in
illness
. Importantly, there is exposure to child health and
mental health, specialties with both limited availability and very
different scope of practice in teaching hospitals
. Further, a
placement of several weeks in general practice allows junior
doctors to participate in the provision of continuing,
comprehensive care, based on seeing patients repeatedly and for a
broad range of conditions
. In contrast, limitations include that
general practices must provide the workspace, workload and
clinical supervision, and manage potential disruptions to workload
9,11,22-24
25,26
27,28 The availability of general practice rotations as part of internship
training has been reported since the late 1990s, both in Australia
and the UK
. Evidence suggests these programs successfully met
their objectives and complement traditional hospital-based
programs
. Participants generally were supportive of these
programs, with increased interest in general practice and rural
practice expected outcomes
. This builds on broader evidence of
positive exposures to general practice encouraging doctors to
9,10
10,11
12 study was funded only for the evaluation of intern placements,
thus second-year postgraduate doctors completing RJDTIF training
terms were excluded from this evaluation. management and fee-for-service funding streams. Costs for travel
and accommodation are higher where practices are at some
distance from the hospitals, with hospitals needing to manage the
impact from staff absences to meet training and supervision
requirements. Concerns about perceptions of lesser quality
experience have been somewhat discredited
, although this
may linger due to the absence of a voice within hospitals to
champion general practice
. 23,27
29 All participants of Queensland’s RJDTIF program were undertaking
their intern training at one of seven large regional hospitals in
Cairns, Townsville, Mackay, Rockhampton, Bundaberg, Hervey Bay
and Toowoomba. Of the 12 utilised general practice sites, four
were within a 15-minute drive of the main hospital location, four
were within 45 minutes road travel and the remaining four were up
to 3 hours from the main hospital location. Methods This study was conducted in the large state of Queensland,
Australia. It was designed as a prospective evaluation of the new
RJDTIF training term, across the calendar years 2019 and 2020. The
evaluation team had no other connection to program participants
or the health services and clinicians involved in its delivery. Introduction In 2021, approximately
272 of Queensland’s 784 intern positions were in these seven
hospitals. Thus, at full capacity approximately 22% (60/272) of
regional-based interns participated in general practice rotations
under the RJDTIF program. In late 2015, funding was committed to replace the PGPPP with the
Rural Junior Doctors Training Innovation Fund (RJDTIF) program
. This new program enables interns (and some in their second
postgraduate year) already undertaking their training year in a
large regional setting, to replace one training rotation
(approximately 10 weeks) with a rural general practice
setting. Many such placements require a relocation to the rural
community, thus to both live and work in the community for those
10 weeks. The RJDTIF program is hypothesised to increase the
proportion of doctors (who are already training in a regional
setting for their intern year) to consider primary care as their
preferred specialty and to strengthen their consideration of rural
and remote communities as their preferred location to work,
irrespective of preferred specialty. It complements the Rural
Generalist Pathway programs
, whose participants (unlike those of
the RJDTIF program) have already made a commitment to both
specialising in general practice and to be skilled to practise in
smaller rural communities. 30
17 Participants and data collection This study was designed around all program participants
(maximum n=110) being invited to complete both a pre-rotation
and post-rotation survey. However, due to COVID-19 no survey
invitations were distributed for two full rotations in 2020 (n=24). All invitations were distributed by email, with a direct link to the
information sheet and the electronic survey (completed
using SurveyMonkey and Qualtrics), and a single reminder was
sent for each survey. The surveys captured key background
information, self-evaluation of career intent (focus on rural and
general practice outcomes), their motivations and enthusiasm for
the rotation, reflections on the value of the rotation, positive and
negative features of the experience and impact of the rotation
relating to the program’s objectives. For any new policy or program, it is important to conduct an
evaluation of its effectiveness, otherwise the appropriateness of
this use of public funding remains unknown. This study aims to
evaluate the educational and potential workforce impacts of the
RJDTIF training term on participating interns. It builds upon new
evidence from Tasmania that found their RJDTIF placements were
good learning environments and reinforced desires to be rural
GPs
. 31 Semi-structured interviews (post-rotation) were intended for up to
20 participants. However, COVID-19 had a major impact on
continuing this evaluation, including that the original lead
academic researcher overseeing data collection left the project to
support COVID-19 related public health activities and clinical
supervisors at each rotation being heavily burdened with
COVID-19 activity. For these reasons, only four interviews were
completed in the project’s timeframe, although this still provides
important piloting of this part of the evaluation. These interviews
included questions that reflected on participants’ reasons for
choosing the placement, how it contributed to their clinical
abilities, its influence on career choices, what they gained
professionally and socially, and what might improve the program. Pre-placement preferences and enthusiasm Pre-placement preferences and enthusiasm Approximately half (48%) of respondents indicated they
preferenced the rural GP term, 22% indicated partial preference
while 30% indicated it was not their preference. Similarly, on a 10-
point scale for enthusiasm for the rural GP term, 48% rated 8–10,
33% rated 6–7 and 19% rated 1–5. General practice was indicated
as the most likely career option for 50%, other general specialty
28% and subspecialty 22%. Likelihood to be working in a
regional/rural location in 10 years was indicated as ‘likely’ or ‘very
likely’ for 40%, ‘unlikely’ for 24% and ‘unsure’ for 36%. Learning how to manage patients in the primary care setting. Time management in GP setting which is often limited despite
patients having a list of many issues they want to address. Experiencing continuity of care. Having just finished Acute
medical and emergency terms, I am keen to experience the
other end of the spectrum and follow many of these patients
up. Data analyses All Australian doctors newly graduating from medical school
undertake a 1-year internship, which mostly consists of five or six
rotations in different departments of the employing large hospital. From 2018, the Australian Government began funding for the
RJDTIF program, which enables regional-based interns to have
access to training rotations in rural primary care settings. This
rotation is approximately 8–12 weeks in length, with funding for
Queensland enabling 50–60 such rotations (up to 12 sites, one
intern per site over five rotation periods) in each of 2019 and 2020. For the most part, interns are allocated to such rotations based on
the submitted preferences of all available rotations. Intended
outcomes of the RJDTIF program include (1) improved retention of
medical graduates and junior doctors in rural medical practice, (2)
increased rural medical training capacity and (3) a contribution to
the development of a rural pathway continuum for medical
education and training in expanded settings. Interns training in
metropolitan hospitals are excluded from the RJDTIF program. This Quantitative data analyses used Stata SE v15.1 for Windows (Stata
Corp, http://www.stata.com). Descriptive statistics of counts and
proportions were used to present the basic patterns among
respondents of their pre-rotation interest and career intent, and
their post-rotation evaluation and career intent. Surveys were
intentionally identifiable, enabling matching of the pre- and post-
rotation data where applicable. The survey also collected open-
ended (free-text) responses, which were analysed using thematic
analysis. Relevant free-text responses were integrated with the
quantitative findings. Data from four semi-structured interviews were separately
analysed using thematic analysis in NVivo v12 (QSR International;
https://www.qsrinternational.com/nvivo-qualitative-data-analysis-
software). These small numbers prevented justification to apply a
theoretical framework. All audio-recordings were transcribed This study was approved by the University of Queensland Human
Research Ethics Committee (application 2018/HE002343). verbatim, and an inductive, reflexive thematic analysis approach
was adopted
. This approach included an initial stage of
familiarisation with the interview transcripts, listening to audio-
recordings, and generating initial codes. Further, analytic themes
were developed using initial codes. All themes were reviewed by
the authors to ensure the appropriateness of each theme and
narratives were selected to illustrate the themes and highlight key
points. 32 Results In total there were 50 completed pre-rotation surveys and 35 post-
rotation surveys, with n=60 completing either survey and n=25
able to be matched for both surveys. After adjusting for non-
invites, response rates were approximately 60% (pre-rotation) and
42% (post-rotation). Most respondents participated in 2019 (65%),
with an even spread across each rotation term (Table 1). Ethics approval Ethics approval Table 1: Demographics: all survey participants (n=60) Table 1: Demographics: all survey participants (n=60) Table 1: Demographics: all survey participants (n=60) as a doctor rather than a student will give me a greater idea
as to whether I would enjoy it or not. Post-placement evaluation and impact on career interests Those more likely to work in a rural area were similarly split
between those with a pre-placement preference to work either
regional/rural (56%) or metropolitan (44%). Some found it valuable to gain a more complete understanding of
what general practice was like: Getting a better understanding of the complexities of General
Practice. Developing relationships with patients so that they
take ownership of their health. Learning how to prioritise both
the patient’s agenda but also the GPs in terms of preventative
medicine – and learning how to do this in a time efficient
manner. Most concerns of the GP rotation related to (1) difficulties sorting
out practice logistics, orientation and poor supervisor availability;
(2) limitations of not having a provider number for billing; or (3)
isolation from family, friends and peers. However, these were
generally balanced against other gains from the placement. In
particular, many participants noted the increased opportunity to
develop clinical skills from the GP setting: Experience hands on, increased autonomy and responsibilities. Being challenged, getting involved in coordinating referral and
stabilisation of urgent/emergency presentations. For many, this rotation was able to consolidate their specialty
intent, although some concerns were expressed regarding
difficulties of general practice in smaller communities. Building rapport with patients; Clinical reasoning and
differential diagnosis; Management of common presentations
i.e. colds, sinusitis, diabetes, musculoskeletal injuries, etc. It was an amazing 10 weeks. I would not have a changed a
thing and I am definitely more keen to pursue GP Training in
the future. Diagnostic skills without being able to rely on extensive
investigations. Patient relationship, ability to connect with individuals. Paint
the bigger picture and manage them holistically by addressing
all aspects of their life. It has consolidated many of the things I enjoy about primary
health care and working in rural settings. Primary care is a good fit for me. From the work life balance to
the type of work, it all resonated with me perfectly. I am
grateful I have had this opportunity now because now I know
that this is right for me. Patient history, exam and management. Procedural skills. Communication and working with patients in hospital and GPs
in small towns. Many participants appreciated the benefit of such rotations in
smaller rural communities: I have fallen in love with GP [general practice] and would love
to pursue it as a specialty ... Post-placement evaluation and impact on career interests There were two standout reasons for preferencing a rural GP term:
(1) experience training in a primary care setting (50%) and (2) gain
more clinical skills through increased patient exposure (22%). The
other five options (experience rural or remote medicine, learn from
primary care clinical supervisors, work in small multidisciplinary
team, enjoy the social/recreational opportunities of working
rurally, and spend an extended period in a smaller rural
community) were all selected by fewer than 10% of respondents. Overall assessments of the rural GP term were strong, with 86%
indicating they would recommend it to their peers. Most rated the
term as ‘excellent’ (59%) or ‘good’ (28%), while most found the
experience of living and working in the community rewarding
(‘excellent’ 34%, ‘good’ 48%). Specific assessment of different
values of the rural GP term were mostly strong (Table 2). A majority
agreed with all stated values, with 57% agreeing that it had
stimulated their interest in rural general practice as a career path
and a high majority agreeing to have increased understanding of
the context of rural health care and specifically rural general
practice, the private sector and working in small multidisciplinary
teams. Many participants noted the unique experience that the rural GP
term would offer beyond what was normally available in their
intern training. Interns reported they were most looking forward to
the following aspects: Gaining more clinical skills in a primary care setting, and
trying to increase my exposure to conditions not seen in
hospital. Overall impact on pursuing primary care was self-assessed as
‘much more likely’ 41%, ‘little more’ 26%, ‘no impact’ 19% and
‘much less’ 15%. In comparison, overall impact of working in a
rural area was self-assessed as ‘much more likely’ 11%, ‘little more’ This is a career that I am strongly considering so doing a term interested in a career in General Practice this rotation provides
a lot of insight into the challenges of General Practice/how to
bill patients/ways to implement preventative medicine. 44%, ‘no impact’ 37% and ‘much less’ 7%. Matched data indicates
that all participants rating the term poor or average had a low (5
or less) pre-placement enthusiasm for the term. Those much more
likely to pursue primary care were mostly (63%) those with some
pre-placement career preference for general practice while none
were those with a pre-placement preference in a subspecialty. Discussion Most participants of the RJDTIF program reported a positive
experience from their rural GP rotation, with 86% recommending it
to their peers. This evidence supports the Australian Government’s
investment in junior doctors having opportunities to spend part of
their intern year outside of large hospitals and urban settings as a
way to stimulate interest in general practice as well as for
increased rural community-based training experiences. It is
complementary to existing evidence of the benefits of such
placements, which have largely focused on the breadth of
exposures to clinical conditions rather than any career choice
impacts
. Given that a high proportion of intern doctors are yet
to consolidate either their choice of specialty or likely practice
location , programs like the RJDTIF would appear to be vital to
helping address key medical workforce distribution shortages in
both general practice and rural practice. 11,24
8 I think hands-on learning is one of the very few things that in
medical school you don’t get to do … I wanted to actually feel
like what it would be like [to be] a GP rather than watch the
GP or observe the whole situation … Here [remote/rural
practice] I get to practice my skills in history taking and
examination in a live setting. Skill improvement: The interns also explained that, by engaging
in the RJDTIF program, they can see an improvement in their skills
such as time organisation and history-taking skills. For instance, ‘J’
mentioned that: I really learned a lot in terms of communication and yeah,
empathy … I mean I learnt how to be able to communicate
things to the patients that they don’t necessarily expect … This
is something I did not learn much about in the medical school. By far the leading reason for preferencing the rural GP term was to
‘experience training in a primary care setting’. A common gap of
the current prevocational structure of medical training is that it
normally does not include general practice, despite this being the
leading specialty required to meet population need. Siloing
prevocational doctors within large hospitals may influence career
decisions away from both rural settings and primary care
. It is
well recognised that choosing a specialty is a complex and
dynamic process, with interests and preferences often increasing
following new clinical experiences. Discussion However, where experiences in
community-based clinical fields such as general practice are
omitted, such as in ‘traditional’ internships, there is little scope to
either initiate or reinforce interest in rural primary care
careers. Globally there remains a trend of specialisation away from
primary care, thus the case remains strong for programs like the
RJDTIF to provide positive primary care experiences in rural
settings. 33,34 Influence on future career choices: Participants also mentioned
that, through attending the RJDTIF program, they gained clarity
and were surer about their future career choices. For instance, ‘A’
shared that: By attending this training, I am much more encouraged to
become a GP and stay in a regional area. Engagement with the local community: Participants shared that,
while interning rurally, they were able to engage with the local
community and learn about different cultural expectations, views
and beliefs of their patients. Participants indicated that engaging
with culturally diverse patients will benefit them in the long term. For instance, ‘S’ shared that: I learned a lot about the community itself. Earlier, I never
thought that this would be a part of my job [engaging with
people from different cultural backgrounds]. Primary objectives of the RJDTIF program include increased
retention of junior doctors in rural areas and increased
capacity/pathways for training in expanded rural settings. The
latter part of this intent is successfully achieved through all
participants being drawn from regional settings and enabled to
partake in general practice training in similar or smaller rural
communities. The first part of this intent is much harder to judge,
with only a small proportion (11%) indicating they were much
more likely to work in a rural area after their placement, compared
with 44% who were a little more likely. The positive impact of
location intent applied similarly to those with a pre-placement
preference of either metro or rural. This suggests that such
rotations may impact participants either as a confirmation or
conversion, depending on pre-existing intent or interest
. 35 Post-placement evaluation and impact on career interests however I would have to weigh
the pros and cons for rural/regional GP as a career for mental
health and wellbeing in the long term. I would definitely recommend learning what it means to live
somewhere rural and understand the limitations of specialties
offered in the region, but also how this can be navigated. I
would encourage my peers so that they can learn general
medicine knowledge that can be applied to every single
specialty they choose to do. Separate thematic analysis of the semi-structured interviews
resulted in two themes that highlighted the impact of RJDTIF
training on participating interns. Both themes – importance of the
rural GP term for interns and potential improvements to rural
intern GP rotations – align closely with findings from the survey
responses. If you are interested in a career in Rural Medicine this is an
excellent rotation – good mix of hospital and GP. If you are Table 2: Overall assessment of the value of the rural general practitioner term Table 2: Overall assessment of the value of the rural general practitioner term Table 2: Overall assessment of the value of the rural general practitioner term Theme 1: Importance of the rural general practitioner term for
interns
on learning, skill improvement, influence on future career choices,
and engagement with the local community. Theme 1: Importance of the rural general practitioner term for
interns
on learning, skill improvement, influence on future career choices,
and engagement with the local community. Four subthemes within this broader theme were identified: hands-
Hands-on learning: When discussions around the interns’ … I think it’s just an awesome opportunity for interns to
actually practice some medicine. … I think it’s just an awesome opportunity for interns to
actually practice some medicine. experiences of the rural and remote training started, several
participants indicated that they were learning more about GP
training from the hands-on learning environment in the
rural/remote area than when they were in the medical school. For
instance, ‘K’ mentioned that: Theme 2: Potential improvements to rural intern general
practitioner rotations In the present study pre-
rotation surveys were conducted to enable some adjustment for
this ‘baseline’ effect within the cohort. The study was substantially
affected by COVID-19, disabling two (out of 10) rotations, and the
departure of the original lead clinical from academia mid-project,
having only completed four interviews. The authors recommend
that future evaluations of rural intern GP rotations replicate
interviews with participants, but also extend to practice managers,
GP supervisors and their hospital-based internship managers. While this survey’s response rates were relatively good compared
to similar research (42–60%), there were fewer matched
participants completing both pre- and post-rotation surveys
(n=25) than originally planned. It will be important for future
evaluations to measure long-term (sustained) impact, rather than
this study’s short-term impact. findings are consistent with other research specifically drawn from
the general practice setting
. Importantly, these were
experiences not otherwise gained in their hospital-based training. In addition, many participants articulated that their GP immersion
during intern training was a different experience to that when they
were a medical student, thus suggesting the unique value of GP
training experiences within their internship. 9,22,23 It is notable that around half of participants had not highly
preferenced undertaking the rural GP term. It is unclear whether
this related to a lack of interest in primary care as a career, a lack
of interest in smaller rural community practice, lower expectations
of the value of such a rotation in their overall career development,
or perhaps less willingness to spend time away from their core
hospital training setting (and its network of peers, clinical
supervisors and educators, as well as family and friend networks). Clearly a challenge of the RJDTIF program is to grow interest
among new interns. At its current size, the RJDTIF program is able
to provide rural GP training opportunities to fewer numbers than
are needed to meet future workforce needs in rural primary care,
thus sustainable growth is desired. Conclusion The findings of this study showed that Queensland’s participants
successfully completed GP rotation terms as rural interns under the
RJDTIF program. Self-assessed ratings of the value of these terms
were generally strong, with encouraging workforce distribution
intent reported post-rotation. The need remains strong for the
provision of prevocational opportunities to experience rural
primary care practice before having to select a preferred specialty
training pathway, as this may reinforce interest in primary care
careers, particularly within rural communities. These findings
support investment in programs that provide opportunities for
junior doctors to experience rural general practice in these
formative postgraduate years to stimulate interest in a career
pathway for which doctors are much needed. More conclusive
evaluations on recruiting success from the RJDTIF program will
only be possible after at least 5 years, when several cohorts of
participants will have completed rural primary care training. Many of this study’s findings resonate with those reported from
Tasmania under the same RJDTIF program
. The Tasmanian study
found that the RJDTIF program was also successfully delivered,
diversifying the intern training experience and helping consolidate
rural career pathways. The present study’s findings additionally
quantify the strong ratings and value placed by most participants
in evaluating their experiences. Intern rotations in general practice
have been reported to successfully meet their objectives over the
last 20 years, but they remain an infrequent training option. While
it was anecdotally seen to have increased general practice interest,
Australia’s predecessor program, PGPPP, was ultimately ‘closed’
due to government evaluations finding it underperformed in terms
of translating to sufficient enrolments in GP training. These new
state-based evaluations of the new RJDTIF program provide
promising early results, but translation to a sufficient uptake of one
or both general practice and rural medicine remains to be seen. 31 Acknowledgements This project was partly funded by Queensland Health, which is
responsible for internship training in Queensland. The project team
in particular acknowledge the support from Queensland Rural
Medical Service, which oversaw the funded RJDTIF program
training terms. Theme 2: Potential improvements to rural intern general
practitioner rotations The participants also discussed potential improvements for future
intern GP rotations that may benefit future junior doctors. Participants suggested that by making the RJDTIF program more
readily available and random allocation of students into the
program will provide opportunity for more students to engage and
experience rural GP. The potential to promote general practice as a
great place to learn medicine was also noted: I probably would improve this rotation or improve the
outcome of this rotation by making it more available, so it is
more hospital time that is available. Many participants self-identified skills development values of
training in general practice, particularly from training in smaller
rural communities. They especially noted increased exposure to
building longer term patient management and relationships,
learning how to undertake clinical reasoning within the constraints
of general practice consultation times and billing, improved
patient history taking and diagnostic skills without ready access to
diagnostic tests or support of other specialists’ feedback, as well as
insights to the challenges of working in general practice. These I think people would be way more inclined to do GP, and
would also just – even if it wasn’t something they particularly
went out of their way to preference or they wanted, if by
chance they were allocated it, I think that they would learn so
much and just actually enjoy doing GP [general practice] in a
rural setting. I think even if you’re not interested in general practice, there’s
so much to learn, because you have that exposure to patients differentiate between the effect of the RJDTIF program
‘intervention’ and pre-existing interest. In the present study pre-
rotation surveys were conducted to enable some adjustment for
this ‘baseline’ effect within the cohort. The study was substantially
affected by COVID-19, disabling two (out of 10) rotations, and the
departure of the original lead clinical from academia mid-project,
having only completed four interviews. The authors recommend
that future evaluations of rural intern GP rotations replicate
interviews with participants, but also extend to practice managers,
GP supervisors and their hospital-based internship managers. While this survey’s response rates were relatively good compared
to similar research (42–60%), there were fewer matched
participants completing both pre- and post-rotation surveys
(n=25) than originally planned. It will be important for future
evaluations to measure long-term (sustained) impact, rather than
this study’s short-term impact. differentiate between the effect of the RJDTIF program
‘intervention’ and pre-existing interest. Limitations As with evaluations of most training interventions, program
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Reproductive health services for populations at high risk of HIV:
Reproductive health services for populations at high risk of HIV:
Performance of a night clinic in Tete province, Mozambique
Performance of a night clinic in Tete province, Mozambique Yves Lafort
Ghent University
Diederike Geelhoed
Ghent University
Luisa Cumba
Ministry of Health
Carla das Dores Mosse Lázaro
Ministry of Health
Wim Delva
Ghent University
See next page for additional authors Follow this and additional works at: https://ecommons.aku.edu/eastafrica_fhs_mc_obstet_gynaecol
Part of the Obstetrics and Gynecology Commons
Recommended Citation
Recommended Citation
Lafort, Y., Geelhoed, D., Cumba, L., Lázaro, C. M., Delva, W., Luchters, S., Temmerman, M. (2010). Reproductive health services for populations at high risk of HIV: Performance of a night clinic in Tete
province, Mozambique. BMC Health Services Research, 10(144), 1-9. Available at:
Available at: https://ecommons.aku.edu/eastafrica_fhs_mc_obstet_gynaecol/99 Follow this and additional works at: https://ecommons.aku.edu/eastafrica_fhs_mc_obstet_gynaecol Follow this and additional works at: https://ecommons.aku.edu/eastafrica_fhs_mc_obstet_gynaecol Part of the Obstetrics and Gynecology Commons Part of the Obstetrics and Gynecology Commons eCommons@AKU
eCommons@AKU
Obstetrics and Gynaecology, East Africa
Medical College, East Africa
5-2010
Reproductive health services for populations at high risk of HIV:
Reproductive health services for populations at high risk of HIV:
Performance of a night clinic in Tete province, Mozambique
Performance of a night clinic in Tete province, Mozambique
Yves Lafort
Ghent University
Diederike Geelhoed
Ghent University
Luisa Cumba
Ministry of Health
Carla das Dores Mosse Lázaro
Ministry of Health
Wim Delva
Ghent University
See next page for additional authors eCommons@AKU
eCommons@AKU eCommons@AKU
eCommons@AKU Medical College, East Africa Medical College, East Africa Obstetrics and Gynaecology, East Africa Lafort, Y., Geelhoed, D., Cumba, L., Lázaro, C. M., Delva, W., Luchters, S., Temmerman, M. (2010).
Reproductive health services for populations at high risk of HIV: Performance of a night clinic in Tete
province, Mozambique. BMC Health Services Research, 10(144), 1-9.
Available at:
Available at: https://ecommons.aku.edu/eastafrica_fhs_mc_obstet_gynaecol/99 Recommended Citation
Recommended Citation Lafort, Y., Geelhoed, D., Cumba, L., Lázaro, C. M., Delva, W., Luchters, S., Temmerman, M. (2010). Reproductive health services for populations at high risk of HIV: Performance of a night clinic in Tete
province, Mozambique. BMC Health Services Research, 10(144), 1-9. Available at:
Available at: https://ecommons.aku.edu/eastafrica_fhs_mc_obstet_gynaecol/99 Lafort, Y., Geelhoed, D., Cumba, L., Lázaro, C. M., Delva, W., Luchters, S., Temmerman, M. (2010). Reproductive health services for populations at high risk of HIV: Performance of a night clinic in Tete
province, Mozambique. BMC Health Services Research, 10(144), 1-9. Available at:
Available at: https://ecommons.aku.edu/eastafrica_fhs_mc_obstet_gynaecol/99 Lafort, Y., Geelhoed, D., Cumba, L., Lázaro, C. M., Delva, W., Luchters, S., Temmerman, M. (2010). Reproductive health services for populations at high risk of HIV: Performance of a night clinic in Tete
province, Mozambique. BMC Health Services Research, 10(144), 1-9. Available at:
Available at: https://ecommons.aku.edu/eastafrica_fhs_mc_obstet_gynaecol/99 Available at:
Available at: https://ecommons.aku.edu/eastafrica_fhs_mc_obstet_gynaecol/99 Yves Lafort, Diederike Geelhoed, Luisa Cumba, Carla das Dores Mosse Lázaro, Wim Delva, Stanley
Luchters, and Marleen Temmerman This article is available at eCommons@AKU: https://ecommons.aku.edu/eastafrica_fhs_mc_obstet_gynaecol/99 © 2010 Lafort et al; licensee BioMed Central Ltd. This is an Open Access article distributed under the terms of the Creative Commons
Attribution License (http://creativecommons.org/licenses/by/2.0), which permits unrestricted use, distribution, and reproduction in
any medium, provided the original work is properly cited. RESEARCH ARTICLE Open Access Abstract Background: Different models exist to provide HIV/STI services for most-at-risk populations (MARP). Along the Tete
traffic corridor in Mozambique, linking Malawi and Zimbabwe, a night clinic opening between 4 and 10 PM was
established targeting female sex workers (FSW) and long-distance truck drivers (LDD). The clinic offers free individual
education and counselling, condoms, STI care, HIV testing, contraceptive services and outreach peer education. To
evaluate this clinic model, we assessed relevance, service utilisation, efficiency and sustainability. Methods: In 2007-2009, mapping and enumeration of FSW and LDD was conducted; 28 key informants were
interviewed; 6 focus group discussions (FGD) were held with FSW from Mozambique and Zimbabwe, and LDD from
Mozambique and Malawi. Clinic outputs and costs were analysed. Results: An estimated 4,415 FSW work in the area, or 9% of women aged 15-49, and on average 66 trucks stay
overnight near the clinic. Currently on average, 475 clients/month visit the clinic (43% for contraception, 24% for
counselling and testing and 23% for STI care). The average clinic running cost is US$ 1408/month, mostly for human
resources. All informants endorsed this clinic concept and the need to expand the services. FGD participants reported
high satisfaction with the services and mentioned good reception by the health staff, short waiting times, proximity
and free services as most important. Participants were in favour of expanding the range of services, the geographical
coverage and the opening times. Conclusions: Size of the target population, satisfaction of clients and endorsement by health policy makers justify
maintaining a separate clinic for MARP. Cost-effectiveness may be enhanced by broadening the range of SRHR-HIV/
AIDS services, adapting opening times, expanding geographical coverage and targeting additional MARP. Long-term
sustainability remains challenging and requires private-public partnerships or continued project-based funding. long-distance truck drivers (LDD) as important clients
[6]. Several interventions are targeting FSW and LDD
along these corridors, mostly focussing on behaviour
change communication, promotion of consistent correct
condom use, and improved access to quality STI care and
HIV counselling and testing [7-9]. * Correspondence: yves.lafort@ugent.be
1 International Centre for Reproductive Health, University Ghent, Ghent,
Belgium
Full list of author information is available at the end of the article * Correspondence: yves.lafort@ugent.be
1 International Centre for Reproductive Health, University Ghent, Ghent,
Belgium Authors
Authors Yves Lafort, Diederike Geelhoed, Luisa Cumba, Carla das Dores Mosse Lázaro, Wim Delva, Stanley
Luchters, and Marleen Temmerman is article is available at eCommons@AKU: https://ecommons.aku.edu/eastafrica_fhs_mc_obstet_gy Lafort et al. BMC Health Services Research 2010, 10:144
http://www.biomedcentral.com/1472-6963/10/144 g
Full list of author information is available at the end of the article * Correspondence: yves.lafort@ugent.be Research article
Reproductive health services for populations at
high risk of HIV: Performance of a night clinic in
Tete province, Mozambique Yves Lafort*1, Diederike Geelhoed1, Luisa Cumba2, Carla das Dores Mosse Lázaro2, Wim Delva1,3, Stanley Luchters1
and Marleen Temmerman1 Yves Lafort*1, Diederike Geelhoed1, Luisa Cumba2, Carla das Dores Mosse Lázaro2, Wim Delva1,3, Stanley Luchters1
and Marleen Temmerman1 Ethical clearance The study was conducted according to international ethi-
cal standards. The Mozambican ethical guidelines only
require ethical clearance for studies that collect individ-
ual data from human subjects. All of the applied meth-
ods, including the focus group discussions, are not
considered as such and no ethical clearance was needed. Mapping and enumeration of FSW and LDD Routinely collected information of the clinic between
September 2004 and June 2009, including the number of
clients, socio-demographic, behavioural and clinical
characteristics, motivation for the visit, and operational
project costs, was entered in MS-Excel and monthly aver-
ages were calculated. A mapping and enumeration of sex workers in the two
major urban centres near the clinic, Tete and Moatize,
was conducted in 2008. First a mapping was done of all
establishments and places where FSW recruit clients, and
all establishment managers were interviewed using a
structured questionnaire. Topics covered included char-
acteristics of FSW and clients at the establishment, time
of peak sex work activity and characteristics of sex work. Based on this information, the day of the month and the
hours of the day of peak FSW activity were identified and
during that period the number of FSW was enumerated. The two towns were divided in 11 areas, where, simulta-
neously, pairs of peer educators counted FSW actively
recruiting clients, identified through predefined criteria
of behaviour and appearance. Data were analysed using
MS-Excel. In addition, an enumeration was conducted in
2007-2008 of the number of trucks that stayed overnight
at the nearby truck stop. Key informant interviews All services are free of
charge. The clinic currently operates with health staff and
medical supplies from the public sector, with financial
and technical support from the International Centre for
Reproductive Health (ICRH) in the context of a project
funded by the Flemish International Cooperation Agency. In 2007, concerns were raised about the long-term
future of the clinic and it was agreed to quantify the size
of the target populations and assess (1) if the model of a
separate clinic targeting MARP remained relevant, (2) if
the organisation of the services was appropriate to the
needs of the target groups, (3) if the services were deliv-
ered at a reasonable cost, (4) if there was a demand for
additional SRHR services, and (5) if the model was sus-
tainable on the long term. Focus group discussions To obtain client perspectives, six focus group discussions
(FGDs) were held at the beginning of 2008 using a discus-
sion guide, one with Mozambican FSW (n = 8), one with
Zimbabwean FSW (n = 8), two with Mozambican LDD (n
= 8 and 10) and two with Malawian LDD (n = 7 and 7). The project peer-educators recruited known FSW from
bars and hotels near the night clinic. LDD were recruited
from the nearby truck stop and through two major trans-
port companies. Discussions were held at the clinic or in
a private room at a restaurant. All participants gave ver-
bal informed consent. Topics discussed included experi-
ences with the clinic, a comparison of the clinic to other
health services and suggestions to improve the services. The discussions were guided by a trained moderator in
the language chosen by the participants (Nyungue,
Chichewa or Shona) and lasted approximately one hour. Notes were taken in Portuguese, which the moderator
and note-taker together transcribed directly afterwards. In 2007, concerns were raised about the long-term
future of the clinic and it was agreed to quantify the size
of the target populations and assess (1) if the model of a
separate clinic targeting MARP remained relevant, (2) if
the organisation of the services was appropriate to the
needs of the target groups, (3) if the services were deliv-
ered at a reasonable cost, (4) if there was a demand for
additional SRHR services, and (5) if the model was sus-
tainable on the long term. Background
l Female sex workers (FSW) are a hard-to-reach, socially
and economically vulnerable population with inadequate
access to health, social and legal services. They are at
increased risk for HIV, sexually transmitted infections
(STI) and other sexual and reproductive health and rights
problems (SRHR) [1-5]. In Sub-Saharan Africa, sex work
is often concentrated along transport corridors, with Different models exist to provide targeted HIV/STI ser-
vices. In large African towns, a model of FSW-specific
clinics is often implemented [10-13]. This model is less
obvious in settings with smaller concentrations of FSW,
such as along transport corridors [14], and projects often Lafort et al. BMC Health Services Research 2010, 10:144
http://www.biomedcentral.com/1472-6963/10/144 Lafort et al. BMC Health Services Research 2010, 10:144
http://www.biomedcentral.com/1472-6963/10/144 Page 2 of 9 Key informant interviews opt to improve access to HIV/STI services in existing
public or private health facilities [15,16]. Little informa-
tion is available on the performance of different models
and how best to provide these services. Relevance, service
utilisation, cost or efficiency are rarely documented. Eight key informants, from the Provincial and District
health authorities, the Provincial AIDS Council, non-gov-
ernmental organisations and a mining company, were
individually face-to-face interviewed using semi-struc-
tured questionnaires. The 3 clinic staff and 17 peer edu-
cators were interviewed in two separate groups. Topics
covered included the type of relationship with the clinic,
opinions about the performance of the clinic (strengths,
weaknesses, opportunities and threats), suggestions for
improvement, opportunities for collaboration and sug-
gestions for ensuring long-term sustainability. Notes were
taken by the interviewer and transcribed the same day. In 2001, in Northern Mozambique, along the 'Tete cor-
ridor' connecting Zimbabwe with Malawi, a 'night clinic'
was established specifically targeting FSW and LDD. The
clinic is located near a major truck stop, 20 km from the
provincial capital Tete, at the edge of Moatize town, and
opens at a time considered convenient for the target pop-
ulations (4-10 PM). Initially the clinic offered STI care
and information, education and communication (IEC) on
HIV/STI. In a subsequent phase, services were expanded
to include contraceptive services and voluntary testing
and counselling for HIV and syphilis. A group of 20 peer
educators were trained in behaviour change communica-
tion and condom distribution. All services are free of
charge. The clinic currently operates with health staff and
medical supplies from the public sector, with financial
and technical support from the International Centre for
Reproductive Health (ICRH) in the context of a project
funded by the Flemish International Cooperation Agency. In 2001, in Northern Mozambique, along the 'Tete cor-
ridor' connecting Zimbabwe with Malawi, a 'night clinic'
was established specifically targeting FSW and LDD. The
clinic is located near a major truck stop, 20 km from the
provincial capital Tete, at the edge of Moatize town, and
opens at a time considered convenient for the target pop-
ulations (4-10 PM). Initially the clinic offered STI care
and information, education and communication (IEC) on
HIV/STI. In a subsequent phase, services were expanded
to include contraceptive services and voluntary testing
and counselling for HIV and syphilis. A group of 20 peer
educators were trained in behaviour change communica-
tion and condom distribution. Results The results of the different data collection methods were
triangulated to assess (1) relevance of the model, (2) ser-
vice utilisation, (3) service delivery efficiency and (4)
long-term sustainability. Lafort et al. BMC Health Services Research 2010, 10:144
http://www.biomedcentral.com/1472-6963/10/144 Page 3 of 9 Page 3 of 9 Relevance of the model
Size of the target populations Zimbabwean FSW: '...In other hospitals we are badly
attended because we are Zimbabweans. They say they
don't understand our language and that we are prostitut-
ing men who are their husbands. We have to undergo all
sort of humiliation in addition to spending money...' During the mapping, a total of 221 sites where FSW
recruit clients were identified in the two towns, 218
establishments (bars or hotels) and 3 outdoor areas
(streets). The periods of peak FSW activity were said to
be the end and the beginning of the month, on Friday and
Saturday nights, between 6 PM and midnight. The most
important clients of FSW were said to be merchants, stu-
dents, truck drivers and public servants. Negative feedback on the clinic's activities was given by
a Zimbabwean FSW who reported a stigmatising attitude
by the peer educators. An LDD participant suggested
using male peer educators for LDD, because female peer
educators might be perceived as FSW. An enumeration of FSW between 7:30 and 9 PM on a
Friday night at the beginning of the month in all estab-
lishments counted a total of 4,415 FSW active during that
period, 1,158 in Moatize and 3,257 in Tete town. The esti-
mated number of women aged 15-49 years in the two
towns is 48,500 and the estimated ratio FSW/women
aged 15-49 years is therefore 9.1%. Zimbabwean FSW: '...Who I really don't like are the peer
educators. They sometime mock us and say that the Zim-
babweans came to steal our bread. Here it is the rule of
survival. We are a lot. Sometimes there is not a lot of busi-
ness and we argue over the same client...' Malawian LDD: 'I propose to have male activities as
well, for the counselling of truck drivers. Because these
female activists, many of us we end up seducing them and
so they make another profit.' Between 13 December 2007 and 4 January 2009, 19,210
trucks were counted staying overnight at the truck stop
near the clinic, giving an average of 66 trucks per counted
night. About half (54%) was of Malawian origin, 20% of
Zimbabwean, 16% of Mozambican and 10% of other ori-
gin. Some FSW participants complained of security prob-
lems and violence against them. Zimbabwean FSW: 'Here in Moatize we are facing vio-
lence against sex workers. We need peer educators patrol-
ling in the parking station of the truck drivers' Clinic attendance and profile of attendees The average number of monthly clinic visits gradually
increased from 206 in 2005 to 475 in 2009 (Table 1). Monthly STI consultations increased from 43 in 2004 to
109 in 2009, the large majority (91.8%) being first visits. Consultations for other reasons were disaggregated by
IEC, including HIV and syphilis testing, and others until
2007 and by HIV/syphilis counselling and testing, contra-
ception and others afterwards. HIV testing was intro-
duced in 2006 and the average number of tests performed
each month increased to 115 in 2009. Consultations for
contraceptive services were initially rare, but steeply
increased in the last two years to 205 per month. The
number of LDD monthly contacted by the peer educators
increased from 367 in 2004 to more than thousand in
2005 (1580) and 2006 (1180). The number of distributed
condoms increased from 3151 in 2004 to 9200 in 2009. During 2005 and 2006 the peer educators collected infor-
mation on the country of origin of 31,569 LDD. About
half (46%) was from Malawi, 24% from the Mozambican
port Beira and 23% from Zimbabwe. Coherence with national policies All interviewed informants endorsed the concept of a
separate SRHR clinic for MARP and the need to expand
these services to other parts of the province. However,
they all agreed that currently this type of services cannot
be offered by the public health system, because the
national health policies do not recognise separate health
facilities for MARP. Client satisfaction Both FSW and LDD participating in the FGD, of all
nationalities, reported satisfaction with the night clinic
and mentioned the good reception by the health staff, the
prompt attendance, the proximity and the services free of
charge as most important strengths of the clinic in com-
parison to other, formal and non-formal, health care pro-
viders. Malawian LDD: 'In relation to the clinic's reputation, I
think it is good. You know why? Because it is free and
because of the staff that attends us. Each time I come here,
they are always ready. I pass here often.' Zimbabwean FSW: '... Nothing compares to this clinic. The information given is clear and simple while in the hos-
pitals where I went it takes a long time, you spend money
and sometimes you are rapidly dispatched because of the
crowdedness and not adequately treated...' During 2005-2006 several socio-demographic and
behavioural characteristics were collected from clinic cli-
ents (Table 2). Half of STI clients (49%) and slightly more
than half of individually counselled clients (58%) were
female and the large majority of counselled clients (80%)
and almost all STI clients (97%) were 20 years or older. In
both groups slightly more than half (59% of STI clients Mozambican LDD: '... the clinic is very well situated, it is
near our depot, is easy to reach, and in little time, I like the
attendance, and the services that are offered are excel-
lent...' Stigmatisation at the regular health services was in par-
ticular reported by Zimbabwean FSW. Lafort et al. BMC Health Services Research 2010, 10:144
http://www.biomedcentral.com/1472-6963/10/144 Page 4 of 9 Table 1: Average number of monthly client visits and peer educator activities, 2004-2009. Client satisfaction Average nr of monthly visits
20041
2005
2006
20072
2008
20093
Total clinic visits
NA
206
212
257
309
475
STI client visits
43
66
67
115
89
109
Women
24
34
35
74
62
75
Men
19
33
31
41
27
35
FSW
NA
24
30
67
NA
NA
LDD
NA
20
10
28
NA
NA
Individual education and counselling
NA
112
119
121
73
115
Women
NA
69
65
103
NA
NA
Men
NA
43
53
18
NA
NA
FSW
NA
28
33
9
NA
NA
LDD
NA
41
28
65
NA
NA
Tested for HIV4
NA
NA
54
54
73
115
% positive
NA
NA
28.7%
26.9%
17.5%
26.6%
Tested for syphilis4
NA
NA
86
75
53
37
Other client visits
NA
28
26
21
147
251
Contraception client visits
NA
NA
NA
NA
120
205
Peer educator activities
LDD contacted
367
1,580
1,180
NA
NA
NA
Condoms distributed
3,151
2,801
8,390
NA
8,289
9,200
1 Data were only available for the period September-December. 2 Data on STI clients and HIV/syphilis testing were available until October. Data on individual counselling were available until April. Data of the months of June to August were not included because the clinic was
mostly closed during that period. 3 Data were only available for the period January-June. 4 HIV and syphilis testing initiated in March 2006. All
tested clients are counted as IEC clients as well. Table 1: Average number of monthly client visits and peer educator activities, 2004-2009. umber of monthly client visits and peer educator activities, 2004-2009. 1 Data were only available for the period September-December. 2 Data on STI clients and HIV/syphilis testing were available until October. Data on individual counselling were available until April. Data of the months of June to August were not included because the clinic was
mostly closed during that period. 3 Data were only available for the period January-June. 4 HIV and syphilis testing initiated in March 2006. All
tested clients are counted as IEC clients as well. and 57% of counselled clients) were Mozambicans. FSW
and LDD represented 61% of STI clients and 57% of
counselled clients; 86% of STI clients and 93% of coun-
selled clients reported more than one partner in the past
12 months and respectively 68% and 76% reported the
use of a condom at last sexual contact. Client satisfaction project fluctuated initially around 950 US$/month, the
human resource cost (overtime fees, guard salaries and
peer educator incentives) being responsible for the larg-
est proportion (87% of the total costs in 2007). After 2007
the cost increased to approximately 1400 US$ per month
due to an adjustment of the watchmen's salaries and peer
educators incentives. h Opening hours
h The most important factor to increase the accessibility to
the clinic was said to be a revision of the opening time of
the clinic. Most focus groups agreed that the hours
between 4-10 PM were not the most convenient and
expressed a desire to open the clinic also during day time
and during the weekend. The capital and operational costs of the clinic are partly
borne by the Mozambican government. These comprise
the plot where the clinic is situated, the regular salaries
and benefits of the clinic's three nurses and the drugs and
medical supplies. All other costs are financed by the proj-
ect, including the infrastructure (two containers), medi-
cal equipment and furniture, utilities (water and
electricity), security (three guards), over-time compensa-
tion for the nurses, training costs, educational materials
and some condoms, and all peer educator costs. The
project operational costs for the period 2004-2009 are
summarised in Table 3. The monthly cost borne by the Mozambican FSW: '...The opening times should be from
12 to 18 h, because from 18 h onwards we start meeting
our clients...' Malawian LDD: '...I think the opening times should be
changed to allow that we can be attended whenever we are
passing through. Also during weekends....' '...I agree with Lafort et al. BMC Health Services Research 2010, 10:144
http://www.biomedcentral.com/1472-6963/10/144 Page 5 of 9 my colleague, but I propose that the clinic is open from 10
h to 22 h...'
Mozambican FSW: '...Change [the opening times]
because there are bandits here. From 18 h onwards we
don't feel safe because of these bandits others think
is 14 h and closing at 18 h, or start at 7h30 and stop for
example at 12 h, another starts and stops at 17 h'. Scope of services
FGD participants were generally satisfied with the range
of offered services Some suggested offering treatment for
Table 2: Socio-demographic and behavioural characteristics of clinic attendees, 2005-2006. Opening hours
h Characteristic
STI clients (N = 1,768)
Individual education and counselling
(N = 2,760)
n
%
n
%
Sex
Male
867
49.0%
1,606
58.2%
Female
901
51.0%
1,154
41.8%
Age
<15 years
0
0.0%
1
0.0%
15-19 years
51
2.9%
541
19.6%
>= 20 years
1,717
97.1%
2,219
80.4%
Country of origin
Mozambique
1,062
58.5%
1,566
56.7%
Zimbabwe
609
33.5%
886
32.1%
Malawi
129
7.1%
270
9.8%
Other
16
0.9%
38
1.4%
Occupation
FSW
650
39.0%
731
26.6%
LDD
360
21.6%
831
30.3%
Higher education
students
153
9.2%
247
9.0%
School students
118
7.1%
267
9.7%
Teachers
61
3.7%
126
4.6%
Others
325
19.5%
543
19.8%
Education
None
336
24.3%
107
3.9%
Primary
687
49.8%
913
33.1%
Secondary
357
25.9%
1,740
63.0%
Nr of partners in last 12
months
<1
178
13.7%
225
8.3%
1 to 2
312
24.1%
869
32.1%
3 to 5
306
23.6%
411
15.2%
>6
501
38.6%
1,203
44.4%
Used condom at last
sex act
Yes
716
68.0%
2,108
76.4%
No
337
32.0%
652
23.6% Table 2: Socio-demographic and behavioural characteristics of clinic attendees, 2005-2006. my colleague, but I propose that the clinic is open from 10
h to 22 h...' my colleague, but I propose that the clinic is open from 10
h to 22 h...' m 10
is 14 h and closing at 18 h, or start at 7h30 and stop for
example at 12 h, another starts and stops at 17 h'. is 14 h and closing at 18 h, or start at 7h30 and stop for
example at 12 h, another starts and stops at 17 h'. p
Scope of services Mozambican FSW: '...Change [the opening times]
because there are bandits here. From 18 h onwards we
don't feel safe because of these bandits...others think
wrongly that we come this way looking for men. Others
think we have cell phones and money they can steal from
us. One day we'll die because of cell phones. A better time FGD participants were generally satisfied with the range
of offered services. Some suggested offering treatment for
common, not SRHR-related, illnesses, but others did not
agree fearing overcrowding. Lafort et al. BMC Health Services Research 2010, 10:144
http://www.biomedcentral.com/1472-6963/10/144 Page 6 of 9 Table 3: Monthly clinic costs borne by the project, 2004-2009. Average monthly cost
(US$)
9/2004-
7/2005
8/2005-
7/2006
8/2006-
6/2007
9/2007-
12/2007
1/2008-
12/2008
1/2009-
6/2009
Overtime payment health
staff
664
711
374
383
1358
1408
Security (watchers' salary)
217
298
Peer educators' incentives
295
Consumables
230
165
(Not available)
40
Maintenance
10
Utilities
61
66
79
92
Total
956
942
670
1119
1358
1408 Table 3: Monthly clinic costs borne by the project, 2004-2009. Malawian LDD: '... I also would like that other illnesses
would be treated at the clinic. For example malaria,
because a lot of us get malaria in Beira where we sleep in
the open and in the trucks and we are exposed to mosqui-
toes... That is important, yes. Malaria should be among
the list of illnesses that are treated here.' through private-public partnerships. The only two valid
alternatives for long-term funding at the time of the
assessment were (1) continued support through an exter-
nally funded project, or (2) development of a public-pri-
vate partnership between the major mining companies
and the Mozambican Government. Zimbabwean FSW: 'I don't want to contradict that what
my friend said [about treating malaria and diarrhoea],
but I think it is better as it is, a treatment specifically for
STI and HIV/AIDS tests. Because if the attendance would
be expanded to other illnesses, we wouldn't have this lux-
ury, and everyone would come to the clinic because it is
free of charge, and there would be shortage of medicines,
and the waiting time would be long, and we are the ones
that would suffer.' Discussion The main question posed in the evaluation was if a sepa-
rate clinic for the provision of HIV and other SRHR ser-
vices for FSW and LDD is justified in the context of the
Tete corridor. Many projects in similar contexts have
opted to enhance access to existing health services
instead of creating new services [8,15,16]. The main argu-
ments against separate services are that they are more
expensive and potentially less sustainable. They appear
justified in areas with a very high concentration of FSW,
such as in large cities, but the model is more contested in
settings such as along transport routes, where the num-
bers are believed to be smaller. Our assessment is a case
study of an existing freestanding clinic and we do not
know how reducing barriers at existing public health clin-
ics would have performed. Nevertheless, our results pro-
vide some arguments to justify maintaining a separate
facility in the context of the Tete corridor. Some suggested providing more educational tools, such
as films, others suggested offering ARV treatment to
those who tested HIV positive. Mozambican FSW: 'We would also like that antiretrovi-
rals would be distributed here.... [Now] It is necessary to go
there [at the hospital], others already don't have the
strength to go there, they are already very sick... When they
do the test here and it is positive, they say to go to the hos-
pital. Here they don't give antiretrovirals.' Long-term sustainability Firstly, the size of the target population was much
larger than anticipated and comparable to what is found
in large urban areas. The ratio of FSW/women of repro-
ductive age is higher than what is found in most settings
in Sub-Saharan Africa [17]. Key informants reported that the public health system is
currently contributing as much as possible within the
national health policies. It provides the staff and all medi-
cal supplies, but it cannot finance the clinic and the peer
education activities. A continued support by a non-gov-
ernmental agency was said to be necessary. Funding can
only be guaranteed through project-based funding or Secondly, all FGD participants strongly expressed their
satisfaction with the clinic and preferred it above other
health services. The arguments mentioned were that the Lafort et al. BMC Health Services Research 2010, 10:144
http://www.biomedcentral.com/1472-6963/10/144 Page 7 of 9 Page 7 of 9 operating further away from the clinic do still not know
about its existence. clinic is much easier accessible, both because of its loca-
tion and because of the limited waiting times, the recep-
tion is much better, confidentiality is guaranteed and the
services are free. This coincides with the results of a
cross-sectional survey conducted among FSW and LDD
along the corridor in 2006 in which accessibility, confi-
dentiality and free treatment were also the three most
common reasons mentioned to prefer the night clinic
above other health facilities [18]. It is also in accordance
with the findings of a study along the Tanzania-Zambia
highway assessing four different models to deliver STI
care to women engaging in transactional sex [14]. In two
of the models STI care was strengthened at existing
health services and in two STI care was offered outside
health facilities or at times other than the normal clinic
hours. Clinic attendance was the highest in the latter
models. A similar experience was documented in Kin-
shasa where attendance of FSW at a specialized clinic
dropped dramatically when the clinic was opened to the
general population [19]. The cost of the clinic is relatively high. No figures were
available on the start-up capital cost (two containers,
medical equipment and training) and only the opera-
tional cost was analysed. Some of the operational cost,
mainly the salaries of the health staff and the medical
supplies, is borne by the national health system. Long-term sustainability This cost
is not specific to the model of a stand alone clinic and is
probably comparable to the cost of services for MARP
integrated in existing health facilities. The additional
operational cost caused by the stand alone model is borne
by the project and comprises the cost of staff overtime,
security, utilities and peer education. The total project
cost varied from slightly under 1000 US$ per month at
the beginning to around 1400 US$ per month currently,
or about 4.5 US$ per client visit. This is high when taking
into account Mozambique's limited resources for health
(a per capita total expenditure on health of 17 US$ in
2006). The long-term sustainability of the clinic remains
therefore a challenge. The total cost can currently not be
borne by the national health system, and external funding
and support in the management of the services are neces-
sary. A possible way out are long-term private-public
partnerships with the mining companies that are cur-
rently initiating the exploitation of the coal mines in
Moatize. Many of the companies' staff are at high risk for
HIV and other STIs and therefore represent a potential
target population for the clinic. A surprising finding was that the opening times, which
were assumed to be appropriate for the target popula-
tions, did not appear to be so. Most FSW participating in
the FGD expressed a desire to open the clinic earlier, and
the later evening hours (after 8 PM) were said to be inap-
propriate for security reasons and because at that time
they are already at work. Most LDD preferred opening
hours during the day and weekends so that they can stop
while passing the clinic. The effect of the model in terms of number of HIV
infections averted, unwanted pregnancies averted and
DALY's gained is not known and it is not possible to
appreciate the cost-effectiveness. However, HIV preven-
tion among FSW is generally highly cost-effective [21-23]
because of the role FSW play as core transmitters. A rela-
tively large incremental cost of stand alone clinics effec-
tively reaching FSW and their clients may therefore be
justified. A further analysis of the cost-effectiveness of the
model, in comparison to integrated services, is indicated
and more transparency is needed in expenditures on
SRHR services for MARP in different settings to allow
cross-model comparison. Long-term sustainability Thirdly, although the national health system never
adopted the concept of clinics specifically targeting
MARP, all interviewed health officials completely
endorsed the model end expressed a desire to strengthen
and expand it. This is further shown by the willingness to
contribute as much as possible within the health system
regulations, such as by providing the necessary drugs and
medical supplies. The need of specific services for MARP
is also increasingly recognised at central level in Mozam-
bique [20] and it might only be a matter of time before a
policy is developed. The frequentation of the clinic was initially rather low,
but increased substantially the last two years mostly
because of the increase in contraceptive services use. At
the end of the assessment the number of daily visits to the
clinic was about 21. To what extent the target populations
are currently making use of the clinic is difficult to assess. Most FGD participants attended the clinic, but they were
recruited from the immediate neighbourhood. The 2006
survey asked for treatment seeking behaviour for the last
STI symptoms, but had not listed the night clinic among
the options. Even so, 16% of FSW and 7% of LDD
reported the night clinic under 'others' [18]. The number
of consultations appears still low in comparison to the
size of the target population and it is probable that FSW The cost per visit can be reduced by enlarging the scale
and expanding the services to other FSW and MARP at a
greater distance and by better targeting FSW clients,
including populations that appear to be important clients
such as merchants and students. Attendance can be fur-
ther increased by broadening the range of services
offered. Although the clinic has expanded its services
from purely STI care, IEC and condom distribution, to
include testing and counselling and contraceptive ser-
vices, it is still far from being a comprehensive SRHR
clinic. When FGD participants were asked if they had any
suggestions for extra services to be offered at the clinic, Lafort et al. BMC Health Services Research 2010, 10:144
http://www.biomedcentral.com/1472-6963/10/144 Page 8 of 9 sions. Financial support for the assessment was provided through the Flemish
International Cooperation Agency. the highest need appeared to be access to treatment for
general illnesses. Other participants were fully aware,
however, that providing these services at the clinic would
transform it into a general health clinic. Author Details
1I t
ti
l C 1International Centre for Reproductive Health, University Ghent, Ghent,
Belgium, 2Provincial Health Directorate, Ministry of Health, Tete, Mozambique
and 3South African Centre for Epidemiological Modelling and Analysis,
Stellenbosch University, South Africa 1.
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h l
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k h We thank the Provincial Health Directorate for granting permission for the
assessment and assisting in its implementation. Special gratitude goes to all
people who assisted in the data collection, more precisely Mr H Manuel Benja-
min, Mr D Matacanula Chicusse, and Ms L António P. J. Fernandez, who moder-
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1991, 5:407-11. Pre-publication history p
y
The pre-publication history for this paper can be accessed here:
http://www.biomedcentral.com/1472-6963/10/144/prepub The pre-publication history for this paper can be accessed here:
http://www.biomedcentral.com/1472-6963/10/144/prepub doi: 10.1186/1472-6963-10-144
Cite this article as: Lafort et al., Reproductive health services for populations
at high risk of HIV: Performance of a night clinic in Tete province, Mozam-
bique BMC Health Services Research 2010, 10:144
|
https://openalex.org/W2998762862
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https://hal.science/hal-02448383/document
|
English
| null |
Identification of 56 Proteins Involved in Embryo–Maternal Interactions in the Bovine Oviduct
|
International journal of molecular sciences
| 2,020
|
cc-by
| 11,035
|
Identification of 56 Proteins Involved in
Embryo–Maternal Interactions in the Bovine Oviduct
Charles Banliat, Guillaume Tsikis, Valérie Labas, Ana-Paula Teixeira-Gomes,
Emmanuelle Com, Régis Lavigne, Charles Pineau, Benoit Guyonnet, Pascal
Mermillod, Marie Saint-Dizier To cite this version: Charles Banliat, Guillaume Tsikis, Valérie Labas, Ana-Paula Teixeira-Gomes, Emmanuelle Com, et
al.. Identification of 56 Proteins Involved in Embryo–Maternal Interactions in the Bovine Oviduct. International Journal of Molecular Sciences, 2020, 21 (2), 17 p. 10.3390/ijms21020466. hal-02448383 Distributed under a Creative Commons Attribution 4.0 International License Received: 6 December 2019; Accepted: 10 January 2020; Published: 11 January 2020 Abstract: The bovine embryo develops in contact with the oviductal fluid (OF) during the first
4–5 days of pregnancy. The aim of this study was to decipher the protein interactions occurring
between the developing embryo and surrounding OF. In-vitro produced 4–6 cell and morula embryos
were incubated or not (controls) in post-ovulatory OF (OF-treated embryos) and proteins were
then analyzed and quantified by high resolution mass spectrometry (MS) in both embryo groups
and in OF. A comparative analysis of MS data allowed the identification and quantification of
56 embryo-interacting proteins originated from the OF, including oviductin (OVGP1) and several
annexins (ANXA1, ANXA2, ANXA4) as the most abundant ones. Some embryo-interacting proteins
were developmental stage-specific, showing a modulating role of the embryo in protein interactions. Three interacting proteins (OVGP1, ANXA1 and PYGL) were immunolocalized in the perivitelline
space and in blastomeres, showing that OF proteins were able to cross the zona pellucida and be
taken up by the embryo. Interacting proteins were involved in a wide range of functions, among
which metabolism and cellular processes were predominant. This study identified for the first time
a high number of oviductal embryo-interacting proteins, paving the way for further targeted studies
of proteins potentially involved in the establishment of pregnancy in cattle. Keywords: tubal fluid; fallopian tube; oviduct; embryo; bovine; cattle; proteomics; secretions; morula;
4–6 cell HAL Id: hal-02448383
https://hal.science/hal-02448383v1
Submitted on 17 Jul 2020 L’archive ouverte pluridisciplinaire HAL, est
destinée au dépôt et à la diffusion de documents
scientifiques de niveau recherche, publiés ou non,
émanant des établissements d’enseignement et de
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publics ou privés. HAL is a multi-disciplinary open access
archive for the deposit and dissemination of sci-
entific research documents, whether they are pub-
lished or not. The documents may come from
teaching and research institutions in France or
abroad, or from public or private research centers. Distributed under a Creative Commons Attribution 4.0 International License International Journal of
Molecular Sciences International Journal of
Molecular Sciences
Received: 6 December 2019; Accepted: 10 January 2020; Published: 11 January 2020 Identification of 56 Proteins Involved in
Embryo–Maternal Interactions in the Bovine Oviduct Charles Banliat 1,2, Guillaume Tsikis 1, Valérie Labas 1,3, Ana-Paula Teixeira-Gomes 3,4,
Emmanuelle Com 5,6, Régis Lavigne 5,6, Charles Pineau 5,6, Benoit Guyonnet 2,
Pascal Mermillod 1
and Marie Saint-Dizier 1,7,* 1
INRAE, CNRS, Université de Tours, IFCE, UMR PRC, 37380 Nouzilly, France; charles.banliat@inra.fr (C
guillaume.tsikis@inra.fr (G.T.); valerie.labas@inra.fr (V.L.); pascal.mermillod@inra.fr (P.M.) 2
Union Evolution, 35530 Noyal-sur-Vilaine, France; benoit.guyonnet@evolution-xy.fr
3
INRAE, Université de Tours, CHU de Tours, Plate-forme CIRE, PAIB, 37380 Nouzilly, France;
ana-paula.teixeira@inra.fr 4
INRAE, UMR 1282 ISP, 37380 Nouzilly, France 5
Inserm, University of Rennes, EHESP, Irset (Institut de recherche en santé, environnement et
travail)—UMR_S 1085, 35000 Rennes, France; emmanuelle.com@univ-rennes1.fr (E.C.);
regis.lavigne@univ-rennes1.fr (R.L.); charles.pineau@univ-rennes1.fr (C.P.) 6
Protim, Inserm U1085, Irset, Campus de Beaulieu, University of Rennes 1, Proteomics Core Facility,
35000 Rennes, France 7
Faculty of Sciences and Techniques, Department Agrosciences, University of Tours, 37000 Tours, Franc
*
Correspondence: marie.saint-dizier@univ-tours.fr; Tel.: +33-2-47-42-75-08 7
Faculty of Sciences and Techniques, Department Agrosciences, University of Tours, 37000 Tours, France
*
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i
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33 2 47 42 75 08 1. Introduction In mammals, embryo development starts in the oviduct, a tubular organ connecting the ovary to
the uterus. The bovine embryo develops up to the 16-cell or early morula stage in the oviduct, in close
contact with the oviductal epithelial cells and their secretions, the oviductal fluid (OF) [1]. Important
embryonic changes including the first mitotic cleavages and the embryonic genome activation, at 8-cell,
occur in this oviductal micro-environment [2,3]. The OF is a dynamic and complex fluid composed www.mdpi.com/journal/ijms Int. J. Mol. Sci. 2020, 21, 466; doi:10.3390/ijms21020466 www.mdpi.com/journal/ijms 2 of 17 Int. J. Mol. Sci. 2020, 21, 466 of glycosaminoglycans, lipids, small metabolites, inorganic salts and a high number of proteins [4]. Recently, mass spectrometry (MS) techniques have considerably increased our knowledge of the OF
proteomic composition in cattle [5–7]. Furthermore, extracellular vesicles (EVs) originating from the
oviduct epithelium have recently been identified as major components of the OF [8]. The molecular
cargo of bovine oviductal EVs, including proteins, mRNA and different types of non-coding RNA
including microRNA, was reported to dynamically change across the estrous cycle [9,10]. While
embryos can be produced in vitro in the absence of the oviductal micro-environment, there is evidence
that the OF plays important roles in early embryo development. Embryos developed in isolated bovine
or ovine oviducts are of higher quality than their in-vitro counterparts in terms of morphology, gene
expression, cryotolerance and pregnancy rates after transfer into recipients [11–13]. In the same way,
in vitro development with low concentrations of OF has been shown to improve the cryotolerance and
gene expression of bovine blastocysts [14]. In particular, the presence of OF in the culture medium
provided a better control of cattle embryo DNA methylation [14,15]. Furthermore, the addition of
oviductal EVs to the culture medium increased blastocyst rate, extended embryo survival and improved
the quality of in vitro-produced cattle embryos [9,16]. q
y
p
y
TheproteinspresentintheOF,eitherwithinEVsorassolublemolecules, mayplaykeyrolesinsupporting
embryo development. Indeed, the addition of purified or recombinant oviductin, an oviduct-specific
estrus-induced glycoprotein, to the culture medium was reported to increase the rates of blastocyst
developmentofgoat[17]andcattle[18]embryoscomparedwithnon-supplementedcontrols. Inanotherstudy,
the presence of porcine recombinant oviductin did not enhance in vitro developmental rates but produced
bovine blastocysts of higher quality regarding the expression of specific genes [19]. By immunostaining,
oviductin has been shown to associate with oocytes and embryos from numerous species including the golden
hamster [20,21], baboon [21,22], pig [23] and cattle [24,25]. 1. Introduction Microscopic observation of in-vivo retrieved
embryos revealed that oviductin crossed the zona pellucida and localized in the perivitelline space and inside
embryo blastomeres [22–24,26,27]. Apart from oviductin, very few oviductal proteins have been identified as
interacting with the early embryo. Co-incubation of bovine oocytes with biotinylated OF allowed researchers
to identify six oviductal proteins of molecular masses ranging from 30 to 95 kDa associated with the zona
pellucida [28]. However, the proteins other than oviductin, at 95 kDa, remained unknown. In another
study that used immunostaining and western blot on bovine oocytes pre-treated with OF, three proteins,
including oviductin, osteopontin (SPP1) and lipocalin-type prostaglandin D synthase (l-PGDS), were shown
to associate with the zona pellucida [29]. Up to now, there is no information about additional oviductal
proteins that may interact with the cattle embryo. Furthermore, whether the embryo–oviduct molecular
interactions vary according to the developmental stage of the embryo is currently not known. The aim of this study was to identify with no a priori OF proteins interacting with the bovine embryo
at the 4–6 cell and early morula stages, two oviductal stages before and after embryo genomic activation. A MS-based approach was applied to more than 400 in vitro-produced embryos, allowing the identification
of new embryo-interacting proteins, some of which being stage-specific. Immunostaining confirmed that
the interacting proteins were able to cross the zona pellucida and be internalized by embryos. 2. Results 2.1. New Embryo-Interacting Proteins Were Identified by NanoLC-MS/MS and Changed According to the
Embryonic Stage .1. New Embryo-Interacting Proteins Were Identified by NanoLC-MS/MS and Changed According to the
Embryonic Stage Among the proteins identified in the OF, 56 were classified as interacting with embryos (i.e., detected
in OF-treated embryos but not detected in controls, or detected at significantly higher abundance in
OF-treated than in control embryos). The 56 embryo-interacting proteins accounted for only 0.03% of
the 1707 proteins identified in the OF (see all OF proteins identified in Table S1). In total, 4–6 cells and morulas interacted with 37 and 43 proteins, respectively (Tables 1–3),
Interacting proteins accounted for 0.02% of the 1616 and 1765 proteins identified in OF-treated 4–6 cells
and morulas, respectively (see all proteins identified in embryos in Table S2). The embryo-interacting
proteins changed according to the developmental stage: 3 of 17 Int. J. Mol. Sci. 2020, 21, 466 Table 1. Proteins identified as interacting with embryos at the 4–6 cell stage. Gene
Name
Protein Name
Accession Number
(UniprotKB)
Molecular Weight
(kDa)
OF-Treated:
Control Ratio
LZTFL1
Leucine zipper
transcription factor-like
protein 1
Q3ZBL4
35
T 1
NQO1
NAD(P)H quinone
dehydrogenase 1
Q3ZBH2
31
T 1
ALDH1A2
Aldehyde dehydrogenase
1 family member A2
G3X6U1
57
T 1
HBA
Hemoglobin subunit alpha
P01966
15
T 1
ITGA2
Integrin alpha-2
(Fragment)
P53710
129
22
WARS
Tryptophan–tRNA ligase. cytoplasmic
P17248
54
8.7
RPS16
40S ribosomal protein S16
Q3T0X6
16
8.3
TARS
Threonine–tRNA ligase. cytoplasmic
Q3ZBV8
83
8.1
PFKL
ATP-dependent
6-phosphofructokinase. liver type
A1A4J1
85
4.9
RPL6
60S ribosomal protein L6
Q58DQ3
33
4.5
ALDH1A1
Retinal dehydrogenase 1
P48644
55
2.9
PPP2R1A
Alpha isoform of
regulatory subunit A. protein phosphatase 2
Q32PI5
65
2.3
ANXA5
Annexin A5
P81287
36
2.3
1 Protein detected only in OF-treated embryos. Table 1. Proteins identified as interacting with embryos at the 4–6 cell stage. Table 2. Proteins identified as interacting with embryos at the morula stage. Gene
Name
Protein Name
Accession Number
(UniprotKB)
Molecular
Weight (kDa)
OF-Treated:
Control Ratio
ACLY
ATP-citrate synthase
Q32PF2
120
T 1
ACO1
Cytoplasmic aconitate hydratase
Q0VCU1
98
T 1
PNP
Purine nucleoside phosphorylase
P55859
32
T 1
BLVRA
Biliverdin reductase A
A5D7K0
34
9.9
A2M
Alpha-2-macroglobulin
Q7SIH1
168
7
HBB
Hemoglobin subunit beta
P02070
16
6.7
APEX1
DNA-(apurinic or apyrimidinic
site) lyase
P23196
36
5.8 Table 2. Proteins identified as interacting with embryos at the morula stage. 4 of 17 Int. J. Mol. Sci. 2020, 21, 466 Table 2. Cont. .1. New Embryo-Interacting Proteins Were Identified by NanoLC-MS/MS and Changed According to the
Embryonic Stage Gene
Name
Protein Name
Accession Number
(UniprotKB)
Molecular
Weight (kDa)
OF-Treated:
Control Ratio
TAGLN2
Transgelin-2
Q5E9F5
22
5.8
LGALS3
Galectin-3
A6QLZ0
28
5.3
LGALS9
Galectin-9
Q3MHZ8
39
4.3
TBCB
Tubulin-folding cofactor B
Q5E951
28
4.3
YWHAQ
14-3-3 protein theta
Q3SZI4
28
3
GLMN
Glomulin. FKBP associated
protein
E1BA27
68
2.9
YWHAH
14-3-3 protein eta
P68509
28
2.9
MAP4
Microtubule-associated protein
P36225
112
2.6
TPP2
Tripeptidyl-peptidase 2
A5PK39
138
2.3
MYL6
Myosin light polypeptide 6
P60661
17
2.2
FKBP4
Peptidyl-prolyl cis-trans
isomerase
Q9TRY0
51
2
HUWE1
HECT. UBA and WWE domain
containing 1. E3 ubiquitin protein
ligase
E1BNY9
482
3.4
1 Protein detected only in OF-treated embryos. 1 Protein detected only in OF-treated embryos. Table 3. Proteins identified as interacting with both the 4–6 cell and morula stages. Gene Name
Protein Name
Accession
Number
(UniprotKB)
Molecular
Weight (kDa)
4–6 Cell
OF-Treated:
Control Ratio
Morula
OF-Treated:
Control Ratio
ANXA8
Annexin A8
Q95L54
37
T 1
T 1
AGR2
Anterior gradient 2. protein
disulphide isomerase family
member
F1N3J3
20
T 1
T 1
CAPS
Calcyphosin
Q0VCC0
21
T 1
61
CD109
CD109 molecule
F1MPE1
161
T 1
T 1
CKB
Creatine kinase B-type
Q5EA61
43
T 1
4.1
CNDP2
Cytosolic non-specific dipeptidase
Q3ZC84
53
T 1
17
EPHX2
Epoxide hydrolase 2
F6QS88
63
T 1
T 1
PYGL
Glycogen phosphorylase. liver form
Q0VCM4
97
T 1
T 1
LRBA
LPS responsive beige-like anchor
protein
E1BND6
316
T 1
8.2
DCXR
l-xylulose reductase
Q1JP75
26
T 1
T 1
OVGP1
Oviduct-specific glycoprotein
Q28042
60
T 1
71
PTGR2
Prostaglandin reductase 2
Q32L99
38
T 1
T 1
SEPTIN2
Septin-2
Q2NKY7
41
T 1
4.2
SARS
Serine–tRNA ligase. cytoplasmic
Q9GMB8
59
T 1
5
TPPP3
Tubulin polymerization-promoting
protein family member 3
Q3ZCC8
19
T 1
T 1
ANXA1
Annexin A1
P46193
39
37
15
RNPEP
Uncharacterized protein
G3X743
72
9.6
4.6
FASN
Fatty acid synthase
Q71SP7
274
8.5
9.6
RNH1
Ribonuclease/angiogenin inhibitor 1
Q3SZN8
49
6.9
7.5
ANXA4
Annexin A4
P13214
36
5.4
6.5 Table 3. Proteins identified as interacting with both the 4–6 cell and morula stages. Int. J. Mol. Sci. 2020, 21, 466 5 of 17 Table 3. Cont. .1. New Embryo-Interacting Proteins Were Identified by NanoLC-MS/MS and Changed According to the
Embryonic Stage Gene Name
Protein Name
Accession
Number
(UniprotKB)
Molecular
Weight (kDa)
4–6 Cell
OF-Treated:
Control Ratio
Morula
OF-Treated:
Control Ratio
SHTN1
Shootin 1
F1MUA7
63
5.3
4
ALDH9A1
4-trimethylaminobutyraldehyde
dehydrogenase
Q2KJH9
54
4.2
2.9
ANXA2
Annexin A2
P04272
39
3.6
2.2
CLIC1
Chloride intracellular channel
protein 1
Q5E9B7
27
2.1
3
1 Protein detected only in OF-treated embryos. There was no correlation between the initial abundance of the embryo-interacting proteins in the
OF and their abundance in OF-treated embryos (Figure S1). Nineteen 4–6 cell-interacting proteins were
detected only in OF-treated embryos and 18 were measured at a higher abundance in the OF-treated
than in the control embryos (mean ± SEM of treated:control ratio = 8.1 ± 2.1; range: 2.1–37; Tables 1
and 3). For morulas, 11 proteins were detected only in OF-treated embryos and 32 measured at higher
abundance in OF-treated than in controls (mean ± SEM of treated:control ratio = 9.3 ± 2.7; range: 2–71;
Tables 1 and 2). At both stages, oviductin (OVGP1) and annexins A1 (ANXA1), A2 (ANXA2) and A4 (ANXA4)
were the most abundant interacting proteins in OF-treated embryos, followed in 4–6 cells by retinal
dehydrogenase 1 (ALDH1A1), epoxide hydrolase 2 (EPHX2) and ATP-dependent 6-phosphofructokinase
(PFKL), and for morulas, by galectin-3 (LGALS3), epoxide hydrolase 2 (EPHX2) and 14-3-3 protein theta
(YWHAQ; Figure 1). Int. J. Mol. Sci. 2020, 21, x FOR PEER REVIEW
5 of 17 Figure 1. Mean abundance of embryo-interacting proteins in OF-treated embryos at the 4–6 cell and
morula stages. Blue bars, proteins interacting exclusively with 4–6 cell embryos. Red bars, proteins
interacting exclusively with morulas. Figure 1. Mean abundance of embryo-interacting proteins in OF-treated embryos at the 4–6 cell and
morula stages. Blue bars, proteins interacting exclusively with 4–6 cell embryos. Red bars, proteins
interacting exclusively with morulas. Figure 1. Mean abundance of embryo-interacting proteins in OF-treated embryos at the 4–6 cell and
morula stages. Blue bars, proteins interacting exclusively with 4–6 cell embryos. Red bars, proteins
Figure 1. Mean abundance of embryo-interacting proteins in OF-treated embryos at the 4–6 cell and
morula stages. Blue bars, proteins interacting exclusively with 4–6 cell embryos. Red bars, proteins
i
i
l
i
l
i h
l Figure 1. Mean abundance of embryo-interacting proteins in OF-treated embryos at the 4–6 cell and
morula stages. Blue bars, proteins interacting exclusively with 4–6 cell embryos. Red bars, proteins
interacting exclusively with morulas. Figure 1. .1. New Embryo-Interacting Proteins Were Identified by NanoLC-MS/MS and Changed According to the
Embryonic Stage Mean abundance of embryo-interacting proteins in OF-treated embryos at the 4–6 cell and
morula stages. Blue bars, proteins interacting exclusively with 4–6 cell embryos. Red bars, proteins
interacting exclusively with morulas. Figure 1. Mean abundance of embryo-interacting proteins in OF-treated embryos at the 4–6 cell and
morula stages. Blue bars, proteins interacting exclusively with 4–6 cell embryos. Red bars, proteins
interacting exclusively with morulas. Figure 1. Mean abundance of embryo-interacting proteins in OF-treated embryos at the 4–6 cell and
morula stages. Blue bars, proteins interacting exclusively with 4–6 cell embryos. Red bars, proteins
interacting exclusively with morulas. Int. J. Mol. Sci. 2020, 21, 466 6 of 17 2.2. Most Embryo-Interacting Proteins Were Presumed to be Exosomal and Secreted via Non-Conventional
Pathways .2. Most Embryo-Interacting Proteins Were Presumed to be Exosomal and Secreted via Non-Conventiona
Pathways 2.2. Most Embryo-Interacting Proteins Were Presumed to be Exosomal and Secreted via Non-Conventional
Pathways Five embryo-interacting proteins (9%) contained a signal peptide and were predicted to be secreted
in a conventional way. Furthermore, 20 (36%) were predicted to be secreted by non-classical pathways. In addition, 33 embryo-interacting proteins (59%) were reported previously in oviductal exosomes
(Figure 2) [9,30]. Int. J. Mol. Sci. 2020, 21, x FOR PEER REVIEW
6 of 17 Figure 2. Embryo-interacting proteins classified according to the embryonic stage and secretion
pathway. Colored spots indicate the presumed secretion pathways in oviduct epithelial cells tools. Green, proteins possessing a peptide signal and presumed to be conventionally secreted; blue,
proteins predicted to be non-conventionally secreted; orange, proteins reported in bovine [9] and
feline [30] oviductal exosomes. Figure 2. Embryo-interacting proteins classified according to the embryonic stage and secretion
pathway. Colored spots indicate the presumed secretion pathways in oviduct epithelial cells tools. Green, proteins possessing a peptide signal and presumed to be conventionally secreted; blue, proteins
predicted to be non-conventionally secreted; orange, proteins reported in bovine [9] and feline [30]
oviductal exosomes. Figure 2. Embryo-interacting proteins classified according to the embryonic stage and secretion
pathway. Colored spots indicate the presumed secretion pathways in oviduct epithelial cells tools. Green, proteins possessing a peptide signal and presumed to be conventionally secreted; blue,
proteins predicted to be non-conventionally secreted; orange, proteins reported in bovine [9] and
feline [30] oviductal exosomes. Figure 2. Embryo-interacting proteins classified according to the embryonic stage and secretion
pathway. Colored spots indicate the presumed secretion pathways in oviduct epithelial cells tools. .1. New Embryo-Interacting Proteins Were Identified by NanoLC-MS/MS and Changed According to the
Embryonic Stage Green, proteins possessing a peptide signal and presumed to be conventionally secreted; blue, proteins
predicted to be non-conventionally secreted; orange, proteins reported in bovine [9] and feline [30]
oviductal exosomes. 2.3. Embryo-Interacting Proteins Were Mainly Involved in Metabolism and Cellular Processes
2.3. Embryo-Interacting Proteins Were Mainly Involved in Metabolism and Cellular Processes 2.3. Embryo-Interacting Proteins Were Mainly Involved in Metabolism and Cellular Processes
2.3. Embryo-Interacting Proteins Were Mainly Involved in Metabolism and Cellular Processes y
g
y
Functional annotation clustering of embryo-interacting proteins resulted in six enriched clusters,
among which ‘Metabolism’ and ‘Cellular processes’ were the most significant. These findings are
visualized using Proteomaps in Figure 3. Proteins such as annexins and alpha-2 macroglobulin (A2M)
were assigned to the ‘Exosome’ category while proteins such as epoxide hydrolase 2 (EPHX2), retinal
deshydrogenase 1 (ALDH1A1) and PYGL were assigned to various metabolic processes. Oviductin
did not have any functional category annotation and therefore was not included in the proteomap. Functional annotation clustering of embryo-interacting proteins resulted in six enriched clusters,
among which ‘Metabolism’ and ‘Cellular processes’ were the most significant. These findings are
visualized using Proteomaps in Figure 3. Proteins such as annexins and alpha-2 macroglobulin (A2M)
were assigned to the ‘Exosome’ category while proteins such as epoxide hydrolase 2 (EPHX2), retinal
deshydrogenase 1 (ALDH1A1) and PYGL were assigned to various metabolic processes. Oviductin
did not have any functional category annotation and therefore was not included in the proteomap. Int. J. Mol. Sci. 2020, 21, 466 7 of 17 Figure 3. Functions associated with embryo-interacting proteins at the 4–6 cell and morula stages. The
figures were automatically built in Proteomaps based on the KEGG (Kyoto Encyclopedia of Genes
and Genomes) Pathway gene classification. Functional categories (up and middle panels) and related
Figure 3. Functions associated with embryo-interacting proteins at the 4–6 cell and morula stages. The figures were automatically built in Proteomaps based on the KEGG (Kyoto Encyclopedia of
Genes and Genomes) Pathway gene classification. Functional categories (up and middle panels) and
related proteins (down panel) are shown by polygons. Areas of polygons illustrate protein abundance,
weighted by protein size. Functionally related function/protein are arranged in common regions and
coded using similar colors. Figure 3. Functions associated with embryo-interacting proteins at the 4–6 cell and morula stages. The
figures were automatically built in Proteomaps based on the KEGG (Kyoto Encyclopedia of Genes
and Genomes) Pathway gene classification. 2.4. Protein Interactions Were Localized in Different Embryo Subcompartments
2.4. Protein Interactions Were Localized in Different Embryo Subcompartments 2.4. Protein Interactions Were Localized in Different Embryo Subcompartments
2.4. Protein Interactions Were Localized in Different Embryo Subcompartments .4. Protein Interactions Were Localized in Different Embryo Subcompartments
.4. Protein Interactions Were Localized in Different Embryo Subcompartments Two highly abundant interacting proteins (OVGP1 and ANXA1) and one among the least abundant
ones (PYGL) were chosen to visualize protein interactions in 4–8 cell embryos by immunohistochemistry. The signal for ANXA1 was recorded in the zona pellucida, perivitelline space and into blastomeres
of OF-treated embryos (Figure 4a). The pattern of interactions was slightly different for OVGP1 and
PYGL, which was localized in the perivitelline space and in blastomeres but not in the zona pellucida of
OF-treated embryos (Figure 4c,e, respectively). A negligible diffuse signal was observed in blastomeres
of control embryos incubated with primary antibodies against ANXA1, OVGP1 and PYGL (Figure 4b,d,f). No signal was detected in OF-treated and control embryos incubated with IgG isotypes (frames in
Figure 4). Two highly abundant interacting proteins (OVGP1 and ANXA1) and one among the least
abundant ones (PYGL) were chosen to visualize protein interactions in 4–8 cell embryos by
immunohistochemistry. The signal for ANXA1 was recorded in the zona pellucida, perivitelline
space and into blastomeres of OF-treated embryos (Figure 4a). The pattern of interactions was slightly
different for OVGP1 and PYGL, which was localized in the perivitelline space and in blastomeres but
not in the zona pellucida of OF-treated embryos (Figure 4c,e, respectively). A negligible diffuse signal
was observed in blastomeres of control embryos incubated with primary antibodies against ANXA1,
OVGP1 and PYGL (Figure 4b,d,f). No signal was detected in OF-treated and control embryos
incubated with IgG isotypes (frames in Figure 4). Figure 4. Immunolocalization of embryo-interacting proteins in OF-treated embryos (a,c,e) and
controls (b,d,f). Proteins of interest are in red and nuclei are in blue. Embryos were incubated with
anti-ANXA1 (a,b), anti-OVGP1 (c,d) and anti-PYGL (d,e). Inserts: controls with isotypes instead of
primary antibodies. Figure 4. Immunolocalization of embryo-interacting proteins in OF-treated embryos (a,c,e) and
controls (b,d,f). Proteins of interest are in red and nuclei are in blue. Embryos were incubated with
anti-ANXA1 (a,b), anti-OVGP1 (c,d) and anti-PYGL (d,e). Inserts: controls with isotypes instead of
primary antibodies. Figure 4. Immunolocalization of embryo-interacting proteins in OF-treated embryos (a,c,e) and
controls (b,d,f). Proteins of interest are in red and nuclei are in blue. Embryos were incubated with
anti-ANXA1 (a,b), anti-OVGP1 (c,d) and anti-PYGL (d,e). 2.4. Protein Interactions Were Localized in Different Embryo Subcompartments
2.4. Protein Interactions Were Localized in Different Embryo Subcompartments Inserts: controls with isotypes instead of
primary antibodies. Figure 4. Immunolocalization of embryo-interacting proteins in OF-treated embryos (a,c,e) and
controls (b,d,f). Proteins of interest are in red and nuclei are in blue. Embryos were incubated with
anti-ANXA1 (a,b), anti-OVGP1 (c,d) and anti-PYGL (d,e). Inserts: controls with isotypes instead of
primary antibodies. 3. Discussion
3. Discussion The bovine embryo develops in contact with the OF for the first 4–5 days of its life. To date, there
is limited information regarding the molecular interactions occurring between the embryo and its
maternal microenvironment. In this study, using a high-resolution MS technique, a number of new
embryo-interacting proteins originated in the OF were identified. To our knowledge, this is the first
study providing a significant list of proteins interacting with the early embryo in mammals. The first criterion retained for the definition of embryo-interacting proteins was their detection
in the post-ovulatory OF ipsilateral to ovulation. A total of 1707 proteins were identified by nanoLC-
MS/MS in the OF used to produce OF-treated embryos. The most abundant proteins in the OF
included serum albumin, heat shock proteins (HSP90AA1, HSP90B1, HSP90AB1, HSPA1B, HSPA5),
oviductin (OVGP1), annexin A4 (ANXA4), complement C3 (C3), myosin 9 (MYH9) and numerous
tubulin subunits. This is in agreement with previous proteomic analyses of post-ovulatory OF
collected from cows at the slaughterhouse [5] or by transvaginal endoscopy [7]. Based on our
The bovine embryo develops in contact with the OF for the first 4–5 days of its life. To date,
there is limited information regarding the molecular interactions occurring between the embryo and
its maternal microenvironment. In this study, using a high-resolution MS technique, a number of new
embryo-interacting proteins originated in the OF were identified. To our knowledge, this is the first
study providing a significant list of proteins interacting with the early embryo in mammals. The first criterion retained for the definition of embryo-interacting proteins was their detection in the
post-ovulatory OF ipsilateral to ovulation. A total of 1707 proteins were identified by nanoLC-MS/MS in the
OF used to produce OF-treated embryos. The most abundant proteins in the OF included serum albumin,
heat shock proteins (HSP90AA1, HSP90B1, HSP90AB1, HSPA1B, HSPA5), oviductin (OVGP1), annexin A4
(ANXA4), complement C3 (C3), myosin 9 (MYH9) and numerous tubulin subunits. This is in agreement
with previous proteomic analyses of post-ovulatory OF collected from cows at the slaughterhouse [5] or by
transvaginal endoscopy [7]. Based on our previous work on the regulation of the bovine OF proteome across
the estrous cycle [5], some proteins more abundant in the OF around the time of ovulation compared with The bovine embryo develops in contact with the OF for the first 4–5 days of its life. 3. Discussion
3. Discussion To date, there
is limited information regarding the molecular interactions occurring between the embryo and its
maternal microenvironment. In this study, using a high-resolution MS technique, a number of new
embryo-interacting proteins originated in the OF were identified. To our knowledge, this is the first
study providing a significant list of proteins interacting with the early embryo in mammals. The bovine embryo develops in contact with the OF for the first 4–5 days of its life. To date,
there is limited information regarding the molecular interactions occurring between the embryo and
its maternal microenvironment. In this study, using a high-resolution MS technique, a number of new
embryo-interacting proteins originated in the OF were identified. To our knowledge, this is the first
study providing a significant list of proteins interacting with the early embryo in mammals. y p
g
g
p
g
y
y
The first criterion retained for the definition of embryo-interacting proteins was their detection
in the post-ovulatory OF ipsilateral to ovulation. A total of 1707 proteins were identified by nanoLC-
MS/MS in the OF used to produce OF-treated embryos. The most abundant proteins in the OF
included serum albumin, heat shock proteins (HSP90AA1, HSP90B1, HSP90AB1, HSPA1B, HSPA5),
oviductin (OVGP1), annexin A4 (ANXA4), complement C3 (C3), myosin 9 (MYH9) and numerous
tubulin subunits. This is in agreement with previous proteomic analyses of post-ovulatory OF
collected from cows at the slaughterhouse [5] or by transvaginal endoscopy [7]. Based on our
The first criterion retained for the definition of embryo-interacting proteins was their detection in the
post-ovulatory OF ipsilateral to ovulation. A total of 1707 proteins were identified by nanoLC-MS/MS in the
OF used to produce OF-treated embryos. The most abundant proteins in the OF included serum albumin,
heat shock proteins (HSP90AA1, HSP90B1, HSP90AB1, HSPA1B, HSPA5), oviductin (OVGP1), annexin A4
(ANXA4), complement C3 (C3), myosin 9 (MYH9) and numerous tubulin subunits. This is in agreement
with previous proteomic analyses of post-ovulatory OF collected from cows at the slaughterhouse [5] or by
transvaginal endoscopy [7]. Based on our previous work on the regulation of the bovine OF proteome across
the estrous cycle [5], some proteins more abundant in the OF around the time of ovulation compared with The first criterion retained for the definition of embryo-interacting proteins was their detection
in the post-ovulatory OF ipsilateral to ovulation. .1. New Embryo-Interacting Proteins Were Identified by NanoLC-MS/MS and Changed According to the
Embryonic Stage Functional categories (up and middle panels) and related
Figure 3. Functions associated with embryo-interacting proteins at the 4–6 cell and morula stages. The figures were automatically built in Proteomaps based on the KEGG (Kyoto Encyclopedia of
Genes and Genomes) Pathway gene classification. Functional categories (up and middle panels) and
related proteins (down panel) are shown by polygons. Areas of polygons illustrate protein abundance,
weighted by protein size. Functionally related function/protein are arranged in common regions and
coded using similar colors. Int. J. Mol. Sci. 2020, 21, 466
p
(
p
weighted by protein
d d
i
i
il 8 of 17
d 3. Discussion
3. Discussion Similarly, sperm-interacting proteins accounted for less than 0.06% of proteins previously identified
by MS in the OF [5,31]. In addition to the low proportion of embryo-interacting proteins among OF
proteins, there was no relationship between the initial abundance of the embryo-interacting proteins in
the OF and their abundance in OF-treated embryos. To illustrate this, galectin-3 (LGALS3) was the
fifth most abundant embryo-interacting protein in morulas but was detected with low abundance
(12 normalized weighted spectra (NWS)) in the OF. On the other hand, PYGL was among the top-50
most abundant proteins (83 NWS) in the OF but one of the least abundant embryo-interacting proteins. Thus, it seems that very few OF proteins interacted with embryos and that these interactions were not
related to their initial abundance around embryos, suggesting highly selective and specific embryo-OF
interactions. However, we cannot exclude that longer incubation times (>6 h) may enable more OF
proteins to interact. Moreover, this study was carried out on in-vitro produced embryos for obvious
economical and ethical reasons (more than 800 embryos were used). Although oviductin is known
to interact with bovine embryos in vivo [24] and was identified as interacting proteins under our
conditions, it cannot be ruled out that embryo–protein interactions differ in vivo. Oviductin was identified by nanoLC-MS/MS as interacting in high abundance with both 4–6 cells
and morulas and was immunolocalized in the perivitelline space and blastomeres of OF-treated embryos. This is in agreement with previous studies in which OVGP1 was identified by immunostaining and/or
western blot in bovine oocytes [28,29] and embryos [19,24] exposed to OF in vivo or in vitro. However,
we did not observe a strong signal for OVGP1 in the zona pellucida of OF-treated embryos. Bovine
embryos collected in vivo [24] or produced in vitro in the presence of recombinant OVGP1 [19]
displayed high immunostaining in the zona pellucida. ANXA1 was observed in the zona pellucida
of OF-treated embryos, showing that our conditions did not prevent protein interactions with the
zona pellucida. These differences in OVGP1 localization may be due to differences in the origin of
embryos used and to the duration of contact with OF or recombinant OVGP1 before immunostaining. A 6-h incubation was used in the present study, whereas embryos were retrieved in vivo after
approximately 2 days within the oviduct in the study from Boice et al. 3. Discussion
3. Discussion A total of 1707 proteins were identified by nanoLC-
MS/MS in the OF used to produce OF-treated embryos. The most abundant proteins in the OF
included serum albumin, heat shock proteins (HSP90AA1, HSP90B1, HSP90AB1, HSPA1B, HSPA5),
oviductin (OVGP1), annexin A4 (ANXA4), complement C3 (C3), myosin 9 (MYH9) and numerous
tubulin subunits. This is in agreement with previous proteomic analyses of post-ovulatory OF
collected from cows at the slaughterhouse [5] or by transvaginal endoscopy [7]. Based on our
The first criterion retained for the definition of embryo-interacting proteins was their detection in the
post-ovulatory OF ipsilateral to ovulation. A total of 1707 proteins were identified by nanoLC-MS/MS in the
OF used to produce OF-treated embryos. The most abundant proteins in the OF included serum albumin,
heat shock proteins (HSP90AA1, HSP90B1, HSP90AB1, HSPA1B, HSPA5), oviductin (OVGP1), annexin A4
(ANXA4), complement C3 (C3), myosin 9 (MYH9) and numerous tubulin subunits. This is in agreement
with previous proteomic analyses of post-ovulatory OF collected from cows at the slaughterhouse [5] or by
transvaginal endoscopy [7]. Based on our previous work on the regulation of the bovine OF proteome across
the estrous cycle [5], some proteins more abundant in the OF around the time of ovulation compared with Int. J. Mol. Sci. 2020, 21, 466 9 of 17 the luteal phase were identified as embryo-interacting proteins. This is the case, among others, for OVGP1,
CD109 and PFKL. Some of these proteins and others were also at higher levels on the side of ovulation, i.e.,
the side of embryo development, than on the contralateral side at the post-ovulatory stage—this is the case
for A2M, CD109 and PFKL [5]. However, at the same stage, EPHX2 was less abundant in the ipsilateral
than in the contralateral OF, showing that the secretion of some but not all embryo-interacting proteins
may be upregulated at the time and place of embryo presence in the oviduct. We hypothesized that numerous proteins present in the OF could interact with in vitro- produced
early embryos. However, the 56 embryo-interacting proteins accounted for only 0.03% of the identified
OF proteins. To our knowledge, this is the first study deciphering OF embryo-interacting proteins
using a MS-based approach with no a priori. In an earlier study using the same methodology on
bovine spermatozoa, we identified 27 oviductal proteins that interacted with bovine sperm cells [31]. 3. Discussion
3. Discussion [24] or incubated in vitro
with recombinant OVGP1 for 3.5 days in the study from Algarra et al. [19]. These differences may
also be due to the different antibodies used: a monoclonal antibody raised against the C-terminus
of mouse oviductin in the present study vs. a home-made polyclonal antiserum directed against
bovine oviduct glycoproteins [24], or a home-made monoclonal antibody directed against purified
recombinant porcine OVGP1 [19]. In addition to oviductin, osteopontin (SPP1) and L-PGDS have been reported earlier as oviductal
proteins interacting with the zona pellucida of bovine oocytes [29]. However, in this study, SPP1
and l-PGDS were not identified in the OF used for embryo incubation, and therefore could not be
identified as interacting proteins. In line with our results, SPP1 and L-PGDS were not identified in
previous MS-based analyses of bovine OF, either throughout the estrous cycle [5] or at Days 1 and 3 of
the estrous cycle [7], both studies identifying more than 3000 proteins. Thus, the presence of SPP1 and
L-PGDS in the bovine OF and their potential interaction with the bovine embryo cannot be confirmed. Moreover, inactivated complement-3b (iC3b), a derivative of the human complement protein C3 (C3), Int. J. Mol. Sci. 2020, 21, 466 10 of 17 was shown to be taken up by mouse embryos, resulting in an increase in embryo development up to the
blastocyst stage [32]. In the present study, C3 was identified at high abundance in the post-ovulatory
OF (113 NWS, Table S1). However, C3 was not identified as interacting with cattle embryos. Therefore,
some oviductal protein interactions with embryo are likely to be species-specific. There
is
some
evidence
that
the
developing
embryo
interacts
with
its
oviductal
microenvironment [13,33,34]. However, little is known about the modulating role played by the
embryo in these interactions. In order to address this question, the same OF and conditions of embryo
incubation were used for both 4–6 cells and morulas. The results showed that 13 OF proteins interacted
exclusively with 4–6 cell embryos, while 19 interacted only with morulas. Furthermore, for some
proteins interacting at both stages, their abundance in OF-treated embryos differed between stages. For instance, the fold-change between OF-treated and control embryos for ANXA1 was approximately
twice higher in 4–6 cells than in morulas (37 vs. 15). This suggests a modulating role played by the zona
pellucida and/or embryonic cells in the process of protein interaction. 3. Discussion
3. Discussion The zona pellucida surrounding
all mammalian embryos constitutes the first barrier for interactions between OF protein and embryonic
cells. Several studies indicated that the zona pellucida is a dynamic envelope that changes in structure
and properties depending on its environment [35–37]. The zona pellucida of mouse oocytes were
shown to be permeable to macromolecules at molecular weights up to 170 kDa, while zygotes showed
a decreased permeability at around 110 kDa [37]. Using colored molecular probes, it was shown that
the size and hydrophilic–lipophilic balance of the probe were important in determining its interaction
with the mouse embryo [36]. Scanning electron microscopy observation of bovine in vitro-produced
embryos showed that the outer zona pellucida surface typically forms a spongy network with a rough
surface containing numerous pores; however, the mean number of pores doubled from the 8-cell to the
morula stages (1658 vs. 3259 per 5000 µm2) and their mean diameter decreased in parallel (203 vs. 155 nm) [35]. These changes may contribute to the observed stage-specific embryo-protein interactions. Furthermore, the 8-cell stage was identified as the period of major embryonic genome activation in the
bovine embryo [3,38]. At this time, maternal RNAs and proteins stored in the oocyte are gradually
degraded and actively replaced by embryonic transcripts and proteins [3]. Therefore, molecules and
interaction processes at the embryonic cell surface are likely to change from 4–6 cell to morula and to
contribute, in association with changes in the zona pellucida permeability, to the differences in OF
protein interactions between embryonic stages. p
y
g
Oviductal EVs comprise exosomes, which are small 30–150 nm vesicles endocytic in origin and
released upon fusion of multi-vesicular bodies with the membrane of oviduct epithelial cells, and
microvesicles, which are larger vesicles (100–1000 nm) budding directly from the cell membrane [8]. The proteomic contents of oviductal EVs were recently published in the bovine [9] and feline [30],
with many more proteins identified in the latter (1511 vs. 319 protein groups). Therefore, both species
were considered to analyze potential secretion pathways of interacting proteins. In the present study,
only five embryo-interacting proteins (9%) contained a signal peptide and appeared likely to be secreted
in a classical way, whereas the majority of proteins were presumed to be secreted by non-conventional
pathways and/or previously reported in oviductal EVs, including OVGP1, several annexins (A1, A2, A4,
A5) and the liver form of glycogen phosphorylase (PYGL). 3. Discussion
3. Discussion It is important to note that these secretion
pathways are not exclusive—interacting proteins like OVGP1, CD109 and alpha-2 macroglobuline (A2M)
possess a signal peptide but were also identified in oviductal EVs. Furthermore, in the present study,
OVGP1, ANXA1 and PYGL were immunolocalized in the perivitelline space but also in blastomeres of
OF-treated embryos, showing that these molecules crossed the zona pellucida and were internalized
by embryonic cells. To our knowledge, this is the first report of immunolocalization of ANXA1 and
PYGL in mammalian embryos. Bovine embryos were shown to be able to internalize PKH67-labelled
in vivo-derived oviductal EVs during in vitro development [9]. Cloned and parthenogenic porcine
embryos were also able to uptake embryo-derived membrane-labelled EVs from the culture medium [39]. In both studies, oviductal EVs were observed in the whole cytoplasm of blastomeres [9,39]. Using
electron microscopy on 2- to 8-cell embryos collected from hamster oviducts, endocytic structures, Int. J. Mol. Sci. 2020, 21, 466 11 of 17 many endosomes and multivesicular bodies associated with OVGP1 immunolabeling were observed in
the blastomeres [26]. Taken together, these results strongly suggest that oviductal proteins previously
reported as exosomal were internalized into OF-treated embryos via exosomal cargos. However, the exact
mechanisms by which OF proteins interacted with embryonic cells were beyond the scope of this study
and remain to be determined. Cattle embryos enter the uterus at the early morula stage and have a long pre-implantation
period during which blastocyst hatching (Days 9–10), trophoblast elongation and intense production of
interferon-tau (IFNT) occur before implantation begins, around Day 19 of pregnancy [2]. The possible
functions of oviductal interacting proteins on pre-implantation steps are poorly understood. Some roles
played by oviductin on early embryo development were reported from in vitro studies. Consistent positive
effects of purified oviductin were observed on blastocyst yield in goat [17], sheep [40], pig [41] and
cattle [18]. Antibodies directed against the C-terminal peptide of rabbit oviductin were shown to inhibit
mouse embryo development at the 2-cell stage, suggesting that in this species, oviductin has a function
in overcoming the development block at this stage [42]. In bovine, the addition of porcine recombinant
oviductin during in vitro fertilization, in vitro development or both, increased the relative abundance in the
embryo of mRNA of DSC2, ATF4, AQP3 and DNMT3A, genes involved in cell proliferation, cell adhesion,
cellular homeostasis and epigenetics [19]. 3. Discussion
3. Discussion Fourannexins, namelyANXA1, ANXA2, ANXA4andANXA5, wereidentifiedasembryo-interacting
proteins, only at the 4–6-cell stage for ANXA5 and at both stages for ANXA1, ANXA2 and ANXA4. It is well established that some annexins, including ANXA1 and ANXA2, can be secreted out of the
cell through unconventional secretory mechanisms, with implications in many functions such as the
endocrine regulation, inflammatory response and cancer [43]. Several studies have associated annexins
with early embryo–maternal interactions. A greater abundance of ANXA4 was reported in the OF of
pregnant mares compared with cyclic mares four days after ovulation [44] and both ANXA1 and ANXA2
were increased in the uterine fluid around the signaling of maternal recognition in this species [45]. Similarly, increasing amounts of ANXA1, ANXA2 and ANXA5 were reported in the uterine fluid
of pregnant ewes in the pre-implantation period [45]. Annexin A1 knock-out female mice displayed
numerous changes in early gestation, including increased sites of implantation, increased inflammatory
reaction in the uterine fluid during implantation, reduced pre- and post-implantation losses and enhanced
plasma progesterone [46]. Furthermore, ANXA2 was shown to be crucial for embryo adhesiveness to the
endometrium, a critical step for implantation, in humans [47] and mice [48]. Galectin-3 and -9 interacted only with morulas and galectin-3 was one of the most abundant
interacting proteins at this stage. Galectins have a varied array of activities both inside and outside
cells [49]. Galectin-3 and -9 are members of the lectin family and contain carbohydrate recognition
domains [49]. Galectin-3 is expressed in several parts of the female genital tract, including the uterine
endometrium and oviduct [50,51]. When galectin-3 was knocked down in the mouse endometrium,
the number of embryos implanted decreased substantially [51], showing that, like annexins, galectins
have important roles in the establishment of pregnancy in mice. In conclusion, proteins in the post-ovulatory OF that interact with the early bovine embryo before
and after the embryonic genome activation were identified and quantified on a large scale for the first
time. Some protein interactions were developmental stage-specific, revealing new roles of the embryo
in modulating early maternal interactions. These data provide new protein candidates potentially
involved in pre-implantation development and establishment of pregnancy in cattle. Targeted studies
are required to go further in the search for underlying mechanisms and functions. 4.1. Bovine Oviductal Fluid (OF) Collection Oviducts connected to ovaries from adult Bos taurus cows were collected at a slaughterhouse and
transported to the laboratory on ice within 2 h after the death of the animal. According to the morphology
of the ovary and corpus luteum, only oviducts ipsilateral to the side of ovulation at the post-ovulatory
phase of the estrous cycle (Days 1–5, i.e., at the expected time and place of embryo development) were
used. Mixtures of OF and epithelial cells were collected from the whole oviducts by gentle squeezing,
then the OF was isolated by two centrifugations (2000× g, 15 min then 12,000× g, 10 min) at 4 ◦C. The OF
from 22 cows were pooled, assayed for protein concentration, divided into 15-µL aliquots and stored at
−80 ◦C before used for incubation with embryos. The same pool of post-ovulatory OF was used for all
embryo co-incubations. 4. Materials and Methods All reagents were purchased from Sigma-Merck (Saint-Louis, MO, USA) if not otherwise stated. PMSG, hCG and PG-600 were obtained from MSD Animal Health (Brussels, Belgium). Bovine trypsin
was obtained from Roche Diagnostics GmbH (Basel, Switzerland). Paraformaldehyde (sc-281692) and
mouse monoclonal antibodies raised against OVGP1 (sc-377267) and PYGL (sc-517597) were obtained 12 of 17 Int. J. Mol. Sci. 2020, 21, 466 from Santa-Cruz Biotechnology (Dallas, TX, USA). Goat polyclonal antibody raised against ANXA1
(AP22515PU-N) was obtained from Origene (Rockville, MD, USA). Secondary antibodies coupled with
Alexa Fluor 633 (A21050 for ANXA1; A21082 for OVGP1 and PYGL) were obtained from Invitrogen
Molecular Probes (Eugene, OR, USA). 4.2. Embryo In-Vitro Production and Incubation with OF Bovine ovaries were collected from a local slaughterhouse and transported at 36 ◦C to the
laboratory. Cumulus-oocyte complexes (COCs) were recovered using HEPES-buffered TCM-199
supplemented with 0.4 g/L bovine serum albumin (BSA) and 0.25% gentamicin. Groups of 30–60 COCs
were matured in TCM-199 supplemented with 10 ng/mL EGF, 19 ng/mL IGF-1, 2.2 ng/mL FGF, 5 UI/mL
hCG, 10 UI/mL PMSG, 4 µg/mL transferrin, 4 µg/mL insulin, 5 ng/mL sodium selenite, 1% PG-600,
90 µg/mL l-cysteine, 0.1 mM beta-mercaptoethanol, 75 µg/mL ascorbic acid, 720 µg/mL glycine,
0.1 mg/mL glutamine and 110 µg/mL pyruvate at 38.8 ◦C (5% CO2) for 22 h. After maturation, COCs
(50 per well) were transferred in 250 µL of fertilization medium (Tyrode medium supplemented with
25 mM bicarbonate, 10 mM lactate, 1 mM pyruvate, 6 mg/mL fatty-acid free BSA, 10 µg/mL heparin and
40 µg/mL gentamycin). Motile spermatozoa were recovered by Percoll washing from one Normande
bull (Evolution, Noyal-sur-Vilaine, France) and added to the fertilization medium (Day 0) at a final
concentration of 106 spermatozoa/mL for 22 h. At Day 1, all presumptive zygotes were cultured in
25 µL of synthetic oviductal fluid (SOF) medium [52] supplemented with 0.01% of polyvinyl alcohol
(SOF-PVA) without any serum or protein supplementation, under mineral oil (M8410) at 38.8 ◦C with
5% CO2 and 5% O2. At Days 3 and 5, groups of 50 embryos of normal morphology (spherical embryos
with blastomeres uniform in size, color and density) at the 4–6 cell and morula stages, respectively,
were randomly allocated to incubation in 30 µL of OF at a final protein concentration of 37 mg/mL
(OF-treated embryos) or in 30 µL of SOF-PVA (controls) for 6 h at 38.8 ◦C with 5% CO2 and 5% O2. After incubation, all embryos were washed three times in 20 mM Tris-HCl buffer (pH 6.8) supplemented
with 8.9% sucrose (Tris-sucrose). Then, pools of 25 embryos were stored in 1.5-mL tubes at −80 ◦C
for proteomics analysis. Four biological replicates were produced for 4–6 cells and morulas, i.e.,
400 embryos for each stage (200 OF-treated and 200 controls). 4.4. Quantification of Proteins, Identification of Embryo-Interacting Proteins and Statistical Analysis All proteins with more than two peptides identified were considered for protein quantification. Protein quantification was based on a label-free approach using spectral counting, as previously
described [31]. Scaffold Q+ software (version 4.9, Proteome Software; www.proteomesoftware.com)
was used using the Spectral Count quantitative module. Peptide identifications were accepted if
they could be established with greater than 95.0% probability as specified by the Peptide Prophet
algorithm [53]. Peptides were considered distinct if they differed in sequence. Protein identifications
were accepted if they could be established with greater than 95.0% probability as specified by the
Protein Prophet algorithm [54] and contained at least two identified peptides (false discovery rate
(FDR) < 0.01%). The normalization of spectra among the samples was realized in Scaffold by adjusting the sum of
the selected quantitative values for all proteins within each MS sample to a common value, which was
the average of the sums of all MS samples present in the experiment. This was achieved by applying
a scaling factor for each sample to each protein or protein group. Thus, the numbers of the normalized
weighted spectra (NWS) were tabulated using experiment-wide protein clusters. Proteins were defined as embryo-interacting proteins originating in the OF if they met the following
conditions: (i) detection at a minimum level of 5 NWS in the OF and (ii) detection at a minimum level of
5 NWS in OF-treated embryos with no detection in controls or significantly higher detection in OF-treated
embryos than in controls after Student’s t-test with Benjamini–Hochberg correction (p-value < 0.05;
fold-change > 2). 4.3. Nanoliquid Chromatography Coupled with Tandem Mass Spectrometry (NanoLC-MS/MS) For proteomics, pools of 25 embryos (OF-treated and controls) and one aliquot of OF were lysed in
a 10 mM Trizma® base supplemented with 4% sodium dodecyl sulfate (SDS) and 0.05% of a protease
inhibitor cocktail for 15 min at ambient temperature. Protein concentrations were determined using
a Nanodrop 2000/2000c® (Thermo Scientific, Waltham, MA, USA). The samples were incubated for
5 min at 95 ◦C in Laemmli Buffer then protein lysates (4 µg for 4–6 cells, 6 µg for morulas, 15 µg for the
OF) were briefly migrated on a home-made 0.75-mm thick 10% SDS-PAGE (50 V, 15 min) to get one
band per sample. The gel bands were stained with BluePage® overnight then proteins were in-gel
digested with bovine trypsin, as previously described [5]. Salts were removed from samples using C18
SpinColumns (Harvard Apparatus, Les Ulis, France). The resulting peptide mixtures were separated 13 of 17 Int. J. Mol. Sci. 2020, 21, 466 on a 75 µm × 250 mm IonOpticks Aurora 2 C18 column (Ion Opticks Pty Ltd., Bundoora, Australia). A gradient of basic reversed-phase buffers (Buffer A: 0.1% formic acid, 98% H2O MilliQ, 2% acetonitrile;
Buffer B: 0.1% formic acid, 100% acetonitrile) was run on a NanoElute HPLC System (Bruker Daltonik
GmbH, Bremen, Germany) at a flow rate of 400 nL/min at 50 ◦C. The liquid chromatography (LC) run
lasted for 120 min (2% to 15% of buffer B during 60 min; up to 25% at 90 min; up to 37% at 100 min;
up to 95% at 110 min and finally 95% for 10 min to wash the column). The column was coupled online
to a TIMS TOF Pro (Bruker Daltonik GmbH, Bremen, Germany) with a CaptiveSpray ion source (Bruker
Daltonik). The temperature of the ion transfer capillary was set at 180 ◦C. Ions were accumulated for
114 ms, and mobility separation was achieved by ramping the entrance potential from −160 V to −20 V
within 114 ms. The acquisition of the MS and MS/MS mass spectra was done with average resolutions
of 60,000 and 50,000 full width at half maximum (mass range 100–1700 m/z), respectively. To enable the
PASEF method, precursor m/z and mobility information was first derived from full scan TIMS-MS
experiments (with a mass range of m/z 100–1700). 4.3. Nanoliquid Chromatography Coupled with Tandem Mass Spectrometry (NanoLC-MS/MS) The quadrupole isolation width was set to 2 and
3 Th and, for fragmentation, the collision energies varied between 31 and 52 eV depending on the
precursor mass and charge. TIMS, MS operation and PASEF were controlled and synchronized using
the control instrument software OtofControl 5.1 (Bruker Daltonik). LC-MS/MS data were acquired
using the PASEF method with a total cycle time of 1.31 s, including 1 TIMS MS scan and 10 PASEF
MS/MA scans. The 10 PASEF scans (100 ms each) containing, on average, 12 MS/MS scans per PASEF
scan. Ion mobility-resolved mass spectra, nested ion mobility vs. m/z distributions, as well as summed
fragment ion intensities were extracted from the raw data file with DataAnalysis 5.1 (Bruker Daltonik
GmbH, Bremen, Germany). 4.4. Quantification of Proteins, Identification of Embryo-Interacting Proteins and Statistical Analysis 4.6. Immunolocalization of ANXA1, OVGP1 and PYGL By western blotting, the primary antibodies used gave one band at the expected molecular weight
in bovine post-ovulatory oviduct epithelial cells and OF (Figure S2). For immunostaining, embryos of
normal morphology at Day 3 were used. Embryos were incubated or not (controls) in OF and washed
in Tris-sucrose as described above. Embryos were then fixed for 30 min in 4% paraformaldehyde at
35 ◦C then washed three times in PBS supplemented with 0.1% (w/v) BSA (PBS-BSA). For blocking,
embryos were incubated for 40 min at ambient temperature in PBS-BSA supplemented with 10% (v/v)
serum from the same host species as the secondary antibody (donkey for OVGP1 and PYGL; goat
for ANXA1). After three washings in PBS-BSA, the embryos were incubated overnight at 4 ◦C with
either anti-ANXA1, anti-OVGP1 (both at 1 µg/mL) or anti-PYGL (at 0.5 µg/mL) diluted in PBS-PSA. Isotypes at the same concentrations were used as negative controls. After two washings in PBS-BSA,
embryos were incubated overnight at 4 ◦C in the secondary antibody diluted at 1/1000 in PBS-BSA. At the end of incubation, Hoechst 33,342 was added (10 µg/mL, 10 min) for nucleus staining. After three
washings in PBS-BSA, embryos were mounted in PBS-BSA and immediately observed under confocal
microscopy (Zeiss LSM 700, Carl Zeiss, Oberkochen, Germany). Two biological replicates were made for
each antibody. Supplementary Materials: Supplementary Materials can be found at http://www.mdpi.com/1422-0067/21/2/466/s1. Author Contributions: Conceptualization, M.S.-D. and P.M.; methodology, C.B., V.L., A.-P.T.-G., C.P., E.C., R.L.,
G.T.; software, C.B. and E.C.; validation, C.B.; formal analysis, C.B.; resources, M.S.-D. and B.G.; writing—original
draft preparation, C.B. and M.S.-D.; writing—review and editing, all authors; supervision, M.S.-D.; project
administration, M.S.-D. and B.G.; funding acquisition, B.G. All authors have read and agreed to the published
version of the manuscript. Funding: This research was funded by Evolution and INRA. Charles Banliat was funded by ANRT, grant number
2017/0684. This work was also supported by grants from Biogenouest, Infrastructures en Biologie Santé et
Agronomie (IBiSA) and Conseil Régional de Bretagne awarded to Charles Pineau. Acknowledgments: The authors are grateful to Marc Chodkievicz for editing this manuscript, and to Thierry
Delpuech and Albert Arnould for the collection of ovaries and oviducts. The authors thank Evolution for providing
the bull semen. M.S.D. thanks the CNRS for hosting her on delegation. Conflicts of Interest: The authors declare no conflict of interest. Abbreviations OF
Oviductal fluid
EV
Extracellular vesicles
MS
Mass spectrometry
nanoLC-MS/MS
Nanoliquid chromatography coupled with tandem mass spectrometry
NWS
Normalized weighted spectra OF
Oviductal fluid
EV
Extracellular vesicles
MS
Mass spectrometry
nanoLC-MS/MS
Nanoliquid chromatography coupled with tandem mass spectrometry
NWS
Normalized weighted spectra 4.5. Functional Analyses of Interacting Proteins To predict the secretion ways of embryo-interacting proteins, the online tools SignalP 5.0 (h
/www.cbs.dtu.dk/services/SignalP/) and SecretomeP 2.0 (http://www.cbs.dtu.dk/services/Secretom To predict the secretion ways of embryo-interacting proteins, the online tools SignalP 5.0 (http:
//www.cbs.dtu.dk/services/SignalP/) and SecretomeP 2.0 (http://www.cbs.dtu.dk/services/SecretomeP/)
were used. Proteins predicted as possessing a standard secretory signal peptide and a peptide cleavage
site in their N-terminal sequence were considered as secreted in a conventional way. In addition,
proteins predicted as being targeted to a non-classical pathway in the mammalian dataset of SecretomeP
were considered as potentially undergoing non-conventional secretion. A cutoff NN-score value of 14 of 17 Int. J. Mol. Sci. 2020, 21, 466 0.6 was applied. To go further in the non-conventional secretion pathway, we looked for the presence
of the protein among those reported in bovine [9] and feline [30] oviductal EVs. The online tool
Proteomaps 2.0 (https://bionic-vis.biologie.uni-greifswald.de) was used for the functional annotation
of embryo-interacting proteins using NWS values and Gene IDs of interacting proteins, and the Bos
taurus dataset. 0.6 was applied. To go further in the non-conventional secretion pathway, we looked for the presence
of the protein among those reported in bovine [9] and feline [30] oviductal EVs. The online tool
Proteomaps 2.0 (https://bionic-vis.biologie.uni-greifswald.de) was used for the functional annotation
of embryo-interacting proteins using NWS values and Gene IDs of interacting proteins, and the Bos
taurus dataset. 4.6. Immunolocalization of ANXA1, OVGP1 and PYGL The funders had no role in the design of the
study; in the collection, analyses, or interpretation of data; in the writing of the manuscript, or in the decision to
publish the results. References 1. Kolle, S.; Dubielzig, S.; Reese, S.; Wehrend, A.; Konig, P.; Kummer, W. Ciliary transport, gamete interaction,
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(CC BY) license (http://creativecommons.org/licenses/by/4.0/).
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Climatology of near-surface wind speed from observations and high-resolution climate modelsover the Tibetan Plateau
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Climatology of near-surface wind speed from
observations and high-resolution climate
modelsover the Tibetan Plateau gy
observations and high
modelsover the Tibeta
Lorenzo Minola
(
lorenzo.minola@gu.se
University of Gothenburg
Gangfeng Zhang
Beijing Normal University
Tinghai Ou
University of Gothenburg
Julia Kukulies
University of Gothenburg
Julia Curio
University of Gothenburg
Jose A. Guijarro
Agencia Estatal de Meteorología
Kaiqiang Deng
Sun Yat-sen University
Cesar Azorin-Molina
Centro de Investigaciones sobre Desertifica
Cheng Shen
University of Gothenburg
Alessandro Pezzoli
Politecnico and University of Turin
Deliang Chen
University of Gothenburg
Research Article
Keywords: Wind speed , climatology , ECMW Page 1/34
observations and high resolution climate
modelsover the Tibetan Plateau
Lorenzo Minola
(
lorenzo.minola@gu.se
)
University of Gothenburg
Gangfeng Zhang
Beijing Normal University
Tinghai Ou
University of Gothenburg
Julia Kukulies
University of Gothenburg
Julia Curio
University of Gothenburg
Jose A. Guijarro
Agencia Estatal de Meteorología
Kaiqiang Deng
Sun Yat-sen University
Cesar Azorin-Molina
Centro de Investigaciones sobre Desertificación, Consejo Superior de Investigaciones Científicas
Cheng Shen
University of Gothenburg
Alessandro Pezzoli
Politecnico and University of Turin
Deliang Chen
University of Gothenburg
Research Article
Keywords: Wind speed , climatology , ECMWF reanalysis , WRF downscaling , Tibetan Plateau
Posted Date: January 20th, 2023
DOI: https://doi.org/10.21203/rs.3.rs-2470952/v1 Version of Record: A version of this preprint was published at Climate Dynamics on September 16th,
2023. See the published version at https://doi.org/10.1007/s00382-023-06931-3. Research Article Page 1/34 License:
This work is licensed under a Creative Commons Attribution 4.0 International
License. Read Full License License:
This work is licensed under a Creative Commons Attribution 4.0 International
License. Read Full License Version of Record: A version of this preprint was published at Climate Dynamics on September 16th,
2023. See the published version at https://doi.org/10.1007/s00382-023-06931-3. Page 2/34 Abstract As near-surface wind speed plays a key role in regulating surface evaporation and thus the hydrological
cycle, it is crucial to explore its spatio-temporal characteristics. However, in-situ measurements are scarce
over the Tibetan Plateau, limiting the understanding of wind speed climate across this high-elevation
region. This study explores the climatology of near-surface wind speed over the Tibetan Plateau by using
for the first time homogenized observations together with reanalysis products and regional climate model
simulations. Measuring stations across the center and the West of the plateau are at higher elevations
and display higher mean and standard deviation, confirming that wind speed increases with increasing
altitude. By exploring wind characteristics (e.g. seasonal cycle) through cluster analysis, three regions of
different wind regimes can be identified: (1) the center of the Tibetan Plateau, characterized by high
elevation; (2) the East and the edges of the plateau; and (3) the topographic depression of the Qaidam
basin, strongly influenced by the blocking effect of the surrounding mountainous terrain. Owing to the
improvements in model physics and data assimilation, the ERA5 reanalysis shows closer agreement to
the measured wind conditions than its predecessor ERA-Interim, by being able to reproduce the same
three wind regimes. However, the newest ERA5-Land product does not show improvements compared to
ERA5 as they share most of the parametrizations. In addition, the two dynamical downscalings of ERA5
analyzed here are not able to capture the observed wind statistics, showing evident biases and
discrepancies also when investigating the diurnal variations. Over a region of such complex terrain, the
ability of dynamical downscaling in simulating near-surface wind speed may be enhanced by improving
the planetary boundary layer parameterization scheme and by better taking into account unresolved
topographic features. 1. Introduction To overcome this challenge, more spatially-complete datasets,
such as reanalysis products, could be used to explore NSWS characteristics of this region. In fact, by
using a forecast model in which information from global observations are assimilated, reanalyses
produce spatially-homogeneous data that goes several decades back in time, providing an accurate (i.e.,
spatially complete and physically coherent) description of the climate of the past (Dee et al. 2011). Among the most popular and used reanalysis products, we can find the ones produced over the past
decades by the European Centre for Medium-Range Weather Forecasts (ECMWF), as ERA-Interim or ERA5
(see Section 2.2). Historical reanalyses can be used together with regional climate models to downscale
information from the reanalyses and simulate more small-scale features of wind. For a complex-
topography region like the TP, a high horizontal resolution is needed to better represent the heterogeneity
in land surface and orography and to resolve mesoscale processes that affect wind (Li et al. 2017). Therefore, limited-domain climate model simulations with regional refinements are created by
dynamically downscaling a coarser global reanalysis (AMS 2013). In particular, by downscaling the
reanalysis, large-scale flow is included in the regional simulations, while regional and small-scale
circulation features are generated by the regional climate model. In this way, dynamical downscaling
products can capture more climatic information at different scales and at a higher resolution, being able
to reduce local biases of reanalysis datasets, especially in regions with complex topography (Giorgi and
Shields 1999; Gao et al. 2015; Li et al. 2017; Ou et al. 2020). However, before any reanalysis or climate
model dataset can be used to study wind speed conditions in a given area, its ability in representing
observed NSWS statistics must be proven. In fact, previous studies have shown that their capability in
simulating wind speed is strongly dependent on the selected region and the considered time period
(Ramon et al. 2019; Wohland et al. 2019; Miao et al. 2020). For this reason, it is necessary to explore the
reliability of modeled outputs by comparing them with observations, so that the skills of the models in
simulating wind climate can be verified (Kunz et al. 2010). However, the lack of sufficient observational data limits the understanding of NSWS over the TP. 1. Introduction In fact,
compared with other terrestrial regions of the world, observations are scarce here because meteorological
stations are sparsely distributed across the plateau due to its vast geographical area with complex
topography, steep terrain, high elevations, and harsh environmental conditions (Ma et al. 2020). In
addition, not only the density of in-situ stations is sparse, but most available stations are located in
valleys (Li et al. 2018). Therefore, the sparse and biased distribution of measuring stations makes it
difficult to match the high degree of landscape heterogeneity, and thus the comprehensive understanding
of wind conditions across the whole TP. To overcome this challenge, more spatially-complete datasets,
such as reanalysis products, could be used to explore NSWS characteristics of this region. In fact, by
using a forecast model in which information from global observations are assimilated, reanalyses
produce spatially-homogeneous data that goes several decades back in time, providing an accurate (i.e.,
spatially complete and physically coherent) description of the climate of the past (Dee et al. 2011). Among the most popular and used reanalysis products, we can find the ones produced over the past
decades by the European Centre for Medium-Range Weather Forecasts (ECMWF), as ERA-Interim or ERA5
(see Section 2.2). Historical reanalyses can be used together with regional climate models to downscale
information from the reanalyses and simulate more small-scale features of wind. For a complex-
topography region like the TP, a high horizontal resolution is needed to better represent the heterogeneity
in land surface and orography and to resolve mesoscale processes that affect wind (Li et al. 2017). Therefore, limited-domain climate model simulations with regional refinements are created by
dynamically downscaling a coarser global reanalysis (AMS 2013). In particular, by downscaling the
reanalysis, large-scale flow is included in the regional simulations, while regional and small-scale
circulation features are generated by the regional climate model. In this way, dynamical downscaling
products can capture more climatic information at different scales and at a higher resolution, being able
to reduce local biases of reanalysis datasets, especially in regions with complex topography (Giorgi and
Shields 1999; Gao et al. 2015; Li et al. 2017; Ou et al. 2020). However, before any reanalysis or climate
model dataset can be used to study wind speed conditions in a given area, its ability in representing
observed NSWS statistics must be proven. 1. Introduction The Tibetan Plateau (TP), often referred to as the “Third Pole”, is the highest and most extensive upland
region in the world, stretching for about 1,000 km along latitude and 2,500 km along longitude, with an
average elevation over 4,000 m a.s.l. (above sea level) (Yao et al. 2012). It exerts profound thermal and
orographic effects on atmospheric circulation patterns on all temporal and spatial scales (Gao et al. 1981), thus playing a crucial role in influencing regional and global climate through both thermal and
dynamical mechanisms (Yang et al. 2004). The TP is also referred to as the “water tower of Asia”
because it is the source region of several major rivers in Asia (e.g. the Yellow, Yangtze, and Mekong
rivers), hence providing water resources to 1.5 billion of people in East and South Asia (Yao et al. 2012). As near-surface (i.e., 10 m height) wind speed (hereafter, NSWS) can alter the surface evapotranspiration
rate, thus driving the exchange of heat and water vapor between the surface and the atmospheric
boundary layer, it partly regulates the hydrological status and controls the local water cycle (Kang et al. 2010; Yang et al. 2014; Zheng at al. 2009). In addition, with more than 60% of the TP being arid or semi-
arid, NSWS is one of the key factors in shaping landforms and the geographical environment (Dong et al. 2017). For these reasons, it is crucial to understand NSWS characteristics over the TP and its variability Page 3/34 Page 3/34 because of its prominent environmental implications and impacts on the water resources of 10 countries,
most of them being the most densely populated countries in the world (IPCC 2019). However, the lack of sufficient observational data limits the understanding of NSWS over the TP. In fact,
compared with other terrestrial regions of the world, observations are scarce here because meteorological
stations are sparsely distributed across the plateau due to its vast geographical area with complex
topography, steep terrain, high elevations, and harsh environmental conditions (Ma et al. 2020). In
addition, not only the density of in-situ stations is sparse, but most available stations are located in
valleys (Li et al. 2018). Therefore, the sparse and biased distribution of measuring stations makes it
difficult to match the high degree of landscape heterogeneity, and thus the comprehensive understanding
of wind conditions across the whole TP. 1. Introduction In fact, previous studies have shown that their capability in
simulating wind speed is strongly dependent on the selected region and the considered time period
(Ramon et al. 2019; Wohland et al. 2019; Miao et al. 2020). For this reason, it is necessary to explore the
reliability of modeled outputs by comparing them with observations, so that the skills of the models in
simulating wind climate can be verified (Kunz et al. 2010). So far, the literature has largely focused on exploring NSWS changes over the TP (e.g., You et al. 2014;
Duan and Xiao 2015), but only a few studies have explored the sub-regional differences in NSWS
climatology and how these are simulated by reanalyses or dynamical downscaling products (Li et al. 2017; Li et al. 2021; Yao et al. 2018; Zao et al. 2019). Despite the uneven distribution of the
meteorological stations over the TP, available observations can be used to investigate how wind
conditions are simulated by reanalyses and climate models. Only when their reliability is verified, those Page 4/34 Page 4/34 simulated outputs can be employed to comprehensively investigate the NSWS climate, trends and
variability over the whole heterogeneous landscape of the TP. For all these reasons, this study aims to: (a) improve the understanding of the spatio-temporal
climatology of homogenized observed NSWS over the TP by identifying the most relevant geographical
features for the NSWS climatology; (b) evaluate the performance of recent reanalysis in simulating NSWS
observations; and (c) assess if dynamic downscaling of current reanalyses adds value in reproducing the
observed NSWS climatology. In this study, we focus on the few recent ECMWF reanalyses (i.e., ERA-
Interim, ERA5, and ERA5-Land – see Section 2.2) to evaluate if and how their improvements during the
last decades have affected their performance in modeling NSWS over the TP. Similarly, we only look at
two different downscaling products of ERA5 to identify the potential added value of downscaling
compared to the downscaled reanalysis when it comes to wind simulations. In addition, it is important to
highlight that this is the first study which analyses NSWS climatology over the TP using homogenized
observed series, i.e. series where their changes are only caused by variations in climate and the effect of
possible non-climatic factors are removed and corrected (see Section 2.1). 1. Introduction The paper is structured as follows: the data used by the study (e.g., wind observations and modeled
outputs) is presented in Section 2. Section 3 describes the methods applied here to investigate the wind
climatology and it is presented how the comparison between wind measurements and modeled data is
made. Section 4 shows and discusses the results of the analyses: in particular, after exploring the
climatology of observed NSWS (Section 4.1), it is evaluated the performance of reanalysis (Section 4.2)
and dynamical downscaling (Section 4.3) products in reproducing observed wind characteristics. Conclusions are drawn in Section 5. 2.1 NSWS observations Daily means of NSWS observations from 104 stations over the TP for 1960-2020 are provided by the
China Meteorological Administration (CMA). Those weather stations do not cover evenly the whole TP,
but are mostly located in the East, with only a few stations in the West and center of the plateau (Figure
1). Multi-decadal NSWS series can be unrepresentative of the actual climate and its variations over time
when the presence of various types of non-climatic factors, as station relocations and anemometer
height and type changes, create artificial shifts (or break-points) in the observed series (Aguilar et al. 2003; Wan et al. 2010). Therefore, it is necessary to apply a homogenization protocol which is able to
detect those artificial shifts and afterwards correct the biases which those inhomogeneities create. In this
study, Climatol (Guijarro 2018) is applied to identify break-points, remove their biases, reject outliers, and
infill missing data. Climatol is a R (R Core Team 2020) package for quality controlling, homogenizing and
missing data infilling of climate series. More info about this software can be retrieved at
http://www.climatol.eu/ (last accessed 11 January 2023). Climatol has been widely used for
homogenizing NSWS series in various studies (e.g., Azorin-Molina et al. 2019; Shi et al. 2019; Zhang et al. Page 5/34 2020; Minola et al. 2021a; Minola et al. 2021b), proving to be a reliable tool for successfully
homogenizing wind series. Here, homogenization is performed on monthly aggregates, using only nearest
data available at each time step as reference for identifying break-points, rejecting outliers, and infilling of
missing data. A homogenized dataset of 104 monthly mean NSWS series over the TP for 1960-2020 is
thus created by the applied homogenization protocol. 2020; Minola et al. 2021a; Minola et al. 2021b), proving to be a reliable tool for successfully
homogenizing wind series. Here, homogenization is performed on monthly aggregates, using only nearest
data available at each time step as reference for identifying break-points, rejecting outliers, and infilling of
missing data. A homogenized dataset of 104 monthly mean NSWS series over the TP for 1960-2020 is
thus created by the applied homogenization protocol. To analyze the diurnal cycle of NSWS over the TP, sub-daily observations are retrieved from the Met Office
Hadley Centre Integrated Surface Database (HadISD) (Smith et al. 2011; Dunn et al. 2012; Dunn et al. 2014; Dunn et al. 2016; Dunn 2019). 2.1 NSWS observations In particular, this study uses the HadISD version 3.1.1
(https://www.metoffice.gov.uk/hadobs/hadisd/; last accessed 11 January 2023). The HadISD archive
contains synoptic reports (sub-daily, station-based, and quality-controlled) from a large number of global
measuring stations. Here, 3-hourly (i.e., at UTC 00:00, 03:00, 06:00, 09:00, etc.) measurements of mean
NSWS are collected from 27 stations over the TP for 2017-2018 (Fig. 1). Those 27 stations are also
included in the CMA 1960-2020 dataset previously presented. 2.3 Dynamical downscaling products This study evaluates the performance in simulating NSWS of two high-resolution downscaling
products, which are created by downscaling ERA5 using the regional Weather Research and Forecasting
(WRF) model (Skamarock et al. 2008): (1) a WRF downscaling at a 9-km resolution (hereafter, WRF-9km),
and (2) the High Asia Refined analysis version 2 (hereafter, HAR). In the WRF-9km (Ou et al. 2020; Sun et
al. 2021), ERA5 has been dynamically downscaled at a 9-km resolution for East Asia with a focus on the
TP region since 1979. More info about this product and data access at
http://biggeo.gvc.gu.se/TPReanalysis/ (last accessed 11 January 2023). In a similar way, HAR
(Maussion et al. 2011; Maussion et al. 2014; Wang et al. 2020) is generated by dynamical downscaling
ERA5 using WRF. HAR outputs are at a 10 km grid-spacing from 1980. A more detailed description of HAR
and the outputs of the model can be retrieved at this link: https://www.klima.tu-berlin.de/index.php? show=daten_har2&lan=de (last accessed 11 January 2023). This study evaluates the performance in simulating NSWS of two high-resolution downscaling
products, which are created by downscaling ERA5 using the regional Weather Research and Forecasting
(WRF) model (Skamarock et al. 2008): (1) a WRF downscaling at a 9-km resolution (hereafter, WRF-9km),
and (2) the High Asia Refined analysis version 2 (hereafter, HAR). In the WRF-9km (Ou et al. 2020; Sun et
al. 2021), ERA5 has been dynamically downscaled at a 9-km resolution for East Asia with a focus on the
TP region since 1979. More info about this product and data access at The setup of the downscaling differs between the two products. Among the differences, e.g., WRF-9km
uses the Yonsei University (YSU) Planetary Boundary Layer (PBL) scheme (Hong et al. 2006), while HAR
parametrize the PBL with the Mellor-Yamada-Janijic scheme (Janjić 1994). For the cumulus
parameterization, HAR adopts the Grell 3D scheme (Grell 1993; Grell and Dévényi 2002); WRF-9km turned
off the convective parameterization. To prevent the model from deviating too far from the forcing data
(i.e., to constrain large-scale driving field and thus reducing the impact of model domain size on the
regional simulation), HAR uses daily re-inizialization: each run started at 12:00 UTC and contained 36
hours, with the first 12 hours as spin-up time. 2.2 Reanalyses This study compares observed NSWS with wind outputs of three different reanalysis datasets from
ECMWF: (a) ERA-Interim (hereafter, ERAINT); (b) ERA5; and (c) ERA5-Land. ERA5 is the fifth generation
ECMWF reanalysis, which has replaced its predecessor ERAINT (Hersbach et al. 2018). Compared to
ERAINT, ERA5 benefits from 10 years of improvements in the model physics and data assimilation, as
well as in the increased number of ingested observations, with newly available observed datasets now
assimilated. It is noteworthy to remark that in all ECMWF products near-surface wind measurements over
land are excluded from the data assimilation process (Dee at el. 2011). ERA5 outputs are produced hourly
at a horizontal resolution of 31 km, whereas for ERAINT climate variables are available 3-hourly at a 79
km horizontal grid spacing (Fig. 2). ERA5-Land has been produced by replaying the land component of
the ERA5 climate reanalysis through global high-resolution numerical integrations (Muñoz-Sabater et al. 2021). Even though ERA5-Land shares most of the parametrizations with ERA5, its main advantage
compared to ERA5 is the horizontal resolution (Fig. 2), which is enhanced globally to 9 km (while
temporal resolution is hourly as in ERA5). 3-hourly (for ERAINT) and hourly (for ERA5 and ERA5-Land) 10-m height zonal (u) and meridional (v)
wind components are downloaded for 1981-2018, which is the common time period for both
observations and the three selected reanalyses. In particular, ERAINT wind data is downloaded from
https://apps.ecmwf.int/datasets/data/interim-full-daily/levtype=sfc/ (last accessed 11 January 2023);
ERA5 and ERA5-Land wind outputs are accessed from the Copernicus website
(https://cds.climate.copernicus.eu/cdsapp#!/dataset/reanalysis-era5-single-levels?tab=overview and
https://cds.climate.copernicus.eu/cdsapp#!/dataset/reanalysis-era5-land?tab=form, respectively; last
accessed 11 January 2023). At each grid point, NSWS is calculated as the square root of the sum of the
squared wind components at the land-surface single level at a given time: 3-hourly (for ERAINT) and hourly (for ERA5 and ERA5-Land) 10-m height zonal (u) and meridional (v)
wind components are downloaded for 1981-2018, which is the common time period for both
observations and the three selected reanalyses. In particular, ERAINT wind data is downloaded from
https://apps.ecmwf.int/datasets/data/interim-full-daily/levtype=sfc/ (last accessed 11 January 2023);
ERA5 and ERA5-Land wind outputs are accessed from the Copernicus website (https://cds.climate.copernicus.eu/cdsapp#!/dataset/reanalysis-era5-single-levels?tab=overview and
https://cds.climate.copernicus.eu/cdsapp#!/dataset/reanalysis-era5-land?tab=form, respectively; last
accessed 11 January 2023). 2.2 Reanalyses At each grid point, NSWS is calculated as the square root of the sum of the
squared wind components at the land-surface single level at a given time: Page 6/34 Once that hourly (and 3-hourly for ERAINT) NSWS series are computed using Equation 1, monthly mean
NSWS series are calculated. For evaluating the performance of the reanalyses in simulating observations,
the observed NSWS series at a given measuring station is compared with the NSWS series from the
closest reanalysis grid-point, under the assumption that the closest grid series matches the observed one
better than any other more distant grid-point series (Minola et al. 2020). 2.3 Dynamical downscaling products Instead, WRF-9km uses as forcing strategy spectral
nudging, which consists of adding a new term to the tendencies of the model variables that relaxes the
selected part of the spectrum to the corresponding waves from driving fields (in this case, ERA5). In the same way as hourly NSWS has been calculated for ERA5 and ERA5-Land, hourly NSWS series are
created using Equation 1 from u and v outputs of WRF-9km and HAR. Monthly mean NSWS series are
then created and the closest grid-point series is compared to the observed one of a given series. For
comparison between observed, WRF-9km and HAR NSWS series, we use 1991-2018 which is the common
time period between those datasets. 3.2 Classification of seasonal and diurnal cycle of NSWS This study uses the k-means clustering method (Wilks 1995) to identify regional regimes in NSWS
seasonality and diurnal variability over the Plateau. By applying the k-mean clustering, the mean
seasonal (diurnal) cycles of NSWS of the different stations / grid-points are portioned into a given
number of clusters based on feature similarity of their seasonal (diurnal) regimes. The k-means clustering
is applied to the seasonal and diurnal cycle anomalies of NSWS (i.e., normalized seasonal and diurnal
cycles, where the annual and daily mean is removed from each monthly and hourly mean value,
respectively). In this way, the classification focuses on the differences in shape rather than differences in
overall magnitude. The K-means clustering method, for example, has been used for the analysis of
precipitation seasonality over the TP (Curio and Scherer 2016). 3.1 Statistical measures for comparison To quantify the agreement between observed and modeled NSWS, we use the following statistical tests:
1) Pearson’s correlation coefficient, which measures the degree of association (i.e., linear relationship;
Gibbons and Chakrborti 2003); 2) Root Mean Squared Error (hereafter, RMSE), which mathematically
expresses the vicinity between two datasets (Von Storch and Zwiers 1999); 3) bias, which identifies the
tendency to constant deviate of a realization compared to another; and 4) coefficient of determination
(hereafter, R2), which represents the proportion of the variance for a dependent variable that is explained
by an independent variable in a regression model. 2.4 Global digital elevation model Page 7/34 To explore the influence of topography on NSWS statistics, we obtain land surface elevation data from
the global digital elevation model by the Earth Resources Observation and Science (EROS) Center: the
Global 30 Arc-Second Elevation (GTOPO30) dataset (Gesh et al. 1999). GTOPO30 combines several
raster and vector sources of topographic information to derive elevation values on a regularly spaced grid
of 30 arc seconds (approximately 1 km). GTOPO30 data is available for downloading at
https://www.usgs.gov/centers/eros/science/usgs-eros-archive-digital-elevation-global-30-arc-second-
elevation-gtopo30#overview (last accessed 11 January 2023). 3.3 Time-scale for calculation of reanalyzed NSWS As explained in Section 2.2, the reanalyzed NSWS is calculated from Equation 1, using the hourly (and 3-
hourly for ERAINT) u and v wind components outputted by the reanalysis. Monthly mean series of NSWS
are then calculated based on those hourly NSWS series (hereafter, NSWS hourly-calculated). This process
demands a lot of computational resources, as it requires that data are downloaded at high temporal
resolution (i.e., hourly) for multiple years in a large spatial domain, as the one of the TP. It also requires a
lot of computation power in order to perform the necessary calculation of monthly averages. A less
computational-costly alternative is to download already-calculated monthly means of u and v from the
ECMWF archive (where they are available), and then to calculate NSWS using Equation 1 but with Page 8/34 Page 8/34 monthly-averaged zonal and meridional wind components (hereafter, NSWS monthly-calculated). Mathematically, differences must emerge when using Equation 1 with hourly or monthly-averaged NSWS. But the question is: how different are aggregated statistics between the NSWS hourly-calculated and the
NSWS monthly-calculated? In addition, where are these differences most significant? Fig. 3 shows the
spatial differences in the 1981-2020 means between the monthly-calculated NSWS and hourly-calculated
NSWS. When calculating NSWS at the two different temporal resolutions, NSWS monthly-calculated is
always greater than the hourly-calculated NSWS. Differences across the TP can reach 0.4 m s-1 in the
higher-elevation regions, with an average difference of 0.2 m s-1 for the whole plateau in all the three
reanalyses. Differences may be related to the importance given at specific spatial- and time-scales in the
two NSWS calculations. In the NSWS monthly-calculated, daily or sub-daily processes are not so relevant,
as it only considers the aggregated statistics of the u and v wind components. This method may be more
suitable for global studies, where large-scale atmospheric circulations are more relevant than local and
short-time scale processes (Landberg 2016). When computing NSWS based on hourly u and v
components, daily and/or sub-daily processes can be considered. Therefore, it is relevant to use hourly-
calculated NSWS only for studies on shorter-time or local scales. The TP is a region of extremely complex
topography where local and short-time scale processes play a key role (Liu et al. 2009; Yang et al. 2004). 3.3 Time-scale for calculation of reanalyzed NSWS Wind conditions are strongly affected by surface forcing as large-scale wind circulation is broken by
localized circulations driven by valleys and mountains (Helbig et al. 2017; Rotach et al. 2015; Serafin et
al. 2018). For this reason, we decide to use NSWS hourly-calculated in this study. 4.1 Climatology of observed NSWS Fig. 4 shows the annual and seasonal spatial distribution of mean and standard deviation of observed
NSWS for 1960-2020 over the TP. Annually, the few stations on the West and center of the plateau display
greater mean NSWS (between ~3.5 and ~4.5 m s-1) compared to the stations in the East and South-east
(~2.0 m s-1). The spatial pattern of the standard deviation of observed NSWS for 1960-2020 resembles
the spatial pattern of the mean, with higher values (greater than ~1.0 m s-1) for stations in the West and
center of the plateau compared to stations in the East (Yao et al. 2018). Following this spatial
distribution, it appears that stations with higher mean NSWS display also the higher standard deviation,
as shown by the scatter plot of mean versus standard deviation in Fig. S1 in the supplementary material. Seasonally, the spatial distribution with lower values of mean and standard deviation in the West does
not change. Overall, there are greater values recorded for all the measuring stations during spring
compared to winter, summer and autumn, and stations with greater mean are also the ones with greater
standard deviation. To identify the geographical features behind the detected spatial pattern, the mean NSWS of each station
is plotted against the station elevation (Fig. 5a). It is evident that stations at higher elevations are the
ones with greater mean NSWS. By grouping stations into classes with increasing averaged elevation, Page 9/34 Page 9/34 stations display greater mean and standard deviation of NSWS (e.g., red star vs. light-blue star; Fig. 5b). As stations in the West and center of the plateau are the ones located at higher elevation (Fig. 5c), the
spatial pattern identified in Fig. 1a and Fig. 1b is explained. Therefore, elevation differences driven by the
topography are responsible for the spatial distribution of mean and standard deviation of observed
NSWS, with station mean and standard deviation increasing for increasing elevation. Note that mean
NSWS decreases from stations in the West to stations in the East when plotting the mean of NSWS of
each station against the station longitude (Fig. S1 in the supplementary material). However, this zonal
dependency of mean NSWS results from having just a few stations at high elevation in the West of the
plateau. 4.1 Climatology of observed NSWS In fact, when using the GTOPO30 data to calculate the elevation meridional-mean and to see
how elevation changes according to the longitude over the TP (Fig. 5c), it is shown that the plateau has
greater altitude in the West compared to the East: the apparent zonal dependency is driven by the real
elevation dependency. The elevation dependency of NSWS (i.e., terrain enhances wind speed and high-
elevations regions more influences by strong large-scale synoptic flows) is not something new, and
various studies (McVicar et al. 2007; Miller and Davenport 1998; Wood 2000) have already shown that
wind speed increases exponentially with increasing altitude, especially over the TP (Yao et al. 2018). To further explore the climatology of NSWS over the TP, the seasonal cycle for 1960-2020 is analyzed. As
shown by Fig. S2 in the supplementary material, greater NSWS is recorded during spring compared to the
rest of the seasons, in line with what has been shown by Li et al. (2017), Li et al. (2021), and Zhao et al. (2019). Wind is stronger during spring because it is the time of the year when extra-tropical cyclones are
active (Li et al. 2021). By using the k-means clustering, differences in the seasonal cycle anomalies
among the observed NSWS series are explored. We identify three classes of stations with different
seasonality (Fig. 6). To note that we chose three partitions in the cluster analysis because with this
number it is reached a good balance between coherent patterns and sufficient distinction between
classes. One class (hereafter, Cluster 1, which includes most of the stations – 65 stations; Fig. 6a)
displays a NSWS maximum during spring (i.e., March and April). Another class (Cluster 2; Fig. 6b)
includes 18 NSWS series that have a maximum in February-March-April and a minimum in July-August-
September. The third class (Cluster 3; Fig. 6c) includes 21 stations with greater NSWS during spring and
early-summer (i.e., from March to July) compared to the rest of the year. When also looking at the
magnitude differences in the NSWS seasonal cycle between the three classes (i.e., when plotting the
mean NSWS annual cycle for each cluster identified using the seasonal cycle NSWS anomalies; Fig. 7a),
the mean Cluster 2 seasonal cycle is overall greater (~2.0-3.8 m s-1) than the one for Cluster 1 (~1.8-2.5 m
s-1). 4.2 Observations vs. reanalyses To investigate the performance of the selected ECMWF reanalyses in simulating NSWS, the spatial
distribution of mean NSWS for 1981-2018 is plotted in Fig. 8 for observations, ERAINT, ERA5 and ERA5-
Land. Despite the differences in the horizontal resolution, all the three datasets are able to capture the
higher NSWS in the center of the plateau. But, thanks to the higher resolution, better model physics, more
data assimilated, and its more advanced assimilation method, ERA5 and ERA5-Land show differences in
mean NSWS due to more-local topographic features, which ERAINT cannot reproduce. For example,
especially in the South-east of the TP, the latest reanalyses can differentiate between NSWS conditions in
valleys (lower values) and along ridges (higher values). In general, ERAINT tends to overestimate mean
NSWS over the TP (Fig. 9). Even if both ERA5 and ERA5-Land slightly underestimates the NSWS
conditions, the latter dataset better matches the spatial differences in mean NSWS over the plateau
compared to ERAINT and ERA5 (R2 for ERA5-Land is 0.48, greater than the 0.42 and 0.45 of ERAINT and
ERA5, respectively). Statistics shown in Fig. 10 enable a more detailed comparison between the
performance of the three reanalysis datasets in simulating NSWS during 1981-2018. Mean Pearson’s
correlation does not differ notably among the reanalyses (between 0.4 and 0.5), even when the seasonal
cycle is removed from the monthly NSWS series (mean correlation drops almost equally by ~0.12 for all
the three datasets). Mean RMSE is greater for ERAINT and ERA5-Land (0.96 and 0.89 m s-1, respectively)
compared to ERA5 (0.8 m s-1). The large RMSEs in ERAINT and ERA5-Land are partly caused by the large
biases, which is positive for the former (0.46 m s-1) and negative for the latter dataset (0.55 m s-1). As
already seen from Fig. 9, similar to ERA5-Land, ERA5 tends to underestimate NSWS, with a mean bias of
0.3 m s-1. Overall, the performance of the three reanalyses in simulating monthly NSWS series for 1981-
2018 does not differ significantly in terms of mean correlation, mean RMSE, and mean bias. Only ERA5
displays a lower mean RMSE and bias compared to both ERAINT and ERA5-Land, even if it is also
negatively biased. The improvements in NSWS simulation of ERA5 and ERA5-Land can be detected when looking at the
mean seasonal cycle. Following results of Fig. 4.1 Climatology of observed NSWS Similar to the highest NSWS values recorded in Cluster 2, Cluster 3 stations reach on average ~1.8-
2.5 m s-1 during late spring. Fig. 7b shows the spatial distribution of the seasonal cycle clusters. Stations
belonging to Cluster 1 are mostly located in the East of the TP, while stations from Cluster 2 are found in
the center of the plateau, with only a few stations in the East (mostly South-east). Cluster 3 stations are
located all along the western and southern border of the TP, in the North, and a few are also found in the
East. Unfortunately, the sparse and biased distribution of measuring stations over the TP is a challenge
for the comprehensive understanding of the spatial pattern of NSWS clusters across the plateau. For
example, does Cluster 2 include all stations at the higher elevations of the center of the plateau? For Page 10/34 Page 10/34 answering to such types of questions, it is necessary to analyze a more spatially complete dataset, as the
reanalysis outputs (see Section 4.2). answering to such types of questions, it is necessary to analyze a more spatially complete dataset, as the
reanalysis outputs (see Section 4.2). 4.2 Observations vs. reanalyses 9, mean NSWS seasonal cycle of ERA5 and ERA5-Land is
negatively biased, but captures the higher NSWS conditions observed during March and April (Fig. S3 in
the supplementary material). In addition, when applying the k-mean clustering to modelled NSWS
anomaly series, only the seasonal cycles of ERA5 and ERA5-Land grid-series can be clustered in three
classes (Fig. 11). Within the ERAINT data, just two classes with different seasonality can be identified. Fig. 12 compares the cluster-averaged (i.e., average over all the stations/closest grid-points in the cluster)
seasonal cycles of NSWS calculated using observations with the ones calculated using ERAINT, ERA5,
and ERA5-Land. Here we can see that ERAINT, captures the annual variations in the two classes that it
simulates, even if it overestimates the annual mean of NSWS. In contrast, both ERA5 and ERAINT are
negatively biased when simulating the NSWS seasonal cycle of Cluster 1 and partly lack in capturing the Page 11/34 Page 11/34 greater wind magnitudes during March-April. But, in Cluster 2 and Cluster 3, the two latest ECMWF
reanalyses, even if positively biased (bias smaller than the one shown by ERAINT), properly follow the
observed annual variations of NSWS. The spatially-homogeneous reanalyses can now be used to explore how the different classes are
distributed over the TP (Fig. 13), something we could not do using the spatially-heterogeneous
observation datasets (see Section 4.1). Cluster 1 (red areas) in all the three datasets surrounds the
plateau and it largely occupies the eastern side of the plateau. Instead, Cluster 2 (blue areas) is dominant
in the center-west of the TP and over a few limited areas in the East. Cluster 3, which appears in ERA5
and ERA5-Land, occupies a large area in the northeastern plateau, which corresponds to the Qaidam
basin, the largest topographic depression inside the TP (Yin et al. 2008). Fig. 14 plots the 1981-2018
mean NSWS of each grid point in a given dataset with its modelled elevation, with the scatter points
colored according to the class they belong to. In all the reanalyses, grid-points from Cluster 1 go from the
highest to the lowest elevations, while grid-points in Cluster 2 are the ones with the higher elevations and
the greatest mean NSWS. Cluster 3, which appears only in ERA5 and ERA5-Land, includes grid-points in a
shallow band with elevation between 2800-3500 m a.s.l. 4.3 The added value of downscaling To evaluate if the downscaling adds value to the NSWS simulations compared to the downscaled
product, the spatial distribution of mean NSWS for 1991-2018 is plotted in Fig. 15 for observations, ERA5,
and the two downscaled products WRF-9km and HAR. As already seen from Fig. 8, ERA5 shows higher
NSWS values in the center of the plateau (as also seen in the observations) and simulates NSWS
conditions following the complex terrain features (e.g., the large valleys in the South-east of the TP). Instead, WRF-9km only shows strong mean winds in the southern part of the plateau, with weaker winds
from the center to the North. Mean NSWS in HAR is greater in the West, and it decreases by moving to the
East. HAR, similar to WRF-9km, does not display the feature with higher wind conditions in the center-
west of the TP, and a general lower NSWS in all its surroundings. Fig. S4 in the supplementary material
confirms those discrepancies between observed NSWS and NSWS from the two downscaled products. When plotting the mean observed NSWS against the simulated one, WRF-9km poorly simulates wind
conditions: the scatterplot has R2 = 0.17 and all the scatter-points are greatly positively biased (i.e., NSWS
higher in WRF-9km compared to observations). For HAR, R2 is still lower than for ERA5 (0.42 and 0.46,
respectively) and modeled NSWS means are in general higher than the observed ones. When it comes to
the modeling of the seasonal cycle (Fig. S5 in the supplementary material), in a similar way both WRF-
9km and HAR overestimate the observed one, not showing any improvements compared to the
downscaled ERA5. For these reasons, when it comes to aggregated climatology, the two downscaled
products WRF-9km and HAR do not better simulate NSWS over the TP compared to ERA5. But the added
value of downscaled products should be searched in the better modeling of shorter spatial- and time-
scale processes, as the diurnal cycle (Ou et al. 2020). Therefore, we explore here the mean diurnal cycle of observed NSWS and then we compare it with the one
simulated by ERA5 and the two downscaling products (Fig. 16). Fig. 16a shows that the mean 3-hourly
sub-daily variations of NSWS calculated using the 27 stations of the HadISD dataset peaks at 9 UTC
(~15-16 local time), in line with what shown by Zhao et al. (2019). 4.2 Observations vs. reanalyses (i.e., the depression of the Qaidam basin) with
mean NSWS between 2 and 4.5 m s-1 (generally higher than the one of Cluster 1 and in the same range of
Cluster 2). The clear differences in the seasonal cycle at the Qaidam basin can be associated with the
blocking effect of the surrounding mountainous terrain (Zhao et al. 2019). In fact, as the Quidam Basin is
aligned North-west, it shows greater wind conditions during summer when the dominant southwesterly
winds prevail strengthened by the blocking effect of the surrounding terrain. Not only measuring stations located in the Qaidam basin are classified in Cluster 3, but various other
stations over the TP are grouped in Cluster 3 (see Fig. 13). Similarly, a few grid points of ERA5 and ERA5-
Land outside the Qaidam basin appear to belong to Cluster 3. The reason behind such localized Cluster 3
stations and grid points could be related to the valley and mountain orientations: for example, the main
wind direction coincides with the path of the westerly jet stream and the orientation of valleys and
mountains (Yao et al. 2018). In ERA5 and ERA5-Land, where complex topography can only be modeled
partly, Cluster 3 grid points outside the Qaidam basin are uncommon. The reason why ERAINT only identifies two classes when clustering the seasonality, while the latest
datasets can see three classes (i.e., the Qaidam basin’s wind conditions), may be related to the lower
resolution, the worse modeled physics, less data assimilated, and the less advanced assimilation method
compared to ERA5 and ERA5-Land (Dee et al. 2011). For example, thanks to the higher resolution, the
orography is better simulated in ERA5 and ERA5-Land: the mean elevation difference between actual
station elevations and modeled elevations of the closest grid-point of ERAINT is -645.3 m, and it
decreases for ERA5 and ERA5-Land (-599.7 m and -450.2 m, respectively). The more realistic topographic
representation may help to better identify the different NSWS conditions in the comparatively low-
elevated area of the Qaidam basin. Page 12/34 Page 12/34 To summarize, ERA5 better simulates NSWS over the TP compared to ERAINT probably due to its
considerable increase in horizontal and vertical resolution and a decade of improvements in
representation of model processes and data assimilation (Hersbach et al. 2018). 4.2 Observations vs. reanalyses The simulated NSWS in
ERA5-Land do not match better the observed one compared to ERA5, as ERA5-Land shares with ERA5
most of the parametrizations and does not benefit of any changes in the physics of the model or in the
data assimilation (Muñoz-Sabater et al. 2021). To notice that the elevation of the measuring stations is
generally lower than the one of the nearest grid cells, especially in the mountainous southern TP (Li et al. 2017). This is because most of the stations across the Plateau are located in valleys, where it is easier to
access. Therefore, the station elevation may not be a representation of the closest grid point, and such
elevation mismatch could contribute to the differences between observed and simulated wind. 4.3 The added value of downscaling The annual averaged diurnal cycle
from ERA5 and WRF-9km also peaks around 9 UTC. Instead, the diurnal cycle of HAR peaks earlier
(around 6 UTC). WRF-9km displays the lowest correlation value compared to ERA5 and HAR. In addition,
WRF-9km largely overestimates the magnitude of the diurnal variations (mean positive bias and RMSE of Page 13/34 Page 13/34 Page 13/34 ~2.5 m s-1). Even if for HAR there is a large mean RMSE (~1.5 m s-1), it is mostly caused by the high
mean positive bias (~1.3 m s-1). ERA5 displays a much smaller mean RMSE compared to WRF-9km and
HAR, and such mean error is largely caused by the average negative bias of ~0.5 m s-1. ~2.5 m s-1). Even if for HAR there is a large mean RMSE (~1.5 m s-1), it is mostly caused by the high
mean positive bias (~1.3 m s-1). ERA5 displays a much smaller mean RMSE compared to WRF-9km and
HAR, and such mean error is largely caused by the average negative bias of ~0.5 m s-1. To further explore the observed 3-hourly diurnal cycle of NSWS, we apply the k-mean clustering to the
dataset of 27 observed series. By conducting the cluster analysis with an increasing number of classes
(Fig. 17 - top row), the anomalies of the mean diurnal cycle do not drastically change in shape (always
peak at 9UTC), but the peak becomes more pronounced. The more pronounced diurnal cycle seems to be
partly related to station elevation: the classes which peaks more, are the ones with greater mean
elevation. When looking at the clusters identified in the simulated diurnal cycles (Fig. 17 - bottom row), all
the classes in ERA5 peaks at 9 UTC and differ only in how this peak is pronounced. This is partly shown
also in HAR, but, especially in WRF-9km, the identified classes do not only differ in how the 9 UTC peak is
pronounced, but also in the time when it is recorded and in the overall shape of the mean diurnal
variations. Zhao et al. (2019) previously investigated diurnal variations in NSWS over the TP, finding remarkable
regional characteristics with respect to the diurnal variations. 4.3 The added value of downscaling For example, in the eastern of the plateau,
the minimum and the maximum in the recorded wind speed occur about 1 hour later than in the west; or
the diurnal cycle at the stations in the Qaidam Basin differ significantly from the one observed at the
other stations elsewhere on the plateau. Unfortunately, for this study hourly data were not available, and
the use of 3-hourly outputs for exploring the diurnal cycle characteristics may mask possible regional
differences. Therefore, for what is shown here, HAR and WRF-9km do not improve the simulation of the mean diurnal
cycle over the TP, even if additional analysis (using hourly statistics) may be needed. To conclude, both
HAR and WRF-9km do not show a significant added value in the simulation of NSWS statistics over the
TP compared to the downscaled product ERA5. The dynamical downscalings may improve their
performance in simulating NSWS over the TP by enhancing the momentum transports in the planetary
boundary parameterization scheme and better considering the unresolved topographic features (Li et al. 2015). As shown by Gómez-Navarro et al. (2015), WRF models perform better in simulating NSWS over
complex terrain when an appropriate planetary parameterization scheme (i.e., one that explicitly
considers the effects of sub-grid topography) is chosen. In addition, considering the complicated
geographical environment, the biases could arise from the planetary boundary parameterization that
does not pass the decreased momentum in the upper levels of the atmosphere to the near-surface layers
over the TP. Moreover, improvements could be reached when dynamic downscaling will use dynamic land
surface characteristics rather than static ones. 5. Summary And Conclusions This study explored the climatology of NSWS over the TP by using both observations and high-resolution
climate model simulations. Observed mean and standard deviation is greater at the stations located in Page 14/34 Page 14/34 the center of the plateau, proving that wind speed increases with increasing altitude over the TP as
altitude enhances wind speed. In addition, according to their wind characteristics (e.g., mean values,
seasonal cycle, etc.), three regions of different wind regimes can be identified: (1) the center areas of the
plateau, with a higher average elevation than the rest of the TP; (2) the East and the edges of the TP; and
(3) the topographic depression of the Qaidam basin, where the blocking effect of the surrounding
mountainous terrain plays a key role. ERA5 is the dataset which matches better the measured NSWS. Compared to its predecessor ERAINT,
which can only represent two regions of different wind conditions, ERA5 grid cells can be grouped into
three regions, similar to the observations. This is most likely due to its higher spatial resolution, better
model physics, more data assimilated, and the more advanced assimilation method. However, the newest
ERA5-Land does not show improvements compared to ERA5, as the ERA5-Land data is a replay of the
land component of ERA5 with a finer spatial resolution (without any improvement of the parametrization
scheme; i.e., no better model physics). ERA5 is the dataset which matches better the measured NSWS. Compared to its predecessor ERAINT,
which can only represent two regions of different wind conditions, ERA5 grid cells can be grouped into
three regions, similar to the observations. This is most likely due to its higher spatial resolution, better
model physics, more data assimilated, and the more advanced assimilation method. However, the newest
ERA5-Land does not show improvements compared to ERA5, as the ERA5-Land data is a replay of the
land component of ERA5 with a finer spatial resolution (without any improvement of the parametrization
scheme; i.e., no better model physics). To check the added values of the dynamical downscaling, observations are compared to two different
downscaling products of ERA5, i.e. WRF-9km and HAR. Both dynamical downscaling products do not
capture the observed spatial distribution characteristics of NSWS. In a similar way, they also do not
improve the simulation of the 3-hourly diurnal cycle compared to ERA5. Funding This study contributes to the strategic research areas of Modelling the Regional and Global Earth system
(MERGE). Lorenzo Minola is funded by the International Postdoc grant from the Swedish Research
Council (2021-00444). Kaiqiang Deng is supported by the National Natural Science Foundation of China
(42275020). Competing interests The authors have no relevant financial or non-financial interests to disclose. 5. Summary And Conclusions The biases of NSWS in the
dynamical downscalings may result from planetary boundary parameterization or the characteristics of
land surface. Therefore, the ability of dynamical downscaling to simulate NSWS may be improved by
enhancing the momentum transports in the planetary boundary parametrization scheme and better
considering the unresolved topographic features. Data availability The dataset of homogenized monthly mean near-surface wind speed series generated and analysed
during this study is available from this repository: https://biggeo.gvc.gu.se/Pubdata/NSWS_TP.nc. Sub
daily (3-hourly) wind observations are retrieved from the Met Office HadISD dataset available at
https://www.metoffice.gov.uk/hadobs/hadisd/. The GTOPO30 dataset is available for downloading at
https://www.usgs.gov/centers/eros/science/usgs-eros-archive-digital-elevation-global-30-arc-second-
elevation-gtopo30#overview. ERAINT wind data is accessed from
https://apps.ecmwf.int/datasets/data/interim-full-daily/levtype=sfc/. ERA5 and ERA5-Land wind outp
are downloaded from the Copernicus website:
https://cds.climate.copernicus.eu/cdsapp#!/dataset/reanalysis-era5-single-levels?tab=overview and
https://cds.climate.copernicus.eu/cdsapp#!/dataset/reanalysis-era5-land?tab=form, respectively. The
WRF-9km dataset is available from: http://biggeo.gvc.gu.se/TPReanalysis/. HAR outputs are retrieved
from https://www.klima.tu-berlin.de/index.php?show=daten_har2&lan=de. The dataset of homogenized monthly mean near-surface wind speed series generated and analysed
during this study is available from this repository: https://biggeo.gvc.gu.se/Pubdata/NSWS_TP.nc. Sub-
daily (3-hourly) wind observations are retrieved from the Met Office HadISD dataset available at
https://www.metoffice.gov.uk/hadobs/hadisd/. The GTOPO30 dataset is available for downloading at
https://www.usgs.gov/centers/eros/science/usgs-eros-archive-digital-elevation-global-30-arc-second-
elevation-gtopo30#overview. ERAINT wind data is accessed from during this study is available from this repository: https://biggeo.gvc.gu.se/Pubdata/NSWS_TP.nc. Sub-
daily (3-hourly) wind observations are retrieved from the Met Office HadISD dataset available at
https://www.metoffice.gov.uk/hadobs/hadisd/. The GTOPO30 dataset is available for downloading at
https://www.usgs.gov/centers/eros/science/usgs-eros-archive-digital-elevation-global-30-arc-second-
elevation-gtopo30#overview. ERAINT wind data is accessed from
https://apps.ecmwf.int/datasets/data/interim-full-daily/levtype=sfc/. ERA5 and ERA5-Land wind outputs
are downloaded from the Copernicus website: https://apps.ecmwf.int/datasets/data/interim-full-daily/levtype=sfc/. ERA5 and ERA5-Land wind outputs
are downloaded from the Copernicus website: https://apps.ecmwf.int/datasets/data/interim-full-daily/levtype=sfc/. ERA5 and ERA5-Land wind outputs
are downloaded from the Copernicus website: https://cds.climate.copernicus.eu/cdsapp#!/dataset/reanalysis-era5-single-levels?tab=overview and
https://cds.climate.copernicus.eu/cdsapp#!/dataset/reanalysis-era5-land?tab=form, respectively. The
WRF-9km dataset is available from: http://biggeo.gvc.gu.se/TPReanalysis/. HAR outputs are retrieved
from https://www.klima.tu-berlin.de/index.php?show=daten_har2&lan=de. https://cds.climate.copernicus.eu/cdsapp#!/dataset/reanalysis-era5-single-levels?tab=overview and
https://cds.climate.copernicus.eu/cdsapp#!/dataset/reanalysis-era5-land?tab=form, respectively. The
WRF-9km dataset is available from: http://biggeo.gvc.gu.se/TPReanalysis/. HAR outputs are retrieved
from https://www.klima.tu-berlin.de/index.php?show=daten_har2&lan=de. Author contributions Page 15/34
Conceptualization: Lorenzo Minola, Deliang Chen; Data curation: Lorenzo Minola, Gangfeng Zhang,
Tinghai Ou, Jose A. Guijarro; Methodology: Lorenzo Minola, Julia Kukulies, Julia Curio, Cesar Azorin-
Molina; Formal analysis and investigation: Lorenzo Minola, Julia Kukulies, Julia Curio; Writing – original
draft preparation: Lorenzo Minola; Writing – review and editing: Lorenzo Minola, Gangfeng Zhang, Tinghai Ou, Julia Kukulies, Julia Curio, Jose A. Guijarro, Kaiqiang Deng, Cesar Azorin-Molina, Cheng Shen,
Alessandro Pezzoli, Deliang Chen; Funding acquisition: Deliang Chen. Tinghai Ou, Julia Kukulies, Julia Curio, Jose A. Guijarro, Kaiqiang Deng, Cesar Azorin-Molina, Cheng Shen,
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maximum wind speed across China, 1975-2016. J Clim 33: 2793-2816. https://doi.org/10.1175/JCLI-D-19-0603.1 63. Zhao Y, Li J, Zhang Q, Jiang X, Feng A (2019) Diurnal variations in surface wind over the Tibetan
Plateau. Atmos 10:112. https://doi.org/10.3390/atmos10030112 63. Zhao Y, Li J, Zhang Q, Jiang X, Feng A (2019) Diurnal variations in surface wind over the Tibetan
Plateau. Atmos 10:112. https://doi.org/10.3390/atmos10030112 64. Zheng H, Liu X, Liu C, Dai X, Zhu R (2009) Assessing contributions to panevaporation trends in Haihe
River Basin, China. J Geophys Res Atmos 114:D24105. https://doi.org/10.1029/2009JD012203 64. Zheng H, Liu X, Liu C, Dai X, Zhu R (2009) Assessing contributions to panevaporation trends in Haihe
River Basin, China. J Geophys Res Atmos 114:D24105. https://doi.org/10.1029/2009JD012203 Figures Page 20/34 Figure 1 Figure 1 Elevation map of the study area with the location of the measuring stations selected from the CMA
dataset (104 stations; blue circles) and the CMA’s measuring stations with sub-daily observations
available from the HadISD.3.1.1 dataset (27 stations; yellow stars). Elevation map of the study area with the location of the measuring stations selected from the CMA
dataset (104 stations; blue circles) and the CMA’s measuring stations with sub-daily observations
available from the HadISD.3.1.1 dataset (27 stations; yellow stars). Page 21/34 Figure 2
Elevation map of the study area as represented by the 79-km horizontal resolution of ERAINT (a), by the
31-km horizontal resolution of ERA5 (b), and by the 9-km horizontal resolution of ERA5-Land (c). Figure 2 Figure 2 Elevation map of the study area as represented by the 79-km horizontal resolution of ERAINT (a), by the
31-km horizontal resolution of ERA5 (b), and by the 9-km horizontal resolution of ERA5-Land (c). Elevation map of the study area as represented by the 79-km horizontal resolution of ERAINT (a), by the
31-km horizontal resolution of ERA5 (b), and by the 9-km horizontal resolution of ERA5-Land (c). Page 22/34 Page 22/34 Page 22/34 Figure 3
Spatial differences between the annual means of monthly-calculated and hourly-calculated NSWS in (a)
ERAINT, (b) ERA5, and (c) ERA5-Land for 1981-2020. Figure 3 Spatial differences between the annual means of monthly-calculated and hourly-calculated NSWS in (a)
ERAINT, (b) ERA5, and (c) ERA5-Land for 1981-2020. Page 23/34 Page 23/34 Page 23/34 Page 23/34 e 4
al distribution of the annual and seasonal means and the standard deviations of the obs d the standard deviations of the ob
1960-2020 Figure 4
Spatial distribution of the annual and seasonal means and the standard deviations of the observed
NSWS for the 104 homogenized stations over the TP for 1960-2020. Figure 4 Spatial distribution of the annual and seasonal means and the standard deviations of the observed
NSWS for the 104 homogenized stations over the TP for 1960-2020. Page 24/34 Page 24/34 Figure 5
Elevation dependency of NSWS: (a) Scatter plot of the 1960-2020 mean of NSWS for the 104 stations
over the TP plotted against the station elevation. (b) Scatter plot of the 1960-2020 mean of NSWS for the
104 stations over the TP (circles) and for the 4 means of the elevation-classes (stars) plotted against the
respective 1960-2020 standard deviation. Figure 1 (c) Scatterplot of the elevation of the 104 stations over the TP
plotted against the station longitude. The blue line is the elevation meridional-mean over the TP
calculated using the Gtopo30 dataset. Figure 5 Elevation dependency of NSWS: (a) Scatter plot of the 1960-2020 mean of NSWS for the 104 stations
over the TP plotted against the station elevation. (b) Scatter plot of the 1960-2020 mean of NSWS for the
104 stations over the TP (circles) and for the 4 means of the elevation-classes (stars) plotted against the
respective 1960-2020 standard deviation. (c) Scatterplot of the elevation of the 104 stations over the TP
plotted against the station longitude. The blue line is the elevation meridional-mean over the TP
calculated using the Gtopo30 dataset. Elevation dependency of NSWS: (a) Scatter plot of the 1960-2020 mean of NSWS for the 104 stations
over the TP plotted against the station elevation. (b) Scatter plot of the 1960-2020 mean of NSWS for the
104 stations over the TP (circles) and for the 4 means of the elevation-classes (stars) plotted against the
respective 1960-2020 standard deviation. (c) Scatterplot of the elevation of the 104 stations over the TP
plotted against the station longitude. The blue line is the elevation meridional-mean over the TP
calculated using the Gtopo30 dataset. Figure 6
Clustering of the mean seasonal cycle of NSWS anomalies for the 104 stations over the TP for 1960-
2020. Grey lines represent the seasonal cycles of each station series in the given cluster, while the
seasonal cycle cluster-mean (i.e., average over all the stations in the given cluster) is plotted as black line. Figure 6 Figure 6 Clustering of the mean seasonal cycle of NSWS anomalies for the 104 stations over the TP for 1960-
2020. Grey lines represent the seasonal cycles of each station series in the given cluster, while the
seasonal cycle cluster-mean (i.e., average over all the stations in the given cluster) is plotted as black line. Page 25/34 Page 25/34 Figure 7 Seasonal cycle clusters: (a) Cluster-averaged (i.e., average over all the stations in the cluster) seasonal
cycles of NSWS over the TP for 1960-2020. (b) Spatial distribution of the seasonal cycle clusters of the
104 stations over the TP. Stations in Cluster 1 are shown as red dots, stations in Cluster 2 as blue dots,
and stations in Cluster 3 as green dots. Page 26/34 Page 26/34 Figure 8
Spatial distribution of the annual-mean NSWS calculated for 1981-2018 using observations and ERAINT
(a), ERA5 (b), and ERA5-Land (c). Figure 8 Figure 8 Spatial distribution of the annual-mean NSWS calculated for 1981-2018 using observations and ERAINT
(a), ERA5 (b), and ERA5-Land (c). Spatial distribution of the annual-mean NSWS calculated for 1981-2018 using observations and ERAINT
(a), ERA5 (b), and ERA5-Land (c). Spatial distribution of the annual-mean NSWS calculated for 1981-2018 using observations and ERAINT
(a), ERA5 (b), and ERA5-Land (c). Page 27/34
Figure 9 Figure 9 Page 27/34 Page 27/34 Scatter plot of the 1981-2018 annual-mean of the observed NSWS of the 104 stations over the TP plotted
against the respective NSWS mean of the ERAINT closest grid-points (a), of the ERA5 closest grid-points
(b), and of the ERA5-Land closest grid-points (c). Scatter plot of the 1981-2018 annual-mean of the observed NSWS of the 104 stations over the TP plotted
against the respective NSWS mean of the ERAINT closest grid-points (a), of the ERA5 closest grid-points
(b), and of the ERA5-Land closest grid-points (c). Figure 10
Averaged (i.e., average over all the stations/closest grid points) statistics of comparison (i.e., (a)
Pearson’s correlation, (b) Pearson’s correlation without seasonal cycle, (c) RMSE, and (d) bias (modeled Figure 10
Averaged (i.e., average over all the stations/closest grid points) statistics of comparison (i.e., (a)
Pearson’s correlation, (b) Pearson’s correlation without seasonal cycle, (c) RMSE, and (d) bias (modeled Figure 10 Figure 10 Averaged (i.e., average over all the stations/closest grid points) statistics of comparison (i.e., (a)
Pearson’s correlation, (b) Pearson’s correlation without seasonal cycle, (c) RMSE, and (d) bias (modeled Page 28/34 Page 28/34 minus observed) between monthly-averaged observed NSWS series and monthly-averaged reanalyzed
NSWS series from ERAINT, ERA5, and ERA5-Land for 1981-2018. Figure 11 Figure 11 Figure 11 Clustering of the 1981-2018 mean seasonal cycle of NSWS anomalies for the 104 closest-grid series of
ERAINT (a), ERA5 (b), and ERA5-Land (c). Light-colored lines represent the seasonal cycles of each
closest grid-point series in the given cluster, while the seasonal cycle cluster-mean (i.e., average over all
the closest grid-point series in the given cluster) is plotted with the dark-colored thicker line. Clustering of the 1981-2018 mean seasonal cycle of NSWS anomalies for the 104 closest-grid series of
ERAINT (a), ERA5 (b), and ERA5-Land (c). Light-colored lines represent the seasonal cycles of each
closest grid-point series in the given cluster, while the seasonal cycle cluster-mean (i.e., average over all
the closest grid-point series in the given cluster) is plotted with the dark-colored thicker line. Figure 12
Comparison of cluster-averaged (i.e., average over all the stations/closest grid-points in the cluster) series
of the 1981-2018 mean seasonal cycles of NSWS calculated using observations (black line), ERAINT (red Figure 12 Comparison of cluster-averaged (i.e., average over all the stations/closest grid-points in the cluster) series
of the 1981-2018 mean seasonal cycles of NSWS calculated using observations (black line), ERAINT (red Comparison of cluster-averaged (i.e., average over all the stations/closest grid-points in the cluster) series
of the 1981-2018 mean seasonal cycles of NSWS calculated using observations (black line), ERAINT (red Page 29/34 lines), ERA5 (blue line), and ERA5-Land (green line). Figure 13
Spatial distribution of the NSWS seasonal-cycle clusters calculated for 1981-2018 using observations (a),
ERAINT (b), ERA5 (c), and ERA5-Land (d). Figure 13 Figure 13 Spatial distribution of the NSWS seasonal-cycle clusters calculated for 1981-2018 using observations (a),
ERAINT (b), ERA5 (c), and ERA5-Land (d). Spatial distribution of the NSWS seasonal-cycle clusters calculated for 1981-2018 using observations (a),
ERAINT (b), ERA5 (c), and ERA5-Land (d). Page 30/34
Figure 14 Figure 14 Page 30/34 Page 30/34 Scatter plot of the modeled elevation of the grid-points over the TP plotted against their NSWS mean for
1981-2018 in (a) ERAINT, (b) ERA5, and (c) ERA5-Land. Each scatter-point is colored according to the
class it belongs to: Cluster 1in red, Cluster 2 in blue, and Cluster 3 in green. Scatter plot of the modeled elevation of the grid-points over the TP plotted against their NSWS mean for
1981-2018 in (a) ERAINT, (b) ERA5, and (c) ERA5-Land. Each scatter-point is colored according to the
class it belongs to: Cluster 1in red, Cluster 2 in blue, and Cluster 3 in green. Figure 15
Spatial distribution of the 1991-2018 mean of NSWS calculated using ERA5 (a), WRF-9km (b), and HAR
(c). Figure 15 Spatial distribution of the 1991-2018 mean of NSWS calculated using ERA5 (a), WRF-9km (b), and HAR Spatial distribution of the 1991-2018 mean of NSWS calculated using ERA5 (a), WRF-9km (b), and HAR Spatial distribution of the 1991-2018 mean of NSWS calculated using ERA5 (a), WRF-9km (b), and HAR
(c). Page 31/34 Page 31/34 Figure 16
Comparison between observed and simulated NSWS diurnal cycle. (a) Mean 3-hourly diurnal cycle of
NSWS calculated using observations (black line), ERA5 (red line), WRF-9km (blue line), and HAR (green
line) for 2017-2018. (b) Averaged (i.e., average over all the stations/closest grid-points) Pearson’s
correlation between mean 3-hourly diurnal cycle from observed NSWS and from ERA5, WRF-9km and
HAR f
2017 2018 ( ) A
d (i
ll th
t ti
/ l
t
id
i t ) RMSE b t Figure 16 Figure 16 Comparison between observed and simulated NSWS diurnal cycle. (a) Mean 3-hourly diurnal cycle of
NSWS calculated using observations (black line), ERA5 (red line), WRF-9km (blue line), and HAR (green
line) for 2017-2018. (b) Averaged (i.e., average over all the stations/closest grid-points) Pearson’s
correlation between mean 3-hourly diurnal cycle from observed NSWS and from ERA5, WRF-9km and
HAR for 2017-2018. (c) Averaged (i.e., average over all the stations/closest grid-points) RMSE between Page 32/34 Page 32/34 mean 3-hourly diurnal cycle from observed NSWS and from ERA5, WRF-9km and HAR for 2017-2018. (d)
Averaged (i.e., average over all the stations/closest grid-points) bias (modeled minus observed) between
mean 3-hourly diurnal cycle from observed NSWS and from ERA5, WRF-9km and HAR for 2017-2018. Figure 17
Cl
i
f h
3 h
l di
l
l
f
b
d
d i
l
d NSWS
li
f
2017 2018 Figure 17
Clustering of the mean 3-hourly diurnal cycle of observed and simulated NSWS anomalies for 2017-2018. In particular, on the top row: Clustering of the mean 3-hourly diurnal cycle of observed NSWS anomalies
for 2017-2018 using two clusters (a), 3 clusters (b), and 4 clusters (c). On the bottom row: Clustering (with
3 classes) of the 2017-2018 mean 3-hourly diurnal cycle of NSWS anomalies from the closest grid-points
of ERA5 (d), WRF-9km (e) and HAR (f). Light-colored lines represent the diurnal cycles of each Figure 17 Figure 17 Clustering of the mean 3-hourly diurnal cycle of observed and simulated NSWS anomalies for 2017-2018. In particular, on the top row: Clustering of the mean 3-hourly diurnal cycle of observed NSWS anomalies
for 2017-2018 using two clusters (a), 3 clusters (b), and 4 clusters (c). On the bottom row: Clustering (with
3 classes) of the 2017-2018 mean 3-hourly diurnal cycle of NSWS anomalies from the closest grid-points
of ERA5 (d), WRF-9km (e) and HAR (f). Light-colored lines represent the diurnal cycles of each Page 33/34 Page 33/34 station/closest grid-point series in the given cluster, while the diurnal cycle cluster-mean (i.e., average over
all the stations/grid-points in the given cluster) is plotted with the dark-colored thicker line. station/closest grid-point series in the given cluster, while the diurnal cycle cluster-mean (i.e., average over
all the stations/grid-points in the given cluster) is plotted with the dark-colored thicker line. Supplementalmaterial.pdf Supplementary Files This is a list of supplementary files associated with this preprint. Click to download. Supplementalmaterial.pdf Page 34/34
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https://asp-eurasipjournals.springeropen.com/track/pdf/10.1186/s13634-017-0494-8
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English
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A novel aliasing-free subband information fusion approach for wideband sparse spectral estimation
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EURASIP Journal on Advances in Signal Processing
| 2,017
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cc-by
| 8,358
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RESEARCH Open Access © The Author(s). 2017 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and
reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to the
Creative Commons license, and indicate if changes were made. Abstract Wideband sparse spectral estimation is generally formulated as a multi-dictionary/multi-measurement (MD/MM)
problem which can be solved by using group sparsity techniques. In this paper, the MD/MM problem is reformulated
as a single sparse indicative vector (SIV) recovery problem at the cost of introducing an additional system error. Thus,
the number of unknowns is reduced greatly. We show that the system error can be neglected under certain
conditions. We then present a new subband information fusion (SIF) method to estimate the SIV by jointly utilizing all
the frequency bins. With orthogonal matching pursuit (OMP) leveraging the binary property of SIV’s components, we
develop a SIF-OMP algorithm to reconstruct the SIV. The numerical simulations demonstrate the performance of the
proposed method. estimates, and the precision of DOA pre-estimates greatly
influences the accuracy of DOA estimation [6, 7]. Recently, a class of sparse signal representation (SSR)
methods provide a new perspective for wideband DOA
estimation [8–11]. The DOA estimation problem can
be formulated as recovering a spatial sparse signal vec-
tor or matrix by minimizing the residual norm under
sparsity constraint. Basically, the wideband SSR meth-
ods in frequency domain decompose the received signals
into narrowband subbands and estimate spatial spec-
tra in each frequency bin. One of the most succes-
sive ℓ1-norm-based SSR algorithms for DOA estimation
is ℓ1-SVD (Singular Value Decomposition) [12], which
reduces the computational complexity by SVD. Hyder
and Mahata [13] presented a joint ℓ2,0-norm approx-
imation (JLZA) method and extended it to wideband
DOA estimation. Tang et al. [14] showed that the spatial
ambiguity can be removed by using multiple dictionar-
ies, each dictionary corresponding to a judiciously chosen
frequency. It should be mentioned that the above SSR
methods in frequency domain are generally formulated as
a multi-dictionary/multi-measurement (MD/MM) joint
optimization problem. These techniques usually do not
use all the subband information to estimate DOAs with
the aim of reducing unknown variables. Similar to ISSM, estimates, and the precision of DOA pre-estimates greatly
influences the accuracy of DOA estimation [6, 7]. EURASIP Journal on Advances
in Signal Processing EURASIP Journal on Advances
in Signal Processing EURASIP Journal on Advances
in Signal Processing Luo et al. EURASIP Journal on Advances in Signal
Processing (2017) 2017:61
DOI 10.1186/s13634-017-0494-8 A novel aliasing-free subband
information fusion approach for wideband
sparse spectral estimation Ji-An Luo1*
, Xiao-Ping Zhang2 and Zhi Wang3 1
Introduction , vk,L(m)]T is called
“virtual source" vector and it is the sparse representa-
tion of true source vector sk,m =
[ sk,1(m), sk,2(m), . . . ,
sk,Q(m)]T. The nonzero entries of vk,i represent true
sources and zero otherwise. Clearly, vk,iq(m) = sk,q(m). When all M segments are available, we define Y k
=
[ yk,1, yk,2, . . . , yk,M]; then, (3) becomes The organization of this paper is as follows. In Section 2,
we review the SSR model for wideband DOA estimation. The new SIF method is presented in Section 3. The SIF-
OMP algorithm is implemented in Section 4, together
with the convergence properties of the SIF-OMP algo-
rithm. Numerical simulations are carried out in Section 5
to demonstrate the performance of our algorithm, and
Section 6 gets the conclusion. Y k = AkV k + W k
(4) Y k = AkV k + W k (4) where V k is an L × M matrix, W k is an N × M matrix,
and they are defined similarly as Y k. If the sources are
assumed to be stationary during M snapshots, then each
column of V k shares the same sparsity. As shown in
the previous literature (see [12–14, 16] and the refer-
ences therein), the DOA estimation problem can be solved
by reconstructing V 1, V 2, . . . , V K from Y 1, Y 2, . . . , Y K
within the scope of the MD/MM problem. We define
A = blkdiag(A1, A2, . . . , AK), Y =
Y T
1 , Y T
2 , . . . , Y T
K
T
and V =
V T
1 , V T
2 , . . . , V T
K
T, where blkdiag(·) denotes
the operation to form a block diagonal matrix. Thus, the
sparse representation for the MD/MM problem can be
described as 1
Introduction EURASIP Journal on Advances in Signal Processing (2017) 2017:61 Page 2 of 13 Page 2 of 13 data at the nth sensor for the mth segment at frequency
ωk. By stacking all measurements into a vector, the output
of the array can be expressed as the performance of joint optimizing a MD/MM problem
may deteriorate rapidly if subband signals with low SNR
are chosen. Liu et al. [15] proposed a wideband covariance
matrix sparse representation (WCMSR) method for DOA
estimation. The WCMSR method uses time domain mea-
surements and has its limitation for spatial nonambiguity
because the spatial aliasing is frequency dependent. yk,m =
L
i=1
ak(θi)vk,i(m) + wk,m
(1) (1) where yk,m =[ y1,k(m), y2,k(m), . . . , yN,k(m)]T is the mea-
surement vector, wk,m represents the N × 1 additive noise
vector, ak(θi) is the steering vector with respect to the i-th
grid and it can be written as where yk,m =[ y1,k(m), y2,k(m), . . . , yN,k(m)]T is the mea-
surement vector, wk,m represents the N × 1 additive noise
vector, ak(θi) is the steering vector with respect to the i-th
grid and it can be written as In this paper, we reformulate the MD/MM problem as a
sparse indicative vector (SIV) recovery problem and pro-
pose a new subband information fusion (SIF) method to
estimate the SIV by jointly integrating all the frequency
bins together. Thus, the number of unknown variables can
be reduced dramatically. By introducing the SIV, an extra
system error is also generated. We show that such error
term can be ignored under certain conditions. Compared
with the traditional wideband DOA estimation methods,
the proposed approach does not rely on focusing tech-
nique to average the subspace matrices. By using the
binary property of the SIV, we design a binary constrained
orthogonal matching pursuit (OMP) algorithm to recover
the SIV. The developed algorithm is called SIF-OMP
algorithm. ak(θi) =
1, e−jωk d
c sin θi, . . . , e−jωk(N−1) d
c sin θi
T
(2) (2) where c is the speed of the signal propagation. We
now introduce an overcomplete basis matrix Ak
=
[ ak(θ1), ak(θ2), . . . , ak(θL)]. The sparse representation
model in (1) can be expressed concisely yk,m = Akvk,m + wk,m
(3) (3) where vk,m
=[ vk,1(m), vk,2(m), . . . 1
Introduction Wideband direction-of-arrival (DOA) estimation has
been a popular area of research due to the various
applications in radar, sonar, seismology, communications,
astrophysics, and many other fields [1–3]. Traditional
wideband array processing is to decompose the wideband
signals into many narrowband signals with a filter bank or
the discrete Fourier transform (DFT), and two categories,
referred to as incoherent signal subspace method (ISSM)
[4] and coherent signal subspace method (CSSM) [5], are
utilized to realize wideband DOA estimation. The ISSM
estimates the DOAs independently and average them over
all the bins. The performance of ISSM may deteriorate
with low signal-to-noise ratio (SNR) frequency bins and
coherent sources. The CSSM align the signal subspaces by
transforming the observation vectors associated with each
bin into the focusing subspace and can deal with coher-
ent sources by averaging the subspace-aligned covariance
matrices. Compared with ISSM, CSSM can enhance DOA
resolution and improve the accuracy of DOA estimates
at low SNR. However, CSSM requires an initial DOA influences the accuracy of DOA estimation [6, 7]. Recently, a class of sparse signal representation (SSR)
methods provide a new perspective for wideband DOA
estimation [8–11]. The DOA estimation problem can
be formulated as recovering a spatial sparse signal vec-
tor or matrix by minimizing the residual norm under
sparsity constraint. Basically, the wideband SSR meth-
ods in frequency domain decompose the received signals
into narrowband subbands and estimate spatial spec-
tra in each frequency bin. One of the most succes-
sive ℓ1-norm-based SSR algorithms for DOA estimation
is ℓ1-SVD (Singular Value Decomposition) [12], which
reduces the computational complexity by SVD. Hyder
and Mahata [13] presented a joint ℓ2,0-norm approx-
imation (JLZA) method and extended it to wideband
DOA estimation. Tang et al. [14] showed that the spatial
ambiguity can be removed by using multiple dictionar-
ies, each dictionary corresponding to a judiciously chosen
frequency. It should be mentioned that the above SSR
methods in frequency domain are generally formulated as
a multi-dictionary/multi-measurement (MD/MM) joint
optimization problem. These techniques usually do not
use all the subband information to estimate DOAs with
the aim of reducing unknown variables. Similar to ISSM, *Correspondence: luojian@hdu.edu.cn
1Key Lab for IOT and Information Fusion Technology of Zhejiang, Hangzhou
Dianzi University, Hangzhou 310018, China
Full list of author information is available at the end of the article 1
Page 2 of 13 Luo et al. 2
Problem formulation and existing methods Consider a uniform linear array (ULA) of N omnidirec-
tional sensors working together to estimate the spatial
location parameters of Q wideband sources and Q is
assumed to be unknown. The sensors of the ULA are
equally placed on a line with spacing d which is not neces-
sary to be smaller than half a wavelength. Let = {θi}L
i=1
denote the set of a sampling grid of all possible source
locations, L ≫N, L ≫Q. We assume that the grid is
fine enough that can represent the true source loca-
tions, e.g., {θi1, θi2, . . . , θiQ} ∈. The subscript iq, q =
1, 2, . . . , Q, is used to index the position of θiq. minimize
V
∥V∥0 ,
s.t. ∥Y −AV∥2 ≤ε,
(5) (5) q
For each sensor, the time-samples are split into M seg-
ments, where for each segment, K frequency bins are
obtained by a bank of narrowband filters or the discrete
Fourier transform [7]. Let sk,q(m) denote the qth source
signal at frequency ωk computed for the mth segment,
k = 1, 2, . . . , K and m = 1, 2, . . . , M. The sparse rep-
resentation perspective transforms the DOA estimation
problem into sparse spectrum recovery problem. We use
vk,i(m) to denote the kth frequency coefficient for the mth
segment corresponding to the i-th grid, i = 1, 2, . . . , L. Similarly, we use yn,k(m) to represent the measurement where the ℓ0 norm ∥V∥0 denotes the number of non-zero
rows of a matrix V and ε is an upper bound of the Frobe-
nius norm of the residual error. However, finding such
a combinatorial problem requires an enumerative search
and is NP hard. Consequently, ∥V∥0 is replaced by ∥V∥p,t,
for 0 < p ≤1, t ≥1, given in [16] ∥V∥p,t =
L
i=1
(∥¯vi∥t)p
1/p
,
∥¯vi∥t =
M
m=1
|vi,m|t
1/t
(6) (6) Luo et al. EURASIP Journal on Advances in Signal Processing (2017) 2017:61 Luo et al. EURASIP Journal on Advances in Signal Processing (2017) 2017:61 Page 3 of 13 Page 3 of 13 Page 3 of 13 For noiseless case, we get yk,m = Q
q=1 Ck,iqak(θiq)
sk,q(m). Inspired by this relationship, we introduce a new
L × 1 binary SIV g =
g1, g2, . . . 2
Problem formulation and existing methods , gL
T whose nonzero ele-
ments indicate the location of sources, i.e., g has the same
sparsity structure of source matrix V. As such, the model
(4) can be rewritten as For noiseless case, we get yk,m = Q
q=1 Ck,iqak(θiq)
sk,q(m). Inspired by this relationship, we introduce a new
T where ¯vi ∈C1×M is the ith row vector of matrix V
and vi,m is the m-th element in the row vector ¯vi. Tak-
ing the ℓ1,2 mixed norm minimization as an example, the
matrix V k can be estimated by the following constrained
optimization problem [12]: minimize
V
L
i=1
∥¯vi∥
s.t. ∥Y −AV∥≤ε. (7) (7) Y k =
L
i=1
ak(θi)vk,i(1)gi,
L
i=1
ak(θi)vk,i(2)gi . . . ,
L
i=1
ak(θi)vk,i(M)gi
+ W k
=
k,1g, k,2g, . . . , k,Mg
+ Ek + ¯W k
(10 The above optimization problem can be solved with
standard optimization software, i.e., second-order cone
programming (SOCP). However, the optimization pro-
cedure should be repeated by K times by utilizing all
frequency bins ω1, ω2, . . . , ωK, and K could be rather large
in wideband signal processing. Indeed, it is not efficient to
compute V using (7) for all frequency components. In this
paper, instead of estimating matrix V, we solve the DOA
estimation problem efficiently by recovering a SIV which
is used to represent the location of sources. =
k,1g, k,2g, . . . , k,Mg
+ Ek + ¯W k
(10) (10) where Ek =
ek,1, ek,2, . . . , ek,M
is an N × M error matrix
and the mth column of Ek is given by ek,m = −
Q
j=1
Q
q=1,q̸=j
Ck,ijak(θiq)sk,q(m)
(11) (11) 3.1
Method (13) To develop the SIF algorithm, first, we introduce a pro-
jection matrix Ck,i for the ith spatial grid at frequency ωk
given by where η is the upper bound of the Frobenius norm of the
residual error with respect to (12). Note that (13) gen-
erally subjects to great error bound compared with (5)
for each frequency since additional error E is introduced
in the measurement model (12). Note that g is the only
unknown parameter appeared in (13). Thus, all the sub-
band information can be utilized jointly to estimate g. We
call it subband information fusion (SIF) method. The SIF
method in (13) attempts to find a sufficiently sparse g in a
manner that X(g) consistently fits Y as sparsely as possi-
ble. Instead of estimating V 1, V 2, . . . , V K by the MD/MM
method stated in (5), the SIF approach only estimates a
SIV g and therefore significantly reduces the number of
unknown variables during the estimation process because
the number of frequency bins K could be rather large in
real applications. where η is the upper bound of the Frobenius norm of the
residual error with respect to (12). Note that (13) gen-
erally subjects to great error bound compared with (5)
for each frequency since additional error E is introduced
in the measurement model (12). Note that g is the only
unknown parameter appeared in (13). Thus, all the sub-
band information can be utilized jointly to estimate g. We
call it subband information fusion (SIF) method. The SIF
method in (13) attempts to find a sufficiently sparse g in a
manner that X(g) consistently fits Y as sparsely as possi-
ble. Instead of estimating V 1, V 2, . . . , V K by the MD/MM
method stated in (5), the SIF approach only estimates a
SIV g and therefore significantly reduces the number of
unknown variables during the estimation process because
the number of frequency bins K could be rather large in
real applications. Ck,i = ak(θi)
aH
k (θi)ak(θi)
−1 aH
k (θi)
= 1
N
⎡
⎢⎢⎢⎢⎢⎣
1
ejωk d
c sin θi
· · · ejωk(N−1) d
c sin θi
e−jωk d
c sin θi
1
· · · ejωk(N−2) d
c sin θi
... ... ... ... 3
Subband information fusion method ¯W k =[ ¯wk,1, ¯wk,2, . . . , ¯wk,M] is the error matrix and ¯wk,m =
wk,m−Q
q=1 Ck,iqwk,m. In (10), we observe that g captures
the sparsity property of V in the dictionary k,m. From the sparse representation model in (4), we observe
that the matrices V 1, V 2, . . . , V K share the identical
sparse structure, where V k =[ vk,1, vk,2, . . . , vk,M], k =
1, 2, . . . , K. The nonzero rows of matrix V indicate the
source locations. To solve the DOA estimation problem,
we need to decide which row of the source matrix V is
non-zero from the measurements. Once this is done, say
that the ith row of V is non-zero, we can infer that θi is one
of DOA estimates for the corresponding source. Indeed, it
is not necessary to estimate the whole signal matrix V to
get the solution of a direction estimation problem. Actu-
ally, the DOA estimation problem can be formulated as
recovering a SIV using a SIF method and the estimating of
entire matrix V can be avoided. Using (10), we can combine all subband information
to estimate a single SIV. Let Xk(g) =[ k,1g, k,2g, . . . ,
k,Mg] denote the sparse representation matrix of Y k. When all subbands are considered, the new observation
model is given as follows Y = X(g) + E + ¯W
(12) (12) where X(g) =
XT
1 (g), XT
2 (g), . . . , XT
K(g)
T, Y, E and ¯W
are defined similarly as V. Based on the new observa-
tion model (12), the following constrained optimization
problem can be used for wideband DOA estimation, min
g ∥g∥0,
subject to ∥Y −X(g)∥2 ≤η. (13) 3.2.2
Multi-source case Let μ denote the parameter controlling the value of ek,m
and μ is given by =
K
k=1
M
m=1
H
k,mk,m. (23) μj,q = 1
N aH
k (θij)ak(θiq)
= 1
N
N−1
n=0
exp
−jωkndκ(θ)
c
(17) (23) One realization of D is given by the eigenvalue decom-
position (EVD) of the Hermitian matrix . Assume that
can be written as = UUH, where U is a unitary
matrix whose columns are composed by L orthonormal
eigenvectors and is a diagonal matrix of eigenvalues. One realization of D is given by the eigenvalue decom-
position (EVD) of the Hermitian matrix . Assume that
can be written as = UUH, where U is a unitary
matrix whose columns are composed by L orthonormal
eigenvectors and is a diagonal matrix of eigenvalues. (17) where κ(θ) = sin(θiq) −sin(θij). Thus, ek,m can be written
as where κ(θ) = sin(θiq) −sin(θij). Thus, ek,m can be written
as ek,m = −
Q
j=1
Q
q=1,q̸=j
μj,qak(θij)sk,q(m)
(18) Thus, the dictionary D has the expression D = U
1
2 . Let
t denote the rank of . We have rank(D) = rank() = t. We now define a new measurement vector ξ ∈CL×1 given
such that (18) Note from (17) and (18) that the value of ek,m is related
to μj,q. We need to thoroughly discuss the property of μj,q. According to (17), the magnitude of μj,q is given by DHξ = h
(24) DHξ = h (24) where h = K
k=1
M
m=1 H
k,myk,m. From the definition
in (24), we see that Eq. (24) may be underdetermined
because rank(DH) = t ≤L. Simultaneously, from where h = K
k=1
M
m=1 H
k,myk,m. From the definition
in (24), we see that Eq. (24) may be underdetermined
because rank(DH) = t ≤L. Simultaneously, from |μj,q| = 1
N
1 −exp
−jωkNdκ(θ)
c
1 −exp
−jωkdκ(θ)
c
(19) (19) rank() = rank ([, h])
=⇒
rank(DH)
= rank
DH, h
,
(25) (25) When θiq approaches close to θij infinitely, we obtain lim
θiq→θij
κ(θ) = 0
and
lim
θiq→θij
|μj,q| = 1
(20) (20) we can conclude that the solution of (24) exists and ξ =
(DDH)−1Dh. 4
SIF algorithm (16) Y = X(g) + ¯W. (16) Y = X(g) + ¯W. The SIF method proposed in the previous section suggests
that we can solve the wideband DOA estimation problem
via single measurement vector reconstruction, as long as
the system error E can be neglected. In this section, we
first derive an equivalent form for SIF optimization; then,
we develop a SIF algorithm to recover the SIV efficiently. From (16), we observe that the system error E does not
exist for single source case. Therefore, there is no infor-
mation loss for single DOA estimation when we formulate
the MD/MM problem as a SIV recovery issue. We now develop an equivalent form of (13). Let D ∈
CL×L represent a new dictionary which satisfies DHD =
, where 3.2.1
Single source case It is straightforward to rewrite the measurement yk,m
when only a single DOA is required to be estimated, κ(θ) ≥2πc
ωkNd
(22) κ(θ) ≥2πc
ωkNd (22) yk,m = ak(θ)sk(m) + wk,m. (14) (14) then |μj,q| ≤B|μ| =
2
N|1−exp(−j2π/N)|. This means a small
value of ek,m can be guaranteed when κ(θ) is larger than
a certain threshold. Relatively large values of ωk, N and d
make the threshold at extremely low level; see Fig. 2. In consideration of spatial sparsity, yk,m can also be
written as yk,m = k,mg + ¯wk,m. (15) (15) Combining all these measurements together, we obtain 3.2
Analysis In Section 3, the system error E appeared in (12) is dis-
carded when we solve the optimization problem (13). This
leads to loss of information since E contains the DOA
information. This section mainly analyzes the error term
E and addresses the problem when E can be neglected. B|μ| =
2
N
1 −exp
−jωkdκ(θ)
c
(21) (21) Figure 1 plots |μj,q| and its upper bound B|μ| against κ(θ). Beyond the main lobe, B|μ| decreases sharply. Hence, if
κ(θ) satisfies Figure 1 plots |μj,q| and its upper bound B|μ| against κ(θ). Beyond the main lobe, B|μ| decreases sharply. Hence, if
κ(θ) satisfies 3.1
Method e−jωk(N−1) d
c sin θi e−jωk(N−2) d
c sin θi · · ·
1
⎤
⎥⎥⎥⎥⎥⎦
. (8) (8) Let ψk,i(m) = Ck,iyk,m denote the projection of yk,m
onto the range of ak(θi). k,m denotes an overcomplete
dictionary whose ith column is ψk,i(m), and it has the
following expression k,m =
ψk,1(m), ψk,2(m), . . . , ψk,L(m)
(9) (9) Luo et al. EURASIP Journal on Advances in Signal Processing (2017) 2017:61
Page 4 of 13 7:61
Page 4 of 13 Luo et al. EURASIP Journal on Advances in Signal Processing (2017) 2017:61 Page 4 of 13 Page 4 of 13 determined by an upper bound of |μj,q|, namely B|μ|. B|μ|
is given by 3.2.2
Multi-source case Based on the above definitions, the equivalent expres-
sion of (13) is presented as follows: The above limit conditions show that the error term
ek,m can not be neglected if the angles of any two inci-
dent sources are close enough. However, ek,m can be very
small if κ(θ) is larger than a certain value which can be min
g ∥g∥0,
subject to
ξ −Dg
2 ≤η. (26) min
g ∥g∥0,
subject to
ξ −Dg
2 ≤η. (26) min
g ∥g∥0,
subject to
ξ −Dg
2 ≤η. (26) (26) g Luo et al. EURASIP Journal on Advances in Signal Processing (2017) 2017:61 Page 5 of 13 Fig. 1 The amplitudes of |μj,q| and B|μ| with k = 10. The amplitudes of |μj,q| and B|μ|, ω10 = 1.08π × 107 rad/s, d = πc/(ω0 + Bf/2), Bf = 0.2ω0,
ω0 = 7π × 107 rad/s, c = 3 × 108 m/s, N = 7 Fig. 1 The amplitudes of |μj,q| and B|μ| with k = 10. The amplitudes of |μj,q| and B|μ|, ω10 = 1.08π × 107 rad/s, d = πc/(ω0 + Bf/2), Bf = 0.2ω0,
ω0 = 7π × 107 rad/s, c = 3 × 108 m/s, N = 7 Since the SIV g has the same sparsity structure of V,
the following theorem shows that the problem of estimat-
ing g by optimizing (26) is equivalent to estimating g by
using (13). Proof See Appendix. After the OMP algorithm returns the
column set, one can use the least squares (LS) method to
further estimate the nonzero values of g. Note that the ele-
ments of g are binary by definition. Such property should
be incorporated into the OMP algorithm. Once the col-
umn set is obtained, the coordinates of “1” components
are also determined. Therefore, we do not need to deal
with the LS process before updating the residuals. The proposed SIF method for recovering g can be
implemented in terms of algorithm 1, referred as the
SIF-OMP algorithm. Let us use q to denote the iteration
number. For any subset q ∈{1, 2, . . . , L}, we denote by Dq
a submatrix of D consisting of the columns dγq within γq ∈
q. We use rq to denote the residual at the qth iteration. Based on the above notations, the SIF-OMP algorithm is
given as follows. Algorithm 1 SIF-OMP Algorithm
Input: ξ, D and Q;
Output: g;
Initialization: r0 = ξ, 0 = ∅, D0 = ∅, g = 0L, q = 1;
Repeat:
(1) Find index γq, where γq = arg max |⟨rq−1, di⟩|, i =
1, 2, . . . , L;
(2) q ←q−1 ∪{γq}, Dq ←Dq−1 ∪dγq;
(3) Remove column dγq in D;
(4) Update residual rq ←ξ −Dq1q;
(5) q = q + 1;
Until stop condition (for example q > Q)
(6) Get final result g(q) = 1;
return Algorithm 1 SIF-OMP Algorithm
Input: ξ, D and Q;
Output: g;
Initialization: r0 = ξ, 0 = ∅, D0 = ∅, g = 0L, q = 1;
Repeat:
(1) Find index γq, where γq = arg max |⟨rq−1, di⟩|, i =
1, 2, . . . , L;
(2) q ←q−1 ∪{γq}, Dq ←Dq−1 ∪dγq;
(3) Remove column dγq in D;
(4) Update residual rq ←ξ −Dq1q;
(5) q = q + 1;
Until stop condition (for example q > Q)
(6) Get final result g(q) = 1;
return Algorithm 1 SIF-OMP Algorithm Input: ξ, D and Q; When the inter-spacing of the ULA is expanded 100
times, the phenomenon of spatial aliasing appears for
MUSIC and WCMSR algorithms, yet the MD/MM and
SIF-OMP methods do not suffer spatial aliasing prob-
lem; see Figs. 5 and 6. Figure 5 plots the 3D spectrum
of the MUSIC method. Proof See Appendix. Theorem 1 suggests that the wideband DOA estimation
problem can be solved by optimizing (26) using existing
methods, e.g., OMP. We consider the OMP for the recov-
ery of g based on the measurement vector ξ. OMP is
an iterative greedy algorithm. For each step, it finds out
the column of D which is the most correlated with the Theorem 1 Given the optimization problems (13) and
(26), the problem of recovering g through (13) is equivalent
to estimating g by (26). Fig. 2 The amplitudes of |μj,q| and B|μ| with k = 50. The amplitudes of |μj,q| and B|μ|, ω50 = 5.9π × 107 rad/s, d = πc/(ω0 + Bf/2), Bf = 0.2ω0,
ω0 = 7π × 107 rad/s, c = 3 × 108 m/s, N = 7 Fig. 2 The amplitudes of |μj,q| and B|μ| with k = 50. The amplitudes of |μj,q| and B|μ|, ω50 = 5.9π × 107 rad/s, d = πc/(ω0 + Bf/2), Bf = 0.2ω0,
ω0 = 7π × 107 rad/s, c = 3 × 108 m/s, N = 7 Luo et al. EURASIP Journal on Advances in Signal Processing (2017) 2017:61 Page 6 of 13 Page 6 of 13 of −10◦and 10◦using the proposed algorithm and pre-
vious methods. First, we fix the inter-spacing of the ULA
d at half-wavelength corresponding to the highest signal
frequency. We then enlarge d to 100 times to demonstrate
the aliasing-free property of the proposed algorithm. In
Fig. 3, d equals to the half-wavelength with respect to
the highest signal frequency and d = πc/
ω0 +
Bf
2
,
where c = 3 × 108 is the propagation speed of the sig-
nal, ω0 = 1.4π × 108 rad/s is the central frequency and
Bf = 0.2ω0 is the bandwidth. The MUSIC method decom-
poses the wideband signals into narrowband subbands
first and obtains DOA estimates for each frequency bin. Thus, we plot 3D view of spatial spectra with respect to
various frequency components and angle grids; see Fig. 3. In Fig. 4, we compare the results of the proposed method
with MUSIC, MD/MM, and WCMSR algorithms. The
3D spectrum of the MUSIC method is averaged in angle
domain for ease of comparison. All these methods can
detect the DOAs successfully for this example. current residuals. This column is then added into the set
of selected columns. Proof See Appendix. The WCMSR also has the spa-
tial ambiguity problem because it works in time domain. Both MD/MM and SIF-OMP algorithms can overcome
the spatial ambiguity for this example, and they detect
the spectra correctly. With the interval of two adjacent
frequencies ω = 2π, the spatial nonambiguity of the
proposed algorithm is guaranteed if d < c
2 according to
Theorem 1 in [14]. p
ξ
Q
Output: g;
Initialization: r0 = ξ, 0 = ∅, D0 = ∅, g = 0L, q = 1;
Repeat: p
(1) Find index γq, where γq = arg max |⟨rq−1, di⟩|, i =
1, 2, . . . , L; Until stop condition (for example q > Q)
(6) Get final result g(q) = 1;
return We compare the root mean-squared errors (RMSEs) of
the proposed approach with MD/MM and WCMSR algo-
rithms. Please refer to Figs. 7, 8, 9, and 10. The RMSE is
defined as follows: 5
Simulation results In this section, we illustrate numerically the performance
of the proposed algorithm via various simulations. We
consider a similar example given in [15] for ease of com-
parison. Assume that two BPSK signals with central fre-
quency of 70 MHz and bandwidth of 20% impinge on
a ULA with 7 sensors. The code-rate of incident BPSK
signals is assumed unknown. First, we show the DOA esti-
mation results of two sources obtained by the MUSIC,
MD/MM [14], WCMSR [15], and SIF-OMP, respectively. Within all approaches, the spatial range [ −90◦, 90◦] is
split into 180 grids with an interval of 1◦. The total number
of frequency bins is K = 256. The number of snapshots
or segments is M = 1 and the SNR is set by SNR = 20
dB in this example. The parameters ε is set to 100 for the
MD/MM algorithm. The weight factor is selected by 1 for
the WCMSR method. RMSE =
E
⎛
⎝
Q
q=1
ˆgiq −giq
2
⎞
⎠
(27) (27) where E{·} represents the expectation operation. First,
we fix the inter-spacing of the ULA at half-wavelength
with respect to the highest frequency. The RMSEs of the
three methods are summarized in Fig. 7. All methods have
satisfactory performance for high SNR. However, the per-
formance of the SIF-OMP method gets worse at low SNR
region due to the additional errors. We also examine the
RMSEs of the three methods against the number of uti-
lized frequencies when the SNR is fixed at 0 dB; see Fig. 8. Note that the RMSE of the SIF-OMP algorithm does not
reduce as the number of frequencies increases. That is
because the total value of errors can not be decreased
with the increase of frequency bins. We then enlarge the where E{·} represents the expectation operation. First,
we fix the inter-spacing of the ULA at half-wavelength
with respect to the highest frequency. The RMSEs of the
three methods are summarized in Fig. 7. All methods have
satisfactory performance for high SNR. However, the per-
formance of the SIF-OMP method gets worse at low SNR
region due to the additional errors. We also examine the
RMSEs of the three methods against the number of uti-
lized frequencies when the SNR is fixed at 0 dB; see Fig. 8. 5
Simulation results Note that the RMSE of the SIF-OMP algorithm does not
reduce as the number of frequencies increases. That is
because the total value of errors can not be decreased
with the increase of frequency bins. We then enlarge the In first part of simulations, we consider the comparison
of the DOA estimates of two sources from the directions Luo et al. EURASIP Journal on Advances in Signal Processing (2017) 2017:61 Page 7 of 13 Luo et al. EURASIP Journal on Advances in Signal Processing
( 0
) 0
:6
Page 7 of 13
Fig. 3 The 3D spectral-spatial spectrum of MUSIC with half-wavelength. The 3D spectral-spatial spectrum of MUSIC with two BPSK signals from
−10◦and 10◦impinging on a ULA interspaced by half-wavelength relative to the highest frequency, SNR: 20 dB, K = 256 and M = 1
Fig. 4 The spatial spectra of two sources with half-wavelength. The spatial spectra of two BPSK signals from −10◦and 10◦on a ULA interspaced by
half-wavelength relative to the highest frequency, SNR: 20 dB, K = 256 and M = 1 Fig. 3 The 3D spectral-spatial spectrum of MUSIC with half-wavelength. The 3D spectral-spatial spectrum of MUSIC with two BPSK signals from
−10◦and 10◦impinging on a ULA interspaced by half-wavelength relative to the highest frequency, SNR: 20 dB, K = 256 and M = 1 Fig. 3 The 3D spectral-spatial spectrum of MUSIC with half-wavelength. The 3D spectral-spatial spectrum of MUSIC with two BPSK signals from
−10◦and 10◦impinging on a ULA interspaced by half-wavelength relative to the highest frequency, SNR: 20 dB, K = 256 and M = 1 Fig. 4 The spatial spectra of two sources with half-wavelength. The spatial spectra of two BPSK signals from −10◦and 10◦on a ULA interspaced by
half-wavelength relative to the highest frequency, SNR: 20 dB, K = 256 and M = 1 Fi
4 Th
i l
f
i h h lf
l
h Th
i l
f
BPSK i
l f
10◦
d 10◦
ULA i
d b Fig. 4 The spatial spectra of two sources with half-wavelength. The spatial spectra of two BPSK signals from −10◦and 10◦on a ULA interspaced by
half-wavelength relative to the highest frequency, SNR: 20 dB, K = 256 and M = 1 Luo et al. EURASIP Journal on Advances in Signal Processing (2017) 2017:61 Page 8 of 13 Fig. 5 The 3D spectral-spatial spectrum of MUSIC with 100 times half-wavelength. 5
Simulation results The 3D spectral-spatial spectrum of MUSIC with two BPSK signals
from −10◦and 10◦impinging on a ULA interspaced by 100 times half-wavelength relative to the highest frequency, SNR: 20 dB, K = 256 and M = 1 Fig. 5 The 3D spectral-spatial spectrum of MUSIC with 100 times half-wavelength. The 3D spectral-spatial spectrum of MUSIC with two BPSK signals
from −10◦and 10◦impinging on a ULA interspaced by 100 times half-wavelength relative to the highest frequency, SNR: 20 dB, K = 256 and M = 1 Fig. 6 The spatial spectra of two sources with 100 times half-wavelength. The spatial spectra of two BPSK signals from −10◦and 10◦on a ULA
interspaced by 100 times half-wavelength relative to the highest frequency, SNR: 20 dB, K = 256 and M = 1 Fig. 6 The spatial spectra of two sources with 100 times half-wavelength. The spatial spectra of two BPSK signals from −10◦and 10◦on a ULA Fig. 6 The spatial spectra of two sources with 100 times half-wavelength. The spatial spectra of two BPSK signals from −10◦and 10◦on a ULA
interspaced by 100 times half-wavelength relative to the highest frequency, SNR: 20 dB, K = 256 and M = 1 Luo et al. EURASIP Journal on Advances in Signal Processing (2017) 2017:61 Page 9 of 13 Fig. 7 RMSE performance against various SNR (half-wavelength). RMSE performance against various SNR with half-wavelength relative to the
highest frequency, K = 256 and M = 1
Fig. 8 RMSE performance against the number of frequency bins (half-wavelength). RMSE performance against the number of frequency bins with
half-wavelength relative to the highest frequency, SNR: 0 dB and M = 1 Fig. 7 RMSE performance against various SNR (half-wavelength). RMSE performance against various SNR with half-wavelength relative to the
highest frequency, K = 256 and M = 1 Fig. 7 RMSE performance against various SNR (half-wavelength). RMSE performance against various SNR with half-wavelength relative to the
highest frequency, K = 256 and M = 1 Fig. 8 RMSE performance against the number of frequency bins (half-wavelength). RMSE performance against the number of frequency bins with
half-wavelength relative to the highest frequency, SNR: 0 dB and M = 1 Fig. 8 RMSE performance against the number of frequency bins (half-wavelength) RMSE performance against the number of frequency bins with Fig. 8 RMSE performance against the number of frequency bins (half-wavelength). 5
Simulation results RMSE performance against the number of frequency bins with
half-wavelength relative to the highest frequency, SNR: 0 dB and M = 1 Luo et al. EURASIP Journal on Advances in Signal Processing (2017) 2017:61 Page 10 of 13 Fig. 9 RMSE performance against various SNR (100 times half-wavelength). RMSE performance against various SNR with 100 times half-wavelength
relative to the highest frequency, K = 256 and M = 1 Fig. 9 RMSE performance against various SNR (100 times half-wavelength). RMSE performance against various SNR with 100 times half-wavelength
relative to the highest frequency, K = 256 and M = 1 Fig. 10 RMSE performance against the number of frequency bins (100 times half-wavelength). RMSE performance against the number of frequency
bins with 100 times half-wavelength relative to the highest frequency, SNR: 0 dB and M = 1 Fi
10 RMSE
f
i
t th
b
f f
bi
(100 ti
h lf
l
th) RMSE
f
i
t th
b
f f Fig. 10 RMSE performance against the number of frequency bins (100 times half-wavelength). RMSE performance against the number of frequency
bins with 100 times half-wavelength relative to the highest frequency, SNR: 0 dB and M = 1 Page 11 of 13 Luo et al. EURASIP Journal on Advances in Signal Processing (2017) 2017:61 wavelength relative to the highest frequency. We then fix
the directions of two signals at −10◦and 0◦and com-
pare the separation probabilities with respect to various
SNRs and different number of frequency bins. First, K is
fixed at 256 and SNR varies from −10 to 10 dB. The sepa-
ration probabilities of MD/MM, WCMSR, and SIF-OMP
are drawn in Fig. 12. Again, we can conclude from Fig. 12
that it is more potential to obtain 100% separation prob-
ability when the inter-spacing of the ULA is much larger
than half-wavelength. If the SNR is fixed at 0 dB and the
number of frequency bins varies from 128 to 1280, their
probabilities of separation are plotted in Fig. 13. The angu-
lar separation performance of SIF-OMP can be improved
when the number of utilized frequencies increases. inter-spacing of the ULA to 100 times half-wavelength
with respect to the highest frequency and keep the other
settings unchanged. Figure 9 plots the RMSEs of the
MD/MM and SIF-OMP algorithms with respect to var-
ious SNR. 5
Simulation results Again, we observe that the additional errors
affect the performance of the SIF-OMP method for low
SNR. Figure 10 shows the RMSEs of the MD/MM and SIF-
OMP algorithms against the number of frequency bins
when SNR equals 0 dB. These two algorithms both have
good performance. We then derive the separation probabilities of those
three algorithms in Figs. 11, 12, and 13. A successful sep-
aration is defined similarly with [15] when two conditions
are satisfied. (1) The amplitude of the highest pseudo-
peak is lower than half of that of the lowest signal peak
and (2) the bias of the DOA estimates is less than 3◦. In the first group of examples, the first source signal
is fixed at −10◦, and the second one varies from −4◦
to 10◦. For each angle separation, the experiments are
done by 100 trials. Figure 11 illustrates the separation
probabilities of MD/MM, WCMSR, and SIF-OMP at dif-
ferent angle separations. We observe from Fig. 11 that
WCMSR gets better results than MD/MM and SIF-
OMP when d equals to half-wavelength relative to the
highest frequency, whereas the MD/MM and SIF-OMP
algorithms can separate two BPSK signals with almost
100% probability when d is expanded to 100 times half- References 49(10),
2179–2191 (2001) = arg min
g
! K
k=1
M
m=1
yk,m −k,mg
2 + λ∥g∥0
"
(31) 7. YS Yoon, LM Kaplan, JH McClellan, TOPS: new DOA estimator for
wideband signals. IEEE Trans. Sig. Process. 54(6), 1977–1989 (2006) 7. YS Yoon, LM Kaplan, JH McClellan, TOPS: new DOA estimator for
wideband signals. IEEE Trans. Sig. Process. 54(6), 1977–1989 (2006) 8. N Hu, DY Xu, X Xu, ZF Ye, Wideband DOA estimation from the sparse
recovery perspective for the spatial-only modeling of array data. Sig.Process. 92(5), 1359–1364 (2012) 8. N Hu, DY Xu, X Xu, ZF Ye, Wideband DOA estimation from the sparse
recovery perspective for the spatial-only modeling of array data. Sig.Process. 92(5), 1359–1364 (2012) (31) As for the optimization problem of (26), we have the
following results: g
9. LZ Xu, KX Zhao, J Li, P Stoica, Wideband source localization using sparse
learning via iterative minimization. Sig. Process. 93(12), 3504–3514 (2013) g
9. LZ Xu, KX Zhao, J Li, P Stoica, Wideband source localization using sparse
learning via iterative minimization. Sig. Process. 93(12), 3504–3514 (2013) 9. LZ Xu, KX Zhao, J Li, P Stoica, Wideband source localization using sparse
learning via iterative minimization. Sig. Process. 93(12), 3504–3514 (2013) 10. ZQ He, ZP Shi, L Huang, HC So, Underdetermined DOA estimation for
wideband signals using robust sparse covariance fitting. IEEE Sig. Process. Lett. 22(4), 435–439 (2015) 10. ZQ He, ZP Shi, L Huang, HC So, Underdetermined DOA estimation for
wideband signals using robust sparse covariance fitting. IEEE Sig. Process. Lett. 22(4), 435–439 (2015) arg min
g
ξ −Dg
2 + λ∥g∥0
= arg min
g
gTDHDg −2gTDHξ + ξHξ + λ∥g∥0
= arg min
g
! gTg −2gTh +
K
k=1
M
m=1
yH
k,myk,m + λ∥g∥0
"
= arg min
g
! K
k=1
M
m=1
yk,m −k,mg
2 + λ∥g∥0
"
(32) 11. L Wang, LF Zhao, GA Bi, CR Wan, LR Zhang, HJ Zhang, Novel wideband
DOA estimation based on sparse Bayesian learning with Dirichlet process
priors. IEEE Trans. Sig. Process. 64(2), 275–289 (2016) 11. L Wang, LF Zhao, GA Bi, CR Wan, LR Zhang, HJ Zhang, Novel wideband
DOA estimation based on sparse Bayesian learning with Dirichlet process
priors. IEEE Trans. Sig. Process. 64(2), 275–289 (2016) 12. D Malioutov, M Cetin, A Willsky, A sparse signal reconstruction
perspective for source localization with sensor arrays. IEEE Trans. Sig. Process. 6
Conclusions In this paper, we present a new aliasing-free SIF algorithm
to solve the wideband DOA estimation problem. The SIF
algorithm utilizes all frequency bin information to recover
a SIV at the expense of introducing an additional system
error. By doing this, we reformulate the MD/MM prob-
lem as a single measurement vector recovery problem and
therefore reduce the unknown variables greatly. We show
that the additional system error can be neglected under
certain conditions. After using the binary property of the
SIV, we develop a SIF-OMP algorithm to estimate the SIV. We compare the performances of the SIF-OMP algorithm Fig. 11 Separationprobabilities against various angular separation. Separation probabilities against various angular separation, SNR = 0 dB and K = 256 Fig. 11 Separationprobabilities against various angular separation. Separation probabilities against various angular separation, SNR = 0 dB and K = 256 Luo et al. EURASIP Journal on Advances in Signal Processing (2017) 2017:61 Page 12 of 13 Fig. 12 Separation probabilities against various SNR. Separation probabilities against various SNR, source directions: −10◦, 0◦and K = 256 Fig. 12 Separation probabilities against various SNR. Separation probabilities against various SNR, source directions: −10◦, 0◦and K = 256 Fig. 13 Separation probabilities against the number of frequency bins. Separation probabilities against the number of frequency bins, source
directions: −10◦, 0◦and SNR = 0 dB Fig. 13 Separation probabilities against the number of frequency bins. Separation probabilities against the number of frequency bins, source Fig. 13 Separation probabilities against the number of frequency bins. Separation probabilities against the number of frequency bins, source
directions: −10◦, 0◦and SNR = 0 dB Luo et al. EURASIP Journal on Advances in Signal Processing (2017) 2017:61 Page 13 of 13 with other well-known methods by analyzing the per-
formance of wideband DOA estimation. The numerical
simulations demonstrate the performance of the proposed
algorithm. Appendices
Proof of Theorem 1 The constrained optimization problems (13) and (26) can
be converted to the following unconstrained optimization
problems respectively: Publisher’s Note Springer Nature remains neutral with regard to jurisdictional claims in
published maps and institutional affiliations. Funding g
This work was financially supported by the National Natural Science Major
Foundation of Research Instrumentation of China (Grant No. 61427808), by the
Key Foundation of China (Grant No. 61333009), and in part by the National Key
Basic Research Program of China (Grant No. 2012CB821204) in part by the
Natural Sciences and Engineering Research Council of Canada (NSERC) under
Grant RGPIN239031. 16. SF Cotter, BD Rao, K Engan, Kreutz-K Delgado, Sparse solutions to linear
inverse problems with multiple measurement vectors. IEEE Trans. Sig. Process. 53(7), 2477–2488 (2005) g
This work was financially supported by the National Natural Science Major
Foundation of Research Instrumentation of China (Grant No. 61427808), by the
Key Foundation of China (Grant No. 61333009), and in part by the National Key 16. SF Cotter, BD Rao, K Engan, Kreutz-K Delgado, Sparse solutions to linear
inverse problems with multiple measurement vectors. IEEE Trans. Sig. Process. 53(7), 2477–2488 (2005) Basic Research Program of China (Grant No. 2012CB821204) in part by the
Natural Sciences and Engineering Research Council of Canada (NSERC) under
Grant RGPIN239031. References 1. H Krim, M Viberg, Two decades of array signal processing research: the
parametric approach. IEEE Signal Proc.Mag. 13(4), 67–94 (1996) 1. H Krim, M Viberg, Two decades of array signal processing research: the
parametric approach. IEEE Signal Proc.Mag. 13(4), 67–94 (1996) p
pp
g
g
2. ZM Liu, ZT Huang, YY Zhou, Sparsity-inducing direction finding for
narrowband and wideband signals based on array covariance vectors. IEEE Trans. Wirel. Commun. 12(8), 1–12 (2013) p
pp
g
g
2. ZM Liu, ZT Huang, YY Zhou, Sparsity-inducing direction finding for
narrowband and wideband signals based on array covariance vectors. IEEE Trans. Wirel. Commun. 12(8), 1–12 (2013) where λ is the regularization parameter. We need to prove where λ is the regularization parameter. We need to prove 3. Q Shen, W Liu, W Cui, S Wu, YD Zhang, MG Amin, Low-complexity
direction-of-arrival estimation based on wideband co-prime arrays. IEEE
Trans. Audio Speech Lang. Process. 23(9), 1445–1456 (2015) 3. Q Shen, W Liu, W Cui, S Wu, YD Zhang, MG Amin, Low-complexity
direction-of-arrival estimation based on wideband co-prime arrays. IEEE
Trans. Audio Speech Lang. Process. 23(9), 1445–1456 (2015) arg min
g
ξ −Dg
2 + λ∥g∥0
≡arg min
g
Y −X(g)
2 + λ∥g∥0
. (30) (30) p
g
4. G Su, M Morf, The signal subspace approach for multiple wide-band
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and estimation of angles of arrival of multiple wide-band sources. IEEE
Trans.Acoust. Speech Sig. Process. 33(4), 823–831 (1985) Note from the expression of X(g) in (12), we can obtain arg min
g
Y −X(g)
2 + λ∥g∥0
= arg min
g
! K
k=1
M
m=1
yk,m −k,mg
2 + λ∥g∥0
"
(31) arg min
g
Y −X(g)
2 + λ∥g∥0 6. ED Di Claudio, R Parisi, WAVES: Weighted average of signal subspaces for
robust wideband direction finding. IEEE Trans. Sig. Process. 49(10),
2179–2191 (2001) 6. ED Di Claudio, R Parisi, WAVES: Weighted average of signal subspaces for
robust wideband direction finding. IEEE Trans. Sig. Process. Authors’ contributions J-AL conceived the proposed subband information fusion (SIF) approach. J-AL,
X-PZ, and ZW discussed and designed the SIF algorithm. J-AL performed the
experiments and wrote the paper. X-PZ and ZW reviewed and revised the
manuscript. All authors read and approved the manuscript. Received: 29 November 2016 Accepted: 7 August 2017 arg min
g
ξ −Dg
2 + λ∥g∥0
,
(28)
arg min
g
Y −X(g)
2 + λ∥g∥0
,
(29) arg min
g
ξ −Dg
2 + λ∥g∥0
,
(28)
arg min
g
Y −X(g)
2 + λ∥g∥0
,
(29) (28) References 53(8), 3010–3022 (2005) 13. M Hyder, K Mahata, Direction-of-arrival estimation using a mixed ℓ2,0
norm approximation. IEEE Trans. Sig. Process. 58(9), 4646–4655 (2010) 13. M Hyder, K Mahata, Direction-of-arrival estimation using a mixed ℓ2,0
norm approximation. IEEE Trans. Sig. Process. 58(9), 4646–4655 (2010) 14. Z Tang, G Blacquiere, G Leus, Aliasing-free wideband beamforming using
sparse signal representation. IEEE Trans.Sig. Process. 59(7), 3464–3469
(2011) (32) 15. Z Liu, Z Huang, Y Zhou, Direction-of-Arrival estimation of wideband
signals via covariance matrix sparse representation. IEEE Trans. Sig. Process. 59(9), 4256–4270 (2011) 15. Z Liu, Z Huang, Y Zhou, Direction-of-Arrival estimation of wideband
signals via covariance matrix sparse representation. IEEE Trans. Sig. Process. 59(9), 4256–4270 (2011) Author details 1Key Lab for IOT and Information Fusion Technology of Zhejiang, Hangzhou
Dianzi University, Hangzhou 310018, China. 2Department of Electrical &
Computer Engineering, Ryerson University, 350 Victoria Street, Toronto,
Ontario M5B 2K3, Canada. 3State Key Lab of Industrial Control Technology,
Zhejiang University, Hangzhou 310027, China. Competing interests The authors declare that they have no competing interests.
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https://openalex.org/W2615990115
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https://f1000research.com/articles/6-683/v2/pdf
|
English
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Metabolic reprogramming during the Trypanosoma brucei life cycle
|
F1000Research
| 2,017
|
cc-by
| 11,131
|
Terry K. Smith1*, Frédéric Bringaud
2*, Derek P. Nolan
3,
Luisa M. Figueiredo
4 1Biomedical Sciences Research Complex, University of St Andrews, Fife, UK
2Laboratoire de Microbiologie Fondamentale et Pathogénicité (MFP), UMR 5234 CNRS, Université de Bordeaux, Bordeaux, France
3School of Biochemistry and Immunology, Trinity Biomedical Sciences Institute, Trinity College Dublin, Dublin, Ireland
4Instituto de Medicina Molecular, Faculdade de Medicina, Universidade de Lisboa, Lisboa, Portugal 1Biomedical Sciences Research Complex, University of St Andrews, Fife, UK
2Laboratoire de Microbiologie Fondamentale et Pathogénicité (MFP), UMR 5234 CNRS, Université de Bordeaux, Bordeaux, France
3School of Biochemistry and Immunology, Trinity Biomedical Sciences Institute, Trinity College Dublin, Dublin, Ireland
4Instituto de Medicina Molecular, Faculdade de Medicina, Universidade de Lisboa, Lisboa, Portugal 1Biomedical Sciences Research Complex, University of St Andrews, Fife, UK * Equal contributors Open Peer Review
Approval Status
1
2
3
4
version 2
(revision)
18 May 2017
version 1
16 May 2017 First published: 16 May 2017, 6(F1000 Faculty Rev):683
https://doi.org/10.12688/f1000research.10342.1
Latest published: 18 May 2017, 6(F1000 Faculty Rev):683
https://doi.org/10.12688/f1000research.10342.2
v2 Abstract Cellular metabolic activity is a highly complex, dynamic, regulated
process that is influenced by numerous factors, including extracellular
environmental signals, nutrient availability and the physiological and
developmental status of the cell. The causative agent of sleeping
sickness, Trypanosoma brucei, is an exclusively extracellular protozoan
parasite that encounters very different extracellular environments
during its life cycle within the mammalian host and tsetse fly insect
vector. In order to meet these challenges, there are significant
alterations in the major energetic and metabolic pathways of these
highly adaptable parasites. This review highlights some of these
metabolic changes in this early divergent eukaryotic model organism. F1000Research 2017, 6(F1000 Faculty Rev):683 Last updated: 30 MAR 2022 F1000Research 2017, 6(F1000 Faculty Rev):683 Last updated: 30 MAR 2022 REVIEW
Metabolic reprogramming during the Trypanosoma
brucei life cycle [version 2; peer review: 4 approved]
Terry K. Smith1*, Frédéric Bringaud
2*, Derek P. Nolan
3,
Luisa M. Figueiredo
4
1Biomedical Sciences Research Complex, University of St Andrews, Fife, UK
2Laboratoire de Microbiologie Fondamentale et Pathogénicité (MFP), UMR 5234 CNRS, Université de Bordeaux, Bordeaux, France
3School of Biochemistry and Immunology, Trinity Biomedical Sciences Institute, Trinity College Dublin, Dublin, Ireland
4Instituto de Medicina Molecular, Faculdade de Medicina, Universidade de Lisboa, Lisboa, Portugal
*
F1000Research 2017, 6(F1000 Faculty Rev):683 Last updated: 30 MAR 2022 Keywords Any comments on the article can be found at the
end of the article. České Budějovice, Czech Republic
University of South Bohemia, České
Budějovice, Czech Republic
Canadian Institute for Advanced Research,
Toronto, Canada
Kenneth Stuart, Center for Infectious
Disease Research, Seattle, USA
2. Cynthia He Yingxin, National University of
Singapore, Singapore, Singapore
3. Christian Tschudi, Yale University, New
Haven, USA
4. Any comments on the article can be found at the
end of the article. České Budějovice, Czech Republic
University of South Bohemia, České
Budějovice, Czech Republic
Canadian Institute for Advanced Research,
Toronto, Canada
Kenneth Stuart, Center for Infectious
Disease Research, Seattle, USA
2. Cynthia He Yingxin, National University of
Singapore, Singapore, Singapore
3. Christian Tschudi, Yale University, New
Haven, USA
4. Any comments on the article can be found at the
end of the article. Corresponding author: Luisa M. Figueiredo (lmf@medicina.ulisboa.pt)
Competing interests: The authors declare that they have no competing interests. Grant information: TKS is supported by the Wellcome Trust, the Biotechnology and Biological Sciences Research Council, the
Engineering and Physical Sciences Research Council, the Medical Research Council (MR/M020118/1) and the European Community
Seventh Framework Programme under grant agreement 602773 (Project KINDRED). FB is supported by the Centre National de la
Recherche Scientifique (CNRS), the Université de Bordeaux, the Agence Nationale de la Recherche (ANR) through the GLYCONOV grant
(ANR-15-CE15-0025-01) of the ‘Générique’ 2015 call and the Laboratoire d’Excellence (LabEx) ParaFrap (grant ANR-11-LABX-0024). DPN is
supported by the Wellcome Trust and Science Foundation Ireland. LMF is supported by the Howard Hughes Medical Institute (55007419)
and the Fundação para a Ciência e a Tecnologia (FCT) (PTDC/BIM-MET/4471/2014). The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript. Copyright: © 2017 Smith TK et al. This is an open access article distributed under the terms of the Creative Commons Attribution License
, which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. How to cite this article: Smith TK, Bringaud F, Nolan DP and Figueiredo LM. Metabolic reprogramming during the Trypanosoma
brucei life cycle [version 2; peer review: 4 approved] F1000Research 2017, 6(F1000 Faculty Rev):683
https://doi.org/10.12688/f1000research.10342.2
First published: 16 May 2017, 6(F1000 Faculty Rev):683 https://doi.org/10.12688/f1000research.10342.1 Corresponding author: Luisa M. Figueiredo (lmf@medicina.ulisboa.pt) Corresponding author: Luisa M. Figueiredo (lmf@medicina.ulisboa.pt) Keywords Julius Lukes, Czech Academy of Sciences,
České Budějovice, Czech Republic
University of South Bohemia, Ceske
Budejovice, Czech Republic
Canadian Institute for Advanced Research,
Toronto, Canada
Alena Zikova, Czech Academy of Sciences,
1. Page 1 of 12 F1000Research 2017, 6(F1000 Faculty Rev):683 Last updated: 30 MAR 2022 Corresponding author: Luisa M. Figueiredo (lmf@medicina.ulisboa.pt)
Competing interests: The authors declare that they have no competing interests. Grant information: TKS is supported by the Wellcome Trust, the Biotechnology and Biological Sciences Research Council, the
Engineering and Physical Sciences Research Council, the Medical Research Council (MR/M020118/1) and the European Community
Seventh Framework Programme under grant agreement 602773 (Project KINDRED). FB is supported by the Centre National de la
Recherche Scientifique (CNRS), the Université de Bordeaux, the Agence Nationale de la Recherche (ANR) through the GLYCONOV grant
(ANR-15-CE15-0025-01) of the ‘Générique’ 2015 call and the Laboratoire d’Excellence (LabEx) ParaFrap (grant ANR-11-LABX-0024). DPN is
supported by the Wellcome Trust and Science Foundation Ireland. LMF is supported by the Howard Hughes Medical Institute (55007419)
and the Fundação para a Ciência e a Tecnologia (FCT) (PTDC/BIM-MET/4471/2014). The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript. Copyright: © 2017 Smith TK et al. This is an open access article distributed under the terms of the Creative Commons Attribution License
, which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. How to cite this article: Smith TK, Bringaud F, Nolan DP and Figueiredo LM. Metabolic reprogramming during the Trypanosoma
brucei life cycle [version 2; peer review: 4 approved] F1000Research 2017, 6(F1000 Faculty Rev):683
https://doi.org/10.12688/f1000research.10342.2
First published: 16 May 2017, 6(F1000 Faculty Rev):683 https://doi.org/10.12688/f1000research.10342.1
České Budějovice, Czech Republic
University of South Bohemia, České
Budějovice, Czech Republic
Canadian Institute for Advanced Research,
Toronto, Canada
Kenneth Stuart, Center for Infectious
Disease Research, Seattle, USA
2. Cynthia He Yingxin, National University of
Singapore, Singapore, Singapore
3. Christian Tschudi, Yale University, New
Haven, USA
4. Any comments on the article can be found at the
end of the article. České Budějovice, Czech Republic
University of South Bohemia, České
Budějovice, Czech Republic
Canadian Institute for Advanced Research,
Toronto, Canada
Kenneth Stuart, Center for Infectious
Disease Research, Seattle, USA
2. Cynthia He Yingxin, National University of
Singapore, Singapore, Singapore
3. Christian Tschudi, Yale University, New
Haven, USA
4. 1. Introduction Trypanosoma brucei is a unicellular protozoan parasite, transmit-
ted by the bite of tsetse flies (Glossina genus). Different species/
subspecies of trypanosomes infect a variety of different verte-
brates, including animals and humans. Human African trypano-
somiasis (HAT), also known as sleeping sickness, is caused by
two subspecies: Trypanosoma brucei gambiense and Trypanosoma
brucei rhodesiense. In recent years, the number of reported cases
of HAT has decreased steadily, falling to just about 6,000 in 20131. Other trypanosome species infect both domestic and wild animals,
causing animal African trypanosomiasis. The infection of livestock
has a major impact on the African economy, limiting the produc-
tion of milk and meat and the development of agriculture in areas
otherwise amenable to animal husbandry2. Throughout the life cycle, parasites encounter and adapt to very
different environments. In the mammalian host, such adaptations
include avoidance of the host immune system (by employing
antigenic variation) as well as metabolic adaptations to use avail-
able nutrients. For example, the brain glucose levels is normally
10–20% of blood levels8, whereas adipose tissue may be a bet-
ter source of lipids. In the tsetse fly vector, the parasites face a Trypanosomatids are also of intrinsic scientific interest as they
separated early (>600 million years ago) and have evolved differ-
ently from other well-studied eukaryotes3. T. brucei brucei (here
called T. brucei), a subspecies non-infectious to human, is by far Figure 1. Changes in metabolism during the life cycle of Trypanosoma brucei. T. brucei life cycle spans two hosts: a mammal (human,
cattle, wild animals) and the tsetse fly. As this protozoan parasite is extracellular, it adapts its metabolism to the available extracellular
nutrients. The two stages that have been better characterised in terms of metabolism are the bloodstream long slender and procyclic forms,
which mainly catabolise glucose and proline, respectively. Fewer studies have studied bloodstream short stumpy forms. In the mammalian
host, parasites accumulate in the interstitial spaces of several tissues, mainly the brain, skin and visceral adipose tissue (adipocytes
are shown as an example). The metabolism of parasites in these tissues remains mostly unknown, except for the activation of fatty acid
β-oxidation in parasites resident of the adipose tissue. Metabolism of metacyclic stage has not been characterised to date. TAO, trypanosome
alternative oxidase. Figure 1. Changes in metabolism during the life cycle of Trypanosoma brucei. T. Amendments from Version 1
REVISED This version 2 highlights an additional question of how the
parasite metabolism changes during the day to Section 5, as this
was missing from the previous version. See referee reports In the mammalian host, parasites exist in two stages: bloodstream
long slender form (B-LS), which doubles every 7 hours by binary
fission, and short stumpy form (B-SS), which is terminally cell
cycle–arrested (Figure 1). The differentiation from B-LS to B-SS
is irreversible and is triggered by a quorum-sensing mechanism7. The B-SS form is pre-adapted to life in the tsetse fly midgut7. These pre-adaptions probably help in the efficient differentiation
into the replicative procyclic forms (PFs). Eventually, PFs migrate
from the midgut to the proventriculus, where they further differen-
tiate into epimastigotes and later into metacyclics in the salivary
glands (Figure 1). The latter are cell cycle–arrested and are able to
re-colonise/re-infect a mammalian host when a tsetse fly takes a
blood meal. mpeting interests: The authors declare that they have no competing interests. Competing interests: The authors declare that they have no competing interests. Grant information: TKS is supported by the Wellcome Trust, the Biotechnology and Biological Sciences Research Council, the
Engineering and Physical Sciences Research Council, the Medical Research Council (MR/M020118/1) and the European Community
Seventh Framework Programme under grant agreement 602773 (Project KINDRED). FB is supported by the Centre National de la
Recherche Scientifique (CNRS), the Université de Bordeaux, the Agence Nationale de la Recherche (ANR) through the GLYCONOV grant
(ANR-15-CE15-0025-01) of the ‘Générique’ 2015 call and the Laboratoire d’Excellence (LabEx) ParaFrap (grant ANR-11-LABX-0024). DPN is
supported by the Wellcome Trust and Science Foundation Ireland. LMF is supported by the Howard Hughes Medical Institute (55007419)
and the Fundação para a Ciência e a Tecnologia (FCT) (PTDC/BIM-MET/4471/2014). t: © 2017 Smith TK et al. This is an open access article distributed under the terms of the Creative Commons Attrib
rmits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited How to cite this article: Smith TK, Bringaud F, Nolan DP and Figueiredo LM. Metabolic reprogramming during the Trypanosoma
brucei life cycle [version 2; peer review: 4 approved] F1000Research 2017, 6(F1000 Faculty Rev):683
https://doi.org/10.12688/f1000research.10342.2 Page 2 of 12 F1000Research 2017, 6(F1000 Faculty Rev):683 Last updated: 30 MAR 2022 F1000Research 2017, 6(F1000 Faculty Rev):683 Last updated: 30 MAR 2022 the best characterised. In the mammalian host, T. brucei parasites
colonise the blood and interstitial spaces of several tissues, includ-
ing the brain, adipose tissue and skin4–6. The presence of parasites
in the brain is associated with the appearance of the sleep disor-
der and neurological symptoms characteristic of later stages of the
disease1. the best characterised. In the mammalian host, T. brucei parasites
colonise the blood and interstitial spaces of several tissues, includ-
ing the brain, adipose tissue and skin4–6. The presence of parasites
in the brain is associated with the appearance of the sleep disor-
der and neurological symptoms characteristic of later stages of the
disease1. 2.2. Metabolic adaptations in eukaryotes 2.2. Metabolic adaptations in eukaryotes Textbooks on metabolism explain that in nutrient-rich conditions,
model unicellular organisms undergoing exponential growth often
use fermentation11. Proliferating cells in a multicellular organism
also metabolise glucose primarily through glycolysis, secreting
ethanol, lactate, or another organic acid such as acetate. When
unicellular organisms are starved of nutrients, they switch and rely
primarily on oxidative metabolism, as do terminally differenti-
ated cells in a multicellular organism. It is no surprise that there
are many exceptions to these generalised concepts, and as we will
describe below (Section 4), T. brucei is a quintessential example
of these exceptions. Most organisms derive energy from the breakdown of glucose,
by a process known as glycolysis, a universal and evolutionarily
ancient metabolic pathway, which converts glucose (6-carbon)
into pyruvate (3-carbon). Under aerobic conditions, pyruvate can
undergo further breakdown to acetyl coenzyme A (acetyl-CoA)
(2-carbon) and subsequently to carbon dioxide (CO2) via the
tricarboxylic acid (TCA) cycle with the concomitant production of
reducing equivalence (NADH and FADH2) and GTP. Transfer of
electrons from these reduced cofactors to oxygen via an electron
transport chain generates a proton electrochemical gradient across
the mitochondrial inner membrane that is used to generate ATP by
a membrane-bound ATP synthase, collectively a process termed
oxidative phosphorylation (OXPHOS). The complete oxidation
of each glucose molecule leads to the production of about 36 ATP
molecules, showing how OXPHOS is a very efficient mechanism
of producing energy. The metabolism of cells is a highly regulated process that is influ-
enced by numerous extracellular factors. For example, yeast uses
glucose from the environment as their preferred carbon source. Even in the presence of oxygen, glucose is converted into excreted
ethanol, with a low yield of ATP production. Although this process
may seem wasteful, it is a highly efficient way to support expo-
nential growth. When glucose levels are low, yeast undergoes a
diauxic switch to another carbon source, ethanol, which requires an
alteration of its mitochondrial metabolism. By using this alternative
carbon source, cells are able to continue to grow and divide, but at
a significantly reduced rate12. In the absence of oxygen, the glycolysis product (pyruvate or phos-
phoenolpyruvate) can be further metabolised by fermentation into
excreted end-products, such as lactate (for instance, in humans
during running) and ethanol (for instance, in yeast) in the cyto-
plasm, leading to the net production of two ATP molecules per
molecule of glucose consumed. 1. Introduction brucei life cycle spans two hosts: a mammal (human,
cattle, wild animals) and the tsetse fly. As this protozoan parasite is extracellular, it adapts its metabolism to the available extracellular
nutrients. The two stages that have been better characterised in terms of metabolism are the bloodstream long slender and procyclic forms,
which mainly catabolise glucose and proline, respectively. Fewer studies have studied bloodstream short stumpy forms. In the mammalian
host, parasites accumulate in the interstitial spaces of several tissues, mainly the brain, skin and visceral adipose tissue (adipocytes
are shown as an example). The metabolism of parasites in these tissues remains mostly unknown, except for the activation of fatty acid
β-oxidation in parasites resident of the adipose tissue. Metabolism of metacyclic stage has not been characterised to date. TAO, trypanosome
alternative oxidase. Page 3 of 12 Page 3 of 12 F1000Research 2017, 6(F1000 Faculty Rev):683 Last updated: 30 MAR 2022 Amino acids can also contribute to total energy production by
oxidation to urea and CO2. The first reaction is the removal of the
amino group by transaminases. While the amino group enters the
urea cycle, the ketoacid carbon skeletons typically enter the TCA
cycle and fuel OXPHOS. proteolytic rather than immune challenge and also have to adapt
to an environment that is free of glucose but rich in amino acids,
particularly proline9. T. brucei re-programmes its metabolism in
order to benefit from the nutrients available in the environment. In
this review, we will compare the metabolic differences that take
place during the T. brucei life cycle, highlighting the questions that
remain unanswered. To facilitate the understanding of this review
by a non-metabolism expert, we will first summarise the main
metabolic pathways present in most eukaryotic cells. The relative abundances of sugars, amino acids, and fatty acids
along with the availability of sufficient oxygen to use OXPHOS
influence which metabolic pathways are preferentially used to
produce ATP. Thus, the metabolic profile of a cell is a consequence
of the regulated expression of pathway-specific proteins and asso-
ciated transporters in response to extracellular nutritional and
environmental conditions10. 2. Basics of eukaryote metabolism 1. Multiple carbon sources for energy production All living organisms use adenosine triphosphate (ATP) as an
intracellular energy source. ATP is generated by the catabolism
(breakdown) of nutrients. The most common nutrients or carbon
sources are carbohydrates (such as glucose), fatty acids and amino
acids. 3.2. Trypanosomes have specific pathways and unique
enzymesi Kinetoplastida are of great intrinsic scientific interest as they have
diverged very early compared with most studied eukaryotic models
(for example, yeast, plants and animals), on which the founda-
tions of molecular, biochemical and cellular biology have been
built. Cytochrome oxidase (COX) is the terminal oxidase of the
mammalian electron transport chain and is responsible for the In contrast, ADP and ATP molecules can be exchanged between
the cytosolic and mitochondrial compartments through the Figure 2. Multiple pathways to produce ATP in trypanosomes. Catabolism of the most abundant carbon sources in procyclic form grown
in glucose-depleted (A) or in glucose-containing (B) conditions and in bloodstream long slender form (C). Excreted end-products from
glucose and proline degradation (pyruvate, acetate, succinate and alanine) are underlined. Arrows with different thicknesses tentatively
represent the metabolic flux at each enzymatic step. In (B), the direction of ADP/ATP exchange between the cytosol and the mitochondrion
(step 14) is unknown and is represented by double arrows. Key enzymatic steps: 1a, glycosomal phosphoglycerate kinase; 1b, cytosolic
phosphoglycerate kinase; 2, pyruvate kinase; 3, phosphoenolpyruvate carboxykinase; 4, glycosomal malate dehydrogenase; 5, cytosolic
fumarase (for simplification this reaction is placed in the glycosome); 6, glycosomal NADH-dependent fumarate reductase; 7, pyruvate
phosphate dikinase; 8, acetate:succinate coenzyme A-transferase, or ASCT; 9, acetyl-coenzyme A thioesterase; 10, succinyl-coenzyme
A synthetase; 11, trypanosome alternative oxidase; 12, respiratory chain; 13, F0F1-ATP synthase; 14, mitochondrial ADP/ATP exchanger. AcCoA, acetyl-coenzyme A; DHAP, dihydroxyacetone phosphate; G3P, glyceraldehyde 3-phosphate; Gly3P, glycerol 3-phosphate; MAL,
malate; PEP, phosphoenolpyruvate; PYR, pyruvate; SUC, succinate. Figure 2. Multiple pathways to produce ATP in trypanosomes. Catabolism of the most abundant carbon sources in procyclic form grown
in glucose-depleted (A) or in glucose-containing (B) conditions and in bloodstream long slender form (C). Excreted end-products from
glucose and proline degradation (pyruvate, acetate, succinate and alanine) are underlined. Arrows with different thicknesses tentatively
represent the metabolic flux at each enzymatic step. In (B), the direction of ADP/ATP exchange between the cytosol and the mitochondrion
(step 14) is unknown and is represented by double arrows. 2.2. Metabolic adaptations in eukaryotes to become memory cells maintain an oxidative metabolism, which
allows them to keep their quiescence and longevity. Regulatory
T (Treg) cells predominantly use OXPHOS for development and
survival15,16, while activated B cells show increased glucose uptake
and induction of glycolysis17. These examples demonstrate how
malleable metabolism is, as cells react to environmental factors
and signals to acquire new functions. 3. Trypanosomes have unusual metabolic features
3.1. Trypanosomes have a single mitochondrion and
glycosomes 3. Trypanosomes have unusual metabolic features
3.1. Trypanosomes have a single mitochondrion and
glycosomes Significant differential expression of mitochondrial and glyco-
somal proteins occurs during the life cycle21. Indeed, during the
differentiation of B-LS into PFs, degradation of glycosomes prob-
ably via autophagy is enhanced and new glycosomes with different
enzymatic contents are produced, so that parasites become
rapidly metabolically adapted to the new host environment22. In
fact, the differential expression of glycosomal and mitochondrial
proteins is a clear indicator of the difference in metabolic life styles
between the two major life-cycle stages of T. brucei. Trypanosomes are characterised by the presence of a dense network
of circularised interlocking rings of mitochondrial DNA termed
the kinetoplast, located within the large, single mitochondrion
of the cell. The single mitochondrion in PFs has a highly defined
branched structure with discoid cristae, whereas in the B-LS forms
the organelle is a less well-developed narrow tubular structure with
an acristate morphology similar to that of the promitochondrion
of anaerobic yeast18,19. T. brucei also contains peroxisome-like
organelles, named glycosomes, which contain the first six (PF) or
seven (B-LS) glycolytic enzymes3. Since the glycosomal membrane
is impermeable to ATP, no net ATP production occurs inside these
organelles. Thus, net ATP production from glycolysis occurs during
the cytoplasmic steps (Figure 2). 2.2. Metabolic adaptations in eukaryotes Although the flux through fermen-
tation can be very high, the pathway is energetically inefficient in
terms of ATP production. In the absence of oxygen, some micro-
organisms use nitrate ions, sulfate ions, and carbon dioxide as
final electron acceptors, in a process named anaerobic respiration. For example, the final product of glycolysis could be converted
into acetyl-CoA, which enters the TCA cycle or is converted into
acetate. The electrons are then donated to the final acceptor through
the mitochondrial electron transport chain. In mammals, most non-proliferating differentiated cells use
glycolysis and OXPHOS to generate ATP and convert glucose to
CO2 and H2O. However, most proliferating cancer cells convert
glucose into pyruvate and lactate (3-carbon) even under aerobic
conditions, a phenomenon known as the Warburg effect, named
after its discoverer11,13. Although this fermentation-like process is
intrinsically energetically less efficient, these cells use far higher
rates of glycolysis to meet their higher metabolite demand as they
divide faster. This metabolic reprogramming allows cancer cells to
rapidly produce the building blocks and increase total biomass for a
faster propagation time14. In many organisms, fatty acids can be catabolised via β-oxidation
in the mitochondria to again generate the 2-carbon unit acetyl-
CoA, which feeds into the TCA cycle and OXPHOS. Fatty acid
β-oxidation of a palmitate molecule (a fatty acid with 16 carbons
that is very abundant in mammalian adipocytes) can generate
106 ATP molecules. The balance between making and breaking
down fatty acids is tightly regulated. Major metabolic changes also take place when immune cells are
activated and initiate proliferation. When T cells are activated
upon infection or inflammation, gene expression is reprogrammed,
resulting in rapid growth, proliferation and the acquisition of new
effector functions. Effector T cells, like cancer cells, rely upon
aerobic glycolysis when proliferating11. In contrast, T cells destined Page 4 of 12 Page 4 of 12 F1000Research 2017, 6(F1000 Faculty Rev):683 Last updated: 30 MAR 2022 TbMCP5 mitochondrial ADP/ATP exchanger20. This exchanger
is required because oxidative phosphorylation does not occur
in B-LS and thus no ATP is generated inside this organelle. To
maintain the mitochondrial proton electrochemical gradient across
the mitochondrial membrane, the F1F0-ATPase operates in the
reverse direction, hydrolysing ATP into ADP (Figure 2). This unu-
sual way of generating a mitochondrial potential also implies that a
functional phosphate/H+ exchanger must be present. 3.2. Trypanosomes have specific pathways and unique
enzymesi Key enzymatic steps: 1a, glycosomal phosphoglycerate kinase; 1b, cytosolic
phosphoglycerate kinase; 2, pyruvate kinase; 3, phosphoenolpyruvate carboxykinase; 4, glycosomal malate dehydrogenase; 5, cytosolic
fumarase (for simplification this reaction is placed in the glycosome); 6, glycosomal NADH-dependent fumarate reductase; 7, pyruvate
phosphate dikinase; 8, acetate:succinate coenzyme A-transferase, or ASCT; 9, acetyl-coenzyme A thioesterase; 10, succinyl-coenzyme
A synthetase; 11, trypanosome alternative oxidase; 12, respiratory chain; 13, F0F1-ATP synthase; 14, mitochondrial ADP/ATP exchanger. AcCoA, acetyl-coenzyme A; DHAP, dihydroxyacetone phosphate; G3P, glyceraldehyde 3-phosphate; Gly3P, glycerol 3-phosphate; MAL,
malate; PEP, phosphoenolpyruvate; PYR, pyruvate; SUC, succinate. Page 5 of 12 Page 5 of 12 F1000Research 2017, 6(F1000 Faculty Rev):683 Last updated: 30 MAR 2022 via glycolysis (Figure 1 and Figure 2C). Unlike proliferative yeast
and tumour cells, B-LS does not undergo fermentation per se. In
fact, instead of being metabolised and generating ethanol or lactate,
most pyruvate in B-LS is immediately excreted, and only about
1% is fermented into succinate30,31. To oxidise the NADH produced
during glycolysis back to NAD+, B-LS consume large amounts of
oxygen that act as an electron acceptor in a reaction catalysed by
the unusual TAO. This type of glucose metabolism is uncommon
and does not fit textbook knowledge. Interestingly, B-LS cells also
tolerate anaerobic conditions where they convert glucose to equi-
molar amounts of glycerol and pyruvate, with a two-fold reduction
of the ATP production rate. reduction of oxygen to water. However, T. brucei possesses an
additional plant-like, non-energy-conserving terminal oxidase
called alternative oxidase (TAO). Indeed, B-LS forms are unique
in the sense that they do not use COX but rely on TAO (step 11 in
Figure 2C). TAO is 100-fold more expressed in B-LS than PFs and
thus is considered a potential drug target23. reduction of oxygen to water. However, T. brucei possesses an
additional plant-like, non-energy-conserving terminal oxidase
called alternative oxidase (TAO). Indeed, B-LS forms are unique
in the sense that they do not use COX but rely on TAO (step 11 in
Figure 2C). TAO is 100-fold more expressed in B-LS than PFs and
thus is considered a potential drug target23. Sphingolipids are a class of lipids important in cell recognition and
signal transmission. To date, T. brucei is the only organism known
to make all three types of sphingolipids (sphingomyelin, inositol-
phosphoceramide and ethanolamine-phosphoceramide). These
lipids are synthesised via four sphingolipid synthases (SLSs) that
are encoded by genes organised in a tandem array. 4. Metabolic adaptations during the Trypanosoma
brucei life cycle The bloodstream of a mammalian host is a very rich environment,
containing 5 mM of glucose, 95% to 99% oxygen saturation levels
and 0.6 to 0.8 g/mL proteins, including lipoproteins (low-density
lipoprotein and high-density lipoprotein). In contrast, when para-
sites are ingested by the tsetse during a blood meal, they end up in a
glucose-poor but amino acid-rich environment that is very different
from the mammalian bloodstream. Given that we can mimic these
growing conditions in vitro, most of our knowledge about meta-
bolic changes during the T. brucei life cycle originates from the
comparison between B-LS and PFs. 4.1. Amino acids: an abundant carbon source in the midgut
of the flyl The midgut of the tsetse fly has a temperature of about 28°C and a
variable pH and contains hardly any glucose, but is rich in amino
acids, such as proline (about 100 μM)9. It is well accepted that, in
a glucose-depleted environment, PFs primarily use proline for their
energy production25,26 (Figure 1), but catabolism of other amino
acids, such as threonine and leucine, is also used27,28. These latter
amino acids feed fatty acid biosynthesis and/or enter into the meval-
onate pathway to produce the building blocks to generate essen-
tial lipids, including isoprenoids and sterols. Proline is catabolised
within the mitochondrion and excreted from the cell as the end-
product alanine, with the production of several reduced cofactors,
which are reoxidised in the respiratory chain for ATP produc-
tion by OXPHOS (Figure 2A). However, if glucose is provided,
PFs adjust their metabolism and produce most of their ATP via
glucose degradation (glycolysis), even in the presence of proline
(Figure 2B)25,29. These findings highlight that these parasites, like
most other eukaryotes, are extremely flexible at adapting their
central metabolism to their environment. Thirdly and probably the most important reason for a higher rate
of glucose degradation in B-LS is that some biological proc-
esses require more ATP in B-LS compared with PFs. This is the
case of endocytosis, which is at least about 10-fold upregulated in
B-LS compared with PFs and other trypanosomatids37,38. The high
endocytic activity observed in B-LS is required for rapid recy-
cling of cell-surface glycosylphosphatidylinositol (GPI)-anchored
variant surface glycoprotein (VSG) for internalisation and removal
of bound antibodies, facilitating escape from the host immune
defences, but also for nutrient scavenging from the mammalian
host. 3.2. Trypanosomes have specific pathways and unique
enzymesi Sphingolipid
synthesis is highly controlled during development: a dedicated
inositolphosphoceramide synthase (SLS1) is highly upregulated in
B-SS parasites and maintained in PFs24. As a consequence of more
ceramide being used for inositolphosphoceramide synthesis, the
synthesis of sphingomyelin is reduced, causing an alteration in the
levels of phosphatidylinositol species. As mentioned above, although PFs rely upon proline in vivo, they
prefer glucose to produce ATP25. Interestingly, the rate of glucose
degradation is about 10-fold higher in B-LS than in PFs30,32. This
considerable difference is probably due to metabolic adaptations
developed by B-LS in response to a much higher ATP demand
compared with PFs. Firstly, B-LS replicate faster than PFs (dou-
bling times of about 7 and about 12 hours, respectively), which
means that theoretically B-LS should show a 1.5-fold higher
rate of ATP production. Secondly, the estimated number of ATP
molecules produced per glucose consumed is about two-fold
lower in B-LS. This difference is explained by the different strat-
egies used by B-LS and PFs to degrade glucose into excreted
end-products, which are mainly pyruvate in B-LS (Figure 2C)
and acetate plus succinate in PFs (Figure 2B)33. Indeed, at the
end of glycolysis, PFs convert pyruvate into acetate and ATP by
the
acetate:succinate
CoA-transferase
(ASCT)/succinyl-CoA
synthetase cycle34,35. This pathway accounting for about 70% of
the glycolytic flux in PFs is reduced to 5% in B-LS30. In addi-
tion, the glycosomal succinate fermentation pathway (steps 3–6 in
Figure 2B), pyruvate phosphate dikinase (step 7), and cytosolic
localisation of phosphoglycerate kinase (step 1b in Figure 2B)
improve the rate of ATP production within the cytosol of
PFs29,36. 4. Metabolic adaptations during the Trypanosoma
brucei life cycle Knockdown of actin resulted in a significant decrease (>70%)
in endocytic activity and clearance of anti-VSG antibodies by
B-LS forms, but did not significantly affect cellular ATP levels38,39. Surprisingly, measurement of the rates of pyruvate production and
oxygen consumption, under conditions identical to those employed
for the ATP and transferrin uptake assays, revealed a decrease
of about four-fold in both rates after a knockdown of 15 hours
(D. P. Nolan, unpublished data). Although the consumption of
glucose was not measured, these data suggest that membrane traf-
ficking in the B-LS may represent a significant additional ATP
demand compared with the PFs and even more surprisingly that 4.2. Glucose: differences in consumption rate and
efficiency of ATP production
So far, the only carbon source for ATP production described for
replicative bloodstream parasites is glucose, which is converted 4.2. Glucose: differences in consumption rate and
efficiency of ATP production So far, the only carbon source for ATP production described for
replicative bloodstream parasites is glucose, which is converted Page 6 of 12 F1000Research 2017, 6(F1000 Faculty Rev):683 Last updated: 30 MAR 2022 F1000Research 2017, 6(F1000 Faculty Rev):683 Last updated: 30 MAR 2022 F1000Research 2017, 6(F1000 Faculty Rev):683 Last updated: 30 MAR 2022 undergo several cycles of β-oxidation, releasing acetyl-CoA, which
could enter the TCA cycle, leading to the production of NADH and
FADH2, which could result in the production of ATP by OXPHOS. This hypothesis, however, implies that complexes III and IV of the
respiratory chain are active, and this has not been observed so far in
T. brucei mammalian forms. An alternative scenario is that the fatty
acid chains (normally, 16 carbon palmitate) released by adipocytes
are shortened through β-oxidation to enter an anabolic process in
order to produce complex lipids. The resulting acetyl-CoA could
be converted into acetate and lead to the production of one ATP
molecule by the action of ASCT enzyme. the rate of ATP utilisation may also influence its rate of production
via glycolysis. However, knockdown of actin also led to a rapid
cessation in cell division and eventual cell death, so the implica-
tions of these preliminary metabolic investigations may not be so
straightforward. Interestingly, although B-SS live in a glucose-rich environment,
they undergo morphological and gene expression alterations
that are consistent with a preparation to survive within the tsetse
midgut environment7,24 (Figure 1). These adaptions also include
increased sensitivity to specific environmental cues that signal
entry to the tsetse fly vector, as well as resistance to extracellular
acidic and proteolytic stress40,41. Given that B-SS are non-
proliferative and existent only in pleomorphic strains, it is more
difficult to obtain large and pure quantities of this life-cycle stage
in vitro. As a result, its metabolism has been less characterised. Nevertheless, we know that B-SS consume glucose and produce
pyruvate and intermediate levels of acetate42, suggesting that
metabolism is being pre-adapted to the conditions in which procy-
clic forms will live within the tsetse midgut. Transcriptomic studies
have confirmed the downregulation of several genes that encode
for components of the glycosomes and are involved in glucose
uptake and breakdown24. Genes upregulated in B-SS include TAO,
fructose-2,6- biphosphatase, specific membrane proteins, and
specific lipid biosynthesic genes, including TbSLS1 involved in
inositolphosphoceramide synthesis. 4.3. Lipids: responding to a great demand for myristate
h
bl
d
bl
i In the bloodstream, trypanosomes are able to survive extracellu-
larly in the mammalian host as they are coated by a dense homog-
enous layer of GPI-anchored VSGs. VSG coats are periodically
exchanged by a mechanism of antigenic variation, protecting para-
sites against the host’s innate and adaptive immune responses43. In B-LS forms, GPI anchors exclusively contain two myristate
molecules (14 carbon fatty acid); however, myristate is present at
very low levels within the mammalian bloodstream, which could
not sustain the B-SL demand44. Thus, it was initially thought that
de novo synthesis of myristate occurred via a type II prokaryotic-
like synthase45,46, but this synthesis is not sufficient for the
GPI requirement47. Hence, it has been discovered that T. brucei
uses four microsomal elongases, with different specificities, to
synthesise fatty acids in a stepwise manner47. These elongases
are responsible for the majority of de novo fatty acid synthesis in
T. brucei. In bloodstream forms, downregulation of the elongase
3 in the pathway (which converts C14 to C18) explains the high
production of myristate required for GPI anchors. However, much remains to be discovered. Some questions for the
future are the following: However, much remains to be discovered. Some questions for the
future are the following: • Besides the known glucose and proline transporters, what are
the transporters of other essential nutrients? • What is the signalling cascade that coordinates metabolism
remodelling? In most eukaryotes, two key kinases are involved
in nutrient sensing: target of rapamycin protein (TOR) and
AMP-activated kinase (AMPK). T. brucei, the eukaryote with
the most complex network of TOR proteins described so far,
is composed of four TOR proteins57, which are necessary
for cell proliferation. Interestingly, knockdown of one of
these proteins, TbTOR4, which appears to be kinetoplastid-
specific, caused irreversible differentiation of the B-LS form
into a quiescent form with properties very similar to those
of the B-SS form, which suggested that TbTOR4 negatively
regulates the slender-to-stumpy transition58. Activation of
AMPK also triggers differentiation to the quiescent B-SS • What is the signalling cascade that coordinates metabolism
remodelling? In most eukaryotes, two key kinases are involved
in nutrient sensing: target of rapamycin protein (TOR) and
AMP-activated kinase (AMPK). T. brucei, the eukaryote with
the most complex network of TOR proteins described so far,
is composed of four TOR proteins57, which are necessary
for cell proliferation. 4.2. Glucose: differences in consumption rate and
efficiency of ATP production Further biochemical studies
will be necessary to characterise and allow a better understanding
of B-SS metabolism. Tryponosoma cruzi also infects adipocytes (specialised cells of
adipose tissue) and is capable of consuming stored lipids48. It is
unclear how T. brucei, an extracellular parasite, accesses lipids
that are stored inside adipocytes, which constitute the largest
storage of lipids in a mammalian host. Inside adipocytes, the
stored triglycerides can be converted via lipolysis into fatty acids
and glycerol, which are eventually secreted. During a T. brucei
infection, animals typically lose weight and serum shows
hyperlipidaemia6,49. We speculate that during a T. brucei infection,
lipolysis is increased, leading to the secretion of fatty acids, which
could be readily taken up and used by parasites. 5. Concluding remarks and future perspectives 5 Co c ud
g e
a
s a d u u e pe spec
es
Fields such as immunometabolism emerged because of the devel-
opment of highly sensitive metabolomic approaches, including
untargeted metabolomic analysis, stable isotope labelling, mass
spectrometry, and nuclear magnetic resonance50–52. Researchers
discovered that during immune cell activation, the levels of many
metabolites undergo alterations and these changes are directly
linked to immune cell effector functions. In a way, the life cycle of
a pathogen is a series of irreversible differentiation steps, in which
the cells adapt to a new environment to perform new functions. In
addition, the use of modern metabolomics approaches has revealed
that T. brucei uses an incomplete TCA cycle in PFs53 and that pro-
line has a different fate in PFs depending upon high- or low-glucose
availability in the medium and has allowed the identification of the
carbon and nitrogen sources of essential metabolites53–56. 4.3. Lipids: responding to a great demand for myristate
h
bl
d
bl
i Interestingly, knockdown of one of
these proteins, TbTOR4, which appears to be kinetoplastid-
specific, caused irreversible differentiation of the B-LS form
into a quiescent form with properties very similar to those
of the B-SS form, which suggested that TbTOR4 negatively
regulates the slender-to-stumpy transition58. Activation of
AMPK also triggers differentiation to the quiescent B-SS Trindade et al. have shown that at the RNA level, parasites in
adipose tissue and blood are quite different and that many genes
associated with metabolism are differentially expressed6. Using
pulse-chase experiments with stable isotope-labelled myristate,
the authors showed that the first three enzymatic steps of fatty acid
β-oxidation were active in parasites occupying the adipose tissue. In this pathway, a fatty acid molecule is converted into acetyl-CoA
and a shorter fatty acid. The fate of each of these molecules remains
unknown. The most ‘classic’ scenario would be that fatty acids Page 7 of 12 F1000Research 2017, 6(F1000 Faculty Rev):683 Last updated: 30 MAR 2022 F1000Research 2017, 6(F1000 Faculty Rev):683 Last updated: 30 MAR 2022 F1000Research 2017, 6(F1000 Faculty Rev):683 Last updated: 30 MAR 2022 forms59. It is likely that some of these kinases are directly
involved in remodelling metabolism during the T. brucei life
cycle. It is interesting that changes in inositol metabolism
lead to perturbations in VSG gene expression, suggesting
that inositol metabolites are important for the control of this
B-LS-specific process60. encode for metabolic enzymes are circadianly regulated63. This
cycling expression pattern leads to two peaks of intracellular
ATP concentration, indicating that metabolism is indeed
under circadian control. How is this control achieved? Which
metabolic pathways are affected? Does this adaptation reflect
the circadian variation of nutrients in the host? • What is the metabolism of other stages of the life cycle? With
the possibility of generating in vitro multiple stages of tsetse
life cycle by overexpressing RBP661, it may be possible in the
near future to understand metabolism of epimastigotes and
metacyclics. The interplay between the host and pathogen and the influences
upon their respective metabolisms is likely to be complex but is
probably very significant since adaptation to nutrient availability
is a major driving force during evolution. With the help of new and
more sensitive biochemical and metabolic methodologies, it should
be possible to use systems biology approaches to simultaneously
characterise the metabolic changes undergone by parasites and host
during an infection and within different tissues. Grant information TKS is supported by the Wellcome Trust, the Biotechnology and
Biological Sciences Research Council, the Engineering and Physi-
cal Sciences Research Council, the Medical Research Council
(MR/M020118/1) and the European Community Seventh Frame-
work Programme under grant agreement 602773 (Project
KINDRED). FB is supported by the Centre National de la Recher-
che Scientifique (CNRS), the Université de Bordeaux, the Agence
Nationale de la Recherche (ANR) through the GLYCONOV
grant (ANR-15-CE15-0025-01) of the ‘Générique’ 2015 call and
the Laboratoire d’Excellence (LabEx) ParaFrap (grant ANR-11-
LABX-0024). DPN is supported by the Wellcome Trust and Sci-
ence Foundation Ireland. LMF is supported by the Howard Hughes
Medical Institute (55007419) and the Fundação para a Ciência e a
Tecnologia (FCT) (PTDC/BIM-MET/4471/2014). • What are the consequences of a T. brucei infection in the
host? Trypanosomiasis is characterised by decreased levels of
aromatic amino acids, especially tryptophan, in the host and
these levels are accompanied by the excretion of abnormal
amounts of aromatic ketoacids, such as indole-3-pyruvate62. It
was recently shown that B-LS generates indole-3-pyruvate by
transamination of tryptophan and secretes significant amounts
of this aromatic ketoacid. Indole-3-pyruvate appears to be
able to modulate the host inflammatory responses, which may
prolong host survival and thereby potentiate transmission of
the parasite to the tsetse fly vector and ensure completion of
the life cycle62. The roles of other secreted parasite metabolites
that can possibly modify the host’s metabolism remain to be
established. • What are the consequences of a T. brucei infection in the
host? Trypanosomiasis is characterised by decreased levels of
aromatic amino acids, especially tryptophan, in the host and
these levels are accompanied by the excretion of abnormal
amounts of aromatic ketoacids, such as indole-3-pyruvate62. It
was recently shown that B-LS generates indole-3-pyruvate by
transamination of tryptophan and secretes significant amounts
of this aromatic ketoacid. Indole-3-pyruvate appears to be
able to modulate the host inflammatory responses, which may
prolong host survival and thereby potentiate transmission of
the parasite to the tsetse fly vector and ensure completion of
the life cycle62. The roles of other secreted parasite metabolites
that can possibly modify the host’s metabolism remain to be
established. • How does the parasite metabolism change during the day? We have recently shown that, in T. brucei, many genes that The funders had no role in study design, data collection and
analysis, decision to publish, or preparation of the manuscript. Author contributions
All authors participated in the writing of the manuscript. Competing interests
The authors declare that they have no competing interests. Competing interests
The authors declare that they have no competing interests. 4.
Caljon G, van Reet N, De Trez C, et al.: The Dermis as a Delivery Site of 4.3. Lipids: responding to a great demand for myristate
h
bl
d
bl
i • Do other trypanosome species undergo similar or different
metabolic adaptations during their life cycle as they encounter
different environments? • What is the metabolism of slender and stumpy forms when
these occupy other tissues within the mammalian host? Trindade et al. have shown that at the RNA level, parasites
in adipose tissue and blood are quite different and that
many genes associated with metabolism are differentially
expressed6. It will be important in the future, perhaps for drug
development, to confirm these observations at protein and
metabolite levels not only in visceral adipose tissue but also
in the skin and importantly in the brain. • What is the metabolism of slender and stumpy forms when
these occupy other tissues within the mammalian host? Trindade et al. have shown that at the RNA level, parasites
in adipose tissue and blood are quite different and that
many genes associated with metabolism are differentially
expressed6. It will be important in the future, perhaps for drug
development, to confirm these observations at protein and
metabolite levels not only in visceral adipose tissue but also
in the skin and importantly in the brain. Author contributions
All authors participated in the writing of the manuscript. 1.
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22(5): 245–52. PubMed Abstract | Publisher Full Text acquiring and understanding global metabolite data. Trends Biotechnol. 2004;
22(5): 245–52. P bM d Ab
| P bli h
F ll T 58. Barquilla A, Saldivia M, Diaz R, et al.: Third target of rapamycin complex
negatively regulates development of quiescence in Trypanosoma brucei. Proc
Natl Acad Sci U S A. 2012; 109(36): 14399–404. PubMed Abstract | Publisher Full Text | Free Full Text | F1000 Recommendation 58. Barquilla A, Saldivia M, Diaz R, et al.: Third target of rapamycin complex
negatively regulates development of quiescence in Trypanosoma brucei. Proc
Natl Acad Sci U S A. 2012; 109(36): 14399–404. PubMed Abstract | Publisher Full Text | Free Full Text | F1000 Recommendation 51. Dettmer K, Aronov PA, Hammock BD: Mass spectrometry-based metabolomics. Mass Spectrom Rev. 2007; 26(1): 51–78. PubMed Abstract | Publisher Full Text | Free Full Text 52. Breitling R, Takano E: Synthetic Biology of Natural Products. Cold Spring Harb
Perspect Biol. 2016; 8(10): pii: a023994. PubMed Abstract | Publisher Full Text 59. Saldivia M, Ceballos-Pérez G, Bart JM, et al.: The AMPKα1 Pathway
Positively Regulates the Developmental Transition from Proliferation to
Quiescence in Trypanosoma brucei. Cell Rep. 2016; 17(3): 660–70. PubMed Abstract | Publisher Full Text | Free Full Text | F1000 Recommendation 53. van Weelden SW, Fast B, Vogt A, et al.: Procyclic Trypanosoma brucei do not
use Krebs cycle activity for energy generation. J Biol Chem. 2003; 278(15):
12854–63. PubMed Abstract | Publisher Full Text 60. Cestari I, Stuart K: Inositol phosphate pathway controls transcription of
telomeric expression sites in trypanosomes. Proc Natl Acad Sci U S A. 2015;
112(21): E2803–12. 63.
Rijo-Ferreira F, Pinto-Neves D, Barbosa-Morais NL, et al.: Trypanosoma
brucei metabolism is under circadian control. Nat Microbiol. 2017; 2: 17032.
PubMed Abstract | Publisher Full Text | Free Full Text | F1000 Recommendation Genomics. 2009; 10: 427.
PubMed Abstract | Publisher Full Text | Free Full Text PubMed Abstract | Publisher Full Text | Free Full Text | F1000 Recommendation Editorial Note on the Review Process Faculty Reviews are review articles written by the prestigious Members of Faculty Opinions. The articles
are commissioned and peer reviewed before publication to ensure that the final, published version is
comprehensive and accessible. The reviewers who approved the final version are listed with their names
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Faculty Reviews are review articles written by the prestigious Members of Faculty Opinions. The articles
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Version 2
Cynthia He Yingxin
Department of Biological Sciences, Centre for BioImaging Sciences, National University of Singapore,
Singapore, 117543, Singapore
Competing Interests: No competing interests were disclosed. 1. Christian Tschudi
Department of Epidemiology of Microbial Diseases, School of Public Health, Yale University, New
Haven, CT, USA
Competing Interests: No competing interests were disclosed. 2. Kenneth Stuart
Center for Infectious Disease Research, Seattle, WA, USA
Competing Interests: No competing interests were disclosed. 3. Julius Lukes
1 Biology Centre, Institute of Parasitology, Czech Academy of Sciences, České Budějovice, Czech
Republic
2 Faculty of Science, University of South Bohemia, Ceske Budejovice, Czech Republic
3 Canadian Institute for Advanced Research, Toronto, Canada
Competing Interests: No competing interests were disclosed. 4. Version 1
Christian Tschudi
Department of Epidemiology of Microbial Diseases, School of Public Health, Yale University, New
Haven, CT, USA
Competing Interests: No competing interests were disclosed. 1. Cynthia He Yingxin
Department of Biological Sciences, Centre for BioImaging Sciences, National University of Singapore,
Singapore, 117543, Singapore
Competing Interests: No competing interests were disclosed. 2. Kenneth Stuart
Center for Infectious Disease Research, Seattle, WA, USA
Competing Interests: No competing interests were disclosed. 3. Page 11 of 12 F1000Research 2017, 6(F1000 Faculty Rev):683 Last updated: 30 MAR 2022 PubMed Abstract | Publisher Full Text 54. Coustou V, Biran M, Breton M, et al.: Glucose-induced remodeling of
intermediary and energy metabolism in procyclic Trypanosoma brucei. J Biol
Chem. 2008; 283(24): 16342–54. PubMed Abstract | Publisher Full Text 56. Bringaud F, Biran M, Millerioux Y, et al.: Combining reverse genetics and nuclear
magnetic resonance-based metabolomics unravels trypanosome-specific
metabolic pathways. Mol Microbiol. 2015; 96(5): 917–26. PubMed Abstract | Publisher Full Text 63. Rijo-Ferreira F, Pinto-Neves D, Barbosa-Morais NL, et al.: Trypanosoma
brucei metabolism is under circadian control. Nat Microbiol. 2017; 2: 17032. PubMed Abstract | Publisher Full Text | Free Full Text | F1000 Recommendation 57. Saldivia M, Barquilla A, Bart JM, et al.: Target of rapamycin (TOR) kinase in Page 10 of 12 Page 10 of 12 Version 2 Cynthia He Yingxin
Department of Biological Sciences, Centre for BioImaging Sciences, National University of Singapore,
Singapore, 117543, Singapore
Competing Interests: No competing interests were disclosed. 1. Cynthia He Yingxin
Department of Biological Sciences, Centre for BioImaging Sciences, National University of Singapore,
Singapore, 117543, Singapore
Competing Interests: No competing interests were disclosed. 1. Christian Tschudi
Department of Epidemiology of Microbial Diseases, School of Public Health, Yale University, New
Haven, CT, USA
Competing Interests: No competing interests were disclosed. 2. Department of Epidemiology of Microbial Diseases, School of Public Health, Yale University, New
Haven, CT, USA
C
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d Kenneth Stuart
Center for Infectious Disease Research, Seattle, WA, USA
Competing Interests: No competing interests were disclosed. 3. Julius Lukes
4. Competing Interests: No competing interests were disclosed. Julius Lukes
1
4. 1 Biology Centre, Institute of Parasitology, Czech Academy of Sciences, České Budějovice, Czech
Republic 3 Canadian Institute for Advanced Research, Toronto, Canada 3 Canadian Institute for Advanced Research, Toronto, Canada
Competing Interests: No competing interests were disclosed. Competing Interests: No competing interests were disclosed. Version 1 Christian Tschudi
Department of Epidemiology of Microbial Diseases, School of Public Health, Yale University, New
Haven, CT, USA
1. Competing Interests: No competing interests were disclosed. Cynthia He Yingxin
Department of Biological Sciences, Centre for BioImaging Sciences, National University of Singapore,
Singapore, 117543, Singapore
Competing Interests: No competing interests were disclosed. 2. Kenneth Stuart
Center for Infectious Disease Research, Seattle, WA, USA
Competing Interests: No competing interests were disclosed. 3. g p
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Competing Interests: No competing interests were disclosed. p
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Kenneth Stuart
Center for Infectious Disease Research, Seattle, WA, USA
Competing Interests: No competing interests were disclosed. 3. Page 11 of 12 F1000Research 2017, 6(F1000 Faculty Rev):683 Last updated: 30 MAR 2022 Julius Lukes
1 Biology Centre, Institute of Parasitology, Czech Academy of Sciences, České Budějovice, Czech
Republic
2 Faculty of Science, University of South Bohemia, Ceske Budejovice, Czech Republic
3 Canadian Institute for Advanced Research, Toronto, Canada
Alena Zikova
1 Biology Centre, Institute of Parasitology, Czech Academy of Sciences, České Budějovice, Czech
Republic
2 Faculty of Science, University of South Bohemia, České Budějovice, Czech Republic
3 Canadian Institute for Advanced Research, Toronto, Canada
Competing Interests: No competing interests were disclosed. 4. The benefits of publishing with F1000Research:
Your article is published within days, with no editorial bias
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For pre-submission enquiries, contact research@f1000.com Julius Lukes
1 Biology Centre, Institute of Parasitology, Czech Academy of Sciences, České Budějovice, Czech
Republic
2 Faculty of Science, University of South Bohemia, Ceske Budejovice, Czech Republic
3 Canadian Institute for Advanced Research, Toronto, Canada
Alena Zikova
1 Biology Centre, Institute of Parasitology, Czech Academy of Sciences, České Budějovice, Czech
Republic
2 Faculty of Science, University of South Bohemia, České Budějovice, Czech Republic
3 Canadian Institute for Advanced Research, Toronto, Canada
Competing Interests: No competing interests were disclosed. 4. Julius Lukes
1 Biology Centre, Institute of Parasitology, Czech Academy of Sciences, České Budějovice, Czech
Republic
2 Faculty of Science, University of South Bohemia, Ceske Budejovice, Czech Republic
3 Canadian Institute for Advanced Research, Toronto, Canada
Alena Zikova
1 Biology Centre, Institute of Parasitology, Czech Academy of Sciences, České Budějovice, Czech
Republic
2 Faculty of Science, University of South Bohemia, České Budějovice, Czech Republic
3 Canadian Institute for Advanced Research, Toronto, Canada
Competing Interests: No competing interests were disclosed. 4. Julius Lukes
4. Page 12 of 12
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W4382291597.txt
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https://hup.sub.uni-hamburg.de/oa-pub/catalog/download/260/1961/1661
|
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|
Regesten der Jahre 1400–1440
| null | 2,021
|
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| 212,481
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Hamburgs Gedächtnis – die Threse des Hamburger Rates
Bd. II: 1400–1440
Hamburgs Gedächtnis –
die Threse des Hamburger Rates
Die Regesten der Urkunden im Staatsarchiv der
Freien und Hansestadt Hamburg
Bd. II: 1400–1440
Herausgegeben und bearbeitet von Jürgen Sarnowsky
unter Mitwirkung von Sebastian Kubon
Hamburg University Press
Verlag der Staats- und Universitätsbibliothek Hamburg
Carl von Ossietzky
Impressum
Bibliografische Information der Deutschen Nationalbibliothek
Die Deutsche Nationalbibliothek verzeichnet diese Publikation in der Deutschen Nationalbibliografie; detaillierte bibliografische Daten sind im Internet über https://portal.dnb.de/ abrufbar.
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DOI https://doi.org/10.15460/HUP.214
ISBN 978-3-943423-88-4
Covergestaltung
Hamburg University Press
Coverbbildung (Abbildungsnachweis)
Staatsarchiv der Freien und Hansestadt Hamburg 710-1 I Threse I, Nr. B18 (Regest Nr. 272);
Staatsarchiv der Freien und Hansestadt Hamburg 710-1 I Threse I, Nr. Tt 15 (Regest Nr. 93).
Druck und Bindung
Books on Demand (Norderstedt)
Verlag
Hamburg University Press, Verlag der Staats- und Universitätsbibliothek Hamburg Carl von
Ossietzky, Hamburg (Deutschland), 2021
https://hup.sub.uni-hamburg.de
Inhalt
Vorwort...................................................................................................................................7
Einführung.............................................................................................................................9
Das Projekt und der Bestand „Threse“
Die Erfassung der regestierten Stücke
Die Regesten
Der Apparat
9
11
11
12
Verzeichnisse...................................................................................................................... 17
Verzeichnis der Regesten
Abgekürzt zitierte Editionen und Literatur
Weitere Editionen und Literatur
Formale Hinweise
Abkürzungen für Währungen
Abkürzungen für Archive
17
96
100
102
103
103
Regesten der Jahre 1400–1440...................................................................................105
Nachträge und Korrekturen zu Band 1......................................................................537
Register..............................................................................................................................543
Register der verzeichneten Threse-Stücke
Register der Personennamen
Register der geographischen Namen
543
553
587
Über den Verfasser.........................................................................................................595
Vo r wo r t
Der vorliegende Band schließt an den 2014 erschienenen, von Nico Nolden, Jeanine Marquard und Jürgen Sarnowsky betreuten ersten Band mit den Regesten der
Stücke der Threse im Staatsarchiv Hamburg für die Jahre 1350 bis 1399 an, der im
Rahmen eines Projekts der Deutschen Forschungsgemeinschaft (DFG, 2010–2012)
begonnen und mit Eigenmitteln zu Ende geführt wurde. Auch dieser zweite Band
wurde durch die Förderung der DFG möglich (2015–2018 und Dezember 2018 bis Februar 2019). Er wurde als Teil eines Langzeitvorhabens konzipiert, das (mit zwei weiteren Bänden) die Erschließung aller Threse-Stücke bis zum Beginn der Reformation
zum Ziel hat. Sebastian Kubon legte trotz mancher vor allem technischer Probleme
zwischen 2015 und 2019 die Grundlagen, beschaffte Scans der Quellen, sichtete die
Literatur und erstellte 191 über den gesamten Zeitraum verteilte, meist kürzere
Regesten. Jürgen Sarnowsky ergänzte seit Januar 2019 die weiteren Regesten sowie
bisher noch fehlende Stücke, überarbeitete die vorhandenen Texte, fügte Hinweise
auf Editionen, Regesten und Literatur hinzu und erarbeitete die einleitenden Teile
und das Register. Der Druck wurde dann dankenswerterweise ebenfalls durch Mittel
der DFG ermöglicht.
Ich danke Sebastian Kubon für seine Unterstützung des Vorhabens und die
geleistete, wie immer gründliche Arbeit. Mein Dank gilt weiter den studentischen
Hilfskräften, vor allem Marlon Bäumer, die das Projekt bis Anfang 2019 begleitet
haben. Für die Fertigstellung des Bandes war zudem die Unterstützung des Staatsarchivs der Freien und Hansestadt Hamburg unverzichtbar, hier ist insbesondere Dr.
Diana Ascher für die Klärung offener Fragen und Corinna Jockel für die Beschaffung
der Digitalisate zu danken. Zu Dank verpflichtet bin ich ebenso Benedikt Kretzler
für die gründliche Einrichtung der Vorlage, Isa Jacobi für das Korrektorat und der
Hamburg University Press für die sorgfältige Betreuung der Drucklegung.
Jürgen Sarnowsky, im April 2021
Ei nf ü h ru n g
Das Projekt und der Bestand „Threse“
Der vorliegende zweite Band mit den Regesten der Urkunden und Briefe der Hamburger Threse aus den Jahren 1400–1440 schließt eng an den ersten, 2014 erschienenen Band an, der zwischen 2010 und 2012 mit Mitteln der Deutschen Forschungsgemeinschaft (DFG) und danach mit Eigenmitteln an der Universität Hamburg
erarbeitet wurde. Auch er wurde zunächst mit DFG-Förderung (2015–2019) begonnen, dann aber wesentlich (seit Februar 2019) durch die Eigenarbeit des Antragstellers abgeschlossen. Wie beim ersten Band gab es mancherlei Hindernisse, die
die Fertigstellung des Manuskripts verzögerten. Ein wesentlicher Grund war und
ist sicher die Disparität des Bestandes der Threse, denn noch bis kurz vor Abschluss
der Bearbeitung ergaben sich trotz der langen Vorarbeiten schon seit der ersten
Projektphase immer wieder Hinweise auf weitere Stücke, die aufzunehmen waren.
Neben den inzwischen dankenswerterweise durch das Staatsarchiv der Freien und
Hansestadt Hamburg digital umgesetzten, online zugänglichen (und dadurch erheblich leichter nutzbaren) Findmitteln, die letztlich auf den noch auf die Zeit Johann Martin Lappenbergs zurückgehenden Katalogen aufbauen, halfen dafür nicht
nur die seit dem 19. Jahrhundert in den Copiae Archivi gesammelten Abschriften,
sondern auch manche ältere und jüngere Drucke weiter. Dazu zählen nicht zuletzt
auch die seit dem späten 19. Jahrhundert kompilierten großen Editionsreihen zur
hansischen Geschichte.1
In Drucken und Regestenwerken finden sich auch immer wieder Hinweise auf
verlorene Stücke der Threse, denen zusammen mit einer Analyse der noch erhaltenen älteren Verzeichnisse von Urkunden der Threse in einem eigenen Projekt nachzugehen wäre. Die Bestandsgeschichte ist bereits im ersten Band näher dargestellt,
zusammen mit einigen Bemerkungen zu den Findmitteln.2 Einen tiefen Einschnitt
markierte der große Stadtbrand von 1842, nicht wegen der Verluste in der Threse
selbst, die separat lagerte und daher kaum betroffen war, sondern wegen des nahezu
1
HR I, HR II und HUB.
HG1, S. 12–21, vgl. die Übersichten über die Signaturen, neu eingefügte Gruppen ab 1823 und „Umbettungen“, S. 43–46; sowie Jürgen Reetz, Hamburgs mittelalterliche Stadtbücher, in: Zeitschrift des
Vereins für Hamburgische Geschichte 44 (1958), S. 95–139, hier bes. S. 101–106.
2
10
Einführung
kompletten Verlustes der Originalia Archivi aus dem Rathaus, die heute sicher wichtige Ergänzungen zum Threse-Bestand bieten würden. Dazu kamen die Verluste
an älteren Registern wie dem wohl schon um 1267 angelegten Liber [privilegiorum]
quadratus, der die Urkunden nach dem Rang der Aussteller geordnet enthielt (zuerst
kamen die geistlichen Privilegien von den Päpsten bis zu den Erzbischöfen, dann
die weltlichen von den Kaisern bis zu den regionalen Genossenschaften); auch die
ältesten Verzeichnisse des Threse-Bestands gingen im Brand verloren. Während
sich die im Zweiten Weltkrieg verlorenen Stücke oft mithilfe von Abschriften in den
Copiae Archivi rekonstruieren lassen, sind ältere, 1842 und früher verlorene Stücke
nur eher zufällig in älteren Drucken3 und Regestenwerken4 oder abschriftlich wie
im sogenannten „Kopialbuch des Jürgen Rose“ überliefert.5
Die Threse enthält heute aber auch zahlreiche Stücke, die nicht dem Hamburger Ratsarchiv entstammen, sondern aus anderen Überlieferungen eingefügt
wurden. Dazu zählen an erster Stelle zahlreiche Stücke, etwa 1200, die am Anfang
des 19. Jahrhunderts aus dem ehemaligen Archiv des Hamburger Domkapitels übernommen wurden, ebenso Dokumente einzelner Kirchen oder Klöster; so kamen
nach dem Brand etwa die drei Urkunden des Klosters Harvestehude in die Threse,
die allein aus dem Feuer gerettet werden konnten. Einige Verluste aus dem Bestand
des Domkapitelsarchivs lassen sich ähnlich aus älteren Drucken und knappen Regestenlisten erschließen.6 Das Virtuelle Hamburgische Urkundenbuch bietet daher
nicht nur Kurzregesten zu den bisher erfassten Threse-Stücken, sondern auch zahlreiche Ergänzungen aus anderen, sowohl weltlichen wie auch geistlichen, Überlieferungen.7
So ist z. B. von den Hamburger Stücken in Appendix C. to Mr [Charles Purton] Cooper’s Report on
the Fœdera [of Thomas Rymer], o. D. [London 1860], heute nur noch ein Teil in der Threse fassbar;
zwischen 1400 und 1440 handelt es sich nur um ein Stück, unten Nr. 228, ebd., S. 5–6. Allerdings
müsste im Einzelnen geprüft werden, ob die dort aufgenommenen, England betreffenden Urkunden
eventuell dem Bestand Senat (StAHH 111-1) entstammen.
3
Ergänzungen bietet z. B. die wesentlich auf älteren Drucken aufbauende Liste bei Schütze, S.
331–395, die allerdings nur sehr kurze Regesten enthält.
4
StAHH 311-1 I 406, wohl die Abschrift einer Abschrift des 1842 verbrannten „Liber emptionum“, vgl.
Sarnowsky, Sichern, bes. S. 471–472.
5
So sind eine Reihe der in der Sammlung von Staphorst gedruckten Stücke heute nicht mehr erhalten; Staphorst hat zudem ein inhaltlich sehr knappes, 847 Nummern umfassendes Verzeichnis von
Kapitelsurkunden gedruckt, das 1555 durch den Notar Joachim Niehusen angelegt wurde, als Dekan
und Kapitel das Archiv nach Lübeck bringen ließen, Staphorst I, 1, S. 473–519.
6
VirtHambUB, Übersichtsseite: http://www.spaetmittelalter.uni-hamburg.de/hamburgisches_ub/
ambUB.html (zuletzt eingesehen 19.2.2021). Die Zahl der Stücke wird stetig vermehrt. Aufgenommen
H
sind z. B. auch Regesten zu Abschriften in den Copiae Archivi, die nicht der Threse entstammende
Stücke erfassen.
7
Die Er fassung der regestier ten Stücke
11
Die Erfassung der regestierten Stücke
Der vorliegende Regestenband beschränkt sich jedoch auf die heute noch in der
Threse erhaltenen bzw. auf jene Stücke, die als nach 1842 verloren oder zurzeit nicht
auffindbar gelten können. Die Abschriften der Copiae Archivi wurden immer dann
herangezogen, wenn die Stücke selbst heute nicht mehr erhalten oder in einem so
schlechten Zustand sind, dass der Text kaum noch erkennbar ist. Die Abschriften der
Copiae Archivi konnten so aber auch herangezogen werden, um nach bisher nicht
erfassten Stücken der Jahre 1400–1440 zu suchen.8 Anders als im ersten Band bildet
nicht die physisch eigenständige Existenz die Grundlage der Zählung der aufgenommenen Stücke,9 sondern die Stücknummern spiegeln die in der Threse überlieferten Rechtsakte. Ein Vidimus erscheint so, zumindest wenn die originale Vorlage
und der Vidimus in den erfassten Zeitraum 1400–1440 fallen, zweimal, einmal mit
dem Datum der ursprünglichen Ausstellung, zum andern aber mit dem Datum der
Vidimierung. Dabei wird aber der Text nicht zweifach aufgenommen, sondern die
Erfassung des Vidimus bietet nur die rechtlich relevanten Teile des Rahmentextes.
Andererseits werden mehrere Ausfertigungen eines Textes, ein Original und die Abschrift oder auch ein Original und das Insert in einem Vidimus unter einer Nummer
zusammengefasst. Das führt dazu, dass die hier zusammengestellten 551 Regesten
zu Threse insgesamt den Inhalt von 585 Threse-Stücken zusammenfassen.10 Dazu
kommen drei weitere Stücke, die zusammen mit Inserten späterer Urkunden vier
Nachträge zum ersten Band zu den Jahren 1350–1399 bieten.11
Die Regesten
Die Abfolge der Regesten ist chronologisch, einzelne Stücke ohne (genaue) Daten
sind an den Anfang des anzunehmenden Zeitraums gestellt (um 1400 an den Anfang
des Jahres 1400; 1403–1408 an den Anfang des Jahres 1403 usw.), bei einem Terminus
Das wird jedoch dadurch erschwert, dass die Abschriften zwar meist die Signaturen, aber nicht den
Bestand nennen, dem die Originale entstammten. Das gilt etwa für die Urkunden aus dem Bestand
der Franziskaner (StAHH 611-3) mit den Signaturen Nr. B 5–B 6 c, die man leicht irrtümlich der Threse
zuordnen könnte.
8
9
So als Richtlinie zunächst in HG1, S. 24; ähnlich wie in diesem Band dann aber ebd., S. 27.
Dazu vgl. unten das Register der verzeichneten Threse-Stücke, das auch erkennen lässt, welche
Urkunden und Briefe für zwei Regesten herangezogen wurden.
10
11
Unter den sieben Nachträgen sind auch Korrekturen zu drei Stücken des ersten Bandes gelistet,
aber N1 (zu 1354) und N5–N7 (zu 1384, 1397, 1399) bieten ergänzende Regesten.
12
Einführung
ante quem steht das Stück genau vor dem genannten Termin („vor 1403 Juni 24“ ist
unmittelbar vor 1403 Juni 24 aufgenommen). Stücke gleichen Datums sind nach der
Reihenfolge der Signaturen aufgenommen.
Grundsätzlich orientieren sich die Regesten wie in Band 1 am Typus der Vollregesten.12 Ausgangspunkt der Regestierung waren die Urkunden und Briefe selbst
bzw. ergänzend die Abschriften der Copiae Archivi und weitere Überlieferungen.
Dabei wurden generell alle Namen und Ortsbezeichnungen erfasst, ebenso ausführlich alle rechtlich relevanten Inhalte, oft unter Ergänzung von wörtlichen Zitaten,
immer mit den Datumszeilen und wörtlicher Wiedergabe von Kanzleivermerken
auf den Rückseiten. Die Erfassung lehnt sich dabei bewusst eng an den Text an
und übernimmt in der Regel die Reihenfolge der Inhalte. Die Personennamen sind
immer in der Schreibweise der Vorlage übernommen (beim ersten Mal kursiv), die
Ortsnamen erscheinen – wo es möglich war – in moderner Fassung unter Angabe
der Schreibweise der Vorlage (kursiv), nicht identifizierte Ortsangaben sind kursiv
aufgenommen. Ergänzende Angaben zu den Personen in den Anmerkungen sind
bewusst kurz gehalten und beschränken sich auf eine knappe Einordnung.
Die Regesten wurden gegenüber dem ersten Band formal vereinfacht. Nach
dem Numerus currens stehen genaues Datum und Ort, wo sich diese ermitteln ließen. Es folgt das Regest, das immer mit der Datumszeile abschließt. Bei Notariatsinstrumenten ist am Ende zunächst die abschließende Datumszeile aufgenommen, die
jedoch meist nur verkürzte Angaben enthält, sodass danach jeweils die Eingangsformel mit den genauen Datumsangaben angeschlossen wurde, meist noch mit den
in der Urkunde danach angeführten Zeugen. Der veränderte Apparat besteht aus
bis zu fünf Teilen.
Der Apparat
Die „diplomatische Erörterung“ bietet die äußere Beschreibung der überlieferten
Stücke; dabei wurden allerdings die unter D klassifizierten Abschriften der Copiae
Archivi, bei denen es sich in der Regel um moderne Abschriften von Hand auf Papier
und nur in Ausnahmen um maschinenschriftliche Transkriptionen handelt, nicht
eigens aufgenommen. Unter „Überlieferung“ werden die zugrundeliegenden Threse-Stücke gelistet, dazu weitere Überlieferungen, allerdings für andere Bestände
im Staatsarchiv Hamburg neben der Threse und den Copiae Archivi nur in Ausnah-
12
HG1, S. 23, mit Hinweisen auf Literatur.
D er Apparat
13
mefällen.13 Für einige wenige Stücke sind Überlieferungen aus anderen Archiven,
insbesondere aus dem Archiv der Hansestadt Lübeck (AHL),14 mit aufgenommen.
Unter „Edition“, „Regest“ und „Erwähnung“ finden sich die entsprechenden Bearbeitungen der Threse-Stücke. Dafür wurden zwar insbesondere landesgeschichtliche Quellensammlungen, Darstellungen und Zeitschriften intensiv durchsucht, ein
Anspruch auf Vollständigkeit kann jedoch nicht erhoben werden.
Auf die Klassifizierung nach Dokumententypen wurde in diesem Band verzichtet, weil sie meist nicht eindeutig möglich ist. Die zahlreichen „offenen Briefe“
haben zugleich Urkunden-Charakter, ebenso sind die immer als solche gekennzeichneten Notariatsinstrumente (unter Nennung des Notars mit Diözese und kaiserlicher oder päpstlicher Autorisierung), Vidimi und Transsumpte zwar verschiedene
Urkundenformen, lassen sich aber oft nicht klar unterscheiden (wie ein Vidimus
auch zusätzlich Notariatsinstrument sein kann). Die „diplomatische Erörterung“
bietet daher nur teilweise eine Einordnung; auf die zu allgemeine Kennzeichnung
als Urkunde wurde verzichtet. Unter einem Vidimus wird hier immer die Bestätigung einer von einer dritten Instanz ausgestellten Urkunde verstanden, unter
einem Transsumpt die Wiederaufnahme bzw. Bestätigung durch die ursprüngliche
Instanz (z. B. das Domkapitel oder der Erzbischof von Bremen).
Die Wiedergabe der Eigennamen, wörtlichen Zitate, Datumszeilen und Kanzleivermerke entspricht den neueren Vorgaben in der Geschichtswissenschaft.15 Die
Schreibweise folgt eng den Vorlagen. Die Groß- und Kleinschreibung wurde insofern
normalisiert, als nur Orts- und Personennamen, Monate und Festtage von Heiligen
großgeschrieben sind (wobei die Abweichungen zu den Vorlagen gering sind). Eine
gewisse Normalisierung erfolgte auch bei der Nutzung von v und u bzw. j und i jeweils für den konsonantischen und vokalischen Gebrauch. Daten wurden immer in
moderne Formen umgesetzt (meist zusätzlich mit wörtlicher Wiedergabe der Datierung im Text), bei möglicherweise abweichenden Jahresanfängen (Weihnachtsstil)
wurde das Datum in der Regel angepasst. Römische oder ausgeschriebene Zahlenangaben wurden in arabische Zahlen umgesetzt, für Währungen sind Abkürzungen eingeführt. Wörtliche Zitate und Erläuterungen stehen in runden Klammern.
Auslassungen sind durch drei Punkte in eckigen Klammern […] gekennzeichnet,
13
Eine solche Ausnahme bilden die auch als Abschrift im „Kopialbuch des Jürgen Rose“ erhaltenen
Stücke.
Nr. 168, 244–46 und 282. Weiter sind Stücke aus den Stadtarchiven Lüneburg und Stralsund (Nr.
192) sowie aus dem RA Den Haag (Nr. 350) erwähnt, die wichtige weitere Überlieferungen darstellen.
14
Vgl. u. a. Dieter Heckmann, Leitfaden zur Edition deutschsprachiger Quellen (13.–16. Jahrhundert),
in: Preußenland N. F. 3 (2012), S. 7–13.
15
14
Einführung
Ergänzungen und unsichere Stellen sind generell in eckige Klammern gestellt. Das
betrifft insbesondere die relativ schlecht erhaltenen Threse-Stücke, bei denen zusätzlich auf die Copiae Archivi und weitere Überlieferung zurückgegriffen werden
musste, aber auch die durch Feuchtigkeitsflecke, Nachdunklung und Abnutzung
sowie teilweise durch den flüchtigen Charakter der Notizen oft nur schwer lesbaren
Kanzleivermerke auf den Rückseiten.
Die einzelnen Stücke sind in der Rubrik „Überlieferung“ ähnlich wie im ersten
Band mit Buchstaben gekennzeichnet, die sich wesentlich an ihrer groben chronologischen Einordnung orientieren. Dabei gibt es kleinere Abweichungen zum ersten
Band; im Einzelnen bedeuten:
A, A1 ... An
Originale/weitere Ausfertigungen
C, C1 ... Cn
frühneuzeitliche Abschriften/Transsumpte/Vidimi (bis ca. 1800)
B, B1 ... Bn
D, D1 ... Dn
Zeitgenössische Abschriften/Transsumpte/Vidimi (bis ca. 1500)
neuzeitliche Überlieferungen, z. B. in Form von Abschriften in den
Copiae Archivi im Staatsarchiv der Freien und Hansestadt Hamburg
Die anschließende Angabe von Archivsignaturen folgt den Findmitteln des Staatsarchivs. Als problematisch erwies sich dabei, wie schon im ersten Band,16 dass sich
oftmals unter einer Signatur mehrere Stücke finden. Im Laufe der Archivgeschichte
wurde dabei offenbar zunächst eine Unterscheidung nach Buchstaben eingeführt
(etwa in der Serie Gg 28 a–t), bei anderen Signaturen sind die verschiedenen Stücke
mit arabischen Ziffern in Klammern bezeichnet (etwa für P 17 (1), (3), (11a) und
(11b)). Analog dazu wurde für bisher noch nicht (klar) differenzierte Stücke unter
einzelnen Signaturen eine neue Zählung mit arabischen Ziffern in eckigen Klammern eingeführt (etwa für Oo 128 [1], [2] und [3]). Diese Ergänzung der Signaturen
gilt nur für den vorliegenden Band.
Das Register der verzeichneten Threse-Stücke gibt eine nach Signaturen geordnete Übersicht über die erfassten Dokumente. Die Register der Personen- und
geographischen Namen erschließen allein die Regesten, nicht die einleitenden Teile
des Bandes (die ja ihrerseits auf den Regesten aufbauen). Im Ortsregister wurden
für Hamburg immer nur die einzelnen Straßen und Kirchen aufgenommen, nicht
die Erwähnungen der Stadt als Ganze. Die Einträge folgen den Schreibweisen der
Vorlagen; sie sind nur zusammengefasst (auch mit Varianten der Schreibweise),
16
Vgl. HG1, S. 24.
D er Apparat
15
wenn eine Identität vermutet werden kann.17 Der Bei- bzw. Familienname ist zuerst aufgenommen, Ausnahmen bilden die Herrscher und Geistliche (insbesondere
Bischöfe und Äbte). Bei den oft abweichend notierten friesischen Namensformen
wurde, wo es sinnvoll erschien, die Reihenfolge der Vorlage beibehalten.18 Die eckigen Klammern bei Namen verweisen wie bei den Transkriptionen auf Ergänzungen
und unsichere Stellen.
Auf ein Sachregister wurde verzichtet, da die vorgesehene online-Fassung
auch ein Durchsuchen des Textes erlaubt.
So wird Y bei I und J zusammengefasst; Namen mit der Schreibweise C und K werden an einer Stelle
(nach der Zahl der Belege) zusammengezogen, wenn eine Identität vermuten werden kann. Sonst
werden aber die Namen je nach den belegten Schreibweisen bei C, K und Z bzw. bei F und V sowie bei
S, Tz und Z gelistet. Hochgestellte Zeichen wie bei ue werden bei der Reihung nicht berücksichtigt.
17
18
Dann wurde auf das Komma zwischen Bei- bzw. Familiennamen und Vornamen verzichtet.
Ve rzeich n is s e
Verzeichnis der Regesten
1
2
3
4
5
6
7
8
9
[um 1400] — Gg14
Frederik van Langelge erklärt Lüneburg, Hamburg und Lübeck die Fehde ....105
[um 1400] — Gg 15
Ghereet van Nuͦssen erklärt Hamburg die Fehde .................................................105
[um 1400] — Ll 51
Nyclowes van Holme, Berteld van Hee und fünf andere Stockholmer
an Kersten Miles und Marquard Schreye, Bürgermeister von Hamburg:
bezeugen dass Michel Hannekensone und Torkel Jensen ihren Hering
rechtmäßig gefangen haben ....................................................................................105
[um 1400] — N 54b
Hamburg an Lüneburg: bitten um Hilfe für Hans Ronneborn im Streit
Koneke Hezebeke .......................................................................................................106
[um 1400] — Ll 56
Nienburg an Hamburg: bitten um Hilfe für Hinrik Luders bei den Hamburger Englandfahrern .............................................................................................106
[1400/1402] — Gg 18 [2]
Gheverd Schulte der Jüngere, Hamburger Amtmann zu Harburg, an
Hamburg: besteht auf der Zahlung von Schonungsgeld durch die von
Fleestedt ......................................................................................................................107
[1400/1405] — Gg 18 [3]
Ortghis Bere erklärt Hamburg die Fehde ...............................................................107
1400.04.23 — Kk 7
Gheverd Schulte der Jüngere, Hamburger Amtmann zu Harburg: macht
bekannt, dass er von Lübeck. Hamburg und Lüneburg 900 m. für das
Schloss in Harburg aufgenommen habe ................................................................108
1400.06.08 — Ff 2
Äbte, Prälaten, Dekane, Greetmannen, gemeine Richter in Westergo
und Oestergo erklären, dass sie keine Vitalienbrüder aufnehmen wollten, die den Kaufmann schädigen ...........................................................................108
18
10
11
12
13
14
15
16
17
18
19
Ver zeichnisse
1400.06.21 — Pp 33
Der Rat von Lüneburg bezeugt den Verkauf eines halben Wispel Salzes
von Ludolfus de Estorpe an Otto de Herslo, Hamburger Domherrn, für
240 lüneb. m. ...............................................................................................................109
1400.07.13 — Rr 71
Nikolaus von Werder, Lübecker Propst, Thesaurar der Hamburger
Kirche, an Dekan und Kapitel zu Hamburg: stimmt dem Wiederaufbau
seines Hauses durch und für den Vikar Hinricus Cracht alias de Hemme zu .. 110
1400.09.08 — Q 30 (7)
Erich [IV.] Herzog von Sachsen[-Lauenburg] bestätigt den Verkauf des
Schlosses Ritzebüttel durch Wolder und Alverik Lappe an Hamburg ..............110
1400.09.08 — Q 67
Alverik Lappe und Ghese Lappe bevollmächtigen Ludeke Wulffhagen
zur Erhebung ihrer Rente von Hamburger Rat ....................................................112
1400.11.14 — Cc 4
21 Männer der Stadt Brielle geloben, dem Hamburger Rat für ihre
Gefangenschaft 400 gld. zu zahlen oder sich nächste Ostern wieder zu
stellen, und schwören Urfehde ...............................................................................112
1400.11.19 — Cc 5
Elf Männer aus Schiedam, Vlaardingen und Rotterdam geloben, dem
Hamburger Rat für ihre Gefangenschaft 400 gld. zu zahlen oder sich
nächste Ostern wieder zu stellen, und schwören Urfehde .................................113
1400.11.21 — Cc 6
Johan Peterssone aus Heusden gelobt, dem Hamburger Rat für seine
Gefangenschaft 10 gld. zu zahlen oder sich nächste Ostern wieder zu
stellen, und schwört Urfehde ..................................................................................114
1400.11.29 — Cc 7
Ludeke van Dymen aus Amsterdam gelobt, dem Hamburger Rat für
seine Gefangenschaft 30 m. zu zahlen oder sich nächste Ostern wieder
zu stellen, und schwört Urfehde .............................................................................114
1400.11.29 — Cc 8
Johan Sticker aus Amsterdam gelobt, dem Hamburger Rat für seine
Gefangenschaft 40 m. zu zahlen oder sich nächste Ostern wieder zu
stellen, und schwört Urfehde ..................................................................................115
1400.12.17 — Cc 21
Claws van [Wormeren] aus Amsterdam schwört Urfehde ..................................115
Ver zeichnis der Regesten
20
21
22
23
24
25
26
27
28
29
30
19
1400.12.29 — Q 68
Ghevert Schulte der Ältere und Ghevert Schulte der Jüngere quittieren
Hamburg den Empfang von 60 m. für die Erben des Wolder Lappe ..................116
1401.01.07 — Cc 9
Jacob Here aus Amsterdam schwört Urfehde .......................................................116
1401.01.08 — Cc 10
Jacob Hinrikessone aus Haarlem schwört Urfehde ..............................................117
1401.01.08 — Cc 11
Jacob Johanssone aus Rotterdam schwört Urfehde .............................................117
1401.01.08 — Cc 12
Peter Robertessone aus Amsterdam gelobt, dem Hamburger Rat für
seine Gefangenschaft bis nächste Ostern 15 m. zu zahlen, und schwört
Urfehde ........................................................................................................................118
1401.01.22 — Cc 13
Ysebrand Symonssone und Johan Clawessone aus Monnickendam
schwören Urfehde .....................................................................................................118
1401.01.27 — Cc 14
Rulef Johanssone, Peter Johanssone, Dyrk und Jacob Myliessone aus
Hoorn geloben, dem Hamburger Rat 1401 Mai 1 100 gld. für ihre Gefangenschaft zu zahlen, dazu Kostgeld, und versprechen die Leistung von
Urfehde; Dyrk und Jacob leisten Einlager ..............................................................119
1401.01.27 — Cc 15
Blanke Hermen, Keyser, Bruͦder, Peter Peterssone und Johan de Wale
aus Hoorn geloben, dem Hamburger Rat 1401 Mai 1 300 gld. für ihre Gefangenschaft zu zahlen, dazu Stockgeld und Kostgeld, und versprechen
die Leistung von Urfehde; Peter und Johann leisten Einlager ...........................120
1401.01.29 — Cc 16
Blanke Hermen und Broder aus Hoorn (Horne) versprechen Johann van
der Slus, Hamburger Bürger, die Zahlung von 21 m. Kostgeld bis 1401 Mai 1 .120
1401.01.30 — Cc 17
Claws de Wale aus Monnickendam und seine Söhne Johan Moͤnensone
und Peter Ostland geloben, dem Hamburger Rat 1401 Mai 1 für ihre Gefangenschaft 50 gld. zu zahlen, dazu Kostgeld und 26 sol., und versprechen die Leistung von Urfehde; Peter bleibt als Geisel ......................................121
1401.02.05 — Cc 18
Tyese Rode, sein Sohn Alard und neun weitere Personen aus Stavoren
erklären, Urfehde geschworen zu haben ...............................................................122
20
31
32
33
34
35
36
37
38
39
40
Ver zeichnisse
1401.02.05 — Cc 19
Anna Ludeken Rodensoͤne aus Stavoren hat geschworen, dass ihr Sohn
Dodo 1401 Mai 1 in Hamburg Urfehde schwören wird ........................................122
1401.02.21 — Q 69
Alveric Lappe, Knappe, quittiert dem Hamburger Rat die Zahlung von
180 m. ..........................................................................................................................123
1401.02.22 — T 15
Papst Bonifaz IX. an den Propst der Hamburger Kirche: erlaubt die
Resignation von Johannes Neppe, Pfarrer in Tellingstedt ..................................124
1401.03.09 — Cc 22
Claws Dyrkessone aus Wieringen schwört Urfehde ............................................124
1401.03.12 — Tt 40, Tt 41
Werner Miles, Dekan, und das Hamburger Domkapitel bestätigen eine
Vikariestiftung von Kersten Miles, Bürgermeister Hamburgs ..........................125
1401.04.14 — N 44
Bürgermeister, Ratsherren und Bürger der Stadt Lüneburg bestätigen
die Höhe der mit Hilfe der Kapitel und Räte zu Hamburg und Lübeck zu
zahlenden Schuldsumme von 123 000 m. .............................................................126
1401.04.14 — Pp 34
Rat und Bürger der Stadt Lüneburg einigen sich mit Tiderik Abt zu
Reinfeld sowie den Kapiteln und Räten zu Hamburg und Lübeck über
die Belastung der Lüneburger Sülzgüter und der Lüneburger Bürger
zur Abzahlung der Schulden Lüneburgs ................................................................127
1401.04.14 — Pp 35
Bürgermeister, Rat und Bürger der Stadt Lüneburg versprechen Tiderik
Abt zu Reinfeld sowie den Kapiteln und Räten zu Hamburg und Lübeck
die Einhaltung der Vereinbarungen über die Salinen in Lüneburg ..................128
1401.05.20 — Cc 20
Alte van Horne schwört Urfehde ............................................................................129
1401.09.13 — Ss 22
Werner Miles, Dekan, und das Domkapitel zu Hamburg regeln das
Präsentationsrecht über die einst vom Domherrn Hartwicus de Salina
ausgestattete Vikarie am Altar St. Vincentii im Dom, das an seinen
Verwandten Hinricus Viscule, Bürgermeister Lüneburgs, übergehen solle ...130
Ver zeichnis der Regesten
41
42
43
44
45
46
47
48
49
21
1401.09.23 — Q 70
Alveric Lappe, Knappe, quittiert dem Hamburger Rat die Zahlung von
180 m., auch im Namen Ghezes, der Witwe des Wolder Lappe ..........................131
1401.09.29 — Q 71
Alveric Lappe, Knappe, quittiert dem Hamburger Rat die Zahlung von
300 m. für 30 m. Rente, die der Rat auf seine Bitte von der Gesamtsumme von 180 m. Rente abgelöst habe ........................................................................131
[vor 1402.01.03] — Gg 17
Johan de Cluver, Ritter, die van Owmunde, die van der Hude, die van
Wersbe und die van dem Schonenbeke erklären Hamburg die Fehde,
sofern ihre Forderungen nicht erfüllt werden .....................................................132
1402.02.28 — Kk 35
Der Rat des Weichbildes Krempe bezeugt, sich mit Hamburg bezüglich
der 21 m. und 5 sol. jährlicher, an das Heilig-Geist-Spital zu Hamburg zu
zahlenden Rente geeinigt zu haben .......................................................................132
1402.02.28 — O 16
Johan und Clawes Struͦke, Brüder, Sachwalter der nachfolgenden Angelegenheit, und sieben weitere Personen quittieren den Empfang von
60 m. von den Dithmarschern, ausgezahlt vom Hamburger Rat .......................133
1402.03.07 — Ll 12
Albrecht Pfalzgraf bei Rhein, Herzog in Bayern, Graf von Hennegau,
Holland und Seeland, Herr von Friesland, verlängert der Stadt Hamburg den bestehenden Waffenstillstand bis Dezember 25 .................................133
1402.03.07 — Bb 17, Q 25 (6)
Hauptleute und Gemeine des Kirchspiels Nordleda nehmen auf Befehl
Herzog Erichs [IV.] von Sachsen[-Lauenburg] Bürgermeister und Ratsherren der Stadt Hamburg als Amtsleute des Landes Hadeln an ......................134
1402.03.17 — Ee 52
Hauptleute und Gemeine des Kirchspiels Neuenkirchen nehmen auf
Befehl Herzog Erichs [IV.] von Sachsen[-Lauenburg] Bürgermeister und
Ratsherren der Stadt Hamburg als Amtsleute des Landes Hadeln an ..............135
1402.03.17 — Q 25 (8), Q 30 (8)
Hauptleute und Gemeine des Kirchspiels Osterbruch nehmen auf
Befehl Herzog Erichs [IV.] von Sachsen[-Lauenburg] Bürgermeister und
Ratsherren der Stadt Hamburg als Amtsleute des Landes Hadeln an ..............135
22
50
51
52
53
54
55
56
57
58
59
60
61
Ver zeichnisse
1402.03.17 — Q 25 [10], Q 30 (9)
Hauptleute und Gemeine des Kirchspiels Süderleda nehmen auf Befehl
Herzog Erichs [IV.] von Sachsen[-Lauenburg] Bürgermeister und Ratsherren der Stadt Hamburg als Amtsleute des Landes Hadeln an ......................136
1402.03.17 — Q 25 [1] und [2]
Hauptleute und Gemeine des Kirchspiels Odisheim nehmen auf Befehl
Herzog Erichs [IV.] von Sachsen[-Lauenburg] Bürgermeister und Ratsherren der Stadt Hamburg als Amtsleute des Landes Hadeln an ......................137
1402.03.17 — Q 25 [3]
Hauptleute und Gemeine des Kirchspiels Ihlienworth … [wie Nr. 51] ..............137
1402.03.17 — Q 25 [4] und [5]
Hauptleute und Gemeine des Kirchspiels Lüdingworth … [wie Nr. 51] ............138
1402.03.17 — Q 25 [7]
Hauptleute und Gemeine des Kirchspiels Altenbruch … [wie Nr. 51] ...............138
1402.03.17 — Q 25 [9]
Hauptleute und Gemeine des Kirchspiels Otterndorf … [wie Nr. 51] ................138
1402.03.17 — Q 25 [11]
Hauptleute und Gemeine des Kirchspiels Steinau … [wie Nr. 51] ......................139
1402.03.17 — Q 25 [12] und [13]
Hauptleute und Gemeine des Kirchspiels Wanna … [wie Nr. 51] .......................139
1402.05.01 — Tt 62
Hinric Bergherdorp, Hamburger Bürger, bezeugt, dass Vrederic Schaak,
Vikar an St. Petri Hamburg, ihm das Haus am Pferdemarkt für 4 m.
jährlicher Rente übergeben habe ...........................................................................139
1402.05.04 — Nn 103, Ss 89 (3)
Otto [I.], Graf von Holstein-Pinneberg, und sein Sohn Adolf [IX.(X.)],
bekennen, Propst, Dekan und Domkapitel zu Hamburg zur Ausstattung
zweier Vikarien 13 m. Rente aus Rellingen verkauft zu haben ..........................140
1402.05.13 — In Xx 58
Bonifaz IX. beauftragt den Abt des Klosters St. Peter und Paul zu
Paderborn, Fridericus Deys, Scholaster des Doms zu Hamburg, bei der
Abschaffung irregulärer Schulen in privaten Häusern Hamburgs zu
unterstützen ...............................................................................................................141
1402.09.05 — O 35
Vögte, Kirchspielsvorsteher, geschworene Räte und Gemeine des
Landes Dithmarschen bezeugen den Abschluss eines Friedens mit den
[Grafen] von Holstein ................................................................................................142
Ver zeichnis der Regesten
62
63
64
65
66
67
68
69
70
23
1402.10.07 — Q 72
Alveric Lappe, Knappe, und Ghese, Witwe des Wolder Lappe, quittieren
Hamburg den Empfang von 150 m. Rente .............................................................142
1402.11.01 — Tt 14
Wernerus, Dekan, und das Domkapitel zu Hamburg bestätigen die
Vermehrung der Einkünfte der Vikarie am Altar des Apostels Thomas
und des hl. Ägidius in St. Petri mit 15 m. Renten durch Thomas Ove,
Hamburger Bürger ....................................................................................................143
1402.12.08 — in Xx 58
Conradus, Abt des Klosters St. Peter und Paul zu Paderborn, an den
Erzbischof von Bremen und die geistlichen und weltlichen Instanzen
der Bistümer Verden, Ratzeburg, Lübeck und Schwerin: befiehlt auf
Anweisung Papst Bonifaz IX. zugunsten des Magisters Fridericus Deys
die Einstellung des Unterrichts an den irregulären Schulen in Hamburg ......144
[um 1403] — Gg 11
Otto [II.], Erzbischof von Bremen, an Hamburg: teilt mit, dass ihn Ernst
Buͤck ungemahnt geschädigt habe und dass er gegen ihn vorgehen
wolle, ohne vom Rat gemahnt zu werden .............................................................145
[1403–1408] — Ff 1 a
Arnd Wessendorp an Hamburg: erklärt die Ankündigung der Fehde,
wenn sie ihm für seinen Dieb und seine gestohlene Habe nicht Ersatz
leisteten und das Unrecht, das Tymme und Bruneke von Kaden geschehen sei, nicht ausglichen ..........................................................................................145
[1403–1408] — Ff 1 b
Jasper Stubbestorp, Peter Smalstede und acht andere erklären Hamburg wegen der von Kaden die Fehde ....................................................................146
[1403–1408] — Ff 1 c
Clawes Kid erklärt Hamburg wegen der von Kaden die Fehde ...........................147
[1403–1408] — Ff 1 d
Clawes dor dem Busk kündigt Hamburg die Fehde an, wenn sie ihrer
Verpflichtung gegenüber den von Kaden nicht nachkommen ..........................147
[1403–1408] — Ff 1 e
Clawes Kid an Lemmeke Mildehovet, Vogt von Hamburg, Hartych Stake,
Raven Hobsenberch sowie Zuper und Henneke Hacke: Fehdebrief wegen der Angelegenheit von Tyme und Brunneke von Kaden .............................148
24
71
72
73
74
75
76
77
78
79
Ver zeichnisse
1403.02.12 — Ss 23
Wernerus, Dekan, und das Hamburger Domkapitel bestätigen die Einigung zwischen Nicolaus Grube, Vikar am Dom, und Wernerus Gherbode, Vikar an St. Nicolai, über die Vereinigung zweier Gärten ............................148
1403.04.23 — Pp 66
Johan Grabow und Johan van der Molen der Jüngere, Lüneburger Ratsherren, bezeugen, dass Johan Heynen, ihr Bürger, der St. Johanniskirche zu Lüneburg zum Bau 24 sol. lüneb. Rente überlassen habe .......................149
1403.05.02 — Ff 1 f
Heinrich, Graf von Holstein, an die Stadt Hamburg: bestätigt Eingang
ihres Briefes wegen der von Kaden .........................................................................150
1403.06.10 — Ff 1 g
Heinrich, Graf von Holstein, an Hamburg: Waffenruhe mit den von
Kaden bis Juni 24 .......................................................................................................150
[vor 1403.06.24] — Gg 18 [1]
Rechnungszettel [der für die Schuldentilgung zuständigen Lüneburger
Amtsleute] über Einnahmen und Ausgaben aus den Abgaben [der Rentner der Lüneburger Saline] ......................................................................................151
1403.06.30 — Ff 1 h
Heinrich, Graf von Holstein, an Hamburg: bestätigt den Eingang ihres
Briefs zur Waffenruhe mit den von Kaden bis August 15 ...................................152
1403.08.14 — I 3, I 1 a [1]-[2]
Albrecht, Graf von Hennegau, Holland und Seeland, macht bekannt,
dass er in Absprache mit seinem Rat und den Städten Hollands und
Seelands der Stadt Hamburg eine Reihe von Privilegien erteilt habe ..............152
1403.08.16 — Ff 1 i
Heinrich, Graf von Holstein, an Hamburg: teilt mit, dass Marquard van
Sigghem mit den Lübeckern über den Streit zwischen den Hamburgern
und den von Kaden verhandelt habe, auch über die Verlängerung der
Waffenruhe bis September 8 ....................................................................................153
1403.09.23 — Ff 1 k
Heinrich, Graf von Holstein, an Hamburg: erinnert an die Verhandlungen der Ratsherren Marquard und Albert Schreyge mit ihm über ihren
Konflikt mit den von Kaden; die Waffenruhe mit diesen könne so lange
bestehen, bis er ihnen schreibe ...............................................................................154
Ver zeichnis der Regesten
80
81
82
83
84
85
86
87
25
1403.10.09 — Ff 3
Otto (II.), Erzbischof von Bremen, teilt mit, dass sich vor ihm Clawes
und Hinrik, Henneken Gherwens Kinder, wegen des Todes von Henneke
Gherwens mit Hamburg versöhnt haben ..............................................................155
1403.11.03 — Ff 1 l
Heinrich, Graf von Holstein, an Hamburg: bestätigt den Empfang ihres
Briefes zum Frieden mit den von Kaden, der so lange bestehen solle, bis
er ihnen acht Tage vorher schreibe ........................................................................155
1403.11.19 — Ll 13
Albrecht, Graf von Hennegau, Holland und Seeland, quittiert Hamburg
den Empfang von 2000 Nobel gemäß dem Schiedspruch von Gent ..................156
1404.04.04 — Ff 1 m
Heinrich, Graf von Holstein, an Hamburg: bestätigt den Empfang ihres
Briefes zum Frieden mit den von Kaden, der so lange bestehen solle, bis
er ihnen acht Tage vorher schreibe ........................................................................156
1404.05.21 — Ss 30
Wernerus, Dekan, und das Hamburger Domkapitel bestätigen, dass vor
ihnen Johannes Werneri alias dictus Gherbode, Kantor am Dom, für
135 m. zugunsten zweier Vikarien 9 m. jährlicher Rente, zu zahlen von
seiner Kanonikerkurie, verkauft habe ...................................................................157
1404.07.21 — Q 73
Woͤleke Lappe, Sohn des Wolder Lappe und der Gheze, nun Frau des
Heyne Hardenacke, und Alveric Lappe, Knappe, bekennen, sich mit
Heyne, Hamburger Bürger, und Gheze darauf geeinigt zu haben, dass
diese von 90 m. Rente seines Vaters Wolder beim Rat von Hamburg
jährlich 30 m. bekommen sollen .............................................................................158
1404.07.24 — Gg 118
Thomas de Firmo, Meister der Dominikaner, sagt den Reitendienern
der Stadt Hamburg und ihrer Bruderschaft die Teilhabe an den frommen Werken seines Ordens zu .................................................................................158
1404.07.30 — Q 74
Alveric Lappe, Knappe, bekennt, sich mit Syverde van Boekwolde,
Knappe, wegen dessen Ehefrau Beke, der Witwe seines Bruders Woleke,
in Bezug auf die 6 m. Rente, ihrer Morgengabe, beim Rat von Hamburg,
geeinigt zu haben .......................................................................................................159
26
88
89
90
91
92
93
94
Ver zeichnisse
1404.08.06 — Q 75
Alveric Lappe quittiert für sich und Ghese, die Witwe des Wolder Lappe,
der Stadt Hamburg den Empfang von 150 m. Pfennigen mit Fälligkeitstermin vom letzten September 29 ........................................................................159
1404.10.04 — R 4 b
Notariatsinstrument des Johannes Sasse, der bestätigt, dass vor ihm
Kopeke Wolmers erklärt habe, dass er den Vikaren Johannes Ludeke,
Johannes Bornessen, Hinricus Crevet und Johannes Verdis für 40 m.
4 m. Rente aus seinem Hof und von 6 Morgen Ackerland in Alt-Stillhorn
verkauft habe ..............................................................................................................160
1404.10.18 — Q 76
Alveric Lappe quittiert für sich und Ghese, die Witwe des Wolder Lappe,
der Stadt Hamburg den Empfang von 150 m. Pfennigen mit Fälligkeitstermin vom letzten September 29 ........................................................................161
1404.11.09 — Q 77
Hinrik Broekman, Lübecker Bürger, bekennt, für Syverd von Buekwolde
30 m. von den Kämmerern Hamburgs aus der Rente des Alverik Lappe
mit Fälligkeit von September 29 empfangen zu haben, welche Alverik
an Sywerd übertragen habe .....................................................................................161
1404.12.17 — Gg 19
Rutghert van Sellingdorpe, Johan van Bardelaghe, Johan und Borchard
Grympe, Steneke van dem Hamme, Sander van Holle, Eghert Zemmel,
Erp Hoye, Ludeman Yesse und Langhe Brand, Knappen, bestätigen den
Empfang von Sold und Schadenersatz von Hamburg für ihren Dienst
gegen den Herrn von Wenden .................................................................................162
1404.12.28 — Tt 15
Wernerus, Dekan, und das Hamburger Domkapitel nehmen die Stiftung
der Beke, Witwe des Tydeman Tolner, von 15 m. Renten zur Ausstattung einer ewigen Vikarie in St. Petri unter kirchlichen Schutz und
errichten die Vikarie .................................................................................................162
[nach 1405.06.06] — Bb 16 a
Die Hamburger Bürger in Holland an Herzog Wilhelm, Graf von Hennegau, Holland und Seeland, seinen Rat und seine Städte: beschweren
sich über den erlittenen Schaden durch die Verletzung ihrer Privilegien
und des Schiedsspruchs von Gent ...........................................................................163
Ver zeichnis der Regesten
95
96
97
98
99
27
1405.10.27 — Q 78
Siverd van Bokwolde zu Johanstorp, Knappe, an die Stadt Hamburg:
bittet um die ihm noch zustehenden 30 m. von 60 m., die Alverik Lappe
für ihn und seine Ehefrau an sie überwiesen habe ..............................................164
1405.10.31 — Q 79
Hinrik Brockman, Lübecker Bürger, quittiert für Syverdes van Buckwolde den Empfang von 30 m. von den Kämmerern Hamburgs aus der
Rente Alverikes Lappe, fällig 1405 September 29 .................................................165
1405.11.06 — Q 81
Alverik Lappe quittiert den Empfang von 90 m. wegen seines verstorbenen Vetters Wolder Lappe sowie den Empfang von 60 m. wegen seiner
Rente mit Fälligkeitstermin 1405 September 29 .................................................165
1405.12.18-25 — Ss 42
Clawes Rybe, Hamburger Bürger, verkauft Dekan und Kapitel zu Hamburg zugunsten der Vikarie des Altars St. Thomas am Dom für 75 m.
5 m. jährlicher Rente auf seinem Haus im Cremon ..............................................166
1406.04.25 — Ww 7
Hinrik van dem Berghe, Ratsherr zu Hamburg, überlässt mit Zustimmung seiner Erben den Priestern an St. Jacobi 2 m. jährlicher Rente zu
seiner memoria .........................................................................................................166
100 [1406.05.30] — Ff 1 n
Heinrich, Graf von Holstein, an Hamburg: habe ihren Brief über einen
Stillstand zwischen ihnen und den von Kaden von Pfingsten bis Juni 24
erhalten; teilt mit, diese seien einverstanden ......................................................168
101 1406.07.26 — Uu 20
Wernerus, Dekan, und das Hamburger Domkapitel nehmen die Stiftung
des Hamburger Bürgers Meynardus Oldendorp von 20 m. jährlicher
Rente unter kirchlichen Schutz und errichten auf seine Bitte die Vikarie am Altar St. Jacobi in Nicolai ..............................................................................168
102 1406.09.09 — Pp 36
Wernerus, Dekan, und das gesamte Kapitel zu Hamburg, bekennen,
dass von den drei Wispeln Salz aus der Lüneburger Saline, gekauft vom
Nonnenkonvent in Lüne für 1500 m., ein ganzer Wispel Salz Otto de
Herslo, Hamburger Domherr, gehöre, der 500 m. von seinem eigenen
Geld gegeben habe .....................................................................................................169
28
Ver zeichnisse
103 1406.11.17 — Vv 40
Notariatsinstrument des Johannes Sasse, der bestätigt, dass Johannes
Lutow und seine Frau Wobbeke erklärt hätten, dass sie zu ihrem eigenen Seelenheil und für Wobbekes Söhne eine Messestiftung in St. Katharinen mit 24 m. Renten ausstatten wollten ......................................................170
104 1406.12.13 — Q 30 (10), Q 30 (11)
Alverick Lappe bestätigt den Übergang des Schlosses Ritzebüttel an
Hamburg durch Kauf für 2000 m. und die schrittweise Ablösung der
dafür vereinbarten Rentenzahlungen. Von der Restsumme von 900 m.
ständen ihm noch 30 m., dem noch minderjährigen Woldeke 60 m.
jährlicher Rente zu ...................................................................................................171
105 1407.02.02 — Aa 20 a
Johan Hoyer aus Lübeck bekennt, dass er Johan Nanne 10 m. jährlicher
Rente aus dem Zoll, der Grafenzoll genannt wird, für 120 m. verpfändet
habe, die ihm von Hinrik Hamma zugekommen seien ........................................172
106 1407.03.04 — Gg 20
Clawes Vuerschutte bekennt, in aller Freundschaft von den Bürgermeistern und Ratsherren der Stadt Hamburg geschieden zu sein und
dankt nach Ende seines Dienstes für die Bezahlung ............................................173
107 1407.03.12 — Q 11
Alverik Lappe, Knappe, gelobt, keine Ansprüche auf das Kirchspiel
Nordleda zu erheben, solange das Land Hadeln und das Schloss Otterndorf an Hamburg verpfändet seien ................................................................173
108 1407.03.26 — O 17
Herder aus Brunsbüttel bezeugt, dass der Rat von Hamburg ihm für
seinen von den Ihren auf der Elbe erschlagenen Bruder Genugtuung
geleistet habe ..............................................................................................................174
109 1407.06.05 — Pp 38
Bernhard [I.] und Heinrich [I.], Herzöge von Braunschweig und Lüneburg, verbieten auf Klage Lüneburgs allen, fremdes Salz einzuführen
und dann über See aus ihrem Territorium wieder auszuführen, zu
Wasser oder zu Lande ...............................................................................................174
110 1407.06.24 — Ss 5
Johan Rodenborch macht bekannt, dass er Dekan und Domkapitel der
Hamburger Kirche für 105 m. 7 m. jährlicher Rente von seinem Haus
in der Deichstraße für die Vikarie am Altar der 10 000 Ritter am Dom
verkauft habe, die nun Johan Hilleman innehabe ...............................................175
Ver zeichnis der Regesten
29
111 [1407.08.12] — Ff 1 o
Heinrich, Graf von Holstein, an Hamburg: er habe ihren Brief über die
Verhandlungen mit den von Kaden bekommen, diese würden einem
Stillstand bis Mai zustimmen ...................................................................................176
112 1407.09.05 — Pp 37
Bernhard [I.] und Heinrich [I.], Herzöge von Braunschweig und Lüneburg, erklären, dass sie keine Bede an der Sülte zu Lüneburg hätten, weder nach Pflicht, Recht oder Gewohnheit, obwohl ihnen Rentenbesitzer
und Stadt kürzlich Hilfe geleistet hätten ...............................................................177
113 1407.09.28 — Aa 20 b
Hinrik Hamma, Priester, Sohn des verstorbenen Vikke Hammaes, Hamburger Bürger, bekennt den Verkauf an Wibe Hoyger und Johan Hoyger,
ihren Sohn, von 10 m. jährlicher Rente aus dem Grafenzoll zu Hamburg
aus dem Erbe seines Vaters und seiner Vorfahren ..............................................178
114 1407.10.28 — S 16
Marquard Struetz, Sohn des Johan Struecz, und Emeke Struetz der
Ältere, sein Vetter, Knappen, bekennen, dass sie Hildemer Lopow,
Bürgermeister zu Hamburg, für 210 m. ihr Dorf Ohlstedt im Kirchspiel
Bergstedt mit allen dazugehörenden Rechten, wie sie ihre Vorfahren
genutzt hätten, verkauft hätten ..............................................................................179
115 1407.11.06 — Oo 72
Wernerus, Dekan, und Johannes Oppenperde, Domherr zu Hamburg,
machen bekannt, dass sie zwischen Nicolaws de Insula, Domkustos zu
Hamburg, und Luder de Hamme, Knappen, einen Vergleich über 4 m.
Rente aus dem halben Dorf Lütjensee für Küsterei und Schlafschüler
ausgehandelt hätten .................................................................................................180
116 1407.11.24 — X 10
Wernerus Militis, Dekan, das Domkapitel sowie Bürgermeister und Rat
zu Hamburg erklären, sich über die Abwasserleitung am Dom, Raum
für eine Erweiterung des Doms, Grundstücksrechte und weitere offene
Fragen geeinigt zu haben .........................................................................................181
117 1408.01.26 — W 40
Wernerus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass Johannes de Rode, Bürger Hamburgs, eine ewige Vikarie am Altar
der Hl. Georg und Barbara in St. Nicolai errichten lassen und dafür eine
Rente von 35 m. stiften wolle, die der Hamburger Rat jeweils in zwei
Raten zahlen werde ...................................................................................................182
30
Ver zeichnisse
118 1408.02.25 — Ff 1 p
Thymme und Bruneke von Kaden, Brüder und Knappen versöhnen sich
nach ihrer Fehde mit den Bürgermeistern, Ratsherren und der ganzen
Gemeinde der Stadt Hamburg .................................................................................183
119 1408.02.25 — Ff 1 q
Bürgermeister und Ratsherren der Stadt Hamburg bezeugen, dass sie
und ihre Bürger sich nach der Fehde mit Thymme und Bruneke von
Kaden mit diesen vollständig versöhnt hätten ....................................................184
120 1408.04.24 — Rr 36
Wernerus, Dekan, und das gesamte Domkapitel zu Hamburg bezeugen,
dass Johannes Vritze alias dictus Wantzenberch, Kanoniker dieser Kirche, jährliche Einkünfte aus der Lüneburger Saline für die Errichtung
einer Präbende und einer ewigen Vikarie gestiftet habe ...................................184
121 [vor 1408.06.26] — Gg 12
Junker Johann Herr zu Diepholz an Hamburg: erklärt ihnen für sich und
seine Untertanen wegen ihm geschehenen Unrechts die Fehde ......................186
122 1408.06.26 — Ff 1 r
Johan, Edler zu Depholt macht bekannt, dass er sich mit der Stadt Hamburg für Diderke van Monnekhusen, Ritter, und Heynecken Monnikhusen, Knappe, versöhnt habe, die seinetwegen Hamburg entsagt hätten .........186
123 1408.08.24 — Ff 4 [1]
Die Hamburger Ratssendeboten Meynard Buxtehude, Clawes Schoke,
Meynard Henninghes und Diderik van dem Haghen machen bekannt,
dass sie sich mit Keno [II.] tom Broke geeinigt hätten, zum Nutzen der
Städte und des Kaufmanns gegen die Vitalienbrüder und ihre Unterstützer vorzugehen ...................................................................................................187
124 1408.08.24 — Ff 4 [2]
Häuptling Keno [II.] tom Broke macht bekannt, dass er sich mit den
Hamburger Ratssendeboten Meynard Buxtehude, Clawez Scoke, Meynard Henninghes und Diderke van dem Haghen geeinigt habe, zum
Nutzen der Städte und des Kaufmanns gegen die Vitalienbrüder und
ihre Unterstützer vorzugehen .................................................................................188
125 1408.10.18 — Q 80
Woldeke Lappe, Knappe, und Heyne Hardenacke, Hamburger Bürger,
quittieren den Empfang von 120 m. Renten von den Kämmerern der
Stadt Hamburg für die Jahre 1407 und 1408 ..........................................................190
Ver zeichnis der Regesten
31
126 1408.11.11 — Oo 100
Bertram Sabel und Johannes Hummersbuttele, Knappen machen bekannt, dass sie Dekan und Domkapitel zu Hamburg zum Nutzen etlicher
Vikarien für 100 m. Pfennige 10 m. jährlicher Rente aus dem Dorf Elmshorst verkauft hätten .............................................................................................190
127 1408.11.15 — Oo 58
Johan Hoyers, Lübecker Bürger, bekennt, dass er Dekan und Domkapitel
zu Hamburg für 60 m. Hamburger Pfennige seine zwei Hufen Land in
Meiendorf verkauft habe, das jetzt Henneke Wolmers und Hinrik Koster
bebauten ......................................................................................................................191
128 1409.02.01 — Bb 19
Herbordus Schene, Cellerar des Bremer Doms, an Hamburg: bittet um
Hilfe für seinen Kleriker Hermann, ewiger Benefiziat an derselben
Kirche, in der Angelegenheit mit Ymmeke, Frau des verstorbenen Gottfried Schene ................................................................................................................192
129 1409.07.12 — Q 26 a
Erich der Ältere, Herzog von Sachsen, gestattet die Aufräumung der
Bille und ihre Nutzung zum Flößen von Fadenholz, gegen Abgaben
beim Bergedorfer Schloss .........................................................................................192
130 1409.07.13 — Tt 63
Johannes van Hachede, Vikar an St. Petri, macht bekannt, dass er Dekan
und Domkapitel zu Hamburg für 120 m. zum Nutzen seiner Vikarie 8 m.
jährlicher Rente verkauft habe ...............................................................................193
131 1409.08.10 — S 37
Johan Lutteke macht bekannt, dass er das Holz, genannt de Odene,
von Reymer van Nygenborch für sich und seine Erben für 24 m. lüb.
übernommen habe, dass dieses aber jedes Jahr November 11 wieder
abgelöst werden könne .............................................................................................194
132 [14]10 — Oo 151
Erich der Jüngere, Herzog von Sachsen, [stellt] für sich und seine Gattin
für Kirche und Vikare [d. h. dem Hamburger Domkapitel] [eine Urkunde aus, u. a. über] 100 m. Geldes und Renten von 10 und 20 m. ........................194
133 1410.02.10 — Q 82
Woeldeke Lappe, Knappe, und Heyne Hardenacke, Hamburger Bürger,
quittieren den Empfang von 60 m. von den Kämmerern Hamburgs aus
der jährlichen Rente beim Hamburger Rat, gezahlt für das Jahr 1409 .............195
32
Ver zeichnisse
134 1410.02.28 — Tt 36, Tt 37 [I]-[II]
Notariatsinstrument des Johannes Sassen, der bezeugt, dass Wernerus,
Dekan, und das Domkapitel zu Hamburg die Einigung zwischen Nicolaus Grube, Vikar am Dom, und Johannes Lutteke, Vikar an St. Petri,
über eine Zusammenlegung von Gärten und eine jährliche Rentenzahlung als Ausgleich bestätigt hätten ........................................................................195
135 1410.03.24-30 — Oo 59
Propst Tidericus Strobeling, Priorin Alheidis und der ganze Konvent
des Klosters Reinbek verkaufen aufgrund großer Not Dekan und Kapitel
der hamburgischen Kirche zum Nutzen ihrer Pfründen für 50 m. 2 Hufen in Meiendorf und 1 Hufe in Rokesberg ............................................................197
136 1410.03.30 — Ss 45, Ss 89 (4)
Adolf, Graf von Holstein und Schauenburg, verkauft für 200 m. Dekan
und Domkapitel zu Hamburg zum Nutzen der Vikarien, die einst Johan
Wyghe im Dom gestiftet habe, eine Rente von 16 m., jährlich aus seinen
Dörfern Testorf und Eggerstedt zu zahlen ............................................................197
137 1410.04.05 — R 8
Erich der Ältere, Herzog von Sachsen, gestattet die Aufräumung der
Bille und ihre Nutzung zum Flößen von Fadenholz, gegen Abgaben
beim Bergedorfer Schloss .........................................................................................198
138 1410.04.05 — R 10
Heinrich, Graf von Holstein und Schauenburg, gestattet die Aufräumung der Bille und ihre Nutzung zum Flößen von Fadenholz, gegen
Abgaben beim Kloster Reinbek ...............................................................................199
139 [1410.06.23] — N 45
Johan Moekerman quittiert den Räten von Hamburg und Lüneburg
den Empfang von 53 m. 14 d. von den 112½ m. 4 sol. 4 d., die der Rat von
Lüneburg ihm noch schuldig gewesen sei .............................................................199
140 1410.06.28 — Gg 21
Syverd Roerbeke, Knappe, quittiert der Stadt Hamburg die vollständige
Bezahlung für seine Dienste auf dem Glindesmoor .............................................200
141 1410.06.29 — Ff 5
Werner, Dekan, und das Domkapitel zu Hamburg vidimieren für den
Rat zu Hamburg eine Urkunde der Ratsmannen, Schließer, Geschworenen und Gemeine von Meldorf, Wesselburen und Büsum von 1384
April 7 (HG1.315) ........................................................................................................200
Ver zeichnis der Regesten
33
142 1410.06.29 — Ff 6 [1]
Werner, Dekan, und das Domkapitel zu Hamburg vidimieren für den
Rat zu Hamburg eine Urkunde des Landes Dithmarschen von 1395 Mai
1 (HG1.433) ..................................................................................................................201
143 1410.09.05 — Rr 58
Wernerus, Dekan, und das Hamburger Domkapitel machen bekannt,
dass der Domherr Magister Hermannus Vos Gelder und Renten seines
verstorbenen Vaters, Johannes Vos, Hamburger Bürger, zur Ausstattung seine Präbende nutzen wolle, und bestätigen die Nutzung der
Renten von nunmehr 38 m. ......................................................................................202
144 1410.12.13 — Q 83
Woeldeke Lappe, Knappe, und Heyne Hardenacke, Hamburger Bürger,
quittieren den Empfang von 60 m. von den Kämmerern Hamburgs aus
der jährlichen Rente beim Hamburger Rat, gezahlt für das Jahr 1410 .............203
145 1411.01.20 — Nn 93
Propst Herman, Priorin Beke und der gesamte Konvent des Klosters
Uetersen einigen sich mit Otte van Herslo, Domherrn zu Hamburg,
über die Einrichtung einer Kaplansstelle und weitere Verpflichtungen
aus der Schenkung von einem halben Wispel Salz zu Lüneburg, 200 m.
von seinem Hof und weiteren Geldern ..................................................................204
146 1411.01.20 — Ww 8
Wernerus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass Ludikinus Zwangke, Bürger Hamburgs, eine ewige Vikarie am
Altar des Hl. Bartholomäus in St. Jacobi errichten lassen und dafür eine
Rente von 18 m. stiften wolle, nehmen die Renten unter kirchlichen
Schutz und errichten die Vikarie ............................................................................205
147 1411.04.18 — Ss 4 (3)
Johan Rodenborch, Bürger zu Hamburg, macht bekannt, dass er Dekan
und Domkapitel zu Hamburg zum Nutzen der Vikarie am Altar der
10 000 Ritter im Dom 4 m. jährlicher Rente stifte ................................................206
148 1411.05.22 — Gg 22
[Johan van Eckersten], Archidiakon zu Rehme, spricht Bürgermeister
und Rat zu Hamburg von allen Ansprüchen wegen der Gefangenschaft
Tytekes van Rypen und ihres Streits mit ihm frei ...............................................207
34
Ver zeichnisse
149 1411.10.12 — Vv 12 a
Wernerus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass Johannes Wige, Bürger Hamburgs, auf der Grundlage älterer
Stiftungen 120 m. für zwei ewige Vikarien gestiftet habe, nehmen die
Gelder unter Schutz und errichten die Vikarien ..................................................208
150 1411.10.31 — Q 84
Woeldeke Lappe, Knappe, und Heyne Hardenacke, Hamburger Bürger,
quittieren den Empfang von 60 m. aus der jährlichen Rente beim Hamburger Rat, gezahlt für das Jahr 1411 .....................................................................209
151 1411.11.06 — Ss 89 (5)
Hans Bruggeman überlässt Bernt vamme Hagen sein Grundstück und
einigt sich mit ihm über die Anlage eines Gangs und von Brunnen .................210
152 1411.11.12 — Rr 91
Marquardus, Dekan in Ramelsloh, Richter und subconservator der
Rechte der Hamburger Kirche, verkündet Maßnahmen gegen Johannes
Zeghelke, der mit seinen Komplizen in die Güter der Hamburger Kirche
einfalle und ihre Untertanen bedränge .................................................................211
153 1411.12.17 — P 21
Johan Bekerholt, Lübecker Bürger, und Gherbert Gultzow, Hamburger
Bürger, quittieren dem Rat von Hamburg für den Junker Keno [II.] to
dem Broke den Empfang von 100 engl. Nobeln, die ihnen Keno schuldig
gewesen sei .................................................................................................................212
154 1412.01.02 — P 22 a
Bürgermeister und Rat zu Bremen an Bürgermeister und den Rat zu
Hamburg: teilen mit, dass Gheerd Buzeke, Hinrik de Vrye, Luder Groͤve
und Eler Kynt, Bremer Bürger, Eler Zeelhove, ihren Mitbürger, bevollmächtigt hätten zum Empfang des Geldes, das der Junker Keno [II.] tom
Broke bei ihnen stehen habe ....................................................................................212
155 1412.01.13 — P 22 b
Eler Zeelhove, Bürger zu Bremen, in einem offenen Brief: quittiert Bürgermeistern und Rat der Stadt Hamburg den Empfang von 247 ½ lüb. m.
für Gherd Buzeke, Hinrik Vrye, Luder Grove und Eler Kynd, Bürger zu
Bremen, die bei ihnen zu Händen von Keno II. tom Broke stünden .................213
156 1412.02.28 — M 11 a
Heinrich, Graf von Holstein, teilt mit, dass in seiner Stadt Hamburg an
der Elbe ein Zoll, aus dem geistliche und weltliche Personen eine Rente
bezögen, von Elbfahrern erhoben werde, und er denen beistehe, die die
Umgehung des Elbzolls verhinderten ...................................................................214
Ver zeichnis der Regesten
35
157 1412.03.13 — N 1 [1] und [2]
Heinrich, Herzog von Braunschweig und Lüneburg, bekennt, das
Oberwehr an der Elbe to dem Hope Henneke Unrowe, Henneke Lubeze,
Meyneke Visscher, Clawes Sanders, Henneke Cleyland, Heyneke Pole to
dem Hope, Peter Oldeland, Clawes Willers zu Winsen, Arnd Godeke und
ihren Erben übertragen zu haben ...........................................................................214
158 1412.03.27 — Aa 2 (6)
Prälaten, Grietmannen und Mitrichter von Oestergo und Westergo
bevollmächtigen die Schöffen von Stavoren zu Verhandlungen mit
dem Rat der Stadt Hamburg wegen der in Westergo Handel treibenden
Hamburger ..................................................................................................................215
159 1412.04.14 — Aa 2 (5)
Schöffen und Rat in Stavoren bevollmächtigen den Schöffen Tyman
Aenstenzoen zu Verhandlungen mit dem Rat der Stadt Hamburg wegen
der in Westergo Handel treibenden Hamburger ..................................................216
160 1412.06.19 — Q 85
Frederik und Berteld Schulte sowie Hermen van der Osten, Knappen,
beurkunden einen Vergleich zwischen Alheide Schrammeke, Witwe
von Frederik Schrammeke, mit Woldeke Lappe, Knappen, und Heyne
Hardenacke, Hamburger Bürger, über das beim Hamburger Rat stehende Gut von Alverik Lappe ..........................................................................................216
161 1412.06.19 — Q 86
Bürgermeister und Ratsherren zu Hamburg vermitteln einen Vergleich
zwischen Alheyd Schrammeke, Witwe des Frederik Schrammeke, und
Woldeke Lappe, Knappe, sowie Heyne Hardenacke, Bürger Hamburgs,
in Sachen der 30 m. Rente des verstorbenen Alverik Lappe beim Hamburger Rat ...................................................................................................................217
162 1412.06.23 — Y 10
Schöffen und Rat von Stavoren machen bekannt, dass sie sich mit Bürgermeistern, Rat und Gemeinde Hamburgs über Bedingungen für den
Hamburger Handel in Stavoren geeinigt hätten ..................................................217
163 1412.08.08 — Gg 24
Gheriit Jacobbssone von Enkhuizen bezeugt, dass Otto Brughberch,
Johan Hitvelt, Diderik Luneborgh, Johan Wulff, Heyne Brandes, Johan
Ghultzow, Peter Mildehovet und Johan van Alverdinghe, Hamburger
Bürger, zwischen den Bürgermeistern und dem Rat von Hamburg und
ihm einen Vergleich vermittelt hätten ..................................................................219
36
Ver zeichnisse
164 1412.10.06 — Ee 22 b [1]
Hynricus Knakerugge, Propst des Klosters Harvestehude, gibt demselben Kloster zu seinem Seelenheil und dem seiner Eltern 700 m. lüb.
zum Bau der neuen Mühle in Eppendorf ..............................................................219
165 1412.10.06 — Ee 22 b [2]
Womela, Äbtissin, Katherina, Priorin, und der gesamte Konvent zu
Harvestehude bezeugen, dass ihnen Hynric Knakerugge, ihr Propst,
700 m. lüb. zum Bau der neuen Mühle in Eppendorf gegeben habe, und
bestätigen die Gegenleistungen des Klosters .......................................................220
166 1412.10.25 — Nn 16
Notariatsinstrument des Albertus Beyer, der bezeugt, dass sich vor ihm
Marquardus Brasche, Pfarrherr der Kirche zu Schenefeld, und Heyno
de Elme, Bürger zu Hamburg, wegen der Gefangennahme Marquards
durch Heyno verglichen hätten ..............................................................................221
167 1412.11.10 — R 62
Hinricus Westhoff, Propst zu Eutin, Richter und Subkonservator der
Rechte des Hamburger Domkapitels an alle Geistlichen in den Diözesen Bremen, Lübeck und Ratzeburg: ordnet geistliche Strafen gegen
Wernerus Mildehovͤet, an, der dem Domkapitel Zehnte und jährliche
Einkünfte gewaltsam vorenthalte ..........................................................................222
168 1412.12.06 — Ee 53 [1]
Arnd Heest, Knappe, bekennt, dass er sich mit Bürgermeistern und
Ratsherren der Städte Lübeck und Hamburg wegen allerlei Unwillen,
Schaden und Zwietracht zwischen ihnen freundlich geeinigt und ausgesühnt hätte .............................................................................................................223
169 1412.12.06 — Ee 53 [2]
Bürgermeister und Rat der Stadt Hamburg bekennen, dass sie sich auf
Bitten der Herzöge Erich (V.) und Johann von Sachsen-Lauenburg mit
Hennyng, Arnd, Hennyng und Tönnies Heeste friedlich geeinigt hätten
und damit alle Fehde beendet sei ............................................................................224
170 1412.12.26 — Gg 23 [1]
Bertold Gogreve erklärt Hamburg die Fehde ........................................................224
171 1412.12.26 — Gg 23 [2]
Bertold Ghogreve an Adolf IX. und Otto, Grafen von Holstein und
Schauenburg: habe der Stadt Hamburg die Fehde erklärt .................................224
Ver zeichnis der Regesten
37
172 [1413] — Gg 25 [6]
Verzeichnis von Namen zur Wandbereiderschen Fehde ....................................225
173 1413.01.17 — Q 87
Woldeke Lappe, Knappe des Stiftes von Bremen, quittiert den Empfang von 90 m. durch die Kämmerer des Rates von Hamburg, aufgrund
seiner und seines verstorbenen Vetters Alveriik Lappe Rente vom
Hamburger Rat ...........................................................................................................225
174 1413.02.24 — M 11 b
Adolf IX., Graf von Holstein, teilt mit, dass in seiner Stadt Hamburg an
der Elbe ein Zoll, aus dem geistliche und weltliche Personen eine Rente
bezögen, von Elbfahrern erhoben werde, und er denen beistehe, die die
Umgehung des Elbzolls verhinderten ....................................................................226
175 1413.04.28 — Ss 47
Ulric Bishorst macht bekannt, dass er Dekan und Kapitel der Hamburger Kirche zum Nutzen des Altars St. Alexii in der Petrikirche für 150 m.
Pfennige 10 m. Rente aus seinem Erbe in der Gerberstraße verkauft habe .....226
176 1413.04.30 — W 22
Bernt Langhe, Bürger zu [Hamburg], bekennt den Empfang von 50 m.
von Herman Langhe, Ratsherr, Albert Borsteden und Hinrik Vermersen,
Bürger zu Hamburg, Verwaltern einer Messenstiftung an St. Nicolai, für
4 m. Rente auf seinem Haus in der Gröningerstraße ...........................................227
177 1413.05.15 — Gg 25 [1]
Conrad und Ludolff von Elmerkusen, Brüder, Ludolff der Marschall und
Ludolff von Flechten erklären Hamburg die Fehde, falls die Stadt ihrem
Verwandten Bernd Wandbereider nicht wieder zu seinem Gut verhelfe ........228
178 1413.05.17 — Gg 25 [2]
Herman von Hertingishusen erklärt Hamburg die Fehde, falls die Stadt
seinem Verwandten Bernd Wandbereyder nicht wieder zu seinem Gut
verhelfe ........................................................................................................................228
179 1413.05.18 — Gg 25 [3]
Bernd von Horhusen erklärt Hamburg die Fehde, falls die Stadt seinem
Verwandten Bernd Wandbereyder nicht wieder zu seinem Gut verhelfe .......228
180 1413.05.20 — Gg 25 [4]
Herman Spigel, Ritter, erklärt Hamburg zusammen mit Herman von
Gummern, Arnt Schade und ihren Helfern die Fehde, falls die Stadt
seinem Verwandten Bernd Wandbereider nicht wieder zu seinem Gut
verhelfe ........................................................................................................................229
38
Ver zeichnisse
181 1413.06.01 — Gg 25 [5]
Bernd Wandbereider erklärt wegen des ihm zugefügten Unrechts und
der Gewalt, die ihm geschehen seien und für die er keine Entschädigung erhalten könne, die Fehde ..............................................................................229
182 1413.09.09 — Gg 26
Lemmeke Mildehoved, Knappe, bekennt, sich mit der Stadt Hamburg
bezüglich seines Dienstes und der Vogtei geeinigt zu haben .............................229
183 1413.11.18 — Q 88
Woldeke Lappe, Knappe des Stiftes von Bremen, quittiert den Empfang
von 60 m. jährlicher Rente durch die Kämmerer des Rates von Hamburg ......230
184 1414.04.08–15 — Y 4
Bürgermeister, Rat und Gemeine zu Lübeck machen bekannt, dass sie
mit Bürgermeistern, Rat und Gemeine zu Hamburg für besonderen
Nutzen und Frieden auf drei Jahre von Ausstellung der Urkunde ein
Bündnis zum Schutz gegen Angriffe Dritter geschlossen hätten ......................230
185 1414.04.26 — Ee 54
Richart Grove, Hamburger Bürger, bekennt, dass er von Bürgermeister
und Rat von Hamburg 100 m. erhalten und ihnen dafür eine jährliche
Abgabe von einem Wispel Roggen aus der Mühle in Hamburg verkauft
und übereignet habe .................................................................................................232
186 1414.10.25 — Q 89
Woldeke Lappe, Knappe des Stiftes von Bremen, quittiert den Empfang
von 60 m. jährlicher Rente durch die Kämmerer des Rates von Hamburg ......233
187 1414.11.13 — Uu 35
Erich [V.], Herzog von Sachsen[-Lauenburg], erklärt sein Einverständnis mit der Verpfändung von 9 m. aus dem Gut Basthorst durch Johan
Schakke, zugunsten der Vikarie an St. Nicolai zu Hamburg, die Ratsherr
Albert Hoyger gestiftet habe ...................................................................................233
188 1414.12.03 — Tt 34
Wernerus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass Johannes Symeshusen eine Vikarie am Altar St. Barbaras in St. Petri mit Renten von 28 m. ausstatten wolle, nehmen die Gelder unter
kirchlichen Schutz und errichten die Vikarie .......................................................234
Ver zeichnis der Regesten
39
189 1414.12.20 — Uu 4
Wernerus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass Hinricus Vermersen eine ewige Vikarie am Altar der 11 000 Jungfrauen in St. Nicolai mit Renten von 24 m. und 13 Morgen Ackerland
ausstatten wolle, nehmen Renten und Besitz unter kirchlichen Schutz
und errichten die Vikarie .........................................................................................235
190 1415.02.10 — T 7 [1] und [2], P 17 (1), (3), (11a) und (11b)
Papst Johannes XXIII. an den Abt von Reinfeld sowie die Dekane von
St. Lebuin in Deventer und St. Andreas in Verden: ordnet auf Klagen
Hamburgs kirchliche Strafen gegen die Schädigung von Seefahrern und
Kaufleuten durch Strandraub und Piratenüberfälle an ......................................236
191 1415.02.20 — Uu 17 (1) und (2)
Wernerus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass Hoyerus de Calven eine ewige Vikarie am Altar St. Apolloniae in
St. Nicolai mit Renten von 24 m. ausstatten wolle, nehmen die Gelder
unter Schutz und errichten die Vikarie .................................................................237
192 1415.02.23 — B 12, C 4, F 10, F 17
Sigismund römischer König, König von Ungarn etc., verbietet insbesondere zugunsten der Hansekaufleute die Beraubung von Schiffbrüchigen
oder die Wegnahme gestrandeter Güter, doch stehe den Helfern ein
angemessener Arbeitslohn zu .................................................................................238
193 1415.02.24 — Ff 57
Hans Mokerman quittiert für sich, seinen Bruder und seine Schwester
den Empfang von 6 lüb. m. 3 sol. 8 d. durch die Kämmerer der Stadt
Hamburg, von den 250 m., die der Rat zu Lüneburg seinem Vater schuldig gewesen sei ...........................................................................................................239
194 1415.03.02 — C 9
Friedrich, Burggraf von Nürnberg und Verweser der Mark Brandenburg, vidimiert das Privileg des römischen und ungarischen Königs
Sigismund gegen die Beraubung der Schiffbrüchigen ........................................240
195 1415.03.11 — T 7 [2]
Hermann Gherbode, Dekan der Andreaskirche in Verden, executor mit
päpstlichem Auftrag, an die Diözesen Bremen, Schleswig, Ripen, Roskilde, Münster und Utrecht: publiziert das Mandat Papst Johannes’ XXII.
von 1415 Februar 10 und verbietet die Beraubung oder Belästigung von
schiffbrüchigen Hamburgern und anderen Kaufleuten, die die Stadt
aufsuchen ....................................................................................................................240
40
Ver zeichnisse
196 1415.03.11 — W 42 a
Wernerus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass Hinricus de Hachede und seine Frau Hillegundis eine ewige Vikarie an der Ratskapelle im Dom mit einer Rente von 20 m. und einem
Grundstück ausstatten wollten, nehmen den Besitz unter kirchlichen
Schutz und errichten die Vikarie ............................................................................242
197 1415.03.13 — Tt 10 [1] und [2]
Wernerus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass Tibbe, Witwe des Ratsherrn Thidericus van dem Haghen, eine
ewige Vikarie am Altar von St. Bartholomäus, Jodocus und Theobald
in St. Petri mit Renten von 25 m. ausstatten wolle, nehmen die Gelder
unter Schutz und errichten die Vikarie .................................................................243
198 1415.05.27 — Q 27 a
Woldeke Lappe quittiert Bürgermeister und Rat von Hamburg unter
Darstellung der älteren Forderungen aus den Rentenzahlungen für das
Schloss Ritzebüttel 200 m. für 20 m. seiner Rente, so dass diese noch
jährlich 40 m. Rente an ihn zahlen müssten .........................................................244
199 1415.09.05 — Ee 55
Ludeke Rotermunt, Vorsteher, Womele [Äbtissin], die Priorin und der
Konvent des Klosters Harvestehude quittieren Bürgermeistern und
Ratsherren von Hamburg die Rückzahlung von 600 m. lüb. für eine
Rente von 40 m. ..........................................................................................................245
200 1415.09.30 — Kk 55 b
Clawes Meyboem, Bürger zu Hamburg, macht bekannt, dass er dem
Hamburger Domkapitel für 60 m. 4 m. jährlicher Rente auf seinem Erbe
im Grimm zum Nutzen der Vikarie des Johan Louwe in der Kapelle
St. Gertrudis verkauft habe ......................................................................................246
201 1415.11.29 — Q 90
Gelöbnisse über die Versorgung, Bemannung und den Schutz der Insel
Neuwerk ......................................................................................................................246
202 1415.12.08 — S 38
Notariatsinstrument des Nicolaus Röper, der bezeugt, dass vor ihm
Henneke Helmekens, Laie aus dem Dorf Horn, Gherardus Gholdenstede,
dem ewigen Vikar am Altar St. Abundi im Dom, für 45 m. eine Rente
von 4 m. jährlich verkauft habe, die auf seinem Haus und Hof sowie auf
4 Morgen Land läge ...................................................................................................247
Ver zeichnis der Regesten
41
203 1415.12.18 — Q 91
Woldeke Lappe, Knappe des Stiftes von Bremen, quittiert den Empfang
von 40 m. jährlicher Rente durch die Kämmerer des Rates von Hamburg ......248
204 1415.12.20 — Cc 23
Johan Wicbold, Skroden van der Wisch, Albern van den Buottle, Ludeke
Gral, Johan de Bittere, Siverd van Stochem, Johan Staffhorst de older,
Daneel van Knetken und Gherd Vleghe [zu Wildeshausen], geloben die
Einhaltung der Urfehde durch ihren Verwandten Hermen Preen van
Wildeshuzen ...............................................................................................................248
205 1416.02.02 — M 21
Heinrich [IV.], [nicht belehnter] Herzog von Schleswig, teilt mit, dass in
seiner Stadt Hamburg an der Elbe ein Zoll, aus dem geistliche und weltliche Personen eine Rente bezögen, von den Elbfahrern erhoben werde;
er werde der Stadt den Schaden ersetzen, der aus der Verteidigung des
hamburgischen Zolls entstehe ................................................................................249
206 1416.03.29 — Oo 87
Henneke Tralow und sein Sohn Herman Tralow, Knappen, bezeugen
den Verkauf von Dorf und Gut Wastensfelde mit allen Rechten und
Zubehör an Dekan und Domkapitel zu Hamburg für 50 m. ...............................249
207 1416.04.21 — Q 100
Hans van Hidzacker anders gheheten Marschalk, Knappe, bekennt,
dass er Dekan und Domkapitel der Kirche zu Hamburg zum Nutzen der
Vikarie in der cluft derselben Kirche für 100 m. 10 m. jährlicher Rente
aus Neuengamme verkauft habe. ............................................................................250
208 1416.06.23 — Ff 6 [2]
Johannes Werneri, Kantor, als Senior und das gesamte Domkapitel vidimieren die Aussöhnung Dithmarschens mit Hamburg von 1395 Mai 1
(HG1.433) .....................................................................................................................251
209 1416.06.29 — O 2 [1] und [2]
Vögte, Ratgeber, Schließer, Geschworene und die Gemeinschaft des
Landes Dithmarschen machen bekannt, dass sie sich wegen allerlei
Raub und Schaden, den sie auf der Elbe getan hätten, mit Hamburg
geeinigt hätten ...........................................................................................................252
210 1416.07.15 — Oo 88
Heinrich [III.], Graf von Holstein[-Rendsburg], bestätigt den Verkauf
von Dorf und Gut Wastensfelde mit allen Rechten und Zubehör an
Dekan und Domkapitel zu Hamburg für 50 m. ......................................................253
42
Ver zeichnisse
211 1416.07.24 — Kk 8
Nicolaus Grube und Johannes Bergerdorp, Vikare am Hamburger Dom,
bezeugen, dass vor ihnen Hinrik Cracht sowie Willekin Hoyge, Henneke
Vogheler, Clawes Broys und Heyneke Syverdes bestätigt hätten, dass
die Besiegelung der Urkunde über den Verkauf von 10 m. Renten in
Neuengamme durch Hans van Hidzacker an das Domkapitel mit ihrer
Zustimmung erfolgt sei ............................................................................................254
212 1416.07.24 — Pp 39
Der Lüneburger Rat bezeugt, dass Johannes de Molendino, Sohn des
einstigen Ratsherrn Johannes de Molendino, Dekan und Domkapitel
zu Hamburg für 1100 m. lüneb. die Hälfte der rechten Pfanne im Haus
Grevinge verkauft habe, und informiert über die Nutzung der Gelder ............255
213 1416.08.08 — Ss 48
Johannes, Vizedekan, und das Domkapitel zu Hamburg machen bekannt, dass Nicolaus Schowemborch, ewiger Vikar am Dom, eine ewige
Vikarie am Altar von St. Simonis et Jude im Dom mit einer Rente von
15 m. ausstatten wolle, nehmen die Gelder unter Schutz und errichten
die Vikarie ...................................................................................................................255
214 1416.11.19 — Uu 5 [1] und [2]
Heyne Rodekopkenson aus Twielenfleth im Alten Land bekennt, dass
sich mit Hinrik Pyltz, Vikar an der einst von Cord Moneke an St. Nicolai gestifteten Vikarie, vor Johannes Uppemperde als Richter geeinigt
habe, nunmehr die 3 m. Renten von seinem Land in Twielenfleth
jeweils November 11 zu bezahlen ...........................................................................257
215 1416.12.01 — Q 92
Woldeke Lappe, Knappe des Stiftes von Bremen, quittiert den Empfang
von 40 m. jährlicher Rente durch die Kämmerer des Rates von Hamburg ......258
216 1416.12.26 — Cc 24
Hermen Preen aus Wildeshausen schwört für sich, seinen Bruder und
seine Verwandten wegen der Gefangennahme in Hamburg Urfehde ..............258
217 1417.01.15 — Gg 90
Albrecht [V.], Herzog von Mecklenburg-Schwerin, bekennt, Bürgermeistern und Ratsherren zu Hamburg 200 lüb. m. für den von seinen
Untertanen ihren Untertanen zugefügten Schaden an Pferden, Harnischen und anderem Gut schuldig zu sein ..............................................................259
Ver zeichnis der Regesten
43
218 1417.03.21 — S 39
Bertram Tzabel und sein Sohn Betheman, Knappen, bezeugen, dass das
Eigentum des Propstes, Dekans und des Domkapitels zu Hamburg an
dem Deich und der Stauung zum Vy im Anschluss an die Feldmark ihrer
erblichen Güter und der ihrer Kirche liege ...........................................................260
219 1417.04.10 — Q 30 (12)
Woldeke Lappe quittiert Bürgermeister und Rat von Hamburg unter
Darstellung der älteren Forderungen aus den Rentenzahlungen für das
Schloss Ritzebüttel 200 m. für 20 m. seiner Rente, so dass diese noch
jährlich 20 m. Rente an ihn zahlen müssten .........................................................260
220 1417.05.16 — Gg 27
Hermen van der Linden, Diener des Bischofs von Münster, macht
bekannt, dass er sich mit Bürgermeistern und Ratsherren über das Gut,
das sein Bruder Johan von der Linden bei seinem Tode in Hamburg
hinterlassen habe, geeinigt habe ............................................................................261
221 1417.07.16 — F 12 a und F 12 b
Sigismund römischer König, König von Ungarn, Dalmatien und Kroatien, bestätigt auf Wunsch der Bürgermeister, Räte und Bürger der Stadt
Hamburg alle Privilegien und die guten Gewohnheiten der Stadt, wie
sie sie bisher eingehalten hätten ............................................................................262
222 1417.07.20 — K 41
Heinrich III., Graf von Holstein-Rendsburg, Heinrich IV., Adolf VIII. und
Gerhard VII., [nicht belehnte] Herzöge von Schleswig, machen bekannt,
dass ihnen Bürgermeister, Rat und Bürger zu Hamburg, obwohl sie in
keiner Weise zu Hilfe oder Heeresfolge verpflichtet seien, Hilfe gegen
König Erik von Dänemark zugesagt hätten, und beurkunden die Bedingungen ........................................................................................................................263
223 1417.09.29 — Q 93
Woldeke Lappe, Knappe des Stiftes von Bremen, quittiert den Empfang
von 20 m. jährlicher Rente durch die Kämmerer des Rates von Hamburg ......264
224 1417.10.14 — Kk 9
Johannes, Bischof von Lübeck, vidimiert für die Kleriker Gerardus
Tzeretze und Johannes Snydewind, ewige Vikare der Kirche zu Lübeck,
eine Urkunde von Johann [III.], Graf von Holstein[-Plön], von 1319 März
24 über den Verkauf von Ivendorf ..........................................................................265
44
Ver zeichnisse
225 1417.10.27 — Gg 91
Borcherd Morsedeborch, Arend van Stade und Johan van Luneberghe,
Knappen, quittieren der Stadt Hamburg die vollständige Bezahlung
ihres Soldes und Schadenersatz für ihren Einsatz gegen den König von
Dänemark ....................................................................................................................266
226 1417.12.26 — Gg 138
Otto und Ghereke, Brüder, gheheten Vurschutte, machen bekannt, dass
sie den Hof ihrer Vorfahren in Boldersen mit allen Rechten und Zubehör für 3½ m. endgültig ihrem Verwandten Albert Histring überlassen
hätten ...........................................................................................................................266
227 1418.04.17 — Ss 49
Dyderik Stroͤbelyngh, Johannes Rickerssen, Hermen Kule, Domherren,
und Thidericus van Geynsen, Stadtschreiber zu Hamburg, entscheiden
als Schiedsleute den Streit um 4 m. Rente und 50 m. Pfennige zwischen
dem Vikar Tymme Hummersbuttel und dem Hamburger Ratsherrn
Johan Ghultzow ..........................................................................................................267
228 1418.04.20 — Ll 39 a, Ll 39 b [2]
Der Mayor von Newcastle upon Tyne an Hamburg: bittet um Rückgabe
des Schiffes le George und der Waren, die um 1418 Februar 22 in der
Nähe Norwegens durch Soldaten und Diener des Herzogs von Schleswig geraubt und nach Rendsburg gebracht worden seien, und sendet
Bevollmächtigte .........................................................................................................267
229 1418.05.28 — Ff 7 [1] und [2]
Bürgermeister und Rat zu Hamburg an Herzog Johann von Bayern,
Elekt zu Lüttich, Gherd van Hemmeskerken, Hauptmann zu Brielle,
sowie die Städte Brielle und Dordrecht: machen bekannt, dass ihnen
Bürger der Stadt Hamburg geklagt hätten, dass ihre mit Bier beladenen Schiffe durch Gherd van Hemmeskerken, die Dordrechter und die
Brieller arrestiert worden seien, und listen die Schiffe, ihre Eigner und
Befrachter sowie das geladene Bier ........................................................................268
230 1418.07.15 — Ll 39 b [1]
Die Hamburger Ratsherren an Hinrik van dem Berghe und Hinrik
Hoyer, Bürgermeister, sowie Erik van Tzeven, Ratsherr zu Hamburg:
erinnern an ihr Schreiben an Herzog Heinrich von Schleswig wegen
des Engländern genommenen Schiffes und Gutes, senden ein Schreiben
von Newcastle upon Tyne dazu und bitten um Einsatz für eine Rückgabe, um Nachteile für die Hamburger zu vermeiden ............................................270
Ver zeichnis der Regesten
45
231 1418.09.29 — Q 94
Woldeke Lappe, Knappe des Stiftes von Bremen, quittiert den Empfang
von 20 m. jährlicher Rente durch die Kämmerer des Rates von Hamburg ......271
232 1418.12.09 — Kk 92
Äbtissin Womele, Priorin Losseke und der gesamte Konvent des Klosters zu Harvestehude bevollmächtigen ihren Propst Ludeke Busser, ihr
Haus in der Niedernstraße im Kirchspiel St. Jacobi zu verkaufen .....................271
233 1419.02.05 — Ww 9
Tideke Schoke, Bürger zu Hamburg, macht bekannt, dass er Dekan und
Domkapitel zu Hamburg für 75 m. eine Rente von 5 m. zugunsten der
Messenstiftung an St. Jacobi verkauft habe ..........................................................272
234 1419.03.13 — R 63
Heinrich [III.], Graf von Holstein[-Rendsburg] beurkundet seine Entscheidung im Streit zwischen Dekan und Domkapitel zu Hamburg und
den Brüdern Lemmeke, Hinrik und Hans Mildehovet über Zehnte und
Einkünfte aus dem Reytbruke, die zugunsten des Domkapitels ausgefallen sei ...........................................................................................................................273
235 1419.04.23 — Uu 38
Peter Kempe aus dem Kirchspiel Drochtersen macht bekannt, dass er
Johannes Dunemann, Vikar an St. Nicolai zu Hamburg, seinen Testamentsvollstreckern und jedem Besitzer des Briefs für 50 m. lüb. 5 m.
jährlicher Rente verkauft habe, die von seinem Hof, Haus und Berg in
Drochtersen zu zahlen seien ....................................................................................274
236 1419.05.02 — Nn 94
Clawes Werner in Kurzenmoor macht bekannt, dass er Propst, Dekan
und dem gesamten Domkapitel zu Hamburg für 30 m. 3 m. jährlicher
Rente von seinem Haus, Hof und Feldern verkauft habe, zum Nutzen
erer consolacien, die man den Kapitelsherren zwischen September 29
und November 11 sonntags gebe ............................................................................275
237 1419.06.03 — Gg 120
Hermannus, Provinzialminister der Franziskaner für die Provinz
Sachsen an Johannes Mychaelis, Hauptmann, und die Söldner der Stadt
Hamburg: gewährt ihnen und ihren Nachfolgern volle Teilhabe an den
geistlichen Werken seines Ordens ..........................................................................276
46
Ver zeichnisse
238 1419.06.04 — Gg 119
Leonardus de Florentia, Meister der Dominikaner, an die Bruderschaft
der Reitendiener Hamburgs: gewährt ihnen die Teilhabe an den geistlichen Werken seines Ordens .....................................................................................276
239 1419.07.18 — Pp 40
Die Lüneburger Ratsherren bezeugen, dass ihr Mitbürger Johannes
Abbenborg dem Lüneburger Johannes Uplecger als Bevollmächtigtem
von Dekan und Domkapitel zu Hamburg den vierten Teil der Herrschaft
über die linke Pfanne im Haus Edinge in der Saline zu Lüneburg verkauft habe ...................................................................................................................277
240 1419.08.26 — N 46
Bürgermeister und Rat der Stadt Lübeck machen bekannt, dass sie zusammen mit Boldewin, Abt zu St. Michaelis in Lüneburg, Johannes, Abt
zu Scharnebeck, und Hinrik Wale, Propst zu Ebstorf, in verschiedenen
Streitfragen zwischen Hamburg und Lüneburg vermittelt hätten, und
beurkunden das Ergebnis ........................................................................................277
241 1419.09.22 — Rr 92
Jacobus Recop, Kleriker des Stifts zu Bremen, Heyne Recop, Bürger der
Neustadt von Salzwedel, sein Vater, sowie Clawes und Kersten Recop
schwören Urfehde wegen der Gefangenhaltung des Jacobus zunächst
im Gefängnis der Stadt Hamburg, dann im Gefängnis des Domkapitels ..........279
242 1419.11.06 — Q 95
Woldeke Lappe, Knappe und Hamburger Bürger, quittiert den Empfang
von 200 m. zur Ablösung der jährlichen Rente von 20 m. für das Schloss
Ritzebüttel sowie von einmalig 25 m. Rente durch die Kämmerer des
Rates von Hamburg und spricht die Stadt von weiteren Forderungen frei .....280
243 1419.11.11 — S 43 [2]
Johan Schol[d]envlet macht bekannt, dass er Jürgen van Tyense und
seinen Erben für 190 m. zu einem ewigen Erbkauf seinen Hof zu Borstel
verkauft habe ..............................................................................................................281
244 1420.02.02 — Y 12
Bürgermeister, Ratsherren und Gemeinheit der Städte Lübeck und
Hamburg machen bekannt, dass sie sich wegen Schädigung und Gewalttaten gegen die Herzöge Erich [V.] und Bernhard [II.] von Sachsen[-Lauenburg] und ihre Unterstützer verbinden .............................................281
Ver zeichnis der Regesten
47
245 1420.08.22 — Q 26 e [2]
Entwurf Hamburgs und Lübecks für den Friedensschluss mit den Herzögen von Sachsen-Lauenburg ................................................................................283
246 1420.08.23 — Q 26 e [1]
Erich V., Albrecht, Domherr in Hildesheim, Magnus, Bischof von
Kammin, Bernhard II., Otto, Herzöge von Sachsen-Lauenburg, verzichten zugunsten Lübecks und Hamburgs unter anderem auf die Burgen
Bergedorf und Riepenburg sowie den Zoll zu Eislingen und erklären alle
Konflikte für beigelegt ..............................................................................................284
247 1420.09.06 — Rr 93
Johannes, Dekan der Hildesheimer Kirche, Konservator der Hamburger
Kirche, an Dekan, Scholaster, Kantor und Schatzmeister der Hamburger
Kirche und den Propst von Bardowick: erlaubt Personen, die wegen Belästigungen und Beleidigungen der Hamburger Kirche exkommuniziert
seien, aber demütig um Wiederaufnahme bäten, die Absolution zu erteilen .285
248 1420.09.06 — Gg 28
Johan van Grone, Tyle van Yber, Ernst und Richard, Brüder, gheheten
van dem Werder, Gherd van Brunkhusen, Hans van Muonnigherode,
Ludelef van Lenghede, Otte Vurschutte, Gherd van Werdinghusen,
Hermen van Holthusen, Curd van Meyenberghe, Otte van Halvemunde,
Hans Reyneken, Hinric Zeddinghe, Clawes Vrome, Heyne Moller, Hans
Lippen und Hans Lennenkamp, Knappen, quittieren Hamburg für Sold
und Schadenersatz im Krieg gegen Erich [V.], Herzog von Sachsen, und
seine Brüder ................................................................................................................285
249 1420.09.07 — Gg 28 a
Johan und Dyderik, Brüder, gheheten Monnikhusen, Knappen, und
Hermen Hundertmark, ihr Knecht, quittieren Hamburg für Sold und
Schadenersatz im Krieg gegen Erich [V.], Herzog von Sachsen, und seine
Brüder ..........................................................................................................................286
250 1420.09.07 — Gg 28 b
Heyneke van Alten, Ulrik Dornegge und Hans Aldewerld, Knappen,
quittieren Hamburg für Sold und Schadenersatz im Krieg gegen Erich
[V.], Herzog von Sachsen, und seine Brüder ..........................................................287
48
Ver zeichnisse
251 1420.09.07 — Gg 28 c
Cord und Frederik, Brüder, gheheten van Oyenhusen, Cord van Luttersen, Johan van Venen, Peter van Rekelinghusen, Werner van Sunneryk,
Frederik Richters, Johan Thuns und Hans Smyd, Knappen, quittieren
Hamburg für Sold und Schadenersatz im Krieg gegen Erich [V.], Herzog
von Sachsen, und seine Brüder ...............................................................................287
252 1420.09.07 — Gg 28 d
Hinrik van Barkhusen, Reyneke und Johan gheheten Dornehope,
Vetter, Cord, Hermen und Rychard, Brüder, gheheten Hubberkragen,
Richerd Schrettinghusen, Knappen, Wedekind Wunder, Hinrik de
Munter, Dyderik van Wulle, Hans Neuelingh und Hinrik Lappenstap,
Mitgesellen Hinriks van Barkhusen, quittieren Hamburg für Sold und
Schadenersatz im Krieg gegen Erich [V.], Herzog von Sachsen, und seine
Brüder ..........................................................................................................................288
253 1420.09.07 — Gg 28 e
Oleman Bere, Knappe, Ruschintdorp, Dyderik van Plettenberghe und
Luder Iselbach, seine Mitgesellen, quittieren Hamburg für Sold und
Schadenersatz im Krieg gegen Erich [V.], Herzog von Sachsen, und seine
Brüder ..........................................................................................................................288
254 1420.09.08 — Gg 28 f
Frederik van Schaghen, Diderik van Lutten, Frederik van Loen, Wolter
van den Bollen, Johan van Wechgeld, Berend Groperdorp, Everd van
Holtorp, Deterd Wetschen, Curd van Astorpe, Hinrik van dem Bele, Herberd van den Porsenberghe und Johan van Dincla, Knappen, quittieren
Hamburg für Sold und Schadenersatz im Krieg gegen Erich [V.], Herzog
von Sachsen, und seine Brüder und sprechen die Stadt von weiteren
Forderungen frei ........................................................................................................289
255 1420.09.08 — Gg 28 g
Hinrik Blome, Hinrik Westvelingh, Johan van Manslo, Curdes, Johans
Enkel, und Hans van Campen, Knappen, quittieren Hamburg für Sold
und Schadenersatz im Krieg gegen Erich [V.], Herzog von Sachsen, und
seine Brüder ................................................................................................................289
256 1420.09.09 — Gg 28 h
Steneke van Hamme, Knappe, quittiert Hamburg für Sold und Schadenersatz im Krieg gegen Erich [V.], Herzog von Sachsen, und seine Brüder ........290
Ver zeichnis der Regesten
49
257 1420.09.09 — Gg 28 i
Johan van Mandeslo der Ältere, Johan van Mandeslo der Jüngere,
Frederic Post und Ludeke Vrese, Knappen, quittieren Hamburg für Sold
und Schadenersatz im Krieg gegen Erich [V.], Herzog von Sachsen, und
seine Brüder ................................................................................................................290
258 1420.09.09 — Gg 29
Curd Buesghe, Clawes van Decberch, Berend Reymers, Hans Heydhorst,
Dorheker, Wilhelm van Elmendorpe, Griffer, Curd de beste, Hinric D[…]
singh, Frederic Post, Curd Arendes, Godeke, Rabode Semmele, Enghelke, Johan van dem Broke, Bere[nd ...]ke, Stacies Post, Osterholt, Bertold,
Deghener, Tydeman Ropeke und Johan van dem Wede, Knappen,
quittieren Hamburg für Sold und Schadenersatz im Krieg gegen Erich
[V.], Herzog von Sachsen, und seine Brüder und sprechen die Stadt trotz
eines Konflikts mit Curd Buesghe von weiteren Forderungen frei ...................291
259 1420.09.10 — Gg 28 k
Gherd Brand und Groteberend, Knappen, quittieren Hamburg für Sold
und Schadenersatz im Krieg gegen Erich [V.], Herzog von Sachsen, und
seine Brüder ................................................................................................................292
260 1420.09.15 — Ff 8
Bürgermeister und Rat der Stadt Hamburg vergleichen sich mit Stade
über den Handel .........................................................................................................292
261 1420.10.14 — Gg 28 l
Frederik Post, Johan van Mandeslo Berteldessone, Ludeke Vrase, Johan
Kokingh, Staties van Monnigkhusen, Bode van Ghummeren, Bruggewch, Lubberd, Honwide, Knappen, quittieren Hamburg für Sold und
Schadenersatz im Krieg gegen Erich [V.], Herzog von Sachsen, und seine
Brüder ..........................................................................................................................293
262 1420.10.15 — Gg 28 n
Arnd de Bever, Ropeke Rusche, Volquin de Holler, Marquerd Schiptorp
und Borcherd van Aschwede, Knappen, quittieren Hamburg für Sold
und Schadenersatz in den Kriegen gegen Erich [V.], Herzog von Sachsen, und seine Brüder sowie mit dem Herzog Heinrich von Schleswig
gegen den König von Dänemark .............................................................................293
50
Ver zeichnisse
263 1420.10.15 — Gg 28 o
Wilken Vrese, Hans Butzouw, Vrouwenschutke, Hans Lippe und Clawes
Vrome, Knappen, quittieren Hamburg für Sold und Schadenersatz in
den Kriegen gegen Erich [V.], Herzog von Sachsen, und seine Brüder
sowie mit dem Herzog Heinrich von Schleswig gegen den König von
Dänemark ....................................................................................................................294
264 1420.10.15 — Gg 28 p
Diderick Amendorp der jüngere, Faber, Johan van der Lippe, Herberd Klenk, Gherke Picht und Ludeman Redeke, Knappen, quittieren
Hamburg für Sold und Schadenersatz in den Kriegen gegen Erich [V.],
Herzog von Sachsen, und seine Brüder sowie mit dem Herzog Heinrich
von Schleswig gegen den König von Dänemark ...................................................294
265 1420.10.15 — Gg 28 r
Beneke Wolters, Peter van Havense und Veghebanck, Knappen, quittieren Hamburg für Sold und Schadenersatz in den Kriegen gegen Erich
[V.], Herzog von Sachsen, und seine Brüder sowie mit dem Herzog
Heinrich von Schleswig gegen den König von Dänemark ..................................295
266 1420.10.16 — Gg 28 m
Johan van Hamme, anders geheten Scopel van Hamme, Knappe, quittiert Hamburg für Sold und Schadenersatz im Krieg gegen Erich [V.],
Herzog von Sachsen, und seine Brüder ..................................................................296
267 1420.10.16 — Gg 28 q
Johan van Verne und Peter van Rekelinghusen, Knappen, quittieren
Hamburg für Sold und Schadenersatz in den Kriegen gegen Erich [V.],
Herzog von Sachsen, und seine Brüder sowie mit dem Herzog Heinrich
von Schleswig gegen den König von Dänemark ...................................................296
268 1420.11.05 — Tt 43 (1)
Hinryk Hoyers, Bürgermeister zu Hamburg, bekennt, dass ihm im Rentenbuch des Rates zugeschriebene Renten von 13 m. nicht gehörten,
sondern ihm zu treuer Hand übergeben seien von einer Messenstiftung
an St. Petri, über die seine Frau Gherborch das Patronat ausübe ......................297
Ver zeichnis der Regesten
51
269 1421.04.02 — Qq 63
Hinricus Sumendorp, Kanoniker in Tangermünde, subexecutor für die
dem römischen König Sigismund durch Papst Martin V. verliehenen
Zehnten aus den Einkünften der kirchlichen Pfründen, quittiert die
Zahlung von 2200 rheinischen Gulden für die Provinz Bremen sowie
Stadt und Diözese Verden ........................................................................................297
270 1421.04.03 — Ee 56
Bürgermeister und Ratsherren der Stadt Hamburg an Bürgermeister,
Schöffen und Rat der Stadt Gent: teilen die Namen der durch Auslieger
Herzog Johanns von Bayern, Grafen von Hennegau, Holland und Seeland, aus dessen Gebieten geschädigten Hamburger mit und listen das
verlorene Gut, da sie noch keine Antwort des Herzogs erhalten hätten .........298
271 1421.04.24 — Bb 5, D 15
Sigismund, römischer König, König zu Ungarn, Böhmen, Dalmatien,
Kroatien etc., befreit Bürgermeister, Rat und alle Bürger Hamburgs von
der Ladung vor das königliche Hofgericht; wenn sie selbst Recht suchten, könnten sie sich jedoch an das Hofgericht wenden .....................................301
272 1421.04.24 — B 18 [1] und [2]
Sigismund, römischer König, König zu Ungarn, Böhmen, Dalmatien,
Kroatien etc., befreit Bürgermeister, Rat und alle Bürger der Stadt
Hamburg aus der Acht, in die sie wegen Nichterscheinens vor dem
Hofgericht geraten seien, sowie von allen Ansprüchen und stellt alle
Privilegien der Stadt wieder her .............................................................................302
273 1421.05.06 — Ss 50
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass Mechtildis, Witwe des Hamburger Bürgers Jacobus Vredebern,
eine ewige Vikarie am Altar der hl. Agatha und Agnes im Dom mit Renten von 12 m. und 6 Morgen Landes in Hammerbrook ausstatten wolle,
nehmen Rente und Besitz unter kirchlichen Schutz und errichten die
Vikarie .........................................................................................................................303
274 1421.06.06 — Ee 57
Bürgermeister und Rat zu Hamburg an Bürgermeister, Schöffen und
Rat der Stadt Gent: berichten über weitere Schädigungen Hamburger
Bürger und listen Schiffe und Fracht ....................................................................304
52
Ver zeichnisse
275 1421.07.04 — Vv 12 b
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass Johannes van dem Haghen, Kleriker, eine ewige Vikarie am Altar
Marias und des hl. Thomas von Canterbury in St. Katharinen mit
Renten von 40 m. ausstatten wolle, nehmen Rente und Besitz unter
kirchlichen Schutz und errichten die Vikarie .......................................................305
276 1421.08.04 — Y 13
Bürgermeister und Ratsherren der Stadt Stade bestätigen auf Bitten
Hamburgs für die Stadt Gent die eidliche Aussage von Hermen van Righe, Albrecht Brytling, Godeke Lutteken und Stacies van Rentelen über
Ereignisse in Amsterdam im April 1407 .................................................................307
277 1421.08.09 — Xx 47, W 42 b
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass Hinricus de Hachede, vormals Ratsherr zu Hamburg, und seine
Frau Hillegundis eine ewige Vikarie in der Kapelle des Hamburger Rats
mit Renten von 70 m. ausstatten wollten, unter dem Vorbehalt lebenslanger Nutzung, nehmen Rente und Besitz unter kirchlichen Schutz
und errichten die Vikarie .........................................................................................308
278 1421.09.12 — Ss 43, Ss 51
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass Nicolaus Schowenborch, ewiger Vikar zu Hamburg, eine Vikarie
am Altar St. Annen im Dom mit Renten von 32 m. ausstatten wolle, nehmen Rente und Besitz unter kirchlichen Schutz und errichten die Vikarie ....309
279 1421.10.16 — Gg 30
Bürgermeister und Ratsherren der Stadt Segeberg an Bürgermeister
und Ratsherren der Stadt Hamburg: berichten von einem Einbruch im
Schloss in Segeberg unter dem verstorbenen Grafen Heinrich [III.] von
Holstein ......................................................................................................................311
280 1421.11.16 — Q 101
Johannes de Buren, Archidiakon von Hadeln und Wursten, beruft Ludolph Tuskouw zum ewigen Vikar am Altar St. Marien in der Grodener
Kirche ...........................................................................................................................311
281 1422.08.02 — O 9
Vögte, Schließer, Ratgeber und ganze Gemeine des Landes Dithmarschen schwören den Herren von Hamburg und den Bürgern der Stadt
wegen der Gefangennahme der Leute aus der Gesellschaft Abel Reymers Urfehde ..............................................................................................................312
Ver zeichnis der Regesten
53
282 1422.09.10 — D 13 a
Sigismund, römischer König, König zu Ungarn, Böhmen etc., an Bürgermeister, Ratsherren und alle Bürger der Stadt Lübeck: teilt ihnen mit,
dass aufgrund einer Klage vor dem Hofgericht gegen die Bürgermeister,
Ratsherren und alle Bürger der Stadt Hamburg die Acht und Aberacht
des Reiches verhängt worden sei ............................................................................312
283 1422.09.10 — D 13 b
Sigismund, römischer König, König zu Ungarn, Böhmen etc., an die
Herzöge Otto und Wilhelm von Braunschweig: teilt ihnen mit, dass
aufgrund einer Klage vor dem Hofgericht gegen die Bürgermeister,
Ratsherren und alle Bürger der Stadt Hamburg über 14 Jahren dieselbe
Acht und Aberacht des Reiches verhängt worden sei wie einst gegen
den Neuen Rat zu Lübeck .........................................................................................313
284 1422.09.10 — F 13
Sigismund, römischer König, König zu Ungarn, Böhmen etc., an Friedrich Landgrafen von Thüringen: teilt ihm mit, dass aufgrund einer
Klage vor dem Hofgericht gegen die Bürgermeister, Ratsherren und alle
Bürger der Stadt Hamburg über 14 Jahren dieselbe Acht und Aberacht
des Reiches verhängt worden sei wie einst gegen den Neuen Rat zu Lübeck .314
285 1422.09.10 — F 15
Sigismund, römischer König, König zu Ungarn, Böhmen etc., an Bürgermeister, Ratsherren und alle Bürger der Stadt Lüneburg: teilt ihnen
mit, dass aufgrund einer Klage vor dem Hofgericht gegen die Bürgermeister, Ratsherren und alle Bürger der Stadt Hamburg über 14 Jahren
dieselbe Acht und Aberacht des Reiches verhängt worden sei wie einst
gegen den Neuen Rat zu Lübeck ..............................................................................315
286 1422.11.11 — O 5 [1]
Bürgermeister, Ratsherren und ganze Gemeine zu Hamburg beurkunden ihre Einigung mit den Vögten, Schließern, Geschworenen, Ratgebern und der gesamten Gemeine Dithmarschens wegen aller Schäden,
die die Dithmarscher Hamburger Bürgern oder Einwohnern angetan
hätten, ebenso wegen des Unrechts, das den Dithmarschern durch die
Hamburger geschehen sei ........................................................................................316
54
Ver zeichnisse
287 1422.11.11 — O 5 [2]
Vögte, Schließer, Geschworene, Ratgeber und gesamte Gemeine Dithmarschens beurkunden ihre Einigung mit Bürgermeistern, Ratsherren
und der ganzen Gemeine zu Hamburg wegen des Unrechts, das den
Dithmarschern durch die Hamburger geschehen sei, ebenso wegen des
Unrechts, das die Dithmarscher Hamburger Bürgern oder Einwohnern
angetan hätten ..........................................................................................................317
288 1422.11.29 — Rr 45 b
Der Notar Siffridus Stevenshaghen bestätigt das Zeugnis des Ratsherrn
Johann Cletze über eine im Buch des Rates eingetragene Rente von
20 m., die Seghebandus Stoer, Priester, zugehöre ...............................................318
289 [1423–1443] — Vv 17
Ausgabenrechnung der Mauritius-Bruderschaft an St. Katharinen .................319
290 1423.02.02 — Cc 28
Bernd Roer und Clawes Roer, Vettern, schwören Urfehde gegenüber
Erich [V.], Herzog von Sachsen, seinen Brüdern Bernhard [II.] und Otto,
ihren Landen und Untertanen, sowie den Städten Lübeck, Hamburg
und Lüneburg .............................................................................................................319
291 1423.02.02 — Cc 29
Kone van Redestorp schwört Urfehde gegenüber Erich [V.], Herzog von
Sachsen, seinen Brüdern Bernhard [II.] und Otto, ihren Landen und
Untertanen, sowie den Städten Lübeck, Hamburg und Lüneburg ....................320
292 1423.02.02 — Cc 30
Bernd Roer und Clawes Roer, Vettern, machen bekannt, dass sie sich
auch für ihre Knechte Hans Lobeken, anders gheheten Wynterveld,
Ernst Mund, Vrittze Trebbow, Arnd Mollendorp, Herman Cremon,
Hennyngh Wyndewand, Gherke Herbrecht, Hans Vasta und Henneke
Hulsebeken, die mit ihnen im Gefängnis der Stadt Hamburg gesessen
hätten, mit den vom Rat beauftragten Ratsherren über eine Lösegeldzahlung von 400 m. lüb. für ihre Freilassung geeinigt hätten ............................321
293 1423.02.02 — Gg 31 (1)
Hans Hesselstorp, Knappe, bekennt, auch für seine Knechte Vicko Smylow und Clawes Preen, dass er sich mit den vom Rat beauftragten Ratsherren über eine Lösegeldzahlung von 100 m. lüb. für ihre Freilassung
geeinigt hätte, und gelobt sich bei Nichtzahlung zum Einlager einzufinden .322
Ver zeichnis der Regesten
55
294 1423.02.02 — Gg 31 (4)
Hans Hesselstorp, Knappe, schwört Urfehde gegenüber Erich [V.], Herzog von Sachsen, seinen Brüdern Bernhard [II.] und Otto, ihren Landen
und Untertanen, sowie den Städten Lübeck, Hamburg und Lüneburg ............323
295 1423.02.04 — Cc 25
Hans van Hidsacker der Jüngere schwört Urfehde gegenüber Erich [V.],
Herzog von Sachsen, seinen Brüdern Bernhard [II.] und Otto, ihren Landen und Untertanen, sowie den Städten Lübeck, Hamburg und Lüneburg ....324
296 1423.02.04 — Cc 26
Johan van Hittzacker, Knappe, macht bekannt, dass er sich mit den vom
Rat beauftragten Ratsherren über eine Lösegeldzahlung von 60 m. lüb.
für seine Freilassung geeinigt habe ........................................................................325
297 1423.02.04 — Cc 27
Kersten Wardenberch schwört Urfehde gegenüber Erich [V.], Herzog
von Sachsen, seinen Brüdern Bernhard [II.] und Otto, ihren Landen und
Untertanen, sowie den Städten Lübeck, Hamburg und Lüneburg ....................325
298 1423.03.04 — Pp 105
Die Kardinäle Angelus, Bischof von Praeneste, Antonius, titulo S. Susanne, Priester der Kirche von Aquileja, und Ludovicus de Flisco, Diakon
von St. Hadrian, machen bekannt, dass sie den Besuchern des Mariendoms zu Hamburg für bestimmte Festtage einen Ablass von 300 Tagen
gewährt hätten ...........................................................................................................326
299 1423.03.07 — X 11
Gherardus, Dekan, und das Domkapitel zu Hamburg vidimieren eine
Urkunde von 1384 Juni 10 (Nr. N5), machen bekannt, dass der Ratsherr
Hinricus Hoyer, sein Bruder Albert sowie ihre Schwester Abele, Witwe
Hilmar Lopows, zwei einst von Albertus Hoyer gestiftete Vikarien an
St. Nicolai angesichts von Verlusten zusätzlich mit Renten von 52 m.
und Kapital von 40 m. ausstatten wollten, nehmen Renten und Kapital
unter kirchlichen Schutz und statten die Vikarien mit den zusätzlichen
Mitteln aus ..................................................................................................................327
300 1423.03.29 — Ll 53
Bürgermeister und Rat zu Hamburg an Bürgermeister und Rat zu Groningen: bitten um die Bezahlung der vereinbarten Entschädigung von
90 Arnheimschen gld. für die Hamburger Bürger, die in dem im letzten
Herbst durch Groningen genommenen Schiff des Adam van Wyringhe
ihr Bier verloren hätten ............................................................................................329
56
Ver zeichnisse
301 1423.04.08 — Cc 31
Clawes van Verbisse und Ghereke Louwesikke, Knechte und Diener von
Kersten Wardenberghe, Henneke to Holte, Dyderic Muringh, Jacob
Wipprecht, Laurencius Schroder und Clawes Oltghert, Knechte und
Diener von Kone van Restorpe, schwören Urfehde gegenüber Erich [V.],
Herzog von Sachsen, seinen Brüdern Bernhard [II.] und Otto, ihren Landen und Untertanen, sowie den Städten Lübeck, Hamburg und Lüneburg ....329
302 1423.04.08 — Cc 32
Hans Lobeke anders gheheten Wynterfeld, Ernst Mund, Vrittze Trebbow, Arnd Mollendorp, Herman Cremon, Hennyngh Wyndewand,
Gherke Herbrecht, Hans Vasta und Henneke Hulsebeke, Knechte und
Diener von Bernd und Clawes Roer sowie Hennyngh Breseke, Knecht
und Diener von Otto Grevenitze, schwören Urfehde gegenüber Erich
[V.], Herzog von Sachsen, seinen Brüdern Bernhard [II.] und Otto, ihren
Landen und Untertanen, sowie den Städten Lübeck, Hamburg und
Lüneburg .....................................................................................................................330
303 1423.04.08 — Gg 31 (2)
Vicko Smylow und Clawes Preen, Knechte und Diener des Hans Hesselstorp, schwören Urfehde gegenüber Erich [V.], Herzog von Sachsen,
seinen Brüdern Bernhard [II.] und Otto, ihren Landen und Untertanen,
sowie den Städten Lübeck, Hamburg und Lüneburg ...........................................331
304 1423.04.18 — Cc 33
Kone Rastorpe, Knappe, macht bekannt, dass er sich mit dem Hamburger Rat über seine Lösegeldzahlung für seine Freilassung geeinigt
und ihm wegen seines Entgegenkommens gelobt habe, ihm mit sechs
gewappneten guten Knappen zu dienen ...............................................................332
305 1423.04.18 — Cc 34
Kersten Wardenberch, Knappe, macht bekannt, dass er sich mit dem
Hamburger Rat über seine Lösegeldzahlung für seine Freilassung geeinigt und ihm wegen seines Entgegenkommens gelobt habe, ihm mit
drei gewappneten guten Knappen zu dienen .......................................................333
306 1423.04.18 — Cc 35
Bernd und Clawes geheten Roer, Knappen, machen bekannt, dass
sie sich mit dem Hamburger Rat über ihre Lösegeldzahlung für ihre
Freilassung geeinigt und ihm wegen seines Entgegenkommens gelobt
haben, ihm mit zehn gewappneten guten Knappen zu dienen .........................334
Ver zeichnis der Regesten
57
307 1423.04.18 — Gg 31 (3)
Hans Hesselstorp, Knappe, macht bekannt, dass er sich mit dem Hamburger Rat über seine Lösegeldzahlung für seine Freilassung geeinigt
und ihm wegen seines Entgegenkommens gelobt habe, ihm mit drei
gewappneten guten Knappen zu dienen ...............................................................334
308 1423.05.05 — F 14
Sigismund, römischer König, König von Ungarn, Böhmen, Dalmacien,
Kroatien usw., bevollmächtigt Niclas von Reibnicz zu Verhandlungen
mit Bürgermeister, Rat und Bürgern der Stadt Hamburg über die gegen
sie verhängte Acht und Aberacht ............................................................................335
309 1423.05.06 — B 17
Sigismund, römischer König, König von Ungarn, Böhmen, Kroatien,
usw. macht bekannt, dass er Bürgermeister, Ratsherren und ganze Gemeinde von Hamburg aus Acht und Aberacht des Reiches gelassen und
sie von allen Forderungen befreit habe .................................................................336
310 1423.06.25 — X 14
Gherardus, Dekan, und das Hamburger Domkapitel geben bekannt,
dass Bürgermeister und Ratsherren der Stadt Hamburg ihnen gestattet
hätten, die Abwässer des Turms und des Aborts in den dabei liegenden
Wall eingraben zu lassen ..........................................................................................337
311 1423.09.01 — Gg 28 s
Hermen Steygerbergh quittiert Bürgermeistern und Rat der Stadt
Hamburg die Zahlung des Lösegelds aus der in ihrem Dienste erlittenen
Gefangenschaft bei Dethard van Weddeschen sowie Kosten, Schaden
und Zehrung ...............................................................................................................337
312 1423.09.07 — Gg 28 t
Dethard van Weddeschen, Knappe, quittiert Bürgermeistern und Rat
der Stadt Hamburg die Zahlung von Lösegeld sowie Kosten, Zehrung
und Schaden wegen seines Knechts Hermen Storgerberges, der in
ihrem Dienste in Gefangenschaft geraten sei .......................................................338
313 1423.09.28 — Oo 100
Gherardus, Dekan, und das gesamte Domkapitel machen bekannt,
dass von den 10 m. Renten, die ihnen die Knappen Bertram Sabel und
Johannes Hummersbuttel verkauft hätten, 2 pfd. zur Vikarie gehörten,
die Heyno Leseman, Bürger Hamburgs, in St. Petri gestiftet habe, und
vidimieren die Urkunde von 1408 November 11 (Nr. 126) ..................................338
58
Ver zeichnisse
314 1423.10.22 — Tt 45 [1] und [2]
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass Johannes Werneri, Kantor, Hermannus Kreveth, Kanoniker, Johannes Verdis, Vikar an St. Petri, und der Hamburger Bürger Ludolfus de
Eysen als Testamentsvollstrecker des Priesters Johannes Gronow eine
Vikarie an St. Petri mit Renten von 36 m. ausstatten wollten, nehmen
die Renten unter kirchlichen Schutz und errichten die Vikarie .......................339
315 1423.11.03 — Ss 53
Gherhardus, Dekan, und das Hamburger Domkapitel machen bekannt,
dass Dietrich Strobelingh, Hermann de Buren, Kanoniker, Johannes
Lutteke, Tymmo Hummersbuttell, Vikare, und Siffrid Hardestorp,
Priester der Diözese Verden, als Testamentsvollstrecker des verstorbenen Johannes Bernardi eine Vikarie am Altar der hl. Antonius und
Wenzel im Dom mit Renten von 30 m. ausstatten wollten, nehmen die
Renten sowie eine weitere Stiftung von 8 m. unter kirchlichen Schutz
und errichten die Vikarie .........................................................................................341
316 1423.11.29 — Oo 152
Petrus van der Lynden, Priester der Lübecker Diözese, quittiert den
Empfang von 100 m. von insgesamt 200 m. lüb., die er von den Dekan
und Domkapitel zu Hamburg in Sadelbande, Diözese Ratzeburg, zustehenden Zehntgeldern innehabe, durch Johannes Mund, Kanoniker der
Hamburger Kirche .....................................................................................................342
317 1424.01.06 — Ee 58 a und b
Nickel von der Rybenicz, Ritter, bezeugt die im Auftrag des römischen
Königs Sigismund mit Bürgermeistern und Ratsherren der Stadt Hamburg erreichte Einigung über die Lösung aus der Reichsacht, derer sie
und ihre Bürger verfallen gewesen seien, und quittiert den Empfang
von 3500 ungar. gld. und einem blauen Brüsseler Tuch .....................................342
318 1424.01.07 — Y 8
Die Ratsherren von Breslau bezeugen, dass vor ihnen Nickel von der Rybenicz, Ritter, erklärt habe, von Bürgermeister und Rat der Stadt Hamburg im Namen des römischen Königs Sigismund 3.500 ungar. gld. und
ein Brüsseler Tuch erhalten zu haben; damit sei die Lösung Hamburgs
aus der Reichsacht erfolgt ........................................................................................343
Ver zeichnis der Regesten
59
319 1424.01.13 — Tt 43 (3)
Hinrik Hoyer, Bürgermeister zu Hamburg, bekennt, dass ihm im Rentenbuch des Rates zugeschriebene Renten von 13 m. nicht gehörten,
sondern ihm zu treuer Hand übergeben seien von einer Präbende an
St. Petri, der seine Frau Gherborch vorstehe ........................................................344
320 1424.03.26 — Zz 23
Hinrik Thevelt und Erik van Tzeven, Hofherren, und Heyne Wenttorp,
Hofmeister zu St. Jürgen zu Hamburg, bezeugen eine Einigung mit den
Pfründern Bernt Ostink, Meister Johan Symenshusen, Hermen vamme
Horne, Claus Karnap, Johan Kattke, Hermen Grubenhaghen und Greteke Wirloes über die Nutzung des Blocks (Spendenkastens) vor dem
Altar der Pfründer .....................................................................................................344
321 1424.08.15 — Gg 32 a
Kersten Karstede, Knappe, macht bekannt, dass er sich mit den vom Rat
beauftragten Ratsherren über eine Lösegeldzahlung von 60 m. Pfennige
für seine Freilassung geeinigt habe ........................................................................345
322 1424.08.15 — Gg 32 b
Kersten Karstede, Knappe, schwört Urfehde gegenüber Erich [V.], Herzog von Sachsen, seinen Brüdern Bernhard [II.] und Otto, ihren Landen
und Untertanen, sowie den Städten Lübeck, Hamburg und Lüneburg ............346
323 1424.09.02 — L 42
Bürgermeister und Ratsherren von Ribe an die Bürgermeister und
Ratsherren der Stadt Hamburg: bezeugen, dass die Klippen (Klipppfennige) auf dem Ripener Markt 1423 September 8 verrufen worden und
wertlos seien ...............................................................................................................347
324 1424.09.07 — W 12
Werner, Dompropst, Gherd, Dekan, und das Domkapitel zu Hamburg
bestätigen, dass Bürgermeister und Ratsherren der Stadt Hamburg
ihnen für die privaten Bedürfnisse am Wall eine Moderkiste an ihrem
Abtritt erlaubt hätten ...............................................................................................347
325 1424.09.11 — P 52 [1]
Haye Ripperda, Häuptling von Farmsum, bekennt vor allen, insbesondere vor Bürgermeistern und Rat von Hamburg, dass der Ewer, den Eggho van der Ijlste und Henric Bley, Bürger zu Groningen, Henrick Wolff
und Johan Katte verkauft hätten, den Holländern in einem offenen
Krieg geraubt worden sei .........................................................................................348
60
Ver zeichnisse
326 1424.09.12 — P 52 [2]
Lubbert Esschyng, Amtsmann des Gerichts von Selward, bekennt vor
allen, insbesondere vor Bürgermeistern und Rat von Hamburg, dass
der Ewer, den Henric Wolff und Johan Katte, Bürger von Kampen, von
Egghe van der Ijlste und Henric Bley, Bürgern zu Groningen, gekauft
hätten, den Holländern in einem offenen Krieg geraubt worden sei ...............348
327 1424.09.19 — P 52 [3]
Poppe Snelghers, Junghe Onno, Thyaert Wittens und Poppeke Uffens,
Richter to den Damme, bekennen vor allen, insbesondere vor Bürgermeistern und Rat von Hamburg, dass der Ewer, den Henric Wolff und
Johan Katte, Bürger von Kampen, von Egghe van der Ijlste und Henric
Bley, Bürgern zu Groningen, gekauft hätten, den Holländern in einem
offenen Krieg geraubt worden sei ...........................................................................349
328 1424.09.26 — T 2 [I] und [II]
Bürgermeister und Rat der Stadt beurkunden die Entscheidung, die sie
als Schiedsleute zwischen Propst, Dekan und Domkapitel zu Hamburg
einerseits sowie Prioren, Gardianen und Konventen der Dominikaner
und Franziskaner in Hamburg und zu Meldorf in ihren Streitigkeiten,
insbesondere wegen des Viertels der Opfer, die den drei Klöstern geleistet werden, getroffen haben ....................................................................................349
329 1424.12.24 — Oo 60
Hermen van Balghe und Steen van den Buyen, Vikare, sowie Lippold
Ruenteshorn, Hinrik Scheleke, Bernd Boleman, Hinrik van Elte, Albert
van der Hude, Hinrik van dem Borstele, Reymer van Broclo und Heyne
van Ghotinghe, Bürger von Verden, geloben, Propst, Dekan und Domkapitel zu Hamburg sowie die Bauern des Kirchspiels Siek wegen der
Gefangenschaft des dortigen Kirchherrn Arnd Stuve nicht weiter zu
belangen ......................................................................................................................350
330 1425.02.01 — Gg 34
Erich [V.], Herzog von Sachsen, quittiert dem Rat der Stadt Hamburg
über in Lübeck und Hamburg gängige 150 m. aus der Schatzung, Beute
und der Habe der Gefangenen der Lübecker und Hamburger aus der
Mark Brandenburg und der Prignitz ......................................................................351
331 1425.03.22 — Ee 59
Borchard Krumedik, […] Steene, Knappen, schwören Bürgermeistern,
Ratsherren und ganzer Gemeine zu Hamburg sowie allen Einwohnern
und Untersassen Urfehde .........................................................................................352
Ver zeichnis der Regesten
61
332 1425.04.03 — Ww 10
Gherhardus, Dekan, und das Hamburger Domkapitel machen bekannt,
dass Johannes Redeber, Pfarrer zu Winsen, Bernardus Fabri, am Dom,
Helmold Lyndeman, zu St. Petri, Johannes Ulsen und Christian Bentsnider, zu St. Nikolai Vikare, als Testamentsvollstrecker des Vizerektors
von St. Jacobi, Johannes Schele, eine Vikarie am Altar der hl. Erasmus,
Servatius, Cecilia, Dorothea und Elisabeth in St. Jacobi mit Renten
von 24 ½ m. ausstatten wollten, nehmen die Renten unter kirchlichen
Schutz und errichten die Vikarie ............................................................................352
333 1425.06.23 — Rr 94
Frederik Wesseken schwört Propst, Dekan und Kapitel der Kirche zu
Hamburg Urfehde ......................................................................................................353
334 1425.08.01 — Kk 52
Ulricus van Verwen, Vikar in der Kapelle des hl. Geistes zu Hamburg,
macht bekannt, dass er 16 m. jährlicher Rente für eine Messstiftung
geben wolle, dazu ein Missale, einen Kelch mit Patene, ein Messgewand
und ein Gebetbuch, die ewig bei dieser Stiftung bleiben sollten .......................354
335 1425.09.30 — Gg 33
Reyneke Strote, Knappe, quittiert der Stadt Hamburg den vollständigen
Empfang seines Soldes für seinen Dienst mit drei Pferden sowie ein
Geschenk von 20 Arnheimschen gld. ......................................................................355
336 1425.10.13 — P 23
Die Häuptlinge von Föhr sprechen den Rat von Hamburg von allen Ansprüchen frei wegen 50 m., die von Clawes Krulle, Bürger zu Hamburg,
mit Beschlag belegt gewesen und von Rikwert und seinem Bevollmächtigen Heyne Brandes ausgelöst worden seien ......................................................356
337 1426.01.18 — Ss 57
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass der Hamburger Bürger Hinricus Meymerssen die Vikarie am Altar
der 11 000 Jungfrauen im Dom, die nur noch geringe Einkünfte habe,
zusätzlich mit Renten von 32 m. ausstatten wolle, nehmen die Rente
unter kirchlichen Schutz und weisen die Einkünfte der Vikarie zu .................356
338 1426.03.12 — O 47
Die Bauerschaften von Barlt, Volkenesworden, Kannemoor und Trennewurth erklären, dass sie eine Kirche zu Ehren der Mutter Gottes, des
heiligen Kreuzes und aller Seelen errichten und ausstatten wollten ...............357
62
Ver zeichnisse
339 1426.06.18 — Tt 46 (1)
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass ihr Mitkanoniker Hermannus Crevet am Altar des Apostels Bartolomäus, der Märtyrer Wenzel und Hadrian und der Jungfrau Katharina
in St. Petri eine ewige Vikarie mit Renten von 34 m. ausstatten wolle,
billigen die Stiftung, nehmen den Besitz unter kirchlichen Schutz und
errichten die Vikarie .................................................................................................358
340 1426.11.15 — Rr 27
Gerhardus, Dekan, und das ganze Domkapitel Hamburgs an Hermannus
de Buren, Magister Hermannus Vos und Hinricus Gherlaci, ihre Mitkanoniker: teilen mit, dass 1426 November 12 Wernerus Militis, Dompropst, verstorben sei und die Neuwahl auf 1426 November 21 festgesetzt
sei, und fordern zur persönlichen Teilnahme an der Wahl auf .........................360
341 1426.11.30 — Ss 58 [1] und [2]
Johannes Elterstorp, ewiger Vikar am Dom, verfügt testamentarisch
eine Stiftung von 100 m. lüb. für die Zusammenlegung zweier Kapellen,
64 m. an Renten sowie 90 m. Kapital zur Umwandlung in Renten für
acht Vikare und Priester am Dom ...........................................................................360
342 1427.01.03 — Ss 58 [1] und [2]
Gherhardus, Dekan, und das Hamburger Domkapitel machen bekannt,
dass ihnen Magister Johannes Bennyn und Hinricus de Buttel, Vikar am
Dom, als Testamentsvollstrecker Johannes Elt[erstorps] die Verfügung
Johannes Elterstorps von 1426 November 30 (Nr. 341) vorgelegt hätten,
die sie vidimieren, nehmen die Stiftung an und sichern die erbetene
Verwendung zu ..........................................................................................................361
343 1427.01.27 — Ll 15
Guolteroto de Bardis und seine Gesellschafter quittieren den Empfang
von 220 goldenen Kronen durch Tydemannus Holdenstede aus Hamburg, die ihnen Magister Hermannus Kreyenberch schuldig gewesen sei ......362
344 1427.01.31 — Xx 65
Vor einem unbekannten Notar appellieren Bürgermeister und Rat
Hamburgs an den Heiligen Stuhl gegen ein Schreiben in Sachen des
Konflikts mit Johannes Bekerholt, der freiwillig auf sein Ratsamt verzichtet habe, aber nach einem Mandat von Bischof Jacobus von Adria
wieder in seine Rechte eingesetzt werden solle ...................................................363
Ver zeichnis der Regesten
63
345 1427.05.06 — Ll 15
Gherhardus, Dekan, und das Hamburger Domkapitel transumieren auf
Bitten von Johannes Wadenkothe, ewiger Vikar am Dom und Schreiber
des Hamburger Rats, die Urkunde Guolteroto de Bardis von 1427 Januar
27 (Nr. 343) ..................................................................................................................365
346 1427.05.12 — Oo 128 [1]
Der Notar Cristianus Zaltow bezeugt die Verhandlungen vor Henricus
Beye, Richter, Nicolaus Mosseken, Coppekin Meyer und Petrus Berleves,
Schöffen des Alten Lands, zwischen Hermannus de Buren und Johannes
Kust, Kanonikern, Henricus Buttel und Cristianus Gerdow, Vikaren zu
Hamburg, als Vertretern der Hamburger Kirche, einerseits sowie dem
Knappen Hermann Schulte andererseits. Richter und Schöffen bestätigen Hermanns Verkauf von 15 Morgen Ackerland in Dytkerskope an
Propst, Dekan und Domkapitel zum Nutzen der memoriae für 225 m. lüb. ...366
347 1427.05.18 — Oo 128 [2]
Frederik und Hermen gheheten Schulten, Söhne des langen Frederik
Schulten, Knappen und Burgmannen in Horneburg, machen bekannt,
dass sie Hinrik van Anderlinge, Ratsherrn zu Stade, für 130 m. lüb. 13 m.
jährlicher Rente aus ihrem Gut im Kirchspiel Dytherskope verkauft
hätten. .........................................................................................................................367
348 1427.09.22 — Nn 128
Herdingh Stake, Ritter, und Detleff van Bukwolde, Knappe, machen
allen und insbesondere Bürgermeistern und Ratsherren der Stadt
Hamburg bekannt, dass der von Tydericus van Lutter ergriffene Dieb
unzurechnungsfähig und daher von Rat und Vogt zu Oldesloe wieder
freigelassen worden sei ............................................................................................368
349 1427.10.20 — Oo 128 [3]
Hermen Schulte, langen Frederikes son, Ghernd und Hermen, Söhne
Hermens, alle geheten Schulten, Burgmannen zu Horneburg, machen
bekannt, dass sie Gherleg Schele, seinen Erben und den Inhabern dieser
Urkunde für 10 m. lüb. 1 m. Rente verkauft hätte, die neben schon zu
zahlenden 8 m. und 13 m. aus ihrem Gut im Kirchspiel Dytkerskope
kommen würden ........................................................................................................368
64
Ver zeichnisse
350 1427.11.23 — Bb 16 b
Herzog Philipp von Burgund bekundet eine Vereinbarung mit Eggert
Cluyver, Sendebote von Lübeck und Lüneburg, und Jan van Wadekote,
Sendebote von Hamburg, dass über aufgehaltene und verlorene Güter
auf einer Tagfahrt 1428 Mai 1 entschieden werden solle, solange könnten die Bürger der drei Städte in seinen Landen frei verkehren .......................369
351 1428.03.07 — I 1 a[1]
Gerardes, Dekan, und das gesamte Domkapitel zu Hamburg vidimieren
für Bürgermeister und Ratsherren zu Hamburg das Privileg Herzog
Albrechts von Bayern von 1403 August 14 (Nr. 77) ..............................................369
352 1428.06.28 — Xx 48
Lucidus de Comitibus, Kardinaldiakon von St. Maria in Cosmedin an alle
Geistlichen der Diözesen Bremen, Hildesheim, Halberstadt und Verden:
berichtet über das Verfahren im Streit zwischen Johann Bekerholt und
dem Hamburger Rat und publiziert das Urteil, nach dem Bürgermeister
und Rat von allen kirchlichen Strafen befreit, die im Verfahren durch
Jakob Bischof von Adria und den vorgeblichen subexecutor Borchard de
Hardenburgh gegen sie verhängt worden seien ..................................................370
353 1428.07.08 — W 14
Martin V., Papst, an Bischof [Jacobus] von Adria, den Propst zu Lübeck
und den Kantor zu Schleswig: setzt auf Bitten von Johannes Luneborg,
Henricus tho dem Berge, Bürgermeister, Hinricus Jenefeld, Ericus van
Czeven, Johannes Gulczow, Vicko von den Hove und Wichmann Gronenwald, Ratsherren zu Hamburg, Johannes de Palena, seinen Kaplan,
als Richter im Streit zwischen olim dilectus filius Wernherus de Hachede, Vikar am Dom, über 300 m. lüb. zur Ausstattung seiner Vikarie ein .........373
354 1428.08.03 — Vv 22
Hans Parpert, Bürger und Einwohner des Blekes zu Mölln, bekennt, aus
seinem Eigentum Dekan und Domkapitel zu Hamburg 2 m. Renten für
eine Vikarie an St. Katharinen schuldig zu sein ...................................................374
355 1428.10.08 — Gg 36
Hinrik van Rypen, Bürger zu Reval, quittiert den Empfang von 100 m.
lüb. Soldgeld vom Rat zu Hamburg und bevollmächtigt Hinrike Grypeshorne, Bürger Lübecks, zum Empfang der übrigen 500 m. lüb. ..................374
Ver zeichnis der Regesten
65
356 1428.10.16 — Gg 35
Hennyngh Schramme bevollmächtigt Hinrike Grypeshorne, Bürger Lübecks, zum Empfang von 200 m. lüb. Soldgeld vom Rat der Stadt Hamburg ...375
357 1428.10.20 — Gg 37
Hinrik Grypeshorne, Bürger Lübecks, quittiert dem Rat der Stadt
Hamburg über 210 m. lüb. Sold für die Kogge des Clawes Keding, der ihn
zum Empfang des Geldes bevollmächtigt habe ....................................................375
358 1428.10.29 — O 48
Otto [Graf von Hoya], Propst, Gherhardus, Dekan, und das Hamburger
Domkapitel gestatten den Einwohnern von Barlt und Volkenesworden
den Bau einer Filialkirche unter dem Namen des Heiligen Kreuzes und
St. Marien mit Friedhof unter Nutzung zugewiesener Einkünfte, nehmen diese unter kirchlichen Schutz, behalten sich aber die Besetzung
der Pfarrstelle vor ......................................................................................................375
359 1428.10.29 — O 49
Johannes Middelman, Bremer Domherr und Offizial der Propstei
Hamburg, an alle ihm unterstellten Geistlichen: teilt mit, dass Dekan
und Domkapitel zu Hamburg Johannes Faber, Vikar in der Pfarrkirche
Meldorf, die neu errichtete Pfarrkirche St. Marien in Barlt mit ihren
Einkünften und allen Rechten übertragen hätten ...............................................376
360 1429.02.26 — Kk 88
Martin V., Papst, an den Bischof [Jakob] von Adria und die Dekane in
Lübeck und Ramelsloh: teilt mit, dass Magister Johannes de Opieris, auditor causarum, im Streit um die Zahlung des kanonischen Quarts zugunsten Dekan und Domkapitel zu Hamburg gegen die Klöster St. Marie
Magdalenen und St. Johannis in Hamburg sowie St. Marien in Meldorf
entschieden habe, und fordert, die beiden Klöster sowie St. Marien in
Meldorf zur Zahlung der Prozesskosten von 30 Kammergld. anzuhalten .......377
361 1429.05.20 — L 1
Adolf [VIII.] und Gerhard [VII.], Brüder, Herzöge von Schleswig, machen
bekannt, dass bei ihrer Stadt Hamburg an der Elbe ein Zoll von den
Elbfahrern erhoben werde; sie würden der Stadt nach ihrem Vermögen
den Schaden ersetzen, der aus der Umfahrung des Zolls oder Behinderung bei der Zollerhebung entstehe .......................................................................378
66
Ver zeichnisse
362 [vor 1429.06.01] — Rr 95
Bürgermeister und Rat von Hamburg machen bekannt, dass die Kanoniker Nicolaus Hamborgh aus Hamburg und Thomas Rode aus Lübeck
eine Einigung im Streit zwischen den Hamburgern und Johannes
Bekerholt vermittelt hätten, mit der alle gegenseitigen Forderungen
ausgeglichen seien .....................................................................................................379
363 [vor 1429.06.01] — Rr 95
Johannes Bekerholt macht bekannt, dass die Kanoniker Nicolaus Hamborgh aus Hamburg und Thomas Rode aus Lübeck eine Einigung im
Streit zwischen ihm und Bürgermeister und Rat zu Hamburg vermittelt
hätten, mit der alle gegenseitigen Forderungen ausgeglichen seien ...............380
364 1429.06.01 — Rr 95
Die Notare Marquardus de Stiten und Henricus Berwusch bezeugen die
auf Vermittlung der Kanoniker Nicolaus Hamborgh aus Hamburg und
Thomas Rode aus Lübeck erfolgte Einigung im Streit zwischen Johannes Bekerholt auf der einen und Bürgermeister und Rat zu Hamburg
auf der anderen Seite, vidimieren die Erklärungen der beiden Seiten
(Nr. 362 und 363) und beurkunden die Vereinbarungen über den Austausch der Urkunden ................................................................................................381
365 1429.06.19 — Ff 1 s
Johann [Michelke], Reitenvogt, macht bekannt, dass er sich mit Bürgermeister [und Rat zu Hamburg über Forderungen aus Soldzahlungen]
geeinigt habe ..............................................................................................................383
366 [1429.07.00] — Cc 36 [2]
Curd van Holthusen [Bürgermeister zu Verden] an Bürgermeister und
Rat der Stadt Hamburg: berichtet über seine Bemühungen, Henneke
Rybe und seine Brüder zur Urfehde gegenüber Hamburg zu bewegen ...........383
367 1429.07.13 — Cc 36 [1]
Henneke Rybe schwört Urfehde vor den Hamburger Richteherren,
unter Bürgschaft seiner Brüder Hinrik und Rybbeke Rybe ................................384
368 1429.07.17 — N 47
Wilhelm [I.] und Heinrich [II.], Herzöge von Braunschweig-Lüneburg,
an Bürgermeister und Rat der Stadt Hamburg: bitten um Auszahlung
der ihnen zu 1429 Juli 29 schuldigen 2000 m. an Johannes Schellepeper,
Sodmeister zu Lüneburg, oder seinen Bevollmächtigten ...................................385
Ver zeichnis der Regesten
67
369 1429.09.28 — Cc 37
Henneke Kletse aus der Haseldorfer Marsch schwört Urfehde ........................385
370 1429.11.22 — N 48
Wilhelm [I.] und Heinrich [II.], Herzöge von Braunschweig-Lüneburg,
an Bürgermeister und Rat der Stadt Hamburg: bitten um Auszahlung
der ihnen zu 1429 September 29 zugesagten 1666 m. 10 sol. 8 d. an
Johannes Schellepeper, Sodmeister zu Lüneburg ................................................386
371 1429.11.22 — N 49
Wilhelm [I.] und Heinrich [II.], Herzöge von Braunschweig-Lüneburg,
an Bürgermeister und Rat der Stadt Hamburg: bitten um Auszahlung
der ihnen zu 1430 Februar 2 zugesagten 1666 m. 10 sol. 8 d. an Johannes
Schellepeper, Sodmeister zu Lüneburg ..................................................................386
372 1429.12.02 — Xx 49
Johannes up dem Perde, Senior, und das Hamburger Domkapitel
übertragen Gherardus de Balghe, Dekan, und Magister Johannes Kust,
Kanoniker zu Hamburg, gegen 3 m. jährlicher Pacht einen für bestimmte memoriae vorgesehenen Garten vor der Stadt ...............................................387
373 1429.12.18 — N 50
Johan Schellepeper, Bürgermeister von Lüneburg, quittiert Bürgermeistern und Rat der Stadt Hamburg drei Zahlungen an die Herzöge
Wilhelm und Heinrich von Braunschweig-Lüneburg mit Fälligkeit an
1429 Juli 29 (über 2000 m.), 1429 September 29 und 1430 Februar 2 (über
jeweils 1666 m., 10 sol. und 8 d.) ..............................................................................388
374 1430.02.06 — Cc 38
Hans Hunte schwört Urfehde vor den Hamburger Richteherren .....................388
375 1430.02.11 — Cc 39
Helmich Becker schwört Urfehde vor den Hamburger Richteherren,
auch im Namen seiner Brüder, Ghodekin und Hans, heten Becker ..................389
376 1430.03.13 — Cc 40
Ludeke Nigeman schwört Urfehde vor den Hamburger Richteherren,
unter Zustimmung seiner Brüder Albert und Hans, heten Nigeman, und
seines Sohnes Hans Nigeman ..................................................................................390
377 1430.04.08 — Cc 41
Juries Schutte schwört Urfehde vor den Hamburger Richteherren .................391
68
Ver zeichnisse
378 1430.04.12 — Tt 49
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass Hinricus Kok, Priester der Verdener Diözese, und Ericus de Tzevena, Ratsherr zu Hamburg, am von Ericus begründeten Altar in St. Petri
eine Vikarie mit Renten von 24 m. und Abgaben von 12 Scheffel Weizen
ausstatten wollten, nehmen die Einkünfte unter kirchlichen Schutz und
errichten die Vikarie .................................................................................................391
379 [vor 1430.04.16] — N 51
Wilhelm [I.] und Heinrich [II.], Herzöge von Braunschweig-Lüneburg,
an Bürgermeister und Rat der Stadt Hamburg: bitten um Auszahlung
der ihnen zu 1430 April 16 für den Feldzug nach [Jütland gegen den
König von Dänemark] zugesagten 1333 m. 5 sol. 4 d. an Johannes Schellepeper, Bürgermeister zu Lüneburg .....................................................................393
380 1430.05.17 — Cc 42
Thymme Cruze schwört Urfehde vor den Hamburger Richteherren ...............393
381 1430.05.31 — Cc 43
Kersten Slenter schwört Urfehde vor den Hamburger Richteherren und
sagt die Zahlung von 5 m. zu ....................................................................................394
382 1430.06.03 — Cc 44
Hans van Schesel schwört Urfehde vor den Hamburger Richteherren,
unter Bürgschaft Heynes van Schesel, Bürger zu Hamburg ...............................395
383 1430.06.11 — Cc 45
Cruze Bertold schwört Urfehde vor den Hamburger Richteherren,
unter Bürgschaft von Bertolt Odestorp und Thideke Stormer ..........................396
384 1430.06.25 — Gg 92
Roleff Tornevrese, Clawes van Botmer, Dyderik Clenck, Woldemars
Söhne und sein Sohn Detlyf, die Brüder Johan und Hinrik, geheten de
Molsane, sowie die Brüder Enghelbert, Wynckel, Helmerik, Johan und
Otte, geheten van Campen, erklären Hamburg wegen Borcherd van den
Buyen die Fehde .........................................................................................................396
385 1430.07.05 — Ll 14
Der Rat zu Hamburg an Hinricus de Monte, Bürgermeister, und Ericus
de Tzevena, Ratsherr zu Hamburg, [Ratssendeboten in Nyköping]: geben auf ihr Schreiben Anweisung, wie lange sie zu Verhandlungen mit
König Erik von Dänemark bleiben sollten .............................................................397
Ver zeichnis der Regesten
69
386 1430.07.06 — Cc 46
Hans Catte schwört Urfehde vor den Hamburger Richteherren .......................398
387 1430.07.11 — Cc 47
Detlef Schulte schwört Urfehde vor den Hamburger Richteherren .................398
388 1430.07.11 — Cc 48
Hinrik Bazedorp anders heten Tuteber schwört Urfehde vor den Hamburger Richteherren .................................................................................................399
389 1430.07.12 — Cc 49
Ludeke Hante schwört Urfehde vor den Hamburger Richteherren,
unter Bürgschaft von Wolter St[…]fe und Johan Cruze, Bürger zu Hamburg .. 400
390 1430.07.13 — Qq 24
Nicolaus, Erzbischof von Bremen, bestätigt auf Bitten von Propst,
Dekan und Domkapitel zu Hamburg sowohl die Privilegien wie auch
die weiteren Rechte, Besitzungen, Gewohnheiten und Freiheiten der
Hamburger Kirche .....................................................................................................401
391 1430.08.01 — Cc 50
Langhe Hinrik schwört Urfehde vor den Hamburger Richteherren ................401
392 1430.09.16 — Gg 38
Schiffer Johan Curdekenssone von Schiedam bekennt, dass er und seine
Schiffskinder Gefangene der Stadt Hamburg seien und er gelobt habe,
Hamburg bis nächste Ostern 100 pfd. gr. flämisch zu zahlen und den in
Holland gefangenen Schiffer Symon Rodinghe mit seinen Schiffskindern zu befreien; nach dessen Befreiung würden auch er und die Seinen
freikommen ................................................................................................................402
393 1430.10.05 — Ee 60
Gerhard [VII.], Graf von Holstein, quittiert Bürgermeistern und Ratsherren von Hamburg 700 m. für den Holk, den Ludger van Lamen, Peter
Manssau und Hardenberch mit ihrer Gesellschaft genommen und ihm
übergeben hätten .....................................................................................................403
70
Ver zeichnisse
394 1430.10.14 — Ss 13, Ss 14
Gherhardus, Dekan, und das Hamburger Domkapitel machen bekannt,
dass Nicolaus Roper, Georgius Soltwedel und Hinricus Buttel, Vikare
zu Hamburg, als Testamentsvollstrecker von Segebandus Stoer, einst
Vikar der Kirche, eine Vikarie für einen Magister der Artes am Dom mit
½ Wispel Salz und Renten von 30 m. ausstatten wollten, nehmen die
Einkünfte unter kirchlichen Schutz und weisen sie der Vikarie zu, die
Hermannus de Hamme, Magister in artibus, innehabe .....................................404
395 1430.10.27 — Rr 59 [1] und [2]
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass der Hamburger Bürger Ludolphus Sankenstede und seine Frau
Ghertrudis zur Besserung der kleinen Präbende, die zurzeit Hermannus
Kreveth innehabe, Renten von 20 m. stiften wollten, nehmen die Renten unter kirchlichen Schutz und statten die Präbende mit den zusätzlichen Mitteln aus ........................................................................................................406
396 1430.11.13 — W 14
Jacobus, Bischof von Adria, executor dreier Urteile verschiedener
päpstlicher Richter zugunsten von Bürgermeister und Rat Hamburgs
gegen Wernerus de Hachede, ewiger Vikar an St. Marien zu Hamburg,
über 300 m. lüb. zum Kauf von Renten für den Allerheiligen-Altar, an
den auditor generalis causarum der apostolischen Kammer und alle
Geistlichen der Stadt Hamburg und der Diözese Bremen: inseriert die
päpstliche Bulle von 1428 Juli 8 (Nr. 353), macht die gegen Wernerus
ergriffenen Maßnahmen bekannt und fordert die Bekanntmachung
seiner Exkommunikation wegen Nichtzahlung einer Buße von 42 Kammergld. an den Rat .....................................................................................................407
397 1430.11.18 — Cc 51
Gherd Hardenbergh schwört Urfehde vor den Hamburger Richteherren
und bekundet seine Einigung mit dem junghen Thiderik Luneborghe
und Symon Hoppe, Bürger zu Hamburg ................................................................409
398 1430.12.01 — Cc 52
Hans Kerstens schwört Urfehde vor den Hamburger Richteherren und
bekennt, noch 6 pfd. seiner Buße von 24 pfd. schuldig zu sein, die er bis
1431 Februar 2 zahlen wolle .....................................................................................410
Ver zeichnis der Regesten
71
399 1430.12.22 — W 17
Johannes de Palomar, päpstlicher Kaplan und apostolischer Richter,
berichtet über das von ihm im Auftrag Papst Martins V. durchgeführte Verfahren im Streit zwischen Warnerus de Hachede, Vikar der
Hamburger Kirche, und Bürgermeistern und Rat dieser Stadt über die
Ausstattung seiner Vikarie und die durch Bischof [Jakob] von Adria
verfügte Exkommunikation, löst Warnerus aus der Exkommunikation,
weist aber die Einkünfte der Vikarie bis zur Abzahlung seiner Schuld
von 42 Kammergld. Bürgermeister und Rat zu .....................................................410
400 1431.04.14 — Oo 129 [1]
Eertman Schulte, Burgmann zu Horneburg, quittiert für sich und für
Frederik, Gherold und Hermen, geheten Schulten, Knappen und Burgmannen ebenda, den Empfang von 100 m. lüb. von Dekan und Domkapitel zu Hamburg für ihren erblichen freien Hof in Siebenhöfen und
gelobt, den Hof innerhalb von vier Wochen rechtskräftig an Dekan und
Domkapitel zu übertragen .......................................................................................412
401 1431.04.16 — Nn 111
Herdingh Stake und Detleff van Alevelde, Ritter, Detleff van Bokwolde,
Sohn Volrads, und Volrad Heest, Knappen, geloben, Dekan und Domkapitel zu Hamburg für Johannes Hummersbuttele, Knappe, 1431 Juni 24
bis August 1 26 m. lüb. an ausstehenden Renten zu bezahlen ...........................413
402 1431.05.18 — Oo 129 [2]
Frederik und Ertman, Vetter, Gerold und Hermen, Brüder, geheten
Schulten, Knappen, Burgmannen zu Horneburg, bekennen, Propst,
Dekan und Kapitel der Kirche zu Hamburg ihren erblichen Hof im Alten
Land im Kirchspiel Ditkerskope für 100 m. lüb. verkauft zu haben ...................413
403 1431.05.25 — Gg 93
Hinrik Swartecop und Ghodert Wynnepenningh schwören Urfehde,
nachdem sie versucht hätten, die offenen Feinde des Hamburger Rats
zu unterstützen, und aus ihrer Gefangenschaft durch die Vermittlung
Hamburger Bürger befreit worden seien ..............................................................414
404 1431.06.14 — A 1 a, A 1 b
Heinrich Burggraf zu Meißen und Herr zu Plauen, Hofrichter des
römischen Königs Sigismund, macht bekannt, dass Bürgermeister,
Rat und Bürger Hamburgs vor dem Hofgericht wegen der Mängel bei
der Ladung von der Klage Wigands von Sunborn und Hans Langes frei
gesprochen worden seien .........................................................................................415
72
Ver zeichnisse
405 1431.06.14 — F 16 a, F 16 b
Sigismund, römischer König, König von Ungarn, Böhmen, Dalmatien,
Kroatien usw., befreit Bürgermeister, Ratsherren und alle Bürger der
Stadt Hamburg von der gegen sie wegen der Klage des Anthonii Paulssiin aus Antwerpen verhängten Reichsacht, unter der Bedingung, dass
sie sich zum nächsten Hofgericht nach September 29 der Klage stellen .........416
406 1431.07.24 — Uu 21
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass Meynardus Beveld, ewiger Vikar am Altar St. Jacobi maioris in
St. Nicolai, und Johannes Beveld, Hamburger Bürger, Brüder, zur
Besserung der geringen Einkünfte der Vikarie Meynardus’ Renten von
20 m. stiften wollten, nehmen die Renten unter kirchlichen Schutz und
statten die Präbende mit den zusätzlichen Mitteln aus ......................................417
407 1431.09.21 — I 1 a [2]
Gerardus, Dekan, und das gesamte Domkapitel zu Hamburg vidimieren
für Bürgermeister und Ratsherren zu Hamburg das Privileg Herzog
Albrechts von Bayern von 1403 August 14 (Nr. 77) ..............................................418
408 1431.11.14 — Rr 45 e
Der Notar Cristianus Zoltow bezeugt, dass Magister Hermannus de
Hamme, Henricus Buttel und Petrus Grabow, Vikare zu Hamburg, sowie
Helmoldus Medingh, Kleriker der Bremer Diözese, als Testamentsvollstrecker des Henricus de Gheysmaria, des einstigen Inhabers der
prebenda lectoralis, dessen Hausrat und Gebrauchsgegenstände mit
der Ausstattung an Johannes Holt, sacre theologie professor und Nachfolger Heinrichs, übergeben hätten .......................................................................419
409 1432.03.20 — Ll 17
Jacob Bramstede und Johannes Colman, Ratsherren zu Lübeck, entscheiden im Streit zwischen Johannes Wye und Symon van Utrecht,
Bürgermeistern und Ratssendeboten Hamburgs, auf der einen und den
Lübecker Bürgern Hinrik Gripeshorn, Hinrik Gerlichstede, Herman
Vrome und Cord Hupe auf der anderen Seite, dass der Hamburger Rat
wegen des Schiffes mit dem Namen Kamhuser, das unter Hinrik Hoyer
im Sund geblieben sei, eine Entschädigung von 510 m. lüb. zahlen müsse .....420
410 1432.04.14 — Z 22
Ein unbekannter Notar bezeugt, dass Magister Johannes de Hoya,
Protonotar der Stadt Hamburg, rechtskräftig Paulus de Ebertsen und
Johannes Wadenkote, Vikare am Dom zu Hamburg, zu seinen Prokuratoren berufen habe ....................................................................................................421
Ver zeichnis der Regesten
73
411 1432.06.06 — Tt 11
Gherardus de Balghe, Dekan der Hamburger Kirche, entscheidet als
ordentlicher Richter im Streit zwischen Bernardus Scroder, Kleriker
der Bremer Diözese, und Johannes Duve, Priester der Lübecker Diözese,
über die Vikarie am Altar der hl. Bartholomäus und Theobald in St. Petri, dass Bernardus die Vikarie rechtmäßig zustehe ............................................422
412 1432.08.10 — Oo 138
Hinryk Raed und Peter Hoetwalker, aus Drochterssen im Land Kedinghe, bezeugen, dass Dyderik Gherlevestorp, Bürger zu Hamburg,
und Johan Schutte aus Drochterssen Meister Nicolaus Hamborch,
Domherr, und Meister Johannes Bennyn, Vikar zu Hamburg, für das
Domkapitel zu Hamburg 6 Morgen Landes im Kirchspiel Hamelwörden
für 30 m. übergeben hätten ......................................................................................423
413 1432.08.16 — Gg 40
Bürgermeister und Rat von Wismar an Bürgermeister und Rat von
Hamburg: machen bekannt, dass Cuͤrd Zwarte und Wolter Crogher, die
Briefweiser, für sich und ihre Mithauptleute Bartholomeus Voet, Willem Reynardesson, Hans Osse, Hans Francke, Arnd Bole, Borchart van
Staden, Hans Zwartehaveren, Cleys Klockener, Heyne von Schouwden,
Danneel Vroudenberg, Hanneke Knop, Hermen Grote und Cleys Kuer,
bevollmächtigt seien, von den Städten die zugesagten 250 m. lüb. zu
empfangen ..................................................................................................................424
414 1432.08.27 — Rr 116
Gherardus Dekan, Theodoricus Strobelingh Senior, Johannes Werneri
Kantor, Hinricus Bothell, Hermannus de Buren, Johannes Clovewegge,
Johannes Kust und Johannes de Buren, Kanoniker, berufen für das Domkapitel und den Hamburger Klerus Theodericus de Geynsen, Kanoniker
ihrer Kirche, zu ihrem Vermittler im Streit zwischen ihnen und Grubo
de Werstede, Kleriker der Hildesheimer Diözese, und bevollmächtigen
im Fall der Ernennung eines Oberschiedsrichters Magister Nicolaus
Hamborch ....................................................................................................................425
415 1432.08.31 — Rr 96
Der Notar Ludolphus Quast bezeugt, dass vor ihm Magister Nicolaus
Hamborch für das Domkapitel und Grubo de Werstede, Kleriker der Hildesheimer Diözese, erschienen seien. Nicolaus habe eine Entscheidung
durch den Rat statt durch Schiedsleute abgelehnt und die Verhandlung
notariell festhalten lassen ........................................................................................426
74
Ver zeichnisse
416 1432.09.09 — Gg 39
Gherd Borsouw und Arnd Meklin quittieren Bürgermeistern und Rat zu
Hamburg über 37 ½ m., die sie [im Krieg gegen Dänemark] für Verpflegung zu Flensburg ausgegeben hätten ..................................................................427
417 1432.10.03 — Gg 42
Dideric van Emsen, Knappe, quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld
während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark .428
418 1432.10.23 — Gg 41
Heyne Ghire, Bürger zu Wismar, quittiert Bürgermeistern und Rat zu
Hamburg für sich und seine Mitreeder den Empfang von 50 m. von den
750 m. für das Schiff, das unter dem Hamburger Bürgermeister Hinrik
Hoyer im Sund verlorenging ....................................................................................428
419 1433.02.02 — Nn 132
Adolf [VIII.] und Gerhard [VII.], Herzöge von Schleswig und Grafen
von Holstein, verkaufen Hans Kopeke, Bürger zu Hamburg, und seiner
Ehefrau Gese für 140 m. lüb. zwei Teile von fünf Wispel Roggen, die sie
jährlich aus der Niedermühle in Hamburg hätten ...............................................429
420 1433.07.04 — Gg 45
Hans van dem Berghe und Cord Gherwens quittieren Bürgermeistern
und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz
und Kostgeld während ihrer Gefangenschaft in ihrem Dienst im Krieg
gegen Dänemark ........................................................................................................430
421 1433.07.08 — Uu 36 [1]
Der Notar Bertoldus Meding bezeugt, dass Hinricus Hoyer, Bürgermeister zu Hamburg, zum Nutzen zweier Vikarien in der St. Annen-Kapelle
in St. Nicolai, die einst sein Vater Albertus Hoyer, Ratsherr zu Hamburg,
ausgestattet habe, 14 m. Renten gestiftet und darüber Verfügungen
getroffen habe ............................................................................................................430
422 1433.07.09 — Gg 48
Hans und Hermen, Brüder, gheheten Wittecop, sowie Borghard Bardey
quittieren Bürgermeistern und Rat zu Hamburg die Bezahlung von
Sold, Lösegeld, Schadenersatz und Kostgeld während ihrer Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark ...............................................431
423 1433.07.24 — Gg 46
Mathias Vicke quittiert Bürgermeistern und Rat zu Hamburg die
Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während
seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark ..................432
Ver zeichnis der Regesten
75
424 1433.10.10 — Gg 94
Gyse de Cluver, Knappe, verzichtet gegenüber Bürgermeistern und Rat
zu Hamburg auf die zuvor erhobenen Ansprüche auf das Eigentum des
Johan van Achem, verstorbenen Hamburger Bürgers, unter der Bedingung, dass sich Johans Witwe Beke mit Johans Bruder Ludeke Starke
über den Nachlass vergleiche ..................................................................................432
425 1433.10.24 — Gg 44
Grote Bernd, Knappe, quittiert Bürgermeistern und Rat zu Hamburg
auch für seinen Knecht Hinrik van der Vechte die Bezahlung von Pferden, Sold und Lohn für ihren Dienst für die Stadt ...............................................433
426 1433.11.14 — Gg 49
Volckmar Warendorp quittiert Bürgermeistern und Rat zu Hamburg
die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark .........434
427 1433.12.05 — Gg 47
Hans Rutenberch quittiert Bürgermeistern und Rat zu Hamburg die
Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während
seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark ..................434
428 1433.12.12 — Gg 43
Hans Kerewaghen quittiert Bürgermeistern und Rat zu Hamburg die
Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während
seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark ..................435
429 1433.12.20 — Gg 50
Hans Soltow und Hinrik Schutte quittieren Bürgermeistern und Rat
zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und
Kostgeld während ihrer Gefangenschaft in ihrem Dienst im Krieg gegen
Dänemark ....................................................................................................................435
430 1434.01.12 — W 43
Thiderik Wichman, Kirchherr zu St. Katharinen, bezeugt, dass Wolter
Berchstede und Johan Duͤtzow, gemeinsame Inhaber der memoria zu
St. Katharinen, von Bürgermeister und Rat zu Hamburg das Kapital von
30 m. lüb. für das jährlich zu haltende Gedächtnis für Hinrik Stelle den
Älteren empfangen hätten .......................................................................................436
431 1434.01.15 — Gg 60
Jacob Kruͤn quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner
Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark ..............................436
76
Ver zeichnisse
432 1434.01.16 — Gg 51
Hermen Schyver aus Hannover quittiert Bürgermeistern und Rat zu
Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen
Dänemark ....................................................................................................................437
433 1434.02.06 — Gg 55 a
Bürgermeister und Rat zu Wismar an Bürgermeister und Rat zu Hamburg: ihre Mitbürger Langhehans, Rodcher Nyenborch, die Erben von
Ulrik Grantzin, Katharina, die Witwe von Hermen Eghelsberg, Thomas
Rode, Juries Ulenbruk und Arnd Zweder hätten berichtet, dass man
ihnen noch Sold aus der Zeit schulde, als sie mit dem Schiffer Trepetow in den Öresund in den Krieg zogen; bitten um Auszahlung an den
Beauftragten Rodcher Nyenborgh ..........................................................................437
434 1434.02.13 — Gg 58
Hermen Gherdes quittiert Bürgermeistern und Rat zu Hamburg die
Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während
seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark; es
bürgt Johan van deme Hus, Bürger zu Hamburg ..................................................438
435 1434.03.07 — Gg 55 b
Bürgermeister und Rat zu Wismar an Bürgermeister und Rat zu Hamburg: bitten erneut um Auszahlung des Solds, jeweils 2 ½ m. für fünf
Wochen, für ihre Mitbürger Rotgher Nyenborgh, Ulrijk Grantzyn, Juries
Ulenbrok, Arnd Zweder, Katherina, Witwe Hermen Eghelberghes, Thomas Thode und Langehans, vom Kriegszug in den Öresund, an Rotgher
Nyenborgh und sprechen sie bei Auszahlung von weiteren Forderungen frei .........................................................................................................................438
436 1434.03.07 — Gg 56
Bürgermeister und Rat zu Wismar an Bürgermeister und Rat zu Hamburg: bezeugen, dass Hinric [Ricman], Marquard Knape, Gherd van
Ro[stoke], Gherd [Gh…sches], Hans Schickepijl, Hinric Elstorp, Hinric
[Huer] und Hans Tarnevisse den Wismarer Hinric Ricman bevollmächtigt hätten, ihren noch ausstehenden Sold vom Unternehmen in den
Öresund unter Curd Huep von je 2 ½ m. einzuziehen .........................................439
437 1434.03.16 — Gg 53
Marquart Vinck und Hinrik Schutte quittieren Bürgermeistern und
Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und
Kostgeld während ihrer Gefangenschaft in ihrem Dienst im Krieg gegen
Dänemark ....................................................................................................................440
Ver zeichnis der Regesten
77
438 1434.03.29 — O 50
Schließer und Gemeine in Barlt machen bekannt, dass sie sich über
die Verwendung von Einkünften aus Legaten, Bußen sowie Strafen bei
Totschlag zum Nutzen ihres Kirchspiels geeinigt hätten ...................................440
439 1434.04.08 — Gg 54
Hans van dem Haghen quittiert Bürgermeistern und Rat zu Hamburg
die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark .........441
440 1434.04.17 — P 24
Johan van der Borch quittiert Bürgermeistern und Rat zu Hamburg
über Ersatz für Wunden, Zehrung und Schaden aus seinem Dienste für
die Stadt vor Sibetsburg in Friesland .....................................................................442
441 1434.04.27 — Gg 52
Clawes B[ulle] und Cord Brand quittieren Bürgermeistern und Rat
zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und
Kostgeld während ihrer Gefangenschaft in ihrem Dienst im Krieg gegen
Dänemark ....................................................................................................................442
442 1434.05.05 — Gg 79
Jacob Balke quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner
Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark ..............................443
443 1434.06.27 — O 10
Menghers Clawes und vadde[r] Claws Ecleff, zurzeit Schließer, die
Geschworenen und das gesamte Kirchspiel Büsum machen bekannt,
dass sie sich mit den Ratssendeboten Hamburgs über den Umgang mit
Ralves Kersten sowie über den Schutz der Kaufleute zu Wasser und zu
Lande geeinigt hätten ...............................................................................................443
444 1434.07.24 — Gg 57
Hinrik van deme Kalenberghe und Borchard van Balghe quittieren
Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld,
Schadenersatz und Kostgeld während ihrer Gefangenschaft in ihrem
Dienst im Krieg gegen Dänemark ............................................................................444
78
Ver zeichnisse
445 1434.07.28 — O 8 — Die Vögte, Schließer, Geschworenen und die ganze
Gemeine der Kirchspiele Wöhrden, Weddingstedt, Hemmingstedt,
Neuenkirchen, Lunden, Tellingstedt, Albersdorf und Nordhastedt
sowie Clawes Hinrikes aus Süderdeich und Ekke Rikqwerd aus Hemme
machen bekannt, dass sie mit Bürgermeistern, Rat und der ganzen
Gemeine der Stadt Hamburg eine Vereinbarung um gemeinen Nutzen
und des Friedens willen getroffen hätten .............................................................445
446 1434.08.27 — Gg 59
Marquard Nortman quittiert Bürgermeistern und Rat zu Hamburg die
Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während
seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark ..................446
447 1434.09.20 — Tt 50
Bürgermeister und Rat der Stadt Dannenberg machen bekannt, dass
Magister Johan Stulebars, Domherr zu Kampen, Johannes Vlogele, Kantor der Kirche zu Verden und Vikar des Altars des hl. Martin in St. Petri
zu Hamburg, sowie Dekan und Domkapitel zu Hamburg 3 m. jährlicher
Rente verkauft habe ..................................................................................................447
448 1434.09.28 — Ee 61
Die Vögte, Schließer und die Gemeinen der Kirchspiele Wöhrden, Hemmingstedt, Neuenkirchen, Lunden, Weddingstedt, Tellingstedt, Albersdorf und Nordhastedt an alle, insbesondere an Bürgermeister und Rat
zu Hamburg: berichten über die Tagfahrt zu Itzehoe 1434 September
14; dort sei es um die Schädigung von Kaufleuten durch etliche ihrer
Landsleute, nämlich Radeleves Kersten und seine Helfer, gegangen,
gegen die sie die Hamburger um Truppen gebeten hätten ................................447
449 1434.09.30 — B 11 a und b
Graf Wilhelm von Montfort, Herr zu Tettnang, der Jüngere, macht
bekannt, dass bei dem im Auftrag des römischen Kaisers Sigismund,
König zu Ungarn, Böhmen, etc., zu Regensburg abgehaltenen königlichen Hofgericht Jorg Hutel als Vertreter der Stadt Hamburg erschienen
sei und beantragt habe, die Klage des Anthonn Paulssun aus Antwerpen
gegen Hamburg abzuweisen, da die Hamburger nicht an der Wegnahme seines Besitzes und Schiffes beteiligt gewesen seien. Die Hamburger
seien dabei aufgrund von Zeugenaussagen freigesprochen worden ................448
450 1434.10.19 — P 25
Bolo Hayana aus Simonswolde schwört Urfehde gegenüber der Stadt
Hamburg, der Stadt Emden, dem Amtmann zu Emden sowie den Bürgern und Einwohnern ...............................................................................................449
Ver zeichnis der Regesten
79
451 1434.10.27 — Ss 62 (2)
Lambert Wittenborch, Bürger zu Hamburg, macht bekannt, dass er sein
neu errichtetes Haus am Pferdemarkt mit allem Zubehör für 135 m.
dem Priester Werner Kusel, Vikar am Dom zu Hamburg, verkauft habe ........450
452 1434.12.23 — Gg 61
Hinric Telman, Knappe, quittiert Bürgermeistern und Rat zu Hamburg
die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark .........451
453 1435.01.17 — Gg 65
Reder Heye, Dyderik Knoke und Hans Bekeman quittieren Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während ihrer Gefangenschaft in ihrem Dienst im
Krieg gegen Dänemark ..............................................................................................451
454 1435.02.01 — Gg 63
Clawes Schulte quittiert Bürgermeistern und Rat zu Hamburg die
Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während
seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark ..................451
455 1435.02.05 — Gg 95
Hinrick Howyssch erklärt den Geschworenen von St. Katharinen und
dem Rat von Hamburg Fehde ...................................................................................452
456 1435.02.09 — P 26
Lyuppeko Sebana zu Reyde schwört Urfehde gegenüber der Stadt Hamburg, der Stadt Emden, dem Amtmann zu Emden sowie den Bürgern
und Einwohnern ........................................................................................................452
457 1435.02.13 — O 4
Vogt, Schließer, Geschworene und die Gemeine des Kirchspiels zu Meldorf machen bekannt, dass sie mit Bürgermeistern, Rat und Gemeinheit der Stadt Hamburg um besonderen Nutzen und Frieden willen
eine Vereinbarung geschlossen hätten, auf ewige Zeiten, in gleicher
Weise wie Vogt, Schließer, Geschworene und Gemeinde der Kirchspiele
Oldenswort, Weddingstedt, Hemmingstedt, Neuenkirchen, Lunden,
Tellingstedt, Albersdorf, Nordhastedt sowie Clawes Hinrikes und Ecke
Ricqwerd mit ihren Helfern .....................................................................................453
458 1435.03.09 — Gg 64
Heyne van Schetzel und Clawes Honover quittieren Bürgermeistern
und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz
und Kostgeld während ihrer Gefangenschaft in ihrem Dienst im Krieg
gegen Dänemark ........................................................................................................454
80
Ver zeichnisse
459 1435.04.04 — C 8 a und C 8 b
Kaiser Sigismund, König zu Ungarn, Böhmen, etc., gestattet Bürgermeistern, Rat und Bürgern Hamburgs die Prägung von Goldmünzen
nach Vorbild der rheinischen Gulden und legt das Münzbild und die
Umschrift fest .............................................................................................................455
460 1435.04.05 — Cc 53
Johan Starke, Hamburger Bürger, schwört Urfehde wegen der Haft im
Winserturm aufgrund seiner mangelnden Vernunft ..........................................456
461 1435.04.16 — O 38
Olaus Hinrik, Hasse Herding und Reyndes Hans geloben Bürgermeistern und Rat zu Hamburg, dass sich die freigelassenen Geiseln aus
Büsum, Siwes Johans[sen], Johan van Dichusen, Teden Kersten, Kersten
Tedensone und Kersten van Werven, bis Juni 4 wieder in Hamburg in
derselben Herberge wie zuvor stellen würden .....................................................457
462 1435.05.20 — Qq 64
Baldewinus, bestätigter Erzbischof von Bremen, beruft seinen Offizial
Johannes Meynersen zu seinem Prokurator für die ihm von Papst Eugen IV. gewährten Privilegien sowie bei Propst, Dekan und Domkapitel
zu Hamburg ................................................................................................................457
463 1435.06.01 — O 46 [1]
Der Notar Hinricus Leddinghusen bezeugt, dass Wyneke van dem
Haghen und sein gleichnamiger Sohn dem Kanoniker Hinricus Bothel,
Paulus de Berssen, summus vicarius am Dom, und Eghardus Cluver,
Pfarrherr in Hennstedt in Dithmarschen als Testamentsvollstreckern
des Johannes Prutze, einst ewiger Vikar an St. Johannis in Meldorf, für
150 m. 10 m. jährlicher Rente verkauft hätten, die Wyneke senior aus
dem Erbe des verstorbenen Hamburgers Johannes Scroder erworben habe .458
464 1435.06.03 — O 36 b
Clawes Hinrikes und Hans Heeringes, Grundbesitzer im Kirchspiel
Wesselburen, geloben Bürgermeister und Rat zu Hamburg, dass sich
die freigelassenen Geiseln aus Büsum, Witte Clawes, Cruse Johan, Ede
Johan, Laans Reymer, Metteken Sulvesson Theeden und Kerstens Theeden, bis Juli 25 wieder in Hamburg stellen würden .............................................459
Ver zeichnis der Regesten
81
465 1435.06.04 — Ee 62
Radeleffs Kersten, Johan Clawesson Yebe, Rode Yebe Wyber, Johan Cruse, Brede Wolkeff, Wytte Clawes Johan und Tode Clawes auf der einen
und Clawes Hinrikes, Bockholtes Cruse Johan, Ecke Rygwerd, Junge
Boye Heryng, Danckerdes Johan, Kerstens Clawes, Hans uppe der Loe
und Spretes Hans auf der anderen Seite beurkunden ihre Vereinbarung
zur Beilegung der Konflikte in Dithmarschen ......................................................460
466 1435.07.01 — Gg 62
Hans Cok, anders geheten Righer, quittiert Bürgermeistern und Rat zu
Hamburg die Bezahlung von Sold, Lösegeld, Rüstung, Schadenersatz
und Kostgeld während seiner Gefangenschaft und Verwundung in
ihrem Dienst im Krieg gegen Dänemark im Öresund ..........................................461
467 1435.07.19 — O 36 a
Clawes Hinrikes und Hans Heeringes, Grundbesitzer im Kirchspiel
Wesselburen, geloben Bürgermeister und Rat zu Hamburg, dass sich
die freigelassenen Geiseln aus Büsum, Witte Clawes, Cruse Johan, Ede
Johan, Laans Reymer, Metteken Sulvesson Theeden und Kerstens
Theeden, bis September 29 wieder in Hamburg in derselben Herberge
wie zuvor stellen würden, hoffen aber auf Fristverlängerung, wenn
Schäden der Kaufleute zu Büsum ersetzt würden ...............................................462
468 1435.08.12 — O 37
Johannes Middelman, Propst zu Hamburg, bezeugt eine Vereinbarung zwischen Bürgermeistern und Rat zu Hamburg sowie Reymar
Henson in Hemme, Stolte Tidemansson, Clawes to Vulverssen, Grote
Herringhesson, Clawes to der Dorneword in Lunden, Widerik Bossen
Clawesson uppe Jerrenwisch in Wesselburen, Clawes Krakenson, Bole
to der Dorneword, Hamme Herder upp dem Kineker more in Marne,
Vocke Johan und Tede Boyge zu Elpersbüttel, von Dithmarschen wegen
der Schäden der Kaufleute entsandten Geiseln, über Freilassungen bis
September 29 ..............................................................................................................463
469 1435.09.16 — Gg 67
Hans van Alvelde quittiert Bürgermeistern und Rat zu Hamburg die
Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während
seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark ..................464
470 1435.09.30 — W 44
Ulrik van Tzelle, Hamburger Bürger, verkauft ver Beke Waghens, Nonne
in Harvestehude, für 45 m. 3 m. jährlicher Rente ................................................465
82
Ver zeichnisse
471 1435.11.10 — Cc 54
Titeke Hoyer de junge, Bürger zu Hamburg, schwört Urfehde für seine
Haft im Turm wegen der bösen Worte und Untaten gegen seinen
Schwiegervater ..........................................................................................................465
472 1435.11.25 — Gg 68
Peter Enghelsche quittiert Bürgermeistern und Rat zu Hamburg die
Bezahlung von Sold, Lösegeld, Kostgeld und Schadenersatz während
seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark ..................466
473 1435.11.29 — Gg 69
Hans Cordes quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Kostgeld und Schadenersatz während seiner
Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark ..............................466
474 1435.12.05 — Tt 29
Hans Worm, Bürger zu Hamburg, verkauft 6 m. Renten, die er in vier
Buden im Kirchspiel St. Jacobi habe und ihm im städtischen Rentenbuch zugeschrieben seien, an Dekan und Domkapitel zu Hamburg, zum
Nutzen zwei ewiger Vikarien an St. Petri, gegen Besitz zu Hammerbrook und Kapital von 10 m. ....................................................................................467
475 1435.12.06 — Gg 66
Peter Remstede quittiert Bürgermeistern und Rat zu Hamburg die
Bezahlung von Sold, Lösegeld, Kostgeld und Schadenersatz während
seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark ..................468
476 1436.01.13 — Rr 138
Gherardus, Dekan, und Domkapitel zu Hamburg machen bekannt, dass
Theodoricus Strobelingh und Nicolaus Hamborgh, Kanoniker, sowie
Johannes Lutteke, Vikar der Hamburger Kirche, als Testamentsvollstrecker von Johannes Werneri alias Gherbode, zu Lebzeiten Kanoniker
und Kantor zu Hamburg, dessen letzte Verfügungen für verschiedene
Memorienstiftungen umsetzen wollten, und stimmen der Umsetzung zu ....468
477 1436.01.14 — Gg 72 b
Ludeke Gultzouw quittiert Bürgermeistern und Rat zu Hamburg die
Bezahlung von Sold, Kostgeld und Schadenersatz während seiner Gefangenschaft und Verwundung in ihrem Dienst im Krieg gegen Dänemark ..470
Ver zeichnis der Regesten
83
478 1436.01.15 — Qq 65
Der Notar bezeugt eine Versammlung des Domkapitels zu Bremen und
des Bremer Klerus, die einhellig Theodoricus Alphusen, ewigen Vikar
der Bremer Kirche, zu ihrem Bevollmächtigen berufen hätten, um an
Papst Eugen [IV.] oder das nächste allgemeine Konzil gegen Johannes
Wegener, Kantor zu Schleswig, zu appellieren, der vorgebe, vom Basler
Konzil zum Kollektor für den 20. Pfennig vom Klerus in der Diözese
Bremen bestimmt worden zu sein ..........................................................................470
479 1436.01.25 — O 18
Jacob Wedekens und Johan Stacies, Bürger zu Buxtehude, quittieren
Bürgermeistern und Rat zu Hamburg für den Ersatz der in ihrem Dienste gegen die Dithmarscher erlittenen Schäden ....................................................471
480 1436.01.28 — Gg 71
Hinrik Syverdes quittiert Bürgermeistern und Rat zu Hamburg die
Bezahlung von Sold, Kostgeld und Schadenersatz während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark ...................................472
481 1436.02.06 — Gg 70
Make Hermens quittiert Bürgermeistern und Rat zu Hamburg die
Bezahlung von Sold, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark ...................................472
482 1436.02.06 — Gg 72
Gherlich Hoyger quittiert Bürgermeistern und Rat zu Hamburg die
Bezahlung von Sold, Kostgeld und Schadenersatz während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark ...................................473
483 1436.03.09 — Rr 72
Gherardus, Dekan, und das Domkapitel zu Hamburg bezeugen eine Einigung zwischen Johannes Kust, Domherr zu Hamburg, als Prokurator
von Johannes Rode, Domherr, sowie Magister Johannes Bennyn, ebenfalls Domherr, über die Nutzung der diesseits des Friedhofs von St. Petri
gelegene, verfallene Domherrenkurie, für deren Übernahme Johannes
Bennyn 150 m. zahlen und 100 m. für Reparaturen aufwenden solle ..............473
84
Ver zeichnisse
484 1436.03.14 — O 19
Schließer, Geschworene und Gemeinde des Kirchspiels Büsum an
Bürgermeister und Rat zu Hamburg: entsenden die gestellten Geiseln,
Witteman Clawes und Ede Johan, die Schließer Starken Ighen Diderik,
Boyen Velleff und andere gute Leute des Kirchspiels, Hebbeke Schele,
Lubbeke Boye, Bruningh Clawer und Tebbe Jacob, um mit Hamburg
eine Einigung über die Klagen gegen das Kirchspiel zu erreichen ....................475
485 1436.03.25 — Ff 9 [1] und [2]
Conradus Deester, Vikar am Altar S. Matthiae in St. Nicolai, verkauft
Bürgermeistern und Räten zu Hamburg und Lüneburg für 45 m. das
Recht, die halbe Nacht in dem mittleren Wehr zwischen dem Hope und
Kirchwerder zu fischen .............................................................................................475
486 1436.04.03 — O 6
Clawes Hinrikes to deme Suderdike, Bokels Kruse Johan, Hans Heringk
und Reymers Hans geloben gegenüber Hamburg, dass alles, das aufgrund des Streits mit Radelev Kerstens und in diesem Zusammenhang
geschehen sei, von ihnen ohne Klage, Fehde und Schädigung hingenommen werde ..........................................................................................................476
487 1436.04.24 — P 28
Detleff Bremer, Ratsherr zu Hamburg, zurzeit Bevollmächtigter in
Emden, macht seine Einigung mit Hayge Grisingh bekannt, der Urfehde
geschworen habe und sich von Emden fernhalten werde ..................................477
488 1436.05.11 — Vv 23
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass Johannes Colman, Ratsherr der Stadt Lübeck, zur Besserung der
geringen Einkünfte der Vikarie am Altar des hl. Matthias in St. Katharinen zu Hamburg Renten von 20 m. lüb. stiften wolle, nehmen
die Renten unter kirchlichen Schutz und statten die Vikarie mit den
zusätzlichen Mitteln aus ...........................................................................................478
489 1436.05.24 — R 21 (3) [1] und [2]
Die Vikare an St. Nicolai und St. Jacobi verkaufen Bürgermeistern und
Räten zu Hamburg und Lüneburg ein Viertel des Rechts, in der Nacht
am mittleren Wehr zwischen dem Hope und dem Kirchwerder zu
fischen, für 22 ½ m. lüb. .............................................................................................479
Ver zeichnis der Regesten
85
490 1436.06.11 — B 20
Sigismund römischer Kaiser, König zu Ungarn, Böhmen etc., macht
bekannt, dass die Klage Johann Geislers als Prokurator der kaiserlichen Kammer gegen die Städte Lübeck, Hamburg und Wismar wegen
angeblicher Wegnahme von Habe und Gut des Anthonius Pauls Sun
aus Antwerpen abgewiesen worden sei, weil keine Beweise vorgelegen
hätten und Johann Geiseler auf dem Richttag nach 1436 Juni 3 nicht
erschienen sei ............................................................................................................479
491 1436.06.17 — Ee 63
Radleves Maͤs, Toden Clawes, Unrumes Hans, Stutten Tydemanus,
Johan Krues, Junghe Ywer, Johan Clawesson Jebe, Brune Johan, Wyben
Otte und alle ihre Helfer und Partei machen bekannt, dass sie sich mit
Hinric Rapesulver, Bürgermeister, und Tymme Hadewerkes, Ratsherr
zu Lübeck, Johan Schellepeper, Bürgermeister, und Johan Sprinkintgud,
Ratsherr zu Lüneburg, sowie mit Bürgermeistern und Rat zu Hamburg wegen der Schäden, Fehde und Zwietracht, die zwischen ihnen
geherrscht hätten, miteinander ausgesöhnt hätten ...........................................481
492 1436.06.23 — Gg 71 b
Hillewert Borging, Wilberst Borging sowie Clawes to der Borch, Brüder,
schwören Urfehde .....................................................................................................482
493 1436.08.14 — P 61
Uko Ubben schwört Urfehde gegenüber Detlev Bremer, Amtmann zu
Emden, seinen Nachfolgern sowie Hamburg und Emden ..................................482
494 1436.08.24 — P 27
Hero Ayldsenna zu Boecmora schwört Urfehde gegenüber Detlev
Bremer, Amtmann zu Emden, seinen Nachfolgern sowie den Städten
Hamburg und Emden ................................................................................................483
495 1436.08.26 — O 46 [2]
Der Notar Hinricus Leddinghusen bezeugt, dass Hinricus Bothel, Kanoniker, und Paulus de Berssen, summus vicarius am Dom zu Hamburg,
sowie Eghardus Cluver, Propst der Nonnen zu Uetersen als Testamentsvollstrecker von Johannes Prutze, einst ewiger Vikar in Meldorf,
bestimmt hätten, dass 10 m. jährlicher Renten für Marienhoren und die
Heizung im Dom genutzt werden sollten ..............................................................484
86
Ver zeichnisse
496 1436.11.25 — Nn 23
Adolf [VIII.], Herzog von Schleswig, macht bekannt, dass er Dekan,
Domkapitel zu Hamburg und seinem Kaplan Hinrick Schroder anders
geheten Hundegel zum Nutzen einer Vikarie am Dom zu Hamburg,
deren erster Besitzer Hinrick sein solle, 24 m. lüb. jährlicher Rente
übertragen habe ........................................................................................................485
497 1436.12.07 — Ss 63
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass Marquardus vam deme Glynde, Vikar, zur Besserung der geringen
Einkünfte seiner Vikarie am Altar St. Laurentii am Dom zu Hamburg
Renten von 22 m. stiften wolle, nehmen die Renten unter kirchlichen
Schutz und statten die Vikarie mit den zusätzlichen Mitteln aus .....................486
498 1437 [o. T.] — S 3 b
Bürgermeister und Rat von Hamburg machen bekannt, dass sie dem
Knappen Bruneke van Alversloe anders geheten van Coden oder seinen
Erben 700 m. lüb. schuldig seien wegen der Pfandschaft des Hofes zu
Wohldorf, und sagen ihm, seinen Erben oder dem Inhaber des Briefs
46 m. 10 sol. 6 d. jährlicher Rente zu .......................................................................487
499 1437.02.02 — Nn 24, Ss 31
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass Adolf [VIII.], Herzog von Schleswig, am Altar St. Stephani im von
seinen Vorfahren errichteten Dom eine Vikarie mit Renten von 24 m.
ausstatten wolle, um dort Messen zu seiner memoria und der seiner
Vorfahren zu feiern, nehmen die Einkünfte unter kirchlichen Schutz
und errichten die Vikarie .........................................................................................488
500 1437.03.16 — P 32 b
Gherld Ellen aus dem Syemeswolde schwört Treue gegenüber dem
Hauptmann zu Emden, seinen Nachfolgern sowie den Städten Hamburg und Emden; bei einem Verstoß dagegen müssten die Bürgen dem
Hauptmann 400 rhein. gld. zahlen ..........................................................................490
501 1437.04.10 — S 3 a
Bruneke van Alverslo, auch geheißen von Kaden, Knappe, verpfändet
Bürgermeistern und Rat zu Hamburg alle seine Besitzungen in Wohldorf, in Hoisbüttel das halbe Dorf mit dem Hofkamp, dem Mühlenbruch
und dem Hof am Wall, in Schmalenbek, Volksdorf, Lotbek, Rokesberg
und den Herkenkroog mit detaillierter Nutzung und Zubehör für
4000 m. lüb., von denen er 3655 m. bereits erhalten habe; für die restlichen 345 m. solle er 23 m. jährlicher Rente erhalten ..........................................490
Ver zeichnis der Regesten
87
502 1437.05.11 — P 53
Hermans to Lere schwört Treue gegenüber Detlev Bremer, Amtmann
zu Emden, dem Hauptmann zu Emden sowie den Städten Hamburg und
Emden; bei einem Verstoß dagegen müssten die Bürgen dem Hauptmann 200 Arnheimsche gld. zahlen .......................................................................492
503 1437.06.11 — P 29
Ude Aytzena schwört Treue gegenüber Vicke Wigertshope und Detleff
Bremer, Amtmänner zu Emden, ihren Nachfolgern sowie den Städten
Hamburg und Emden; bei einem Verstoß dagegen müssten er oder
seine Erben den Amtmännern 400 Arnheimsche gld. zahlen ............................492
504 1437.06.13 — Z 13
Der Notar Wilkinus Brummer bezeugt, dass Ludolfus van Ultzen, Kirchherr zu Wenthusen, Diözese Verden, sowohl Johannes Sanckenstede,
ewiger Vikar an St. Georg bei Hamburg, wie auch Ludolfus Rickersen
und Ludolfus Ristede, Hamburger Bürger, jeden für sich, zu seinen Prokuratoren berufen habe, um über seine Güter in Hamburg zu seinem
Seelenheil zu verfügen ..............................................................................................493
505 1437.06.28 — O 45
Dietrich Alfhusen, Offizial der Präpositur zu Hamburg und Richter zu
Krummstedt, bezeugt die Begehung einer Hufe, die zur Hälfte der dem
Domkapitel inkorporierten Pfarrkirche zu Meldorf, vertreten durch Nicolaus Hamborgh, Kanoniker, und zur Hälfte Johannes Martini, Kleriker
zu Hamburg, und seinem Vater Martin Stecke gehöre; dabei sei jedoch
über die Zugehörigkeit einiger Äcker keine Einigung erzielt worden ..............494
506 1437.06.28 — P 54
Junge Eylt Schomaker zu Leerlte schwört Treue gegenüber Vicke
Wigershope und Detleff Bremer, Amtmänner zu Emden, ihren Nachfolgern sowie den Städten Hamburg und Emden; bei einem Verstoß dagegen müssten die Bürgen den beiden Amtmännern bzw. dem jeweiligen
Amtmann 400 Arnheimsche gld. zahlen ................................................................495
507 1437.07.12 — Uu 39 [1] und [2]
Gherhardus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass Paulus Soltwedel, Priester der Verdener Diözese, Hinricus Oldendorp, ewiger Vikar an St. Nicolai, Meynardus Oldendorp, Bürger zu
Hamburg, Bruder von Hinricus, und Hillegundis Muermesters, Schwester der beiden, in der an St. Nicolai errichteten Elisabethkapelle eine
Vikarie mit Renten von 27 m. ausstatten wollten, nehmen die Einkünfte
unter kirchlichen Schutz und errichten die Vikarie ............................................495
88
Ver zeichnisse
508 1437.10.07 — P 55
Eynrik Grote Poppenssone schwört Treue gegenüber Vicke Wigershope, Amtmann zu Emden, seinen Nachfolgern sowie den Städten Hamburg und Emden; bei einem Verstoß dagegen müssten er oder seine
Erben Vicke bzw. dem amtierenden Amtmann 600 Arnheimsche gld.
zahlen ...........................................................................................................................497
509 1437.10.22 — P 30
Tamme Ewen bekennt, dass er sich mit Vicke Wigershope, zurzeit Amtmann in Emden, wegen des lange geführten Streits zwischen dem Rat
von Hamburg, dem Hauptmann zu Emden, ihren Unterstützern und
ihm darauf geeinigt habe, dass er nicht mehr gegen die Hamburger vorgehe, in Friesland keine Burgen gegen den Kaufmann baue und nicht
ohne Erlaubnis nach Emden komme; bei Verstößen müssten die Bürgen
200 Arnheimsche gld. zahlen ...................................................................................498
510 1437.10.23 — P 33 c
Ayke Gloringk bekennt, dass er sich mit Vicke Wigershope, zurzeit
Amtmann in Emden, in allen Streitpunkten zwischen dem Rat von
Hamburg, dem Hauptmann zu Emden, ihren Unterstützern und ihm
darauf geeinigt habe, dass er nicht mehr gegen die Hamburger vorgehe, in Friesland keine Burgen gegen den Kaufmann baue und nicht
ohne Erlaubnis nach Emden komme; bei Verstößen müssten die Bürgen
jeweils 100 Arnheimsche gld. zahlen ......................................................................499
511 1437.11.05 — P 34 b
Boleke Ubbensone schwört Treue gegenüber Vicke Wigershope, Hauptmann zu Emden, seinen Nachfolgern sowie den Städten Hamburg und
Emden und verspricht, nicht ohne Erlaubnis nach Emden zu kommen;
bei einem Verstoß dagegen müsste der Bürge dem jeweiligen Hauptmann 60 Arnheimsche gld. zahlen ..........................................................................500
512 1437.11.07 — P 32
Sibeke Nannona schwört Treue gegenüber Vicke Wigershope, Amtmann zu Emden, seinen Nachfolgern sowie den Städten Hamburg und
Emden und verspricht, nicht ohne Erlaubnis nach Emden zu kommen;
bei einem Verstoß dagegen müsste der Bürge dem jeweiligen Amtmann
60 Arnheimsche gld. zahlen .....................................................................................501
Ver zeichnis der Regesten
89
513 1437.11.09 — P 31
Onno tor Gast schwört Treue gegenüber Vicke Wigertshope, Amtmann
zu Emden, seinen Nachfolgern sowie den Städten Hamburg und Emden
und verspricht, nicht ohne Erlaubnis nach Emden zu kommen; bei
einem Verstoß dagegen müsste der Bürge dem jeweiligen Amtmann
100 Arnheimsche gld. zahlen ...................................................................................501
514 1437.11.16 — Xx 50
Der Notar Ludolphus Rotermund bezeugt, dass vor Johannes Grube,
Offizial an St. Marien, Volkmarus Boleman, ewiger Vikar an St. Petri,
Ericus van Tzeven und Henricus Kotingh, Ratsherren zu Hamburg, und
den Zeugen Nicolaus Roper, Priester, ewiger Vikar am Dom, seine zwei
Häuser am Wall gegenüber dem Refektorium oder Dormitorium des
Doms und 6 m. Renten zugunsten der beiden Vikarien am Altar in der
Ratskapelle im Dom gestiftet habe .........................................................................502
515 1437.12.05 — Tt 55
Nicolaus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass Theodericus Strobeling, Kantor der Hamburger Kirche, angesichts
der geringen Einkünfte der ewigen Vikarie am Altar St. Silvestri an der
Pfarrkirche St. Petri zu Hamburg für diese Einkünfte von 8 Morgen in
Hammerbrook und von 4 Gärten aus dem Besitz der Kantorei gestiftet
habe, und fügen diese den Einkünften der Vikarie hinzu ..................................503
516 1438.01.21 — P 62
Broder Galtisna zu Hatshausen bekennt, dass er sich mit Vicke Wigershope, zurzeit Amtmann in Emden, wegen des Streits zwischen dem
Rat von Hamburg, dem Amtmann zu Emden, ihren Helfern und ihm darauf geeinigt habe, dass er nicht mehr gegen die Hamburger vorgehe,
in Friesland keine Burgen gegen den Kaufmann baue und nicht ohne
Erlaubnis nach Emden komme; bei Verstößen müsste der Bürge jeweils
200 Arnheimsche gld. zahlen ...................................................................................504
517 1438.02.21 — P 33
Elso Fockana und Johan tor Mude schwören Treue gegenüber Vicke
Wigershope, Amtmann zu Emden, seinen Nachfolgern sowie den Städten Hamburg und Emden und versprechen, nicht ohne Erlaubnis nach
Emden zu kommen; bei einem Verstoß dagegen müssten die Bürgen
dem jeweiligen Amtmann 100 Arnheimsche gld. zahlen ....................................505
90
Ver zeichnisse
518 1438.03.09 — S 14
Syverd, Eggherd und Dionysius, brodere, geheten de Heesten, Ritter,
geben Eggherd von Bruneke van Alverslo zur Versorgung ihrer Schwester Jutta, der Ehefrau Brunekes, auf Lebenszeit überlassene Güter zu
Wohldorf mit ihren Zubehörungen zurück ...........................................................506
519 1438.03.11 — P 33 b
Focko Schartinghe und Heuwo to Kellinghorst schwören Treue gegenüber Vicke Wigershope, Amtmann zu Emden, seinen Nachfolgern sowie
den Städten Hamburg und Emden und versprechen, nicht ohne Erlaubnis nach Emden zu kommen; bei einem Verstoß dagegen müssten sie
dem jeweiligen Hauptmann Buße leisten .............................................................507
520 1438.04.22 — Oo 101, Oo 102
Adolf [VIII.], Herzog von Schleswig, vermittelt zwischen Propst, Dekan
und Kapitel zu Hamburg auf der einen und Volrad Heest und seinen
Erben auf der anderen Seite im Streit um den Krugzins zu Bargteheide;
künftig müssten Volrad und seine Erben Propst, Dekan und Kapitel
nach September 29 jährlich 8 m. Rente zahlen ....................................................508
521 1438.05.12 — Tt 55
Baldewinus, Erzbischof von Bremen, bestätigt die Stiftung von Theodericus Strobeling, Kantor der Hamburger Kirche, zugunsten der
Einkünfte der Vikarie am Altar St. Silvestri an St. Petri und inseriert die
betreffende Urkunde (Nr. 515) ................................................................................509
522 1438.05.25 — Kk 10
Bruneke van Alverslo, auch genannt von Kaden, Knappe, quittiert
Bürgermeistern und Rat zu Hamburg den Empfang der Rente von 46 m.
10 sol. 8 d. für die Zeit bis [14]38 September 29 ....................................................510
523 1438.06.23 — Gg 77
Gunther van Besekindorff, Knappe, quittiert Bürgermeistern und Rat
zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und
Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg
gegen Dänemark ........................................................................................................510
524 1438.06.24 — N 46 b
[Fragmentarisch erhaltener] Vertrag zwischen den Städten [Hamburg
und Lübeck (?)] und [den Herzögen von Braunschweig-Lüneburg (?)]
über den Fischfang auf der Elbe ..............................................................................511
Ver zeichnis der Regesten
91
525 1438.08.07 — Gg 74
Hans Berndes aus Hannover quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld
während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark .511
526 1438.08.26 — S 12
Bruneke van Alversloe, anders gheheten van Coden, Knappe, quittiert
Bürgermeistern und Rat zu Hamburg über 127 m., die sie Andreas
Wokendorpe und Johannes Brunonis, Vikaren am Dom, sowie Herman
van dem Hove, Vikar an St. Petri, für 11 m. jährlicher Rente gezahlt
hätten, sowie über 220 m., die von ihnen die Knappen Hans Pogghewische, Breideke Rantsouwe und Gherd van der Herberghe für die Mitgift
der Drude erhalten hätten, als Teilzahlungen von den ihm schuldigen
700 m., befreit sie von allen Forderungen wegen der 347 m. und erklärt,
künftig nur noch 345 m. und die dazugehörigen Renten einzufordern ...........512
527 1438.10.15 — F 11
Albrecht [II.], römischer König, König von Ungarn, Böhmen, etc., bestätigt Bürgermeistern, Rat und Bürgern der Stadt Hamburg auf Bitten
ihrer Botschaft alle von römischen Kaisern, Königen, Herzögen von
Sachsen, Grafen von Holstein und anderen geistlichen und weltlichen
Fürsten und Herren erhaltenen Privilegien sowie ihre guten Gewohnheiten ...........................................................................................................................513
528 1438.10.18 — Gg 75
Hans von Embeke quittiert Bürgermeistern und Rat zu Hamburg die
Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während
seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark ..................513
529 1438.10.22 — B 19 a und b
Albrecht [II.] römischer König, König zu Ungarn, Böhmen, etc. bestätigt
Bürgermeistern, Rat und Bürgern der Stadt Hamburg auf ihre Bitte hin
das von Kaiser Sigismund erteilte Privileg zum Schlagen von Goldmünzen (Nr. 459) ...............................................................................................................514
530 1438.11.16 — Cc 55
Clawes Kerstens, Bürger zu Hamburg, schwört Urfehde wegen seiner
Gefangenschaft nach Beleidigung des Rats ...........................................................515
531 1438.12.04 — Gg 76
Hans Doweltze quittiert Bürgermeistern und Rat zu Hamburg die
Bezahlung von Sold, Kostgeld und Schadenersatz während seiner Gefangenschaft und Verwundung in ihrem Dienst im Krieg gegen Dänemark ..516
92
Ver zeichnisse
532 1438.12.16 — Gg 78
Bruneke van Alverslo, auch genannt von Kaden, Knappe, quittiert Bürgermeistern und Rat zu Hamburg über Sold für den Dienst, in dem er
bis zum Tag der Ausstellung dieser Urkunde gestanden habe ..........................516
533 1439.01.12 — Oo 73
Herzog Adolf [VIII.] von Schleswig, bezeugt, dass ihm Frau vor Eybe,
Witwe Luders von Hamme, persönlich den Hof und das halbe Dorf zu
Lütjensee mit allem Zubehör, die wüste Feldmark zu Oddekendorpe
und den vierten Teil, den sie am Lütjensee gehabt habe, aufgelassen
habe, nimmt die Auslassung an und überträgt den Besitz an Nicolaus,
Dekan, und das Domkapitel zu Hamburg, das Frau vor Eybe aufnehmen,
versorgen und eine jährliche Rente von 30 m. lüb. zahlen solle .......................517
534 1439.01.25 — B 21 a und b
Albrecht [II.], römischer König, König zu Ungarn, Böhmen, usw., an
Wilhelm Snybbe, Helmich von Rentekin, Arnd von Leten, Heinrich
Geverdes, Johann Hane, Herman Redenborg, Borchart Weidut, Dederick
von Recke, Johann von Stade, Simon Berndes, Bernd von der Heide,
Enke von Czeven, Bernd vom Broke, Hainrich von Vechte, Hanns Rogge,
Hulsschede, Albert Geverdes, Heinrich von Hacklem, Peter Horborg,
Ludeke S[ieveking], Hanns Helmiges, Tyme Bremer, Heine Brands,
Hillebrand Brands und Wichman Heidorne, Bürger und Einwohner
zu Hamburg: fordert sie nach Klagen des Erzbischofs Baldewin von
Bremen auf, innerhalb von 30 Tagen nach Erhalt dieses Briefes dem
Erzbischof oder seinen Amtleuten Ersatz für die Umfahrung des Zolls
auf dem Fluss Schwinge zu leisten oder am 60. Tag am königlichen Hof
zu erklären, warum sie meinen, nicht zur Zahlung verpflichtet zu sein .........519
535 1439.02.28 — Gg 80
Hermen Stortbeker quittiert Bürgermeistern und Rat zu Hamburg die
Bezahlung von Sold, Lösegeld, Kostgeld und Schadenersatz während
seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark ..................520
536 1439.03.26 — U 20
Johannes, Propst, Nicolaus, Dekan, und das hamburgische Domkapitel
an den römischen König Albrecht [II.], König von Ungarn, Böhmen,
usw.: vidimieren auf Bitten von Bürgermeister und Rat zu Hamburg die
Bestätigungsurkunde, die einst Erzbischof Hillebold und das Bremer
Domkapitel über ein Privileg des römischen Kaisers Friedrich für die
Hamburger Bürger ausgestellt hätten ...................................................................521
Ver zeichnis der Regesten
93
537 1439.04.10 — Ss 89 (6)
Sander Duderstad, Bürger zu Hamburg, macht bekannt, dass er Propst,
Dekan, Kapitel und Vikaren am Dom zu Hamburg für 30 m. 2 m. jährlicher Rente zugunsten von Memorien verkauft habe ..........................................522
538 1439.06.11 — Gg 82
Clawes Vrese quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Kostgeld und Schadenersatz während seiner
Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark ..............................523
539 1439.07.28 — P 34
Edzard zu Norden und sein Bruder Ulrich zu Esens, Häuptlinge, machen
bekannt, dass sie von Bürgermeistern und Rat zu Hamburg Burg und
Stadt Emden in Ostfriesland in guter Treue und auf slotloven empfangen hätten, mit allen Renten, Rechten, Zubehör und Gerätschaften, die
im Folgenden aufgelistet werden ............................................................................523
540 1439.12.30 — Gg 81
Hermen Haghedorne van deme Bodenwerdere macht bekannt, dass
ihm Bürgermeister und Rat zu Hamburg trotz der Einfuhr nicht gängigen Geldes, das er zum Handeln in die Stadt gebracht habe, aufgrund
der Intervention des Ritters Johan Vrenken das Seine zurückgegeben
hätten und er auch von ihnen von der Buße befreit worden sei .......................525
541 1440.01.26 — Qq 77
Baldewinus, Erzbischof von Bremen, an Propst und Dekan der Hamburger Kirche: erinnert an die Konflikte zwischen Papst Eugen IV. und dem
allgemeinen Konzil zu Basel sowie an die Appellationen und Beschlüsse, die sie von der kürzlich in Hamburg abgehaltenen Provinzialsynode
erhalten hätten; weist sie strikt an, diese Beschlüsse in den Kirchen
unter ihrer Hoheit bekannt zu machen .................................................................526
542 1440.02.15 — Tt 56
Nicolaus, Dekan, und das Domkapitel zu Hamburg machen bekannt,
dass Henricus Cristiani, Subdiakon, Vicko van dem Hove, Bürgermeister
zu Hamburg, und Cristina, seine Ehefrau, angesichts der geringen Einkünfte der ewigen Vikarie am Altar St. Crucis in St. Petri zu Hamburg
für diese Renten von 25 m. stiften wollten, nehmen die Renten unter
ihren Schutz und fügen diese den Einkünften der Vikarie hinzu .....................526
543 1440.02.27 — Vv 26
Der Notar Nicolaus Snewerdingh bezeugt, dass Jacobus Punne aus Lohe
im Kirchspiel Uetersen Henricus Rentzel, ewigem Vikar an St. Katherinen zu Hamburg, für 10 m. lüb. 1 m. jährlicher Rente verkauft habe ...............528
94
Ver zeichnisse
544 1440.06.12 — P 15
Die sechzehn Ratgeber und die Einwohner des Landes Wursten bezeugen, mit Bürgermeistern und Rat zu Hamburg ein Bündnis zum Schutz
des Landes Wursten, des Schlosses Ritzebüttel und der Kirchspiele
Altenwalde und Groden geschlossen zu haben ....................................................529
545 1440.06.22 — P 35
Gericht und Rat von Westergo an Bürgermeister und Rat zu Hamburg:
Huge Heertigis, Bürger zu Workum, der Überbringer des Briefs, habe
mit seinen Mitgesellen geklagt, dass ihm durch die Auslieger Hamburgs
sein Schiff mit seinen Gütern genommen worden sei; da sie aber von
nichts anderem als Freundschaft zwischen ihnen wüssten, bitten sie,
Huge Schiff und Güter zurückzugeben ..................................................................529
546 1440.08.18 — P 36
Gerlacus, Abt von Stavoren und Hemelen, an Bürgermeister und Rat zu
Hamburg: teilt mit, dass er erfahren habe, dass sie zu Hamburg Johan
Ghiisebertson als vermeintlichen Holländer gefangenhielten; dieser sei
aber Stavorener Bürger, so dass er um seine Freilassung bittet ........................530
547 1440.08.23 — W 45
Die Notare Nicolaus Snewerdingh und Marquardus Wolmers bezeugen,
dass vor Michael Kruse, Henricus de Butthel, Henricus de Berga alias
Schepel, Conradus de Roma, Henricus Buckeman und Henricus Leddinghusen, ewigen Vikaren am Dom, Jacobus Wynthorst, Magister in
artibus, Kleriker der Bremer Diözese, für 150 m. 10 m. jährlicher Renten
verkauft habe, von denen das Brot der Vikare bezahlt werden solle ...............530
548 1440.09.12 — Pp 107
Baldewinus, Erzbischof von Bremen, verfügt für die Teilnahme an Messen und Horen zu Ehren Marias am Dom St. Marien zu Hamburg einen
Sündenablass von 40 Tagen .....................................................................................531
549 1440.09.21 — Y 8 a
Bürgermeister, Schöffen und Rat zu Borken machen bekannt, dass
vor ihnen Johan Sweders, zurzeit Richter zu Borken und gogreve to
Honborke, Johan ton [Sommer]huys, Arnd de Wijnman, Wyne [Wij]
nen und Claus [Hoerneken] beschworen hätten, dass Bernd [Wyne] aus
Borken einen Teil der dem Goede Greve gehörenden Güter vor einem
Gericht zu Rhenen wegen einer Schuld von 345 Arnheimschen gld. mit
Beschlag belegt habe, Goede sich aber für unschuldig erklärt habe .................532
Ver zeichnis der Regesten
95
550 1440.09.25 — S 11
Clawes van Coden, Knappe, quittiert für seine Mutter vor Yde und
sich Bürgermeistern und Ratsherren zu Hamburg die Hauptsumme
von 345 m. mit den dazugehörigen Renten von 23 m., die Bruneke van
Alversloe anders geheten van Coden, ihrem Bruder und seinem Onkel,
für Wohldorf zustanden ...........................................................................................533
551 [1440.12.00] — Vv 24
Nicolaus Dekan und das Domkapitel zu Hamburg machen bekannt, dass
Fredericus Kok, am Dom, Petrus Witstok, an St. Petri, Nicolaus Bra[… an
St. …], und [W]olterus Berchstede, an St. Katherinen, ewige Vikare, als
Testamentsvollstrecker des Nicolaus Hadeler, Elemosinar an St. Katherinen, eine ewige Vikarie in St. Katharinen am Altar St. Crucis mit Renten von 53 m. ausstatten wollten, nehmen die Renten unter kirchlichen
Schutz und errichten die Vikarie ............................................................................534
96
Ver zeichnisse
Abgekürzt zitierte Editionen und Literatur
Ballheimer, 4
Chroniken, Lübeck, 3
Dahlmann, Geschichte
Ekdahl, Soldbuch
HG1
HR I
HR II
HUB
Holscher, Beschreibung
Johann Adolfi, Chronik
Ballheimer, Rudolf, Zeittafeln zur Hamburgischen Geschichte, Teil 4, Hamburg 1913.
Die Chroniken der niedersächsischen Städte, Lübeck,
3, hrsg. Karl Koppmann (Die Chroniken der deutschen
Städte vom 14.–16. Jahrhundert, 28), Leipzig 1902.
Friedrich Christoph Dahlmann, Geschichte Dithmarschens. Nach F. C. Dahlmanns Vorlesungen im Winter
1826, bearb. Wilhelm Heinrich Kolster, Leipzig 1873.
Sven Ekdahl, Das Soldbuch des Deutschen Ordens
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Hamburgs Gedächtnis – die Threse des Hamburger
Rates. Die Regesten der Urkunden im Staatsarchiv der
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[Hanserecesse, 1. Abt.] Die Recesse und andere Akten
der Hansetage von 1256–1430, hrsg. Karl Koppmann,
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hrsg. Goswin von der Ropp, Bd. 1, Leipzig 1876.
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Ludwig Holscher, Beschreibung des vormaligen Bisthums Minden nach seinen Grenzen, Archidiaconaten,
Gauen und alten Gerichten. Ein historischer Versuch
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Klefeker, Sammlung
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Mittelniederdeutsches Wörterbuch, bearb. Karl Schiller, August Lübben, 6 Bde., Bremen 1875–1881.
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Heinrich Reincke, Hamburgische Territorialpolitik, in:
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38 (1939), S. 28–116.
Heinrich Reincke, Hamburgs Weg ins Reich und in die
Welt. Urkunden zur 750-Jahr-Feier des Hamburger Hafens, Hamburg 1939.
Jürgen Sarnowsky, Sichern und Bewahren: der Liber
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the Occasion of His Sixtieth Birthday / Beiträge zur
Ritterordens-, Preußen- und Städteforschung. Festschrift für Roman Czaja zum 60. Geburtstag, hrsg.
Jürgen Sarnowsky, Krzysztof Kwiatkowski, Hubert
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Strand-Rechte, Hamburg 1751.
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Hamburg 1784.
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99
Nicolaus Staphorst, Historia Ecclesiae Hamburgensis
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/ Fürstlichen / Gräflichen etc. als auch Päbstlichen /
Erz-Bischöflichen und anderer Beider Geistlicher als
Weltlicher Personen respective Gnaden-, Freiheitsund Bestätigungsbriefen, Concessionen, Indulten,
Stifftungen, Vermächtnüssen, Verordnungen, Statuten, Verträgen, Contracten, Vergleichungen und anderen dergleichen vielfältigen Schrifften, gesammlet,
beschrieben und in Ordnung gebracht. Theil I, 1–4;
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„In valle virginum“. Annäherung an die wirtschaftliche, soziale und religiöse und politische Entwicklung
eines Nonnenklosters bei Hamburg 1245–1530, Münster 1996.
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Weitere Editionen und Literatur
Appendix C. to Mr [Charles Purton] Cooper’s Report on the Fœdera [of Thomas Rymer], o. D. [London 1860].
Codex diplomaticus Brandenburgensis. Sammlung der Urkunden, Chroniken und
sonstigen Quellenschriften für die Geschichte der Mark Brandenburg und ihrer
Regenten, Reihe B, Bd. 3, hrsg. Adolph Friedrich Riedel, Berlin 1846.
Codex diplomaticus Lubecensis. Lübeckisches Urkundenbuch, 2te Abtheilung: Urkundenbuch des Bisthums Lübeck, Bd. 1, hrsg. Wilhelm Leverkus, Oldenburg
1856.
Hamburgisches Urkundenbuch, 1, hrsg. Johann Martin Lappenberg, Hamburg 1842.
Kämmereirechnungen der Stadt Hamburg, hrsg. Karl Koppmann, Bd. 2, Hamburg
1873.
Liv-, Est- und Kurländisches Urkundenbuch, hrsg. Hermann Hildebrand, Bd. 78, Riga,
Moskau 1881–1884.
Register van oorkonden die in het charterboek van Friesland ontbreken, tot het jaar
1400, hrsg. Gerben Colmjon, Leeuwarden 1883.
Schleswig-Holsteinische Regesten und Urkunden, Bd. 6, 2, hrsg. Werner Carstens,
Neumünster 1971.
Urkundenbuch zur Geschichte der Herzöge von Braunschweig und Lüneburg, Bd. 10,
hrsg. Hans Friedrich Georg Julius Sudendorf, Hannover 1887.
Vollstaendige Sammlung alter und neuer Gesez-Bücher der kaiserlichen und des
Heil. Römischen Reichs freien Stadt Bremen, hrsg. Gerhard Oelrichs, Bremen
1771.
Arends, Fridrich, Erdbeschreibung des Fürstenthums Ostfriesland und des Harlingerlandes, Emden 1824.
Bolland, Jürgen, Die Lage der ältesten Wandrahmen in Hamburg. Ein Versuch zur Topographie der Altstadt, in: Zeitschrift des Vereins für Hamburgische Geschichte 55 (1969), S. 27–36.
Brandes, Gertrud, Die geistlichen Bruderschaften in Hamburg während des Mittelalters, 3, in: Zeitschrift des Vereins für Hamburgische Geschichte 36 (1937),
S. 65–110.
Clarus, Nicolai, Bartholomäus Boet und die Freibeuter der Hansezeit. Untersuchungen zum Kaperwesen im Nordeuropa des frühen 15. Jahrhunderts, Diss. phil.
Universität Hamburg, 2012.
Deutsches Rechtswörterbuch, Bd. 12, bearb. Andreas Deutsch, Weimar 2013.
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101
Eubel, Konrad, Hierarchia Catholica Medii Aevi sive Summorum Pontificum, S. R. E.
Cardinalium, Ecclesiarum Antistitum Series ab anno 1198 usque ad annum 1431
perducta, e documentis tabularii praesertim Vaticani collecta, digesta, edita,
2. Aufl., Münster 1913.
Fehling, Eberhard Ferdinand, Lübeckische Ratslinie von den Anfängen der Stadt bis
auf die Gegenwart (Veröffentlichungen zur Geschichte der Freien und Hansestadt Lübeck, 7, 1), Lübeck 1925.
Gruͤndtliche / auß den Rechten und Historischer warhafften Bewandnuß genommene / auch mit Documenten und der Hambuerger selbst eygenen verschiedenen Confessionen, Bekaͤndnussen und HuͤldigungsGeluͤbden / comprobierte
und bestetigte Remonstration. Dadurch der vor wenig Monat / zu oͤffentlichen
Druck spargierten Hambuͤrgischen / also anmaßlich geruͤmbten Apologey Ungrund / angedeutet / und einem Jedwedern oͤffentlich wird vor Augen gestellet […], Kopenhagen 1642 [1. Aufl.].
Habermann, Jan, Spätmittelalterlicher Niederadel im Raum nördlich der Elbe. Soziale Verflechtung, Fehdepraxis und Führungsanspruch regionaler Machtgruppen in Südholstein und Stormarn (1259 bis 1421) (Verherrschaftungen in Reich,
Raum und Regionen, 1), Norderstedt 2015.
Hagedorn, Anton, Gedenkblatt zur Feier der 500jährigen Vereinigung des Amtes Ritzebüttel mit der freien und Hansestadt Hamburg, Hamburg 1894.
H[ansen], P[eter], Kurzgefasste zuverläßige Nachricht von den Holstein-Plönischen
Landen wobey zugleich die Geschichte von den beiden berühmten Clöstern
Arensbock und Reinfeld gröstentheils aus ungedruckten Uhrkunden mitgetheilet worden, Plön [1759].
Havemann, Wilhelm, Geschichte der Lande Braunschweig und Lüneburg, Bd. 1, Göttingen 1853.
Heckmann, Dieter, Leitfaden zur Edition deutschsprachiger Quellen (13.–16. Jahrhundert), in: Preußenland N. F. 3 (2012), S. 7–13.
Hellwig, L., Die deutschen Ortsnamen in Lauenburg, in: Archiv des Vereins für die
Geschichte des Herzogthums Lauenburg 1892, S. 1–64.
Historisch-theologisches Denkmahl der in S. Georg neu erbaueten hl. Dreieinigkeitskirche. Nebst einer Historischen Nachricht von der alten St. Georgs Kirche,
hrsg, Henrich Hoeck, Christian Henrich Müller, Hamburg 1750.
Hömberg, Albert, Grafschaft, Freigrafschaft, Gogericht, Münster 1949.
Joachim, Hermann, Die Erwerbung des Amtes Ritzebüttel durch Hamburg, in: Mitteilungen des Vereins für Hamburgische Geschichte 26 (1906), S. 353–80.
102
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Lappenberg, Johann Martin, Die milden Privatstiftungen zu Hamburg, Hamburg
1845.
Lehe, Erich von, Bündnisverträge zwischen dem Lande Wursten und der Stadt
Hamburg im späten Mittelalter, in: Jahrbuch der Männer vom Morgenstern 40 (1959) S. 51–67.
Pabel, Reinhold, Alte Hamburger Straßennamen, 2. Aufl., Hamburg 2004.
Reetz, Jürgen, Hamburgs mittelalterliche Stadtbücher, in: Zeitschrift des Vereins für
Hamburgische Geschichte 44 (1958), S. 95–139.
Reetz, Jürgen, Zu einigen Ortsnamen in mittelalterlichen Archivalien des Hamburger
Domkapitels, in: Zeitschrift des Vereins für Hamburgische Geschichte 63 (1977),
S. 233–244.
Schrötter, Friedrich, Wörterbuch der Münzkunde, Berlin, Leipzig 1930.
[Schuback, Arnold], Chronologisches bis auf die neuesten Zeiten fortgesetztes Verzeichniß der bisherigen Mitglieder eines Hochedlen und Hochweisen Raths,
der Ehrbaren Oberalten und der Verordneten loͤblicher Caͤmmerey der freien
Stadt Hamburg, Hamburg 1820.
Spuren franziskanischer Geschichte. Chronologischer Abriß der Geschichte der Sächsischen Franziskanerprovinzen von ihren Anfängen bis zur Gegenwart, bearb.
Bernd Schmies, Kirsten Rakemann, hrsg. Dieter Berg (Saxonia Franciscana,
Sonderband), Werl 1999.
Theuerkauf, Gerhard, Urkundenfälschungen der Stadt und des Domkapitels Hamburg in der Stauferzeit, in: Fälschungen im Mittelalter, hrsg. Detlev Jasper (Monumenta Germaniae Historica, Schriften, 33), Hannover 1988, 3, S. 397–431.
Formale Hinweise
Runde Klammern: Erläuterungen, Zitate aus den Quellen
Eckige Klammern in Zitaten: Ergänzungen, unsichere Auflösungen
Eckige Klammern mit Punkten: Auslassungen bzw. unlesbare Stellen
Zählung in runden Klammern hinter Signaturen: verschiedene Urkunden, die unter
derselben Signatur archiviert sind, die auch in den Findmitteln des Archivs durch
arabische Zahlen in runden Klammern unterschieden werden
Zählung in eckigen Klammern hinter Signaturen: verschiedene Urkunden, die unter
derselben Signatur archiviert sind, die nur hier durch arabische Zahlen in eckigen
Klammern unterschieden werden
Abkür zungen für Währungen
Abkürzungen für Währungen
d.
gld.
m.
pfd.
pfd. gr.
sol.
Pfennige, Denare
Gulden
Mark (lüb[isch], hamb[urgisch], lüneb[urgisch])
Pfund (als das Anderthalbfache einer m.)
Pfund Grote (die flämische Währung)
Schillinge, Solidi
Abkürzungen für Archive
AHL
RA
StA
StAHH
Archiv der Hansestadt Lübeck
Algemeen Rijksarchief (te Den Haag)
Stadtarchiv
Staatsarchiv der Freien und Hansestadt Hamburg
103
Re geste n de r Jahre 1 400 – 1 440
1
1
Frederik van Langelge erklärt Lüneburg, Hamburg und Lübeck die Fehde
[um 1400]. o. O.
[um 1400] — Gg14
Freder[ik] van Langelge an die Ratsherren und Bürgermeister von Lüneburg, Hamburg und Lübeck: erklärt ihnen wegen der vergeblichen Beschwerden über Ludelve
van Estorpe, ihren Untersassen, Fehde. Siegelankündigung.
Diplomatische Erörterung: Kleines Papier mit Faltung, auf der Rückseite geringe Reste
des Verschlusssiegels (in rotem Wachs) und die moderne Signatur in Bleistift:
Gg 14.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 14. D = Copiae Archivi.
Regest: Lehe, Fehden, S. 162.
2
2
Ghereet van Nuͦ ssen erklärt Hamburg die Fehde
[um 1400]. o. O.
[um 1400] — Gg 15
Ghereet van Nůssen an die Herren von Hamburg: erklärt, dass er nunmehr ihr Feind
sei, wegen des Unrechts, das er in Hamburg erfahren habe, als er gegen das Recht
sein Gesinde verlor. Werde sie mit seinen Unterstützern zu Lande und zu Wasser,
bei Tag und Nacht, angreifen. Siegelankündigung des Ausstellers. Ohne Datum.
Diplomatische Erörterung: Kleines Papier mit Faltung, auf der Rückseite geringe Reste
des Verschlusssiegels und die moderne Signatur in Bleistift: Gg 15.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 15. D = Copiae Archivi.
Regest: Lehe, Fehden, S. 162 (mit Auszug).
3
[um 1400]. o. O.
[um 1400] — Ll 51
3
Nyclowes van Holme, Berteld van Hee und fünf andere Stockholmer an Kersten Miles und Marquard Schreye, Bürgermeister von Hamburg: bezeugen dass Michel Hannekensone und Torkel Jensen ihren Hering rechtmäßig gefangen haben
Nyclowes van Holme, Berteld van Hee, Jes Laghen van Woseborgh, Ywer Krestens, Peter
Doo, Jes Hardebo van Alrum und Jes Paaz aus Stockholm (van Holme) an Kersten Miles19
und Marquard Schreye20, Bürgermeister von Hamburg: bezeugen, dass der von Cla-
Ratsherr seit 1374, Bürgermeister 1378–1420, Bruder des Domdekans und Dompropstes Wernerus
Miles.
19
20
Ratsherr seit 1386, Bürgermeister 1390–1419/20, Amtmann von Ritzebüttel 1417–1419/1420.
106
Regesten der Jahre 14 00 –14 4 0
wes Schoke in Hamburg beschlagnahmte Hering von Michel Hannekensone und Torkel
Jensen rechtmäßig gefangen und beim Westerhafen (Wester have) mit ihrem eigenen Salz gesalzen worden sei. Siegelankündigung. Bitte um Rückgabe.
Diplomatische Erörterung: Nachgedunkeltes Pergament mit zahlreichen Falten, Pli-
ca mit sieben meist sehr gut erhaltenen Siegeln an Pergamentstreifen. Auf der
Rückseite spätere Kanzleinotiz: Attestatum von [nordischen] herings. Sub fin.
sec. XIVto vel initium XVto (rechts quer) sowie Altsignaturen Cl. VII bis Kk Nr. 7b
fasc. 6 (oben) und Cl. VI n. 5 a, f. 61 (links, quer).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ll 51.
4
[um 1400]. [Hamburg].
[um 1400] — N 54b
4
Hamburg an Lüneburg: bitten um Hilfe für Hans Ronneborn im Streit Koneke Hezebeke
Der Rat der Stadt Hamburg an Bürgermeister und Rat von Lüneburg: Hans Ronneborn, Hamburger Bürger, habe ihnen geklagt, dass ihm Koneke Hezebeke, den sie
geleitet hätten, 5 m. Pfennige aus einem Gerichtsverfahren schuldig sei. Bitten,
Hans zu helfen, dass ihm das Geld ohne weitere Verzögerung von dem Erbe Konekes ausgezahlt werde. Ankündigung des Stadtsiegels.
Diplomatische Erörterung: Papier mit Faltung und einem Ausschnitt unten rechts, mit
Resten des Verschlusssiegels in grünem Wachs. Adresse auf der Rückseite (quer):
Honorabilibus et circumspectis viris dominis proconsulibus et consulibus Luneburg[enses] amicis nostris predilectis. Dort Federproben, moderne Notiz 31155 links oben
und moderne Signatur N 54 b rechts unten. Dazu runder Stempel mit kyrillischen
Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. N 54 b.
5
[um 1400]. o. O.
[um 1400] — Ll 56
5
Nienburg an Hamburg: bitten um Hilfe für Hinrik Luders bei den Hamburger Englandfahrern
Bürgermeister und Rat von Nienburg (Nigenborg) an die Bürgermeister und Ratsherren der Stadt Hamburg: bitten, dem Hinrik Luders, Sohn eines Nienburger
Bürgers, zu seinem Recht zu verhelfen. Dieser habe von den Hamburger Englandfahrern großen Schaden erlitten und deshalb in Nienburg Hinrick van Minden
aufgehalten und arrestiert (bezated unde bekummerd), was jedoch von ihrem Herrn21
und ihnen als unrechtmäßig aufgehoben worden sei. Siegelankündigung.
21
Wohl Graf Erich I. von Hoya (1377–1426).
[14 00/ 14 02]. o. O.
107
Diplomatische Erörterung: Papier mit einem kleinen Einschnitt links unten, auf der
Rückseite sehr geringe Spuren des briefschließenden Siegels sowie die Adresse:
Den ersamen, vorsichtigen etc. borgermestern unde ratmannen der stad Hamborg unsern
guden vrunden gescreu[en]. Dazu in Bleistift die moderne Kanzleinotiz: Englandfahrer sowie die Signaturen Cl XI und Ll 56.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ll 56. D = Copiae Archivi.
6
[1400/1402]. o. O.
[1400/1402] — Gg 18 [2]
6
Gheverd Schulte der Jüngere, Hamburger Amtmann zu Harburg, an Hamburg: besteht auf der Zahlung von Schonungsgeld durch die von Fleestedt
Gheverd Schulte der Jüngere, Hamburger Amtmann zu Harburg, an Bürgermeister
und Rat zu Hamburg: antwortet auf ihren Brief wegen denen von Fleestedt (van
Vlestede), dass seine Leute, egal wo sie wohnten, das Schonungsgeld zahlen müssten (unse lude, se wonden wor se wonden, de muste dat dinge tal ut gheven), wie Herr
Ortghis [Klencke]22 wohl wisse. Bittet den Rat, die Fleestedter anzuweisen (dat gy
se betribten), dass sie Hermen van Rode das Geld zahlten. Andernfalls müsse er sie
pfänden, was er ohne Aufforderung ungern täte. Bittet um ihre Antwort. Siegelankündigung.
Diplomatische Erörterung: Papier mit Faltung, Rückseite mit Resten des Verschluss-
siegels und Adresse: An de erbar heren borgermeester un[de] ratman[nen] der stad
Hamborch mynen guden vrunden.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 18 [2]. D = Copiae Archivi.
Regest: Kausche, Regesten, 446, S. 138.
Erwähnung: Reincke, Territorialpolitik, S. 57, Anm. 91.
7
7
Ortghis Bere erklärt Hamburg die Fehde
[1400/1405]. 23 o. O.
[1400/1405] — Gg 18 [3]
Ortghis Bere an Bürgermeister, Rat und Meinheit der Stadt Hamburg: erklärt der
Stadt die Fehde wegen des Unrechts, das seinem Vater, seinen Brüdern24 und ihm
von ihrem Schloss [Harburg]25 geschehen ist, für das ihm nie Recht widerfahren ist.
Siegelankündigung des Ausstellers. Ohne Datum.
Datum nach Kausche; danach war Gheverd Schulte mindestens seit 1400 Hauptmann Lübecks,
Hamburgs und Lüneburgs in Harburg, sein Vorgänger Ortghis Klencke ist wohl 1402/1405 verstorben.
22
23
Nach Kausche; während der Verwaltung Harburgs durch Lübeck, Hamburg und Lüneburg, 1400–1405.
Der Ritter Ulrich Beere und seine Söhne Hinrich, Ortgis und Paul erscheinen in einer Urkunde von
1403 Oktober 23, Urkundenbuch zur Geschichte der Herzöge von Braunschweig und Lüneburg und
ihrer Lande, IX, hrsg. Hans Friedrich Georg Julius Sudendorf, Hannover 1877, Nr. 223, S. 301.
24
25
Während der Verwaltung Harburgs durch die drei Städte; eine nähere Eingrenzung ist nicht möglich.
108
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Kleines Papier mit Faltung und größeren Resten eines Ver-
schlusssiegels. Rückseite mit Signatur Gg 18.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 18 [3]. D = Copiae Archivi.
Regest: Kausche, Regesten, 447, S. 138; Lehe, Fehden, S. 162 (mit Auszug).
8
1400 April 23. o. O.
1400.04.23 — Kk 7
8
Gheverd Schulte der Jüngere, Hamburger Amtmann zu Harburg: macht bekannt, dass er von Lübeck. Hamburg und Lüneburg 900 m. für das Schloss in Harburg aufgenommen habe
Gheverd Schulte de junghere26 in einem offenen Brief: bekennt, von den Bürgermeistern und Ratsherren der Städte Lübeck, Hamburg und Lüneburg 900 m. für das
Schloss Harburg (Horborgh) aufgenommen zu haben. Verspricht, das Geld in Hamburg to paschen neghest tokomende vort over enem jare bynnen den achte daghen to paschen [1401 März 27 bis April 3] in einer Summe zurückzuzahlen oder ansonsten
mit den Bürgen Einlager zu leisten. Bürgen: Frederik, Gherend, Hermen Schulten, der
Bruder Gheverds, Gheverd Schulde de oldere, sein Vetter, Mauricius Marschalk, Bertold
Schulte und Helmerd van Tzestersvlete. Ankündigung ihrer Siegel. Gheven na godes
bord in deme veerteynhundersten jare in deme daghe sunte Juriens des hilghen mertelers
unde rydders.
Diplomatische Erörterung: Teilweise nachgedunkeltes Pergament, Plica mit Schlitzen
zur Siegelanbringung, darin acht Pergamentstreifen mit sieben, nur zum Teil gut
erhaltenen Siegeln, von denen sich vier in Papiertaschen befinden.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Kk 7. D = Copiae Archivi.
Regest: Kausche, Regesten, 449, S. 139.
Erwähnung: Reincke, Territorialpolitik, S. 57, Anm. 91.
9
1400 Juni 8. Emden.
1400.06.08 — Ff 2
9
Äbte, Prälaten, Dekane, Greetmannen, gemeine Richter in Westergo und Oestergo erklären, dass sie keine Vitalienbrüder aufnehmen wollten, die den Kaufmann schädigen
Die Äbte, Prälaten, Dekane, Greetmannen und gemeine Richter in Westergo und
Oestergo in einem offenen Brief: sie erklären, dass sie keine Vitalienbrüder oder
andere Räuber aufnehmen wollen, die den Kaufmann schädigen, und werden gegen jene vorgehen, die das weiterhin tun. Die Kaufleute sollen im Lande frei und
unter Zahlung der althergekommenen Zölle reisen. Bei einem Schiffbruch sollen die Einwohner, wenn sie bei der Bergung der Güter helfen, dies gegen Lohn
tun, aber die Güter den Eigentümern zurückgeben. Die hansischen Privilegien
sollen ungemindert gelten. Als Vertreter der Hanse waren anwesend aus Lübeck
26
Gebhard Schulte der Jüngere, Hamburger Amtmann zu Harburg.
14 00 Juni 21. Lüneburg.
109
Hemmyng van Ryntelen,27 Johann Crispijn,28 aus Hamburg Albert Screyge,29 Johann Nanne,30 aus Bremen Lutger Wolders, aus Groningen Zweder van Wynde, Alef Schelghe und
Albert Scelghe. Ghegheven tot Emeden na godes boerd in viertiendenhundersten jaere des
dynxedaghes in den Pynxsteren.
Diplomatische Erörterung: Pergament mit Faltung und wenigen Feuchtigkeitsflecken,
Plica mit zwei angeschimmelten, restaurierten, jedoch relativ gut erhaltenen
Siegeln an Pergamentstreifen. Auf der Rückseite kurze Vermerke, so zeitgenössisch 1400; auf einem Pergamentstreifen R[egistra]ta, dazu die Buchstaben M und
B sowie eine Streichung(?).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 2. D = Copiae Archivi.
Edition: HUB 5, 416, S. 211–212.
Regest: Ostfriesisches UB, 1, 173, S. 148; Register van oorkonden die in het charterboek van Friesland ontbreken, tot het jaar 1400, hrsg. Gerben Colmjon, Leeuwarden 1883, 498, S. 115–116.
10
1400 Juni 21. Lüneburg.
1400.06.21 — Pp 33
10
Der Rat von Lüneburg bezeugt den Verkauf eines halben Wispel Salzes von Ludolfus de Estorpe an Otto de Herslo, Hamburger Domherrn, für 240 lüneb. m.
Die Lüneburger Ratsherren Hinricus Viscule, Otto Garlop, Hasseke, Johannes Grabow,
Conradus de Boltzen, Dytmarus Duckel, Johannes Hoyenman, Nicolaus Gronehaghen, Bernardus Basedow, Hinricus Bere, Johannes de Molendino junior und Ludolfus Tobing in
einem offenen Brief: beurkunden den Verkauf durch Ludolfus de Estorpe für 240 lüneb. m. (ducentis marcis et quadraginta marcis) an Otto de Herslo, Hamburger Domherr
der Bremer Diözese, von einem halben Wispel (dimidum chorum) Salz, wovon ein
Fuder (plaustrum) Salz in den linken zwei Pfannen, wenn man zum Haus Grevynge
geht (in duabus sinistris sarthaginibus, dum itur ad domum Gronynge), und ein halbes
Fuder (dimidum plaustrum) Salz ganz im Haus Bruchusen in der Lüneburger Saline
liegt. Ankündigung des Stadtsiegels. Datum Luneburg anno domini millesimo quadringentesimo feria secunda proxima post festum corporis Christi.
27
Ratsherr 1396–1402.
28
Ratsherr 1392–1408, 1416–1442.
29
Ratsherr 1380–1426.
30
Ratsherr 1380–1417.
110
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergamenturkunde mit Faltung, großen Feuchtigkeitsfle-
cken und daraus resultierenden, teils erheblichen Textverlusten, Plica mit einem Pergamentstreifen zur Siegelanbringung, jedoch kein Siegel erhalten; auf
dem Streifen die Notiz 3a. Auf der Rückseite ältere Kanzleinotizen: Item dimidium
chorum dedit ad vicariam […] in ecclesia […] sowie 1400. Kopfstehend von jüngerer
Hand: ½ chorum salis Ottonis de Herslo […].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Pp 33. D = Copiae Archivi.
11
1400 Juli 13. Lübeck.
1400.07.13 — Rr 71
11
Nikolaus von Werder, Lübecker Propst, Thesaurar der Hamburger Kirche, an Dekan und Kapitel zu Hamburg: stimmt dem Wiederaufbau seines Hauses durch und für den Vikar Hinricus Cracht alias de Hemme zu
Nikolaus von Werder (Nicolaus de Insula),31 Lübecker Propst, Thesaurar und Kanoniker (canonicus) der Kirche Hamburgs, an den Dekan [Wernerus Miles]32 und das Kapitel der Hamburgischen Kirche: bestätigt Zustimmung zum Wiederaufbau seines
Hauses in seiner Kurie in Hamburg durch und für den Vikar Hinricus Cracht alias
de Hemme. Siegelankündigung. Datum Lubeke anno domini millesimo quadringentesimo
ipso die beate Margarete virginis et martiris gloriose.
Diplomatische Erörterung: Kleines Pergament mit Faltung, breite Plica mit einem gut
erhaltenen Siegel an einem Pergamentstreifen. Rückseite mit Kanzleinotiz des
15./16. Jahrhunderts: Consensus domini Nicolai de Insula prepositi Lubicensis et thezaurarii ac canonici Hamburgensis super reformatione cuiusdam domus stantis in curia
sua canonicali in Hamb[org]. Weitere Notizen: 1400 und No. 63.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Rr 71. D = Copiae Archivi.
Edition: Schleswig-Holsteinische Regesten und Urkunden, Bd. 6, 2, hrsg. Werner Carstens, Neumünster 1971, 1639, S. 1088.
12
1400 September 8. Reinbek.
1400.09.08 — Q 30 (7)
12
Erich [IV.] Herzog von Sachsen[-Lauenburg] bestätigt den Verkauf des Schlosses Ritzebüttel durch Wolder und Alverik Lappe an Hamburg
Erich d. J., Herzog von Sachsen, [Engern] und Westfalen,33 in einem offenen Brief:
bestätigt nach Beratung mit seinem Rat und seinen Getreuen den durch den verstorbenen Wolder Lappe,34 Knappe, und Alverik Lappe35 vereinbarten Verkauf des
31
Als Propst des Domkapitels zu Lübeck belegt 1398–1400.
Dekan des Hamburger Domkapitels 1379–1415, Bruder des Hamburger Ratsherrn und Bürgermeisters Kersten Miles.
32
33
Erich IV., Herzog von Sachsen-Lauenburg (1368–1411).
34
Wolderich VI. Lappe († ca. 1400), verheiratet mit Geseke.
35
Alverich IX. Lappe († ca. 1412).
14 00 Sep temb er 8. Reinb ek .
111
Schlosses Ritzebüttel mit Zubehör in seinem Lande Hadeln an Hamburg gemäß
den darüber abgeschlossenen Verträgen. Verzichtet auf alle Rechte und Ansprüche ausgenommen früherer Verpfändungen. Behält sich auch weiterhin die bede
im ganzen Land Hadeln umme dat sevende jar vor. Bestätigt alle Verträge und Privilegien wegen des Seefundes und alle anderen Freiheiten, Gerechtsame und Gnaden
seiner Vorfahren für Stadt Hamburg und den gemeinen Kaufmann. Kündigt Absicht an, mit der Hilfe der von Hamburg eine Feste in Hadeln zu bauen. Verspricht,
dafür zu sorgen, dass den Bürgern und Kaufleuten Hamburgs davon kein Schaden
entstehe und eine Verpfändung nicht ohne Wissen und Zustimmung des Rates
von Hamburg vorzunehmen. Ankündigung des großen Siegels. Zeugen: Peter Hals,
Kirchherr zu Lauenburg (Lovenborgh), Kanzler des Herzogs, Ludeke Schacke, sein
Vogt zur Styntborgh,36 Gotschalk van Tzule, Hinrik Schacke und iunghe Gheverd Schulte,37 seine Ratgeber, Hinrik Westhof,38 Bürgermeister zu Lübeck, Hermen Dartzow,39
Ratsherr zu Lübeck, Kersten Miles,40 Marquard Schreye,41 Bürgermeister zu Hamburg,
Hermen Langhe,42 Ratsherr zu Hamburg, und vele andere. Ghescreven unde gheven to
dem Reynenbeke na unses Heren bort in deme veerteynhundertsten jare in unser vrowen
daghe alze ze gheboren wart.
Diplomatische Erörterung: Pergament mit zahlreichen Feuchtigkeitsflecken, teilwei-
se stark verblichen und daher mit erheblichen Textverlusten, Plica mit Papier
überklebt, mit einem gut erhaltenen Siegel an einem Pergamentstreifen (mit
Aufschrift auf der Rückseite: R[egistra]ta) angehängt. Auf der Vorderseite der
Plica Signatur Q 30 (7) in Bleistift, Rückseite überklebt, in einem Ausschnitt die
jüngere Kanzleinotiz: Confirmatio Erici herthoge zu Saxin auff den kauff[brieff] zu
Ritzebutle [anno] 1400. / C: Abschrift des 17. Jahrhunderts der Kopie einer Register-Überlieferung (des Liber emptionum von 1485).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 30 (7). C = StAHH 311-1 I 406 („Kopialbuch des Jürgen Rose“), S. 261–263. D = Copiae Archivi [zahlreiche Korrekturen].
36
Wohl Stintenburg im Herzogtum Lauenburg, vgl. L. Hellwig, Die deutschen Ortsnamen in Lauenburg, in: Archiv des Vereins für die Geschichte des Herzogthums Lauenburg 1892, S. 18.
37
Gebhard Schulte der Jüngere. Hamburger Amtmann zu Harburg.
38
Ratsherr 1372, Bürgermeister 1392–1408 († 1415).
39
Ratsherr 1386–1404.
40
Ratsherr 1374, Bürgermeister 1378–1420, Bruder des Domdekans und Dompropstes Wernerus Miles.
41
Ratsherr 1386, Bürgermeister 1390–1419/20, Amtmann von Ritzebüttel, 1417–1419/1420.
42
Ratsherr 1380–1414.
112
Regesten der Jahre 14 00 –14 4 0
Edition: Schuback, Commentarius, XXIV, S. 310–311 [nach anderer Überlieferung: E
libro copialium]; Anton Hagedorn, Gedenkblatt zur Feier der 500jährigen Vereinigung des Amtes Ritzebüttel mit der freien und Hansestadt Hamburg, Hamburg
1894, 3, S. 15–16.
Regest: HUB, 5, 425, S. 217; Schütze, 384, S. 363.
Erwähnung: Niemeyer, Landesherrschaft, S. 155.
13
1400 September 8. Ritzebüttel.
1400.09.08 — Q 67
13
Alverik Lappe und Ghese Lappe bevollmächtigen Ludeke Wulffhagen zur Erhebung ihrer Rente von Hamburger Rat
Alverik Lappe43 und Ghese Lappe,44 Witwe des Wolder Lappe,45 in einem offenen Brief:
bevollmächtigen Ludeke Wulffhagen,46 Hamburger Ratsherr, ihr zu 1400 September 29 (sůnte Mycheles daghe) fälliges Geld [Rente] vom Hamburger Rat zu erheben.
Ankündigung beider Siegel. Gheven unde screven […] to Rytzebuttele na Godes bord dusent jar in deme verhundersten jare in unser leven vruwen daghe alze ze gheboren wart.
Diplomatische Erörterung: Kleines Pergament mit Faltung und wenigen Feuchtigkeits-
flecken, Plica mit zwei Schlitzen zur Siegelanbringung, jedoch ist vom ersten
Siegel nur ein kleines Bruchstück und vom zweiten Siegel nur die Hälfte am Pergamentstreifen erhalten. Kanzleinotiz auf der Rückseite: Lappen 1400.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 67. D = Copiae Archivi.
14
1400 November 14. o. O.
1400.11.14 — Cc 4
14
21 Männer der Stadt Brielle geloben, dem Hamburger Rat für ihre Gefangenschaft 400 gld. zu zahlen oder sich nächste Ostern wieder zu stellen, und schwören Urfehde
21 Männer der Stadt Brielle (van dem Brele), Florens Florszon, Peter Neue, Heyne Brant,
iunghe Florens Florszon, Wolter Hals, Willam Johanszon, der Mumpert heißt, Domes
Andreaszon, Jacob Polenzon, Johan Wolterszon, Flores Yegenzon, Johan Koszenszon, Johan
de Vyscher, Wyllam Clayszon, Gherd Humanneszon, Arnolt Hughenzon, Domes Laurenszon,
Brandeke Boydenszon, Kale Peterszon, Jacob Johanszon, Jors Ewolcteszon, Ghert Myllieszon
in einem offenen Brief: geloben als Gefangene des Hamburger Rats diesem 400 Geldersche gld. (veerhondert Ghellersche gulden) zum nächsten Ostern (1401 April 3,
uppe Paschen noghest tokomende) zu zahlen oder sich wieder zu stellen. Schwören,
dass sie künftig weder selbst noch durch andere dem Rat der Stadt Hamburg, ihren
43
Alverich IX. Lappe († ca. 1412).
Geseke, in 1. Ehe mit Wolderich VI. Lappe, in 2. Ehe mit dem Hamburger Bürger Heinrich Hardenacke
verheiratet.
44
45
Wolderich VI. Lappe († ca. 1400), verheiratet mit Geseke.
46
Ratsherr 1386–1408, Amtmann zu Ritzebüttel, 1400–1406.
14 00 Novemb er 19. o. O.
113
Bürgern oder den Ihren wegen ihrer Schatzung (up dat uns to Hamborgh bescheen
is, ghenomen unde uppeholden is) aufsagen oder sie schädigen würden. Geloben die
Einhaltung der Zusagen. Siegelankündigung von Brandele Boldewanszon, Wyllam
Johanszon, Arnolt Hughenzon, Colyn Peterszon, Wolter Hals und Thomas Laurenszon. Screven unde gheven […] na Godes bord in dem veerteynhonderdesten jare des noghesten sondaghes na sente Mertens daghe des hilghen heren.
Diplomatische Erörterung: Pergament mit Faltung und zahlreichen Feuchtigkeitsfle-
cken, Plica mit sechs restaurierten Pergamentstreifen zur Siegelanbringung, jedoch fehlt das zweite Siegel, das erste und das vierte sind stärker beschädigt und
restauriert. Spätere Kanzleinotizen auf der Rückseite: 1400 op[…], dazu 1), 10 und
die moderne Signatur Cc 4 mit Bleistift.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 4. D = Copiae Archivi.
Erwähnung: Ballheimer, 4, S. 1.
15
1400 November 19. o. O.
1400.11.19 — Cc 5
15
Elf Männer aus Schiedam, Vlaardingen und Rotterdam geloben, dem Hamburger Rat für ihre Gefangenschaft 400 gld. zu zahlen oder sich nächste Ostern wieder zu stellen, und schwören Urfehde
Willem Clawessone von Schiedam (Schedamme), Johan Willemmessone von Vlaardingen (Flardingh), Claws Ysbrandessone von Vlaardingen, Reyner Johannissone von
Vlaardingen, Dyrk Johannessone von Vlaardingen, Johan Johanssone von Vlaardingen, Gyllies Willemmessone von Vlaardingen, Hughe Ysbrandessone von Vlaardingen,
Dyrk Lauwensoͤne von Rotterdam (Rotterdamme), Jacob Dyrkessone von Rotterdam
und Peter Johanssone von Rotterdam in einem offenen Brief: geloben dem Hamburger Rat 400 Geldersche gld. (veerhundert Ghelresche guldene) zum nächsten Ostern
(1401 April 3, oppe Paschen neghest to komende) zu zahlen oder sich wieder zu stellen. Schwören, dass sie künftig weder selbst noch durch andere dem Rat der Stadt
Hamburg, ihren Bürgern oder den Ihren wegen ihrer Schatzung (up dat uns to Hamborch gescheen is, genomen unde opgeholden is) aufsagen oder sie schädigen würden.
Geloben die Einhaltung der Zusagen. Siegelankündigung von Reyner Johanssone
von Vlaardingen, Willem Clawessone von Schiedam, Peter Johanssone von Rotterdam, Johan Willemmessone von Vlaardingen, Claws Ysbrandessone von Vlaardingen und Gyllies Willemmessone von Vlaardingen. Gheven na Godes bord in deme
verteynhundertsten yare op den dach der hylgen vruwen zunte Elyzabeth.
Diplomatische Erörterung: Pergament mit Faltung und etlichen Feuchtigkeitsflecken,
schmale Plica mit sechs meist gut erhaltenen Siegeln an Pergamentstreifen. Auf
der Rückseite Kanzleinotiz: 1400 Elisab[eth], davor 2.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 5. D = Copiae Archivi.
114
16
Regesten der Jahre 14 00 –14 4 0
1400 November 21. o. O.
1400.11.21 — Cc 6
16
Johan Peterssone aus Heusden gelobt, dem Hamburger Rat für seine Gefangenschaft 10 gld. zu zahlen oder sich nächste Ostern wieder zu stellen, und schwört Urfehde
Johan Peterssone aus Heusden (Hoͤseden) in einem offenen Brief: bekennt, dem Hamburger Rat geschworen zu haben, seinen Status als Gefangener zu wahren (ene
rechte vengnisse to holdende). So werde er diesem 10 Geldersche gld. (teyn Ghelresche
ghuldene) zum nächsten Ostern (1401 April 3, oppe Paschen neghest tokomende) zahlen oder sich zum selben Osterfest wieder stellen. Schwört, dass er künftig weder
selbst noch durch andere dem Rat der Stadt Hamburg, ihren Bürgern oder den
Ihren wegen ihrer Schatzung (umme dat my to Hamborch gescheen is, genomen unde
opgeholden is) aufsagen oder sie schädigen werde. Gelobt die Einhaltung der Zusagen. Siegelankündigung. Gheven na Godes bord in deme veerteynhundertsten yare op
den avend zunte Cecilien der hylgen juncvruwen.
Diplomatische Erörterung: Pergament mit Faltung und zahlreichen Feuchtigkeitsfle-
cken, daher Schrift teilweise verblichen und einige Textverluste, Plica mit einem
kleinen, gut erhaltenen Siegel an einem Pergamentstreifen. Rückseite mit dünnem Papier überklebt, Kanzleinotiz: 1400 vesp[era] Cecilie (in Ausschnitt), davor
jünger 12 (?).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 6. D = Copiae Archivi.
17
1400 November 29. o. O.
1400.11.29 — Cc 7
17
Ludeke van Dymen aus Amsterdam gelobt, dem Hamburger Rat für seine Gefangenschaft 30 m. zu zahlen oder sich nächste Ostern wieder zu stellen, und schwört Urfehde
Ludeke van Dymen aus Amsterdam in einem offenen Brief: bekennt, dem Rat zu
Hamburg geschworen zu haben, seinen Status als Gefangener getreu zu wahren
(ene rechte vengnisse truweliken to holdende). Er werde dem Rat dafür 30 m. lüb. (drittich Lubesche mark) zu Ostern (1401 April 3, oppe Paschen negehst to kommende) zahlen
oder sich zum selben Osterfest zu Hamburg wieder stellen. Schwört, dass er künftig weder selbst noch durch andere den Rat der Stadt Hamburg, ihre Bürger oder
die Ihren wegen ihrer Schatzung (darumme dat my to Hamborch gescheen is, genomen
unde opgeholden is) ansprechen oder schädigen werde. Gelobt die Einhaltung der
Zusagen. Siegelankündigung. Gheven na Godes bord in dem verteynhundertsten yare op
den avend zunte Andreas des hylghen aposteles.
Diplomatische Erörterung: Pergament mit Faltung und zahlreichen Feuchtigkeitsfle-
cken, daher Schrift teilweise verblichen und einige Textverluste, Plica mit einem
Siegel. Rückseite mit dünnem Papier überklebt, Kanzleinotiz: 1400 vesp[era] Andr.
(in Ausschnitt), davor jünger 11.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 7. D = Copiae Archivi.
14 00 Novemb er 29. o. O.
18
115
1400 November 29. o. O.
1400.11.29 — Cc 8
18
Johan Sticker aus Amsterdam gelobt, dem Hamburger Rat für seine Gefangenschaft 40 m. zu zahlen oder sich nächste Ostern wieder zu stellen, und schwört Urfehde
Johan Sticker aus Amsterdam in einem offenen Brief: bekennt, dem Rat zu Hamburg geschworen zu haben, seinen Status als Gefangener getreu zu wahren (ene
rechte vengnisse truweliken to holdende). Er werde dem Rat dafür 40 m. lüb. (veertich
mark) zu Ostern (1401 April 3, oppe paschen negehst tokomende) zahlen oder sich zum
selben Osterfest wieder stellen. Schwört, dass er künftig weder selbst noch durch
andere den Rat der Stadt Hamburg, ihre Bürger oder die Ihren wegen ihrer Schatzung (umme dat my to Hamborch gescheen is, genomen unde opgeholden is) ansprechen
oder sie schädigen werde. Gelobt die Einhaltung der Zusagen. Siegelankündigung.
Gheven na Godes bord in dem verteynhundertsten yare op den avend zunte Andreas des
hylgen aposteles.
Diplomatische Erörterung: Pergament mit Faltung und einigen Feuchtigkeitsflecken,
schmale Plica mit einem gut erhaltenen Siegel an Pergamentstreifen. Auf der
Rückseite Kanzleivermerke: 1400 vesp[era] Andr[ee], dazu die Ziffer 3) und durchstrichen: 14.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 8. D = Copiae Archivi.
19
19
Claws van [Wormeren] aus Amsterdam schwört Urfehde
1400 Dezember 17. o. O.
1400.12.17 — Cc 21
Claws van [Wormeren] aus Amsterdam in einen offenen Brief: bekennt, dass er Bürgermeistern und Ratsherren der Stadt Hamburg Urfehde (ene rechte orveyde) geschworen habe, so dass er künftig weder selbst noch durch andere den Rat der
Stadt Hamburg, ihre Bürger oder die Ihren, wegen der Ursachen seiner Gefangenschaft oder dem, was ihm genommen wurde (darumme, dat ik dar hebbe gevangen wezen unde dat my dar gescheen is, genomen unde opgeholden is), ansprechen, schädigen
oder ihr Feind werde. Gelobt für sich und seine Erben die Einhaltung der Zusagen.
Siegelankündigung des Ausstellers. Gheven na Godes bord indem verteynhundertsten
yare des vrydages na sunte Lucien daghe.
Diplomatische Erörterung: Kleines Pergament mit Faltung, zahlreichen Feuchtigkeits-
flecken, verblassten Stellen und Textverlusten, Plica mit Schlitz für Siegelanbringung, jedoch kein Siegel erhalten. Rückseite mit dünnem Papier überklebt,
Ausschnitt mit Kanzleinotiz: 1400 [dies Veneris] post Lucia, darüber korrigiert 4.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 21. D = Copiae Archivi [falsch auf 1401
datiert].
116
20
Regesten der Jahre 14 00 –14 4 0
1400 Dezember 29. o. O.
1400.12.29 — Q 68
20
Ghevert Schulte der Ältere und Ghevert Schulte der Jüngere quittieren Hamburg den Empfang von 60 m. für die Erben des Wolder Lappe
Ghevert Schulte der Ältere und Ghevert Schulte der Jüngere,47 Knappen, in einem offenen Brief: quittieren den Bürgermeistern und Ratsherren der Stadt Hamburg den
Empfang von 60 m. für die Erben von Wol[d]er Lappe48 fällig an zůnte Michaelis dach
negest tokomende (1401 September 29). Siegelankündigung. Gheven unde schreven […] na
Godes bord in dem veerteynhundertsten yare op den dach zunte Thomas van Kantelberge
des hylghen merteleres.
Diplomatische Erörterung: Kleines Pergament mit Faltung und einigen Feuchtigkeits-
flecken, Plica mit zwei an Pergamentstreifen befestigten Siegeln, darauf mit Bleistift moderne Signatur Q 68. Rückseite mit Kanzleinotiz: 1400.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 68; D = Copiae Archivi [unvollständig].
21
21
Jacob Here aus Amsterdam schwört Urfehde
1401 Januar 7. o. O.
1401.01.07 — Cc 9
Jacob Here aus Amsterdam in einem offenen Brief: bekennt, dass er Bürgermeistern
und Ratsherren der Stadt Hamburg Urfehde (ene rechte orveyde) geschworen habe,
so dass er künftig weder selbst noch durch andere den Rat der Stadt Hamburg, ihre
Bürger oder die Ihren, wegen der Ursachen seiner Gefangenschaft oder dem, was
ihm genommen wurde (darumme, dat ik dar hebbe gevangen wezen unde dat my dar gescheen is, opgeholden unde genomen is), ansprechen, schädigen oder ihr Feind werde.
Gelobt für sich und seine Erben die Einhaltung der Zusagen. Siegelankündigung.
Gheven na Godes bord in dem veerteynhundersten unde ersten yare des negesten vrydages
na twelften.
Diplomatische Erörterung: Kleines Pergament mit Faltung und zahlreichen Feuchtig-
keitsflecken, verblassten Stellen und Textverlusten, Plica mit einem an einem
Pergamentstreifen befestigten Siegel. Rückseite mit dünnem Papier überklebt,
Ausschnitt mit Kanzleinotiz: 1401 p[ost] Zwölfften, davor 9. aus 6. korrigiert.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 9. D = Copiae Archivi.
47
Hamburger Amtmann zu Harburg.
48
Wolderich VI. Lappe († ca. 1400), verheiratet mit Geseke.
14 01 Januar 8. o. O.
22
22
Jacob Hinrikessone aus Haarlem schwört Urfehde
117
1401 Januar 8. o. O.
1401.01.08 — Cc 10
Jacob Hinrikessone aus Haarlem in einem offenen Brief: bekennt, dass er Bürgermeistern und Ratsherren der Stadt Hamburg Urfehde (ene rechte orveyde) geschworen habe, so dass er künftig weder selbst noch durch andere den Rat der Stadt
Hamburg, ihre Bürger oder die Ihren, wegen der Ursachen seiner Gefangenschaft
oder dem, was ihm genommen wurde (darumme, dat ik dar hebbe gevangen wezen
unde dat my dar gescheen is, opgeholden unde genomen is), ansprechen, schädigen oder
ihr Feind werde. Gelobt für sich und seine Erben die Einhaltung der Zusagen. Siegelankündigung. Gheven na Godes bord in dem veerteynhundersten unde ersten yare des
negesten sonauendes na twelften.
Diplomatische Erörterung: Kleines Pergament mit Faltung und vielen Feuchtigkeits-
flecken, verblassten Stellen und Textverlusten, Plica mit einem an einem Pergamentstreifen befestigten Siegel. Rückseite mit dünnem Papier überklebt,
Ausschnitt mit Kanzleinotiz: 1401 [dies Saturni] post Zwölfften, davor 13. [durchgestrichen] und 7.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 10. D = Copiae Archivi.
23
23
Jacob Johanssone aus Rotterdam schwört Urfehde
1401 Januar 8. o. O.
1401.01.08 — Cc 11
Jacob Johanssone aus Rotterdam in einem offenen Brief: bekennt, dass er Bürgermeistern und Ratsherren der Stadt Hamburg Urfehde (ene rechte orveyde) geschworen habe, so dass er künftig weder selbst noch durch andere den Rat der Stadt
Hamburg, ihre Bürger oder die Ihren, wegen der Ursachen seiner Gefangenschaft
oder dem, was ihm genommen wurde (darumme, dat ik dar hebbe gevangen wezen
unde dat my dar gescheen is, opgeholden unde genomen is), niemals mehr ansprechen,
schädigen oder ihr Feind werde. Gelobt für sich und seine Erben die Einhaltung der
Zusagen. Siegelankündigung. Gheven na Godes bord in dem verteynhundertsten unde
ersten yare des negesten sonavendes na twelften.
Diplomatische Erörterung: Kleines Pergament mit Faltung, vielen Feuchtigkeitsflecken,
verblassten Stellen und Textverlusten, Plica mit einem an einem Pergamentstreifen befestigten Siegel. Rückseite mit dünnem Papier überklebt, Ausschnitt
mit Kanzleinotiz: 1401 [dies Saturni] post Zwölfften, dazu 6. [durchgestrichen] und 5.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 11. D = Copiae Archivi.
118
24
Regesten der Jahre 14 00 –14 4 0
1401 Januar 8. o. O.
1401.01.08 — Cc 12
24
Peter Robertessone aus Amsterdam gelobt, dem Hamburger Rat für seine Gefangenschaft bis nächste Ostern 15 m. zu zahlen, und schwört Urfehde
Peter Robertessone aus Amsterdam in einem offenen Brief: bezeugt, dem Rat von
Hamburg geschworen zu haben, seinen Status als Gefangener zu wahren (ene rechte
vengnisse). Er werde dem Rat dafür als schattinge 15 m. lüb. zum nächsten Osterfest
(1401 April 3, oppe paschen negest tokomende) zahlen. Die Bürgen für diese Summe
sind: Johan Lubbertes, Johan Hanstede, Heyne van Schesle, Raboyse, Claws van der Heyde,
Heyne Rodenborch, Ghoedeke van der Slus, Werneke Witte, Johan van dem Bussche, Johan
Steenbeke, Hamburger Bürger, Johan Gherdessone, Ghodert Thomassone, Johan Sacker,
Ludeke van Demen, Amsterdamer Bürger, jeweils für eine m. sowie der Aussteller
selbst auch für eine m. Er habe dem Hamburger Rat Urfehde (ene rechte orveyde)
geschworen, so dass er künftig weder selbst noch durch andere den Rat der Stadt
Hamburg, ihre Bürger oder all die Ihren, wegen der Ursachen seiner Gefangenschaft oder dem, was ihm genommen wurde (darumme, dat ik dar hebbe gevangen
wezen unde dat my dar gescheen is, opgeholden unde genomen is), niemals mehr ansprechen, schädigen oder ihr Feind werde. Gelobt für sich und seine Erben die Einhaltung der Zusagen. Siegelankündigung. Gheven na Godes bord in dem veerteynhundertsten unde ersten yare des neghesten sonanendes na twelften.
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken,
verblassten Stellen und Textverlusten, Plica mit einem an einem Pergamentstreifen befestigten Siegel. Rückseite mit dünnem Papier überklebt, Ausschnitt
mit Kanzleinotiz: 1401 [dies Saturni] post Zwölfften, dazu 8.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 12. D = Copiae Archivi [falsch datiert].
25
1401 Januar 22. o. O.
1401.01.22 — Cc 13
25
Ysebrand Symonssone und Johan Clawessone aus Monnickendam schwören Urfehde
Ysebrand Symonssone und Johan Clawessone aus Monnickendam (Monnekedamme) in
einem offenen Brief: bekennen, dass sie Bürgermeistern und Ratsherren der Stadt
Hamburg Urfehde (ene rechte orveyde) geschworen hätten, so dass sie künftig weder
selbst noch durch andere den Rat der Stadt Hamburg, ihre Bürger oder die Ihren,
wegen der Ursachen ihrer Gefangenschaft oder dem, was ihnen genommen wurde
(darumme, dat wi dar hebbe gevangen wezen unde dat uns dar gescheen is, opgeholden
unde genomen is) ansprechen, schädigen oder ihre Feinde würden. Geloben für sich
und ihre Erben die Einhaltung der Zusagen. Siegelankündigung der Aussteller. Gheven na Godes bord in dem veerteynhundertsten unde ersten yare op den dach zunte Vincencius des hilgen merteleres.
14 01 Januar 27. o. O.
119
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken,
verblassten Stellen und Textverlusten, Plica mit zwei jeweils an einem Pergamentstreifen befestigten Siegeln. Auf der Rückseite Kanzleinotizen: 1401 Vincent,
dazu 16. [aus 17. korrigiert].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 13. D = Copiae Archivi.
26
1401 Januar 27. o. O.
1401.01.27 — Cc 14
26
Rulef Johanssone, Peter Johanssone, Dyrk und Jacob Myliessone aus Hoorn geloben, dem Hamburger Rat 1401 Mai 1 100 gld. für ihre Gefangenschaft zu zahlen, dazu Kostgeld, und versprechen die Leistung von Urfehde; Dyrk und Jacob leisten Einlager
Rulef Johanssone, Peter Johanssone, Dyrk Johanssone und Jacob Myliessone aus Hoorn
(Horne) in einem offenen Brief: bekennen, Gefangene Hamburgs zu sein und dem
Rat der Stadt die Übergabe von 100 Gelderschen gld. (hundert Gellersche gulden)
1401 Mai 1 (op den meydach negest tokomende) vor unse schattinge gelobt zu haben.
Dyrk Johanssone und Jacob Myliessone sollen zudem dem Rat zwölf (twelf) Schillinge an stokgelde und knokengelde geben [für die Gefangenschaft]. Weiter sollen Dyrk
und Jacob Claws Bispinge49 8 m. und 4 sol. (achte mark unde veer schillinge) Kostgeld
geben. Versprechen, Herrn Albert Bretlinge die ihm schuldigen Kosten zu erstatten.
Teilen mit, dass sich als Geiseln von ihnen Dyrk Johanssone und Jacob Myliessone
für diese Summen stellen; sie leisten Einlager in Albert Bretlinges Haus. Blanke Hermen, Keyser, Broder, Peters Peterssone und Johan de Wale haben für Rulef Johanssone,
Peter Johanssone, Dyrk Johanssone und Jacob Myliessone geschworen, das Geld
1401 Mai 1 (op den meydach) zu bezahlen. Johan de Wale und Peter Peterssone bleiben deshalb als Geiseln. Weiter versprechen alle Vorerwähnten, 1401 Mai 1 (oppe
Meydach) nach Hamburg zurückzukehren und Urfehde zu schwören. Teilen weiter
mit, für Henneken Lubbensone aus Monnickendam (Monnekedamme) gelobt zu haben,
dass er Clawes Bispinge 4 m. und 2 sol. (veer mark unde twe schillinge) für Kostgeld
und Alarde Husdunen auch sein Kostgeld zum vorgenannten Zeitpunkt bezahlen
solle. Siegelankündigung. Gheven na Godes bord in dem veerteynhundertsten unde ersten yare des negesten donresdages na zunte Pawels dage alze he bekeret wart.
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken,
verblassten Stellen und Textverlusten, Plica mit neun meist gut erhaltenen, an
Pergamentstreifen angebrachten Siegeln. Auf der Rückseite Kanzleinotiz: 1401
[dies Jovis post] Convers[ionis] Pauli, dazu 1. [durchgestrichen] und 9.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 14. D = Copiae Archivi.
49
Ratsherr von Hamburg seit 1400 († 1417).
120
27
Regesten der Jahre 14 00 –14 4 0
1401 Januar 27. o. O.
1401.01.27 — Cc 15
27
Blanke Hermen, Keyser, Bruͦ der, Peter Peterssone und Johan de Wale aus Hoorn geloben, dem Hamburger Rat 1401 Mai 1 300 gld. für ihre Gefangenschaft zu zahlen, dazu Stockgeld und Kostgeld, und versprechen die Leistung von Urfehde; Peter und Johann leisten Einlager
Blanke Hermen, Keyser, Brůder, Peter Peterssone und Johan de Wale aus Hoorn (Horne)
in einem offenen Brief: bekennen, Gefangene Hamburgs zu sein und dem Rat der
Stadt die Übergabe von 300 Gelderschen gld. 1401 Mai 1 (oppe meydach) gelobt zu
haben. Hinzu kommen 30 sol. an stokgelde und knokengelde geben [für die Gefangenschaft]. Blanke Hermen, Keyser und Brůder, versprechen, Clawes Bispinge50 12 m. und
6 sol. (twelf mark unde ses schillinge) Kostgeld zu zahlen und ebenso, was man Albert
Bretlinge schuldig sei. Als Geiseln für die Summen stellen sich von ihnen Peter Peterssone und Johan de Wale zum Einlager bei Albert Bretlinge. Rulef Johanssone,
Peter Johanssone, Dyrk Johanssone und Jacob Myliessone haben für Blanke Hermen,
Keyser, Broder, Peter Peterssone und Johan de Wale geschworen, die Summen 1401
Mai 1 (op den meydach) zu bezahlen. Als Geiseln stellen sich dafür Dyrk Johanssone
und Jacob Myliessone. Weiter versprechen alle Vorerwähnten, dass sie 1401 Mai 1
(oppe meydach) wieder nach Hamburg kommen und Urfehde schwören werden.
Teilen weiter mit, dass alle Vorerwähnten für Henneken Lubbensone aus Monnickendam (Monnekedamme) gelobt haben, dass er Clawes Bispinge 4 m. und 2 sol. (veer
mark unde twe schillinge) für Kostgeld und Alarde Husdunen auch sein Kostgeld zum
vorgenannten Zeitpunkt bezahlen solle. Siegelankündigung. Gheven na Godes bort
in dem veerteynhundertsten unde ersten yare des negesten donresdages na zunte Pawels
dage alze he bekeret wart.
Diplomatische Erörterung: Pergament mit Faltung, etlichen Feuchtigkeitsflecken,
verblassten Stellen und Textverlusten, Plica mit neun gut erhaltenen, an Pergamentstreifen angebrachten Siegeln. Rückseite mit dünnem Papier überklebt,
Ausschnitt mit Kanzleinotiz: 1401 [dies Jovis] post Conv[ersionis] Pauli, dazu 7 vor
Streichung.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 15. D = Copiae Archivi [mit falscher
Datierung und größerer Textauslassung].
28
1401 Januar 29. o. O.
1401.01.29 — Cc 16
28
Blanke Hermen und Broder aus Hoorn (Horne) versprechen Johann van der Slus, Hamburger Bürger, die Zahlung von 21 m. Kostgeld bis 1401 Mai 1
Blanke Hermen und Broder aus Hoorn (Horne) in einem offenen Brief: bekennen, Johann van der Slus, Hamburger Bürger, 21 m. (eenundetwintich mark) Kostgeld schuldig zu sein. Versprechen Bezahlung 1401 Mai 1 (oppe meydach). Keyser, Peter Peterssone, Johan de Wale, Rolfe Johanssone, Peter Johanssone, Dyrk Johannsone und Jacob
50
Ratsherr von Hamburg seit 1400 († 1417).
14 01 Januar 30. o. O.
121
Myliessone haben für Blanke Hermen und Broder gelobt, dass Geld Johann van der
Slus 1401 Mai 1 (oppe Meydach) zu bezahlen. Als Geiseln für diese Summen stellen
sich Peter Peterssone, Johan de Wale, Dyrk Johanssone und Jacob Myliessone mit
Einlager bei Albert Breetling. Siegelankündigung. Gheven na Godes bord in dem veerteynhundertsten unde ersten yare des negesten sonanendes vor lychtmissen.
Diplomatische Erörterung: Pergament mit Faltung, etlichen Feuchtigkeitsflecken,
verblassten Stellen und Textverlusten, Plica mit neun gut erhaltenen, an Pergamentstreifen angebrachten Siegeln. Auf der Rückseite Kanzleinotiz: 1401 [dies
Saturni] a[nte] Purif[ications] Mar[ie], dazu Ziffern 4 [durchstrichen] und 11.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 16. D = Copiae Archivi.
29
1401 Januar 30. o. O.
1401.01.30 — Cc 17
29
Claws de Wale aus Monnickendam und seine Söhne Johan Moͤ n ensone und Peter Ostland geloben, dem Hamburger Rat 1401 Mai 1 für ihre Gefangenschaft 50 gld. zu zahlen, dazu Kostgeld und 26 sol., und versprechen die Leistung von Urfehde; Peter bleibt als Geisel
Claws de Wale aus Monnickendam (Moͤnnekedamme) und seine beiden Söhne Johan
Moͤnensone und Peter Ostland in einem offenen Brief: bekennen, Gefangene Hamburgs zu sein und dem Rat der Stadt Folgendes geschworen zu haben:
[1.] Sie werden dem Rat von Hamburg 1401 Mai 1 (oppe meydach) 50 Geldersche gld.
(veftich Gellersche guldene) zahlen;
[2.] sie werden zur selben Zeit Hermen Langen und Clawes Bispinge das schuldige
Kostgeld zahlen;
[3.] zudem habe Claws de Wale für Jacob Vyddensone dem Rat 26 sol. lüb. (xxvi schilling Lubesch) gelobt;
[4.] für die Schulden werde Peter Ostland als Geisel gestellt;
[5.] Clawes habe mit seinem jüngsten Sohn geschworen, dass Peter sein Einlager
bei Hermen Langen halten werde, solange, bis die Schulden bezahlt seien; zudem
habe Clawes geschworen, dass er mit seinem ältesten Sohn 1401 Mai 1 (oppe Meydach) wieder nach Hamburg kommen werde;
[6.] verspricht, dann mit beiden Söhnen Urfehde (ene rechte orveyde) zu leisten, dass
weder sie noch Dritte wegen ihrer Gefangenschaft gegen den Rat von Hamburg,
ihre Bürger und ihre Untertanen vorgehen noch sie als Feind behandeln würden.
Ankündigung des Siegels von Clawes de Wale für sich und seine Söhne. Gheven na
Godes bord in dem verteynhundertsten unde ersten yare des negesten zondages vor lychtmissen.
122
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergament mit Faltung, einigen Feuchtigkeitsflecken und
Textverlusten, Plica mit einem an einem Pergamentstreifen angebrachten, gut
erhaltenen Siegel. Auf der Rückseite Kanzleinotiz: 1401 [dies Saturni (!)] a[nte] purif[icationis] Mar[ie], dazu Ziffern 8 [durchstrichen] und 12.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 17. D = Copiae Archivi.
30
1401 Februar 5. o. O.
1401.02.05 — Cc 18
30
Tyese Rode, sein Sohn Alard und neun weitere Personen aus Stavoren erklären, Urfehde geschworen zu haben
Tyese Rode, sein Sohn Alard, Anna Ludeken Rodenzone, Clawes Hayensone, Robyn Hermenssone, Alard Peterssone, Claws Peterssone, Dodo Yarigessone, Anna Sascherssone, Eggherd Baerndessone und Joͤneke Lubbertssone aus Stavoren (Staveren) in einem offenen Brief: bekennen, den Bürgermeistern und Ratsherren von Hamburg Urfehde
(rechte orveyde) geschworen zu haben, so dass sie künftig weder selbst noch durch
andere den Rat der Stadt Hamburg, ihre Bürger oder ihre Untertanen wegen der
Ursachen ihrer Gefangenschaft oder dem, was ihnen genommen wurde (darumme,
dat wi dar hebben ghevanghen wezen unde dat uns dar gescheen is, opgeholden unde genomen is), niemals mehr ansprechen, schädigen oder ihre Feind würden. Geloben
für sich und ihre Erben die Einhaltung der Zusagen. Ankündigung der Siegel von
Tyese Rode für sich und seinen Sohn, Anna Ludeken Rodensone, Claws Hayensone,
Robyn Hermensone, Alard Peterssone, Clawes Peterssone, Dodo Yarigessone, Anna
Sascherssone, Eggherd Baerndessone und Joͤneke Lubbertssone. Gheven na Godes
bord in dem veerteynhundertsten unde ersten yare op den dach zunte Agathen der hylgen
juncvruwen.
Diplomatische Erörterung: Längliches Pergament mit Faltung, etlichen Feuchtigkeits-
flecken, verblassten Stellen und kleineren Textverlusten, Plica mit zehn meist
relativ gut erhaltenen, an Pergamentstreifen angebrachten Siegeln. Rückseite
mit Papier überklebt, zwei Ausschnitte mit Kanzleinotizen: Dit sind breve der orveyde, de de Hollander in vortiden ghezworen, loved unde bezeghelt hebben dar na der
tyd andere deghedinghe up vorramet worden. 1401, daneben von anderer Hand: Agathae, davor mit Bleistift die Ziffer 13. Unten im zweiten Einschnitt: 1401.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 18. D = Copiae Archivi.
31
1401 Februar 5. o. O.
1401.02.05 — Cc 19
31
Anna Ludeken Rodensoͤ n e aus Stavoren hat geschworen, dass ihr Sohn Dodo 1401 Mai 1 in Hamburg Urfehde schwören wird
Anna Ludeken Rodensoͤne aus Stavoren (Staveren) in einem offenen Brief: bekennt,
den Bürgermeistern und Ratsherren der Stadt Hamburg geschworen zu haben,
dass ihr Sohn Dodo nach Hamburg 1401 Mai 1 (op den maydach) kommen und Ur-
14 01 Februar 21. o. O.
123
fehde (ene rechte orveyde) schwören solle. Siegelankündigung. Gheven na Godes bord
in deme veerteynhundertsten unde eersten yare op zunte Agathen dach der hylgen juncvruwen.
Diplomatische Erörterung: Kleines Pergament mit Faltung, vielen Feuchtigkeitsfle-
cken, verblassten Stellen und kleineren Textverlusten, Plica mit einem an einem
Pergamentstreifen angebrachten Siegel. Rückseite mit Papier überklebt, Ausschnitt mit Kanzleinotiz: 1401 Agathe, davor 14.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 19. D = Copiae Archivi.
32
32
Alveric Lappe, Knappe, quittiert dem Hamburger Rat die Zahlung von 180 m.
1401 Februar 21. o. O.
1401.02.21 — Q 69
Alveric Lappe, Knappe,51 in einem offenen Brief: macht für sich und Ghese, Witwe
des Wolder Lappe,52 die ihn bevollmächtigt habe, bekannt, dass er von den Hamburger Bürgermeistern und Ratsherren zu seiner Zufriedenheit 180 m. (hůndert
unde achtentich mark) mit Fälligkeit auf 1401 September 29 (sunte Michaelis dach)
empfangen habe, und zwar von Hilmer Lopow, Ratsherr zu Hamburg,53 60 m. (sostich
mark), von Grete, Witwe Frederic Scholdenfletes,54 26 m. (soesundetwintisch mark), von
Ludeke Wulfhaghen, Ratsherr zu Hamburg,55 94 m. (veerundeneghentich mark), und
zwar 84 m. (veerundeachtentich mark) von Schulden wegen und 10 m. von der Frau
Schynkens wegen, die zuvor Frau [Wilke] Lappens war.56 Spricht Bürgermeister und
Rat von allen Forderungen frei. Siegelankündigung des Ausstellers. Screven unde
gheven […] na Godes bord in deme dusentsten een unde veerhundertsten jare in sunte Peters
avende alze he hoghet ward uppe den stoel.
Diplomatische Erörterung: Pergament mit Faltung, einigen Feuchtigkeitsflecken und
geringen Textverlusten, Plica mit einem nur teilweise erhaltenen Siegel an einem Pergamentstreifen, Einriss links. Rückseite mit Kanzleivermerk: Lappen super solucionem 180 m. datis 14[0]1.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 69. D = Copiae Archivi.
51
Alverich IX. Lappe († ca. 1412).
52
Wolderich VI. Lappe († ca. 1400), verheiratet mit Geseke.
53
Ratsherr seit 1390, Bürgermeister 1401–1410.
54
Ratsherr 1387–1399.
55
Ratsherr 1386–1408.
56
Willeke, Vater Alverichs IX.
124
33
Regesten der Jahre 14 00 –14 4 0
1401 Februar 22. Rom.
1401.02.22 — T 15
33
Papst Bonifaz IX. an den Propst der Hamburger Kirche: erlaubt die Resignation von Johannes Neppe, Pfarrer in Tellingstedt
Papst Bonifacius IX.57 an den Propst der Hamburger Kirche: Johannes Neppe, Pfarrer in Tellingstedt, könne wegen seiner Blindheit und seines Alters seinen Aufgaben nicht mehr nachkommen und solle daher mit einem angemessenen Teil der
kirchlichen Einkünfte auf Lebenszeit versorgt werden. Der Papst beauftragt daher
den Propst, die Resignation des Pfarrers in seinem Namen anzunehmen und eine
entsprechende Versorgung zu veranlassen. Da die Einkünfte 6 m. jährlich nicht
übersteigen würden, solle er einer geeigneten Person eine oder mehrere Pfründen
übertragen und in der Pfarrei einsetzen. Einsprüche dagegen seien an den apostolischen Stuhl zu richten, andere Autoritäten wie der Erzbischof von Bremen
sollten nicht eingreifen können. Der Einnehmer der apostolischen Kammer solle
informiert werden. Datum Rome apud sanctum Petrum VIII kalendas Marcii pontificatus
nostri anno duodecimo.
Diplomatische Erörterung: Pergament, in der Mitte durchgeteilt, aus Bucheinband, mit
Einschnitten für die Bindung, ohne Plica und Siegel, aber mit Zeichen des ausfertigenden Notars A[ntonio] de Portugruario. Am Kopf des zweiten Teils notiert:
In isto libro continentur diversi sermones et collaciones. [Quod] d[ebet] vendi pro septem
florenis renensibus. Rückseite wohl mit Schreiberzeichen und beschädigten, kaum
lesbaren Vermerken […] [com]mendacio[nis] sac[ri] sep[ulchri …] cum […]arum.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. T 15. D = Copiae Archivi.
34
34
Claws Dyrkessone aus Wieringen schwört Urfehde
1401 März 9. o. O.
1401.03.09 — Cc 22
Claws Dyrkessone aus Wieringen (Wyringhe) in einem offenen Brief: bekennt, den
Bürgermeistern und Ratsherren der Stadt Hamburg nach seiner Haft Urfehde (ene
rechte orveyde) geschworen zu haben, so dass er künftig weder selbst noch durch
andere den Rat der Stadt Hamburg, ihre Bürger und ihre Untertanen wegen der
Ursachen seiner Gefangenschaft oder dem, was ihm genommen wurde (darumme,
dat ik dar hebbe gevanghen wezen unde dat my dar gescheen is, opgeholden unde genomen
is), ansprechen, schädigen oder ihr Feind werde. Gelobt für sich und seine Erben
die Einhaltung der Zusagen. Siegelankündigung. Gheven na Godes bord in dem dusentsten veerhundertsten unde ersten yare des negesten mydwekens vor zunte Gregorius
daghe.
57
Bonifaz IX., Papst 1389–1404.
14 01 Mär z 12 . Hamburg.
125
Diplomatische Erörterung: Pergament mit Faltung, stärkeren Feuchtigkeitsflecken,
verblassten Stellen und Textverlusten, Plica mit neun gut erhaltenen, an Pergamentstreifen angebrachten Siegeln. Rückseite mit dünnem Papier überklebt, im
Ausschnitt die Kanzleinotiz: 1401 [dies Mercurii] a[nte] Gregor[ii], dazu mit Bleistift
15 (aus 14 korrigiert).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 22. D = Copiae Archivi.
Erwähnung: Ballheimer, 4, S. 1.
35
1401 März 12. Hamburg.
1401.03.12 — Tt 40, Tt 41
35
Werner Miles, Dekan, und das Hamburger Domkapitel bestätigen eine Vikariestiftung von Kersten Miles, Bürgermeister Hamburgs
Wernerus, Dekan,58 und das Hamburger Domkapitel in einem offenen Brief: machen
bekannt, dass Kerstianus Militis (Kersten Miles), Bürgermeister Hamburgs,59 vor ihnen erschienen sei und erklärt habe, für sein Seelenheil und das seiner Vorfahren
und Verwandten zu Ehren Gottes und der Jungfrau Maria in St. Petri eine ewige
Vikarie am Altar des Apostels Jacobus des Älteren und des Märtyrers Laurentius
oder an einem in der Kirche neu zu errichtenden Altar stiften und mit Zustimmung seiner Erben und Verwandten mit 20 m. Renten ausstatten zu wollen. Davon
lägen 10 m. auf dem Erben von Heyno Gerskamp im Cremon zwischen der Hohen
Brücke (inter pontem dictam Hogenbrugge […]) und dem Erbe von Bernard Snakenbeke und weitere 10 m. auf dem Erbe von Johannes Melsyng in der Gröningerstraße
(Gronyngestrate) zwischen den Erben von Johannes Vornyden und Cristian de Bergen.
Entsprechend der Bitte Kerstens nehmen Dekan und Domkapitel die genannten
Renten unter ihren Schutz und errichten damit in der Petrikirche die ewige Vikarie zu Ehren Gottes und der Jungfrau Maria. Sollten die genannten Renten abgelöst
werden, sollen die Erträge zum Kauf entsprechender neuer Renten verwandt werden. Der Vikar solle jährlich eine Mark für die memoria Kerstens an die Vikare und
den vicerector der Petrikirche verteilen, mit den anderen Vikaren an den Messen
in St. Petri teilnehmen und sich dem vicerector unterordnen. Kersten erhält auf Lebenszeit das Präsentationsrecht, danach sein ältester, männlicher oder weiblicher,
Verwandter. Siegelankündigung der Hamburger Kirche. Datum Hamb[ur]g anno domini millesimo quadringentesimo primo die duodecima mensis marcii.
58
Werner Militis, Dekan 1379–1415, danach (bis) 1426 als Propst belegt, Bruder des Kersten Miles.
59
Ratsherr seit 1374, Bürgermeister 1378–1420.
126
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: zwei Ausfertigungen. A1 = Pergament mit Faltung, einigen
Feuchtigkeitsflecken und Ausrissen mit Textverlusten entlang der Faltlinien, Plica mit einem eingehängten Siegel. Rückseite links unten zwei Vermerke, zeitgenössisch: Sancti Petri. Vicaria ad altare Beatorum Jacobi Maioris et Laurentii veterem vel
tunc construendum. R[egistra]ta folio 31o. Als Nachtrag folgt: Est annexa praebendae
majori domini Lucae ab Enzen. 1401. A2 = Pergament mit Feuchtigkeitsflecken, Plica
mit einem eingehängten, etwas beschädigten Siegel. Rückseite in der Mitte ein
zeitgenössischer Vermerk (durch Feuchtigkeit schwer lesbar): Littera fundacionis
vicarie fundate per dominum Kerst[ianum Militis] proconsulem [in] ecclesia Sancti Petri
ad altare Sanctorum Jacobi apostoli et Laurencii martyris. 1401 N. 8. Dazu ein moderner
Vermerk links unten: Werneri Decani Hamb[urgensis] literae fundationis perpertuae
vicariae in ecclesia Sancti Petri Hamb[urgensis] ad altare Sancti Jacobi apostoli et Laurentii martyris, factae a Christiano Militis proconsule Hamb[urgense], datum Hamb[urg]
1401 d[ie] 12 Martii.
Überlieferung: A1 = StAHH 710-1 I Threse I, Nr. Tt 40; A2 = StAHH 710-1 I Threse I, Nr.
Tt 41.
Erwähnung: Vollmers, Pfarreien, S. 245, 445–446.
36
1401 April 14. Lüneburg.
1401.04.14 — N 44
36
Bürgermeister, Ratsherren und Bürger der Stadt Lüneburg bestätigen die Höhe der mit Hilfe der Kapitel und Räte zu Hamburg und Lübeck zu zahlenden Schuldsumme von 123 000 m.
Bürgermeister, Ratsherren und Bürger der Stadt Lüneburg in einem offenen Brief:
bezeugen, dass sich die Schuldsumme der Stadt Lüneburg, die sie bezahlen sollen
von der Hilfe, die Dideric, Abt von Reinfeld, Werner Miles, Dekan,60 Johan Updemperde,
Domherr in Hamburg,61 Albert Rodenburg, Lübecker Domherr, Hinric Westhoff, Bürgermester,62 Hermen Dartzow,63 Reyner van Calven,64 Ratsherren zu Lübeck (darsulves),
Albert Screye65 und Hilmer Lopow,66 Hamburger Ratsherren, vereinbart haben, nach
Ausweis der Urkunde (des denkelbreves) auf 123 000 m. (hundertdusend marc und
dreeundtwintichdusend marc) und nicht mehr belaufe. Die Erhebung der Hilfe solle
60
Werner Militis, Dekan 1379–1415, danach (bis) 1426 als Propst belegt, Bruder des Kersten Miles.
61
Als Domherr belegt 1401–1407.
62
Ratsherr, 1392–1408 Bürgermeister († 1415).
63
Ratsherr († 1404).
64
Ratsherr 1393–1408, 1416–1421.
65
Ratsherr 1380–1426.
66
Ratsherr seit 1390, Bürgermeister 1401–1410.
14 01 April 14. Lüneburg.
127
nächste Weihnachten (1401 Dezember 25, to Winachten negest to komende) beginnen.
Ankündigung des Stadtsiegels. Gheven to Luneburg na Godes bord verteynhundert jar,
darna in dem ersten jare in sunte Tyburcius und Valerianus der hilgen mertelere daghe.
Diplomatische Erörterung: Pergament mit Faltung, Plica, aber kein Einschnitt und kein
Siegel erhalten; das Siegel wurde offenbar ausgeschnitten, da die Plica und der
untere Teil der Urkunde restauriert wurden. Auf der Rückseite Vermerk: Litera
recognition[is] consulati, darunter 1401 und (modern neben dem Ausriss) […] 67.
Dazu runder Stempel mit kyrillischer Schrift.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. N 44. D = Copiae Archivi.
Edition (Auszug): UB Stadt Lüneburg, 3, 1518, S. 471.
37
1401 April 14. Lüneburg.
1401.04.14 — Pp 34
37
Rat und Bürger der Stadt Lüneburg einigen sich mit Tiderik Abt zu Reinfeld sowie den Kapiteln und Räten zu Hamburg und Lübeck über die Belastung der Lüneburger Sülzgüter und der Lüneburger Bürger zur Abzahlung der Schulden Lüneburgs
Rat und Bürger der Stadt Lüneburg einigen sich mit Tiderik, Abt zu Reinfeld, Werner Miles, Dekan,67 Johann Updemperde, Domherr zu Hamburg,68 Albert Rodenborgh,
Domherr zu Lübeck, Hinrik Westhoff, Bürgermeister,69 Hermen Dartzow,70 Reyner van
Calven,71 Ratsherren zu Lübeck, Albert Screye72 und Hilmer Lopow,73 Ratsherren zu
Hamburg, über die Belastung der Lüneburger Sülzgüter und der Lüneburger Bürger zur Abzahlung der Schulden Lüneburgs. Im gegenwärtigen Jahr solle man von
jeder Pfanne 10 m. einfordern, und von jedem Wispel [Salz] sollten in den nächsten
zehn Fluten (vloden)74 je 11 sol. gezahlt werden. In den Folgejahren soll je Pfanne
von der Vormiete (vorbate)75 der vierte Pfennig gezahlt werden, ebenso vom vlodgute (nicht aber von der boninge),76 so lange, bis zusammen mit dem Schoss der Bür67
Werner Militis, Dekan 1379–1415, danach (bis) 1426 als Propst belegt, Bruder des Kersten Miles.
68
Als Domherr belegt 1401–1407.
69
Ratsherr, 1392–1408 Bürgermeister († 1415).
70
Ratsherr († 1404).
71
Ratsherr 1393–1408, 1416–1421.
72
Ratsherr 1380–1426.
73
Ratsherr seit 1390, Bürgermeister 1401–1410.
Vlote (Flute) meint einen Zeitraum der Salzproduktion von 26 Tagen; das Jahr von 364 Tagen (ohne
Weihnachten) war in 13 Fluten eingeteilt. Der Rest von 22 Tagen, die boninge, bildete den Rest des
Jahres und war frei von Rentenzahlungen, Mittendorf, Prälatenkrieg, S. 158–159, Anm.
74
Die vorbate ist die Vormiete, die von den Sulfmeistern jährlich von den Pfannen an die Pfannenherren gezahlt werden musste; sie lag im 17. Jahrhundert bei 85 m., wurde aber 1451 auf 100 m. geschätzt,
Mittendorf, Prälatenkrieg, S. 169; s. a. Staphorst, I, 4, S. 849.
75
76
Zur boninge s. Anm. 76.
128
Regesten der Jahre 14 00 –14 4 0
ger die Schulden des Lüneburger Rats bezahlt sind. Termine sind Mariae Lichtmess
(Februar 2) für die Zahlung von der vorbate und der achte Tag, wan de vlod tokomen
is, für die Zahlungen vom vlodgute. Wer sie nicht einhält, bekommt keine Sole. Bei
Pfandgut (weddeschat) ist der vierte Teil der davon zu zahlenden Renten zu geben.
Niemand soll sich dagegen auf Urkunden berufen. Rat und Bürger Lüneburgs sollen von ihren anderen Gütern, die keine Sülzgüter sind, von der Mark vier Pfennige
als Schoss geben, solange die Hilfszahlungen aus der Saline anhalten. Bleibt der
Schoss aus, werden auch die Hilfszahlungen eingestellt. Der Einzug der Gelder liegt
bei Vertretern der Domkapitel zu Lübeck und Hamburg sowie der Räte beider Städte. Ihre Aufwendungen für die Reise nach Lüneburg sollen aus der Hilfe bezahlt
werden. Rat und Bürger sollen auf die Rechte aus den von ihnen vom Papst gegen
die Rentner der Saline erworbenen Briefe verzichten und keine neuen Briefe erwerben. Die zuvor getroffenen Vereinbarungen über die sulte in Lüneburg bleiben
gültig, und Rat und Bürger verpflichten sich zur Einhaltung der Vereinbarungen.
Gheschen to Luneborg na Godes bord verteyenhundert jar und dar na in dem ersten jare in
dem daghe der hilghen mertelere Tiburcii und Valeriani.
Diplomatische Erörterung: Pergament, Zerter wohl mit vier gleichen Texten, von de-
nen zwei (nach unten und rechts) an das erhaltene Stück anschlossen, getrennt
durch gleichmäßig geschnittene Zacken, mit einem nicht mehr identifizierbaren
Schriftzug. Rückseite mit Vermerk: salin[a], quer, dazu kopfstehend von verschiedenen Händen: 1401. N. 28. und 332. No. 25.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Pp 34. D = Copiae Archivi.
38
1401 April 14. Lüneburg.
1401.04.14 — Pp 35
38
Bürgermeister, Rat und Bürger der Stadt Lüneburg versprechen Tiderik Abt zu Reinfeld sowie den Kapiteln und Räten zu Hamburg und Lübeck die Einhaltung der Vereinbarungen über die Salinen in Lüneburg
Bürgermeister, Rat und Bürger der Stadt Lüneburg in einem offenen Brief: versichern, dass sie die Vereinbarungen, die über die Hilfe zur Bezahlung der Schulden der Stadt mit Dideric, Abt zu Reinfeld, Werner Miles, Dekan,77 Johan Updemperde, Domherr zu Hamburg,78 Albert Rodenborg, Domherr zu Lübeck, Hinric Westhoff,
Bürgermeister,79 Hermen Dartzow,80 Reyner van Calven,81 Ratsherren zu Lübeck, Albert
77
Werner Militis, Dekan 1379–1415, danach (bis) 1426 als Propst belegt, Bruder des Kersten Miles.
78
Als Domherr belegt 1401–1407.
79
Ratsherr, 1392–1408 Bürgermeister († 1415).
80
Ratsherr († 1404).
81
Ratsherr 1393–1408, 1416–1421.
14 01 Mai 20. o. O.
129
Screye82 und Hylmer Lopow,83 Ratsherren zu Hamburg, getroffen und über die am
selben Tag Urkunden (denkelbreve) ausgestellt wurden, die dem Abt von Reinfeld,
seinem Konvent und Kapitel sowie den Räten von Lübeck und Hamburg übergeben
wurden, halten wollen und dass diese die zuvor gegebenen Zusagen über die sulte in Lüneburg nicht ungültig werden lassen. Siegelankündigung des Lüneburger
Rats. Gheven to Luneburg na Godes bord verteynhundert jar darna in deme ersten jare in
sunte Tyburti[i] und Valerian[i] der hilghen mertelere dage.
Diplomatische Erörterung: Pergament mit Faltung, breite Plica mit einem Pergament-
streifen, das Siegel fehlt. Auf der Rückseite rechts zeitgenössischer Vermerk: De
salina. Links etwas jünger: Senatus Luneb[urgensis] protestacio das die Zulage den
Praelaten unschadlich sein sal. 1401. Darüber runder Stempel mit kyrillischen Buchstaben, unten verschiedene Vermerke: N. 88 und 332, darüber geschrieben Nr. 24.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Pp 35.
Edition (Auszug): UB Stadt Lüneburg, 3, 1519, S. 471–472.
39
39
Alte van Horne schwört Urfehde
1401 Mai 20. o. O.
1401.05.20 — Cc 20
Alte van Horne in einem offenen Brief: bekennt, den Bürgermeistern und Ratsherren der Stadt Hamburg Urfehde (rechte orveyde) geschworen habe, so dass er künftig weder selbst noch durch andere den Rat der Stadt Hamburg, ihre Bürger oder
ihre Untertanen wegen der Ursachen seiner Gefangenschaft oder dem, was ihm
genommen wurde (darumme, dat ik dar hebbe gevanghen wezen unde dat my dar geschen is, opgheholden unde genomen is), ansprechen oder schädigen werde. Gelobt für
sich und seine Unterstützer die Einhaltung der Zusagen. Siegelankündigung. Gheven na Godes bord in dem veerteynhundertsten unde ersten yare des negesten vrydaghes
vor Pinxsten.
Diplomatische Erörterung: Kleines Pergament mit Faltung, zahlreichen Feuchtigkeits-
flecken, verblassten Stellen und einigen Textverlusten, Plica mit einem an einem Pergamentstreifen befestigten, schlecht erhaltenen Siegel. Rückseite mit
dünnem Papier überklebt, Ausschnitt mit Kanzleinotiz: 1401 [dies Veneris] a[nte]
Pentec[ostes], davor 17. (aus 15. korrigiert).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 20. D = Copiae Archivi.
82
Ratsherr 1380–1426.
83
Ratsherr seit 1390, Bürgermeister 1401–1410.
130
40
Regesten der Jahre 14 00 –14 4 0
1401 September 13. Hamburg.
1401.09.13 — Ss 22
40
Werner Miles, Dekan, und das Domkapitel zu Hamburg regeln das Präsentationsrecht über die einst vom Domherrn Hartwicus de Salina ausgestattete Vikarie am Altar St. Vincentii im Dom, das an seinen Verwandten Hinricus Viscule, Bürgermeister Lüneburgs, übergehen solle
Wernerus, Dekan,84 und das Domkapitel zu Hamburg machen bekannt, dass einst
der Hamburger Domherr Hartwicus de Salina85 die Vikarie am Altar St. Vincentii im
Dom, die alle Einkünfte verloren hätte, so dass sich niemand mehr davon ernähren könnte, mit seinen eigenen Mitteln neu errichtet, sie mit Renten und Kleinodien ausgestattet und schließlich im Umgang des Doms in einer eigenen Kapelle zu Ehren St. Cäcilie untergebracht habe. Daraufhin sei Hartwicus und seinen
Verwandten das Patronatsrecht über die Vikarie übertragen worden. Nach dessen
Tod sei das Patronatsrecht auf seinen Verwandten, Ludolphus de Salina, Bürger in
Lüneburg, übergegangen. Weil aber daraus Zweifel und Unsicherheiten entstehen
könnten, habe man Ludolphus und den anderen Verwandten das Patronatsrecht
erneuert. Dieser habe jedoch keine Kinder, so dass er zusammen mit seinem Verwandten Hinricus Viscule, Bürgermeister Lüneburgs, darum gebeten habe, diesem
und dessen Erben auf 100 Jahre das Patronatsrecht zu überlassen. Dekan und Domkapitel seien dem angesichts der Verdienste des Hinricus und Ludolphus vor allem um die Salinengüter nachgekommen. Hinricus und seine männlichen Erben
könnten das Patronatsrecht auf 100 Jahre nutzen, dann falle es an das Domkapitel
zurück. Siegelankündigung des Domkapitels. Datum Hamborg anno domini millesimo
quadringentesimoprimo die mercurii terciadecima mensis septembris.
Diplomatische Erörterung: Pergament mit Faltung, Plica mit einem an einem Perga-
mentstreifen eingehängten, weitgehend erhaltenen Siegel. Auf der Rückseite
verschiedene Kanzleivermerke, rechts unten: Maioris ecclesie. Augmentatio vicarie
altaris Sancti Vicentii martiris. R[egistra]ta folio 35. Jünger in der Mitte von verschiedenen Händen: Super vicarie capelle Sancte Cecilie. Domini Hartwici de Salina. 1401.
Dazu rechts runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ss 22. D = Copiae Archivi.
Edition: Staphorst, I, 2, S. 179.
Regest: Schütze, 386, S. 363.
Erwähnung: Staphorst, I, 1, S. 474 (Niehusen, 5).
84
Werner Militis, Dekan 1379–1415, danach (bis) 1426 als Propst belegt, Bruder des Kersten Miles.
85
Domherr 1362–1378.
14 01 Sep temb er 23. o. O.
41
131
1401 September 23. o. O.
1401.09.23 — Q 70
41
Alveric Lappe, Knappe, quittiert dem Hamburger Rat die Zahlung von 180 m., auch im Namen Ghezes, der Witwe des Wolder Lappe
Alveric Lappe86 in einem offenen Brief: quittiert für sich und Gheze, Witwe des Wolder Lappe,87 den Bürgermeistern und Ratsherren von Hamburg den Empfang von
180 m. (hundert unde achtentich Mark) mit Fälligkeitstermin 1401 September 29 (zunte Michaelis dach). Davon hätten empfangen Claws van Haghen, Ratsherr und Phebus
zu Stade 100 m. (hundert Mark) und Ludeke Wulfhagen 80 m. (achtentich Mark). Siegelankündigung. Gheven na Godes bord in dem verteynhundertsten unde ersten yare des
negesten vrydages vor zunte Michelis daghe.
Diplomatische Erörterung: Pergament mit Faltung und einigen Feuchtigkeitsflecken,
Plica mit einem an einem Pergamentstreifen angehängten, gut erhaltenen Siegel. Auf der Rückseite Kanzleinotiz: 1401.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 70. D = Copiae Archivi.
42
1401 September 29. o. O.
1401.09.29 — Q 71
42
Alveric Lappe, Knappe, quittiert dem Hamburger Rat die Zahlung von 300 m. für 30 m. Rente, die der Rat auf seine Bitte von der Gesamtsumme von 180 m. Rente abgelöst habe
Alveric Lappe,88 Knappe, in einem offenen Brief: macht bekannt, dass sein verstorbener Vetter Wolder Lappe89 und er einst vom Rat der Stadt Hamburg 180 m. Rente
für 1800 m. gekauft hätten, mit der Regelung, dass der Rat zu jedem September 29
(tho allen Sunte Michaelis daghen) die Rente ganz oder halb zurückkaufen könne.
Aufgrund der Bitten und der Not Alverics habe der Rat nunmehr von ihm und den
Erben seines Vetters 30 m. Rente für 300 m. zurückgekauft. Alveric bezeugt, das
Geld zu voller Genüge empfangen zu haben, und spricht den Rat von allen Ansprüchen auf diese Summe frei. Der Vertrag über die Rente soll sonst unverändert gültig bleiben (umme disser vorscr[even] dryttich mark rente uthlosunghe in nenerleye anderen articulen ofte puncten vormynnerd edder ghekrenket wesen). Siegelankündigung
Alverics und Gheses, der Witwe Wolder Lappes, die den Vereinbarungen zustimmt,
sowie der Zeugen, Gheverd Schulte des Älteren und des Jüngeren.90 Screven unde gheven […] na unses Heren bord in deme dusentsten veerhundertsten unde eersten jare in sunte
Michaelis daghe des hilghen ertzenghels.
86
Alverich IX. Lappe († ca. 1412).
87
Wolderich VI. Lappe († ca. 1400), verheiratet mit Geseke.
88
Alverich IX. Lappe († ca. 1412).
89
Wolderich VI. Lappe († ca. 1400), verheiratet mit Geseke.
90
Gebhard Schulte der Jüngere, Hamburger Amtmann zu Harburg.
132
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergament mit Faltung und zahlreichen Feuchtigkeitsfle-
cken, Einriss an der Seite entlang der Faltlinie, Plica mit Pergamentstreifen zur
Anbringung der Siegel, davon sind das zweite und das vierte ganz, das dritte halb
erhalten. Rückseite mit Vermerk: Lappen remiser[it] consulatus de 180 m. redditibus
30 etc. 1401.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 71. D = Copiae Archivi.
43
[vor 1402 Januar 3.] 91 o. O.
[vor 1402.01.03] — Gg 17
43
Johan de Cluver, Ritter, die van Owmunde, die van der Hude, die van Wersbe und die van dem Schonenbeke erklären Hamburg die Fehde, sofern ihre Forderungen nicht erfüllt werden
Johan de Cluver, Ritter, die van Owmunde, die van der Hude, die van Wersbe und die van
dem Schonenbeke an Bürgermeister und Rat der Stadt Hamburg: kündigen wegen
des ihnen durch Gheverd de Schulte der Jüngere92 ohne Fehdeankündigung zugefügten großen Schadens Fehde an, wenn sie keine angemessene Entschädigung erhielten. Ankündigung des Siegels des langhen Johannes van Wersbe.
Diplomatische Erörterung: Papier mit Faltung, einigen Flecken und nachgedunkelten
Stellen, Text mit Tinte umrahmt, unten rechts der Kanzleivermerk: Recepta fuit
hec littera anno domini [folgt radiert: xx] xiiijc secundo 3a die Januarii. Auf der Rückseite Reste des Verschlusssiegels und mit Bleistift die moderne Signatur Gg 17.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 17. D = Copiae Archivi.
Regest: Kausche, Regesten, 454, S. 141.
44
1402 Februar 28. o. O.
1402.02.28 — Kk 35
44
Der Rat des Weichbildes Krempe bezeugt, sich mit Hamburg bezüglich der 21 m. und 5 sol. jährlicher, an das Heilig-Geist-Spital zu Hamburg zu zahlenden Rente geeinigt zu haben
Die Ratsherren des Weichbildes Krempe (Crympen) in einem offenen Brief: teilen
mit, sich mit den Bürgermeistern und Ratsherren der Stadt Hamburg bezüglich
der 21 m. und 5 sol. jährlicher an November 11 (op zůnte Mertens dach) fälligen und
an das Heilig-Geist-Spital zu Hamburg zu zahlenden Rente geeinigt zu haben, das
Land, auf dem die Rente liege, zu bedeichen. Dafür müsse die Rente dann die drei
folgenden Jahre (drey yaren) nicht bezahlt werden nach Laut des darüber ausgestellten Briefes. Die Urkunde des Spitals behalte aber Gültigkeit. Ankündigung des
Siegels des Weichbildes. Ghegheven unde ghescreven […] na Godes bord veerteynhundert
yar darna in deme anderen yare des dynghesdaghes vor mydvasten.
91
Datum des Eingangs in Hamburg nach der Kanzleinotiz.
92
Hamburger Amtmann zu Harburg.
14 02 Februar 28. o. O.
133
Diplomatische Erörterung: Pergament mit Faltung, Plica mit einem an einem Perga-
mentstreifen befestigten, dreieckigen, relativ gut erhaltenen Siegel.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Kk 35. D = Copiae Archivi.
45
1402 Februar 28. o. O.
1402.02.28 — O 16
45
Johan und Clawes Struͦ ke, Brüder, Sachwalter der nachfolgenden Angelegenheit, und sieben weitere Personen quittieren den Empfang von 60 m. von den Dithmarschern, ausgezahlt vom Hamburger Rat
Johan und Clawes Strůke, Brüder, Sachwalter der nachfolgenden Angelegenheit, Herwich und Peter Struk, Brüder und Söhne Johan Strukes, Clawes, Maseke, Marquard und
Alverik, Brüder und Söhne Claw[es] Strukes, Claw[es] Hydde, Halbbruder Maken Strukes, der auf der Elbe von den Dithmarschern erschlagen worden sei, in einem offenen Brief: quittieren den Empfang von 60 m. (sostich mark) über die Bürgermeister und Ratsherren von Hamburg von den Dithmarschern. Übergabe durch Ludeke
Wulffhagen, Ratsherr und Hauptmann des Schlosses Ritzebüttel.93 Daher hätten Johan und Clawes, die Sachwalter, mit allen erwähnten Kindern, Erben und Vettern
und Clawes Hydde mündlich vor den zwei Kirchspielen Altenwalde (Oldenwoͤlde) und
Groden (Groͮde) zu Ritzebüttel vor dem Schloss auf alle Ansprüche in dieser Angelegenheit verzichtet und verzichteten auch schriftlich auf solche mit diesem Brief.
Ankündigung der Siegel von Eggherik Buldere und Wooldere uppeme Kleve, Schulzen
der erwähnten Kirchspiele. Gheven unde screven […] na Godes bord in deme dusentsten
veerhundertsten unde anderen jare des neghesten dynghsedages vor mydvasten.
Diplomatische Erörterung: Pergament mit Faltung und zahlreichen Feuchtigkeitsfle-
cken, aber ohne Textverlust, Plica mit zwei Pergamentstreifen zur Siegelanbringung erhalten (der eine ist restauriert), jedoch fehlen die Siegel. Auf der Rückseite Kanzleinotiz: Quittancie Clawes un[de] Hans Struken 1402.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. O 16. D = Copiae Archivi [fehlerhaft, mit
Zeilenausfall].
46
1402 94 März 7. Den Haag.
1402.03.07 — Ll 12
46
Albrecht Pfalzgraf bei Rhein, Herzog in Bayern, Graf von Hennegau, Holland und Seeland, Herr von Friesland, verlängert der Stadt Hamburg den bestehenden Waffenstillstand bis Dezember 25
Albrecht Pfalzgraf bei Rhein, Herzog in Bayern, Graf von Hennegau, Holland und
Seeland, Herr von Friesland,95 in einem offenen Brief: erklärt, dass er den mit der
Stadt Hamburg, ihren Bürgern, Untertanen und Helfern bestehenden Frieden, der
93
Ratsherr 1386–1408.
Die Datumszeile nennt das Jahr 1401, richtig wäre aber 1402, wie die Chronologie dieses Prozesses,
der über die Verweise in HUB und HR nachvollzogen werden kann, belegt.
94
95
Albrecht I. (1358/1389–1404).
13 4
Regesten der Jahre 14 00 –14 4 0
Mai 14 (tot Pynsteren naest comende) enden sollte, bis Dezember 25 (toten heiligen
kersdaghe toe dar naest volgende) verlängere. Siegelankündigung des Herzogs. Gegeven inden Haghe opten zevenden dach in Maerte int jare ons Hern dusent veer hondert ende
een na den lope van unsen hove.
Diplomatische Erörterung: Pergament mit Faltung, an einem Pergamentstreifen, der
unten aus der Urkunde geschnitten ist, ist ein stark beschädigtes Siegel erhalten. Rückseite, unterschiedlich nachgedunkelt, mit der modernen Signatur in
Bleistift: Ll 12.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ll 12. D = Copiae Archivi.
Regest: HUB, 5, 520 [mit Auszug nach anderer Überlieferung]; HR I, 5, Nr. 151 [nach A].
47
1402 März 17. o. O.
1402.03.07 — Bb 17, Q 25 (6)
47
Hauptleute und Gemeine des Kirchspiels Nordleda nehmen auf Befehl Herzog Erichs [IV.] von Sachsen[-Lauenburg] Bürgermeister und Ratsherren der Stadt Hamburg als Amtsleute des Landes Hadeln an
Hauptleute und Gemeine des Kirchspiels Nordleda (hovetlude unde meenheyt des
kerspels to Nortlede) [im Land Hadeln] bekennen, auf Befehl ihres Herren, Herzog
Erichs [IV.] von Sachsen[-Lauenburg] des Älteren (des olderen),96 die Bürgermeister
und Ratsherren der Stadt Hamburg als greven und Amtsleute des Landes Hadeln
angenommen zu haben. Sie verpflichten sich, ihnen im siebten Jahr (umme dat souende iar, wan me unser leven vruwen wede wiset) das zu zahlen sowie Gerechtigkeit und
broke zu leisten, wie man dem Herzog gegenüber verpflichtet sei. Verpflichten sich
zur Einhaltung dieser Zusagen. Ankündigung des Kirchspielsiegels. Gheven unde screven [...] na unses Heren bord in deme dusentsten veerhundertsten unde anderen jare in
sunte Ghertrudis daghe der hilghen juncvrowen.
Diplomatische Erörterung: A1 = Pergament mit Faltung, zahlreichen Feuchtigkeitsfle-
cken, Plica mit einem an einem Pergamentstreifen angehängten, gut erhaltenen Siegel. Rückseite mit dünnem Papier überklebt, auf der Rückseite des Pergamentstreifens ff. / A2 = ---. Zurzeit nicht ermittelbar, kein Digitalisat [Auskunft
des Archivs vom 20.12.2019].
Überlieferung: A1 = StAHH 710-1 I Threse I, Nr. Bb 17. A2 = StAHH 710-1 I Threse I, Nr.
Q 25 (6). D = Copiae Archivi.
96
Herzog von Sachsen-Lauenburg (1368–1411).
14 02 Mär z 17. o. O.
48
135
1402 März 17. o. O.
1402.03.17 — Ee 52
48
Hauptleute und Gemeine des Kirchspiels Neuenkirchen nehmen auf Befehl Herzog Erichs [IV.] von Sachsen[-Lauenburg] Bürgermeister und Ratsherren der Stadt Hamburg als Amtsleute des Landes Hadeln an
Hauptleute und Gemeine des Kirchspiels Neuenkirchen (hovetlude unde meenheyt
des kerspels to Nyenkerken) [im Land Hadeln] bekennen, auf Befehl ihres Herren,
Herzog Erichs [IV.] von Sachsen[-Lauenburg] des Älteren (des olderen),97 die Bürgermeister und Ratsherren der Stadt Hamburg als greven und Amtsleute des Landes
Hadeln angenommen zu haben. Sie verpflichten sich, ihnen im siebten Jahr (umme
dat souende iar, wan me unser leven vruwen wede wiset) das zu zahlen sowie Gerechtigkeit und broke zu leisten, wie man dem Herzog gegenüber verpflichtet sei. Verpflichten sich zur Einhaltung dieser Zusagen. Ankündigung des Kirchspielsiegels.
Gheven unde screven [...] na unses Heren bord in deme dusentsten veerhundertsten unde
anderen jare in sunte Ghertrudis daghe der hilghen juncvrowen.
Diplomatische Erörterung: Pergament mit zweifacher Faltung, an der Faltlinie im lin-
ken Drittel Beschädigung und geringer Textverlust, Plica mit dem Rest des Pergamentstreifens, das Siegel ist aber abgerissen und liegt lose bei. Auf der Rückseite des Pergamentstreifens gg.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ee 52. D = Copiae Archivi.
49
1402 März 17. o. O.
1402.03.17 — Q 25 (8), Q 30 (8)
49
Hauptleute und Gemeine des Kirchspiels Osterbruch nehmen auf Befehl Herzog Erichs [IV.] von Sachsen[-Lauenburg] Bürgermeister und Ratsherren der Stadt Hamburg als Amtsleute des Landes Hadeln an
Hauptleute und Gemeine des Kirchspiels Osterbruch (hovetlude unde meenheyt des
kerspels to Osterbruke) [im Land Hadeln] in einem offenen Brief: machen bekannt,
dass sie auf Befehl ihres Herren, Herzog Erichs [IV.] von Sachsen[-Lauenburg] des
Älteren (des olderen),98 Bürgermeister und Rat zu Hamburg als greven und Amtsleute
des Landes Hadeln angenommen hätten, ihnen die üblichen Abgaben (grevenschat
unde bede) zahlen und alle Pflichten wie gegenüber ihren Landesherren erfüllen
würden. Gäbe es Widerstand, würden sie die Hamburger unterstützen. Sie geloben
die Einhaltung der Zusagen, Ankündigung des Kirchspielsiegels. Gheven und screven
[…] na unses Heren bord in deme dusentsten veerhundertsten unde anderen jare in sunte
Gertrudis daghe, der hilghen juncvrowen.
97
Herzog von Sachsen-Lauenburg (1368–1411).
98
Herzog von Sachsen-Lauenburg (1368–1411).
136
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: A1 = ---. Zurzeit nicht ermittelbar, kein Digitalisat [Auskunft
des Archivs vom 20.12.2019]. / A2 = Pergament mit Faltung, Feuchtigkeitsflecken
und teilweisem Textverlust, Plica mit Einschnitt für Siegelanbringung, aber Pergamentstreifen und Siegel fehlen. Rückseite mit dickem braunem Papier überklebt, mit modernem Eintrag der Signatur Q 30 (8), Ausschnitt mit kurzem kopfstehenden Vermerk: In […tus].
Überlieferung: A1 = StAHH 710-1 I Threse I, Nr. Q 25 (8). A2 = StAHH 710-1 I Threse I,
Nr. Q 30 (8). D = Copiae Archivi.
50
1402 März 17. o. O.
1402.03.17 — Q 25 [10], Q 30 (9)
50
Hauptleute und Gemeine des Kirchspiels Süderleda nehmen auf Befehl Herzog Erichs [IV.] von Sachsen[-Lauenburg] Bürgermeister und Ratsherren der Stadt Hamburg als Amtsleute des Landes Hadeln an
Hauptleute und Gemeine des Kirchspiels Süderleda (hovetlude unde meenheyt des
kerspels to Suderlede) [im Land Hadeln] in einem offenen Brief: machen bekannt,
dass sie auf Befehl ihres Herren, Herzog Erichs [IV.] von Sachsen[-Lauenburg] des
Älteren (des olderen),99 Bürgermeister und Rat zu Hamburg als greven und Amtsleute
des Landes Hadeln angenommen hätten, ihnen die üblichen Abgaben (grevenschat
unde bede) zahlen und alle Pflichten wie gegenüber ihren Landesherren erfüllen
würden. Gäbe es Widerstand, würden sie die Hamburger unterstützen. Sie geloben die Einhaltung der Zusagen, Ankündigung des Kirchspielsiegels. Gheven unde
screven [...] na unses Heren bord in deme dusentsten veerhundertsten unde anderen jare in
sunte Ghertrudis daghe der hilghen juncvrowen.
Diplomatische Erörterung: A1 = ---. Zurzeit nicht ermittelbar, kein Digitalisat [Auskunft
des Archivs vom 20.12.2019]. / A2 = Pergament mit Faltung und Feuchtigkeitsflecken, Plica mit Einschnitt für Siegelanbringung, aber Siegel oder Reste eines
Pergamentstreifens zur Anbringung fehlen. Rückseite durch Überkleben mit Papier restauriert; neue Signatur Q 30 (9).
Überlieferung: A1 = StAHH 710-1 I Threse I, Nr. Q 25 [10]. A2 = StAHH 710-1 I Threse I,
Nr. Q 30 (9). D = Copiae Archivi.
99
Herzog von Sachsen-Lauenburg (1368–1411).
14 02 Mär z 17. o. O.
51
137
1402 März 17. o. O.
1402.03.17 — Q 25 [1] und [2]
51
Hauptleute und Gemeine des Kirchspiels Odisheim nehmen auf Befehl Herzog Erichs [IV.] von Sachsen[-Lauenburg] Bürgermeister und Ratsherren der Stadt Hamburg als Amtsleute des Landes Hadeln an
Hauptleute und Gemeine des Kirchspiels Odisheim (hovetlude unde meenheyt des kerspels to Godeshemme) in einem offenen Brief: machen bekannt, dass sie auf Geheiß
ihres Herren, Herzog Erich [IV.] von Sachsen[-Lauenburg],100 Bürgermeister und
Rat zu Hamburg als greven und Amtsleute des Landes Hadeln angenommen hätten,
ihnen im siebenten Jahr, wan me Unser Leven Vruwen wede wiset, das zu zahlen sowie
Gerechtigkeit und broke zu leisten, wie man dem Herzog gegenüber verpflichtet
sei. Gäbe es Widerstand, würden sie die Hamburger unterstützen, und sie würden
deren Bestes anstreben. Sie geloben die Einhaltung der Zusagen, Ankündigung des
Kirchspielsiegels. Gheven und screven […] na unses Heren bord in deme dusentsten veerhundertsten unde anderen jare, in sunte Ghertrudis daghe, der hilghen juncvrowen.
Diplomatische Erörterung: Pergament. – Zurzeit nicht ermittelbar, kein Digitalisat
[Auskunft des Archivs vom 20.12.2019].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 25 [1] und [2]. D = Copiae Archivi [da-
nach hier].
Erwähnung: Reincke, Territorialpolitik, S. 72, Anm. 144 (auch für die folgenden Stücke
zu Q 25).
52
52
Hauptleute und Gemeine des Kirchspiels Ihlienworth … [wie Nr. 51]
1402 März 17. o. O.
1402.03.17 — Q 25 [3]
Hauptleute und Gemeine des Kirchspiels Ihlienworth (hovetlude unde meenheyt des
kerspels to Illyghenwort) in einem offenen Brief: [wie Nr. 51]. Gheven und screven […]
na unses Heren bord in deme dusentsten veerhundertsten unde anderen jare, in sunte Ghertrudis daghe, der hilghen juncvrowen.
Diplomatische Erörterung: Pergament. – Zurzeit nicht ermittelbar, kein Digitalisat
[Auskunft des Archivs vom 20.12.2019].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 25 [3]. D = Copiae Archivi [danach hier].
100
Herzog von Sachsen-Lauenburg (1368–1411).
138
Regesten der Jahre 14 00 –14 4 0
53
53
Hauptleute und Gemeine des Kirchspiels Lüdingworth … [wie Nr. 51]
1402 März 17. o. O.
1402.03.17 — Q 25 [4] und [5]
Hauptleute und Gemeine des Kirchspiels Lüdingworth (hovetlude unde meenheyt des
kerspels to Ludinghword) in einem offenen Brief: [wie Nr. 51]. Gheven und screven […]
na unses Heren bord in deme dusentsten veerhundertsten unde anderen jare, in sunte Ghertrudis daghe, der hilghen juncvrowen.
Diplomatische Erörterung: A1 und A2 = ---. Zurzeit nicht ermittelbar, kein Digitalisat
[Auskunft des Archivs vom 20.12.2019].
Überlieferung: A1 und A2 = StAHH 710-1 I Threse I, Nr. Q 25 [4] und [5]. D = Copiae
Archivi [danach hier].
54
54
Hauptleute und Gemeine des Kirchspiels Altenbruch … [wie Nr. 51]
1402 März 17. o. O.
1402.03.17 — Q 25 [7]
Hauptleute und Gemeine des Kirchspiels Altenbruch (hovetlude unde meenheyt des
kerspels to Oldenbruke) in einem offenen Brief: [wie Nr. 51]. Gheven und screven […] na
unses Heren bord in deme dusentsten veerhundertsten unde anderen jare, in sunte Ghertrudis daghe, der hilghen juncvrowen.
Diplomatische Erörterung: Pergament. – Zurzeit nicht ermittelbar, kein Digitalisat
[Auskunft des Archivs vom 20.12.2019].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 25 [7]. D = Copiae Archivi [danach hier].
Erwähnung: Niemeyer, Landesherrschaft, S. 160.
55
55
Hauptleute und Gemeine des Kirchspiels Otterndorf … [wie Nr. 51]
1402 März 17. o. O.
1402.03.17 — Q 25 [9]
Hauptleute und Gemeine des Kirchspiels Otterndorf (hovetlude unde meenheyt des
kerspels to Oterendorpe) in einem offenen Brief: [wie Nr. 51]. Gheven und screven […] na
unses Heren bord in deme dusentsten veerhundertsten unde anderen jare, in sunte Ghertrudis daghe, der hilghen juncvrowen.
Diplomatische Erörterung: Pergament. – Zurzeit nicht ermittelbar, kein Digitalisat
[Auskunft des Archivs vom 20.12.2019].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 25 [9]. D = Copiae Archivi [danach hier].
14 02 Mär z 17. o. O.
56
56
Hauptleute und Gemeine des Kirchspiels Steinau … [wie Nr. 51]
139
1402 März 17. o. O.
1402.03.17 — Q 25 [11]
Hauptleute und Gemeine des Kirchspiels Steinau (hovetlude unde meenheyt des kerspels to Stenowe) in einem offenen Brief: [wie Nr. 51]. Gheven und screven […] na unses
Heren bord in deme dusentsten veerhundertsten unde anderen jare, in sunte Ghertrudis
daghe, der hilghen juncvrowen.
Diplomatische Erörterung: Pergament. – Zurzeit nicht ermittelbar, kein Digitalisat
[Auskunft des Archivs vom 20.12.2019].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 25 [11]. D = Copiae Archivi [danach
hier].
57
57
Hauptleute und Gemeine des Kirchspiels Wanna … [wie Nr. 51]
1402 März 17. o. O.
1402.03.17 — Q 25 [12] und [13]
Hauptleute und Gemeine des Kirchspiels Wanna (hovetlude unde meenheyt des kerspels to Wanne) in einem offenen Brief: [wie Nr. 51]. Gheven und screven […] na unses
Heren bord in deme dusentsten veerhundertsten unde anderen jare, in sunte Ghertrudis
daghe, der hilghen juncvrowen.
Diplomatische Erörterung: A1 und A2 = ---. Zurzeit nicht ermittelbar, kein Digitalisat
[Auskunft des Archivs vom 20.12.2019].
Überlieferung: A1 und A2 = StAHH 710-1 I Threse I, Nr. Q 25 [12] und [13]. D = Copiae
Archivi [danach hier].
58
1402 Mai 1. o. O.
1402.05.01 — Tt 62
58
Hinric Bergherdorp, Hamburger Bürger, bezeugt, dass Vrederic Schaak, Vikar an St. Petri Hamburg, ihm das Haus am Pferdemarkt für 4 m. jährlicher Rente übergeben habe
Hinric Bergherdorp, Hamburger Bürger, in einem offenen Brief: bezeugt, dass Vrederic Schaak, Vikar an St. Petri Hamburg, ihm das Haus am Pferdemarkt zwischen
Heyne Blawen und Everdes van Hamelen übergeben habe. Verspricht, ihm daraus
jährlich bis zu seinem Lebensende 4 m. (iiiior mark gheldes) zu geben, 2 m. an Ostern (Paschen) und 2 m. September 29 (sunte Mychaelis daghe). Dieses Geld solle
zu Lebzeiten Vrederics nicht abgelöst werden. Wenn die Renten der Priester ins
Stadtbuch geschrieben würden, würde er die 4 m. der Vikarie auch ins Stadtbuch
schreiben lassen. Hinric gelobt die Einhaltung der Abmachungen, ebenso Johan,
Sohn Hinrics. Siegelankündigung. Gheven unde schreven […] na Godes bord moccccii jar
an der hochtit sunte Philippes unde sunte Jacobus.
14 0
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergament mit Faltung und nachgedunkelten Stellen, Plica
mit zwei Schlitzen zur Siegelanbringung, jedoch nur die beiden Pergamentstreifen erhalten. Auf der teilweise erheblich nachgedunkelten Rückseite Kanzleivermerke verschiedener Epochen: Reg[ist]rata ecclesia Petri. 1402, älter: Litera Hinrici
Bergherdorp super reditus iiiior marcarum, jüngerer Nachtrag: 4 m. in der stadt buch
geschrieben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Tt 62. D = Copiae Archivi.
59
1402 Mai 4. o. O.
1402.05.04 — Nn 103, Ss 89 (3)
59
Otto [I.], Graf von Holstein-Pinneberg, und sein Sohn Adolf [IX.(X.)], bekennen, Propst, Dekan und Domkapitel zu Hamburg zur Ausstattung zweier Vikarien 13 m. Rente aus Rellingen verkauft zu haben
Otto101, Graf von Holstein, Stormarn und Schauenburg, und sein Sohn Alff102, bekennen für sich und ihre Erben, dass sie für 130 m. Hamburger Pfennige, die ihnen zur
Genüge ausgezahlt worden seien, dem Propst, Dekan und Domkapitel zu Hamburg
zur Ausstattung zweier Vikarien, die der verstorbene Johan Wyghe im Hamburger
Mariendom gestiftet habe, 13 m. jährlicher Rente, zu zahlen jeweils November 11
(sente Mertens daghe) ohne Verzug, verkauft hätten, aus den ersten anfallenden Abgaben aus ihrem Dorf Herslo im Kirchspiel Rellingen. Der Graf und sein Sohn behalten sich den Rückkauf vor, der jeweils in Hamburg an November 11 für 130 m.
Hamburger Pfennige erfolgen könne und zuvor Juni 17–24 (binnen den achtedagen
to sente Johannis daghe to middenzomere) angekündigt werden solle. Siegelankündigung der Aussteller. Datum anno domini mocccco secundo in festo ascensionis domini.
Diplomatische Erörterung: A: Original, Deperditum, zurzeit nicht ermittelbar [Aus-
kunft des Archivs vom 25.10.2019]. / C: Abschrift des 17. Jh. auf Papier in einem
Heft von 6 Bll., davon fol. 1r–4r beschrieben, die Urkunde auf fol. 2r–3r. Auf fol. 6v
(kopfstehend) der Vermerk: Briefe in copia der herrn greuenn von Schaumburg dero
memorien angehend sub No. 99, auf fol. 1v eine Signatur und ein blasser moderner
Stempel mit kyrillischen Buchstaben. Zusammen mit Ss 89 (2) und (4). – Unter
der Kopie die Notiz über den rückseitigen Vermerk: Litera super [Vorlage: sid?]
13 m. in Herslo et spectat peccunia ad vicariam altaris Sancti Feliciani in summo. – Die
Kopie ist beglaubigt durch Johann Hesterberch, Notar kaiserlicher Autorität, zu Ss
89 (4) auch als Sekretär des Domkapitels.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Nn 103. C = StAHH 710-1 I Threse I, Nr.
Ss 89 (3). D = Copiae Archivi.
101
Otto I., Graf von Holstein(-Pinneberg) und Schauenburg (1366–1404).
102
Adolf IX. (X.), Graf von Holstein(-Pinneberg) und Schauenburg (1404–1426).
14 02 Mai 13. Rom.
60
141
1402 Mai 13. Rom.
1402.05.13 — In Xx 58
60
Bonifaz IX. beauftragt den Abt des Klosters St. Peter und Paul zu Paderborn, Fridericus Deys, Scholaster des Doms zu Hamburg, bei der Abschaffung irregulärer Schulen in privaten Häusern Hamburgs zu unterstützen
Bonifaz IX.103 an den Abt des Klosters St. Peter und Paul zu Paderborn:104 Fridericus
Deys,105 Scholaster des Doms zu Hamburg, habe ihm geklagt, dass, obwohl es von
alters her in Hamburg zwei Schulen gäbe, die für die Ausbildung aller Scholaren
ausreichten, so dass die scholastria des Doms gut aus den Einkünften der Schulen
finanziert und geeignete Magister bestellt werden könnten, seien in jüngster Zeit
(modernis temporibus) in privaten Häusern irreguläre Schulen eingerichtet worden,
die die Knaben von den genannten Schulen abzögen, zu deren großem Schaden.
Wegen der Bitte des Fridericus, Abhilfe zu schaffen, beauftrage er den Abt, diejenigen vorzuladen, die ihm Fridericus oder seine Nachfolger benennen würden und
die die irregulären Schulen zum Nachteil des Scholasters unterhielten. Wenn sie
sich weigerten, müsste eventuell auch der weltliche Arm eingeschaltet werden.
Datum Rome apud Sanctum Petrum tercio ydus Maii pontificatus nostri anno tercio decimo.
Diplomatische Erörterung: B ist inseriert in Schreiben des Arnoldus, vicarius in spirituali-
bus des Verdener Bischofs Bartold,106 an den Klerus der norddeutschen Bistümer,
von 1472 September 7, ergangen auf Bitten des Hermannus Duker, Scholaster des
Doms zu Hamburg.107 Große Pergamenturkunde, mehrfach gefaltet, mit Schäden (und einigen Textverlusten) entlang der Faltlinien, Feuchtigkeitsflecken
und ausgeblichenen Stellen. Notariatsinstrument des Conradus [Louwentorp]
alias Vechtelde, Kleriker der Mindener Diözese, Notar kaiserlicher Autorität, mit
seinem Notariatszeichen, Einschnitt für ein Siegel oberhalb einer kleinen Plica.
Rückseite mit Kanzleivermerken unten: Processus declaratorius in causa scholastria
Hamburgen[sis], ergänzt: cum insertio privilegii Bonifacii noni de non erigendi novis
[scolis] et insolitis. Neuere Ergänzung: Scholasterey belangende. 1472. + N. 35; dazu
quer ausgeblichener, schwer lesbarer weiterer Vermerk.
Überlieferung: B = StAHH 710-1 I Threse I, Nr. Xx 58.
Edition: Meyer, Geschichte, XXVI, S. 230–243 (die Urkunde von 1472 September 7),
hier S. 231–232.
103
Papst 1389–1404.
104
Konrad (II.) von Allenhusen, 1362–1405.
105
Nur hier belegt.
106
Berthold von Landsberg, 1470–1502.
107
1472–1480.
142
61
Regesten der Jahre 14 00 –14 4 0
1402 September 5. o. O.
1402.09.05 — O 35
61
Vögte, Kirchspielsvorsteher, geschworene Räte und Gemeine des Landes Dithmarschen bezeugen den Abschluss eines Friedens mit den [Grafen] von Holstein
Vögte, Kirchspielsvorsteher,108 geschworene Räte und Gemeine des Landes Dithmarschen (voghede, slutere, sworn radghevere und meynheit des landes tho Dytmersschen) in einem offenen Brief: bezeugen den Abschluss eines Friedens mit den [Grafen] (edelen heren) von Holstein, Stormarn und Schauenburg109 und ihren Rittern,
Knechten und allen Untertanen für den Zeitraum vom kommenden unser leven vrowen daghe (1402 September 8) bis sondaghe na des hilghen cruces daghe (1403 Mai 6).
Ankündigung des (aufgedrückten) Siegels des Landes Dithmarschen. Ghegheven […]
na Godes bort verteynhundert jar an deme anderen jare des dinxdages vor unser leven vrowen daghe erer bord.
Diplomatische Erörterung: Kleines, in der oberen Hälfte beschriebenes Papier, mit mo-
dernen Bleistift-Notizen Ditmar[si] und 1402 am oberen Rand. Auf der Rückseite
geringe Reste eines großen Verschlusssiegels und weitere moderne Archivnotiz
in Bleistift.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. O 35. D = Copiae Archivi.
62
1402 Oktober 7. o. O.
1402.10.07 — Q 72
62
Alveric Lappe, Knappe, und Ghese, Witwe des Wolder Lappe, quittieren Hamburg den Empfang von 150 m. Rente
Alveric Lappe, Knappe,110 und Ghese, Witwe des Wolder Lappe,111 quittieren den Bürgermeistern und Ratsherren der Stadt Hamburg den Empfang von 150 m. (in hundert unde veftich mark penninghen) Rente mit Fälligkeitstermin am kommenden
September 29 (up sunte Michaelis dach). Ankündigung der Siegel von Alveric und
Wolder Lappe. Screven unde gheven […] na unses Heren bord in deme dusentsten veerhundertsten unde anderen jare in sunte Marcus daghe des hilghen bichtighers unde paweses.
Diplomatische Erörterung: Längliches Pergament mit Faltung und etlichen Feuchtig-
keitsflecken, Plica mit zwei Einschnitten zur Siegelbefestigung, ein leicht beschädigtes, an einem Pergamentstreifen befestigtes Siegel erhalten, das zweite fehlt;
nur noch geringe Reste eines Pergamentstreifens sind hier erhalten. Rückseite
mit Kanzleivermerk: Lappe 1402.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 72. D = Copiae Archivi.
Slutere unde sworene meint obrigkeitliche Autoritäten, aber insbesondere den Kirchspielsvorstand, vgl. Schiller-Lübben, IV, S. 254.
108
Gerhard VI. (1384–1404), Albrecht II. (1385–1403) und Heinrich III. (1388–1421) 1402–1410 erwählter
Bischof von Osnabrück.
109
110
Alverich IX. Lappe († ca. 1412).
111
Wolderich VI. Lappe († ca. 1400), verheiratet mit Geseke.
14 02 Novemb er 1. Hamburg.
63
143
1402 November 1. Hamburg.
1402.11.01 — Tt 14
63
Wernerus, Dekan, und das Domkapitel zu Hamburg bestätigen die Vermehrung der Einkünfte der Vikarie am Altar des Apostels Thomas und des hl. Ägidius in St. Petri mit 15 m. Renten durch Thomas Ove, Hamburger Bürger
Wernerus, Dekan,112 und das Domkapitel zu Hamburg in einem offenen Brief: machen bekannt, dass vor ihnen Thomas Ove, Hamburger Bürger, erschienen sei, bewegt davon, dass die Einkünfte der einst von Elerus Nanne für sein Seelenheil und
das seiner Vorfahren ausgestattete Vikarie am Altar SS. Thome Apostoli et Egidii
in der Petrikirche, über die eine Urkunde vorliege, durch die Sturmflut zum größeren Teil verloren seien, so dass der Vikar nicht mehr daraus versorgt werden
könne. Er stifte daher zum Seelenheil seiner verstorbenen Brüder, des Vikars Nicolaus und des Hamburger Ratsherrn Marquard,113 mit Zustimmung seiner Erben und
Verwandten 15 m. an Renten, von denen 14 m. jährlich aus der Kämmerei des Rates
zu Hamburg, 1 m. durch Thomas selbst an die Vikarie zu zahlen seien. Dekan und
Domkapitel nehmen die Renten auf Bitten von Thomas unter kirchlichen Schutz
und verbinden sie mit der Vikarie. Zudem gewähren sie Johannes Nanne, Bürger zu
Hamburg,114 auf dessen Bitte ein erweitertes Präsentationsrecht von 120 Jahren,
das für Thomas, Johannes und ihre Erben gelte, danach falle es an Dekan und Domkapitel zurück. Der Vikar solle am Jahrestag und für die memoria des Domherrn
Nicolaus [Ove] jährlich 2 m. von seinen Einkünften zahlen. Siegelankündigung des
Domkapitels. Johannes Nyendorp, Kanoniker der Hamburger Kirche, Johannes Nanne und Thomas Ove versprechen die Einhaltung der Zusagen und hängen ebenfalls
ihre Siegel an. Datum Hamborg anno domini millesimo quadringentesimo secundo ipso
die omnium sanctorum.
Diplomatische Erörterung: Pergament mit Faltung und einigen nachgedunkelten Stel-
len, Plica mit vier an Pergamentstreifen angehängten Siegeln, einem großen und
drei kleineren, relativ gut erhalten. Auf der Rückseite unten links zeitgenössischer Kanzleivermerk: Sancti Petri Hamburgensis augmentatio vicarie altaris St. Thome. R[egistra]ta folio ixo. In der Mitte jüngere Notizen, durch Stockflecken schwer
lesbar: Super [augmentacione redditibus et …] vicaria altaris Sancti Thome apostoli in
ecclesia Sancti Petri. Rechts unten quer, jünger: Augmentacio Vic[ariae] Sancti Thomae in ecclesia Petri, darunter älter, teilweise überschrieben und daher schlecht
lesbar: Hamburgensis [ecclesia S. Petri] fundacio vicarie [S. Thome …] die Sabbati 13
mensis Novembris. [… per compulsum produxit]. Dazu: 1402. N. [Bolstensen notarius],
R[egistrata], und: 14 m. de camera consulum Hamburg[ensium], 1 m. per Thomas Ove.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Tt 14.
112
Werner Militis, Dekan 1379–1415, danach (bis) 1426 als Propst belegt, Bruder des Kersten Miles.
113
Marquard Ove, Ratsherr 1377–1386.
114
Wohl der gleichnamige Ratsherr, 1380–1417.
14 4
Regesten der Jahre 14 00 –14 4 0
Regest: Kausche, Regesten, 457, S. 142 (mit ergänzenden Hinweisen).
Erwähnung: Vollmers, Pfarreien, S. 455.
64
1402 Dezember 8. Paderborn.
1402.12.08 — in Xx 58
64
Conradus, Abt des Klosters St. Peter und Paul zu Paderborn, an den Erzbischof von Bremen und die geistlichen und weltlichen Instanzen der Bistümer Verden, Ratzeburg, Lübeck und Schwerin: befiehlt auf Anweisung Papst Bonifaz IX. zugunsten des Magisters Fridericus Deys die Einstellung des Unterrichts an den irregulären Schulen in Hamburg
Conradus, Abt des Klosters St. Peter und Paul zu Paderborn,115 in päpstlichem
Auftrag an alle Christgläubigen, besonders aber den Erzbischof von Bremen, die
Bischöfe von Verden, Ratzeburg, Lübeck und Schwerin, die Herzöge von Braunschweig, den gesamten Klerus, an Grafen, Adlige und Ritter, Vögte und Burggrafen, an Bürgermeister, Ratsherren und Einwohner der Stadt Hamburg sowie alle
Betroffenen: er habe eine authentische, mit dem päpstlichen Siegel besiegelte
Urkunde Bonifaz’ IX.116 erhalten, die für Fridericus Deys, Scholaster des Doms zu
Hamburg,117 ergangen sei, die er im Wortlaut inseriere und zu deren Umsetzung
er verpflichtet sei. Daher ermahne und befehle er in virtute sancte obedientie und
unter angeführten Strafen allen, die über die zwei Schulen in Hamburg hinaus
irreguläre Schulen betrieben oder unterstützten, innerhalb von sechs Tage nach
Bekanntgabe den Unterricht an diesen Schulen einzustellen, die die Schulen des
Magisters Fridericus Deys und seiner Nachfolger schädigten. Wenn dies nicht geschehe, sollten der Erzbischof und die genannten Bischöfe gegen die contradictores
et rebelles vorgehen, auch mit Hilfe des weltlichen Arms. Datum et actum Padeburne
in ecclesia Padeburnien[sis] sub anno a nativitate domini millesimo quadringentesimo secondo indictione decima die octava mensis Decembris pontificatus domini nostri domini
Bonifacii pape noni predicti anno quartodecimo. Zeugen: Bruno Grunoldus, Kanoniker an
der Kirche St. Petri und St. Andreae zu Paderborn, und Hermann Lippeman, Inhaber
einer Pfründe (beneficiatus) ebenda, sowie Hinricus Cals, Kleriker der Paderborner
Diözese, Notar päpstlicher und kaiserlicher Autorität.
Diplomatische Erörterung: B ist inseriert in Schreiben des Arnoldus, vicarius in spiritu-
alibus des Verdener Bischofs Bartold,118 an den Klerus der norddeutschen Bistümer, von 1472 September 7, ergangen auf Bitten des Hermannus Duker, Scholaster des Doms zu Hamburg.119 Große Pergamenturkunde, mehrfach gefaltet, mit
Schäden (und einigen Textverlusten) entlang der Faltlinien, Feuchtigkeitsfle-
115
Konrad (II.) von Allenhusen, 1362–1405.
116
Papst 1389–1404.
117
Nur hier belegt.
118
Berthold von Landsberg, 1470–1502.
119
1472–1480.
[um 14 03]. o. O.
145
cken und ausgeblichenen Stellen. Notariatsinstrument des Conradus [Louwentorp]
alias Vechtelde, Kleriker der Mindener Diözese, Notar kaiserlicher Autorität, mit
seinem Notariatszeichen, Einschnitt für ein Siegel oberhalb einer kleinen Plica.
Rückseite mit Kanzleivermerken unten: Processus declaratorius in causa scholastria Hamburgen[sis], ergänzt: cum insertio privilegii Bonifacii noni de non erigendi novis
[scolis] et insolitis. Neuere Ergänzung: Scholasterey belangende. 1472. + N. 35; dazu quer
ausgeblichener, schwer lesbarer weiterer Vermerk.
Überlieferung: B = StAHH 710-1 I Threse I, Nr. Xx 58.
Edition: Meyer, Geschichte, XXVI, S. 230–243 (die Urkunde von 1472 September 7),
hier S. 232–239.
65
[um 1403]. 120 o. O.
[um 1403] — Gg 11
65
Otto [II.], Erzbischof von Bremen, an Hamburg: teilt mit, dass ihn Ernst Buͤ ck ungemahnt geschädigt habe und dass er gegen ihn vorgehen wolle, ohne vom Rat gemahnt zu werden
Otto (II.), Erzbischof von Bremen,121 an die Bürgermeister und den Rat der Stadt
Hamburg: informiert sie, dass ihn her Ernst Buͤ ck ungemahnt geschädigt und beraubt habe und sich weigere, ihm Genugtuung zu leisten. Werde gegen ihn mit seinen besetenen man vorgehen und wolle von Bürgermeister und Rat nicht gemahnt
werden, wenn ihnen Schäden entstünden. Sie sollten seine Ehre wahren. Ankündigung des Sekretsiegels.
Diplomatische Erörterung: Papier mit Faltung, auf der Rückseite gut erhaltenes Ver-
schlusssiegel und moderne Signatur mit Bleistift: Gg 11.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 11.
Regest: Kausche, Regesten, 459, S. 143; Lehe, Fehden, S. 162.
66
[1403–1408]. 122 o. O.
[1403–1408] — Ff 1 a
66
Arnd Wessendorp an Hamburg: erklärt die Ankündigung der Fehde, wenn sie ihm für seinen Dieb und seine gestohlene Habe nicht Ersatz leisteten und das Unrecht, das Tymme und Bruneke von Kaden geschehen sei, nicht ausglichen
Arnd Wessendorp an die Bürgermeister und Ratsherren der Stadt Hamburg: sie würden ihm seinen Dieb und seine gestohlene Habe (mynen def und myne stolen have)
vorenthalten, mit Gewalt und mit Unrecht, ohne dass er dies in irgendeiner Weise
verschuldet habe. Hätten sie Forderungen an ihn, wolle er sie ausgleichen, wie es
120
Datierung nach Kausche; von Lehe nennt 1395–1406.
121
Otto (II.) von Braunschweig-Lüneburg, 1395–1406.
Datierung nach der Erwähnung von Herzogin Elisabeth von Schleswig, damit wohl nach 1403, und
vor dem Ende der Fehde 1408 Februar 25; zur Fehde vgl. Lehe, Fehden, S. 149.
122
14 6
Regesten der Jahre 14 00 –14 4 0
seinem Herrn123 und seinen Mannen oder der Herrin von Schleswig (myner vrowen van Sleswik)124 und ihren Mannen rechtmäßig erschiene, wie er verpflichtet
sei. Würden sie aber ihm für seinen Dieb und seine gestohlene Habe keinen Ersatz
leisten, wolle er ihnen die Fehde erklären. Auch wegen der Brüder Tymme und Bruneke van Koden125 wolle er ihnen die Fehde erklären, wegen des Unrechts, das ihnen
geschehen sei, als er Verteidiger ihrer Rechte war. Siegelankündigung des Ausstellers. Schreven under minem ynghezeghel.
Diplomatische Erörterung: Papier mit Faltung, links am Rand leichte Einrisse, Vorder-
seite mit geringen Spuren eines Verschlusssiegels und der modernen Signatur in
Bleistift rechts unten: Ff 1 a. Auf der etwas verschmutzten Rückseite Archivnotiz
(1).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 1 a. D = Copiae Archivi.
Regest: Lehe, Fehden, S. 163 (liest Luessendorp).
67
[1403–1408]. 126 o. O.
[1403–1408] — Ff 1 b
67
Jasper Stubbestorp, Peter Smalstede und acht andere erklären Hamburg wegen der von Kaden die Fehde
Jasper Stubbestorp, Peter Smalstede, Henke Nunnewe, Mattes Haret127, Tuke Vorstal, Nonnemer van Koldynch, Peter Auyelboe, Clawes van Alsen, Peter Tuke, Truwes van Tunnern
an die Bürgermeister und den Rat der Stadt Hamburg: kündigen Fehde wegen der
Angelegenheit von Tymme und Brunneken van Koden128 an. Ankündigung des Siegels
von Jasper Stubbestorpe.
Diplomatische Erörterung: Kleines Papier, auf der Vorderseite letzte Reste eines aufge-
drückten Siegels, am unteren Rand mit zahlreichen kurzen Einschnitten (wohl
kassiert) und rechts unten mit Bleistift die moderne Signatur Ff 1 b. Auf der Rückseite Archivnotiz: (2).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 1 b. D = Copiae Archivi.
Regest: Lehe, Fehden, S. 163 (liest Henke Runnowe, Tuke Borstal, Tonwes von Tunnern).
Vielleicht Heinrich (III.), erwählter Bischof von Osnabrück, Graf von Holstein, Stormarn und Schauenburg.
123
124
Wohl Herzogin Elisabeth von Schleswig, Witwe Gerhards VI., seit 1404 Regentin für den minderjährigen Heinrich IV.
125
Herren auf dem Gut Kaden, Alveslohe, Kreis Segeberg.
Datierung nach der Erwähnung von Herzogin Elisabeth von Schleswig in Nr. 66, damit wohl nach
1403, und dem Ende der Fehde 1408 Februar 25, s. oben Anm. 104.
126
127
Hier e über r stehend.
128
Herren auf dem Gut Kaden, Alveslohe, Kreis Segeberg.
[14 03 –14 08]. o. O.
68
68
Clawes Kid erklärt Hamburg wegen der von Kaden die Fehde
147
[1403–1408]. 129 o. O.
[1403–1408] — Ff 1 c
Clawes Kid an die Bürgermeister und Ratsherren von Hamburg: erklärt wegen Tymen und Brunyken van Koden (Kaden)130 der Stadt die Fehde, um seine Ehre zu wahren. Ankündigung des Siegels von Brunneken van Koden.
Diplomatische Erörterung: Papier mit Faltung, auf der Vorderseite kleine Reste eines
Verschlusssiegels, acht lange Einschnitte in baumartiger Verzweigung am unteren Rand (wohl kassiert) und rechts unten mit Bleistift die moderne Signatur Ff
1 c. Auf der Rückseite Archivnotiz: (3). Beiliegend moderner archivalischer Umschlag mit Aufschrift: Ff 1 / c. 1403–1408 / vor 1408 / o. J. u. Tag / Fehdebrief des Clawes
Kid und C.A.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 1 c. D = Copiae Archivi.
Regest: Lehe, Fehden, S. 163.
69
[1403–1408]. 131 o. O.
[1403–1408] — Ff 1 d
69
Clawes dor dem Busk kündigt Hamburg die Fehde an, wenn sie ihrer Verpflichtung gegenüber den von Kaden nicht nachkommen
Clawes dor dem Busk an Bürgermeister und Rat der Stadt Hamburg: kündigt Fehde
wegen der Angelegenheit der van Koden132 an, solange sie ihrer Verpflichtung gegenüber ihm nicht nachkommen. Ankündigung des Siegels von Bruneken […] van
Koden.
Diplomatische Erörterung: kleines Papier, auf der Vorderseite letzte Reste eines aufge-
drückten Siegels, mit zahlreichen langen Einschnitten am unteren Rand (wohl
kassiert) und moderner Signatur mit Bleistift Ff 1 d. Auf der Rückseite Archivnotiz: (4).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 1 d. D = Copiae Archivi.
Regest: Lehe, Fehden, S. 163.
129
Datierung wie in Nr. 67.
130
Herren auf dem Gut Kaden, Alveslohe, Kreis Segeberg.
131
Datierung wie in Nr. 67.
132
Herren auf dem Gut Kaden, Alveslohe, Kreis Segeberg.
14 8
70
Regesten der Jahre 14 00 –14 4 0
[1403–1408]. 133 o. O.
[1403–1408] — Ff 1 e
70
Clawes Kid an Lemmeke Mildehovet, Vogt von Hamburg, Hartych Stake, Raven Hobsenberch sowie Zuper und Henneke Hacke: Fehdebrief wegen der Angelegenheit von Tyme und Brunneke von Kaden
Clawes Kid an Lemmeke Mildehovet, Vogt von Hamburg, Hartych Stake, Raven Hobsenberch sowie Zuper und Henneke Hacke: Fehdebrief wegen der Angelegenheit von
Tyme und Brunneke van Koden.134 Ankündigung des Siegels von Brunyken van Koden.
Diplomatische Erörterung: Papier mit Faltung, auf der Vorderseite Spuren eines Ver-
schlusssiegels, sieben Einschnitte in baumartiger Verzweigung von unten (wohl
kassiert), dazu rechts unten mit Bleistift die moderne Signatur Ff 1 e. Auf der
Rückseite Kanzleinotiz: (5).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 1 e.
Regest: Lehe, Fehden, S. 163.
71
1403 Februar 12. Hamburg.
1403.02.12 — Ss 23
71
Wernerus, Dekan, und das Hamburger Domkapitel bestätigen die Einigung zwischen Nicolaus Grube, Vikar am Dom, und Wernerus Gherbode, Vikar an St. Nicolai, über die Vereinigung zweier Gärten
Wernerus, Dekan,135 und das Hamburger Domkapitel bestätigen, dass vor ihnen im
Kapitel erschienen seien Nicolaus Grube, Inhaber der Pfründe an der Kapelle St. Cecilie im Umgang des Domes, und Wernerus Gherbode, Inhaber der Pfründe am Altar
der hl. 11 000 Jungfrauen an St. Nicolai.136 Dabei habe Nicolaus erklärt, dass ein zu
seiner Vikarie gehörender Garten nicht für die Bewirtschaftung erreichbar sei, nur
über den benachbarten Garten, der zur Vikarie des Wernerus gehöre. Wegen der
daraus entstehenden Nachteile hätten Nicolaus und Wernerus gebeten, die beiden
Gärten zu vereinen. Dekan und Kapitel kommen dieser Bitte nach und vereinen das
Grundstück, das Wernerus von der Vikarie an St. Nicolai halte und das am öffentlichen Weg zum Melkenberg (wohl Milchberg) liege, mit dem daneben liegenden
Grundstück des Nicolaus. Dieser und seine Nachfolger sollten dafür jährlich 3 m.
von ihren Renten zahlen. Zum Beweis sei durch den Notar Johannes Sassen ein Notariatsinstrument angefertigt worden. Siegelankündigung des Domkapitels. Zeugen:
Nicolaus Schowenborg, Vikar, Theodoricus Herdegessen, Kämmerer der Hamburger
Kirche. Datum et actum in armario ecclesie nostre Hamburgen[sis], anno domini mocccco
tercio, indictione XI, mensis Februarii die XII, hora terciarum vel quasi pontificatus sanctissimi in Christo patris ac domini nostri domini Bonifacii diuina providencia pape none
anno xiiij.
133
Datierung wie in Nr. 67.
134
Herren auf dem Gut Kaden, Alveslohe, Kreis Segeberg.
135
Werner Militis, Dekan 1379–1415, danach (bis) 1426 als Propst belegt, Bruder des Kersten Miles.
136
Johannes Werneri alias dictus Gerbode, als Domherr und Kantor belegt 1404–1436.
14 03 April 23. o. O.
149
Diplomatische Erörterung: Pergament mit Faltung, Plica mit geringem Rest des Siegels
an Pergamentstreifen; Notariatsinstrument des Johannes Sassen, Kleriker der
Schweriner Diözese, kaiserlicher Notar, mit seinem Notariatszeichen. Rückseite
unten in der Mitte Kanzleivermerk: Super [tres] m. redditibus spectante ad vicariam
domini Werneri Gherboden in ecclesia Sancti Nicolai Hamb[urgensis] que debet dari de
singul[is] redditibus vicarie domini N[icolai] Gruben in capella Sancte Cecilie in ambitu
ecclesie Beate Marie Hamburg[ensis] per ipsum et successores suos. Dazu: 1403.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ss 23. D = Copiae Archivi.
72
1403 April 23. o. O.
1403.04.23 — Pp 66
72
Johan Grabow und Johan van der Molen der Jüngere, Lüneburger Ratsherren, bezeugen, dass Johan Heynen, ihr Bürger, der St. Johanniskirche zu Lüneburg zum Bau 24 sol. lüneb. Rente überlassen habe
Johan Grabow und Johan van der Molen der Jüngere, Lüneburger Ratsherren, in einem
offenen Brief: bezeugen, dass Johan Heynen, ihr Bürger, für seine und seiner Frau
Grete Seele der St. Johanniskirche zu Lüneburg zum Bau 24 (veruntwintich) sol. lüneb. jährlicher Rente aus seinem Haus und Hof in der Schrangenstrate zwischen
den Häusern von Meynen van Elstere und Johans wedewen van der Brugge, wo Johan
Heynen nun wohne, überlassen habe. Von der Rente solle den beiden Paulinermönchen, die aus Hamburg vom Predigerorden kommen (den twen Pewelern heren van
Hamb[or]g van der Predyker orden) und nun an der genannten Kirche sind, auf ewig
Wein und Oblaten für die Lesung aus der Paramentenkammer (ut der Gherwekamere)137 der Kirche gegeben werden. Siegelankündigung der beiden Ratsherren.
Gheven na Godes bord verteynhundert jar darna in dem drydden jare an sunte Georgii des
hilligen mertelers daghe.
Diplomatische Erörterung: Pergament mit Faltung, Plica mit zwei Pergamentstreifen
zur Siegelanbringung; jedoch nur das zweite Siegel, das Johans van der Molen
(in Rot), ist erhalten. Rückseite mit drei Kanzleinotizen im unteren Bereich der
Urkunde, die älteste: Quod structuram ecclesie sancti Johannis in Luneborch tenetur
fratribus terminariis [ibidem] providere de vino et pane sacrificii, wird unten von anderer Hand wiederholt. Dazwischen: [Jarlikes] 1½ m. to Luneborg.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Pp 66. D = Copiae Archivi.
137
Gerwe, gherwe, garwe bezeichnet insbesondere priesterliche Kleidung, Schiller-Lübben, II, S. 74.
150
73
Regesten der Jahre 14 00 –14 4 0
[1403] Mai 2. Reinfeld.
1403.05.02 — Ff 1 f
73
Heinrich, Graf von Holstein, an die Stadt Hamburg: bestätigt Eingang ihres Briefes wegen der von Kaden
Heinrich, erwählter Bischof von Osnabrück, Graf von Holstein, Stormarn und
Schauenburg,138 an die Bürgermeister und Ratsherren der Stadt Hamburg: bestätigt Eingang ihres Briefes wegen der van Koden.139 Teilt mit, mit diesen daher gesprochen und einen Frieden bis Pfingsten (1403 Juni 3, Pinxsten) erreicht zu haben.
Reynevelde in profesto inventionis sancte crucis.
Diplomatische Erörterung: Papier mit abgeschnittenem Streifen links und der moder-
nen Signatur Ff 1 f mit Bleistift unten rechts. Auf der Rückseite Adresse Den erliken
borghermesteren unde ratman[nen] unser stad Hamburg kome unse breff[e] und Reste
eines roten Verschlusssiegels.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 1 f. D = Copiae Archivi.
Erwähnung: Lehe, Fehden, S. 163.
74
[1403 Juni 10]. Segeberg.
1403.06.10 — Ff 1 g
74
Heinrich, Graf von Holstein, an Hamburg: Waffenruhe mit den von Kaden bis Juni 24
Heinrich, erwählter Bischof von Osnabrück, Graf von Holstein, Stormarn und
Schauenburg,140 an Bürgermeister und Rat von Hamburg: sie hätten ihm mitgeteilt, dass sie mit denen von Kaden (Koden)141 gerne eine Waffenruhe bis Juni 24
(Johannes Baptista) halten würden. Diese solle auch ihre Unterstützer einschließen,
ebenso jene der Kaden, die in dieser Zeit ungeschädigt handeln könnten (velich wesen uppe de tid vorghescr[even]), wie die Urkunde zu den Vereinbarungen ausweise.
Siegelankündigung Heinrichs. Scriptum Segheberg[e] die [Trinitatis].
Diplomatische Erörterung: Papier mit abgeschnittenem Streifen links und der moder-
nen Signatur in Bleistift rechts unten: Ff 1 g, Briefüberschrift: Hinricus Dei gratia
electus Osnab[rugensis], Hol[satie], Storm[arie] et in Schow[enburg] comes. Rückseite mit größeren Teilen des briefschließenden Siegels und Adresse: Den ersamen
beschedenen borghermesteren unde ratmannen unser staed Hamburg unsen ghuden
vrunden d[etur]. Beiliegend kleiner Zettel mit Siegelabdruck und Notiz willeghen.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 1 g.
Erwähnung: Lehe, Fehden, S. 163.
138
Heinrich III. (1388–1421), 1402–1410 erwählter Bischof von Osnabrück.
139
Herren auf dem Gut Kaden, Alveslohe, Kreis Segeberg.
140
Heinrich III. (1388–1421), 1402–1410 erwählter Bischof von Osnabrück.
141
Herren auf dem Gut Kaden, Alveslohe, Kreis Segeberg.
[14 03 vor Juni 24]. o. O.
75
15 1
[1403 vor Juni 24]. 142 o. O.
[vor 1403.06.24] — Gg 18 [1]
75
Rechnungszettel [der für die Schuldentilgung zuständigen Lüneburger Amtsleute] über Einnahmen und Ausgaben aus den Abgaben [der Rentner der Lüneburger Saline]
Rechnungszettel [der für die Schuldentilgung zuständigen Lüneburger Amtsleute]143 über Einnahmen und Ausgaben. Vor Weihnachten [1402] seien aus 7 vloden144
4200 m. eingenommen worden, von denen 3000 m., wie bekannt, abgingen. Die
Hälfte vom Rest (van dem overlope) liege bei Hermen Darsowen.145 Bis Juni 24 rechne
man mit Einnahmen von 8000 m. aus der vorbate146 und den vloden. Davon gingen
2000 m. an die Herren [die Herzöge von Braunschweig-Lüneburg], 200 m. an Ghevert Schulte147 und rund 150 m. für Baugeld an hern Ortgises vrouwe.148 Die Hälfte vom
Rest (van dem overlope) und die Hälfte vom bis dahin angefallenen Schoss werde
Juni 24 an Herrn Hermen geschickt.
Diplomatische Erörterung: Papier, quadratischer Zettel mit Faltung, Rückseite mit mo-
derner Signatur in Bleistift Gg 18.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 18 [1]. D = Copiae Archivi.
Regest: Kausche, Regesten, 464, S. 145.
Erwähnung: Reincke, Territorialpolitik, S. 57, Anm. 91.
142
Datum nach den Angaben des Zettels.
Die Herzöge von Braunschweig-Lüneburg hatten Lüneburg 1397 zugesagt, von den Rentnern
der Lüneburger Saline Zahlungen für die Tilgung der Schulden einzufordern, Kausche, Regesten,
426, S. 128–129; 1397 Juli 29 wurde eine entsprechende Beihilfe auf elf Jahre vereinbart, ebd., 428,
S. 129–130, gebunden an Schosszahlungen der Lüneburger Bürger.
143
Vlote (Flute) meint einen Zeitraum der Salzproduktion von 26 Tagen; das Jahr von 364 Tagen (ohne
Weihnachten) war in 13 Fluten eingeteilt. Der Rest von 22 Tagen, die boninge, bildete den Rest des
Jahres und war frei von Rentenzahlungen, C. G. Mittendorf, Der lüneburgische Prälatenkrieg, in:
Vaterländisches Archiv des historischen Vereins für Niedersachsen (1843), S. 144–213, hier S. 158–159,
Anm.
144
Wahrscheinlich der Lübecker Ratsherr Hermann Darsow, zuletzt belegt 1404 Januar 26, UB Stadt
Lübeck, V, 92.
145
Die vorbate ist die Vormiete, die von den Sulfmeistern jährlich von den Pfannen an die Pfannenherren gezahlt werden musste; sie lag im 17. Jahrhundert bei 85 m., wurde aber 1451 auf 100 m. geschätzt,
Mittendorf, S. 169; s. a. Staphorst, I, 4, S. 849.
146
Ghevert Schulte d. J. war zu dieser Zeit Hauptmann Lübecks, Hamburgs und Lüneburgs auf dem
Schloss Harburg, vgl. oben Nr. 6 u. a.
147
148
Ortgis Klencke war der Vorgänger Schultes als Hauptmann zu Harburg.
152
76
Regesten der Jahre 14 00 –14 4 0
[1403] Juni 30. Segeberg.
1403.06.30 — Ff 1 h
76
Heinrich, Graf von Holstein, an Hamburg: bestätigt den Eingang ihres Briefs zur Waffenruhe mit den von Kaden bis August 15
Heinrich, erwählter Bischof von Osnabrück, Graf von Holstein, Stormarn und
Schauenburg,149 an Bürgermeister und Rat von Hamburg: habe ihren Brief erhalten, der geschrieben sei, als Sendeboten des Lübecker Rates mit ihm auf dem Tag
zu Strukdorf (to Strucdorppe) eine Waffenruhe (enes vruntliken bestandes) bis Maria Himmelfahrt (August 15) zwischen denen von Kaden (Koden)150 und Hamburg
vereinbart hätten. Diese wollten die Hamburger nach ihrem Brief auch einhalten.
Teilt mit, dass die Waffenruhe solange auch für jene gelten solle, die die Hamburger und die von Kaden in der Fehde unterstützt hätten. Sie alle sollten in dieser
Zeit ungeschädigt handeln können (de umme eren willen dun unde laten willen, velicheid unde vrede hebben uppe de tid vorghescr[even]), Siegelankündigung Heinrichs.
Scriptum Segheberg[e] in crastino Petri et Pauli apostolorum.
Diplomatische Erörterung: Papier mit Faltung, abgeschnittenem Streifen links und mo-
derner Signatur in Bleistift: Ff 1 h. Auf der Rückseite Reste des Verschlusssiegels
in rotem Wachs. Überschrift: Hinricus Dei gratia electus Osnabrugen[sis], Hol[satie],
Stor[marie] et in Schaw[enburg] comes. Auf der Rückseite die Adresse: Den ersamen
luden borghermesteren unde ratman[nen] unse stad Hamborgh kome unse breff.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 1 h.
Erwähnung: Lehe, Fehden, S. 163.
77
1403 August 14. Den Haag.
1403.08.14 — I 3, I 1 a [1]-[2]
77
Albrecht, Graf von Hennegau, Holland und Seeland, macht bekannt, dass er in Absprache mit seinem Rat und den Städten Hollands und Seelands der Stadt Hamburg eine Reihe von Privilegien erteilt habe
Albrecht, Pfalzgraf bei Rhein, Herzog von Bayern, Graf von Hennegau, Holland und
Seeland, Herr von Friesland,151 in einem offenen Brief: macht bekannt, dass er in
Absprache mit seinem Rat und den Städten Hollands und Seelands für sich und
seine Nachfahren der Stadt Hamburg und ihren jetzigen und künftigen Bürgern
(poirteren) folgende Privilegien erteile:
[1] Alle Bürger Hamburgs sollten mit ihren Schiffen und Gütern auf 15 Jahre frei
und ohne Abgaben zu Wasser und zu Land durch Holland, Seeland und Friesland
ziehen können. Danach sollten sie von 64 Fass roten Biers 1 guten Schildgld. gängiger Münze entrichten, von allen anderen Waren den hundertsten Pfennig.
149
Heinrich III. (1388–1421), 1402–1410 erwählter Bischof von Osnabrück.
150
Herren auf dem Gut Kaden, Alveslohe, Kreis Segeberg.
151
Albrecht I. (1358/1389–1404).
[14 03] August 16. Segeb erg.
153
[2] Sie sollten ihr durch Schiffbruch verlorenes Gut ohne Belastungen bergen können (soe sullen alle scepe ende goede den poirteren van Hamburch toebehorende vry wesen
van zeevonde over al in onsen landen) und müssten ihren Helfern nur den regulären
Arbeitslohn zahlen.
[3] Niemand solle wegen der Straftat eines anderen inhaftiert oder wegen der Güter eines anderen belastet werden.
[4] Die Bier-Akzise auf Hamburger Bier solle in den zuiderzeeischen Städten nicht
mehr als zwei holländische Grote je Tonne betragen ([…] niet meer mogen setten te excise op een tonne Hambůrger biers dan zeven Hollanssche groot), solange die Hamburger
den Stapel für ihr Bier in den holländischen Städten innehätten.
Offene Fragen sollen durch die Genter Schöffen geklärt werden. Bürgen: Wilhelm
von Bayern, Graf von Oistervant, Johann von Bayern, Elekt zu Lüttich und Graf
von Loon, sowie die Schöffen der Städte Dordrecht, Haarlem, Delft, Leiden und
Amsterdam. Gegeven in den Hage opten veertienden dach in Augusto int jair ons Heren
dusent vierhondert ende drie.
Diplomatische Erörterung: A: Pergament mit Faltung und einigen Feuchtigkeitsflecken,
Plica mit einem an einem Pergamentstreifen befestigten Siegel und acht weiteren Einschnitten mit Resten von Schnüren, dazu sind sechs weitere Siegel lose
erhalten. Rückseite mit dem Buchstaben A, darunter mit Bleistift: Urkunde I Nr. 3.
/ B1: Vidimus des Dekans und Domkapitels zu Hamburg von 1428 März 7 [unten
Nr. 351]. Gleichzeitige Abschrift auf Papier. / B2: Vidimus des Dekans und Domkapitels zu Hamburg von 1431 September 21 [unten Nr. 407]. Großes Pergament,
Siegel ab.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. I 3. B1 = StAHH 710-1 I Threse I, Nr. I, 1 a
[1]. B2 = StAHH 710-1 I Threse I, Nr. I 1 a [2]. D = Copiae Archivi.
Edition: HUB, 5, 585, S. 293–294.
Regest: HR I,5, 153, S. 105.
Erwähnung: Ballheimer, 4, S. 1.
78
[1403] August 16. Segeberg.
1403.08.16 — Ff 1 i
78
Heinrich, Graf von Holstein, an Hamburg: teilt mit, dass Marquard van Sigghem mit den Lübeckern über den Streit zwischen den Hamburgern und den von Kaden verhandelt habe, auch über die Verlängerung der Waffenruhe bis September 8
Heinrich, erwählter Bischof von Osnabrück, Graf von Holstein, Stormarn usw.,152
an Bürgermeister und Rat Hamburgs: teilt mit, dass Marquard van Sigghem in seinen Namen mit den Lübeckern über den Streit zwischen den Hamburgern und
152
Heinrich III. (1388–1421), 1402–1410 erwählter Bischof von Osnabrück.
15 4
Regesten der Jahre 14 00 –14 4 0
den von Kaden (Koden)153 verhandelt habe, um eine friedliche Lösung zu finden. Er
habe auch mit den von Kaden über eine Verlängerung der Waffenruhe bis September 8 (Nativitatis Marie) und acht Tage danach gesprochen, wie sie die bisherigen
Urkunden ausweisen. Werde für den Frieden einstehen, wenn die Hamburger ihm
ihren Brief senden (wi willen iuw vor den vrede ghud wesen, so verne gi uns iuwen breff
wedder senden), damit die von Kaden und die Hamburger mit ihren Unterstützern
in Frieden leben könnten. Siegelankündigung. Segheberg[e] in crastino assumptionis
Marie virg[inis] gloriose.
Diplomatische Erörterung: Papier mit Faltung, Verschlusssiegel auf der Rückseite.
Überschrift auf der Vorderseite: Hinricus Dei gratia electus Osnab[rugensis], Hol[satie], Storm[arie] etc. comes. Adresse auf der Rückseite: Den ersamen beschedenen
luden borghermesteren unde ratman[nen] unser staed Hamb[o]rg unsen leven ghetruwen d[etur].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 1 i.
Erwähnung: Lehe, Fehden, S. 163.
79
[1403] September 23. Neumünster.
1403.09.23 — Ff 1 k
79
Heinrich, Graf von Holstein, an Hamburg: erinnert an die Verhandlungen der Ratsherren Marquard und Albert Schreyge mit ihm über ihren Konflikt mit den von Kaden; die Waffenruhe mit diesen könne so lange bestehen, bis er ihnen schreibe
Heinrich, erwählter Bischof von Osnabrück, Graf von Holstein, Stormarn etc.,154 an
Bürgermeister und Rat von Hamburg: erinnert an die Verhandlungen der Ratsherren Marquard155 und Albert Schreyge156 mit ihm bei Oldenburg (by Oltzeborgh) über
ihren Konflikt mit den von Kaden (Koden),157 dass sie vereinbart hätten, die Waffenruhe mit diesen könne so lange bestehen, bis er ihnen schreibe. Teilt mit, dass
er mit den von Kaden gesprochen habe und diese bereit seien, um seinetwillen die
Waffenruhe zu wahren, bis er sie acht Tage vorher anschreibe (solanghe beth wi iuw
achte daghe tovoren enbeden unde toscriven). Dafür brauche er aber auch ihren Brief,
im Wortlaut, wie er zuvor vereinbart worden sei. Datum Nygemunst[er] dominica die
ante Michaelis.
153
Herren auf dem Gut Kaden, Alveslohe, Kreis Segeberg.
154
Heinrich III. (1388–1421), 1402–1410 erwählter Bischof von Osnabrück.
155
Ratsherr seit 1386, Bürgermeister 1390–1419.
156
Ratsherr 1380–1426.
157
Herren auf dem Gut Kaden, Alveslohe, Kreis Segeberg.
14 03 Ok tob er 9. o. O.
155
Diplomatische Erörterung: Papier mit Faltung und Resten des Verschlusssiegels auf
der Rückseite. Überschrift auf der Vorderseite: Hinricus Dei gratia electus Osnab[rugensis], Hol[satie], Storm[arie] etc. comes. Adresse auf der Rückseite: Den eraftigen
borghermeste[r]n unde ratman[nen] unser staed Hamb[o]rgh kome unse [litera].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 1 k.
Erwähnung: Lehe, Fehden, S. 163.
80
1403 Oktober 9. o. O.
1403.10.09 — Ff 3
80
Otto (II.), Erzbischof von Bremen, teilt mit, dass sich vor ihm Clawes und Hinrik, Henneken Gherwens Kinder, wegen des Todes von Henneke Gherwens mit Hamburg versöhnt haben
Otto (II.), Erzbischof von Bremen,158 in einem offenen Brief: teilt mit, dass sich in
seiner Gegenwart Clawes und Hinrik, Henneken Gherwens Kinder, wohnhaft in Eystede, wegen des Todes von Henneke Gherwens mit Rat und Stadt von Hamburg versöhnt haben. Ankündigung des Siegels von Otto. Johan van dem Schonenbeke, Bremer
Knappe und Amtmann von Vorde, gelobt für Clawes und Hinricke die Einhaltung.
Ankündigung seines Siegels. Screven unde gheven […] na unses Heren bord duzent unde
veerhundert jaer dar na in dem drydden jare en hilgen dage sunte Dyonisij.
Diplomatische Erörterung: Pergament mit zahlreichen Feuchtigkeitsflecken, Löchern
und einigen Textverlusten; Plica mit zwei Schlitzen für Siegelanbringung, jedoch
ist kein Siegel erhalten. Der offenbar geöffnete Plica ist ebenso wie die Rückseite
mit dünnem Papier überklebt. Unten auf der Vorderseite moderne Signatur mit
Bleistift: Ff 3. Auf der Rückseite Kanzleinotiz: Ene sone des bisschopp[es] van Bremen
1403, darunter ergänzt: van [wegen] Clawes, [Henneken] Gerwans sone. Notiz darüber
kaum mehr lesbar: [… r]ediget […]. Daneben ein stark verblasster runder Stempel.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 3. D = Copiae Archivi.
81
[1403] November 3. Segeberg.
1403.11.03 — Ff 1 l
81
Heinrich, Graf von Holstein, an Hamburg: bestätigt den Empfang ihres Briefes zum Frieden mit den von Kaden, der so lange bestehen solle, bis er ihnen acht Tage vorher schreibe
Heinrich, erwählter Bischof von Osnabrück, Graf von Holstein, Stormarn und
Schauenburg,159 an Bürgermeister und Rat von Hamburg: bestätigt den Empfang
ihres Briefes zum Frieden mit den von Kaden (Koden), dass er ihnen acht Tage vorher schreiben soll. Teilt mit, dass er das gern tue und ihnen dafür wohlwollend gegenüberstehe (dat wy dat gherne doen willen unde willen iuw dar ghuͤ d wesen). Scriptum
Zegheberg[e] sequenti die [omnium] ani[marum].
158
Otto II. von Braunschweig-Wolfenbüttel (1395–1406).
159
Heinrich III. (1388–1421), 1402–1410 erwählter Bischof von Osnabrück.
156
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Papier mit Faltung und Resten des Verschlusssiegels auf
der Rückseite. Überschrift auf der Vorderseite: Hinricus Dei gratia electus Osnaburg[ensis], Hol[satie], Storm[arie] et in Schow[enburg] comes. Adresse auf der Rückseite:
Honorabilibus et discretis viris proconsulibus et consulibus civitatis Hamburgensis nostris sincere dilectis.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 1 l.
Erwähnung: Lehe, Fehden, S. 163.
82
1403 November 19. Den Haag.
1403.11.19 — Ll 13
82
Albrecht, Graf von Hennegau, Holland und Seeland, quittiert Hamburg den Empfang von 2000 Nobel gemäß dem Schiedspruch von Gent
Albrecht, Pfalzgraf bei Rhein, Herzog in Bayern, Graf von Hennegau, Holland und
Seeland und Herr von Friesland,160 in einem offenen Brief: quittiert der Stadt Hamburg den Empfang von 2000 Nobel (twee dusent nobels) zu je 6 Schilling flämisch
(sess scellinghe vl[emi]s) gemäß dem Schiedspruch von Gent.161 Siegelankündigung.
Gegeven in den Haghe upten negentiensten dach in novembri int jar ons Heeren dusent
vierhondert ende drie.
Diplomatische Erörterung: Kleines Pergament mit Faltung und wenigen Feuchtigkeits-
flecken, ein beschädigtes Siegel an einem unten von rechts bis ins letzte Drittel
des Blattes herausgeschnittenen, durch Schlitze geführten Pergamentstreifen
erhalten. Auf der Rückseite bei den Schlitzen Kanzleinotizen: Ll 13. Quitantie van
ijc nobelen, dazu links unten mit Bleistift die moderne Signatur Ll 13.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ll 13. D = Copiae Archivi.
Regest: HUB, 5, 595, S. 306; HR I, 5, 157, S. 105.
Erwähnung: Ballheimer, 4, S. 1.
83
[1404] April 4. Segeberg.
1404.04.04 — Ff 1 m
83
Heinrich, Graf von Holstein, an Hamburg: bestätigt den Empfang ihres Briefes zum Frieden mit den von Kaden, der so lange bestehen solle, bis er ihnen acht Tage vorher schreibe
Heinrich, erwählter Bischof von Osnabrück, Graf von Holstein, Stormarn und
Schauenburg,162 an Bürgermeister und Rat von Hamburg: bestätigt den Empfang
ihres Briefs, dass sie mit den von Kaden (Koden)163 solange Frieden halten wollten,
bis sie ihm acht Tage zuvor schrieben. Teilt mit, dass die von Kaden nicht so von
ihm geschieden seien, vielmehr sei vereinbart, dass der Friede solange gelte, bis er
160
Albrecht I. (1358/1389–1404).
161
Edition HUB 5, 593, S. 302–306.
162
Heinrich III. (1388–1421), 1402–1410 erwählter Bischof von Osnabrück.
163
Herren auf dem Gut Kaden, Alveslohe, Kreis Segeberg.
14 0 4 Mai 21. Hamburg.
157
acht Tage vorher schreibe (alsolange beth wi iuv achtedaghe tovoren enbeden). Wenn
sie das wollten, sollten sie ihm ihren Brief senden. Datum Segheb[er]g[e] ipso die Ambrosii episcopi et confessoris.
Diplomatische Erörterung: Papier mit Faltung und Resten des Verschlusssiegels auf
der Rückseite. Überschrift auf der Vorderseite: Hinricus Dei gratia electus Osnaburg[ensis], Hol[satie], Storm[arie] etc. comes. Adresse auf der Rückseite: Den eraftigen
borghermestern unde ratman[nen] unser stad Hamb[o]rgh kome unse breff.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 1 m.
Erwähnung: Lehe, Fehden, S. 163.
84
1404 Mai 21. Hamburg.
1404.05.21 — Ss 30
84
Wernerus, Dekan, und das Hamburger Domkapitel bestätigen, dass vor ihnen Johannes Werneri alias dictus Gherbode, Kantor am Dom, für 135 m. zugunsten zweier Vikarien 9 m. jährlicher Rente, zu zahlen von seiner Kanonikerkurie, verkauft habe
Wernerus, Dekan,164 und das Domkapitel zu Hamburg bestätigen, dass vor ihnen Johannes Werneri alias dictus Gherbode, Kantor am Dom,165 für 135 m., die er in barem
Geld empfangen habe, Renten von 9 m. verkauft habe, die folgenden Vikarien zugutekommen sollen: 3 m. der Vikarie am Altar St. Margarethe, die einst der verstorbene Hamburger Bürger Jacobus Vredeborn gestiftet habe, und 6 m. der Vikarie
am Altar St. Andree, die einst die Witwe des Jacobus, Mechtildis, gestiftet habe, jeweils 4 ½ m. zu November 11 (Martini) und zu Pfingsten, von seiner Kanonikerkurie, die zwischen den Kurien der Kanoniker Johannes Uptemperde166 und Johannes
Vritze167 liege, von ihm und den Besitzern seiner Kurie vollständig zu bezahlen. Die
135 m. könnten jährlich mit einer Vorankündigung von einem Vierteljahr abgelöst
werden. Siegelankündigung des Domkapitels und des Johannes Werneri. Datum
Hamborg anno domini moquadringentesimo quarto feria quarta infra octavas Penthecostes.
Diplomatische Erörterung: Nachgedunkeltes Pergament mit Faltung und einem Ein-
schnitt in der Mitte, Plica mit drei Schlitzen, aber nur zwei an Pergamentstreifen
angehängten, gut erhaltenen Siegeln. Rückseite mit zeitgenössischem Kanzleivermerk: Redditibus 9 m. de curia cantoris ad vicarios per d[omi]n[a]m Mechtildem fundatas. 1404. Neuere Ergänzung: ad usum vicariarum Sti. Andreae et Ste. Margarethae,
in folio, und: N. 63.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ss 30. D = Copiae Archivi.
164
Werner Militis, Dekan 1379–1415, danach (bis) 1426 als Propst belegt, Bruder des Kersten Miles.
165
Johannes Werneri alias dictus Gerbode, Kantor, belegt 1404–1436.
166
Belegt 1401–1407 und, sofern personell identisch, als Senior 1429.
167
Belegt 1400–1406.
158
85
Regesten der Jahre 14 00 –14 4 0
1404 Juli 21. Hamburg.
1404.07.21 — Q 73
85
Woͤ l eke Lappe, Sohn des Wolder Lappe und der Gheze, nun Frau des Heyne Hardenacke, und Alveric Lappe, Knappe, bekennen, sich mit Heyne, Hamburger Bürger, und Gheze darauf geeinigt zu haben, dass diese von 90 m. Rente seines Vaters Wolder beim Rat von Hamburg jährlich 30 m. bekommen sollen
Woͤleke Lappe, Sohn des Wolder Lappe und der Gheze, nun Frau des Heyne Hardenacken,168 und Alveric Lappe, Knappe,169 in einem offenen Brief: bekennen, sich mit
Heyne Hardenacke, Hamburger Bürger, und Gheze darauf geeinigt zu haben, dass
diese und ihre Erben von Woldekes 90 m. (negentich m.) Rente seines Vaters Wolder
beim Rat von Hamburg jährlich September 29 (zunte Michaelis daghe) 30 m. (drittich
m.) Rente bekommen sollen. Sie behalten sich die Ablösung dieser Rente bei Zahlung von 300 m. vor. Ausgehandelt von (dit hebben ghedegedinghet) Heyne Brandes
und Ludeke Bardewyc. Zeugen sind Syverd Gholtbeke und Syverd Nyehus. Siegelankündigung. Gheven to Hamborch na Godes bord in deme veerteynhundertsten unde verden
yare op den avend zunte Marien Magdalenen.
Diplomatische Erörterung: Pergament mit Faltung, wenigen Feuchtigkeitsflecken, Pli-
ca mit zwei teilweise erhaltenen, an Pergamentstreifen befestigten Siegeln, das
zweite Siegel in einem Papierumschlag. Auf der Rückseite Kanzleinotiz: 1404 Lappen [remiserit] Heyne Hardenacken 30 mar[carum] redditus.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 73. D = Copiae Archivi.
86
1404 Juli 24. Lübeck.
1404.07.24 — Gg 118
86
Thomas de Firmo, Meister der Dominikaner, sagt den Reitendienern der Stadt Hamburg und ihrer Bruderschaft die Teilhabe an den frommen Werken seines Ordens zu
Thomas de Firmo, sacre theologie professor ac tocius ordinis predicatorum humilis magister,170 an die Reitendiener der Stadt Hamburg, die der Bruderschaft (confratria) des
Hamburger Dominikanerkonvents verbunden sind: sagt ihnen auf ihre Bitten und
angesichts ihrer Unterstützung für den Hamburger Konvent die Teilhabe an den
frommen Werken seines Ordens zu. Datum Lubik die xxiiii mensis Julii sub anno domini
millesimo quadringen[tesi]mo quarto.
Diplomatische Erörterung: Pergament mit Faltung, größere Plica mit einem an einer
Schnur mit zwei Löchern befestigten Siegel, von dem in der Kapsel nur zwei
Fragmente erhalten sind. Rechts unter dem Text Notarszeichen: Jo. M. R. Auf der
Rückseite etwas jüngere Notiz: No. n, unten in der Mitte radiert: 1404.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 118. D = Copiae Archivi.
168
Geseke, in erster Ehe verheiratet mit Wolderich VI. Lappe († ca. 1400).
169
Alverich IX. Lappe († ca. 1412).
170
Tommaso Paccaroni, Generalmagister 1401–1414.
14 0 4 Juli 30. o. O.
87
159
1404 Juli 30. o. O.
1404.07.30 — Q 74
87
Alveric Lappe, Knappe, bekennt, sich mit Syverde van Boekwolde, Knappe, wegen dessen Ehefrau Beke, der Witwe seines Bruders Woleke, in Bezug auf die 6 m. Rente, ihrer Morgengabe, beim Rat von Hamburg, geeinigt zu haben
Alveric Lappe, Knappe,171 in einem offenen Brief: bekennt, sich mit Syverde van Boekwolde, Knappe, wegen dessen Ehefrau Beke, der Witwe seines Bruders Woleke Lappe,172 in Bezug auf die 6 m. Rente Leibgedinge (lyfgedynges), ihrer Morgengabe von
den Renten seines Bruders beim Rat von Hamburg, geeinigt zu haben. Er werde
Syverd 60 m. zu zwei Terminen zahlen, 30 m. 1404 September 29 (zunte Michaelis
dach neghest to komende) und 30 m. 1405 September 29 (zunte Michaelis dage vort over
eyn yar). Siegelankündigung. Gheven na Ghodes bord in deme veerteynhundertsten unde
veerden yare op den neghesten mydweken na sunte Jacobes daghe.
Diplomatische Erörterung: Kleines Pergament mit Faltung und etlichen Feuchtigkeits-
flecken, Plica mit einem an einem Pergamentstreifen befestigten, stark beschädigten Siegel. Kanzleinotiz auf der Rückseite: 1404.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 74. D = Copiae Archivi.
88
1404 August 6. o. O.
1404.08.06 — Q 75
88
Alveric Lappe quittiert für sich und Ghese, die Witwe des Wolder Lappe, der Stadt Hamburg den Empfang von 150 m. Pfennigen mit Fälligkeitstermin vom letzten September 29
Alveric Lappe, Knappe,173 in einem offenen Brief: quittiert für sich und vern Ghese,
die Witwe des Wolder Lappe, den Bürgermeistern und Ratsherren der Stadt Hamburg den Empfang von 150 m. Pfennige (in hundert unde veftich mark penninghen)174
mit Fälligkeitstermin vom letzten September 29 (uppe sunte Michaelis dach). Ankündigung des Siegels von Alveric Lappe. Gheven […] na Godes bord in deme dusentsten
veerhundertsten unde veerden jare in sunte Sixtus unde ziner hilghen zeltschop daghe.
Diplomatische Erörterung: Kleines Pergament mit Faltung und einigen Feuchtigkeits-
flecken, Plica mit einem an einen Pergamentstreifen angehängten, beschädigten
Siegel. Auf der Rückseite der zeitgenössische Vermerk: 1404 sowie ein blasser
runder Stempel.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 75. D = Copiae Archivi.
171
Alverich IX. Lappe († ca. 1412).
Wohl bald nach dem Erwerb Ritzebüttels durch Hamburg (1394) verstorben, nicht identisch mit
dem gleichnamigen Sohn des Wolder Lappe und der Gheze, s. Nr. 85.
172
173
Alverich IX. Lappe († ca. 1412).
174
Es handelt sich um eine Rentenzahlung; vgl. z. B. StAHH 710-1 I Threse I, Nr. Q 73; oben Nr. 85.
160
89
Regesten der Jahre 14 00 –14 4 0
1404 Oktober 4. [Hamburg].
1404.10.04 — R 4 b
89
Notariatsinstrument des Johannes Sasse, der bestätigt, dass vor ihm Kopeke Wolmers erklärt habe, dass er den Vikaren Johannes Ludeke, Johannes Bornessen, Hinricus Crevet und Johannes Verdis für 40 m. 4 m. Rente aus seinem Hof und von 6 Morgen Ackerland in Alt-Stillhorn verkauft habe
Notariatsinstrument des Johannes Sassen, Kleriker der Schweriner Diözese, Notar
kaiserlicher Autorität. Bestätigt, dass vor ihm und den Zeugen Johannes Ludeke, Vikar der Hamburger Kirche, auf der einen Seite, und der Laie Kopeke Wolmers aus
Alt-Stillhorn (in antiquo Stilhorne), auf der anderen Seite, erschienen seien. Kopekin habe erklärt, dass er mit Rat seiner Erben und Verwandten Johannes Ludeke
sowie Johannes Bornessen, Hinricus Crevet und Johannes Verdis, ewigen Vikaren der
Hamburger Kirche und Testamentsvollstreckern des Hinricus Cluve, für 40 m. lüb.
und hamb. Pfennige 4 m. Rente aus seinem Hof und von 6 Morgen Ackerland in
Alt-Stillhorn verkaufe. Von den 6 Morgen lägen 2 Morgen und 1 hunt beim Hof,
zwischen den Grundstücken des Aleke Punders und des Hamburger Bürgers Meineke Oldendorpp, 8 hunt upter døsen zwischen den Grundstücken des alten Henneke
Beye und des Nicolaus Blyfhir, 8 hunt upter døsen zwischen den Grundstücken des
jungen Henneke Beye und des Henneke Wend, 1 Morgen zwischen den Grundstücken
des Henneke Dankmer und des Heynike Wolmers, mit Land außerhalb des Deichs (cum
curiis sive ortis, qui extra terram vulgariter butendykes existunt). Die Rente sei jährlich
Februar 22 auf Lebenszeit an Wynttke, die Magd des verstorbenen Hinricus Cluve,
zu zahlen und von allen Belastungen für den Deichbau oder durch andere Renten
und Verpflichtungen frei zu halten. Sie könne jährlich Februar 22 abgelöst werden,
wenn dies bis September 29 davor angezeigt worden sei. Wenn einer der Bürgen
versterbe, werde Kopekin innerhalb von 14 Tagen einen neuen bestellen, sonst
gingen die Verpflichtungen auf die Erben über. Bürgen: Albertus Boygerd, Heynekinus Wolmers und der junge Hennekinus Beye, Laien im Kirchspiel Stillhorn. Acta
sunt hec in domo habitacionis predicti domini Johannis Luedekens. Anno domini mo ccccoquarto indictione xiia mensis Octobris die quarta hora completorii vel quasi pontific[atus]
sanctissimi in christo patris ac domini nostri domini Bonifatii divina providentia pape viiiio
anno xv. Zeugen: Johannes Luneborg Vikar, Hinricus Arndes und Hinricus Schele, Priester an St. Marien und St. Jacobi zu Hamburg.
Diplomatische Erörterung: Papier mit Faltung, etlichen Löchern entlang der Faltlinien
und kleineren Textausfällen sowie modernen blauen Unterstreichungen, Notariatsinstrument des Johannes Sassen, Kleriker der Schweriner Diözese, Notar
kaiserlicher Autorität, ohne Notariatszeichen, zeitgenössische Kopie. Rückseite
mit Papier überklebt, Ausschnitt mit einem modernen Regest: Kopekin Wolmers
verkauft den Testamentarien [Streichung zu B. Stillhorn] des Hamburger Vikars Hinrich Cluve 4 mr Rente aus seinem Haus und Hof zu B. Stillhorn für 40 mr. 1404, 4 October.
Links unten quer etwas späterer Vermerk: Jo[hannes] Sassen [… 40 m.] Crucomen /
hic que diversa jura.
14 0 4 Ok tob er 18. o. O.
161
Überlieferung: A = StAHH 710-1 I Threse I, Nr. R 4 b.
Regest: Kausche, Regesten, 470, S. 147–148.
90
1404 Oktober 18. o. O.
1404.10.18 — Q 76
90
Alveric Lappe quittiert für sich und Ghese, die Witwe des Wolder Lappe, der Stadt Hamburg den Empfang von 150 m. Pfennigen mit Fälligkeitstermin vom letzten September 29
Alveric Lappe, Knappe,175 in einem offenen Brief: quittiert für sich und vern Ghese,
die Witwe des Wolder Lappe, den Bürgermeistern und Ratsherren der Stadt Hamburg den Empfang von 150 m. (in hundert unde veftich mark pennynghen)176 mit Fälligkeitstermin am letzten September 29 (op zunte Michaelis dach). Ankündigung des
Siegels von Alveric Lappe. Gheven (..) na Ghodes bord in deme dusentsten veerhundertsten unde veerden yare op den dach zunte Lucas des hylghen ewangelisten.
Diplomatische Erörterung: Pergament mit Faltung, einigen Feuchtigkeitsflecken, Pli-
ca mit einem an einem Pergamentstreifen angebrachten Siegel. Rückseite mit
Kanzleivermerk: Lappen 1404.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 76. D = Copiae Archivi [gekürzte Abschrift mit Verweis auf Q 75].
91
1404 November 9. Lübeck.
1404.11.09 — Q 77
91
Hinrik Broekman, Lübecker Bürger, bekennt, für Syverd von Buekwolde 30 m. von den Kämmerern Hamburgs aus der Rente des Alverik Lappe mit Fälligkeit von September 29 empfangen zu haben, welche Alverik an Sywerd übertragen habe
Hinrik Broekman, Lübecker Bürger, in einem offenen Brief: bekennt, für Syverd von
Buekwolde 30 m. Hamburger Pfennige von den Kämmerern der Stadt Hamburg aus
der Rente des Alverik Lappe177 mit Fälligkeit von September 29 (uppe sunte Michels
dach) empfangen zu haben, welche Alverik an Sywerd übertragen habe (welke
xxx m. Alverik Lappe Syverde dar bewijset hadde). Quittiert dem Rat der Stadt Hamburg den Empfang. Siegelankündigung des Ausstellers. Gheven unde screven […] tho
Lubeke des neghesten sondaghes vor sunte Mertens daghe in den jaren unses Heren dusent
veerhundert unde veere.
Diplomatische Erörterung: Pergament mit Faltung und Feuchtigkeitsflecken, Plica mit
einem an einem Pergamentstreifen befestigten, stark beschädigten Siegel, Zeichen vor der ersten Textzeile. Rückseite mit Kanzleivermerk: Lappen 1404.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 77. D = Copiae Archivi.
175
Alverich IX. Lappe († ca. 1412).
176
Es handelt sich um eine Rentenzahlung; vgl. z. B. StAHH 710-1 I Threse I, Nr. Q 73; hier Nr. 85.
177
Alverich IX. Lappe († ca. 1412).
162
92
Regesten der Jahre 14 00 –14 4 0
1404 Dezember 17. o. O.
1404.12.17 — Gg 19
92
Rutghert van Sellingdorpe, Johan van Bardelaghe, Johan und Borchard Grympe, Steneke van dem Hamme, Sander van Holle, Eghert Zemmel, Erp Hoye, Ludeman Yesse und Langhe Brand, Knappen, bestätigen den Empfang von Sold und Schadenersatz von Hamburg für ihren Dienst gegen den Herrn von Wenden
Rutghert van Sellingdorpe, Johan van Bardelaghe, die Brüder Johan und Borchard Grympe, Steneke van dem Hamme, Sander van Holle, Eghert Zemmel, Erp Hoye, Ludeman Yesse und Langhe Brand, Knappen, in einem offenen Brief: Teilen mit, im Dienst der
Bürgermeister und Ratsherren der Stadt Hamburg im Krieg gegen den Herrn von
Wenden gewesen zu sein.178 Bestätigen den Empfang von Sold und Schadenersatz.
Ankündigung der Siegel von Rutghert van Sellingdorpe, Johan van Bardelage,
Johan Grympe, Steneke van dem Hamme, Sander van Holle, Eghert Zemmel, Ludeman Yesse und Langhe Brand. Borcherd Grympe besiegelt mit dem Siegel von
Johan Grympen, seines Bruders, und Erp Hoye mit dem Siegel von Rutghert van
Sellingdorpe. Gheven na Ghodes bord in deme veerteynhundertsten unde veerden yare op
den neghesten mydweken na sunte Lucien daghe.
Diplomatische Erörterung: Langes Pergament mit Faltung, Feuchtigkeitsflecken, Plica
mit acht Pergamentstreifen zur Siegelanbringung, jedoch nur die ersten sieben
Siegel erhalten, davon drei stark beschädigt, das fünfte und das sechste in Kunststoffkapseln. Rückseite mit Papier überklebt, im Ausschnitt der Kanzleivermerk:
Ene quitancie Rotghertd[es] cum suis complicibus. 1404.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 19. D = Copiae Archivi.
Regest: Lehe, Fehden, S. 162.
93
1404 179 Dezember 28. Hamburg.
1404.12.28 — Tt 15
93
Wernerus, Dekan, und das Hamburger Domkapitel nehmen die Stiftung der Beke, Witwe des Tydeman Tolner, von 15 m. Renten zur Ausstattung einer ewigen Vikarie in St. Petri unter kirchlichen Schutz und errichten die Vikarie
Wernerus, Dekan,180 und das Hamburger Domkapitel in einem offenen Brief: machen bekannt, dass Beke, Witwe des Tydeman Tolner, vor ihnen erklärt habe, zu Ehren Gottes, der Jungfrau Maria und ihrer Mutter Anna für ihr Seelenheil, das ihres
Mannes und ihrer Verwandten in St. Petri eine ewige Vikarie am Altar St. Thome
Apostoli mit Zustimmung ihrer Erben und Verwandten mit 15 m. Renten zu begründen und ausstatten zu wollen. Im Einzelnen sind dies 10 m. von 20 m. Renten,
die einst der genannte Tydericus [sic] Tolner von den Rittern von Grote (dictis de
Grote) gekauft habe, zu zahlen jeweils an November 11 (in quolibet festo beati Martini
episcopi) von ihren Einkünften von Wiesen, Äckern usw. in Alt- und Neu-Stillhorn,
sowie 5 m. vom Erbe, das Beke bewohnt, in der Reichenstraße (sita in platea divitum) zwischen dem Erbe des Thidericus de Gherden und dem parvus vicus. Dekan und
178
Wahrscheinlich einer der Herren von Werle, Balthasar (1393/94–1421) oder Johann VII. (1395–1414).
179
Text: 1405; in der Bremer Erzdiözese galt Weihnachtsstil.
180
Werner Militis, Dekan 1379–1415, danach (bis) 1426 als Propst belegt, Bruder des Kersten Miles.
[14 05 nach Juni 6]. o. O.
163
Domkapitel nehmen entsprechend der Bitte Bekes die Renten unter kirchlichen
Schutz und errichten damit die ewige Vikarie zu Ehren St. Annen am Altar St. Thome Apostoli. Der Vikar solle jährlich 2 m. im Chor des Doms zur memoria für Tydeman, Beke und ihre Verwandten geben, an den Messen in St. Petri teilnehmen und
sich den Vizerektoren an St. Petri unterordnen und ihm die Oblationen übergeben.
Beke und ihre ältesten nächsten Verwandten, männlich oder weiblich, erhalten
auf 120 Jahre das Präsentationsrecht. Siegelankündigung des Domkapitels. Datum
Hamborg anno domini millesimo quadringentesimoquinto die xxviii men[sis] Decembr[is].
Diplomatische Erörterung: Pergament mit Faltung, Feuchtigkeitsflecken vor allem ent-
lang der Faltlinie, Plica mit an einem Pergamentstreifen angehängtem Siegel des
Domkapitels. Rückseite unterschiedlich nachgedunkelt, der ältere Kanzleivermerk in der Mitte: Super vicariam fundata per dominam Beken relictam Tydemanni
Tolner ad altare sancti Thome apostoli in ecclesia sancti Petri, darunter: 1405. Links der
jüngere Vermerk: Sancti Petri. Vicaria altaris beati Thome apostoli sub titulo sancte
Anne. R[egistra]ta folio xxxiio, dazwischen modern: 15 m. reditus.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Tt 15. D = Copiae Archivi.
Regest: Kausche, Regesten, 474, S. 149–150.
Erwähnung: Vollmers, Pfarreien, S. 455.
94
[1405 nach Juni 6]. 181 o. O.
[nach 1405.06.06] — Bb 16 a
94
Die Hamburger Bürger in Holland an Herzog Wilhelm, Graf von Hennegau, Holland und Seeland, seinen Rat und seine Städte: beschweren sich über den erlittenen Schaden durch die Verletzung ihrer Privilegien und des Schiedsspruchs von Gent
Die Hamburger Kaufleute und Bürger (portere)182 in Holland an Herzog Wilhelm
von Bayern, Graf von Hennegau, Holland und Seeland,183 seinen Rat, seine Städte
von Holland, also Dordrecht, Haarlem, Delft, Leiden und Amsterdam: beschweren
sich über den in Holland und Seeland erlittenen Schaden durch Verletzung ihrer
Privilegien und des Schiedsspruchs von Gent:
[1.] 1404 um September 29 (m cccco unde iiii omtrend Meygeel184) habe Isebrand Simonssone aus Monnickendam sein mit Bier aus Hamburg beladenes Schiff zu Veere
(Vere) in Seeland verloren. Der Herr von Veere185 habe sich 16 Last Biers unterwunden, die den Bürgern (porteren) von Hamburg gehörten.
181
Ergibt sich aus den im Brief genannten Daten, wenn diese, was wahrscheinlich ist, in chronologischer Reihenfolge aufgeführt wurden.
Ab Punkt [4.] wird der Text vielfach in der ersten Person Singular geschrieben. So wird bspw. in [5.]
von de privilegie, de die stad van Hamborgh van mynes heren gnaden heft gesprochen. Offensichtlich
schrieb hier ein Untertan Wilhelms im Auftrag der Hamburger.
182
183
Wilhelm VI. (1404–1417).
184
Datumsauflösung nach HR.
185
Wohl Wolfart V., Herr von Veere und Zandenburg (1401–1409).
16 4
Regesten der Jahre 14 00 –14 4 0
[2.] 1404 um November 19 (sulve jar omtrend sunte Elizabeth dach) habe sich Fflorens
van Sweten uppe Oerk186 ca. 300 Fass Hamburger Biers unterwunden.
[3.] Zur selben Zeit seien in Wieringen (Wyringhen) ca. 100 Fass Bier geborgen worden, von denen der Rentenmeister von Wieringen die eine Hälfte genommen habe
und die andere Hälfte die ghonne, die diese geborgen hatten. Nach großer Auseinandersetzung habe der Rentenmeister den Hamburgern von seinem Teil 19 Fass
wiedergegeben.
[4.] Am letzten Osterfest (1405 April 19, sund Paschen lest gheleeden) sei ein Schiff auf
der Zuiderzee (Suderzee) verloren gegangen, aus dem 72,5 Fass Bier nach Wieringen
geborgen worden seien. Dies sei kürzlich in Egmond aan Zee (Egghemund) bislang
ohne Ergebnis verhandelt worden.
[5.] Den Bürgern (porteren) von Hamburg sei die Bergung entgegen der Privilegien
nicht erlaubt worden.
[6.] Aufbringung eines Schiffs durch die capiteyns von Stavoren, das aus Dänemark
gekommen sei, auf dem sich aber 140 Fass Bier von Hamburger Kaufleuten befanden, 1405 Mai 25 (mandages vor unses Heren hemelvard in der oster emeze).
[7.] Dieselben [capiteyns von Stavoren] hätten 1405 Juni 6–7 (in der pinxtenacht) zu
Workum (Wolderkum) 17 Tonnen Butter aus dem Hamburger Schiff des Schiffers
Herberd Grůnehaghen genommen.
[8.] Aus demselben Schiff seien zweieinhalb Stück Käse, zwei ossen hude, vier deker
Kalbfelle und ein noppensak genommen worden.
Diplomatische Erörterung: Papier mit Faltung und wenigen Feuchtigkeitsflecken,
gleichzeitige Abschrift.
Überlieferung: B187 = StAHH 710-1 I Threse I, Nr. Bb 16 a.
Druck: HUB, 5, 698, S. 361–362; HR I, 8, 1051, S. 678–679 (ungenau).
95
1405 Oktober 27. o. O.
1405.10.27 — Q 78
95
Siverd van Bokwolde zu Johanstorp, Knappe, an die Stadt Hamburg: bittet um die ihm noch zustehenden 30 m. von 60 m., die Alverik Lappe für ihn und seine Ehefrau an sie überwiesen habe
Siverd van Bokwolde zu Johanstorp, Knappe, an die Bürgermeister und Ratsherren
der Stadt Hamburg: bittet sie um die ihm noch zustehenden 30 m. (druttich mark
Lubesch) von den 60 m. (sestich marken Lubesch), die Alverik Lappe188 für ihn und seine
Ehefrau an sie überwiesen habe für 6 m. lyflike Rente. Bestätigt, dass sie die ersten
186
Vorher gelöschte Verschreibung des Ortsnamens.
187
Auch Kunze (HUB 5, 698, S. 361) erkennt hier eine gleichzeitige Abschrift.
188
Alverich IX. Lappe († ca. 1412).
14 05 Ok tob er 31. o. O.
165
30 m. dem Wandschneider Hinrik Broͤkmann, Bürger zu Lübeck und Überbringer
dieses Briefes, schon gegeben haben. Bei Übergabe der anderen 30 m. seien sie und
Alverik Lappe mit ihm und seiner Ehefrau, Beke, quit. Siegelankündigung. Datum
anno domini mcccc quinto, in vig[ilia] Symonis et Jude ap[osto]lor[um] b[ea]to[rum].
Diplomatische Erörterung: Kleines Pergament mit zwei Faltlinien, von denen die zwei-
te das Pergament beschädigt hat, und kleineren Textverlusten, Plica mit einem
an einem (auf der Innenseite beschriebenen) Pergamentstreifen befestigten,
leicht beschädigten Siegel. Rückseite mit der Kanzleinotiz: Lappen 1405.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 78. D = Copiae Archivi.
96
1405 Oktober 31. o. O.
1405.10.31 — Q 79
96
Hinrik Brockman, Lübecker Bürger, quittiert für Syverdes van Buckwolde den Empfang von 30 m. von den Kämmerern Hamburgs aus der Rente Alverikes Lappe, fällig 1405 September 29
Hinrik Brockman, Lübecker Bürger, in einem offenen Brief: quittiert anstelle Syverdes van Buckwolde den Empfang von 30 hamb. m. von den Kämmerern der Stadt
Hamburg aus der Rente Alverikes Lappe189 beim Rat von Hamburg, fällig 1405 September 29 (sunte Michaels dach neyst vorleden). Die 30 m. hatte Alverik Syverd überschrieben. Siegelankündigung des Ausstellers. Gheven na Godes bort in dem veerteynhundertsten unde venften jare op alle Godes hilgen avende.
Diplomatische Erörterung: Kleines Pergament mit Feuchtigkeitsflecken, Plica mit
Schlitz zur Siegelanbringung, jedoch ist nur der Pergamentstreifen erhalten. Auf
der Rückseite Kanzleivermerk: Lappen 1405.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 79. D = Copiae Archivi.
97
1405 November 6. o. O.
1405.11.06 — Q 81
97
Alverik Lappe quittiert den Empfang von 90 m. wegen seines verstorbenen Vetters Wolder Lappe sowie den Empfang von 60 m. wegen seiner Rente mit Fälligkeitstermin 1405 September 29
Alverik Lappe, Knappe,190 in einem offenen Brief: quittiert den Empfang von 90 m.
durch die Bürgermeister und Ratsherren der Stadt Hamburg wegen seines verstorbenen Vetters Wolder Lappe.191 Quittiert auch den Empfang von 60 m. wegen seiner
Rente mit Fälligkeitstermin 1405 September 29 (op sunte Michaels dach). Siegelankündigung. Heyne Hardenacke bestätigt Alveriks Empfang beider Summen. Ankündigung seines Siegels. Gheven na Godes bort in den veerteynhundertsten unde vifte jare
des vrydaghes vor sunte Mertens daghe.
189
Alverich IX. Lappe († ca. 1412).
190
Alverich IX. Lappe († ca. 1412).
191
Wolderich VI. Lappe († ca. 1400), verheiratet mit Geseke.
166
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Kleines Pergament mit Faltung und Feuchtigkeitsflecken,
Plica mit zwei an Pergamentstreifen angehängten, relativ gut erhaltenen Siegeln. Kanzleinotiz auf der Rückseite: 1405.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 81. D = Copiae Archivi.
98
1405 Dezember 18–25. o. O.
1405.12.18-25 — Ss 42
98
Clawes Rybe, Hamburger Bürger, verkauft Dekan und Kapitel zu Hamburg zugunsten der Vikarie des Altars St. Thomas am Dom für 75 m. 5 m. jährlicher Rente auf seinem Haus im Cremon
Clawes Rybe, Hamburger Bürger, in einem offenen Brief: verkauft dem Dekan192
und dem Kapitel der Kirche zu Hamburg zum Nutzen der Vikarie des Altars Sankt
Thomas im Mariendom, die momentan Johan Gotynk inne habe, für 75 hamb. m.,
jährlich 5 m. Rente, davon 2 pfd. Pfenninge Juni 17–24 (bynnen den achte daghen sunte Johannes Baptisten to middensomer) und die anderen 2 pfd. 1406 Dezember 18–25
(bynnen den achte dagen to wynachten negest to komende) aus seinem Haus und Erbe
auf Cremon im Kirchspiel St. Katharinen gelegen zwischen den Häusern von Ghelmer van der Schlinge und Meynardes van Lemegow. Behält sich Rückkauf für 75 m. vor
zu den erwähnten Zeitpunkten mit halbjährlicher Kündigungsfrist. Buͤ nt Tekogelle,
Clawes Meybom und Johan Rodenberg, Hamburger Bürger, geloben für Clawes Rybe.
Siegelankündigung des Ausstellers und der Bürgen. Gheven unde screven […] na Godes
bord veerteynhundert jar darna in dem viften jare bynnen den achte daghen to Wynnachten.
Diplomatische Erörterung: Etwas nachgedunkeltes Pergament mit Faltung, gezeich-
neter Initiale, Plica mit vier Siegeln an breiteren Pergamentstreifen, das erste
stärker beschädigt. Auf der Rückseite verschiedene jüngere Kanzleinotizen, teilweise über älteren Einträgen: Super 5 m. redditus ad vicariam altaris sancti Thomae
in su[mma ecclesia], quam obtinet Jo[hannes] Gotingh, postea Tydericus Eggherdes. 1405.
Unten in der Mitte mit Bleistift modern: 680.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ss 42. D = Copiae Archivi.
99
1406 April 25. o. O.
1406.04.25 — Ww 7
99
Hinrik van dem Berghe, Ratsherr zu Hamburg, überlässt mit Zustimmung seiner Erben den Priestern an St. Jacobi 2 m. jährlicher Rente zu seiner memoria
Hinrik van dem Berghe, Ratsherr zu Hamburg,193 in einem offenen Brief: macht bekannt, dass er mit Zustimmung seiner Erben den Priestern an St. Jacobi 2 m. jährlicher Rente zu seiner memoria überlasse, die am Vorabend von Himmelfahrt und am
192
Werner Militis, Dekan 1379–1415, danach (bis) 1426 als Propst belegt, Bruder des Kersten Miles.
193
Hinricus de Monte († 1452), Ratsherr seit 1386, Bürgermeister 1413–1451.
14 06 April 25. o. O.
167
Tage selbst begangen werden solle. Diese sollten wie folgt verteilt werden: 1 m. solle der Kirchherr erhalten und dafür jeden Sonntag seiner vom Predigtstuhl gedenken (lassen), 1 m. sollten die anderen Priester an St. Jacobi bekommen, die bei Vigil
und Seelenmesse anwesend seien, unter der Voraussetzung, dass sie den Schoss
zahlten. Von den 2 m. liege ein pfd. Geldes auf zwei Buden an der Mauer im Kirchspiel St. Katharinen, die zurzeit von Johan Schacke und Coerd Underberch bewohnt
seien, zwischen den Erben von Arnd Colleyg und Johan Witte, zwischen der Mattentwite und der Reimerstwiete (Reynerstwite). Zur Zahlung des pfd. Geldes seien er und
seine Erben wegen des Gedächtnisses für seinen Vater, Herrn Heyne von dem Berghe,
verpflichtet, so dass es nicht abgelöst werden könne. 12 sol. lägen weiterhin auf
zwei Buden bei seinem Hof in der Steinstraße, die sich im Kirchspiel St. Jacobi von
seinem Hof to deme berghe (dem Barkhof) bis an den lutteken berch erstreckten. Auch
diese Rente werde nicht abgelöst, sondern sollte ewig auf den Buden bleiben, auch
wenn seine Erben einmal die Buden bei seinem Hof verkaufen sollten. Diese ewige Grundrente von den Buden sei alle Jahre an die distributores an St. Jacobi ohne
Verzug auf Ostern zu zahlen. Siegelankündigung Hinriks von dem Berghe. Zeugen:
Kersten Miles, Ratsherr,194 und Henneke Rodenborch, Bürger zu Hamburg. Siegelankündigung der Zeugen. Gheschreven na Godes bord veerteynhuͮ nderd jaer darna in deme
zoesten jare in deme daghe suͮ nte Marcus des hilghen ewangelisten.
Diplomatische Erörterung: Nachgedunkeltes Pergament mit Faltung, Feuchtigkeits-
und Tintenflecken sowie etwas verblasster Schrift, Plica mit drei angehängten
Pergamentstreifen, nur das dritte Siegel erhalten. Rückseite mit verschiedenen
Kanzleivermerken, der älteste links quer: Her Hinrik to dem Berghe super duarum
m. redditus et 12 sol. in duobus locis reditos […]. Unten in der Mitte ein jüngerer Vermerk: Litera 2 m. reditus ad vicarios St. Jacobi pertin[entes] de anno 1406. N. 379. Dazu
älter: Registrata folio xi.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ww 7. D = Copiae Archivi.
Edition: Staphorst, I, 2, S. 857–859.
Regest: Schütze, 395, S. 364.
Wohl der Bürgermeister Kersten Miles, Ratsherr seit 1374, Bürgermeister 1378–1420, Bruder des
Domdekans und Dompropstes Werner Miles.
194
168
100
Regesten der Jahre 14 00 –14 4 0
[1406 Mai 30]. Segeberg.
[1406.05.30] — Ff 1 n
100
Heinrich, Graf von Holstein, an Hamburg: habe ihren Brief über einen Stillstand zwischen ihnen und den von Kaden von Pfingsten bis Juni 24 erhalten; teilt mit, diese seien einverstanden
Heinrich, erwählter Bischof von Osnabrück, Graf von Holstein, Stormarn und
Schauenburg,195 an Bürgermeister und Ratsherren der Stadt Hamburg: habe ihren
Brief bekommen, dass ihnen die Lübecker mitgeteilt hätten, Marquard van Segghem
habe ihnen geschrieben, er habe erfahren, dass die von Kaden (Koden)196 einen
freundlichen Stillstand von Pfingsten bis Juni 24 (Johannis Baptista) halten wollten.
Teilt mit, er habe mit den von Kaden darüber gesprochen, die einverstanden seien.
Bittet um einen besiegelten Brief, der auch die jeweiligen Unterstützer einbeziehe.
Wenn er ihren Brief erhalte, werde er ihn den seinen zusenden. Screven Segheberge
in den Pinxsten. Siegelankündigung.
Diplomatische Erörterung: Papier mit Faltung, auf der Vorderseite die moderne Signa-
tur mit Bleistift: Ff 1 n. Rückseite mit Resten des Verschlusssiegels und Adresse
quer: Den erliken luden borghermesteren unde radman[nen] unser staed Hamborgh unsen leven sunderg[en] detur.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 1 n. D = Copiae Archivi.
Erwähnung: Lehe, Fehden, S. 163.
101
1406 Juli 26. Hamburg.
1406.07.26 — Uu 20
101
Wernerus, Dekan, und das Hamburger Domkapitel nehmen die Stiftung des Hamburger Bürgers Meynardus Oldendorp von 20 m. jährlicher Rente unter kirchlichen Schutz und errichten auf seine Bitte die Vikarie am Altar St. Jacobi in Nicolai
Wernerus, Dekan,197 und das gesamte Domkapitel zu Hamburg in einem offenen
Brief: machen bekannt, dass der Hamburger Bürger Meynardus Oldendorp erklärt
habe, für sein Seelenheil, das seiner Frau und ihrer Eltern zu Ehren Gottes und
der Jungfrau Maria eine ewige Vikarie am Altar St. Jacobi in St. Nicolai mit Zustimmung seiner Erben und Verwandten mit einer Rente von 20 m. ausstatten zu
wollen. Diese liege auf dem Grundstück des Johannes de Lo im Cremon zwischen den
Erben von Johannes Volkers und Langhe Tymme. Dekan und Domkapitel nehmen auf
Bitten des Meynardus die Rente unter kirchlichen Schutz und errichten die ewige
Vikarie am Altar St. Jacobi in St. Nicolai. Der Vikar solle jährlich im Chor der Hamburger Kirche 2 m. für die memoria des Meynardus, seiner Frau und ihrer Eltern
verteilen. Er solle sich dem vicerector der Kirche unterordnen. Meynardus und seine Verwandte Mechthildis erhalten auf 120 Jahre das Präsentationsrecht. Siegelan-
195
Heinrich III. (1388–1421), 1402–1410 erwählter Bischof von Osnabrück.
196
Herren auf dem Gut Kaden, Alveslohe, Kreis Segeberg.
197
Werner Militis, Dekan 1379–1415, danach (bis) 1426 als Propst belegt, Bruder des Kersten Miles.
14 06 Sep temb er 9. Hamburg.
169
kündigung des Domkapitels. Datum Hamborg anno domini millesimo quadringentesimo
sexto sequenti die beati Jacobi apostoli gloriosi.
Diplomatische Erörterung: Pergament mit Faltung und großen Feuchtigkeitsflecken,
Plica mit einem an einem Pergamentstreifen angebrachten, etwas beschädigten
Siegel. Auf der Rückseite rechts in der Mitte mehrere spätere Vermerke: Nicolai. Fundacio vicarie quam quondam possidet dominus Hinricus Haghen presentatus per
Hilke Murmesters, matrem proconsulis domini Hinrici Murmesters.198 R[egistra]ta folio
vii. Nicolaus Vinck [subscripsit]. In der Mitte der Rückseite findet sich die genaue
Beschreibung eines von Meynardus und seiner Frau gestifteten Kelchs mit der
Inschrift Ave Maria und Jhesus XPS sowie einem Bild des Erlösers und Bildern Marias und des hl. Johannes, ebenso die Beschreibung eines von ihnen gestifteten
Viaticum mit einem Kalendarium, mit der Angabe von Textanfängen. Darunter
jünger: ad alt[are] Sancti Jacobi Sancti Nicolai. 1400. Redditus 20 m.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Uu 20. D = Copiae Archivi.
Erwähnung: Vollmers, Pfarreien, S. 530–531, 672.
102
1406 September 9. Hamburg.
1406.09.09 — Pp 36
102
Wernerus, Dekan, und das gesamte Kapitel zu Hamburg, bekennen, dass von den drei Wispeln Salz aus der Lüneburger Saline, gekauft vom Nonnenkonvent in Lüne für 1500 m., ein ganzer Wispel Salz Otto de Herslo, Hamburger Domherr, gehöre, der 500 m. von seinem eigenen Geld gegeben habe
Wernerus, Dekan,199 und das gesamte Kapitel der Kirche zu Hamburg, Bremer Diözese, in einem offenen Brief: bekennen, dass von den drei Wispeln Salz aus der
Lüneburger Saline, Verdener Diözese, gekauft vom Nonnenkonvent in Lüne für
1500 m. (pro mille et quingentis marcis), ein ganzer Wispel Salz Otto de Herslo, Hamburger Domherr, der zur genannten Summe 500 m. (quingentas marcas) von seinem
eigenen Geld gegeben habe, mit vollem Recht gehöre. Siegelankündigung. Datum
Hamb[org] anno domini mo ccccvio in crastino nativitatis beate Marie virginis.
Diplomatische Erörterung: Pergament mit Faltung, schmale Plica mit einem Perga-
mentstreifen zur Siegelanbringung, das Siegel fehlt. Rückseite mit Jahr 1406 und
etwas späterer Kanzleinotiz: Iste chorus salis disponetur ad diversos usus prout in libro
memoriarum continetur secundum dispositionem domini Octonis Herslo, videtur in fine
libri novi redditus memor[iarum] in choro. Nota: iste chorus est redemptus et pecunia est
imposita in 100 m. redditibus in Ydzeho, videtur in eodem registro. Dazu N. 69 und rechts
daneben blauer Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Pp 36. D = Copiae Archivi.
198
Ratsherr seit 1464, Bürgermeister 1466–1481.
199
Werner Militis, Dekan 1379–1415, danach (bis) 1426 als Propst belegt, Bruder des Kersten Miles.
170
103
Regesten der Jahre 14 00 –14 4 0
1406 November 17. Hamburg.
1406.11.17 — Vv 40
103
Notariatsinstrument des Johannes Sasse, der bestätigt, dass Johannes Lutow und seine Frau Wobbeke erklärt hätten, dass sie zu ihrem eigenen Seelenheil und für Wobbekes Söhne eine Messestiftung in St. Katharinen mit 24 m. Renten ausstatten wollten
Notariatsinstrument des Johannes Sasse, Kleriker der Schweriner Diözese, Notar
kaiserlicher Autorität. Bestätigt, dass Johannes Lutow und seine Frau Wobbeke erklärt haben, dass sie die Gelder, die auf sie von Wobbekes verstorbenen Söhnen
übergegangen seien, die sie aus der Ehe mit ihrem verstorbenen früheren Mann,
Eidericus de Bergen, gehabt habe, zu ihrem eigenen Seelenheil und dem der Söhne
einsetzen wollten. So wollten sie mit Zustimmung ihrer Erben und Verwandten
eine ewige Elemosyne (Messestiftung, unam elemosinam perpetuam) in St. Katharinen mit 24 m. Renten ausstatten. Davon lägen 14 m. auf dem Erbe oder Haus des
Heyne de Stocken im Grimm (in platea que dicitur in dem Grymme) zwischen den Erben
des Hermann de Mynden und Ludeke Melzingk, und 10 m. auf dem Erbe oder Haus
des Mathias Walkenmole in der Gröningerstraße (in platea Gronyngestrate) zwischen
den Erben des Bernard Lange und des Ludeke Brokenhouet. Die Renten seien jeweils
zur Hälfte an Michaelis [September 29] und Ostern fällig. Der anwesende Johannes
Zybracht, Kleriker der Mainzer Diözese habe der Vergabe zugestimmt, und weder
seine Erben noch die von Johannes Lutow und seiner Frau Wobbeke, werden die
Zahlungen vermindern oder abziehen. Jede m. Rente sei mit 15 m. bezahlt worden. Abgelöste Renten sollten mit Zustimmung der Stifter, Johannes Zybrachts,
ihrer Nachfolger oder anderer Beteiligter ersetzt werden, ausgefallene Zahlungen
müssten aber nicht durch die Stifter ersetzt werden. Johannes Sasse habe diese
Bedingungen auf Bitten des Johannes, seiner Frau Wobbeke und des Johannes Zybracht in einem Notariatsinstrument festgehalten. In nomine domini amen. Anno
nativitatis eiusdem millesimo quadringentessimo sexto, indictione decima quarta, mensis Novembris die decima septima, hora vesperorum, vel quasi pontificatus sanctissimi in
Cristo patris ac domini nostri, domini Innocencii, divina providencia pape septimi, anno
tercio […]. Acta sunt hec in ecclesia parriochiali Sancti Nicolai Hamburgensis […]. Zeugen:
Magister Johannes de Rickerssen, Domherr,200 und officialis prepositure, Johannes de Lů
vicerector,201 Johannes Kale, Vikar an St. Nicolai, Everhard Hohe, Vikar am Dom, sowie
Hinricus Zegelke, Ludeke de Stocken, Conrad Welz und Johannes Ossenwerder, Laien und
Hamburger Bürger.
200
Auch belegt zu 1418 April 17, unten Nr. 232.
201
Als Kirchherr an St. Nicolai belegt 1405–1413, Vollmers, Pfarreien, S. 672.
14 06 D ezemb er 13. o. O.
17 1
Diplomatische Erörterung: Notariatsinstrument auf Papier, am Rand teilweise beschä-
digt, notariell beglaubigte zeitgenössische Kopie des Notariatsinstrument von
Johannes Sassen durch Nicolaus Louwen, Notar kaiserlicher Autorität, ohne Notariatszeichen. Rückseite mit jüngerem, schwer lesbaren, kopfstehenden Kanzleivermerk [Super] fundat[ione …] 29 […] scriptum […] prod[uctum], dazu: R[egistra]ta,
1406 und moderne Signatur in Bleistift; Vv 40.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Vv 40. D = Copiae Archivi.
Erwähnung: Vollmers, Pfarreien, S. 608, 672.
104
1406 Dezember 13. o. O.
1406.12.13 — Q 30 (10), Q 30 (11)
104
Alverick Lappe bestätigt den Übergang des Schlosses Ritzebüttel an Hamburg durch Kauf für 2000 m. und die schrittweise Ablösung der dafür vereinbarten Rentenzahlungen. Von der Restsumme von 900 m. ständen ihm noch 30 m., dem noch minderjährigen Woldeke 60 m. jährlicher Rente zu
Alverick Lappe, Knappe des Stifts Bremen,202 Sohn von Willeke Lappe, auch in Vormundschaft für Woldeke Lappe, Sohn seines Vetters Wolder Lappe,203 in einem offenen Brief: macht bekannt, dass Bürgermeister und Rat von Hamburg ihm und
seinem Vetter einst das Schloss Ritzebüttel im offenen Krieg in rechter Fehde abgewonnen, dann aber in einer freundlichen Vereinbarung mit allen Rechten für
2000 m. lüb. abgekauft hätten. Davon hätten sie 200 m. in guten Pfennigen empfangen, für die restlichen 1800 m. sei eine jährliche Rente von 180 m. vereinbart
worden, nach dem Brief, den die Hamburger darüber ausgestellt hätten, mit der
Vereinbarung, dass die Hamburger die Rente alle Jahre auf September 29 (uppe
sunte Michaelis dach) ganz oder halb ablösen könnten, je m. für 10 m. Pfennige. Entsprechend hätten die Hamburger am letzten Michaelistag Alverik, Woldeke und
seiner Mutter Gezeke 900 m. und die dazugehörigen Renten gezahlt. Davon habe
Alverik 600 m. mit den dazu gehörigen Renten von 60 m. erhalten, von den 900 m.
(bzw. 90 m. Rente), die ihm rechtmäßig zuständen. Von den verbliebenen 90 m.
Renten habe Woldeke nach dem Tod seines Vaters 60 m. erhalten, seine Mutter
aber als Mitgift (vor eren brudschad) 30 m. Dafür habe sie durch ihren Ehemann und
Vormund Heyne Hardenacke, Hamburger Bürger, 300 m. von den gezahlten 900 m.
empfangen, für die Ablösung einer Rente von 30 m. Damit behielten Woldeke noch
60 m. und Alverik 30 m. Rente. Alverik, Woldeke und Heyne würden den Rat von
allen Forderungen aus den gezahlten 900 m. befreien. Der Rat sei weiterhin frei,
die verbleibenden 90 m. Rente nach seinem Belieben abzulösen. Sie und ihre Erben sollten die Rechte Hamburgs am Schloss Ritzebüttel wahren und ihre Renten
ohne die Zustimmung des Rats an niemanden verkaufen oder verpfänden. Alverik
202
Alverich IX. Lappe († ca. 1412).
203
Wolderich VI. Lappe († ca. 1400), verheiratet mit Geseke.
172
Regesten der Jahre 14 00 –14 4 0
und Woldeke würden mit dem Rat so umgehen, wie er und sein Vetter Wolder es
in der ersten Urkunde zugesagt hätten. Siegelankündigung Alveriks für sich und
als Vormund Woldekes und Heynes für seine Frau Geze. Die Ablösung von 90 m.
Rente durch den Rat wird durch Bartelt und Frederick, vedderen geheten de Schulten
und Hermen von der Osten, Burgmann (borchman) zu Hamburg, bezeugt. Siegelankündigung der Zeugen. Geven unnde gescreven […] na Gades bord xiiiic jare dar na imme
soesten Jahre upp sunte Lucien dach.
Diplomatische Erörterung: A1 und A2: zwei Ausfertigungen, große Pergamente mit Fal-
tung, zahlreichen Feuchtigkeitsflecken und Textausfällen. / A1: Plica (überklebt)
mit fünf jeweils an Pergamentstreifen befestigten, gut erhaltenen Siegeln. Rückseite mit Papier überklebt, mit moderner Signatur: Q 30 (10). / A2: Schmale Plica
mit drei jeweils an Pergamentstreifen befestigten Siegeln. Rückseite mit Papier
überklebt, mit moderner Signatur: Q 30 (11). / C: Abschrift des 17. Jahrhunderts
der Kopie einer Register-Überlieferung (des Liber emptionum von 1485).
Überlieferung: A1 = StAHH 710-1 I Threse I, Nr. Q 30 (10). A2 = StAHH 710-1 I Threse I,
Nr. Q 30 (11). C = StAHH 311-1 I 406 („Kopialbuch des Jürgen Rose”), S. 273–278. D
= Copiae Archivi [zusammen].
Edition: Klefeker, Sammlung, 10, A 12 c, S. 216–219; Urkundenbuch zur Geschichte der
Herzöge von Braunschweig und Lüneburg, 10, hrsg. Hans Friedrich Georg Julius
Sudendorf, Hannover 1887, 157, S. 398–401.
Regest: Schütze, 396, S. 364 (sehr knapp).
Erwähnung: Hermann Joachim, Die Erwerbung des Amtes Ritzebüttel durch Hamburg, in: Mitteilungen des Vereins für Hamburgische Geschichte 26 (1906),
S. 353–380, hier S. 372, Anm. 2 (mit Auszug).
105
1407 Februar 2. o. O.
1407.02.02 — Aa 20 a
105
Johan Hoyer aus Lübeck bekennt, dass er Johan Nanne 10 m. jährlicher Rente aus dem Zoll, der Grafenzoll genannt wird, für 120 m. verpfändet habe, die ihm von Hinrik Hamma zugekommen seien
Johan Hoyer aus Lübeck, in einem offenen Brief: bekennt, dass er Johan Nanne204
10 m. (teyn mark) jährlicher Rente aus dem Zoll, der Grafenzoll (greven tolne) genannt wird, für 120 m. (hundert unde twyntych mark) verpfändet habe. Er behalte
sich den Rückkauf der 10 m. für 120 m. immer zu Dezember 25 (Wynachten) vor, mit
einer Kündigungsfrist vor September 29 (sunte Michaelis daghe). Wenn Johan Nanne
und seine Erben Verluste erlitten, würden Johan Hoyer und seine Erben ihn auch
gegenüber Klagen schadlos halten. Gäbe es Probleme mit der Urkunde, dass dem
204
Johannes Nanne, Ratsherr 1380–1417.
14 07 Mär z 4. Hamburg.
173
Empfänger etwas darin fehlen würde (dat her Johan Nanne offte syne erven woer ane
vorsumet weren in dessen breve), würde Johan Hoyer ihnen eine neue Urkunde (enen
anderen breff) ausstellen. Siegelankündigung des Ausstellers. Ghegheven unde ghescreven […] na Godes bord veerteynhundert jar an deme seveden jare in unser leven vruwen
daghe to Lichtmyssen. Teilt weiter mit,205 dass ihm, Johan Hoyer, diese Rente von
Hinrik Hamma, Ficke Hammaes Sohn, zugekommen sei.
Diplomatische Erörterung: Pergament mit Faltung, großen Feuchtigkeitsflecken insbe-
sondere auf der rechten Seite und entlang der Faltlinie, das Blatt ist dünn liniert
und gerahmt, schmale Plica mit einem an einem Pergamentstreifen befestigten
kleineren Siegelrest. Auf der Rückseite Kanzleinotiz: Vorpandinge 10 m. geldes, so
by des graven tollen syn. 1407; über der Jahreszahl und darunter die Altsignaturen
No. 152 und No. 61.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Aa 20 a. D = Copiae Archivi.
106
1407 März 4. Hamburg.
1407.03.04 — Gg 20
106
Clawes Vuerschutte bekennt, in aller Freundschaft von den Bürgermeistern und Ratsherren der Stadt Hamburg geschieden zu sein und dankt nach Ende seines Dienstes für die Bezahlung
Clawes Vuerschutte in einem offenen Brief: bekennt, in aller Freundschaft von den
Bürgermeistern und Ratsherren der Stadt Hamburg geschieden zu sein. Dankt
nach Beendigung seines Dienstes für die Bezahlung. Hat gelobt, dass er niemals
ihr Feind oder der der Stadt werden, sondern mit ihnen, ihrer Stadt und ihren Bürgern auf das Beste umgehen wolle. Siegelankündigung. Gheven unde screven […] to
Hamborgh na Godes bord veertheinhundert jaer darna in deme seveden jare des vrygdaghes
vor Mytvasten.
Diplomatische Erörterung: Pergament mit Faltung und nachgedunkelten Stellen, Plica
mit einem an einem Pergamentstreifen angebrachten, stark beschädigten Siegel.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 20. D = Copiae Archivi.
107
1407 März 12. o. O.
1407.03.12 — Q 11
107
Alverik Lappe, Knappe, gelobt, keine Ansprüche auf das Kirchspiel Nordleda zu erheben, solange das Land Hadeln und das Schloss Otterndorf an Hamburg verpfändet seien
Alverik Lappe, Knappe des Stiftes von Bremen,206 in einem offenen Brief: gelobt für
sich und seine Erben gegenüber den Bürgermeistern und Ratsherren von Hamburg, den Bürgern und der ganzen Gemeinde keinerlei Ansprüche auf das KirchDiese Information ist ein späterer, aber zeitgenössischer Zusatz. Sie ist in kräftiger schwarzer Tinte
geschrieben und wurde offensichtlich erst nach dem Wasserschaden ergänzt.
205
206
Alverich IX. Lappe († ca. 1412).
174
Regesten der Jahre 14 00 –14 4 0
spiel Nordleda (Noerdlede) in Hadeln zu erheben, solange das Land Hadeln und das
Schloss zu Otterndorf (Oterndorpe) durch Herzog Erich den Älteren und Erich den
Jüngeren von Sachsen207 an die Bürgermeister und Ratsherren von Hamburg, die
Bürger und die ganze Gemeinde verpfändet seien. Siegelankündigung. Gheven […]
na Ghodes bort in deme jare als me screef dusent veerhundert unde sovene in sunte Gregorius daghe des hilghen paweses.
Diplomatische Erörterung: A: Pergament mit Faltung, vielen Feuchtigkeitsflecken,
Plica mit einem Schlitz zur Siegelanbringung, das Siegel an einem Pergamentstreifen liegt lose bei. Auf der Rückseite Kanzleinotiz: Lappen 1407, dazu einzelne
römische und arabische Zahlen: 4, 5 und 100. / C: Abschrift des 17. Jahrhunderts
der Kopie einer Register-Überlieferung (des Liber emptionum von 1485).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 11. C = StAHH 311-1 I 406 („Kopialbuch
des Jürgen Rose”), S. 279. D = Copiae Archivi.
108
1407 März 26. o. O.
1407.03.26 — O 17
108
Herder aus Brunsbüttel bezeugt, dass der Rat von Hamburg ihm für seinen von den Ihren auf der Elbe erschlagenen Bruder Genugtuung geleistet habe
Herder aus Brunsbüttel mit seinem Geschlecht in einem offenen Brief: bezeugt,
dass der Rat von Hamburg ihm vol gedan habe für seinen von den Ihren auf der Elbe
erschlagenen Bruder. Spricht sie daher in dieser Angelegenheit für ledig und los.
Kündigt das Siegel des Kirchspiels Brunsbüttel an. Geven [...] na Godes bort verteynhundert jaar da na in deme soveden jare in deme hilghen avende to Passchen der werden
hochtyd.
Diplomatische Erörterung: Nachgedunkeltes Pergament mit Faltung, vielen Feuchtig-
keitsflecken, Plica mit einem Schlitz zur Siegelanbringung, jedoch kein Siegel
erhalten. Rückseite mit dünnem Papier überklebt, ausgeschnitten bei den Kanzleinotizen: 1407. Quitancie. 1.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. O 17. D = Copiae Archivi.
109
1407 Juni 5. o. O.
1407.06.05 — Pp 38
109
Bernhard [I.] und Heinrich [I.], Herzöge von Braunschweig und Lüneburg, verbieten auf Klage Lüneburgs allen, fremdes Salz einzuführen und dann über See aus ihrem Territorium wieder auszuführen, zu Wasser oder zu Lande
Bernhard [I.] (Bernd)208 und Heinrich [I.] (Hinrik),209 Herzöge von Braunschweig und
Lüneburg, machen bekannt, dass ihnen die Äbte, Pröpste sowie Bürgermeister, Rat
207
Erich IV. (1368–1411) und Erich V. (1411–1435), Herzöge von Sachsen-Lauenburg.
208
Herzog von Braunschweig-Lüneburg (1388–1434).
209
Herzog von Braunschweig-Lüneburg (1388–1416).
14 07 Juni 24. o. O.
175
und Bürger der Stadt für sich und die anderen Inhaber der Renten aus der Sülte
mitgeteilt haben, dass etliche Leute von außerhalb und innerhalb des Landes durch
ihre Städte und Burgen Salz führen würden, das nicht in Lüneburg erzeugt sei, und
dass sie dieses von dort über See ausführten, gegen die Privilegien der Lüneburger
Sülte und zu ihrem Schaden, obwohl das Verbot dreimal jährlich zu den eddaghen
von alters her vor Gericht verkündet worden sei, wie sein Vogt zu Lüneburg bestätigt habe. Äbte, Pröpste, Bürgermeister, Rat und Bürger hätten daher darum
gebeten, dies künftig zu verhindern. Herzog Wilhelm [II.] von Braunschweig und
Lüneburg,210 ihr veddere, habe einst der Sülte das Privileg erteilt, das nichts zu ihrem Schaden oder gegen die Einkünfte daraus unternommen werden dürfe. Daher
verbieten sie allen, fremdes Salz einzuführen und dann über See aus ihrem Territorium wieder auszuführen, zu Wasser oder zu Lande. Ihre Vögte, Amtleute, Zöllner
und Diener sollten dies verhindern und die Güter einziehen. Von diesen gehe die
Hälfte an die Herrschaft, die andere Hälfte an den Lüneburger Rat. Entstandene
Kosten sollten von den Einkünften abgezogen werden. Wenn sich die Lüneburger
nicht beteiligten, sollten die Einnahmen allein an die Herzöge gehen. Wenn der
Rat die Schuldigen vor Gericht bringen wolle, solle er daran nicht gehindert werden. Wenn jemand ungehindert fremdes Salz ausführt und es bekannt wird, soll er
in Höhe des Werts der ausgeführten Waren Strafe zahlen. Siegelankündigung der
Herzöge. Gheven […] na Godes bord verteynhundert jar und darna in deme seveden jare an
sunte Bonifacii daghe.
Diplomatische Erörterung: Pergament mit Faltung, Plica mit zwei Einschnitten zur Be-
festigung der Siegel, nur ein beschädigtes, an einem Pergamentstreifen befestigtes Siegel erhalten. Nachgedunkelte Rückseite mit Kanzleivermerk oben in
der Mitte: Libertas data per Bernardum et Hinricum duces Luneborgen[ses] quod nullus
ducat sal non coctum in salina Luneborgen[sis] in dampnum ipsius cum pene adiectione.
Dazu: 1407. N. 28, und unten No. 26.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Pp 38. D = Copiae Archivi.
110
1407 Juni 24. o. O.
1407.06.24 — Ss 5
110
Johan Rodenborch macht bekannt, dass er Dekan und Domkapitel der Hamburger Kirche für 105 m. 7 m. jährlicher Rente von seinem Haus in der Deichstraße für die Vikarie am Altar der 10 000 Ritter am Dom verkauft habe, die nun Johan Hilleman innehabe
Johan Rodenborch in einem offenen Briefe: macht bekannt, dass er mit Zustimmung
seiner Erben und Verwandten Dekan und Domkapitel der Hamburger Kirche 7 m.
jährlicher Rente verkauft habe, von seinem Haus, in dem er wohne, gelegen in der
Herzog von Braunschweig-Lüneburg (1330–1369). Der Vater Bernhards und Heinrichs, Magnus II.
(1369–1373) war ein Vetter Wilhelms.
210
176
Regesten der Jahre 14 00 –14 4 0
Deichstraße (in der dykstrate) zwischen den Häusern von Otte Vlemans nach Osten
und Heyne van dem Haghen nach Westen, zum Nutzen der Vikarie, die nun Johan Hilleman innehabe, am Altar der 10 000 Ritter am Dom, gelegen am Aufgang zum Chor,
für 105 m. gängiger Münze, die er vom Kapitel vollständig erhalten habe. Davon
seien jährlich 3 ½ m. Dezember 25 (oppe Wynachten) und 3 ½ m. Juni 24 (op den dach
der bord sunte Johannis des doͤpers to myddensomere) zu zahlen. Auf dem Haus lägen
nur weitere 16 m. Rente, die die Zahlung der 7 m. nicht beeinträchtigen würden.
Johan und seine Erben würden das Domkapitel von allen Ansprüchen Dritter freihalten. Sie könnten die Rente jährlich zu beiden Terminen mit 105 m. gutes Geldes
ablösen, wenn sie dies ein halbes Jahr vorher ankündigten. Johan und seine Bürgen
oder Mitlober Claws Rodenborch, wohnhaft beim Hopfenmarkt (by dem Hoppenmarkede), und Claws Rybe, wohnhaft im Cremon (in dem Cramone), versprechen dem Dekan, dem Domkapitel und dem Inhaber der Pfründe mit gesamter Hand die Einhaltung der Vereinbarungen. Siegelankündigung Johans und seiner Bürgen. Gheven na
Godes bord in deme dusentsten veerhundertsten unde sevenden yare op den dach der bord
zunte Johannis des doepers to myddensomere.
Diplomatische Erörterung: Pergament mit Faltung und wenigen Feuchtigkeitsflecken,
Plica mit zwei an Pergamentstreifen angehängten Siegeln, drittes Siegel ab.
Rückseite mit dunklem Fleck und etwas späterem Kanzleivermerk in der Mitte
rechts: Super 7 m. redditus ad vicariam Johannis Hillemanni in ecclesia Hamburgen[sis]. Dazu älter: Litera Jo[hannis] Rodenborgh terminus solucionis nativitatis Christi et
Jo[hannis] Baptiste, jünger 1407.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ss 5. D = Copiae Archivi.
111
[1407] 211 August 12. o. O.
[1407.08.12] — Ff 1 o
111
Heinrich, Graf von Holstein, an Hamburg: er habe ihren Brief über die Verhandlungen mit den von Kaden bekommen, diese würden einem Stillstand bis Mai zustimmen
Heinrich, erwählter Bischof von Osnabrück, Graf von Holstein, Stormarn und
Schauenburg,212 an Bürgermeister und Ratsherren der Stadt Hamburg: habe ihren
Brief bekommen, dass sie mit Hartich Heesten wegen des Streits mit den von Kaden
(Koden)213 verhandelt hätten und einen freundlichen Stillstand bis Mai 1 (beth to
Datierung nur ungefähr, im Kontext der Überlieferung und dem Ausgleich zwischen beiden Seiten
1408 Februar 25, unten Nr. 118.
211
212
Heinrich III. (1388–1421), 1402–1410 erwählter Bischof von Osnabrück.
213
Herren auf dem Gut Kaden, Alveslohe, Kreis Segeberg.
14 07 Sep temb er 5. o. O.
17 7
suͤ nthe Walpurghe) anstrebten. Teilt mit, er habe mit den von Kaden darüber gesprochen, sie seien einverstanden. Auch die jeweiligen Unterstützer sollten darin
einbezogen sein. Screven des neghesten vrydaghes na Tyburcii. Siegelankündigung.
Diplomatische Erörterung: Papier mit Faltung, Einschnitt links und der modernen Si-
gnatur in Bleistift Ff 1 o unten rechts. Rückseite mit geringen Resten des Verschlusssiegels und Adresse: Den erliken luden borghermesteren unde radman[nen]
unser staed Hamb[u]rgh unsen sunderg[en] detur.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 1 o. D = Copiae Archivi.
Erwähnung: Lehe, Fehden, S. 163.
112
1407 September 5. o. O.
1407.09.05 — Pp 37
112
Bernhard [I.] und Heinrich [I.], Herzöge von Braunschweig und Lüneburg, erklären, dass sie keine Bede an der Sülte zu Lüneburg hätten, weder nach Pflicht, Recht oder Gewohnheit, obwohl ihnen Rentenbesitzer und Stadt kürzlich Hilfe geleistet hätten
Bernhard [I.] (Bernd)214 und Heinrich [I.] (Hinric),215 Herzöge von Braunschweig und
Lüneburg, in einem offenen Brief: erklären, dass sie keine Bede an der Sülte zu Lüneburg hätten, weder nach Pflicht, Recht oder Gewohnheit, wie auch am Sülzgut.
Doch hätten die Äbte, Pröpste und geistlichen Gemeinschaften wie alle Inhaber von
Gütern und Renten an der Sülte zu Lüneburg sowie Bürger und Rat von Lüneburg
den großen Schaden angesehen, den Herzog Heinrich durch seine Gefangenschaft
erlitten habe, denn Schlösser seien verloren oder so hoch verpfändet worden, dass
sie der Herrschaft nicht mehr nutzten. Die Rentenbesitzer, geistlich und weltlich,
der Rat und die Bürger hätten ihnen daher zur Wahrung von Herrschaft und Leben
zu ihrem Dank Hilfe geleistet. Das solle ihnen künftig nicht zum Nachteil ausschlagen, vielmehr nähmen die Herzöge die Rentenbesitzer, Rat und Bürger und ihren
Besitz, Güter und Renten auf ewig unter ihren Schutz und bestätigen ihnen alle
ihre Privilegien. Sie sagen die Einhaltung der Zusagen zu. Siegelankündigung der
Herzöge. Ghegeven [...] na Godes bord verteynhundert iar, darna in dem seveden iar, des
mandages na sunte Egidii dage.
214
Herzog von Braunschweig-Lüneburg (1388–1434).
215
Herzog von Braunschweig-Lüneburg (1388–1416).
178
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergament mit Faltung und nachgedunkelten Stellen, Plica
mit einem an einem Pergamentstreifen angehängten Siegel in Schutzpapier, das
zweite Siegel wurde unter Beschädigung der Plica und des unteren Teils der Urkunde entfernt. Rückseite mit Kanzleivermerk Mitte rechts: Recognicio Bernardi
et Henrici ducum Luneborgen[sium] quod subsidium eis factam non sit ex debito sed ex
gracia et approbacio privilegiorum antecessorum dictorum ducum. Dazu: 1407. N. 28,
dazu (über 46 in Bleistift) No. 27. Links ein Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Pp 37. D = Copiae Archivi.
113
1407 September 28. o. O.
1407.09.28 — Aa 20 b
113
Hinrik Hamma, Priester, Sohn des verstorbenen Vikke Hammaes, Hamburger Bürger, bekennt den Verkauf an Wibe Hoyger und Johan Hoyger, ihren Sohn, von 10 m. jährlicher Rente aus dem Grafenzoll zu Hamburg aus dem Erbe seines Vaters und seiner Vorfahren
Hinrik Hamma, Priester, Sohn des verstorbenen Vikke Hammaes, Hamburger Bürger,
in einem offenen Brief: bekennt den Verkauf an Wibe Hoyger und Johan Hoyger, ihren Sohn, von 10 m. jährlicher Rente aus dem Grafenzoll (greven tolne) zu Hamburg
mit allen rückständigen Renten (myt allen na standen renten) aus dem Erbe seines
Vaters und seiner Vorfahren, die diesen von den verstorbenen Grafen Heinrich
[II.] (Hinrik) und Nikolaus (Clawes) von Holstein216 zugekommen waren. Hinrik hatte
sich und seinen Erben den Rückkauf vorbehalten, bestätigt aber, dass Johan Hoyger
die 10 m. Rente mit seinem Einverständnis an Johannes Nanne zu Hamburg217 weiterverkauft habe,218 und ebenso die Umwandlung zum ewigen Erbkauf. Siegelankündigung. Gheven […] na Godes bort dusent verhundert jar in dem sovenden jare an sunte
Micheles avende des ersthe enghels. Zeugen: Werner Bere, Hinrik Buxtehude und Arnoldus
Bekker, Hamburger Bürger.
Diplomatische Erörterung: Etwas nachgedunkeltes Pergament mit Faltung, Feuch-
tigkeitsflecken, schmale Plica mit einem Pergamentstreifen für die Siegelanbringung, das Siegel fehlt jedoch. Auf der Rückseite in der Mitte oben mehrere
jüngere Kanzleinotizen: Hinrik Hammaus breff von 10 m. renthe by des graven tollen,
darunter No. 159, 1407 und N. 27. Unten No. und Rasur.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Aa 20b. D = Copiae Archivi.
216
Wahrscheinlich Heinrich II. (1340–1384) und Nikolaus (1340–1397), Grafen von Holstein-Rendsburg.
217
Ratsherr 1380–1417.
218
Siehe oben Nr. 105.
14 07 Ok tob er 28. o. O.
114
179
1407 Oktober 28. o. O.
1407.10.28 — S 16
114
Marquard Struetz, Sohn des Johan Struecz, und Emeke Struetz der Ältere, sein Vetter, Knappen, bekennen, dass sie Hildemer Lopow, Bürgermeister zu Hamburg, für 210 m. ihr Dorf Ohlstedt im Kirchspiel Bergstedt mit allen dazugehörenden Rechten, wie sie ihre Vorfahren genutzt hätten, verkauft hätten
Marquard Struetz, Sohn des Johan Struecz, und Emeke Struetz der Ältere, sein Vetter,
Knappen, in einem offenen Brief: machen bekannt, dass sie mit Zustimmung ihrer Erben, Verwandten und aller Betroffenen dem Hildemer Lopow, Bürgermeister
zu Hamburg, für 210 m. Pfennige, die sie in barem Geld bekommen hätten, ihr
Dorf Ohlstedt (Oldensteden) im Kirchspiel Bergstedt (Berchstede) mit allen dazugehörenden Rechten, wie sie ihre Vorfahren genutzt hätten, verkauft hätten, mit der
Feldmark (veltmarke), Feldern und Äckern, bebaut und unbebaut, Wasserläufen,
Fischereirechten, Holzung, Mast, Bede, Rente, Zinsen und Gerichtshoheit, innerhalb und außerhalb des Dorfes. Wenn jemand gegen Hildemer, seine Erben oder
andere rechtmäßige Besitzer dieser Urkunde rechtmäßige Ansprüche auf das Dorf
oder seine Teile vorbringe, würden sie und ihre Erben und Nachkommen sie davon
befreien, wie das nach Stormarner Recht gelte. Werde das Dorf niedergebrannt,
ausgeraubt oder verwüstet durch Krieg, Fehde oder Mordbrand, sollten Hildemer,
seinen Erben oder den Besitzern der Urkunde von ihnen, ihren Erben und Nachkommen keine Schuld zugewiesen werden. Hildemer gestatte Marquard, Emeke,
ihren Erben und Nachkommen, das Dorf an den vier hohen Tagen zu Ostern für
210 m. zurückzukaufen. Hildemer, seine Erben und die Besitzer der Urkunde sollten das Dorf auf fünf Jahre in vollem Umfang wirtschaftlich nutzen können. Danach würden Marquard, Emeke, ihre Erben und Nachkommen das Dorf an Ostern
zurückkaufen, müssten das aber ein Jahr vorher ankündigen. Ausstehende Abgaben aus dem Dorf stünden aber noch Hildemer, seinen Erben und den Besitzern
der Urkunde zu. Marquard und Emeke geloben Hildemer, seinen Erben und den Inhabern der Urkunde für sich und ihre Erben und Nachkommen die Einhaltung der
Vereinbarung. Siegelankündigung Marquards und Emekes. Screven unde gheven […]
in deme iare na Ghodes bort dusent veerhundert unde seven iaer, in dem hilghen daghe der
twyer apostele sunte Symon unde Judas.
Diplomatische Erörterung: A: Pergament, mit Faltung und zahlreichen Feuchtigkeits-
flecken, Plica mit zwei schlecht erhaltenen Siegeln an Pergamentstreifen, eines
davon lose beigefügt. Rückseite mit Kanzleivermerk in der Mitte: B. Olstede und
R[egistra]ta. Dazu kopfstehend Olstede. / C: Abschrift des 17. Jahrhunderts der
Kopie einer Register-Überlieferung (des Liber emptionum von 1485).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. S 16. C = StAHH 311-1 I 406 („Kopialbuch
des Jürgen Rose“), S. 84–87. D = Copiae Archivi.
Regest: Sarnowsky, Sichern, 33.
180
Regesten der Jahre 14 00 –14 4 0
Erwähnung: Reincke, Territorialpolitik, S. 91, Anm. 190; Günther Bock, Grundherren
des Hamburger Umlandes in der Krise des 14. Jahrhunderts. Die niederadlige
Familie Struz, in: Zeitschrift des Vereins für Hamburgische Geschichte 91 (2005),
S. 1–49, hier S. 34.
115
1407 November 6. o. O.
1407.11.06 — Oo 72
115
Wernerus, Dekan, und Johannes Oppenperde, Domherr zu Hamburg, machen bekannt, dass sie zwischen Nicolaws de Insula, Domkustos zu Hamburg, und Luder de Hamme, Knappen, einen Vergleich über 4 m. Rente aus dem halben Dorf Lütjensee für Küsterei und Schlafschüler ausgehandelt hätten
Wernerus, Dekan,219 und Johannes Oppenperde, Domherr zu Hamburg,220 in einem offenen Brief: machen bekannt, dass sie zwischen Nicolaws de Insula, Domkustos zu
Hamburg,221 wegen der Küsterei und der Schlafschüler auf der einen, und Luder
de Hamme, Knappen, auf der anderen Seite über vier Mark Rente aus dem halben
Dorf Lütjensee (Luttenze), die Domkustos und Schlafschüler aufgrund der Urkunde
der von Hamme fordern, einen Vergleich ausgehandelt haben. Luder solle für die
versessene Rente bis nächste Fasten sechs m. bezahlen, statt der 4 m. solle er aber
ab nächstem Jahr jährlich Domkustos und Schlafschülern in den acht Tagen nach
Martini 2 m. geben, solange das beiden Seiten recht sei. Ansonsten müssten diese
es in den acht Tagen nach Martini kündigen. Die Vereinbarungen gelten aufgrund
der von den Hamme ausgestellten Urkunde, Siegelankündigung der Schlichter
und Luders. Gheven […] na Godes bord verteynhundert jar dar na in deme seveden jare des
sondaghes vor sunte Mertens daghe […].
Diplomatische Erörterung: Etwas nachgedunkeltes Pergament mit Faltung, schmale-
re Plica mit drei kleineren, recht gut erhaltenen Siegeln an Pergamentstreifen.
Rückseite mit jüngerem Kanzleivermerk: Kosterie [und jungcheren] 4 m. [ewigrent].
Ergänzt aus dem halben dorffe Lüteken See. 1407. Daneben rechts quer: Thezaurus.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Oo 72.
Edition: Meyer, Geschichte, XXI, S. 222–223.
219
Werner Militis, Dekan 1379–1415, danach (bis) 1426 als Propst belegt, Bruder des Kersten Miles.
220
Johann Uppenperde, Domherr 1401–1407.
221
Als Propst des Domkapitels zu Lübeck belegt 1398–1400.
14 07 Novemb er 24. [Hamburg ].
116
181
1407 November 24. [Hamburg].
1407.11.24 — X 10
116
Wernerus Militis, Dekan, das Domkapitel sowie Bürgermeister und Rat zu Hamburg erklären, sich über die Abwasserleitung am Dom, Raum für eine Erweiterung des Doms, Grundstücksrechte und weitere offene Fragen geeinigt zu haben
Wernerus Militis, Dekan,222 das Domkapitel sowie Bürgermeister und Rat zu Hamburg in einem offenen Brief: machen bekannt, dass sie sich auf die folgenden Punkte geeinigt hätten.
[1.] Zum ersten hätten Bürgermeister und Rat ihren Bürgern gestattet, den Wasserlauf zu überbauen, der durch die Mauer und den Turm mit dem Abort zum Dom
führe, und dafür auf ihren Erben ein Siel zu bauen. Der Wasserlauf solle aber ewig
freibleiben, und Dekan und Domkapitel versprächen, dafür zu sorgen, keinen gröberen Materialien in das Siel kommen zu lassen. Die Besitzer der Erben sollten das
Siel erneuern, wenn erforderlich, aber nicht mehr überbauen, als es jetzt der Fall
sei. Auch Dekan und Domkapitel sollten sich um ihren Teil des Siels kümmern und
ihn nicht weiter überbauen.
[2.] Die Domschüler sollten das Abort im Turm immer frei benutzen können.
[3.] Zur erforderlichen Verlängerung des Doms werde ein Grundstück östlich des
Chors zwischen dem Domherrenhof und dem genannten Turm reserviert. Dieses
solle nicht anders bebaut werden.
[4.] Bürgermeister und Rat erklären, dass sie das Grundstück zwischen dem Schultor und den Turm der Domherren zum Turm hin nicht bebauen, sondern nur zur
Verbreiterung der Straße nutzen wollten, wenn dies erforderlich sei.
[5.] Wenn Dekan, Domkapitel oder anderen Geistlichen per Testament oder wegen
versessener Zinsen Erben in der Stadt zufielen, sollten sie sie möglichst bald an
weltliche Personen verkaufen. Wenn man sich nicht über den Preis einigen könne,
sollten zwei Domherren und zwei Ratsherren eingesetzt werden, um einen fairen
Verkauf zu ermöglichen. Geistliche, die ein Erbe per Testament erhalten hätten,
sollten es auf Lebenszeit nutzen können, wie auch andere Bürger. Sollten sie die
Erben vorher verkaufen wollen, sollten sie nicht an Geistliche, sondern nach dem
gewöhnlichen Recht verkaufen.
[6.] Die zwei Erben am Kirchhof des Doms, die zur Vikarie am Matthiasaltar des
Doms, die einst Hinric Clune innehatte, gehörten, sollten ewig bei der Vikarie bleiben und für 100 m. Pfennige Schoss zahlen.
[7.] Wenn weltliche Personen in den Domherrenhäusern oder anderen geistlichen
Besitz wohnten, sollten sie die städtischen Pflichten erfüllen, unabhängig von den
sonstigen Belastungen der Erben.
222
Dekan 1379–1415, Bruder des Kersten Miles.
182
Regesten der Jahre 14 00 –14 4 0
[8.] Das Grundstück hinter dem Domherrenhof, das zurzeit meister Johan Vritze bewohne, beim Kutershovene, solle für die Straße und nicht für den Domhof genutzt
werden.
Siegelankündigung von Dekan und Domkapitel sowie Bürgermeister und Rat. Gheven unde screven […] na Godes bord veerteynhundert iar, darna in deme seveden iare, uppe
den avend der hochtyd sunte Katherinen der hilghen iungfrouwen.
Diplomatische Erörterung: Pergament mit Faltung und zahlreichen Feuchtigkeitsfle-
cken, Schrift teilweise verblasst, Plica zwei gut erhaltenen Siegeln des Domkapitels und der Stadt Hamburg an Pergamentstreifen. Rückseite mit Vermerk k und
– auf den beiden eingehängten Pergamentstreifen – zweimal y.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. X 10. D = Copiae Archivi.
Erwähnung: Lorenzen-Schmidt, „Thorn“, S. 11–12, Anm. 25 (längere Auszüge); Jürgen
Bolland, Die Lage der ältesten Wandrahmen in Hamburg. Ein Versuch zur Topographie der Altstadt, in: Zeitschrift des Vereins für Hamburgische Geschichte 55
(1969), S. 27–36, hier S. 30–31, Anm. 8.
117
1408 Januar 26. Hamburg.
1408.01.26 — W 40
117
Wernerus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass Johannes de Rode, Bürger Hamburgs, eine ewige Vikarie am Altar der Hl. Georg und Barbara in St. Nicolai errichten lassen und dafür eine Rente von 35 m. stiften wolle, die der Hamburger Rat jeweils in zwei Raten zahlen werde
Wernerus, Dekan,223 und das Domkapitel zu Hamburg in einem offenen Brief: machen bekannt, dass vor ihnen Johannes de Rode, Bürger Hamburgs, erklärt habe,
dass er mit seinem eigenen Vermögen zu seinem Seelenheil und dem seiner Vorfahren eine ewige Vikarie am neuen Altar der Heiligen Georg und Barbara in St. Nicolai errichten lasse und dafür mit Zustimmung seiner Erben eine Rente von 35 m.
stiften wolle. Diese werde der Hamburger Rat in zwei Raten von 17 ½ m. zahlen,
jeweils zu Ostern und September 29 (in festo sancti Michaelis), wie die darüber ausgestellte Urkunde ausweise. Dekan und Domkapitel kommen der Bitte Johannes’
nach, nehmen die Stiftung an, errichten die Vikarie und nehmen die Einkünfte
unter kirchlichen Schutz. Sollte der Rat die Summe im Verhältnis von 1:15 ablösen
wollen, sollten gleichwertige Renten gekauft werden. Der Vikar solle jedes Jahr
3 m. im Chor von St. Marien verteilen sowie 2 m. an die Vikare und Priester in
St. Nicolai für genauer bestimmte Messen für Johannes’ memoria und die seiner Eltern. Der Vikar solle an den Messen in St. Nicolai teilnehmen und sich dem vicerector unterordnen. Johannes und seine ältesten Nachfahren, männlich oder weiblich,
223
Dekan 1379–1415, Bruder des Kersten Miles.
14 08 Februar 25. Segeb erg.
183
erhalten auf 50 Jahre das Präsentationsrecht, danach gehe es auf ewig an den Hamburger Rat. Datum Hamb[u]rg anno domini millesimo quadringen[tesimo]octavo sequenti
die conversionis sancti Pauli apostolic gloriosi.
Diplomatische Erörterung: Pergament mit Faltung und wenigen Feuchtigkeitsflecken,
Plica mit einem an einem Pergamentstreifen befestigten, schlecht erhaltenen
Siegel. Rückseite mit Kanzleivermerk: Fundatio super vicaria fundata per quondam
Johannem de Rode in ecclesia Sancti Nicolai ad altare Sancti Georgii et Barbare. Ao. 1408,
darunter II.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. W 40. D = Copiae Archivi.
Erwähnung: Vollmers, Pfarreien, S. 510–511.
118
1408 Februar 25. Segeberg.
1408.02.25 — Ff 1 p
118
Thymme und Bruneke von Kaden, Brüder und Knappen versöhnen sich nach ihrer Fehde mit den Bürgermeistern, Ratsherren und der ganzen Gemeinde der Stadt Hamburg
Thymme und Bruneke von Kaden, Brüder und Knappen Holsteins,224 in einem offenen
Brief: versöhnen sich nach ihrer Fehde mit den Herren Bürgermeistern, Ratsherren und der ganzen Gemeinde der Stadt Hamburg. Ankündigung der Siegel von
Thymme und Bruneke. Heinrich, erwählter Bischof von Osnabrück und Graf von
Holstein, Stormarn und Schauenburg225 bestätigt die unter seinem Zutun geschehene Versöhnung und kündigt sein Siegel an. Gheven unde screven [...] to Segheberghe
up unsem slote, na Godes boert veerteynhundert jaer darna in deme achteden jare, uppe
sunte Mathiasdagh des hilghen apostels.
Diplomatische Erörterung: Pergament mit Faltung und vielen, intensiven Feuchtig-
keitsflecken, Ausriss links und leichtem Textverlust, Plica mit drei Schlitzen zur
Siegelanbringung, jedoch keine Siegel mehr erhalten. Plica und Rückseite teilweise mit dünnem Papier überklebt, Kanzleinotiz auf der Rückseite: Veyde breve
und sone breve der van Caden. 1408, darüber jünger, quer: (7), darunter Streichung
(8).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 1 p. D = Copiae Archivi.
Erwähnung: Lehe, Fehden, S. 149 (mit Auszug, vgl. auch ebd., S. 163).
224
Herren auf dem Gut Kaden, Alveslohe, Kreis Segeberg.
225
Heinrich III. (1388–1421), 1402–1410 erwählter Bischof von Osnabrück.
18 4
119
Regesten der Jahre 14 00 –14 4 0
1408 Februar 25. Hamburg.
1408.02.25 — Ff 1 q
119
Bürgermeister und Ratsherren der Stadt Hamburg bezeugen, dass sie und ihre Bürger sich nach der Fehde mit Thymme und Bruneke von Kaden mit diesen vollständig versöhnt hätten
Bürgermeister und Ratsherren der Stadt Hamburg in einem offenen Brief: bezeugen, dass sie und ihre Bürger sich nach der Fehde mit Thymme und Bruneke von
Kaden, Knappen und Brüder, mit diesen vollständig versöhnt hätten; künftig solle
es keine Zwietracht, keinen Unwillen oder keine negativen Annahmen gegen die
von Kaden mehr geben. Siegelankündigung. Gheven unde screven […] to Hamborgh in
den jaren unses Heren veerteynhundert jaer dar na in deme achtenjare uppe sunte Mathias
dagh des hilghen apostels.
Diplomatische Erörterung: Kleines Pergament mit Faltung, vielen Feuchtigkeitsflecken
und einigen Textverlusten, große Plica mit einem Schlitz zur Siegelanbringung,
jedoch kein Siegel mehr vorhanden. Auf der Rückseite oben die jüngere Ziffer (8).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 1 q.
Erwähnung: Lehe, Fehden, S. 163.
120
1408 April 24. Hamburg.
1408.04.24 — Rr 36
120
Wernerus, Dekan, und das gesamte Domkapitel zu Hamburg bezeugen, dass Johannes Vritze alias dictus Wantzenberch, Kanoniker dieser Kirche, jährliche Einkünfte aus der Lüneburger Saline für die Errichtung einer Präbende und einer ewigen Vikarie gestiftet habe
Wernerus, Dekan,226 und das gesamte Domkapitel der Hamburger Kirche in einem
offenen Brief: Johannes Vritze alias dictus Wantzenberch, Kanoniker dieser Kirche,227
habe kürzlich zur Vermehrung des Gottesdienstes und zur Ausbildung der Kleriker
für die Errichtung einer Präbende für einen Kanoniker und einer ewigen Vikarie
zu Ehren Gottes, der Jungfrau Maria und der gesamten himmlischen Heerscharen
freiwillig folgende Einkünfte gestiftet: ein Wispel Salz (chorum salis), von dem ein
Fuder (plaustrum) aus dem gesamten Haus Denkquering[e] und ein halber Fuder (dimidium plaustrum) von der linken Pfanne (wechpanne) in der Lüneburger Saline,
mit allen Rechten und Abgaben, mit jeder Flut zu zahlen seien;228 weiter die Herrschaft (dominium) über ein Viertel der rechten Pfanne im Haus Boninghe mit allen
Rechten; die Herrschaft über ein Viertel der linken Pfannen im Haus Edinghe gekauft von Johannes Abbenborg, Lüneburger Bürger; weiter zwei Wispel Salz gekauft
von Propst und Konvent des Klosters Lüne in zwei Pfannen, für 1000 m. zurückzukaufen; weiter zwei Wispel Salz in der rechten Pfanne gekauft von Propst und
Konvent des Klosters Diesdorf (a domino preposito et conventu monasterii Distorpe),
für 300 m. zurückzukaufen; dazu 20 m. Renten vom Haus des Egghard Schomaker,
226
Dekan 1379–1415, Bruder des Kersten Miles.
227
Als Domherr seit 1400 belegt.
228
Zu den Fluten vgl. oben zu Anm. 57.
14 08 April 24. Hamburg.
185
Bürger Lüneburgs, 20 m. Rente im Haus des [Allekin] Luneborg, 10 m. Rente im Haus
des Johannes Semmelbecker, Ratsherr in Lüneburg, und 10 m. auf den Gütern des
Knappen (famulus) Johannes [Hummers]buttel. Auf Bitten des Johannes nehmen Dekan und Domkapitel diese Güter unter kirchlichen Schutz, errichten auf seinen
Vorschlag eine prebenda lectoralis et doctoralis sowie eine ewige Vikarie in der Kapelle des hl. Vitus am Hamburger Dom und statten diese mit den genannten Mitteln
aus. Auf die Präbende solle nach Johannes’ Wunsch nur ein Magister oder Bakkalar der Theologie aus Paris oder von anderen Universitäten berufen werden, der
das Bibelstudium fördern, viermal jährlich Disputationen durchführen, viermal
jährlich lateinische Predigten für den Klerus und öffentliche Predigten halten und
dabei Johannes und seiner Eltern gedenken solle. Auch für die Vikarie solle ein
geeigneter Priester berufen werden. Nach Johannes’ Tod erhielten seine nächsten und ältesten Verwandte auf 100 Jahre das Präsentationsrecht. Jetzt werde auf
Vorschlag Johannes’ auf die Vikarie Johannes Gherardi, Kleriker der Ratzeburger Diözese, berufen. Die Einkünfte von Präbende und Vikarie würden so aufgeteilt, dass
der Lektor drei Viertel, der Vikar ein Viertel erhalte. Bei Abwesenheit des Lektors
würden die Einnahmen in einer Truhe in der Schatzkammer gesammelt. Bei Ablösung einzelner Einkünfte und Renten sollten diese entsprechend ersetzt werden.
Lektor und Vikar sollten Johannes’ Schwester Ermegard jährlich 6 m. und Ermegard
Reyneberge in Lüneburg jährlich 2 m. zahlen und 20 m. jährlich an bestimmten Feiertagen auf gewohnte Weise im Chor verteilen. Johannes gebe einen großen Hof
an den Lektor und ein kleines Haus daneben an den Vikar der genannten Kapelle.
Allerdings solle Beke Vritze das kleine Haus auf Lebenszeit bewohnen dürfen. Weiter gebe Johannes Dekan und Domkapitel 900 m. Pfennige zur Einsetzung von vier
Predigern (pro quatuor predicatorum). Mit weiteren 200 m. aus den Einkünften von
Lektor und Vikar solle dafür die halbe Herrschaft über das Haus Grevinghe in der
Lüneburger Saline mit allen Einkünften gekauft werden. Von diesen sollten Lektor
und Vikar ihren angemessenen Anteil erhalten und die Prediger jeweils 10 m. bzw.
an jedem Tag, an dem sie predigen, 5 d. Der Glöckner, der am Jahrestag des Johannes läute, erhalte 2 pfd. Die Prediger sollten auch an den Wochentagen (außer
Samstag) predigen, an den Disputationen des Lektors teilnehmen und je nach ihrer
Beteiligung bezahlt werden. Von den restlichen Geldern aus der halben Herrschaft
sollten sich die Prediger 24 m. teilen, Überschüsse sollten eventuelle Verluste vergangener Jahre ausgleichen. Dekan, Kapitel und Lektor sollten einen erfahrenen
Mann zur Verwaltung der Einkünfte für die Prediger bestimmen. Datum Hamborch
anno domini millesimo quadringentesimo octavo die Martis vicesima quarta mensis Aprilis.
186
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergament mit Faltung und Feuchtigkeitsflecken, Plica mit
einem Einschnitt für ein Siegel. Rückseite mit Kanzleivermerken, links: Super […]
prebende lectoralis et vicaria cum institutione quattuorum [arum]. Dazu rechts unten:
Maioris ecclesie prebenda lectoralis, vicaria in capella altaris sancti Viti martiris, Reg[istra]te folio xlviii. 1408. N. 39.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Rr 36.
Edition: Staphorst, I, 2, S. 199–204; Meyer, Geschichte, LVIII, S. 349–355.
Regest: Schütze, 37, S. 364.
121
[vor 1408 Juni 26]. o. O.
[vor 1408.06.26] — Gg 12
121
Junker Johann Herr zu Diepholz an Hamburg: erklärt ihnen für sich und seine Untertanen wegen ihm geschehenen Unrechts die Fehde
Junker Johann, Herr zu Diepholz (iuncher Johan here to Depholte), an Bürgermeister,
Rat und Gemeine zu Hamburg: erklärt ihnen für sich und seine Untertanen wegen
ihm geschehenen Unrechts die Fehde (wilt uwe vyand werden), um seine Ehre zu
wahren, da ihn aus ihrer Stadt ein Priester ohne Ladung und Recht gebannt habe.
Gescreven under unserm secret.
Diplomatische Erörterung: Pergament, mit Resten des Siegels. Deperditum, Kriegsver-
lust [Auskunft des Archivs vom 25.10.2019].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 12. D = Copiae Archivi [danach hier].
Regest: Lehe, Fehden, S. 162.
122
1408 Juni 26. o. O.
1408.06.26 — Ff 1 r
122
Johan, Edler zu Depholt macht bekannt, dass er sich mit der Stadt Hamburg für Diderke van Monnekhusen, Ritter, und Heynecken Monnikhusen, Knappe, versöhnt habe, die seinetwegen Hamburg entsagt hätten
Johan, Edler zu Depholt (Deepholte), in einem offenen Brief: macht bekannt, dass er
sich mit den Bürgermeistern, Ratsherren und der Gemeinde der Stadt Hamburg
für Diderke van Monnekhusen, Ritter, und Heynecken Monnikhusen, Knappe, versöhnt
habe, die seinetwegen Hamburg entsagt hätten. Siegelankündigung. Gheven unde
screven […] in dem jare unses Heren dusent veerhundert unde achte in sunte Johannis et
Pauli daghe der hilghen mertelere.
Diplomatische Erörterung: Pergament mit starken Feuchtigkeitsflecken und daraus
resultierenden leichten Textverlusten, Plica mit Schlitz und abgerissenem Pergamentstreifen, das Siegel mit Resten des Pergamentsstreifens ist lose beigelegt
und gut erhalten. Kanzleinotizen auf der Rückseite: Ene sone des heren van Depholte vor den van Monnikh[usen]. 1408. Quer: (9). Dazu moderne Signatur mit Bleistift:
Ff 1 r.
14 08 August 24. o. O.
187
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 1 r. D = Copiae Archivi [offenbar mit
Angabe der Altsignatur: Ff 1 No. 9].
Regest: Lehe, Fehden, S. 163.
123
1408 August 24. o. O.
1408.08.24 — Ff 4 [1]
123
Die Hamburger Ratssendeboten Meynard Buxtehude, Clawes Schoke, Meynard Henninghes und Diderik van dem Haghen machen bekannt, dass sie sich mit Keno [II.] tom Broke geeinigt hätten, zum Nutzen der Städte und des Kaufmanns gegen die Vitalienbrüder und ihre Unterstützer vorzugehen
Die Hamburger Ratssendeboten Meynard Buxtehude, Bürgermeister,229 Clawes Schoke,230 Meynard Henninghes231 und Diderik van dem Haghen,232 Ratsherren, in einem
offenen Brief: machen bekannt, dass sie sich mit Keno [II.] tom Broke (Kenen van
dem Broke)233 freundlich geeinigt haben, zum Nutzen der Städte und des Kaufmanns
gegen die Vitalienbrüder und ihre Unterstützer vorzugehen.
[1.] Keno und die Städte versprechen sich verlässlichen Umgang.
[2.] Keno solle keine Vitalienbrüder zwischen Weser und Ems dulden. Würde sie jemand unterstützen, solle Keno mit aller Macht gegen ihn vorgehen, ebenso wenn
jemand jenen helfe, die die Vitalienbrüder gegen Keno und die Städte unterstützt
hätten und jetzt geschlagen seien, Enne van Norden, Hayke van Valren und Ayelde van
Osterhusen. Wenn Keno es nicht alleine schaffe, solle er es Hamburg und den Städten mitteilen, dann würden sie ihm mit der erforderlichen Macht zu Hilfe kommen.
[3.] Die von den Hamburger Ratssendeboten mit Kenos Hilfe gewonnenen Burgen
(slote), Nesse, der Turm zu Erle, Berum, de Greet und Osterhusen, die sollten Keno und
seine Erben haben, zu seinem Nutzen, dem der Städte und des Kaufmanns. Diese
Burgen und die Burgen, die Keno zugehören, sollen den Städten zum Schutz für
den Kaufmann offenstehen.
[4.] Die anderen Burgen und Befestigungen, die die Ratssendeboten zusammen mit
Keno erobert und zerstört hätten, die Burg Ennos zu Norden, Pilsum, Valren und die
anderen, sollten nicht wieder aufgebaut und besetzt werden ohne Zustimmung
beider Seiten.
[5.] Auch die Hofstätten, Steine, Leute, Recht und Herrschaft bei diesen Burgen
sollten zum Schutz des Kaufmanns, seinem und der Städte Nutzen in den Besitz
Kenos übergehen.
229
Ratsherr seit 1395, Bürgermeister 1397–1413.
230
Nikolaus Schoke, Ratsherr 1388–1417.
231
Ratsherr 1402–1418.
232
Ratsherr 1399–1413.
233
Häuptling des Brokmerlandes in Ostfriesland, 1399–1417.
188
Regesten der Jahre 14 00 –14 4 0
[6.] Häuptling Hiske von Emden solle seinen Besitz innerhalb und außerhalb Emdens
gebrauchen, aber nicht die eroberten Burgen beanspruchen. Der von Hiske und
Keno ausgestellte Brief solle davon unberührt sein.
[7.] Hiske, seine Erben und Untertanen und andere sollten die Sielrichter der Siele zu Valren und Osterhusen bei ihrem Recht und ihren Renten lassen. Wenn sie
dagegen verstießen, solle Keno die Burg zu Valren wieder aufbauen, zu seinem
Schutz und dem der Kaufleute.
[8.] Die Verträge über Strandgut (seevunde) und Freiheit, die Keno Hamburg und
den Städten besiegelt habe, sollten davon unberührt bleiben. Alle Kaufleute sollen
mit den alten Zöllen fahren, ebenso Kenos Untertanen in Hamburg.
Die Ratssendeboten versprechen Keno auch im Namen der gemeinen Städte die
Einhaltung der Vereinbarungen. Siegelankündigung der Hamburger. Vermittler
sind die Ratsherren zu Kampen, Wiichman Oversteͤghe, Ghoswiin van Campen und Ludeloph Voerne, sowie zu Amsterdam, Clawes Petersson. Gheven unde screven […] na Ghodes boert dusend veerhundert unde achte in sunte Bartholomei daghe, des hilghen apostels.
Diplomatische Erörterung: Großes Pergament mit Faltung, Plica mit einem an einem
Pergamentstreifen angehängten, großen Siegel. Rückseite mit jüngerem Kanzleivermerk: Eine verdracht ghemaket mit juncker Kenen van dem Broke etc. nha verstoringhe und nedderlegginge dher vittalien broedere und etliker husze und veste in Freszlanden. Ao. 1408.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 4 [1]. D = Copiae Archivi.
Regest: HR I, 5, 532, S. 427.
124
1408 August 24. o. O.
1408.08.24 — Ff 4 [2]
124
Häuptling Keno [II.] tom Broke macht bekannt, dass er sich mit den Hamburger Ratssendeboten Meynard Buxtehude, Clawez Scoke, Meynard Henninghes und Diderke van dem Haghen geeinigt habe, zum Nutzen der Städte und des Kaufmanns gegen die Vitalienbrüder und ihre Unterstützer vorzugehen
Häuptling Keno [II.] tom Broke (Keno van dem Broke)234 in einem offenen Brief [Gegenurkunde zu Nr. 123]: macht bekannt, dass er sich freundlich mit den Hamburger Ratssendeboten Meynard Buxtehude, Bürgermeister,235 Clawez Scoke,236 Meynard
Henninghes237 und Diderke van dem Haghen,238 Ratsherren, geeinigt habe, zum Nutzen
der Städte und des Kaufmanns gegen die Vitalienbrüder und ihre Unterstützer
vorzugehen.
234
Häuptling des Brokmerlandes in Ostfriesland, 1399–1417.
235
Ratsherr seit 1395, Bürgermeister 1397–1413.
236
Nikolaus Schoke, Ratsherr 1388–1417.
237
Ratsherr 1402–1418.
238
Ratsherr 1399–1413.
14 08 August 24. o. O.
189
[1.] Er und die Städte versprechen sich verlässlichen Umgang.
[2.] Er werde keine Vitalienbrüder zwischen Weser und Ems dulden. Würde sie jemand unterstützen, werde er mit aller Macht gegen ihn vorgehen, ebenso wenn
jemand jenen helfe, die die Vitalienbrüder gegen ihn und die Städte unterstützt
hätten und jetzt geschlagen seien, Enne van Norden, Hayke van Valren und Ayelt van
Osterhusen. Wenn er es nicht alleine schaffe, werde er es Hamburg und den Städten
mitteilen, dann sollten sie ihm mit der erforderlichen Macht zu Hilfe kommen.
[3.] Die von den Hamburger Ratssendeboten mit seiner Hilfe gewonnenen Burgen
(slote), Nesse, der Turm zu Erle, Berne, de Gret und Osterhusen, die werden er und
seine Erben haben, zu seinem Nutzen, dem der Städte und des Kaufmanns. Diese
Burgen und die Burgen, die ihm zugehörten, sollten den Städten zum Schutz für
den Kaufmann offenstehen.
[4.] Die anderen Burgen und Befestigungen, die die Ratssendeboten zusammen mit
ihm erobert und zerstört hätten, Ennenborg zu Norden, Pylsum, Valren und die anderen, sollten nicht wieder aufgebaut und besetzt werden ohne Zustimmung beider
Seiten.
[5.] Auch die Hofstätten, Steine, Leute, Recht und Herrschaft bei diesen Burgen
sollten zum Schutz des Kaufmanns, seinem und der Städte Nutzen in seinen Besitz
übergehen.
[6.] Hyske von Emden solle seinen Besitz innerhalb und außerhalb Emdens gebrauchen, aber nicht die eroberten Burgen beanspruchen. Der von Hiske und ihm ausgestellte Brief solle davon unberührt sein.
[7.] Hiske, seine Erben und Untertanen und andere sollten die Sielrichter der Siele
zu Valren und Osterhusen bei ihrem Recht und ihren Renten lassen. Wenn sie dagegen verstießen, werde er die Burg zu Valren wieder aufbauen, zu seinem Schutz
und dem der Kaufleute.
[8.] Die Verträge über Strandgut (seevunde) und Freiheit, die er Hamburg und den
Städten besiegelt habe, sollten davon unberührt bleiben. Alle Kaufleute sollen mit
den alten Zöllen fahren, ebenso seine Untertanen in Hamburg.
Keno verspricht den Ratssendeboten von Hamburg die Einhaltung der Vereinbarungen. Vermittler sind die Ratsherren zu Kampen, Wychman Oversteghe, Gosswin
van Campen und Ludolff Vorne, sowie zu Amsterdam, Clawes Peterszon. Siegelankündigung Kenos. Gheven unde screven […] na Godes bort mo cccco und in deme achteden jare
in sunte Bartholomeus daghe des hylghen apostels.
190
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Großes Pergament mit Faltung, Plica mit einem an einem
Pergamentstreifen angehängten, relativ gut erhaltenen Siegel in rotem Wachs.
Auf der Rückseite Vermerk n, dazu auf der Rückseite des Pergamentstreifens
R[egistra]ta, 1408 und weiteres Zeichen.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 4 [2]. D = Copiae Archivi.
Edition: Ostfriesisches UB, 1, 215, S. 181–182.
Regest: HR 5, 533, S. 428.
Erwähnung: Ballheimer, 4, S. 4.
125
1408 Oktober 18. Hamburg.
1408.10.18 — Q 80
125
Woldeke Lappe, Knappe, und Heyne Hardenacke, Hamburger Bürger, quittieren den Empfang von 120 m. Renten von den Kämmerern der Stadt Hamburg für die Jahre 1407 und 1408
Woldeke Lappe, Knappe,239 und Heyne Hardenacke, Hamburger Bürger, in einem offenen Brief: quittieren den Empfang von 120 m. Renten durch Hermen Langen240 und
Hinrick Yenevelde,241 Kämmerer der Stadt Hamburg, für zwei Jahre, d. h. für die Jahre
1407 und 1408 (dusent cccc unde vii, dusent cccc unde viii) jeweils 60 m. Rente, die Woldeke wegen seines Vaters vom Rat von Hamburg bekomme. Siegelankündigung.
Gheven to Hamburg na Godes bord dusent veerhundert unde achte jar in sunte Lucas daghe
des hilghen evangelisten.
Diplomatische Erörterung: Pergament mit Faltung, erheblichen Feuchtigkeitsschäden
vor allem entlang der Faltlinien und daraus folgenden Textverlusten, Plica mit
zwei an Pergamentstreifen angebrachten Siegeln, das zweite beschädigt. Auf der
Rückseite Kanzleinotiz: Lappe 1408.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 80. D = Copiae Archivi.
126
1408 November 11. o. O.
1408.11.11 — Oo 100
126
Bertram Sabel und Johannes Hummersbuttele, Knappen machen bekannt, dass sie Dekan und Domkapitel zu Hamburg zum Nutzen etlicher Vikarien für 100 m. Pfennige 10 m. jährlicher Rente aus dem Dorf Elmshorst verkauft hätten
Bertram Sabel und Johannes Hummersbuttele, Knappen, in einem offenen Brief: machen bekannt, dass sie mit Wissen von Margarete, der Ehefrau Bertrams, und der
Mutter Johanns Dekan und Domkapitel zu Hamburg zum Nutzen etlicher Vikarien und anderer Dinge in der Hamburger Kirche für 100 m. Pfennige 10 m. jährlicher Rente verkauft hätten, die von ihnen und ihren Erben jeweils innerhalb der
acht Tage nach November 11 (bynnen den achtedaghen sunte Mertens) in Hamburg
239
Sohn von Wolderich VI. Lappe († ca. 1400) und seiner Frau Geseke.
240
Ratsherr 1380–1414.
241
Hinrik Jeneveld, Ratsherr 1400–1427.
14 08 Novemb er 15. Lüb eck .
191
zu zahlen seien, aus dem Dorf Elmshorst (Elmeshorst) im Kirchspiel Bargteheide
(Berchteheyle), von Wiesen, Weiden, Holzungen, Diensten, Mieten, Ackern und allen
Rechten, Zubehör und Nutzen des Dorfes. Ihre Erben sollten diese Rechte wahren
und freihalten von allen Ansprüchen Dritter und Dekan und Domkapitel schadlos halten. Bertram und Johann könnten die Renten innerhalb der acht Tage nach
November 11 ablösen, wenn sie es innerhalb von acht Tagen nach Juni 24 ankündigten und das Grundkapital (hovetsumme) mit der Rente erstatteten. Bruneke und
Henneke, Vetter, gheheten Tralowen, Knappen, bürgen für Bertram, Johann und ihre
Frauen mit gesamter Hand. Falls einer der Bürgen versterbe, sollten Bertram, Johann, sakewolden, oder ihre Erben auf innerhalb von 14 Tagen danach nach Hamburg einreiten, bis Ersatz benannt sei. Siegelankündigung Bertrams, Johanns und
der beiden Bürgen. Gheven […] na Godes bord verteynhundert jar dar na in deme achten
jare in sunte Mertens daghe.
Diplomatische Erörterung: Inseriert in Vidimus des Domkapitels von 1423 Septem-
ber 28, unten Nr. 313, Pergament mit Faltung, schmale Plica mit einem größeren,
nur teilweise erhaltenen, aber restaurierten Siegel.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Oo 100. D = Copiae Archivi.
127
1408 November 15. Lübeck.
1408.11.15 — Oo 58
127
Johan Hoyers, Lübecker Bürger, bekennt, dass er Dekan und Domkapitel zu Hamburg für 60 m. Hamburger Pfennige seine zwei Hufen Land in Meiendorf verkauft habe, das jetzt Henneke Wolmers und Hinrik Koster bebauten
Johan Hoyers, Lübecker Bürger, bekennt, dass er Dekan und Domkapitel zu Hamburg
für 60 m. Hamburger Pfennige seine zwei Hufen Land in Meiendorf (Meyendorpe)
verkauft habe, das jetzt Henneke Wolmers und Hinrik Koster bewohnten und bebauten, mit allen dazu gehörigen Äckern, Wassern, Wiesen, Weiden, Holzung, Mieten,
Diensten, allen Rechten und Nutzungen, wie er sie dort seit langer Zeit besessen
habe. Er und seine Erben würden Dekan und Kapitel vor allen Forderungen schützen und schadlos halten. Darüber habe er diese Urkunde ausgestellt. Er und seine
Erben behielten sich jedoch vor, die zwei Hufen jedes Jahr in den acht Tagen nach
November 11 (bynnen den achte dagen sunte Mertens) zurückzukaufen, wenn sie es
ein Jahr vorher ankündigen. Er und seine Erben würden behilflich sein, wenn Zahlungen ausbleiben würden. Wenn er oder seine Erben Dekan und Domkapitel die
60 m. vollständig zurückbezahlt hätten, sollten sie ihnen die vorliegende Urkunde
zurückgeben. Johan gelobt für sich und seine Erben die Einhaltung der Zusagen.
Siegelankündigung Johans. Geven […] to Lubeke na Godesbord verteynhundert jar, darna
in dem achten jare, des donnerdages na sunte Merten des hilgen bischoppes.
192
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergament mit Faltung, schmale Plica mit einem Siegel in
rotem Wachs an einem Pergamentstreifen. Rückseite mit Kanzleivermerk in der
Mitte: Super duobus mansis in Meyendorpe emptis a Johanne Hoyers. 1404 [!, verblasst].
Dazu alt N. 43 und mit Bleistift die moderne Signatur Oo 58.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Oo 58. D = Copiae Archivi.
128
1409 Februar 1. Bremen.
1409.02.01 — Bb 19
128
Herbordus Schene, Cellerar des Bremer Doms, an Hamburg: bittet um Hilfe für seinen Kleriker Hermann, ewiger Benefiziat an derselben Kirche, in der Angelegenheit mit Ymmeke, Frau des verstorbenen Gottfried Schene
Herbordus Schene, Cellerar des Bremer Doms, an Bürgermeister und Rat der Stadt
Hamburg: bittet um Hilfe für seinen Kleriker Hermann, ewiger Benefiziat an derselben Kirche, in der Angelegenheit mit Ymmeke, Frau des verstorbenen Gottfried
Schene, ihres Bürgers, weil dieselbe Ymmeke den von ihm dafür Beauftragten die
Schulden bezahlt habe, die sie ihm nach der zwischen ihr und ihm vor dem Rat
geschlossenen Vereinbarung schuldig gewesen sei. Er befreie daher Ymmeke und
ihre Erben von allen Forderungen, auch in der Zukunft. Die bei ihrem Bürger Albertus Calveswanghen hinterlegte Verpflichtungsurkunde erkläre er für ungültig und
nichtig. Siegelankündigung Herbords. Datum et actum Bremensis anno domini mo cccco
ixo in profesto purificacionis beate Marie virginis gloriose.
Diplomatische Erörterung: Kleineres Pergament mit Tintenfleck, Plica mit einem an
einem Pergamentstreifen eingehängten, etwas beschädigten Siegel. Rückseite
mit alter Signatur oben rechts Cl. IX B n. 56 b 1. Dazu links Bleistiftnotiz Stift Brehmen, rechts unten Ziffer 3.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Bb 19.
129
1409 Juli 12. o. O.
1409.07.12 — Q 26 a
129
Erich der Ältere, Herzog von Sachsen, gestattet die Aufräumung der Bille und ihre Nutzung zum Flößen von Fadenholz, gegen Abgaben beim Bergedorfer Schloss
Erich der Ältere, Herzog von Sachsen, Engern und Westfalen,242 in einem offenen
Brief: gestattet die Aufräumung der Bille und ihre Nutzung zum Flößen von Fadenholz (vademholt) in solcher Länge, wie es auf der Alster üblich sei, nach Hamburg
gegen einen Schilling pro Faden Holzes, zu entrichten auf dem Bergedorfer Schloss.
Behält sich und seinen Erben die Rücknahme dieser Zusage mit einer halbjährigen
Kündigungsfrist beim Rat von Hamburg vor. Siegelankündigung (secretum). Gheven
unde screven […] na Godes boert veerteinhundert jaer darna in deme negheden jare in sunte
Margareten avende der hilghen junkfrouwen etc.
242
Erich IV. von Sachsen-Lauenburg (1368–1411).
14 09 Juli 13. o. O.
193
Diplomatische Erörterung: A: Pergament mit Faltung und wenigen Feuchtigkeitsfle-
cken, Plica mit einem Siegel an einem Pergamentstreifen, der auf der Rückseite
eine Aufschrift trägt: R[egistra]ta n. Kanzleinotiz auf der Rückseite: De Billen. L. /
C: Abschrift des 17. Jahrhunderts der Kopie einer Register-Überlieferung (des
Liber emptionum von 1485).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 26 a. C = StAHH 311-1 I 406 („Kopialbuch des Jürgen Rose“), S. 225–226. D = Copiae Archivi.
Erwähnung: Reincke, Territorialpolitik, S. 85, Anm. 170.
130
1409 Juli 13. o. O.
1409.07.13 — Tt 63
130
Johannes van Hachede, Vikar an St. Petri, macht bekannt, dass er Dekan und Domkapitel zu Hamburg für 120 m. zum Nutzen seiner Vikarie 8 m. jährlicher Rente verkauft habe
Johannes van Hachede, Vikar an St. Petri, macht bekannt, dass er Dekan und Domkapitel zu Hamburg für 120 m., die er bar empfangen und zu seinem Nutzen verwandt
habe, zum Nutzen seiner Vikarie 8 m. jährlicher Rente verkauft habe. Diese besitze
er erblich auf folgenden Erben: 6 m. auf dem Haus des Hinrik van Hachede in der
Reichenstraße (in der riken straten), gelegen zwischen den Erben des Hinrik Yenefelde
und des Heyne Sasse, des Bäckers, und 2 m. im Haus des Heyne Vulzike beim Schultor
zwischen den Erben des Hermen Hagedorn und der Friderike Bocholt. Davon sollen
jährlich ohne Widerspruch 4 m. an Michaelis [September 29] und 4 m. zu Ostern
gezahlt werden. Vikare, Dekan und Domkapitel sollen von allen Sprüchen Dritter
frei sein. Dafür behalten Johannes und seine Erben das Recht, die Rente jährlich für
120 m. zurückzukaufen, wenn das ein Vierteljahr vorher angekündigt wird und das
Geld in einer Summe zurückgezahlt wird. Dies gelobt Johannes für sich und seine
Erben mit Ausnahme von Hartwich und Bernd Wolmers, Kinder seiner Schwester, mit
Zustimmung ihres Vormunds Marquard Wolmers und Hartich Scroders, mit gesamter
Hand. Siegelankündigung des Ausstellers, Marquards und Hartichs. Gheven unde
screven […] na Godes bord veerteynhundert jar, darna in deme negenden jare in sunte Margareten daghe der hilgen juncfrowen.
Diplomatische Erörterung: Pergament mit Faltung, Plica mit drei an Pergamentstreifen
eingehängten kleineren Siegeln. Rückseite mit Kanzleivermerk in der Mitte: Super octo marcarum redditibus ad vicariam domini Johannis Hachede in ecclesia St. Petri.
1409.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Tt 63. D = Copiae Archivi.
Erwähnung: Vollmers, Pfarreien, S. 485–486.
19 4
131
Regesten der Jahre 14 00 –14 4 0
1409 August 10. o. O.
1409.08.10 — S 37
131
Johan Lutteke macht bekannt, dass er das Holz, genannt de Odene, von Reymer van Nygenborch für sich und seine Erben für 24 m. lüb. übernommen habe, dass dieses aber jedes Jahr November 11 wieder abgelöst werden könne
Johan Lutteke in einem offenen Brief: macht bekannt, dass er das Holz, genannt
de Odene, von Reymer van Nygenborch für sich und seine Erben für nur 24 m. lüb.
übernommen habe, dass dieses aber jedes Jahr November 11 (sunte Mertens dach)
von Reymer und seinen Erben wieder für die genannte Summe abgelöst werden
könne. Was er davon gewinne bis 1410 September 29 (to sunte Michelis dage vort
over eyn jar), an Verpfändung, Mast und anderem (dat sy in pandinge, in maste, edder
woran dat sy), davon solle er zwei Teile behalten und den dritten Teil Reymer geben.
Weder er noch Reymer sollten in dieser Zeit Holz allein hauen oder hauen lassen,
einer tue das mit Zustimmung und Willen des anderen (ok en scal Reymer noch ik van
nu an wente to sunte Michelis dage vort over en iar na utgift desses breves ut dem vorscrevenen holte nenerleye holt houwen edder houwen laten unser en, en do dat na des anderen
rade unde willen). Wenn die Frist vorbei sei, seien diese Regelungen ungültig. Siegelankündigung von Johann Lutteke. Zeugen: Cord van Holthusen, Heyne van Peyne und
Johan Michelke; kündigen ebenfalls ihr Siegel an. Na Godes bort verteyn hundert jar
darna in dem negeden jar en hilgen dage sunte Laurencius des hilgen mertelers.
Diplomatische Erörterung: Pergament mit Faltung und einigen größeren Feuchtig-
keitsflecken, Plica mit vier Pergamentstreifen zur Siegelanbringung, davon sind
jedoch nur die beiden letzten Siegel relativ schlecht erhalten (wohl die der beiden letzten Zeugen). Auf der teilweise stark nachgedunkelten Rückseite zeitgenössische Kanzleinotiz: Litera super Odene lig[nis] emptio[nem], darunter jünger:
Super lignum Odene. 1409, und X 25. Unten mit Bleistift: 375.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. S 37. D = Copiae Archivi.
132
[14]10. o. O.
[14]10 — Oo 151
132
Erich der Jüngere, Herzog von Sachsen, [stellt] für sich und seine Gattin für Kirche und Vikare [d. h. dem Hamburger Domkapitel] [eine Urkunde aus, u. a. über] 100 m. Geldes und Renten von 10 und 20 m.
Erich der Jüngere, Herzog von Sachsen, [Engern und Westfalen],243 in einem offenen Brief: [stellt] für sich und seine Gattin244 für Kirche und Vikare (kerken und
vicari) [d. h. dem Hamburger Domkapitel]245 [eine Urkunde aus, in der es u. a.] um
100 m. Geldes und Renten von 10 und 20 m. [geht]. Siegelankündigung. Gheven unde
screven […] jar darna in dem teynden jare des negesten sondages vor sunte […].
243
Erich V., Herzog von Sachsen-Lauenburg (1411–1435).
244
Elisabeth († vor 1416), verheiratet seit 1404, Tochter des Grafen Nikolaus von Holstein.
245
Nach D.
1410 Februar 10. Hamburg.
195
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken
und Löchern, weitgehend zerstört, Text an vielen Stellen stark ausgeblichen mit
umfangreichem Textverlust, die Urkunde ist daher weitgehend unleserlich. Plica
mit Schlitzen zur Siegelanbringung, jedoch weder Siegel noch Pergamentstreifen vorhanden. Auf der mit Papier überklebten Rückseite nur die moderne Signatur mit Bleistift: Oo 151.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Oo 151. D = Copiae Archivi [zwar auch
schon zu einem Zeitpunkt angefertigt, als die Urkunde sehr stark verderbt war,
aber offenbar noch nicht so stark wie heute; daher danach hier].
133
1410 Februar 10. Hamburg.
1410.02.10 — Q 82
133
Woeldeke Lappe, Knappe, und Heyne Hardenacke, Hamburger Bürger, quittieren den Empfang von 60 m. von den Kämmerern Hamburgs aus der jährlichen Rente beim Hamburger Rat, gezahlt für das Jahr 1409
Woeldeke Lappe, Sohn des Woelder Lappe,246 Knappe, und Heyne Hardenacke, Hamburger Bürger, in einem offenen Brief: quittieren den Empfang von 60 m. von Johannes
Nanne247 und Hinrik Jeneveld,248 Kämmerern der Stadt Hamburg, aus der jährlichen
Rente Woeldekes wegen seines Vaters beim Hamburger Rat. Die 60 m. betreffen die
Zahlung des Jahres 1409 (veerteynhundert unde neghenne lestverleden). Sprechen den
Rat von weiteren Forderungen dazu frei. Ankündigung der Siegel von Woeldeke
und Heine. Gheven unde screven […] to Hamborgh in den jaren der boert unses [Heren]
veerteynhundert jaer unde teyne des eersten mandaghes in der vasten.
Diplomatische Erörterung: Pergament mit Faltung und zahlreichen Feuchtigkeitsfle-
cken, breite Plica mit zwei Schlitzen für Siegelanbringung, davon jedoch nur das
zweite Siegel an Pergamentstreifen erhalten. Kanzleinotiz auf der Rückseite:
Lappen. 1410.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 82. D = Copiae Archivi.
134
1410 Februar 28. Hamburg.
1410.02.28 — Tt 36, Tt 37 [I]-[II]
134
Notariatsinstrument des Johannes Sassen, der bezeugt, dass Wernerus, Dekan, und das Domkapitel zu Hamburg die Einigung zwischen Nicolaus Grube, Vikar am Dom, und Johannes Lutteke, Vikar an St. Petri, über eine Zusammenlegung von Gärten und eine jährliche Rentenzahlung als Ausgleich bestätigt hätten
Notariatsinstrument des Johannes Sassen, Kleriker aus der Diözese Schwerin, kaiserlicher Notar. Bestätigt, dass vor Wernerus, Dekan,249 und dem gesamten Domkapitel zu Hamburg erschienen seien Nicolaus Grube, Inhaber der Pfründe an der
246
Wolderich VI. Lappe († ca. 1400).
247
Ratsherr 1380–1417.
248
Ratsherr 1400–1427.
249
Dekan 1379–1415, Bruder des Kersten Miles.
196
Regesten der Jahre 14 00 –14 4 0
Kapelle St. Cecilie im Umgang des Doms, und Johannes Lutteke, Inhaber der Pfründe
am Altar St. Matthei in der Petrikirche. Nicolaus habe erklärt, dass Dekan und Kapitel einst Garten und Feld, die zur Pfründe des Werner Gerbode aus der Nikolaikirche gehört hätten, mit dem benachbarten Garten des Nicolaus bzw. der Pfründe
an St. Cecilie auf dessen Bitte nach reiflicher Überlegung mit Zustimmung Werner
Gerbodes vereinigt hätten, und zwar so, dass Nicolaus und seine Nachfolger dafür
Werner und seinen Nachfolgern jährlich 3 m. Rente zahlen sollten, worüber eine
Urkunde erstellt worden sei. Nunmehr habe derselbe Nicolaus Dekan und Domkapitel gebeten, den Acker, der zur Pfründe des Johannes Lutteke an St. Petri gehöre, mit seinem, diesem benachbarten Garten und Feld zu vereinen. Dekan und
Domkapitel folgen dem insofern, als sie vom Feld des Johannes Lutteke einen Teil
abtrennen, der an die Melkeberg benannte Weide und an den Garten des Nicolaus
angrenze, und diesen mit der Pfründe des Nicolaus vereinigten, allerdings so, dass
Nicolaus und seine Nachfolger Johannes und seinen Nachfolgern jährlich innerhalb der Woche nach Februar 22 (Petri ad Cathedram) 2 m. Rente zahlen sollten. [A1
und A3 mit Zusatz, dass die Zahlungen vom kommenden Februar 22 für vier Jahre nicht geleistet werden müssen]. Zeugen: Nicolaus Schowenborg[h], ewiger Vikar,
und Tidericus Herdegessen, Kämmerer der Hamburger Kirche. In nomine domini amen.
Anno nativitatis eiusdem millesimo quadringentesimo decimo indiccione tercia die ultima
mensis februarii hora terciarum vel quasi, pontificatus sanctissimi in Christo patris ac domini nostri domini Alexandri divina providencia pape quinti anno primo […].
Diplomatische Erörterung: Drei Ausfertigungen, jeweils Pergament, Notariatsinst-
rument mit Notariatszeichen des Johannes Sassen. A1: Querformat, Rückseite
teilweise stark nachgedunkelt mit Kanzleivermerk längs am Rand rechts: Unio ortorum Johannis Lutteken etc. und kopfstehend: Capella[m] Caecili[e]. 1410. A2: Hochformat, Rückseite mit Kanzleivermerk in der Mitte rechts: Litera super duarum
marcarum annuum reddituum circa Melkeborch extra et prope civitatem Hamburgen[sem] nunc anno 98 de Johann[e] Hallend[orp] ad 16 annos mihi T. [Livertinus] solvere
consuevit, ita est quia vicariam posse[dit] ab anno 72 usque nunc. A3: Querformat,
Rückseite teilweise stark nachgedunkelt, mit Kanzleivermerk längs am Rand
rechts: Unio ortorum et camporum und kopfstehend 1410.
Überlieferung: A1 = StAHH 710-1 I Threse I, Nr. Tt 36; A2 und A3 = StAHH 710-1 I
Threse I, Nr. Tt 37 [1] und [2]. D = Copiae Archivi.
Erwähnung: Reincke, Borstel, S. 9, Anm. 35 (mit Textauszug); Vollmers, Pfarreien,
S. 442–443.
1410 Mär z 24 –30. Reinb ek .
135
197
1410 März 24–30. Reinbek.
1410.03.24-30 — Oo 59
135
Propst Tidericus Strobeling, Priorin Alheidis und der ganze Konvent des Klosters Reinbek verkaufen aufgrund großer Not Dekan und Kapitel der hamburgischen Kirche zum Nutzen ihrer Pfründen für 50 m. 2 Hufen in Meiendorf und 1 Hufe in Rokesberg
Propst Tidericus Strobeling, Priorin Alheidis und der ganze Konvent des Klosters
Reinbek, zugehörig der Bremer Diözese, in einem offenen Brief: verkaufen aufgrund großer Not dem Dekan und dem Kapitel der hamburgischen Kirche zum
Nutzen ihrer großen Pfründen für 50 m. hamb., die sie vollständig erhalten haben,
zwei Hufen in Meiendorf (in villa Meyendorppe) und eine Hufe in Rokesberg mit allen
Wiesen, Äckern, Weiden, Holzungen und Wäldern sowie der hohen und niederen
Gerichtsbarkeit und allem Zubehör, wie sie von alters her im Besitz des Klosters
waren. Behalten sich ein Rückkaufsrecht zu jedem Osterfest vor, ein Vierteljahr zuvor anzukündigen. Ankündigung der Siegel des Tidericus und des Konvents. Datum
Reynebeke anno domini mo ccccxo infra octavas festi Pasche.
Diplomatische Erörterung: Pergament mit Faltung, Plica mit zwei gut erhaltenen
Siegeln an Pergamentstreifen. Kanzleivermerk auf der Rückseite: Super duobus
ma[nsis] in Meiendorpe et uno manso in Rukesberghe emptis a preposito et conventum
Reynebeke. 1410. Rechts unten die moderne Signatur mit Bleistift: Oo 59.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Oo 59. D = Copiae Archivi.
Erwähnung: Staphorst, I, 1, S. 503 (Niehusen, 574).
136
1410 März 30. o. O.
1410.03.30 — Ss 45, Ss 89 (4)
136
Adolf, Graf von Holstein und Schauenburg, verkauft für 200 m. Dekan und Domkapitel zu Hamburg zum Nutzen der Vikarien, die einst Johan Wyghe im Dom gestiftet habe, eine Rente von 16 m., jährlich aus seinen Dörfern Testorf und Eggerstedt zu zahlen
Adolf (Alff), Graf von Holstein, Stormarn und Schauenburg,250 in einem offenen
Brief: macht bekannt, dass er für 200 m. Pfennige Dekan und Domkapitel zu Hamburg zum Nutzen der Vikarien, die einst Johan Wyghe im Dom am Altar St. Feliciani gestiftet habe und die nun Johan Kannengheter und Cordt van Rederen gehörten,
eine Rente von 16 m. verkauft habe, jährlich an November 11 (Martini) zu zahlen,
aus seinen Dörfern und Gütern Testorf (Estorpe) und Eggerstedt (Ehgherstede) im
Kirchspiel Rellingen, und behält sich den Rückkauf für 200 m. vor, der in den zwölf
Tagen zu Weihnachten angekündigt und zu Ostern bezahlt werden muss. Siegelankündigung des Grafen. Datum anno domini mocccco decimo dominica Quasimodo geniti.
250
Adolf IX. von Holstein-Schauenburg, 1404–1426.
198
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: A: Pergament mit Faltung und großen Feuchtigkeitsflecken,
Plica mit an einem Pergamentstreifen angehängten, stark beschädigtem Siegel.
Rückseite in der Mitte oben mit Kanzleivermerk: Litera super 16 m. in Testorpe et
Eggerstede [moderne Ergänzung: im kerspel zu Rellingen] et spectant redditus ad ambas vicarias altaris Sancti Feliciani in [korrigiert, modern: summo 200 m. capital]. / C:
Papier, Abschrift des 17. Jahrhunderts in einem Heft von 6 Bll., davon fol. 1r–4r
beschrieben, die Urkunde auf fol. 3r–4r. Auf fol. 6v (kopfstehend) der Vermerk:
Briefe in copia der herrn greuenn von Schaumburg dero memorien angehend sub No. 99,
auf fol. 1v eine Signatur und ein blasser Stempel mit kyrillischen Buchstaben.
Zusammen mit Ss 89 (2) und (3). – Unter der Kopie die Notiz über den rückseitigen Vermerk (wie oben). – Die Kopie ist beglaubigt durch den kaiserlichen Notar
Johann Hesterberch, Sekretär des Domkapitels.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ss 45; C = StAHH 710-1 I Threse I, Nr. Ss 89
(4); D = Copiae Archivi.
Erwähnung: Ballheimer, 4, S. 14.
137
1410 April 5. o. O.
1410.04.05 — R 8
137
Erich der Ältere, Herzog von Sachsen, gestattet die Aufräumung der Bille und ihre Nutzung zum Flößen von Fadenholz, gegen Abgaben beim Bergedorfer Schloss
Erich der Ältere, Herzog von Sachsen, Engern und Westfalen,251 in einem offenen
Brief: gestattet die Aufräumung der Bille und ihre Nutzung zum Flößen von Fadenholz (vadem holt) in der Form und Länge, wie das auf der Alster eine Gewohnheit
sei, nach Hamburg, gegen 6 d. pro Faden Weichholzes und 8 d. je Faden Hartholz,
zu entrichten auf dem Bergedorfer Schloss. Behält sich für sich und seine Erben die
Rücknahme dieser Zusage mit einer halbjährigen Kündigungsfrist beim Rat von
Hamburg vor. Siegelankündigung. Gheven unde screven […] na Godes boert veerteynhundert jaer darna in deme teynden jare, upten sonnavend vor deme sondaghe na Paschen,
alse men singhet Misericordia domini.
Diplomatische Erörterung: A: Pergament mit Faltung und zahlreichen Feuchtigkeitsfle-
cken und etlichen Textausfällen, Plica mit einem an einem restaurierten Pergamentstreifen befestigten, relativ gut erhaltenen Siegel. Rückseite mit dickerem
Papier überklebt, oben links modern mit Tinte die Signatur R 8. / C: Abschrift des
17. Jahrhunderts der Kopie einer Register-Überlieferung (des Liber emptionum
von 1485).
251
Erich IV. von Sachsen-Lauenburg (1368–1411).
1410 April 5. o. O.
199
Überlieferung: A = StAHH 710-1 I Threse I, Nr. R 8. C = StAHH 311-1 I 406 („Kopialbuch
des Jürgen Rose“), S. 229–230. D = Copiae Archivi.
Erwähnung: Reincke, Territorialpolitik, S. 85, Anm. 170.
138
1410 April 5. o. O.
1410.04.05 — R 10
138
Heinrich, Graf von Holstein und Schauenburg, gestattet die Aufräumung der Bille und ihre Nutzung zum Flößen von Fadenholz, gegen Abgaben beim Kloster Reinbek
Heinrich (Hinrik), erwählter Bischof von Osnabrück, Graf von Holstein, Stormarn
und Schauenburg,252 in einem offenen Brief: gestattet die Aufräumung der Bille
und ihre Nutzung zum Flößen von Fadenholz (vadem holt) in der Form und Länge,
wie das auf der Alster eine Gewohnheit sei, in seine Stadt Hamburg, gegen 6 d. pro
Faden Weichholzes und 8 d. je Faden Hartholz, zu entrichten bei seinem Kloster
Reinbek (Reynenbeke). Behält sich für sich und seine Erben die Rücknahme dieser
Zusage mit einer halbjährigen Kündigungsfrist beim Rat von Hamburg vor. Siegelankündigung. Gheven unde screven na Godes boert veerteynhundert yaer darna an deme
teynden jare, des sonnavendes vor deme sondaghe na Paschen, alse men singhet Misericordia domini.
Diplomatische Erörterung: A: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken
und erheblichen Textausfällen, Plica mit einem an einem restaurierten Pergamentstreifen befestigten, teilweise erhaltenen Siegel. Rückseite mit dickerem
Papier überklebt, oben links modern mit Tinte die Signatur R 10. / C: Abschrift
des 17. Jahrhunderts der Kopie einer Register-Überlieferung (des Liber emptionum von 1485).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. R 10. C = StAHH 311-1 I 406 („Kopialbuch
des Jürgen Rose“), S. 227–228. D = Copiae Archivi.
Erwähnung: Reincke, Territorialpolitik, S. 85, Anm. 170.
139
[1410] Juni 23. o. O.
[1410.06.23] — N 45
139
Johan Moekerman quittiert den Räten von Hamburg und Lüneburg den Empfang von 53 m. 14 d. von den 112½ m. 4 sol. 4 d., die der Rat von Lüneburg ihm noch schuldig gewesen sei
Johan Moekerman253 in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren der Stadt Hamburg und dem Rat von Lüneburg den Empfang von 53 m. 14 d.
von den 112½ m. 4 sol. 4 d. (dree unde voeftigh mark unde veerteyn penninghe […] van der
summen penninghe hundert doertyndehalve mark, iiii solidi unde veer pennighe), die der
252
Heinrich III. (1388–1421), erwählter Bischof von Osnabrück 1402 August 18–1410 (vor Juli 15).
253
Name nach D und der Kanzleinotiz auf der Rückseite.
200
Regesten der Jahre 14 00 –14 4 0
Rat von Lüneburg ihm noch schuldig gewesen sei. Er befreie die Räte von Hamburg
und Lüneburg von weiteren Forderungen. Siegelankündigung. Gheven […] na unses
Heren boert in deme [veerteynhundertsten] unde teynde jare [uppe Johannis avend].254
Diplomatische Erörterung: Pergament mit Faltung, intensiven Feuchtigkeitsflecken,
Löchern und einigen Textverlusten, Plica mit einem Schlitz für die Siegelanbringung, jedoch weder Siegel noch Pergamentstreifen erhalten. Plica und Rückseite
mit dünnem Papier überklebt, Ausschnitt mit der Kanzleinotiz: Quitancia Mokerman [van w]egen liii marc 1410. Daneben runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. N 45. D = Copiae Archivi [fehlerhaft].
140
1410 Juni 28. o. O.
1410.06.28 — Gg 21
140
Syverd Roerbeke, Knappe, quittiert der Stadt Hamburg die vollständige Bezahlung für seine Dienste auf dem Glindesmoor
Syverd Roerbeke, Knappe, in einem offenen Brief: quittiert den Bürgermeistern und
Ratsherren der Stadt Hamburg die vollständige Bezahlung für seine Dienste auf
dem Glindesmoor (Glindesmoere) [Schloss Moorburg]. Danke für die freundliche Behandlung, für die er ihnen gern zu Dienste stehen werde, wo er könne, und spreche
Bürgermeister, Rat und Stadt von allen Forderungen frei. Siegelankündigung des
Ausstellers. Gheven unde screven […] na Godes boert veerteinhundert jaer dar na in deme
teynden jare in sunte Peters unde sunte Pawels avende der hilghen apostele.
Diplomatische Erörterung: Pergament mit Faltung und zahlreichen Feuchtigkeitsfle-
cken, breite Plica mit einem an einem Pergamentstreifen befestigten Siegel, das
sich in einer Schutzhülle aus Papier befindet. Kanzleivermerk auf der Rückseite:
quitancie enes deners. 1410.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 21. D = Copiae Archivi.
Regest: Kausche, Regesten, 493, S. 158.
141
1410 Juni 29. Hamburg.
1410.06.29 — Ff 5
141
Werner, Dekan, und das Domkapitel zu Hamburg vidimieren für den Rat zu Hamburg eine Urkunde der Ratsmannen, Schließer, Geschworenen und Gemeine von Meldorf, Wesselburen und Büsum von 1384 April 7 (HG1.315)
Werner, Dekan,255 und das gesamte Domkapitel zu Hamburg in einem offenen Brief:
machen bekannt, dass ihnen Bürgermeister und Ratsherren zu Hamburg eine Urkunde vorgelegt haben mit vier anhängenden Siegeln der Ratsmannen, Schließer,
Geschworenen und Gemeine von Meldorf, Wesselburen und Büsum sowie der Rich254
Jahrhundert und Tagesdatum nach D [wenn auch dort mit einem Fragezeichen versehen].
255
Dekan 1379–1415, Bruder des Kersten Miles.
1410 Juni 29. Hamburg.
201
ter (voghedingmanne). Die Urkunde sei unverdächtig (sunder alle vordechtnisse), die
im einzelnen beschriebenen Siegel in gelbem Wachs intakt (untobroken). Um nicht
das Original den Gefahren des Transports aussetzen zu müssen, hätten sie Bürgermeister und Ratsherren gebeten, die Urkunde unter dem Siegel des Kapitels zu
vidimieren.
[Es folgt im Wortlaut der Vertrag zwischen den drei Kirchspielen und Lübeck,
Hamburg, Lüneburg, Stade, Buxtehude und Itzehoe von 1384 April 7, s. HG1.315,
S. 386–387.]
Dekan und Kapitel erklären, die Abschrift gründlich geprüft zu haben. Diese stimme wörtlich überein, daher hätten sie sie wissentlich besiegelt. Gheven to Hamborgh
na Godes bord dusent veerhundert jar, darna in deme teynden jare in sunte Peter unde
Pawels daghe der hilgen apostele.
Diplomatische Erörterung: Großes Pergament mit Faltung, einigen nachgedunkelten
Stellen und Feuchtigkeitsflecken, große Plica mit dem Rest eines Pergamentstreifens, Siegel fehlt. Rückseite mit zeitgenössischem Kanzleivermerk (kopfstehend): van dem zebunde, darüber zwei Großbuchstaben übereinander: P. A.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 5. D = Copiae Archivi.
142
1410 Juni 29. Hamburg.
1410.06.29 — Ff 6 [1]
142
Werner, Dekan, und das Domkapitel zu Hamburg vidimieren für den Rat zu Hamburg eine Urkunde des Landes Dithmarschen von 1395 Mai 1 (HG1.433)
Wernerus, Dekan,256 und das gesamte Domkapitel zu Hamburg in einem offenen
Brief: machen bekannt, dass ihnen Bürgermeister und Ratsherren zu Hamburg
eine Urkunde vorgelegt hätten mit einem an einem Pergamentstreifen anhängenden Siegel aus gelbem Wachs, das das Bild Johannes des Täufers zeige, wie er Christus im Jordan taufe, mit der Umschrift Sigillum universitatis terre Thetmarcie. Das
Siegel sei intakt (unterbroken) und unverdächtig, die Urkunde ohne Tilgungen und
Beschädigungen (unghedelget unde unghezered, sunder alle tozegghend).
[Inseriert folgt HG1.433, S. 518–519, 1395 Mai 1, Aussöhnung Dithmarschens mit
der Stadt Hamburg.]
Dekan und Kapitel erklären, die Urkunde gründlich geprüft zu haben, daher hätten
sie die Abschrift besiegelt. Gheven unde screven in deme jare unses Heren dusent veerhundert unde teyne, in sunte Peter unde Pawels dage der hilghen apostele.
256
Dekan 1379–1415, Bruder des Kersten Miles.
202
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergament mit Faltung, starken Feuchtigkeitsflecken und
größeren Textverlusten, Plica und Rückseite mit Papier überklebt, Siegel fehlt.
Rückseite mit schwer lesbarer Adresse, ebenfalls partiell überklebt: Den vorsichtigen, wisen luden […] sluteren unde zworen, ratgheveren unde deme gantzen lande to
Ditmerschen, unsen guden vrunden [ergänzt nach D]. Daneben waagerecht: [… littere
… . Principales] littere sunt r[egistra]t[e].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 6 [1]. D = Copiae Archivi [danach ergänzt].
143
1410 September 5. Hamburg.
1410.09.05 — Rr 58
143
Wernerus, Dekan, und das Hamburger Domkapitel machen bekannt, dass der Domherr Magister Hermannus Vos Gelder und Renten seines verstorbenen Vaters, Johannes Vos, Hamburger Bürger, zur Ausstattung seine Präbende nutzen wolle, und bestätigen die Nutzung der Renten von nunmehr 38 m.
Wernerus, Dekan,257 und das Hamburger Domkapitel in einem offenen Brief: machen bekannt, dass der Domherr Magister Hermannus Vos258 vor ihnen erklärt habe,
dass ihm sein verstorbener Vater, Johannes Vos, Hamburger Bürger, eine gewisse
Menge Denare und Florenen sowie 22 m. an Renten übergeben habe, dass er damit
seine Präbende ausstatten und den kirchlichen Kultus vermehren könne. Die mit
Hilfe des Bargelds gekauften Renten betrügen nunmehr 38 m. 16 m. lägen auf dem
Erbe des Conrad Wynthorst in der Gröningerstraße (in der Gronyngestraten) zwischen
den Häusern des Vicko Tobing und des Johannes van dem Beerne, 12 m. auf dem Erbe
des Wedege im Steckelhörn (super Stekelhorne) zwischen den Häusern des Peter Johansson und Johannes Achem, 12 m. auf dem Erbe des Wyllekin van dem Zee im Grimm
(in dem Grymme) zwischen den Häuser des Johannes van dem Hagen und des Heyno
Grope, 10 m. im Haus des Bernard Knubbe zwischen dem Weinkeller und dem Haus
des verstorbenen Marquard de Rellinge, 6 m. auf dem Erbe des Hinricus Schenck zwischen dem Haus des Bäckers Struck (Struck pistoris) und dem des Elert Stapelvelt, 2 m.
auf dem Erbe des Zimmermanns Swalm (Swalm carpentarii) in der Niedernstraße (in
der Nedderenstrate) zwischen den Häusern des Ludolf Karenschuver und des Conrad
Osterrode, 2 m. auf einem anderen Erbe von Swalm bei den Dominikanern (prope
conventum Sancti Johannis) zwischen den Häusern des Hinricus Tornow und des Heyno. Dekan und Domkapitel nehmen auf Bitten Hermanns die 60 m. Renten unter
kirchlichen Schutz und setzen sie für dessen Präbende ein, so dass sie Hermann
und seine Nachfolger auf ewige Zeiten erhalten sollen, um für das Seelenheil seiner Eltern zu beten und ihren regulären Pflichten nachzukommen. Das Präsentationsrecht für Kanonikat und Präbende werde auf 200 Jahre Hermann, seinem
257
Dekan 1379–1415, Bruder des Kersten Miles.
258
Domherr 1410–1428.
1410 D ezemb er 13. o. O.
203
Bruder Johannes, Bürger Hamburgs, und ihren ältesten Verwandten überlassen.
Hermann werde der Kirche für das Seelenheil seiner Eltern 4 m. jährlich zur Verteilung im Chor geben. Siegelankündigung der Hamburger Kirche und der Brüder
Hermann und Johannes. Datum et actum in loco capitulari ecclesie nostre predicte anno
domini millesimo quadragintesimo decimo die veneris quinta mensis Septembris.
Diplomatische Erörterung: Pergament mit Faltung, starken Feuchtigkeitsschäden mit
Textverlusten, Löchern und stark nachgedunkelten Stellen, Plica mit drei an Pergamentstreifen angehängten Siegeln, ein größeres und zwei kleinere, beschädigt. Rückseite in der Mitte unten Vermerke von verschiedenen Händen: Maioris
ecclesie. Prebenda minor. Redditus 60 marcarum ad prebendam magistri Hermanni Vos
et ordinatio sive fundacio ipsius prebende. R[egistra]ta folio 3. Nicolaus [Vinck notarius
scripsit]. 1410. Daneben ebenfalls zeitgenössisch: Super minore prebenda quam obtinet magister Hermannus Vos.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Rr 58.
Edition: Staphorst, I, 2, S. 136–138.
Regest: Schütze, 400, S. 364.
144
1410 Dezember 13. o. O.
1410.12.13 — Q 83
144
Woeldeke Lappe, Knappe, und Heyne Hardenacke, Hamburger Bürger, quittieren den Empfang von 60 m. von den Kämmerern Hamburgs aus der jährlichen Rente beim Hamburger Rat, gezahlt für das Jahr 1410
Woeldeke Lappe, Knappe, Sohn des Woelder Lappe,259 und Heine Hardenakke, Hamburger Bürger, in einem offenen Brief: quittieren den Empfang von 60 m. hamb. Pfennige durch Albert Screige260 und Hinrik Bekendorp,261 Kämmerer des Rates und der
Stadt Hamburg, aus der Rentenzahlung des Jahres 1410 (veerteynhundert jaer unde
teyne), die Woeldeke zustehe aufgrund der Rente seines Vaters beim Hamburger
Rat wegen des Schlosses Ritzebüttel (Rittzebuttel). Sprechen den Rat und die Stadt
Hamburg von allen Ansprüchen wegen der Rente für dieses Jahr frei. Ankündigung
der Siegel von Woeldeke und Heine. Gheven unde screven […] na Godes boert veerteinhundert jaer unde daer na in deme teynden jare uppe sunte Lucien dagh der hilghen
junkfrouwen.
259
Wolderich VI. Lappe († ca. 1400).
260
Ratsherr 1380–1426.
261
Ratsherr 1400–1421.
20 4
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergament mit Faltung und etlichen Feuchtigkeitsflecken,
Plica mit zwei an Pergamentstreifen befestigten Siegeln. Kanzleinotizen auf der
Rückseite: Quitancia der Lappen van den [jaren] 1394 betth tzum jare 1410 van wegen
der betaling[he] Ritzebutels; darunter: Lappen 1410.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 83. D = Copiae Archivi.
145
1411 Januar 20. o. O.
1411.01.20 — Nn 93
145
Propst Herman, Priorin Beke und der gesamte Konvent des Klosters Uetersen einigen sich mit Otte van Herslo, Domherrn zu Hamburg, über die Einrichtung einer Kaplansstelle und weitere Verpflichtungen aus der Schenkung von einem halben Wispel Salz zu Lüneburg, 200 m. von seinem Hof und weiteren Geldern
Propst Herman, Priorin Beke und der gesamte Konvent des Klosters Uetersen in
einem offenen Brief: bekennen, dass sie mit Otte van Herslo, Domherr zu Hamburg,
einen Vertrag mit folgendem Inhalt geschlossen hätten:
[1.] Sie und ihre Nachfolger sollten auf ewige Zeiten einen Kaplan halten, der Messen lesen solle in jeder Woche an vier Tagen (sondaghes van der hilghen drevoldecheyd, des midwekens van allen kristenen zelen, des vrydaghes van dem hilghen crůtze, des
sunnavendes van user leven vruwen).
[2.] Weiter wollten sie jährlich seiner an seinem Todestag gedenken und auch ein
halbes Jahr danach. Ebenso wollten sie für sein Seelenheil und das seiner Eltern
beten.
[3.] Dafür habe Otto ihnen und dem Kloster Folgendes übergeben: [a.] einen halben
Wispel Salz aus der Saline zu Lüneburg, den er von dem Ratzeburger Kapitel habe,
davon sollten sie aber die Hälfte dem Kloster Himmelpforten geben; [b.] 200 m. von
seinem Hof, auf dem er wohne, von dem ersten Geld, das nach seinen Tode anfalle;
[c.] 5 m. Geld vom Hof, der einst Henneke Gloier gehörte und nun Radeke Bar gehöre,
in Lohe (Lo) beim Hof des Michel van der Hellen (vif mark gheldes, der vere beleghen sint
in deme gude, dat wandaghes Henneken Gloiere to hord hadde unde nů tohord Radeken
Baren, beleghen in dem dorpe to dem Lo, neghest Micheles hove van der Hellen); [d.] 1 m.
Geld vom Gut des Tymme Snider in Krempe (in Tymmen Sniders gude to der Crempen).
[4.] Die 200 m. sollen in Renten umgewandelt werden. Davon sollten die Nonnen
5 m. verteilt auf zwei Termine im Jahr bekommen, wenn sie seine memoria begingen. Zur selben Zeit solle der Kaplan 4 sol. bekommen und für sein und seiner
Eltern Seelenheil beten.
[5.] Werde eine Rente abgelöst, so solle umgehend eine neue gekauft werden, um
Verluste zu verhindern.
[6.] Würden die vorgeschriebenen Messen nicht gehalten, sollten sie dem Kapitel
zu Hamburg jährlich 20 m. für den Bau zahlen, solange sie den Willen Gottes nicht
erfüllten, oder die 20 m. mit 300 m. lüb. beim Kapitel ablösen.
1411 Januar 20. Hamburg.
205
Siegelankündigung. Ghegheven unde screven […] na Godes bord veerteynhunderd jar in
dem elften jare, darna an dem daghe der hilghen mertelere Fabiani unde Sebastiani.
Diplomatische Erörterung: Großes Pergament mit Faltung und Feuchtigkeitsflecken
entlang der Faltlinien, Plica mit zwei Einschnitten für Siegelanbringung, jedoch
keine Siegel erhalten. Rückseite teilweise stark nachgedunkelt, unter in der Mitte quer Kanzleivermerk: Ad monasterium in Utersen sub certis condicionibus ut patet
in litera. 14[11]. Dazu jünger: N. 25, und 541.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Nn 93. D = Copiae Archivi.
146
1411 Januar 20. Hamburg.
1411.01.20 — Ww 8
146
Wernerus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass Ludikinus Zwangke, Bürger Hamburgs, eine ewige Vikarie am Altar des Hl. Bartholomäus in St. Jacobi errichten lassen und dafür eine Rente von 18 m. stiften wolle, nehmen die Renten unter kirchlichen Schutz und errichten die Vikarie
Wernerus, Dekan,262 und das Domkapitel zu Hamburg in einem offenen Brief: machen bekannt, dass vor ihnen Ludikinus Zwangke, Bürger zu Hamburg, erklärt habe,
dass er für sein Seelenheil, das seiner Frau Walburgis, seiner Vorfahren und Verwandten zu Ehren Gottes, der Jungfrau Maria und der Heiligen Bartholomäus
und Andreas zur Gründung einer ewigen Vikarie in der Jacobikirche am Altar des
Apostels Bartholomäus mit Zustimmung seiner Erben und Verwandten folgende
Renten stiften wolle: 10 m. auf 15 Morgen Ackerlands in Stillhorn, gelegen zwischen den Morgen von Nicolaus Aldeghe und Martin Inlaghe, die Nicolaus Zwangke
bewirtschaftet, 6 m. auf 8 ½ Morgen Ackerlands zwischen den Morgen von Nicolaus Zwangke und Bertholdus Stegheman, die Merten Umlaghe bewirtschaftet, 2 m.
auf dem Haus des Hermann Thomas auf dem [Billwerder] Ausschlag (in deme uthslage) zwischen den Häusern des Marquard Speghel und Johannes Syverd. Dekan und
Domkapitel nehmen auf Bitten Ludikins die Renten unter kirchlichen Schutz und
errichten die Vikarie in der Jacobikirche am Altar des Apostels Bartholomäus. Der
Vikar solle jährlich 2 m. im Chor verteilen und 1 m. an die Jacobikirche geben für
die memoria Ludikins und Walburgis’. Er solle an den Gottesdiensten teilnehmen,
sich dem Vizerektor unterordnen und Oblationen an ihn abführen. Ludikin, Walburgis und ihre ältesten Nachfahren erhalten auf 120 Jahre das Präsentationsrecht.
Siegelankündigung. Datum Hamborgh anno domini millesimo quadringentesimo undecimo mensis Januarii die vicesima.
262
Dekan 1379–1415, Bruder des Kersten Miles.
206
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergament mit Faltung, Plica mit einem Pergamentstreifen
zur Siegelbefestigung, das Siegel fehlt. – Rückseite mit Nachtrag zur Ablösung
des Zinses von 6 m., 1494 Februar 20, mit Zustimmung durch Dekan und Domkapitel, Vikar Johannes Hartig, durch Arnd Wolmers, Zeugen: Johannes Brokemole, Petrus Dreyger zu St. Petri, Ghirardus Lutkens zu St. Jacobi ewige Vikare, Notar Johannes Witte; sowie zum Rückkauf der 6 m. Zinsen, 1496 März 5, durch Clawes Spett,
für 60 m. aus den Gütern des verstorbenen Nicolaus Swancke, Zeugen: Johannes
Lindeloff Vikar zu Buxtehude, Make Wolmer, Hinrick Dithmarsh, Arnd Capelle, ausgezahlt an den Vikar zu St. Jacobi, Johannes Hartig, Notar Jacobus de Wetteringhe.
– Unten quer: R[egistra]ta fol. 23.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ww 8. D = Copiae Archivi.
Regest: Kausche, Regesten, 496, S. 159.
Erwähnung: Staphorst, I, 1, S. 479 (Niehusen, 126).
147
1411 April 18. o. O.
1411.04.18 — Ss 4 (3)
147
Johan Rodenborch, Bürger zu Hamburg, macht bekannt, dass er Dekan und Domkapitel zu Hamburg zum Nutzen der Vikarie am Altar der 10 000 Ritter im Dom 4 m. jährlicher Rente stifte
Johan Rodenborch, Bürger zu Hamburg, in einem offenen Brief: macht bekannt, dass
er Dekan und Domkapitel zu Hamburg zum Nutzen der Vikarie, die nun Johan Hylleman besitze, am Altar der 10 000 Ritter im Dom, 4 m. jährlicher Rente in seinem
Haus in der Deichstraße (in der Dykstrate) gelegen zwischen den Häusern von Heyne
van dem Haghen im Westen und Otte Vleteman im Osten, für 60 m. Pfennige, die
ihm Johan Hylleman bezahlt habe. Sagt für sich und seine Erben die regelmäßige
Zahlung von 2 m. Rente an Michaelis und 2 m. zu Ostern. Auf seinem Erbe lägen
noch 16 m. und 7 m. Rente, die Dekan und Domkapitel (desse vorscreven heren) darin
hätten. Diese sollten aber die Zahlung der 4 m. nicht beeinträchtigen, sondern die
Zahlungen sollten gemäß den Einträgen im Stadtbuch erfolgen. Weitere Renten
sollten nicht ohne Zustimmung von Dekan und Domkapitel verkauft werden; diese
sollten von Ansprüchen Dritter frei sein. Die Rente könne zu den genannten Zeiten mit einem halben Jahr Vorankündigung abgelöst werden. Johan Rodenborch
gelobt zusammen mit Heyne Nyenkerken im Cremon und Gheerd van Eembeke, dem
Schneider auf dem Ness (dem schroͤdere up dem Nesse) die Einhaltung der Abmachungen. Siegelankündigung des Ausstellers und der beiden Bürgen und medelovere. Gheven na Godes bord in deme dusentsten veerhundertsten unde elften yare up den
eersten so[n]navend na Paschen.
Diplomatische Erörterung: Pergament mit Faltung, starker Beschädigung durch Feuch-
tigkeit und Mäusefraß im oberen Teil, aber ohne Textverlust, Plica mit Pergamentstreifen für drei Siegel, diese fehlen aber. Rückseite mit älterem Kanzlei-
1411 Mai 22 . o. O.
207
vermerk Mitte rechts: Litera Jo[hannis] Rodenborgh super iiiior marcarum redditibus
pertinente ad vicariam Jo[hannis] Hillemanni terminus soluc[ionis] Pasche et Michaelis.
Neuere Zusätze: ad vicar[iam] 10000 Ritter. 1411. super 4 [marcarum] reditus in hereditate quondam Joh[annis] Rodenborch in der Dykstraße.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ss 4 (3).
148
1411 Mai 22. o. O.
1411.05.22 — Gg 22
148
[Johan van Eckersten], Archidiakon zu Rehme, spricht Bürgermeister und Rat zu Hamburg von allen Ansprüchen wegen der Gefangenschaft Tytekes van Rypen und ihres Streits mit ihm frei
[Johan van Eckersten], Archidiakon zu Rehme,263 [in einem offenen Brief: macht bekannt, dass ihm Bürgermeister und Rat zu Hamburg] seinen Willen und Genüge
getan hätten in der [Sache ihres Streits mit] Tyteke van Ripen, den sie in ihrem
Gefängnis festgehalten hätten (vor de schicht unde [zake, dede van on] unde den oren
ghesc[reven unde] ghedan iis an Tyteke van Ripen, an der tiid, alse se one vangen unde in
ore hechte setten leten) und von dem sie 47 rheinische Gulden und 7 m. lüb. eingefordert und erhalten hätten. Nachdem Tyteke ihm die Angelegenheit übertragen und
er den Rat verklagt habe, spreche er nun zusammen mit seinen Verwandten und
den unten genannten Herren Bürgermeister und Rat von allen Ansprüchen frei.
Er und derselbe Tyteke würden in der Angelegenheit keine Forderungen an diese mehr erheben. Er gelobt die Einhaltung seiner Zusagen. Bürgen sind Bernd van
Werpe, Domherr in Minden, Roleff van Bardelslo, Archidiakon in Osen,264 und Herman
de Wend, Propst in Hameln. Siegelankündigung Johans und der Bürgen. Datum anno
domini millesimo quadringentesimo undecimo feria sexta proxima post festum ascensionis
domini etcetera.
Diplomatische Erörterung: Nachgedunkeltes Pergament mit Faltung, einem größeren
Abriss und größerem Textverlust am oberen Ende der Seite, Plica mit vier teilweise gut erhaltenen, an Pergamentstreifen angehängten Siegeln. – Der Name
des Ausstellers wird in der Urkunde ein zweites Mal genannt, die anderen Ergänzungen sind aus der (wohl nach Plausibilität) ergänzten Kopie in den Copiae
Archivi übernommen.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 22. D = Copiae Archivi [mit Ergänzungen aus unbekannter Vorlage, danach hier].
263
Bistum Minden, vgl. Holscher, Beschreibung, S. 366.
264
Bistum Minden, vgl. Holscher, Beschreibung, S. 53.
208
149
Regesten der Jahre 14 00 –14 4 0
1411 Oktober 12. Hamburg
1411.10.12 — Vv 12 a
149
Wernerus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass Johannes Wige, Bürger Hamburgs, auf der Grundlage älterer Stiftungen 120 m. für zwei ewige Vikarien gestiftet habe, nehmen die Gelder unter Schutz und errichten die Vikarien
Wernerus, Dekan,265 und das gesamte Domkapitel zu Hamburg in einem offenen
Brief: machen bekannt, dass einst der verstorbene Hamburger Ratsherr Albertus
de Ghelderssen266 zu Ehren Gottes und der Jungfrau Maria für sein Seelenheil, das
seiner Frau und ihrer Verwandten 20 m. Renten gestiftet habe, um am Altar des
Apostels Jacobus und des heiligen Martin in St. Katharinen Messen lesen zu lassen. Nach dessen Tod habe der Hamburger Everhardus Wyge, auch im Namen seiner
legitimen Ehefrau Elizabet, Tochter des Albertus, in Sorge, dass die fromme Stiftung von 20 m. Renten weltlichen Zwecken zugeführt würde, gebeten, diese unter
kirchlichen Schutz zu stellen, zusammen mit 200 m. Pfennigen des Priesters Otto
Sassenhaghen, und damit eine ewige Vikarie am Altar des Apostels Jacobus und des
hl. Martin in St. Katharinen zu errichten. Sie seien diesen Bitten nachgekommen
und hätten Everhardus und Elizabeth sowie ihren Nachkommen auf bestimmte
Zeit das Präsentationsrecht überlassen. Nun habe Johannes Wige,267 Sohn der beiden, der zusammen mit seiner Mutter Elizabeth das Präsentationsrecht innehabe,
nach dem Tod des letzten Vikars Heinricus de Haghen zu Ehren des hl. Thomas von
Canterbury und zum Seelenheil des Everhardus Wige und Albertus de Ghelderssen
sowie ihrer Verwandten 120 m. Pfennige gestiftet, um kirchlichen Schutz für die
Gelder und die Ausstattung zwei ewiger Vikarien damit gebeten. Dekan und Domkapitel kommen den Bitten nach, nehmen die Stiftungen unter ihren Schutz und
richten zwei ewige Vikarien ein, eine am Altar und zu Ehren des Apostels Jacobus
und des hl. Martin an St. Katharinen, die zweite am Altar und zu Ehren des hl. Thomas von Canterbury an St. Nicolai. Die beiden Vikarien seien getrennte Pfründen,
die jetzigen und zukünftige Einkünfte sollten durch die Vikare gleich geteilt werden, ebenso wie Belastungen. Die beiden Vikare sollten jeweils jährlich 2 m. zur
Verteilung im Chor des Doms geben, jeweils 1 m. zur Verteilung in ihrer Kirche
für die memoria von Albertus de Ghelderssen und Everhardus Wige. Die ältesten
Erben des Albertus de Ghelderssen, männlich oder weiblich, sollten auf 110 Jahre
das Präsentationsrecht wahrnehmen, zunächst seine Tochter Elizabeth. Siegelankündigung des Domkapitels. Datum Hamborgh anno domini millesimo quadringentesimo undecimo mensis Octobris die duodecima.
265
Dekan 1379–1415, Bruder des Kersten Miles.
266
Ratsherr 1351–1373.
267
Ratsherr seit 1407, Bürgermeister 1420–1438.
1411 Ok tob er 31. o. O.
209
Diplomatische Erörterung: Großes Pergament mit Faltung und Feuchtigkeitsflecken,
Plica mit Einschnitten für die Befestigung eines Siegels, Reste des Pergamentstreifens, Siegel ab. Rückseite unten Mitte stark nachgedunkelt. Rückseite mit
älterem, verblichenem, daher später teilweise ergänztem Kanzleivermerk links
unten (spätere Ergänzungen in runden Klammern): Sancte Katherine et Sancti Nicolai. Due vicarie una in ecclesia Sancte Katherine altaris Sanctorum Jacobi et M(artini episcopi et confessoris, alteram in Ecc)lesia Sancti Nicolai in capella (Sancti Thomae
Canthuariensis). Registrata folio 24. (1411). In der Mitte Wechsel von jüngeren und
älteren Einträgen, jünger: Vicaria ad altare Sanctorum Jacobi apostoli et Martini episcopi et confessoris in ecclesia Sancte Catharinae. Dann älter, verblichen, mit Lücken:
In ecclesia Sancte Kath[arine] ad […] per dominum […] de Ghelderssen […], dazu 220 m.
1411. Jünger: Vicaria secunda in ecclesia Sancti Nicolai in capella Sancti Thomae Canthuariensis. 120 m. [annuas] reditus.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Vv 12 a. D = Copiae Archivi.
Erwähnung: Vollmers, Pfarreien, S. 540, 607.
150
1411 Oktober 31. o. O.
1411.10.31 — Q 84
150
Woeldeke Lappe, Knappe, und Heyne Hardenacke, Hamburger Bürger, quittieren den Empfang von 60 m. aus der jährlichen Rente beim Hamburger Rat, gezahlt für das Jahr 1411
Woeldeke Lappe, Knappe des Stiftes von Bremen,268 und Heyne Hardenakke, Hamburger Bürger, in einem offenen Brief: quittieren den heutigen Empfang von 60 m.
Pfennige durch die Bürgermeister und Ratsherren der Stadt Hamburg aus der Rentenzahlung des Jahres 1411 (jeghenwardighen jares). Sprechen den Rat und die Stadt
Hamburg von allen weiteren Forderungen von den 60 m. und allen Rentenzahlungen, in den letzten Jahren fällig waren, frei. Ankündigung der Siegel von Woeldeke
und Heine. Gheven […] in den jaren unses Heren verteinhundert unde elvene in alle Godes
hilghen avende.
Diplomatische Erörterung: Pergament mit Faltung und etlichen Feuchtigkeitsflecken,
Plica mit zwei an Pergamentstreifen angehängten Siegeln. Kanzleinotizen auf
der Rückseite: Lappen. 1411.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 84. D = Copiae Archivi.
268
Sohn von Wolderich VI. Lappe († ca. 1400) und seiner Frau Geseke.
210
151
Regesten der Jahre 14 00 –14 4 0
1411 November 6. Hamburg
1411.11.06 — Ss 89 (5)
151
Hans Bruggeman überlässt Bernt vamme Hagen sein Grundstück und einigt sich mit ihm über die Anlage eines Gangs und von Brunnen
Hans Bruggeman überlässt Bernt vamme Hagen sein Grundstück (syn rum), das zwischen dem Erbe des Lutke Nyehus und dem Grundstück (dat rum) des Bernt Lange
liege, Bürge ist Erick van Tzeven.269 Gescheen des frigdags nha alle Godes hillegen anno
xiiijc xi. Nachtrag: ultimus articulus in groninger strate. Es folgt ein Vertrag:
[1.] Hans Bruggeman überlasse Bernt das Grundstück, wenn dieser dort auf eigene
Kosten einen Gang von 6 Fuß zwischen Straße und Fleet baue, an dem Hans’ Erbe
liege, zwischen den Erben des Bernt Lange und des Gerdt Quickborn in der Gröningerstraße. Bernt dürfe aber keine Tür zum Gang legen.
[2.] Bernt solle weiter am Fleet eyne sothrode unde stoell (wohl einen Brunnen) bauen
und einen „Kran“ unter dem Gang bis zur Straße legen (unde ock leggen eynen kranen
under deme gange beth uppe de straten), d. h. wohl eine Wasserleitung mit „Pumpe“,
deren Überlauf Hans auf seine Kosten über die Straße fortsetzen solle.
[3.] Der Unterhalt von sothrode und stoell solle zu gleichen Teilen finanziert werden,
wenn diese gemeinsam genutzt würden.
[4.] Wenn Bernt seine eigene sothrode baue, dürfe diese dem bisherigen Brunnen
nicht schaden, und Hans würde die bisherige Anlage selbst nutzen. Bernts Erben
könnten sich aber auch an die Nutzung des „Kranes“ anschließen, wenn sie sich
beteiligten.
[5.] Hans behalte sich die Nutzung und den Erhalt des Siels vor, das von seinem
Erbe bis zum Fleet laufe.
Int jar xiiiic und xi in jegenwardicheit Johan Vlethe. Nachtrag: ultimus articulus anni 1411
in groninger strate.
Diplomatische Erörterung: Etwas jüngere Abschrift aus dem Erbebuch, Papier mit Fal-
tung, Überschrift: Articulus ex libro civitatis super hereditate quodam Luderi Gaedtens.
Rückseite mit verschiedenen Kanzleivermerken. In der Mitte: extract stadtboekes
wegen des ganges in der groninger strate unter den […] bruwhuse. Daneben quer, jünger: De ganck unszers bruwhuszes. Weitere vom Vertrag unabhängige Notizen, so
zum Provisor für Jurgen Vilken, [14]46 April 8, über eine ihn betreffende Rechtssache sowie zu Dyderik Eytes.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ss 89 (5).
269
Ratsherr 1414–1450.
1411 Novemb er 12 . Hamburg.
152
211
1411 November 12. Hamburg.
1411.11.12 — Rr 91
152
Marquardus, Dekan in Ramelsloh, Richter und subconservator der Rechte der Hamburger Kirche, verkündet Maßnahmen gegen Johannes Zeghelke, der mit seinen Komplizen in die Güter der Hamburger Kirche einfalle und ihre Untertanen bedränge
Marquardus, Dekan in Ramelsloh (Rameslo), Richter und subconservator der Rechte
der Hamburger Kirche, an den Erzbischof von Bremen, die Bischöfe von Verden
und Minden und ihre Offiziale, Äbte, Prioren, Pröpste, Dekane, Kantoren, Scholaster, Schatzmeister, Archidiakone und Kanoniker, die Inhaber der Pfarrstellen,
ewige Vikare, Kapläne, Notare und alle Kleriker in den drei Städten und Diözesen: die Pröpste, Dekane, Kantoren, Scholaster, Schatzmeister, Archidiakone und
Kanoniker der Hamburger Diözese hätten ihm geklagt, dass ein ruchloser Mann,
Johannes Zeghelke, mit seinen Komplizen in ihre Güter einfalle und ihre Untertanen
bedränge, so dass diese nicht mehr wagten, ihre Äcker zu bestellen, und dass sie
an Personen und Einkünften geschädigt würden, ohne vernünftigen Grund (absque
aliqua racionabili causa). Sie hätten sich deshalb auch schon mehrfach Erzbischof
Johannes von Bremen270 als Richter unterworfen und nun Marquardus cum debita
reverentia gebeten, Abhilfe zu schaffen. Er befehle deshalb allen Angeschriebenen
sub virtute sanctae obedientiae und unter Androhung der Exkommunikation, Johannes Zeghelke und seine Komplizen von den Kanzeln während der feierlichen
Messen aufzufordern, den genannten Herren innerhalb von 15 Tagen Genugtuung
zu leisten. Wenn das nicht geschehe, sollten sie jeden Sonntag für im Sinne eines
dritten und peremptorischen Termins exkommuniziert erklärt werden, und Marquardus verfügt Strafen für jene, die dieser Anweisung nicht folgten. Nach weiteren 15 Tagen solle die Exkommunikation durch eine Verfluchung verschärft und
an allen Sonn- und Festtagen verkündet werden, nach den dritten 15 Tagen sollten
alle Untertanen, vom Adel bis zu den Knechten (nobiles, comites, milites, vasallos, armigeros), insbesondere die von Werseby, alle Bürger und Bauern (proconsules, consules, advocatos, cives, opidanos, rusticos et villanos), insbesondere Bertoldus Runghe und
Thidericus Ortingh, Bürger Stades, ermahnt werden, die Beschuldigten nicht aufzunehmen, sie in irgendeiner Weise zu unterstützen oder mit ihnen gemeinsam zu
handeln, unter Androhung der genannten Strafen. Johannes’ Frau und ihre Familie
sollten von ihren Kirchen ferngehalten werden. Orte und Kirchen, an denen die
Bestraften Aufnahme fänden, vor allem in Stade (presertim in Stadis), verfielen dem
Interdikt. Die Exkommunikation gelte, bis die genannten Herren vollen Schadenersatz erhalten hätten. Aufforderung an die Empfänger, die Urkunde zum Zeichen
270
Johann (II.) von Slamsdorp, Erzbischof 1406–1421.
212
Regesten der Jahre 14 00 –14 4 0
der Ausführung seines Mandats zu besiegeln (in signum exequcionis vestre reddite
presens nostrum mandatum vestris sigillis sigellatum […]). Datum Hamborgh anno domini
millesimo quadringentesimo undecimo, proxima die post Martini episcopi […].
Diplomatische Erörterung: Pergament mit Faltung und Feuchtigkeitsflecken besonders
entlang der Faltlinien, Plica mit zwei Einschnitten für Siegel, die Siegel aber fehlen, ebenso die Pergamentstreifen. Rückseite mit in verschiedenen Zeiten ergänztem Kanzleivermerk: Marquardi decani Ramesloensis ecclesie excommunicationis
litera super Johanne Zegelken. 1411, und No. 9.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Rr 91. D = Copiae Archivi.
153
1411 Dezember 17. Hamburg.
1411.12.17 — P 21
153
Johan Bekerholt, Lübecker Bürger, und Gherbert Gultzow, Hamburger Bürger, quittieren dem Rat von Hamburg für den Junker Keno [II.] to dem Broke den Empfang von 100 engl. Nobeln, die ihnen Keno schuldig gewesen sei
Johan Bekerholt, Lübecker Bürger, und Gherbert Gultzow, Hamburger Bürger, in einem
offenen Brief: quittieren dem Rat von Hamburg für den Junker Keno [II.] to dem
Broke (weghen junkher Kenes, hovetlinges to dem Broke)271 den Empfang von 100 engl.
Nobeln, die ihnen Keno ausweislich seines besiegelten Briefes schuldig gewesen
sei. Danken dem Rat und Keno für die Zahlung und sprechen sie auch im Namen ihrer Erben von allen weiteren Forderungen frei. Teilen mit, dem Rat zu Kenos treuer
Hand dessen Schuldbrief (des sulven Kenes penebref) zurückgegeben zu haben. Siegelankündigung der Aussteller. Gheven to Hamborch na Godes bord dusent verhůndert
dar na in dem elften jare des donnerdages na sunte Lucien daghe der hilghen juncvrowen.
Diplomatische Erörterung: Pergament mit Faltung und wenigen Feuchtigkeitsflecken,
Plica mit zwei Siegeln an Pergamentstreifen, das zweite beschädigt. Auf der
Rückseite Kanzleinotiz: 1411.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 21. D = Copiae Archivi.
Edition: Ostfriesisches UB, 1, 226, S. 189; UB Stadt Lübeck, 5, CCCLXXXV, S. 428.
Regest: HR I, 6, 54.
154
1412 Januar 2. o. O.
1412.01.02 — P 22 a
154
Bürgermeister und Rat zu Bremen an Bürgermeister und den Rat zu Hamburg: teilen mit, dass Gheerd Buzeke, Hinrik de Vrye, Luder Groͤ ve und Eler Kynt, Bremer Bürger, Eler Zeelhove, ihren Mitbürger, bevollmächtigt hätten zum Empfang des Geldes, das der Junker Keno [II.] tom Broke bei ihnen stehen habe
Die Bürgermeister und Ratsherren zu Bremen an die Bürgermeister und den Rat
zu Hamburg: teilen mit, dass Gheerd Buzeke, Hinrik de Vrye, Luder Groͤve und Eler Kynt,
Bremer Bürger, Eler Zeelhove, ihren Mitbürger, bevollmächtigt hätten zum Empfang
271
Häuptling des Brokmerlandes in Ostfriesland, 1399–1417.
1412 Januar 13. Hamburg.
213
des Geldes, das der Junker Keno [II.] tom Broke (Iuncher Kene hovetlingh tom Brůke)272
ausweislich seiner Briefe bei ihnen stehen habe, die er den genannten Bürgern
gesandt habe, wie er es auch den Hamburgern mitgeteilt habe. Ankündigung des
städtischen Sekretsiegels (unde hebbet des to tůge unser stadt secretum ghe hangen tho
desse breve). Datum anno domini moccccoxiio in crastino circumcisionis domini.
Diplomatische Erörterung: Pergament mit Faltung, Plica mit einem an einem Perga-
mentstreifen angehängtem, nur bruchstückhaft erhaltenen Siegel. Rückseite
mit kopfstehendem Kanzleivermerk: En machtbrieff des rades van Bremen etc. 1412.
Darüber regulär modern in (Rot und) Blau: B[remen] 1412. Dez. 31; rechts oben zeitgenössisch: 247 ½ m.; dazu zweimal blauer Rundstempel (mit kyrillischer Schrift)
und moderne Ziffer (in Bleistift): 31160.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 22 a.
155
1412 Januar 13. Hamburg.
1412.01.13 — P 22 b
155
Eler Zeelhove, Bürger zu Bremen, in einem offenen Brief: quittiert Bürgermeistern und Rat der Stadt Hamburg den Empfang von 247 ½ lüb. m. für Gherd Buzeke, Hinrik Vrye, Luder Grove und Eler Kynd, Bürger zu Bremen, die bei ihnen zu Händen von Keno II. tom Broke stünden
Eler Zeelhove, Bürger zu Bremen, in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren der Stadt Hamburg den Empfang von 247 ½ lüb. m. (ccxl und
viij mark) für Gherd Buzeke, Hinrik Vrye, Luder Grove und Eler Kynd, Bürger zu Bremen.
Diese 247 ½ m. stünden bei den genannten Ratsherren und Bürgermeistern zu Händen von Keno II. tom Broke (Kene hovetlingh to dem Broͮke).273 Spricht Bürgermeister
und Ratsherren für sich und seine Erben von der genannten Summe frei. Siegelankündigung des Ausstellers. Gheven to Hamborch na Godes bord dusent veerhundert dar
na an dem xii jare des mydwekens na der hilgen drier konigh daghe.
Diplomatische Erörterung: Pergament mit Faltung und einigen Feuchtigkeitsflecken,
größere Plica mit an einem Pergamentstreifen befestigtem Siegel. Auf der Rückseite Kanzleinotiz: 1412.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 22 b. D = Copiae Archivi [unter der
Signatur P 22].
Edition: Ostfriesisches UB, 1, 228, S. 190 [falsche Zahlenangabe: 240 und 6 ½].
Regest: HR I, 6, 55, S. 37 [falsche Zahlenangabe: 246 ½].
272
Häuptling des Brokmerlandes in Ostfriesland, 1399–1417.
273
Häuptling des Brokmerlandes in Ostfriesland, 1399–1417.
214
156
Regesten der Jahre 14 00 –14 4 0
1412 Februar 28. Schloss Segeberg.
1412.02.28 — M 11 a
156
Heinrich, Graf von Holstein, teilt mit, dass in seiner Stadt Hamburg an der Elbe ein Zoll, aus dem geistliche und weltliche Personen eine Rente bezögen, von Elbfahrern erhoben werde, und er denen beistehe, die die Umgehung des Elbzolls verhinderten
Heinrich, Graf von Holstein, Stormarn und Schauenburg,274 in einem offenen Brief:
teilt mit, dass in seiner Stadt Hamburg an der Elbe ein Zoll, aus dem geistliche
und weltliche Personen eine jährliche Rente bezögen, von den Elbfahrern erhoben
werde, und er denen, die die Umgehung des Elbzolls verhinderten, beistehen werde. Siegelankündigung. Gheven […] to Segheberg[e] up unsem slote verteynhundert275 jar
darna an deme twelfften jare des anderen sondaghes in der vasten.
Diplomatische Erörterung: Pergament mit Faltung und zahlreichen intensiven Feuch-
tigkeitsflecken, in der Folge mit Löchern und Textverlusten. Plica und Rückseite
mit festem Papier überklebt, das restaurierte Siegel in rotem Wachs ist an einem
Pergamentstreifen befestigt. Mögliche Vermerke auf der Rückseite sind nicht
mehr erkennbar.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. M 11 a. D = Copiae Archivi [zusammen
mit der Transkription der Veränderungen in M 11 b, von 1413 Februar 24].
Erwähnung: Ballheimer, 4, S. 14.
157
1412 März 13. o. O.
1412.03.13 — N 1 [1] und [2]
157
Heinrich, Herzog von Braunschweig und Lüneburg, bekennt, das Oberwehr an der Elbe to dem Hope Henneke Unrowe, Henneke Lubeze, Meyneke Visscher, Clawes Sanders, Henneke Cleyland, Heyneke Pole to dem Hope, Peter Oldeland, Clawes Willers zu Winsen, Arnd Godeke und ihren Erben übertragen zu haben
Heinrich, Herzog von Braunschweig und Lüneburg,276 in einem offenen Brief:
bekennt, das Oberwehr an der Elbe to dem Hope Henneke Unrowe, Henneke Lubeze,
Meyneke Visscher, Clawes Sanders, Henneke Cleyland, Heyneke Pole to dem Hope, Peter
Oldeland, Clawes Willers, Bürger zu Winsen, und Arnd Godeke und ihren Erben sowie jenen, die es durch Kauf erwerben, übertragen zu haben. Bekennt weiter, das
nächste Wehr, das Mittelwehr, den Kirchgeschworenen und dem Kirchherrn zu
Winsen (kercsworen unde dem kercheren to Winsen), Heyneke Peters, Henneke Luber, Clawes Cruze, dem alten und dem jungen Peter Lubeze, Erik Lubeze und Siverd Unrowe,
überlassen zu haben. Beide Wehre sollten die Empfänger der Urkunde unbelästigt von ihm und seinen Erben besitzen und ausbauen können, aber so, dass eine
Durchfahrt für die Schiffe bleibe. Holz, Erde und weiteres Material (holt, struk und
erde) sollten sie unbehindert im Lande kaufen können. Weitere Bauten und die Fischerei des Herzogs sollten sie nicht behindern, wie ihnen auch durch einen möglichen Konflikt mit den Herzögen von Sachsen-Lauenburg kein Schaden entstehen
274
Heinrich III. (1388–1421), 1402–1410 erwählter Bischof von Osnabrück.
275
In der Jahrhundertangabe Loch in A, daher hier nach D.
276
Heinrich I. (1388–1416).
1412 Mär z 27. o. O.
215
solle. Als Gegenleistung hätten sie ihm 90 m. lüb. geschenkt und seien verpflichtet,
jährlich zu Weihnachten 30 Stiegen Neunaugen auf das Schloss Winsen zu liefern.
Siegelankündigung des Herzogs. Ghegeven […] na Godes bort verteynhundert jar unde
twellef iar des sondages to Midfasten.
Diplomatische Erörterung: A1 und A2 sind zwei Ausfertigungen mit geringen Abwei-
chungen in der Schreibweise. A1: Pergament mit Faltung, starken Feuchtigkeitsflecken und einigen Textausfällen, Plica, ein gut erhaltenes Siegel in rotem
Wachs, Aufhängung an Pergamentstreifen restauriert. Rückseite mit Vermerk
unten in der Mitte: E duplicatur; auf dem Pergamentstreifen: duplicatur, non est
r[egistra]ta [presens …]. / A2: Pergament mit Faltung, einigen Feuchtigkeitsflecken,
Plica mit einem gut erhaltenen Siegel in rotem Wachs, an einem restaurierten
Pergamentstreifen befestigt. Rückseite mit Zeichen: [E]; auf dem Pergamentstreifen: R[egistra]ta. / C: Abschrift des 17. Jahrhunderts der Kopie einer Register-Überlieferung (des Liber emptionum von 1485).
Überlieferung: A1 und A2 = StAHH 710-1 I Threse I, Nr. N 1 [1] und [2]. C = StAHH 311-1
I 406 („Kopialbuch des Jürgen Rose“), S. 244–246. D = Copiae Archivi.
158
1412 März 27. o. O.
1412.03.27 — Aa 2 (6)
158
Prälaten, Grietmannen und Mitrichter von Oestergo und Westergo bevollmächtigen die Schöffen von Stavoren zu Verhandlungen mit dem Rat der Stadt Hamburg wegen der in Westergo Handel treibenden Hamburger
Prälaten, Grietmannen und Mitrichter von Oestergo und Westergo in einem offenen
Brief: bevollmächtigen die Schöffen von Stavoren (Staveren) oder ihre Beauftragten
zu Verhandlungen mit den Bürgermeistern und dem Rat der Stadt Hamburg wegen der in Westergo Handel treibenden Hamburger, die vorher in Stavoren gewesen seien. Siegelankündigung der beiden Lande. Gescreven int jaer uns Heeren mcccc
ende twelff up den hillighe Palme dach.
Diplomatische Erörterung: Etwas nachgedunkeltes Pergament mit Faltung, Plica mit
zwei an breiten Pergamentstreifen befestigten, großen Siegeln, davon das erste
beschädigt. Auf der Rückseite zwei Kanzleinotizen: Staveren macht breve, unten
1412, dazu links unten verblasste oder radierte Signatur […] (6).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Aa 2 (6). D = Copiae Archivi.
Regest: HUB, 5, 1041, S. 541 (mit Auszug).
216
159
Regesten der Jahre 14 00 –14 4 0
1412 April 14. o. O.
1412.04.14 — Aa 2 (5)
159
Schöffen und Rat in Stavoren bevollmächtigen den Schöffen Tyman Aenstenzoen zu Verhandlungen mit dem Rat der Stadt Hamburg wegen der in Westergo Handel treibenden Hamburger
Schöffen und Rat in Stavoren (Staveren) in einem offenen Brief: bevollmächtigen
den Schöffen Tyman Aenstenzoen zu Verhandlungen mit den Bürgermeistern und
dem Rat der Stadt Hamburg wegen der in Westergo Handel treibenden Hamburger,
die vorher in Stavoren gewesen seien. Ankündigung des Stadtsiegels. Ghescreven int
jaer uns Heeren mcccc ende twelff up sente Tyburcius ende Valerianus dach.
Diplomatische Erörterung: Pergament mit Faltung, Plica mit einem großen, stark be-
schädigten, an einem Pergamentstreifen angehängten Siegel. Auf der Rückseite
die Kanzleinotiz (5), dazu über dem Pergamentstreifen 1412.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Aa 2 (5). D = Copiae Archivi.
Regest: HUB, 5, 1045, S. 542.
160
1412 Juni 19. Hamburg.
1412.06.19 — Q 85
160
Frederik und Berteld Schulte sowie Hermen van der Osten, Knappen, beurkunden einen Vergleich zwischen Alheide Schrammeke, Witwe von Frederik Schrammeke, mit Woldeke Lappe, Knappen, und Heyne Hardenacke, Hamburger Bürger, über das beim Hamburger Rat stehende Gut von Alverik Lappe
Frederik und Berteld Schulte sowie Hermen van der Osten, Knappen, in einem offenen
Brief: bekennen, dass sie, Frederik als Vormund und Berteld und Hermen als deghedingheslude, bevollmächtigt von Alheide Schrammeke, Witwe von Frederik Schrammeke, mit Woldeke Lappe, Knappen,277 und Heyne Hardenacke, Hamburger Bürger, über
das Gut von Alverik Lappe,278 das bei dem Rat von Hamburg gestanden habe, einen
Vergleich erreicht hätten. Frederik bestätigt den Empfang der zwischen Woldeke
und Alheid umstrittenen 100 m. (hundert mark) vom Rat für Alheid. Alles, was von
dem Gut über diese Summe hinausgehe, solle Woldeke erhalten, wie vereinbart
worden sei und die auf Bitten beider Parteien darüber ausgestellten Briefe des
Hamburger Rats belegten. Quittieren für Alheid dem Rat von Hamburg und Woldeke über die 100 m. (hundert mark). Siegelankündigung der Aussteller. Gheven to
Hamborg na Ghodes bord dusent verhundert darna in dem twolften jare des sondaghes vor
sunte Johans daghe syner bord.
Diplomatische Erörterung: Pergament mit Faltung und zahlreichen Feuchtigkeitsfle-
cken, Plica mit den Resten von drei nicht mehr erkennbaren Siegeln an Pergamentstreifen. Auf der Rückseite oben Kanzleinotiz: Compositio inter relictam Schrammeken, Woldeke Lappen et Heyne Hardenacken; weiter: 8. und unten: Lappen. 1412.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 85. D = Copiae Archivi.
277
Sohn von Wolderich VI. Lappe († ca. 1400) und seiner Frau Geseke.
278
Alverich IX. Lappe († ca. 1412).
1412 Juni 19. [Hamburg ].
161
217
1412 Juni 19. [Hamburg].
1412.06.19 — Q 86
161
Bürgermeister und Ratsherren zu Hamburg vermitteln einen Vergleich zwischen Alheyd Schrammeke, Witwe des Frederik Schrammeke, und Woldeke Lappe, Knappe, sowie Heyne Hardenacke, Bürger Hamburgs, in Sachen der 30 m. Rente des verstorbenen Alverik Lappe beim Hamburger Rat
Bürgermeister und Ratsherren zu Hamburg machen bekannt, dass sie zwischen
Alheyd Schrammeke, Witwe des Frederik Schrammeke, vertreten durch Frederik Schulte, Berteld Schulte und Hermen von der Osten, Knappen, und Woldeke Lappe, Knappe,279
sowie Heyne Hardenacke, Bürger Hamburgs, in Sachen der 30 m. Rente, die dem
verstorbenen Alverik Lappe280 vom Rat zu Hamburg zustanden und an Alheyd übergegangen seien, und des Zinses vermittelt hätten. Dabei wurde vereinbart, dass
Alheyd davon 100 m. lüb. erhalten solle und dass damit ihre und ihrer Erben Ansprüche auf das Gut Alverik Lappes abgegolten seien. Alheyd solle ihrerseits Mette
Lappe, Schwester Alveriks, Nonne in Neuenwalde (Nyenwolde), etwas vererben (vor
Metten Lappen […] willen maken) und auf weitere Ansprüche verzichten. Sie sei damit
von allen Ansprüchen Woldekes und seiner Erben frei. Die verbleibende Schuld,
die beim Rat stehe, solle an Woldeke übergehen. Er könne darüber frei verfügen.
Siegelankündigung der Stadt. Gheven na Godes bord dusent veerhundert dar na in dem
twelften iare des sondages vor sunte Johannes daghe des dopers alse he geboren ward.
Diplomatische Erörterung: Pergament mit Faltung, einigen Feuchtigkeitsflecken und
kleineren Textverlusten, Plica mit einem an einem Pergamentstreifen befestigten Siegel. Rückseite unten Kanzleivermerk: Relaxacio 100 m. de 30 m. redditibus
Heyne Hardenacken [redittus]. 1412.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 86. D = Copiae Archivi.
162
1412 Juni 23. [Stavoren].
1412.06.23 — Y 10
162
Schöffen und Rat von Stavoren machen bekannt, dass sie sich mit Bürgermeistern, Rat und Gemeinde Hamburgs über Bedingungen für den Hamburger Handel in Stavoren geeinigt hätten
Schöffen und Rat von Stavoren machen bekannt, dass sie sich mit den Bürgermeistern, dem Rat und der Gemeinde Hamburgs auf folgende Punkte geeinigt hätten:
[1.] Die Hamburger sollten ihre Waren in Stavoren anbieten, aber nicht sonst im
Land Westergo.
[2.] Die Hamburger Kaufleute sollten je Fuder Bier einen alten Schildgulden im
Wert von 30 Grote geben, die Butter und alle anderen Waren seien zollfrei.
[3.] Der Zoll solle an die Schöffen gezahlt werden.
[4.] Die Holländer sollten das Hamburger Bier zollfrei kaufen können.
279
Sohn von Wolderich VI. Lappe († ca. 1400) und seiner Frau Geseke.
280
Alverich IX. Lappe († ca. 1412).
218
Regesten der Jahre 14 00 –14 4 0
[5.] Alles Bier und Met, das auf ihre Reede komme, solle verzollt werden, es sei
denn, es komme aus Amsterdam, Kampen oder anderswo in Holland und werde
weiterverschifft.
[6.] Die Hamburger Kaufleute könnten in Stavoren alle Güter, die von See kommen,
verkaufen, so Holz, Bier, Pech, Teer, Hering und anderes Tonnengut.
[7.] Sie dürften das allen anbieten, die den Wachspfennig zahlten.
[8.] Sie dürften das Gut mit fremden und eigenen Schiffen ein- und ausführen.
[9.] Sie dürften die Waren überall in der Stadt anbieten.
[10.] Streitigkeiten könnten sie untereinander schlichten.
[11.] Von Gästen dürften sie Butter, Aal, Käse und Kalbfelle kaufen.
[12.] Der Handel mit den Bürgern Stavorens sei frei.
[13.] Sie dürften auch auf dem Wochenmarkt frei kaufen und verkaufen.
[14.] Sie dürften an Feier- wie Werktagen handeln.
[15.] Sie dürften ihr Bier auch auf kleinen Schiffen aus der Stadt bringen und in
Friesland und Holland verkaufen.
[16.] In Streitfällen mit anderen würde den Hamburger Kaufleuten Recht verschafft wie den eigenen Bürgern Stavorens.
[17.] Die Vereinbarungen sollten ab nächste Ostern [1413 April 23] auf zehn Jahre
gelten und auch danach ihre Gültigkeit behalten, sofern die Hamburger im Land
Westergo nur in Stavoren handelten. Änderungen sollten die Stavorener ein Jahr
vorher ankündigen.
Siegelankündigung Stavorens. Ghegheven int jaer uns Heren dusent vierhundert ende
twelff up sente Johans avent to middenzomer.
Diplomatische Erörterung: Großes Pergament mit Faltung, Plica mit einem an einem
Pergamentstreifen befestigten Siegel. Kanzleivermerk auf der Rückseite: Ene
endracht twisschen den inseten to Staveren und to Hamborg upp[e] vorkopinge erer gudere mangk anderen etc. Dazu: 3 und N, auf dem Pergamentstreifen: R[egistra]ta,
darunter 1412.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Y 10. D = Copiae Archivi.
Edition: HUB, 5, 1056, S. 548.
1412 August 8. Hamburg.
163
219
1412 August 8. 281 Hamburg.
1412.08.08 — Gg 24
163
Gheriit Jacobbssone von Enkhuizen bezeugt, dass Otto Brughberch, Johan Hitvelt, Diderik Luneborgh, Johan Wulff, Heyne Brandes, Johan Ghultzow, Peter Mildehovet und Johan van Alverdinghe, Hamburger Bürger, zwischen den Bürgermeistern und dem Rat von Hamburg und ihm einen Vergleich vermittelt hätten
Gheriit Jacobbssone von Enkhuizen (Enghůzen) in einem offenen Brief: bezeugt, dass
Otto Brughberch, Johan Hitvelt, Diderik Luneborgh, Johan Wulff, Heyne Brandes, Johan
Ghultzow, Peter Mildehovet und Johan van Alverdinghe, Hamburger Bürger, zwischen
den Bürgermeistern und dem Rat von Hamburg und ihm einen Vergleich vermittelt hätten wegen seiner und seiner Gesellschaft Ansprüche an Nicolaus Schoke282
und Hinrik Jenefelde283 namens des Rates und einiger Hamburger Bürger, auf ihren
Anteil des bei der Ergreifung von Ghodeke Michelssone und seinen Gesellen gewonnenen Gutes. Verspricht, Rat, Nicolaus Schoken, Hinrik Jenevelde, die Bürger und
die ganze Gemeinde der Stadt Hamburg mit diesem Brief schadlos zu halten von
allen weiteren Ansprüchen. Siegelankündigung. Gheven […] unde screven to Hamborgh na Godes bord veerteynhundert jaer dar na in deme twelften jare uppe sunte Ciriacus
dagh des hilleghen mertelers.
Diplomatische Erörterung: Nachgedunkeltes Pergament mit Faltung und einigen
Feuchtigkeitsflecken, Plica mit einem an einem Pergamentstreifen angehängten,
kleinen Siegel. Auf der Rückseite zwei Kanzleinotizen: Quitantie Gherd Jacobson.
1412.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 24. D = Copiae Archivi (mit einigen
Korrekturen).
Druck: Laurent, Stortebeker, S. 85–86.
164
1412 Oktober 6. o. O.
1412.10.06 — Ee 22 b [1]
164
Hynricus Knakerugge, Propst des Klosters Harvestehude, gibt demselben Kloster zu seinem Seelenheil und dem seiner Eltern 700 m. lüb. zum Bau der neuen Mühle in Eppendorf
Hynricus Knakerugge, Propst des Klosters Harvestehude, in einem offenen Brief: bekennt, dass er freiwillig und gut beraten demselben Kloster zu seinem Seelenheil
und dem seiner Eltern und Wohltäter 700 m. lüb. gebe, die zum Bau der neuen
Mühle in Eppendorf verwandt worden seien. Dafür sollten Beata und Yda Knakerugghe, dem Kloster übergebene Töchter seines Bruders, vom jeweiligen Propst
auf Lebenszeit jährlich 20 m. Rente aus der Mühle, dem Zoll und den Abgaben
an der Holzladestelle erhalten, 10 m. zu Ostern und 10 m. an Michaelis (September 29). Nach deren Tod solle der Propst der vruwen kemmererschen (der Kämmerin
des Klosters) jährlich an Michaelis 16 m. der Einkünfte für Leinwand geben, die
281
Möglich wäre auch eine Datierung auf 1412 März 16.
282
Ratsherr 1388–1417.
283
Ratsherr 1400–1427.
220
Regesten der Jahre 14 00 –14 4 0
unter den Nonnen für Laken und Hemden verteilt werden sollten. Weiter sollten
die Nonnen viermal im Jahr mit Vigilien und Seelenmessen seiner, seiner Eltern
und seiner Wohltäter gedenken. Wenn einmal ein Propst die 16 m. nicht zahle,
so sollten ihn Dekan und Domkapitel sowie der Rat von Hamburg dazu bewegen.
Zeugen sind Werner Myles, Dekan,284 und Kersten Myles, sein Bruder, Bürgermeister
zu Hamburg.285 Siegelankündigung des Propstes sowie der Zeugen. Gheven na Godes
bord in deme veerteynhundertsten unde twelften iare up den achten dach sunte Michaelis.
Diplomatische Erörterung: Pergament mit Faltung und wenigen nachgedunkelten
Stellen, Plica mit drei gut erhaltenen Siegeln, das mittlere in rotem Wachs, an
Pergamentstreifen. Rückseite mit knappem Vermerk rechts oben: bke ik und
kopfstehender, stark verblasster moderner Bleistiftnotiz.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ee 22 b [1]. D = Copiae Archivi.
Erwähnung: (nach anderer Überlieferung) Urbanski, Geschichte, S. 239.
165
1412 Oktober 6. o. O.
1412.10.06 — Ee 22 b [2]
165
Womela, Äbtissin, Katherina, Priorin, und der gesamte Konvent zu Harvestehude bezeugen, dass ihnen Hynric Knakerugge, ihr Propst, 700 m. lüb. zum Bau der neuen Mühle in Eppendorf gegeben habe, und bestätigen die Gegenleistungen des Klosters
Womela, Äbtissin (ebdische),286 Katherina, Priorin, und der gesamte Konvent zu Harvestehude in einem offenen Brief: bekennen, dass ihnen Hynric Knakerugge, ihr
Propst, zu seinem Seelenheil und dem seiner Eltern und Wohltäter 700 m. lüb. gegeben habe, die zum Bau der neuen Mühle in Eppendorf verwandt worden seien.
Dafür sollten Beata und Yda Knakerugghe, ihrem Kloster übergebene Töchter seines
Bruders, vom jeweiligen Propst auf Lebenszeit jährlich 20 m. Rente aus der Mühle,
dem Zoll und den Abgaben an der Holzladestelle erhalten, 10 m. zu Ostern und
10 m. September 29 (to allen sunte Michaelis daghen). Nach deren Tod solle der Propst ihrer kemmererschen (Kämmerin) jährlich an Michaelis 16 m. der Einkünfte für
Leinwand geben, die unter den Nonnen für Laken und Hemden verteilt werden
sollten. Weiter sollten und wollten sie viermal im Jahr mit Vigilien und Seelenmessen seiner, seiner Eltern und seiner Wohltäter gedenken. Wenn einmal ihr Propst
die 16 m. nicht zahle, so sollten ihn Dekan und Domkapitel sowie der Rat von Hamburg dazu bewegen. Äbtissin, Priorin und der gesamte Konvent geloben die Einhaltung der Zusagen an Beata und Yda sowie an die Testamentsvollstrecker Hynrics.
284
Dekan des Hamburger Domkapitels 1379–1415.
285
Ratsherr seit 1374, Bürgermeister 1378–1420.
286
Wommele Wulfhagen, belegt 1412–1432.
1412 Ok tob er 25. L ok stedt .
221
Zeugen sind Werner Myles, Dekan,287 und Kersten Myles, sein Bruder, Bürgermeister
zu Hamburg.288 Siegelankündigung der Äbtissin und des Konvents sowie der beiden
Zeugen. Gheven na Godes bord in deme dusentsten veerhundertsten unde twelften iare up
den achten dach sunte Michaelis.
Diplomatische Erörterung: Pergament mit Faltung und wenigen nachgedunkelten
Stellen, Plica mit vier gut erhaltenen Siegeln, das dritte in rotem Wachs, an Pergamentstreifen. Rückseite mit Kanzleivermerk rechts oben: Up de mollen tho Eppendorp.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ee 22 b [2]. D = Copiae Archivi.
Erwähnung: Urbanski, Geschichte, S. 58, 76, 93, 98, 226.
166
1412 Oktober 25. Lokstedt.
1412.10.25 — Nn 16
166
Notariatsinstrument des Albertus Beyer, der bezeugt, dass sich vor ihm Marquardus Brasche, Pfarrherr der Kirche zu Schenefeld, und Heyno de Elme, Bürger zu Hamburg, wegen der Gefangennahme Marquards durch Heyno verglichen hätten
Notariatsinstrument des Albertus Beyer, Kleriker der Bremer Diözese, Notar kaiserlicher Autorität. Bestätigt, dass vor ihm und den unten genannten Zeugen erschienen seien auf der einen Seite Marquardus Brasche, Pfarrherr der Kirche zu Schenefeld, frei und ohne jeden Zwang, und auf der anderen Seite Heyno de Elme, Bürger
zu Hamburg, wegen der Gefangennahme Marquards durch Heyno. Nachdem man
sich freundschaftlich geeinigt habe, habe Marquard auf die Evangelien geschworen, dass er Heyno und seine Helfer wegen der Ereignisse weder selbst noch durch
andere, weder an der römischen Kurie noch außerhalb, auf irgendeine Weise belangen, beklagen oder belästigen werde. Das Notariatsinstrument sei auf Bitten
Heynos ausgefertigt worden, in Lokstedt im Haus Ludolf Hedekes, Pfarrherr zu Eppendorf (acta sunt hec in villa Locstede, in domo habitacionis Ludolfi Hedekes, parrochiani in Eppendorpe). – Anno nativitatis eiusdem millesimo quadringentesimo duodecimo
indictione quinta mensis octobris die vicesima quinta hora completorii vel quasi pontificatus sanctissimi in Christo patris ac domini nostri domini Johannis divina providentia pape
vicesimi tercii anno eius tercio. Zeugen: Johannes Rickersen, Hermann Vos,289 Kanoniker,
Johannes Hillemann, ewiger Vikar am Dom, der genannte Ludolf sowie Ludolf Gheverdes, Heyno Gheverdes und Henekin Bile, Laien aus dem Kirchspiel Eppendorf.
287
Dekan des Hamburger Domkapitels 1379–1415.
288
Ratsherr seit 1374, Bürgermeister 1378–1420.
289
Domherr 1410–1428.
222
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Längliches Pergament mit Faltung und Feuchtigkeitsfle-
cken, Notariatsinstrument, mit Notariatszeichen des Albertus Beyer. Auf der
Rückseite kopfstehend und etwas jünger 1412, davor mit Bleistift B. Schräg in der
Ecke die moderne Signatur mit Bleistift: Nn 16.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Nn 16. D = Copiae Archivi.
167
1412 November 10. Lübeck.
1412.11.10 — R 62
167
Hinricus Westhoff, Propst zu Eutin, Richter und Subkonservator der Rechte des Hamburger Domkapitels an alle Geistlichen in den Diözesen Bremen, Lübeck und Ratzeburg: ordnet geistliche Strafen gegen Wernerus Mildehovͤ e t, an, der dem Domkapitel Zehnte und jährliche Einkünfte gewaltsam vorenthalte
Hinricus Westhoff, Propst zu Eutin, Richter und Subkonservator der Rechte des
Hamburger Domkapitels an alle Pröpste, Dekane, Kanoniker, Kapitel, Pfarrherrn,
ewige Vikare und andere Geistliche in den Städten und Diözesen Bremen, Lübeck
und Ratzeburg: er habe von der schweren Klage von Dekan und Domkapitel zu
Hamburg erfahren, dass ihnen ein gewisser Wernerus
Mildehovͤet, ein Knappe (armiger), ohne Rücksicht auf sein Seelenheil Zehnte und
jährliche Einkünfte gewaltsam vorenthalte, obwohl er mehrfach gemahnt worden
sei. Aufgefordert, Abhilfe zu schaffe, befehle er ihnen deshalb in virtute sanctae
obedientie unter Androhung von Strafen, Werner und seine Helfer bei den Messen
von der Kanzel aufzufordern, Dekan und Domkapitel innerhalb von neun Tagen
die Zehnten in Nyenreybroke und weitere Einkünfte zu erstatten. Wenn dies nicht
geschehe, würden Werner und seine Helfer der Exkommunikation verfallen, nach
weiteren neun Tagen ohne Wiedergutmachung der verschärften Exkommunikation. Wenn nach weiteren neun Tagen nichts geschehe, sollten alle Christgläubigen
beiderlei Geschlechts Werner und seinen Helfern weder etwas verkaufen noch von
ihnen kaufen, sich mit ihnen aufhalten oder reiten, sie aufnehmen oder anderweitig unterstützen. Verstöße dagegen würden ebenfalls mit der Exkommunikation
bestraft. Siegelankündigung des Ausstellers. Datum Lub[ecke] anno domini millesimo
quadringentesimo duodecimo die decima mensis Novembris.
Diplomatische Erörterung: Nahezu quadratisches Pergament mit Faltung, Loch und
Naht links unten, links eingeschnittene Plica mit drei Einschnitten für die Befestigung von Pergamentstreifen, einer ausgerissen, zwei erhalten, aber ohne
Siegel. Rückseite mit knappen Kanzleivermerken von verschiedener Hand: Litera
decimae. In Nyenreibrock. 1412. N. 37 (Ziffer korrigiert).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. R 62. D = Copiae Archivi.
1412 D ezemb er 6. Bergedor f.
168
223
1412 Dezember 6. Bergedorf.
1412.12.06 — Ee 53 [1]
168
Arnd Heest, Knappe, bekennt, dass er sich mit Bürgermeistern und Ratsherren der Städte Lübeck und Hamburg wegen allerlei Unwillen, Schaden und Zwietracht zwischen ihnen freundlich geeinigt und ausgesühnt hätte
Arnd Heest, Knappe, in einem offenen Brief: bekennt, dass er sich mit Bürgermeistern und Ratsherren der Städte Lübeck und Hamburg wegen allerlei Unwillen,
Schaden und Zwietracht, die sie zu ihm und er und seine Erben zu ihnen gehabt
hätten, freundlich geeinigt und ausgesühnt hätte. Er verzichte daher für sich und
seine Erben auf alle Ansprüche und Mahnungen gegenüber den beiden Städten
und schwöre, ihre Bürger und Untertanen sowie den Kaufmann insgesamt nie
mehr zu schädigen und zu hindern oder schädigen und hindern zu lassen. Er wolle
weder heimlich noch offenbar in (an) eine der beiden Städte kommen ohne ihren
Willen. Henning Heest, Arnds Vater, und seine Brüder Henning und Tonyes [Heest]
geloben ebenfalls, diese Zusagen einzuhalten und an Lübeck und Hamburg keine
weiteren Forderungen zu erheben. Falls ihre Erbherren gegen Lübeck und Hamburg Krieg führten, sollten diese ihnen zusichern, dass dadurch der erreichte Ausgleich nicht gefährdet würde; und beide Seiten sollten die Sühne auch nach Ende
von Konflikten weiter einhalten. Bürgen gegenüber Bürgermeistern und Ratsherren von Lübeck und Hamburg sind Heyne, Otto, Vicke und Detleff Schacken, Henneke
Kastorpe und Clawes Wolff, Knappen. Siegelankündigung der Heest und der Bürgen.
Gheven und geschen to Bergerdorpe na Godes bord verteynhundert jar und twelff jar an
sunte Nicolai daghe des hilgen bischopes.
Diplomatische Erörterung: A1: Pergament mit Faltung, zahlreichen Feuchtigkeitsfle-
cken und daraus resultierenden umfangreichen Textverlusten, Plica und Rückseite mit Papier überklebt, in der Plica zehn Einschnitte, an denen noch neun
Pergamentstreifen eingehängt sind; daran sind aber nur geringe Reste von drei
Siegeln erhalten. / A2: Pergament, Plica mit zehn Siegeln.
Überlieferung: A1 = StAHH 710-1 I Threse I, Nr. Ee 53 [1]. A2 = AHL, 07.1-3/18-Holsatica
327. D = Copiae Archivi [als Ee 53 b].
Edition: UB Stadt Lübeck, 5, CDXXXI, S. 473–475 (nach vollständiger Vorlage).
Erwähnung: Jan Habermann, Spätmittelalterlicher Niederadel im Raum nördlich
der Elbe. Soziale Verflechtung, Fehdepraxis und Führungsanspruch regionaler
Machtgruppen in Südholstein und Stormarn (1259 bis 1421), (Verherrschaftungen in Reich, Raum und Regionen, 1), Norderstedt 2015, S. 258 (zu Klaus Wolff).
224
Regesten der Jahre 14 00 –14 4 0
169
1412 Dezember 6. [Hamburg].
1412.12.06 — Ee 53 [2]
169
Bürgermeister und Rat der Stadt Hamburg bekennen, dass sie sich auf Bitten der Herzöge Erich (V.) und Johann von Sachsen-Lauenburg mit Hennyng, Arnd, Hennyng und Tönnies Heeste friedlich geeinigt hätten und damit alle Fehde beendet sei
Bürgermeister und Rat der Stadt Hamburg in einem offenen Brief: bekennen, dass
sie sich auf Bitten der Herzöge Erich [V.] und Johann von Sachsen-Lauenburg290
mit Hennyng, Arnd, Hennyng und Toͤnyeze (Tönnies) Heeste friedlich geeinigt hätten,
damit alle Fehde beendet sei und keine Ansprüche zwischen diesen und ihren Bürgern, Untertanen und deren Erben (unse boͤrghere, undersaten unde nakoͤmelyenge)
mehr beständen. Vielmehr seien nun eine vollständige Sühne und ewiger Friede
vereinbart. Allerdings solle Arnd Heest weder heimlich noch offen in ihre Stadt
kommen. Ankündigung des Sekrets der Stadt. Gheven na der bort Crysti veerteynhundert iaer daerna in deme twolften iaere in deme daghe Nycolai des hylghen byscopes.
Diplomatische Erörterung: Abschrift auf Papier, Faltung. Rückseite mit modernem Ver-
merk: ad E.e.53, dazu moderne Signatur in Bleistift.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ee 53 [2]. D = Copiae Archivi [als Ee 53 a].
170
170
Bertold Gogreve erklärt Hamburg die Fehde
1412 Dezember 26. 291 o. O.
1412.12.26 — Gg 23 [1]
Bertold Gogreve an Bürgermeister, Ratsherren und Bürger der Stadt Hamburg: erklärt ihnen mit seinen Knechten, Helfern und Mitstreitern Fehde. Siegelankündigung. Gegeven na Godes bord verteynhundert jar in deme twelfften jare in sunte Steffens
dage des hilgen mertelers.
Diplomatische Erörterung: Kleines Papier, mit Faltung und einem beschädigten Siegel
vorn aufgedrückt, rechts unten zwei Einschnitte. Rückseite: blauer Rundstempel
mit kyrillischen Buchstaben und in Bleistift die moderne Signatur Gg 23.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 23 [1]. D = Copiae Archivi.
Regest: Lehe, Fehden, S. 163.
171
1412 Dezember 26. 292 o. O.
1412.12.26 — Gg 23 [2]
171
Bertold Ghogreve an Adolf IX. und Otto, Grafen von Holstein und Schauenburg: habe der Stadt Hamburg die Fehde erklärt
Bertold Ghogreve an Adolf und Junker Otte, seinen Sohn, Grafen von Holstein und
Schauenburg:293 teilt mit, mit seinen Knechten, Helfern und Mitstreitern der Stadt
290
Erich V., Herzog von Sachsen-Lauenburg (1411–1435), und Johann [IV.] († 1414).
291
Mit Weihnachtsstil eventuell auf 1411 Dezember 26 zu korrigieren.
292
Mit Weihnachtsstil eventuell auf 1411 Dezember 26 zu korrigieren.
293
Adolf IX. (X.) (1404–1426) und Otto II. (1426–1464) von Holstein-Pinneberg und Schauenburg.
[1413]. o. O.
225
Hamburg und den Bürgern Fehde erklärt zu haben. Würden er und die Seinen bei
einem Eingreifen ihrerseits zu Schaden kommen, würden sie auch ihr Feind werden. Siegelankündigung. Ghegeven na Godes bord verteynhundert jar in dem twelfften
jare in sunte Sthephens dage des hiliegen mertelers.
Diplomatische Erörterung: Papier mit Faltung, rechts etwas eingerissen. Moderner
Vermerk auf der nachgedunkelten Rückseite, links quer: Ad Thresam G.g. n. 23,
dazu blauer Rundstempel mit kyrillischen Buchstaben und kleiner Wachsrest.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 23 [2]. D = Copiae Archivi.
172
172
Verzeichnis von Namen zur Wandbereiderschen Fehde
[1413]. o. O.
[1413] — Gg 25 [6]
Verzeichnis von Namen zur Wandbereiderschen Fehde: Hermen Spyghel, Ritter, Hermen van Ghummern, Arnd Schade, Bernd van Horhusen, Conrad und Ludolf Elmerkusen,
Brüder, Ludolf marschalk Lechtenow, Ludolf van Flechten, Bernd Wandbereder, Hermen
von Hertinghishusen.
Diplomatische Erörterung: Papier in Schmalfolio mit Faltung, einseitig beschrieben,
von zeitgenössischer Hand.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 25 [6]. D = Copiae Archivi.
173
1413 Januar 17. Hamburg.
1413.01.17 — Q 87
173
Woldeke Lappe, Knappe des Stiftes von Bremen, quittiert den Empfang von 90 m. durch die Kämmerer des Rates von Hamburg, aufgrund seiner und seines verstorbenen Vetters Alveriik Lappe Rente vom Hamburger Rat
Woldeke Lappe, Sohn des Wolder Lappe,294 Knappe des Stiftes von Bremen, in einem
offenen Brief: quittiert den heutigen Empfang von 90 m. durch Hinrik Jenevelde295
und Ludeke Lutow,296 Kämmerer des Rates von Hamburg, aufgrund seiner und seines verstorbenen Vetters, Alveriik Lappe,297 jährlichen Rente vom Hamburger Rat.
Ankündigung der Siegel von Woldeke und von Heyne Hardenacke, Hamburger Bürger. Gheven unde screven […] to Hamborgh in deme jare unses Heren dusent veerhundert in
deme drutheynden jare in sunte Anthonius daghe.
294
Wolderich VI. Lappe († ca. 1400), verheiratet mit Geseke.
295
Ratsherr 1400–1427.
296
Ratsherr 1409–1427.
297
Alverich IX. Lappe († ca. 1412).
226
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergament mit Faltung und zahlreichen Feuchtigkeitsfle-
cken, Plica mit zwei an Pergamentstreifen erhaltenen Siegeln. Kanzleinotiz auf
der Rückseite: Lappen. 1413.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 87. D = Copiae Archivi.
174
1413 Februar 24. Schauenburg.
1413.02.24 — M 11 b
174
Adolf IX., Graf von Holstein, teilt mit, dass in seiner Stadt Hamburg an der Elbe ein Zoll, aus dem geistliche und weltliche Personen eine Rente bezögen, von Elbfahrern erhoben werde, und er denen beistehe, die die Umgehung des Elbzolls verhinderten
Alf, Graf von Holstein, Stormarn und Schauenburg,298 in einem offenen Brief: teilt
mit, dass in seiner Stadt Hamburg an der Elbe ein Zoll, aus dem geistliche und weltliche Personen eine jährliche Rente bezögen, von den Elbfahrern erhoben werde, und er denen, die die Umgehung des Elbzolls verhinderten, beistehen werde.
Siegelankündigung. Gheven […] to Schowenborch up unsem slote na Godes bord dusend
verhundert darna in dem drutteynden jare an sunte Mathies daghe.
Diplomatische Erörterung: ---. Deperditum, Kriegsverlust [Auskunft des Archivs vom
25.10.2019].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. M 11 b. D = Copiae Archivi [mit M 11
a, von 1412 Februar 28, oben Nr. 156; nur die Veränderungen in Transkription;
danach hier].
175
1413 April 28. o. O.
1413.04.28 — Ss 47
175
Ulric Bishorst macht bekannt, dass er Dekan und Kapitel der Hamburger Kirche zum Nutzen des Altars St. Alexii in der Petrikirche für 150 m. Pfennige 10 m. Rente aus seinem Erbe in der Gerberstraße verkauft habe
Ulric Bishorst in einem offenen Brief: macht bekannt, dass er mit Zustimmung seiner Erben und Verwandten Dekan und Kapitel der Hamburger Kirche zum Nutzen
des Altars St. Alexii in der Petrikirche, den jetzt Meister Nicolaus Voͤrdis besitze,
10 m. Rente aus seinem Erbe in der Gerberstraße (Gherwerstrate), auf dem er neu
gebaut habe, an der Twiete, die zu den Franziskanern (to den barvoten bruderen)
führe, zwischen den Hofstätten des Richard Grove und des Junghe Clawes, verkauft
habe, für 150 m. Pfennige. Die Rente solle der Kirche bzw. dem Inhaber der Pfründe
regelmäßig jährlich in den acht Tagen zu Ostern gezahlt werden. Wenn auf dem
Erbe eine weitere Rente verkauft werde, solle das nicht die Zahlung der 10 m. beeinträchtigen. Von dieser Rente sollten auch kein städtischer Schoss oder andere
Abgaben gezahlt werden müssen. Er und seine Erben könnten die Rente jeweils in
den acht Tagen nach Ostern für 150 m. zurückkaufen, müssten das aber ein halbes
Jahr vorher ankündigen. Ulric Byshorst und sein Bruder Hinrik geloben gemein-
298
Adolf IX. (X.), Graf von Holstein-Pinneberg und Schauenburg (1404–1426).
1413 April 30. o. O.
227
sam die Einhaltung des Vertrags. Siegelankündigung der beiden Brüder. Gheven na
Ghodes bord in deme dusentsten veerhundertsten unde dritteynden yare up den vrydach in
der pascheweken.
Diplomatische Erörterung: Nachgedunkeltes Pergament mit Faltung, Plica mit zwei an
Pergamentstreifen angehängten kleineren Siegeln. Rückseite unten in der Mitte
durch starkes Nachdunkeln teilweise schwerer lesbarer Vermerk: [Super emtionen
redditus decem marcarum] quam obtinet dominus Nicolaus [Voͤrdis] in ecclesia Sancti
Petri [Hamburgensis] ad altare Sancti Allexii sub data anno incarnationis domini 1413
Pasche. Darunter noch einmal jünger: 1413.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ss 47. D = Copiae Archivi.
176
1413 April 30. o. O.
1413.04.30 — W 22
176
Bernt Langhe, Bürger zu [Hamburg], bekennt den Empfang von 50 m. von Herman Langhe, Ratsherr, Albert Borsteden und Hinrik Vermersen, Bürger zu Hamburg, Verwaltern einer Messenstiftung an St. Nicolai, für 4 m. Rente auf seinem Haus in der Gröningerstraße
Bernt Langhe, Bürger zu [Hamburg], in einem offenen Brief: bekennt, dass er zu seiner vollen Genüge 50 m. Pfennige empfangen habe von Herman Langhe, Ratsherr,299
Albert Borsteden und Hinrik Vermersen, Bürger zu Hamburg, Verwaltern der Messenstiftung (vormunderen [tho] der myssen almisse), die einst Ludeke van der Word und
seine Ehefrau Yde gegründet hätten und jetzt Ricbern an St. Nicolai verwahre. Dafür
verkaufe er Herman, Albert und Hinrik auf seinem Haus in der Gröningerstraße (in
der groninghestraten) zwischen den Erben von Mathias Walkemole und Hans Bruggeman 4 m. Rente, die Ricbern in zwei Raten, 2 m. an Michaelis und 2 m. zu Ostern,
ohne Verzug zu zahlen seien. Er könne die Rente für 60 m. ablösen, wenn er dies
Herman, Albert und Hinrik ein halbes Jahr vorher ankündige. Er gelobe ihnen dies
fest für sich und seine Erben. Siegelankündigung. Gegeven unde geschreven […] na
unses Heren bort in deme dusentsten veerhundersten unde dirteen jar des nyesten sondages
na Paschen alze men singhet Quasi modo geniti.
Diplomatische Erörterung: Pergament mit Faltung und Feuchtigkeitsflecken, entlang
der Faltlinie sowie rechts oben teilweise eingerissen und zusammengeschoben,
mit Löchern und einigen Textverlusten, breite Plica mit einem Schlitz für die
Befestigung eines Siegels, aber das Siegel ist ab. Unten rechts auf der Plica die
moderne Signatur W 22. Rückseite mit Kanzleivermerken: 1403 [sic]. E. R[egistra]ta.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. W 22. D = Copiae Archivi
Erwähnung: Vollmers, Pfarreien, S. 542.
299
Ratsherr 1380–1414.
228
177
Regesten der Jahre 14 00 –14 4 0
1413 Mai 15. o. O.
1413.05.15 — Gg 25 [1]
177
Conrad und Ludolff von Elmerkusen, Brüder, Ludolff der Marschall und Ludolff von Flechten erklären Hamburg die Fehde, falls die Stadt ihrem Verwandten Bernd Wandbereider nicht wieder zu seinem Gut verhelfe
Conrad und Ludolff von Elmerkusen, Brüder, Ludolff der Marschall (dii marschalk) und
Ludolff von Flechten an Bürgermeister, Schöffen, Rat und Gemeinde zu Hamburg
[Homborg]: ihrem Verwandten Bernd Wandbereider sei mit Gewalt das Seine genommen worden. Falls sie ihm nicht wieder zu seinem Gut verhelfen, würden sie und
ihre Helfer der Stadt Fehde erklären. Siegelankündigung der vier Aussteller. Gegeven des mandages nest noch Jubilate sub anno Domini mocccco tredecimo.
Diplomatische Erörterung: Papier, mit Faltung. Rückseite mit Resten des briefschlie-
ßenden Siegels sowie dreier weiterer Siegel, die letzten zwei mit Papier überklebt.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 25 [1]. D = Copiae Archivi.
Regest: Lehe, Fehden, S. 164.
178
1413 Mai 17. o. O.
1413.05.17 — Gg 25 [2]
178
Herman von Hertingishusen erklärt Hamburg die Fehde, falls die Stadt seinem Verwandten Bernd Wandbereyder nicht wieder zu seinem Gut verhelfe
Herman von Hertingishusen an Bürgermeister, Rat und gemeine Bürger der Stadt
Hamburg [Homborg]: sein Verwandter Bernd Wandbereyder sei verunrechtet, vertrieben und ihm mit Gewalt das Seine genommen worden. Falls sie ihm nicht wieder zu seinem Gut verhelfen, würden er und seine Helfer der Stadt Fehde erklären,
um seine Ehre zu wahren. Siegelankündigung des Ausstellers. Gegheven des mittewochin neist nach Jubilate […] sub anno domini millesimo quadringentesimo tredecimo.
Diplomatische Erörterung: Papier, mit Faltung. Rückseite mit Resten des briefschlie-
ßenden Siegels, dieses ist mit Papier überklebt.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 25 [2]. D = Copiae Archivi.
Regest: Lehe, Fehden, S. 164.
179
1413 Mai 18. o. O.
1413.05.18 — Gg 25 [3]
179
Bernd von Horhusen erklärt Hamburg die Fehde, falls die Stadt seinem Verwandten Bernd Wandbereyder nicht wieder zu seinem Gut verhelfe
Bernd von Horhusen an Bürgermeister, Rat und gemeine Bürger der Stadt Hamburg
[Homborg]: sein Verwandter Bernd Wandbereyder sei verunrechtet, vertrieben und
ihm mit Gewalt das Seine genommen worden. Falls sie ihm nicht wieder zu seinem
Gut verhelfen, würden er und seine Helfer der Stadt Fehde erklären, um ihre Ehre
zu wahren. Siegelankündigung des Ausstellers. Gegeven des donirstages nest noch Jubilate […] sub anno domini mocccco tredecimo.
1413 Mai 20. o. O.
229
Diplomatische Erörterung: Papier, mit Faltung. Rückseite mit Resten des briefschlie-
ßenden Siegels, dieses ist mit Papier überklebt.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 25 [3]. D = Copiae Archivi.
Regest: Lehe, Fehden, S. 164.
180
1413 Mai 20. o. O.
1413.05.20 — Gg 25 [4]
180
Herman Spigel, Ritter, erklärt Hamburg zusammen mit Herman von Gummern, Arnt Schade und ihren Helfern die Fehde, falls die Stadt seinem Verwandten Bernd Wandbereider nicht wieder zu seinem Gut verhelfe
Herman Spigel, Ritter, an Bürgermeister, Rat und gemeine Bürger der Stadt Hamburg [Homborg]: sein Verwandter Bernd Wandbereider sei verunrechtet, vertrieben
und ihm mit Gewalt das Seine genommen worden. Falls sie ihm nicht wieder zu
seinem Gut verhelfen, würden er, Herman von Gummern, Arnt Schade und ihre Helfer
der Stadt Fehde erklären, um ihre Ehre zu wahren. Siegelankündigung Hermans.
Gegeven des sonavendes nest noch Jubilate […] sub anno domini mocccco tredecimo.
Diplomatische Erörterung: Papier, mit Faltung. Rückseite mit Resten des briefschlie-
ßenden Siegels, dieses ist mit Papier überklebt.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 25 [4]. D = Copiae Archivi.
Regest: Lehe, Fehden, S. 164.
181
1413 Juni 1. o. O.
1413.06.01 — Gg 25 [5]
181
Bernd Wandbereider erklärt wegen des ihm zugefügten Unrechts und der Gewalt, die ihm geschehen seien und für die er keine Entschädigung erhalten könne, die Fehde
Bernd Wandbereider an Bürgermeister, Rat und die ganze Gemeinde der Stadt Hamburg [Homborg]: erklärt der Stadt wegen des ihm zugefügten Unrechts und der Gewalt, die ihm geschehen seien und für die er keine Entschädigung erhalten könne,
die Fehde, zusammen mit seinen Verwandten und allen, die er dafür gewinnen
könne. Siegelankündigung des Ausstellers. Gegeven uff unses Heren Hymmelvart
dage […] sub anno domini mocccco tredecimo.
Diplomatische Erörterung: Papier, mit Faltung. Rückseite mit Resten des briefschlie-
ßenden Siegels, dieses ist mit Papier überklebt.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 25 [5]. D = Copiae Archivi.
Regest: Lehe, Fehden, S. 164.
182
1413 September 9. Hamburg.
1413.09.09 — Gg 26
182
Lemmeke Mildehoved, Knappe, bekennt, sich mit der Stadt Hamburg bezüglich seines Dienstes und der Vogtei geeinigt zu haben
Lemmeke Mildehoved, Knappe, in einem offenen Brief: macht bekannt, sich mit den
Bürgermeistern und Ratsherren der Stadt Hamburg bezüglich seines Dienstes
und der Vogtei geeinigt zu haben. Erklärt seinen Dank und dass er künftig mit
230
Regesten der Jahre 14 00 –14 4 0
ihnen und ihrer Stadt auf das Beste umgehen werden, wie das auch von Seiten der
Hamburger gegenüber ihm und den Seinen gelte. Siegelankündigung. Gheven unde
screven […] tho Hamborgh in den jaren der boert unses Heren dusent veerhundert unde
drutteyn jaer des neghesten daghes na unser vrouwen daghe alse zee gheboren waert.
Diplomatische Erörterung: Pergament mit Faltung, Feuchtigkeitsflecken und Rissen
entlang der Faltlinie, breite Plica mit einem an einem Pergamentstreifen befestigten, gut erhaltenen Siegel. Auf der Rückseite Kanzleinotiz: 1413.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 26.
183
1413 November 18. Hamburg.
1413.11.18 — Q 88
183
Woldeke Lappe, Knappe des Stiftes von Bremen, quittiert den Empfang von 60 m. jährlicher Rente durch die Kämmerer des Rates von Hamburg
Woldeke Lappe, Sohn von Wolder Lappe,300 Knappe des Stiftes von Bremen, in einem
offenen Brief: quittiert den heutigen Empfang von 60 m. lüb. durch Alberd Schreyge301 und Johan Wyghe,302 Kämmerer des Rates und der Stadt Hamburg, an jährlicher
Rente vom Hamburger Rat. Spricht die Hamburger von allen Forderungen wegen
der 60 m. sowie der Renten aus den letzten Jahren frei. Ankündigung der Siegel
von Woldeke und von Heine Hardenacke, Hamburger Bürger. Gheven unde screven […]
tho Hamborch an dem jare unses Heren dusent veerhundert dar na in dem dorteyden jare
des sunavendes vor sunte Elzebeen daghe.
Diplomatische Erörterung: Pergament mit Faltung und zahlreichen Feuchtigkeitsfle-
cken, Plica mit zwei an Pergamentstreifen befestigten, gut erhaltenen Siegeln.
Kanzleinotiz auf der Rückseite unten in der Mitte: Lappen. 1413.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 88. D = Copiae Archivi.
184
1414 April 8–15. Lübeck.
1414.04.08–15 — Y 4
184
Bürgermeister, Rat und Gemeine zu Lübeck machen bekannt, dass sie mit Bürgermeistern, Rat und Gemeine zu Hamburg für besonderen Nutzen und Frieden auf drei Jahre von Ausstellung der Urkunde ein Bündnis zum Schutz gegen Angriffe Dritter geschlossen hätten
Bürgermeister, Ratsherren und Gemeine (menheid) zu Lübeck in einem offenen
Brief: machen bekannt, dass sie mit Bürgermeistern, Ratsherren und Gemeine zu
Hamburg für besonderen Nutzen und Frieden auf drei Jahre von Ausstellung der
Urkunde ein Bündnis (eene vrundliche eendracht unde tosathe) geschlossen hätten.
Folgendes sei vereinbart:
300
Wolderich VI. Lappe († ca. 1400), verheiratet mit Geseke.
301
Ratsherr 1380–1426.
302
Ratsherr seit 1407, Bürgermeister 1420–1438.
1414 April 8 –15. Lüb eck .
231
[1.] Würde irgendeiner der Fürsten, Landesherren, Ritter oder Knechte gegen
Recht und mit Gewalt die Stadt Hamburg, ihre Bürger und die Ihren oder den
Kaufmann schädigen oder kämen sie mit jemandem in eine Fehde und würde ihnen ihr Recht verweigert, würden die Lübecker es einfordern, ihre Verhandlungen
besenden und ausreiten, so oft sie das erbäten, mit Ausnahme der Angelegenheit
zwischen den Lübeckern und dem Alten Rat außerhalb Lübecks.
[2.] Im Falle von Gewalt oder Unrecht wollten die Lübecker solange bei ihrer Hilfe
bleiben, bis die Hamburger zu ihrem Recht gekommen wären. Dies soll so geschehen:
[2.a.] Wenn die Hamburger durch jemanden geschädigt oder verunrechtet würden, würden die Lübecker ihnen mit 40 gewappneten Männern und 10 Schützen
zu Pferde zu Hilfe kommen, spätestens 14 Tage, nachdem ihnen das die Hamburger
angekündigt hätten. Diese würde ihnen auf Kosten der Lübecker geschickt, doch
in Hamburg würden die Hamburger die Kosten übernehmen, dürften ihnen aber
keinen Zoll geben.
[2.b.] Wenn die Gewappneten und Schützen aufs Land zögen, würden die Lübecker
Gefahren absichern (dat eventure stan), nicht aber die Kosten.
[3.] Würden im Krieg Städte, Burgen oder Befestigungen gewonnen, würden sich
der Hamburger und der Lübecker Rat treffen, um zu besprechen, was nützlich und
redlich sei. Würden sie Nutzen aus Gefangennahmen ziehen oder Beute machen,
sollten diese nach Mannzahl geteilt werden, mit Ausnahme von Lebensmitteln
(ethenee), die die Hamburger vor der Teilung zur Hälfte erhalten sollten.
[4.] Würden sie oder die Hamburger zu Wasser angegriffen, sollten die Hamburger
das mit den Ihren auf der Elbe regeln, die Lübecker auf der Trave. Wären die Gegner für einen allein zu stark und würde um Hilfe gebeten, würden die Lübecker
wiederum 40 gewappnete Männer und 10 Schützen schicken, um gemeinsam zu
Lande und zu Wasser vorzugehen.
[5.] Während der drei Jahre sollten sie mit niemandem Frieden schließen oder sich
ausgleichen ohne die Zustimmung der Hamburger.
Die Hamburger sollten die vereinbarten Punkte auf dieselbe Weise einhalten, wie
sie auch der von ihnen zugleich besiegelte Brief ausweise. Nach drei Jahren sollten
sie gemeinsam entscheiden, ob sie das Bündnis verlängern sollten. Bürgermeister,
Rat und Gemeine zu Lübeck beschwören den Hamburgern, ihren Freunden, die
getreue Einhaltung. Siegelankündigung Lübecks. […] Gheven und screven […] in dem
jare der bord unses Heren veerteinhundert unde vertein jar binnen den achtedagen der
hilgen hochtijd to Paschen.
232
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Großes Pergament mit Faltung und wenigen nachgedun-
kelten Stellen, breite Plica mit einem an einem Pergamentstreifen befestigten
großen, gut erhaltenen Siegel in gelbem Wachs mit rückseitigem Sekretsiegel.
Rückseite mit etwas späterem Kanzleivermerk: Ene tohopesat[e] der van Lubeke
un[de] Hamborch, dat[um] 1414.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Y 4. D = Copiae Archivi.
Edition: UB Stadt Lübeck, 5, CDXCIII, S. 535–537.
Regest: VirtHambUB, Hamburg1414.04.08.
Erwähnung: Ballheimer, 4, S. 7.
185
1414 April 26. o. O.
1414.04.26 — Ee 54
185
Richart Grove, Hamburger Bürger, bekennt, dass er von Bürgermeister und Rat von Hamburg 100 m. erhalten und ihnen dafür eine jährliche Abgabe von einem Wispel Roggen aus der Mühle in Hamburg verkauft und übereignet habe
Richart Grove, Hamburger Bürger, in einem offenen Brief: macht bekannt, dass er
von Bürgermeister und Rat von Hamburg zu seiner Genüge 100 m. Pfennige erhalten und ihnen dafür eine jährliche Abgabe von einem Wispel Roggen aus der
Mühle in Hamburg (ene wischepel rogghen gulde in der molen to Hamborgh) verkauft
und übereignet habe, ohne Widerspruch seitens der Erben und Verwandten. Diese
Abgabe habe er von seiner Mutter Gheze ererbt, die sie ihrerseits beim Tode ihres
Mannes, des Hamburger Ratsherrn Hermann Bispinghe,303 erhalten habe. Bürgermeister und Rat hätten den Brief, mit dem Hermann den Wispel Roggen aufgelassen habe, besiegelt von Herrn Willeke, Propst des Klosters Harvestehude (des
cloesters to deme Junkfrouwedale), den sie nach ihrem Willen gebrauchen könnten.
Siegelankündigung Richarts. Gheven unde screven […] in dem jare der boert unses Heren
veerteynhundert unde veerteyn jaer, des ander daghes na sunte Marcus daghe.
Diplomatische Erörterung: Pergament mit Faltung, vielen Feuchtigkeitsflecken und
geringem Textverlust durch einen Ausriss entlang der Faltlinie, Plica mit angehängtem Pergamentstreifen, an Plica abgeschnitten, Siegel ab, auf der Plica
moderne Signatur mit Bleistift Ee 54. Rückseite mit kurzen Vermerken: V T t (untereinander) und R[egistra]ta.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ee 54. D = Copiae Archivi.
303
Fehlt bei Schuback, verzeichnet ist nur Nicolaus Bisping, Ratsherr 1400–1417.
1414 Ok tob er 25. o. O.
186
233
1414 Oktober 25. o. O.
1414.10.25 — Q 89
186
Woldeke Lappe, Knappe des Stiftes von Bremen, quittiert den Empfang von 60 m. jährlicher Rente durch die Kämmerer des Rates von Hamburg
Woeldeke Lappe, Sohn von Wolder Lappe,304 Knappe des Stiftes von Bremen, in einem
offenen Brief: quittiert den heutigen Empfang von 60 m. lüb. durch Hinrik Jenvelde305 und Johan Wige,306 Kämmerer des Rates und der Stadt Hamburg, an jährlicher
Rente vom Hamburger Rat. Spricht die Hamburger von allen Forderungen von den
Renten aus den letzten Jahren sowie insbesondere von den 60 m. frei. Ankündigung der Siegel von Woldeke und von Heyne Hardenacke, Hamburger Bürger. Gheven
unde screven […] in dem jare unses Heren veerteinhundert unde veerteyne in sunte Crispini
unde Crispinianus daghe der hilghen mertelere.
Diplomatische Erörterung: Pergament mit Faltung und einigen Feuchtigkeitsflecken,
Plica mit zwei an Pergamentstreifen befestigten, relativ gut erhaltenen Siegeln.
Kanzleinotiz auf der Rückseite: Lappen 1414.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 89.
187
1414 November 13. Lauenburg.
1414.11.13 — Uu 35
187
Erich [V.], Herzog von Sachsen[-Lauenburg], erklärt sein Einverständnis mit der Verpfändung von 9 m. aus dem Gut Basthorst durch Johan Schakke, zugunsten der Vikarie an St. Nicolai zu Hamburg, die Ratsherr Albert Hoyger gestiftet habe
Erich, Herzog von Sachsen, Engern und Westfalen,307 in einem offenen Brief: bekennt für sich und seine Brüder,308 dass Johan Schakke, sein Getreuer, ihm berichtet habe, dass er vorpendet unde vorseed habe im Gut to der Basthorst 9 m. für die
Vikarie309 an St. Nicolai zu Hamburg, die Albert Hoyger, Ratsherr,310 gestiftet habe.
Gibt sein Einverständnis, niemand solle Johan daran hindern. Siegelankündigung.
Ghscreven unde gheven […] to Louenborch na Godes ghebord verteynhundert jar dar na an
deme verteynden jare des dynxczedages na sunte Martens daghe des hillighen bysschoppes.
304
Wolderich VI. Lappe († ca. 1400), verheiratet mit Geseke.
305
Ratsherr 1400–1427.
306
Ratsherr seit 1407, Bürgermeister 1420–1438.
307
Erich V., Herzog von Sachsen-Lauenburg (1411–1436).
Wahrscheinlich Bernhard II., sein Nachfolger als Herzog von Sachsen-Lauenburg (1436–1463), und
Otto († 1431). Die anderen noch lebenden Brüder waren Geistliche.
308
Das Kopfregest von D spezifiziert, dass es sich um die St. Annen-Vikarie gehandelt habe, ohne dass
die Quelle selbst jedoch Hinweise darauf gibt.
309
310
Ratsherr 1374–1386.
23 4
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergament mit Faltung, Plica mit an einem Pergamentstrei-
fen angehängten, gut erhaltenen Siegel. Auf der Rückseite verschiedene Kanzlei- und Archivnotizen, die älteren, in der Mitte kopfstehend: Johan Schakken to
d[em] Basthorst, und etwas älter, quer: Dit sind Bruneken breve van Coden. Moderne
Archivnotizen ebenfalls kopfstehend in Bleistift, so in der Mitte Altsignatur Cl. I
Lit. O (und Streichung), dazu: vicarie für St. Nicolai. Links wiederum ad Cl. I Lit. O 710.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Uu 35. D = Copiae Archivi.
188
1414 Dezember 3. Hamburg.
1414.12.03 — Tt 34
188
Wernerus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass Johannes Symeshusen eine Vikarie am Altar St. Barbaras in St. Petri mit Renten von 28 m. ausstatten wolle, nehmen die Gelder unter kirchlichen Schutz und errichten die Vikarie
Wernerus, Dekan,311 und das Domkapitel zu Hamburg in einem offenen Brief: machen bekannt, dass vor ihnen Johannes Symeshusen erklärt habe, für sein Seelenheil
und das seiner Vorfahren und Verwandten am Altar St. Barbaras in der Petrikirche eine Vikarie zu Ehren Gottes, seiner Mutter Maria und St. Bartholomei mit
folgenden Renten ausstatten wolle: von seinem Erbe an der Ecke der Straße, die
vom Dominikanerkloster zum Weinkeller führe, auf der rechten Seite, 12 m.; vom
Haus von Johannes von dem Haghen im Grimm (in deme Grymme) zwischen den Erben
von Johannes Einbeke und Nicolaus de Weden 14 m.; vom Haus des Johannes Kremer
beim Pferdemarkt an der Straße, die zur Alster führe (iuxta Perdemarket in parrochia
Sancti Jacobi in platea transeunte ad valvam stagni Alstrie), zwischen den Erben von Jacobus Berndes und Johannes Schreye, 2 m. Dekan und Domkapitel nehmen die Renten
auf Bitten von Johannes Symeshusen unter kirchlichen Schutz und nutzen sie zur
Errichtung und Ausstattung einer Vikarie in St. Petri am Altar St. Barbaras. Der
Vikar solle jeweils jährlich 2 m. im Chor des Doms und 2 m. im Chor von St. Petri
zur memoria für Johannes und seine Eltern unter die Geistlichen verteilen. Er solle
sich wie die anderen Vikare dem vicerector unterordnen. Johannes Symeshausen
und seine ältesten, männlichen oder weiblichen, Erben erhalten auf 120 Jahre das
Präsentationsrecht, danach fällt es an Dekan und Domkapitel zurück. Siegelankündigung des Domkapitels. Datum et actum in armario ecclesie predicte sub anno a nativitate domini millesimo quadringentesimo quartodecimo in profesto beate Barbare virginis.
311
Dekan 1379–1415, Bruder des Kersten Miles.
1414 D ezemb er 20. Hamburg.
235
Diplomatische Erörterung: Pergament mit Faltung, Plica mit einem Ausriss und einem
Pergamentstreifen zur Siegelbefestigung, das Siegel ist ab. Die unterschiedlich
nachgedunkelte Rückseite mit mehreren Kanzleivermerken, zeitgenössisch unten in der Mitte: In ecclesia Sancti Petri super vicariam ad altare Beate Barbare per
Johannes Symeshusen fundatam. Dazu jünger: 1414. Reditus 28 m. Unten rechts: Sancti Petri vicaria altaris Beate [nachgetragen:] Barbarae [darüber: Mariae Virginis] in
honorem Beati Bartholomei instaurata. R[egistra]ta folio xxxvi. 1414.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Tt 34. D = Copiae Archivi.
Erwähnung: Vollmers, Pfarreien, S. 464.
189
1414 Dezember 20. Hamburg.
1414.12.20 — Uu 4
189
Wernerus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass Hinricus Vermersen eine ewige Vikarie am Altar der 11 000 Jungfrauen in St. Nicolai mit Renten von 24 m. und 13 Morgen Ackerland ausstatten wolle, nehmen Renten und Besitz unter kirchlichen Schutz und errichten die Vikarie
Wernerus, Dekan,312 und das Hamburger Domkapitel in einem offenen Brief: machen bekannt, dass vor ihnen Hinricus Vermersen erklärt hat, dass er für sein Seelenheil, das seiner Vorfahren und Verwandten zu Ehren Gottes, Mariens und aller
Heiligen, vor allem der hl. Dorothea, eine ewige Vikarie in der Nikolaikirche am
Altar der 11 000 Jungfrauen mit folgenden Renten ausstatten wolle: vom Haus des
Willekin Wilhelm im Grimm (in deme Grymme) 10 m.; vom Haus des Kristian Berscamp
10 m., gelegen an der Ecke der Straße, die zum Friedhof bei St. Marien Magdalenen
führt, neben dem Erbe des Heyno Lange; vom Haus des Henricus de Dullingen, Bäcker,
an der Straße, die von St. Nicolai zur Brücke führt, die Mühlenbrücke (Molenbrugge)
genannt wird, bei den Erben des Hinricus Schenck auf der einen und des Johannes
Walthagen auf der anderen Seite, 2 m.; ebenso 12 m. auf dem Hof des Henneke Plate
und 13 Morgen Ackerland in dem Land, das Ausschlag genannt wird (in terra dicta
in dem uthslage), gelegen zwischen den Höfen des Conrad Woge und des Nicolaus Reynekens son, wie in der Urkunde des Henneke Plate festgeschrieben. Dekan und Domkapitel nehmen Renten und Besitz unter kirchlichen Schutz und statten damit die
neu errichtete ewige Vikarie in der Nikolaikirche am Altar der 11 000 Jungfrauen
aus. Der Vikar solle jährlich im Chor des Doms 2 m., in St. Nicolai 1 m. auf gewohnte Weise verteilen. Dazu solle er 4 m. jährlich für Tuch für die Armen geben. Der
Vikar solle zudem 1 m. jährlich für die memoria des Hinricus Vermerssen und seiner
Frau an die Priester in St. Nicolai verteilen. Bei Ablösung von Renten sollten neue
Renten gekauft werden. Der Vikar solle an den regulären Gottesdiensten teilnehmen und sich dem vicerector unterordnen. Hinricus und seine nächsten, ältesten
Verwandten erhalten auf 150 Jahre das Präsentationsrecht für die Vikarie, dann
312
Dekan 1379–1415, Bruder des Kersten Miles.
236
Regesten der Jahre 14 00 –14 4 0
fällt es an Dekan und Domkapitel zurück. Siegelankündigung des Domkapitels. Datum et actum Hamborch in loco capitulari ecclesie nostre predicte anno domini millesimo
quadringentesimo decimoquarto mensis decembris die vicesima.
Diplomatische Erörterung: Großes Pergament mit Faltung und Feuchtigkeitsflecken,
Plica mit einem schlecht erhaltenen Siegel, angehängt an einem Pergamentstreifen. Rückseite mit jüngeren Kanzleivermerken von verschiedenen Händen
unten in der Mitte: Vicaria ad altare 11 000 virginum in ecclesia Sancti Nicolai. 1414,
dazwischen jünger verblasst erneut: 11 000 virginum.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Uu 4. D = Copiae Archivi.
Erwähnung: Vollmers, Pfarreien, S. 504.
190
1415 Februar 10. Konstanz.
1415.02.10 — T 7 [1] und [2], P 17 (1), (3), (11a) und (11b)
190
Papst Johannes XXIII. an den Abt von Reinfeld sowie die Dekane von St. Lebuin in Deventer und St. Andreas in Verden: ordnet auf Klagen Hamburgs kirchliche Strafen gegen die Schädigung von Seefahrern und Kaufleuten durch Strandraub und Piratenüberfälle an
Papst Johannes XXIII.313 an den Abt von Reinfeld314 sowie die Dekane von St. Lebuin
in Deventer und St. Andreas in Verden: die Schädigung von Seefahrern und Kaufleuten durch Strandraub und Piratenüberfälle sei lange durch heilige Rechtssätze
(per sacros canones) unter Strafe gestellt. Nun hätten ihm aber kürzlich Bürgermeister, Rat und Gemeinde Hamburgs geklagt, dass sie mit ihren Schiffen auf dem Meer
wie auf den Flüssen in den Diözesen Bremen, Schleswig, Ripen, Roskilde, Münster und Utrecht vielfach behindert und beschwert würden. So würden ihnen gestrandete Güter und Schiffe vorenthalten und sie durch Piraten angegriffen. Ihren
Bitten entsprechend, fordere der Papst die Empfänger auf, gegen jene, die gegen
die alten Ordnungen verstießen, mit kirchlichen Strafen entschieden vorzugehen,
welchen Status sie auch hätten, wenn nötig, auch mit Hilfe des weltlichen Arms.
Datum Constan[tie] quarto idus Februarii ponificatus nostri anno quinto.
Diplomatische Erörterung: A: Original, Pergament mit Faltung, Löchern, zahlreichen
Feuchtigkeitsflecken, verblassten Stellen und Textverlusten; Plica mit einem an
einer Hanfschnur befestigten Bleisiegel und einem Kanzleivermerk: Jo. Langhe
und VIII. Rückseite mit dünneren Papierstreifen vor allem entlang der Faltlinien
stabilisiert, Rückenvermerke in der Mitte: R[egistrata], und quer: Johannes XXIII […]
spolia […] naufragia abbati in Reynevelde ac decanus quibusdam […], schlecht lesbar. /
B1: Inseriert in Schreiben von Hermann Gherbode, des Dekans der Andreaskirche
in Verden, von 1415 März 11. Pergament, Notariatsinstrument des Johannes Au-
313
Papst 1410–1415 († 1419).
314
Wohl Thiedericus, ca. 1404–1419.
1415 Februar 20. Hamburg.
237
rifaber, Kleriker der Hildesheimer Diözese, Notar kaiserlicher Autorität. Plica mit
einem an einer Schnur befestigten Siegel. / B2: Inseriert in Schreiben Friedrichs,
des Abts des Klosters Reinfeld,315 an alle geistlichen Amtsträger in den Erzdiözesen Magdeburg und Bremen, von 1444 Juli 24; großes Pergament, Notariatsinstrument des Luderus van Weyge, Kleriker der Bremer Diözese, Notar kaiserlicher
Autorität, und zusätzlicher Bestätigung auf der Plica. Einige Stellen stärker verblasst, andere durch die Faltung schwerer lesbar. / B3: Inseriert in Schreiben
Friedrichs, des Abts des Klosters Reinfeld, an alle geistlichen Amtsträger in den
Erzdiözesen Magdeburg und Bremen, von 1444 August 31; großes Pergament,
Notariatsinstrument des Luderus van Weyge, Kleriker der Bremer Diözese, Notar
kaiserlicher Autorität. Einige Stellen stärker verblasst. / B4 und B5 (zwei Ausfertigungen): Inseriert in Schreiben Friedrichs, des Abts des Klosters Reinfeld, an
alle geistlichen und weltlichen Amtsträger und Personen im Römischen Reich
von 1449 Juni 13; großes Pergament, Notariatsinstrument des Luderus van Weyge,
Kleriker der Bremer Diözese, Notar kaiserlicher Autorität. Das zweite Exemplar
ist verblasst und weist Feuchtigkeitsflecken auf.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. T 7 [1]. / B1 = StAHH 710-1 I Threse I, Nr.
T 7 [2]. B2 = StAHH 710-1 I Threse I, Nr. P 17 (1). B3 = StAHH 710-1 I Threse I, Nr. P
17 (3). B4 und B5 = StAHH 710-1 I Threse I, Nr. P 17 (11a) und (11b).
Regest: HUB 6, 9, S. 3.
Edition: Staphorst, I, 4, S. 323–326.
191
1415 Februar 20. Hamburg.
1415.02.20 — Uu 17 (1) und (2)
191
Wernerus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass Hoyerus de Calven eine ewige Vikarie am Altar St. Apolloniae in St. Nicolai mit Renten von 24 m. ausstatten wolle, nehmen die Gelder unter Schutz und errichten die Vikarie
Wernerus, Dekan,316 und das gesamte Kapitel der Hamburger Kirche in einem offenen Brief: machen bekannt, dass vor ihnen Hoyerus de Calven erschienen sei und
bekannt habe, dass er von seinen von Gott gegebenen und durch Fleiß erworbenen
Gütern für sein Seelenheil, das seiner Frau Tibbe und ihrer Vorfahren vorsorgen
und dazu zu Ehren Gottes, der Jungfrau Maria und des Apostels Thomas eine ewige
Vikarie in der Nicolaikirche zu Hamburg am Altar St. Apollonie stiften wolle, mit
dem Konsens seiner Erben und Verwandten, ausgestattet mit 24 m. aus seinem
Erbe in der Straße Neue Burg (Nygenborch) zwischen den Erben des Johannes de
Suͤ tle und des Heyno de Schesle. Dekan und Domkapitel hätten auf Bitten Hoyers die
genannten Renten und den Besitz unter kirchlichen Schutz genommen und die
315
Etwa 1432–1460.
316
Dekan 1379–1415, Bruder des Kersten Miles.
238
Regesten der Jahre 14 00 –14 4 0
ewige Vikarie an St. Nicolai damit begründet. Der Vikar solle davon jährlich 2 m.
an den Klerus und 24 sol. an St. Nicolai geben für die memoria Hoyers, Tibbes und
ihrer Vorfahren. Er solle sich dem vicerector an St. Nicolai unterordnen und diesem
die Oblationen übergeben, die er erhalte. Dekan und Kapitel gewährten Hoyer auf
Lebenszeit sowie seinem ältesten männlichen oder weiblichen Nachkommen auf
insgesamt 120 Jahre das Patronat bzw. Präsentationsrecht für die Vikarie, danach
fällt es an Dekan und Domkapitel zurück. Siegelankündigung der Hamburger Kirche. Datum Hamborgh in loco capitulari ecclesie nostre predicte anno domini millesimo
quadringentesimo decimo quinto mensis februarii die vicesima.
Diplomatische Erörterung: zwei Ausfertigungen; A1: kleineres Pergament mit Faltung
und zwei großen Feuchtigkeitsflecken links und rechts, Plica mit einem an einem
Pergamentstreifen angehängten, restaurierten, aber kaum erhaltenen Siegel.
Rückseite mit zwei älteren Archivvermerken: Nicolai. Vicaria Altaris beate Apollonie. R[egistra]ta folio xxxviii. 1415. Dazu quer, etwas jünger: Fundacio vicarie ad altarem sancte Appolonie in ecclesia beati Nicolai. / A2: etwas größeres Pergament mit
Faltung, Plica mit einem an einem Pergamentstreifen angehängten, gut erhaltenen Siegel, Rückseite mit zwei älteren Archivvermerken, in der Mitte: In ecclesia
beati Nicolai super vicariam per Hoyerum de Calven fundatam. 1415. Links daneben:
Sancti Nicolai. Vicaria Calven beate Apollonie virg[inis]. 1415. Die Jahreszahlen sind
spätere Nachträge. Dazu unten in der Mitte: 983.
Überlieferung: A1 = StAHH 710-1 I Threse I, Nr. Uu 17 (1); A2 = StAHH 710-1 I Threse I,
Nr. Uu 17 (2). D = Copiae Archivi.
Erwähnung: Vollmers, Pfarreien, S. 508–509.
192
1415 Februar 23. Konstanz.
1415.02.23 — B 12, C 4, F 10, F 17
192
Sigismund römischer König, König von Ungarn etc., verbietet insbesondere zugunsten der Hansekaufleute die Beraubung von Schiffbrüchigen oder die Wegnahme gestrandeter Güter, doch stehe den Helfern ein angemessener Arbeitslohn zu
Sigismund römischer König, allzeit Mehrer des Reiches, König von Ungarn, Dalmatien und Kroatien etc.,317 in einem offenen Brief: erinnert daran, dass schon seine
Vorgänger, die Kaiser und römischen Könige, Strandraub nach dem Römischen
Recht unter Strafe gestellt hätten. Nach ihrem Vorbild verbiete er mit Zustimmung der geistlichen und weltlichen Fürsten, damit nicht der Geschädigte erneut
geschädigt werde, zugunsten aller, die Schiffbruch erlitten, insbesondere aber zugunsten der Hansekaufleute (singulariter vel universaliter et presertim Hansae Theutonicae mercatoribus naufragii calamitatem patientibus), die Beraubung von Schiff-
317
König von Ungarn (seit 1387), römischer König (seit 1410/1411), Kaiser (1433–1437).
1415 Februar 24. Hamburg.
239
brüchigen oder die Wegnahme gestrandeter Güter, durch wen auch immer, unter
Androhung der Reichsacht. Denjenigen, die bei der Rettung Schiffbrüchiger helfen
oder ihr Gut bergen würden, stehe allein ein angemessener Arbeitslohn zu. Ankündigung des Majestätssiegels. Datum Constancie anno domini millesimo quadringentesimo quinto decimo, visesimo tercto die Februarii, regnorum nostrorum anno Hungarie
etc. vicesimo octavo, Romanorum eleccionis quinto, coronacionis vero primo.
Diplomatische Erörterung: A1 und A2: zwei Ausfertigungen, jeweils Originale, Perga-
ment mit Faltung, Plica mit einem angehängten Siegel. / B1 und B2: inseriert in
zwei Ausfertigungen eines Transsumpts von Kaiser Maximilian II. für Bürgermeister und Rat von Hamburg von 1566 Mai 22. B1: Pergament, Plica mit angehängtem Siegel; B2: ohne Plica und Siegel, mit notarieller Bestätigung. / B3 und
B4: inseriert in zwei Ausfertigungen eines Transsumpts von Kaiser Rudolf II. für
Bürgermeister und Rat von Hamburg von 1577 August 28. B3: Pergament, Plica
mit eingehängtem Siegel, darunter Kanzleivermerk; B4: Pergament, Plica geöffnet, mit notarieller Bestätigung.
Überlieferung: A1 = StA Lüneburg UA a1–2001. A2 = StA Stralsund, StU 0688. B1 =
StAHH 710-1 I Threse I, Nr. C 4. B2 = StAHH 710-1 I Threse I, Nr. F 17. B3 = StAHH
710-1 I Threse I, Nr. B 12. B4 = StAHH 710-1 I Threse I, Nr. F 10.
Edition: HUB, 6, 9, S. 4–5; UB Stadt Lübeck, 5, DXX, S. 564–565; Schuback, Commentarius, XXVI, S. 313–314.
Regest: HR I, 6, 191, S. 146–147; Regesta Imperii XI, 1, 1460, S. 91; Schütze, 408, S. 364.
193
1415 Februar 24. Hamburg.
1415.02.24 — Ff 57
193
Hans Mokerman quittiert für sich, seinen Bruder und seine Schwester den Empfang von 6 lüb. m. 3 sol. 8 d. durch die Kämmerer der Stadt Hamburg, von den 250 m., die der Rat zu Lüneburg seinem Vater schuldig gewesen sei
Hans Mokerman, Sohn Johan Mokermannes, in einem offenen Brief: quittiert auf den
heutigen Tag (uppe dessen dach, alse desse bref ghegheven is) [1415 Februar 24] für
sich, seinen Bruder und seine Schwester den Empfang durch Hinrik Jenevelde318 und
Ludeke Lutow,319 Kämmerer der Stadt Hamburg, von 6 lüb. m. 3 sol. 8 d. (vj mark,
dre schillinghe unde achte pennynghe) vom Rat der Stadt Hamburg von den 250 m.
(derdehalfhundert marken), die der Rat zu Lüneburg seinem Vater schuldig gewesen
sei, von denen nun nur noch 33 m. 4 sol. 4 d. ausstünden. Spricht für sich, seinen
Bruder und seine Schwester die Räte der Städte Hamburg und Lüneburg von allen
Ansprüchen frei auf die 250 m. und die 6 m. 3 sol. 8 d. ausgenommen der noch aus-
318
Ratsherr 1402–1418.
319
Ratsherr 1409–1427.
24 0
Regesten der Jahre 14 00 –14 4 0
stehenden 33 m. 4 sol. 4 d. Ankündigung des Siegels von Hans Mokermann für sich,
seinen Bruder und seine Schwester. Gheven unde screven […] to Hamborch na Godes
bord verteynhundert jar dar na in dem vefteynden jare des andern sondages in der vasten
alse men singhet reminiscere.
Diplomatische Erörterung: Pergament mit Faltung und Feuchtigkeitsflecken, breite
Plica mit einem an einem durchgerissenen Pergamentstreifen befestigten Siegel. Auf der Rückseite Kanzleinotiz: 1415, dazu runder Stempel mit kyrillischen
Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 57. D = Copiae Archivi.
194
1415 März 2. Konstanz.
1415.03.02 — C 9
194
Friedrich, Burggraf von Nürnberg und Verweser der Mark Brandenburg, vidimiert das Privileg des römischen und ungarischen Königs Sigismund gegen die Beraubung der Schiffbrüchigen
Friedrich, Burggraf von Nürnberg und Verweser der Mark Brandenburg,320 in einem offenen Brief: vidimiert das Privileg des römischen und ungarischen Königs
Sigismund gegen die Beraubung der Schiffbrüchigen.
[Es folgt Nr. 192 von 1415 Februar 23].
Siegelankündigung. Datum Constancie anno domini millesimo quadringentesimo quinto
decimo, sabbatho ante dominicam Oculi.
Diplomatische Erörterung: Pergament mit Faltung, breite Plica mit einem großen, an
einem Pergamentstreifen angehängten Siegel in rotem Wachs. Rückseite mit
Vermerk unten in der Mitte: Vidimus est et originalis litera est in Sundis,321 davor
3. Darunter verschlungen die Buchstaben VG, auf dem Pergamentstreifen von
hinten: R[egistra]ta n.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. C 9. D = Copiae Archivi.
Edition: Reincke, Weg, S. 121–125 [mit hochdeutscher Übersetzung].
Erwähnung: HUB, 6, 9, S. 4.
195
1415 März 11. Hamburg.
1415.03.11 — T 7 [2]
195
Hermann Gherbode, Dekan der Andreaskirche in Verden, executor mit päpstlichem Auftrag, an die Diözesen Bremen, Schleswig, Ripen, Roskilde, Münster und Utrecht: publiziert das Mandat Papst Johannes’ XXII. von 1415 Februar 10 und verbietet die Beraubung oder Belästigung von schiffbrüchigen Hamburgern und anderen Kaufleuten, die die Stadt aufsuchen
Hermann Gherbode, Dekan der Andreaskirche in Verden, executor mit päpstlichem
Auftrag, an die Bischöfe von Bremen, Schleswig, Ripen, Roskilde, Münster und Utrecht, alle geistlichen und weltlichen Amtsträger, Fürsten und Herren, Herzöge,
320
Friedrich VI., Burggraf von Nürnberg (1397–1420), Markgraf von Brandenburg (1415–1440).
321
Vgl. dazu die Überlieferung der Nr. 192.
1415 Mär z 11. Hamburg.
241
Grafen, Barone, Ritter und Vasallen, ländliche und städtische Autoritäten, Bürgermeister, Ratsherren, Bürger und Einwohner dieser Diözesen sowie alle, die das angehe: macht bekannt, dass er einen Brief Papst Johannes’ XXIII.322 erhalten habe,
der nach Art der römischen Kurie besiegelt, unbeschädigt und nicht kassiert sei,
den Bürgermeister und Rat von Hamburg über ihren Prokurator, den Schreiber
(prothonotarius) Magister Theodoricus de Geynsen, erwirkt hätten.
[Inseriert folgt das päpstliche Mandat von 1415 Februar 10, oben Nr. 190.]
Theodoricus habe ihn gebeten, die päpstlichen Anordnungen umzusetzen (quatinus ad execucionem dictarum litterarum apostolicarum et in eis contentorum procedere dignaremur). Deshalb mache Hermann diese nunmehr mit diesem Schreiben bekannt
und fordere ihre Einhaltung. Er verbiete jede Belästigung von schiffbrüchigen
Hamburgern und anderen Kaufleuten, die die Stadt aufsuchen, und die Wegnahme
ihrer Waren und Güter, die gegen geistliches und weltliches Recht sei. Droht allen
daran Beteiligten, auch den Helfern, für Zuwiderhandlung mit der Exkommunikation und der Verhängung des Interdikts über die Orte der Vergehen und fordert
die Empfänger sowie die Geistlichen der Diözesen Lübeck, Schwerin, Ratzeburg,
Verden, Hildesheim und Minden in virtute sancte obediencie zur Unterstützung auf.
Auf Wunsch könnten Abschriften des Mandats erstellt werden. Die Absolution von
verhängten Strafen behalte er sich vor. Siegelankündigung des Ausstellers und des
Notars. Datum et actum in opido Hamburgensi, Bremensis diocesis, in curia habitacionis
venerabilis viri, domini Johannes Werneri, canonici et cantoris ecclesie collegiate beate Marie virginis eiusdem opidi,323 sita retro turrim ecclesie parrochialis sancti Petri opidi sepedicti, sub anno a nativitate domini millesimo quadringentesimo decimo quinto, indictione
octava, die vero undecima mensis Marcii, pontificatus dicti sanctissimi in Christo patris et
domini nostri, domini Johannis, divina providencia pape vicesimitercii anno quinto. Zeugen: Paulus Gertzen und Hinricus Pels, Kleriker der Verdener Diözese.
Diplomatische Erörterung: Notariatsinstrument des Johannes Aurifaber, Kleriker der
Hildesheimer Diözese, Notar kaiserlicher Autorität, mit seinem Notarszeichen
und Mitbesiegelung. Großes Pergament mit kleineren Schäden, Plica mit einem
an einer roten Schnur befestigten Siegel in rotem Wachs und dem Kanzleivermerk: Processus primeve purificationis, commissionis sive mandati apostolici consulibus
et universitati opidi Hamburgensis, Bremensis diocesis, super execucione constitucionum
canonicarum et civilium contra impedientes et dampnificantes christianos naufragium
322
Papst 1410–1415, † 1419.
323
Johannes Werneri alias dictus Gerbode, Kantor, belegt 1404–1436.
242
Regesten der Jahre 14 00 –14 4 0
pacientes editarum concessi. Rückseite mit einem h und [Primus] sowie einem quer
eingetragenen Kanzleivermerk: Purificacio mandati apostolici Hamburgen[sibus]
super naufragio concessi.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. T 7 [2]. D = Copiae Archivi.
Regest: HUB, 6, 17, S. 9.
196
1415 März 11. Hamburg.
1415.03.11 — W 42 a
196
Wernerus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass Hinricus de Hachede und seine Frau Hillegundis eine ewige Vikarie an der Ratskapelle im Dom mit einer Rente von 20 m. und einem Grundstück ausstatten wollten, nehmen den Besitz unter kirchlichen Schutz und errichten die Vikarie
Wernerus, Dekan,324 und das Hamburger Domkapitel in einem offenen Brief: machen bekannt, dass Hinricus de Hachede und seine Frau Hillegundis vor ihnen erklärt
hätten, dass sie für ihr Seelenheil und das ihrer Vorfahren zu Ehren Gottes und der
Jungfrau Maria, insbesondere aber unter dem Patronat aller Heiligen, eine ewige
Vikarie in der kürzlich gestifteten Ratskapelle im Dom mit einer Rente von 20 m.
ausstatten wollten, die auf dem Erbe von Heynekin de Hachede in der Wiedenburg
(Wydeneborch) in St. Jacobi zwischen den Erben von Vicko de Hachede und Nicolaus
Eggheredes, lägen. Zudem überließen sie der Vikarie ihr Grundstück am Kattrepel
(Catrepel) zwischen den Erben von Godekin Hamer, Bäcker, und Johannes Slotemaker.
Dekan und Domkapitel nehmen auf Bitten der Stifter Rente und Erbe unter kirchlichen Schutz und setzen sie für die Errichtung einer ewigen Vikarie in der Ratskapelle ein. Der Vikar solle von den Renten jährlich 10 m. an die Kanoniker der
Kirche zahlen, und zwar 3 m. an Juli 2 (in vigilia sancti Jacobi) für den verstorbenen
Hinricus und Johannes, Söhne von Hinricus und Hillegundis, 3 m. an März 6 (in profesto sanctarum Perpetue et Felicitatis) für den verstorbenen Bernard de Hachede und
seine Witwe Ghese sowie 4 m. an November 2 (in die omnium animarum), sobald sie
verstorben seien, für Hinricus und Hillegundis, jeweils Vigilien und Messen für das
Seelenheil. Der Besitz im Kattrepel stehe auf Lebenszeit Ghese, der Witwe Bernard
de Hachedes, zu und falle dann an die Vikarie. Das Präsentationsrecht liege auf
Lebenszeit bei Hinricus und Hillegundis, dann bei Bürgermeister und Rat. Diese
könnten über den Neuankauf von sicheren Renten entscheiden, wenn diese abgelöst würden, wie im städtischen Rentenbuch für St. Jacobi zu 1410 vermerkt. Siegelankündigung des Domkapitels. Datum Hamborch anno domini millesimo quadringentesimo quinto decimo in crastino beati Gregorii pape.
324
Dekan 1379–1415, Bruder des Kersten Miles.
1415 Mär z 13. Hamburg
243
Diplomatische Erörterung: Großes Pergament mit Faltung, Plica mit relativ gut erhal-
tenem Siegel an Hanfschnur. Rückseite mit jüngerem Kanzleivermerk unten in
der Mitte: Fundatio super vicaria fundata per quondam d[ominum] Hinricum de Hachede in capella consulatus sub titulo Omnium Sanctorum in sůmmo. A[nn]o 1415. Darunter
älter: kk. R[egistra]ta.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. W 42 a. D = Copiae Archivi.
197
1415 März 13. Hamburg
1415.03.13 — Tt 10 [1] und [2]
197
Wernerus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass Tibbe, Witwe des Ratsherrn Thidericus van dem Haghen, eine ewige Vikarie am Altar von St. Bartholomäus, Jodocus und Theobald in St. Petri mit Renten von 25 m. ausstatten wolle, nehmen die Gelder unter Schutz und errichten die Vikarie
Wernerus, Dekan,325 und das Hamburger Domkapitel in einem offenen Brief: machen
bekannt, dass vor ihnen Tibbe, die Witwe des Hamburger Ratsherrn Thidericus van
dem Haghen,326 erschienen ist und bekannt hat, dass sie zum Seelenheil ihres Mannes, zu ihrem Seelenheil und dem ihrer Vorfahren und Verwandten zu Ehren Gottes, seiner Mutter Maria und aller Heiligen eine ewige Vikarie an der Petrikirche
am Altar des Apostels Bartolomäus und der Märtyrer Jodocus und Theobald mit
Zustimmung ihrer Erben und Verwandten mit Renten ausstatten wolle: mit 15 m.
auf dem Haus von Heinrich Dusing in der Niedernstraße (Nedderstrate) zwischen den
Häusern des Thidericus Soltow und des Heyno van Leze, dazu 10 m. auf dem Haus des
Marquard Lange, Sohn des Hinrik, am Rödingsmarkt (in platea dicta Rodinghesmarke)
zwischen den Erben von Dytlev Bake und Johannes Wygershop. Dekan und Domkapitel nehmen auf Bitten Tibbes Renten und Güter unter ihren Schutz und errichten
mit ihnen eine ewige Vikarie an der Petrikirche. Der Vikar solle jährlich 2 m. für
die memoria des Thidericus sowie (nach ihrem Tod) Tibbes im Chor auf gewohnte
Weise verteilen, ebenso weitere 2 m. an zwei Terminen. Außerdem solle er an den
regulären Messen teilnehmen, sich dem vicerector unterordnen und diesem seine
Oblationen überlassen. Tibbe erhält für sich und ihre ältesten, männlichen oder
weiblichen, Nachfahren auf 120 Jahre das Präsentationsrecht, danach fällt es an
Dekan und Domkapitel zurück. Siegelankündigung. Datum et actum Hamburch in loco
capitulari sepedicte ecclesie nostre anno domini millesimo quadringentesimo decimo quinto
indictione octava mensis Marcii die decimatercia.
325
Dekan 1379–1415, Bruder des Kersten Miles.
326
Ratsherr 1399–1413.
24 4
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: A1: Pergament mit Faltung und Feuchtigkeitsflecken, Pli-
ca mit einem an einem Pergamentstreifen eingehängten Siegel, Rückseite mit
zeitgenössischem Vermerk unten halbrechts: Sancti Petri. Vicaria altaris sanctorum
Bartholomei etc. R[egistra]ta folio 27. Dazu unten quer, zuerst: Fundacio vicarie altaris
Sancti Bartholomei. Jüngere Ergänzungen: in ecclesia parochiali Sancti Petri. Diese
fundation von Hoyer Hoyers entpfangen, ist de anno 1415. N. 4. Reditus 25 m. (Original). / A2: Papier, Doppelblatt, 1r–2v beschrieben, Urkunde auf 1r–2r, Ausrisse
oder Mäusefraß. Auf 2v Kanzleivermerk: Copia fundationis super vicaria in ecclesia
Sancti Petri ad altare Sanctorum Bartholomei apostoli, Jodoci et Theobaldi martyrum
(Kopie von 1585 Mai 18, durch den kaiserlichen Notar Daniel Pihel).
Überlieferung: A1 und A2 = StAHH 710-1 I Threse I, Nr. Tt 10 [1] und [2]. D = Copiae
Archivi.
Erwähnung: Vonderlage, Domkapitel, S. 102; Vollmers, Pfarreien, S. 485–487.
198
1415 Mai 27. Hamburg.
1415.05.27 — Q 27 a
198
Woldeke Lappe quittiert Bürgermeister und Rat von Hamburg unter Darstellung der älteren Forderungen aus den Rentenzahlungen für das Schloss Ritzebüttel 200 m. für 20 m. seiner Rente, so dass diese noch jährlich 40 m. Rente an ihn zahlen müssten
Woldeke Lappe, Sohn des Wolder Lappe,327 in einem offenen Brief: macht bekannt,
dass einst Bürgermeister und Rat von Hamburg seinem Vater und dessen Vetter
Alverik Lappe328 das Schloss Ritzebüttel im Krieg abgewonnen hätten, dass Wolder
und Alverik dann aber in einem friedlichen Vergleich das Schloss mit allen Rechten auch in seinem Namen und dem ihrer Erben für 2000 m. Pfennige lüb. an Bürgermeister und Rat Hamburgs verkauft hätten. Davon hätten Wolder und Alverik
200 m. an Bargeld empfangen, für die verbleibenden 1800 m. hätten ihnen Bürgermeister und Rat eine jährliche Rente von 180 m. zugesagt, die in beliebigen
Schritten ablösbar gewesen sei, je m. mit 10 m. Nach dem Tod seines Vaters hätten
Bürgermeister und Rat bei Alverik, seiner Mutter Gheze und ihm 90 m. Rente für
900 m. abgelöst. Davon seien 600 m. an Alverik gegangen, 300 m. bei Bürgermeister
und Rat geblieben. Diese seien nach Alveriks Tod auf Alheit Schrammeke, Mette Lappe, Klosterfrau in Nyenwolde und Schwester Alveriks, ihn und andere Schuldner(!)
ausgezahlt worden. Von den verbleibenden 90 m. Rente seien seiner Mutter Gheze
30 m., ihm 60 m. übertragen worden. Die 30 m. seiner Mutter seien danach mit
300 m. durch Heyne Hardenacke, Bürger Hamburgs, abgelöst worden, und er habe
von Bürgermeister und Rat kürzlich 200 m. für 20 m. seiner Rente bekommen. Damit blieben Bürgermeister und Rat noch verpflichtet, jährlich 40 m. Rente an ihn
327
Wolderich VI. († ca. 1400).
328
Alverich IX. Lappe († ca. 1412).
1415 Sep temb er 5. o. O.
245
zu zahlen. Heyne Hardenacke und er sprächen Bürgermeister und Rat von allen
Ansprüchen wegen der bereits abgelösten 140 m. frei. Die restlichen 40 m. seien
jederzeit ablösbar, er dürfe sie aber nicht ohne Wissen von Bürgermeister und Rat
weiterverkaufen. Woldeke überlasse zudem auch im Namen seiner Erben Bürgermeister und Rat alle Rechte am Schloss Ritzebüttel und seinem Zubehör, alle getroffenen Vereinbarungen sollten unverbrüchlich gehalten werden. Falls Woldeke
Hamburger Bürger schädige, könnten die 40 m. zurückbehalten werden, bis eine
Klärung erfolgt sei. Siegelankündigung Woldeke Lappes, Knappe, und Heyne Hardenackes. Gheven to Hamborch na Godes bord dusent verhundert dar na in dem vefteynden iare des mandaghes vor des hilghen lichames daghe.
Diplomatische Erörterung: A: Große Pergamenturkunde mit Faltung, Feuchtigkeitsfle-
cken und wenigen Textausfällen, Plica mit zwei kleinen Siegeln an Pergamentstreifen. Auf der Rückseite Vermerke: Lappen. 1415. X. Auf dem Pergamentstreifen:
f. R[egistra]ta. / C: Abschrift des 17. Jahrhunderts der Kopie einer Register-Überlieferung (des Liber emptionum von 1485).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 27 a. C = StAHH 311-1 I 406 („Kopialbuch des Jürgen Rose”), S. 280–287. D = Copiae Archivi [als Q 27].
199
1415 September 5. o. O.
1415.09.05 — Ee 55
199
Ludeke Rotermunt, Vorsteher, Womele [Äbtissin], die Priorin und der Konvent des Klosters Harvestehude quittieren Bürgermeistern und Ratsherren von Hamburg die Rückzahlung von 600 m. lüb. für eine Rente von 40 m.
Ludeke Rotermunt, Vorsteher, Womele [Äbtissin],329 die Priorin und der Konvent des
Klosters Harvestehude (Juncvrouwendal anders gheheten Herwedeshude) in einem
offenen Brief: quittieren den Bürgermeistern und Ratsherren von Hamburg die
Rückzahlung von 600 m. lüb. (seshundert mark Lubescher pennynghe) in gängiger
Münze für eine Rente von 40 m. Bestätigen die rechtzeitige schriftliche Ankündigung der Ablösung. Ankündigung des Klostersiegels. […] Screven unde gheven […] na
der bord unses Heren veerteynhundert jar, darna in deme vefteynden jare, des donredaghes
vor Unse leven Vrowen daghe erer ghebort.
Diplomatische Erörterung: Stark beschädigtes, im rechten Drittel durchgerissenes Per-
gament mit Faltung, zahlreichen Feuchtigkeitsflecken, Löchern und stark verblichener Schrift, daher mit teilweise starkem Textverlust. Plica mit dem Rest eines
Pergamentstreifens, dazu ist das abgerissene, beschädigte Siegel erhalten. Etwas
jüngere Kanzleinotiz rechts oben auf der Rückseite: Ene quitancie des closters to
329
Wommele Wulfhagen, belegt 1412–1432.
24 6
Regesten der Jahre 14 00 –14 4 0
Hervedeshude uppe xl mark geldes. – Das Regest nach D, da der Erhaltungszustand
der Urkunde bei der Transkription offensichtlich noch besser war, als er es heute
ist.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ee 55. D = Copiae Archivi [danach hier].
200
1415 September 30. o. O.
1415.09.30 — Kk 55 b
200
Clawes Meyboem, Bürger zu Hamburg, macht bekannt, dass er dem Hamburger Domkapitel für 60 m. 4 m. jährlicher Rente auf seinem Erbe im Grimm zum Nutzen der Vikarie des Johan Louwe in der Kapelle St. Gertrudis verkauft habe
Clawes Meyboem, Bürger zu Hamburg, in einem offenen Brief: macht bekannt, dass
er dem Hamburger Domkapitel für 60 m. guter Pfennige zum Nutzen der Vikarie des Johan Louwe in der Kapelle St. Gertrudis 4 m. jährlicher Rente auf seinem
Erbe, auf dem bereits 23 m. Rente lägen, im Katharinen-Kirchspiel im Grimm (im
Grymme), zwischen den Häusern des Wilke Wilhelm und des Hoyer Enkhusen verkauft
habe. 2 m. sind zu Ostern, 2 m. an Michaelis zu zahlen. Weitere Verkäufe von Renten sollten die Zahlung der 4 m. nicht beeinträchtigen. Der Rückkauf könne zu
Ostern oder Michaelis für 60 m. erfolgen und solle ein Vierteljahr vorher angekündigt werden. Clawes Meybom und sein Bürge Clawes Rybe geloben auch im Namen
ihrer Erben die Einhaltung der Zusagen. Siegelankündigung des Ausstellers und
des Bürgen. Gheven na Ghodes bord in deme dusentsten veerhundertsten unde vefteynden
yare up den dach sunte Iheronimi des hylghen bichtegheres.
Diplomatische Erörterung: Pergament mit Faltung, schmale Plica mit Feuchtigkeits-
flecken und zwei an Pergamentstreifen befestigten Siegeln. Teilweise nachgedunkelte Rückseite mit gleichzeitiger Kanzleinotiz in der Mitte: Super quattuor
m[arcarum] redd[itus] spectante ad vicar[iam] quam obtinet dominus Johannes Louwe
in capella Beate Ghertrude virginis. Dazu jünger: in Stadt Rendtebuch, weiter 1416. No.
50. Fol. 312, darunter runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Kk 55 b. D = Copiae Archivi.
201
1415 November 29. o. O.
1415.11.29 — Q 90
201
Gelöbnisse über die Versorgung, Bemannung und den Schutz der Insel Neuwerk
Alberd Borstede, Tydeke Luneborch, Peter Scharpenberch, Johan Brokehovet und Vicke
vanme Hove haben gelobt, dass Neuwerk von Peter Mildehovede wohl versorgt und
bemannt sei. Anno domini moccccxvo in vigilia Andree.
Johannes Ulf, Petrus Stapelveld, Heyno Ekhop, Johan Embeke, Hinricus Papendorp, Heyno
de Hachede, Alberd Mildehovet, Johan Brokehovet, Johan Berchstede, Clawes Langhe haben
geschworen, dass Petrus Mildehovede den Turm auf Neuwerk treu und gesetzmäßig
bewache.
1415 D ezemb er 8. o. O.
247
Diplomatische Erörterung: Kleines, schräg abgeschnittenes Pergament, unten rechts
eingerissen, mit dem deutschen (1. Absatz) und dem lateinischen Text (2. Absatz)
untereinander (das Datum nur beim deutschen Text). Auf der Rückseite ist der
jüngere Vermerk fast vollständig verblasst, daher nicht mehr lesbar, nur unten
rechts die moderne Signatur in Bleistift: Q 90.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 90. D = Copiae Archivi.
202
1415 Dezember 8. o. O.
1415.12.08 — S 38
202
Notariatsinstrument des Nicolaus Röper, der bezeugt, dass vor ihm Henneke Helmekens, Laie aus dem Dorf Horn, Gherardus Gholdenstede, dem ewigen Vikar am Altar St. Abundi im Dom, für 45 m. eine Rente von 4 m. jährlich verkauft habe, die auf seinem Haus und Hof sowie auf 4 Morgen Land läge
Notariatsinstrument des Nicolaus Röper, Kleriker der Diözese Kulm, kaiserlicher
Notar. Bestätigt, dass vor ihm erschienen seien Gherardus Gholdenstede, ewiger Vikar am Altar St. Abundi im Dom, auf der einen, und Henneke Helmekens, Laie aus
dem Dorf Horn, auf der anderen Seite. Henneke habe Gherardus für sich und seine
Erben für 45 m. hamburgischer Münze durch Verkauf eine Rente von 4 m. jährlich
überlassen, die auf seinem Haus und Hof (de domo et curia et edificiis suis) sowie
auf 4 Morgen Land läge, die durch die Grundstücke des Johannes Grand nach Osten
und des Werneke Burstede nach Westen begrenzt seien. Die 4 m. sollten Gherardus
zukommen, nach seinem Tod seiner memoria, und sollten zwischen September 29
und November 11 (inter festis Michaelis et Martini) gezahlt werden. Falls Henneke
seiner Verpflichtung nicht fristgerecht nachkomme, erhöhe sich die Zahlung auf
4 m. 8 sol. Gherardus und seine Nachfolger seien nicht zur Leistung von Abgaben und Diensten verpflichtet, die auf dem Grundstück lägen. Henneke bekenne
zudem, Gherardus 8 sol. jährlicher Rente für 5 m. Hamburger Pfennige schuldig
zu sein, die auf demselben Besitz liege und in den acht Tagen nach Ostern fällig
sei. Gherardus erlaube die Ablösung der Renten in den acht Tagen nach Michaelis
bzw. Ostern, ein Vierteljahr vorher anzukündigen. Henneke sage für sich und seine
Erben die feste Einhaltung zu. Das Notariatsinstrument sei auf Bitten des Gherardus und Helmekes erstellt. In nomine domini amen. Anno nativitatis eiusdem millesimo
quadringentesimo quinto decimo indictione octava mensis decembris die octava hora quasi
terciarum, sede apostolica vacante […].
Diplomatische Erörterung: Pergament, Notariatsinstrument. Deperditum, Kriegsver-
lust [Auskunft des Archivs vom 25.10.2019].
Überlieferung: A = olim StAHH 710-1 I Threse I, Nr. S 38. D = Copiae Archivi [danach
hier].
24 8
Regesten der Jahre 14 00 –14 4 0
203
1415 Dezember 18. o. O.
1415.12.18 — Q 91
203
Woldeke Lappe, Knappe des Stiftes von Bremen, quittiert den Empfang von 40 m. jährlicher Rente durch die Kämmerer des Rates von Hamburg
Woldeke Lappe, Sohn von Wolder Lappe,330 Knappe des Stiftes von Bremen, in einem
offenen Brief: quittiert den heutigen Empfang von 40 m. lüb. durch Hinric Jenevelde331 und Ludeken Lutouwen,332 Kämmerer des Rates und der Stadt Hamburg, an
jährlicher Rente vom Hamburger Rat. Spricht die Hamburger von allen Forderungen von den Renten aus den letzten Jahren sowie insbesondere von den 40 m. frei.
Ankündigung der Siegel von Woldeke und von Heyne Hardenacke, Hamburger Bürger. Gheven unde screven […] in dem jare unses Heren veerteynhundert unde vefteyne des
mydwekens na sunte Lucien daghe der hilghen juncvrouwen.
Diplomatische Erörterung: Pergament mit Faltung und zahlreichen Feuchtigkeitsfle-
cken, Plica mit zwei an Pergamentstreifen befestigten Siegeln, der erste Streifen
beschädigt. Kanzleinotiz auf der Rückseite: 1415.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 91. D = Copiae Archivi.
204
1415 Dezember 20. Wildeshausen.
1415.12.20 — Cc 23
204
Johan Wicbold, Skroden van der Wisch, Albern van den Buottle, Ludeke Gral, Johan de Bittere, Siverd van Stochem, Johan Staffhorst de older, Daneel van Knetken und Gherd Vleghe [zu Wildeshausen], geloben die Einhaltung der Urfehde durch ihren Verwandten Hermen Preen van Wildeshuzen
Johan Wicbold, der Bruder Hermen Prenes van Wildeshuzen, Skroden van der Wisch, Albern van den Buottle, Ludeke Gral, Johan de Bittere, Siverd van Stochem, Johan Staffhorst
de older, Daneel van Knetken und Gherd Vleghe, Bürger [zu Wildeshausen], in einem
offenen Brief: machen bekannt, dass sie Bürgermeister und Rat von Hamburg gelobt haben, dass Hermen Preen van Wildeshuzen, ihr Freund und Verwandter, die von
ihm gegenüber dem Rat beschworene Urfehde einhalte, die Stadt Hamburg, ihre
Bürger und Untersassen künftig nicht mehr zu belangen.333 Sie schwören für sich
und ihre Erben, das Vereinbarte unverändert einzuhalten. Ankündigung aller Siegel. Gheven to Wildeshuzen na der bord unses Heren dusent verhundert unde viffteyn iare
des vrydaghes an den vertyden vor wynachten.
Diplomatische Erörterung: Etwas verblasstes Pergament mit Faltung, Feuchtigkeitsfle-
cken und kleineren Textverlusten, schmale Plica mit neun Einschnitten für die
Befestigung der Siegel, das dritte fehlt ebenso wie der Pergamentstreifen, die anderen acht Siegel sind meist gut erhalten. Die Pergamentstreifen sind teilweise
330
Wolderich VI. († ca. 1400).
331
Ratsherr 1400–1427.
332
Ratsherr 1409–1427.
333
Die Urkunde Hermanns oben Nr. 216.
1416 Februar 2 . o. O.
249
beschriftet, aber die Texte nur fragmentarisch erkennbar. Rückseite mit dünnem
Papier überklebt, in der Mitte in einem Ausschnitt die Kanzleivermerke: Orveide
pro Johanni Wickbolt cum suis. 1415, und jünger: 1415 [die Veneris] a[nte] nat[ivitatis]
d[omi]n[i]. Dazu die Nummer 4).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 23. D = Copiae Archivi.
205
1416 Februar 2. o. O.
1416.02.02 — M 21
205
Heinrich [IV.], [nicht belehnter] Herzog von Schleswig, teilt mit, dass in seiner Stadt Hamburg an der Elbe ein Zoll, aus dem geistliche und weltliche Personen eine Rente bezögen, von den Elbfahrern erhoben werde; er werde der Stadt den Schaden ersetzen, der aus der Verteidigung des hamburgischen Zolls entstehe
Heinrich, Herzog von Schleswig, Graf zu Holstein, Stormarn und Schauenburg,334
in einem offenen Brief: macht bekannt, dass er bei seiner Stadt Hamburg an der
Elbe einen Zoll von denjenigen erhebe, die mit ihren Schiffen und Gütern die Elbe
befahren; aus diesem Zoll bezögen geistliche und weltliche Personen eine jährliche
Rente. Versichert, den ggf. aus Verteidigung des hamburgischen Zolls entstehenden Schaden der Stadt ersetzen zu wollen (unde were jement de teghen unse herlicheyt
den tolne voer edder umme vorede, unde de unse ofte de van Hamborch ze daran ver hinderden, des [wille wy] iu ghunnen unde dar bestens ane wesen). Siegelankündigung. Gheven […] na Godes bord verteynhundert jar dar na an deme sosteynde jare an Unser Vrowen
daghe to Lichtmissen.
Diplomatische Erörterung: Kleineres Pergament mit Faltung, starken Feuchtigkeits-
flecken, Löchern und daraus resultierenden größeren Textverlusten. Plica und
Rückseite mit dünnem Papier überklebt, ein gut erhaltenes Siegel in rotem
Wachs ist an einem Pergamentstreifen befestigt. Auf der Rückseite rechts oben
der Vermerk: C, dazu unleserliche Notiz auf der Rückseite des Pergamentstreifens.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. M 21. D = Copiae Archivi.
206
1416 März 29. o. O.
1416.03.29 — Oo 87
206
Henneke Tralow und sein Sohn Herman Tralow, Knappen, bezeugen den Verkauf von Dorf und Gut Wastensfelde mit allen Rechten und Zubehör an Dekan und Domkapitel zu Hamburg für 50 m.
Henneke Tralow und sein Sohn Herman Tralow, Knappen, in einem offenen Brief: bezeugen den Verkauf von dorpstede unde ghud Wastensfelde (Wastensveld) im Kirchspiel Trittau (Trittowe) mit detailliert aufgeführten Rechten, so mit bebauten und
unbebauten Äckern, Wiesen und Weiden, Holz-, Wasser- und Jagdrechten, Beden,
Renten, Gericht und weiterem Zubehör an den Dekan und das Domkapitel zu Hamburg für 50 m. in in Hamburg gängigen Pfennigen. Vorbehalt des jährlichen Rück-
334
Heinrich IV. Graf von Holstein, nicht belehnter Herzog von Schleswig (1404–1427).
250
Regesten der Jahre 14 00 –14 4 0
kaufsrechts zwischen September 29 und Oktober 6 (in den achte daghen sunte Michaelis) für 50 m. nach vorheriger Ankündigung zwischen Juni 24 und Juli 1 (in den
achte daghen sunte Johannis to myddensomere) vor. Dies geloben Henneke Tralow, sein
Sohn Herman Tralow, mit Volrade Tralow, Hinrikes Sohn, ihrem Vetter. Marquard van
Sigghem, Ritter, und die Brüder Hartwich und Ove van Sigghem, Knappen, bezeugen,
dass der Verkauf mit ihrem Wissen vollzogen worden sei. Siegelankündigung der
Gelobenden und der Zeugen. Gheven na Ghodes bord in deme dusentsten veerhundertsten unde sesteynden yare up den sondach to mitvasten.
Diplomatische Erörterung: Etwas nachgedunkeltes Pergament mit Faltung, schmale
Plica mit sechs an Pergamentstreifen befestigten, unterschiedlich schwer beschädigten Siegeln. Auf der Rückseite in der Mitte rechts oben Kanzleinotiz: Super villa deserta Wasmentveld, dazu jünger 1416.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Oo 87. D = Copiae Archivi.
207
1416 April 21. o. O.
1416.04.21 — Q 100
207
Hans van Hidzacker anders gheheten Marschalk, Knappe, bekennt, dass er Dekan und Domkapitel der Kirche zu Hamburg zum Nutzen der Vikarie in der cluft derselben Kirche für 100 m. 10 m. jährlicher Rente aus Neuengamme verkauft habe.
Hans van Hidzacker anders gheheten Marschalk, Knappe, in einem offenen Brief: bekennt, dass er mit Zustimmung seiner Erben und Verwandten Dekan und Domkapitel der Kirche zu Hamburg zum Nutzen der Vikarie in der cluft derselben Kirche,
die zurzeit Hinric van Hemme innehabe, für 100 m., die er zu guter Genüge erhalten
habe, 10 m. jährlicher Rente verkauft habe. Diese 10 m. kämen aus den 40 m. vom
Schoss (schatt), der von den Höfen in Neuengamme anfalle, die unterhalb der Kirche, zwischen dem Hof des Syverd Groveleyghe und dem Olden Reybroke lägen, und
sollten jährlich ohne Verzug in Hamburg von den ersten Renten zwischen November 11 und 18 (in den achte daghen sunte Martens) gezahlt werden. Würden die 10 m.
den genannten Herren oder dem Besitzer der Vikarie nicht gezahlt, würden er und
seine Erben für mögliche Schäden aufkommen. Die Zahlung solle auch bei Behinderungen weitergehen, und Dekan, Domkapitel und Inhaber der Vikarie sollten
von allen Forderungen frei gehalten werden. Die Rente könne jährlich zwischen
November 11 und 18 (in den achte daghen sunte Martens) für 100 m. zusammen mit
der anstehenden Rente abgelöst werden, wenn dies ein Vierteljahr vorher angekündigt werde. Hans gelobt zusammen mit den Bürgen Wilke Hoye, Henneke Voͤgeler,
Clawes Broͤys und Heyneke Syverdes aus Neuengamme mit gesamter Hand die Einhaltung der Zusagen. Die Bürgen bekennen, dass sie für sich und ihre Erben für Hans
van Hydzacker anders geheten Marschalk Dekan und Domkapitel das Vorbenannte
1416 Juni 23. Hamburg.
251
und die Bezahlung der 10 m. Rente gelobt haben. Siegelankündigung des Ausstellers und der Bürgen. Gheven na Ghodes bord in deme dusentsten veerhundertsten unde
sesteynden yare up den dinxstedach in dem Passchen.
Diplomatische Erörterung: Größeres Pergament mit Faltung, Plica mit fünf an Perga-
mentstreifen angehängten, nur teilweise erhaltenen Siegeln. Rechts unter der
Plica mit Bleistift die moderne Signatur Q 100. Rückseite mit jüngerem Kanzleivermerk und zwei Streichungen: Renthebuc up […] No. […]. Hans van Hidzacker, und
rechts quer: decem marcarum redditus, darunter ein nicht mehr lesbarer Vermerk
auf der Faltung.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 100. D = Copiae Archivi.
208
1416 Juni 23. Hamburg.
1416.06.23 — Ff 6 [2]
208
Johannes Werneri, Kantor, als Senior und das gesamte Domkapitel vidimieren die Aussöhnung Dithmarschens mit Hamburg von 1395 Mai 1 (HG1.433)
Johannes Werneri, Kantor (sangmester),335 als Senior und das gesamte Domkapitel in
einem offenen Brief: machen bekannt, dass ihnen Bürgermeister und Rat der Stadt
Hamburg eine besiegelte Urkunde vorgelegt hätten, mit einem genau beschriebenen Siegel mit der Umschrift Sigillum universitatis terre Thetmarcie und zwei abgebildeten Personen (Gottvater und Johannes der Täufer). Diese sei unbeschädigt
und unverdächtig, und Bürgermeister und Rat hätten sie um eine besiegelte Kopie
gebeten, um nicht das Original außer Landes (achter lande) mitnehmen zu müssen.
[Inseriert folgt HG1.433, S. 518–519, 1395 Mai 1, Aussöhnung Dithmarschens mit
der Stadt Hamburg.]
Kantor und Domkapitel bestätigen die wörtliche Übereinstimmung mit der vorgelegten Urkunde. Siegelankündigung des Domkapitels. Gheven unde screven to Hamborch in deme jare unses Heren dusent veerhundert, dar na an deme sosteynden jare des
dinxedaghes na de hilghen lychames daghe.
Diplomatische Erörterung: Vidimus des Domkapitels, großes Pergament mit Faltung,
Plica mit einem Pergamentstreifen, das Siegel ist verloren. Rückseite mit Kanzleivermerk in der Mitte (kopfstehend): Vidimus unius tenoris cum littera originali.
Dazu unten Vermerk: P[ri]n[cipa]les littere sunt re[gistra]te J, und runder Stempel
mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 6 [2]. D = Copiae Archivi.
335
Johannes Werneri alias dictus Gerbode, Kantor, belegt 1404–1436.
252
209
Regesten der Jahre 14 00 –14 4 0
1416 Juni 29. Meldorf.
1416.06.29 — O 2 [1] und [2]
209
Vögte, Ratgeber, Schließer, Geschworene und die Gemeinschaft des Landes Dithmarschen machen bekannt, dass sie sich wegen allerlei Raub und Schaden, den sie auf der Elbe getan hätten, mit Hamburg geeinigt hätten
Vögte, Ratgeber, Schließer, Geschworene und die Gemeinschaft des Landes Dithmarschen in einem offenen Brief: machen bekannt, dass sie sich wegen allerlei
Raub und Schaden, den sie auf der Elbe getan hätten (allerleye roeff unde schaden, den
wy unde unse landlude daen hebben […] up der Elve), mit Bürgermeistern, Ratsherren
und den Bürgern zu Hamburg geeinigt hätten. Sie erklären, dass
[1.] sie und niemand an ihrer Stelle in ihrem Lande weiter rauben oder schädigen
würden;
[2.] sie Straftäter nach Möglichkeit nach den Gesetzen des Landes an Leib und Gut
bestrafen und den Geschädigten zu ihrem Gut verhelfen würden;
[3.] alle zuvor getroffenen Vereinbarungen und von beiden Seiten gewährten
Rechte ihre Gültigkeit behalten sollten;
[4.] Hamburger, die Dithmarscher zu Lande oder zu Wasser beraubten oder schädigten und in die Stadt kämen, nach Stadtrecht gerichtet werden sollten.
Dies hätten Vögte, Ratgeber, Schließer, Geschworene und die Gemeinschaft des
Landes Dithmarschen den Hamburgern und ihren Nachkommen und Erben fest
zugesagt. Für Dithmarschen hätten verhandelt: die Vögte Spretes Johan, Vogedes
Maes, Hebbeken Hans, Johan van Palen, die Ratgeber des Landes, aus Meldorf Merten
Steke, junge Ludeke Witte, Johan Stael to Wintberghe, Raucke Johan, Clawes Johan, Thode
Johan, Syrikes Johan, aus Hemmingstedt Herdinghes Hans, aus Wöhrden (Oldenworden) Runghe Greteken soen, Bukelholtes Johan, Nanneken Dillif, Hanneman Jerren soen,
aus Wesselburen (Westlingburen) Maken Thede, Reymer des Wytten soen, Radeleves
Kersten,336 aus Büsum (Buzen) Starken Ygeke, Greten Henneke, aus Neuenkirchen Clawes, Wycken Kersten, aus Hemme Erke Clawes soen, Peter Boyemannen soen, aus Lunden Wybers Marquart, Danckert, aus Weddingstedt Cruzen Clawes, Kersten, Johannes
soenes kindere, von der Geest Ilzeben Clawes, aus Marne Matias, Henneke Clawes make,
aus Brunsbüttel Cruze Clawes, Zuwel Johan, aus Eddelak Reymers Johan, Maneken Boye.
Für die Stadt Hamburg waren anwesend Albrecht Schreyge,337 Johan Ghulzouwe338 und
Erik van Tzeven,339 Ratsherren zu Hamburg. Siegelankündigung des Landes Dith-
Vielleicht schon der spätere Anführer einer Partei der Dithmarscher, zu diesem vgl. die Darstellung
in der „Dritten Fortsetzung der Detmar-Chronik, Erster Theil“, in: Chroniken, Lübeck, 3, Nr. 1590, S.
418–419.
336
337
Ratsherr 1380–1426.
338
Ratsherr 1413–1430.
339
Ratsherr 1414–1450.
1416 Juli 15. Hamburg.
253
marschen. Ghegheven unde ghescreven […] to Meldorpe in deme jare unses Heren dusent
veerhundert, an deme sosteynden jare in Sunte Peters unde Sunte Pawels daghe der hyghen
twygher apostele etc.
Diplomatische Erörterung: A: Größeres Pergament mit Faltung, zahlreichen Feuchtig-
keitsflecken und Textausfällen, Plica und Rückseite überklebt, Plica mit dem an
einem Pergamentstreifen befestigten Siegel des Landes Dithmarschen. / B: Zeitgenössische Abschrift auf Papier [danach hier], oben mit Bleistift 1416. Auf der
Rückseite Kanzleivermerk: Con[venientia] de non offendendo in flumine Albie etc., sed
quod debeant hincinde iudicare offensores iuxta statuta et consuetudines eorum, darüber jünger ad Thresam O.2.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. O 2 [1]. B = StAHH 710-1 I Threse I, Nr. O
2 [2]. D = Copiae Archivi.
Edition: Johann Adolfi, Chronik, Anhang XII, 2, S. 632–633.
Regest: HUB, 6, 83, S. 37.
Erwähnung: Ballheimer, 4, S. 13.
210
1416 Juli 15. Hamburg.
1416.07.15 — Oo 88
210
Heinrich [III.], Graf von Holstein[-Rendsburg], bestätigt den Verkauf von Dorf und Gut Wastensfelde mit allen Rechten und Zubehör an Dekan und Domkapitel zu Hamburg für 50 m.
Heinrich, Fürst zu Stormarn, Graf von Holstein und Schauenburg,340 in einem offenen Brief: bekennt, dass sein Getreuer (unse leve truwe man) Henneke Tralouwe und
dessen Sohn Hermen vor ihm und seinem Rat den Verkauf an den Dekan und das
Domkapitel zu Hamburg für schon gezahlte 50 lüb. m. bekannt hätten von ghud
unde dorpstede […] Wastensveld im Kirchspiel Trittau, wie es der Brief ausweise, der
dem Dekan und dem Domkapitel von Hamburg von Henneken Tralouwen, seinem Sohn Hermen und ihren Bürgen (eren medeloveren) gegeben und besiegelt sei
[oben Nr. 206]. Bestätigt auf ihre Bitte hin den Verkauf mit diesem Brief, jedoch für
sich und seine Erben unter dem Vorbehalt des jährlichen Wiederkaufs zwischen
September 29 und Oktober 6 (in den achte daghen sunten Michels) für die genannte
Summe. Sollte nach dem Tod von Henneke, Hermen und aller ihrer Erben der Fall
des Wiederkaufs eintreten, solle dies dem Dekan und Domkapitel ein halbes Jahr
zwischen Juni 24 und Juli 1 (in den achte daghen sunten Johannis Baptisten to middensomere) zuvor angekündigt werden. Siegelankündigung. Gheven […] to Hamborch na
Godes bort veerteynhundert jar dar na an deme sosteinden jare an der twelf apostel daghe.
340
Heinrich III., Graf von Holstein-Rendsburg und Schauenburg (1388–1421).
25 4
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergament mit Faltung, Plica mit einem Einschnitt zur Be-
festigung eines Siegels, jedoch kein Pergamentstreifen und kein Siegel erhalten.
Kanzleinotiz links in der Mitte auf der Rückseite: Confirmatio comitis Hi[nrik] v[on]
Schouwenborch super venditione ville Wastenvelde. 1416.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Oo 88. D = Copiae Archivi.
211
1416 Juli 24. Neuengamme.
1416.07.24 — Kk 8
211
Nicolaus Grube und Johannes Bergerdorp, Vikare am Hamburger Dom, bezeugen, dass vor ihnen Hinrik Cracht sowie Willekin Hoyge, Henneke Vogheler, Clawes Broys und Heyneke Syverdes bestätigt hätten, dass die Besiegelung der Urkunde über den Verkauf von 10 m. Renten in Neuengamme durch Hans van Hidzacker an das Domkapitel mit ihrer Zustimmung erfolgt sei
Nicolaus Grube und Johannes Bergerdorp, Vikare am Hamburger Dom, in einem offenen Brief: bezeugen, dass 1416 Juli 24 Hinrik Cracht anders ghenomed van Hemme vor
ihnen und den Zeugen Willekin Hoyge, Henneke Vogheler und Clawes Broys, aus dem
Kirchspiel Neuengamme, erschienen sei, wegen einer Urkunde, die der Knappe
Johannes Hydzacker anders ghenomed Marschalk für Dekan und Domkapitel zu Hamburg kürzlich besiegelt habe über 10 m. Renten, mit den drei Zeugen und Heyneke
Syverdes als Bürgen. Diese 10 m. kämen aus den 40 m. vom Schoss (schatt), der auf
den Hufen (hoͤven) in Neuengamme unterhalb der Kirche, zwischen dem Hof des
Syverd Groveleyge und dem Olden Reybroke, liege. Die anwesenden Bürgen bestätigen, dass die Besiegelung der Urkunde mit ihrer Zustimmung erfolgt sei, ebenso
wie der abwesende Heyneke Syverdes seine Zustimmung dazu gegeben habe. Hinrik habe gebeten, dies mit Michael, Kirchherr zu Curslack (Michahel kerkhere to der
Kurslake), Hinrik Schroder, Vikar zu Bardowick, Heyne Vrygedach und Make Alberns zu
besprechen (des tho denkende mit dessen erliken luden […]). Under den yaren unses Heren
bord veerteynhundert in deme zosteynden yare in deme avende Sunte Jacobes des hylgen
aposteles in der myddages stunde […]. Geschehen in deme kerkdorpe to Nygengamme in
deme huse von Quade Wilken, der auch Zeuge sei. Siegelankündigung der beiden Aussteller.
Diplomatische Erörterung: Pergament mit Faltung und Feuchtigkeitsflecken entlang
der Faltlinie, Plica mit zwei an Pergamentstreifen eingehängten Siegeln. Rückseite mit jüngerer Kanzleinotiz in der Mitte: Tughnysse [inhabende von] 10 m. geldes
van 40 m. geldes uthe deme schatte van to Nigengamme kommende to einer vicarie de
wandaghes beseten hefft h[er] Hinrick Kracht anders van Hemme. Dazu: Ad No. 31.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Kk 8. D = Copiae Archivi.
1416 Juli 24. o. O.
212
255
1416 Juli 24. o. O.
1416.07.24 — Pp 39
212
Der Lüneburger Rat bezeugt, dass Johannes de Molendino, Sohn des einstigen Ratsherrn Johannes de Molendino, Dekan und Domkapitel zu Hamburg für 1100 m. lüneb. die Hälfte der rechten Pfanne im Haus Grevinge verkauft habe, und informiert über die Nutzung der Gelder
Der Lüneburger Rat, Albertus de Molendino, Hinricus Viscule, Nicolaus Sanckenstede,
Ludolphus de Winsen, Tydericus Springintgud, Johannes Rese, Hartwicus de Molendino,
Gotfridus Tzerstede, Johannes de Ollensen, Hermannus Cruze, Johannes Semmelbecker
und Nicolaus Gronehagen, bezeugt, dass Johannes de Molendino, Sohn des einstigen
Ratsherrn Johannes de Molendino, mit Zustimmung seiner Erben und Verwandten in
rechtmäßigem Verkauf dem Dekan und Domkapitel zu Hamburg für 1100 m. lüneb.
die Hälfte der rechten Pfanne (dominium dimidie dextre wechpanne) im Haus Grevinge
verkauft habe, mit allen Rechten und Einkünften. Davon dienten 200 m. zur Finanzierung der Präbende am Dom, die für einen Doktor der Theologie vorgesehen sei,
und 90 m. sollten für vier Prediger und tägliche Totenmessen sowie andere fromme Zwecke verwandt werden. Datum anno domini millesimo quadringentesimo decimo
sexto in vigilia beati Jacobi apostoli. Ankündigung des Lüneburger Siegels.
Diplomatische Erörterung: Kleines Pergament mit Faltung, breite Plica mit einem gro-
ßen Siegel an Pergamentstreifen. Rückseite mit Kanzleivermerken, in der Mitte:
Super […] dimidio dominio ad usum predicatorum et prebende doctoralis. Unten am
Rand: Dominium dimidie dextre wechpanne domus Grevinge pro 1100 m. pro doctore
vicario et predicatoribus. Dazu runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Pp 39. D = Copiae Archivi.
213
1416 August 8. Hamburg.
1416.08.08 — Ss 48
213
Johannes, Vizedekan, und das Domkapitel zu Hamburg machen bekannt, dass Nicolaus Schowemborch, ewiger Vikar am Dom, eine ewige Vikarie am Altar von St. Simonis et Jude im Dom mit einer Rente von 15 m. ausstatten wolle, nehmen die Gelder unter Schutz und errichten die Vikarie
Johannes, Vizedekan,341 und das gesamte Hamburger Domkapitel in einem offenen Brief: machen bekannt, dass vor ihnen Nicolaus Schowemborch erschienen sei,
ewiger Vikar an dieser Kirche, gesunden Körpers und Geistes, und erklärt habe,
dass er für sein Seelenheil und das seiner Vorfahren und Wohltäter mit Zustimmung seiner Erben und Freunde eine ewige Vikarie am Altar St. Simonis et Jude
im Osten des Hamburger Doms zu Ehren des Heiligen Thomas und aller Heiligen
gründen und mit Renten und Besitz ausstatten wolle, und zwar mit acht Morgen
im Hammerbroek zwischen den Grundstücken des Krämers Gherwin und der Bruderschaft der heiligen 12 Apostel an der Nicolaikirche, die 15 m. zinsen. Diese Morgen
gehörten bisher zur Vikarie der Weißen Maria, die Nicolaus innehabe, sollten aber
mit den Renten auf die neue Vikarie übertragen werden. Nicolaus stifte weiter ein
Möglicherweise wie oben in Nr. 208 Johannes Werneri alias dictus Gerbode, Kantor, belegt 1404–
1436.
341
256
Regesten der Jahre 14 00 –14 4 0
zweibändiges Viaticum für die Abhaltung von Gottesdiensten, ein Missale, einen
Kelch mit Patene sowie zwei Paramente. Wenn Renten von den 15 m. zurückgekauft werden sollten, sollten sie für den Ankauf gleichwertiger neuer Renten verwandt werden. Vizedekan und Kapitel nehmen die acht Morgen, 15 m. Rente und
„Kleinodien“ unter ihren Schutz und folgen der Bitte zur Einrichtung der ewigen
Vikarie. Nicolaus’ Wunsch entsprechend solle der Vikar in wechselnden Wochen
die zehnte Messe zum Seelenheil Nicolaus’, seiner Vorfahren und Unterstützer
lesen, wenn dieser verstorben sei, davor aber die vierte. Der Vikar solle zudem
jährlich an Allerheiligen sowie an Letare jeweils 4 m. für das Seelenheil Nicolaus’
und seiner Eltern bzw. seiner Förderer geben, dazu jährlich 2 m. für Nicolaus, Ghertrude Vrůchtenicht und seine Eltern. Der Vikar solle weiter Johannes Schowenborch,
Dominikaner, dem leiblichen Bruder des Nicolaus, auf Lebenszeit 4 m. geben, die er
zurzeit im Haus von Johannes Hoep im Neß (up dem Nesse) hätte. Nach dessen Tod gehörten die 4 m. zur Vikarie. Der Vikar solle ebenfalls Ghertrude, die bei der Errichtung der Vikarie geholfen habe, auf Lebenszeit jährlich jeweils 2 m. zu Ostern und
an Michaelis geben. Falls allerdings Nicolaus seinen Bruder und Ghertrude überlebe, fallen die ihnen zugewiesenen insgesamt 8 m. auf Lebenszeit an Nicolaus,
danach an die Vikarie. Das Präsentationsrecht solle bei Nicolaus und nach dessen
Tod beim camerarius laicus („Stabträger“), beim succentor („Unter-Sänger“) oder einem anderen geeigneten Chorschüler liegen. Siegelankündigung. Datum et actum
Hamborch in loco capitulari ecclesie anno nativitatis domini millesimo quadringentesimo
sedecimo indictione nona mensis Augusti die octava hora terciarum vel quasi […]. Zeugen:
Johannes Bergherdorp, Mathias Vos, Johannes van der Esschede und Nicolaus Roͤper.
Diplomatische Erörterung: Pergament mit Faltung und Feuchtigkeitsflecken insbeson-
dere entlang der Faltlinie, Plica mit zwei an Pergamentstreifen eingehängten
Siegeln (das größere des Domkapitels zuerst, dann das kleinere Nicolaus Schowenborchs). Rückseite unten links zeitgenössischer Vermerk: Maioris ecclesie
vicariae altaris Sanctorum Simonis et Jude apostolorium. Reg[istra]ta in fol. 43. Dazu
neuzeitlich ergänzt: Fundator Nicolaus Schoweborch. 15 m. reditus et octo jugera terrae arabilis in palude Hammerbrock. 1416. Rechts unten quer: Fundacio vicarie altaris
Sanctorum Symonis et Jude quam possidet Georgius Heys[en de anno (14)75].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ss 48. D = Copiae Archivi.
Regest: Staphorst, I, 4, S. 3.
1416 Novemb er 19. o. O.
214
257
1416 November 19. o. O.
1416.11.19 — Uu 5 [1] und [2]
214
Heyne Rodekopkenson aus Twielenfleth im Alten Land bekennt, dass sich mit Hinrik Pyltz, Vikar an der einst von Cord Moneke an St. Nicolai gestifteten Vikarie, vor Johannes Uppemperde als Richter geeinigt habe, nunmehr die 3 m. Renten von seinem Land in Twielenfleth jeweils November 11 zu bezahlen
Heyne Rodekopkenson, aus Twielenfleth, Kirchspiel Sesterfleth (to Twylenvlete, in
deme kerspele to Tzestersflet), im Alten Land, in einem offenen Brief: bekennt, dass er
schuldig sei von den zwei Stücken Land, die ihm in Twielenfleth gehörten, gelegen
zwischen den Hufen und Äckern des Sybern Dagmer und des Laurencies Sprengher,
3 m. jährlicher Rente. Diese sei am Tag Petri Erhöhung (Februar 22) in Hamburg
für die Vikarie gezahlt worden, die einst Cord Moneke zu Ehren Mariens an St. Nicolai eingerichtet habe. Mit Zustimmung seiner Frau Gheze und seiner Erben habe
er sich nun mit Hinrik Pyltz, nun Vikar an der genannten Vikarie, vor Johannes Uppemperde als einem Richter geeinigt, dass die genannten 3 m. von seinem Land auf
ewige Zeiten an St. Martin (November 11) Hinrik und seinen Nachfolgern gezahlt
werden sollen. Die erste darüber ausgestellte Urkunde solle nach dem Willen des
Vikars ganz oder teilweise gültig bleiben. Wenn er oder seine Nachkommen nicht
zahlten, könne der Vikar kommen und das Land selbst übernehmen, bis er die Rente und seine Unkosten erwirtschaftet habe. Wenn der Vikar das nicht tun wolle,
könne er Heyne oder seine Nachfahren in Hamburg vor dem Propst, Dekan oder
einem anderen Richter nach geistlichem Recht verklagen, bis ihm Rente und Kosten erstattet würden. Hinrik und er hätten Johannes, Propst zu Bardowick, gebeten, die Urkunde durch sein Siegel zu bestätigen. – Johannes, Propst zu Bardowick,
bestätigt die Richtigkeit der Urkunde, Zeugen: Jurgen Soltwedel, Frederik Emptzen,
Vikare. Siegelankündigung. Geven […] na Godes bord dusent verhundert dar na in dem
sosteynden iare an sunte Ylzeben daghe, der hilghen vrowen.
Diplomatische Erörterung: A: Großes Pergament mit Faltung und wenigen nachgedun-
kelten Stellen, Plica mit zwei eingehängten Pergamentstreifen, nur ein Siegel (in
rotem Wachs) teilweise erhalten. Auf der Rückseite links unten verschiedene,
teilweise stark verblasste Kanzleivermerke: Ad S. Nicolai [vicaria …], darunter: Ad
vicariam altaris prope corum, quam nunc possidet dominus Johannes Rose. Ad altare Mariae in Nicolai. Weiter: Twelenfleth 3 marken geldes [jerliker] renthe, [datum] 1416, und:
7. No. 7. / B: Papier mit Faltung und Ausrissen an den Faltlinien, r-v beschrieben,
notarielle Abschrift des Georgius Erneke, Kleriker der Lübecker Diözese, Notar
päpstlicher Autorität, von ca. 1510 (mit Korrektur und Bestätigung). Auf v unten
rechts quer: Vicaria ad alt[are] Mariae in Nicolao und Nicolao; dazu 2. und moderne
Signatur mit Bleistift.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Uu 5 [1]. B = StAHH 710-1 I Threse I, Nr.
Uu 5 [2]. D = Copiae Archivi.
258
Regesten der Jahre 14 00 –14 4 0
Erwähnung: Jürgen Reetz, Zu einigen Ortsnamen in mittelalterlichen Archivalien des
Hamburger Domkapitels, in: Zeitschrift des Vereins für Hamburgische Geschichte 63 (1977), S. 233–244, hier S. 244; Vollmers, Pfarreien, S. 436.
215
1416 Dezember 1. o. O.
1416.12.01 — Q 92
215
Woldeke Lappe, Knappe des Stiftes von Bremen, quittiert den Empfang von 40 m. jährlicher Rente durch die Kämmerer des Rates von Hamburg
Woldeke Lappe, Sohn von Wolder Lappe,342 Knappe des Stiftes von Bremen, in einem
offenen Brief: quittiert den heutigen Empfang von 40 lüb. m. durch Johan Wige343
und Ludeken Lutouw,344 Kämmerer des Rates und der Stadt Hamburg, an jährlicher
Rente vom Hamburger Rat. Spricht die Hamburger von allen Forderungen von den
Renten aus den letzten Jahren sowie insbesondere von den 40 m. frei. Ankündigung der Siegel von Woldeke und von Heyne Hardenacke, Hamburger Bürger. Gheven
unde screven […] in deme jare unses Heren verteynhundert unde sosteyne des neghesten
dinxedaghes na sunte Andreas daghe des hilghen apostels.
Diplomatische Erörterung: Pergament mit Faltung und zahlreichen Feuchtigkeitsfle-
cken, breite Plica mit zwei Schlitzen für die Siegelanbringung, jedoch sind nur
noch die Pergamentstreifen erhalten. Kanzleinotiz auf der Rückseite: Lappen
1416.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 92. D = Copiae Archivi.
216
1416 Dezember 26. Hamburg.
1416.12.26 — Cc 24
216
Hermen Preen aus Wildeshausen schwört für sich, seinen Bruder und seine Verwandten wegen der Gefangennahme in Hamburg Urfehde
Hermen Preen aus Wildeshausen (Wyldeshusen) gelobt für sich, seinen Bruder und
seine Verwandten,345 dass er wegen der Gefangennahme in Hamburg Rat, Stadt
und Bürger zu Hamburg, ihre Nachfahren und Untertanen nicht befehden, ihnen
Schaden zufügen oder zufügen lassen, sondern zu ihrem Besten mit ihnen getreu
umgehen werde. Verspricht, nicht mehr öffentlich oder heimlich ohne Zustimmung des Rates nach Hamburg zu kommen. Siegelankündigung. Gheven to Hamborch na Godes bord dusend veerhundert dar na in deme sesteynden jare an sunte Steffens
daghe des hilghen mertelers.
342
Wolderich VI. († ca. 1400).
343
Ratsherr seit 1407, Bürgermeister 1420–1438.
344
Ratsherr 1409–1427.
345
Das Gelöbnis des Bruders und weiterer Personen oben Nr. 204.
1417 Januar 15. Wismar.
259
Diplomatische Erörterung: Nahezu quadratisches Pergament mit Faltung, Plica mit
einem an einem Pergamentstreifen befestigten, beschädigten Siegel. Auf der
Rückseite zeitgenössische Kanzleinotiz: Item orveide Hermen Preensz 1416. Spätere
Notiz daneben: Stephani, darunter 5).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 24. D = Copiae Archivi.
217
1417 Januar 15. Wismar.
1417.01.15 — Gg 90
217
Albrecht [V.], Herzog von Mecklenburg-Schwerin, bekennt, Bürgermeistern und Ratsherren zu Hamburg 200 lüb. m. für den von seinen Untertanen ihren Untertanen zugefügten Schaden an Pferden, Harnischen und anderem Gut schuldig zu sein
Albrecht, Herzog von Mecklenburg, Graf zu Schwerin, Stargard und Rostock,346 in
einem offenen Brief: bekennt, den Bürgermeistern und Ratsherren zu Hamburg
200 lüb. m. schuldig zu sein für den von seinen Untertanen ihren Untertanen zugefügten Schaden an Pferden, Harnischen und anderem Gut. Ankündigung der Zahlung von 100 m. an 1417 November 11 (uppe sunte Mertins dach neghest to komende) in
Wismar und von den anderen 100 m. zu Ostern des folgenden Jahres (1418 März 27,
to dem Paschen dar denne neghest volgende) ebenda. Bekennt, alle Gefangenen freigelassen zu haben. In der Angelegenheit des erschlagenen hamburgischen Knechts
Mertene van deme Walde bemühten sich beide Seiten um eine Verständigung unter Vermittlung von Herzog Johann von Mecklenburg347 und denen von Lübeck,
Stralsund, Wismar und Lüneburg. Siegelankündigung. Gheven unde screven […] to
der Wismer int jar na Cristus ghebort dusent verhundert unde int soventeynde jar uppe den
anderen vrygdach neghest na twelfften.
Diplomatische Erörterung: Pergament mit Faltung, Plica mit einem an einem Perga-
mentstreifen angehängten, gut erhaltenen Siegel in rotem Wachs. Auf der Rückseite verblasste Kanzleinotiz: Recognitio domini Alberti ducis Magnopolen[sis] super
200 m.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 90. D = Copiae Archivi (Notiz: Cop. an
den Archivrath Lisch in Schwerin 6 Sept. 1866.).
Regest: Lehe, Fehden, S. 164.
346
Albrecht V. von Mecklenburg-Schwerin (1412–1423).
347
Johann IV. von Mecklenburg-Schwerin, Mitregent (1395–1422).
260
218
Regesten der Jahre 14 00 –14 4 0
1417 März 21. o. O.
1417.03.21 — S 39
218
Bertram Tzabel und sein Sohn Betheman, Knappen, bezeugen, dass das Eigentum des Propstes, Dekans und des Domkapitels zu Hamburg an dem Deich und der Stauung zum Vy im Anschluss an die Feldmark ihrer erblichen Güter und der ihrer Kirche liege
Bertram Tzabel und sein Sohn Betheman, Knappen, in einem offenen Brief: bezeugen, dass das Eigentum des Propstes, Dekans und des Domkapitels zu Hamburg an
dem Deich und der Stauung zum Vy nicht im Anschluss an die Feldmark Mulenhaghen, sondern im Anschluss an die Feldmark ihrer erblichen Güter und der Güter
und ihrer Kirche liege. Versprechen, sie in friedlichem Besitz zu belassen. Siegelankündigung der Aussteller. Gegheven unde schreven na Ghodes bord in deme dusentsten
veerhundertsten unde seventeynden yare up den neghesten sondach na mydvasten.
Diplomatische Erörterung: Kleines Pergament mit Faltung, Plica mit zwei Einschnitten
zur Siegelanbringung, nur am zweiten ein an einem Pergamentstreifen befestigtes, schlecht erhaltenes Siegel. Auf der Rückseite verschiedene, teilweise später
korrigierte Kanzleinotizen in unterschiedlichen Händen: Super piscina Vy [libertatem]. 1417, dazu No. 52, über [249] in Bleistift.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. S 39. D = Copiae Archivi.
219
1417 April 10. Hamburg.
1417.04.10 — Q 30 (12)
219
Woldeke Lappe quittiert Bürgermeister und Rat von Hamburg unter Darstellung der älteren Forderungen aus den Rentenzahlungen für das Schloss Ritzebüttel 200 m. für 20 m. seiner Rente, so dass diese noch jährlich 20 m. Rente an ihn zahlen müssten
Woldeke Lappe, Knappe des Stifts zu Bremen, Sohn Wolder Lappes,348 in einem offenen
Brief: bekennt, dass Bürgermeister und Rat zu Hamburg einst seinem Vater und
seinem Vetter Alverik Lappe349 in gerechter Fehde das Schloss Ritzebüttel, gelegen
im Land Hadeln (dat slot Ritzebuttels beleghen in dem lande to Hadeln) abgewonnen,
sich dann aber um guter Eintracht willen freundlich mit ihnen geeinigt hätten,
dass ihnen Woldeke, Alverik, er und ihre Erben das Schloss mit allen Rechten für
2000 m. lüb. und hamb. Pfennige verkauften. Davon hätten sein Vater und Alverik
200 m. bekommen, für die verbleibenden 1800 m. sei eine jährliche Rentenzahlung
von 180 m. vereinbart worden, aber so, dass Bürgermeister und Rat in den nächsten Jahren beliebig Rentenzahlungen ablösen konnten. Nach dem Tode seines Vaters hätten Bürgermeister und Rat bei Alverik, seiner Mutter Ghese und ihm mit
900 m. 90 m. Rente abgelöst. Davon erhielt Alverik 600 m., 300 m. blieben beim Rat.
Nach Alveriks Tod gingen die 300 m. an Alheyd Schrammeke, an Mette Lappe, Alveriks
Schwester im Kloster Neuenwalde, an ihn und weitere Schuldner Alveriks, so dass
sie die Summe voll zu ihrem Nutzen verwandt hätten. Von den weiteren 90 m. Rente gingen nach Wolders Tod 30 m. an seine Mutter Ghese für ihre Mitgift (vor eren
348
Wolderich VI. Lappe († ca. 1400), verheiratet mit Geseke.
349
Alverich IX. Lappe († ca. 1412).
1417 Mai 16. Hamburg.
261
brudstand), 60 m. an ihn. Zur Ablösung der 30 m. Rente wurden dann seiner Mutter
von Heyne Hardenacke, Bürger zu Hamburg, 400 m. Pfennige mit allen dazugehörenden Renten gezahlt. Von seinen 60 m. Rente hätten Bürgermeister und Rat dann
20 m. mit 200 m. abgelöst, die er zu seiner Genüge erhalten habe. [Nach einer weiteren Zahlung von 200 m.]350 seien Bürgermeister und Rat nun noch 20 m. Renten
schuldig. Woldeke und Heyne erklärten damit Bürgermeister und Rat aller Forderungen aus den 160 m. jährlichen Renten quiit, leddich unde los. Den Brief der Stadt
über die 40 m. Rente hätten sie auch für ihre Erben Bürgermeister und Rat deshalb
zurückgegeben. Woldeke und seine Erben hätten kein Recht, die Auslösung der
(letzten) 20 m. Renten zu fordern, wohl könnten Bürgermeister und Rat dies ihrerseits tun. Woldeke sollte die Rente nicht vergeben, verkaufen oder verpfänden
ohne Zustimmung von Bürgermeister und Rat, sonst würde diese nicht gezahlt.
Er verzichte zudem für sich und seine Erben auf alle Rechte am Schloss Ritzebüttel und verspricht mit Heyne für sich und ihre Erben die Einhaltung der Zusagen.
Siegelankündigung Woldekes und Heynes. Gheven to Hamborch na Godes bord dusent
verhundert dar na in dem seventeynden iare des neghesten sonnavendes na Palmen.
Diplomatische Erörterung: A: Deperditum. / C: Abschrift des 17. Jahrhunderts der Ko-
pie einer Register-Überlieferung (des Liber emptionum von 1485).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 30 (12). C = StAHH 311-1 I 406 („Kopial-
buch des Jürgen Rose”), S. 288–294. D = Copiae Archivi [danach hier, mit Lücken
und unklaren Stellen].
Edition: Klefeker, Sammlung, 10, S. 221–226 [eventuell nach anderer Vorlage, mit Datum (…) des negesten sonnavendes vor Palmarum].
Regest: Schütze, 412, S. 365.
220
1417 Mai 16. Hamburg.
1417.05.16 — Gg 27
220
Hermen van der Linden, Diener des Bischofs von Münster, macht bekannt, dass er sich mit Bürgermeistern und Ratsherren über das Gut, das sein Bruder Johan von der Linden bei seinem Tode in Hamburg hinterlassen habe, geeinigt habe
Hermen van der Linden, Diener des Bischofs von Münster,351 in einem offenen Brief:
macht bekannt, dass er einst Verhandlungen geführt habe mit Bürgermeistern
und Ratsherren über das Gut, das sein Bruder Johan van der Linden bei seinem Tode
in Hamburg hinterlassen und der Kämmerer der Stadt eingezogen habe. Wegen
dieser Sache habe sein Herr, der Bischof von Münster, Bürgermeistern und RatsDie wohl durch Schäden unvollständige Abschrift scheint hier fehlerhaft, ist doch zweimal von
einer Restsumme von 20 m. die Rede, obwohl die restliche Rente zunächst noch 40 m. betrug, zur
letzten Zahlung vgl. Nr. 216.
350
351
Otto IV. von Hoya (1392–1424).
262
Regesten der Jahre 14 00 –14 4 0
herren mehrfach geschrieben und gebeten, ihm das Gut zu übergeben. Darüber
habe er sich nun mit Bürgermeister und Ratsherren freundlich geeinigt, so dass
weder er und seine Erben noch seine Brüder Arend, Hinrik und Gherardus oder jemand in ihrem Namen in dieser Angelegenheit noch etwas fordern würden. Er
wolle nunmehr Bürgermeistern, Ratsherrn, Bürgern, Einwohnern und ihren Untertanen nach Kräften behilflich sein. Siegelankündigung Hermens, dazu Ankündigung der Siegel der Zeugen Sanders van der Veechte, Ludeke Bernstede, Meyneke van
dem Berghe, Bürger zu Hamburg. Gheven und screven to Hamborch na Gades bort dusend
veerhundert jar, darna an deme soventeynden jare des vefften sondaghes na Paschen, alse
me singhet in der hilghen kerken Vocem iocunditatis.
Diplomatische Erörterung: Deperditum, Kriegsverlust [Auskunft des Archivs vom
25.10.2019].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 27. D = Copiae Archivi [danach hier].
221
1417 Juli 16. Konstanz.
1417.07.16 — F 12 a und F 12 b
221
Sigismund römischer König, König von Ungarn, Dalmatien und Kroatien, bestätigt auf Wunsch der Bürgermeister, Räte und Bürger der Stadt Hamburg alle Privilegien und die guten Gewohnheiten der Stadt, wie sie sie bisher eingehalten hätten
Sigismund römischer König, allzeit Mehrer des Reiches, König von Ungarn, Dalmatien und Kroatien,352 in einem offenen Brief: macht bekannt, dass ihn die Bürgermeister, Räte und die Bürger der Stadt Hamburg gebeten hätten, alle Privilegien
(gnade, freyheitte, rechte, breve, privilegia und hantvesten) zu bestätigen, die sie von
früheren römischen Kaisern, Königen und anderen Fürsten erhalten hätten. Angesichts der Dienste, die die Hamburger dem Reich geleistet hätten und noch leisteten, komme er dieser Bitte nach und bestätige alle Priviligien sowie die gute gewonheite, die sy redlich biszher gehalden haben. Alle geistlichen und weltlichen Fürsten,
Grafen, Freie, Ritter, Knechte, Richter, Vögte, Amtsleute, Bürgermeister, Räte und
Gemeinden der anderen Städte werden aufgefordert, die Hamburger nicht in ihren
Rechten zu behindern. Ankündigung des Majestätssiegels. Geben zu Costencz nach
Crists geburd vierczehenhundert jare und darnach in dem sybenczehenden jare an dem fritage nach Sand Margaretentag unser reiche des Ungerischen etc. in dem eynunddrissigsten
und des Romischen in dem sibenden jaren.
Diplomatische Erörterung: A: Pergament mit Faltung, breite Plica mit einem an Sei-
denschnüren befestigten Majestätssiegel. Auf der Plica Kanzleivermerk: Per d[ominum] S[imonem] episcopum Traguriens[sis].353 Johannes de Strigonio354 prepositus et
352
König von Ungarn (seit 1387), römischer König (seit 1410/1411), Kaiser (1433–1437).
353
Simon de Dominis, Bischof von Traú/Tragir in Dalmatien (1403–1423).
354
Johannes Propst von Gran.
1417 Juli 20. Hamburg.
263
vicecancellarius. Rückseite mit einem großen R sowie einem kleinen k. Darunter:
R[egistra]ta. / C: Vidimus des Lübecker Domkapitels von 1564 September 23, Pergament, Plica mit einem Pergamentstreifen, Siegel ab. Auf der Rückseite stark
verblasste Kanzleinotiz.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. F 12 a. C = StAHH 710-1 I Threse I, Nr. F
12 b. D = Copiae Archivi [unter F 12].
Regest: Regesta Imperii XI, 1, 12272, S. 438; Ballheimer, 4, S. 8.
222
1417 Juli 20. Hamburg.
1417.07.20 — K 41
222
Heinrich III., Graf von Holstein-Rendsburg, Heinrich IV., Adolf VIII. und Gerhard VII., [nicht belehnte] Herzöge von Schleswig, machen bekannt, dass ihnen Bürgermeister, Rat und Bürger zu Hamburg, obwohl sie in keiner Weise zu Hilfe oder Heeresfolge verpflichtet seien, Hilfe gegen König Erik von Dänemark zugesagt hätten, und beurkunden die Bedingungen
Hinrik, Fürst von Stormarn, Graf von Holstein und Schauenburg,355 sowie Hinrik, Alff
und Gerd, Herzöge von Schleswig und Grafen von Holstein, Stormarn und Schauenburg,356 in einem offenen Brief: machen bekannt, dass ihnen Bürgermeister,
Rat und Bürger zu Hamburg, obwohl sie in keiner Weise zu Hilfe oder Heeresfolge
verpflichtet seien, angesichts ihrer Nöte und der ihrer Länder zugesagt hätten,
ihnen gegen König Erik von Dänemark357 beizustehen. Sie hätten sich daher auf
das Folgende geeinigt: Wenn sie in gemeinsamen Kämpfen etwas gewönnen, würden sie Gefangene, Pferde und andere Beute nach Mannzahl teilen, essbares Vieh
aber und gemeinsam gewonnene Städte oder Burgen sollten allein an die Fürsten übergehen. Würden die Hamburger ihrerseits wegen ihrer Hilfe oder auch
aus anderen Gründen mit irgendeinem Fürsten, Herrn, Ritter oder einer Stadt in
Konflikt geraten, sollten die Fürsten ihnen auf eigene Kosten und eigenes Risiko
Hilfe leisten, bis die Fehde ende. Die Fürsten wollten mit König Erik auf keine Weise Frieden schließen, ohne die Hamburger dabei zu berücksichtigen. Würden die
Fürsten wegen der Hilfe für die Hamburger in einen Konflikt geraten, sollten die
Hamburger ebenfalls nicht ohne die Fürsten oder ihre Erben Frieden schließen.
Wegen der Unterstützung der Hamburger sollten die ihnen von den Fürsten und
ihren Vorfahren verliehenen Privilegien in vollem Umfang ihre Gültigkeit behalten. Auch in Zukunft dürften die Fürsten die Hamburger in keiner Weise zur Unterstützung gegen Dritte nötigen, es sei denn, es geschähe aus freiem Willen und
Freundschaft. Die Fürsten geloben die Einhaltung der Zusagen. Siegelankündigung
von Graf Heinrich und Herzog Heinrich. Gheven unde schreven an unser stat Hamborch
na Godes bort veerteinhundert iar dar na an deme soventeinden iare des dinghesdaghes
355
Heinrich III., Graf von Holstein-Rendsburg und Schauenburg (1388–1421).
Heinrich IV. (1404–1427), Adolf VIII. (1421–1459) und Gerhard VII. (1427–1433), Grafen von Holstein
und (nicht belehnte) Herzöge von Schleswig.
356
357
Erik (VII.) (Erich von Pommern), König von Dänemark, Norwegen und Schweden (1397/1412–1439).
26 4
Regesten der Jahre 14 00 –14 4 0
vor sunten Jacobes daghe des hillighen apostels. Zeugen: Hermen Buͤ ren Domherr zu Lübeck, Schwerin und Hamburg,358 Marquard Vlottow Domherr zu Schleswig, Meister
Hermen van Hamme359 und Marquard Worre Vikar zu Hamburg unsere Kanzler, Hinrik
Broctorpe Knappe von her Hinrikesson Vogt zu Segeberg, Johan van Draghe und Marquard Hachchen Bürgermeister zu Itzehoe und Segeberg.
Diplomatische Erörterung: Großes Pergament mit Faltung und einigen Feuchtigkeits-
flecken, Plica mit zwei an Pergamentstreifen befestigten großen Siegeln in rotem Wachs. Rückseite mit kurzem Kanzleivermerk in der Mitte: Confirmatio privilegiorum cum ceteris, und Altsignatur A 2.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. K 41. D = Copiae Archivi.
Edition: Reincke, Weg, S. 125–131 (mit hochdeutscher Übersetzung).
Regest: Schütze, 414, S. 365.
Erwähnung: Ballheimer, 4, S. 9.
223
1417 September 29. Hamburg.
1417.09.29 — Q 93
223
Woldeke Lappe, Knappe des Stiftes von Bremen, quittiert den Empfang von 20 m. jährlicher Rente durch die Kämmerer des Rates von Hamburg
Woldeke Lappe, Sohn von Wolder Lappe,360 Knappe des Stiftes von Bremen, quittiert
den heutigen Empfang von 20 m. lüb. an jährlicher Rente durch Johann Wyge361 und
Erik van Tzeven,362 den Kämmerern der Stadt und des Rates von Hamburg. Spricht
die Hamburger von allen Forderungen von den Renten aus den letzten Jahren sowie insbesondere von den 20 m. frei. Siegelankündigung. Gheven to Hamborgh na
Godes bord dusend verhundert darna in deme soventeynden jare up sunte Micheles daghe.
Diplomatische Erörterung: Pergament mit Faltung, starken Feuchtigkeitsflecken und
leichtem Textverlust, Plica mit einem an einem Pergamentstreifen angebrachten kleinen Siegel. Rückseite mit kurzen Vermerken über dem Siegeleinschnitt:
Lappen und 1417.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 93. D = Copiae Archivi.
358
In Hamburg sonst belegt 1419–1439.
Wohl schon der 1430–1440 am Dom belegte Hermann van Hamme, magister in artibus, vgl. Vollmers, Pfarreien, S. 665.
359
360
Wolderich VI. († ca. 1400).
361
Ratsherr seit 1407, Bürgermeister 1420–1438.
362
Ratsherr 1414–1450.
1417 Ok tob er 14. Lüb eck .
224
265
1417 Oktober 14. Lübeck.
1417.10.14 — Kk 9
224
Johannes, Bischof von Lübeck, vidimiert für die Kleriker Gerardus Tzeretze und Johannes Snydewind, ewige Vikare der Kirche zu Lübeck, eine Urkunde von Johann [III.], Graf von Holstein[-Plön], von 1319 März 24 über den Verkauf von Ivendorf
Notariatsinstrument. Johannes, Bischof von Lübeck,363 in einem offenen Brief:
macht bekannt, dass in seiner Gegenwart, der des Notars und der Zeugen die Kleriker Gerardus Tzeretze und Johannes Snydewind, ewige Vikare der Kirche zu Lübeck,
eine gut erhaltene, von Zweifeln freie Urkunde des Johannes, Grafen von Holstein,364
vorgelegt hätten. Diese wird inseriert.
[1319 März 24 Lübeck. Johann, Graf von Holstein und Stormarn, in einem offenen
Brief: bestätigt den Verkauf des Dorfes Ivendorf (Hybendorp) im Kirchspiel Travemünde durch den Knappen Herman Both an Hermannus, den Kirchherrn von Großen Brode, sowie die Lübecker Bürger Heinrich Wullenpund und Johannes Parkentin.]
Gerardus und Johannes planten, die Urkunde an verschiedenen Orten zu publizieren und hätten daher zum Schutz des Originals um ein Transsumpt in Form
eines Vidimus gebeten (litteras testimoniales sive transsumptum de eisdem sub forma
vidimus). Johannes sei dem gefolgt und bezeuge die Echtheit der Vorlage und die
Übereinstimmung des Transsumpts mit dem Original. Siegelankündigung des Bischofs. Datum et actum in curia nostra episcopali Lubicensi anno domini millesimo quadringentesimo xviio indiccione xma mense Octobris die jovis xiiiia hora completorii vel quasi
apostolica sede pastore vacante […]. Zeugen: Bernardus Hoke, ewiger Vikar der Kirche
zu Lübeck, Johannes Schabbe, Notar des Domkapitels zu Lübeck.
Diplomatische Erörterung: Notariatsinstrument des Fredericus Strødingh, Kleriker der
Münsteraner Diözese, Notar kaiserlicher Autorität, mit seinem Notariatszeichen.
Pergament mit Faltung, vorgezeichneten Linien (und Resten der Einstiche am
Rand), Plica mit einem spitzovalen Siegel in rotem Wachs, nur fragmentarisch
erhalten, an einem Pergamentstreifen. Rückseite mit jüngerem Kanzleivermerk:
Hibendorp in parrochia Travemunde et nihil ad civitatem spectat. 1329, sowie einem
kreisrunden Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Kk 9. D = Copiae Archivi.
Edition der inserierten Urkunde: Codex diplomaticus Lubecensis. Lübeckisches Urkundenbuch, 2te Abt. Urkundenbuch des Bisthums Lübeck, hrsg. Wilhelm Leverkus,
1, Oldenburg 1856, DXLVIII, S. 687–689.
363
Johannes VI. Hundebeke (1399–1420).
364
Johann III. von Holstein-Plön (1312–1359).
266
225
Regesten der Jahre 14 00 –14 4 0
1417 Oktober 27. Hamburg.
1417.10.27 — Gg 91
225
Borcherd Morsedeborch, Arend van Stade und Johan van Luneberghe, Knappen, quittieren der Stadt Hamburg die vollständige Bezahlung ihres Soldes und Schadenersatz für ihren Einsatz gegen den König von Dänemark
Borcherd Morsedeborch, Arend van Stade und Johan van Luneberghe, Knappen, in einem
offenen Brief: quittieren den Bürgermeistern, Ratsherren, Bürgern und Einwohnern der Stadt Hamburg die vollständige Bezahlung ihres Soldes und den Ersatz
ihres Schadens für ihren Einsatz gegen den König von Dänemark. Ankündigung
des Siegels von Borcherd Morsedeborch für die drei Aussteller. Gheven to Hamborch
na Godes bord dusend veerhundert iar darna an deme soventeynden iare an sunte Symon
und Judas avende der hilghen apostele.
Diplomatische Erörterung: Nachgedunkeltes Pergament mit Faltung und Feuchtig-
keitsflecken, breitere Plica mit einem an einem Pergamentstreifen angebrachten Siegelfragment. Jüngere Kanzleinotiz auf der Rückseite: Quitan[cia] Borcheri
Morszeborgh.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 91. D = Copiae Archivi.
Erwähnung: Ballheimer, 4, S. 20.
226
1417 Dezember 26. o. O.
1417.12.26 — Gg 138
226
Otto und Ghereke, Brüder, gheheten Vurschutte, machen bekannt, dass sie den Hof ihrer Vorfahren in Boldersen mit allen Rechten und Zubehör für 3½ m. endgültig ihrem Verwandten Albert Histring überlassen hätten
Otto und Ghereke, Brüder, gheheten Vurschutte, in einem offenen Brief: machen bekannt, dass sie und ihre Erben den Hof ihrer Vorfahren in Boldersen mit allen Rechten und Zubehör ihrem Onkel oder Neffen (ome) Albert Histring überlassen hätten,
dessen Eltern ihn ihren Eltern für 17 m. lüneb. Pfennige abgekauft hätten. Albert
habe ihnen für die Überlassung 3 ½ m. bezahlt, und sie würden ihn gegen Ansprüche Dritter schützen (und wy willet em des vorbenomeden hoves vor recht waren wesen
wo runde wanne em des [not is]). Versprechen die Zusagen auch im Namen ihrer Erben einzuhalten. Siegelankündigung der Aussteller. Gheven […] na Godes bord verteynhundert [unde] dar na in deme seventeynden jare in Sunte Steffens daghe des hilghen
mertelers.
Diplomatische Erörterung: Kleines Pergament mit Faltung und Feuchtigkeitsflecken,
Plica mit zwei an kurzen Pergamentstreifen befestigten, weitgehend zerstörten
Siegeln. Rückseite mit jüngerem Kanzleivermerk: Otto und Gerke Gebrüder Feuerschütten [… an deme Hofe] zuo Bollersen an Albert Histringe. 1417.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 138.
1418 April 17. o. O.
227
267
1418 April 17. o. O.
1418.04.17 — Ss 49
227
Dyderik Stroͤ b elyngh, Johannes Rickerssen, Hermen Kule, Domherren, und Thidericus van Geynsen, Stadtschreiber zu Hamburg, entscheiden als Schiedsleute den Streit um 4 m. Rente und 50 m. Pfennige zwischen dem Vikar Tymme Hummersbuttel und dem Hamburger Ratsherrn Johan Ghultzow
Dyderik Stroͤbelyngh, Johannes Rickerssen, Hermen Kule, Domherren, und Thidericus van
Geynsen, Stadtschreiber zu Hamburg, erwählte Schiedsleute im Streit um 4 m. Rente und 50 m. Pfennige, die nach Aussage des Tymme Hummersbuttel zu seiner Hamburger Vikarie gehörten, die ihm aber von Johan Ghultzow, Ratsherr zu Hamburg,365
bestritten würden.
Als Schiedsleute hätten sie entschieden, dass Johan Tymme künftig nicht weiter an
der Einnahme der 4 m. hindern solle, weder selbst noch durch andere. Wenn Johan
aber Tymme behindert habe, solle er ihm redlichen Ersatz leisten (da sal her Johan
Ghultzow hern Tymme redelichkeit umme pleghen), wie im Fall der 20 m., die Johan
empfangen haben soll, die Johan Ludekens eingezogen habe von den 2 m. Rente, die
auch zur Vikarie gehören sollen. Wenn die Mit-Testamentsvollstrecker (medetestamentariese)366 Johans urteilten, dass das Geld zur Vikarie gehöre, solle Johan Tymme die 20 m. nächste Pfingsten erstatten. Die anderen 30 m. solle der bekommen,
der die besseren Nachweise habe. Darüber solle der Mit-Propst (comprovest) Werner
Miles367 entscheiden. Die Belege dafür sollten sie zwischen jetzt und Pfingsten vorlegen. In deme yare unses Heren dusent veerhundert unde achteyne des sondaghes Jubilate. Siegelankündigung der Vermittler.
Diplomatische Erörterung: Etwas nachgedunkeltes Pergament mit Faltung, Plica mit
vier Pergamentstreifen, aber nur die ersten drei Siegel erhalten (das dritte in
rotem Wachs). Rückseite mit verblasstem Kanzleivermerk oben in der Mitte: Arbitrium [uber] 4 m. geldes ad vicari[am] de [T.] Hummersbutt[el]. 1418.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ss 49. D = Copiae Archivi.
Erwähnung: Vonderlage, Domkapitel, S. 82, 108.
228
1418 April 20. New Castle upon Tyne.
1418.04.20 — Ll 39 a, Ll 39 b [2]
228
Der Mayor von Newcastle upon Tyne an Hamburg: bittet um Rückgabe des Schiffes le George und der Waren, die um 1418 Februar 22 in der Nähe Norwegens durch Soldaten und Diener des Herzogs von Schleswig geraubt und nach Rendsburg gebracht worden seien, und sendet Bevollmächtigte
Der Mayor von Newcastle upon Tyne an die Bürgermeister, Schöffen, Ratsherren
und die übrigen Amtsträger der Stadt Hamburg in Holstein (Holterland): schreibt
wegen des Raubes des Schiffes le George mit seinen Waren um 1418 Februar 22 (circa
365
Ratsherr 1413–1430.
Der Begriff testamentariese auch bei Staphorst, I, 4, S. 440; ebenso in: Vollstaendige Sammlung
alter und neuer Gesez-Bücher der kaiserlichen und des Heil. Römischen Reichs freien Stadt Bremen,
hrsg. Gerhard Oelrichs, Bremen 1771, (1489) XVIII, S. 653.
366
367
Werner Militis, Dekan 1379–1415, danach (bis) 1426 als Propst belegt.
268
Regesten der Jahre 14 00 –14 4 0
festum sancti Petri apostoli nunc ultime elapsum) in der Nähe Norwegens bei Skeresond
durch Soldaten und Diener des Herzogs von Schleswig,368 die das Schiff mit Waren
nach der Tat nach Rendsburg (Raynesburghe) gebracht hätten. Teilt mit, dass Willelmus de Ellyrby und Robertus Michelsone, Mitbürger und Besitzer des Schiffes und von
Teilen der Waren, Petrus Chartres, Mitbürger, als Sachwalter zur Wiedererlangung
eingesetzt hätten. Bittet um Rückgabe an diesen ohne Behinderung, wie in einem
ähnlichen Fall auch von ihm verlangt worden sei. Siegelankündigung des Mayors.
Datum apud dictam villam Novi Castri […] vicesimo die mensis Aprilis anno domini millesimo quadringentesimo decimo octavo.
Diplomatische Erörterung: A: Pergament mit Faltung, beschädigtes Siegel direkt auf
waagerechtem Pergamenteinschnitt (von rechts) angebracht. Archivnotiz oben
auf Vorderseite in Bleistift: 1418. Auf der Rückseite mehrere Notizen in Bleistift:
Ll 39 und 1418 und Cl. VI. N. 2.a.2. / B: gleichzeitige Abschrift auf Papier, auf der
Rückseite: Richerd by der Linden, Jo[hannes] Berhals, Olawes Kran emonuerunt juris ordine mediante, daneben: Hans van Berghen civis Br. xviij marc. Heyno van Lese, Kersten
Scheembeke, lator presencium est plenipotens factus a socio suo. Auch Archivnotizen
in Bleistift Ll 39 und VI No2a 3 vol. I. e.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ll 39 a. B = Beilage von StAHH 710-1 I
Threse I, Nr. Ll 39 b [2] [vgl. unten Nr. 230, 1418 Juli 15].
Edition: HUB, 6, 154, S. 72–73; Appendix C. to Mr [Charles Purton] Cooper’s Report on
the Fœdera [of Thomas Rymer], o. D. [London 1860], 11, S. 5–6.
Digitalisat der Edition: https://digital.staatsbibliothek-berlin.de/werkansicht?PPN
=PPN641730233&PHYSID=PHYS_0023&DMDID=DMDLOG_0001 [letzter Zugriff:
18.10.2019].
229
1418 Mai 28. Hamburg.
1418.05.28 — Ff 7 [1] und [2]
229
Bürgermeister und Rat zu Hamburg an Herzog Johann von Bayern, Elekt zu Lüttich, Gherd van Hemmeskerken, Hauptmann zu Brielle, sowie die Städte Brielle und Dordrecht: machen bekannt, dass ihnen Bürger der Stadt Hamburg geklagt hätten, dass ihre mit Bier beladenen Schiffe durch Gherd van Hemmeskerken, die Dordrechter und die Brieller arrestiert worden seien, und listen die Schiffe, ihre Eigner und Befrachter sowie das geladene Bier
Bürgermeister und Rat zu Hamburg in einem offenen Brief an Herzog Johann von
Bayern, Elekt zu Lüttich,369 Gherd van Hemmeskerken, Hauptmann zu Brielle, sowie
die Schöffen, Ratsherrn und Schultheißen (schulten) der Städte Brielle und Dordrecht: machen bekannt, dass ihnen Bürger der Stadt Hamburg geklagt hätten,
dass ihre mit Bier beladenen Schiffe durch Gherd van Hemmeskerken, die Dordrechter und die Brieller arrestiert worden seien. Das betreffe:
368
Wohl Heinrich IV., Graf von Holstein, nicht belehnter Herzog von Schleswig (1404–1427).
Johann, Herzog von Bayern-Straubing, Elekt von Lüttich (1389–1418) und Graf von Holland (1418–
1425).
369
1418 Mai 28. Hamburg.
269
[1.] in Dordrecht das Schiff von Schele Pape, das ihm, der Witwe Johan Wonstorpes,
Detleff Bake, Wilke Nyenborg, Bernd und Wichman Gronewolt gehöre, mit Bier von
Wichman Gronewolt, Arnd Brun, Detleff Bake, Peter van dem Borstelde, Hinrik Seghelken, Hildebrand Kalhof, Ludeke Sankenstede, Johan Krantz, Ludeke van Eyszen, Wilken Luders, Johan Sprinke und Hermen van Rintelen;
[2.] in Dordrecht das Schiff von Johan Wildestorpe mit Bier von Hinrik Seghelke,
Hildebrand Kalhoff, Detleff Bake, Johan Hezeman, Johan Nyebur, Wichman Gronewald,
Borcherd van Lune, Ghodeke Brokehoved, Alberd Oldehorst, Bernd Potrow, Herman van
Tzeven, Bernd Enbeke, Johan Hermensborch und Wilken Luders;
[3.] in Dordrecht das Schiff von Gherd Willemsson aus Harderwijk (Herderwiik) mit
Bier von Hermen van Tzeven, Alberd Oldehorst, Ghodeke Brokehoved, Bernd van
der Heyde, Ludeke Cletze, Bernd Enbeke, Wolder van dem Loo, Bernd Byshorst, Heyno
Soltzenshusen, Wilken Luders, Ludeke Boldertzon und Ludeke van d[er Heyde];
[4.] in Dordrecht das Schiff von [Laurencius Bra]messon aus Harderwijk mit Bier von
Hermen van Tzeven, Alberd Oldehorst, John Sprinke, Vicke van der Heyde, Detleff
Bake, Wichman Gronewold, Johan van dem Busche, Johan Nyebur, Borcherd van Lune,
Ghodeke Brockehoved, Bernd Byshorst und Wilke Luders;
[5.] in Brielle das Schiff von Eggherd Arndessone aus Stavoren mit Bier von Johan Krukow, Hermen Osterhold, Tydeke Osterholt, Hermen van der Hoyen, Hinrik Stillehorn, Bernd
Laghendorp, Alberd Oldehorst, Bernd van der Heyde, Meyne Dydersbuttel, Borchard
van Lune, Hans Rogge, Bernd Koldowe, Wilken Luders und Deghener van dem Haghene;
[6.] in Brielle das Schiff von Clawes Albertssone aus Kampen mit Bier von Johan van
Mynden, Ludeke Cletze, Syverd Cletze, Sander Hoep, Johan Krukow, Johan van dem
Busche, Ludeke Sankenstede, Meyne Dydersbuttel, Wichman Gronewold, Johan van
Orle, Johan Sprinke und Wolder van dem Loo [jeweils mit Hausmarken];
[7.] in Brielle habe der Schiffer Ludeke Wulffhagen aus Hamburg schwören müssen, vor 1418 Juni 24 (vor sunte Johans dage in middenzomere) wieder zu kommen;
[8.] im genannten Schiff von Johannes Wildestorpe habe auch Wilke Luders Bier
verschifft; dazu hätten auch andere Bürger, die nun außer Landes seien, ihr Bier
und andere Waren in diesen Schiffen ausgeführt.
Bürgermeister und Rat bevollmächtigen daher das Kontor zu Brügge (olderlude[…]
unde ghemene[r] copmanne to Brugghe in Vlanderen wesende), darauf hin zu wirken,
dass die in Flandern anwesenden Kaufleute, die betroffen seien, ihre Schiffe, Bier
und Güter über das Hamburger Kontor zu Sluis (de olderlude unde copmanne van
Hamborch to der Slues in Vlanderen wesende) fordern, einmahnen und empfangen
können. Die vom Hamburger Kontor getroffenen Vereinbarungen wollten sie un-
270
Regesten der Jahre 14 00 –14 4 0
verbrüchlich einhalten. Bitten die Empfänger um Hilfe für die Hamburger Bürger.
Siegelankündigung der Stadt. Gheven to Hamborch na unses Heren bord dusend veerhundert dar na in deme achteyden iare an deme xxviii[ten] dage des mantes May.
Diplomatische Erörterung: A: großes Pergament mit Faltung, durch zahlreiche Feuch-
tigkeitsflecken stark beschädigt und daher mit erheblichen Textausfällen, Plica
und Rückseite modern mit Papier überklebt, daher der Einschnitt für die Befestigung des Siegels und mögliche Vermerke auf der Rückseite nicht mehr erkennbar. / D: Abschrift der Mitte des 19. Jahrhunderts auf Papier, Heft von 8 Seiten,
wie aus den Copiae Archivi [hier mit herangezogen].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 7 [1]. D = StAHH 710-1 I Threse I, Nr.
Ff 7 [2].
Edition: HUB, 6, 164, S. 80–85.
230
1418 Juli 15. [Hamburg].
1418.07.15 — Ll 39 b [1]
230
Die Hamburger Ratsherren an Hinrik van dem Berghe und Hinrik Hoyer, Bürgermeister, sowie Erik van Tzeven, Ratsherr zu Hamburg: erinnern an ihr Schreiben an Herzog Heinrich von Schleswig wegen des Engländern genommenen Schiffes und Gutes, senden ein Schreiben von Newcastle upon Tyne dazu und bitten um Einsatz für eine Rückgabe, um Nachteile für die Hamburger zu vermeiden
Die Hamburger Ratsherren an Hinrik van dem Berghe370 und Hinrik Hoyer,371 Bürgermeister, sowie Erik van Tzeven,372 Ratsherr zu Hamburg: erinnern daran, dass sie
dem Herzog Heinrich von Schleswig373 schon vor Längerem wegen des Schiffes und
Gutes, das seine Auslieger den Engländern genommen und nach Rendsburg gebracht hätten, geschrieben hätten. Erinnern auch daran, dass schon etliche Ratsherren bislang vergeblich mit dem Herzog zu Rendsburg verhandelt hätten, damit
den Engländern Schiff und Gut zurück erstattet werde. Schreiben, dass daher der
Mayor von Newcastle upon Tyne ihnen einen offenen, besiegelten Brief gesandt
habe, wie die beigelegte Abschrift ausweise.374 Bitten darum, dass sie sich beim
Herzog für eine Rückgabe einsetzen; befürchten sonst Nachteile für ihre Bürger.
Siegelankündigung. In aller apostel daghe anno etc. xviijo.
Diplomatische Erörterung: Pergament mit Faltung, zwei Einschnitten links beim Sie-
gelrest und zwei weiteren Einschnitten unter dem Text, dazu Subscriptio: Consules Hamburgenses. Auf der Rückseite Reste des briefschließenden Siegels, dazu
die Adresse: Den ersamen, vorsightigen, wisen luden, hern Hinr[ike] van dem Berghe,
370
Ratsherr seit 1386, Bürgermeister 1413–1451 († 1452).
371
Ratsherr seit 1412, Bürgermeister 1417–1447.
372
Ratsherr 1414–1450.
373
Heinrich IV., Graf von Holstein, nicht belehnter Herzog von Schleswig (1404–1427).
374
Siehe a. das Regest zur Ausfertigung oben Nr. 228, 1418 April 20.
1418 Sep temb er 29. Hamburg.
27 1
hern Hinr[ike] Hoyer, borgermestern, unde hern Erike van Tzeven, radmanne to Hamburg. Kopfstehend durchstrichen die alte Signatur Cl. VI. No 2 a. 3 vol I. e., dazu die
neue Signatur L.l n. 39 b. Mit Beilage: Abschrift von A = StAHH 710-1 I Threse I,
Nr. Ll 39 a.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ll 39 b [1].
Druck: HUB, 6, 177, S. 93–94.
231
1418 September 29. Hamburg.
1418.09.29 — Q 94
231
Woldeke Lappe, Knappe des Stiftes von Bremen, quittiert den Empfang von 20 m. jährlicher Rente durch die Kämmerer des Rates von Hamburg
Woldeke Lappe, Sohn von Wolder Lappe,375 Knappe des Stiftes von Bremen, in einem
offenen Brief: quittiert den heutigen Empfang von 20 lüb. m. durch Ludeke Lutow376
und Erik van Tzeven,377 Kämmerer des Rates und der Stadt Hamburg, an jährlicher
Rente vom Hamburger Rat. Spricht die Hamburger von allen Forderungen von den
Renten aus den letzten Jahren sowie insbesondere von den 20 m. frei. Siegelankündigung. Gheven tho Hamborch na Godes bord xivc jar dar na an deme xviij jare an sunte
Mycheles daghe des hilghen ersenenghels.
Diplomatische Erörterung: Pergament mit Faltung und Feuchtigkeitsflecken, Plica
mit einem an einem Pergamentstreifen befestigten Siegel. Kanzleinotiz auf der
Rückseite: Lappen. 1418.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 94.
232
1418 Dezember 9. o. O.
1418.12.09 — Kk 92
232
Äbtissin Womele, Priorin Losseke und der gesamte Konvent des Klosters zu Harvestehude bevollmächtigen ihren Propst Ludeke Busser, ihr Haus in der Niedernstraße im Kirchspiel St. Jacobi zu verkaufen
Äbtissin Womele,378 Priorin Losseke379 und der gesamte Konvent des Klosters Jungfrauental zu Harvestehude in einem offenen Brief: bevollmächtigen ihren Propst
Ludeke Busser, das Haus in der Niedernstraße (in der Nedderen Strate) im Kirchspiel
St. Jacobi zu verkaufen, das sie vom verstorbenen Johannes Luchowe erhalten hätten
und das […] ghescreven was Nachteghalen. Siegelankündigung. Gheven […] na Godes
bord verteynhundert jar an deme achteyndem jare des anderen daghes na Unser Vrowen
daghe, de gheheten is der Entfanghinge.
375
Wolderich VI. († ca. 1400).
376
Ratsherr 1409–1427.
377
Ratsherr 1411–1450.
378
Wommele Wulfhagen, belegt 1412–1432.
Wohl Luske Bretling, sonst belegt 1420, „später Priorin“, vgl. Urbanski, Geschichte, S. 233, mit falschem Todesdatum.
379
272
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Papier mit den Resten eines aufgedrückten spitzova-
len Siegels. Deperditum, zurzeit nicht ermittelbar [Auskunft des Archivs vom
25.10.2019].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Kk 92. D = Copiae Archivi.
233
1419 Februar 5. o. O.
1419.02.05 — Ww 9
233
Tideke Schoke, Bürger zu Hamburg, macht bekannt, dass er Dekan und Domkapitel zu Hamburg für 75 m. eine Rente von 5 m. zugunsten der Messenstiftung an St. Jacobi verkauft habe
Tideke Schoke, Bürger zu Hamburg, in einem offenen Brief: macht bekannt, dass er
für sich und seine Erben Dekan und Domkapitel zu Hamburg für 75 m. Pfennige,
die er zu guter Genüge erhalten habe, eine jährliche Rente von 5 m. verkauft und
aufgelassen habe. Diese sei bestimmt für die Almosen- bzw. Messenstiftung (elemosine), die zurzeit Mertin Bisschop an St. Jacobi innehabe und dem Dekan unterstehe
(dar de deken der vorsc[reven] kerken to Hamborgh de leenwaͤr ane heft). Tideke werde
nunmehr jährlich Februar 2 (up Unsern Leven Vrowen dach to Lichtmissen) 5 m. an den
Inhaber der elemosine zahlen, von seinem Grundstück, das an der Twiete liege, die
zur Winserbrücke (uppe der twyten orde, als me over de Wynser Brugge gheyt) führe,
beim Haus des Bertold Morbeke. Er werde Haus und Rente bewahren und Dekan und
Kapitel vor Ansprüchen Dritter schützen. Die Rente könne alle Jahre an Februar 2
(uppe Lichtmessen) abgelöst werden, wenn das ein Vierteljahr vorher angekündigt
werde. Bürgen sind Bernd Knyf und Claws Schoke, Bürger zu Hamburg. Siegelankündigung des Ausstellers als Sachwalter (zakewolde) sowie der Bürgen. Screven unde
gheven […] na Godes bord veerteynhundert jar dar na in deme neghenteyndesten jare des
neghesten sondages na Unser Leven Vrowen daghe to Lechtmissen.
Diplomatische Erörterung: Pergament mit Faltung und einigen Feuchtigkeitsflecken,
Text mit Unterstreichungen und einer späteren Randnotiz: 5 m. Plica mit zwei
eingehängten Siegeln, das erste in Papierumschlag, das zweite nur fragmentarisch erhalten. Rückseite mit verschiedenen Kanzleivermerken, zeitgenössisch:
Litera super quinque marcarum redditus spectantibus ad elemosinam in ecclesia Sancti
Jacobi, spectantem ad collacionem decani, dann jünger: ex collacione decanatus. Weiter:
1419. Commenda [relata] ad altare Sancti Laurentii [an] Jacob[i], darunter No. 49 sowie
No. 50 und noch einmal 1419.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ww 9. D = Copiae Archivi.
Erwähnung: Vollmers, Pfarreien, S. 633.
1419 Mär z 13. Neustadt in Holstein.
234
273
1419 März 13. Neustadt in Holstein.
1419.03.13 — R 63
234
Heinrich [III.], Graf von Holstein[-Rendsburg] beurkundet seine Entscheidung im Streit zwischen Dekan und Domkapitel zu Hamburg und den Brüdern Lemmeke, Hinrik und Hans Mildehovet über Zehnte und Einkünfte aus dem Reytbruke, die zugunsten des Domkapitels ausgefallen sei
Hinrik, Fürst zu Stormarn, Graf zu Holstein und Schauenburg,380 in einem offenen
Brief: macht bekannt, dass er auf Bitten von Dekan und Domkapitel zu Hamburg
die Brüder Lemmeke, Hinrik und Hans Mildehovet zu 1419 Februar 15 (des midwekens
nach Valentini) zu Verhandlungen nach Segeberg geladen habe. Dort seien Lemmeke, auch in Vollmacht für seinen Bruder Hinrik, nicht für Hans, und Vertreter des
Kapitels anwesend gewesen. Die Kapitelsherren hätten geklagt, ihre Rechte wären
von Lemmeke und seinen Brüdern verletzt worden, indem ihnen diese über Jahre
die Zehnten in deme Reytbruke, 10 m. Renten aus dem Haus, Äckern, Wiesen und Gütern des Claws Wrede und in deme Nigen Reytbruke 7 ½ m. vom Schoss (schatte) vorenthalten hätten, gegen ihre Urkunden und ohne Fehde-Ankündigung über den Streit
mit ihrem Vetter Werner Mildehovet hinaus, und hätten ihre Urkunden vorgelegt.
Lemmeke habe daher um einen neuen Tag gebeten, um seine Brüder und weitere
Verwandten dabei haben zu können, und die Parteien hätten sich auf Vorschlag
des Grafen auf 1419 März 12 (des sondaghes alse men singet Reminiscere) geeinigt.
Lemmeke habe versprochen, seinen Bruder Hinrik mitzubringen oder vertreten zu
können, für Hans wolle er es versuchen. Zugleich wolle er seine Beweise gegen das
Kapitel mitbringen. 1419 März 12 seien in Neustadt in Holstein die Kapitelsherren
vor ihn gekommen, niemand aber wegen der Mildehovet. Der Graf habe deshalb
die Verhandlungen auf den nächsten Montag (März 13) verlegt. Dort hätten die
Kapitelsherren drei Urkunden vorgelegt, eine von Gerhard (Gherd), einst Erzbischof von Bremen, über den Zehnten in Reitbruke, die zweite über die 10 m. Rente
im Besitz von Claws Wrede und die dritte über die 7 ½ m. aus dem Schoss to deme
Nigenredbruche, ausgestellt von Johannes und Werner Mildehoved. Der Graf habe diese Urkunden mit seinen Beratern angesehen, und er stelle fest, dass die Zehnten
und Renten Dekan und Kapitel rechtmäßig zustünden. Lemmeke und seine Brüder
sollten sie bei ihren Rechten lassen, wie auch der von ihm im Streit mit Werner
Mildehovet ausgestellte Brief ausweise. Die Mildehovets sollen die vorenthaltenen
Gelder erstatten. Siegelankündigung des Grafen. Ludeke van Bocwolde, Henneke Katlow, Clawessone, Hinrik Broctorp, Hinrikessone, und Emeke Ratlow, Knappen, bezeugen
die Rechtmäßigkeit der Urkunden des Kapitels und seiner Ansprüche und kündigen ihre Siegel an. Gheven […] to der Nigenstat na Godes bort veerteinhundert jar dar na
380
Heinrich III., Graf von Holstein-Rendsburg und Schauenburg (1388–1421).
274
Regesten der Jahre 14 00 –14 4 0
an deme neghenteinden jare des mandags na Reminiscere. Zeugen: Joachim, Propst zu
Bordesholm, Detlef van Alevelde, Ritter, Eler Ratlow, Marquard van Sigghem, Wlff Rixstorp und viele andere geistliche und weltliche Personen.
Diplomatische Erörterung: Großes Pergament mit wenigen Feuchtigkeitsflecken, Plica
mit fünf Einschnitten zur Befestigung von Siegeln, aber ohne Pergamentstreifen
und Siegel. Rückseite mit jüngerem Kanzleivermerk, quer: Super 10 et 7 ½ m. Fratres Mildehoved in Retbrok solvenda[rum]. 1419. Dazu Vermerke: N. 26, 695 und No. […].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. R 63.
235
1419 April 23. o. O.
1419.04.23 — Uu 38
235
Peter Kempe aus dem Kirchspiel Drochtersen macht bekannt, dass er Johannes Dunemann, Vikar an St. Nicolai zu Hamburg, seinen Testamentsvollstreckern und jedem Besitzer des Briefs für 50 m. lüb. 5 m. jährlicher Rente verkauft habe, die von seinem Hof, Haus und Berg in Drochtersen zu zahlen seien
Peter Kempe aus dem Kirchspiel Drochtersen in einem offenen Brief: macht bekannt,
dass er mit Zustimmung seiner Erben und Verwandten Johannes Dunemann, Vikar
an St. Nicolai zu Hamburg, seinen Testamentsvollstreckern (testamentariis) und jedem Besitzer des Briefs für 50 m. lüb., die er zu seiner Genüge erhalten und zu
seinem Nutzen verwandt habe, 5 m. jährlicher Rente, die von den ersten Renten
zu zahlen seien, die von seinem Hof, Haus und Berg (ut mynem hove, huse unde berghe) sowie 9 hunt Land gezahlt würden, gelegen zu Drochtersen. Sein Hof, Haus
und Berg liege zwischen dem Hof von Hinseke van Stade, der nun von Cord Scroder
bewirtschaftet werde, und dem Gut von Peter Hedeke. Von den hunt Landes liege
ein Morgen zwischen dem Gut von Peter Hedeke und dem, das Johan Brummer bewirtschafte. Drei hunt lägen bei Peters Hof. Die 4 m. würden Peter und seine Erben
Johannes, seinen Testamentsvollstreckern und jedem Besitzer des Briefs in den
acht Tagen nach Ostern zahlen. Peter Kempe, der sakewolde, seine Brüder Clawes
und Jacob sowie sein Vetter Johan Brummer würden die 4 m. für die Empfänger
der Rente bewahren und ihnen eventuell entstehende Kosten aufkommen. Eine
Ablösung der 4 m. solle ein halbes Jahr früher angekündigt werden. Siegelankündigung Peters und der drei Bürgen. Na Godes bort dusent jar veerhundert jar in deme
neghenteynden jare dar na des achten daghes to Paschen.
Diplomatische Erörterung: Pergament mit Faltung und Feuchtigkeitsflecken, schmale
Plica mit vier an Pergamentstreifen befestigten, kaum mehr erkennbaren Siegeln, Datumszeile durch die Plica verdeckt. Rückseite mit zwei Kanzleivermerken, älter: Petri Kempen in Drocherseen terra Keding super iiiior marcarum redditus, und
jünger dazu: Ecclesia St. Nicolai Hamburg Johann Dünemanne, Vicario. Darunter: 1419,
Nr. 13. und 5.).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Uu 38. D = Copiae Archivi.
1419 Mai 2 . o. O.
236
275
1419 Mai 2. o. O.
1419.05.02 — Nn 94
236
Clawes Werner in Kurzenmoor macht bekannt, dass er Propst, Dekan und dem gesamten Domkapitel zu Hamburg für 30 m. 3 m. jährlicher Rente von seinem Haus, Hof und Feldern verkauft habe, zum Nutzen erer consolacien, die man den Kapitelsherren zwischen September 29 und November 11 sonntags gebe
Clawes Werner in Kurzenmoor (in dem korten more) in einem offenen Brief: macht
bekannt, dass er Propst, Dekan und dem gesamten Domkapitel zu Hamburg für
30 m. Hamburger Pfennige, die er vollständig empfangen habe, 3 m. jährlicher
Rente verkauft und aufgelassen habe, zum Nutzen erer consolacien, die man den
Kapitelsherren zwischen September 29 (sunte Michaelis) und November 11 (sunte
Mertens daghe) sonntags zur Mette und zur Messe gebe, zu zahlen von seinem Haus,
Hof und von den Feldern, dazu von 4 Morgen Acker, die zwischen den Gütern von
Enghelbrecht Herder und Peter Kampe lägen, jeweils Mai 1 (up sunte Walburgis dach)
ohne Verzögerung. Wenn den Kapitelsherren Kosten entstünden, wollten er und
seine Erben dafür aufkommen. Ebenso würden sie von ihm und seinen Erben von
Deich-, Damm- und Kanalbau, Schoss, Bede und weiteren Verpflichtungen frei
gehalten. Clawes würde keine weiteren Belastungen ohne Zustimmung des Domkapitels aufnehmen und dessen Rechte wahren. Verpflichtungen bestünden nur
gegenüber seinem Herrn, Hermen Krevet, Propst zu Uetersen. Er oder seine Erben
könnten die Rente jedes Jahr zu Mai 1 für 30 m. ablösen, wenn sie dies Weihnachten zuvor ankündigten. Clawes gelobe die Einhaltung der Zusagen zusammen mit
Henneke Herder, Kersten Tibbekemans und Clawes van Tynse, aus dem Kurzen Moore,
als Bürgen mit gesamter Hand. Hermannus Crevet, Propst zu Uetersen, bestätigt den
Rentenverkauf in seiner Gegenwart. Siegelankündigung von Hermannus, Clawes
und den drei Bürgen. Gheven na Ghodes bord in deme veerteynhundertsten unde neghenteynden yare up den avend des hylghen crutzes alse id ghevunden ward.
Diplomatische Erörterung: Größeres Pergament mit einigen Feuchtigkeitsflecken ent-
lang der Faltlinie und links unten, Plica mit einem an einem Pergamentstreifen
befestigten Siegelrest (links) und vier weiteren Einschnitten ohne Pergamentstreifen und Siegel. Rückseite mit zeitgenössischen Ergänzungen in der Mitte:
Super trium marcarum redditibus pertinentibus ad d[ominicas] a festo Michaelis usque
ad festum Martini, ergänzt: mo[do] Hinrik Hoyers, R[egistra]ta fol. cxiio, dazu Hinrik Hoyers vacat, unten 1126.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Nn 94. D = Copiae Archivi.
276
237
Regesten der Jahre 14 00 –14 4 0
1419 Juni 3. Hof. 381
1419.06.03 — Gg 120
237
Hermannus, Provinzialminister der Franziskaner für die Provinz Sachsen an Johannes Mychaelis, Hauptmann, und die Söldner der Stadt Hamburg: gewährt ihnen und ihren Nachfolgern volle Teilhabe an den geistlichen Werken seines Ordens
Hermannus, Provinzialminister der Franziskaner für die Provinz Sachsen (fratrum
minorum provincie Saxonie minister),382 an Johannes Mychaelis, Hauptmann der Söldner der Stadt Hamburg (stipendiariorum civitatis Hamburgensis capitaneo), und die
edlen und weisen Männer, die Söldner derselben Stadt: habe von ihrer Zuneigung
zum Ordensgründer Franciscus erfahren. Er gewähre ihnen und ihren Nachfolgern
deshalb mit Zustimmung des Generalministers seines Ordens im Leben wie im
Tode volle Teilhabe an den geistlichen Werken seines Ordens, an Messen, Vigilien,
Gebeten, Fasten, Bußübungen und anderen geistlichen Gütern sowohl der Brüder
des Ordens wie auch der Klarissinnen in 186 Klöstern. Ihr Sterben solle dem allgemeinen und dem Provinzialkapitel gemeldet werden, so dass ihrer gedacht werden
könne. Datum in Curia Regnicz anno domini m.cccco xixo tempore provincialis nostri capitulari profesto Pentecoste ibidem celebrati.
Diplomatische Erörterung: Pergament mit kunstvoll mehrfarbig und mit Gold verzier-
ter Initiale I und illustriertem oberen und linken Rand, Plica mit einem an einer
Schnur befestigten, kaum mehr erkennbaren Siegel in rotem Wachs. Rückseite
mit kopfstehender Altsignatur Nmo 2.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 120.
238
1419 Juni 4. Freiburg.
1419.06.04 — Gg 119
238
Leonardus de Florentia, Meister der Dominikaner, an die Bruderschaft der Reitendiener Hamburgs: gewährt ihnen die Teilhabe an den geistlichen Werken seines Ordens
Leonardus de Florentia, sacre theologie professor, magister ordinis predicatorum,383 an die
Bruderschaft der Reitendiener (universis et singulis de fraternitate civitati Hamburgensi pro defensione patrie famulancium): habe von ihrer Zuneigung zu seinem Orden
gehört. Er gewähre ihnen deshalb Teilhabe an den geistlichen Werken seines Ordens, an allen Messen, Predigten, Gebeten, Vigilien, Fasten, Mühen und anderen
geistlichen Gütern sowohl der Brüder wie der Schwestern seines Ordens, und zwar
im Leben wie im Tode. Siegelankündigung. Datum Friburgi in nostro generali capitulo
in festo Penthecostes ibidem celebrato anno domini mocccco decimo nono.
Hof wurde auch als Curia Regnitiana bezeichnet (Hof an der Regnitz), im dortigen Franziskanerkloster fanden 1376 und 1419 Provinzialkapitel statt, vgl. Spuren franziskanischer Geschichte. Chronologischer Abriß der Geschichte der Sächsischen Franziskanerprovinzen von ihren Anfängen bis
zur Gegenwart, bearb. Bernd Schmies, Kirsten Rakemann, hrsg. Dieter Berg (Saxonia Franciscana,
Sonderband), Werl 1999, S. 125 und 149.
381
382
Hermann Schilling, belegt um 1416, s. ebd., S. 149.
383
Leonardo Dati, Meister 1414–1425.
1419 Juli 18. [Lüneburg ].
27 7
Diplomatische Erörterung: Kleines Pergament, breite Plica mit einem an einer Schnur
befestigten, spitzovalen, relativ gut erhaltenen Siegel in rotem Wachs. Rückseite
mit Altsignatur Nmo 3 und moderne Bleistiftnotiz 1419.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 119. D = Copiae Archivi.
239
1419 Juli 18. [Lüneburg].
1419.07.18 — Pp 40
239
Die Lüneburger Ratsherren bezeugen, dass ihr Mitbürger Johannes Abbenborg dem Lüneburger Johannes Uplecger als Bevollmächtigtem von Dekan und Domkapitel zu Hamburg den vierten Teil der Herrschaft über die linke Pfanne im Haus Edinge in der Saline zu Lüneburg verkauft habe
Die Lüneburger Ratsherren Hinricus Viskule, Hinricus Bere, Hartwicus Bene, Johannes
de Empsen, Johannes de Molendino, Ludolphus Tobing, Johannes Rese, Hartwicus de Molendino, Gotfredus Tzerstede, Johannes de Ollensen, Hermannus Cruse und Johannes Semmelbecker bezeugen, dass ihr Mitbürger Johannes Abbenborg für eine ihm vollständig
gezahlte Summe mit Zustimmung seiner Erben dem Lüneburger Johannes Uplecger
als Bevollmächtigtem von Dekan und Domkapitel zu Hamburg zum Nutzen der
Präbende, die einst der verstorbene Magister Johannes Vritze begründet habe, den
vierten Teil der Herrschaft über die linke Pfanne im Haus Edinge (quartam partem
dominii sinistri wechpannen domus Edinge) in der Saline zu Lüneburg verkauft und
aufgelassen habe, mit allen dazugehörigen Einnahmen und Rechten, unter Wahrung des Lüneburger Stadtrechts. Datum anno domini millesimo quadringentesimo decimo nono feria tercia proxima ante festum beate Margarete virginis. Ankündigung des
Lüneburger Stadtsiegels.
Diplomatische Erörterung: Kleineres Pergament, Plica mit einem an einem Perga-
mentstreifen befestigten, etwas beschädigten Siegel. Auf der Rückseite mehrere
Kanzleivermerke, im oberen Teil zunächst verblasst: Super [quartale de] sinistre
wechpannen domus Edinghe384 [auri accepto] pro quadringentis nonaginta m. [in quibus]; unten dann: Litera quarte partis dominii sinistre wechpannen domus Edinghe pro
400 [et] 90 m.; dazwischen ein runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Pp 40. D = Copiae Archivi.
240
1419 August 26. [Lübeck].
1419.08.26 — N 46
240
Bürgermeister und Rat der Stadt Lübeck machen bekannt, dass sie zusammen mit Boldewin, Abt zu St. Michaelis in Lüneburg, Johannes, Abt zu Scharnebeck, und Hinrik Wale, Propst zu Ebstorf, in verschiedenen Streitfragen zwischen Hamburg und Lüneburg vermittelt hätten, und beurkunden das Ergebnis
Bürgermeister und Rat der Stadt Lübeck in einem offenen Brief: machen bekannt,
dass sie in verschiedenen Streitfragen zwischen den Räten von Hamburg und Lüneburg vermittelt hätten, zusammen mit Boldewin, Abt zu St. Michaelis in Lünebur-
384
Sinistre […] Edinghe darüber nachgetragen.
278
Regesten der Jahre 14 00 –14 4 0
g,385 Johannes, Abt zu Scharnebeck (to dem Schermbeke), und Hinrik Wale, Propst zu
Ebstorf (to Ebbekestorpe). Im einzelnen sei Folgendes besprochen und entschieden
worden:
[1.a.] Die Hamburger hätten geklagt, dass ihre Bürger den Lüneburgern im Krieg
gegen ihre Herren unter Einsatz von Gütern und Leben zu Hilfe gekommen seien.
Die Kämmerei hätte wegen der Kosten des Krieges Renten verkaufen müssen, so
dass die Belastung mit Grundkapital (hovedstol), Renten und Unkosten bei 1580 m.
15 sol. 2 d. lägen. Die Bürger würden um 16 000 m. lüb. für ihren Sold und Schadenersatz mahnen, der Rat habe wegen der Lüneburger 400 pfd. für das Schloss
Harburg aufgewandt, dazu 200 gld., die sie den Grafen von Oldenburg geben mussten, sowie 200 pfd. für die Tagfahrt mit den Oldenburgern wegen des Schlosses
Harburg.
[1.b.] Nach der Antwort des Lüneburger Rats auf die Hamburger Artikel hätten
die Vermittler um der Freundschaft wegen (vor vruntscop) entschieden: Weil die
Kosten nicht so entstanden seien, wie dies die Hamburger dargestellt hätten, und
weil die Lüneburger selbst große Kosten, Gefahren und Mühen zu Lande und zu
Wasser der Hamburger wegen auf sich genommen hätten, sollten die Hamburger
ihre Forderungen wegen Grundkapital, Renten, Kosten und Schaden fallen lassen
(verlaten), wie die Lüneburger ihre Forderungen an die Hamburger fallen lassen
sollten. Die Hamburger sollten die 1600 m. bedenken, die sie aus der Auslösung
der Schlösser Harburg, Blekede und Sundershausen erhalten hätten, um die sie
von den Prälaten gemahnt worden seien (dar se de prelaten umme in maninge gehad hebben). Die Lüneburger sollten die Hamburger vor einer weiteren Mahnung
durch die Prälaten bewahren (benemen unde entheven), wie der Hamburger Rat und
die Bürger den Lüneburgern alle Urkunden aushändigen sollten, die sie von den
Lüneburgern wegen Grundkapital, Renten, Kosten und Schaden erhalten hätten.
[1.c.] Was die 16 000 m. betreffe, um die die Bürger mahnten, sollten die Lüneburger den Hamburgern zu Hilfe kommen, wenn diese mit ihren Herren in Konflikt
kämen, wie die Hamburger dies für die Lüneburger in ihren Nöten getan hätten.
Der Lüneburger Rat solle seinerseits der Freundschaft wegen (umme vruntscop wegen) auf alle Forderungen gegenüber den Bürgern von Hamburg verzichten.
[2.] Wenn der Lüneburger Rat geklagt habe, dass der Hamburger Rat ihn vor den
Sendeboten der Hansestädte angeklagt habe, habe man die Lüneburger damit
doch nicht rechtlos gemacht (in sodaner clage nicht vorachted), so dass die Hamburger ihnen nichts schuldig seien.
385
Boldewin von Wenden, Abt 1419–1441.
1419 Sep temb er 22 . Hamburg.
279
[3.] Wenn der Lüneburger Rat geklagt habe, dass der Hamburger Rat seinen Bürgern die Übernahme ererbten Guts verwehre, wie das seit alters her üblich sei,
hätten die Vermittler vor vruntscop entschieden, dass Lüneburger Bürger ihr Erbe
in Hamburg einfordern könnten und es damit gehalten werden solle, wie es alte
gute Gewohnheit sei, wie umgekehrt Hamburger in Lüneburg ihr Erbe einfordern
und übernehmen könnten.
[4.] Wenn der Lüneburger Rat geklagt habe, dass der Hamburger Rat seinen Bürgern verbiete, mit Gästen zu handeln wie die eigenen Bürger, solle dies den Lüneburgern in Hamburg wie den Hamburgern in Lüneburg in gleicher Weise nach
alter Gewohnheit gestattet werden.
[5.] Wenn der Lüneburger Rat geklagt habe, dass der Hamburger Rat seine Bürger
mit ungerechten Zöllen belaste, so entschieden die Vermittler, dass der Hamburger Rat nicht antworten müsse, wenn der Zoll, wie sie sagten, durch die Landesherren auferlegt sei.
Bürgermeister und Rat Lübecks behalten sich Änderungen am Schiedsspruch vor,
sofern von einer Partei oder beiden Parteien Zweifel oder Forderungen geäußert
würden. Ankündigung dreier Ausfertigungen für Hamburg, Lüneburg und Lübeck.
Datum anno domini mccccxixo sabbato post festum beati Bartholomei apostoli et martiris
gloriosi.
Diplomatische Erörterung: Große, etwas faltige Pergamenturkunde mit einigen dunk-
len Flecken und zwei restaurierten Stellen am linken Rand. Zerter mit drei
dreieckigen Einschnitten am unteren Ende. Rückseite mit jüngeren Archivvermerken in der Mitte: Abgehandelte Articuli zwischen Hamburg und Lüneburg. Wegen
abfragung der Unkosten, so die Hamburger den Lüneburgern bey der assistentz wider
deren feinde vorsch[oszen], und andere streitigkeiten belangende. Unten Signatur in
Bleistift: N 46.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. N 46. D = Copiae Archivi.
Edition: UB Stadt Lübeck, 6, CXII, S. 159–162.
241
1419 September 22. Hamburg.
1419.09.22 — Rr 92
241
Jacobus Recop, Kleriker des Stifts zu Bremen, Heyne Recop, Bürger der Neustadt von Salzwedel, sein Vater, sowie Clawes und Kersten Recop schwören Urfehde wegen der Gefangenhaltung des Jacobus zunächst im Gefängnis der Stadt Hamburg, dann im Gefängnis des Domkapitels
Jacobus Recop, Kleriker des Stifts zu Bremen, Heyne Recop, Bürger der Neustadt von
Salzwedel, sein Vater, sowie Clawes und Kersten Recop in einem offenen Brief: geloben für sich und ihre Verwandten, geboren und ungeboren, männlich und weiblich, geistlich und weltlich, mit gesamter Hand, dass sie wegen des Streits um die
Gefangenhaltung des Jacobus zunächst als weltliche Person im Gefängnis der Stadt
Hamburg (an des rades der stad Hamborgh hechte unde slote), dann, als sein geistlicher
280
Regesten der Jahre 14 00 –14 4 0
Status klar wurde, im Gefängnis des Domkapitels, Bürgermeister, Rat der Stadt,
ihre Nachfahren, Bürger, Einwohner und Untertanen nicht bekriegen, schädigen
oder schädigen lassen wollen, noch sie mit geistlichem oder weltlichem Recht anklagen oder sonstwie belangen, ebenso wenig das Domkapitel und seine Untertanen. Die Aussteller schwören, dass sie mit Domkapitel, Rat, Bürgern und ihren
Untersassen getreu umgehen und sie unterstützen wollten. Sie geloben die Einhaltung der Zusagen auch für den abwesenden Bruder Kersten. Siegelankündigung
des Jacobus, Heyne und Clawes Recop, dazu das von Kersten Recop. Gheven to Hamborgh na Gades gebord dusend verhunderd, darna in deme negenteynden jaren, an sunte
Mauricius des hilghen mertelers daghe.
Diplomatische Erörterung: ---. Deperditum, Kriegsverlust [Auskunft des Archivs vom
29.5.2020].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Rr 92. D = Copiae Archivi [danach hier].
242
1419 November 6. Hamburg.
1419.11.06 — Q 95
242
Woldeke Lappe, Knappe und Hamburger Bürger, quittiert den Empfang von 200 m. zur Ablösung der jährlichen Rente von 20 m. für das Schloss Ritzebüttel sowie von einmalig 25 m. Rente durch die Kämmerer des Rates von Hamburg und spricht die Stadt von weiteren Forderungen frei
Woldeke Lappe, Knappe des Stiftes von Bremen und Hamburger Bürger, Sohn des
Wolder Lappe,386 in einem offenen Brief: quittiert den Empfang von 200 lüb. m. durch
Hinrike Jeneveld387 und Johanne Wigen,388 Ratsherren und Kämmerer Hamburgs, zur
Ablösung der 20 m. jährlicher Rente von den Bürgermeistern und Ratsherren der
Stadt für die Burg Ritzebüttel. Quittiert weiter den Empfang von 25 m. Rente und
erklärt die Stadt Hamburg für quit und frei von dieser Rente und allen anderen
Renten wegen seines Vaters, des Schlosses und wegen Alverich Lappe.389 Er und seine Erben, geboren und ungeboren, würden mit Bürgermeistern, Ratsherren, ihren
Nachfolgern, den Bürgern und Einwohnern immer getreu umgehen und sich um
ihr Bestes bemühen. Verspricht für sich und seine Erben die Einhaltung aller Verträge seines Vaters Wolder Lappe wie auch Alverich Lappes mit den Bürgermeistern und Ratsherren der Stadt über das Schloss Ritzebüttel und seine Zubehörungen. Siegelankündigung. Gheven to Hamborch na Godes bord dusent verhundert dar na
in dem negenteynden jare des mandaghes na aller hilghen daghe.
386
Wolderich VI. († ca. 1400).
387
Ratsherr 1400–1427.
388
Ratsherr seit 1407, Bürgermeister 1420–1438.
389
Alverich IX. Lappe († ca. 1412).
1419 Novemb er 11. o. O.
281
Diplomatische Erörterung: Pergament mit Faltung und Feuchtigkeitsflecken, leichte
Textverluste entlang der Faltlinie, breite Plica mit einem an einem Pergamentstreifen befestigten, kleinen Siegel. Auf der Rückseite Kanzleinotiz: Lappen 1419.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 95. D = Copiae Archivi [unvollständig
und teilweise fehlerhaft].
243
1419 November 11. o. O.
1419.11.11 — S 43 [2]
243
Johan Schol[d]envlet macht bekannt, dass er Jürgen van Tyense und seinen Erben für 190 m. zu einem ewigen Erbkauf seinen Hof zu Borstel verkauft habe
Johan Schol[d]envlet in einem offenen Brief: macht bekannt, dass er Jürgen (Juregesse) van Tyense und seinen Erben zu einem ewigen Erbkauf seinen Hof zu Borstel
(tho dem Borstele)390 für 190 m. verkauft habe, die ihm ganz bezahlt und in seinen
Nutzen gekommen seien. Jürgen und seine Erben sollten den Hof frei besitzen,
wie ihn Johan und sein Vater besessen hätten und das auf dem Hof zu Rellingen
nach Holsteiner Recht beschworen sei (tho selen und ware dhann uppe deme hove tho
Rellinghe, alse ein Holsten recht is). Siegelankündigung Johans. Gheven unnd screven
[…] nha Gades bordt verteynhundert jars, dar na ahn dem negenteynden jare, des hilligen
avendes sunte Merten des hilligen bisschoppes.
Diplomatische Erörterung: Papier, ein Doppelblatt mit Faltung, 1r und 2r beschrieben,
2v als Außenseite nachgedunkelt, mit moderner Signatur in Bleistift S 43. Notariell beglaubigte, eigenhändige Abschrift des Hermannus Schroder, Kleriker der
Osnabrücker Diözese, Notar päpstlicher Autorität, aus dem 16./17. Jahrhundert.
1r bietet die Abschrift einer Urkunde von 1388 Mai 19, s. HG1.364, S. 450–451 [1];
2r enthält den vorl. Text [2].
Überlieferung: C = StAHH 710-1 I Threse I, Nr. S 43 [2].
Erwähnung: Reincke, Borstel, S. 4, Anm. 12.
244
1420 Februar 2. Lübeck.
1420.02.02 — Y 12
244
Bürgermeister, Ratsherren und Gemeinheit der Städte Lübeck und Hamburg machen bekannt, dass sie sich wegen Schädigung und Gewalttaten gegen die Herzöge Erich [V.] und Bernhard [II.] von Sachsen[-Lauenburg] und ihre Unterstützer verbinden
Bürgermeister, Ratsherren und Gemeinheit der Städte Lübeck und Hamburg in einem offenen Brief: machen bekannt, dass sie sich wegen Unwillen, Schädigung und
Gewalttaten, die ihnen und den Ihren durch die Herzöge Erich [V.] und Bernhard
[II.] von (Sachsen-)Lauenburg (her Erik unde her Bernd, hertogen van Sassen etc.)391
Als Ortsteil des heutigen Borstel-Hohenraden bei Pinneberg, wie auch die Erwähnung Rellingens
nahelegt, vgl. HG1.364, S. 451.
390
Erich V., Herzog von Sachsen(-Lauenburg) (1411–1436), und Bernhard II., Herzog von Sachsen(-Lauenburg) (1436–1463).
391
282
Regesten der Jahre 14 00 –14 4 0
widerfahren seien und für die sie keine Entschädigung bekommen konnten, gegen
die genannten Herzöge und ihre Unterstützer verbinden (also dat wy ere vyende werden unde wesen scholen unde willen).
[1.] Sie wollten sich zu Pferde, Wagen, Schiff und zu Fuß unterstützen und aushelfen, aber jeder auf eigene Kosten. Dafür solle jede Stadt zuvor 200 Gewappnete und
100 Schützen zu Pferde aufbieten. Auch Schiffe sollten, wenn nötig, in gleicher
Zahl ausgerüstet werden.
[2.] Keiner solle ohne den anderen mit den Herzögen oder ihren Unterstützern
Frieden schließen. Gewonnene Lande, Städte oder Burgen sollen gemeinsam gehalten werden, weitere Beute wie Lösegeldzahlungen solle nach Mannzahl geteilt
werden.
[3.] Dritte sollten nur nach gemeinsamer Beratung einbezogen werden.
[4.] Wenn sie nach einem Friedensschluss von anderen angegriffen würden, sollten sie sich getreulich helfen. Wenn die Herzöge und ihre Unterstützer danach
die Städte weiter bekämpften, sollten sie beieinander bleiben und nicht ohne den
anderen eine Sühne vereinbaren.
[5.] Das Bündnis solle auf zehn Jahre gelten. Wenn eine Stadt früher aus dem Bündnis ausscheiden wolle, solle sie das ein Jahr vorher ankündigen.
Bürgermeister und Rat der Stadt Lübeck geloben Bürgermeistern und Rat der
Stadt Hamburg die Einhaltung der Vereinbarungen. Siegelankündigung Lübecks.
Geven to Lubeke na Godes bord dusent verhundert dar na in deme twintigestem jare up
Unser Leven Vrowen dage to Lichtmissen.
Diplomatische Erörterung: Pergament mit zahlreichen Feuchtigkeitsflecken und um-
fangreichen Textausfällen, Plica und Rückseite mit festem Papier überklebt
(mit Ausnahme der Archivvermerke auf der Rückseite). Plica mit dem Lübecker
Stadtsiegel an einem Pergamentstreifen in hellbraunem Wachs mit Rücksiegel,
leicht beschädigt. Rückseite mit Kanzleivermerk im Ausschnitt: Ene tohopesate der
van Lubeke unde Hamborch gegen her Erike unde Gherd [sic] herthogen to Saszen etc. de
veyde langk durende, datum 1420. Darüber kopfstehend: R[egistra]ta. Dazu moderne
Archivsignatur mit Bleistift: Y 12.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Y 12. D = Copiae Archivi. / Gegenurkunde
Hamburgs [1420 Februar 2. Hamburg]: AHL 07.1-3/11 Confoederationes 26.
Edition: Klefeker, Sammlung, 9, S. 693–695; UB Stadt Lübeck, 6, CLXXI, S. 214–216 [beide nach der Gegenurkunde Hamburgs].
1420 August 22 . o. O.
245
283
1420 August 22. o. O.
1420.08.22 — Q 26 e [2]
245
Entwurf Hamburgs und Lübecks für den Friedensschluss mit den Herzögen von Sachsen-Lauenburg
Entwurf Hamburgs und Lübecks für den Friedensschluss mit den Herzögen von
Sachsen-Lauenburg:
[1.] Der Herzog von Sachsen(-Lauenburg) und seine Brüder392 sollten den Städten
die von ihnen eroberten Burgen Bergedorf, Riepenburg und Kuddewörde (Bergerdorp, Ripenborch, Kuddeworde) sowie den Zoll zu Eislingen mit der Fähre übergeben,393 mit allen geistlichen und weltlichen Rechten, Geest und Marsch, Vogteien,
Gerichten, Wald-, Wasser- und Fischereirechten, Wiesen, Weiden sowie den Kirchspielen und Landen Kirchwerder, Altengamme, Neuengamme und Curslack (Kerkwerder, Oldengamme, Nigheghamme, Korslake), so wie sie und ihre Vorfahren diese
besessen hätten.
[2.] Der Herzog solle der Stadt Lübeck einen Schuldbrief über 300 m. lüb. zurückgeben, den einst der Neue Rat ausgestellt hätte.
[3.] Der Herzog und seine Brüder sollten für sich und ihre Erben innerhalb von acht
Tagen eine Urkunde besiegeln, mit der die Städte für immer vollständig von Forderungen aus dem Besitz der Schlösser und ihren Zubehörungen befreit würden.
[4.] Für weitere Ansprüche würden die Städte Stralsund, Rostock, Wismar und Lüneburg als Vermittler einsetzen.
[5.] Mit diesem Vertrag sollten die Konflikte mit den Herzögen vollständig geschlichtet sein. Diese sollten Lübeck, Hamburg und Lüneburg, den Kaufmann und
die Straßen getreu beschützen. Die Lübeck und Hamburg von den Herzögen gewährten anderen Privilegien sollten weiter ihre Gültigkeit behalten.
Anno etc. xx quinta feria ante Bartholomei.
Diplomatische Erörterung: A: Aufzeichnung auf Papier, nicht auffindbar. / D1: Ein Dop-
pelblatt Papier, fol. 1r-v beschrieben, mit Faltung. Über dem Text auf 1r: Thr. Q
26e (ad) und C.A., auf 2v moderne Notizen: ad 26e. CA1 1420. Durch den Hamburger
Stadtarchivar Otto Beneke beglaubigte Abschrift, die der Lübecker Archivar Carl
Friedrich Wehrmann 1873 vom Original im Archiv der Hansestadt Lübeck angefertigt hat.
Überlieferung: A = olim AHL, Abgabe an StAHH unklar. D1 = StAHH 710-1 I Threse I, Nr.
Q 26 e [2]. D2 = Copiae Archivi.
Edition: UB Stadt Lübeck, 6, CCLXV, S. 298–299.
Gemeint wahrscheinlich wie unten Erich V., Herzog von Sachsen-Lauenburg (1411–1436), und seine
Brüder Albrecht, Domherr in Hildesheim († 1421), Magnus, Bischof von Kammin, 1410/18–1424 und
Hildesheim, 1424–1452, Bernhard II., Herzog von Sachsen-Lauenburg (1436–1463), Otto († vor 1431).
392
393
Auf dem Werder Krauel bei der Riepenburg, 1470 zum Zollenspieker verlegt.
28 4
246
Regesten der Jahre 14 00 –14 4 0
1420 August 23. Perleberg.
1420.08.23 — Q 26 e [1]
246
Erich V., Albrecht, Domherr in Hildesheim, Magnus, Bischof von Kammin, Bernhard II., Otto, Herzöge von Sachsen-Lauenburg, verzichten zugunsten Lübecks und Hamburgs unter anderem auf die Burgen Bergedorf und Riepenburg sowie den Zoll zu Eislingen und erklären alle Konflikte für beigelegt
Erich (Erik), Albrecht (Albert), Magnus, Bernhard (Bernd) und Otto, Herzöge von
Sachsen-Lauenburg,394 bekennen für sich und ihre Erben,
[1.] dass die Burgen Bergedorf und Riepenburg sowie der Zoll zu Eislingen mit der
Fähre, die ihnen Lübeck und Hamburg in offener Fehde abgenommen hätten, zusammen mit dem halben Herzogswald (mid deme halven wolde ghenant des hertogen
wold) und allen zugehörigen Rechten im Besitz der Städte bleiben sollten, mit Ausnahme des Jagdrechts;
[2.] dass sie Lübeck eine einst vom Neuen Rat ausgestellte Schuldurkunde über
300 m. lüb. zurückgeben wollen;
[3.] dass sie die Städte weder wegen der Fehde noch wegen der übernommenen Besitzungen und Rechte mahnen oder ihnen Forderungen stellen würden, sondern
dass diese die Burgen, den Zoll, die Fähre und das Zubehör auf immer friedlich
besitzen sollten;
[4.] dass alle zuvor den Städten verliehenen Privilegien ihre Gültigkeit behielten;
[5.] dass damit alle Konflikte, auch zwischen den anderen Beteiligten, vollständig
beigelegt seien.
Siegelankündigung der Herzöge. Gheven […] to Parleberge na Godes bord veerteinhunderd jar dar na in deme twintigesten jare an sunte Bartholomei avende des hillighen apostels.
Diplomatische Erörterung: A: Pergament, Plica mit den an Pergamentstreifen ein-
gehängten Siegeln der fünf Herzöge. / D1: Ein Doppelblatt Papier, fol. 1r-v beschrieben, mit Faltung, über dem Text auf 1r Signatur Thr. Q 26e. CA 1. Durch den
Hamburger Stadtarchivar Otto Beneke beglaubigte Abschrift, die der Lübecker
Archivar Carl Friedrich Wehrmann 1873 vom Original im Archiv der Hansestadt
Lübeck angefertigt hat.
Überlieferung: A = AHL 07.1-3/26 Saxo-Lauenburgica 268. D1 = StAHH 710-1 I Threse
I, Nr. Q 26 e [1]. D2 = Copiae Archivi [mit maschinenschriftlicher Fassung der
Edition Reinckes].
Edition: UB Stadt Lübeck, 6, CCLXVI, S. 299–300; Reincke, Weg, 33, S. 131–134 (mit
moderner Übersetzung); Klefeker, Sammlung, 9, O 10, S. 695–697.
Regest: Schütze, 417, S. 365.
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), Albrecht, Domherr in Hildesheim († 1421),
Magnus, Bischof von Kammin, 1410/18–1424, und Hildesheim, 1424–1452, Bernhard II., Herzog von
Sachsen-Lauenburg (1436–1463), Otto († vor 1431).
394
1420 Sep temb er 6. Hildesheim.
247
285
1420 September 6. Hildesheim.
1420.09.06 — Rr 93
247
Johannes, Dekan der Hildesheimer Kirche, Konservator der Hamburger Kirche, an Dekan, Scholaster, Kantor und Schatzmeister der Hamburger Kirche und den Propst von Bardowick: erlaubt Personen, die wegen Belästigungen und Beleidigungen der Hamburger Kirche exkommuniziert seien, aber demütig um Wiederaufnahme bäten, die Absolution zu erteilen
Johannes, Dekan der Hildesheimer Kirche, Konservator von Propst, Dekan, Kapitel,
Personen und Klerus der Hamburger Kirche (in der Diözese Bremen), mit gewissen
anderen Amtsgenossen mit päpstlicher Autorität bestellt, an den Dekan, den Scholaster, den Kantor und den Schatzmeister der Hamburger Kirche und den Propst
von Bardowick (in der Diözese Verden): wie er erfahren habe, hätten etliche geistliche und weltliche Personen, auch in Ämtern, Fürsten, Adlige, Ritter und Volk,
die genannten Herren Propst, Dekan, Kapitel und Personen der Hamburger Kirche
in ihren Einkünften und Rechten geschädigt, die Stiftungen für den Gottesdienst
vermindert und schwere Belästigungen und Beleidigungen begangen, zum Nachteil von Propst, Dekan, Kapitel der Hamburger Kirche, so dass gegen diese die Exkommunikation ausgesprochen oder andere Strafen verhängt worden seien. Wenn
aber nun die Schädiger, Belästiger und Beleidiger dadurch in göttlicher Furcht im
Herzen getroffen seien und zur Mutter Kirche zurückkehren wollten, könnten sie
nicht ohne Probleme zu den Subkonservatoren und zu ihm gelangen. Daher erteile er aus Fürsorge für das Seelenheil dem Dekan, dem Scholaster, dem Kantor
und dem Schatzmeister der Hamburger Kirche sowie dem Propst von Bardowick
die Befugnis, in diesen Fällen die Absolution zu erteilen, wenn diese demütig erbeten würde, und die Absolvierten dann in jene Kirchen zu senden, in denen sie
exkommuniziert und belastet worden seien. Datum Hildensem anno domini millesimo
quadringentesimo vicesimo indicione terciadecima mensis septembris die sexta […]. Siegelankündigung des Ausstellers.
Diplomatische Erörterung: Pergament mit Faltung, Plica mit einem daran befestigten
Pergamentstreifen, das Siegel ist jedoch nicht erhalten. Unterschiedlich nachgedunkelte Rückseite mit einem Kanzleivermerk links in der Mitte: Mandatum
decani Hild[esemensis] conservatoris ad absolvendum iniuriatores, dazu 1420 und Altsignatur No. 52 (über einer nicht mehr lesbaren Zahl mit Bleistift), dazwischen
ein runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Rr 93.
248
1420 September 6. Hamburg.
1420.09.06 — Gg 28
248
Johan van Grone, Tyle van Yber, Ernst und Richard, Brüder, gheheten van dem Werder, Gherd van Brunkhusen, Hans van Muonnigherode, Ludelef van Lenghede, Otte Vurschutte, Gherd van Werdinghusen, Hermen van Holthusen, Curd van Meyenberghe, Otte van Halvemunde, Hans Reyneken, Hinric Zeddinghe, Clawes Vrome, Heyne Moller, Hans Lippen und Hans Lennenkamp, Knappen, quittieren Hamburg für Sold und Schadenersatz im Krieg gegen Erich [V.], Herzog von Sachsen, und seine Brüder
Johan van Grone, Tyle van Yber, Ernst und Richard, Brüder, gheheten van dem Werder,
Gherd van Brunkhusen, Hans van Můnnigherode, Ludelef van Lenghede, Otte Vurschutte,
Gherd van Werdinghusen, Hermen van Holthusen, Curd van Meyenberghe, Otte van Halvemunde, Hans Reyneken, Hinric Zeddinghe, Clawes Vrome, Heyne Moller, Hans Lippen
286
Regesten der Jahre 14 00 –14 4 0
und Hans Lennenkamp, Knappen, in einem offenen Brief: quittieren den Bürgermeistern, Ratsherren, Bürgern und Einwohnern Hamburgs, für die sie gegen Erich, Herzog von Sachsen, Engern und Westfalen, und seine Brüder395 im Solddienst
gestanden hätten, über Sold und Schadenersatz. Danken ihnen, sprechen sie von
weiteren Forderungen frei und versprechen Unterstützung. Ankündigung des Siegels von Johan van Grone. Gheven to Hamborch, na Godes bord xiiijc jar dar na an deme
twintighesten jare des vridages vor Unser Leven Vrouwen daghe erer ghebord.
Diplomatische Erörterung: Pergament mit Faltung, breite Plica mit einem an einem
Pergamentstreifen befestigten, kleineren Siegel. Auf der Rückseite zwei moderne Archivnotizen: 1. und mit Bleistift: 1420 Sept. 6.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 28. D = Copiae Archivi.
249
1420 September 7. Hamburg.
1420.09.07 — Gg 28 a
249
Johan und Dyderik, Brüder, gheheten Monnikhusen, Knappen, und Hermen Hundertmark, ihr Knecht, quittieren Hamburg für Sold und Schadenersatz im Krieg gegen Erich [V.], Herzog von Sachsen, und seine Brüder
Johan und Dyderik, Brüder, gheheten Monnikhusen, Knappen, und Hermen Hundertmark, ihr Knecht, in einem offenen Brief: quittieren den Bürgermeistern, Ratsherren, Bürgern und Einwohnern Hamburgs, für die sie gegen Erich, Herzog von
Sachsen, und seine Brüder396 im Solddienst gestanden hätten, über Sold und Schadenersatz. Danken ihnen, sprechen sie von weiteren Forderungen frei und versprechen Unterstützung. Ankündigung des Siegels von Cord Buesche für Johan,
Dyderik und Hermen. Gheven to Hamborg na Godes bord dusend verhundert dar na in
deme twintigesten jaren an unser leven vrouwen avende erer ghebord.
Diplomatische Erörterung: Pergament mit Faltung, breite Plica mit einem an einem
Pergamentstreifen befestigten, kaum noch erkennbaren kleineren Siegel. Auf
der Rückseite zwei moderne Archivnotizen mit Bleistift: 4. und 1420 Sept. 7.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 28 a. D = Copiae Archivi.
Erwähnung: Ballheimer, 4, S. 11.
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), und die im Vertrag von Perleberg 1420 August
23 genannten Brüder, oben Nr. 246.
395
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), und die im Vertrag von Perleberg 1420 August
23 genannten Brüder, oben Nr. 246.
396
1420 Sep temb er 7. Hamburg.
250
287
1420 September 7. Hamburg.
1420.09.07 — Gg 28 b
250
Heyneke van Alten, Ulrik Dornegge und Hans Aldewerld, Knappen, quittieren Hamburg für Sold und Schadenersatz im Krieg gegen Erich [V.], Herzog von Sachsen, und seine Brüder
Heyneke van Alten, Ulrik Dornegge und Hans Aldewerld, Knappen, in einem offenen
Brief: quittieren den Bürgermeistern, Ratsherren, Bürgern und Einwohnern Hamburgs, für die sie gegen den Herzog von Sachsen und seine Brüder397 im Solddienst
gestanden hätten, über Sold und Schadenersatz. Danken ihnen, sprechen sie von
weiteren Forderungen frei und versprechen Unterstützung. Ankündigung des Siegels von Heyneke van Alten. Gheven to Hamborg na Godes bord dusent verhundert dar
na in dem twintigesten jare an unser leven vrowen avende erer ghebord.
Diplomatische Erörterung: Pergament mit Faltung, kleineren Feuchtigkeitsflecken und
geringen Textverlusten, breite Plica mit einem an einem Pergamentstreifen befestigten, kleineren Siegel. Auf der Rückseite zwei moderne Archivnotizen mit
Bleistift: 2). und 1420 Sept. 7.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 28 b. D = Copiae Archivi.
251
1420 September 7. Hamburg.
1420.09.07 — Gg 28 c
251
Cord und Frederik, Brüder, gheheten van Oyenhusen, Cord van Luttersen, Johan van Venen, Peter van Rekelinghusen, Werner van Sunneryk, Frederik Richters, Johan Thuns und Hans Smyd, Knappen, quittieren Hamburg für Sold und Schadenersatz im Krieg gegen Erich [V.], Herzog von Sachsen, und seine Brüder
Cord und Frederik, Brüder, gheheten van Oyenhusen, Cord van Luttersen, Johan van Venen, Peter van Rekelinghusen, Werner van Sunneryk, Frederik Richters, Johan Thuns und
Hans Smyd, Knappen, in einem offenen Brief: quittieren den Bürgermeistern, Ratsherren, Bürgern und Einwohnern Hamburgs, für die sie gegen Erich, Herzog von
Sachsen, und seine Brüder398 im Solddienst gestanden hätten, über Sold und Schadenersatz. Danken ihnen, sprechen sie von weiteren Forderungen frei und versprechen Unterstützung. Ankündigung des Siegels von Cord Oyenhusen. Gheven
to Hamborg na Godes bord dusend verhundert dar na in deme twintigesten jaren an unser
leven vrowen avende erer ghebord.
Diplomatische Erörterung: Pergament mit Faltung, kleineren Feuchtigkeitsflecken,
verblasster Schrift und geringen Textverlusten, breite Plica mit einem an einem
Pergamentstreifen befestigten, kleineren Siegel. Auf der Rückseite zwei moderne Archivnotizen mit Bleistift: 6. 1420 Sept. 7.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 28 c. D = Copiae Archivi [verkürzt, von
anderer Hand ergänzt und korrigiert, mit Zeichnung des Siegels].
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), und die im Vertrag von Perleberg 1420 August
23 genannten Brüder, oben Nr. 246.
397
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), und die im Vertrag von Perleberg 1420 August
23 genannten Brüder, oben Nr. 246.
398
288
Regesten der Jahre 14 00 –14 4 0
252
1420 September 7. Hamburg.
1420.09.07 — Gg 28 d
252
Hinrik van Barkhusen, Reyneke und Johan gheheten Dornehope, Vetter, Cord, Hermen und Rychard, Brüder, gheheten Hubberkragen, Richerd Schrettinghusen, Knappen, Wedekind Wunder, Hinrik de Munter, Dyderik van Wulle, Hans Neuelingh und Hinrik Lappenstap, Mitgesellen Hinriks van Barkhusen, quittieren Hamburg für Sold und Schadenersatz im Krieg gegen Erich [V.], Herzog von Sachsen, und seine Brüder
Hinrik van Barkhusen, Reyneke und Johan gheheten Dornehope, Vetter (vedderen), Cord,
Hermen und Rychard, Brüder, gheheten Hubberkragen, Richerd Schrettinghusen, Knappen, Wedekind Wunder, Hinrik de Munter, Dyderik van Wulle, Hans Neuelingh und Hinrik
Lappenstap, Mitgesellen Hinriks van Barkhusen, in einem offenen Brief: quittieren
den Bürgermeistern, Ratsherren, Bürgern und Einwohnern Hamburgs, für die sie
gegen Erich, Herzog von Sachsen, und seine Brüder399 im Solddienst gestanden
hätten, über Sold und Schadenersatz. Danken ihnen, sprechen sie von weiteren
Forderungen frei und versprechen Unterstützung. Ankündigung des Siegels von
Cord Oyenhusen für die benannte Rotte (rothe) und Gesellschaft. Gheven to Hamborg
na Godes bord dusend verhundert dar na in deme twintigesten jaren an Unser Leven Vrouwen avende erer ghebord.
Diplomatische Erörterung: ---. Zurzeit nicht ermittelbar, kein Digitalisat [Auskunft des
Archivs vom 20.12.2019].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 28 d. D = Copiae Archivi [verkürzt mit
Hinweis auf Nr. 250, danach hier].
253
1420 September 7. Hamburg.
1420.09.07 — Gg 28 e
253
Oleman Bere, Knappe, Ruschintdorp, Dyderik van Plettenberghe und Luder Iselbach, seine Mitgesellen, quittieren Hamburg für Sold und Schadenersatz im Krieg gegen Erich [V.], Herzog von Sachsen, und seine Brüder
Oleman Bere, Knappe, Ruschintdorp, Dyderik van Plettenberghe und Luder Iselbach, seine
Mitgesellen, in einem offenen Brief: quittieren den Bürgermeistern, Ratsherren,
Bürgern und Einwohnern Hamburgs, für die sie gegen Erich, Herzog von Sachsen,
und seine Brüder400 im Solddienst gestanden hätten, über Sold und Schadenersatz.
Danken ihnen, sprechen sie von weiteren Forderungen frei und versprechen Unterstützung. Ankündigung des Siegels von Oleman Bere für die gesamte Gruppe.
Gheven to Hamborch na Godes bord dusent verhundert, darna in deme twintigesten jaren
an Unser Leven Vrouwen avende erer ghebord.
Diplomatische Erörterung: ---. Nicht mehr erfasst [Auskunft des Archivs vom 29.5.2020].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 28 e. D = Copiae Archivi [verkürzt mit
Hinweis auf Nr. 250, danach hier].
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), und die im Vertrag von Perleberg 1420 August
23 genannten Brüder, oben Nr. 246.
399
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), und die im Vertrag von Perleberg 1420 August
23 genannten Brüder, oben Nr. 246.
400
1420 Sep temb er 8. Hamburg.
254
289
1420 September 8. Hamburg.
1420.09.08 — Gg 28 f
254
Frederik van Schaghen, Diderik van Lutten, Frederik van Loen, Wolter van den Bollen, Johan van Wechgeld, Berend Groperdorp, Everd van Holtorp, Deterd Wetschen, Curd van Astorpe, Hinrik van dem Bele, Herberd van den Porsenberghe und Johan van Dincla, Knappen, quittieren Hamburg für Sold und Schadenersatz im Krieg gegen Erich [V.], Herzog von Sachsen, und seine Brüder und sprechen die Stadt von weiteren Forderungen frei
Frederik van Schaghen, Diderik van Lutten, Frederik van Loen, Wolter van den Bollen, Johan
van Wechgeld, Berend Groperdorp, Everd van Holtorp, Deterd Wetschen, Curd van Astorpe,
Hinrik van dem Bele, Herberd van den Porsenberghe und Johan van Dincla, Knappen, in
einem offenen Brief: quittieren den Bürgermeistern, Ratsherren, Bürgern und Einwohnern Hamburgs über Sold und Schadenersatz für ihren Einsatz im Krieg gegen
Erich, Herzog von Sachsen, Engern und Westfalen, und dessen Brüder.401 Danken
ihnen, sprechen sie von weiteren Forderungen frei und versprechen Unterstützung. Frederik van Schaghen und Diderik van Lutten erklären weiter, dass sie völlig
zufrieden gestellt seien wegen der Banner, die Diderik vor dem Schloss Bergedorf
führte (van deme vordele van der banre weghen, dede voerde Diderik van Lutten vor deme
slote to Berhgerdorpe), und deshalb gegenüber Bürgermeister, Rat, Bürger und Einwohner von Hamburg keine Ansprüche erheben würden. Ankündigung der Siegel
von Frederik van Schaghen und Diderik van Lutten. Gheven to Hamborgh na Godes
bord veerteynhunderd jar darna an deme twintigesten jare an unser leven vrowen daghe
erer gheboerd.
Diplomatische Erörterung: Pergament mit Faltung, kleineren Feuchtigkeitsflecken,
verblasster Schrift und geringen Textverlusten, breite Plica mit zwei an Pergamentstreifen befestigten, kleineren Siegeln. Auf der Rückseite zwei moderne
Archivnotizen mit Bleistift: 1420 Sept. 8. sowie 9.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 28 f. D = Copiae Archivi.
255
1420 September 8. Hamburg.
1420.09.08 — Gg 28 g
255
Hinrik Blome, Hinrik Westvelingh, Johan van Manslo, Curdes, Johans Enkel, und Hans van Campen, Knappen, quittieren Hamburg für Sold und Schadenersatz im Krieg gegen Erich [V.], Herzog von Sachsen, und seine Brüder
Hinrik Blome, Hinrik Westvelingh, Johan van Manslo, Curdes, Johans Enkel, und Hans van
Campen, Knappen, in einem offenen Brief: quittieren den Bürgermeistern, Ratsherren, Bürgern und Einwohnern Hamburgs über Sold und Schadenersatz für ihren
Einsatz im Krieg gegen Erich, Herzog von Sachsen, Engern und Westfalen, und dessen Brüder.402 Sprechen sie von weiteren Forderungen frei und versprechen Unter-
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), und die im Vertrag von Perleberg 1420 August
23 genannten Brüder, oben Nr. 246.
401
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), und die im Vertrag von Perleberg 1420 August
23 genannten Brüder, oben Nr. 246.
402
290
Regesten der Jahre 14 00 –14 4 0
stützung. Ankündigung des Siegels von Hinrik Blome. Gheven to Hamborgh na Godes
bord veerteynhunderd jar darna an deme twintigeste jare an unser leven vrowen dage erer
boerd.
Diplomatische Erörterung: Pergament mit kleineren Feuchtigkeitsflecken, verblasster
Schrift und einigen Textverlusten, breite Plica mit einem an einem Pergamentstreifen befestigten, kleineren Siegel. Auf der mit Papier überklebten Rückseite
zwei moderne Archivnotizen mit Bleistift: 1420 Sept. 8. sowie 8.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 28 g. D = Copiae Archivi [verkürzt mit
Hinweis auf Nr. 255].
256
1420 September 9. Hamburg.
1420.09.09 — Gg 28 h
256
Steneke van Hamme, Knappe, quittiert Hamburg für Sold und Schadenersatz im Krieg gegen Erich [V.], Herzog von Sachsen, und seine Brüder
Steneke van Hamme, Knappe, in einem offenen Brief: quittiert den Bürgermeistern,
Ratsherren, Bürgern und Einwohnern Hamburgs die vollständige Bezahlung des
Soldes und den Ersatz des Schadens für seinen Einsatz im Krieg gegen Erich, Herzog von Sachsen, Engern und Westfalen, und dessen Brüder.403 Dankt ihnen, spricht
sie von weiteren Forderungen frei und verspricht Unterstützung. Siegelankündigung. Gheven to Hamborgh na Godes boerd veerteynhundert jar darna an deme twintighesten jare de mandaghes na Unser Leven Vrowen daghe erer gheboerd.
Diplomatische Erörterung: Pergament mit Faltung und einigen nachgedunkelten Stel-
len, breite Plica mit einem an einem Pergamentstreifen befestigten, kleineren
Siegel. Auf der Rückseite zwei moderne Archivnotizen mit Bleistift: 1420 Sept. 9.
sowie 10.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 28 h. D = Copiae Archivi.
257
1420 September 9. Hamburg.
1420.09.09 — Gg 28 i
257
Johan van Mandeslo der Ältere, Johan van Mandeslo der Jüngere, Frederic Post und Ludeke Vrese, Knappen, quittieren Hamburg für Sold und Schadenersatz im Krieg gegen Erich [V.], Herzog von Sachsen, und seine Brüder
Johan van Mandeslo der Ältere, Johan van Mandeslo der Jüngere, Frederic Post und
Ludeke Vrese, Knappen, in einem offenen Brief: quittieren den Bürgermeistern,
Ratsherren, Bürgern und Einwohnern Hamburgs über Sold und Schadenersatz für
ihren Einsatz im Krieg gegen Erich, Herzog von Sachsen, Engern und Westfalen,
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), und die im Vertrag von Perleberg 1420 August
23 genannten Brüder, oben Nr. 246.
403
1420 Sep temb er 9. Hamburg.
291
und dessen Brüder.404 Danken ihnen, sprechen sie von weiteren Forderungen frei
und versprechen Unterstützung. Siegelankündigung von Johan van Mandeslo des
Älteren. Gheven to Hamborch na Godes bord xiiijc jar darna an deme twintighesten jare des
mandaghes na unser leven vrowen daghe erer ghebord.
Diplomatische Erörterung: Pergament mit Faltung und einigen verblassten Stellen,
links etwas angerissene Plica mit einem an einem Pergamentstreifen befestigten, kleineren Siegel. Auf der Rückseite zwei moderne Archivnotizen mit Bleistift: 1420 Sept. 9. sowie 11.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 28 i. D = Copiae Archivi [verkürzt mit
Hinweis auf Nr. 255].
258
1420 September 9. Hamburg.
1420.09.09 — Gg 29
258
Curd Buesghe, Clawes van Decberch, Berend Reymers, Hans Heydhorst, Dorheker, Wilhelm van Elmendorpe, Griffer, Curd de beste, Hinric D[…]singh, Frederic Post, Curd Arendes, Godeke, Rabode Semmele, Enghelke, Johan van dem Broke, Bere[nd ...]ke, Stacies Post, Osterholt, Bertold, Deghener, Tydeman Ropeke und Johan van dem Wede, Knappen, quittieren Hamburg für Sold und Schadenersatz im Krieg gegen Erich [V.], Herzog von Sachsen, und seine Brüder und sprechen die Stadt trotz eines Konflikts mit Curd Buesghe von weiteren Forderungen frei
Curd Buesghe, Clawes van Decberch, Berend Reymers, Hans Heydhorst, Dorheker, Wilhelm
van Elmendorpe, Griffer, Curd de beste, Hinric D[…]singh, Frederic Post, Curd Arendes, Godeke, Rabode Semmele, Enghelke, Johan van dem Broke, Bere[nd ...]ke, Stacies Post, Osterholt, Bertold, Deghener, Tydeman Ropeke und Johan van dem Wede, Knappen, in einem
offenen Brief: machen bekannt, dass sie von Bürgermeistern, Ratsherren, Bürgern
und Einwohnern der Stadt Hamburg, die sie im Krieg gegen Erich, Herzog von
Sachsen, Engern und Westfalen, und seine Brüder405 für Sold unterstützt hätten,
für sich, die genannten und ungenannten Mitglieder ihrer Gesellschaft zur ihrer
Zufriedenheit Sold und Schadenersatz empfangen hätten. Danken ihnen, sprechen
sie von weiteren Forderungen frei und versprechen Unterstützung. Das gelte ungeachtet der Sache zwischen der Stadt und Curd Buesghe, der Rittmeister (rydmester) der Stadt war, wegen des Schlosses zu Bergedorf (dat ik […] oft vordeel eghe van
des slotes wegen Bergherdorpe, dat steyt twisghen en unde my unghesleten). Siegelankündigung Curds. Gheven to Hamborch na Godes bord xiiiC jar dar na an deme twintighesten
jare des mandaghes na Unser Leven Vrouwen daghe ere ghebord.
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), und die im Vertrag von Perleberg 1420 August
23 genannten Brüder, oben Nr. 246.
404
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), und die im Vertrag von Perleberg 1420 August
23 genannten Brüder, oben Nr. 246.
405
292
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergament mit erheblichen Feuchtigkeitsflecken und klei-
neren Textausfällen, Plica mit dem Rest eines Pergamentstreifens zur Siegelanbringung, das Siegel fehlt. Rückseite mit dünnem Papier überklebt, Kanzleivermerk: Quittancia Clawes van Decberch, Curd Buesthe unde Berndt Reymers cum suis
etc. 1420.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 29. D = Copiae Archivi.
Erwähnung: Ballheimer, 4, S. 11.
259
1420 September 10. Hamburg.
1420.09.10 — Gg 28 k
259
Gherd Brand und Groteberend, Knappen, quittieren Hamburg für Sold und Schadenersatz im Krieg gegen Erich [V.], Herzog von Sachsen, und seine Brüder
Gherd Brand und Groteberend, Knappen, in einem offenen Brief: quittieren den Bürgermeistern, Ratsherren, Bürgern und Einwohnern Hamburgs über Sold und Schadenersatz für ihren Einsatz im Krieg gegen Erich, Herzog von Sachsen, Engern und
Westfalen, und dessen Brüder.406 Danken ihnen, sprechen sie von weiteren Forderungen frei und versprechen Unterstützung. Siegelankündigung. Gheven to Hamborch na Godes bord xiiijc jar darna in deme twintighesten jare des dinxedaghes na unser
leven vrouwen daghe erer ghebord.
Diplomatische Erörterung: Pergament mit Faltung, breite Plica mit zwei an Pergament-
streifen befestigten, kleineren, beschädigten Siegeln. Auf der teilweise nachgedunkelten Rückseite zwei moderne Archivnotizen mit Bleistift: 1420 Sept. 10. sowie 12 [korrigiert].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 28 k. D = Copiae Archivi [verkürzt mit
Hinweis auf Nr. 258].
260
1420 September 15. [o. O.].
1420.09.15 — Ff 8
260
Bürgermeister und Rat der Stadt Hamburg vergleichen sich mit Stade über den Handel
Bürgermeister und Rat der Stadt Hamburg vergleichen sich mit Stade über den
Handel. Gheven [ … na Go]des bord […] dage […].
Diplomatische Erörterung: Pergament, durch Feuchtigkeit völlig zerstört, mit vielen
Löchern, ausgeblichenen Stellen und mit nahezu vollständigem Textverlust,
Plica und Rückseite modern mit festem Papier überklebt [hier nach Archivfindmitteln und HUB].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 8.
Regest: HUB, 6, 325, S. 176.
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), und die im Vertrag von Perleberg 1420 August
23 genannten Brüder, oben Nr. 246.
406
1420 Ok tob er 14. Hamburg.
261
293
1420 Oktober 14. Hamburg.
1420.10.14 — Gg 28 l
261
Frederik Post, Johan van Mandeslo Berteldessone, Ludeke Vrase, Johan Kokingh, Staties van Monnigkhusen, Bode van Ghummeren, Bruggewch, Lubberd, Honwide, Knappen, quittieren Hamburg für Sold und Schadenersatz im Krieg gegen Erich [V.], Herzog von Sachsen, und seine Brüder
Frederik Post, Johan van Mandeslo Berteldessone, Ludeke Vrase, Johan Kokingh, Staties
van Monnigkhusen, Bode van Ghummeren, Bruggewch, Lubberd, Honwide, Knappen,
in einem offenen Brief: quittieren den Bürgermeistern, Ratsherren, Bürgern und
Einwohnern Hamburgs über Sold und Schadenersatz für ihren Einsatz im Krieg
gegen Erich, Herzog von Sachsen, Engern und Westfalen, und dessen Brüder.407
Danken ihnen, sprechen sie von weiteren Forderungen frei und versprechen Unterstützung. Ankündigung des Siegels von Frederik Post und Johan van Mandeslo
Berteldessone. Gheven tho Hamborch na Godes bord verteynhunderd jar, darna an deme
twintigesten jare des mandages vor sunte Gallen daghe.
Diplomatische Erörterung: ---. Zurzeit nicht ermittelbar, kein Digitalisat [Auskunft des
Archivs vom 20.12.2019].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 28 l. D = Copiae Archivi [verkürzt mit
Hinweis auf Nr. 255, danach hier].
262
1420 Oktober 15. Hamburg.
1420.10.15 — Gg 28 n
262
Arnd de Bever, Ropeke Rusche, Volquin de Holler, Marquerd Schiptorp und Borcherd van Aschwede, Knappen, quittieren Hamburg für Sold und Schadenersatz in den Kriegen gegen Erich [V.], Herzog von Sachsen, und seine Brüder sowie mit dem Herzog Heinrich von Schleswig gegen den König von Dänemark
Arnd de Bever, Ropeke Rusche, Volquin de Holler, Marquerd Schiptorp und Borcherd van
Aschwede, Knappen, in einem offenen Brief: quittieren den Bürgermeistern, Ratsherren, Bürgern und Einwohnern der Stadt Hamburg über Sold und Schadenersatz für ihren Kriegsdienst mit Freunden und Mitstreitern gegen Herzog Erich von
Sachsen und seine Brüder408 und mit dem Herzog Heinrich von Schleswig409 gegen
den König von Dänemark.410 Danken ihnen, sprechen sie von weiteren Forderungen frei und versprechen Unterstützung. Ankündigung des Siegels von Arnd de
Bever, Ropeke Rusche, Volquin de Holler und Marquerd Schiptorp im Namen der
gesamten Rotte, die an den beiden Kriegen teilgenommen hätte, benannt oder unbenannt. Gheven to Hamborg na Godes bord dusend verhundert, darna in deme twintigesten jaren an sunte Gallen avende, des hilgen bichtigeres.
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), und die im Vertrag von Perleberg 1420 August
23 genannten Brüder, oben Nr. 246.
407
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), und die im Vertrag von Perleberg 1420 August
23 genannten Brüder, oben Nr. 246.
408
409
Heinrich IV., nicht belehnter Herzog von Schleswig (1404–1427).
410
Erik (VII.) von Pommern, König von Dänemark (1397–1439).
29 4
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: ---. Zurzeit nicht ermittelbar, kein Digitalisat [Auskunft des
Archivs vom 20.12.2019].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 28 n. D = Copiae Archivi [verkürzt mit
Hinweis auf Nr. 250, danach hier].
263
1420 Oktober 15. Hamburg.
1420.10.15 — Gg 28 o
263
Wilken Vrese, Hans Butzouw, Vrouwenschutke, Hans Lippe und Clawes Vrome, Knappen, quittieren Hamburg für Sold und Schadenersatz in den Kriegen gegen Erich [V.], Herzog von Sachsen, und seine Brüder sowie mit dem Herzog Heinrich von Schleswig gegen den König von Dänemark
Wilken Vrese, Hans Butzouw, Vrouwenschutke, Hans Lippe und Clawes Vrome, Knappen,
in einem offenen Brief: quittieren den Bürgermeistern, Ratsherren, Bürgern und
Einwohnern der Stadt Hamburg über Sold und Schadenersatz für ihren Kriegsdienst mit Freunden und Mitstreitern gegen Herzog Erich von Sachsen und seine
Brüder411 und mit dem Herzog Heinrich von Schleswig412 gegen den König von Dänemark.413 Danken ihnen, sprechen sie von weiteren Forderungen frei und versprechen Unterstützung. Ankündigung der Siegel von Wilke Vrese, Hans Butzouw und
Vrowenschutte. Gheven unde schreven to Hamborch na Godes bord veerteynhunderd jar
darna an deme twintighesten jare des dinxdages vor sunte Gallen daghe.
Diplomatische Erörterung: Gut erhaltenes Pergament mit Faltung, breite Plica mit drei
an Pergamentstreifen befestigten, kleineren, unterschiedlich erhaltenen Siegeln; das mittlere ist stark beschädigt. Auf der Rückseite zwei moderne Archivnotizen in Bleistift: 1420 Oct. 15. und 17 [aus 18 korrigiert].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 28 o. D = Copiae Archivi.
264
1420 Oktober 15. Hamburg.
1420.10.15 — Gg 28 p
264
Diderick Amendorp der jüngere, Faber, Johan van der Lippe, Herberd Klenk, Gherke Picht und Ludeman Redeke, Knappen, quittieren Hamburg für Sold und Schadenersatz in den Kriegen gegen Erich [V.], Herzog von Sachsen, und seine Brüder sowie mit dem Herzog Heinrich von Schleswig gegen den König von Dänemark
Diderick Amendorp der jüngere, Faber, Johan van der Lippe, Herberd Klenk, Gherke Picht
und Ludeman Redeke, Knappen, in einem offenen Brief: quittieren den Bürgermeistern, Ratsherren, Bürgern und Einwohnern der Stadt Hamburg über Sold und
Schadenersatz für ihren Kriegsdienst mit Freunden und Mitstreitern gegen Herzog
Erich von Sachsen und seine Brüder414 und mit dem Herzog Heinrich von Schles-
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), und die im Vertrag von Perleberg 1420 August
23 genannten Brüder, oben Nr. 246.
411
412
Heinrich IV., nicht belehnter Herzog von Schleswig (1404–1427).
413
Erik (VII.) von Pommern, König von Dänemark (1397–1439).
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), und die im Vertrag von Perleberg 1420 August
23 genannten Brüder, oben Nr. 246.
414
1420 Ok tob er 15. Hamburg.
295
wig415 gegen den König von Dänemark.416 Danken ihnen, sprechen sie von weiteren
Forderungen frei und versprechen Unterstützung. Ankündigung des Siegels von
Diderich Amendorp des Jüngeren. Gheven to Hamborch na Godes bord veerteynhunderd
jar darna an deme twintigesten jare des dinxdaghes vor sunte Gallen daghe.
Diplomatische Erörterung: Pergament mit Faltung und geringen Feuchtigkeitsflecken,
breite Plica mit einem an einem Pergamentstreifen befestigten, kleineren Siegel.
Auf der Rückseite zwei moderne Archivnotizen mit Bleistift: 1420 Oct. 15. und 15.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 28 p. D = Copiae Archivi [verkürzt mit
Hinweis auf Nr. 264].
265
1420 Oktober 15. Hamburg.
1420.10.15 — Gg 28 r
265
Beneke Wolters, Peter van Havense und Veghebanck, Knappen, quittieren Hamburg für Sold und Schadenersatz in den Kriegen gegen Erich [V.], Herzog von Sachsen, und seine Brüder sowie mit dem Herzog Heinrich von Schleswig gegen den König von Dänemark
Beneke Wolters, Peter van Havense und Veghebanck, Knappen, in einem offenen Brief:
quittieren den Bürgermeistern, Ratsherren, Bürgern und Einwohnern der Stadt
Hamburg über Sold und Schadenersatz für ihren Kriegsdienst mit Freunden und
Mitstreitern gegen Herzog Erich von Sachsen und seine Brüder417 und mit dem
Herzog Heinrich von Schleswig418 gegen den König von Dänemark.419 Danken ihnen, sprechen sie von weiteren Forderungen frei und versprechen Unterstützung.
Ankündigung der Siegel von Beneke Wolters und Peter van Havense. Gheven to
Hamborch na Godes bord veerteynhunderd jar darna an deme twintigesten jare des dinxdages vor sunte Gallen daghe.
Diplomatische Erörterung: Pergament mit Faltung und geringen Feuchtigkeitsflecken,
breite Plica mit zwei an Pergamentstreifen befestigten, kleineren Siegeln. Auf
der Rückseite zwei moderne Archivnotizen mit Bleistift: 1420 Oct. 15. und 14.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 28 r. D = Copiae Archivi [verkürzt mit
Hinweis auf Nr. 264].
Erwähnung: Ballheimer, 4, S. 9.
415
Heinrich IV., nicht belehnter Herzog von Schleswig (1404–1427).
416
Erik (VII.) von Pommern, König von Dänemark (1397–1439).
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), und die im Vertrag von Perleberg 1420 August
23 genannten Brüder, oben Nr. 246.
417
418
Heinrich IV., nicht belehnter Herzog von Schleswig (1404–1427).
419
Erik (VII.) von Pommern, König von Dänemark (1397–1439).
296
266
Regesten der Jahre 14 00 –14 4 0
1420 Oktober 16. Hamburg.
1420.10.16 — Gg 28 m
266
Johan van Hamme, anders geheten Scopel van Hamme, Knappe, quittiert Hamburg für Sold und Schadenersatz im Krieg gegen Erich [V.], Herzog von Sachsen, und seine Brüder
Johan van Hamme, anders geheten Scopel van Hamme, Knappe, in einem offenen Brief:
quittiert den Bürgermeistern, Ratsherren, Bürgern und Einwohnern Hamburgs die
vollständige Bezahlung des Soldes und den Ersatz des Schadens für seinen Einsatz
im Krieg gegen Erich, Herzog von Sachsen, Engern und Westfalen, und dessen Brüder.420 Dankt ihnen, spricht sie von weiteren Forderungen frei und verspricht Unterstützung. Siegelankündigung des Ausstellers. Gheven tho Hamborch na Godes bord
veerteynhunderd jar, darna an deme twintigesten jare an sunte Gallen daghe.
Diplomatische Erörterung: ---. Zurzeit nicht ermittelbar, kein Digitalisat [Auskunft des
Archivs vom 20.12.2019].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 28 m. D = Copiae Archivi [verkürzt mit
Hinweis auf Nr. 257, danach hier].
267
1420 Oktober 16. Hamburg.
1420.10.16 — Gg 28 q
267
Johan van Verne und Peter van Rekelinghusen, Knappen, quittieren Hamburg für Sold und Schadenersatz in den Kriegen gegen Erich [V.], Herzog von Sachsen, und seine Brüder sowie mit dem Herzog Heinrich von Schleswig gegen den König von Dänemark
Johan van Verne und Peter van Rekelinghusen, Knappen, in einem offenen Brief:
quittieren den Bürgermeistern, Ratsherren, Bürgern und Einwohnern der Stadt
Hamburg über Sold und Schadenersatz für ihren Kriegsdienst mit Freunden und
Mitstreitern gegen Herzog Erich von Sachsen und seine Brüder421 und mit dem
Herzog Heinrich von Schleswig422 gegen den König von Dänemark.423 Danken ihnen, sprechen sie von weiteren Forderungen frei und versprechen Unterstützung.
Ankündigung des Siegels von Johan van Verne. Gheven to Hamborch na Godes bord
veerteynhunderd jar darna an deme twintigesten jare an sunte Gallen daghe.
Diplomatische Erörterung: Pergament mit Faltung, breite Plica mit einem an einem
Pergamentstreifen befestigten, etwas beschädigten kleineren Siegel. Auf der
Rückseite zwei moderne Archivnotizen mit Bleistift: 1420 Oct. 15 [!]. und 16.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 28 q. D = Copiae Archivi.
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), und die im Vertrag von Perleberg 1420 August
23 genannten Brüder, oben Nr. 246.
420
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), und die im Vertrag von Perleberg 1420 August
23 genannten Brüder, oben Nr. 246.
421
422
Heinrich IV., nicht belehnter Herzog von Schleswig (1404–1427).
423
Erik (VII.) von Pommern, König von Dänemark (1397–1439).
1420 Novemb er 5. [Hamburg ].
268
297
1420 November 5. [Hamburg].
1420.11.05 — Tt 43 (1)
268
Hinryk Hoyers, Bürgermeister zu Hamburg, bekennt, dass ihm im Rentenbuch des Rates zugeschriebene Renten von 13 m. nicht gehörten, sondern ihm zu treuer Hand übergeben seien von einer Messenstiftung an St. Petri, über die seine Frau Gherborch das Patronat ausübe
Hinryk Hoyers, Bürgermeister zu Hamburg,424 in einem offenen Brief: bezeugt, dass
ihm im Rentenbuch des Rates 4 m. Rente vom Erbe des Albert van Ride in der Katharinenstraße bei der Katharinenbrücke (in Sunte Katherinen strate by Sunte Katharinen
brugghe), 4 m. vom Erbe des Johann van Ulsen in derselben Straße und 5 m. Rente
im Erbe des Ghodschalk Kryte im Kirchspiel St. Petri an der Rolandsbrücke (by der
Rolandes brughe) zugeschrieben seien. Diese Renten gehörten nicht ihm und seinen
Erben, sondern seien ihm zu treuer Hand übergeben von einer Kommende oder
Messenstiftung, über die seine Frau Gherborch das Patronat ausübe ([…] recht leen
vrouwe tho is), an St. Petri zu Hamburg, zurzeit in der Hand von Bernd Wildeshusen, den er selbst dort auf Lebenszeit eingesetzt habe (deme ik se umme Godes willen
myt beradenem mode vorlenet hebbe de tiijd synes levendes). Siegelankündigung. Gheven unde screven […] nach Godes bord dusent veerhundert in deme twintighesten jare des
dinxedaghes na alle godes hilghen.
Diplomatische Erörterung: Etwas nachgedunkeltes Pergament mit Faltung und Feuch-
tigkeitsflecken, rechts oben modern mit Bleistift die Jahreszahl 1420, Plica mit
einem an einem Pergamentstreifen befestigten Siegel. Rückseite mit zwei jüngeren Kanzleivermerk rechts quer: Albert van Ride principal[is] nunc Hinricus Beygenvleet, Johan Wynsendorp, Johan Borchardes vicini, sowie: Redditus isti videlicet 4 marcarum sunt redempti anno etc. lxxiiio presente domino Nicolao de Sworen. Daneben oben:
hec 3 vero recog[noscen]do.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Tt 43 (1). D = Copiae Archivi [als Tt 43].
Erwähnung: Vollmers, Pfarreien, S. 447–448.
269
1421 April 2. Lübeck.
1421.04.02 — Qq 63
269
Hinricus Sumendorp, Kanoniker in Tangermünde, subexecutor für die dem römischen König Sigismund durch Papst Martin V. verliehenen Zehnten aus den Einkünften der kirchlichen Pfründen, quittiert die Zahlung von 2200 rheinischen Gulden für die Provinz Bremen sowie Stadt und Diözese Verden
Hinricus Sumendorp, Kanoniker der Kirche von Tangermünde, Halberstädter Diözese, subexecutor für die dem römischen und ungarischen König Sigismund425 durch
Papst Martin V.426 verliehenen Zehnten eines Jahres aus den Einkünften der kirchlichen Pfründen und subcollector für den königlichen Zehnt, eingesetzt durch den
executor und collector Johannes, Bischof von Brandenburg,427 bestätigt öffentlich,
424
Ratsherr seit 1412, Bürgermeister 1417–1447.
425
König von Ungarn (seit 1387), römischer König (seit 1410/1411), Kaiser (1433–1437).
426
Papst 1417–1431.
427
Johannes II. von Waldow, Bischof von Brandenburg, 1415–1420, dann von Lebus, 1420–1423.
298
Regesten der Jahre 14 00 –14 4 0
dass die Äbte, Äbtissinnen, Pröpste, Dekane, Archidiakone, Prälaten und alle Kanoniker, ewigen Vikare und übrigen Priester an Kathedralen, Klöstern, Kollegiats- wie Pfarrkirchen und Kapellen der Provinz Bremen und der Stadt und Diözese Verden ihm als vollständigen Zehnten die Summe von 2200 rheinischen gld.
bezahlt hätten, so dass er die Geistlichen im Namen des Königs von der Zahlung
des Zehnten vollständig befreie. Zur Bekräftigung habe er dies durch einen Notar
unterschreiben und sein Siegel anhängen lassen. Datum et actum Lubic in refectorio
ecclesie Lubicensis anno a nativitate domini millesimo quadringentesimo vicesimo primo
indictione xiiiia die vero mercuri secunda mensis Aprilis hora terciarum vel quasi pontificatus domini nostri pape Martini quinti supradicti anno quarto. Zeugen: Godelinus Marten
de Tremonia, Kanoniker der Osnabrücker Kirche, und Herman Tribuzees, Priester der
Kamminer Diözese.
Diplomatische Erörterung: Notariatsinstrument des Hinricus Kalverwisch, Kleriker der
Verdener Diözese, Notar kaiserlicher Autorität und Schreiber des Domkapitels
zu Lübeck, mit seinem Notarszeichen. Pergament mit teilweise sehr starken
Feuchtigkeitsflecken und einigen Textausfällen in der Mitte des Textes (entlang
der zentralen Faltung), Plica mit einem an einem Pergamentstreifen befestigten,
kleinen, beschädigten Siegel in rotem Wachs. Rückseite in der Mitte mit jüngeren, kaum lesbaren Kanzleivermerken: [Quitancia wegen] einer auß Brehmen und
Vehrden (mit 2200 [rein]schen Gülden) bezahlten Decimae, und Decimae pro […], dazu
1421 und N. 4.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Qq 63. D = Copiae Archivi.
270
1421 April 3. Hamburg.
1421.04.03 — Ee 56
270
Bürgermeister und Ratsherren der Stadt Hamburg an Bürgermeister, Schöffen und Rat der Stadt Gent: teilen die Namen der durch Auslieger Herzog Johanns von Bayern, Grafen von Hennegau, Holland und Seeland, aus dessen Gebieten geschädigten Hamburger mit und listen das verlorene Gut, da sie noch keine Antwort des Herzogs erhalten hätten
Bürgermeister und Ratsherren der Stadt Hamburg an Bürgermeister, Schöffen und
Rat der Stadt Gent (Gend): teilen mit, dass etliche Hamburger Bürger durch Auslieger Herzog Johanns von Bayern, Grafen von Hennegau, Holland und Seeland,428 aus
den Gebieten des Herzogs mitten im Frieden geschädigt worden seien, wie diese
vor ihnen beschworen hätten. Wie sie wohl wüssten, hätten sie sich deshalb bereits mit ihren Ratssendeboten, Boten und Briefen unter großen Kosten an den
Herzog gewandt,429 doch hätten sie keine Antwort oder Entschädigung erhalten. So
teilten sie den Gentern die Namen der Geschädigten mit.
Johann III., Herzog von Bayern, Graf von Hennegau, Holland und Seeland (1417–1425), bis 1418 noch
Elekt von Lüttich.
428
429
Das Schreiben an den Herzog von 1418 Mai 28 s. oben Nr. 229.
1421 April 3. Hamburg.
299
[1.] Um 1418430 Juni 24 sei von den Dordrechtern das Schiff von Schele Papeken aufgehalten (angehaled) worden, mit Bier von Wichman Groͤnewolt, Arend Brun, Detleff
Bake, Otte van dem Borstelde, Hinrik Seͤghelke, Hilbr aend Kolhof, Ludeke Sankenstede, Johan Krantz, Ludeke van Eyssen, Wilken Luders, Johan Sprinke und Hermen van Renthelen;
[2.] die Dordrechter hätten auch das Schiff von Johan Wildestorpe, das ihm gehöre,
aufgehalten, mit Bier von Hinrik Seghelke, Hildebrand Kolhoff, Detleff Bake, Johan
Heseman, Johan Nyebur, Wichman Gronewold, Borcherd van Lune, Ghodeke Brokehoved,
Alberd Oldehorst, Berend Poterow, Herman van Tzeven, Berend Embeke, Johan Hermensborgh und Wilken Luders;
[3.] ebenso das Schiff von Gherd Willemssoͤne aus Harderwijk (Herderwiik) mit Bier
von Hermen van Tzeven, Alberd Oldehorst, Ghodeke Brokehoved, Berend van der
Heyde, Ludeke Cletse, Berend Embeke, Wolder van dem Loo, Berend Byshoͤrst, Heyno Solczenhusen, Wilken Luders, Ludeke Boldersen und Ludeke van der Heyde;
[4.] ebenso das Schiff von Laurencius Bramessone aus Harderwijk mit Bier von Hermen van Tzeven, Alberd Oldehorst, Johan Sprinke, Vicke van der Heyde, Detleff Bake,
Wichman Gronewold, Johan van dem Bussche, Johan Nyebur, Borcherd van Lune, Ghodeke Brokehoved, Berend Bishorst und Wilken Luders;
[5.] die Brieller hätten das Schiff von Eggherd Arendessone aus Stavoren aufgehalten, mit Bier von Johan Cruͤ kow, Hermen Osterholte, Thideke Osterholt, Hermen von der
Hoye, Hinrik Stillehorne, Berend Laghendorp, Alberd Oldehorst, Bernd van der Heyde,
Meyne Dydersbuͤ ttel, Borcherd van Lune, Hans Rogge, Berend Koldow, Wilken Luders und
Deghener van deme Haghen;
[6.] die Brieller hätten auch das Schiff von Clawes Albertssone aus Kampen aufgehalten, mit Bier von Johan van Mynden, Ludeke Cletze, Syverd Cletze, Sander Hoepp,
Johan Cruͤ kow, Johan van dem Busche, Ludeke Sankenstede, Meyne Dydersbuttel,
Wichman Gronewold, Johan van Orle, Johan Sprinke und Wolder van dem Looͤ;
[7.] die Brieller hätten aus dem Schiff von Luͤ deke Wulffhagen aus Hamburg vier
Büchsen (veͤr buͤ ssen) genommen, im Wert von 3 pfd. gr. flämischen Geldes;
[8.] im genannten Schiff von Johan Wildestorpe habe Wilken Luders aus zwei Tonnen Butter gehabt, wie er eidlich versichert habe.
[9.] im Herbst 1418 hätten die Dordrechter das Schiff von Wilke Bekendorp aufgehalten, mit Bier von Johan Brand, Sander van Nienloo, Ludeke Sanckenstede, Berend
Poterow, Meyne Dydersbuttel, Hans Velingh, Vicke […], Bernd van der Heyde, Johan
Clawessone, Hinrich van dem Bussche, Godeke [..]torp, Ludeke Lutow, Ratsherr, Ludeke
Bergh, Berend Kaldow, Ghodeke Ellinghusen, Heyne Solsenhusen, Johan [Sebode], Hermen
430
Die Angabe 1418 kann angesichts des Schreibens an den Herzog nicht stimmen.
300
Regesten der Jahre 14 00 –14 4 0
[Sterbelingh], Cord Schillingh, Alberd Brandenborgh, Berend Hune und Ghereke Nyeman.
Dem Schiffer seien 24 pfd. gr. Schaden bei seiner Fracht entstanden, 9 to. Biers,
Lebensmittel für 4 pfd. gr. und den Schiffskindern 3 to. Biers.
[10.] auch hätten die Dordrechter das Schiff von Johan Wildesdorp aufgehalten, mit
Bier von Wilken Broys, Herman van Rentelen, Otte Borsteld, Johan vanme Gheren,
Johan Borsteld, Vicke van der Heyde, Johan Holste, Johan Hoveman, Johan Vinstede, Johan Sprinke, Ghereke Weleghe (dem Harnische und Kleidung für 10 m. lüb. genomen
seien), Hasse van dem Bernebeke und Johan Katheman. Dem Schiffer ständen noch 24
pfd. gr. für Fracht zu;
[11.] ebenso das Schiff von Dyderik Sandow mit Bier von Johan Brand, Heyne Johanssone, Otte Borsteld, Alberd Oldehorst, Hinrik Papendorp, Ratsherr, Wilke Eggherdes,
Ghereke vanme Holte, Johan Hoveman, Ghodeke Ellinghusen, Heyne Witte, Cord Schillingh, Hermen Rost, Thideke Lamspringh, Hinrik Kaleveld und der Schiffer, dem noch 20
pfd. gr. und 15 gr. für Fracht zustanden;
[12.] ebenso das Schiff von Marquerd Halleke, mit Bier von Clawes Dalenborgh, Luder
Heyme, Otte Borsteld, Alberd Oldehorst, Johan Bode, Berend vanme [Haghen], Lamberd
Wittenborgh, Johan Soltow, Marquerd Binddenpaghen, Bernd Huͤ ne, Ludeke Amelinghusen
und dem Schiffer, dem noch 16 pfd. gr. für Fracht zuständen, 2 pfd. gr., 2 Lotbüchsen, 1 Armbrust, Lebensmittel für 2 pfd. gr. und 2 Arnheimsche gld. Gut, Schiff und
Bier seien durch die Auslieger von Dordrecht, Rotterdam und Brielle genommen
worden;
[13.] um [1418] Juni 24 hätten die Brieller auch das Schiff von Gherleff Hoyers aus
Lübeck aufgehalten, mit Bier von Everd Witte, Thideke Bernstede, Cord Windhorst, Ghereke Windhorst, Alberd Oldehorst, Hermen van Tzeven, Meyne Dydersbuttel, Johan
Schulte, Clawes Meyer, Hans Wulffhagen, Ludeke van Winsen und Otte Borsteld.
[14.] um 1421 März 2 hätten Stryͤk und Kreyenbroͤk, Auslieger Herzog Johanns, mit
ihrer Gesellschaft das Schiff von Ghodeke van Rentelen genommen und nach Lemmer
(in de Lemmere) gebracht, mit Laken von Erik van Tzeven, Dyderik Luneborgh, Bertold
Boed, Lambert Wittenborgh und seinen Gesellschaftern ebenso wie vom Schiffer, von
Stacies van Rentelen und ihrern Gesellschaftern. Der Schiffer sei auch um 25 holländ.
Schilde für Lebensmittel und Ausrüstung für das Schiff geschädigt.
Da die Hamburger trotz umfangreicher Bemühungen vom Herzog keine Antwort
oder Erstattung von Schäden erhalten hätten, bäten sie die Genter um Rat und
Beistand. Siegelankündigung. Gheven to Hamborch na Godes bord dusend veͤrhunderd
dar na in deme eͤnundetwintigesten jare des neghesten donre[da]ghes na Quasimodogeniti.
1421 April 24. Olmüt z.
301
Diplomatische Erörterung: großes Pergament mit Faltung, durch viele Feuchtigkeits-
flecken beschädigt, mit kleineren Textausfällen, große Plica mit einem Einschnitt für das Siegel, Pergamentstreifen ab, das Siegel liegt lose dabei. Rückseite
mit Vermerk: Certificatie.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ee 56. D = Copiae Archivi.
Edition: HUB, 6, 362, S. 196–200.
271
1421 April 24. Olmütz.
1421.04.24 — Bb 5, D 15
271
Sigismund, römischer König, König zu Ungarn, Böhmen, Dalmatien, Kroatien etc., befreit Bürgermeister, Rat und alle Bürger Hamburgs von der Ladung vor das königliche Hofgericht; wenn sie selbst Recht suchten, könnten sie sich jedoch an das Hofgericht wenden
Sigismund, römischer König, allzeit Mehrer des Reichs, und König zu Ungarn,
Böhmen, Dalmatien, Kroatien etc.,431 in einem offenen Brief: habe angesichts der
Treue und der Dienste, die Bürgermeister, Rat und alle Bürger Hamburgs ihm und
dem Reich geleistet hätten und noch leisten würden, mit wohl bedachtem Rat das
Privileg erteilt, dass sie von niemandem, welchen Standes er auch sei, vor das königliche Hofgericht geladen werden dürften. Rat und Gemeinde dürften nur vor
dem Grafen von Holstein, einzelne Bürger aber nur vor den Richtern und dem Rat
zu Hamburg verklagt werden. Wem aber nachweislich sein Recht verweigert oder
verzögert werde, der könne sich an das Hofgericht wenden. Auch wenn der König
selbst die Hamburger vorlade, müssten sie der Vorladung Folge leisten. Siegelankündigung. Geben zu Olomuncz am nechsten donerstag nach sant Jorgen tag nach Crists
geburt vyerczehenhundert jar und dornach in dem eynundczwenczigistem jare unser reyche des Ungrischen etc. in dem XXXV, des Romischen in dem eylften und des Behemischen
in dem ersten jaren.
Diplomatische Erörterung: A: Pergament, große Plica mit einem an einem Pergament-
streifen befestigten, gut erhaltenen Majestätssiegel aus braunem Wachs, Kanzleivermerk auf der Plica: Ad mandatum domini regis Franciscus prepositus Boleslaviensis. Rückseite mit Vermerk: R[egistrata] Henricus Fye, dazu unten rechts l; auf
dem Pergamentstreifen: R[egistra]ta. 4. / C: Vidimus des Hinricus Stuve, senior residens,432 in Abwesenheit des Dekans, und des gesamten Kapitels der Hamburger
Kirche von 1550 August 12 (nach anderer Vorlage mit anderem Siegel).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. D 15. C = StAHH 710-1 I Threse I, Nr. Bb
5. D = Copiae Archivi.
Regest: Regesta Imperii XI, 1, 4516, S. 318; Ballheimer, 4, S. 8; Schütze, 422, S. 366.
431
König von Ungarn (seit 1387), römischer König (seit 1410/1411), Kaiser (1433–1437).
Zu ihm vgl. Johann Martin Lappenberg, Die milden Privatstiftungen zu Hamburg, Hamburg 1845,
S. 110.
432
302
Regesten der Jahre 14 00 –14 4 0
Edition: Reincke, Weg, 48, S. 137–138; Gruͤndtliche / auß den Rechten und Historischer
warhafften Bewandnuß genommene / auch mit Documenten und der Hambuͤrger selbst eygenen verschiedenen Confessionen, Bekaͤndnussen und HuͤldigungsGeluͤbden / comprobierte und bestetigte Remonstration. Dadurch der vor wenig
Monat / zu oͤffentlichen Druck spargierten Hambuͤrgischen / also anmaßlich
geruͤmbten Apologey Ungrund / angedeutet / und einem Jedwedern oͤffentlich
wird vor Augen gestellet […], Kopenhagen 1642 [1. Aufl.], Beylage Oo, S. 117–118.
272
1421 April 24. Olmütz.
1421.04.24 — B 18 [1] und [2]
272
Sigismund, römischer König, König zu Ungarn, Böhmen, Dalmatien, Kroatien etc., befreit Bürgermeister, Rat und alle Bürger der Stadt Hamburg aus der Acht, in die sie wegen Nichterscheinens vor dem Hofgericht geraten seien, sowie von allen Ansprüchen und stellt alle Privilegien der Stadt wieder her
Sigismund, römischer König, allzeit Mehrer des Reichs, und König zu Ungarn, Böhmen, Dalmatien, Kroatien etc.,433 in einem offenen Brief: zwar seien Bürgermeister,
Rat und alle Bürger der Stadt Hamburg wegen etlicher Mühlen und Gerichte, die
Lehen des Reiches seien, und wegen anderer Dinge durch seinen Erbkämmerer
Konrad von Weinsberg434 vor das Hofgericht geladen und wegen Nichterscheinens
in die Acht getan worden. Doch hätten sie zu ihm gesandt und seine Huld und
Gnade erworben, so dass er sie aus der Acht und von allen Ansprüchen befreie und
alle Privilegien der Stadt wiederherstelle. Daher gebiete er allen Fürsten, Herren
und Amtsträgern, Bürgermeister, Rat und Bürger Hamburgs wegen der Acht in
keiner Weise weiterhin aufzuhalten, zu belasten oder anzugreifen. Ankündigung
des Majestätssiegels. Geben zu Olomuͤ cz nach Crists geburt vierczehenhundert jare und
dornach in dem einundczweinczigistem jare am donerstag nach sant Jorgen tag unser riche
des Hungrischen etc. in dem funfunddrißigisten, des Romischen in dem eylften und des
Behemischen in dem ersten jaren.435
Diplomatische Erörterung: A1 und A2: zwei ähnliche Ausfertigungen, Pergament (A1
mit einigen Feuchtigkeitsflecken), Plica mit einem Einschnitt, mit einem kurzen
(A1) bzw. mit einem etwas längeren Pergamentstreifen (A2), das Majestätssiegel
aus braunem Wachs liegt lose bei, Kanzleivermerk auf der Plica: Ad mandatum
domini regis Franciscus prepositus Boleslaviensis. Rückseite mit Vermerk: R[egistrata]
Henricus Fye, dazu A (A1) bzw. M duplicatur (A2).
Überlieferung: A1 und A2 = StAHH 710-1 I Threse I, Nr. B 18 [1] und [2]. D = Copiae
Archivi.
433
König von Ungarn (seit 1387), römischer König (seit 1410/1411), Kaiser (1433–1437).
434
Konrad (IX.) von Weinsberg († 1448).
435
Transkription des Datums nach A1, A2 leicht abweichend.
1421 Mai 6. Hamburg.
303
Regest: Regesta Imperii XI, 1, 4517, S. 318.
Edition: Reincke, Weg, 46, S. 134–135.
273
1421 Mai 6. Hamburg.
1421.05.06 — Ss 50
273
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass Mechtildis, Witwe des Hamburger Bürgers Jacobus Vredebern, eine ewige Vikarie am Altar der hl. Agatha und Agnes im Dom mit Renten von 12 m. und 6 Morgen Landes in Hammerbrook ausstatten wolle, nehmen Rente und Besitz unter kirchlichen Schutz und errichten die Vikarie
Gherardus, Dekan,436 und das gesamte Domkapitel zu Hamburg in einem offenen
Brief: machen bekannt, dass vor ihnen Mechtildis, Witwe des Jacobus Vredebern,
Hamburger Bürgers, gesunden Körpers und klaren Geistes, erklärt habe, zu Ehren
Gottes und der Jungfrau Maria, zur Vermehrung des Gottesdienstes und für das
Seelenheil ihrer Vorfahren, Wohltäter und aller verstorbenen Gläubigen (pro suarum progenitorum ac benefactorum atque omnium fidelium defunctorum animarum salute) eine ewige Vikarie am Dom am Altar der hl. Jungfrauen Agathe und Agnes zu
Ehren derselben einrichten und unter Zustimmung ihrer Erben und Verwandten
mit folgenden Einkünften ausstatten zu wollen: 8 m. Renten im Erbe von Johannes Rodenborg in der Deichstraße (in der Dykstrate), zwischen den Erben von Heyno
van dem Haghen und Johannes Medingh, 6 Morgen Landes im Hammerbrok zwischen
dem Besitz des Heiliggeistspitals und von Tibbe, der Witwe Tymmos van Urden sowie
60 m., aus denen 4 m. Rente anfallen sollten, im Erbe von Nicolaus van Hacheden in
der Reichenstraße (in der Rykenstrate), zwischen den Erben von Tibbe, Witwe des
Ratsherrn Theodericus van dem Haghen,437 und des Albertus Gheverdes, wie aus den
Urkunden darüber klar hervorgehe. Mechtildis wünsche, dass abgelöste Renten
mit Zustimmung des Dekans und Kapitels durch andere Renten ersetzt würden.
Dekan und Domkapitel nehmen die gestifteten Einkünfte und Güter unter kirchlichen Schutz, errichten damit eine ewige Vikarie am Dom und verfügen dem Willen
der Mechtildis entsprechend, dass der Vikar oder Inhaber der Vikarie die fünfte
Messe in wechselnden Wochen für das Seelenheil der Vorfahren und Wohltäter der
Mechtildis feiern solle. Zudem solle der Vikar 4 m. der Renten jährlich um Juni 24
(circa festum nativitatis sancti Johannis Baptiste) und 4 m. der Renten zu Weihnachten
für die memoria der Vorfahren und Wohltäter am Dom geben. Dafür gebe Mechtildis dem Vikar jährlich zu den beiden Terminen jeweils 5 m. Mechtildis erhalte
auf Lebenszeit das Präsentationsrecht, danach ihr Verwandter Johannes Pynneberg,
Hamburger Bürger, und ihre männlichen und weiblichen Erben, auf insgesamt
100 Jahre. Siegelankündigung der Hamburger Kirche. Datum et actum Hamborch in
ecclesia nostra Hamburgensi sepedicta anno nativitatis domini millesimo quadringentesi436
Gherardus Balghe, Dekan 1421–1437.
437
Ratsherr 1399–1413.
30 4
Regesten der Jahre 14 00 –14 4 0
mo vicesimo primo, indictione quartadecima mensis Maii die sexta, hora quasi terciarum
pontificatus sanctissimi in christo patris et domini nostri domini Martini divina providente
clemencia pape quinti anno quarto. Zeugen: Johannes Plate und Georgius Soltwedel, ewige
Vikare der Hamburger Kirche, sowie Petrus Cristianus, öffentlicher Notar.
Diplomatische Erörterung: Großes Pergament mit einigen größeren Feuchtigkeitsfle-
cken, schmale Plica mit einem Pergamentstreifen, das Siegel fehlt. Rückseite mit
zwei Kanzleivermerken links unten, zeitgenössisch: Maiori ecclesie. Vicaria altaris
sanctorum Aghate et Agnetis virginum. Re[gistra]ta folio lxiiio. 1421, dazu jünger: Fundatrix Mechildis relicta quondam Jacobi Vredebern, Johann Pinnenberg jus patronatus
conservatum a fundatrice eiusque familiae ad 100 annos. Links oben durch Feuchtigkeitsfleck schwer lesbare Notiz: [Wisl… Wisselliamet].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ss 50. D = Copiae Archivi.
Erwähnung: Vonderlage, Domkapitel, S. 71.
274
1421 Juni 6. Hamburg.
1421.06.06 — Ee 57
274
Bürgermeister und Rat zu Hamburg an Bürgermeister, Schöffen und Rat der Stadt Gent: berichten über weitere Schädigungen Hamburger Bürger und listen Schiffe und Fracht
Bürgermeister und Rat zu Hamburg an Bürgermeister, Schöffen und Rat der Stadt
Gent: berichten über weitere Schädigungen Hamburger Bürger.
[1.] Die Seeländer hätten 1408 aus dem Schiff des Hartig von dem Hagene Bier von
Johan van dem Hues, Ludeke Sanckenstede und Johan Steenbeke sowie Leinwand von
Vicke Tamme genommen und nach Veere gebracht.
[2.] Gherd van Hemmeskerken und seine Gesellschaft hätten Hinrik Hemme 1414 April 8–14 (an der paschewekene) auf der Elbe Schiff und Gut im von 300 m. lüb. genommen und nach Wieringen gebracht.
[3.] Die Brieller hätten im Herbst 1418 die Schiffe des Wilke Bekendorpe, Marquert
Halleke und Diderik Sandowe mit Bier von Bernd Bisshorst genommen;
[4.] ebenso hätten sie aus dem Schiff des Jacob Weydelappe Güter von Hinrik van
Huetlem genommen.
[5.] Johan van Hemstede, Lodewich van Mundford, Daniel van Kralingen, zu dieser Zeit
Balli (baliu) zu Rotterdam, hätten 1418 Hinrik Koeting Kleidung und Tuch im Wert
von 56 pfd. gr. genommen.
[6.] Dem Ratsherrn Erik van Tzeven438 sei eine Tonne mit Paternostern aus Bernstein
im Wert von 180 m. lüb., die im Schiff des Gorieze van Schesle 1420 Dezember 25
untergegangen, dann aber geborgen worden sei, nach der Bergung zu Enkhuizen
entfremdet worden.
438
Ratsherr 1414–1450.
1421 Juli 4. Hamburg.
305
[7.] Wie die Schiffer Marquert Halleke und Ludeke Amelinghusen bezeugt hätten,
hätten die Brieller im Herbst 1418 das Schiff von Wilke Bekendorp angehalten, die
Rotterdamer die Schiffe von Diderik Sandow und Johan Wildestorp.
[8.] Wie Ghereke Nyeman und Vicke Brandenborch bezeugt hätten, hätten die Brieller
das Schiff von Marquert Halleke mit seinem Gut angehalten.
[9.] Die Schiffer Hermen Glashoef und Hinrik Roever hätten in der letzten Fasten den
Hafen Dokkum anlaufen müssen. Im Schiff von Hermen Glaeshove war Bier von
Werneke Borstelt, Arnd Bruns, Hermen van Tzeven, Johan Medingh, Brun Lutke, Wichman Gronewolt, Johan Borstelt, Bernd van der Heide und Vicke van der Heide; im Schiff
von Hinrik Roevere war Bier von Werneke Borstelt, Bruen Lutke, Ludeke van Eytzen,
Arnd Rike, Bernd van der Heide, Johan Borstelt und Vicke van der Heide.
[10.] Cord Krueseler sei durch Wilhem van Buschusen, Rentmeister zu Nordholland,
eine Kiste mit Leinwand aus dem Schiff des Tideke Cletze genommen worden, nachdem dieses von Ausliegern Herzog Johanns von Bayern, Graf von Hennegau, Holland und Seeland,439 1421 März 24 bei der Einnahme Dokkums mit Beschlag belegt
und benutzt wurde.
[11.] Von diesen Ausliegern sei Marquert Halleke ein Schiff genommen worden, für
das er 42 Arnheimsche gld. geben musste, um es frei zu bekommen, zudem verlor
er zwei Armbrüste im Wert von 4 Arnheimschen gld. und 14 sol. lüb.
Siegelankündigung Hamburgs. Gheven to Hamborg na Godes bord dusent veerhundert,
dar na in dem eenundetwintigesten jare des viten daghes in deme mante Junio.
Diplomatische Erörterung: Großes Pergament mit Faltung und einigen Feuchtigkeits-
flecken, breite Plica mit einem Einschnitt zur Anbringung eines Siegels, der Pergamentstreifen fehlt, das Hamburger Siegel liegt jedoch lose bei. Rückseite mit
dem Buchstaben E.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ee 57. D = Copiae Archivi.
Edition: HUB, 6, 373, S. 204–207.
275
1421 Juli 4. Hamburg.
1421.07.04 — Vv 12 b
275
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass Johannes van dem Haghen, Kleriker, eine ewige Vikarie am Altar Marias und des hl. Thomas von Canterbury in St. Katharinen mit Renten von 40 m. ausstatten wolle, nehmen Rente und Besitz unter kirchlichen Schutz und errichten die Vikarie
Gherardus, Dekan,440 und das gesamte Domkapitel zu Hamburg in einem offenen
Brief: machen bekannt, dass vor ihnen Johannes van dem Haghen, Kleriker der Mindener Diözese, gesunden Körpers und klaren Geistes, erklärt habe, zu Ehren Gottes
und der Jungfrau Maria, zur Vermehrung des Gottesdienstes und für das Seelen439
Johann III., Herzog von Bayern, Graf von Hennegau, Holland und Seeland (1417–1425).
440
Gherardus Balghe, Dekan 1421–1437.
306
Regesten der Jahre 14 00 –14 4 0
heil seiner Vorfahren, Wohltäter und aller verstorbenen Gläubigen (pro suorum
progenitorum ac benefactorum atque omnium fidelium defunctorum animarum salute)
eine ewige Vikarie an St. Katharinen am neu zu errichtenden Altar der Jungfrau
Maria und des hl. Thomas von Canterbury zu Ehren derselben errichten und diese mit Renten von 40 m. hamb. Pfennige ausstatten zu wollen, die jährlich aus
seinem Haus im Grimm (in platea dicta Grymme), gelegen zwischen den Erben des
Nicolaus van dem Wede und der Witwe des Johannes Eembeke gezahlt würden. Wenn
die Zahlungen einmal im Laufe der Zeit nicht ausreichten, sollten aus seinen Gütern neue Renten gekauft werden, damit die Ausstattung der Vikarie gewährleistet
bleibe. Wenn etwas von den Renten abgelöst werde, sollten sie mit Zustimmung
des Dekans und Kapitels durch neue Renten ersetzt werden. Dekan und Domkapitel nehmen die 40 m. Renten auf Bitten des Johannes unter kirchlichen Schutz und
errichten damit die Vikarie an St. Katharinen. Der Vikar oder Besitzer der Vikarie
solle dem Wunsch des Johannes entsprechend kontinuierlich am Ort der Vikarie
präsent sein und jede Woche mindestens drei Messen feiern, zum Seelenheil seiner
Eltern und Wohltäter, und den Gottesdiensten wie die anderen Geistlichen beiwohnen. Dies gelte aber nicht für Johannes selbst, der für die Vikarie präsentiert
werde, sondern nur für seine Nachfolger. Der Vikar solle jährlich um September 29
(circa festum sancti Michaelis) 2 m. im Chor des Doms geben, ebenso den Vikaren an
St. Katharinen 2 m. zur gewohnten Verteilung. Nach Johannes’ Tod erhielten der
Hamburger Bürger Conradus Molner und seine nächsten Erben auf bis zu 120 Jahre
das Präsentationsrecht, wenn möglich, für einen Verwandten von Johannes, wenn
dieser für die Priesterweihe geeignet sei, andernfalls für einen anderen geeigneten, armen Kleriker. Falls die Kinder Conrads versterben würden, sollten die Kirchgeschworenen von St. Katharinen unter bestimmten Bedingungen auf 120 Jahre
das Präsentationsrecht wahrnehmen. Siegelankündigung der Hamburger Kirche
und des Stifters. Datum et actum Hamborch in loco capitulari dicte ecclesie nostre anno
nativitatis domini millesimoquadrigentesimo vicesimo primo indictione quarta decima
mensis Julii die quarta hora quasi tercia pontificatus sanctissimi in Christo patris et domini
nostri domini Martini divina providente clemencia pape quinti anno quarto. Zeugen: Georgius Soltwedel und Tydericus Heydorn, ewige Vikare am Dom bzw. St. Petri.
Diplomatische Erörterung: Großes Pergament mit Feuchtigkeitsflecken, vor allem ent-
lang der Faltlinien, Plica teilweise zerstört, wohl bei der Entfernung des ersten
Siegels, dazu weiterer Einschnitt mt kurzem Pergamentstreifen, zweites Siegel
ebenfalls ab. Rückseite mit einem nahezu schwarzen Feld, der Außenseite der
gefalteten Urkunde, die möglicherweise angebrannt war (eventuell dadurch
1421 August 4. o. O.
307
Textverlust), daneben jüngerer Kanzleivermerk: Fundatio vicariae in eccle[sia] divae Catharinae ad alt[are] beate Mariae Virginis et Sancti Thomae Canthuariensis per
Johann von dem Haghen. 1421. Darunter mit Bleistift 7.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Vv 12 b. D = Copiae Archivi.
Erwähnung: Vollmers, Pfarreien, S. 579–580.
276
1421 August 4. o. O.
1421.08.04 — Y 13
276
Bürgermeister und Ratsherren der Stadt Stade bestätigen auf Bitten Hamburgs für die Stadt Gent die eidliche Aussage von Hermen van Righe, Albrecht Brytling, Godeke Lutteken und Stacies van Rentelen über Ereignisse in Amsterdam im April 1407
Bürgermeister und Ratsherren der Stadt Stade in einem offenen Brief, insbesondere an die Bürgermeister, Schöffen und Räte der Stadt Gent: machen bekannt, dass
vor ihnen die Ratssendeboten von Hamburg, Vicke van dem Hove, Ratsherr,441 und
Johannes van Wadenkote, Ratssekretär,442 erschienen seien und gebeten hätten, dass
sie das Zeugnis gewisser Personen bestätigten und der Stadt Gent unter ihrem Siegel mitteilten, da diese aus ernsthaften Gründen nicht selbst vor ihnen erscheinen
könnten. So hätten Hermen van Righe, Albrecht Brytling, Godeke Lutteken und Stacies
van Rentelen vor ihnen übereinstimmend beeidet, dass im Jahr 1407443 in der zweiten Woche nach Ostern (April 3–9) ein Bürger aus Monnikendam namens Keyser
den Hamburger Bürger Johann van dem Walle in Amsterdam erstochen hätte. Keyser sei danach in die Kirche geflohen, doch hätten seine Freunde ihn mit Gewalt
aus Amsterdam fortgebracht. Der Kaufmann von Hamburg hätte dies damals dem
Schultheißen dort, Heyne Orde, angezeigt, doch sei ihm kein Recht widerfahren.
Siegelankündigung Stades. Nach der bord unses Heren veerteynhundert yar indem een
unde twintigestem yare darna uppe den negesten mandach vor sunthe Laurencii dage des
hilgen mertelers.
Diplomatische Erörterung: Pergament mit Faltung, breite Plica mit einem an einem
Pergamentstreifen befestigten, größtenteils erhaltenen Siegel. Rückseite etwas
fleckig.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Y 13. D = Copiae Archivi.
Regest: HUB, 6, 390, S. 219.
441
Ratsherr seit 1416, Bürgermeister 1431–1442.
442
Ratssekretär 1416–1436.
443
Jahr aus 1406 korrigiert.
308
277
Regesten der Jahre 14 00 –14 4 0
1421 August 9. Hamburg.
1421.08.09 — Xx 47, W 42 b
277
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass Hinricus de Hachede, vormals Ratsherr zu Hamburg, und seine Frau Hillegundis eine ewige Vikarie in der Kapelle des Hamburger Rats mit Renten von 70 m. ausstatten wollten, unter dem Vorbehalt lebenslanger Nutzung, nehmen Rente und Besitz unter kirchlichen Schutz und errichten die Vikarie
Gherardus, Dekan,444 und das gesamte Hamburger Domkapitel in einem offenen
Brief: machen bekannt, dass Hinricus de Hachede, Hamburger Bürger, vormals Ratmann (olim consul Hamburgen[sis]),445 und seine Ehefrau Hillegundis zu ihrem Seelenheil und dem ihrer Vorfahren und Kinder zur Einrichtung und Ausstattung einer
ewigen Vikarie in der Kapelle des Hamburger Rates in der Marienkirche Renten
von 70 m. aus ihrem Erbe in der Reichenstraße (in platea divitum) geschenkt hätten,
gelegen zwischen den Erben des Hinricus de Lo und des Hinricus Meyger, jede m.
für 15 m. abzulösen, wie dies im Buch der Stadt Hamburg (in libro civitatis Hamburgensis) eingetragen sei, mit der Bedingung, dass Hinricus und Hillegundis die Einkünfte auf Lebenszeit einzeln oder gemeinsam voll für sich nutzen könnten. Auf
ihre Bitten hin hätten Dekan und Domkapitel die Gelder unter kirchlichen Schutz
genommen und damit eine ewige Vikarie am Altar St. Marien errichtet und ausgestattet. Nach ihrem Tode sollten 40 m. der genannten Vikarie zustehen, 30 m. aber
beiden Vikaren der genannten Kapelle. Von diesen würden mit Hilfe von Bürgermeistern und Rat bzw. der Kämmerer Hamburgs jeweils 15 m. in der Quatember
vor Weihnachten (Mittwoch bis Freitag nach Dezember 13), 15 m. in der Quatember in der Fastenzeit (Mittwoch bis Freitag vor Reminiscere) ausgezahlt, jeweils
1 d. jedem Armen zum Baden. Was übrig bliebe, sollten die Vikare unter sich gleich
aufteilen. Der Inhaber der neu errichteten Vikarie solle von seinen 40 m. jeweils
8 pfd. (d. h. 10 m.) jährlich an die Kanoniker und Vikare der Kirche verteilen, jeweils 2 pfd. an den Anniversarien von Hinricus und Hillegundis sowie jeweils 2 pfd.
am Freitag in der Quatember vor Weihnachten und in der Quatember in der Fastenzeit. An den Anniversarien solle der beiden durch Messen und Vigilien gedacht
werden, an allen vier Tagen solle das Grab des verstorbenen Hinricus de Hachede vor
der Kapelle, wo auch sie bestattet werden würden, mit angemessener Ausstattung
(so cum paramentis decentibus) besucht werden. Auch der andere Vikar der Kapelle,
Wernerus de Hachede, und seine Nachfolger sollten sich daran beteiligen. Der Vikar
der neu gestifteten Kapelle solle selbst oder durch einen anderen dreimal in der
Woche Messen zum Seelenheil von Hinricus und Hillegundis sowie ihrer Vorfahren, Wohltäter und Kinder feiern. Auf Bitten der Stifter solle das Patronats- und
Präsentationsrecht für die Vikarie durch den Hamburger Rat ausgeübt werden,
sobald diese nach dem Tod von Hinricus und Hillegundis vakant werde. Wie im
444
Gherardus Balghe, Dekan 1421–1437.
445
Ratsherr seit 1392 (†1422).
1421 Sep temb er 12 . Hamburg.
309
Stadtbuch zu 1421 festgehalten, solle der Rat ebenso bei Ablösung einzelner Renten andere sichere Ewigrenten erwerben. Siegelankündigung des großen Siegels
der Hamburger Kirche. Datum et actum in armario dicte ecclesie nostre anno nativitatis
domini millesimo quadringentesimo vicesimoprimo, in vigilia beati Laurencii martiris gloriosi.
Diplomatische Erörterung: Zwei Ausfertigungen. A1: Großes Pergament mit größeren
Löchern (vielleicht durch Mäusefraß) und entsprechenden Textausfällen entlang zweier Faltungen in der Mitte, an den Rändern sowie oben und unten, Plica
mit größerem, bis an den Text gehenden Ausriss, der möglicherweise bei der
Entfernung des Siegels entstanden ist. Auf der Rückseite in der Mitte von älterer
Hand: Vicaria maioris ecclesie in capella senatus. 1421. Dazu von jüngerer Hand: Reditus in libro civitatis inscripti 70 m. Daneben rechts älter: R[egistra]ta. / A2: Großes
Pergament, Plica mit einem an einem Pergamentstreifen, relativ gut erhaltenen
befestigten Siegel. Rückseite mit etwas jüngerem Kanzleivermerk in der Mitte:
Fundatio vicarie in summo in cappella senatus ibidem fundate per Hinricum de Hachede
et Allegundis sue uxoris. Dazu jünger: Ao. 1421. Unten: LL, auf dem Pergamentstreifen R[egistra]ta.
Überlieferung: A1 = StAHH 710-1 I Threse I, Nr. Xx 47. A2 = StAHH 710-1 I Threse I, Nr.
W 42 b. D = Copiae Archivi.
Erwähnung: Vollmers, Pfarreien, S. 250, Anm. 1241 (mit Auszug).
278
1421 September 12. Hamburg.
1421.09.12 — Ss 43, Ss 51
278
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass Nicolaus Schowenborch, ewiger Vikar zu Hamburg, eine Vikarie am Altar St. Annen im Dom mit Renten von 32 m. ausstatten wolle, nehmen Rente und Besitz unter kirchlichen Schutz und errichten die Vikarie
Gherardus, Dekan,446 und das gesamte Hamburger Domkapitel in einem offenen
Brief: sie machen bekannt, dass vor ihnen Nicolaus Schowenborch, ewiger Vikar der
Hamburger Kirche erschienen sei und in vollem Bewusstsein für sein Seelenheil,
das seiner Vorfahren und der Wohltäter am Altar St. Annen im Ostteil des Hamburger Doms eine Vikarie zu Ehren des Apostels Thomas und aller Apostel begründet
und unwiderruflich ausgestattet habe mit folgenden Renten: 14 m. beim Rat zu
Stade, 2 m. auf dem Erbe des Witte Hans in Itzehoe, 2 m. auf dem Hof und Gütern des
Tydericus Johannpeter in Jork im Alten Land, 5 m. auf dem Hof und Gütern des Henneke Brune in Glinde, 4 m. im gesamten Dorf Podendorf von Detlef Widzer in Itzehoe,
5 m. im Erbe des Hamburger Bürgers und Goldschmieds Hinricus Spyringh, wie mit
Urkunden belegt. Dazu übertrage Nicolaus der Kirche einen vergoldeten Kelch, ein
446
Gherardus Balghe, Dekan 1421–1437.
310
Regesten der Jahre 14 00 –14 4 0
Missale und zwei Paramente. Werde eine der Renten von insgesamt 32 m. abgelöst,
sollten Dekan und Kapitel eine entsprechende Rente neu ankaufen. Dekan und
Domkapitel nehmen die Schenkung des Nicolaus von 32 m. an Renten unter ihren
Schutz, richten eine Vikarie am St. Annenaltar ein und regeln die zu lesenden Messen. Der Vikar solle jeweils jährlich zu St. Katharinen 3 m. für die memoria des Nicolaus und seiner Eltern geben, zu Himmelfahrt 3 m. für die memoria des Nicolaus
und der Wohltäter der Vikarie und zur Geburt Mariens 4 m. für die memoria des Nicolaus, seiner Eltern und der Wohltäter. Weiter solle Nicolaus Schowenborch selbst
aus den Einkünften der Vikarie jährlich 8 m. erhalten, die Witwe Womele Pape jährlich 24 sol. und Ryklef Johansson eine Rente von 5 m. Nach dessen Tod solle Ryklefs
Vater Johann Ryklef, wenn er ihn überlebe, jährlich 2 m. bekommen. Zudem sollten
Alheyd, der Witwe des Böttchers Johann Hitveld, auf Lebenszeit 2 m. jährlicher Rente
gezahlt werden. Nach dem Tod Nicolaus Schowenborchs entfielen alle diese Zahlungen, so dass sie der Vikarie frei zur Verfügung ständen. Das Präsentationsrecht
für die Vikarie solle Nicolaus Schowenborch, solange er lebe, und danach dem camerarius laicus der Hamburger Kirche zustehen, mit Zustimmung von Dekan und
Kapitel. Nicolaus Schowenborch bestätigt seine Schenkungen. Siegelankündigung
Nicolaus Schowenborchs und der Hamburger Kirche. Datum et actum Hamburg in
loco capitulari dicte ecclesie anno nativitatis domini millesimo quadringentesimovicesimoprimo, indictione quartadecima, mensis septembris die duodecima, hora quasi terciarum,
pontificatus sanctissimi in Christo patris et domini nostri, domini Martini divina providente
clemencia pape quinti anno quarto […]. Zeugen: Johannes Elterstorp, Magister Hinricus
Scheppel de Berga, Werner Kusel und der öffentliche Notar der Vikare, Nikolaus Röper.
Diplomatische Erörterung: Zwei Ausfertigungen. A1: Großes Pergament mit mehre-
ren größeren Feuchtigkeitsflecken, Plica mit zwei Pergamentstreifen, an denen
aber nur noch das zweite, nur fragmentarisch erhaltene kleinere Siegel (wohl
des Nicolaus Schouwenborch) hängt. Rückseite mit Vermerk unten links: Maioris
ecclesie. Vicaria altaris Sancte Annae. Reg[istrata] folio xxxiio. 1421. Darunter korrigierte und schwer lesbare Zahl [7…]. Dazu unten in der Mitte von zwei Händen:
Vicarie altaris S. Anne est presentator camerarius, et presentabit succentorum adiiectum
vel seniorem choralem domino decano vel eius locumtenentem. Et redditus sunt 30 m.
cum calice, missale etc. [e brevi …]. / A2: Großes Pergament, mit einem größeren
Feuchtigkeitsfleck in der Mitte, Plica mit zwei an Pergamentstreifen eingehängten, größtenteils erhaltenen Siegeln. Rückseite mit einem älteren Vermerk: Maioris ecclesie. Vicaria altaris Sancte Anne. Reg[istrata] folio xxxiio. 1421. Darüber von
moderner Hand: per Nicolaum Schowenborch. 32 m. annuos redditus. Unten rechts:
ad Vic. 24.
1421 Ok tob er 16. [Segeb erg ].
311
Überlieferung: A1 = StAHH 710-1 I Threse I, Nr. Ss 43; A2 = StAHH 710-1 I Threse I, Nr.
Ss 51. D = Copiae Archivi (nach Ss 43).
Edition: Staphorst, I, 2, S. 174–177.
Regest: Schütze, 423, S. 366.
Erwähnung: Vonderlage, Domkapitel, S. 71.
279
1421 Oktober 16. [Segeberg].
1421.10.16 — Gg 30
279
Bürgermeister und Ratsherren der Stadt Segeberg an Bürgermeister und Ratsherren der Stadt Hamburg: berichten von einem Einbruch im Schloss in Segeberg unter dem verstorbenen Grafen Heinrich [III.] von Holstein
Bürgermeister und Ratsherren der Stadt Segeberg (Segheberge) an die Bürgermeister und Ratsherren der Stadt Hamburg: teilen ihnen in diesem offenen Brief mit,
dass Make Odden in das Schloss in Segeberg bei Nacht eingedrungen sei und dem
verstorbenen Grafen Heinrich447 einen Gefangenen weggeführt habe. Dieser sollte
ihm 600 m. und eine Last Honig (honneghes) geben, doch habe er dann 60 m. dafür
genommen. Er sei der eigene Knecht des Grafen (was unses heren brodetende knecht)
und sieben Jahre lang ein berüchtigter Mann und Verräter gewesen. Ankündigung
des Stadtsiegels. Gheven na Godes bord dusend yar veerhunderd yar darna in dem eenundetwyntichsten yare des donredages vor sůnte Lucas daghe.
Diplomatische Erörterung: Pergament mit Faltung, Plica mit einem relativ gut erhalte-
nen, großen Siegel in schwarzem Wachs an einem Pergamentstreifen.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 30. D = Copiae Archivi.
280
1421 November 16. Bremen.
1421.11.16 — Q 101
280
Johannes de Buren, Archidiakon von Hadeln und Wursten, beruft Ludolph Tuskouw zum ewigen Vikar am Altar St. Marien in der Grodener Kirche
Johannes de Buren, Archidiakon von Hadeln und Wursten, beruft auf Präsentation
des Pfarrherrn von Groden in der Bremer Diözese, Johannes Dannouw, Herrn Ludolph Tuskouw angesichts seines guten Rufes zum ewigen Vikar am Altar St. Marien in der Grodener Kirche, vakant nach dem Tod des Tidericus Lamberti, mit allen
dazugehörigen Rechten. Weist an, Ludolph oder seinen Vertreter in seine Rechte
einzusetzen. Siegelankündigung des Archidiakons. Datum Breme in curia habitacionis
nostre sub anno a nativitate domini millesimo quadringentesimo vicesimo primo indictione
xiiii die xvi mensis Novembris hora vesperorum vel quasi pontificatus sanctissimi in Christo patris et domini nostri domini Martini divina favente clemencia pape quinti anno eius
quinto [...]. Zeugen: Hinricus Spredow, ebdomadarius der Bremer Kirche, und Gotfried
Schellbort, Kleriker der Osnabrücker Diözese.
447
Heinrich III. (1388–1421), erwählter Bischof von Osnabrück, 1402–1410.
312
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Notariatsinstrument des Bertoldus Bradenkol de Vechta, Kle-
riker der Osnabrücker Diözese, Notar kaiserlicher Autorität, mit dessen Notariatszeichen. Etwas nachgedunkeltes Pergament mit Faltung, Plica mit einem an
einem Pergamentstreifen angehängten, nicht mehr erkennbaren Siegel. Rückseite am Rand quer: Collacio et institucio Ludolphi Tuschouwen. Dazu von anderer
Hand 14o21o.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Q 101. D = Copiae Archivi.
281
1422 August 2. o. O.
1422.08.02 — O 9
281
Vögte, Schließer, Ratgeber und ganze Gemeine des Landes Dithmarschen schwören den Herren von Hamburg und den Bürgern der Stadt wegen der Gefangennahme der Leute aus der Gesellschaft Abel Reymers Urfehde
Vögte, Schließer, Ratgeber und ganze Gemeine des Landes Dithmarschen in einem
offenen Brief: machen bekannt, dass sie die Herren von Hamburg und alle bei ihnen wohnenden Bürger um der Leute wegen, die sie von Abel Reymers448 und seiner
Gesellschaft festgehalten (affghehoben) hätten, niemals mehr schädigen wollten,
ebenso um der Schäden willen, die sie ihnen durch die Gefangennahme ihrer Leute
getan hätten, die sie auf ihre Burgen (slote) gebracht hätten. Sie wollten auch den
Hamburgern für alle Klagen, die diese gegen die Dithmarscher hätten, zu Recht
stehen. Siegelankündigung des gesamten Landes und der Kirchspiele. Screven na
Godes bord mo cccco in dem xxii jare, des neghesten daghes na sunte Peters daghe in den
arnen.
Diplomatische Erörterung: ---. Deperditum, Kriegsverlust [Auskunft des Archivs vom
25.10.2019].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. O 9. D = Copiae Archivi [danach hier].
Erwähnung: Ballheimer, 4, S. 13.
282
1422 September 10. Nürnberg.
1422.09.10 — D 13 a
282
Sigismund, römischer König, König zu Ungarn, Böhmen etc., an Bürgermeister, Ratsherren und alle Bürger der Stadt Lübeck: teilt ihnen mit, dass aufgrund einer Klage vor dem Hofgericht gegen die Bürgermeister, Ratsherren und alle Bürger der Stadt Hamburg die Acht und Aberacht des Reiches verhängt worden sei
Sigismund, römischer König, allzeit Mehrer des Reichs, König zu Ungarn, Böhmen
etc.,449 an Bürgermeister, Ratsherren und alle Bürger der Stadt Lübeck: teilt ihnen
mit, dass Conrat herre zu Winsperg, der Erbkämmerer des Reiches,450 vor dem Hofgericht gegen die Bürgermeister, Ratsherren und alle Bürger der Stadt Hamburg geklagt habe und dass daher über sie in rechtmäßigem Urteil die Acht und Aberacht
448
Dazu Dahlmann, Geschichte, S. 290–291.
449
König von Ungarn (seit 1387,) römischer König (seit 1410/1411), Kaiser (1433–1437).
450
Konrad (IX.) von Weinsberg († 1448).
1422 Sep temb er 10. Nürnb erg.
313
des Reiches verhängt worden sei, wie dies die darüber ausgestellten Urkunden
auswiesen. Weist sie an, den Hamburgern keinerlei Unterstützung zu gewähren
und mit ihnen keine Gemeinschaft zu pflegen, sondern Konrad von Weinsberg zu
unterstützen, bis die Hamburger in die Gnade des Reiches zurückkehrten. Geben
zu Nuremberg under desselben hofgerichte uffgedrucktem insigel nach Cristi geburt vierczehenhundert und in dem czweyundczwenczigesten jaren des nehsten donrstags nach Unser Lieben Frawen tag Nativitatis Marie zu latin, unser rihe des ungerischen etc. in dem
sechsunddryssigisten, des romischen in dem czwolfften und des behemischen in dem dritten
jaren.
Diplomatische Erörterung: A1: Dünnes, durchscheinendes Pergament mit Faltung,
rechts etwas beschädigt, rechts unter dem Text Nennung des ausstellenden Notars: Petrus Wacker. Rückseite mit Resten des großen Verschlusssiegels und zwei
senkrecht aufgeklebten Papierstreifen zur Stabilisierung. – Deperditum, nicht
auffindbar [nach Angabe des Archivs vom 2.8.2018], Foto erhalten und digitalisiert [danach hier]. A2: Pergament, unten mit Kanzleivermerk Petrus Wack[er],
Rückseite mit Resten des Verschlusssiegels.
Überlieferung: A1 = StAHH 710-1 I Threse I, Nr. D 13 a. A2 = AHL, 07.1-3/09 – Caesarea
139a.
Regest: Regesta Imperii XI, 1, 5193, S. 366.
283
1422 September 10. Nürnberg.
1422.09.10 — D 13 b
283
Sigismund, römischer König, König zu Ungarn, Böhmen etc., an die Herzöge Otto und Wilhelm von Braunschweig: teilt ihnen mit, dass aufgrund einer Klage vor dem Hofgericht gegen die Bürgermeister, Ratsherren und alle Bürger der Stadt Hamburg über 14 Jahren dieselbe Acht und Aberacht des Reiches verhängt worden sei wie einst gegen den Neuen Rat zu Lübeck
Sigismund, römischer König, allzeit Mehrer des Reichs, König zu Ungarn, Böhmen
etc.,451 an die Herzöge Otto und Wilhelm von Braunschweig:452 teilt ihnen mit, dass
Konrad von Weinsberg (Conrad herre zu Winsperg), Erbkämmerer des Heiligen Römischen Reichs,453 in seinem Namen die Bürgermeister, Ratsherren und alle Bürger
der Stadt Hamburg am Hofgericht verklagt habe, so dass sie in gerechtem Urteil
in dieselbe Acht und Aberacht getan worden seien, wie das einst dem Neuen Rat
in Lübeck geschehen sei, wie die vom Hofgericht ausgestellten Urkunden auswiesen. Er habe daher Bürgermeister, Rat und alle männlichen Bürger von Hamburg
über 14 Jahren in Acht und Aberacht getan (das wir dorumb dieselben burgermeistere,
ratmanne und burgere gemeinlich mannsgeslehte und uber viertzehen jare alte derselben
451
König von Ungarn (seit 1387), römischer König (seit 1410/1411), Kaiser (1433–1437).
Otto II. († 1463), Herzog von Braunschweig-Göttingen, und Wilhelm I. († 1482), Herzog von Braunschweig-Lüneburg.
452
453
Konrad (IX.) von Weinsberg († 1448).
314
Regesten der Jahre 14 00 –14 4 0
stat Hamburg in ahte und aberahte getan) und fordere die Empfänger auf, dass sie sich
selbst und auch ihre Untertanen daran hielten, bis die Hamburger wieder in die
Gnade des Reiches aufgenommen seien. Geben zu Nuremberg under desselben richs
hofgerichts uffgedruecktem insigel, nach Cristi geburt viertzehenhundert jar und dornach
in dem czweyundtzwentzigisten jaren des negsten donrstags nach Unser Lieben Frawen tag
Nativitatis Marie zu latin. Unser riche des Ungerischen etc. in dem sechsunddrissigisten,
des Romischen in dem czwelften und des Behemischen in dem dritten jaren.
Diplomatische Erörterung: Pergament mit Faltung und einigen Feuchtigkeitsflecken,
rechts unter dem Text Nennung des ausstellenden Notars: Petrus Wacker. Die
Rückseite mit Resten des Hofgerichtssiegels in braunem Wachs und mit zwei
dünnen, senkrecht aufgeklebten Papierstreifen zur Stabilisierung sowie rechts
unten mit der modernen Signatur in Bleistift: D 13 b.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. D 13 b.
Regest: Regesta Imperii XI, 1, 5191, S. 366.
284
1422 September 10. Nürnberg.
1422.09.10 — F 13
284
Sigismund, römischer König, König zu Ungarn, Böhmen etc., an Friedrich Landgrafen von Thüringen: teilt ihm mit, dass aufgrund einer Klage vor dem Hofgericht gegen die Bürgermeister, Ratsherren und alle Bürger der Stadt Hamburg über 14 Jahren dieselbe Acht und Aberacht des Reiches verhängt worden sei wie einst gegen den Neuen Rat zu Lübeck
Sigismund, römischer König, allzeit Mehrer des Reichs, König zu Ungarn, Böhmen etc.,454 an Friedrich Landgrafen von Thüringen:455 teilt ihm mit, dass Konrad
von Weinsberg (Conrad herre zu Winsperg), Erbkämmerer des Heiligen Römischen
Reichs,456 in seinem Namen die Bürgermeister, Ratsherren und alle Bürger der
Stadt Hamburg am Hofgericht verklagt habe, so dass sie in gerechtem Urteil in
dieselbe Acht und Aberacht getan worden seien, wie das einst dem Neuen Rat in
Lübeck geschehen sei, wie die vom Hofgericht ausgestellten Urkunden auswiesen.
Er habe daher Bürgermeister, Rat und alle männlichen Bürger von Hamburg über
14 Jahren in Acht und Aberacht getan (das wir dorumb dieselben burgermeistere, ratmanne und burgere gemeinlich mannsgeslechte und uber vierczehen jare alte derselben
stat Hamborch in aht und aberacht getan) und fordere die Empfänger auf, dass sie
sich selbst und auch ihre Untertanen daran hielten, bis die Hamburger wieder in
die Gnade des Reiches aufgenommen seien. Geben zu Nuremberg unde desselben richs
hofgerichts ufgedrucktem insigel, nach Cristi geburt vieczehenhundt und im xxiiten jaren
454
König von Ungarn (seit 1387), römischer König (seit 1410/1411), Kaiser (1433–1437).
455
Friedrich IV., Landgraf von Thüringen (1406–1440).
456
Konrad (IX.) von Weinsberg († 1448).
1422 Sep temb er 10. Nürnb erg.
315
des nechsten donrstags nach Unser Lieben Frawen tag Nativitatis zu latin, unser riche des
Ungerischen etc. in dem xxxviten, des Romischen in dem xiiten und des Behemischen in dem
dritten jaren etc.
Diplomatische Erörterung: Pergament mit Faltung und einigen Feuchtigkeitsflecken,
rechts unter dem Text Nennung des ausstellenden Notars: Petrus Wacker. Rückseite mit Resten des Hofgerichtssiegels in braunem Wachs, um das Siegel mit
dünnem Papier überklebt.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. F 13. D = Copiae Archivi.
Regest: Regesta Imperii XI, 1, 5192, S. 366.
285
1422 September 10. Nürnberg.
1422.09.10 — F 15
285
Sigismund, römischer König, König zu Ungarn, Böhmen etc., an Bürgermeister, Ratsherren und alle Bürger der Stadt Lüneburg: teilt ihnen mit, dass aufgrund einer Klage vor dem Hofgericht gegen die Bürgermeister, Ratsherren und alle Bürger der Stadt Hamburg über 14 Jahren dieselbe Acht und Aberacht des Reiches verhängt worden sei wie einst gegen den Neuen Rat zu Lübeck
Sigismund, römischer König, allzeit Mehrer des Reichs, König zu Ungarn, Böhmen
etc.,457 an Bürgermeister, Ratsherren und alle Bürger der Stadt Lüneburg (Lunemborch): teilt ihnen mit, dass Konrad von Weinsberg (Conrad herre zu Winsperg), Erbkämmerer des Heiligen Römischen Reichs,458 in seinem Namen die Bürgermeister,
Ratsherren und alle Bürger der Stadt Hamburg am Hofgericht verklagt habe, so
dass sie in gerechtem Urteil in dieselbe Acht und Aberacht getan worden seien,
wie das einst dem Neuen Rat in Lübeck geschehen sei, wie die vom Hofgericht
ausgestellten Urkunden auswiesen. Er habe daher Bürgermeister, Rat und alle
männlichen Bürger von Hamburg über 14 Jahren in Acht und Aberacht getan (das
wir dorumb dieselben burgermeistere, ratmanne und burgere gemeinlich mannsgeslechte
und uber vierczehen jare alte derselben stat czu Hamburg in ahte und aberaht getan) und
fordere die Empfänger auf, dass sie sich selbst und auch ihre Untertanen daran
hielten, bis die Hamburger wieder in die Gnade des Reiches aufgenommen seien.
Geben zu Nuremberg under desselben richs hofgerichts ufgedrucktem insigel nach Cristi
geburt vierczehenhundert und im czweyundczwenczigisten jaren des nehsten donrstags
nach Unser Lieben Frawen tag Nativitatis Marie zu latin, unser riche des Ungerischen etc.
in dem sechsuͤ nddriszigisten, des Romischen in dem czwolfften und des Behemischen in dem
dritten jaren.
457
König von Ungarn (seit 1387), römischer König (seit 1410/1411), Kaiser (1433–1437).
458
Konrad (IX.) von Weinsberg († 1448).
316
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergament mit Faltung und einigen Feuchtigkeitsflecken,
unter dem Text Nennung des ausstellenden Notars: Petrus Wacker. Rückseite mit
Resten des Hofgerichtssiegels in braunem Wachs sowie moderner Signatur in
Bleistift: F 15; rechts unten ein Pergamentstreifen über die Faltung geklebt.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. F 15. D = Copiae Archivi (mit zahlreichen
Korrekturen).
Regest: Regesta Imperii XI, 1, 5194, S. 366.
286
1422 November 11. Hamburg.
1422.11.11 — O 5 [1]
286
Bürgermeister, Ratsherren und ganze Gemeine zu Hamburg beurkunden ihre Einigung mit den Vögten, Schließern, Geschworenen, Ratgebern und der gesamten Gemeine Dithmarschens wegen aller Schäden, die die Dithmarscher Hamburger Bürgern oder Einwohnern angetan hätten, ebenso wegen des Unrechts, das den Dithmarschern durch die Hamburger geschehen sei
Bürgermeister, Ratsherren und ganze Gemeine zu Hamburg in einem offenen Brief:
machen bekannt, dass sie sich für sich und ihre Nachkommen und Einwohner mit
den Vögten, Schließern, Geschworenen, Ratgebern und der gesamten Gemeine
des Landes Dithmarschen wegen aller Schäden geeinigt hätten, wegen Strandraub,
Raub, Totschlag, Verwundungen, Gefangennahme, Gewalt, Unrecht und Behinderungen (zeevund, rof, dotslag, wunden, leemede, vengnisse, gewalt, unrecht, anevangh
unde hinder), die die Dithmarscher, lebende wie die bereits verstorbenen, Hamburger Bürgern oder Einwohnern zu Lande oder zu Wasser angetan hätten. Das gelte
ebenso für das Unrecht, das den Dithmarschern durch die Hamburger widerfahren
wäre, so auch jenen, die aus der Gesellschaft von Abel Reymers459 durch Helfer Hamburgs gefangen, in die Stadt gebracht und gerichtet, oder jenen, die als Geiseln und
wegen Kosten festgehalten worden seien. Die Hamburger und ihre Nachkommen,
Bürger und Einwohner, würden mit dieser Urkunde auf alle aus ihren Schäden erwachsenden Forderungen verzichten, Zwietracht, Fehde und Unwillen beenden.
Sie würden auf ewige Zeit auf Schritte gegen die Dithmarscher verzichten. Die den
Hamburgern in Dithmarschen gewährten Privilegien oder andere Urkunden sollten davon unberührt und ungemindert bleiben, sondern die beidseitigen Privilegien und Vereinbarungen sollten ihre volle Gültigkeit behalten. Die Vereinbarung
schließe auch jene ein, die dabei geholfen hätten, dass die Gesellschaft des Abel
Reymers gefangen, gerichtet oder in Gefangenschaft gehalten worden sei, ohne
weitere Forderungen durch das Land Dithmarschen. Bürgermeister und Ratsherren geloben für sich und ihre Nachkommen die Einhaltung der Vereinbarung. Siegelankündigung Hamburgs. Gheven to Hamborgh na Gades gebord dusent veerhundert
dar na in deme tweundetwintigesten jare in sunte Martens des hilgen bischopes.
459
Dazu Dahlmann, Geschichte, S. 290–291.
1422 Novemb er 11. o. O.
317
Diplomatische Erörterung: Zeitgenössische Abschrift auf Papier mit einer größeren
Korrektur. Doppelblatt, fol. 1r-2r beschrieben, beide Blätter mit Schäden und
Textausfällen entlang der Faltlinie. Bindung und fol. 2 restauriert. Auf fol. 1r am
Kopf modern: Thres. O.5. 1422 Nov. 11, auf fol. 2r unter der Urkunde Spuren eines
rasierten oder gelöschten Textes, auf fol. 2v unten mit Bleistift die moderne Signatur O 5.
Überlieferung: C = StAHH 710-1 I Threse I, Nr. O 5 [1]. D = Copiae Archivi.
Erwähnung: Ballheimer, 4, S. 13.
287
1422 November 11. o. O.
1422.11.11 — O 5 [2]
287
Vögte, Schließer, Geschworene, Ratgeber und gesamte Gemeine Dithmarschens beurkunden ihre Einigung mit Bürgermeistern, Ratsherren und der ganzen Gemeine zu Hamburg wegen des Unrechts, das den Dithmarschern durch die Hamburger geschehen sei, ebenso wegen des Unrechts, das die Dithmarscher Hamburger Bürgern oder Einwohnern angetan hätten
Vögte, Schließer, Geschworene, Ratgeber und die gesamte Gemeine des Landes
Dithmarschen in einem offenen Brief: machen bekannt, dass sie sich für sich und
ihre Nachkommen und Einwohner mit den Bürgermeistern, Ratsherren, Bürgern
und Einwohnern zu Hamburg wegen aller Schäden geeinigt hätten, wegen Totschlag, Verwundungen, Gefangennahme, Gewalt, Unrecht und Behinderungen
(dodslag, wunden, lemede, vengknisse, ghewald, unrecht, anevangh unde hinder), die den
Dithmarschern durch die Hamburger widerfahren wären, so auch jenen, die aus
der Gesellschaft von Abel Reymers460 durch Helfer Hamburgs gefangen, in die Stadt
gebracht und gerichtet, oder jenen, die als Geiseln und wegen Kosten festgehalten
worden seien. Das gelte ebenso für das Unrecht, das die Dithmarscher, lebende
wie die bereits verstorbenen, Hamburger Bürgern oder Einwohnern zu Lande oder
zu Wasser angetan hätten. Die Dithmarscher und ihre Nachkommen, Bürger und
Einwohner, würden mit dieser Urkunde auf alle aus ihren Schäden erwachsenden
Forderungen verzichten, Zwietracht, Fehde und Unwillen beenden. Sie würden auf
ewige Zeit auf Schritte gegen die Hamburger verzichten. Die den Hamburgern in
Dithmarschen gewährten Privilegien oder andere Urkunden sollten davon unberührt und ungemindert bleiben, sondern die beidseitigen Privilegien und Vereinbarungen sollten ihre volle Gültigkeit behalten. Die Vereinbarung schließe auch
jene ein, die dabei geholfen hätten, dass die Gesellschaft des Abel Reymers gefangen, gerichtet oder in Gefangenschaft gehalten worden sei, ohne weitere Forderungen durch das Land Dithmarschen. Vögte, Schließer, Geschworene, Ratgeber und die gesamte Gemeine des Landes Dithmarschen geloben für sich und ihre
460
Dazu ebd.
318
Regesten der Jahre 14 00 –14 4 0
Nachkommen die Einhaltung der Vereinbarung.461 Siegelankündigung Dithmarschens. Gheven na Gades bort dusent verhundert dar na in deme tweundetwintighesten
jare in sunte Mertens des hilghen biscopes.
Diplomatische Erörterung: Pergament mit zahlreichen Feuchtigkeitsflecken und gro-
ßen Textausfällen, ein Einschnitt unten, Pergamentstreifen und Siegel fehlen.
Rückseite modern mit Papier überklebt, mögliche Rückenvermerke nicht lesbar.
Auf dem aufgeklebten, etwas größer zugeschnittenen Papier von vorn die moderne Signatur und das Datum mit Tinte: Thres. O 5. 1422 Nov[r]. 11.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. O 5 [2]. D = Copiae Archivi.
Erwähnung: Johann Adolfi, Chronik, Anhang XIII, S. 635; Dahlmann, Geschichte,
S. 291.
288
1422 November 29. Hamburg.
1422.11.29 — Rr 45 b
288
Der Notar Siffridus Stevenshaghen bestätigt das Zeugnis des Ratsherrn Johann Cletze über eine im Buch des Rates eingetragene Rente von 20 m., die Seghebandus Stoer, Priester, zugehöre
In Gegenwart des Notars Siffridus Stevenshaghen sind erschienen Magister Seghebandus Stoer, Priester der Bremer Diözese, auf der einen, und Ratsherr Johann Cletze462
auf der anderen Seite. Johann erklärt auf Bitten des Seghebandus, dass er die jährliche Rente von 20 m. auf dem Erbe des Bernhard van Heyde in das Buch des Rates
von Hamburg habe eintragen lassen. Diese stehe Seghebandus zu, der diese Rente
für 300 m. Hamburger Pfennige von dem verstorbenen Hamburger Bürger Hermann van Bergen gekauft habe. Weder seine Nachfolger noch irgendwelche Gläubiger dürften die Zahlung behindern. Darüber hat Seghebandus das vorliegende
Notariatsinstrument anfertigen lassen. In nomine domini amen. Anno nativitatis eiusdem millesimo quadringentesimo xxii, indictione xv, mensis Novembris die penultima
pontificatus sanctissimi in Christo patris et domini nostri domini Martini pape quinta anno
eius sexto hora quasi tertiarum in ecclesia Hamburgensis Bremensis diocesis […]. Zeugen:
Ericus de Zeven463 und Johannes de Rode,464 Bürger und Ratsherren.
Diplomatische Erörterung: Notariatsinstrument des Siffridus Steuenshaghen, Kleriker
der Schweriner Diözese, Notar kaiserlicher Autorität, mit dessen Notariatszeichen. Großes, stark nachgedunkeltes, oben am Rand gewelltes und teilweise aus-
Das Regest orientiert sich an der Gegenurkunde Hamburgs, da die Dithmarscher Urkunde gerade
im zentralen Teil vielfach beschädigt ist.
461
462
Ratsherr seit 1411, hingerichtet 1427.
463
Ratsherr 1414–1450.
464
Ratsherr 1420–1443.
[1423 –14 43]. [Hamburg ].
319
gerissenes, im unteren Bereich faltiges Pergament mit Feuchtigkeitsflecken und
viel freiem Raum unterhalb der Beglaubigung durch den Notar, am Kopf modern
mit Tinte das Datum 1422 Nov. 29. Plica ohne Siegel, mit kopfstehender Aufschrift
Instrumentum recognitionis 20 marcarum redituum pertinentium ad vicariam theologicalem, dazu m. Auf der Rückseite in der Mitte (quer): Instrumentum recognitionis 20
marcarum redituum pertinentium ad vicariam theologicalem altaris Sancti Vincencii in
ecclesia Hamburgensis quem habet magister Hermannus de Hame.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Rr 45 b.
Edition: Meyer, Geschichte, LIX, S. 355–356.
289
289
Ausgabenrechnung der Mauritius-Bruderschaft an St. Katharinen
[1423–1443]. [Hamburg].
[1423–1443] — Vv 17
Ausgabenrechnung der Mauritius-Bruderschaft an St. Katharinen.465
Diplomatische Erörterung: Deperditum, zurzeit nicht ermittelbar [Auskunft des Ar-
chivs vom 25.10.2019].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Vv 17.
290
1423 Februar 2. o. O.
1423.02.02 — Cc 28
290
Bernd Roer und Clawes Roer, Vettern, schwören Urfehde gegenüber Erich [V.], Herzog von Sachsen, seinen Brüdern Bernhard [II.] und Otto, ihren Landen und Untertanen, sowie den Städten Lübeck, Hamburg und Lüneburg
Bernd Roer und Clawes Roer, Vettern, in einem offenen Brief: bekennen, dass sie gegenüber Erich [V.], Herzog von Sachsen, Engern und Westfalen, seinen Brüdern
Bernhard [II.] (Bernd) und Otto,466 ihren Landen und Untertanen, sowie den Bürgermeistern und Ratsherren der Städte Lübeck, Hamburg und Lüneburg, ihren Mitbürgern, Einwohnern und Helfern, eine vollständige, ewige Urfehde beschworen
hätten, für sich und alle Erben, Verwandten und Helfer, für die Gefangenschaft,
die sie in ihren Gefängnissen erfahren hätten, und sie von allen Mahnungen und
Schädigungen freisprächen. Auch wollten sie niemals mehr zu Feinden der Herzöge und der Städte werden, außer für ihren Erbherren (umme mynes erfbornen heren
willen), doch wollten sie dann auf ihre Urkunden verweisen und das Beste tun, was
sie könnten, damit ihr Gut und das des Kaufmanns nicht geschädigt würden. Bernd
Staphorst listet die Mauritius-Bruderschaft als 14. und letzte Bruderschaft in St. Katharinen, Staphorst, I, 3, S. 23; vgl. auch Gertrud Brandes, Die geistlichen Bruderschaften in Hamburg während
des Mittelalters, 3, in: Zeitschrift des Vereins für Hamburgische Geschichte 36 (1937), S. 65–110, hier
S. 108, danach eine Bruderschaft der Vikare.
465
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), Bernhard II., Herzog von Sachsen-Lauenburg
(1436–1463), Otto († vor 1431).
466
320
Regesten der Jahre 14 00 –14 4 0
Roer und Clawes Roer beschwören ihre Zusagen. Olde Clawes Roer, junghe Clawes Roer
und Hans Roer, wohnhaft auf Meyenburg (to der Meygenborch), bestätigen die Eidesleistung und bürgen mit gesamter Hand für die Einhaltung. Wenn die Urfehde
gebrochen würde, sollten sie sich innerhalb von acht Tagen nach einer Mahnung
durch die Herren oder Städte zum Einlager in Hamburg einfinden und dort bleiben, bis sie sich mit Bürgermeister und Rat von Hamburg sowie den Herren und
anderen Städten geeinigt hätten. Siegelankündigung der beiden Aussteller sowie
der Bürgen. Geschreven in den yaren unses Heren dusent veerhundert dreundetwintich
des dinxedaghes Unser Leven Vruwen Lychtmissen.
Diplomatische Erörterung: Pergament mit einigen Feuchtigkeitsflecken, Plica mit fünf
an Pergamentstreifen angehängten kleineren Siegeln (das zweite und dritte Siegel lose). Rückseite mit Kanzleivermerk Mitte rechts: Ene Orvede van wegen Bernd
unde Clawes gheheten de Roer. 1423. Darunter Zahl 8) [aus 1 korrigiert] und jünger
[dies Mercurii] Lichmiss.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 28. D = Copiae Archivi.
Regest: UB Stadt Lübeck, 6, DIV, 1, S. 511.
291
1423 Februar 2. o. O.
1423.02.02 — Cc 29
291
Kone van Redestorp schwört Urfehde gegenüber Erich [V.], Herzog von Sachsen, seinen Brüdern Bernhard [II.] und Otto, ihren Landen und Untertanen, sowie den Städten Lübeck, Hamburg und Lüneburg
Kone van Redestorp in einem offenen Brief: bekennt, dass er gegenüber Herzog Erich [V.], Herzog von Sachsen, Engern und Westfalen, seinen Brüdern Bernhard [II.]
(Bernd) und Otto,467 ihren Landen und Untertanen, sowie den Bürgermeistern und
Ratsherren der Städte Lübeck, Hamburg und Lüneburgern, ihren Mitbürgern, Einwohnern und Helfern, eine vollständige, ewige Urfehde beschworen habe, für sich
und alle Erben, Verwandten und Helfer, für die Gefangenschaft, die er in ihrem Gefängnis erfahren habe, und sie von allen Mahnungen und Schädigungen freispräche. Auch wollte er niemals mehr zu Feinden der Herzöge und der Städte werden,
außer für seinen Erbherren (umme mynes erfbornen heren willen), doch wolle er dann
auf seine Urkunden verweisen und das Beste tun, was er könne, damit ihr Gut und
das des Kaufmanns nicht geschädigt würden. Kone beschwört seine Zusagen. Hans
von Redestorp, anders gheheten Monck von Redestorp, Hans van Redestorp und Hynrik
van Redestorp, wohnhaft auf der Nygenborch, bestätigen die Eidesleistung und bürgen mit gesamter Hand für die Einhaltung. Wenn die Urfehde gebrochen würde,
sollten sie sich innerhalb von acht Tagen nach einer Mahnung durch die Herren
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), Bernhard II., Herzog von Sachsen-Lauenburg
(1436–1463), Otto († vor 1431).
467
1423 Februar 2 . o. O.
321
oder Städte zum Einlager in Hamburg einfinden und dort bleiben, bis sie sich mit
Bürgermeister und Rat von Hamburg sowie den Herren und anderen Städten geeinigt hätten. Siegelankündigung des Ausstellers sowie der Bürgen. Ghescreven in
den jaren unses Heren dusent veerhundertdreeundetwyntich des dinxedaghes Unser Lyven
Vrowen Lichtmissen.
Diplomatische Erörterung: Pergament mit zahlreichen Feuchtigkeitsflecken und sehr
blassen, bis unleserlichen Stellen, Plica mit vier an teilweise restaurierten Pergamentstreifen angehängten kleineren, nicht mehr erkennbaren Siegeln. Plica
und Rückseite mit dickem Papier überklebt, eventuelle Kanzleivermerke sind
daher nicht mehr erkennbar.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 29. D = Copiae Archivi [danach wegen
des Zustands der Urkunde im Wesentlichen hier].
Regest: Lehe, Fehden, S. 165; UB Stadt Lübeck, 6, DIV, 3, S. 511.
292
1423 Februar 2. o. O.
1423.02.02 — Cc 30
292
Bernd Roer und Clawes Roer, Vettern, machen bekannt, dass sie sich auch für ihre Knechte Hans Lobeken, anders gheheten Wynterveld, Ernst Mund, Vrittze Trebbow, Arnd Mollendorp, Herman Cremon, Hennyngh Wyndewand, Gherke Herbrecht, Hans Vasta und Henneke Hulsebeken, die mit ihnen im Gefängnis der Stadt Hamburg gesessen hätten, mit den vom Rat beauftragten Ratsherren über eine Lösegeldzahlung von 400 m. lüb. für ihre Freilassung geeinigt hätten
Bernd Roer und Clawes Roer, Vettern, in einem offenen Brief: machen bekannt, dass
sie sich auch im Namen ihrer Knechte Hans Lobeken, anders gheheten Wynterveld,
Ernst Mund, Vrittze Trebbow, Arnd Mollendorp, Herman Cremon, Hennyngh Wyndewand,
Gherke Herbrecht, Hans Vasta und Henneke Hulsebeken, die mit ihnen im Gefängnis
von Bürgermeistern und Ratsherren der Stadt Hamburg gesessen hätten, mit den
vom Rat beauftragten Ratsherren Bernd Coldouwe468 und Clawes Meyer469 über eine
Lösegeldzahlung (schattinge) für ihre Freilassung geeinigt hätten. Sie hätten geschworen und würden mit der Urkunde beschwören, dass sie dem Rat oder seinen
Beauftragten ohne Verzögerung 400 m. lüb. zahlen würden, 200 m. am nächsten
September 29 (to sunte Michaelisdaghe erst komende) und 200 m. November 11 (to
sunte Mertens daghe darna). Würden sie nicht zahlten, müssten sie in die Herberge
beim Haus von Hans Bere gehen und könnten daraus nicht ohne Zustimmung des
Rats befreit werden. Die Aussteller geloben die Einhaltung ihrer Zusagen. Es bürgen mit gesamter Hand Helmeld van Plesse, Ritter, Ghodewerd van Plesse, Knappe zu
Lubicz, Henneke Plesse zu Mutzelmow und Werner von der Schulenborch zu Betzendorp,
Knappen. Würden Bernd und Clawes Roer versterben oder fliehen, müssten die
468
Ratsherr 1421–1427.
469
Ratsherr 1421–1443.
322
Regesten der Jahre 14 00 –14 4 0
Bürgen nach Hamburg ins Einlager kommen. Siegelankündigung der Aussteller
und der Bürgen. Screven in den yaren unses Heren dusent veerhundert dreundetwintich
des dinxdaghes an Unser Leven Vruwen daghe Lychtmissen.
Diplomatische Erörterung: Großes Pergament mit Faltung, Plica mit sechs an Perga-
mentstreifen befestigten, relativ gut erhaltenen Siegeln. Rückseite rechts unten
mit zeitgenössischer Kanzleinotiz: Schattinghe eetliker guden manne, de ghevanghen
werden. 1423.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 30. D = Copiae Archivi.
Regest: Lehe, Fehden, S. 164; UB Stadt Lübeck 6, DIV, 2, S. 511.
293
1423 Februar 2. o. O.
1423.02.02 — Gg 31 (1)
293
Hans Hesselstorp, Knappe, bekennt, auch für seine Knechte Vicko Smylow und Clawes Preen, dass er sich mit den vom Rat beauftragten Ratsherren über eine Lösegeldzahlung von 100 m. lüb. für ihre Freilassung geeinigt hätte, und gelobt sich bei Nichtzahlung zum Einlager einzufinden
Hans Hesselstorp, Knappe, in einem offenen Brief: bekennt, dass er mit seinen
Knechten Vicko Smylow und Clawes Preen in Hamburg in Gefangenschaft war, bis
er sich mit den Ratsherren Bernd Koldouwe470 und Clawͤ s Meyger471 geeinigt und mit
seinen Knechten gelobt habe, dem Rat oder seinen Bevollmächtigten als Lösegeld
(schattinge) 100 m. lüb zu zahlen, 50 m. 1423 September 29 (to sunte Michaelis daghe
erst tokomende), 50 m. November 11 danach (to sunte Mertens daghe dar na). Wenn
er nicht zahle, müsse er sich wieder in Hamburg einfinden, in der Herberge beim
Haus von Hans Worm bleiben und dürfe sie nur mit Zustimmung des Rates verlassen. Hans Hesselstorp gelobt für sich und seine Knechte die Einhaltung. Clawes van
Reystorpe von der Nienburg (wonaftig to der Nygenborch), Albrecht Wardenberch von
Rosenhaghen und Ebel Mollendorp von Cranner, Knappen, bürgen mit gesamter Hand.
Falls Hans versterbe oder fliehe und das Geld nicht gezahlt worden sei, müssten
sich die Bürgen in Hamburg ins Einlager begeben. Siegelankündigung des Ausstellers und der Bürgen. Gheschreven in den jaren unses Heren dusent veerhundert dreundetwintich, des dinxedaghes an Unser Leven Vruwen daghe Lychtmissen.
Diplomatische Erörterung: Pergament mit Faltung, Plica mit vier an Pergamentstrei-
fen angehängten, teilweise gut erhaltenen Siegeln. Ein Teil der Rückseite etwas
nachgedunkelt.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 31 (1). D = Copiae Archivi.
Regest: Lehe, Fehden, S. 164; UB Stadt Lübeck, 6, DIV, 5, S. 511.
470
Ratsherr 1421–1427.
471
Ratsherr 1421–1443.
1423 Februar 2 . o. O.
294
323
1423 Februar 2. o. O.
1423.02.02 — Gg 31 (4)
294
Hans Hesselstorp, Knappe, schwört Urfehde gegenüber Erich [V.], Herzog von Sachsen, seinen Brüdern Bernhard [II.] und Otto, ihren Landen und Untertanen, sowie den Städten Lübeck, Hamburg und Lüneburg
Hans Hesselstorp, Knappe, in einem offenen Brief: bekennt, dass er gegenüber Herzog Erich [V.] von Sachsen, Engern und Westfalen, seinen Brüdern Herzöge Bernd
und Otto,472 ihren Landen, Leuten und Untertanen, sowie Bürgermeistern und
Ratsherren der Städte Lübeck, Hamburg und Lüneburg, ihren Mitbürgern, Einwohnern, Dienern, Untersassen und Verteidigern für sich und seine Erben, Verwandten und Helfer seiner Gefangenschaft wegen eine feste Urfehde (eyne rechte, ware,
wullenkomene, ewyghe orveyde) gelobt habe. Er würde auch für seine Erben, Herren
und Verwandte, geistlich und weltlich, auf alle Forderungen verzichten. Er werde
niemals mehr Feind der Herzöge von Sachsen, Lübecks, Hamburgs und Lüneburgs
und der Ihren werden, außer für seinen Erbherren, und selbst dann wolle er sich
um Wahrung der Urfehde bemühen. Er werde sich um das Beste der Herzöge und
Städte bemühen und nicht gegen sie oder den Kaufmann vorgehen, der die Lande
besuche. Hans Hasselstorp gelobt die Einhaltung der Zusagen. Achym Hesselstorp
von Nygenkerken, Frederik Hesselstorp von Schonenberge und Vrytze Hesselstorp von
Lichtervelde bezeugen die Eidesleistung von Hans und bürgen für die Einhaltung.
Würde die Urfehde gebrochen und einer der Bürgen oder alle gemahnt, würden
sie innerhalb von acht Tagen in Hamburg einreiten und erst wieder nach einer Einigung mit den Bürgermeistern und Ratsherren von Hamburg, Lübeck und Lüneburg freikommen. Siegelankündigung des Ausstellers und der Bürgen. Gescreven in
den jaren unses Heren dusent veerhundert dreundetwintich, dex dinxedaghes Unser Leven
Vrowen Lichmissen.
Diplomatische Erörterung: Großes Pergament mit zwei größeren Löchern rechts an der
Faltung und einigen Textverlusten, Plica mit vier an Pergamentstreifen befestigten, teilweise gut erhaltenen Siegeln. Rückseite mit einem jüngeren Vermerk in
der Mitte: Orveyde Hans Hesselstorps Ao. 1423.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 31 (4). D = Copiae Archivi [als Gg 31
(2)].
Regest: UB Stadt Lübeck, 6, DIV,4, S. 511.
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), Bernhard II., Herzog von Sachsen-Lauenburg
(1436–1463), Otto († vor 1431).
472
324
295
Regesten der Jahre 14 00 –14 4 0
1423 Februar 4. o. O.
1423.02.04 — Cc 25
295
Hans van Hidsacker der Jüngere schwört Urfehde gegenüber Erich [V.], Herzog von Sachsen, seinen Brüdern Bernhard [II.] und Otto, ihren Landen und Untertanen, sowie den Städten Lübeck, Hamburg und Lüneburg
Hans van Hidsacker der Jüngere macht bekannt, dass er gegenüber Herzog Erich [V.]
von Sachsen, Engern und Westfalen, seinen Brüdern, den Herzögen Bernd und Otto,473 ihren Landen, Leuten, Knechten und Untertanen, den Bürgermeistern und
Ratsherren der Städte Lübeck, Hamburg und Lüneburg, ihren Mitbürgern, Einwohnern, Dienern, Untertanen und Verteidigern wegen seiner Gefangenschaft für sich
und seine Erben eine feste Urfehde (eyne rechte, vullenkomene, ware, ewyge orveyde)
gelobt habe. Er würde für sich, seine Erben, Herren und Verwandten, geistlich und
weltlich, auf alle Forderungen verzichten und niemals mehr Feind der Herzöge von
Sachsen, Lübecks, Hamburgs und Lüneburgs und der Ihren werden, es sei denn
wegen seines Herren, aber auch dann werde er sich um Einhaltung bemühen. Er
werde das Beste der Herren und Städte anstreben und nicht gegen sie oder den
Kaufmann vorgehen, der die Lande, Städte und Gebiete besuche, da sie ihm nur
Gunst erwiesen hätten. Hans gelobt die Einhaltung der Zusagen. Hans van Hidzacker der Ältere und Albert van Hidzacker, Knappen, bezeugen die Eidesleistung und
bürgen für die Einhaltung. Werde die Urfehde aber gebrochen, sollten sie sich alle
innerhalb von acht Tagen nach einer Mahnung zum Einlager in Hamburg einfinden und bleiben, bis sie sich mit den Ratsherren Hamburgs, den Herzögen und den
Städten Lübeck und Lüneburg geeinigt hätten. Siegelankündigung des Ausstellers
und der Bürgen. Ghescreven in den jaren unses Heren dusent verhundert dre unde twintigh am donredage na Unser Leven Vrowen daghe Lichtmissen.
Diplomatische Erörterung: Pergament mit zahlreichen Feuchtigkeitsflecken, blassen
Stellen und kleineren Textausfällen entlang der Faltlinie, Plica mit drei Schlitzen, an denen aber nur noch zwei unterschiedlich gut erhaltene Siegel mit Pergamentstreifen befestigt sind (das erste und das dritte), das mittlere Siegel und
der Pergamentstreifen fehlen. Rückseite rechts der Kanzleivermerk: Orveide
Hanss van Hitzacker cum suis complicibus. 1423, dazu jünger: [dies Jovis] p[ost] Lichtmissen und 8).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 25. D = Copiae Archivi.
Regest: UB Stadt Lübeck, 6, DIV, 7, S. 511.
Erwähnung: Ballheimer, 4, S. 12.
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), Bernhard II., Herzog von Sachsen-Lauenburg
(1436–1463), Otto († vor 1431).
473
1423 Februar 4. o. O.
296
325
1423 Februar 4. o. O.
1423.02.04 — Cc 26
296
Johan van Hittzacker, Knappe, macht bekannt, dass er sich mit den vom Rat beauftragten Ratsherren über eine Lösegeldzahlung von 60 m. lüb. für seine Freilassung geeinigt habe
Johan van Hittzacker, Knappe, in einem offenen Brief: bekennt, dass er in Hamburg
in Gefangenschaft war, bis er sich mit den Ratsherren Bernd Coldouwe474 und Claus
Meyger475 geeinigt und gelobt habe, dem Rat oder seinen Bevollmächtigten als sein
Lösegeld (myne schattinge) 60 m. lüb. zu zahlen, 30 m. 1423 September 29 (to sunte
Michaelis dage erst komende), 30 m. November 11 danach (to sunte Mertens daghe dar
na). Wenn er nicht zahle, müsse er sich wieder in Hamburg einfinden, in der Herberge beim Haus von Claus Hagedorn bleiben und dürfe sie nur mit Zustimmung des
Rates verlassen. Johan gelobt die Einhaltung. Werner von dem Berge, Ritter, Hartwich
van Bulow und Hans van dem Knesbeke, Knappen, bürgen mit gesamter Hand. Falls
Hans versterbe oder fliehe und das Geld nicht gezahlt worden sei, müssten sich
die Bürgen in Hamburg ins Einlager begeben. Siegelankündigung des Ausstellers
und der drei Bürgen. Ghescreven in den jaren unses Heren dusent veerhundert dre unde
twintich am donredage na Unser Leven Frowen dage Lechtmissen.
Diplomatische Erörterung: Am rechten Rand etwas rund geschnittenes Pergament mit
Faltung, Plica mit vier an Pergamentstreifen angehängten, unterschiedlich erhaltenen Siegeln. Rückseite in der Mitte nachgedunkelt.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 26. D = Copiae Archivi.
Regest: Lehe, Fehden, S. 165; UB Stadt Lübeck, 6, DIV, 6, S. 511.
297
1423 Februar 4. o. O.
1423.02.04 — Cc 27
297
Kersten Wardenberch schwört Urfehde gegenüber Erich [V.], Herzog von Sachsen, seinen Brüdern Bernhard [II.] und Otto, ihren Landen und Untertanen, sowie den Städten Lübeck, Hamburg und Lüneburg
Kersten Wardenberch macht bekannt, dass er gegenüber Herzog Erich [V.] von Sachsen, Engern und Westfalen, seinen Brüdern, den Herzögen Bernd und Otto,476 ihren
Landen, Leuten, Knechten und Untertanen, den Bürgermeistern und Ratsherren
der Städte Lübeck, Hamburg und Lüneburg, ihren Mitbürgern, Einwohnern, Dienern, Untertanen und Verteidigern wegen seiner Gefangenschaft für sich und seine Erben eine feste Urfehde (eyne rechte, vullenkomene, ewyge orveyde) gelobt habe.
Er würde für sich, seine Erben, Herren und Verwandten, geistlich und weltlich, auf
alle Forderungen verzichten und niemals mehr Feind der Herzöge von Sachsen,
Lübecks, Hamburgs und Lüneburgs und der Ihren werden, es sei denn wegen sei-
474
Ratsherr 1421–1427.
475
Ratsherr 1421–1443.
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), Bernhard II., Herzog von Sachsen-Lauenburg
(1436–1463), Otto († vor 1431).
476
326
Regesten der Jahre 14 00 –14 4 0
nes Herren, aber auch dann werde er sich um Einhaltung bemühen. Er werde das
Beste der Herren und Städte anstreben und nicht gegen sie oder den Kaufmann
vorgehen, der die Lande, Städte und Gebiete besuche, da sie ihm nur Gunst erwiesen hätten. Kersten gelobt die Einhaltung der Zusagen. Allebrecht Wardenberg
von Rosenhaghen und Hans Wardenberch [bezeugen die Eidesleistung und bürgen für
die Einhaltung].477 Werde die Urfehde aber gebrochen, sollten sie sich einzeln oder
gesamt innerhalb von acht Tagen nach einer Mahnung zum Einlager in Hamburg
einfinden und bleiben, bis sie sich mit den Ratsherren Hamburgs, den Herzögen
und den Städten Lübeck und Lüneburg geeinigt hätten. Siegelankündigung des
Ausstellers und der Bürgen. Ghescreven in den jaren unses Heren dusent veerhundert
dre unde twintigh, des dunredaghes Unser Leven Vrowen Lichtmissen.
Diplomatische Erörterung: Pergament mit vielen Feuchtigkeitsflecken, zahlreichen
stark verblassten Stellen und erheblichen Textausfällen. Plica und Rückseite mit
dickem Papier überklebt (deshalb keine Vermerke auf der Rückseite erkennbar),
Plica mit zwei Schlitzen und zwei daran befestigten Pergamentstreifen, die Siegel fehlen.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 27. D = Copiae Archivi [danach hier
ergänzt].
Regest: Lehe, Fehden, S. 165; UB Stadt Lübeck, 6, DIV, 8, S. 511.
298
1423 März 4. Rom.
1423.03.04 — Pp 105
298
Die Kardinäle Angelus, Bischof von Praeneste, Antonius, titulo S. Susanne, Priester der Kirche von Aquileja, und Ludovicus de Flisco, Diakon von St. Hadrian, machen bekannt, dass sie den Besuchern des Mariendoms zu Hamburg für bestimmte Festtage einen Ablass von 300 Tagen gewährt hätten
Die Kardinäle Angelus, Bischof von Praeneste,478 Antonius, titulo S. Susanne, Priester
der Kirche von Aquileja,479 und Ludovicus de Flisco, Diakon von St. Hadrian,480 in einem offenen Brief: sie machen bekannt, dass sie zu Ehren und zur Vermehrung
der Besucher der Marienkirche zu Hamburg den Büßenden und Beichtenden, die
zu Weihnachten, zur Beschneidung des Herrn, zu Epiphanias, Karfreitag, Ostern,
Pfingsten, Trinitatis und Fronleichnam wie zu den Marienfesten, der Geburt Johannes des Täufers, der Auffindung und Erhöhung des heiligen Kreuzes, zu den
Festtagen des Petrus, Paulus, Andreas, der Evangelisten Johannes und Matthäus,
der Märtyrer Laurentius und Georg, der Bekenner Ambrosius, Martin und Nicolaus,
Diese Stelle war schon im 19. Jahrhundert kaum noch lesbar, deshalb hier nach den Parallelurkunden.
477
478
Angelus de Anna de Summaripa, „Laudensis“, Kardinal, 1384–1428.
479
Antonius Pancerinus de Portugruaro, Kardinal 1411–1431.
480
Ludovicus de Flisco, Kardinal, 1384–1423 (April 3).
1423 Mär z 7. Hamburg.
327
der heiligen Maria Magdalena, Katharina, Elisabeth und Lucia und aller Heiligen,
denen die Kirche geweiht sei, sowie zum Weihetag der Kirche sowie an allen Oktaven zur Marienkirche kommen, am Abendmahl teilhaben oder zu dessen Erhalt
durch Spenden beitragen, einen Ablass von 300 Tagen gewährt hätten. Ankündigung der drei Siegel. Datum Rome anno a nativitate domini millesimo quadringentesimo
vicesimotercio die vero quarta mensis Marcii pontificatus sanctissimi in Christo patris et
domini nostri domini Martini divina providencia pape quinti anno sexto.
Diplomatische Erörterung: Etwas nachgedunkeltes Pergament mit Löchern und gerin-
gen Textausfällen entlang der Faltlinie in der Mitte; Plica mit drei eingehängten
Schnüren, an denen aber nur ein sehr bruchstückhaft erhaltenes, restauriertes
Siegel (das dritte) befestigt ist. Auf der Rückseite: Relaxantur tricenti dies. Indulgen[tia …] in pluribus festivitatibus. 1423.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Pp 105. D = Copiae Archivi.
299
1423 März 7. Hamburg.
1423.03.07 — X 11
299
Gherardus, Dekan, und das Domkapitel zu Hamburg vidimieren eine Urkunde von 1384 Juni 10 (Nr. N5), machen bekannt, dass der Ratsherr Hinricus Hoyer, sein Bruder Albert sowie ihre Schwester Abele, Witwe Hilmar Lopows, zwei einst von Albertus Hoyer gestiftete Vikarien an St. Nicolai angesichts von Verlusten zusätzlich mit Renten von 52 m. und Kapital von 40 m. ausstatten wollten, nehmen Renten und Kapital unter kirchlichen Schutz und statten die Vikarien mit den zusätzlichen Mitteln aus
Gherardus, Dekan,481 und das Domkapitel zu Hamburg in einem offenen Brief: sie
machen bekannt, dass der Ratsherr Albertus Hoyer482 zu seinem Seelenheil, dem seiner Frau [Womele], seiner Vorfahren und seiner Wohltäter mit Zustimmung seiner
Erben in der von ihm neu errichteten Kapelle in St. Nicolai zwei ewige Vikarien mit
seinen Mitteln ausgestattet habe. Die Urkunde über die Stiftung ist im Folgenden
inseriert.
[Es folgt Nachtrag Nr. N5 von 1384 Juni 10.]
Nunmehr hätten Womele, der Ratsherr Hinricus Hoyer,483 sein Bruder Albert sowie
ihre Schwester Abele, Witwe Hilmar Lopows,484 dargelegt, dass etliche der Renten der
Vikarien besonders außerhalb Hamburgs inzwischen weltlichen Zwecken dienten,
einige ganz verloren seien, so dass sich die Vikare davon nicht mehr versorgen
könnten. Um die Stiftung ihres Vaters zu erhalten, hätten sich Hinricus, Albert
und Abele um die Rückgewinnung von Einkünften bemüht und gäben zur Ausstattung der Vikarien folgende Einkünfte: 10 m. vom Erbe des Johannes Wolmer
481
Gherardus Balghe, Dekan 1421–1437.
482
Ratsherr 1374–1386.
483
Ratsherr seit 1412, Bürgermeister 1417–1447.
484
Ratsherr seit 1390, Bürgermeister 1401–1410.
328
Regesten der Jahre 14 00 –14 4 0
in der Gröningerstraße (in groningstrate) zwischen den Erben von Arnold Rike und
Brandesbrugge; 3 m. im Erbe von Nicolaus Husbaw am Hopfenmarkt (in foro humuli)
zwischen den Erben von Heino Erteneborg und Nicolaus Hagedorn; 2 m. vom Erben
Stenlebens in der Niedernstraße (in inferiori platea) zwischen den Erben von Hermann Eddelstorp und Johannes Ronneborn; 2 m. vom Erbe Nicolaus Veylans und Hennekine Odemans am Winserbaum (prope winserbom) zwischen den Erben von Ludekin Ranke und Hennekin Maes; 3 m. im neuen Erbe von Beveldes in der Deichstraße
(in dijkstrate) zwischen dem alten Erbe von Beveldes und Godekin Remstede, diese
3 m. darf allerdings Hinricus Pantheman auf Lebenszeit nutzen, bis sie nach seinem
Tod an die Vikarien fallen; 9 m. im Hof Broke in der Pfarrei Itzehoe; 9 m. in den
Dörfern Wolmerstorf (Vollmerstorp) und Hoisbüttel; 3 m. in Kirchwerder im Erbe
Hennekin Pundes, 4 m. in Billwerder; 40 m. zum Kauf weiterer Renten; 7 m. im Erbe
von Gherardus Hals gelegen in der Gröningerstraße (in groningstrate) zwischen den
Erben von Johannes Hanstede und Godekin de Slues. Die Stifter hätten das Domkapitel
um den Schutz der Einkünfte und ihre Verwendung zur Ausstattung der Vikarien
gebeten. Dekan und Domkapitel seien der Bitte gefolgt, mit der Auflage, dass die
Vikare die ursprünglich festgelegten Zahlungen an das Kapitel und St. Nicolai leisten würden. Den Stiftern und ihren legitimen Erben wird wiederum auf 80 Jahre
das Präsentationsrecht gewährt. Bei der Auslösung von Renten sollen die Gelder
so lange beim Rat deponiert werden, bis über den Kauf neuer Renten angemessen
entschieden wurde. Hinricus stiftet 2 m. weitere Einkünfte zur Ausstattung der
Vikarien. Ankündigung des Siegels der Hamburger Kirche. Bürgermeister und Rat
bestätigen die Regelungen für die Wiederanlage abgelöster Renten und kündigen
das Stadtsiegel an. Datum Hamborg anno domini millesimo quadringentesimo vicesimo
tercio dominica quadragesime qua cantatur Oculi mei.
Diplomatische Erörterung: Großes Pergament mit Faltung, zahlreichen Feuchtigkeits-
flecken und kleineren Löchern, die zu Textverlusten führen, unten mit zwei Einschnitten für Siegel, aber nicht umgebogen (bzw. durch die Restauration ohne
Plica). Die Rückseite durch ein aufgeklebtes festes Papierblatt restauriert, das die
Rückenvermerke unlesbar macht; darauf die moderne Signatur in Bleistift: X 11.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. X 11. D = Copiae Archivi [mit Korrekturen].
1423 Mär z 29. Hamburg.
300
329
1423 März 29. Hamburg.
1423.03.29 — Ll 53
300
Bürgermeister und Rat zu Hamburg an Bürgermeister und Rat zu Groningen: bitten um die Bezahlung der vereinbarten Entschädigung von 90 Arnheimschen gld. für die Hamburger Bürger, die in dem im letzten Herbst durch Groningen genommenen Schiff des Adam van Wyringhe ihr Bier verloren hätten
Bürgermeister und Rat zu Hamburg an Bürgermeister und Rat zu Groningen: bezeugen, dass vor ihnen die Hamburger Bürger erschienen seien, die in dem im letzten Herbst durch Groningen genommenen Schiff des Adam van Wyringhe ihr Bier
verschifft hätten, und zwar Tideke Elbeke, Johan Slikborch, Johan Vorrad, Hinrik van
Aken, Ludeke Dives, Curd van Hotlem, Johan S[…] und Ludeke Vesselhovet. Diese hätten
Ludeke van der Heyde und Ludeke Vesselhovet zu dem Kaufmann und den Alterleuten von Amsterdam gesandt, um dort mit den Groninger Bürgern Otte Kla[nte] und
Hinric Sturing zu verhandeln, und der Groninger Ratsherr Hinric Beyerssone habe
daraufhin wegen des Biers die Zahlung von 90 Arnheimschen gld. bis 1422 Dezember 25 (vor Wynnachten lest vorleden) gelobt. Da die Zahlung nicht erfolgt sei, hätten
die genannten Bürger vor ihnen beschworen, dass das Bier ihnen gehört hätte,
und hätten Johannes Vorneke zum Einzug der Entschädigung bevollmächtigt. Sie
bitten, die Groninger Ratskumpane Otte Klante und Hinric Sturingh anzuweisen,
dass die 90 gld. Vorneke unverzüglich ausgezahlt werden. Siegelankündigung des
Rats. Screven to Hamborch na Godes bord xiiiic [dar na in] deme xxiii jare des mandaghes
vor Paschen.
Diplomatische Erörterung: Ausgelöst aus dem Deckel eines Amtsbuchs. Pergament mit
einigen Feuchtigkeitsflecken, leichten Schäden auf der Vorderseite und Löchern
am unteren Rand (von der Bindung), an der rechten Seite abgeschnitten, in der
Folge mit einigen Textausfällen. Rückseite mit Spuren des Klebstoffs und mit der
modernen Signatur in Bleistift: Ll 53.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ll 53. D = Copiae Archivi.
301
1423 April 8. Hamburg.
1423.04.08 — Cc 31
301
Clawes van Verbisse und Ghereke Louwesikke, Knechte und Diener von Kersten Wardenberghe, Henneke to Holte, Dyderic Muringh, Jacob Wipprecht, Laurencius Schroder und Clawes Oltghert, Knechte und Diener von Kone van Restorpe, schwören Urfehde gegenüber Erich [V.], Herzog von Sachsen, seinen Brüdern Bernhard [II.] und Otto, ihren Landen und Untertanen, sowie den Städten Lübeck, Hamburg und Lüneburg
Clawes van Verbisse und Ghereke Louwesikke, Knechte und Diener von Kersten Wardenberghe, Henneke to Holte, Dyderic Muringh, Jacob Wipprecht, Laurencius Schroder
und Clawes Oltghert, Knechte und Diener von Kone van Restorpe, in einem offenen
Brief: bekennen, dass sie gegenüber Herzog Erich [V.] von Sachsen, Engern und
Westfalen, seinen Brüdern Herzöge Bernd und Otto,485 ihren Landen, Leuten und
Untertanen, sowie Bürgermeistern und Ratsherren der Städte Lübeck, Hamburg
und Lüneburg, ihren Mitbürgern, Einwohnern, Dienern, Untersassen und VerteidiErich V., Herzog von Sachsen-Lauenburg (1411–1436), Bernhard II., Herzog von Sachsen-Lauenburg
(1436–1463), Otto († vor 1431).
485
330
Regesten der Jahre 14 00 –14 4 0
gern für sich und ihre Erben, Verwandten und Helfer ihrer Gefangenschaft wegen
eine feste Urfehde (eyne rechte, vulkomene, ware, ewighe orveyde) gelobt hätten. Sie
würden auch für ihre Erben, Herren und Verwandte, geistlich und weltlich, auf
alle Forderungen verzichten und niemals mehr Feind der Herzöge von Sachsen,
Lübecks, Hamburgs und Lüneburgs und der Ihren werden, sondern sich um deren
Bestes bemühen und nicht gegen sie oder den Kaufmann vorgehen, der die Lande
besuche, da sie ihnen nur Gunst erwiesen hätten. Clawes, Ghereke, Henneke, Dideric, Jacob, Laurencius und Clawes geloben die Einhaltung der Zusagen. Werde die
Urfehde durch einen oder mehrere gebrochen, sollten sich alle innerhalb von acht
Tagen nach einer Mahnung zum Einlager in Hamburg einfinden und bleiben, bis
sie sich mit den Ratsherren Hamburgs, den Herzögen, Lübeck und Lüneburg geeinigt hätten. Kersten Wardenberch und Kone van Restorpe bezeugen die Eidesleistung ihrer Knappen. Siegelankündigung der Bürgen. Screven to Hamborch na Godes
bord xiiiic jar dar na an deme xxiii jare des donredaghes na Paschen.
Diplomatische Erörterung: Großes Pergament mit zahlreichen Feuchtigkeitsflecken
und stark verblassten Stellen, die zu kleineren Textausfällen führen, breite Plica
mit zwei Einschnitten mit Pergamentstreifen, die beiden mit den Pergamentstreifen abgeschnittenen Siegel liegen lose bei. Rückseite mit jüngeren Vermerken: 9) (korrigiert aus 6)) und 1423 [dies Jovis] p[ost] Paschat[um].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 31. D = Copiae Archivi.
Regest: Lehe, Fehden, S. 165.
302
1423 April 8. Hamburg.
1423.04.08 — Cc 32
302
Hans Lobeke anders gheheten Wynterfeld, Ernst Mund, Vrittze Trebbow, Arnd Mollendorp, Herman Cremon, Hennyngh Wyndewand, Gherke Herbrecht, Hans Vasta und Henneke Hulsebeke, Knechte und Diener von Bernd und Clawes Roer sowie Hennyngh Breseke, Knecht und Diener von Otto Grevenitze, schwören Urfehde gegenüber Erich [V.], Herzog von Sachsen, seinen Brüdern Bernhard [II.] und Otto, ihren Landen und Untertanen, sowie den Städten Lübeck, Hamburg und Lüneburg
Hans Lobeke anders gheheten Wynterfeld, Ernst Mund, Vrittze Trebbow, Arnd Mollendorp,
Herman Cremon, Hennyngh Wyndewand, Gherke Herbrecht, Hans Vasta und Henneke
Hulsebeke, Knechte und Diener von Bernd und Clawes Roer sowie Hennyngh Breseke,
Knecht und Diener von Otto Grevenitze, in einem offenen Brief: machen bekannt,
dass sie gegenüber Herzog Erich [V.] von Sachsen, Engern und Westfalen, seinen
Brüdern, den Herzögen Bernd und Otto,486 ihren Landen, Leuten, Knechten und
Untertanen, den Bürgermeistern und Ratsherren der Städte Lübeck, Hamburg und
Lüneburg, ihren Mitbürgern, Einwohnern, Dienern, Untertanen und Verteidigern
wegen ihrer Gefangenschaft für sich und ihre Erben eine feste Urfehde (ene rechte, vulkomene, ware, ewyghe orveyde) gelobt hätten. Sie würden für sich, ihre Erben,
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), Bernhard II., Herzog von Sachsen-Lauenburg
(1436–1463), Otto († vor 1431).
486
1423 April 8. Hamburg.
331
Herren und Verwandten, geistlich und weltlich, auf alle Forderungen verzichten
und niemals mehr Feind der Herzöge von Sachsen, Lübecks, Hamburgs und Lüneburgs und der Ihren werden, sondern sich um deren Bestes bemühen und nicht
gegen sie oder den Kaufmann vorgehen, der die Lande, Städte und Gebiete besuche, da sie ihnen nur Gunst erwiesen hätten. Hans und die anderen geloben die
Einhaltung der Zusagen. Werde die Urfehde aber gebrochen, sollten sie sich innerhalb von acht Tagen nach einer Mahnung zum Einlager in Hamburg einfinden und
bleiben, bis sie sich mit den Ratsherren Hamburgs, den Herzögen und den Städten
Lübeck und Lüneburg geeinigt hätten. Bernd und Clawes Roer, Knappen, bezeugen
die Eidesleistung der Knappen und Diener. Siegelankündigung der Zeugen. Screven
to Hamborch na Ghodes bord veerteynhundert yar, dar na an deme dreundetwintichsten
yare, des donredaghes na Paschen.
Diplomatische Erörterung: Großes Pergament mit Faltung, Plica mit zwei an Perga-
mentstreifen angehängten, schlecht erhaltenen Siegeln. Kanzleivermerk auf
der Mitte der etwas nachgedunkelten Rückseite, kopfstehend: Der van Lobeck und
ander knapen quitan[cia], dazu modern mit Bleistift: 1423.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 32. D = Copiae Archivi.
303
1423 April 8. Hamburg.
1423.04.08 — Gg 31 (2)
303
Vicko Smylow und Clawes Preen, Knechte und Diener des Hans Hesselstorp, schwören Urfehde gegenüber Erich [V.], Herzog von Sachsen, seinen Brüdern Bernhard [II.] und Otto, ihren Landen und Untertanen, sowie den Städten Lübeck, Hamburg und Lüneburg
Vicko Smylow und Clawes Preen, Knechte und Diener des Hans Hesselstorp, in einem
offenen Brief: machen bekannt, dass sie gegenüber Herzog Erich [V.] von Sachsen, Engern und Westfalen, seinen Brüdern, den Herzögen Bernd und Otto,487 ihren
Landen, Leuten, Knechten und Untertanen, den Bürgermeistern und Ratsherren
der Städte Lübeck, Hamburg und Lüneburg, ihren Mitbürgern, Einwohnern, Dienern, Untertanen und Verteidigern wegen ihrer Gefangenschaft für sich und ihre
Erben eine feste Urfehde (ene rechte, vulkomene, ware, ewige orveyde) gelobt hätten.
Sie würden für sich, ihre Erben, Herren und Verwandten, geistlich und weltlich,
auf alle Forderungen verzichten und niemals mehr Feind der Herzöge von Sachsen, Lübecks, Hamburgs und Lüneburgs und der Ihren werden, sondern sich um
deren Bestes bemühen und nicht gegen sie oder den Kaufmann vorgehen, der die
Lande, Städte und Gebiete besuche, da sie ihnen nur Gunst erwiesen hätten. Vicko
und Clawes geloben die Einhaltung der Zusagen. Werde die Urfehde aber gebrochen, sollten sie sich innerhalb von acht Tagen nach einer Mahnung zum EinlaErich V., Herzog von Sachsen-Lauenburg (1411–1436), Bernhard II., Herzog von Sachsen-Lauenburg
(1436–1463), Otto († vor 1431).
487
332
Regesten der Jahre 14 00 –14 4 0
ger in Hamburg einfinden und bleiben, bis sie sich mit den Ratsherren Hamburgs,
den Herzögen und den Städten Lübeck und Lüneburg geeinigt hätten. Hans Hesselstorp bezeugt die Eidesleistung seiner Knappen und Diener. Siegelankündigung
des Zeugen. Schreven to Hamborch na Godes bord veerteynhundert yar, dar na an deme
dre unde twintichsten yare des donredaghes na Paschen.
Diplomatische Erörterung: Pergament mit Faltung und einem größeren Loch unten in
der Mitte (ohne Textverlust), Plica mit einem an einem Pergamentstreifen angehängten Siegel. Rückseite mit jüngerem Kanzleivermerk: Orveyde Vicken Smilow
und Clawes Preen knechte[n] Hans Hesselstorpes. Ao. 1423.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 31 (2). D = Copiae Archivi [als Gg 31
(3)].
304
1423 April 18. Hamburg.
1423.04.18 — Cc 33
304
Kone Rastorpe, Knappe, macht bekannt, dass er sich mit dem Hamburger Rat über seine Lösegeldzahlung für seine Freilassung geeinigt und ihm wegen seines Entgegenkommens gelobt habe, ihm mit sechs gewappneten guten Knappen zu dienen
Kone Rastorpe, Knappe, in einem offenen Brief: macht bekannt, dass er durch Bürgermeister und Ratsherren der Städte Lübeck und Hamburg in Ehren gefangen
genommen worden sei und mit den Hamburgern, denen er zugewiesen worden sei,
über sein Lösegeld (umme myne venghnisse unde schattinge) verhandelt habe. Da sie
ihm dabei entgegengekommen seien (an myner schattinge gunstigen ghevallen sin),
habe er gelobt, ihnen mit sechs gewappneten guten Knappen zu dienen. Wenn er
gerufen werde, werde er sich mit diesen auf eigene Kosten und Gefahr (uppe myne
unde myner mederidere koste unde aventure) innerhalb von 14 Tagen in Hamburg einfinden. Wenn sie nach Hamburg kämen, sollten sie von Übergriffen der Hamburger Kontingente frei sein. Wenn sie der Rat in den Dienst genommen habe, solle er
ihnen für Kosten, Schäden und Gefahren einstehen, aber müsse ihnen keinen Sold
zahlen. Würden sie oder Einzelne in ihrem Dienst gefangen genommen, solle sich
jeder auf sein eigenes Gut mit Lösegeld belasten lassen (sik schatten laten) und dafür
geloben, nicht auf den Rat zu Hamburg. Wenn sie Harnisch oder Pferde verlieren
würden oder diese in Diensten des Rates geschädigt würden, soll das ihnen ersetzt
werden. Könnten sie sich mit dem Rat nicht einigen, sollten je zwei Vertreter der
beiden Seiten vermitteln. Nach dem Ausscheiden aus dem Dienst der Stadt sollten
er und seine Gesellen auf eigene Kosten und Gefahr heimkehren, aber ungefährdet
von den Hamburger Kontingenten. Kone gelobt die Einhaltung der Zusagen. Siegelankündigung des Ausstellers. Gheven to Hamborg na Godes ghebord dusent veerhundert dar na in deme dreundetwintigesten jare des anderen sondaghes na Paschen genomet
Misericordia Domini.
1423 April 18. Hamburg.
333
Diplomatische Erörterung: Etwas verblasstes Pergament mit Faltung und Feuchtig-
keitsflecken, kleineren Schäden entlang der Faltlinien, Löchern und kleineren
Textausfällen, breitere Plica mit einem an einem Pergamentstreifen befestigten,
kleinen, kaum erkennbaren Siegel. Rückseite mit modernen Vermerken: 10) und
1423. Miser[icordia] Domini.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 33. D = Copiae Archivi.
Regest: Lehe, Fehden, S. 165.
305
1423 April 18. Hamburg.
1423.04.18 — Cc 34
305
Kersten Wardenberch, Knappe, macht bekannt, dass er sich mit dem Hamburger Rat über seine Lösegeldzahlung für seine Freilassung geeinigt und ihm wegen seines Entgegenkommens gelobt habe, ihm mit drei gewappneten guten Knappen zu dienen
Kersten Wardenberch, Knappe, in einem offenen Brief: macht bekannt, dass ihn die
Bürgermeister und Ratsherren der Städte Lübeck und Hamburg ehrbar gefangen
genommen hätten und dass er mit den Hamburgern, denen er zugewiesen worden sei, über sein Lösegeld (umme myne vengnisse unde schattinge) verhandelt habe.
Da sie ihm dabei entgegengekommen seien (an myner schattinge gunstigen ghevallen
sin), habe er gelobt, ihnen mit drei gewappneten guten Knappen zu dienen. Wenn
er gerufen werde, werde er sich mit diesen auf eigene Kosten und Gefahr (uppe
myne unde myner mederidere koste unde aventure) innerhalb von 14 Tagen in Hamburg einfinden. Wenn sie nach Hamburg kämen, sollten sie von Übergriffen der
Hamburger Kontingente frei sein. Wenn sie der Rat in den Dienst genommen habe,
solle er ihnen für Kosten, Schäden und Gefahren einstehen, aber müsse ihnen keinen Sold zahlen. Würden sie oder Einzelne in ihrem Dienst gefangen genommen,
solle sich jeder auf sein eigenes Gut mit Lösegeld belasten lassen (sik schatten la[t]
en) und dafür geloben, nicht auf den Rat zu Hamburg. Wenn sie Harnisch oder Pferde verlieren würden oder diese in Diensten des Rates geschädigt würden, soll das
ihnen ersetzt werden. Könnten sie sich mit dem Rat nicht einigen, sollten je zwei
Vertreter der beiden Seiten vermitteln. Nach dem Ausscheiden aus dem Dienst
der Stadt sollten er und seine Gesellen auf eigene Kosten und Gefahr heimkehren,
aber ungefährdet von den Hamburger Kontingenten. Kersten gelobt die Einhaltung der Zusagen. Siegelankündigung des Ausstellers. Gheven to Hamborch na Godes
bord dusend veerhundert dar na in deme dreundetwintigesten jare des anderen sondages
na Paschen genomet Misericordia Domini.
Diplomatische Erörterung: Pergament mit Feuchtigkeitsflecken, kleineren Löchern
und ausgeblichenen Textstellen, Plica mit einem Pergamentstreifen, das Siegel
fehlt. Rückseite mit modernen Vermerken: 10(b) und 1423. Miser[icordia] Domini.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 34. D = Copiae Archivi.
33 4
306
Regesten der Jahre 14 00 –14 4 0
1423 April 18. Hamburg.
1423.04.18 — Cc 35
306
Bernd und Clawes geheten Roer, Knappen, machen bekannt, dass sie sich mit dem Hamburger Rat über ihre Lösegeldzahlung für ihre Freilassung geeinigt und ihm wegen seines Entgegenkommens gelobt haben, ihm mit zehn gewappneten guten Knappen zu dienen
Bernd und Clawes geheten Roer, Knappen, in einem offenen Brief: machen bekannt,
dass sie von den Bürgermeistern und Ratsherren der Städte Lübeck und Hamburg
mit Ehren gefangen genommen worden seien und mit den Hamburgern, denen
sie zugeteilt worden seien, über ihr Lösegeld (umme unse venghnisse unde schattinge) verhandelt hätten. Da sie ihnen dabei entgegengekommen seien (an unser
schattinge gunstigen ghevallen sin), hätten sie gelobt, ihnen mit zehn gewappneten
guten Knappen zu dienen. Wenn sie gerufen würden, würden sie sich mit diesen
auf eigene Kosten und Gefahr (uppe unse unde unser mederidere koste unde aventure)
innerhalb von 14 Tagen in Hamburg einfinden. Wenn sie nach Hamburg kämen,
sollten sie von Übergriffen der Hamburger Kontingente frei sein. Wenn sie der
Rat in den Dienst genommen habe, solle er ihnen für Kosten, Schäden und Gefahren einstehen, aber müsse ihnen keinen Sold zahlen. Würden sie oder Einzelne in
ihrem Dienst gefangen genommen, solle sich jeder auf sein eigenes Gut mit Lösegeld belasten lassen (sik schaetenlaten) und dafür geloben, nicht auf den Rat zu
Hamburg. Wenn sie Harnisch oder Pferde verlieren würden oder diese in Diensten
des Rates geschädigt würden, soll das ihnen ersetzt werden. Könnten sie sich mit
dem Rat nicht einigen, sollten je zwei Vertreter der beiden Seiten vermitteln. Nach
dem Ausscheiden aus dem Dienst der Stadt sollten er und seine Gesellen auf eigene
Kosten und Gefahr heimkehren, aber ungefährdet von den Hamburger Kontingenten. Bernd und Clawes geloben die Einhaltung der Zusagen. Siegelankündigung
der Aussteller. Gheven to Hamborg na Godes ghebord dusent veerhundert dar na in deme
dreundetwintigesten jare des anderen sondages na Paschen genomet Misericordia Domini.
Diplomatische Erörterung: Pergament mit Faltung, breite Plica mit zwei an Pergament-
streifen befestigten, relativ gut erhaltenen Siegeln. Rückseite mit einigen nachgedunkelten Stellen.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 35. D = Copiae Archivi.
Erwähnung: Lehe, Fehden, S. 164.
Erwähnung: Ballheimer, 4, S. 12.
307
1423 April 18. Hamburg.
1423.04.18 — Gg 31 (3)
307
Hans Hesselstorp, Knappe, macht bekannt, dass er sich mit dem Hamburger Rat über seine Lösegeldzahlung für seine Freilassung geeinigt und ihm wegen seines Entgegenkommens gelobt habe, ihm mit drei gewappneten guten Knappen zu dienen
Hans Hesselstorp, Knappe, in einem offenen Brief: bekennt, dass ihn die Bürgermeister und Ratsherren der Städte Lübeck und Hamburg ehrenhaft gefangen (myd
eren gehevanghen) genommen hätten und dass er mit Bürgermeistern und Rat zu
Hamburg, denen er als Gefangener zugeteilt wurde (den ik vor enen vanghene tho-
1423 Mai 5. Kaschau.
335
vel), wegen seines Lösegeldes (schattinge) verhandelt habe, was für ihn günstig
ausgefallen sei. Daher habe er gelobt, Bürgermeistern, Ratsherren und der Stadt
Hamburg mit drei Knappen (mit dren ghewapend reyseger guden knapen) zu dienen.
Sobald er aufgefordert werde, werde er innerhalb von 14 Tagen mit seinen Begleitern auf eigene Kosten in die Stadt kommen. Während des Dienstes solle die Stadt
für Kosten, Schaden und Gefahren (eventure) aufkommen, müsse aber keinen Sold
zahlen. Wenn sie gefangen würden, solle das Lösegeld nicht für die Stadt, sondern
nur für sie als Knappen angesetzt werden. Harnisch und verlorene Pferde sollten
nach ihrem Wert vor dem Eintritt in den Dienst der Stadt erstattet werden, der im
Streitfall durch je zwei Vertreter der beiden Seiten zu bestimmen sei. Nach dem
Ende des Diensts sollten sie auf eigene Kosten und Gefahr heimreiten. Würden
sie ihren Pflichten nicht nachkommen, solle der Rat von Hamburg tun, was rechtmäßig erforderlich sei. Hans beschwört gegenüber Bürgermeistern, Ratsherren,
ihren Nachfahren und Bürgern, seine Zusagen einzuhalten. Siegelankündigung
des Ausstellers. Gheven to Hamborch na Godes bord dusend veerhundert, darna in deme
dreundetwintigesten jare, des anderen sondages na Paschen, genomet Misericordia Domini.
Diplomatische Erörterung: Pergament mit Faltung und einigen nachgedunkelten Stel-
len, breite Plica mit einem an einem Pergamentstreifen angehängtem Siegel, Urkunde zweifellos in der städtischen Kanzlei ausgestellt. Rückseite mit jüngerer
Kanzleinotiz in der Mitte: Ein breff van Hans Hesselstorp, darinne he sick verplichtet
to de[nnenn] mit perden. Ao. 1423. Dazu mit Bleistift moderne Signatur: ad Gg No. 31.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 31 (3). D = Copiae Archivi [als Gg 31
(4)].
Regest: Lehe, Fehden, S. 165.
308
1423 Mai 5. Kaschau.
1423.05.05 — F 14
308
Sigismund, römischer König, König von Ungarn, Böhmen, Dalmacien, Kroatien usw., bevollmächtigt Niclas von Reibnicz zu Verhandlungen mit Bürgermeister, Rat und Bürgern der Stadt Hamburg über die gegen sie verhängte Acht und Aberacht
Sigismund, römischer König, immer Mehrer des Reiches, König von Ungarn, Böhmen, Dalmacien, Kroatien usw.,488 in einem offenen Brief: macht bekannt, dass er
in Treue, Vernunft und Weisheit des Niclas von Reibnicz489 vertraue und ihn deshalb
bevollmächtigt habe, in seinem Namen mit Bürgermeister, Rat und Bürgern allgemein der Stadt Hamburg über Acht und Aberacht zu verhandeln, in die sie vor
dem Hofgericht gekommen seien. Was er aushandele, wolle Sigismund einhalten,
488
König von Ungarn (seit 1387), römischer König (seit 1410/1411), Kaiser (1433–1437).
489
Zu den zeitgleich lebenden Personen dieses Namens s. u. a. Ekdahl, Soldbuch, 503–504, S. 242–244.
336
Regesten der Jahre 14 00 –14 4 0
als wenn er selbst anwesend gewesen sei. Siegelankündigung. Geben zu Kassaw noch
Cristi geburt vierczehenhundert jar und dornach im dreyundczwenczigisten jare am nechsten mitwachen noch sant Philipps und sant Jacobs tag, unser reiche des Hungrischen etc. in
dem xxxvii jare des Romischen in dem xiii und des Behemischen im dritten jaren.
Diplomatische Erörterung: Pergament mit Faltung, breite Plica mit Vermerk: Ad man-
datum domini regis Michael prepositus Boleslaviensis, ein Einschnitt mit einem an
einem restaurierten Pergamentstreifen angehängten großen Majestätssiegel.
Rückseite mit den Vermerken: R[egistrata]. Henricus Fye, sowie: E.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. F 14. D = Copiae Archivi.
Regest: Regesta Imperii XI, 1, 5540, S. 391.
309
1423 Mai 6. Kaschau.
1423.05.06 — B 17
309
Sigismund, römischer König, König von Ungarn, Böhmen, Kroatien, usw. macht bekannt, dass er Bürgermeister, Ratsherren und ganze Gemeinde von Hamburg aus Acht und Aberacht des Reiches gelassen und sie von allen Forderungen befreit habe
Sigismund, römischer König, immer Mehrer des Reichs, König von Ungarn, Böhmen, Kroatien, usw.490 in einem offenen Brief: macht bekannt, dass Bürgermeister, Ratsherren und ganze Gemeinde von Hamburg, die durch ein durch den Erbkämmerer Konrad von Weinsberg491 angestrengtes Verfahren wegen Anmaßung
etlicher Mühlengerichte vor dem Hofgericht in Acht und Aberacht des Heiligen
Römischen Reiches gekommen wären, weil sie nicht verantwortet hätten, sich wieder seine Huld und Gnade erworben hätten. Er habe sie aus Acht und Aberacht
des Reiches gelassen und sie von allen Forderungen gelöst. Fordert alle Fürsten,
geistlichen und weltlichen Herren, Ritter, Knechte und Amtsträger des heiligen
römischen Reiches auf, sie wegen solcher Acht und Aberacht nicht weiter zu bedrängen und verfolgen. Siegelankündigung. Geben zu Casschaw am donerstag nach
sant Philips und sant Jacobs tag nach Cristi geburt vierczehenhundert jar und dornach in
dem dryundczwenczigisten jare unser riche des Hungerschen in dem sibenunddryssigisten
des Romischen in dem dryczehenden unde des Behemischen in dem dritten jaren.
Diplomatische Erörterung: Pergament mit Faltung, Feuchtigkeitsflecken sowie größe-
ren Löchern mit Textausfällen unten in der Mitte. Plica mit einem Kanzleivermerk rechts: Ad mandatum domini regis Michael prepositus Boleslaviensis und dem
an einem Pergamentstreifen angehängten großen Majestätssiegel. Rückseite mit
490
König von Ungarn seit 1387, römischer König seit 1410/1411, Kaiser 1433–1437.
491
Konrad (IX.) von Weinsberg († 1448).
1423 Juni 25. o. O.
337
dünnem Papier überklebt, mit verschiedenen Vermerken: R[egistrat]a Henricus
Fye, und darunter E[…]. Rechts am Rand zeitgenössisch: Ir[bun]dinge der achte unde
overachte, auf dem Pergamentstreifen: R.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. B 17. D = Copiae Archivi.
Regest: Regesta Imperii XI, 1, 5544, S. 392.
310
1423 Juni 25. o. O.
1423.06.25 — X 14
310
Gherardus, Dekan, und das Hamburger Domkapitel geben bekannt, dass Bürgermeister und Ratsherren der Stadt Hamburg ihnen gestattet hätten, die Abwässer des Turms und des Aborts in den dabei liegenden Wall eingraben zu lassen
Gherardus, Dekan,492 und das Hamburger Domkapitel in einem offenen Brief: geben bekannt, dass die Bürgermeister und Ratsherren der Stadt Hamburg ihnen
gestattet hätten, die vulmisse unde alle unvledicheyd des Turms und des heimlichen
Gemachs (Aborts) in den dabei liegenden Wall eingraben zu lassen. Versprechen,
weitere Entsorgungen dieser Art nur mit Zustimmung des Rates vorzunehmen.
Ghegheven in dem jare Godes veerteynhundert dreundetwintigestem des vrydaghes na sunte Johannis Baptisten daghe alse he boren was. Ankündigung des Siegels des Domkapitels.
Diplomatische Erörterung: Kleineres Pergament mit Faltung, breitere Plica mit einem
beschädigten Siegel an einem Pergamentstreifen. Auf der Rückseite verteilt
mehrere Vermerke: oben l, unten in der Mitte y und E.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. X 14.
Erwähnung: Lorenzen-Schmidt, „Thorn“, S. 10, Anm. 20.
311
1423 September 1. Hamburg.
1423.09.01 — Gg 28 s
311
Hermen Steygerbergh quittiert Bürgermeistern und Rat der Stadt Hamburg die Zahlung des Lösegelds aus der in ihrem Dienste erlittenen Gefangenschaft bei Dethard van Weddeschen sowie Kosten, Schaden und Zehrung
Hermen Steygerbergh in einem offenen Brief: bekennt, dass die Bürgermeister und
Ratsherren der Stadt Hamburg ihn aus der in ihrem Dienste unter Dethard van Weddeschen erlittenen Gefangenschaft durch Männer des Herzogs von Sachsen etc.,493
denen er sich als Gefangener gestellt habe (to siner hand ene rechte vengnisse gheloved
unde zworen hadde), ausgelöst und dazu seine Kosten, Schaden und Zehrung während der Gefangenschaft bezahlt hätten. Dankt für sich, seinen Bruder und ihre
Verwandten. Er werde daher weder Bürgermeister, Ratsherren und Bürger noch
die Stadt Hamburg wegen seiner Gefangenschaft mahnen oder mahnen lassen. Ge-
492
Gherardus Balghe, Dekan 1421–1437.
493
Herzog Erich V. von Sachsen-Lauenburg (1411–1436).
338
Regesten der Jahre 14 00 –14 4 0
lobt für sich, seinen Bruder und ihre Verwandten, geistlich und weltlich, die Einhaltung. Siegelankündigung. Gheven tho Hamborch na Godes bord dusend verhundert
darna in deme dreundetwintigesten jare an sunte Egidius daghe.
Diplomatische Erörterung: Pergament mit Faltung, breite Plica mit einem an einem
Pergamentstreifen angehängten Siegel. Auf der Rückseite mit wenigen nachgedunkelten Stellen oben moderne Archivnotiz in Bleistift: 1423 Sept. 1 und 20.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 28 s. D = Copiae Archivi.
Erwähnung: Ballheimer, 4, S. 12.
312
1423 September 7. Diepholz.
1423.09.07 — Gg 28 t
312
Dethard van Weddeschen, Knappe, quittiert Bürgermeistern und Rat der Stadt Hamburg die Zahlung von Lösegeld sowie Kosten, Zehrung und Schaden wegen seines Knechts Hermen Storgerberges, der in ihrem Dienste in Gefangenschaft geraten sei
Dethard van Weddeschen, Knappe, in einem offenen Brief: bekennt, die Bürgermeister, Ratsherren, Bürger und Einwohner der Stadt Hamburg von jeglichen Ansprüchen wegen seines Knechtes Hermen Storgerberges, der ihm in ihrem Dienste in Gefangenschaft geraten sei, befreit zu haben, da sie diesen ausgelöst und sich mit ihm
und Hermen über Kosten, Zehrung und Schadenersatz geeinigt hätten. Lässt auch
mit Kraft dieses Briefes Peter Ottensone, Johan Holthusen und Johan Hennynges, Bürger
zu Hamburg, frei, die er darum in Diepholz (Depholte) aufgehalten hätte. Siegelankündigung. Gheven tho Depholte na Godes bord dusend verhundert darna in deme dreundetwintigesten jare an Unser Leven Vrowen avende erer ghebord.
Diplomatische Erörterung: Pergament mit größeren Feuchtigkeitsflecken, Faltung und
leichten Textverlusten entlang einer Faltung, Plica mit einem beschädigten, an
einem Pergamentstreifen angehängten Siegel. Rückseite mit dünnem Papier
überklebt, darunter moderne Archivnotiz in Bleistift: [1423 Sept.] 7.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 28 t. D = Copiae Archivi.
Erwähnung: Ballheimer, 4, S. 12.
313
1423 September 28. Hamburg.
1423.09.28 — Oo 100
313
Gherardus, Dekan, und das gesamte Domkapitel machen bekannt, dass von den 10 m. Renten, die ihnen die Knappen Bertram Sabel und Johannes Hummersbuttel verkauft hätten, 2 pfd. zur Vikarie gehörten, die Heyno Leseman, Bürger Hamburgs, in St. Petri gestiftet habe, und vidimieren die Urkunde von 1408 November 11 (Nr. 126)
Gherardus, Dekan,494 und das gesamte Domkapitel machen bekannt, dass von den
10 m. Renten, die ihnen die Knappen Bertram Sabel und Johannes Hummersbuttel
für 100 m. verkauft hätten, 2 pfd. zur Vikarie gehörten, die Heyno Leseman, Bürger
494
Gherardus Balghe, Dekan 1421–1437.
1423 Ok tob er 22 . Hamburg.
339
Hamburgs, in St. Petri gestiftet habe, die nun Nicolaus Schaak innehabe. Dies gehe
aus einer von Bertram, Johannes und ihren Bürgen besiegelten Urkunde hervor,
die im Wortlaut inseriert wird.
[Es folgt Nr. 126, von 1408 November 11.]
Siegelankündigung des Domkapitels. Datum Hamborch anno domini millesimo quadringentesimo vicesimo tercio mensis Septembris in profesto Michaelis archangeli.
Diplomatische Erörterung: Pergament mit Faltung, schmale Plica mit einem größe-
ren, nur teilweise erhaltenen, aber restaurierten Siegel sowie einem kleineren
Loch. Rückseite in der Mitte stark nachgedunkelt, mit zeitgenössischem, aber
nachträglich korrigiertem Kanzleivermerk: Recognicio capituli super literis Bertram
Sabel de Hummersbotel super 10 m. redditibus [super … redditibus ist frühneuzeitliche
Überschreibung des älteren Eintrags]. Terminus Martini. 1423.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Oo 100. D = Copiae Archivi.
Erwähnung: Staphorst, I, 1, S. 502 (Niehusen, 552).
314
1423 Oktober 22. Hamburg.
1423.10.22 — Tt 45 [1] und [2]
314
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass Johannes Werneri, Kantor, Hermannus Kreveth, Kanoniker, Johannes Verdis, Vikar an St. Petri, und der Hamburger Bürger Ludolfus de Eysen als Testamentsvollstrecker des Priesters Johannes Gronow eine Vikarie an St. Petri mit Renten von 36 m. ausstatten wollten, nehmen die Renten unter kirchlichen Schutz und errichten die Vikarie
Gherardus, Dekan,495 und das gesamte Domkapitel der Hamburger Kirche in einem
offenen Brief: machen bekannt, dass vor ihnen Johannes Werneri, Kantor,496 Hermannus Kreveth, Kanoniker der Hamburger Kirche,497 Johannes Verdis, ewiger Vikar an
St. Petri, und der Hamburger Bürger Ludolfus de Eysen als zu seinen Lebzeiten durch
den Priester Johannes Gronow beauftragte Testamentsvollstrecker erklärt hätten,
dieser habe zu seinem Seelenheil, dem seiner Vorfahren und Wohltäter mit seinen nachgelassenen Gütern an St. Petri eine ewige Vikarie zu Ehren Gottes, seiner
Mutter Maria sowie der Heiligen Bartholomäus, Wenzel, Hadrian und Katherina
begründen und ausstatten wollen. Dies wollten die Testamentsvollstrecker nun
umsetzen, und zwar mit folgenden Renten: 24 m. gekauft für 300 m. Hamburger
Pfennige gekauft von Ermegard Heest, Witwe des Ritters Hartwic Heest, und ihrer zwei
Söhne Luder und Volrad Heest; weiter 6 m. 10 sol. 8 d. vom Erbe des Marquard Screye,
zu seinen Lebzeiten Bürgermeister Hamburgs,498 gelegen in der Neustadt zwischen
495
Gherardus Balghe, Dekan 1421–1437.
496
Johannes Werneri alias dictus Gerbode, Kantor, belegt 1404–1436.
497
Belegt auch 1426 Juni, auch Domherr zu Lübeck.
498
Ratsherr seit 1386, Bürgermeister 1390–1419.
340
Regesten der Jahre 14 00 –14 4 0
den Erben des Herman Vos und des Albert Kreyer, für 100 m.; weiter 6 m. gekauft für
90 m. vom Hamburger Bürger Nicolaus Langhe von den ersten Einkünften, die er in
zwei Häuschen in der Reimerstwiete (in duabus casis in platea nuncupata communiter
Reynerstwite situatis) habe, wie das aus den darüber ausgestellten Urkunden hervorgehe. Dekan und Domkapitel nehmen den Bitten der Testamentsvollstrecker
entsprechend die Gelder unter kirchlichen Schutz und errichten damit eine ewige
Vikarie sine cura in St. Petri am Altar des heiligen Wenzel. Darüber hinaus habe
Johannes zu seiner memoria, der seiner Vorfahren und Wohltäter Renten von 4 m.
10 sol. bzw. von 2 m. zur Verteilung im Dom und an St. Petri vorgesehen, die der
Inhaber der Vikarie von seinen Einkünften jährlich zu Pfingsten zahlen solle. Der
Vikar solle auch an den Gottesdiensten in St. Petri teilnehmen, nichts gegen den
Vizerektor der Kirche unternehmen und diesem die von ihm empfangenen oblaciones vorlegen. Die vier Testamentsvollstrecker und die von ihnen Beauftragten
sowie die Kirchgeschworenen von St. Petri sollten auf 120 Jahre gemeinsam oder
einzeln das Präsentationsrecht für die Vikarie ausüben. Dabei sollten geeignete
Verwandte des Johannes bevorzugt werden, die entweder bereits Priester seien
oder innerhalb eines Jahres dazu geweiht würden. Siegelankündigung. Datum et
actum Hamburch dicte diocesis anno a nativitate domini millesimo quadringentesimo vicesimotertio die vicesima secunda mensis Octobris in loco capitulari ecclesie nostre memorate.
Diplomatische Erörterung: A ist Ausfertigung, größeres Pergament mit Faltung, klei-
neren Feuchtigkeitsflecken, große Plica mit einem an einem Pergamentstreifen befestigten, weitgehend erhaltenen Siegel. Rückseite mit zeitgenössischem
Kanzleivermerk rechts unten: Sancti Petri. Vicaria altaris sancti Wenczlai martiris.
R[egistra]ta folio xo. 1423. / B ist spätere Abschrift beglaubigt durch den Notar Hinricus Wasmodi, Kleriker der Mindener Diözese, Notar kaiserlicher Autorität. Pergament mit Faltung und Naht in der Mitte, teilweise nachgedunkelte Rückseite mit
dem Text einer Erklärung des Johannes Moller, Priester und Besitzer der Vikarie,
von 1484 und einem jüngeren Kanzleivermerk: Ad vicariam alt[aris] Sanctorum
Bartholomaei et Wenceslai in Petro. 1423. Darunter moderne Signatur in Bleistift Tt
45 […].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Tt 45 [1]. B = StAHH 710-1 I Threse I, Nr.
Tt 45 [2].
Edition: Staphorst, I, 4, S. 374–76 [mit Erklärung des Johannes Moller, S. 376–377].
Regest: Schütze, 429, S. 366.
Erwähnung: Vollmers, Pfarreien, S. 448–449.
1423 Novemb er 3. Hamburg.
315
3 41
1423 November 3. Hamburg.
1423.11.03 — Ss 53
315
Gherhardus, Dekan, und das Hamburger Domkapitel machen bekannt, dass Dietrich Strobelingh, Hermann de Buren, Kanoniker, Johannes Lutteke, Tymmo Hummersbuttell, Vikare, und Siffrid Hardestorp, Priester der Diözese Verden, als Testamentsvollstrecker des verstorbenen Johannes Bernardi eine Vikarie am Altar der hl. Antonius und Wenzel im Dom mit Renten von 30 m. ausstatten wollten, nehmen die Renten sowie eine weitere Stiftung von 8 m. unter kirchlichen Schutz und errichten die Vikarie
Gherhardus, Dekan,499 und das Hamburger Domkapitel in einem offenen Brief:
sie machen bekannt, dass vor ihnen Dietrich (Theodericus) Strobelingh,500 Hermann
de Buren, Kanoniker,501 Johannes Lutteke, Tymmo Hummersbuttell, ewige Vikare der
Hamburger Kirche, und Siffrid Hardestorp, Priester aus der Diözese Verden, als Testamentsvollstrecker des verstorbenen Johannes Bernardi, einst ewiger Vikar, erschienen seien und erklärt hätten, das der Verstorbene zu seinem Seelenheil und
dem seiner Vorfahren eine Vikarie am Altar der hl. Antonius und Wenzel in der
Hamburger Marienkirche habe errichten und dafür bei Zustimmung des Domkapitels eine Summe von 30 m. jährlicher Einkünfte habe stiften wollen. Davon kämen
20 m. aus dem Erbe von Ludeke Borstelde in der Reichenstraße (in platea divitum),
7 m. aus dem Erbe des Bäckers Johannes Bekendorp in der Alten Bäckerstraße (in
antiqua platea pistorum) und 3 m. von 7 m. Einkünften aus dem Erbe des Johannes
von dem Beke im Steckelhörn (up der stekelhorne) in Hamburg; jede m. für 15 m. lüb.
abzulösen. Die Testamentsvollstrecker hätten gebeten, die Vikarie einzurichten
und die Einkünfte dafür unter den Schutz des Kapitels zu nehmen. Domdekan und
Domkapitel nehmen dies an, ebenso die Stiftung von 8 m. jährlicher Renten an die
Kanoniker und Vikare, die der Verstorbene zu seiner und seiner Eltern memoria gestiftet habe und die entsprechend verwendet werden sollten. Dietrich, Hermann,
Johannes, Tymmo und Siffrid erhalten auf Bitten des Verstorbenen auf Lebenszeit
zusammen mit den seniores der Kirche das Präsentationsrecht für die Vikarie; dieses fällt dann an den Domdekan. Geld für abgelöste Renten soll beim Rat deponiert
werden, bis neue Renten gekauft sind. Ankündigung des Siegels der Hamburger
Kirche. Actum Hamburch in loco capitulari sepedicte nostre ecclesie sub anno a nativitate
domini millesimo quadringentesimo vicesimo tercio mensis Novembris die tercia.
Diplomatische Erörterung: Großes, etwas verzogenes Pergament mit Faltung, großen
Feuchtigkeitsflecken und kleineren Textverlusten, Plica mit einem Einschnitt,
aber ohne Pergamentstreifen und Siegel. Rückseite mit Vermerken links unten:
Maioris ecclesie vicaria altaris Sanctorum Anthonii et Wentzlai. Reg[istra]ta folio 45, und
jünger: 1423. Dazu quer in der Mitte: Ad vicari[am] altaris S. Anthonii [korrigiert].
Ius presentacionis istius vicarie pro seniore chorali pertinet ad seniores can[onico]rum et
499
Gherardus Balghe, Dekan 1421–1437.
500
Belegt 1416–1438, 1432 Senior, 1437–1438 Kantor.
501
Belegt 1419–1439.
3 42
Regesten der Jahre 14 00 –14 4 0
vicarium, valoris 30 m. Et dominus Cunradus Tydeman possessor eiusdem vicarie ipsam
cum 14 m. redditibus augmentauit. Dazu von jüngeren Händen: quamlibet m. cum
15 m. redimendam. 1423, dazu mit Abstand: Ad Vic. 17.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ss 53. D = Copiae Archivi.
Regest: Schütze, 430, S. 366.
Edition: Staphorst, I, 2, S. 193–195.
316
1423 November 29. Hamburg.
1423.11.29 — Oo 152
316
Petrus van der Lynden, Priester der Lübecker Diözese, quittiert den Empfang von 100 m. von insgesamt 200 m. lüb., die er von den Dekan und Domkapitel zu Hamburg in Sadelbande, Diözese Ratzeburg, zustehenden Zehntgeldern innehabe, durch Johannes Mund, Kanoniker der Hamburger Kirche
Petrus van der Lynden, Priester der Lübecker Diözese, bestätigt, von Johannes Mund,
Kanoniker der Hamburger Kirche, namens des Dekans und des Domkapitels zu
Hamburg von 200 m., die er von den Dekan und Domkapitel in Sadelbande, Diözese Ratzeburg, zustehenden Zehntgeldern innehabe, 100 m. in Münzen empfangen
zu haben und befreit Dekan und Domkapitel von weiteren Forderungen in Bezug
auf die 100 m. Ankündigung des eigenen Siegels. Datum Hamburch dicte Bremensis
diocesis sub anno a nativitate domini millesimo quadringentesimo vicesimo tercio in vigilia
sancti Andree apostoli gloriosi.
Diplomatische Erörterung: Kleineres Pergament mit Faltung, breite Plica mit einem
Einschnitt, aber ohne Pergamentstreifen und Siegel. Rückseite mit dem Vermerk
(quer): Quitancia Petri van der Lynden, dazu 1423.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Oo 152.
317
1424 Januar 6. Breslau.
1424.01.06 — Ee 58 a und b
317
Nickel von der Rybenicz, Ritter, bezeugt die im Auftrag des römischen Königs Sigismund mit Bürgermeistern und Ratsherren der Stadt Hamburg erreichte Einigung über die Lösung aus der Reichsacht, derer sie und ihre Bürger verfallen gewesen seien, und quittiert den Empfang von 3500 ungar. gld. und einem blauen Brüsseler Tuch
Nickel von der Rybenicz, Ritter,502 in einem offenen Brief: macht bekannt, dass er im
Auftrag Sigismunds, des römischen Königs etc.,503 mit Bürgermeistern und Ratsherren der Stadt Hamburg für sie und ihre Bürger wegen der Reichsacht verhandelt habe, derer sie verfallen gewesen seien. Er habe von ihnen deshalb 3500 ungar.
gld. und ein blaues Brüsseler Tuch erhalten und im Gegenzug ihrem Boten, Herman
Balůte, die Lösebriefe wegen der Acht und Aberacht sowie andere Privilegien übergeben, die der König den Hamburgern gewährt habe. Er befreie den Rat im Namen
des Königs von allen Forderungen. Siegelankündigung. Geben […] zu Breslaw an der
502
Zu den zeitgleich lebenden Personen dieses Namens s. u. a. Ekdahl, Soldbuch, 503–504, S. 242–244.
503
König von Ungarn (seit 1387), römischer König (seit 1410/1411), Kaiser (1433–1437).
1424 Januar 7. [Breslau].
3 43
heiliger dreyer kunige tage, den man nennet den obirsten tag, nach Cristi geburte fiertzenhundert jar und darnach in dem fierundczwenczigsten jare.
Diplomatische Erörterung: A: Pergament mit Faltung, einigen Feuchtigkeitsflecken und
einem kleinen Einriss links; breite, eingerissene Plica mit einem Einschnitt mit
einem Pergamentstreifen, das kleine Siegel mit Resten des Pergamentstreifens
liegt lose bei. Rückseite mit Kanzleivermerken H und R[egistra]ta. / C: Notariatsinstrument des Casparus Schrader, Notar päpstlicher und kaiserlicher Autorität,
Sekretär des Lübecker Domkapitels. Vidimus des Dekans und Domkapitels zu
Lübeck von 1564 September 23. Pergament mit Faltung, Plica mit einem Pergamentstreifen, das Siegel fehlt. Rückseite an der Faltung nachgedunkelt, mit
Kanzleinotiz: [Registrata …] 18 Novembris a[nno] 64, und Altsignatur C 94.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ee 58 a. C = StAHH 710-1 I Threse I, Nr. Ee
58 b. D = Copiae Archivi [nur Ee 58 a].
318
1424 Januar 7. [Breslau].
1424.01.07 — Y 8
318
Die Ratsherren von Breslau bezeugen, dass vor ihnen Nickel von der Rybenicz, Ritter, erklärt habe, von Bürgermeister und Rat der Stadt Hamburg im Namen des römischen Königs Sigismund 3.500 ungar. gld. und ein Brüsseler Tuch erhalten zu haben; damit sei die Lösung Hamburgs aus der Reichsacht erfolgt
Die Ratsherren von Breslau in einem offenen Brief: machen bekannt, dass vor ihnen Nickel von der Rybenicz, Ritter,504 erschienen sei, der erklärt habe, dass er von
Bürgermeister und Rat der Stadt Hamburg für sie, ihre Nachkommen und die ganze Stadt 3500 ungar. gld. und ein Brüsseler Tuch zu seiner vollen Zufriedenheit,
auch im Namen des römischen Königs Sigismund, immer Mehrer des Reichs, König
zu Ungarn, Dalmatien, Kroatien,505 für seine königliche Gnade, empfangen habe.
Hamburg sei zuvor in Acht und Aberacht des Reichs gewesen, habe sich aber nun
davon befreit und etliche königliche Briefe erhalten. Nickel von der Ribenitz habe
die Hamburger von allen Forderungen freigesprochen. Siegelankündigung der
Stadt. Geben […] an dem freytage nach der heiligen drey kunige tage, den man nennet den
obirsten tag, nach Cristi geburte fiertzenhundert jar und dornoch in dem fierundczwenczigsten jare.
Diplomatische Erörterung: Größeres Pergament mit Faltung und einem vorn unter
dem Text (an einem Pergamentstreifen) aufgedrückten, mit Papier überklebten
Siegel, unten rechts die moderne Signatur mit Bleistift: Y 8. Etwas nachgedunkelte Rückseite mit Vermerk: R[egistra]ta, darunter ein Zeichen.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Y 8. D = Copiae Archivi.
504
Zu den zeitgleich lebenden Personen dieses Namens s. u. a. Ekdahl, Soldbuch, 503–504, S. 242–244.
505
König von Ungarn (seit 1387), römischer König (seit 1410/1411), Kaiser (1433–1437).
344
319
Regesten der Jahre 14 00 –14 4 0
1424 Januar 13. [Hamburg].
1424.01.13 — Tt 43 (3)
319
Hinrik Hoyer, Bürgermeister zu Hamburg, bekennt, dass ihm im Rentenbuch des Rates zugeschriebene Renten von 13 m. nicht gehörten, sondern ihm zu treuer Hand übergeben seien von einer Präbende an St. Petri, der seine Frau Gherborch vorstehe
Hinrik Hoyer, Bürgermeister zu Hamburg,506 in einem offenen Brief: bekennt, dass
ihm im Rentenbuch der Stadt zugeschrieben sind 4 m. Renten auf dem Erbe von
Albert van Riden in der Katharinenstraße an der Katharinenbrücke (in sunte Kater[rinen] strate by sunte Katherinen brugghe) zwischen den Erben von Johan Winsendorp
und Johan Borchgherde, weiter 4 m. Renten auf dem Erbe von Johan van Ulsen in
derselben Straße, gelegen zwischen den Erben von Peter Arnd und Olrik van Ulsen,
sowie 5 m. Renten auf dem Erbe von Gotschalk Krise im Kirchspiel St. Petri an der
Rolandsbrücke (by der Rolandes Bruggh[en]) beim Weinkeller. Diese Renten gehörten
nicht ihm oder seinen Erben, sondern seien ihm zu treuer Hand übertragen und
gehörten zu einer Präbende in St. Petri, der seine Frau Gherberch vorstehe und die
zurzeit von Bernd Wildeshusen verwaltet werde. Diesem hätten er und seine Frau
die Präbende gerade wohl beraten auf Lebenszeit übertragen. Siegelankündigung
des Ausstellers. Gheven unde screven […] na Godes boͤrd dusend veerhundert in deme veer
unde twintegesten jare des achteden daghes na der hilghen drier koninghe dage.
Diplomatische Erörterung: Kleineres, nachgedunkeltes Pergament mit Faltung und der
modernen Jahreszahl 1414 oben rechts, Plica (im rechten Drittel eingerissen) mit
einem an einem Pergamentstreifen befestigten Siegel. Die Rückseite mit umfangreichen Notizen: Sciendum quod redditus quatuor m. in hereditate Alberti van
Riden in presenti litera tergotenus designati sunt redempti anno etc. lxxiiio sexta feria
ante Laurencii [1473 August 6] presente domini Nicolao de Sworen. Dazu von anderer
Hand: Item 4 m. redditus in hereditate Jo[han] Ulessens sunt redempti per Hermen Hoyers presente domino Jo[hannes] Sprekelssen, actum anno etc. iiii sexta ante Oculi [1504
März 8].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Tt 43 (3). D = Copiae Archivi [als Tt 43].
320
1424 März 26. [Hamburg].
1424.03.26 — Zz 23
320
Hinrik Thevelt und Erik van Tzeven, Hofherren, und Heyne Wenttorp, Hofmeister zu St. Jürgen zu Hamburg, bezeugen eine Einigung mit den Pfründern Bernt Ostink, Meister Johan Symenshusen, Hermen vamme Horne, Claus Karnap, Johan Kattke, Hermen Grubenhaghen und Greteke Wirloes über die Nutzung des Blocks (Spendenkastens) vor dem Altar der Pfründer
Hinrik Thevelt und Erik van Tzeven,507 Hofherren, und Heyne Wenttorp, Hofmeister
zu St. Jürgen zu Hamburg, in einem offenen Brief: machen bekannt, dass der
Streit zwischen ihnen und den kranken Pfründnern (zeken provenern) um einen
Block (Spendenkasten) vor dem Bild am Altar der Pfründner (umme enen block, de
dar steyt vor deme bilde by der zeken provener altar) beigelegt sei. Mit den Pfründern
506
Ratsherr seit 1412, Bürgermeister 1417–1447.
507
Zugleich Ratsherr 1414–1450.
1424 August 15. o. O.
3 45
Bernt Ostink, Meister Johan Symenshusen, Hermen vamme Horne, Claus Karnap, Johan
Kattke, Hermen Grubenhaghen und Greteke Wirloes sei vereinbart, dass die Pfründner
die Hälfte des Blocks zur eigenen Nutzung erhalten sollten und ihn aufschließen
könnten, wann sie wollten (den blok up to slutende want den zeken provenern bequeme
is). Was an Lebensmitteln einkomme, sollten sie für sich nutzen können, Wachs
sollte für Kerzen am Altar verwandt werden. Hofherren und Hofmeister kündigen
das Siegel des Hospitals an. Gheschreven na Godes bort dusent verhundert an deme ver
unde twynttichsten jare, an deme sondaghe in der vasten alze men singhet Oculi mei semper ad dominum.
Diplomatische Erörterung: Pergament, Plica mit einem angehängten Siegel. – Zurzeit
nicht ermittelbar, kein Digitalisat [Auskunft des Archivs vom 20.12.2019].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Zz 23. D = Copiae Archivi [danach hier].
Edition: Historisch-theologisches Denkmahl der in S. Georg neu erbaueten hl. Drei-
einigkeitskirche. Nebst einer Historischen Nachricht von der alten St. Georgs
Kirche, hrsg, Henrich Hoeck, Christian Henrich Müller, Hamburg 1750, darin:
Henrich Hoecks kurzgefasste documentirte Nachricht von der alten, 1748 völlig
abgebrochenen St. Georgs Kirche in der Vorstadt vor Hamburg, S. 15–16.
Regest: Schütze, 433, S. 366.
321
1424 August 15. o. O.
1424.08.15 — Gg 32 a
321
Kersten Karstede, Knappe, macht bekannt, dass er sich mit den vom Rat beauftragten Ratsherren über eine Lösegeldzahlung von 60 m. Pfennige für seine Freilassung geeinigt habe
Kersten Karstede, Knappe, in einem offenen Brief: bekennt, dass er im Gefängnis
von Bürgermeistern und Ratsherren von Hamburg gesessen, sich jetzt aber mit
den Ratsherren Bernd Koldowe508 und Clawͤ s Meyger509 geeinigt und beschworen habe,
dass er dem Rat oder seinen Beauftragten für seine Freilassung ein Lösegeld (myne
schattinghe) von 60 m. Pfennige zahlen werde, 30 m. nächste Weihnachten und
30 m. Ostern danach. Sofern er diese nicht zahle, solle er Einlager in der Herberge
bei Clawes Haghedorn halten und nur mit Zustimmung des Rates wieder fortgehen.
Kersten beschwört für sich und seine Erben die Einhaltung seiner Zusagen. Beteko
von Kerberghe, Ebell Mollendoͤrp, Cůne Karstede und Vrytcze Karstede, Knappen, bürgen
mit gesamter Hand. Wenn Kersten versterbe oder fliehe, ohne dass die Summe
entrichtet sei, sollten sich die von Hamburg deshalb Gemahnten in Hamburg zum
508
Ratsherr 1421–1427.
509
Ratsherr 1421–1443.
346
Regesten der Jahre 14 00 –14 4 0
Einlager einfinden. Siegelankündigung des Ausstellers und der Bürgen. Gheven
na Godes bort dusent virhůndert jaͤr in deme vyrundetwinteghesten jare, in deme hilghen
daghe ghehethen Assumpcionis gloriose virginis Marie.
Diplomatische Erörterung: Nachgedunkeltes Pergament mit Faltung, Plica mit fünf an
Pergamentstreifen angehängten, relativ gut erhaltenen Siegeln. Rückseite ebenfalls nachgedunkelt mit der modernen Signatur Gg 32 a links oben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 32 a. D = Copiae Archivi [als Gg 32].
Regest: Lehe, Fehden, S. 165.
322
1424 August 15. o. O.
1424.08.15 — Gg 32 b
322
Kersten Karstede, Knappe, schwört Urfehde gegenüber Erich [V.], Herzog von Sachsen, seinen Brüdern Bernhard [II.] und Otto, ihren Landen und Untertanen, sowie den Städten Lübeck, Hamburg und Lüneburg
Kersten Karstede, Knappe, in einem offenen Brief: macht bekannt, dass er wegen
seiner Gefangenschaft gegenüber Herzog Erich [V.] von Sachsen, Engern und Westfalen, seinen Brüdern, den Herzögen Bernd und Otto,510 ihren Landen, Leuten und
Untertanen, den Bürgermeistern und Ratsherren der Städte Lübeck, Hamburg und
Lüneburg, ihren Mitbürgern, Einwohnern, Dienern und Verteidigern auch für seine Erbe und Verwandten eine feste Urfehde (eyne rechte, ware, vullenkomene, ewige
orveyde) geschworen habe. Er verzichte auf alle Forderungen und werde die Herzöge und Städte, ihre Mitbürger, Diener und Verteidiger nicht selbst oder durch
andere schädigen und sich selbst dann um Wahrung der Urfehde bemühen, wenn
ihnen sein Herr zum Feind werde. Vielmehr wolle er sich um ihr Bestes bemühen,
wo er könne. Kersten beschwört seine Zusagen. Kone Karstede und Vricze Karstede, seine Brüder, und Arnd Sak, Sohn des alten Hinrik Sack, zu Schnackenburg (to
der Snakenburg), bezeugen die Eidesleistung und bürgen mit Kersten mit gesamter
Hand für die Einhaltung. Wenn aber die Urfehde in irgendeiner Weise gebrochen
würde und die Bürgen durch die Herzöge oder Städte gemahnt würden, sollten sie
innerhalb von acht Tagen nach Hamburg zum Einlager reiten und es nicht verlassen, bevor sie sich nicht mit dem Rat von Hamburg, den Herzögen und den Städten
geeinigt hätten. Siegelankündigung des Ausstellers und der Bürgen. Gheven und
screv[en] na Godes bord dusent ver hundert jare in deme vere unde twintegesten jare in
deme hilgendage Unser Vrowen orer[e] Hemelvard.
Erich V., Herzog von Sachsen-Lauenburg (1411–1436), Bernhard II., Herzog von Sachsen-Lauenburg
(1436–1463), Otto († vor 1431).
510
[14]24 Sep temb er [2]. o. O.
3 47
Diplomatische Erörterung: Pergament mit Faltung, größeren Feuchtigkeitsflecken und
kleineren Textverlusten im oberen Teil, Plica mit vier an Pergamentstreifen befestigten, nur noch schlecht erkennbaren Siegeln. Rückseite mit etwas späterem
Kanzleivermerk: Orfeyde Karsten Karsteden. Ao 1423, und moderner Signatur (korrigiert) Gg No. 32 b.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 32 b. D = Copiae Archivi [als Gg 32].
Regest: Lehe, Fehden, S. 165.
323
[14]24 September [2]. o. O.
1424.09.02 — L 42
323
Bürgermeister und Ratsherren von Ribe an die Bürgermeister und Ratsherren der Stadt Hamburg: bezeugen, dass die Klippen (Klipppfennige) auf dem Ripener Markt 1423 September 8 verrufen worden und wertlos seien
Bürgermeister und Ratsherren von Ripen (Ribe) an die Bürgermeister und Ratsherren der Stadt Hamburg: bezeugen, dass die Klippen (klippinck penninge)511 auf dem
Ripener Markt 1423 September 8 (a[nno] xxiii nativitatis Marie) verrufen worden und
wertlos (afgeseth unde nicht gangbar) seien. Ankündigung des Stadtsiegels. Sonavendes negest nha Egidii a[nno] xxiiii.
Diplomatische Erörterung: Kleines Pergament mit Faltung und einem großen Feuch-
tigkeitsfleck unter dem Text, Plica mit einem an einem Pergamentstreifen angehängten, großen, relativ gut erhaltenen, aber gebrochenen Siegel.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. L 42. D = Copiae Archivi.
324
1424 September 7. Hamburg.
1424.09.07 — W 12
324
Werner, Dompropst, Gherd, Dekan, und das Domkapitel zu Hamburg bestätigen, dass Bürgermeister und Ratsherren der Stadt Hamburg ihnen für die privaten Bedürfnisse am Wall eine Moderkiste an ihrem Abtritt erlaubt hätten
Werner, Dompropst,512 Gherd, Dekan,513 und das ganze Domkapitel der Kirche zu
Hamburg, in einem offenen Brief: beurkunden, dass die Bürgermeister und Ratsherren der Stadt Hamburg ihnen für die privaten Bedürfnisse am Wall eine Moderkiste an ihrem Abtritt (torn) erlaubt hätten. Versprechen, diese abzubrechen,
wenn sie der Stadt zum Schaden gereiche. Siegelankündigung. Gheven unde screven
to Hamborch na Godes bord dusent veerhundert darna in deme veirundetwintigesten jare
in dem avende Unser Leven Vrowen der bord.
Klippen oder Klippinge (von klippen = mit der Schere schneiden) sind Münzen von eckiger Form,
zunächst in Skandinavien hergestellt, insbesondere in Notzeiten, in größerer Zahl bekannt aus dem
Krieg zwischen Christian II. von Dänemark und Schweden 1519–1523, s. Friedrich Schrötter, Wörterbuch der Münzkunde, Berlin, Leipzig 1930, S. 310.
511
512
Werner Militis, Dekan 1379–1415, danach (bis) 1426 als Propst belegt, Bruder des Kersten Miles.
513
Gherardus Balghe, Dekan 1421–1437.
348
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergament mit Faltung und größeren Feuchtigkeitsflecken
im oberen Teil, breite Plica mit einem an einem langen Pergamentstreifen angehängten Siegel. Auf der Rückseite mehrere Vermerke, oben: M, dazu H und a.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. W 12. D = Copiae Archivi.
Erwähnung: Lorenzen-Schmidt, „Thorn“, S. 12, Anm. 26 [längere Auszüge].
325
1424 September 11. o. O.
1424.09.11 — P 52 [1]
325
Haye Ripperda, Häuptling von Farmsum, bekennt vor allen, insbesondere vor Bürgermeistern und Rat von Hamburg, dass der Ewer, den Eggho van der Ijlste und Henric Bley, Bürger zu Groningen, Henrick Wolff und Johan Katte verkauft hätten, den Holländern in einem offenen Krieg geraubt worden sei
Haye Ripperda, Häuptling von Farmsum (Fermissen), in einem offenen Brief: bekennt
vor allen, insbesondere vor Bürgermeistern und Rat von Hamburg, seinen lieven
ende wael ghemynden vrenden, dass der Ewer oder das Schiff, den Eggho van der Ijlste
und Henric Bley, Bürger zu Groningen, Henrick Wolff und Johan Katte verkauft hätten,
den Holländern in einem offenen Krieg geraubt worden sei, der zu dieser Zeit zwischen den Groningern und den Holländern geführt worden sei. Das wolle er vor
allen bekannt machen. Siegelankündigung. Gheg[even] in den jaer onss Heren duͤ sent
vierhuͤ ndert vier ende twintich des naesten manedaghes na Onser Lie veer Vrouͤ wen daghe
Nativitatis.
Diplomatische Erörterung: Kleines Pergament mit Faltung, am Einschnitt eingerissen,
etwas zerknittert, mit von rechts abgeschnittenem Streifen für die Befestigung
des Siegels, aber nur noch ein geringer Siegelrest erhalten. Rückseite mit moderner Signatur mit Bleistift: P 52.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 52 [1]. D = Copiae Archivi.
Regest: HUB, 6, 565, S. 316 [als Nachtrag].
326
1424 September 12. o. O.
1424.09.12 — P 52 [2]
326
Lubbert Esschyng, Amtsmann des Gerichts von Selward, bekennt vor allen, insbesondere vor Bürgermeistern und Rat von Hamburg, dass der Ewer, den Henric Wolff und Johan Katte, Bürger von Kampen, von Egghe van der Ijlste und Henric Bley, Bürgern zu Groningen, gekauft hätten, den Holländern in einem offenen Krieg geraubt worden sei
Lubbert Esschyng, Amtsmann des Gerichts von Selward (Zelewarth), in einem offenen Brief: bekennt vor allen, insbesondere vor Bürgermeistern und Rat von Hamburg, seinen lieven ghemynden vrenden, dass der Ewer oder das Schiff, den Henric
Wolff und Johan Katte, Bürger von Kampen, von Egghe van der Ijlste und Henrick Bley,
Bürgern zu Groningen, gekauft hätten, den Holländern in einem offenen Krieg geraubt worden sei, der zu dieser Zeit zwischen den Groningern und den Holländern
geführt worden sei. Das wolle er vor allen bekannt machen. Siegelankündigung.
Gheg[even] in den jaer onss Heren duͤ sent vierhundert vier ende twintich des dynxedaghes
na Onser Lievͤer Vrouͤ wen daghe Nativitatis.
1424 Sep temb er 19. o. O.
3 49
Diplomatische Erörterung: Kleines Pergament mit Faltung, am unteren Rand von
rechts abgeschnittener, durch einen Schlitz gezogener Pergamentstreifen mit
daran angehängtem, recht gut erhaltenem Siegel. Rückseite mit moderner Signatur mit Bleistift: P 52.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 52 [2]. D = Copiae Archivi.
Regest: HUB, 6, 565, S. 316 [als Nachtrag].
327
1424 September 19. o. O.
1424.09.19 — P 52 [3]
327
Poppe Snelghers, Junghe Onno, Thyaert Wittens und Poppeke Uffens, Richter to den Damme, bekennen vor allen, insbesondere vor Bürgermeistern und Rat von Hamburg, dass der Ewer, den Henric Wolff und Johan Katte, Bürger von Kampen, von Egghe van der Ijlste und Henric Bley, Bürgern zu Groningen, gekauft hätten, den Holländern in einem offenen Krieg geraubt worden sei
Poppe Snelghers, Junghe Onno, Thyaert Wittens und Poppeke Uffens, Richter (buerrechters) to den Damme,514 in einem offenen Brief: bekennen vor allen, insbesondere vor
Bürgermeistern und Rat von Hamburg, ihren lieven vrenden, dass der Ewer oder das
Schiff, den Henric Wolff und Johan Katte, Bürger von Kampen, von Egghe van der Ijlste
und Henric Bley, Bürgern zu Groningen, gekauft hätten, den Holländern in einem
offenen Krieg geraubt worden sei, der zu dieser Zeit zwischen den Groningern und
den Holländern geführt worden sei. Das wollten sie vor allen bekannt machen. Siegelankündigung. Gheg[even] in den jaer onss Heren duͤ sent vierhundert vier ende twintich des dynxedaghes na suͤ nte Lambertus daghe.
Diplomatische Erörterung: Pergament, am unteren Rand von rechts abgeschnittener,
durch einen Schlitz gezogener Pergamentstreifen mit daran angehängtem, teilweise erhaltenem Siegel. Rückseite mit moderner Signatur mit Bleistift: P 52.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 52 [3]. D = Copiae Archivi.
Regest: HUB, 6, 565, S. 316.
328
1424 September 26. o. O. [Hamburg].
1424.09.26 — T 2 [I] und [II]
328
Bürgermeister und Rat der Stadt beurkunden die Entscheidung, die sie als Schiedsleute zwischen Propst, Dekan und Domkapitel zu Hamburg einerseits sowie Prioren, Gardianen und Konventen der Dominikaner und Franziskaner in Hamburg und zu Meldorf in ihren Streitigkeiten, insbesondere wegen des Viertels der Opfer, die den drei Klöstern geleistet werden, getroffen haben
Bürgermeister und Rat der Stadt Hamburg in einem offenen Brief: machen bekannt, dass sie als Schiedsleute zwischen Propst, Dekan und ganzem Domkapitel
zu Hamburg einerseits sowie Prioren, Gardianen und ganzen Konventen der Dominikaner und Franziskaner in Hamburg und zu Meldorf andererseits wegen aller
Streitigkeiten beraten haben, insbesondere wegen des Viertels (Quarts) der Opfer,
die den drei Klöstern geleistet werden (van der qwarten[en] weghen des offers, dat an
den dren erben[anten] closteren schied). Dabei haben sie entschieden:
514
Appingedam bei Delfzyl, nach HUB.
350
Regesten der Jahre 14 00 –14 4 0
[1.] Die drei Klöster sollten Propst, Dekan und Kapitel künftig jährlich an Michaelis
(September 29) für den Quart 11 m. Renten zahlen, die beiden Hamburger Konvente je 4 m., die Dominikaner zu Meldorf 3 m. Damit sollen alle Konflikte zwischen
der Hamburger Kirche und den Klöstern beigelegt sein.
[2.] In allen anderen Fragen, dem Hören der Beichte, dem Begräbnis der Toten und
der Predigt, soll es so gehalten werden, wie es bisher in der Stadt üblich war.
Siegelankündigung der Stadt. Gheven na Gades bord dusentveerhundert darna in deme
veereunndetwintighesten jare up den soeszunndetwintighesten dagh in dem maente September.
Diplomatische Erörterung: B1 und B2 sind Transsumpte der Urkunde durch Bürger-
meister und Ratsherren der Stadt Hamburg von 1485 Mai 17. B1: Großes Pergament mit Faltung und zahlreichen kleineren Feuchtigkeitsflecken, große Plica
ohne Einschnitte und Siegel. Rückseite mit dünnem Papier überklebt, Kanzleivermerk rechts unten: Concordia inter capitulum Hamburgen[se] et monasteria predicatorum et minorum facta per consulatu. 1485. / B2: Großes Pergament mit Faltung und mehreren großen Feuchtigkeitsflecken, Plica mit vier Einschnitten zur
Anbringung von Siegeln, drei mit Ausrissen, alle Pergamentstreifen und Siegel
fehlen. Rückseite mit späterem Kanzleivermerk: Super concordia de [anno] 1480
[sic] inter capitulo et praedicato[rum] monasteri[orum]. Anno 1485.
Überlieferung: B1 und B2 = StAHH 710-1 I Threse I, Nr. T 2 [1] und [2].
Erwähnung: Vollmers, Pfarreien, S. 305, Anm. 1439.
329
1424 Dezember 24. [Verden].
1424.12.24 — Oo 60
329
Hermen van Balghe und Steen van den Buyen, Vikare, sowie Lippold Ruenteshorn, Hinrik Scheleke, Bernd Boleman, Hinrik van Elte, Albert van der Hude, Hinrik van dem Borstele, Reymer van Broclo und Heyne van Ghotinghe, Bürger von Verden, geloben, Propst, Dekan und Domkapitel zu Hamburg sowie die Bauern des Kirchspiels Siek wegen der Gefangenschaft des dortigen Kirchherrn Arnd Stuve nicht weiter zu belangen
Hermen van Balghe und Steen van den Buyen, Vikare, sowie Lippold Ruͤ nteshorn, Hinrik
Scheleke, Bernd Boleman, Hinrik van Elte, Albert van der Hude, Hinrik van dem Borstele, Reymer van Broclo und Heyne van Ghotinghe, Bürger von Verden, in einem offenen Brief: machen bekannt, dass Werner Miles, Dompropst zu Hamburg,515 wegen
der Klage und Sache des Kirchspiels zu Siek (Vulensike) Arnd Stůve, den Kirchherrn
ebendort, dorch overtredinghe willen ins Gefängnis gebracht, ihn jedoch auf ihre und
anderer guter Freunde Bitten wieder freigelassen habe. Die Genannten geloben
Propst, Dekan und Domkapitel zu Hamburg und ihren Nachfolgern sowie den Bauern des Kirchspiels zu Siek und ihren Nachkommen, dass sie Arnd Stuve wegen der
Klage und Gefangenschaft nicht weiter belangen, schädigen oder nach geistlichem
515
Werner Militis, Dekan 1379–1415, danach (bis) 1426 als Propst belegt, Bruder des Kersten Miles.
1425 Februar 1. o. O.
351
oder weltlichem Recht verklagen werden. Wenn das trotzdem geschähe, würden
sie die Kosten und den Schaden tragen, die daraus entstünden. Sie geloben mit gesamter Hand. Siegelankündigung der Aussteller. Schreven unde gheven […] na Gades
bort dusent veerhundert jar, dar na in deme veer unde twinteghesten jare in hilghen avende
to nyen jare.
Diplomatische Erörterung: Pergament mit Faltung, etlichen größeren Feuchtigkeitsfle-
cken und einigen Textausfällen, schmale Plica mit neun von ursprünglich zehn
an Pergamentstreifen befestigten, runden Siegeln, die aber teilweise schlecht
erhalten sind, das neunte Siegel fehlt völlig. Stark nachgedunkelte Rückseite mit
dünnem Papier überklebt, unten in der Mitte Kanzleivermerke: [Urpheda nomine] domini Arnoldi Stuven et [fideiussorum] ad anno 1424, darunter N. 8 und älterer
Bleistiftvermerk.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Oo 60. D = Copiae Archivi.
330
1425 Februar 1. o. O.
1425.02.01 — Gg 34
330
Erich [V.], Herzog von Sachsen, quittiert dem Rat der Stadt Hamburg über in Lübeck und Hamburg gängige 150 m. aus der Schatzung, Beute und der Habe der Gefangenen der Lübecker und Hamburger aus der Mark Brandenburg und der Prignitz
Erich [V.], Erzmarschall des Heiligen Römischen Reichs und Herzog von Sachsen,516
in einem offenen Brief: quittiert den Bürgermeistern, Ratsherren und dem Rat
der Stadt Hamburg über in Lübeck und Hamburg gängige 150 m. Pfennige aus der
Schatzung, Beute und der Habe der Gefangenen der Lübecker und Hamburger aus
der Mark Brandenburg (Marke) und aus der Prignitz (Prigghenisse). Siegelankündigung. Screven na Godes bord duzend veerhundert jar darna an deme vifundetwintighesten
jare an Unser Leven Vrouwen avende to Lichtmissen.
Diplomatische Erörterung: Kleines, etwas nachgedunkeltes, oben eingerissenes Per-
gament mit Faltung und Feuchtigkeitsflecken, breite Plica mit einem an einem
Pergamentstreifen befestigten, stark beschädigten Siegel in Kunststoff-Kapsel.
Rückseite mit Kanzleivermerk unten in der Mitte: quitantie upp 150 m. 1425.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 34. D = Copiae Archivi.
Edition: UB Stadt Lübeck, 6, DCXLV, S. 627; Codex diplomaticus Brandenburgensis.
Sammlung der Urkunden, Chroniken und sonstigen Quellenschriften für die Geschichte der Mark Brandenburg und ihrer Regenten, Reihe B, Bd. 3, hrsg. Adolph
Friedrich Riedel, Berlin 1846, MCDXLVII. S. 460.
Regest: Lehe, Fehden, S. 165.
516
Erich V., Herzog von Sachsen-Lauenburg (1411–1436).
352
331
Regesten der Jahre 14 00 –14 4 0
1425 März 22. o. O.
1425.03.22 — Ee 59
331
Borchard Krumedik, […] Steene, Knappen, schwören Bürgermeistern, Ratsherren und ganzer Gemeine zu Hamburg sowie allen Einwohnern und Untersassen Urfehde
Borchard Krumedik, […] Steene, Knappen, in einem offenen Brief: machen bekannt,
dass sie Bürgermeistern, Ratsherren und ganzer Gemeine (meenheyt) zu Hamburg
sowie allen Einwohnern und Untersassen Frieden gelobt hätten ([…] vrede an guden
truwen zunder arch). Hinrik und Hartigh, Brüder, gheh[eten] Crumedik, [bürgen]. So
sollen die Hamburger nicht geschädigt werden, [auch nicht bei einem Bündnis zwischen ihrem Herrn, dem Herzog von Schleswig517 und dem König von Dänemark.518
[… Regelungen für einen Bruch des Friedens.] Siegelankündigung Borchards und
der Bürgen. [… Na Godes] bord xiii hundert jar, darna in dem viff unde [twinti]gesten jare
den donr[esdage na Letare Jerusalem] to [mid]vasten.
Diplomatische Erörterung: Pergament mit zahlreichen Feuchtigkeitsflecken und Lö-
chern, stark beschädigt mit großflächigem Papier- und Textverlust [daher hier
nach D, Inhalt kaum noch erschließbar]. Zwei Schlitze zur Siegelanbringung, die
Plica ist geöffnet, Pergamentstreifen und Siegel fehlen. Rückseite zur Stabilisierung mit festem, dunklerem Papier überklebt, darauf die moderne Signatur mit
Bleistift: Ee 59.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ee 59. D = Copiae Archivi [danach hier].
Regest: Lehe, Fehden, S. 165.
332
1425 April 3. Hamburg.
1425.04.03 — Ww 10
332
Gherhardus, Dekan, und das Hamburger Domkapitel machen bekannt, dass Johannes Redeber, Pfarrer zu Winsen, Bernardus Fabri, am Dom, Helmold Lyndeman, zu St. Petri, Johannes Ulsen und Christian Bentsnider, zu St. Nikolai Vikare, als Testamentsvollstrecker des Vizerektors von St. Jacobi, Johannes Schele, eine Vikarie am Altar der hl. Erasmus, Servatius, Cecilia, Dorothea und Elisabeth in St. Jacobi mit Renten von 24 ½ m. ausstatten wollten, nehmen die Renten unter kirchlichen Schutz und errichten die Vikarie
Gherhardus, Dekan,519 und das Hamburger Domkapitel in einem offenen Brief: sie
machen bekannt, dass vor ihnen Johannes Redeber, Pfarrer zu Winsen, Bernardus
Fabri, ständiger Vikar ihrer Kirche,520 Helmold Lyndeman, zu St. Petri,521 und Johannes
Ulsen und Christian Bentsnider, zu St. Nikolai ständige Vikare, als Testamentsvollstrecker des verstorbenen Vizerektors von St. Jacobi, Johannes Schele,522 erschienen
seien. Diese hätten erklärt, dass Johannes in seinem letzten Willen die Errichtung
einer ewigen Vikarie in St. Jacobi am Altar der Heiligen Erasmus, Servatius, Cecilia, Dorothea und Elisabeth verfügt und ihr folgende Einkünfte übertragen habe:
517
Heinrich IV. Graf von Holstein, nicht belehnter Herzog von Schleswig (1404–1427).
518
Erik (VII.) (Erich von Pommern), König von Dänemark, Norwegen und Schweden, (1397/1412–1439).
519
Gherardus Balghe, Dekan 1421–1437.
520
Belegt 1406–1458, vgl. Vollmers, Pfarreien, S. 660.
521
Belegt 1410–1429, vgl. Vollmers, Pfarreien, S. 664.
522
Als Kirchherr an St. Nicolai belegt 1412 März 14, Vollmers, Pfarreien, S. 673–674.
1425 Juni 23. o. O.
353
10 m. Rente vom Erbe des Johannes Snewerdinge und 4 m. im Erbe des Johannes van
dem Ghoren, beide in der Reichenstraße (platea divitum), 3 m. im Erbe von Jacob Voss,
in der Katharinenstraße (in platea Sancte Katherine), 7 ½ m. in Finkenwerder (in insula dicta Vinckenwerder). Die Testatoren hätten gebeten, die Einkünfte unter den
Schutz des Kapitels zu nehmen und die Errichtung der Vikarie zu Ehren St. Marien
am genannten Altar zu gestatten. Dekan und Kapitel folgen der Bitte, und Johannes Redeber, seinen Verwandten und deren Nachkommen wird auf 120 Jahre das
Patronatsrecht über die Vikarie und damit das Recht, geeignete Geistliche dafür
vorzuschlagen, übertragen. Als erster solle jedoch für die Vikarie Johannes Schele,
Kleriker der Diözese Verden, präsentiert werden. Die gottesdienstlichen Pflichten
werden bestimmt. Der Vikar solle auch jährlich am Todestag des Johannes Schele
2 m. an die Kanoniker und Vikare von St. Jacobi zahlen, und die Mägde des Testators, Hille und Alheyd Struve, erhielten 4 m. bzw. 1 m. von den jährlichen Einkünften. Nach ihrem Tod sollten die Gelder an die Vikarie zurückfallen. Datum et actum
Hamborch in loco capitulari ecclesie nostre predicte anno a nativitate domini millesimo
quadringentesimovicesimo quinto, tercia die mensis Aprilis.
Diplomatische Erörterung: Großes Pergament mit Faltung und einigen größeren
Feuchtigkeitsflecken, breite Plica mit einem an einem Pergamentstreifen befestigten, stark restaurierten Siegel der Hamburger Kirche. Die entlang der Faltlinie
nachgedunkelte Rückseite links unten mit den Vermerken: Sancti Jacobi. Vicaria
altaris Sanctorum Herasmii et Servatii confessor[ibus], Cecilie et Dorothee virginum ac
Elizabeth vidue. Reg[istra]ta folio 14. 1425. Dazu von jüngerer Hand: [Pro] Johann Schelen testamen[ti]. 24 ½ m. reditus. No. 50. fol. […]05.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ww 10. D = Copiae Archivi.
Erwähnung: Vollmers, Pfarreien, S. 626–627, 660, 664, 674.
333
1425 Juni 23. o. O.
1425.06.23 — Rr 94
333
Frederik Wesseken schwört Propst, Dekan und Kapitel der Kirche zu Hamburg Urfehde
Frederik Wesseken in einem offenen Brief: bekennt für sich, seine Erben und Helfer,
dem Propst, Dekan und Kapitel der Kirche zu Hamburg Urfehde (ene rechte orveide)
geschworen zu haben. Er wolle sie, ihre Nachfolger und Untertanen künftig auf
keine Weise schädigen, sondern nur ihr Bestes anstreben. Er verzichte damit auf
alle Forderungen, die er gegenüber den Untertanen von Propst, Dekan und Kapitel
wegen Schulden und Schäden (van der penning schulde unde schade wegen) erhoben
habe. Siegelankündigung. Geven na Godes bord dusent veerhundert dar na in deme vifundetwintigesten jare an sunte Johannis Baptisten avende midden in deme sommer, alse
he geboren ward.
35 4
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergament mit Faltung, einem Riss an der Faltlinie, einigen
größeren Feuchtigkeitsflecken und leichtem Textverlust, breite Plica mit einem
an einem Pergamentstreifen befestigten Siegel. Auf der teilweise stark nachgedunkelten Rückseite Kanzleinotiz: Litera testimonialis quod quidam Frederik Wesseken decreta[t quod] non intendit molestare [capitulum]. 1425.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Rr 94. D = Copiae Archivi.
334
1425 August 1. o. O.
1425.08.01 — Kk 52
334
Ulricus van Verwen, Vikar in der Kapelle des hl. Geistes zu Hamburg, macht bekannt, dass er 16 m. jährlicher Rente für eine Messstiftung geben wolle, dazu ein Missale, einen Kelch mit Patene, ein Messgewand und ein Gebetbuch, die ewig bei dieser Stiftung bleiben sollten
Ulricus van Verwen, Vikar in der Kapelle des hl. Geistes zu Hamburg, in einem offenen Brief: macht bekannt, dass er zu Ehren Gottes, der Jungfrau Maria und aller
Heiligen, zur Mehrung des Gottesdienstes sowie für sein Seelenheil, das seiner Eltern und Wohltäter 16 m. jährlicher Rente für eine Messstiftung (to ener ewyghen
almesen missen) geben wolle, dazu ein Missale (misseboek), einen Kelch mit Patene,
ein Messgewand (een missewede mit aller tobehorynghe) und ein Gebetbuch (verdeboek), die ewig bei dieser Stiftung bleiben sollten. Ulrich wolle die Messstiftung
(almesen) zu seinen Lebzeiten selbst wahrnehmen und vor seinem Tode auch seinen Nachfolger bestimmen. Nach dessen Tod sollten die zwei ältesten und die zwei
jüngsten Vikare an St. Nicolai, die stets an der Kirche residieren, die Messstiftung
einem ehrbaren Priester (einem armen bederven prestere) oder einem anderen ehrbaren Mann, der innerhalb eines Jahres zum Priester geweiht werde, verleihen,
der an St. Nicolai regelmäßig die Messe lesen solle, insbesondere donnerstags eine
Messe van deme hylghen lychamme. Wenn sich die Vikare nicht einigen könnten,
sollte der Pfarrer an St. Nicolai den Ausschlag geben. Die Messstiftung solle weder gegen Gaben, noch für Dienste oder an Verwandte sowie für eine vereinbarte
Verbesserung (umme vorbeteringe willen mit vorworden) vergeben werden. Wenn der
jeweilige Inhaber eine Verbesserung der Stiftung vornehmen wolle, könne er dies
jederzeit tun. Der Vikar solle regulär Messen lesen und für das Seelenheil Ulrichs
und seiner Wohltäter beten, aber sich dem Kirchherrn unterordnen. Wenn der Inhaber der Stiftung keine angemessene Lebensführung habe, könnten ihn die vier
Vikare bestrafen oder notfalls durch einen ehrbaren Priester ersetzen. Der Vikar
solle jährlich für das Totengedächtnis Ulrichs mit Vigilien und Seelenmessen 2 m.
im Chor von St. Nicolai verteilen, davon 1 m. an seinem Todestage, von denen der
Kirchherr zuvor 2 sol. erhalten solle, und 1 m. zum Gedächtnis seiner Eltern und
Wohltäter. 1 m. solle auch in der Kapelle des hl. Geistes verteilt werden. Würde
ein Teil der Renten von 16 m. abgelöst, sollten die vier Vikare mit dem Inhaber
der Stiftung das Kapital neu anlegen. Könne das nicht angemessen geschehen
1425 Sep temb er 30. Hamburg.
355
und müsse das Geld längere Zeit verwahrt werden, sollten die vier Vikare und der
Kirchherr zusammen mit dem Inhaber den Schaden tragen. Ulrich wolle, dass die
Stiftung unverbrüchlich auf ewige Zeit bestehen bleibe. Conradus van Rederen und
Nicolaus Stolte, zurzeit älteste, und Johannes Hoke und Thidericus van Rethem, zurzeit
jüngste Vikare an St. Nicolai, haben Ulrichs Vorhaben gebilligt und die Messstiftung für sich und ihre Nachfolger angenommen. Siegelankündigung Ulrichs und
der vier Vikare. Gheven […] na Ghodes bord in deme dusentsten veerhundertsten vyf unde
twyntichsten yare up den dach sunte Peters des hylghen aposteles, alse he ghelozet ward
uth den banden.
Diplomatische Erörterung: Großes Pergament mit großer Initiale, Faltung, Plica mit
einer Nahtstelle und Einschnitten zur Befestigung von fünf Siegeln, Pergamentstreifen und Siegel fehlen. Teilweise stark nachgedunkelte Rückseite mit einem
zeitgenössischen Vermerk links quer: Fundatio elemosine cuius presentatio spectat
ad duos seniores et duos juniores vicarios. Darüber in der Mitte jünger: Tho S. Nicolaus, und: Fundatio commendae in capella s. Spiritus cuius [folgt Rasur sunt] patroni
sunt vicarii S. Nicolai, duo seniores et juniores. Dazu 16 m. renthe jarlichs. 1425.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Kk 52. D = Copiae Archivi.
Erwähnung: Vollmers, Pfarreien, S. 152, 249, 326, 328, 519–520.
335
1425 September 30. Hamburg.
1425.09.30 — Gg 33
335
Reyneke Strote, Knappe, quittiert der Stadt Hamburg den vollständigen Empfang seines Soldes für seinen Dienst mit drei Pferden sowie ein Geschenk von 20 Arnheimschen gld.
Reyneke Strote, Knappe, in einem offenen Brief: macht bekannt, dass er Bürgermeistern und Rat der Stadt Hamburg mit drei Pferden (dren perden) gedient habe
und quittiert den vollständigen Empfang seines Soldes. Er habe darüber hinaus ein
Geschenk (umme sunderger vruntschop willen) von 20 Arnheimschen gld. erhalten
und wolle sich daher auch weiter um das Wohl von Stadt, Bürgern, Einwohnern
und Untertanen Hamburgs bemühen. Siegelankündigung. Gheven tho Hamborch na
Godes bord dusend verhundert darna an deme vifundetwintigesten jare an sunte Jeronimus
des hilgen lerers dage.
Diplomatische Erörterung: Etwas nachgedunkeltes, kleineres Pergament mit einigen
Feuchtigkeitsflecken, breite Plica mit einem an einem Pergamentstreifen befestigten, gut erhaltenen Siegel. Auf der Rückseite in der Mitte Kanzleinotiz: Quitancie enes deners. 1425.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 33.
356
336
Regesten der Jahre 14 00 –14 4 0
1425 Oktober 13. o. O.
1425.10.13 — P 23
336
Die Häuptlinge von Föhr sprechen den Rat von Hamburg von allen Ansprüchen frei wegen 50 m., die von Clawes Krulle, Bürger zu Hamburg, mit Beschlag belegt gewesen und von Rikwert und seinem Bevollmächtigen Heyne Brandes ausgelöst worden seien
Die Häuptlinge von Föhr (Fore) in einem offenen Brief: machen für sich und ihre
Nachfahren bekannt, dass sie den Rat von Hamburg von allen Ansprüchen befreit
hätten wegen 50 m., die von Clawes Krulle, Bürger zu Hamburg, mit Beschlag belegt
gewesen und von jemandem namens Rikwert und seinem Bevollmächtigen Heyne
Brandes ausgelöst worden seien. Die Häuptlinge geloben die Einhaltung ihrer Zusagen. Siegelankündigung. Screven unde gheven na Godes bort verteynhundert jar dar
na in dem vifundetwinteghesten jare des verteynden daghes na sunte Michelis daghe des
hillighen erczengels.
Diplomatische Erörterung: Kleines Pergament mit Faltung, linke obere Ecke abgerissen
und stark nachgedunkelt, mit zahlreichen Feuchtigkeitsflecken und kleineren
Textausfällen, Plica mit zwei unterschiedlich erhaltenen Pergamentstreifen, die
beiden Siegel fehlen. Rückseite mit Rest eines Kanzleivermerks am Abriss.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 23. D = Copiae Archivi.
337
1426 Januar 18. Hamburg.
1426.01.18 — Ss 57
337
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass der Hamburger Bürger Hinricus Meymerssen die Vikarie am Altar der 11 000 Jungfrauen im Dom, die nur noch geringe Einkünfte habe, zusätzlich mit Renten von 32 m. ausstatten wolle, nehmen die Rente unter kirchlichen Schutz und weisen die Einkünfte der Vikarie zu
Gherhardus, Dekan,523 und das Hamburger Domkapitel in einem offenen Brief: machen bekannt, dass, weil die ewige Vikarie am Altar der heiligen 11 000 Jungfrauen im Dom, die zurzeit Johannes Elterstorp innehabe, wegen Epidemien, Kriegen
und anderer Verwüstungen immer geringe Einkünfte habe, der Hamburger Bürger Hinricus Meymerssen die Einkünfte der Vikarie zu seinem Seelenheil und dem
seiner Vorfahren vermehrt habe. Er habe aus seinem Besitz 22 m. Rente gestiftet, von denen jede m. lüb. für 15 m. auszulösen sei, von dem Grundstück in der
Reichenstraße (platea divitum) zwischen dem Besitz des Thidericus Luneborch und
des Johannes Rogghe. Dekan und Kapitel nehmen die Rente unter ihren Schutz und
nutzen sie zur Finanzierung der Vikarie. Heinrich und seine Frau Margarethe, die
als neue Stifter der Vikarie gelten könnten, sowie ihre Erben könnten zudem einen geeigneten Geistlichen aus ihrer Verwandtschaft für die Vikarie vorschlagen,
aber spätestens nach 130 Jahren falle das Präsentationsrecht an das Kapitel zurück.
Vermerk über die Anfertigung des Notariatsinstruments und Siegelankündigung.
Datum et actum in prefata ecclesia nostra anno a nativitate domini millesimo quadringentesimo vicesimosexto indictione quarta die decimaoctava, mensis Ianuarii hora tertiarum
523
Gherardus Balghe, Dekan 1421–1437.
1426 Mär z 12 . o. O.
357
vel quasi, pontificatus sanctissimi in Christo patris et domini nostri domini Martini divina
prudentia pape quinti anno nono […]. Zeugen: Hinricus de Buttell524 und Bernardus Faber
ewiger Vikar dieser Kirche.
Diplomatische Erörterung: Notariatsinstrument des Hinricus Leddinghusen, Kleriker der
Verdener Diözese, Notar kaiserlicher Autorität, mit dessen Notariatszeichen.
Pergament mit Faltung, Feuchtigkeitsflecken und einem größeren, rautenförmigen Ausriss im unteren Textdrittel mit daraus resultierenden Textverlusten,
Plica mit einem an einem Pergamentstreifen befestigten, stark beschädigten Siegel der Hamburger Kirche. Rückseite mit mehreren, teilweise späteren Vermerken unten rechts (ebenfalls mit Textverlusten durch den Ausriss): Hamburgensis
vicar[ia …]. Fundacio vicarie que possidet Meimersen. Die sabbati 25 mensis Octobris
[iussum] per [impulsus pro]duxit. 1483. Nicolaus Bolst[orp diac]onus. Nach dem Ausriss: […] maioris ecclesie. Institutione vicarie […] undecim millium virginum, r[egistra]ta
fol. 28. Der entsprechende ältere Eintrag ist mit schwarzer Tinte überschrieben:
Undecim millium virginum. Darunter folgt ebenfalls von jüngerer Hand: 1426. Super
22 m. reditus. Vicaria [pri]ma.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ss 57.
Edition: Staphorst, I, 2, S. 170–172.
Regest: Schütze, 438, S. 367.
338
1426 März 12. o. O.
1426.03.12 — O 47
338
Die Bauerschaften von Barlt, Volkenesworden, Kannemoor und Trennewurth erklären, dass sie eine Kirche zu Ehren der Mutter Gottes, des heiligen Kreuzes und aller Seelen errichten und ausstatten wollten
Die Bauerschaften (wy bure) von Barlt (Barlete), Volkenesw[o]rden, Kannemoor (Kennekenmor) und Trennewurth (Trendewerd) erklären, dass sie eine Kirche zu Ehren
der Mutter Gottes, des heiligen Kreuzes und aller Seelen bauen wollten, mit Rat
von Johan[nes] Fabri, Heynen Sohn, der ihnen eine geeignete Stelle weisen werde.
Die Bauerschaften würden die Erlaubnis zum Bau der Kirche erwerben und Bücher,
Kelche, Messgewänder, Glocken, Wein und Brot für die Gottesdienste beschaffen
und was sonst notwendig sei. Auch würden sie einen ehrlichen, frommen Priester
versorgen, der der Kirche vorstehe. So solle er je Pflug einen guten scl. Gerste Meldorfer Maß bekommen, je Haus ein Huhn. Dazu gebe man ihm das Siddeldeichsfeld
(Sideldik) bei Volkensworden, den er bebauen könne. Wenn die Vorsteher der Kirche
damit nicht mehr zufrieden seien, sollten sie dem Priester nach seinem Willen anderes freies Land in derselben Größe geben. Der Priester solle auch die gemeine
524
Als Domherr belegt seit 1432.
358
Regesten der Jahre 14 00 –14 4 0
Weide und das Wasser nutzen. Wolle der Priester seinen Hof, die Gebäude oder
Scheune (den wedemehoff, den verff huvs edder schune unde den graben, de dar umme
gheyt) verbessert haben, sollen die Kirchenvorsteher dem umgehend nachkommen. Wenn seine Versorgung nicht ausreiche, sollten sie ihm zusätzlichen Unterhalt geben. Auch sollten sie einen Küster bezahlen, der ihn unterstütze. Die Bauern
geloben die Einhaltung der Zusagen, alles zu verbessern, nicht zu verschlechtern.
Sie geloben den Bau der Kirche und des Pfarrhofs und für alles Notwendige zu sorgen. Wer dagegen vorgehe, sei meineidig und ehrlos und müsse mit 30 m. lüb. für
die Kirche und 30 m. für die Vorsteher büßen. Falls sich die Bauern von Kannemoor
und Trennewurth doch nicht beteiligten, würden die Bauern von Barlt und Volkenesworden die Kosten allein tragen und würden ihrem Kirchherren in den zwölf
Tagen zu Weihnachten jeweils zwei scl. Gerste je Pflug und zwei Hühner je Haus
geben. Ghescreven na Godes bort duvsent veerhundert dar na in dem sesundetwinteghesten jare in dem daghe sunte Gregorieses des hilghen paweses […]. Siegelankündigung der
vier Bauerschaften.
Diplomatische Erörterung: Größeres Pergament mit Faltung, einigen Feuchtigkeitsfle-
cken und kleinem Einriss links unten, schmale Plica mit zwei Schlitzen zur Siegelanbringung, nur das erste Siegel ist restauriert erhalten. Auf der Plica rechts
die moderne Signatur mit Bleistift: O Nr. 47. Die vor allem entlang der Faltlinie
nachgedunkelte Rückseite mit modernem Kanzleivermerk: Barleter und Wulckeswurdener in Dittmarschen Verordnung, darunter 1426.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. O 47. D = Copiae Archivi.
339
1426 Juni 18. Hamburg.
1426.06.18 — Tt 46 (1)
339
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass ihr Mitkanoniker Hermannus Crevet am Altar des Apostels Bartolomäus, der Märtyrer Wenzel und Hadrian und der Jungfrau Katharina in St. Petri eine ewige Vikarie mit Renten von 34 m. ausstatten wolle, billigen die Stiftung, nehmen den Besitz unter kirchlichen Schutz und errichten die Vikarie
Gherardus, Dekan,525 und das gesamte Domkapitel zu Hamburg in einem offenen
Brief: machen bekannt – zur Vermehrung des Kults und der Fürsorge für das
Seelenheil der Gläubigen –, dass Hermannus Crevet, ihr Mitkanoniker,526 zu Ehren
Gottes, Marien und der himmlischen Heerscharen und zum Seelenheil seiner Vorfahren und Wohltäter eine ewige Vikarie am Altar des Apostels Bartolomäus, der
Märtyrer Wenzel und Hadrian und der Jungfrau Katharina in St. Petri neu errichten und mit gewissen Renten für einen ehrenhaften Priester ausstatten lassen
wolle. Die Renten seien 8 m., gekauft von Tidericus Luneborch, Bürger Hamburgs,
525
Gherardus Balghe, Dekan 1421–1437.
526
Belegt auch 1426 Juni, auch Domherr zu Lübeck.
1426 Juni 18. Hamburg.
359
die dieser im Erbe von Hinricus Azendorp im Grimm (in platea dicta vulgariter in dem
Grymme) zwischen den Erben des Godeke Tode und des Johannes Azendorp, weiter
8 m. auf den Gütern des Ludekin Hebelensone im Kirchspiel Haselau (Hazelowe), 3 m.
auf den Erbgütern des Peter Breyde, im selben Kirchspiel, 4 m. auf den Gütern des
Tymo Kerkhoff im Kirchspiel Elmshorn (Elmeshorn), 2 m. auf den gemeinsamen Gütern von Willekin Gruwel und Nicolaus Nyebur im Dorf Kurzenmoor (Kortemoer), 6 m.
auf den Gütern von Thidericus Bomgharden im Dorf Raa (heute Raa-Besenbek) im
Kirchspiel Elmshorn, 1 m. auf den Gütern des Ludekin Vleteman in Kurzenmoor, 1 m.
auf den Gütern des Hinricus Kopman im Dorf Loo (wohl Lohe in Uetersen) im Kirchspiel Uetersen (Utersten) sowie 1 m. auf den Gütern des Hinricus Pils, bei der Mühle
in Elmshorn, wie aus den darüber ausgestellten, bei ihnen hinterlegten Urkunden hervorgehe. Auf Bitten Hermanns billigten sie die Schenkung, nähmen sie den
Besitz unter kirchlichen Schutz und setzten ihn zur Ausstattung der genannten,
von ihnen damit eingerichteten Vikarie ein. Die Vikarie solle niemand erhalten,
der nicht schon Priester sei oder zumindest innerhalb eines Jahres nach der Präsentation dazu geweiht werde. Der jeweilige Vikar solle jede Woche drei genauer
bestimmte Messen lesen, jährlich 4 m. am Dom und 2 m. an St. Petri für Hermanns
memoria und die seiner Vorfahren und Wohltäter unter den Klerikern verteilen
und zwischen Weihnachten und Mariae Verkündigung neun Kerzen im Chor des
Doms aufstellen. Der thesaurarius von St. Petri solle für die Verwahrung der Kerzen
2 m. erhalten. Ein Teil der Einkünfte werde jedoch auf Lebzeiten Hermann vorbehalten. Hermann und nach ihm der jeweilige Propst des Klosters Uetersen sollten
das Präsentationsrecht ausüben. Abgelöste Renten sollten ersetzt werden. Siegelankündigung. Datum et actum in loco capitulari eiusdem nostre ecclesie. Anno a nativitate domini millesimo quadringentesimo vicesimo sexto, decimaoctava die mensis Junii.
Diplomatische Erörterung: Großes Pergament mit Faltung, einigen dunklen, größeren
Feuchtigkeitsflecken und zwei größeren Ausrissen, dabei Textverlust durch den
Ausriss rechts in der Mitte, Plica mit zwei an Pergamentstreifen befestigten Siegeln, dem großen des Kapitels sowie einem kleineren, schlecht erhaltenen Siegel. Teilweise stark nachgedunkelte Rückseite mit Kanzleivermerk rechts quer:
Fundacio super vicaria sancti Bartolomei et Wenczelai in ecclesia sancti Petri fundato per
dominum Hermannum Krevet curatus quondam ecclesie Hamburgensis [praeter] cuius
obitum ius presentandi debeat devolvi ad prepositum in Utersten. 1426.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Tt 46 (1). D = Copiae Archivi.
Erwähnung: Vollmers, Pfarreien, S. 450.
360
340
Regesten der Jahre 14 00 –14 4 0
[1426 November] 15. Hamburg.
1426.11.15 — Rr 27
340
Gerhardus, Dekan, und das ganze Domkapitel Hamburgs an Hermannus de Buren, Magister Hermannus Vos und Hinricus Gherlaci, ihre Mitkanoniker: teilen mit, dass 1426 November 12 Wernerus Militis, Dompropst, verstorben sei und die Neuwahl auf 1426 November 21 festgesetzt sei, und fordern zur persönlichen Teilnahme an der Wahl auf
Gerhardus, Dekan,527 und das ganze Domkapitel Hamburgs an Hermannus de Buren,528
Magister Hermannus Vos529 und Hinricus Gherlaci, ihre Mitkanoniker: teilen mit, dass
1426 November 12 (millesimo quadringentesimo vicesimo sexto die vere martis duo decima mensis Novembris) Wernerus Militis, Dompropst,530 verstorben sei und sie sich
1426 November 15 (die veneris dicti mensis Novembris decima quinta anni predicti) im
Kapitel zusammengefunden und die Neuwahl auf 1426 November 21 festgesetzt
hätten (diem jovis supradicti mensis Novembris vicesimamprimam […] ad electionem futuri prepositi […] statuimus). Fordern zur persönlichen Teilnahme an der Wahl am
besagten Tag hora terciarum auf, die jedoch auch bei ihrer Abwesenheit durchgeführt werde. Datum Hamborch in loco capitulari prefate nostre ecclesie die veneris decima
quinta anni supradicti eiusdem nostre ecclesie. Siegelankündigung.
Diplomatische Erörterung: Pergament mit Faltung und wenigen Feuchtigkeitsflecken
(vor allem an der Faltlinie der rechten Seite), Plica mit einem beschädigten, an
einem Pergamentstreifen befestigten Siegel. Auf der teilweise nachgedunkelten
Rückseite rechts am Rand quer Kanzleivermerk mit jüngeren Nachträgen: Littera
super electione prepositi. 1426. N. 80, davor jünger: Citacionis, dazu runder Stempel
mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Rr 27. D = Copiae Archivi [mit falscher
Datierung].
341
1426 November 30. Hamburg.
1426.11.30 — Ss 58 [1] und [2]
341
Johannes Elterstorp, ewiger Vikar am Dom, verfügt testamentarisch eine Stiftung von 100 m. lüb. für die Zusammenlegung zweier Kapellen, 64 m. an Renten sowie 90 m. Kapital zur Umwandlung in Renten für acht Vikare und Priester am Dom
Johannes Elterstorp, ewiger Vikar an St. Marien, verfügt testamentarisch eine Stiftung zugunsten der Verbesserung des Gottesdiensts in St. Marien: 100 m. lüb. für
die Zusammenlegung zweier Kapellen des hl. Magnus und der hl. drei Könige im
Osten der Kirche, damit in der neuen Kapelle laut und klar, bei Tag und Nacht angemessen die Marienhoren gesungen werden können. Dazu stifte er 64 m. Einkünfte,
so 10 m. von Ott[o Kule] in Neuenkirchen (in parrochia Nygenkercken), 10 m. von Peter
Howen in Krempe (in parrochia Crempen), 10 m. von Marquard Rumor in Borsfleth (in
parrochia Borsvlethe), 10 m. von Georg Crujmmendyck in Krummendiek (Kreis Stein527
Gherardus Balghe, Dekan 1421–1437.
528
Belegt 1419–1439.
529
Belegt 1410–1428.
530
Dekan 1379–1415, danach (bis) 1426 als Propst belegt, Bruder des Kersten Miles.
1427 Januar 3. Hamburg.
361
burg, Crummendyck), 10 m. von Bruno tho der Wilster und 8 m. vom Feld in Neuenkirchen, das Drewes Botterman innehabe. Er stifte 90 m. zur Umwandlung in Renten
für acht Vikare und Priester, die in genau festgelegter Form die Horen zelebrieren
sollten. Verfügt wird über Strafen für Abwesenheit, ebenso über die Beteiligung
Marquard Sterneberchs und anderer Priester. Nach dem Tod Johannes Elterstorps
sollten der Dekan, der structurarius der Hamburger Kirche und vier Vikare zusammen mit den Testamentsvollstreckern für die Umsetzung der Regelungen sorgen.
Dazu gehören auch die Bestimmungen für die Einzelsummen von insgesamt 64 m.,
die für sein Seelenheil zu verwenden seien, davon 10 m. für Arme am Dom, 10 m.
für Arme an St. Petri, 10 m. für Arme an St. Johannis, 10 m. für Arme an St. Marien
Magdalenen, 10 m. für Arme am Heiliggeist-Hospital, 8 m. für die armen Leprosen
in St. Georg. Datum et actum Hamborch anno domini millesimo quadringentesimo vicesimosexto in festo beate Andree apostoli […].
Diplomatische Erörterung: B1 ist inseriert in ein Notariatsinstrument des Heinrich Led-
dinghusen, von 1427 Januar 3. Großes Pergament mit Feuchtigkeitsflecken, die
Urkunde ist in zwei Teile zerrissen (senkrecht etwa im ersten Viertel) mit daraus
resultierenden Textverlusten [s. unten Nr. 342]. / B2 ist Kopie der inserierten
Urkunde Johannes Elterstorps, auf einem Doppelblatt Papier, 1r-2v beschrieben,
mit späteren Ergänzungen am Rand, rundherum unregelmäßig abgerissen. Quer
auf 2v von jüngerer Hand, teilweise verblasst: Copia fundationis [hochgestellt:]
commende [horarum altaris … ] et Marie virginis. 1426 [ergänzt:] et 1427. Von jüngerer
Hand: ad horas Mariae virginis in [summa (ecclesia)]. No. 22. +. Dazu die moderne
Signatur unten: Ss 58.
Überlieferung: B1 = StAHH 710-1 I Threse I, Nr. Ss 58 [1]; B2 = StAHH 710-1 I Threse I,
Nr. Ss 58 [2] [danach teilweise ergänzt].
342
1427 Januar 3. Hamburg.
1427.01.03 — Ss 58 [1] und [2]
342
Gherhardus, Dekan, und das Hamburger Domkapitel machen bekannt, dass ihnen Magister Johannes Bennyn und Hinricus de Buttel, Vikar am Dom, als Testamentsvollstrecker Johannes Elt[erstorps] die Verfügung Johannes Elterstorps von 1426 November 30 (Nr. 341) vorgelegt hätten, die sie vidimieren, nehmen die Stiftung an und sichern die erbetene Verwendung zu
Gherhardus, Dekan,531 und das Hamburger Domkapitel in einem offenen Brief: machen bekannt, dass vor ihnen Magister Johannes Bennyn532 und Hinricus de Buttel
ewiger Vikar ihrer Kirche533 als Testamentsvollstrecker Johannes Elt[erstorps], auch
531
Gherardus Balghe, Dekan 1421–1437.
532
Als Domherr belegt seit 1436, als Dekan 1443–1463 († vor 1487).
533
Als Domherr belegt seit 1432.
362
Regesten der Jahre 14 00 –14 4 0
ewiger Vikar ihrer Kirche, erschienen sind und ihnen mit dessen Willen einen Zettel aus Papier vorgelegt haben. Dieser wurde verlesen und inseriert.
[Es folgt Nr. 341, Verfügung Johannes Elterstorps von 1426 November 30.]
Gherhardus, Dekan, und das Hamburger Domkapitel nehmen die Stiftung an, sichern auf Nachfrage der Testamentsvollstrecker zu, die Gelder entsprechend der
testamentarischen Bestimmungen einsetzen zu wollen, und lassen darüber das
Notariatsinstrument aufsetzen. Datum et actum in armario eiusdem nostre ecclesie
anno a [nativitate] millesimo quadringentesimo vicesimoseptimo indictione quinta die vero
veneris terci[i] mensis Ianuarii hora terciarum vel quasi pontificatus sanctissimi in Christo
patris et domini nostri domini M[artini …] pape quinti anno decimo [...]. Zeugen: Magister
Johannes Rickerse[n] ewiger Vikar und Johannes Wonstorp.
Diplomatische Erörterung: A Notariatsinstrument des Heinrich Leddinghusen, Kleriker
der Verdener Diözese, Notar kaiserlicher Autorität, mit dessen Notariatszeichen.
Großes Pergament mit Feuchtigkeitsflecken, die Urkunde ist in zwei Teile zerrissen (senkrecht etwa im ersten Viertel) mit daraus resultierenden Textverlusten, dazu kommt ein Abriss rechts; Plica mit einem an einem Pergamentstreifen
angehängten, stark beschädigten Siegel der Hamburger Kirche. Rückseite mit
zeitgenössischem Vermerk (links unten): Maioris ecclesie. Hore beate Marie virginis,
registrata folio 53, [1426 et von neuerer Hand] 1426 et 1427. Dazu Notiz deest unten
in der Mitte. / B ist Kopie der inserierten Urkunde Johannes Elterstorps, auf einem Doppelblatt Papier, 1r-2v beschrieben, mit späteren Ergänzungen am Rand
[oben Nr. 341].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ss 58 [1]; B = StAHH 710-1 I Threse I, Nr.
Ss 58 [2] [danach teilweise ergänzt].
Edition: Staphorst, I, 2, S. 256–258.
Regest: Schütze, 440, S. 367.
343
1427 Januar 27. o. O.
1427.01.27 — Ll 15
343
Guolteroto de Bardis und seine Gesellschafter quittieren den Empfang von 220 goldenen Kronen durch Tydemannus Holdenstede aus Hamburg, die ihnen Magister Hermannus Kreyenberch schuldig gewesen sei
Guolteroto de Bardis und seine Gesellschafter in einem offenen Brief: bestätigen,
dass sie von Tydemannus Holdenstede aus Hamburg, Kaufmann der deutschen Hanse, [in Brügge] 220 goldene Kronen erhalten hätten, die ihnen Magister Hermannus Kreyenberch534 schuldig gewesen sei, und sprechen sie und ihre Erben von allen
534
Als Stadtschreiber belegt 1425–1434.
1427 Januar 31. o. O.
363
Ansprüchen frei. Ankündigung des Siegels Guolterotos. Sub anno Domini millesimo
quandringentesimo vicesimo septimo, die decimaseptima mensis Januarii secundum stilum
Almanicum.
Diplomatische Erörterung: Inseriert in die Urkunde des Dekans Gerhardus und des
Domkapitels zu Hamburg von 1427 Mai 6 [s. unten Nr. 345] Notariatsinstrument
des Heinrich Leddinghusen, Kleriker der Verdener Diözese, Notar kaiserlicher Autorität, mit dessen Notariatszeichen, Pergament.
Überlieferung: B = StAHH 710-1 I Threse I, Nr. Ll 15. D = Copiae Archivi.
344
1427 Januar 31. o. O.
1427.01.31 — Xx 65
344
Vor einem unbekannten Notar appellieren Bürgermeister und Rat Hamburgs an den Heiligen Stuhl gegen ein Schreiben in Sachen des Konflikts mit Johannes Bekerholt, der freiwillig auf sein Ratsamt verzichtet habe, aber nach einem Mandat von Bischof Jacobus von Adria wieder in seine Rechte eingesetzt werden solle
In Gegenwart eines unbekannten öffentlichen Notars, der Zeugen sowie der Bürgermeister und Ratsherren der Stadt Hamburg legen Letztere ein Blatt Papier vor,
das sie von Hermann Creyenberch vorlesen lassen, mit dem sie, wie folgt, eine Appellation vorbringen.
Vor dem Notar und den Zeugen appellieren die Bürgermeister Johannes Luneborch,535 Hinricus to dem Berghe,536 Hinricus Hoyer537 und Bernardus Borstellt538 sowie
die Ratsherren Johannes Cletze,539 Johannes Gultzow,540 Ericus de Tzevena,541 Johannes
de Alverdinghen,542 Vicko de Hove,543 Hinricus Papendorp,544 Johannes de Rode,545 Bernardus Coldow,546 Nycolaus Meyer,547 Symon de Utrecht,548 Johannes Sasse549 und Hinricus Co-
535
Ratsherr seit 1391, Bürgermeister 1411–1431 († --).
536
Ratsherr seit 1386, Bürgermeister 1413–1451 († 1452).
537
Ratsherr seit 1412, Bürgermeister 1417–1447.
538
Ratsherr seit 1405, Bürgermeister 1420–1429.
539
Ratsherr 1411–1427, enthauptet.
540
Ratsherr 1413–1430.
541
Ratsherr 1411–1450.
542
Ratsherr 1416–1443.
543
Ratsherr seit 1416, Bürgermeister 1431–1442.
544
Ratsherr 1419–1433.
545
Ratsherr 1420–1443.
546
Ratsherr 1421–1427.
547
Ratsherr 1421–1443.
548
Ratsherr seit 1425, Bürgermeister 1433–1437.
549
Ratsherr 1426–1458.
36 4
Regesten der Jahre 14 00 –14 4 0
tingh,550 jeder von ihnen und alle gemeinsam, an den Heiligen Stuhl. Sie hätten etliche Dokumente und Urkunden durch ihren Notar Hermann Creyenberch im Streit,
der zwischen Johannes Bekerholt und ihnen ausgetragen werde, an die römische
Kurie geschickt, doch seien dem Notar diese und andere Güter auf dem Weg nach
Rom genommen worden, so dass nur Kopien vorgelegt werden konnten, denen
kein Glaube geschenkt worden sei. Sie hätten nun erfahren, dass Bischof Jacobus
von Adria551 als Vollstrecker die vorgeblichen drei definitiven Urteile für Bekerholt
und gegen Bürgermeister und Rat publiziere, die sie dazu verurteilten, Bekerholt
innerhalb bestimmter Fristen wieder in seine früheren Rechte einzusetzen und
eine bestimmte Summe Kammergulden zu zahlen, obwohl Bekerholt freiwillig auf
sein Ratsamt verzichtet habe. Sie seien bereit, den apostolischen Befehlen zu folgen, doch würden sie mit der Befolgung des Urteils gegen Gewohnheiten ihrer
Stadt verstoßen, an die sie auch durch kaiserliche Autorität gebunden seien. Obwohl die Frist noch nicht abgelaufen gewesen sei, hätte Johannes de Mella, Kaplan
des Papstes und sacri palacii apostolici causarum […] auditor, Urkunden ausgestellt,
die Bekerholt ein weiteres Vorgehen erlaubten. Sie inserieren ein Schreiben, gegen
das sie Protest einlegen. […; Text bricht ab]. In nomine domini amen. Anno nativitatis
eiusdem millesimo quadringentesimo vicesimo septimo indictione quinta mensis Ianuarii
die ultima, hora quasi terciarum, pontificatus sanctissimi in Cristo patris et domini nostri
domini Martini divina providente clemencia pape quinti anno decimo [...].
Diplomatische Erörterung: Stark nachgedunkeltes Pergament mit großen Feuchtig-
keitsflecken, beschädigt, mit umfangreichen Textverlusten, insbesondere in der
Mitte (dort von der Rückseite partiell restauriert), mit einem großen Loch unterhalb des Textes, weiteren Löchern und mit einer Hanfschnur, die wohl für die
Befestigung eines Siegels vorgesehen war; möglicherweise wurde zudem eine
ursprünglich vorhandene Plica geöffnet. Auf der Vorderseite rechts quer die Notiz: Summa 900 [folgt Streichung: mark] 44 mark 4 s. 6 d. Item 38 m. 8 s. 3 d. vor 18 ossen.
Es folgt verblasst der Vermerk: Ten[uit] struct[…]atis, unten die moderne Signatur
mit Bleistift: Xx 65. Auf der Rückseite finden sich zwei weitere quer aufgebrachte
Notizen von anderen Händen: […] sol. [… detis …]. / Summa an redem gelde 842½ mark.
Summa expositarum diver[sis] carpentariis et laboratoribus etc. 101 mark 12 s. 6 den.
Dazu der moderne Vermerk: aus: Cl. VII C a No. 1 Vol. 1a.
550
Ratsherr seit 1426, Bürgermeister 1439–1467.
551
Jacobus Bertucci d’Obizzi, Bischof von Adria (Adriensis) 1404–ca. 1441.
1427 Mai 6. Hamburg
365
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Xx 65 [olim StAHH Cl. VII Lit C a Nr. 1 vol.
1a, erhalten als Umschlag des Rechnungsbuchs der Hamburgischen Expedition
nach Emden 1433]; D1 = Copiae Archivi [handschriftliche Kopie, korrigiert von
Jürgen Reetz, 3.3.1955], D2 = Copiae Archivi [maschinenschriftliche Kopie mit
Korrekturen].
345
1427 Mai 6. Hamburg
1427.05.06 — Ll 15
345
Gherhardus, Dekan, und das Hamburger Domkapitel transumieren auf Bitten von Johannes Wadenkothe, ewiger Vikar am Dom und Schreiber des Hamburger Rats, die Urkunde Guolteroto de Bardis von 1427 Januar 27 (Nr. 343)
Gherhardus, Dekan,552 und das Hamburger Domkapitel in einem offenen Brief: sie
machen bekannt, dass vor ihnen Johannes Wadenkothe, ewiger Vikar in ihrer Kirche
und Schreiber von Bürgermeister und Rat der Stadt Hamburg,553 mit einer Pergamenturkunde erschienen sei, für die er im Namen der Stadt um eine beglaubigte
Kopie gebeten habe, um diese statt des Originals versenden zu können. Sie hätten
daraufhin die Urkunde geprüft und deren Text transumiert.
[Es folgt die Urkunde Nr. 343, von 1427 Januar 27.]
Dekan und Kapitel bestätigen das auf Bitten Johannes Wadenkothes hergestellte
Transsumpt. Acta sunt hec in loco iudiciali prefate nostre ecclesie anno a nativitate domini millesimo quadringentesimo vicesimoseptimo indictione quinta die vero Martis sexta
mensis Maii hora tertiarum vel quasi pontificatus sanctissimi in Christo patris et domini
nostri domini Martini divina proudencia pape quinti anno decimo [...]. Zeugen: Nicolaus
Suewerdingh aus der Hamburger und Cristian Soltow aus der Mindener Diözese.
Diplomatische Erörterung: Notariatsinstrument des Heinrich Leddinghusen, Kleriker
der Verdener Diözese, Notar kaiserlicher Autorität, mit dessen Notariatszeichen. Pergament mit Faltung und zahlreichen Feuchtigkeitsflecken und einigen
Textverlusten, Plica mit einem anhängten Pergamentstreifen, das gut erhaltene,
mit einem Stück des Pergamentstreifens abgeschnittene Siegel des Domkapitels
liegt lose bei. Rückseite mit zeitgleichem Kanzleivermerk: Litera transumpti asserte quitancie de et super 220 cor[onas] aureis in Bruggis persolutis. 1427 und einem
weiteren Zeichen mit einem Doppelkreuz.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ll 15. D = Copiae Archivi.
552
Gherardus Balghe, Dekan 1421–1437.
553
Ratssekretär 1416–1436.
366
346
Regesten der Jahre 14 00 –14 4 0
1427 Mai 12. Siebenhöfen (upp den Soven Hoven). 554
1427.05.12 — Oo 128 [1]
346
Der Notar Cristianus Zaltow bezeugt die Verhandlungen vor Henricus Beye, Richter, Nicolaus Mosseken, Coppekin Meyer und Petrus Berleves, Schöffen des Alten Lands, zwischen Hermannus de Buren und Johannes Kust, Kanonikern, Henricus Buttel und Cristianus Gerdow, Vikaren zu Hamburg, als Vertretern der Hamburger Kirche, einerseits sowie dem Knappen Hermann Schulte andererseits. Richter und Schöffen bestätigen Hermanns Verkauf von 15 Morgen Ackerland in Dytkerskope an Propst, Dekan und Domkapitel zum Nutzen der memoriae für 225 m. lüb.
Notariatsinstrument des Cristianus Zaltow. Bezeugt, dass Henricus Beye, Richter,
Nicolaus Mosseken, Coppekin Meyer und Petrus Berleves, Schöffen des Alten Lands in
der Bremer Diözese, im Haus (in area sive curia) des Hermannus Sculte, gelegen upp
den Soven Hoven im Kirchspiel Dytkerskope, nach den Gesetzen und Gewohnheiten
des Alten Lands versammelt seien, mit Hermannus de Buren555 und Johannes Kust,556
Kanonikern des Hamburger Domkapitels, Henricus Buttel557 und Cristianus Gerdow,
Vikaren zu Hamburg, als Vertretern der genannten Kirche, auf der einen Seite, und
der Knappe Hermann Schulte auf der anderen Seite. Dieser habe auf seinem Besitz
15 Morgen Ackerland, verteilt auf drei Stücke mit jeweils 5 Morgen, mit einem Weg
und weiteren dazugehörigen Bauten, wie er sie seit dem Tod des Martinus Brokland
innegehabt und jetzt Propst, Dekan und gesamtem Domkapitel zum Nutzen der
memoriae für 225 m. lüb. nach den darüber ausgestellten Urkunden verkauft habe.
Schulte habe Richter und Schöffen gebeten, den Verkauf rechtmäßig festzuhalten
und Land, Morgen und Bauwerke mit allen Rechten an das Domkapitel zu übertragen. Als dies erfolgt sei, hätten die Vertreter des Domkapitels Hermann Schulte
in Gegenwart seines Sohnes Gheroldus, der dem Verkauf zugestimmt habe, durch
Henricus Buttel die 225 m. ausgezahlt. Die Domherren seien damit von allen Forderungen befreit. Zeugen: Johannes de Wynsen, Pfarrer der Kirche zu Bardenfleth (Bardesvlete), Beye Catzeke, Arnoldus Stelen und Gherlacus upp den Soven Hoven, Laien der
genannten Diözese. Hermannus de Buren und Johannes Kust übergeben ihnen ein
Fass Hamburger Bier, dass sie dort trinken sollen. Die Vertreter des Kapitels hätten
den Notar gebeten, über den Vorgang ein Notariatsinstrument anzufertigen. Acta
sunt hec […]. – In nomine domini amen. Anno a nativitate eiusdem millesimo quadringentesimo vicesimo septimo indictione quinta die vero duodecima mensis Maii hora nonarum
vel quasi pontificatus sanctissimi in Christo patris et domini nostri domini Martini divina
providentia pape quinti anno decimo.
554
Heute ein Ortsteil von Hollern.
555
Belegt 1419–1439.
556
Belegt 1427–1448, structurarius 1447.
557
Als Domherr belegt seit 1432.
1427 Mai 18. o. O.
367
Diplomatische Erörterung: Notariatsinstrument des Cristianus Zaltow, Kleriker der
Mindener Diözese, Notar kaiserlicher Autorität, mit seinem Notariatszeichen.
Großes Pergament mit Faltung und wenigen Feuchtigkeitsflecken. Auf der
Rückseite unten kopfstehend ein Kanzleivermerk: Instrumentum super cur[iis] in
Dytkerscope ut [patet] de reg[istri] fo[l]. 250. Vacat, dazu jünger: Anno 1427.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Oo 128 [1]. D = Copiae Archivi.
347
1427 Mai 18. o. O.
1427.05.18 — Oo 128 [2]
347
Frederik und Hermen gheheten Schulten, Söhne des langen Frederik Schulten, Knappen und Burgmannen in Horneburg, machen bekannt, dass sie Hinrik van Anderlinge, Ratsherrn zu Stade, für 130 m. lüb. 13 m. jährlicher Rente aus ihrem Gut im Kirchspiel Dytherskope verkauft hätten.
Frederik und Hermen gheheten Schulten, Söhne des langen Frederik Schulten, Knappen
und Burgmannen in Horneburg, in einem offenen Brief: machen bekannt, dass sie
mit Zustimmung ihrer Erben und Verwandten Hinrik van Anderlinge, Ratsherrn zu
Stade, und seinen Erben für 130 m. lüb. 13 m. jährlicher Rente verkauft hätten.
Diese kämen nach der Bezahlung von 8 m. [weiterer Renten] aus den ersten Einkünften aus ihrem Gut im Kirchspiel Dytherskope, aus den drei Vierteln Landes,
zurzeit bebaut von Gherleff Schele, begrenzt im Osten vom Gut der Kinder von Bertold Stavel, im Westen vom Gut von Vycke Stummeke, zu zahlen jährlich in den acht
Tagen nach Februar 22 (in den achtedagen Sunte Peters, alze he ghehoget war). Frederik
und Hermen sollten die Renten anderen Ansprüchen freihalten und jeden Ausfall
unmittelbar ersetzen. Sie könnten die Renten ablösen, wenn sie das zuvor in den
acht Tagen nach September 29 angekündigt hätten und die 130 m. mit der Rente zurückzahlten. Frederik und Hermen geloben Hinrik die Einhaltung der Zusagen. Siegelankündigung der Aussteller. Ghernd und Hermen, Brüder, Söhne Hermen
Schultes, sowie Ertman Schulte, Vetter der Aussteller, erklären ihre Zustimmung
und kündigen ebenfalls ihre Siegel an. Na unses Heren bord verteynhundert jar dar na
in deme seven unde twyntighesten jare des verden sondaghes na Paschen.
Diplomatische Erörterung: Großes Pergament mit Faltung, Plica mit dem ersten, zwei-
ten, vierten und fünften von ursprünglich fünf an Pergamentstreifen befestigten, relativ gut erhaltenen Siegeln, während das Siegel am dritten Pergamentstreifen fehlt. Auf der unterschiedlich nachgedunkelten Rückseite in der Mitte
der Kanzleivermerk: Litera 13 marcarum redditus in Detkerskope, dazu jünger: 1427.
Unten mit Bleistift: 586.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Oo 128 [2]. D = Copiae Archivi [als III].
368
348
Regesten der Jahre 14 00 –14 4 0
1427 September 22. o. O.
1427.09.22 — Nn 128
348
Herdingh Stake, Ritter, und Detleff van Bukwolde, Knappe, machen allen und insbesondere Bürgermeistern und Ratsherren der Stadt Hamburg bekannt, dass der von Tydericus van Lutter ergriffene Dieb unzurechnungsfähig und daher von Rat und Vogt zu Oldesloe wieder freigelassen worden sei
Herdingh Stake, Ritter, und Detleff van Bukwolde, Knappe, in einem offenen Brief: machen allen und insbesondere Bürgermeistern und Ratsherren der Stadt Hamburg
bekannt, dass ihnen bekannt sei, dass Tydericus van Lutter einen offenkundigen Dieb
ergriffen habe, der ihn bestohlen habe, und ihn daraufhin ins Gefängnis gebracht
habe. Dann aber habe Tydericus erkannt, dass der Dieb unzurechnungsfähig sei
und den Diebstahl aus Dummheit begangen habe, und habe sie gebeten, darauf
hinzuwirken, dass Rat und Vogt zu Oldesloe den Dieb wieder freilassen würden.
Dem seien sie gefolgt, und die Oldesloer hätten den Dieb daraufhin freigelassen,
zumal Tydericus als Kläger den Fall nicht weiter habe verfolgen wollen. Tydericus
habe sich daraufhin verpflichtet, Rat und Vogt zu Oldesloe 10 to. Hamburger Bier
zu geben. Dies werde von Herdingh und Detleff durch das Anhängen ihrer Siegel
bezeugt. Gheven und screven […] na Godes bord veerteynhundert jar dar na in deme sovenundertwintighesten jare des mydwekens in sunte Mauricius daghe.
Diplomatische Erörterung: Nachgedunkeltes Pergament mit Faltung und dem moder-
nen Datum 1427. Sept. 22 oben rechts, schmale Plica mit zwei an Pergamentstreifen angehängten, schwer erkennbaren Siegeln. Auf der ebenfalls dunklen Rückseite links quer die alte Signatur: Cl. II No. 15. A. vol. 1.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Nn 128 [olim Cl. II Nr. 15 a vol. 1]. D =
Copiae Archivi [unter der alten Signatur].
349
1427 Oktober 20. o. O.
1427.10.20 — Oo 128 [3]
349
Hermen Schulte, langen Frederikes son, Ghernd und Hermen, Söhne Hermens, alle geheten Schulten, Burgmannen zu Horneburg, machen bekannt, dass sie Gherleg Schele, seinen Erben und den Inhabern dieser Urkunde für 10 m. lüb. 1 m. Rente verkauft hätte, die neben schon zu zahlenden 8 m. und 13 m. aus ihrem Gut im Kirchspiel Dytkerskope kommen würden
Hermen Schulte, langen Frederikes son, Ghernd und Hermen, Söhne Hermens, alle geheten Schulten, Burgmannen zu Horneburg, in einem offenen Brief: machen bekannt,
dass sie mit Rat und Zustimmung ihrer Erben verkauft haben Gherleg Schele, seinen
Erben und den Inhabern dieser Urkunde für 10 m. lüb., die zur Genüge bezahlt
seien, 1 m. Rente, neben schon zu zahlenden 8 m. und 13 m., aus ihrem Gut im
Kirchspiel Dytkerskope, aus den drei Vierteln Landes, die zurzeit Gherlef Schele bebaue und die durch die Güter der Kinder von Bertold Stavel und Vicke Stummeke
begrenzt seien. Die Rente sei jährlich in den acht Tagen nach Februar 22 zu zahlen.
Die Aussteller versprechen, Gherleff und seine Erben von allen Ansprüchen frei
zu halten und entstehende Kosten wie die Anlage von Gräben zu übernehmen. Sie
könnten die Rente zu Februar 22 jährlich ablösen, wenn sie es innerhalb von acht
Tagen nach September 29 ankündigten. Hermen Schulte und seine Söhne gelobten
Gherleg die Einhaltung mit gesamter Hand. Frederic und Ertman geheten Schulten,
1427 Novemb er 23. Amsterdam.
369
Bruder und Vetter Hermens, erklären ihre Zustimmung und kündigen ihre Siegel
an. Na Godes bord dusent verhundert yar dar na in dem sevenundetwintegesten jare an
sunte Feliciani dage des hilgen mertelers.
Diplomatische Erörterung: Größeres Pergament mit Faltung und einem kleinen Einriss
rechts, schmale Plica mit den ersten beiden, an Pergamentstreifen angehängten Siegeln, dazu sind noch ein dritter und vierter Pergamentstreifen erhalten,
die Siegel fehlen. Auf der unterschiedlich nachgedunkelten Rückseite oben der
Kanzleivermerk: Super 13 marcarum redditibus in Ditkerskope, dazu jünger: 1427. Darunter mit Bleistift: 585.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Oo 128 [3]. D = Copiae Archivi [als II].
350
1427 November 23. Amsterdam.
1427.11.23 — Bb 16 b
350
Herzog Philipp von Burgund bekundet eine Vereinbarung mit Eggert Cluyver, Sendebote von Lübeck und Lüneburg, und Jan van Wadekote, Sendebote von Hamburg, dass über aufgehaltene und verlorene Güter auf einer Tagfahrt 1428 Mai 1 entschieden werden solle, solange könnten die Bürger der drei Städte in seinen Landen frei verkehren
Herzog Philipp von Burgund macht bekannt, dass Eggert Cluyver, Sendebote von
Lübeck und Lüneburg, und Jan van Wadekote, Sendebote von Hamburg,558 bei ihm
gewesen seien, um über verschiedene Klagen ihrer Bürger über aufgehaltene und
verlorene Güter zu verhandeln. Man habe sich geeinigt, dass die Güter bis 1428
Mai 1 dort bleiben sollten, wo sie seien, und während dieser Zeit solle eine Tagfahrt stattfinden, um über die Klagen zu verhandeln. Er erteilt dafür bis zu 30 Personen Geleit. Solange sollten die Bürger der genannten Städte in seinen Landen
frei verkehren können. Gegeven to Aemstelredam den drieendetwintichsten dach van
Novembri int jare ons Heren m. cccc. sevenen[de]twintich.
Diplomatische Erörterung: A: Pergament mit Faltung, breite Plica mit einem an einem
breiten Pergamentstreifen angehängten Siegel in rotem Wachs; auf der Plica die
Kanzleinotiz: De mandato domini ducis. Potter. / B: Register-Überlieferung.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Bb 16 b. / B = RA Den Haag, Memoriale
Bourgoigne Cas. N 1427–1428, fol. 9v.
Edition: HR I, 8, 312, S. 212–213.
351
1428 März 7. Hamburg.
1428.03.07 — I 1 a[1]
351
Gerardes, Dekan, und das gesamte Domkapitel zu Hamburg vidimieren für Bürgermeister und Ratsherren zu Hamburg das Privileg Herzog Albrechts von Bayern von 1403 August 14 (Nr. 77)
Gerardes, Dekan,559 und das gesamte Domkapitel zu Hamburg in einem offenen
Brief: machen bekannt, dass ihnen Bürgermeister und Ratsherren zu Hamburg
558
Ratssekretär 1416–1436.
559
Gherardus Balghe, Dekan 1421–1437.
370
Regesten der Jahre 14 00 –14 4 0
eine Urkunde aus Pergament mit acht, an schwarzen Seidenschnüren befestigten,
runden Siegeln aus grünem und rotem Wachs vorgelegt hätten, die im Einzelnen
beschrieben werden, auch mit den Umschriften. Neben Herzog Albrecht560 haben
gesiegelt: Wilhelm von Bayern, Graf von Oostervant, Johann Elekt zu Lüttich und
die Städte Dordrecht, Haarlem, Delft, Leyden und Amsterdam.
[Es folgt im Wortlaut das Privileg Herzog Albrechts von Bayern, Pfalzgraf bei Rhein,
Graf von Hennegau, Holland und Seeland, Herr von Friesland, von 1403 August 14,
oben Nr. 77.]
Dekan und Kapitel erklären, die Urkunde und die Siegel gründlich geprüft zu
haben. Da Bürgermeister und Rat das Original wegen möglicher Gefahren nicht
wegsenden wollten, hätten sie um eine mit dem großen Kirchensiegel besiegelte
Kopie gebeten. Die Urkunde sei intakt und unverdächtig, daher hätten Dekan und
Domkapitel das vorliegende Vidimus ausgestellt und mit dem großen Siegel besiegelt. Geven unde […] screven […] to Hamb[orch] na Gades bort xiiiic jar, darna in deme
achteundetwinsten jar, up den sosten dach in der vasten, also men in der hilligen kerken
singet […] Oculi.
Diplomatische Erörterung: Gleichzeitige Abschrift auf einem großen Blatt Papier, mit
Faltung und einigen Feuchtigkeitsflecken. Auf 1v nachgedunkelter Streifen (Außenseite) mit späterem Kanzleivermerk: ad Thresam I 1 a. 1428. Vidimus des Privilegiums der Hamburger Seefahrer ertheilt von Herzog Albrecht von Baiern zu Gunsten des
hamb[urgischen] Handels in Holland, Seland und Friesland. Neben dem Text modern
mit Bleistift: 1403.
Überlieferung: B = StAHH 710-1 I Threse I, Nr. I 1 a [1]. D = Copiae Archivi.
352
1428 Juni 28. Rom.
1428.06.28 — Xx 48
352
Lucidus de Comitibus, Kardinaldiakon von St. Maria in Cosmedin an alle Geistlichen der Diözesen Bremen, Hildesheim, Halberstadt und Verden: berichtet über das Verfahren im Streit zwischen Johann Bekerholt und dem Hamburger Rat und publiziert das Urteil, nach dem Bürgermeister und Rat von allen kirchlichen Strafen befreit, die im Verfahren durch Jakob Bischof von Adria und den vorgeblichen subexecutor Borchard de Hardenburgh gegen sie verhängt worden seien
Lucidus de Comitibus, Kardinaldiakon von St. Maria in Cosmedin, für die Angelegenheit entsandter iudex et commissarius causarum, an alle Geistlichen der Diözesen Bremen, Hildesheim, Halberstadt und Verden und alle, die den Brief erhalten:
macht bekannt, dass ihn durch einen Schreiber Papst Martins V.561 eine (umfangreiche) Supplik vorgelegt worden sei, die er im Wortl aut inseriere (mit dem Insert
eines weiteren Schreibens).
Albrecht I. (1358/1389–1404), Herzog von Bayern, Graf von Hennegau, Holland und Seeland, Herr
von Friesland.
560
561
Papst 1417–1431.
1428 Juni 28. Rom.
37 1
Danach hätten Bürgermeister und Rat Hamburgs über einen Streit berichtet, der
1411 zwischen dem damaligen Ratsherrn Johann Bekerholt562 und dem Bürger Erik
von Tzeven (de Tseuona)563 ausgebrochen sei, den Bekerholt beleidigt habe. Als der
Rat einen Termin angesetzt habe, sei Bekerholt entflohen, so dass ihn der Rat in
Abwesenheit verurteilt habe, ohne dass dagegen appelliert worden sei. Bekerholt
habe daraufhin 1412 etliche Briefe geschrieben, in denen er Bürgermeister und
Rat verspottet und herabgesetzt habe, insbesondere an die Handwerker der Stadt,
die er zum Aufruhr gegen den Rat angestachelt habe. 1424 sei Bekerholt jedoch
an die Kurie gekommen, habe erklärt, er habe das Kreuz genommen, ein Verfahren gegen Bürgermeister und Rat vor der Kurie gefordert und Akten vorgelegt,
die die Nichtigkeit des Verfahrens gegen ihn beweisen sollten. Als es durch einen
Schreiberirrtum in den eingereichten Unterlagen des Rats zu Problemen gekommen sei, habe man einen auditor causarum sacri palatii apostolici, Magister Johannes
de Molla, beauftragt, eine Prüfung der Unterlagen und eine Untersuchung der Angelegenheit durchzuführen sowie ein Urteil zu finden. In diesem Verfahren seien die Briefe Bekerholts und das städtische Urteil der Verbannung auf Lebenszeit
verlesen worden, das jedoch ohne Ladung des Beschuldigten ergangen sei, so dass
Bürgermeister und Rat, obwohl nicht geladen, zur Wiederaufnahme Bekerholts
und der Zahlung der Prozesskosten verurteilt worden seien. Danach habe sie der
verstorbene Borchard de Hardenburgh, Archidiakon zu Nettlingen und vorgeblich
subexecutor des Verfahrens, zur Einhaltung des Urteils ermahnt und Schritte gegen
sie eingeleitet. Dekan, Kapitel und der gesamte Klerus der Stadt Hamburg hätten
dann jedoch gegen die Entscheidungen Johannes de Mollas appelliert. Auch baten
Bürgermeister und Rat den Papst, einen anderen Beauftragten einzusetzen, der
das Vorgehen Borchards beenden und die Angelegenheit klären solle. Denn Bekerholt habe fast 12 Jahre geschwiegen und zuvor in Hamburg erhebliche Unruhe
verursacht, er habe zudem zur Zeit der Vorgänge für sich noch nicht die Rechte eines Kreuzfahrers beanspruchen können, auch sei die Angelegenheit eher weltlich.
Bürgermeister und Rat seien jedoch bereit für Kosten aufzukommen, um Schlimmeres zu verhüten.
Dies habe zum Auftrag des Papstes an den Kardinal [Lucidus] de Comitibus geführt, die Parteien anzuhören, die älteren Urteile, Kirchenstrafen sowie das Interdikt aufzuheben und zu entscheiden. Bürgermeister und Rat hätten daraufhin
562
Als Ratsherr nur 1411 belegt.
563
Ratsherr 1414–1450.
372
Regesten der Jahre 14 00 –14 4 0
Nicolaus Hamborch564 als ihren Vertreter an die Kurie entsandt und eine ebenfalls
inserierte Petition vorlegen lassen [vgl. oben Nr. 344, von 1427 Januar 31], mit der
die Aufhebung des durch Jakob Bischof von Adria565 und Borchard de Hardenburgh
exekutierten Urteils erreicht werden sollte. [Lucidus de Comitibus] habe daraufhin
Magister Nicolaus Hamborch und Thomas Rode, der Bekerholt an der Kurie vertreten habe, zu sich rufen lassen, um den Fall zu verhandeln. Das dabei ergangene
Urteil ist ebenfalls inseriert. Darin werden Bürgermeister und Rat von der Exkommunikation und anderen kirchlichen Strafen befreit, die im Verfahren gegen Johannes Bekerholt durch Jakob Bischof von Adria und den vorgeblichen subexecutor
Borchard de Hardenburgh gegen sie verhängt worden seien.
Die Empfänger sollen für die Umsetzung des Urteils sorgen. Alle in dieser Angelegenheit von der Exkommunikation und anderen Strafen Betroffenen hätten
Absolution erhalten. Datum et actum Rome in domibus nostre solite residencie […] hora
vesperarum ad iura reddendum pro tribunale sedendum sub anno a nativitate dominus
millesimoquadringentesimovicesimooctavo indiccione sexta die vero lune vicesima octava
mensis Junii pontificatus prefati domini nostri Martini pape quinti anno undecimo. Zeugen: Petrus de Capellis, Abt des Klosters Vallepontis, Diözese Perugia, und Baptistino de Rapalis, Genueser Kleriker.
Diplomatische Erörterung: Notariatsinstrument des Johannes Demeker, Kleriker der
Halberstädter Diözese, Notar päpstlicher und kaiserlicher Autorität, mit dessen
Notariatszeichen. Großes Pergament mit Faltung, breite Plica mit einem an einer
Hanfschnur angehängten, teilweise beschädigten Siegel des Kardinals. Rückseite
mit neuerem Vermerk: Commissio papalis in causa proconsulum et consulum oppidi
Hamburgensis [contra] Johannem Beckerholt super injuriis absolutio. 1428.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Xx 48. D = Copiae Archivi [mit einigen
Korrekturen].
564
Belegt 1429–1439, 1437–1439 auch als Dekan.
565
Jacobus Bertucci d’Obizzi, Bischof von Adria (Adriensis) 1404–ca. 1441.
1428 Juli 8. Rom.
353
373
1428 Juli 8. Rom.
1428.07.08 — W 14
353
Martin V., Papst, an Bischof [Jacobus] von Adria, den Propst zu Lübeck und den Kantor zu Schleswig: setzt auf Bitten von Johannes Luneborg, Henricus tho dem Berge, Bürgermeister, Hinricus Jenefeld, Ericus van Czeven, Johannes Gulczow, Vicko von den Hove und Wichmann Gronenwald, Ratsherren zu Hamburg, Johannes de Palena, seinen Kaplan, als Richter im Streit zwischen olim dilectus filius Wernherus de Hachede, Vikar am Dom, über 300 m. lüb. zur Ausstattung seiner Vikarie ein
Martin V., Papst,566 an Bischof [Jacobus] von Adria,567 den Propst zu Lübeck und den
Kantor zu Schleswig: er sei von Johannes Luneborg568 und Henricus tho dem Berge,569
Bürgermeister, Hinricus Jenefeld,570 Ericus van Czeven,571 Johannes Gulczow,572 Vicko von
den Hove573 und Wichmann Gronenwald,574 Ratsherren, Bürger zu Hamburg, gebeten
worden, gegen olim dilectus filius Wernherus de Hachede, ewiger Vikar am Allerheiligen-Altar an der Marienkirche zu Hamburg, vorzugehen, der fälschlich behauptet
habe, Bürgermeister und Ratsherren hätten sich geweigert, die 300 m. lüb. Münze,
die sie von Symon Wolters zur Umwandlung in ewige Renten für den genannten
Altar erhalten hätten, umzuwandeln und dafür einzusetzen, und der sie darüber
hinaus vielfach belästigt, gestört und gehindert habe, so dass es zu einem Rechtsstreit gekommen sei, der der Sache nach an die Kurie übertragen worden sei. Auf
Bitten des Wernerus habe er Johannes de Palena, seinem Kaplan und päpstlichem
Richter (capellano nostro et causarum palacii apostolici auditori) übertragen, den Fall
anzuhören. Er oder die anderen Richter sollten durch ihr Urteil dafür sorgen, dass
die Bürgermeister und Ratsherren die genannte Summe und ihre Ausgaben erhielten und dass gegen Straftäter vorgegangen werde, notfalls mit Hilfe des weltlichen
Arms, auch wenn Wernerus oder andere über eine päpstliche Befreiung von Exkommunikationen verfügten. Datum Rome apud sanctos apostolos, viii idus Julii, pontificatus nostri anno undecimo.
Diplomatische Erörterung: Das päpstliche Schreiben ist inseriert in das Urteil des Jaco-
bus, Bischof von Adria, von 1430 November 13 [unten Nr. 396]. Notariatsinstrument des Johannes Hardemaen, Kleriker der Paderborner Diözese, Notar päpstlicher und kaiserlicher Autorität, mit seinem Notariatszeichen.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. W 14. D = Copiae Archivi.
566
Papst 1417–1431.
567
Jacobus Bertucci d’Obizzi, Bischof von Adria (Adriensis) 1404–ca. 1441.
568
Ratsherr seit 1391, Bürgermeister 1411–1431 († --).
569
Ratsherr seit 1386, Bürgermeister 1413–1451 († 1452).
570
Ratsherr 1400–1427.
571
Ratsherr 1411–1450.
572
Ratsherr 1413–1430.
573
Ratsherr seit 1416, Bürgermeister 1431–1442.
574
Ratsherr 1421–1426.
374
354
Regesten der Jahre 14 00 –14 4 0
1428 August 3. o. O.
1428.08.03 — Vv 22
354
Hans Parpert, Bürger und Einwohner des Blekes zu Mölln, bekennt, aus seinem Eigentum Dekan und Domkapitel zu Hamburg 2 m. Renten für eine Vikarie an St. Katharinen schuldig zu sein
Hans Parpert, Bürger und Einwohner des Blekes zu Mölln, in einem offenen Brief:
macht bekannt, dass er aus seinem Haus und Eigentum mit seinen Erben Dekan
und Domkapitel 2 m. jährlicher Renten schuldig sei, die einer ewigen Vikarie an
St. Katharinen zu Hamburg zugehörten, die zurzeit Wilke Cutert innehabe. Die Renten seien schuldig jeweils in den acht Tagen zu Pfingsten und könnten jährlich
abgelöst werden, wenn dies ein Vierteljahr vorher angekündigt werde. Siegelankündigung. Geven na Godes bord verteynhundert jar an deme achtenundetwyntegesten
jare an deme hillegen daghe Invencionis sancti Stephani.
Diplomatische Erörterung: Pergament mit Faltung und Feuchtigkeitsflecken, breite
Plica mit einem an einem Pergamentstreifen angehängten, nur fragmentarisch
erhaltenen Siegel. Rückseite mit einem älteren Kanzleivermerk (quer): Reempti
sunt trium m. redditus et reimpositi in domo Ludekini van Ulzen in der nytren strate
[Niedernstraße] quondam by deme Hoppendoͤre. Darüber jüngere Vermerke: 1428.
Sanctae Catharinae super 2 m. Rente. Possessor vicariae Wilken Cutert, sowie daneben
No. 10.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Vv 22. D = Copiae Archivi.
355
1428 Oktober 8. o. O.
1428.10.08 — Gg 36
355
Hinrik van Rypen, Bürger zu Reval, quittiert den Empfang von 100 m. lüb. Soldgeld vom Rat zu Hamburg und bevollmächtigt Hinrike Grypeshorne, Bürger Lübecks, zum Empfang der übrigen 500 m. lüb.
Hinrik van Rypen, Bürger zu Reval, in einem offenen Brief: bezeugt den Empfang
von 100 m. lüb. Soldgeld vom Rat zu Hamburg. Er habe weiter Hinrike Grypeshorne,
Bürger Lübecks, zum Empfang der übrigen 500 m. lüb. bevollmächtigt. Wenn sie
diesem die Summe entrichtet hätten, spreche er sie und ihre Nachfolger für sich
und seine Erben von allen Forderungen frei. Siegelankündigung. Ghegeven na Godes
bord veerteynhundert yar in deme achteundetwintighesten yare up sunte Dyonisius avend
des loveliken hilghen mertelers.
Diplomatische Erörterung: Kleineres Pergament mit etlichen Feuchtigkeitsflecken,
etwas breitere Plica mit einem an einem Pergamentstreifen befestigten, beschädigten Siegel. Auf der Rückseite Kanzleivermerk: Hinr[ik] van Ripen. 1428.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 36. D = Copiae Archivi [mit Siegelabzeichnung].
1428 Ok tob er 16. Lüb eck .
356
375
1428 Oktober 16. Lübeck.
1428.10.16 — Gg 35
356
Hennyngh Schramme bevollmächtigt Hinrike Grypeshorne, Bürger Lübecks, zum Empfang von 200 m. lüb. Soldgeld vom Rat der Stadt Hamburg
Hennyngh Schramme in einem offenen Brief: bezeugt, Hinrike Grypeshorne, Bürger
Lübecks, zum Empfang von ausstehenden 200 m. lüb. Pfennige Soldgeld vom Rat
der Stadt Hamburg bevollmächtigt zu haben. Wenn der Rat bezahlt habe, spreche
er ihn von weiteren Forderungen frei. Siegelankündigung. Gheven to Lubeke na Godes bord veerteynhundert yar in deme achteundetwintighesten yare up sunte Gallen da[ch
des] hilghen bichtighers.
Diplomatische Erörterung: Kleines Pergament mit Faltung, zahlreichen Feuchtigkeits-
flecken und teilweise verblichenem Text, dadurch leichter Textverlust, Plica mit
einem an einem Pergamentstreifen angehängten Siegel. Auf der Rückseite Kanzleinotiz: Quitancia Hennnigh Schrammen von wegen[n] twenhundert mark 1428.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 35. D = Copiae Archivi [mit Siegelabzeichnung].
357
1428 Oktober 20. o. O.
1428.10.20 — Gg 37
357
Hinrik Grypeshorne, Bürger Lübecks, quittiert dem Rat der Stadt Hamburg über 210 m. lüb. Sold für die Kogge des Clawes Keding, der ihn zum Empfang des Geldes bevollmächtigt habe
Hinrik Grypeshorne, Bürger Lübecks, in einem offenen Brief: quittiert dem Rat der
Stadt Hamburg über 210 m. lüb. Sold für die Kogge des Clawes Keding, der ihn zum
Empfang des Geldes bevollmächtigt habe. Er spreche sie für sich und für Clawes
Kedingh sowie für ihre Erben von weiteren Forderungen frei. Siegelankündigung.
Gheven na Godes bord veerteynhundert yar in deme achteundetwintighesten yare up der
Elvendusend Meghede dach.
Diplomatische Erörterung: Kleines Pergament mit Faltung und einigen Feuchtigkeits-
flecken, Plica mit einem an einem Pergamentstreifen angehängten Siegel. Auf
der Rückseite Kanzleinotiz: 1428.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 37. D = Copiae Archivi.
358
1428 Oktober 29. Hamburg.
1428.10.29 — O 48
358
Otto [Graf von Hoya], Propst, Gherhardus, Dekan, und das Hamburger Domkapitel gestatten den Einwohnern von Barlt und Volkenesworden den Bau einer Filialkirche unter dem Namen des Heiligen Kreuzes und St. Marien mit Friedhof unter Nutzung zugewiesener Einkünfte, nehmen diese unter kirchlichen Schutz, behalten sich aber die Besetzung der Pfarrstelle vor
Otto [Graf von Hoya], Propst,575 Gherhardus, Dekan,576 und das Hamburger Domkapitel in einem offenen Brief: machen bekannt, dass sie von den Einwohnern von Barlt (Barlete) und Volkenesworden, die jetzt in Meldorf (in Meldorpe) eingepfarrt seien
575
Belegt 1428–1440, als Propst seit 1429.
576
Gherardus Balghe, Dekan 1421–1437.
376
Regesten der Jahre 14 00 –14 4 0
und seit Langem ihre Pfarrkirche wegen Überschwemmungen, Krieg und anderen
Ereignissen nur unter großen Gefahren aufsuchen könnten, gebeten worden seien, ihnen den Bau einer Filialkirche unter dem Namen des Heiligen Kreuzes und
St. Marien mit Friedhof, Glocken, Glockenturm, Taufbecken und Bestattung der
Toten zu erlauben, zusammen mit der Nutzung der Einkünfte durch die jeweiligen
Pfarrherren. Dazu hätten sie dem Kapitel einen Acker genannt das Siddeldeichsfeld (Sydeldyk) übertragen und versprochen, von jedem Pflug zwei Scheffel Gerste
nach Meldorfer Maß und von jedem Haus zwei Hühner zu geben, wie sie es in einer Urkunde mit ihrem Gemeindesiegel bestätigt hätten. Das Kapitel folgt ihren
Bitten, nimmt den Besitz der Kirche unter seinen Schutz, erlaubt die Errichtung
und Ausstattung der Kirche und behält sich die Besetzung der Pfarrstelle vor, wie
sie auch in der Mutterkirche in Meldorf erfolge. Siegelankündigung Ottos und des
Kapitels. Datum et actum Hamborch in loco capitulari sub anno a nativitate domini millesimo quadringentesimo vicesimo octavo, indictione sexta die vero vicesima nona mensis
octobris pontificatus sanctissimi in Christo patris et domini nostri domini Martini divina
providencia pape quinti anno undecimo […]. Zeugen: Conrad Deyster, Vikar in St. Nicolai
in Hamburg, und Gunter Ekeberch, nuncius iuratus des Kapitels.
Diplomatische Erörterung: Nachgedunkeltes Pergament mit Faltung und größeren
Feuchtigkeitsflecken, Plica mit zwei Schlitzen zur Siegelanbringung, daran ist
nur der erste Pergamentstreifen erhalten, die Siegel fehlen. Auf der Rückseite
späterer Vermerk: Littera erection[is] in Barelte, filie Meldorp. Darunter R[egistra]ta,
rechts unten modern mit Bleistift: 30747.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. O 48. D = Copiae Archivi [mit wenigen
Korrekturen].
Übersetzung: (Enno Bünz) auf der Website von Barlt, https://www.barlt.de/unseregemeinde/geschichte/geschichte-der-gemeinde/ (zuletzt eingesehen 22.7.2020).
359
1428 Oktober 29. Hamburg.
1428.10.29 — O 49
359
Johannes Middelman, Bremer Domherr und Offizial der Propstei Hamburg, an alle ihm unterstellten Geistlichen: teilt mit, dass Dekan und Domkapitel zu Hamburg Johannes Faber, Vikar in der Pfarrkirche Meldorf, die neu errichtete Pfarrkirche St. Marien in Barlt mit ihren Einkünften und allen Rechten übertragen hätten
Johannes Middelman, Bremer Domherr und Offizial der Propstei Hamburg,577 an alle
ihm unterstellten Geistlichen: macht bekannt, dass der Dekan Gherhardus und das
gesamte Domkapitel der Hamburger Kirche in regulärer Versammlung mit Zustim-
577
Als Propst zu Hamburg belegt 1433–1457.
1429 Februar 26. Rom.
37 7
mung des Propsts Otto, Graf von Hoya,578 dem anwesenden Johannes Faber, Vikar in
der Pfarrkirche Meldorf (in Meldorp), die neu errichtete Pfarrkirche St. Marien in
Barlt (in Barlete) auch mit ihren Einkünften und allen Rechten übertragen hätten.
Die Geistlichen sollten Johannes die Übernahme der Pfarrkirche ermöglichen. Notiz über die Erstellung des Notariatsinstruments, Siegelankündigung des Propsts.
Datum et actum Hamborch in loco capitulari predicto sub anno a nativitate domini millesimo quadringentesimo vicesimo octavo indictione sexta, die vero veneris vicesimanona
mensis Octobris hora terciarum vel quasi, pontificatus sanctissimi in Christo patris et domini nostri domini Martini divina providencia pape quinti, anno undecimo [...]. Zeugen:
Conrad Deyster, Vikar in St. Nicolai in Hamburg, und Gunter Ekeberch, nuncius iuratus
des Kapitels.
Diplomatische Erörterung: Notariatsinstrument des Christian Zoltow, Kleriker der Min-
dener Diözese, Notar kaiserlicher Autorität, mit dessen Notariatszeichen. Größeres, etwas nachgedunkeltes Pergament mit Faltung, einigen Feuchtigkeitsflecken
und dem modernen Datum in Bleistift rechts oben: 1428. Oct. 29, Plica mit einem
an einem Pergamentstreifen angehängten privaten Siegel des Dompropsts in
rotem Wachs und mit der modernen Signatur in Bleistift rechts: O 49. Etwas jüngerer Vermerk quer auf der Rückseite: De ecclesia in Barelte. 1428 mit jüngerer Zahl
in Bleistift. 882. Dazu waagerecht gestrichene Notiz: [Erectio] ecclesie Barelte.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. O 49. D = Copiae Archivi [mit wenigen
Korrekturen].
360
1429 Februar 26. Rom.
1429.02.26 — Kk 88
360
Martin V., Papst, an den Bischof [Jakob] von Adria und die Dekane in Lübeck und Ramelsloh: teilt mit, dass Magister Johannes de Opieris, auditor causarum, im Streit um die Zahlung des kanonischen Quarts zugunsten Dekan und Domkapitel zu Hamburg gegen die Klöster St. Marie Magdalenen und St. Johannis in Hamburg sowie St. Marien in Meldorf entschieden habe, und fordert, die beiden Klöster sowie St. Marien in Meldorf zur Zahlung der Prozesskosten von 30 Kammergld. anzuhalten
Martin V., Papst,579 an den Bischof [Jakob] von Adria580 und die Dekane in Lübeck
und Ramelsloh: Dekan und Domkapitel zu Hamburg hätten vorgebracht, dass ihnen die Klöster St. Marie Magdalenen und St. Johannis in Hamburg sowie St. Marien in Meldorf die Zahlung des kanonischen Quarts verweigert hätten, der ihnen aus Testamenten und Bestattungen der Pfarrkinder der zu ihrer Ausstattung
(mensa) gehörenden vier Pfarrkirchen Hamburgs und St. Johannis in Meldorf zustehe, so dass sie gegen dieselben an der Kurie einen Prozess geführt hätten. Diesen habe Magister Johannes de Opieris, auditor causarum, nunmehr zu Gunsten des
578
Belegt 1428–1440, als Propst seit 1429.
579
Papst 1417–1431.
580
Jacobus Bertucci d’Obizzi, Bischof von Adria (Adriensis) 1404–ca. 1441.
378
Regesten der Jahre 14 00 –14 4 0
Domkapitels entschieden, und die Prozesskosten habe Magister Johannes Schallermann, ebenfalls auditor causarum, auf 30 Kammergld. festgesetzt. Der Papst befiehlt
nunmehr dem Bischof und den Dekanen, die beiden Klöster sowie St. Marien in
Meldorf zur Zahlung der Kosten des Prozesses anzuhalten, notfalls unter Einsatz
von Kirchenstrafen und des weltlichen Arms. Datum Rome apud Sanctos Apostolos iiij
kalendas Martii pontificatus nostri anno duodecimo.
Diplomatische Erörterung: Großes Pergament mit Faltung, Plica und weitere Teile
der Urkunde durch das Herausschneiden des vermutlich angehängten Siegels
beschädigt, rechts auf der Plica: r[egistra]ta gratis G[.] de Puteo. Auf der Rückseite mehrere, teils längere und teils stark verblasste Vermerke, links: 21 mensis
Februarii huius completus iuxta […] litteris […] decreti […] in processus ipsius decrevit
necnon furta predicta […] ad premissa verumtamen 34 etc. […], dazu quer: […] exeunte
[…]. In der Mitte rechts dann: Anno 1422 recepimus ab […] decanum […], dazu quer: De
capitulo ecclesie k[athed]r[alis] Hamburgensis. / [kopfstehend in der Ecke] [An]selmi
6. B[…]munte. Dazu von jüngerer Hand das Jahr 1429 und die Altsignaturen — : N.
99 und 305.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Kk 88. D = Copiae Archivi.
Erwähnung: Vollmers, Pfarreien, S. 296–297, Anm. 1427 (mit Auszug).
361
1429 Mai 20. o. O.
1429.05.20 — L 1
361
Adolf [VIII.] und Gerhard [VII.], Brüder, Herzöge von Schleswig, machen bekannt, dass bei ihrer Stadt Hamburg an der Elbe ein Zoll von den Elbfahrern erhoben werde; sie würden der Stadt nach ihrem Vermögen den Schaden ersetzen, der aus der Umfahrung des Zolls oder Behinderung bei der Zollerhebung entstehe
Alleff (Adolf) [VIII.]581 und Gherd (Gerhard) [VII.],582 Brüder, Herzöge von Schleswig,
Grafen zu Holstein, Stormarn und Schauenburg in einem offenen Brief: machen
bekannt, dass sie einen Zoll bei ihrer Stadt Hamburg an der Elbe von denen erheben, die auf der Elbe mit Schiffen und Waren verkehren. Wenn jemand diesen Zoll
gegen ihre Rechte und ohne Willen und Wissen der Stadt Hamburg umfahre oder
die Hamburger an der Zollerhebung hindere, so dass sie Schaden nähmen, würden
sie, ihre Erben und die Ihren die Stadt nach ihrem Vermögen schadlos halten. Siegelankündigung der Herzöge. Gheven […] na Godes bord verteinhundert darna in deme
negenundetwintigestem jare des vridages in der Pinxsten weken.
Adolf VIII., Graf von Holstein und Stormarn (seit 1421), (als Adolf I.) Herzog von Schleswig (1427–
1459).
581
582
Gerhard VII., Graf von Holstein und Stormarn (1427–1433).
[1429 vor Juni 1]. [Hamburg ].
379
Diplomatische Erörterung: Nachgedunkeltes Pergament mit Faltung, zahlreichen
Feuchtigkeitsflecken und kleineren Textverlusten, breite Plica mit zwei an restaurierten Pergamentstreifen angebrachten, gut erhaltenen Siegeln in rotem
Wachs. Auf der zur Stabilisierung mit dünner Folie und einem zusätzlichen kleinen Papierstreifen überklebten Rückseite rechts oben der Vermerk D.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. L 1.
362
[1429 vor Juni 1]. [Hamburg].
[vor 1429.06.01] — Rr 95
362
Bürgermeister und Rat von Hamburg machen bekannt, dass die Kanoniker Nicolaus Hamborgh aus Hamburg und Thomas Rode aus Lübeck eine Einigung im Streit zwischen den Hamburgern und Johannes Bekerholt vermittelt hätten, mit der alle gegenseitigen Forderungen ausgeglichen seien
Bürgermeister und Ratsherren von Hamburg in einem offenen Brief: machen bekannt, dass sie von Dekan und Domkapitel zu Hamburg informiert worden seien,
dass die Kanoniker Nicolaus Hamborgh583 aus Hamburg und Thomas Rode aus Lübeck
im Streit zwischen den Hamburgern und Johannes Bekerholt,584 der in dieser Sache
auch an der römischen Kurie geklagt habe, in allen Punkten eine freundliche Einigung herbeigeführt hätten.
[1.] Johannes Bekerholt solle künftig von allen Forderungen frei (sunder ansprake
under hinder) und sicher leben können, wo es ihm gefalle. Allerdings solle er um
des Friedens willen (umme groter eyndracht unde vredes wyllen) künftig nicht in Hamburg selbst oder in seinem Gebiet wohnen, auch wenn er sich außerhalb Hamburgs
ohne Behinderungen und Forderungen frei bewegen könne.
[2.] Die Hamburger würden alle seinetwegen Gefangenen freilassen (schulle wy alle,
de an unsen sloten sytten van syner weghen, utlaten) und jenen, die seinetwegen die
Stadt verlassen hätten, die ungehinderte Rückkehr erlauben. Alle Gefangenen und
Geflohenen sollten ihre Güter wieder ohne Einschränkung nutzen können, wobei
sie wie alle anderen Bürger ihren Pflichten nachkommen sollten.
[3.] Alle Forderungen auch in Bezug auf die aus der Klage an der römischen Kurie
entstandenen Kosten beider Seiten sollten als ausgeglichen gelten. Alle, die den
Rat und Johannes an der Kurie mit Rat und Tat, offen oder heimlich, unterstützt
hätten, seien in die Vereinbarung eingeschlossen.
583
Belegt 1429–1439, 1437–1439 auch als Dekan.
584
Als Ratsherr zu Hamburg nur 1411 belegt.
380
Regesten der Jahre 14 00 –14 4 0
Bürgermeister und Ratsherren machen bekannt, dass sie die von Nicolaus Hamborgh und Thomas Rode vermittelte Einigung annähmen, und geloben die unverbrüchliche Einhaltung der Zusagen gegenüber Johannes Bekerholt und seinen Unterstützern [Entwurf].
Diplomatische Erörterung: Insert in Notariatsinstrument des Marquardus de Stiten, Kle-
riker der Lübecker Diözese, Notar päpstlicher Autorität, und des Henricus Berwusch, Kleriker der Magdeburger Diözese, Notar kaiserlicher Autorität, von 1429
Juni 1 [unten Nr. 364].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Rr 95. D = Copiae Archivi.
Erwähnung: Vonderlage, Domkapitel, S. 72.
363
[1429 vor Juni 1]. o. O.
[vor 1429.06.01] — Rr 95
363
Johannes Bekerholt macht bekannt, dass die Kanoniker Nicolaus Hamborgh aus Hamburg und Thomas Rode aus Lübeck eine Einigung im Streit zwischen ihm und Bürgermeister und Rat zu Hamburg vermittelt hätten, mit der alle gegenseitigen Forderungen ausgeglichen seien
Johannes Bekerholt585 in einem offenen Brief: macht bekannt, dass er von Dekan und
Domkapitel zu Hamburg informiert worden sei, dass die Kanoniker Nicolaus Hamborgh586 aus Hamburg und Thomas Rode aus Lübeck im Streit zwischen ihm und den
Bürgermeistern und Ratsherren zu Hamburg, der auch an der römischen Kurie geführt worden sei, in allen Punkten eine freundliche Einigung herbeigeführt hätten,
um weitere Kosten und Mühen für beide Seiten zu vermeiden. Alle gegenseitigen
Forderungen seien auf folgende Weise ausgeglichen:
[1.] Er könne künftig von allen Forderungen frei (sunder ansprake under hinder) und
sicher leben, wo es ihm gefalle. Allerdings werde er um des Friedens willen (umme
groter eyndracht unde vredes wyllen) künftig nicht in Hamburg selbst oder in seinem
Gebiet wohnen, auch wenn er sich außerhalb Hamburgs ohne Behinderungen und
Forderungen frei bewegen könne.
[2.] Weiter sollten die Hamburger alle seinetwegen Gefangengenommenen freilassen (scholen sy alle, de an eren sloten sytten van myner weghen, utlaten) und jenen, die
seinetwegen die Stadt verlassen hätten, die ungehinderte Rückkehr erlauben. Alle
Gefangenen und Geflohenen sollten ihre Güter wieder ohne Einschränkung nutzen
können, wobei sie wie alle anderen Bürger ihren Pflichten nachkommen sollten.
[3.] Alle Forderungen auch in Bezug auf die aus der Klage an der römischen Kurie
entstandenen Kosten beider Seiten sollten als ausgeglichen gelten. Alle, die den
585
Als Ratsherr zu Hamburg nur 1411 belegt.
586
Belegt 1429–1439, 1437–1439 auch als Dekan.
1429 Juni 1. Rom.
381
Rat und Johannes an der Kurie mit Rat und Tat, offen oder heimlich, unterstützt
hätten, seien in die Vereinbarung eingeschlossen.
Johann Bekerholt macht bekannt, dass er die von Nicolaus Hamborgh und Thomas
Rode vermittelte Einigung annehme, und gelobt die unverbrüchliche Einhaltung
der Zusagen gegenüber Bürgermeistern, Ratsherren sowie ihren Unterstützern
[Entwurf].
Diplomatische Erörterung: Insert in Notariatsinstrument des Marquardus de Stiten, Kle-
riker der Lübecker Diözese, Notar päpstlicher Autorität, und des Henricus Berwusch, Kleriker der Magdeburger Diözese, Notar kaiserlicher Autorität, von 1429
Juni 1 [unten Nr. 364].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Rr 95. D = Copiae Archivi.
364
1429 Juni 1. Rom.
1429.06.01 — Rr 95
364
Die Notare Marquardus de Stiten und Henricus Berwusch bezeugen die auf Vermittlung der Kanoniker Nicolaus Hamborgh aus Hamburg und Thomas Rode aus Lübeck erfolgte Einigung im Streit zwischen Johannes Bekerholt auf der einen und Bürgermeister und Rat zu Hamburg auf der anderen Seite, vidimieren die Erklärungen der beiden Seiten (Nr. 362 und 363) und beurkunden die Vereinbarungen über den Austausch der Urkunden
Notariatsinstrument. Die Notare bestätigen, dass vor ihnen und den unten genannten Zeugen die Magister Nicolaus Hamborgh, Kanoniker der Bremer Diözese,587
und Thomas Rode, Kanoniker der Lübecker Diözese, Prokuratoren an der römischen
Kurie, und Johannes [Bekerholt]588 aus der Bremer Diözese, erschienen seien. Nicolaus und Thomas hätten im Namen von Dekan und Domkapitel bzw. im Namen
des genannten Johannes erklärt, dass sie im Konflikt zwischen Bürgermeistern
und Ratsherren der Stadt Hamburg auf der einen und Johannes Bekerholt auf der
anderen Seite geschlichtet und eine freundliche Einigung herbeigeführt hätten.
Darüber hätten Nicolaus und Thomas jeweils eine Erklärung auf Papier vorgelegt.
Nicolaus habe folgenden Zettel präsentiert:
[Es folgt Nr. 362, ohne Datum.]
Thomas habe daraufhin folgenden Zettel präsentiert:
[Es folgt Nr. 363, ohne Datum.]
Nach der Verlesung dieser Zettel habe der anwesende Johannes Bekerholt ohne
jeden Zwang, vielmehr freiwillig und wohl überlegt die in den Schreiben enthaltenen Regelungen gebilligt, angenommen und die Einhaltung gelobt. Magister
Nicolaus Hamborgh habe daraufhin im Namen von Bürgermeistern und Rat der
Stadt Hamburg erklärt, dass diese, auch angesichts der Androhung von Strafen
bei Nichteinhaltung, bis 1429 September 29 ([…] Michaelis proxime futuri) die Eini-
587
Belegt 1429–1439, 1437–1439 auch als Dekan.
588
Als Ratsherr zu Hamburg nur 1411 belegt.
382
Regesten der Jahre 14 00 –14 4 0
gung ebenfalls bestätigen, den vorgelegten Zettel mit dem großen Siegel der Stadt
Hamburg besiegeln und die Urkunde beim Rat von Lüneburg hinterlegen würden.
Ebenso würden sie die im Streit mit Johannes Bekerholt Inhaftierten freilassen,
wie in der Vereinbarung festgelegt. Entsprechend habe Johannes Bekerholt, auch
angesichts der Androhung von Strafen bei Nichteinhaltung, zugesagt, das von
Thomas Rode vorgelegte Schreiben zu besiegeln und beim Rat von Lüneburg zu
hinterlegen. Wenn beide Urkunden hinterlegt seien, würden sie der jeweils anderen Seite übergeben werden. Die Nichteinhaltung der Zusagen wird mit einer Strafe von 1000 rhein. gld. belegt. Als Bürgen für Nicolaus Hamborgh geloben [Johannes Rode], Propst von St. Willehad in Bremen und päpstlicher Abbreviator,589 sowie
Johannes Slore, Schreiber der Pönitentarie,590 und Johannes Bekerholt verpflichtet
sich und seine Erben mit all seinen Gütern zur Einhaltung. Nicolaus Hamborgh, Johannes Rode und Johannes Slore auf der einen und Johannes Bekerholt auf der anderen Seite bevollmächtigen einzeln und gemeinsam die Magister Johannes Wachtendunck, Johannes Helling, Johannes Engelhardi, Thomas Lantzebergh, Johannes Nicolai
und Johannes Tinctoris [an der römischen Kurie] sowie […] Johannes Baliar, Angelus
de Parusio, Nicolaus de Castello, Johannes Garnerus und Johannes Quintin, Notare der
apostolischen Kammer, mit der Einforderung der eventuellen einzufordernden
Strafgelder, der Unkosten und Zinsen, die alles dafür Notwendige unternehmen
könnten. Die Auftraggeber beschwören, die Vollmacht niemals zurückzunehmen,
weder stillschweigend noch ausdrücklich. Notiz über die Anfertigung des Notariatsinstruments auf Bitten des Nicolaus Hamborgh und des Johannes Bekerholt. Acta
sunt hec Rome in ecclesia sancti Laurencii in Damaso, sub anno, indiccione, die, mense et
pontificatu quibus supra. – In nomine Domini amen. Anno a nativitate eiusdem millesimo
quadringentesimo vicesimo nono, indictione septima, die vero prima mensis Junii, pontificatus sanctissimi in Christo patris et domini nostri, domini Martini, divina providencia
pape quinti anno duodecimo. – Zeugen: Ludophus Quirre, Hildesheimer Kanoniker, und
Hermannus Pentel, Archidiakon in Ofen.
Diplomatische Erörterung: Gemeinsames Notariatsinstrument des Marquardus de Sti-
ten, Kleriker der Lübecker Diözese, Notar päpstlicher Autorität, und des Henricus Berwusch, Kleriker der Magdeburger Diözese, Notar kaiserlicher Autorität,
Johannes Rode ist in der Funktion u. a. zu 1426 Dezember 23 und 1429 Oktober 21 als Zeuge belegt im Liv-, Est- und Kurländischen Urkundenbuch, hrsg. Hermann Hildebrand, 7–8, Riga, Moskau
1881–1884, hier 7, 551, S. 382, und 8, 110, S. 69.
589
Johannes Slore (Sloren, Sloer) findet sich auch mit dieser Funktion u. a. zu 1422 Januar 12 im Repertorium Germanicum, http://rg-online.dhi-roma.it/RG/4/9279 (letzte Einsichtnahme 1.2.2020).
590
1429 Juni 19. o. O.
383
mit ihren jeweiligen Notarszeichen. Großes Pergament mit Faltung, mehreren
großen Löchern und Einrissen und in der Folge mit größeren Textausfällen. Die
Invocatio ist hervorgehoben. Die teilweise stark nachgedunkelte Rückseite (mit
Schimmelflecken) mit jüngerem, kopfstehendem Kanzleivermerk in der Mitte:
Instrumentum consulatum inter et Johann Beckerhold. 1429. Continens mandatum procuratorium et relationem causae.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Rr 95. D = Copiae Archivi.
365
1429 Juni 19. o. O.
1429.06.19 — Ff 1 s
365
Johann [Michelke], Reitenvogt, macht bekannt, dass er sich mit Bürgermeister [und Rat zu Hamburg über Forderungen aus Soldzahlungen] geeinigt habe
Johann [Michelke], Reitenvogt, in einem offenen Brief: macht bekannt, dass er sich
mit Bürgermeister [und Rat zu Hamburg über Forderungen aus Soldzahlungen]
geeinigt habe. [Gelobt, künftig mit Bürgermeistern und Rat, ihren Nachfolgern,
Bürgern und Einwohnern der Stadt Hamburg nur auf das Beste umzugehen.] Siegelankündigung des Ausstellers. Gheven unde screven […] na Godes bord [verteynhundert jar dar na im] [neghenundetwintegesten jare] des sondages na sunte [Vitus daghe des
hilgen mertelers].
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken
und erheblichen Textausfällen, breite Plica mit einem Schlitz zur Befestigung
eines Siegels, aber Pergamentstreifen und Siegel fehlen. Rückseite mit verblasstem, daher schlecht lesbarem Vermerk unten in der Mitte: […] Michelke […]
eͤne compositie. 1429. Dazu darüber rechts die Nummer: (10).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 1 s.
366
[1429 c. Juli]. o. O.
[1429.07.00] — Cc 36 [2]
366
Curd van Holthusen [Bürgermeister zu Verden] an Bürgermeister und Rat der Stadt Hamburg: berichtet über seine Bemühungen, Henneke Rybe und seine Brüder zur Urfehde gegenüber Hamburg zu bewegen
Curd van Holthusen [Bürgermeister zu Verden] an Bürgermeister und Rat der Stadt
Hamburg: sie hätten seinem Knecht Hinric Rybe ein Dokument (ene scrifft) mitgegeben, nach dem ihnen Henneke Rybe und seine Brüder Urfehde besiegeln sollten. Er
habe diesen daher den Brief in wörtlicher Abschrift gesandt, außer Michelke. [Dessen Beteiligung] habe er jetzt nicht bekommen können und daher einen frommen
Mann aus dem Rat [von Verden] gebeten, Hans Wetemoller, wie sie das in der Urfehde finden würden. Auch könnten Hinric und Ribbeke de Rybe, Hennekes Brüder,
zurzeit wegen eines Erbes nicht nach Hamburg kommen. Sie daher hätten alles
Notwendige getan und ihre Eide vor ihm und zuverlässigen Zeugen geleistet. Er
bitte daher, das nicht als Unwillen zu nehmen und Henneke zum Nachteil auszulegen. Werde ihnen das danken. Screven under mynem ingesegel.
38 4
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Papier mit Faltung und Resten des Verschlusssiegels auf der
Rückseite. Vorderseite mit Subscriptio unten rechts: Curd van Holthusen. Rückseite mit Adresse (quer): Den erbaren borgermesteren und rade der stad Hamborch,
mynen leven heren und guden frunden, darunter ges[creven]. Dazu moderne Signatur
in Bleistift: Cc 36.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 36 [2]. D = Copiae Archivi.
367
1429 Juli 13. o. O.
1429.07.13 — Cc 36 [1]
367
Henneke Rybe schwört Urfehde vor den Hamburger Richteherren, unter Bürgschaft seiner Brüder Hinrik und Rybbeke Rybe
Henneke Rybe in einem offenen Brief: bekennt, dass er wegen etlicher Sachen (dorch
itliker zake willen), derer er angeklagt war, in Hamburg im Gefängnis gesessen habe
und dass er wegen der Gefangenschaft vor Niclawes Meyger591 und Johannes van Oerle,592 zurzeit Richteherren, für sich und seine Verwandten, geboren und ungeboren,
Urfehde (ene rechte orveyde) geschworen habe. Er verzichte daher auch im Namen
seiner Verwandten auf jede Schädigung oder Forderung an die Stadt Hamburg und
ihre Güter, Bürger, Einwohner, Knechte und Verteidiger, sondern werde sich um
ihr Bestes bemühen. Henneke beschwört die Einhaltung seiner Zusagen. Siegelankündigung des Ausstellers. Hinrik und Rybbeke Rybe, seine Brüder, bürgen mit
gesamter Hand für die Einhaltung der Urfehde und kündigen ihre Siegel an. Curd
van Holthusen, Bürgermeister zu Verden, Hermen van Wulsede und Hans Wetemoller,
Ratsherren ebenda, sowie Hermen Woele bürgen mit gesamter Hand wie die Brüder
Rybe für die Einhaltung und kündigen auch ihre Siegel an. Na Godes bord verteynhundert jar dar na in deme negenundtwintegesten jare in sunte Margreten dage der hilgen
juncffruwen.
Diplomatische Erörterung: Pergament mit Faltung und zahlreichen Feuchtigkeitsfle-
cken und einigen verblassten Stellen, Plica mit sieben Einschnitten für die Befestigung von Siegeln, davon das zweite bis vierte und das sechste bis siebente
Siegel teilweise fragmentarisch an Pergamentstreifen erhalten, beim fünften
findet sich nur der Pergamentstreifen, der erste Einschnitt ist leer. Rückseite mit
Kanzleivermerk: Orveyde Henneken Ryben 1429, darunter modern: Margar[ethe].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 36 [1]. D = Copiae Archivi.
591
Ratsherr 1421–1443.
592
Ratsherr 1428–1430.
1429 Juli 17. o. O.
368
385
1429 Juli 17. o. O.
1429.07.17 — N 47
368
Wilhelm [I.] und Heinrich [II.], Herzöge von Braunschweig-Lüneburg, an Bürgermeister und Rat der Stadt Hamburg: bitten um Auszahlung der ihnen zu 1429 Juli 29 schuldigen 2000 m. an Johannes Schellepeper, Sodmeister zu Lüneburg, oder seinen Bevollmächtigten
Wilhelm [I.] und Heinrich [II.], Herzöge von Braunschweig-Lüneburg,593 an Bürgermeister und Ratsherren der Stadt Hamburg (den vorsichtigen wysen luden borgermeisteren unde radmannen tho Hamborg unsen guden frunden): bitten sie, die ihnen
schuldigen 1429 Juli 29 (upp dessen negestkomenden sunte Panthaleonen dag) fälligen
2000 m. an Johannes Schellepeper, Sodmeister zu Lüneburg, oder seinen Bevollmächtigten auszuzahlen. Wenn sie diese Summe bezahlt hätten, sprächen sie sie mit
diesem Brief davon frei. Siegelankündigung. Na Godes bord dusend verhunderd jar dar
na in deme negenundetwintigesten jare am sundage na aller aposteln dage.
Diplomatische Erörterung: Kleineres Pergament mit zahlreichen Feuchtigkeitsflecken,
die Plica ist geöffnet und wie die Rückseite mit dünnem Papier überklebt, mit
zwei Schlitzen für die Anbringung von Siegeln, jedoch nur das erste Siegel ist
an einem restaurierten Pergamentstreifen erhalten. Kanzleinotiz in einem Ausschnitt auf der Rückseite: Quitancie der hern van Bruszwick. 1429.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. N 47. D = Copiae Archivi.
369
369
Henneke Kletse aus der Haseldorfer Marsch schwört Urfehde
1429 September 28. o. O.
1429.09.28 — Cc 37
Henneke Kletse aus der Haseldorfer Marsch (Hazeldorper mersch) in einem offenen
Brief: bekennt, dass ihn Heyne Witten wegen etlicher Sachen (dorch itliker zake willen), derer er ihn beschuldigte, in Hamburg durch das Gericht ins Gefängnis habe
werfen lassen. Wegen dieser Gefangenschaft habe er gegenüber der Stadt Hamburg, dem Rat, den Bürgern, Bürgerinnen, Einwohnern, Einwohnerinnen, Dienern
und Verteidigern für sich und seine Verwandten Urfehde (eyne rechte orveyde) gelobt. Er werde nicht gegen sie vorgehen, sondern sich um ihr Bestes bemühen.
Henneke gelobt die Einhaltung und kündigt sein Siegel an. Clawes und Thiderik,
heten Kletse, seine Brüder, erklären ihre Zustimmung zur Urfehde und beschwören
ebenfalls die Einhaltung. Peter Reygherben und Thideric Reder aus der Haseldorfer
Marsch bürgen mit gesamter Hand. Brüder und Bürgen kündigen ihre Siegel an. Na
Godes bort verteynhundert jar dar in deme neghen unde twinteghesten jare des mitwekens
vor cunte Michel daghs des hillighen ertzengels.
Wilhelm I. († 1482) und Heinrich II. († 1478), Herzöge von Braunschweig-Wolfenbüttel (gemeinsam
1428–1432), zuvor gemeinsam Herzöge von Braunschweig- Lüneburg (1416–1428), danach mit unterschiedlichen Titeln.
593
386
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergament mit Faltung und zahlreichen Feuchtigkeitsfle-
cken, teilweise leicht verblasster Schrift, unten fünf Einschnitte zur Siegelbefestigung, daran sind vier recht gut erkennbare Siegel an Pergamentstreifen erhalten (das zweite ist lose), das fünfte Siegel fehlt, nur noch der Pergamentstreifen
ist vorhanden. Auf der Rückseite Kanzleinotiz: Orveida Henneken Kletzen 1429, dazu
jünger: [dies Mercurii] a[nte] Mich[aelis]. Davor: 2).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 37. D = Copiae Archivi.
370
1429 November 22. o. O.
1429.11.22 — N 48
370
Wilhelm [I.] und Heinrich [II.], Herzöge von Braunschweig-Lüneburg, an Bürgermeister und Rat der Stadt Hamburg: bitten um Auszahlung der ihnen zu 1429 September 29 zugesagten 1666 m. 10 sol. 8 d. an Johannes Schellepeper, Sodmeister zu Lüneburg
Wilhelm [I.] und Heinrich [II.], Brüder, Herzöge zu Braunschweig und Lüneburg,594
an Bürgermeister und Ratsherren zu Hamburg: bitten sie, die ihnen für ihre Ausrichtung zugesagten und schon zu 1429 September 29 (uppe dessen negestvorgangenen sunte Michels dag) fälligen 1666 m., 10 sol. und 8 d. an Johann Schellepeper, Sodmeister zu Lüneburg, oder wem das von ihm befohlen werde, auszuzahlen. Wenn
sie die Summe entrichtet hätten, sprächen sie die Hamburger von allen weiteren
Ansprüchen frei. Siegelankündigung der Herzöge. Na Godesbord dusend verhunderd
jar, darna in dem negenundetwintigesten jare am dinsdage sunte Cecilien dage.
Diplomatische Erörterung: Pergament mit Feuchtigkeitsflecken, kleine Plica mit zwei
Schlitzen für die Anbringung von Siegeln, jedoch nur das zweite Siegel an einem
restaurierten Pergamentstreifen erhalten. Plica und Rückseite mit dünnem Papier überklebt, in einem Ausschnitt auf der Rückseite die zeitgenössische Kanzleinotiz: Quitancie der hern van Bruszwick. 1429, dazu runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. N 48.
371
1429 November 22. o. O.
1429.11.22 — N 49
371
Wilhelm [I.] und Heinrich [II.], Herzöge von Braunschweig-Lüneburg, an Bürgermeister und Rat der Stadt Hamburg: bitten um Auszahlung der ihnen zu 1430 Februar 2 zugesagten 1666 m. 10 sol. 8 d. an Johannes Schellepeper, Sodmeister zu Lüneburg
Wilhelm [I.] und Heinrich [II.], Brüder, Herzöge zu Braunschweig und Lüneburg,595
an Bürgermeister und Ratsherren zu Hamburg: bitten, die ihnen für ihre Ausrichtung zugesagten 1666 m. 10 sol. 8 d. 1430 Februar 2 (upp dessen negest komenden
Wilhelm I. († 1482) und Heinrich II. († 1478), Herzöge von Braunschweig-Wolfenbüttel (gemeinsam
1428–1432), zuvor gemeinsam Herzöge von Braunschweig- Lüneburg (1416–1428), danach mit unterschiedlichen Titeln.
594
Wilhelm I. († 1482) und Heinrich II. († 1478), Herzöge von Braunschweig-Wolfenbüttel (gemeinsam
1428–1432), zuvor gemeinsam Herzöge von Braunschweig- Lüneburg (1416–1428), danach mit unter595
1429 D ezemb er 2 . Hamburg.
387
Lichtmissen) an Johannes Schellepeper, Sodmeister zu Lüneburg, oder wem das von
ihm befohlen werde, auszuzahlen. Wenn sie die Summe entrichtet hätten, sprächen sie die Hamburger von allen weiteren Ansprüchen frei. Siegelankündigung
der Herzöge. Na Godesbord dusend verhunderd jar dar na in deme negen unde twintegesten jare am dinsdage sunte Cecilien dage.
Diplomatische Erörterung: Pergament mit zahlreichen Feuchtigkeitsflecken und eini-
gen Textausfällen, Plica mit zwei an (restaurierten) Pergamentstreifen befestigten Siegeln, das erste in einer Papiertasche. Die mit dünnem Papier überklebte
Rückseite in einem Ausschnitt mit einem zeitgenössischen Kanzleivermerk in
der Mitte: Quitantie der hern van Brunszwick 1429. Dazu ein blasser runder Stempel
mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. N 49. D = Copiae Archivi.
372
1429 Dezember 2. Hamburg.
1429.12.02 — Xx 49
372
Johannes up dem Perde, Senior, und das Hamburger Domkapitel übertragen Gherardus de Balghe, Dekan, und Magister Johannes Kust, Kanoniker zu Hamburg, gegen 3 m. jährlicher Pacht einen für bestimmte memoriae vorgesehenen Garten vor der Stadt
Johannes up dem Perde, Senior,596 und das Hamburger Domkapitel in einem offenen
Brief: machen bekannt, dass sie Gherardus de Balghe, Dekan,597 und Magister Johannes Kust, Kanoniker der Hamburger Kirche,598 gegen 3 m. jährlicher Pacht einen für
bestimmte memoriae vorgesehenen Garten vor der Stadt jenseits des Resendamms
hinter der Windmühle (situm extra opidum Hamburgense ultra Resendam retro molendinum ventorum) übertragen hätten, der dem Rat der Stadt Hamburg zugehöre. Diese 3 m. seien jeweils Februar 22 (in festo sancti Petri ad cathedram) zum Nutzen der
Memorien von Johannes Wunstorp und Hinricus Volkmar den zuständigen Provisoren
zu zahlen. Gherardus und Johannes, oder wer von ihnen überlebe, sollten den Garten mit seinem Zubehör entsprechend pflegen, können ihn aber auch wiederum
zum Nutzen der memoriae zurückgeben. Ankündigung der Siegel der Hamburger
Kirche sowie des Gherardus und des Johannes. Datum Hamborch anno a nativitate
domini millesimo quadringentesimo vicesimo nono, die secunda mensis Decembris.
schiedlichen Titeln.
596
Davor belegt 1401–1407 (sofern personell identisch).
597
Gherardus Balghe, Dekan 1421–1437.
598
Belegt 1427–1448, structurarius 1447.
388
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Leicht nachgedunkeltes Pergament mit Faltung, rechts et-
was eingeschnittene Plica mit drei angehängten Pergamentstreifen, an denen
aber nur geringe Reste des zweiten Siegels erhalten sind. Rückseite mit einem
links quer eingetragenen älteren Kanzleivermerk: 3 m. redditus a domino decano
Gherardo Balghen et domino Jo[hanne] Kust de orto. Dazu jünger: Resendam jenseits der
Windmühlen außer der Stadt. Anno 1429, sowie No. 78.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Xx 49. D = Copiae Archivi.
373
1429 Dezember 18. o. O.
1429.12.18 — N 50
373
Johan Schellepeper, Bürgermeister von Lüneburg, quittiert Bürgermeistern und Rat der Stadt Hamburg drei Zahlungen an die Herzöge Wilhelm und Heinrich von Braunschweig-Lüneburg mit Fälligkeit an 1429 Juli 29 (über 2000 m.), 1429 September 29 und 1430 Februar 2 (über jeweils 1666 m., 10 sol. und 8 d.)
Johan Schellepeper, Bürgermeister von Lüneburg, in einem offenen Brief: quittiert
den Bürgermeistern und Ratsherren der Stadt Hamburg die Zahlung dreier Summen an die Herzöge Wilhelm und Heinrich von Braunschweig und Lüneburg599 mit
Fälligkeit an den folgenden drei Terminen: 1429 Juli 29 (van sunte Pantalonis dage)
über 2000 m., 1429 September 29 (van sunte Michaelis daghe) und 1430 Februar 2
(uppe Unser Frowen dach to Lichtmessen negestkomende) über jeweils 1666 m., 10 sol.
und 8 d. Spricht sie von den genannten Summen frei. Siegelankündigung. Gegeven
na Godesbort verteynhundert jar darna in deme negenundtwintigesten jare des negesten
sondages na sunte Lucien der hilgen juncfrowen daghe.
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken
und leichtem Textverlust, kleine Plica mit an restauriertem Pergamentstreifen
angehängtem Siegel in rotem Wachs. Plica und Rückseite mit dünnem Papier
überklebt, in einem Ausschnitt auf der Rückseite die zeitgenössische Kanzleinotiz: Quitancie her Hei[nrich] van Brunszwick upp 5332 m. 5 sol. 4 d. 1429.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. N 50. D = Copiae Archivi.
374
374
Hans Hunte schwört Urfehde vor den Hamburger Richteherren
1430 Februar 6. o. O.
1430.02.06 — Cc 38
Hans Hunte in einem offenen Brief: macht bekannt, dass er wegen etlicher Dinge,
wegen derer ihn der Rat und das Gericht zu Hamburg verklagt und gefangen gesetzt hätten, gelobt und Urfehde geschworen habe vor den Richteherren Nicolaus
Wilhelm I. († 1482) und Heinrich II. († 1478), Herzöge von Braunschweig-Wolfenbüttel (gemeinsam
1428–1432), zuvor gemeinsam Herzöge von Braunschweig- Lüneburg (1416–1428), danach mit unterschiedlichen Titeln.
599
1430 Februar 11. o. O.
389
Meyger600 und Johan van Orle,601 für sich und seine Verwandten, dass er weder selbst
noch seine Verwandten, weder mit Worten noch mit Taten (werken), wegen der
Gefangenschaft gegen den Rat zu Hamburg, Bürger und Bürgerinnen, Einwohner
und Einwohnerinnen, Dienste oder Helfer, in ihrem Gebiet oder ihren Gütern vorgehen solle. Vielmehr solle er für die Hamburger das Beste tun. Hans beschwört
die Einhaltung der Zusagen, Siegelankündigung. Hans Hunte, Bürger zu Hamburg,
bürgt als Sachwalter (eyn rechte zakewolde desser orveyde Hanzes vorscreven unde eyn
truwe lover) für die Einhaltung der Urfehde und beschwört dies vor den Richteherren. Ankündigung seines Siegels. Na der bort Cristi duzent jar verhundert jar darna in
deme dertighesten jare des verden daghes na Unser Leven Vrouwen daghe to Lichtmissen.
Diplomatische Erörterung: Größeres Pergament mit Faltung, zahlreichen Feuchtig-
keitsflecken, stark verblassten, kaum lesbaren Stellen und Löchern entlang der
Faltlinie, Plica mit zwei an Pergamentstreifen angehängten, gut erhaltenen Siegeln. Rückseite mit kopfstehendem Kanzleivermerk: Orveyde Hans Hunten. 1430.
Darunter klein: Quarta die p[ost] Lichtm[issen], davor 3).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 38. D = Copiae Archivi.
375
1430 Februar 11. o. O.
1430.02.11 — Cc 39
375
Helmich Becker schwört Urfehde vor den Hamburger Richteherren, auch im Namen seiner Brüder, Ghodekin und Hans, heten Becker
Helmich Becker in einem offenen Brief: macht bekannt, dass er wegen gewisser Dinge (dorch ichteswelker zake willen) im Gefängnis des Rats zu Hamburg gesessen habe,
derer er sich schuldig gemacht habe. Er habe für sich und seine Verwandten gelobt, wegen seiner Gefangenschaft eine Urfehde einzuhalten (eyne rechte orveyde to
holdende) und den Rat zu Hamburg, die Güter, Bürger und Bürgerinnen, Einwohner und Einwohnerinnen, Diener oder Unterstützer im Dienst der Stadt nicht zu
schädigen, weder mit Worten noch mit Taten (werken). Er wolle sich vielmehr mit
seinen Verwandten für das Beste der Hamburger einsetzen. Helmich beschwört
die Einhaltung der Urfehde auch im Namen seiner Brüder, Ghodekin und Hans, heten
Becker, vor den Richteherren Nicolaus Meyger602 und Johan van Orle.603 Siegelankündigung des Ausstellers. Gheven na Godes bort verteynhundert jar, darna in deme dertighesten jare, des sonavendes na sunte Scolastiken daghe der hillighen juncfrowen.
600
Ratsherr 1421–1443.
601
Ratsherr 1428–1430.
602
Ratsherr 1421–1443.
603
Ratsherr 1428–1430.
390
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Größeres Pergament mit Faltung, zahlreichen Feuchtig-
keitsflecken und vielen verblassten Stellen, vor allem im unteren Teil der Urkunde, Plica mit einem an einem Pergamentstreifen angehängten, gut erhaltenen
Siegel. Rückseite mit Kanzleivermerk in der Mitte: Orveide Helmich Becker 1430,
dazu jünger 5. p[ost] Scholast., davor Ziffer: 4).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 39. D = Copiae Archivi.
376
1430 März 13. o. O.
1430.03.13 — Cc 40
376
Ludeke Nigeman schwört Urfehde vor den Hamburger Richteherren, unter Zustimmung seiner Brüder Albert und Hans, heten Nigeman, und seines Sohnes Hans Nigeman
Ludeke Nigeman in einem offenen Brief: macht bekannt, dass er wegen etlicher Dinge (dorch itliker zake willen), derentwegen ihn Cord Schote, Hauptmann, und das Gericht zu Hamburg angeklagt hätten, im Gefängnis gesessen habe. Er habe wegen
des Gefängnisses vor den Richteherren, zurzeit Johann van Orle604 und Thiderik Moller,605 für sich und seine Verwandten gelobt, eine rechte Urfehde einzuhalten (eyne
rechte orveyde to holdende) und den Rat zu Hamburg, die Bürger und Bürgerinnen,
Einwohner und Einwohnerinnen, Diener oder Helfer im Dienst der Stadt (de de rad
to Hamborgh vordeghedingen) nicht zu schädigen, weder mit Worten noch mit Taten
(werken). Er wolle sich vielmehr mit seinen Verwandten für das Beste der Hamburger einsetzen. Ludeke beschwört die Einhaltung der Urfehde vor den genannten
Richteherren. Siegelankündigung des Ausstellers. Ludekes Brüder, Albert und Hans,
heten Nigeman, erklären, dass sie die Urfehde gebilligt (volbordet) hätten, ebenso
Hans Nigeman, Sohn Ludekes; und sie beschwören die Urfehde vor den Richteherren. Siegelankündigung der Verwandten Ludekes. Na Ghodes bort verteynhundert jar,
darna in deme dertighesten jare, des mandaghes neghest, alse men zinghet Reminiscere in
der vasten in der hillighen kerken.
Diplomatische Erörterung: Pergament mit Faltung, vielen Feuchtigkeitsflecken und
verblassten, teilweise kaum noch leserlichen Stellen, Plica mit vier an Pergamentstreifen befestigten, gut erhaltenen Siegeln. Rückseite mit Kanzleivermerk
in der Mitte: Orveide Luteken Nigemans 1430, dazu jünger: [dies Lune] p[ost] Miseric[ordia] domini [!], davor Ziffer 5).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 40. D = Copiae Archivi.
604
Ratsherr 1428–1430.
605
Ratsherr 1429–1464.
1430 April 8. o. O.
377
377
Juries Schutte schwört Urfehde vor den Hamburger Richteherren
391
1430 April 8. o. O.
1430.04.08 — Cc 41
Juries Schutte in einem offenen Brief: macht bekannt, dass er wegen etlicher Sachen in Hamburg im Gefängnis gesessen habe, derentwegen er von verschiedenen
Personen, die am Zug gegen die Ketzer dabei waren (de vor den ketteren hadden wesen), verklagt worden sei, dass er sie entführt haben solle (det ik ze scholde vorvoret
hebben), obwohl er unschuldig sei. Wegen dieser Gefangenschaft habe er auch im
Namen seiner Verwandten Urfehde gelobt (eyne rechte orveyde to holdende), dass sie
wegen des Gefängnisses den Rat Hamburgs, die Stadt und ihre Güter, die Bürger
und Bürgerinnen, Einwohner und Einwohnerinnen, Diener und Helfer nicht schädigen würden. Vielmehr würde er sich um das Beste der Hamburger bemühen.
Juries gelobt die Einhaltung der Urfehde vor den Richteherrren Johan van Orle606
und Thiderik Moller.607 Siegelankündigung des Ausstellers. […] Na Ghodes bort verteynhundert jar unde in deme dertighesten jare in Palme avende.
Diplomatische Erörterung: Etwas nachgedunkeltes Pergament mit Faltung und einigen
Feuchtigkeitsflecken, unten mit einem an einem Pergamentstreifen befestigten,
gut erhaltenen Siegel, der Ausschnitt ist etwas ausgerissen, rechts unten mit
Bleistift die moderne Signatur: Cc 41. Rückseite unterschiedlich nachgedunkelt.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 41. D = Copiae Archivi.
378
1430 April 12. Hamburg.
1430.04.12 — Tt 49
378
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass Hinricus Kok, Priester der Verdener Diözese, und Ericus de Tzevena, Ratsherr zu Hamburg, am von Ericus begründeten Altar in St. Petri eine Vikarie mit Renten von 24 m. und Abgaben von 12 Scheffel Weizen ausstatten wollten, nehmen die Einkünfte unter kirchlichen Schutz und errichten die Vikarie
Gherardus, Dekan,608 und das gesamte Domkapitel zu Hamburg in einem offenen
Brief: machen bekannt, dass vor ihnen Hinricus Kok, Priester der Verdener Diözese,
und Ericus de Tzevena, Ratsherr zu Hamburg,609 erklärt hätten, dass sie ihre selbst
erworbenen Güter zum Seelenheil ihrer Vorfahren, Wohltäter und Verwandten
verwenden ([…] terrena in celestia et transitoria in eterna felici commercio commutare)
und eine Vikarie an dem Altar in St. Petri ausstatten wollten, den Ericus mit seinen
Geldern begründet und mit Kleinodien geschmückt habe. Mit Zustimmung ihrer
Erben hätten sie dafür folgende Renten mit den darüber ausgestellten Urkunden
übergeben: 8 m. von Haus, Hof und Erbe des Hinricus in Buxtehude, gelegen rechts
an der Ecke am Eingang zu den Kurien; 12 Scheffel Weizen Hamburger Maß aus
606
Ratsherr 1428–1430.
607
Ratsherr 1429–1464.
608
Gherardus Balghe, Dekan 1421–1437.
609
Ratsherr 1414–1450.
392
Regesten der Jahre 14 00 –14 4 0
dem Dorf Bokholt im Kirchspiel Barmstedt, von 3 ½ Hufe, die einst Hinricus und
Make Linow sowie Hintzeke und Make dicti Scroder bewirtschafteten und heute Tideke
und Ghereke Bokholt mit anderen Einwohnern desselben Dorfs zugeschrieben sind;
8 m. von den Dörfern Boklo und Horne610 sowie vom Hof to dem Brande, wie sie einst
Magister Arnoldus Wunstorpe, ewiger Vikar an St. Petri, vom Ritter Hartwig Heest
kaufte; 2 m. von den Gütern des Marquard Moller; 1 m. von den Gütern des Henneke
van Asle in Uetersen; 2 m. von den Gütern des Henneke Bolsendal in Haselau (Haselow); sowie 3 m. von den Äckern und Gütern des verstorbenen Conradus Bickelstad in Hammerbrook. Auf Bitten der Stifter nehmen Dekan und Domkapitel die
Einkünfte unter kirchlichen Schutz und errichten am genannten Altar eine ewige Vikarie zu Ehren der Trinität, der Jungfrau Maria, der zwölf Apostel und des
hl. Stephan und statten sie mit den gestifteten Geldern aus. Der dort eingesetzte
Vikar solle jährlich 2 m. im Chor des Domes und 3 m. im Chor von St. Petri für die
memoria der Eltern von Hinricus und Ericus verteilen, für Vigilien und Totenmessen. Würden diese Renten abgelöst, sollten mit Zustimmung des jeweiligen Vikars
neue Renten erworben werden. Der Vikar solle mit den anderen regulär an den
Messen teilnehmen und sich dem Vizerektor unterstellen, dem auch die Oblationen zu präsentieren seien. Das Präsentationsrecht für die Vikarie liege für 120 Jahre bei Ericus und seinen männlichen und weiblichen Nachfahren in direkter Linie
und falle dann an das Domkapitel. Siegelankündigung der Hamburger Kirche. Datum et actum in loco capitulari eiusdem nostre ecclesie anno a nativitate domini millesimo
quadragentesimotricesimo duodecimo die mensis Aprilis.
Diplomatische Erörterung: Großes Pergament mit Faltung und größeren Feuchtigkeits-
flecken vor allem links und rechts, breite Plica mit einem Einschnitt zur Anbringung eines Siegels, das jedoch fehlt. Rückseite mit zeitgenössischem Kanzleivermerk: Sancti Petri. Vicaria sub vocabulo beate trinitatis, sancte Marie virginis, duodecim
apostolorum et sancti Stephani. Re[gistra]ta folio 39. 1430. Unten verblasste Notiz mit
Bleistift: [Nr.] 13.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Tt 49.
610
Wahrscheinlich aus den Orten Bokel und Osterhorn/Westerhorn; dazwischen liegt heute Brande-Hörnerkirchen.
1430 [vor April 16]. [o. O.].
379
393
1430 [vor April 16]. [o. O.]. 611
[vor 1430.04.16] — N 51
379
Wilhelm [I.] und Heinrich [II.], Herzöge von Braunschweig-Lüneburg, an Bürgermeister und Rat der Stadt Hamburg: bitten um Auszahlung der ihnen zu 1430 April 16 für den Feldzug nach [Jütland gegen den König von Dänemark] zugesagten 1333 m. 5 sol. 4 d. an Johannes Schellepeper, Bürgermeister zu Lüneburg
Wilhelm [I.] und Heinrich [II.], Brüder, Herzöge zu Braunschweig und Lüneburg,612
an Bürgermeister und Rat zu Hamburg: bitten ihnen die 1333 m. 5 sol. 4 d. 1430
April 16 (am nächsten Osterfest, uppe dusse […] tokomenden Paschen) zu entrichten,
die ihnen für den Feldzug (reyse) in das Land [Jütland gegen den König von Dänemark]613 in dem Vertrag zwischen ihnen und den Städten Lübeck und Lüneburg
zugesagt worden seien. Sie hätten dazu den Lüneburger Bürgermeister Johann
Schellepeper beauftragt. Wenn die Zahlung erfolge, würden sie die Hamburger mit
diesem Brief von allen Forderungen wegen der 1333 m. 5 sol. 4 d. befreien (quit
ledich unde […] sprechen). Siegelankündigung. […na ] Christi gheborth [xiiiic] jar dar na
in [deme…n] jare […] daghe […].
Diplomatische Erörterung: Stark beschädigtes Pergament mit mehreren Löchern,
vielen Feuchtigkeitsflecken und größeren Textausfällen, Plica, die rechte obere
Ecke und die Rückseite mit dünnem Papier überklebt, Plica mit zwei Schlitzen,
der erste mit einem an einem restaurierten Pergamentstreifen befestigten, gut
erhaltenen Siegel, das zweite Siegel und der Pergamentstreifen fehlen. Auf der
Rückseite eine Kanzleinotiz in einem Ausschnitt, quer: Quitancia Wihelmi unde
Hinrick[s] brodere van wegenn 1300 m. 1430.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. N 51.
380
380
Thymme Cruze schwört Urfehde vor den Hamburger Richteherren
1430 Mai 17. o. O.
1430.05.17 — Cc 42
Thymme Cruze in einem offenen Brief: macht bekannt, dass er wegen etlicher Dinge
(dorch itliker zake willen) im Gefängnis der Stadt Hamburg gesessen habe, derentwegen er von Bernd Bazedouw, dem Schneider, verklagt worden sei. Er sei aber vor dem
gehegten Gericht davon freigesprochen worden (dar ik erliken unde mit rechte wol
van scheden byn in eynem hegheden richte […] und dar ledich unde los van screven byn),
wie den Richteherren wohl bekannt sei. Er habe wegen des Gefängnisses vor den
611
Datumszeile nicht lesbar, Jahr nach dem Kanzleivermerk auf der Rückseite.
Wilhelm I. († 1482) und Heinrich II. († 1478), Herzöge von Braunschweig-Wolfenbüttel (gemeinsam
1428–1432), zuvor gemeinsam Herzöge von Braunschweig- Lüneburg (1416–1428), danach mit unterschiedlichen Titeln.
612
Wilhelm griff im September 1429 für einen Monat an der Spitze eines städtischen Heers der
Städte Hamburg, Lübeck, Rostock, Stralsund, Lüneburg und Wismar Dänemark an (während des
hansisch-dänischen Krieges 1427–1435), konnte aber wegen der Kürze seines Auftrags seine Erfolge
nicht hinreichend nutzen, Wilhelm Havemann, Geschichte der Lande Braunschweig und Lüneburg,
1, Göttingen 1853, S. 664.
613
39 4
Regesten der Jahre 14 00 –14 4 0
Richteherren, Johann van Orle614 und Thiderik Moller,615 für sich und seine Verwandten gelobt, eine rechte Urfehde einzuhalten (eyne rechte orveyde to holdende) und
den Rat zu Hamburg, die Stadt und ihre Güter, die Bürger und Bürgerinnen, Einwohner und Diener, die Sachwalter Bernd Bazedouws und seiner Erben sowie alle,
die den Rat von Hamburg verteidigten, nicht zu schädigen. Er wolle sich vielmehr
mit seinen Verwandten für das Beste der Hamburger und ihrer Güter, wo die seien, einsetzen. Thymme beschwört die Einhaltung der Urfehde vor den genannten
Richteherren. Siegelankündigung des Ausstellers. Na der bord Cristi mccccxxx jar, des
mitwekens, alse men singhet na Paschen in der hyllighen kerken Cantate.
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken
und verblassten, teilweise kaum noch lesbaren Stellen, dazu unten ein an einem
Pergamentstreifen angehängtes Siegel, unten rechts mit Bleistift die moderne
Signatur: Cc 42. Rückseite rechts oben die Ziffer 6) und Kanzleivermerk: Orveida
Tymo Crusen 1430, dazu jünger [dies Mercurii] p[ost] Cantate.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 42. D = Copiae Archivi.
381
1430 Mai 31. o. O.
1430.05.31 — Cc 43
381
Kersten Slenter schwört Urfehde vor den Hamburger Richteherren und sagt die Zahlung von 5 m. zu
Kersten Slenter in einem offenen Brief: macht bekannt, dass er wegen Sachen im
Gefängnis des Rates zu Hamburg gesessen habe, derentwegen er vom Gericht dort
verklagt worden sei. Er sei unterlegen, weil er das Geld eines Mädchens genutzt
habe, wozu er kein Recht hatte (hadde ghenoten welkes gheldes eynes meghedekens, dar
ik neyn recht toen hadde). Er habe wegen des Gefängnisses für sich und seine Verwandten gelobt, eine rechte Urfehde einzuhalten (eyne rechte orveyde to holdende)
und den Rat zu Hamburg, die Bürger und Bürgerinnen, Einwohner und Einwohnerinnen, Diener des Rates und der Bürger, ihre Güter sowie alle, die den Rat von
Hamburg verteidigten (dede rad von Hamborch van recht vordeghedingen), nicht zu
schädigen. Er wolle sich vielmehr mit seinen Verwandten für das Beste der Hamburger einsetzen. Kersten beschwört die Einhaltung der Urfehde vor den Richteherren Johan van Orle616 und Thiderik Moller.617 Er habe unabhängig vom Eid (sunder
ede) versprochen, 1430 September 29 (up sunte Michele negest komende) 5 m. zu zah-
614
Ratsherr 1428–1430.
615
Ratsherr 1429–1464.
616
Ratsherr 1428–1430.
617
Ratsherr 1429–1464.
1430 Juni 3. o. O.
395
len. Siegelankündigung des Ausstellers. Na Ghodes bort verteyn hundert jar und in
deme dertighesten, des neghesten mitwekens vor Pinxten.
Diplomatische Erörterung: Pergament mit Faltung und wenigen verblassten Stellen,
unten Einschnitt mit einem Pergamentstreifen, Siegel fehlt. Rückseite oben in
der Mitte Ziffer 7) und danach der Kanzleivermerk: Orveide Kersten Slenter 1430,
dazu jünger [dies Mercurii] a[nte] Pentec[ostes].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 43. D = Copiae Archivi.
382
1430 Juni 3. o. O.
1430.06.03 — Cc 44
382
Hans van Schesel schwört Urfehde vor den Hamburger Richteherren, unter Bürgschaft Heynes van Schesel, Bürger zu Hamburg
Hans van Schesel in einem offenen Brief: macht bekannt, dass er in Hamburger Gefangenschaft gesessen habe wegen der Ermordung bzw. Erschießung eines Mannes
aus dem Haus von Hans Lodeghen, derer er jedoch unschuldig sei. Er habe wegen
der Gefangenschaft nunmehr Urfehde gelobt (to holdende eyne rechte orveyde) vor
den Richteherren Johan van Orle618 und Thiderik Moller619 und versprochen, den Rat
zu Hamburg, die Bürger und Bürgerinnen, Einwohner und Einwohnerinnen, Diener, alle, die den Rat von Hamburg verteidigten, und ihre Güter nicht zu schädigen. Er wolle sich vielmehr mit seinen Verwandten für das Beste der Hamburger
einsetzen. Heyne van Schesel, Bürger in Hamburg, gelobt vor denselben Richtern,
dass Hans die Urfehde einhalten werde. Ankündigung beider Siegel. Na ghodes bort
verteynhundert jar, darna in deme dertighesten jare an dem hillighen avende to Pinxten.
Diplomatische Erörterung: Pergament mit Faltung, vielen Feuchtigkeitsflecken und an
einigen Stellen stark verblasster Schrift, teilweise kaum leserlich, daher leichter
Textverlust. Unten zwei Schlitze mit Pergamentstreifen zur Siegelanbringung,
jedoch ist nur noch das erste Siegel erhalten, rechts unten mit Bleistift die moderne Signatur: Cc 44. Rückseite in der Mitte mit Ziffer 8) und Kanzleinotiz: Orveide Hans van Schezel 1430, dazu jünger vesp[era] Pentec[ostis].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 44. D = Copiae Archivi.
618
Ratsherr 1428–1430.
619
Ratsherr 1429–1464.
396
383
Regesten der Jahre 14 00 –14 4 0
1430 Juni 11. o. O.
1430.06.11 — Cc 45
383
Cruze Bertold schwört Urfehde vor den Hamburger Richteherren, unter Bürgschaft von Bertolt Odestorp und Thideke Stormer
Cruze Bertold in einem offenen Brief: macht bekannt, dass er im Gefängnis des
Rates zu Hamburg gesessen habe, weil man ihm Pferdediebstahl vorwarf (dat ik
scholde hebben perde stolen). Er habe wegen des Gefängnisses vor den Richteherren
eine feste Urfehde zugesagt (eyne zeker veste orveyde ghewilkort), dass er oder seine
Verwandten den Rat zu Hamburg, die Bürger und Bürgerinnen, Einwohner und
Einwohnerinnen, Diener des Rates und der Bürger, ihre Güter sowie alle, die den
Rat von Hamburg verteidigten, nicht schädigen wollten. Er wolle sich vielmehr
für das Beste der Hamburger einsetzen. Er beschwört die Einhaltung der Urfehde
vor den Richteherren Johann van Orle620 und Thiderik Moller.621 Als Bürgen geloben
auch Bertolt Odestorp und Thideke Stormer. Siegelankündigung des Ausstellers und
der Bürgen. Na Ghodes bort xiiiic jar darna in deme dertighesten jare, des sondaghes der
hillighen drevaldicheit daghe.
Diplomatische Erörterung: Pergament mit Faltung, einigen Feuchtigkeitsflecken und
etwas verblassten Stellen, drei Schlitze mit drei Pergamentstreifen zur Siegelanbringung, das erste und das dritte Siegel recht gut erhalten, dazu unten rechts
mit Bleistift die moderne Signatur: Cc 45. Rückseite oben in der Mitte Kanzleivermerk: Orveyde Cruze Berteld 1430, davor jünger 9) und darunter Trinitatis.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 45. D = Copiae Archivi.
384
1430 Juni 25. o. O.
1430.06.25 — Gg 92
384
Roleff Tornevrese, Clawes van Botmer, Dyderik Clenck, Woldemars Söhne und sein Sohn Detlyf, die Brüder Johan und Hinrik, geheten de Molsane, sowie die Brüder Enghelbert, Wynckel, Helmerik, Johan und Otte, geheten van Campen, erklären Hamburg wegen Borcherd van den Buyen die Fehde
Toleff Tornevrese, Clawes van Botmer, Dyderik Clenck, Woldemars Söhne und sein Sohn
Detlyf, die Brüder Johan und Hinrik, geheten de Molsane, sowie die Brüder Enghelbert,
Wynckel, Helmerik, Johan und Otte, geheten van Campen, an Bürgermeister, Rat, Kaufleute, Amtsleute und ganze Gemeine der Stadt Hamburg: erklären ihnen wegen
Borcherd van den Buyen die Fehde, dem sie zu seinem Recht verhelfen wollen. Siegelankündigung von Clawes van Botmer und Enghelbert van Campen. Geven ind jar
na Godes bord verteinhundert jar dar na in deme dertegesten jare des negesten sondages na
sunte Johans daghe Baptisten nativitatis.
620
Ratsherr 1428–1430.
621
Ratsherr 1429–1464.
[1430] Juli 5. [Hamburg ].
397
Diplomatische Erörterung: Kleines Papier mit Faltung, Umrandung des Textes und Res-
ten des Verschlusssiegels auf der Vorderseite. Rückseite mit moderner Signatur
in Bleistift: Gg 92.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 92.
Regest: Lehe, Fehden, S. 165.
385
[1430] 622 Juli 5. [Hamburg].
1430.07.05 — Ll 14
385
Der Rat zu Hamburg an Hinricus de Monte, Bürgermeister, und Ericus de Tzevena, Ratsherr zu Hamburg, [Ratssendeboten in Nyköping]: geben auf ihr Schreiben Anweisung, wie lange sie zu Verhandlungen mit König Erik von Dänemark bleiben sollten
Der Rat zu Hamburg an Hinricus de Monte, Bürgermeister,623 und Ericus de Tzevena,
Ratsherr zu Hamburg,624 [Ratssendeboten in Nyköping]: hätten ihren Brief bekommen, in dem sie zu einer Reihe von Fragen um Antwort gebeten hätten. Teilen dazu
mit, dass sie zum gemeinen Besten auch nach den fünf Tagen [bei König Erik von
Dänemark] bleiben sollten; auf jeden Fall sollten sie nur aber zusammen mit den
anderen Städten abreisen und nach Lübeck reiten, um dort eine Tagfahrt abzuhalten. Falls nur ein Teil der Städte, der andere aber nicht reiten wolle, sollten sie zwei
bis drei Tage für das gemeine Beste beim [König] bleiben. Wenn es aber mit den
Städten länger dauere, sollten sie danach nach Hause kommen, sofern sie das für
besser erachteten. Was die Bitte von Herrn Trulle betreffe, dem König aus Hamburg
mit den Schiffen ihrer Kaufleute Lebensmittel zu liefern, wie er auch an andere
Hansestädte geworben habe, sollten sie auf die Tagfahrt zu Lübeck verweisen. In
der Sache mit Wenkestern und Hinrik Krummendike wüssten sie nicht, warum diese
die Ihren ohne Ankündigung überfallen hätten. Sie wüssten nur von einer rechtmäßigen Hinrichtung eines Krummedykes, hoffen, deshalb zu nichts verpflichtet zu
sein. Screven under unsen secretum des negesten midwekens na Visitationis Marie. Darunter Subscriptio: Consules Hamburgenses.
Diplomatische Erörterung: Unterschiedlich nachgedunkeltes Papier mit Faltung, Rück-
seite mit Resten des Verschlusssiegels und Adresse: Honorabilibus et circumspectis
viris dominicus Hinrico de Monte proconsuli ac Erico de Tzevena consuli Hamburgen[ses]
amicis nostri predilectis. Dazu die moderne Signatur mit Bleistift: Ll 14, rechts in der
Ecke mit Bleistift: 1414–1450.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ll 14. D = Copiae Archivi.
Edition: HR I, 8, Nr. 1112, S. 716–717 [ohne Datum].
Datierung nach Kämmereirechnungen der Stadt Hamburg, hrsg. Karl Koppmann, Bd. 2, Hamburg
1873, S. 51.
622
623
Ratsherr seit 1386, Bürgermeister 1413–1451, († 1452).
624
Ratsherr 1414–1450.
398
386
386
Hans Catte schwört Urfehde vor den Hamburger Richteherren
Regesten der Jahre 14 00 –14 4 0
1430 Juli 6. o. O.
1430.07.06 — Cc 46
Hans Catte in einem offenen Brief: macht bekannt, dass er wegen des Gerichts (van
des gerichtes weghen) im Gefängnis des Rates zu Hamburg gesessen habe. Er habe
wegen des Gefängnisses vor den Richteherren für sich und seine Verwandten eine
Urfehde zugesagt und gelobt (ik […] hebbe wilkord unde lovet eyne orveyde), so dass
er oder seine Verwandten die Bürger und Bürgerinnen, Einwohner und Einwohnerinnen, den Rat zu Hamburg, die Diener des Rates und ihre Güter, wo sie die zu
Wasser und zu Lande hätten, sowie alle, die den Rat von Hamburg verteidigten,
nicht schädigen wollten. Sie wollten sich vielmehr für das Beste der Hamburger
einsetzen. Er beschwört für sich (vor myne personen) die Einhaltung der Urfehde vor
den Richteherren Johann van Orle625 und Thiderik Moller.626 Siegelankündigung des
Ausstellers. Na der bort Cristi xiiiic jar darna in deme dertighesten jare, des donnerdaghes
na Unser Vroven daghe visitacionis.
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken,
vielen verblassten Stellen und kleineren Textverlusten, unten ein Schlitz mit
einem an einem Pergamentstreifen befestigten, schlecht erhaltenen Siegel, unten rechts mit Bleistift die moderne Signatur: Cc 46. Rückseite oben in der Mitte
Kanzleivermerk: Orveida Johannis Catten 1430, darunter jünger [dies Iovis] p[ost]
Vis[itacionis] Mar[iae], davor 10).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 46. D = Copiae Archivi.
387
387
Detlef Schulte schwört Urfehde vor den Hamburger Richteherren
1430 Juli 11. o. O.
1430.07.11 — Cc 47
Detlef Schulte in einem offenen Brief: macht bekannt, dass er wegen des Gerichts
(van des gerichtes weghen) im Gefängnis des Rates zu Hamburg gesessen habe. Er
habe wegen des Gefängnisses vor den Richteherren Johann van Orle627 und Thiderik Moller628 für sich und seine Verwandten eine rechte Urfehde gelobt (ik […] hebbe willkort unde truweliken lovet eyne rechte orveyde to holdende), dass er oder seine
Verwandten den Rat zu Hamburg, die Bürger und Bürgerinnen, Einwohner und
Einwohnerinnen sowie die Diener, die sie verteidigen sollten, in ihren Besitzungen und Gütern nicht schädigen wollten. Sie wollten sich vielmehr für das Beste
625
Ratsherr 1428–1430.
626
Ratsherr 1429–1464.
627
Ratsherr 1428–1430.
628
Ratsherr 1429–1464.
1430 Juli 11. o. O.
399
der Hamburger einsetzen. Er beschwört für sich (vor myne personen) die Einhaltung
der Urfehde vor den Richteherren. Siegelankündigung des Ausstellers. Na der bort
Cristi xiiiic jar unde in deme xxx jare des dinxsedaghes vor sunte Margareten der hilligen
juncfrouwen.
Diplomatische Erörterung: Pergament mit Faltung, vielen Feuchtigkeitsflecken und
verblassten Stellen, Schrift daher schwer leserlich und einige Textverluste, unten Schlitz und Pergamentstreifen zur Siegelanbringung vorhanden, Siegel fehlt
jedoch. Kanzleinotiz auf Rückseite: Orveida Detleff Schulten 1430. Spätere Notizen
daneben: [dies Martis] a[nte] Marg[arethe], davor 11).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 47. D = Copiae Archivi [teilweise danach hier].
388
1430 Juli 11. o. O.
1430.07.11 — Cc 48
388
Hinrik Bazedorp anders heten Tuteber schwört Urfehde vor den Hamburger Richteherren
Hinrik Bazedorp anders heten Tuteber in einem offenen Brief: macht bekannt, dass
er wegen irgendwelcher Beschuldigungen (tichte) und wegen des Gerichts (van des
gerichtes weghen) im Gefängnis des Rates zu Hamburg gesessen habe. Er habe wegen
des Gefängnisses vor den Richteherren Johann van Orle629 und Thiderik Moller630 für
sich und seine Verwandten eine rechte Urfehde gelobt (ik […] hebbe willkort unde
lovet in ghuden truwen […] eyne rechte orveide to holdende), dass er oder seine Verwandten den Rat zu Hamburg, die Bürger und Bürgerinnen, Einwohner und Einwohnerinnen, die Diener, die den Rat zu Hamburg zu Recht verteidigen (to rechte
vordeghedingen) sollten, sowie ihre Landstände in ihren Besitzungen und Gütern,
zu Wasser oder zu Lande, nicht schädigen wollten. Sie wollten sich vielmehr für
das Beste der Hamburger einsetzen. Er beschwört für sich (vor myne personen) die
Einhaltung der Urfehde vor den Richteherren. Siegelankündigung des Ausstellers.
Na der bort Cristi xiiiic jar unde in deme xxx jare, des dinxsedaghes vor sunte Margareten
der hillighen juncfrowen.
629
Ratsherr 1428–1430.
630
Ratsherr 1429–1464.
4 00
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Nachgedunkeltes Pergament mit Faltung, zahlreichen
Feuchtigkeitsflecken und vielen verblassten Stellen, Schrift daher kaum leserlich
und viele Textverluste, unten beschädigtes Siegel an Pergamentstreifen. Rückseite mit dünnem Papier überklebt, darunter rechts quer die Kanzleinotiz: Orveida Hinrici Bazedorppess anders geheten Tuteber 1430. Daneben jünger: [Dies Martis]
a[nte] Margar[ethe], unten rechts mit Bleistift die moderne Signatur: Cc 48.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 48. D = Copiae Archivi [teils danach
hier].
389
1430 Juli 12. o. O.
1430.07.12 — Cc 49
389
Ludeke Hante schwört Urfehde vor den Hamburger Richteherren, unter Bürgschaft von Wolter St[…]fe und Johan Cruze, Bürger zu Hamburg
Ludeke Hante in einem offenen Brief: macht bekannt, dass er wegen der Beschuldigung, er habe der Stadt Hamburg entsagt (dat ik hadde de stad Hamborgh vorzecht),
wegen des Gerichts (van des gerichtes weghen) im Gefängnis des Rates zu Hamburg
gesessen habe. Er habe wegen des Gefängnisses vor den Richteherren Johann van
Orle631 und Thiderik Moller632 für sich und seine Verwandten eine rechte Urfehde gelobt (ik […] hebbe willkort unde lovet in ghuden truwen […] eyne rechte orveyde to holdende), dass er oder seine Verwandten den Rat zu Hamburg, die Bürger und Bürgerinnen, Einwohner und Einwohnerinnen, die Diener in ihrem Gebiet, die sie zu Recht
verteidigen (van rechte vordeghedingen) sollten, sowie ihre Landstände und Güter,
zu Wasser und zu Lande, nicht schädigen wollten. Er beschwört die Einhaltung der
Urfehde vor den Richteherren. Wolter St[…]fe und Johan Cruze, Bürger zu Hamburg,
bestätigen die Eidesleistung Ludekes und bürgen für ihn. Siegelankündigung des
Ausstellers und der Bürgen. Na Ghodes bort xiiiic jar unde in deme xxx jare, in deme
hillighen avende sunte Margareten.
Diplomatische Erörterung: Pergament mit Faltung, einem Einriss links, zahlreichen
Feuchtigkeitsflecken, vielen verblassten Stellen und kleineren Textverlusten,
unten drei Schlitze mit drei an Pergamentstreifen befestigten, nur teilweise erhaltenen Siegeln, unten rechts mit Bleistift die moderne Signatur: Cc 49. Rückseite oben in der Mitte Kanzleivermerk: Orveida Ludekini Hanten 1430, dazu jünger
vesp[era] Margar[ethae], davor 13).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 49. D = Copiae Archivi.
631
Ratsherr 1428–1430.
632
Ratsherr 1429–1464.
1430 Juli 13. Hamburg.
390
4 01
1430 Juli 13. Hamburg.
1430.07.13 — Qq 24
390
Nicolaus, Erzbischof von Bremen, bestätigt auf Bitten von Propst, Dekan und Domkapitel zu Hamburg sowohl die Privilegien wie auch die weiteren Rechte, Besitzungen, Gewohnheiten und Freiheiten der Hamburger Kirche
Nicolaus, Erzbischof von Bremen,633 in einem offenen Brief: macht bekannt, dass
ihn heute Propst, Dekan und Domkapitel der Hamburger Kirche gebeten hätten,
nach dem Vorbild früherer Erzbischöfe, Adalbero,634 Hartwicus,635 Gherhardus,636 Hildeboldus,637 Ghiselbertus638 und anderer, die Privilegien der Hamburger Kirche zu bestätigen. Da diese Bitte angemessen sei und um mögliche Konflikte zu verhindern,
bestätigt Nicolaus nicht nur die Privilegien, sondern auch die weiteren Rechte,
Besitzungen, Gewohnheiten und Freiheiten (iura, possessiones, consuetudines, res et
libertates). Poenformel. Datum Hamborch anno a nativitate domini millesimo quadringentesimo tricesimo, decima tercia die mensis Julii. Siegelankündigung des Erzbischofs.
Diplomatische Erörterung: Großes Pergament mit Faltung und einem größeren Feuch-
tigkeitsfleck, breite Plica mit an einem an einem Pergamentstreifen befestigten,
kleineren Siegelrest. Rückseite mit etwas jüngerem Kanzleivermerk rechts: Nicolai archiepiscopi confirmatio privilegiorum ecclesie Hamburgensis. Es folgt eine Reihe kleinerer, nur schwer lesbarer Notizen: [… 6 ] cum cl[erici] Hamburgen[ses]. Die
ven[eris] 20 Maii […] prout d[ici]tur […] facto. […] pro [dominis] Hermanni [Schaperis et
...]. Dazu jünger: R[egistrata], 1440, und darunter No. 10, links ein runder Stempel
mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Qq 24. D = Copiae Archivi.
Edition: Staphorst, I ,2, S. 262.
Regest: Schütze, 449, S. 367.
391
391
Langhe Hinrik schwört Urfehde vor den Hamburger Richteherren
1430 August 1. o. O.
1430.08.01 — Cc 50
Langhe Hinrik in einem offenen Brief: macht bekannt, dass er wegen gewisser Dinge
(umme ichteswelker zake willen) im Gefängnis des Rates zu Hamburg gesessen habe
und dass er nun wegen des Gefängnisses vor den nachgenannten Richteherren
eine rechte Urfehde gelobt habe (ik […] hebbe wilkort unde lovet eyne rechte orveyde to
633
Nikolaus (von Oldenburg-Delmenhorst), Erzbischof, 1421–1435.
634
Erzbischof, 1123–1148.
635
Hartwig I. (von Stade), Erzbischof, 1148–1148, und/oder Hartwig II. (von Uthlede), 1184–1207.
Gerhard I. (von Oldenburg), Erzbischof, 1210–1219, und/oder Gerhard II. (zur Lippe), Erzbischof,
1219–1258.
636
637
Hildebold (von Wunstorf), Erzbischof, 1258–1273.
638
Giselbert (von Brunkhorst), Erzbischof, 1273–1306.
4 02
Regesten der Jahre 14 00 –14 4 0
holdende zunder alle lyst), dass er oder seine Verwandten den Rat zu Hamburg, die
Bürger und Bürgerinnen, Einwohner und Einwohnerinnen, die Diener in ihrem
Gebiet, die sie zu Recht verteidigen (van rechte vordeghedingen) sollten, sowie ihre
Landstände und Güter, zu Wasser und zu Lande, nicht schädigen, sondern sich um
ihr Bestes bemühen wollten. Er beschwört die Einhaltung der Urfehde vor den
Richteherren Johannes van Orle639 und Thiderik Moller.640 Siegelankündigung. Na Ghodes bort duzet jar, verhundert iar, darna in deme dertighesten jare in sunte Peters daghe ad
vincula.
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken,
verblassten Stellen und kleineren Textverlusten, unten ein Schlitz mit einem an
einem Pergamentstreifen befestigten, relativ gut erhaltenen Siegel, unten rechts
mit Bleistift die moderne Signatur: Cc 50. Rückseite oben in der Mitte Kanzleivermerk: Orveide Lange Hinrickens 1430, dazu jüngere Notiz: Petri ad vin[cula], davor
14).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 50. D = Copiae Archivi.
392
1430 September 16. Hamburg.
1430.09.16 — Gg 38
392
Schiffer Johan Curdekenssone von Schiedam bekennt, dass er und seine Schiffskinder Gefangene der Stadt Hamburg seien und er gelobt habe, Hamburg bis nächste Ostern 100 pfd. gr. flämisch zu zahlen und den in Holland gefangenen Schiffer Symon Rodinghe mit seinen Schiffskindern zu befreien; nach dessen Befreiung würden auch er und die Seinen freikommen
Schiffer Johan Curdekenssone von Schiedam (Schedamme) in einem offenen Brief:
macht bekannt, dass er Gefangener der Stadt Hamburg sei und gelobt habe, seine Gefangenschaft einzuhalten (ene rechte venghnisse to holdende), zusammen mit
seinen Schiffskindern Ludeke Meinerdessone, Steuermann, Clays Diderikesone, Ludeken Alewinssone, Johan van Sparwolde, Hinrik Nyenkerken, Godeward Henrikessone, Jacob
Clays Omessone, Olmer Johanssone, Jacob Johanssone, Boydin Clayssone, Koch (de Kok),
und Gherd Ludekenssone. Herr Roland van Nukerken habe an das Kontor (den copman)
in Flandern geschrieben, dass weiterhin eine Fehde und Krieg zwischen der Stadt
Hamburg und denen von Holland bestehe. Daher müsse er der Stadt Hamburg,
Bürgermeister und Ratsherren, bis nächste Ostern 100 pfd. gr. flämisch zahlen.
Zudem verspreche er, Schiffer Symon Rodinghe, der mit seinen Schiffskindern in
Holland gefangen sei, unabhängig von dessen Einigung mit den Holländern zu
befreien. Er und die Schiffskinder geloben, wegen der Angelegenheit keinen der
Hamburger und ihrer Kaufleute zu schädigen. Sie würden erst frei werden, wenn
639
Ratsherr 1428–1430.
640
Ratsherr 1429–1464.
1430 Ok tob er 5. Hamburg.
4 03
der Rat von Hamburg quitebreve über die Freilassung Symons in Händen halte. Siegelankündigung Johans. Gheven unde screven […] to Hamborch na Godes bord xiiiic jar,
darna in deme druttigesten jare, des sonavendes vor Unser Leven Vrowen dage Nativitatis.
Diplomatische Erörterung: Pergament mit starken Feuchtigkeitsflecken insbesondere
entlang der zweiten senkrechten Faltung, Löchern und einigen Textverlusten,
Plica mit einem an einem Pergamentstreifen befestigten, gut erhaltenen Siegel.
Plica und Rückseite mit dünnem Papier überklebt, auf der Rückseite in der Mitte
Ausschnitt mit Kanzleivermerk: Quitancia schipper Johan Curd van Schedamme 1430.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 38.
Regest: HUB, 6, 883, S. 488.
393
1430 Oktober 5. Hamburg.
1430.10.05 — Ee 60
393
Gerhard [VII.], Graf von Holstein, quittiert Bürgermeistern und Ratsherren von Hamburg 700 m. für den Holk, den Ludger van Lamen, Peter Manssau und Hardenberch mit ihrer Gesellschaft genommen und ihm übergeben hätten
Gherd, Herzog von Schleswig, Graf von Holstein, Stormarn und Schauenburg,641 in
einem offenen Brief: macht bekannt, dass er von den Bürgermeistern und Ratsherren von Hamburg zu seiner vollen Zufriedenheit 700 m. lüb. und hamb. Münze
für den Holk erhalten habe, den Ludger van Lamen, Peter Manssau und Hardenberch
mit ihrer Gesellschaft genommen und ihm übergeben hätten. Ludger, Peter und
Hardenberg dürften wegen des Holks keine weiteren Ansprüche erheben. Siegelankündigung des Herzogs. Gheven to Hamborch na Godes bord verteynhundert jar, dar
na in deme druttigesten jare des negesten donredages na sunte Micheles daghe.
Diplomatische Erörterung: Stark nachgedunkeltes Pergament mit Faltung, zahlreichen
Löchern, Feuchtigkeitsflecken und einigen Textverlusten. Plica geöffnet, Vorderseite unten und Rückseite mit dünnem Papier überklebt, ein Einschnitt für
Siegel erkennbar, kein Pergamentstreifen oder Siegel erhalten. Rückseite oben
rechts mit Kanzleivermerk: Quitantia ducis Gerardi super 700 marcas.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ee 60. D = Copiae Archivi.
641
Gerhard VII., Graf von Holstein und Stormarn (1427–1433).
404
394
Regesten der Jahre 14 00 –14 4 0
1430 Oktober 14. [Hamburg].
1430.10.14 — Ss 13, Ss 14
394
Gherhardus, Dekan, und das Hamburger Domkapitel machen bekannt, dass Nicolaus Roper, Georgius Soltwedel und Hinricus Buttel, Vikare zu Hamburg, als Testamentsvollstrecker von Segebandus Stoer, einst Vikar der Kirche, eine Vikarie für einen Magister der Artes am Dom mit ½ Wispel Salz und Renten von 30 m. ausstatten wollten, nehmen die Einkünfte unter kirchlichen Schutz und weisen sie der Vikarie zu, die Hermannus de Hamme, Magister in artibus, innehabe
Gherardus, Dekan,642 und das gesamte Domkapitel zu Hamburg in einem offenen
Brief: machen bekannt, dass Nicolaus Roper, Georgius Soltwedel und Hinricus Buttel,643
ewige Vikare der Hamburger Kirche, vor der Versammlung des Kapitels erschienen seien, als Testamentsvollstrecker des verstorbenen Segebandus Stoer, einstiger
Vikar der Kirche, um dessen letzten Willen zu vollstrecken. Dieser habe zu Ehren
Gottes, der Jungfrau Maria und aller Heiligen und für sein Seelenheil und seiner
Eltern von seinen Gütern ½ Wispel Salz gestiftet, den er von Albertus de Molendino
gekauft habe, dazu 20 m. Renten im Haus des Bernardus, dictus van der Heyde, und
weitere 10 m. in der Kurie des Herman Vos,644 die nun Magister Theodericus de Geynsen, Kanoniker innehabe, wie aus den darüber erstellten Urkunden und dem Testament hervorgehe. Damit solle eine gut ausgestattete Vikarie am Dom errichtet
werden, für die der Lektor in Theologie am Dom (canonicus, qui lecturam facultatis
theoloyce pro tempore obtinet) das Präsentationsrecht ausüben solle. Dafür solle ein
Magister der Artes ausgewählt werden, der predigen und an den theologischen Disputationen teilnehmen könne. Dieser solle persönlich anwesend sein und, wenn
er noch kein Priester sei, zum Priester geweiht werden. Wer dem nicht innerhalb
eines Jahres nachkomme, verliere die Präbende wieder. Die Testamentsvollstrecker hätten gebeten, den ½ Wispel Salz und die Renten unter kirchlichen Schutz
zu nehmen und damit eine größere Präbende auszustatten. Der aktuelle Lektor in
Theologie, Magister Hinricus de Gheysmaria, Doktor der Theologie,645 habe daraufhin
gebeten, die Einkünfte vollständig der Vikarie am Altar S. Vincencii oder S. Crucis
zuzuweisen, die nun Hermannus de Hamme, Magister in artibus, innehabe, der persönlich anwesend sei, und ihm die Aufgaben der Predigt und der Teilnahme an
Disputationen zu übertragen. Dekan und Domkapitel folgen diesen Bitten, nehmen
die Einkünfte unter kirchlichen Schutz und setzen sie zur Finanzierung der Vikarie
am Altar S. Vincencii oder S. Crucis ein, deren Einkünfte nach Auskunft Hermanns
nicht mehr als 2 m. Silber jährlich betragen würden. Das Recht zur Präsentation jeweils eines Magisters der Artes werde an Hinricus, Mit-Kanoniker, und seine
Nachfolger in der lectura übertragen. Wenn etwas von den Einkünften zurückgekauft werde, sollten Hinricus und seine Nachfolger mit Zustimmung von Dekan
642
Gherardus Balghe, Dekan 1421–1437.
643
Als Domherr belegt seit 1432.
644
Belegt 1410–1428.
645
Belegt 1420–1431, lector primarius 1430.
1430 Ok tob er 14. [Hamburg ].
4 05
und Domkapitel neue Renten kaufen. Dekan und Domkapitel errichten im Sinne
des Testators mit sofortiger Wirkung eine vicaria theoloycalis mit der genannten
Ausstattung und benennen Hermannus als ersten Inhaber. Jeder seiner Nachfolger
müsse entweder Priester sein oder innerhalb eines Jahres dazu geweiht werden
und am Ort der Präbende persönlich anwesend sein. Notiz über die Anfertigung
eines Notariatsinstruments und Siegelankündigung des Kapitels. Datum et actum
in armario nostre ecclesie anno a nativitate domini millesimo quadringentesimo tricesimo,
indictione octava, die vero quartadecima mensis Octobris, hora terciarum vel quasi, pontificatus sanctissimi in Christo patro et domini nostri, domini Martini divina providentia
pape quinti anno terciodecimo. Zeugen: Johannes Lutteken, Tymmo Hummersbuttel und
Michael Kruse, ewige Vikare.
Diplomatische Erörterung: A1 und A2: zwei identische Ausfertigungen. Notariatsinst-
rumente des Hinricus Leddinghusen, Kleriker der Verdener Diözese, Notar kaiserlicher Autorität, mit seinem Notariatsinstrument. Große Pergamente mit Faltung,
Plica (A1) mit einem Einschnitt, Pergamentstreifen und Siegel ab. Rückseite mit
Kanzleivermerken unten links quer, älter: Fundacio altaris sancti Vincencii s[ive]
sancte Crucis ex parte reddituum magistri Zeghebandi Stor cuius possessor est magister
Hermannus de Hamme. Dazu jünger: 1430. Reditus ½ chorus salis et 30 m. / A2 mit
einem schlecht erhaltenen, an einem Pergamentstreifen angehängten Siegel.
Rückseite teilweise nachgedunkelt, unten links verschiedene Kanzleivermerke,
der älteste lautet: Maioris ecclesie. Augmentatio vicarie altaris sancti Vincentii alias
sancte Crucis. Reg[istra]ta folio 1430. Dazu jünger: ½ chorus salis in Lüneburg et 30 m.
annuos reditus, und: Ad vicariam 45.
Überlieferung: A1 = StAHH 710-1 I Threse I, Nr. Ss 13. A2 = StAHH 710-1 I Threse I, Nr.
Ss 14. D = Copiae Archivi.
Edition: Staphorst, I, 2, S. 186–189; Meyer, Geschichte, LX, S. 356–359.
Regest: Schütze, 450, S. 368.
Erwähnung: Vonderlage, Domkapitel, S. 86.
4 06
395
Regesten der Jahre 14 00 –14 4 0
1430 Oktober 27. [Hamburg].
1430.10.27 — Rr 59 [1] und [2]
395
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass der Hamburger Bürger Ludolphus Sankenstede und seine Frau Ghertrudis zur Besserung der kleinen Präbende, die zurzeit Hermannus Kreveth innehabe, Renten von 20 m. stiften wollten, nehmen die Renten unter kirchlichen Schutz und statten die Präbende mit den zusätzlichen Mitteln aus
Gherardus, Dekan,646 und das gesamte Domkapitel zu Hamburg in einem offenen
Brief: machen bekannt, dass, weil die Einkünfte der kleinen Präbende, die zurzeit
Hermannus Kreveth647 innehabe, durch Seuchen, Kriege und Überschwemmungen
so vermindert worden seien, dass sie zum Unterhalt nicht mehr ausreichten, der
Hamburger Bürger Ludolphus Sankenstede zu seinem Seelenheil, dem seiner Frau
Ghertrudis und dem ihrer Vorfahren, zu Besserung der genannten Vikarie jährliche
Renten von 20 m. gestiftet habe. Diese lägen auf seinem Grundstück, das er selbst
bewohne, in der Straße Grimm (in platea vocata communiter et appellata Grymme)
zwischen den Erben des Hinricus de Haghen und des Hermann Butzow, wie aus einer
von Ludolph besiegelten und darüber ausgestellten Urkunde hervorgehe. Auf Bitten Ludolphs nehmen Dekan und Domkapitel die Rente unter kirchlichen Schutz
und weisen sie der kleinen Präbende zur Nutzung zu, deren Einkünfte nach ihrem
Wissen kaum mehr als 2 m. Silber betragen würden. Ludolph, seine Frau und ihre
ältesten rechtmäßigen Erben und Verwandten, männlich wie weiblich, erhielten
auf 120 Jahre das Präsentationsrecht. Würden die 20 m. Renten für 15 m. lüb. je m.
ganz oder teilweise abgelöst, sollten mit Zustimmung des Domkapitels entsprechend neue Renten gekauft werden. Siegelankündigung des Domkapitels. Datum in
loco capitulari eiusdem nostre ecclesie anno a nativitate domini millesimo quadringentesimo tricesimo vicesimaseptima die mensis Octobris.
Diplomatische Erörterung: A1 und A2: zwei identische Ausfertigungen, beide große
Pergamente mit intensiven Feuchtigkeitsflecken und Löchern entlang der Faltlinie (A2 etwas besser erhalten), in der Folge mit großen Textausfällen, Plica mit
einem Pergamentstreifen, das Siegel ist jeweils ab. Beide Rückseiten mit dünnem
Papier überklebt.
Überlieferung: A1 = StAHH 710-1 I Threse I, Nr. Rr 59 [1]. A2 = StAHH 710-1 I Threse I,
Nr. Rr 59 [2]. D = Copiae Archivi.
Erwähnung: Staphorst, I, 1, S. 474 (Niehusen, 12).
646
Gherardus Balghe, Dekan 1421–1437.
647
Belegt auch 1426 Juni, auch Domherr zu Lübeck.
1430 Novemb er 13. Rom.
396
4 07
1430 November 13. Rom.
1430.11.13 — W 14
396
Jacobus, Bischof von Adria, executor dreier Urteile verschiedener päpstlicher Richter zugunsten von Bürgermeister und Rat Hamburgs gegen Wernerus de Hachede, ewiger Vikar an St. Marien zu Hamburg, über 300 m. lüb. zum Kauf von Renten für den Allerheiligen-Altar, an den auditor generalis causarum der apostolischen Kammer und alle Geistlichen der Stadt Hamburg und der Diözese Bremen: inseriert die päpstliche Bulle von 1428 Juli 8 (Nr. 353), macht die gegen Wernerus ergriffenen Maßnahmen bekannt und fordert die Bekanntmachung seiner Exkommunikation wegen Nichtzahlung einer Buße von 42 Kammergld. an den Rat
Jacobus, Bischof von Adria,648 executor dreier Urteile verschiedener päpstlicher
Richter zugunsten von Johannes Lunenborch649 und Henricus to dem Berghe,650 Bürgermeister, Hinricus Jenefeld,651 Ericus von Tzeven,652 Johannes Gluczow,653 Vicko von den
Hove654 und Wichmann Gronenvald,655 Ratsherren, Bürger Hamburgs, gegen Wernerus
de Hachede, ewiger Vikar an St. Marien zu Hamburg, über 300 m. lüb. zum Kauf
jährlicher Renten für den Allerheiligen-Altar, vom apostolischen Stuhl mit anderen dazu beauftragt, an den auditor generalis causarum der apostolischen Kammer
und allgemein alle Geistlichen der Stadt Hamburg und der Stadt und Diözese Bremen, Äbte, Priore, Pröpste, Dekane, Archidiakone, Pfarrherren, Vikare, Altaristen
usw.: macht bekannt, dass Magister Nicolaus Wulff, durch Urkunden beglaubigter
Vertreter der Hamburger Bürgermeister und Ratsherren, über die drei definitiven
Urteile eine littera executoria Papst Martins V.656 mit Bleibulle an Hanfschnur, nicht
kassiert oder in anderer Weise verdächtig, erwirkt habe.
[Es folgt im Wortlaut Nr. 353, von 1428 Juli 8].
Jacobus habe auf Grundlage dieses Briefs und auf Bitten des Nicolaus Wulff gewisse
Maßnahmen gegen den Vikar ergriffen, ihn in virtute sancte obediencie ermahnt und
ihm die Exkommunikation angedroht, wenn er die Forderungen nicht erfülle. Er
habe befohlen, Bürgermeister und Ratsherren oder ihrem rechtmäßigen Vertreter
42 Kammergld. zu zahlen, dazu sollte er für die Verfahren vor verschiedenen Richtern 15 Kammergld. zahlen. Ernestus Aurifaber, rechtmäßiger Vertreter Werners,
habe gegen die litterae executoriales und den Prozess Einspruch erhoben. Danach
habe er für Johannes Hercze, Prokurator von Bürgermeistern und Ratsherren an
der Kurie, bzw. seinen Vertreter Johannes Engelhard Werner bzw. seinen Prokurator
648
Jacobus Bertucci d’Obizzi, Bischof von Adria (Adriensis), 1404–ca. 1441.
649
Ratsherr seit 1391, Bürgermeister 1411–1431 († --).
650
Ratsherr seit 1386, Bürgermeister 1413–1451 († 1452).
651
Ratsherr 1400–1427.
652
Ratsherr 1411–1450.
653
Ratsherr 1413–1430.
654
Ratsherr seit 1416, Bürgermeister 1431–1442.
655
Ratsherr 1421–1426.
656
Papst 1417–1431.
4 08
Regesten der Jahre 14 00 –14 4 0
viermal durch Läufer des Papstes vorladen und schließlich als Missachter des Gerichts erklären lassen. Johannes Engelhard habe dann auf einem Zettel aus Papier
folgende Petition eingebracht:
Der Prokurator bitte im Namen der Bürgermeister und Ratsherren, gegen Wernerus de Hachede, der sich als ewiger Vikar an der Kirche St. Marien zu Hamburg
ausgebe (se gerentem pro perpetuo vicario […]), aber den drei Urteilen trotz Androhung kirchlicher Strafen nicht Folge geleistet habe, in allen Dingen Gerechtigkeit
geschehen zu lassen.
Jacobus habe dem angesichts des vorangegangenen Verfahrens entsprochen und
nach der Ladung zu einem weiteren peremptorischen Termin durch einen päpstlichen Läufer in Gegenwart von Johannes Hercze und Wernerus de Hachade letzteren wegen Nichtbefolgung der Urteile exkommuniziert und dies in Schriften
fassen und bekannt machen lassen, nicht ohne nochmalige Prüfung aller Akten,
Urkunden und Zeugnisse. Wernerus werde auch zur Zahlung der Kosten der Prozesse verurteilt. Seine Exkommunikation solle an allen Festtagen während der
Messen in den Kirchen, Kapellen und Klöstern der Diözese bekannt gemacht werden. Jacobus behalte sich die Absolution vor.
Notiz über Anfertigung eines Notariatsinstruments und Siegelankündigung. Rome
in domo habitacionis nostre inibi hora vesperorum consueta in loco nostro solito et consueto
ad iura reddendum pro tribunali sedentibus, sub anno a navititate domini millesimo quadringentesimo tricesimo indictione quarta, die vero lune tercia decima mensis Novembris,
pontificatus prefati domini nostri, domini Martini pape anno terciodecimo. Zeugen.
Diplomatische Erörterung: Notariatsinstrument des Johannes Hardemaen, Kleriker der
Paderborner Diözese, Notar päpstlicher und kaiserlicher Autorität, mit seinem
Notariatszeichen. Großes, länglich beschriebenes Pergament mit Faltung und
zahlreichen verblassten Stellen, das erste Wort Jacobus groß mit graphischen
Elementen. Plica mit einem mit zwei Löchern an einer Schnur befestigten, nur
in Resten erhaltenen Siegel (in einer Kunststoffschale). Rückseite mit Kanzleivermerken unten in der Mitte quer: Domino Hermanno Creygenberch detur. [Apud]
acta causarum. Processus obtentus contra d[omnium] Wernerum de Hacede vicarium
ecclesie beate Marie virginis Hamborgensis super 300 mar[c] pro reditibus vicarie altaris
omnium sanctorum eiusdem ecclesie deputatorum, in quibus succubunt. 1430. Dazu: B.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. W 14. D = Copiae Archivi.
1430 Novemb er 18. o. O.
397
4 09
1430 November 18. o. O.
1430.11.18 — Cc 51
397
Gherd Hardenbergh schwört Urfehde vor den Hamburger Richteherren und bekundet seine Einigung mit dem junghen Thiderik Luneborghe und Symon Hoppe, Bürger zu Hamburg
Gherd Hardenbergh in einem offenen Brief: bekennt, dass er sich freundlich geeinigt habe mit dem junghen Thiderik Luneborghe und Symon Hoppe, Bürger zu Hamburg, wegen seiner Gefangenschaft im Hamburger Gefängnis, dem die beiden vorstanden (dat ik zeten hebbe in sloten unde hechten der stad Hamburg, dar ze hovetlude
van woren […]). Weder er selbst noch seine Verwandten, geboren und ungeboren,
würden Thiderik und Symon oder ihre Verwandten und Güter künftig belangen
oder schädigen, zu Wasser oder zu Lande. Thiderik und Symon erklären in derselben Urkunde, dass sie Gherd, seinen Verwandten und seinen Gütern nach ihren
Möglichkeiten förderlich sein wollten. Gherd erklärt seinerseits, den beiden bei
eventuellen Verlusten, von denen erfahre, zu ihren Gütern verhelfen zu wollen,
und schwört Urfehde gegenüber dem Rat von Hamburg, Tiderik und Symon sowie
ihren Verwandten. Er wolle sich um das Beste der Hamburger bemühen, soweit es
ihm möglich sein. Er habe die Einhaltung beschworen vor den Richteherren Hamburgs, Albert Widinghehuzen657 und Thiderik Moller,658 die in der Angelegenheit entschieden hätten. Anwesend seien auch gewesen Symon van Uttrecht659 und Nicolaus
Lange,660 Ratsherren, die der Rat dazu entsandt habe. Siegelankündigung Gherds.
Na Ghodes bort verteynhundert jar, darna in deme dertighesten jare des vrigdaghes vor
sunte Elzeben daghe der hillighen wedewen.
Diplomatische Erörterung: Großes Pergament mit Faltung, Feuchtigkeitsflecken und
verblassten Stellen, Plica mit einem an einem Pergamentstreifen befestigten,
unscharfen Siegel. Rückseite mit gleichzeitigem Kanzleivermerk in der Mitte:
Orveyde Gherdt Hardenberges 1430, darunter jünger: [Dies Veneris] a[nte] Elisab[eth],
davor 15).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 51. D = Copiae Archivi.
657
Ratsherr 1426–1461.
658
Ratsherr 1429–1464.
659
Ratsherr seit 1425, Bürgermeister 1433–1437.
660
Ratsherr 1428–1456.
410
398
Regesten der Jahre 14 00 –14 4 0
1430 Dezember 1. o. O.
1430.12.01 — Cc 52
398
Hans Kerstens schwört Urfehde vor den Hamburger Richteherren und bekennt, noch 6 pfd. seiner Buße von 24 pfd. schuldig zu sein, die er bis 1431 Februar 2 zahlen wolle
Hans Kerstens in einem offenen Brief: bekennt, dass er und seine Verwandten dem
jährlichen Gericht und den Richteherren zu Hamburg, namentlich Albert [Wirdinghuzen]661 und Thiderik Moller,662 6 pfd. zur Buße (ses pund van broke) schuldig seien, die aufgrund des richterlichen Urteils noch von den 24 pfd. zu zahlen seien, die
er ursprünglich wegen seines Vergehens (dorch myner overtredinghe willen) schuldig gewesen sei. Diese 6 pfd. würden er oder seine Erben den genannten Richtern
oder den vom Rat Beauftragten 1431 Februar 2 (to Unser Vrowen daghe to Lichtmesse
neghest komende) bezahlen. Er schwöre Urfehde, die er auf ewig einhalten wolle. So
wollten er und seine Verwandten auf keinerlei Weise Rat, Bürger und Bürgerinnen,
Einwohner und Einwohnerinnen sowie Diener, die den Hamburger Rat verträten,
schädigen oder verklagen. Er habe vor den Richtern geschworen, seine Zusagen
einzuhalten, und sein Siegel an die Urkunde hängen lassen. Na Ghodes bort xiiiic jar,
darna in deme derthigesten jare des neghesten daghes na sunte Andree des hilligen apostels.
Diplomatische Erörterung: Pergament mit Faltung, Feuchtigkeitsflecken und zahlrei-
chen verblassten Stellen, Plica mit einem an einem Pergamentstreifen befestigten Siegel. Unten rechts die moderne Signatur Cc 52. Rückseite mit Kanzleivermerk oben rechts: Orveide Hans Kerstens 1430. Daneben jünger: p[ost] Andree,
davor 16).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 52. D = Copiae Archivi.
399
1430 Dezember 22. Rom.
1430.12.22 — W 17
399
Johannes de Palomar, päpstlicher Kaplan und apostolischer Richter, berichtet über das von ihm im Auftrag Papst Martins V. durchgeführte Verfahren im Streit zwischen Warnerus de Hachede, Vikar der Hamburger Kirche, und Bürgermeistern und Rat dieser Stadt über die Ausstattung seiner Vikarie und die durch Bischof [Jakob] von Adria verfügte Exkommunikation, löst Warnerus aus der Exkommunikation, weist aber die Einkünfte der Vikarie bis zur Abzahlung seiner Schuld von 42 Kammergld. Bürgermeister und Rat zu
Invocatio. Johannes de Palomar, Doktor des Kirchenrechts, päpstlicher Kaplan und
apostolischer Richter (sacri palatii apostolici causarum auditor), erklärt, von Papst
Martin V.663 durch einen Boten einen Zettel mit einer Supplik (quandam commissioni
sive supplicacioni cedulam) bekommen zu haben.
Der Zettel betreffe den in […] sacro palatio causarum apostolico anhängigen Streit
zwischen Warnerus de Hachede, ewiger Vikar der Hamburger Kirche, und den Bürgermeistern und Ratsherren dieser Stadt über die Einkünfte seiner Vikarie. Wer-
661
Ratsherr 1426–1461.
662
Ratsherr 1429–1464.
663
Papst 1417–1431.
1430 D ezemb er 22 . Rom.
411
ner, der an der Kurie anwesend sei, sei von Bischof [Jakob] von Adria664 als executor
aufgrund einer littera executoria wegen der Nichtzahlung von 42 Kammergulden
exkommuniziert worden, die er nach der Entscheidung der Kammer Bürgermeister und Rat schuldig gewesen sei. Er sei von seiner Vikarie, die über 16 rhein. gld.
jährlicher Einkünfte verfüge, abwesend (absenti in ea et non residenti). Bittet, die
Einkünfte daraus Bürgermeister und Rat zu übertragen, solange bis die entsprechende Summe abgezahlt sei. Der Papst sei daher gebeten, den genannten Bischof
oder einen Richter der apostolischen Kammer zu beauftragen, diese Gelder mit
Beschlag zu belegen und Werner zugleich aus der Exkommunikation zu lösen. Es
folgt die Notiz über den Auftrag an Johannes de Palomar, den Fall anzuhören.
Johannes habe auf Grund dieses Auftrags (cuius quidem commissionis vigore) den Fall
mit Johannes Nicolai als Prokurator Werners und Johannes Engelhard als Prokurator des Rats verhandelt, nach den von ihnen vorgelegten Dokumenten. Johannes
Engelhard habe dabei zahlreiche Artikel gegen die commissio vorgelegt, Johannes
Nicolai dagegen schriftlich zur Unterstützung der commissio zahlreiche Argumente
vorgebracht und Zeugen vorladen lassen, deren Aussagen schriftlich festgehalten
worden seien. Auch Werner sei über die gegen ihn durch den Bischof von Adria
verhängten drei Urteile angehört worden. Der Richter habe dann den unten genannten peremptorischen Termin angesetzt, zu dem die beiden Prokuratoren
und Werner erschienen seien. Werner habe auf Knien darum gebeten, ihn von
den genannten Strafen zu lösen und die Einkünfte der Vikarie bis zur Zahlung der
42 Kammergulden einzuziehen. Der Prokurator habe zudem im Namen Werners
den Gläubigern einen Teil von dessen Gütern zugesagt.
Johannes habe dann nach Abwägung der Argumente, Sichtung der Unterlagen und
Anhörung der Zeugen die Bitten Werners als gerecht und angemessen bewertet.
Werner habe auf Knien Abbitte geleistet und den Gläubigern durch seinen Prokurator einzelne seine Güter angeboten. Er habe auf die Evangelien geschworen, sich
dem Recht zu stellen und die Verfügungen des Richters zu befolgen, ebenso, dass
er über die Einkünfte aus seiner Vikarie hinaus über keine Güter verfüge und die
Gläubiger daraus befriedigen könne. Daher löse er Werner von den Urteilen des
Bischofs von Adria, insbesondere von der Exkommunikation, und gestatte die Teilhabe an der Gemeinschaft der Gläubigen und den Sakramenten. Die Einkünfte der
Vikarie habe er eingezogen (fructus, redditus et proventus dicte vicarie sequestravimus)
und bis zur vollständigen Bezahlung der 42 Kammergulden Bürgermeister und
664
Jacobus Bertucci d’Obizzi, Bischof von Adria (Adriensis), 1404–ca. 1441.
412
Regesten der Jahre 14 00 –14 4 0
Ratsherren übertragen. Zum Nachweis der Entscheidung sei darüber durch seinen
Notar ein Notariatsinstrument angefertigt und mit Siegel des Johannis de Molla besiegelt worden. Datum Rome in ecclesia beate Mariae Rotundae […] sub anno a nativitate
domini millesimo quadringentesimo tricesimo indictione octava die vero veneris vicesima
secunda mensis Decembris pontificatus prefati domini nostri, domini Martini pape quinti,
anno quartodecimo. Zeugen: die Magister Dyonisius Forgetus und Johannes Wischel.
Diplomatische Erörterung: Notariatsinstrument des Matheus de Beke, Kleriker der Lüt-
ticher Diözese, Notar päpstlicher und kaiserlicher Autorität, mit dessen Notariatszeichen. Großes Pergament mit Faltung, Feuchtigkeitsflecken und einigen
sehr blassen Stellen bzw. Textausfällen, verzierte Initiale zur hervorgehobenen
Invocatio, große Plica mit einem an zwei Schnüren befestigten spitzovalen Siegel
in rotem Wachs. Rückseite mit zwei Vermerken unten quer: Presentetur magistro
Nicolao Hamborch […], darunter: Hamburgen[sium] fruct[uum] assignatio, fructuum
5 fl. r[enensium]. Presentetur N. Hamborg in [causa] Werneri de Hagheden.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. W 17. D = Copiae Archivi.
400
1431 April 14. Hamburg.
1431.04.14 — Oo 129 [1]
400
Eertman Schulte, Burgmann zu Horneburg, quittiert für sich und für Frederik, Gherold und Hermen, geheten Schulten, Knappen und Burgmannen ebenda, den Empfang von 100 m. lüb. von Dekan und Domkapitel zu Hamburg für ihren erblichen freien Hof in Siebenhöfen und gelobt, den Hof innerhalb von vier Wochen rechtskräftig an Dekan und Domkapitel zu übertragen
Eertman Schulte, Burgmann zu Horneburg, bekennt für sich und für Frederik, Gherold
und Hermen, geheten Schulten, Knappen und Burgmannen daselbst, seine vedderen,
dass er von Gherd, Dekan,665 und dem Domkapitel zu Hamburg 100 m. lüb. Pfennige erhalten habe, die ihm die Domherren Hermen van Buren666 und Johan Kust667
übergeben hätten. Dafür hätten ihnen Frederik, Gherold, Hermen und er nach der
darüber besiegelten Urkunde ihren erblichen freien Hof in Siebenhöfen (uppe den
seven hoven) im Kirchspiel Dethkerscope verkauft, doch sei der Verkauf wegen Herrn
Wernes noch nicht vollzogen, in Übertragung des Hofs vor Gericht (in hegedem gerichte) vor Vögten und Schöffen. Er überlasse daher im Auftrag seiner Verwandten
und mit Zustimmung ihrer Erben den Hof Dekan und Domkapitel und verpflichte
sich, diesen innerhalb von vier Wochen nach Gewohnheit des Alten Landes ohne
weiteren Verzug zu übergeben. Eertman gelobt das vor Johan Wyge668 und Vicko van
deme Hove,669 Bürgermeistern zu Hamburg, die bei der Übergabe anwesend waren.
665
Gherardus Balghe, Dekan 1421–1437.
666
Belegt 1419–1439.
667
Belegt 1427–1448, structurarius 1447.
668
Ratsherr seit 1407, Bürgermeister 1420–1438.
669
Ratsherr seit 1416, Bürgermeister 1431–1442.
1431 April 16. Hamburg.
413
Siegelankündigung des Ausstellers. Gheven to Hamborch in Unser Leven Frawen kerken
na Godesbord dusent veerhundert jar dar na an deme enen und drittigesten jare in sunte
Tiburcii et Valeriani dage der hilgen mertelere.
Diplomatische Erörterung: Pergament mit Faltung und wenigen Feuchtigkeitsflecken,
breite Plica mit einem an einem Pergamentstreifen befestigten Siegel. Rückseite
mit zeitgenössischem Kanzleivermerk rechts unten: Litera 8 marcarum redditus in
Detkerskope. 1431. In der Ecke rechts unten mit Bleistift Ziffer [58.].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Oo 129 [1]. D = Copiae Archivi.
401
1431 April 16. Hamburg.
1431.04.16 — Nn 111
401
Herdingh Stake und Detleff van Alevelde, Ritter, Detleff van Bokwolde, Sohn Volrads, und Volrad Heest, Knappen, geloben, Dekan und Domkapitel zu Hamburg für Johannes Hummersbuttele, Knappe, 1431 Juni 24 bis August 1 26 m. lüb. an ausstehenden Renten zu bezahlen
Herdingh Stake und Detleff van Alevelde, Ritter, Detleff van Bokwolde, Sohn Volrads, und
Volrad Heest, Knappen, in einem offenen Brief: machen bekannt, dass sie Dekan und
Domkapitel zu Hamburg gelobt haben, für Johannes Hummersbuttele, Knappe, in den
acht Tagen nach 1431 Juni 24 (in den achtedagen na sunte Johannis dage vorgescreven
negest volgende) 26 m. lüb. zu zahlen. Diese Summe sei Johannes von überfälligen
Renten schuldig. Würden sie nicht zahlen, geloben sie, sich ohne weitere Aufforderung innerhalb von acht Tagen nach Juni 24 in Hamburg in ene gemene herberge
zu begeben und dort Einlager zu halten, bis man sich über die 26 m. geeinigt habe.
Siegelankündigung der Aussteller. Gheven na Godes bort dusent veerhundert jar, darna
in deme enen und drittigesten jare des mandages erstvolgende na dem sondage, als men
singed in der hilgen kercken Misericordia Domini plena est terra.
Diplomatische Erörterung: Etwas nachgedunkeltes Pergament mit Faltung, Plica mit
Einschnitten für vier Pergamentstreifen zur Siegelbefestigung, davon sind das
erste bis dritte Siegel erhalten, aber schwer lesbar, das vierte Siegel fehlt. Die
unterschiedlich stark nachgedunkelte Rückseite hat in der Mitte einen jüngeren
Kanzleivermerk: Obligatum super 26 m. red[ditibus]. 1431, dazu: sub jur[e] obstagii.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Nn 111. D = Copiae Archivi.
402
1431 Mai 18. o. O.
1431.05.18 — Oo 129 [2]
402
Frederik und Ertman, Vetter, Gerold und Hermen, Brüder, geheten Schulten, Knappen, Burgmannen zu Horneburg, bekennen, Propst, Dekan und Kapitel der Kirche zu Hamburg ihren erblichen Hof im Alten Land im Kirchspiel Ditkerskope für 100 m. lüb. verkauft zu haben
Frederik und Ertman, Vetter, Gerold und Hermen, Brüder, geheten Schulten, Knappen,
Burgmannen zu Horneburg, in einem offenen Brief: machen bekannt, dass sie mit
Zustimmung ihrer Erben und all derer, deren Zustimmung es bedarf, in einem festen Erbkauf (to eneme vasten steden ervekope) Propst, Dekan und Kapitel der Kirche
zu Hamburg ihren erblichen Hof im Alten Land im Kirchspiel Ditkerskope verkauft
414
Regesten der Jahre 14 00 –14 4 0
haben, mit den drei Vierteln Land an Pflugacker, der auf sechs Stücke verteilt sei,
zum Norden hin begrenzt von der Heerstraße, die Königsstraße heiße (gheheten
de Konynghestrate) und durchgehend bis zum achterdyk, zwischen den Äckern und
Gütern des Bertold Stavelen und des Ficke Stummeke, mit allen Rechten, der hohen
und niederen Gerichtsbarkeit, sechs Himten Hafer,670 4 sol. lüb. grevenschat jährlich von den zwei Grundstücken mit einer Wohnung (uth den twen stucken, dar de
kemenade uppe steyt), Baumgarten, Obstbäumen und Zubehör, wo zurzeit Gherlef
Schele wohnt, als ewiger Besitz für 100 m. lüb. Pfennige, die sie von Propst, Dekan
und Domkapitel empfangen hätten. Auch seien auf demselben Hof 23 m. jährlicher
Rente, ohne eine m., die dem Kloster zu Herssevelde zukomme, die soll man auslösen für 12 m. Pfennige. Die Übertragung sei nach Gewohnheit des Alten Landes
vor einem Gericht (hegheden richte) unter dem Vogt Henrik Beye sowie den Schöffen
Curd Staveel, Arnd Bassenvlet und Peter Gerleves erfolgt. Die Aussteller versprechen,
die Rechte der Hamburger Kirche auf den Besitz zu schützen. Dieser sei kein Lehngut, sondern erbliches Freigut (recht erflik vryghud), so dass der Besitzer nicht als
Schöffe oder Hauptmann dienen solle (noch hovetman wesen). Die Aussteller geloben für sich und ihre Erben und Verwandten die Einhaltung. Siegelankündigung.
Gegheven […] na Ghodes bord in deme dusentsten veerhundertsten een unde drittichsten
yare up den neghesten vridach vor der hochtyd to Pinxten.
Diplomatische Erörterung: Großes Pergament mit Faltung, beschädigte Plica mit dem
ersten, zweiten und vierten Siegel jeweils an einem Pergamentstreifen, das
dritte Siegel wurde unter Beschädigung der Urkunde herausgerissen und fehlt.
Rückseite mit mehreren Kanzleivermerken oben in der Mitte, die teilweise modern korrigiert wurden. Ältester, aber korrigierter Eintrag: Litera super una curia
inter 7. Höfe in terra antiqua parochia Ditmerscope super capita centum marcarum. 1431.
Darüber: Iura in dem Oldenlande in Dithmershop; darunter: Der Schulten fr[eier]brieff
in Dittmershop. Weiter: Horneborch, N. 23 und nicht lesbare weitere Zahl.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Oo 129 [2]. D = Copiae Archivi.
403
1431 Mai 25. Hamburg.
1431.05.25 — Gg 93
403
Hinrik Swartecop und Ghodert Wynnepenningh schwören Urfehde, nachdem sie versucht hätten, die offenen Feinde des Hamburger Rats zu unterstützen, und aus ihrer Gefangenschaft durch die Vermittlung Hamburger Bürger befreit worden seien
Hinrik Swartecop und Ghodert Wynnepenningh in einem offenen Brief: machen bekannt, dass sie mit ihren Schiffen und Gütern versucht hätten, die offenen Feinde des Rats von Hamburg, der Bürger, Einwohner und Untersassen, namentlich
670
Oder einem Scheffel, in Hamburg jeweils 27,481 Liter.
1431 Juni 14. Nürnb erg.
415
die von Ribe (namelike de Ripere), mit Abfuhr und Zufuhr zu stärken, obwohl sie
die Hamburger davor gewarnt hätten. Dabei seien sie von den Hamburgern und
ihren Helfern gefangen genommen und mit Schiffen und Gütern nach Hamburg
gebracht worden. Die Hamburger hätten dann jedoch die Ratsherren Erik van Tzeven671 und Hinric Kotingh672 und für ihre Seite die Hamburger Bürger Hinric Bisthorst
und Albert van der Heide geschickt, und diese hätten eine Vereinbarung getroffen,
für die sie dem Rat zu Hamburg und den Seinen dankbar wären. So würden sie die
Hamburger nie mehr schädigen, sondern unterstützen (vorderen), zu Wasser, zu
Lande und in allen Regionen. Darauf hätten sie ihnen für sich und ihre Erben eine
offene Urfehde (ene openbare witlike orveide) geschworen. Sie verzichten auf Anklagen vor geistlichen und weltlichen Gerichten und geloben die feste Einhaltung der
Urfehde. Siegelankündigung der Aussteller sowie der Bürger Hinric Bisthorst und
Albert van der Heide. Gheven unde screven […] to Hamborch na der bord Christi unses
heren xiiiic unde xxxi jare, des vridages in der hilgen Pinxteweken[en].
Diplomatische Erörterung: Größeres Pergament mit Faltung und wenigen nachgedun-
kelten Stellen, Plica mit vier Einschnitten zur Siegelbefestigung, davon sind drei
(das erste, zweite und vierte) an langen Pergamentstreifen befestigte, kleine
Siegel erhalten. Rückseite mit einem jüngerem Kanzleivermerk unten: Orfeyde
Hinrick Swartekoppes unde Goderth Wynnepenninges, dazu: Anno 1431, ebenso darunter rechts zeitgenössisch k.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 93. D = Copiae Archivi.
404
1431 Juni 14. Nürnberg.
1431.06.14 — A 1 a, A 1 b
404
Heinrich Burggraf zu Meißen und Herr zu Plauen, Hofrichter des römischen Königs Sigismund, macht bekannt, dass Bürgermeister, Rat und Bürger Hamburgs vor dem Hofgericht wegen der Mängel bei der Ladung von der Klage Wigands von Sunborn und Hans Langes frei gesprochen worden seien
Heinrich, Burggraf zu Meißen (Meichssen) und Herr zu Plauen (Plawen),673 Hofrichter des römischen Königs Sigismund, allzeit Mehrer des Reichs, König zu Ungarn,
Böhmen, Dalmatien usw.,674 in einem offenen Brief: macht bekannt, dass er zu
Nürnberg das Hofgericht gehalten habe. Dabei habe Wigand von Sunborn auch im
Namen von Hans Lange durch einen Vertreter (einen fursprecher, als des hofgerichts
recht ist) gegen Bürgermeister, Rat und alle Bürger Hamburgs geklagt. Dagegen
habe Jorg Huͤ tel, auch durch einen Vertreter, erklärt, er sei der Prokurator Ham671
Ratsherr 1414–1450.
672
Ratsherr seit 1426, Bürgermeister 1439–1467.
Heinrich X. (I.), Herr von Plauen und Hofrichter seit etwa 1413, Burggraf von Meißen (1426/1439–
1446).
673
674
König von Ungarn (seit 1387), römischer König (seit 1410/1411), Kaiser (1433–1437).
416
Regesten der Jahre 14 00 –14 4 0
burgs, doch hätten ihm die Hamburger nichts davon geschrieben. Vielmehr laute
der Ladebrief auf das nächste Hofgericht nach April 23 (nach sand Jörgen dag), doch
habe zu diesem Zeitpunkt niemand für Wigand und Hans Klage erhoben, deswegen
solle Hamburg der Klage enthoben sein. Wigand habe geantwortet, der Ladebrief
sei zugestellt worden, sie hätten aber keine Antwort bekommen und der Bote sei
nicht zurück. So hätten sie das Gericht nach April 23 verstreichen lassen, aber das
sollte ihnen nicht zum Nachteil gereichen. Der Vertreter Hamburgs habe aber seine Position wiederholt, und die am Hofgericht beteiligten Ritter hätten in seinem
Sinne geurteilt. Die Hamburger seien für dieses Mal so der Klage enthoben. Ankündigung des Hofgerichtssiegels. Geben czu Nuremberg des nechsten donrs[tags] vor
sand Veyts tag, nach Cristi geburt vierczehenhundert und in dem eynund[dri]czigisten jare.
Diplomatische Erörterung: A: Nachgedunkeltes großes Pergament mit Faltung, Lö-
chern, zahlreichen Feuchtigkeitsflecken, weiteren Schäden und einigen daraus
folgenden Textausfällen, Plica mit Nennung des Notars Pe[trus] Wack[er] und dem
an einem Pergamentsteifen angehängten Hofgerichtssiegel in rotem Wachs.
Rückseite mit drei größeren restaurierten Stellen rechts, einem schwer lesbaren
Vermerk: [F], dazu oben rechts die moderne Signatur in Bleistift: A 1 a. / C: Vidimus des Lübecker Dekans, Seniors und gesamten Domkapitels von 1564 September 23, ausgefertigt durch Casparus Schrader, öffentlicher Notar päpstlicher und
kaiserlicher Autorität. Pergament, Plica mit einem an einem Pergamentstreifen
befestigten, nur fragmentarisch erhaltenen, restaurierten Siegel. Auf der Rückseite der Kanzleivermerk I, dazu 57 [aus 56 korrigiert].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. A 1 a. C = StAHH 710-1 I Threse I, Nr. A 1
b. D = Copiae Archivi.
405
1431 Juni 14. Nürnberg.
1431.06.14 — F 16 a, F 16 b
405
Sigismund, römischer König, König von Ungarn, Böhmen, Dalmatien, Kroatien usw., befreit Bürgermeister, Ratsherren und alle Bürger der Stadt Hamburg von der gegen sie wegen der Klage des Anthonii Paulssiin aus Antwerpen verhängten Reichsacht, unter der Bedingung, dass sie sich zum nächsten Hofgericht nach September 29 der Klage stellen
Sigismund, römischer König, allzeit Mehrer des Reichs, König von Ungarn, Böhmen, Dalmatien, Kroatien usw.,675 in einem offenen Brief: macht bekannt, dass Bürgermeister, Ratsherren und alle Bürger der Stadt Hamburg, die wegen der Klage
des Anthonii Paulssiin aus Antwerpen in Reichsacht getan worden seien, demütig
gebeten hätten, sie aus dieser Reichsacht zu entlassen, da sie demselben Anthonii
gern sein Recht gewähren wollten. Da sie so wieder in seinen Gehorsam und den
des Reiches gekommen seien, habe er Bürgermeister, Ratsherren und alle Bürger
675
König von Ungarn (seit 1387), römischer König (seit 1410/1411), Kaiser (1433–1437).
1431 Juli 24. Hamburg.
417
der Stadt Hamburg wieder in seine und des Reiches Gnade aufgenommen, sie aus
der Acht entlassen und ihnen ihre Rechte wiedergegeben, unter der Voraussetzung, dass sie sich auf dem nächsten Hofgericht nach September 29 (nach sant Michaelis) Anthonii Paulssiin zu Recht stellen und ihm Gerechtigkeit werden lassen.
Gebietet daher allen geistlichen und weltlichen Fürsten, Grafen, Herren, Autoritäten und Amtsträgern des Reiches, Bürgermeister, Ratsherren und alle Bürger
Hamburgs künftig wegen der Acht nicht mehr zu belangen oder anzugreifen. Ankündigung des Siegels des Hofgerichts. Geben zu Nuremberg nach Cristi geburt vierczehen hundert und in dem eyn und driszigisten jaren, des nechsten donrstags vor sant Vyts
tag, unserer riche des Ungerischen etc. in dem funf und vierczigisten, des Romischen in dem
eynundczweinczigisten und des Behemischen in dem eylften jaren.
Diplomatische Erörterung: A: Pergament mit Faltung und daraus resultierenden klei-
neren Textverlusten, breite Plica mit Nennung des Notars: Pe[trus] Wack[er] und
einem an einem (restaurierten) Pergamentstreifen angehängten Hofgerichtssiegel in rotem Wachs mit Rücksiegel. Rückseite mit zeitgenössischer Signatur
k. / C: Notarielles Vidimus des Albertus Oldehorst und des Joachimus Jante, Notare
kaiserlicher Autorität, mit beiden Notarszeichen, von 1618 April 14. Pergament,
Doppelblatt, Text auf fol. 1r-2r. Auf fol. 2r quer Kanzleivermerk und die alte Signatur Mm.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. F 16 a. C = StAHH 710-1 I Threse I, Nr. F
16 b. D = Copiae Archivi.
Regest: Regesta Imperii XI, 2, 8617, S. 178.
406
1431 Juli 24. Hamburg.
1431.07.24 — Uu 21
406
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass Meynardus Beveld, ewiger Vikar am Altar St. Jacobi maioris in St. Nicolai, und Johannes Beveld, Hamburger Bürger, Brüder, zur Besserung der geringen Einkünfte der Vikarie Meynardus’ Renten von 20 m. stiften wollten, nehmen die Renten unter kirchlichen Schutz und statten die Präbende mit den zusätzlichen Mitteln aus
Gherardus, Dekan,676 und das gesamte Domkapitel zu Hamburg in einem offenen
Brief: machen bekannt, dass Meynardus Beveld, ewiger Vikar am Altar St. Jacobi maioris in St. Nicolai, und Johannes Beveld, Hamburger Bürger, Brüder, angesichts der
auf maximal 5 m. jährlich reduzierten Einkünfte derselben Vikarie, aus denen sich
Meynardus nicht mehr versorgen könne, zu ihrem Seelenheil und dem ihrer Vorfahren sowie zur Vermehrung der Gottesdienste demselben Meynardus bzw. der
Vikarie von ihren Gütern 20 m. lüb. jährlicher Renten geben wollten. Diese kämen
vom Erbe des Borchard Wyduthe in der Deichstraße (in platea dicta vulgariter Dykstrate). Entsprechend den Bitten des Meynardus und Johannes nehmen Dekan und
676
Gherardus Balghe, Dekan 1421–1437.
418
Regesten der Jahre 14 00 –14 4 0
Domkapitel den Besitz unter ihren Schutz und weisen ihn der Vikarie zu, zusammen mit der bisherigen Ausstattung, ½ Wispel Salz (dimidium chorum salis) in der
Saline Lüneburg im Haus Ulinghe, 3 m. in Beienfleet (Beyenflete) im Alten Land, 7 m.
von einer halben Hufe auf der Insel Achterslach und 2 m., die der Knappe Johannes
Hummersbuttel zu zahlen verpflichtet sei und die einst Johannes Pust stiftete. Meynardus und Johannes erhielten als Neustifter der Vikarie das Präsentationsrecht,
nach ihrem Tod bis auf 120 Jahre ihre ältesten nächsten Verwandten, männlich
oder weiblich. Würden die Renten abgelöst, sollten mit Rat des Kapitels innerhalb
Hamburgs neue Renten gekauft werden. Siegelankündigung. Datum et actum in loco
capitulari eiusdem nostre ecclesie anno a nativitate domini millesimo quadringentesimotricesimoprimo vicesimaquarta die mensis Julii.
Diplomatische Erörterung: Größeres Pergament mit Faltung, Plica mit einem an einem
Pergamentstreifen angehängten Siegel. Auf der unterschiedlich nachgedunkelten Rückseite in der Mitte Kanzleivermerke: Nicolai. In ecclesia sancti Nicolai fundatio vicarie sancti Jacobi, reg[istra]ta sunt, Nicolaus Kinck notarius scribsit. Dazu jünger:
Augementatio [sic] 20 m. reditus. 1431.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Uu 21. D = Copiae Archivi.
Edition: Staphorst, I, 3, S. 46–48.
Regest: Schütze, 453, S. 368.
407
1431 September 21. Hamburg.
1431.09.21 — I 1 a [2]
407
Gerardus, Dekan, und das gesamte Domkapitel zu Hamburg vidimieren für Bürgermeister und Ratsherren zu Hamburg das Privileg Herzog Albrechts von Bayern von 1403 August 14 (Nr. 77)
Gerardus, Dekan,677 und das gesamte Domkapitel zu Hamburg in einem offenen
Brief: machen bekannt, dass ihnen Bürgermeister und Ratsherren zu Hamburg
eine Urkunde aus Pergament mit acht, an Seidenschnüren befestigten, runden
Siegeln aus grünem und rotem Wachs vorgelegt hätten, die im Einzelnen beschrieben werden, auch mit den Umschriften. Neben Herzog Albrecht678 hätten gesiegelt:
Wilhelm von Bayern, Graf von Oostervant, Johann Elekt zu Lüttich, Graf von Bayern, und die Städte Dordrecht, Haarlem, Delft, Leyden und Amsterdam.
[Es folgt im Wortlaut das Privileg Herzog Albrechts von Bayern, Pfalzgraf bei Rhein,
Graf von Hennegau, Holland und Seeland, Herr von Friesland, von 1403 August 14,
oben Nr. 77.]
677
Gherardus Balghe, Dekan 1421–1437.
Albrecht I. (1358/1389–1404), Herzog von Bayern, Graf von Hennegau, Holland und Seeland, Herr
von Friesland.
678
1431 Novemb er 14. Hamburg.
419
Dekan und Kapitel erklären, die Urkunde und die Siegel gründlich geprüft zu haben. Da die Urkunde intakt und unverdächtig sei, hätten Dekan und Domkapitel ihr
Vidimus auf Bitten von Bürgermeister und Rat mit dem großen Siegel besiegelt.
Geven to Hamborch na Godes bord xiiiic jar, dar na an deme enundedruttighesten jar, an
sunte Matheus daghe des hilghen apostels unde evangelisten.
Diplomatische Erörterung: Großes Pergament mit zahlreichen Feuchtigkeitsflecken,
Text teilweise verblasst, Plica geöffnet mit einem Einschnitt, Siegel fehlt, unten
mit Bleistift moderne Signatur I 1 a. Rückseite mit dünnem Papier überklebt,
Ausschnitt mit Kanzleivermerken von zwei Händen unten quer: Transumptum
capituli Hamburgen[sis]. / Dyt is des kopmans pryveleyge in Hol[lant]. Darunter: I.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. I 1 a [2]. D = Copiae Archivi.
408
1431 November 14. Hamburg.
1431.11.14 — Rr 45 e
408
Der Notar Cristianus Zoltow bezeugt, dass Magister Hermannus de Hamme, Henricus Buttel und Petrus Grabow, Vikare zu Hamburg, sowie Helmoldus Medingh, Kleriker der Bremer Diözese, als Testamentsvollstrecker des Henricus de Gheysmaria, des einstigen Inhabers der prebenda lectoralis, dessen Hausrat und Gebrauchsgegenstände mit der Ausstattung an Johannes Holt, sacre theologie professor und Nachfolger Heinrichs, übergeben hätten
Notariatsinstrument des Cristianus Zoltow. Bezeugt, dass vor ihm Magister Hermannus de Hamme, Henricus Buttel679 und Petrus Grabow, ewige Vikare der Hamburger
Kirche, sowie Helmoldus Medingh, Kleriker der Bremer Diözese, als Testamentsvollstrecker des Henricus de Gheysmaria, einstigen Hamburger Domherrn und Inhabers
der prebenda lectoralis, dessen Hausrat und Gebrauchsgegenstände (suppellectilia et
utensilia domus) zusammen mit dem Hausrat und den Gebrauchsgegenständen, die
einst Seghebandus Stoeer ewiger Vikar an der Hamburger Kirche zum Nutzen der
Nachfolger auf der prebenda lectoralis gestiftet habe, Johannes Holt, sacre theologie
professor und Nachfolger Heinrichs auf der genannten Präbende,680 übergeben hätten. Aus dem Nachlass des Seghebandus Stoeer handele es sich dabei um verschiedene Bleiflaschen, Amphoren, Kessel, Gropen, Karaffen, Schalen und andere Gefäße, bronzene Leuchter, verschiedene Messer, Kisten, einen Tisch mit vier Stühlen,
ein Federbett und anderes, aus dem Nachlass des Henricus um ein gutes Bett mit
Polstern, Kopfkissen und rot-grünen Laken, ein Pult für Bücher, verschiedene Tische, verschiedene Gefäße, Messing- und Eisen-Leuchter, verschiedene Messer,
ein Gefäß mit dem Schild des Johannes Vrytze, Gründer der Präbende, und anderes.
Dazu kämen noch ein für den Altar geeigneter Kelch und den Inhabern der Präbende vermachte Bücher, so der erste Teil des Sentenzen-Kommentars des Thomas
von Aquin (scripta beati Thome super primum Sententiarum cum prima parte Thome)
679
Als Domherr belegt seit 1432.
680
(† 1432).
420
Regesten der Jahre 14 00 –14 4 0
auf Pergament, Quaestionen zum zweiten Buch der Sentenzen auf Pergament in
einem weißen Lederband, ein Papiercodex mit dem ersten Teil der Dekretalen, ein
weiterer Papiercodex in schwarzem Leder mit theologischen Traktaten und ein
Kommentar zum [Johannes-Evangelium] auf Pergament. Darüber sei auf Bitten
der Testamentsvollstrecker das vorliegende Notariatsinstrument erstellt worden.
Acta sunt hec Hamborch in domo habitacionis dicti magistri Johannis Holt […] anno, indictione, die, mense, hora et pontificatu quibus supra. – In nomine domini amen. Anno a
nativitate eiusdem millesimo quadringentesimo tricesimoprimo indictione nona, die vero
decimaquarta mensis Novembris hora vesperorum vel quasi, pontificatus sanctissimi in
Christo patris et domini nostri domini Eugenii divina providentia pape quarti anno primo.
Zeugen: Conradus de Roma ewiger Vikar der Hamburger Kirche und Johannes Bars
Kleriker der Verdener Diözese.
Diplomatische Erörterung: Notariatsinstrument des Cristianus Zoltow, Kleriker der Min-
dener Diözese, Notar kaiserlicher Autorität, mit seinem Notarszeichen. Pergament mit Faltung, einigen Feuchtigkeitsflecken, einem kleineren Loch an einer
Faltung mit Textverlust und einer kleinen Naht unten, unter dem Text mit Bleistift die moderne Signatur Rr 45 e. Rückseite mit einem Kanzleivermerk oben
links: Instrumentum presenta[cionis] legatorum magistrorum Hinrici de Gheysmar[ia]
et magistri Zeghebandi Stoer ad preben[dam] lectoralem.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Rr 45 e.
Edition: Meyer, Geschichte, LXI, S. 359–361.
409
1432 März 20. o. O.
1432.03.20 — Ll 17
409
Jacob Bramstede und Johannes Colman, Ratsherren zu Lübeck, entscheiden im Streit zwischen Johannes Wye und Symon van Utrecht, Bürgermeistern und Ratssendeboten Hamburgs, auf der einen und den Lübecker Bürgern Hinrik Gripeshorn, Hinrik Gerlichstede, Herman Vrome und Cord Hupe auf der anderen Seite, dass der Hamburger Rat wegen des Schiffes mit dem Namen Kamhuser, das unter Hinrik Hoyer im Sund geblieben sei, eine Entschädigung von 510 m. lüb. zahlen müsse
Jacob Bramstede und Johannes Colman, Ratsherren zu Lübeck, vermitteln zwischen
Johannes Wye681 und Symon van Utrecht,682 Bürgermeistern und Ratssendeboten
Hamburgs, auf der einen und den Lübecker Bürgern Hinrik Gripeshorn, Hinrik Gerlichstede und Herman Vrome sowie Cord Hupe auf der anderen Seite, wegen des Schiffes mit dem Namen Kamhuser, den Hinrik Hoyer683 und die Hamburger in den Sund
brachten und der da geblieben ist. Der Rat von Hamburg solle dafür den Reedern
in Lübeck zu Ostern nächsten Jahres in einer Summe 510 m. lüb. entrichten. Wäre
das nicht möglich, sollten sie ihnen und ihren Erben nach den in Lübeck üblichen
681
Ratsherr seit 1407, Bürgermeister 1420–1438.
682
Ratsherr seit 1425, Bürgermeister 1433–1437.
683
Ratsherr seit 1412, Bürgermeister 1417–1447.
1432 April 14. [Hamburg ].
421
Sätzen für 510 m. jährliche Renten zahlen, mit Erlaubnis zur Ablösung. Der Rat zu
Hamburg solle dies einhalten und den Reedern umgehend eine Urkunde darüber
schicken. – Notiz über die Erstellung dreier Zerter (synt desser breve dre […] ut eenander ghesneden) für die Hamburger Bürgermeister, die Vermittler und die Kläger. In
den yaren Cristi m cccc xxxii up den avend Benedicti des hilleghen abbates.
Diplomatische Erörterung: Pergament mit einigen herausstehenden Zacken eines
Zerters entlang der oberen Kante [wohl das Hamburger Exemplar]. Die unterschiedlich nachgedunkelte Rückseite in der Mitte mit jüngerem Kanzleivermerk:
Verdrach up[pe] ein schip de Kamhuser ghenomet, ghebleven im Sunde, upgerichtet mith
ethliken van Lubegk, dazu rechts unten moderne Signatur in Bleistift: Ll 17.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ll 17. D = Copiae Archivi.
Edition: HR II, 1, Nr. 100, S. 68.
410
1432 April 14. [Hamburg].
1432.04.14 — Z 22
410
Ein unbekannter Notar bezeugt, dass Magister Johannes de Hoya, Protonotar der Stadt Hamburg, rechtskräftig Paulus de Ebertsen und Johannes Wadenkote, Vikare am Dom zu Hamburg, zu seinen Prokuratoren berufen habe
Notariatsinstrument [genaue Angabe fehlt]. Der Notar bezeugt, dass Magister Johannes de Hoya, Protonotar der Stadt Hamburg,684 vor ihm und den Zeugen rechtskräftig Paulus de Ebertsen und Johannes Wadenkote,685 ewige Vikare am Dom zu Hamburg, zu seinen Prokuratoren (procuratores, actores, factores negotiorumque suorum
gestores ac nuncios speciales et generales) berufen habe, so, dass auch der eine ohne
den anderen handeln könne. – In nomine domini amen. Anno nativitatis eiusdem millesimoquadringentesimo tricesimosecundo, indictione decima, mensis Aprilis die Mercurii686
decima quarta, hora vesperorum vel quasi, pontificatus sanctissimi in Christo patris et domini nostri,687 domini Martini divina providentia pape quinti anno primo.688
Diplomatische Erörterung: Papier, zeitgenössische Abschrift auf fol. 1v eines sonst lee-
ren Doppelblatts (1r-2v) im Querformat mit Wurmlöchern, unvollständig, mit
fehlerhaften Teilen und verkürztem Formular etc. etc. etc. ohne die Nennung des
Notars. Darüber mit Bleistift modern die Jahreszahl 1432.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Z 22. D = Copiae Archivi.
684
Belegt 1415–1432.
685
Als Stadtschreiber belegt 1416–1436.
686
Folgt als Dopplung: mensis Aprilis.
687
Pontificatus … nostri doppelt mit Zusatz domini nostra [sic], es folgt Leerzeile.
688
Martini … primo muss heißen: Eugenii divina providentia pape quarti anno primo.
422
411
Regesten der Jahre 14 00 –14 4 0
1432 Juni 6. Hamburg.
1432.06.06 — Tt 11
411
Gherardus de Balghe, Dekan der Hamburger Kirche, entscheidet als ordentlicher Richter im Streit zwischen Bernardus Scroder, Kleriker der Bremer Diözese, und Johannes Duve, Priester der Lübecker Diözese, über die Vikarie am Altar der hl. Bartholomäus und Theobald in St. Petri, dass Bernardus die Vikarie rechtmäßig zustehe
Gherardus de Balghe, Dekan der Hamburger Kirche,689 in einem offenen Brief: gibt als
ordentlicher Richter im Streit zwischen Bernardus Scroder, Kleriker der Bremer Diözese, und Johannes Duve, Priester der Lübecker Diözese, über die ewige Vikarie am
Altar der hl. Bartholomäus und Theobald in St. Petri, die nach dem Tod Johannes’
de Hachede außerhalb der Kurie vakant sei, seine Entscheidung bekannt. Bernardus
berufe sich auf seine Benennung durch Nicolaus de Hachede, Bürger Hamburgs, in
Abstimmung mit Ermengardis de Hachede, Nonne in Harvestehude (Hervershude), Johannes auf die Benennung durch Johannes Burmester, Laien der Ratzeburger Diözese, der für sich das Präsentationsrecht beanspruche. Dafür seien vor ihm Helmoldus
Lindemann, Bernhards Prokurator, und Johannes Duve für sich selbst erschienen
und hätten nach ihrer Vereidigung an weiteren Terminen ihre Argumente vorgelegt. Helmoldus habe als Prokurator um ein abschließendes Urteil gebeten, da die
Präsentation Bernhards rechtmäßig erfolgt sei und nunmehr umgesetzt werden
müsse. Die ewige Vikarie am Altar der hl. Bartholomäus und Theobald stehe ihm
rechtmäßig zu, Johannes habe daran keinerlei Rechte. Bernhard solle nun in den
Besitz der Vikarie gebracht werden, Johannes solle seine Belästigung und Behinderung Bernhards einstellen und Bernhard entschädigen. Dazu seien die Gegenpositionen und Zeugen angehört und die Argumente beider Seiten schriftlich festgehalten worden. Gherardus habe daraufhin Hinricus Ledinghehusen, ewiger Vikar
an St. Petri und erster Prokurator (principalis procurator) des Bernardus Scroder,
und Johannes Gherardi, ewiger Vikar am Dom und erster Prokurator des Johannes
Duve, einen Termin gesetzt, mit dem unten genannten Datum der Urkunde, an
dem beide Prokuratoren erschienen seien. Gherardus habe dabei seine Entscheidung verkündet, dass die Vikarie nach kanonischem Recht Bernhard zustehe, der
in sein Amt eingeführt werden solle. Johannes Duve habe die Belästigungen und
Behinderungen Bernhards zu unterlassen. Gherardus habe befohlen, darüber ein
Notariatsinstrument auszufertigen, und dieses besiegelt. Lecta, lata et in scriptis
promulgata fuit presens nostra diffinitiva sentencia par nos Gherardum decanum iudicem
ordinarium prefatum in ambitu ecclesie beate Marie Hamburgensis nobis inibi hora vesperorum vel quasi ad iura reddendum et causas audiendum in loco nostro solito et consueto pro
tribunali sedentibus, sub anno a nativitate domini millesimo quadringentesimo tricesimo
secundo, indiccione decima die vero sexta mensis Junii, pontificatus sanctissimi in Christo
patris et domini nostri domini Eugenii divina providencia pape quarti anno secundo. Zeu-
689
Gherardus Balghe, Dekan 1421–1437.
1432 August 10. o. O.
423
gen: Cristianus Gherdow, Johannes Brandes und Hermannus Quadwich, ewige Vikare der
Hamburger Kirche.
Diplomatische Erörterung: Notariatsinstrument des Johannes in dem Bomgarden, Kle-
riker der Kölner Diözese, Notar kaiserlicher Autorität und Schreiber des Hamburger Dekans Gherardus, mit seinem Notariatszeichen. Großes Pergament, links
angeschnittene, breite Plica mit einem an einem Pergamentstreifen befestigten
spitzovalen Siegel. Unterschiedlich nachgedunkelte Rückseite mit zeitgenössischem Kanzleivermerk unten in der Mitte: Instrumentum […] sententie super
presentatione vicarie ad altare Bartholomei et Theobaldi in ecclesia sancti Petri. Dazu
jünger: 1432.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Tt 11. D = Copiae Archivi.
412
1432 August 10. o. O.
1432.08.10 — Oo 138
412
Hinryk Raed und Peter Hoetwalker, aus Drochterssen im Land Kedinghe, bezeugen, dass Dyderik Gherlevestorp, Bürger zu Hamburg, und Johan Schutte aus Drochterssen Meister Nicolaus Hamborch, Domherr, und Meister Johannes Bennyn, Vikar zu Hamburg, für das Domkapitel zu Hamburg 6 Morgen Landes im Kirchspiel Hamelwörden für 30 m. übergeben hätten
Hinryk Raed und Peter Hoetwalker, wohnhaft in Drochterssen in dem Land Kedinghe,
in einem offenen Brief: bezeugen, dass sich Dyderik Gherlevestorp, Bürger zu Hamburg, und Johan Schutte, wohnhaft in Drochterssen, mit ihrer Vollmacht mit Meister Nicolaus Hamborch, Domherr,690 und Meister Johannes Bennyn, Vikar im Dom zu
Hamburg,691 für das Hamburgische Domkapitel und die Vikarie geeinigt hätten
über die Ansprüche auf die sechs Morgen Landes in dem Kirchspiel Hamelwörden
(Hamelwurden), die noch zur Zeit Peter van dem Broke bebaute und einstmals dem
verstorbenen Borchard Hasse, auch geheißen Brummer, gehört hätten. Bestätigen
Übergabe dieser sechs Morgen Land an den genannten Domherrn und den Vikar
und den Empfang von 30 m. Pfenninge, die sie zum Dank zu ihrer Zufriedenheit
erhalten hätten. Geloben für sich und ihre Erben die Einhaltung der Vereinbarung
und keine weiteren Forderungen mehr zu erheben. Siegelankündigung der Aussteller. Gegheven na Ghodes bord in deme dusentsten veerhundertsten tweundedrittichsten yare up den dach sunte Laurencii des hylgen merteleres.
Diplomatische Erörterung: Nachgedunkeltes Pergament mit Faltung, schmale Plica mit
zwei Pergamentstreifen zur Siegelanbringung, jedoch nur das zweite Siegel ist
als Bruchstück erhalten. Auf der Rückseite mehrere Kanzleinotizen, oben in der
690
Belegt 1429–1439, 1437–1439 auch als Dekan.
691
Als Domherr belegt seit 1436, als Dekan 1443–1463, († vor 1487).
424
Regesten der Jahre 14 00 –14 4 0
Mitte: Resignacio vj stucke [über Streichung: morghen] landes in Hamelwůrde, ut patet
in registro folio cclxxxvii, es folgt oben von jüngerer Hand Anno 1432. Der Eintrag:
Resignacio … cclxxxvii ist unten wiederholt, es folgt: vacat.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Oo 138. D = Copiae Archivi [zur Zeit der
Abschrift hingen noch beide Siegel an der Urkunde; hier angegeben Umschriften
und Skizze der Hausmarken].
413
1432 August 16. [Wismar].
1432.08.16 — Gg 40
413
Bürgermeister und Rat von Wismar an Bürgermeister und Rat von Hamburg: machen bekannt, dass Cuͤ rd Zwarte und Wolter Crogher, die Briefweiser, für sich und ihre Mithauptleute Bartholomeus Voet, Willem Reynardesson, Hans Osse, Hans Francke, Arnd Bole, Borchart van Staden, Hans Zwartehaveren, Cleys Klockener, Heyne von Schouwden, Danneel Vroudenberg, Hanneke Knop, Hermen Grote und Cleys Kuer, bevollmächtigt seien, von den Städten die zugesagten 250 m. lüb. zu empfangen
Bürgermeister und Ratsherren von Wismar an Bürgermeister und Ratsherren von
Hamburg: machen bekannt, dass Cuͤ rd Zwarte und Wolter Crogher, die Briefweiser,
für sich und ihre Mithauptleute (medehovetlude) Bartholomeus Voet, Willem Reynardesson, Hans Osse, Hans Francke, Arnd Bole, Borchart van Staden, Hans Zwartehaveren,
Cleys Klockener, Heyne von Schouwden, Danneel Vroudenberg, Hanneke Knop, Hermen
Grote und Cleys Kuer, bevollmächtigt seien, 250 m. lüb. zu empfangen, die ihnen von
den Städten zu Lübeck zugesagt worden seien für die Ausgaben, die ihnen für ihre
Schiffe und Leute vor Flensburg (myd eren schepen unde luden umme der stede willen
vor Vlensborch) entstanden seien. Wenn die Hamburger das bezahlt hätten, sollten sie von den beiden Hauptleuten freigesprochen werden, damit sie nicht mehr
gemahnt würden. Bitten um Bezahlung. Siegelankündigung Wismars. Na der bord
unses heren Cristi verteynhundert jar an deme twe unde dortigesten jare des sonnavendes
negest na Unser Leven Vrowen daghe Assumpcionis.
Diplomatische Erörterung: Pergament mit Faltung, einem Einriss rechts, starken
Feuchtigkeitsflecken vor allem entlang der rechten senkrechten Faltung und
oben, einem Loch links über dem Text und kleineren Textausfällen. Größere Reste des aufgedrückten Siegels in rotem Wachs auf der Mitte der Rückseite, links
kopfstehende Kanzleivermerk: Quitancia Curd Swarten und Wolter Kruger 1432.
Dazu runder Stempel mit kyrillischen Buchstaben, unten rechts die moderne
Signatur in Bleistift: Gg 40.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 40. D = Copiae Archivi.
Regest: HR II, 1, 134, S. 86–87.
1432 August 27. Hamburg.
414
425
1432 August 27. Hamburg.
1432.08.27 — Rr 116
414
Gherardus Dekan, Theodoricus Strobelingh Senior, Johannes Werneri Kantor, Hinricus Bothell, Hermannus de Buren, Johannes Clovewegge, Johannes Kust und Johannes de Buren, Kanoniker, berufen für das Domkapitel und den Hamburger Klerus Theodericus de Geynsen, Kanoniker ihrer Kirche, zu ihrem Vermittler im Streit zwischen ihnen und Grubo de Werstede, Kleriker der Hildesheimer Diözese, und bevollmächtigen im Fall der Ernennung eines Oberschiedsrichters Magister Nicolaus Hamborch
Gherardus, Dekan,692 Theodoricus Strobelingh Senior,693 Johannes Werneri Kantor,694 Hinricus Bothell,695 Hermannus de Buren,696 Johannes Clovewegge,697 Johannes Kust698 und Johannes de Buren,699 Kanoniker, und das Domkapitel zu Hamburg, in einem offenen
Brief: machen bekannt, dass sie und der gesamte Hamburger Klerus Theodericus
de Geynsen, Kanoniker ihrer Kirche,700 zu ihrem Vermittler und Schiedsrichter (in
nostrum arbitrum, arbitratorem, compromissarium, laudatorem et definitorem) im Streit
zwischen ihnen und Grubo de Werstede, Kleriker der Hildesheimer Diözese, berufen
hätten. Grund seien Verfahren des Hermann Mose, Dekan zu Minden, die Grubo gegen Meyne Gadeke und seine Gesellen eingeleitet hätte, und die Schäden, das Unrecht und die Ausgaben, die der Hamburger Kirche durch Grubo entstanden seien.
Magister Thidericus werde volle Macht erteilt, in dieser Angelegenheit zu handeln.
Wenn er sich mit dem Schiedsrichter Grubes nicht auf ein Urteil einigen könne,
berufen sie zur Ernennung eines Oberschiedsrichters (aliquem certum superarbitrum
[…] nominandum et eligendum) Magister Nicolaus Hamborch, ihren Mitkanoniker,701 zu
ihrem Prokurator (in sindicum, procuratorem, actorem, factorem et nuncium nostrum
specialem et generalem) vor den Schiedsrichtern. Sie verpflichten sich zur Einhaltung dessen, was Magister Theodericus, Magister Nicolaus und die von der Gegenseite benannten Schiedsrichter vereinbaren. Siegelankündigung der Hamburger
Kirche. Datum in loco capitulari eiusdem nostre ecclesie anno a nativitate domini millesimo quadringentesimo tricesimo secundo, indictione decima, die vero vicesima septima
mensis Augusti, hora terciarum capitulari solita, pontificatus sanctissimi in Christo patris
et domini nostri domini Eugenii, divina providencia pape quarto anno secundo.
692
Gherardus Balghe, Dekan 1421–1437.
693
Belegt 1416–1438, 1432 Senior, 1437–1438 Kantor.
694
Johannes Werneri alias dictus Gerbode, Kantor, belegt 1404–1436.
695
Belegt bis mindestens 1436.
696
Belegt 1419–1439.
697
Auch belegt 1436.
698
Belegt 1427–1448, structurarius 1447.
699
Belegt 1431–1444.
700
Belegt 1432–1443.
701
Belegt 1429–1439, 1437–1439 auch als Dekan.
426
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergament mit Faltung und zwei großen Feuchtigkeitsfle-
cken entlang der Faltlinie, Plica mit einem an einem Pergamentstreifen angehängten, nur als kleinem Rest erhaltenen Siegel. Rückseite mit späterem Kanzleivermerk in der nachgedunkelten Mitte: Procuratorium capituli Hamburgensis.
1432. Dazu unten verblasst [14].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Rr 116. D = Copiae Archivi.
Erwähnung: Vonderlage, Domkapitel, S. 73, 77, 79, 82, 86, 90, 112.
415
1432 August 31. Stade.
1432.08.31 — Rr 96
415
Der Notar Ludolphus Quast bezeugt, dass vor ihm Magister Nicolaus Hamborch für das Domkapitel und Grubo de Werstede, Kleriker der Hildesheimer Diözese, erschienen seien. Nicolaus habe eine Entscheidung durch den Rat statt durch Schiedsleute abgelehnt und die Verhandlung notariell festhalten lassen
Der Notar Ludolphus Quast bezeugt, dass vor ihm Magister Nicolaus Hamborch,702 für
die eine, und Grubo de Werstede, Kleriker der Hildesheimer Diözese, für die andere Seite, erschienen seien. Nicolaus habe in Volkssprache ausgeführt, dass Grubo
unter anderem Dekan, Kapitel und Klerus zu Hamburg gegenüber Bürgermeister
und Ratsherren zu Hamburg und zu Stade durch seine Schriften angeklagt habe
(per sua scripta querelas fecisset), weil sie ihn schwer beleidigt hätten, und gefordert
habe, dass Bürgermeister und Rat Dekan, Kapitel und Klerus unterrichteten, dass
ihm diese Genugtuung leisten und Schäden erstatten sollten. Dekan, Kapitel und
Klerus hätten sich daraufhin bereit erklärt, vor einem geeigneten Richter auf die
Anklagen zu antworten. Grubo habe sich damit nicht zufriedengegeben, sondern
seine Anklagen fortgesetzt. Dekan, Kapitel und Klerus hätten daraufhin über Bürgermeister und Rat vorgeschlagen, dass Grubo einen ehrenwerten, rechtskundigen Mann (oder zwei Männer) innerhalb von 14 Tagen nach Stade senden solle,
wie sie dorthin ihren (oder ihre beiden) Vertreter senden würden. Grubo habe dem
zugestimmt und Juni 24 als Termin gewählt. Dekan, Kapitel und Klerus hätten dafür Magister Nicolaus bevollmächtigt und zugleich Magister Theodoricus de Geynsen
als Schiedsrichter ausgesandt. Grubo sei aber zu diesem Termin nicht mit seinem
Schiedsrichter erschienen, sondern habe um Verschiebung auf den folgenden
Tag gebeten. An diesem sei Grubo wiederum nicht erschienen, habe aber Johannes Velebeer zu seinem Schiedsrichter ernannt, der ebenso abwesend gewesen sei,
und um Verschiebung auf den heutigen Tag und die aktuelle Zeit gebeten. Heute
habe Magister Nicolaus erklärt, Magister Theodoricus im Namen von Dekan, Kapitel und Klerus als Schiedsrichter annehmen und seine Entscheidung akzeptieren
zu wollen, wenn Grubo dies auch tue. Grubo habe die Darstellung durch Nicolaus
bestätigt, aber vorgebracht, dass er wegen seiner Schwäche und Armut sowie der
702
Belegt 1429–1439, 1437–1439 auch als Dekan.
1432 Sep temb er 9. o. O.
427
Stärke des Domkapitels bisher sein Recht nicht habe durchsetzen können. Daher
fordere er sein Recht von den genannten Herren und tue alles für einen sorgfältig
arbeitenden Richter, er wolle deshalb der Stadt Hamburg die Entscheidung übertragen und vor ihr antworten. Magister Nicolaus habe daraufhin öffentlich vor den
Zeugen protestiert, dass dies von ihm und seinen Herren nicht akzeptiert werden
könne (quod per eum vel per dominos suos non staret), da wie vereinbart die Angelegenheit durch die von beiden Seiten berufenen Vertreter entschieden werden
sollte, und habe die Angelegenheit durch den Notar in einer öffentlichen Urkunde
festhalten lassen. Acta sunt hec in opidi Staden[si] predicto in platea publica dicta Up
deme Berghe, anno, indictione et aliis, quibus supra. – In nomine domini amen. Anno a nativitate eiusdem millesimo quadringentesimo trigesimo secundo, indictione decima, die vero
ultima mensis Augusti, hora terciorum vel quasi, pontificatus sanctissimi in Christo patris
et domini nostri, domini Eugenii divina providentia pape quarti anno secundo […]. Zeugen:
Magister Nicolaus Poppe, Propst der Nonnen zu Uetersen (Utersten), Cunrad Benne,
curie Bremensis officiali generali, Mathias Wiker, Dekan von Ramelsloh, Conrad Moller,
Ratsherr zu Hamburg,703 und Hilmar Pape, Ratsherr zu Stade.
Diplomatische Erörterung: Notariatsinstrument des Ludolphus Quast, Kleriker der Bre-
mer Diözese, Notar kaiserlicher Autorität, mit seinem Notariatszeichen. Großes,
längliches Pergament mit Faltung, einer kleinen Naht links neben dem Text und
geringen Feuchtigkeitsflecken. Rückseite mit zeitgenössischer Notiz am rechten
Rand: Detur domino meo Nicolao Hamborg. Dazu kopfstehend jüngerer Kanzleivermerk:
Instrumentum notariale super prorogatione termini arbitrum Hamburgum mittendi facta a Grubone de Werstede clerico Hildesiensi in [parte] praetensarum injuriarum sibi a
capitulo Hamb[urgense] illatarum. Act[um] Stad[ae] 1431 d. 31 Aug[usti]. Weiter runder Stempel mit kyrillischen Buchstaben und Zahl mit Bleistift: 495.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Rr 96. D = Copiae Archivi.
416
1432 September 9. o. O.
1432.09.09 — Gg 39
416
Gherd Borsouw und Arnd Meklin quittieren Bürgermeistern und Rat zu Hamburg über 37 ½ m., die sie [im Krieg gegen Dänemark] für Verpflegung zu Flensburg ausgegeben hätten
Gherd Borsouw und Arnd Meklin in einem offenen Brief: quittieren den Bürgermeistern und Ratsherren der Stadt Hamburg über 37 ½ m. Pfennige, wie sie zu Hamburg
gängig seien, die sie umme der stede willen [im Krieg gegen Dänemark] für Verpflegung zu Flensburg ausgegeben und noch nicht erstattet erhalten hätten. Sprechen
für sich und ihre Erben Bürgermeister, Rat, ihre Bürger und Einwohner von wei-
703
Ratsherr 1429–1467.
428
Regesten der Jahre 14 00 –14 4 0
teren Forderungen frei. Siegelankündigung. Geven na Godes bord dusend veerhundert
jar darna in deme tweundedruttigesten jare des dinxdages na unser leven vrouwen dage
erer bord.
Diplomatische Erörterung: Pergament mit Faltung, Feuchtigkeitsflecken entlang der
Faltlinien sowie oben und unten, mit kleineren Textverlusten, Plica geöffnet mit
Resten von zwei Pergamentstreifen, keine Siegel erhalten. Unten rechts auf der
Vorderseite moderne Signatur in Bleistift: Gg 39. Auf der Rückseite Kanzleivermerk: Quitancia Gherardi Borssouwen unde Arnde Mekelin. 1432.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 39. D = Copiae Archivi.
Erwähnt: Nicolai Clarus, Bartholomäus Voet und die Freibeuter der Hansezeit. Untersuchungen zum Kaperwesen im Nordeuropa des frühen
15. Jahrhunderts, Diss. phil. Universität Hamburg, 2012, S. 255;
Ballheimer, 4, S. 20.
417
1432 Oktober 3. o. O.
1432.10.03 — Gg 42
417
Dideric van Emsen, Knappe, quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Dideric van Emsen, Knappe, in einem offenen Brief: quittiert den Bürgermeistern
und Ratsherren der Stadt Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen
Dänemark (myne tzoldie, dat in erem und erer stad denste bin ghewezen, dar ynne ik in
Dennemarken myd anderen eren vrunden wart gevanghen unde ok myne schattinge, schaden unde kostegel[t …]). Spricht für sich und seine Erben Bürgermeister und Rat von
Hamburg, ihre Bürger und Einwohner von weiteren Forderungen frei. Siegelankündigung. Gheven na Godes bord veerteynhundert jar darna in deme tweundedruttigesten jare des vrigdaghes na sunte Michels daghe.
Diplomatische Erörterung: Kleineres Pergament mit Faltung, starken Feuchtigkeitsfle-
cken und leichten Textverlusten vor allem entlang der Faltlinie, breitere Plica
mit einem an einem Pergamentstreifen anhängenden Siegel. Auf der Rückseite
oben in der Mitte Kanzleivermerk: Quitancia Theoderici de Ensen. 1432.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 42. D = Copiae Archivi.
Erwähnung: Ballheimer, 4, S. 20.
418
1432 Oktober 23. Hamburg.
1432.10.23 — Gg 41
418
Heyne Ghire, Bürger zu Wismar, quittiert Bürgermeistern und Rat zu Hamburg für sich und seine Mitreeder den Empfang von 50 m. von den 750 m. für das Schiff, das unter dem Hamburger Bürgermeister Hinrik Hoyer im Sund verlorenging
Heyne Ghire, Bürger zu Wismar, in einem offenen Brief: macht bekannt, dass Bürgermeister und Ratsherren der Stadt Hamburg ihm und seinen Mitreedern (my
1433 Februar 2 . o. O.
429
unde mynen mede reders) von den 750 m. für das Schiff, das unter dem Hamburger
Bürgermeister Hinrik Hoyer704 im Sund verlorenging, eine Teilsumme von 50 m. bezahlt hätten. Er spricht die Hamburger für sich und seine Mitreeder von allen Forderungen darauf frei, verweist aber auf die noch ausstehende Zahlung von 700 m.
Siegelankündigung des Ausstellers auch für seine Mitreeder und ihre Erben. Gheven to Hamborgh na Godes bord dusend veerhundert darna [in] dem tweundedruttigesten
jare, des negesten donredages na sunte Feliciani des hilgen bisschopes dage.
Diplomatische Erörterung: Pergament mit Faltung, starken Feuchtigkeitsflecken,
Löchern und etlichen Textverlusten. Plica und Rückseite modern mit dickem
Papier überklebt, daher kein Einschnitt für ein Siegel erkennbar, auch kein Siegel erhalten. Ausschnitt auf der Rückseite lässt bereits zuvor dünn überklebten
Kanzleivermerk erkennen: Qui[tancia] Heyne Ghir[en]. Darüber runder Stempel
mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 41. D = Copiae Archivi.
419
1433 Februar 2. o. O.
1433.02.02 — Nn 132
419
Adolf [VIII.] und Gerhard [VII.], Herzöge von Schleswig und Grafen von Holstein, verkaufen Hans Kopeke, Bürger zu Hamburg, und seiner Ehefrau Gese für 140 m. lüb. zwei Teile von fünf Wispel Roggen, die sie jährlich aus der Niedermühle in Hamburg hätten
Alff (Adolf [VIII.])705 und Gherd (Gerhard [VII.]),706 Herzöge von Schleswig und Grafen von Holstein, Stormarn und Schauenburg, in einem offenen Brief: machen bekannt, dass sie Hans Kopeke, Bürger zu Hamburg, und seiner Ehefrau Gese zwei Teile
von fünf Wispel Roggen, die sie jährlich aus der Niedermühle in Hamburg (in der
nedder molen bynnen Hamborgh) hätten, für 140 m. lüb. verkauft hätten. Diese zwei
Teile könnten Hans und Gese jährlich auf Lebenszeit an zwei Terminen erheben, zu
Ostern und September 29 (to sunte Michaelis), ohne Verzug, wie sie einst Johan Howschild erhalten habe. Die Herzöge sagen zu, gegen alle Behinderungen beim Einzug
der Abgaben vorzugehen. Wenn sie oder ihre Erben die zwei Teile der fünf Wispel
von den Erben der beiden nach dem Tod des Ehepaars zurückkaufen wollten, sollten sie dies ein halbes Jahr vorher ankündigen und in den acht Tagen zu Ostern
oder Michaelis 140 m. lüb. zahlen. Die Herzöge geloben dies auch für ihre Erben.
Siegelankündigung. Na Godes bord verteynhunderd dar na in deme dreundedrittigesten
jare in Unser Leven Vrowen dage to Lichtmissen etc.
704
Ratsherr seit 1412, Bürgermeister 1417–1447.
Adolf VIII., Graf von Holstein und Stormarn (seit 1421), (als Adolf I.) Herzog von Schleswig (1427–
1459).
705
706
Gerhard VII., Graf von Holstein und Stormarn 1427–1433.
430
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Nachgedunkeltes Pergament mit Faltung und einigen
Feuchtigkeitsflecken, schmale Plica mit zwei gut erhaltenen, an Pergamentstreifen angehängten Siegeln in rotem Wachs, auf dem ersten Pergamentstreifen einige schwer erkennbare Buchstaben: […]h[...], dazu auf der Plica rechts die Ziffer
12. Unterschiedlich stark nachgedunkelte Rückseite mit jüngerem Kanzleivermerk unten in der Mitte: Up twedell van vyff wispell roggen [luden] uth dere nedderen
molen bynnnen [Hamborg]. Dazu Vermerke: E und 127.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Nn 132.
420
1433 Juli 4. o. O.
1433.07.04 — Gg 45
420
Hans van dem Berghe und Cord Gherwens quittieren Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während ihrer Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Hans van dem Berghe und Cord Gherwens in einem offenen Brief: quittieren den Bürgermeistern und Ratsherren der Stadt Hamburg für Sold, Lösegeld, Schadenersatz
und Kostgeld während ihrer Gefangenschaft im Dienst Hamburgs im Krieg gegen
Dänemark. Sprechen für sich und ihre Erben Bürgermeister und Rat von Hamburg,
ihre Bürger und Einwohner von weiteren Forderungen frei. Siegelankündigung.
Gheven na Godesbort veerteynhundert jar dar na in deme dreundedruttigesten jare des
sonnavendes naghest na unsser leven vrowen daghe visitationis.
Diplomatische Erörterung: Pergament mit Faltung, starken Feuchtigkeitsflecken vor al-
lem entlang der linken Faltung sowie unten und oben mit einigen Textverlusten,
breite Plica mit zwei Pergamentstreifen zur Siegelanbringung, vom ersten Pergamentstreifen ist nur ein Rest erhalten, am zweiten ein kleines, beschädigtes
Siegel; die Plica weist neben dem zweiten Pergamentstreifen eine Naht auf. Plica
und Rückseite mit dünnem Papier überklebt, darunter Kanzleivermerk: Quitancia Hans van dem [Berghe …] Cord Gerwens 1433.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 45. D = Copiae Archivi.
421
1433 Juli 8. Hamburg.
1433.07.08 — Uu 36 [1]
421
Der Notar Bertoldus Meding bezeugt, dass Hinricus Hoyer, Bürgermeister zu Hamburg, zum Nutzen zweier Vikarien in der St. Annen-Kapelle in St. Nicolai, die einst sein Vater Albertus Hoyer, Ratsherr zu Hamburg, ausgestattet habe, 14 m. Renten gestiftet und darüber Verfügungen getroffen habe
Notariatsinstrument des Bertoldus Meding. Bestätigt, dass vor ihm und den Zeugen Hinricus Hoyer, Bürgermeister zu Hamburg,707 freiwillig bekannt habe, dass er
zum Nutzen zweier Vikarien in der St. Annen-Kapelle in St. Nicolai, die einst sein
Vater Albertus Hoyer, Ratsherr zu Hamburg,708 ausgestattet habe, folgende Renten
707
Ratsherr seit 1412, Bürgermeister 1417–1447.
708
Ratsherr 1374–1386.
1433 Juli 9. o. O.
431
gestiftet habe: 8 m. vom Erbe des Nicolaus Langhe, Ratsherr zu Hamburg,709 von denen 2 m. von den beiden Vikaren zur Erhaltung und Vermehrung der Ausstattung
(clenodia) und 1 m. zum Unterhalt eines ewigen Lichts im Kloster Harvestehude
verwandt werden sollten; weiter 4 m. vom Erbe des Ludekin Hop, Bürger der Stadt,
von denen 1 m. jährlich unter die Priester an St. Nicolai verteilt werden sollten;
schließlich 2 m. vom Erbe des Ropeco van der Molen, von denen die Vikare Kerzen
kaufen sollten. Was nicht für bestimmte Zwecke verbraucht werde, könne für den
Unterhalt der beiden Vikare genutzt werden. Hinricus Hoyer habe für sich und
seine Erben die Einhaltung versprochen. Die ewigen beiden Vikare, Hinricus de
Sundis und Theodoricus de Rethem, hätten den Notar um Erstellung des Dokuments
gebeten. Acta sunt hec in porticu ecclesie parochialis sancti Nicolai Hamburgensis dicte
diocesis, anno, indictione, die, mense, hora et pontificatus quibus supra. – In nomine domini
amen. Anno a nativitate eiusdem millesimo quadringentesimo tricesimo tercio, indictione
undecima, die vero octava mensis Julii, hora terciarum vel quasi, pontificatus sanctissimi in
Christo patris et domini nostri domini Eugenii divina providentia pape quarti anno tercio.
Zeugen: Ludolphus de Stove, ewiger Vikar, und Reymar Luchtemaker, commendarius an
St. Nicolai.
Diplomatische Erörterung: Notariatsinstrument des Bertoldus Meding, Kleriker der Bre-
mer Diözese, Notar kaiserlicher Autorität, mit seinem Notarszeichen. Etwas verblasstes Pergament mit Faltung, kleineren Rissen auf der rechten Seite, einigen
Feuchtigkeitsflecken und einigen kleineren Textverlusten, unten mit Wellenlinie geschnitten. Auf der nachgedunkelten Rückseite rechts unten kopfstehender
Vermerk: Die Jovis viia Novembris pret[eritis] A. [Lirhals] et H. Lanckow [duplicatus]
mandavit transs[umi].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Uu 36 [1].
422
1433 Juli 9. o. O.
1433.07.09 — Gg 48
422
Hans und Hermen, Brüder, gheheten Wittecop, sowie Borghard Bardey quittieren Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während ihrer Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Hans und Hermen, Brüder, gheheten Wittecop, sowie Borghard Bardey, Knappen, in
einem offenen Brief: quittieren den Bürgermeistern und Ratsherren der Stadt
Hamburg für Sold, Lösegeld, Schadenersatz und Kostgeld während ihrer Gefangenschaft im Dienst im Krieg gegen Dänemark. Sprechen für sich und ihre Erben
Bürgermeister und Rat von Hamburg, ihre Bürger und Einwohner von weiteren
709
Ratsherr 1428–1456.
432
Regesten der Jahre 14 00 –14 4 0
Forderungen frei. Ankündigung des Siegels von Hermen Wittcop. Gegeven na Godes bord veerteynhundert jar darna in deme dreundedruttigesten jare des donredaghes vor
sunte Margareten dage der hilgen juncfrouwen.
Diplomatische Erörterung: Pergament mit Faltung, starken Feuchtigkeitsflecken vor
allem entlang der linken Faltung sowie an der Plica und mit kleineren Textverlusten, Plica mit einem Pergamentstreifen zur Siegelanbringung, nur die Reste eines abgerissenen, stark beschädigten Siegels sind lose erhalten. Plica und
Rückseite mit dünnem Papier überklebt, darunter mit zeitgenössischem Kanzleivermerk: Quitancia [Hans und Hermen brodere gheheten] Wittekopp 1433.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 48. D = Copiae Archivi [verkürzt unter
Hinweis auf Gg 45].
423
1433 Juli 24. o. O.
1433.07.24 — Gg 46
423
Mathias Vicke quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Mathias Vicke in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren
der Stadt Hamburg für Sold, Lösegeld, Schadenersatz und Kostgeld während seiner
Gefangenschaft im Dienst im Krieg gegen Dänemark. Spricht für sich und seine
Erben Bürgermeister und Rat von Hamburg, ihre Bürger und Einwohner von weiteren Forderungen frei. Siegelankündigung. Gheven na Godes bord veerteynhundert
jar darna in deme dreundedertigesten jare in sunte Jacobi avende des hilgen apostels.
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken
vor allem entlang der linken Faltung sowie im unteren Teil der Urkunde und
mit kleineren Textverlusten, Plica mit einem an einem Pergamentstreifen angebrachten, gut erhaltenen Siegel. Auf der Rückseite zeitgenössischer Kanzleivermerk: Quitancia Mathias Vicken 1433. Runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 46. D = Copiae Archivi [verkürzt unter
Hinweis auf Gg 42].
424
1433 Oktober 10. o. O.
1433.10.10 — Gg 94
424
Gyse de Cluver, Knappe, verzichtet gegenüber Bürgermeistern und Rat zu Hamburg auf die zuvor erhobenen Ansprüche auf das Eigentum des Johan van Achem, verstorbenen Hamburger Bürgers, unter der Bedingung, dass sich Johans Witwe Beke mit Johans Bruder Ludeke Starke über den Nachlass vergleiche
Gyse de Cluver, Knappe, in einem offenen Brief: erklärt gegenüber den Bürgermeistern und Ratsherren der Stadt Hamburg, dass er auf die zuvor erhobenen Ansprüche auf das Eigentum des Johan van Achem, verstorbenen Hamburger Bürgers, nunmehr verzichten wolle und die Klage zurückziehe, allerdings unter der Bedingung,
1433 Ok tob er 24. Hamburg.
433
dass sich Johanns Witwe Beke unter der Vermittlung des Propstes von Osterholz710
mit Johanns Bruder Ludeke Starke über den Nachlass vergleiche (myt aldusdan underschede unde so vere alz Beke, wandaghes husvrowe des ergenanten Johans syk na rade
des provestes van Osterholte vruntliken vorgheyt myt Ludeken Starken, des ergenanten Johans brodere, eres mannes, umme de nagelatene sine gude). Siegelankündigung. Geven na
Godes bort verteynhundert jar dar na in deme xxxiiio jare an dem hilgen dage Symonis unde
Jude der hilgen apostele.
Diplomatische Erörterung: Pergament mit Faltung und etlichen Feuchtigkeitsflecken
vor allem entlang der linken Faltung und daher leichter Textverlust, Plica mit
Resten eines Pergamentstreifens zur Siegelanbringung, das Siegel jedoch verloren. Auf der Rückseite findet sich der Vermerk: Quitancia Gisen de Cluvers.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 94. D = Copiae Archivi [noch mit dem
Hinweis appendit sigillum].
425
1433 Oktober 24. Hamburg.
1433.10.24 — Gg 44
425
Grote Bernd, Knappe, quittiert Bürgermeistern und Rat zu Hamburg auch für seinen Knecht Hinrik van der Vechte die Bezahlung von Pferden, Sold und Lohn für ihren Dienst für die Stadt
Grote Bernd, Knappe, in einem offenen Brief: macht bekannt, dass Bürgermeister
und Ratsherren der Stadt Hamburg ihm und seinem Knecht Hinrik van der Vechte
ihre Pferde sowie Sold und Lohn für den Dienst für die Stadt bis zum heutigen
Tag vollständig bezahlt hätten. Spricht Bürgermeister und Rat von Hamburg, ihre
Bürger und Einwohner von weiteren Forderungen frei. Siegelankündigung des
Ausstellers, auch für seine Erben und seinen Knecht Hinrik. Gheven to Hamborgh na
Godes bord veerteynhundert jar, darna in deme dreundedruttigesten jare, des sonnavendes
vor sunte Symon unde Judas dage, der hilghen apostele.
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken
vor allem entlang der linken Faltung sowie der Plica und mit geringen Textverlusten, Plica mit einem an einem Pergamentstreifen befestigten, weitgehend erhaltenen Siegel. Rückseite mit zeitgenössischem Kanzleivermerk: Quitancia Grote
Bernds 1433.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 44.
710
Vermutlich war Beke nach dem Tod ihres Mannes ins Kloster Osterholz eingetreten.
43 4
426
Regesten der Jahre 14 00 –14 4 0
1433 November 14. o. O.
1433.11.14 — Gg 49
426
Volckmar Warendorp quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Volckmar Warendorp in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren der Stadt Hamburg für Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Spricht für
sich und seine Erben Bürgermeister und Rat von Hamburg, ihre Bürger und Einwohner von weiteren Forderungen frei. Siegelankündigung. Na der ghebord Cristi
veerteynhundert jar darna in deme dreundedruttigesten jare am sonnavende na Martini
daghe.
Diplomatische Erörterung: Oben links beschädigtes Pergament mit Faltung, zahlrei-
chen Feuchtigkeitsflecken vor allem entlang der linken Faltung und mit kleineren Textverlusten, Plica mit einem Pergamentstreifen zur Siegelanbringung,
das Siegel fehlt. Auf der Rückseite Kanzleivermerk: Quitancia Volckmari Warendorpp[es] 1433.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 49. D = Copiae Archivi.
427
1433 Dezember 5. o. O.
1433.12.05 — Gg 47
427
Hans Rutenberch quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Hans Rutenberch in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren der Stadt Hamburg für Sold, Lösegeld, Schadenersatz und Kostgeld während
seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Spricht für sich
und seine Erben Bürgermeister und Rat von Hamburg, ihre Bürger und Einwohner
von weiteren Forderungen frei. Siegelankündigung. Gheven na Godesbord veerteynhundert jar darna in deme dreundedruttigesten jare in sunte Nicolai avende des hilgen biscopes.
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken
vor allem entlang der linken Faltung (dort auch eingerissen) sowie am rechten
Rand und mit kleineren Textverlusten, Plica mit einem an einem Pergamentstreifen angehängten Siegel. Auf der Rückseite Kanzleivermerk: Quitancia Johannis Rutenberg[s]. 1433.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 47. D = Copiae Archivi [verkürzt unter
Hinweis auf Gg 49].
1433 D ezemb er 12 . o. O.
428
435
1433 Dezember 12. o. O.
1433.12.12 — Gg 43
428
Hans Kerewaghen quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Hans Kerewaghen in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren der Stadt Hamburg für Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Spricht für
sich und seine Erben Bürgermeister und Rat von Hamburg, ihre Bürger und Einwohner von weiteren Forderungen frei. Siegelankündigung. Gheven na Godesbord
veerteynhundert jar darna am dreundedruttigesten jare am sonnavende neghest na unsser
leven vrowen daghe concepcionis.
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken
vor allem entlang der rechten Faltung und mit kleineren Textverlusten, die
rechts angeschnittene Plica mit einem an einem Pergamentstreifen angehängten Siegel, kurzer Vermerk auf dem Pergamentstreifen: ij [m.]. Rückseite mit
dünnem Papier überklebt, über dem Kanzleivermerk: Quitancia Johannis Kerewagen.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 43. D = Copiae Archivi [stark verkürzt
unter Hinweis auf Gg 47].
429
1433 Dezember 20. o. O.
1433.12.20 — Gg 50
429
Hans Soltow und Hinrik Schutte quittieren Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während ihrer Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Hans Soltow und Hinrik Schutte in einem offenen Brief: quittieren den Bürgermeistern und Ratsherren der Stadt Hamburg für Sold, Lösegeld, Schadenersatz und
Kostgeld während ihrer Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark.
Sprechen für sich und ihre Erben Bürgermeister und Rat von Hamburg, ihre Bürger und Einwohner von weiteren Forderungen frei. Siegelankündigung der beiden
Aussteller. Gheven na Godes bort veerteynhundert jar darna in deme dreundedruttigesten
jare in sunte Thome avende des hillighen apostels.
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken
vor allem entlang der linken Faltung sowie der Plica und mit kleineren Textverlusten, Plica mit zwei an Pergamentstreifen angehängten Siegeln, das zweite in
einer Papierhülle. Auf der Rückseite Kanzleivermerk: Quitancia Johannis Soltow
unde Hinr[ici] Schul[tis]. 1433, dazu runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 50. D = Copiae Archivi [verkürzt unter
Hinweis auf Gg 45].
436
430
Regesten der Jahre 14 00 –14 4 0
1434 Januar 12. o. O.
1434.01.12 — W 43
430
Thiderik Wichman, Kirchherr zu St. Katharinen, bezeugt, dass Wolter Berchstede und Johan Duͤ tzow, gemeinsame Inhaber der memoria zu St. Katharinen, von Bürgermeister und Rat zu Hamburg das Kapital von 30 m. lüb. für das jährlich zu haltende Gedächtnis für Hinrik Stelle den Älteren empfangen hätten
Thiderik Wichman, Kirchherr und Vikar zu St. Katharinen, in einem offenen Brief:
bezeugt, dass Wolter Berchstede und Johan Duͤ tzow, gemeinsame Inhaber (delere) der
memoria zu St. Katharinen, von Bürgermeister und Rat zu Hamburg 30 m. lüb. für
das jährlich zu haltende Gedächtnis für Hinrik Stelle den Älteren empfangen hätten.
Diese 30 m. habe einst Peter van Bergen, Bürger zu Hamburg, beim Rat hinterlegt,
um damit eine jährliche Rente [von 3 m.] zur Finanzierung der memoria Hinriks zu
kaufen, zu bezahlen vom Erbe von Hermen van deme Holte im Kirchspiel St. Katharinen. Falls jemand künftig Bürgermeister, Rat, ihre Nachfolger und Erben oder auch
Peter van Bergen und seine Erben wegen dieser Summe ansprechen sollte, würde
Thiderik sie befreien. Er quittiert den Empfang des Geldes. Siegelankündigung des
Ausstellers. Na der bord Christi veerteynhundert jar, darna in dem veerundedruttigesten
jare, am[me] dinxedaghe negest na Epiphanie domini.
Diplomatische Erörterung: Pergament mit zahlreichen Feuchtigkeitsflecken vor allem
entlang der senkrechten und waagerechten Faltungen sowie in der Folge mit
einigen Textausfällen, Plica mit einem an einem Pergamentstreifen befestigten
spitzovalen Siegel. Rückseite mit gleichzeitigem Kanzleivermerk, rechts quer:
Quitancia van wegen 30 m. penninghe 1434.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. W 43. D = Copiae Archivi.
431
1434 Januar 15. o. O.
1434.01.15 — Gg 60
431
Jacob Kruͤ n quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Jacob Kruͤ n in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren
der Stadt Hamburg für Sold, Lösegeld, Schadenersatz und Kostgeld während seiner
Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Spricht für sich und
seine Erben Bürgermeister und Rat von Hamburg, ihre Bürger und Einwohner von
weiteren Forderungen frei. Siegelankündigung. Na der bord Cristi veerteynhundert
jar darna in deme veerundedruttigesten jare amme vrigdaghe vor sunte Fabiani unde Sebastiani daghe.
Diplomatische Erörterung: Pergament mit Faltung, Feuchtigkeitsflecken vor allem ent-
lang der rechten Faltung sowie am linken Rand und mit kleineren Textverlusten, Plica mit einem an einem Pergamentstreifen angehängten Siegel. Auf der
Rückseite rechts der Kanzleivermerk: Quitancia Jacobi Crons[is] 1434, dazu runder
Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 60. D = Copiae Archivi [verkürzt unter
Hinweis auf Gg 47].
143 4 Januar 16. o. O.
432
437
1434 Januar 16. o. O.
1434.01.16 — Gg 51
432
Hermen Schyver aus Hannover quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Hermen Schyver aus Hannover in einem offenen Brief: quittiert den Bürgermeistern
und Ratsherren der Stadt Hamburg für Sold, Lösegeld, Schadenersatz und Kostgeld
während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Spricht
für sich und seine Erben Bürgermeister und Rat von Hamburg, ihre Bürger und
Einwohner von weiteren Forderungen frei. Siegelankündigung. Gheven na Godes
bort veerteynhundert jar dar na in dem veerundedruttigesten jare in sunte Marcelli daghe
des hilligen paveses.
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken
vor allem entlang der linken Faltung, der Plica sowie am rechten Rand und in
der Folge mit einigen Textverlusten, breite Plica mit einem an einem Pergamentstreifen angehängten, beschädigten Siegel. Auf der Rückseite Kanzleivermerk:
Quitancia Hermen Schiver. 1434.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 51. D = Copiae Archivi [verkürzt unter
Hinweis auf Gg 42].
433
1434 Februar 6. [Wismar].
1434.02.06 — Gg 55 a
433
Bürgermeister und Rat zu Wismar an Bürgermeister und Rat zu Hamburg: ihre Mitbürger Langhehans, Rodcher Nyenborch, die Erben von Ulrik Grantzin, Katharina, die Witwe von Hermen Eghelsberg, Thomas Rode, Juries Ulenbruk und Arnd Zweder hätten berichtet, dass man ihnen noch Sold aus der Zeit schulde, als sie mit dem Schiffer Trepetow in den Öresund in den Krieg zogen; bitten um Auszahlung an den Beauftragten Rodcher Nyenborgh
Bürgermeister und Ratsherren zu Wismar an Bürgermeister und Ratsherren zu
Hamburg: vor ihnen seien ihre Mitbürger Langhehans, Rodcher Nyenborch, die Erben von Ulrik Grantzin, Katharina, die Witwe von Hermen Eghelsberg, Thomas Rode,
Juries Ulenbruk und Arnd Zweder erschienen und hätten berichtet, dass man ihnen
noch Sold schulde (dat se noch toachter synd erer tzoldie). Das betreffe die Zeit, als
sie mit dem Schiffer Trepetow in den Öresund in den Krieg zogen auf einem Holk,
der später verloren ging, so dass ihre Mitbürger erheblichen Schaden erlitten, wie
ihnen Rodcher Nyenborgh, der Briefweiser, mündlich berichten werde. Dieser sei
auch von den anderen bevollmächtigt, ihren Sold von ihnen einzumahnen und zu
empfangen. Die von ihm getroffenen Vereinbarungen würden auch die anderen
einhalten. Sie bitten, ihn freundlich aufzunehmen und ihm die Summen auszuzahlen, die ihm und ihren Mitbürgern zustehen. Ankündigung des Sekretsiegels auf
der Rückseite des Briefs (so is unser stad secret to rugghe gedrucket uppe dessen breff).
Na der bord unses hern Cristi verteynhundert jar an deme veer unde dertigisten jare, des
sonnavendes an sunte Dorotheen daghe der hilgen juncvrouwen.
438
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergament mit Faltung, die teilweise nachgedunkelte Rück-
seite mit den Resten des roten Verschlusssiegels und einer zeitgenössischen
Kanzleinotiz: Eyn tuch breff 1434. Dazu erneut die Jahreszahl 1434, eine ältere Signatur mit Bleistift: Cl. VII Lit. C. Admiralität, die moderne Signatur ebenfalls mit
Bleistift: Gg 55 a, und ein runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 55 a. D = Copiae Archivi.
434
1434 Februar 13. o. O.
1434.02.13 — Gg 58
434
Hermen Gherdes quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark; es bürgt Johan van deme Hus, Bürger zu Hamburg
Hermen Gherdes in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren der Stadt Hamburg für Sold, Lösegeld, Schadenersatz und Kostgeld während
seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Spricht für sich
und seine Erben Bürgermeister und Rat von Hamburg, ihre Bürger und Einwohner
von weiteren Forderungen frei. Siegelankündigung. Johan van deme Hus, Bürger zu
Hamburg, bekennt, für Hermen die Einhaltung gelobt zu haben. Siegelankündigung. Gheven na Godesbord verteinhundert jar dar na in deme verundedruttigesten jare
des sonavendes vor Invocavit.
Diplomatische Erörterung: Beschädigtes Pergament mit Faltung, starken Feuchtig-
keitsflecken vor allem entlang der linken Faltung sowie am eingerissenen rechten Rand und in der Folge mit einigen Textverlusten, breitere Plica mit zwei
Pergamentstreifen zur Siegelanbringung, aber keine Siegel erhalten. Auf der
Rückseite Kanzleivermerk: Quitancie Hermen Gerdes. 1434.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 58. D = Copiae Archivi [verkürzt unter
Hinweis auf Gg 47 und Gg 49].
435
1434 März 7. [Wismar].
1434.03.07 — Gg 55 b
435
Bürgermeister und Rat zu Wismar an Bürgermeister und Rat zu Hamburg: bitten erneut um Auszahlung des Solds, jeweils 2 ½ m. für fünf Wochen, für ihre Mitbürger Rotgher Nyenborgh, Ulrijk Grantzyn, Juries Ulenbrok, Arnd Zweder, Katherina, Witwe Hermen Eghelberghes, Thomas Thode und Langehans, vom Kriegszug in den Öresund, an Rotgher Nyenborgh und sprechen sie bei Auszahlung von weiteren Forderungen frei
Bürgermeister und Ratsherren der Stadt Wismar an Bürgermeister und Ratsherren
der Stadt Hamburg: machen bekannt, dass sie, wie sie ihnen bereits zuvor geschrieben hätten, für ihre Mitbürger Rotgher Nyenborgh, Ulrijk Grantzyn, Juries Ulenbrok,
Arnd Zweder, Katherina, Witwe Hermen Eghelberghes, Thomas Thode und Langehans um
die Bezahlung ihres Soldes bäten, den diese beim Zug in den Öresund (Ortzunde)
auf dem Schiff des Hans Trepetouw verdient hätten, jeweils 2 ½ m. für fünf Wochen.
Bitten nunmehr, den Sold dieser sieben Leute Rotgher Nyenborgh auszuzahlen,
damit ihnen und den Ihren keine Mahnung vom Sold, von der Gefangenschaft und
dem Schaden entstehe, den die sieben erlitten hätten. Mit der Bezahlung des Solds
seien sie von weiteren Forderungen frei, eine Bezahlung von Gefangenschaft und
Schaden bleibe ihnen überlassen. Ankündigung des Sekretsiegels auf der Rückseite
143 4 Mär z 7. [Wismar].
439
des Briefs (unser stad s[ecret to] rugghe gedrucket uppe dessen breeff). Na der bord Cristi
unses heren verteynhundert jar an deme veerunde[dorti]ghesten jare, des sundaghes alse
men in der hilghen kerken synget Letare.
Diplomatische Erörterung: Pergament mit Faltung, starken Feuchtigkeitsflecken vor
allem im oberen Teil sowie entlang der Faltlinien und mit einigen kleineren
Textausfällen. Rückseite mit dünnerem und dickerem Papier überklebt, aber mit
Ausschnitten um das gut erhaltene Verschlusssiegel in rotem Wachs und den
(dünn überklebten) Kanzleivermerk oben rechts: Quitancia Rotgherde Nygenborge
Ulrick Grantzin cum suis etc. 1434, dazu unten mit Bleistift die moderne Signatur:
Gg 55 b.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 55 b. D = Copiae Archivi.
436
1434 März 7. [Wismar].
1434.03.07 — Gg 56
436
Bürgermeister und Rat zu Wismar an Bürgermeister und Rat zu Hamburg: bezeugen, dass Hinric [Ricman], Marquard Knape, Gherd van Ro[stoke], Gherd [Gh…sches], Hans Schickepijl, Hinric Elstorp, Hinric [Huer] und Hans Tarnevisse den Wismarer Hinric Ricman bevollmächtigt hätten, ihren noch ausstehenden Sold vom Unternehmen in den Öresund unter Curd Huep von je 2 ½ m. einzuziehen
Bürgermeister und Ratsherren zu Wismar an Bürgermeister und Ratsherren zu
Hamburg: machen bekannt, dass vor ihnen Hinric [Ricman], Marquard Knape, Gherd
van Ro[stoke], Gherd [Gh…sches], Hans Schickepijl, Hinric Elstorp, Hinric [Huer] und Hans
Tarnevisse bezeugt hätten, dass die Hamburger ihnen noch ihren Sold und Lohn (ere
tzoldye unde vordenede loen) schuldig seien, den sie auf dem Unternehmen in den
Öresund unter Curd Huep verdient hätten. Sie sollten für fünf Wochen Dienst jeweils 2 ½ m. bekommen. Da nicht alle nach Hamburg kommen könnten, hätten sie
den Wismarer Bürger Hinric Ricman, den Briefweiser, bevollmächtigt, ihren Sold
einzumahnen und zu empfangen. Was dieser aushandele, würden sie annehmen.
Der Wismarer Rat bittet daher, Hinric den ausstehenden Sold für die acht Männer
zu bezahlen. Der Hamburger Rat würde damit von allen Forderungen befreit. Was
sie den acht Männern für Gefängnis und Schaden entrichteten, bliebe ihnen überlassen. Siegelankündigung. Na der bord Cristi unses heren verteynhundert jar an deme
veerundedortighesten jare, des sondaghes, alse me in der hilghen kerken to mydvasten singet Letare.
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken
vor allem entlang der Faltlinien und am rechten Rand, Löchern und umfangreichen Textausfällen, Rückseite mit dickem Papier überklebt, mit Ausnahme des
gut erhaltenen Verschlusssiegels und einer schlecht lesbaren Kanzleinotiz, quer:
[Quitancia Hinric Ricmans], Marquard Knape, Gerdt […]. 1434.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 56. D = Copiae Archivi [ergänzend
herangezogen].
440
437
Regesten der Jahre 14 00 –14 4 0
1434 März 16. o. O.
1434.03.16 — Gg 53
437
Marquart Vinck und Hinrik Schutte quittieren Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während ihrer Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Marquart Vinck und Hinrik Schutte in einem offenen Brief: quittieren den Bürgermeistern und Ratsherren der Stadt Hamburg für Sold, Lösegeld, Schadensersatz
und Kostgeld während ihrer Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Sprechen für sich und ihre Erben Bürgermeister und Rat von Hamburg,
ihre Bürger und Einwohner von weiteren Forderungen frei. Siegelankündigung.
Gheven na Godes bord veerteynhundert jar darna in deme veerundedruttigesten jare des
dinxedaghes vor palme sondaghe.
Diplomatische Erörterung: Pergament mit Faltung, starken Feuchtigkeitsflecken vor
allem entlang der Faltlinien sowie am rechten Rand und in der Folge mit einigen
Textverlusten, breite Plica mit zwei an Pergamentstreifen angehängten Siegeln.
Auf der Rückseite Kanzleivermerk in der Mitte quer: Quitancia Marquart Vincken
unde Hinr[ici] Schutten 1434.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 53. D = Copiae Archivi [verkürzt unter
Hinweis auf Gg 45].
438
1434 März 29. o. O.
1434.03.29 — O 50
438
Schließer und Gemeine in Barlt machen bekannt, dass sie sich über die Verwendung von Einkünften aus Legaten, Bußen sowie Strafen bei Totschlag zum Nutzen ihres Kirchspiels geeinigt hätten
Schließer (sluter) und Gemeine (menheyt) in Barlt machen bekannt, dass sie sich auf
ewige Zeiten zum Nutzen ihres Kirchspiels auf Folgendes geeinigt hätten:
[1.] Was zum Bau der Kirche oder dem Kirchherren vermacht werde, soll ohne Einspruch dafür genutzt werden.
[2.] Die Schließer sollen in dem Jahr, in dem sie im Amt sind, überall mit ihrem Besitz und Leben geschützt sein. Wer sie angreife oder ihnen schade, soll zweifache
Buße leisten (de schal twevoldeghen broke hebben). Wer einen Schließer schlage, soll
160 m. bezahlen, wer sich gegen sie als Richter wende, solle mit 90 sol. büßen, so
oft er ihm Widerstand leiste.
[3.] Bei einem Totschlag solle der Täter mit seinen Verwandten zahlen, was im Land
üblich sei. Bann und Friede (bane unde vrede) solle er aber ohne fremde Hilfe zahlen. Wenn sein Besitz nicht ausreiche, solle er mit seinem Hals büßen und niemand
dürfe ihm helfen. Sein Haus, gut oder schlecht, solle mit 16 m. ausgelöst werden[,
um ein Verbrennen zu verhindern]; wenn das Haus weniger wert sei, solle er den
Acker einsetzen und 16 m. vor den brant geben. Davon solle die Hälfte für den Bau
der Kirche St. Marien verwandt werden, der Rest solle an den Kläger gehen, der auf
allen brant verzichten solle. Wenn es doch zu einem Brand käme, solle der Schaden
143 4 April 8. o. O.
4 41
von dem Strafgeld für den Totschlag abgezogen werden; wenn der Schaden dieses
übersteige, solle der Verursacher des Brandes für das Strafgeld aufkommen.
[4.] Vom Friedegeld (dem vrede van dot slaghe) solle ein Drittel zum Bau der Kirche verwandt werden, ein Drittel an die Schließer und ein Drittel an das gesamte
Kirchspiel gehen. Schließer und Gemeine geloben die Einhaltung, wer dagegen
spreche, solle ausgeschlossen werden.
Ankündigung zweier besiegelter Ausfertigungen für Kirchherren und Sluter. Ghescreven na der bor[t] Cristi dusent cccc hundert, darna in deme verunderteghesten jare, des
mandaghes in den Paschen.
Diplomatische Erörterung: Großes Pergament mit einigen wenigen nachgedunkelten
Stellen und Feuchtigkeitsflecken, Plica mit einem angehängten Pergamentstreifen, das Siegel ist ab. Rückseite mit älterem Kanzleivermerk unten in der Mitte:
Super parrochiali ecclesia Bartele […] und 1434. Dazu längere jüngere Notiz rechts
unten: Eine Convention, von den Sluteren und den Eingesessenen zu Barlt in Dithmarschen unter sich aufgerichtet, vornehmlich was Legata und Todtschlag anbetrifft, da des
Todtschlägers Hause soll verbrandt oder mit 16 m. gelöset werden, wovon die Hälfte Unsere liebe Frau zu ihrer Bauung haben soll, weliches vermuthl[ich] von der Marien Kirch
zu Barlt zu verstehen. Dat[um] [dies Lune] in festo Pasch[ae].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. O 50. D = Copiae Archivi.
439
1434 April 8. o. O.
1434.04.08 — Gg 54
439
Hans van dem Haghen quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Hans van dem Haghen in einem offenen Brief: quittiert den Bürgermeistern und
Ratsherren der Stadt Hamburg für Sold, Lösegeld, Schadenersatz und Kostgeld
während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Spricht
für sich und seine Erben Bürgermeister und Rat von Hamburg, ihre Bürger und
Einwohner von weiteren Forderungen frei. Siegelankündigung. Na Godesbord veerteynhundert jar darna in deme veerundedruttigesten jare am[me] donredaghe na Quasimodogeniti.
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken
vor allem entlang der Faltlinien und in der Folge mit einigen Textverlusten, breite Plica mit einem Pergamentstreifen zur Siegelanbringung, das Siegel fehlt. Auf
der Rückseite Kanzleivermerk: Quitancia Hans[en] van dem Hage 1434.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 54. D = Copiae Archivi [verkürzt unter
Hinweis auf Gg 42].
Erwähnung: Ballheimer, 4, S. 20.
4 42
440
Regesten der Jahre 14 00 –14 4 0
1434 April 17. o. O.
1434.04.17 — P 24
440
Johan van der Borch quittiert Bürgermeistern und Rat zu Hamburg über Ersatz für Wunden, Zehrung und Schaden aus seinem Dienste für die Stadt vor Sibetsburg in Friesland
Johan van der Borch in einem offenen Brief: quittiert Bürgermeistern und Ratsherren der Stadt Hamburg über Ersatz für Wunden, Zehrung und Schaden aus seinem Dienste für die Stadt vor Sibetsburg in Friesland (umme myne wundinghe, […]
theringhe und schaden, women de benomen mach, und ik, de so ik an erer stadt denste
mede vor Sybete[sborge] in Vresch, uthe werb geleeden hebbe). Spricht für sich und seine Erben Bürgermeister, Rat und ihre Nachfolger sowie Bürger, Einwohner und
Untertanen (undersaten) der Stadt von weiteren Forderungen frei. Siegelankündigung. Gheven na Godes bord verteinhundert jar darna in deme verundedrithigesten jare
des sonavendes vor Jubilate.
Diplomatische Erörterung: Pergament mit Faltung, Feuchtigkeitsflecken vor allem ent-
lang der teilweise eingerissenen rechten Faltung und daher mit einigen Textverlusten, breite Plica mit einem Pergamentstreifen zur Siegelanbringung, das
Siegel fehlt. Auf der Rückseite Kanzleivermerk: Quitancia Johans[en] van der Borch
1430 [!].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 24. D = Copiae Archivi.
Edition: Ostfriesisches UB, 1, 423, S. 389.
441
1434 April 27. o. O.
1434.04.27 — Gg 52
441
Clawes B[ulle] und Cord Brand quittieren Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während ihrer Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Clawes B[ulle] und Cord Brand in einem offenen Brief: quittieren den Bürgermeistern
und Ratsherren der Stadt Hamburg für Sold, Lösegeld, Schadenersatz und Kostgeld
während ihrer Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Sprechen für sich und ihre Erben Bürgermeister und Rat von Hamburg, ihre Bürger
und Einwohner von weiteren Forderungen frei. Siegelankündigung. Na Godes bord
veerteynhundert jar darna in deme veerundedruttigsten jare des dinxedaghes vor Vocem
Jucunditatis.
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken
vor allem entlang der linken Faltung, an der Plica und am rechten Rand, in der
Folge mit einigen Textverlusten, Plica mit zwei Pergamentstreifen zur Siegelanbringung, aber keine Siegel erhalten. Auf der Rückseite in der Mitte Kanzleivermerk: Quitancia Clawes Bulle, Curdt Brandt. 1434, darunter runder Stempel mit
kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 52. D = Copiae Archivi [verkürzt unter
Hinweis auf Gg 45].
143 4 Mai 5. o. O.
442
4 43
1434 Mai 5. o. O.
1434.05.05 — Gg 79
442
Jacob Balke quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Jacob Balke in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren
der Stadt Hamburg für Sold, Lösegeld, Schadenersatz und Kostgeld während seiner
Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Spricht für sich und
seine Erben Bürgermeister und Rat von Hamburg, ihre Bürger und Einwohner von
weiteren Forderungen frei. Siegelankündigung. Na Godesbord veerteynhundert jaͤr
darna in deme veerundedruttigesten jare am[me] daghe sunte Godehardi.
Diplomatische Erörterung: Pergament mit Faltung und zahlreichen Feuchtigkeitsfle-
cken vor allem entlang der Faltlinien, in der Folge mit kleineren Textverlusten,
Plica mit einem Pergamentstreifen mit Siegelresten in einer Papiertasche. Auf
der Rückseite Kanzleivermerk: Quitancia Jacobi Balken 1434.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 79. D = Copiae Archivi.
443
1434 Juni 27. o. O.
1434.06.27 — O 10
443
Menghers Clawes und vadde[r] Claws Ecleff, zurzeit Schließer, die Geschworenen und das gesamte Kirchspiel Büsum machen bekannt, dass sie sich mit den Ratssendeboten Hamburgs über den Umgang mit Ralves Kersten sowie über den Schutz der Kaufleute zu Wasser und zu Lande geeinigt hätten
Menghers Clawes und vadde[r] Claws Ecleff, zurzeit Schließer (sclutere), die Geschworenen (swaren) und das gesamte Kirchspiel Büsum (kerspel to Buzen) in einem offenen Brief: machen bekannt, dass sie sich geeinigt haben mit den Ratssendeboten
und -kumpanen der Stadt von Hamburg, Nicolawes Meyger,711 Johan Sasse,712 Albert
Widdinghuzen713 und Kort Moller,714 in folgender Weise:
[1.] Sie geloben, Ralves Kersten715 oder seine Familie nicht ohne Zustimmung des
ganzen Landes verurteilen zu wollen (nicht velligen716 scholen edder willen).
711
Ratsherr 1421–1443.
712
Ratsherr 1426–1458.
713
Ratsherr 1426–1461.
714
Ratsherr 1429–1467.
Anführer einer Partei der Dithmarscher, der gewaltsam gegen seine Gegner im Lande vorging,
bis sich diese ihm 1434 unter Cruse Johan mit Hamburger Hilfe entgegenstellten, sodass er aus dem
Lande fliehen musste, vgl. die Darstellung in der „Dritten Fortsetzung der Detmar-Chronik, Erster
Theil“, in: Chroniken, Lübeck, 3, hier Nr. 1590, S. 418–419.
715
716
Nach Mndt. Wörterbuch, 5, S. 228, s. v. vellich.
444
Regesten der Jahre 14 00 –14 4 0
[2.] Sie geloben weiter, dass aus ihrem Kirchspiel niemand mehr die rechtfertigen
Kaufleute ausrauben werde (uͤ t unserm kerspel to Buzen nen man schal roven na dessem
daghe meͤr up[pe] den rechten koͤpman, to watere edder to lande). Wer dagegen verstoße,
werde an die Hamburger ausgeliefert. Wenn das nicht möglich sei, würden sie den
entstandenen Schaden ersetzen.
[3.] Zum Schutz (schut) derer, die am Strand oder auf dem Strom aufgehalten würden, sollten die alten Vereinbarungen gelten, die zwischen Dithmarschen und der
Stadt Hamburg geschlossen worden seien.
Schließer, Geschworene und das gesamte Kirchspiel zu Büsum beschwören die Einhaltung der Zusagen. Siegelankündigung der Aussteller. Gheven unde screven […] na
Godes bort mo cccco an dem xxxiiiio jare, des sondaghes vor Petri et Pauli, der werdighen
apostel.
Diplomatische Erörterung: Nachgedunkeltes Pergament mit Faltung, zahlreichen
Feuchtigkeitsflecken, Plica mit einem Schlitz für die Anbringung des Siegels, Pergamentstreifen restauriert, Siegel liegt lose bei. Rückseite mit zeitgenössischer
Jahreszahl 1434 unten in der Mitte, dazu N und ein Zeichen über dem Siegeleinschnitt, oben rechts runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. O 10. D = Copiae Archivi.
Edition: Schuback, Commentarius, XXVII, S. 314–315.
Regest: Schütze, 459, S. 368.
Erwähnung: Ballheimer, 4, S. 19.
444
1434 Juli 24. o. O.
1434.07.24 — Gg 57
444
Hinrik van deme Kalenberghe und Borchard van Balghe quittieren Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während ihrer Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Hinrik van deme Kalenberghe und Borchard van Balghe in einem offenen Brief: quittieren den Bürgermeistern und Ratsherren der Stadt Hamburg für Sold, Lösegeld,
Schadenersatz und Kostgeld während ihrer Gefangenschaft in ihrem Dienst im
Krieg gegen Dänemark. Sprechen für sich und ihre Erben Bürgermeister und Rat
von Hamburg, ihre Bürger und Einwohner von weiteren Forderungen frei. Siegelankündigung. Na Godesbord veerteynhundert jaer darna in deme veerundedruttigesten
jare in sunte Jacobi avende des hillighen apostels.
143 4 Juli 28. o. O.
4 45
Diplomatische Erörterung: Pergament mit Faltung, etlichen Feuchtigkeitsflecken vor
allem entlang der Faltlinien sowie am rechten Rand und in der Folge mit einigen
Textverlusten, breite Plica mit zwei an Pergamentstreifen angehängten Siegeln,
das erste in einer Papiertasche. Auf der Rückseite Kanzleinotiz: Quitancia Hinrici
van dem Kalenberge unde Borchard van Ballige 1434, dazu runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 57. D = Copiae Archivi [stark verkürzt
unter Hinweis auf Gg 52].
Erwähnung: Ballheimer, 4, S. 20.
445
445
1434 Juli 28. o. O.
1434.07.28 — O 8 — Die Vögte, Schließer, Geschworenen und die ganze Gemeine der Kirchspiele Wöhrden, Weddingstedt, Hemmingstedt, Neuenkirchen, Lunden, Tellingstedt, Albersdorf und Nordhastedt sowie Clawes Hinrikes aus Süderdeich und Ekke Rikqwerd aus Hemme machen bekannt, dass sie mit Bürgermeistern, Rat und der ganzen Gemeine der Stadt Hamburg eine Vereinbarung um gemeinen Nutzen und des Friedens willen getroffen hätten
Die Vögte, Schließer, Geschworenen und die ganze Gemeine der Kirchspiele Wöhrden (Oldenworden), Weddingstedt, Hemmingstedt, Neuenkirchen, Lunden, Tellingstedt, Albersdorf (Alverstorpe) und Nordhastedt (Nordherstede) sowie Clawes Hinrikes
aus Süderdeich (to deme Suderdiike) und Ekke Rikqwerd aus Hemme in einem offenen
Brief: machen bekannt, dass sie mit den Bürgermeistern, Ratsherren, Bürgern, Einwohner und der ganzen Gemeine der Stadt Hamburg um gemeinen Nutzens und
des Friedens willen eine Vereinbarung (endracht unde tohopesate) getroffen hätten,
die ewig Bestand haben solle:
[1.] Bürger, Einwohner und Untertanen der Stadt Hamburg sollten ebenso wie der
gemeine Kaufmann auf der Elbe und in Dithmarschen selbst, ob sie zu Lande oder
zu Wasser reisten, ungeschädigt bleiben. Wer dagegen verstoße, würde von den
Vertretern der Kirchspiele, von Clawes Hinrikes und Ekke Rikqwerd auf Aufforderung der Hamburger ermahnt, die entstandenen Schäden wieder gut zu machen.
Wenn das nicht geschehe, sollten sie es den Hamburgern mitteilen, um Hilfe bitten
und mit aller Macht gegen die Unruhestifter (sulfrichtere, weldenere unde beschedighere) vorgehen. Solange die Hamburger im Lande seien, wollten sie die Kosten der
Versorgung übernehmen, und von Forderungen aufgrund von Schäden, wie sie im
Juni und Juli 1434 auf dem Feldzug gegen Radelev Kerstens717 entstanden seien, sollten sie befreit sein.
[2.] Die Vertreter der Kirchspiele, Clawes Hinrikes und Ekke Rikqwerd sagen zu,
dass sie ihre Feinde nicht auf der Elbe bekämpfen, damit die Hamburger nicht dabei geschädigt würden. Wer dagegen verstoße, werde wie beschrieben bekämpft.
717
Zum Kontext wiederum die Darstellung in der „Dritten Fortsetzung der Detmar-Chronik, Erster
Theil“, in: Chroniken, Lübeck, 3, hier Nr. 1590, S. 418–419.
446
Regesten der Jahre 14 00 –14 4 0
[3.] Wenn sich andere Kirchspiele anschließen wollten, sollten sie die vereinbarten
Artikel in eigenen Urkunden bekräftigen. Ungeachtet dieser Vereinbarung blieben
alle beiderseitig erteilten Privilegien und Urkunden gültig.
Die Vertreter der Kirchspiele, Clawes Hinrikes und Ekke Rikqwerd geloben die
Einhaltung der Vereinbarung. Siegelankündigung der Aussteller. Ghegeven na Godes bord veerteynhudert jar darna in dem veerundedruttigesten jare, an sunte Pantaleonis
dage.
Diplomatische Erörterung: Großes Pergament mit Faltung, zahlreichen Feuchtigkeits-
flecken und daraus resultierenden Textverlusten, die teilweise restaurierte Plica
mit neun an teilweise restaurierten Pergamentstreifen befestigten, meist gut
erhaltenen, meist großen Siegeln, das sechste Siegel fehlt (Einschnitt in der Plica mit Rest eines Pergamentstreifens erkennbar). Rückseite mit festem Papier
überklebt, mit zwei Angaben der modernen Signatur mit Bleistift rechts oben
und unten in der Ecke: O 8.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. O 8.
Edition: HUB, 7, 1, 51, S. 26–27.
446
1434 August 27. o. O.
1434.08.27 — Gg 59
446
Marquard Nortman quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Marquard Nortman in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren der Stadt Hamburg für Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Spricht
für sich und seine Erben Bürgermeister und Rat von Hamburg, ihre Bürger und
Einwohner von weiteren Forderungen frei. Siegelankündigung. Na Godesbord veerteynhundert jar darna in deme veerundedruttigesten jare des vrigdaghes negest vor decollationis Johannis.
Diplomatische Erörterung: Pergament mit Faltung, etlichen Feuchtigkeitsflecken, Lö-
chern an der Faltung und in der Folge mit geringem Textverlust, Plica mit einem
an einem Pergamentstreifen angehängten Siegel in einer Papiertasche. Auf der
Rückseite Kanzleivermerk: Quitancia Marquardi Notmans 1434, dazu runder Archivstempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 59. D = Copiae Archivi [stark verkürzt
unter Hinweis auf Gg 42].
143 4 Sep temb er 20. o. O.
447
4 47
1434 September 20. o. O.
1434.09.20 — Tt 50
447
Bürgermeister und Rat der Stadt Dannenberg machen bekannt, dass Magister Johan Stulebars, Domherr zu Kampen, Johannes Vlogele, Kantor der Kirche zu Verden und Vikar des Altars des hl. Martin in St. Petri zu Hamburg, sowie Dekan und Domkapitel zu Hamburg 3 m. jährlicher Rente verkauft habe
Bürgermeister und Rat der Stadt Dannenberg in einem offenen Brief: machen bekannt, dass Magister (mester) Johan Stulebars, Domherr zu Kampen, vor ihnen erschienen sei und Johannes Vlogele, Kantor (sangmester) der Kirche zu Verden und Vikar des Altars des heiligen Martin in St. Petri zu Hamburg, und seinen Nachfolgern
sowie Dekan und Domkapitel zu Hamburg vom Erbe des Meyneke Bancze in der Judenstraße (in der Joden strate) zwischen den Erben des Henneke van Aken und des Tydeke Vischer 2 m. jährlicher Rente verkauft habe, die Magister Johan auf dem Erbe
Meynekes hatte. Weiter habe Johan 1 m. jährlicher Rente verkauft aus dem Erbe
des Hans Lezemester, gelegen auf dem Wall bei der Brücke mit Namen de Schipwech.
Jede m. sei für 10 m. Lüneburger Pfennige wiederzukaufen, wenn dies Johannes
Vlogele und seinen Nachfolgern ein Viertel Jahr vorher angekündigt werde. Siegelankündigung der Stadt Dannenberg. Gheven na Godes bord verteynhundert jar und
veerunddrittich jar an sunte Mathies avende des hilgen apostels.
Diplomatische Erörterung: Nachgedunkeltes Pergament mit einigen wenigen Feuch-
tigkeitsflecken, Plica mit einem an einem dünnen Pergamentstreifen befestigten
Siegel, links am Rand modern untereinander neben dem Text: 2 m. 1 m. Rückseite mit verschiedenen jüngeren Kanzleivermerken unten in der Mitte: Ad altare
sancti Martini in St. Petri, dazu: super 2 m. annuos reditus, item 1 m., mit 10 m. jede m.
widerzukauffen. 1434. Darunter mit Bleistift: 705.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Tt 50. D = Copiae Archivi.
448
1434 September 28. Uppe der Heide.
1434.09.28 — Ee 61
448
Die Vögte, Schließer und die Gemeinen der Kirchspiele Wöhrden, Hemmingstedt, Neuenkirchen, Lunden, Weddingstedt, Tellingstedt, Albersdorf und Nordhastedt an alle, insbesondere an Bürgermeister und Rat zu Hamburg: berichten über die Tagfahrt zu Itzehoe 1434 September 14; dort sei es um die Schädigung von Kaufleuten durch etliche ihrer Landsleute, nämlich Radeleves Kersten und seine Helfer, gegangen, gegen die sie die Hamburger um Truppen gebeten hätten
Die Vögte, Schließer und die Gemeinen der Kirchspiele Wöhrden (Oldenwurden),
Hemmingstedt, Neuenkirchen, Lunden, Weddingstedt, Tellingstedt, Albersdorf
(Alverstorpe) und Nordhastedt (Nordherstede) in einem offenen Brief, insbesondere an Bürgermeister und Rat der Stadt Hamburg: Wegen der Schädigungen, die
die Hamburger, ihre Bürger, Einwohner und der gemeine Kaufmann von etlichen
Kirchspielen und Leuten in ihrem Land erlitten hätten, hätten die Lübecker eine
Tagfahrt vermittelt, die zu Itzehoe 1434 September 14 (uppe den dach des hilgen cruzes, alze dat vorheven wart) stattgefunden habe. Dort sollten sie sich nach Forderung der anwesenden Sendeboten aus Lübeck und Lüneburg zu Recht erbieten,
weil sie sich zuvor in einem Vertrag verpflichtet hätten, den Kaufmann nach allen
Kräften zu schützen. Die Schädigungen seien durch etliche ihrer Landsleute, näm-
448
Regesten der Jahre 14 00 –14 4 0
lich Radeleves Kersten718 und seine Helfer, geschehen, über die die Hamburger auch
für den gemeinen Kaufmann geklagt hätten. Da sie sich gegen diesen allein nicht
stark genug gefühlt hätten (dat wij allene to krank weren), hätten sie die Hamburger um Truppen gebeten, damit die Kaufleute entschädigt werden könnten. Die
Hamburger sollten wegen ihrer Hilfe von allen Forderungen, die daraus entstehen
könnten, freigehalten werden. Gheven unde screven uppe der Heide in deme lande to
Dithmerschen na Godes bort veerteynhundert jar, dar na in deme veerundedruttigesten jare
uppe sunte Michael avende des ertzengels.
Diplomatische Erörterung: Großes Pergament mit Faltung, etlichen schwächeren
Feuchtigkeitsflecken und kleinen Textverlusten, Plica mit sechs an Pergamentstreifen befestigten, teilweise gut erhaltenen kleineren Siegeln. Rückseite unten
in der Mitte mit dem Zeichen P und – auf einem Pergamentstreifen – R[egistra]ta.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ee 61.
449
1434 September 30. Regensburg.
1434.09.30 — B 11 a und b
449
Graf Wilhelm von Montfort, Herr zu Tettnang, der Jüngere, macht bekannt, dass bei dem im Auftrag des römischen Kaisers Sigismund, König zu Ungarn, Böhmen, etc., zu Regensburg abgehaltenen königlichen Hofgericht Jorg Hutel als Vertreter der Stadt Hamburg erschienen sei und beantragt habe, die Klage des Anthonn Paulssun aus Antwerpen gegen Hamburg abzuweisen, da die Hamburger nicht an der Wegnahme seines Besitzes und Schiffes beteiligt gewesen seien. Die Hamburger seien dabei aufgrund von Zeugenaussagen freigesprochen worden
Graf Wilhelm von Montfort, Herr zu Tettnang, der Jüngere,719 in einem offenen Brief:
macht bekannt, dass er im Auftrag des römischen Kaisers Sigismund, König zu Ungarn, Böhmen, Dalmatien, Kroatien etc.,720 zu Regensburg das königliche Hofgericht abgehalten habe, als vor ihm Jorg Hutel als bevollmächtigter Vertreter der
Bürgermeister, Ratsherren und aller Bürger der Stadt Hamburg erschienen sei und
gebeten habe, ein Urteil des zu Ulm abgehaltenen Hofgerichts zu verlesen. Jorg berichtete nach der Verlesung, dass Anthonn Paulssun aus Antwerpen Bürgermeister,
Rat und Bürger Hamburgs vor demselben Hofgericht verklagt habe, weil die Hamburger Söldner und Diener dabei gewesen seien, als ihm sein Besitz und sein Schiff
im Wert von 4000 gld. auf der freien See genommen worden seien; dabei habe Anthonn nach seiner Klage noch um 2000 gld. an Schaden gehabt, und man habe das
Schiff, auch unter Beteiligung Hamburger Ratsherren, nach Stralsund und Rostock
gebracht, und die Güter dreigeteilt. Jorg habe dem entgegnet, dass die Hamburger
daran keine Schuld trügen, von den Ihren niemand an der Wegnahme beteiligt
gewesen sei und sie diese auch sonst auf keine Weise unterstützt hätten. Sie hätten
so keine Verpflichtungen gegenüber Anthonn und könnten durch Vertreter des
Zum Kontext wiederum die Darstellung in der „Dritten Fortsetzung der Detmar-Chronik, Erster
Theil“, in: Chroniken, Lübeck, 3, hier Nr. 1590, S. 418–419.
718
719
Wohl Graf Wilhelm VI. von Montfort zu Tettnang († um 1439), Sohn Wilhelms V.
720
König von Ungarn (seit 1387), römischer König (seit 1410/1411), Kaiser 1433–1437.
143 4 Ok tob er 19. o. O.
4 49
Lüneburger Rats bestätigen lassen, dass sie das Urteil des Hofgerichts befolgt und
ihre darin bestimmten Rechte gewahrt hätten. Dies sei auch von Bürgermeister
und Rat zu Lüneburg und den von ihnen dazu nach Hamburg entsandten Vertretern, Bürgermeister Niclaus Grunhagen und dem Ratsherrn Godekin Tzerstede bestätigt worden, wie diese auch in ihrem besiegelten Brief mitgeteilt hätten. Da die
Hamburger ihre vom Hofgericht erteilten Rechte gewahrt hätten, habe Jorg beantragt, sie von den Anklagen Antonns freizusprechen. Wilhelm habe daraufhin
nach Beratung mit den Herren und Rittern das Urteil gefällt, dass die Hamburger
von den Anklagen frei (der sache und czuspruche furbaz billich ledig) seien. Siegelankündigung des Hofgerichts. Geben czu Regenspurg des nechsten donrestags nach sant
Michels tag [1434].
Diplomatische Erörterung: A: Großes, stark nachgedunkeltes Pergament mit Faltung,
zahlreichen Feuchtigkeitsflecken und geringen Textausfällen, Plica mit dem Vermerk P[etrus] Wack[er] und dem an einem Pergamentstreifen befestigten Siegel
des Hofgerichts. Rückseite an mehreren Stellen mit Papier ausgebessert, rechts
der Buchstabe M. / C: Pergament, Doppelblatt (Text fol. 1r-2r), notariell beglaubigte Kopie von Albertus Oldehorst und Joachimus Jante, Notare kaiserlicher Autorität, von 1618 April 14, mit beiden Notarszeichen. Auf fol. 2v Kanzleivermerk
und die Alt-Signatur Nn.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. B 11 a. C = StAHH 710-1 I Threse I, Nr. B
11 b. D = Copiae Archivi [als B 11].
Erwähnung: Ballheimer, 4, S. 8.
450
1434 Oktober 19. o. O.
1434.10.19 — P 25
450
Bolo Hayana aus Simonswolde schwört Urfehde gegenüber der Stadt Hamburg, der Stadt Emden, dem Amtmann zu Emden sowie den Bürgern und Einwohnern
Bolo Hayana wohnhaft in Symͤ swolt721 in einem offenen Brief: schwört, der Stadt
Hamburg, ihren Bürgern, der Stadt Emden, ihrem Hauptmann oder Amtmann des
Schlosses, ihren Bürgern, Einwohnern und Kaufleuten nicht zu schaden und ihre
Feinde nicht zu stärken. Verspricht weiter, keine Vergeltung für den erlittenen
Schaden aus Emden zu der Zeit, als Dethloff Bremer, Ratsherr von Hamburg,722 Amtmann zu Emden war, zu üben oder üben zu lassen. Da Bolo selber kein Siegel führe,
721
Simonswolde, nordöstlich von Oldersum (nach Ostfriesisches UB).
722
Ratsherr seit 1431, Bürgermeister 1447–1464.
450
Regesten der Jahre 14 00 –14 4 0
Ankündigung der Siegel des Pfarrers und Prälaten, Herrn Dydericum, Abt zu Ile, und
von Wyard, Häuptling zu Uphusen. Int jaer unses Heren vyerteynhundert vyerundedertich, dess anderen daghes na sunte Luce ewangelisten dach.
Diplomatische Erörterung: Pergament mit Faltung und wenigen Feuchtigkeitsflecken,
Plica mit zwei breiten Pergamentstreifen zur Siegelanbringung, aber nur das
erste Siegel ist stark beschädigt erhalten. Rückseite vor allem rechts stark nachgedunkelt.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 25. D = Copiae Archivi.
Edition: Ostfriesisches UB 1, 438, S. 399–400.
451
1434 Oktober 27. o. O.
1434.10.27 — Ss 62 (2)
451
Lambert Wittenborch, Bürger zu Hamburg, macht bekannt, dass er sein neu errichtetes Haus am Pferdemarkt mit allem Zubehör für 135 m. dem Priester Werner Kusel, Vikar am Dom zu Hamburg, verkauft habe
Lambert Wittenborch, Bürger zu Hamburg, in einem offenen Brief: macht bekannt,
dass er sein Haus am Pferdemarkt (perdemarkede) im Kirchspiel St. Jacobi zwischen
den Häusern Juriges Hoenow und Hermen Sasse neu habe bauen lassen, wie es auch
im Erbebuch (der stad erveboke) des Kirchspiels verzeichnet sei. Bekennt, mit Zustimmung seiner Erben und Freunde und besonders seines Schwiegersohnes Hynrik Twedorp das Haus mit allem Zubehör dem Priester Werner Kusel, Vikar im Dom
zu Hamburg,723 verkauft zu haben für 135 m. Hynrik Twedorp bestätigt, dass der
Verkauf mit seiner Zustimmung zustanden gekommen sei. Ankündigung der Siegel von Lambert Wittenborch und Hynric Twedorp. Gegheven na Ghodes bord in deme
veerteynhu[n]dertsten unde veerundedrittichsten yare up den avend sunte Symonis unde
Jude der eerwerdighen apostele.
Diplomatische Erörterung: Pergament mit Faltung und wenigen Feuchtigkeitsflecken,
schmale Plica mit zwei an Pergamentstreifen angehängten Siegeln, das erste
stark beschädigt; am Rand neben dem Text jüngerer Vermerk: 135 m. Auf der
Rückseite Kanzleivermerke aus verschiedenen Zeiten, der älteste oben rechts:
Super empcionem domus ad vicariam etc. spectantis sub data 1434 anni diei Simonis et
Jude. Darüber jünger: Werner Küssel, darunter: Vicarius ad alt[are] ss. Cosmae et Damiani 1434, später ergänzt: Stadterbebuch eingeschrieben, dazu links ein verblasster
runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ss 62 (2).
723
Am Altar ss. Cosmae et Damiani, nach der späteren Notiz auf der Rückseite.
143 4 D ezemb er 23. o. O.
452
451
1434 Dezember 23. o. O.
1434.12.23 — Gg 61
452
Hinric Telman, Knappe, quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Hinric Telman, Knappe, in einem offenen Brief: quittiert den Bürgermeistern und
Ratsherren der Stadt Hamburg für Sold, Lösegeld, Schadenersatz und Kostgeld
während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Spricht
für sich und seine Erben Bürgermeister und Rat von Hamburg, ihre Bürger und
Einwohner von weiteren Forderungen frei. Siegelankündigung des Ausstellers. Na
der Ghebord Cristi veerteynhundert jar darna in dem xxxiiii[ten] jare des donredaghes vor
Winachten.
Diplomatische Erörterung: Pergament, im Siegel der Name Hinrik Theleman. Deperdi-
tum, Kriegsverlust [Auskunft des Archivs vom 25.10.2019].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 61. D = Copiae Archivi [verkürzt unter
Hinweis auf Gg 42, danach hier].
453
1435 Januar 17. o. O.
1435.01.17 — Gg 65
453
Reder Heye, Dyderik Knoke und Hans Bekeman quittieren Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während ihrer Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Reder Heye, Dyderik Knoke und Hans Bekeman in einem offenen Brief: quittieren den
Bürgermeistern und Ratsherren der Stadt Hamburg für Sold, Lösegeld, Schadenersatz und Kostgeld während ihrer Gefangenschaft in ihrem Dienst im Krieg gegen
Dänemark. Sprechen für sich und ihre Erben Bürgermeister und Rat von Hamburg,
ihre Bürger und Einwohner von weiteren Forderungen frei. Siegelankündigung
der drei Aussteller. Na der bord Cristi verteynhundert jar dar na in deme xxxv jare des
mandaghes vor sunte Fabiani unde Sebastiani daghe.
Diplomatische Erörterung: Pergament mit Faltung und zahlreichen Feuchtigkeitsfle-
cken, sehr breite Plica mit drei jeweils an einem Pergamentstreifen angehängten, relativ gut erhaltenen Siegeln. Auf der Rückseite Kanzleivermerk: Quitancie
Reder Heye, Diderick Knoke etc. 1435.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 65. D = Copiae Archivi.
454
1435 Februar 1. o. O.
1435.02.01 — Gg 63
454
Clawes Schulte quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Clawes Schulte in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren
der Stadt Hamburg für Sold, Lösegeld, Schadenersatz und Kostgeld während seiner
Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Spricht für sich und
seine Erben Bürgermeister und Rat von Hamburg, ihre Bürger und Einwohner von
weiteren Forderungen frei. Siegelankündigung. Na der gebord Cristi veerteynhundert
jar darna in deme vifundedruttigesten jare am dinxedaghe vor purificacionis Marie.
452
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergament mit Faltung und zahlreichen Feuchtigkeitsfle-
cken, vor allem entlang der rechten Faltung, mit kleineren Textverlusten, breite
Plica mit einem an einem Pergamentstreifen angehängten Siegel in einer Papiertasche. Auf der Rückseite Kanzleivermerk: Quitancia Clawes Schulten 1435.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 63. D = Copiae Archivi.
455
1435 Februar 5. o. O.
1435.02.05 — Gg 95
455
Hinrick Howyssch erklärt den Geschworenen von St. Katharinen und dem Rat von Hamburg Fehde
Hinrick Howyssch an die Geschworenen von St. Katharinen: sagt ihnen und dem Rat
von Hamburg Fehde an wegen des großen Schadens, den er nach seinem Wissen
um der Stadt Hamburg willen gehabt habe (vor derfliken schaden, den ik hebbe gehe
haͤd umme der stadt wyllen van Hamboͤrch so mͤ waͤl wytlich is). Ghescreven na Godes bord
dusend jar verhundert jar, darna an den vyfunddruttygesten jare. Siegelankündigung.
Ghescreven hylgen daghe sunte Agaten.
Diplomatische Erörterung: Kleines, nachgedunkeltes Papier mit Faltung und dem auf-
gedrückten Siegel unter dem Text, oben rechts modern die Jahreszahl 1435. Auf
der Rückseite rechts unten die moderne Signatur in Bleistift: Gg 95.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 95. D = Copiae Archivi.
Regest: Lehe, Fehden, S. 166 (mit Hinweis auf die weiteren Teilnehmer der Fehde).
456
1435 Februar 9. o. O.
1435.02.09 — P 26
456
Lyuppeko Sebana zu Reyde schwört Urfehde gegenüber der Stadt Hamburg, der Stadt Emden, dem Amtmann zu Emden sowie den Bürgern und Einwohnern
Lyuppeko Sebana zu Reyde in einem offenen Brief: schwört, der Stadt Hamburg,
ihren Bürgern, der Stadt Emden, ihrem Hauptmann oder Amtmann des Schlosses, ihren Bürgern, Einwohnern und Kaufleuten nicht zu schaden und ihre Feinde
nicht zu stärken. Verspricht weiter, keine Vergeltung für den erlittenen Schaden
aus Emden zu der Zeit, als Dethloff Bremer, Ratsherr von Hamburg,724 Amtmann zu
Emden war, zu üben oder üben zu lassen. Siegelankündigung Lyuppekos mit dem
Siegel seines verstorbenen Bruders Emke, dazu siegele auf seine Bitte Gherald Eggana. Zeugen: Johan Schulte, Vikar in Emden, Johan Glynsmoer und Beneko Buxstehude,
Bürger zu Emden. Int jaer unses Heren vyerteynhundert vyve unde dertich, dess daghes
vor sunte Scolastice virginis dach.
724
Ratsherr seit 1431, Bürgermeister 1447–1464.
1435 Februar 13. Meldor f.
453
Diplomatische Erörterung: Längliches, nachgedunkeltes Pergament mit Faltung, breite
Plica mit zwei an Pergamentstreifen befestigten Siegeln, das erste in einer Papiertasche, das zweite ebenfalls fragmentarisch erhalten. Rückseite mit einem
verblassten, runden Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 26.
Edition: Ostfriesisches UB 1, 440, S. 401 [verkürzt mit Hinweis auf Nr. 457].
457
1435 Februar 13. Meldorf.
1435.02.13 — O 4
457
Vogt, Schließer, Geschworene und die Gemeine des Kirchspiels zu Meldorf machen bekannt, dass sie mit Bürgermeistern, Rat und Gemeinheit der Stadt Hamburg um besonderen Nutzen und Frieden willen eine Vereinbarung geschlossen hätten, auf ewige Zeiten, in gleicher Weise wie Vogt, Schließer, Geschworene und Gemeinde der Kirchspiele Oldenswort, Weddingstedt, Hemmingstedt, Neuenkirchen, Lunden, Tellingstedt, Albersdorf, Nordhastedt sowie Clawes Hinrikes und Ecke Ricqwerd mit ihren Helfern
Vogt, Schließer, Geschworene (voged, slutere, sworen) und die ganze Gemeine des
Kirchspiels zu Meldorf in einem offenen Brief: machen bekannt, dass sie mit Bürgermeistern, Ratsherren, Bürgern, Einwohnern und ganzer Gemeinheit der Stadt
Hamburg um besonderen Nutzen und Frieden willen eine Vereinbarung (endracht
unde tohopesate) geschlossen hätten, auf ewige Zeiten, in gleicher Weise (ghelik
unde in aller mathe) wie Vogt, Schließer, Geschworene und ganze Gemeinde der
Kirchspiele Wöhrden, Weddingstedt, Hemmingstedt, Neuenkirchen, Lunden, Tellingstedt, Albersdorf, Nordhastedt (Oldenworde, Weddingstede, Hemmingstede, Nigenkerken, Lunden, Tellingstede, Alverstorpe, Nordherstede), sowie Clawes Hinrikes to deme
Suderdyke und Ecke Ricqwerd to Hemme mit ihren Helfern. Folgendes sei vereinbart:
[1.a.] Die Hamburger sollten auf der Elbe und in Dithmarschen zu Wasser und zu
Land mit ihren Schiffen und Gütern von den Meldorfern, ihren Erben und Nachfahren ungehindert und ungestört reisen können (schollen van uns, unsen erven und
nakomelingen velich unde ley[dic] wesen).
[1.b.] Wenn jemand dagegen verstoße und sie oder den gemeinen Kaufmann schädige, sollten Vogt, Schließer, Geschworene und ganze Gemeinde von Meldorf,
wenn sie von den Hamburgern darum gemahnt würden, mit ganzer Kraft dafür
eintreten, dass den Geschädigten entsprechend der Vereinbarungen ihr Schaden
ersetzt werde. Wenn man den Schuldigen nicht fassen könne, solle dies den Hamburgern mitgeteilt werden, damit man gemeinsam gegen den Schädiger vorgehen
könne. Wenn sich die Hamburger dafür in ihrem Lande aufhielten, wollten sie für
die Kosten aufkommen.
[1.c.] Was geistlichen und weltlichen Personen sowie ihren Gütern an Raub, Brand,
Totschlag, Verwundung und anderem Schaden geschehe oder geschehen sei, so im
Feldzug gegen Radeleves Kersten und seine Helfer im Juni und Juli 1434,725 an dem
die Hamburger teilnahmen, würden sie diesen mit ihren Helfern entschädigen.
Zum Kontext wiederum die Darstellung in der „Dritten Fortsetzung der Detmar-Chronik, Erster
Theil“, in: Chroniken, Lübeck, 3, hier Nr. 1590, S. 418–419.
725
45 4
Regesten der Jahre 14 00 –14 4 0
[2.] Zur Sicherheit für den gemeinen Kaufmann würden die Meldorfer, wenn sie
und ihre Helfer mit einigen Landen oder Städten in Fehde lägen oder künftig kommen würden, ihre Feinde nicht auf der Elbe angreifen, so dass die Hamburger und
der gemeine Kaufmann nicht deshalb geschädigt würden. Wenn jemand aus ihrem
Land dagegen verstoße, sollten sie gemäß ihren Vereinbarungen vorgehen.
[3.] Würden sich ein oder mehrere Kirchspiele der Vereinbarung anschließen, sollten sie den Hamburgern, ihnen und ihren Unterstützern die Einhaltung dieser Urkunde geloben.
[4.] Die Vereinbarung solle keinen der anderen Verträge, die zwischen Hamburg,
den Meldorfern und den anderen Kirchspielen geschlossen worden seien, einschränken oder in Frage stellen.
Vogt, Schließer, Geschworene und das gesamte Kirchspiel sowie Clawes Hinrikes
und Ecke Ricqwerd geloben den Bürgermeistern, Ratsherren, Bürgern, Einwohnern, Untertanen von Hamburg sowie dem gemeinen Kaufmann die Einhaltung.
Siegelankündigung des Kirchspiels. Gheven to Meldorpe na Godes bord veerteynhundert
jar, dar na in deme vifundedruttigesten jare, des sondages na Scholastice virginis.
Diplomatische Erörterung: Großes Pergament mit vielen Feuchtigkeitsflecken und
kleineren Textausfällen, die Plica mit einem Einschnitt und einem Pergamentstreifen zur Befestigung des Siegels, restaurierte, sehr geringe Siegelreste liegen
bei. Auf dem Pergamentstreifen vorn der Vermerk: R[egistra]ta. Plica und Rückseite sind mit dickem Papier überklebt
Überlieferung: A = StAHH 710-1 I Threse I, Nr. O 4. D = Copiae Archivi.
Regest: HUB, 7, 1, 80, S. 42.
Erwähnung: Ballheimer, 4, S. 19.
458
1435 März 9. o. O.
1435.03.09 — Gg 64
458
Heyne van Schetzel und Clawes Honover quittieren Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während ihrer Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Heyne van Schetzel und Clawes Honover in einem offenen Brief: quittieren den Bürgermeistern und Ratsherren der Stadt Hamburg für Sold, Lösegeld, Schadenersatz
und Kostgeld während ihrer Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Sprechen für sich und ihre Erben Bürgermeister und Rat von Hamburg, ihre
Bürger und Einwohner von weiteren Forderungen frei. Siegelankündigung. Gegeven na Godes bord veerteynhundert darna in deme vifundedruttigesten jare des midwekens
na deme sondaghe Invocavit.
1435 April 4. Bratislava.
455
Diplomatische Erörterung: Pergament mit Faltung, einigen Feuchtigkeitsflecken und
Löchern, vor allem entlang der Faltlinien, sowie mit kleineren Textverlusten,
breite Plica mit zwei Pergamentstreifen zur Siegelanbringung, die Siegel fehlen.
Auf der Rückseite Kanzleivermerk: Quitancia Heyne van Schetzel un[de] Clawes Honover 1435.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 64. D = Copiae Archivi [verkürzt mit
Hinweis auf Gg 45].
459
1435 April 4. Bratislava.
1435.04.04 — C 8 a und C 8 b
459
Kaiser Sigismund, König zu Ungarn, Böhmen, etc., gestattet Bürgermeistern, Rat und Bürgern Hamburgs die Prägung von Goldmünzen nach Vorbild der rheinischen Gulden und legt das Münzbild und die Umschrift fest
Kaiser Sigismund, König zu Ungarn, Böhmen, Dalmatien und Kroatien etc.,726 in
einem offenen Brief: macht bekannt, dass er den Bürgermeistern, Ratsherren und
Bürgern allgemein der Stadt Hamburg angesichts ihrer Treue und Verdienste für
das Reich wohlberaten und aufgrund kaiserlicher Macht das Privileg erteilt habe,
neben ihren Silbermünzen auch Goldmünzen nach Gewicht, Korn und Währung zu
prägen, wie sie von Kaisern, Königen und Kurfürsten mit den rheinischen Gulden
geschlagen würden. Die Vorderseite solle den Reichsapfel mit dem Kreuz zeigen,
dazu den Namen des jeweiligen Kaisers, die Rückseite den hl. Petrus stehend mit
der Umschrift: Moneta aurea Hamburgensis. Dazu sollten sie geeignete Münzmeister
und andere Amtsleute bestellen. Dieses Privileg solle auch gültig bleiben, wenn
der Kaiser andere Privilegien widerrufe. Ankündigung der goldenen Bulle. Geben
zu Prespurg in Hungern, nach Crist geburt vierzehenhundert jar und dornach im funffunddreissigisten jare, am nechsten mantag nach dem suntag Judica in der vasten, unser rich
des Hungerischen etc. im achtundviertzigsten, des Romischen im funffundzwentzigisten,
des Behemischen im funffzehenden, und des kaysertums im andern jaren.
Diplomatische Erörterung: A: Großes, etwas nachgedunkeltes Pergament mit Faltung,
breite Plica mit einer an zwei Schnüren befestigten, vergoldeten Silberbulle (mit
dem Majestätssiegel), mit Kanzleinotiz rechts: Ad mandatum domini imperatoris
Gaspar Sligk miles, cancellarius. Auf der teilweise mit Papier überklebten Rückseite
Vermerk: R[egistra]ta Marquardus Brisacher, darunter N. und r[egistra]ta g, rechts
unter in der Ecke erneut: g. / C: Vidimus des Lübecker Domkapitels von 1564
September 23, Notariatsinstument des Casparus Schrader, Notar päpstlicher und
726
König von Ungarn (seit 1387), römischer König (seit 1410/1411), Kaiser (1433–1437).
456
Regesten der Jahre 14 00 –14 4 0
kaiserlicher Autorität. Großes Pergament mit Faltung, Plica mit einem langen
Pergamentstreifen zur Anbringung eines Siegels, das Siegel fehlt. Auf der Rückseite verblasster Kanzleivermerk: […] 18 Novembris, No. 64.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. C 8 a. C = StAHH 710-1 I Threse I, Nr. C 8 b.
Edition: Lünig, S. 948; Klefeker, Sammlung, 12, S. 248; Reincke, Weg, 49, S. 139–140.
Regest: Schütze, 461, S. 368; Regesta Imperii XI, 2, 11078, S. 350.
Erwähnung: Ballheimer, 4, S. 20.
460
1435 April 5. o. O.
1435.04.05 — Cc 53
460
Johan Starke, Hamburger Bürger, schwört Urfehde wegen der Haft im Winserturm aufgrund seiner mangelnden Vernunft
Johan Starke, Hamburger Bürger, in einem offenen Brief: bekennt, dass er freiwillig und in der besten Weise für sich, seine Erben und Unterstützer Urfehde geschworen habe (dat ik hebbe ghedan und do ene rechte, waraftige und witlike orveyde
[…]) gegenüber den Bürgermeistern, Ratsherren zu Hamburg, ihren Bürgern, Einwohnern, Untersassen und Dienern. Dies betreffe seine Haft im Winserturm (Winseren Torne) wegen mangelnder Vernunft (ume broksamicheit willen myner vernunft),
so dass viel Übles hätte entstehen können, wenn ihn die Haft nicht davor bewahrt
hätte, die so zu seinem Besten geschehen sei, wie er nach Wiedergewinnung seiner Sinne verstanden habe. Daher habe ihn der Rat um seine Bitte und die seiner
Verwandten willen freigelassen. Würde er nach dieser Tat aber eine weitere, böse
Unredlichkeit begehen, solle er mit seinen Gütern, denen seiner Frau und seiner
Kinder dafür bürgen oder wieder in den Turm gehen und von Gnade des Rates
dort bleiben. Er solle dabei keine Hilfe von seinen Verwandten und Freunden bekommen. Johan gelobt für sich, seine Erben und Unterstützer die Einhaltung der
Zusagen. Den Rat von Hamburg, die Einwohner, Untersassen und Diener werde er
unter keinem Vorwand schädigen oder schädigen lassen, weder zu Lande noch zu
Wasser. Siegelankündigung. Ghegeven und screven na Godes bort dusent verhundert,
darna in deme vifunddrittigesten jare, des negesten dinxdages vor Palme sonndage.
Diplomatische Erörterung: Großes Pergament mit Faltung, etlichen Feuchtigkeitsfle-
cken und kleineren Textverlusten, Plica mit einem Einschnitt zur Anbringung
eines Siegels, Pergamentstreifen und Siegel fehlen jedoch. Auf der Rückseite der
kopfstehende Kanzleivermerk: Orveida Johannis Scharcke 1435, dazu jünger: [Die
Martis] a[nte] Palm[arum] sowie davor die Zahl 18).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 53.
1435 April 16. o. O.
461
457
1435 April 16. o. O.
1435.04.16 — O 38
461
Olaus Hinrik, Hasse Herding und Reyndes Hans geloben Bürgermeistern und Rat zu Hamburg, dass sich die freigelassenen Geiseln aus Büsum, Siwes Johans[sen], Johan van Dichusen, Teden Kersten, Kersten Tedensone und Kersten van Werven, bis Juni 4 wieder in Hamburg in derselben Herberge wie zuvor stellen würden
Olaus Hinrik, Hasse Herding und Reyndes Hans an die Bürgermeister und Ratsherren
der Stadt Hamburg: geloben dem Rat der Stadt Hamburg öffentlich, dass sich die
Geiseln aus Büsum Juni 4 (des sonnendaghes vor Pinxten neghest komende) wieder stellen würden, in derselben Herberge wie zuvor. Falls eine oder mehrere von den
drei Geiseln in der Zeit erkrankten oder stürben, sollten gleich gute Geiseln gestellt werden, die sich in der Stadt einfänden und von dort nur mit Erlaubnis des
Rats fortgingen. Falls die Geiseln Siwes Johans[sen], Johan van Dichusen, Teden Kersten, Kersten Tedensone und Kersten van Werven nicht wiederkämen oder sich an ihrer
Stelle nicht gleich gute Geiseln stellten, würden sich die Aussteller ihrerseits als
Geiseln stellen. Siegelankündigung der Aussteller. […] Ghegheven und screven na der
bort Christi unses Heren dusent cccc jar, darna an den xxxv jaren an Passche avende der
leven hilghen tid.
Diplomatische Erörterung: Nachgedunkeltes Pergament, oben mit Bleistift modern das
Jahr 1435, Plica mit drei an Pergamentstreifen angehängten, weitgehend erhaltenen Siegeln. Rückseite in der Mitte quer der Kanzleivermerk: [Ene] gelofte Olavi
Hinri[ks], Hans Herding[s], Reimers Hans 1437 [!], dazu ein verblasster runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. O 38. D = Copiae Archivi.
462
1435 Mai 20. Bremervörde.
1435.05.20 — Qq 64
462
Baldewinus, bestätigter Erzbischof von Bremen, beruft seinen Offizial Johannes Meynersen zu seinem Prokurator für die ihm von Papst Eugen IV. gewährten Privilegien sowie bei Propst, Dekan und Domkapitel zu Hamburg
Baldewinus, erwählter und bestätigter Erzbischof von Bremen,727 in einem offenen
Brief: macht bekannt, dass er seinen Offizial Johannes Meynersen zu seinem Prokurator (in nostrum […] procuratorem, actorem, factorem negotiorumque nostrorum gestorem ac nuncium specialem et generalem) berufen habe, vor allem in Bezug auf die ihm
von Papst Eugenius IV.728 gewährten Privilegien und für Propst, Dekan und Domkapitel zu Hamburg, die den päpstlichen Anweisungen folgen sollten. Das betreffe
insbesondere den Einzug des subsidium pro iocundo adventu nostro und die Ausstellung von Quittungen darüber. Johannes könne dafür auch Vertreter berufen und
wie der Erzbischof selbst handeln. Siegelankündigung. Datum in castro nostro Vordis
anno nativitatis domini millesimo quadringentesimotricesimoquinto die vero Veneris vicesima mensis Maii.
727
Balduin von Wenden, 1435–1441.
728
Papst 1431–1447.
458
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergament mit Faltung und kleineren Feuchtigkeitsfle-
cken, Plica mit einem an einem Pergamentstreifen befestigten Siegel in rotem
Wachs. Rückseite nachgedunkelt mit verschiedenen Kanzleivermerken oben in
der Mitte. Der älteste lautet: Litera Baldewini episcopi Bremensis super iocundo adventu obtentus a papa Eugenio et procuratorium ad recipiendum [huiusmodi] ab ecclesia
Brem[ensis]. Jünger dazu: Subsidium caritativum exposcens, weiter: 1435, unten: No.
14.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Qq 64. D = Copiae Archivi.
463
1435 Juni 1. [Hamburg].
1435.06.01 — O 46 [1]
463
Der Notar Hinricus Leddinghusen bezeugt, dass Wyneke van dem Haghen und sein gleichnamiger Sohn dem Kanoniker Hinricus Bothel, Paulus de Berssen, summus vicarius am Dom, und Eghardus Cluver, Pfarrherr in Hennstedt in Dithmarschen als Testamentsvollstreckern des Johannes Prutze, einst ewiger Vikar an St. Johannis in Meldorf, für 150 m. 10 m. jährlicher Rente verkauft hätten, die Wyneke senior aus dem Erbe des verstorbenen Hamburgers Johannes Scroder erworben habe
Notariatsinstrument des Hinricus Leddinghusen. Bezeugt, dass vor ihm Wyneke van
dem Haghen senior und sein legitimer Sohn Wyneke van dem Haghen iunior bekannt
hätten, von dem Kanoniker Hinricus Bothel,729 Paulus de Berssen, summus vicarius am
Dom, und Eghardus Cluver, Pfarrherr in Hennstedt (Hanstede) in Dithmarschen, den
Testamentsvollstreckern des Johannes Prutze, einst ewiger Vikar an der Pfarrkirche
St. Johannis in Meldorf, in gutem Geld 150 m. lüb. erhalten hätten. Wyneke und
Wyneke würden das Geld zum eigenen Nutzen verwenden und dafür 10 m. jährlicher Rente verkaufen, die Wyneke senior aus dem Erbe des verstorbenen Hamburger Bürgers Johannes Scroder erworben habe, wie das im Stadtbuch Hamburgs gewohnheitsmäßig eingetragen worden sei. Die 10 m. seien zu Michaelis (September
29) und innerhalb von acht Tagen nach Ostern vom am Hopfenmarkt (apud forum
humuli) gelegenen Erbe zu zahlen, das sich zwischen den Erben von Johannes Enghusen und Johannes bynt den Pagen befinde. Wyneke und Wyneke hätten zugesichert,
Hinricus, Paulus und die von ihnen Beauftragten in Besitz dieser Rente zu setzen
und verzichteten mit Zahlung der 150 m. auf alle Ansprüche. Die Testamentsvollstrecker und die Verkäufer der Rente hätten die Ausfertigung eines Notariatsinstruments durch den Notar angeordnet. Acta sunt hec in dicto opido, in curia canonicali
prefati domini Hinrici, in aula estivali, anno, indictione, mense, die, hora et pontificatu premissis. – In nomine domini amen. Anno a nativitate eiusdem millesimo quadringentesimo
tricesimo quinto, indiccione terciadecima, die vero prima mensis Junii, hora vesperarum
vel quasi, pontificatus sanctissimi in Christo patris et domini nostri, domini Eugenii, divina
providentia pape quarti, anno quinto. Zeugen: die ewigen Vikare Hinricus de Northem,
am Dom, Johannes Bodeker an St. Katharinen sowie der Hamburger Bürger Nicolaus
Band.
729
Belegt seit 1432.
1435 Juni 3. Hamburg.
459
Diplomatische Erörterung: Notariatsinstrument des Hinricus Leddinghusen, Kleriker
der Verdener Diözese, Notar kaiserlichen Rechts, mit seinem Notarszeichen.
Großes Pergament mit Faltung, einigen Feuchtigkeitsflecken, einem größeren
Loch, Abrissen an den Ecken rechts oben und unten, einigen nachgedunkelten
Stellen und Textausfällen. Darüber modern: Johannis Prutzen Testamentaria Dispositio. 1435, links am Rand zwei Notizen: 1435, und etwa in der Mitte neben Unterstreichungen im Text: in libro civitatis Hamburg. Auf der Rückseite findet sich
unten Nr. 495, von 1436 August 26, sowie rechts unten die moderne Signatur in
Bleistift: O 46.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. O 46 [1]. D = Copiae Archivi.
464
1435 Juni 3. Hamburg.
1435.06.03 — O 36 b
464
Clawes Hinrikes und Hans Heeringes, Grundbesitzer im Kirchspiel Wesselburen, geloben Bürgermeister und Rat zu Hamburg, dass sich die freigelassenen Geiseln aus Büsum, Witte Clawes, Cruse Johan, Ede Johan, Laans Reymer, Metteken Sulvesson Theeden und Kerstens Theeden, bis Juli 25 wieder in Hamburg stellen würden
Clawes Hinrikes und Hans Heeringes, wohnhaft und Grundbesitzer in Dithmarschen
im Kirchspiel Wesselburen (Weslingburen) in einem offenen Brief: machen bekannt,
dass auf ihre Bitte und ihr Gelöbnis hin Bürgermeister und Ratsherren zu Hamburg die ihnen vom Kirchspiel Büsum gestellten Geiseln Witte Clawes, Cruse Johan,
Ede Johan, Laans Reymer, Metteken Sulvesson Theeden und Kerstens Theeden, von jetzt
bis Juli 25 (beth to sunthe Jacobs daghe) freigelassen hätten. Diese sollten sich aber
an Jacobi wieder in Hamburg in ihrer Herberge stellen und sich daraus nicht ohne
Wissen und Zustimmung des Rates wieder entfernen. Wenn jemand erkranke
oder sterbe, solle an seiner Stelle der nächste Verwandte nach Hamburg kommen.
Wenn sich keiner der auf Zeit Freigelassenen oder nur ein Teil von ihnen in Hamburg einfände, geloben Clawes und Hans sich zur selben Zeit, an Jacobi, als Geiseln
zu stellen. Wenn den Kaufleuten aber zu Büsum bis Jacobi in Freundschaft etwas
von ihrem Schaden ersetzt werde (quemet aver, dat dem kopman bynnen der tijd ichteswes to frundschop in wedderlegginghe sines schaden in demesulven kerspele to Busen
weddervore), hofften sie, dass ihnen der Rat die Frist verlängere. Sie geloben die
Einhaltung. Siegelankündigung der Aussteller. Gheven to Hamborgh na Godes bord
veerteynhundert jar, darna in deme vifundedruttigesten jare des neghesten vrigdaghes vor
Pinxten.
Diplomatische Erörterung: Größeres, etwas nachgedunkeltes Pergament mit Faltung,
breite Plica mit zwei an Pergamentstreifen angehängten, nur teilweise erhaltenen Siegeln. Rückseite mit einem zeitgenössischen Kanzleivermerk: Ene gelofte
Clawes Hinr[ikes] un[de] Hans Heringes 1435. Dazu links unten runder Stempel mit
kyrillischen Buchstaben, rechts unten die moderne Signatur mit Bleistift: O 36 b.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. O 36 b. D = Copiae Archivi [bei O 36, verkürzte Wiedergabe].
4 60
465
Regesten der Jahre 14 00 –14 4 0
1435 Juni 4. o. O.
1435.06.04 — Ee 62
465
Radeleffs Kersten, Johan Clawesson Yebe, Rode Yebe Wyber, Johan Cruse, Brede Wolkeff, Wytte Clawes Johan und Tode Clawes auf der einen und Clawes Hinrikes, Bockholtes Cruse Johan, Ecke Rygwerd, Junge Boye Heryng, Danckerdes Johan, Kerstens Clawes, Hans uppe der Loe und Spretes Hans auf der anderen Seite beurkunden ihre Vereinbarung zur Beilegung der Konflikte in Dithmarschen
Radeleffs Kersten, Johan Clawesson Yebe, Rode Yebe Wyber, Johan Cruse, Brede Wolkeff,
Wytte Clawes Johan und Tode Clawes auf der einen und Clawes Hinrikes, Bockholtes Cruse
Johan, Ecke Rygwerd, Junge Boye Heryng, Danckerdes Johan, Kerstens Clawes, Hans uppe
der Loe und Spretes Hans, auf der anderen Seite,730 in einem offenen Brief: machen
bekannt, dass sie sich auf folgende Punkte geeinigt haben:
[1.] Kersten solle zusammen mit dem Schließer (slutere) zu Wesselburen, Ecke Johannes, dem Kirchspielmann 7 m. lüb. wiedergeben, die er ihnen letzten Winter
für sein Gut gegeben habe, das sie ihm wegen Aufsagung und Friedensbruch gepfändet hätten, zusammen mit einem Speer. Dieser solle dafür wiederum Bürgen
benennen, dass er sich einem Verfahren wegen der Aufsagung stellen werde.
[2.] Kersten, Yebe und ihre Partei von 14 Mann sollten für jeden, den sie aus der
Gegenpartei erschlagen (geslagen) hätten, innerhalb von sechs Wochen nach Ausstellung dieser Urkunde 100 m. lüb. zahlen.
[3.] In derselben Zeit sollten Clawes Hinrik, Cruse Johan, Ecke Rygwerd und ihre
Partei auf demselben Feld für die Erschlagenen unter den Helfern der anderen Seite jeweils 100 m. zahlen.
[4.] Vier Wochen, nachdem die Zahlung für die 15 Toten erfolgt sei, sollten für alle
Toten, die in Dithmarschen geboren wurden und dort Einwohner waren, auf demselben Feld wiederum jeweils 100 m. lüb. gezahlt werden.
[5.] Kersten, Yebe, Wiber und ihre Partei sollen zudem für die von ihnen erschlagenen deutschen Söldner (dudeschen knechte), wenn deren Zahl nach der mit den
Hamburgern besiegelten Urkunde bekannt sei oder in ihrer Gegenwart mündlich
von zwei oder drei Hamburger Ratsherren bestätigt werde, für ein Drittel jeweils
50 m. und für das zweite Drittel jeweils 100 m. zahlen. Das solle auf demselben Feld
und zu der Zeit geschehen, wenn sie das Erbe ihrer Toten verteilten (wan wy unse
doden undertwischen schiften).
[6.] Verletzungen (allen levendigen schaden) solle man nach Landrecht entschädigen.
[7.] Die Angelegenheit wegen des in der Kirche und auf dem Kirchhofe zu Neuenkirchen genommenen Harnisches (van des harnesches wegen) solle so bestehen
bleiben, wie auf der Tagfahrt vereinbart.
[8.] Die Entschädigungen für Raub, Aufbrechen von Kisten der Frauen (vrouw[enk]
isten upgebraken), schwere Verletzungen, Beraubung von Frauen und Kindern und
Zum Kontext wiederum die Darstellung in der „Dritten Fortsetzung der Detmar-Chronik, Erster
Theil“, in: Chroniken, Lübeck, 3, hier Nr. 1590, S. 418–419.
730
1435 Juli 1. o. O.
4 61
anderes sollten so erfolgen, wie sie durch die ersten 16 Schiedsleute für die Herstellung eines friedlichen Ausgleichs vereinbart worden seien.
[9.] Alle finanziellen Belastungen für Gefangene (alle schattinge), die bis zum Eingreifen der Hamburger in den Krieg eingefordert worden seien, sollten aufgehoben sein, mit Ausnahme vereinbarter Gelder (wes geschattet was to schulpe und
worchholte), die Cruse Johan, Clawes Hinrik, Ecke Rygwerd und ihre Helfer aus dem
letzten Krieg einfordern könnten. Für die Belastungen eingesetzte Pfänder sollten
ausgelöst werden. Wer auf dem Feldzug September 29 (to sunte Michaelis dage) belastet (bedwungen unde geschat) worden sei, als die Hamburger ins Land gekommen
seien, solle sich der Entscheidung der Schiedsleute aus den Räten von Lübeck und
Lüneburg stellen.
Für die beiden Parteien seien Radeleffs Kerstens und Bokeldes Cruse Johans gebeten worden, diese Vereinbarungen zu besiegeln. Die Urkunde sei zur getreuen Verwahrung an die Städte Lübeck und Lüneburg sowie an den Rat von Hamburg übergeben worden. […] Gegeven unde screven […] na der bord Christi dusent veerhundert, dar
na in deme vyff unde druttigesten jare in deme hilgen avende to Pinxten des werden festes.
Diplomatische Erörterung: Großes Pergament mit zahlreichen starken Feuchtigkeits-
flecken, Löchern und Textausfällen, Plica und Rückseite mit Papier überklebt.
Plica mit zwei teilweise restaurierten Pergamentstreifen, aber nur das erste
Siegel ist weitgehend erhalten. Rückseite mit zeitgenössischem, bei der Restaurierung freigelassenen Kanzleivermerk unten in der Mitte: Sone. Deghedinghe
twischen Radeleff Kerstens und partie van der veide in Ditmarschen. Anno domini 1435.
Davor b; dazu links oben, links unten und rechts oben jeweils ein runder Stempel
mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ee 62. D = Copiae Archivi [hier ergänzend
herangezogen, noch mit einer Umzeichnung beider Siegel].
Erwähnung: Ballheimer, 4, S. 19.
466
1435 Juli 1. o. O.
1435.07.01 — Gg 62
466
Hans Cok, anders geheten Righer, quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Rüstung, Schadenersatz und Kostgeld während seiner Gefangenschaft und Verwundung in ihrem Dienst im Krieg gegen Dänemark im Öresund
Hans Cok, anders geheten Righer, in einem offenen Brief: bekennt, dass aller Schaden
aus seiner im Dienste des Rates und der Bürger der Stadt Hamburg im Öresund
(Orssunde) von den Leuten des Königs von Dänemark731 erlittenen Gefangenschaft
und Verwundung sowie Lösegeld, Rüstung, Kostgeld, Sold und alles andere vom
731
Erik [VII.] von Pommern (1397/1412–1439).
4 62
Regesten der Jahre 14 00 –14 4 0
Rat bezahlt worden sei. Spricht für sich und seine Erben Rat, Bürger und Einwohner der Stadt Hamburg von weiteren Forderungen frei. Siegelankündigung. Na Godes bord verteinhundert jar darna in deme vifundedrittigesten jare an Unsser Leven Frouwen avende visitacionis.
Diplomatische Erörterung: Pergament mit Faltung, einigen Feuchtigkeitsflecken und
Einrissen im oberen Teil, breite Plica mit einem an einem Pergamentstreifen
angehängten, gut erhaltenen Siegel. Auf der Rückseite Kanzleivermerk, quer:
Quitancia Johannes Koke[sz] 1435, dazu links kaum erkennbarer runder Stempel
mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 62. D = Copiae Archivi.
467
1435 Juli 19. Hamburg.
1435.07.19 — O 36 a
467
Clawes Hinrikes und Hans Heeringes, Grundbesitzer im Kirchspiel Wesselburen, geloben Bürgermeister und Rat zu Hamburg, dass sich die freigelassenen Geiseln aus Büsum, Witte Clawes, Cruse Johan, Ede Johan, Laans Reymer, Metteken Sulvesson Theeden und Kerstens Theeden, bis September 29 wieder in Hamburg in derselben Herberge wie zuvor stellen würden, hoffen aber auf Fristverlängerung, wenn Schäden der Kaufleute zu Büsum ersetzt würden
Clawes Hinrikes und Hans Heringes, wohnhaft und Grundbesitzer in Dithmarschen
im Kirchspiel Wesselburen (Weslingburen) in einem offenen Brief: machen bekannt,
dass auf ihre Bitte und ihr Gelöbnis hin Bürgermeister und Ratsherren zu Hamburg
die ihnen vom Kirchspiel Büsum gestellten Geiseln Witte Clawes, Cruse Johan, Ede
Johan, Laans Reymer, Metteken Sulvesson Theeden und Kerstens Theeden, von jetzt bis
September 29 (to sunthe Michaelis daghe) freigelassen hätten. Diese sollten sich aber
an Michaelis wieder in Hamburg in ihrer Herberge stellen und sich daraus nicht
ohne Wissen und Zustimmung des Rates wieder entfernen. Wenn jemand erkranke
oder sterbe, solle an seiner Stelle der nächste Verwandte nach Hamburg kommen.
Wenn sich keiner der auf Zeit Freigelassenen oder nur ein Teil von ihnen in Hamburg einfände, geloben Clawes und Hans sich zur selben Zeit, an Michaelis, als Geiseln zu stellen. Wenn den Kaufleuten aber zu Büsum bis Michaelis in Freundschaft
etwas von ihrem Schaden ersetzt werde (quemet aver, dat dem kopman bynnen der
tijd ichteswes to frundschop in wedderlegginghe sines schaden indeme sulven kerspele to
Busen weddervore), hofften sie, dass ihnen der Rat die Frist verlängere. Sie geloben
die Einhaltung. Siegelankündigung der Aussteller. Gheven to Hamborgh na Godes bord
veerteynhundert jar, darna in deme vifundedruttigesten jare des neghesten dinxdaghes vor
sunthe Jacobs daghe des hilghen apostelen.
Diplomatische Erörterung: Pergament mit Faltung und der Jahreszahl 1435 modern in
Bleistift rechts oben, breitere Plica mit zwei an Pergamentstreifen angehängten
Siegeln, von denen das erste beschädigt, das zweite aber fast völlig zerstört ist.
1435 August 12 . Hamburg.
4 63
Rückseite mit einem zeitgenössischen Kanzleivermerk: Eyn gelofte van wegen Clawes Hinrikes unde Hans Heringes 1435, dazu links runder Stempel mit kyrillischen
Buchstaben, rechts unten die moderne Signatur mit Bleistift: O 36 a.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. O 36 a. D = Copiae Archivi [unter O 36].
468
1435 August 12. Hamburg.
1435.08.12 — O 37
468
Johannes Middelman, Propst zu Hamburg, bezeugt eine Vereinbarung zwischen Bürgermeistern und Rat zu Hamburg sowie Reymar Henson in Hemme, Stolte Tidemansson, Clawes to Vulverssen, Grote Herringhesson, Clawes to der Dorneword in Lunden, Widerik Bossen Clawesson uppe Jerrenwisch in Wesselburen, Clawes Krakenson, Bole to der Dorneword, Hamme Herder upp dem Kineker more in Marne, Vocke Johan und Tede Boyge zu Elpersbüttel, von Dithmarschen wegen der Schäden der Kaufleute entsandten Geiseln, über Freilassungen bis September 29
Johannes Middelman, Propst zu Hamburg,732 in einem offenen Brief: macht bekannt,
dass vor ihm erschienen seien Heyno tom Berghe,733 Johannes Wyge,734 Henricus Hoiger735 und Symon de Utrecht,736 Bürgermeister, und der gesamte Rat zu Hamburg auf
der einen und Reymar Henson in Hemme, Stolte Tidemansson, Clawes to Vulverssen,
Grote Herringhesson, Clawes to der Dorneword in Lunden, Widerik Bossen Clawesson uppe
Jerrenwisch in Wesselburen, Clawes Krakenson, Bole to der Dorneword, Hamme Herder
upp dem Kineker more in Marne, Vocke Johan und Tede Boyge zu Elpersbüttel (to Elversbuttelle) in Meldorf Gemeindemitglieder (parrochialibus ecclesiis parrochianis)
und Einwohner Dithmarschens, von den Dithmarschern entsandt als Geiseln (obsides) für einen Ausgleich wegen der Schäden, die die Kaufleute durch die Dithmarscher auf dem Meer und der Elbe bei der Fahrt nach und von Hamburg erlitten
hätten, auf der anderen Seite. Einige dieser Geiseln seien von Bürgermeister und
Ratsherren bis September 29 (usque ad festum sancti Michaelis archangeli) freigestellt
worden, um interne Konflikte in Dithmarschen, von denen sie berichtet hätten,
zu schlichten und so die Bezahlung der Entschädigungen für die Kaufleute zu beschleunigen. Wenn bis zu diesem Zeitpunkt keine hinreichende Entschädigung
geleistet oder eine andere Einigung mit Bürgermeistern und Ratsherren erfolgt
sei, sollten die Geiseln ohne weitere Aufforderung von diesen unverzüglich zurückkehren, sonst würden sie der Strafe für Meineid verfallen. Die Geiseln hätten
darauf mit erhobener Hand geschworen, dies einzuhalten, wenn sie nicht von Bürgermeistern und Ratsherren Gnade oder Gunst erhielten. Sie hätten auch vor dem
Notar versprochen, ihre Zusagen bei Strafe des Meineids einzuhalten, und auf alle
rechtlichen Schritte, geistlichen wie weltlichen Rechts, verzichtet. Der Propst habe
zum Zeugnis das vorliegende Notariatsinstrument anfertigen und mit seinem Sie732
Als Propst belegt 1433–1457.
733
Ratsherr seit 1396, Bürgermeister 1413–1451 († 1452).
734
Ratsherr seit 1407, Bürgermeister 1420–1438.
735
Ratsherr seit 1412, Bürgermeister 1417–1447.
736
Ratsherr seit 1425, Bürgermeister 1433–1437.
464
Regesten der Jahre 14 00 –14 4 0
gel bekräftigen lassen. Datum et actum Hamborgh in atrio dictorum proconsulum et consulum anno a nativitate domini millesimo quadringentesimo tricesimo quinto, indiccione
terciadecima, die vero duodecima mensis Augusti, hora terciarum vel quasi, pontificatus
sanctissimi in Christo patris et domini nostri, domini Eugenii divina providentia pape quarti anno quinto. Zeugen: Gherardus de Balghe, Dekan,737 Hinricus Bothel, Kanoniker,738
Paulus de Berssen, officialis prepositure und summus vicarius der Hamburger Kirche,
Nicolaus Roper, ewiger Vikar, Johannes Westval, Vizerektor in Weddingstedt, und der
Hamburger Bürger Johannes Willeboden.
Diplomatische Erörterung: Notariatsinstrument des Heinricus Leddinghusen, Kleriker
der Verdener Diözese, Notar kaiserlicher Autorität, mit seinem Notarszeichen.
Großes, dünnes Pergament mit Faltung und wenigen nachgedunkelten Stellen,
kleine Plica mit einem an einem Pergamentstreifen angehängten spitzovalen
Siegel in rotem Wachs. Rückseite rechts unten mit kreisrundem Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. O 37. D = Copiae Archivi.
469
1435 September 16. o. O.
1435.09.16 — Gg 67
469
Hans van Alvelde quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Hans van Alvelde in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren der Stadt Hamburg für Sold, Lösegeld, Schadenersatz und Kostgeld während
seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Spricht für sich
und seine Erben Bürgermeister und Rat von Hamburg, ihre Bürger und Einwohner
von weiteren Forderungen frei. Siegelankündigung. Na Godes bord dusent veerhundert jar darna in dem viffundruttigisten jare des neghesten vrydaghes na des hilghen cruces
daghe exaltacionis.
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken
vor allem entlang der senkrechten Faltungen, einem kleineren und einem größeren Ausriss sowie einigen Textverlusten, breite Plica mit einem an einem breiten Pergamentstreifen angehängten Siegel. Auf der Rückseite Kanzleivermerk:
Quitancia Johannis de Alvelde 1435.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 67. D = Copiae Archivi [verkürzt unter
Hinweis auf Gg 49].
737
Gherardus Balghe, Dekan 1421–1437.
738
Belegt seit 1432.
1435 Sep temb er 30. o. O.
470
4 65
1435 September 30. o. O.
1435.09.30 — W 44
470
Ulrik van Tzelle, Hamburger Bürger, verkauft ver Beke Waghens, Nonne in Harvestehude, für 45 m. 3 m. jährlicher Rente
Ulrik van Tzelle, Hamburger Bürger, in einem offenen Brief: macht bekannt, dass er
ver Beke Waghens, Nonne in Harvestehude (Herwerdeshuden), 3 m. jährlicher Rente in seinem Erbe im Kirchspiel St. Jacobi in der Niedernstraße (Nedernstrate) im
Haus von Make Mellinhusen, zwischen Hans Haulvort und Meyneke van Elren, für 45 m.
verkauft und aufgelassen habe, die er von ver Beke in guten Pfennigen zu seiner
Zufriedenheit erhalten habe. Diese Rente sollten die ersten Gelder sein, die von
den ihm im städtischen Rentenbuch zugeschriebenen, September 29 fälligen 5 m.
Rente eingingen. Jede m. sei für 15 m. wieder ablösbar. Ulrik erklärt, an den 3 m.
keinerlei Rechte mehr zu haben, die andere einfordern könnten. Ver Beke solle
die 3 m. auf Lebenszeit nutzen. Nach ihrem Tode sollten die 3 m. aber von Äbtissin, Priorin und dem gesamten Konvent zu Harvestehude für Kohlen und Küche
verwandt und keinesfalls anders genutzt werden, so dass der Propst des Klosters
keinen Zugriff auf die 3 m. habe. Siegelankündigung. Gheven na Ghodes brod [sic] in
deme veerteynhundertersten unde vyf unde drittichsten yare uppe den dach sunte Jeronimi
des hilghen presters.
Diplomatische Erörterung: Etwas nachgedunkeltes Pergament mit Faltung, schmale
Plica mit zwei kleinen Einrissen und einem Schlitz zur Anbringung eines Siegels,
aber Pergamentstreifen und Siegel fehlen.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. W 44. D = Copiae Archivi.
471
1435 November 10. o. O.
1435.11.10 — Cc 54
471
Titeke Hoyer de junge, Bürger zu Hamburg, schwört Urfehde für seine Haft im Turm wegen der bösen Worte und Untaten gegen seinen Schwiegervater
Titeke Hoyer de junge, Sohn Titeke Hoyers, Bürger zu Hamburg, in einem offenen
Brief: macht bekannt, dass er freiwillig und auf beste Weise für sich, seine Verwandten, geboren und ungeboren, und seine Unterstützer den Bürgermeistern,
Ratsherren zu Hamburg, ihren Bürgern, Einwohnern, Untersassen, Dienern und
Helfern Urfehde (ene rechte waraftige orveyde) geschworen habe. Das betreffe seine
Haft im Turm (dat ik in der vorbeno[mede]n heren torne und vorwaringen geseten hebbe) wegen der bösen Worte und Untaten, die er seinem Schwiegervater (an mynen
eliken vadere) zugefügt habe. Der Rat habe ihn jedoch auf Bitten seines Vaters (mynes vaders) und anderer Verwandten begnadigt, so dass er, seine Verwandten oder
andere für ihn wegen dieser Haft den Rat nie mehr schädigen würden, weder zu
Lande noch zu Wasser, an Leib oder Gut, sondern er werde die Hamburger unterstützen, wo er könne. Wenn er aber gegen seine Zusagen verstoße, mit Worten
oder Taten, insbesondere gegen seinen Schwiegervater, werde er in das Gefängnis
4 66
Regesten der Jahre 14 00 –14 4 0
zurückkehren, in dem er gesessen habe, und auf Gnaden des Rates zu Hamburg
dort bleiben. Siegelankündigung Titekes auch für seine Verwandten. […] Ghegeven
und screven […] na der bort Cristi dusent verhundert, darna in deme vif und drittigesten
jare in deme hilgen avende sunte Mertens.
Diplomatische Erörterung: Pergament mit Faltung und zahlreichen kleineren Feuch-
tigkeitsflecken, Plica mit einem Pergamentstreifen und geringen Resten des Siegels. Rückseite mit älterem Kanzleivermerk links unten: Orveida Titeken Hoyers de
Junge 1435, dazu jünger vesp. Martin[i] und davor Ziffer 17).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 54.
472
1435 November 25. o. O.
1435.11.25 — Gg 68
472
Peter Enghelsche quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Kostgeld und Schadenersatz während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Peter Enghelsche in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren der Stadt Hamburg für Sold, Lösegeld, Kostgeld und Schadenersatz während
seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Spricht für sich
und seine Erben Bürgermeister und Rat von Hamburg, ihre Bürger und Einwohner von weiteren Forderungen frei. Siegelankündigung. Na der bord Cristi veerteynhundert jar darna in deme vifundedruttigesten jare in sunte Katherine daghe der hillighen
juncfrouwen.
Diplomatische Erörterung: Pergament mit Faltung, starken Feuchtigkeitsflecken vor
allem entlang der Faltlinien und am rechten Rand mit daraus resultierenden
Textverlusten, Plica mit einem an einem Pergamentstreifen angehängten Siegel in einer Papierhülle, links auf der Plica ein runder Stempel mit kyrillischen
Buchstaben. Auf der teilweise mit Papier überklebten Rückseite Kanzleivermerk:
Quitancia Peter Engelsche. 1435.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 68. D = Copiae Archivi.
473
1435 November 29. o. O.
1435.11.29 — Gg 69
473
Hans Cordes quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Kostgeld und Schadenersatz während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Hans Cordes in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren
der Stadt Hamburg für Sold, Lösegeld, Kostgeld und Schadenersatz während seiner
Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Spricht für sich und
seine Erben Bürgermeister und Rat von Hamburg, ihre Bürger und Einwohner von
weiteren Forderungen frei. Siegelankündigung. Na Godes bord dusent veerhundert jar
darna in deme vyffundruttigesten jare in sunthe Andreas avende des hilgen apostels.
1435 D ezemb er 5. [Hamburg ].
4 67
Diplomatische Erörterung: Kleineres Pergament mit Faltung, starken Feuchtigkeitsfle-
cken vor allem entlang der rechten Faltung, Löchern und im oberen Teil mit daraus resultierenden Textverlusten, Plica mit einem an einem Pergamentstreifen
angehängten Siegel in einer Papierhülle. Auf der mit dünnem Papier überklebten Rückseite oben Kanzleivermerk: Quitancia Johannis Cordis. 1435.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 69. D = Copiae Archivi [verkürzt unter
Hinweis auf Gg 68].
474
1435 Dezember 5. [Hamburg].
1435.12.05 — Tt 29
474
Hans Worm, Bürger zu Hamburg, verkauft 6 m. Renten, die er in vier Buden im Kirchspiel St. Jacobi habe und ihm im städtischen Rentenbuch zugeschrieben seien, an Dekan und Domkapitel zu Hamburg, zum Nutzen zwei ewiger Vikarien an St. Petri, gegen Besitz zu Hammerbrook und Kapital von 10 m.
Hans Worm, Bürger zu Hamburg, in einem offenen Brief: macht bekannt, dass er
in vier Buden, die nebeneinander im Kirchspiel St. Jacobi liegen, zwischen den
Buden des Henneke Schillinghes und groten Clawes 6 m. jährlicher Rente habe, die
ihm im städtischen Rentenbuch zu St. Jacobi zugeschrieben seien. Die Bewohner
seien zurzeit Clawes Byleveld, Kersten Brokkehovet, Langhe Hans, de tymmerman, und
Merten Bremer. Jeder von ihnen zahle jährlich 24 sol. Rente. Er habe nun mit Willen
seiner Erben und insbesondere mit Zustimmung Hynriks van Hotlem, dessen Vater
der Bruder seiner Mutter gewesen sei, und seines Schwagers Meyneke Radbrokes,
die 6 m. Rente an Dekan und Domkapitel zu Hamburg verkauft, zum Nutzen zwei
ewiger Vikarien an St. Petri, die zurzeit die Priester Volkmar Boleman und Johan Leddinghusen innehätten, am Altar St. Johannes des Evangelisten. Diese 6 m. könnten
die Inhaber der Vikarien alle Jahre zu Ostern von den Besitzern der Buden einfordern. Für diese 6 m. Rente hätten ihm die Deichgeschworenen zu Hammerbrook
wiederum aufgelassen einen Hof und 2 Morgen Landes, zwischen dem Besitz von
Helmoldus Medyngh und der Witwe von Mathies Steen, mit dem Recht von Friede
und Bann (vrede unde ban), wie es dort im Lande üblich sei. Zudem hätten Volkmar
und Johan ihm 10 m. gegeben, die er zu seiner Genüge empfangen habe. Hynric
van Hotlem und Meyneke Ratbroek bekennen zugleich, dass der Verkauf der 6 m.
Rente für den Hof, die 2 Morgen Landes und die 10 m. mit ihrer Zustimmung geschehen sei. Siegelankündigung von Hans Worm, Hynric und Meyneke. Gegheven
na Ghodes bord in deme veerteynhundertsten unde vyf unde drittichsten yare up den avend
sunte Nicolaus des eerwerdighen bisschoppes.
4 68
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Großes Pergament mit Faltung und wenigen nachgedunkel-
ten Stellen, schmale Plica mit drei Pergamentstreifen zur Anbringung der Siegel,
von denen aber nur das zweite ganz, das erste teilweise erhalten ist. Rückseite
mit jüngerem, verblassten Kanzleivermerk: Ad altare S[anc]ti Johannis Evangeliste
in St. Petri. 1435, dazwischen späterer Nachtrag: 6 m. Rendte in der Stadt Rendtebuch.
Darunter mit Bleistift Ziffer: 311.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Tt 29. D = Copiae Archivi.
Erwähnung: Vollmers, Pfarreien, S. 477–478, 480.
475
1435 Dezember 6. o. O.
1435.12.06 — Gg 66
475
Peter Remstede quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Kostgeld und Schadenersatz während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Peter Remstede in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren der Stadt Hamburg für Sold, Lösegeld, Kostgeld und Schadenersatz während
seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Spricht für sich
und seine Erben Bürgermeister und Rat von Hamburg, ihre Bürger und Einwohner
von weiteren Forderungen frei. Siegelankündigung. Na der bord Cristi veerteynhundert jar darna in deme vifundedruttigesten jare in sunte Nicolai daghe, des hillighen bisschoppes.
Diplomatische Erörterung: Pergament mit Faltung, starken Feuchtigkeitsflecken vor al-
lem entlang der rechten Faltung und an der linken Seite, Löchern und daraus resultierenden größeren Textverlusten, breite, links oben etwas eingerissene Plica
mit einem an einem Pergamentstreifen angehängten Siegel in rotem Wachs. Auf
der Rückseite in der Mitte Kanzleivermerk: Quitancia Peter Remsteden 1435.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 66. D = Copiae Archivi [verkürzt unter
Hinweis auf Gg 68].
476
1436 Januar 13.
1436.01.13 — Rr 138
476
Gherardus, Dekan, und Domkapitel zu Hamburg machen bekannt, dass Theodoricus Strobelingh und Nicolaus Hamborgh, Kanoniker, sowie Johannes Lutteke, Vikar der Hamburger Kirche, als Testamentsvollstrecker von Johannes Werneri alias Gherbode, zu Lebzeiten Kanoniker und Kantor zu Hamburg, dessen letzte Verfügungen für verschiedene Memorienstiftungen umsetzen wollten, und stimmen der Umsetzung zu
Gherardus, Dekan, und Domkapitel der Hamburger Kirche in einem offenen Brief:
machen bekannt, dass vor ihnen Theodoricus Strobelingh739 und Nicolaus Hamborgh,
Kanoniker,740 sowie Johannes Lutteke, Vikar der Hamburger Kirche, als Exekutoren
739
Domherr 1404–1436, Kantor, 1432 Senior.
740
Belegt 1429–1439, 1437–1439 auch als Dekan.
1436 Januar 13.
4 69
des Testaments von Johannes Werneri alias Gherbode, zu Lebzeiten Kanoniker und
Kantor der Hamburger Kirche,741 erklärt hätten, dass sie die letzten Verfügungen
Johannes Werneris umsetzen wollten.
Michael Cruse, ebenfalls Vikar der Hamburger Kirche, Verteiler der Gelder für memoriae, habe dafür empfangen: [1.] 1 m. durch Hermen Hoyen und seine Bürgen, [2.]
2 pfd. durch Heyneke Hoyen und seine Bürgen, [3.] besiegelte Urkunden über 11 m.
8 sol. jährlicher Renten von Henricus de Monte, Bürgermeister Hamburgs und Provisor, sowie Henricus Wonstorp und Marquardus Speer, den Juraten der Gertrudenkapelle, [4.] 10 m. lüb., die Claws Hoye aus Neuengamme Johannes Werneri schuldig
gewesen sei und die die Testamentsvollstrecker in Renten umwandeln sollten.
Diese Gelder sollten künftig auf folgende Weise für die memoria verwandt werden:
[1.] Der Verteiler der Gelder solle künftig dem succentor (Unterkantor) zu seinem
Unterhalt jährlich zu Weihnachten 4 m. geben, dem structuarius (Werkmeister)
1 m.; [2.] der custos soll am Jahrestag des Verstorbenen 8 sol. erhalten, um bei den
Vigilien und Totenmessen die große Glocke zu läuten, [3.] die restlichen Einkünfte
sollte am Jahrestag, am Tag des hl. Lukas (Oktober 18), an die Kanoniker und Vikare
verteilt werden. Sollten die Renten ganz oder teilweise abgelöst werden, sollten
mit Zustimmung des Kapitels vom Geld neue Renten gekauft werden.
Dekan und Domkapitel erklären ihre Zustimmung zu den Regelungen. Siegelankündigung. Sub anno domini millesimoquadringentesimo trecesimosexto in octava Epiphanie domini.
Diplomatische Erörterung: Pergament mit Faltung und großer Initiale G, rechts oben
modern die Jahreszahl in Bleistift: 1436, Plica mit einer kleineren Naht und einem
Einschnitt rechts sowie einem Pergamentstreifen zur Siegelbefestigung, das
Siegel fehlt. Rückseite mit jüngerem Kanzleivermerk: Testament[um] Johan[nis]
Warneri.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Rr 138.
Edition: Staphorst, I, 2, S. 266–267.
Regest: Schütze, 462, S. 368.
Erwähnung: Vonderlage, Domkapitel, S. 90, 112.
741
Johannes Werneri alias dictus Gerbode, Kantor, belegt 1404–1436.
470
477
Regesten der Jahre 14 00 –14 4 0
1436 Januar 14. o. O.
1436.01.14 — Gg 72 b
477
Ludeke Gultzouw quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Kostgeld und Schadenersatz während seiner Gefangenschaft und Verwundung in ihrem Dienst im Krieg gegen Dänemark
Ludeke Gultzouw in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren der Stadt Hamburg für Sold, Kostgeld und Schadenersatz bei seiner Gefangenschaft und Verwundung in ihrem Dienst im Krieg gegen Dänemark. Spricht für sich
und seine Erben Bürgermeister, Ratsherren, Bürger, Einwohner und Untersassen
der Stadt Hamburg von weiteren Forderungen frei. Siegelankündigung. Gheven na
Godesbort verteinhundert jar darna in deme sesundedrutigesten jare an sunte Felicis daghe
des hilligen bichtigers.
Diplomatische Erörterung: Pergament mit Faltung und wenigen größeren Feuchtig-
keitsflecken rechts, breite Plica mit einem an einem Pergamentstreifen angehängten Siegel, dazu oben rechts die moderne Jahreszahl in Bleistift: 1436. Auf
der Rückseite in der Mitte jüngerer Kanzleivermerk: Quitan[cia] Ludken Gultzouwe,
darunter: x.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 72 b. D = Copiae Archivi.
Erwähnung: Ballheimer, 4, S. 20.
478
1436 Januar 15. Bremen.
1436.01.15 — Qq 65
478
Der Notar bezeugt eine Versammlung des Domkapitels zu Bremen und des Bremer Klerus, die einhellig Theodoricus Alphusen, ewigen Vikar der Bremer Kirche, zu ihrem Bevollmächtigen berufen hätten, um an Papst Eugen [IV.] oder das nächste allgemeine Konzil gegen Johannes Wegener, Kantor zu Schleswig, zu appellieren, der vorgebe, vom Basler Konzil zum Kollektor für den 20. Pfennig vom Klerus in der Diözese Bremen bestimmt worden zu sein
Notariatsinstrument. Der Notar bezeugt eine Versammlung des Domkapitels
zu Bremen und des Bremer Klerus, mit Hinricus, Abt des Benediktiner-Klosters
St. Pauli außerhalb der Mauern Bremens, Hermannus de Wersebe, zu Rüstringen
und Senior des Kapitels, Theodericus de Bersen, Thesaurar, Mauricius Marescalcus, zu
Ramelsloh, Johannes Hillingstede, zu Bücken (Buccensis), Johannes Hornersen, Kantor,
Hinricus Crampe, Scholastikus, Ortghisus Spade, zu Zeven (Tzevena), Johannes Welde,
Theodoricus Boller, Propst zu St. Willehad, und weiteren Kanonikern der Bremer Diözese, Theodoricus Wend, Dekan der Kirche von St. Willehad, und Reynerus Reytlocke,
Scholasticus und Senior von St. Anschar, zusammengerufen durch den Kämmerer der Bremer Kirche. In Gegenwart des Notars und der Zeugen hätten sie einhellig und auf die beste mögliche Weise Theodoricus Alphusen, ewigen Vikar der
Bremer Kirche, zu ihrem bevollmächtigen Vertreter (suum verum, certum, legitimum
et indubitatum sindicum, yconim[um], procuratorem, actorem, factorem negotiorumque
suorum gestorem et nuncium specialem et generalem) berufen. Er solle in Gegenwart
eines Notars und von Zeugen an Papst Eugen [IV.]742 und den apostolischen Stuhl
oder das nächste allgemeine Konzil gegen Johannes Wegener, Kantor zu Schleswig,
742
Papst 1431–1447.
1436 Januar 25. o. O.
47 1
appellieren, der vorgebe, vom heiligen Basler Konzil (per dictum consilium sacrum
ut asseritur) gegen die bisherigen Gewohnheiten und gegen die Ehre des Kapitels
zum Kollektor für den 20. Pfennig (vicesimi denarii) vom Klerus in Stadt und Diözese
Bremen bestimmt worden zu sein. Theodericus solle auf alle möglichen Weisen dagegen vorgehen und sich dem Schutz des Papstes unterstellen. Der Bremer Klerus
verspricht, alle von Theodoricus ausgehandelten Regelungen anzunehmen und
fest einzuhalten. Auf Bitten des Seniors Hermannus sei zudem ein Notariatsinstrument (publicum seu publica […] instrumentum seu instrumenta) über den Vorgang angefertigt worden. Acta sunt hec in loco capitulari hyemali ecclesie Bremensis, sub anno,
indictione, die, mense, hora et pontificatus quibus supra. – In nomine domini amen. Anno a
nativitate eiusdem millesimo quadringentesimotricesimo sexto, indictione quarta decima,
die vero decima quinta mensis Januarii, hora terciarum vel quasi, pontificatus sanctissimi
in Christo patris et domini nostri domini Eugenii divina providentia pape quarti anno quinto. Zeugen: Wernerus Scroder, Priester zu Lübeck, Theodoricus Nigenborch, Kämmerer
der Bremer Kirche, und Johannes Hesling, Kleriker der Bremer Kirche.
Diplomatische Erörterung: Notariatsinstrument des Elnerus Boyce, Kleriker der Bremer
Diözese, Notar kaiserlicher Autorität, mit seinem Notarszeichen. Großes, längliches Pergament mit Faltung, großer Initiale I und wenigen Feuchtigkeitsflecken.
Auf der unterschiedlich nachgedunkelten Rückseite rechts quer zeitgenössischer Kanzleivermerk: Instrumentum constituc[ionis] domini T[heodorici] Alfhusen
ad insinuandum appellacionem. Unten jüngerer Vermerk: Instrumentum notarii
super procuratorie a capitulo et clero Brem[ensis] dato Theoderico Alphusen Bremensis ecclesiae perpetuo vicario ad appellandum ad sedem apostolicam vel ad proximum
concilium generale contra Johann[em] Wegener cantorem Sleswicensem praetensum collectorem vicesimi denarii a toto clero per civitatem et provinciam Brem[ensis] ex decreto
consilii Basileense solvendi. Dat[um] Brem[ae] 1436 d[ie] 15 Januar[ii]. Rechts unten die
moderne Signatur in Bleistift: Qq 65.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Qq 65. D = Copiae Archivi.
479
1436 Januar 25. o. O.
1436.01.25 — O 18
479
Jacob Wedekens und Johan Stacies, Bürger zu Buxtehude, quittieren Bürgermeistern und Rat zu Hamburg für den Ersatz der in ihrem Dienste gegen die Dithmarscher erlittenen Schäden
Jacob Wedekens und Johan Stacies, Bürger zu Buxtehude, in einem offenen Brief:
quittieren den Bürgermeistern und Ratsherren der Stadt Hamburg für den Ersatz
der in ihrem Dienste gegen die Dithmarscher erlittenen Schäden, insbesondere
zweier Boote und anderer Güter. Sprechen für sich und ihre Erben Bürgermeister,
472
Regesten der Jahre 14 00 –14 4 0
Ratsherren, Bürger und Einwohner der Stadt Hamburg von weiteren Forderungen
frei. Siegelankündigung. Gheven na Godesbord dusent verhundert jar darna in deme sesundedrittigesten jare an sunte Pauli daghe conversionis.
Diplomatische Erörterung: Pergament mit Faltung und zahlreichen Feuchtigkeitsfle-
cken, Plica mit zwei jeweils an Pergamentstreifen anhängenden, relativ gut erhaltenen Siegeln. Auf der Rückseite rechts quer der Kanzleivermerk: Quitancia
Jacob Wedekens un[de] Johans Stacies 1436.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. O 18. D = Copiae Archivi.
480
1436 Januar 28. o. O.
1436.01.28 — Gg 71
480
Hinrik Syverdes quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Kostgeld und Schadenersatz während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Hinrik Syverdes in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren der Stadt Hamburg für Sold, Kostgeld und Schadenersatz während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Spricht für sich und seine
Erben Bürgermeister, Ratsherren, Bürger, Einwohner und Untersassen (undersaten) der Stadt Hamburg von weiteren Forderungen frei. Siegelankündigung. Gheven
na Godes bord dusent veerhundert darna in deme sesundedrutigesten jare des sonavendes
na sunte Pauli daghe conversionis.
Diplomatische Erörterung: Pergament mit Faltung und zahlreichen Feuchtigkeitsfle-
cken, Plica mit einem Pergamentstreifen, an dem ein sehr kleiner Siegelrest erhalten ist. Auf der Rückseite oben der Kanzleivermerk: Quitancia Hinrici Syverdes
1436, dazu runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 71. D = Copiae Archivi.
481
1436 Februar 6. o. O.
1436.02.06 — Gg 70
481
Make Hermens quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Make Hermens in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren
der Stadt Hamburg für Sold, Lösegeld, Schadenersatz und Kostgeld während seiner
Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Spricht für sich und
seine Erben Bürgermeister und Rat von Hamburg, ihre Bürger und Einwohner von
weiteren Forderungen frei. Siegelankündigung. Na der bord Cristi veerteynhundert jar
darna in deme sesundedruttigesten jare in sunte Dorothee daghe der hillighen juncfrouwen.
1436 Februar 6. o. O.
473
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken
vor allem entlang der Faltlinien und am linken Rand, in der Folge mit einigen
Textverlusten, Plica mit einem an einem Pergamentstreifen befestigten Siegel.
Auf der mit dünnem Papier überklebten Rückseite im Ausschnitt in der Mitte:
Quitancia Maken Hermens. 1436.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 70. D = Copiae Archivi [verkürzt unter
Hinweis auf Gg 68].
482
1436 Februar 6. o. O.
1436.02.06 — Gg 72
482
Gherlich Hoyger quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Kostgeld und Schadenersatz während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Gherlich Hoyger in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren der Stadt Hamburg für Sold, Lösegeld, Kostgeld und Schadenersatz während
seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Spricht für sich
und seine Erben Bürgermeister und Rat von Hamburg, ihre Bürger und Einwohner
von weiteren Forderungen frei. Siegelankündigung. Na der bord Cristi veerteynhundert jar darna in deme sesundedruttigesten jare in sunte Dorothee daghe der hillighen juncfrouwen.
Diplomatische Erörterung: Pergament mit Faltung und zahlreichen intensiven Feuch-
tigkeitsflecken, vor allem entlang der Faltlinien, und in der Folge mit einigen
Textverlusten, breite, an der rechten Faltung eingerissene Plica mit einem an einem Pergamentstreifen angehängten, schwer erkennbaren Siegel. Auf der Rückseite Kanzleivermerk: Quitancia Gerlich Hoygers 1436, dazu rechts runder Stempel
mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 72. D = Copiae Archivi [stark verkürzt
unter Hinweis auf Gg 68].
Erwähnung: Ballheimer, 4, S. 20.
483
1436 März 9. [Hamburg].
1436.03.09 — Rr 72
483
Gherardus, Dekan, und das Domkapitel zu Hamburg bezeugen eine Einigung zwischen Johannes Kust, Domherr zu Hamburg, als Prokurator von Johannes Rode, Domherr, sowie Magister Johannes Bennyn, ebenfalls Domherr, über die Nutzung der diesseits des Friedhofs von St. Petri gelegene, verfallene Domherrenkurie, für deren Übernahme Johannes Bennyn 150 m. zahlen und 100 m. für Reparaturen aufwenden solle
Gherardus, Dekan,743 und das ganze Domkapitel zu Hamburg, in einem offenen
Brief: machen bekannt, dass vor ihnen Johannes Kust,744 Domherr zu Hamburg und
Prokurator von Johannes Rode, Domherr ebenda,745 auf der einen, und Magister Jo-
743
Gherardus Balghe, Dekan 1421–1437.
744
Weiter belegt 1432–1447.
745
Domherr 1436, Dekan des Bremer Domkapitels 1475.
474
Regesten der Jahre 14 00 –14 4 0
hannes Bennyn, ebenfalls Domherr ebenda,746 für sich selbst, auf der anderen Seite
erschienen seien. Johannes Kust habe ausgeführt, dass die diesseits des Friedhofs
von St. Petri gelegene Domherrenkurie, zwischen den Kurien von Magister Johannes Clovewegghen747 und Johannes de Buren,748 die Magister Johannes Rode mit seiner Präbende übergeben worden sei, weitgehend verfallen sei (multum est ruinosa),
und es sei zu befürchten, dass er sie nicht reparieren wolle, so dass ein weiterer
Verfall drohe. Weil nicht abzusehen sei, dass Johannes Rode dort bald einziehen
werde, habe man sich, die Zustimmung des Kapitels vorausgesetzt, darauf geeinigt,
dass Johannes Bennyn die Kurie mit ihrem Zubehör zum nächsten Osterfest auf
Lebenszeit als Wohnung übernehmen solle. Dafür habe sich Johannes Bennyn bereit erklärt, Johannes Rode oder seinem Prokurator 150 m. zu zahlen, dazu weitere
100 m. für die Reparaturen (et ultra illas centum et quinquaginta alias centum marcas
pro eius reparacione). Die 150 m. sollten Johannes Rodes Nachfolger nach dessen
Tode, seine Testamentsvollstrecker oder andere Bevollmächtigten zurückzahlen.
Auf seine Bitten hätten Dekan und Kapitel die Vereinbarung gebilligt, unter der
Bedingung, dass Johannes Bennyn in der Kurie wohne und sie in gutem Zustand
erhalte. Ankündigung des Siegels der Hamburger Kirche. Datum anno domini millesimo quadringentesimo tricesimo sexto feria sexta ante dominicam qua cantatur Oculi mei.
Diplomatische Erörterung: Großes, stark nachgedunkeltes Pergament mit Faltung und
großen Feuchtigkeitsflecken sowie zerknitterten Stellen in der linken Hälfte, mit
daraus folgenden Textverlusten, Plica mit dem kleinen Rest eines Pergamentstreifens, das Siegel ist ab. Rückseite mit verschiedenen, teilweise kaum noch
lesbaren Vermerken, der älteste links quer: Litera super curia canonicali domini Johannis Bennyn circa cimiterium beati Petri. In der Mitte jünger: Affect briefen [super]
150 m. 1435. Curiam canonicalem [habet] Johannes Roden. Rechts quer, schwer lesbar:
[In ecclesia] Hamburgen[sis …] 10 m. [per] dominum Hermannum de Oste pro […] Martis
10 […] anno 70 etc. R[egistratur].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Rr 72. D = Copiae Archivi.
Erwähnung: Vonderlage, Domkapitel, S. 72, 108.
746
Als Domherr belegt seit 1436, als Dekan 1443–1463 († vor 1487).
747
Auch belegt 1432.
748
Belegt 1431–1444.
1436 Mär z 14. o. O.
484
475
1436 März 14. o. O.
1436.03.14 — O 19
484
Schließer, Geschworene und Gemeinde des Kirchspiels Büsum an Bürgermeister und Rat zu Hamburg: entsenden die gestellten Geiseln, Witteman Clawes und Ede Johan, die Schließer Starken Ighen Diderik, Boyen Velleff und andere gute Leute des Kirchspiels, Hebbeke Schele, Lubbeke Boye, Bruningh Clawer und Tebbe Jacob, um mit Hamburg eine Einigung über die Klagen gegen das Kirchspiel zu erreichen
Schließer, Geschworene und Gemeinde des Kirchspiels Büsum (slutere unde sworen
und menheyt unses kerspels to Buzen) an die Bürgermeister und Ratsherren der Stadt
Hamburg: sie seien sich mit dem Kirchspiel über einen Frieden in Beständigkeit
einig geworden und wollten mit ihnen und den Einwohnern Hamburgs Sühne und
Eintracht. Sie hätten dazu die gestellten Geiseln, Witteman Clawes und Ede Johan
ausgesandt, mit den Schließern Starken Ighen Diderik, Boyen Velleff und anderen guten Leuten des Kirchspiels, Hebbeke Schele, Lubbeke Boye, Bruningh Clawer und Tebbe
Jacob. Diese Sendeboten hätten sie für ihr Kirchspiel bevollmächtigt, wegen des
Harnischs und anderer Klagen gegen das Kirchspiel mit ihnen und ihrer Stadt zu
sprechen und eine Aussöhnung zu erreichen. Geloben die Einhaltung der Zusagen
und des von Starken Ighen Diderik und den anderen Sendeboten Ausgehandelten.
Ankündigung des Kirchspielsiegels. Screven […] na Ghades bort dusent verhundert in
dem sosundedortighesten jare des midwekens vor Midfasten.
Diplomatische Erörterung: Stark nachgedunkeltes Pergament mit Faltung und vielen
Feuchtigkeitsflecken, Plica mit einem an einem Pergamentstreifen befestigten,
beschädigten Siegel. Auf der Rückseite rechts ein runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. O 19. D = Copiae Archivi.
485
1436 März 25. o. O.
1436.03.25 — Ff 9 [1] und [2]
485
Conradus Deester, Vikar am Altar S. Matthiae in St. Nicolai, verkauft Bürgermeistern und Räten zu Hamburg und Lüneburg für 45 m. das Recht, die halbe Nacht in dem mittleren Wehr zwischen dem Hope und Kirchwerder zu fischen
Conradus Deester, Vikar am Altar S. Matthiae in St. Nicolai, in einem offenen Brief:
macht bekannt, dass er mit Zustimmung des Dekans Gherd749 und des gesamten
Kapitels der Hamburger Kirche den Bürgermeistern und Ratsherren der Städte
Hamburg und Lüneburg zu einem ewigen Erbekauf das Recht verkauft habe, die
halbe Nacht in dem mittleren Wehr zwischen dem Hope und Kirchwerder (Kerkwerdere) zu fischen (ene halve nacht echtwert to vischende […]), mit allen Rechten, wie
sie bisher zu seiner Vikarie gehört hätten, für 45 m. lüb., die er zum Nutzen seiner
Vikarie verwandt habe. Er verzichte für sich und seine Nachfolger auf alle weiteren
Forderungen an die Städte. Siegelankündigung des Conradus sowie von Dekan und
Domkapitel, die ihre Zustimmung erklären. Geven na Godes bord dusent veerhundert
in deme sosundedruttighesten jare, des sondaghes, alse men singet Judica in der hilligen
kerken.
749
Gherardus Balghe, Dekan 1421–1437.
476
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: A: Großes Pergament mit zahlreichen starken Feuchtig-
keitsflecken, vielen Löchern und massiven Textverlusten, Plica geöffnet, mit
zwei Schlitzen zur Anbringung von Siegeln, doch Pergamentstreifen und Siegel
fehlen. Rückseite mit dickem Papier überklebt, runder Stempel mit kyrillischen
Buchstaben. Dort war nach D1–D3 ursprünglich folgender Kanzleivermerk erkennbar: Litera recognicionis […] vendicionis medie […] cione […]. / C: Abschrift des
17. Jahrhunderts der Kopie einer Register-Überlieferung (des Liber emptionum
von 1485). / D1: Maschinenschriftliche Kopie mit Ergänzungen nach C in eckigen
Klammern, auf Grundlage von D2, dazu handschriftliches Regest. Papier, Doppelblatt, Text auf fol. 1r-v; auf fol. 1r oben runder Stempel mit kyrillischen Buchstaben, auf fol. 2v unten rechts die moderne Signatur mit Bleistift: Ff 9.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ff 9 [1]. C = StAHH 311-1 I 406 („Kopialbuch des Jürgen Rose“), S. 247–249. D1 = StAHH 710-1 I Threse I, Nr. Ff 9 [2]. D2, D3
= Copiae Archivi [jüngere handschriftliche Kopie mit Ergänzungen aus C; ältere
handschriftliche Kopie nur nach A].
486
1436 April 3. Hamburg.
1436.04.03 — O 6
486
Clawes Hinrikes to deme Suderdike, Bokels Kruse Johan, Hans Heringk und Reymers Hans geloben gegenüber Hamburg, dass alles, das aufgrund des Streits mit Radelev Kerstens und in diesem Zusammenhang geschehen sei, von ihnen ohne Klage, Fehde und Schädigung hingenommen werde
Clawes Hinrikes to deme Suderdike, Bokels Kruse Johan, Hans Heringk und Reymers Hans
in einem offenen Brief: machen bekannt, dass sie sich gegenüber Bürgermeistern,
Ratsherren, Bürgern, Einwohnern der Stadt Hamburg sowie ihren Untertanen, Erben und Nachfahren verpflichtet (vorplichtet unde vorwillekord) hätten wegen des
Streits (van der schicht wegen) mit Radelev Kerstens750 und alles, das wegen slachtinghe,
wundinghe edder ienigherleie wijs anders, von wem auch immer, geistlich wie weltlich,
geschehen sei, von ihnen ohne Klage, Fehde und Schädigung hingenommen werde
([dat] wy unde unsse hulpere und unsser alller erven se klaghelos, nodlos, [veidelos unde
gentsliken schadelos] willen unde scholen darvan holden unde benemen). Die Aussteller
geloben die Einhaltung. Siegelankündigung. Gheven to Hamborgh na Gades bord verteinhundert jar, [darna in deme sosundedrutti]gesten jare, des negesten dinghesdages vor
Paschen.
Diplomatische Erörterung: Größeres Pergament mit Faltung, einigen Feuchtigkeitsfle-
cken und kleineren Textverlusten, Plica mit vier an restaurierten Pergamentstreifen befestigten, teilweise beschädigten Siegeln (das zweite und das dritte
750
Zum Kontext wiederum die Darstellung in der „Dritten Fortsetzung der Detmar-Chronik, Erster
Theil“, in: Chroniken, Lübeck, 3, hier Nr. 1590, S. 418–419.
1436 April 24. o. O.
47 7
Siegel sind am besten erhalten). Auf der Rückseite in der Mitte der Vermerk:
Dütmers[c]hen. Unten: een loffte. 1436. Dazu der Buchstabe R und ein korrigiertes T,
weiter oben rechts ein runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. O 6. D = Copiae Archivi.
487
1436 April 24. o. O.
1436.04.24 — P 28
487
Detleff Bremer, Ratsherr zu Hamburg, zurzeit Bevollmächtigter in Emden, macht seine Einigung mit Hayge Grisingh bekannt, der Urfehde geschworen habe und sich von Emden fernhalten werde
Detleff Bremer, Ratsherr zu Hamburg,751 zurzeit Bevollmächtigter (vorwarer) in Emden, in einem offenen Brief: macht bekannt, dass er sich mit Hayge Grisingh in folgender Weise freundlich geeinigt habe:
[1.] Hayghe habe gegenüber den Hamburgern, den gemeinen Hansestädten und ihren Helfern (ere vrunde), ebenso gegenüber dem gemeinen Kaufmann, dem Hauptmann zu Emden und den Emdenern Urfehde geschworen (orveyde ghedan). Er werde sie weder an Leib noch an Gut schädigen.
[2.] Er werde dieses Jahr nicht näher an Emden als eine Meile wohnen, danach
könne er wohnen, wo er wolle.
[3.] Außerhalb Emdens könne er sich nach seinem Belieben ungestört bewegen,
solange er nichts gegen die Hamburger und Emdener unternehme.
Für die Einhaltung der Zusagen geloben als Bürgen Honne zu Hinte und Egge Federken zu Borsum, die für eventuelle Forderungen einstehen. Da die Bürgen keine
Siegel hätten, siegelten Ulbet, Kirchherr zu Emden, und Gherlt Egghena. Gheven unde
ghescreven na der bort Christi dusent veerhundert in deme sessundedruttigisten jare, des
neghesten dinxdaghes na sunte Juriens daghe, des hilleghen ridders etc.
Diplomatische Erörterung: Original-Zerter, Papier mit zwei aufgedrückten Siegeln, das
spitzovale Ulbets und die Hausmarke Gherlts. Deperditum, Kriegsverlust [Auskunft des Archivs vom 25.10.2019].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 28. D = Copiae Archivi.
Edition: Ostfriesisches UB, 1, 455, S. 415.
751
Ratsherr seit 1431, Bürgermeister 1447–1464.
478
488
Regesten der Jahre 14 00 –14 4 0
1436 Mai 11. [Hamburg].
1436.05.11 — Vv 23
488
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass Johannes Colman, Ratsherr der Stadt Lübeck, zur Besserung der geringen Einkünfte der Vikarie am Altar des hl. Matthias in St. Katharinen zu Hamburg Renten von 20 m. lüb. stiften wolle, nehmen die Renten unter kirchlichen Schutz und statten die Vikarie mit den zusätzlichen Mitteln aus
Gherardus, Dekan,752 und das gesamte Domkapitel zu Hamburg in einem offenen
Brief: machen bekannt, dass Johannes Colman, Ratsherr der Stadt Lübeck,753 erklärt
habe, dass er, angesichts der starken Verminderung der Renten und Einkünfte der
ewigen Vikarie, die Walterus Berchstede am Altar des hl. Matthias in St. Katharinen
zu Hamburg innehabe, durch Kriege, Sturmfluten und anderes, so dass sich Walterus nicht mehr davon ernähren könne, zugleich für Johanns Seelenheil, das seiner
Frau Alheidis und seiner Vorfahren sowie für die Vermehrung des Gottesdienstes,
20 m. lüb. an Renten stiften wolle. Davon kämen 10 m. von den Juraten von St. Katharinen, 5 m. vom Erbe des Titeke Blote in der neuen Bäckerstraße (in nova platea
pistorum) zwischen den Erben von Godekin Everslo und Johannes Holsten, sowie 5 m.
vom Erbe der Edelke, Witwe des Siffrid Kletze, zwischen den Erben von Heyno Eler
und Fridericus Munster, in der Katharinenstraße (in platea sancte Katherine). Johannes Colman stifte die nach den darüber ausgestellten Urkunden jährlich zu zahlenden Gelder für die Vermehrung der Einkünfte der Vikarie. Gemäß seinen Bitten
nehmen Dekan und Domkapitel die Renten unter kirchlichen Schutz und nutzen
sie für die Vikarie, deren Einkünfte nach der Angabe des Walterus 3 m. Silber nicht
übersteigen würden. Als Neustifter der Vikarie erhielten Johannes und seine Frau
Alheydis und ihre legitimen Nachfahren auf 100 Jahre das Präsentationsrecht. Siegelankündigung. Datum et actum in loco capittulari dicte nostre ecclesie anno a nativitate
domini millesimo quadringentesimo tricesimo sexto die vero Veneris undecima mensis Maii
hora terciarum vel quasi […].
Diplomatische Erörterung: Pergament mit Faltung, einigen größeren Feuchtigkeitsfle-
cken und kleinen Textverlusten entlang der Faltlinie, Plica in der Mitte zerknittert bzw. zerrissen, mit einem Schlitz zur Anbringung des Siegels, Pergamentstreifen und Siegel fehlen, wahrscheinlich ausgerissen. Rückseite rechts unten
mit dem Vermerk: Sancte Katherine. Augmentatio vicarie altaris sancti Matthie apostoli. R[egistra]ta folio vio. 1436,
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Vv 23. D = Copiae Archivi.
Erwähnung: Vollmers, Pfarreien, S. 597.
752
Gherardus Balghe, Dekan 1421–1437.
753
Ratsherr 1414–1416 und 1428–1454.
1436 Mai 24. [Hamburg ].
489
479
1436 Mai 24. [Hamburg].
1436.05.24 — R 21 (3) [1] und [2]
489
Die Vikare an St. Nicolai und St. Jacobi verkaufen Bürgermeistern und Räten zu Hamburg und Lüneburg ein Viertel des Rechts, in der Nacht am mittleren Wehr zwischen dem Hope und dem Kirchwerder zu fischen, für 22 ½ m. lüb.
Die Vikare an St. Nicolai und St. Jacobi in einen offenen Brief: machen bekannt,
dass sie mit Zustimmung des Dekans Gherd754 und des ganzen Domkapitels den Bürgermeistern und Ratsherren zu Hamburg und Lüneburg to enem ewighen ervekope
ein Viertel des Rechts verkauft hätten, in der Nacht am mittleren Wehr zwischen
dem Hope und dem Kirchwerder zu fischen, das zu ihren Memorien in den beiden
Kirchen gehört hätte und das ihre Vorgänger und sie lange genutzt hätten, für
22 ½ m. lüb., die sie vollständig empfangen hätten. Das Recht gehe damit an die
Räte der beiden Städte über, die wegen der Summe nicht gemahnt werden sollten. Siegelankündigung von Conradus van Rederen für die Vikare an St. Nicolai und
Wernerus Rodenborgh für die Vikare an St. Jacobi und ihre Nachfolger, dazu Siegelankündigung des Dekans Gherardus und des Kapitels, die damit ihre Zustimmung
erklärten. Na der bord Christi veerteynhundert jar, darna in deme sosundedruttigesten jar
am donnersdage negest vor Pinxten.
Diplomatische Erörterung: A: Pergament mit zahlreichen starken Feuchtigkeitsflecken,
vielen Löchern und massiven Textverlusten, Plica mit zwei angehängten Pergamentstreifen, an denen geringe Reste des zweiten Siegels in einer Kunststoffkapsel erhalten sind. Rückseite nach D1–D2 ursprünglich mit dem Buchstaben G. / C:
Abschrift des 17. Jahrhunderts der Kopie einer Register-Überlieferung (des Liber
emptionum von 1485). / D1: Maschinenschriftliche Kopie mit Ergänzungen nach
C in eckigen Klammern, dazu handschriftliches Regest. Papier, Text auf fol. 1r-v,
auf 1v Hinweis auf den rückseitigen Vermerk G.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. R 21 (3) [1]. C = StAHH 311-1 I 406 („Kopialbuch des Jürgen Rose“), S. 249–251 [danach hier]. D1 = StAHH 710-1 I Threse
I, Nr. R 21 (3) [2]. D2, D3 = Copiae Archivi [jüngere handschriftliche Kopie mit Ergänzungen aus C; ältere, sehr unvollständige handschriftliche Kopie nur nach A].
490
1436 Juni 11. Iglau.
1436.06.11 — B 20
490
Sigismund römischer Kaiser, König zu Ungarn, Böhmen etc., macht bekannt, dass die Klage Johann Geislers als Prokurator der kaiserlichen Kammer gegen die Städte Lübeck, Hamburg und Wismar wegen angeblicher Wegnahme von Habe und Gut des Anthonius Pauls Sun aus Antwerpen abgewiesen worden sei, weil keine Beweise vorgelegen hätten und Johann Geiseler auf dem Richttag nach 1436 Juni 3 nicht erschienen sei
Sigismund römischer Kaiser, König zu Ungarn, Böhmen, Dalmatien, Kroatien etc.,755
in einem offenen Brief: macht bekannt, dass der Prokurator seiner Kammer (unserer camer und fiscal procurator) Johann Geisler von seines Amtes wegen Bürgermeister, Ratsherren und Bürger der Städte Lübeck, Hamburg und Wismar vor ihm ver754
Gherardus Balghe, Dekan 1421–1437.
755
König von Ungarn (seit 1387), römischer König (seit 1410/1411), Kaiser (1433–1437).
4 80
Regesten der Jahre 14 00 –14 4 0
klagt hätte, weil ihre Söldner und Leute Anthonius Pauls Sun aus Antwerpen auf der
See Habe und Gut genommen haben sollten, wie Anthonius auch in seiner Klage
beim Kaiser vorgebracht habe. Darauf seien Lübeck, Hamburg und Wismar vorgeladen worden und hätten ihre Vertreter entsandt, um auf die Klage Johann Geislers
zu antworten. Dies sei 1435 Februar 9 (am Mitwochen nach sant Dorotheen tag) zu
Wien verhandelt worden, und Johann habe die Auflage bekommen, bis September 29 (in der czeit zwyschen sand Michels tag do nechstkomende) Beweise vorzulegen,
was er nicht getan habe, obwohl der Kaiser Herzog Wilhelm von Braunschweig
und Lüneburg756 den Auftrag gegeben habe, wegen Geislers und der Städte alle, die
man ihm nennen würde, zu verhören und das Ergebnis in besiegelten und notariell bestätigten Briefen mitzuteilen. Herzog Wilhelm habe aber geantwortet, wegen Johanns oder Antons habe sich niemand bei ihm gemeldet. Auf dem nächsten
Richttag nach 1436 Juni 3 (nach der heiligen dreyveltikeyt tage nechst vorgangen) seien
die Prokuratoren der drei Städte erschienen, nicht aber Johann Geiseler. Daher seien Lübeck, Hamburg und Wismar von der Klage Johanns freigesprochen worden.
Ankündigung des kaiserlichen Siegels. Geben zu Iglaw nach Crists geburt vierczehenhundert jar und dornach im sechsunddrissigisten jare, am sand Barnabas tag, unser riche
des Ungrischen etc. im fumffczigisten, des Romischen im XXVI[ten], des Behemischen im
XVI[ten] und des keysertumbs im vierden jaren.
Diplomatische Erörterung: Großes Pergament mit Faltung, wenigen Feuchtigkeitsfle-
cken und kleineren Textausfällen, Plica mit Kanzleivermerk: Ad mandatum domini
imperatoris d[atum] G[aspar Schlick] cancellario referente Petrus Kalde prepositus Northusen, und an restauriertem Pergamentstreifen anhängendem Siegel in rotem
Wachs. Rückseite mit dünnem Papier überklebt, in der Mitte in einem Ausschnitt
der Buchstabe N.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. B 20. D = Copiae Archivi.
Druck: UB der Stadt Lübeck, 7, DCCXXXIX, S. 671.
Regest: Regesta Imperii XI, 2, 11346, S. 369.
Erwähnung: Ballheimer, 4, S. 8.
Wilhelm (I.) († 1482), Herzog von Braunschweig-Lüneburg, regiert seit 1416, Fürst von Calenberg
1432–1473, dann von Braunschweig-Wolfenbüttel.
756
1436 Juni 17. o. O.
491
4 81
1436 Juni 17. o. O.
1436.06.17 — Ee 63
491
Radleves Maͤ s , Toden Clawes, Unrumes Hans, Stutten Tydemanus, Johan Krues, Junghe Ywer, Johan Clawesson Jebe, Brune Johan, Wyben Otte und alle ihre Helfer und Partei machen bekannt, dass sie sich mit Hinric Rapesulver, Bürgermeister, und Tymme Hadewerkes, Ratsherr zu Lübeck, Johan Schellepeper, Bürgermeister, und Johan Sprinkintgud, Ratsherr zu Lüneburg, sowie mit Bürgermeistern und Rat zu Hamburg wegen der Schäden, Fehde und Zwietracht, die zwischen ihnen geherrscht hätten, miteinander ausgesöhnt hätten
Radleves Maes, Toden Clawes, Unrumes Hans, Stutten Tydemanus, Johan Krues, Junghe
Ywer, Johan Clawesson Jebe, Brune Johan, Wyben Otte und alle ihre Helfer, Gesellschaft
und Partei in einem offenen Brief: machen bekannt, dass sie sich nach Verhandlungen mit Hinric Rapesulver, Bürgermeister,757 und Tymme Hadewerkes, Ratsherr zu
Lübeck,758 Johan Schellepeper, Bürgermeister, und Johan Sprinkintgud, Ratsherr zu Lüneburg, Ratssendeboten der beiden Städte, mit den Bürgermeistern und Ratsherren der Stadt Hamburg wegen der Schäden, Fehde und Zwietracht (schelinghe, veyde unde twidracht), die zwischen ihnen geherrscht hätten, miteinander ausgesöhnt
hätten. Was ihnen die Bürgermeister, Ratsherren, Bürger, Einwohner, Untertanen
und ihre Helfer, Knechte und Söldner angetan hätten, Lebenden wie Toten, Raub,
Brand, Totschlag, Verwundungen, Gefängnis sowie Behinderung und anderes, zu
Wasser und zu Lande, solle auf sich beruhen bleiben. Sie sprechen die Hamburger
und ihre Nachkommen frei von daraus erwachsenden Forderungen und künftigen
Mahnungen (qwyt, vrig, leddich unde los), auch im Namen ihrer Erben. Sie versprechen, den Kaufmann zu fördern und zu verteidigen, und wenn er von Vertretern
ihrer Partei (partye) geschädigt würde, würden sie ihm nach den von alters her
geltenden Privilegien zu seinem Recht verhelfen. Die Einigung solle auch die alten
Privilegien nicht beeinträchtigen. Die Aussteller geloben die feste Einhaltung der
Zusagen. Ankündigung des Siegels von Radeleff Mas sowie des Siegels der selschop
to Hemme unde Lunden für die anderen Aussteller, ihre Helfer und Erben. Gheven
na Godes bord veerteynhundert jar, darna in deme sesundedruttigesten jare des sondages
negest na sunte Viti daghe des hillighen mertelers.
Diplomatische Erörterung: Großes Pergament mit Faltung, zahlreichen starken Feuch-
tigkeitsflecken vor allem im Bereich des linken und rechten Randes, Löchern
und einigen Textausfällen, Plica mit zwei angehängten, partiell restaurierten
Pergamentstreifen, die Siegel fehlen jedoch bis auf einen kleinen Rest. Die Rückseite ist mit dünnem Papier überklebt, über dem ersten Pergamentstreifen der
Buchstabe [S] in einem Ausschnitt, darunter auf dem Streifen: R[egistra]ta. Dazu
links unten runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ee 63. D = Copiae Archivi.
757
Ratsherr 1406–1408 und 1416–1440.
758
Ratsherr 1428–1446.
4 82
492
Regesten der Jahre 14 00 –14 4 0
1436 Juni 23. o. O.
1436.06.23 — Gg 71 b
492
Hillewert Borging, Wilberst Borging sowie Clawes to der Borch, Brüder, schwören Urfehde
Hillewert Borging, Wilberst Borging sowie Clawes to der Borch, Brüder, in einem offenen Brief: machen bekannt, dass sie den Hamburgern und ihren Helfern (vrunden)
Urfehde geschworen hätten (vor orveydet unde orveyde ghe dan den van Hamborch),
so dass sie ihnen wegen der Ursache für die Gefangennahme von Clawes (umme de
dake willen dar Clawes umme gherovet is) und der Hinrichtung eines anderen Bruders
niemals mehr mit Rat und Tat schaden würden. Sie geloben die Einhaltung der Zusagen, ebenso gelobt dies Eppe Walsen, Häuptling zu Merk, für sich und seine Erben.
Sollten die Brüder dagegen verstoßen, würde er das Recht wahren. Siegelankündigung Eppes. Gheven unde ghescreven na der bord Christi dusentveerhundert in dem
sessundedruttigisten jare, des sonavendes up sunte Johannes avent Baptiste.
Diplomatische Erörterung: Pergament mit Faltung und wenigen nachgedunkelten Stel-
len, rechts oben die Jahreszahl in Bleistift: 1436, breite Plica mit einem an einem
Pergamentstreifen angehängten Siegel in einer Papierhülle. Rückseite mit kreisrundem Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 71 b.
Regest: Lehe, Fehden, S. 166.
493
1436 August 14. o. O.
1436.08.14 — P 61
493
Uko Ubben schwört Urfehde gegenüber Detlev Bremer, Amtmann zu Emden, seinen Nachfolgern sowie Hamburg und Emden
Uko Ubben in einem offenen Brief: bekennt, dass er Detlev Bremer, zurzeit Amtmann
zu Emden,759 Urfehde geleistet (hebbe ghedan orveyde) und für sich und seine Erben
geschworen habe, dass er wegen der Ursache für seine Gefangenschaft (dar ik tor
tyd umme ghetotovet unde ghesed was), aus der er durch Fürsprache von guten Leuten
freigekommen sei, die Hamburger, den Hauptmann zu Emden, seine Nachfolger,
die Emdener und ihre Helfer niemals schädigen, sondern denselben mit Leib und
Gut treu und hold sein (truwe unde holt to wesende) und weder mit Rat noch mit Tat
gegen sie vorgehen werde. Als Bürgen geloben Grote Dideke van Uphusen und Eme
van Valren mit gesamter Hand für die Einhaltung der Zusagen Ukes. Ankündigung
der Siegel von Johan Schulte und Wygert to Uphusen, da die Bürgen über kein Siegel
verfügten. Gheven unde ghescreven na der bord Christi dusent veerhundert in deme sessundedruttighesten jare des dinxdages up Unser Leven Vrouwen avent assumpcionis.
759
Ratsherr seit 1431, Bürgermeister 1447–1464.
1436 August 24. o. O.
4 83
Diplomatische Erörterung: Pergament mit Faltung und wenigen Feuchtigkeitsflecken,
breite Plica mit zwei jeweils an einem Pergamentstreifen angehängten, teilweise
beschädigten Siegeln; rechts auf der Plica verblasst die moderne Signatur in Bleistift: P 61. Auf der Rückseite in der Mitte jüngerer Kanzleivermerk: 1436.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 61. D = Copiae Archivi.
Regest: Ostfriesisches UB, 1, 459, S. 418.
494
1436 August 24. o. O.
1436.08.24 — P 27
494
Hero Ayldsenna zu Boecmora schwört Urfehde gegenüber Detlev Bremer, Amtmann zu Emden, seinen Nachfolgern sowie den Städten Hamburg und Emden
Hero Ayldsenna zu Boecmora in einem offenen Brief: macht bekannt, dass er Detlev
Bremer, zurzeit Amtmann zu Emden,760 Urfehde geschworen (vor orveydet unde orveyde ghe dan) und für sich und seine Erben gelobt habe, dass er wegen der Ursache
für seine Gefangenschaft (dar ik umme ghetovet unde upgheholden was) zu Emden die
Hamburger und ihre Kaufleute, den Hauptmann zu Emden, seine Nachfolger, die
Emdener, ihre Einwohner und Helfer niemals schädigen, sondern denselben mit
Leib und Gut treu und hold sein werde (truwe unde holt to wesende). Als Bürgen geloben Jeltke zu Mydlinge aus dem Overledingher Lande, Folrik Heuwen zu Steenvelde,
Ubba Hedden zu Nortmoer und Luppo Ubbens zu Wener für sich und ihre Erben mit
gesamter Hand, dass Hero seine Zusagen einhalten werde. Würde aber die Urfehde
auf irgendeine Weise gebrochen, würden dies die Bürgen vollständig ausgleichen.
Siegelankündigung Jeltkes, Folriks und Luppos zur Bekräftigung ihres Gelöbnisses.
Anstelle Ubbas, der kein Siegel führe, siegelt sein Pfarrherr (cureͤt), Cyrck zu Nortmora; für Hero siegelt Ewe, Pfarrherr zu Boecmora. Datum anno domini millesimo
quadringentesimo tricesimo sexto, ipso die Bartholomei apostoli.
Diplomatische Erörterung: Größeres, dünnes Pergament mit Faltung und wenigen
nachgedunkelten Stellen, breite Plica mit fünf an Pergamentstreifen angehängten, relativ gut erhaltenen Siegeln, die beiden letzten Siegel jedoch in Papiertaschen. Rückseite mit einer Ausbesserung, moderner Jahreszahl: 1436, und kreisrundem Stempel mit kyrillischen Buchstaben oben rechts.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 27. D = Copiae Archivi.
Regest: Ostfriesisches UB, 1, 460, S. 419.
760
Ratsherr seit 1431, Bürgermeister 1447–1464.
484
Regesten der Jahre 14 00 –14 4 0
495
1436 August 26. [Hamburg].
1436.08.26 — O 46 [2]
495
Der Notar Hinricus Leddinghusen bezeugt, dass Hinricus Bothel, Kanoniker, und Paulus de Berssen, summus vicarius am Dom zu Hamburg, sowie Eghardus Cluver, Propst der Nonnen zu Uetersen als Testamentsvollstrecker von Johannes Prutze, einst ewiger Vikar in Meldorf, bestimmt hätten, dass 10 m. jährlicher Renten für Marienhoren und die Heizung im Dom genutzt werden sollten
Notariatsinstrument des Hinricus Leddinghusen. Bezeugt, dass vor ihm Hinricus
Bothel, Kanoniker,761 und Paulus de Berssen, summus vicarius am Dom zu Hamburg,
sowie Eghardus Cluver, Propst der Nonnen zu Uetersen (Utersten), freiwillig erschienen seien und als Testamentsvollstrecker von Johannes Prutze, einst ewiger Vikar
in Meldorf, zu den 10 m. jährlicher Renten (wie sie rückseitig eingetragen seien
[retroscriptas]) erklärt hätten, dass davon 5 m. den Priestern gegeben werden sollten, die die Marienhoren im Dom zu Hamburg singen würden, und die weiteren
5 m. für Kohle und Holz bestimmt seien, die an den Altären für die Priester und zur
Erwärmung durch Hypokausten genutzt würden (ad carbones circa altaria pro presbiteris in eadem ecclesia Hamburgensis celebrantibus ardentes et ad ligna combustibilia
pro estuario ibidem calefaciendo), zum Seelenheil des Verstorbenen. Diese Einkünfte
seien den für die Horen zuständigen Priestern und den Verantwortlichen für die
Beschaffung von Kohlen und Holz ohne Widerspruch zu übertragen. Die Testamentsvollstrecker hätten dem Notar ausdrücklich versichert, dass die genannten
Regelungen fest eingehalten würden, und diese im vorliegenden Notariatsinstrument festhalten lassen. Acta sunt hec in in domo preprositure Hamburgensis in quadam camera superius, in qua [habet] dictus dominus Paulus […], anno, indictione, mense,
die, hora et pontificatu quibus supra. – In nomine domini amen. Anno a nativitate eiusdem
millesimo quadringentesimo tricesimo sexto, indiccione quartadecima, die vero vigesimasexta mensis Augusti, hora vesperarum vel quasi, pontificatus sanctissimi in Christo patris
et domini nostri, domini Eugenii, divina providentia pape quarti, anno sexto. Zeugen: die
ewigen Vikare Johannes Wadenkothe762 und Hinricus Buckeman.
Diplomatische Erörterung: Notariatsinstrument des Hinricus Leddinghusen, Kle-
riker der Verdener Diözese, Notar kaiserlichen Rechts, mit seinem Notarszeichen. Großes Pergament mit Faltung, einigen Feuchtigkeitsflecken, einem
größeren Loch, Abrissen an den Ecken links oben und unten, nachgedunkelten
Stellen sowie einigen Textausfällen. Darüber modern: Johannis Prutzen Dispositio Testamentaria. Die Rückseite enthält oben Nr. 463, von 1435 Juni 1.
Unter dem Text findet sich ein längerer Vermerk zur Aufteilung der 10 m. Renten auf Horen und Heizung. Ohne genauere Angaben wird dort auf den Ersatz
von Renten durch Conradus de Roma, einen Eintrag in den Registern der für die
761
Belegt seit 1432.
762
Als Stadtschreiber belegt 1416–1436.
1436 Novemb er 25. Got tor f.
4 85
Horen verantwortlichen Priester (prout patet in registris dominorum horas Beate Virginis) und ein weiteres darüber ausgestelltes Notariatsinstrument des Nicolaus
Roper verwiesen. Darüber modern: 1435 et 1436.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. O 46 [2]. D = Copiae Archivi.
496
1436 November 25. Gottorf.
1436.11.25 — Nn 23
496
Adolf [VIII.], Herzog von Schleswig, macht bekannt, dass er Dekan, Domkapitel zu Hamburg und seinem Kaplan Hinrick Schroder anders geheten Hundegel zum Nutzen einer Vikarie am Dom zu Hamburg, deren erster Besitzer Hinrick sein solle, 24 m. lüb. jährlicher Rente übertragen habe
Adolf (Alff) [VIII.], Herzog von Schleswig, Graf zu Holstein, Stormarn und Schauenburg,763 in einem offenen Brief: macht bekannt, dass er und seine Erben zu Ehren Gottes und Marias wohlberaten Gerd, dem Dekan, dem gesamten Kapitel zu
Hamburg und seinem Kaplan Hinrick Schroder anders geheten Hundegel zum Nutzen
der von ihm zu stiftenden Vikarie am Dom zu Hamburg, deren erster Besitzer
nach dem Stiftungsbrief Hinrick sein solle, 24 m. lüb. jährlicher Rente, zu zahlen
in Hamburg in den acht Tagen nach Martini (bynnen den achtedagen sunte Mertens,
November 11–18), übertragen hätten.764 Die Rente komme aus seinem Dorf und Gut
Wakendorf [II] (Wokendorp), gelegen im Kirchspiel Kaltenkirchen (Koldenkerken) in
der Propstei Hamburg. Von allen Einkünften aus dem Dorf und allen Rechten, von
Äckern, Wäldern, Wiesen, Mast, Diensten und Gerichtsbarkeit, sollten jedes Jahr
als erste Hinrick und seine Nachfolger die genannte Rente zum Nutzen der Vikarie erhalten. Sollte die Rente nicht eingehen, könnten Domkapitel und Vikar
die Summe pfänden und über das Pfand frei und ungehindert verfügen. Adolf und
seine Erben sagen zu, das Gut Wakendorf nicht weiter zu versetzen, verkaufen oder
verpfänden ohne Zustimmung Hinricks und seiner Nachfolger. Auch werde das Gut
und Dorf von allen anderen Ansprüchen freigehalten. Adolf behalte sich allerdings
für sich und seine Erben vor, alle Einkünfte und Rechte im Dorf frei zu nutzen, solange Hinrick und seine Nachfolger die jährlichen Renten erhielten, und auch die
24 m. Rente jährlich um Martini mit 300 m. und den offenen Rentenzahlungen ablösen zu können, sofern dies Dekan und Kapitel ein Jahr zuvor angekündigt werde.
Diese 300 m. sollten dann wieder zum Nutzen der Vikarie angelegt werden. Adolf
gelobt Dekan und Kapitel sowie Hinrick und seinen Nachfolgern für sich und seine Erben zusammen mit den Bürgen (medeloveren) die Einhaltung der Regelungen.
Borchart Krummedijk zu Hilgenstede, Johan Humersbuttel, Hans Pogwisch, Hinrick van
Bockholde, H[erme]n Nicolawesson und Vollart Heest, Knappen, machen bekannt, dass
Adolf VIII., Graf von Holstein und Stormarn (seit 1421), (als Adolf I.) Herzog von Schleswig (1427–
1459).
763
764
Die Urkunde von Dekan und Kapitel unten Nr. 499.
4 86
Regesten der Jahre 14 00 –14 4 0
sie als Bürgen für die Einhaltung der Zusagen des Herzogs gelobt haben. Siegelankündigung des Herzogs und der Bürgen. Geven up unsem slote Gottorpe na der bord
unses heren Cristi veerteynhundert jar, dar na in deme sosundedrittigesten jare am hilgen
dage sunte Katherinen der hochgeloveden werden junchfrowen.
Diplomatische Erörterung: Großes Pergament mit Faltung, breite Plica mit sechs je-
weils an schwarz-roten Schnüren befestigten, meist gut erhaltenen Siegeln.
Rückseite mit zwei Kanzleivermerken, ein zeitgenössischer rechts unten in Höhe
der Siegelbefestigung: Super 24 m. redditus in villa Wokendorpe in parrochia [K]oldenkerken ad vicariam beati Andree in ecclesia beate Marie Hamburgens[sis]. Darüber jünger in der Mitte: Ad vicariam beati Andree in [summo] ad altare Sancti Stephani. 1436.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Nn 23.
497
1436 Dezember 7. Hamburg.
1436.12.07 — Ss 63
497
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass Marquardus vam deme Glynde, Vikar, zur Besserung der geringen Einkünfte seiner Vikarie am Altar St. Laurentii am Dom zu Hamburg Renten von 22 m. stiften wolle, nehmen die Renten unter kirchlichen Schutz und statten die Vikarie mit den zusätzlichen Mitteln aus
Gherardus, Dekan,765 und das gesamte Domkapitel der Hamburger Kirche in einem
offenen Brief: machen bekannt, dass die ewige Vikarie am Altar St. Laurentii am
Dom, die nun Marquardus vam deme Glynde innehabe, durch Seuchen, Kriege und
Fluten so verminderte Einkünfte habe, dass davon kein Unterhalt mehr möglich
sei. Marquardus habe nun erklärt, zu seinem Seelenheil und dem seiner Vorfahren aus seinen eigenen, ihm von Gott gegebenen Gütern mit Zustimmung seiner
Verwandten zugunsten der Vikarie die folgenden Renten stiften zu wollen: 15 m.
Renten, im Rentebuch zu St. Nicolai (in libro civitatis Hamburgen[sis] de parrochia
Sancti Nicolai) verzeichnet, im Erbe des Ludolphus Poek am Rödingsmarkt (in der Rodynghesmarke) zwischen den Erben von Gherardus Sterneberch und Theodericus Nyenborch, und 7 m. Renten im Erbe des Wilkinus van deme Glinde in der Neuen Burg (in
platea Nyenborch) zwischen den Erben von Luderus Hanstede und Ludeke Hamelipin,
jede m. mit 15 m. ablösbar. Entsprechend der Bitten des Marquardus hätten Dekan
und Domkapitel die Renten zum Nutzen der genannten Vikarie unter kirchlichen
Schutz genommen. Als faktischem neuen Stifter hätten sie zudem Marquardus und
seinen jeweils ältesten Verwandten, männlich oder weiblich, auf 100 Jahre das Präsentationsrecht für die Vikarie übertragen. Der Vikar solle an den Memorien und
Einkünften (emolumenta) wie alle anderen Vikare teilhaben. Er solle neben bisher
von den ersten Geldern der Vikarie gezahlten 2 m. weitere 2 m. jedes Jahr am Vorabend von Nicolai (Dezember 5) für das Seelenheil der Eltern und Wohltäter des
765
Gherardus Balghe, Dekan 1421–1437.
1437 [o. T.]. Hamburg.
4 87
Marquardus und nach dessen Tod auch für ihn im Chor an die Geistlichen verteilen. Nach den 120 Jahren falle das Präsentationsrecht an das Kapitel zurück. Werde
etwas von den Renten abgelöst, solle das Geld mit Wissen und Rat des Kapitels
durch den Vikar in anderen Renten in der Stadt Hamburg oder außerhalb angelegt
werden. Zur Absicherung der Regelungen habe das Domkapitel ein Notariatsinstrument anfertigen lassen, dazu hätten neben dem Kapitel auch Marquardus, seine Mutter Beke Rovehaghen und sein Bruder Wilkinus van deme Glynde die Urkunde
mit ihren Siegeln bekräftigt. Datum et actum Hamborch in loco capitulari dicte ecclesie
nostre sub anno a nativitate domini millesimo quadringentesimotricesimosexto, indictione
quartadecima, die vero septima mensis Decembris hora tertiarum vel quasi, pontificatus
sanctissimi in Christo patris et domini nostri, domini Eugenii divina providentia pape quarti
anno sexto. Zeugen: Wernerus Kusel,766 Johannes de Tzeven767 und Hynricus Leddinghusen, ewige Vikare der Hamburger Kirche.
Diplomatische Erörterung: Notariatsinstrument des Cristianus Zoltow, Kleriker der Min-
dener Diözese, Notar kaiserlicher Autorität, mit seinem Notarszeichen. Großes
Pergament mit Faltung, einigen Feuchtigkeitsflecken und einem Loch an der
Faltung mit Textausfall, besonders feierliche Ausführung, Plica mit vier Pergamentstreifen zur Anbringung von Siegeln, das kleine zweite (in rotem Wachs)
und das vierte Siegel sind beschädigt erhalten, das erste und das dritte fehlen.
Die beim Loch und rechts unten restaurierte Rückseite mit Kanzleivermerken
aus verschiedenen Zeiten, älter: Maioris ecclesie. Augmentatio vicarie altaris Sancti
Laurentii martiris. R[egistra]ta folio 38. 1436, dazwischen jünger nachgetragen: 15 m.
reditus in libro civitatis, 7 m. similes reditus inscripti, quamlibet m. 15 m. reemendam.
Dazu links unten mit Bleistift moderne Signatur: Ss 63.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ss 63.
Edition: Staphorst I, 2, S. 180–181.
Regest: Schütze, 463, S. 369.
498
1437 [o. T.]. Hamburg.
1437 [o. T.] — S 3 b
498
Bürgermeister und Rat von Hamburg machen bekannt, dass sie dem Knappen Bruneke van Alversloe anders geheten van Coden oder seinen Erben 700 m. lüb. schuldig seien wegen der Pfandschaft des Hofes zu Wohldorf, und sagen ihm, seinen Erben oder dem Inhaber des Briefs 46 m. 10 sol. 6 d. jährlicher Rente zu
Bürgermeister und Ratsherren von Hamburg machen bekannt, dass sie dem Knappen Bruneke van Alversloe anders geheten van Coden oder seinen rechten Erben, geistlich oder weltlich, 700 m. lüb. schuldig seien wegen der Pfandschaft (van des wed766
Belegt seit 1421.
Als Vikar am Dom, Kirchherr von St. Katharinen und Domherr belegt 1430–1460, s. Vollmers, Pfarreien, S. 675–677.
767
4 88
Regesten der Jahre 14 00 –14 4 0
deschattes weghene) des Hofes zu Wohldorf, gelegen im Kirchspiel Bergstedt. Dafür
sollten sie Bruneke, seinen Erben oder dem Inhaber des Briefs jährlich 46 m. 10 sol.
6 d. Rente an September 29 ohne jeden Verzug zahlen, sobald er der Stadt wie
vereinbart den Hof überlassen habe. Wenn Bruneke die 700 m. vorzeitig benötige,
solle er das der Stadt ein Jahr zuvor ankündigen. Sie würden ihm dann im folgenden Jahr die 700 m. zusammen mit den ausstehenden Zinsen an einer sicheren
Stelle auszahlen, auf ihre Kosten und Zehrung, so dass er das Geld ungehindert
wegschaffen könne. Bürgermeister und Ratsherren geloben Bruneke auch für ihre
Nachfolger die Einhaltung, ohne die Anrufung geistlicher und weltlicher Gerichte.
Ankündigung des Stadtsiegels. Screven unde gheven […] na Godesbord veerteynhundert
jar, dar na in deme xxxvii[ten] jare etc.
Diplomatische Erörterung: Zeitgenössische Abschrift auf Papier mit Faltung und Kor-
rekturen am Rand, Text nur auf 1r, Rückseite mit kleineren aufgeklebten Papierstreifen entlang der Faltlinie und Ränder sowie Kanzleivermerk unten rechts
quer: Littera pro Bruneken de Caden armigero super vendicione curie etc., eciam contractus super edificacione turris in Zelever et aliud [manuscriptum]. Dazu: Jura domini
Grubonis de Verstede presbiteri etc. Dazu mit Bleistift rechts unten die moderne
Signatur: S 3 b, und oben runder Stempel mit kyrillischen Buchstaben.
Überlieferung: B = StAHH 710-1 I Threse I, Nr. S 3 b.
Erwähnung: Reincke, Territorialpolitik, S. 91, Anm. 188; Ballheimer, 4, S. 21.
499
1437 Februar 2. [Hamburg].
1437.02.02 — Nn 24, Ss 31
499
Gherardus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass Adolf [VIII.], Herzog von Schleswig, am Altar St. Stephani im von seinen Vorfahren errichteten Dom eine Vikarie mit Renten von 24 m. ausstatten wolle, um dort Messen zu seiner memoria und der seiner Vorfahren zu feiern, nehmen die Einkünfte unter kirchlichen Schutz und errichten die Vikarie
Gherardus, Dekan,768 und das gesamte Domkapitel zu Hamburg in einem offenen
Brief: machen bekannt, dass Adolphus [VIII.], Herzog von Schleswig, Graf von Holstein, Stormarn und Schauenburg,769 nach dem Beispiel der früheren Fürsten, zur
Ausweitung des göttlichen Kultus und weil die beste Verwendung weltlicher Mittel
wohltätige Stiftungen seien, in ihrer Kirche zu Hamburg, in der einige sterbliche
Überreste seiner Vorfahren ruhten, die die Kirche errichtet hätten, zu Ehren des
Apostels Andreas am Altar St. Stephani mit ihrer Zustimmung eine ewige Vikarie ausgestattet habe, damit durch den Vikar Messen zu seiner memoria und der
seiner Vorfahren abgehalten würden.770 Zum Unterhalt der Vikarie habe er nach
Beratungen 24 m. jährlicher Renten gestiftet aus den jeweiligen ersten Einkünf768
Gherardus Balghe, Dekan 1421–1437.
Adolf VIII., Graf von Holstein und Stormarn (seit 1421), (als Adolf I.) Herzog von Schleswig (1427–
1459).
769
770
Die Urkunde Adolfs VIII. darüber oben Nr. 496.
1437 Februar 2 . [Hamburg ].
4 89
ten aus allen seinen Rechten im Dorf Wakendorf [II] (Wokendorpe) im Kirchspiel
Kaltenkirchen (Koldenkerken) in der Propstei zu Hamburg, die gezahlt würden, bis
die Summe von 24 m. erreicht sei. Dekan und Domkapitel hätten entsprechend
der Bitten Adolfs das Dorf und das Kapital unter kirchlichen Schutz genommen,
die Vikarie zu Ehren des Apostels Andreas am Altar St. Stephani errichtet und mit
dem gestifteten Kapital ausgestattet. Der jeweilige Vikar sei künftig wie alle anderen Vikare am Dom dem Kapitel unterstellt. Er solle künftig jährlich 10 m. für die
memoria Adolfs und seiner Vorfahren in den acht Tagen nach der Geburt Christi an
den Verteiler (distributor) der Memorien am Dom zahlen. Wegen der zahlreichen
Stiftungen Adolfs an die Hamburger Kirche hätten Dekan und Domkapitel ihm und
seinen rechtmäßigen Nachfolgern als Grafen von Holstein auf ewige Zeiten das
Präsentationsrecht verliehen. Beim Erlöschen der Nachfolge falle das Präsentationsrecht an das Kapitel zurück. Siegelankündigung von Kapitel und Herzog. Datum
anno domini millesimo quadringentesimo tricesimoseptimo ipso die purification[is] gloriosissime Virginis Marie.
Diplomatische Erörterung: A1 und A2: zwei Ausfertigungen. A1: Großes Pergament
mit Faltung und wenigen Feuchtigkeitsflecken, breite Plica mit zwei jeweils an
Schnüren angehängten, relativ gut erhaltenen Siegeln, zuerst das Siegel des Herzogs in rotem Wachs, dann das des Kapitels. Rückseite mit einem älteren Kanzleivermerk unten in der Mitte: Fundacio perpertue vicarie beati Andree ad altare sancti
Stephani in ecclesia beate Marie virginis Hamburgensis, darüber jünger 1437 und No.
138. Rechts unten: Maioris ecclesie. Vicaria beati Andree altaris sancti Stephani. R[egistra]ta folio lxixo, darunter: 1437, und: reditus 24 m. / A2: Großes, nachgedunkeltes
Pergament mit Faltung und wenigen Feuchtigkeitsflecken, schmale Plica mit
zwei an Pergamentstreifen angehängten Siegeln, zuerst das stark beschädigte
Siegel des Kapitels, dann das besser erhaltene Siegel des Herzogs. Rückseite mit
zwei Kanzleivermerken, der ältere unten Mitte rechts: Fundacio vicarie ad altare
sancti Stephani de jure patronatus principum Holtzacie, jünger ergänzt: in honore beati
Andreae. Kopfstehend oben Mitte links der jüngere Vermerk: Vicariae ad altare
sancti Stephani in honorem beati Andreae in s[umm]o fundatio per dominum ducem
Adolphum comitem Holsatie et Stormarie 1437, dazu 24 m. reditus. Die Rückseite wurde zudem für zwei jüngere, längere und klein geschriebene Einträge zur Vikarie
genutzt, der erste von 1494 Februar 19 (anno domini xciiiior dies Mercurii 19 mensis
Feb[ruar]ii) links Mitte unten, der zweite von 1497 November 24 (anno etc. xc septimo die Veneris mensis Novembris) rechts Mitte oben. Darunter noch die Ziffer: 769.
Überlieferung: A1 = StAHH 710-1 I Threse I, Nr. Nn 24. A2 = StAHH 710-1 I Threse I, Nr.
Ss 31.
490
500
Regesten der Jahre 14 00 –14 4 0
1437 März 16. o. O.
1437.03.16 — P 32 b
500
Gherld Ellen aus dem Syemeswolde schwört Treue gegenüber dem Hauptmann zu Emden, seinen Nachfolgern sowie den Städten Hamburg und Emden; bei einem Verstoß dagegen müssten die Bürgen dem Hauptmann 400 rhein. gld. zahlen
Gherld Ellen aus dem Syemeswolde in einem offenen Brief: macht bekannt, dass er
freiwillig und wohl beraten geschworen habe, den Hamburgern, ihrem Kaufmann,
dem Hauptmann zu Emden, den Emdenern und ihren Freunden sowie allen Helfern der Hamburger und des Hauptmanns zu Emden getreu zu sein (truwe und hold
to wesende) mit Leib und Gut und weder mit Rat noch mit Tat gegen sie vorzugehen.
Gherld gelobt für sich und seine Verwandten, geboren und ungeboren, die Zusagen nicht zu brechen oder durch andere brechen zu lassen. Als Bürgen geloben
Nanne Benghen zu Haxte, Lubbe zu Westerende, Zweymer zu Roden und Willem Metzen zu
Holtorpe die Einhaltung der von Gherld gegebenen Zusagen. Sollte Gherld dagegen
verstoßen, müssten die Bürgen dem Hauptmann zu Emden 400 rhein. gld. zahlen,
und zwar so oft, wie dies geschehen sei. Siegelankündigung des Auricher Lands
(Auwerker Land) und von Hinrik Curet[er], die die Bürgen und Gherld um Besiegelung
gebeten haben. Screven na der bord Christi dusent veerhundert sevenundedruttich des
sonavendes vor Judica in der Vasten.
Diplomatische Erörterung: Pergament mit Faltung, breitere Plica mit Pergamentstrei-
fen zur Befestigung von Siegeln, ein Siegelrest ist in einer Papiertasche erhalten, auf dem ersten Pergamentstreifen mit Bleistift die moderne Signatur: P 32 b.
Rückseite mit rundem Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 32 b. D = Copiae Archivi.
Regest: Ostfriesisches UB, 1, 468, S. 424.
501
1437 April 10. o. O.
1437.04.10 — S 3 a
501
Bruneke van Alverslo, auch geheißen von Kaden, Knappe, verpfändet Bürgermeistern und Rat zu Hamburg alle seine Besitzungen in Wohldorf, in Hoisbüttel das halbe Dorf mit dem Hofkamp, dem Mühlenbruch und dem Hof am Wall, in Schmalenbek, Volksdorf, Lotbek, Rokesberg und den Herkenkroog mit detaillierter Nutzung und Zubehör für 4000 m. lüb., von denen er 3655 m. bereits erhalten habe; für die restlichen 345 m. solle er 23 m. jährlicher Rente erhalten
Bruneke van Alverslo, auch geheißen von Kaden (van Coden), Knappe, in einem offenen Brief: verpfändet den Bürgermeistern und Ratsherren der Stadt Hamburg
bzw. dem Inhaber dieser Urkunde alle seine Besitzungen in Wohldorf (Woltorpe),
in Hoisbüttel (Hoigersbuttele) das halbe Dorf mit dem Hofkamp, dem Mühlenbruch
und dem Hof am Wall, in Schmalenbek (Smalenbeke), Volksdorf (Volkmersdorpe),
Lotbek (Lotbeke), Rokesberg (Rokesberghe) und den Herkenkroog (Herkenkrooch) mit
detailliert aufgeführter Nutzung und Zubehör für 4000 m. lüb. (veerdusent lubesche
Mark penninghe), wovon er schon 3655 m. (dredusent soshundert unde viffundeveftich
Mark) erhalten habe. Verspricht, sie von allen Renten und Ansprüchen freizuhalten. Behält sich das bis zum heutigen Tag gefällte Holz sowie alle bis zum letzten
November 11 (sunte Martini dagh) fälligen Renten vor. Der Holzzoll beim Flößen
durch Wohldorf fällt nach dem Tag der Verpfändung an die Bürgermeister und
1437 April 10. o. O.
491
Ratsherren der Stadt Hamburg. Verspricht Schadloshaltung bei eventueller Stellung jeglicher Ansprüche. Behält sich die jährliche Auslösung der Güter für 4000 m.
lüb. bei vorheriger Ankündigung zwischen September 29 und Oktober 6 (in den
achtedaghen sunte Michaelis) und Auszahlung in den acht Tagen nach dem darauf
folgenden Osterfest (in den achtedaghen to Paschen) vor. Verspricht bei Verbauung
Erstattung der Kosten in den in Lübeck und Hamburg gängigen Goldmünzen und
Geld. Bekennt, von den Bürgermeistern und Ratsherren der Stadt Hamburg eine
offene Schuldurkunde mit Stadtsiegel über 345 m. lüb. (drehundert viffundevertich
lubesche Mark penninghe) von den 4000 m. bekommen zu haben. Die 345 m. sollen
bis zur Einlösung mit 23 m. lüb. (drenundetwintich Marken lubesch) jährlich aus der
Stadtkasse berentet werden. Bei eventuellen Ansprüchen sollen die 345 m. bzw. die
jährlichen Renten solange zurückgehalten werden, bis er sie von allen Ansprüchen
freigemacht habe. Ankündigung der Siegel von Bruneke sowie von Hinric van Stove,
Pfarrer in Selent (Zelente); Wolder Lappe, Knappe; Vicke Bernstede; Thideke van deme
Haghen und Bernd Smylouw, Bürger zu Hamburg. Gheven na Godes bord verteynhundert
jar darna in deme sovenundedrittigesten jare des middewekens na deme sondaghe, wen me
singhet in der hillighen kerken Quasimodogeniti.
Diplomatische Erörterung: A: Großes, nachgedunkeltes Pergament mit Faltung und
wenigen Feuchtigkeitsflecken, breite Plica mit sechs Pergamentstreifen zur Siegelbefestigung, daran sind das erste bis dritte und das fünfte Siegel erhalten, die
beiden anderen Pergamentstreifen sind durchgerissen [Reincke, Weg, S. 145, hat
1939 noch alle sechs Siegel gesehen]. Auf der Rückseite Kanzleivermerk: Woltorpe, darunter: B. Auf dem vierten Pergamentstreifen ein Zeichen und R[egistrata],
unten rechts die moderne Signatur in Bleistift: S 3 a. / C: Abschrift des 17. Jahrhunderts der Kopie einer Register-Überlieferung (des Liber emptionum von 1485).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. S 3 a. C = StAHH 311-1 I 406 („Kopialbuch
des Jürgen Rose“), S. 66–72. D = Copiae Archivi [hochdeutsche Übersetzung; maschinenschriftlich].
Edition: Reincke, Weg, 50, S. 141–145, S. 145–148 (hochdeutsche Übersetzung).
Regest: Sarnowsky, Sichern, 28.
Erwähnung: Reincke, Territorialpolitik, S. 90, Anm. 187; Ballheimer, 4, S. 21.
492
502
Regesten der Jahre 14 00 –14 4 0
1437 Mai 11. o. O.
1437.05.11 — P 53
502
Hermans to Lere schwört Treue gegenüber Detlev Bremer, Amtmann zu Emden, dem Hauptmann zu Emden sowie den Städten Hamburg und Emden; bei einem Verstoß dagegen müssten die Bürgen dem Hauptmann 200 Arnheimsche gld. zahlen
Hermans to Lere in einem offenen Brief: macht bekannt, dass er freiwillig und wohl
beraten Detlev Bremer, Amtmann zu Emden,771 den Hamburgern, dem Hauptmann
zu Emden, den Emdenern sowie allen, die den Hamburgern zugehören, geschworen habe, mit Leib und Gut getreu zu sein (truwe unde hold to wesende lives unde
gudes) und weder mit Rat noch mit Tat gegen sie vorzugehen. Als Bürgen geloben
Dedde, Hompens Sohn, to Lere und Grove Hoyke to Wolthusen für sich und ihre Erben
die feste Einhaltung der von Hermans gegebenen Zusagen. Sollte Hermans dagegen verstoßen, müssten die Bürgen dem Hauptmann zu Emden so oft, wie dies geschehe, 200 Arnheimsche gld. zahlen. Ankündigung der Siegel von Hermans sowie
von Wygert, Häuptling zu Uphusen, und Michel, Bürger zu Emden, die auf Bitten der
Bürgen siegeln. Screven na der bord Christi dusent verhundert seven unde druttich des
sonavends neghest na Godes hemelvard.
Diplomatische Erörterung: Kleineres, etwas nachgedunkeltes Pergament mit Faltung,
breite Plica mit drei an Pergamentstreifen angehängten, teilweise beschädigten
Siegeln.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 53. D = Copiae Archivi.
Regest: Ostfriesisches UB, 1, 470, S. 30.
503
1437 Juni 11. o. O.
1437.06.11 — P 29
503
Ude Aytzena schwört Treue gegenüber Vicke Wigertshope und Detleff Bremer, Amtmänner zu Emden, ihren Nachfolgern sowie den Städten Hamburg und Emden; bei einem Verstoß dagegen müssten er oder seine Erben den Amtmännern 400 Arnheimsche gld. zahlen
Ude Aytzena in einem offenen Brief: macht bekannt, dass er gegenüber Vicke Wigertshope772 und Detleff Bremer,773 zurzeit Amtmännern zu Emden, ihren Nachfolgern, denen von Hamburg und von Emden und jenen, die zu ihnen gehören, mit
Leben und Gut Treue und Huld (truwe unde hold) gelobt und geschworen habe,
niemals mit Rat und Tat gegen sie vorzugehen. Rembet Mersna und Ude Ennona zu
Wivelsem machen ebenfalls bekannt, dass sie gegenüber den Amtmännern für sich
und ihre Erben mit gesamter Hand gelobt hätten, dass Ude seine Zusagen einhalten werde. Wenn Ude aber oder seine Erben mit Worten oder Werken, selbst oder
durch andere gegen das Gelöbnis verstießen, würden sie den beiden Amtmännern
zu Emden oder ihren Nachfolgern eine Buße von 400 Arnheimschen gld. zahlen.
Siegelankündigung von Ude sowie von Bebbe, dem Propst zu Grothusen, und Nanno,
771
Ratsherr seit 1431, Bürgermeister 1447–1464.
772
Ratsherr 1429–1461.
773
Ratsherr seit 1431, Bürgermeister 1447–1464.
1437 Juni 13. Hamburg.
493
dem Kirchherrn zu Wivelsem, auf Bitten von Rembet Mertsna und Ude Ennona, die
keine eigenen Siegel hätten. Na der bord Cristi veerteynhundert jar, darna in deme soven
unde druttigesten jare in sunte Barnabe daghe des hillighen apostels.
Diplomatische Erörterung: Dünnes Pergament mit Faltung, wenigen Feuchtigkeitsfle-
cken und einem kleinen Loch links, breite Plica mit drei Schlitzen für die Befestigung von Siegeln, von denen die beiden ersten erhalten sind, das erste jedoch in
Papierhülle. Auf der Rückseite ein runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 29. D = Copiae Archivi.
Regest: Ostfriesisches UB, 1, 471, S. 430.
504
1437 Juni 13. Hamburg.
1437.06.13 — Z 13
504
Der Notar Wilkinus Brummer bezeugt, dass Ludolfus van Ultzen, Kirchherr zu Wenthusen, Diözese Verden, sowohl Johannes Sanckenstede, ewiger Vikar an St. Georg bei Hamburg, wie auch Ludolfus Rickersen und Ludolfus Ristede, Hamburger Bürger, jeden für sich, zu seinen Prokuratoren berufen habe, um über seine Güter in Hamburg zu seinem Seelenheil zu verfügen
Notariatsinstrument. Der Notar bestätigt, dass vor ihm und den Zeugen Ludolfus
van Ultzen, Kirchherr zu Wenthusen, Diözese Verden, Johannes Sanckenstede, ewiger
Vikar an der Kapelle St. Georgii außerhalb der Mauern Hamburgs, Ludolfus Rickersen sowie Ludolfus Ristede, Hamburger Bürger, jeden für sich, auf beste Weise zu seinen Prokuratoren berufen habe ([…] creavit et solempniter ordinavit suos veros, certos,
legitimos ac indubitatos procuratores, actores, factores, negotiorum suorum gestores). Er
befugt sie, hinsichtlich seiner Güter in Hamburg zugunsten des Seelenheils seiner
Vorfahren, Wohltäter und aller Verstorbenen für die Errichtung einer Pfründe (ad
quodcumque beneficium ecclesiasticum) frei zu verfügen. Das betreffe ein Haus bzw.
Erbe gelegen zwischen den Häusern des Henningh Floreke und des Hinricus Osenbrughe in der Straße Kattrepel, das bewohnt sei von Ghese van Ultzen, Witwe seines
Bruders Johannes, ebenso 7 m. Renten aus dem Erbe des Johannes van der Lu, gelegen
an der Ecke der Steintwiete (stentwiete) zwischen den Erben des Helmicus van Craghe
und des Hinricus Vermersen, jährlich zu zahlen. Ludolfus van Ultzen habe dem Notar
versprochen, sich fest an das zu halten, was die Prokuratoren aushandelten, und
diese von Ansprüchen frei zu halten. Er habe den Notar auch gebeten, darüber ein
Notariatsinstrument anzulegen. Acta sunt hec Hamborch in ecclesia sancte Catherine
Hamburgensis Bremensis diocesis sub anno, indictione, die, mense, hora et pontificatu quibus supra. – In nomine domini amen. Anno a nativitate eiusdem millesimo quadringentesimo tricesimo septimo, indictione decimaquinta, die vero Jovis decimatertia mensis Junii,
hora completorii vel quasi, pontificatus sanctissimi in Christo patris et domini nostri, domini Eugenii divina providentia pape quarti anno septimo. Zeugen: Hinricus Rensel und
Theodoricus Darwarder, ewige Vikare an St. Katherinen.
49 4
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Notariatsinstrument des Wilkinus Brummer, Notar kaiser-
licher Autorität, mit seinem Notarszeichen. Pergament mit Faltung, teilweise
nachgedunkelt. Rückseite mit jüngerem, durchstrichenem Vermerk: Cl. X. O. Ludolf von Ueltzen 1437. Darunter mit blauem Farbstift: Thr. Z 13.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Z 13. D = Copiae Archivi.
505
1437 Juni 28. o. O.
1437.06.28 — O 45
505
Dietrich Alfhusen, Offizial der Präpositur zu Hamburg und Richter zu Krummstedt, bezeugt die Begehung einer Hufe, die zur Hälfte der dem Domkapitel inkorporierten Pfarrkirche zu Meldorf, vertreten durch Nicolaus Hamborgh, Kanoniker, und zur Hälfte Johannes Martini, Kleriker zu Hamburg, und seinem Vater Martin Stecke gehöre; dabei sei jedoch über die Zugehörigkeit einiger Äcker keine Einigung erzielt worden
Vor Dietrich Alfhusen, dem Offizial der Präpositur zu Hamburg und Richter zu
Krummstedt, erscheinen Nicolaus Hamborgh, Kanoniker zu Hamburg,774 für die eine
und Johannes Martini, Kleriker der Diözese Hamburg, in eigenem Namen und dem
seines Vaters, Martin Stecke, für die andere Seite. Im Streit um eine Hufe, von der
die Hälfte der dem Domkapitel inkorporierten Pfarrkirche St. Johannis Baptiste
zu Meldorf und die andere Hälfte Johannes und seinem Vater gehört, wurden vier
Dorfbewohner ausgewählt, Boyeke Johan, Heweken Heringh, Wygeken Heringh und
Crummen Irben, die die Lage der Hufe im Dorf aufzeigen sollen. Diese werden auf
die Evangelien vereidigt, dann beginnt eine Begehung der Hufe, die in zwei gleiche Teile geteilt und Nikolaus und Johannes zugewiesen werden soll. Diese Teile
werden ausführlich beschrieben, ebenso die zugehörigen Wiesen. Über die Zugehörigkeit einiger Äcker zur Hufe sei jedoch keine Einigkeit erzielt worden. Auf
Aufforderung von Nicolaus und Johannes seien eines oder mehrere Notariatsinstrumente erstellt worden. In nomine domini amen. Anno nativitatis eiusdem millesimo
quadringentesimotricesimoseptimo indictione quintadecima die vero Iovis vicesima octava
mensis Iunii pontifificatus sanctissimi in Christo patris et domini nostri domini Eugenii divinia providencia pape quarti anno septimo [...]. Zeugen: Petrus Winstock, ewiger Vikar
in St. Petri zu Hamburg, Johannes Kniper, Kleriker, und Tymme Stockvisch, Laie aus
der Diözese Bremen-Hamburg.
Diplomatische Erörterung: Notariatsinstrument des Godfrid Speth, Kleriker aus der
Ratzeburger Diözese, Notar kaiserlicher Autorität, mit dessen Notariatszeichen.
Großes Pergament mit Faltung und einigen größeren Feuchtigkeitsflecken.
Rückseite mit dem Vermerk, quer: Super design[acione] et divisione dimidii mans[i]
in Cromptorpe pertinentis ad ecclesiam in Meldorpe, und kopfstehender neuerer Jahreszahl 1437. Links oben runder Stempel mit kyrillischen Buchstaben, rechts unten moderne Signatur in Bleistift: O 45.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. O 45. D = Copiae Archivi.
774
Belegt 1429–1439, 1437–1439 auch als Dekan.
1437 Juni 28. o. O.
506
495
1437 Juni 28. o. O.
1437.06.28 — P 54
506
Junge Eylt Schomaker zu Leerlte schwört Treue gegenüber Vicke Wigershope und Detleff Bremer, Amtmänner zu Emden, ihren Nachfolgern sowie den Städten Hamburg und Emden; bei einem Verstoß dagegen müssten die Bürgen den beiden Amtmännern bzw. dem jeweiligen Amtmann 400 Arnheimsche gld. zahlen
Junge Eylt Schomaker zu Leerlte in einem offenen Brief: macht bekannt, dass er Vicke
Wigershope775 und Detleff Bremer,776 zurzeit Amtmännern zu Emden, ihren Nachfolgern, den Hamburgern, den Emdenern sowie allen Helfern der Hamburger und
des Hauptmanns zu Emden freiwillig und wohl beraten geschworen hätte, mit Leib
und Gut getreu zu sein (truwe und holt myd live unde gude to wesende) und weder mit
Rat noch mit Tat gegen sie vorzugehen. Als Bürgen geloben Eylts Vater Eylt Schomaker und Focke Apeken zu Lerlte für sich und ihre Erben den beiden Amtmännern mit
gesamter Hand, dass der jüngere Eylt seine Zusagen nicht zu brechen oder durch
andere brechen lassen werde. Sollten der jüngere Eylt, seine Erben oder jemand
seinetwegen mit Worten oder Taten, Rat oder Tat dagegen verstoßen, müssten
die Bürgen Vicke und Detlev oder dem dann amtierenden Amtmann zu Emden so
oft, wie dies geschehe, 400 Arnheimsche gld. zahlen. Siegelankündigung von Udo,
Häuptling zu Leerlte, und Here, Pfarrer ebenda, auf Bitten des jüngeren Eylt, weil
er und die Bürgen keine Siegel hätten. Na der bord Cristi veerteynhundert jar, darna in
deme sovenundedruttigesten jare, in sunte Petri unde Pauli avende der hillighen aposteln.
Diplomatische Erörterung: Nachgedunkeltes Pergament mit Faltung und einigen
Feuchtigkeitsflecken, Plica mit zwei Pergamentstreifen zur Siegelbefestigung,
die Siegel fehlen. Auf der Rückseite in der Mitte modern die Jahreszahl: 1437,
darunter verblasst ein runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 54. D = Copiae Archivi.
Regest: Ostfriesisches UB, 1, 472, S. 430.
507
1437 Juli 12. Hamburg.
1437.07.12 — Uu 39 [1] und [2]
507
Gherhardus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass Paulus Soltwedel, Priester der Verdener Diözese, Hinricus Oldendorp, ewiger Vikar an St. Nicolai, Meynardus Oldendorp, Bürger zu Hamburg, Bruder von Hinricus, und Hillegundis Muermesters, Schwester der beiden, in der an St. Nicolai errichteten Elisabethkapelle eine Vikarie mit Renten von 27 m. ausstatten wollten, nehmen die Einkünfte unter kirchlichen Schutz und errichten die Vikarie
Gherhardus, Dekan,777 und das gesamte Domkapitel zu Hamburg in einem offenen
Brief: machen bekannt, dass Paulus Soltwedel, Priester der Verdener Diözese, Hinricus Oldendorp, ewiger Vikar an St. Nicolai, Meynardus Oldendorp, Bürger zu Hamburg, Bruder von Hinricus, und Hillegundis Muermesters, Schwester der beiden, von
ihren Gütern eine ewige Vikarie zu Ehren Gottes, der Jungfrau Maria und der hl.
Elisabeth in der an St. Nicolai errichteten St. Elisabeth-Kapelle mit der Stiftung von
27 m. Renten ausstatten wollten. Diese kämen aus dem Haus der St. Elisabeth-Bru-
775
Ratsherr 1429–1461.
776
Ratsherr seit 1431, Bürgermeister 1447–1464.
777
Dekan 1421–1437.
496
Regesten der Jahre 14 00 –14 4 0
derschaft, das von Armen bewohnt sei, gelegen an der Alster beim Burstah (penes
Alstriam prope Burstade) gegenüber von St. Nicolai bei den Erben von Bürgermeister
Henricus Hoyer und von Johannes Rodewater, wie das aus einer vorgelegten Urkunde
hervorgehe, die Henricus Hoyer, Reynerus van dem Croge und Bertoldus Beeth, Bürger
Hamburgs und Provisoren und Prokuratoren des Armenhauses, ausgestellt hätten.
Dekan und Domkapitel nehmen entsprechen den Bitten der Stifter die Renten unter kirchlichen Schutz und errichten damit eine ewige Vikarie in der genannten
St. Elisabeth-Kapelle unter dem Patronat (sub vocabulo sive titulo) der hl. Elisabeth.
Der Inhaber der Vikarie solle künftig jährlich von den 27 m. 2 m. unter den Priestern und Vikaren an St. Nicolai verteilen, damit diese die Jahrtage der verstorbenen Nicolaus Oldendorp und Abele, Eltern von Hinricus und Meynardus, mit Vigilien
und Messen begingen. Er solle zudem an allen Memorien teilhaben, die an St. Nicolai begangen würden. Paulus, Hinricus, Meynardus und Hillegundis sollten auf
Lebenszeit das Präsentationsrecht für die Vikarie ausüben, nach ihrem Tode dann
auf ewige Zeiten die jeweiligen obersten Provisoren der St. Elisabeth-Bruderschaft
des Armenhauses und ihre Vertreter. Falls die St. Elisabeth-Bruderschaft aufgelöst
würde, solle das Präsentationsrecht an die Provisoren und Juraten von St. Nicolai
fallen. Die Stifter sollten, solange einer von ihnen lebe, unter Abstimmung mit den
Provisoren der Bruderschaft einen armen Priester ohne Pfründe (unum pauperem
sacerdotem vel clericum aliquod beneficium ecclesiasticum non habentem) vorschlagen,
der spätestens ein Jahr nach der Präsentation zum Priester geweiht sein müsse.
Der Vikar solle Messe in der St. Elisabeth-Kapelle lesen und zweimal in der Woche
im Armenhaus die Messe feiern. Die Stifter hätten zugleich Paulus als ersten Vikar
auf Lebenszeit präsentiert, was Dekan und Domkapitel angenommen hätten. Siegelankündigung der Hamburger Kirche; Provisoren Henricus Hoyer, Reynerus van
dem Croge und Bertoldus Beeth billigen die Verschreibung der 27 m. aus dem Armenhaus und bestätigen dies durch ihre Besiegelung. Datum Hamburgh anno domini
millesimo quadringentesimo tricesimoseptimo die Veneris duodecima mensis Julii.
Diplomatische Erörterung: A1 und A2: zwei Ausfertigungen. A1: Großes Pergament mit
Faltung, Plica mit vier Pergamentstreifen zur Anbringung von Siegeln, das zweite und das vierte erhalten. Rückseite mit zeitgenössischen Kanzleivermerken
links in der Mitte: Nicolai. Vicaria in capella sancte Elizabeth. Re[gistra]ta golio xxxviii.
1437, darunter verblasste Zahl. / A2: Großes, längliches Pergament mit Faltung,
einem Ausriss links und wenigen nachgedunkelten Stellen, das erste Wort Universis hervorgehoben. Plica mit vier Schlitzen zur Anbringung von Siegeln, das
zweite und das vierte Siegel am Pergamentstreifen erhalten, beim ersten nur der
Pergamentstreifen, dazu ein Ausriss und Loch beim zweiten Siegel. Rückseite mit
1437 Ok tob er 7. o. O.
497
korrigierten Kanzleivermerken unten in der Mitte: R. Fundacio vicariae [v. über
Rasur] altaris sancte Elisabeth capelle sancte Elisabeth adiunct[ionem] […] ecclesie sancte Nicolai. N. Vinck notarius scripsit. Weiter: S. Nicolai. Vicaria [vicaria über Rasur]
altaris sancte Elizabet. R[egistra]ta fol. ix. A[nn]o 1437.
Überlieferung: A1 und A2 = StAHH 710-1 I Threse I, Nr. Uu 39 [1] und [2] [hier nach A1].
Edition: Staphorst, I, 3, S. 51–53.
Regest: Schütze, 466, S. 369.
Erwähnung: Vonderlage, Domkapitel, S. 71; Vollmers, Pfarreien, S. 333, 497, 499–500.
508
1437 Oktober 7. o. O.
1437.10.07 — P 55
508
Eynrik Grote Poppenssone schwört Treue gegenüber Vicke Wigershope, Amtmann zu Emden, seinen Nachfolgern sowie den Städten Hamburg und Emden; bei einem Verstoß dagegen müssten er oder seine Erben Vicke bzw. dem amtierenden Amtmann 600 Arnheimsche gld. zahlen
Eynrik Grote Poppenssone in einem offenen Brief: macht bekannt, dass er dem Vicke
Wigershope, Ratsherr zu Hamburg und zurzeit Amtmann zu Emden,778 seinen Nachfolgern, denen von Hamburg und von Emden und jenen, die zu ihnen gehören,
mit Leben und Gut Treue und Huld (truwe unde hold) gelobt und geschworen habe,
niemals mit Rat und Tat gegen sie vorzugehen. Onneke Ukens zu Loquarden und Ubbe
Emmekens zu Suderhusen machen ebenfalls bekannt, dass sie gegenüber Vicke für
sich und ihre Erben mit gesamter Hand gebürgt hätten, dass Eynrik seine Zusagen
einhalten werde. Wenn aber Eynrik oder seine Erben mit Worten oder Werken,
selbst oder durch andere gegen das Gelöbnis verstießen, würden sie 600 Arnheimsche gld. an Vicke bzw. den amtierenden Amtmann von Emden zahlen. Siegelankündigung Eynriks, Onnekes und Ubbes. Na der bord Cristi veerteynhundert jaͤr darna
in deme sovenundedruttighestem jare am mandaghe neghest vor sunte Dyonisii daghe.
Diplomatische Erörterung: Pergament mit Faltung und wenigen Feuchtigkeitsflecken,
große Plica mit drei nachgedunkelten Pergamentstreifen zur Siegelanbringung,
jedoch keine Siegel erhalten. Auf der Rückseite runder Stempel mit kyrillischen
Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 55. D = Copiae Archivi.
Regest: Ostfriesisches UB, 1, 476, S. 432.
778
Ratsherr 1429–1461.
498
509
Regesten der Jahre 14 00 –14 4 0
1437 Oktober 22. o. O.
1437.10.22 — P 30
509
Tamme Ewen bekennt, dass er sich mit Vicke Wigershope, zurzeit Amtmann in Emden, wegen des lange geführten Streits zwischen dem Rat von Hamburg, dem Hauptmann zu Emden, ihren Unterstützern und ihm darauf geeinigt habe, dass er nicht mehr gegen die Hamburger vorgehe, in Friesland keine Burgen gegen den Kaufmann baue und nicht ohne Erlaubnis nach Emden komme; bei Verstößen müssten die Bürgen 200 Arnheimsche gld. zahlen
Tamme Ewen in einem offenen Brief: macht bekannt, dass er sich mit Vicke Wigershope, Ratsherr zu Hamburg und zurzeit Amtmann in Emden,779 wegen des lange geführten Streits (schelinghe, veide, twidracht unde unwillen) zwischen dem Rat von
Hamburg, dem Hauptmann zu Emden, ihren Unterstützern und ihm ausgeglichen
habe. Folgendes sei vereinbart:
[1.] Er werde sich künftig um das Wohl der Hamburger, des Hauptmanns von Emden und ihrer rechtmäßigen Unterstützer bemühen und sie zu Wasser und zu Lande schützen, sofern er dazu in der Lage sei, und niemals mehr auf irgendeine Weise
gegen sie und den gemeinen Kaufmann vorgehen.
[2.] Er solle sie wegen der von ihm erlittenen Schäden weder schädigen noch mahnen, diese sollten nicht mehr erwähnt werden.
[3.] Er werde auch in Friesland keine Burgen (blokhusere ofte veste) zur Schädigung
des Kaufmanns bauen oder bauen lassen.
[4.] Er werde bei Tag und Nacht nur noch mit Zustimmung des Hauptmanns und
für die Hamburger nach Emden kommen oder sich dort aufhalten, dürfe aber seine
beweglichen und unbeweglichen Erben und Güter, wo immer diese lägen, ungehindert und ungeschädigt nutzen. Falls er oder seine Erben jedoch gegen diese
Abmachungen verstießen, könnte der dann amtierende Hauptmann zu Emden die
Schäden durch den Einzug von Erben und Gütern ausgleichen.
Amtz[er]e Meginghe und Ghoyke to Bollinghusen machen bekannt, dass sie sich vor
Vicke für Tamme mit gesamter Hand verbürgt hätten, dass dieser die Zusagen
einhalte. Wenn das nicht geschehe, müssten sie zur Strafe 200 Arnheimsche gld.
zahlen. Tamme gelobt die Einhaltung. Siegelankündigung Tammes, Amtzeres und
Ghoykes. Na der bord Cristi veerteynhundert jar, darna in deme sovenundedruttigesten
jare an sunte Severi daghe des hillighen bisschoppes.
Diplomatische Erörterung: Großes Pergament mit Faltung und wenigen Feuchtigkeits-
flecken, verkürzte Plica mit drei erhaltenen, an Pergamentstreifen befestigten
Siegeln, davon die ersten beiden in Schutzhülle aus Papier.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 30. D = Copiae Archivi.
Regest: Ostfriesisches UB, 1, 477, S. 432–433.
779
Ratsherr 1429–1461.
1437 Ok tob er 23. o. O.
510
499
1437 Oktober 23. o. O.
1437.10.23 — P 33 c
510
Ayke Gloringk bekennt, dass er sich mit Vicke Wigershope, zurzeit Amtmann in Emden, in allen Streitpunkten zwischen dem Rat von Hamburg, dem Hauptmann zu Emden, ihren Unterstützern und ihm darauf geeinigt habe, dass er nicht mehr gegen die Hamburger vorgehe, in Friesland keine Burgen gegen den Kaufmann baue und nicht ohne Erlaubnis nach Emden komme; bei Verstößen müssten die Bürgen jeweils 100 Arnheimsche gld. zahlen
Ayke Gloringk in einem offenen Brief: teilt mit, sich mit Vicke Wigershope, Ratsherr zu
Hamburg und zurzeit Amtmann in Emden,780 in allen Streitpunkten zwischen ihm,
dem Rat zu Hamburg, dem Hauptmann zu Emden, ihren Helfern und Freunden,
wegen derer er zu Recht von seinen Gütern vertrieben worden sei, in nachfolgender Weise geeinigt zu haben:
[1.] Er werde sich immer nach Möglichkeit um das Beste der Hamburger, des
Hauptmanns von Emden, der Emdener sowie ihrer Freunde und Helfer einsetzen
und gegen sie, die Ihren und den gemeinen Kaufmann auf keine Weise vorgehen
oder vorgehen lassen.
[2.] Er werde wegen der Dinge, die nach seiner Vertreibung von seinen Gütern geschehen seien, weder die Hamburger noch den Hauptmann von Emden, die Emdener oder ihre Helfer schädigen oder mahnen.
[3.] Er werde keine Befestigungen (nene blokhusere ofte veste) in Friesland errichten
lassen, von denen aus der gemeine Kaufmann oder andere geschädigt würden.
[4.] Er werde weder bei Tag noch bei Nacht, offen oder heimlich nach Emden kommen, außer mit Erlaubnis des Hauptmanns oder der Hamburger. Darüber hinaus
könne er alle seine Güter, beweglich oder unbeweglich, wo immer diese gelegen
seien, frei und ungehindert nutzen. Würden er oder seine Erben gegen diese Artikel verstoßen, sollten sie dem Hauptmann zu Emden für die Hamburger mit ihren
Gütern Ersatz leisten (in alle mynen erven unde guderen […] vorvallen unde vorbroken
wesen).
Wygert Häuptling zu Uphusen,781 Michael van dem Rijne, Bürger zu Emden, und Popke
Reyners bürgen für die Einhaltung der Artikel durch Ayke. Wenn die Vereinbarung
gebrochen werde, müssten sie oder ihre Erben dem jeweiligen Hauptmann zu Emden für jedes Mal 100 Arnheimsche gld. zahlen. Ayke Gloringk gelobt die Einhaltung für sich und seine Erben. Siegelankündigung Aykes und der drei Bürgen. Na
der bord Cristi veerteynhundert jar darna in deme sovenundedruttigesten jare in sunte Severini daghe des hilligen bisschoppes.
780
Ratsherr 1429–1461.
Zu ihm vgl. Fridrich Arends, Erdbeschreibung des Fürstenthums Ostfriesland und des Harlingerlandes, Emden 1824, S. 296.
781
500
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Großes Pergament mit Faltung und wenigen Feuchtigkeits-
flecken, breite Plica mit vier an Pergamentstreifen befestigten, gut erhaltenen
Siegeln. Rückseite links unten mit einem runden Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 33 c. D = Copiae Archivi.
Regest: Ostfriesisches UB, 1, 478, S. 433.
511
1437 November 5. o. O.
1437.11.05 — P 34 b
511
Boleke Ubbensone schwört Treue gegenüber Vicke Wigershope, Hauptmann zu Emden, seinen Nachfolgern sowie den Städten Hamburg und Emden und verspricht, nicht ohne Erlaubnis nach Emden zu kommen; bei einem Verstoß dagegen müsste der Bürge dem jeweiligen Hauptmann 60 Arnheimsche gld. zahlen
Boleke Ubbensone in einem offenen Brief: macht bekannt, dass er freiwillig und wohl
beraten Vicke Wigershope, Ratmann zu Hamburg und zurzeit Hauptmann zu Emden,782 seinen Nachfolgern, den Hamburgern, den Emdenern sowie allen Helfern
der Hamburger und des Hauptmanns zu Emden geschworen habe, ihnen mit Leib
und Gut getreu zu sein (truwe unde holt myd live unde gude to wesende) und weder
mit Rat noch mit Tat gegen sie, die Ihren und den gemeinen Kaufmann vorzugehen oder vorgehen zu lassen. Er werde auch weder bei Tag noch bei Nacht, weder
geheim noch offen nach Emden kommen, es sei denn mit Zustimmung des Hauptmanns und wegen der Hamburger. Wenn er oder seine Erben die Zusagen brechen
würden, würde er für jedes Mal dem jeweiligen Hauptmann zu Emden Buße leisten. Als Bürge gelobt Benthe Remdisna für sich und seine Erben die Einhaltung der
von Boleke gegebenen Zusagen. Sollte Boleke dagegen verstoßen, müssten Benthe
und seine Erben dem Hauptmann zu Emden so oft, wie dies geschehe, 60 Arnheimsche gld. zahlen. Siegelankündigung Bolekes und des Bürgen. Na der bord Cristi veerteynhundert jar, darna in deme sevenundedruttigestem jare am dinghesdaghe negest vor
sunte Martini daghe.
Diplomatische Erörterung: Pergament mit Faltung und wenigen Feuchtigkeitsflecken,
Text in einem vorgezeichneten Rahmen, kleinere Initiale W, breite Plica mit zwei
an Pergamentstreifen befestigten, relativ gut erhaltenen Siegeln und einer Naht
auf der Rückseite. Rückseite mit einem jüngerem Kanzleivermerk in der Mitte
quer: 1437. Van Embden, darüber zwei verblasste runde Stempel mit kyrillischen
Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 34 b. D = Copiae Archivi.
Regest: Ostfriesisches UB, 1, 480, S. 433.
782
Ratsherr 1429–1461.
1437 Novemb er 7. o. O.
512
501
1437 November 7. o. O.
1437.11.07 — P 32
512
Sibeke Nannona schwört Treue gegenüber Vicke Wigershope, Amtmann zu Emden, seinen Nachfolgern sowie den Städten Hamburg und Emden und verspricht, nicht ohne Erlaubnis nach Emden zu kommen; bei einem Verstoß dagegen müsste der Bürge dem jeweiligen Amtmann 60 Arnheimsche gld. zahlen
Sibeke Nannona in einem offenen Brief: macht bekannt, dass er gegenüber Vicke
Wigertshope, Ratsherr von Hamburg und zurzeit Amtmann zu Emden,783 seinen
Nachfolgern, denen von Hamburg und von Emden und ihren rechtmäßigen Unterstützern mit seinem Leben und Gut Treue und Huld (truwe unde holt) gelobt und
geschworen habe, niemals mit Rat und Tat gegen sie und den gemeinen Kaufmann
vorzugehen. Auch werde er weder bei Tag noch bei Nacht nach Emden kommen
oder dort bleiben, es sei denn mit Wissen des Hauptmanns und für die Hamburger.
Wenn Sibeke oder seine Erben gegen die Zusagen verstießen, müsse er dem jeweiligen Hauptmann zu Emden mit seinen Gütern Schadenersatz leisten. Mester Hatyt,
Schmied zu Suderhusen, macht ebenfalls bekannt, dass er gegenüber Vicke dafür
gebürgt habe, dass Sibeke seine Zusagen einhalten werde. Wenn Sibeke oder seine Erben gegen die Zusagen verstießen, würde Mester Hatyt dem jeweiligen Amtmann zu Emden eine Buße von 60 Arnheimschen gld. zahlen müssen. Siegelankündigung von Sibeke und Mester Hatyt als Bürge. Na der bord Cristi veerteynhundert jar,
darna in deme sovenundedruttigesten jare am donredaghe negest vor sunte Martini daghe.
Diplomatische Erörterung: Pergament mit Faltung und geringen Feuchtigkeitsflecken,
Text in einem vorgezeichneten Rahmen, kleinere Initiale W, breite Plica mit zwei
an Pergamentstreifen befestigten, relativ gut erhaltenen Siegeln.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 32. D = Copiae Archivi.
Regest: Ostfriesisches UB, 1, 481, S. 434.
513
1437 November 9. o. O.
1437.11.09 — P 31
513
Onno tor Gast schwört Treue gegenüber Vicke Wigertshope, Amtmann zu Emden, seinen Nachfolgern sowie den Städten Hamburg und Emden und verspricht, nicht ohne Erlaubnis nach Emden zu kommen; bei einem Verstoß dagegen müsste der Bürge dem jeweiligen Amtmann 100 Arnheimsche gld. zahlen
Onno tor Gast in einem offenen Brief: macht bekannt, dass er gegenüber Vicke Wigertshope, Ratsherr von Hamburg und zurzeit Amtmann zu Emden,784 seinen Nachfolgern, denen von Hamburg und von Emden und ihren rechtmäßigen Unterstützern mit seinem Leben und Gut Treue und Huld (truwe unde holt) gelobt und
geschworen habe, niemals mit Rat und Tat gegen sie und den gemeinen Kaufmann
vorzugehen. Auch werde er weder bei Tag noch bei Nacht nach Emden kommen
oder dort bleiben, es sei denn mit Wissen des Hauptmanns und für die Hamburger.
Wenn Onno gegen die Zusagen verstoße, müsse er dem jeweiligen Hauptmann zu
Emden mit seinen Gütern Schadenersatz leisten. Reynt tor Gast macht ebenfalls be783
Ratsherr 1429–1461.
784
Ratsherr 1429–1461.
502
Regesten der Jahre 14 00 –14 4 0
kannt, dass er gegenüber Vicke dafür gebürgt habe, dass Onno seine Zusagen einhalten werde. Wenn Onno oder seine Erben gegen die Zusagen verstießen, würde
Reynt dem jeweiligen Amtmann zu Emden eine Buße von 100 Arnheimschen gld.
zahlen müssen. Siegelankündigung von Onno und Reynt. Na der bord Cristi veerteynhundert jar, darna in deme soven unde druttigesten jare am sonnavende vor sunte Martini
daghe.
Diplomatische Erörterung: Pergament, Plica mit zwei Siegeln. Deperditum, Kriegsver-
lust [Auskunft des Archivs vom 25.10.2019].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 31. D = Copiae Archivi [danach hier].
Regest: Ostfriesisches UB, 1, 483, S. 435.
514
1437 November 16. Hamburg.
1437.11.16 — Xx 50
514
Der Notar Ludolphus Rotermund bezeugt, dass vor Johannes Grube, Offizial an St. Marien, Volkmarus Boleman, ewiger Vikar an St. Petri, Ericus van Tzeven und Henricus Kotingh, Ratsherren zu Hamburg, und den Zeugen Nicolaus Roper, Priester, ewiger Vikar am Dom, seine zwei Häuser am Wall gegenüber dem Refektorium oder Dormitorium des Doms und 6 m. Renten zugunsten der beiden Vikarien am Altar in der Ratskapelle im Dom gestiftet habe
Notariatsinstrument. Der Notar bezeugt, dass vor Johannes Grube, Offizial (officianus) an St. Marien, Volkmarus Boleman, ewiger Vikar an St. Petri, Ericus van Tzeven785
und Henricus Kotingh,786 Ratsherren zu Hamburg, vor ihm und den Zeugen Nicolaus
Roper, Priester, ewiger Vikar am Dom, freiwillig und aus frommen Motiven zu Ehren
der Jungfrau Maria und aller Heiligen unwiderruflich seine zwei Häuser zwischen
dem Haus der Vikare am Altar der hl. Agnes und Margarethe, das nun Johannes
Pynnemberg und Henricus Leddinghusen, ewige Vikare am Dom, innehaben, und dem
Wall gegenüber dem Refektorium oder Dormitorium des Doms an einer öffentlichen Straße gelegen, gestiftet habe, zusammen mit dem Rodekop genannten Haus
am selben Wall, die Eigentum des Stifters seien, mit allem Zubehör, Kammern, Kellern, Höfen, Gärten, Ställen und weiteren kleineren Gebäuden. Die Stiftung erfolge
zugunsten der beiden Vikarien zu Ehren Marias und aller Heiligen am Altar in der
Ratskapelle im nördlichen Teil des Doms, deren Präsentationsrecht nach dem Tode
Hylles, der Witwe des Heyno van Hachede, dem Rat zukomme. Die Besitzer der beiden
Vikarien und Häuser sollten weiter 6 m. ewiger Renten erhalten, d. h. für jeden
3 m. von den beiden Häusern zur jährlich im Dom zu begehenden memoria des Stifters, die an den Verteiler (distributor) der Memorien zu zahlen seien. Seiner Magd
Alheydis oder Aleke Ropers wegen ihrer treuen Dienste sowie Volkmarus Boleman
weise er eines der beiden Häuser zu, das neben dem Haus der Vikare am Altar der
hl. Agnes und Margarethe und dem zweiten Haus liege. Volkmarus solle dafür jähr-
785
Ratsherr 1414–1450.
786
Ratsherr seit 1426, Bürgermeister 1439–1467.
1437 D ezemb er 5. Hamburg.
503
lich 3 m. lüb. zur memoria des Stifters zahlen, Alheydis aber nichts, selbst wenn sie
Volkmarus überlebe. Der Stifter habe den Notar beauftragt, die Einhaltung der Bestimmungen abzusichern und darüber ein Notariatsinstrument anzufertigen. Acta
sunt hec in opido Hamburgen[sis] predicte Bremensis diocesis in camera sive dormitorio
dicti domini donatoris prope dictum vallum situate sub anno, indictione, die, mense et pontificatu quibus supra. – […] Anno a nativitate eiusdem domini millesimoquadringentesimo
tricesimoseptimo indictione quintadecima die vero sextadecima mensis Novembris, pontificatus sanctissimi in Christo patris et domini nostri, domini Eugenii divina providencia
pape quarti anno septimo. Zeugen: Andreas Wokendorp und Johannes Soltwedel, ewige
Vikare am Dom.
Diplomatische Erörterung: Notariatsinstrument des Ludolphus Rotermund, Kleriker der
Schleswiger Diözese, Notar päpstlicher und kaiserlicher Autorität, mit seinem
Notarszeichen. Großes, längliches Pergament mit Faltung und wenigen Feuchtigkeitsflecken, große Initiale und Invocatio hervorgehoben. Rückseite mit älterem, kopfstehenden Kanzleivermerk: Super 6 m. redditus in domibus Nicolai Ropers
pro memoriarum eisdem. Dazu jünger: Ad vicar[iae] beatae Mariae Viriginis et omnium Sanctorum altaris in capella consulate Hamburg[ensis] in Cathedrali ecclesia. 1437,
weiter: Instrumentum donationis duarum domorum per Nikolaum Roper vicarium ex
opposito refectorii, datiret a[nno] 1437. Vermerke: No. 21 und mit Bleistift 64. Die neue
Signatur mit Bleistift rechts unten quer in der Ecke: Xx 50.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Xx 50.
Edition: Staphorst, I, 2, S. 267–269.
Regest: Schütze, 467, S. 369.
515
1437 Dezember 5. Hamburg.
1437.12.05 — Tt 55
515
Nicolaus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass Theodericus Strobeling, Kantor der Hamburger Kirche, angesichts der geringen Einkünfte der ewigen Vikarie am Altar St. Silvestri an der Pfarrkirche St. Petri zu Hamburg für diese Einkünfte von 8 Morgen in Hammerbrook und von 4 Gärten aus dem Besitz der Kantorei gestiftet habe, und fügen diese den Einkünften der Vikarie hinzu
Nicolaus, Dekan,787 und das gesamte Domkapitel zu Hamburg in einem offenen Brief:
machen bekannt, dass vor ihnen Theodericus Strobeling, Kantor der Hamburger Kirche,788 erklärt habe, dass die ewige Vikarie am Altar St. Silvestri an der Pfarrkirche
St. Petri zu Hamburg nur folgende Einkünfte hätte: ein pfd. im Haus von Heyneke
Eggherdes in der Spitalerstraße (in platea Leprosorum), 2 m. in [dem Haus von] Heyneke Stute, 2 m. in [dem Haus von] Juries up der Veddelen, 2 m. von den Gütern von Ludeke Smede in Finkenwerder (in Ludeken Smedes bonis in Vinckenwerder), 5 m. 8 sol. in
787
Nicolaus Hamborgh, belegt 1429–1439, 1437–1439 auch als Dekan.
788
Belegt 1416–1438, 1432 Senior, 1437–1438 Kantor.
50 4
Regesten der Jahre 14 00 –14 4 0
[dem Haus von] Hinrick Slotermund, 1 pfd. 4 d. in [dem Haus von] Clawes Pral, 1 pfd.
4 d. in [dem Haus von] Heyneke Beye junior, 8 sol. von den Gütern von Clawes Suck
in Stillhorn (in Stillehorne), 1 m. in [dem Haus von] Hermen Groveleyge, 1 m. in [dem
Haus von] Quadewilken, 1 m. in [dem Haus von] Clawes Hoye in Neuengamme (Novagamma) und 24 sol. im Hof von Hermen Thomas im Ausschlag (in dem uthslaghe).
Aus diesen könne sich der Vikar, wie er erklärt habe, nicht hinreichend versorgen.
Deshalb stifte Theodoricus die Einkünfte von 8 Morgen in Hammerbrook zwischen
den Morgen der Heiliggeist-Kapelle zu Hamburg und den Morgen des verstorbenen Ratsherrn Hinricus Bekendorpe789 zusammen mit 4 Gärten vom Hammer Deich
(ab aggere Hammerdike) bis zur öffentlichen Straße, die zum Dorf Hamm führt, über
die immer schon der jeweilige Kantor verfügt hätte, wie jetzt Theodoricus darüber verfüge. Diese sollten der Vikarie und ihren Einkünften, wie sie zurzeit Bernardus Stedingh innehabe, hinzugefügt werden. Dekan und Domkapitel vereinen
den Bitten des Theodoricus entsprechend diese Einkünfte mit denen der Vikarie
und gewähren Theodoricus und seinen Nachfolgern das Präsentationsrecht für die
Vikarie gegenüber dem Kämmerer der Hamburger Kirche, als eine der Kantorei
zugeordnete Pfründe. Siegelankündigung. Datum et actum in loco capitulari dicte ecclesie nostre nobis inibi capitulariter congregates sub anno domini millesimo quadringentesimo tricesimoseptimo quinta mensis Decembris.
Diplomatische Erörterung: Insert in der Bestätigung durch Erzbischof Balduin von Bre-
men von 1438 Mai 12 [unten Nr. 521]. Großes Pergament, Plica mit dem an einem
Pergamentstreifen befestigten Siegel des Erzbischofs.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Tt 55.
Erwähnung: Vollmers, Pfarreien, S. 482.
516
1438 Januar 21. o. O.
1438.01.21 — P 62
516
Broder Galtisna zu Hatshausen bekennt, dass er sich mit Vicke Wigershope, zurzeit Amtmann in Emden, wegen des Streits zwischen dem Rat von Hamburg, dem Amtmann zu Emden, ihren Helfern und ihm darauf geeinigt habe, dass er nicht mehr gegen die Hamburger vorgehe, in Friesland keine Burgen gegen den Kaufmann baue und nicht ohne Erlaubnis nach Emden komme; bei Verstößen müsste der Bürge jeweils 200 Arnheimsche gld. zahlen
Broder Galtisna zu Hatshausen (Hatzehusen) in einem offenen Brief: macht bekannt,
dass er sich mit Vicke Wigershope, Ratmann zu Hamburg und zurzeit Amtmann zu
Emden,790 wegen der Streitigkeiten (umme alle schelinghe, veide, twidracht unde unwillen), die lange zwischen den Hamburgern, ihren Helfern und ihm bestanden hätten, auf Folgendes geeinigt habe:
[1.] Er werde sich gegenüber den Hamburgern, dem Hauptmann zu Emden, den
Emdenern, ihren Freunden und Helfern treu erweisen und sich nach Kräften um
789
Ratsherr 1400–1421.
790
Ratsherr 1429–1461.
1438 Februar 21. o. O.
505
ihr Bestes bemühen und nichts gegen sie oder den gemeinen Kaufmann unternehmen.
[2.] Er werde weder zu Hatshausen noch anderswo in Friesland Burgen (blokhusere
ofte veste) bauen oder bauen lassen, von denen aus man den gemeinen Kaufmann
schädigen könne, sondern nur Festungen wie die anderen Burgherren im Lande
(gheliik anderen husluden in deme lande).
[3.] Er werde weder bei Tag oder Nacht, heimlich oder offenbar nach Emden kommen, außer mit Zustimmung des Hauptmanns zu Emden und wegen der Hamburger.
[4.] Sollten er oder seine Erben gegen seine Zusagen verstoßen, würden sie dem
jeweiligen Hauptmann mit allen ihren Gütern, wo immer die gelegen seien, haften
(vorvallen unde vorbroken wesen).
Memmo Eggena zu Timmel (Tymmel) macht bekannt, dass er gelobt habe, dass Broder seine Zusagen einhalten werde, und dass er für ihn bürge. Wenn Broder dagegen verstoße, müsse Memmo jedesmal dem jeweiligen Amtmann 200 Arnheimsche gld. zahlen. Broder beschwört die Einhaltung der Zusagen, ohne Arglist oder
Berufung auf geistliches und weltliches Recht. Siegelankündigung des Ausstellers
und des Bürgen. Na der bord Cristi veerteynhundert jar, darna in deme achte unde druttigesten jare, in sunte Agneten daghe der hillighen juncfrouwen.
Diplomatische Erörterung: Größeres Pergament mit Faltung und wenigen Feuchtig-
keitsflecken, breite Plica mit zwei an Pergamentstreifen befestigten, gut erhaltenen Siegeln, an zwei Stellen genäht. Rückseite mit jüngerem Kanzleivermerk
in der Mitte: 1438, dazu rechts oben runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 62. D1 = Copiae Archivi. D2 = Copiae
Archivi [maschinenschriftliche Abschrift nach der Kopie des 19. Jahrhunderts,
datiert 25.5.1959, Jürgen Reetz].
Regest: Ostfriesisches UB, 1, 487, S. 437.
517
1438 Februar 21. o. O.
1438.02.21 — P 33
517
Elso Fockana und Johan tor Mude schwören Treue gegenüber Vicke Wigershope, Amtmann zu Emden, seinen Nachfolgern sowie den Städten Hamburg und Emden und versprechen, nicht ohne Erlaubnis nach Emden zu kommen; bei einem Verstoß dagegen müssten die Bürgen dem jeweiligen Amtmann 100 Arnheimsche gld. zahlen
Elso Fockana und Johan tor Mude in einem offenen Brief: machen bekannt, dass sie
mit freiem Willen und wohlberaten Vicke Wigershope, Ratmann zu Hamburg und
zurzeit Amtmann zu Emden,791 seinen Nachfolgern, den Hamburgern, den Emdenern und ihren Helfern gelobt und geschworen hätten, mit Leib und Gut getreu
und hold zu sein (truwe unde hold myd live unde gude to wesende) und auf keinerlei
791
Ratsherr 1429–1461.
506
Regesten der Jahre 14 00 –14 4 0
Weise zu Wasser oder zu Lande gegen sie vorzugehen. Auch würden sie weder bei
Tag noch bei Nacht, weder heimlich noch offen nach Emden kommen, es sei denn
mit Zustimmung des Hauptmanns zu Emden und wegen der Hamburger. Würden
die Zusagen durch sie, ihre Erben oder Dritte ihretwegen nicht eingehalten, erklären sie, dass sie mit ihren Erben und Gütern Buße leisten müssten. Zugleich bekennen Junge Haye Deddinghes und Everd Sickingh für sich und ihre Erben, dass sie die
Einhaltung der Zusagen durch Elso und Johan gelobt und für sie gebürgt hätten.
Würden Elso und Johan dagegen verstoßen, würden sie dem jeweiligen Amtmann
100 Arnheimsche gld. zahlen müssen. Siegelankündigung der Aussteller und Bürgen. Na der bord Cristi veerteynhundert jar, darna in deme achteundedruttigesten jare in
sunte Petri avende ad cathedram.
Diplomatische Erörterung: Pergament mit Faltung und wenigen Feuchtigkeitsflecken,
Plica mit vier an Pergamentstreifen befestigten, meist gut erhaltenen Siegeln,
Text in einem vorgezeichneten Rahmen, kleinere Initiale W. Teilweise stark
nachgedunkelte Rückseite mit Kanzleivermerk in der Mitte: 1438, und rechts unten moderner Signatur in Bleistift: P 33.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 33. D = Copiae Archivi.
Regest: Ostfriesisches UB, 1, 491, S. 439.
518
1438 März 9. o. O.
1438.03.09 — S 14
518
Syverd, Eggherd und Dionysius, brodere, geheten de Heesten, Ritter, geben Eggherd von Bruneke van Alverslo zur Versorgung ihrer Schwester Jutta, der Ehefrau Brunekes, auf Lebenszeit überlassene Güter zu Wohldorf mit ihren Zubehörungen zurück
Syverd, Eggherd unde Dionysius, brodere, geheten de Heesten, her Laurencius Heesten sons,
ritters, in einem offenen Brief: machen bekannt, dass Bruneke van Alverslo andes geheten van Coden (Kaden) Eggherd zur Versorgung (liftucht) ihrer Schwester Jutta,
der Ehefrau Brunekes, etliche Güter zu Wohldorf (Woltorpe) und seinen Zubehörungen auf Lebenszeit überlassen hätte, dass sie nun aber Bruneke als rechte Vormunde ihrer Schwester auf beste Weise alle zuvor überlassenen Güter zu Wohldorf
zurückgeben würden. Dies solle die Schwester auch vor Herzog Adolf [VIII.] von
Schleswig (hern Alve to Sleswiik etc. hertoghen),792 ihrem Herrn, erklären, und sie solle
auch künftig keine Ansprüche auf diese Güter mehr erheben. Syverd, Eggherd und
Dionysius geloben die Einhaltung der Zusagen auch für ihre Schwester Jutta und
ihre Erben. Siegelankündigung der Aussteller. Gheven na Godes bord verteinhundert
jar, darna in deme achtundedrittigesten jare, des sondaghes, alse men singhed Reminiscere
in der hillighen kerken.
Adolf VIII., Graf von Holstein und Stormarn (seit 1421), (als Adolf I.) Herzog von Schleswig (1427–
1459).
792
1438 Mär z 11. o. O.
507
Diplomatische Erörterung: A: Größeres Pergament mit Faltung und zahlreichen, auch
größeren Feuchtigkeitsflecken und geringen Textverlusten, breite Plica mit drei
an Pergamentstreifen befestigten, gut erhaltenen Siegeln. Rückseite mit dem
Kanzleivermerk: Woltorpe. C, auf dem mittleren Pergamentstreifen dazu: R[egistra]ta. / C: Abschrift des 17. Jahrhunderts der Kopie einer Register-Überlieferung
(des Liber emptionum von 1485).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. S 14. C = StAHH 311-1 I 406 („Kopialbuch
des Jürgen Rose“), S. 73–74. D = Copiae Archivi.
Regest: Sarnowsky, Sichern, 29.
Erwähnung: Reincke, Territorialpolitik, S. 91, Anm. 188.
519
1438 März 11. o. O.
1438.03.11 — P 33 b
519
Focko Schartinghe und Heuwo to Kellinghorst schwören Treue gegenüber Vicke Wigershope, Amtmann zu Emden, seinen Nachfolgern sowie den Städten Hamburg und Emden und versprechen, nicht ohne Erlaubnis nach Emden zu kommen; bei einem Verstoß dagegen müssten sie dem jeweiligen Hauptmann Buße leisten
Focko Schartinghe und Heuwo to Kellinghorst in einem offenen Brief: machen bekannt,
dass sie mit freiem Willen und wohlberaten Vicke Wigershope, Ratmann zu Hamburg und zurzeit Amtmann zu Emden,793 seinen Nachfolgern, den Hamburgern,
den Emdenern und ihren Helfern gelobt und geschworen hätten, mit Leib und Gut
getreu und hold zu sein (truwe unde hold myd live unde gude to wesende) und auf keinerlei Weise gegen sie, die Ihren oder den gemeinen Kaufmann vorzugehen. Auch
würden sie weder bei Tag noch bei Nacht, weder heimlich noch offen nach Emden
kommen, es sei denn mit Zustimmung des Hauptmanns zu Emden und wegen der
Hamburger. Würden die Zusagen durch sie oder ihre Erben nicht eingehalten, erklären sie, dass sie dem jeweiligen Hauptmann zu Emden mit ihren Erben und Gütern Buße leisten müssten, so oft dies geschehe. Ankündigung der Siegel von Focko
und von Jayge, Kirchherrn zu Bunde (Bonde), der auf Bitten Heuwos siegelt. Na der
bord Christi veerteynhundert jar darna in deme achteundedruttigesten jare am dinghesdaghe vor Oculi.
Diplomatische Erörterung: Pergament mit Faltung und wenigen nachgedunkelten
Stellen, Plica mit zwei an einem Pergamentstreifen befestigten, gut erhaltenen
Siegeln, rechts etwas eingerissen, Text in einem vorgezeichneten Rahmen, kleinere Initiale W.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 33 b. D1 = Copiae Archivi. D2 = Copiae
Archivi [maschinenschriftlich].
Regest: Ostfriesisches UB, 1, 492, S. 440.
793
Ratsherr 1429–1461.
508
Regesten der Jahre 14 00 –14 4 0
520
1438 April 22. Bargteheide.
1438.04.22 — Oo 101, Oo 102
520
Adolf [VIII.], Herzog von Schleswig, vermittelt zwischen Propst, Dekan und Kapitel zu Hamburg auf der einen und Volrad Heest und seinen Erben auf der anderen Seite im Streit um den Krugzins zu Bargteheide; künftig müssten Volrad und seine Erben Propst, Dekan und Kapitel nach September 29 jährlich 8 m. Rente zahlen
Adolf (Alleff) [VIII.], Herzog von Schleswig, Graf von Holstein, Stormarn und Schauenburg,794 in einem offenen Brief: macht bekannt, dass er zwischen Propst, Dekan
und Kapitel der Hamburger Kirche auf der einen und Volrad Heest und seinen Erben
auf der anderen Seite auf dem Kirchhofe zu Bargteheide freundlich im Streit um
den Krugzins (umme de krůghure, de se jarlikes hadden uth den kroghen beleghen in dem
dorpe to Berghteheyle) geschlichtet habe. Mit seiner Zustimmung sei beschlossen,
dass Volrad und seine Erben als Besitzer des Dorfes Propst, Dekan und Kapitel als
jährliche Rente für den Krugzins von den zuerst aus dem Kirchdorf Bargteheide
einkommenden Geldern auf ewig September 29 bis Oktober 6 (in den achtedaghen
sunte Michaelis) 8 m. lüb. zahlen sollten. Gebe es dabei irgendeine Behinderung,
könnten Propst, Dekan und Kapitel Volrad, seine Erben oder den jeweiligen Besitzer des Dorfes, ob sie den Krug hielten oder nicht, nach geistlichem oder weltlichem
Recht mahnen. Siegelankündigung Adolfs zusammen mit dem Siegel Volrads. Dieser gelobt für sich und seine Erben, die durch den Herzog herbeigeführte Einigung
in allen Stücken halten zu wollen. Siegelankündigung Volrads zusammen mit dem
Siegel Herzog Adolfs. Gegheven […] to Berghteheyle na Godes bord dusent veerhundert
an dem achteundedrittigesten jare des dinghesdaghes na Quasimodogeniti. Zeugen: Detleff
van Boͤcwolde, Sohn Volrades, Hinrik Kule, Hans Poghwisch, Johan Hummersbuttel, Knappen, der herzogliche Schreiber Otte Sluter, Vicke van dem Hove, Bürgermeister,795 und
Hinrik Kotingh, Ratsherr zu Hamburg.796
Diplomatische Erörterung: A: Pergament mit Faltung, wenige Feuchtigkeitsflecken und
nachgedunkelten Stellen, Plica mit zwei Schlitzen zur Anbringung von Siegeln,
nur der erste Pergamentstreifen ist erhalten, die Siegel fehlen. In der Mitte stark
nachgedunkelte Rückseite mit jüngerem Kanzleivermerk: Super 8 m. in tabernis
villae Berchteheyl. 1438, dazu E und No. 25. / B: zeitgenössische Abschrift auf einem
Blatt Papier, mit Feuchtigkeitsflecken und einem Loch mit Textverlusten. Initiale
W vor dem Text, die Vorderseite mit dem Text und der modernen Jahreszahl
rechts oben: 1438. Auf der Rückseite ein nur fragmentarisch erhaltener, wohl ra-
Adolf VIII., Graf von Holstein und Stormarn (seit 1421), (als Adolf I.) Herzog von Schleswig (1427–
1459).
794
795
Ratsherr seit 1416, Bürgermeister 1431–1442.
796
Ratsherr seit 1426, Bürgermeister 1439–1467.
1438 Mai 12 . Bremer vörde.
509
dierter Vermerk in der Mitte der Seite: […] mo […] xiiio […] post Martini le[…] ik […]
vore disse 2 sol […] as[…] 2 […] un[de] 3 […] brem […] se […] w[e]dder gheven […] he ock na
bleve […] dar ane […] Godes […] kere.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Oo 101. B = StAHH 710-1 I Threse I, Nr.
Oo 102.
521
1438 Mai 12. Bremervörde.
1438.05.12 — Tt 55
521
Baldewinus, Erzbischof von Bremen, bestätigt die Stiftung von Theodericus Strobeling, Kantor der Hamburger Kirche, zugunsten der Einkünfte der Vikarie am Altar St. Silvestri an St. Petri und inseriert die betreffende Urkunde (Nr. 515)
Baldewinus, Erzbischof von Bremen,797 in einem offenen Brief: macht bekannt, dass
Theodericus Strobeling, Kantor der Hamburger Kirche,798 erklärt habe, dass er und
seine Nachfolger als Kantoren wegen der durch ihn erfolgten Vermehrung der
Einkünfte der Vikarie am Altar St. Silvestri an St. Petri von Dekan und Kapitel der
Hamburger Kirche das Präsentationsrecht für diese Vikarie beim jeweiligen Kämmerer der Hamburger Kirche erhalten hätten. Deren Urkunde wird inseriert.
[Es folgt die Urkunde von Dekan und Domkapitel zu Hamburg von 1437 Dezember 5, oben Nr. 515.]
Der Erzbischof bestätigt, weil er eine Vermehrung des göttlichen Kultus erstrebe,
den Bitten des Theodoricus entsprechend die Vermehrung der Einkünfte der genannten Vikarie sowie die Übertragung des Rechts zur Präsentation geeigneter
Kandidaten an den Kantor und seine Nachfolger im Amt, die beim jeweiligen Kämmerer erfolgen solle. Siegelankündigung. Datum et actum in castro nostro Vordis anno
a nativitate domini millesimo quadringentesimo tricesimooctavo indictione prima die Lune
duodecima mensis Mai.
Diplomatische Erörterung: Großes Pergament mit Faltung und einigen größeren
Feuchtigkeitsflecken, Plica mit einem an einem Pergamentstreifen befestigten
Siegel in rotem Wachs. Rückseite mit zwei Kanzleivermerken. Der erste am rechten Rand quer, teilweise stark verblasst: Confirmatio archiepiscopi [Baldewini super
… vicarie … sancti] Silvestri in ecclesia sancti Petri [Hamburgensis]. Rechts unten etwas
jünger: S[ancti] Petri vicaria altaris sancti Silvestri. R[egistra]ta folio iiio. 1438.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Tt 55.
Erwähnung: Vollmers, Pfarreien, S. 482.
797
Balduin von Wenden, 1435–1441.
798
Belegt 1416–1438, 1432 Senior, 1437–1438 Kantor.
510
522
Regesten der Jahre 14 00 –14 4 0
1438 Mai 25. o. O.
1438.05.25 — Kk 10
522
Bruneke van Alverslo, auch genannt von Kaden, Knappe, quittiert Bürgermeistern und Rat zu Hamburg den Empfang der Rente von 46 m. 10 sol. 8 d. für die Zeit bis [14]38 September 29
Bruneke van Alverslo, auch genannt von Kaden (van Coden), Knappe, in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren der Stadt Hamburg über
die empfangene Rente in Höhe von 46 m. 10 sol. und 8 d. für den Zeitraum [14]37
September 29 bis [14]38 September 29 (van sunte Michaelis daghe int jar sovenundedrittich wente uppe sunte Michaelis dagh int jar achteundedrittich). Überlässt ihnen alles
Holz zu Wohldorf (Woltorpe). Siegelankündigung. Gheven na Godes bord verteinhundert jar darna in deme achtundedrittigesten jare des sondaghes na der hemmelvard Christi.
Diplomatische Erörterung: Pergament mit Faltung, einigen Feuchtigkeitsflecken, ver-
blassten Stellen und kleineren Textverlusten, breite Plica mit Resten eines an
Pergamentstreifen angehängten Siegels, dazu auf der Plica verblasster runder
Stempel mit kyrillischen Buchstaben. Auf der Rückseite zeitgenössischer Kanzleivermerk: 1438.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Kk 10. D = Copiae Archivi.
Erwähnung: Reincke, Territorialpolitik, S. 91, Anm. 188.
523
1438 Juni 23. o. O.
1438.06.23 — Gg 77
523
Gunther van Besekindorff, Knappe, quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Gunther van Besekindorff, Knappe, in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren der Stadt Hamburg für Sold, Lösegeld, Schadenersatz und
Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Spricht für sich und seine Erben Bürgermeister und Rat von Hamburg, ihre
Bürger und Einwohner von weiteren Forderungen frei. Siegelankündigung des
Ausstellers. Na der bord Cristi vertenhundert jar, darna in dem achteundedertigesten jare
ey[n hilgen] avende sunte Johannis Baptisten to [myddensumere].
Diplomatische Erörterung: Pergament mit Faltung, starken Feuchtigkeitsflecken und
kleineren Textausfällen, Plica mit einem an einem Pergamentstreifen befestigten Siegelrest, erhalten in Papiertasche mit der modernen Signatur in Bleistift:
Gg 77. Rückseite in der Mitte mit Kanzleivermerk: Quitancia Gunteri de Besekendorff, dazu links unten runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 77. D = Copiae Archivi [verkürzt mit
Verweis auf Gg 47].
1438 Juni 24. o. O.
524
511
1438 Juni 24. o. O.
1438.06.24 — N 46 b
524
[Fragmentarisch erhaltener] Vertrag zwischen den Städten [Hamburg und Lübeck (?)] und [den Herzögen von Braunschweig-Lüneburg (?)] über den Fischfang auf der Elbe
[Fragmentarisch erhaltener] Vertrag zwischen den Städten [Hamburg und Lübeck
(?)] und [den Herzögen von Braunschweig-Lüneburg (?)] über den Fischfang auf
der Elbe:
[1.] Die auf der Seite von Kirchwerder gefangenen Störe sollten auf dem Schloss
Riepenburg abgeliefert werden, die auf der Lüneburger Seite gefangenen auf dem
Schloss zu Winsen, und davon werde der übliche Teil abgezogen. Das gelte auch für
die Fänge am obersten Wehr bis Fliegenberg (de van dem oversten were driven bette to
deme hurevorde neffen deme Vleghenberghe), und man solle mit gleich vielen Schiffen
fangen (driven). Alle, die Störe fangen würden, müssten sie entsprechend abliefern.
[2.] Darüber hinaus solle niemand an diesen Furten (vorden) Fische fangen, außer
denen, denen das für die Wehre übertragen sei, ihren Erben und denen, denen sie
wiederum ihre Rechte übertragen hätten, unter Wahrung der Rechte der Landesherren. Diese Wehrleute könnten ihre Rechte verkaufen, verpfänden oder vergeben, aber nur an weltliche, nicht an geistliche Personen.
[3.] Die Wehrleute sollten der Herrschaft jährlich in der Fastenwoche zwei Fänge
(?, lesse) abgeben. Wehre (stakke) sollten nur mit Zustimmung der Herrschaft abgebaut oder aufgebaut werden.
Siegelankündigung der Städte. Gheven na Godes bord verteynhunderd jar darna in deme
achteundedrittigesten jare an sunte Johannis Baptisten daghe midden somer.
Diplomatische Erörterung: Fragment aus einem Bucheinband, nur der untere Teil ist
erhalten. Unterschiedlich nachgedunkeltes Pergament, Plica mit zwei Schnitten
zur Anbringung von Siegeln, die Pergamentstreifen und Siegel fehlen. Rückseite
mit Naht, restaurierter Stelle und einem runden Stempel mit kyrillischen Buchstaben oben in der Mitte.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. N 46 b. D = Copiae Archivi.
525
1438 August 7. o. O.
1438.08.07 — Gg 74
525
Hans Berndes aus Hannover quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Hans Berndes aus Hannover in einem offenen Brief: quittiert den Bürgermeistern
und Ratsherren der Stadt Hamburg für Sold, Lösegeld, Kostgeld und Schadenersatz
während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Spricht
für sich und seine Erben Bürgermeister und Rat von Hamburg, ihre Bürger und
Einwohner von weiteren Forderungen frei. Siegelankündigung. Ghescreven unde
ghegeven na der bord Christi veerteynhundert jar darna in dem achteundruttigesten jare
am donredaghe vor sunte Laurencii daghe des heilighen mertelers.
512
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken
und daraus resultierendem leichtem Textverlust, Plica mit einem an einem Pergamentstreifen angehängten, beschädigten Siegel. Auf der Rückseite oben in der
Mitte Kanzleivermerk: Quitancia Johannis Berndis 1438.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 74. D = Copiae Archivi [verkürzt unter
Hinweis auf Gg 67].
Erwähnung: Ballheimer, 4, S. 20.
526
1438 August 26. o. O.
1438.08.26 — S 12
526
Bruneke van Alversloe, anders gheheten van Coden, Knappe, quittiert Bürgermeistern und Rat zu Hamburg über 127 m., die sie Andreas Wokendorpe und Johannes Brunonis, Vikaren am Dom, sowie Herman van dem Hove, Vikar an St. Petri, für 11 m. jährlicher Rente gezahlt hätten, sowie über 220 m., die von ihnen die Knappen Hans Pogghewische, Breideke Rantsouwe und Gherd van der Herberghe für die Mitgift der Drude erhalten hätten, als Teilzahlungen von den ihm schuldigen 700 m., befreit sie von allen Forderungen wegen der 347 m. und erklärt, künftig nur noch 345 m. und die dazugehörigen Renten einzufordern
Bruneke van Alversloe, anders gheheten van Coden, Knappe, in einem offenen Brief:
macht bekannt, dass Bürgermeister und Ratsherren der Stadt Hamburg von den
700 m., für die sie ihm gemäß ihren besiegelten Urkunden jährlich 46 m. 10 sol. 8 d.
Rente schuldig sind, Andreas Wokendorpe und Johannes Brunonis, Vikaren am Dom,
sowie Herman van dem Hove, Vikar an St. Petri, 127 m. für 11 m. jährlicher Rente
gezahlt hätten, die ihren Vikarien aus der Hälfte des Dorfes Wohldorf zuständen.
Weiter hätten die Hamburger seinetwegen den Knappen Hans Pogghewische, Breideke Rantsouwe und Gherd van der Herberghe 220 m. für die Mitgift der Drude (van vrouwen Druden brutschattes weghen) gezahlt, die nunmehr die Ehefrau des Henneke van
Quale sei. Bruneke befreit Bürgermeister und Ratsherren von Hamburg von allen
Forderungen wegen der 347 m. Wegen der von diesen besiegelten Urkunden werde
er daher nicht mehr als 345 m. und die dazu gehörigen Renten einfordern. Würden
Bürgermeister und Ratsherren ihm, seinen Erben oder dem Inhaber der Urkunde
über die 700 m. die 345 m. mit den Renten entrichten, werde er ihnen diese Urkunde aushändigen. Siegelankündigung Brunekes. Gheven na Godes bord verteynhundert
jar, dar na in deme achte unde drittigesten jare des dingxdaghes na Bartholomei des hillighen apostels.
Diplomatische Erörterung: A: Größeres Pergament mit Faltung und zahlreichen Feuch-
tigkeitsflecken, Plica mit einem an einem Pergamentstreifen angehängten, restaurierten Siegel. Auf der Rückseite in der Mitte zeitgenössischer Kanzleivermerk: Woltorpe. D, dazu unten rechts runder Stempel mit kyrillischen Buchstaben
und die moderne Signatur in Bleistift: S 12. / C: Abschrift des 17. Jahrhunderts der
Kopie einer Register-Überlieferung (des Liber emptionum von 1485).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. S 12. C = StAHH 311-1 I 406 („Kopialbuch
des Jürgen Rose“), S. 75–76. D = Copiae Archivi.
Regest: Sarnowsky, Sichern, 30.
Erwähnung: Reincke, Territorialpolitik, S. 91, Anm. 188.
1438 Ok tob er 15. Prag.
527
513
1438 Oktober 15. Prag.
1438.10.15 — F 11
527
Albrecht [II.], römischer König, König von Ungarn, Böhmen, etc., bestätigt Bürgermeistern, Rat und Bürgern der Stadt Hamburg auf Bitten ihrer Botschaft alle von römischen Kaisern, Königen, Herzögen von Sachsen, Grafen von Holstein und anderen geistlichen und weltlichen Fürsten und Herren erhaltenen Privilegien sowie ihre guten Gewohnheiten
Albrecht [II.], römischer König, König von Ungarn, Böhmen, Dalmatien und Kroatien etc., Herzog von Österreich etc.799 in einem offenen Brief: bestätigt den Bürgermeistern, dem Rat und den Bürgern der Stadt Hamburg auf Bitten ihrer Botschaft
alle von römischen Kaisern, Königen, Herzögen von Sachsen, Engern und Westfalen und den Grafen von Wagrien (Wagaren), Stormarn, Holstein und Schauenburg
und auch anderen geistlichen und weltlichen Fürsten und Herren erhaltenen Privilegien sowie ire gute gewonheite. Droht denjenigen eine Strafe von 25 Mark lötigem
Gold (funffundtzwentzig margk lotigs golts) an, die gegen diese Privilegien verstoßen,
zahlbar halb an ihn und des Reiches Kammer und halb an Hamburg. Siegelankündigung. Geben zu Prage am mitwochen vor sant Gallen tage nach Crists geburt viertzehnhundert und darnach in dem achtunddrissigsten jare, unsere r[y]che im ersten jare.
Diplomatische Erörterung: Großes, etwas nachgedunkeltes Pergament mit zwei leich-
ten Einrissen entlang der Faltlinien am linken Rand und einem Textverlust in
der Datumszeile, Plica mit abgerissener schwarz-gelber Seidenschnur als Siegelanbringung, das Siegel ist lose erhalten, rechts auf der Plica Kanzleivermerk:
Ad mandatum domini regis domino G[aspari Schlick] cancellario referente Theodericus
Ebbracht. Auf der Rückseite Kanzleivermerk oberhalb des Siegels: P.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. F 11. D1 = Copiae Archivi und D2 = Copiae
Archivi [maschinenschriftlich; mit Oktober 22].
Edition: Reincke, Weg, 51, S. 148–150 [mit Oktober 22].
Regest: Schütze, 471, S. 369 [mit Oktober 14]; Regesta Imperii XII, 406, S. 98–99.
Erwähnung: Ballheimer, 4, S. 22.
528
1438 Oktober 18. o. O.
1438.10.18 — Gg 75
528
Hans von Embeke quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Schadenersatz und Kostgeld während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Hans van Embeke in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren der Stadt Hamburg für Sold, Kostgeld und Schadenersatz während seiner Gefangenschaft und Verwundung in ihrem Dienst im Krieg gegen Dänemark.
Spricht für sich und seine Erben Bürgermeister, Ratsherren, Bürger, Einwohner
und Untersassen (undersaten) der Stadt Hamburg von weiteren Forderungen frei.
Siegelankündigung. Gheven na Godes bord verteynhundert jar darna in deme achteundedrittigesten jare an sunte Luce daghe des hilghen ewangelisten.
Herzog von Österreich (als Albrecht V.) (1404–1439), römischer, ungarischer und böhmischer König
(1438–1439).
799
5 14
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken
vor allem entlang der senkrechten Faltungen sowie am rechten Rand und daraus
resultierendem leichtem Textverlust, Plica mit einem an einem Pergamentstreifen angehängten Siegel. Auf der Rückseite in der Mitte Kanzleivermerk: Quitancia Johannis de Embeke 1438.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 75. D = Copiae Archivi.
529
1438 Oktober 22. Prag.
1438.10.22 — B 19 a und b
529
Albrecht [II.] römischer König, König zu Ungarn, Böhmen, etc. bestätigt Bürgermeistern, Rat und Bürgern der Stadt Hamburg auf ihre Bitte hin das von Kaiser Sigismund erteilte Privileg zum Schlagen von Goldmünzen (Nr. 459)
Albrecht [II.] römischer König, König zu Ungarn, Böhmen, Dalmatien und Kroatien, Herzog zu Österreich,800 in einem offenen Brief: macht bekannt, dass er angesichts der treuen Dienste von Bürgermeistern, Rat und Bürgern allgemein der
Stadt Hamburg, die sie ihm und seinen Vorgängern geleistet haben, und auf ihre
Bitte hin das von Kaiser Sigismund801 erteilte Privileg zum Schlagen von Goldmünzen erneuert und bestätigt habe. Die Hamburger könnten so künftig Goldmünzen
nach Gewicht, Güte und Währung prägen, wie sie von römischen Kaisern und Königen geschlagen würden. Auf einer Seite sollten die Münzen einen Reichsapfel
mit Kreuz zeigen, auf der anderen das Bild St. Petri die Umschrift Moneta aurea
Hamburgen[sis], und in Gewicht und Wert den rheinischen Gulden folgen (nach
werde rynischer guldene, die zu solichen czyten genge sin). Dazu sollten sie geeignete
Münzmeister und Amtleute beschäftigen. Siegelankündigung. Geben zu Prage an
sante Severes tage nach Cris[ts geburd] dusentvierhundert jar und darnach in dem achtunddreyssigstem jare, unser reyche im ersten jare.
Diplomatische Erörterung: A: Großes Pergament mit Faltung und etlichen Feuchtig-
keitsflecken, Löchern insbesondere entlang der Faltlinien und in der Folge mit
einigen Textausfällen, große Plica mit schwarz-gelber Seidenschnur zur Siegelbefestigung, das abgeschnittene Majestätssiegel mit Rücksiegel liegt lose bei.
Auf der Plica Kanzleivermerk: Ad mandatum domini regis domino G[aspari Schlick]
cancell[ario] referente Theodoricus Ebbracht. Rückseite mit Papier überklebt, unten Ausschnitt mit dem Vermerk O, rechts Ausschnitt mit einem Zeichen.802 /
Herzog von Österreich (als Albrecht V.) (1404–1439), römischer, ungarischer und böhmischer König
(1438–1439).
800
König von Ungarn (seit 1387), römischer König (seit 1410/1411), Kaiser (1433–1437), das Privileg oben
Nr. 459.
801
802
Nach Regesta Imperii XII, 415, S. 102, befand sich auf der Rückseite vor der Restaurierung noch der
Vermerk R[egistra]ta.
1438 Novemb er 16. [Hamburg ].
5 15
C: Vidimus der Urkunde Albrechts II. durch das Lübecker Domkapitel von 1564
September 23, Notariatsinstrument des Casparus Schrader, Notar päpstlicher und
kaiserlicher Autorität. Großes Pergament mit Faltung und wenigen nachgedunkelten Stellen, Plica mit Pergamentstreifen zur Siegelanbringung, Siegel fehlt.
Rückseite mit Buchstabe F und verblassten, schwer lesbaren Notizen: […] 18 Novembris a[nno] 64. […].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. B 19 a. C = StAHH 710-1 I Threse I, Nr. B
19 b.
Edition: Klefeker, Sammlung, 12, Q 19 b, S. 249–251.
Regest: Schütze, 472, S. 369 [mit Oktober 23]; Regesta Imperii XII, 415, S. 102.
Erwähnung: Ballheimer, 4, S. 20.
530
1438 November 16. [Hamburg].
1438.11.16 — Cc 55
530
Clawes Kerstens, Bürger zu Hamburg, schwört Urfehde wegen seiner Gefangenschaft nach Beleidigung des Rats
Clawes Kerstens, Bürger zu Hamburg, in einem offenen Brief: macht bekannt, dass er
gegen das Gericht der Stadt Hamburg gesprochen und den Rat und seine Mitglieder beleidigt habe, dass er dafür bestraft (nach mynem vordenste angetasted) worden
und in den Turm gesperrt worden sei. Wegen dem, was ihm geschehen sei, wolle
er weder Bürgermeister und Ratsherren noch ihre Nachfolger, Bürger, Einwohner
und Untersassen Hamburgs weder selbst noch durch andere schädigen noch an
sie irgendwelche Forderungen stellen oder die Eide brechen, mit denen er diese
Urfehde bekräftigt habe (van mynen nascreven eeden, dar ik desse orveide mede vestend
hebbe). Weiter bekennen Hans Kerstens, Hinrik Kerstens und Clauwes Boke, Bruder von
Clawes Kerstens, dazu das gesamte Geschlecht der Rolemans in Dithmarschen, zusammen und persönlich, welchen Familiennamen sie auch tragen, sowie Volkmer
Vrese und Hans Potel, Bürger zu Hamburg, dass sie den Bürgermeistern, Ratsherren,
ihren Nachfolgern, den Bürgern, Einwohnern und Untersassen die Einhaltung der
Zusagen durch Clawes Kerstens gelobt hätten und dafür bürgen würden. Wenn
jemandem von ihnen durch Clawes oder in seinem Namen Anklage oder Schaden
widerfahre, sollten sich die Bürgen in Hamburg zum Einlager einfinden und ihre
Güter, egal wo oder welcher Art sie seien, würden eingezogen und zum Nutzen in
der anstehenden Angelegenheit herangezogen. Die Bürgen sollten erst nach Klärung der Schäden die Stadt wieder verlassen. Clawes Kerstens beschwört das für
sich und seine Erben, ebenso wie die Bürgen. Siegelankündigung des Ausstellers
und der Bürgen. Gheven na Godes bord verteynhundert jar, dar na in deme achteundedrittigesten jare, des sondaghes na Martini, des hillighen bisschoppes.
5 16
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: Großes Pergament mit Faltung, zahlreichen Feuchtigkeits-
flecken und etwas verblasster Schrift, breite Plica mit sieben an längeren Pergamentstreifen befestigten, kleineren Siegeln. Auf der Rückseite zeitgenössischer
Kanzleivermerk in der Mitte: Orveida Nicolai Kersten 1438, dazu jünger: [Dominica]
p[ost] Martini und davor Zahl 19).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Cc 55. D = Copiae Archivi.
531
1438 Dezember 4. o. O.
1438.12.04 — Gg 76
531
Hans Doweltze quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Kostgeld und Schadenersatz während seiner Gefangenschaft und Verwundung in ihrem Dienst im Krieg gegen Dänemark
Hans Doweltze in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren
der Stadt Hamburg für Sold, Kostgeld und Schadenersatz während seiner Gefangenschaft und Verwundung in ihrem Dienst im Krieg gegen Dänemark (myne tzoldie, kost, teringhe, vengknisse, schade unde [wun]ndinghe nichtes nicht uthgesproken alse
ik in erer stadt denste wesen unde in Dennemarken […]). Spricht für sich und seine Erben Bürgermeister, Ratsherren, Bürger, Einwohner und Untersassen (undersaten)
der Stadt Hamburg von weiteren Forderungen frei. Siegelankündigung. Gheven na
Godes bord verteynhundert jar darna in deme achtundedrittigesten jare an sunte Barbaren
daghe der hilligen juncfrouwen.
Diplomatische Erörterung: Pergament mit Faltung, etlichen Feuchtigkeitsflecken und
kleineren Textverlusten, breite Plica mit einem an einen Pergamentstreifen angehängten, beschädigten Siegel. Auf der Rückseite in der Mitte Kanzleivermerk:
Quitancia Johannis Doweltze 1438.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 76. D = Copiae Archivi [stark verkürzt
unter mehrfachem Hinweis auf Gg 75].
532
1438 Dezember 16. o. O.
1438.12.16 — Gg 78
532
Bruneke van Alverslo, auch genannt von Kaden, Knappe, quittiert Bürgermeistern und Rat zu Hamburg über Sold für den Dienst, in dem er bis zum Tag der Ausstellung dieser Urkunde gestanden habe
Bruneke van Alverslo, auch genannt von Kaden (van Coden), Knappe, in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren der Stadt Hamburg über
Sold für den Dienst,803 in dem er bis zum Tag der Ausstellung dieser Urkunde [1438
Dezember 16] (wente uppe den dagh alse desse bref is gegheven) gestanden habe. Das
Verhältnis zwischen Bürgermeistern, Ratsherren, Bürgern und Einwohnern der
Stadt Hamburg auf der einen und ihm und seiner Familie (vrundschop) auf der an-
803
Wohl nicht nur gegen Dänemark, wie auf D vermutet.
1439 Januar 12 . [Segeb erg ].
517
deren Seite sei leve unde gut, er wolle sie nach seinem Vermögen unterstützen. Siegelankündigung. Screven na Godes bord verteynhundert jar darna in deme achtundedrittigesten jare am dingxdaghes vor Thome apostoli.
Diplomatische Erörterung: Pergament mit starken Feuchtigkeitsflecken und leichtem
Textverlust, Plica mit einem an einem Pergamentstreifen angehängten, gut erhaltenen Siegel. Auf der Rückseite Kanzleivermerk rechts oben: Quitancia Bruneken van Alverslo anders gheheten van Coden 1438.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 78. D = Copiae Archivi [mit nachgezeichnetem Siegel].
Erwähnung: Lehe, Fehden, S. 163.
533
1439 Januar 12. [Segeberg].
1439.01.12 — Oo 73
533
Herzog Adolf [VIII.] von Schleswig, bezeugt, dass ihm Frau vor Eybe, Witwe Luders von Hamme, persönlich den Hof und das halbe Dorf zu Lütjensee mit allem Zubehör, die wüste Feldmark zu Oddekendorpe und den vierten Teil, den sie am Lütjensee gehabt habe, aufgelassen habe, nimmt die Auslassung an und überträgt den Besitz an Nicolaus, Dekan, und das Domkapitel zu Hamburg, das Frau vor Eybe aufnehmen, versorgen und eine jährliche Rente von 30 m. lüb. zahlen solle
Herzog Adolf (Alff) [VIII.] von Schleswig, Graf zu Holstein, Stormarn und Schauenburg,804 in einem offenen Brief: bezeugt, dass ihm Frau vor Eybe, Witwe Luders
von Hamme, persönlich und mit freiem Willen den Hof und das halbe Dorf zu Lütjensee (Lutkensee) mit allem Zubehör, die wüste Feldmark zu Oddekendorpe805 und
den vierten Teil, den sie am Lütjensee gehabt habe, aufgelassen habe. Luder sei
der rechte Erbe und der letzte aus seinem Geschlecht gewesen, Erbe von Geverdes
Ditzouwen, der zuvor auch Eybes Ehemann war und das Lehen von Adolfs Vetter,
Graf Heinrich,806 verliehen bekommen habe. Eybe hätte den Besitz seit Geverdes’
Tod als Leibgedinge gehabt. Adolf habe die Auflassung angenommen, aber für Eybe
sorgen wollen, damit sie bequem und in Frieden ihre Tage beschließen könne. Er
habe Johannes, Dompropst,807 Meister Nicolaus, Domdekan,808 und das gesamte Domkapitel zu Hamburg angewiesen, Frau vor Eybe aufzunehmen, zeit ihres Lebens zu
versorgen und ihr eine jährliche Rente von 30 m. lüb. zu zahlen. Darüber sollten sie
ihr eine Urkunde ausstellen. Adolf überlasse Dekan, Propst und Domkapitel dafür
wohl bedacht, für sich und seine Erben, den Hof und das halbe Dorf zu Lutkensee,
die wüste Feldmark zu Oddekendorpe und den vierten Teil des Sees, die auf ewige
Zeiten bei der Kirche bleiben sollten, zusammen mit allen Rechten, Äckern, Wiesen,
Weiden, Deichen, Dämmen, Fischerei, Holzschlag, Brüchen und Jagd, mit höherer
804
Adolf VIII., Graf von Holstein und Stormarn seit 1421, (als Adolf I.) Herzog von Schleswig 1427–1459.
805
Vielleicht das heutige Oetjendorf, Ortsteil von Hoisdorf, unweit von Lütjensee.
806
Wahrscheinlich Heinrich III. (1388–1421), eigentlich der Onkel Adolfs.
807
Johannes Middelmann, als Propst belegt 1433–1457.
808
Nicolaus Hamborgh, belegt 1429–1439, 1437–1439 auch als Dekan.
518
Regesten der Jahre 14 00 –14 4 0
und niederer Gerichtsbarkeit und allen Rechten, wie sie vor Eybe ausgeübt hätte.
Er und seine Nachfolger würden diese Rechte der Kapitelsherren verteidigen, und
er befreie sie von allen Ansprüchen. Er behalte sich aber die Landesverteidigung
und allgemeine Abgaben (mene lantwere unde wes dat mene land deit) vor. Adolf habe
seinem Amtmann zu Segeberg, Hinrik Greveke, angewiesen, das Domkapitel vollständig in den Besitz einzuführen. Er setze das Domkapitel mit der vorliegenden
Urkunde in alle Rechte ein, die es auf ewige Zeiten nutzen könne. Das Domkapitel habe ihm dafür neben der Versorgung vor Eybes und der Zahlung von 30 m.
Rente das halbe Dorf Süderau mit allen Rechten (alle rechticheit unde gherichte unde
nutticheit, de se aldus lange hebben ghehad in deme halven dorpe to der Suderouwe) und
den darüber ausgestellten Urkunden übergeben. Adolf bestätigt weiter den Erhalt
einer Zahlung von 200 m. lüb. durch Propst, Dekan und Kapitel. Diese hätten sich
und dem Kloster Reinbek allerdings den Zehnten aus dem halben Dorf Süderau
vorbehalten. Dies würde er für sich und seine Erben urkundlich bestätigen. Anwesend waren Hermen Buren809 und Johan Kust,810 Domherren zu Hamburg, für das
Kapitel, der herzogliche Kanzler Otto Sluter, Jachim Kuren, Eggerd Heesten, Johan van
Cestersflete, Wulff Breide, Hinrik Greveke und viele weitere ehrwürdige Personen.
Siegelankündigung des Herzogs, das Siegel sei angehängt amme jare und daghe vorscreven. – Na der bord Cristi dusent veerhundert jar, dar na in deme negenundedruttigesten
jare des negesten mandages na der hillighen Drier Konynge daghe uppe deme kerkhove to
Segeberge […].
Diplomatische Erörterung: Großes Pergament mit Faltung und wenigen nachgedun-
kelten Stellen, große Plica mit einem an einem Pergamentstreifen befestigten,
gut erhaltenen Siegel. Rückseite mit älterem Kanzleivermerk quer rechts unten:
Confirma[cio] ducis Sleszwicen[sis] super medietate ville Ludkensee, dazu von jüngeren
Händen ergänzt: Iuris veteris. 2. 1439 +. N. 25. In der unteren Mitte jünger von verschiedenen Händen: Verlassung und Übergabe Lutkens[ees], darunter: 1439.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Oo 73. D = Copiae Archivi.
809
Belegt 1419–1439.
810
Belegt 1427–1448, structurarius 1447.
1439 Januar 25. Breslau.
534
5 19
1439 Januar 25. Breslau.
1439.01.25 — B 21 a und b
534
Albrecht [II.], römischer König, König zu Ungarn, Böhmen, usw., an Wilhelm Snybbe, Helmich von Rentekin, Arnd von Leten, Heinrich Geverdes, Johann Hane, Herman Redenborg, Borchart Weidut, Dederick von Recke, Johann von Stade, Simon Berndes, Bernd von der Heide, Enke von Czeven, Bernd vom Broke, Hainrich von Vechte, Hanns Rogge, Hulsschede, Albert Geverdes, Heinrich von Hacklem, Peter Horborg, Ludeke S[ieveking], Hanns Helmiges, Tyme Bremer, Heine Brands, Hillebrand Brands und Wichman Heidorne, Bürger und Einwohner zu Hamburg: fordert sie nach Klagen des Erzbischofs Baldewin von Bremen auf, innerhalb von 30 Tagen nach Erhalt dieses Briefes dem Erzbischof oder seinen Amtleuten Ersatz für die Umfahrung des Zolls auf dem Fluss Schwinge zu leisten oder am 60. Tag am königlichen Hof zu erklären, warum sie meinen, nicht zur Zahlung verpflichtet zu sein
Albrecht [II.], römischer König immer Mehrer des Reiches, König zu Ungarn, Böhmen, Dalmatien, Kroatien usw., Herzog zu Österreich,811 an Wilhelm Snybbe, Helmich von Rentekin, Arnd von Leten, Heinrich Geverdes, Johann Hane, Herman Redenborg,
Borchart Weidut, Dederick von Recke, Johann von Stade, Simon Berndes, Bernd von der
Heide, Enke von Czeven, Bernd vom Broke, Hainrich von Vechte, Hanns Rogge, Hulsschede,
Albert Geverdes, Heinrich von Hacklem, Peter Horborg, Ludeke S[ieveking], Hanns Helmiges, Tyme Bremer, Heine Brands, Hillebrand Brands und Wichman Heidorne, Bürger und
Einwohner zu Hamburg: Erzbischof Baldewin zu Bremen812 habe ihm durch seine
Gesandten vorbringen lassen, dass das Erzbistum mit dem Zoll zu Stade belehnt
worden sei, dass schon immer die Kaufleute und Schiffer, die elbaufwärts nach
Hamburg führen, auf dem Fluss Schwinge (Swinge) in Richtung Stade fahren und
dort ihre Waren und Schiffe verzollen müssten, dass aber nun etliche von ihnen,
zusammen mit Kaufleuten aus anderen Ländern und Städten, nicht in die Schwinge gefahren wären und ihren Zoll entrichtet hätten. Vielmehr hätten sie den Zoll
umfahren und dem Erzbischof trotz mehrfacher Mahnungen keinen Ersatz geleistet. Zudem hätten sie die so verfallenen Waren weiterverkauft, so dass dem Erzbischof großer Schaden entstanden sei. Der Erzbischof habe ihn daher gebeten, ihm
zu seinem Recht zu verhelfen, wie das zu seinen Aufgaben als römischer König gehöre. Befiehlt daher bei einer Strafe von 25 m. lötigen Goldes, die an die königliche
Kammer zu zahlen sei, dass sie innerhalb von 30 Tagen nach Erhalt dieses Briefes
dem Erzbischof oder seinen Amtleuten Ersatz für die Umfahrung des Zolls leisten
oder sich mit ihnen freundlich einigen. Auch solle künftig niemand mehr den Zoll
umfahren, selbst wenn schlechtes Wetter die Einfahrt in die Schwinge behindere.
Wären sie aber der Meinung, den Zoll nicht zahlen zu müssen, sollten sie sich am
60. Tag am königlichen Hof zu einem Rechttag stellen und durch Bevollmächtigte
erläutern lassen, warum sie meinen, nicht zur Zahlung verpflichtet zu sein. Täten
sie das nicht, würden sie der genannten Strafe verfallen. Siegelankündigung. Geben
zu Breszlaw […] nach Crists geburd viertzehenhundert jare und dornach im newnunddreyssigisten jare an sand Pauls tag Conversionis unser reiche des hungerischen etc. im andern,
des romischen und behemischen im ersten jaren.
Herzog von Österreich (als Albrecht V.) (1404–1439), römischer, ungarischer und böhmischer König
(1438–1439).
811
812
Balduin von Wenden, 1435–1441.
520
Regesten der Jahre 14 00 –14 4 0
Diplomatische Erörterung: A: Großes, nachgedunkeltes Pergament mit Faltung und
kleineren Feuchtigkeitsflecken, Plica mit dem an einem restaurierten Pergamentstreifen anhängenden, kleineren Siegel Albrechts II., die teilweise überklebte Plica mit dem [heute verdeckten] Kanzleivermerk: Ad mandatum domini
regis domino G[aspari Schlick] cancell[ario] referente Theodoricus Ebbracht. Auf der
Rückseite der Buchstabe P. / C: Notariatsinstrument von 1618 April 4, gemeinsames Vidimus von Albertus Oldehorst und Joachimus Jante, Notare kaiserlicher Autorität, mit ihrem Notarszeichen und zwei kleinen, aufgedrückten Siegeln in rotem
Wachs. Großes Pergament mit Faltung, Heft von 4 Bll., fol. 2r-4r beschrieben. Auf
fol. 4v unten quer Kanzleivermerk und die Alt-Signatur Oo.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. B 21 a. C = StAHH 710-1 I Threse I, Nr. B
21 b.
Regest: HUB, 7, 1, 423, S. 217; Regesta Imperii XII, 579, S. 148.
535
1439 Februar 28. o. O.
1439.02.28 — Gg 80
535
Hermen Stortbeker quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Kostgeld und Schadenersatz während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Hermen Stortebeker in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren der Stadt Hamburg für Sold, Lösegeld, Kostgeld und Schadenersatz während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark. Spricht für
sich und seine Erben Bürgermeister und Rat von Hamburg, ihre Nachfolger, Bürger und Einwohner von weiteren Forderungen frei. Siegelankündigung. Na der bort
Cristi veerteynhundert jar darna in deme negenundedruttigesten jare des sunnavendes vor
Reminiscere.
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken,
verblasstem Text und daraus folgenden Textverlusten, Plica mit an einem Pergamentstreifen angehängten Siegel. Plica und Rückseite mit dickem Papier überklebt. Auf der Rückseite nur runder Stempel mit kyrillischen Buchstaben; nach
D befand sich auf der Rückseite noch der Kanzleivermerk: Quitancia Hermanni
Stortebeker 1439.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 80. D = Copiae Archivi [mit Kollationierungsvermerk von 1875 zum vollständigen Text, Siegelbeschreibung und
Kanzleivermerk].
Edition: Laurent, Stortebeker, S. 86 [Auszug].
Erwähnung: Ballheimer, 4, S. 20.
1439 Mär z 26. Hamburg.
536
521
1439 März 26. Hamburg.
1439.03.26 — U 20
536
Johannes, Propst, Nicolaus, Dekan, und das hamburgische Domkapitel an den römischen König Albrecht [II.], König von Ungarn, Böhmen, usw.: vidimieren auf Bitten von Bürgermeister und Rat zu Hamburg die Bestätigungsurkunde, die einst Erzbischof Hillebold und das Bremer Domkapitel über ein Privileg des römischen Kaisers Friedrich für die Hamburger Bürger ausgestellt hätten
Johannes, Propst,813 Nicolaus, Dekan,814 und das hamburgische Domkapitel an den
römischen König Albrecht [II.], immer Mehrer des Reichs, König von Ungarn, Böhmen, Kroatien, Dalmatien und Herzog von Österreich:815 Bürgermeister und Ratsherren zu Hamburg hätten vor ihnen erklärt, dass vor dem königlichen Gericht (in
iudicio vestro regio) gegenwärtig gewisse Briefe oder Privilegien dringend erforderlich seien, die sie aber wegen der Gefahren des Transports nicht übersenden wollten. Das betreffe insbesondere die Bestätigungsurkunde, die einst Erzbischof Hillebold und das Bremer Domkapitel über ein Privileg des römischen Kaisers Friedrich
für die Hamburger Bürger ausgestellt hätten, die nicht korrigiert, kanzelliert oder
in irgendeiner Weise verdächtig sei. Diese Urkunde sei mit zwei Siegeln bestätigt,
einem des Erzbischofs, das ihn mit seinen pontificalia und der Umschrift Hildeboldus dei gratia sancti Bremensis ecclesie archiepiscopus, das zweite des Domkapitels, das
Maria und Petrus zeige, mit der Umschrift Sigillum sancte Bremensis ecclesie. Bürgermeister und Ratsherren hätten sie gebeten, aus den genannten Gründen von dieser Urkunde einen Vidimus (hier transsumptum) zu erstellen. Dem seien sie gefolgt.
[Es folgt der Text der Bestätigung Erzbischof Hildebolds,816 datiert 1267 Dezember 6 mit dem inserierten Text der (gefälschten) Urkunde Friedrichs I. von 1189
Mai 7.]817
Siegelankündigung. Datum Hamborg anno domini millesimo quadringentesimo tricesimo
nono quinta feria ante dominicam Palmarum.
Diplomatische Erörterung: Großes, etwas nachgedunkeltes Pergament mit Faltung,
einigen Feuchtigkeitsflecken, Einriss, Löchern links und vor allem entlang der
unteren waagerechten Faltung, aber nur mit geringen Textverlusten, am Anfang
die Anrede Serenissimo Principe hervorgehoben, S als Initiale gestaltet. Breite Plica
mit einem Schlitz zur Anbringung eines Siegels, der Pergamentstreifen fehlt, das
Siegel liegt lose bei. Rückseite unten mit alter Signatur B 2.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. U 20. D = Copiae Archivi.
813
Johannes Middelmann, als Propst belegt 1433–1457.
814
Nicolaus Hamborgh, belegt 1429–1439, 1437–1439 auch als Dekan.
Herzog von Österreich (als Albrecht V.) (1404–1439), römischer, ungarischer und böhmischer König
(1438–1439).
815
816
Hildebold von Wunstorf, Erzbischof von Bremen, 1258–1273.
Hamburgisches Urkundenbuch, 1, hrsg. Johann Martin Lappenberg, Hamburg 1842, CCLXXXVI, S.
253–254, und DCCXXIII, S. 598–599. Dazu vgl. Gerhard Theuerkauf, Urkundenfälschungen der Stadt
und des Domkapitels Hamburg in der Stauferzeit, in: Fälschungen im Mittelalter, hrsg. Detlev Jasper
(Monumenta Germaniae Historica, Schriften, 33), Hannover 1988, 3, S. 397–431, bes. S. 401 und 422.
817
522
537
Regesten der Jahre 14 00 –14 4 0
1439 April 10. o. O.
1439.04.10 — Ss 89 (6)
537
Sander Duderstad, Bürger zu Hamburg, macht bekannt, dass er Propst, Dekan, Kapitel und Vikaren am Dom zu Hamburg für 30 m. 2 m. jährlicher Rente zugunsten von Memorien verkauft habe
Sander Duderstad, Bürger zu Hamburg, in einem offenen Brief: macht bekannt, dass
er 2 m. jährlicher Rente im Erbe von Tydeke Stelle habe, im Kirchspiel St. Jacobi in
der Fuhlentwiete (uppe der vulen twiten) bei Hartich Mardeghes Erbe, von 4 m. Altrente, die ihm im Rentebuch der Stadt zugeschrieben seien (my in der stad Hamborch
renteboͤke to screven stan). Diese 2 m. habe er mit Zustimmung seiner Erben Propst,
Dekan, Kapitel und Vikaren am Dom zu Hamburg zu ihrem Nutzen für 30 m. Pfennige verkauft und überlassen, die er von den geistlichen Herren in guten Pfennigen zu seiner Zufriedenheit erhalten habe. Diese Rente solle vom Besitzer des
genannten Erbes jeweils in den acht Tagen zu Ostern eingefordert werden. Sander
und seine Erben würden die Geistlichen in keiner Weise wegen der Renten mahnen, er behalte aber den jeweiligen Besitzern des Erbes das Recht auf Rückkauf vor,
der jeweils jährlich in den acht Tagen zu Ostern für 30 m. zusammen mit der offenen Rentenzahlung erfolgen könnte, aber ein Vierteljahr vorher angekündigt werden müsse. Jeweils 1 m. (für 15 m. Kapital) der Rente sei für die Memorien (to der
ewighen dechtnisse) von Dideric Schillinghes und Johan Tramme bestimmt. Siegelankündigung des Ausstellers und von Bernd van dem Haghen, Bürger zu Hamburg.
Bernd van dem Haghen bezeugt den Verkauf. Gheven […] na Godes bord in deme veerteinhundertsten unde neghenundedrittighesten jare, des neghesten vrydaghes na Paschen.
Diplomatische Erörterung: Nachgedunkeltes Pergament mit Faltung und großen
Feuchtigkeitsflecken vor allem entlang der Faltlinien, der Hinweis auf das Rentebuch modern unterstrichen. Wellige Plica mit zwei an Pergamentstreifen befestigten, relativ gut erhaltenen Siegeln. Die teilweise stark nachgedunkelte Rückseite mit zwei größeren Kanzleivermerken, der ältere (durch die Feuchtigkeit
schwer lesbare) Vermerk oben links lautet: Tydeke Stelle uppe der Vulentwiten orde
2 m. […] redditus, de quibus 1 m. [equ]aliter pro memor[iarum] domini Ty[derici] Schillinghes et 1 m. pro memor[iarum] domini Jo[hannis] [Trammen] ut [patet] in r[egistr]o
folio […] 45. In der Mitte der jüngere Eintrag: Sander Duderstads Bürgers zu Hamburg
Verkaufs Brief über 2 m. jährl[icher] Rente, in Tydeken Stellen Erbe auf der Ecken der
Fulen Twiten im Jacobi Kirchspiel gegen 30 m., welche er vom Capittel zu Hamburg baar
empfangen. Not[andum]: 1 m. ist zu Diederich Schillinghes und 1 m. zu Johann Trammen
Memorie gekommen. Dat[um] 1439 [Freitag] n[ach] Pasch[en]. Dazu von anderer Hand
ergänzt: Stadt Rendtebuch. Weiter Zahl mit Bleistift: [1249], darunter weitere Zahl
mit Tinte: 5), und runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ss 89 (6).
1439 Juni 11. o. O.
538
523
1439 Juni 11. o. O.
1439.06.11 — Gg 82
538
Clawes Vrese quittiert Bürgermeistern und Rat zu Hamburg die Bezahlung von Sold, Lösegeld, Kostgeld und Schadenersatz während seiner Gefangenschaft in ihrem Dienst im Krieg gegen Dänemark
Clawes Vrese in einem offenen Brief: quittiert den Bürgermeistern und Ratsherren
der Stadt Hamburg für Sold, Lösegeld, Kostgeld und Schadenersatz während seiner Gefangenschaft und Verwundung in ihrem Dienst im Krieg gegen Dänemark.
Spricht für sich und seine Erben Bürgermeister, Ratsherren, Bürger, Einwohner
und Untersassen (undersaten) der Stadt Hamburg von weiteren Forderungen frei.
Siegelankündigung. Gheven na Godes bord veerteinhundert jar darna in deme neghenundedrittigesten jare am achtendaghe des hillighen Lichnames daghe.
Diplomatische Erörterung: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken,
vor allem entlang der Faltungen, und kleineren Textverlusten, Plica mit einem
an einem Pergamentstreifen angehängten, etwas beschädigten Siegel. Auf der
Rückseite Kanzleivermerk rechts: Quitancia Clawes Vresen 1439, darunter runder
Archivstempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 82. D = Copiae Archivi [verkürzt unter
Hinweis auf Gg 75].
Erwähnung: Ballheimer, 4, S. 20.
539
1439 Juli 28. o. O.
1439.07.28 — P 34
539
Edzard zu Norden und sein Bruder Ulrich zu Esens, Häuptlinge, machen bekannt, dass sie von Bürgermeistern und Rat zu Hamburg Burg und Stadt Emden in Ostfriesland in guter Treue und auf slotloven empfangen hätten, mit allen Renten, Rechten, Zubehör und Gerätschaften, die im Folgenden aufgelistet werden
Edzard (Idzerd) zu Norden und sein Bruder Ulrich (Olrik) zu Esens (Esenze) Häuptlinge in einem offenen Brief: machen bekannt, dass sie von Bürgermeistern und
Ratsherren zu Hamburg Burg und Stadt Emden in Ostfriesland in guter Treue und
auf slotloven818 empfangen hätten, mit allen Renten, Rechten, Zubehör und Gerätschaften, wie folgt:
[1.] 360 (achteyn stighe) grase819 Landes, gelegen bei der Burg, im Emdener Vorland
(hammerke),820
[2.] 62 grase Igen wegen zu Dytzum zu Suderhusum gelegen,
[3.] das Stammgut (den heert) zu Harsweg (Hersweghe) von 250 gresen, die man nutzen kann, dazu 40 grase, die wüst liegen,
818
Schlossglaube/Schlosslaube bedeutet eine „Treuhänderschaft über eine Burg mit der Verpflichtung zu Schutz und Verteidigung von Burg und Umland“; sie war „verbunden mit Vogtei, Gerichtsbefugnis und Einnahmen“, Deutsches Rechtswörterbuch, 12, bearb. Andreas Deutsch, Weimar 2013,
Sp. 855–856.
819
Zu grase als Maßeinheit: Mndt. Wörterbuch, 2, S. 140–141.
Hammerke oder Hammrich bezeichnen in Ostfriesland Dorfmarken oder Grenzgebiete zwischen
Dörfern.
820
524
Regesten der Jahre 14 00 –14 4 0
[4.] den heert zu Lopsum von 48 demeden,
[5.] den heert zu Wichhusen von 300 grasen,
[6.] den heert zu Twixlum von 97 grasen,
[7.] 90 huswerve821 in Emden, mit Häusern besetzt, und 2 wüste werve,
[8.] die Häuser von Rederde van Folkerdewere, von Hanno Nytardisna und von Bole Pibena in Emden,
[9.] 1055 grase Landes von Olde Imelen, gelegen zu Grimessum, Wirdum, Pevesum, Osterhusen und Hinte,
[10.] 325 grase von Frederik van Lerlte, gelegen zu Eddelsum und Hinte,
[11.] 600 grase von der Mutter Frederiks, zu Bettewere, Uttum, Wirdum, Grimessum
und Hinte,
[12.] 193 grase von Redert Benynghe, gelegen zu Grotehusum und Dytsum,
[13.] 65 grase vom Vater Rederds, im Wolthuser Hammerke,
[14.] 224 grase von Rederde van Folkerdewere und seiner Ehefrau, gelegen zu Borsum, Petkum, Westerhusen und Folkerdewere,
[15.] weiter das Recht der Kirchspiele Detersen, Hollen (Holne), Filsum (Filtzum),
Nortmoor (Ostseite), Habbe und Bawinghesborgh, dazu jährlich eine Tonne Hafer aus
jedem Haus,
[16.] das Recht zu Nortmoor (Westseite), Loga (Loghe), Logabirum (Loghebeerne),
Leere, Nüttermoor (Uttermore), Eisinghusen (Eynrsnahusen), Bollinghusen, Heisfelde (Velde), Neermoor (Eddermore), Veenhusen (Faenhusen) und zu Nygenborgh,
dazu jährlich eine Tonne Hafer von jedem Pflug,
[17.] das Recht zu Hatshausen (Hatzehusen), Folkerdeborgh, Terborg (Burghum), Rarechum, Ayenwolde (Aylingkwolde) und Tergast (ter Gast),
[18.] in Overledingherlande das Recht zu Potshausen (Poptishusen), Stikhusen, Oldehof (Oldehove), Neuburg (Nigenborgh), Hilkenborgh, Dorenborg (Torneborgh), Uringhergast und Holtgast,
[19.] dazu sollen die von Stikhusen, Oldehof, Neuburg, Hilkenborgh, Dorenborg, Uringhergast und Holtgast jährlich aus jedem Haus eine Tonne Gerste geben,
[20.] im Reyderlande das Recht von Wenyngherghate zu Reyde, und
[21.] im Emesingherlande das Recht zu Lerlte, Twixlum, Langhene, Wivelsum, Folkerdewere, Kanynghum, Freepsum (Frebesum), Woltseten, Mydlum, Westerhusen, Osterhusen, Suderhusen, Kanynghusen, Esinghusen und Lopsum.
821
Werve meint u. a. Hofplatz, erhöhte Hausstelle, Mndt. Wörterbuch, 5, S. 690–691.
1439 D ezemb er 30. o. O.
525
Es folgt ein Inventar der übergebenen Waffen, des Zubehörs und der Lebensmittel-Vorräte auf der Burg Emden. Idzerd und Olrik sagen zu, das ihnen Übergebene
treu zu verwahren (to truwer hand vorstaen unde vorwaren), um es unvermindert zurückgeben zu können. Insbesondere würden sie von den Einkünften nichts verpfänden oder sonst an andere übertragen. Idzerd und Olrik geloben Bürgermeister
und Ratsherren der Stadt Hamburg und ihren Nachfolgern die feste Einhaltung der
Zusagen, ohne List oder Nutzung geistlichen oder weltlichen Rechts. Siegelankündigung der Aussteller. Na der bord Cristi veerteynhundert jaer, darna in deme negheundedruttigesten jare am dinghesdaghe negest na sunte Jacobi daghe des hillighen apostels.
Diplomatische Erörterung: Großes Pergament mit Faltung und kleineren nachgedun-
kelten Stellen, Text in einem vorgezeichneten Rahmen, breite Plica mit zwei an
Pergamentstreifen angehängten, gut erhaltenen Siegeln. Rückseite mit jüngerem Kanzleivermerk in der Mitte: Litera concessionis sub fide sclotloven oppidi et
castri Emden cum attinen[tiis], rechts daneben: 1439.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 34. D = Copiae Archivi.
Edition: Ostfriesisches UB, 1, 509, S. 452–454 [mit den hier übernommenen Identifikationen].
540
1439 Dezember 30. o. O.
1439.12.30 — Gg 81
540
Hermen Haghedorne van deme Bodenwerdere macht bekannt, dass ihm Bürgermeister und Rat zu Hamburg trotz der Einfuhr nicht gängigen Geldes, das er zum Handeln in die Stadt gebracht habe, aufgrund der Intervention des Ritters Johan Vrenken das Seine zurückgegeben hätten und er auch von ihnen von der Buße befreit worden sei
Hermen Haghedorne van deme Bodenwerdere in einem offenen Brief: macht bekannt,
dass er sich mit den Bürgermeistern und Ratsherren der Stadt Hamburg geeinigt
habe wegen des nicht gängigen Geldes, das er zum Handeln in die Stadt gebracht
habe. Da der Ritter Herr Johan Vrenken schriftlich bei Bürgermeistern und Ratsherren interveniert habe, hätten diese ihm das Seine zurückerstattet und auch
die eigentlich fällige Buße (sodanen broke alze ik dar mede hadde vorschuldet) erlassen. Dankt und spricht für sich und seine Erben Bürgermeister und Ratsherren
der Stadt Hamburg, ihre Bürger und Einwohner von weiteren Forderungen frei.
Siegelankündigung. Na der bort Christi veerteynhundert jar dar na in deme neghenundedrittighesten jare in sunte Silvesters avende des hilghen paweses.
Diplomatische Erörterung: Etwas verblasstes Pergament mit Faltung und zahlreichen
Feuchtigkeitsflecken, breite Plica mit einem an einem Pergamentstreifen angehängten Siegel. Auf der Rückseite Kanzleivermerk in der Mitte: Quitantia Hermens
Haghedornes van den Blafferden, unten: 1439, daneben runder Stempel mit kyrillischen Buchstaben.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Gg 81. D = Copiae Archivi.
526
541
Regesten der Jahre 14 00 –14 4 0
1440 Januar 26. Lübeck.
1440.01.26 — Qq 77
541
Baldewinus, Erzbischof von Bremen, an Propst und Dekan der Hamburger Kirche: erinnert an die Konflikte zwischen Papst Eugen IV. und dem allgemeinen Konzil zu Basel sowie an die Appellationen und Beschlüsse, die sie von der kürzlich in Hamburg abgehaltenen Provinzialsynode erhalten hätten; weist sie strikt an, diese Beschlüsse in den Kirchen unter ihrer Hoheit bekannt zu machen
Baldewinus, Erzbischof von Bremen,822 an Propst und Dekan der Hamburger Kirche:
wegen der Konflikte zwischen Papst Eugen IV.823 und dem allgemeinen Konzil zu
Basel würden die von ihnen ausgesandten Mandate nur zögerlich befolgt. Daher
hätten die Kurfürsten des Heiligen Römischen Reichs und andere Prälaten und Magnaten Deutschlands beschlossen, die Annahme dieser Mandate auszusetzen, hätten ihren Widerspruch angemeldet und dagegen Appellationen ausgesandt (protestaciones certas fecerint et appellaciones super hiis interiecerint), deren Abschriften
sie von der kürzlich in Hamburg abgehaltenen Provinzialsynode erhalten sollten
(quarum vobis copias ex provinciali nostro capituli nuper in Hamburg celebrato assignari et
tradi ordinavimus). Da die Synode gewisse Beschlüsse gefasst habe, die auch von den
Prokuratoren seiner Suffragane gebilligt und ihnen übergeben worden seien, weist
er Propst und Dekan strikt (auctoritate nostra metropolitica in virtute sancte obedientie)
an, diese Beschlüsse in den Kirchen unter ihrer Hoheit (in ecclesiis in districtu iurisdictionis vestre constitutis) bekannt zu machen. Was dagegen unternommen werde,
solle mit kirchlichen Strafen geahndet werden. Siegelankündigung des Bischofs.
Datum Lubeck anno domini millesimo quadringentesimo quadragesimo vicesimasexta Januarii […].
Diplomatische Erörterung: Pergament mit Faltung und wenigen Feuchtigkeitsflecken,
am Anfang Baldewinus hervorgehoben, Plica mit einem an einem Pergamentstreifen befestigten, gut erhaltenen, großen Siegel in rotem Wachs. Auf der
unterschiedlich nachgedunkelten Rückseite in der Mitte ein zeitgenössischer
Kanzleivermerk: Litera quibus provincia Bremensis in dissidio pape et concilii tenet
[auctoritate] suspensum quo ad obedi[enti]am, dazu jünger: 1440. No. II, fol. 60, und
daneben mit Bleistift: 250.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Qq 77.
542
1440 Februar 15. Hamburg.
1440.02.15 — Tt 56
542
Nicolaus, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass Henricus Cristiani, Subdiakon, Vicko van dem Hove, Bürgermeister zu Hamburg, und Cristina, seine Ehefrau, angesichts der geringen Einkünfte der ewigen Vikarie am Altar St. Crucis in St. Petri zu Hamburg für diese Renten von 25 m. stiften wollten, nehmen die Renten unter ihren Schutz und fügen diese den Einkünften der Vikarie hinzu
Nicolaus, Dekan,824 und das gesamte Domkapitel zu Hamburg in einem offenen Brief:
machen bekannt, dass sie Henricus Cristiani, Subdiakon, Vicko van dem Hove, Bürger-
822
Balduin von Wenden, 1435–1441.
823
Papst 1431–1447.
824
Nicolaus Huge, Dekan 1440–1441.
14 4 0 Februar 15. Hamburg.
527
meister zu Hamburg,825 und Cristina, Ehefrau des Vicko, gebeten hätten, zugunsten
der ewigen Vikarie am Altar St. Crucis in St. Petri, die durch den Verzicht des Hermannus van dem Hove, Kleriker der Bremer Diözese, vakant sei und deren Einkünfte
durch Kriege, Überflutungen und andere schädliche Einflüsse so vermindert seien,
dass sich der jeweilige Vikar davon nicht mehr unterhalten könne, ebenso zu ihrem
Seelenheil und dem ihrer Vorfahren sowie zur Vermehrung des göttlichen Kultus
von ihren Gütern dem jeweiligen Vikar 25 m. jährlicher Rente stiften zu können.
Davon lägen 10 m. auf dem Haus von Heyno Bunstorp in der [Reichen]straße (in
platea di[vitum]) […] zwischen den Häusern von Gherardus van Berghen und Johannes
Budeman, 10 m. auf dem Haus von Gherardus van Berghen [in derselben Straße] zwischen den Häusern von Heyno Bunstorp und Ludekinus Hermensborgh, und 5 m. auf
dem Haus von Albertus Growelingh […] im Kirchspiel St. Katharinen zwischen den
Häusern von Johannes Ghereken und des verstorbenen Conradus Winthorst. Dekan
und Kapitel folgen den Bitten von Henricus, Vicko und Cristina, nehmen die 25 m.
Renten unter kirchlichen Schutz und setzen sie zur Vermehrung der Einkünfte der
genannten Vikarie ein, die zurzeit 3 m. jährlich nicht überschreiten würden. Weil
Henricus, Vicko und Cristina so als neue Stifter der Vikarie gelten könnten, erhalten Vicko, Cristina und ihre ältesten und nächsten Erben, männlich wie weiblich,
auf 120 Jahre das Präsentationsrecht. Würden Teile der Renten oder alle abgelöst,
sollten die Gelder mit Wissen und Rat des Kapitels zum Ankauf sicherer Renten
innerhalb und außerhalb Hamburgs eingesetzt werden. Siegelankündigung. Datum
et actum in loco capitulari dicte ecclesie nostre sub anno [domini] millesimoquadringentesimoquadragesimo indctione tercia, die vero lune quintadecima mensis Februarii.
Diplomatische Erörterung: Großes, nachgedunkeltes Pergament mit Faltung, mehre-
ren großen Feuchtigkeitsflecken sowie einem großen Loch rechts oben (um die
Faltung) und in der Folge mit erheblichem Textausfall, Plica mit einem an einem
breiten Pergamentstreifen befestigten, beschädigten Siegel. Auf der teilweise
stark nachgedunkelten Rückseite rechts der zeitgenössische Kanzleivermerk:
Sancti Petri. Augmentatio vicarie altaris sancte Crucis. R[egistra]ta folio 12o. 1440. Dazu
jünger: 25 m. redituum.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Tt 56.
Erwähnung: Vonderlage, Domkapitel. S. 97.
825
Ratsherr seit 1416, Bürgermeister 1431–1442.
528
543
Regesten der Jahre 14 00 –14 4 0
1440 Februar 27. Hamburg.
1440.02.27 — Vv 26
543
Der Notar Nicolaus Snewerdingh bezeugt, dass Jacobus Punne aus Lohe im Kirchspiel Uetersen Henricus Rentzel, ewigem Vikar an St. Katherinen zu Hamburg, für 10 m. lüb. 1 m. jährlicher Rente verkauft habe
Notariatsinstrument. Der Notar bezeugt, dass vor ihm und den Zeugen Jacobus Punne, wohnhaft im Dorf Lohe im Kirchspiel Uetersen (in villa Lo parrochie Utersten)
freiwillig bekannt habe, dass er mit Zustimmung seiner Erben und aller Betroffenen dem Henricus Rentzel, ewigem Vikar an der Kirche St. Katherinen zu Hamburg,
für 10 m. Pfennige lüb., die er zu seiner vollen Zufriedenheit empfangen und zu
seinem und seiner Erben Nutzen verwandt habe, 1 m. jährlicher Rente verkauft
habe von allen seinen Gütern, besonders von drei Morgen Ackerland in dem morvelde zwischen den Gütern von Otto Leddeghe und Georgius Ghuͤ s. Er gelobt für sich
und seine Erben, Heinrich und seinen Nachfolgern die Rente jährlich an Ostern zu
Hamburg zu zahlen, auf eigene Kosten, und sie von fremden Forderungen frei zu
halten, etwa für den Bau von Wasserleitungen und anderem. Jacobus und seine
Erben könnten die Rente für 10 m. Pfennige jährlich zu Ostern ablösen, wenn sie
dies ein Vierteljahr vorher ankündigten. Jacobus gelobt dem Notar für sich und
seine Erben die Einhaltung der Vereinbarungen. Das Notarsinstrument sei auf Bitten Heinrichs erstellt worden. Acta fuerunt hec in domo habitacionis mei notarii publici
infrascripti sita prope cimiterium ecclesie sancte Catherine Hamburgen[sis] predicte, sub
anno, indictione, die, mensis, hora et ponficiatu quibus supra. – In nomine domini amen.
Anno a nativitate eiusdem millesimoquadringentesimo quadragesimo indictione tertia, die
vero sabbati vicesimaseptima mensis Februarii, hora terciarum vel quasi, pontificatus sanctissimi in Christo patris et domini nostri, domini Eugenii divina providentia pape quarti
anno nono. Zeugen: Henricus Wistok und Henricus Cristiani, ewige Vikare an St. Katherinen und St. Petri, sowie Theodoricus Kuntze, Priester der Bremer Diözese.
Diplomatische Erörterung: Notariatsinstrument des Nicolaus Snewerdingh, Kleriker der
Bremer Diözese, Notar päpstlicher und kaiserlicher Autorität, mit seinem Notarszeichen. Längliches, etwas gewelltes Pergament mit Faltung und wenigen
Feuchtigkeitsflecken, an den Ecken etwas beschädigt, vorn unten die moderne
Signatur in Bleistift: Vv 26. Rückseite mit jüngerem Kanzleivermerk links unten:
Recognitio Jacob Punnens super vicariam in ecclesia Catharinae 1 m. redditus. 1440,
rechts unten in der Ecke unleserlicher Vermerk mit Bleistift.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Vv 26.
Erwähnung: Vollmers, Pfarreien, S. 441.
14 4 0 Juni 12 . o. O.
544
529
1440 Juni 12. o. O.
1440.06.12 — P 15
544
Die sechzehn Ratgeber und die Einwohner des Landes Wursten bezeugen, mit Bürgermeistern und Rat zu Hamburg ein Bündnis zum Schutz des Landes Wursten, des Schlosses Ritzebüttel und der Kirchspiele Altenwalde und Groden geschlossen zu haben
Die sechzehn (sostein) Ratgeber und die Einwohner des Landes Wursten in einem
offenen Brief: bezeugen, sich mit den Bürgermeistern und Ratsherren der Stadt
Hamburg auf folgendes Bündnis geeinigt (tohopegesat) zu haben:
[1.] Bei einem Überfall auf das Land Wursten sollen die Bürgermeister und Ratsherrn der Stadt Hamburg 50 Schützen zu Pferde und 50 Schützen zu Fuß auf Stadtkosten zu Hilfe schicken.
[2.] Bei einem Überfall auf die hamburgischen Kirchspiele Altenwalde (Oldenwolde)
und Groden oder das Schloss Ritzebüttel hingegen sollen die Ratgeber und Einwohner des Landes Wursten auf eigene Kosten Hamburg zu Hilfe kommen.
[3.] Gewaltdelikte zwischen Einwohnern des Landes bzw. der genannten Kirchspiele sollen nach den Gewohnheiten des Tatortes gerichtet werden, ohne dass die Abmachungen der Tohopesate davon berührt würden.
Ankündigung des Landessiegels. Gheven na Godes bord veerteinhundert jar darna in
deme veertighesten jare des sondaghes vor sunte Viti daghe des hillighen mertelers.
Diplomatische Erörterung: Großes Pergament mit Faltung und wenigen nachgedunkel-
ten Stellen, Plica mit den Resten eines Pergamentstreifens, das beschädigte Siegel ist abgerissen und Reste des Pergamentstreifens erhalten. Auf der Rückseite
unten in der Mitte Kanzleivermerk: En tohopesate mid dem lande to Wursten. 1440,
darunter noch einmal Wursten und das Zeichen h.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 15. D1, D2, D3 = Copiae Archivi [zwei
ältere handschriftliche Fassungen, eine maschinenschriftliche, zwei mit Hinweis
auf das „Deutsche Zentralarchiv in Potsdam“ als Lagerort].
Edition: Erich von Lehe, Bündnisverträge zwischen dem Lande Wursten und der Stadt
Hamburg im späten Mittelalter, in: Jahrbuch der Männer vom Morgenstern 40
(1959) S. 51–67, Anlage 5.
545
1440 Juni 22. o. O.
1440.06.22 — P 35
545
Gericht und Rat von Westergo an Bürgermeister und Rat zu Hamburg: Huge Heertigis, Bürger zu Workum, der Überbringer des Briefs, habe mit seinen Mitgesellen geklagt, dass ihm durch die Auslieger Hamburgs sein Schiff mit seinen Gütern genommen worden sei; da sie aber von nichts anderem als Freundschaft zwischen ihnen wüssten, bitten sie, Huge Schiff und Güter zurückzugeben
Gericht und Rat von Westergo (recht ende rade van Westergoe lande) in einem offenen
Brief an Bürgermeister und Ratsherren der Stadt Hamburg, onsen lieve ende geminde
vrienden: teilen mit, dass ihnen Huge Heertigis, Bürger zu Workum (Wolderkum), ihr
Untersasse, der Überbringer des Briefs, mit seinen Mitgesellen geklagt habe, dass
ihm durch die Auslieger Hamburgs sein Schiff mit seinen Gütern genommen worden sei. Sie wüssten aber von nichts anderem als Gunst und Freundschaft (gonst
ende vrienscap) zwischen ihnen. Bitten daher, die Einwohner und Auslieger Ham-
530
Regesten der Jahre 14 00 –14 4 0
burgs anzuweisen, Huge Schiff und Güter zurückzugeben, damit er diese wieder
nutzen könne. Siegelankündigung des Landes Westergo. Gescreven […] des woensdages ante Johannis Baptiste anno XLo.
Diplomatische Erörterung: Pergament mit Faltung und einigen nachgedunkelten Stel-
len, breite Plica mit einem an einem breiten Pergamentstreifen befestigten, nur
teilweise erhaltenen Siegel, unter der Plica mit Bleistift die moderne Signatur: P
35. Auf der Rückseite in der Mitte die Jahreszahl: 1440.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 35. D = Copiae Archivi.
Regest: HUB, 7, 1, 583, S. 293.
546
1440 August 18. o. O.
1440.08.18 — P 36
546
Gerlacus, Abt von Stavoren und Hemelen, an Bürgermeister und Rat zu Hamburg: teilt mit, dass er erfahren habe, dass sie zu Hamburg Johan Ghiisebertson als vermeintlichen Holländer gefangenhielten; dieser sei aber Stavorener Bürger, so dass er um seine Freilassung bittet
Gerlacus, Abt von Stavoren und Hemelen, an Bürgermeister und Ratsherren zu
Hamburg: teilt mit, dass er erfahren habe, dass sie zu Hamburg den Stavorener
Bürger Johan Ghiisebertson gefangen hielten, da sie meinten, er käme aus Holland,
dem Land ihrer Feinde. Gerlacus könne aber bestätigen, dass Johan seit Langem
städtischer Bürger von Stavoren sei, und bittet daher um seine Freilassung aus der
Gefangenschaft, da er Hamburg als Freund, nicht als Feind aufgesucht habe. Siegelankündigung des Abtes. […] Des donredaghes nae Onser Vrouwen dach Assumpcionis, in
jaer ons heren dusent vierhondert ende viertich.
Diplomatische Erörterung: Nachgedunkeltes Pergament mit Faltung, einigen Feuch-
tigkeitsflecken und einem an einem von unten rechts ausgeschnittenen Pergamentstreifen befestigten, gut erhaltenen Siegel, oben rechts die moderne Jahreszahl 1440. Auf der Rückseite unten die Zahl 57.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. P 36. D = Copiae Archivi.
Regest: HUB, 7, 1, 608, S. 303.
547
1440 August 23. Hamburg.
1440.08.23 — W 45
547
Die Notare Nicolaus Snewerdingh und Marquardus Wolmers bezeugen, dass vor Michael Kruse, Henricus de Butthel, Henricus de Berga alias Schepel, Conradus de Roma, Henricus Buckeman und Henricus Leddinghusen, ewigen Vikaren am Dom, Jacobus Wynthorst, Magister in artibus, Kleriker der Bremer Diözese, für 150 m. 10 m. jährlicher Renten verkauft habe, von denen das Brot der Vikare bezahlt werden solle
Notariatsinstrument. Die Notare bezeugen, dass in Gegenwart von Michael Kruse,
Henricus de Butthel, Henricus de Berga alias Schepel, Conradus de Roma, Henricus Buckeman und Henricus Leddinghusen, ewigen Vikaren am Dom, und vor ihnen Jacobus
Wynthorst, Magister in artibus, Kleriker der Bremer Diözese, freiwillig und wohlüberlegt bekannt habe, von den genannten Vikaren 150 m. empfangen zu haben,
für die er den Vikaren mit Zustimmung seiner anwesenden Mutter Margarete Wynthorst und seiner Erben wiederum 10 m. jährlicher Renten verkaufe und übertrage,
14 4 0 Sep temb er 12 . Hamburg.
531
von denen das Brot für die Vikare bezahlt werden solle. Diese 10 m. seien Jacobus
im Rentebuch der Stadt (in libro reddituum civitatis Hamburgen[sis]) zu 1435 Januar
29 (de anno domini millesimoquadringentesimo tricesimoquinto die sabbati post festum
Conversionis sancti Pauli) zugeschrieben, bezeugt vom Ratsherrn Conradus Moller, im
Erbe des Johannes Langhe in der Gröningerstraße (in platea vulgariter dicta Groninghestrate) zwischen den Häusern des Johannes Wyntzendorpe und des verstorbenen Conradus Wynthorst. Jacobus bestätigt den Empfang der Gelder, verzichtet auf weitere
Rechtsmittel und spricht die Vikare von Ansprüchen auf die 10 m. Renten frei. Die
Vikare und Jacobus hätten die Notare zur Anfertigung eines Notariatsinstruments
aufgefordert. Acta fuerunt hec in ambitu ecclesie [beate] Marie Hamburgen[sis] supradicte sub anno, indictione, die, mensis, hora et pontificatu quibus supra. – In nomine domini
amen. Anno a nativitate eiusdem millesimoquadringentesimo quadragesimo indictione tertia die vero vicesimatercia mensis Augusti hora terciarum vel quasi pontificatus sanctissimi in Christo patris et domini nostri, domini Eugenii divina providentia pape quarti anno
decimo. Zeugen: Ricardus Screyge, ewiger Vikar an St. Petri, und Conradus Schotte,
Kleriker der Bremer Diözese.
Diplomatische Erörterung: Gemeinsames Notariatsinstrument von Nicolaus Snewer-
dingh, Kleriker der Bremer Diözese, Notar päpstlicher und kaiserlicher Autorität,
und von Marquardus Wolmers, Kleriker der Bremer Diözese, Notar kaiserlicher
Autorität, mit ihren jeweiligen Notarszeichen. Längliches, nachgedunkeltes
Pergament mit Faltung und einigen größeren Feuchtigkeitsflecken, vor allem
links oben, unten die moderne Signatur in Bleistift: W 45. Auf der Rückseite oben
kopfstehend zwei längere Vermerke über die Ablösung der Rente von 10 m. mit
150 m. durch Albertus Trempe 1496 September 29–Oktober 6 (sub octavis Michahelis). Darunter älter und schon weitgehend verblasst der wohl zeitgenössische
Kanzleivermerk: [Super] 10 m. redd[itus] in Jo[hannis] Langhen [in …] Groninghestrate
[…] a magistro Jacobo Winthorst fo. liii.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. W 45.
548
1440 September 12. Hamburg.
1440.09.12 — Pp 107
548
Baldewinus, Erzbischof von Bremen, verfügt für die Teilnahme an Messen und Horen zu Ehren Marias am Dom St. Marien zu Hamburg einen Sündenablass von 40 Tagen
Baldewinus, Erzbischof von Bremen,826 verfügt, da am Dom St. Marien zu Hamburg
täglich zu Ehren Marias Messen und Horen gesungen würden, sich dazu eine wachsende Zahl von Gläubigen einfinde und er dies unterstützen wolle, dass jede und
826
Balduin von Wenden, 1435–1441.
532
Regesten der Jahre 14 00 –14 4 0
jeder Gläubige, die sich zu den Messen oder Horen einfänden, ihnen fromm folgten
(easdem devote audierint) und die Abhaltung der Messen und Horen unterstützten
(ad earundem misse et horarum continuacionem manus suas porrexerint), einen Sündenablass von 40 Tagen erhalten sollten. Datum Hamborch II idus Septembris anno a nativitate domini millesimo quadringentesimo quadragesimo.
Diplomatische Erörterung: Feierliche Pergament-Urkunde mit großer Schrift, Initiale B
verziert, Faltung und mehreren großen Feuchtigkeitsflecken, vor allem entlang
der rechten Faltung und am linken Rand. Breite Plica mit einen Pergamentstreifen zur Siegelanbringung, das Siegel fehlt jedoch, links auf der Plica Notiz: Ista
litera fuit affixa copiis que manent in assere de anno domini 1443 in festo Nativitatis
Christi in [ecclesia] beate Marie Hamburgensis ubi tunc hore cantabantur. Teilweise
stark nachgedunkelte Rückseite mit korrigierten, teilweise unlesbaren Kanzleivermerken, modern: Indulgentien, darunter zeitgenössisch: […] per [nostrum]
dominum Baldewinum archiepiscopum Bremensi[um]. 1440.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Pp 107. D = Copiae Archivi.
549
1440 [September 21]. [Borken].
1440.09.21 — Y 8 a
549
Bürgermeister, Schöffen und Rat zu Borken machen bekannt, dass vor ihnen Johan Sweders, zurzeit Richter zu Borken und gogreve to Honborke, Johan ton [Sommer]huys, Arnd de Wijnman, Wyne [Wij]nen und Claus [Hoerneken] beschworen hätten, dass Bernd [Wyne] aus Borken einen Teil der dem Goede Greve gehörenden Güter vor einem Gericht zu Rhenen wegen einer Schuld von 345 Arnheimschen gld. mit Beschlag belegt habe, Goede sich aber für unschuldig erklärt habe
Bürgermeister, Schöffen und Rat zu Borken in einem offenen Brief: machen bekannt, dass vor ihnen Johan Sweders, zurzeit Richter zu Borken und gogreve to Honborke,827 Johan ton [Sommer]huys, Arnd de Wijnman, Wyne [Wij]nen und Claus [Hoͤrneken] beschworen hätten, dass Bernd [Wyne] aus Borken einen Teil der dem Goede
Greve gehörenden Güter vor einem Gericht zu Rhenen (Rene) wegen einer Schuld
von 345 Arnheimschen gld. mit Beschlag belegt habe bzw. belegen wolle, vor dem
sich Goede aber für unschuldig erklärt habe. Goede habe zudem bestätigt, dass die
mit Beschlag belegten Güter allein ihm zugehörten. Johan Sweders und Johan ton
Sommerhuis, damals Bürgermeister zu Borken, Arnd und Wyne, damals Schöffen,
sowie Claus als Bürger Borkens waren vor dem Gericht in Rhenen anwesend. Dies
wird bestätigt durch die Siegelankündigung der Stadt sowie von Johan Sweders,
Johan ton Sommerhuis, Arnd de Wijnman und Wyne Wijnen. Peter Debbynck, Bürgermeister, siegelt für Claus Hoͤrneken, der kein Siegel habe. Datum anno domini
millesimo cccco quadragesimo crastino [Mauri]cii et sociorum eius.
Zu den Gogerichten (Gaugerichten) im nordwestdeutschen Raum s. u. a. Albert Hömberg, Grafschaft, Freigrafschaft, Gogericht, Münster 1949.
827
14 4 0 Sep temb er 25. Hamburg.
533
Diplomatische Erörterung: Nachgedunkeltes Pergament mit Faltung, zahlreichen, star-
ken Feuchtigkeitsflecken, Löchern und in der Folge mit einigen Textverlusten,
Plica mit vier von sechs Pergamentstreifen zur Anbringung von Siegeln, davon
sind nur Reste des ersten und dritten Siegels, ein kleiner Rest des vierten Pergamentstreifens sowie ein ganz geringer Rest des fünften Siegels erhalten; an
zweiter und sechster Stelle finden sich nur die Einschnitte. Die Rückseite ist mit
dickem Papier überklebt.
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Y 8 a.
550
1440 September 25. Hamburg.
1440.09.25 — S 11
550
Clawes van Coden, Knappe, quittiert für seine Mutter vor Yde und sich Bürgermeistern und Ratsherren zu Hamburg die Hauptsumme von 345 m. mit den dazugehörigen Renten von 23 m., die Bruneke van Alversloe anders geheten van Coden, ihrem Bruder und seinem Onkel, für Wohldorf zustanden
Clawes van Coden (Kaden), Knappe, in einem offenen Brief: macht für seine Mutter
vor Yde und sich bekannt, dass ihm die Bürgermeister und Ratsherren zu Hamburg die Hauptsumme von 23 m. Renten, d. h. 345 m. mit den dazugehörigen fälligen Renten, wie sie Bruneke van Alversloe anders geheten van Coden, ihrem Bruder
und seinem Onkel, von denselben Bürgermeistern und Ratsherren zu Hamburg
für Wohldorf (van wegene des Woltorpes) mit allem zugehörigen Besitz urkundlich
zugesagt wurden, zu seiner vollen Zufriedenheit ausgezahlt hätten. Spricht sie
auch im Namen seiner Mutter und ihrer Erben von weiteren Forderungen wegen
der 345 m. Hauptsumme und der 23 m. Rente sowie aller weiteren zugehörigen
Rentenzahlungen frei und verzichtet für immer auf alle Erbansprüche, die seiner
Mutter, ihm und ihren Erben durch den Tod Brunekes in Wohldorf zugekommen
seien. Siegelankündigung des Ausstellers. Gheven to Hamborg na Godes bord veerteinhundert jar, darna in deme veertigesten jare, des sondaghes vor sunte Michaelis daghe des
ertsenenghels.
Diplomatische Erörterung: A: Pergament mit Faltung, zahlreichen Feuchtigkeitsflecken
und einigen Textverlusten, breite Plica mit einem an einem Pergamentstreifen
befestigten, gut erhaltenen Siegel. Auf der Rückseite in der Mitte Kanzleivermerk: Woltorpe. E; dazu links oben runder Stempel mit kyrillischen Buchstaben. /
C: Abschrift des 17. Jahrhunderts der Kopie einer Register-Überlieferung (des
Liber emptionum von 1485)
Überlieferung: A = StAHH 710-1 I Threse I, Nr. S 11. C = StAHH 311-1 I 406 („Kopialbuch
des Jürgen Rose“), S. 77–80. D = Copiae Archivi.
Regest: Sarnowsky, Sichern, 31.
Erwähnung: Reincke, Territorialpolitik, S. 91, Anm. 188; Ballheimer, 4, S. 21.
53 4
551
Regesten der Jahre 14 00 –14 4 0
[1440] Dezember. [Hamburg].
[1440.12.00] — Vv 24
551
Nicolaus Dekan und das Domkapitel zu Hamburg machen bekannt, dass Fredericus Kok, am Dom, Petrus Witstok, an St. Petri, Nicolaus Bra[… an St. …], und [W]olterus Berchstede, an St. Katherinen, ewige Vikare, als Testamentsvollstrecker des Nicolaus Hadeler, Elemosinar an St. Katherinen, eine ewige Vikarie in St. Katharinen am Altar St. Crucis mit Renten von 53 m. ausstatten wollten, nehmen die Renten unter kirchlichen Schutz und errichten die Vikarie
Nicolaus, Dekan,828 und das gesamte Domkapitel der Hamburger Kirche in einem
offenen Brief: machen bekannt, dass vor ihnen Fredericus Kok, am Dom, Petrus Witstok, an St. Petri, Nicolaus Bra[… an St. …], und [W]olterus Berchstede, an St. Katherinen, ewige Vikare als Testamentsvollstrecker des Nicolaus Hadeler, Elemosinar an
St. Katherinen, berichtet hätten, wie Nicolaus verfügt habe, mit seinen Einkünften
und anderen zurückgelassenen Gütern (de commenda sua ac aliis bonis per eum derelictis), die in ewige Renten umgewandelt werden sollten, eine ewige Vikarie in
St. Katharinen am Altar Sancte Crucis, gelegen im östlichen Teil der Kirche, auszustatten. Dafür hätten sie bestimmt: 20 m. jährlicher Rente aus dem Erbe des Nicolaus Brader, im Kirchspiel St. Katharinen zwischen der Ecke genannt by dem baren
torne und dem Haus des Volker Hermensborch, weiter 10 m. im Erbe des Borchard
Gheverdes im Cremon (in platea vulgariter dicta Krammone) zwischen den Häusern
des Ludolphus Wessel und des Johannes Borstelde, 10 m. im Haus des Hinricus Hutlem
im Kirchspiel St. Petri zwischen dem Haus des Albertus Hoyer und der Zollenbrücke
(pons thelonii), 3 m. im Haus des Jacobus Magni im Kirchspiel St. Katherinen an der
Ecke gegenüber der stuba […], 1 m. im Haus des Marquardus Arnsfelde [… zwischen
den Häusern des …] Ritzeke und Arnold Burmester, 2 m. [im Haus des …] alias dicti
Ekhorst an der Ecke bei der Trostbrücke (iuxta pontem dictum Trotesbrughe) […], 6 m.
im Haus von Johannes Bodeman in der Katherinenstraße […] zwischen den Häusern
des Johannes Helmeghes und Heyno Bonstorp, 3 m. [aus dem Haus …] des Bernard Wrede
an der Ecke bei der Zollenbrücke [und …], wie aus den darüber ausgestellten Urkunden hervorgehe. Dekan und Domkapitel nehmen die Einkünfte entsprechend
der Bitten der Testamentsvollstrecker unter kirchlichen Schutz und verwenden
sie zur Errichtung einer ewigen Vikarie am Altar Sancte Crucis in St. Katharinen.
[…] Der Vikar solle sich [wie die anderen Vikare der Kirche] dem jeweiligen rector
unterordnen. Alle Jahre solle er von seinen Einkünften 4 m. [für die memoria von]
Nicolaus Hadeler im Chor des Domes verteilen, 2 pfd. im Chor von St. Katherinen
[für das Seelenheil] des Nicolaus, seiner Eltern und Wohltäter. Zudem solle er für
Bäder und Bier für die Leprosen in St. Georg zahlen. Die Magd des Nicolaus, Abele
Bentsnider, solle auf Lebenszeit 4 m. erhalten, nach ihrem Tode sei der Vikar von
dieser Abgabe befreit. Den vier Testamentsvollstreckern wird, solange einer von
ihnen lebe, das Patronatsrecht übertragen. Wenn alle verstorben seien, falle dieses
an den Kämmerer der Hamburger Kirche. Falls einige von den Renten abgelöst
828
Nicolaus Huge, Dekan 1440–1441.
[14 4 0] D ezemb er. [Hamburg ].
535
würden, sollten die Erträge wiederum mit Zustimmung der […] Hamburger Kirche
in sicheren Renten angelegt werden. Siegelankündigung des Domkapitels (sigillum
maioris ecclesie predicte). [Actum …] in loco [capitulari …] Decembris hora terciarum anno
domini millesimoquadringentesimo[…].
Diplomatische Erörterung: Großes Pergament mit Faltung und großen Feuchtigkeits-
flecken, durch mehrere große Ausrisse, u. a. der Plica mit den Siegeln, stark beschädigt und daher mit großen Textverlusten. Rückseite mit einem etwas jüngerem Kanzleivermerk: Catherine. Ius presentandi spectat ad camerarium capitula
Hamburgen[sis]. 1440. Ein älterer Vermerk fehlt wegen des Ausrisses, lesbar nur
[…]o nove v[…].
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Vv 24.
Erwähnung: Vollmers, Pfarreien, S. 575–576.
N a chträ ge u n d Korrek t uren zu B and 1
N1
1354 November 22. o. O.
1354.11.22 — Ee 39
N1
Jurges von Hiczacker, Knappe aus Moorburg, macht bekannt, dass er zur Hilfe für die Kirche Marie Magdalenen, die ebendort liege, 1 m. jährlicher Rente gestiftet habe
Jurges von Hiczacker, Knappe aus Moorburg (de wonet by nedden Harborch uppe deme
More), macht bekannt, dass er mit Zustimmung seiner Erben zu seinem Seelenheil
zur Hilfe für die Kirche Marie Magdalenen, die ebendort liege und von seinen Eltern gebaut worden sei, eine m. jährlicher Rente aus Grundbesitz gestiftet habe,
jeweils zu zahlen an Martini. Eine halbe m. solle für seine memoria, die seiner Eltern
und seiner Ehefrau verwandt werden, die zweite halbe m. für den Kirchenbau. Siegelankündigung. Ghegeven na Godes bord drutteynhundert jar, an deme veerundevoftigesten jare an sunte Cecilien daghe der hilgen jungvrouwen.
Diplomatische Erörterung: A: Verblasstes Pergament mit Faltung und schweren Feuch-
tigkeitsschäden, Löchern und erheblichen Textverlusten, Plica mit einem restaurierten Pergamentstreifen, das Siegel fehlt. / C: Abschrift des 17. Jahrhunderts
der Kopie einer Register-Überlieferung (des Liber emptionum von 1485).
Überlieferung: A = StAHH 710-1 I Threse I, Nr. Ee 39. C = StAHH 311-1 I 406 (“Kopialbuch des Jürgen Rose”), S. 142-143.
Regest: Kausche, Regesten, 210, S. 56; Sarnowsky, Sichern, 58.
N2
1365 Januar 29. Prag.
[= HG1.128, S. 229–230] Korrekturen:
Johann [II.] von Lichtenberg, lies: Johann [I.] von Leuchtenburg; Slaveo, lies: Slavco;
von Schauenburg, lies: von Schonemburg (Schönburg in Westsachsen); Timmo: lies:
Thimo; von Württemberg, lies: von Wartenberg; Peter von Lübeck, lies: Peter von
Lebus, Registrator Karls IV. (1363/1366).829
Ich danke Herrn Thomas Wittig für seine hilfreichen Hinweise zur Identifikation der genannten
Personen.
829
538
Nachträge und Korrek turen zu Band 1
N3
1373 November 25.
[= HG1.225, S. 307] Korrekturen:
(Anm. 2/Anm. 3) Gemeinde im Kreis Steinburg, Schleswig-Holstein, lies: Teil von
Glindesmoor (Moorburg).
N4
1378 Juli 31.
[= HG1.271, S. 352] Korrekturen:
(Anm. 1) Gemeinde im Kreis Steinburg, Schleswig-Holstein, lies: (Moorburg).
N5
1384 Juni 10. Hamburg.
1384.06.10 — X 11
N5
Werner, Dekan, und das Domkapitel zu Hamburg machen bekannt, dass Albert Hoyer, Ratsherr zu Hamburg, zur Errichtung zwei ewiger Vikarien in St. Nicolai in der von ihm errichteten Kapelle 240 m. für die eine, 260 m. für die andere Vikarie gestiftet habe, um damit Renten zu erwerben, nehmen die Gelder unter kirchlichen Schutz und errichten die Vikarien
Werner, Dekan,830 und das Domkapitel zu Hamburg in einem offenen Brief: sie machen bekannt, dass vor ihnen Albert Hoyer, Ratsherr zu Hamburg,831 erschienen sei
und zu seinem Seelenheil, dem seiner Frau, seiner Vorfahren und seiner Wohltäter
mit Zustimmung seiner Erben zur Errichtung zwei ewiger Vikarien in St. Nicolai
in der von ihm im nördlichen Teil der Kirche auf seine Kosten errichteten Kapelle
zu Ehren Gottes, der Jungfrau Maria, der hl. Anna und der 10 000 Ritter 240 m.
Hamburger Pfennige für die eine, 260 m. für die andere Vikarie gestiftet habe, um
damit Renten zu erwerben. Dekan und Kapitel nehmen die Gelder und Renten unter ihren Schutz, richten die Vikarien ein und berufen gemäß der Präsentation für
die erste Johannes Sander aus der Diözese Hamburg, für die zweite Tidericus Borner
aus der Diözese Minden. Die Vikare hätten bestimmte gottesdienstliche Verpflichtungen. Der erste zahle jährlich 1 m. an das Kapitel für das Totengedenken für
Albert Hoyer und an St. Nicolai am Annentag ebenfalls 1 m., der zweite 2 m. an
das Kapitel, die zum Anniversarium Alberts in choro nostro verteilt werden sollten,
und 1 m. an St. Nicolai am Tag der 10 000 Ritter. Albert, seine Frau Womele und ihre
rechtmäßigen Erben sollten auf 120 Jahre das Präsentationsrecht wahrnehmen. Es
könnten nur Priester vorgeschlagen werden. Siegelankündigung des Domkapitels.
Datum Hamborgh et actum in loco nostro capitulari anno domini millesimo tricentesimo
octuagesimo quarto die decima mensis Junii.
Diplomatische Erörterung: B ist Transsumpt, inseriert in die Urkunde von Gherardus,
Dekan, und Domkapitel von 1423 März 7 [oben Nr. 299]. Großes Pergament, mit
Einschnitten für Siegel, restauriert.
Überlieferung: B = StAHH 710-1 I Threse I, Nr. X 11. D = Copiae Archivi [mit Korrekturen].
830
Werner Militis, Dekan 1379–1415, danach (bis) 1426 als Propst belegt, Bruder des Kersten Miles.
831
Ratsherr 1374–1386.
[14 4 0] D ezemb er. [Hamburg ].
N6
539
1397 September 29. o. O.
1397.09.29 — Ss 89 (2)
N6
Otto [I.], Graf von Holstein(-Pinneberg), und sein Bruder Bernhard, Propst der Hamburger Kirche, verkaufen für 100 m. Propst, Dekan und Domkapitel zu Hamburg 10 m. jährlicher Rente
Otto, Graf von Holstein, Stormarn und Schauenburg,832 und sein Bruder Bernhard,
Propst der Hamburger Kirche,833 in einem offenen Brief: bekennen für sich und ihre
Erben, dass sie für 100 m. Hamburger Pfennige, die ihnen zur Genüge ausgezahlt
und in den Nutzen ihrer Grafschaft genommen worden seien, dem Propst, Dekan
und Domkapitel zu Hamburg 10 m. jährlicher Rente, zu zahlen jeweils in den acht
Tagen nach September 29 (binnen den achte dagen Michaelis) ohne Verzug aus ihrem
Dorf und den Gütern zu Suelzen, verkauft hätten. Würde die Rente nicht gezahlt,
dürfe das Domkapitel im Dorf pfänden. Der Graf und sein Bruder behalten sich den
Rückkauf der 10 m. Rente für 100 m. vor, der zwischen Michaelis und Weihnachten
erfolgen kann, wenn es in den acht Tagen nach Juni 25 (binnen den achte dagen sunte
Jacopes) angekündigt werde. Siegelankündigung der Aussteller. Gheven […] na Godes bordt drutteinhundert jahr, darnach in deme soven und neghenthegesten jaer in deme
daghe sunte Micheles des ertzen enghels.
Diplomatische Erörterung: C: Abschrift des 17. Jahrhunderts auf Papier in einem Heft
von 6 Bll., davon fol. 1r-4r beschrieben, die Urkunde auf fol. 1r-2r. Auf fol. 6v
(kopfstehend) der Vermerk: Briefe in copia der herrn greuenn von Schaumburg dero
memorien angehend sub No. 99, auf fol. 1v eine Signatur und ein blasser moderner
Stempel mit kyrillischen Buchstaben. Zusammen mit Ss 89 (3) und (4). – Die Kopie ist beglaubigt durch Johann Hesterberch, Notar kaiserlicher Autorität, Sekretär
des Domkapitels. Rückvermerk danach: Dit iß dat previlegium vor teyn marck geldes
tho Suelhusen to der vicarie hr. Johan Wyghen an deme dome.
Überlieferung: C = StAHH 710-1 I Threse I, Nr. Ss 89 (2).
N7
1399 Juni 29. o. O.
1399.06.29 — Bb 4 [1] und [2]
N7
Die 16 Ratgeber und alle Einwohnern des Landes Wursten beurkunden ihre Aussöhnung und ihr Bündnis mit Bürgermeistern, Rat und der ganzen Gemeine zu Hamburg
Die 16 Ratgeber und alle Einwohner des Landes Wursten in einem offenen Brief:
machen bekannt, dass sie sich mit Bürgermeistern, Rat und der ganzen Gemeine
der Stadt Hamburg in folgender Weise ausgesöhnt und verbunden haben:
[1.] Würden die Hamburger vom Erzbischof von Bremen oder anderen Herren im
Stift Bremen durch Unrecht geschädigt und ihnen ihr Recht verweigert, würden
sie zu ihnen stehen.
832
Otto I., Graf von Holstein(-Pinneberg) und Schauenburg (1366–1404).
833
Bernhard († 1419), Kanoniker in Hamburg.
540
Nachträge und Korrek turen zu Band 1
[2.] Würde jemand von außerhalb oder aus dem Stift Bremen Feind der Hamburger
oder des Gebietes zu Ritzebüttel (Rittzebuttel) werden, würden sie ihn nicht aufnehmen oder unterstützen.
[3.] Auch würden sie es nicht dulden, wenn einer von ihren Landsleuten Feind der
Hamburger oder des Gebietes zu Ritzebüttel würde.
[4.] Weiter würden sie den Hamburgern helfen, die Elbe zu befrieden, und in dem
Maße zu Hilfe kommen, wie es notwendig und beiden Seiten nützlich erschiene.
[5.] Dazu würden die Hamburger Schiffe, Kosten und Ausstattung (radschup) senden, mit denen sie auf eigene Verantwortung auskommen müssten.
[6.] Gewinne sollten nach dem Umfang der gestellten Kontingente (na mantale) geteilt werden.
[7.] Die 16 Ratgeber und Einwohner des Landes Ritzebüttel verzichten auf alle Ansprüche auf das Schloss Ritzebüttel, die Kirchspiele Altenwalde (Oldenwolde) und
Groden und die dazugehörigen Rechte und den Grundbesitz.
[8.] Sie verzichten auf alle einstmals erhobenen rechtlichen Forderungen in den
beiden Kirchspielen.
[9.] Würde das Schloss Ritzebüttel belagert oder würden die beiden Kirchspiele mit
Raub und Brand geschädigt, sollten die Einwohner des Landes Wursten dem mit
ganzer Macht Widerstand leisten. Schaden und Nutzen sollten sie selbst regeln.
[10.] Gäbe es Konflikte zwischen den Einwohnern des Landes Wursten und den Untertanen des Schlosses Ritzebüttel, wegen Totschlag, Misshandlung oder irgendwelcher Anklagen, so soll man das nach dem Landrecht entscheiden.
[11.] Würden Hamburger Schiffe oder Schiffe mit Waren der Hamburger im Gebiet des Landes Wursten auf Grund geraten, sollten sie die Tiden nutzen können.
Bräuchten sie darüber Hilfe, würden sie die Einwohner des Landes gegen üblichen
Lohn unterstützen.
[12.] Wenn Bürgermeister und Rat der Stadt Hamburg eine neue Urkunde fordern,
würden ihnen Ratgeber und Einwohner des Landes Wursten das von neuem verbriefen.
[13.] Zuvor vereinbarte Sühne, Freundschaft und Friedebriefe sollten von dieser
Urkunde unberührt bleiben, sondern weiterhin fest ihre Gültigkeit behalten.
[14.] Die eine Seite solle der anderen den Frieden nicht verkürzen, sondern stets
ausweiten.
Siegelankündigung. Geven unde schreven […] na Godis bord drutteynhundert jare in
deme negenundenegentichsten jare, in deme hilligen dage sunte Peters unde Pawels der
hilligen apostele.
[14 4 0] D ezemb er. [Hamburg ].
5 41
Diplomatische Erörterung: B1 ist inseriert in das Vidimus des Hermannus von der Os-
ten, Vizedekan, und des gesamten Domkapitels zu Hamburg von 1464 Oktober 3,
als Notariatsinstrument des Johannes Podendorp, Kleriker der Verdener Diözese,
Notar kaiserlicher Autorität und Schreiber des Domkapitels, mit seinem Notarszeichen. Großes Pergament mit Faltung, Umbug mit einem an einem Pergamentstreifen angehängten Siegel in schwarzem Wachs. Rückseite mit jüngerem,
kopfstehendem Vermerk: Vidimus einer szone edder vorbindunghe twiszken der stadt
Hamb[org] und Wursthfreszland datum 1399, datum autem vidim[us] 1464. Dazu ergänzend: et in lib[ro] cap[ituli], darunter No. 16. / B2 ist eine zeitgenössische Abschrift
auf einem nahezu quadratischen Blatt Papier mit Faltung, Rückseite quer mit
dem Vermerk: ad B.b.4.
Überlieferung: B1 = StAHH 710-1 I Threse I, Nr. Bb 4 [1]. B2 = StAHH 710-1 I Threse I,
Nr. Bb 4 [2]. D1, D2 = Copiae Archivi [D1 nur mit der Urkunde von 1399, D2 mit
dem Vidimus].
Edition: Klefeker, Sammlung, 10, S. 226–228; Schuback, Commentarius, S. 308–310.
Regest: Schütze, 380, S. 362; HUB 5, 376, S. 193.
Re giste r
Register der verzeichneten Threse-Stücke
Die Nachweise beziehen sich jeweils auf die Nummer des Regests.
A 1 a......................................... 404
A 1 b......................................... 404
Aa 2 (5) ................................... 159
Aa 2 (6) ................................... 158
Aa 20 a .................................... 105
Aa 20 b .................................... 113
B 11 a....................................... 449
B 11 b....................................... 449
B 12.......................................... 192
B 17.......................................... 309
B 18 [1] .................................... 272
B 18 [2] .................................... 272
B 19 a....................................... 529
B 19 b....................................... 529
B 20.......................................... 490
B 21 a....................................... 534
B 21 b....................................... 534
Bb 4 [1]......................................N7
Bb 4 [2]......................................N7
Bb 5.......................................... 271
Bb 16 a .......................................94
Bb 16 b..................................... 350
Bb 17...........................................47
Bb 19........................................ 128
C 4............................................ 192
C 8 a......................................... 459
C 8 b......................................... 459
C 9............................................ 194
Cc 4.............................................14
Cc 5.............................................15
Cc 6.............................................16
Cc 7.............................................17
Cc 8.............................................18
Cc 9.............................................21
Cc 10...........................................22
Cc 11...........................................23
Cc 12...........................................24
Cc 13...........................................25
Cc 14...........................................26
Cc 15...........................................27
Cc 16...........................................28
Cc 17...........................................29
Cc 18...........................................30
Cc 19...........................................31
Cc 20...........................................39
Cc 21...........................................19
Cc 22...........................................34
Cc 23........................................ 204
Cc 24........................................ 216
Cc 25........................................ 295
Cc 26........................................ 296
Cc 27........................................ 297
Cc 28........................................ 290
Cc 29........................................ 291
Cc 30........................................ 292
Cc 31........................................ 301
Cc 32........................................ 302
Cc 33........................................ 304
Cc 34........................................ 305
Cc 35........................................ 306
544
Register
Cc 36 [1].................................. 367
Cc 36 [2] .................................. 366
Cc 37........................................ 369
Cc 38........................................ 374
Cc 39........................................ 375
Cc 40........................................ 376
Cc 41........................................ 377
Cc 42........................................ 380
Cc 43........................................ 381
Cc 44........................................ 382
Cc 45........................................ 383
Cc 46........................................ 386
Cc 47........................................ 387
Cc 48........................................ 388
Cc 49........................................ 389
Cc 50........................................ 391
Cc 51........................................ 397
Cc 52........................................ 398
Cc 53........................................ 460
Cc 54........................................ 471
Cc 55........................................ 530
D 13 a....................................... 282
D 13 b....................................... 283
D 15.......................................... 272
Ee 22 b [1] ............................... 164
Ee 22 b [2] ............................... 165
Ee 39..........................................N1
Ee 52...........................................48
Ee 53 [1] .................................. 168
Ee 53 [2] .................................. 169
Ee 54........................................ 185
Ee 55........................................ 199
Ee 56........................................ 270
Ee 57........................................ 274
Ee 58 a..................................... 317
Ee 58 b..................................... 317
Ee 59........................................ 331
Ee 60........................................ 393
Ee 61........................................ 448
Ee 62........................................ 465
Ee 63........................................ 491
F 10.......................................... 192
F 11.......................................... 527
F 12.......................................... 192
F 12 a....................................... 221
F 12 b....................................... 221
F 13.......................................... 284
F 14.......................................... 308
F 15.......................................... 285
F 16 a....................................... 405
F 16 b....................................... 405
Ff 1 a...........................................66
Ff 1 b...........................................67
Ff 1 c...........................................68
Ff 1 d...........................................69
Ff 1 e...........................................70
Ff 1 f............................................73
Ff 1 g...........................................74
Ff 1 h...........................................76
Ff 1 i............................................78
Ff 1 k...........................................79
Ff 1 l............................................81
Ff 1 m..........................................83
Ff 1 n........................................ 100
Ff 1 o........................................ 111
Ff 1 p........................................ 118
Ff 1 q........................................ 119
Ff 1 r........................................ 122
Ff 1 s........................................ 365
Ff 2................................................9
Ff 3..............................................80
Ff 4 [1] ..................................... 123
Ff 4 [2] ..................................... 124
Ff 5........................................... 141
Register der ver zeichne ten Threse -Stücke
Ff 6 [1] ..................................... 142
Ff 6 [2] ..................................... 208
Ff 7 [1] ..................................... 229
Ff 7 [2] ..................................... 229
Ff 8........................................... 260
Ff 9 [1]..................................... 485
Ff 9 [2]..................................... 485
Ff 57......................................... 193
Gg 11...........................................65
Gg 12........................................ 121
Gg 14 ............................................1
Gg 15.............................................2
Gg 17...........................................43
Gg 18 [1].....................................75
Gg 18 [2].......................................6
Gg 18 [3].......................................7
Gg 19...........................................92
Gg 20........................................ 106
Gg 21........................................ 140
Gg 22........................................ 148
Gg 23 [1].................................. 170
Gg 23 [2].................................. 171
Gg 24........................................ 163
Gg 25 [1].................................. 177
Gg 25 [2].................................. 178
Gg 25 [3].................................. 179
Gg 25 [4].................................. 180
Gg 25 [5] ................................. 181
Gg 25 [6] ................................. 172
Gg 26........................................ 182
Gg 27........................................ 220
Gg 28........................................ 248
Gg 28 a .................................... 249
Gg 28 b .................................... 250
Gg 28 c .................................... 251
Gg 28 d..................................... 252
Gg 28 e .................................... 253
5 45
Gg 28 f ..................................... 254
Gg 28 g..................................... 255
Gg 28 h .................................... 256
Gg 28 i ..................................... 257
Gg 28 k .................................... 259
Gg 28 l ..................................... 261
Gg 28 m .................................. 266
Gg 28 n.................................... 262
Gg 28 o..................................... 263
Gg 28 p.................................... 264
Gg 28 q .................................... 267
Gg 28 r .................................... 265
Gg 28 s..................................... 311
Gg 28 t..................................... 312
Gg 29........................................ 258
Gg 30........................................ 279
Gg 31 (1).................................. 293
Gg 31 (2).................................. 303
Gg 31 (3).................................. 307
Gg 31 (4).................................. 294
Gg 32 a..................................... 321
Gg 32 b..................................... 322
Gg 33........................................ 335
Gg 34........................................ 330
Gg 35........................................ 356
Gg 36........................................ 355
Gg 37........................................ 357
Gg 38........................................ 392
Gg 39........................................ 416
Gg 40........................................ 413
Gg 41........................................ 418
Gg 42........................................ 417
Gg 43........................................ 428
Gg 44........................................ 425
Gg 45........................................ 420
Gg 46........................................ 423
Gg 47........................................ 427
546
Register
Gg 48........................................ 422
Gg 49........................................ 426
Gg 50........................................ 429
Gg 51........................................ 432
Gg 52........................................ 441
Gg 53........................................ 437
Gg 54........................................ 439
Gg 55 a..................................... 433
Gg 55 b..................................... 435
Gg 56........................................ 436
Gg 57........................................ 444
Gg 58........................................ 434
Gg 59........................................ 446
Gg 60........................................ 431
Gg 61........................................ 452
Gg 62........................................ 466
Gg 63........................................ 454
Gg 64........................................ 458
Gg 65........................................ 453
Gg 66........................................ 475
Gg 67........................................ 469
Gg 68........................................ 472
Gg 69........................................ 473
Gg 70........................................ 481
Gg 71........................................ 480
Gg 71 b .................................... 492
Gg 72........................................ 482
Gg 72 b..................................... 477
Gg 74........................................ 525
Gg 75........................................ 528
Gg 76........................................ 531
Gg 77........................................ 523
Gg 78........................................ 532
Gg 79........................................ 442
Gg 80........................................ 535
Gg 81........................................ 540
Gg 82........................................ 538
Gg 90........................................ 217
Gg 91........................................ 225
Gg 92........................................ 383
Gg 93........................................ 403
Gg 94........................................ 424
Gg 95........................................ 455
Gg 118 ........................................86
Gg 119 ..................................... 228
Gg 120 ..................................... 227
Gg 138 ..................................... 226
I 1 a [1] ...............................77, 351
I 1 a [2] ...............................77, 407
I 3................................................77
K 41.......................................... 222
Kk 7...............................................8
Kk 8.......................................... 211
Kk 9.......................................... 224
Kk 10........................................ 523
Kk 35...........................................44
Kk 52........................................ 334
Kk 55 b .................................... 200
Kk 88........................................ 360
Kk 92........................................ 232
L 1............................................ 361
L 42.......................................... 323
Ll 12............................................46
Ll 13............................................82
Ll 14......................................... 385
Ll 15................................. 343, 345
Ll 17......................................... 409
Ll 39 a .................................... 228
Ll 39 b [1] ................................ 230
Ll 39 b [2]................................ 228
Ll 51..............................................3
Ll 53......................................... 300
Ll 56..............................................5
M 11 a...................................... 156
Register der ver zeichne ten Threse -Stücke
M 11 b...................................... 174
M 21......................................... 205
N 1 [1]...................................... 157
N 1 [2]...................................... 157
N 44.............................................36
N 45.......................................... 139
N 46.......................................... 240
N 46 b...................................... 524
N 47.......................................... 368
N 48.......................................... 370
N 49.......................................... 371
N 50.......................................... 373
N 51.......................................... 379
N 54b ...........................................4
Nn 16....................................... 167
Nn 23....................................... 496
Nn 24....................................... 499
Nn 93....................................... 145
Nn 94....................................... 236
Nn 103........................................59
Nn 111..................................... 401
Nn 128..................................... 348
Nn 132..................................... 419
O 2 [1]...................................... 209
O 2 [2]...................................... 209
O 4............................................ 447
O 5 [2]...................................... 286
O 5 [2]...................................... 287
O 6............................................ 486
O 8............................................ 445
O 9............................................ 281
O 10.......................................... 444
O 16.............................................45
O 17.......................................... 108
O 18.......................................... 479
O 19.......................................... 484
O 35.............................................61
5 47
O 36 a....................................... 467
O 36 b....................................... 464
O 37.......................................... 468
O 38.......................................... 461
O 45.......................................... 505
O 46 [1].................................... 463
O 46 [2].................................... 495
O 47.......................................... 338
O 48.......................................... 358
O 49.......................................... 359
O 50.......................................... 438
Oo 58........................................ 126
Oo 59........................................ 135
Oo 60........................................ 329
Oo 72 ....................................... 115
Oo 73........................................ 533
Oo 87 ....................................... 206
Oo 88 ....................................... 210
Oo 100 ............................. 126, 313
Oo 101..................................... 520
Oo 102..................................... 520
Oo 128 [1]................................ 346
Oo 128 [2]................................ 347
Oo 128 [3]................................ 349
Oo 129 [1]................................ 400
Oo 129 [2]................................ 402
Oo 138..................................... 414
Oo 151 ..................................... 132
Oo 152..................................... 316
P 15.......................................... 544
P 17 (1) .................................... 190
P 17 (3) .................................... 190
P 17 (11a)................................ 190
P 17 (11b)................................ 190
P 21.......................................... 153
P 22 a....................................... 154
P 22 b....................................... 155
548
Register
P 23.......................................... 336
P 24.......................................... 440
P 25.......................................... 450
P 26.......................................... 456
P 27.......................................... 494
P 28.......................................... 485
P 29.......................................... 503
P 30.......................................... 509
P 31.......................................... 513
P 32.......................................... 512
P 32 b....................................... 500
P 33.......................................... 517
P 33 b....................................... 520
P 33 c....................................... 510
P 34.......................................... 539
P 34 b....................................... 511
P 35.......................................... 545
P 36.......................................... 546
P 52 [1].................................... 324
P 52 [2].................................... 325
P 52 [3].................................... 326
P 53.......................................... 502
P 54.......................................... 506
P 55.......................................... 508
P 61.......................................... 493
P 62.......................................... 516
Pp 33...........................................10
Pp 34...........................................37
Pp 35...........................................38
Pp 36........................................ 102
Pp 37........................................ 112
Pp 38........................................ 109
Pp 39........................................ 212
Pp 40........................................ 239
Pp 66...........................................72
Pp 105...................................... 298
Pp 107...................................... 548
Q 11.......................................... 107
Q 25 [1] ......................................51
Q 25 [2] ......................................51
Q 25 [3] ......................................52
Q 25 [4] ......................................53
Q 25 [5] ......................................53
Q 25 (6) ......................................47
Q 25 [7] ......................................54
Q 25 (8) ......................................49
Q 25 [9] ......................................55
Q 25 [10] ....................................50
Q 25 [11].....................................56
Q 25 [12].....................................57
Q 25 [13].....................................57
Q 26 a....................................... 129
Q 26 e [1]................................. 246
Q 26 e [2]................................. 245
Q 27 a....................................... 198
Q 30 (7).......................................12
Q 30 (8) ......................................49
Q 30 (9) ......................................50
Q 30 (10).................................. 104
Q 30 (11).................................. 104
Q 30 (12).................................. 220
Q 67.............................................13
Q 68 ............................................20
Q 69.............................................32
Q 70.............................................41
Q 71.............................................42
Q 72.............................................62
Q 73.............................................85
Q 74.............................................87
Q 75.............................................88
Q 76.............................................90
Q 77.............................................91
Q 78.............................................95
Q 79.............................................96
Register der ver zeichne ten Threse -Stücke
Q 80.......................................... 125
Q 81.............................................97
Q 82.......................................... 133
Q 83.......................................... 144
Q 84.......................................... 150
Q 85.......................................... 160
Q 86.......................................... 161
Q 87.......................................... 173
Q 88.......................................... 183
Q 89.......................................... 186
Q 90.......................................... 201
Q 91.......................................... 203
Q 92.......................................... 215
Q 93.......................................... 223
Q 94.......................................... 231
Q 95.......................................... 242
Q 100........................................ 207
Q 101........................................ 280
Qq 24....................................... 391
Qq 63....................................... 269
Qq 64....................................... 462
Qq 65....................................... 478
Qq 77....................................... 541
R 4 b............................................89
R 8............................................ 137
R 10.......................................... 138
R 21 (3) [1]............................... 489
R 21 (3) [2]............................... 489
R 45 b....................................... 288
R 59 [1].................................... 395
R 59 [2].................................... 395
R 62.......................................... 167
R 63 ......................................... 234
Rr 27........................................ 340
Rr 36........................................ 120
Rr 45 e..................................... 408
Rr 58........................................ 143
5 49
Rr 71...........................................11
Rr 72........................................ 483
Rr 91........................................ 151
Rr 92........................................ 241
Rr 93........................................ 247
Rr 94........................................ 333
Rr 95........................ 362, 363, 364
Rr 96........................................ 415
Rr 116...................................... 414
Rr 138...................................... 476
S 3 a.......................................... 501
S 3 b......................................... 498
S 11.......................................... 550
S 12.......................................... 526
S 14.......................................... 518
S 16.......................................... 114
S 37.......................................... 131
S 38.......................................... 203
S 39.......................................... 219
S 43 [2]..................................... 244
Ss 4 (3) .................................... 147
Ss 5........................................... 110
Ss 13......................................... 394
Ss 14......................................... 394
Ss 22............................................40
Ss 23............................................71
Ss 30............................................84
Ss 31......................................... 499
Ss 42............................................98
Ss 43......................................... 271
Ss 45......................................... 136
Ss 47......................................... 175
Ss 48......................................... 213
Ss 49......................................... 227
Ss 50......................................... 273
Ss 51......................................... 278
Ss 53......................................... 315
550
Register
Ss 57......................................... 338
Ss 58 [1]........................... 341, 342
Ss 58 [2]........................... 341, 342
Ss 62 (2)................................... 451
Ss 63......................................... 497
Ss 89 (2).....................................N6
Ss 89 (3)......................................59
Ss 89 (4)................................... 136
Ss 89 (5)................................... 151
Ss 89 (6)................................... 537
T 1 [1]...................................... 328
T 1 [2]...................................... 328
T 7 [1].............................. 190, 195
T 7 [2]...................................... 190
T 15.............................................33
Tt 10 [1]................................... 197
Tt 10 [2]................................... 197
Tt 11........................................ 411
Tt 14...........................................63
Tt 15...........................................93
Tt 29........................................ 474
Tt 34........................................ 188
Tt 35........................................ 515
Tt 36........................................ 134
Tt 37 [1] .................................. 134
Tt 37 [2] .................................. 134
Tt 40...........................................35
Tt 41...........................................35
Tt 43 (1)................................... 268
Tt 43 (3)................................... 319
Tt 45 [1]................................... 314
Tt 45 [2]................................... 314
Tt 46 (1)................................... 339
Tt 49........................................ 378
Tt 50........................................ 449
Tt 55................................ 515, 521
Tt 56........................................ 542
Tt 62...........................................58
Tt 63........................................ 130
U 20......................................... 536
Uu 4......................................... 189
Uu 5 [1].................................... 214
Uu 5 [2].................................... 214
Uu 17 (1)................................. 191
Uu 17 (2)................................. 191
Uu 20 ...................................... 101
Uu 21....................................... 406
Uu 35....................................... 187
Uu 36 [1].................................. 421
Uu 38....................................... 235
Uu 39 [1].................................. 507
Uu 39 [2].................................. 507
Vv 12 a .................................... 149
Vv 12 b.................................... 275
Vv 17....................................... 289
Vv 22....................................... 354
Vv 23....................................... 488
Vv 24....................................... 551
Vv 26....................................... 543
Vv 40....................................... 103
W 12......................................... 323
W 14................................. 353, 396
W 17......................................... 399
W 22......................................... 175
W 40......................................... 117
W 42 a ................................... 196
W 42 b...................................... 277
W 43......................................... 431
W 44......................................... 471
W 45......................................... 547
Ww 7...........................................99
Ww 8........................................ 146
Ww 9........................................ 233
Ww 10..................................... 332
Register der ver zeichne ten Threse -Stücke
X 10.......................................... 116
X 11....................................299, N5
X 14.......................................... 310
Xx 47....................................... 277
Xx 48....................................... 352
Xx 49....................................... 372
Xx 50....................................... 515
Xx 58....................................60, 64
Xx 65....................................... 344
Y 4............................................ 186
551
Y 8............................................ 316
Y 8 a......................................... 549
Y 10.......................................... 160
Y 12.......................................... 244
Y 13.......................................... 276
Z 13.......................................... 504
Zz 22........................................ 409
Zz 23........................................ 320
Register der Personennamen
Die Nachweise beziehen sich jeweils auf die Nummer des Regests.
Abkürzungen
A.
Abt
B.
Bürgermeister
D.
Domherr
G.
Graf
H.
Herzog
P.
Priester (an Pfarrkirchen)
R.
Ratsherr
V.
Vikar
Abbenborg, Johannes...................120, 239
Achem, Beke van...................................424
Achem, Johan(nes) van ...............143, 424
Adalbero, Erzbischof von Bremen......390
Adolf VIII., H von Schleswig......................
222, 361, 419, 496, 499, 518, 520, 533
Adolf IX. (X.), G von HolsteinPinneberg ........................59, 136, 171, 174
Aenstenzoen, Tyman............................159
Ayelde / Ayelt von Osterhusen...123, 124
Aken, Henneke van...............................447
Aken, Hinrik van...................................300
Ayldsenna, Hero....................................494
Aytzena, Ude..........................................503
Alberns, Make........................................211
Albertssone, Clawes......................229, 270
Albrecht II. römischer König, König von
Ungarn, Böhmen usw.................................
........................................ 527, 529, 534, 536
Albrecht, H von Bayern, G von
Holland.........................46, 77, 82, 351, 407
Albrecht II., G von Holstein...................61
Albrecht V., H von Mecklenburg.........217
Albrecht von Sachsen-Lauenburg,
D 245, 246, 248, 249, 250, 251, 252,
253, 254, 255, 256, 257, 258, 259,
261, 262, 263, 264, 265, 266, 267
Aldeghe, Nicolaus.................................146
Aldewerld, Hans....................................250
Alevelde, Detlef(f) van..................234, 401
Alewinssone, Ludeke............................392
Alfhusen, Dietrich, Offizial..................505
Alheidis, Priorin Reinbek.....................135
Alheydis, Magd......................................514
Allenhusen, Konrad von, A. zu St. Peter
und Paul, Paderborn.........................60, 64
Alphusen, Theodoricus, V...................478
Alsen, Clawes van....................................67
Alten, Heyneke van...............................250
Alvelde, Hans van..................................469
Alverdinghe(n), Johan(nnes) van / de,
R ......................................................163, 344
Alversloe, Bruneke van s. Kaden
Amelinghusen, Ludeke................270, 274
55 4
Register
Amendorp, Diderick d. J.......................264
Anderlinge, Hinrik van........................347
Andreaszon, Domes................................14
Anna de Summaripa, Angelus de,
Bischof von Praeneste, Kardinal.........298
Aquin, Thomas von...............................408
Apeken, Focke........................................505
Arendes, Curd........................................258
Arnd, Peter.............................................319
Arndes, Hinricus, P.................................89
Arndessone / Arendessone,
Eggherd..........................................229, 270
Arnsfelde, Marquardus........................551
Arnold, vicarius in spiritualibus in
Verden......................................................60
Aschwede, Borcherd van.....................262
Asle, Henneke van.................................378
Astorpe, Curd van.................................254
Auyelboe, Peter.......................................67
Aurifaber, Johannes......................195, 396
Azendorp, Hinricus...............................339
Azendorp, Johannes.............................339
Baerndessone, Eggherd.........................30
Bake, Detleff / Dytlev...........197, 229, 270
Balduin von Wenden, Erzbischof vonBremen.................. 462, 515, 521, 534, 541
Balghe / Ballige, Borchard van...........444
Balghe, Gherardus de, Dekan....................
273, 275, 277, 278, 299, 310, 313, 314,
315, 324, 332, 337, 339, 340, 342, 345,
351, 358, 359, 372, 378, 394, 395, 400,
406, 407,411, 414, 468, 476, 483, 485,
488, 489, 496, 497, 499, 507, N5
Balghe, Hermen van, V........................329
Baliar, Johannes.....................................364
Balke, Jacob ...........................................442
Baluͤte, Herman.....................................317
Bancze, Meyneke..................................447
Band, Nicolaus.......................................463
Bar, Radeke.............................................145
Bardey, Borghard..................................421
Bardelaghe, Johan van...........................92
Bardelslo, Roleff van.............................148
Bardewyc, Ludeke...................................85
Bardis, Guolteroto de............................343
Barkhusen, Hinrik van.........................252
Bars, Johannes.......................................408
Bassenvlet, Arnd...................................402
Basedow, Bernardus, R...........................10
Bazedorp, Hinrik, anders heten
Tuteber...................................................388
Bebbe, Propst zu Grothusen................503
Becker, Ghodekin..................................375
Becker, Hans...........................................375
Becker, Helmich.....................................375
Beere, Hinrich............................................7
Beere / Bere, Ortghis................................7
Beere, Paul..................................................7
Beere, Ulrich..............................................7
Beerne, Johannes van dem..................143
Beeth, Bertoldus ...................................507
Beye Catzeke..........................................346
Beye, Heyneke, d. J................................515
Beye, Henneke, der alte..........................89
Beye, Henneke, der junge......................89
Beye, Henricus / Henrik..............346, 402
Beyer, Albert..........................................166
Beyerssone, Hinric, R...........................300
Beygenvleet, Hinricus..........................268
Beke, Priorin Uetersen.........................145
Beke, Johannes von dem......................315
Beke, Matthias de..................................399
Bekendorp, Hinrik / Hinricus.....144, 515
Bekendorp, Johannes...........................315
Register der Personennamen
Bekendorp, Wilke..........................270, 274
Bekerholt, Johan (Lübeck)...................153
Bekerholt, Johannes (Hamburg)...............
344, 352, 362, 363, 364
Bekeman, Hans......................................453
Bekker, Arnoldus...................................113
Bele, Hinrik van dem............................254
Bene, Hinricus.......................................239
Benghen, Nanne....................................500
Benynge, Redert....................................539
Benne, Cunrad.......................................415
Bennyn, Johannes, V, D........342, 412, 483
Bentsnider, Abele..................................551
Bentsnider, Christian, V.......................332
Berchstede, Johan.................................201
Berchstede, Walterus / Wolter, V.............
................................................. 430,488, 551
Bere, Hans..............................................292
Bere, Hinricus, R..............................10, 239
Bere, Oleman.........................................253
Bere, Werner..........................................113
Berga, Henricus de, alias Schepel.......547
Berge, Werner von dem.......................296
Bergen, Cristian de.................................35
Bergen, Eidericus de.............................103
Bergen, Hermann van..........................288
Bergen, Peter van..................................430
Berghen, Hans van................................228
Berg(h)erdorp, Johannes, V................211
Berghe, Hans van dem..........................420
Berghe / Monte, Heyne van dem / de.99
Berghe / Monte, Hinrik van dem / de,
R, B..... 99, 230, 344, 353, 385, 396, 468,476
Berghe, Meyneke van dem..................220
Berghen, Gherardus van......................542
Bergherdorp, Hinric...............................58
Bergherdorp, Johan................................58
555
Berhals, Jo[hannes]...............................228
Berleves, Petrus.....................................346
Bernardi, Johannes, V..........................315
Berndes, Hans / Johannes...................525
Berndes, Jacobus...................................188
Berndes, Simon.....................................534
Bernebeke; Hasse van dem..................270
Bernhard I., H von BraunschweigLüneburg........................................109, 112
Bernhard II., H von Sachsen-Lauenburg
244, 245, 246, 248, 249, 250, 251, 252,
253, 254, 255, 256, 257, 258, 259, 261,
262, 263, 264, 265, 266, 267, 290, 291,
294, 295, 297, 301, 302, 303, 322
Bernhard von Holstein-Schauenburg,
Propst.......................................................N6
Bernstede, Ludeke................................220
Bernstede, Vicke...................................501
Berscamp, Kristian...............................189
Bersen, Theodericus de, D ..................478
Berssen, Paulus de, V............463, 468, 495
Bertold....................................................258
Berwusch, Henricus..............362, 363, 364
Besekindorff, Gunther van..................522
Beveld, Johannes...................................406
Beveld, Meynardus, V..........................406
Beveldes..................................................299
Bever, Arnd de.......................................262
Bickelstad, Conradus............................378
Bile, Henekin..........................................166
Byleveld, Clawes....................................474
Binddenpaghen, Marquerd.................270
Byshorst Bisshorst, Berend / Bernd........
.................................................229, 270, 274
Bis(t)horst, Hinrik.........................175, 403
Bishorst, Ulric........................................175
Bispinge, Claws............................26, 27, 29
556
Register
Bispinghe, Gheze...................................185
Bispinghe, Hermann............................185
Bisschop, Mertin...................................233
Bittere, Johan de....................................204
Blanke Hermen............................26, 27, 28
Blawen, Heyne.........................................58
Bley, Henric(k).......................325, 326, 327
Blyfhir, Nicolaus......................................89
Blome, Hinrik.........................................255
Blote, Titeke...........................................488
Bocholt, Friderike.................................130
Bockholde, Hinrick van........................496
Bockholtes Cruse Johan.......................465
Boͤcwolde, Detleff van...........................520
Bocwolde, Ludeke van..........................234
Boͤcwolde, Volrad van...........................520
Bode, Johan............................................270
Bodeker, Johannes, V............................463
Bodeman, Johannes..............................551
Boed, Bertold.........................................270
Boekwolde / Bokwolde / Buckwolde,
Syverd van..............................87, 91, 95, 96
Boekwolde / Bokwolde / Buckwolde,
Beke van.............................................87, 95
Boydenszon / Boldewannszon,
Brandeke / Brandele..............................14
Boyeke Johan.........................................505
Boyen Velleff..........................................484
Boygerd, Albertus...................................89
Boke, Clauwes........................................530
Bokels Kruse Johan...............................486
Bokholt, Ghereke...................................378
Bokholt, Tideke.....................................378
Bokwolde, Detleff van..........................401
Bokwolde, Volrad van...........................401
Boldersen / Boldertzon, Ludeke...............
.........................................................229, 270
Bole, Arnd...............................................413
Boleman, Bernd.....................................329
Boleman, Volkmar(us), V.............474, 514
Bollen, Wolter van den ........................254
Bolsendal, Henneke..............................378
[Bolstensen], N........................................63
Bolstorp, Nicolaus.................................337
Boltzen, Conradus de, R.........................10
Bomgarden, Johannes in dem.............411
Bomgharden, Thidericus.....................339
Bonifacius IX., Papst...................33, 60, 64
Bonstorp, Heyno...................................551
Borch, Clawes to der ............................492
Borch, Johan van der............................440
Borchardes / Borchgherde, Johan............
.........................................................268, 319
Borging, Hillewert................................492
Borging, Wilberst..................................492
Borner, Tidericus, V...............................N5
Bornessen, Johannes, V.........................89
Borsouw, Gherd.....................................416
Borsteden, Albert..........................176, 201
Borsteld(e) / Borstelt, Johan(nes)............
.................................................270, 274, 551
Borstelde, Ludeke..................................315
Borstelde, Otte van dem.......................270
Borstelde, Peter van dem.....................229
Borstele, Hinrik van dem.....................329
Borstellt, Bernardus, B.........................344
Borstelt, Werneke.................................274
Both, Herman........................................224
Botmer, Clawes van...............................384
Bothel(l) / Buttel(l), Hinricus de, V, D......
337, 342, 394, 408, 414, 463, 468, 495,547
Botterman, Drewes...............................341
Bra[…], Nicolaus, V................................551
Bradenkol de Vechta, Bertoldus.........280
Braders, Nicolaus..................................551
[Bra]meson(e), [Laurencius].......229, 270
Register der Personennamen
Bramstede, Jacob, R..............................409
Brand, Cord............................................441
Brand, Gherd..........................................259
Brand, Johan..........................................270
Brand, Langhe.........................................92
Brands, Heine........................................534
Brands, Hillebrand................................534
Brandenborch, Vicke............................274
Brandenborgh, Albert..........................270
Brandes, Heyne.......................85, 163, 336
Brandes, Johannes, V............................411
Brandesbrugge......................................299
Brant, Heyne............................................14
Brasche, Marquardus, P.......................166
Braunschweig-Lüneburg, Herzöge von...
...........................................................75, 524
Brede Wolkeff........................................465
Breyde, Peter.........................................339
Breide, Wulff..........................................533
Bremer, Dethloff / Detleff, R.....................
......... 450, 456,487, 493, 494, 502, 503, 506
Bremer, Merten.....................................474
Bremer, Tyme........................................534
Breseke, Hennyngh...............................302
Bretling, Luske / Losseke, Priorin in
Harvestehude........................................232
Bretlinge / Breetling, Albert.....26, 27, 28
Brisacher, Marquardus.........................359
Brytling, Albrecht.................................276
Broclo, Reymer van...............................329
Broctorpe, Hinrik d. Ä..........................234
Broctorpe, Hinrik d. J....................222, 234
Broder...........................................26, 27, 28
Broeys, Clawes...............................207, 211
Broekman, Hinrik.......................91, 95, 96
Broys, Wilke...........................................270
Broke, Bernd vom.................................534
Broke, Johan van dem ..........................258
557
Broke, Peter van dem...........................412
Brokemole, Johannes, V.......................146
Brokehoved, Gho(e)deke..............229, 270
Brokehovet, Johan................................201
Brokenhovet, Ludeke............................103
Brokkehovet, Kersten...........................474
Brokland, Martinus...............................346
Brugge, Johan van der............................72
Bruggeman, Hans..........................151, 176
Bruggewch.............................................261
Brughberch, Otto..................................163
Brummer, Johan....................................235
Brummer, Wilkinus..............................504
Brune Johan...........................................491
Brun(s), Arnd / Arend..........229, 270, 274
Brune, Henneke.....................................278
Bruningh Clawer...................................484
Brunkhusen, Gherd van.......................248
Brunonis, Johannes, V..........................526
Buckeman, Hinricus, V.................495, 547
Buͤck, Ernst...............................................65
Budeman, Johannes..............................542
Buesche / Buesghe, Cord / Curd...............
.........................................................249, 258
Buyen, Bocherd van den......................384
Buyen, Steen van den...........................329
Bukelholtes Johan.................................209
Bukwolde, Detleff van..........................348
Buldere, Eggherik...................................45
B[ulle], Clawes.......................................441
Bulow, Hartwich van............................296
Bunstorp, Heyno...................................542
Buͤren / Buren, Hermannus / Hermen
de, D...............................................................
........ 222, 315, 340, 346, 400, 414, 483, 544
Buren, Johannes de, Archidiakon, D........
280, 414
Burmester, Arnold................................551
558
Register
Burmester, Johannes............................411
Burmester, Ritzeke................................551
Burstede, Werneke...............................202
Buschusen, Wilhelm van.....................274
Busk, Clawes dor dem.............................69
Bussche, Johan van dem........24, 229, 270
Busser, Ludeke, Propst zu
Harvestehude........................................232
Bůttle, Albern van den.........................204
Butzow, Hermann.................................395
Butzouw, Hans.......................................263
Buxtehude, Hinrik................................113
Buxtehude, Meynard, B...............123, 124
Buzeke, Gheerd..............................154, 155
Cals, Hinricus...........................................64
Calven, Hoyerus de...............................191
Calven, Reyner van, R.................36, 37, 38
Calven, Tibbe de....................................190
Calveswanghen, Albertus....................128
Campen, Enghelbert van.....................384
Campen, Ghoswiin / Goswin van.............
.........................................................123, 124
Campen, Hans van................................255
Campen, Helmerik van.........................384
Campen, Johan van...............................384
Campen, Otte van..................................384
Campen, Wynckel van..........................384
Capelle, Arnd.........................................146
Castello, Nicolaus de.............................364
Catte, Hans.............................................386
Cestersflete, Johan van........................533
Chartres, Petrus....................................228
Cyrck, P zu Nortmora...........................494
Clayssone, Boydin.................................392
Clayszon, Wyllam....................................14
Clawes.....................................................209
Clawes d. J. (Junghe).............................175
Clawes Hinrikes.............................465, 467
Clawes Johan..........................................209
Clawesson Yebe / Jebe, Johan......465, 491
Clawesson, Widerik Bossen, uppe
Jerenwisch 468 Clawessone, Johan
(Hamburg)..............................................270
Clawessone, Johan (Schiedam).............15
Clawessone, Willem................................15
Cleyland, Henneke................................157
Clenck, Dyderik.....................................384
Cletze vgl. Kletze
Cletze, Johann, R...........................288, 344
Cletze, Ludeke................................229, 270
Cletze, Syverd................................229, 270
Cletze, Tideke.........................................274
Clovewegge, Johannes, D.............414, 483
Cluyver, Eggert......................................350
Clune, Hinricus, V...........................89, 116
Cluver, Eghardus, P, Propst
Uetersen.........................................463, 495
Cluver, Gyse de ......................................424
Cluver, Johan de ......................................43
Cok, Hans, anders geheten Righer.....466
Coldo(u)w(e) / Koldow(e), Berend /
Bernd, R........................................................
................ 229, 270, 292, 293, 296, 321, 344
Colleyg, Arnd...........................................99
Colman, Alheidis...................................488
Colman, Johannes, R.....................409, 488
Comitibus, Lucidus...............................352
Cordes, Hans..........................................473
Cotingh / Kotingh, Hinricus, R.................
........................................ 344, 403, 514, 520
Cracht, Hinricus alias de Hemme, V........
...........................................................11, 211
Craghe, Helmicus van...........................504
Crampe, Hinricus, D..............................478
Register der Personennamen
Creyenberch / Kreyenberch,
Hermannus, Ratsnotar.........343, 344, 396
Cremon, Herman...........................292, 302
Crevet / Krevet, Hermannus / Hermen,
Propst Uetersen....................................236
Crevet / Kreveth, Hermannus, D..............
.................................................314, 339, 395
Crevet, Hinricus, V..................................89
Crispijn, Johann.........................................9
Cristiani, Henricus, V...................542, 543
Cristianus, Petrus..................................273
Croge, Reynerus van dem Crogher,
Wolter.....................................................413
Cron / Kruͤn, Jacob................................431
Crujmmendyck, Georg.........................341
Cruͤkow, Johan........................................270
Crumme Irben.......................................505
Cruse, Hermannus, R............................239
Cruse / Kruse, Johan.... 464, 465, 467, 491
Cruse, Michael, V..................................476
Cruze Bertold.........................................383
Cruze, Clawes.........................................157
Cruze, Johan...........................................389
Cruze, Johannes, R................................212
Cruze, Thymme.....................................380
Cruzen, Clawes (Weddingstedt)..........209
Cruzen, Clawes (Brunsbüttel).............209
Curd de beste.........................................258
Curdekenssone, Johan..........................392
Curet[er], Hinrik....................................500
Cutert, Wilke..........................................354
D[…]singh, Hinric..................................258
Dagmer, Sybern.....................................214
Dalenborgh, Clawes..............................270
Danckerdes Johan.................................465
Dankert ..................................................209
Dankmer, Henneke.................................89
559
Dannouw, Johannes, P..........................280
Darsow / Dartzow, Hermen, R...................
...........................................12, 36, 37, 38, 75
Darwarder, Theodoricus, V.................504
Dati, Leonardo (de Florentia), Meister
der Dominikaner...................................238
Debbynck, Peter....................................549
Decberch, Clawes van...........................258
Deddinghes, Haye d. J...........................517
Deester / Deyster, Conrad(us), V..............
.................................................358, 359, 485
Deys, Friedericus ..............................60, 64
Demeker, Johannes...............................352
Demen / Dymen, Ludeke van..........17, 24
Detlyf, Sohne Woldemars....................384
Dichusen, Johan van.............................461
Dideric / Tiderik, A zu Reinfeld................
.......................................................36, 37, 38
Dydericus, A zu Ile.................................450
Diderikesone, Clays...............................392
Dydersbuttel, Meyne....................229, 270
Dincla, Johan van..................................254
Dyrkessone, Claws..................................34
Dyrkessone, Jacob...................................15
Dithmarsh, Hinrick...............................146
Ditzouwen, Geverdes van....................533
Dives, Ludeke.........................................300
Doo, Peter...................................................3
Dorheker.................................................252
Dornegge, Ulrik.....................................249
Dornehope, Johan.................................252
Dornehope, Reyneke............................252
Dorneword, Clawes to der...................468
Dorneword, Bole to der........................468
Doweltze, Hans......................................531
Draghe, Johan van, B............................222
Dreyger, Petrus, V ................................146
560
Register
Duckel, Dytmarus, R...............................10
Duderstad, Sander................................537
Duker, Hermann................................60, 64
Dullingen, Henricus de.........................189
Dunemann, Johannes, V......................235
Dusing, Heinrich...................................197
Duͤtzow, Johan, V...................................430
Duve, Johannes, P..................................411
Ebbracht, Theodoricus.........527, 529, 534
Ebertsen, Paulus de ..............................410
Ecke Johannes........................................465
[Eckersten, Johan van].........................148
Ecleff, Claws...........................................443
Eddelstorp, Hermann...........................299
Ede Johan................................464, 467, 484
Edzard Häuptling zu Norden...............539
Eembeke, Gheerd van...........................147
Eembeke, Johannes...............................275
Eggana, Gherald....................................456
Eytes, Dyderik........................................151
Eggena, Memmo....................................516
Egghena, Gherlt ....................................487
Eggherdes, Heyneke.............................515
Eggherdes, Tydericus.............................98
Eggherdes, Wilke...................................270
Eggheredes, Nicolaus...........................196
Eghel(s)berg(h), Hermen.............433, 435
Eghel(s)berg(h), Katharina..........433, 435
Einbeke, Johannes.................................188
Eyssen / Eyszen / Eytzen, Ludeke van.....
........................................ 229, 270, 274, 314
Ekeberch, Gunter..........................358, 359
Ekhop, Heyno........................................201
Elbeke, Tideke........................................300
Eler, Heyno.............................................488
Elisabeth, Frau Erichs V., H von
Sachsen-Lauenburg..............................132
Elisabeth, Witwe H Gerhards VI. von
Schleswig..................................................66
Ellen, Gherld..........................................500
Ellinghusen, Ghodeke...........................270
Ellyrby, Willelmus de............................228
Elme, Heyno de......................................166
Elmendorpe, Wilhelm van...................258
Elmerkusen, Conrad.....................172, 177
Elmerkusen, Ludolf.......................172, 177
Elren, Meyneke van..............................470
Elstere, Meyne van..................................72
Elstorp, Hinric.......................................436
Elte, Hinrik van......................................329
Elterstorp, Johannes, V..............................
........................................ 278, 337, 341, 342
Embeke / Enbeke, Bernd..............229, 270
Embeke, Hans van.................................528
Embeke, Johan.......................................201
Emmekens, Ubbe...................................508
Empsen, Johannes de...........................239
Emptzen, Frederik, V............................214
Emsen, Dideric van...............................417
Engelhard(i), Johannes........364, 396, 399
Enghelke.................................................258
Enghelsche, Peter.................................472
Enghusen, Johannes.............................463
Enkhusen, Hoyer...................................200
Enno / Enne von Norden.............123, 124
Ennona, Ude...........................................503
Erich IV., H von SachsenLauenburg.............................12, 47, 48, 49,
50, 51, 52, 53, 54, 55, 56, 57, 107, 129, 137
Erich V., H von Sachsen-Lauenburg.........
107, 132, 169, 187, 244, 245, 246, 248,
249, 250, 251, 252, 253, 254, 255,
256, 257, 258, 259, 261, 262, 263, 264,
Register der Personennamen
265, 266, 267, 290, 291, 294, 295,
297, 301, 302, 303, 311, 322, 330
Erik VII., König von Dänemark,
Norwegen und Schweden...................222,
225, 262, 263, 264, 265, 267, 331, 379, 385
Erteneborg, Heino................................299
Esschede, Johannes van der................213
Esschyng, Lubbert.................................326
Estorpe, Ludelve van................................1
Eugen IV., Papst... 408, 410, 411, 414, 421,
462, 478, 497, 504, 505, 541, 543, 547
Everslo, Godekin...................................488
Ewe, P zu Boecmora..............................494
Ewen, Tamme........................................509
Ewolcteszon, Jors....................................14
Faber.......................................................264
Faber, Johannes, V, P.............................359
Faber / Fabri, Bernardus, V.........332, 337
Fabri, Heyne...........................................338
Fabri, Johannes......................................338
Federken, Egge......................................487
Fye, Hinricus..........................271, 272, 308
Firmo, Thomas de (Paccaroni)..............86
Flechten, Ludolf van.....................172, 177
Flisco, Ludovicus de, Kardinal.............298
Floreke, Henningh................................504
Florszon, Florens.....................................14
Florszon, Florens d. J..............................14
Fockana, Elso..........................................517
Folkerdewere, Rederde van.................539
Forgetus, Dyonisius..............................399
Franciscus, Propst Alt-Bunzlau..271, 272
Francke, Hans........................................413
Friedrich I., Kaiser ................................536
Friedrich IV. Landgraf von
Thüringen..............................................284
561
Friedrich VI. Burggraf von
Nürnberg................................................194
Friedrich, A zu Reinfeld.......................190
Gadeke, Meyne......................................414
Gaedtens, Luder....................................151
Galtisna, Broder.....................................516
Garlop, Otto, R.........................................10
Garnerus, Johannes..............................364
Gast, Onno tor........................................513
Gast, Reynt tor.......................................513
Geynsen, Theodoricus, D...........................
................................. 195, 227, 394,414, 415
Geis(e)ler, Johann..................................490
Gerdow, Cristianus, V...........................346
Gerhard VI., G von Holstein...................61
Gerhard VII., G von Holstein, (nicht
belehnter) H von Schleswig......................
........................................ 222, 361, 393, 419
Gerhard (I.) von Oldenburg, Erzbischof
von Bremen............................................390
Gerlacus, A zu Stavoren und
Hemelen.................................................546
Gerleves, Peter ......................................402
Gerlichstede, Hinrik.............................409
Gerskamp, Heyno....................................35
Gertzen, Paulus.....................................195
Geverdes, Albert....................................534
Geverdes, Heinrich...............................534
[Gh…sches], Gherd................................436
Gheismaria, Hinricus de, V..........394, 408
Ghelderssen, Albertus de, R................149
Gherardi, Johannes, V..................120, 411
Gherbode, Hermann, Dekan St. Andreas
Verden ...................................................195
Gherbode / Gerbode, Wernerus, V...........
...........................................................71, 134
Gherden, Thidericus...............................93
562
Register
Gherdes, Hermen..................................434
Gherdessone, Johan................................24
Gherdow, Cristianus.............................411
Ghereken, Johannes..............................542
Gheren, Johan vanme...........................270
Gherlaci, Hinricus, D.............................340
Gherlacus upp den Soven Hoven .......346
Gherlevestorp, Dyderik........................412
Gherwen, Clawes.....................................80
Gherwen, Henneke.................................80
Gherwen, Hinrik......................................80
Gherwens, Cord.....................................420
Gherwin, Krämer..................................213
Gheverdes, Albertus.............................273
Gheverdes, Borchard............................551
Gheverdes, Heyno.................................166
Gheverdes, Ludolf.................................166
Ghiisebertson, Johan............................546
Ghire, Heyne..........................................418
Ghoyke to Bollinghusen.......................509
Gholdenstede, Gherardus....................202
Gholtbeke, Syverd...................................85
Ghoren, Johannes van dem.................332
Ghultzow / Gluczow, Johan(nes), R..........
...........................................63, 209, 227, 396
Ghummeren, Bode van........................261
Ghummern / Gummern, Hermen
van...................................................172, 180
Ghuͤs, Georgius.......................................543
Giselbert von Brunkhorst, Erzbischof
von Bremen............................................390
Glashoef, Hermen.................................274
Glynde, Marquardus van deme...........497
Glinde, Wilkinus van deme..................497
Gloier, Henneke.....................................145
Gloringk, Ayke.......................................510
Godeke....................................................258
Godeke […]torp......................................270
Godeke, Arnd.........................................157
Goede Greve...........................................549
Gogreve / Ghogreve, Bertold......170, 171
Gotingh / Gotynk, Johan, V...................98
Grabow, Johannes, R.........................10, 72
Grabow, Petrus, V..................................408
Grand, Johannes....................................202
Grantzin, Ulrik / Ulrijk.................433, 435
Greten, Henneke...................................209
Greveke, Hinrik.....................................533
Grevenitze, Otto....................................302
Griffer.....................................................258
Grympe, Borchard..................................92
Grympe, Johan.........................................92
Gripeshorn / Grypeshorne, Hinrik..........
........................................ 355, 356, 357, 409
Grisingh, Hayge.....................................487
Grone, Johan van...................................248
Gronehag(h)en / Grunhagen, Nicolaus,
R, B.....................................................10, 212
Gronenwald / Gronewolt, Wichman, R...
................................ 229, 270, 274, 353, 396
Gronewolt, Bernd..................................229
Gronow, Johannes, P.............................314
Grope, Heyno.........................................143
Groperdorp, Berend.............................254
Grote, Ritter von......................................93
Grote Bernd............................................425
Grote Clawes..........................................474
Grote Dideke..........................................493
Grote, Hermen.......................................413
Groteberend...........................................259
Grote Herringhesson............................468
Grote Poppenssone, Eynrik.................508
Groͤve, Luder...................................154, 155
Grove, Richard...............................175, 185
Register der Personennamen
Groveleyghe, Hermen..........................515
Groveleyghe, Syverd.....................207, 211
Growelingh, Albertus...........................542
Grube, Johannes, Offizial.....................514
Grube, Nicolaus, V..................71, 134, 211
Grubenhaghen, Hermen......................320
Grůnehaghen, Herberd..........................94
Grunoldus, Bruno....................................64
Gruwel, Willekin...................................339
Gulczow / Gultzow, Johannes, R...............
.........................................................344, 353
Gultzow, Gherbert.................................153
Gultzouw, Ludeke..................................477
Hachchen, Marquard, B.......................222
Hachede, Bernard de............................196
Hachede, Ermengardis de....................411
Hachede, Ghese de................................196
Hachede, Heynekin de.........................196
Hachede, Heyno de.......................201, 514
Hachede, Hylle van...............................514
Hachede, Hillegundis de..............196, 277
Hachede, Hinrik de, R...........130, 196, 277
Hachede, Hinricus de jr........................196
Hachede, Johannes de..........................196
Hachede, Johannes de, V.............130, 411
Hachede, Nicolaus de...........................411
Hachede, Vicko de.................................196
Hachede, Wernerus, R..........................277
Hachede, Wern(h)erus de, V.....................
.................................................353, 396, 399
Hacheden, Nicolaus van.......................273
Hacke, Henneke.......................................70
Hacke, Zuper............................................70
Hacklem, Heinrich van.........................534
Hadeler, Nicolaus..................................551
Hadewerkes, Tymme, R........................491
Hag(h)edorn, Claus / Clawͤ s.........296, 321
563
Hagedorn, Hermen (Hamburg)..........130
Hagedorn, Nicolaus..............................299
Haghedorn, Hermen (Bodenwerder).......
.................................................................540
Hag(h)en, Berent / Bernt vamme.............
.................................................151, 270, 537
Hagene, Hartig van dem......................274
Haghen, Claws van..................................41
Haghen, Deghener van deme......229, 270
Haghen, Diderik / Tidericus van dem, R.
........................................ 123, 124, 197, 273
Haghen, Hans van dem........................439
Haghen, Heyne van dem......110, 147, 273
Haghen, Hinricus, V.............................101
Haghen, Hinricus de.............................395
Haghen, Johannes van dem.........143, 188
Haghen, Johannes van dem, Kleriker......
.................................................................275
Haghen, Thideke van deme.................501
Haghen, Tibbe van dem...............197, 273
Haghen, Wyneke van dem d. Ä...........463
Haghen, Wyneke van dem d. J.............463
Hayana, Bolo..........................................450
Hayensone, Clawes.................................30
Hayke von Valren..........................123, 124
Halleke, Marquerd........................270, 274
Hallendorp, Johannes...........................134
Hals, Gherardus.....................................299
Hals, Peter................................................12
Hals, Wolter.............................................14
Halvemunde, Otte van..........................248
Hamborch / Hamborgh, Nikolaus, D,
Dekan..... 352, 362, 363, 364, 399, 412,414,
415, 476, 505, 515, 533, 536, 542, 551
Hame, Hermannus de...........................288
Hamelen, Everdes van............................58
Hamelipin, Ludeke................................497
56 4
Register
Hamer, Godekin.....................................196
Hamma, Ficke / Vikke..................105, 113
Hamma, Hinrik, P..........................105, 113
Hamme, vor Eybe van...........................533
Hamme Herder upp dem Kineker more..
.................................................................468
Hamme, Hermen van...........................222
Hamme, Hermannus de, V..........394, 408
Hamme, Johan van, anders gheten
Scopel van Hamme...............................266
Hamme, Luder van........................115, 533
Hammeke, Steneke van dem.........92, 256
Hane, Johann.........................................534
Hanneman Jerren soen........................209
Hannekensone, Michel............................3
Hanstede, Johan(nes).....................24, 299
Hanstede, Luderus................................497
Hante, Ludeke........................................389
Hardebo, Jes...............................................3
Hardemaen, Johannes..................353, 396
Hardenacke, Heyne.....................................
85, 97, 104, 125, 133, 144, 150, 160,
161, 173, 183, 186, 198, 203, 215, 219
Hardenberch..........................................393
Hardenbergh, Gherd............................397
Hardenburgh, Borchard de.................352
Hardestorp, Siffrid, P............................315
Haret, Matthias.......................................67
Hartig, Johannes, V...............................146
Hartwig (I.) von Stade, Erzbischof von
Bremen...................................................390
Hasse, Borchard, auch Brummer........412
Hasseke, R.................................................10
Hatyt, Schmied......................................512
Haulvort, Hans.......................................470
Havense, Peter van...............................265
Hebbeke Schele.....................................484
Hebbeken, Hans.....................................209
Hebelensone, Ludekin..........................339
Hedden, Ubba........................................494
Hedeke, Ludolf.......................................166
Hedeke, Peter.........................................235
Hee, Berteld van .......................................3
Heertigis, Huge......................................545
Heest, Arnd....................................168, 169
Heest, Dionysius....................................518
Heest, Eggherd......................................518
Heest, Ermegard....................................314
Heest(en), Hartic(h) / Hartwig ................
.................................................111, 314, 378
Heest, Henning (d. Ä.)..................168, 169
Heest, Henning (d. J.)....................168, 169
Heest, Laurencius..................................518
Heest, Luder...........................................314
Heest, Syverd.........................................518
Heest, Tonyes.................................168, 169
Heest, Volrad / Vollart...............................
........................................ 314, 401, 496, 520
Heesten, Eggerd....................................533
Heide, Albert van der...........................403
Heyde, Berend / Bernd van der................
229, 270, 274, 288, 394, 534
Heyde, Claws van der.............................24
Heyde, Ludeke van der.................270, 300
Heyde, Vicke van der............229, 270, 274
Heydhorst, Hans...................................258
Heydorn, Tydericus..............................275
Heidorne, Wichman.............................534
Heye, Reder............................................453
Heyme, Luder........................................270
Heynen, Johan.........................................72
Heyno......................................................143
Heinrich I., H von BraunschweigLüneburg................................109, 112, 157
Register der Personennamen
Heinrich II., H von BraunschweigLüneburg............... 368, 370, 371, 373, 379
Heinrich II., G von Holstein.................113
Heinrich III., G von Holstein......................
61, 66, 73, 74, 76, 78, 79, 81, 83, 100, 111,
118, 138, 156, 210, 222, 234, 279, 533
Heinrich IV., (nicht belehnter) H von
Schleswig......................................................
205, 222, 230, 262, 263, 264, 265, 267, 331
Heinrich X., Burggraf von Meißen,
Herrzu Plauen........................................404
Heinrich A zu St. Pauli außerhalb
Bremens..................................................478
Heysen, Georgius..................................213
Hellen, Michel van der ........................145
Helling, Johannes..................................364
Helmeghes, Johannes...........................551
Helmekens, Henneke............................202
Helmiges, Hanns...................................534
Hemme, Hinrik......................................274
Hemmeskerken, Gherd van.........229, 274
Hemstede, Johan van............................274
Henninghes, Meynard, R.............123, 124
Henrikessone, Godeward.....................392
Henson, Reymar....................................468
Herberghe, Gherd van der...................526
Herbrecht, Gherke........................292, 302
Hercze, Johannes..................................396
Herdegessen, Theodoricus, V.......71, 134
Herder.....................................................108
Herder, Enghelbrecht...........................236
Herder, Henneke...................................236
Here, Jacob...............................................21
Here, P zu Leerlte..................................506
Heringk / Heeringes / Herding(hes),
Hans / Hasse......... 209, 461, 464, 467, 486
Heringh, Heweke...................................505
565
Heringh, Wygeke..................................505
Heryng, Junge Boye..............................465
Hermann, V (in Bremen).....................128
Herman, Propst Uetersen....................145
Hermannus, P zu Großen Brode.........224
Hermensborch / Hermensborgh, Johan.
.........................................................229, 270
Hermensborch, Volker.........................551
Hermensborgh, Ludekinus..................542
Hermenssone, Robyn.............................30
Herslo, Otto de, D ...................10, 102, 145
Hermens, Make.....................................480
Hertingishusen, Hermen van......172, 178
Heseman / Hezeman, Johan........229, 270
Hesling, Johannes.................................478
Hesselstorp, Achym..............................294
Hesselstorp, Frederik...........................294
Hesselstorp, Hans........ 293, 294, 303, 307
Hesselstorp, Vrytze..............................294
Hesterberch, Johann.......................59, N6
Heuwen, Folrik......................................494
Hezebeke, Koneke.....................................4
Hiczacker, Jurges van.............................N1
Hydde, Clawes..........................................45
Hidzacker, Albert van...........................295
Hidsacker / Hittzacker, Hans (Johan)
van d. J. ...........................................295, 296
Hidzacker, Hans (Johannes)
van, d. Ä. anders gheheten
Marschalk...............................207, 211, 295
Hildebold von Wunstorf, Erzbischof
von Bremen....................................390, 536
Hille.........................................................332
Hilleman, Johan, V................110, 147, 166
Hillingstede, Johannes, D.....................478
Hinrikes, Clawes........... 445, 457, 464, 486
Hinrikesson, Vogt zu Segeberg...........222
566
Register
Hinrikessone, Jacob................................22
Hiske von Emden...........................123, 124
Histring, Albert.....................................226
Hitveld / Hitvelt, Alheyd.....................278
Hitveld / Hitvelt, Johan................163, 278
Hoep, Johannes.....................................213
Hoep(p), Sander............................229, 270
Hohe, Everhard, V.................................103
Hoya, Johannes de, Protonotar
Hamburgs...............................................410
Hoye, Claw(e)s...............................476, 515
Hoye, Erp..................................................92
Hoye, Heyneke.......................................476
Hoye, Hermen........................................476
Hoy(g)e, Wilke / Willekin............207, 211
Hoye(n), Hermen van der............229, 270
Hoyenman, Johannes, R.........................10
Hoyer / Hoyger, Albert, R..........................
..........................................187, 299, 421, N5
Hoyer, Albert d. J...........................299, 551
Hoyer(s), Gherberch /
Gherborch .....................................268, 319
Hoyers, Gherleff....................................270
Hoyer(s) / Hoiger, Hinrik, B................230,
268, 299, 319, 344, 409, 418, 421, 468, 507
Hoyers, Hinrik.......................................236
Hoyers, Hoyer........................................197
Hoyer(s) / Hoyger, Johan.....105, 113, 127
Hoyer, Titeke d. Ä..................................471
Hoyer, Titeke d. J...................................471
Hoyer(s) / Hoyger, Wibe......................113
Hoyer, Womele......................................299
Hoyke, Grove..........................................502
Hoke, Bernardus, V...............................224
Hoke, Johannes, V.................................334
Holdenstede, Tydemannus.................343
Holle, Sander van....................................92
Holler, Volquin de.................................262
Holme, Nyclowes van...............................3
Holste, Johan..........................................270
Holstein, Grafen von.....................271, 527
Holsten, Johannes.................................488
Holt, Johannes, V..................................408
Holte, Ghereke vamme.........................270
Holte, Henneke to.................................301
Holte, Hermen van deme.....................430
Holthusen, Cord / Curd van, B...........131,
366, 367
Holthusen, Hermen van.......................248
Holtorp, Everd van................................254
Honne.....................................................487
Honover, Clawes....................................458
Hoͤnow, Juriges.......................................451
Honwide.................................................261
Hop, Ludekin..........................................421
Hoppe, Symon.......................................397
Hopsenberch, Raven...............................70
Horborg, Peter.......................................534
Horhusen, Bernd van...................172, 179
Horne, Alte van........................................39
Horne, Hermen vamme.......................320
[Hoͤrneken], Claus.................................549
Hornersen, Johannes, D.......................478
Hotlem, Curd van..................................300
Hotlem, Hinryk van..............................474
Hoͤwalker, Peter.....................................412
Hove, Cristina van dem........................542
Hove, Herman(nus) van dem, V.........526,
542
Hove, Vicke vanme / van dem, R, B..........
201, 276, 344, 353, 396, 399, 520, 542
Hoveman, Johan....................................270
Howen, Peter.........................................341
Howyssch, Hinrick................................455
Register der Personennamen
Howschild, Johan..................................419
Hubberkragen, Cord.............................252
Hubberkragen, Hermen.......................252
Hubberkragen, Rychard.......................252
Hude, von der, Familie............................43
Hude, Albert van der............................329
Huep, Curd.............................................436
Hues, Johan van dem............................274
Huetlem, Hinrik van.............................274
Hughenzon, Arnolt.................................14
Hulschede...............................................534
Hulsebeke(n), Henneke................292, 302
Humannesszon, Gherd...........................14
Hummersbuttel(e), Johannes...................
120, 126, 313, 401, 406, 496, 520
Hummersbuttel, Tymme, V......................
.................................................227, 315, 394
Hune, Berend / Bernd..........................270
Hunte, Hans...........................................374
Hupe, Cord.............................................409
Hus, Johan van dem..............................434
Husbaw, Nicolaus..................................299
Husdunen, Alarde ............................26, 27
Huͤtel, Jorg......................................404, 449
Hutlem, Hinricus...................................551
Yber, Tyle van........................................248
Ijlste, Egghe van der .............325, 326, 327
Ilzeben Clawes.......................................209
Imelen, Olde...........................................539
Inlaghe, Martin......................................146
Insula (Werder), Nicolaus de, D....11, 115
Ysbrandessone, Claws............................15
Ysbrandessone, Hughe..........................15
Iselbach, Luder......................................253
Jacobssone, Gheriit...............................163
Jacobus Bertucci d’Obizzi, Bischof von
Adria............... 344, 352, 353, 360, 396, 399
567
Jayge, P zu Bunde..................................519
Jante, Joachimus....................405, 449, 534
Yarigessone, Dodo...................................30
Yegenzon, Flores.....................................14
Jeltke.......................................................494
Jensen, Torkel............................................3
Jenefeld(e) / Yenevelde, Hinrik, R............
125, 130, 133, 163, 173, 186,
193, 203, 242, 353, 396
Yesse, Ludeman.......................................92
Joachim, Propst Bordesholm..............234
Johann H von Bayern, Elekt zu Lüttich,
G von Loon / Holland.................................
77, 229, 270, 274, 351, 407
Johann IV., H von SachsenLauenburg..............................................169
Johann IV., H von Mecklenburg..........217
Johann III., G von Holstein...................224
Johann, Herr zu Diepholz............121, 122
Johannes XXIII. Papst...................190, 195
Johannes (II.) von Slamsdorp,
Erzbischof von Bremen........................152
Johannes (VI.) Hundebeke, Bischof von
Lübeck.....................................................224
Johannes (II.) von Waldow, Bischof von
Brandenburg..........................................269
Johannes, Dekan zu Hildesheim.........247
Johannes, Abt zu Scharnebeck............240
Johannes, Propst zu Bradowick..........214
Johannes, Propst zu Gran.....................221
Johannpeter, Tydericus.......................278
Johans[sen], Siwes................................461
Johansson, Peter...................................143
Johansson, Ryklef..................................278
Johanssone, Dyrk........................26, 27, 28
Johanssone, Heyne...............................270
Johanssone, Jacob (Rotterdam)............23
568
Register
Johanssone, Jacob (Schiffskind).........392
Johanssone, Olmer ...............................392
Johanssone, Peter (Hoorn)........26, 27, 28
Johanssone, Peter (Rotterdam)............15
Johanssone / Johannissone, Reyner....15
Johanssone, Rulef / Rolfe...........26, 27, 28
Johanszon, Jacob.....................................14
Johanszon, Willam (Mumpert).............14
Junghe Ywer..........................................491
Kaden / Koden, Familie..............................
...............73, 74, 76, 78, 79, 81, 83, 100, 111
Kaden / Alversloe, Bruneke van .........66,
67, 68, 69, 70, 118, 119, 187, 498,
501, 518, 522, 526, 532, 550
Kaden, Clawes van.................................550
Kaden, vor Yde......................................550
Kaden / Alverslo, Jutta van..................518
Kaden, Tymme van.....................................
.................................66, 67, 68, 70, 118, 119
Kalde, Petrus..........................................490
Kale, Johannes, V..................................103
Kalenberghe, Hinrik van deme...........444
Kaleveld, Hinrik.....................................270
Kalhof / Kolhof, Hildebrand........229, 270
Kalverwisch, Hinricus..........................269
Kampe, Peter.........................................236
Kannengheter, Johan, V.......................136
Karenschuver, Ludolf...........................143
Karnap, Claus.........................................320
Karstede, Kersten..........................321, 322
Karstede, Cuͤne / Kone.................321. 322
Karstede, Vrytcze .........................321, 322
Kastorpe, Henneke...............................168
Katheman, Johan..................................270
Katlow, Clawes.......................................234
Katlow, Henneke...................................234
Katte, Johan...........................325, 326, 327
Kattke, Johan.........................................320
Keding(h), Clawes.................................357
Keyser...........................................26, 27, 28
Kellinghorst, Heuwo to........................519
Kempe, Clawes.......................................235
Kempe, Jacob.........................................235
Kempe, Peter.........................................235
Keno [II.] tom Broke, Häuptling des
Brokmerlandes..... 123, 124, 153, 154, 155
Kerberghe, Beteko von.........................321
Kerewaghen, Hans................................428
Kerkhoff, Tymo.....................................339
Kersten...................................................209
Kerstens Clawes (Dithmarschen).......465
Kerstens, Clawes (Hamburg)...............530
Kerstens, Hans.......................................398
Kerstens, Hans (Hamburg)..................530
Kerstens, Hinrik....................................530
Kerstens, T(he)eden.............461, 464, 467
Kid, Clawes.........................................68, 70
Kynd / Kynt, Eler...........................154, 155
Kinck, Nicolaus......................................406
Kla[nte], Otte.........................................300
[Klencke], Ortghis (und Witwe)........6, 75
Klenk, Herberd......................................264
Kletse / Kletze, Clawes.........................369
Kletse / Kletze, Henneke......................369
Kletse / Kletze, Thiderik......................369
Kletze vgl. Cletze
Kletze, Edelke.........................................488
Kletze, Siffrid.........................................488
Kleve, Wooldere uppeme.......................45
Klockener, Cleys....................................413
Knakerugge, Beata........................164, 165
Knakerugge, Hinricus, Propst
Harvestehude................................164, 165
Knakerugge, Yda...........................164, 165
Register der Personennamen
Knape, Marquard..................................436
Knesbeke, Hans van dem.....................296
Knyf, Bernd............................................233
Knetken, Daneel van.............................204
Kniper, Johannes ..................................505
Knoke, Dyderik......................................453
Knop, Hanneke......................................413
Knubbe, Bernard...................................143
Koeting, Hinrik......................................274
Kok, Fredericus......................................551
Kok, Hinricus, P.....................................378
Kokingh, Johan......................................261
Koldynch, Nonnemer van......................67
Koldow s. Coldo(u)w
Kopeke, Gese..........................................419
Kopeke, Hans.........................................419
Kopman, Hinricus.................................339
Koster, Hinrik.........................................127
Koszenszon, Johan..................................14
Kotingh s. Cotingh
Krakenson, Clawes................................468
Kralingen, Daniel van...........................274
Kran, Olawes..........................................228
Krantz, Johan.................................229, 270
Kreyer, Albert........................................314
Kremer, Johannes..................................188
Krestens, Ywer..........................................3
Kreyenbroͤk ...........................................270
Kryte, Ghodschalk.................................268
Krueseler, Cord......................................274
Krukow, Johan.......................................229
Krulle, Clawes........................................336
Krumedik / Krummedijk,
Borchard.........................................331, 496
Krumedik / Crumedik, Hartigh..........331
Krumedik / Crumedik, Krummendike,
Hinrik..............................................331, 385
569
Kruse, Michael, V..........................394, 547
Kuer, Cleys..............................................413
Kule, Hermen, D....................................227
Kule, Hinrik............................................520
[Kule], Ott[o]..........................................341
Kuntze, Theodoricus............................543
Kuren, Jachim........................................533
Kusel, Werner, V....................278, 451, 497
Kust, Johannes, D........................................
........................ 346, 372, 400, 414, 483, 533
Laans R(e)ymer.............................464, 467
Laghen, Jes.................................................3
Laghendorp, Berend / Bernd......229, 270
Lamberti, Tidericus, V..........................280
Lamen, Ludger van...............................393
Lamspringh, Thideke...........................270
Landsberg, Berthold von, Bischof von
Verden......................................................60
Lange, Bernard / Bernt........103, 151, 176
Lange / Langhe, Clawes / Nicolaus, R......
........................................ 201, 314, 397, 421
Lange, Hans............................................404
Lange, Heyno.........................................189
Lange / Langhe, Hermen,
R...........................................12, 29, 125, 176
Lange, Hinrik.........................................197
Lange, Marquard...................................197
Langelge, Frederik van.............................1
Langhe Hans..........................................474
Langhe Hinrik........................................391
Lang(h)ehans ................................433, 435
Langhe, Johannes..................................547
Lantzebergh, Thomas...........................364
Lappe, Alverik.................12, 13, 32, 41, 42,
62, 85, 87, 88, 90, 91, 95, 96, 97, 104, 107,
161, 173, 198, 219, 242
570
Register
Lappe, Ghese / Gheze / Gezeke ................
13, 32, 41, 42, 62, 85, 88, 90, 104, 198, 219
Lappe, Mette..........................161, 198, 219
Lappe, Willeke ......................................104
Lappe, Wolder.............................12, 13, 20,
32, 41, 42, 62, 85, 88, 90, 97, 104, 144, 173,
183, 186, 198, 203, 215, 219, 223, 231, 242
Lappe, Wolder........................................501
Lappe, Woleke..........................................87
Lappe, Wol(d)eke, Sohn Wolders..............
85, 104, 125, 133, 144, 150, 160, 161, 173,
183, 186, 198, 203, 215, 219, 223, 231, 242
Lappenstap, Hinrik...............................252
Laurenszon, Domes / Thomas..............14
Lauwensoͤne, Dyrk..................................15
[Lechtenow], Ludolf dii marschalk...........
.........................................................172, 177
Ledinghehusen, Hinricus, V................411
Leddeghe, Otto......................................543
Leddinghusen, Heinrich, V.................341,
343, 345, 394, 463, 468, 495, 497, 514, 547
Leddinghusen, Johan, V.......................474
Lemegow, Meynardes van.....................98
Lenghede, Ludelef van.........................248
Lennenkamp, Hans...............................248
Lere, Dedde to........................................502
Lere, Hermans to...................................502
Lere, Hompen to....................................502
Lerlte, Frederik vam.............................539
Lese / Leze, Heyno van.................197, 228
Leseman, Heyno....................................313
Leten, Arnd van.....................................534
Lezemeister, Hans.................................447
Lindeloff, Johannes, V..........................146
Lindemann / Lyndeman, Helmold, V......
.........................................................332, 411
Linden, Richerd by der.........................228
Linden, Arend van der..........................220
Linden, Gherardus van der..................220
Linden, Hermen van der......................220
Linden, Hinrik van der.........................220
Linden, Johan van der..........................220
Lynden, Petrus van der, P....................316
Linow, Hinricus.....................................378
Linow, Make...........................................378
Lippe, Hans.............................................263
Lippe, Johan van der.............................264
Lippeman, Hermann..............................64
Lippen, Hans..........................................248
[Livertinus], T........................................134
Lo, Hinricus de.......................................277
Lo, Johannes de .............................101, 103
Lobeke(n), Hans, anders gheheten
Wynterveld....................................292, 302
Loe, Hans uppe der ...............................465
Loen, Frederik van................................254
Loo, Wolder van dem....................229, 270
Lopow, Abele..........................................299
Lopow, Hilmar / Hylmer, R., B. .................
.................................32, 36, 37, 38, 114, 299
Louwe, Johan, V.....................................200
Louwen, Nicolaus..................................103
[Louwentorp], Conradus, alias
Vechtelde...........................................60, 64
Louwesikke, Ghereke............................301
Lů, Johannes de, P.................................103
Lu, Johannes van der ...........................504
Lubbe......................................................500
Lubbeke Boye.........................................484
Lubbensone, Henneken...................26, 27
Lubberd..................................................261
Lubbertes, Johan.....................................24
Lubbertssone, Joͤneke.............................30
Luber, Henneke.....................................157
Register der Personennamen
Lubeze, Erik............................................157
Lubeze, Henneke...................................157
Lubeze, Peter d. Ä..................................157
Lubeze, Peter d. J...................................157
Luchow, Johannes.................................232
Luchtemaker, Reymar, V......................421
Ludeke, Johannes, V...............................89
Ludekenssone, Gherd...........................392
Luders, Hinrik............................................5
Luders, Wilke.................................229, 270
Lune, Borcherd van.......................229, 270
Luneberghe, Johan van........................225
Luneborch / Luneborg, Johannes, B........
.................................................344, 353, 396
Luneborch / Luneborgh, Tydeke /
Thidericus / Diderik...................................
163, 201, 270, 337, 339
Luneborg, [Allekin]...............................120
Luneborg, Johannes, V...........................89
Luneborgh, Thiderik d. J......................397
Lutke, Brun.............................................274
Lutkens, Ghirardus, V...........................146
Lutow, Johannes....................................103
Luto(u)w, Ludeke, R....................................
173, 193, 203, 215, 231, 270
Lutow, Wobbeke....................................103
Lutten, Diderik van...............................254
Lutteke, Johannes, V.... 134, 315, 394, 476
Lutteke, Johan........................................131
Lutteken, Godeke..................................276
Lutter, Tydericus van...........................348
Luttersen, Cord van..............................251
Maes, Hennekin.....................................299
Magni, Jacobus......................................551
Magnus von Sachsen-Lauenburg,
Bischof von Kammin und Hildesheim.....
245, 246, 248, 249, 250, 251, 252,
57 1
253, 254, 255, 256, 257, 258, 259,
261, 262, 263, 264, 265, 266, 267
Mandeslo, Berteld.................................261
Mandeslo, Johan van d. Ä.....................257
Mandeslo, Johan van d. J......................257
Mandeslo, Johan von, Sohn Bertelds.261
Maneken Boye.......................................209
Manslo, Curdes van...............................255
Manslo, Johan van.................................255
Manssau, Peter......................................393
Maken Thede.........................................209
Mardeghe, Hartich................................537
Marescalcus, Mauricius.......................478
Marquardus, Dekan Ramelsloh...........152
Marschalk, Mauricius...............................8
Marten, Godelinus (de Tremonia), D.269
Martin V., Papst............................269, 288,
342, 352, 353, 360, 394, 396, 399, 410
Martini, Johannes.................................505
Matthias, Henne Clawes make............209
Maximilian II., Kaiser...........................192
Meding, Bertoldus................................421
Medyngh, Helmoldus...........................474
Medingh, Johan(nes)............273, 274, 408
Menginghe, Amtz[er]e.........................509
Meybom, Clawes.............................98, 200
Meyenberghe, Curd van.......................248
Mey(g)er, Clawes / Nycolaus, R.................
........................................................270, 292,
293, 296, 321, 344, 367, 374, 375, 443
Meyer, Coppekin...................................346
Meyger, Hinricus...................................277
Meymerssen, Hinricus.........................337
Meymerssen, Margarethe...................337
Meynersen, Johannes...........................462
Meklin, Arnd..........................................416
Mella, Jacobus........................................344
572
Register
Mellinhusen, Make...............................470
Melsyng, Johannes..................................35
Melzingk, Ludeke..................................103
Menghers Clawes..................................443
Mersna, Rembet....................................503
Metteken Sulvesson Theeden.....464, 467
Metzen, Willem.....................................500
Michael, P zu Curslack..........................211
Michael, Propst Alt-Bunzlau...............308
Mychaelis, Johannes.............................237
Michel, zu Emden..................................502
Michelke, Johan.............................131, 365
Michelsone, Robertus...........................228
Michelssone, Ghodeke.........................163
Middelman, Johannes, D, Propst..............
........................................ 359, 468, 533, 536
Mildehovet, Alberd...............................201
Mildehovet, Hans..................................234
Mildehovet, Hinrik...............................234
Mildehovet, Lemmeke............70, 182, 234
Mildehovet, Peter.........................163, 201
Mildehovͤet, Werner(us)...............167, 234
Miles / Militis, Kersten, B..........................
...................................3, 12, 35, 99, 164, 165
Miles / Militis, Wernerus, Dekan,
Propst...............................11, 35, 36, 37, 38,
40, 63, 71, 84, 93, 101, 102, 115, 116, 117,
134, 141, 142, 143, 146, 164, 165, 188,
189, 191, 196, 197, 227, 324, 329, 334, N5
Myliessone, Jacob........................26, 27, 28
Myllieszon, Ghert....................................14
Mynden, Johan van.......................229, 270
Mynden, Hermann de..........................103
Minden, Hinrick van.................................5
Mokerman, Hans...................................193
Mo(e)kerman, Johan.....................139, 193
Moneke, Cord.........................................214
Moͤnensone, Johan .................................29
Molen / Molendino, Johannes van der /
de d. J., R..............................10, 72, 212, 239
Molen, Ropeco van der.........................421
Molendino, Albertus de, R ..........212, 394
Molendino, Hartwicus de, R........212, 239
Molendino, Johannes de, R..................212
Molla, Johannes de .......................352, 399
Mollendorp, Arnd.........................292, 302
Mollendorp, Ebel...........................293, 321
Moller, Conrad / Kort, R.......415, 443, 547
Moller, Heyne........................................248
Moller, Johannes, V...............................314
Moller, Thiderik, R...... 376, 377, 380, 381,
382, 383, 386, 387, 388, 389, 391, 397, 398
Molner, Conradus..................................275
Molsan, Hinrik.......................................384
Molsan, Johan........................................384
Monnekhusen, Diderke / Dyderik van....
.........................................................122, 249
Monnigkhusen, Staties van.................261
Monnikhusen, Johan............................249
Monnikhusen, Heynecke.....................122
Monte, de s. Berghe, van dem Morbeke,
Bertold....................................................233
Morsedeborch / Morszborgh,
Borcherd.................................................225
Mose, Hermann, D................................414
Mosseken, Nicolaus..............................346
Mude, Johann tor..................................517
Muermester, Hillegundis.....................507
Mund, Ernst...................................292, 302
Mund, Johannes....................................316
Mundfort, Lodewich van.....................274
Můnnigherode, Hans van....................248
Munster, Fridericus..............................488
Munter, Hinrik de.................................252
Register der Personennamen
Muringh, Dyderic..................................301
Murmester, Hilke..................................101
Murmester, Hinricus............................101
Nanne, Elerus...........................................63
Nanne, Johann, R.........9, 63, 105, 113, 133
Nanneken, Dillif....................................209
Nanno, P zu Wivelsem..........................503
Nannona, Sibeke...................................512
Neppe, Johannes.....................................33
Neue, Peter...............................................14
Neuelingh, Hans....................................252
Nicolai, Johannes..........................364, 399
Nicolaus von Oldenburg-Delmenhorst,
Erzbischof von Bremen........................390
Nicolawesson, H[erme]n......................496
Nyebur, Johan................................229, 270
Nyebur, Nicolaus...................................339
Nyehus, Lutke........................................151
Nyehus, Syverd........................................85
Nyeman, Ghereke..........................270, 274
Nyenborch / Nyenborgh, Rodcher /
Rotgher...........................................433, 435
Nyenborch, Theodericus.....................497
Nyenburg, Wilke...................................229
Nyendorp, Johannes, D..........................63
Nyenkerken, Heyne..............................147
Nyenkerken, Hinrik..............................392
Nyenloo, Sander van............................270
Nigeman, Albert....................................376
Nigeman, Hans......................................376
Nigeman, Hans d. J................................376
Nigeman, Ludeke..................................376
Nygenborch, Reymer van....................131
Nigenborch, Theodoricus, D...............478
Nikolaus, G. von Holstein.............113, 132
Nytardisna, Hanno................................539
Northem, Hinricus de, V......................463
573
Nortman, Marquard.............................446
Nukerken, Roland van..........................392
Nunnewe, Henke.....................................67
Nuͦssen, Ghereet van.................................2
Odden, Make..........................................279
Odeman, Hennekin...............................299
Odestorp, Bertolt..................................383
Oyenhusen, Cord van...................251, 252
Oyenhusen, Frederik van.....................251
Olaus Hinrik...........................................461
Oldehorst, Alberd (Hamburg).....229, 270
Oldehorst, Albertus (Notar).405, 449, 534
Oldeland, Peter......................................157
Oldendorp, Abele..................................507
Oldendorp, Hinricus, V........................507
Oldendorp(p), Mechthildis..................101
Oldendorp(p), Meineke / Meynardus......
...........................................................89, 101
Oldendorp, Meynardus........................507
Oldendorp, Nicolaus.............................507
Ollensen, Johannes de, R..............212, 239
Oltghert, Clawes....................................301
Onno, Junghe.........................................327
Opieris, Johannes de.............................360
Oppenperde s. Updemperde
Orde, Heyne...........................................276
Orle, Johan(nes) van, R...............................
229, 270, 367, 374, 375, 376, 377, 380,
381, 382, 383, 386, 387, 388, 389, 391
Ortingh, Thidericus..............................152
Osenbrughe, Hinricus..........................504
Osse, Hans..............................................413
Ossenwerder, Johannes........................103
Oste, Hermannus de.............................483
Osten, Hermannus von der..................N7
Osten, Hermen von der .......104, 160, 161
Osterholt................................................258
574
Register
Osterholt / Osterhold, Hermen..229, 270
Osterholt, Tydeke.........................229, 270
Osterrode, Conrad.................................143
Ostink, Bernt..........................................320
Ostland, Peter..........................................29
Otto I., G von Holstein-Pinneberg.59, N6
Otto II., G von Holstein-Pinneberg.....171
Otto von Sachsen-Lauenburg...................
245, 246, 248, 249, 250, 251, 252, 253,
254, 255, 256, 257, 258, 259, 261,
262, 263, 264, 265, 266, 267, 291,
294, 295, 297, 301, 302, 303, 322
Otto II., H von Braunschweig-Lüneburg
(Mittleres Haus)....................................283
Otto II. von Braunschweig-Lüneburg,
Erzbischof von Bremen....................65, 80
Otto, Graf von Hoya, Propst zu
Hamburg........................................358, 359
Ove, Marquard.........................................63
Ove, Nicolaus...........................................63
Ove, Thomas............................................63
Oversteͤghe, Wiichman.................123, 124
Owmunde, van, Familie..........................43
Paaz, Jes......................................................3
Pagen, Johannes bynt dem..................463
Palen, Johan van....................................209
Palena, Johannes de, P..........................353
Palomar, Johannes de...........................399
Pancerinus de Portugruaro, Antonius,
Kardinal, P Aquileja..............................298
Pantheman, Hinricus...........................299
Pape, Hilmar, R......................................415
Pape, Schele...........................................229
Pape, Womele........................................278
Papenborg, Hinricus.............................201
Papendorp, Hinrik / Hinricus, R.270, 344
Parkentin, Johannes ............................224
Parpert, Hans.........................................354
Parusio, Angelus de..............................364
Paulsiin / Paulssun / Pauls Sun, Antonii
/ Antonn / Anthonius .........405, 449, 490
Peyne, Heyne van..................................131
Pels, Hinricus.........................................195
Pentel, Hermannus...............................364
Peters, Heyneke.....................................157
Petersson, Clawes, R.....................123, 124
Peterssone, Alard....................................30
Peterssone, Claws...................................30
Peterssone, Johan...................................16
Peterssone, Peter........................26, 27, 28
Peterszon, Kale / Colyn..........................14
Philipp, Herzog von Burgund.............350
Pibena, Bole...........................................539
Picht, Gherke.........................................264
Pihel, Daniel...........................................197
Pils, Hinricus..........................................339
Pyltz, Hinrik...........................................214
Pynneberg, Johannes...........................273
Pynnemberg, Johannes, V...................514
Plate, Henneke.......................................189
Plate, Johannes, V.................................273
Plesse, Ghodewerd van.........................292
Plesse, Helmeld van..............................292
Plesse, Henneke (van)..........................292
Plettenberghe, Dyderik van................253
Podendorp, Johannes............................N7
Poek, Ludolphus....................................497
Pog(gh)wisch(e), Hans.........496, 520, 526
Pole, Heyneke........................................157
Polenzon, Jacob.......................................14
Poppe, Nicolaus, Propst Uetersen......415
Porsenberghe, Herberd van den........254
Portugruario, Antonio de......................33
Post, Frederic.........................257, 258, 261
Register der Personennamen
Post, Stacies...........................................258
Potel, Hans.............................................530
Poterow / Potrow, Bernd.............229, 270
Potter......................................................350
Pral, Clawes............................................515
Preen, Clawes.................................293, 303
Preen (van Wildeshuzen),
Hermann........................................204, 216
Prutze, Johannes, V......................463, 495
Punders, Aleke.........................................89
Pundes, Hennekin.................................299
Punne, Jacobus......................................543
Pust, Johannes.......................................406
Puteo, G. de............................................360
Quadewilke............................................515
Quadwich, Johannes, V........................411
Quale, Drude van...................................526
Quale, Henneke van..............................526
Quast, Ludolphus..................................415
Quickborn, Gerdt...................................151
Quintin, Johannes.................................364
Quirre, Ludolphus, D............................364
Raboyse.....................................................24
Radbroke / Ratbroek, Meyneke..........474
Radelev(es) / Ralves, Kersten...................
................ 209, 443, 445, 448, 457, 465, 486
Raed, Hinryk..........................................412
Radleves / Radeleff, Maͤs......................491
Ranke, Ludekin......................................299
Rantsouwe, Breideke............................526
Rapesulver, Hinric, B............................491
Ratlow, Eler............................................234
Ratlow, Emeke........................................234
Raucke Johan.........................................209
Recke, Dederick von..............................534
Recop, Clawes........................................241
Recop, Heyne.........................................241
575
Recop, Jacobus.......................................241
Recop, Kersten.......................................241
Redeber, Johannes, P............................332
Redeke, Ludeman..................................264
Redenborg, Herman.............................534
Reder, Thideric......................................369
Rederen, Conradus / Cordt van, V...........
.................................................136, 334, 489
Redestorp, Hans van.............................291
Redestorp, Hans van, anders gheheten
Monck.....................................................291
Redestorp, Hynrik van.........................291
Redestorp / Rastorpe / Restorpe, Kone
van...........................................291, 301, 304
Reibnicz / Rybenicz, Niclas / Nickel von
(der).........................................308, 317, 318
Reygherben, Peter................................369
Reymer des Wytten soen.....................209
Reymers, Abel........................281, 286, 287
Reymers, Berend...................................258
Reymers Johan / Hans..................209, 486
Reynardesson, Willem.........................413
Reyndes Hans........................................461
Reyneberge, Ermengard......................120
Reyneken, Hans.....................................248
Reynekens son, Nicolaus.....................189
Reyners, Popke......................................510
Reystorpe, Clawes van..........................293
Reytlocke, Reynerus.............................478
Rekelinghusen, Peter van............251, 267
Rellinge, Marquard de......................... 143
Remdisna, Benthe.................................511
Remstede, Godekin...............................299
Remstede, Peter....................................475
Rensel, Hinricus....................................504
Rentekin, Helmich von........................534
Rentelen, Ghodeke van........................270
576
Register
Rentelen, Stacies van....................270, 276
Renthelen / Rintelen, Hermen van..........
.........................................................229, 270
Rentzel, Henricus, V.............................543
Rese, Johannes, R..........................212, 239
Rethem, Thidericus van, V..........334, 421
Rybe, Clawes............................98, 110, 200
Rybe, Henneke...............................366, 367
Rybe, Hinric de..............................366, 367
Rybe, Michelke......................................366
Rybe, Ribbeke de...........................366, 367
Richters, Frederik.................................251
Rickersen / Rickerssen, Johannes de, D...
........................................ 103, 166, 227, 342
Rickersen, Ludolfus..............................504
Ricman, Hinric.......................................436
Ride(n), Albert van........................268, 319
Righe, Hermen van...............................276
Rijne, Michael van dem .......................510
Rike, Arnd / Arnold......................274, 299
Ryklef, Johann.......................................278
Rikqwerd / Rygwerd, Ekke..445, 457, 465
Rikwert...................................................336
Ryntelen, Hemmyng van.........................9
Rypen, Hinrik van.................................355
Ripen, Tyteke van.................................148
Ripperda, Haye......................................325
Ristede, Ludolfus...................................504
Rixstorp, Wlff........................................234
Robertessone, Peter................................24
Rode, Alard...............................................30
Rode, Hermen van....................................6
Rode, Johannes, D.................................483
Rode, Johannes de, R............117, 288, 344
[Rode, Johannes]...................................364
Rode / Thode, Thomas.................433, 435
Rode, Thomas, D........... 352, 362, 363, 364
Rode, Tyese..............................................30
Rodekopkenson, Heyne.......................214
Rodenberg, Johan...................................98
Rodenborch, Claws...............................110
Rodenborch, Heyne................................24
Rodenborch, Henneke............................99
Rodenborch / Rodenborg, Johan..............
.................................................110, 147, 273
Rodenborgh, Wernerus, V...................489
Rodenburg / Rodenborgh, Albert, D........
.......................................................36, 37, 38
Rodensoͤne / Rodenzone, Anna
Ludeken..............................................30, 31
Rodensoͤne, Dodo....................................31
Rodewater, Johannes............................507
Rodinghe, Symon..................................392
Roer, Bernd ................... 290, 292, 302, 306
Roer, Clawes.................. 290, 292, 302, 306
Roer, Clawes d. Ä....................................290
Roer, Clawes d. J.....................................290
Roer, Hans..............................................290
Roerbeke, Syverd..................................140
Roever, Hinrik........................................274
Rogg(h)e, Hans / Johannes........................
........................................ 229, 270, 337, 534
Rolemans, Familie.................................530
Roma, Conradus de, V..........408, 495, 547
Ronneborn, Hans / Johannes..........4, 299
Ropeke, Tydeman.................................258
Roͤper, Nicolaus, V.......................................
202, 213, 278, 394, 468, 495, 514
Ropers, Aleke.........................................514
Rost, Hermen.........................................270
Ro[stoke], Gherd van............................436
Rotermund, Ludeke, Vorsteher
Harvestedhude .....................................199
Rotermund, Ludolphus........................514
Register der Personennamen
Rovehaghen, Beke.................................497
Rudolf II., Kaiser....................................192
Rumor, Marquard..................................341
Ruͤnteshorn, Lippold ............................329
Runge, Greteken son.............................209
Runghe, Bertoldus................................152
Rusche, Ropeke......................................262
Ruschintdorp.........................................253
Rutenberch, Hans.................................427
Sabel / Tzabel, Bertram.......126, 218, 313
Sabel / Tzabel, Betheman....................218
Sabel / Tzabel, Margarete....................126
Sachsen-Lauenburg, Herzöge...................
.................................................157, 245, 527
Sacker, Johan............................................24
Sack / Sak., Arnd...................................322
Sack / Sak, Hinrik..................................322
Salina, Hartwicus de, D...........................40
Salina, Ludolphus de..............................40
Sanckenstede, Johannes, V..................504
San(c)kenstede, Ludeke / Ludolphus......
........................................ 229, 270, 274, 395
Sanckenstede, Nicolaus, R...................212
Sander, Johannes, V...............................N5
Sanders, Clawes.....................................157
Sandow(e), Dyderik......................270, 274
Sankenstede, Ghertrudis.....................395
Sascherssone, Anna................................30
Sasse, Heyne..........................................130
Sasse, Hermen.......................................451
Sasse, Johan(nes), R......................344, 443
Sassen, Johannes...............71, 89, 103, 134
Sassenhaghen, Otto, P..........................149
Schaak, Nicolaus, V...............................313
Schaak, Vrederic, V................................58
Schabbe, Johannes................................224
Schacke, Detleff.....................................168
57 7
Schacke, Heyne......................................168
Schacke, Hinrik........................................12
Schacke, Johan.........................................99
Schacke, Ludeke......................................12
Schacke, Otto.........................................168
Schacke, Vicke.......................................168
Schakke, Johan (Basthorst).................187
Schade, Arnd..................................172, 180
Schaghen, Frederik van.......................254
Schallermann, Johannes......................360
Scharpenberch, Peter...........................201
Schartinghe, Focko...............................519
Scheembeke, Kersten...........................228
Schele, Gherleff / Gherleg...347, 349, 402
Schele, Hinricus, P..................................89
Schele, Johannes, P St. Jacobi..............332
Schele, Johannes...................................332
Schele Papeken......................................270
Scheleke, Hinrik....................................329
Schelghe / Scelghe, Albert......................9
Schelghe / Scelghe, Alef..........................8
Schellbort, Gotfried..............................280
Schellepepper, Johannes, B.......................
368, 370, 371, 373, 379, 491
Schenck, Hinricus.........................143, 189
Schene, Gottfried..................................128
Schene, Herbord, D...............................128
Schene, Ymmeke...................................128
Scheppel de Berga, Hinricus...............278
Schesel / Schezel, Hans van................382
Schesel / Schesle, Heyne
van.............................................24, 191, 382
Schesle, Gorieze van.............................274
Schetzel, Heyne van..............................458
Schickepijl, Hans...................................436
Schike, Clawes............................................3
Schynke....................................................32
578
Register
Schyver, Hermen...................................432
Schillinghes, Henneke..........................474
Schlinge, Ghelmer von der....................98
Schilling, Hermann, Provinzialminister
der Franziskaner in Sachsen...............237
Schillingh, Cord.....................................270
Schillinghes, Dideric.............................537
Schiptorp, Marquerd............................262
Schlick / Sligk, Gaspar, Kanzler................
459, 490, 527, 529, 534
Schoke / Scoke, Clawes / Nicolaus, R.......
.................................................123, 124, 163
Schoke, Claws.........................................233
Schoke, Tideke.......................................233
Scholdenflete, Frederic..........................32
Scholdenflete, Grete...............................32
Schol[d]envlet, Johan...........................243
Schomaker, Egghard.............................120
Schomaker, Eylt d. Ä.............................506
Schomaker, Eylt d. J..............................506
Schonenbeke, van dem, Familie...........43
Schonenbeke, Johan van dem...............80
Schote, Cord...........................................376
Schouwden, Heyne van........................413
Schowenborch / Schouwenburg,
Nicolaus, V.......................71, 134, 213, 278
Schouwenburg, Johannes....................213
Schrader, Casparus...... 317, 404, 459, 529
Schramme, Hennyngh.........................356
Schrammeke, Alheide. 160, 161, 198, 219
Schrammeke, Frederik.................160, 161
Schreye / Screye / Screyge, Albert, R......
.....................9, 36, 37, 38, 79, 144, 183, 209
Schreye, Johannes.................................188
Schreye / Screye / Screyge, Marquard,
R, B...........................................3, 12, 79, 314
[Schreye] / Screyge, Ricardus, V........547
Schrettinghusen, Richerd....................252
Schroder, Hermannus..........................243
Schroder, Hinrick, anders geheten
Hundegel, V...........................................496
Schroder, Hinrik, V...............................211
Schroder, Laurencius............................301
Schotte, Conradus.................................547
Schulenborch, Werner von der...........292
Schulte, Bertold / Bertelt..........................
.............................................8, 104, 160, 161
Schulte, Clawes......................................454
Schulte, Detlef.......................................387
Schulte, Ertman............ 347, 349, 400, 402
Schulte, Frederik.........................................
8, 104, 160, 161, 347, 349, 400, 402
Schulte, Frederik, der lange........347, 349
Schulte, Gherend.......................................8
Schulte, Ghernd (d. J.) / Gherold..............
........................................ 347, 349, 400, 402
Schulte, Gheverd d. Ä...................8, 20, 42
Schulte, Gheverd d. J...................................
6, 8, 12, 20, 42, 43, 75
Schulte, Hermen.......................8, 347, 349
Schulte, Hermen d. J.... 347, 349, 400, 402
Schulte, Johan (Hamburg)...................270
Schulte, Johan (Uphusen)....................493
Schulte, Johan, V...................................456
Schutte, Hinrik..............................429, 437
Schutte, Johan.......................................412
Schutte, Juries.......................................377
Scroder, Bernardus, P...................411, 478
Scroder, Cord.........................................235
Scroder, Hintzeke..................................378
Scroder, Johannes.................................463
Scroder, Make........................................378
Scroders, Hartich..................................130
Sculte, Geroldus ....................................346
Register der Personennamen
Sculte, Hermannus...............................346
Sebana, Emke.........................................456
Sebana, Lyuppeko.................................456
[Sebode], Johan.....................................270
Seghelke, Hinrik............................229, 270
Segghem / Sigghem, Hartwich van...206
Segghem / Sigghem, Marquard van........
...........................................78, 100, 206, 234
Segghem / Sigghem, Ove van..............206
Sellingdorpe, Rutghert van...................92
Semmelbecker, Johannes, R.120, 212, 239
Semmele, Rabode .................................258
Sickingh, Everd......................................517
S[ieveking], Ludeke...............................534
Sigismund, römischer König, Kaiser........
................................................192, 194, 221,
269, 271, 272, 282, 283, 284, 285, 308,
309, 317, 318, 404, 405, 449, 459, 490, 529
Symenshusen, Johan............................320
Symeshusen, Johannes........................188
Symonssone, Ysebrand....................25, 94
Syrikes, Johan........................................209
Syverd, Johannes ..................................146
Syverdes, Heyneke........................207, 211
Syverdes, Hinrik....................................480
Slenter, Kersten.....................................381
Slikborch, Johan....................................300
Slore, Johannes......................................364
Slotemaker, Johannes...........................196
Slotermund, Hinrick.............................515
Slu(e)s, Godekin de / Ghoedeke van der..
...........................................................24, 299
Slus, Johan van der..................................28
Sluter, Otte / Otto..........................520, 533
Smalstede, Peter.....................................67
Smede, Ludeke.......................................515
Smyd, Hans............................................251
579
Smylouw, Bernd....................................501
Smylow, Vicko...............................293, 303
Snakenbeke, Bernard.............................35
Snelghers, Poppe..................................327
Snewerdinge, Johannes.......................332
Snewerdingh, Nicolaus................543, 547
Snybbe, Wilhelm...................................534
Snider, Tymme......................................145
Snydewind, Johannes, V......................224
Solczenhusen / Solsenhusen, Heyno.270
Soltow, Hans...........................................429
Soltow, Johan.........................................270
Soltow / Zaltow / Zoltow, Cristian...........
................................ 345, 346, 359, 408, 497
Soltow, Thidericus................................197
Soltwedel, Georgius / Jurgen, V...............
........................................ 214, 273, 275, 394
Soltwedel, Johannes, V.........................514
Soltwedel, Paulus, P..............................507
[Sommer]huys, Johan ton...................549
Spade, Ortghisus, D...............................478
Sparwolde, Johan van...........................392
Speer, Marquardus................................476
Speth, Gotfrid........................................505
Spett, Clawes..........................................146
Speghel, Marquard...............................146
Spyghel / Spigel, Hermen............172, 180
Spyringh, Hinricus................................278
Spredow, Hinricus, D............................280
Sprekelsen, Jo[hannes].........................319
Sprengher, Laurencies.........................214
Spretes Johan / Hans....................209, 465
Springintgud, Tydericus, R.................212
Sprinkintgut, Johan, R..........................491
Sprinke, Johan.......................................229
St[…]fe, Wolter.......................................389
Stacies, Johan.........................................479
580
Register
Stade, Arend van...................................225
Stade, Hinseke van................................235
Stade, Johann von.................................534
Staden, Borchart van............................413
Stael, Johan, to Wintberghe................209
Staffhorst, Johan d. Ä............................204
Stake, Hartych.........................................70
Stake, Herdingh.............................348, 401
Stapelvelt, Elert.....................................143
Stapelveld, Petrus.................................201
Starke / Scharcke, Johan......................460
Starke, Ludeke.......................................424
Starken Ygeke........................................209
Starken Ighen Diderik..........................484
Stavel(en), Bertold................347, 349, 402
Staveel, Curd..........................................402
Stecke, Martin.......................................505
Stedingh, Bernardus, V........................515
Steen, Mathies.......................................474
Steenbeke, Johan.............................24, 274
Steene.....................................................331
Stegheman, Bertholdus.......................146
Steygerbergh / Storgerberg, Hermen.....
.........................................................311, 312
Stelen, Arnoldus....................................346
Stelle, Hinrik d. Ä..................................430
Stenleben...............................................299
[Sterbelingh], Hermen.........................270
Sterneberch, Gherardus.......................497
Sterneberch, Marquard.......................341
Stevenshaghen, Siffridus.....................288
Stillehorn(e), Hinrik.....................229, 270
Steke, Merten........................................209
Stelle, Tydeke........................................537
Sticker, Johan...........................................18
Stiten, Marquardus de..........362, 363, 364
Stochem, Siverd van.............................204
Stocken, Heyne de.................................103
Stocken, Ludeke de...............................103
Stockvisch, Tymme...............................505
Stoer / Stoeer, Seghebandus, V................
.................................................288, 394, 408
Stolte, Nicolaus, V.................................334
Stolte Tidemansson..............................468
Stormer, Thideke..................................383
Stortebeker, Hermen............................535
Stove, Hinric van...................................501
Stove, Ludolphus de, V.........................421
Stryͤk........................................................270
Strobelingh / Stroͤbelyngh, Dyderik /
Theodericus, D.............................................
227, 315, 414, 476,515, 521
Strobeling, Tidericus, Propst
Reinbek...................................................135
Strødingh, Fredericus..........................224
Strote, Reynecke ...................................335
Struck .....................................................143
Struetz, Emeke, d. Ä..............................114
Struetz, Johan........................................114
Struetz, Marquard.................................114
Struke, Alverik.........................................45
Struke, Clawes.........................................45
Struke, Clawes d. J...................................45
Struke, Herwich......................................45
Struke, Johan...........................................45
Struke, Make............................................45
Struke, Marquard....................................45
Struke, Maseke........................................45
Struke, Peter............................................45
Struve, Alheyd.......................................332
Stubbestorp, Jasper................................67
Stulebars, Johann, D.............................447
Stummeke, Vycke.................347, 349, 402
Sturing(h), Hinric.................................300
Register der Personennamen
Stute, Heyneke......................................515
Stutten Tydemanus..............................491
Stůve, Arnd, P........................................329
Stuve, Hinricus......................................271
Suck, Clawes...........................................515
Suewerdingh, Nicolaus........................345
Sumendorp, Hinricus...........................269
Sunborn, Wigand von...........................404
Sundis, Hinricus de, V..........................421
Sunneryk, Werner van.........................251
Suͤtle, Johannes de ................................191
Swalm......................................................143
Swancke, Nicolaus.................................146
Swartecop, Hinrik.................................403
Sweders, Johan......................................549
Sweten, Florens van................................94
Sworen, Nicolaus de.....................268, 319
Tamme, Vicke........................................274
Tarnevisse, Hans...................................436
Tebbe Jacob ...........................................484
Tede Boyge.............................................468
Tedensone, Kersten..............................461
Tekogelle, Buͤnt........................................98
Telman, Hinric.......................................452
Thevelt, Hinrik......................................320
Thode, Johan..........................................209
Thomas, Hermann................................146
Thomassone, Ghodert............................24
Thuns, Johan..........................................251
Tibbekenmans, Kersten.......................236
Tydeman, Cunradus.............................315
Tymme, Langhe.....................................101
Tyense, Juregesse..................................243
Tinctoris, Johannes...............................364
Tynse, Clawes van.................................236
Tobing, Ludolfus, R.........................10, 239
Tobing, Vicko.........................................143
581
Tode(n) Clawes..............................465, 491
Tode, Godeke..........................................339
Tolner, Beke.............................................93
Tolner, Tydeman / Tydericus...............93
Tornevrese, Roleff.................................384
Tornow, Hinricus...................................143
Tralow, Bruneke....................................126
Tralow, Henneke...................126, 206, 210
Tralow, Hermen.............................206, 210
Tralow, Hinrik........................................206
Tralow, Volrad.......................................206
Tramme, Johan......................................537
Trebbow, Vrittze...........................292, 302
Trempe, Albertus .................................547
Trepeto(u)w, Hans........................433, 435
Tribuzees, Herman, P...........................269
Trulle ......................................................385
Tuke, Peter...............................................67
Tunnern, Truwes van.............................67
Tuskouw, Ludolph, V............................280
Twedorp, Hynric...................................451
Tzelle, Ulrik van....................................470
Tzeretze, Gerardus, V...........................224
Tzerstede, Gotfridus / Godekin, R............
.................................................212, 239, 449
Tzestersvlete, Helmerd van....................8
Tzeven / Czeven, Enke von..................534
Tzeven(a) / Zeven / Czeven, Erik van, R..
............... 151, 223, 230, 231, 270, 274, 320,
344, 352, 353, 378., 385, 396, 403, 514
Tzeven, Herman van ............229, 270, 274
Tzeven, Johannes de, V........................497
Tzule, Gotschalk van...............................12
Ubben, Uko.............................................493
Ubbens, Luppo.......................................494
Ubbensone, Boleke...............................511
Udo, Häuptling zu Leerlte....................506
582
Register
Uffens, Poppeke....................................327
Ukens, Onneke.......................................508
Ulbet, P zu Emden.................................487
Ulenbruk, Juries............................433, 435
Ulf, Johannes..........................................201
Ulrich Häuptling zu Esens...................539
Ulsen, Johannes, V................................332
Ulsen, Johann van.........................268, 319
Ulsen, Olrik van.....................................319
Ultzen, Ghese van.................................504
Ultzen, Johannes van............................504
Ultzen, Ludolfus van, P Wenthusen...504
Ulzen, Ludekin van...............................354
Umlaghe, Merten..................................146
Underberch, Coerd.................................99
Unrowe, Henneke.................................157
Unrowe, Siverd......................................157
Unrumes Hans.......................................491
Updemperde / Uppemperde /
Oppenperde, Johan, D ................................
36, 37, 38, 84, 214, 372
Uplecger, Johannes...............................239
Urden, Tibbe van...................................273
Urden, Tymmo van...............................273
Utrecht / Uttrecht, Simon de, R, B...........
........................................ 344, 397, 409, 468
Valren, Emme van.................................493
Vasta, Hans.....................................292, 302
Vechte, Hainrich ..................................534
Vechte, Hinrik van der.........................425
Veͤchte, Sanders van der......................220
Veddelen, Juries up der........................515
Veghebanck...........................................265
Veylan, Nicolaus....................................299
Velebeer, Johannes...............................415
Velingh, Hans........................................270
Venen, Johan van..................................251
Verbisse, Clawes van.............................301
Verdis, Johannes, V.........................89, 314
Vermers(s)en, Hinrik............176, 189, 504
Verne, Johan van...................................267
Verwen, Ulricus van.............................334
Vesselhovet, Ludeke.............................300
Vicke.......................................................270
Vicke, Mathias.......................................423
Vyddensone, Jacob.................................29
Vilken, Jurgen........................................151
Vinck, Marquart....................................437
Vinck, N(icolaus)...................101, 143, 507
Vinstede, Johan.....................................270
Vyscher, Johan de...................................14
Vischer, Tydeke.....................................447
Viscule, Hinricus, R...........10, 40, 212, 239
Visscher, Meyneke................................157
Vleghe, Gherd........................................204
Vlemans / Vleteman, Otte...........110, 147
Vleteman, Ludekin...............................339
Vlogele, Johannes, D.............................447
Vlottow, Marquard, D...........................222
Vocke, Johan..........................................468
Voerne / Vorne, Ludeloph / Ludolff, R....
.........................................................123, 124
Voet, Bartholomeus..............................413
Vogedes, Maes.......................................209
Voͤgeler, Henneke..........................207, 211
Volkers, Johannes.................................101
Volkmar, Hinricus.................................372
Voͤrdis, Nicolaus, V................................175
Vorneke, Johannes................................300
Vornyden, Johannes...............................35
Vorrad, Johan.........................................300
Vorstal, Tuke............................................67
Vos, Herman..........................................314
Vos, Hermannus, D..............143, 166., 394
Register der Personennamen
Vos, Matthias.........................................213
Vos, Johannes........................................143
Voss, Jacob..............................................332
Vrase, Ludeke........................................261
Vredebern / Vredeborn, Jacobus.84, 273
Vredebern / Vredeborn,
Mechtildis........................................84, 273
Vrenke, Johan........................................540
Vrese, Clawes.........................................538
Vrese, Ludeke........................................257
Vrese, Volkmar......................................530
Vrese, Wilke...........................................263
Vrye, Hinrik de..............................154, 155
Vrygedach, Heyne................................211
Vritze, Beke............................................120
Vritze, Ermengard................................120
Vritze, Johannes, alias dictus
Wantzenberch D......84, 116, 120, 239, 408
Vrome, Clawes...............................248, 263
Vrome, Herman....................................409
Vroudenberg, Danneel.........................413
Vrouwenschutke ..................................263
Vrůchtenicht, Ghertrude.....................213
Vuerschutte, Clawes.............................106
Vulverssen, Clawes to...........................468
Vulzike, Heyne......................................130
Vurschutte / Feuerschütte, Ghereke.226
Vurschutte / Feuerschütte, Otto..............
.........................................................226, 248
Wachtendunck, Johannes....................364
Wacker, Petrus.............................................
282, 283, 284, 404, 405, 449
Wade(n)kot(h)e, Johannes / Jan van,
Ratssekretär, V ..... 276, 344, 350, 410, 495
Waghens, ver Beke................................470
Walde, Mertene van deme...................217
Wale, Claws de.........................................29
583
Wale, Hinrik, Propst Ebstorf................240
Wale, Johan de ............................26, 27, 28
Walkenmole, Matthias.................103, 176
Walle, Johann van dem ........................276
Walsen, Eppe, Häuptling zu Merk......492
Walthagen, Johannes...........................189
Wandbereder / Wandbereyder, Bernd....
........................ 172, 177, 178, 179, 180, 181
Wardenberch / Wardenberg, Albrecht /
Allebrecht ......................................293, 297
Wardenberch, Hans..............................297
Wardenberch / Wardenberghe,
Kersten...................................297, 301, 305
Warendorp, Volckmar..........................426
Wasmodi, Hinricus................................314
Wechgeld, Johan van............................254
Weddeschen, Dethard van...........311, 312
Wede, Johan van dem...........................258
Wede, Nicolaus van dem......................275
Wedege...................................................143
Wedekens, Jacob....................................479
Weden, Johannes de .............................188
Wegener, Johannes, Kantor Schleswig....
.................................................................478
Weydelappe, Jacob................................274
Weidut, Borchart...................................534
Weyge, Luderus van..............................190
Weinsberg, Konrad von, Erbkämmerer
des Reiches.... 272, 282, 283, 284, 285, 309
Welde, Johannes, D...............................478
Weleghe, Ghereke.................................270
Welz, Conrad..........................................103
Wend, Henneke.......................................89
Wend, Herman de, Propst Hameln.....148
Wend, Theodoricus, Dekan St. Willehad
zu Bremen..............................................478
Wenden, Herren von..............................92
58 4
Register
Wenden, Boldewin von, Abt zu St.
Michaelis in Lüneburg.........................240
Wenkestern............................................385
Wenttorp, Heyne ..................................320
Werder, Ernst van dem.........................248
Werder, Richard van dem....................248
Werdinghusen, Gherd van...................248
Werne .....................................................400
Werner, Clawes......................................236
Werneri, Johannes, alias dictus
Gherbode, D.................................................
84, 195, 208, 213, 314, 414, 476
Werpe, Bernd van, D.............................148
Wersbe Werseby, van, Familie.......43, 152
Wersbe, Johannes van, langhe..............43
Wersebe, Hermannus de, D.................478
Werstede/ Verstede, Grubo de.................
.................................................414, 415, 498
Werven, Kersten van............................461
Wesseken, Frederik...............................333
Wessel, Ludolphus................................551
Wessendorp, Arnd..................................66
Westval, Johannes, P.............................468
Westvelingh, Hinrik..............................255
Westhoff, Hinricus, Propst Eutin........167
Westhoff, Hinrik, B...............12, 36, 37, 38
Wetemoller, Hans, R.....................366, 367
Wetschen, Deterd..................................254
Wetteringhe, Jacobus de......................146
Wyard, Häuptling zu Uphusen...........450
Wyben Otte............................................491
Wyber, Rode Yeber................................465
Wybers Marquart..................................209
Wicbold / Wickbolt, Johan..................204
Wichman, Thiderik...............................430
Wycken Kersten....................................209
Widdinghuzen / Widinghehuzen,
Albert, R..................................397, 398, 443
Wyduthe, Borchard..............................406
Widzer, Detlef........................................278
Wyge, Elizabet.......................................149
Wyge, Everhardus.................................149
Wygershop, Johannes..........................197
Wygert, Häuptling
Uphusen.................................493, 502, 510
Wyg(h)e / Wige, Johannes, R, B.........149,
183, 186, 214, 223, 242, 400, 409, 468
Wigertshope, Vicke, R.........503, 506, 508,
509, 510, 511, 512, 513, 516, 517, 519
Wyghe, Johan, V.....................................N6
Wyghe, Johan...................................59, 136
[Wij]nen, Wyne.....................................549
Wijnman, Arnd de.................................549
Wiker, Mathias, Dekan Ramelsloh......415
Wildeshusen, Bernd.....................268, 319
Wildestorp(e), Johan............229, 270, 274
Wilhelm, (H) von Bayern, G. von
Oistervant / von Holland.77, 94, 351, 407
Wilhelm II., H. von BraunschweigLüneburg................................................109
Wilhelm I., H von BraunschweigLüneburg (Mittleres Haus)........................
283, 368, 370, 371, 373, 379, 490
Wilhelm (VI.) von Montfort zu
Tettnang.................................................449
Wilhelm, Willekin.........................189, 199
Wilken, Quade........................................211
Willeke, Propst Harvestehude............185
Willemmessone, Gyllies.........................15
Willemmessone, Johan..........................15
Willemsson(e), Gherd...................229, 270
Willeboden, Johannes..........................468
Willers, Clawes......................................157
Register der Personennamen
Wilster, Bruno tho der..........................341
Wynde, Zweder van..................................9
Wyndewand, Hennyngh..............292, 302
Windhorst / Wynthorst, Conrad / Cord..
........................................ 143, 270, 542, 547
Windhorst / Wynthorst, Jacobus ......547
Windhorst / Wynthorst, Margarete..547
Windhorst, Ghereke.............................270
Wyne, Bernd .........................................549
Wynnepenningh, Ghodert..................403
Winsen, Ludeke de................................270
Winsen, Ludolphus de..........................212
Wynsen, Johannes de, P.......................346
585
Wynsendorp, Johan......................268, 319
Winstock, Petrus, V..............................505
Wynttke, Magd........................................89
Wyntzendorpe, Johannes....................547
Wipprecht, Jacob...................................301
Wyringhe, Adam van............................300
Wirloes, Greteke....................................320
Wisch, Skroden van der.......................204
Wischel, Johannes.................................399
Wistok, Henricus, V..............................543
Witstok, Petrus......................................551
Witte Clawes .................................464, 467
Wytte Clawes Johan..............................465
586
Register
Witte, Everd...........................................270
Witte Hans..............................................278
Witte(n), Heyne.............................270, 369
Witte, Johan.............................................99
Witte, Johannes.....................................146
Witte, Ludeke d. J..................................209
Witte, Werneke........................................24
Wittecop, Hans......................................422
Wittecop, Hermen................................422
Witteman Clawes..................................484
Wittenborgh, Lamberd / Lambert...........
.........................................................270, 451
Wittens, Thyaert...................................327
Woele, Hermen......................................367
Woge, Conrad.........................................189
Wokendorp, Andreas, V...............514, 526
Woldemar...............................................384
Wolders, Lutger.........................................9
Wolfart V., Herr von Veere.....................94
Wolff, Clawes..........................................168
Wolff, Henrick........................325, 326, 327
Wolmer, Johannes.................................299
Wolmer, Make........................................146
Wolmers, Arnd......................................146
Wolmers, Bernd.....................................130
Wolmers, Hartich..................................130
Wolmers, Heynike...................................89
Wolmers, Hinrik....................................127
Wolmers, Kopeke....................................89
Wolmers, Marquard..............................130
Wolmers, Marquardus..........................547
Wolters, Beneke.....................................265
Wolters, Symon.....................................353
Wolterszon, Johan...................................14
Wonstorp, Henricus.............................476
Wonstorpe, Johan(nes)................229, 342
Worm, Hans...........................................293
Worm, Hinrik.........................................474
[Wormeren], Claws van..........................19
Word, Yde van der.................................176
Word, Ludeke van der ..........................176
Worre, Marquard, V..............................222
Wrede, Bernard.....................................551
Wrede, Claws.........................................234
Wulff, Johan...........................................163
Wulff, Nicolaus......................................396
Wulffhagen, Ludeke.....................229, 270
Wulffhagen / Wulfhaghen, Ludeke, R.....
.................................................13, 32, 41, 45
Wulfhagen, Womela, Äbtissin
Harvestehude........................165, 199, 232
Wulle, Dyderik van...............................252
Wullenpund, Heinrich .........................224
Wulsede, Hermen van, R......................367
Wunder, Wedekind...............................252
Wunstorp, Johannes.............................372
Wunstorpe, Arnoldus, V......................378
Zeddinghe, Hinric.................................248
Zee, Wyllekin van dem.........................143
Zeelhove, Eler................................154, 155
Zegelke, Hinricus..................................103
Zeghelke, Johannes...............................152
Zemmel, Eghert.......................................92
Zybracht, Johannes...............................103
Zuwel, Johan..........................................209
Zwangke, Ludikinus..............................146
Zwangke, Nicolaus................................146
Zwangke, Walburgis.............................146
Zwartehaveren, Hans...........................413
Zwarte, Cuͤrd..........................................413
Zweder, Arnd.................................433, 435
Zweymer.................................................500
Register der geographischen Namen
Die Nachweise beziehen sich jeweils auf die Nummer des Regests.
Achterslach............................................406
Albersdorf..............................445, 448, 457
Alrum..........................................................3
Alster...................... 129, 137, 138, 188, 507
Altenbruch...............................................54
Altengamme..........................................245
Altenwalde................................45, 544, N7
Altes Land...............................346, 402, 406
Amsterdam......17, 18, 19, 21, 12, w24, 77,
94, 123, 124, 162, 276, 300, 350, 351, 407
Antwerpen.............................405, 449, 490
Appingedam..........................................327
Arnheim.................................................335
Auricher Land........................................500
Ausschlag (Billwerder).........146, 189, 515
Bardenfleth............................................346
Bardowick ......................................214, 247
Bargteheide....................................126, 520
Barlt................................ 338, 358, 359, 438
Barmstedt...............................................378
Basel................................................478, 541
Basthorst................................................187
Beienfleet...............................................406
Bergedorf.....................................................
129, 137, 168, 245, 246, 254, 258
Bergstedt........................................114, 498
Berne / Berum...............................123, 124
Bettewere...............................................539
Betzendorp............................................292
Bille.........................................129, 137, 138
Billwerder...............................................299
Blekede...................................................240
Bodenwerder.........................................540
Boecmora...............................................494
Böhmen........271, 282, 283, 284, 285, 308,
309, 404, 405, 449, 459, 527, 529, 534, 536
Bokel........................................................378
Bokholt...................................................378
Boldersen...............................................226
Bollinghusen..................................509, 539
Borken.....................................................549
Borsfleth.................................................341
Borstel.....................................................243
Borsum...........................................487, 539
Brandenburg, Bistum...........................269
Brandenburg, Mark..............................330
Bratislava................................................459
Braunschweig..........................................64
Bremen................................................9, 10,
33, 64, 128, 152, 154, 155, 167, 190, 195,
269, 280, 352, 364, 396, 408, 411, 415,
421, 462, 478, 536, 541, 542, 543, 548, N7
Bremervörde...........................80, 462, 521
Breslau....................................317, 318, 534
Brielle................................14, 229, 270, 274
Brügge.............................................229, 343
Brüssel............................................317, 318
Brunsbüttel....................................108, 209
Buda........................................................364
Bücken....................................................478
Büsum.... 141, 209, 443, 461, 464, 467, 484
Bunde......................................................519
Buxtehude..............................141, 378, 479
Cranner...................................................293
Curslack..........................................211, 245
588
Register
Dänemark.....................................................
94, 222, 225, 379, 416, 417, 420, 422, 423,
426, 427, 428, 429, 431, 432, 434, 437,
439, 441, 442, 444, 446, 452, 453, 454,
458, 466, 469, 472, 473, 475, 477, 480,
481, 482, 522, 525, 528, 531, 535, 538
Dalmatien..................... 192, 221, 271, 308,
318, 404, 405, 449, 459, 527, 529, 534, 536
Dannenberg...........................................447
Delft.....................................77, 94, 351, 407
Den Haag............................................46, 82
Detersen.................................................539
Deventer.................................................190
Diepholz..........................................121, 312
Diesdorf..................................................120
Dithmarschen...................45, 61, 142, 208,
209, 281, 286, 287, 338, 438, 443, 448,
457, 463, 464, 465, 467, 468, 479, 486, 530
Dytkerskope / Dethkerscope ....................
346, 347, 349, 400, 402
Dytzum...................................................539
Dokkum ..................................................274
Dordrecht...........77, 94, 229, 270, 351, 407
Dorenborg..............................................539
Drochtersen...................................235, 412
Ebstorf, Kloster......................................240
Eddelak...................................................209
Eddelsum................................................539
Eggerstedt..............................................136
Egmond aan Zee......................................94
Eisinghusen............................................539
Eislingen.........................................245, 246
Eystede.....................................................80
Elbe.................................................108, 156,
157, 174, 184, 205, 209, 274, 457, 524, 534
Elmshorn................................................339
Elmshorst...............................................126
Elpersbüttel...........................................468
Emden .......................................9, 123, 450,
456, 487, 493, 494, 502, 503, 506, 508,
509, 510, 511, 512, 513, 516, 517, 519, 539
England...............................................5, 230
Enkhuizen......................................163, 274
Eppendorf......................................165, 166
Esens.......................................................539
Farmsum.................................................325
Filsum.....................................................539
Finkenwerder................................332, 515
Fliegenberg............................................524
Fleestedt.....................................................6
Flensburg.......................................413, 416
Föhr ........................................................336
Folkerdewere.........................................539
Freepsum................................................539
Freiburg..................................................238
Friesland.......... 77, 123, 351, 407, 440, 539
Gent.............................77, 82, 270, 274, 276
Genua......................................................352
Glinde......................................................278
Glindesmoor s. Moorburg
Gottorf....................................................496
Grimessum.............................................539
Groden...............................45, 280, 544, N7
Groningen..................9, 300, 325, 326, 327
Grothusen......................................503, 539
Haarlem........................22, 77, 94, 351, 407
Hadeln....................................12, 47, 48, 49,
50, 51, 52, 53, 54, 55, 56, 57, 107, 219, 280
Halberstadt....................................269, 352
Hamburg, Kirchen
Dom St. Marien............................................
40, 59, 60, 71, 84, 89, 98, 110, 116, 120,
134, 136, 147, 196, 202, 212, 213, 239,
Register der geographischen Namen
273, 275, 277, 278, 298, 315, 332, 340,
341, 353, 360, 394, 395, 396, 411, 412,
414, 451, 463, 474, 476, 483, 485, 495,
496, 497, 499, 514, 526, 537, 547, 548, 551
Hl.-Geist-Kapelle...................................334
St. Gertrudis...................................200, 476
St. Jacobi............................................89, 99,
146, 188, 232, 233, 332, 451, 474, 489, 537
St. Katharinen..........................98, 99, 103.,
149, 289, 354, 430, 455, 463, 488, 504, 551
St. Nicolai................71, 101, 117, 134, 176,
187, 189, 191, 213, 214, 235, 299, 332,
334, 421, 485, 489, 497, 507, 542, 543, N5
St. Petri..........................35, 58, 63, 93, 130,
134, 175, 188, 197, 268, 275, 299, 314,
319, 332, 341, 378, 406, 411, 447, 474,
483, 505, 514, 515, 521, 526, 542, 543, 551
Hamburg, Klöster, Spitäler
Hl.-Geist-Spital................................44, 273
St. Georg ....................... 320, 341, 504, 551
St. Marien-Magdalenen (Franziskaner)..
175, 189, 328, 341, 360
St. Johannes (Dominikaner)......................
86, 143, 188, 328, 341, 360
Hamburg, Straßen, Orte
Alte Bäckerstraße..................................315
Burstah...................................................507
Cremon...............35, 98, 101, 110, 147, 551
Deichstraße........... 110, 147, 273, 299, 406
Fuhlentwiete.........................................537
Gerberstraße..........................................175
Grimm...........................................................
103, 143, 188, 189, 200, 275, 339, 395
Gröningerstraße.........................................
35, 103, 143, 151, 176, 299, 547
589
Hohe Brücke.............................................35
Hopfenmarkt.........................110, 299, 463
Katharinenstraße.268, 319, 332, 488, 551
Kattrepel.........................................196, 504
Mattentwite.............................................99
Melke(n)berg...................................71, 134
Mühlenbrücke.......................................189
Ness.................................................147, 213
Neue Bäckerstraße................................488
Neue Burg.......................................191, 497
Neustadt.................................................314
Niedermühle..........................................419
Niedernstraße.............................................
143, 197, 232, 299, 354, 470
Pferdemarkt.............................58, 188, 451
Reichenstraße.............................................
93, 130, 273, 277, 315, 332, 337, 542
Reimerstwiete.................................99, 314
Resendamm...........................................372
Rödingsmarkt................................197, 497
Rolandsbrücke...............................268, 319
Schultor..................................................130
Spittalerstraße......................................515
Steckelhörn....................................143, 315
Steintwiete.............................................504
Trostbrücke............................................551
Wiedenburg...........................................196
Winserbaum / -brücke.................233, 299
Winserturm...........................................460
Zollenbrücke..........................................551
Hameln...................................................148
Hamelwörden........................................412
Hamm.....................................................515
Hammer Deich.......................................515
Hammerbrook......213, 273, 378, 474, 515
Hannover .......................................432, 525
590
Register
Harburg............................... 6, 7, 8, 240, N1
Harderwijk.....................................229, 270
Harswege................................................539
Harvestehude, Kloster...............................
164, 165, 185, 199, 232, 411, 421, 470
Haselau...........................................339, 378
Haseldorfer Marsch..............................369
Hatshausen............................................516
Haxte.......................................................500
Heide.......................................................448
Heisfelde.................................................539
Hemme.................. 209, 445, 457, 468, 491
Hemmingstedt......................445, 448, 457
Hennstedt...............................................463
Herkenkroog..........................................501
Herslo........................................................59
Heusden....................................................16
Hildesheim............ 195, 247, 352, 364, 414
Hilgenstede............................................496
Hilkenborgh...........................................539
Hinte...............................................487, 539
Hof...........................................................237
Hoisbüttel.......................................299, 501
Holgast....................................................539
Holland.........................................................
77, 94, 162, 274, 325, 326, 351, 392, 407
Hollen.....................................................539
Holstein..........................................228, 527
Holtorpe.................................................500
Hoorn............................................26, 27, 28
Hope, to dem..........................157, 485, 489
Horn........................................................202
Horne......................................................378
Horneburg..................... 347, 349, 400, 402
Iglau........................................................490
Ihlienworth..............................................52
Ile.............................................................450
Itzehoe........... 102, 141, 222, 278, 299, 448
Ivendorf..................................................224
Jork..........................................................278
Jütland....................................................379
Kaltenkirchen................................496, 499
Kammin..................................................269
Kampen........................................................
123, 124, 162, 229, 270, 326, 327, 447
Kanynghum...........................................539
Kanynghusen.........................................539
Kannemoor............................................338
Kaschau..........................................308, 309
Keding.............................................235, 412
Kirchwerder...........................245, 485, 524
Konstanz........................ 190, 192, 194, 221
Krempe.....................................44, 145, 341
Kroatien........................ 192, 221, 271, 308,
309, 318, 405, 449, 459, 527, 529, 534, 536
Krummendiek.......................................341
Krummstedt ..........................................505
Kuddewörde..........................................245
Kurzenmoor...................................236, 339
Lauenburg........................................12, 187
Leere........................................................539
Leiden.................................77, 94, 351, 407
Lemmer..................................................270
Lerlte...............................................506, 539
Lichtervelde...........................................294
Loga.........................................................539
Logabirum..............................................539
Lohe.........................................145, 339, 543
Lokstedt..................................................166
Lopsum...................................................539
Loquarden..............................................508
Lotbek.....................................................501
Lubicz......................................................292
Register der geographischen Namen
Lübeck.................. 1, 8, 9, 11, 12, 36, 37, 38,
64, 76, 78, 86, 91, 127, 141, 167, 168, 184,
192, 195, 217, 222, 224, 240, 243, 245,
269, 282, 283, 284, 290, 291, 294, 295,
296, 297, 301, 302, 303, 304, 305, 306,
322, 330, 339, 350, 353, 355, 356, 357,
360, 362, 363, 364, 379, 404, 409, 413,
448, 465, 478, 490, 491, 501, 524, 529, 541
Lüdingworth............................................53
Lüne, Kloster..................................102, 120
Lüneburg......................... 1, 4, 8, 10, 36, 37,
38, 40, 71, 75, 102, 109, 112, 120, 139, 141,
145, 193, 212, 217, 239, 240, 245, 290,
291, 294, 295, 296, 297, 301, 302, 303,
307, 322, 350, 364, 368, 370, 371, 373,
379, 394, 406, 448, 449, 465, 485, 489, 491
Lüneburg, Kirchen und Klöster
St. Johannis..............................................72
Lüneburg, Saline
Haus Boninghe......................................120
Haus Bruchusen......................................10
Haus Denkquering[e]...........................120
Hasu Edinghe.................................120, 239
Haus Grevynge........................10, 120, 212
Haus Ulinghe.........................................406
Lüneburg, Straßen
Schrangenstrate......................................72
Lütjensee........................................115, 533
Lüttich....................................................399
Lunden........... 209, 445, 448, 457, 468, 491
Magdeburg.............................362, 363, 364
Marne..............................................209, 468
Meyenburg.............................................290
Meiendorf.......................................127, 135
Meldorf..................................141, 209, 328,
338, 358, 359, 360, 457, 463, 468, 495, 505
Merk........................................................492
591
Mydlinge................................................494
Mydlum..................................................539
Minden.. 148, 152, 195, 345, 346, 414, 497
Mölln.......................................................354
Monnickendam.......25, 26, 27, 29, 94, 276
Moorburg........................................140, N1
Münster..................................190, 195, 220
Mutzelmow............................................292
Mulenhaghen........................................218
Neermoor...............................................539
Nesse.......................................................123
Nettlingen..............................................254
Neuburg..................................................539
Neuengamme.......207, 211, 245, 476, 515
Neuenkirchen.38, 209, 341, 445, 448, 457
Neuenwalde, Kloster............161, 198, 219
Neustadt i. H..........................................234
Neuwerk.................................................201
Newcastle upon Tyne...................228, 230
Nienburg....................................................5
Nygenborch...................................291, 293
Nyköping................................................385
Norden............................................123, 539
Nordhastedt...........................445, 448, 457
Nordleda...........................................47, 107
Nortmoor.......................................494, 539
Norwegen...............................................228
Nürnberg....... 282, 283, 284, 285, 404, 405
Nüttermoor............................................539
Oddekendorpe.......................................533
Odene (Wald).........................................131
Odisheim..................................................51
Ohlstedt..................................................114
Oldehof...................................................539
Oldenburg (i. H.)......................................79
Oldesloe..................................................348
Olmütz............................................271, 272
592
Register
Osen.........................................................148
Osnabrück......................................269, 280
Osterbruch...............................................49
Osterholz, Kloster.................................424
Osterhusen.............................123, 124, 539
Ostergo...............................................9, 158
Österreich...................... 527, 529, 534, 536
Otterndorf........................................55, 107
Paderborn..................................60, 64, 353
Perleberg................................................246
Perugia....................................................352
Pevesum.................................................539
Petkum....................................................539
Pilsum.............................................123, 124
Podendorf..............................................278
Potshausen.............................................539
Prag.................................................527, 529
Prignitz...................................................330
Ramelsloh, Stift............ 152, 360, 415, 478
Ratzeburg........64, 145, 167, 195, 316, 411
Regensburg............................................449
Rehme.....................................................148
Reybroke / Reytbruke..........................233
Nyenreybroke................................167, 233
Olde Reybroke...............................207, 211
Reyde..............................................456, 539
Reyderland.............................................539
Reinbek, Kloster....................135, 138, 533
Reinfeld, Kloster............36, 37, 38, 73, 190
Rellingen..................................59, 136, 243
Rendsburg......................................228, 230
Reval........................................................355
Rhenen....................................................549
Riepenburg............................245, 246, 524
Ripen (Ribe).................. 190, 195, 323, 403
Ritzebüttel...................................................
12, 45, 104, 144, 198, 219, 242, 544, N7
Roden......................................................500
Rokesberg.......................................135, 501
Rom............................................33, 60, 298,
344, 352, 353, 360, 362, 363, 364, 396, 399
Rosenhaghen.................................293, 297
Roskilde..........................................190, 195
Rostock...................................245, 379, 449
Rotterdam..........................15, 23, 270, 274
Rüstringen.............................................478
Sadelbande.............................................316
Salzwedel................................................241
Scharnebeck, Kloster............................240
Schauenburg..........................................174
Schenefeld..............................................166
Schiedam..........................................15, 392
Schleswig....... 190, 195, 222, 228, 353, 478
Schmalenbek.........................................501
Schnackenburg......................................322
Schonenberge........................................294
Schwerin ............................64, 71, 195, 222
Schwinge................................................534
Seeland.......................77, 94, 274, 351, 407
Segeberg.......................................................
74, 76, 78, 81, 83, 100, 118, 222, 279, 533
Selent......................................................501
Selward...................................................326
Sesterfleth..............................................214
Sibetsburg..............................................440
Siddeldeichsfeld............................338, 358
Siebenhöfen...................................346, 400
Siek..........................................................329
Simonswalde..................................450, 500
Skeresond...............................................228
Sluis.........................................................229
Stade.............................................................
41, 141, 152, 260, 276, 278, 347, 415, 534
Stavoren.......................................................
30, 31, 94, 158, 159, 162, 229, 270
Steenvelde..............................................494
Steinau......................................................56
Stikhusen................................................539
Stillhorn.........................................146, 515
Alt-Stillhorn.......................................89, 93
Neu-Stillhorn...........................................93
Styntborgh...............................................12
Stockholm .................................................3
Stralsund............... 192, 217, 245, 379, 449
Strukdorf..................................................76
Suderhusen............................508, 512, 539
Süderau...................................................533
Süderdeich.............................445, 457, 486
Süderleda.................................................50
Sund, Öresund......409, 418, 433, 435, 436
Sundershausen......................................240
Tangermünde........................................269
Tellingstedt......................33, 445, 448, 457
Testorf.....................................................135
Timmel...................................................515
Traú / Tragir..........................................221
Trave.......................................................184
Travemünde...........................................224
Trennewurth.........................................338
Trittau.............................................206, 210
Twielenfleth..........................................214
Twixlum.................................................539
Uetersen........................ 145, 339, 378, 543
Kloster........................... 145, 236, 339, 495
Ulm..........................................................449
Ungarn...........................................192, 221,
271, 282, 283, 284, 285, 308, 309, 317,
318, 404, 405, 449, 459, 527, 529, 534, 536
Uphusen........................ 450, 493, 502, 510
Uringhergast.........................................539
Utrecht............................................190, 195
Uttum......................................................539
Valren.....................................123, 124, 493
Veenhusen.............................................539
Veere.................................................94, 274
Verden.......................................60, 64, 152,
190, 195, 247, 269, 329, 332, 345, 352,
366, 367, 378, 408, 447, 468, 504, 507, N7
Vy............................................................218
Vlaardingen.............................................15
Volkenesworden...........................338, 358
Volksdorf................................................501
Wagrien..................................................527
Wakendorf [II]...............................496, 499
Wanna.......................................................57
Wastensfelde.................................206, 210
Weddingstedt.......209, 445, 448, 457, 468
Wener......................................................494
Wesselburen.141, 209, 464., 465, 467, 468
Westerende............................................500
Westerhusen..........................................539
Westergo....................9, 158, 159, 162, 545
Wichhusen.............................................539
Wien........................................................490
Wieringen..................................34, 94, 274
Wildeshausen................................204, 216
Winsen............................................157, 524
Wirdum...................................................539
Wismar.........................................................
217, 245, 379, 413, 418, 433, 435, 436, 490
Wivelsum........................................503, 539
Wöhrden........................ 209, 445, 448, 457
Wohldorf....... 498, 501, 518, 521, 526, 549
Woldseten..............................................539
Wolmerstorf...........................................299
Wolthusen......................................502, 539
Workum............................................94, 545
Woseborgh.................................................3
Wursten...................................280, 544, N7
Zeven.......................................................478
Zuiderzee..................................................94
Ü b er den Ver fasser
Jürgen Sarnowsky ist Professor für mittelalterliche Geschichte an der Universität
Hamburg. Seine Schwerpunkte sind die Geschichte der geistlichen Ritterorden,
die Hanse-, Stadt- und Landesgeschichte, die Geschichte Englands, die Bildungsgeschichte sowie (digitale) Editions- und Erschließungsvorhaben.
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W4321327601.txt
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https://www.qeios.com/read/Y4BRXL/pdf
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en
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Review of: "Environmental Representations in Rocky Records in National Parks in Southeastern Piauí – Brazil"
| null | 2,023
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cc-by
| 195
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Qeios, CC-BY 4.0 · Review, February 18, 2023
Review of: "Environmental Representations in Rocky
Records in National Parks in Southeastern Piauí – Brazil"
Thomas Strssser1
1 Providence College
Potential competing interests: No potential competing interests to declare.
This study examines rock art (painted and inscribed) in the national parks of Serra da Capivara and Serra das Confusões
(Brazil) as a basis for exploring methods of analyses. The article is primarily a methodological inquiry, and it discusses
various approaches of critical thinking in rock art examination. The iconography is seen through this lens. The methods
are more of an emphasis than the iconography.
Of special interest is the use of the art for both environmental reconstruction and the identification of extinct species, or
fauna that no longer inhabit the region. In addition, the essay’s addresses biomorphs (combined human and animal
figures) and phytomorphs (conventionalized representations of plants).
The article attempts to avoid Eurocentric perspectives that limit interpretations. It addresses the layered meaning of the
art, both physically (superimposition) and symbolically (diachronic changes in meaning). It addresses the transmission of
knowledge vis-à-vis humans’ relationship with nature and the choice of place.
Qeios ID: Y4BRXL · https://doi.org/10.32388/Y4BRXL
1/1
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https://openalex.org/W2783949367
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https://europepmc.org/articles/pmc5767257?pdf=render
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English
| null |
Icariin Reduces Dopaminergic Neuronal Loss and Microglia-Mediated Inflammation in Vivo and in Vitro
|
Frontiers in molecular neuroscience
| 2,018
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cc-by
| 7,622
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Icariin Reduces Dopaminergic
Neuronal Loss and
Microglia-Mediated Inflammation
in Vivo and in Vitro Guo-Qing Wang†, Dai-Di Li†, Chun Huang, Di-Sheng Lu, Chao Zhang, Shao-Yu Zhou,
Jie Liu and Feng Zhang* Joint International Research Laboratory of Ethnomedicine of Ministry of Education and Key Laboratory of Basic
Pharmacology of Ministry of Education, Zunyi Medical University, Zunyi, China Parkinson’s disease (PD) is one of the most common neurodegenerative diseases
characterized with a gradual loss of midbrain substantia nigra (SN) dopamine (DA)
neurons. An excessive evidence demonstrated that microglia-mediated inflammation
might be involved in the pathogenesis of PD. Thus, inhibition of neuroinflammation
might possess a promising potential for PD treatment. Icariin (ICA), a single active
component extracted from the Herba Epimedii, presents amounts of pharmacological
properties, such as anti-inflammation, anti-oxidant, and anti-aging. Recent studies show
ICA produced neuroprotection against brain dysfunction. However, the mechanisms
underlying ICA-exerted neuroprotection are fully illuminated. In the present study,
two different neurotoxins of 6-hydroxydopamine (6-OHDA) and lipopolysaccharide
(LPS)-induced
rat
midbrain
DA
neuronal
damage
were
applied
to
investigate
the neuroprotective effects of ICA. In addition, primary rat midbrain neuron-glia
co-cultures were performed to explore the mechanisms underlying ICA-mediated
DA neuroprotection. In vitro data showed that ICA protected DA neurons from
LPS/6-OHDA-induced DA neuronal damage and inhibited microglia activation and
pro-inflammatory factors production via the suppression of nuclear factor-κB (NF-κB)
pathway activation. In animal results, ICA significantly reduced microglia activation and
significantly attenuated LPS/6-OHDA-induced DA neuronal loss and subsequent animal
behavior changes. Together, ICA could protect DA neurons against LPS- and 6-OHDA-
induced neurotoxicity both in vivo and in vitro. These actions might be closely associated
with the inhibition of microglia-mediated neuroinflammation. Keywords: Parkinson’s disease, microglia, neuroinflammation, icariin, neuroprotection Edited by:
Jean-Marc Taymans,
Institut National de la Santé et de la
Recherche Médicale, France Reviewed by:
Anke Van Der Perren,
KU Leuven, Belgium
Nicola B. Mercuri,
Università degli Studi di Roma Tor
Vergata, Italy *Correspondence:
Feng Zhang
zhangf@zmc.edu.cn
†These authors have contributed *Correspondence:
Feng Zhang
zhangf@zmc.edu.cn †These authors have contributed
equally to this work. Received: 31 October 2017
Accepted: 19 December 2017
Published: 09 January 2018 ORIGINAL RESEARCH
published: 09 January 2018
doi: 10.3389/fnmol.2017.00441 Animals and Treatment Male SD rats (200–250 g) were purchased from the Experimental
Animal Centre in the Third Military Medical University
(Chongqing, China; Specific-pathogen-free Grade II). Animal
experiments were in strict accordance with the Chinese
Guidelines of Animal Care and Welfare and this study was
approved by the Animal Care and Use Committee in Zunyi
Medical University (Zunyi, China). LPS (5 µg in 5 µl of sterile
saline) was injected into the right side of rat midbrain SN with
the coordinates 4.8 mm posterior to bregma, 1.7 mm lateral to
the midline and 8.2 mm ventral to the skull surface (Zhang et al.,
2010). 6-OHDA (8 µg in 5 µl of saline with 0.2% vitamin C) was
injected into the right side of SN with the coordinates 5.2 mm
posterior to bregma, 2.4 mm lateral to the midline and 8.0 mm
ventral to the skull surface (Hou et al., 2014). Daily intragastric
administration of ICA (10 and 20 mg/kg) for 7 and 14 consecutive
days was given beginning 24 h before LPS and 6-OHDA injection,
respectively. Then, rotarod test was performed from the 5th day
of LPS treatment and the 10th day of 6-OHDA treatment. One
day after last ICA treatment, rats were sacrificed and the brains
were collected. Icariin (ICA), a flavonoid derived from Herba Epimedii,
shows a battery range of pharmacological properties, such as
anti-inflammation, anti-oxidant, and anti-aging (Li et al., 2016;
Xiao et al., 2016). Recently, ICA-mediated neuroprotection
attracts a growing attention. Pharmacokineticly, ICA could pass
through the blood–brain barrier (BBB) (Li and Wang, 2008). Additionally, our previous study indicated that ICA improved
spatial learning and memory abilities in lipopolysaccharide
(LPS)-induced rat brain dysfunction through the inhibition of
hippocampus IL-1β and cyclooxygenase-2 (COX-2) expressions
(Guo et al., 2010). Accumulating evidence indicates that, in
addition to the inhibition of the activated innate immune cells
(including microglia)-producing TNF-α and IL-1β, there is a
constant depression of nuclear factor-kappa B (NF-κB) signaling
activation in the hippocampus by ICA (Liu et al., 2015). Thus,
ICA plays a counter-regulatory role in an attempt to suppress the
neuroinflammation. Primary Rat Midbrain Neuron-Glia
Co-culture Primary neuron-glia co-culture was from the ventral midbrain
tissues of embryonic day 14 rats (Zhang et al., 2006). The
dissociated cells were seeded at 5 × 105/well in 24-well plate
(DMEM/F12 containing 10% FBS, 10% HS, 1 mM sodium
pyruvate, 2 mM L-glutamine and 0.1 mM non-essential amino
acids). The cultures were maintained within a humidified
atmosphere of 5% CO2 and 95% air in maintenance medium
at 37◦C. Seven-day-old cell cultures were performed for ICA
treatments followed by LPS (10 ng/ml)/6-OHDA (40 µM)
application. At the treatment time, cultures were composed of
10% microglia, 50% astroglia, and 40% neurons (including 1%
DA neurons) (Hu et al., 2012). In
the
present
study,
we
report
that
ICA
conferred
DA
neuroprotection
against
6-OHDA
and
LPS-induced
neurotoxicity both in vivo and in vitro. In addition, this
neuroprotection might be closely related to the inhibition of
microglia activation and the subsequent neuroinflammatory
reactions. It is for the first time to elaborate ICA-mediated
neuroprotection and the underlying mechanisms. Reagents The mouse microglia cell line-BV2 was bought from the Cell
Culture Center in the Institute of Basic Medical Sciences of
Chinese Academy of Medical Sciences and Peking Union Medical
College. BV2 cells were cultured in DMEM/F-12 medium and
maintained at 37◦C in a humidified incubator with 5% CO2. Icariin (ICA, purity 98%) was bought from Nanjing Zelang
Medical Technology, Co., Ltd. (Nanjing, China). 6-OHDA
(CAS 28094157) was from Sigma Chemical, Co. (St. Louis,
MO, United States). LPS (Escherichia coli strain O111:B4) was
purchased from Calbiochem (San Diego, CA, United States). Anti-Tyrosine
Hydroxylase
(TH)
antibody,
Anti-CR3
complement
receptor
(OX-42),
Anti-Iba1
antibody,
Goat
Anti-Mouse IgG H&L (TRITC), and Goat Anti-Rabbit IgG
H&L (TRITC) were bought from Abcam (Cambridge, MA,
United States). NF-κB signaling pathway antibodies were INTRODUCTION Thus, it was suggested that the damaged
DA neurons and the activated microglia might create a vicious
self-amplifying cycle eliciting the prolonged and uncontrolled
inflammation that promotes the chronic progression of PD (Gao
and Hong, 2008; Gao et al., 2011). Taken together, microglia-
mediated dynamic modulation of this neuroinflammation might
be a key event in the degradation of DA neurons and inhibition
of microglia-exerted vicious cycle could become a promising
therapeutic potential for PD (Qian et al., 2010). the products of Cell Signaling Technology (Beverly, MA,
United States). Biotinylated secondary antibodies and vectastain
avidin–biotin
complex
(ABC)
kits
were
purchased
from
Vector Laboratories (Burlingame, CA, United States). ELISA
kits were purchased from R&D Systems (Minneapolis, MN,
United States). Griess reagent was obtained from Beyotime
Biotechnology (Shanghai, China). INTRODUCTION Wang G-Q, Li D-D, Huang C,
Lu D-S, Zhang C, Zhou S-Y, Liu J
and Zhang F (2018) Icariin Reduces
Dopaminergic Neuronal Loss
and Microglia-Mediated Inflammation
in Vivo and in Vitro. Front. Mol. Neurosci. 10:441. doi: 10.3389/fnmol.2017.00441 Parkinson’s disease (PD) is one of the most common neurodegenerative disease and characterized
by the progressive loss of dopamine (DA) neurons in midbrain substantia nigra (SN) and the
consequent movement malfunction (Towns, 2017). Although the mechanisms that drive the
gradual nature remain elusive, to date, a great amount of evidence has documented microglia-
mediated neuroinflammation is implicated in PD (Block and Hong, 2007; McKenzie et al., 2017). January 2018 | Volume 10 | Article 441 Frontiers in Molecular Neuroscience | www.frontiersin.org Icariin Protects Dopamine Neurons Wang et al. Microglia, the resident immune cells in the central nervous
system, present a series of changes in morphology and function
after activated by an acute insult to the CNS (Gao et al., 2002;
Gao and Hong, 2008). Upon activation by brain injury or
inflammogen exposure, microglia produce and secrete a great
deal of pro-inflammatory factors, such as interleukin (IL)-1β,
tumor necrosis factor α (TNF-α) and nitric oxide (NO). The
generation and accumulation of these inflammatory mediators
could not only further regulate immune reactions, but also
injure DA neurons. Thus, it was suggested that the damaged
DA neurons and the activated microglia might create a vicious
self-amplifying cycle eliciting the prolonged and uncontrolled
inflammation that promotes the chronic progression of PD (Gao
and Hong, 2008; Gao et al., 2011). Taken together, microglia-
mediated dynamic modulation of this neuroinflammation might
be a key event in the degradation of DA neurons and inhibition
of microglia-exerted vicious cycle could become a promising
therapeutic potential for PD (Qian et al., 2010). Microglia, the resident immune cells in the central nervous
system, present a series of changes in morphology and function
after activated by an acute insult to the CNS (Gao et al., 2002;
Gao and Hong, 2008). Upon activation by brain injury or
inflammogen exposure, microglia produce and secrete a great
deal of pro-inflammatory factors, such as interleukin (IL)-1β,
tumor necrosis factor α (TNF-α) and nitric oxide (NO). The
generation and accumulation of these inflammatory mediators
could not only further regulate immune reactions, but also
injure DA neurons. Immunocytochemical Staining Cells were fixed in paraformaldehyde permeabilized with Triton
X-100 and blocked with goat serum. DA neurons were identified
with an anti-tyrosine hydroxylase (TH) antibody and activated January 2018 | Volume 10 | Article 441 Frontiers in Molecular Neuroscience | www.frontiersin.org 2 Wang et al. Icariin Protects Dopamine Neurons FIGURE 1 | Icariin (ICA) protected DA neurons against LPS-induced neurotoxicity in vitro. Rat primary midbrain neuron-glia cultures were pretreated with ICA (0.01
and 0.1 µM) for 30 min before LPS (10 ng/ml) treatment. Seven days later, ICA-produced neuroprotection was analyzed by the immunocytochemical analysis (A)
and TH-positive neuron counting (B). Representative images of immunostaining from three individual experiments were shown. Scale bar: 100 µm. The level of TH
protein expression in the neuron-glia co-cultures was detected via western blot assay (C). The ratio of densitometry values of TH with β-actin was assessed and
normalized to each respective control group. Results were the mean ± SEM from three independent experiments performed in triplicate. ∗p < 0.05 or ∗∗p < 0.01
compared with the control cultures; #p < 0.05 or ##p < 0.01 compared with LPS-treated cultures. FIGURE 1 | Icariin (ICA) protected DA neurons against LPS-induced neurotoxicity in vitro. Rat primary midbrain neuron-glia cultures were pretreated with ICA (0.01
and 0.1 µM) for 30 min before LPS (10 ng/ml) treatment. Seven days later, ICA-produced neuroprotection was analyzed by the immunocytochemical analysis (A)
and TH-positive neuron counting (B). Representative images of immunostaining from three individual experiments were shown. Scale bar: 100 µm. The level of TH
protein expression in the neuron-glia co-cultures was detected via western blot assay (C). The ratio of densitometry values of TH with β-actin was assessed and
normalized to each respective control group. Results were the mean ± SEM from three independent experiments performed in triplicate. ∗p < 0.05 or ∗∗p < 0.01
compared with the control cultures; #p < 0.05 or ##p < 0.01 compared with LPS-treated cultures. microglia were recognized with an anti-OX-42 antibody. For
LPS/6-OHDA-induced DA neuronal damage, cultures were
incubated at 4◦C overnight with anti-TH (1:300) and OX-42
(1:300) antibodies, followed by incubation with biotinylated
secondary antibody for 1 h and then color was developed by
3, 3′-diaminobenzidine. For the quantification of TH-positive
neurons and OX-42-positive microglia, four representative areas
per well of the 24-well plate were counted. On each condition,
three wells were applied for cell counting. Immunocytochemical Staining were incubated in horseradish peroxidase (HRP)-conjugated
secondary antibodies at 1:3000 dilution followed by the blots
developed with the enhanced chemiluminescence reagent. TNF-α, IL-1β, and Nitrite Assay The IL-1β and TNF-α levels in the culture medium were
detected by ELISA kits. The NO production was determined by
measurement of the accumulated levels of nitrite in the culture
medium with Griess reagent. Rotarod Test Rotarod test, consisted of cylindrical arrangement of thin
steel rods, was performed for the investigation of muscular
coordination. In the train, the speed was at 10 cycles/min and the
cut-offtime was 180 s (Khuwaja et al., 2011). Before the test start,
all animals were trained on the rotarod till they stayed on it at
least for the cut-offtime. Rats were allowed to keep stationary
for a while at 0 rpm and the rotational speed was gradually
increased to 10 rpm in 20 s-interval till rats fell offfrom the rungs. Rat behavior changes were detected by two investigators and the
mean duration time on the device was recorded (Hamm, 2001). Western Blot Analysis Rat brain was cut into 35 µm transverse free-floating sections
on a horizontal sliding microtome. Total 36 consecutive brain
slices throughout the SN was collected. Every 6th section
of a series of 36 consecutive brain slices was used to
perform the immunocytochemical analysis. For LPS-induced
DA neuronal damage, double-label immunofluorescence was
employed with anti-OX-42 (1:500) antibodies and anti-TH
antibodies (1:500), followed by incubation with FITC-conjugated
goat anti-rabbit antibody (green) and anti-mouse antibody
(red) secondary antibodies (1:1500). For 6-OHDA-induced For the whole cell lysates extraction, cultures were homogenized
in RIPA lysis buffer. The lysates were incubated for 30 min
on ice and then centrifuged at 12,000 × g for 15 min. The
protein concentration was quantified by BCA kit. The equal
amount of total protein was separated on 10% Bis-Tris Nu-
PAGE gel and transferred to PVDF membranes. The membranes
were blocked with non-fat milk and then incubated with the
following primary antibodies: ionized calcium-binding adapter
molecule-1 (Iba-1, 1:800), TH (1:500), phosphorylated-p65 (p-
p65, 1:1000), p65 (1:1000), and β-actin (1:2000). The membranes January 2018 | Volume 10 | Article 441 Frontiers in Molecular Neuroscience | www.frontiersin.org 3 Wang et al. Icariin Protects Dopamine Neurons FIGURE 2 | Icariin protected DA neurons against 6-OHDA-induced neurotoxicity in vitro. Rat primary midbrain neuron-glia cultures we re pretreated with ICA (0.01
and 0.1 µM) for 30 min before the treatment of 6-OHDA (40 µM). Seven days later, ICA-elicited neuroprotection was quantified by TH-positive neuron counting (B)
through the immunocytochemical analysis. Representative images of immunostaining from three individual experiments were shown (A). Scale bar: 100 µm. The
level of TH protein expression in the neuron-glia cultures was measured with western blot analysis (C). The ratio of densitometry values of TH with β-actin was
assessed and normalized to each respective control group. Results were the mean ± SEM from three independent experiments performed in triplicate. ∗p < 0.05
compared with the control cultures; #p < 0.05 compared with 6-OHDA-treated cultures. FIGURE 2 | Icariin protected DA neurons against 6-OHDA-induced neurotoxicity in vitro. Rat primary midbrain neuron-glia cultures we re pretreated with ICA (0.01
and 0.1 µM) for 30 min before the treatment of 6-OHDA (40 µM). Seven days later, ICA-elicited neuroprotection was quantified by TH-positive neuron counting (B)
through the immunocytochemical analysis. Representative images of immunostaining from three individual experiments were shown (A). Scale bar: 100 µm. Western Blot Analysis The
level of TH protein expression in the neuron-glia cultures was measured with western blot analysis (C). The ratio of densitometry values of TH with β-actin was
assessed and normalized to each respective control group. Results were the mean ± SEM from three independent experiments performed in triplicate. ∗p < 0.05
compared with the control cultures; #p < 0.05 compared with 6-OHDA-treated cultures. LPS (10 ng/ml) or 6-OHDA (40 µM) application. Seven
days later, LPS/6-OHDA-elicited DA neuronal damage was
quantified by DA neuronal counting via immunocytochemical
staining and TH protein expression through western blot
assay. TH-positive neuronal counting detection indicated that
LPS significantly decreased DA neuronal number and ICA
ameliorated LPS-elicited DA neuronal injury (Figures 1A,B). Western blotting also indicated ICA attenuated LPS-elicited
decrease of TH protein expression shown in Figure 1C and
Supplementary Figure S1A. In 6-OHDA-treated neuron-glia co-
cultures shown in Figure 2, 6-OHDA-induced reduction of DA
neurons (Figures 2A,B) and decrease of TH protein expression
(Figure 2C and Supplementary Figure S1B) was attenuated by
ICA treatment. DA neuronal damage, brain slices were immunostained with
anti-OX-42 (1:300) antibodies and anti-TH antibodies (1:300),
followed by incubation with biotinylated secondary antibody
for 1 h. Digital images of SN TH-positive neurons and
OX-42-positive
microglia
were
obtained
by
an
Olympus
microscope (Olympus, Tokyo, Japan). DA neurotoxicity was
evaluated by the quantification of TH-positive neuronal number
and microglial activation was detected by the densitometry
analysis of OX-42-positive microglia. Statistical Analysis Data were presented as mean ± SEM. Statistical significance
was analyzed by two-way ANOVA via GraphPad Prism software
(GraphPad Software, Inc., San Diego, CA, United States). When
ANOVA demonstrated the statistically significant differences,
all pairwise comparisons among means were accessed by
Bonferroni’s post hoc t-test with correction. A value of p < 0.05
or p < 0.01 was considered statistically significant. ICA Ameliorated LPS/6-OHDA-Elicited
Microglia Activation in Vitro Primary midbrain neuron-glia cultures were pretreated with
ICA (0.01 and 0.1 µM) for 30 min and then stimulated
by LPS/6-OHDA. Seven days later, the LPS/6-OHDA-induced
microglia activation was analyzed by immunostaining with
an anti-OX-42 (a marker of activated microglia used for
immunostaining) antibody and western blot assay with an
anti-Iba-1 (a marker of microglia including resting microglia
and activated microglia) antibody. As shown in Figures 3A,B,
LPS significantly induced microglia activation. However, ICA
significantly attenuated LPS-induced microglia activation. In ICA Suppressed LPS/6-OHDA-Induced
NF-κB Pathway Activation addition, to further investigate the inhibitory actions of ICA
on LPS-elicited microglia activation, the whole cell lysis was
collected and the effects of ICA on the protein expression of Iba-1
were determined. As shown in Figure 3C and Supplementary
Figure S1C, LPS increased Iba-1 protein expression. However,
ICA decreased LPS-induced Iba-1 protein expression. Moreover,
in the neuron-glia co-cultures treated by 6-OHDA, more
activated microglia were shown in 6-OHDA-treated cultures
compared with the control cultures and ICA ameliorated 6-
OHDA-induced microglia activation shown in Figures 4A,B. Furtherly, ICA inhibited 6-OHDA-induced increase of Iba-1
protein expression indicated in Figure 4C and Supplementary
Figure S1D. It is well-known NF-κB signaling pathway was involved in the
modulation of neuroinflammatory responses. Next, the actions
of ICA on LPS/6-OHDA-elicited NF-κB pathway activation were
detected. In primary neuron-glia cultures, ICA inhibited 6-
OHDA-induced p65 phosphorylation shown in Figure 6A and
Supplementary Figure S2. In BV2 cell line, LPS-induced p65
phosphorylation was attenuated by ICA treatment shown in
Figure 6B. ICA Protected DA Neurons from
LPS/6-OHDA-Elicited Neurotoxicity
in Vitro Primary rat midbrain neuron-glia co-cultures were treated
with ICA (0.01 and 0.1 µM) for 30 min followed by January 2018 | Volume 10 | Article 441 Frontiers in Molecular Neuroscience | www.frontiersin.org 4 Wang et al. Icariin Protects Dopamine Neurons FIGURE 3 | Icariin ameliorated LPS-induced microglial activation in vitro. Rat primary midbrain neuron-glia cultures were treated with ICA (0.01 and 0.1 µM) for
30 min and then stimulated by LPS (10 ng/ml). Seven days later, the activated microglia were detected by immunocytochemical staining with anti-OX-42 antibody. Representative images of immunostaining from three experiments were indicated (A). Scale bar: 100 µm. The quantification of OX-42-positive microglia was
performed (B). The level of Iba1 protein expression in the neuron-glia co-cultures was detected via western blot assay (C). The ratio of densitometry values of Iba1
with β-actin was assessed and normalized to each respective control group. Results were the mean ± SEM from three independent experiments performed in
triplicate. ∗p < 0.05 compared with the control cultures; #p < 0.05 compared with LPS-treated cultures. FIGURE 3 | Icariin ameliorated LPS-induced microglial activation in vitro. Rat primary midbrain neuron-glia cultures were treated with ICA (0.01 and 0.1 µM) for
30 min and then stimulated by LPS (10 ng/ml). Seven days later, the activated microglia were detected by immunocytochemical staining with anti-OX-42 antibody. Representative images of immunostaining from three experiments were indicated (A). Scale bar: 100 µm. The quantification of OX-42-positive microglia was
performed (B). The level of Iba1 protein expression in the neuron-glia co-cultures was detected via western blot assay (C). The ratio of densitometry values of Iba1
with β-actin was assessed and normalized to each respective control group. Results were the mean ± SEM from three independent experiments performed in
triplicate. ∗p < 0.05 compared with the control cultures; #p < 0.05 compared with LPS-treated cultures. ICA Inhibited LPS/6-OHDA-Induced
Release of Pro-inflammatory Factors
in Vitro With
ICA-mediated
neuroprotection
in
vitro
indicated,
ICA-produced
DA
neuroprotection
against
LPS/6-OHDA-
induced neurotoxicity in vivo was further investigated. In
LPS-elicited DA neuronal damage shown in Figures 7A,B,
LPS significantly decreased the DA neurons in the SN and
ICA
ameliorated
LPS-induced
decrease
of
DA
neuronal
number. In parallel with DA neuronal loss, LPS induced
microglia activation and this activated state of microglia
was attenuated by ICA treatment shown in Figure 7C. In
addition to DA neuronal number detection, rat behavior
changes were also determined. As shown in Figure 7D, ICA
attenuated LPS-induced decrease of the time stayed on the
rod. In 6-OHDA-induced DA lesion shown in Figure 8, ICA To assess the inhibitory ability of ICA on the production
of
microglial
pro-inflammatory
factors,
neuron-glia
co-
cultures were treated with ICA (0.01 and 0.1 µM) for 30 min
followed
by
LPS/6-OHDA
treatment. Twenty-four
hour
later, the release of TNF-α, IL-1β, and NO in the culture
supernatant was detected. As indicated in Figure 5, the
levels of TNF-α, IL-1β, and NO were increased in LPS/6-
OHDA cultures. Compared with LPS/6-OHDA cultures, ICA
significantly reduced the production of these pro-inflammatory
factors. January 2018 | Volume 10 | Article 441 Frontiers in Molecular Neuroscience | www.frontiersin.org 5 Wang et al. Icariin Protects Dopamine Neurons FIGURE 4 | Icariin attenuated 6-OHDA-induced microglial activation in vitro. Primary neuron-glia cultures were treated with ICA (0.01 and 0.1 µM) for 30 min
followed by 6-OHDA (40 µM) treatment. Seven days later, the activated microglia were analyzed by immunocytochemical staining with an anti-OX-42 antibody. Representative images of immunostaining from three individual experiments were indicated (A). Scale bar: 100 µm. The number of OX-42-positive microglia was
counted (B). The level of Iba1 protein expression in the neuron-glia cultures was quantified by western blot analysis (C). The ratio of densitometry values of Iba1 with
β-actin was assessed and normalized to each respective control group. Results were the mean ± SEM from three independent experiments performed in triplicate. ∗p < 0.05 compared with the control cultures; #p < 0.05 or ##p < 0.01 compared with 6-OHDA-treated cultures. FIGURE 4 | Icariin attenuated 6-OHDA-induced microglial activation in vitro. Primary neuron-glia cultures were treated with ICA (0.01 and 0.1 µM) for 30 min
followed by 6-OHDA (40 µM) treatment. Seven days later, the activated microglia were analyzed by immunocytochemical staining with an anti-OX-42 antibody. Representative images of immunostaining from three individual experiments were indicated (A). ICA Inhibited LPS/6-OHDA-Induced
Release of Pro-inflammatory Factors
in Vitro Scale bar: 100 µm. The number of OX-42-positive microglia was
counted (B). The level of Iba1 protein expression in the neuron-glia cultures was quantified by western blot analysis (C). The ratio of densitometry values of Iba1 with
β-actin was assessed and normalized to each respective control group. Results were the mean ± SEM from three independent experiments performed in triplicate. ∗p < 0.05 compared with the control cultures; #p < 0.05 or ##p < 0.01 compared with 6-OHDA-treated cultures. improved 6-OHDA-induced decrease of DA neurons and
activation of microglia in SN. These results were consistent
with ICA-mediated neuroprotection against LPS-induced DA
neurotoxicity. DA neurons. It was interesting to note that ICA produced
neuroprotection against DA neurotoxicity induced by LPS
and 6-OHDA, two toxins with different modes of functions
(Badshah et al., 2016; Wasik et al., 2016). 6-OHDA was a
hydroxyl derivative of DA and competed for DA uptake sites
and undergoes auto-oxidation, leading to direct DA neuronal
damage by producing neurotoxic substances (Im et al., 2016;
Song et al., 2016). However, the continuing damaged DA
neurons also produce various types of neurotoxic soluble factors,
such as α-synuclein and damage-associated molecular patterns
(DAMPs), which in turn caused microglia activation. LPS
was a potent inflammatory substance and directly induced
microglia activation-mediated neuroinflammation and then the
activated microglia further caused DA neuronal damage (Fantoni
et al., 2017). Unlike LPS-elicited direct microglia activation,
6-OHDA led to the selective DA neuronal dysfunction/death
and secondary the activation of microglia (Liu and Bing,
2011). Either kind of microglia activation elicited by LPS
and 6-OHDA might further damage DA neurons in a “self-
propelling” vicious cycle and finally result in the progression of
DA neurodegeneration. In this study, both 6-OHDA and LPS
caused DA neuronal loss and microglia activation. However,
ICA seemed to protect DA neurons through the inhibition of
microglia activation and thus halt this vicious cycle running. In addition, tt is well-known that the pathological hallmark of
PD is the formation of α-synuclein-containing Lewy Body in
midbrain dopaminergic neurons. Thus, it is quite interesting to Frontiers in Molecular Neuroscience | www.frontiersin.org DISCUSSION The present study presented that ICA conferred significant DA
neuroprotection against 6-OHDA/LPS-induced neurotoxicity
and inhibited microglia activation and the pro-inflammatory
factors release. In in vitro studies, ICA protected DA neurons
from LPS/6-OHDA-induced DA neuronal damage and reduced
microglia activation and pro-inflammatory factors production
via the suppression of NF-κB pathway activation. In animal
studies, ICA significantly reduced microglia activation and
significantly attenuated LPS/6-OHDA- induced DA neuronal
loss and subsequent animal behavior changes. These findings
suggest that ICA might hold the promising therapeutic
properties on PD. Several lines of evidence confirm that neuroinflammation
was closely involved in the pathogenesis of PD. As the
brain resident immune cells, microglia play a pivotal role
in the neuroinflammation. In response to brain injury or
immunological challenges, microglia release various kinds of
pro-inflammatory and cytotoxic factors. The accumulation
of these factors further resulted in the progressive loss of January 2018 | Volume 10 | Article 441 6 Wang et al. Icariin Protects Dopamine Neurons FIGURE 5 | Icariin inhibited LPS-/6-OHDA-induced release of pro-inflammatory factors in vitro. Primary midbrain neuron-glia cultures were treated with ICA (0.01
and 0.1 µM) for 30 min followed by LPS (A) or 6-OHDA (B) treatment. Twenty-four h later, the release of TNF-α, IL-1β, and NO in the culture medium was detected
by ELISA and Griess regent, respectively. Results were the mean ± SEM from three independent experiments performed in triplicate. ∗p < 0.05 compared with the
control cultures; #p < 0.05 compared with LPS-/6-OHDA treated cultures. FIGURE 5 | Icariin inhibited LPS-/6-OHDA-induced release of pro-inflammatory factors in vitro. Primary midbrain neuron-glia cultures were treated with ICA (0.01
and 0.1 µM) for 30 min followed by LPS (A) or 6-OHDA (B) treatment. Twenty-four h later, the release of TNF-α, IL-1β, and NO in the culture medium was detected
by ELISA and Griess regent, respectively. Results were the mean ± SEM from three independent experiments performed in triplicate. ∗p < 0.05 compared with the
control cultures; #p < 0.05 compared with LPS-/6-OHDA treated cultures. investigate the effects of ICA on the contents of α-synuclein in
dopaminergic neurons. Since LPS and 6-OHDA are two acute
toxins to induce dopaminergic neuronal damage, no significant
α-synuclein accumulation was discerned. Thus, to explore the
effects of ICA on other PD animal models, such as overexpressing
human A53T mutant α-synuclein animal model, warrants further
elucidation. an increased production of pro-inflammatory factors was
shown in 6-OHDA group. Frontiers in Molecular Neuroscience | www.frontiersin.org DISCUSSION The number of SN TH-positive neurons (mm2) was counted
B) and the quantification of SN OX-42-positive microglia number was performed (C). Rat behavior changes were analyzed through rotarod test. The time stayed in
od was recorded (D). Results were the mean ± SEM from six rats (n = 6). ∗p < 0.05 or ∗∗p < 0.01 compared with the control group; #p < 0.05 or ##p < 0.01
ompared with LPS-treated group. nding to its inhibitor, IκB. However, activation of NF-κB
i d th
l
t
l
ti
f
50
d
65 f ll
i
and Ghosh, 2001). Furtherly, selective suppression of NF-κB
ti
ti
tt
t d
i
li
ti
ti
d
t
t d f FIGURE 6 | Icariin attenuated LPS-/6-OHDA-induced NF-κB signaling pathway activation in vitro. Primary neuron-glia cultures (A) and BV2 cell line (B) were treated
with ICA for 30 min and then stimulated with 6-OHDA or LPS for 24 h. The protein expressions of phosphorylated p65 (p-p65) and p65 were investigated by western
blot analysis. The ratio of densitometry values of p-p65 with total p65 was analyzed and normalized to each respective control group. Results were the mean ± SEM
from three independent experiments performed in triplicate. ∗p < 0.05 compared with the control cultures; #p < 0.05 compared with 6-OHDA/LPS-treated cultures. FIGURE 6 | Icariin attenuated LPS-/6-OHDA-induced NF-κB signaling pathway activation in vitro. Primary neuron-glia cultures (A) and BV2 cell line (B) were treated
with ICA for 30 min and then stimulated with 6-OHDA or LPS for 24 h. The protein expressions of phosphorylated p65 (p-p65) and p65 were investigated by western
blot analysis. The ratio of densitometry values of p-p65 with total p65 was analyzed and normalized to each respective control group. Results were the mean ± SEM
from three independent experiments performed in triplicate. ∗p < 0.05 compared with the control cultures; #p < 0.05 compared with 6-OHDA/LPS-treated cultures. FIGURE 7 | Icariin attenuated LPS-Induced DA neuronal loss and microglial activation in vivo. Rats were given a single intranigral injection of LPS into the SN pars
compacta on one side of rat brain followed by daily intragastric administration of ICA for 7 consecutive days. Then, rats were sacrificed and the brains were
collected. Double-label immunofluorescence was performed by staining with anti-TH and anti-OX-42 antibodies (green fluorescence represented DA neurons and
red fluorescence represented microglia) (A). The “ellipse” presented the area of SN. DISCUSSION This exactly suggested that 6-OHDA
directly damaged DA neurons and the injured DA neurons
excreted various neurotoxic factors and these factors further
induced microglia activation and then these activated microglia
produced amounts of pro-inflammatory factors. However, ICA
still ameliorated 6-OHDA-induced microglial pro-inflammatory
factors production. Numerous
studies
have
suggested
that
microglial
pro-inflammatory and cytotoxic factors, such as IL-1β, NO and
TNF-α, were recognized to contribute to DA neurodegeneration
(Choi et al., 2009). Therefore, reduction of neuroinflammatory
factors production might present a promising therapeutic
potential for PD. In LPS-treated neuron-glia co-cultures, a
significant increase of pro-inflammatory factors production in
LPS group and ICA obviously inhibited LPS-induced release
of these factors. Furthermore, in 6-OHDA-treated co-cultures, Promoter regions of pro-inflammatory factors contained
the DNA binding site of NF-κB. In addition, suppression
of NF-κB activation reduced the pro-inflammatory factors
release. Also, NF-κB activation was discerned within PD
patients SN and PD animal model (Hunot et al., 1997; Ghosh
et al., 2007). These results strongly suggest NF-κB was the
key regulator of neuroinflammation. In the resting conditions,
NF-κB dimers (p50 and p65) were sequestered in cytosol via January 2018 | Volume 10 | Article 441 Frontiers in Molecular Neuroscience | www.frontiersin.org 7 Wang et al. Icariin Protects Dopamine Neurons IGURE 6 | Icariin attenuated LPS-/6-OHDA-induced NF-κB signaling pathway activation in vitro. Primary neuron-glia cultures (A) and BV2 cell line (B) were treated
with ICA for 30 min and then stimulated with 6-OHDA or LPS for 24 h. The protein expressions of phosphorylated p65 (p-p65) and p65 were investigated by western
lot analysis. The ratio of densitometry values of p-p65 with total p65 was analyzed and normalized to each respective control group. Results were the mean ± SEM
om three independent experiments performed in triplicate. ∗p < 0.05 compared with the control cultures; #p < 0.05 compared with 6-OHDA/LPS-treated cultures. IGURE 7 | Icariin attenuated LPS-Induced DA neuronal loss and microglial activation in vivo. Rats were given a single intranigral injection of LPS into the SN pars
ompacta on one side of rat brain followed by daily intragastric administration of ICA for 7 consecutive days. Then, rats were sacrificed and the brains were
ollected. Double-label immunofluorescence was performed by staining with anti-TH and anti-OX-42 antibodies (green fluorescence represented DA neurons and
ed fluorescence represented microglia) (A). The “ellipse” presented the area of SN. Scale bar: 200 µm. DISCUSSION Scale bar: 200 µm. The number of SN TH-positive neurons (mm2) was counted
(B) and the quantification of SN OX-42-positive microglia number was performed (C). Rat behavior changes were analyzed through rotarod test. The time stayed in
rod was recorded (D). Results were the mean ± SEM from six rats (n = 6). ∗p < 0.05 or ∗∗p < 0.01 compared with the control group; #p < 0.05 or ##p < 0.01
compared with LPS-treated group. FIGURE 7 | Icariin attenuated LPS-Induced DA neuronal loss and microglial activation in vivo. Rats were given a single intranigral injection of LPS into the SN pars
compacta on one side of rat brain followed by daily intragastric administration of ICA for 7 consecutive days. Then, rats were sacrificed and the brains were
collected. Double-label immunofluorescence was performed by staining with anti-TH and anti-OX-42 antibodies (green fluorescence represented DA neurons and
red fluorescence represented microglia) (A). The “ellipse” presented the area of SN. Scale bar: 200 µm. The number of SN TH-positive neurons (mm2) was counted
(B) and the quantification of SN OX-42-positive microglia number was performed (C). Rat behavior changes were analyzed through rotarod test. The time stayed in
rod was recorded (D). Results were the mean ± SEM from six rats (n = 6). ∗p < 0.05 or ∗∗p < 0.01 compared with the control group; #p < 0.05 or ##p < 0.01
compared with LPS-treated group. binding to its inhibitor, IκB. However, activation of NF-κB
required the nuclear translocation of p50 and p65 following
rapid IκB phosphorylation, degradation, and release (Zhang and Ghosh, 2001). Furtherly, selective suppression of NF-κB
activation attenuated microglia activation and protected from
DA neuronal loss (Ghosh et al., 2007). Furthermore, inhibition January 2018 | Volume 10 | Article 441 Frontiers in Molecular Neuroscience | www.frontiersin.org 8 Icariin Protects Dopamine Neurons Wang et al. FIGURE 8 | Icariin alleviated 6-OHDA-induced DA neuronal impairment and microglial activation in vivo. After daily intragastric treatment of ICA for 14 consecutive
days, rats were sacrificed and the brains sections were immunostained with anti-TH antibody (A). The number of TH-positive neurons in the SN was counted (B). Microglia activation in SN was assessed by immunostaining with anti-OX-42 antibody (C). The densitometry analysis of SN OX-42-positive microglia was analyzed
(D). The “ellipse” presented the area of SN. Scale bar: 200 µm. CONCLUSION So far, no effective therapy is available to stop PD progression. Although, the dopamine agonist or levo-dopa is the standard
treatment for PD, it is frequently associated with a series of
side effects and unsatisfactory outcomes. Thus, to understand
the mechanisms underlying PD process and develop the effective
therapeutic approaches to halt the progression of PD is of
paramount significance. Since neuroinflammation is verified to
an important contributor to the acceleration of PD progression,
this process may be an important breakpoint for the disease
control. Thus, treatment with anti-inflammatory agents is
gaining higher importance on PD therapy. The present study
demonstrated that ICA could afford neuroprotection against This study illustrates that ICA could protect DA neurons against
LPS- and 6-OHDA-induced neurotoxicity both in vivo and
in vitro. These actions might be closely associated with the
inhibition of microglia-mediated neuroinflammation. DISCUSSION In order to verify the effects of 6-OHDA on muscle coordination, the time stayed in rod was tested
beginning 10th day after 6-OHDA injection (E). Results were the mean ± SEM from six rats (n = 6). ∗p < 0.05 or ∗∗p < 0.01 compared with the control group;
#p < 0.05 or ##p < 0.01 compared with LPS-treated group. FIGURE 8 | Icariin alleviated 6-OHDA-induced DA neuronal impairment and microglial activation in vivo. After daily intragastric treatment of ICA for 14 consecutive
days, rats were sacrificed and the brains sections were immunostained with anti-TH antibody (A). The number of TH-positive neurons in the SN was counted (B). Microglia activation in SN was assessed by immunostaining with anti-OX-42 antibody (C). The densitometry analysis of SN OX-42-positive microglia was analyzed
(D). The “ellipse” presented the area of SN. Scale bar: 200 µm. In order to verify the effects of 6-OHDA on muscle coordination, the time stayed in rod was tested
beginning 10th day after 6-OHDA injection (E). Results were the mean ± SEM from six rats (n = 6). ∗p < 0.05 or ∗∗p < 0.01 compared with the control group;
#p < 0.05 or ##p < 0.01 compared with LPS-treated group. LPS-/6-OHDA-induced DA neurotoxicity both in vivo and
in vitro by inhibiting microglial activation (Supplementary
Figure S3). Although this apparently promising perspective
for future application of ICA potential treatment for PD,
most of the findings resulted from experimental animal
models and thus need be rigorously confirmed in the human
studies. of NF-κB activation and the subsequent pro-inflammatory
factors
production
participated
in
the
neuroprotection
against LPS-induced DA neurotoxicity (Xing et al., 2007). In
this
study,
we
employed
two
different
cell
cultures,
primary neuron-glia co-cultures and BV2 cell line, to verify
whether ICA inhibited microglial pro-inflammatory factors
production via the inhibition of NF-κB activation. Here, LPS
and 6-OHDA induced NF-κB activation in these two cell
cultures and ICA alleviated LPS/6-OHDA-induced NF-κB
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782–790. doi: 10.1046/j.1471-4159.2002.00928.x Liu, M., and Bing, G. (2011). Lipopolysaccharide animal models for Parkinson’s
disease. Parkinsons Dis. 2011:327089. doi: 10.4061/2011/327089 Gao, H. M., Zhou, H., Zhang, F., Wilson, B. C., Kam, W., and Hong, J. S. AUTHOR CONTRIBUTIONS FZ conceived and designed all the experiments. G-QW, D-DL,
CH, D-SL, and CZ performed the experiments. FZ, S-YZ, and JL
finished the data analysis. FZ, G-QW, D-DL, and CH wrote and January 2018 | Volume 10 | Article 441 Frontiers in Molecular Neuroscience | www.frontiersin.org 9 Icariin Protects Dopamine Neurons Wang et al. ACKNOWLEDGMENTS The present study was supported by the National Natural
Science Foundation of China (Nos. 81460556 and 81760658),
the foundation for High-level Innovative Talents of Guizhou
Province (No. 20164027), the Guizhou Province Governor
Talent Foundation (No. 201288), the Innovation Research
Group Project of Education Department of Guizhou Province
(No. 2016038), and the foundation for Excellent Young Talents
of Zunyi Medical University (No. 201603). FIGURE S1 | Icariin attenuated dopaminergic neuronal loss and microglia
activation. Effects of Icariin on TH protein expression after LPS (A) and 6-OHDA
(B) treatment were detected. Effects of Icariin on Iba1 protein expression induced
by LPS (C) and 6-OHDA (D) application were measured. FIGURE S1 | Icariin attenuated dopaminergic neuronal loss and microglia
activation. Effects of Icariin on TH protein expression after LPS (A) and 6-OHDA
(B) treatment were detected. Effects of Icariin on Iba1 protein expression induced
by LPS (C) and 6-OHDA (D) application were measured. FIGURE S2 | Icariin ameliorated p65 phosphorylation induced by LPS and
6-OHDA. FIGURE S3 | Icariin reduced dopaminergic neuronal loss and microglia-mediated
inflammation. SUPPLEMENTARY MATERIAL revised the manuscript. All the authors reviewed the manuscript
and approved the submitted manuscript. The Supplementary Material for this article can be found
online
at:
https://www.frontiersin.org/articles/10.3389/fnmol. 2017.00441/full#supplementary-material The Supplementary Material for this article can be found
online
at:
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conducted in the absence of any commercial or financial relationships that could
be construed as a potential conflict of interest. Copyright © 2018 Wang, Li, Huang, Lu, Zhang, Zhou, Liu and Zhang. This
is an open-access article distributed under the terms of the Creative Commons
Attribution License (CC BY). The use, distribution or reproduction in other forums
is permitted, provided the original author(s) or licensor are credited and that the
original publication in this journal is cited, in accordance with accepted academic
practice. No use, distribution or reproduction is permitted which does not comply
with these terms. Zhang, G., and Ghosh, S. (2001). Toll-like receptor-mediated NF-kappaB
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A Generalization of the First Tits Construction
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Axioms
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1. Introduction Let F be a field of characteristic, not 2 or 3. Separable cubic Jordan algebras over F play
an important role in Jordan theory (where separable means that their trace defines a non-
degenerate bilinear form). It is well known that every separable cubic Jordan algebra can
be obtained by either a first or a second Tits construction [1] (IX, Section 39). In particular,
exceptional simple Jordan algebras, also called Albert algebras, are separable cubic Jordan
algebras. The role of Albert algebras in the structure theory of Jordan algebras is similar to
the role of octonion algebras in the structure theory of alternative algebras. Moreover, their
automorphism group is an exceptional algebraic group of type F4, and their cubic norms
have isometry groups of type E6. For some recent developments, see [2–6].ii axioms axioms axioms axioms Thomas Moran 1
and Susanne Pumpluen 2,* Thomas Moran 1
and Susanne Pumpluen 2,* 1
Department of Mathematics and Statistics, University of Ottawa, 585 King Edward Avenue, 1
Department of Mathematics and Statistics, University of Ottawa, 585 King Edward Avenue,
Ottawa, ON K1N 7N5, Canada; tmora083@uottawa.ca
2
School of Mathematical Sciences, University of Nottingham, University Park, Nottingham NG7 2RD, UK
*
Correspondence: susanne.pumpluen@nottingham.ac.uk *
Correspondence: susanne.pumpluen@nottingham.ac.uk Abstract: Let F be a field of characteristic, not 2 or 3. The first Tits construction is a well-known
tripling process to construct separable cubic Jordan algebras, especially Albert algebras. We generalize
the first Tits construction by choosing the scalar employed in the tripling process outside of the base
field. This yields a new family of non-associative unital algebras which carry a cubic map, and maps
that can be viewed as generalized adjoint and generalized trace maps. These maps display properties
often similar to the ones in the classical setup. In particular, the cubic norm map permits some kind
of weak Jordan composition law. Keywords: non-associative algebras; first Tits construction; Jordan algebras; generalized cubic
algebras MSC: 17A35 Citation: Moran, T.; Pumpluen, S. A Generalization of the First Tits
Construction. Axioms 2024, 13, 299. https://doi.org/10.3390/
axioms13050299 Citation: Moran, T.; Pumpluen, S. A Generalization of the First Tits
Construction. Axioms 2024, 13, 299. https://doi.org/10.3390/
axioms13050299 In this paper, we canonically generalize the first Tits construction J(A, µ). The first
Tits construction starts with a separable associative cubic algebra A and uses a scalar
µ ∈F× in its definition. Our construction also starts with A and employs the same algebra
multiplication as that used for the classical first Tits construction, but now allows also
µ ∈A×. Academic Editors: Dana Piciu, Murat
Tosun and Cristina Flaut Academic Editors: Dana Piciu, Murat
Tosun and Cristina Flaut Received: 26 March 2024
Revised: 22 April 2024
Accepted: 24 April 2024
Published: 29 April 2024 We obtain a new class of non-associative unital algebras which we again denote by
J(A, µ). They carry a cubic map N : J(A, µ) →A that generalizes the classical norm, a map
T : J(A, µ) →F that generalizes the classical trace, and a map ♯: J(A, µ) →J(A, µ) that
generalizes the classical adjoint of a Jordan algebra. Starting with a cubic étale algebra E,
the algebras obtained this way can be viewed as generalizations of special nine-dimensional
Jordan algebras. Starting with a central simple algebra A of degree three, the algebras
obtained this way can be viewed as generalizations of Albert algebras. Copyright: © 2024 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access article
distributed
under
the
terms
and
conditions of the Creative Commons
Attribution (CC BY) license (https://
creativecommons.org/licenses/by/
4.0/). Cubic Jordan algebras carry a cubic norm that satisfies some Jordan composition law
involving the U-operator. Curiously, the cubic map N : J(A, µ) →A of our generalized
construction still allows some sort of generalized weak Jordan composition law, and some
of the known identities of cubic Jordan algebras involving a generalized trace map and
adjoint can be at least partially recovered. https://www.mdpi.com/journal/axioms Axioms 2024, 13, 299. https://doi.org/10.3390/axioms13050299 Axioms 2024, 13, 299 2 of 18 We point out that there already exists a canonical non-associative generalization of
associative central simple cyclic algebras of degree three, involving skew polynomials: the
non-associative cyclic algebras (K/F, σ, µ), where K/F is a cubic separable field extension
or a C3-Galois algebra, and µ ∈K \ F, were first studied over finite fields [7], and then later
over arbitrary base fields and rings [8–11] and applied in space-time block coding [12,13]. Their “norm maps” reflect some of the properties of the non-associative cyclic algebra
(K/F, σ, µ) and are isometric to the “norm maps” N : J(K, µ) →K of the generalized Tits
construction J(K, µ). We show that these algebras are not related, however. Some obvious questions like if and when the algebras obtained through a generalized
first Tits construction are division algebras seem to be very difficult to answer. We will not
address these here and only discuss some straightforward implications. The contents of the paper are as follows: After introducing the terminology in Section 2
and reviewing the classical first Tits construction, we generalize the classical construction in
Section 3 and obtain unital non-associative algebras J(A, µ), where µ ∈A×. The algebras
J(A, µ) carry maps that satisfy some of the same identities we know from the classical setup. If A ̸= F, then Nucl(J(A, µ)) = Nucr(J(A, µ)) = F for all µ ∈A×. If A is a central simple
associative division algebra of degree three, then Nucm(J(A, µ)) = F (Theorems 3 and 4). Some necessary conditions on when J(A, µ) is a division algebra are listed in Theorem 6:
If J(A, µ) is a division algebra, then µ /∈NA(A×) and A must be a division algebra. 2. Preliminaries 2.1. Non-Associative Algebras If
N is anisotropic, then A is a division algebra and µ /∈NA(A×). If there exist elements
0 ̸= x = (x0, x1, x2) ∈J(A, µ) such that x♯= 0, we show that either A must have zero
divisors, or A is a division algebra and µ ∈NA(A×). Moreover, if A is a division algebra
over F and 1, µ, and µ2 are linearly independent over F, then N must be anisotropic. We investigate in which special cases several classical identities carry over in Section 4. In Section 5, we compare the algebras obtained from a generalized first Tits construc-
tion starting with a cyclic field extension with the algebras (K/F, σ, µ)+, where (K/F, σ, µ)
is a non-associative cyclic algebra over F of degree three. If µ ∈F×, then it is well known
that these algebras are isomorphic. For µ ∈K \ F, they are not isomorphic, but their norms
are isometric. This construction was briefly investigated for the first time in Andrew Steele’s PhD
thesis [11]. We improved and corrected most of their results, and added many new ones. 2.2. Cubic Maps Let V and W be two finite-dimensional vector spaces over F. A trilinear map
M : V × V × V →W is called symmetric if M(x, y, z) is invariant under all permuta-
tions of its variables. A map M : V →W is called a cubic map over F, if M(ax) = a3M(x)
for all a ∈F, x ∈V, and if the associated map M : V × V × V →W defined by M(x, y, z) = 1
6(M(x + y + z) −M(x + y) −M(x + z) −M(y + z) + M(x) + M(y) + M(z)) is a (symmetric) F-trilinear map. We canonically identify symmetric trilinear maps
M : V × V × V →W with the corresponding cubic maps M : V →W. A cubic map M : V →F is called a cubic form and a trilinear map M : V × V × V →F
a trilinear form over F. A cubic map is called non-degenerate if v = 0 is the only vector such
that M(v, v2, , v3) = 0 for all vi ∈V. A cubic map M is called anisotropic if M(x) = 0 implies
that x = 0; otherwise, it is isotropic. For a non-associative algebra A over F together with a
non-degenerate cubic form M : A →F, M is called multiplicative, if M(vw) = M(v)M(w)
for all v, w ∈A. The following easy observation is included for the sake of the reader: Lemma 1. Let A be an associative algebra over F such that A+ is a division algebra. Then, A is a
divison algebra. Proof. Suppose that xy = 0 for some x, y ∈A. Then, (yx) · (yx) = y(xy)x = 0, and since
A+ is a division algebra, we obtain yx = 0. This implies that x · y = 1
2(xy + yx) = 0. Using
again that A+ is a division algebra, we deduce that x = 0 or y = 0. A non-associative cyclic algebra (K/F, σ, c) of degree m over F is an m-dimensional
K-vector space (K/F, σ, c) = K ⊕Kz ⊕Kz2 ⊕· · · ⊕Kzm−1, with multiplication given by
the relations zm = c, zl = σ(l)z for all l ∈K. The algebra (K/F, σ, c) is a unital F-central
algebra and associative if and only if c ∈F×. The algebra (K/F, σ, c) is a division algebra for
all c ∈F×, such that cs ̸∈NK/F(K×) for all s which are prime divisors of m, 1 ≤s ≤m −1. If c ∈K \ F, then (K/F, σ, c) is a division algebra for all c ∈K \ F such that 1, c, . . . , cm−1
are linearly independent over F [10]. If m is prime, then (K/F, σ, c) is a division algebra for
all c ∈K \ F. 2.1. Non-Associative Algebras 2.1. Non-Associative Algebras Throughout the paper, F is a field of characteristic, not 2 or 3. An algebra over F is
an F-vector space A together with an F-bilinear map A × A →A, (x, y) 7→x · y, denoted
simply by juxtaposition of xy, the multiplication of A. An algebra A is unital if there exists
an element in A, denoted by 1, such that 1x = x1 = x for all x ∈A. A non-associative algebra A ̸= 0 is called a division algebra if for any a ∈A, a ̸= 0, the
left multiplication with a, La(x) = ax, and the right multiplication with a, Ra(x) = xa, are
bijective. We will only consider unital finite-dimensional algebras, which implies that A
is a division algebra if and only if A has no zero divisors. Define [x, y, z] = (xy)z −x(yz). The subalgebras Nucl(A) = {x ∈A | [x, A, A] = 0}, Nucm(A) = {x ∈A | [A, x, A] = 0},
and Nucr(A) = {x ∈A | [A, A, x] = 0} of A are called the left, middle, and right nuclei
of A, Nuc(A) = {x ∈A | [x, A, A] = [A, x, A] = [A, A, x] = 0} is called the nucleus of A. The center of A is defined as C(A) = {x ∈A | xy = yx for all y ∈A} ∩Nuc(A) [14]. All
algebras we consider will be unital. A non-associative unital algebra J is called a cubic Jordan algebra over F, if J is a Jordan
algebra, i.e., xy = yx and (x2y)x = x2(yx) for all x, y ∈J, and if its generic minimal
polynomial has degree three. Given an associative algebra A over F, its multiplication
written simply by juxtaposition, we can define a Jordan algebra over F denoted by A+ on
the F-vector space underlying the algebra A via x · y = 1
2(xy + yx). A Jordan algebra J is
called special, if it is a subalgebra of A+ for some associative algebra A over F; otherwise, J
is exceptional. An exceptional Jordan algebra is called an Albert algebra. Axioms 2024, 13, 299 3 of 18 3 of 18 2.3. Associative Cubic Algebras (cf. for Instance [1,15] (Chapter C.4)) Let A be a unital separable associative algebra
over F with cubic norm NA : A →F. Let x, y ∈A and let Z be an indeterminate. The
linearization NA(x + Zy) = NA(x) + ZNA(x; y) + Z2NA(y; x) + Z3NA(y) of NA, i.e., the
coefficient of Z in the above expansion, is quadratic in x and linear in y, and is denoted by
NA(x; y). Indeed, we have NA(x + Zx) = NA((1 + Z)x) = (1 + Z)3NA(x) = (1 + 3Z + 3Z2 + Z3)NA(x), NA(x + Zx) = NA((1 + Z)x) = (1 + Z)3NA(x) = (1 + 3Z + 3Z2 + Z3)NA(x),
so NA(1; 1) = 3NA(1) = 3. Linearize NA(x; y) to obtain a symmetric trilinear map N
A × A × A →F, NA(x, y, z) = NA(x + z; y) −NA(x; y) −NA(z; y). We define NA(x + Zx)
NA((1 + Z)x)
(1 + Z) NA(x)
(1 + 3Z + 3Z + Z )NA(x),
so NA(1; 1) = 3NA(1) = 3. Linearize NA(x; y) to obtain a symmetric trilinear map NA
A × A × A →F, NA(x, y, z) = NA(x + z; y) −NA(x; y) −NA(z; y). We define so NA(1; 1) = 3NA(1) = 3. Linearize NA(x; y) to obtain a symmetric trilinear map NA :
A × A × A →F, NA(x, y, z) = NA(x + z; y) −NA(x; y) −NA(z; y). We define TA(x) = NA(1; x),
TA(x, y) = TA(x)TA(y) −NA(1, x, y),
SA(x) = NA(x; 1),
x♯= x2 −TA(x)x + SA(x)1, TA(x)
NA(1; x),
TA(x, y) = TA(x)TA(y) −NA(1, x, y SA(x) = NA(x; 1), x♯= x2 −TA(x)x + SA(x)1, Axioms 2024, 13, 299 4 of 18 for all x, y ∈A. We call x♯the adjoint of x, and define the sharp map ♯: A × A →A,
x♯y
=
(x + y)♯−x♯−y♯as the linearization of the adjoint. We observe that
TA(1) = SA(1) = 3. Since the trilinear map NA(x, y, z) is symmetric, TA(x, y) = TA(y, x)
(1) (1) for all x, y ∈A. y
The algebra A is called an (associative) cubic algebra (respectively, called an algebra of
degree three in [15] (p. for all x, y ∈A. Notice that for all x, y ∈A. Notice that TA(x♯) = TA(x♯, 1) = NA(x; 1) = SA(x),
(8)
using (3) and (4). We also have SA(x) = TA(x♯) = TA(x2) −TA(x)2 + 3SA(x), so
2SA(x) = TA(x)2 −TA(x2). (9) (8) (9) A straightforward calculation shows that 2.3. Associative Cubic Algebras 490)), if the following three axioms are satisfied for all x, y ∈A: x3 −TA(x)x2 + SA(x)x −NA(x)1 = 0 (degree 3 identity),
(2)
TA(x♯, y) = NA(x; y) (trace-sharp formula),
(3)
TA(x, y) = TA(xy) (trace-product formula). (4) (2)
(3)
(4) (4) For the rest of Section 2.3, we assume that A is a separable cubic algebra over F with
cubic norm NA : A →F. Note that (2) is equivalent to the condition that xx♯= x♯x = NA(x)1,
(5) (5) and combining (1) with (4) gives and combining (1) with (4) gives TA(xy) = TA(yx). (6) (6) An element x ∈A is invertible if and only if NA(x) ̸= 0. The inverse of x ∈A is
x−1 = NA(x)−1x♯. It can be shown that (xy)♯= y♯x♯
(7) (xy)♯= y♯x♯ (7) 2.4. The First Tits Construction Let A be a separable cubic associative algebra over F with norm NA, trace TA and
adjoint map ♯. Let µ ∈F× and define the F-vector space J = J(A, µ) = A0 ⊕A1 ⊕A2,
where Ai = A for i = 0, 1, 2. Then, J(A, µ) together with the multiplication (x0, x1, x2)(y0, y1, y2)
= (x0 · y0 + x1y2 + y1x2, x0y1 + y0x1 + µ−1(x2 × y2), x2y0 + y2x0 + µ(x1 × y1)) = (x0 · y0 + x1y2 + y1x2, x0y1 + y0x1 + µ−1(x2 × y2), x2y0 + y2x0 + µ(x1 × y1)) becomes a separable cubic Jordan algebra over F. J(A, µ) is called a first Tits construction. A+ is a subalgebra of J(A, µ) by canonically identifying it with A0. If A is a cubic etale
algebra, then J(A, µ) ∼= D+ for with D an associative cyclic algebra D of degree three. If A
is a central simple algebra of degree three then J(A, µ) is an Albert algebra. becomes a separable cubic Jordan algebra over F. J(A, µ) is called a first Tits construction. A+ is a subalgebra of J(A, µ) by canonically identifying it with A0. If A is a cubic etale
algebra, then J(A, µ) ∼= D+ for with D an associative cyclic algebra D of degree three. If A
is a central simple algebra of degree three then J(A, µ) is an Albert algebra.i p
g
g
J(
µ)
g
We define the cubic norm form N : J(A, µ) →F, the trace T : J(A, µ) →F, and the
quadratic map ♯: J(A, µ) →J(A, µ) (the adjoint) by N((x0, x1, x2)) = NA(x0) + µNA(x1) + µ−1NA(x2) −TA(x0x1x2)
T((x0, x1, x2)) = TA(x0),
(x0, x1, x2)♯= (x♯
0 −x1x2, µ−1x♯
2 −x0x1, µx♯
1 −x2x0). The intermediate quadratic form S : J(A, µ) →F, S(x0) = N(x; 1), linearizes to a map
S : J(A, µ) × J(A, µ) →F. The sharp map ♯: J(A, µ) × J(A, µ) →J(A, µ) is the linearization
x♯y = (x + y)♯−x♯−y♯of the adjoint. Remark 1. (N, ♯, 1) is a cubic form with adjoint and base point (1, 0, 0) on J(A, µ) which makes
J(A, µ) into a cubic Jordan algebra J(N, ♯, 1). A straightforward calculation shows that x♯y = 2(x · y) −TA(x)y −TA(y)x + (TA(x)TA(y) −TA(x · y))1
(10) (10) x♯y
2(x y)
TA(x)y
TA(y)x + (TA(x)TA(y)
TA(x y))1
(10)
for all x, y ∈A. In particular, for all x, y ∈A. In particular, for all x, y ∈A. In particular, x · y = 1
2(xy + yx) = 1
2(x♯y + TA(x)y + TA(y)x −(TA(x)TA(y) −TA(x, y))1) for all x, y ∈A and by employing (5) and the adjoint identity in A, we see that the norm
NA satisfies the relation for all x, y ∈A and by employing (5) and the adjoint identity in A, we see that the norm
NA satisfies the relation
♯
2 NA(x♯) = NA(x)2. (11) (11) A+ satisfies the adjoint identity (x♯)♯= NA(x)x
(12) (12) for all x ∈A. By (11), we have NA(x♯)1 = x♯(x♯)♯= x♯NA(x)x = NA(x)21. For x, y ∈A,
we define the operators Ux : A →A, Ux(y) = TA(x, y)x −x♯♯y and Ux,y : A →A,
Ux,y(z) = Ux+y(z) −Ux(z) −Uy(z). Then, we have x · y = 1
2Ux,y(1) for all x, y ∈A and xyx = TA(x, y)x −x♯♯y,
(13) (13) Axioms 2024, 13, 299 5 of 18 Hence, Ux(y) = xyx for all x, y ∈A×. D fi Define
x × y = 1
2(x♯y),
and
¯x = 1
2(TA(x)1 −x) Define
x × y = 1
2(x♯y),
and
¯x = 1
2(TA(x)1 −x) x × y = 1
2(x♯y),
¯x = 1
2(TA(x)1 −x) and and ¯x = 1
2(TA(x)1 −x) ¯x = 1
2(TA(x)1 −x) for x, y ∈A. (Note that some literature does not include the factor 1
2 in the definition of ×,
e.g., [16]). By (10), we then have x × y = x · y −1
2TA(x)y −1
2TA(y)x + 1
2(TA(x)TA(y) −TA(x · y))1 for all x, y ∈A; hence, for all x, y ∈A; hence, x × x = x2 −TA(x)x + 1
2(TA(x)2 −TA(x2)) = x♯,
(14) (14) using (9). 2.4. The First Tits Construction 2.4. The First Tits Construction For every x = (x0, x1, x2) ∈J(A, µ), we have
x♯1 = T(x)1 −x and x♯y = (x + y)♯−x♯−
x♯1 = T(x)1 −x and ♯y
( + y)
x♯1 = T(x)1 −x and x♯y = (x0♯y0 −x1y2 −y1x2, µ−1(x2♯y2) −x0y1 −y0x1, µ(x1♯y1) −x2y0 −y2x0) for all x = (x0, x1, x2), y = (y0, y1, y2) ∈J(A, µ). We define the trace symmetric bilinear
form T : J(A, µ) × J(A, µ) →F, T(x, y) = TA(x0y0) + TA(x1y2) + TA(x2y1). Then, for all
x, y ∈J(A, µ), we have for all x = (x0, x1, x2), y = (y0, y1, y2) ∈J(A, µ). We define the trace symmetric bilinear
form T : J(A, µ) × J(A, µ) →F, T(x, y) = TA(x0y0) + TA(x1y2) + TA(x2y1). Then, for all
x, y ∈J(A, µ), we have T(x, y) = T(xy). (15) (15) Remark 1. (N, ♯, 1) is a cubic form with adjoint and base point (1, 0, 0) on J(A, µ) which makes
J(A, µ) into a cubic Jordan algebra J(N, ♯, 1). Axioms 2024, 13, 299 6 of 18 3. The Generalized First Tits Construction J(A, µ) 3. The Generalized First Tits Construction J(A, µ) (18) (16)
(17)
(18) (17) (18) Put ♯: J(A, µ) × J(A, µ) →J(A, µ), x♯y = (x + y)♯−x♯−y♯; then, it can be verified by a
direct computation that Put ♯: J(A, µ) × J(A, µ) →J(A, µ), x♯y = (x + y)♯−x♯−y♯; then, it can be verified by a
direct computation that x♯y = (x0♯y0 −x1y2 −y1x2, µ−1(x2♯y2) −x0y1 −y0x1, µ(x1♯y1) −x2y0 −y2x0) x♯y = (x0♯y0 −x1y2 −y1x2, µ−1(x2♯y2) −x0y1 −y0x1, µ(x1♯y1) −x2y0 −y2x0) x♯y = (x0♯y0 −x1y2 −y1x2, µ−1(x2♯y2) −x0y1 −y0x1, µ(x1♯y1) −x2y0 −y2x0) for all x = (x0, x1, x2), y = (y0, y1, y2) ∈J(A, µ). We also define a symmetric F-bilinear
form T : J(A, µ) × J(A, µ) →F via T(x, y) = TA(x0y0) + TA(x1y2) + TA(x2y1). for all x = (x0, x1, x2), y = (y0, y1, y2) ∈J(A, µ). We also define a symmetric F-bilinear
form T : J(A, µ) × J(A, µ) →F via T(x, y) = TA(x0y0) + TA(x1y2) + TA(x2y1). The quadratic form SA : A →F, SA(x0) = NA(x; 1), linearizes to SA : A × A →F,
and we have SA(x0) = TA(x♯
0) for all x0 ∈A. We extend SA to J(A, µ) by defining the
quadratic map S : J(A, a) →A, S(x) = N(x; 1). As in the classical case, we obtain: Theorem 1. (i)
[11] (Proposition 5.2.2) For all x ∈J(A, µ), we have S(x) = T(x♯) and the linearization
S : J(A, µ) × J(A, µ) →A satisfies (i)
[11] (Proposition 5.2.2) For all x ∈J(A, µ), we have S(x) = T(x♯) and the linearization
S : J(A, µ) × J(A, µ) →A satisfies S(x, y) = T(x)T(y) −T(x, y) for all y ∈J(A, µ). f
y
(
µ)
(ii)
[11] (Lemma 5.2.3) For all x, y ∈J(A, µ), we have T(x, Y) = T(xy). (iii)
[11] (Lemma 5.2.3) For all x ∈J(A, µ), we have x♯1 = T(x)1 −x. 3. The Generalized First Tits Construction J(A, µ) Let A be a separable associative cubic algebra over F with norm NA, trace TA and
adjoint map ♯.i We now generalize the first Tits construction by choosing the scalar µ ∈A×. Then,
the F-vector space J(A, µ) = A0 ⊕A1 ⊕A2, where again Ai = A for i = 0, 1, 2, becomes a
unital non-associative algebra over F together with the multiplication given by (x0, x1, x2)(y0, y1, y2)
= (x0 · y0 + x1y2 + y1x2, x0y1 + y0x1 + µ−1(x2 × y2), x2y0 + y2x0 + µ(x1 × y1)). (x0, x1, x2)(y0, y1, y2) = (x0 · y0 + x1y2 + y1x2, x0y1 + y0x1 + µ−1(x2 × y2), x2y0 + y2x0 + µ(x1 × y1)). The algebra J(A, µ) is called a generalized first Tits construction. The special Jordan algebra
A+ is a subalgebra of J(A, µ) by canonically identifying it with A0. If µ ∈F×, then J(A, µ)
is the first Tits construction from Section 2.4. The algebra J(A, µ) is called a generalized first Tits construction. The special Jordan algebra
A+ is a subalgebra of J(A, µ) by canonically identifying it with A0. If µ ∈F×, then J(A, µ)
is the first Tits construction from Section 2.4. i
We define a (generalized) cubic norm map N : J(A, µ) →A, a (generalized) trace T :
J(A, µ) →F, and a quadratic map ♯: J(A, µ) →J(A, µ) via N((x0, x1, x2)) = NA(x0) + µNA(x1) + µ−1NA(x2) −TA(x0x1x2)
(16)
T((x0, x1, x2)) = TA(x0),
(17)
(x0, x1, x2)♯= (x♯
0 −x1x2, µ−1x♯
2 −x0x1, µx♯
1 −x2x0). (18)
Put ♯: J(A, µ) × J(A, µ) →J(A, µ), x♯y = (x + y)♯−x♯−y♯; then, it can be verified by a N((x0, x1, x2)) = NA(x0) + µNA(x1) + µ−1NA(x2) −TA(x0x1x2)
(16)
T((x0, x1, x2)) = TA(x0),
(17)
(x0, x1, x2)♯= (x♯
0 −x1x2, µ−1x♯
2 −x0x1, µx♯
1 −x2x0). Proof. Since we have
T (1)
3
b
i
T(
)
T (
)
T (
)
T (
)
T(
) y
y
y
y
y
TA(1) = 3 we obtain T(xy) = TA(x0y0) + TA(x1y2) + TA(x2y1) = T(x ( )
( y)
(
y )
(
y )
(
y )
(
y)
(iii)
Let x = (x0, x1, x2) ∈J(A, µ). By (10), we have x0♯1 = TA(x0)1 −x0. Thus, x♯1 =
(x0♯1, −x1, −x2) = T(x)1 −x. y
y
y
y
y
(iii)
Let x = (x0, x1, x2) ∈J(A, µ). By (10), we have x0♯1 = TA(x0)1 −x0. Thus, x♯1 =
(x0♯1, −x1, −x2) = T(x)1 −x. Theorem 2. Let µ ∈A×, and let x, y ∈J(A, µ). Then, Theorem 2. Let µ ∈A×, and let x, y ∈J(A, µ). Then, Theorem 2. Let µ ∈A×, and let x, y ∈J(A, µ). Then, (i)
x♯= x2 −T(x)x + S(x)1, (i)
x♯= x2 −T(x)x + S(x)1, ( )
(ii)
S(x) = T(x♯), ( )
(ii)
S(x) = T(x♯), (ii)
S(x)
T(x ),
(iii)
T(x × y) = 1
2(T(x)T(y) −T(xy)). Note that these are relations that also hold for a cubic form with adjoint and base point
(N, ♯, 1) [15,17]. Proof. Let x = (x0, x1, x2), y = (y0, y1, y2) ∈J(A, µ). Proof. Let x = (x0, x1, x2), y = (y0, y1, y2) ∈J(A, µ). (i)
We have that x2 −T(x)x + S(x)1 = (x0, x1, x2)2 −TA(x0)(x0, x1, x2) + (SA(x0)1 −
TA(x1x2)1, 0, 0)
=
(x2
0 −TA(x0)x0 + SA(x0)1 + 2x1x2 −TA(x1x2)1,
µ−1x♯
2 + 2x0x1 −TA(x0)x1, µx♯
1 + 2x2x0 −TA(x0)x2) = (x♯
0 −x1x2, µ−1x♯
2 −x0x1, µx♯
1 −
x2x0) = x♯. 2 0)
(ii)
As for the classical construction, T(x♯) = TA(x♯
0 −x1x2) = TA(x♯
0) −TA(x1x2) = SA(x0) −TA(x1x2) = S(x). (iii)
Since x × y = 1
2(x♯y) = 1
2(x0♯y0 −x1y2 −y1x2, µ−1(x2♯y2) −x0y1 −y0x1, µ(x1♯y1) −
x2y0 −y2x0), we obtain T(x × y)
=
TA(x0 × y0) −1
2TA(x1y2) −1
2TA(y1x2)
= 1
2(TA(x0)TA(y0) −TA(x0y0) −TA(x1y2) −TA(y1x2)) = 1
2(T(x)T(y) −T(xy)). Define operators Ux, Ux,y : J(A, µ) →J(A, µ) via Define operators Ux, Ux,y : J(A, µ) →J(A, µ) via Ux(y) = T(x, y)x −x♯♯y,
Ux,y(z) = Ux+y(z) −Ux(z) −Uy(z) for all z ∈J(A, µ). for all z ∈J(A, µ). Proposition 1. (cf. Proof. (i)
Let x = (x0, x1, x2), y = (y0, y1, y2) ∈J(A, a), then
N(x; y) =NA(x0; y0) + µNA(x1; y1) + µ−1NA(x2; y2)
−TA(x0x1y2) −TA(x0y1x2) −TA(y0x1x2), and since S(x) = N(x; 1) we obtain S(x) = NA(x0; 1) −TA(x1x2) = SA(x0) −
TA(x1x2). On the other hand, and since S(x) = N(x; 1) we obtain S(x) = NA(x0; 1) −TA(x1x2) = SA(x0) −
TA(x1x2). On the other hand, T(x♯) = TA(x♯
0 −x1x2) = TA(x♯
0) −TA(x1x2) = SA(x0) −TA(x1x2) = S(x). We have SA(x0, y0) = TA(x0)TA(y0) −TA(x0, y0) for all x0, y0 ∈A. Linearizing
S gives S(x, y) = SA(x0, y0) −TA(x1y2) −TA(y1x2) = TA(x0)TA(y0) −TA(x0, y0) − We have SA(x0, y0) = TA(x0)TA(y0) −TA(x0, y0) for all x0, y0 ∈A. Linearizing
S gives S(x, y) = SA(x0, y0) −TA(x1y2) −TA(y1x2) = TA(x0)TA(y0) −TA(x0, y0) − We have SA(x0, y0) = TA(x0)TA(y0) −TA(x0, y0) for all x0, y0 ∈A. Linearizing
S gives S(x, y) = SA(x0, y0) −TA(x1y2) −TA(y1x2) = TA(x0)TA(y0) −TA(x0, y0) − Axioms 2024, 13, 299 7 of 18 7 of 18 TA(x1y2) −TA(y1x2) = T(x)T(y) −T(x, y) using the definitions of TA(xi) and
TA(xi, yi) and the fact that TA(x0, y0) = TA(x0y0). TA(x1y2) −TA(y1x2) = T(x)T(y) −T(x, y) using the definitions of TA(xi) and
T (
)
d h f
h
T (
)
T (
) TA(x1y2) −TA(y1x2) = T(x)T(y) −T(x, y) using the definitions of TA(xi) and
TA(xi, yi) and the fact that TA(x0, y0) = TA(x0y0). TA(x1y2)
TA(y1x2)
T(x)T(y)
T(x, y) using the definitions of TA(xi) and
TA(xi, yi) and the fact that TA(x0, y0) = TA(x0y0). (
y )
(
y )
(
y )
Let x = (x0, x1, x2), y = (y0, y1, y2) ∈J(A, µ). Since TA is linear, we obtain (
y )
(
y )
(
y )
(ii)
Let x = (x0, x1, x2), y = (y0, y1, y2) ∈J(A, µ). Since TA is linear, we obtain T(xy) = TA(x0 · y0) + TA(x1y2) + TA(y1x2)
= 1
2(TA(x0y0) + TA(y0x0)) + 1
2(TA(x1y2)TA(1) −TA(x1y2))
+ 1
2(TA(y1x2)TA(1) −TA(y1x2)). By (6) we obtain TA(x0y0) = TA(y0x0) and TA(y1x2) = TA(x2y1). Since we have
TA(1) = 3 we obtain T(xy) = TA(x0y0) + TA(x1y2) + TA(x2y1) = T(x, y). By (6) we obtain TA(x0y0) = TA(y0x0) and TA(y1x2) = TA(x2y1). Proof. 2(x0 · y0) + TA(x1y2) −x1y2 + TA(y1x2) −y1x2 = 2(x0 · y0) + 2 x1y2 + 2 y1x2. This is equal to 2 times the first component of xy. Now, we look at the second compon
f
d U
(1) th
d
t f U
(1)
T( ) + T( ) + ♯
T( ♯)1 2(x0 y0) + TA(x1y2)
x1y2 + TA(y1x2)
y1x2 = 2(x0 y0) + 2 x1y2 + 2 y1x2. This is equal to 2 times the first component of xy. Now, we look at the second component
of xy and Ux,y(1): the second component of Ux,y(1) = T(x)y + T(y)x + x♯y −T(x♯y)1 is This is equal to 2 times the first component of xy. Now, we look at the second component
of xy and Ux,y(1): the second component of Ux,y(1) = T(x)y + T(y)x + x♯y −T(x♯y)1 is TA(x0)y1 + TA(y0)x1 + µ−1(x2♯y2) −x0y1 −y0x1 = 2x0y1 + 2y0x1 + 2µ−1(x2 × y2). This is precisely equal to 2 times the second component of xy. Finally, the third component
of 2xy and Ux,y(1) are equal, too. The third component of Ux,y(1) = T(x)y + T(y)x + x♯y −
T(x♯y)1 is TA(x0)y2 + TA(y0)x2 + µ(x1♯y1) −x2y0 −y2x0 = 2x2y0 + 2y2x0 + 2µ(x1 × y1). This is precisely equal to 2 times the third component of xy. TA(x0)y2 + TA(y0)x2 + µ(x1♯y1) −x2y0 −y2x0 = 2x2y0 + 2y2x0 + 2µ(x1 × y1). This is precisely equal to 2 times the third component of xy. This is precisely equal to 2 times the third component of xy. Theorem 3. If µ ∈A× and A ̸= F, then Nucl(J(A, µ)) = Nucr(J(A, µ)) = F. Proof. Let (x0, x1, x2) ∈Nucl(J(A, µ)), then Theorem 3. If µ ∈A× and A ̸= F, then Nucl(J(A, µ)) = Nucr(J(A, µ)) = F. Theorem 3. If µ ∈A× and A ̸= F, then Nucl(J(A, µ)) = Nucr(J(A, µ)) = F. P
f L
(
)
N
(J(A
))
h Theorem 3. If µ ∈A× and A ̸= F, then Nucl(J(A, µ)) = Nucr(J(A, µ)) = F. Proof. Proof. [11] (Proposition 5.2.4) without factor 1
2 because of slightly different terminol-
ogy) For all x, y ∈J(A, µ), we have xy = 1
2Ux,y(1). This generalizes the classical setup. Our proof is different to the one of [11] (Proposi-
tion 5.2.4), which also proves this result without the factor 1
2 because of the slightly different
definition of the multiplication. Axioms 2024, 13, 299 8 of 18 8 of 18 Proof. We find that Ux(1) = T(x, 1)x −x♯♯1 = T(x)x −T(x♯)1 + x♯; in the second equality,
we have used Theorem 1 and the fact that T(x, 1) = T(x) by Theorem 1. So Proof. We find that Ux(1) = T(x, 1)x −x♯♯1 = T(x)x −T(x♯)1 + x♯; in the second equality,
we have used Theorem 1 and the fact that T(x, 1) = T(x) by Theorem 1. So Proof. We find that Ux(1) = T(x, 1)x −x♯♯1 = T(x)x −T(x♯)1 + x♯; in the second equality,
we have used Theorem 1 and the fact that T(x, 1) = T(x) by Theorem 1. So Ux,y(1) = Ux+y(1) −Ux(1) −Uy(1)
= T(x + y)(x + y) −T((x + y)♯)1 + (x + y)♯−T(x)x + T(x♯)1 −x♯
−T(y)y + T(y♯)1 −y♯
= T(x)y + T(y)x + x♯y −T(x♯y)1. We look at the first component of xy and Ux,y(1): let x = (x0, x1, x2) and y = (y0, y1, y2). Then, the first component of Ux,y(1) = T(x)y + T(y)x + x♯y −T(x♯y)1 is We look at the first component of xy and Ux,y(1): let x = (x0, x1, x2) and y = (y0, y1, y2). Then, the first component of Ux,y(1) = T(x)y + T(y)x + x♯y −T(x♯y)1 is TA(x0)y0 + TA(y0)x0 + x0♯y0 −x1y2 −y1x2 −TA(x0♯y0 −x1y2 −y1x2)1. (19)i TA(x0)y0 + TA(y0)x0 + x0♯y0 −x1y2 −y1x2 −TA(x0♯y0 −x1y2 −y1x2)1. (19)
Using (10), the linearity of TA and (6), we obtain—after some simplification—that (19) is
equal to TA(x0)y0 + TA(y0)x0 + x0♯y0 −x1y2 −y1x2 −TA(x0♯y0 −x1y2 −y1x2)1. (19)
Using (10), the linearity of TA and (6), we obtain—after some simplification—that (19) is
equal to TA(x0)y0 + TA(y0)x0 + x0♯y0 −x1y2 −y1x2 −TA(x0♯y0 −x1y2 −y1x2)1. (19)
Using (10), the linearity of TA and (6), we obtain—after some simplification—that (19) is
equal to (19) 2(x0 · y0) + TA(x1y2) −x1y2 + TA(y1x2) −y1x2 = 2(x0 · y0) + 2 x1y2 + 2 y1x2. Proof. Let (x0, x1, x2) ∈Nucl(J(A, µ)), then (x0, x1, x2)[(0, 1, 0)(0, 0, 1)] = [(x0, x1, x2)(0, 1, 0)](0, 0, 1) (x0, x1, x2)[(0, 1, 0)(0, 0, 1)] = [(x0, x1, x2)(0, 1, 0)](0, 0, 1) implies that (x0, x1, x2) = (x0, µ−1(µx1), x2), that means x0 = x0 and x2 = x2. Using the definition of x0, we obtain x0 = 1
4(TA(x0) + x0),
so x0 = 1
4(TA(x0) + x0). Thus, x0 = 1
3 TA(x0) ∈F. Furthermore, since x2 = x2, we find
in a similar way that x2 = 1
3 TA(x2) ∈F. Next, since x = (x0, x1, x2) ∈Nucl(J(A, µ)), we
have that (x0, x1, x2)[(0, 0, 1)(0, 1, 0)] = [(x0, x1, x2)(0, 0, 1)](0, 1, 0). (x0, x1, x2)[(0, 0, 1)(0, 1, 0)] = [(x0, x1, x2)(0, 0, 1)](0, 1, 0). This implies that (x0, x1, x2) = (x0, x1, µ(µ−1x2)), and so x1 = x1. We now find in a similar way that x1 = 1
3 TA(x1) ∈F, thus Nucl(J(A, µ)) ⊆
{(x0, x1, x2) ∈
J | x0, x1, x2 ∈
F}. Let x = (x0, x1, x2) ∈Nucl(J(A, µ)), and let
a ∈A \ F. Then (x0, x1, x2)[(0, 0, 1)(0, a, 0)] = [(x0, x1, x2)(0, 0, 1)](0, a, 0) (x0, x1, x2)[(0, 0, 1)(0, a, 0)] = [(x0, x1, x2)(0, 0, 1)](0, a, 0) (x0 · a, ax1, x2a) = (ax0, x1a, µ(µ−1x2 × a)), Axioms 2024, 13, 299 9 of 18 9 of 18 and so ax1 = x1a. Assume towards a contradiction that x1 ̸= 0. Since x1 ∈F, this implies
that x1 is invertible and x1 = x1. Thus, the condition ax1 = x1a yields a = a, and so
a = 1
3 TA(a) ∈F which is a contradiction. Next, since (x0, x1, x2) ∈Nucl(J(A, µ)), we
know that and so ax1 = x1a. Assume towards a contradiction that x1 ̸= 0. Since x1 ∈F, this implies
that x1 is invertible and x1 = x1. Thus, the condition ax1 = x1a yields a = a, and so
a = 1
3 TA(a) ∈F which is a contradiction. Proof. Next, since (x0, x1, x2) ∈Nucl(J(A, µ)), we
know that (x0, x1, x2)[(0, 1, 0)(0, 0, a)] = [(x0, x1, x2)(0, 1, 0)](0, 0, a) which implies that (x0 · a, ax1, x2a) = (x0a, µ−1(µx1 × a), ax2), (x0 · a, ax1, x2a) = (x0a, µ−1(µx1 × a), ax2), and so x2a = ax2. Assume towards a contradiction that x2 ̸= 0. Then, since x2 ∈F,
x2 is invertible and x2 = x2. Thus, the condition x2a = ax2 yields a = a, and so
a =
1
3 TA(a) ∈F which is a contradiction. Therefore, x = (x0, 0, 0), x01 ∈F which
shows that Nucl(J(A, µ)) = F. and so x2a = ax2. Assume towards a contradiction that x2 ̸= 0. Then, since x2 ∈F,
x2 is invertible and x2 = x2. Thus, the condition x2a = ax2 yields a = a, and so
a =
1
3 TA(a) ∈F which is a contradiction. Therefore, x = (x0, 0, 0), x01 ∈F which
shows that Nucl(J(A, µ)) = F. ( (
µ))
Let (x0, x1, x2) ∈Nucr(J(A, µ)). Then, (0, 0, 1)[(0, 1, 0)(x0, x1, x2)] = [(0, 0, 1)(0, 1, 0)](x0, x1, x2) implies that (x0, µ−1(µx1), x2) = (x0, x1, x2). Hence, x0 = x0 and x2 = x2. Using the definition of x0, we find that x0 = 1
4(TA(x0) + x0),
so the condition x0 = x0 gives that x0 =
1
4(TA(x0) + x0). Thus, x0 =
1
3 TA(x0) ∈F. Furthermore, since x2 = x2, we find in a similar way that x2 = 1
3 TA(x2) ∈F. Next, since
x = (x0, x1, x2) ∈Nucr(J(A, µ)), we have that Hence, x0 = x0 and x2 = x2. Using the definition of x0, we find that x0 = 1
4(TA(x0) + x0),
so the condition x0 = x0 gives that x0 =
1
4(TA(x0) + x0). Thus, x0 =
1
3 TA(x0) ∈F. Furthermore, since x2 = x2, we find in a similar way that x2 = 1
3 TA(x2) ∈F. Next, since
x = (x0, x1, x2) ∈Nucr(J(A, µ)), we have that (0, 1, 0)[(0, 0, 1)(x0, x1, x2)] = [(0, 1, 0)(0, 0, 1)](x0, x1, x2). This implies that (x0, x1, µ(µ−1x2)) = (x0, x1, x2), and thus x1 = x1. We find in a similar way that x1 = 1
3 TA(x1) ∈F, i.e. Nucr(J(A, µ)) ⊆
{(x0, x1, x2) ∈J | x0, x1, x2 ∈F}. x1 = x1. We find in a similar way that x1 = 1
3 TA(x1) ∈F, i.e. Nucr(J(A, µ)) ⊆
) ∈J | x0, x1, x2 ∈F}. and thus x1 = x1. We find in a similar way that x1 = 1
3 TA(x1) ∈F, i.e. Nucr(J(A, µ)) ⊆
{(x0, x1, x2) ∈J | x0, x1, x2 ∈F}. )
|
}
= (x0, x1, x2) ∈Nucr(J(A, µ)), and let a ∈A \ F. Then, (0, a, 0)[(0, 0, 1)(x0, x1, x2)]
)(0, 0, 1)](x0, x1, x2) which implies that (ax0, x1a, µ(a × µ−1x2)) = (a · x0, ax1, x2a); therefore, ax1 = x1a. Assume towards a contradiction that x1 ̸= 0. Then, since x1 ∈F, x1 is
invertible and x1 = x1. Thus, the condition ax1 = x1a yields a = a, and so a = 1
3 TA(a) ∈F
which is a contradiction. Next, since (x0, x1, x2) ∈Nucr(J(A, µ)), we know that therefore, ax1 = x1a. Assume towards a contradiction that x1 ̸= 0. Then, since x1 ∈F, x1 is
invertible and x1 = x1. implies that Thus, the condition ax1 = x1a yields a = a, and so a = 1
3 TA(a) ∈F
which is a contradiction. Next, since (x0, x1, x2) ∈Nucr(J(A, µ)), we know that (0, 0, a)[(0, 1, 0)(x0, x1, x2)] = [(0, 0, a)(0, 1, 0)](x0, x1, x2) which implies that (x0a, µ−1(a × µx1), ax2) = (a · x0, ax1, x2a), and so x2a = ax2. Assume towards a contradiction that x2 ̸= 0. Then, since x2 ∈F, x2 is
invertible and x2 = x2. Thus, the condition x2a = ax2 yields a = a, and so a = 1
3 TA(a) ∈F
which is a contradiction. Therefore, x = (x0, 0, 0) = x01 ∈F which shows the assertion. and so x2a = ax2. Assume towards a contradiction that x2 ̸= 0. Then, since x2 ∈F, x2 is
invertible and x2 = x2. Thus, the condition x2a = ax2 yields a = a, and so a = 1
3 TA(a) ∈F
which is a contradiction. Therefore, x = (x0, 0, 0) = x01 ∈F which shows the assertion. Theorem 4. Let A ̸= F be a central simple division algebra of degree three and µ ∈A×. Then,
Nucm(J(A, µ)) = F. Theorem 4. Let A ̸= F be a central simple division algebra of degree three and µ ∈A×. Then,
Nucm(J(A, µ)) = F. Proof. Let x = (x0, x1, x2) ∈Nucm(J(A, µ)), and let y0 /∈C(A). Then, there exists z0 ∈A
such that y0z0 ̸= z0y0. Since (x0, x1, x2) ∈Nucm(J(A, µ)), we know that (y0, 0, 0)[(x0, x1, x2)(z0, 0, 0)] = [(y0, 0, 0)(x0, x1, x2)](z0, 0, 0) Axioms 2024, 13, 299 10 of 18 10 of 18 es that which implies that which implies that (y0 · (x0 · z0), y0(z0x1), (x2z0)y0) = ((y0 · x0) · z0, z0(y0x1), (x2y0)z0). Comparing the second and third components yields Comparing the second and third components yields y0(z0x1) = z0(y0x1),
(20)
(x2z0)y0 = (x2y0)z0. (21) (20)
(21) (20)
(21) (21) Now, assume towards a contradiction that x1 ̸= 0. Since A is a division algebra, x1 is
invertible. Since A is associative, (20) implies that y0 z0 = z0 y0. By definition, this yields (TA(y0)1 −y0)(TA(z0)1 −z0) = (TA(z0)1 −z0)(TA(y0)1 −y0). Hence, y0z0 = z0y0 which is a contradiction. Now, in a similar way we assume towards
a contradiction that x2 ̸= 0. Then, since A is a division algebra, x2 is invertible. Since
A is associative, (21) implies again that y0 z0 = z0 y0. Hence, y0z0 = z0y0 which is a
contradiction. which implies that Next, since x = (x0, 0, 0) ∈Nucm(J(A, µ)), we also have that (0, 1, 0)[(x0, 0, 0)(0, 0, y2)] = [(0, 1, 0)(x0, 0, 0)](0, 0, y2)
for each y2 ∈A. This implies (y2x0, 0, 0) = (x0y2, 0, 0), and so y2x0 = x0y2. By definition,
this means that
1
2TA(y2x0)1 −1
2y2x0 = 1
2TA(x0y2)1 −1
2x0y2. (22) (0, 1, 0)[(x0, 0, 0)(0, 0, y2)] = [(0, 1, 0)(x0, 0, 0)](0, 0, y2) (0, 1, 0)[(x0, 0, 0)(0, 0, y2)] = [(0, 1, 0)(x0, 0, 0)](0, 0, y2)
∈A. This implies (y2x0, 0, 0) = (x0y2, 0, 0), and so y2x0 = x0y2. By definition,
hat
1T (
)1
1
1T (
)1
1
(22) 1
2TA(y2x0)1 −1
2y2x0 = 1
2TA(x0y2)1 −1
2x0y2. (22) (22) We know that TA(y2x0) = TA(x0y2) (see (6)), and so (22) gives that y2x0 = x0y2. By
using the definition of y2, this implies that y2x0 = x0y2. Hence, x0 ∈C(A). Therefore,
x = (x0, 0, 0) = x01 ∈C(A). Since F ⊆Nucm(J(A, µ)) this implies the assertion if A is a
central simple division algebra. We know that TA(y2x0) = TA(x0y2) (see (6)), and so (22) gives that y2x0 = x0y2. By
using the definition of y2, this implies that y2x0 = x0y2. Hence, x0 ∈C(A). Therefore,
x = (x0, 0, 0) = x01 ∈C(A). Since F ⊆Nucm(J(A, µ)) this implies the assertion if A is a
central simple division algebra. Theorem 5. ([18] (Chapter IX, Section 12), [15] (Chapter C.5)) For µ ∈F×, J(A, µ) is a division
algebra if and only if µ /∈NA(A×) and A is a division algebra, if and only if N is anisotropic. The general situation is much harder to figure out and we were only able to obtain
some obvious necessary conditions: Theorem 6. Let µ ∈A×. Theorem 6. Let µ ∈A×. (i)
If J(A, µ) is a division algebra, then µ /∈NA(A×) and A is a division algebra. 2 (ii)
Let A be a division algebra over F. If 1, µ, µ2 are linearly independent over F then N is
anisotropic. p
(iii)
If N is anisotropic then A is a division algebra and µ /∈NA(A×). (iv)
Let 0 ̸= x = (x0, x1, x2) ∈J(A, µ). Then, x♯= 0 implies that A has zero divisors, or A is a
division algebra and µ ∈NA(A×). Proof. In the later case, x0, x1, x2 are all invertible in
A, NA(xi) ̸= 0 for all i = 0, 1, 2 and it follows that µ ∈NA(A×). This proves the
assertion. In other words: If A is a division algebra and µ ̸∈NA(A×), 0 ̸= x = (x0, x1, x2) ∈
J(A, µ), then x♯̸= 0. Note that (iv) was a substantial part of the classical result that if
µ ∈F×, µ /∈NA(A×) and A is a division algebra, then N is anisotropic. What is missing
in order to generalize this result to the generalized first Tits construction is the adjoint
identity (x♯)♯= N(x)x. This identity only holds in very special cases—see Lemma 4
below. It would be of course desirable to have conditions on when (or if at all) J(A, µ) is a
division algebra. Proof. (i)
Suppose that J(A, µ) is a division algebra, then so is A+ and thus A (Lemma 1). Assume towards a contradiction that µ = NA(x0)1 for some x0 ∈A×. Then, µ ∈F×
and J(A, µ) is not a division algebra by Theorem 5. Hence, µ /∈NA(A)1. (i)
Suppose that J(A, µ) is a division algebra, then so is A+ and thus A (Lemma 1). Assume towards a contradiction that µ = NA(x0)1 for some x0 ∈A×. Then, µ ∈F×
and J(A, µ) is not a division algebra by Theorem 5. Hence, µ /∈NA(A)1. (ii)
Since A is a division algebra, NA is anisotropic. So, let N((x0, x1, x2)) = 0; then, the
assumption means that N(x0) = 0, which implies that x0 = 0. This immediately
means that x1 = x2 = 0, too. (iii)
If N is anisotropic, then so is NA; so, A is clearly a division algebra. Moreover,
µ /∈NA(A×) by Theorem 5. Axioms 2024, 13, 299 11 of 18 11 of 18 (iv)
Let 0 ̸= x = (x0, x1, x2) ∈J(A, µ). Then, x♯= 0 implies that (iv)
Let 0 ̸= x = (x0, x1, x2) ∈J(A, µ). Then, x♯= 0 implies that (iv)
Let 0 ̸= x = (x0, x1, x2) ∈J(A, µ). Then, x♯= 0 implies that (iv)
Let 0 ̸= x = (x0, x1, x2) ∈J(A, µ). Then, x♯= 0 implies that x♯
0 = x1x2
(23)
µ−1x♯
2 = x0x1
(24)
µx♯
1 = x2x0. (25) (23) ( 3)
(24)
(25) (24)
(25) (24) (25) We can now multiply (23) (resp. (24), (25)) by x0 (resp. x2, x1) on the right and left to
obtain two new equations. Additionally, using the fact that NA(xi) = xix♯
i = x♯
i xi for
all i = 0, 1, 2, we obtain the following six equations: NA(x0) = x1x2x0
µ−1NA(x2) = x0x1x2
µNA(x1) = x2x0x1
NA(x0) = x0x1x2
µ−1NA(x2) = x2x0x1
µNA(x1) = x1x2x0. (26) NA(x0) = x1x2x0
µ−1NA(x2) = x0x1x2
µNA(x1) = x2x0x1
NA(x0) = x0x1x2
µ−1NA(x2) = x2x0x1
µNA(x1) = x1x2x0. (26) (26) These imply that NA(x0) = µ−1NA(x2) = µNA(x1). This means that either NA(x0) =
µ−1NA(x2) = µNA(x1) = 0 and so NA is isotropic, or NA(x0) = µ−1NA(x2) =
µNA(x1) ̸= 0 and NA is anisotropic. 4. Some More Identities Lemma 2. Let x = (x0, x1, x2), y = (y0, y1, y2), z = (z0, z1, z2) ∈J(A, µ) be such that one of
x1, y1, z1 is equal to zero and one of x2, y2, z2 is equal to zero. Then, T(x × y, z) = T(x, y × z). Proof. We find that T(x × y, z) =1
2TA((x0♯y0)z0 −x1y2z0 −y1x2z0)
+ 1
2TA(µ−1(x2♯y2)z2 −x0y1z2 −y0x1z2)
(27)
+ 1
2TA(µ(x1♯y1)z1 −x2y0z1 −y2x0z1) (27) and T(x, y × z) =1
2TA(x0(y0♯z0) −x0y1z2 −x0z1y2)
+ 1
2TA(x1µ(y1♯z1) −x1y2z0 −x1z2y0)
(28)
+ 1
2TA(x2µ−1(y2♯z2) −x2y0z1 −x2z0y1). (28) Using the definitions, we can show that TA((x0♯y0)z0) = TA(x0(y0♯z0)). Furthermore,
since one of x1, y1, z1 is equal to zero, we have that TA(µ(x1♯y1)z1) = 0 = TA(x1µ(y1♯z1)). Finally, since one of x2, y2, z2 is equal to zero, TA(µ−1(x2♯y2)z2) = 0 = TA(x2µ−1(y2♯z2)). Therefore, applying these equalities and using (6), we deduce that (27) and (28) are equal,
so T(x × y, z) = T(x, y × z). Using the definitions, we can show that TA((x0♯y0)z0) = TA(x0(y0♯z0)). Furthermore,
since one of x1, y1, z1 is equal to zero, we have that TA(µ(x1♯y1)z1) = 0 = TA(x1µ(y1♯z1)). Finally, since one of x2, y2, z2 is equal to zero, TA(µ−1(x2♯y2)z2) = 0 = TA(x2µ−1(y2♯z2)). Therefore, applying these equalities and using (6), we deduce that (27) and (28) are equal,
so T(x × y, z) = T(x, y × z). Axioms 2024, 13, 299 12 of 18 12 of 18 We know that xx♯= x♯x = N(x)1 holds for all x ∈J(A, µ) if µ ∈F×. We now show
for which x ∈J(A, µ) we still obtain xx♯= x♯x = N(x)1: Lemma 3. Let µ ∈A× and suppose that x ∈J(A, µ), such that one of the following holds: (i)
x = (x0, 0, x2) ∈J(A, µ), x0µ = µx0 and NA(x2) = 0. (ii)
x = (x0, x1, 0) ∈J(A, µ), x1µ = µx1 and NA(x1) = 0. Then, we have
♯
♯ (ii)
x = (x0, x1, 0) ∈J(A, µ), x1µ = µx1 and NA(x1) = 0. Th
h (ii)
x = (x0, x1, 0) ∈J(A, µ), x1µ = µx1 and NA(x1) = 0. Then, we have
xx♯= x♯x = N(x)1. (29) (ii)
x = (x0, x1, 0) ∈J(A, µ), x1µ = µx1 and NA(x1) = 0. Then, we have
xx♯= x♯x = N(x)1. (29) xx♯= x♯x = N(x)1. A( 0)
A( 0)i
A( 0)
0
A( 0) 0
0
(ii)
In this case, we have x2 = 0, x1µ = µx1 and NA(x1) = 0. So, (30) simplifies to a0 =
NA(x0)1 = N(x). For a1, (31) simplifies to a1 = −1
2(TA(x0)x0 −x2
0)x1 + 1
2(TA(x♯
0) −
x♯
0)x1. Then, in a similar way to how we found a2 in (i), we find here that a1 = 0. 4. Some More Identities (29) (29) Moreover, assume that one of the following holds: f
f
g
(iii)
x = (x0, 0, x2) ∈J(A, µ), x0µ = µx0 and NA(x2) ̸= 0. µ
µ
µ
(iv)
x = (x0, x1, 0) ∈J(A, µ), x1µ = µx1 and NA(x1) ̸= 0. Then, xx♯= x♯x = N(x)1 if and only if µ ∈F×. (iv)
x = (x0, x1, 0) ∈J(A, µ), x1µ = µx1 and NA(x1) ̸= 0. Then, xx♯= x♯x = N(x)1 if and only if µ ∈F×. (iv)
x = (x0, x1, 0) ∈J(A, µ), x1µ = µx1 and NA(x1) ̸= 0. Then, xx♯= x♯x = N(x)1 if and only if µ ∈F×. Proof. Let x = (x0, x1, x2) ∈J(A, µ), and let xx♯= (a0, a1, a2); then, x♯= (x♯
0 −x1x2, µ−1x♯
2
−x0x1, µx♯
1 −x2x0). Thus, we have Proof. Let x = (x0, x1, x2) ∈J(A, µ), and let xx♯= (a0, a1, a2); then, x♯= (x♯
0 −x1x2, µ−1x♯
2
−x0x1, µx♯
1 −x2x0). Thus, we have Proof. Let x = (x0, x1, x2) ∈J(A, µ), and let xx♯= (a0, a1, a2); then, x♯= (x♯
0 −x1x2, µ−1x♯
2
−x0x1, µx♯
1 −x2x0). Thus, we have a0 = 1
2(x0x♯
0 −x0x1x2 + x♯
0x0 −x1x2x0)
+ 1
2(TA(x1µx♯
1 −x1x2x0)1 −x1µx♯
1 + x1x2x0)
(30)
+ 1
2(TA(µ−1x♯
2x2 −x0x1x2)1 −µ−1x♯
2x2 + x0x1x2), (30) a1 = 1
2(TA(x0) −x0)(µ−1x♯
2 −x0x1) + 1
2(TA(x♯
0 −x1x2) −x♯
0 + x1x2)x1 a1 = 1
2(TA(x0) −x0)(µ−1x♯
2 −x0x1) + 1
2(TA(x♯
0 −x1x2) −x♯
0 + x1x2)x1
+ µ−1(x2 × (µx♯
1 −x2x0)),
(31 a1 = 1
2(TA(x0) −x0)(µ−1x♯
2 −x0x1) + 1
2(TA(x♯
0 −x1x2) −x♯
0 + x1x2)x1
+ µ−1(x2 × (µx♯
1 −x2x0)),
(31)
a2 = 1
2x2(TA(x♯
0 −x1x2) −x♯
0 + x1x2) + 1
2(µx♯
1 −x2x0)(TA(x0) −x0) + µ−1(x2 × (µx♯
1 −x2x0)),
(31) (31) a2 = 1
2x2(TA(x♯
0 −x1x2) −x♯
0 + x1x2) + 1
2(µx♯
1 −x2x0)(TA(x0) −x0)
+ µ(x1 × (µ−1x♯
2 −x0x1))
(32) (32) by the definition of the multiplication on J(A, µ). by the definition of the multiplication on J(A, µ). (i)
If x1 = 0 and NA(x2) = 0, using the fact that xix♯
i = x♯
i xi = NA(xi)1 for all i = 0, 1, 2
(see (5)), (30) simplifies to a0 = NA(x0)1 = N(x). Since we have x0µ−1 = µ−1x0, (31)
gives that a1 = 1
2µ−1(TA(x0) −x0)x♯
2 −µ−1(x2 × (x2x0)). By (10), (i)
If x1 = 0 and NA(x2) = 0, using the fact that xix♯
i = x♯
i xi = NA(xi)1 for all i = 0, 1, 2
(see (5)), (30) simplifies to a0 = NA(x0)1 = N(x). Since we have x0µ−1 = µ−1x0, (31)
gives that a1 = 1
2µ−1(TA(x0) −x0)x♯
2 −µ−1(x2 × (x2x0)). By (10), x♯
2♯x0 = x♯
2x0 + x0x♯
2 −TA(x♯
2)x0 −TA(x0)x♯
2 + (TA(x♯
2)TA(x0) −TA(x♯
2x0))1. (33) Using the fact that TA(x♯
2) = SA(x2) (by (8)) on the right-hand side of (33), we further
obtain after some simplification that x♯
2♯x0 = x2
2x0 −TA(x2)x2x0 + x0x♯
2 −TA(x0)x♯
2 −TA(x2
2x0)1 + TA(x2x0)1. (34) (34) Now, combining (13) with (34) yields TA(x0)x♯
2 −x0x♯
2 = x2
2x0 + x2x0x2 −TA(x2)x2x0 −
TA(x2x0)x2 + (TA(x2)TA(x2x0) −TA(x2
2x0))1
=
2(x2 × (x2x0)), so x2 × (x2x0)
= 1
2(TA(x0)x♯
2 −x0x♯
2). Proof. Let x = (x0, x1, x2) ∈J(A, µ), and let xx♯= (a0, a1, a2); then, x♯= (x♯
0 −x1x2, µ−1x♯
2
−x0x1, µx♯
1 −x2x0). Thus, we have To prove that the claimed equivalence holds assuming (iii) or (iv), we only need to
show the forward direction since we know from the classical first Tits construction
that the reverse direction holds: For a2, (32) simplifies to a2 = 1
2µx♯
1(TA(x0) −x0) −µ(x1 × (x0x1)). We now find in a
similar way to how we found a1 in (i) that a2 = 0. y
To prove that the claimed equivalence holds assuming (iii) or (iv), we only need to
show the forward direction since we know from the classical first Tits construction
that the reverse direction holds: (iii)
Here, (30) yields a0 = NA(x0)1 + 1
2(TA(µ−1)NA(x2) −µ−1NA(x2)); thus, xx♯=
N(x)1
=
(NA(x0)1 + µ−1NA(x2))1
gives
that
NA(x0)1 +
1
2(TA(µ−1)
NA(x2) −µ−1NA(x2)) = a0 = NA(x0)1 + µ−1NA(x2). Therefore, we have µ−1 =
1
3 TA(µ−1) ∈F×, so µ ∈F×. (iii)
Here, (30) yields a0 = NA(x0)1 + 1
2(TA(µ−1)NA(x2) −µ−1NA(x2)); thus, xx♯=
N(x)1
=
(NA(x0)1 + µ−1NA(x2))1
gives
that
NA(x0)1 +
1
2(TA(µ−1)
NA(x2) −µ−1NA(x2)) = a0 = NA(x0)1 + µ−1NA(x2). Therefore, we have µ−1 =
1
3 TA(µ−1) ∈F×, so µ ∈F×. 3
(iv)
In this case, (30) yields a0 = NA(x0)1 + 1
2(TA(µ)NA(x1) −µNA(x1)); thus, xx♯=
N(x)1 = (NA(x0)1 + µNA(x1))1 yields NA(x0)1 + 1
2(TA(µ)NA(x1) −µNA(x1)) =
a0 = NA(x0)1 + µNA(x1). Therefore, we obtain µ = 1
3 TA(µ) ∈F×. The proof that
x♯x = N(x)1 is performed similarly. (iv)
In this case, (30) yields a0 = NA(x0)1 + 1
2(TA(µ)NA(x1) −µNA(x1)); thus, xx♯=
N(x)1 = (NA(x0)1 + µNA(x1))1 yields NA(x0)1 + 1
2(TA(µ)NA(x1) −µNA(x1)) =
a0 = NA(x0)1 + µNA(x1). Therefore, we obtain µ = 1
3 TA(µ) ∈F×. The proof that
x♯x = N(x)1 is performed similarly. (i)
x = (0, x1, 0) ∈J(A, µ) and NA(x1) = 0. Proof. Let x = (x0, x1, x2) ∈J(A, µ), and let xx♯= (a0, a1, a2); then, x♯= (x♯
0 −x1x2, µ−1x♯
2
−x0x1, µx♯
1 −x2x0). Thus, we have Hence, (4) implies a1 = 0. For a2, (32) yields a2 = 1
2x2(TA(x♯
0) −
x♯
0) −1
2x2(TA(x0)x0 −x2
0). Then, using the definition of x♯
0 and the fact that 2SA(x0) =
TA(x0)2 −TA(x2
0), we find that TA(x♯
0) −x♯
0 = TA(x0)x0 −x2
0. Therefore, a2 = 0. Now, combining (13) with (34) yields TA(x0)x♯
2 −x0x♯
2 = x2
2x0 + x2x0x2 −TA(x2)x2x0 −
TA(x2x0)x2 + (TA(x2)TA(x2x0) −TA(x2
2x0))1
=
2(x2 × (x2x0)), so x2 × (x2x0)
= 1
2(TA(x0)x♯
2 −x0x♯
2). Hence, (4) implies a1 = 0. For a2, (32) yields a2 = 1
2x2(TA(x♯
0) −
x♯
0) −1
2x2(TA(x0)x0 −x2
0). Then, using the definition of x♯
0 and the fact that 2SA(x0) =
TA(x0)2 −TA(x2
0), we find that TA(x♯
0) −x♯
0 = TA(x0)x0 −x2
0. Therefore, a2 = 0. TA(x2x0)x2 + (TA(x2)TA(x2x0) −TA(x2
2x0))1
=
2(x2 × (x2x0)), so x2 × (x2x0)
= 1
2(TA(x0)x♯
2 −x0x♯
2). Hence, (4) implies a1 = 0. For a2, (32) yields a2 = 1
2x2(TA(x♯
0) −
x♯
0) −1
2x2(TA(x0)x0 −x2
0). Then, using the definition of x♯
0 and the fact that 2SA(x0) =
TA(x0)2 −TA(x2
0), we find that TA(x♯
0) −x♯
0 = TA(x0)x0 −x2
0. Therefore, a2 = 0. (ii) (
)
( 0)i
( 0)
0
(
)
0
(ii)
In this case, we have x2 = 0, x1µ = µx1 and NA(x1) = 0. So, (30) simplifies to a0 =
NA(x0)1 = N(x). For a1, (31) simplifies to a1 = −1
2(TA(x0)x0 −x2
0)x1 + 1
2(TA(x♯
0) −
x♯
0)x1. Then, in a similar way to how we found a2 in (i), we find here that a1 = 0. Axioms 2024, 13, 299 13 of 18 For a2, (32) simplifies to a2 = 1
2µx♯
1(TA(x0) −x0) −µ(x1 × (x0x1)). We now find in a
similar way to how we found a1 in (i) that a2 = 0. To prove that the claimed equivalence holds assuming (iii) or (iv), we only need to
show the forward direction since we know from the classical first Tits construction
that the reverse direction holds:
1
♯ For a2, (32) simplifies to a2 = 1
2µx♯
1(TA(x0) −x0) −µ(x1 × (x0x1)). We now find in a
similar way to how we found a1 in (i) that a2 = 0. (
)
(
µ)
(
)
(ii)
x = (x0, x1, 0) ∈J(A, µ) and NA(x1) = 0 and x1µ = µx1. Lemma 4. Let µ ∈A× and suppose that x ∈J(A, µ), such that one of the following holds: Corollary 1. Let µ ∈A×. Suppose that x ∈J(A, µ) satisfies N(x) ̸= 0, and assume that one of
the following holds: Corollary 1. Let µ ∈A×. Suppose that x ∈J(A, µ) satisfies N(x) ̸= 0, and assume that one of
the following holds: (i)
x = (x0, x1, 0) ∈J(A, µ), x1µ = µx1 and NA(x1) = 0. (i)
x = (x0, x1, 0) ∈J(A, µ), x1µ = µx1 and NA(x1) = 0. (ii)
x = (x0, 0, x2) ∈J(A, µ), x0µ = µx0 and NA(x2) = 0. Then, x is invertible in J(A, µ) with x−1 = N(x)−1x♯. Then, x is invertible in J(A, µ) with x−1 = N(x)−1x♯. Proof. Let µ ∈A× and suppose that x ∈J(A, µ) satisfies (i) or (ii); then, xx♯= x♯x =
N(x)1. Since F = C(J(A, µ)) this yields the assertion. In particular, if N is anisotropic, then every 0 ̸= xx = (x0, x1, 0) ∈J(A, µ) in (i) or
(ii) is of the type x = (x0, 0, 0) ∈J(A, µ), i.e., lies in A; so, this result then becomes trivial. Corollary 2. Let µ ∈A× and suppose that x ∈J(A, µ), such that one of the following holds: (i)
x = (x0, 0, x2) ∈J(A, µ), x0µ = µx0 and NA(x2) = 0. (i)
x = (x0, 0, x2) ∈J(A, µ), x0µ = µx0 and NA(x2) = 0. (i)
x = (x0, 0, x2) ∈J(A, µ), x0µ = µx0 and NA(x2) = 0. µ
µ
µ
(ii)
x = (x0, x1, 0) ∈J(A, µ), x1µ = µx1 and NA(x1) = 0. Then, we have (ii)
x = (x0, x1, 0) ∈J(A, µ), x1µ = µx1 and NA(x1) = 0. Then, we have x3 −T(x)x2 + S(x)x −N(x)1 = 0. Proof. Using the fact that x♯= x2 −T(x)x + S(x)1 from Theorem 2 (i), we have that
x3 −T(x)x2 + S(x)x −N(x)1 = 0 if and only if xx♯= x♯x = N(x)1. Thus, the result now
follows as a consequence of Lemma 3. Theorem 7. The identity xx♯= x♯x = N(x)1 holds for all x ∈J(A, µ) if and only if µ ∈F× Theorem 7. The identity xx♯= x♯x = N(x)1 holds for all x ∈J(A, µ) if and only if µ ∈F×. Theorem 7. The identity xx♯= x♯x = N(x)1 holds for all x ∈J(A, µ) if and only if µ ∈F×. Proof. If µ ∈F×, then xx♯= x♯x = (N(x), 0, 0) for all x ∈J(A, µ). Conversely, suppose
that xx♯= x♯x = (N(x), 0, 0) holds for all x ∈J(A, µ). Take x = (0, 1, 0). Then, x♯=
(0, 0, µ), and so
1 xx♯= ( ¯µ, 0, 0) = (1
2(TA(µ)1 −µ), 0, 0). We also know that by definition, N(x) = µNA(1) = µ, so the condition xx♯= (N(x), 0, 0)
gives that µ = 1
2(TA(µ)1 −µ). Hence µ = 1
3TA(µ)1 ∈F×. We also know that by definition, N(x) = µNA(1) = µ, so the condition xx♯= (N(x), 0, 0)
gives that µ = 1
2(TA(µ)1 −µ). Hence µ = 1
3TA(µ)1 ∈F×. We know that the adjoint identity (x♯)♯
=
N(x)x holds for all x ∈
J(A, µ),
if µ ∈F× [15] (Chapter C.4). In the general construction, it holds only in very special cases: Lemma 4. Let µ ∈A× and suppose that x ∈J(A, µ), such that one of the following holds: (i)
x = (0, x1, 0) ∈J(A, µ) and NA(x1) = 0. (
)
(
µ)
(
)
(ii)
x = (x0, x1, 0) ∈J(A, µ) and NA(x1) = 0 and x1µ = µx1. Axioms 2024, 13, 299 14 of 18 (iii)
x = (x0, 0, x2) ∈J(A, µ) and NA(x2) = 0 and x0µ = µx0. ♯♯ (iii)
x = (x0, 0, x2) ∈J(A, µ) and NA(x2) = 0 and x0µ = µx0. Then, we have (x♯)♯= N(x)x. Moreover, if one of the following holds: (iii)
x = (x0, 0, x2) ∈J(A, µ) and NA(x2) = 0 and x0µ = µx0. Then, we have (x♯)♯= N(x)x. Moreover, if one of the following holds: (v)
x = (x0, 0, x2) ∈J(A, µ), NA(x2) ̸= 0, x0µ = µx0 and x2µ = µx2. Then, (x♯)♯= N(x)x for all x ∈J(A, µ) if and only if NA(µ) = µ3. Proof. Let x = (x0, x1, x2) ∈J(A, µ) and (x♯)♯= (a0, a1, a2). By definition, x♯= (x♯
0 −
x1x2, µ−1x♯
2 −x0x1, µx♯
1 −x2x0), so a0 = (x♯
0 −x1x2)♯−(µ−1x♯
2 −x0x1)(µx♯
1 −x2x0). Now,
using (9) and (10), it is easy to show that Proof. Let x = (x0, x1, x2) ∈J(A, µ) and (x♯)♯= (a0, a1, a2). Theorem 7. The identity xx♯= x♯x = N(x)1 holds for all x ∈J(A, µ) if and only if µ ∈F×. By definition, x♯= (x♯
0 −
x1x2, µ−1x♯
2 −x0x1, µx♯
1 −x2x0), so a0 = (x♯
0 −x1x2)♯−(µ−1x♯
2 −x0x1)(µx♯
1 −x2x0). Now,
using (9) and (10), it is easy to show that Proof. Let x = (x0, x1, x2) ∈J(A, µ) and (x♯)♯= (a0, a1, a2). By definition, x♯= (x♯
0 −
x1x2, µ−1x♯
2 −x0x1, µx♯
1 −x2x0), so a0 = (x♯
0 −x1x2)♯−(µ−1x♯
2 −x0x1)(µx♯
1 −x2x0). Now,
using (9) and (10), it is easy to show that Proof. Let x = (x0, x1, x2) ∈J(A, µ) and (x♯)♯= (a0, a1, a2). By definition, x♯= (x♯
0 −
x1x2, µ−1x♯
2 −x0x1, µx♯
1 −x2x0), so a0 = (x♯
0 −x1x2)♯−(µ−1x♯
2 −x0x1)(µx♯
1 −x2x0). Now,
using (9) and (10), it is easy to show that (x♯
0 −x1x2)♯= (x♯
0 −x1x2)2 −TA(x♯
0 −x1x2)(x♯
0 −x1x2) + SA(x♯
0 −x1x2)
= (x♯
0)♯−x♯
0♯(x1x2) + (x1x2)♯. Hence, Hence, a0 = (x♯
0 −x1x2)♯−(µ−1x♯
2 −x0x1)(µx♯
1 −x2x0)
= (x♯
0)♯−x♯
0♯(x1x2) + (x1x2)♯−µ−1x♯
2µx♯
1 + µ−1x♯
2x2x0 + x0x1µx♯
1 −x0x1x2x0. (35) (35) Similarly, we find that Similarly, we find that a1 = µ−1(µx♯
1 −x2x0)♯−(x♯
0 −x1x2)(µ−1x♯
2 −x0x1)
= µ−1((µx♯
1)♯−(µx♯
1)♯(x2x0) + (x2x0)♯)
−x♯
0µ−1x♯
2 + x♯
0x0x1 + x1x2µ−1x♯
2 −x1x2x0x1
(36) (36) and a2 = µ(µ−1x♯
2 −x0x1)♯−(µx♯
1 −x2x0)(x♯
0 −x1x2)
= µ((µ−1x♯
2)♯−(µ−1x♯
2)♯(x0x1) + (x0x1)♯)
−µx♯
1x♯
0 + µx♯
1x1x2 + x2x0x♯
0 −x2x0x1x2. (37) (37) (i)
Here, x0 = x2 = 0; therefore, (35) implies a0 = 0 and (36) gives that a1 = µ−1(µx♯
1)♯=
µ−1NA(x1)x1µ♯= 0 = N(x)x1. Finally, (37) gives that a2 = 0 as required. ♯
♯ (i)
Here, x0 = x2 = 0; therefore, (35) implies a0 = 0 and (36) gives that a1 = µ−1(µx♯
1)♯=
µ−1NA(x1)x1µ♯= 0 = N(x)x1. Finally, (37) gives that a2 = 0 as required. ♯
♯ (i)
Here, x0 = x2 = 0; therefore, (35) implies a0 = 0 and (36) gives that a1 = µ−1(µx♯
1)♯=
µ−1NA(x1)x1µ♯= 0 = N(x)x1. Finally, (37) gives that a2 = 0 as required. ♯
♯ (i)
Here, x0 = x2 = 0; therefore, (35) implies a0 = 0 and (36) gives that a1 = µ−1(µx♯
1)♯=
µ−1NA(x1)x1µ♯= 0 = N(x)x1. Finally, (37) gives that a2 = 0 as required. Theorem 7. The identity xx♯= x♯x = N(x)1 holds for all x ∈J(A, µ) if and only if µ ∈F×. This is equivalent to
NA(µ) = µ3. (v)
Since x1 = 0, (35) yields a0 = (x♯
0)♯+ µ−1x♯
2x2x0 = N(x)x0. Furthermore, since
x0 commutes with µ, x♯
0 commutes with µ. So, x♯
0µ−1 = µ−1x♯
0. Hence, (36) gives
that a1 = µ−1(x2x0)♯−µ−1x♯
0x♯
2 = 0 = N(x)0. Finally, (37) yields a2 = µ(µ−1x♯
2)♯+
x2x0x♯
0
=
µNA(x2)x2(µ−1)♯+ NA(x0)x2. Thus, a2
=
N(x)x2 if and only if
µNA(x2)x2(µ−1)♯+ NA(x0)x2 = N(x)x2, which occurs if and only if µNA(x2)x2(µ−1)♯
= µ−1NA(x2)x2. Since NA(x2) ̸= 0 and x2(µ−1)♯= (µ−1)♯x2, this occurs if and
only if (µ−1)♯x2 = µ−2x2. Finally, NA(x2) ̸= 0 implies that x2 is invertible, so
(µ−1)♯x2 = µ−2x2 if and only if NA(µ−1) = µ−1(µ−1)♯= µ−3. This is equivalent to
NA(µ) = µ3. Proposition 2. Let A be a central simple algebra over F. Then, (x♯)♯= N(x) for all x ∈J(A, µ)
if and only if µ ∈F×. Proposition 2. Let A be a central simple algebra over F. Then, (x♯)♯= N(x) for all x ∈J(A, µ)
if and only if µ ∈F×. Proof. Let µ ∈F× then by Lemma 4, the adjoint identity holds for all x ∈J(A, µ). Suppose
now that the adjoint identity holds for all x ∈J(A, µ). Let x = (x0, 1, 0) ∈J(A, µ) for some
x0 ∈A. Then, x♯= (x♯
0, −x0, µ) and so (x♯)♯= ((x♯
0)♯+ x0µ, µ−1µ♯+ (x♯
0)♯x0, 0). (38) (38) Furthermore, N(x) = NA(x0)1 + µ. Since the adjoint identity holds by assumption, we see
that by using (38), ((x♯
0)♯+ x0µ, µ−1µ♯+ (x♯
0)♯x0, 0) = (NA(x0)x0 + µx0, NA(x0) + µ, 0). (39) (39) We know that (x♯
0)♯= NA(x0)x0 for all x0 ∈A by (12), and so by comparing the first
components of (39), we find that x0µ = µx0 for all x0 ∈A. Hence, µ ∈C(A), and since A is
a central simple algebra by assumption, µ ∈F×. We know that (x♯
0)♯= NA(x0)x0 for all x0 ∈A by (12), and so by comparing the first
components of (39), we find that x0µ = µx0 for all x0 ∈A. Hence, µ ∈C(A), and since A is
a central simple algebra by assumption, µ ∈F×. If µ ∈F×, then the norm N permits Jordan composition, i.e. N(Uxy) = NA(x)2N(y) for
all x, y ∈J(A, a). Theorem 7. The identity xx♯= x♯x = N(x)1 holds for all x ∈J(A, µ) if and only if µ ∈F×. ♯
♯ (i)
Here, x0 = x2 = 0; therefore, (35) implies a0 = 0 and (36) gives that a1 = µ−1(µx♯
1)♯=
µ−1NA(x1)x1µ♯= 0 = N(x)x1. Finally, (37) gives that a2 = 0 as required.i
♯♯
♯ (ii)
Since x2 = 0, x1µ = µx1 and NA(x1) = 0, we find by (35) that a0 = (x♯
0)♯+ x0µx1x♯
1 =
NA(x0)x0 + x0µNA(x1) = N(x)x0. Now, (36) gives that a1 = µ−1(µx♯
1)♯+ x♯
0x0x1 =
µ−1NA(x1)x1µ♯+ NA(x0)x1 = N(x)x1, and by (37), we obtain a2 = µ(x0x1)♯−
µx♯
1x♯
0 = 0 = N(x)0. (iii)
Since x1 = 0 and NA(x2) = 0, (35) yields a0 = (x♯
0)♯+ µ−1x♯
2x2x0 = NA(x0)x0 +
µ−1NA(x2)x0 = N(x)x0. Now, since x0µ−1 = µ−1x0, we have that x♯
0µ−1 = µ−1x♯
0,
so (36) gives that a1 = µ−1(x2x0)♯−µ−1x♯
0x♯
2 = 0 = N(x)0. Finally, (37) gives that
a2 = µ(µ−1x♯
2)♯+ x2x0x♯
0 = µNA(x2)x2(µ−1)♯+ NA(x0)x2 = N(x)x2. ♯
♯ (iv)
Since x2 = 0, x0µ = µx0 and x1µ = µx1, (35) yields a0 = (x♯
0)♯+ µx0x1x♯
1 =
NA(x0)x0 + µNA(x1)x0 = N(x)x0. Now, (37) gives that a2 = µ(x0x1)♯−µx♯
1x♯
0 = 0. Finally, (36) gives that a1 = µ−1(µx♯
1)♯+ x♯
0x0x1 = µ−1NA(x1)x1µ♯+ NA(x0)x1. Thus,
a1 = N(x)x1 if and only if µ−1NA(x1)x1µ♯+ NA(x0)x1 = N(x)x1, which occurs if
and only if µ−1NA(x1)x1µ♯= µNA(x1)x1. Since NA(x1) ̸= 0 and x1µ♯= µ♯x1, this
occurs if and only if µ♯x1 = µ2x1. Finally, NA(x1) ̸= 0 implies that x1 is invertible, so
µ♯x1 = µ2x1 if and only if NA(µ) = µµ♯= µ3. Axioms 2024, 13, 299 15 of 18 15 of 18 (v)
Since x1 = 0, (35) yields a0 = (x♯
0)♯+ µ−1x♯
2x2x0 = N(x)x0. Furthermore, since
x0 commutes with µ, x♯
0 commutes with µ. So, x♯
0µ−1 = µ−1x♯
0. Hence, (36) gives
that a1 = µ−1(x2x0)♯−µ−1x♯
0x♯
2 = 0 = N(x)0. Finally, (37) yields a2 = µ(µ−1x♯
2)♯+
x2x0x♯
0
=
µNA(x2)x2(µ−1)♯+ NA(x0)x2. Thus, a2
=
N(x)x2 if and only if
µNA(x2)x2(µ−1)♯+ NA(x0)x2 = N(x)x2, which occurs if and only if µNA(x2)x2(µ−1)♯
= µ−1NA(x2)x2. Since NA(x2) ̸= 0 and x2(µ−1)♯= (µ−1)♯x2, this occurs if and
only if (µ−1)♯x2 = µ−2x2. Finally, NA(x2) ̸= 0 implies that x2 is invertible, so
(µ−1)♯x2 = µ−2x2 if and only if NA(µ−1) = µ−1(µ−1)♯= µ−3. (y y y )
(
(y ) 0y y
0)
(ii) and (iii) are examples where this is the case. Theorem 7. The identity xx♯= x♯x = N(x)1 holds for all x ∈J(A, µ) if and only if µ ∈F×. Calculation to try gain some deeper understanding on the automorphisms are tedious and did not
lead us anywhere so far. Theorem 7. The identity xx♯= x♯x = N(x)1 holds for all x ∈J(A, µ) if and only if µ ∈F×. The following result is a corrected version of [11] (Theorem 5.2.5), and a
weak generalization of the Jordan composition for µ ∈A× \ F: Theorem 8. Let x = (x0, 0, 0) ∈A, y = (y0, y1, y2) ∈J(A, µ) and suppose that one of the
following holds: Theorem 8. Let x = (x0, 0, 0) ∈A, y = (y0, y1, y2) ∈J(A, µ) and suppose that one of the
following holds: (i)
TA(y0y1y2) = TA(NA(y0)x♯
0y1y2x♯
0). (ii)
y0y1y2 = NA(y0)x♯
0y1y2x♯
0. (iii)
yi = 0 for some i = 0, 1, 2. Then, N(Ux(y)) = N(x)2N(y). (i)
TA(y0y1y2) = TA(NA(y0)x♯
0y1y2x♯
0). (ii)
y0y1y2 = NA(y0)x♯
0y1y2x♯
0. (iii)
yi = 0 for some i = 0, 1, 2. Then, N(Ux(y)) = N(x)2N(y). (i)
TA(y0y1y2) = TA(NA(y0)x♯
0y1y2x♯
0). ♯
♯ (ii)
y0y1y2 = NA(y0)x♯
0y1y2x♯
0. (ii)
y0y1y2 = NA(y0)x♯
0y1y2x♯
0. y y y
(y ) 0y y
0
(iii)
yi = 0 for some i = 0, 1, 2. Proof. Using the definitions, we see that T(x,y) = TA(x0y0) and x♯♯y = (x♯
0♯y0,−x♯
0y1,−y2x♯
0). So Ux(y) = T(x, y)x −x♯♯y = (Ux0(y0), x♯
0y1, y2x♯
0). This yields Proof. Using the definitions, we see that T(x,y) = TA(x0y0) and x♯♯y = (x♯
0♯y0,−x♯
0y1,−y2x♯
0). So Ux(y) = T(x, y)x −x♯♯y = (Ux0(y0), x♯
0y1, y2x♯
0). This yields Ux(y)) = NA(Ux0(y0))1 + µNA(x♯
0y1) + µ−1NA(y2x♯
0) −TA(Ux0(y0)x♯
0y1y2x♯
0)1
= NA(x0)2(NA(y0)1 + µNA(y1) + µ−1NA(y2) −TA(NA(y0)x♯
0y1y2x♯
0)1)
= N(x)2(N(y) + TA(y0y1y2)1 −TA(NA(y0)x♯
0y1y2x♯
0)1), where in the second equality we have used the fact that NA(x♯
0) = NA(x0)2, and that
NA(Ux0(y0)) = NA(x0)2NA(y0). Therefore, N(Ux(y)) = N(x)2N(y), if and only if
TA(y0y1y2)1 = TA(NA(y0)x♯
0y1y2x♯
0). (ii)
d (iii)
l
h
thi i th where in the second equality we have used the fact that NA(x♯
0) = NA(x0)2, and that
NA(Ux0(y0)) = NA(x0)2NA(y0). Therefore, N(Ux(y)) = N(x)2N(y), if and only if
TA(y0y1y2)1 = TA(NA(y0)x♯
0y1y2x♯
0). ( )
d (
)
l
h
h
h 0
0
(ii) and (iii) are examples where this is the case. Axioms 2024, 13, 299 16 of 18 16 of 18 Remark 2. Let f : J(A, µ) →J(A, µ) be an automorphism. Then, Remark 2. Let f : J(A, µ) →J(A, µ) be an automorphism. Then, Remark 2. Let f : J(A, µ) →J(A, µ) be an automorphism. Theorem 7. The identity xx♯= x♯x = N(x)1 holds for all x ∈J(A, µ) if and only if µ ∈F×. Then, Remark 2. Let f : J(A, µ) →J(A, µ) be an automorphism. Then, f ((x0, x1, x2)) = f ((x0, 0, 0)) + f ((0, x1, 0)) + f ((0, 0, x2)). (40) (40) Now,
for
each
x
∈
A,
we
have
f ((0, x, 0))
=
f ((x, 0, 0)) f ((0, 1, 0),
and f ((0, 0, x)) = f ((x, 0, 0)) f ((0, 0, 1)). On the other hand, by using the definition of x, Now,
for
each
x
∈
A,
we
have
f ((0, x, 0))
=
f ((x, 0, 0)) f ((0, 1, 0),
and f ((0, 0, x)) = f ((x, 0, 0)) f ((0, 0, 1)). On the other hand, by using the definition of x, Now,
for
each
x
∈
A,
we
have
f ((0, x, 0))
=
f ((x, 0, 0)) f ((0, 1, 0),
and f ((0, 0, x)) = f ((x, 0, 0)) f ((0, 0, 1)). On the other hand, by using the definition of x, Now,
for
each
x
∈
A,
we
have
f ((0, x, 0))
=
f ((x, 0, 0)) f ((0, 1, 0),
and f ((0, 0, x)) = f ((x, 0, 0)) f ((0, 0, 1)). On the other hand, by using the definition of x, f ((0, x, 0)) = 1
2 TrA(x) f ((0, 1, 0)) −1
2 f ((0, x, 0)),
f ((0, 0, x)) = 1
2 TrA(x) f ((0, 0, 1)) −1
2 f ((0, 0, x)). Hence, Hence, f ((0, x, 0)) = f ((0, 1, 0))(TrA(x) −2f ((x, 0, 0))),
(41)
f ((0, 0, x)) = f ((0, 0, 1))(TrA(x) −2f ((x, 0, 0))). (42) (41)
(42) (42) So, by (40)–(42), we see that any automorphism of J(A, µ) is determined by its restriction on A+,
and its value on (0, 1, 0) and (0, 0, 1). Let f : J(A, µ) →J(A, µ) be an automorphism that fixes
A+; then, f |A+ = τ is either an automorphism or an anti-automorphism of A. Moreover, clearly
f ((1, 0, 0)) = (1, 0, 0), so f ((x0, x1, x2)) = (τ(x0), 0, 0) + (τ(x1), 0, 0) f ((0, 1, 0)) + (τ(x2), 0, 0) f ((0, 0, 1)). Calculation to try gain some deeper understanding on the automorphisms are tedious and did not
lead us anywhere so far. 6. Conclusions We looked at the following canonical question: “what happens if we choose the
element µ that is used in the first Tits construction J(A, µ) in A× instead of in F×?” We
showed that the basic ingredients for an interesting theory are in place: our new algebras
J(A, µ) carry maps that can be understood as generalizations of the classical norms and
traces, and that behave surprisingly similar to the norms and traces of their classical
counterparts; we have a function N on J(A, µ) that extends the cubic norm of A (however,
it has values in A), a trace function T : J(A, µ) →F, and a quadratic map ♯: J(A, µ) →
J(A, µ). Operations like x♯y can easily be defined. Some of the main identities from the
classical setup hold (Theorems 1 and 2), some others hold only for some elements, e.g.,
Lemmas 2 and 3, Corollaries 1 and 2, but not in general, and some hold if—and only
if—µ ∈F× (Proposition 2, Theorem 7), i.e., they hold only in the classical case. µ
p
y
y
It seems a hard problem to check when the algebras J(A, µ) are division algebras. It would also be interesting to compute their automorphisms; however, we expect the
automorphism group to be “small”. Here is one indication as to why this is the case: For
Albert algebras over fields F of characteristic not 2 or 3, we know that the similarities
of their norms are given either by scalar multiplications or the U operators [4]. Using
Theorem 8 (iii), we see that for J(A, µ) with µ ∈A× \ F, scalar multiplications still give
similarities; the U-operators, however, do not. Even partial results on automorphisms or similarities could give an insight on what
is happening in this general context, and it would be interesting to address questions
of whether there are inner automorphisms, whether there are cubic subfields fixed by
automorphisms like in the classical case [2], etc. The fact that two nonisomorphic algebras D+ = (K/F, σ, µ)+ and J(K, µ) have iso-
metric norms is an example of how rich the structure theory for non-associative algebras
really is (Section 4). This is an exploratory paper, but our results show that the algebras J(A, µ) obtained
via a generalized first Tits construction merit a closer look. 5. The Nine-Dimensional Non-Associative Algebras J(K, µ) Let K/F be a separable cubic field extension with Gal(K/F) = ⟨σ⟩, norm NK, and
trace TK. For all x0 ∈K, we have x♯
0 = σ(x0)σ2(x0) and x0 = 1
2(σ(x0) + σ2(x0)). Assume
µ ∈K×. µ
Let us compare the first Tits construction J(K, µ) with the algebra D+ for a (perhaps
non-associative) cyclic algebra D = (K/F, σ, µ) over F of degree three. Consider D as
a left K-vector space with basis {1, z, z2}. Write Rx for the matrix of right multiplication
by x = x0 + x1z + x2z2, xi ∈K, with respect to the basis {1, z, z2}, then the cubic map
ND : D →K, ND(x) = det(Rx) (which is the reduced norm of the central simple algebra D
if µ ∈F×), is given by ND(x) = NK(x0) + µNK(x1) + µ2NK(x2) −µTK(x0σ(x1)σ2(x2)). If ND is anisotropic then D is a division algebra over F. If µ ∈K \ F, we obtain ND(lx) =
NK(l)ND(x) for all x ∈D, l ∈K [11] (Propositions 4.2.2 and 4.2.3). If ND is anisotropic then D is a division algebra over F. If µ ∈K \ F, we obtain ND(lx) =
NK(l)ND(x) for all x ∈D, l ∈K [11] (Propositions 4.2.2 and 4.2.3). On the other hand, J(K, µ) is a nine-dimensional non-associative unital algebra over F
with multiplication xy = (x0 · y0 + x1y2 + x2y1, x0y1 + y0x1 + µ−1(x2 × y2), x0y2 + y0x2 + µ(x1 × y1))
for x = (x0, x1, x2), y = (y0, y1, y2) ∈J(K, µ), cubic norm map
N((x0, x1, x2)) = NK(x0) + µNK(x1) + µ−1NK(x2) −TK(x0x1x2), and trace T(x) = TK(x0). Moreover, we have x♯= (σ(x0)σ2(x0) −x1x2, µ−1σ(x2)σ2(x2) −x0x1, µσ(x1)σ2(x1) −x2x0). Axioms 2024, 13, 299 17 of 18 17 of 18 If µ ∈F×, then D = (K/F, σ, µ) is an associative cyclic algebra over F of degree three and
J(K, µ) ∼= D+ is a special cubic Jordan algebra. It is well known that the isomorphism
G : D+ = (K/F, σ, µ)+ →J(K, µ) is given by x0 + x1z + x2z2 7→(x0, σ(x1), µσ2(x2)). However, if µ ∈K \ F, then the map G : D+ →J(K, µ) is not an algebra isomorphism
between (K/F, σ, µ)+ and J(K, µ), where now (K/F, σ, µ) is a non-associative cyclic algebra,
since σ(µ) ̸= µ. 5. The Nine-Dimensional Non-Associative Algebras J(K, µ) However, for µ ∈K \ F, the map G : D+ →J(K, µ) still yields an isometry
of norms, since N((x0, σ(x1), µσ2(x2)) = NK(x0) + µNK(x1) + µ−1NK(x2) −µTK(x0σ(x1)σ(x2))
= ND((x0, x1, x2)); hence, the norms of the two nonisomorphic non-associative algebras D+ = (K/F, σ, µ)+
and J(K, µ) are isometric. 6. Conclusions As one referee pointed out, they
also show the weaknesses of the language that we have at our disposal, which describes
highly non-associative structures. 7. Materials and Methods We used classical methods from algebra. Author Contributions: Conceptualization, S.P.; Methodology, S.P. and T.M.; Investigation, S.P. and T.M.; Writing—Original Draft Preparation, S.P. and T.M.; Writing—Review and Editing, S.P.;
Supervision, S.P. All authors have read and agreed to the published version of the manuscript. Axioms 2024, 13, 299 18 of 18 Funding: This paper was written while the second author was a visitor at the University of Ottawa. The second author acknowledges support for her stay from the Centre de Recherches Mathématiques
for giving a colloquium talk, and from Monica Nevins’ NSERC Discovery Grant RGPIN-2020-05020. Data Availability Statement: The data presented in this study are available in article. Data Availability Statement: The data presented in this study are available in article. Acknowledgments: The second author would like to thank the Department of Mathematics and
Statistics for its hospitality. The authors thank the anonymous referees for their valuable comments
which greatly helped improve the paper and write the conclusions section. Acknowledgments: The second author would like to thank the Department of Mathematics and
Statistics for its hospitality. The authors thank the anonymous referees for their valuable comments
which greatly helped improve the paper and write the conclusions section. Conflicts of Interest: The author has no relevant financial or non-financial interests to disclose. Conflicts of Interest: The author has no relevant financial or non-financial interests to disclose. References 1. Knus, M.A.; Merkurjev, A.; Rost, M.; Tignol, J.-P. The Book of Involutions; AMS Colloquium Publications: Providence, RI, USA,
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author(s) and contributor(s) and not of MDPI and/or the editor(s). MDPI and/or the editor(s) disclaim responsibility for any injury to
people or property resulting from any ideas, methods, instructions or products referred to in the content. Disclaimer/Publisher’s Note: The statements, opinions and data contained in all publications are solely those of the individual
author(s) and contributor(s) and not of MDPI and/or the editor(s). MDPI and/or the editor(s) disclaim responsibility for any injury to
people or property resulting from any ideas, methods, instructions or products referred to in the content.
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Single Session Imaging of Cerebellum at 7 Tesla: Obtaining Structure and Function of Multiple Motor Subsystems in Individual Subjects
|
PloS one
| 2,015
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cc-by
| 14,935
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RESEARCH ARTICLE Single Session Imaging of Cerebellum at 7
Tesla: Obtaining Structure and Function of
Multiple Motor Subsystems in Individual
Subjects Melissa A. Batson1,3*¤, Natalia Petridou2, Dennis W. J. Klomp2, Maarten A. Frens3,4,
Sebastiaan F. W. Neggers1 Melissa A. Batson1,3*¤, Natalia Petridou2, Dennis W. J. Klomp2, Maarten A. Frens3,4,
Sebastiaan F. W. Neggers1 a11111 1 Brain Center Rudolf Magnus, Department of Psychiatry, University Medical Center Utrecht, Utrecht, The
Netherlands, 2 Radiology Department, Imaging Division, University Medical Center Utrecht, Utrecht, The
Netherlands, 3 Department of Neuroscience, Erasmus MC, Rotterdam, The Netherlands, 4 Erasmus
University College, Rotterdam, The Netherlands ¤ Current address: Centre for Neuroscience, Indian Institute of Science, Malleshwaram, Bangalore, India
* melbatson@gmail.com Abstract Citation: Batson MA, Petridou N, Klomp DWJ, Frens
MA, Neggers SFW (2015) Single Session Imaging of
Cerebellum at 7 Tesla: Obtaining Structure and
Function of Multiple Motor Subsystems in Individual
Subjects. PLoS ONE 10(8): e0134933. doi:10.1371/
journal.pone.0134933 The recent increase in the use of high field MR systems is accompanied by a demand for
acquisition techniques and coil systems that can take advantage of increased power and
accuracy without being susceptible to increased noise. Physical location and anatomical
complexity of targeted regions must be considered when attempting to image deeper struc-
tures with small nuclei and/or complex cytoarchitechtonics (i.e. small microvasculature and
deep nuclei), such as the brainstem and the cerebellum (Cb). Once these obstacles are
overcome, the concomitant increase in signal strength at higher field strength should allow
for faster acquisition of MR images. Here we show that it is technically feasible to quickly
and accurately detect blood oxygen level dependent (BOLD) signal changes and obtain
anatomical images of Cb at high spatial resolutions in individual subjects at 7 Tesla in a sin-
gle one-hour session. Images were obtained using two high-density multi-element surface
coils (32 channels in total) placed beneath the head at the level of Cb, two channel transmis-
sion, and three-dimensional sensitivity encoded (3D, SENSE) acquisitions to investigate
sensorimotor activations in Cb. Two classic sensorimotor tasks were used to detect Cb acti-
vations. BOLD signal changes during motor activity resulted in concentrated clusters of
activity within the Cb lobules associated with each task, observed consistently and indepen-
dently in each subject: Oculomotor vermis (VI/VII) and CrusI/II for pro- and anti-saccades;
ipsilateral hemispheres IV-VI for finger tapping; and topographical separation of eye- and
hand- activations in hemispheres VI and VIIb/VIII. Though fast temporal resolution was not
attempted here, these functional patches of highly specific BOLD signal changes may
reflect small-scale shunting of blood in the microvasculature of Cb. The observed improve-
ments in acquisition time and signal detection are ideal for individualized investigations
such as differentiation of functional zones prior to surgery. Editor: Ramesh Balasubramaniam, University of
California, Merced, UNITED STATES
Received: March 26, 2015
Accepted: July 15, 2015
Published: August 10, 2015
Copyright: © 2015 Batson et al. This is an open
access article distributed under the terms of the
Creative Commons Attribution License, which permits
unrestricted use, distribution, and reproduction in any
medium, provided the original author and source are
credited. Cerebellar Function The cerebellum (Cb) has a uniform architecture throughout and is divided into the cerebellar
vermis (v) along the medial portion and cerebellar hemispheres (h) laterally with the paraver-
mis (or intermediate zone) located between the two; these regions are divided into ten lobules,
arranged dorsoventrally (Fig 1a). In general, Cb is able to update motor commands using on-
line mechanisms to constantly adjust our participation with the external environment. For
example, vision relies fundamentally on changing inputs in order to update visual information
from the external environment; for this reason we constantly sample different locations in our
visual world using fast eye movements (saccades). It is well known that the Cb is intimately
involved in motor control [1–3] and that different regions of Cb react to or elicit distinct senso-
rimotor activity in different body parts (i.e. finger, arm, and eye movements, etc.) at both the
cortical and nuclear layers [4–9]. A sensory/motor homunculus in Cb is mirrored in dorsal and
ventral cortex [10] and somatotopic organization with specific regard to arm, hand, finger, and
eye areas are all well defined in human and animal Cb—with hand and finger movements
found topographically in dorsal motor areas (around ipsilateral hV); with a second, less strict,
representation in hVIII, and eye movements in vII/III through VI ([9,11–18]; see [19] for
review). Competing Interests: The authors have declared
that no competing interests exist. Competing Interests: The authors have declared
that no competing interests exist. Different regions of Cb are implicated in higher order functions such as counting, timing,
cognitive learning, and memory [2,19,22,23]. Many studies have implied that (lateral) Cb cor-
tex is critical to cognitive or goal-directed neocortical processes involved in controlling voli-
tional eye movements and/or appropriate suppression of reflexive eye movements, such as
memory-guided saccades, anti-saccades, and saccade adaptation [24–28]. However, this view-
point can be challenged, as attention and eye movements are an integral part of most studies
on cognition [29–32]. Though it has been difficult to pinpoint the location(s) of different
aspects of cognitive processes within Cb, relating the cognitive planning components of voli-
tional movements (versus reflexive movements [33]) and/or motor learning are a good starting
point. While the general topography of functional zones in Cb is widely accepted, detailed location
of function is not consistent across individuals [7,18] and this results in larger areas of activa-
tion in normalized space when assessing group analyses [34,35]. Cerebellar Function Enabling high-resolution
structural and functional delineations for individualized assessment can be beneficial for many
clinical procedures; e.g. for pre-surgical assessment of cerebellar infarcts related to vertebroba-
silar stroke [36,37], tumor resection [38], or for individual lesion-symptom mapping [39,40]. Localizing these functional activations as quickly and succinctly as possible can further benefit
this type of assessment. Introduction en Levenswetenschappen (NWO ALW) 834.14.004
(NP, DWJK) www.nwo.nl/ The funders had no role in
study design, data collection and analysis, decision to
publish, or preparation of the manuscript. C7
European Union Initial Training Network (MAB, MAF)
http://cordis.europa.eu/result/rcn/149358_en.html The
funders had no role in study design, data collection
and analysis, decision to publish, or preparation of
the manuscript. en Levenswetenschappen (NWO ALW) 834.14.004
(NP, DWJK) www.nwo.nl/ The funders had no role in
study design, data collection and analysis, decision to
publish, or preparation of the manuscript. C7
European Union Initial Training Network (MAB, MAF)
http://cordis.europa.eu/result/rcn/149358_en.html The
funders had no role in study design, data collection
and analysis, decision to publish, or preparation of
the manuscript. Imaging Multiple Motor Subsystems in Cerebellum at 7 Tesla Abstract Editor: Ramesh Balasubramaniam, University of
California, Merced, UNITED STATES
Received: March 26, 2015
Accepted: July 15, 2015
Published: August 10, 2015 Published: August 10, 2015 Copyright: © 2015 Batson et al. This is an open
access article distributed under the terms of the
Creative Commons Attribution License, which permits
unrestricted use, distribution, and reproduction in any
medium, provided the original author and source are
credited. Data Availability Statement: Data are available
upon request due to legal and ethical restrictions from
the Medical Ethics Committee of the University
Medical 202 Center Utrecht. Interested researchers
may contact melbatson@gmail.com, m. frens@erasmusmc.nl, or b.neggers@umcutrecht.nl. Funding: Funded by Trans Channel Neuroscience
Network (TC2N) Interreg Initiative (MAB) www.tc2n. org/. The funder had no role in study design, data
collection and analysis, decision to publish, or
preparation of the manuscript. Nederlandse
Organisatie voor Wetenschappelijk Onderzoek Aard- 1 / 25 PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 NE | DOI:10.1371/journal.pone.0134933
August 10, 201 Imaging Cerebellum Is Difficult The anatomical complexity and physical location of Cb creates many challenges to successful
imaging of this structure. Differentiating the small-scale foliation of Cb cortex amongst local
magnetic field inhomogeneities arising from neighboring air pockets (such as the ear canal),
coil edge effects leading to loss of B1 power (which together can lead to significant ventral and
lateral signal drop out), and tissue artifacts from neck muscle activity are important concerns
when imaging these areas [15,34,41–43]. Minute structures and inhomogeneous location also
make functional imaging of Cb more susceptible to physiological and movement artifacts [43–
45], a particular confound when long acquisition times are required to obtain a significant con-
trast-to-noise ratio (CNR). With the advance of ultra-high field magnetic resonance (MR), PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 2 / 25 Imaging Multiple Motor Subsystems in Cerebellum at 7 Tesla Fig 1. Experimental Design. a) Cb is divided into three main parts—vermis (medial Cb; will be denoted in the text with a “v”), paravermal (m
and hemispheres (lateral Cb; both of which will be denoted collectively in the text with an “h”)–which are then further divided into ten number
arranged dorsoventrally I-X. Task-related activations were expected in five regions of interest: oculomotor vermis (vVI-VII) & hVIIb for the PA
possible cognition-related activation in lobules CrusI & CrusII (hVII), and in hV & hVIII for the FT task. These lobules are color-coded and ove
average Cb from the SUIT toolbox [20] and listed, in matching colors, on the right. b) top–Two high-density surface coils with 16 elements ea
signal reception (adapted from [21]), bottom–the coils were placed beneath Cb using the inion of the skull as a landmark and accurate place
confirmed with a scout scan. c) The stimulus sequence was identical for both eye- and finger-movement tasks: In the pro-/anti-saccade (PA)
made eye movements to locations which were either identical to (pro-saccade) or opposite from (anti-saccade) the location of a white target Fig 1. Experimental Design. a) Cb is divided into three main parts—vermis (medial Cb; will be denoted in the text with a “v”), paravermal (medio-lateral Cb)
and hemispheres (lateral Cb; both of which will be denoted collectively in the text with an “h”)–which are then further divided into ten numbered lobules,
arranged dorsoventrally I-X. Imaging Multiple Motor Subsystems in Cerebellum at 7 Tesla after a red or a blue central cue; color and movement direction pairings were counterbalanced across subjects. In the finger tapping (FT) task subjects moved
their thumb at 2 Hz whenever the dots were moving. In each task the active period lasted for 20s and alternated with 20s of fixation for one full run of eight
minutes after a red or a blue central cue; color and movement direction pairings were counterbalanced across subjects. In the finger tapping (FT) task subjects moved
their thumb at 2 Hz whenever the dots were moving. In each task the active period lasted for 20s and alternated with 20s of fixation for one full run of eight
minutes doi:10.1371/journal.pone.0134933.g001 high-resolution anatomical images and detailed localization of functional activations are possi-
ble. The increased spatial resolution enabled by high field MR systems has already fostered
interest from the Cb research community, enabling feats such as visualizing granular and
molecular layers of cerebellar cortex, creation of a probabilistic atlas for locating the deep cere-
bellar nuclei (DCN) and activity therein, relating activation of these nuclei to activations in Cb
cortex, and visualization of somatosensory representations of the hand in lobules hV and hVIII
in individual subjects [18,46–49]. These studies exemplify the ability to target deeper structures
with small nuclei and/or complex cytoarchitechtonics (i.e. small microvasculature and/or deep
nuclei) at high field strengths. Despite these advances, high-field Cb studies typically focus on
either structure or function of a single system (e.g. somatosensory finger topography). Thus the
ability to clearly differentiate the entire region of interest (ROI; in our case, both Cb cortex and
DCN) structurally and acquire functional information about multiple systems within a single
session remains unseen. Imaging Cerebellum Is Difficult Task-related activations were expected in five regions of interest: oculomotor vermis (vVI-VII) & hVIIb for the PA task, with
possible cognition-related activation in lobules CrusI & CrusII (hVII), and in hV & hVIII for the FT task. These lobules are color-coded and overlaid on an
average Cb from the SUIT toolbox [20] and listed, in matching colors, on the right. b) top–Two high-density surface coils with 16 elements each were used for
signal reception (adapted from [21]), bottom–the coils were placed beneath Cb using the inion of the skull as a landmark and accurate placement was
confirmed with a scout scan. c) The stimulus sequence was identical for both eye- and finger-movement tasks: In the pro-/anti-saccade (PA) task subjects
made eye movements to locations which were either identical to (pro-saccade) or opposite from (anti-saccade) the location of a white target that appeared Fig 1. Experimental Design. a) Cb is divided into three main parts—vermis (medial Cb; will be denoted in the text with a “v”), paravermal (medio-lateral Cb)
and hemispheres (lateral Cb; both of which will be denoted collectively in the text with an “h”)–which are then further divided into ten numbered lobules,
arranged dorsoventrally I-X. Task-related activations were expected in five regions of interest: oculomotor vermis (vVI-VII) & hVIIb for the PA task, with
possible cognition-related activation in lobules CrusI & CrusII (hVII), and in hV & hVIII for the FT task. These lobules are color-coded and overlaid on an
average Cb from the SUIT toolbox [20] and listed, in matching colors, on the right. b) top–Two high-density surface coils with 16 elements each were used for
signal reception (adapted from [21]), bottom–the coils were placed beneath Cb using the inion of the skull as a landmark and accurate placement was
confirmed with a scout scan. c) The stimulus sequence was identical for both eye- and finger-movement tasks: In the pro-/anti-saccade (PA) task subjects
made eye movements to locations which were either identical to (pro-saccade) or opposite from (anti-saccade) the location of a white target that appeared PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 3 / 25 Combining Techniques to Tackle the Challenge These concerns demonstrate the need for acquisition methods and coil systems that can take
advantage of the increased signal at high field strengths whilst controlling for increases in sig-
nal dropout and artifacts, such as those arising from local B0 (constant, homogenous magnetic
field) or B1 (applied radio frequency (RF) energy field) inhomogeneities, especially at the level
of Cb. Recent developments in acquisition schemes, such as the use of multiple receiving coils
and accelerated (3D) parallel imaging employing sensitivity encoding (SENSE), allow for
increases in the spatial resolution of images without increasing acquisition time. These acquisi-
tion schemes are also able to maintain a high signal-to-noise ratio (SNR) and bolster image
attributes such as blood oxygenation level-dependent (BOLD) signal specificity and temporal
SNR (tSNR) [50–52]. A second advance which successfully combats inhomogeneity problems
is the use of multiple RF amplifiers to steer constructive and destructive B1 field patterns, sub-
sequently increasing B1 homogeneity and allowing uniform excitation of the volume and fur-
ther reducing signal dropout [53,54]. Despite advances in acquisition techniques, spatial restrictions of scanner hardware remain
as a technical barrier that must be overcome to facilitate many experimental paradigms. For
example, when imaging the whole brain, the solid head coils required to provide a uniform B1
field whilst receiving signals from the entire head limit the ability to easily present visual stimuli
to subjects and are sometimes too small for subjects with large head circumference. However,
concentrating coil density over a posterior ROI in the brain can clear up space for presentation
of visual stimuli and/or subject comfort whilst increasing the local homogeneity of the B1 field
around the ROI [18,21,55]. Moreover, studies using a high-density multi-element surface coil
to detect BOLD signal changes at ultra-high spatial resolution benefit from increased SNR and
CNR, indirectly decreasing acquisition time. Here we aimed to clearly reveal subject-specific task-related activity in Cb associated with
two well-documented motor subsystems, eye-movements and finger-movements. The end goal
was to confirm that high-density surface coils maintain improved and uniform tSNR and
BOLD contrast over the entire Cb in healthy individuals. The combinatorial methodology used
in this study also overcomes the aforementioned challenges of imaging deeper structures,
shortening acquisition times to increase experimental efficiency and subject comfort, and PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 4 / 25 Imaging Multiple Motor Subsystems in Cerebellum at 7 Tesla relieving spatial constraints within the transmit coil. Combining Techniques to Tackle the Challenge The acquisition scheme utilizes two
16-channel surface coils of [21] integrated in a volume transmit coil (Nova, USA) powered by
two RF amplifiers, which were shimmed separately, and a 7 Tesla (7T) scanner. Images were
acquired with 3D-parallel imaging using SENSE and B0 shimming. A task including both pro-
saccades and anti-saccades (PA task; inducing both reflexive and volitional saccades, respec-
tively) was used to confirm eye-movement-dependent activations in oculomotor vermis
(OMV, vVIc and vVII) and DCN [9,32,56–58]. Additionally, the role of lateral Cb cortex in
goal-directed eye-movement planning was also probed with this task, with expected activations
in hVI and/or CrusI/II relating to volitional saccades, visual attention, and/or saccadic errors
from anti-saccades [25,59,60]. A finger-tapping (FT) task was used to confirm activations in
ipsilateral dorsal and ventral (sensory-) motor hand areas of Cb cortex [11,15,17,18], hIV-V
and hVIII, which should not overlap with the oculomotor system. Subjects Seven right-handed subjects with normal or corrected-to-normal vision participated in the
experiment (four male). The average age of subjects was 31. No subject had a history of mental
or neurological illness; all were screened for implanted metal objects before entering the fMRI
experiment. Materials and Methods This study was approved by the Medical Ethics Committee of the University Medical Center
Utrecht (METC approval no. 07-235/C) and all subjects gave written informed consent prior
to participation. Acquisition Scanning was performed on a Phillips 7T scanner (Phillips, Best, NL) with a gradient strength
of 40 mT/m and a slew rate of 200 T/m/s, using two dedicated 16-channel surface receiving
coils (MR Coils BV, Drunen, the Netherlands; for a total of 32 channels; see Fig 1b and [21] for
more details on coil arrangement and design, respectively) with a volume transmit coil (Nova
Medical, MA, USA) and dual transmission for excitation. Cb was located using the inion as a
landmark, and placed on the center of the surface coils. Before shimming, accuracy of place-
ment was confirmed with a scout scan and subjects were repositioned if Cb was not within the
field of view (FOV) of the surface coils. (For an example of data of one subject acquired when
the Cb was below the FOV of the coils, see S1 Fig) RF transmit phases were adjusted separately
to homogenize the B1 field around Cb and the B0 field was shimmed separately on the FOV
using pre-defined shim tools built in house for both procedures [61]; these shimming parame-
ters were then applied to all subsequent acquisitions, including the coil sensitivity profile acqui-
sition. Functional and structural scans were obtained with a 3D acquisition protocol (see
[51,52] for examples) using SENSE [50]. FMRI data were acquired using a segmented 3D-echo
planar imaging (EPI) sequence with the following parameters: effective TR/TE = 42/25 ms;
FOV (right-left, foot-head, anterior-posterior) = 140 x 160 x 50 mm3; flip angle (FA) = 20°;
with an EPI factor of 29 and 40 coronal slices; voxel size = 1.25 mm isotropic (BW 1355.1 Hz);
SENSE factors R = 2.3 (Right-Left) and R = 1.5 (Anterior-Posterior). The echo-train duration
was 28 ms, and total acquisition time per volume was 2940 ms, yielding 164 acquisitions for
one eight-minute run. Anatomical T1-weighted (T1w) MPRAGE parameters were: TR/
TE = 8.0/3.1 ms; FOV = 140 x 160 x 50 mm3; FA = 10°; voxel size = 0.63 mm isotropic; R = 1 in
all directions; total acquisition time was 5’52”. Acquisition T2-weighted (T2W) scan parameters were: TR/
TE = 3182.5/2.6ms; FOV = 180 x 180 x 58 mm3; FA = 50°; EPI factor = 13 and 10 coronal slices; 5 / 25 PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 Imaging Multiple Motor Subsystems in Cerebellum at 7 Tesla voxel size: 0.28 x 0.28 x 4 mm with a 2mm gap; total acquisition time was 4’46”. Anatomical
T2-weighted (T2w) scan parameters were: TR/TE = 50.91/27 ms; FOV = 152 x 152 x 35
mm3; FA = 24°; with an EPI factor of 13 and 70 coronal slices; voxel size = 0.5 x 0.5 x 0.5 mm3;
total acquisition time was 46.2 seconds. T2W and T2w scans were only collected from the last
two subjects to investigate DCN and vasculature. Total time in the scanning room, including
shimming, was 40 to 55 minutes. Task-Related Changes in BOLD Sensitivity Task-related changes in BOLD sensitivity and specificity were assessed in seven subjects using
a block-based design of two motor tasks well known to activate specific areas of the cerebellum
(ROIs, Fig 1a): vVI and vVII for pro-saccades versus anti-saccades (PA), and hV and hVIII for
finger tapping (FT). See Fig 1a for structural locations of ROIs and 1c for a schematic of stimu-
lus timing. The same visual stimuli were used for both tasks. In the active block of both tasks, a
colored central cue was presented at fixation for 500 ms, and at the offset of the cue a white tar-
get appeared on the left or right at 3 or 10 degrees of visual angle (DOV) from fixation for 950
ms; a white central cue guided the eyes back to the center of the screen for 250 ms. Both cue
and target subtended approximately 3 DOV. Each active block lasted 20 seconds, and active
blocks were alternated with rest blocks (20 seconds of fixation) for one full run lasting eight (8)
minutes. For the PA task, subjects were instructed make a pro-saccade (towards the target)
when the cue is red and to make an anti-saccade (away from the target, to the un-cued mirror
location) when the cue is blue; color cues were counterbalanced over subjects. For further task
details see [62]. For the FT task, subjects were instructed to move their thumb at 2 Hz whenever
they saw dots moving on the screen, and to rest during the fixation period. Visual stimuli were
presented on a screen above the transmit coil. Images were reflected from the screen via an
adjustable intermediate mirror and viewed through prism goggles, which re-directed the image
from this mirror towards the eyes. Spatial Preprocessing All image processing and statistical modeling was done with SPM8 (Wellcome Trust Center
for Neuroimaging, London, UK) on MATLAB 7.12.0 (Mathworks, Natick, MA, USA). Func-
tional images were realigned and resliced at their original voxel size and all structural and ana-
tomical images were coregistered to the mean functional image. Using the full-head scout scan
as a guide, the anterior commissure (AC) was moved to [0 0 0] xyz coordinate and the head
was rotated to approximate a common atlas position by eye, these transformations were
applied to the header of all images to approximate Montreal Neurological Institute (MNI)/
Talairach space. Cb was isolated from the T1w-image using the SUIT toolbox [20]. Note that
though the AC of each scan was centered, no normalization was applied to any scans for indi-
vidual analyses. Functional images were smoothed at 2mm FWHM and nuisance regressors
were extracted from the time series on a per-subject basis using 3 x 3 x 3 mm3 samples from
white matter in the left and the right hemisphere and from cerebral spinal fluid (CSF) in ventri-
cle IV, the superior cerebellar cistern and the cisterna magna. The parameters from the SUIT
isolation were later used to normalize functional acquisitions to common SUIT space on a per-
subject basis to confirm individual results in a common space and for analyses at the group
level (see Spatial post-processing and group statistics, below). Statistical Analyses Evaluation of signal quality and stability. Signal quality of these surface coils has been
previously defined for visual cortex [21,55] showing boosted tSNR close to the coil, yet with a PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 6 / 25 Imaging Multiple Motor Subsystems in Cerebellum at 7 Tesla limited depth of view, which is required to cover the entire Cb. While the performance assess-
ment in those studies was obtained with a single 16 channel surface coil, we required deeper
penetration in order to reach Cb and therefore used two sets of 16 channel surface coils and
two transmission amplifiers. To confirm sufficient SNR over the Cb with this arrangement,
tSNR was computed from one run of PA acquisitions in a single subject (S05), after motion
correction and removal of the task-induced signal, by calculating the residual variance of the
remaining signal and normalizing the average signal intensity by this variance (over time), for
each voxel in the brain. This subject also completed both tasks in a standard 32-channel full
head coil (Nova Scientific, USA) with identical scan parameters and analyses (see below), and
the resulting activation maps were compared to the surface coil acquisition; see S1 Methods for
details. Changes in brain activation. A GLM contrasting 20s task against 20s rest was created
using the block design from each experimental run convolved with the canonical hemody-
namic response function (HRF), and a high-pass filter of 80s was applied to each timeseries;
this model also included the aforementioned WM and CSF nuisance regressors. Timeseries
from all voxels within the imaged volume were included when estimating the model. The
resulting T-maps from this active versus rest contrast were overlaid on the T1w images using
MRIcron [63]. Voxels with significance above p < 0.05 (voxel-based family-wise error (FWE)
false discovery rate (FDR) corrected, automatically calculated with SPM interface, further
referred to as ‘SPMT’) frequently occurred in extremely small clusters that are difficult to make
out at any scale without significant prior knowledge of Cb anatomy. This default FDR is a very
strict correction for individual analyses and does not weigh the individual variations in noise. Therefore a cluster-based FDR correction utilizing the intercepts of the noise Gaussian distri-
bution with the positive and negative gamma signal was also applied, specified for each subject
individually (adaptive thresholds, ‘AT’ [38]). Results The data of one subject were acquired when the Cb was below the FOV of the coils and these
data are not displayed in the figures of the main text; see S2 Fig for complementary panels of
structural and functional images from this subject. Statistical Analyses The AT maps were then thresholded, removing
voxels below the AT and/or not surviving FDR cluster thresholds. Voxel clusters surviving
SPMT therefore needed to exceed the minimum size of corresponding AT clusters to survive
this thresholding method. Individual T-values in each figure therefore range from cluster-
based AT FDR to voxel-based SPMT FDR values representing p < 0.05 in both instances. Spatial post-processing and group statistics. To assess the stability of the results across
the sample size of this experiment, statistical maps from each subject were created from the
SUIT-normalized and smoothed functional images masked inclusively for voxels within the
standard SUIT Cb mask. All resulting maps were overlaid on the SUIT atlas to investigate the
validity of the individual activations in common (MNI) space. These maps were then entered
into two simple second level analyses (Paired t-Test and multiple regression only) in SPM to
evaluate activations at the group level. No additional second level analyses were run, as the goal
of this study was to investigate activations at the single-subject level. Task-Related Signal Changes Reliable signal changes were observed within Cb when contrasting active versus rest periods
for both tasks in all subjects. Figs 2–6 show the specificity of task-related Cb activation in each
subject in non-normalized space as overlays on individual T1w structural scans. In all images,
overlays are cluster-thresholded AT maps and the color bar(s) denote a range of T-values 7 / 25 PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 Imaging Multiple Motor Subsystems in Cerebellum at 7 Tesla Fig 2. Functional Accuracy of Pro-Anti Activations in Cb, Oculomotor Vermis and Paravermis VI. Activity in OMV (medial posterior Cb, layers vVIc and
vVII, central panel) and paravermis VI and CrusII/VIIa during the PA task is displayed on sagittal slices (vertical lines dissecting rightmost coronal view). Ventral OMV is active in all subjects besides S05 during this task while activity is also present in dorsal OMV for all subjects besides S03 and S04; slices are
through Cb vermis and paravermis only. Slice locations (sagittal non-normalized MNI space, x-plane) are displayed at the top of each panel. Refer to Fig 1a
for a guide to anatomical lobule definitions. Fig 2. Functional Accuracy of Pro-Anti Activations in Cb, Oculomotor Vermis and Paravermis VI. Activity in OMV (medial posterior Cb, layers vVIc and
vVII, central panel) and paravermis VI and CrusII/VIIa during the PA task is displayed on sagittal slices (vertical lines dissecting rightmost coronal view). Ventral OMV is active in all subjects besides S05 during this task while activity is also present in dorsal OMV for all subjects besides S03 and S04; slices are
through Cb vermis and paravermis only. Slice locations (sagittal non-normalized MNI space, x-plane) are displayed at the top of each panel. Refer to Fig 1a
for a guide to anatomical lobule definitions. Fig 2. Functional Accuracy of Pro-Anti Activations in Cb, Oculomotor Vermis and Paravermis VI. Activity in OMV (medial posterior Cb, layers vVIc and
vVII, central panel) and paravermis VI and CrusII/VIIa during the PA task is displayed on sagittal slices (vertical lines dissecting rightmost coronal view). Ventral OMV is active in all subjects besides S05 during this task while activity is also present in dorsal OMV for all subjects besides S03 and S04; slices are
through Cb vermis and paravermis only. Slice locations (sagittal non-normalized MNI space, x-plane) are displayed at the top of each panel. Refer to Fig 1a
for a guide to anatomical lobule definitions. PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 Task-Related Signal Changes doi:10.1371/journal.pone.0134933.g002 encompassing the p < 0.05 thresholds for the two types of FDR thresholding analyses run:
from cluster-based AT FDR values (lower-value hash mark on each color bar) to voxel-based
family-wise error (FWE) SPMT FDR values (higher-value hash mark on each color bar). In Figs
2–6, subject-specific data are displayed in the panels beside the subject ID and activations for
both tasks are shown in all panels: PA activation is displayed in red-to-yellow colors while FT
activation is displayed in blue-to-green colors (each representing low-to-high significance,
respectively). Hash marks through the color bars indicate the lower (cluster-based) and upper
(voxel-based) FDR thresholds. See S1 Table for a list of AT and SPMT values for each task for
each subject. In addition, the maximum T-value at the crosshairs or within the circles in Figs
3–7 is displayed on the axial slice, color-matched to the color bar representing each task. Fig 2 displays sagittal slices through the paravermis and OMV (vVI-VII) and Table 1 lists
the maximum T-value per cross-section for each subject. Fig 3 displays crosshairs in encompassing the p < 0.05 thresholds for the two types of FDR thresholding analyses run:
from cluster-based AT FDR values (lower-value hash mark on each color bar) to voxel-based
family-wise error (FWE) SPMT FDR values (higher-value hash mark on each color bar). In Figs
2–6, subject-specific data are displayed in the panels beside the subject ID and activations for
both tasks are shown in all panels: PA activation is displayed in red-to-yellow colors while FT
activation is displayed in blue-to-green colors (each representing low-to-high significance,
respectively). Hash marks through the color bars indicate the lower (cluster-based) and upper
(voxel-based) FDR thresholds. See S1 Table for a list of AT and SPMT values for each task for
each subject. In addition, the maximum T-value at the crosshairs or within the circles in Figs
3–7 is displayed on the axial slice, color-matched to the color bar representing each task. Fig 2 displays sagittal slices through the paravermis and OMV (vVI-VII) and Table 1 lists
the maximum T-value per cross-section for each subject. Fig 3 displays crosshairs in PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 8 / 25 Imaging Multiple Motor Subsystems in Cerebellum at 7 Tesla Fig 3. Functional Accuracy of Pro-Anti Activations in Cb, Bilateral VI. PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 Task-Related Signal Changes Bilateral hVI is activated during PA; crosshairs denote an active cluster in left
paravermis VI and distinct clusters can be seen aligned along lobule VI in the axial (rightmost) panels. Slice locations (in non-normalized MNI space) are
displayed at the top of each panel and T-values at the crosshairs are displayed at the bottom of the axial panels. Refer to Fig 1a for a guide to anatomical
lobule definitions. Fig 3. Functional Accuracy of Pro-Anti Activations in Cb, Bilateral VI. Bilateral hVI is activated during PA; crosshairs denote an active cluster in left
paravermis VI and distinct clusters can be seen aligned along lobule VI in the axial (rightmost) panels. Slice locations (in non-normalized MNI space) are
displayed at the top of each panel and T-values at the crosshairs are displayed at the bottom of the axial panels. Refer to Fig 1a for a guide to anatomical
lobule definitions. doi:10.1371/journal.pone.0134933.g003 paravermis (left hVI) where activity was indeed observed in each subject during PA eye move-
ments. Note that activations were confined to the grey matter and that the pinpoint PA-related
activity is located in clusters bilaterally along lobule VI in the axial plane (rightmost panels: ver-
mis, paravermis, and hemispheres), seen as bright yellow activations in line with the curvature
of the lobule marked by crosshairs in the axial panels of Fig 3. Aside from the differences in
sagittal (left-right) locations dissecting the PA-related clusters, the PA-clusters are themselves
located at slightly different axial (foot-head) locations. Ventral OMV is active in all subjects
besides S05 during this task while activity is also present in dorsal OMV for all subjects besides
S3 and S04 (Fig 2). Crosshairs in Fig 4 denote an active cluster in right hV where finger-movement related
activity was also observed as expected and reliably in each subject. Also note the restriction of PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 9 / 25 Imaging Multiple Motor Subsystems in Cerebellum at 7 Tesla Fig 4. Functional Accuracy of Thumb Tapping Activations in Cb, Ipsilateral IV-VI. Ipsilateral hIV-VI is activated during the FT task; crosshairs denote an
active cluster in or adjacent to right hV (S04 –hVI-VII). Activations for both tasks are shown in all images, with PA activity denoted by red-yellow and FT
activity by blue-green color bars. PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 Task-Related Signal Changes Note the large structural and functional (with regard to both location and strength) variability between subjects; maximum
FT-clusters can be located anywhere between the IV-V border (S03, S05 and S06) to the V-VI border (S01, S02, S04). Slice locations (in non-normalized
MNI space) are displayed at the top of each panel and T-values at the crosshairs are displayed at the bottom of the axial (rightmost) panels. Refer to Fig 1a
for a guide to anatomical lobule definitions. Fig 4. Functional Accuracy of Thumb Tapping Activations in Cb, Ipsilateral IV-VI. Ipsilateral hIV-VI is activated during the FT task; crosshairs denote an
active cluster in or adjacent to right hV (S04 –hVI-VII). Activations for both tasks are shown in all images, with PA activity denoted by red-yellow and FT
activity by blue-green color bars. Note the large structural and functional (with regard to both location and strength) variability between subjects; maximum
FT-clusters can be located anywhere between the IV-V border (S03, S05 and S06) to the V-VI border (S01, S02, S04). Slice locations (in non-normalized
MNI space) are displayed at the top of each panel and T-values at the crosshairs are displayed at the bottom of the axial (rightmost) panels. Refer to Fig 1a
for a guide to anatomical lobule definitions. doi:10.1371/journal.pone.0134933.g004 FT-related activity to a small number of folia within ipsilateral (R) hV-VI (Fig 4). Although
activity was observed in or around the expected lobule of each subject, the location of peak
activity varied between subjects. For instance, the PA-clusters that spill over from ventral V to
dorsal VI in S01 lie more dorsally in layer V in S03 and S04 (sagittal sections, Fig 2), and maxi-
mum Cb FT-clusters can be located anywhere between the IV-V border (S03, S05 and S06) to
the V-VI border (S01, S02, S04; Fig 4) In addition to the expected motor-related activity mentioned above, lateral Cb was found to
be active during the PA task for most subjects (particularly prominent in S01, S03, S04 and
S06; Fig 5), presumably representing the cognitive load of planning volitional anti-saccades
and/or visual attention. Clusters of activity were observed in hCrusI and/or hCrusII as well as PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 10 / 25 Imaging Multiple Motor Subsystems in Cerebellum at 7 Tesla Fig 5. Functional Delineation of Task-Related Activity, Pro-Anti Activations in CrusI and CrusII. PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 Task-Related Signal Changes PA-related activity is also seen in hCrusI and/or
hCrusII (crosshairs); presumably due to the cognitive component required to plan and execute a volitional anti-saccades. Clusters occur in either dorsal CrusI
(S01, S03 and S06) or medioventral CrusII (S02, S04 and S05). Slice locations (in non-normalized MNI space) are displayed at the top of each panel and T-
values at the crosshairs are displayed at the bottom of the axial (rightmost) panels. Refer to Fig 1a for a guide to anatomical lobule definitions. doi:10 1371/journal pone 0134933 g005 Fig 5. Functional Delineation of Task-Related Activity, Pro-Anti Activations in CrusI and CrusII. PA-related activity is also seen in hCrusI and/or
hCrusII (crosshairs); presumably due to the cognitive component required to plan and execute a volitional anti-saccades. Clusters occur in either dorsal CrusI
(S01, S03 and S06) or medioventral CrusII (S02, S04 and S05). Slice locations (in non-normalized MNI space) are displayed at the top of each panel and T-
values at the crosshairs are displayed at the bottom of the axial (rightmost) panels. Refer to Fig 1a for a guide to anatomical lobule definitions. doi:10.1371/journal.pone.0134933.g005 hVIIb during the PA task (Figs 5 and 6, respectively). Note that the most active clusters occur
in either dorsal CrusI (S01, S03 and S06) or medioventral CrusII (S02, S04 and S05) and that
activity in lateral Cb was also significant with the head coil (S05, S1 Fig) though FDR clusters
are smaller and more localized with the surface coils. Eye-movement and finger-movement
activations were also consistently non-overlapping in ventrolateral Cb. It can be seen through-
out Fig 6 that FT activity in ipsilateral hVIII, the secondary motor lobule, is consistently differ-
entiated from PA activity in bilateral hVIIb with the exception of S04 where this differentiation
was only visible in contralateral Cb, and S05 where ventral FT activity was extremely low over-
all and separation in dorsolateral VI is displayed instead (this dorsal separation is also visible in
Fig 4 for other subjects). Once again, though differentiation is consistent across subjects, the
relative strength and positions of the activations are not. For example, the separable activations
in Fig 6 are located more anteriorly in half of the subjects (S02, S05 and S06, axial slices) and hVIIb during the PA task (Figs 5 and 6, respectively). Task-Related Signal Changes Note that the most active clusters occur
in either dorsal CrusI (S01, S03 and S06) or medioventral CrusII (S02, S04 and S05) and that
activity in lateral Cb was also significant with the head coil (S05, S1 Fig) though FDR clusters
are smaller and more localized with the surface coils. Eye-movement and finger-movement
activations were also consistently non-overlapping in ventrolateral Cb. It can be seen through-
out Fig 6 that FT activity in ipsilateral hVIII, the secondary motor lobule, is consistently differ-
entiated from PA activity in bilateral hVIIb with the exception of S04 where this differentiation
was only visible in contralateral Cb, and S05 where ventral FT activity was extremely low over-
all and separation in dorsolateral VI is displayed instead (this dorsal separation is also visible in
Fig 4 for other subjects). Once again, though differentiation is consistent across subjects, the
relative strength and positions of the activations are not. For example, the separable activations
in Fig 6 are located more anteriorly in half of the subjects (S02, S05 and S06, axial slices) and PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 11 / 25 Imaging Multiple Motor Subsystems in Cerebellum at 7 Tesla Fig 6. Functional Delineation of Task-Related Activity, Separation of Eye and Finger Movements in Ventrolateral Cb. Example of the specificity of
localized activity resulting from the two motor systems (in addition to the obvious distinctions visible in Figs 2–5): differentiation of FT-related hVIII activity
from PA-related hVIIb activity is displayed for each subject (zoomed-in area denoted by a dotted box); activations from separate tasks do not overlap. Separable activations are located more anteriorly in some subjects (S02, S05 and S06, axial slices) and the proximity and arrangement of the clusters also
varies between subjects. Slice locations (in non-normalized MNI space) are displayed at the top of each panel and maximum T-values from within the
zoomed areas are displayed at the bottom of the axial (rightmost) panels, color-coded by task—PA in red-orange and FT in blue-green. Refer to Fig 1a for a
guide to anatomical lobule definitions. Fig 6. Functional Delineation of Task-Related Activity, Separation of Eye and Finger Movements in Ventrolateral Cb. PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 Structural Detail, Signal Quality and Stability The conspicuity of structural detail in the T1w scan is apparent, with remarkable definition of
the folia, especially around the edges of the Cb (Figs 2–7) where inhomogeneity was most
likely. Both SNR and tSNR have previously been validated in visual cortex for the surface coils
[21,55]. S1 Fig shows the advantage of the high-density surface coils in Cb functional imaging
—PA-related activity in lateral Cb was detected using both the head and surface coils (see also
S05 in Fig 5 and S3 Fig). With regard to tSNR throughout Cb, signal loss further than 5cm
from the surface coils (anterior cerebellum, towards the center of the brain) was indeed an
issue, but a minimal one. T2w and T2W images were collected from the last subjects to visual-
ize differences in local vasculature and anatomy. S3 Fig displays functional activations from the
PA run of S05 overlaid on T1w images (‘Funct’) and aligned with separate panels displaying
tSNR and T2w structural images for six defined locations. Task-related activity was neither
directly related to local tSNR nor to the proximity of large vessels, as revealed by comparing
the location of functional activity with the tSNR and blood vessels/veins at the same location
(crosshairs for each defined location are aligned for all images types). As described in the previ-
ous section, the T2W anatomical image was used to visualize the DCN with great clarity, par-
ticularly D, in S06 (Fig 7), and functional activations and deactivations were observed within
these deep nuclei. Imaging Multiple Motor Subsystems in Cerebellum at 7 Tesla Table 1. Oculomotor Vermis Coordinates and Maximum T Values. S01
x = -21
x = -9
x = 2
x = 16
x = 26
7.4614
8.8765
3.0502
7.1134
9.4295
S02
x = -27
x = -7
x = -3
x = 9
x = 25
6.137
6.1186
6.1169
5.0553
4.9984
S03
x = -28
x = -7
x = 3
x = 9
x = 25
5.8972
6.7514
4.1853
7.9593
6.5249
S04
x = -27
x = -9
x = -2
x = 7
x = 27
9.3242
6.0276
4.9292
7.5602
7.8195
S05
x = -26
x = -9
x = 5
x = 9
x = 25
5.0573
4.6583
3.9448
5.4824
5.5194
S06
x = -22
x = -15
x = -3
x = 13
x = 24
7.8266
5.2332
6.5102
5.9104
4.6537
S07
x = -8
x = -5
x = 6
x = 30
x = 31
NA
3.0536
3.5386
3.5286
2.9817
doi:10.1371/journal.pone.0134933.t001 Table 1. Oculomotor Vermis Coordinates and Maximum T Values. at -57 mm (circled in green) and during FT at -48 mm (circled in purple). The (cognitive) goal-
directed eye movement connections (PA) are located more caudally than finger-movement
motor connections (-57 versus -48mm, respectively), yet both occur in ventral D. It should be
noted, however, that positive activity is also seen in more rostral D during PA and that no
activity was observed in interposed or fastigial nuclei of this subject. Task-Related Signal Changes Example of the specificity of
localized activity resulting from the two motor systems (in addition to the obvious distinctions visible in Figs 2–5): differentiation of FT-related hVIII activity
from PA-related hVIIb activity is displayed for each subject (zoomed-in area denoted by a dotted box); activations from separate tasks do not overlap. Separable activations are located more anteriorly in some subjects (S02, S05 and S06, axial slices) and the proximity and arrangement of the clusters also
varies between subjects. Slice locations (in non-normalized MNI space) are displayed at the top of each panel and maximum T-values from within the
zoomed areas are displayed at the bottom of the axial (rightmost) panels, color-coded by task—PA in red-orange and FT in blue-green. Refer to Fig 1a for a
guide to anatomical lobule definitions. doi:10.1371/journal.pone.0134933.g006 more posteriorly in the other half; and the proximity and arrangement of the clusters are closer
together in some subjects than in others. BOLD signal changes were also detectable in the DCN. The inhibitory nature of Purkinje
cell (PC) afferents from Cb cortex to ipsilateral dentate nucleus (D) mean that activations in
the PC layer (middle Cb cortex layer) should result in deactivation of D. Fig 7 displays the den-
tate (D) and surrounding DCN identified on the T2W structural scan of a single subject. Acti-
vations are shown as voxels from the original (un-thresholded) SPM T-maps since no D
activations survived the AT cluster-thresholding; hash marks denote the AT (lower value) and
SPMT (upper value) for positive (top color bar) and negative (bottom color bar) activations
and deactivations (anticorrelations), respectively. It can be seen in Fig 7 that activity in D is
anticorrelated with activity for both tasks: when Cb cortex is active, D is not as seen during PA PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 12 / 25 doi:10.1371/journal.pone.0134933.t001 Inter-Subject Variability and Statistical Post-Processing The activation loci and T values for activations in each lobule of interest (in native/non-nor-
malized space) are visible on the top of each panel and just below the axial slice, respectively,
for each subject (Figs 2–6). Despite moving each individual brain into a common space (AC to
[0 0 0], dorsal vermis in axial plane with orbitofrontal cortex), due to the structural discrepan-
cies between individual Cb lobules, it is still difficult to infer how variable individual activations 13 / 25 PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 Imaging Multiple Motor Subsystems in Cerebellum at 7 Tesla Fig 7. Concomitant Correlation of Task-Related Cb Cortex Activity and Anticorrelation of DCN Activity. The detail of the T2W scan allows
visualization of DCN revealing increases (+) and decreases (-) in task-related functional activity in Cb cortex and within the dentate (respectively) of a single
subject. Correlation of task-related activity (+) in the Cb cortex is concomitant with anticorrelation of activity (-) in the dentate and that cognitive depression
(PA, green at -57) is located more caudal in the dentate than (the stronger) motor depression (FT, purple at -48). Slice locations (in non-normalized MNI
space) are displayed at the top of each panel and maximum T-values from clusters within the circles are displayed at the bottom of the panels; coloring
matching the respective color bar. Refer to Fig 1a for a guide to anatomical lobule definitions. FN—fastigial nucleus, IN—interpositus nucleus, D—dentate
nucleus. Fig 7. Concomitant Correlation of Task-Related Cb Cortex Activity and Anticorrelation of DCN Activity. The detail of the T2W scan allows
visualization of DCN revealing increases (+) and decreases (-) in task-related functional activity in Cb cortex and within the dentate (respectively) of a single
subject. Correlation of task-related activity (+) in the Cb cortex is concomitant with anticorrelation of activity (-) in the dentate and that cognitive depression
(PA, green at -57) is located more caudal in the dentate than (the stronger) motor depression (FT, purple at -48). Slice locations (in non-normalized MNI
space) are displayed at the top of each panel and maximum T-values from clusters within the circles are displayed at the bottom of the panels; coloring
matching the respective color bar. Refer to Fig 1a for a guide to anatomical lobule definitions. FN—fastigial nucleus, IN—interpositus nucleus, D—dentate
nucleus. doi:10.1371/journal.pone.0134933.g007 actually are. PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 Inter-Subject Variability and Statistical Post-Processing Though specifying individual variability of subject-specific functional zones is
helpful for most clinical assessments and some experimental paradigms such as the present
one, viewing individual variability in a common space may also be of interest. Fig 8 shows the
T maps created from the same individual GLM from each subject run with (SUIT) normalized
and masked functional images overlaid on the SUIT atlas; which is shaded in gray scale by lob-
ule to assist with orientation (guide at bottom right of Fig 8a). Each subject is displayed in a dif-
ferent color and T-maps were thresholded as in earlier figures (AT through T = 8.5), based on
brightness (darker—brighter). In Fig 8a, crosshairs are located at the same ROIs, left paraver-
mis VI for the PA-related activity displayed in Fig 3 (Fig 8a left) and right hV for FT-related
activity displayed in Fig 4 (Fig 8a right). Select cross sections of Cb are shown in 8b and 8c to
display the variable location of activity between individuals within these lobules. It is clear that there is a trend for PA-activity present in distinct bilateral clumps along hVI
(axial slice of Fig 8a, left, and the leftmost axial slices in Fig 8b) and in hVIIb, and vVI-VIIb
(including OMV—central sagittal slices in Fig 8b). FT-activity is generally confined to ipsilat-
eral (R) hV-VI and hVIII (coronal slices in Fig 8a, right, and Fig 8c). Despite the fact that these
activations normalize to the expected lobules, some subjects had additional activations in other
motor and/or eye-movement lobules (i.e. hIX and hX, contralateral hV-VI). In addition, some
activity was normalized outside of Cb, and inter-subject activations infrequently overlap within
a single lobule. The remarkable differences in individual functional organization remain in PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 14 / 25 Imaging Multiple Motor Subsystems in Cerebellum at 7 Tesla Fig 8. Inter-Subject Variability of Normalized Cb Activations. a) left—Normalized PA-activity, crosshairs at left paravermis VI; right—normalized FT-
activity, crosshairs at ipsilateral (right) V; data are from all subjects, each subject is color-coded. b) PA activity is localized to oculomotor vermis (VIc and VII),
bilateral hVI, and (right) hCrusI/II for all subjects. c) FT-activity in ipsilateral hV/VI for all subjects and ventral activity only for S01, S02 and S05. Activations
from both tasks are clustered within the expected lobules yet inter-subject activations rarely overlap. Inter-Subject Variability and Statistical Post-Processing Activations are T-maps from SUIT normalized functional
images with Cb mask overlaid on SUIT template Cb [20]. Each subject is represented by a single color cluster-thresholded at p < .05 (AT). doi:10.1371/journal.pone.0134933.g008 Fig 8. Inter-Subject Variability of Normalized Cb Activations. a) left—Normalized PA-activity, crosshairs at left paravermis VI; right—normalized FT-
activity, crosshairs at ipsilateral (right) V; data are from all subjects, each subject is color-coded. b) PA activity is localized to oculomotor vermis (VIc and VII),
bilateral hVI, and (right) hCrusI/II for all subjects. c) FT-activity in ipsilateral hV/VI for all subjects and ventral activity only for S01, S02 and S05. Activations
from both tasks are clustered within the expected lobules yet inter-subject activations rarely overlap. Activations are T-maps from SUIT normalized functional
images with Cb mask overlaid on SUIT template Cb [20]. Each subject is represented by a single color cluster-thresholded at p < .05 (AT). Fig 8. Inter-Subject Variability of Normalized Cb Activations. a) left—Normalized PA-activity, crosshairs at left paravermis VI; right—normalized FT-
activity, crosshairs at ipsilateral (right) V; data are from all subjects, each subject is color-coded. b) PA activity is localized to oculomotor vermis (VIc and VII),
bilateral hVI, and (right) hCrusI/II for all subjects. c) FT-activity in ipsilateral hV/VI for all subjects and ventral activity only for S01, S02 and S05. Activations
from both tasks are clustered within the expected lobules yet inter-subject activations rarely overlap. Activations are T-maps from SUIT normalized functional
images with Cb mask overlaid on SUIT template Cb [20]. Each subject is represented by a single color cluster-thresholded at p < .05 (AT). doi:10.1371/journal.pone.0134933.g008 doi:10.1371/journal.pone.0134933.g008 PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 15 / 25 Imaging Multiple Motor Subsystems in Cerebellum at 7 Tesla both individual and common MNI space analyses. For example S01 and S06 infrequently over-
lap with any other subject, while S03 and S05 show a lot of PA overlap and S02 and S03 show a
lot of FT overlap with each other in common space (Fig 8). Neither second level analysis from
the six individual AT-thresholded nor from un-thresholded maps yielded significant activa-
tions for either task, even at the uncorrected level, and are therefore not shown. High-Resolution Structural and Functional Images from Multiple
Systems in One Hour or Less In this work we demonstrate the efficacy of combining high-density multi-element surface
coils, two-channel transmission, and three-dimensional sensitivity encoded (3D SENSE) acqui-
sitions to image subsystem-related activity in Cb in individual subjects. We were able to clearly
differentiate activity throughout the entire Cb cortex including D in the DCN in a single ses-
sion lasting less than one hour per subject. BOLD signal changes during motor activity resulted
in concentrated clusters of activation observed within the expected lobules for each task in
each subject: OMV and hCrusI/II for PA and ipsilateral hIV-VI for FT. In addition to these
findings, neighboring activity in hVIIb/hVIII was consistently separable for the PA/FT tasks,
respectively. Furthermore, depression of D activity related to computations involving more
cognitive planning of eye movements (PA) was located caudal to that related to motor (FT)
activity (Fig 7) as seen previously in both monkey and human studies [6,64,65]. To date, there
have been no reports of such comprehensive high-resolution information obtainable in such a
short time. Taken together with the uniformity of tSNR, especially for ventral and lateral Cb,
these results represent positive improvements in Cb data acquisition. Patients with Cb disorders often show abnormalities in eye movements and finger tapping
(and/or other motor dysfunctions) [16,24], behaviors that can be readily elucidated on a case-
by-case basis for clinical assessments using the above methods. This method eliminates the
need to average across multiple patients with the same or very similar atrophy in order to asso-
ciate functional impairments with specific regions and allows for pinpointing of structural and
functional abnormalities at the level of the folium. This is also beneficial for patient-specific
pre-surgical assessment of cerebellar infarcts related to vertebrobasilar stroke or arterial anasto-
moses [36,37], tumor resection [38], or for individual lesion-symptom mapping [39,40]. The
ability to obtain structural and functional images quickly at high spatial resolution, enabling
localization of activations specific to individual anatomy such as folia, is also critical when
investigating highly specific physiological mechanisms such as patches of task-related activity
and will prove helpful in further delineating the organizational separation of neural processes
in human Cb. Therefore, the advantages of this technique apply to both research and clinical
studies. Task-Specific Signal Changes Cluster Differently among Subjects The current results support the topographical differentiation of functional motor planning
within Cb; confirming patches of activations in subsystem-specific lobules involved in eye- and
finger-movements. We were able to observe clearly differentiated clusters of activity specific to
each motor subsystem in each subject: hVI and hCrusII/hVIIb activations during PA are con-
sistently distinct from ipsilateral hV-VI and hVIII activations during FT (Figs 3, 4 and 6). Most
of the observed activations were confined to the gray matter of the folia and loci of peak activa-
tion were aligned along one or two folium; voxels surviving FDR correction are generally con-
fined to one row of grey matter, most easily seen as the brighter colors in the sagittal panels. PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 16 / 25 Imaging Multiple Motor Subsystems in Cerebellum at 7 Tesla This can be seen particularly clearly for all sagittal panels in Figs 2 and 4 (central panels),
where activity from each task is confined between the white matter spines radiating out from
deep Cb, and axial (rightmost) panels in Figs 3 and 4 where peak activity follows the curvature
of these spines. While the clarity of task differentiation is consistent across subjects, the relative arrange-
ment of active zones are not identical. The images in Figs 2–7 demonstrate not only the gross
difference in anatomical arrangement of Cb from person to person, but also the difference in
the arrangement of these activations within that anatomy, and this inconsistency holds in nor-
malized space (Fig 8). With increased CNR, anatomical areas with individual differences in
functional processes can be elucidated and explored relative to a single subject [15,18]. For
example, it has been shown (also using surface coils) that individual finger representations
maintaining hand-based topography can be separated in Cb hV and hVIII, and differ between
individuals [18]. It is likely that detecting these individualized patches is commonly hindered
due to analyses that average brain activity over a group of subjects who’s activation patches do
not overlap, or where inhomogeneity of the B1 field or reduced variation of the received signals
provides insufficient CNR. When evaluating function pre-surgery one should aim to avoid
both false-negatives and false-positives; and as seen when comparing the surface to the head
coils (with individual ATs) major loci are present with both coils and active loci are more suc-
cinct with the surface coils. Task-Specific Signal Changes Cluster Differently among Subjects The larger between-subject variation in the AT-corrected values, as
compared to the relatively stagnant SPMT-corrected values, (compare color bars, and see S1
Table) is another obvious precaution that should be further addressed in analyses of functional
signals at the individual level for accurate localization of function. Much of the data presented
here would not be visible with a standard voxel-wise FDR correction (i.e. SPMT) that does not
take into account between-subject variations in the noise signal. Although many of the signal
improvements seen here can be attributed to the high density of the coils themselves, perhaps
some of the benefits arise from the additional fact that all 32 elements (as well as Cb) can be
placed further within the volume transmit coil. PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 Implications of Inter-Subject Variability on Group Analyses The decreased acquisition time of the current experiment allowed us to show that a topograph-
ical differentiation of eyes and hands (two separate systems) is also possible within hVI and
hVIIb/VIII, similar to separation of hand and foot movement seen by [4]; though the results
here are less diffuse and were acquired much more quickly. However, Fig 8 shows that there is
very little between-subject overlap of peak activations from the same task in normalized space
(i.e. lobule VI in Fig 8a and 8b), and as can be expected the individual variations in the location
of these small active zones lead to a loss of power at the group level resulting in no remaining
active clusters when regressing the normalized and thresholded T-maps. Not to mention that
the folium-specificity of the activations, as well as differentiating Cb activity from visual cortex
activity is compromised or nullified in normalized space. In addition, if the normalized activa-
tions from both tasks were overlaid together for all subjects, the task-specific differentiations
which are plainly visible within-subjects would become too jumbled to be interpreted as sepa-
rable between-subjects. It is possible that inter-subject differences in Cb physiology and/or arrangement of func-
tional patches underlie the lack of overlap in normalized space; or this could be a result of the
normalization method. Current normalization schemes [66,67] that fit brains into common
space are standard procedure for functional image analyses at lower field strength and lower
resolution. These are neither able to capture nor match high-resolution anatomical detail of
individual subject data (see the folium-specific activations in Figs 2–7). Hence, to obtain PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 17 / 25 Imaging Multiple Motor Subsystems in Cerebellum at 7 Tesla meaningful functional overlap between subjects in common anatomical space and thus more
power at group level analyses, smoothing of images on a scale larger than individual Cb folia is
required, obscuring or even nullifying the variation in individual structural or anatomical
architecture found at a higher resolution, and possibly artificially shifting the strength or loca-
tion of task-related functional activations [68]. Group or cohort studies can maintain high-res-
olution by measuring signal changes within individualized functional-ROIs (task-related ROIs)
and running statistics on extracted values in place of current techniques of normalizing images
to a common space for voxel- or coordinate-based second level analyses. PA Activity in CrusI/II: (Visual) Attention, or Cognition? The clustered PA-related activations are located in five bilateral patches along lobule VI (Lh, L
paravermis, vermis, R paravermis, Rh) and are arguably most significant outside of OMV; visi-
ble in the axial slices of Fig 3, most clearly for P01. Previous studies targeting visual perception
and Cb have shown similar bilateral clustering throughout hVI in response to attending a mov-
ing grating [32], in medial Cb VI (vermis and paravermis) and hCrusI in response to saccadic
errors [60], in bilateral hV-VI, OMV, and throughout CrusI/II in response to attended flashed
visual stimuli [59], and in CrusI/II for complex motor tasks [65]. Both PA and FT used the
same visual stimuli with moving dots cuing the motor activity, yet subsystem-specific activity
was consistently separable throughout Cb as either eye- or finger-movement related, suggesting
that observed patches of activity are related to motor planning and output rather than visual
perception or attention alone since subjects were also attending these stimuli during the FT
task. However, the location of these dots was only relevant during the PA task. It is therefore
possible that the observed PA-related clusters, acting alone or in concert with CrusI/II, repre-
sent either possible task-relevant attention, target locations (and the return saccade, back to fix-
ation) or target awareness, or a mapping of visual space in order to monitor and/or update
performance on a visual task. Although the presence of vector mapping of saccades within Cb
is currently unknown, spatial saccade maps are known to exist in superior colliculus and fron-
tal eye fields [70,71]. The involvement of Cb in cognitive brain processes is a recently up-and-coming topic in
cerebellar research [10,72,73]. The evolutionary increase in the size of CrusI and CrusII in
humans and higher primates, as well as the anatomical and functional connections linking
these lobules with the prefrontal cortex [72–76] has supported the idea that these areas also
play some role in non-motor-related cognition and/or executive function. There has been
much difficulty coming to agreement on which lobules of Cb are involved in which aspects of
cognitive processing, possibly due to the observed individual variation in the arrangement of
functional patches within a defined lobule (Figs 5 and 8) and/or the difficulty in differentiating
attention from cognition in various experimental tasks. Implications of Inter-Subject Variability on Group Analyses As investigations at
higher-field strengths proliferate, new methods are being developed such as cross-normaliza-
tion with 3T and 7T images [69] and subject-specific normalization utilizing high-resolution
EPI images [35], both of which can allow for closer investigation of activations in Cb cortex by
inflating and flattening the surface. PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 Speculation on Mechanisms of Individual Variability of Functional
Patches and Interpretation of BOLD Activations Despite the fact that both tasks in the current experiment were performed in a blocked manner,
it is surprising that T values for FT were often less than T values for PA, most notably in ventral
Cb, since finger and hand movements are classically used more frequently to activate ipsilateral
Cb ([18,46,48,49]—though acquisition times were at least three times longer in those experi-
ments). The instructions for the FT task were simply “tap your thumb up and down two times
per second”. This resulted in some subjects tapping on the bore of the scanner or on their own
hand, adding somatosensory stimulation of the thumb (and hand) to the digit motion, while
others only moved their thumb (motor-related activity, with no somatosensory input). These
differing somatosensory inputs can directly relate to sensory-driven mossy fiber activity
restricted by functional patches of PC activity, and can result in individual variability of the
strength and spread of FT-related activity. Task-related functional patches of activity are only inferentially relatable to cellular signal-
ing due to the slow temporal resolution of our fMRI sequence and the limited number of stud-
ies investigating the behavior of Cb neurovasculature in response to cellular activity [78,79]. It
could be argued that the arrangement of clustered folial activity observed here resembles previ-
ously observed neurophysiological recordings showing microbands, beams, colonies, or
patches [80–83]. These types of zones have been related to subsystem-specific co-activation of
localized clusters of PCs which topographically project to DCN and on to prefrontal and motor
areas of the cerebrum (see [84] for review) and the activation of PCs can inhibit blood flow to
and activation of neighboring PCs [85]. Taking into account existing literature, we may assume
that the pre-defined clusters of neurons are indeed involved in topographic motor planning
and that these clusters may effectively re-direct blood flow to patches of task-related activity,
revealing the observed patches of BOLD signal change. As previously mentioned, direct neuronal connections project activity from the PC layer in
Cb cortex to the DCN, maintaining topographic functional organization [6,84], which output
from Cb to the thalamus and other brain areas [64,86]. BOLD signal changes in D (Fig 7) were
consistent with the present understanding [65] that motor connections are located more ros-
trally, where we see the most significant FT-related decrease in BOLD, while more complex
and cognitive connections are located more caudally, where we observe a PA-related decrease. PA Activity in CrusI/II: (Visual) Attention, or Cognition? Topographical eye representations
classically lie along lobule VI [5,9,10] and despite the presence of salient visual inputs there is
no CrusI or CrusII activity during FT. With regard to the lucidity of these less classically
defined cognitive signals, individual PA-related activations in CrusI and II were consistently
comparable in strength to, if not stronger than, the FT-related activations in lobules V-VI. The
lateral activity seen here could also be attributed to a cognitive component of executing an
anti-saccade and/or suppression of a reflexive pro-saccade. Though the design of the PA task
did not enable separation of signals related to pro-saccades (non-cognitive, reflexive eye PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 18 / 25 Imaging Multiple Motor Subsystems in Cerebellum at 7 Tesla movements) from those related to anti-saccades (more cognitive volitional eye movements),
ventral activations (VIIIb) have previously been linked to anti-saccades in a group study [77]. However, neither these nor attentional mechanisms can be mutually excluded from those
required to solve cognitive problems. PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 Conclusions Pairing 32 channels of surface coils with excitation pulses steered with dual amplifiers facili-
tated imaging of the entire Cb, including the DCN (>5cm into the skull), despite the fact that
these high-density multi-element coils only cover a part of the head. Since signal CNR was suf-
ficient to consistently differentiate eye-related from hand-related motor activity and to confirm
suspected cognition-related activity (particularly in lateral Cb) in each subject scanned, we can
conclude that these coils are beneficial for fast imaging of Cb. Furthermore, the use of localized
shimming and 3D-EPI acquisitions successfully avoided image distortion, artifacts, and signal
losses commonly observed around Cb at high field strength and the entire scanning session
lasted less than one hour. Combining this acquisition scheme with newer analysis methodologies can allow for a
larger number of investigations within one individual in a single scan session while freeing up
space within the transmit coil. Future studies targeting event-related perception and learning
paradigms can utilize these methods, specifically in human and non-human primate Cb, to fur-
ther elucidate the neurovascular interplay of superficial and deep Cb and the dynamics and
organization of zones or patches in humans to close the gap of inference with regard to the
affects of neuronal processes on BOLD signal changes. Speculation on Mechanisms of Individual Variability of Functional
Patches and Interpretation of BOLD Activations Activity from finger tapping in D was not as strong as that from eye movements; if the strength
of cortical activity correlates to the strength of nuclear activity it is not surprising that the antic-
orrelation of FT activity was not as strong as PA anticorrelations in D (Fig 7, FT, purple circle),
as this was the case for task-related cortical activity of this subject. The dorsal anticorrelation at
-60 may reflect cortical activations related to hand position during FT, as the interposed
nucleus is dorsal to the dentate and responds to proprioceptive limb positions; however, the
dorsal deactivation occurs contralateral to the cortical activation. No changes in activity were
observed in the fastigial nucleus during PA, which is known to be involved in eye movements. Though D is the largest and most thoroughly studied nucleus, no activations here survived
cluster thresholding and we suggest that even higher resolution imaging may be able to clarify
the separation of activations in DCN. The discrepancies in observed versus expected changes
in signals from the DCN reflect the difficulty of inferring neuronal processes from functional PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 19 / 25 Imaging Multiple Motor Subsystems in Cerebellum at 7 Tesla data obtained by measuring the indirect consequence of changes in blood flow resulting from
activity of many different types of Cb neurons [78,87]. It has recently been suggested that there
is a skewed distribution of synaptic signaling weights, where only a subset of neurons within a
functional network may drive the network independent of, for instance, the firing rate of most
other neurons in the network [87]. These findings further complicate the interpretation of how
neuronal signaling might be affecting blood flow. (bottom left) panels. Refer to Fig 1a for a guide to anatomical lobule definitions.
(TIF) (bottom left) panels. Refer to Fig 1a for a guide to anatomical lobule definitions. (TIF) S3 Fig. Signal Strength and Activation Loci. T maps (Funct) and tSNR from a single PA run
are overlaid on the T1w structural scan from one subject and aligned with the T2w (T2)
structural images for six Cb ROIs (L and R paravermis VI, OMV, L paravermis VIIb, and R
hVIIb and R hCrusII), indicated by crosshairs. It is clear that significant changes in BOLD sig-
nal are not restricted to areas with higher tSNR (yellow-white regions of tSNR images) nor do
they occur spuriously around Cb vasculature (dark dots in the T2w images). Slice locations
(in non-normalized MNI space) are displayed at the top of each Funct panel and coordinates
are the same for all three images. T-values and tSNR strength at the crosshairs are displayed at
the bottom of the axial (rightmost) panels. Refer to Fig 1a for a guide to anatomical lobule defi-
nitions. S1 Table. Adaptive Cluster-Based (AT) versus SPM Voxel-Based (SPMT) FDR-Corrected
Thresholds. NM—Normalised and Smoothed. Thumb was tapped during the ENTIRE ses-
sion (no rest period), so FT was not compared between head and surface coils. (PDF) Acknowledgments We would like to thank Jessica Heeman for assisting with data collection for this experiment. Author Contributions Conceived and designed the experiments: MAB SFWN NP MAF. Performed the experiments:
MAB NP. Analyzed the data: MAB NP. Contributed reagents/materials/analysis tools: DWJK NP SFWN. Wrote the paper: MAB NP SFWN MAF. Provided funding and background: MAF. Supporting Information S1 Fig. Methods: Coil Comparison Signal quality of the surface coils has been previously
defined for visual cortex [21] but not for Cb, therefore one subject completed the PA-task
twice, and images were acquired once with two of their coils and again with a standard full-
head 32-channel coil (Nova, USA). Scan parameters and image analyses were identical to the
methods in the main text. Figure: Coil Comparison—PA Functional Activations. Bottom:
OMV (vVIc and vVII, crosshairs), Top: hVI, and CrusII (circled in white on coronal panels
from both ROIs on the head coil image) are activated during the PA task—activation are
shown in red-to-yellow, Left: Activations observed using a 32-channel full head coil (Nova Sci-
entific, USA) Right: Activations observed using two 16-channel surface coils with the same sub-
ject. CrusII activations are also observed with the head coils (See Fig 5 and S3 Fig for CrusII
activation with surface coils), and all activations are more succinct with the surface coils. Slice
locations (in non-normalized MNI space) are displayed at the top of each panel and T-values
at the crosshairs are displayed at the bottom of the axial (bottom left) panels. Refer to Fig 1a for
a guide to anatomical lobule definitions. S2 Fig. Importance of Correct Coil Placement. Example images from one subject where coils
were placed dorsal to Cb. Although most activation is limited to dorsal Cb, some activity in
ventral Cb is still observable. Images can be compared to activations from the other six subjects
with correct coil placement. Slice locations (in non-normalized MNI space) are displayed at
the top of each panel and T-values at the crosshairs are displayed at the bottom of the axial 20 / 25 PLOS ONE | DOI:10.1371/journal.pone.0134933
August 10, 2015 Imaging Multiple Motor Subsystems in Cerebellum at 7 Tesla (bottom left) panels. Refer to Fig 1a for a guide to anatomical lobule definitions. (TIF) PLOS ONE | DOI:10.1371/journal.pone.0134933
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☯These authors contributed equally to this work.
* magomez@usal.es RESEARCH ARTICLE Background Obesity increases mortality, and is linked to cardiovascular diseases and metabolic syn-
drome (MetS). Therefore, the purpose of this study was to analyze the ability of different adi-
posity indices to identify subjects with MetS among people with intermediate cariovascular
risk. Editor: Ying-Mei Feng, Beijing Key Laboratory of
Diabetes Prevention and Research, CHINA
Received: June 1, 2018
Accepted: December 16, 2018
Published: January 25, 2019
Copyright: © 2019 Gomez-Marcos et al. This is an
open access article distributed under the terms of
the Creative Commons Attribution License, which
permits unrestricted use, distribution, and
reproduction in any medium, provided the original
author and source are credited. Editor: Ying-Mei Feng, Beijing Key Laboratory of
Diabetes Prevention and Research, CHINA Editor: Ying-Mei Feng, Beijing Key Laboratory of
Diabetes Prevention and Research, CHINA
Received: June 1, 2018
Accepted: December 16, 2018
Published: January 25, 2019 OPEN ACCESS Citation: Gomez-Marcos MA, Gomez-Sanchez L,
Patino-Alonso MC, Recio-Rodriguez JI, Gomez-
Sanchez M, Rigo F, et al. (2019) Capacity adiposity
indices to identify metabolic syndrome in subjects
with intermediate cardiovascular risk (MARK
study). PLoS ONE 14(1): e0209992. https://doi. org/10.1371/journal.pone.0209992 Materials and methods Copyright: © 2019 Gomez-Marcos et al. This is an
open access article distributed under the terms of
the Creative Commons Attribution License, which
permits unrestricted use, distribution, and
reproduction in any medium, provided the original
author and source are credited. The cross-sectional study involved 2478 subjects, recruited by the MARK study. Adiposity
measures: general adiposity by body mass index (BMI), central adiposity by waist-to-height
ratio (WHtR), fat mass percent by the Clı´nica Universidad de Navarra—body adiposity esti-
mator (CUN-BAE), percentage of body fat and of visceral adipose tissue by body roundness
index (BRI) and visceral obesity and general adiposity with body shape index (ABSI). The
diagnosis of MetS was made in accordance with the criteria established in the international
consensus of the Joint Scientific Statement National Cholesterol Education Program III. Data Availability Statement: All relevant data are
within the manuscript and its Supporting
Information files. Funding: This work was supported by grants from
the Spanish Ministry of Science and Innovation
(MICINN), the Carlos III Health Institute/European
Regional Development Fund (ERDF) (MICINN,
ISCIII/FEDER) (Red RedIAPP RD06/0018,
Research Groups: RD16/0007/0003, RD16/0007/
0004, RD16/0007/0008), the Health Research Capacity adiposity indices to identify
metabolic syndrome in subjects with
intermediate cardiovascular risk (MARK study Manuel A. Gomez-MarcosID1,2,3*, Leticia Gomez-Sanchez1,2, Maria C. Patino-Alonso1,2,4,
Jose I. Recio-Rodriguez1,2,5, Marta Gomez-Sanchez1, Fernando Rigo6, Ruth Marti7,
Cristina Agudo-Conde1,2, Jose A. Maderuelo-Fernandez1,2, Rafel Ramos7,8, Luis Garcia-
Ortiz1,9☯, Emiliano Rodriguez-Sanchez1,2,3☯ 1 Institute of Biomedical Research of Salamanca (IBSAL), Primary Health Care Research Unit, the
Alamedilla Health Center, Salamanca, Spain, 2 Health Service of Castilla y Leo´n (SACyL), Salamanca,
Spain, 3 Department of Medicine, University of Salamanca, Salamanca, Spain, 4 Department of Statistics,
University of Salamanca, Salamanca, Spain, 5 Department of Nursing and Physical Therapy, University of
Salamanca, Salamanca, Spain, 6 San Agustı´n Health Care Center, Department of Health, Balearic Islands
(IBSALUD), Palma de Majorca, Spain, 7 Girona Research Unit, Primary Care Research Institute Jordi Gol
(IDIAP Jordi Gol), Biomedical Research Institute of Girona Dr. Josep Trueta (IDBGI), Girona, Spain,
8 Department of Medical Sciences, University of Girona, Girona, Spain, 9 Department of Biomedical
Sciences and Diagnosis, University of Salamanca, Salamanca, Spain a1111111111
a1111111111
a1111111111
a1111111111
a1111111111 a1111111111
a1111111111
a1111111111
a1111111111
a1111111111 ☯These authors contributed equally to this work. * magomez@usal.es ☯These authors contributed equally to this work. Introduction Obesity increases mortality [1], and is linked to cardiovascular diseases and metabolic syn-
drome (MetS) [2, 3]. Similarly, MetS multiplies the risk of cardiovascular disease by 2 and the
risk of mortality from all causes by 1.5 [2]. It is also known that the complications associated
with obesity are due, above all, to excess adiposity rather than weight gain [4]. In this context,
the most objective way to determine adiposity is by direct measurement of the body fat per-
centage through computed tomography or magnetic resonance imaging [5]. However, the
high cost and limited accessibility of these tests hinder their use in daily clinical practice. To
alleviate these limitations, an indirect measurement of adiposity was designed in Spain, the
CUN-BAE (Clı´nica Universidad de Navarra—Body Adiposity Estimator). This measure esti-
mates the percentage of body fat, incorporating information on sex and age, and has shown a
greater association with cardiovascular risk factors than the body mass index (BMI) [6]. Furthermore, classic adiposity indices such as the BMI or waist circumference (WC) [7]
have important limitations. The BMI, for example, does not distinguish between lean mass
and fat mass, nor does it discriminate the location of central/peripheral fat [8], while WC does
not take into account the height and weight of the subject [9] and can over- or underestimate
obesity in tall or short individuals [10]. An alternative which can mitigate this limitation is to
use the waist-to-height ratio (WHtR) as an indicator of abdominal adiposity [11] since the
association with cardiovascular risk factors is greater than with WC [12–14]. Due to the limitations of the classic measures used to assess obesity, new adiposity indices
have been developed that take WC into account in addition to weight and/or height. Thus, in
2012 Krakauer et al [15] proposed the body shape index (ABSI), which allows visceral obesity
and general adiposity to be estimated from easy-to-obtain clinical parameters (height, weight
and WC), and which has been shown to predict mortality independently of BMI [15–17]. Like-
wise, in 2013 Thomas et al [18] developed the body roundness index (BRI), which combines
height and WC and was able to estimate the percentage of body fat and visceral adipose tissue. The BRI has shown greater predictive capacity for diabetes and hypertension than other mea-
sures of adiposity [19, 20]. Conclusion All adiposity indices, except for ABSI, show an association with MetS and similar ability to
detect subjects with MetS among people with intermediate cariovascular risk. Competing interests: The authors have declared
that no competing interests exist. Abbreviations: ABSI, adiposity with body shape
index; ABSI, body shape index; AUROC, ROC
curve; BMI, body mass index; BRI, body
roundness index; CUN-BAE, Clı´nica Universidad de
Navarra—body adiposity estimator; DQI, diet
quality index; MARK, MediAte Risk management;
METs, mean metabolic; ROC, Receiver-operating
characteristic; SBP, systolic blood pressure
equivalents; WC, Waist circumference; WHtR,
waist-to-height ratio. Results The highest correlation coefficients were obtained by the glycemic components (HbA1c and
FPG) of the MetS and ranged from 0.155 to 0.320. The exception was ABSI, which showed
lower values in the global analysis and in the males. Values of the area under the ROC
curve with the adiposity indices ranged from 0.773 with the BMI in males to 0.567 with ABSI 1 / 16 PLOS ONE | https://doi.org/10.1371/journal.pone.0209992
January 25, 2019 Capacity adiposity indices to identify metabolic syndrome in males. In the logistic regression analysis, all adiposity factors, except ABSI, showed simi-
lar OR values of MetS after adjusting for possible confounding factors. In the global analysis,
the adiposity index that showed a highest OR of MetS was CUN-BAE (OR 5.50; 95% CI
4.27–7.09). In the analysis by gender, the highest ORs were BMI in males (OR 5.98; 95% CI
4.70–7.60) and both WHtR and BRI in females (OR 4.15; 95% CI 3.09–5.58). Fund (PI10/01088, PI10/02077, PI10/02043; PI13/
01930), and the Regional Health Management of
Castile and Leo´n (GRS 635/A/11; GRS 906/B/14). Competing interests: The authors have declared
that no competing interests exist. Introduction The relationship between CUN-BAE and classic adiposity indices such as BMI and WHtR,
and new indices such as ABSI and BRI has not been studied. Moreover, although there are
publications on the association between indices of adiposity and MetS, there is no consensus
on which is the best index to identify subjects with MetS [8, 12 – 15]. The objective of this study was to analyze the ability of different adiposity indices to identify
subjects with MetS among people with intermediate cariovascular risk. 2 / 16 PLOS ONE | https://doi.org/10.1371/journal.pone.0209992
January 25, 2019 Capacity adiposity indices to identify metabolic syndrome Ethics statement Before inclusion in the study, all participants were informed about its objectives, the tests that
were to be performed and the need to sign consent in order to participate. The study was
approved by the research ethics committees of the Jordi Gol Institute for Primary Care
Research (IDIAP Jordi Gol) and the health areas of Salamanca and Palma de Mallorca. The
study was carried out in accordance with the recommendations of the Declaration of Helsinki. Variables and measurement instruments A detailed description of the procedures for the collection of clinical data, anthropometric
measurements and laboratory tests performed has been previously published [21]. Materials and methods
Study design The results presented in this study correspond to a sub analysis of the data collected in the
baseline visit of the improving interMediAte RisK management (MARK) study (NCT01428934)
[21]. Trial Registration Clinical Trials.gov Identifier: https://clinicaltrials.gov/ct2/show/
NCT01428934. Registered 2 September 2011. Last updated September 8, 2017. The character-
istics of the subjects and their selection process, as well as the methodology of the measure-
ments made with the subjects included in the study have been described in detail in the study
protocol [21] and in the manuscripts presented by the MARK study group [11, 22]. Characteristics and participants The selection of subjects in this multicentre study was carried out by random sampling of indi-
viduals attending family medicine consultations in six primary care centers of three Spanish
Autonomous Communities between July 2011 and June 2013 and meeting the inclusion crite-
ria. The 2495 subjects recruited were aged 35 to 74 and had an intermediate cardiovascular
risk as defined by one of the following criteria: 10-year coronary risk of 5–15% according to
the REGICOR scale [23]; 10-year vascular mortality risk of 1–5% according to SCORE [24]; or
moderate risk according to the guidelines of the European Society of Hypertension and Cardi-
ology [25]. Exclusion criteria were: subjects with a history of atherosclerotic disease, terminal
illness or being institutionalized at the time of the visit. This study examined 2478 of the 2495
subjects registered for the MARK study. We excluded 17 subjects who did not have any of the
anthropometric measurements necessary to calculate the adiposity indices used in this study. PLOS ONE | https://doi.org/10.1371/journal.pone.0209992
January 25, 2019 Laboratory determinations Venous blood samples were taken between 08:00 and 09:00, after subjects had fasted for the
previous 12 hours. Fasting plasma glucose, HbA1c, total serum cholesterol, HDL cholesterol
and triglyceride levels were measured using automated standard enzymatic methods. Low-
density lipoprotein (LDL) cholesterol was estimated using the Friedewald equation, LDL-Cho-
lesterol = ((TC-(HDL-C+TG/5) for subjects with triglycerides levels < 400 mg/Dl. Diagnostic criteria of MetS Following the criteria established by the international consensus of the Joint Scientific State-
ment National Cholesterol Education Program III [30], MetS was defined as the presence of
three or more of the following five components: abdominal obesity, WC 88 cm in females
and 102 cm in males; triglycerides 150 mg/dL or drug treatment for elevated triglycerides;
high-density lipoprotein (HDL) cholesterol < 40 mg/dL in males or < 50 mg/dL in females;
high blood pressure, systolic blood pressure (SBP) 130 mmHg or diastolic blood pressure
(DBP) 85 mmHg or antihypertensive drug treatment and fasting plasma glucose (FPG)
100 mg/dL or drug treatment for elevated glucose. Office or clinical blood pressure Three SBP and DBP measurements were performed with a OMRON model M10-IT validated
sphygmomanometer (Omron Health Care, Kyoto, Japan), with the mean of the last two mea-
sures taken being registered. The measurement was made in accordance with the recommen-
dations of the European Society of Hypertension. Adiposity indices Body weight and height. Two weight measurements were taken with an approved and
calibrated electronic scale (accuracy ± 0.1 kg) (Seca 770, Medical scale and measurement sys-
tems, Birmingham, United Kingdom). Height was measured twice with a stadiometer (Seca
222). As reference measures of weight and height the mean of the two respective measure-
ments was used. The BMI was calculated by dividing the weight in kg by height in m2. A value
of BMI 30 kg/m2 was taken to define obesity. Waist circumference and waist to height ratio. WC was measured following the 2007
recommendations of the Spanish Society for the Study of Obesity [26]. A value of WC 88
cm in females and 102 cm in males was taken to define abdominal obesity. The WHtR was calculated by dividing WC in cm by height in cm [7, 27]. A value of WHtR:
0.604 cm/cm in females and 0.617 cm/cm in males was taken to define obesity. 3 / 16 PLOS ONE | https://doi.org/10.1371/journal.pone.0209992
January 25, 2019 Capacity adiposity indices to identify metabolic syndrome University of Navarra Clinic—Body Adiposity Estimator (CUN-BAE). The percentage
of body fat was estimated following the recommendations of Gomez-Ambrosi et al [6] with
the following formula, body fat percentage = -44.988 + (0.503 × age) + (10.689 × gender) +
(3.172 × BMI)—(0.026 × BMI2) + (0.181 × BMI × gender)—(0.02 BMI × age)—(0.005 ×
BMI2 × gender) + (0.00021 × BMI2 × age) where age was in years, and gender was coded as 0
for males and 1 for females. A value of CUN-BAE 35 in females and 30 in males was
taken to define increase in the percentage of body fat. Body roundness index (BRI). The BRI was calculated using the formula BRI ¼ 364:2 365:5X
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
1 ððWC=ð2pÞ
2=ð0:5heightÞ
2Þ
q [28]. A body shape index (ABSI). A Body Shape Index (ABSI) was based on WC adjusted for
height and weight: ABSI ¼ WC=BMI2=3XheightÞ
1=2 ABSI ¼ WC=BMI2=3XheightÞ
1=2 Smoking status Smoking status (smoker/non-smoker) was recorded, with those who currently smoke or who
quit smoking during the previous year considered smokers. 4 / 16 PLOS ONE | https://doi.org/10.1371/journal.pone.0209992
January 25, 2019 Capacity adiposity indices to identify metabolic syndrome Alcohol consumption The amount of alcohol drunk in a week was recorded with a structured questionnaire and was
measured in grams/week. Physical activity We use the Minnesota questionnaire to measure physical activity in free time[31]. The ques-
tionnaire has been previously validated in both sexes in Spain. The questionnaire was collected
by interviewers previously trained. They collected the physical activity carried out during the
previous year, recording the type of activity and the duration of it. Each physical activity has a
code of intensity, which is based on the quotient between the metabolic rate during the prac-
tice of physical activity and the basal metabolic rate (MET). 1 MET is equivalent to approxi-
mately 1 kcal / min of energy expenditure. Thus, we calculate the total energy expenditure in
free time of total physical activity (EEPA_t) in kilocalories per week. Using the physical activity
intensity code, we were also able to quantify the energy expenditure in physical activity
(EEPA) according to the activity classification as intense, moderate, or light intensity as fol-
lows: light intensity was below 4 METs, such as walking (EEPA light). Moderate PA intensity
was 4–5.5 METs, such as brisk walking (EEPA moderate). Intense PA intensity was greater
than or equal to 6 METs, such as jogging (EEPA intense). Thus, for each particular subject:
EEPA total = EEPA light + EEPA moderate + EEPA intense [32]. Additionally, in accordance with the recommendations of the American Heart Association
[33], we considered participants to be sedentary if they do not meet the recommendations
of moderate-intensity aerobic PA practice for a minimum of 30 min on 5 days each week
(EEPA moderate < 675 kcal/week) or high-intensity aerobic PA practice for a minimum of 20
min on 3 days each week (EEPA intense < 420 kcal/week) [32]. Recording diet The adherence to the Mediterranean diet questionnaire used in the PREDIMED study was
administered [34]. This questionnaire with 14 items related to compliance with different
aspects of the Mediterranean diet has been validated in Spain. A score 9 is required to be
considered good compliance. All assessments were made within a period of 10 days. Characteristics of the study subjects Table 1 shows the general characteristics of the population studied, globally and by gender. Males made up 61.3% of the sample, the median age was 62 (56–67) years. All the adiposity
indexes showed higher values in the females except the ABSI that was higher in the males. The
mean values of SBP, DBP and triglycerides were higher in males, and of total-cholesterol,
LDL-cholesterol, HDL- and HA1c higher in females. The prevalence of MetS in the study par-
ticipants was 45.2% (42.6% in men and 49.4% in women; p = 0.001). The percentage of subjects
with hypertension was higher in men, and the percentages of subjects with diabetes mellitus,
obesity and sedentary behavior were higher in females. Statistical analysis Continuous variables were presented as means ± standard deviation for normally distributed
variables or medians (interquartile ranges) for the skewed variables. Statistical normality
was tested using the Kolmogorov-Smirnov test. The means of two groups were compared
using Student’s t-test or Mann-Wittney U test. All categorical variables were presented as
numbers and proportions. Chi-square and Fisher’s exact tests were used for analysis of
proportion. The Spearman rho correlation coefficient was calculated to measure the CUN-BAE rela-
tionships with other measures of adiposity, as well as the correlation between measures of adi-
posity with the components that make up the MetS. Receiver-operating characteristic (ROC) analyses were performed to examine the ability
of the different measures of adiposity to diagnose MetS. The area under the ROC curve
(AUROC) and the 95% confidence intervals (CIs) were computed to compare the discrimina-
tive power of each adiposity index. 5 / 16 PLOS ONE | https://doi.org/10.1371/journal.pone.0209992
January 25, 2019 Capacity adiposity indices to identify metabolic syndrome The Kappa coefficient was used to analyze the agreement between the different adiposity
indices, taking the optimal cut points calculated in the ROC curves to identify the presence or
absence of MetS. To estimate the association of the presence of adiposity, defined by the different adiposity
indices, with the presence de MetS, three logistic regression models were applied: model 1
adjusted for age (years) and gender (0 = male and 1 = female); model 2 further adjusted for
smoking status (0 = non-smoker and 1 = smoker), physical activity status (0 = sedentary and
1 = active), adherence to the Mediterranean diet (0 = non-adherence and 1 = adherence) and
alcohol consumption en gr/week; and model 3 further adjusted for antihypertensive drugs
(0 = no and 1 = yes), lipid lowering drugs (0 = no and 1 = yes) and antidiabetic drugs (0 = no
and 1 = yes). Analyses were performed with the subjects overall and by gender. Data were analyzed using
SPSS Statistics for Windows version 23.0 (IBM Corp, Armonk, NY). Values of p < 0.05 were
considered statistically significant. Correlations between adiposity indices and MetS components Table 2 shows the Spearman correlation coefficients between adiposity indices and MetS com-
ponents, global and stratified by gender. The highest correlation coefficients were obtained by
the glycemic components (Hb A1c and FPG) of the MetS and ranged from 0.155 to 0.320. The
exception was ABSI, which showed lower values in the global analysis and in the males. Correlations of CUN-BAE with other indices of global adiposity and by
gender The following Spearman correlation coefficients between the CUN-BAE and the different adi-
posity measurements were recorded: ρ = 0.621 with BMI; ρ = 0.616 with WHtR and BRI and
ρ = -0.149 with ABSI. All coefficients increased when calculated by gender, except in the case
of CUN-BAE with ABSI. Fig 1 also shows the dispersion diagrams by gender between CUN-
BAE and BMI (Fig 1A), WHtR (Fig 1B), BRI (Fig 1C) and ABSI (Fig 1D). Capacity of the adiposity indices to predict MetS using AUROC analysis Table 3 and Fig 2, Fig 2A (global), Fig 2B (males) and Fig 2C (females) show the AUROC val-
ues and the optimal cut-off points between MetS and the anthropometric measures, both glob-
ally and by gender. AUROC values were similar in all adiposity indices studied except in the
case of ABSI, where they were lower. The highest values of the Youden index were obtained
with the BMI (0.416) among males; and with the WHtR and the BRI in both the global analysis
(0.380 in both cases), and among females (0.368 in both cases). 6 / 16 PLOS ONE | https://doi.org/10.1371/journal.pone.0209992
January 25, 2019 Capacity adiposity indices to identify metabolic syndrome Table 1. Baseline characteristics and of study subjects. Variables
Global n = 2478
Males n = 1520 (61.3%)
Females n = 958(38.7%)
p Value
Lifestyle factors (median IR o number and %)
Age (years)
62 (56–67)
62 (55–68)
62 (57–67)
0.252
Smoking
248 (37.7)
195 (29.8)
214 (32.5)
<0.001
Total physical activity (MET)
1800 (750–3293)
2064 (917–3836)
600 (750–2514)
0.011
Anthropometric measures (median IR)
Height (m)
1.65 (1.57–1.71)
1.70 (1.65–1.74)
1.56 (1.52–1.60)
<0.001
Weight (kg)
78.2 (69.9–88.0)
82.0 (74.8–91.0)
70.8 (62.2–81.0)
<0.001
WC (cm)
100 (97–107)
102 (96–108)
100 (97–107)
<0.001
Adiposity index (median IR)
CUN-BAE (%)
35.8 (34.4–41.4)
30.8(28.3–33.8)
42.8(39.4–46.9)
<0.001
BMI (kg/m2)
28.7 (26.3–31.7)
28.3 (26.3–33.8)
28.7 (26.3–31.7)
<0.001
WHtR (cm/cm)
0.61 (0.57–0.66)
0.60 (0.57–0.64)
0.62 (0.57–0.67)
<0.001
BRI
5.6 (4.7–6.7)
5.5 (4.7–6.4)
5.9 (4.7–7.2)
<0.001
ABSI
0.083 (0.080–0.086)
0.084 (0.082–0.086)
0.082 (0.079–0.086)
<0.001
Cardiovascular risk factors (median IR)
SBP (mmHg)
136 (125–147)
137 (127–146)
133 (122–145)
<0.001
DBP (mmHg)
84 (78–91)
85 (79–92)
82 (76–89)
<0.001
Total-Cholesterol (mg/dl)
224 (198–250)
220 (193–245)
232 (205–260)
<0.001
LDL- Cholesterol (mg/dl)
140 (116–163)
138 (115–161)
142 (117–167)
0.010
HDL-Cholesterol (mg/dl)
48 (41–56)
46 (40–54)
50 (44–58)
<0.001
Triglycerides (mg/dl)
124 (124–174)
126 (191–179)
121 (92–166)
0.026
FPG (mg/dl)
98 (88–115)
98 (88–114)
97 (87–117)
0.451
HA1c (%)
5.8 (5.4–6.3)
5.7 (5.4–6.3)
5.8 (5.5–6.5)
<0.001
Prevalence of cardiovascular risk factors, number and %)
Hypertension
1798 (72.6)
1169 (76.9)
629 (65.7)
<0.001
Diabetes Mellitus
843 (34.0)
491 (32.3)
352 (37.7)
0.013
MetS
1120 (45.2)
647 (42.6)
473 (49.4)
0.001
High BMI
907 (36.6)
512 (33.7)
395 (41.2)
<0.001
High WC
1559 (62.9)
800 (52.6)
759 (79.2)
<0.001
High WHtR
2396 (96.7)
1478 (97.2)
918 (95.8)
0.037
High CUN-BAE
2312 (93.3)
1404 (92.4)
908 (94.8)
0.011
Sedentary
1097 (44.3)
576 (37.9)
521 (54.4)
<0.001
Drug treatment, n (%)
Antihypertensive drugs
1275 (51.5)
765 (50.3)
510 (53.2)
0.086
Antidiabetic drugs
514 (20.7)
288 (18.9)
226 (23.6)
0.003
Lipid-lowering drugs
672 (27.1)
385 (25.3)
287 (30.0)
0.007 Table 1. Baseline characteristics and of study subjects. Continuous variables were presented as medians (interquartile ranges) for the skewed variables. Categorical variables were presented as numbers and proportions. Continuous variables were presented as medians (interquartile ranges) for the skewed variables. Categorical variables were presented as numbers and proportions.
We consider High BMI 30 kg/m2; High WC: WC 88 cm in females and 102 cm in males; High WHtR: 0.604 cm/cm in females and 0.617 cm/cm in males;
High CUN-BAE 35 in females and 30 in males. Abbreviations: IR, interquartile range. MET, basal metabolic rate. BMI, body mass index. WC, Waist circumference. CUN-BAE, Clı´nica Universidad de Navarra—Body
Adiposity Estimator. WHtR, waist-to-height ratio. BRI, body roundness index. ABSI, a body shape index. SBP, systolic blood pressure. DBP, diastolic blood pressure.
LDL, low density lipoprotein. HDL, high density lipoprotein. FPG, fasting plasma glucose. HbA1C, glycosylated hemoglobin. MetS, Metabolic syndrome. CVD RF,
cardiovascular risk factors https://doi.org/10.1371/journal.pone.0209992.t001 Association analysis In the logistic regression analysis, all the adiposity indices, except for ABSI, show a similar
probability of presenting MetS associated with the presence of obesity. The OR in the global
analysis ranges from 5.50 (4.27–7.09) with CUN-BAE to 4.57 (3.81–5.49) with BMI. With
males it is between 5.98 (4.70–7.60) with BMI and 5.51 (4.32–7.02) with CUN-BAE and with
females between 4.15 (3.06–5.63) with CUN-BAE, 4.15 (3.09–5.58) WHtR and BRI, and 4.14
(3.07–5.58) with BMI (Table 4). Capacity adiposity indices to identify metabolic syndrome Table 2. Spearman correlation coefficient between adiposity index and components of metabolic syndrome. CUN-BAE
BMI
WHtR
BRI
ABSI
Global n = 2478
SBP
-0.028
0.101
0.101
0.082
0.059
DBP
-0.025
0.160
0.070
0.062
0.049
FPG
0.155
0.260
0.279
0.214
0.062
HbA1c
0.212
0.241
0.287
0.243
0.064
HDL-Cholesterol
0.030
-0.207
-0.135
-0.110
-0.005
Triglycerides
0.078
0.215
0.164
0.107
-0.026
Males n = 1520
SBP
0.128
0.115
0.115
0.100
0.027
DBP
0.124
0.178
0.088
0.093
-0.062
FPG
0.197
0.196
0.264
0.204
0.047
HbA1c
0.256
0.242
0.255
0.221
0.061
HDL-Cholesterol
-0.196
-0.222
-0.139
-0.141
-0.105
Triglycerides
0.139
0.191
0.115
0.086
-0.097
Females n = 958
SBP
0.118
0.099
0.121
0.117
0.111
DBP
0.133
0.151
0.079
0.120
0.074
FPG
0.273
0.253
0.302
0.218
0.231
HbA1c
0.277
0.265
0.320
0.236
0.254
HDL-Cholesterol
-0.189
-0.211
-0.191
-0.162
-0.143
Triglycerides
0.246
0.255
0.249
0.180
0.180 Table 2. Spearman correlation coefficient between adiposity index and components of metabolic syndrome. Adiposity index with highest correlation coefficient for each variable in bold. Abbreviations: CUN-BAE, Clı´nica Universidad de Navarra—Body Adiposity Estimator. BMI, body mass index. WHtR, waist-to-height ratio. BRI, body roundness
index. ABSI, a body shape index. SBP, systolic blood pressure. DBP, diastolic blood pressure. FPG, fasting plasma glucose. HbA1C, glycosylated hemoglobin. HDL, high
density lipoprotein. The degree of agreement of the five adiposity indices analyzed for the purpose of identifying
subjects with MetS are shown in S1 Table (additional file 1). In the stratified analysis, all values
of the kappa index, except those corresponding to ABSI, are higher than 0.65, with the perfect
correlation between BRI and WHtR standing out. In the global analysis, the degree of agree-
ment between BMI, BRI and WHtR is also higher than 0.65; with CUN-BAE it is 0.40 and the
maximum value reached with ABSI is 0.27. We consider High BMI 30 kg/m2; High WC: WC 88 cm in females and 102 cm in males; High WHtR: 0.604 cm/cm in females and 0.617 cm/cm in males;
High CUN-BAE 35 in females and 30 in males. Abbreviations: IR, interquartile range. MET, basal metabolic rate. BMI, body mass index. WC, Waist circumference. CUN-BAE, Clı´nica Universidad de Navarra—Body
Adiposity Estimator. WHtR, waist-to-height ratio. BRI, body roundness index. ABSI, a body shape index. SBP, systolic blood pressure. DBP, diastolic blood pressure. LDL, low density lipoprotein. HDL, high density lipoprotein. FPG, fasting plasma glucose. HbA1C, glycosylated hemoglobin. MetS, Metabolic syndrome. CVD RF,
cardiovascular risk factors 7 / 16 7 / 16 PLOS ONE | https://doi.org/10.1371/journal.pone.0209992
January 25, 2019 Abbreviations: CUN-BAE, Clı´nica Universidad de Navarra—Body Adiposity Estimator. BMI, body mass index. WHtR, waist-to-height ratio. BRI, body roundness
index. ABSI, a body shape index. SBP, systolic blood pressure. DBP, diastolic blood pressure. FPG, fasting plasma glucose. HbA1C, glycosylated hemoglobin. HDL, high
density lipoprotein. Adiposity index with highest correlation coefficient for each variable in bold. rsidad de Navarra—Body Adiposity Estimator. BMI, body mass index. WHtR, waist-to-height ratio. BRI, body roundness or each variable in bold. Discussion The present study, conducted with Spanish subjects at intermediate cardiovascular risk, sug-
gests that both the association of the adiposity indices with MetS and their ability to identify PLOS ONE | https://doi.org/10.1371/journal.pone.0209992
January 25, 2019 8 / 16 Capacity adiposity indices to identify metabolic syndrome Fig 1. Correlation between CUN-BAE and BMI (Fig 1A), WHtR (Fig 1B), BRI (Fig 1C) and ABSI (Fig 1D)
stratified by gender. Vertical lines indicate cut-offs for defining MetS according to CUN-BAE (31.22 males and 41.95
females respectively) and horizontal lines indicate cut-offs for defining MetS according to BMI (28.96 males and
28.02 females respectively), WHtR (0.611 males and 0.615 females respectively), BRI (5.69 males and 5.77 females
respectively) and ABSI (0.0835 males and 0.0816 females respectively). In the lower part of the figure coefficient global
Spearman correlation and by gender. p <0.001 Abbreviations: CUN-BAE, Clı´nica Universidad de Navarra—Body
Adiposity Estimator. WHtR, waist-to-height ratio. BRI, body roundness index. ABSI, a body shape index. https://doi.org/10.1371/journal.pone.0209992.g001 Fig 1. Correlation between CUN-BAE and BMI (Fig 1A), WHtR (Fig 1B), BRI (Fig 1C) and ABSI (Fig 1D) Fig 1. Correlation between CUN-BAE and BMI (Fig 1A), WHtR (Fig 1B), BRI (Fig 1C) and ABSI (Fig 1D)
stratified by gender. Vertical lines indicate cut-offs for defining MetS according to CUN-BAE (31.22 males and 41.95
females respectively) and horizontal lines indicate cut-offs for defining MetS according to BMI (28.96 males and
28.02 females respectively), WHtR (0.611 males and 0.615 females respectively), BRI (5.69 males and 5.77 females
respectively) and ABSI (0.0835 males and 0.0816 females respectively). In the lower part of the figure coefficient global
Spearman correlation and by gender. p <0.001 Abbreviations: CUN-BAE, Clı´nica Universidad de Navarra—Body
Adiposity Estimator. WHtR, waist-to-height ratio. BRI, body roundness index. ABSI, a body shape index. https://doi.org/10.1371/journal.pone.0209992.g001 MetS subjects is similar with all indices analyzed, both in the global analysis and by gender,
apart from ABSI. The probability of developing MetS associated with the presence of obesity
ranged in the global analysis with the best-fit model from 5.50 with CUN-BAE to 4.57 with
BMI, being lower in females than in males. These results are confirmed in the ROC curve
analysis. The results of this study are new and may be of important clinical relevance since it is the
first study that compares the capacity of five adiposity indices to identify subjects with MetS in
a population with intermediate cardiovascular risk. PLOS ONE | https://doi.org/10.1371/journal.pone.0209992
January 25, 2019 Capacity adiposity indices to identify metabolic syndrome ing characteristic curve and cut-off points, sensitivity and specificity for the various adiposity index and metabolic Table 3. Adjusted area under receiver operating characteristic curve and cut-off points, sensitivity and specificity for the various adiposity index and metabolic
syndrome. ROC (95% CI)
Cut-off
Sensitivity (%)
Specificity (%)
Youden index
Global n = 2478
CUN-BAE
0.684 (0.663–0.704)
33.15
0.700
0.592
0.292
BMI
0.748 (0.729–0.767)
28.73
0.692
0.680
0.372
WHtR
0.752 (0.733–0.771)
0.61
0.695
0.685
0.380
BRI
0.752 (0.733–0.771)
5.67
0.695
0.685
0.380
ABSI
0.569 (0.546–0.591)
0.08
0.550
0.552
0.102
Males n = 1520
CUN-BAE
0.761 (0.737–0.785)
31.22
0.674
0.701
0.375
BMI
0.773 (0.749–0.796)
28.96
0.702
0.714
0.416
WHtR
0.761 (0.738–0.785)
0.61
0.675
0.7175
0.392
BRI
0.761 (0.738–0.785)
5.69
0.675
0.7175
0.392
ABSI
0.567 (0.538–0.596)
0.08
0.592
0.501
0.093
Females n = 958
CUN-BAE
0.714 (0.682–0.747)
41.95
0.748
0.588
0.336
BMI
0.718 (0.686–0.750)
28.02
0.740
0.606
0.346
WHtR
0.735 (0.704–0.767)
0.61
0.702
0.666
0.368
BRI
0.735 (0.704–0.767)
5.77
0.702
0.666
0.368
ABSI
0.569 (0.554–0.626)
0.08
0.622
0.538
0.160
Adiposity index with the highest and area down the curve value in bold. https://doi.org/10.1371/journal.pone.0209992.t003 postmenopausal females showed that BMI had greater predictive power than WHtR when
identifying MetS. postmenopausal females showed that BMI had greater predictive power than WHtR when
identifying MetS. The AUROC results obtained by the adiposity indices for identifying subjects with MetS
coincide with those published in other studies [4, 5, 7]. Similarly, several studies [5, 38, 39],
although not all [39], have reported that ABSI was a weak indicator of subjects with MetS. Furthermore, previous studies conducted in Asian and American populations [38,39]
showed that the relationship of the different components of MetS with the adiposity indices
analyzed was stronger in females than in males [19, 40, 41], data that coincide in part with the Fig 2. Receiver operating characteristic curve of CUN-BAE, BMI, WC, BRI and ABSI to identify subjects with metabolic
syndrome, (A) global, (B) males and (C) females. Areas under the ROC curves are summarized in Table 3. Abbreviations:
CUN-BAE, Clı´nica Universidad de Navarra—Body Adiposity Estimator. BMI, body mass index. WC, Waist circumference. BRI,
body roundness index. ABSI, a body shape index. https://doi.org/10.1371/journal.pone.0209992.g002 Fig 2. Receiver operating characteristic curve of CUN-BAE, BMI, WC, BRI and ABSI to identify subjects with metabolic
syndrome, (A) global, (B) males and (C) females. Areas under the ROC curves are summarized in Table 3. Discussion The results suggest that, except for ABSI,
they may all be useful in clinical practice for identifying subjects at higher risk of developing
MetS. Over recent years, several studies have assessed the capacity of different adiposity indices to
identify subjects with MetS, without obtaining conclusive results. The results coincide with
those published in other studies conducted with American adolescents or in the general
oriental population in which BMI, WC and WHtR behaved similarly in identifying subjects
with MetS [4, 5, 35]. However, other studies conducted with oriental adults [30, 36], or over-
weight/obese children and adolescents [30, 36] have shown that WHtR had greater power to
identify subjects with MetS, but these did not include CUN-BAE nor ABSI among the indices
analyzed. On the other hand, the Women’s Health Initiative Study [37] involving 2672 PLOS ONE | https://doi.org/10.1371/journal.pone.0209992
January 25, 2019 9 / 16 Adiposity index with the highest and area down the curve value in bold.
Abbreviations: ROC, receiver operating characteristic. CUN-BAE, Clı´nica Universidad de Navarra—Body Adiposity Estimator. BMI, body mass index. WHtR, waist-to-
height ratio. BRI, body roundness index. ABSI, a body shape index. https://doi.org/10.1371/journal.pone.0209992.t003 Abbreviations:
CUN-BAE, Clı´nica Universidad de Navarra—Body Adiposity Estimator. BMI, body mass index. WC, Waist circumference. BRI,
body roundness index. ABSI, a body shape index. https://doi.org/10.1371/journal.pone.0209992.g002 10 / 16 PLOS ONE | https://doi.org/10.1371/journal.pone.0209992
January 25, 2019 Capacity adiposity indices to identify metabolic syndrome Table 4. Adjusted odds ratios of metabolyc syndrome by adiposity index. a. Model 1. Odds Ratio Adjusted for Age and Gender
Global n = 2478
Males n = 1520
Females n = 958
OR (95% CI)
p value
OR (95% CI)
p value
OR (95% CI)
p value
CUN-BAE
5.90 (4.63–7.51)
<0.001
5.29 (4.22–6.63)
<0.001
4.42 (3.34–5.85)
<0.001
BMI
4.70 (3.96–5.58)
<0.001
5.83 (4.66–7.29)
<0.001
4.38 (3.33–5.77)
<0.001
WHtR
5.30 (4.44–6.32)
<0.001
5.93 (4.71–7.47)
<0.001
4.78 (3.64–6.30)
<0.001
BRI
5.32 (4.46–6.34)
<0.001
5.99 (4.75–7.54)
<0.001
4.78 (3.64–6.30)
<0.001
ABSI
1.78 (1.50–2.10)
<0.001
1.66 (1.34–2. 05)
<0.001
1.96 (1.51–2.54)
<0.001
b. Model 2. Odds Ratio Adjusted for Age, Gender, Smoking Status, Alcohol consumption, Adherence to the Mediterranean diet and Physical Activity Status
CUN-BAE
5.79 (4.54–7.39)
<0.001
5.28 (4.21–6.24)
<0.001
4.18 (3.14–5.56)
<0.001
BMI
4.60 (3.87–5.46)
<0.001
5.81 (4.64–7.28)
<0.001
4.13 (3.12–5.46)
<0.001
WHtR
5.21 (4.36–6.23)
<0.001
5.96 (4.72–7.53)
<0.001
4.54 (3.43–6.01)
<0.001
BRI
5.23 (4.37–6.25)
<0.001
6.02 (4.76–7.60)
<0.001
4.54 (3.43–6.01)
<0.001
ABSI
1.78 (1.50–2.10)
<0.001
1.66 (1.33–2. 05)
<0.001
1.96 (1.51–2.55)
<0.001
c. Model 3. Odds Ratio Adjusted for Age, Gender, Smoking Status, Alcohol consumption, Adherence to the Mediterranean diet, Physical Activity Status,
Antihypertensive drugs, Antidiabetic drugs and Lipid-lowering drugs
CUN-BAE
5.50 (4.27–7.09)
<0.001
5.51 (4.32–7.02)
<0.001
4.15 (3.06–5.63)
<0.001
BMI
4.57 (3.81–5.49)
<0.001
5.98 (4.70–7.60)
<0.001
4.14 (3.07–5.58)
<0.001
WHtR
5.02 (4.16–6.06)
<0.001
5.93 (4.63–7.58)
<0.001
4.15 (3.09–5.58)
<0.001
BRI
5.04 (4.18–6.09)
<0.001
5.96 (4.66–7.63)
<0.001
4.15 (3.09–5.58)
<0.001
ABSI
1 69 (1 41 2 02)
<0 001
1 65 (1 31 2 07)
<0 001
1 81 (1 37 2 39)
<0 001 Table 4. Adjusted odds ratios of metabolyc syndrome by adiposity index. j
g ,
,
g
,
p
,
,
y
y
,
Antihypertensive drugs, Antidiabetic drugs and Lipid-lowering drugs
CUN-BAE
5.50 (4.27–7.09)
<0.001
5.51 (4.32–7.02)
<0.001
4.15 (3.06–5.63)
<0.001
BMI
4.57 (3.81–5.49)
<0.001
5.98 (4.70–7.60)
<0.001
4.14 (3.07–5.58)
<0.001
WHtR
5.02 (4.16–6.06)
<0.001
5.93 (4.63–7.58)
<0.001
4.15 (3.09–5.58)
<0.001
BRI
5.04 (4.18–6.09)
<0.001
5.96 (4.66–7.63)
<0.001
4.15 (3.09–5.58)
<0.001
ABSI
1.69 (1.41–2.02)
<0.001
1.65 (1.31–2. 07)
<0.001
1.81 (1.37–2.39)
<0.001 Adiposity index with the highest significant OR value in bold. Adiposity index with the highest significant OR value in bold. In the analysis in males and in females the gender was not used as adjustment variable Abbreviations: OR, odds ratio. CI, confidence interval. PLOS ONE | https://doi.org/10.1371/journal.pone.0209992
January 25, 2019 CUN-BAE, Clı´nica Universidad de Navarra—Body Adiposity Estimator. BMI, body mass index. WHtR, waist-to-
height ratio. BRI, body roundness index. ABSI, a body shape index. Cut points used with the different adiposity index: Global: CUN-BAE: 33.15, BMI: 28.73, WHtR: 0.613, BRI: 5.67 and ABSI: 0.0834; Males: 31.22, BMI: 28.96, WHtR:
0.611, BRI: 5.69 and ABSI: 0.0835 and females: 41.95, BMI: 28.02, WHtR: 0.615, BRI: 5.77 and ABSI: 0.0816. https://doi.org/10.1371/journal.pone.0209992.t004 results of the present study. The reason for this sex difference is unclear, although differences
in anatomy, physiology, metabolism, and sex hormones may offer a partial explanation [36]. There are similar gender differences with the optimal cut-off points for the five adiposity indi-
ces analyzed, which suggests that gender-specific reference values should be used to identify
subjects with a higher risk of MetS. Regarding the adiposity indices less frequently studied in identifying subjects with MetS,
we must note that the CUN-BAE estimates the percentage of body fat and it is the excess body
fat which is chiefly responsible for the complications associated with obesity [42, 43]. Although
in our study CUN-BAE is not superior to other measures in predicting MetS, there are previ-
ous studies that suggest that the determination of body fat percentage can better predict MetS
[12, 44]. The BRI was developed to measure body fat and the percentage of visceral adipose tis-
sue by using WC in relation to height, which allows the estimation of the shape of the human
body as an ellipse or oval [18]. The BRI correlates with MetS components and identifies MetS
as other adiposity indices do. The equal predictive power (identical areas under the ROC
curve) of BRI and WHtR which this study found among females has been described in previ-
ous studies [19, 20, 45]. The Spearman coefficient revealed an extremely close relationship
between the two indices (r = 1). Finally, ABSI was created as a quantitative measure to estimate the health of body shape
regardless of body size, so ABSI predicts premature mortality better than BMI or WC [15]. PLOS ONE | https://doi.org/10.1371/journal.pone.0209992
January 25, 2019 11 / 16 Capacity adiposity indices to identify metabolic syndrome Our results suggest that, compared to the other four indices used in this study, ABSI should
not be used to predict MetS. A possible explanation for the non-concordant findings between
our data and those of Krakauer et al. Conclusions All adiposity indices, except for ABSI, show an association with MetS and similar ability to
detect subjects with MetS among people with intermediate cardiovascular risk. Supporting information S1 Table. Degree of agreement between the adiposity indices to identify subjects with
MetS. Kappa index. (DOC) S1 Table. Degree of agreement between the adiposity indices to identify subjects with
MetS. Kappa index. S1 File. Data file. (SAV) S1 File. Data file. (SAV) [15], are the different end point variables (mortality and
MetS), the characteristics of the subjects analyzed (general population and subjects of interme-
diate cardiovascular risk) and height, which was 1.70 meters in the study by Krakauer et al. [15], while in ours it was 1.65 meters, indicating that height could influence ABSI’s ability to
identify MetS. Future studies should therefore further investigate the limits of ABSI and the
impact of body height on the calculation of ABSI. The main limitation of our study is its transversal design, which does not allow us to estab-
lish causal relationships or their direction. Secondly, the population in this study was ethnically
homogeneous, since all the patients in this study were Caucasians at intermediate cardiovascu-
lar risk, thus potentially limiting the generalizability of our findings. However, its strong points
include the large sample analyzed and the fact that as adjustment variables we have used those
which according to other authors [19] can influence the different adiposity indices, such as
age, gender, sociodemographic variables, dietary intake, physical activity and consumption of
alcohol and tobacco, which could affect the strength of the associations. PLOS ONE | https://doi.org/10.1371/journal.pone.0209992
January 25, 2019 Acknowledgments We are grateful to all professionals participating in the MARK study. Lead author for this group: Rafel Ramos, Research Unit, Primary Health Care, Girona,
Jordi Gol Institute for Primary Care Research (IDIAP Jordi Gol), Catalonia, Spain, E-mail:
rramos.girona.ics@gencat.net. Coordinating Center: Rafel Ramos, Ruth Martı´, Dı´dac Parra-
mon, Anna Ponjoan, Miquel Quesada, Maria Garcia-Gil, Martina Sidera and Lourdes Camo´s,
Research Unit, Primary Health Care, Jordi Gol Institute for Primary Care Research (IDIAP
Jordi Gol), C/Maluquer Salvador, 11, 17002-Girona, Catalonia, Spain. Fernando Montesinos,
Ignacio Montoya, Carlos Lo´pez, Anna Agell, Nu´ria Pagès of the Primary Care Services, Girona,
Catalan Institute of Health (ICS), Catalonia, Spain. Irina Gil, Anna Maria-Castro of the Pri-
mary Care Services, Girona, Institut d’Assistència Sanitaria (IAS), Catalonia, Spain. Fernando
Rigo, Guillermo Frontera, Antònia Rotger, Natalia Feuerbach, Susana Pons, Natividad Garcia,
John Guillaumet, Micaela Llull and Mercedes Gutierrez of the Health Center Primary Care
San Augustı´n, Ibsalut Balears, Spain. Cristina Agudo-Conde, Leticia Go´mez-Sanchez, Carmen
Castaño-Sanchez, Carmela Rodriguez-Martı´n, Benigna Sanchez-Salgado, Angela de Cabo-
Laso, Marta Go´mez-Sa´nchez, Emiliano Rodriguez-Sanchez, Jose Angel Maderuelo-Fernandez,
Emilio Ramos-Delgado, Carmen Patino-Alonso, Jose I Recio-Rodriguez, Manuel A Gomez-
Marcos and Luis Garcia-Ortiz, Primary Care Research Unit of The Alamedilla, Salamanca,
Spain, Castilla and Leo´n Health Service–SACYL. 12 / 16 PLOS ONE | https://doi.org/10.1371/journal.pone.0209992
January 25, 2019 Capacity adiposity indices to identify metabolic syndrome Author Contributions Conceptualization: Manuel A. Gomez-Marcos, Jose I. Recio-Rodriguez, Marta Gomez-San-
chez, Fernando Rigo, Rafel Ramos, Emiliano Rodriguez-Sanchez. Data curation: Leticia Gomez-Sanchez, Maria C. Patino-Alonso, Jose I. Recio-Rodriguez, Fer-
nando Rigo, Rafel Ramos. Formal analysis: Manuel A. Gomez-Marcos, Maria C. Patino-Alonso, Luis Garcia-Ortiz. Funding acquisition: Manuel A. Gomez-Marcos, Fernando Rigo, Rafel Ramos. Investigation: Manuel A. Gomez-Marcos, Maria C. Patino-Alonso, Marta Gomez-Sanchez,
Cristina Agudo-Conde, Jose A. Maderuelo-Fernandez, Emiliano Rodriguez-Sanchez. Methodology: Manuel A. Gomez-Marcos, Maria C. Patino-Alonso, Jose A. Maderuelo-Fer-
nandez, Luis Garcia-Ortiz, Emiliano Rodriguez-Sanchez. Project administration: Manuel A. Gomez-Marcos, Marta Gomez-Sanchez, Fernando Rigo. Resources: Jose I. Recio-Rodriguez, Marta Gomez-Sanchez, Ruth Marti, Cristina Agudo-
Conde. Software: Jose I. Recio-Rodriguez, Ruth Marti, Jose A. Maderuelo-Fernandez, Luis Garcia-
Ortiz, Emiliano Rodriguez-Sanchez. Supervision: Manuel A. Gomez-Marcos, Leticia Gomez-Sanchez, Cristina Agudo-Conde, Luis
Garcia-Ortiz. Validation: Ruth Marti, Rafel Ramos, Emiliano Rodriguez-Sanchez. Visualization: Leticia Gomez-Sanchez, Ruth Marti, Rafel Ramos. Writing – original draft: Manuel A. Gomez-Marcos, Emiliano Rodriguez-Sanchez. Writing – review & editing: Manuel A. Gomez-Marcos, Leticia Gomez-Sanchez, Jose I. Recio-Rodriguez, Marta Gomez-Sanchez, Ruth Marti, Cristina Agudo-Conde, Jose A. Maderuelo-Fernandez, Rafel Ramos, Luis Garcia-Ortiz, Emiliano Rodriguez-Sanchez. References 1. Cameron AJ, Magliano DJ, Shaw JE, Zimmet PZ, Carstensen B, Alberti KG, et al. The influence of
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https://hal.inria.fr/hal-01568401/file/978-3-642-22816-2_10_Chapter.pdf
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English
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Ternary Computers: The Setun and the Setun 70
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IFIP advances in information and communication technology
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cc-by
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Ternary Computers: The Setun and the Setun 70
Nikolay Petrovich Brusentsov, José Ramil Alvarez
To cite this version:
Nikolay Petrovich Brusentsov, José Ramil Alvarez.
Ternary Computers: The Setun and the Se
tun 70. 1st Soviet and Russian Computing (SoRuCom), Jul 2006, Petrozavodsk, Russia. pp.74-80
10.1007/978-3-642-22816-2_10. hal-01568401 Ternary Computers: The Setun and the Setun 70
Nikolay Petrovich Brusentsov, José Ramil Alvarez To cite this version: Nikolay Petrovich Brusentsov, José Ramil Alvarez. Ternary Computers: The Setun and the Se-
tun 70. 1st Soviet and Russian Computing (SoRuCom), Jul 2006, Petrozavodsk, Russia. pp.74-80,
10.1007/978-3-642-22816-2_10. hal-01568401 Distributed under a Creative Commons Attribution 4.0 International License Nikolay Petrovich Brusentsov1 and José Ramil Alvarez2 1 Moscow State University, ramil@cs.msu.su
2 Moscow State University, ramil@cs.msu.su Abstract. This paper presents a short history of the development ternary
computers ―Setun‖ and ―Setun 70‖ at Moscow State University. It explains the
characteristics of their architectures and programming systems (Interpretive
Programs), the production and practical usage of Setun-computers, the
structured programming on two-stack ―Setun 70‖, the dialogue system of
structured programming – DSSP, and the computer assisted teaching system
―Nastavnik‖. Keywords: Ternary computer, trit, tryte, Setun, DSSP, Nastavnik HAL Id: hal-01568401
https://inria.hal.science/hal-01568401v1
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abroad, or from public or private research centers. Distributed under a Creative Commons Attribution 4.0 International License 1
Introduction At the beginning of 1956, the department of electronics came into being at the
computer center of Moscow State University (MSU) through the initiative of S.L. Sobolev, a member of the Russian Academy of Science. At the time, Sobolev was the
head of the department of calculating mathematics at the mechanical and
mathematical faculty of MSU. He initiated a seminar with the aim of providing
practical examples for a digital machine usable in universities, in laboratories, and in
the design burros of industrial enterprises. It was necessary to create a small
computer that was simple to use and master, that was reliable and inexpensive but at
the same time was effective in solving a wide range of problems. A detailed study had begun to determine the status of current computers and their
technical abilities. This effort lased a year. The study led to a nonstandard decision
to use in the created machine not the binary code but the ternary code. Twenty years
later, Donald E. Knuth called this the ―balanced‖ system of calculating and which
―may be the most graceful‖ [10]. Claude E. Shannon revealed some of the
advantages of this system in 1950 [12]. The common binary code used in modern computers has the digit set {0, 1}. Binary code does not contain arithmetical full value, as it is impossible to represent
the negative numbers in it. However, a ternary code with a digit set {–1, 0, 1}
provides optimal arithmetical values for numbers formation. Therefore, we not only
an artificial and imperfect complement code of numbers, but we also obtain
considerable arithmetical advantages. These include a uniform number code, a
variable length of operands, a singular shift operation, a tri-value of a function‘s ―sign
of a number‖, an optimal rounding by simply cutting off lower digits, and a
compensation of errors rounding in the process of calculating [7]. 2
The Setun Computer To address this new challenge, we had to create a new computer—a ternary
computer—called the ―Setun‖ as an experimental model [1, 2]. By the end of 1958,
we assembled and began to use the new machine with the collaborators of the
electronics department. As we mastered the machine and gained more experience
with the program facilities and the variable practical devices, it was obvious that the
Setun computer met all requirements and all foreseen tasks intended by its creation. This success showed the efficacy of the ternary digital machine, even taking into
account that the creation of such equipment was the first of such machines completed
by a small group of the beginners (eight graduate pupils from MEI and MSU, and
twelve technicians and laboratory assistants) in short period of time. In comparison
with the binary elements of memory and elementary operations, the ternary design
made the architecture of computer more natural and simple. 2.1
Features of the Setun With a minimum set of commands (only 24 single-address commands), the ―Setun‖
provided an opportunity to do calculations with fixed-point and floating-point
numbers. The machine had an index register, the value of which could modify an
address by addition or subtraction. It also provided the addition operation with
products that optimized polynomial calculations. It utilized three-valued (trit)
operations for multiplying and three commands for conditional transition according to
the sign of the result. The simple and effective architecture provided an opportunity
to facilitate the computer with the programming system and a set of application
programs [13] by a small group of programmers by the end of 1959. That was
sufficient for interdepartmental testing of the experimental model by April of 1960. According to the results of testing, the ―Setun‖ computer became ―the first
working sample of a universal computer on the base of elements without lamps‖. The
machine had the following characteristics: ―high productivity, sufficient reliability,
small forms, simple technical service‖. The Council of Ministers of the USSR made a
resolution of the serial production of the ―Setun‖ at the Kazan plant of mathematical
computers by the recommendation of an interdepartmental committee of experts. 2.2
Production Dynamics However, for reasons unknown, the officials from Radio Electronically Department
did not like the ternary computer and they did not provide the serial production of the
computer sample. When it received the opportunity to use the M-20 computer
produced in the plant, it did not help the output progress. Notwithstanding, when the
number of orders (particularly from abroad) for the Setun grew, they limited the
output, which resulted in declining orders and by 1965, they stopped production. In
addition, they prevented the mastering of the machine in the USSR where they
planned a large production of the machine. The reason for such strange ―politics‖
could have been the very low price of ―Setun‖. It sold for only 27,500 rubles because
of the perfect production of its magnetic digital elements at the Astrakhan plants EA and EP where it cost only 3 rubles and 50 kopeks for each element. (The machine
had about 2 thousand elements.) It was essential that electromagnetic elements of the ―Setun‖ accomplished the
threshold realization of ternary logic that was truly economical, natural, and reliable. They destructed an experimental model that was in an absolute working state after
seventeen years of continuous operation in the computer center of MSU. We changed
only three elements with defects during the first year of operation and the machine did
not need any repairs to the inner devices. The serial machines functioned well in
different climatic zones from Odessa and Ashkhabad to Yakutsk and Krasnoyarsk
without any service or spare parts. Thanks to its simplicity, its natural architecture, and its rational constructed
programming system, the Setun effectively used an interpretive system successfully. Some of its features included floating-point numbers with eight decimal digits (IP-2),
floating-point numbers with six decimal digits (IP-3), complex numbers with eight
decimal digits (IP-4), floating-point numbers with twelve decimal digits (IP-5), auto
code ―Poliz‖ with its operating system, and a library of standard programs that used
floating-point numbers with six decimal digits. Users at universities, industry enterprises, and the Scientific Researching Institute
(SRI) well mastered the Setun computer. It became an effective tool for solving
practical important problems in very different fields from scientific researching
modeling and design calculating to weather forecasting and the optimization of
enterprise management [3]. Users conducted many seminars on the Setun computer
at MSU (1965), at the Ludinovskij locomotive building plant (1968), and at the
Irkutsk Polytechnic Institute (1969). 2.2
Production Dynamics Dozens of reports emerged about the economic
application of these computers. Thanks to its natural ternary symmetric code, the
Setun appeared to be a real universal calculating device. It positively proved to be a
technical research tool for computer mathematics in more than thirty universities. For
the first time an automated system of computer-assisted instruction occurred at
military air engineering academies base on the Setun [11]. 3
Some Mathematical Details The ternary system of calculating applies the same principle of number coding as
applied in the binary system used in modern computers. However, the weight of the
i-th position is not 2i, but 3i. The positions themselves are not two-valued (bits), but
three-valued (trits); that is, in addition to 0 and 1, there is a third value, which is 1,
thanks to the uniformly represented by positive and negative numbers. We can
calculate the value of an n-trit number similar to calculating the value of an n-bit
number. That is, n-1
N = i3i = n-13n-1+ n-23n-2 +i3i +...+13 + 0
i=0 where i {1, 0, 1} is a place value in the i-th position. where i {1, 0, 1} is a place value in the i-th position. The symmetrical system of ternary numbers lends itself to use signs for place
value coefficients; that is, instead of using 1, 0, 1, we can use +, 0, . For example, the decimal numbers 13, 7, 6, 6 in such a ternary record would have a representation
by: o
+ + + for +13,
o
+ + for +7,
o
+ 0 for +6, and
o
+ 0 for 6. The sign change of a number using the symmetrical code is equal to a ternary
inversion; that is, interchange all ―+‖ values into ―‖ values and all ―‖ values into
―+‖ values. Using the above, the representation for 7 would be simply + . The
definition of addition and multiplying in the ternary symmetrical code appear in the
tables below. Add
+
0
–
+
+ –
+
0
0
+
0
–
–
0
–
– +
Multiply
+
0
–
+
+
0
–
0
0
0
0
–
–
0
+ Add
+
0
–
+
+ –
+
0
0
+
0
–
–
0
–
– +
Multiply
+
0
–
+
+
0
–
0
0
0
0
–
–
0
+ Unlike the binary code, this arithmetic of signed numbers and the sign of a
number is the value of its higher position (not 0 or 1). Problems arising from signed
numbers do not have a ―perfect solution‖ in binary code. In the ternary symmetrical
code, no such problem exists, which is its advantage. 4
The Setun 70 Computer Between 1967 and 1969, we created a ternary digital Setun 70 computer based on the
experience and practical application of the Setun computer. An experimental model
appeared in April of 1970. This computer contained a nontraditional two-stack
architecture designed on the premise of providing good conditions for further
expansion and development of its abilities by using an interpretive system method [4]. The Setun 70 used an arithmetic stack (a stack of 18-trit operands) because of the
Polish inversion writing program (―Poliz‖) used as a computer language; Poliz
worked well on the Setun computer. The Poliz-program did not consist of commands
of different addresses; instead, it used short word logic of 6-trit trytes. As an element
of a program, we defined a tryte (the smallest addressable unit) for addressing or for
operating. We used an addressing tryte as an operand or as an instruction to send an
addressing word (one to three trytes) from the operating memory onto the operand
stack. There were only nine pages with 81 trytes per page in the operating memory;
for the access, we opened only three pages with their numbers in the ―pointing
registers‖. The operating tryte points the operations or procedures for the operands
stack and the processor register. There are only 81 operations: 27 basic types, 27
auxiliary types, and 27 that are programmable by a user. The second system stack had return addresses when processing breaks. The
fulfillment of the program allowed the realization of E.W. Dijksta‘s idea of structured
programming on the Setun 70. This allowed for an input call operation of a program,
a call according to a condition, and a fulfillment of a program cycle. As a result, the
machine confirmed that procedural structured programming highlighted the
advantages of Dijksta‘s method; that is, the difficulty of creating programs became
five to seven times less, thanks to the traditional testing ―arrangement‖ on examples
we used. Moreover, the programs became more reliable, logical, understandable, and
easily modifiable. In addition, the peculiarities of the Setun 70 became a basis for
dialogue system of the structured programming DSSP that was accomplished on the
DVK type computers and on personal computers [6, 8]. 3
Some Mathematical Details We can characterize the Setun computer as having a single sequential address,
with a 9-trit command code, an 18-trit register summarizer S and multiplier R, a 5-trit
index register for address modification F, a pointer for fulfilling commands C, and a
one-trit pointer of a result sign that can regulate conventional transitions. p
g
g
The operating memory contained 162, 9-trit cells divided into 3 pages with 54
cells per page for exchange with memory, and a magnetic drum having a size of 36 or
72 pages. Reading and recording into the operating memory occurs using either 18-
trit or 9-trit words; a 9-trit word corresponds to the older half of an 18-trit word
appearing in the registers S and R. We interpret the content of these registers as fixed
number after the second from older position‘s point; that is, according to module it is
less than 4, 5. When calculating with a floating-point mantissa M of a normalized
number, it must satisfy the condition that 0.5 M 1.5; the order appears as a
separate 5-trit word interpreted as whole number with a sign. Page two-stage
structure of a memory with word address in the range of three pages that has a 5-trit
addresses and a 9-trit commands gave a unusual compact programs and at the same
time high speed of the computer in spite of the fact that in interpreting systems
magnet drum functions as an operating memory. 5
The Setun 70 and the “Nastavnik” Unfortunately, administrative decisions stopped the further development of the
abilities of the Setun 70 computer and its programming capabilities. We had to
change our focus toward the study of computerization. The Setun 70 became the
basis for development and fulfillment of automated computer systems for the teaching
of ―Nastavnik‖ [5, 9] that contained the principles of Y.A. Kamenskij‘s ―Great
Didactics‖. The purpose of the computer in this system was not the ―electron turning
over pages‖ and multimedia effects; instead, it checked the students‘ understanding of
what they were studying in an attempt to overcome misunderstandings and providing
with real subject skills by exercises. In addition, the computer would record the
lesson itself giving the creator the opportunity to evaluate the effectiveness of using
didactics methods and to modify the material and improve them. Studying materials in ―Nastavnik‖ appeared in typed form with numbered
sections, passages, exercises, and notice of wrong answers. Thanks to the Setun 70,
the computer was able to interact with a student rather easily. It gave the ―book‖ the
ability of communicating with a reader with the help of simple terminal with digital
keyboard, and calculating indicator. The creation of study materials for the
―Nastavnik‖ was not associated with computer programming; in practice, it showed
that schoolteachers could create materials in mathematics, physics, English, and other
subjects. The didactic effectiveness of the system was very high. For example, for
the course in ―Basic Fortran‖, students of MSU studied on the ―Nastavnik‖ for ten to
fifteen hours, students from the economics department for fifteen to twenty hours. The results showed that students using the computer had better programming skills in
Fortran than those studying a usual semester course on the subject. The principle of using a ―book-computer‖ in the ―Nastavnik‖ provided an
opportunity for optimal computer usage as a practical means for studying. In all
respects, the Setun computer provided the necessary tool (microcomputers and
connected with it, 30-40 terminals as a simple calculator) for automated learning; it
was inexpensive, reliable, and easily mastered by students and teachers. The work in
a regime of a dialogue was not difficult; in fact, it was fascinating and guaranteed
quick and good mastering of a subject that had good material organization. The
application system at MSU, MAI, VIA, in schools, and for professional studying at a
plant proved its effectiveness in wide range of subjects and study levels. 5
The Setun 70 and the “Nastavnik” The
―Nastavnik‖ functioned for thirty years for automatic testing and tests to identify the
English language level of first year students to form groups according to levels. Despite the great necessity to improve the process of studying in the
―informative‖ twentieth century, the ―Nastavnik‖ began to fall in disfavor. The
reasons may include its low price, its simplicity, and the lack of a proper display,
mouse, and hypertext. The fact remains that using information technologies in the
process of studying elevates student learning according to the number of computers
used and their power and not to their level and quality of teaching. References [1] Brusentsov, N.P.; ―Computer ‗Setun‘ of MSU‖, New Developments in the Field
of Calculating Mathematics and Computers, Kiev, 1960, pp. 226-234. f
g
p
pp
[2] Brusentsov, N.P., S.P. Maslov, V.P. Rozin, and A.M. Tishulina; ―A small
computer ‗Setun‘‖, MSU, 1965, p. 145. [3] Brusentsov, N.P., V.A. Morozov; ―Annotated guide of programs for ‗Setun‘‖,
MSU, 1968, #2, 1971. [4] Brusentsov N.P., E.A. Zhogolev; ―Structure and algorithms of small computer
functioning‖, Computers and Problems of Cybernetics, #8, L. 1971, pp. 34-51. [5] Brusentsov, N.P., S.P. Maslov, J. Ramil Alvarez; ―Automated system teaching
‗Nastavnik‘‖, Computers and Problems of Cybernetics, #13, MSU, 1977, pp. 3-
17. [6] Brusentsov, N.P., G.V. Zlatkus, I.A. Rudnev; ―Dialogue system of structured
programming‖, Programming Rigging of Microcomputers, MSU, 1982, pp. 11-
40. [7] Brusentsov, N.P.; ―Notes about ternary digital equipment‖, Architecture and
Programming of Digital Systems, MSU, 1984, pp. 114-123. [8] Brusentsov, N.P., V.B. Zakharov, I.A. Rudnev, S.A. Sidorov, N.A. Chanishev;
―Developing adapting language of a dialogue system of programming‖, MSU,
1987, p. 80. [9] Brusentsov, N.P., S.P. Maslov, J. Ramil Alvarez; ―Microcomputer system
teaching ‗Nastavnik‘‖, Nauka, 1990, p. 223. [10] Knuth D.E.; ―Seminumerical algorithms‖, The Art of Computer Programming,
Vol. 2, Addison-Wesley, 1969. [11] Kuznezov S.I.; Materials on mathematical service of ―Setun‖, 1964. [12] Shannon C.E.; ―Symmetrical notation for numbers‖, The American Mathematical
Monthly, v. 57, n.2, Feb. 1950, pp. 90-93. [13] Zhogolev E.A.; ―"The Order Code and An Interpretative System for the SETUN
Computer", USSR Comp. Math. and Math. Physics,1962, #3, Pergamon Press,
pp. 563-578.
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Robot vs. tax inspector or how the fourth industrial revolution will change the tax system: a review of problems and solutions
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KEYWORDS Cyber-physical technologies, digitalization, blockchain, taxes on digital goods, taxes
in Big Data, taxes on robots, taxes on cryptocurrencies Административно-управленческие проблемы
налоговых реформ DOI: 10.15826/jtr.2018.4.1.042 Robot vs. tax inspector or how the fourth industrial revolution
will change the tax system:
a review of problems and solutions Valentine P. Vishnevsky
Institute of Industrial Economics of NAS of Ukraine, Kiev, Ukraine
ORCID: 0000-0002-8539-0444
Viktoriia D. Chekina
Institute of Industrial Economics of NAS of Ukraine, Kiev, Ukraine
ORCID: 0000-0003-2118-901X Valentine P. Vishnevsky
Institute of Industrial Economics of NAS of Ukraine, Kiev, Ukraine
ORCID: 0000-0002-8539-0444 Viktoriia D. Chekina
Institute of Industrial Economics of NAS of Ukraine, Kiev, Ukraine
ORCID: 0000-0003-2118-901X Institute of Industrial Economics of NAS of Ukraine, Kiev, Ukraine
ORCID: 0000-0003-2118-901X ABSTRACT The Fourth Industrial Revolution and the accelerated development of cyber-physi-
cal technologies lead to essential changes in national tax systems and international
taxation. The main areas in which taxation meets cyber-physical technologies are
digitalization, robotization, M2M and blockchain technologies. Each of these areas
has its own opportunities and problems. Three main approaches towards possible
solutions for these new problems are identified. The first is to try to apply taxation
to new cyber-physical technologies and products of their application. This approach
includes the OECD’s Action 1 Plan on Base Erosion and Profit Shifting. It also in-
cludes the spread of traditional taxes on new objects — personal data, cryptocur-
rencies, imputed income of robots. The second is to replace digital transactions and
shortfalls in revenues by traditional objects of taxation in the form of tangible assets
and people and / or increase tax pressure (including by improving tax administra-
tion with use of Big Data) and the degree of progressiveness of taxes already levied
on such objects. The third approach is to set a course on building a new tax space
with smart taxes based on real-time principles, smart contracts and Big Data. This
implies a transition to automatic taxation using blockchain technologies, which fo-
cus on the functions of applying distributed ledgers of business transactions in real-
time. At present, the general trends are such that the first and second are prevalent,
which is manifested in an increase in the relative importance of property, sales and
employment taxes. Concerning the third approach, any movement in this direction
is still facing a number of technical and other problems and is thus being discussed
mainly at the conceptual level © Valentine P. Vishnevsky, Viktoriia D. Chekina, 2018 HIGHLIGHTS 1. Production technologies and taxes are dialectically linked. Therefore, the acceler-
ated development of cyber-physical systems leads to substantial transformations of
national taxes and international taxation 2. It is established that there are three main areas where taxes meet new cyber-physi-
cal technologies and where new fiscal opportunities and problems arise — digitaliza-
tion, robotics, M2M and blockchain technologies 2. It is established that there are three main areas where taxes meet new cyber-physi-
cal technologies and where new fiscal opportunities and problems arise — digitaliza-
tion, robotics, M2M and blockchain technologies 3. Three main approaches to solving emerging problems of taxation are stressed: the
first entails extended tax coverage of new cyber-physical technologies and products 3. Three main approaches to solving emerging problems of taxation are stressed: the
first entails extended tax coverage of new cyber-physical technologies and products © Valentine P. Vishnevsky, Viktoriia D. Chekina, 2018 6 Journal of Tax Reform, 2018, vol. 4, no. 1, pp. 6–26 ISSN 2412-8872 of their use; the second involves the replacement of digital transactions and shortfalls
in revenues by objects of taxation in the form of tangible assets and people; while the
third envisages the construction of a new tax space with smart taxes based on real-
time principles, smart contracts and Big Data КЛЮЧЕВЫЕ СЛОВА
б
ф Киберфизические технологии, цифровизация, блокчейн, налоги на цифровые
товары, налоги в сфере больших данных, налоги на роботов, налоги на крип-
товалюты АННОТАЦИЯ Ц
Четвертая промышленная революция и ускоренное развитие киберфизических
технологий ведут к существенным изменениям национальных налоговых систем
и международного налогообложения. Основными сферами, где налоги пересе-
каются с киберфизическими технологиями, являются цифровизация, роботи-
зация и М2М, технологии блокчейн. В каждой из этих сфер есть свои возмож-
ности и проблемы. Существует три основных пути возможного решения этих
новых проблем. Первый путь — попытаться охватить налогами новые киберфи-
зические технологии и продукты их использования. Этот путь включает План
действий 1 ОЭСР по противодействию размыванию налоговой базы и выводу
прибыли из-под налогообложения. Он также включает распространение тради-
ционных налогов на новые объекты — персональные данные, криптовалюты,
вмененные доходы роботов (электронных лиц). Второй путь заключается в заме-
не цифровых транзакций и выпадающих доходов традиционными налоговыми
объектами в виде материальных активов и людей и / или увеличении налогового
давления (в том числе путем совершенствования налогового администрирования
с использованием больших данных) и степени прогрессивности налогов, уже взи-
маемых с таких объектов. Третий путь — взять курс на построение нового налого-
вого мира с умными налогами, основанными на принципах реального времени,
умных контрактах и больших данных. Речь идет о переходе на автоматическое
налогообложение с использованием блокчейн-технологий, которые ориентиро-
ваны на функции применения распределенных регистров хозяйственных опера-
ций в режиме реального времени. В настоящее время общие тенденции таковы,
что преобладают первый и второй пути, что проявляется в росте относительно-
го значения налогов на имущество, продажи и занятость. Что касается третьего
пути, то движение в этом направлении все еще сталкивается с рядом технических
и других проблем и обсуждается в основном на концептуальном уровне Робот против налогового инспектора, или как изменит
налоговую систему четвертая промышленная революция:
обзор проблем и решений В. П. Вишневский
Институт экономики промышленности НАН Украины,
г. Киев, Украина
ORCID: 0000-0002-8539-0444
В. Д. Чекина
Институт экономики промышленности НАН Украины,
г. Киев, Украина
ORCID: 0000 0003 2118 901X В. П. Вишневский
Институт экономики промышленности НАН Украины, В. П. Вишневский
Институт экономики промышленности НАН Украины,
г. Киев, Украина
ORCID: 0000-0002-8539-0444 В. Д. Чекина
Институт экономики промышленности НАН Украины,
г. Киев, Украина В. Д. Чекина
Институт экономики промышленности НАН Украины,
г. Киев, Украина Introduction ied at a given place and given period of
time is determined by the development
level of technologies and those economic
institutions formed on their basis. In or-
der to levy a tax, there must be an object
capable of being uniquely identified and
quantified. In times of dominant agrarian
and handcrafting technologies of pre-in-
dustrial societies and their corresponding
institutions, it was relatively easy to iden-
tify and quantify the population, property
(land, buildings, animals, etc.) and goods
for the purposes of taxation. These com-
prised the objects for imposing poll taxes,
real taxes on certain types of property, ex-
cise taxes and duties on goods. A growing body of research in eco-
nomic digitalization, robotization and
cyber-physical
systems
development
raises questions as to how the new indus-
trial revolution will affect the rate of tax
revenues for the treasury and the whole
tax system yet more often. This issue has
already been featured in many publica-
tions, not just in work by individual re-
searchers (M. Bacache-Beauvallet and F. Bloch [1], S. Gupta, M. Keen, A. Shah, and
G. Verdier [2], J. Crémer [3], X. Oberson
[4], R. Shiller [5], etc.), but also in the of-
ficial publications of influential interna-
tional organizations and companies. For
instance, the papers of Pricewaterhouse
Coopers (PWC) analysed tax incentives
for Industry 4.0 [6–8]. The publications of
McKinsey Global Institute and Deloitte,
the multinational professional audit ser-
vices network, reflect the interconnection
between taxes and new manufacturing
technologies [9–11]. Ernst & Young has
produced publications devoted to is-
sues of taxation in the digital economy,
including the possible use of blockchain
technology [12; 13]. In the publications
of OECD committees and working par-
ties, much attention is being paid to tax
evasion in the digital economy and tax
administration, including using the Big
Data capabilities [14–16]. However, all
these studies require systematization and
critical re-thinking, thus constituting the
topic of the present article. Income became an object of taxation
during times of domination of technol-
ogy overt mass manufacturing at enter-
prises formed as legal entities, obliged
to keep accounts and to maintain public
records, including those relating to the
income of personnel, the reliability of
which could be confirmed by indepen-
dent auditors. At this point, the concept
of taxing the income of individuals and
legal entities started to become increas-
ingly widespread. ОСНОВНЫЕ ПОЛОЖЕНИЯ 1. Производственные технологии и налоги диалектически связаны. Поэтому
ускоренное развитие киберфизических систем ведет к существенным транс-
формациям национальных налогов и международного налогообложения 7 7 Journal of Tax Reform. 2018. T. 4, № 1. С. 6–26 ISSN 2412-8872 2. Установлено, что существуют три основных сферы, где налоги встречаются
с новыми киберфизическими технологиями и где возникают новые налоговые
возможности и проблемы — дигитализация, роботизация и М2М, технологии
блокчейн 3. Выделены три основных пути решения новых проблем налогообложения:
первый — охват налогами новых киберфизических технологий и продуктов их
использования; второй — замена цифровых транзакций и выпадающих дохо-
дов налоговыми объектами в виде осязаемых активов и людей; третий — по-
строение нового налогового мира с умными налогами, основанными на прин-
ципах реального времени, умных контрактах и больших данных 2 Future of Life Institute. AI Principles. Fu-
ture of Life Institute, 2017. Available at: https://
futureoflife.org/ai-principles/. Introduction Subsequently, the
development of new communication
technologies, the international division
of labour and global value chains led to
the emergence of VAT, which is imposed
along these chains and facilitates interna-
tional settlements. Currently, in the age of ICT, in which
exponential increases in productivity are
facilitated [17], digitalized cyber-physical
manufacturing generates new assets and
objects (digital) and transforms existing
ones, leading inevitably to significant
changes in tax systems, which arise and
quickly spread worldwide (Figure 1). Increasing attention paid to taxation
issues in terms of industrial revolution
resulted from the fact that taxation and
production technologies are in a dialecti-
cal and interdependent relation. On the
one hand, the specific nature of taxes lev- 8 Journal of Tax Reform, 2018, vol. 4, no. 1, pp. 6–26 ISSN 2412-8872 ISSN 2412-8872 The beginning
of the XXI century
The end
of the XVIII century
The end
of the XIX century
The 2nd half
of the XX century
Degree of technical and technological complexity
Industry 1.0 Industry 2.0 Industry 3.0 Industry 4.0
The 1st industrial
revolution
The mechanization of
production, the energy
of water and steam
The 2nd industrial
revolution
+Mass production,
the electrical energy
from hydrocarbons
The 3rd industrial
revolution
+Automation and
computerization of
production, nuclear
energy
The 4th industrial
revolution
+Cyber-physical
production, renewable
energy
First mechanical
weaving loom, 1784
First assembly line,
1870
First programmable
logic controller, 1968
First cryptocurrency
and blockchain, 2009
Personal income tax,
GB, 1799; USA, 1861
+Corporate income
tax, USA, 1909
+Withholding taxes,
USA, 1943
+Value added tax,
EU, 1972
+Taxation using “big
data” and blockchain. The project of a tax on
robots, EU, 2016
Figure 1. Interconnection of industrial revolutions and taxes Figure 1. Interconnection of industrial revolutions and taxes According to the IMF experts: “By
transforming the way countries collect,
process, and act on information, digital
technology can reshape the way gov-
ernments design and implement their
tax, spending, and macro-fiscal policies”
[18, p. vii]. 1 The World Bank. World Development In-
dicators. Available at: http://databank.world-
bank.org/data/reports.aspx?source=world-de-
velopment-indicators#. Key areas where taxes meet
cyber-physical technologies The analysis of the results of research-
es on the transformation of taxation in the
context of the new industrial revolution,
as well as the main technical and techno-
logical features of the cyber-physical sys-
tems [19–21], allowed the main directions
of the expected changes in the economy
and taxation to be determined (Table). On the other hand, taxes themselves
and public expenditures financed at their
expense predetermine the accelerated
development of production technologies
and economic institutions. Taxation sig-
nificantly affects people’s behaviour and
the activities of the enterprises they create,
correcting negative externalities and ac-
cumulating resources which may be used
to finance public and quasi-public goods,
the development of science, human and
physical capital, infrastructure, including
digital infrastructure, etc. It is sufficient
to note that the expenditures on R&D, a
significant part of which is financed by
taxes, increased globally from $1 trillion
in 2000 (Constant 2010 US $) to $1,7 tril-
lion in 20151. (
)
It should only be noted that, since
new technologies appear and develop
very rapidly under the conditions of the
contemporary industrial revolution, the
provisions presented therein are a priori
incomplete. For example, although un-
til recently, artificial intelligence was in
the realm of science fiction, participants
in the Beneficial AI 2017 conference have
already developed and adopted a list of
23 basic principles that should be followed
when developing it2. Fifty years ago, the
first industrial robot was manufactured;
today the issues of interaction of robots in
a challenging environment and problems 9 Journal of Tax Reform. 2018. T. 4, № 1. С. Key areas where taxes meet
cyber-physical technologies 6–26 ISSN 2412-8872 Interconnection between technological and tax transformations
in the Fourth Industrial Revolution
Technological
changes
Implications
Possible tax policy measures
economic
tax
Digitalization Growth in sales of
digital goods and
services
Reduction in taxation base
due to cheap digital prod-
ucts, reducing amount of
taxes on sales and consump-
tion of conventional (non-
digital) goods and services
Introduction of special taxes
on sales and/or consumption
of digital goods and services,
and/or raising employment
and real taxes (on property,
electric power transmission,
etc.)
Growth in sales
of digital labelled
goods
Expansion of the tax base
due to better control over
the production and products
sales, a reduction in the
“shadow” turnover
Introduction of digital labelling
and its usage in tax adminis-
tration, including for forming
the international registries of
information on unified means
of goods labelling identification
Growth in volumes
of cross-border
online transactions
Taxation base erosion due to
increasing amount of “state-
less” incomes and operations
with affiliated parties in low-
tax jurisdictions, and due to
using of specific contractual
payments and the imposition
of holding companies
Development of international
measures to counteract e-
strategies of tax evasion (incl. through transfer pricing),
which use the loopholes and
inconsistencies in tax regula-
tion of different jurisdictions
Exponential
growth in volumes
of generated and
used data (Big
Data)
Emergence of new oppor-
tunities and risks related
to use of Big Data in tax
administration. Extension
of taxation base owing to
digital data
Use of Big Data to increase
tax revenues and improve
taxpayer services. Introduction of a tax on per-
sonal data collection and use
Robotization
and М2М
Reduction in num-
ber of under- and
semiskilled jobs,
STEM-personnel
shortages
Necessity of compensating
the social tax losses to the
budget due to the reduction
of under- and semiskilled
jobs
Determination of the need and
possibility of introducing new
forms of compensating taxes:
robot taxes, universal basic
dividends, etc. 3 The term “digital goods” or “e-goods” usu-
ally refers to the intangible goods that exist in
digital form, and the term “digital services” usu-
ally refers to the electronic delivery of informa-
tion including data and content across multiple
platforms and devices. Key areas where taxes meet
cyber-physical technologies Provision of tax
incentives for retraining and
advanced training of personnel
Increased wealth
disparity
Increased importance of tax
regulation in the sphere of
income inequality
Increased progressivity of the
tax system
Development
of blockchain
technologies
Growth in the
emission volume
and the areas of the
crypto-currencies
usage, which are
out of the regulato-
ry scope of national
banks
Increased complexity of
the tax administration and
the transformation of the
tax base due to increasing
number of cryptocurrency
transactions and token emis-
sion
Possible introduction of special
taxes on cryptocurrency min-
ing, buying and selling, Initial
Coin Offering
Transparency of
operations, online
access to transac-
tion data, safe and
reliable real-time
transaction record-
ing (worldwide
ledger)
New opportunities of im-
proving tax administration. Opportunities and risks of
fundamental changes in the
tax system based on decen-
tralized transactions record-
ing, online tax calculations
and payments
Determination of the need and
possibility for using blockchain
technologies for transactions
recording, automatic calcula-
tion and collection of taxes. Possible shift from the current
tax system based on the com-
parison of income and costs
for the reporting period, to a
system based on the real-time
accounting of income and costs Interconnection between technological and tax transformations
in the Fourth Industrial Revolution 10 Journal of Tax Reform, 2018, vol. 4, no. 1, pp. 6–26 ISSN 2412-8872 related to robots’ ability to teach them-
selves are being studied [22]. In 2009, the
first Bitcoins were generated [23, p. vii]; as
of 31 December 2017, their market capita-
lization already exceeded $200 billion. nologies and products. These products
include digital goods and services3, which
exist in intangible forms, as well as physi-
cal goods with digital labelling. Some innovative companies already
widely use digital technologies at all stages
of the product life cycle — from develop-
ment to technical maintenance, while oth-
ers are still only investigating the benefits
and costs of implementing them. Never-
theless, almost all enterprises use Internet
environment for marketing their products
and services, both in digital and material
form, such that volumes of e-commerce are
increasing at a rapid pace (Figure 2). Consequently, we provide a more
detailed analysis of only the main points
presented in the table, which we consider
to be the most important, although many
other tax aspects of the development of
the digital economy and cyber-physical
systems may be equally interesting re-
search directions. Digitalization The EU suppliers of digital goods
and services pay VAT in the buyer’s coun-
try at the rate established by national leg-
islation. Russia also introduced a “Google
tax” in the form of value-added tax on
digital goods and services sold online by
foreign IT-companies [29]. sons for that: first, the cost of digital goods
is usually different from that of their physi-
cal originals (for example, digital books
are cheaper than paperbacks [26]); second,
the payment for digital goods and services
may be not monetary, but in various forms
of barter (subscription to advertising, dis-
tribution of various digital products, etc.);
third, due to the growth of cross-border
trade through the Internet, part of the in-
come of economic entities is being left out
of the national tax legislation. Taxes on digitally labelled goods. One
of the latest tools employed in the fight
against tax evasion and shadow commod-
ity circulation is digital (smart) labelling. The total labelling of goods using digital
technologies is assumed to reduce the
number of counterfeits, protect business
and consumers and increase tax revenues
[30]. Another reason for the rapid spread
of smart labelling was the growing de-
mand of consumers for transparency of
data on products — from manufacturing
to purchasing. Therefore, in not relying on the passive
expectation of the growth of tax revenues
from trade in digital goods and services,
some countries have been already revie-
wing their tax systems from the perspec-
tive of adapting them to conditions of total
digitalization, which opens up wide access
for IT-companies to domestic markets. p
Following legal proceedings on issues
of tax evasion involving such digital mon-
sters as Google, Facebook and Amazon
[27], the European Union started working
on the protection of tax systems and mini-
mization of the risks of digital companies
and platforms not meeting their tax liabili-
ties. One of the possible solutions is the
use of special taxes, which close the loop-
holes for digital business (for example, a
turnover tax on all untaxed or insufficient-
ly taxed income generated from Internet-
based business activities and a withhold-
ing tax on payments made for goods or
services online) [28]. 4 SurveyMonkey. Taxes on SurveyMonkey
Purchases. help.surveymonkey.com, 2018. Avail-
able at: https://help.surveymonkey.com/arti-
cles/ru/kb/Taxes. Digitalization It is therefore relevant to identify
those companies using digitalization for
introduction of Industry 4.0 technologies. According to PricewaterhouseCoopers,
the companies they surveyed, which com-
bine investments and advanced digiti-
zation, plan to cut the costs by 3.6 % for
5 years and annually increase revenues by
2.9 % [6, p. 4]. The many of modern scientific and
technological advances, which drastically
change our ways of living (mobile internet,
automation of knowledge work, the Inter-
net of Things, cloud technology, advanced
robotics, autonomous and near-autono-
mous vehicles, etc. [24]) are based on digi-
tal technologies, which in turn were based
(technically) on representing the signals
as discrete frequencies of analogue levels
(but not the continuous spectrum); thus,
digitalization consists in the conversion of
this information into digital form. In pub-
lic finance, these technologies mostly affect
the spheres of G&S taxation, cross-border
online-transactions and use of Big Data. From the taxation standpoint, such dig-
ital transformations can be seen positively
since an increase in business revenue may
increase tax revenues. However, as noted
by the experts from the Finnish innova-
tion fund Sitra [25], digital goods can also
reduce the tax base. There are several rea- Taxes on digital goods and services. Digi-
tal transformations in the global economy,
related to converting information into a
digital form, are very active, but unevenly
spread. This is true for both digital tech- 3 The term “digital goods” or “e-goods” usu-
ally refers to the intangible goods that exist in
digital form, and the term “digital services” usu-
ally refers to the electronic delivery of informa-
tion including data and content across multiple
platforms and devices. 1336
1548
1859
2290
2774
3305
3879
4479
2014
2015
2016
2017
2018
2019
2020
2021
4,5
4,0
3,5
3,0
2,5
2,0
1,5
1,0
0,5
0
4500
4000
3500
3000
2500
2000
1500
1000
500
0
$ billion U.S. Sales, $ billion U.S. Sales, fixed base index
Gross domestic product, fixed base index
Figure 2. Retail e-commerce sales worldwide and global GDP from 2014 to 2021
Compiled from: Statista.com. (2018); Imf.org. (2018) Figure 2. Retail e-commerce sales worldwide and global GDP from 2014 to 2021
Compiled from: Statista.com. (2018); Imf.org. (2018) 11 Journal of Tax Reform. 2018. T. 4, № 1. С. 6–26 ISSN 2412-8872 is 5 %4. Digitalization platforms affects the ability of tax authori-
ties to levy taxes based on sales and finan-
cial transactions (corporate income tax,
VAT, etc.). The taxation base, determined
by the activities of digital platforms, is nar-
rowed both because of the emergence of
“stateless income” and because the use of
personal data uploaded by users does not
result in financial transactions [36, р. 15]. At the same time, it is important to
take into account that modern digital
technologies allow foreign operations to
be carried out not only by and between
large transnational companies, which are
always “in sight”, but also to numerous
small enterprises comprising parts of val-
ue chains, which unite the development of
digital products and material production. According to the Deloitte experts [37, p. 5],
taxation in such chains can be relatively
simple if the intellectual property is de-
veloped in one jurisdiction (country) and
licensed in another. Then, according to
transfer pricing rules, production units
must pay a fair market price for an intan-
gible digital asset. However, in the case of
the uniqueness of such an asset, it is very
difficult to accurately determine this price. In addition, it is always possible to come
up with special schemes for minimizing
taxes, for example, by using cost-contri-
bution arrangements (see “E-commerce
structure using a two-tiered structure and
transfer of intangibles under a cost-con-
tribution arrangement” [38, pp. 74–76] or
“Transfer of manufacturing operations to-
gether with a transfer of supporting intan-
gibles under a cost-contribution arrange-
ment” [38, pp. 76–79]). Taxes in cross-border online-transactions. One of the key characteristics of the digital
economy is increased cross-border busi-
ness activity, which appears in regard to
“… (i) the intangibles on which the digi-
tal economy relies heavily, (ii) users, and
(iii) business functions as a consequence
of the decreased need for local personnel
to perform certain functions as well as
the flexibility in many cases to choose the
location of servers and other resources”
[33, pp. 33–34]. This has important tax consequences,
for several reasons. First, the subjects of the digital econo-
my are often located outside the jurisdic-
tions of the national tax authorities. In the
case of operating the cross-border online
transactions which do not require their
physical presence in the country, the in-
comes of such entities are usually not sub-
jected to its legislation (the phenomenon
of “stateless income”6) [35, p. 7]. Digitalization Alternatively, one
can initially refrain from trying to capture
income from digital assets in the “tax net”,
but instead focus more on tangible assets
(for example, on property or electric pow-
er transmission), or even switch to taxa-
tion in kind (for example, in robotics, or
the capacities of server rooms) [25]. IoT (Internet of Things) technologies,
which have been used for many years in
aircraft manufacture, medicine, and power
industry, are used to track data on the func-
tioning of devices and equipment in real
time. However, it was only with the devel-
opment of the smart industry that there ap-
peared a need for developing smart label-
ling of consumer goods as an effective tool
for providing real-time information about
the product’s authenticity, its location, stor-
age conditions, relocation, etc. [31]. Using the latest technologies, includ-
ing blockchain, smart labels can provide
interested parties with information about
the entire supply chain — from the sup-
plier to the end consumer, accumulating
data and providing brand protection and
safety of product consumption. With the
help of mobile devices (smartphones, tab-
lets, etc.), the consumer receives all the in-
formation about the product provided by
the manufacturer [32]. A number of countries have already
introduced special provisions into their
tax codes concerning the taxation of the
digital goods and services imports at the
location of the customers. Thus, e.g. in
Australia, all digital goods and services
provided by foreign companies have
been subjected to an indirect Goods and
Services Tax of 10 % since 2017; in New
Zealand, the tax rate is 15 %; the Japanese
Consumption Tax is 8 %; VAT in Taiwan Naturally, the introduction of digital
marking technologies is also associated
with certain challenges and risks, includ-
ing taxation. This concerns the increase in
administrative costs for the formation of
information resources for the labelling of 12 Journal of Tax Reform, 2018, vol. 4, no. 1, pp. 6–26 ISSN 2412-8872 goods, unified international approaches
to the means of identification5, the train-
ing and remuneration of the personnel
for working with producers, as well as
the costs of the producers themselves, the
transfer of information to unified registries,
etc. Hence the increasing product values,
the risks of negative economic consequenc-
es, especially for small businesses and the
emergence of new schemes of corruption. 6 Edward Kleinbard (the University of South-
ern California), one of the authors of “Stateless in-
come” concept, points out that such income “…
can be understood as the movement of taxable in-
come within a multinational group from high-tax
to low-tax source countries without shifting the
location of externally-supplied capital or activi-
ties involving third parties” [34, p. 703]. 5 Eurasian Economic Commission. Label-
ling System to Ensure Control over Circula-
tion of Goods within the EAEU. Eurasiancom-
mission.org, 2018. Available at: http://www.
eurasiancommission.org/en/nae/news/Pag-
es/6-02-2018-1.aspx. 7 According to estimates of the Cybersecurity
Ventures, cybercrime will cost the world $6 tril-
lion annually to 2021, compared to $3 trillion in
2015. This is the largest transfer of economic ben-
efits in history that undermines incentives for in-
novation and investment and will be a more prof-
itable business than, for example, global trade of
all major illicit drugs combined [47]. Digitalization They offer ample
opportunities for using the newest meth-
ods of data storage and processing by tax
authorities, as well as automation of their
basic functions, which will allow them to
reduce routine operations and focus on
solving the most important tasks: improv-
ing the practice of tax audits based on
the development of databases on compli-
ance with tax legislation; more accurate
planning of tax revenues and liabilities;
improving the effectiveness of the fight
against tax fraud and tax evasion by better
identifying and assessing risks; improving
the auditability and accuracy of regulato-
ry reporting [46]. y
The Action 1 report [41] is specifically
dedicated to mitigating tax problems aris-
ing from the digital economy. This final re-
port includes an overview of the principles
underlying corporate income taxes and
VAT in the context of both domestic law
and international tax treaties, the analysis
of information and communication tech-
nologies and their impact on the economy,
recommendations for solving tax problems
of cross-border incomes on the basis of CFC
(Controlled Foreign Capital) rules, double
taxation in cross-border income distribu-
tion and the taxation of PE’s (Permanent
Establishments) under tax treaties. However, it is already clear that the
presented Action Plan needs further im-
provement. For example, the conceptual
provisions for creating value in the digital
business that underpin the transfer pric-
ing rules [34, pp. 41–42] and the rules of
taxation applying to royalties [42] require
further clarification. In general, as the OECD specialists
note [15, p. 102], the Big Data technologies
providing improved access to data in real-
time or near-real-time, as well as the abil-
ity to combine data and analytics, open
new perspectives for tax authorities — on
the one hand, to increase tax revenues —
and, on the other hand, to improve the
support of taxpayers in fulfilling their tax
obligations, promote tax compliance, re-
duce the taxpayers burden and increase
the level of their trust. i
Taxation and Big Data. The development
of the digital economy and cyber-physical
production systems is associated with the
real-time processing of huge volumes of
information — the so-called Big Data [43]. As noted in the article [44, p. 654], the name
“Big Data” refers to a new generation of
technologies and architectures designed to
derive economic benefits from very large
volumes of a wide range of data, through
their high-speed capture, detection and/
or analysis. Digitalization Second, the enterprises can use trans-
fer pricing to reduce their tax liabilities. This is the case when digital assets from
certain tax jurisdiction are transferred to
the affiliated parties operating under the
lower tax regimes of other countries. Third, the transition from traditional
forms of trade to new ones based on digital The problem becomes even more
complex if, for example, a smart link is
established between the information cen-
tre in one territory and the factory floor
sensors in another. Traditional transfer
pricing models developed for intellectual
property licensing cases may not be auto-
matically transferred to other cases, such
as smart-linked factories [37, p. 5]. To address these and some other
problems, the OECD adopted the Action
Plan on Base Erosion and Profit Shifting
(BEPS). This refers to instruments of “soft
law” that are not legally binding but can 13 Journal of Tax Reform. 2018. T. 4, № 1. С. 6–26 Journal of Tax Reform. 2018. T. 4, № 1. С. 6–26 ISSN 2412-8872 bytes to petabytes (210· 210· 210· 210· 210 bytes);
and at the present time from petabytes to
exabytes (210· 210· 210· 210· 210· 210 bytes). bytes to petabytes (210· 210· 210· 210· 210 bytes);
and at the present time from petabytes to
exabytes (210· 210· 210· 210· 210· 210 bytes). bytes to petabytes (210· 210· 210· 210· 210 bytes);
and at the present time from petabytes to
exabytes (210· 210· 210· 210· 210· 210 bytes). be used in countries who have common
requirements in this field [39]. According
to experts from PWC, the implementation
of the Action Plan introduces the most sig-
nificant changes to the system of interna-
tional taxation in the last 30 years [40].i y
(
y
)
The tax authorities of many countries
have already realized the importance of
Big Data technologies for solving the tasks
assigned to them [45]. Robotization and М2М nipulate behaviour, are exacerbated for
people generally [48, рр. 105–106]. nipulate behaviour, are exacerbated for
people generally [48, рр. 105–106]. The Fourth Industrial Revolution has
led to the acceleration of processes of auto-
mation and robotization, especially in such
areas as robotic human augmentation and
the use of industrial robots [24, p. 73]. Over
the past few decades, industrial robots
have taken over many production tasks,
especially those which are difficult, dan-
gerous or impractical for humans. Recent
scientific and technological achievements
have led to robots carrying out an increas-
ingly wide range of tasks which were once
considered the prerogative of human, for
example, picking and packing or manipu-
lating small electronics parts [24, p. 68]. Moreover,
M2M
(machine-to-machine)
technologies which allow machines to ex-
change information and perform actions
without human help, are also becoming
more common. This leads to a simultane-
ous reduction in production costs and an
accelerated growth in the production of ro-
bots worldwide (Figure 3). p
p
g
y [
рр
]
In this regard, it is important to em-
phasize that the personal data provided,
for example, by users of social networks,
are an asset that can generate income [49]. As users of these networks, people actu-
ally pay for access to communication not
generally with money, but rather with in-
formation. Then there are the companies
specializing in the collection, processing
and sale of this information, for example,
to provide credit scores for borrowers8. Obviously, commercial enterprises should
not be the sole beneficiary of these finan-
cial benefits (since market distortions will
arise as a consequence). Instead, these
revenues should be shared with the wider
society and used to adjust externalities; for
example, to create a more socially just and
responsible Internet.i p
Various fiscal instruments can be used
to address this problem, for example, a
small tax (e.g. less than 1 %, so as not to
create large distortions in the behaviour of
economic agents) on the income of com-
panies from the sale of personal data [51]. France has already tried introducing a per-
sonal data collection tax: a pilot reform was
represented in the form of the tax upon
the biggest contributors (only above a cer-
tain threshold in the number of users) in
the form of a single tariff per user, which
could vary according to the behaviour of
the business (e.g. 8 This can lead, among other things, to the
emergence of a conflict of interest. Here it is pos-
sible to refer to one of the latest examples from
the Russian economy. The Double Data company,
which specializes in the development of software
for analyzing Big Data, collected information
about users of the social network VKontakte:
names, places of work and study and other open
information, and then used it for commercial pur-
poses (selling the received data to banks, which,
in turn, used the information to assess the credit-
worthiness of borrowers). VKontakte filed a law-
suit against this company. The Arbitration Court
of Appeal granted the claim in part and banned
the collection and analysis of information about
users of the social network for commercial pur-
poses [50]. Digitalization This definition describes four
distinctive features of big data: volume,
variety, velocity and value. As a result, the
definition of “4Vs” is widely used to char-
acterize big data. At the same time, security risks,
breaches of confidentiality and intellec-
tual property rights are simultaneously
increasing. The use of Big Data objectively
creates a wide field for the growth of vari-
ous kinds of offenses and crimes7. There-
fore, the issues of preventing leakages and
maintaining the integrity of their data,
protection of intellectual property rights
rise for enterprises, as well as issues of
privacy, protection of personal and family
secrets and the use of information to ma- It is important to note that the volumes
of data being generated and accumulated
in the world are growing exponentially:
during 1970s–80s from kilobytes (210 bytes)
and megabytes (210· 210 bytes) to gigabytes
(210· 210· 210 bytes); during the 1980s–90s
from gigabytes to terabytes (210· 210· 210· 210
bytes); during the 1990s–2000s from tera- 14 Journal of Tax Reform, 2018, vol. 4, no. 1, pp. 6–26 ISSN 2412-8872 Robotization and М2М compliance towards data
protection, data security and data portabil-
ity) [52]. However, for various reasons, it
has not yet been implemented. Compiled from: Statista.com. (2018). Such
technical and technological innovations
can lead to profound transformations in
the labour market. According to McKin-
sey Global Institute estimates, 30 % of the
constituent work activities of 60 % of cur-
rent jobs are capable of being automated. It is anticipated that by 2030, 75–375 mil-
lion current employees (from 3 to 14 % of
their total number) will have been forced to
change their professional categories. In ad-
dition, all employees will need to upgrade
their skills to adapt to new working condi-
tions in cooperation with robots [53, p. ii]. Under such conditions, the base for labour
taxes can be significantly narrowed and the
paradox of plenty will arise, in which the
society at large becomes richer, but income
and/or property stratification grows, and
the situation worsens for the majority. j
y
In order to avoid such an unfavourable
scenario, additional tax regulation aimed at
correcting the negative externalities of ro-
botics and M2M processes is required. For
this purpose, traditional tax instruments
can be used alongside new ones, which are
only presently being discussed, but already
attracting attention and causing heated dis-
cussions, can be used. 15 Journal of Tax Reform. 2018. T. 4, № 1. С. 6–26 ISSN 2412-8872 249
288
340
371
425
510
0
100
200
300
400
500
600
2015
2016
2017
2018
2019
2020
1,000 units
America
Europe
Asia/Australia
In total
Figure 3. Estimated annual industrial robot shipments
in selected regions worldwide Figure 3. Estimated annual industrial robot shipments
in selected regions worldwide Taxes on robots. A robot tax — or,
more precisely, a tax on using robots for
the automation of production — has until
recently only been a futuristic hypothesis. However, already in 2016, the European
Parliament working report, prepared by
the Committee on Legal Affairs, put for-
ward the idea of such tax. One of the ar-
guments for this tax involved the concern
about the future employment of the popu-
lation and the viability of social security
systems if the current taxable base is to
be maintained in the law, thus laying the
ground for increasing inequality in the dis-
tribution of wealth and influence [54, p. 3]. Robotization and М2М In particular, it can be taxes on
imputed wages or on income received
from the activities of robots (such that the Around the same time, in California,
the “Jobs of the Future” fund was created 16 Journal of Tax Reform, 2018, vol. 4, no. 1, pp. 6–26 ISSN 2412-8872 alongside a campaign for introducing ro-
bot taxes in response to the fear that they
would gradually completely replace hu-
man labour [57]. The main objective of the
fund was to study the state of the tax sys-
tem in the process of changes in the labour
market and to develop countermeasures
(“pay-roll” tax on job-stealing machines),
to make future M2M more comfortable for
people. of corporate shares at each initial public
offering (IPO) into a Commons Capital
Depository (in fact, this will be the law on
the tax-in-kind on the IPO), and to finance
the payment of a UBD at the expense of
the stock dividends [60]. If this proposal is
implemented, then the increase in the pro-
duction robotization and automation will
result in an increase in the incomes of en-
terprises and an automatic redistribution
of profits to the solution of social problems
will take place through the state trust that
owns a part of their shares. alongside a campaign for introducing ro-
bot taxes in response to the fear that they
would gradually completely replace hu-
man labour [57]. The main objective of the
fund was to study the state of the tax sys-
tem in the process of changes in the labour
market and to develop countermeasures
(“pay-roll” tax on job-stealing machines),
to make future M2M more comfortable for
people. p
p
Naturally, the idea of a robot tax
meets with considerable opposition. The
main stated objection is that it will inter-
fere with innovation. From this point of
view, taking into account global prob-
lems of productivity growth and sustain-
able development, there are not too many
robots, but too little: the taxation of new
technologies is not the best, but the worst
solution. Here it is important to take into
account the fact that the robot tax is a tax
on capital that not only contradicts the
theory of optimal taxation but will intro-
duce additional distortions in connection
with various tax regimes with respect to
robots in individual countries. Robotization and М2М It is equally
important from the fiscal point of view
that the obvious problems of determining
what a “robot” is for tax purposes can in
practice turn this tax into a logical and le-
gal nightmare [58]. A similar idea, put forward earlier
by the American economist M. Kimball
(an economics professor at the Univer-
sity of Michigan), entailed the creation of
a sovereign wealth fund [61]. However,
the source of financing of its assets, ac-
cording to M. Kimball, should not be the
forced transfer of a part of the securities
issued to the state trust, but rather the
current tax revenues, which are being
used for purchasing shares and real es-
tate with subsequent distribution of prof-
its to the population. This approach will
also allow part of the revenues generated
by robots to be redistributed, giving each
citizen his or her share in the new cyber-
physical economy. In addition, in order
to avoid undesirable concentration of
property, the sovereign wealth fund can
be divided into several small parts, each
having different managers. Universal basic dividends and progres-
sive income redistribution. The vulnerabili-
ties of the idea of introducing a robot tax
stimulate the search for other approaches
to solving the problem of robotics and
M2M. For example, the former Minister of
Finance of Greece, Y. Varoufakis [59], who
considers that the fundamental disadvan-
tage of this tax is the complexity of defin-
ing the term “robots” and their imputed
income, sees the way out in the redistribu-
tion of return on capital through the cre-
ation of a state trust. However, it is easy to notice that, ul-
timately, we are talking about different
forms of income redistribution in a soci-
ety, whose economic growth is dependent
on the replacement of labour with capital. For this purpose, it is also possible to use
traditional time-proven tools. More simple and traditional solu-
tions to the undesirable socio-economic
consequences of robotization and M2M
are, for instance, the greater degree of pro-
gressiveness of certain forms of corporate
profit taxation and increases in property
taxes, combined with the financing of as-
sistance programs for those who lose out
from robotics. Robotization and М2М tax is being levied not on a robot as such,
but rather on the use of robots). Moreover,
since robots can sell goods or provide ser-
vices, they also potentially comprise an
object for VAT [4, p. 254]. The idea of imposing a robot tax got
the support of Microsoft founder Bill
Gates [55]. Therefore, this fiscal instru-
ment is sometimes referred to as the “Bill
Gates Robot Tax”. According to the Nobel
laureate R. Shiller [5], robot taxes could
slow down the processes of rapid robot-
ization (at least for a while) as well as en-
suring the receipt of income necessary for
financing retraining programs for redun-
dant workers. l
p
One of the main ideas of the report is
to grant “… a specific legal status for ro-
bots, so that at least the most sophisticated
autonomous robots could be established
as having the status of electronic persons
with specific rights and obligations, in-
cluding that of making good any damage
they may cause, and applying electronic
personality to cases where robots make
smart autonomous decisions or otherwise
interact with third parties independently”
[54, p. 12]. This is evidently a very unusu-
al and controversial idea, which has both
supporters and detractors [4, p. 248]. In August 2017, The Korea Times pub-
lished an article entitled “Korea takes first
step to introduce ‘robot tax’” [56]. It noted
that the government, within the frame-
work of the proposed revision of the tax
legislation, would introduce the restric-
tions on providing tax incentives for in-
vestments in the automation of production
by the end of the year. These restrictions
were aimed at compensating for the loss of
income tax and providing social payments
to dismissed workers who had been re-
placed by robots. Although it is impossible
to directly refer to this fiscal instrument
as a robot tax, nevertheless they share the
same goal that is to reduce the loss of state
revenues due to the robotization of pro-
duction and to cut the labour tax base. Anyway, endowing robots with such
a specific legal identity implies an ac-
knowledgement of the phenomenon of
electronic paying capacity to be used for
taxation. 9 Quandl.com. Bitcoin Estimated Transaction
Volume USD. Quandl, 2018. Available at: https://
www.quandl.com/data/BCHAIN/ETRVU-Bit-
coin-Estimated-Transaction-Volume-USD. Robotization and М2М However, it should be kept
in mind that progressive income taxation
contradicts the principles of optimal taxa-
tion and can introduce additional distor- The purpose of such a trust would
be to receive the so-called universal basic
dividend (UBD), paid out at the expense
of return on the entire capital of the en-
terprise, which is the paraphrase of the
known idea of unconditional basic income. For this purpose, according to the author,
it is necessary to adopt a special law re-
quiring the transfer of a certain percentage 17 Journal of Tax Reform. 2018. T. 4, № 1. С. 6–26 ISSN 2412-8872 tions in the behaviour of economic enti-
ties, leading to losses in public welfare. the transfer of assets. Their popularity is
largely due by the fact that, unlike con-
ventional national currencies, they are not
regulated by banking regulators and do
not have an issuing centre. The proposal to subsidize the wages
of workers with low incomes serves the
same goal. The simplest way to do this
is to reduce payroll taxes that dispropor-
tionately burden the low-wage workers
[62]. This will mean financing a part of
national, regional and local programmes
from other sources of income, such as
higher taxes on income and wealth and/
or value-added tax. Despite the sharp volatility of major
cryptocurrencies, which is caused, among
other things, by the actions of a large
number of non-professional speculators,
the volumes of the transactions denomi-
nated in cryptocurrencies are growing
rapidly. For example, global Bitcoin trans-
actions grew approximately 100-fold in
2017 alone — from $300 million a day at
the end of December 2016 to near $4 bil-
lion a day at the end of December 20179. Although this is still a very small number
compared to the volumes of transactions
in fiat currencies, the tax authorities of dif-
ferent countries are already naturally rais-
ing questions about tax regulation in this
connection. Finally, the previously discussed mea-
sures of preventing the tax evasion from
capital income through transfer pricing
and the use of tax havens (the BEPS action
plan) can be included here. 11 According to W. Mougayar, a token is “…
a unit of value that an organization creates to self-
govern its business model, and empower its users
to interact with its products, while facilitating the
distribution and sharing of rewards and benefits to
all of its stakeholders” [71]. The tokens may be the
digital counterparts of real (physical) assets or ser-
vices (asset-backed tokens), and in this case they
have little in common with the currency as such. Tax implications
of blockchain technologies 6–26 ISSN 2412-8872 tion is value added tax, since in 2015 the
European Court of Justice has decided
that the operations of the Bitcoin purchas-
ing and selling for traditional fiat curren-
cies are not subject to this tax [64, p. 34]. activity [67], explaining this by the need to
reduce financial risks and prevent currency
manipulation and tax evasion. Moreover,
in March 2018, the governor of the People’s
Bank of China stated that China does not
recognize Bitcoin and other digital curren-
cies as legitimate forms of payment [68]. j
p
In some European countries the situ-
ation is as follows. The United Kingdom
(UK), which does not recognize crypto-
currencies to be legal currencies (as in
Canada), either imposes an income tax
(for traders) or a capital gains tax (for or-
dinary investors). At the same time, the
so-called “mining” of cryptocurrencies is
considered a type of business and is sub-
ject to corporate income tax at a standard
rate of 20 %. In Switzerland, however, Bit-
coin was recognized as a “foreign curren-
cy” with all the resulting tax consequences
[66]. In Germany, at the beginning of 2018,
crypto-currencies were recognized as an
alternative contractual and immediate
means of payment10. Thus, digital curren-
cies will not be taxed if they are used as a
means of payment. Instead, payment for
goods with cryptocurrencies will be sub-
ject to VAT at the current exchange rate at
the transaction time. However, the actual
act of converting cryptocurrency into fiat
money or vice versa is classified as “provi-
sion of services”, so the party acting as an
intermediary is not taxed. “Miners” who
receive rewards in cryptocurrencies will
similarly not be taxed, since their services
are considered to be voluntary. As for the post-Soviet states, legisla-
tion on the status and taxation of crypto-
currencies and their mining is still under
development in the Russian Federation
[69]. A similar situation is observed in
Ukraine [70].i In the field of cryptocurrencies, the
phenomenon of the Initial Coin Offering
(ICO) is especially worth noting. During
an ICO, investors are offered tokens11,
usually in exchange for already estab-
lished cryptocurrencies (for example, bit-
coins). 10 Digithereum.com. Germany Recognizes
Cryptocurrency as a Legal Tender. Digithereum,
2018. Available at: https://digithereum.com/
news/germany-recognizes-cryptocurrency-le-
gal-tender. Tax implications
of blockchain technologies Blockchain technologies or distributed
ledger technologies are considered to be
one of the breakthrough inventions of the
21st century. They have the potential to
dramatically transform much of what we
now know and do, as well as how we do
it [63]. From an engineering point of view,
blockchain is a digital technology as well. Additionally, perhaps, it would be logical
to discuss it among the problems of taxa-
tion in the digital economy, for example,
in conjunction with the taxation of digital
goods and services. In this article, howev-
er, distributed ledger technologies are allo-
cated to a special sector, since their sphere
of influence goes beyond the usual digital
economic problems. Although blockchain
technologies have the potential to re-
structure many significant aspects of the
development of society on the principles
of decentralization, the successful imple-
mentation of such approaches is another
matter. Nevertheless, it is already possible
to make some preliminary conclusions re-
garding the taxation of cryptocurrencies
and new far-reaching principles for recon-
structing the tax system as a whole. Unified approaches have not yet been
developed. The legislation determining
the legal status of the cryptocurrencies
and their taxation is in the process of for-
mation [64; 65]. A generalization of the
taxation practice of individual countries
shows that, in this sphere, either a variety
of legal approaches and different taxes (in-
come tax, capital gains tax, VAT) are be-
ing applied, or the issue is being largely
neglected. For example, the US Internal Revenue
Service (IRS) considers crypto-currencies
to be a property. This implies that crypto
investments fall under the capital gains tax
with different rates depending on the du-
ration of the period during which the busi-
ness entity owned the crypto currency (be-
fore receiving the profit). In neighbouring
Canada, cryptocurrencies are recognized
as commodities; accordingly, rules gov-
erning the imposition of business income
tax or capital gain tax are applied to them. In the EU, the taxation of cryptocur-
rencies and operations with them is car-
ried out in accordance with the national
legislations of member states. The excep- Taxes on cryptocurrencies. Cryptocur-
rencies, in the usual sense, are crypto-
graphically protected digital assets, serv-
ing as an exchange medium. They use
blockchain technologies to control emis-
sions, protect transactions and verify 18 Journal of Tax Reform, 2018, vol. 4, no. 1, pp. 12 Smart contract is a computer algorithm de-
signed to conclude and maintain self-executable
contracts in the blockchain environment. They
are written in the form of code in a distributed
ledger, which is maintained and managed by a
network of computers. After the trigger happens,
the contract is automatically executed in accor-
dance with its terms. 13 The threat of “51 % Attack” is embedded in
the architecture of the blockchain itself. If a coor-
dinated group of people has under control more
than 50 % of the processing power that provides
the verification process for transaction logs in
the blockchain, such a group will be able not to
confirm the other’s transaction blocks, but only to
confirm its own, which means it will be able to
receive all newly issued bitcoins and block at its
discretion any transactions [79]. Tax implications
of blockchain technologies At the same
time, the open, detailed and invariable na-
ture of information in the blockchain sys-
tem provides a more reliable means of re-
cording economic transactions, ownership
transfer, reconciliation of accounts receiv-
able and payable, etc. — a full range of in-
formation that may be related to taxation; New blockchain opportunities are as-
sociated with new risks and threats [78]. Among these are the regulatory risks
(gaps in legislation, lack of experience in
implementing large-scale blockchain proj-
ects in a regulated environment), techni-
cal risks (problems with the bandwidth,
delays in processing transactions, size and
speed of data dissemination, threat of the
“51 % Attack”13, the difference between
versions and the problem of ensuring the
compatibility of multiple chains), the risks
of social aversion (in connection with the
possibility of using blockchain and cryp-
tocurrencies based on them for criminal
purposes), etc. [80; 81]. y
– self-checking — a distributed data-
base cannot be altered after entering the
data. This makes fraud and errors far eas-
ier to detect and reduces the risks of non-
compliance with tax laws [76]. The main
condition for putting data into a distrib-
uted database is the confirmation of their
authenticity by all network members. This requirement is the basis for smart
contracts12, the proper implementation
of which does not require control inputs
from intermediaries, which in this case are
represented by the contracts between the
providers of personalized public services
and taxpayers [23, с. 44]: Considering the blockchain features
noted above, its tax implications can have
two main directions.i The first direction is to improve tax
administration. Already at the present
time, blockchain technologies can be use-
ful to the tax authorities, as it provides ac-
curate, detailed and reliable information
of wide spectrum that can be shared. This
makes it possible to improve the taxation
of digitally marked high-value products
[32], generally improve and accelerate the
charging and collection of taxes related
to transactions such as VAT, withholding
tax, stamp duties and insurance premium
taxes, and to improve the efficiency of
combating tax evasion and the quality of
services provided to taxpayers [76, p. 2]. Tax implications
of blockchain technologies In fact, this is a new way of using
crowdfunding methods to implement in-
novative projects, allowing a reduction
in administrative barriers affecting con-
ventional venture capital financing with
all the ensuing advantages (lower trans-
action costs) and disadvantages (possible
abusive activities and fraud). In the US, for example, in 2017, over
$1 billion was raised through ICOs [72]. In
this country, unlike in traditional methods
of capital raising, ICOs cannot apply for tax
exemption. At the same time, the amount
of taxable income should be determined
on the basis of the fair market value of the
cryptocurrency received from the ICO on
the date it ended [73]. Tokens may also be
subject to VAT (in those countries where
it is applied). However, according to some
experts, this object occurs not on the issue
of tokens, but after their subsequent use as
a means of payment for specific services
offered by a start-up (similar to the VAT
on multi-purpose vouchers) [74]. China, which is one of the main global
drivers of the modern digital economy,
considers cryptocurrency to be a commod-
ity and imposes taxation in accordance
with the standard rules for commodities:
operations with a cryptocurrency are sub-
ject to corporate income tax and capital
gains tax; moreover, its sale can be taxed
with a value-added tax [64, с. 51]. Using blockchain for transforming the tax-
ation system. Taxation is one of those areas It should be noted, however, that, in
Q3 2017, China banned crypto exchanges
and Initial Coin Offerings (ICOs) indefi-
nitely in domestic markets [66], addition-
ally taking measures to minimize mining 19 Journal of Tax Reform. 2018. T. 4, № 1. С. 6–26 ISSN 2412-8872 form the worldwide ledger. This ledger can
also be used for the purposes of calculating
and paying taxes. Its application will help
reducing the cost of compiling tax reports,
reducing the number of tax inspections and
saving government spending on adminis-
tration and personnel [13, р. 8]. of the economy where the application of
blockchain technologies can lead to revo-
lutionary changes [75]. The reason for that
lies in the following salient characteristics: – transparency — the blockchain is a
distributed database based on ledger algo-
rithms in which all network members can
see and verify data [23, p. x]. Tax implications
of blockchain technologies p y
– information in real-time or near real-
time — unlike the current approach, when
tax charging and mobilization are per-
formed retrospectively, including on the
basis of data on incomes and costs for
the reporting period, the use of the block-
chain system allows the information to be
updated simultaneously for all network
participants in real time. This makes it
possible to use the blockchain to transpar-
ently calculate and pay taxes in step with
the execution of economic transactions, as
they happen [77, pp. 2–3];i The second direction is for the pro-
spective transformation of the tax system
with the transition from retrospective tax- – efficiency — using the blockchain can
significantly reduce the costs of business
and the state. Business-related blockchains – efficiency — using the blockchain can
significantly reduce the costs of business
and the state. Business-related blockchains 20 Journal of Tax Reform, 2018, vol. 4, no. 1, pp. 6–26 ISSN 2412-8872 State. Taxes mean that the economic actors
comply (in a voluntary or forced manner)
to authorities and it expresses the consent
to execute transactions under the authori-
ties’ control and abandon a part of the
income (property) in favor of the State. Therefore, if economic transactions are
carried out without an external or internal
administrator, the subjects of transactions
also start to move out of State control. As
a result — the State gradually fades away
from these economic actors’ activity and
loses its significance to them ation for the reporting period to the taxa-
tion in real-time. If tax administrations
have open access to company transactions
as they happened, then the state computer
programs can immediately calculate the
amount of tax and automatically withhold
it from the bank account of the company
immediately after the transaction settles. Under such a scenario, advance payments
will be eliminated, and the functions of the
tax departments will be largely replaced
by blockchain maintenance, the secure,
real-time transaction ledger and related
software. Potentially, the incidence of er-
rors and fraud in this sphere thus can be
eliminated [77, p. 3]. The practice is not so radical yet; hence,
nation states (state alliances) which have
proven their viability for centuries, have
the opportunity to place disruptive tech-
nologies, including cyber-physical ones,
under their control. Tax implications
of blockchain technologies However, the paradox
remains that the very process of public rela-
tions coverage of the sphere of cyber-physi-
cal space implies an advance in a direction
that “erodes” the conventional taxation
base traditionally used by the authorities
for centralized control over the activities of
economic entities and the financing of pub-
lic services. This is the one side of it. Of course, this is only a conceptual
statement, not a proposal for immedi-
ate practical implementation. Given that
besides the abovementioned risks and
threats, a lot of undecided questions arise:
on the location of the transaction for tax
purposes (taking into account that in a dis-
tributed ledger a transaction is recorded in
many places simultaneously and the iden-
tity or location of the counterparty may
remain unknown); on barter taxation; on
determining the taxable value if the trans-
action occurs in a digital currency; on
what element does the VAT have to be ac-
counted for and whether its rate depends
on the counterparty location, etc. [75]. The second consequence is the emer-
gence of technologies that create the op-
portunity to facilitate the mechanism of
tax administration (resulting from the
replacement of periodic self-reporting
of revenue, expenses and taxes owed by
real-time recording of public company
transactions), which reduces the need for
traditional administration, transferring it
into an automatic mode of “digital tax ad-
ministration”. In this regard, it is important to un-
derstand that the blockchain is one of the
new tools for solving the age-old problem
of taxation, which allows a fresh look to be
taken at it from a new point of view, but
not the decision itself. The phenomenon of digital “state-
less income” can cause the phenomenon
of “stateless residents” and, as a con-
sequence, “taxless” residents (without
forced payments), i.e. those residents who
receive the services they need, not from
the government, but from the network of
decentralized and voluntarily funded sup-
pliers [23, p. 44]. When all this concerned
only the development of the digital econ-
omy (service sector), it was not so impor-
tant, because the foundation of people’s
economic lives remains the exchange and
consumption of material goods. However,
now the “digit” increasingly connects and Conclusions In terms of the Fourth Industrial Revo-
lution, emerging and disruptive technolo-
gies are developing very quickly. Howev-
er, these do not merely consist of physical
and digital objects combined with ways of
interlinking them into production chains. Objects and chains are created by people
who themselves change during the inter-
action, and this eventually leads to the
transformation of the system of socio-eco-
nomic — including fiscal — relations. Somewhat exaggerating, we can say
that taxes are the main attribute of the 21 Journal of Tax Reform. 2018. T. 4, № 1. С. 6–26 ISSN 2412-8872 telligence in some respects. However, this
is a demanding and — apparently — not
very promising approach. permeates the physical processes, creat-
ing global decentralized technologies for
carrying out the transactions and hybrid
cyber-physical products. In other words,
it is not about the goods themselves, but
the fact that they are no longer just physi-
cal, but cyber-physical (like smartphones,
robots, autonomous cars, etc.), resulting
in an increasing proportion of their value
residing in the digital content. Conse-
quently, the principle of “statelessness”
and “taxlessness” is extended at least to a
part of the production cost. y p
g pp
The second approach is to replace
digital transactions and shortfalls in rev-
enues by traditional objects of taxation
in the form of tangible assets and people
and / or to increase tax pressure (including
through the improvement of tax adminis-
tration using Big Data) and increase the
degree of progressiveness of taxes already
levied on such objects. This is technically
simpler; however, financial theorists have
long argued that, for example, real prop-
erty taxes are far from being the best way
to build a holistic state tax system. Pro-
posals for switching to in-kind taxes are
viewed with even more suspicion. As for
increasing the degree of progressiveness
of labour taxes, this contradicts the theory
of optimal taxation and can have undesir-
able consequences from the standpoint of
tax compliance. There are three main approaches to-
wards a fiscal solution for new problems
associated with the development of cyber-
physical systems (Figure 4).i p y
y
(
g
)
The first approach is to try to cover
with taxes new cyber-physical technologies
and products of their application. Conclusions Many
steps are being taken in this direction, for
example, the OECD’s 2015 final report on
Action 1, which is designed to capture in-
tangible digital assets and generate (pri-
marily cross-border) revenue streams into
the state’s “tax nets”. This also includes
the spread of traditional taxes on new sub-
jects — robots (electronic persons), which,
figuratively speaking, come to grips with
tax inspectors, where the inspectors’ side
involves the establishment of the rules of
the tax game (the tax legislation adjusted
for the activities of new subjects), and the
robots’ side has the artificial intelligence,
which has already outstripped human in- The third approach is to set a course
towards constructing a new tax space with
smart taxes based on real-time principles
and smart contracts. This implies the tran-
sition to automatic taxation using block-
chain technologies, which focus on the
functions of applying distributed ledgers
of business transactions in real-time with
the use of relevant software. However,
the paradox is that in time these functions
will also be better entrusted to the robots,
which will increasingly supervise people Covering with taxes of new
cyber-physical technologies
and products of their
application
Replacing digital
transactions and shortfalls
in revenues by traditional
objects of taxation
Building a new tax space
with smart taxes based on
real-time principles, smart
contracts and Big Data
Counteraction to base erosion and profit
shifting in digital economy
Spreading of traditional taxes on new objects:
personal data, cryptocurrencies, imputed
income of robots
Shift of emphasis to taxation of tangible
assets and people
Increase in tax pressure (including tax
administration measures) and the degree
of progressiveness of traditional taxes
Recording and taxing business transactions
using public blockchain
Personal income taxation based on
individual characteristics and income using
Big Data technologies
The present of tax system
The future
Figure 4. Approaches to tax transformations under the influence
of developing cyber-physical technologies Covering with taxes of new
cyber-physical technologies
and products of their
application Counteraction to base erosion and profit
shifting in digital economy
Spreading of traditional taxes on new objects:
personal data, cryptocurrencies, imputed
income of robots Replacing digital
transactions and shortfalls
in revenues by traditional
objects of taxation Figure 4. Approaches to tax transformations under the influence
of developing cyber-physical technologies 22 Journal of Tax Reform, 2018, vol. 4, no. 1, pp. 6–26 ISSN 2412-8872 and other robots. Conclusions Of course, all this is still
somewhat futuristic and there are a lot of
obstacles on this path, including those still
unknown. However, long-term trends are
already visible and, in a certain sense, en-
couraging. The theory of optimal taxation
asserts that the principles of a good tax
system are a waiver of capital income tax,
the use of flat tax, with a universal lump-
sum transfer to all individuals or uniform
tax on final goods, and the dependence of
taxes on personal characteristics, as well
as income [79, р. 147]. there is a continuing lack of confidence
[79, р. 148]. Nevertheless, the situation is
changing rapidly. Emerging technologies
create a principal possibility for smart real-
time taxation. Obviously, from the point
of view of automation, this can consist of
simple flat obligations such as a universal
consumption tax combined with negative
taxes, comprising social grants that take
into account real incomes and other per-
sonal circumstances identified through
the use of the Big Data. This implies that,
as a consequence of new technologies, the
principles of the optimal taxation theory
can acquire a new lease of life. While advanced economies are already
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Correlation Analysis between NETosis Biomarkers and Peripheral Immune Cells in a Preclinical Model of Ischemic Stroke
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Correlation Analysis between NETosis Biomarkers
and Peripheral Immune Cells in a Preclinical Model
of Ischemic Stroke p
of Ischemic Stroke
Junxiang Yin
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health
Michael Wu
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health
Tasha Mohseni
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health
Adam Kindelin
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health
Saif Ahmad
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health
Andrew Ducruet
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health
Abdullah Ahmad
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health
Michael Waters
(
Michael.Waters@barrowneuro.org
)
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health
Research Article
Keywords: NETosis biomarkers , peripheral immune cells, preclinical model, ischemic strok
Posted Date: July 21st, 2021
DOI: https://doi.org/10.21203/rs.3.rs-717960/v1
License:
This work is licensed under a Creative Commons Attribution 4.0 Internationa
Read Full License Junxiang Yin
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health
Michael Wu
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health
Tasha Mohseni
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health
Adam Kindelin
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health
Saif Ahmad
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health
Andrew Ducruet
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health
Abdullah Ahmad
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health
Michael Waters
(
Michael.Waters@barrowneuro.org
)
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health Junxiang Yin
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health
Michael Wu
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health
Tasha Mohseni
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health
Adam Kindelin
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health
Saif Ahmad
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health
Andrew Ducruet
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health
Abdullah Ahmad
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health
Michael Waters
(
Michael.Waters@barrowneuro.org
)
Barrow Neurological Institute, St. Joseph’s Hospital and Medical Center, Dignity Health DOI: https://doi.org/10.21203/rs.3.rs-717960/v1 License:
This work is licensed under a Creative Commons Attribution 4.0 International
License. Read Full License Page 1/15 Abstract Neutrophil extracellular traps formation (NETosis) facilitates thrombosis and contributes to reperfusion
resistance - a major challenge encountered during the treatment of acute ischemic stroke. The effect of
acute stroke on plasma NETosis biomarkers remains unclear. In this study, young adult C57BL/6 wildtype
(WT) mice were subjected to acute brain ischemia-reperfusion (IR) injury. The IR-subjected mice exhibited
a drastic increase in plasma citrullinated histone 3 (CitH3) and neutrophil elastase (NE) on day 1 (p <
0.05) while deoxyribonucleic acid (DNA) and myeloperoxidase (MPO) reached their peak levels on day 3. IR-subjected mice also showed a significant increase in peripheral neutrophils and decline in peripheral
leukocytes, lymphocytes, and monocytes on day 1 and day 2 (p < 0.05). The ratios of neutrophil to
lymphocyte, neutrophil to leukocyte, and lymphocyte to monocyte dramatically increased on day 1 (p <
0.05). Plasma NE, CitH3 and MPO were positively correlated with peripheral neutrophil and the ratio of
neutrophil to lymphocyte, but inversely correlated with peripheral lymphocyte (p < 0.05). Our data suggest
that there are time dependent changes in plasma NETosis biomarkers. Therefore, targeting these
biomarkers before their peak may offer potential therapeutic options to reduce cerebral infarction and
prevent functional deterioration after acute ischemic stroke. Introduction Stroke is the fifth leading cause of death and the leading cause of serious long-term disability in the
United States 1. One component of stroke pathogenesis is a robust inflammatory response and a
trafficking of peripheral immune cells into the ischemic brain post -stroke 2. Of these peripheral immune
cells, neutrophils are the first group to infiltrate ischemic tissue. In the process, neutrophils form and
release neutrophil extracellular traps (NETs), web-like DNA structures containing histones and cytotoxic
proteins, into the brain parenchyma and within cerebral microvasculature 3–6. Increasing evidence
suggests that NETosis (NET formation) facilitates thrombosis and contributes to reperfusion resistance,
a major obstacle encountered during the thrombolytic treatment of acute ischemic stroke (AIS) 7,8. In fact,
plasma DNA, a known marker for NETosis, has been used to predict the mortality and morbidity of
patients suffering from acute stroke 8–11. Thus, approaches to minimize or prevent NETosis may have
pro-thrombolytic potential in the treatment of AIS and acute myocardial infarction (AMI) 12–18. Activated neutrophils release nuclear and granular contents to form NETs comprising of deoxyribonucleic
acid (DNA) and histones, along with associated neutrophil granule proteins, such as myeloperoxidase
(MPO), neutrophil elastase (NE), and peptidyl arginine deiminase type IV (PAD4). When activated by
calcium binding, PAD4 deiminates histones inside the nucleus of neutrophils, catalyzing the conversion
of positively-charged histone H3 arginine into neutral citrulline. Histone citrullination causes the histones
to decondense and promote a rapid version of NETs formation that is independent of NADPH oxidase
(NOX) and is instead dependent on calcium influx. Histone citrullination (CitH3) is considered the
hallmark of calcium-mediated NOX-independent NETosis. On the other hand, NOX-derived reactive oxygen
species (ROS) creates an optimal environment for the generation of neutrophil elastase (NE) and Page 2/15 Page 2/15 myeloperoxidase (MPO), two factors that are critical components of NETosis. Both NE and MPO are
stored in the primary granules of naïve neutrophils and synergize to promote histone decondensation. Although cell-free DNA does not originate exclusively from activated neutrophils, it is an appealing and
acceptable NETosis biomarker and has been used as a surrogate given its reliable, simple, and high-
throughput ascertainment. Recent studies have shown that there are strong relationships between the severity of stroke and the
ratios of neutrophil to lymphocyte, neutrophil to leukocyte, and platelet to neutrophil. Changes in these
ratios may also be used as an independent predictor of stroke outcomes 19,20. Introduction How stroke affects
NETosis biomarkers in peripheral blood and whether there is a relationship between NETosis biomarkers
and cellular ratios remains unclear. The goal of this study is to detail the change in NETosis biomarkers
(NE, MPO, DNA, and CitH3) in mouse plasma over time, to characterize the profiles of peripheral blood
cells in mice after IR, and analyze the relationship between plasma NETosis biomarkers and peripheral
blood cells’ profiles. Brain IR affects the profiles of peripheral blood cells. Brain IR significantly affected the profiles of peripheral immune cells. Compared to the control (Ctrl) mice
group, total leukocytes [Leu, Ctrl: (6.70 ± 0.62)×103/µl; IR-day1: (3.03 ± 0.32) ×103/ µl, p < 0.01; IR-day2:
(3.49 ± 0.71) ×103/µl, p < 0.01], Lymphocytes [Lym, Ctrl: (5.01 ± 0.44)×103/µl, IR-day1: 1.72 ± 0.30 ×103/µl,
p < 0.01; IR-day2: 2.41 ± 0.59 ×103/µl, p < 0.01], and monocytes [Mon, Ctrl: (0.210 ± 0.033)×103/µl, IR-day1:
(0.073 ± 0.015)×103/µl, p < 0.05; IR-day2: 0.060 ± 0.017)×103/µl, p < 0.05], decreased significantly, while
neutrophils [Neu, Ctrl: (1.24 ± 0.13) ×103/µl, IR-day1: (1.56 ± 0.22) ×103/µl, p < 0.05; IR-day2: (0.95 ± 0.13)
×103/µl] dramatically increased on day 1 after IR. From day 3 to day 7, these changes slowly returned to
baseline levels (Fig. 1). There were no significant changes to the profiles of red blood cells (RBC),
hemoglobin (HB, data not shown), and platelets (PLT) after IR. Brain IR affects correlation between NETosis biomarkers
and peripheral immune cells. Pearson’s correlation analysis was used for the relationship between NETosis biomarkers and peripheral
immune cell counts. The concentration of plasma NE was positively related with neutrophil percentage
(r=0.356, p<0.01), and inversely correlated with lymphocyte percentage (r=-0.325, p<0.05, Figure 4. A, B). The concentration of plasma CitH3 was positively correlated with neutrophil percentage (r=0.310,
p<0.05), and inversely correlated with leukocytes count (r=-0.311, p<0.05, Figure 4. C, D). The
concentration of plasma MPO was positively correlated with neutrophils percentage (r=0.325, p<0.05),
and inversely related with lymphocyte percentage (r=-0.304, p<0.05, Figure 4. E, F). Brain IR increases plasma NETosis biomarkers. Four NETosis biomarkers (CitH3, NE, dsDNA, and MPO) in plasma were tested using commercial ELISA
kits according to manufacturer protocols. Interestingly, the biomarkers exhibited their peaks at different
time points after IR. The concentrations of plasma CitH3 (IR-day1: 0.437 ± 0.035 ng/ml, Ctrl: 0.298 ±
0.022 ng/ml, p < 0.05) and plasma NE (IR-day1: 17.02 ± 0.86 ng/ml, Ctrl: 11.37 ± 0.85 ng/ml, p < 0.05)
significantly increased on day 1, while the concentration of plasma MPO (IR-day2: 4.86 ± 0.14 ng/ml, Ctrl:
4.45 ± 0.13 ng/ml) reached its peak on day 2 and the concentration of plasma dsDNA (IR-day3: 1077.0 ±
21.1 ng/ml, Ctrl: 953.7 ± 25.8 ng/ml) reached its peak on day 3. These elevations returned close to Ctrl
levels by day 5 (CitH3: 0.323 ± 0.021 ng/ml, NE: 15.36 ± 1.53 ng/ml, dsDNA: 942.3 ± 60.9 ng/ml, and
MPO: 4.26 ± 0.23 ng/ml) (Fig. 3.). Brain IR affects correlation between NETosis biomarkers
and peripheral immune cell ratios. Pearson’s correlation analysis was used for the relationship between NETosis biomarkers and peripheral
immune cell ratios. The concentration of plasma NE was positively related with the ratios of neutrophil to
lymphocyte (r=0.332, p <0.05), and neutrophil to leukocyte (r=0.377, p<0.01, Figure 5. A, B). The
concentration of plasma CitH3 was positively correlated with the ratio of neutrophil to lymphocyte
(r=0.311, p <0.05), and inversely correlated with the ratio of platelet to neutrophil (r=-0.270, p<0.05, Figure
5. C, D). The concentration of plasma MPO was positively correlated with the ratios of neutrophil to
leukocyte (r=0.365, p<0.01) and platelet to lymphocyte (r=0.366, p<0.01, Figure 5. E, F). Brain IR alters the ratios of peripheral blood cells with time. Stroke-associated immunosuppression and inflammation are increasingly recognized as factors that
facilitate infections and potentially influence outcomes after stroke. Recent studies demonstrated that
elevated neutrophil to lymphocyte ratio is a significant predictor of worse outcomes in patients with
ischemic stroke 19. In the present study, the data show that the ratios of neutrophil to lymphocyte
[Neu/Lym, Ctrl: 0.25 ± 0.02, IR-day1: 0.74 ± 0.13 (p < 0.01 vs Ctrl); IR-day2: 0.75 ± 0.21], neutrophil to
leukocyte [Neu/Leu, Ctrl: 0.19 ± 0.01, IR-day1: 0.46 ± 0.05 (p < 0.01 vs Ctrl); IR-day2: 0.36 ± 0.06],
lymphocyte to monocyte [Lym/Mon, Ctrl: 22.8 ± 1.3, IR-day1: 34.4 ± 5.4 (p < 0.05 vs Ctrl), IR-day2: 39.6 ±
7.5], and platelet to lymphocyte [PLT/Lym, Ctrl: 13.1 ± 1.2, IR-day1: 20.9 ± 1.9 (p < 0.01 vs Ctrl); IR-day2:
21.9 ± 3.0] dramatically increased, while the ratio of platelet to neutrophil [PLT/Neu, Ctrl: 56.6 ± 9.4, IR- Page 3/15 day1: 33.2 ± 4.0 (p < 0.05 vs Ctrl), IR-day2: 40.4 ± 6.4] significantly decreased at day 1 and day 2 after IR
(Fig. 2.). These ratios trended towards baseline on day 3. Discussion Page 4/15 Page 4/15 Ischemic stroke is a major public health disease with high cost, social burden, and incidence worldwide. Intravenous tissue plasminogen activator and endovascular mechanical thrombectomy are the only FDA
approved treatments for AIS, and there remains a large subset of stroke survivors suffering from
profound long-term impairment and poor prognosis. Reperfusion resistance exacerbated by impaired
microvascular perfusion continues to be a major challenge encountered with thrombolytic treatment of
AIS 7,8. Recent evidence suggests that NETosis facilitates thrombosis and increases reperfusion
resistance 7. Moreover, prevention of NETosis is reported to have pro-thrombolytic potential in the
treatment of AIS 12–18. Details regarding the precise evolution of various post stroke NETosis biomarkers
and their implication and potential effect on cerebral infarct expansion and aggravation of functional
deficits are still not fully understood. In cerebral ischemia, neutrophils are the first group of cells to infiltrate the damaged tissue and undergo
NETosis in the brain parenchyma and microvasculature 3–6. In this study, the time course of NETosis
biomarkers in mouse plasma is reported. The data show that all four NETosis plasma biomarkers (CitH3,
NE, dsDNA, and MPO) increased after stroke. CitH3 and NE reached their respective peaks at 24 hours
while dsDNA and MPO peaked at 3 days. All plasma NETosis biomarkers levels exhibited resolution from
peak during our seven day timeline reaching their respective baselines by day 5 post stroke. A previous
mouse study reported that the level of CitH3 protein in brain tissue reached its peak around 3 to 5 days
after stroke 21. The delayed peak of CitH3 observed in the previous study could be due to the fact that it
employed a distal MCAO model that results in smaller infarction and lower severity of BBB impairment. Moreover, there may be an interval between neutrophils infarct infiltration and their ongoing NETosis and
CitH3 release in brain. However, such a relationship between NETosis biomarker peaks in peripheral blood
and brain parenchyma remains to be tested. Previous human data showed that the maximum lesion
volume was reached at day 3 after stroke onset, plateaued at day 4, and then slowly decreased starting
on day 5 22. This human data along with our and others preclinical data suggests that the detection and
tracking of plasma NETosis biomarkers may be a promising strategy for optimizing NETosis –based
therapies aimed at mitigating cerebral infarction progression. Discussion Interestingly,
the correlation analysis showed a significant, positive relationship between the concentrations of CitH3,
NE, and MPO in mice plasma and neutrophil counts, while a significant inverse correlation was observed
between the concentrations of plasma NETosis biomarkers (NE, CitH3, and MPO) with leukocyte and
lymphocyte counts. This data suggest that higher plasma CitH3, NE, and MPO may be positively
associated with worse outcomes in mice; however, further investigation is needed to confirm this
hypothesis and its clinical implication. However, it is not fully understood how the profiles of peripheral blood cells change with time after stroke. To address these key questions, whole blood cell counts were assessed at multiple time points after
ischemia-reperfusion in this study. It was found that neutrophils dramatically increased while leukocytes,
lymphocytes, and monocytes significantly decreased on day 1 and day 2 after AIS. Our finding is further
supported by another MCAO study in which an increase in leukocyte levels was observed within 15
minutes of reperfusion and the levels decreased significantly at 24-hours post-reperfusion25. Interestingly,
human patients are presented with higher leukocytes at the time of admission and these levels remain
elevated for at least the first 24-hours after AIS 20. This discrepancy in leukocytes level between the
preclinical models and clinical observation at 24-hours is possible because of neutrophils percentage in
peripheral WBCs, which neutrophils generally comprise 20–30% in mice 26 and 50–70% in humans. Therapeutic interventions, such as tPA or endovascular thrombectomy, may also modify leukocytes
profiles in the first 24-hours post-stroke 20,27. However, a comprehensive study is required to fully
understand the discrepancies found in human and preclinical stroke studies. In our study, the data show
that peripheral blood cell profiles gradually returned to their basal level by day 7 post stroke. Interestingly,
the correlation analysis showed a significant, positive relationship between the concentrations of CitH3,
NE, and MPO in mice plasma and neutrophil counts, while a significant inverse correlation was observed
between the concentrations of plasma NETosis biomarkers (NE, CitH3, and MPO) with leukocyte and
lymphocyte counts. This data suggest that higher plasma CitH3, NE, and MPO may be positively
associated with worse outcomes in mice; however, further investigation is needed to confirm this
hypothesis and its clinical implication. Recently, the changes in neutrophil, lymphocyte, and platelet ratios as well as their relationship with the
stroke neurologic score, mortality rate, and overall post-stroke functional outcomes has attracted much
attention 20,24,28,29. Discussion NE and MPO are both released from neutrophils and can facilitate histone decondensation and
exacerbate NETosis. A recent study reported that a neutrophil elastase inhibitor (Agaphelin) exhibited a
neuroprotective effect by reducing infarct volume, improving neurological function and decreasing
mortality following ischemic stroke in mice 23. The antithrombotic effects, promotion of brain tissue
survival, and inhibition of thromboinflammation identifies neutrophil elastase inhibitors as another
potential treatment option for ischemic stroke. MPO plasma concentration in patients suffering from
acute cerebral ischemia has also shown positive correlation with stroke severity and worse outcome 24. Our study, along with this additional data suggests potential strategies for early intervention of NETosis
with efficacy monitoring via plasma NET biomarkers consequently resulting in better outcomes after AIS. Evidence shows that neutrophil counts increase after AIS and higher circulating neutrophil counts are
independently associated with higher mortality rates and worse outcomes in patients with AIS 20,21,24. Page 5/15 However, it is not fully understood how the profiles of peripheral blood cells change with time after stroke. To address these key questions, whole blood cell counts were assessed at multiple time points after
ischemia-reperfusion in this study. It was found that neutrophils dramatically increased while leukocytes,
lymphocytes, and monocytes significantly decreased on day 1 and day 2 after AIS. Our finding is further
supported by another MCAO study in which an increase in leukocyte levels was observed within 15
minutes of reperfusion and the levels decreased significantly at 24-hours post-reperfusion25. Interestingly,
human patients are presented with higher leukocytes at the time of admission and these levels remain
elevated for at least the first 24-hours after AIS 20. This discrepancy in leukocytes level between the
preclinical models and clinical observation at 24-hours is possible because of neutrophils percentage in
peripheral WBCs, which neutrophils generally comprise 20–30% in mice 26 and 50–70% in humans. Therapeutic interventions, such as tPA or endovascular thrombectomy, may also modify leukocytes
profiles in the first 24-hours post-stroke 20,27. However, a comprehensive study is required to fully
understand the discrepancies found in human and preclinical stroke studies. In our study, the data show
that peripheral blood cell profiles gradually returned to their basal level by day 7 post stroke. Discussion A higher neutrophil to lymphocyte ratio was associated with increased stroke severity
and worse outcomes 24. We observed a significant increase in neutrophil to lymphocyte ratios from day 1
to day 3, and an increase in platelet to lymphocyte ratios at day 1. Correlations between neurological
function scores and changes in the ratios of neutrophil to lymphocyte and platelet to lymphocyte were
also reported 20. Several studies have demonstrated that an elevated neutrophil to lymphocyte ratio may
be an independent predictor for stroke outcomes 19,20,24,28,29. As expected, the data from this study shows
that the ratios of neutrophil to lymphocyte, neutrophil to leukocyte, lymphocyte to monocyte, and platelet
to lymphocyte dramatically increased, while the ratio of platelet to lymphocyte significantly decreased on
day 1 and day 2 in mice after AIS. Importantly, there was a significant positive correlation between the
concentration of plasma NETosis biomarkers (CitH3, NE, and MPO) and neutrophil to lymphocyte ratio. Conversely, there was an inverse correlation between the concentration of plasma NETosis biomarkers
(CitH3 and NE) and platelet to neutrophil ratio. Whether there are similar relationships between the
concentrations of NETosis biomarkers and the ratios of these cells in human patients with AIS remains to
be investigated. Methods
Animals Wild type C57BL/6 were purchased from the Jackson Laboratory (Bar Harbor, ME). All experiments
involving animals were performed following the protocols in accordance with the Revised Guide for the
Care and Use of Laboratory Animals that was approved by the Institutional Animal Care and Use
Committee (IACUC) of the Barrow Neurological Institute. The study was carried out in compliance with the
ARRIVE guidelines. All methods were performed in accordance with the relevant guidelines and
regulations. Conclusion Page 6/15 Taken together, there were significant changes in NETosis biomarkers in mice plasma after stroke, and
there were strong relationships between the concentrations of NETosis biomarkers (CitH3, NE, and MPO)
in mice plasma and peripheral immune cell counts (leukocyte, neutrophil, and lymphocyte), as well as
between NETosis biomarkers concentrations and neutrophil to lymphocyte ratio. These data suggest that
NETosis biomarkers (CitH3, NE, and MPO) could be potential therapeutic targets for AIS treatment. Further investigation is needed to better understand whether the evolution of plasma NETosis biomarkers
correlate with NETosis-based therapies to mitigate brain infarction and improve functional outcomes. Middle cerebral artery occlusion Adult male mice (aged 12 weeks) were exposed to middle cerebral artery occlusion (MCAO) using an
intraluminal filament method as described previously 30. All surgical manipulations were performed under
aseptic conditions. Briefly, mice were anesthetized with 2% isoflurane followed by maintenance with 1.5%
isoflurane. Mice were placed in the supine position on a heating pad, and the body temperature was
monitored using the small animal anesthesia system (Kent Scientific Cor. FL, USA). Under a stereo
dissecting microscope (AmScope, CA, USA), the right common carotid artery (CCA), external carotid artery
(ECA), and internal carotid artery (ICA) were exposed and isolated. To induce MCAO, a nylon
monofilament coated with silicon (Doccol, MA, USA) was introduced into the internal carotid artery
through the external carotid artery, then further advanced to the origin of MCA. Successful MCAO was
confirmed by > 80% decrease in cerebral blood flow monitored by laser doppler flowmeter (MoorVMS-
LDF2, Moor Instruments, UK).The incision was sutured, and the mouse was put into a portable animal
intensive unit (ThermoCare, CT, USA) to recover from anesthesia. Mice were re-anesthetized and the
filament was withdrawn for reperfusion at 60 minutes of MCAO (Ischemia-Reperfusion, IR). The incision
was re-sutured, and the mouse was put into a portable animal intensive unit to recover then transferred to
the home cage. Quantification of NETosis biomarkers concentration in
plasma After the blood count, the remaining whole blood was centrifuged at 1500g for 15 minutes at 4℃ to
isolate and collect plasma. Plasma levels of cell free DNA were measured using a fluorometric assay for
double-stranded DNA by Quant-iT PicoGreen dsDNA Assay kit (ThermoFisher, #P11496) following the
manufacturer’s instructions. Plasma levels of CitH3, MPO, and NE were determined by ELISA with CitH3
(Clone 11D3) ELISA Kit (Cayman Chemicals, #501620), Mouse MPO Quantikine ELISA Kit (ThermoFisher,
#EMMPO), and Mouse Elastase Platinum ELISA (Abcam, #ab252356) according to the manufacturer’s
instructions, respectively. Authors’ contributions JY, ASA, and MFW: conception and design the study. JY, MW, and ASA: acquisition and analysis of the
data, drafting and revision the manuscript or figures, and analysis or interpretation of the data. TM, AK,
SA, AD, and MFW: interpretation of the data, and revision of the manuscript for content. The authors read
and approved the final manuscript. Statistical analysis One-way ANOVA with post-hoc Tukey’s test was applied in GraphPad Prism version 9.1 for the data from
multiple groups. Pearson’s correlation analysis was used for the relationship between NETosis
biomarkers and all parameters of whole blood cell count and the ratios of neutrophils, lymphocytes, and
platelets. All data are presented as mean ± SEM. Statistical significance was defined as p < 0.05 for all
analyses. Acknowledgements This study is supported by Barrow Neurological Foundation. Whole blood cell count Page 7/15 Page 7/15 Mice were anesthetized on day 1 (n = 8), day 2 (n = 16), day 3 (n = 9), day 5 (n = 5), and day 7 (n = 5) after
brain IR and whole peripheral blood was collected into a MiniCollect tube (Fisher Scientific, MA, USA). Samples were loaded on Element HT5 hematology analyzer (Heska, CO, USA) for whole blood cell counts. Mice were anesthetized on day 1 (n = 8), day 2 (n = 16), day 3 (n = 9), day 5 (n = 5), and day 7 (n = 5) after
brain IR and whole peripheral blood was collected into a MiniCollect tube (Fisher Scientific, MA, USA). Samples were loaded on Element HT5 hematology analyzer (Heska, CO, USA) for whole blood cell counts. Data availability The data that support the findings of this study are available from the corresponding author upon
reasonable request. Page 8/15
The authors declare that they have no competing interests. Page 8/15
The authors declare that they have no competing interests. Ethics declarations All experiments involving animals were performed following the protocols in accordance with the Revised
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Brain IR affects the profiles of peripheral blood cells. Whole blood was collected from control mice (Ctrl,
n=8) and brain IR mice on day 1 (IR-day1, n=16), day 2 (IR-day2, n=9), day 3 (IR-day3, n=5), day 5 (IR-
day5, n=5), and day 7 (IR-day7, n=5) after IR, and peripheral blood cells were counted. A-F) represent the
absolute values of cells: A)Leukocyte (Leu), B)Red blood cell (RBC), C)Platelet (PLT), D)Neutrophil (Neu)
E) Lymphocyte (Lym), F) Monocyte (Mon). G-I) present the relative percentage values within whole blood
cells: G) Neutrophil (Neu), H) Lymphocyte (Lym), I) Monocyte (Mon). * p<0.05, ** p<0.01, compared to Ct
group. Figure 2 Figure 2 Brain IR alters the ratios of peripheral blood cells with time. The ratios of neutrophil to lymphocyte
(Neu/Lym), neutrophil to leukocyte (Neu/Leu), lymphocyte to monocyte (Lym/Mon), platelet to neutrophil
(PLT/Neu), and platelet to lymphocyte (PLT/Lym) were analyzed based on the values of whole blood cells
count and their relative percentage. A) The ratio of Neu/Lym, B) The ratio of Neu/Leu, C) The ratio of
Lym/Mon, D) The ratio of PLT/Neu, E) The ratio of PLT/Lym. * p<0.05, ** p<0.01 compared to Ctrl group. Figure 3
Brain IR increases plasma NETosis biomarkers. Plasma was collected from Ctrl and IR mice, plasma
levels of Neutrophil Elastase (NE), Citrullinated Histone H3 (CitH3), Myeloperoxidase (MPO), and double
stranded deoxyribonucleic acid (dsDNA) were measured using commercial kits following the
manufacturer’s instructions. A) Plasma NE concentration, B) Plasma CitH3 concentration, C) Plasma
dsDNA concentration, and D) Plasma MPO concentration. * p<0.05 compared to Ctrl group. Figure 3 Figure 1 Brain IR affects the profiles of peripheral blood cells. Whole blood was collected from control mice (Ctrl,
n=8) and brain IR mice on day 1 (IR-day1, n=16), day 2 (IR-day2, n=9), day 3 (IR-day3, n=5), day 5 (IR-
day5, n=5), and day 7 (IR-day7, n=5) after IR, and peripheral blood cells were counted. A-F) represent the
absolute values of cells: A)Leukocyte (Leu), B)Red blood cell (RBC), C)Platelet (PLT), D)Neutrophil (Neu),
E) Lymphocyte (Lym), F) Monocyte (Mon). G-I) present the relative percentage values within whole blood
cells: G) Neutrophil (Neu), H) Lymphocyte (Lym), I) Monocyte (Mon). * p<0.05, ** p<0.01, compared to Ctrl
group. Page 12/15 Figure 2
Brain IR alters the ratios of peripheral blood cells with time. The ratios of neutrophil to lymphocyte
(Neu/Lym), neutrophil to leukocyte (Neu/Leu), lymphocyte to monocyte (Lym/Mon), platelet to neutrophil
(PLT/Neu), and platelet to lymphocyte (PLT/Lym) were analyzed based on the values of whole blood cells
count and their relative percentage. A) The ratio of Neu/Lym, B) The ratio of Neu/Leu, C) The ratio of
Lym/Mon, D) The ratio of PLT/Neu, E) The ratio of PLT/Lym. * p<0.05, ** p<0.01 compared to Ctrl group. Figure 3 Brain IR increases plasma NETosis biomarkers. Plasma was collected from Ctrl and IR mice, plasma
levels of Neutrophil Elastase (NE), Citrullinated Histone H3 (CitH3), Myeloperoxidase (MPO), and double
stranded deoxyribonucleic acid (dsDNA) were measured using commercial kits following the
manufacturer’s instructions. A) Plasma NE concentration, B) Plasma CitH3 concentration, C) Plasma
dsDNA concentration, and D) Plasma MPO concentration. * p<0.05 compared to Ctrl group. Page 13/15 Page 13/15 Figure 4 Figure 4
Brain IR affects correlation between NETosis biomarkers and peripheral immune cells. Pearson
correlation analysis was used to identify the relationship between NETosis biomarkers and peripheral
immune cell counts. The concentration of plasma NE was correlated with A) Neu (%) and B) Lym (%). The
concentration of plasma CitH3 was correlated with C) Neu (%), D) Leu. The concentration of plasma MPO
was correlated with E) Neu (%) and F) Lym (%). Figure 4 Brain IR affects correlation between NETosis biomarkers and peripheral immune cells. Pearson
correlation analysis was used to identify the relationship between NETosis biomarkers and peripheral
immune cell counts. The concentration of plasma NE was correlated with A) Neu (%) and B) Lym (%). The
concentration of plasma CitH3 was correlated with C) Neu (%), D) Leu. The concentration of plasma MPO
was correlated with E) Neu (%) and F) Lym (%). Page 14/15 Page 14/15 ure 5 Figure 5
Brain IR affects correlation between NETosis biomarkers and peripheral immune cell ratios. Pearson
correlation analysis was used to identify the relationship between NETosis biomarkers and peripheral
immune cell ratios. The concentration of plasma NE was correlated with A) Neu/Lym and B) Neu/Leu. The concentration of plasma CitH3 was correlated with C) Neu/Lym and D) PLT/Neu. The concentration
of plasma MPO was correlated with E) Neu/Leu and F) PLT/Lym. Figure 5 Brain IR affects correlation between NETosis biomarkers and peripheral immune cell ratios. Pearson
correlation analysis was used to identify the relationship between NETosis biomarkers and peripheral
immune cell ratios. The concentration of plasma NE was correlated with A) Neu/Lym and B) Neu/Leu. The concentration of plasma CitH3 was correlated with C) Neu/Lym and D) PLT/Neu. The concentration
of plasma MPO was correlated with E) Neu/Leu and F) PLT/Lym. Page 15/15 Page 15/15
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Expression Profiling of Plant Cell Wall-Degrading Enzyme Genes in Eucryptorrhynchus scrobiculatus Midgut
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ORIGINAL RESEARCH
published: 04 September 2020
doi: 10.3389/fphys.2020.01111
Expression Profiling of Plant Cell
Wall-Degrading Enzyme Genes in
Eucryptorrhynchus scrobiculatus
Midgut
Peng Gao 1 , Zhenkai Liu 2 and Junbao Wen 1*
1
Beijing Key Laboratory for Forest Pest Control, Beijing Forestry University, Beijing, China, 2 Research Institute of Forestry
New Technology, Chinese Academy of Forestry, Beijing, China
Edited by:
Jose Eduardo Serrão,
Universidade Federal de Viçosa, Brazil
Reviewed by:
Matan Shelomi,
National Taiwan University, Taiwan
Ratnasri Pothula,
The University of Arizona,
United States
*Correspondence:
Junbao Wen
wenjb@bjfu.edu.cn
Specialty section:
This article was submitted to
Invertebrate Physiology,
a section of the journal
Frontiers in Physiology
Received: 28 May 2020
Accepted: 11 August 2020
Published: 04 September 2020
Citation:
Gao P, Liu Z and Wen J (2020)
Expression Profiling of Plant Cell
Wall-Degrading Enzyme Genes
in Eucryptorrhynchus scrobiculatus
Midgut. Front. Physiol. 11:1111.
doi: 10.3389/fphys.2020.01111
Frontiers in Physiology | www.frontiersin.org
In China, the wood-boring weevil Eucryptorrhynchus scrobiculatus damages and
eventually kills the tree of heaven Ailanthus altissima. To feed and digest the cell wall
of A. altissima, E. scrobiculatus requires plant cell wall-degrading enzymes (PCWDEs).
In the present study, we used next-generation sequencing to analyze the midgut
transcriptome of E. scrobiculatus. Using three midgut transcriptomes, we assembled
21,491 unigenes from 167,714,100 clean reads. We identified 25 putative PCWDEs,
including 11 cellulases and 14 pectinases. We constructed phylogenetic trees with
a maximum likelihood algorithm to elucidate the relationships between sequences of
the PCWDE protein families and speculate the functions of the PCWDE genes in
E. scrobiculatus. The expression patterns of 17 enzymes in the midgut transcriptome
were analyzed in various tissues by quantitative real-time PCR (RT-qPCR). The relative
expression levels of 12 genes in the midgut and two genes in the proboscis were
significantly higher than those in the other tissues. The proboscis and midgut are the
digestive organs of insects, and the high expression level indirectly indicates that these
genes are related to digestion. The present study has enabled us to understand the
types and numbers of the PCWDEs of E. scrobiculatus and will be helpful for research
regarding other weevils’ PCWDEs in the future.
Keywords: carbohydrate esterase, cellulase, glycoside hydrolase, hemicellulase, pectinase, polysaccharide
lyase, transcriptome
INTRODUCTION
Plant cell walls are the most abundant and useful source of biomass on Earth. Coleoptera insects
can spread into most habitats worldwide and have become the most species-rich insect order on
Earth owing to their mostly herbivorous nature (digesting plant cell walls as nutrients) (Pauchet
et al., 2010; Schuman and Baldwin, 2016; Antony et al., 2017). Herbivorous insects are thought
to rely on gut microorganisms to digest plant cell walls until the endogenous cellulase genes from
termites are identified (Watanabe et al., 1998; Calderón-Cortés et al., 2012). These endogenous
insect genes that degrade plant cell walls are called plant cell wall degrading enzymes (PCWDEs).
Studies have shown that herbivorous insects obtain a variety of PCWDE families through horizontal
gene transfer (HGT) and then use plant cell walls more efficiently through gene replication
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PCWDEs in Wood-Boring Weevils
of heaven (Ailanthus altissima Swingle). It has an extensive
geographical distribution across China (Yu et al., 2013; Liu and
Wen, 2016; Yang et al., 2017) and can, therefore, cause serious
damage (Ji et al., 2017a). The entire E. scrobiculatus life cycle
occurs on the tree of heaven. The larvae and adults feed on the
plant tissues and sap, generally feeding on weak and mechanically
injured trees rather than healthy ones. As such, it is a secondary
pest of A. altissima (McAvoy et al., 2013). E. scrobiculatus adults
attack the trees while the larvae simultaneously attack the roots.
If unchecked, this weevil may eventually kill its host (Ding et al.,
2006). The adult insect is very harmful to A. altissima (Ji et al.,
2017b), so the cellulase activity of the gut extract was tested
(Chen, 2016). Chen’s study shows that the cellulase activity of
the male E. scrobiculatus gut extract is significantly higher than
that of female E. scrobiculatus gut extract (Chen, 2016). In the
present study, we identified PCWDEs in E. scrobiculatus midgut
by high-throughput sequencing and investigated their expression
patterns. PCWDEs that have previously been functionally verified
in insects were used to predict their function in E. scrobiculatus.
Given the intrinsic nature of the wood boring weevil, our results
are fundamental for studying the molecular mechanism of the
digestion of plant cell walls in E. scrobiculatus. PCWDEs have the
potential for pest management and biofuels.
and functional diversification (Calderón-Cortés et al., 2012;
Kirsch et al., 2014, 2016; Busch et al., 2019). Since endogenous
PCWDEs are thought to play important roles in the evolution
of plant–insect interactions and insect diversification (CalderónCortés et al., 2012), a large number of reports on endogenous
PCWDEs in herbivorous insects have been published in recent
years (Watanabe and Tokuda, 2010; Pauchet et al., 2014;
Kirsch et al., 2016; Antony et al., 2017). The advent of nextgeneration sequencing methods has enabled the identification
of a growing number of endogenous PCWDEs in beetles,
such as Rhynchophorus ferrugineus, Apriona japonica, and
Phaedon cochleariae (Roy et al., 2012; Pauchet et al., 2014;
Antony et al., 2017).
The degradation of plant cell walls by phytophagous insects
is the primary requirement for utilizing host plants (Antony
et al., 2017). Plant cell wall polysaccharides mainly consist of
cellulose as well as hemicellulose and pectin (Cosgrove, 2005),
and PCWDEs include cellulase, hemicellulase, and pectinase
(Juge, 2006). Different hydrolase families of PCWDEs have
been identified in many insect species (Watanabe et al., 1998;
Calderón-Cortés et al., 2012), and these digestive enzymes
play key roles in insect feeding diversity (Pauchet et al.,
2010; Watanabe and Tokuda, 2010; Antony et al., 2017).
Previous reports indicated that insect PCWDEs include three
carbohydrate-active enzymes (CAZymes), namely glycoside
hydrolase (GH), carbohydrate esterase (CE), and polysaccharide
lyase (PL) (Cantarel et al., 2009; Pauchet et al., 2010; Watanabe
and Tokuda, 2010; Calderón-Cortés et al., 2012). Endogenous
insect cellulases include GH5, GH9, GH45, and GH48 (Pauchet
et al., 2010; Watanabe and Tokuda, 2010; Calderón-Cortés et al.,
2012). In addition to the GH48 family, cellulase activity has been
detected in other families (Calderón-Cortés et al., 2012; Kirsch
et al., 2014, 2016; Busch et al., 2018, 2019). However, only GH48
in insects is confirmed to have chitinase rather than cellulase
activity (Fujita et al., 2006). The most common hemicellulases
are xylanase and xyloglucanase (Calderón-Cortés et al., 2012).
Only two endogenous genes encoding xylanases were found in
Phaedon cochleariae, and functions have been verified (Girard
and Jouanin, 1999; Calderón-Cortés et al., 2012; Pauchet and
Heckel, 2013). Studies have shown that insects use the pectinases
GH28 (polygalacturonase), CE8 (pectin methylesterase), and
PL4 (rhamnogalacturonan lyase) to degrade the cell wall pectin
network (Pauchet et al., 2010; Calderón-Cortés et al., 2012; Kirsch
et al., 2016). The GH28 gene is ubiquitous in insects including
the Curculionoidea. Weevils have both CE8 and GH28 genes
(Pauchet et al., 2010; Calderón-Cortés et al., 2012; Kirsch et al.,
2016). The functions of many CE8 and GH28 genes have been
verified (Kirsch et al., 2014, 2016). The GH28 genes exhibit other
enzyme activities in addition to pectinase activity, and some
GH28 genes for which enzyme activities have not been detected
may be pseudogenes (Kirsch et al., 2014). The PL4 genes have
only been identified in weevils, such as Dendroctonus ponderosae
and Hypothenemus hampei, and the function of these genes has
not been identified (Pauchet et al., 2010; Keeling et al., 2013;
Vega et al., 2015).
The weevil Eucryptorrhynchus scrobiculatus Motschulsky
(Coleoptera: Curculionidae) is an important pest of the tree
Frontiers in Physiology | www.frontiersin.org
MATERIALS AND METHODS
Insect Rearing and Tissue Collection
Adult E. scrobiculatus were collected in Wutongshu Town,
Pingluo County, Ningxia Hui Autonomous Region, China
(38◦ 160 8600 N, 106◦ 290 7100 E) in June 2017. The insects were reared
in a breathable plastic box (50 × 40 × 40 cm) containing
perennial A. altissima branches. The plastic box was delivered
to the Beijing Key Laboratory for Forest Pest Control in Beijing,
China. There, the insects were frozen in liquid nitrogen, surfacesterilized with 75% (v/v) alcohol, and rinsed with sterile water.
Dissection was performed by using an anatomical mirror (Leica,
SE6) on ice on a clean bench. Various tissues (Head, leg,
proboscis, foregut, midgut, and hindgut) were stored separately
at -80◦ C. The midgut (the intestinal section between the cardiac
valve and the base of the Malpighian tubule) was excised
for RNA extraction.
Total RNA Extraction
Five midguts were used per RNA extraction. These were
performed as three independent biological replicates with a
RNeasy Plus kit (Qiagen, Hilden, Germany) following the
manufacturer’s instructions. The total RNA was treated with
DNase. RNA was quantitated with a Bioanalyzer 2100 (Agilent
Technologies, Santa Clara, CA, United States) and monitored
with a NanoDrop 8000 (Thermo Fisher Scientific, Waltham,
MA, United States). Only high-quality RNA samples were
used to construct the sequencing library, with optical density
OD260//280 = 1.8 − 2.2, OD260/230 ≥ 2.0, RIN ≥ 6.5 and, 28S
ribosomal RNA:18S ribosomal RNA ≥ 1.0. The RIN indicates the
integrity of the RNA sample and is in the range of 1–10. RNA
integrity increases with RIN.
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PCWDEs in Wood-Boring Weevils
Library Construction and Illumina
Sequencing
Phylogenetic Analysis of E. scrobiculatus
PCWDEs
Three RNA-seq transcriptome libraries were prepared using
a TruSeqTM RNA sample preparation kit from Illumina (San
Diego, CA, United States) and 5 µg RNA. Messenger RNA was
isolated with oligo (dT) beads by the polyA selection method and
fragmented in fragmentation buffer. Double-stranded cDNA was
synthesized with a SuperScript double-stranded cDNA synthesis
kit (Invitrogen, Carlsbad, CA, United States) and random
hexamer primers (Illumina, San Diego, CA, United States). The
cDNA was subjected to end-repair, phosphorylation, and ‘A’ base
addition according to the Illumina library construction protocol.
The libraries were assembled by selecting 200 − 300 bp cDNA
fragments on a 2% low-range ultra-agarose gel, followed by
PCR amplification with Phusion DNA polymerase (New England
Biolabs (NEB), Ipswich, MA, United States) for 15 cycles. After
quantitation with a TBS380 fluorometer (Turner BioSystems,
Sunnyvale, CA, United States), the paired-end RNA-seq library
was sequenced with an Illumina HiSeq 4000 (Illumina, San
Diego, CA, United States). Read lengths of 150 bp and 6.6
Gb were targeted for sequencing. There were three biological
replicates per experiment.
The sequence homology and evolutionarily conserved features
of Eucryptorrhynchus scrobiculatus PCWDEs were analyzed by
reconstructing phylogenetic trees with E. scrobiculatus protein
sequences and homologous sequences from beetles and other
insects. Closely related sequences from other insects were
obtained from National Center for Biotechnology Information
(NCBI) for each gene subfamily. A reference sequence whose
structure was already elucidated was retrieved from the CAZy
database. Multiple sequence alignment was performed with
ClustalW (Price et al., 2010). Phylogenetic trees were constructed
by the maximum-likelihood method in IQ-TREE (Minh et al.,
2020). Phylogenetic trees were color-coded and arranged using
FigTree v1.4.4 and TBtools v1.046 (Chen et al., 2020).
Tissue Expression Analysis of
E. scrobiculatus PCWDEs
The expression profiles of PCWDE genes that were identified
in the midgut transcriptome and whose FPKM was greater
than 10 in various tissues (head, leg, proboscis, foregut,
midgut, and hindgut) were analyzed by RT-PCR and RT-qPCR.
Simultaneously, the only GH9 gene was also subjected to these
analyses. The total RNA was processed as previously described.
The first-strand cDNA was synthesized from the total RNA
with a PrimeScript RT reagent kit and gDNA Eraser (TaKaRa
Bio Inc., Kusatsu, Shiga, Japan) according to the manufacturer’s
instructions. Two hundred nanograms cDNA was used for the
RT-PCR and RT-qPCR templates. The RT-PCR specific primers
were designed with PRIMER3 (Untergasser et al., 2012) using
the following parameters: melting temperature (Tm ) = 60◦ C; GC
content = 40% − 60%; and product size = 100 − 200 bp. The
primer sequences are listed in Supplementary Table S3. The PCR
was performed using PrimeSTAR Max DNA Polymerase (TaKaRa
Bio Inc., Kusatsu, Shiga, Japan) with an initial denaturation step
at 98◦ C for 1 min followed by 35 cycles at 98◦ C for 20 s, 60◦ C for
15 s, 72◦ C for 1 min, and a final extension of 5 min at 72◦ C. The
PCR products were electrophoretically separated on 2% agarose
gels and verified by DNA sequencing.
The RT-qPCR analysis was conducted with an Applied
Biosystems StepOnePlusTM (Thermo Fisher Scientific, Waltham,
MA, United States) in 20-µL reaction volumes consisting of
10 µL SYBR Premix Ex Taq II, 0.8 µL of each primer (10 mM),
2 µL sample cDNA (2.5 ng RNA), 0.4 µL ROX, and 6 µL sterile
distilled water. Thermal cycling was performed at 95◦ C for 30 s
(pre-cycling) followed by 40 cycles at 95◦ C for 10 s, 57◦ C for 10 s,
60◦ C for 20 s, 95◦ C for 10 s, and a melting curve analysis at 65◦ C
for 5 s. The annealing temperature was increased by 0.5◦ C per
cycle to 95◦ C. All reactions were performed in triplicate. Gene
expression levels in the adult gut tissues were compared with
those in the other tissues and quantitated by the comparative
2−11Ct method (Livak and Schmittgen, 2001) with Applied
Biosystems StepOnePlusTM software (Applied Biosystems, Foster
City, CA, United States). The E. scrobiculatus RPL13 gene was
the endogenous control for normalizing PCWDE expression.
The PCR amplifications was performed separately for each tissue
Assembly and Functional Annotation
Raw paired-end reads were trimmed and subjected to quality
control with SeqPrep1 and Sickle2 using their default parameters.
Clean reads were assembled with Trinity3 . A 200-bp minimum
contig length and k = 25 were used for the assembly.
Normalization was performed in silico. The largest alternative
splicing variant in the Trinity output for each unigene was
selected as a unigene. The unigenes were searched against
the NCBI non-redundant (NR) protein database using an
e-value cutoff of 10−5 . The open reading frame (ORF) of each
unigene was determined with the NCBI ORF Finder tool4 . The
BLAST2GO program was used to obtain GO annotations for
the unigenes and identify putative biological processes, molecular
functions, and cellular components. Transcript expression levels
were calculated by the fragments per kilobase of exon per million
mapped reads (FRKM) method (Li and Dewey, 2011). The final
FPKM is the average FPKM of three biological replicates.
Identification of Endogenous PCWDEs
All candidate GH9, GH28, GH45, GH48, PL4, and CE8 enzymes
were manually checked with the NCBI BLASTx tool (Altschul
et al., 1990). Unigenes potentially encoding the PCWDEs
were confirmed and categorized into glycoside hydrolase (GH)
families with HmmSearch (Zhang et al., 2018). If genes have
incomplete open reading frames in the transcriptome, the
complete open reading frames were obtained with a SMARTer
RACE 5’/3’ Kit (TaKaRa Bio Inc., Kusatsu, Shiga, Japan)
according to the manufacturer’s instructions.
1
https://github.com/jstjohn/SeqPrep
https://github.com/najoshi/sickle
3
http://trinityrnaseq.sourceforge.net/
4
http://www.ncbi.nlm.nih.gov/gorf/gorf.html
2
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PCWDEs in Wood-Boring Weevils
molecular function category were associated with ‘binding’ and
‘catalytic activity’ (Figure 1).
using the same primers as those for RT-PCR amplification
(Supplementary Table S1).
Statistical Analysis
ONE-way analysis of variance (ANOVA) with Tukey’s honestly
significant difference (HSD) test was used to determine the
differences in the expression of each PCWDE in the six tested
tissues (head, leg, proboscis, foregut, midgut, and hindgut). The
statistical analysis was performed using SPSS (version 20.0) and
significant expression was considered for P < 0.05 (IBM Corp,
Armonk, NY, United States). Cycle threshold (Ct) values are
presented as mean ± SE.
Identification of Putative E. scrobiculatus
PCWDE Candidates
We identified 25 unigenes encoding putative PCWDEs in
the E. scrobiculatus midgut transcriptomes and the previous
transcriptome (GenBank accession number: SRX719565).
EscrGH45-1,EscrGH28-1, EscrGH28-2 and EscrGH28-3were
identified in this previous transcriptome (SRX719565), and other
genes were identified in the midgut transgene (SRP070604).
These unigenes were verified by a BLASTx homology search.
We selected the top matches for each unigene (Tables 1, 2
and Supplementary Table S3) and named them according
to the Escr-enzyme-number format (named from 1–n,
where n is the number of each enzyme family). Two genes
(EscrGH48-3 and EscrCE8-3) obtained complete open reading
frames by 3’RACE and the 3’RACE primers are shown in
Supplementary Table S4.
Of the 25 PCWDEs, 11 were grouped into cellulolytic
enzymes (GH9, GH45, and GH48) and 14 were annotated
as pectolytic enzymes (GH28, PL4, and CE8) (Table 1 and
Supplementary Table S4). Cellulose digestion involves
several enzymes in the GH superfamily. Our analysis of
the midgut transcriptomes of E. scrobiculatus disclosed five
GH48 family genes. All but one unigene (EscrGH48-4) had
complete ORFs. Four unigenes comprised predicted signal
peptide (SP) sequences. EscrGH48-5 matched Sitophilus
oryzae GH48, EscrGH48-1 matched Otiorhynchus sulcatus
GH48 (CAH25542.1), EscrGH48-2 and EscrGH48-4 matched
Gastrophysa viridula GH48, and EscrGH48-4 shared 50%
similarity with Leptinotarsa decemlineata GH48. The FPKM
values for EscrGH48-5 and EscrGH48-1 were 5,676.389 and
345.209, respectively. Thus, they were highly expressed genes
(Table 1). Members of the GH45 class of CAZy enzymes have
endoglucanase activity and various uncharacterized functions
(Busch et al., 2019). Five candidates of this class have been
identified (EscrGH45-1–EscrGH45-5). All EscrGH45 sequences
matched the GH45 enzymes of D. ponderosae with >70%
similarity (Table 1). GH9 class enzymes have endoglucanase
activity. Here, we identified EscrGH9-1 which shared 55%
homology with Anoplophora glabripennis GH9 (XP_018568194.1
or AGLA010313; https://i5k.nal.usda.gov/).
Seven GH28 unigenes (EscrGH28-1–EscrGH28-7), encoding
putative pectin-degrading polygalacturonases were identified
in the InterPro program (Supplementary Table S4). Four
GH28 unigenes were highly expressed in midgut transcription
(FPKM > 10). In other insects, their homologs function as
polygalacturonases. EscrGH28-6 resembled the GH28 reported
for S. oryzae. The others were similar to GH28 from
D. ponderosae (Supplementary Table S4). Enzymes of the CE8
class function as pectin methylesterases (PMEs) and degrade the
pectin network. We putatively identified three CE8 unigenes.
EscrCE8-1 and EscrCE8-2 shared high sequence similarity with
S. oryzae PME. The EscrCE8-3 sequence most closely resembled
RESULTS
Transcriptome Sequencing and Unigene
Assembly
The three midgut cDNA libraries (ESM1, ESM2, and ESM3)
for E. scrobiculatus were sequenced in an Illumina HiSeq 4000
system (Illumina, San Diego, CA, United States). The raw reads
and the Q20 and Q30 base call accuracies of the three ESM
samples are shown in Supplementary Table S1. The adaptors
were trimmed, low-quality sequences were removed, and the
ESM1, ESM2, and ESM3 sequences were blended, spliced, and
assembled. We obtained 21,491 unigenes with N50 = 2,736 bp
and mean length = 1,520 bp (Supplementary Table S1).
The assembled unigene lengths ranged from 201–29,088 bp
(Supplementary Figure S1). The raw E. scrobiculatus reads were
deposited in the NCBI SRA database under GenBank accession
number SRP070604.
Homology Searching and Gene
Functional Annotation
Unigenes were used as queries for BLASTx and BLASTp searches
against protein databases. The E-value cutoff was 10−5 . There
were 4,269 (19.86%), 10,041 (46.72%), 6,127 (28.51%), 8,482
(39.47%), 3,540 (16.47%), 5,491(25.55%), 361 (1.68%), and 9,197
(42.79%) E. scrobiculatus unigenes. They were annotated with
the Pfam, SwissProt, KEGG, String, COG, KOG, NOG, and GO
databases, respectively (Supplementary Figure S2). A total of
17,747 (82.58%) of the 21,491 unigenes were annotated based
on the homology and matches to the aforementioned databases.
In addition, 14,925 (69.45%) of the 21,491 unigenes were
annotated against the NCBI NR protein database. Homology
searches revealed that the E. scrobiculatus midgut transcriptomes
had the highest similarity (54.41%) with the sequences from
D. ponderosae followed by Tribolium castaneum (17.83%;
Supplementary Figure S3).
A Blast2GO search of the NR database assigned the GO terms
‘biological process’, ‘cellular component’ and ‘molecular function’
categories to 9,197 (15.61%) of the E. scrobiculatus unigenes.
The cellular and metabolic process subcategories were the most
highly represented within the biological process category. The
cell and cell parts subcategories were highly abundant in the
cellular component category. The most abundant unigenes in the
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FIGURE 1 | Functional annotation of all unigenes based on gene ontology (GO) categorization. GO analysis was performed at the level for three main categories
(cellular component, molecular function, and biological process).
endo-β-1,4-xyloglucanases activity. At the same time, EscrGH455 clustered with the GH45 gene of S. oryzae, which has been
verified to have endo-β-1,4-glucanases activity.
the CE8 from S. oryzae (Supplementary Table S4). EscrCE82 shared 59% similarity with S. oryzae pectin methylesterase.
The latter is the only beetle pectinase whose structure has been
elucidated and reported (Teller et al., 2014). Four unigenes
were assigned to PL4. EscrPL4-1 shares 68% similarity with
D. ponderosae PL4. EscrPL4-2 sequences matched the PL4
enzymes in D. ponderosae with >72% homology. EscrPL4-3 and
EscrPL4-4 shared high sequence similarity with D. ponderosae
PL4 (Supplementary Table S4).
Candidate GH9 Genes
Comparatively few GH9 family genes were found in beetles.
We used GH9 sequences from E. scrobiculatus and other insects
(Coleoptera, Hymenoptera, Hemiptera, Phasmatodea, Blattodea,
Embioptera, and Orthoptera) to build a phylogenetic tree.
EscrGH9-1 had the highest homology with the A. glabripennis
protein. The Coleoptera sequences were clustered into one
group (Figure 4).
Phylogenetic Analysis of E. scrobiculatus
PCWDEs
Candidate GH48 Genes
Candidate GH28 Genes
A phylogenetic tree was constructed from the catalytic domain
sequences of five of the GH48 family genes and those of fungi,
bacteria, and Coleoptera. The E. scrobiculatus GH48 sequences
had high homology to the endoglucanases from D. ponderosae.
The GH48 genes from the Coleoptera had only one GH48
domain. However, the GH48 genes from bacteria and fungi had
other functional domains in addition to GH48 (Figure 2).
We performed a phylogenetic analysis on our candidate
GH28 family genes and those from the phytophagous beetles
(Curculionidae and Chrysomelidae) by a Maximum Likelihood
analysis where two fungal GH28 genes from Aspergillaceae were
taken as an outgroup. All GH28 genes of the Curculionidae
specific clade were not characterized, and EcrGH28-4, EcrGH285, EcrGH28-6, and EcrGH28-7 belong to this clade. Remarkably,
the Curculionidae and Chrysomelidae clade contained three
distinct subclades: one with almost all Chrysomelidae GH28
genes and SoryGH28-1 active on pectin (active clade A), one
with five genes active only on pectic trimers (active clade B),
and the third including all Chrysomelidae GH28 genes (except
LdecGH8-9) with non-active on pectin or pectic trimers (nonactive clade). EcrGH28-1, EcrGH28-2, and EcrGH28-3 belong to
the active clade A (Figure 5).
Candidate GH45 Genes
A phylogenetic tree was built using all GH45 families and those of
the Coleoptera. The EscrGH45 family genes clustered with those
of the Curculionidae. The GH45 family genes from Curculionidae
were grouped into four clusters. The EscrGH45 family genes were
distributed into four clusters (Figure 3). EscrGH45-2 clustered
with the GH45 gene of S. oryzae, which has been verified to have
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TABLE 1 | Best BLASTX matches of E. scrobiculatus putative cellulases (GH48, GH45, and GH9).
Number
Unigene
length (bp)
ORF
length (aa)
Complete
ORF
Signal peptide
AA
FPKM
Best BLASTX match
Name
Acc. number
Species
Score
E-value
Identity (%)
6
2033
637
YES
1–17
345.209
cellulose
1,4-beta-cellobiosidase
CAH25542.1
Otiorhynchus sulcatus
990
0.0
80
EscrGH48-2
3211
616
YES
1–19
70.988
glycoside hydrolase
family protein 48
XP_019764094.1
Gastrophysa viridula
696
0.0
54
EscrGH48-3
2240
618
YES
1–20
94.72
glycoside hydrolase
family protein 48
XP_019756174.1
Dendroctonus
ponderosae
1030
0.0
79
EscrGH48-4
1864
607
YES
1–19
2.562
glycoside hydrolase
family protein 48
XP_019757752.1
Dendroctonus
ponderosae
1013
0.0
77
EscrGH48- 5
1997
637
YES
-
5676.389
glycoside hydrolase
family protein 48
ADU33252.1
Sitophilus oryzae
1017
0.0
77
EscrGH45-1
1043
237
YES
1–18
93.059
endoglucanase-like
XP_019771465.1
Dendroctonus
ponderosae
357
5e-121
76
EscrGH45-2
1027
247
YES
1–17
4276.963
endoglucanase-like
XP_019757792.1
Dendroctonus
ponderosae
381
2e-130
80
EscrGH45-3
1026
236
YES
1–17
4.285
endoglucanase-like
XP_019772608.1
Dendroctonus
ponderosae
388
2e-133
83
EscrGH45-4
876
240
YES
1–16
182.884
endoglucanase-like
XP_019766961.1
Dendroctonus
ponderosae
385
5e-133
72
EscrGH45-5
792
230
YES
1–20
8098.053
endoglucanase-like
XP_019754618.1
Dendroctonus
ponderosae
363
7e-125
75
EscrGH9-1
1639
479
YES
1–20
3.151
endoglucanase 13-like
XP_018323591.1
Agrilus planipennis
473
1e-159
50
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TABLE 2 | A comparison of the number of plant cell wall-degrading enzymes identified from E. scrobiculatus and other beetles.
Cellulases
GH48
Pectinases
GH45
GH9
GH28
CE8
Tenebrionidae
Tribolium castaneum
–
–
1
–
–
Curculionidae
Dendroctonus ponderosae
6
9
–
16
7
Sitophilus oryzae
2
5
–
6
5
Rhynchophorus ferrugineus
2
1
2
3
3
Eucryptorrhynchus scrobiculatus
5
5
1
7
3
Diabrotica virgifera
2
10
–
10
–
Gastrophysa viridula
3
1
–
7
–
Chrysomela tremula
2
2
–
9
Phaedon cochleariae
–
7
–
9
–
Leptinotarsa decemlineata
3
7
–
11
–
–
1
7
Chrysomelidae
Agrilus planipennis
Cerambycidae
Apriona japonica
–
5
–
2
–
Acalolepta longipennis
–
1
1
–
–
Anoplophora glabripennis
2
2
1
16
PL4
4
4
T castaneum, A. japonica, A. longipennis, and R. ferrugineus (Antony et al., 2017); D. ponderosae, T. castaneum, A. glabripennis, and A. planipennis (McKenna et al.,
2016); D. virgifera (Eyun et al., 2014); G. viridula, C. tremula, and L decemlineata (Pauchet et al., 2010); P. cochleariae (Roy et al., 2012); S. oryzae (Pauchet et al., 2010).
FIGURE 2 | Comparison of amino acid sequences and domain structures in E. scrobiculatus and glycosyl hydrolase family 48 (Family GH48) members. The scale
indicates distance (number of amino acid substitutions per site). The E. scrobiculatus genes are shown in red and marked with an asterisk. Members of fungi,
bacteria, and insects were temporarily grouped. GH48, catalytic domain of glycosyl hydrolase family 48; GH9, catalytic domain of glycosyl hydrolase family 9; CBM
3, 10, cellulose binding domain; Big7, Bacterial Ig domain: CBM X2, Carbohydrate binding domain X2. Amino acid sequences used for the tree are listed in
Supplementary Table S5.
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FIGURE 3 | Comparison of amino acid sequences in E. scrobiculatus and glycosyl hydrolase family 45 (Family GH45) members. The E. scrobiculatus genes are
shown in red and marked with an asterisk. Amino acid sequences used for the tree are listed in Supplementary Table S5. GH45s characterized to date are
color-coded based on their activity; blue = endo-β-1,4-glucanases; green = endo-β-1,4-glucanases and (gluco)mannanases; yellow = endo-β-1,4-glucanases and
endo-β-1,4-xyloglucanases; magenta = endo-β-1,4-xyloglucanases; cyan = no activity detected.
CE8 genes of the Curculionidae shared similarity with those of
bacteria (Figure 6).
Candidate CE8 Genes
We identified three putative CE8 unigenes. EscrCE8-1 and
EscrCE8-2 shared high sequence similarity with S. oryzae
PME (ADU33262.1). EscrCE8-3 was most similar to CE8
from S. oryzae (ADU33260.1; Table 3). EscrCE8-2 shared 59%
similarity with S. oryzae pectin methylesterase. It is the only
beetle pectinase whose structure has been elucidated and reported
(Teller et al., 2014). The CE8 phylogenetic tree revealed that the
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Tissue Expression Analysis of
E. scrobiculatus PCWDEs
The specificity of the PCWDE primer was determined by RTPCR. Fluorescence RT-qPCR was conducted to determine the
expression patterns of the PCWDEs in various tissues. The
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FIGURE 4 | Comparison of amino acid sequences in E. scrobiculatus and glycosyl hydrolase family 9 (Family GH9) members. The scale indicates distance (number
of amino acid substitutions per site). The E. scrobiculatus genes are shown in red and marked with an asterisk. Amino acid sequences used for the tree are listed in
Supplementary Table S5.
expression levels of 13 genes were significantly higher in the
midgut than the other tissues. These genes included three CHs
(EscrGH45-2, EscrGH45-2, and EscrGH45-5) belonging to the
cellulases, and eight genes (EscrCE8-1, EscrCE8-3, EscrGH28-4,
EscrGH28-6, EscrGH28-7, EscrPL4-2, EscrPL4-3, and EscrPL4-4)
belonging to the pectinases. EscrGH9-1, EscrGH45-4, EscrGH481, and EscrGH48-5 were highly expressed in the proboscis than
the other tissues. EscrCE8-2 and EscrGH48-2 were upregulated in
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the midgut but their expression levels there did not significantly
differ from those in the other tissues (Figure 7).
DISCUSSION
Twenty-five genes encoding PCWDEs and belonging to the
glycoside hydrolases (GHs), polysaccharide lyases (PLs), and
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FIGURE 5 | Comparison of amino acid sequences in E. scrobiculatus and glycosyl hydrolase family 28 (Family GH28) members. The E. scrobiculatus genes are
shown in red and marked with an asterisk. Amino acid sequences used for the tree are listed in Supplementary Table S5. GH28 genes characterized to date are
color-coded based on their activity; blue = activity on pectin; green = no activity detected; gray = activity toward tri-galacturonic acid.
Piromyces sp.) (Steenbakkers et al., 2002). The GH48 family
genes in Orpinomyces sp. and Neocallimastix patriciarum were
also confirmed to have cellulase activity (Tzi-Yuan et al., 2011;
Morrison et al., 2016). GH48 family genes have been identified
in the superfamilies Curculionoidea and Chrysomeloidea of
the Coleoptera (Fujita et al., 2006; Pauchet et al., 2010, 2014;
Keeling et al., 2012; Eyun et al., 2014; McKenna et al., 2016;
Antony et al., 2017). GH48 family genes have cellulase activity
in bacteria and fungi. However, there is no evidence to indicate
that insect GH48 family genes can break down cellulosic
polysaccharides. GH48 family genes GatrGH48-1 and GatrGH482 (Figure 3) were isolated from Gastrophysa atrocyanea.
Chitinase activity was associated with GatrGH48-1 (active phaseassociated proteins (APAP) I). However, it has neither glucanase
nor cellobiohydrolase activity (Fujita et al., 2006). No cellulase
activity was found for the GH48 gene of Otiorhynchus sulcatus
(Edwards et al., 2002). A domain structure analysis of the GH48
family genes by Pfam5 demonstrated that insect GH48 family
genes have only one GH48 domain. The GH48 family genes of the
Coleoptera share considerable amino acid sequence homology
with those of bacteria and fungi (Figure 2). Nevertheless, the
GH48 family genes in bacteria and fungi are constituents of
complex proteins with multiple functional domains. The lack of
carbohydrate esterases (CEs) of CAZy enzymes were identified
in the E. scrobiculatus midgut transcriptome (Table 2). A BLAST
search in the NR and Swiss-Prot uniprot databases revealed
that these genes were annotated as GH48, GH45, GH28, GH9,
PL4, and CE8. Most of the candidate genes shared a high
homology with those of D. ponderosae and S. oryzae. We
performed statistics on the relevant PCWDE genes that had
been functionally verified (Table 3). In order to predict the
evolutionary relationship between these genes of E. scrobiculatus
and related genes of other species, we conducted phylogenetic
and domain analysis. A tissue-specific expression analysis of the
gut, the main digestive organ in insects, disclosed relatively higher
expression levels of 17 of the 25 identified PCWDEs. Our study
determined the types and relative expression levels PCWDEs of
E. scrobiculatus. These PCWDEs may be used for pest control of
E. scrobiculatus and biofuels.
Previous studies have shown that endogenous cellulase of
insects includes GH48, GH45, GH9, and GH5 (Pauchet et al.,
2010; Calderón-Cortés et al., 2012; Fischer et al., 2013). Here,
11 genes belonging to GH48, GH45, and GH9 families were
identified. However, no representatives of the GH5 family gene
were detected (Table 1).
GH48 commonly occurs in cellulolytic bacteria and GH48
genes have cellulase activity (Berger et al., 2007). GH48 genes
were identified in two fungal species (Piromyces equi and
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TABLE 3 | The function of plant cell wall-degrading enzymes has been verified in beetles.
Gene
Species
NCBI number
NAL number
GH48
Gastrophysa atrocyanea
AB241611
GH45
Apriona germari
AY451326
GH45
Batocera horsfieldi
KP325107
GH45
Apriona germari
AY162317
GH45
Anoplophora malasiaca
JN581572
GH45
Anoplophora glabripennis
GH45
Anoplophora glabripennis
GH45
Diabrotica virgifera virgifera
JQ755253
GH9
Anoplophora malasiaca
AGLA010313
GH28
Anoplophora glabripennis
AGLA010095
GH28
Anoplophora glabripennis
AGLA010096
GH28
Anoplophora glabripennis
AGLA010097
GH28
Anoplophora glabripennis
AGLA010099
GH28
Anoplophora glabripennis
AGLA002350
GH28
Anoplophora glabripennis
GH28
Leptinotarsa decemlineata
ADU33345.1-ADU33351.1
GH28
Leptinotarsa decemlineata
MH892458- MH892461
GH28
Chrysomela tremula
ADU33285.1-ADU33286.1
GH28
Chrysomela tremula
MH892457
GH28
Phaedon cochleariae
HE962202.1-HE962208.1
GH28
Diabrotica vir. virgifera
AFI56547.1
GH28
Diabrotica vir. virgifera
MH892463-MH892472
GH28
Sitophilus oryzae
ADU33246.1-ADU33250.1
CE8
Sitophilus oryzae
HM175754.1- HM175755.1
AGLA005419
AGLA005420
AGLA025090
National Agricultural Library (NAL) (https://i5k.nal.usda.gov/).
other domains in GatrGH48-1 may account for the fact that it has
no cellulase activity. EscrGH48 has the same domain structure
as GatrGH48-1. Thus, we speculate that the EscrGH48 gene has
chitinase activity and that the GH48 family of E. scrobiculatus
does not have cellulase activity and does not degrade plant cells.
The four genes of the GH48 family we quantitatively tested
were highly expressed in the proboscis and midgut. The relative
expression levels of EscrGH48-1 and EscrGH48-3 in the proboscis
were significantly different from those in the other tissues. At
the same time, the relative expression level of EscrGH48-5 in
the midgut was significantly different from that in other tissues.
We speculate that the proboscis and midgut are both organs
that digest chitin.
Previous research showed that phytophagous beetles
presumably obtained GH45 genes from fungi through an
HGT event (Busch et al., 2019). The GH45 family genes were
described for the Coleopteran superfamilies Chrysomeloidea
and Curculionoidea. The GH45 family of Chrysomelidae
gene function has been differentiated and now has cellulase,
xyloglucanase, and glucomannanase activity (Busch et al., 2019).
To study the evolutionary relationship of the beetle’s GH45
genes, we constructed a maximum-likelihood phylogenetic tree
using the GH45 family genes of Coleoptera (Pauchet et al., 2010;
Eyun et al., 2014; Antony et al., 2017; Busch et al., 2019). This
phylogenetic tree showed that the EscrGH45 gene was localized
to four distinct groups (Figure 3). In the cluster of GH45
genes including EscrGH45-5, SoryGH45-1, and SoryGH452 of S. oryzae of Curculionidae have endo-β-1,4-glucanase
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and endo-β-1,4-xyloglucanase activity (Busch et al., 2019).
The FPKM value of GH45-5 in the midgut transcriptome
was ≤ 8,000. We speculate that EscrGH45-5 has cellulase
activity. SoryGH45-3, SoryGH45-4, and SoryGH45-5 can only
break down xyloglucan rather than cellulose. EscrGH45-2 is
highly homologous with these genes. The FPKM of EscrGH45-2
in the midgut transcriptome was 4,000. Thus, EscrGH45-2
may have xyloglucanase activity. As more GH45 genes in
weevil are functionally validated, these GH45 genes may have
three enzymatic activities (endo-β-1,4-glucanase, endo-β-1,4xyloglucanase and mannanase). The RT-qPCR analysis revealed
that the relative expression levels of EscrGH45-2 and EscrGH45-5
in the midgut were significantly higher than other tissues.
The proboscis presented with the highest expression levels
of EscrGH45-4. We speculate that cellulose is digested in the
proboscis and midgut in E. scrobiculatus. Initially, the GH9 gene
was thought to be absent in the chrysomelid and curculionid
superfamilies (Watanabe and Tokuda, 2010; Calderón-Cortés
et al., 2012; Fischer et al., 2013). The GH9 family genes were
considered lost in the ancestors common to Chrysomelidae and
Curculionidae (Eyun et al., 2014). Recently, however, the GH9
gene was discovered in the two aforementioned superfamilies
(Antony et al., 2017; Busch et al., 2018). The GH9 genes were
distributed in all insect orders examined thus far. A common
ancestor of the insects may have borne GH9 cellulase genes
that were vertically transferred to extant (descendant) insects
(Fischer et al., 2013). In the phylogenetic tree, the GH9 genes
of the Coleoptera were grouped into one cluster and EscrGH9-1
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FIGURE 6 | Comparison of amino acid sequences in E. scrobiculatus and glycosyl hydrolase family CE8 (Family GE8) members. The scale indicates distance
(number of amino acid substitutions per site). The E. scrobiculatus genes are shown in red and marked with an asterisk. Amino acid sequences used for the tree are
listed in Supplementary Table S5.
was highly homologous with AglaGH9. The latter harbored
no endo-acting enzymatic activity for carboxymethylcellulose
(McKenna et al., 2016). The FPKM for EscrGH9 in the midgut
transcriptome was 3.151. The relative expression levels of
EscrGH9-1 were low in all six insect tissues. Of the Curculionidae
that have been studied, none presented with the GH9 gene.
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Therefore, the GH9 gene function has been lost or replaced in
these insects. Thus, EscrGH9-1 may lack cellulase activity and
may not be a plant cell-degrading enzyme.
Insect pectinases comprise rhamnogalacturonan lyases, pectin
methylesterases, and polygalacturonases which belong to the
multi-gene carbohydrate polysaccharide lyase family (PL4),
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FIGURE 7 | Plant cell wall-degrading enzymes (PCWDEs) transcript levels in different tissues of E. scrobiculatus. NA means the transcript level too low to measure.
esterase family 8 (CE8), and glycosyl hydrolase family 28
(GH28), respectively (Pauchet et al., 2010; Calderón-Cortés et al.,
2012; Kirsch et al., 2016). Advances in sequencing technology
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and bioinformatic analysis have disclosed that endogenous
GH28 is ubiquitous among insect taxa (Calderón-Cortés et al.,
2012). Kirsch et al. (2014) indicated that three independent
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application in RNAi-medicated pest control strategies has been
demonstrated by silencing a termite endogenous cellulase (Zhou
et al., 2008). Plant cellulose can be digested by cellulase to produce
the bioenergy source cellulosic ethanol (Willis et al., 2017). With
the development of genetic engineering of bioenergy, elucidation
of the functions of the major PCWDEs will be highly valuable.
Here, we identified 25 unigenes encoding the GH family
enzymes GH48, GH45, GH38, GH28, and GH16), four unigenes
encoding PL4 family enzymes, and three unigenes encoding
CE family enzymes in the E. scrobiculatus transcriptome.
Quantitative expression, phylogenetic analyses, and FPKMs
identified the cellulases (EscrGH45-2 and EscrGH45-5) and
pectinases (EscrGH28-7, EscrCE8-3, and EscrPL4-4) that were the
most highly expressed in E. scrobiculatus. Thence, the enzymatic
activities of the PCWDEs were predicted.
As E. scrobiculatus is a major pest of A. altissima, identification
of the PCWDEs has practical applications in E. scrobiculatus
pest management. We identified the PCWDEs, performed
a phylogenetic analysis on them, determined their relative
expression patterns and levels in various insect tissues. The
present work has reference significance for the study of other
plant cell wall degrading enzymes in weevils.
HGT events of GH28 genes occurred during the evolution
of phytophagous beetles, one of which was retained by most
descendent Curculionoidea (Kirsch et al., 2014). Phytophagous
beetles acquired genes encoding active GH28 genes via HGTs,
and these HGTs promoted their capacity to utilize plant material
as a primary source of food (Kirsch et al., 2014). Most of the GH28
family genes identified in A. glabripennis of the Cerambycidae
were active against at least one homogalacturonan polymer. As
these gene functions are highly complementary, A. glabripennis
efficiently decomposes pectineus homogalacturonan polymers.
However, no other pectinase was identified in A. glabripennis
(McKenna et al., 2016). Up to 19 GH28 family genes were
identified in D. ponderosae (Eyun et al., 2014). At the same
time, PL4 and CE8 were also identified in D. ponderosae
(Pauchet et al., 2010). In addition to pectinase activity and tri
galacturonase activity, the high number of catalytically inactive
phytophagous GH28 proteins may act as “decoy” targets for
GH28 inhibitory proteins, thus protecting the active GH28
proteins from inhibition (Kirsch et al., 2014). Here, seven GH28
genes were identified in E. scrobiculatus and four of them were
localized to the midgut transcriptome. The FPKM for EscrGH284 and EscGH28-7 in the midgut transcriptome were 179.462
and 638.290, respectively. Phylogenetic analysis revealed that
EscrGH28, DponGH28, and SoryGH28 genes were grouped
into two distinct subclades based on the beetle’s GH28 protein
(Figure 5). We speculate that the function of EscrGH28 genes
may have differentiated. Kirsch et al. (2016) study indicated that
the digestion of complex pectin polysaccharides in S. oryzae
required CE8 family genes in addition to GH28 family genes
(Kirsch et al., 2016). The function of these CE8 family genes has
been verified, two of which have pectinase activity (Shen et al.,
1999; Kirsch et al., 2016). Three CE8 genes were also identified
E. scrobiculatus and the FPKM for EscCE8-1 was 13,453.841. To
date, CE8 genes have only been found in weevils and in no other
animals. The origin of weevil CE8 genes can be best explained by
a HGT event from bacteria to weevils (Evangelista et al., 2015;
Kirsch et al., 2016). In addition to the families of GH28 and CE8
genes, five PL4 family genes were described for D. ponderosae.
They were putative rhamnogalacturonan lyases which constitute
another class of pectolytic enzymes (Antony et al., 2017).
Four PL4 family genes were identified in E. scrobiculatus
(Supplementary Table S4). Except for EscPL4-3, the FPKMs of
the PL4 family genes were ≥ 250. To date, the PL4 family of genes
have only been identified in the Curculionidae. The RT-qPCR
analysis was performed on the nine putative pectinase genes
with comparatively high FPKMs (EscrPL4-2, EscrPL4-3, EscrPL44, EscrCE8-1, EscrCE8-2, EscrCE8-3, EscrGH28-4, EscrGH28-6,
and EscrGH28-7). The relative expression level of those genes
except for EscrGE8-2 in the midgut was significantly higher than
that in other tissues. The midgut is the main digestive organ
of insects, and high expression of these genes also indirectly
indicates that these genes are related to digestion. In summary, we
speculate that the GH28, CE8, and PL4 genes in E. scrobiculatus
synergistically break down the complex polysaccharide of pectin.
The functions of the PCWDEs examined in the present study
were neither determined nor validated. In future research, we will
verify the functionality of the PCWDEs. The potential of cellulase
Frontiers in Physiology | www.frontiersin.org
DATA AVAILABILITY STATEMENT
The datasets transcriptome for this study can be found
in in the NCBI SRA database under GenBank accession
number SRP070604.
AUTHOR CONTRIBUTIONS
PG and JW conceived and designed the experiments. PG, ZL, and
JW participated in regular discussions regarding the design of the
laboratory experiments and analysis of the sequencing data. PG
performed the experiments and analyzed the data. JW obtained
funding. PG contributed to the writing of this article. All authors
read and approved the final manuscript.
FUNDING
This work was supported by National Natural Sciences
Foundation of China (Grant No. 31770691) and National Key
R&D Program of China (2018YFC1200400).
ACKNOWLEDGMENTS
We thank Kailang Yang and Xiaojian Wen (Beijing Forestry
University, China) for help with insect collection.
SUPPLEMENTARY MATERIAL
The Supplementary Material for this article can be found online
at:
https://www.frontiersin.org/articles/10.3389/fphys.2020.
01111/full#supplementary-material
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Conflict of Interest: The authors declare that the research was conducted in the
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Predicting Drug Combination Index and Simulating the Network-Regulation Dynamics by Mathematical Modeling of Drug-Targeted EGFR-ERK Signaling Pathway
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Scientific reports
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Predicting Drug Combination
Index and Simulating the
Network-Regulation Dynamics by
Mathematical Modeling of Drug-
Targeted EGFR-ERK Signaling
Pathway received: 21 July 2016
accepted: 06 December 2016
Published: 19 January 2017 Lu Huang1,2,3, Yuyang Jiang1 & Yuzong Chen3,4 Lu Huang1,2,3, Yuyang Jiang1 & Yuzong Chen3,4 Synergistic drug combinations enable enhanced therapeutics. Their discovery typically involves
the measurement and assessment of drug combination index (CI), which can be facilitated by the
development and applications of in-silico CI predictive tools. In this work, we developed and tested the
ability of a mathematical model of drug-targeted EGFR-ERK pathway in predicting CIs and in analyzing
multiple synergistic drug combinations against observations. Our mathematical model was validated
against the literature reported signaling, drug response dynamics, and EGFR-MEK drug combination
effect. The predicted CIs and combination therapeutic effects of the EGFR-BRaf, BRaf-MEK, FTI-MEK,
and FTI-BRaf inhibitor combinations showed consistent synergism. Our results suggest that existing
pathway models may be potentially extended for developing drug-targeted pathway models to
predict drug combination CI values, isobolograms, and drug-response surfaces as well as to analyze
the dynamics of individual and combinations of drugs. With our model, the efficacy of potential drug
combinations can be predicted. Our method complements the developed in-silico methods (e.g. the
chemogenomic profile and the statistically-inferenced network models) by predicting drug combination
effects from the perspectives of pathway dynamics using experimental or validated molecular kinetic
constants, thereby facilitating the collective prediction of drug combination effects in diverse ranges of
disease systems. Synergistic drug combinations have been extensively explored for enhanced therapeutic efficacies1–9. In discov-
ering and investigating synergistic drug combinations, the level of synergism is typically measured and quanti-
fied by the drug combination index (CI, a quantitative measure of drug combination effects defined in Method
Section) such as Chou and Talalay’s CI from experimental dose-response data1,3,10. Based on our literature search
study, over 523 papers since 2004 have reported the discovery and optimization of synergistic drug combinations
based on the experimentally determined CIs. In-silico tools that can predict CIs without the time-consuming
and costly measurement of dose-response data are highly useful for facilitating the discovery of synergistic drug
combinations. 1The Ministry-Province Jointly Constructed Base for State Key Lab and Shenzhen Technology and Engineering Lab
for Personalized Cancer Diagnostics and Therapeutics Tsinghua University Shenzhen Graduate School, and Shenzhen
Kivita Innovative Drug Discovery Institute, Shenzhen, 518055, P.R. China. 2Institute of Molecular Biology (IMB),
Ackermannweg 4, 55128 Mainz, Germany. www.nature.com/scientificreports www.nature.com/scientificreports www.nature.com/scientificreports received: 21 July 2016
accepted: 06 December 2016
Published: 19 January 2017 Predicting Drug Combination
Index and Simulating the
Network-Regulation Dynamics by
Mathematical Modeling of Drug-
Targeted EGFR-ERK Signaling
Pathway 3Department of Pharmacy, and Center for Computational Science and
Engineering, National University of Singapore, Blk S16, Level 8, 3 Science Drive 2, 117543 Singapore. 4State Key
Laboratory of Biotherapy, West China Hospital, West China School of Medicine, Sichuan University, Chengdu, China. Correspondence and requests for materials should be addressed to Y.J. (email: jiangyy@sz.tsinghua.edu.cn) or Y.C. (email: phacyz@nus.edu.sg) Scientific Reports | 7:40752 | DOI: 10.1038/srep40752 1 www.nature.com/scientificreports/ Figure 1. Drug-targeted EGFR-ERK pathway schema in this study. The EGFR, Raf and MEK inhibitor is
represented by the small green, blue and yellow colored node with a letter D respectively. Figure 1. Drug-targeted EGFR-ERK pathway schema in this study. The EGFR, Raf and MEK inhibitor is
represented by the small green, blue and yellow colored node with a letter D respectively. Computational methods have been developed for predicting drug combination effects from gene expression
profiles of drug-treated samples11–15 and simulation of drug-targeted signaling16–21 and metabolic22–25 pathways. In particular, simulation of drug-targeted pathways is potentially useful for predicting CIs17,26, as demonstrated
by the successful applications of the chemogenomic profile based models27,28 and the statistically-inferenced net-
work models29,30 for the prediction of synergistic effects of drug combinations. But the ability of the pathway
simulation methods in predicting CIs has not been adequately tested against the observed values of multiple drug
combinations targeting multiple target combinations. More tests are needed for determining what the existing
mathematical models are capable of and what need to be further improved. These also provide useful knowledge
for developing drug or drug combination targeted mathematical models for a number of pathways targeted by
drugs and drug combinations (e.g. EGFR-ERK31–35, apoptosis36,37, NFκB16,17, Wnt19 and disease-relevant meta-
bolic22–25 pathways). p
y )
In this work, we developed and tested a mathematical model of drug and drug combination targeted
EGFR-ERK pathway (Fig. 1) based on the ordinary differential equation model of Hornberg38. The method for
developing this model is provided in the method section. This pathway was selected for two reasons. First, several
kinases in this pathway have been targeted by individual inhibitor drugs and drug combinations with available
experimental drug response and CI data39–44. Secondly, it is one of the pathways with well-established mathe-
matical models31–35,38, ideal for developing and testing drug-targeted pathway mathematical models. Predicting Drug Combination
Index and Simulating the
Network-Regulation Dynamics by
Mathematical Modeling of Drug-
Targeted EGFR-ERK Signaling
Pathway The kinase
inhibitor drugs included in our mathematical model are EGFR, BRaf and MEK inhibitors, which together with
their combinations have been clinically used or tested for the treatment of melanoma, colon, gastric, pancreatic,
non-small-cell-lung-cancer (NSCLC) and other cancers39–44.hf g
The inhibitory effect of each drug against its target was measured by the percentage reduction of the integrated
non-drug-bound target level at different drug concentrations (target dose response curve), and the concentration
that induces 50% reduction was taken as the half maximal inhibitory concentration (IC50 value). The integrated
non-drug-bound target level refers to the integral of the free target level over the first 2 hours of signaling stimula-
tion. The anti-proliferative effect of each drug or drug combination was measured by the percentage reduction of
the integrated phosphorylated ERK (ppERK) level (described below) with respect to the concentration(s) of the
drug or drug combination (anti-proliferative dose effect curve)45, and the concentration(s) that induce 90% reduc-
tion was taken as the half maximal inhibition of growth (GI50 value) of the drug or drug combination (details in
the Method Section). The integrated ppERK level refers to the integral of the ppERK level over the first 2 hours
of signaling stimulation (the ppERK level typically returns to the basal level <2 hours after HGF stimulation46). The anti-proliferative effect of a drug or drug combination was measured by its induced reduction of the inte-
grated ppERK level for the following reason: The level of cell proliferation is linked to DNA synthesis, which is
positively associated with the level of the integrated ERK2 activity47, while the latter is correlated to the integrated
ppERK level. However, a nonlinear correlation between the integrated ERK activity and cell proliferation rates is
observed, with significant reduction of proliferation typically occurs when the ppERK level falls below 10% of its
peak value48,49. Therefore, the concentration(s) of a drug or drug combination that induces 90% reduction of the
integrated ppERK level was used to measure the GI50 value.f g
pp
Our mathematical model was validated against the previously observed and simulated effects of the regulation
of EGF, PP2A, MKP3 on ERK activities and the regulation of EGF on RasGTP, and its predicted anti-proliferate
effects of EGFR, BRaf and MEK inhibitors were compared to the experimental cancer cell-line growth inhibition
GI50 values. Additionally, the simulated efficiency of EGFR-MEK combination inhibitors was consistent with
experimental results. Scientific Reports | 7:40752 | DOI: 10.1038/srep40752 Predicting Drug Combination
Index and Simulating the
Network-Regulation Dynamics by
Mathematical Modeling of Drug-
Targeted EGFR-ERK Signaling
Pathway It was then used to predict the effects of the combinations of EGFR-BRaf and BRaf-MEK
inhibitors, and the computed anti-proliferate dose-effect curves were used to derive the drug-combination Scientific Reports | 7:40752 | DOI: 10.1038/srep40752 2 www.nature.com/scientificreports/ Figure 2. The computed anti-proliferative dose-response curve of individual inhibitors against EGFR-ERK
pathway mediated cell growth signaling. (A) EGFR inhibitor; (B) BRaf inhibitor; (C) MEK inhibitor. Figure 2. The computed anti-proliferative dose-response curve of individual inhibitors against EGFR-ERK
pathway mediated cell growth signaling. (A) EGFR inhibitor; (B) BRaf inhibitor; (C) MEK inhibitor. isobolograms and CIs based on Chou and Talalay’s formula10. The predicted CIs were compared to the experi-
mental values for evaluating the performance of the model. Results and Discussions Figure 3. The computed isobologram for the combination of EGFR-MEK inhibitors. erlotinib against non-small-cell lung cancer (NSCLC) cell-lines51, 1.1 μM for BRaf inhibitor sorafenib against
NSCLC cell-lines50, and 14–200 nM for MEK inhibitor AZD6244 against thyroid cancer and melanoma cell
li
52 erlotinib against non-small-cell lung cancer (NSCLC) cell-lines51, 1.1 μM for BRaf inhibitor sorafenib against
NSCLC cell-lines50, and 14–200 nM for MEK inhibitor AZD6244 against thyroid cancer and melanoma cell
lines52.h The Kd values of the EGFR, BRaf and MEK inhibitors were set such that it gives the median IC50 (10 nM,
30 nM, and 15 nM for EGFR, BRaf, MEK inhibitors respectively) corresponding to the highly potent IC50 values
of the drugs frequently used in pharmaceutical research (12.5 ± 7.5 nM against EGFR, 28 ± 3 nM against BRaf,
and 15.5 ± 3.5 nM against MEK, details in the Method Section). The predicted GI50 values of the EGFR and
MEK inhibitors are substantially smaller than (by 4–6 fold) that of the BRaf inhibitor. This is consistent with the
observed behavior of the highly potent inhibitors with the largest experimental GI values (by 5.5–22 fold) against
the cancer cell-lines promoted by the EGFR pathway. Analysis of the interaction dynamics of our mathematical
model (Fig. 1) suggested that this phenomenon arises from the additional bypass signaling through BRaf-CRaf
dimers after BRaf inhibitor binding to BRaf. As a result, increasing activity of the BRaf inhibitor stimulates the
bypass signaling mediated through CRaf, and vice versa, leading to an overall less efficient anti-proliferative effect
by the BRaf inhibitor than that by the EGFR and MEK inhibitor respectively. y
y
p
y
Our mathematical model, was derived from the conventional models31–35,38 and drug-target binding kinetics34
with the parameters fitted to the median IC50 values of potent inhibitors. Variation of the IC50 from 5 nM to
50 nM led to comparable degree of variations in the predicted GI50 values (9–95 nM, 19–195 nM and 10–99 nM
for EGFR, BRaf and MEK inhibitor respectively). The consistency of the predicted and observed GI values
suggests that our mathematical model may have some capability in facilitating the quantitative study of the
anti-proliferative activities of the drugs and drug combinations targeting the EGFR pathway. Model validation against the experimental anti-proliferation activities of EGFR-MEK inhibitors
combination. We used our mathematical model to simulate the anti-proliferative effect and to com-
pute the CI values of drug-pair EGFR-MEK inhibitors. Results and Discussions Model validation against the observed signaling dynamics and the reported simulation results
in the absence of a drug. Our mathematical model, described in the Method section, was first validated by
comparing the simulated signaling dynamics in the absence of drugs with the literature-reported observations
and simulation results. We found that the simulated time-dependent protein concentration profiles are in reason-
able agreement with the experimentally determined profiles and the reported simulation results. At 8 nM EGF, the
simulated ERK activation peaks within 5 minutes and decays within 2 hours (Supplementary Figure S1), which
is consistent with the observed46 and the simulated38 ERK phosphorylation kinetics. The amount of simulated
active RasGTP peaks at ~2 minutes and quickly decays within 10 minutes (Supplementary Figure S2), which
is consistent with the observation that active RasGTP level in EGF- treated PC12 cells increases dramatically
within 5 minutes and decays steeply within 10 minutes32. In simulating the regulation of EGFR-ERK signaling by
phosphatases, we found that increasing PP2A level from 30000 to 60000 molecules/cell induces little changes in
the peak amplitude but significantly reduces the duration of ERK activation (Supplementary Figure S3), while
increasing MKP3 level from 9 × 106 to 1.5 × 107 molecules/cell significantly alters the peak amplitude and sub-
stantially reduces the duration of ERK activation (Supplementary Figure S4), which are consistent with the results
of a reported simulation study showing that the duration of ERK activation is sensitive only to phosphatase
reactions on MEK whereas the amplitude is most sensitive to phosphatase reactions on ERK50. Model validation against the experimental anti-proliferation activities of individual drugs. Our mathematical model was further validated by the comparison of the predicted GI50 values of individual
EGFR, BRaf and MEK inhibitor with the reportedly observed GI50 values of known inhibitors against different
cancer cell-lines51,52. Figure 2 shows the computed anti-proliferative dose-response curves of the EGFR, BRaf
and MEK inhibitor respectively, and the computed target inhibitory dose-effect curves of these three inhibitors
are shown in Supplementary Figures S5–S7 respectively. From Fig. 2, the computed GI50 values for EGFR, BRaf
and MEK inhibitor are 19, 113, 29 nM respectively, which are within 10 fold of the largest experimental GI values
against the cancer cell-lines promoted by the EGFR pathway (45 and 53 nM for EGFR inhibitor gefitinib and Scientific Reports | 7:40752 | DOI: 10.1038/srep40752 3 www.nature.com/scientificreports/ Figure 3. The computed isobologram for the combination of EGFR-MEK inhibitors. Results and Discussions As in the cases of drug combination studies1,3,10, the
concentration-dependent anti-proliferative effect of drug-pair was measured by an isobologram that displays
a curve of the dose-combinations of the two drugs that produce 90% reduction of the integrated ppERK levels
within the first 2 hours of signaling stimulation. Figure 3 shows the computed isobologram for the combination
of EGFR-MEK inhibitors. The computed CI values for the combinations of EGFR-MEK is 0.46. These are compa-
rable to the experimental values 0.4–0.8 for EGFR-MEK40, which suggest that our mathematical model has some
level of capability in facilitating the prediction of CI values. Prediction of drug combination effects of EGFR-BRaf, BRaf-MEK. BRaf is a commonly mutated
oncogene, yet there are no effective therapies exist for BRaf mutant cancers. Mostly because targeting BRaf or
MEK kinase in BRaf mutant cancer, respectively, frequently activates other bypass pathways, thus constraining
the effectiveness of these inhibitors as single-agents. In our mathematical model, we further predict the combina-
tion therapy strategies for BRaf mutant cancers with two drug combination effects, EGFR-BRaf and BRaf-MEK
inhibitors, respectively. In modeling of these two drug-pairs, the same set of kinetic parameters for modeling as
each individual drug was used. Figure 4 showed the computed isobolograms for the combination of EGFR-BRaf,
BRaf-MEK inhibitors. The computed CI values for the combinations of EGFR-BRaf, and BRaf-MEK are 0.69 and
0.87, respectively.hf The synergistic effects of these two drug combinations arise from the same type of synergistic mode of action:
the complementary action involving positive regulation of a target by targeting two upstream-downstream
points of a pathway8,53,54. For the EGFR-BRaf inhibitor combination, the inhibitory activity of the EGFR inhibitor
reduces the activation BRaf to complement the inhibitory activity of the BRaf inhibitor. For the BRaf-MEK inhib-
itor combination, the inhibitory activity of BRaf reduces the activation of MEK to complement the inhibitory
activity of MEK inhibitor. These two combinations have largely similar level of synergism as judged by the similar
quantities of the computed and observed CI values, which is likely due to the same type of synergistic mode of
action. Scientific Reports | 7:40752 | DOI: 10.1038/srep40752 4 www.nature.com/scientificreports/ Figure 4. The predicted isobologram for two drug combinations. (A) EGFR-BRaf inhibitors; (B) BRaf-MEK
inhibitors. Figure 4. The predicted isobologram for two drug combinations. (A) EGFR-BRaf inhibitors; (B) BRaf-MEK
inhibitors. Figure 5. The predicted isobologram for combination treatment of farnesyltransferase inhibitors (FTIs)
and drugs. Results and Discussions (A) FTI-MEK inhibitor; (B) FTI-BRaf inhibitor. Figure 5. The predicted isobologram for combination treatment of farnesyltransferase inhibitors (FTIs)
and drugs. (A) FTI-MEK inhibitor; (B) FTI-BRaf inhibitor. Prediction of combination effects of a farnesyltransferase inhibitor combined with a drug
targeting BRaf or MEK. Mutated Ras genes that produce constitutively active Ras proteins are found to be
involved in approximately 30% of human cancers, including several pancreatic and colon carcinomas. Anticancer
therapeutic development has been focusing on blockage of hyper-activation of Ras protein, e.g. through farnesyl-
transferase inhibitors (FTIs) which inhibit the farnesylation of RAS, preventing Ras transform into the functional
form that can be attached to the cell-membrane and subsequently transmit signals to the Raf-MEK-ERK (MAPK)
signaling pathways, which have a major role in melanoma progression55. However, FTIs alone is frequently insuf-
ficient for the treatment of cancers. In our mathematical model, we simulated the combination effects of two types
of drug combinations, FTI-MEK and FTI-BRaf inhibitors, respectively. FTIs are modeled in our study as drugs
inhibiting the transformation of RasGDP to functional RasGTP. The association and dissociation constants kon
and koff for FTIs are optimized to give IC50 of 10 nM, since most FTIs in pharmaceutical research has less than
10 nM IC50 values56,57. Figure 5 showed the computed isobologram for the combination of FTI-MEK inhibitor, FTI-BRaf inhibi-
tor. The computed CI values for the combinations of FTI-MEK inhibitor, and FTI-BRaf inhibitor are 0.74 and
0.78, respectively. The predicted synergism effects of these two drug combinations are consistent with recent
literature report that combinations of lonafarnib (a specific FTI) with pan-RAF inhibitor sorafenib yielded addi-
tional growth-inhibiting effects than lonafarnib and sorafenib used alone58. Moreover, the apoptosis-inducing
effect of BMS-214662 (another cytotoxic FTI) has been significantly enhanced through combination treatment
with a MEK inhibitor, PD184352, leading to a complete suppression on invasive tumor growth in K562 and
CD34 + CML cells59. Both our model and experimental studies suggest that the combination treatment of FTI
and Raf and MEK-inhibitor may represent an effective alternative for melanoma treatment, and therefore worth
further exploration. Methods
C
t
ti Construction of Mathematical Model. Our pathway model schema is illustrated in Fig. 1. We based our
model of EGFR signaling on that of Hornberg et al., which itself is a refinement of earlier work. The components
of drug-target interactions were added to the ordinary differential equation model of Hornberg et al.38,68, with an
additional ERK-CDC25C-EGFR feedback loop44 and the interactions between BRaf and CRaf69 incorporated. The model contains 126 distinct molecular species, and 190 elementary reactions; these reactions are described as
a series of ordinary differential equations based on the mass action law. The model is parameterized by 123 kinetic
parameters and 126 initial molecular concentrations. A typical enzyme catalyzed reaction in the pathway and the
mass-action based rate is shown in the equations below, where the A and B represent species or concentration of
species, depending on the context: +
=
⋅
−
⋅
⋅
A
B
A B
dA
dt
K
A B
K
A
B
[ :
]
[ :
]
(1)
K
K
b
f
f
b
+
A
B
A B
[ :
]
K
K
f
b
=
⋅
−
⋅
⋅
dA
dt
K
A B
K
A
B
[ :
]
(1)
b
f (1) The rate equations are defined by the forward and reverse rate constants Kf and Kb or turnover Kcat used
in the published models31,32,38,70–73 or reported from other literatures. The constituent molecular interactions,
their kinetic constants, and molecular concentrations are detailed in Supplementary Table S1. Fourth order
Runge-Kutta method with adaptive step-size control was used for solving these equations. Kinetic Parameters. The types of parameters used in our mathematical model are protein-protein interac-
tions, drug-protein interactions, and catalytic activities. The published simulation studies have shown that most
parameters are robust and insensitive to significantly alter the overall pathway behavior31,32. Apart from the use of
the parameters of the published mathematical models, additional parameters were obtained from the literatures
based on the widely used assumption that the parameters measured in vitro and in some cell lines are generally
applicable in most cases. For those protein-protein interactions with unavailable parameters, their parameters
were putatively estimated from the known parameters of the relevant interacting domain profile pairs74,75 or other
interacting protein pairs of similar sequences. Drug targeting. Conclusions Our drug-targeted EGFR-ERK pathway mathematical model, developed based on existing drug-free models and
drug-target interaction kinetics, and validated against a number of published experimental and simulation results,
showed fairly good potential in predicting the individual and combination drug effects on the cell-proliferation Scientific Reports | 7:40752 | DOI: 10.1038/srep40752 5 www.nature.com/scientificreports/ signaling of the pathway. In particular, the predicted drug combination CI values are comparable to the experi-
mental values for the combination of EGFR-BRaf, EGFR-MEK, BRaf-MEK, FTI-MEK, and FTI-Raf inhibitors41,
suggesting that existing pathway models may be potentially extended for developing drug-targeted pathway
mathematical models to predict drug combination CI values, isobolograms, and drug-response surfaces/curves as
well as to analyze the dynamics of individual and combination of drugs. Our model provides a strategy to predict
efficacy of these MAPK pathway inhibitors through novel targeted therapy combination approaches.f fi
y
p
y
g
g
py
pp
Further development efforts are needed to explore drug-targeted pathway mathematical models as practical
tools for facilitating the discovery of synergistic drug combinations. For instance, some synergistic drug combi-
nations are known to arise from the activities against multiple pathways8. Although several multi-pathway models
have been developed60–62, there is a need to refine existing and develop more multi-pathway models to sufficiently
cover the multiple pathways relevant to synergistic drug combinations. Moreover, in some cases, drug effects
are influenced by pathway crosstalks63,64, and drug actions at the multiple sites65,66, states67, conformations1, and
mutant forms1 of the same target. There is a need to add these elements into the existing and newly developed
pathway models for extended coverage of therapeutically relevant biological networks and the modes of actions
of individual drugs and drug combinations8. and thus no changes in the qualitative conclusion of the synergistic or antagonistic levels of drug combinations.
This indicates the robustness of our drug-binding models in predicting drug combination effects. and thus no changes in the qualitative conclusion of the synergistic or antagonistic levels of drug combinations. This indicates the robustness of our drug-binding models in predicting drug combination effects. nd thus no changes in the qualitative conclusion of the synergistic or antagonistic levels of drug combinations
This indicates the robustness of our drug-binding models in predicting drug combination effects. References References
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p
g
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y
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(
)
10. Chou, T.-C. <
=
>
CI
1 synergy; CI
1 additivity; CI
1 antagonism <
=
>
CI
1 synergy; CI
1 additivity; CI
1 antagonism A CI of less than, equal to, and more than 1 indicates synergy, additivity, and antagonism, respectively. l
d
b l
f
f d
h
h
ll
ff
d
b
f We simulated isobolograms for a pair of drugs with eight equally effective dose combinations for a particular
effect level of GI50. GI50 normalized doses of drug 1 and drug 2 that give this effect in combination are plotted as
axial points in the isobologram graphs. According to Eq. 4, the isobologram curves are expected to be parallel to
the diagonal for additive drug pairs, concave for synergistic drug pairs, and convex for antagonistic drug pairs. We
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i
i
f
d
d
b
d
d l
f
h p
g
q
drug interactions. Quantifying drug interactions in drug combination studies and classifying the interac-
tions into categories of synergy, additivity, or antagonism are of interest to many researchers. Isobologram and
combination index (CI) analyses are widely used methods for evaluating drug interactions in combination cancer
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of two drugs is additive. The model can be written as in Equation (3): +
=
(D)
(Dx)
(D)
(Dx)
1
(3)
1
1
2
2 (3) where (D)1 and (D)2 are the respective combination doses of drug 1 and drug 2 that yield an effect of 50% growth
inhibition, with (Dx)1 and (Dx)2 being the corresponding single doses for drug 1 and drug 2 that result in the same
effect, which is by definition the GI50 of drug 1 and drug 2. When Eq. 3 holds, it can be concluded that the com-
bined effect of the two drugs is additive. Based on Eq. 3, the combination index, defined in Eq. 4, can be used to
classify drug interactions as synergistic, additive, or antagonistic. =
+
CI
(D)
(Dx)
(D)
(Dx)
(4)
1
1
2
2 (4) Methods
C
t
ti Drugs targeting each component in the EGFR signaling pathway were simulated as forming
complexes with target components based on the mass action law. These inhibitors include the individual EGFR,
BRaf, MEK inhibitor or the combination of EGFR-MEK, EGFR-BRaf, and BRaf-MEK inhibitors respectively. For simulating the interaction between each drug and its target, we followed Bairy and Wong34 to introduce an
extra species, the drug, and two reactions to describe drug-target association and dissociation, with the corre-
sponding kinetic constants Kon and Koff determined such that the Koff takes a value of 0.01 s−1, while the Kon was
determined such that the drug gives the median IC50 (10 nM, 30 nM, and 15 nM for EGFR, BRaf, MEK inhibitors
respectively) corresponding to the highly potent IC50 values of the drugs frequently used in pharmaceutical
research (Cetuximab 1 nM, Erlotinib 2 nM, Afatinib 14 nM and Gefitinib 33 nM against EGFR, Sorafenib 25 nM
and Vemurafenib 31 nM against BRaf, and AZD6244 12 nM and RDEA119 19 nM against MEK).
+
Drug
Target
[Drug: Target]
(2)
K
K
on
off
+
Drug
Target
[Drug: Target]
K
K
on
off (2) Definition of IC50 and GI50 values. IC50 is defined as the half maximal inhibitory concentration that
induces 50% reduction of integrated non-drug-bound target level. The integrated non-drug-bound target
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described in the Introduction Section, the drug concentration-dependent (from 0.001 nM to 10 μM) effects on
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induces 90% reduction of ppERK within the first 2 hours. Further analysis showed that the variation of the GI50
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1, S296–S305 (2001). 75. Singhal, M. & Resat, H. A domain-based approach to predict protein-protein interactions. BMC Bioinformatics 8, 199 (2007). Author Contributions L.H. and Y.Z.C. conceived, designed the study and created the computational methods. L.H. performed the
computational analysis. L.H., Y.Z.C. and Y.Y.J. analyzed the data and wrote the manuscript. All authors reviewed
and commented on the manuscript. Acknowledgementsh g
This work is supported by Academic Research Fund (R-148-000-081-112/101) National University of Singapore. A th
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t ib ti g
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Regulation Dynamics by Mathematical Modeling of Drug-Targeted EGFR-ERK Signaling Pathway. Sci. Rep. 7,
40752; doi: 10.1038/srep40752 (2017). Publisher's note: Springer Nature remains neutral with regard to jurisdictional claims in published maps and
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Characterization of Physicochemical and Thermal Properties of Chitosan and Sodium Alginate after Biofield Treatment
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Abstract Chitosan (CS) and sodium alginate (SA) are two widely popular biopolymers which are used for biomedical and
pharmaceutical applications from many years. The objective of present study was to study the effect of biofield
treatment on physical, chemical and thermal properties of CS and SA. The study was performed in two groups
(control and treated). The control group remained as untreated, and biofield treatment was given to treated group. The control and treated polymers were characterized by Fourier transform infrared (FT-IR) spectroscopy, CHNSO
analysis, X-ray diffraction (XRD), particle size analysis, differential scanning calorimetry (DSC) and thermogravimetric
analysis (TGA). FT-IR of treated chitosan showed increase in frequency of –CH stretching (2925→2979 cm-
1) vibrations with respect to control. However, the treated SA showed increase in frequency of –OH stretching
(3182→3284 cm-1) which may be correlated to increase in force constant or bond strength with respect to control. CHNSO results showed significant increase in percentage of oxygen and hydrogen of treated polymers (CS and
SA) with respect to control. XRD studies revealed that crystallinity was improved in treated CS as compared to
control. The percentage crystallite size was increased significantly by 69.59% in treated CS with respect to control. However, treated SA showed decrease in crystallite size by 41.04% as compared to control sample. The treated
SA showed significant reduction in particle size (d50 and d99) with respect to control SA. DSC study showed changes
in decomposition temperature in treated CS with respect to control. A significant change in enthalpy was observed
in treated polymers (CS and CA) with respect to control. TGA results of treated CS showed decrease in Tmax with
respect to control. Likewise, the treated SA also showed decrease in Tmax which could be correlated to reduction in
thermal stability after biofield treatment. Overall, the results showed that biofield treatment has significantly changed
the physical, chemical and thermal properties of CS and SA. divided into natural and synthetic polymers. Polysaccharides as natural
polymers have been commonly used for the development of controlled
release dosage forms and sustained release formulations [4-6]. Keywords: Biofield treatment; Chitosan; Sodium alginate; Fourier
transform infrared spectroscopy; X-ray diffraction; Particle size
analysis; Thermal analysis Chitosan (CS) is an excellent cationic biopolymer which can
interact effectively with negatively charged polymers, macromolecules,
and poly ions. CS based matrices are extensively investigated for oral,
transdermal, rectal, and ocular drug delivery systems [7]. Pharm Anal Acta
ISSN: 2153-2435 PAA, an open access journal Introduction Pharmaceutical scientists have used polymers in every aspect
of their work; for example polystyrene vials, rubber closures, plastic
tubing for injection sets, and polyvinylchloride flexible bags to hold
blood and intravenous solutions. The conventional use of polymers is
often limited to packaging rather than drug delivery. Subsequently, the
union of polymer and pharmaceutical sciences led to the introduction
of polymer in the design and development of drug delivery systems
[1]. Especially, targeted drug delivery is more promising approach
where the drug can be transported more effectively from a dosage
form to targeted organ in required concentration thereby minimizing
the drug induced toxicity. As the oral route is most popular route of
administration, a large emphasis has been devoted to the development
of controlled oral drug delivery systems. However, the highly
hydrophilic nature and short half-life (elimination half-life 2-3 hour)
of drugs causes them to readily absorbed and eliminated [2]. This
requires frequent dosing that lead to a decrease in patient compliance
and further increase chances of severe side effects due to dose dumping
[3]. This warrants extensive research to alleviate these drug side effects
by fabricating novel polymer-based drug delivery devices. Sodium alginate (SA) is a well-known natural polymer of plant
origin; it is mainly composed of (1-4) linked β-D-manuronic acid
and α-L-guluronic acid units [9,10]. It has outstanding gel forming
ability, biocompatibility and biodegradability which makes it a suitable
candidate for biomedical, controlled release applications and matrices *Corresponding author: Snehasis Jana, Trivedi Global Inc., 10624 S Eastern
Avenue Suite A-969, Henderson, NV 89052, USA, Tel: +91-755-6660006; E-mail:
publication@trivedisrl.com Received August 06, 2015; Accepted October 06, 2015; Published October 09,
2015 Received August 06, 2015; Accepted October 06, 2015; Published October 09,
2015 Citation: Jana S, Trivedi MK, Tallapragada RM, Branton A, Trivedi D, Nayak
G, et al. (2015) Characterization of Physicochemical and Thermal Properties of
Chitosan and Sodium Alginate after Biofield Treatment. Pharm Anal Acta 6: 430. doi:10.4172/21532435.1000430 Citation: Jana S, Trivedi MK, Tallapragada RM, Branton A, Trivedi D, Nayak
G, et al. (2015) Characterization of Physicochemical and Thermal Properties of
Chitosan and Sodium Alginate after Biofield Treatment. Pharm Anal Acta 6: 430. doi:10.4172/21532435.1000430 Copyright: © 2015 Jana S, et al. This is an open-access article distributed under
the terms of the Creative Commons Attribution License, which permits unrestricted
use, distribution, and reproduction in any medium, provided the original author and
source are credited. Characterization of Physicochemical and Thermal Properties of Chitosan
and Sodium Alginate after Biofield Treatment g
Snehasis Jana1*, Mahendra Kumar Trivedi1, Rama Mohan Tallapragada1, Alice Branton1, Dahryn Trivedi1, Gopal Nayak1 and Rakesh Kum
Mishra2 sis Jana1*, Mahendra Kumar Trivedi1, Rama Mohan Tallapragada1, Alice Branton1, Dahryn Trivedi1, Gopal Nayak1
2 ra Kumar Trivedi1, Rama Mohan Tallapragada1, Alice Branton1, Dahryn Trivedi1, Gopal Nayak1 and Rakesh Kuma 1Trivedi Global Inc., 10624 S Eastern Avenue Suite A-969, Henderson, NV 89052, USA
2Trivedi Science Research Laboratory Pvt. Ltd., Hall-A, Chinar Mega Mall, Chinar Fortune City, Hoshangabad Rd., Bhopal- 462026, Madhya Pradesh, India Research Article
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ISSN: 2153-2435 Trivedi et al., Pharm Anal Acta 2015, 6:10
http://dx.doi.org/10.4172/2153-2435.1000430 Trivedi et al., Pharm Anal Acta 2015, 6:10 Open Access Abstract CS can
be used as an effective targeted delivery to the upper part of gastro
intestinal tract and stomach to improve bioavailability. Recently CS
and SA based matrix tablets were formulated for controlled delivery of
trimetazidine hydrochloride [8]. Abbreviations: CS: Chitosan; SA: Sodium alginate; XRD:
X-Ray Diffraction; DSC: Differential Scanning Calorimetry; TGA:
Thermogravimetric Analysis: TGA; FT-IR: Fourier Transform Infrared *Corresponding author: Snehasis Jana, Trivedi Global Inc., 10624 S Eastern
Avenue Suite A-969, Henderson, NV 89052, USA, Tel: +91-755-6660006; E-mail:
publication@trivedisrl.com Characterization Fourier transform infrared (FT-IR) spectroscopy: The infrared
spectra of polymers (CS and SA) were recorded in the range of 500-
4000 cm-1 with Perkin Elmer, Fourier Transform Infrared (FT-IR)
Spectrometer, USA. CHNSO analysis: The control and treated samples of CS and SA
were analysed using CHNSO Analyser (Model Flash EA 1112 series),
Thermo Finnigan Italy. Nevertheless, more hydrophilic nature of these polymers,
sometime leads to premature release of the drugs leading to reduced
bioavailability and efficacy. Therefore CS and SA polymer need to be
properly modified in order to tailor its stability which can improve
bioavailability of encapsulated drugs. Hence, in current research work
an attempt was made to modify physicochemical properties of CS and
SA through biofield treatment. X-ray diffraction (XRD) study: XRD of control and treated
polymer samples (CS and SA) were analysed by using Phillips Holland
PW 1710 X-ray diffractometer system. The wavelength of the radiation
was 1.54056 Ǻ. The data was obtained in the form of 2θ versus intensity
(a.u) chart. The obtained data was used for calculation of crystallite size
using the following formula. Biofield is a cumulative effect of electric and magnetic field induced
by a human body on external surroundings. Thus, human beings have
the ability to harness the energy from environment/Universe and can
transmit into any object (living or non-living) around the Globe. The
object(s) always receive the energy and respond into a useful manner
that is called biofield energy. This whole process is known as biofield
treatment. Recently, it was reported that a robotic quad copter can be
controlled through the power of thoughts [19]. Mr. Trivedi is known
to transform the physical and structural properties at the atomic level
of various living and non-living things through his biofield treatment
(The Trivedi Effect®). The said treatment has substantially changed the
atomic and thermal properties of metals [20-23]. The biofield treatment
has significantly changed the energy in the crystal as well as crystallite
size and distance between the atoms in a unit cell. Furthermore, when
biofield was exposed to diamond, graphite and activated charcoal, the
treatment has caused substantial elongation and fracture to smaller
particles, which confirmed that the biofield energy has acted at the
polycrystalline level causing deformation of metal particles [22]. Crystallite size = kλ/b cos θ Where λ is the wavelength and k is the equipment constant with a
value of 0.94. Percentage change in crystallite size = [(Gt-Gc)/Gc] ×100 Where, Gc and Gt are crystallite size of control and treated powder
samples respectively. Introduction In general, polymers are classified in several ways; but according to
the simplest classification used for pharmaceutical purposes they are Volume 6 • Issue 10 • 1000430 Citation: Jana S, Trivedi MK, Tallapragada RM, Branton A, Trivedi D, Nayak G, et al. (2015) Characterization of Physicochemical and Thermal
Properties of Chitosan and Sodium Alginate after Biofield Treatment. Pharm Anal Acta 6: 430. doi:10.4172/21532435.1000430 Page 2 of 9 Page 2 of 9 for enzyme immobilization, etc. [11,12]. Moreover, SA can be cross
linked with multivalent cations such as calcium ions which can lead
to the formation of insoluble calcium alginate [13,14]. Due to this
unique crosslinking nature SA shows reduced swelling in different
solvents, resulting in minimized permeation of different solutes. This
allows drug embedded alginate matrices to be used as sustained release
formulations for controlled drug delivery applications [15-18]. Particle size analysis The average particle size and particle size distribution were
analysed by using Sympetac Helos-BF Laser Particle Size Analyser with
a detection range of 0.1 µm to 875 µm. Average particle size (d50) and
d99 size exhibited by 99% of powder particles were computed from laser
diffraction data table. The percent change in d50 and d99 values were
calculated by following formula. Percentage change in d50 size = 100 x (d50 treated- d50 control)/d50
control It has been recently published that the effect of Mr Trivedi’s
biofield treatment resulted in significant improvement of the yield and
quality of various agriculture products [24-27]. It causes an increase
in growth and anatomical characteristics of a herb Pogostemon cablin
that is commonly used in perfumes, in incense/insect repellents,
and alternative medicine [28]. Moreover, in microbiology, biofield
treatment has also caused changes in the antibiotic susceptibility
patterns and biochemical reactions that further induced changes in the
characteristics of pathogenic microbes [29-31]. Percentage Change in d99 size = 100 x (d99 treated- d99 control)/d99
control Differential scanning calorimetry (DSC): DSC of the polymer
samples (CS and SA) were analysed by using Pyris-6 Perkin Elmer
Differential Scanning Calorimeter (DSC) at a heating rate of 10ºC /
min under air atmosphere and air was flushed at a flow rate of 5 mL/
min. The treated sample was divided in two parts T1 and T2 for DSC
analysis. By considering above mentioned excellent outcomes from biofield
treatment and properties of CS and SA, this work was undertaken to
investigate the impact of biofield treatment on physical, chemical and
thermal properties of CS and SA. Thermogravimetric/ derivative thermogravimetry (TGA/DTG)
analysis: The thermal stability of the polymer all samples were analysed
by using Mettler Toledo simultaneous thermogravimetric/derivative
thermogravimetry analyser (TGA/DTG). The samples were heated
from room temperature to 400ºC with a heating rate of 5ºC /min under
air atmosphere. The treated sample was divided in two parts T1 and T2
for TGA analysis. Pharm Anal Acta
ISSN: 2153-2435 PAA, an open access journal Characterization Percentage change in crystallite size was calculated using
following formula: Percentage change in crystallite size = [(Gt-Gc)/Gc] ×100 Materials and Method Chitosan (CS) and sodium alginate (SA) has been procured
from Sigma Aldrich, USA. The samples were divided into two parts;
one was kept as control sample, while the other was subjected to Mr. Trivedi’s biofield treatment and coded as treated sample. The treatment
group was in sealed pack and handed over to Mr. Trivedi for biofield
treatment under laboratory condition. Mr. Trivedi provided the
treatment through his energy transmission process to the treated group
without touching the sample. The control and treated samples were
characterized by FT-IR, CHNSO, XRD, particle size, DSC, and TGA. Citation: Jana S, Trivedi MK, Tallapragada RM, Branton A, Trivedi D, Nayak G, et al. (2015) Characterization of Physicochemical and Thermal
Properties of Chitosan and Sodium Alginate after Biofield Treatment. Pharm Anal Acta 6: 430. doi:10.4172/21532435.1000430 CHNSO analysis CHNSO analysis was used to measure the percentage of elements
present in the polymers (CS and SA) and the results are presented in
Table 1. The percentage of hydrogen was increased by 16.69% and
46.66% in treated samples of CS and SA, respectively as compared to
control. These results indicated that biofield energy was making the
hydrogen bond weaker hence facilitating the combustion of hydrogen. Similarly, a significant increase in percentage oxygen was also
evidenced in both the polymers, i.e., 11.75%, and 12.05% in CS and SA,
respectively. Additionally, the percentage of nitrogen in treated CS was
increased (1.82%) as compared to control but no change was observed
in SA sample. Likewise, percentage carbon was increased in SA (2.28%)
as compared to control though it decreased in case of CS sample Figure 2: FT-IR spectra of sodium alginate (control and treated). Figure 1: FT-IR spectrum of chitosan (control and treated). CH stretching, respectively. Another important peak was observed at
1392 cm-1, which indicated the presence of amide-III bending peak. The
absorption bands at 1154 cm-1 (asymmetric stretching of the –COOC–
bridge), 1082, and 1036 cm-1 (skeletal vibration involving the COO
stretching) were characteristic of its saccharine structure [32]. FT-IR spectrum of treated CS sample showed (Figure 1) –NH2
(amide I) and amide II stretching vibration peaks at 1652 and 1601 cm-
1, respectively. Other characteristic peak of -NH stretching vibration
peak was observed at 3434 cm-1. The –CH stretching vibration band
was shifted from 2925→2979 cm-1 and this may be due to increase in
bond strength or force constant after biofield treatment. The peaks at
1392, 1168, and 1092 cm-1 were due to amide-III bending, asymmetric
stretching of the –COOC– bridge and skeletal vibration of -COO
stretching. Figure 2: FT-IR spectra of sodium alginate (control and treated). Elements
Parameter
Chitosan
Sodium Alginate
C
Control
41.93
29.54
Treated
41.78
30.22
% Change
-0.35
2.28
H
Control
6.83
3.30
Treated
7.97
4.84
% Change
16.69
46.66
N
Control
7.14
0.00
Treated
7.27
0.00
% Change
1.82
-
O
Control
30.88
33.65
Treated
34.51
37.70
% Change
11.75
12.05
Table 1: CHNSO data of chitosan and sodium alginate The IR spectrum of control SA showed (Figure 2) a characteristic
peak at 1606 cm-1 which was ascribed to carboxylic acid salt (-COO
asymmetric stretch, 1500-1650 cm-1). FT-IR spectroscopy FT-IR spectra of control and treated polymer samples of CS and SA
are illustrated in Fig 1 and 2, respectively. FT-IR spectrum of control
CS showed (Figure 1) presence of intense peaks at 1652 cm-1 which
was due to amide-I stretching vibration in the sample. FT-IR spectrum
of CS showed stretching peak at 3434 and 2925 cm-1 for –OH and – Volume 6 • Issue 10 • 1000430 Citation: Jana S, Trivedi MK, Tallapragada RM, Branton A, Trivedi D, Nayak G, et al. (2015) Characterization of Physicochemical and Thermal
Properties of Chitosan and Sodium Alginate after Biofield Treatment. Pharm Anal Acta 6: 430. doi:10.4172/21532435.1000430 Citation: Jana S, Trivedi MK, Tallapragada RM, Branton A, Trivedi D, Nayak G, et al. (2015) Characterization of Physicochemical and Thermal
Properties of Chitosan and Sodium Alginate after Biofield Treatment. Pharm Anal Acta 6: 430. doi:10.4172/21532435.1000430 Page 3 of 9 Page 3 of 9 Figure 1: FT-IR spectrum of chitosan (control and treated). of treated SA did not show any significant changes with respect to
control sample. Pharm Anal Acta
ISSN: 2153-2435 PAA, an open access journal Table 1: CHNSO data of chitosan and sodium alginate. Citation: Jana S, Trivedi MK, Tallapragada RM, Branton A, Trivedi D, Nayak G, et al. (2015) Characterization of Physicochemical and Thermal
Properties of Chitosan and Sodium Alginate after Biofield Treatment. Pharm Anal Acta 6: 430. doi:10.4172/21532435.1000430 Particle size analysis Particle size (d50 and d99) of control and treated SA was investigated Figure 3: XRD of chitosan (control and treated). Figure 3: XRD of chitosan (control and treated). Figure 4: XRD of sodium alginate (control and treated). and results are presented in Table 3. It was observed that biofield
treatment has significantly reduced both average particle size (d50) and
d99 value of SA polymer with respect to control. The control SA showed
a particle size values of d50 (65.27 µm) and d99 (500 µm). However, after
biofield treatment it showed significant reduction in particle size as
11.5 µm and 82.1 µm for d50 and d99, respectively. The marked reduction
in particle size may be due to the high energy or force experienced
by particles which lead to fracture in particle boundaries causing
reduction in particle size. Further, it is assumed that too much of
plastic deformation due to biofield treatment in samples stores stresses
in the form of discontinuities in the particles which ultimately fracture
the sample making it much smaller. XRD study Figure 3 shows the XRD diffractogram of control and treated CS. XRD diffractogram of control CS showed more crystalline nature with
intense peak at 2θ equals to 19.69º. However, the treated CS showed
increase in intensity of the XRD peak and it was observed at 2θ equals
to 19.80º (Figure 3). The crystallite size was calculated from the XRD
diffractogram of control and treated CS sample using Scherrer formula
(crystallite size = kλ /b cos θ) and results are presented in Table 2. The
crystallite size of treated CS (18.26 nm) showed significant increase as
compared to control CS (10.76 nm). Percentage increase in crystallite
size of treated CS was 69.59% as compared to control sample. This
may be due to biofield energy which lead to growth in crystal size by
removing the inter-crystalline boundaries (grain boundaries) aligning
the planes in several adjacent crystals [12]. Table 2: Crystallite size and percentage change in crystallite size of polymers
(Chitosan and Sodium Alginate). Table 2: Crystallite size and percentage change in crystallite size of polymers
(Chitosan and Sodium Alginate). Figure 4: XRD of sodium alginate (control and treated). Figure 4: XRD of sodium alginate (control and treated). XRD diffractogram of control and treated SA is shown in Figure
4. XRD of control SA sample showed characteristic semi-crystalline
nature with a peak at 2θ equals to 13.61º. Contrarily, the treated SA
sample showed more broadening in the XRD peaks. The control SA
showed crystallite size of 18.11 nm and treated SA showed crystallite
size of 10.68 nm. This showed 41.04% decrease in crystallite size of
treated SA as compared to control (Figure 4). Hence, it is assumed that
biofield may have significantly changed the crystallite size of treated SA
with respect to control. The presence of the internal strain might be the
reason for fracturing the grains into sub grains which lead to decrease
in crystallite size of treated SA. CHNSO analysis SA showed another important
broad peak at 3182 cm-1 which was due to inter molecular hydrogen
bonded –OH group. The other noticeable peak at 2977 cm-1 was due
to –CH stretching and -OH bending peaks were observed at 1035, and
1091 cm-1 [33]. The biofield treated SA showed (Figure 2) prominent
peaks at 1604 cm-1, 3284 cm-1 and 2893 cm-1 which were mainly due
to –COO- group, -OH group and –CH stretching vibration peaks,
respectively. Vibration peak for –OH bending was observed at 1037 cm-
1. The result showed upward shifting of –OH group from 3182→3284
cm-1 which may be due alteration in bond strength. Other FT-IR peaks Volume 6 • Issue 10 • 1000430 Page 4 of 9
ayak G, et al. (2015) Characterization of Physicochemical and Thermal
ent. Pharm Anal Acta 6: 430. doi:10.4172/21532435.1000430
and results are presented in Table 3. It was observed that biofield
treatment has significantly reduced both average particle size (d50) and
d value of SA polymer with respect to control. The control SA showed
Figure 4: XRD of sodium alginate (control and treated). Polymer powder
Crystallite size (nm)
% change in crystallite
size
Control
Treated
Chitosan
10.76
18.26
69.59
Sodium alginate
18.11
10.68
-41.04
Table 2: Crystallite size and percentage change in crystallite size of polymers
(Chitosan and Sodium Alginate). Citation: Jana S, Trivedi MK, Tallapragada RM, Branton A, Trivedi D, Nayak G, et al. (2015) Characterization of Physicochemical and Thermal
Properties of Chitosan and Sodium Alginate after Biofield Treatment. Pharm Anal Acta 6: 430. doi:10.4172/21532435.1000430 Page 4 of 9 (-0.35%). It is assumed that biofield treatment may cause substantial
increase in percentage of oxygen and hydrogen in both treated natural
polymers (CS and SA) with respect to control. Polymer powder
Crystallite size (nm)
% change in crystallite
size
Control
Treated
Chitosan
10.76
18.26
69.59
Sodium alginate
18.11
10.68
-41.04 Citation: Jana S, Trivedi MK, Tallapragada RM, Branton A, Trivedi D, Nayak G, et al. (2015) Characterization of Physicochemical and Thermal
Properties of Chitosan and Sodium Alginate after Biofield Treatment. Pharm Anal Acta 6: 430. doi:10.4172/21532435.1000430 Thermal analysis DSC is an important tool for the determination of glass transition
and melting behaviour of polymers. Figure 5 (control, CS T1 and
CS T2) shows the DSC thermograms of CS. DSC thermogram of CS
sample did not exhibit any glass transition temperature which was
mainly associated with its rigid crystalline nature and occurrence of
strong inter/intra molecular hydrogen bonding. Kittur et al. suggested
that glass transition of CS could lie at a higher temperature where
degradation prevents its determination [34]. DSC thermogram
of control CS exhibited a broad exothermic peak at 297ºC. This
exothermic peak can be correlated to decomposition of amine units Pharm Anal Acta
ISSN: 2153-2435 PAA, an open access journal Volume 6 • Issue 10 • 1000430 Citation: Jana S, Trivedi MK, Tallapragada RM, Branton A, Trivedi D, Nayak G, et al. (2015) Characterization of Physicochemical and Thermal
Properties of Chitosan and Sodium Alginate after Biofield Treatment. Pharm Anal Acta 6: 430. doi:10.4172/21532435.1000430 Page 5 of 9 Polymer Powder
d50 (µm)
d99 (µm)
Sodium alginate (control)
65.27
500
Sodium alginate (T1)
11.5
82.1
Chitosan
NDa
NDa T1 and CS T2 samples showed an enthalpy of 68.81 J/g and 1370 J/g,
respectively. However, the control SA showed an enthalpy of 130.93;
however the SA T1 and SA T2 samples showed an enthalpy of 499.92 J/g
and 272.69 J/g, respectively. The result showed a substantial decrease in
enthalpy in treated CS (T1 and T2) by -95.38% and -8.05% with respect
to control SA. Whereas, the treated SA showed significant increase in
enthalpy by 281.82% and 108.27% with respect to control. Hence, it is
assumed that biofield treatment had altered the enthalpy of treated CS
and SA as compared to control. Figure 5: DSC thermogram of control and treated chitosan (T1 and T2). TGA/DTG analysis was conducted on control and treated CS
samples and results are presented in Figure 7a and 7b (control, CS
T1 and CS T2). CS (control) showed one step thermal degradation
pattern. The control CS started to degrade at around 266ºC (onset)
and degradation terminated at around 350ºC. During this thermal
process the sample lost 34.70% of its weight. This step was mainly due
to CS decomposition and scission of the polymer chain. Derivative
thermogravimetry (DTG) graph of control CS exhibited maximum
thermal decomposition temperature (Tmax) at 310ºC. However, the
treated CS T1 started to decompose at around 236ºC and decomposition
stopped at around 334ºC. Pharm Anal Acta
ISSN: 2153-2435 PAA, an open access journal Volume 6 • Issue 10 • 1000430 Thermal analysis Pharm Anal Acta 6: 430. doi:10.4172/21532435.1000430 Page 6 of 9 his process. DTG thermogram showed a Tmax value of 291ºC. The TGA
hermogram of CS (T2) showed one step thermal degradation (Figure
b). The degradation commenced at around 259ºC and it stopped at
round 327ºC. During this process CS T2 lost 39.85% of its weight. The h
The TGA-DTG thermogram of control and treated SA (SA T1 and
SA T2) are shown in Figure 8a and 8b. The control SA showed one step
thermal degradation. The degradation commenced at around 209ºC
and terminated at around 290ºC. During this step the control SA lost
f
h
h
f
l
h
d
Figure 7a: TGA-DTG thermogram of chitosan (control and T1). Figure 7a: TGA-DTG thermogram of chitosan (control and T1). The TGA-DTG thermogram of control and treated SA (SA T1 and
SA T2) are shown in Figure 8a and 8b. The control SA showed one step
thermal degradation. The degradation commenced at around 209ºC
and terminated at around 290ºC. During this step the control SA lost
39.11% of its weight. DTG thermogram of control SA showed Tmax at
240.19ºC. The TGA thermogram of SA T1 showed one step thermal
degradation. The degradation started at around 192ºC and stopped
at around 262ºC. The SA T1 lost 33.57% of its weight. Based on DTG
thermogram of SA T1 the Tmax was observed at 231ºC. The thermal The TGA-DTG thermogram of control and treated SA (SA T1 and
SA T2) are shown in Figure 8a and 8b. The control SA showed one step
thermal degradation. The degradation commenced at around 209ºC
and terminated at around 290ºC. During this step the control SA lost
39.11% of its weight. DTG thermogram of control SA showed Tmax at
240.19ºC. The TGA thermogram of SA T1 showed one step thermal
degradation. The degradation started at around 192ºC and stopped
at around 262ºC. The SA T1 lost 33.57% of its weight. Based on DTG
thermogram of SA T1 the Tmax was observed at 231ºC. The thermal this process. DTG thermogram showed a Tmax value of 291ºC. The TGA
thermogram of CS (T2) showed one step thermal degradation (Figure
7b). The degradation commenced at around 259ºC and it stopped at
around 327ºC. During this process CS T2 lost 39.85% of its weight. The
DTG showed the Tmax of 293ºC. Thermal analysis The CS T1 lost 43.44% of its weight during Figure 6: DSC thermogram of control and treated sodium alginate (T1 and T2). Figure 5: DSC thermogram of control and treated chitosan (T1 and T2). of the CS sample [34,35]. DSC thermogram of treated CS T1 sample
showed (Figure 5) an increase in exothermic temperature peak and
it was observed at 325ºC. This showed the late decomposition of the
amine units of CS T1 with respect to control. DSC thermogram of CS
T2 showed an exothermic peak at 300ºC. The increase in exothermic
decomposition temperature could be associated with strong hydrogen
bond formation after biofield treatment in chitosan. DSC thermogram of SA (Figure 6) (control SA, SA T1 and SA
T2) exhibited an endothermic peak at 95ºC that may be correlated to
elimination of loosely bound water in the control SA. The thermogram
showed two exothermic peaks at 241ºC and 253ºC that was due to
pyrolysis reaction in the control SA. Nevertheless, the SA T1 sample
also showed an endothermic peak at around 95ºC that may be ascribed
to bound water in the sample. The DSC thermogram showed (Figure
6) an exothermic peak at 242ºC that was ascribed to pyrolysis of the
sample. DSC thermogram of SA T2 also showed endothermic peak at
around 96ºC due to elimination of water. The exothermic event was
observed at 243 ºC and 269ºC and this was due to pyrolysis reaction in
the sample [36]. Figure 6: DSC thermogram of control and treated sodium alginate (T1 and T2). Sample
Chitosan
Sodium Alginate
Enthalpy
Enthalpy
Value (J/kg)
% change
Value (J/kg)
% change
Control
1490
-
130.93
-
T1
68.81
-95.38
499.92
281.82
T2
1370
-8.05
272.69
108.27 The enthalpy change was calculated from the respective DSC
thermograms of control and treated CS and SA polymers (Table 4). The control CS showed an enthalpy value 1490 J/g; however the CS Pharm Anal Acta
ISSN: 2153-2435 PAA, an open access journal Volume 6 • Issue 10 • 1000430 Citation: Jana S, Trivedi MK, Tallapragada RM, Branton A, Trivedi D, Nayak G, et al. (2015) Characterization of Physicochemical and Thermal
Properties of Chitosan and Sodium Alginate after Biofield Treatment. Pharm Anal Acta 6: 430. doi:10.4172/21532435.1000430 Citation: Jana S, Trivedi MK, Tallapragada RM, Branton A, Trivedi D, Nayak G, et al. (2015) Characterization of Physicochemical and Thermal
Properties of Chitosan and Sodium Alginate after Biofield Treatment. Pharm Anal Acta
ISSN: 2153-2435 PAA, an open access journal Conclusion 3. Ray S, Banerjee S, Maiti S, Laha B, Barik S, et al. (2010) Novel interpenetrating
network microspheres of xanthan gum-poly(vinyl alcohol) for the delivery of
diclofenac sodium to the intestine--in vitro and in vivo evaluation. Drug Deliv
17: 508-519. This research work showed the impact of biofield treatment
on physicochemical and thermal properties of CS and SA. FT-IR
study showed increase in wavenumber of –CH stretching vibrations
which may be associated with increase in bond strength and force
constant. CHNSO analysis showed significant increase in percentage
hydrogen and oxygen of treated CS and SA. XRD data revealed the
crystalline nature of CS (control and treated) and a significant increase
in percentage crystallite size (69.59%) was observed after biofield
treatment. However, the treated SA showed decrease in crystallite size
by 41.04% as compared to control. The particle size analysis of treated
SA showed substantial reduction in particle size with respect to control. DSC study showed increase in exothermic temperature in treated CS
which may be related to strong hydrogen bonding in the sample. Similarly increase in exothermic temperature was absorbed in treated
SA with respect to control. A significant increase in ∆H was observed
in SA T1 by 281.82% and SA T2 by 108.27% with respect to control
sample. Moreover, significant change in % enthalpy was evidenced
in treated CS with respect to control. TGA results showed reduction
in thermal stability of treated polymers (CS and SA) with respect to
control. Overall, the results showed that biofield has caused significant
impact on physical, chemical and thermal properties of the CS and
SA. Hence, it is assumed that biofield treated CS and SA could be used
as a matrix for controlled drug delivery systems. 4. Alderman DA (1984) A Review of cellulose ethers in hydrophilic matrices for
oral controlled-release dosage forms. Intern J Pharm Tech Product Manufact
5: 1-9. 5. Heller J (1987) Use of polymers in controlled release of active agents. Controlled Drug Delivery Fundamentals and Applications. Marcel Dekker, New
York, 179-212. 6. Longer MA (1990) Sustained-release drug delivery systems. Remington’s
Pharmaceutical Sciences. Mack Publishing, Easton. 7. Giri TK, Thakur A, Alexander A, Ajazuddin Badwaik H, Tripathi DK (2012)
Modified chitosan hydrogels as drug delivery and tissue engineering systems:
present status and applications. Acta Pharm Sin B 2: 439-449. 8. Chang CH, Lin YH, Yeh CL, Chen YC, Chiou SF, et al. Conclusion (2010) Nanoparticles
incorporated in pH-sensitive hydrogels as amoxicillin delivery for eradication of
Helicobacter pylori. Biomacromolecules 11: 133-142. 9. Teli SB, Gokavi GS, Aminabhavi TM (2007) Novel sodium alginate-poly
(N-isopropylacrylamide) semi-interpenetrating polymer network membranes
for pervaporation separation of water + ethanol mixtures. Sep Purif Technol
56: 150-157. 10. Yang L, Ma X, Guo N (2012) Sodium alginate/Na+-rectorite composite
microspheres: preparation, characterization, and dye adsorption. Carbohydr
Polym 90: 853-858. 11. Smitha B, Sridhar S, Khan AA (2005) Chitosan–sodium alginate polyion
complexes as fuel cell membranes. Eur Polym J 41: 1859-1866. References 1. Kamel S, Ali N, Jahangir K, Shah SM, El-Gendy AA (2008) Pharmaceutical
significance of cellulose: A review. Express Polym Lett 2: 758-778. 2. Alavijeh MS, Chishty M, Qaiser MZ, Palmer AM (2005) Drug metabolism and
pharmacokinetics, the blood-brain barrier, and central nervous system drug
discovery. NeuroRx 2: 554-571. Thermal analysis The comparative evaluation of DTG
results showed decrease in Tmax after biofield treatment of CS. This
may be correlated to reduction in thermal stability of CS after biofield
treatment. Pharm Anal Acta
ISSN: 2153-2435 PAA, an open access journal Pharm Anal Acta
ISSN: 2153-2435 PAA, an open access journal Volume 6 • Issue 10 • 1000430 Citation: Jana S, Trivedi MK, Tallapragada RM, Branton A, Trivedi D, Nayak G, et al. (2015) Characterization of Physicochemical and Thermal
Properties of Chitosan and Sodium Alginate after Biofield Treatment. Pharm Anal Acta 6: 430. doi:10.4172/21532435.1000430 Citation: Jana S, Trivedi MK, Tallapragada RM, Branton A, Trivedi D, Nayak G, et al. (2015) Characterization of Physicochemical and Thermal
Properties of Chitosan and Sodium Alginate after Biofield Treatment. Pharm Anal Acta 6: 430. doi:10.4172/21532435.1000430 Page 7 of 9 Page 7 of 9
Volume 6 • Issue 10 • 1000430
Pharm Anal Acta
ISSN: 2153-2435 PAA, an open access journal
Figure 7b: TGA-DTG thermogram of chitosan (T2). Figure 8a: TGA-DTG thermogram of sodium alginate (control and T1). Figure 7b: TGA-DTG thermogram of chitosan (T2). Figure 7b: TGA-DTG thermogram of chitosan (T2). Figure 8a: TGA-DTG thermogram of sodium alginate (control and T1). Figure 8a: TGA-DTG thermogram of sodium alginate (control and T1). Pharm Anal Acta
ISSN: 2153-2435 PAA, an open access journal Volume 6 • Issue 10 • 1000430 ISSN: 2153-2435 PAA, an open access journal Citation: Jana S, Trivedi MK, Tallapragada RM, Branton A, Trivedi D, Nayak G, et al. (2015) Characterization of Physicochemical and Thermal
Properties of Chitosan and Sodium Alginate after Biofield Treatment. Pharm Anal Acta 6: 430. doi:10.4172/21532435.1000430 Citation: Jana S, Trivedi MK, Tallapragada RM, Branton A, Trivedi D, Nayak G, et al. (2015) Characterization of Physicochemical and Thermal
Properties of Chitosan and Sodium Alginate after Biofield Treatment. Pharm Anal Acta 6: 430. doi:10.4172/21532435.1000430 Page 8 of 9 Figure 8b: TGA-DTG thermogram of sodium alginate (T2). Figure 8b: TGA-DTG thermogram of sodium alginate (T2). Figure 8b: TGA-DTG thermogram of sodium alginate (T2). results. The authors would like to thank Trivedi Science, Trivedi Master Wellness
and Trivedi Testimonials for their support during the work. results. The authors would like to thank Trivedi Science, Trivedi Master Wellness
and Trivedi Testimonials for their support during the work. degradation of SA (T2) started at around 196ºC and it stopped at
around 220ºC (Figure 8b). The SA T2 lost 32.77% of its weight during
this process. Thermal analysis The Tmax value was decreased in SA T1 as compared to
control which correlates with decrease in thermal stability of treated
SA with respect to control. This indicated that biofield treatment did
not increase the thermal stability of treated SA as compared to control. Conclusion Pharm Anal Acta
ISSN: 2153-2435 PAA, an open access journal Acknowledgement 12. Caykara T, Demirci S, Eroglu MS, Guven O (2005) Poly(ethylene oxide) and its
blends with sodium alginate. Polymer 46: 10750-10757. We thank Dr. Cheng Dong of NLSC, Institute of Physics, and Chinese
academy of Sciences for permitting us to use Powder X software for analysing XRD Pharm Anal Acta
ISSN: 2153-2435 PAA, an open access journal Volume 6 • Issue 10 • 1000430 Page 9 of 9 13. Smidsrod O, Skjak-Braek G (1990) Alginate as immobilization matrix for cells. Trends Biotechnol 8: 71-78. 26. Lenssen AW (2013) Biofield and fungicide seed treatment influences on
soybean productivity, seed quality and weed community. Agricultural Journal
8: 138-143. 26. Lenssen AW (2013) Biofield and fungicide seed treatment influences on
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8: 138-143. 14. Smidsrod O, Glover RM, Whittington SG (1973) The relative extension of
alginate having different chemical composite. Carbohydr Res 27: 107-111. 27. Patil SA, Nayak GB, Barve SS, Tembe RP, Khan RR (2012) Impact of biofield
treatment on growth and anatomical characteristics of Pogostemon cablin
(Benth.). Biotechnology 11: 154-162. 15. Badwan A, Abumalooh A, Sallam E, Abukalaf A, Jawan O (1985) A sustained
release drug delivery system using calcium alginate beads. Drug Dev Ind
Pharm 11: 239-256. 28. Nayak G, Altekar N (2015) Effect of biofield treatment on plant growth and
adaptation. J Environ Health Sci 1: 1-9. 16. Aslani P, Kennedy RA (1996) Studies on diffusion in alginate gels. I. Effect of
cross-linking with calcium or zinc ions on diffusion of acetaminophen. J Control
Release 42: 75-82. 29. Trivedi MK, Patil S (2008) Impact of an external energy on Staphylococcus
epidermis [ATCC –13518] in relation to antibiotic susceptibility and biochemical
reactions – An experimental study. J Accord Integr Med 4: 230-235. 17. Shu XZ, Zhu KJ (2002) The release behavior of brilliant blue from calcium-
alginate gel beads coated by chitosan: the preparation method effect. Eur J
Pharm Biopharm 53: 193-201. 30. Trivedi MK, Patil S (2008) Impact of an external energy on Yersinia enterocolitica
[ATCC –23715] in relation to antibiotic susceptibility and biochemical reactions:
An experimental study. Internet J Alternative Med 6: 2. 18. Wang K, He Z (2002) Alginate-konjac glucomannan-chitosan beads as
controlled release matrix. Int J Pharm 244: 117-126. 31. Citation: Jana S, Trivedi MK, Tallapragada RM, Branton A, Trivedi D, Nayak G, et al. (2015) Characterization of Physicochemical and Thermal
Properties of Chitosan and Sodium Alginate after Biofield Treatment. Pharm Anal Acta 6: 430. doi:10.4172/21532435.1000430 Acknowledgement Trivedi MK, Bhardwaj Y, Patil S, Shettigar H, Bulbule A (2009) Impact of
an external energy on Enterococcus faecalis [ATCC – 51299] in relation to
antibiotic susceptibility and biochemical reactions – An experimental study. J
Accord Integr Med 5: 119-130. 19. LaFleur K, Cassady K, Doud A, Shades K, Rogin E, et al. (2013) Quadcopter
control in three-dimensional space using a noninvasive motor imagery-based
brain-computer interface. J Neural Eng 10: 046003. 32. Peniche C, Arguelles-Monal W, Davidenko N, Sastre R, Gallardo A, et al. (1999) Self-curing membranes of Chitosan/PAA IPNs obtained by Radical
Polymerization: Preparation, Characterization and Interpolymer Complexation. Biomaterials 20: 1869-1875. 20. Trivedi MK, Patil S, Tallapragada RM (2013) Effect of biofield treatment on
the physical and thermal characteristics of vanadium pentoxide powders. J
Material Sci Eng S11: 001. 21. Trivedi MK, Patil S, Tallapragada RM (2013) Effect of biofield treatment on the
physical and thermal characteristics of silicon, tin and lead powders. J Material
Sci Eng 2: 125. 33. Mishra RK, Ramasamy K, Lim SM, Ismail MF, Majeed AB (2014) Antimicrobial
and in vitro wound healing properties of novel clay based bionanocomposite
films. J Mater Sci Mater Med 25: 1925-1939. 22. Trivedi MK, Patil S, Tallapragada RM (2014) Atomic, crystalline and powder
characteristics of treated zirconia and silica powders. J Material Sci Eng 3: 144. 34. Kittur F, Prashanth K, Uday Sankar K, Tharanathan R (2002) Characterization
of chitin, chitosan and their carboxymethyl derivatives by differential scanning
calorimetry. Carbohydr Polym 49: 185-193. 23. Trivedi MK, Patil S, Tallapragada RMR (2015) Effect of biofield treatment on
the physical and thermal characteristics of aluminium powders. Ind Eng Manag
4: 151. 35. Guinesi LS, Cavalheiro ETG (2006) The use of DSC curves to determine the
acetylation degree of chitin/chitosan samples. Thermochim Acta 444: 128-133. 24. Shinde V, Sances F, Patil S, Spence A (2012) Impact of biofield treatment on
growth and yield of lettuce and tomato. Aust J Basic Appl Sci 6: 100-105. 36. Zhou K, Zhang X, Chen Z, Shi L, Li W (2015) Preparation and characterization
of hydroxyapatite–sodium alginate scaffolds by extrusion free forming. Ceram
Int 41: 14029-14034. 25. Sances F, Flora E, Patil S, Spence A, Shinde V (2013) Impact of biofield treatment
on ginseng and organic blueberry yield. Agrivita J Agric Sci 35: 22-29. Acknowledgement OMICS International: Publication Benefits & Features
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Submit your manuscript at: http://www.omicsgroup.org/journals/submission Citation: Jana S, Trivedi MK, Tallapragada RM, Branton A, Trivedi D, Nayak
G, et al. (2015) Characterization of Physicochemical and Thermal Properties
of Chitosan and Sodium Alginate after Biofield Treatment. Pharm Anal Acta 6:
430. doi:10.4172/21532435.1000430 Pharm Anal Acta
ISSN: 2153-2435 PAA, an open access journal Pharm Anal Acta
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| ERROR: type should be string, got "https://doi.org/10.5194/egusphere-2022-1359\nPreprint. Discussion started: 20 December 2022\nc Author(s) 2022. CC BY 4.0 License.\n\n1\n\nValidating Plutonium-239+240 as novel soil redistribution tracer - a\n\n2\n\ncomparison to measured sediment yield\n\n3\n\nKatrin Meusburger1*, Paolo Porto2, Judith Kobler Waldis3, Christine Alewell3\n\n4\n5\n\n1\n\n6\n\nSwitzerland\n\n7\n\n2\n\n8\n\nItaly\n\n9\n\n3\n\nSwiss Federal Institute for Forest, Snow and Landscape Research WSL, CH-8903, Birmensdorf,\n\nDipartimento di Agraria, Università degli Studi Mediterranea di Reggio Calabria, Reggio Calabria,\n\nEnvironmental Geosciences, University of Basel, Switzerland\n\n10\n11\n\n*corresponding author: katrin.meusburger@wsl.ch\n\n12\n\n1\n\n\fhttps://doi.org/10.5194/egusphere-2022-1359\nPreprint. Discussion started: 20 December 2022\nc Author(s) 2022. CC BY 4.0 License.\n\n13\n\nAbstract\n\n14\n\nQuantifying soil redistribution rates is a global challenge addressed with direct sediment measurements\n\n15\n\n(e.g., traps), models and isotopic, geochemical and radiogenic tracers. The isotope of Plutonium, namely\n\n16\n\nPu-239+240, is a relatively new soil redistribution tracer in this challenge. Direct validation of Pu-\n\n17\n\n239+240 as soil redistribution is, however, still missing. We used a unique sediment yield time series\n\n18\n\nin Southern Italy, reaching back to the initial fallout of Pu-239+240 to verify Pu-239+240 as a soil\n\n19\n\nredistribution tracer. Distributed soil samples (n=55) were collected in the catchment, and at potential\n\n20\n\nundisturbed reference sites (n=22), Pu-239+240 was extracted, measured with ICP-MS and converted\n\n21\n\nto soil redistribution rates. Finally, we used a Generalized Additive model (GAM) to regionalize soil\n\n22\n\nredistribution estimates for the catchment. For the catchment sites, mean Pu-239+240 inventories were\n\n23\n\nsignificantly reduced (16.8 ± 10.2 Bq m-2) compared to the reference inventory (40.5 ± 3.5 Bq m-2,)\n\n24\n\nindicating the dominance of erosion. Converting these inventory losses into soil erosion rates resulted\n\n25\n\nin an average soil loss of 22.2 ± SD 7.2 t ha-1 yr-1. The uncertainties of the approach stemmed mainly\n\n26\n\nfrom the high measurement uncertainties of low-activity samples where samples have been bulked over\n\n27\n\ndepth. Therefore, we recommend taking incremental soil samples and extracting ~20g of soil. The\n\n28\n\ngeographic coordinates and the flow accumulation best described the spatial pattern of erosion rates in\n\n29\n\nthe GAM model. Using those predictors to upscale Pu-derived soil redistribution rates for the entire\n\n30\n\ncatchment resulted in an average on-site loss of 20.7 t ha-1 yr-1, which corresponds very well to the long-\n\n31\n\nterm average sediment yield of 18.7 t ha-1 yr-1 measured at the catchment outlet and to Cs-137 derived\n\n32\n\nsoil redistribution rates. Overall, this comparison of Pu-derived soil redistribution rates with measured\n\n33\n\nsediment yield data validates Pu-239+240 as a suitable retrospective soil redistribution tracer.\n\n34\n\nGraphical abstract\n\n2\n\n\fhttps://doi.org/10.5194/egusphere-2022-1359\nPreprint. Discussion started: 20 December 2022\nc Author(s) 2022. CC BY 4.0 License.\n\n35\n36\n\n3\n\n\fhttps://doi.org/10.5194/egusphere-2022-1359\nPreprint. Discussion started: 20 December 2022\nc Author(s) 2022. CC BY 4.0 License.\n\n37\n\n1\n\nIntroduction\n\n38\n\nSoil erosion endangers climate and food security and has considerable adverse off-site effects on\n\n39\n\nfreshwater systems (Reichstein et al., 2013; Amundson et al., 2015; Alewell et al., 2016; Panagos et al.,\n\n40\n\n2016; Borrelli et al., 2017; Alewell et al., 2020). Plutonium isotopes, with their previous hazardous\n\n41\n\nimpacts on the environment and released as a product of thermonuclear weapons testing and from\n\n42\n\nnuclear accidents (e.g. Chernobyl), may serve as a tool to quantify long-term soil loss (Alewell et al.,\n\n43\n\n2017).\n\n44\n\nThe approach to use Pu-239+240 as soil and sediment tracer is parallel to other fallout radionuclides\n\n45\n\n(FRN) (Xu et al., 2015; Meusburger et al., 2018). Once deposited on the ground, FRNs strongly bind\n\n46\n\nto soil particles and move across the landscape primarily through physical soil redistribution processes\n\n47\n\n(IAEA, 2014). In this way, fallout radionuclides provide an effective and retrospective (since the time\n\n48\n\nof the fallout) track of net soil and sediment redistribution (Zapata, 2003). However, Cs-137, the most\n\n49\n\ncommonly applied soil redistribution tracer, will reach its detection limit soon due to the successive\n\n50\n\ndecay (half-life = 30.17 years). Thus, alternative tracers like excess Pb-210 and Pu-239+240 have been\n\n51\n\nexplored (Wallbrink and Murray, 1996; Matisoff et al., 2002; Mabit et al., 2008; Kato et al., 2010; Porto\n\n52\n\net al., 2013; Teramage et al., 2015; Xu et al., 2015; Meusburger et al., 2018). While Pb-210 is associated\n\n53\n\nwith high uncertainties (Porto and Walling, 2012; Mabit et al., 2014; Meusburger et al., 2018), the\n\n54\n\ncharacteristics of Pu-239+240 seem more promising for soil tracing (Alewell et al., 2017).\n\n55\n\nThe advent of Pu-239+240 as a soil redistribution tracer was accelerated by the adoption of the less\n\n56\n\ntime-consuming (minutes instead of hours per sample) Inductively Coupled Plasma Mass spectrometry\n\n57\n\n(ICP-MS). It was a door opener for using Pu-239+240 as a soil erosion tracer. The application of Pu-\n\n58\n\n239+240 comes along with other advantages, such as i) reduced initial spatial variability at undisturbed,\n\n59\n\nso-called reference sites (Alewell et al., 2014; Meusburger et al., 2016), ii) less preferential uptake by\n\n60\n\nplants (Froehlich et al., 2016), iii) the possibility to assess the origin of the fallout by determining 240Pu\n\n61\n\nto\n\n62\n\nMeusburger et al., 2016; Meusburger et al., 2020), iv) considerably smaller soil sample volume needed\n\n63\n\nfor analysis, and v) no decline due to decay, which is of particular relevance for locations with low\n\n64\n\ninitial Cs-137 fallout such as the southern hemisphere (Tims et al., 2010). The potential of Pu-239+240\n\n65\n\nfurther convenes with the availability of the new conversion model \"Modelling Deposition and Erosion\n\n66\n\nrates with RadioNuclides (MODERN)\", suitable for estimating soil redistribution rates by comparing\n\n67\n\nreference with soil redistribution affected inventories with any FRN (Arata et al., 2016a; Arata et al.,\n\n68\n\n2016b).\n\n69\n\nSeveral studies (Schimmack et al., 2001; Tims et al., 2010; Hoo et al., 2011; Lal et al., 2013; Michelotti\n\n70\n\net al., 2013; Xu et al., 2013; Xu et al., 2015; Meusburger et al., 2018) have highlighted\n\n239\n\nPu atom ratios or Cs-137 to Pu-239+240 activity ratios (Ketterer et al., 2004; Xu et al., 2013;\n\n239+240\n\nPu's\n\n71\n\nsuitability as a soil redistribution tracer. However, to date, direct validation efforts to compare on-site\n\n72\n\nFRN-based soil erosion rates with off-site sediment yields have focused on other FRNs such as Cs-137\n4\n\n\fhttps://doi.org/10.5194/egusphere-2022-1359\nPreprint. Discussion started: 20 December 2022\nc Author(s) 2022. CC BY 4.0 License.\n\n73\n\nand excess 210Pb (Porto et al., 2001; Porto et al., 2003; Porto and Walling, 2012; Porto and Callegari,\n\n74\n\n2022). For 239+240Pu-derived soil redistribution rates, such a direct validation is not achieved yet, to the\n\n75\n\nbest of our knowledge. This study aims to fill this gap by validating 239+240Pu-derived soil redistribution\n\n76\n\nrates with a long-term time series of measured catchment suspended sediment yields.\n\n77\n\n2\n\n78\n\n2.1\n\nMaterials and Methods\nStudy site and soil sampling\n\n79\n\nThis study takes advantage of a unique long-term sediment yield monitoring catchment (W2, 1.38 ha)\n\n80\n\nlocated near Crotone in Calabria, Southern Italy (35 m a.s.l., 39°09′02″N, 17°08′10″E). The steep\n\n81\n\ncatchment with a mean average slope of ca. 35% is located in the ephemeral headwaters of the larger\n\n82\n\nCrepacuore basin (Fig. 1). The geology of this area consists of Upper Pliocene and Quaternary materials\n\n83\n\nand produced soils with a clay loam texture with 14.6%, 49.2%, and 36.2% of sand, silt, and clay,\n\n84\n\nrespectively. The catchment was never ploughed, but in 1968, Eucalyptus occidentalis Engl. was\n\n85\n\nplanted and cut again in 1978 and 1990. The tree cover is partly patchy, with about 20% of the area on\n\n86\n\nsouth-facing slopes having discontinuous tree and grass cover. The climate is Mediterranean, with a\n\n87\n\nmean annual precipitation of ~670 mm, predominantly occurring from October to March.\n\n5\n\n\fhttps://doi.org/10.5194/egusphere-2022-1359\nPreprint. Discussion started: 20 December 2022\nc Author(s) 2022. CC BY 4.0 License.\n\n88\n89\n90\n\nFig. 1 Location of the studied headwater catchment W2 within the Crepacuore Basin (lower panel\nindicated by a red dot), Calabria, Italy.\n\n91\n\nIn 2014, the collection of soil samples in the catchment was undertaken along an approximate 20 m ×\n\n92\n\n20 m grid with additional cores collected from areas characterized by marked variability of vegetation\n\n93\n\ncover or topography (Fig. 1). The samples were taken with a steel core tube (10 cm diameter) driven\n\n94\n\ninto the ground to a depth of 15 cm by a motorized percussion corer and subsequently extracted using\n\n95\n\na hand-operated winch. For each sampling point, two cores were taken, and they were bulked before\n\n96\n\nanalysis. This procedure provided a total of 55 composite bulk cores over the catchment area.\n\n97\n\nIn March 2021, a new sampling campaign was undertaken to obtain information at the reference area\n\n98\n\nto establish the baseline for 239+240Pu in the area. In this case, three depth profiles and nineteen additional\n\n99\n\nbulk reference soil cores were collected in adjacent undisturbed rangeland with some scattered oaks\n\n100\n\n(Quercus pubescens) at a similar altitude to the study catchment (see Porto and Callegari, 2022). The\n\n101\n\nsamples were collected using the same sampling device consisting of a motorized soil column cylinder\n\n6\n\n\fhttps://doi.org/10.5194/egusphere-2022-1359\nPreprint. Discussion started: 20 December 2022\nc Author(s) 2022. CC BY 4.0 License.\n\n102\n\nauger set in which a core tube (60 cm in length) with a larger internal diameter (11 cm) is\n\n103\n\naccommodated. The three depth profiles were sectioned into increments of 2 cm and were analyzed\n\n104\n\nseparately for 137Cs and 239+240Pu content. Before radiometric analyses, all samples were dried and sieved\n\n105\n\nto <2 mm. In a previous study, the soil samples collected within the catchment were analyzed for Cs-\n\n106\n\n137 using high-resolution HPGe detectors available at the Agraria Department at the University\n\n107\n\nMediterranea of Reggio Calabria, Italy (Porto et al., 2014). Counting times for the samples collected\n\n108\n\nduring that campaign were ca. 80,000 s, providing a precision of ca. ±10% at the 95% confidence level.\n\n109\n\nThe reference samples of 2021 were also analyzed for Cs-137 with the same detector settings. All Cs-\n\n110\n\n137 measurements were decay corrected to 01.01.2014 and used to calculate Pu-239+240 to Cs-137\n\n111\n\nactivity ratios.\n\n112\n\n2.2\n\nExtraction of Pu-239+240 and mass spectrometry for atom ratio and concentration\nmeasurements\n\n113\n114\n\nAll samples (5-10g) were oven-dried at 105°C for 48 h, mechanically disaggregated and dry-sieved to\n\n115\n\nrecover the <2 mm fraction. First, a representative sub-sample of this fraction was spiked with ~ 0.005\n\n116\n\nBq of a\n\n117\n\novernight at 80 °C and separated from the leach solution using a Pu-selective TEVA resin (Ketterer et\n\n118\n\nal., 2011). The isotope dilution calculations determined the masses of\n\n119\n\nsample and then converted them into the summed Pu-239+240 activity. The analysis was done with a\n\n120\n\nThermo X7 quadrupole ICP-MS system at Universidad de Cádiz. Please refer to Meusburger et al.\n\n121\n\n(2020) for details on the instrument method.\n\n122\n\n2.3\n\n123\n\nThe total inventory (Bq m-2) of each bulk soil core was calculated as the product of the measured Pu-\n\n124\n\n239+240 activity (Bq kg-1) and the dry mass of the <2 mm fraction of the bulk core (kg), divided by the\n\n125\n\nsurface area associated with the soil core (m2). The inventories were converted into soil redistribution\n\n126\n\nrates using the Profile Distribution model PDM (Walling et al., 2002; Walling et al., 2014) and the\n\n127\n\nmodel Modelling Deposition and Erosion rates with RadioNuclides (MODERN (Arata et al., 2016a;\n\n128\n\nArata et al., 2016b)). The profile distribution model is commonly employed to interpret the shape of an\n\n129\n\nFRN along the soil profile. It assumes an exponential depth distribution, and the depth of soil removed\n\n130\n\nby erosion is estimated by comparing the reduction in the FRN inventory with that related to the\n\n131\n\nreference site (see Porto et al., 2003). MODERN aligns the sampling site's total inventory to the\n\n132\n\nmeasured shape of the reference site's depth profile to estimate the thickness of soil losses/gains. The\n\n133\n\nintersection along the soil profile represents the solution of the model. We accounted for the uncertainty\n\n134\n\nin the conversion procedure by running both conversion models 100 times, sampling from the reference\n\n135\n\nand the erosion inventory within the uncertainty bounds and for the PDM in addition to the shape factor\n\n242\n\nPu yield tracer (licensed solution from NIST). Next, Pu was leached with 16M nitric acid\n239\n\nPu and\n\n240\n\nPu present in the\n\nConversion of Pu-239+240 activities to soil redistribution rates\n\n7\n\n\fhttps://doi.org/10.5194/egusphere-2022-1359\nPreprint. Discussion started: 20 December 2022\nc Author(s) 2022. CC BY 4.0 License.\n\n136\n\nh0. The sampling was done from normal distributions, defined by the mean measured value and the\n\n137\n\nstandard deviations (SD): i) of the repeated ICP-MS measurements for the erosional sites, ii) of the\n\n138\n\nreplicate reference inventories, iii) of the three depth profiles for the h0 factor (Supplementary Figure\n\n139\n\n1).\n\n140\n\n2.4\n\n141\n\nSince 1978, precipitation, runoff and sediment yield have been measured in the W2 catchment (Cantore\n\n142\n\net al., 1994). Precipitation was recorded using a tipping bucket rain gauge, and runoff was measured at\n\n143\n\nthe outlet using an H-flume structure equipped with a mechanical stage recorder. Below the H-flume,\n\nSediment yield measurements\n\n144\n\nthe sediment load was measured with a Coshocton wheel sampler (Porto et al., 2003). Sediment yield\n\n145\n\ndata used in this analysis is related to the period from 1978 to 1994 (Cantore et al., 1994) and from 2006\n\n146\n\nto 2013 (Fig. 2). However, due to the malfunctioning of the sediment sampling equipment in the\n\n147\n\ncatchment during some events, direct measurements of total annual sediment yield values are not\n\n148\n\navailable for all years. To account for these missing years, the corresponding sediment output was\n\n149\n\nestimated using the Arnoldus Index, for which long-term observations are available from the station of\n\n150\n\nCrotone located ca. 10 km distant from the study catchment (see Capra et al., 2017). These estimates\n\n151\n\nwere then incorporated into the annual record of sediment yield (Fig. 2), and the sediment yield data\n\n152\n\nwas extrapolated to cover the period 1963–2013, corresponding to the period captured by Pu-239+240\n\n153\n\nderived soil redistribution assessments.\n\n8\n\n\fhttps://doi.org/10.5194/egusphere-2022-1359\nPreprint. Discussion started: 20 December 2022\nc Author(s) 2022. CC BY 4.0 License.\n\n154\n155\n156\n157\n158\n\nFig. 2 Measured (orange) and predicted (blue) annual sediment yield (t ha-1 yr-1) of the headwater\ncatchment W2 (a). Predictions of sediment yields are based on a significant relation to Arnoldus\nerosivity index. In 1968, Eucalyptus occidentalis Engl. was planted in the catchment that was harvested\nin 1978 (b) (photo by M. Raglione, from Avolio et al., (1980)) and a second time in 1990 (c).\n\n159\n\n2.5\n\nSpatial extrapolation of Pu-239+240 derived estimates\n\n160\n\nRegionalization of the point erosion estimates was done to compare the sediment yields measured at\n\n161\n\nthe catchment's outlet with Pu-derived sediment yields. Therefore, generalized additive models (GAM)\n\n162\n\nwere fitted to the measured erosion estimates. GAMs can account for nonlinear relationships by\n\n163\n\ncoefficients that can be expanded as smooth functions of covariates. The smooth terms were modelled\n9\n\n\fhttps://doi.org/10.5194/egusphere-2022-1359\nPreprint. Discussion started: 20 December 2022\nc Author(s) 2022. CC BY 4.0 License.\n\n164\n\nby splines, and geographic coordinates (x and y) were modelled as a 2d spline. To prevent overfitting,\n\n165\n\nwe used the restricted maximum likelihood (REML) method with the R package mgcv (Wood, 2006).\n\n166\n\nAs spatial covariates, elevation, slope, aspect, flow accumulation, and scarce, discontinuous tree cover\n\n167\n\n(as 0 and 1 categorical variables, see Fig. 1) were tested. These covariates were derived from a DEM\n\n168\n\nwith 3m spatial resolution using the terrain function from the raster package. Because of the small\n\n169\n\nsample size of 55 sites, only a maximum of three covariables could be added to the model. For cross-\n\n170\n\nvalidation (n=50) of the spatial prediction, the data were randomly split into 80% training and 20%\n\n171\n\ntesting data.\n\n172\n\n3\n\n173\n\n3.1\n\n174\n\nThe mean measured\n\n175\n\nThese atom ratios corresponded to the atom ratio found for the global fallout (Kelley et al., 1999) and\n\n176\n\nconfirmed global fallout as the sole source of Pu in the catchment.\n\n177\n\nThe three reference depth profiles Pu-239+240 activity at the reference site showed different shapes\n\n178\n\nwith soil depth (Supplementary Figure 1). While profile 2 displays the expected exponential decline\n\n179\n\nwith soil depth, profile 1 shows signs typically expected from erosional processes and profile 3 of\n\n180\n\ndepositional processes (Supplementary Figure 1). Therefore, only profile 2 was assessed to be suitable\n\n181\n\nfor extracting the shape of the depth distribution for the conversion procedure (Fig. 3a). The penetration\n\n182\n\ndepth of Pu-239+240 reached 205 kg m-2, corresponding to 26 cm soil depth (Fig. 3b). With an\n\n183\n\nexponential model fit of the PDM, we derived an h0 at 94 kg m-2, representing the point where half of\n\n184\n\nthe activity is stored. The mean Pu-239+240 reference inventory was estimated at 42.3+-3.5 Bq m-2.\n\n185\n\nThe fitted surface soil (0 cm) concentration was 0.45 Bq kg-1 (Fig. 3a).\n\nResults and Discussion\nPu-239+240 distribution at the reference sites\n240\n\nPu to\n\n239\n\nPu atom ratios at the reference and sampling sites were 0.179±0.03.\n\n10\n\n\fhttps://doi.org/10.5194/egusphere-2022-1359\nPreprint. Discussion started: 20 December 2022\nc Author(s) 2022. CC BY 4.0 License.\n\n186\n187\n188\n189\n190\n191\n\nFig. 3 (a) Pu-239+240 activity with soil mass depth measured at the reference site (selected profile 2).\nInv corresponds to the total inventory of the soil, and h0 to the shape factor of the exponential fit\n(orange). (b) Pu-239+240 activity with soil depth (cm). (c) Relation between Pu reference inventories\nand precipitation for studies in the Alps, Southern Germany (Schimmack et al., 2001; Alewell et al.,\n2014; Meusburger et al., 2018).\n\n192\n\nThe Pu-239+240 measurements of the 19 bulk reference soil cores showed a bimodal distribution with\n\n193\n\nsix high inventories clustering at a mean of 40.2 +- 4.4 Bq m-2 and 13 low inventories of 15.0 +- 2.8 Bq\n\n194\n\nm-2. The Pu-239+240 activities of the bulk soil cores with low inventories had values <0.043 Bq kg-1,\n\n195\n\nclose to the detection limit, and the standard deviation of replicate measurement of these samples was\n\n196\n\nhigh. To verify the plausibility of these low inventories, we calculated the Pu to Cs activity ratios. For\n\n197\n\nEuropean soil samples, the activity ratio of Pu to Cs (with Cs being decay corrected to 2014) is expected\n\n198\n\nbetween 81 and 24 (Meusburger et al., 2020). However, the low inventory bulk cores had mean Pu/Cs\n\n199\n\nratios of 156, which is clearly outside this range. A possible explanation for these very low Pu values\n\n200\n\nin the reference site might be due to the mixing and dilution of deeper layers with no Pu activity into\n\n201\n\nthe bulk reference soil cores. Therefore, these low reference bulk samples were removed from further\n\n202\n\nanalysis. Bulking of Pu samples causing a dilution of the Pu activity should be avoided, particularly in\n\n203\n\nareas of high erosion or low initial fallout (Wilken et al., 2021). Here, we were able to resolve the\n\n204\n\ndilution problem due to the availability of Cs-137 data, as the Cs-137 to Pu-239+240 activity ratios\n\n205\n\nwere valuable in identifying the suitability of the reference samples. The plausibility of the Pu inventory\n\n206\n\nwas further underpinned when the inventory was related to the mean annual precipitation of other\n\n207\n\npublished European studies (Fig. 3c). The few published Pu inventories in Europe (Schimmack et al.,\n\n208\n\n2001; Alewell et al., 2014; Meusburger et al., 2018) show a linear relation to mean annual precipitation\n\n209\n\nwith 77, 67, 58 Bq m-2 for 1650, 1450, 950 mm of rainfall. The high inventory of this study of 40.2 Bq\n\n210\n\nm-2 plots on the linear relation (Fig. 3c), while the low inventory of 15 Bq m-2 is below the expected\n11\n\n\fhttps://doi.org/10.5194/egusphere-2022-1359\nPreprint. Discussion started: 20 December 2022\nc Author(s) 2022. CC BY 4.0 License.\n\n211\n\namount given the catchment's mean annual precipitation. Taking the depth distribution reference and\n\n212\n\nonly the six high inventories of bulk soil cores into account, the mean reference inventory of the soil\n\n213\n\nprofiles was 40.5 +- 3.5 Bq m-2 with a coefficient of variation of 8.6%.\n\n214\n\nAll in all, following the above-described procedure, the Pu-239+240 reference inventories had a small\n\n215\n\nspatial variability with a CV of <9%. For Cs-137, the CV was 11.6% in the same reference area (see\n\n216\n\nPorto and Callegari, 2022). The spatial variability of Pu in reference sites was comparable to previous\n\n217\n\nstudies (Alewell et al., 2014; Meusburger et al., 2016).\n\n218\n\n3.2\n\n219\n\nThe Pu-239+240 activities at the sampling sites ranged from 0.001 to 0.143 Bq kg-1 with a mean of\n\n220\n\n0.066 Bq kg-1. The uncertainties of repeated ICP-MS measurements increase with decreasing activities\n\n221\n\nfrom the smallest SD of 0.0004 Bq kg-1 to the largest of 0.067 Bq kg-1 corresponding to <1% to larger\n\n222\n\n>100% of the measured activity with a median of 20%.\n\n223\n\nThe respective mean Pu-239+240 inventories for all 55 sites were 16.8 Bq m-2 with a spatial SD of\n\n224\n\n±10.2 Bq m-2, thus less than half of the reference inventory. Given the uncertainty bounds, all\n\n225\n\ninventories, except for four sites, were significantly smaller than the reference inventory, indicating soil\n\nCatchment inventories and soil redistribution rates at sampling points\n\n226\n\nerosion (Fig. 4a). One site close to the catchment outlet had a very high Pu-239+240 inventory of 111\n\n227\n\nBq m-2 exceeding the reference inventory by almost three times (Fig. 4a). The Pu-239+240 inventories\n\n228\n\nare significantly (p<0.001) correlated to the Cs-137 inventories with 24.7 times more Bq m-2 for Cs-\n\n229\n\n137 (Fig. 4b). The Cs/Pu activity ratios of the catchment sites were at the lower range of the plausible\n\n230\n\nfallout range (between 23.9 = global and 81.3 = Chernobyl) with a mean value of 24.7. The activity\n\n231\n\nratios are significantly (p<0.005) decreasing with decreasing erosion rates even though Rsq of the\n\n232\n\nregression is with 0.15 very low (Fig. 4c).\n\n233\n\nThis depletion in Cs-137 pointed towards a preferential loss of Cs-137 during soil loss. A possible\n\n234\n\nexplanation might be that Cs-137 is transported with different soil particles as Pu, which are more\n\n235\n\nsusceptible to soil erosion. It is known that Pu-239+240 exhibits a different sorption behaviour to soil\n\n236\n\nparticles compared to, e.g. Cs-137. Pu is mainly associated with organic matter and sesquioxides in\n\n237\n\naddition to clay particles, whereas Cs-137 is predominantly bound to the fine mineral clay fraction\n\n238\n\n(Lujaniene et al., 2002; Qiao et al., 2012; Meusburger et al., 2016; Xu et al., 2017). As a consequence,\n\n239\n\nPu-239+240 is more exchangeable and might more easily migrate downward in soils (Schimmack et\n\n240\n\nal., 2001; Meusburger et al., 2016). This different sorption behaviour may result in different depth\n\n241\n\ndistributions, which have important implications for its use as a soil erosion tracer, e.g. regarding the\n\n242\n\nconversion of measured FRN inventory changes into soil redistribution rates. Further, it may also have\n\n243\n\nimplications regarding interpreting Cs-137 to Pu-239+240 activity ratios that may be shifted outside the\n\n244\n\nexpected ranges at sites affected by soil redistribution.\n12\n\n\fhttps://doi.org/10.5194/egusphere-2022-1359\nPreprint. Discussion started: 20 December 2022\nc Author(s) 2022. CC BY 4.0 License.\n\n245\n\n246\n247\n248\n249\n250\n251\n252\n253\n\nFig. 4 (a) Pu-239+240 inventories with measurement errors in relation to sample ID (points) and the\nreference inventory (orange line with ribbon). (b) Relation between Pu-239+240 and Cs-137 inventories\n(error bars indicate the measurement error for Pu) with a linear trend line. (c) Activity ratio of Cs to Pu\nversus erosion rate. (d) Measured sediment yield at catchment outlet (Yield), Pu-derived erosion rates\nbased on measured inventories within the catchment (siteY) and as a mean of the repeated conversion\nresults (meanY), and mean of regionalized catchment Pu-derived erosion rates (predY). Orange points\nand text show the mean values of each approach.\n\n254\n\n3.3\n\n255\n\nComparison of Pu-239+240 derived soil redistribution rates and sediment yield of\nthe catchment\n\n256\n\nWe produced three sets of Pu-derived soil redistribution rates using i) direct conversion of the site\n\n257\n\ninventories (siteY) and ii) the average of 100 Monte Carlo conversion models per site generated by\n\n258\n\nsampling within the uncertainty ranges of all input parameters (meanY) and iii) regionalized estimates\n13\n\n\fhttps://doi.org/10.5194/egusphere-2022-1359\nPreprint. Discussion started: 20 December 2022\nc Author(s) 2022. CC BY 4.0 License.\n\n259\n\nfor the catchment (predY). For the point estimates will refer to these meanY in the following because\n\n260\n\nthe uncertainty related to the entire procedure is included in this second set of redistribution rates.\n\n261\n\nSoil redistribution rates were highly variable within the catchment (Fig. 5). The highest soil loss with\n\n262\n\n43 ± 20 t ha-1 yr-1 occurred in the upper part with patchy tree cover. Generally, the sites with scarce tree\n\n263\n\ncover and adjacent sites showed the highest soil erosion rates. Downslope and towards the outlet of the\n\n264\n\ncatchment, the erosion rates decrease. Close to the outlet, soil deposition of 18.7 ± 2.0 t ha-1 yr-1 was\n\n265\n\nobserved in one measurement point (W2_29). The deposition rate is, however, difficult to quantify\n\n266\n\nwithout knowledge of the respective soil source area or a Pu depth profile in the deposition site. The\n\n267\n\naverage of all measured site redistribution rates (siteY) indicated erosion of -22.2 t ha-1 yr-1 with a spatial\n\n268\n\nstandard deviation of ± 21.1 t ha-1 yr-1. On average, the standard deviation, derived from repeated Monte\n\n269\n\nCarlo conversions, of these redistribution rates were 7.2 t ha-1 yr-1, with a slightly lower median of the\n\n270\n\nstandard deviations of 4.2 t ha-1 yr-1 corresponding to a mean CV of 45% and a median CV of 36%.\n\n271\n\nGenerally, higher erosion estimates are subject to higher standard deviations resulting from higher\n\n272\n\nuncertainties for measuring low Pu activities. Excluding these measurement uncertainties from the\n\n273\n\nMonte Carlo conversion reduced the CV of the erosion estimates to mean and median CVs of 19% and\n\n274\n\n13%, respectively.\n\n275\n\nThe XY-coordinates, elevation, and flow accumulation best explained the spatial pattern of soil\n\n276\n\nredistribution rates. The deviance explained with these two spatial covariates was 56.7%, with lower\n\n277\n\naccuracy of 24% for the cross-validation procedure. The spatial pattern of the predicted soil\n\n278\n\nredistribution rates showed erosion in most of the catchment (Fig. 5). Only in grid cells with high flow\n\n279\n\naccumulation deposition occurred. The average redistribution rate from the grid cells (predY) amounted\n\n280\n\nto -20.7 t ha-1 yr-1 (Fig 4d). Given the measured sediment yield at the outlet (Yield) of -18.2 t ha-1 yr-1,\n\n281\n\nthis corresponds to a 14% overestimation of soil loss by the Pu method (Fig 4d). The sediment yield\n\n282\n\n(Yield) corresponds to the off-site net erosion over time while the Pu-derived rates (siteY, meanY and\n\n283\n\npredY) to the on-site erosion over space. Their correspondence indicates that most of the on-site eroded\n\n284\n\nsediments are delivered to the outlet of the stream channel within the considered period.\n\n14\n\n\fhttps://doi.org/10.5194/egusphere-2022-1359\nPreprint. Discussion started: 20 December 2022\nc Author(s) 2022. CC BY 4.0 License.\n\n285\n286\n287\n288\n\nFig. 5 Soil redistribution rates assessed with Pu-derived soil redistribution rates (points) and spatial\nprediction of soil redistribution rates based on these point rates using XY-coordinates, elevation and\nflow accumulation as spatial covariates.\n\n289\n\nThe Pu-derived soil erosion rates in the catchment were very high, with maximum values <-40 t ha-1 yr-\n\n290\n\n1\n\n291\n\nexceptional rainfall events (Porto et al., 2018; Porto et al., 2022). The sediment yield time series reveals\n\n292\n\nthat besides the rainfall erosivity, particularly the second harvest of eucalyptus trees (1990), triggered\n\n293\n\nsoil erosion. The soil conservation effect of the eucalyptus trees was also revealed by the lower Pu\n\n294\n\ninventory and, therefore, higher soil losses in the catchment area with scarce tree cover. The protective\n\n295\n\neffect of trees (Sorriso-Valvo et al., 1995; Zhou et al., 2002) and vegetation cover, in general, was also\n\n296\n\nfound in other studies and reviewed by Zuazo and Pleguezuelo (2009). Flow accumulation, a proxy for\n\n297\n\nrunoff concentration in a catchment, was an important predictor of soil erosion patterns. Interestingly,\n\n298\n\nthe relationship was negative with lower soil losses and higher chances for deposition with increasing\n\n299\n\nflow accumulation. A reason for this was likely the collinearity between decreasing slopes with\n\n300\n\nincreasing flow accumulation, reducing the sediment transport capacity (Xiao et al., 2017). Still, flow\n\n301\n\naccumulation performed better than alternative GAM models, including slope.\n\n302\n\nMean Pu-239+240-based mean soil redistribution rates were -20.7 t ha-1 yr-1 and 14% higher as\n\n303\n\nmeasured sediment yields at the catchment outlet. Given both methods' uncertainties and variability,\n\n304\n\ncomparable magnitudes were achieved. In a recent study, Porto and Callegari (2022) found Cs-137\n\n305\n\nredistribution mean rates of -20.4 t ha-1 yr-1. The Cs-137 and Pu-239+240 derived soil redistribution\n\n306\n\nrates are in good agreement.\n\n. However, documented soil erosion peaks in this area can reach up to 100–150 t ha-1 yr-1 during\n\n15\n\n\fhttps://doi.org/10.5194/egusphere-2022-1359\nPreprint. Discussion started: 20 December 2022\nc Author(s) 2022. CC BY 4.0 License.\n\n307\n\n4\n\nConclusion\n\n308\n\nRecent measurements of Pu-239+240 in a catchment in Southern Italy provided essential insights into\n\n309\n\nthe suitability of the Pu-239+240 technique to estimate soil erosion rates. We also rigorously tested the\n\n310\n\nuncertainties involved in the approach. In our case study, the highest uncertainty resulted from the high\n\n311\n\nmeasurement uncertainty of low inventory samples, with a median CV of 21% and high measurement\n\n312\n\nuncertainty of <1% – 100%. This high uncertainty can, for future studies, be minimized by (i) taking\n\n313\n\nincremental soil depth samples, avoiding dilution with deeper horizons of low-activity soil and (ii)\n\n314\n\nextracting Pu on larger soil samples (~20g). Based on values with adequate measurement certainty, the\n\n315\n\nPu-239-240 technique showed a low spatial variability of the reference inventory (CV <9%) and the\n\n316\n\nshape of the Pu distribution within the soil profile proved stable adsorption to the topsoil. Patterns of\n\n317\n\ninventory loss were related to soil redistribution processes, with the best spatial predictors being tree\n\n318\n\ncover and flow accumulation. The Pu-assessed redistribution rates were in agreement with Cs-137-\n\n319\n\nderived rates and sediment yield measurements at the catchment outlet.\n\n320\n\nIncreasing climatic extremes associated with more intense farming practices endanger our soil\n\n321\n\nresources, and new tools to monitor soil losses are of utmost importance. So far, the tracer Cs-137 has\n\n322\n\nbeen a powerful approach to assess soil redistribution rates since its fallout. However, alternative tracers\n\n323\n\nare needed in light of the subsequent decay of Cs-137 approaching the detection limit. The Pu-239-240\n\n324\n\ntechnique works analogue to the Cs-137 technique. We conclude that Pu-239+240, with its considerably\n\n325\n\nlonger half-life, is a suitable and promising soil redistribution tracer.\n\n326\n\n16\n\n\fhttps://doi.org/10.5194/egusphere-2022-1359\nPreprint. Discussion started: 20 December 2022\nc Author(s) 2022. CC BY 4.0 License.\n\n327\n\nData availability\n\n328\n\nThe authors declare that all other data supporting the findings of this study are available within the\n\n329\n\narticle and its Supplementary Information files.\n\n330\n\nAcknowledgements\n\n331\n\nWe thank the University of Cadiz for the measurement of Pu-239+240 on the ICP-MS.\n\n332\n\nAuthor information\n\n333\n\nContributions\n\n334\n\nK.M., C.A, and P. P. conceptualized the study. P.P. collected the samples, J.K.-W. measured them and\n\n335\n\ncalculated the measurement uncertainties. K.M. and P.P. did the data analysis. K.M. wrote the\n\n336\n\nmanuscript, and all co-authors contributed to the writing process.\n\n337\n\nCompeting interests\n\n338\n\nThe authors declare no competing financial interests.\n\n339\n\n17\n\n\fhttps://doi.org/10.5194/egusphere-2022-1359\nPreprint. Discussion started: 20 December 2022\nc Author(s) 2022. CC BY 4.0 License.\n\n340\n\nAppendix\n\n341\n342\n343\n344\n345\n346\n\nFigure A1: Pu-239+240 activity with soil mass depth measured at three potential reference sites. Inv\ncorresponds to the total inventory of the soil, and h0 to the shape factor of the exponential fit (orange).\nProfile 3 was fitted with and without deposition layers. The standard deviation of the depth distribution\nand h0 factor of profiles 1, 2 and 3 (without deposition) was used for the uncertainty assessment in the\nconversion model.\n\n347\n\n18\n\n\fhttps://doi.org/10.5194/egusphere-2022-1359\nPreprint. Discussion started: 20 December 2022\nc Author(s) 2022. CC BY 4.0 License.\n\n348\n\nReferences\n\n349\n350\n351\n\nAlewell, C., Meusburger, K., Juretzko, G., Mabit, L., and Ketterer, M. 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Dexamethasone enhances the lung metastasis of breast cancer via a PI3K-SGK1-CTGF pathway
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Oncogene
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Received: 11 November 2020 Revised: 25 June 2021 Accepted: 5 July 2021
Published online: 16 July 2021
1State Key Laboratory of Biotherapy and Cancer Center, West China Hospital, Sichuan University, Chengdu, PR China. 2Department of Biotherapy, Cancer Center, West China
Hospital, Sichuan University, Chengdu, Sichuan, PR China. 3Innovent Biologics, Inc, Suzhou, Jiangsu, PR China. 4Research Unit of Gene and Immunotherapy, Chinese Academy of
Medical Sciences, Beijing, PR China. 5These authors contributed equally: Yujing Zhang, Gang Shi, Hantao Zhang. ✉email: shuang.zhang@scu.edu.cn; denghongx@scu.edu.cn Oncogene Oncogene www.nature.com/onc ARTICLE
OPEN
Dexamethasone enhances the lung metastasis of breast cancer
via a PI3K-SGK1-CTGF pathway
Yujing Zhang1,5, Gang Shi1,5, Hantao Zhang1,5, Qi Xiong1, Fuyi Cheng1, Huiling Wang1, Jieyan Luo2, Yong Zhang2, Pengyi Shi1, Jia Xu1,
Jiamei Fu1, Na Chen1, Lin Cheng1, Yiming Li1, Lei Dai1, Yang Yang1, Dechao Yu1,3, Shuang Zhang
1,2✉and Hongxin Deng
1,4✉ © The Author(s), under exclusive licence to Springer Nature Limited 2021 © The Author(s), under exclusive licence to Springer Nature Limited 2021 Dexamethasone (Dex), as a pretreatment agent, is widely used to attenuate the side effects of chemotherapy in breast cancer
treatment. However, whether and how Dex affects breast cancer metastasis remain to be furtherly understood. In this study, we
established several mouse breast cancer metastatic models to study the effect of Dex in vitro and in vivo. Transwell, Western Blot
and RNA interference were applied to study the molecular mechanism of Dex in promoting breast cancer cell migration. Meanwhile, the effect of Dex on lung metastasis of breast cancer in Dex combined with PTX chemotherapy was discussed. Our
results confirmed that Dex could promote breast cancer cell metastasis both in vitro and in vivo. Mechanistic studies revealed that
this pro-metastatic effect of Dex was mediated by the GR-PI3K-SGK1-CTGF pathway in tumor cells. Ligation of Dex and
glucocorticoid receptor (GR) on tumor cells activated the PI3K signaling pathway and upregulated serum glucocorticoid-inducible
kinase 1 (SGK1) expression, and then increased the expression of connective tissue growth factor (CTGF) through Nedd4l-Smad2. Moreover, Dex was the leading factor for lung metastasis in a standard regimen for breast cancer treatment with paclitaxel and Dex. Importantly, targeting SGK1 with the inhibitor GSK650394 remarkably reduced lung metastasis in this regimen. Our present data
provide new insights into Dex-induced breast cancer metastasis and indicate that SGK1 could be a candidate target for the
treatment of breast cancer metastasis. Oncogene (2021) 40:5367–5378; https://doi.org/10.1038/s41388-021-01944-w Oncogene (2021) 40:5367–5378; https://doi.org/10.1038/s41388-021-01944-w Received: 11 November 2020 Revised: 25 June 2021 Accepted: 5 July 2021
Published online: 16 July 2021 INTRODUCTION lymphokine production [7–9]. Meanwhile, Dex could also affects
cancer cell directly, which contributes to marked diversity in
biological behavior of many solid cancers. Dex can increase
apoptosis in lymphomas and other hematologic malignancies [10]. However, Dex increases glucocorticoid receptor (GR)-mediated
reporter activity and cell proliferation while inhibiting apoptosis
and cell invasion by suppressing the expression of MMP-2/ MMP-
9, IL-6 and inducing mesenchymal-to-epithelial transition (MET) in
human bladder cancer lines [11]. Furthermore, some clinical trials
have
been
already
performed
to
evaluate
the
impact
of
dexamethasone on the survival of cancer patients. According to
the results of recent study, preoperative dexamethasone treat-
ment was associated with higher rate of distant recurrence in
colon cancer patients [12]. Malignant tumors are characterized by their ability to metastasize,
and several discrete steps included cellular adhesion loss,
increased migration ability, entry in the circulation, escape from
immune surveillance, and eventual colonization of a distant site. In
addition to individual genetic heterogeneity, the multiple drugs
involved in treatment may be associated with cancer metastasis
[1–3]. More recently, A growing body of literature has emerged,
which
offers
contradictory
finding
that
chemotherapy
and
adjuvant drugs exert cytotoxicity while increase cancer metastasis
[4, 5]. However, our understanding of the potential molecular
mechanisms and signaling pathways underlying these phenotypic
changes is still fragmentary. Glucocorticoid such as dexamethasone are among the most
commonly prescribed immunosuppressive agent widely used in
inflammatory diseases [6]. Dexamethasone is also commonly used
to treat patients with cancer to combat the side effects of
chemotherapy (such as nausea, vomit, edema, allergic reactions)
and to treat symptoms related to advanced cancer. However, the
effects of Dex are double edged, and considerable concerns have
been expressed regarding the widespread use in solid tumors. It is
well known that Dex induces significant generalized immunosup-
pression,
which
is
associated
with
suppressed
lymphocyte
proliferation,
impaired
natural
killer
cells,
and
decreased Breast cancer is the most common malignancies in women and
the leading cause of death globally [13, 14]. Prior studies have
suggested that the activation of the glucocorticoid receptor
promoted breast cancer metastasis, which correlate with reduced
survival in patient-derived xenograft models in mice [15]. There-
fore, it is necessary to investigate whether and how dexametha-
sone, frequently used in the management of breast cancer, affects
the overall survival and other outcomes,
which addresses
concerns
about
its direct
effects
against
tumor
cells and
immunosuppressive properties. Y. Zhang et al. ex promotes metastasis through the PI3K pathway Dex promotes metastasis through the PI3K pathway
Epithelial-mesenchymal transition (EMT) is a key step in tumor
metastasis [23, 24]. Nevertheless, in our study, Dex did not alter
the EMT process (Supplementary Fig. S3A, B), and we speculated
that other mechanisms are involved in regulation of Dex-induced
metastasis. To provide an overall insight into Dex-induced
metastasis,
transcriptome
sequencing
was
performed
in
4T1 cells treated with Dex. As shown in Fig. 3, matrix analysis
between the two groups yielded distinct expression profile (Fig. 3A). A total of 5989 genes were screened based on a P-adjusted
value of <0.05, which contained 3358 upregulated genes and
2631 downregulated genes (Fig. 3B). Furthermore, KEGG analysis
with differentially expressed genes (P < 0.05) revealed that PI3K-
Akt, mTOR and FoxO signaling pathways were significantly
enriched (Fig. 3C). Given the crosstalk among these three
pathways, an analysis of overlapped genes was conducted and
16 genes were identified, including SGK1 and PI3K (Pik3cb,
Pik3ca, Pik3r1) (Fig. 3D), Previous studies have shown that SGK1 is
a downstream effector of PI3K [25–28]. As a consequence, we
speculated that PI3K-SGK1 might be responsible for Dex-induced
metastasis. Dex treatment increased the activation level of PI3K
in vitro (Fig. 3E), and wortmanin, the PI3K inhibitor, reduced Dex-
induced cell migration (Fig. 3F) without affecting the proliferation
of 4T1 cells (Supplementary Fig. S4), indicating that Dex
promoted cell migration through the PI3K pathway. Meanwhile,
consistent result was observed using another PI3K inhibitor
GDC0941 (Supplementary Fig. S5). A previous study has reported
that Dex promotes breast cancer metastasis via the Wnt pathway
and its downstream gene, tyrosine-protein kinase transmem-
brane receptor ROR1, which was also upregulated in our study
[15]. However, PI3K inhibition did not change ROR1 expression
(Fig. 3G). These results suggested that the PI3K pathway may be a
new and independent mechanism in Dex-induced metastasis. Dex increases the migration ability of breast cancer cells Dex increases the migration ability of breast cancer cells
Anti-inflammatory
and
immunosuppressive
effects
are
two
benefits of Dex treatment in clinical use [16]. Based on the
important role of immune surveillance in inhibition of metastasis
[17–19], we determined whether metastasis was caused by the
immunosuppressive capacity of Dex. Results showed that Dex
could still promote lung metastasis by 4T1 cells in immune-
deficient mice (Fig. 2A, B), indicating that prometastatic effect was
independent of immunosuppressive ability of Dex. Hence, these results indicated a new mechanism of Dex-
induced metastasis, which might rely on the PI3K pathway and
might involve SGK1 and CTGF. p
pp
y
We proposed that Dex might directly affect tumor cells. To this
end, we treated tumor cells with Dex in vitro. The results of
Transwell assays showed that Dex exacerbated the migratory
ability of 4T1 cells (Fig. 2C). To study whether persistent treatment
was essential for the pro-metastatic effects of Dex, 4T1 cells were
pre-treated with Dex for 48 h and then used for Transwell assays. The data suggested that 4T1 cells with pre-treatment also
demonstrated stronger migration ability (Fig. 2D). Moreover, the
invasive ability of 4T1 cell was not altered by Dex (Fig. 2E), and
irrespective of estrogen receptor (ER) status, Dex treatment did
not affect the proliferation and colony-forming capacities of breast
cancer cells in the absence of estrogen stimulation (Supplemen-
tary Fig. S2A, B). INTRODUCTION 5368 indicated that Dex could directly promote breast cancer cell
migration via GR signaling pathway. Our research examined the emerging role of Dex in the context
of breast cancer metastasis. We demonstrated that Dex could
promote the migration of breast cancer cells through SGK1-CTGF
signaling, and that ablation of SGK1 or CTGF reduced metastatic
outgrowth and prolonged survival in mouse models. Our results
aim to elucidate the mechanism of Dex in regulating breast cancer
metastasis, which provides theoretical basis and experimental
data for clinical strategy. RESULTS
D Dex promotes lung metastasis of mouse 4T1 breast cancer
We established the orthotopic 4T1 murine mammary carcinoma
model to detect the effect of Dex. When tumor volumes reached
50–100 mm3, mice were treated with Dex following a schedule
(Fig. 1A). The results showed that compared with the control
group, Dex had no effects on either tumor growth or weight (Fig. 1B, C). However, mice treated with Dex demonstrated shorter
survival (Fig. 1D). As cancer metastasis is a pivotal lethal factor, to
verify this hypothesis, we investigated lung metastasis after Dex
treatment. The results
showed
that
administration
of
Dex
remarkably increased the number of lung metastases (Fig. 1E). Further histological evaluation also confirmed these results
(Fig. 1F). g
In order to further investigate the pro-metastatic effects of
Dex,
we
established
experimental
metastasis
model
by
intravenous
injection
of
4T1-luc
cells
and
treated
mice
following the schedule (Fig. 1G). The data showed that Dex
treatment enhanced the implantation of tumor cells in the lung
(Fig. 1G, H). A similar conclusion was also achieved through
analysis of metastatic tumor nodes (Fig. 1I, J). Next, we asked if
this effect was difference due to the species difference of
tumor cells, a human breast cancer line, MDA-MB-231, was
tested and the results suggested that Dex exhibited a similar
pro-metastatic
effect
in
a
human
breast
cancer
model
(Supplementary Fig. S1A–C). Based on the results presented in Supplementary Figs. S3 and
2E, it was found that Dex has little effect on EMT and invasion by
breast cancer cells. Therefore, we speculate that Dex may promote
tumor metastasis by affecting tumor cell adhesion. Studies have
suggested that tumor cell adhesion is a prerequisite for tumor
metastasis. Here, 17 genes, including CTGF and integrin-related
genes, were
identified according
to overlap
involving cell
adhesion, cell-matrix adhesin, and cell migration (Fig. 3H). We
selected CTGF as a potential target because it is associated with
cell differentiation, proliferation, and metastasis [29–31] (Fig. 3I). These results demonstrated that Dex can enhance metastasis
and reduce overall survival in both experimental and orthotopic
mouse models. SGK1 mediated breast cancer metastasis Based on the above findings, we first determined SGK1 expression
in cells with Dex treatment. Both mRNA and protein levels of SGK1
were upregulated in mouse and human breast cancer cell lines
treated with Dex (Fig. 4A, Supplementary Fig. S6A). Moreover,
SGK1 expression in 4T1 orthotopic tumor tissue was also
augmented after Dex treatment (Fig. 4B). To clarify whether
SGK1 was regulated by PI3K, which was indicated by sequence
analysis, we inhibited PI3K with wortmanin [32], and found that
wortmanin suppressed the increased expression of SGK1 caused
by Dex treatment (Fig. 4C), suggesting that Dex upregulated the
expression of SGK1 via PI3K signaling. We then explored the effects of SGK1 on Dex-induced
metastasis. GSK650394, a SGK1 inhibitor, significantly inhibited
SGK1 expression and Dex-induced cell migration (Supplemen-
tary Fig. S7B and Fig. 4D) but with no effects on cell
proliferation (Supplementary Fig. S7A). Similar results were also
observed with human breast cancer cells (Supplementary Fig. The biological effects of Dex are mediated through binding to
GR [20–22], and treatment with the GR inhibitor mifepristone
(MedChemExpress, New Jersey, USA) could effectively inhibit the
expression of GR in 4T1 cells (Fig. 2F) and reduced tumor cell
migration induced by Dex in both 4T1 cells (Fig. 2G) and human
breast cancer cells (Fig. 2H–J). Taken together, these results Oncogene (2021) 40:5367 – 5378 g. 1
Dex exacerbates breast cancer lung metastasis in vivo. A Mice treatment scheme. B Tumor volume (n = 6 mice per group). C Tumor
weight at the end point (n = 6 mice per group). D Overall survival (n = 10 mice per group). E Number of metastases on lung surface (n = 6
mice per group). F Typical H&E staining of lung. Mice were treated as scheme and lung metastasis was evaluated on day 3, 5, 7 after
noculation by in vivo bioluminescence (n = 5 mice per group), image of bioluminescence (G) and statistics of average radiance (H) were
howed. I Typical mouse lung tissue fixed with Bouin’s fixation. J Number of metastases on lung surface in 4T1-luc experimental metastasis
model (n = 5 mice per group). Mean ± SEM is shown. *p < 0.05, **p < 0.01, ***p < 0.001; ns no statistical significance. Y. Zhang et al. Y. Zhang et al. 5369 Fig. 1
Dex exacerbates breast cancer lung metastasis in vivo. A Mice treatment scheme. B Tumor volume (n = 6 mice per group). SGK1 mediated breast cancer metastasis C Tumor
weight at the end point (n = 6 mice per group). D Overall survival (n = 10 mice per group). E Number of metastases on lung surface (n = 6
mice per group). F Typical H&E staining of lung. Mice were treated as scheme and lung metastasis was evaluated on day 3, 5, 7 after
inoculation by in vivo bioluminescence (n = 5 mice per group), image of bioluminescence (G) and statistics of average radiance (H) were
showed. I Typical mouse lung tissue fixed with Bouin’s fixation. J Number of metastases on lung surface in 4T1-luc experimental metastasis
model (n = 5 mice per group). Mean ± SEM is shown. *p < 0.05, **p < 0.01, ***p < 0.001; ns no statistical significance. S8A, B). It was found that in 4T1 cells with SGK1 knockout using
CRISPR/Cas9 could effectively inhibited the enhancement of cell
adhesion and migration caused by Dex in 4T1 cells (Supple-
mentary Fig. S9A, B). To further study the effects of SGK1 in vivo,
we established a spontaneous lung metastasis model in
4T1 cells in situ, and treated mice with GSK650394 following
a defined schedule (Fig. 4E). The results showed that, although
GSK650394 could inhibit SGK1 expression in vivo (Supplemen-
tary Fig. S7C, D), it did not affect tumor growth (Fig. 4F) or
weight (Supplementary Fig. S10A), whereas the number of
metastases on the lung surface in the Dex+GSK group was S8A, B). It was found that in 4T1 cells with SGK1 knockout using
CRISPR/Cas9 could effectively inhibited the enhancement of cell
adhesion and migration caused by Dex in 4T1 cells (Supple-
mentary Fig. S9A, B). To further study the effects of SGK1 in vivo,
we established a spontaneous lung metastasis model in
4T1 cells in situ, and treated mice with GSK650394 following
a defined schedule (Fig. 4E). The results showed that, although
GSK650394 could inhibit SGK1 expression in vivo (Supplemen-
tary Fig. S7C, D), it did not affect tumor growth (Fig. 4F) or
weight (Supplementary Fig. S10A), whereas the number of
metastases on the lung surface in the Dex+GSK group was significantly decreased compared with that in the Dex-only
group (Fig. 4G and Supplementary Fig. S10B, C). Furthermore, in
an experimental metastasis model (Supplementary Fig. S11A),
SGK1 inhibition remarkably suppressed Dex-induced metastasis
(Fig. 4H, I and Supplementary Fig. S11B). As shown in Fig. SGK1 mediated breast cancer metastasis 2D,
once the breast cancer cells were primed, Dex maintenance was
not necessary for cell migration. In order to test whether this
effect was present in vivo, we treated mice following the
scheme (Supplementary Fig. S11C). As expected, 4T1 cells after
Dex pre-treatment exhibited more metastatic signals and nodes
in the experimental metastasis model, and pre-treatment with Oncogene (2021) 40:5367 – 5378 Y. Zhang et al. Fig. 2
Dex directly promotes the migration of breast cancer cells. A, B Orthotopic 4T1 model in BABL/c nude mice (n = 9 or 10 mice per
group). A Tumor growth (left) and tumor weight (right) were shown. B Metastases on lungs surfaces. C, D The migration assay of 4T1 cells in
different condition. C 100 nM Dex was added in the lower chamber of Transwell or D 4T1 cells were pretreated with 100 nM Dex for 48 h and
then were used for Transwell. E The invasion ability of 4T1 cells. F The GR expression of 4T1 cells treated with Dex/Mifepristone for 48 h. The
influence of GR inhibitor Mifepristone on migration assay of 4T1 cells (G) and human breast cancer cells including MCF-7 (H), MDA-MB-231 (I),
ZR-75-30(J). The scale bar is 25 μm. Mean ± SEM is shown. *p < 0.05, **p < 0.01, ***p < 0.001, ****p < 0.0001; ns no statistical significance. Y. Zhang et al. 5370 Fig. 2
Dex directly promotes the migration of breast cancer cells. A, B Orthotopic 4T1 model in BABL/c nude mice (n = 9 or 10 mice per
group). A Tumor growth (left) and tumor weight (right) were shown. B Metastases on lungs surfaces. C, D The migration assay of 4T1 cells in
different condition. C 100 nM Dex was added in the lower chamber of Transwell or D 4T1 cells were pretreated with 100 nM Dex for 48 h and
then were used for Transwell. E The invasion ability of 4T1 cells. F The GR expression of 4T1 cells treated with Dex/Mifepristone for 48 h. The
influence of GR inhibitor Mifepristone on migration assay of 4T1 cells (G) and human breast cancer cells including MCF-7 (H), MDA-MB-231 (I),
ZR-75-30(J). The scale bar is 25 μm. Mean ± SEM is shown. *p < 0.05, **p < 0.01, ***p < 0.001, ****p < 0.0001; ns no statistical significance. GSK650394 in vitro attenuated these effects (Fig. 4J, K,
Supplementary Fig. S11D). similar results (Fig. 5C). SGK1 mediated breast cancer metastasis In order to further investigate the role of
CTGF in metastasis, we successfully designed two shRNAs
targeting CTGF (Supplementary Fig. S12A, B). Results showed that
CTGF knockdown inhibited Dex-induced cell migration (Fig. 5D). In
an experimental metastasis model, 4T1 cells were pre-treated with
100 nM Dex for 48 h, and then used for intravenous injection. It
was found that CTGF knockdown significantly reduced pulmonary
tumor signals and metastatic nodes (Fig. 5E, F) and prolonged
mouse survival (Fig. 5G and Supplementary Fig. S13A–E). The
above results indicated that Dex promoted the metastasis of
4T1 cells through CTGF. y
Taken together, these data demonstrated that SGK1 was
required for Dex-induced metastasis. Dex promotes metastasis through upregulation of CTGF
expression The scale bar is 25 μm, n = 3 replicates. G The expression of ROR1 after Dex/ Wortmanin treatment for 48 h, n = 3
replicates. H Venn analysis of genes related to cell adhesion, cell-matrix adhesion and cell migration. I Heat map of differential genes related to
adhesion Mean ± SEM is shown ***p < 0 001 ****p < 0 0001; ns no statistical significance uencing analysis of 4T1 cells post Dex treatment. A Sample-to-sample distances heatmap, n = 3 replicates for each
differential gene expression C KEGG analysis of gene pathway D Overlap genes among PI3K-Akt mTOR and FoxO Fig. 3
Transcriptome sequencing analysis of 4T1 cells post Dex treatment. A Sample-to-sample distances heatmap, n = 3 replicates for each
group. B Volcano map of differential gene expression. C KEGG analysis of gene pathway. D Overlap genes among PI3K-Akt, mTOR and FoxO
signaling pathways. E The activation of PI3K in 4T1 cells after Dex (100 nM) treatment. F The influence of PI3K inhibitor Wortmanin on the
migration of 4T1 cells. The scale bar is 25 μm, n = 3 replicates. G The expression of ROR1 after Dex/ Wortmanin treatment for 48 h, n = 3
replicates. H Venn analysis of genes related to cell adhesion, cell-matrix adhesion and cell migration. I Heat map of differential genes related to
adhesion. Mean ± SEM is shown. ***p < 0.001, ****p < 0.0001; ns no statistical significance. expression (Fig. 6B), suggesting that CTGF expression was
regulated by SGK1. integrins Itgα6 and Itgβ1, and CTGF knockdown downregulated
these genes (Fig. 5H). g
g
Therefore,
these
data
suggested
that
upregulated
CTGF
expression and downstream integrin expression are responsible
for Dex-induced metastasis. To investigate mechanisms linking signals between SGK1 and
CTGF, analysis of multigene radar function in GCBI indicated that
Neddd4l (Nedd4 Like E3 Ubiquitin Protein Ligase) and Smad2/3
might play roles in regulating CTGF expression by SGK1 (Fig. 6C). Moreover, previous studies have reported that, in HEK293T cells,
Neddd4l binds to Smad2/3 to form a complex and subsequently
inhibits Smad2/3 signaling and expression of its downstream
genes (Smad7, Pai-1, and CTGF) [40]. While SGK1 can bind to, and
reduce the accumulation of, Nedd4l through phosphorylation
[41, 42], this evidence suggested that SGK1 might regulate CTGF
through Nedd4l and Smad2 in Dex-induced breast cancer
metastasis. To verify this hypothesis, 4T1 cells with SGK1 knockout Dex promotes metastasis through upregulation of CTGF
expression p
The cell adhesion molecules including selectin, cadherin, and
integrin are closely involved in cancer metastasis [33–36]. As
shown in Fig. 3H, I, we identified CTGF as a potential target in Dex-
induced metastasis. To verify this, we first determined CTGF
expression after Dex treatment. It was found that Dex treatment
upregulated both CTGF mRNA and protein levels in 4T1 cells (Fig. 5A), and an increased concentration of secretory CTGF was
observed in the supernatant (Fig. 5B). In addition, enhanced CTGF
after Dex treatment was observed in MDA-MB-231 human breast
cells (Supplementary Fig. S6B). Detection of CTGF in tumor tissue
in the 4T1 orthotopic model after Dex treatment also showed CTGF can act as an integrin ligand to mediate downstream
signals that regulate cytoskeletal and cell migration functions
[37–39]. Data
presented
in
Fig. 3I
suggest
an
increased
expression of integrin subunits after Dex treatment. To test
whether CTGF mediated the expression of integrin, we detected
mRNA expression of integrin subunit transcripts. The results
indicated that Dex treatment upregulated the expression of Oncogene (2021) 40:5367 – 5378 Y. Zhang et al. Fig. 3
Transcriptome sequencing analysis of 4T1 cells post Dex treatment. A Sample-to-sample distances heatmap, n = 3 replicates for each
group. B Volcano map of differential gene expression. C KEGG analysis of gene pathway. D Overlap genes among PI3K-Akt, mTOR and FoxO
signaling pathways. E The activation of PI3K in 4T1 cells after Dex (100 nM) treatment. F The influence of PI3K inhibitor Wortmanin on the
migration of 4T1 cells. The scale bar is 25 μm, n = 3 replicates. G The expression of ROR1 after Dex/ Wortmanin treatment for 48 h, n = 3
replicates. H Venn analysis of genes related to cell adhesion, cell-matrix adhesion and cell migration. I Heat map of differential genes related to
adhesion. Mean ± SEM is shown. ***p < 0.001, ****p < 0.0001; ns no statistical significance. Y. Zhang et al. 537 5371 Fig. 3
Transcriptome sequencing analysis of 4T1 cells post Dex treatment. A Sample-to-sample distances heatmap, n = 3 replicates for each
group. B Volcano map of differential gene expression. C KEGG analysis of gene pathway. D Overlap genes among PI3K-Akt, mTOR and FoxO
signaling pathways. E The activation of PI3K in 4T1 cells after Dex (100 nM) treatment. F The influence of PI3K inhibitor Wortmanin on the
migration of 4T1 cells. SGK1 regulates CTGF expression Based on the fact that both SGK1 and CTGF were involved in
the process of Dex-induced breast cancer metastasis, we
queried whether crosstalk exists between these two key genes. First, we detected CTGF expression in 4T1 cells with SGK1
knockout using CRISPR/Cas9. It was found that SGK1 knockout
downregulated CTGF expression at both the mRNA and protein
levels (Fig. 6A), and that CTGF knockdown did not affect SGK1 Oncogene (2021) 40:5367 – 5378 Y. Zhang et al. . 4
SGK1 mediates Dex-induced breast cancer metastasis. A The expression of SGK1 in 4T1 cells after Dex treatment. B The expressio
GK1 in 4T1 tumor tissue. C The SGK1 expression after Dex/Wortmannin treatment. D The influence of SGK1 inhibitor GSK650394 on
igration of 4T1 cells. The scale bar is 25 μm, n = 3 replicates. E Treatment scheme. F Tumor growth. (n = 8 mice per group). G The numbe
etastases on lung surface (n
8 mice per group) H I The effect of GSK650394 on experimental lung metastasis model H Representa
g 5372 Fig. 4
SGK1 mediates Dex-induced breast cancer metastasis. A The expression of SGK1 in 4T1 cells after Dex treatment. B The expression of
SGK1 in 4T1 tumor tissue. C The SGK1 expression after Dex/Wortmannin treatment. D The influence of SGK1 inhibitor GSK650394 on the
migration of 4T1 cells. The scale bar is 25 μm, n = 3 replicates. E Treatment scheme. F Tumor growth. (n = 8 mice per group). G The number of
metastases on lung surface (n = 8 mice per group). H, I The effect of GSK650394 on experimental lung metastasis model. H Representative
image of bioluminescence and statistics were shown (n = 3 mice per group). I The number of metastases on lung surface (n = 5 mice per
group). J, K 4T1 cells were treated with Dex/ GSK650394 in vitro for 48 h before inoculation via intravenous injection. J Representative image
of bioluminescence and statistics were shown (n = 3 mice per group). K The number of metastases on lung surface (n = 5 mice per group). Mean ± SEM is shown. *p < 0.05, **p < 0.01, ***p < 0.001, ****p < 0.0001. Oncogene (2021) 40:5367 – 5378 It was found that Dex did not influence the
antitumor effects of PTX (Fig. 7B). However, as shown in Fig. 7C, D,
compared with PTX treatment alone, mice receiving Dex+PTX
treatment showed greater numbers of metastatic nodes. PTX
treatment also increased breast cancer metastasis, which was
consistent with findings of previous studies [4, 5]. Notably, the
absence of variation between Dex and Dex+PTX treatments
demonstrated that Dex played a dominant role in breast cancer
metastasis caused by standard PTX chemotherapy. Furthermore,
despite effective tumor control by PTX chemotherapy, mice
treated with Dex+PTX exhibited the shortest overall survival
compared with the other groups (Fig. 7E). In an experimental
metastasis model, the Dex+PTX group also exhibited more
abundant tumor signals and nodes in the lung when compared
with PTX treatment alone (Fig. 7F, G). of Dex in breast cancer metastasis, and we tried to investigate the
effect of Dex in chemotherapy regimen containing PTX. Ortho-
topic 4T1-bearing mice were treated using regimen similar with
clinical practice (Fig. 7A), which Dex (3 mg/kg) was administered
before PTX injection. It was found that Dex did not influence the
antitumor effects of PTX (Fig. 7B). However, as shown in Fig. 7C, D,
compared with PTX treatment alone, mice receiving Dex+PTX
treatment showed greater numbers of metastatic nodes. PTX
treatment also increased breast cancer metastasis, which was
consistent with findings of previous studies [4, 5]. Notably, the
absence of variation between Dex and Dex+PTX treatments
demonstrated that Dex played a dominant role in breast cancer
metastasis caused by standard PTX chemotherapy. Furthermore,
despite effective tumor control by PTX chemotherapy, mice
treated with Dex+PTX exhibited the shortest overall survival
compared with the other groups (Fig. 7E). In an experimental
metastasis model, the Dex+PTX group also exhibited more
abundant tumor signals and nodes in the lung when compared
with PTX treatment alone (Fig. 7F, G). Collectively, SGK1 expression was upregulated by the PI3K
pathway activated by ligation of Dex and GR, and then SGK1
phosphorylated Nedd4l, which led to Smad2 release from the
suppressive Nedd4l-Smad2 complex, and subsequent upregula-
tion of CTGF, which finally promoted tumor metastasis (Fig. 6E). In
addition, analysis using the GSEA (Gene Set Enrichment Analysis)
database revealed that the expression of SGK1 and CTGF was
positively correlated in breast cancer (P < 0.001) (Fig. 6F). Y. Zhang et al. Fig. 5
Dex promotes metastasis through upregulation of CTGF expression. A The expression of CTGF in 4T1 cells after Dex treatment. B The
concentration of CTGF in 4T1 cell supernatant after Dex treatment (24 h). C The expression of CTGF in 4T1 tumor tissue. D The effect of CTGF
knockdown using shRNA on 4T1 cell migration, n = 3 replicates, the scale bar is 25 μm. E Representative image of bioluminescence and
average radiance in experimental lung metastasis (n = 3 mice per group). F Typical mouse lung tissue fixed with Bouin’s fixation and the
number of metastases on lung surface (n = 5 mice per group). G Survival (n = 6 mice per group). H The expression of Itgα6 and Itgβ1 in
4T1 cells in vitro, n = 3 replicates. Mean ± SEM is shown. *p < 0.05, **p < 0.01, ***p < 0.001; ns no statistical significance. g 5373 Fig. 5
Dex promotes metastasis through upregulation of CTGF expression. A The expression of CTGF in 4T1 cells after Dex treatment. B The
concentration of CTGF in 4T1 cell supernatant after Dex treatment (24 h). C The expression of CTGF in 4T1 tumor tissue. D The effect of CTGF
knockdown using shRNA on 4T1 cell migration, n = 3 replicates, the scale bar is 25 μm. E Representative image of bioluminescence and
average radiance in experimental lung metastasis (n = 3 mice per group). F Typical mouse lung tissue fixed with Bouin’s fixation and the
number of metastases on lung surface (n = 5 mice per group). G Survival (n = 6 mice per group). H The expression of Itgα6 and Itgβ1 in
4T1 cells in vitro, n = 3 replicates. Mean ± SEM is shown. *p < 0.05, **p < 0.01, ***p < 0.001; ns no statistical significance. were used for analysis, as shown in Fig. 6D. Total Nedd4l was
reduced after Dex treatment, which was accompanied by
increased p-Nedd4l levels, in addition, Dex treatment increased
p-Smad2 levels, and SGK1 knockout abolished these changes,
suggesting that CTGF was regulated by SGK1. of Dex in breast cancer metastasis, and we tried to investigate the
effect of Dex in chemotherapy regimen containing PTX. Ortho-
topic 4T1-bearing mice were treated using regimen similar with
clinical practice (Fig. 7A), which Dex (3 mg/kg) was administered
before PTX injection. Dex is a major factor in breast cancer metastasis in standard
PTX chemotherapy Hypersensitivity reaction to paclitaxel (PTX) is frequently encoun-
tered in cancer patients, and Dex has been shown to reduce
significantly the risk [43]. Our present data has proven the key role Oncogene (2021) 40:5367 – 5378 Y. Zhang et al. 5374 Fig. 6
SGK1 regulates CTGF expression. A The expression of CTGF after SGK1 knockout using CRISPR/Cas9, n = 3 replicates. B The expression
of SGK1 after CTGF knockdown using shRNA, n = 3 replicates. C Schematic diagram of the molecular regulatory network between SGK1 and
CTGF. D The expression of Nedd4l, p-Nedd4l, Smad2 and p-Smad2 after SGK1 knockout. E The mechanism of Dex-induced lung metastasis. F
The correlation between SGK1 and CTGF expression in breast cancer. Mean ± SEM is shown. ***p < 0.001, ****p < 0.0001; ns no statistical
significance. 4 Fig. 6
SGK1 regulates CTGF expression. A The expression of CTGF after SGK1 knockout using CRISPR/Cas9, n = 3 replicates. B The expression
of SGK1 after CTGF knockdown using shRNA, n = 3 replicates. C Schematic diagram of the molecular regulatory network between SGK1 and
CTGF. D The expression of Nedd4l, p-Nedd4l, Smad2 and p-Smad2 after SGK1 knockout. E The mechanism of Dex-induced lung metastasis. F
The correlation between SGK1 and CTGF expression in breast cancer. Mean ± SEM is shown. ***p < 0.001, ****p < 0.0001; ns no statistical
significance. Hence, our results showed that Dex was a leading factor that
promoted breast cancer metastasis in the standard PTX regimen,
which should raise concerns in clinical breast cancer treatment. malignancy and poor prognosis [44]. Single cytotoxic agent
chemotherapy remains the standard regimen for patients with
metastatic triple-negative breast cancer [45–47]. However, recent
studies indicated that some breast cancer patients underwent
metastasis after receiving treatment, and paclitaxel played a
“double-edged sword” role, which conferred both cytotoxic and
pro-metastatic effects in cancer cells [4, 5]. However, most
concerns surrounding metastasis are focussed on the drug itself
or genetic mechanisms, and the role of adjuvant drugs is less well
known. In the present study, we provided evidence that Dex, an
adjuvant drug widely used to reduce adverse reactions to
chemotherapy, could promote breast cancer lung metastasis via
the PI3K-SGK1-CTGF pathway. Of note, our data also proved that
Dex showed greater ability to promote metastasis than did PTX in
standard PTX chemotherapy, which was indicated by more
metastatic nodes and shorter overall survival in mice treated with
Dex+PTX. SGK1 is a potential therapeutic target for PTX chemotherapy-
induced metastasis Based on the data in Fig. 4G that SGK1 inhibition could block Dex-
induced metastasis, we evaluated the potential therapeutic effects
of SGK1 inhibitor GSK650394 in Dex+PTX chemotherapy. Mice
were treated following the scheme (Fig. 7H), and the results
showed that GSK650394 did not affect the antitumor effects of
Dex+PTX (Fig. 7I), but, remarkably, inhibited lung metastases
caused by Dex+PTX chemotherapy (Fig. 7J, K). These data
indicated that SGK1 could be used as a potential target to treat
Dex+PTX chemotherapy-induced breast cancer metastasis. DISCUSSION Recently, atezolizumab and nab-paclitaxel
combination therapy was reported to be a promising regimen in
previously untreated patients with metastatic triple-negative
breast cancer [45]. Our results indicated that the appropriate
dose of Dex had little impact in immune cells and thus might not
affect the efficacy of immunotherapy. Moreover, EMT has been
reported as a key mechanism involved in metastasis [51]. In recent
years, the role of EMT in breast cancer metastasis has been
controversial. Fisher et al. found that lung metastases were
composed of non-EMT tumor cells in a model of epithelial primary
breast cancer by establishing a tracking system using interstitial
cell-specific Cre-mediated fluorescence [52]. In our study, we
found that Dex treatment did not alter the EMT process. Dex
promoted the migration of breast cancer cells rather than
invasion, indicating that degradation of the extracellular matrix
was not affected by Dex. Further evidence suggested that Dex
promoted breast cancer metastasis via CTGF-mediated cell
adhesion and colonization in the lung rather than the process
of EMT. vomiting, and prevents radiotherapy-related toxicity and other
side effects. In this study, we found that targeting SGK1 with
GSK650394 could inhibit Dex-induced lung metastasis without
affecting antitumor capacity, although intratumoral injection of
GSK650394 in our study was not an optimal choice. Our results
have strengthened the concept that SGK1 might be a potential
candidate to overcome chemotherapy-induced metastasis in
breast cancer. Efforts to explore new formulations of chemother-
apeutic agents to reduce side effects and develop potential
therapeutic targets are of considerable significance for breast
cancer treatment. In addition, previous studies also suggested
SGK1 was important for breast cancer growth and resistance to
PI3K inhibitors [27, 28], indicating that targeting SGK1 would
generate pleiotropic antitumor effects. Our study uncovered a new mechanism by which Dex
exacerbates lung metastasis by breast cancer cells through
PI3K-SGK1-CTGF signaling and raises concerns about the risk of
Dex pre-treatment in breast cancer chemotherapy. Meanwhile,
our present data also provides strategy targeting SGK1 to
suppress Dex-induced lung metastasis. Considering corticoster-
oids such as Dex are widely used in various cancers to treat the
side effects of chemotherapy and to combat symptoms related to
advanced cancer. Thus, assessment of the side effects of
hormone pathways on metastasis is also warranted for other
types of cancer. Dex is a long-lasting and cost-effective glucocorticoid and has
been widely used as an adjuvant or therapeutic agent in clinical
settings. Tumor model and treatment A total of 2 × 105 4T1 cells in 60 μl serum-free medium were inoculated
into the second mammary fat pad on the right side of BALB/c mice or
BALB/c nude mice to establish a spontaneous lung metastasis model. Tumor sizes were measured using a digital calliper every three days, and
mice were terminated when tumor volumes reached 1500 mm3. Mice that
succumbed to tumor were included in calculations of overall survival. 5
6 For the experimental metastasis model, 2 × 105 4T1-luc cells/ and 1 × 106
MDA-MB-231-luc
cells in
200 μl
serum-free
medium were
injected
intravenously (i.v.) into BABL/c mice and BABL/c nude mice, respectively. Tumor development was monitored using IVIS Lumina III (Perkin Elmer,
Waltham Mass, USA) after intraperitoneal (i.p.) injection of d-Luciferin (Gold
Biotechnology, Missouri, USA). y
y
Dex pre-treatment before PTX administration is a standard
procedure in breast cancer treatment, performed with the intent
of reducing allergic responses, nausea, and vomiting caused by
paclitaxel. Chemotherapeutic drug-induced metastasis has been
reported previously. However, data from our study showed that
Dex conferred stronger prometastatic ability than did drugs in
standard PTX chemotherapy. These results should raise marked
concerns in clinical use of PTX or other chemotherapy in breast
cancer patients. Based on these findings, it can be concluded that
modification of PTX formulations to reduce or abolish Dex
application is the optimal choice. Recently, many efforts have
been exerted in this field to attenuate the side effects of
chemotherapeutic drugs. For example, preparations involving
nanotechnology and albumin is a promising strategy and has
shown benefits in clinical and preclinical models. Nevertheless,
Dex is still a widely used pre-treatment agent in chemotherapy
with regard to its long-lasting effects and low cost for most
patients. Currently, Dex is still a commonly used pre-treatment
agent in tumor therapy, which effectively reduces the symptoms
of
nervous
system
compression
and
chemotherapy-related For in situ treatment in the 4T1 tumor model, Dex (MedChemExpress,
New Jersey, USA) treatment (3 mg/kg) was performed every three days by
gavage twice/day when the tumors reached 50–100 mm3; paclitaxel (i.v. 10 mg/kg) was injected 6 h after the latest Dex administration, while
delivery of GSK650394 (MedChemExpress, New Jersey, USA) (i.p. 6.25 mg/
kg) was performed on the same day. The experimental metastasis model
was
administered,
as
described
previously. DISCUSSION In hematological malignancies, Dex alone or in combina-
tion with chemotherapy shows effective therapeutic outcomes. In
addition, Dex can effectively inhibit the growth of colorectal
cancer xenografts in nude mice by increasing the retention time
of drugs in the tumor [53, 54]. Some studies have reported that
Dex can increase the resistance of breast cancer cells to
chemotherapy
and
promote
tumor
cell
survival
in
hostile
environments [55, 56]. We also found that Dex could suppress
apoptosis of breast cancer cells in response to low glucose and
chemotherapeutic drugs (data not shown). To date, little is known
regarding the links between Dex and breast cancer metastasis. A
recent study reported that the GC content in serum of breast
cancer patients with metastasis is significantly higher than in non-
metastatic breast cancer patients, with increased ROR1 expression
and Wnt pathway activation induced by GR activation-mediated
breast cancer metastasis [15], which was also found from our
transcriptome sequencing results. In this study, we revealed a new
and independent mechanism in Dex-induced metastasis, in which
Dex activated the PI3K pathway through GR and then upregulated
SGK1 expression, increased SGK1 levels and enhanced CTGF
expression
through
Nedd4l-Smad2. PI3K
inhibition
did
not
interfere with ROR1 expression. Moreover, in a Src kinase -omics
identification analysis of MCF10A breast cancer epithelial cells, it
was found that ROR1 and SGK1 are located in different regulatory
branches [57], thus suggesting an independent pathway as
revealed by our study. Tumor model and treatment All
experiments
were
performed in accordance with the guidelines of the Animal Care and
Use Committee of West China Hospital, Sichuan University, China. MATERIALS AND METHODS
Mice and cell lines 6- to 8-week-old female BALB/c mice and BALB/c nude mice were
purchased from Beijing Huafukang Bioscience (Beijing, China). The mouse
breast cancer cell line 4T1, human breast cancer lines MCF-7, MDA-MB-231,
and ZR-75-30 were purchased from American Type Culture Collection
(ATCC). 4T1-luc and MDA-MB-231-luc were generated using lentivirus
expressing luciferase, purchased from Hanbio (Shanghai, China). 4T1 cell
with CTGF knockdown or SGK1 knockout was constructed by shRNA and
CRISPR/Cas9 respectively, which m-CTGF-shRNA was purchased from
Hanbio (Shanghai, China) and m-AVC-LW983-sgSGK1/NC was purchased
from Syngentech (Beijing, China). Information for primer sequences is
provided in Supplementary Table 1. DISCUSSION Cancer metastasis is an intricate process involved in both the
cancer
cell
intrinsic
pathway
and extrinsic
cellular
factors,
including immune cells and cytokines [48–50]. Our results
suggested that the pro-metastatic effect of Dex is independent Metastasis severely affects the lives and health of breast cancer
patients. Triple-negative breast cancer (ER-/PR-/HER2-) accounts
for 10–15% of the clinical incidence of breast cancer with high Oncogene (2021) 40:5367 – 5378 Y. Zhang et al. Fig. 7
SGK1 is a potential therapeutic target for PTX chemotherapy-induced metastasis. A Schematic diagram of Dex+PTX. B Tum
volume, n = 5 mice per group. C–E The role of Dex in the treatment of breast cancer with Dex+PTX. C Typical mouse lung tissue fixed wi
Bouin’s fixation and H&E staining of lung. D The number of metastases on lung surface (n = 5 mice per group). E Survival (n = 10 mice p
) F R
i
i
f bi l
i
d
i i
h
(
3
i
) G Th
b
f
l
Y. Zhang et al. 5375 Fig. 7
SGK1 is a potential therapeutic target for PTX chemotherapy-induced metastasis. A Schematic diagram of Dex+PTX. B Tumor
volume, n = 5 mice per group. C–E The role of Dex in the treatment of breast cancer with Dex+PTX. C Typical mouse lung tissue fixed with
Bouin’s fixation and H&E staining of lung. D The number of metastases on lung surface (n = 5 mice per group). E Survival (n = 10 mice per
group). F Representative image of bioluminescence and statistics were shown (n = 3 mice per group). G The number of metastases on lung
surface (n = 5 mice per group). H Schematic diagram of Dex+PTX+GSK650394. I–K The effect of GSK650394 in the treatment of breast cancer
with Dex+PTX. I Tumor volume (n = 10 mice per group). J Typical mouse lung tissue fixed with Bouin’s fixation and the H&E staining of lung
(n = 10 mice per group). K The number of metastases on lung surface (n = 10 mice per group). Mean ± SEM is shown. *p < 0.05, **p < 0.01, ***p
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appropriate credit to the original author(s) and the source, provide a link to the Creative
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ФОРМИРОВАНИЯ МЕДИАОБРАЗА КИТАЯ
В РУССКОЯЗЫЧНЫХ ИНТЕРНЕТТЕКСТАХ
НА ПРИМЕРЕ БЛОГОВ О КИТАЙСКОЙ ОПЕРЕ26 ÷ĝÚĉ֬ěē ÷ĝÚĉ֬ěē Ключевые слова: медиаобраз Китая, блог, китайская опера, языко-
вые средства. Keywords: media image of China, blog, Chinese opera, language means. DOI 10.14258/filichel(2021)1-12 В
эпоху медиацентризма люди получают информацию и формиру-
ют представление о мире при непосредственном участии средств
массовой коммуникации, поэтому медиаобраз является важней-
шей формой существования феноменов массового сознания в медиа-
коммуникации [Галинская, 2013, с. 91]. Понятие медиаобраз чаще всего
определяется как «совокупность эмоциональных и рациональных пред-
ставлений, основанных на информации, получаемой из СМИ» [Мару-
щак, 2012, с. 95]. В ряде исследований цитируется дефиниция этого тер-
мина, представленная в работе Е. Н. Богдан: медиаобраз — «особый об-
раз реальности, предъявляемый массовой аудитории медиаиндустрией»
[Богдан, 2007, с. 124]. В аспекте межкультурной коммуникации Ю. В. Бе-
лоусова определяет медиаобраз как «конструкт общественного созна-
ния, формирующийся в медиапространстве и выстраивающий систе-
му ценностей и оценок с опорой на культурные особенности и тради-
ции» [Белоусова, 2015, с. 10]. В Рассматривая феномен медиаобраза в лингвистическом аспекте,
Т. Н. Галинская выделяет три подхода к изучению медийного образа
в зависимости от анализируемого текстового материала: 1) медиаоб-
раз изучается в медиатекстах, созданных только профессиональными
репортерами; 2) медийные образы рассматриваются на базе речевых
продуктов, полученных в результате работы фокус-групп; 3) медиаоб-
раз исследуется на материале спонтанных речевых произведений ин-
тернет-пользователей, обсуждающих то или иное явление в социаль-
ных сетях, блогах, на сайтах медиаизданий [Галинская, 2013, с. 92–93]. 170 ȂȖșȜșȜȑȖȭȖȥȓșȜȐȓȘ•Ɋ• Другие исследователи, отмечая значимость учета специфики материала,
привлекаемого для изучения медиаобраза, считают, что особенно акту-
альным является изучение языковых средств и стилистических прие-
мов воплощения тех или иных медиаобразов, представленных в медиа-
текстах [Григорян, 2016; Сабаева, 2019; Айдоган, 2017]. Современный Китай играет все возрастающую роль на мировой аре-
не, высок его статус в сфере международных отношений, поэтому из-
учение медиаобраза Китая становится актуальным объектом изучения
разных наук. Наиболее активно ведутся исследования в области поли-
тических и экономических наук. Однако недостаточно изучена лингви-
стическая специфика медиаобраза Китая, создаваемого в русскоязыч-
ных текстах. В частности, в работах лингвистов не описаны как важ-
ные составляющие медиаобраза страны культура и искусство Китая. Отмеченные факты свидетельствуют об актуальности и новизне дан-
ного исследования. Китайская опера, которая «знакомит мир с историей и культурой
Востока» [Ху, 2015, с. 28], отличается от европейской оперы не только
сочетанием пения, музыки и танца, но и своим уникальным визуаль-
ным оформлением. Благодаря оригинальности артистического и аудио-
визуального воплощения жанра, китайская опера привлекает любите-
лей искусства разных стран. Важное место, которое занимает китай-
ская опера в мировой художественной культуре, обусловлено как осо-
бой эстетической и коммуникативной природой этого жанра, так и его
ролью в популяризации традиционной китайской этики и эстетики. 27 Здесь и далее текстовые иллюстрации приводятся с сохранением особенностей ори-
гинального текста. DOI 10.14258/filichel(2021)1-12 Опера, являясь неотъемлемой частью богатой и разнообразной куль-
туры Китая, способна лучше других видов искусства показать нацио-
нальный дух китайского народа. В данном исследовании поставлена цель выявить языковые сред-
ства, с помощью которых создается фрагмент медиаобраза Китая, свя-
занный с его оперным искусством, отражающим уникальную культуру
страны. Исследование проводится на материале русскоязычных блогов. Источниками эмпирического материала послужили тематические бло-
ги, публикуемые на онлайн-платформе «Живой Журнал» (https://www. livejournal.com/) и в интернет-издании «Магазета» (https://magazeta. com/). Авторы блогов — путешественники, специалисты и любители
культуры и искусства Китая. Проанализировано 8 текстов, из кото-
рых отобрано 175 высказываний, наиболее адекватно репрезентирую-
щих идеи статьи; часть высказываний использована в качестве иллю-
страций в данной статье. 171 ǻȎȡȥțȩȓȟȜȜȏȧȓțȖȭ ǻȎȡȥțȩȓȟȜȜȏȧȓțȖȭ В ходе исследования выявлено, что медиабраз Китая в рассматривае-
мых блогах создается посредством актуализации ряда пяти основных
аспектов описания оперы как культурного феномена и её восприятия. I. Роль и место китайской оперы в истории театрального искусства. Тезис о том, что китайская опера имеет глубокую историю, подчерки-
вается частотно используемым эпитетом тысячелетний, указанием
на век или на династию, правившую в Китайской империи в определён-
ную эпоху, указаниями на даты событий.: Пройдя через более, чем ты-
сячелетнюю историю, китайская опера сохранила (разнообразие. —
М. Ю.) жанров27; Во времена династии Мин (1368–1644) нередко на ос-
нове мотивов народных танцев создавались и разыгрывались малень-
кие спектакли-новеллы; Первая оперная труппа появилась в Поднебес-
ной в VIII веке; История открытия в Китае театральных подмост-
ков насчитывает более восьми веков. Высокий статус китайской оперы в мировом искусстве характе-
ризуется словосочетаниями, в том числе устойчивыми: националь-
ное сокровище, всемирное культурное наследие, обретать призна-
ние во всем мире: Китайская опера считается национальным сокро-
вищем Поднебесной, а 2014 году ЮНЕСКО включила китайскую оперу
в список Всемирного культурного наследия; С тех пор система Китай-
ской театральной игры обрела признание во всем мире. Мировая известность китайской оперы подтверждается цитиро-
ванием мнений всемирно известных деятелей театрального искусства,
в том числе апелляцией к именам авторитетных российских деятелей
культуры: Один зарубежный драматург, побывавший в Китае, сказал
своим китайским коллегам, что он не знает другой страны, кроме Ки-
тая, где так была широко популярна опера; В сердечных беседах с ве-
ликими деятелями Русского театрального искусства Станиславским,
Немировичем-Данченко, Мейерхольдом и другими была дана глубокая
и точная оценка Китайской театральной школы. II. Оперные жанры. В проанализированных текстах подчеркивается
многообразие оперных жанров. Используемые в текстах количествен-
ные данные, выраженные именами числительными, являются не про-
сто фактами, но и вызывают эмоциональное воздействие на адреса-
та. Китайская опера сохранила всего 368 жанров китайской оперы;
Существует более 360 видов китайской оперы. Жанровая сложность,
обусловленная переплетением разных жанров, обозначается перечис-
лением однородных членов предложения в форме существительных 172 ȂȖșȜșȜȑȖȭȖȥȓșȜȐȓȘ•Ɋ• и прилагательных: Китайская опера — синтез пения, стилизованно-
го действа, пантомимы, диалогов, танцев и акробатического боя;
Китайская опера — это калейдоскоп вокальных и инструменталь-
ных номеров, пантомимы, театра теней, цирковых номеров, магии,
смены масок — всего и не упомнишь. Показательна в данном контексте
обобщённо-личная конструкция всего и не упомнишь. ǻȎȡȥțȩȓȟȜȜȏȧȓțȖȭ и прилагательных: Китайская опера — синтез пения, стилизованно-
го действа, пантомимы, диалогов, танцев и акробатического боя;
Китайская опера — это калейдоскоп вокальных и инструменталь-
ных номеров, пантомимы, театра теней, цирковых номеров, магии,
смены масок — всего и не упомнишь. Показательна в данном контексте
обобщённо-личная конструкция всего и не упомнишь. Представление о жанровом своеобразии китайской оперы как ори-
гинальном виде искусства актуализируется именем прилагательным
уникальный, конструкцией не похожий ни на один другой, формой пре-
восходной степени имени прилагательного интереснейший: В разных
провинциях и частях страны складывались свои уникальные стили
театральных представлений; Представление обусловлено традиция-
ми китайского театра, не похожего ни на один другой; Мы собрали
10 малоизвестных фактов о китайской опере — интереснейшем <…>
виде восточного искусства. Важная особенность китайской оперы состоит в том, что каждый
ее жанр соотносится более чем с одной оперной мелодией; использо-
ванные в текстах числительные указывают на их сложность: Эта опе-
ра (уцзюй. — М. Ю.) представляет собой комбинацию шести извест-
ных Оперных Мелодий; Для каждой из мелодий существует свой на-
бор пьес. Чаще всего встречаются труппы, исполняющие пьесы трех
первых мелодий. Наиболее известным жанром китайской оперы является пекин-
ская опера, она хорошо известна иностранным любителям искусства
и чаще всего упоминается в средствах массовой коммуникации. Под-
черкивая известность и загадочность пекинской оперы, авторы бло-
гов используют слова и словосочетания со значением высокой степе-
ни оценки, в том числе прилагательные в форме превосходной степе-
ни: Этот жанр впитал в себя элементы многих местных жанров и по-
степенно, во многом благодаря своему «столичному» статусу занял ве-
дущее положение в китайском театре, став «китайским националь-
ным театральным жанром»; Непередаваемая игра актеров, их пол-
ное перевоплощение заставят вас полностью перенестись в сказоч-
ный, волшебный мир «Пекинской Оперы»; Пекинская опера — самый
известный <…> жанр таких представлений. Образ пекинской оперы как самого успешного и популярного жан-
ра, оказывающего эмоциональное воздействие на зрителя, форми-
руется благодаря нанизыванию однородных членов предложения:
За счет богатства репертуара, хрестоматийности сюжетов, ма-
стерства актеров и сценических эффектов она (пекинская опе- 173 ǻȎȡȥțȩȓȟȜȜȏȧȓțȖȭ ǻȎȡȥțȩȓȟȜȜȏȧȓțȖȭ ра. — М. Ю.) нашла ключик к сердцу зрителей и вызвала их инте-
рес и восхищение. р
Активное отражение в изученных текстах находит описание яркой
визуальной особенности оперы — орнаментальное и цветовое разно-
образие масок. ǻȎȡȥțȩȓȟȜȜȏȧȓțȖȭ Подчеркивая, что символические значения цвета масок
в китайской опере демонстрируют качества персонажей, авторы блогов
часто используют имена существительные с абстрактной семантикой:
Красный цвет — символизирует верность и честность, черный — сме-
лость, желтый — жестокость и обман, матово-белый — хитрость,
золотым и серебряным цветом раскрашивают лица мифических геро-
ев; Белый — злость, хитрость, предательство и подозрительность;
Зеленый — импульсивность, жестокость, отсутствие самооблада-
ния или самоконтроля; Красный — храбрость и лояльность; Черный —
грубость, жестокость или беспристрастность; Желтый — амбици-
озность, жестокость, ум. III. Образы, создаваемые актерами китайской оперы. Формируя
представление о сложности и глубине создаваемых образах, авторы
блогов используют выразительные возможности имен прилагатель-
ных. Например, с целью подчеркнуть, что успешное выступление тре-
бует специальной подготовки, используются выражения, включающие
указания на длительность подготовки актера к выходу на сцену и сам
процесс подготовки, связанный с гримом. Процесс нанесения грима пе-
ред спектаклем может занять до трех часов. Но интереснее всего было
наблюдать за приготовлениями артистов, сидящих в огромной гример-
ной; В постановке органически соединяется … фантастический грим. р
ф
р
Красота и уникальная традиционность костюмов артистов описы-
ваются с помощью определений потрясающий, фантастический, яр-
кий, необычный, шикарный, роскошный, невероятный, которые выража-
ют эмоциональное потрясение авторов, присутствовавших на зрелище:
Здесь почти отсутствуют декорации, зато костюмы артистов по-
ражают воображение своими яркими цветами и множеством необыч-
ных аксессуаров; В постановке органически соединяется пение с тан-
цем <…>, а также роскошные традиционные костюмы; К тому же
у них были просто фантастические, потрясающие китайские ко-
стюмы (у одной только принцессы было 7 или 8 разных шикарных на-
рядов) и грим; Кружилась в своем невероятном красочном костюме
во время боя. Многогранность актерского мастерства описывается с помощью од-
нородных членов предложения: Можно было просто наслаждаться тем,
как они ведут себя на сцене — танцуют, демонстрируют элементы 174 ȂȖșȜșȜȑȖȭȖȥȓșȜȐȓȘ•Ɋ• боевого искусства у-шу, бегают наперегонки, дурачатся, корчат рожи
и показывают неприличные жесты и одновременно при всем при этом
еще и поют! Игра туловищем — это различные положения шеи, плеч,
груди, спины, поясницы и ягодиц. Цитирование китайских театраль-
ных пословиц также косвенно отражает представление о тяжелой рабо-
те актеров: Театральные пословицы гласят: «пой для вассала, деклами-
руй для господина»; или «пой хорошо, говори великолепно»; Есть та-
кая театральная пословица: «Тело заключается в лице, лицо заклю-
чается в глазах»; И еще одна: «Если в глазах нет духа — человек умер
внутри своего храма»; Пословица говорит об этом: «Одно движение
или сто — начало в пояснице». ǻȎȡȥțȩȓȟȜȜȏȧȓțȖȭ Для констатации высокой положительной оценки мастерства китай-
ских актеров блогеры используют имена прилагательные со значением
успеха, называют имена известных за границами Китая оперных арти-
стов: Артисты оказались замечательные! То прекрасно видно, как вре-
менно не участвующие в действии артисты общаются между собой, пе-
реодеваются или — вероятно, самые талантливые из них — настраи-
ваются на очередной выход к публике; Вместе с тем в стране появля-
ются талантливые оперные актеры, в частности, известная певи-
ца Го Ланьинъ; В 1935 году известный Китайский актер, мастер пе-
ревоплощения, прославившийся исполнением женских ролей, Мей Лань-
фан посетил Советский Союз. Наречие специально подчеркивает по-
пулярность и профессиональную исключительность китайского акте-
ра: Европейские драматурги специально приезжали в СССР, чтобы по-
смотреть выступление труппы Мей Ланьфаня и обменяться мнения-
ми и соображениями по поводу Искусства. IV. Отклики зрителей. Будучи выражением субъективной оценки,
похвала в адрес актеров, выражение эмоций, чувства радости, полу-
ченного удовольствия также способствуют созданию позитивного об-
раза Китая в части, связанной с оперным искусством. Положитель-
но-оценочная модальность передается посредством слов и устойчи-
вых словосочетаний: В любом случае артисты и музыканты заслу-
жили громкие и продолжительные аплодисменты; Нам оставалось
лишь также выразить свое искреннее восхищение; Их долго не от-
пускали со сцены; Со всех сторон раздавались крики «браво» (кри-
чали, конечно, по-китайски, но по лицам видно было, что люди выра-
жают именно восторг). V. Субъективные оценки авторов текстов. Наиболее часты пожела-
ния блогеров, обращенных к участникам и создателям китайской опе-
ры, выражаются глаголами надеяться и хотеть, наречием очень: Мы 175 ǻȎȡȥțȩȓȟȜȜȏȧȓțȖȭ также надеемся на новое блестящее будущее китайского оперного ис-
кусства; В общем, я очень хочу еще сходить в китайскую оперу. Внутренние чувства блогеров передаются словосочетаниями с при-
лагательным в превосходной степени, именем существительным ра-
дость и словом категории состояния жаль: Так и остался в моей па-
мяти этот никому не известный городок как самое яркое впечатле-
ние от Китая; Так что с радостью оказался на островке китайской
атмосферы посреди холодного Санкт-Петербурга; Жаль, что они ред-
ко к нам приезжают. Восклицательные предложения, часто используемые авторами бло-
гов, подчеркивают чувства радости, восторга и восхищения, которые
они испытывают: Китайская опера — для всех!; И весь этот передвиж-
ной, но настоящий театр выступает совершенно бесплатно!; Экзо-
тика добралась до Санкт-Петербурга в виде китайской традицион-
ной оперы! Значимым средством выражения оценки являются названия ана-
лизируемых текстов, которые, как правило, включают оценочную лек-
сику. Библиографический список Айдоган Хакан Джейхан. Медиаобраз Турции в российских СМИ:
особенности формирования имиджа : автореф. дис. … канд. филол. наук. М., 2017. Белоусова Ю. В. Медиаобраз в культурной коммуникации: репре-
зентация религии в медиапространстве : автореф. дис. … канд. филос. наук. Челябинск, 2015. Белоусова Ю. В. Медиаобраз в культурной коммуникации: репре-
зентация религии в медиапространстве : автореф. дис. … канд. филос. наук. Челябинск, 2015. Богдан Е. Н. Медиаобраз России как понятие теории журналисти-
ки // Вестник Московского университета. Серия 10: Журналистика. 2007. № 4. Галинская Т. Н. Понятие медиаобраза и проблема его реконструкции
в современной лингвистике // Вестник Оренбургского государственно-
го университета. 2013. № 11. Григорян С. В. Современный медиаобраз России на отечественном
телевидении : автореф. дис. … канд. филол. наук. М., 2016. Марущак А. В. Политико-социальный образ России в американском
медиапространстве // Журналистский ежегодник. 2012. № 1. Сабаева Ю. С. Языковая репрезентация медиаобраза Сибири в ре-
гиональном просветительском радиодискурсе : дис. … канд. филол. наук. Томск, 2019. Ху Я. Китайская опера как нематериальное культурное наследие Ки-
тая // Общество: философия, история, культура. 2015. № 4. ǻȎȡȥțȩȓȟȜȜȏȧȓțȖȭ «Прекрасная» опера из провинции Чжэцзян; 10 малоизвестных
фактов о китайской опере, которая пока остается загадкой для всего
мира. Выделенные слова и словосочетания отражают восхищение ки-
тайской оперой, указывают на то, что китайская опера остается инте-
реснейшей загадкой для иностранных любителей искусства. Известно, что культура каждого народа, характеризуясь своеобра-
зием, воспринимается представителями другой культуры по-разному. Указанный факт объясняет имеющиеся в текстах блогов отрицатель-
ные оценки китайской оперы. Например, блогер использует слова за-
вывание, несносный, словосочетание не для слабонервных и др., вы-
ражающие чувства неудовольствия по поводу характера пения в ки-
тайской опере: Но когда начались пения… не, не пения, для советско-
го уха это больше походило на завывания; В общем, те части с пени-
ем были несносными; В общем, я вам скажу, зрелище не для слабонерв-
ных; Время пролетело достаточно быстро, хотя без пения было бы
лучше. Блогеры объясняют неприятие восприятие услышанного разли-
чиями в представлении о том, что называется оперой в разных странах,
в данном случае, в России и Китае. Оказалось, что это совсем не похо-
же на нашу советскую оперу. Об этом же свидетельствует словосочета-
ние для советского уха в приведённом выше примере. Проведенный анализ позволяет сделать вывод о разнообразии язы-
ковых средств описания китайской оперы. В текстах блогов использу-
ются выразительные возможности единиц разных уровней языка: лек- 176 ȂȖșȜșȜȑȖȭȖȥȓșȜȐȓȘ•Ɋ• сическо-семантического, морфологического, синтаксического: лексика
с семантикой оценки; качественные прилагательные, числительные, на-
речия, существительные с абстрактной семантикой, собственные име-
на существительные; однородные члены предложения, восклицатель-
ные предложения. Впечатления блогеров, представленные в текстах о китайской опере,
создают фрагмент медийного образа Китая, который авторы представ-
ляют как страну с древней историей и богатой уникальной культурой. Своеобразное оперное искусство Китая не только занимает важное ме-
сто в мировом искусстве, но и ярко, содержательно отражает специфи-
ку загадочной души Китая. References Aydogan Hakan Ceyhan. Mediaobraz Turtsii v rossiyskikh SMI: osobenno-
sti formirovaniya imidzha [The media image of Turkey in the Russian mass
media: peculiarities of forming the image]. Abstract of Philol. Cand. Diss. Moscow, 2017. 177 ǻȎȡȥțȩȓȟȜȜȏȧȓțȖȭ ǻȎȡȥțȩȓȟȜȜȏȧȓțȖȭ Belousova Yu. V. Mediaobraz v kul’turnoy kommunikatsii: reprezentatsiya
religii v mediaprostranstve [Media Image in Cultural Communication: Rep-
resentation of Religion in the Media Space]. Abstract of Philol. Cand. Diss. Chelyabinsk, 2015. y
Bogdan E. N. Mediaobraz Rossii kak ponyatie teorii zhurnalistiki [Media
image of Russia as a concept of the theory of journalism]. Vestnik Mosk. Un-
ta. Ser. 10: Zhurnalistika [Moscow University Bulletin]. 2007. Ser. 10. Jour-
nalism. No.4. Bogdan E. N. Mediaobraz Rossii kak ponyatie teorii zhurnalistiki [Media
image of Russia as a concept of the theory of journalism]. Vestnik Mosk. Un-
ta. Ser. 10: Zhurnalistika [Moscow University Bulletin]. 2007. Ser. 10. Jour-
nalism. No.4. Galinskaya T. N. Ponyatie mediaobraza i problema ego rekonstruktsii v
sovremennoy lingvistike [The concept of a media image and the problem of
its reconstruction in modern linguistics]. Vestnik Orenburgskogo gosudarst-
vennogo universiteta [Bulletin of the Orenburg State University] 2013. No 11. Grigoryan S. V. Sovremennyy mediaobraz Rossii na otechestvennom telev-
idenii [The modern media image of Russia on domestic television]. Abstract
of Philol. Cand. Diss. Moscow, 2016. Grigoryan S. V. Sovremennyy mediaobraz Rossii na otechestvennom telev-
idenii [The modern media image of Russia on domestic television]. Abstract
of Philol. Cand. Diss. Moscow, 2016. Marushchak A. V. Politiko-sotsial’nyy obraz Rossii v amerikanskom media-
prostranstve [The political and social image of Russia in the American media
space]. Zhurnalistskiy ezhegodnik [Journalist Yearbook]. 2012. No 1. Marushchak A. V. Politiko-sotsial’nyy obraz Rossii v amerikanskom media-
prostranstve [The political and social image of Russia in the American media
space]. Zhurnalistskiy ezhegodnik [Journalist Yearbook]. 2012. No 1. Sabaeva Yu. S. Yazykovaya reprezentatsiya mediaobraza Sibiri v region-
al’nom prosvetitel’skom radiodiskurse [Linguistic representation of the media
image of Siberia in the regional educational radio discourse] Cand. of Philol. Diss. Tomsk, 2019. Hu Yanli. Kitayskaya opera kak nematerial’noe kul’turnoe nasledie Kitaya
[Chinese Opera as Intangible Cultural Heritage of China] Obshchestvo: filo-
sofiya, istoriya, kul’tura [Society: Philosophy, History, Culture]. 2015. No 4.
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Expressivism, Relativism, and the Analytic Equivalence Test
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Frontiers in psychology
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cc-by
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ORIGINAL RESEARCH
published: 24 November 2015
doi: 10.3389/fpsyg.2015.01788 Edited by: Edited by:
Marco Cruciani,
University of Trento, Italy
Reviewed by:
Teresa Marques,
Universitat Pompeu Fabra, Spain
Francesca Ervas,
University of Cagliari, Italy
*Correspondence:
Maria J. Frápolli
mjfrapolli@gmail.com Expressivism, Relativism, and the
Analytic Equivalence Test 1 Department of Philosophy, University College London, London, UK, 2 Department of Philosophy I, University of Granada,
Granada, Spain 1 Department of Philosophy, University College London, London, UK, 2 Department of Philosophy I, University of Granada,
Granada, Spain The purpose of this paper is to show that, pace (Field, 2009), MacFarlane’s assessment
relativism and expressivism should be sharply distinguished. We do so by arguing
that relativism and expressivism exemplify two very different approaches to context-
dependence. Relativism, on the one hand, shares with other contemporary approaches
a bottom–up, building block, model, while expressivism is part of a different tradition,
one that might include Lewis’ epistemic contextualism and Frege’s content individuation,
with which it shares an organic model to deal with context-dependence. The building-
block model and the organic model, and thus relativism and expressivism, are set apart
with the aid of a particular test: only the building-block model is compatible with the idea
that there might be analytically equivalent, and yet different, propositions. Keywords: context-dependence, assessment relativism, expressivism, Frege, pragmatism, compositionality,
principle of context INTRODUCTION Reviewed by:
Teresa Marques, Reviewed by:
Teresa Marques,
Universitat Pompeu Fabra, Spain
Francesca Ervas,
University of Cagliari, Italy MacFarlane (2014, p. 172) has recently claimed that his own kind of relativism and contemporary
expressivism, more specifically the one defended by Allan Gibbard, use ‘essentially the same
compositional semantics.’ This claim, despite being accurate concerning the semantic value of
the specific sentences that McFarlane’s focuses on, might blur a fundamental difference between
the expressivist analysis and other semantic approaches. Expressivism, we will argue, is in general
compatible with standard compositional semantics, but its basic take on how propositional
contents are individuated concedes priority not to the principle of compositionality, but rather
to the principle of context. Under expressivism, content is individuated by the inferential import,
and thus the compositionalist – building-block – order of explanation is challenged. q
,
Universitat Pompeu Fabra, Spain
Francesca Ervas,
University of Cagliari, Italy *Correspondence:
Maria J. Frápolli
mjfrapolli@gmail.com Specialty section:
This article was submitted to
Language Sciences,
a section of the journal
Frontiers in Psychology The aim of this paper is threefold. First, we will contrast two different models to accommodate
context-dependence—the idea that explaining our linguistic practices requires both linguistic and
contextual information. The building-block model, on the one hand, and the organic model, on the
other, can be set apart by taking into consideration whether they give prominence to the principle
of compositionality over the principle of context, or the other way around. Second, we will argue
that expressivism, unlike relativism and other competitors, fits snugly under the latter, organic,
model. Third, we will propose a test to determine whether a given theory belongs to the building-
block or the organic model – if it is possible for a theory to accommodate the idea that there
are analytically equivalent propositions that nevertheless differ, then this theory belongs to the
compositional group. According to this test, the analytic equivalence test, assessment relativism
belongs to the building-block model, while expressivism remains an alternative for advocates of
the organic model. Received: 20 June 2015
Accepted: 06 November 2015
Published: 24 November 2015 Received: 20 June 2015
Accepted: 06 November 2015
Published: 24 November 2015 Keywords: context-dependence, assessment relativism, expressivism, Frege, pragmatism, compositionality,
principle of context Edited by:
Marco Cruciani,
University of Trento, Italy CONTEXT-DEPENDENCE: THE
BUILDING-BLOCK SPECTRUM set apart from the aforementioned versions of contextualism,
even if it has been argued that the alleged benefits of this view—
specially those concerning disagreement—can be accommodated
within enhanced contextualist approaches (see, e.g., Kölbel, 2009;
Lopez de Sa, 2015, but also Marques and Garcia-Carpintero,
2014; Marques, 2015). At times, it has even been conflated with
certain context-dependent approaches (expressivist approaches)
whose starting point seems to be quite distant from the building-
block model (vid. Field, 2009, p. 2521, but cf. Yalcin, 2011, p. 327). We will show in the third section of this paper that assessment
relativism truly belongs to the building-block model, and in doing
so we will be able to establish a principled difference between this
form of context-dependence and another common alternative,
i.e., expressivism. Almost no theory of meaning available aspires to explain
our meaningful communicative exchanges in a way that is
completely independent from contextual considerations. An
elaborate example of this extreme view might be Stojanovic’s what
is said (Stojanovic, 2007), where content is explicitly designed
to be neutral with respect to context-dependent parameters. At
one level or another, though, most theories of meaning assume
that whatever we can say about the meaning of a string of
symbols, as viewed in isolation, differs from what a normal
speaker would say while uttering it, or an audience would get
while understanding it. g
Under
the
building-block
model,
meaning’s
order
of
explanation proceeds in successive stages, starting from the
most basic considerations, and building up from them. At any
level, information from the context might be acknowledged by
different theoretical alternatives. Here there are some examples. With
speech-act
pluralism
Cappelen
and
Lepore
(2005)
claim to put forward ‘insensitive’ semantics, meaning context
independent, but they move most contextual effects to the realm
of pragmatics, making the communicated information ultimately
dependent on the context. Some other “minimalist” alternatives
include in the semantic content only the contextual information
that is retrieved with the aid of the linguistic meaning of certain
expressions, such as indexicals (Stanley, 2000). Sometimes
contextual information is meant to have both an impact on
what is said as well as on what is globally communicated. Pragmatic explanations of the opacity of belief reports tend
to exhibit this feature (see Salmon, 1986, but also Saul, 1998). 1“What I’m advocating for normative terms is very different from contextual
relativism, so different that in my 1994 paper I decided not to call it ‘relativism’
at all, and to label it a kind of expressivism (though one very different from old-
fashioned versions of expressivism, in that it gives evaluative statements a cognitive
role). But MacFarlane (2007) has recently introduced the term ‘assessor-relativism’
for what seems at first blush to be just this sort of thing” (Field, 2009, p. 252). Citation: Frápolli MJ and Villanueva N (2015)
Expressivism, Relativism,
and the Analytic Equivalence Test. Front. Psychol. 6:1788. doi: 10.3389/fpsyg.2015.01788 Frápolli MJ and Villanueva N (2015)
Expressivism, Relativism,
and the Analytic Equivalence Test. Front. Psychol. 6:1788. doi: 10.3389/fpsyg.2015.01788 November 2015 | Volume 6 | Article 1788 Frontiers in Psychology | www.frontiersin.org Expressivism, Relativism, and the Analytic Equivalence Test Frápolli and Villanueva CONTEXT-DEPENDENCE: THE
BUILDING-BLOCK SPECTRUM These theoretical alternatives thus concede a place to contextual
information, but are not usually dubbed ‘contextualists,’ because
they explain in a context-independent way speakers’ intuitions
about the truth of what is said. Contextualists, on the other
hand, explain our semantic intuitions by appealing to contextual
information. This quick list is by no means intended to be exhaustive;
it is meant only to show the spectrum within which different
takes on context-dependence can be accommodated. Whether
we admit only a minimal amount of contextual information, or
we are radical contextualists, we form part of the building-block
model if contextual information enters a step-by-step process of
meaning construction that starts from the meanings associated
with subsentential components, to arrive at a later stage to a
complete content. Depending on the stage at which contextual information has
an impact, pragmatic processes under the building-block model
might be: Prelinguistic. Input: unsegmented marks or sounds, not
recognized as signs belonging to a language. Output: a piece of
discourse. Lexical. Output: a univocal string of words. Take ‘I saw
her duck under the table’; only after ‘duck’ is interpreted,
either as a verb or a noun, do we proceed to the following
stage. Syntactic. Output: a univocal structure. Compare ‘every ball
has a red dot on it,’ and ‘every kid at school has a pet.’ The second
sentence exhibits a syntactic ambiguity. Even though a single red
dot cannot be on every ball, every kid in the school can be truly
said to have a pet if either they are given a different pet for every
different kid, or they all treat the school turtle as their very own
pet. Within the realm of contextualism, indexical and non-
indexical contextualism (cfr. MacFarlane, 2007, 2014) should
be distinguished both from Truth-Conditional Contextualism
(cfr. Recanati, 2010) and Relevance Theory (Carston, 2002). ‘Indexical contextualism’ is the general label for views according
to which the context affects the semantic value of the
subsentential linguistic items. Non-indexical contextualism, by
contrast, restricts certain contextual processes to the realm of
post-semantics. Truth-Conditional Pragmatics and Relevance
Theory are instances of “radical contextualism” (Searle, 1992;
cfr. Recanati, 2002, p. 303) – whose central motto is that there
is no truth-evaluable level of meaning which is unaffected by
contextual information. Pre-semantic. Output: a univocal set of meanings-cum-
structure. Reference
fixing
for
indexicals
and
semantic
disambiguation are commonly assumed to require contextual
information. Semantic. Output:
a
proposition. Frontiers in Psychology | www.frontiersin.org PROPOSITIONAL PRIORITY AND THE
ORGANIC MODEL The starting point of the organic model is the content of
judgments, whatever we can put forward as a premise or a
conclusion, what we stand for and become responsible for in a
conversation. Local/global. Local pragmatic processes have an impact on
subsentential phrases, global pragmatic processes modify the
circumstances of evaluation, placing the whole sentence, as it
were, in a different light to be evaluated. These are usually
identified at the post-semantic level. Mandatory/optional. A pragmatic process is mandatory if its
intervention is necessary in order to arrive to a level of content
that can be evaluated as true or false. Otherwise, it is optional. Mandatory∗/optional∗. A pragmatic process is mandatory∗
if its intervention is “recruited” by the linguistic meaning of
a lexical item, as occurs in the sentence. Otherwise, it is
optional∗. Indexicals trigger mandatory∗pragmatic processes. These processes are also sometimes deemed ‘bottom–up’ vs. ‘top–down’ processes. Context-dependence under the building-block model covers
the vast majority of theories of meaning in the market. So much
so that it is often forgot that there are alternatives to this spectrum
of theories. Within this model, contextual information finds its
way into the explanation of linguistic communication as part
of a progressive building process. But, as we will see in the
following section, there are well-known semantic alternatives that
exhibit a completely different kind of context-dependence. This
form of context-dependence might look alien to some, but it
is exemplified by among the best-known theoretical approaches
of the analytical tradition. As we will see, the basic insight of
this alternative approach was shared by Frege and David Lewis,
to mention only two well-known examples. Under the organic
model context plays a truly preeminent role. Putting context first
is what Frege, Lewis, and others did, and it is also part of the
agenda put forward by contemporary expressivism2. In communicative acts the immediate data are contents of
propositional nature, expressed by sentences. These contents
are individuated within a given context, and this makes
the organic model context-dependent, even though context
provides information in a way that cannot be equated to
those mentioned above. To “move the chain,” agents have to
perform some kind of act, since acts are the minimal moves in
the communicative game. Brandom gave flesh to this classical
pragmatist intuition: ‘sentences are the kind of expression whose
freestanding utterance [. . PROPOSITIONAL PRIORITY AND THE
ORGANIC MODEL Pragmatic. Output:
multiple
propositions. Secondary
inferential processes, for the most part taken to be not
sub-personal. Implicatures. Depending on the way in which contextual information is
accounted for, pragmatic processes might be: In the organic model, content individuation is not an issue of
assembling pieces into a particular shape. Rather, the basic unit
of analysis has to be able to move the chain on the conversational
scoreboard, and thus the analysis should take as primitive only
linguistic units that can be used to acquire certain inferential
commitments. Context is not needed to fill in the holes left in
the logical form by semantic underdetermination, but rather to
supply the information that is needed to make sense of a certain
communicative exchange. Primary/secondary. For theories that defend a principled
distinction between the semantic core of our utterances and other
levels of meaning conveyed, primary pragmatic processes will be
those affecting the semantic core, what is said, and secondary
pragmatic processes will derive other layers of propositional
content inferentially from what is said plus other contextual
considerations. The latter will typically have an impact at the
pragmatic level, even though interactions with other, lower levels
are recognized by some approaches, such as Relevance Theory. Dealing with contextual information organically requires
being able to apply the contribution of the context to the
content expressed, and this in a way that cannot be specified
by taking into account how the linguistic meaning of the
subsentential bits becomes modified when introduced in that
particular situation, only to be afterward assembled in a
meaningful whole. As we saw in the previous section, whether
we take the contextual information to be gathered with the
aid of linguistic instructions – through mandatory∗pragmatic
processes, or freely – as the result of optional∗processes, or
secondary pragmatic processes, the building-block model would
always proceed from subsentential units to a whole proposition. The organic model needs to start from a completely different
stance. No longer would it suffice to check how the contextual
information bears upon the particular meaning of the phrases as
they are currently used, a large amount of contextual information
can also have an impact on the content which cannot be
domesticated into the modulation of some pieces of the whole. the sheer distinction between bottom–up and top–down pragmatic processes only
makes sense within a building-block background. Relevance Theory’s commitment
with a logical form that gets enriched with different components was essential
to the position as it was introduced, and continues to be part of the standard
description of the theory (Carston, 2000, p. 10; Clark, 2013, p. 305; Romero and
Soria, 2014, p. 490). 2An argument could be made to the effect that Relevance Theory does actually
belong to the theories grouped under the “organic model” label. Within Relevance
Theory, individuation of content is performed with the aid of the presumption
of optimal relevance – the cognitive impact of an utterance needs to match the
effort that is required to interpret it. As the cognitive impact of an utterance is
established with respect to the status of the audience’s belief box at the time of
the utterance, whether the presumption of optimal relevance is upheld can only
be determined by paying attention to the whole judgment, instead of its sub-
sentential components. Moreover, Relevance Theory acknowledges the existence
of top–down pragmatic processes, even acting from the level of implicatures, with
an impact on the explicature. These reasons, the presumption of optimal relevance
as a guiding principle for content individuation and the existence of top–down
pragmatic processes, could be sufficient to persuade some of the idea that Relevance
Theory is unfairly listed within the building-block model theories. Tempting as this
might be, we think that this inclination must be resisted, for the following reason: CONTEXT-DEPENDENCE: THE
BUILDING-BLOCK SPECTRUM Quantifier
domain
restriction
(see
Stanley
and
Szabó,
2000),
modulation
(see Recanati, 2004, passim, see for instance p. 136 and
ff.),
etc. are
typically
associated
with
local
pragmatic
processes. Post-semantic. Output: a proposition plus a circumstance of
evaluation. Typically associated with global processes. Assessment relativism (MacFarlane, 2014) recognizes the
impact of contextual information on our intuitions about the
truth of what we say, but makes it so that some contextual
information can be accessible only from a particular context –
that of assessment. On occasions, it is not the context in which
the sentence is uttered that matters, but the context in which the
utterance is received. This type of context-dependence is usually November 2015 | Volume 6 | Article 1788 Frontiers in Psychology | www.frontiersin.org 2 Expressivism, Relativism, and the Analytic Equivalence Test Frápolli and Villanueva PROPOSITIONAL PRIORITY AND THE
ORGANIC MODEL xxii), the
principle of context that shaped the development of logic and
semantics ever since. The principle of context is a rich indication that can be
understood as making a point about the contextually modulated
meaning of the words in a sentence, or else as a statement
about the logical priority of propositions over concepts. The first
reading, which has become the centerpiece of several varieties
of contextualism, elaborates it in the notion of modulation of
meaning (vid. Recanati, 2004, p. 39 and ff.). It is nevertheless the
second reading that characterizes the organic model. To avoid
misunderstandings, we will call this second reading the Principle
of Propositional Priority: [Principle of Propositional Priority]
Propositions are the primary bearers of logical, semantic, and
pragmatic properties. Here is Lewis’ definition: S knows that P iffP holds in every possibility left uneliminated
by S’s evidence —Psst!— except for those possibilities that we are
properly ignoring (Lewis, 1996, p. 561). p
p
y g
g
p
‘S knows that p’ will then be true if every alternative in which
not p is eliminated by S’s evidence. I know that my pen is inside
my bag at 00:35 because I can rule out every possible chain of
events leading up to my pen being elsewhere. I saw it in the bag a
minute ago, lighting conditions are ok, I am under the influence
of no perception-altering substances, nobody has entered the
room since the last time I saw it in the bag, etc. My evidence
eliminates every possibility in which my pen is not in my bag. If I know it, my attribution at 00:35 will always be true. But,
‘is that so?’ the skeptic would ask at 00:36, only to introduce
subsequently an exotic alternative, previously ignored, in which
my pen is absent from my bag, an alternative that my current
evidence cannot eliminate. What if everything I see is nothing
but a cleverly produced illusion, conducted by a demon who,
as a matter of fact, happens to have my pen in his hand? I can
no longer truly say that I know that my pen is in my bag, since
my evidence tells me nothing about the existence of that demon. How can my attributions differ so drastically in a minute? Lewis’s
response is that the clever skeptic makes it inappropriate to ignore
certain possibilities. PROPOSITIONAL PRIORITY AND THE
ORGANIC MODEL .] has the pragmatic significance of
performing a speech act’ (Brandom, 2001, p. 125). ‘Without
expressions of this category,’ Brandom went on, ‘there can be
no speech acts of any kind, and hence no specifically linguistic
practice’ (loc.cit). Both logically and chronologically, rational
agents’ first contact with language is somebody saying something. Only afterward is the identification of words and structures
available. November 2015 | Volume 6 | Article 1788 3 Frontiers in Psychology | www.frontiersin.org Expressivism, Relativism, and the Analytic Equivalence Test Frápolli and Villanueva Lewis’ epistemic contextualism (Lewis, 1996) is a well-known
example of an organic use of contextual information. His view
cannot be forced into any of the building-block varieties of
context-dependence introduced in the first section of the present
paper. Lewis faces the challenge of the skeptic, and provides a
definition of knowledge that can, on the one hand, explain why
the skeptic maneuver makes sense, as traditionally discussed in
epistemology, and, on the other hand, the fact that we truly know
many things. The skeptic, by continuously forcing us to look
at alternatives that we had not previously considered, makes us
doubt our firmest beliefs, and therefore it seems that none of our
beliefs can ever after be secured, so as to be called ‘knowledge.’
Lewis’s strategy allows for our knowledge attributions to be true
before meeting the skeptic, while our post-skeptic knowledge
attributions become false. Meeting the skeptic has exercised a
crucial change in the context, and knowledge attributions become
context sensitive. It would be a disservice to restrict Frege’s organic inclinations
to his first works. Not only did he maintain them in his first
significant works, but he also took sides with the principle of
context until the end of his career. The project of defining the concept ‘number’ in ‘Grundlagen’
is an illustration of the organic procedure. Frege exposed the
flaws of the classical strategy of defining numbers by putting
‘units’ together and shifted to a different method: ‘It should throw
some light on the matter to consider number in the context of
a judgment which brings its basic use’ (Frege, 1884/1960, §46,
p. 59). This is an application of the second principle that he
introduced in the prolog of this work and that defined his logico-
semantic project, ‘never to ask for the meaning of a word in
isolation, but only in the context of a proposition’ (p. PROPOSITIONAL PRIORITY AND THE
ORGANIC MODEL It was true at 00:35 that I knew that my pen
was in the bag, and it is also true that I do not know at 00:36 that
my pen is in the bag. Being sometimes susceptible to the reasons
of the skeptic does not make me an illogical person. Two judgments, Frege explains (Frege, 1879, §3), can differ in
two ways: (i) From the two of them together with a certain set of
premises, the same set of consequences follows. (ii) Alternatively,
the sets of their consequences might not coincide. In the first case,
the two judgments have the same content; in the second case,
their contents are different. A propositional content, the content
of a possible judgment, is thus individuated by the contents that
follow from it (together with some auxiliary information). In
this model, subsentential and subpropositional elements play no
essential role in content individuation. As Frege put it: Let us assume that the circumstance that hydrogen is lighter
than carbon dioxide is expressed in our formula language, we
can then replace the sign for hydrogen by the sign for oxygen
or that for nitrogen. This changes the meaning in such a way
that ‘oxygen’ or ‘nitrogen’ enters into the relations in which
‘hydrogen’ stood before. If we imagine that an expression can thus
be altered, it decomposes into a stable component, representing
the totality of relations, and the sign, regarded as replaceable by
others, that denotes the object standing in these relations. The
former component I call a function, the latter its argument. The
distinction has nothing to do with the conceptual content; it comes
about only because we view the expression in a particular way (our
italics; Frege, 1879, p. 22). The context alters the content of the epistemic attribution by
changing the alternatives that can properly be ignored, and so it
does in a tacit way (thus, Lewis’s ‘psst’). Crucially, the context
does not modify any of the subsentential items of the sentence,
to make it fit into the conversational occasion. Lewis’s context-
dependence of knowledge attributions can be accommodated
only within the organic model, one in which we start by looking at
the conditions under which a particular judgment, my knowledge
attribution in this case, makes sense. Frege’s approach to the other classical principle, the Principle
of Compositionality, is patent in this text. Frontiers in Psychology | www.frontiersin.org PROPOSITIONAL PRIORITY AND THE
ORGANIC MODEL Frege’s substitution
mechanism to determine the contribution of subsentential
expressions is a further example of his use of context, a
mechanism that Brandom takes over to explain the inferential
function of singular terms and predicates (Brandom, 2001, Chap. 4 passim). ‘Frege was the first,’ Brandom concedes, ‘to use
distinctions such as these to characterize the roles of singular
terms and predicates. Frege’s idea is that predicates are the
substitutional sentence frames formed when singular terms are
substituted for in sentences’ (Brandom, 2001, p. 131). That
the
classical
building-block
interpretation
of
compositionality is alien to Frege’s thought is no news any more. It has been defended by (Jansen, 2001) and (Pelletier, 2001),
among others. In what follows we will offer new evidences4. From the principle of propositional priority follows one
of Frege’s longstanding insights, one that plays a particularly
relevant role in this paper and that is the core of the organic
model: it makes no sense to admit the possibility that there might
be different, yet analytically equivalent, thoughts, an insight, we
contend, that is not compatible with the building-block model. Furthermore, as a defining feature of the organic approach to
propositions, it serves as a test to set apart two essentially
distinct uses of context, as we will do in the next section of
this paper. If propositional contents are organically individuated,
analytically equivalent sentences express the same proposition. This claim amounts to a rejection of a possible isomorphism
between sentences and the propositions expressed by them, and
is a major consequence of the organic model. In Frege’s writings
the rejection of the isomorphism between sentences and thoughts
is represented by his move toward contents by overlooking the
grammatical surface of judgments. Languages serve thoughts to
get ‘clothed in the perceptible garb of a sentence’ (Frege, 1918–
1919a, p. 354) and can be used ‘as a bridge from the perceptible
to the imperceptible’ (Frege, 1923–1926, p. 259). Nevertheless,
cloth and flesh, the perceptible and the imperceptible maintain
their independence, and the principle of propositional priority
establishes which one takes the lead. In ‘Logical Generality’
(Frege, 1923–1926), for instance, Frege says: ‘We should not
overlook the deep gulf that yet separates the level of language
from that of the thought, and which imposes certain limits on the An example of a different sort that nevertheless illustrates the
same point occurs in the realm of logic. PROPOSITIONAL PRIORITY AND THE
ORGANIC MODEL The interpretation
of the principle that characterizes the building block model
takes it as a criterion of propositional individuation in which
propositions are complex entities made up of simpler parts. We
claim, nevertheless, that this is not Frege’s interpretation. The Frege, one of the founding figures of semantic analysis, and
therefore an unavoidable reference for current alternatives within
the philosophy of language, also assumed the organic model of
individuation as the backbone of his logic and semantic proposal. November 2015 | Volume 6 | Article 1788 Frontiers in Psychology | www.frontiersin.org 4 Expressivism, Relativism, and the Analytic Equivalence Test Frápolli and Villanueva organic model is compatible with a view of compositionality
as a method of propositional analysis, not as a criterion
of propositional individuation. A single proposition can be
expressed by different sentences, which open up diverse
possibilities of propositional analysis. Even if propositions are,
in the organic model, non-structured entities, the structure of
sentences can be projected, for the sake of a particular analytic
aim, onto the propositional contents expressed by them. This
fact should not make us forget that there is a sharp distinction
between the ontological characterization of propositions as
structured entities build up on blocks, on the one hand, and
the semantic project of assigning semantic values to expressions
in a sentence, on the other. Lewis (1980)3 is an example of the
defense of the organic model of propositional individuation and
the compositional approach to the semantic value of expressions. mutual correspondence of the two levels’ (Frege, 1923, p. 259). Passive transformation becomes one of his favorite examples. From ‘Begriffsschrift’ to ‘Logical Investigations,’ he resorts to it
to show that non-synonymous sentences (in the standard sense)
can systematically be used to elicit the same thought: A sentence can be transformed by changing the verb from
active to passive and at the same time making the accusative
into the subject. In the same way we may change the dative into
the nominative and at the same time replace ‘give’ with ‘receive.’
Naturally such transformations are not trivial in every respect;
but they do not touch the thought, they do not touch what is true
or false (Frege, 1918–1919a, p. 357). But passivization is not the only case. 3“The less I have said about what so-called semantic values must be, the more I am
entitled to insist on what I did say. If they don’t obey the compositional principle,
they are not what I call semantic values” (Lewis, 1980, p. 91).
4Reverse Compositionality (Fodor, 1998, cfr. Szabó, 2013) is no better candidate
to do justice to Frege’s ideas on this issue. If the principle is interpreted as a sort
semantic version of “reverse engineering,” then it is incompatible with the Fregean
stance regarding the fact that multiple logical forms can result from the analysis of
a single judgment. If it only amounts to the platitude that whatever the analysis of
a judgment, the final components should be somehow related to the whole, then
it is both compatible with the organic and the building-block models. Similarly, if
it is only meant as ‘a statistical psychological generalization that holds with great
regularity’ (Johnson, 2006, p. 52), then Reverse Compositionality is not particularly
useful when discussing content individuation. 3“The less I have said about what so-called semantic values must be, the more I am
entitled to insist on what I did say. If they don’t obey the compositional principle,
they are not what I call semantic values” (Lewis, 1980, p. 91). 5It might perhaps be surprising for some not to find a mention in this section
of Donald Davidson, one of the best-known champions of the cause against
the organic model. The reason for this is that we wanted to avoid any possible
confusion between holism, Davidson’s own brand of anti-building-block theory,
and expressivism, which is the target of this paper. The kind of contemporary
expressivism that we explore in this paper is different from holism –and from
‘global expressivism’ (Price, 2011), or inferentialism– at least in two crucial aspects:
expressivism is not committed to the idea that every expression needs to receive an
organic analysis, and expressivism does not need to accept that every inference is a
meaning-determining inference (cfr. Gibbard, 2012, p. 109 and ff.). EXPRESSIVISM AND THE ORGANIC
MODEL It is the purpose of this section to show that contemporary
expressivism, at least in the way in which some of its most popular
varieties are commonly understood, is incompatible with the
building-block model. We do so by focusing on the expressivist’s
commitment with the idea, mentioned in the previous section,
that there cannot be different, and yet analytically equivalent,
propositions. In so doing, we will argue for a somewhat
controversial statement (see, for example Field, 2009, p. 252) that
we introduced in the first section of the paper – that MacFarlane’s
assessment relativism, as a representative of the building-block
model, needs to be sharply distinguished from expressivism, a
paradigmatic example of the organic model. p
g
p
g
Classical Expressivism analyzes sentences with ethical terms,
such as ‘cheating on your husband is bad,’ as having the
general import of ‘boo for cheating!,’ i.e., as interjections
devoid of propositional content that cannot qualify as true or
false. Contemporary expressivism, by contrast, acknowledges
an evaluable content, organically individuated, to acts with
expressive terms. The ‘expressivist’ strategy,’ as Gibbard puts it ‘is
to change the question. Don’t ask directly how to define ‘good’. . . shift the question to focus on judgments: ask, say, what judging
that is good consists in’ (Gibbard, 2003, p. 6). This pattern applies
to a wide variety of topics. Gibbard (2012) applies it to semantics,
Chrisman and Field to knowledge ascriptions (Chrisman, 2007,
2012; Field, 2009; Carter and Chrisman, 2012), Bar-On to first-
person ascriptions (Bar-On, 2004), and so on. To give the meaning of ‘S believes that p’ – we consider
modal, but also doxastic and epistemic, attributions to belong
to the realm of the normative – is to identify the circumstances
under which an agent is entitled to utter this sentence, and
the consequences that can be derived from the attribution. It
is constitutive of the meaning of ‘believe’ that an agent cannot
attribute to a subject the belief that p and at the same time the
belief that p cannot be true. This is the standard truth norm. Attributing beliefs to an agent commits the attributor to the
further attribution of plans to act according to his/her beliefs. If we attribute to Victoria the belief that she is late for work, we
should attribute to her the intention to leave immediately (even if
factors preclude her from acting in this way). PROPOSITIONAL PRIORITY AND THE
ORGANIC MODEL If we choose to speak of November 2015 | Volume 6 | Article 1788 5 Frontiers in Psychology | www.frontiersin.org Expressivism, Relativism, and the Analytic Equivalence Test Frápolli and Villanueva parts in this connection, all the same these parts are not mutually
independent in the way that we are elsewhere used to find when
we have parts of a whole’ (Frege, 1918–1919b, p. 386). parts in this connection, all the same these parts are not mutually
independent in the way that we are elsewhere used to find when
we have parts of a whole’ (Frege, 1918–1919b, p. 386). world is. Some of these functions are functions of propositions
whose semantic role does not consist in adding a conceptual
component to the propositional content of the communicative
act in which they are used. For those, expressivists like Gibbard
(2012, p. 179) propose an oblique approach – by focusing on
the mental states that are expressed by the use of normative
utterances, inferential relations of entailment and incompatibility
are exposed, and these are the touchstone of the expressivist
analysis. In summary, the Fregean principle of propositional priority
introduces a way of individuating propositional contents that
makes an idiosyncratic use of context, a use that cannot be
accommodated in any of the contemporary positions that attempt
to harbor the effect of contextual factors in what is said. The
Fregean organic model and the compositionalist model that
serves as a background for the theories depicted in the first
section of this paper stand in sharp contrast with profound
philosophical consequences5. The two models are incompatible,
as we will show in the next section. y
So far, the characterization of the meaning of functions of
propositions is negative: they are non-truth-conditional, non-
descriptive, non-contributive. But if they do not describe the
world and do not contribute to the proposition, what semantic
role do they perform? How are they individuated? A temptation
for many expressivists, old and new, is to identify the meaning
of the relevant terms with some kind of mental state, attitude
or feeling. An example is Gibbard (1990): ‘According to any
expressivistic analysis, to call something rational is not, in the
strict sense, to attribute a property to it. It is to do something
else: to express a state of mind’ (Gibbard, 1990, p. 9). But,
as we argued in (Frápolli and Villanueva, 2012, p. PROPOSITIONAL PRIORITY AND THE
ORGANIC MODEL 485), this
is unnecessary, ‘since the meaning of these expressions is
exhausted once their inferential potential is indicated.’ A look
at this inferential potential makes it apparent that normative
expressions are distinctively connected with other expressions
that include functions of propositions – they entail some, they are
incompatible with some others, and that these connections suffice
to explain their semantico-pragmatic behavior. In the next few
paragraphs, we sketch the kind of minimal expressivist analysis
of functions of propositions that we have developed in Frápolli
and Villanueva (2012). PROPOSITIONAL PRIORITY AND THE
ORGANIC MODEL Logical terms mean
unsaturated notions whose arguments can be sentences, truth-
values or thoughts, depending on the perspective we take on
them. In particular, thoughts can be compounded to form more
complex ones by means of logical operations. Nevertheless, the
logical operations applied to sets of thoughts can be rendered
in natural and logical languages through sentences with different
ingredients. The thought expressed by any instance of the schema
‘(A & A)’ is the thought expressed by the corresponding instance
of ‘A’ (Frege, 1923–1926, p. 393, n. 21). The thought expressed
by any instance of the schema ‘Not [(not A) and (not B)],’ is
the thought expressed by the corresponding instances of ‘Not
[Neither A not B]’ and by the corresponding instances of ‘A or
B’ (Frege, 1923–1926, p. 396). Thus, even if Frege explicitly uses the building-block image (as
in Frege, 1914, p. 225), he takes the idea that thoughts are made
out of simpler parts that correspond to the parts of the sentences
metaphorically. In ‘On Sense and Meaning’ he says: Here, I have used the word ‘part’ in a special sense. I have in
fact transferred the relation between the parts and the whole of
the sentence to its meaning, by calling the meaning of a word
part of the meaning of the sentence, if the word itself is a part
of the sentence. This way of speaking can certainly be attacked,
because the total meaning and one part of it do not suffice to
determine the remainder, and because the word ‘part’ is already
used of bodies in another sense. A special term would need to be
invented (Frege, 1892, p. 165). At the end of his life, Frege still maintains the same view: If one thought contradicts another, then from a sentence
whose sense is the one it is easy to construct a sentence expressing
the other. Consequently the thought that contradicts another
thought appears as made up of that thought and negation [. . .]. But the words ‘made up of,’ ‘consists of,’ ‘component,’ ‘part’ may
lead to our looking at it the wrong way. 6Please note that our claims concerning expressivism and relativism, but also the
building-block model and the organic model, concern only the individuation of
content. Thus we take them to be for the most part orthogonal with respect to the
much debated issue of the identity of propositions. Our goal is to explore when two
contents differ, rather than to establish what propositions are. EXPRESSIVISM AND THE ORGANIC
MODEL And his answer brings into the
open a qualitative difference between the two accounts: for an
expressivist it is ‘conceptually impossible to think that something
whose taste one knows first-hand is tasty while not liking its
taste.’ This, MacFarlane argues, would be going too far: ‘tame tigers exist,’
‘some tigers are tame,’
‘there are tigers that are tame,’ and
‘not all tigers are not tame.’ ‘tame tigers exist,’ ‘some tigers are tame,’ ‘there are tigers that are tame,’ and These sentences are not isomorphically identical; some words
occur in some of them and not in others, and they do not possess
the same structure. But the inferential moves that would be made
by the use of any of them in a communicative act would not be
affected by the replacement of any one by any of the others, for
nothing follows from any of them that does not follow from the
others too. Now it should be patent that the expressivist approach hinted
at so far falls within the organic model. The content of the
set of expressions to which the expressivist analysis applies is
individuated by reference to the inferential links granted or
precluded by assertions in which they occur, rather than by
factoring in the modulated meanings of subsentential items. This
minimal brand of expressivism we take to be compatible with
the core of major contemporary expressivist approaches, and the
features that make this position an example of the organic model
belong to this common core6. The relativist [. . .] can agree that the questions are ‘not
separate’ in the following sense: first-person deliberation about
each gets resolved by the same considerations. It does not
follow from this, however, that the questions concern the same
psychological state (MacFarlane, 2014, p. 174). Our claim about the organic nature of the expressivist
enterprise will be now assessed with the aid of the test that we
introduced in the previous sections. Expressivism is naturally
committed to the idea that there cannot be different, but
analytically equivalent, propositions, and this tenet has been
put to use as a premise by John MacFarlane in an argument
to undermine the expressivist analysis of predicates of personal
taste. We will show how, even though he is right in attributing
that principle to the expressivist, his argument does not work. EXPRESSIVISM AND THE ORGANIC
MODEL Similarly, the meaning of ‘know’ is such that if an agent
attributes to a subject the knowledge that p, the agent will be
committed to the truth of p. Attributing the knowledge of p
is incompatible with our belief that p is false. As M. Williams
puts it, ‘in attributing knowledge to another person, I concede
both the truth of what he believes and his right to believe it. And in advancing this double endorsement, I take on the same
commitments and lay claim to the same entitlements’ (Williams,
2001, p. 17). Knowledge and belief are different concepts because
the conditions for their use and the commitments acquired by
their attribution do not coincide. In an expressivist setting, the content of normative claims is
individuated organically. Higher-order functions, functions like
‘is wrong,’ ‘is good,’ ‘S knows that,’ ‘S believes that,’ or ‘necessarily,’
are non-truth-conditional functions that do not describe how the The same can be said of pairs of logical terms such as ‘or’
and ‘and.’ Utterances of ‘Yum likes licorice and Yuk dislikes November 2015 | Volume 6 | Article 1788 Frontiers in Psychology | www.frontiersin.org 6 Expressivism, Relativism, and the Analytic Equivalence Test Frápolli and Villanueva it’ and ‘Yum likes licorice or Yuk dislikes it’ express different
contents because the latter, unlike the former one, is compatible
with the assertion that Yum dislikes licorice. Conjunction and
disjunction are distinct concepts because they derive from, and
produce, distinct permissions and prohibitions, i.e., because
they sanction divergent behavioral responses. Generality and
instantiation likewise give rise to different permissions and
commitments. A rational agent cannot believe that an individual
x has the property P and at the same time reject that something
is P, for Px and It is not the case that there is a P express
incompatible contents. On the other hand, if two expressions
systematically give rise to the same set of commitments and
share the circumstances under which they can be properly used,
they also share their content. One might feel that the meanings
of ‘every’ and ‘all’ are slightly different. In fact, they are not
universally interchangeable salva congruitate. But if there is no
detectable difference in claiming that every child likes football and
all children like football in terms of the agent’s entitlements and
commitments, there is just one proposition expressed by the two
claims. EXPRESSIVISM AND THE ORGANIC
MODEL And the same happens with the following sentences, In the process, the crucial difference between expressivism and
relativism will become apparent. John MacFarlane has, in recent years, developed an analysis of
predicates of personal taste that makes them context-dependent
but that also differs from most previously known versions
of contextualism. According to MacFarlane, what makes these
predicates special is that they require the intervention, at a post-
semantic level, of certain information that can be gathered only
from the context of assessment – rather than the context of
utterance. Even if it was true when originally produced, I can
retract my claim that ‘licorice is not tasty’ because I am assessing
it now in a different context. With this, MacFarlane manages to
offer an alternative both to objectivism – the idea that claims that
contain predicates of personal taste are true or false simpliciter
– as well as to contextualism – the idea that every taste claim
involves a reference to a set of taste standards. Expressivism,
MacFarlane posits, can nevertheless be developed into a position
on the matter that looks dangerously close to his own assessment
relativism. Not so close, though, that it cannot be differentiated
from it, and evaluated accordingly like a different theory. Relativism and expressivism would offer similar treatments
of descriptive beliefs, which are individuated in terms of
compatibility
and
incompatibility
among
mental
states
(MacFarlane, 2014, p. 170). The conflict would arise when
assessment-sensitive beliefs are considered. In these cases,
MacFarlane’s reconstruction of the expressivist position would
offer an indirect characterization of beliefs via the language of
preference. In such an expressivist framework, to attribute to
someone the belief that licorice is tasty would be to attribute
to that individual ‘the very same kind of state’ (MacFarlane,
2014, p. 173) that we would make the attribution by saying
that he/she likes licorice. By contrast, McFarlane’s relativism
rejects the contention that beliefs with taste-relative contents
can be identified with any ‘state we could attribute using the
language of preference’ (ibid.). ‘Why might it matter whether
there is one state or two?’ he asks. EXPRESSIVISM AND THE ORGANIC
MODEL Thus, once it is assumed that the building-block model and the
organic model can be used to spell out the differences between
such close views as assessment relativism and expressivism,
MacFarlane’s arguments could be taken even a step further, to
use them against the whole organic model. If ‘Licorice is tasty’
and ‘I know the taste of licorice first-hand and I do like it’ are
analytically equivalent, but it can be rational to believe one but
not the other, maybe it is inappropriate as a general policy to
claim that there cannot be different but analytically equivalent
propositions. We close this paper by providing some evidence in
favor of the organic take, arguing (i) that ‘Licorice is tasty’ and
‘I know the taste of licorice first-hand and I do like it’ are not
analytically equivalent within the organic model, and (ii) that,
with respect to those sentences that are declared to be analytically
equivalent by the organic model, it is indeed irrational to believe
one but not the other. A crucial aspect of our argument is the
rejection, already mentioned, of the idea that the job of sentences
like ‘Licorice is tasty’ and ‘I know the taste of licorice first-hand
and I do like it’ is to voice mental states. We are willing to accept,
as both McFarlane and Gibbard do, that the state of mind that
makes an agent utter any of them might be identical. But it does
not follow from this that they are analytically equivalent. Their
meanings do not equate to the expression of feelings or attitudes
but they are instead individuated by the inferential commitments
that a speaker acquires when uttering them, commitments that
belong to the public sphere and for which what happens in the
agent’s head is strictly irrelevant. While it still makes sense to ask whether 1b could be false,
the truth of 1a goes unquestioned. ‘Being an ophthalmologist’
and ‘being an oculist’ are not, as a consequence, analytically
equivalent. Comparing 2a and 2b offers a similar result. While
2a is obviously true, the truth of 2b can be challenged. A person
attending a wine-testing course might be rational to think
that he/she likes the taste of a certain wine while not thinking
that it is tasty. This would not show that two analytically
equivalent sentences can be rationally entertained as different,
and therefore that expressivism fails. EXPRESSIVISM AND THE ORGANIC
MODEL In other words, a first-person avowal of a belief with the
content that licorice is tasty is practically indistinguishable from
a claim to the effect that the speaker likes its taste. But even so,
an agent who is working hard to improve his/her taste standards
could make sense of a situation in which he/she still likes licorice
but would be willing to accept that it might not be tasty after all. And clearly, a subject who assesses these avowals can mark the
first one as saying something false while ascribing truth to the
second claim. Thinking that we like the taste of something having a taste
we know first-hand, and thinking that something is tasty are
conceptually, i.e., analytically, equivalent, and yet, MacFarlane November 2015 | Volume 6 | Article 1788 Frontiers in Psychology | www.frontiersin.org 7 Expressivism, Relativism, and the Analytic Equivalence Test Frápolli and Villanueva cannot be taken to express the same content. Mates’ cases are a
particularly telling way to explore the inferential content of pairs
of expressions. argues, an agent can be in a position in which it is not irrational
to attribute one but not the other. Only MacFarlane’s own
assessment relativism can account for this fact. Expressivism, no
matter how close to relativism it might appear, is necessarily
committed to the opposite idea. McFarlane’s remarks disclose
an irresoluble conflict with expressivism that can be expressed
in terms of the two models of content-individuation described
in the foregoing sections of the present paper. If McFarlane’s
diagnosis is accurate, relativism and expressivism come apart
at this deeper level, and, to the despair of the proponents of
the organic model, there is something intuitively correct in the
idea that one might acknowledge that something is tasty without
liking its taste herself. (1a) Nobody
doubts
that,
whoever
believes
that
ophthalmologists
are
ophthalmologists,
believes
that
ophthalmologists are ophthalmologists. (1b) Nobody
doubts
that,
whoever
believes
that
ophthalmologists
are
ophthalmologists,
believes
that
ophthalmologists are oculists. (2a) Nobody doubts that, whoever believes that licorice is tasty,
believes that licorice is tasty. (2b) Nobody doubts that, whoever believes that licorice is tasty,
believes that he/she knows the taste of licorice first-hand and
likes it. EXPRESSIVISM AND THE ORGANIC
MODEL Rather, this would only
show that expressivism – or MacFarlane’s reconstruction of it
as applied to taste predicates – had gone too far in claiming
that those two thoughts are analytically equivalent. Within an
expressivist-organic approach it makes perfect sense to think that
licorice is not tasty, while still liking its taste, because ‘Licorice
is tasty’ and ‘I know the taste of licorice first-hand and I do like
it’ are not analytically equivalent. Thus 2a and 2b prove that
they have different inferential import. MacFarlane’s insistence on
‘Licorice is tasty’ and ‘I know the taste of licorice first-hand and
I do like it’ being analytically equivalent, in spite of their distinct
inferential behavior, only confirms that his assessment relativism
belongs to the building-block model. The expressivist does not
need to shy away from MacFarlane’s argument precisely because
organic content individuation is incompatible with the claim
that ‘Licorice is tasty’ and ‘I know the taste of licorice first-hand
and I do like it’ have the same content – they are not analytically
equivalent. In fact, MacFarlane’s claim that they are is only
possible if relativism falls outside the sphere of the organic model. The general question underlying the conflict does not have an
easy answer. Whether it makes sense to accept that two contents
can be different even if the sentences by means of which we
systematically express them are analytically equivalent crucially
depends on the kinds of concepts involved. For ordinary first-
level sentences, i.e., the kinds of sentences that express what
Ramsey calls beliefs of the ‘primary sort’ (Ramsey, 1929, p. 146)
and Boole and Frege ‘primary propositions’ (Frege, 1880–1881,
p. 14), the possibility of finding cases of the kind put forward
by Benson Mates (Mates, 1952), always seems open. Under the
organic model, as we examined in Section “Propositional Priority
and the Organic Model,” content is individuated inferentially,
but that does not mean that no mechanism can be devised to
check whether or not two particular linguistic items, sentential
or subsentential, express the same content. Whenever two
expressions are not interchangeable salva veritate, it is proved
that their inferential behavior crucially differ, and therefore p
p
g
‘Being an ophthalmologist,’ like ‘being tasty,’ are first-order
predicates. Expressivism, we have claimed, is nevertheless
essentially concerned with functions of propositions. Frontiers in Psychology | www.frontiersin.org EXPRESSIVISM AND THE ORGANIC
MODEL Modal,
epistemic, doxastic operators, along with ethical terms and
logical constants were among the examples that we offered to
characterize the view as an instantiation of the organic model. In fact, Frege’s examples, the ones that we introduced in order
to argue for the idea that an organic individuation of content was
incompatible with the existence of analytically equivalent, and yet
different, propositions, involved a difference only in functions of
propositions – logical constants, or the operation of passivization. Using the Mates test to check on sentences differing only at the
level of functions of propositions proves to offer striking results: November 2015 | Volume 6 | Article 1788 November 2015 | Volume 6 | Article 1788 Frontiers in Psychology | www.frontiersin.org Frontiers in Psychology | www.frontiersin.org 8 Expressivism, Relativism, and the Analytic Equivalence Test Frápolli and Villanueva The two models can be discriminated by the analytic-
equivalence test. The negative answer to the question whether
analytically equivalent sentences always express the same
proposition characterizes the building-block model of content
individuation. The positive answer is the semantic core of
the organic model. In the dispute between McFarlane and
Gibbard, there is an essential mismatch that underlies their local
disagreement about the identification of normative contents with
expressions of mental states, which classifies either view under
a different model. McFarlane is a representative of the building-
block model, while Gibbard represents the organic model. Their
views are thus more dissimilar than what meets the eye. Both
models have strengths and weaknesses and at the level of first-
order contents the two parties propose possibly compatible
accounts. Nevertheless, when functions of propositions are
involved, the analytic-equivalence test settles the issue for the
organic model. Only the organic model agrees with the speakers’
intuitions and thus it is the only one appropriate for the
analysis of higher-order functions, in general, and functions of
propositions, in particular. We might reject that the speakers’
intuition plays any role in the analysis of meaning, as the
proponents of the various error theories do, but this move would
take the study of language away from the game of science. We
chose the empirical path in ‘Minimal Expressivism’ (Frápolli
and Villanueva, 2012) by assuming that semantic hypotheses on
the behavior of functions of propositions were, in this sense, a
posteriori. ACKNOWLEDGMENTS We are grateful to David Bordonaba and to the two Frontiers
reviewers for useful comments on an earlier draft. CONCLUSION This project has received funding from the European Union’s
Horizon 2020 research and innovation program under the Marie
Skłodowska-Curie Grant Agreement No. 653056. The Ministerio
de Ciencia e Innovación del Gobierno de España (Project
FFI2013-44836-P), the Consejería de Innovación de la Junta de
Andalucía (Project HUM-0499), and the University of Granada
(Plan Propio, Programa de Sabáticos, and Proyecto Expresivismo
Doxástico) have also contributed supporting our research. MacFarlane’s assessment relativism is
necessarily
different
from any sensible reconstruction of an expressivist position. The expressivist is committed to the organic model, while
MacFarlane’s position illustrates the building-block approach. He
is right that it is easy to imagine situations in which ‘Licorice
is not tasty’ and ‘I know the taste of licorice first-hand and I
do like it’ can be thought at the same time, about the same
licorice, without the thinker being irrational, but that only shows
that ‘Licorice is tasty’ and ‘I know the taste of licorice first-hand
and I do like it’ are not analytically equivalent. Whenever real
analytically equivalent cases can be found within the organic
model, as in 3a to 4c, it is irrational to attribute one but not the
other. EXPRESSIVISM AND THE ORGANIC
MODEL The analytic-equivalence test adjudicates between the
principle of compositionality and the principle of propositional
priority and confirms that when higher-order concepts are at
stake, expressivism is the correct approach. (3a) Nobody doubts that, whoever believes that p, believes that
p. (3b) Nobody doubts that, whoever believes that p, believes that
p. (3b) Nobody doubts that, whoever believes that p, believes that
p. (4a) Nobody doubts that, whoever believes that lawyers are
wealthy, believes that lawyers are wealthy. (4a) Nobody doubts that, whoever believes that lawyers are
wealthy, believes that lawyers are wealthy. (4b) Nobody doubts that, whoever believes that lawyers are
wealthy, believes that it is not the case that lawyers are not
wealthy. (4c) Nobody doubts that, whoever believes that lawyers are
wealthy and researchers are poor, believes that it is not the
case that lawyers are not wealthy or that researchers are not
poor. (4c) Nobody doubts that, whoever believes that lawyers are
wealthy and researchers are poor, believes that it is not the
case that lawyers are not wealthy or that researchers are not
poor. (4c) Nobody doubts that, whoever believes that lawyers are
wealthy and researchers are poor, believes that it is not the
case that lawyers are not wealthy or that researchers are not
poor. Sentences 3a and 4a are trivially true. But, contrary to what
happens with 1b and 2b, sentences 3b, 4b, and 4c also appear
to be unquestionably true. A rational agent cannot attribute the
belief that lawyers are wealthy without attributing the belief that
it is not the case that lawyers are not wealthy. Otherwise the
agent would display serious rationality flaws. Those who reject
4c remove themselves from the community of rational agents. In
these cases, what is in question is not lexical mastery but the basic
understanding of the rules of language. Concerning functions of propositions, our intuitions agree
with the predictions of the organic model. Rational agents cannot
believe that Alan is an expressivist, without believing that it
is true that Alan is an expressivist, for what is at stake is a
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10.1080/00048409612347521 Copyright © 2015 Frápolli and Villanueva. This is an open-access article distributed
under the terms of the Creative Commons Attribution License (CC BY). The use,
distribution or reproduction in other forums is permitted, provided the original
author(s) or licensor are credited and that the original publication in this journal
is cited, in accordance with accepted academic practice. No use, distribution or
reproduction is permitted which does not comply with these terms. Lopez de Sa, D. (2015). Expressing disagreement: a presuppositional indexical
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Context-Sensitivity and Semantic Minimalism: New Essays on Semantics and November 2015 | Volume 6 | Article 1788 Frontiers in Psychology | www.frontiersin.org 10
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Effects of preoperative calcium levels and parathyroidectomy on renal function in primary hyperparathyroidism: a retrospective study
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RESEARCH ARTICLE
Croat Med J. 2020;61:33-9
https://doi.org/10.3325/cmj.2020.61.33 RESEARCH ARTICLE
Croat Med J. 2020;61:33-9
https://doi.org/10.3325/cmj.2020.61.33 33 Croat Med J. 2020;61:33-9
https://doi.org/10.3325/cmj.2020.61.33 Seher Kir1, Cafer Polat2
1Internal Medicine Department,
Faculty of Medicine, Ondokuz
Mayıs University, Samsun, Turkey
2General Surgery Department,
Faculty of Medicine, Ondokuz
Mayıs University, Samsun, Turkey Received: March 21, 2019
Accepted: January 24, 2020
Correspondence to:
Seher Kir
Ondokuz Mayıs University
Faculty of Medicine
55139 Samsun, Turkey
seherkr@yahoo.com RESEARCH ARTICLE RESEARCH ARTICLE Croat Med J. 2020;61:33-9 34 Primary hyperparathyroidism (PHPT) is a common endocrine
disorder characterized by hypercalcemia and high or inap
propriately normal parathyroid hormone (PTH) levels (1). It
is most frequently caused by a single parathyroid adenoma,
followed by parathyroid gland hyperplasia and parathyroid
carcinomas (2). Patients with PHPT experience renal compli
cations such as nephrolithiasis and hypercalciuria (3). Further
more, in these patients high serum calcium and PTH levels
may negatively affect the renal function (3). Although chron
ic renal failure mainly leads to secondary hyperparathyroid
ism, about 16%-17% of patients with PHPT have low glom
erular filtration rates (eGFR<60 mL/min/1.73 m2) (1,4). Thus,
a decrease in eGFR can be expected during a course of un
treated PHPT. An eGFR below 60 mL/min/1.73 m2 is a surgical
indication for parathyroidectomy (5). While some studies (5,6)
reported that parathyroidectomy improved renal function in
PHPT patients with eGFR below 60 mL/min/1.73 m2 pre-sur
gery, others reported no effect (7-12). However, the effect of
parathyroidectomy on eGFR in patients with eGFR≥60 mL/
min/1.73 m2 is not clear due to the scarcity of the studies on
this issue (1,4,5,13,14). Moreover, the existing studies differ in
terms of patient selection and methodology and report dif
ferent factors affecting GFR. The aim of the present study was
to assess the effects of preoperative calcium levels and para
thyroidectomy on renal function in patients with PHPT, with
mild renal dysfunction or normal renal function. or parathyroid carcinomas diagnosed during parathyroi
dectomy, and thyroid or hepatic dysfunction. The final
sample consisted of 71 patients (91.5% women). The patients were divided into two groups according to Kid
ney Disease: Improving Global Outcomes guidelines (15):
those with a mild decrease in eGFR (low eGFR group: 60-
90 mL/min/1.73 m2) and those with a normal or increased
eGFR (normal eGFR group: ≥90 mL/min/1.73 m2). One of
the surgical criteria for PHPT is an increase in serum calcium
level 1 mg/dL above the upper reference limit. Therefore,
the patients were divided into low calcium group (≤11.2
mg/dL) and high calcium group (> 11.2 mg/dL) for the pur
pose of assessing the effect of calcium levels on eGFR. This study was approved by the Medical Ethics Commit
tee of Ondokuz Mayis University (OMU-KAEK 2018/296). The patients gave informed consent for the testing as part
of their regular medical care. Biochemical evaluation Serum calcium and creatinine were measured with colori
metric and spectrophotometric methods by using Roche
Cobas 8000 modular analyzer (Roche Diagnostics, Man
nheim, Germany). Serum intact PTH was measured with
electrochemiluminescence immunoassay method by us
ing Roche Cobas E170 modular analyzer (Roche Diagnos
tics). Serum 25(OH)D3 was measured with high perfor
mance liquid chromatography (HPLC) by using Agilent
1100 Series (Chromsystem Diagnostics, Munich, Germany). Intra-assay and inter-assay coefficient of variations were
4.8% and 6.3%, respectively. Study population We retrospectively reviewed the records of all patients who
underwent surgery due to PHPT in the General Surgery De
partment of the Ondokuz Mayis University Hospital from
2010 to 2018. All patients had histologically and pathologi
cally confirmed parathyroid adenoma. None of the patients
had advanced kidney failure (eGFR<60 mL/min/1.73 m2). All
the surgeries were performed by the same surgical team. The pre-parathyroidectomy eGFR level ≥60 mL/min/1.73 m2
was used to eliminate the effects of moderate to severe re
nal insufficiency on the PTH hormonal axis. eGFR was assessed with the Chronic Kidney Disease Epide
miology Collaboration creatinine equation (15): 141 × min
(SCr/К, 1)α × max(SCr/К, 1)1.209 × 0.993Age ( × 1.018 if female),
where SCr is serum creatinine (in mg/dL), К is 0.7 for wom
en and 0.9 for men, α is -0.329 for women and -0.411 for
men, min is the minimum of SCr/κ or 1, and max is the
maximum of SCr/κ or 1. Inclusion criteria were age 18 years and older, complete
medical records with a full patient history, available re
sults of a physical examination, and available values of to
tal serum calcium, serum creatinine, serum intact PTH, and
serum 25-hydroxyvitamin D3 (25(OH)D3) before and 3-6
months after parathyroidectomy. Exclusion criteria were
the diagnosis of multiple endocrine neoplasia type 1
and 2 or any active malignancies, including thyroid RESEARCH ARTICLE Demographic data, medical
histories, histological examinations, laboratory studies, and
imaging were obtained from the hospital database. Effects of preoperative calcium
levels and parathyroidectomy
on renal function in primary
hyperparathyroidism: a
retrospective study Aim TTo assess the effects of preoperative calcium levels
and parathyroidectomy on estimated glomerular filtra
tion rate (eGFR) in patients with primary hyperparathy
roidism (PHPT) with mild renal dysfunction or normal re
nal function. Methods This retrospective study enrolled 71 patients
who underwent parathyroidectomy for PHPT in the Gen
eral Surgery Department at Ondokuz Mayis University
Hospital from 2010 to 2018. All patients were histopatho
logically diagnosed with parathyroid adenoma. Total se
rum calcium, serum creatinine, serum intact parathyroid
hormone (PTH), and serum 25-hydroxyvitamin D3 (25(OH)
D3) were measured before and 3-6 months after surgery. Patients were assigned to the low eGFR group (60-90 mL/
min/1.73 m2) or normal eGFR group (≥90 mL/min/1.73 m2)
and to the low calcium group (≤11.2 mg/dL) or high cal
cium group (>11.2 mg/dL). Results In the low eGFR and high calcium group, there
were significantly more patients with hypertension and
older age. In the normal eGFR and high calcium group,
eGFR was significantly reduced after surgery. Independent
predictors of eGFR change after surgery were age, pre-
parathyroidectomy calcium, and pre-parathyroidectomy
eGFR. Conclusions After surgery, patients with low eGFR had
preserved renal function, whereas those with normal eGFR
had decreased renal function. Mild renal dysfunction in
PHPT was associated with older age, hypertension, and
high calcium levels. www.cmj.hr Results The mean age was 52.8 ± 12.1. Hypertension was present
in 40.8%, diabetes mellitus (DM) in 16.9%, and nephro
lithiasis in 18.3% patients. The mean eGFR was 97.7 ± 19.5
mL/min before parathyroidectomy and 95.5 ± 19.8 mL/min
after parathyroidectomy. Serum calcium and PTH signifi
cantly decreased after parathyroidectomy, serum creati
nine and 25(OH)D3 significantly increased, while eGFR did
not change significantly (Table 1). Table 1. Clinical data of primary hyperparathyroidism patients before and after parathyroidectomy*
Before parathyroidectomy,
mean±SD or median (IQR)
After parathyroidectomy,
mean±SD or median (IQR)
P
Age, years
52.8 ± 12.1
Serum creatinine (RR: 0.4-1.4 mg/dL)
0.69 ± 0.16
0.72 ± 0.18
0.032†
Serum calcium (RR: 8.8-10.2 mg/dL)
11.3 ± 0.75
9.5 ± 0.41
<0.001†
Parathyroid hormone (RR: 15-65 pg/mL)
167.1 (108.7)
65.3 (27.9)
<0.001‡
25-hydroxyvitamin D3 (RR: 30-80 μg/L)
17.6 (14.3)
20.8 (6.53)
0.036‡
Estimated glomerular filtration rate (mL/min/1.73 m2)
97.7 ± 19.5
95.5 ± 19.8
0.1†
*SD – standard deviation; IQR – interquartile range; RR – reference range. †t-test. ‡Wilcoxon’s test for paired samples. ble 1. Clinical data of primary hyperparathyroidism patients before and after parathyroidectomy* Table 2. Clinical data of primary hyperparathyroidism patients subdivided according to preoperative estimated glomerular filtration
rate (eGFR)*
Low eGFR (60≤eGFR<90) (n = 23)
Normal eGFR (eGFR≥90) (n = 48)
P
Female sex, n (%)
21 (91.3)
44 (91.7)
0.959§
Hypertension, n (%)
14 (60.9)
15 (31.3)
0.017§
Diabetes mellitus, n (%)
5 (21.7)
7 (14.6)
0.451§
Nephrolithiasis, n (%)
6 (26.1)
7 (14.6)
0.241§
Age (years), mean±SD
62.8 ± 8.1
48.0 ± 10.7
<0.001†
Before parathyroidectomy
Serum creatinine (mg/dL), mean±SD
0.85 ± 0.12
0.62 ± 0.11
<0.001†
Serum calcium (mg/dL), mean±SD
11.7 ± 0.9
11.2 ± 0.6
0.012†
Parathyroid hormone (pg/mL), median (IQR)
154.4 (69.1)
179 (116.0)
0.589‡
25-hydroxyvitamin D3 (μg/L), median (IQR)
20.7 (12.8)
14.8 (17.0)
0.033‡
eGFR (mL/min/1.73 m2), mean±SD
75.4 ± 9.8
108.4 ± 12.7
<0.001†
After parathyroidectomy
Serum creatinine (mg/dL), mean±SD
0.86 ± 0.19
0.66 ± 0.13
<0.001†
Serum calcium (mg/dL), mean±SD
9.5 ± 0.4
9.5 ± 0.4
0.852†
Parathyroid hormone (pg/mL), median (IQR)
78.9 (54.3)
64.2 (27.4)
0.094‡
25-hydroxyvitamin D3 (μg/L), median (IQR)
22.8 (17.0)
20.4 (6.4)
0.273‡
eGFR (mL/min/1.73 m2), mean±SD
77.2 ± 16.8
104.3 ± 14.6
<0.001†
*SD – standard deviation; IQR – interquartile range. †t-test. ‡Mann-Whitney-U test. Table 2. Statistical analysis The normality of distribution was tested either by Shapiro-
Wilk or Kolmogorov-Smirnov tests according to the num
ber of participants in the total group and subgroups. The
results are presented as mean ± standard deviation or me www.cmj.hr 35 Kir and Polat: Effects of preoperative calcium and parathyroidectomy on renal function in primary hyperparathyroidism plains the factors related to eGFR change. The level of sig
nificance was set at P ≤ 0.05. The analysis was conducted
with SPSS, version 25.0 (IBM Corp., Armonk, NY, USA). dian and interquartile range (IQR). The significance of dif
ferences between the groups for unpaired samples (eGFR
and calcium groups) was tested with the Mann-Whitney
U test or independent sample t test and for paired sam
ples (pre-post PTX comparisons) with the Wilcoxon’s test
or paired t test, where applicable. The significance of dif
ferences between the categorical variables was assessed
with the chi square test or Fisher exact test, where applica
ble. The correlation between continuous variables was as
sessed with the Pearson correlation test or Spearman corre
lation test, where applicable. Multiple linear regression was
used to evaluate independent predictors of eGFR change. Backward elimination method in multiple linear regression
was used to predict the most significant model that ex Results The low eGFR group also had significantly
higher pre-parathyroidectomy 25(OH)D3, pre-parathy
roidectomy calcium, and post-parathyroidectomy crea
tinine, and significantly lower post-parathyroidectomy
eGFR (Table 2). In the normal eGFR group, eGFR was sig
nificantly reduced after parathyroidectomy (P = 0.005)
but in the low eGFR group it did not change signifi
cantly (P = 0.522, paired sample t test, data not shown). The low calcium group and high calcium group did not
significantly differ in sex and DM rate. The high calcium
group had significantly higher mean age, nephrolithiasis
rate, and hypertension rate. It also had significantly higher
creatinine and calcium levels both before and after para
thyroidectomy, and significantly lower pre-parathyroidec
tomy eGFR (Table 3). In the low calcium group, eGFR did
not change after parathyroidectomy (P = 0.850), but in the Table 3. Clinical data of primary hyperparathyroidism patients subdivided according to serum calcium Table 3. Clinical data of primary hyperparathyroidism patients subdivided according to serum calcium
Low serum calcium
(≤11.2 mg/dL) (n = 35)
High serum calcium
(>11.2 mg/dL) (n = 36)
P
Female, n (%)
33 (94.3)
32 (88.9)
0.414§
Hypertension, n (%)
8 (22.9)
21 (58.3)
0.02§
Diabetes mellitus, n (%)
3 (8.6)
9 (25)
0.065§
Nephrolithiasis, n (%)
2 (5.7)
11 (30.6)
0.007§
Age (years), mean±SD
48.7 ± 12.6
56.8 ± 10.3
0.004†
Before parathyroidectomy
Serum creatinine (mg/dL), mean±SD
0.64 ± 0.16
0.74 ± 0.14
0.006†
Serum calcium (mg/dL), mean±SD
10.8 ± 0.38
11.9 ± 0.59
<0.001†
Parathyroid hormone (pg/mL), median (IQR)
141.3 (124.1)
182.0 (83.1)
0.182‡
25-hydroxyvitamin D3 (μg/L), median (IQR)
16.5 (10.6)
19.3 (18.5)
0.412‡
eGFR (mL/min/1.73 m2), mean±SD
105.1 ± 19.1
90.5 ± 17.3
0.001†
After parathyroidectomy
Serum creatinine (mg/dL), mean±SD
0.65 ± 0.14
0.79 ± 0.19
0.001†
Serum calcium (mg/dL), mean±SD
9.38 ± 0.42
9.64 ± 0.37
0.007†
Parathyroid hormone (pg/mL), median (IQR)
65.2 (25.9)
65.3 (40.5)
0.321‡
25-hydroxyvitamin D3 (μg/L), median (IQR)
22.6 (5.9)
20.5 (9.9)
0.291‡
eGFR (mL/min/1.73 m2), median (IQR)
104.0 (27)
86.5 ± 19.1
<0.001†
*SD – standard deviation; IQR – interquartile range. †t-test. ‡Mann-Whitney-U test. Table 3. Clinical data of primary hyperparathyroidism patients subdivided according to serum calcium www.cmj.hr
Table 4. Results Clinical data of primary hyperparathyroidism patients subdivided according to preoperative estimated glomerular filtration
rate (eGFR)*
Low eGFR (60≤eGFR<90) (n = 23)
Normal eGFR (eGFR≥90) (n = 48)
P
Female sex, n (%)
21 (91.3)
44 (91.7)
0.959§
Hypertension, n (%)
14 (60.9)
15 (31.3)
0.017§
Diabetes mellitus, n (%)
5 (21.7)
7 (14.6)
0.451§
Nephrolithiasis, n (%)
6 (26.1)
7 (14.6)
0.241§
Age (years), mean±SD
62.8 ± 8.1
48.0 ± 10.7
<0.001†
Before parathyroidectomy
Serum creatinine (mg/dL), mean±SD
0.85 ± 0.12
0.62 ± 0.11
<0.001†
Serum calcium (mg/dL), mean±SD
11.7 ± 0.9
11.2 ± 0.6
0.012†
Parathyroid hormone (pg/mL), median (IQR)
154.4 (69.1)
179 (116.0)
0.589‡
25-hydroxyvitamin D3 (μg/L), median (IQR)
20.7 (12.8)
14.8 (17.0)
0.033‡
eGFR (mL/min/1.73 m2), mean±SD
75.4 ± 9.8
108.4 ± 12.7
<0.001†
After parathyroidectomy
Serum creatinine (mg/dL), mean±SD
0.86 ± 0.19
0.66 ± 0.13
<0.001†
Serum calcium (mg/dL), mean±SD
9.5 ± 0.4
9.5 ± 0.4
0.852†
Parathyroid hormone (pg/mL), median (IQR)
78.9 (54.3)
64.2 (27.4)
0.094‡
25-hydroxyvitamin D3 (μg/L), median (IQR)
22.8 (17.0)
20.4 (6.4)
0.273‡
eGFR (mL/min/1.73 m2), mean±SD
77.2 ± 16.8
104.3 ± 14.6
<0.001†
*SD – standard deviation; IQR – interquartile range. †t-test. ‡Mann-Whitney-U test. §χ2 test. Table 2. Clinical data of primary hyperparathyroidism patients subdivided according to preoperative estimated glomerular filtration
rate (eGFR)* www.cmj.hr RESEARCH ARTICLE RESEARCH ARTICLE 36 Croat Med J. 2020;61:33-9 There were 4 patients with unchanged, 22 patients with
decreased, and 45 patients with increased postoperative
eGFR levels. The low eGFR group and normal eGFR group did not sig
nificantly differ in sex, nephrolithiasis rate, and DM rate. However, the low eGFR group had a significantly higher
hypertension rate (P = 0.017) and was significantly old
er (P < 0.001). The low eGFR group also had significantly
higher pre-parathyroidectomy 25(OH)D3, pre-parathy
roidectomy calcium, and post-parathyroidectomy crea
tinine, and significantly lower post-parathyroidectomy
eGFR (Table 2). In the normal eGFR group, eGFR was sig
nificantly reduced after parathyroidectomy (P = 0.005)
but in the low eGFR group it did not change signifi
cantly (P = 0.522, paired sample t test, data not shown). The low eGFR group and normal eGFR group did not sig
nificantly differ in sex, nephrolithiasis rate, and DM rate. However, the low eGFR group had a significantly higher
hypertension rate (P = 0.017) and was significantly old
er (P < 0.001). Results Correlation between laboratory parameters and pre- and post-parathyroidectomy estimated glomerular filtration rate (eGFR)
Pre- parathyroidectomy
eGFR
age
creatinine
calcium
parathyroid hormone
25-hydroxyvitamin D3
Pre-parathyroidectomy eGFR
correlation coefficient
-
-0.760*
-0.888*
-0.290†
0.168
-0.296†
significance (two-tailed)
-
<0.001‡
<0.001‡
0.014‡
0.161§
0.027§
Post-parathyroidectomy eGFR
correlation coefficient
0.835*
-0.717*
-0.739*
-0.385*
0.079
-0.255
significance (two-tailed)
<0.001‡
<0.001‡
<0.001‡
0.001‡
0.514§
0.058§
*Correlation is significant at the 0.01 level (two-tailed). †Correlation is significant at the 0.05 level (two-tailed). ‡Pearson correlation. §Spearman correlation. Correlation between laboratory parameters and pre- and post-parathyroidectomy estimated glomerular filtration rate (eGFR www.cmj.hr 37 Kir and Polat: Effects of preoperative calcium and parathyroidectomy on renal function in primary hyperparathyroidism high calcium group it was significantly reduced (P = 0.022)
(paired sample t test, not shown in the table). These differences might be explained by the method
ological differences and different number of participants
between the studies. The present study included patients
with eGFRs ≥60 mL/min/1.73 m2 to eliminate the impact of
renal dysfunction on PTH levels. Pre-parathyroidectomy eGFR negatively correlated with
age, pre-parathyroidectomy calcium, creatinine, and
25(OH)D3 whereas post-parathyroidectomy eGFR nega
tively correlated with age, and pre-parathyroidectomy cal
cium and creatinine (Table 4). Several previous studies investigated the effects of para
thyroidectomy on renal impairment. In patients with de
creased renal function (eGFR<60 mL/min/1.73 m2), para
thyroidectomy did not improve eGFR (6-12,19-21) but it
did halt eGFR deterioration (4,5,19). Our study showed for
the first time that patients with eGFR between 60 and 90
mL/min/1.73 m2 had a preserved renal function, whereas
those with eGFR≥90 mL/min/1.73 m2 had a decreased
eGFR in post-parathyroidectomy period. Regression analysis assessed the impact of hypertension,
DM, age, baseline serum calcium, creatinine, eGFR, and
PTH levels on eGFR changes. PTH, hypertension, or DM
did not significantly affect eGFR change. The most signifi
cant model (including the variables of age, baseline serum
calcium, creatinine and eGFR levels) was Model F = 4.276;
model R2 = 0.206; P = 0.004 (Table 5). All these variables, ex
cept baseline serum creatinine, were independent predic
tors of eGFR change. Nair et al (4) reported an increased prevalence of renal dys
function when calcium levels exceeded 12 mg/dL. The risk
of developing renal failure was increased 13.8-fold even in
mild PHPT (mean calcium: 10.5 mg/dL) (22). Results To the best of
our knowledge, this is the first study to evaluate the im
pact of pre-surgery calcium levels on pre- and post-sur
gery eGFR by dividing the patients according to their calci
um levels. The results revealed that the high calcium group
had significantly low eGFR and more common renal injury
after parathyroidectomy than the low calcium group. This
finding may be explained by the presence of PTH, a potent
vasodilator of renal arteries and arterioles. Therefore, in
creased PTH levels in PHPT may lead to increased glomer
ular flow and increased GFR (14,23-25). In previous studies,
increased pre-glomerular resistance after abrupt parathy
roidectomy-related decreases in PTH levels was associat
ed with acute renal injury (14,24-26). Although we found
no association between PTH levels and eGFR change 3-6
months after surgery, calcium levels were related to eGFR
changes. Table 5. Multiple linear regression model of predictors of
estimated glomerular filtration rate (eGFR) change between
pre- and post-parathyroidectomy values* Table 5. Multiple linear regression model of predictors of
estimated glomerular filtration rate (eGFR) change between
pre- and post-parathyroidectomy values*
Independent variables
Beta
P
Age, years
0.531
0.021
Serum creatinine, mg/dL
0.523
0.101
Serum calcium, mg/dL
0.251
0.034
eGFR (mL/min/1.73 m2)
1.202
0.006
*Dependent variable: eGFR change (continuous variable), R2 of the
model = 0.206, P = 0.004. References 1
Walker MD, Nickolas T, Kepley A, Lee JA, Zhang C, McMahon DJ,
et al. Predictors of renal function in primary hyperparathyroidism. J Clin Endocrinol Metab. 2014;99:1885-92. Medline:24527717
doi:10.1210/jc.2013-4192 1
Walker MD, Nickolas T, Kepley A, Lee JA, Zhang C, McMahon DJ,
et al. Predictors of renal function in primary hyperparathyroidism. J Clin Endocrinol Metab. 2014;99:1885-92. Medline:24527717
doi:10.1210/jc.2013-4192 2
Khan AA, Hanley DA, Rizzoli R, Bollerslev J, Young JE, Rejnmark L,
et al. Primary hyperparathyroidism: review and recommendations
on evaluation, diagnosis, and management. A Canadian
and international consensus. Osteoporos Int. 2017;28:1-19. Medline:27613721 doi:10.1007/s00198-016-3716-2 2
Khan AA, Hanley DA, Rizzoli R, Bollerslev J, Young JE, Rejnmark L,
et al. Primary hyperparathyroidism: review and recommendations
on evaluation, diagnosis, and management. A Canadian
and international consensus. Osteoporos Int. 2017;28:1-19. Medline:27613721 doi:10.1007/s00198-016-3716-2 Most previous studies that evaluated the association be
tween PHPT and eGFR did not classify the patients accord
ing to their pathological diagnosis (parathyroid adenoma
or hyperplasia). We included only patients with parathy
roid adenoma. Although there are several studies on PHPT
and eGFR, no other study evaluated the eGFR changes af
ter parathyroidectomy according to pre-operative calcium
levels. We believe that this study elucidates the effects of
parathyroidectomy and pre-operative hypercalcemia on
eGFR more clearly in a specific group of patients with para
thyroid adenoma and eGFR level ≥60 mL/min/1.73 m2. 3
Corbetta S, Baccarelli A, Aroldi A, Vicentini L, Fogazzi GB, Eller-
Vainicher C, et al. Risk factors associated to kidney stones in
primary hyperparathyroidism. J Endocrinol Invest. 2005;28:122-8. Medline:15887857 doi:10.1007/BF03345354 4
Nair CG, Babu M, Jacob P, Menon R, Mathew J. Unnikrishnan. Renal dysfunction in primary hyperparathyroidism; effect of
parathyroidectomy: a retrospective cohort study. Int J Surg. 2016;36:383-7. Medline:27826053 doi:10.1016/j.ijsu.2016.11.009 Our study has several limitations, most notably its retro
spective design and short evaluation time. In all the eGFR
calculations, we used a single creatinine level, which may
not reflect the actual eGFR. Our sample size was limited be
cause of our strict inclusion criteria. Further studies on the
effects of parathyroidectomy in a larger group of patients
with eGFR ≥60 mL /min/1.73 m2 are needed to confirm our
results and further explain the etiology of renal dysfunc
tion in PHPT and eGFR changes post-surgery. In conclusion, we believe that these data provide new in
sight into the effect of hypercalcemia and parathyroidec
tomy on pre- and post-parathyroidectomy eGFR levels. RESEARCH ARTICLE RESEARCH ARTICLE RESEARCH ARTICLE 38 Croat Med J. 2020;61:33-9 reported a significantly high prevalence of DM and hyper
tension among PHPT patients (4,27,28). In our study, there
was no significant difference between the groups in the DM
rate. In addition, the patients were evaluated as soon as 3-6
months after surgery to minimize the effects of chronic dis
ease processes such as DM and hypertension on eGFR. A
longer follow-up interval after surgery might have provid
ed misleading information on eGFR changes. Some previ
ous studies observed transient changes in renal function in
patients with PHPT in the first 48 hours after parathyroidec
tomy, which continued for up to 6 months (22,29). In our
patients, there were no major surgical complications, such
as severe hypotension. Therefore, the time interval in the
present study was long enough to allow renal recovery af
ter surgery. Declaration of authorship Both authors conceived and designed the
study; SK acquired, analyzed, and interpreted the data; both authors drafted
the manuscript; both authors critically revised the manuscript for important
intellectual content; both authors gave approval of the version to be sub
mitted; both authors agree to be accountable for all aspects of the work. Competing interests All authors have completed the Unified Competing
Interest form at www.icmje.org/coi_disclosure.pdf (available on request
from the corresponding author) and declare: no support from any organi
zation for the submitted work; no financial relationships with any organiza
tions that might have an interest in the submitted work in the previous 3
years; no other relationships or activities that could appear to have influ
enced the submitted work. Funding None.
Ethical approval given by Medical Ethics Committee of Ondokuz
Mayis University (OMU-KAEK 2018/296). Discussion This study points to an association between mild renal
dysfunction in PHPT and older age, hypertension, and high
serum calcium levels. In addition, older age, high basal
eGFR, and high basal calcium levels were associated with
a decrease in eGFR after surgery. Our findings are in ac
cordance with those reported in previous research, which
also found an association between low eGFR and hyper
tension, older age, and high calcium levels, although these
studies included patients with lower eGFR (1,4). The post-parathyroidectomy eGFR decrease was more fre
quent in the normal eGFR group and high calcium group. This is not a contradiction because, despite parathyroidec
tomy, calcium remained higher in the high calcium group
than in the low calcium group. Also, there were more pa
tients in the high calcium group with a decrease in their
eGFR postoperatively most probably due to the effect of
abruptly falling PTH levels. There was no difference in cal
cium levels between the low eGFR group and the normal
eGFR group in the postoperative period. The most recent guideline on the management of asymp
tomatic PHPT confirmed 60 mL/min/1.73 m2 as the renal
impairment threshold for parathyroidectomy, which is
equivalent to stage 3 chronic kidney disease. Below this
level, decreased renal function may negatively affect PTH
levels (16,17). However, some studies reported secondary
increases in PTH levels and PHPT exacerbation at an eGFR
threshold ranging from 30 to 70 mL/min/1.73 m2 (17-19). The known causes of renal dysfunction include hyper
tension, DM, and renal complications. Some studies www.cmj.hr References Mild renal dysfunction in PHPT was associated with old
er age, hypertension, and high serum calcium levels. Age
and pre-parathyroidectomy eGFR and calcium levels were
predictors of eGFR changes after surgery. In addition, older
age, high baseline eGFR, and high baseline calcium levels
were associated with eGFR decrease after surgery. 9
Salahudeen AK, Thomas TH, Sellars L, Tapster S, Keavey P,
Farndon JR, et al. Hypertension and renal dysfunction in primary
hyperparathyroidism: effect of parathyroidectomy. Clin Sci (Lond). 1989;76:289-96. Medline:2924521 doi:10.1042/cs0760289 Funding None. Ethical approval given by Medical Ethics Committee of Ondokuz
Mayis University (OMU-KAEK 2018/296). Funding None. 10 Falkheden T, Ohlsson L, Sjögren B. Renal function in
primary hyperparathyroidism. A follow-up study two www.cmj.hr 39 Kir and Polat: Effects of preoperative calcium and parathyroidectomy on renal function in primary hyperparathyroidism to eleven years after surgery comprising 139 patients. Scand J Urol Nephrol. 1980;14:167-75. Medline:7209421
doi:10.3109/00365598009179556 20 Posen S, Clifton-Bligh P, Reeve TS, Wagstaffe C, Wilkinson M. Is
parathyroidectomy of benefit in primary hyperparathyroidism? Q J
Med. 1985;54:241-51. Medline:3991879 11 Hedbäck G, Abrahamsson K, Odén A. The improvement
of renal concentration capacity after surgery for primary
hyperparathyroidism. Eur J Clin Invest. 2001;31:1048-53. Medline:11903490 doi:10.1046/j.1365-2362.2001.00926.x 21 Rowlands C, Zyada A, Zouwail S, Joshi H, Stechman MJ, Scott-
Coombes DM. Recurrent urolithiasis following parathyroidectomy
for primary hyperparathyroidism. Ann R Coll Surg Engl. 2013;95:523-8. Medline:24112502 doi:10.1308/003588413X136299
60048712 12 Hendrickson CD, Castro Pereira DJ, Comi RJ. Renal impairment
as a surgical indication in primary hyperparathyroidism: do the
data support this recommendation? J Clin Endocrinol Metab. 2014;99:2646-50. Medline:24758187 doi:10.1210/jc.2014-1379 22 Yu N, Donnan PT, Leese GP. A record linkage study of outcomes in
patients with mild primary hyperparathyroidism: the Parathyroid
Epidemiology and Audit Research Study (PEARS). Clin Endocrinol
(Oxf). 2010;73:30-4. Medline:20039887 13 Tassone F, Gianotti L, Emmolo I, Ghio M, Borretta G. Glomerular
filtration rate and parathyroid hormone secretion in primary
hyperparathyroidism. J Clin Endocrinol Metab. 2009;94:4458-61. Medline:19808852 doi:10.1210/jc.2009-0587 23 Parikh S, Nagaraja H, Agarwal A, Samavedi S, Von Visger J, Nori U, et
al. Impact of post-kidney transplant arathyroidectomy on allograft
function. Clin Transplant. 2013;27:397-402. Medline:23448282
doi:10.1111/ctr.12099 14 Santos JHZ, Enout MJR, Shimozono AT, Fujjiz LI, Rocha LA, Santos
RO, et al. Evolution of renal function in patients with primary
hyperparathyroidism submitted to parathyroidectomy. Arch Head
Neck Surg. 2018;47:e0886. doi:10.4322/ahns.2018.0886 24 Endlich K, Massfelder T, Helwig JJ, Steinhausen M. Vascular effects
of parathyroid hormone and parathyroid hormone-related protein
in the split hydronephrotic rat kidney. References J Physiol. 1995;483:481-90. Medline:7650615 doi:10.1113/jphysiol.1995.sp020599 15 KDIGO 2012 clinical practice guideline for the evaluation and
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150. 25 Clemens TL, Cormier S, Eichinger A, Endlich K, Fiaschi-Taesch
N, Fischer E, et al. Parathyroid hormone-related protein
and its receptors: nuclear functions and roles in the renal
and cardiovascular systems, the placental trophoblasts and
the pancreatic islets. Br J Pharmacol. 2001;134:1113-36. Medline:11704631 doi:10.1038/sj.bjp.0704378 16 Bilezikian JP, Brandi ML, Eastell R, Silverberg SJ, Udelsman R,
Marcocci C, et al. Guidelines for the management of asymptomatic
primary hyperparathyroidism: summary statement from
the Fourth International Workshop. J Clin Endocrinol Metab. 2014;99:3561-9. Medline:25162665 doi:10.1210/jc.2014-1413 26 Peacock M. Primary hyperparathyroidism and the kidney:
biochemical and clinical spectrum. J Bone Miner Res. 2002;17:87-
94. Medline:12412783 17 Gianotti L, Tassone F, Cesario F, Pia A, Razzore P, Magro G, et al. A slight decrease in renal function further impairs bone mineral
density in primary hyperparathyroidism. J Clin Endocrinol Metab. 2006;91:3011-6. Medline:16735490 doi:10.1210/jc.2006-0070 27 Cardenas MG, Vigil KJ, Talpos GB, Lee MW, Peterson E, Rao
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T, et al. Influence of renal function on clinico-pathological features
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English
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Design and simulation of a multi-functional radiofrequency tissue welding electrode
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Progress in medical devices
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cc-by
| 4,854
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Research Article https://doi.org/10.61189/299269sghbqx Abstract Purpose: To explore the effect of electrode structure on welding quality by modifying the structure of magnesium
alloy electrode. Methods: Two novel electrodes were designed in this study, including one with a circle (C) surface
and the other with a square and arched (SA) surface. The designed electrodes were compared to a control elec
trode with a smooth surface in terms of temperature distribution, thermal damage to tissue, and effective welding
area. Finite element analysis was used to analyze the stress and strain of all electrodes and thermal damage to
the tissue. Results: Pressure applied to the designed electrodes was within the elastic limit, and the deformation
was less than 1%. The highest temperature of SA electrode (99.6 ℃) was similar to that of the control (100 ℃),
while that of C electrode (106 ℃) was higher than the control. The mean temperature at the welding site in intes
tine of the control electrode was significantly higher than that of the other two electrodes. Besides, the mean tem
perature of C electrode was also slightly higher than that of SA electrode. The tissues welded by the control elec
trode, C electrode and SA electrode were completely necrotic within an axial distance of 2.546 mm, 2.079 mm,
and 1.835 mm from the edge of the welding area, respectively. Conclusion: SA electrode has the lowest thermal
damage compared with the other two electrodes due to smaller effective welding area. Therefore, SA electrode is
better than the other two electrodes. Keywords: Radiofrequency energy, electrode structure, anastomosis, thermal damage Address correspondence to: Lin Mao, Shanghai Institute for Minimally Invasive Therapy, School of Health
Science and Engineering, University of Shanghai for Science and Technology, NO.516 Jungong Road, Yangpu
District, Shanghai 200093, China. Tel: +86-21-55572159. E-mail: linmao@usst.edu.cn. Highlights ●Two novel electrodes (one with circle surface and the other with square and arched surface) were designed for
radiofrequency intestinal anastomosis, and their effects were compared to a control electrode (smoot surface). ● The temperature and thermal damage to tissue produced by the two designed electrodes during welding are
lower than those by the control electrode. ●The electrode with square and arched surface has a smaller effective welding area and better effect on intestinal
anastomosis. ●Two novel electrodes (one with circle surface and the other with square and arched surface) were designed for
radiofrequency intestinal anastomosis, and their effects were compared to a control electrode (smoot surface). ● The temperature and thermal damage to tissue produced by the two designed electrodes during welding are
lower than those by the control electrode. ●The electrode with square and arched surface has a smaller effective welding area and better effect on intestinal
anastomosis. Corresponding author: Lin Mao. Corresponding author: Lin Mao. Declaration of conflict of interest: None. Received August 21, 2023; Accepted December 6, 2023; Published December 31, 2023 Progress in Medical Devices
eISSN: 2957-5443 Progress in Medical Devices
eISSN: 2957-5443 Progress in Medical Devices
eISSN: 2957-5443 Progress in Medical Devices
eISSN: 2957-5443 Design and simulation of a multi-functional radiofre
quency tissue welding electrode Wanwen Yang, Lin Mao, Yilong Chen, Chengli Song Wanwen Yang, Lin Mao, Yilong Chen, Chengli Song Shanghai Institute for Minimally Invasive Therapy, School of Health Science and Engineering, University of Shang
hai for Science and Technology, China, 200093 I. Introduction Surgical site infections (SSIs) are one of the
most common complications after surgery, with
implications for both clinical outcomes and
medical costs [4, 5]. The incidence of SSIs due
to large quantity and complexity of bacteria in
the colorectal intestinal lumen ranges from 3%
to 26%, representing a significant factor con
tributing to deterioration and death of patients
[6-8]. Anastomotic leakage, bleeding, and dis
ruption of incision are the independent risk fac
tors for SSIs in colorectal cancer [9]. Therefore,
a safe and reliable anastomosis method plays
a significant role in surgical treatment efficacy. In 2020, the Global Cancer Statistics Report
stated that colorectal cancer is a highly preva
lent cancer, and its incidence and mortality are
among the top five of all cancers [1]. Clinically,
the primary treatment methods for colorectal
cancer include surgery, radiation therapy, che
motherapy, and targeted therapy [2]. Surgical
resection is a predominant treatment approach
that widely used in all stages of colorectal can
cer [3]. Address correspondence to: Lin Mao, Shanghai Institute for Minimally Invasive Therapy, School of Health
Science and Engineering, University of Shanghai for Science and Technology, NO.516 Jungong Road, Yangpu
District, Shanghai 200093, China. Tel: +86-21-55572159. E-mail: linmao@usst.edu.cn. Progress in Medical Devices 2023; 1 (3): 155-162. PMD23080212 Figure 1. Working process of novel electrode. Figure 1. Working process of novel electrode. Suturing and stapling are two conventional in
testinal anastomosis techniques [10]. Both of
them are discontinuous tissue matching. Con
sequently, complications such as anastomotic
leakage and bleeding often occur [11]. With
the further development of medical technology,
anastomosis techniques have gradually evolved
towards minimally invasive surgery. Biological
adhesives, energy welding, and other technolo
gies have been gradually applied in anastomo
sis [12]. However, common biological adhesives
have problems such as poor adhesive elasticity,
strong tissue toxicity, and rejection reaction. As
a result, bio-adhesives are difficult to be used
widely [13, 14]. The energy-based tissue fusion
technology suggests that tissue healing can be
achieved by heating the tissue with energy such
as light, electricity, acoustic waves to coagulate
and bind the proteins in the tissues at welding
site [15-17]. the effect of electrode structure and pressure
on anastomosis in isolated pigs and showed
that an optimized electrode structure could
contribute to the anastomosis outcome [24]. In 2019, Tu et al. changed control parameters
(power, interval time, and terminal impedance)
to investigate the effect on the anastomotic
quality [25]. I. Introduction Based on previous studies, we designed two
types of electrodes and analyzed the influence
of the electrode structure on the anastomotic
quality. To explore the effect of electrode struc
ture on welding quality, mechanical simulation
was initially used to verify the mechanical prop
erties of all electrodes. Then, various tempera
tures and thermal damages were calculated
through electrothermal simulation. II. Materials and methods With the progress of electrosurgical technolo
gy, researchers have found that while heating
the tissue, the triple helical structure of type I
collagen monomers uncoils and transmutes to
a randomly coiled mass of peptide chains [18]. The peptide chains solidify into a fused mass
while two tissue layers are compressed togeth
er [19]. In 2006, Salameh et al. used LigaSure
system to suture blood vessels, which was the
first application of radiofrequency (RF) energy
for anastomosis [20]. In 2014, Zhou et al. ex
plored the feasibility and effectiveness of intes
tinal anastomosis in an in vitro porcine model
with high-frequency welding device [21]. How
ever, this technology has been hindered due
to problems such as tissue thermal damage
and insufficient anastomotic strength. Hence
forth, a series of studies have been conducted
to continuously improve the welding quality of
intestinal tissue by altering the processing pa
rameters such as extrusion pressure, welding
temperature, duration of heat, and electrode
structure [22, 23]. In 2015, Zhao et al. studied Mechanical structure design In this study, magnesium alloy was selected as
the material of welding electrodes (negative
electrode). Magnesium alloy has high biocom
patibility and is biodegradable in vivo. Exces
sive magnesium produced by degradation can
be eliminated through the excretion system
without metal aggregation, which is conducive
to the formation of an intestinal anastomosis
free of foreign bodies. The working process of the novel electrodes is
displayed in Figure 1. Magnesium alloy elec
trode is placed in the intestine as a negative
electrode which can degrade in the intestine. Two separate segments of intestinal tissue
were overlapped in the order of “mucosa-se
rosa”. Then, a copper electrode consisting of
three identical discrete copper electrodes, each
spanning at an angle of 120 degrees (Figure 1,
left), was placed above the anastomotic area
as positive electrode. RF energy was applied to Progress in Medical Devices 156 Progress in Medical Devices 2023; 1 (3): 155-162. PMD23080212 Figure 2. Designed electrode structures and simulation model of control group. (A) Structures of control
electrode (i), SA electrode (ii) and C electrode (iii); (B) Simulation model of control group. SA, square and arched; C,
circle. Figure 2. Designed electrode structures and simulation model of control group. (A) Structures of control
electrode (i), SA electrode (ii) and C electrode (iii); (B) Simulation model of control group. SA, square and arched; C,
circle. assembly drawing is shown in Figure 2B, and
the same structure was used for the copper
electrodes in the tissue fusion with the three
electrodes. complete the welding. The positive electrode
was removed after welding, and the negative
electrode could degrade in the intestine. The welding quality can be affected by the elec
trode structure of the welding area. Therefore,
the differences of electrodes mainly lie in the
welding area. During structural design, effec
tive welding area, the contact area between the
electrode and intestine in the welding area, and
continuous symmetrical structure were consid
ered. SOLIDWORKS 2022 software was used
for the design of the mechanical structure. The
three designed electrodes are shown in Figure
2A. An electrode with a smooth surface in the
welding area was used as a control electrode,
with an effective welding area of 245.04 mm
2. Construction of model Mechanical properties alter due to the differ
ence of electrode structure. Therefore, static
structural module of ANSYS Workbench soft
ware was used to analyze the stress and strain
of the three electrodes under pressure. Tetra
hedron mesh was applied in this simulation. Element size was set to 0.5 mm. The material
parameters in the simulation are shown in Ta
ble 1. Mechanical structure design Additionally, we designed two electrodes: one
is the circle (C) electrode whose welding part is
composed of successive rings; the other is the
square and arched (SA) electrode whose weld
ing part is formed of the continuous pattern
with square inside and surrounded by four C
arcs. The effective welding areas of these two
electrodes are 136.21 mm
2 and 96.27 mm
2, re
spectively. Besides, for all electrodes, the inner
diameter is 11 mm, and the outer diameter is
13 mm. Width of the welding area is 6 mm. The
structure of both electrodes can be referred to
the control electrode. Finite element analysis Mechanical simulation (1) (1) Nephograms of the designed electrodes are
presented in Figure 3. The maximum stresses
of the control electrode, C electrode and SA
electrode were 1.22 MPa, 6.69 MPa and 3.09
MPa, respectively. The maximum stresses of all
three electrodes were much less than the yield
strength (175 MPa) of magnesium alloy. The
maximum strain of C electrode was 0.00016,
which is negligible. where ε is strain, σ is stress, Ε is elastic modu
lus, and η is viscosity coefficient [30]. The thermoelectric coupling problem followed
the Pennes biological heat transfer equation 2, (2) Construction of model The trend of temperature variation and distri
bution as well as the thermal damage were
analyzed by alternating current/direct current
(AC/DC) module and heat transfer module of
COMSOL5.6. One-third of each electrode model
was applied to the electrothermal simulation
because of the symmetry of electrode struc
ture. Specific thermodynamic parameters of
the material in simulation are shown in Table 2
[27-29]. Free Tetrahedral meshes were applied
in the simulation. The quantity of meshes of the
control electrode, C electrode and SA electrode
were 38143, 46264, and 390151, respectively. Boundary conditions RF power was converted to the corresponding
root mean square value of the DC voltage to
enhance the convergence of the finite ele
ment model. The energy input to the positive
electrode was 110 V AC, while that to the mag
nesium alloy electrode was set to 0. Domain
point probes were added to detect temperature
changes, and boundary probes were added to
observe thermal damage in the intestine. The
time of simulation was 8 s. At t=0, the initial
tissue temperature was set to 37 °C, and the
environment temperature was set to 25 °C. Governing equations The viscoelastic properties of intestinal tissue
were calculated by the Maxwell model ex
pressed in equation 1, Boundary conditions Both ends of the intestine were fixed. According
to our previous studies, a force of 20 N was
applied through the positive electrode, which
was converted to a pressure of 0.125 MPa in
the simulation [26]. The contact interaction be
tween the electrode and the intestine was seen
as friction, with a friction coefficient of 0.1. Electrothermal simulation Taking the control electrode as an example, the Taking the control electrode as an example, the Progress in Medical Devices 157 Progress in Medical Devices 2023; 1 (3): 155-162. PMD23080212 where denotes the degree of tissue injury de
Table 1. Mechanical parameters
Project
Density (kg/m
3)
Young’s modulus (Pa)
Poisson’s ratio
Copper
8960
1.25e11
0.345
Magnesium alloy
1770
4.2e10
0.35
Intestine
1030
1.6e6
0.493
Table 2. Electrothermal parameter
Project
Density (kg/m
3) Electrical conduc
tivity (S/m)
Thermal conduc
tivity (W/(m∙K))
Thermal capacity
(J/(kg∙K))
Relative dielectric
constant (1)
Magnesium alloy
1770
6.417e6
105.224
1e3
1
Copper
8960
5.998e7
400
385
1
Intestine
1030
0.07
0.493
3.595e3
8.98e3 Table 2. Electrothermal parameter
Project
Density (kg/m
3) Electrical conduc
tivity (S/m)
Thermal conduc
tivity (W/(m∙K))
Thermal capacity
(J/(kg∙K))
Relative dielectric
constant (1)
Magnesium alloy
1770
6.417e6
105.224
1e3
1
Copper
8960
5.998e7
400
385
1
Intestine
1030
0.07
0.493
3.595e3
8.98e3 Table 2. Electrothermal parameter where denotes the degree of tissue injury, de
notes heating time, A denotes frequency factor,
and denotes activation energy [32]. Construction of model Electrothermal simulation The
mean temperature of the control electrode
model was the highest and that of C electrode
model was the lowest. In addition, tissue necrosis is one of the import
ant factors to measure the anastomosis effect. As shown in Figure 6A, the tissues welded by
the control electrode, C electrode, and SA elec
trode were completely necrotic within an axial
distance of 2.546 mm, 2.079 mm, and 1.835
mm from the edge of the welding area, respec
tively. More tissue survived in the welding area
of SA electrode than the other two electrodes. Figure 6B shows the proportion of necrotic
tissue in all three electrode models. The pro
portion of necrotic tissue was the highest in the
control electrode model and lowest in the SA
electrode model. Furthermore, the proportion
of necrotic tissue of all electrode models in
creased sharply from the 4
th second. Two points in the intestine were specifically
selected to insert temperature probes to detect
the temperature variation of intestine during
the process of welding, which are shown in
Figure 5A. The mean temperature variations of
point a and point b in the intestine are shown
in Figure 5C. The temperature at point a of the
control electrode was the highest and that of C
electrode was the lowest. Point b of the three
electrode models had the same result. The
temperature of point a and b was the same
for control electrode, while the temperature of
point b was higher than that of point a for C
electrode and SA electrode. Electrothermal simulation where ρ represents density, c represents spe
cific heat, k represents thermal conductivity, where ρ represents density, c represents spe
cific heat, k represents thermal conductivity,
T represents temperature, represents arterial
temperature, represents blood density, rep
resents blood specific heat, represents blood
perfusion rate, and Q represents power absorp
tion [31]. Only part of each electrode was applied to the
electrothermal simulation because of the sym
metry structure of electrode. The surface dia
grams of the temperature at the 8
th second for
each electrode model are presented in Figure 4. The highest temperature of control electrode, C
electrode, and SA electrode were 100 ℃, 106
℃ and 99.6 ℃, respectively. Tissue thermal damage was calculated using
the Arrhenius equation expressed in equation 3, (3) In order to analyze the temperature variation
of the welding area more specifically, the mean (3) Progress in Medical Devices 158 Progress in Medical Devices 2023; 1 (3): 155-162. PMD23080212 Figure 3. Nephograms of mechanical simulation of the three electrodes. (A) Stress nephogram of control
electrode (i), C electrode (ii) and SA electrode (iii). (B) Strain nephogram of control electrode (i), C electrode (ii) and
SA electrode (iii). C, circle; SA, square and arched. Figure 3. Nephograms of mechanical simulation of the three electrodes. (A) Stress nephogram of control
electrode (i), C electrode (ii) and SA electrode (iii). (B) Strain nephogram of control electrode (i), C electrode (ii) and
SA electrode (iii). C, circle; SA, square and arched. Figure 4. Temperature distributions in the three electrode models. (A) Control electrode; (B) C electrode; (C) SA
electrode. C, circle; SA, square and arched. gure 4. Temperature distributions in the three electrode models. (A) Control electrode; (B) C electrode; (C) SA
ectrode. C, circle; SA, square and arched. temperature variation in the intestine for all
electrode models is shown in Figure 5B. From
the 4
th second, the mean temperature growth
rate at the welding site of intestine in all three
electrode models increased significantly. The
mean temperature of the control electrode
model was the highest and that of C electrode
model was the lowest. temperature variation in the intestine for all
electrode models is shown in Figure 5B. From
the 4
th second, the mean temperature growth
rate at the welding site of intestine in all three
electrode models increased significantly. Progress in Medical Devices IV. Discussion Intestinal reconstruction is an important step
in intestinal surgery, which is one of the corner
stones of visceral surgery and is not expected
to be overcome or replaced by other treatments
soon [33]. Traditional anastomosis includes Progress in Medical Devices 159 Progress in Medical Devices 2023; 1 (3): 155-162. PMD23080212 Figure 5. Mean temperature variation at welding site of intestine in all electrode models. (A) Domain point
positions at intestine of the control electrode (i), C electrode (ii) and SA electrode (iii); (B) Mean temperature
variation at the welding site of intestine in all three electrode models; (C) Temperature variation of probes at
intestine in all three electrode models. C, circle; SA, square and arched. Figure 5. Mean temperature variation at welding site of intestine in all electrode models. (A) Domain point
positions at intestine of the control electrode (i), C electrode (ii) and SA electrode (iii); (B) Mean temperature
variation at the welding site of intestine in all three electrode models; (C) Temperature variation of probes at
intestine in all three electrode models. C, circle; SA, square and arched. Figure 6. Tissue necrosis in the three electrode models. (A) Nephogram of proportion of necrotic tissue of Control
group (i), C electrode (ii) and SA electrode (iii) at the 8
th second; (B) Proportion of necrotic tissue. C, circle; SA,
square and arched. Figure 6. Tissue necrosis in the three electrode models. (A) Nephogram of proportion of necrotic tissue of Control
group (i), C electrode (ii) and SA electrode (iii) at the 8
th second; (B) Proportion of necrotic tissue. C, circle; SA,
square and arched. suturing and stapling. The former is not suit
able for minimally invasive surgery, and the
latter may cause inflammation and infection,
which is not conducive to anastomosis healing. Therefore, energy tissue fusion technology has
emerged for intestine anastomosis. are important factors that affect the anastomo
sis effect. In previous studies, pressure, welding
time, and other experimental parameters were
explored to enhance the burst pressure and
reduce thermal damage [21, 25]. Ritcher et al. studied the effects of 4 different electrodes on
vascular closure with RF energy, which indicat
ed the importance role of electrode structure in
tissue welding [34]. However, there are still few
reports to date on RF tissue welding technology However, intestinal leakage has always been a
challenge after thermal anastomosis. References [1]
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6 ℃, higher than that of the control electrode. This is due to the hollow structure, which reduc
es effective welding area, thus increases the
local current density. The highest temperature
of the SA electrode (99.6 ℃) was similar to that
of the control electrode (100 ℃). The effective
welding area (96.27 mm
2) of the SA electrode
was about 39.29% of the effective welding
area of the control. The effective welding area
(136.21 mm
2) of the C electrode was about
55.59% of that of the control. That is to say, the
hollow area is large enough, so the heat dissi
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lyze the whole temperature variation of intes
tine in the welding area. Therefore, temperature
probes were inserted into two different points
of intestine in the welding area. IV. Discussion Pressure,
welding time, and temperature during welding Progress in Medical Devices 160 Progress in Medical Devices 2023; 1 (3): 155-162. PMD23080212 symmetric structures in the welding area. In
consequence, the temperature of point b of the
two novel electrodes were higher than that of
point a. Besides, as getting closer to the elec
trode entity, there is more necrotic tissue in the
welding area. Therefore, the rate of tissue ne
crosis in the SA electrode model was the lowest
compared with the other two electrode models. from the perspective of electrode structure [24]. Therefore, in this study, we aimed to investi
gate the effect of different electrode structure
on welding quality to fill in the research gap
in this respect. Previous studies of our team
did lots of experiments in vivo and obtained
optimized parameters of pressure and welding
time, which were applied into simulations in the
models [26]. C electrode and SA electrode were
designed to reduce the thermal damage in the
welding area, enhance the thermal diffusion
ability, and improve the healing ability of the
intestinal tissue. In fact, changing the electrode
structure of welding area to decrease effective
welding area can reduce necrotic tissues and
improve heat dissipation capacity. V. Conclusion Two novel electrodes (C and SA electrodes)
were designed in this study to investigate the
effects of electrode structure on RF tissue weld
ing. Finite element analysis was used to ana
lyze the mechanical property of designed elec
trodes and thermal damage to tissue, which
are important indices to evaluate the welding
quality. The results of simulations show that the
SA electrode is better than the C electrode, and
also provide a strong support for facilitating RF
tissue welding technology by optimizing elec
trode structures. Even so, further in vitro and
in vivo experiments are required to ensure the
feasibility and safety of this technology. The maximum stress (6.69 MPa) of the C elec
trode was the largest in all electrodes, which
was much less than the yield strength (175
MPa) of magnesium alloy. Besides, the maxi
mum strain of the C electrode, 0.00016, was
much less than 1%. Therefore, the mechanical
properties of the SA electrode are better than
that of the C electrode, but the mechanical
properties of all electrodes are acceptable. Of
course, excessive pressure will affect the intes
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